Developing and Sustaining a Transportation Systems Management & Operations Mission for Your Organization: A Primer For Program Planning

Chapter 6. Programmatic Elements: Organizing, Staffing, and Developing Processes to Advance Transportation Systems Management and Operations

To understand the programmatic elements of transportation systems management and operations (TSMO) program planning, it is important to start with a general understanding of what a program is. For the purposes of TSMO program planning, one can think of the program as the organizational structure and mechanisms needed to deliver the vision, mission, and strategic goals and objectives for advancing TSMO in an organization. One working definition developed by the Federal Highway Administration is that a program "is a coordinated, inter-related set of strategies, procedures, and activities (such as projects), all intended to meet the goals and objectives articulated in vision statements and policies."⁶

The programmatic component of TSMO program planning addresses the "how" of delivering a TSMO program, with a focus on identifying institutional and organizational changes needed to deliver the TSMO mission for the agency. It addresses issues such as leadership support, organizational structure, career development plans for TSMO staff, and strategies to promote TSMO culture within the agency and among partners.

It may not be appropriate for all types of agencies and organizations to include all elements; however, the process of considering each is important to the program planning and development process. Some of the elements may uncover organizational opportunities or constraints and lead to a more sustainable and robust program. A good starting point for programmatic discussions is to conduct an organizational assessment using the capability maturity model (CMM) framework.

Defining an Organizational Structure

Having a clearly defined leadership and organizational structure for TSMO is important for effectively advancing a TSMO culture and executing TSMO strategies within an agency. Organizational structure considers the interactions and linkages between divisions/offices (e.g., planning, operations, maintenance) and between headquarters and subunits (e.g., districts, member agencies). It also addresses the roles and responsibilities of each of these and opportunities for intra- and interagency integration.

The organizational structure addresses the roles and responsibilities for the TSMO program, defining the lead for each aspect of program delivery. It is important to address where TSMO is within the organizational hierarchy, particularly for a State department of transportation (DOT): is it a division, department, branch, or other component of the organization? In some organizations, TSMO is a subpart of a maintenance division, or TSMO functions may occur across many different departments (e.g., intelligent transportation system (ITS) technology in design and construction, incident management in traffic operations), which makes it challenging for TSMO to be elevated within a policy and resource allocation discussion. In conducting TSMO program planning, an agency may find that it will be helpful to implement changes in the structure of the agency to consolidate or elevate the TSMO functions; for instance, through a reorganization within a State DOT. In other cases, it may be important to develop a new position, such as a TSMO program manager within a metropolitan planning organization (MPO). In other cases, it may simply suffice to define the existing program structure that is used to deliver the TSMO program.

Developing Transportation Systems Management and Operations Programmatic Objectives

Objectives identified in the strategic component of TSMO program planning define high-level outcomes for the transportation system and/or customers to be accomplished through TSMO. In contrast, programmatic objectives are focused on the effectiveness of delivering the program and business processes and procedures; in essence, determining how well the program is managed.

Programmatic objectives address what the agency wants to achieve from a business perspective. Typically these objectives address program implementation and business process issues such as:

• Development of plans, programs, or services.
• Gaining new staffing capabilities.
• Customer service and responsiveness.
• Resources.

These objectives are meaningful and measurable to assess how well the TSMO program is working – how well are we doing our job? In this context, they serve as a bridge between the overall strategic goals and objectives of TSMO and the specific strategies and tactics that are implemented.

Identifying Staffing and Workforce Development Needs

While TSMO relies upon technology investments, delivering a robust TSMO program is heavily dependent on having a workforce with the right background and capabilities. As noted in NCHRP Report 693: Attracting, Recruiting, and Retaining Skilled Staff for Transportation System Operations and Management, State DOTs, MPOs, corridor coalitions, and other transportation agencies are being called on to expand their activities beyond the more traditional design and construction functions most closely associated with civil engineering to the broader and more diverse tasks of TSMO. While a large portion of transportation agency staff have traditionally had backgrounds in civil engineering, and MPOs have traditionally employed transportation planners, TSMO has a primary focus on providing services—e.g., performing incident management, work zone management, and freeway management, all of which are very dependent on staff skills—as well as multi-agency communication and collaboration.

While many transportation agencies view TSMO as a priority, they are encountering a shortage of management, professional, and technical staff with appropriate skills and knowledge in their agencies. Specific skills and capabilities within TSMO are evolving to include emerging technologies, data management, data and statistical analysis, and emergency management. Consequently, staff position descriptions may need to be updated and new roles defined within the organization. Staffing and workforce development may require close coordination with human resources to identify and develop these new capabilities. As many transportation agencies have limited ability to hire new employees, TSMO program development should identify the core TSMO program staff roles, responsibilities, and requirements. This may include a staffing plan for the TSMO program that identifies current and needed skills and a strategy for recruiting, training, developing, and retaining qualified TSMO personnel.

In addition, the staffing plan may include using contractors or outsourcing staff responsibilities to other organizations in gap areas. In particular, as technology advances, there are opportunities to outsource some functions (e.g., monitoring traffic congestion and providing traveler information) to private sector data providers.

Transportation Systems Management and Operations Program Resource Management: Financial Resources, Planning, and Budgeting Processes

Financial resource management, maintenance of systems, and budgeting is a critical part of an effective TSMO program. TSMO program planning should include an evaluation of needed and available resources and identify resource gaps and areas for investment. In most transportation agencies, there is not a single, dedicated funding stream for TSMO activities and projects. Traditional budgeting and accounting practices in departments of transportation and regional organizations also are generally project focused. TSMO changes the focus to include ongoing services, deployment of systems of devices, and maintenance of software and hardware.

Consequently, financial resource considerations within a TSMO program involve several considerations:

• Staffing – As discussed earlier, staffing relates not only to internal agency positions but also financial resource requirements for use of consultants or contractors to operate programs or undertake specific functions.
• TSMO-related Assets – TSMO includes not only traditional transportation infrastructure and equipment, but also traffic control devices, communications infrastructure, data, public outreach platforms and other ITS devices. These equipment require maintenance, updates, or replacement over time. As a result, it is important to understand the level of funding needs and explore funding sources and mechanisms available in relation to these needs. As with pavements and bridges, the TSMO functions of the agency should explore opportunities to adopt asset management techniques for identifying needs for refurbishment, replacement, or upgrades to equipment and technologies and developing a financial plan. It is also important to consider how new technologies will affect the need for and ways of implementing TSMO services, such as traveler information.
• Processes and Procedures for Sustainable Funding – The financial component also may address the broader issue of how TSMO programs are funded, or compete for funding within the programming process. Some MPOs have developed specific processes and procedures to ensure sustainable funding for TSMO activities in their metropolitan transportation improvement program (TIP). For instance, some MPOs set aside funding for TSMO projects to be funded each year and use specific project selection criteria to prioritize funding. Other MPOs do not set aside funding, but use evaluation criteria that address mobility, reliability, safety, and cost effectiveness to help TSMO initiatives compete effectively for funding.
• Processes and Procedures for Prioritizing Funding – The financial component also may address procedures or criteria for prioritizing funding among the many possible needs for TSMO projects and investments.

Developing Business Processes and Management Strategies

Business processes include specific, structured activities or tasks and related decision points that are needed to deliver a TSMO program successfully. The Second Strategic Highway Research Program CMM framework recognized the important role of business processes for advancing TSMO. Business processes include formal planning, programming, scoping, budgeting, and project development.

Existing and new processes should be reviewed, revised or developed to meet the unique challenges and opportunities associated with TSMO. These include standard business practices as well as emerging and evolving practices needed to deliver new services. Some of the unique and emerging opportunities are highlighted in the discussion of each business area below.

Organizational and Administrative Processes

Organizational and administrative processes include day-to-day workflow activities that support the TSMO program. These functions may require review and revision to meet the changing timeframes and nature of TSMO activities. A number of TSMO functions occur in real time and require timely action. Interaction with internal and external partners may require new or enhanced decision processes. It is important to consider how the changing nature of doing business in TSMO may impact daily workflow and functions to provide an effective program.

Procurement and Contract Management

ITS and emerging technologies are integral parts of a comprehensive TSMO program. Many data-sharing services involve new models of procurement and contracting. Emerging technologies require contracting with non-traditional businesses that may involve public-private partnerships, information sharing, and new legal relationships. Agency personnel involved in contracting and procurement related to TSMO program planning and development can identify challenges and opportunities to enhance current business practices resulting in timely and effective procurement and contract management.

Performance Management, Quality Management, and Continuous Improvement

Across transportation agencies, there is increasing emphasis on monitoring and measuring performance in relation to goals. Driven in part by the Federal surface transportation authorization law, Moving Ahead for Progress in the 21st Century (MAP-21) Act, and its successor, the Fixing America's Surface Transportation (FAST) Act, transportation agencies must utilize performance- based planning and programming to enhance decision-making and increase accountability (see 23 USC Section 134(h)(2) and 23 USC Section 135(d)(2)). Since TSMO focuses on optimizing system performance, it is critical that a TSMO program utilize a performance-based approach to support continuous improvement.

As noted earlier, performance management spans all three elements of TSMO program planning. In the programmatic phase, the transportation organization should develop monitoring and measurement approaches in relation to strategic (outcome-based) and programmatic (internal) objectives.

• An agency may establish on-going data collection programs or develop dashboards to communicate system-level performance. For instance, an agency can develop procedures for monthly performance reporting on traffic congestion, incident response time, and reliability. Measurement can also include statistics such as number of incidents recorded and number of visits to a traveler information website.
• An agency may also establish monitoring and measurement of activities designed to assess the effectiveness of specific strategies and tactics. An example would be the regular implementation of post-project assessment procedures to calculate the travel time savings associated with traffic signal coordination projects.

Performance management helps the organization to make informed decisions that correct the course or more effectively move the program toward its goals and objectives. At a programmatic level, performance measurement and response procedures provide a bridge between the strategic and tactical elements by supporting the agency's ability to evaluate and respond to performance outcomes effectively.

In addition to supporting tactical decisions, performance measurement helps to support quality management and continuous improvement. Regular review and evaluation of program objectives provide a measure of program effectiveness and improvement. A large number of State and regional agencies have participated in the CMM workshops. A periodic review of the CMM dimensions will provide an ongoing assessment of the TSMO program, including areas for improvement and dimensions where advancements are being made. An important component of program management is to continually track and respond to these measures in a formal, structured approach designed to deliver continuous improvement.

Data Management

Data management ties into and is an important element of both asset management and performance measurement. In light of recently established national performance reporting and target setting requirements, data management is an increasingly important issue within State DOTs. Moreover, in the operations realm, the availability of data is expanding exponentially as crowd sourcing, vehicle- to-infrastructure communications, and the "Internet of Things" expands. Weather and roadway conditions, vehicle speeds, incident occurrence, and other real-time data are being extensively collected and made available throughout the system. How the data are gathered, analyzed, reported and stored can provide a tremendous resource to support TSMO activities. Big data analytics allows system managers to identify trends and relationships previously unconsidered to manage traffic and operations more efficiently. The management, duration, evaluation and analysis of data are critical to an effective TSMO program.

In response, some transportation agencies have developed a data business plan, and TSMO can be an important component. A data business plan guides an agency in data management, and links business objectives, programs, and processes to data systems, services, and products.

Decision Support Systems

Current and emerging data sources provide inputs into automated, computer-based applications that support business and operational decision-making. Decision support systems (DSS) provide decision-making structures for everything from real-time traffic operations to capital investment strategies. Applications of DSS include freeway speed algorithms for traffic control operations, incident detection, winter maintenance routing and tracking, and adaptive signal control. DSS can also support project planning and design, service investments, and other programmatic decisions.

Big data offers new sources of information, and big data analytics allows TSMO programs to identify previously undetected trends and relationships. DSS provides a decision framework to make informed decisions to support TSMO program goals and objectives. This allows program managers and decision-makers to consider the trade-offs of various actions or investments.

Research and Development

TSMO is a rapidly evolving field that includes traditional and emerging technologies and applications. Ongoing research and development is essential for taking advantage of new technologies and maximizing an agency's return on investment. Identifying new and emerging technologies with TSMO applications provides opportunities to consider technology alternatives that address system issues more cost effectively than traditional construction solutions. Increasing data sources and types provide new insights into system challenges and trends that can refocus investments more effectively. Multimodal integration and information sharing offer new options for system users and system managers. To integrate new technologies into TMSO, focus on research, evaluation, and testing.

Promoting and Embedding a Transportation Systems Management and Operations Culture throughout Agency and Partner Business Practices

Whether a TSMO program is developed by a single agency, multiple agencies, or across a region, communication and collaboration between and among partners and stakeholders is essential to the program's success. Within a State DOT there are numerous subunits with responsibility for various aspects of TSMO planning and deployment. Similarly, in a region where multiple jurisdictions need to coordinate activities to deliver a systems approach to transportation management and operations, communication and collaboration become a critical programmatic component of effective TSMO.

Internal Collaboration: Incorporating Transportation Systems Management and Operations into Other Processes and Procedures Used Throughout the Agency

Beyond the organizational units with lead responsibility for TSMO activities, embedding TSMO as a key priority within an agency will typically require integration of TSMO into other agency functions, plans, and programs to support optimized system performance.

These functions may include:

• Planning – The TSMO program should support the goals and objectives in the agency's long range transportation plan and also serve as a basis for identifying these objectives and priorities. TSMO thinking and TSMO strategies should permeate all relevant planning documents, including freight plans, bicycle/pedestrian plans, and safety plans. The strategic objectives of the TSMO program plan also should be integrated into corridor plans, and sub-area planning.
• Programming/Funding – The TSMO program's priorities should be integrated into investment and funding decisions, including integration into the TIP and STIP.
• Project Development/Design – TSMO needs to be considered at the project level when considering both project design and strategies to incorporate into a project (e.g., transit signal priority, dynamic lane control, demand management).
• Maintenance and Asset Management – TSMO needs to consider how its assets (including ITS equipment, transportation management centers, etc.) are maintained and replaced over their life-cycle.

For TSMO to permeate an agency, TSMO considerations need to be brought into processes and procedures used throughout the agency, such as other types of transportation planning studies. Specifically, TSMO should be incorporated into statewide and metropolitan transportation planning, safety planning, and asset management, as well as project development and design. This integration will often involve the inclusion of TSMO considerations into guides and process manuals used throughout these processes.

Collaboration with External Partners

Recognizing the critical role of different partners in operating a multimodal transportation system, TSMO program planning should address collaboration among statewide/regional partners and coordination across multiple disciplines (e.g., maintenance, law enforcement, emergency response). In particular, given the dominant impact of incidents on delay and reliability— and in light of the key legal and traditional role of law enforcement, a DOT's effectiveness in TSMO is dependent in significant part on the level and type of cooperation that can be developed with law enforcement for traffic incident management. Similarly, coordination with local governments responsible for traffic signal operations, transit agencies, and new transportation service providers (such as transportation network companies) are critical to the effective implementation of strategies supporting integrated corridor management and active transportation demand management, among others.

Interaction with external stakeholders, expanding coordination and collaboration to enhance existing relationships, and building new partnerships will enhance program effectiveness and sustainability. Structured interaction between stakeholders expands coordination and collaboration to enhance existing informal relationships, builds new partnerships, and formalizes a program within and across agencies.

Communications, Marketing, and Outreach with System Users

Communicating with system users is an important part of developing a TSMO program and builds support for a program that is not as visible to daily transportation users as a major construction project might be. The TSMO program, in collaboration with agency public information personnel, should reach out to customers to identify their needs and expectations and to communicate TSMO goals, objectives, activities, and outcomes.