Organizing for Reliability – Capability Maturity Model Assessment and Implementation Plans
Executive Summary

4.0 National Activities to Support Improving TSM&O Capabilities

The areas for improvement and related implementation plan actions identified in common by many State DOTs and their partners suggest an agenda of needs for research, guidance, and training at the national level. Consistent with the capability dimensions, this agenda is focused on process and institutional improvements that are not substantially addressed by existing support materials already created by peer states or by AASHTO, FHWA, or other entities. The activities include both identification and dissemination of best practice (peer-to peer exchanges, webinars, guidelines, and lessons learned) and support for the evolution of certain new business and technical methods and processes. Important roles are seen for FHWA, AASHTO, and the National Operations Center of Excellence. Table 4.1 through Table 4.6 present the key recommendations organized by dimension.

Table 4.1 Suggested National Activities to Support Improvements in Business Processes

Activity	Business Processes Element	Sponsor(s)	Comments
Conduct webinar on TSM&O program planning as defined in this report and drawing on participants in NCHRP 20‑07/345	TSM&O Planning Process Programming/Budgeting	National Operations Center of Excellence (NOCoE) TRB Regional Transportation Systems Management and Operations (AHB10) (RTSMO)	Definition of “program planning” as in this report. See Strategic Highway Safety Plan as useful precedent
Develop guidance and best practice examples related to TSM&O program planning, including example plans	TSM&O Planning Process Programming/Budgeting	FHWA NOCoE	Definition of “program planning” as in this report. Highlight DOT and MPO best practices
Compile lessons learned from ICM planning and programming to date	TSM&O Planning Process Programming/Budgeting Project Development/Procurement	FHWA NOCoE	Would be extracted from interviews of State DOT and regional staff
Develop resources and collect examples of TSM&O business cases	TSM&O Planning Process Programming/Budgeting Project Development/Procurement	FHWA AASHTO NOCoE	Build on material already included in the NOCoE web site and incorporate case studies and B/C material from ITS Joint Program Office and FHWA web sites
Apply FHWA INVEST model for operations and maintenance sustainability assessment	TSM&O Planning Process Programming/Budgeting	FHWA NOCoE	INVEST provides a life-cycle cost model
Identify, collect, and circulate best practices on integrated TSM&O in standard DOT project development processes. Establish a group of peers that could provide lessons learned to other States/regions	Project Development/Procurement	FHWA AASHTO NOCoE	Primer or synthesis of best practices; include non-TSM&O perspectives to show depth of collaboration and process change

Table 4.2 Suggested National Activities to Support Improvements in Systems and Technology

Activity	Systems and Technology Element	Sponsor(s)	Comments
Compile examples of best practices for the use of Statewide and Regional Architectures	Regional Architecture	ITS Joint Program Office (JPO) (official web site), National Highway Institute (NHI), Professional Capacity Building (PCB), Consortium for ITS Training and Education (CITE) Courses	T3 Webinars or list-serves could broadcast and raise awareness of available current resources
Develop basic webinar module focused on ITS procurement processes	Regional Architecture Project systems engineering/testing and validation	NOCoE	Requires modest technical study using CMM Workshop materials and limited peer interviews and collecting information sources
Compile resources related to training regarding the systems engineering process	Project systems engineering/testing and validation	JPO, NHI, PCB	Compile comprehensive list of available training resources and raise awareness of availability
Strengthen NOCoE Knowledge Transfer Database regarding Systems and Technology	Standardization	NOCoE	Systems and Technology are search items
Compile resources related to training regarding the standards implementation (testing and training)	Standards	JPO, NHI, PCB	Compile comprehensive list of available training resources and raise awareness of availability
Develop a clearinghouse of standard specifications for frequently procured TSM&O technology	Standardization	NOCoE
Compile best practices and strategies for ITS device maintenance, ITS maintenance programs, and keeping pace with rapidly changing lifecycle considerations	Overall	FHWA Institute of Transportation Engineers (ITE) AASHTO	This would update existing resources to include new requirements for effective TSM&O technology asset management and address options such as contracting/outsourcing for maintenance, performance requirements for newer technologies, training for in-house maintenance staff, and using updated lifecycle information for newer technologies to inform maintenance budget/program needs

Table 4.3 Suggested National Activities to Support Improvements in Performance Measurement

Activity	Performance Measurement Element	Sponsor(s)	Comments
Create checklist for developing a TSM&O Performance Management Plan	Measure definition	FHWA	Assimilate current best examples; produced a template/prototype document
Develop standardized definitions for a wide range of TSM&O performance measures covering TIM, work zones, weather, and signalized arterials	Measure definition	FHWA OPMM #12 and #17; possible AASHTO or ASTM if formal standards are to be produced	Some efforts currently underway (e.g., NUG) but do not cover all relevant measures, just a common core; more guidance is needed especially in coordination of both outcome measures (e.g., MPOs, MAP‑21 measures) and output measures (e.g., emergency responders)
Develop standardized procedures for conducting TSM&O evaluations	Measure utilization	FHWA OPMM #14	Some guidance developed in SHRP 2 L17 but needs further methodology work and case studies
Develop guidance on TSM&O performance target setting	Measure utilization	FHWA OPMM #4	Coordinate with target setting procedures in other functional areas; explore analytical methods available and how to conduct consensus exercises
Document best practices for communicating TSM&O performance	Measure utilization	FHWA OPMM #13	Needs to move beyond what “best” agencies are doing and adapt methods from other sectors
Develop guide to TSM&O data acquisition, management, and analysis methods	Data acquisition	NCHRP or FHWA	Include requirements for a prototype system; incorporate standardized procedures noted above; identify alternative strategies for data acquisition especially from other agencies or units, including best practice case studies
Conduct Peer-to-Peer Exchange on TSM&O Performance Measurement	Measure definition, data acquisition, and measure utilization	FHWA	Formal program with a set number of annual exchanges
Document best practices in using TSM&O performance measures in investment decisionmaking	Measure utilization	NCHRP or Pooled Fund	Conduct scan for best practices and enhance as necessary; feed results into field test
Conduct field test of TSM&O performance measures in decisionmaking	Measure utilization	FHWA	Follow-on to above study; fund an agency to design and implement a model procedure for fully utilizing TSM&O performance measures for decisionmaking; include both long-range and short-range activities; include development of a comprehensive and linked PM program: inputs, outputs, outcomes, and targets

OPMM – Operations Performance Measures and Management (OPMM) Program Road Map.

NUG – National Unified Goal.

Table 4.4 Suggested National Activities to Support Improvements in Culture

Activity	Culture Element	Sponsor(s)	Comments
Develop resources and collect examples of TSM&O business cases	Technical Understanding and Business Case Outreach – Internal and External	FHWA, AASHTO, NOCoE	Build on material already included in the NOCoE web site and incorporate case studies and B/C material from ITS Joint Program Office and FHWA web sites
Support appropriate level of national consistency in “branding” TSM&O as key transportation agency function	Technical Understanding and Business Case Outreach – Internal and External	FHWA, AASHTO, NOCoE	Ensure that external communications from both to the public use common language and most effective examples
Establish regular forum for State DOT leadership (chief engineers, district engineers) to discuss TSM&O-related issues and provide a group of peers for potential peer exchanges	Leadership/Champions	FHWA, AASHTO, NOCoE	No TSM&O forum for agency leadership exists (top management is not often involved in any peer-to-peer discussion in AASHTO, Regional Operations Forums, etc.)
Identify and communicate payoffs from new forms of public-private partnerships, including towing and recovery incentives and travel data	Policy/Program Status/Authorities	FHWA, AASHTO, NOCoE	Many DOTs remain unaware of the dramatic payoffs from these types of arrangements
Identify and communicate the impact of operations and technology focus continuity across TSM&O and connected vehicles (CV)	Technical Understanding and Business Case Outreach – Internal and External	FHWA, AASHTO, NOCoE, TRB, transportation associations	Public interest in CV can be used as a “hook” to support TSM&O by noting the baseline TSM&O functions that support various CV applications

Table 4.5 Suggested National Activities to Support Improvements in Organization and Staffing

Activity	Organization and Staffing Element	Sponsor(s)	Comments
Compile examples of reorganizations, including organization charts, functions, and underlying policies as examples for other States and use for technology transfer	Program Status Organizational Structure	Operations Academy™, NOCoE	Material could be circulated among interested peer States
Develop basic webinar and/or training module focused on organization and staffing	Organizational Structure	FHWA/ITS PCB Program, CITE	Requires modest technical study using CMM workshop materials and limited peer interviews
Develop a TSM&O organization and staffing gap analysis tool for agencies to compare current operations with those needed to fulfill all desired functions	Organizational Structure	FHWA, AASHTO, NCHRP	Existing model is FHWA’s Traffic Signal Operations and Maintenance Staffing Guidelines
Establish electronic dialogue among DOT TSM&O managers for general peer-to-peer discussion of organization, staffing, and other management issues	Organizational Structure	Operations Academy™, NOCoE	Dialogue would have to be structured and managed
Strengthen NOCoE Knowledge Transfer System database (developed for SHRP 2 L17)	Organizational Structure	NOCoE	Organization and staffing are existing search items; further material could be added
Poll State DOT senior TSM&O managers on key staff capacities needed and unmet; compare identified needs with training and educational opportunities and consider remediation actions to fill gaps	Staff Development	AASHTO and/or FHWA via peer-to-peer interchange or polling	No State has systematically identified core capacities; Use emerging TSM&O applications as guide to specific technical staffing needs (ATM, ICM, CV, arterial operations)
Develop a suite of core competencies with lists of helpful training, experiences, and resources for TSM&O managers	Staff Development	AASHTO and/or FHWA via peer-to-peer interchange or polling, NOCoE	Alternative or complementary to the above
Review critical training deficiencies across all levels of TSM&O employees and sponsor permanent classes to address these deficiencies (for example, CITE or NHI courses)	Staff Development	FHWA/ITS PCB Program, CITE	May extend beyond organization and staffing or be conducted in conjunction with other dimensions
Adjust curricula of National Operations Academy™ and Regional Operations Forums (ROF) to include material supporting managers’ needs to improve processes and organization	Staff Development	Operations Academy™, ROFs	Specific tasks developed in workshop implementation plans constitute a starting point
Identify State DOT functions typically outsourced and associated agency rationales	Staff Development	AASHTO, ITE, ITS-A	Workshop experience shows substantial outsourcing of ITS-related functions in many states
Investigate existing State DOT experience regarding TSM&O as a career option, including education and training, conditions of employment, and career track options	Staff Development Recruitment and Retention	FHWA, AASHTO, NCHRP	Increasingly technical staff positions are hard to compete for; special training will be essential. Establish some best practices of agencies that have developed TSM&O job descriptions, career paths, etc.
Review curricula of secondary and graduate schools related to TSM&O to identify key gaps and best practices to produce “TSM&O-ready” entry level employees	Staff Development Recruitment and Retention	FHWA/ITS PCB Program, AASHTO, NCHRP	Entry-level TSM&O employees generally are not well served by current academic offerings

ITS PCB Program – Office of the Assistant Secretary for Research and Technology ITS Professional Capacity Building Program.

ITS-A – Intelligent Transportation Society of America.

Table 4.6 Suggested National Activities to Support Improvements in Collaboration

Activity	Collaboration Element	Sponsor(s)	Comments
Develop guidance for formal TIM agreements with a special focus on aspects that improve their long-term viability	Public Safety Agency Collaboration	FHWA	There is no available guidance that directly addresses preconditions for more effective agreements
Develop case study document regarding incentive-based towing and recovery agreements	Public Safety Agency Collaboration Outsourcing/public-private partnership	FHWA	There are consultants who specialize in these arrangements
Poll State DOTs to determine extent of outsourcing; document current practices	Outsourcing/public-private partnership	Operations Academy™, NOCoE, FHWA	There is a clear trend toward greater outsourcing that implicates issues such as maintenance of core capacities and performance contracting
Develop methods for accommodating TSM&O activities and their resource requirements in both conventional statewide and metropolitan planning	MPO/RTPA/Local government collaboration	FHWA, NOCoE	FHWA and NCHRP have developed important guidance material
Identify promising examples of collaborative operational management involving State and local entities	MPO/RTPA/Local government collaboration	FHWA, AASHTO, AMPO, NOCoE	Real-time operational management involving different jurisdictions (ICM) is becoming more important, bridging an operational gap between traditional freeway and arterial operations silos