1. 1 based on FHWA Capability Maturity Model Workshops Transportation Systems Management and Operations (TSM&O) Collaboration

2. 2 Challenges Congestion and delay are increasing as economic and population growth continue but existing roadways have capacity constraints. A high value is placed on the reliability of the system. Reviewing the existing TSM&O versus state of practice: −Unsystematic −Pockets of excellence Opportunities Unexploited potential of aggressive, integrated, collaborative TSM&O applied to existing roadways. Agencies can develop the key capacities needed to improve TSM&O effectiveness.

3. 3 Objective: “Mainstreaming” continuous improvement in TSM&O Background: Major program of SHRP2 research and over 40 FHWA-sponsored State DOT workshops Workshop Process: Agency self-evaluation and improvement plans, with capability maturity model White Papers are available covering: State of the practice regarding agency capabilities Current agency approaches for improvement www.ops.fhwa.dot.gov/plan4ops/focus_areas/organiz ing_for_op.htmwww.ops.fhwa.dot.gov/plan4ops/focus_areas/organiz ing_for_op.htm

4. 4 Part of a series of six (available on web (http://www.transportationops.org/http://www.transportationops.org/ This presentation 1.Background (6 slides) on concept of “Capability Maturity” 2.Focus on Collaboration: workshop findings, actions determined by workshops 3.3 Best Practice case studies by workshop participants 4.Your Questions

5. 5 Business Processes Organization and Staffing Culture Systems and Technology Performance Measurement “Capabilities” Business and technical processes support strategies Organization and relationships support processes Effective TSM&O Strategies Collaboration

6. 6 1. Business Processes, including planning, programming and budgeting (resources) and project development and procurement. 2. Systems and Technology, including use of systems engineering, concepts of operations, systems architecture standards, interoperability, and standardization. 3. Performance Measurement, including measures definition, data acquisition, analytics, communication and utilization. 4. Culture, including technical understanding and business case, leadership, outreach, and program legal authority. 5. Organization and Staffing, including programmatic status, organizational structure and accountability, staff capabilities, training/development, and recruitment and retention. 6. Collaboration, including relationships with public safety agencies, local governments, MPOs, and the private sector.

7. 7 CAPABILITIES TIME To Here From Here

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9. 9 Program Status – Collaboration refers to cooperative arrangements between two or more entities working together to achieve shared goals, including:  Public-public cooperation with other levels of government/MPOs (jurisdiction, resources)  Public-public with the public safety community (jurisdiction, resources)  Public-Private collaboration through outsourcing partnerships. Note: Internal collaboration – among units within an agency is also important – and dealt with in the Organization and Staffing dimension

10. State DOT legacy – Agency legacy programs (e.g., construction and maintenance) are self-contained – most activities traditionally done by staff or contracted out. TSM&O strategies are different – with their own requirements:  Involve other’s networks (local government arterials)  Depend on other agency’s funding (sales taxes)  Include other legal domains (law enforcement)  Intersect with private sector traditions (towing and recovery)  Require skills and resources not possessed by DOTs (systems engineering and data management) 10

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12. 12 The summary in slides that follow will provide:  Typical state-of-play  Self-improvement actions suggested by workshop participants (May help you think through applicable actions in your agency)  Best Practice Case Studies which illustrate will follow NOTE: get ready with your questions!!

13. 1. Public safety agency (law enforcement, fire and emergency medical, emergency management, and hazmat) 2. Local government transportation units and Metropolitan/Regional Planning Organizations 3. Other sector service providers: towing and recovery; systems engineering; device maintenance; planning’ data development/ management’ Traffic Management Center (TMC) workforce’ Safety Service Patrol (SSP), and media) 13

14. 14 Capability Level 1 Relationships ad hoc and on personal basis (public-public, public-private) Capability Level 2 Objectives, strategies, and performance measures aligned among organized central players (transportation and public safety agencies) with after-action debriefing Capability Level 3 Rationalization/sharing/formalization of responsibilities among central players through co-training, formal agreements, and incentives Capability Level 4 High level of TSM&O coordination among owner/operators (State, local, private)

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16. 16 Recognition that good incident management is dependent on incident command and first responders Incident command variation from state-to-state Conflicting vs overlapping priorities among stakeholders Fuzzy boundaries in roles/jurisdictions Relationship styles – formal, informal

17. 17 Build on major programs of TIM training nationwide. Recognize need to “lead from behind” regarding mobility and the value of formal team-building, alignment, and co-training activities.  Mainstream lessons from the highly collaborative special planned events into routine day-to-day habits.  Encourage co-location and formal agreements (e.g., charters and MOUs) to improve alignment.  Institutionalize post-incident debriefings and formal acceptance and use of performance measures. Utilize resource sharing to enhance alignment of agencies. New: Recognize special demands of “advanced” TSM&O (e.g. Integrated Corridor Management and Active Traffic Management

18. 18 Planning/Programming - Wide variation Wide variation regarding MPO’s TSM&O planning: few examples, but good ones!! State DOT statewide /district TSM&O planning absent and minimal input into MPO planning Operations Interoperability problems and modest sharing of video and computer aided dispatch (CAD) data with locals Advanced TSM&O strategies present challenges for local action (e.g., diversion plans, coordinated operations, architectures Limited local government staff and resource availability -- but opposite challenge in local options sales tax contexts

19. 19 Set up formal agreements with other stakeholders for TSM&O (e.g., arterial owners and ICM stakeholders). Use resource-sharing contracts for efficient state and local allocation of signalization responsibility. Broadening MPO “technical” or “operations” committees to include full TSM&O strategies: planning; architecture, data Capitalize on congestion management process (CMP) data and analysis for TSM&O analysis and business case.

20. 20 State DOTs increasing dependence on private sector for special technical services, due to cost, staff level and capabilities constraints Varying policy environment regarding “privatization” Failure to address outsourcing and PPPs as permanent, manageable aspect of TSM&O Variation in arrangements: insourcing and outsourcing -- but limited peer-to-peer experience interchange Traditional procurement and contract methods are not fitting all the needs (e.g., low bid, unclear scopes, owner control, no performance Problems and issues with intellectual property rights

21. 21 Review core capabilities needed consistently in-house Consider implications of significant external dependency and for technically complex strategies. Utilize appropriate (not just legacy) form of PPP arrangement (e.g., scope, time span and procurement approach). Use performance incentives (not just low cost) to achieve objectives from contractor.

22. 22 One Executive Summary (covers all dimensions) Six White Papers – one on each capability dimension http://www.transportationops.org/

23. 23 Activities Possible sponsorship Develop guidance for formal TIM agreements with a special focus on aspects that improve their long-term viability FHWA Develop case study document regarding incentive-based towing and recovery agreements FHWA Poll State DOTs to determine extent of outsourcing; document current practices Operations Academy™, NOCoE, FHWA Develop methods for accommodating TSM&O activities and their resource requirements in both conventional statewide and metropolitan planning FHWA, NOCoE Identify promising examples of collaborative operational management involving State and local entities FHWA, AASHTO, AMPO, NOCoE FHWA Federal Highway Administration AASHTO American Association of State Highway and Transportation Officials NOCoE National Operations Center of Excellence

24. 24 Read the CMM reports and white papers Participate in FHWA state DOT Self-Evaluation Workshops and Regional Operations Forums Utilize NOCoE website to track developments and access resources Contact and communicate with corresponding staff in peer states

25. 25 FHWA HQ office through your local FHWA Division offices or NOCoE dmotiani@transportationops.org 202.624.5478