. Improving Transportation Systems Management and Operations - Business Processes - Appendix
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Improving Transportation Systems Management and Operations – Capability Maturity Model Workshop White Paper – Business Processes

Appendix: Steps to Implement Common Implementation Plan Priority Actions for Business Processes Dimension

The steps listed below implement the most common priority actions identified by workshop participants when developing their implementation plans. Although the actions themselves are not stated, they generally address improvement in each of the business process elements. The steps for each action were developed by the workshop site core team, assisted by a template of facilitator-supplied suggested steps based on workshop outputs, and structured consistent with the basic CMM guidance presented in the AASHTO TSM&O Guidance.

TSM&O Planning Process

  1. Convene or utilize an integrated/inclusive working group/planning committee (including representatives from local jurisdictions, public safety community, other modes, etc., as appropriate) to undertake planning activities (setting a vision, policies, strategies, work program, etc.)
  2. Consider the merits of a statewide plan compared to building off a high-priority corridor or region to accommodate staff resources and the need to develop new process, data, and relationships
  3. Develop of a broad strategic TSM&O “program plan” framework that goes beyond projects and budgets to address other more general features of TSM&O as a program that also need to be “planned”, given the lack of a legacy TSM&O program status or planning framework. The Strategic Highway Safety Plan model provides some important lessons regarding key components. These TSM&O program plan components should include:
    1. Business Case. Given that TSM&O plans may be unprecedented, they must include a persuasive element in the form of a well-supported business case for TSM&O.
    2. Mission, Vision, Goals, Objectives, and Performance Measures. These components establish an agency approach, are used as a device to communicate internally and externally, and serve as a basis for other planning components (strategies, projects). They also make a distinction between the DOT’s vision and a statewide vision, which requires involvement of all the stakeholder agencies.
    3. Organization and Staffing. Planning, budgeting, and implementation of plans and projects may also require identification of an organizational and staffing strategy, not only for the conduct of Business Processes but for program implementation in general. Key issues include central office versus regional/district responsibilities, internal responsibilities, and reporting.
    4. Business Processes. Business Processes include identification of the essential processes, procedures, and protocols, including staff responsibilities for developing TSM&O Plans and integration of TSM&O into the TIP/STIP and Long Range Plans.
    5. Resources Requirements (Financial, Human, Infrastructure, and Technology). There is a need for a well documented, staged program of resources. Identification of long-, medium-, and short- resource requirements, including justification, is necessary.
    6. Packages of Services, Projects, and Activities. This component is not a deployment plan. Rather, it includes warrants and guidelines for broad packages of TSM&O services, projects, and activities. This also includes a screening process that leads to deployment planning.
  4. Identify the key steps in the development of a TSM&O plan, including the following:
    1. Convene multi-jurisdictional planning group to guide TSM&O planning activities, including central office division and district/regional staff and MPO and local government personnel as appropriate.
    2. Secure support of key policy groups to consider integration of plan results into DOT, MPO, and other relevant plans and programs.
    3. Identify planning focus in terms of network focus (district-wide or selected corridors within district as a pilot program), including both freeways and arterials. Consider the use of one or more freeway/arterial corridors as a pilot for the development of a comprehensive program planning process.
    4. Identify mission, goals, and objectives with corresponding available performance measures information, and identify small robust set of user-related performance measures for use in evaluating proposed strategies.
    5. Using the goals and objectives, identify specific needs and deficiencies related to capacity constraints, reliability issues and important sources of non-recurring congestion in the selected geographic context and identify logical generic TSM&O strategy applications addressing those issues.
    6. Update statewide or regional ITS architecture as appropriate by building on existing architectures/concepts of operations/systems and current state of practice, including accommodation of potential TSM&O strategy applications.
    7. Build on the existing deployments and current plans for the identified network by identifying specific sets of incremental, cost-effective improvements for key strategies, existing and new, including systems, technology, and related actions (center and field procedures), timeframes, and participants. Identify opportunities for program components to be embodied in other projects and identify critical roles in implementation.

Programming/Budgeting

  1. Review long- and short-term investment options (including capital, maintenance, and staffing) in the context of alternative levels of expenditure and resource availability from DOT, MPO, and local sources to develop programs and schedules for improvement actions, linking them to updated architectures.
  2. Evaluate and rank proposed strategies in terms of likely performance effectiveness (using available measures identified above) and feasibility of implementation, and prepare a phased program of improvements.
  3. Prepare a phased implementation plan, budget, schedule, and performance-tracking strategy, and present to relevant policy groups.

Project Development/Procurement

  1. Develop an appropriate project development process based on the current agency approach for other types of projects, including the following steps:
    1. Identify specific gaps in the current planning process that limit or exclude TSM&O attributes from being included in project development process.
    2. Map out a project development workflow that identifies critical steps in the project planning and development processes where specific TSM&O considerations could be included.
    3. Identify specific TSM&O requirements for the various stages, including planning-level TSM&O cost/resource requirements, implementation considerations, and potential benefits.
    4. Prepare guidance on TSM&O strategies (“toolkits” or checklists) that can be used by project development staff.
    5. Review options for procurement for system integration projects.
    6. Identify specific TSM&O department staff members who can be involved in project development/planning, as well as serve as liaisons during specific project development activities.
    7. Establish a process with a planning group that will allow for periodic coordination to identify opportunities for advancing TSM&O recommended projects or initiatives, which might be ahead of typical planning cycles. Include a review of the findings of MPO congestion management process.
    8. Develop a recommended process for mainstreaming TSM&O in the project planning and development process, and develop specific policy language to include in workflows and development process documentation.
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