Organizing for Reliability: Tool Kit
This “Tool Kit” has been prepared in support of the joint FHWA / AASHTO deployment of SHRP2
Organizing for Reliability (L06), the stated goal of which is “to help agencies assess their
improvement needs and progress, and initiate some of the action steps required to measurably
transform their organizations to being more operations and reliability-focused”. The overall
process and associated activities are described in the “Prep Kit” and summarized below in
Figure 1.
Figure 1 – Overview of Activities: FHWA / AASHTO Implementation Assistance Program (IAP)
This Tool Kit provides a menu of resources available from AASHTO, FHWA, and other sources
that agencies can use throughout the process. In particular, the materials and support identified
in the Tool Kit should prove most useful for the following activities:

Assessment – The Tool Kit identifies some of the common
weaknesses and challenges identified at each level in which
the agency and / or region currently exists for each of the six
dimensions of organizational capability

Development – The purpose of the Implementation Plan is to
define specific action steps that the agency / region can take
to become more operations-focused. The Tool Kit provides a
sample of potential strategies and activities that may be
included in the Plan for moving from the current capability
level to the next level.

Implementation – Finally, just as the Implementation Plan is intended to be a “living
document”, with updates as an agency’s maturity level increases, this Tool Kit will be
updated throughout the process as additional tools and resources become available. Table 1
provides a history of Tool Kit versions and the major changes made for each version update.
Dimensions of
Organizational Capability
 Business Processes
 Systems and Technology
 Performance
 Culture
 Organization / Staffing
 Collaboration
Table 1 – Tool Kit Version Control
Version
Date
1.0
April 2014
Changes and Updates
Initial version of Tool Kit
1
Updates to the Tool Kit will be sent out as various tools, training courses, workshops, and other
information sources – several of which are identified herein as “under development” – are
finalized and as any new or additional tools are identified. Moreover, should any agency or
member of the local core team know of a useful tool or resource that is not identified herein –
perhaps one included in the Implementation Plan that would be beneficial to other agencies for
moving from one level to the next – please contact Steve Clinger of FHWA at
Stephen.Clinger@dot.gov. These additional tools will also be included in subsequent updates
as appropriate.
The initial item in the Tool Kit is a summary of the characteristics at each Level (1-4) for each of
the six dimensions. This matrix is based on a combination of the materials being presented in
the Assessment Workshops, and the matrix provided in the “One-Minute Guidance Evaluation”
from the AASHTO website (http://www.aashtotsmoguidance.org/one_minute_evaluation/). The rest
of the Tool Kit consists of 18 Tables – three for each of the six dimensions; from Level 1 to Level
2, from Level 2 to Level 3, and Level 3 to Level 4 – providing information and guidance for use
by the local core team in developing the Implementation Plan. The format of the 18 tables is
summarized in Table 2.
The information contained herein is not meant to be prescriptive or complete. It is only a
sample of potential action items, resources, and other tools that may be used to promote the
mainstreaming of operations into the institutional framework. As noted above, updates
identifying additional tools and resources will be sent out throughout the IAP process.
2
Table 2 – Tool Kit Format (For Advancing to the Next Level for Each Capability Dimension)
Dimension – Level X to Level X+1
GOAL: The overall vision and end-point for achieving the next level.
Common Challenges
Identified at Level “N”
Examples of common
issues experienced at
the current level in the
context of making
operations (TSMO) an
integral part of an
agency and/or the
regional transportation
planning process (i.e.,
“mainstreaming”).
These examples are
taken directly from
previous assessment
workshops.
Potential Strategies and Actions to Move to the Next
Level
A sample list of potential tactics and action items to
include in the Implementation Plan. These are based on
the pertinent section from the AASHTO Systems
Operations and Management Guidance website. This
document was recently updated, and provides
numerous potential action items that should be
reviewed and considered for the Implementation Plan.
The sample lists in the Tool Kit are only provided as an
example. The specific action items need to be based
upon and tailored to meet the unique characteristics
and operations practices of the agency and region as
may be identified from:

The results and recommendations from the CMM
assessment workshop (and any other operationsoriented workshops) and follow-up discussions.

Review of location-specific documents (e.g.,
operations plans and procedures, regional plan,
strategic plans, transportation improvement plans,
Congestion Management Plans, Concepts of
Operations, performance management plans, other
planning and procedural documents, organization
charts, position descriptions, inter-agency
agreements) that may provide possible strategies
and action items.
3
Possible Resources (not all inclusive)
A non-inclusive list of potential peer exchanges regarding
best practices, training courses and workshops, references
and related tools, and other technical assistance from
FHWA.
With respect to peer exchanges, a number of agencies and
/ or regions are already functioning at higher levels of
maturity. The collective experiences and lessons learned
from these peer agencies with respect to mainstreaming
operations may provide valuable information. Peer
exchanges can involve a few conference calls, webinars, or
face-to-face workshops depending on the needs and
desires of the individual agency / region.
In addition to the specific resources listed in the matrices,
there are several tools that are applicable to nearly all
dimensions, including:

Workshops on Improving Business Processes for Traffic
Incident Management, Planned Special Events, Work Zone
Management, Road Weather Management, Traffic
Management (under development)
 Regional Operations Forum (Under Development)
 National Operations Academy
Specific FHWA staff with expertise in the particular
dimension are also listed, plus a link to a website listing all
of the FHWA Division offices.
Summary of Characteristics for Each Level of Agency / Regional TSMO Capability
Dimension
Business Processes
(Scoping, planning,
programming,
budgeting,)
Systems & Technology
(Systems engineering,
systems architectures,
standards and
interoperability)
Level 1 – Performed
Each jurisdiction / agency
within the region doing its
own thing according to
individual priorities and
capabilities. Processes
related to TSMO activities
within individual agencies ad
hoc and uncoordinated.
Ad hoc approaches to
system development and
implementation without
consideration of systems
engineering
Performance
Measurement
(Defining measures, data
& analytics and
utilization)
Culture
(Technical
understanding,
leadership, outreach, and
program authority)
Some TSMO-related
outputs measured and
reported by some
jurisdictions.
Organization /
Workforce
(Organizational structure,
programmatic status, and
staff development and
retention)
TSMO added on to units
within existing organizational
structure and staffing -dependent on technical
champions.
Individual staff champions
promote TMSO – varying
among jurisdictions.
Level 2 – Managed
Consensus regional approach
developed regarding TSMO
goals, operational objectives,
needs, networks, and
strategies with common
priorities. Individual agencies
have multi-year TSMO plans
and programs.
Regional and agency
Concepts of Operations and
architectures developed and
documented; appropriate
procurement process
employed.
Output –based measures for
TSMO used for after-action
debriefings and for identifying
improvements; data easily
available and dashboarded.
Jurisdictions’ senior
management understands
operations business case and
educates decision
makers/public.
Level 3 – Integrated
Programming, budgeting, and
project development
processes for TSMO
standardized and documented.
Regional program integrated
into jurisdictions’ overall
multimodal transportation
plans.
Systems and technology
standardized and integrated
together on an agency and
regional basis, with other
related processes and training
provided as appropriate.
TSMO outcome measures
identified and reported, and
routinely by agencies for
accountability and operations
program justification.
Jurisdictions’ mission
statements include operations
and benefits. TSMO a formal
core program; achieves wide
public visibility / understanding
TSMO-specific organizational
concept developed within /
among jurisdictions, with core
capacity needs identified.
Top level management
position and core staff for
TSMO established. TSMO
managers have direct report to
top management; Job specs,
certification and training for
core positions exists.
4
Level 4 – Optimizing
TSMO integrated into agencies’
and region’s multi-modal and
multi-network plans and programs,
based on a formal continuing
regional planning process. TSMO
is a formal, sustainable line item in
agencies’ budgets, subject to
continuous improvement.
Systems, architectures and
technology routinely assessed and
upgraded to improve efficiency
and performance. Systems
interoperability maintained on
continuing basis
TSMO outcome measures
incorporated into the regional
transportation planning process as
part of an objectives-driven
performance based approach.
Region-wide commitment to
TSMO, and the associated
mobility, safety, sustainability, and
customer service benefits. TSMO
accepted as formal, top-level core
program of all agencies and MPO.
Professionalization and
certification of operations core
capacity positions including
performance incentives; career
paths established. TSMO senior
managers at equivalent level with
other agency services, and staff
professionalized.
Dimension
Collaboration
(Relationships and
partnerships among
levels of government and
with public safety
agencies and private
sector)
Level 1 – Performed
Level 2 – Managed
Relationships informal, ad
Regular meetings and
hoc and on a personal basis collaboration at a regional
(public-public, public-private) level. Operations objectives,
strategies and performance
measures aligned among
agencies and key players
(transportation and public
safety agencies); joint afteraction debriefing routinely
done.
5
Level 3 – Integrated
Formalization of information
sharing and operations
responsibilities among key
players thru co-training, formal
agreements and incentives.
Level 4 – Optimizing
Significant level of formalized
operations coordination among
owner/operators (state, local,
public safety, private) of all modes
throughout the region on a daily
recurring basis.
Business Processes – Level 1 to Level 2
GOAL: Establish framework for suitable TSMO related planning and programming activities
Common challenges
identified at level 1
 Lack of a formal TSMO
plan
 TSMO not integrated
into the planning and
programming process
 No TSMO-specific
budget line item
 No clear distinction
between operations and
maintenance in
planning/expenditures
 Little/no consideration of
evaluating trade-offs
among investment
decisions
 Implementation of
supporting ITS
technology typically
added on to capital
projects, leading to
fragmentation of ITS
infrastructure
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Establish a TSMO working group including agency
operations and planning staff (district and central), and
public safety; and hold regular meetings to review current
state of planning and programming activities for TSMO
deployment. – within the agency and regionally
 Develop business case for TSMO using existing
performance data on project outcomes / benefits; and
communicate to senior management and policymakers to
gain support for agency approach to improved TSMO.
 Identify / document internal and external processes or
process changes needed to implement operational
concepts and strategies at the agency and regional levels,
ensuring inclusion of TSMO options at all stages of project
development.
 Develop agency TSMO Plan / Regional Concept of
Operations
 Develop order-of magnitude costs estimates and timeframes for TSMO improvements for inclusion in agency
budgets
 Develop procedures for incorporating TSMO
infrastructure into other on-going roadway development
activities
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Tool for Operations Benefit Cost Analysis
 DOT CEO slide presentation (long version for agency
staff)) on importance of TSMO and associated benefits
6
Contacts:
 FHWA HQ/Resource center: Wayne Berman, Jim Hunt,
Ralph Volpe, Ben Williams, Joe Gregory, Daniel Grate
 FHWA Division office
Business Processes – Level 2 to Level 3
GOAL: Develop multiyear statewide TSMO plan and related process improvements
Common challenges
identified at level 2
 Lack of an overall
statewide or regional
TSMO strategic plan
 While a multiyear TSMO
plan and program have
been developed and are
supported by senior
agency managers, they
have not been fully or
formally incorporated
into the established
statewide DOT planning
and / or regional
planning processes for
programming and
budgeting.
 MPO Board and senior
MPO staff lack full
appreciation of TSMO
benefits
 Long Range Regional
Transportation Plan and
Congestion
Management Plan do
not fully address TSMO
strategies
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Expand TSMO working group (from previous level) to
include other agencies (e.g., local, transit, freight) and
MPO, focusing on integrating TSMO into the regional and
statewide transportation planning processes
 Develop a regional / statewide TSMO plan (e.g., based on
agency TSMO plans and Regional CONOPS), including
appropriate objectives, policy needs, and estimated project
costs and benefits. Include multi-agency projects along
priority corridors (e.g., ICM) in the plan.
 Develop an objectives-driven, performance based
approach to identify and prioritize TSMO strategies and
projects (incorporating performance measures and benefitcost outcomes). Also refer to Performance Management
dimension
 Develop multi-year statewide TSMO program and budget
 Incorporate TSMO projects and budgets (e.g., from
statewide / regional TSMO Plan) into the statewide /
regional transportation improvement plans and long-range
plans.
 Establish a standard procedure in overall agency and
regional project development processes to incorporate
TSMO strategies and supporting ITS components into new
projects
 Update and modify the project development and
procurement process to incorporate TSMO projects
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 A Workshop for Integrating Planning for Operations into
MPO plans and programs
 Advancing Planning for Operations in Metropolitan Areas
(NHI 133111)
 Implementing an Effective Congestion Management
Process as Part of Performance-Based Planning
 Workshops and forums identified in previous Table 2
7
Tools and Other Information Resources:
 Regional Concept for Transportation Operations
 Advancing Metropolitan Planning for Operations: An
Objectives-Driven, Performance-Based Approach – A
Guidebook
 Other Materials from FHWA Planning for Operations
website
 MPO CEO slide presentation Regional Operations in the
21st Century; A Vital Role for MPOs
Contacts:
 FHWA HQ/Resource center: Wayne Berman, Jim Hunt,
Ralph Volpe, Ben Williams, Joe Gregory, Daniel Grate
 FHWA Division office
Business Processes – Level 3 to Level 4
GOAL: Integrate new operations objectives and processes into department activities as formalized standard operating procedures.
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
processes such that
they provide a stable
and replicable basis for
continuous
improvement,
regardless of any
changes in staffing at
the DOT or MPO.
 Incorporating new
TSMO strategies
(ATDM) multi-modal
approaches (ICM) and
technologies
(Connected Vehicles)
into the statewide
TSMO plan and regional
plans.
 Updating performance
measures and metrics
to reflect new TSMO
strategies and lessons
learned from other
TSMO deployments
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example::
 Develop and document a process to regularly review and
update (e.g., every 2-3 years) the Statewide and Regional
TSMO plans, regional concept of operations, ITS
architectures, etc.), identifying lead agency and stakeholder
responsibilities.
 Track emerging TSMO strategies and supporting ITS
technologies in the context of how they may help achieve
regional objectives
 Develop approaches and update planning / budgeting
procedures as appropriate to incorporate new strategies and
technologies
 Working with other regional stakeholders, propose on USDOT
model deployment and related projects to showcase and
demonstrate (e.g., test bed) new TSMO strategies and
supporting technologies
 Develop process for regularly performing investment trade-offs
among capacity vs. TSMO improvements vs. on-going
operations and maintenance as part of the regular budgeting
cycle
 Investigate innovative financing opportunities (public – private
partnerships, cost-sharing with other agencies)
 Incorporate TSMO and supporting ITS into asset management
processes.
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 MPO and DOT CEO slide presentations on importance
of TSMO and associated benefits (for new managers)
8
Contacts:
 FHWA HQ/Resource center: Wayne Berman, Jim Hunt,
Ralph Volpe, Ben Williams, Joe Gregory, Daniel Grate
 FHWA Division office
Systems and Technology – Level 1 to Level 2
GOAL: Introduce systems engineering into project development processes
Common challenges
identified at level 1
 Regional ITS
architecture out of date
(e.g., doesn’t reflect
recent updates to the
National ITS
Architecture)
 Systems engineering is
not an integral part of the
project development
process
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Establish architecture review committee and provide
architecture training for key committee staff.
 Review and updated the regional ITS architecture (by the
committee or by others under the committee’s direction) to
reflect the latest version of the National Architecture and
recent / planned TSMO deployments
 Identify and document the data and information sharing
needs within the region (between agencies and within
DOT) in support of regional ITS architecture
 Present the “business case” and develop a plan for
regularly reviewing, maintaining and updating the regional
architecture
 Develop an agency-wide policy that requires the use of
systems engineering for the procurement of new systems
and the enhancement of existing systems utilizing
advanced technology. Include a process defining the
systems engineering steps to be executed at each stage
of the project development and deployment process.
 Provide systems engineering training for key agency staff
involved in the project development and deployment
process.
 Identify and document relevant standards for TSMO
within the agency and include in the system design
process and procedures
Peer exchanges on best practices and examples from peer
agencies.
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Regional Architecture Use and Maintenance
Workshop/Seminar
 Turbo Architecture-Web-Based – (NHI-137048)
 Introduction to the National ITS Architecture Web Based
 Introduction to Systems Engineering Web-Based
 CITE Certificate Program – ITS Project Management (e.g.,
Intro to Systems Engineering) and ITS System(e.g., ITS
System Architecture and Standards)
 Workshops and forums identified in previous Table 2
9
Tools and Other Information Resources:
 Regional ITS Architecture Guidance
 Systems Engineering Guidebook
Contacts:
 Kingsley Azubike, Rick Denney, Paul Olson, Nathaniel
Price, Joe Gregory, Daniel Grate
 FHWA Division office
Systems and Technology – Level 2 to Level 3
GOAL: Develop and implement tools and procedures to support standardized systems engineering processes and information sharing throughout the region.
Common challenges
identified at level 2
 Lack of data sharing
across modes (transit)
or at the arterial level
(traffic signals)
 Data sharing between
agencies not formalized
 Interoperability
challenges among
agencies
 IT department approval
processes
 Insufficient IT resources
 Lack of consistent
approach to system /
technology procurement
and maintenance
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Develop and implement a configuration management
process for reviewing proposed changes to the Regional
Architecture, adopted standards, and systems engineering
/ project development activities.
 Engage and build relationships with IT staff on the purpose
and benefits of TSMO projects; develop and document
strategies and processes for better communications and
timely reviews of TSMO-related documents
 Develop a plan identifying systems and standards to
facilitate statewide/regional interoperability
 Establish / formalize data sharing platform and protocols
between systems and agencies (regional and statewide)
 Identify and define rules (in addition to standards) for
promoting interoperability between agencies (e.g., when
command and control of devices may be shared)
 Ensure budgets for continued training of TSMO and
systems engineering staff, and for long-term operations
and maintenance support of the regional data sharing
system are included in the statewide TSMO plan and
regional plans (Refer to “Business Processes” dimension)
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Advanced Systems Engineering for Advanced
Transportation Projects – Web Based
 Systems Engineering Process Improvement Review
Workshops
 Interoperability: ITS System Architecture and Standards
Web-based
 CITE Certificate Program – ITS Project Management (e.g.,
Configuration Management) and ITS System(e.g.,
Fundamentals of Database Management Systems)
 Workshops and forums identified in previous Table 2
10
Tools and Other Information Resources:
 “Configuration Management for Transportation
Management Systems – A Primer”
Contacts:
 Kingsley Azubike, Rick Denney, Paul Olson, Nathaniel
Price, Joe Gregory, Daniel Grate
 FHWA Division office
Systems and Technology – Level 3 to Level 4
GOAL: Coordinate and update architecture and regional interoperability activities with new systems / technologies and performance measurement on a
continuing basis.
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
processes such that
they provide a stable
and replicable basis for
continuous
improvement,
regardless of any
changes in staffing at
the DOT or MPO.
 Incorporating new
TSMO strategies
(ATDM), multi-modal
approaches (ICM) and
technologies
(Connected Vehicles)
into the regional
architecture,
interoperability process,
and associated
standard plans.
 Linking the architecture
and systems
engineering-related
processes to TSMO
objectives and
performance measures.
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example:
 Monitor ongoing developments in TSMO and supporting ITS
technologies, as well as updates to the National ITS
Architecture, and update the regional architecture and
interoperability agreements accordingly (in accordance with
the established architecture maintenance plan and
configuration management processes)
 Review and update the regional ITS architecture to support
the collection of data for performance measurement
 Implement a training program for all new staff introducing them
to the regional ITS architecture, systems engineering process,
inter-agency information sharing, configuration management,
etc.
 Develop a certification process for individuals involved with
system development, operation and maintenance to ensure
that they are qualified to participate in the process
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
11
Tools and Other Information Resources:
 Applying a Regional ITS Architecture to Support
Planning for Operations: A Primer
 CITE Certificate Program – selected courses as
appropriate for new staff
 Workshops and forums identified in previous Table 2
Contacts:
 Kingsley Azubike, Rick Denney, Paul Olson, Nathaniel
Price, Joe Gregory, Daniel Grate
 FHWA Division office
Performance Measurement – Level 1 to Level 2
GOAL: Identify output performance measures for selected TSMO activities
Common challenges
identified at level 1
 TSMO-related
performance measures
not clearly identified or
defined
 Performance
measurement and data
collection / utilization
implemented only on an
ad hoc or project basis
 Non-existent/inadequate
external performance
reporting (Dashboard)
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Identify and document appropriate output performance
measures for current and near-term TSMO strategies.
This effort should be coordinated with those being
developed by FHWA in accordance with MAP 21
 Determine potential targets and related metrics and
statistics for the output performance measures. Relate the
targets to key audiences, including technical and
nontechnical groups. , and groups defined by information
needs, time, and locations.
 Determine current TSMO performance (using output
measures) from data that are already being collected and
archived.
 Create standard performance report including dashboards,
for internal use that will identify trends in performance so
that specific problems can be targeted.
Peer exchanges on best practices and examples from peer
agencies.
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Operations Performance Measures Workshop
 Performance Measures – Web-Based (CITE)
 Workshops and forums identified in previous Table 2
Note – Output measures include information on the efficiency
with which resources are transformed into goods and services
(i.e., outputs) and the quality of those outputs (how well they
are delivered to clients and the extent to which clients are
satisfied)
12
Tools and Other Information Resources:
 FHWA Transportation Performance Management website
 Performance Measurement Fundamentals
 WSDOT performance measurement library
 Performance Measurement Exchange Community of
Practice (CoP) Website
 Examples of Performance Measurement Programs
 Freight performance measurement web tool
Contacts:
 FHWA HQ/Resource center: PM - Rich Taylor, Ralph
Volpe, Wayne Berman, Joe Gregory, Daniel Grate; Realtime system mgmt.: Bob Rupert, Ray Murphy
 FHWA Division office
Performance Measurement – Level 2 to Level 3
GOAL: Identify output performance measures for all TSMO activities, and develop data collection and management plan to support utilization of all performance
measures
Common challenges
identified at level 2
 TSMO-related
performance measures
are primarily outputbased, with relatively
few outcome-based
measures (e.g.,
reliability)
 Performance measures
are not related to or
used to track progress
toward TSMO goals and
objectives
 Minimal customerfocused performance
measures
 Data collection and
management process in
support of performance
measurement not
formalized
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Identify and document appropriate outcome performance
measures for TSMO strategies. This effort should be
coordinated with those being developed by FHWA in
accordance with MAP 21.
 Link the outcome measures to operations-related goals
and objectives within the agency (as part of an objectivesdriven, performance based approach for identifying and
prioritizing TSMO strategies (refer to “Business Processes”
dimension).
 Integrate the outcome measures with the output measures
into a comprehensive and documented performance
management program for operations, including enhanced
reporting methods and dashboards..
 Determine potential targets and related metrics for the
performance measures and associated accountability.
Relate the targets and accountability to key audience
groups.
 Develop a data collection and management business plan
for collection, integration, management, reporting and
application of performance measures. The plan should
identify opportunities for multipurpose data acquisition and
the use of third party data (public and private).
Note – Outcome measures focus on the results of a program
activity compared to its intended purpose, and the effectiveness
of operations in terms of their specific contributions to program
objectives. Outcome measures should address reliability and
sustainability (and others) in addition to mobility and safety.
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Operations Performance Measures Workshop
 Performance Measures – Web-Based (CITE)
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 “Incorporating Reliability Performance Measures into the
Transportation Planning and Programming Processes:
Technical Reference” (SHRP 2 L05)
 FHWA website reliability-based performance measures
 FHWA Transportation Performance Management website
 Performance Measurement Fundamentals
 WSDOT performance measurement library
 Performance Measurement Exchange Community of
Practice (CoP) Website
 Examples of Performance Measurement Programs
13
Contacts:
 FHWA HQ/Resource center: PM - Rich Taylor, Ralph
Volpe, Wayne Berman, Joe Gregory, Daniel Grate; Realtime system mgmt.: Bob Rupert, Ray Murphy
 FHWA Division office
Performance Measurement – Level 3 to Level 4
GOAL: Mission-related outputs/outcomes integrated into the regional transportation planning process, with the data routinely reported internally and externally
and archived, and utilized for management across all transportation agencies within the region.
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
performance
management process
and integrate it into a
regional objectivesdriven, performance
based approach for
identifying and
prioritizing TSMO
strategies within the
regional transportation
plan and CMP (refer to
“Business Processes”
dimension), followed by
on-going evaluations of
the implemented TSMO
strategies
 Lack of common
performance measures
across multiple
jurisdictions and modes
within the region
 Data for performance
management not
systematically archived,
including quality control.
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example:
 Identify performance measures from a corridor / system wide
perspective (e.g., “mode-neutral” performance measures)
 Extend outcome measurement program to support broader
(non-mobility, non-safety) regional goals that may emerge,
including environmental (e.g., greenhouse gas generation),
climate change adaptation, livability (e.g., generic origindestination travel times), and land use.
 Design and implement a regional Archived Data Management
System to facilitate the production of operations performance
measures and to provide data for other applications.
 Develop data quality assurance program.
 Routinely evaluate newly deployed projects and changes in
policies from a regional perspective using the performance
measurement system.
 Establish common performance terminology, definitions, and
analytics across jurisdictions
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Advancing Metropolitan Planning for Operations: An
Objectives-Driven, Performance-Based Approach – A
Guidebook
 The Washington State Department of Transportation
Accountability & Performance Program
 Guidelines for Developing ITS Data Archiving Systems
(http://tti.tamu.edu/documents/2127-3.pdf)
 FHWA Traffic Data Quality Measurement Final Report
(http://ntl.bts.gov/lib/jpodocs/repts_te/14058.htm)
Contacts:
 FHWA HQ/Resource center: PM - Rich Taylor, Ralph
Volpe, Wayne Berman, Joe Gregory, Daniel Grate;
Real-time system mgmt.: Bob Rupert, Ray Murphy
 FHWA Division office
14
Culture – Level 1 to Level 2
GOAL: Develop business case for TSMO and continuous improvement for operation performance leading to Agency-wide appreciation of the value and role of
TSMO
Common challenges
identified at level 1
 TSMO program
dependent on staff
champions
 Lack of understanding /
appreciation for TSMO
strategies and
associated benefits by
senior agency
management and policy
makers
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Develop and implement a strategy to familiarize agency
leadership and staff with TSMO and how it can help the
agency meet today’s challenges
 Identify existing processes and mechanisms for TSMO to
be elevated, incorporated or considered within the agency.
 Develop internal visions or “stories: of TSMO benefits
(including B/C ratios) leveraging past successes (e.g.,
major events) and national best practice.
 Develop and distribute a business case for incorporating
TSMO strategies and supporting ITS technologies within
the overall agency program, including improved customer
service and overall performance.
 Identify potential events (major weather or emergencies,
special events), analyze their issues and vulnerability, and
prepare TSMO contingency plans including “what we
could do if we were properly equipped/organized”
concepts. Make the case to decision-makers regarding the
components of response that would benefit from more
formal day-to-day TSMO infrastructure and capabilities.
 Identify existing constraints (e.g., legal, administrative,
interagency, institutional) to the effective application of
TSMO strategies, and develop a plan for resolving them.
 Develop existing traveler information in a form of direct
use to travelers (e.g., social media)
Peer exchanges on best practices and examples from peer
agencies.
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 The 21st Century Operations Oriented State DOT
 Business Case Primer
 Uses of Social Media in Public Transportation
 DOT CEO slide presentation “Operations in the 21st
Century DOT – Meeting Customer’s Needs and
Expectations
15
Contacts:
 FHWA HQ/Resource center: Joe Gregory, Daniel Grate
 FHWA Division office
Culture – Level 2 to Level 3
GOAL: Establish TSMO with a formal core business program status equivalent to other major programs
Common challenges
identified at level 2
 Lack of understanding/
appreciation from
legislature/ governor for
TSMO strategies/
program
 Lack of
publicity/outreach
promoting TSMO
benefits resulting from
agency actions in
deploying strategies
 Focus on capital project
delivery and outcomes;
capital projects
dominate agency public
outreach
 Challenge with
appropriate / consistent
terminology related to
TSMO
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Develop a Business Case Action Plan for expanding
current agency operations beyond freeways to include
arterials and other modes for integrated corridors. Include
potential future developments such as connected vehicles,
automated and predictive traffic management, automated
vehicles, mileage-based road usage charges, etc.
 Develop adjustments and changes to the formal agency
mission, vision, and /or goals to incorporate operations.
Present to senior management for adoption.
 Develop a plan for revising the agency organization as
appropriate to accommodate formal program status for
TSMO. The plan should identify existing constraints (legal,
administrative, interagency) to full formal program status.
Present to senior management for adoption.
 Develop outreach program to familiarize key stakeholder
constituencies (freight, safety, legislative) of the importance
and relevance of TSMO
 Maximize exposure of the agency TSMO program and
benefits utilizing full range of communications (e.g., agency
website), including “stories” such as past TSMO successes
 Align agency public relations strategies with TSMO
program, including branding, terminology, and mechanisms
(e.g., social media) for two-way communication and
feedback with public and key system users.
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Business Case Primer
 Engaging Legislators in the Transportation Operations
Message
 Glossary of Regional Transportation Systems Management
and Operations Terms (from TRB)
 The 21st Century Operations Oriented State DOT
 Uses of Social Media in Public Transportation
16
Contacts:
 FHWA HQ/Resource center: Joe Gregory, Daniel Grate
 FHWA Division office
Culture – Level 3 to Level 4
GOAL: Rationalize TSMO program development with other programs on basis of service-related cost-effectiveness; at both the agency and regional level
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
TSMO program
development process
within the agency for
continuous
improvement.
 It is also important to
integrate this TSMO
culture into the broader
regional planning
process (refer to the
“Business Processes”
dimension, particularly
in terms of the
objectives-driven,
performance based
approach for identifying
and prioritizing TSMO
strategies within the
regional transportation
plan and CMP)
 Greater emphasis on
customer service
orientation
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example:
 Integrate concept of “continuous improvement” into agency
management as a crosscutting process, including process of
TSMO capability improvement based on performance
 Introduce TSMO into DOT / MPO policy, programming and
budgeting as a key focus (refer to “Business Processes”
dimension)
 Link TSMO program development with performance
measurement process at the agency and regional levels(refer
to “Performance Measurement” dimension)
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Getting the Most from Your Transportation System
Investments
 Materials from FHWA Planning for Operations website
(http://plan4operations.dot.gov/)
 Advancing Metropolitan Planning for Operations: An
Objectives-Driven, Performance-Based Approach – A
Guidebook
 MPO CEO slide presentation Regional Operations in
the 21st Century; A Vital Role for MPOs
Contacts:
 FHWA HQ/Resource center: Joe Gregory, Daniel Grate
 FHWA Division office
17
Organization and Workforce – Level 1 to Level 2
GOAL: Identify needed adjustments to organizational structure, staffing roles and responsibilities in support of TSMO
Common challenges
identified at level 1
 TSMO program
dependent on staff
champions and personal
relationships
 Fragmentation of TSMO
responsibilities among
different entities and
locations within agency
 No formal TSMO
position descriptions
 TSMO KSAs do not
match standard position
titles
 Limited/no formal
training programs for
TSMO staff
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide
the – for example:
 Identify current TSMO organizational structure(s)/ chain(s)
of command and the relative hierarchy with other agency
programs
 Define the features needed for full TSMO program status
within the agency in terms of organizational structure and
staffing.
 Develop staged strategy to move TSMO activities and
related units (ITS design, TMCs, ITS maintenance,
incident management, work zone management, etc.] from
functional status to full program status.
 Document the above activities in an “organizational
concept of operations,” including the business case for reorganization / increased staffing (e.g., benefits,
consequences of staffing shortfalls / fragmented TSMO)
 Identify “core capacities” that are essential to building and
managing TSMO activities, including their associated
knowledge, skills, and abilities (KSAs)
 Develop position descriptions for each position including
required KSAs position title, civil service classification,
function and purpose of position, reporting relationships,
general tasks, and decisions related to duties.
 Evaluate existing staff in terms of KSAs for their positions
and identify gaps
 Identify training opportunities for key staff and develop
training program identifying topics and required funding.
Peer exchanges on best practices and examples from peer
agencies.
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 ITE Professional Traffic Operations Engineer Certification
 Selected courses and electives from CITE Certificate
Program – Traffic Engineering and Operations
 Workshops and forums identified in previous Table 2
18
Tools and Other Information Resources:
 NCHRP 20-77 Transportation Operations Framework
 Attracting, Recruiting, and Retaining Skilled Staff for
Transportation System Operations and Management:
(NCHRP Report 693)
 Attracting, Recruiting, and Retaining Skilled Staff for
Transportation System Operations and Management –
Executive Workbook
 FHWA TMC Operator Requirements and Position
Descriptions
Contacts:
 FHWA HQ/Resource center: Grant Zammit, Steve Clinger,
Joe Gregory, Daniel Grate
 FHWA Division office
Organization and Workforce – Level 2 to Level 3
GOAL: Integrate TSMO organization and staff into overall agency structure and clarify reporting relationships, coupled with staff training and retention measures
Common challenges
identified at level 2
 Operations manager
many levels down the
organization chart
 No clear career paths or
for TSMO staff
advancement
 No clear process for
TSMO organization /
individuals staff
accountability or
recognition of superb
performance
 Providing necessary
training for TSMO staff
to further skills and
opportunities for
advancement
 Sending TSMO staff to
conferences and
national forums
 Staff retention, turnover,
and recruitment
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Integrate TSMO organization and staff into overall agency
structure and clarify reporting relationships (in accordance
with the plan / operational concept previously developed).
 Identify and resolve issues regarding position descriptions,
related KSAs and existing agency and state position
descriptions
 Develop and document case for top level organizational
status as a formal core program in support of the agency
mission.
 Establish training requirements and training schedule for
key positions. Expand training program to include technical
as well as management personnel at all levels
 Identify key staff to participate in national forums such as
AASHTO, ITS America TRB, ITE, IEEE, etc. Encourage
senior agency executives to participate as well.
 Include staff training and conference attendance in the
TSMO budget (refer to “Business Processes” dimension).
 Develop a retention strategy for TSMO staff including
enhanced training, working conditions, professional
development, and performance bonuses.
 Link TSMO group / staff accountability to TSMO-related
performance measures and metrics (refer to “Performance
Measurement” dimension)
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Selected courses and electives from CITE Certificate
Program-ITS Project Management and ITS Systems
 Workshops and forums identified in previous Table 2
19
Tools and Other Information Resources:
 NCHRP 20-77 Transportation Operations Framework
 Attracting, Recruiting, and Retaining Skilled Staff for
Transportation System Operations and Management:
(NCHRP Report 693)
 Attracting, Recruiting, and Retaining Skilled Staff for
Transportation System Operations and Management –
Executive Workbook
Contacts:
 FHWA HQ/Resource center: Grant Zammit, Steve Clinger,
Joe Gregory, Daniel Grate
 FHWA Division office
Organization and Workforce – Level 3 to Level 4
GOAL: Create a management and organizational structure for TSMO equivalent to that of other major agency programs
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
TSMO organizational
structure and workforce
development activities,
including performance
incentives, within the
agency to promote
continuous
improvement.
 In some cases, this may
mean elevating the
TSMO organization to
the same level within
the organization as the
other formal core
programs.
 It is also important that
this mainstreaming be
accomplished, with
appropriate and defined
links and lines of
responsibility, at the
headquarters and
district / division DOT
offices.
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example:
 Establish top level executive position for TSMO with fulltime
program responsibility and direct reporting to Director/CEO,
with equivalent positions in districts as appropriate to the
agency
 Establish complete professionalization of TSMO positions,
including certification, performance incentives, and
establishment of clear, attractive career paths
 On-going review and adjustment to the organizational
framework and staffing hierarchy (and performance incentives)
to reflect new TSMO strategies and technologies, and any
new skills and staffing associated with these strategies, as
they are adopted and implemented by the agency.
 Annual review and update of succession plans as may be
appropriate
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
Contacts:
 FHWA HQ/Resource center: Grant Zammit, Steve
Clinger, Joe Gregory, Daniel Grate
 FHWA Division office
20
Collaboration – Level 1 to Level 2
GOAL: Establish formal mechanisms for regular coordination and cooperation
Common challenges
identified at level 1
 Relationships with other
groups and agencies on
an informal, ad hoc and
personal basis
 No ongoing, multiagency (or multijurisdictional) group
focused on regional
operations (e.g., incident
management. signal
coordination across
jurisdiction boundaries,
freeway / arterial
diversions )
 Limited collaboration
between operators and
planners (in agency and
with MPO)
 Limited collaboration
with private sector
Potential strategies and actions to move to level 2
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide
the – for example:
 Establish relationships with fire, police, emergency
management and other responders and agree to regular
meetings aimed at improving processes—with initial focus
on emergency response and incident management
 Develop a plan for improving communications (voice and
data) and interoperability between transportation agencies
and first responders, including sharing of DOT cameras
and police computer-aided dispatch (CAD) information.
 Identify key procedures and protocols, and clarify,
document and train for roles and responsibilities (i.e., field
and centers) for all key participants during incident and
emergency management activities.
 Conduct appropriate training, drills and tabletop exercises
to test and improve concepts and protocols, and to
familiarize personnel with roles and procedures.
 Establish collaborative mechanism (e.g., committees /
forums, with regular meetings) to promote interagency
dialogue regarding TSMO – between DOT,, other
transportation agencies (local and transit) and regional
planning organizations. Potential areas may include
Integrated Corridor Management, traveler information,
special event management, construction coordination, etc.
 Identify TSMO activities that may lend themselves to
outsourcing and/or hybrid staffing, reviewing the pros and
cons, and life-cycle costs, of leveraging private sector
resources and outsourcing functions
Peer exchanges on best practices and examples from peer
agencies. There is also the Traffic Incident Management (TIM)
& Planned Special Events (PSE) Peer-to-Peer Program
21
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 National Traffic Incident Management Responder Training
Program
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Simplified Guide to the Incident Command System
 Traffic Incident Management Outreach Toolkit
 State DOT Outsourcing and Private-Sector Utilization
 Procuring, Managing, and Evaluating the Performance of
Contracted TMC Services
 Regional Transportation Operations Collaboration and
Coordination: A Primer for Working Together to Improve
Transportation Safety, Reliability, and Security (FHWA)
Contacts:
 FHWA HQ/Resource center: Incident/emergency mgmt.:
Paul Jodoin, Jim Austrich, Laurie Radow, Kim Vasconez;
MPO: Wayne Berman, Ralph Volpe
 FHWA Division office
Collaboration – Level 2 to Level 3
GOAL: Execute formal interagency agreements for cooperative approach and definition of inter-agency roles and responsibilities.
Common challenges
identified at level 2
 No formal agreements /
out-of-date agreements
with other agencies
 No formal process for
debriefs following major
incidents / special
events
 Lack of common
performance measures
or incentives for
collaborating
 Lack of project
integration in region
 Lack of joint formalized
training in specific areas
requiring multi-agency
coordination (e.g.,
incident management
training with emergency
service providers
 Lack of common
notification protocols for
incidents, operational
changes, etc.
 Many local jurisdictions,
transportation agencies,
and emergency service
providers for data
sharing
Potential strategies and actions to move to level 3
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide –
for example:
 Develop and execute formal interagency agreements with
police and other first responders to develop cooperative
approach to TSMO, including formal interagency working
group, protocols, data sharing, joint training, etc., in
support of emergency and incident management.
 Establish a major incident and emergency debriefing
process for review and updating of responsibilities and
procedures as documented in formal agreements. This
includes defining what constitutes a “major” incident and
developing a procedure for convening and conducting
debriefings and managing follow-up.
 Support integration of TSMO considerations into regional
plans and budgeting documents. (Refer to Business
Processes dimension) Identify and develop inter-agency /
regional cooperative projects (e.g., information sharing,
ICM, transit use of hard shoulder running / managed lanes)
and associated inter-agency agreements in support of such
programs and projects.
 Develop joint agreements regarding performance
measurement and related process improvement
approaches with respect to regional operations (refer to
Performance Measurement dimension)
 Develop policy on outsourcing as appropriate
Peer exchanges on best practices and examples from peer
agencies. There is also the Traffic Incident Management (TIM)
& Planned Special Events (PSE) Peer-to-Peer Program
22
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 Simplified Guide to the Incident Command System
 Traffic Incident Management Outreach Toolkit
 State DOT Outsourcing and Private-Sector Utilization
 Procuring, Managing, and Evaluating the Performance of
Contracted TMC Services
 Regional Transportation Operations Collaboration and
Coordination: A Primer for Working Together to Improve
Transportation Safety, Reliability, and Security (FHWA)
Contacts:
 FHWA HQ/Resource center: Incident/emergency mgmt.:
Paul Jodoin, Jim Austrich, Laurie Radow, Kim Vasconez;
MPO: Wayne Berman, Ralph Volpe
 FHWA Division office
Collaboration – Level 3 to Level 4
GOAL: High level of operations coordination institutionalized among key players—public and private
Common challenges
identified at level 3
 Having fully achieved
Level 3, the challenge is
to institutionalize (i.e.,
“mainstream”) the
collaboration processes
(e.g., formalized
agreements,
procedures, and
protocols; regular
training exercises and
debriefs; project
integration on a corridor
and regional basis) to
promote continuous
improvement.
 It is also important that
this mainstreaming be
accomplished, with
appropriate and defined
links and lines of
responsibility, among all
transportation and
emergency service
provider stakeholders in
the region, both public
and private.
Potential strategies and actions to move to level 4
Possible Resources (not all inclusive)
Potential actions identified in the AASHTO operations guide – for
example:
 Implement an annualized traffic incident management program
process that encompasses updating of programmatic strategic
plans and performance reporting that is consistent with
national best practice
 Regularly update the formal agreements, protocols, and
training needs as new operational strategies and technologies
are introduced and implemented in the region (e.g., additional
enforcement considerations for variable speed limits /
advisories as part of ATM)
 Plan and incrementally develop physical collocation of
communications, command, and control centers and other
facilities as appropriate for maximum cooperation,
coordination and collaboration, and efficient use of resources.
 Identify needed changes in law ranging from minor (quick
clearance) to more significant (transportation personnel role in
towing, first responder prerogatives, relationships with safety
service providers); and seek legislative support and action.
 Standardize and document joint operational procedures and
related performance measures as interagency policy
 Consider reconfigured institutional options for deploying and
operating systems based on new approaches such as costsharing / pooled funding, public-private partnerships, off-hours
control consolidation, shared data and performance
management, shared control and staffing, outsourcing, etc.
 Develop consistent and regional approach to outsourcing
regarding contracting procedures, performance management,
and timeframe of contracts.
Peer exchanges on best practices and examples from peer
agencies
Technical assistance from FHWA including assessments
followed by a summary of observations and suggestions for
improvement
23
Training/Workshops:
 Workshops and forums identified in previous Table 2
Tools and Other Information Resources:
 FHWA Office of Innovative Program Delivery P3 Toolkit
Contacts:
 FHWA HQ/Resource center: Incident/emergency
mgmt.: Paul Jodoin, Jim Austrich, Laurie Radow, Kim
Vasconez; MPO: Wayne Berman, Ralph Volpe
 FHWA Division office