1. Performance-Based Planning and Programming 1 Session AMPO Annual Meeting, October, 2014

2. Session Agenda Update on Performance Based Planning & Federal Resources – Ben Williams FHWA Resource Center Planning Team Target Setting –Craig Casper Pikes Peak Council of Gov’ts. Performance Based Programming –Rich Perrin Genesee Transportation Council

3. Performance-Based Planning and Programming – Federal Resources AMPO Annual Meeting, October, 2014 Ben Williams, FHWA, Resource Center Egan Smith, FHWA, Office of Planning, Environment, & Realty

4. New Resources 4

5. Peer Exchanges Target Setting Exchange held June 17, 2014 Scottsdale, AZ ( Address of posted Summary report http://www.planning.dot.gov/focus_performance.asp ) Project Prioritization Exchange scheduled for December 2014, North Carolina

6. Under Development Guide to Using a Transportation Performance Based Scenario Planning Approach, Project Prioritization and Performance Based Planning and Programming (PBPP) Guidebook, PBPP and E-STIP Guidebook

7. Overview of Performance Management Broad consensus that performance management is important for accountability and transparency in the transportation industry Most agencies track and report various aspects of system and agency performance Need to integrate performance management principles into planning and programming There is a requirement for a consistent national approach 7

8. Performance-based Planning and Programming Key role for planning and programming to influence more performance-based decision-making FHWA, FTA, AASHTO, APTA, AMPO, NARC and NADO working informally to: o Define key elements of performance-based planning/prog. o Identify examples of good practice o Engage with stakeholders and identify key challenges and opportunities for capacity building 8

9. MAP-21 Background-Performance  National Goals – Seven goals to focus the Federal aid program and supported through the statewide and metropolitan planning process.  Measures – DOT to promulgate a rulemaking to establish performance measures for twelve areas within 18 months of October 1, 2012.  Targets - All States and MPOs required to set targets for each of the measures established by DOT. States have 1 year to set targets and MPOs must set targets no later than 180 days afterward  Plans – All States and MPOs are required to develop a number of plans to document the strategies and investments they will make to achieve performance targets.  Reports – All States and MPOs are required to report on progress toward the achievement of their targets.  Accountability – All States (except PR) will be held accountable to making significant progress toward the achievement of their targets set for the NHPP and the HSIP. 9

10. Ten Interrelated Rulemakings Planning Statewide and Nonmetropolitan Trans Planning; Metropolitan Trans Planning Highway Safety Safety Performance Measures Highway Safety Improvement Program (HSIP) Highway Safety Grants Program Highway Conditions Pavement and Bridge Condition Measures Highway Asset Management Plan Congestion/System Performance System Performance, Congestion, Freight, and Emissions Performance Measures Transit Performance Transit Asset Management National Transit Safety Program Transit Agency Safety Plan 10

11. MAP-21 FHWA TPM Rulemaking Schedule Performance AreaNPRMComments due FHWA: Safety Performance MeasuresMarch 11, 2014Closed June 30, 2014 Highway Safety Improvement Program March 28, 2014 Closed June 30, 2014 Statewide and Metro Planning; Non-Metro Planning June 2, 2014 Open until October 2, 2014 Pavement and Bridge Performance Measures October 201490 days Highway Asset Management PlanDecember 201460 days System Performance MeasuresJanuary 201590 days

12. MAP-21 FHWA Rulemaking Schedule Planning AreaNPRMComments due FHWA: Planning and Environmental Linkages September 10, 2014 Open until November 10, 2014

13. Designed as a practical resource to help State DOTs, MPOs, and transit agencies understand  What the key elements of a PBPP process are, and  How they fit within existing planning and programming. Highlights examples of effective practices o State DOTs, MPO, and transit agencies o LRTP, TIP / STIP, and planning process elements (e.g., SHSPs, CMP, Asset Management Plans, etc.) PBPP Guidebook http://www.fhwa.dot.gov/planning/pbp/

14. Additional Background Guidebook was developed between June 2012 and August 2013 A stakeholder committee of practitioners from state DOTs, MPOs, transit agencies, and national associations guided the development and provided significant input The Guidebook is not intended to provide guidance regarding the implementation of MAP-21; rather, it is meant to showcase effective practices and provide useful information to agencies on how to use performance information to guide decision- making

15. PBPP refers to the application of performance management within the planning and programming process to achieve desired performance outcomes for the multimodal transportation system. Includes a range of activities and products. o Development of long range transportation plans (LRTPs) o Federally-required plans and processes -- such as Strategic Highway Safety Plans (SHSPs), Asset Management Plans, the Congestion Management Process (CMP), Transit Agency Asset Management Plans, and Transit Agency Safety Plans o Other plans o Programming documents, including State and metropolitan Transportation Improvement Programs (STIPs and TIPs) What is Performance-based Planning and Programming (PBPP)?

16. Guidebook Structure Executive Summary I. Purpose and Overview II. Overview of PBPP: Key Concepts III. Develop Goals and Objectives IV. Select Performance Measures V. Identify Trends and Targets VI. Identify Strategies and Analyze Alternatives VII. Develop Investment Priorities in the LRTP VIII. Programming – Develop Investment Priorities in the TIP and STIP IX. On-going Monitoring, Evaluating, and Performance Reporting X. Keys to Success XI. Case Studies XII. Additional Resources Key PBPP Elements

17. PERFORMANCED-BASED PLANNING AND PROGRAMMING Goals and Objectives Performance Measures Identify Trends and Targets Identify Strategies and Analyze Alternatives Investment Plan Resource Allocation Program of Projects Strategic Direction Where do we want to go? Analysis How are we going to get there? Programming What will it take? Implementation and Evaluation How did we do? Monitoring Evaluation Reporting Develop Investment Priorities DATA PUBLIC INVOLVEMENT PLANNING

18. Target Setting Key question – Aspirational or vision-based targets vs. evidence-based targets No single approach appropriate for all areas MAP-21 requires evidence-based targets – what do you expect to achieve 18

19. Performance Targets States must coordinate, to the maximum extent practical with relevant MPOs in selecting a target to ensure for consistency MPOs must coordinate, to the maximum extent practical, with the relevant State/s in selecting a target to ensure consistency Coordination required with public transportation providers, to the maximum extent practical. States and MPOs must integrate other performance plans into the planning process MAP-21: Performance Management

20. Integrating Performance-Based Plans into the Planning Process Strategic Highway Safety Plans Transportation Asset Management Plans - Highway Congestion Management Process Transit Asset Management Plans Transit Safety Plans State Freight Plans 20

21. MTC Targets for Sustainable Community Strategy/RTP Goal Area: Transportation System Effectiveness –Targets Decrease average per-trip travel time by 10% Increase local road pavement condition (PCI) to 75 or better Decrease distressed lane-miles of state highways to less than 10% of total lane-miles Reduce average transit asset age to 50% of useful life 21

22. Programming – Developing Investment Priorities in the TIP/STIP Under a PBPP framework, programming of projects and strategies in the MPO and State Transportation Improvement Program (TIP/STIP) supports desired performance outcomes. The TIP/STIP communicate specifics of investments, funding sources, and how investments contribute to system performance improvements Linking the Long Range Transportation Plan (LRTP) and other performance-based plans with programming is often challenging for agencies – but there are some effective approaches.

23. Programming – Developing Investment Priorities in the TIP/STIP The programming process can use project selection criteria, which reflect the priorities and desired performance outcomes identified in the planning process –Atlanta Regional Commission (ARC) implemented a project prioritization method in its RTP and TIP, which evaluates capacity expansion projects based on environmental impact, support for regional land use policies, and ability to reduce congestion. –North Carolina DOT’s “Policy to Projects” process uses a scoring process to prioritize projects based on quantitative data, and also accounts for local input and multimodal characteristics It can ensure consistency of the TIP/STIP with LRTP investment priorities and goals The Southeast Michigan Council of Governments (SEMCOG) tracks consistency of projects in its TIP with investment levels identified in the agency’s long-range plan.

24. Developing an Investment Plan Investment plans are used by some agencies to identify projects, programs, and strategies at a more detailed level than the long-range plan o Connects LRTP to STIP or TIP o Effective prioritization addresses how to balance various goals given constraints Examples: Minnesota DOT – Performance focus of long range plan carried through to investment and capital plans – each mode has a separate plan New Jersey DOT’s Statewide Capital Investment Strategy – tool that links project funding selection with broad program objectives using performance analysis

25. Model Long-Range Transportation Plans: A Guide for Incorporating Performance-based Planning SEPTEMBER 2014

26. Purpose of the Guidebook  Companion to the FHWA and FTA Performance Based Planning and Programming Guidebook  Intended to provide detailed information about developing a performance- based statewide long-range or metropolitan transportation plan 26

27. Organization of the Guidebook 1.Introduction 2.Overview: Developing a Performance-Based Transportation Plan 3.Public and Stakeholder Participation and Agency Collaboration 4.Scoping and Baseline Information 5.Strategic Vision, Goals, and Objectives 6.Performance Measures and Targets 7.Transportation System Performance Report 8.Identification of System Needs, Potential Strategies, and Costs 9.Investment Analysis and Selection 10.Connecting the Transportation Plan and Programming 11.Case Studies Appendix: Federal Requirements for Transportation Plans Resources Lists 27

28. Key Elements of a Performance-based Plan 28  Baseline information on the transportation system  Goals and objectives  Performance measures  Preferred trends and targets  System performance report  Forecasts of future conditions and needs  Strategies and investments  Financial plan

29. Performance‐based Elements of the Transportation Plan 29 Plan ElementsState Long Range Transportation Plan (LRTP) Metropolitan Transportation Plan (MTP) Plan development process Performance‐based approach to transportation decision‐making Performance‐driven, outcome‐based approach Performance Measures and Targets Description of performance measures and targets System Performance Report Evaluating the condition and performance of the transportation system Financial Plan Demonstrates how the plan can be implemented and indicates resource availability Integration of other Performance based plans (in the process) Directly or by reference, the goals, objectives, performance measures, and targets of other PBP BOLD ITEMS ARE REQUIRED

30. Relationships Between LRTP and Other Performance-Based Plans 30 Performance Management Elements Long Range PlanPerformance-Based Plans (SHSP, CMP, TAMP, etc.) Goals/ObjectivesBroad goals touching all areas Drill down into the details of each goal, define meaningful objectives Performance MeasuresLimited number of high level measures Additional measures to address objectives more thoroughly Target Setting – Evaluate Programs, Projects & Strategies Scenario analysis and tradeoff decisions across goals and measures Identify & prioritize range of strategies. Define scenario bounds Allocate ResourcesResource constrained targets and trends Implementation plan (phasing and funding) Measure, Evaluate and Report Results Monitor and report system performance Evaluate effectiveness for update cycle

31. Formats for Performance-based Plans 31  Model performance-based transportation plan Incorporates all performance-elements directly into the plan  A document that provides strategic direction to a “family” of performance-based plans or the programming process

32. “Family” of Plans Example 32 Source: Minnesota Department of Transportation, Minnesota State Highway Investment Program, Page 11. Minnesota DOT Plans and Programs