1.0 Introduction

1.1 Planning for Operations in the Metropolitan Transportation Plan

As concern grows about the overall performance of our transportation system, metropolitan planning organizations (MPOs) around the country increasingly see operational improvements as serving an important role in addressing regional transportation challenges. In most urban areas, traffic congestion now occurs more frequently throughout the day and on more roadways than in the past. Funding for major new highway and transit capacity projects is limited, and the time it takes to plan and construct new infrastructure means that it can be years or decades to realize their effects. At the same time, much of the traffic delay on roadways is caused by incidents, weather conditions, special events, and other factors that require more immediate solutions and are not solved solely through transportation infrastructure. Effective transportation solutions are needed to remain competitive in a global economy, address climate change, and meet transportation system user expectations. The public is increasingly calling for greater government transparency, travel options, and information to make travel decisions.

Transportation system management and operations (M&O) strategies are designed to optimize the performance of the transportation system. They allow for a more immediate response to traveler concerns than capacity projects offer while improving the reliability, security, and safety of the multimodal transportation system. While operations strategies focus primarily on improving system efficiency, reliability, and options, these strategies often have important safety benefits as well. For instance, improving operations through better work zone management, weather information, and traveler information can help to reduce crashes and improve safety. Since incidents are a major source of non-recurring delay, strategies to improve system operations can include safety strategies that reduce crashes.

Traditionally, the metropolitan transportation planning process has not focused significant attention on transportation operations. Given the challenges facing the transportation system, the availability of new technologies, and public expectations, planning for operations is increasingly being recognized as an important element of the metropolitan transportation planning process. Moreover, the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) specifically requires that metropolitan transportation plans (MTP) include "operational and management strategies to improve the performance of existing transportation facilities to relieve vehicular congestion and maximize the safety and mobility of people and goods."³ Addressing these challenges requires a new way of doing business – a strategic and informed approach to planning for operations.

1.2 An Objectives-Driven, Performance-Based Approach

The Federal Highway Administration (FHWA) and the Federal Transit Administration (FTA) promote the use of an objectives-driven, performance-based approach to planning for operations as an effective way to integrate operations in the MTP. The resource, Advancing Metropolitan Planning for Operations: An Objectives-Driven, Performance- Based Approach – A Guidebook⁴ describes a recommended approach for shifting from a project-based approach focused on addressing problems to an objectives-driven, performance-based approach. The recommended approach focuses on working toward desired system performance outcomes rather than just responding to problems. This approach recognizes that what is measured matters in decisionmaking, and setting specific, measurable performance objectives will facilitate incorporating operations strategies into the MTP. An objectives-driven, performance-based approach, therefore, is recommended as a means to meet Federal transportation planning requirements for including "operational and management strategies to improve the performance of existing transportation facilities" in the MTP and promoting "efficient system management and operation."⁵

A key element of this approach is developing operations objectives that state what a region plans to achieve regarding the operational performance of the transportation system. Operations objectives are included in the MTP and guide incorporating operations into the plan and transportation improvement program (TIP). These objectives provide specific, measurable, agreed-upon statements of system performance that can be tracked on the regional level and inform cyclical investment decisions.

A plan developed using an objectives-driven, performance-based approach for operations provides a direct connection between operations objectives and project selection. The objectives may relate to issues such as recurring and non-recurring congestion, access to traveler information, emergency response time, incident management coordination, and transit operations, among others.

An objectives-driven, performance-based approach to planning for operations within a metropolitan area includes the elements in the following list, conducted in collaboration among planners, transportation providers, operators, and other stakeholders.

• Regional Goals. Establish one or more goals that focus on efficiently managing and operating the transportation system (in response to Federal requirements).
• Operations Objectives. Develop operations objectives – specific, measurable statements of performance – to include in the MTP that will lead to accomplishing the goal or goals.
• Performance Measures. Using a systematic approach, develop performance measures, analyze transportation performance issues, and recommend M&O strategies.
• M&O Strategies. Select M&O strategies within fiscal constraints to meet operations objectives for inclusion in the MTP and TIP.
• Investment and Implementation. Implement strategies, including program investments, collaborative activities, and projects.
• Monitoring and Evaluation. Monitor and evaluate the effectiveness of implemented strategies and track progress toward meeting operations objectives.

1.3 Getting Started with the Approach

Using an objectives-driven, performance-based approach to plan for operations can seem daunting to MPOs that are just beginning to incorporate operations into their planning process. Taking small steps toward building this approach can help make it accessible.

Engage Operating Agencies in Your Region

A first step in the approach is simply to bring together operating agency managers to begin a dialogue about improving system performance in the region. Operating agencies are typically already at the MPO table and involved in the transportation planning process. However, it is important to engage day-to-day operating agency managers from a systems operations perspective and not simply as advocates for capital projects. Developing an interagency committee that focuses on improving regional management and operations that meets regularly has been an effective technique used by several MPOs to engage operators in addressing regional operations. MPOs can use this forum to determine system performance priorities in the region, operations objectives, data availability, and funding opportunities.

Figure 1. An Objectives-Driven, Performance-Based Approach to Planning for Operations

Raise Visibility and Support of Operations among Decisionmakers in the Region

In preparing decisionmakers to commit to operations objectives, it is necessary to first raise their awareness of both system performance issues in the region and the value of operational improvements. In some regions, this has been done through presentations to the MPO board and managing operating agency management. Other regions have used fliers and brochures to highlight the benefits that operational improvements bring at a relatively low cost and in a short timeframe.

Develop One or More Goals that Focus on the Desired Operational Performance of the Transportation System

Establish one or more goals that focus on efficiently managing and operating the transportation system to be included in the MTP. The goals provide a basis for developing the operations objectives and should reflect input from operators in the region. A goal is a broad statement that describes a desired end state. In the metropolitan transportation planning process, goals stem from the values inherent in the region's vision. The goals may be created during the development or update of the MTP or in anticipation of the next update cycle.

Develop a Small Number of Simple Operations Objectives

Based on the identified operations goals, work with operators in the region to develop a small number of operations objectives that accurately reflect what the region would like to achieve and that stakeholders believe can be achieved within a certain timeframe. These operations objectives may start out as vague and then grow in specificity as the iterative process to define and refine the operations objectives advances. As the operations objectives become more precise, performance measures should be selected to provide adequate information to planners, operators, and decisionmakers on progress toward achieving the identified objectives. Throughout this process, it is vital that the agencies necessary for achieving the objectives be committed to realizing them.

Forming the Operations Objectives

• Initially focus on what to improve, such as delay or clearance time. Developing an objective around an important issue in the region – something that decisionmakers and the public care deeply about – will aid in getting buy-in and commitment to the objective.
• Select the area and time of focus, such as regionally significant arterials during peak hours.
• Identify what data is currently being collected in the region and may be available for tracking the objectives. Based on this information, make the operations objectives more specific and link them to performance measures.
• As fiscal constraints are applied while developing the MTP or as resources available from other sources become known, revisit the operations objectives to ensure feasibility.
• Collect baseline data for performance measures. Performance targets can be introduced into the operations objectives or adjusted with an understanding of baseline performance.

Use Operations Objectives to Identify and Select M&O Strategies for MTP and TIP

Once operations objectives have been decided upon, it is vital that they be used to influence the selection of projects and programs. In collaboration with operators in the region, M&O strategies should be identified and fully defined within the MTP that help to achieve the operations objectives. In selecting projects for funding, the ability to contribute to achieving the operations objectives should be included as a significant prioritization factor. The capability of the MPO to determine the impact of projects on the operations objectives may begin at a rudimentary level and become more comprehensive over time as the MPO improves its data resources and analytical tools.⁶

Collect Data on Selected Performance Measures to Monitor and Report Progress toward Objectives

Based on resource availability among the MPO and the collaborating operating agencies, a regular schedule for collecting data on each performance measure should be established. The difficulty of this element depends on the selection of operations objectives. Monitoring system performance should be sufficient to detect progress toward the region's operations objectives. Both to inform collaborating partners and decisionmakers as well as to maintain their interest, the results of the performance monitoring should be regularly reported, whether as a simple memo distributed to the participating agencies and MPO board or a glossy, full-color publication for the public. This information should be used to adjust investments or operations objectives that are no longer appropriate or beneficial.

1.4 Purpose of the Desk Reference

This desk reference is designed as a practical resource for MPOs and their partners – including State departments of transportation (DOT), transit agencies, and local governments – to advance operations in the metropolitan transportation planning process. It recognizes the wide diversity of MPOs in terms of size, growth, and congestion issues. Consequently, it is designed with flexibility in mind. The information contained in this document should help support efforts in small, medium, and large regions to incorporate operations objectives suitable to their unique circumstances and needs in their MTPs. This document should be used as a companion to the guidebook, Advancing Metropolitan Planning for Operations: An Objectives-Driven, Performance-Based Approach – A Guidebook. The guidebook describes how to use the objectives-driven, performance-based approach to integrate operations into the metropolitan planning process. This desk reference gives practitioners tangible examples of operations objectives that can be drawn from, in whole or in part, to develop MTPs. Additionally, the desk reference contains excerpts from a fictitious model plan showing how an MTP would incorporate operations using operations objectives and performance measures.

This desk reference contains the following sections:

Section 1, Introduction. An overview of the objectives-driven, performance-based approach is provided in this section. It also features ideas for getting started with implementing the approach for regions that are just beginning to incorporate operations into their metropolitan planning process.

Section 2, Developing Operations Objectives. This section provides a brief background on characteristics of operations objectives and provides a hierarchy for considering and developing operations objectives that might be included in an MTP.

Section 3, Menu of Operations Objectives. This section provides a set of sample operations objectives and associated performance measures and data needs organized by desired system outcomes and management and operations area. Reference tables are available in the beginning of the section to allow readers to find operations objectives based on their particular interest. Following the tables, are one- to two-page information sheets (fact sheets) that group together similar objectives under each category. The sheets contain sample operations objectives, performance measures, data required, and sample M&O strategies that may be considered to meet the objectives. In addition, any known safety benefits that may be realized by reaching the operations objectives on the sheet are highlighted.

Section 4, Model Transportation Plan. This section of the desk reference provides examples from a model metropolitan transportation plan that illustrate the integration of operations using the objectives-driven, performance-based approach. Examples of applying the approach from a basic, advancing, and comprehensive level are given to provide readers with a stronger understanding of how the approach may affect their MTPs.

Section 5, References and Resources. The document ends with information on additional references and resources to help in advancing operations in the metropolitan transportation planning process.