January 2012

Primer

Creating an Effective Program to Advance

Transportation System Management and

Operations
Notice

This document is disseminated under the sponsorship of the U.S. Department of Transportation 

in the interest of information exchange. The U.S. Government assumes no liability for the use 

of the information contained in this document. This report does not constitute a standard, 

specification, or regulation.

The U.S. Government does not endorse products or manufacturers. Trademarks or 

manufacturers’ names may appear in this report only because they are considered essential to 

the objective of the document.

Quality Assurance Statement

The Federal Highway Administration (FHWA) provides high-quality information to serve 

government, industry, and the public in a manner that promotes public understanding. 

Standards and policies are used to ensure and maximize the quality, objectivity, utility, and 

integrity of its information. The FHWA periodically reviews quality issues and adjusts its 

programs and processes to ensure continuous quality improvement. 

Foreword
-iList of Figures

Figure I. Sources of Congestion..............................................................................................................2

Figure 2. Best Practice Incident Management Reduction...................................................................3

Figure 3. Examples of Agencies Moving Towards Comprehensive TSM&O Programs..................4

Figure 4. Relationships Among Program, Processes in Institutional Framework...........................5

Figure 5. Levels of Agency Capability Maturity .....................................................................................7

Figure 6. Using the Tables – Example.....................................................................................................8

Figure 7. Virginia Department of Transportation (VDOT) SOPP Structure................................ 12

Figure 8. Florida DOT Business Plan.................................................................................................... 13

Figure 9. Participant Worksheet .......................................................................................................... 14

Table of Contents

INTRODUCTION................................................................................................................1

PURPOSE OF THE PRIMER .....................................................................................................................1

BACKGROUND...................................................................................................................2

BASIC TRANSPORTATION SYSTEMS MANAGEMENT AND OPERATIONS STRATEGIES.....2

List of Tables

Table 1. Current Level of Agency Capability ........................................................................................9

Table 2. General Strategies to Advance to the Next Level of Capability .................................... 10

-1-

PURPOSE OF THE PRIMER

The purpose of this Primer is to raise 

awareness of the opportunities for 

improving the effectiveness of State and 

local Transportation System Management 

and Operations (TSM&O) activities. 

The Primer provides high-level guidance 

focused on key program, process, and 

organizational capabilities that are 

essential to the development of more 

effective TSM&O strategy applications. 

It is aimed at program and activity-level 

managers responsible for TSM&O related 

activities in State, regional, and local 

transportation agencies. 

Research shows that moving beyond a 

collection of ad hoc strategy applications to 

an effective TSM&O program is dependent 

on deliberate change management to improve 

agency capabilities in six specific dimensions. 

The “capability maturity” approach presented 

here identifies the key areas that impact 

program effectiveness: business processes, 

systems and technology, performance 

measurement, culture, organization and 

workforce, and collaboration. 

Creating an effective program to advance 

TSM&O guidance is structured for agency self 

evaluation – so that agencies can identify their 

current areas of strength and weakness. The 

Primer provides the following information:

• Descriptions of the six key dimensions of 

agency capability that support improved 

system operations and management 

effectiveness;

• Definitions of capability improvement 

levels that support increasing effectiveness 

in each of the six dimension; and

• Descriptions of the actions an agency can 

take to reach the next level of capability 

in each dimension, and illustrate its 

implementation through several examples.

For more detailed information, a link is 

provided to the web-based American 

Association of State Highway and 

Transportation Officials (AASHTO) Guide 

to Systems Operations and Management 

Improvement. In addition, the FHWA is 

sponsoring State and regional workshops for 

agency management personnel to facilitate 

their use of the guidance on an as-requested 

basis.

INTRODUCTION
-2-

BASIC TRANSPORTATION SYSTEMS MANAGEMENT AND 

OPERATIONS STRATEGIES

The Need for TSM&O

As congestion spreads and intensifies and 

the level of incidents, delays, and disruptions 

increase, the level of service and reliability 

of the roadway systems in many areas 

continues to deteriorate. Given the 

constraints on the provision of significant 

new capacity, it is increasingly important to 

operate the existing network to its fullest 

service potential, especially “taking back” 

the capacity lost to congestion, incidents, 

construction, weather, poor signalization, 

etc. The contribution of these problems to 

congestion is shown in Figure 1.

TSM&O offers the potential to provide 

an integrated program to optimize the 

performance of existing infrastructure through the implementation 

of specific systems and services that preserve capacity and 

improve reliability and safety. The TSM&O activities focus 

on a set of well-known strategies such as incident 

management, traffic signal timing, ramp metering, 

road weather management, and others.

BACKGROUND

Special

Events

(5%)

Bottlenecks

(40%)

Traffic

Incidents

(25%)

Bad

Weather

(15%)

Work

Zones

(10%)

Poor Signal

Timing

(5%)

Figure I. Sources of Congestion
-3-

Improving TSM&O Program 

Effectiveness 

The logic for aggressive pursuit of 

TSM&O is compelling. The TSM&O 

strategies are extremely cost effective 

(and low cost) with relatively short-lead 

times. As shown in Figure 2, there is a 

wide variation among agencies regarding 

the effectiveness of their TSM&O – 

reflecting differences in the degree of 

commitment in terms of organization, 

resources, and program innovation.

A major challenge for transportation 

agencies is the identification of ways in 

which they might improve their programs – 

especially what changes in existing practices 

or new arrangements are needed to support 

expanded and aggressive TSM&O activities.

Recent research conducted by both the 

Transportation Research Board (TRB) and 

AASHTO has focused on ways in which the 

effectiveness of existing TSM&O activities 

in State and local agencies might be 

improved. Surprisingly, the wide variations 

in the effectiveness of TSM&O (defined 

by impacts on delay and reliability) found 

that they were not the result of differences 

in technology, level of investment, or 

knowledge of basic strategies. Rather, 

the effectiveness of departments of 

transportation (DOT) appears to be closely 

related to the development of the specific 

processes and institutional arrangements 

needed to support TSM&O strategies. 

0

10

20

30

40

50

60

70

80

San Antonio, 

Texas

Albuquerque, 

New Mexico

Atlanta, 

Georgia

Fairfax, Maryland

Virginia

Average Reduction in Incident Duration (Percent)

Figure 2. Best Practice Incident Management

Reduction

Source: FHWA, ITS Benefits and Costs Database.
-4-

Figure 3 provides some examples of successful innovations and changes made by State DOTs in 

pursuit of improved TSM&O programs.

The research indicates the importance of focusing on critical dimensions, including: 

• Processes that support effective applications such as integration of TSM&O into 

planning, consistent use of systems engineering, standardization and documentation, 

and performance management; and

• Institutional characteristics that support the processes such as leadership commitment, 

organizational consolidation, staff development, and external collaboration. 

New collaboration arrangements can make a difference:

Both the Florida Department of Transportation (FDOT) Rapid Incident Scene Clearance (RISC) 

program and Georgia DOT Towing and Recovery Incentive Program (TRIP) are public-private 

partnerships that utilize both incentive payments and disincentive liquidated damages to ensure 

shortened clearance times for heavy vehicle wrecks. These programs are the implementation of 

TSM&O strategies and have reduced the average clearance times by 100 percent. 

Staff training in program development is important: 

The 16-State I-95 Corridor Coalition has supported an “operations academy,” which is a two-week 

residential program designed to provide middle and upper managers in State DOTs with a thorough 

grounding in various aspects of systems operations and management state of the practice. 

A formal program and budget can be important: 

The Maryland State Highway Administration (SHA) Coordinated Highways Action Response 

Team (CHART) program is a formal, multiyear budgeted ITS and operations program with an 

advisory board that provides oversight and strategic direction.

High-level reorganization can make a difference: 

Virginia DOT has reorganized its senior management to include a Deputy Director for 

Operations and Maintenance responsible for all systems operations and management activities 

as well as maintenance resources. 

Measuring performance is essential: 

The Washington State DOT has made a strong and transparent commitment to performance 

measurement as evidenced by the quarterly Gray Notebook, which tracks performance based 

on five legislative goals for the Washington State DOT, including mobility/congestion, and 

includes regular updates on progress in the application of operations strategies such as incident 

management and High-Occupancy Toll (HOT) lanes.

Figure 3. Examples of Agencies Moving Towards Comprehensive TSM&O Programs
-5-

As suggested in Figure 4, it is apparent that reaching full TSM&O program potential 

requires certain specific business and technical process dimensions and supporting 

institutional arrangements be put in place and managed – just like the other formal 

core program of the DOTs.

Figure 4. Relationships Among Program, Processes in Institutional Framework

Capability Maturity Concept to Improve TSM&O

A specific guidance framework has been developed to help transportation agencies 

improve the effectiveness of their TSM&O activities. The framework is based on 

self-evaluation regarding the key process and institutional capabilities required from 

a transportation agency (or group of agencies) to achieve effective TSM&O. This 

framework is adapted from a concept developed in the IT industry called the Capability 

Maturity Model, which has been tailored to the transportation community. 

The Capability Maturity Model identifies the key dimensions of process and institutional 

capability that directly relate to improving program effectiveness. It converts what were 

previously fuzzy concepts into specific manageable actions to improve capability. 

Self-Evaluation

The Operations Capability Improvement Process starts with a self evaluation of the 

agency’s current level of capability in the key dimensions and – based on the evaluation – 

provides the strategies and related actions needed to reach the next level of capability.

The Basis for Improvement

• Identified characteristics 

of an effective TSM&O 

program

• Recognized dependence 

on specific business and 

technical processes

• Identified required 

organization structure 

and relationships Supporting Institutional

Framework

Processes that

Support Program

The “Program”
-6-

Key Dimensions of Capability

Six critical dimensions (and their corresponding sub-dimensions) are closely 

associated with the more effective TSM&O 

activities, including:

1. Business processes – including formal 

scoping planning, programming, and 

budgeting;

2. Systems and technology – including 

systems architecture, standards, interoperability, and standardization and 

documentation;

3. Performance measurement – including 

measures definition, data acquisition, 

analysis, and utilization;

4. Culture – including technical understanding, leadership, policy commitment, 

outreach, and program authority;

5. Organization and workforce – including 

organizational structure, staff capacity, 

development, and retention; and

6. Collaboration – including relationships 

with public safety agencies, local governments, MPOs, and the private sector.

Levels of Agency Capability

For each of the six dimensions there 

are discrete levels of agency capability – 

observed in actual agency practice. These 

levels range from “ad hoc” activities to 

more “integrated” program levels. 

Four incremental levels of capability are 

used to assess current state of play and 

improvement targets for each dimension. 

They are defined as “doable” steps, each 

building on the one before:

•	Level 1: Performed – Activities and 

relationships largely ad hoc, informal, and 

champion-driven – substantially outside 

the mainstream of other transportation 

activities.

•	Level 2: Managed – Basic strategy 

applications in place with key process 

and needed staff capacities under development – but limited accountability and 

collaboration and sustainable resources.

•	Level 3: Integrated – Standardized 

strategy applications implemented in 

priority contexts and managed for 

performance; the TSM&O technical 

and processes developed, documented, 

and integrated into the regional transportation agencies, partnerships aligned. 

•	Level 4: Optimized – The TSM&O 

as full, sustainable, regionwide program, 

established on the basis of continuous 

improvement with all partners.

The relationships among the levels are 

illustrated in the Figure 5 graphic (found on 

page 7).
-7-

Figure 5. Levels of Agency Capability Maturity

TSM&O Capability Improvement Guidance Available

The concepts of key dimension of capability, levels of achievement, and self evaluation have 

been combined into a guidance framework to assist agencies in improving their capability 

for effective TSM&O. The guidance is available at several levels. 

• This Primer includes a high-level summary of concepts to provide agencies with the 

generalized strategies needed to move on an incremental basis from their current 

state of practice to the next level of capability for effective TSM&O.

• Workshops supported by the FHWA – in which State DOT and other regional 

partners are led through a facilitated use of the guidance structure, discussion with 

outside peers, and develop their own custom-tailored action plans.

• The web-based AASHTO Guide to Systems Operations and Management Capability 

Improvement is available at http://www.aashtosomguidance.org. This guide has separate 

versions for top management, program managers, or senior staff and can be tailored to 

current agency activities and capabilities in the TSM&O arena. 

Goal for 

the Future

Performed

LEVEL 1 Managed

LEVEL 2

Integrated

LEVEL 3 Optimized

LEVEL 4

• Processes 

developing

• Staff training

• Limited 

accountability

• Activities and 

relationships ad hoc

• Champion-driven

• Process 

documented

• Performance 

measured

• Organization/

partners aligned

• Program budgeted

• Performance-based

improvement

• Formal program

• Formal partnerships
-8-

Using the Primer 

This Primer presents a simplified high-level 

version of the guidance via use of the two 

tables below – Table 1 (in Figure 6) is used 

for agency self-evaluation, and Table 2 (in 

Figure 6) identifies the related strategies for 

agency capability improvement. Together, 

these provide a quick assessment of the key 

challenges facing the agency in improving 

the effectiveness of the TSM&O program.

Review Table 1. The table presents the 

six critical capability maturity dimensions – 

as defined in the first column – needed to 

develop and maintain an effective TSM&O 

program. For evaluation purposes, four 

distinct levels of agency capability have been 

defined for each of the six dimensions.

Select the cell that most closely reflects 

your agency’s current capability level for 

each of the dimensions. Then go to Table 2.

Review Table 2. The table presents 

the general strategies needed to move 

up to the next level of capability for each 

dimension. For each of the six dimensions 

(rows), go to the cell representing your 

agency’s current level of capability that 

you identified in Table 1. This cell presents 

general management strategy to get from 

your current level of capability (Table 1) to 

the next highest level.

Using the TSM&O Capability 

Improvement Framework

Figure 6 illustrates an example of how to 

use the tables. Start by identifying your 

current agency level in each dimension 

(row) in Table 1.

Figure 6. Using the Tables – Example

Then, go to corresponding cell in Table 2.

The Guidance provided in the 

corresponding cell is a high-level description 

of the actions needed 

to get to the 

next level of 

capability. 

Table 1. Current Level of Agency Capability

Capability Dimension Level 1 Level 2 Level 3 Level 4

Business Processes 

(Planning, programming, 

implementation)

Processes related to 

TSM&O activities ad hoc 

and unintegrated

Multiyear statewide O&M plan and 

program exists with deficiencies, 

evaluation, and strategies

Programming Budgeting, and 

project development processes 

for TSM&O standardized and 

documented

Processes streamlined and subject 

to continuous improvement

Systems and Technology

(Systems engineering and technology 

interoperability

Ad hoc approaches 

outside systematic systems 

engineering

Systems Engineering employed 

and consistently used for 

ConOps, architecture and 

systems development

Systems and technology 

standardized, documented and 

trained statewide, and new 

technology incorporated

Systems and technology routinely 

upgraded and utilized to improve 

efficiency performance

Performance Measurement 

(Measures, data and analytics, 

and utilization) 

No regular performance 

measurement related 

to TSM&O

TSM&O strategies measurement 

largely via outputs, with limited 

after-action analyses

Outcome measures identified 

and consistently used for TSM&O 

strategies improvement

Mission-related outputs/outcomes 

data routinely utilized for 

management, reported internally 

and externally, and archived

Culture 

(Technical understanding, leadership, 

outreach, and program authority)

Value of TSM&O not 

widely understood beyond 

champions

Agencywide appreciation of the 

value and role of TSM&O

TSM&O accepted as a formal 

core program

Explicit agency commitment to 

TSM&O as key strategy to achieve 

full range of mobility, safety and 

livability/sustainability objectives

Organization/Workforce 

(Organizational structure and 

workforce capability development)

Fragmented roles based 

on legacy organization and 

available skills

Relationship among roles and units 

rationalized and core staff capacities 

identified

Top-level management position and 

core staff for TSM&O established 

in central office and districts

Professionalization and 

certification of operations core 

capacity positions including 

performance incentives

Collaboration 

(Partnerships among levels of 

government and with public safety 

agencies and private sector)

Relationships on 

informal, infrequent and 

personal basis

Regular collaboration at 

regional level

Collaborative interagency 

adjustment of roles/responsibilities 

by formal interagency agreements

High level of operations 

coordination institutionalized 

among key players – public 

and private

Table 2. General Strategies to Advance to the Next Level of Capability

Capability Dimension Level 1 to Level 2 Level 2 to Level 3 Level 3 to Level 4

Business Processes 

(Planning, programming, 

implementation)

Establish framework for suitable TSM&Orelated planning and programming activities Develop multiyear statewide TSM&O plan 

and related process improvements 

Integrate new operations objectives and 

processes into department activities as 

formalized standard operating procedures 

Systems and Technology 

(Systems engineering and technology 

interoperability)

Introduce systems engineering into project 

development processes 

Develop tools, procedures and training 

to support standardized systems 

engineering process 

Coordinate and update architectural 

activities with performance measurement 

on a continuing basis 

Performance Measurement 

(Measures, data and analytics, and 

utilization) 

Identify output and outcome performance 

measures for the selected operations 

activities 

Develop data collection and management 

plan to support utilization of outcome 

performance measures 

Develop routine performance management 

process for continuing improvements in 

operating policies, procedures, systems 

and deployments 

Culture 

(Technical understanding, leadership, 

outreach, and program authority)

Develop business case for TSM&O and 

continuous improvement of operations 

performance 

Establish TSM&O with a formal core 

business program status equivalent to other 

major programs 

Rationalize TSM&O program development 

with other programs on basis of servicerelated cost-effectiveness

Organization/Workforce 

(Organizational structure and 

workforce capability development)

Identify needed adjustments in 

organizational structure, staffing roles 

and responsibilities supportive of system 

management and operations

Integrate TSM&O organization and staff 

into overall agency structure and clarify 

reporting relationships 

Create a management and organizational 

structure for TSM&O equivalent to that of 

other major agency programs 

Collaboration 

(Partnerships among levels of 

government and with public safety 

agencies and private sector)

Establish mechanisms for regular 

coordination and cooperation 

Execute formal interagency agreement for 

cooperative approach 

Negotiate effective roles and 

responsibilities in light of agency priorities, 

resources and objectives 
-9-

Table 1. Current Level of Agency Capability

Capability

Dimension Level 1 Level 2 Level 3 Level 4

Business 

Processes 

(Planning, 

programming, 

implementation)

Processes related to 

TSM&O activities ad 

hoc and unintegrated

Multiyear statewide 

O&M plan and 

program exists with 

deficiencies, evaluation, 

and strategies

Programming 

budgeting, and 

project development 

processes for 

TSM&O standardized 

and documented

Processes streamlined 

and subject 

to continuous 

improvement

Systems and 

Technology

(Systems engineering 

and technology 

interoperability)

Ad hoc approaches 

outside systematic 

systems engineering

Systems Engineering 

employed and 

consistently used for 

ConOps, architecture 

and systems 

development

Systems and 

technology 

standardized, 

documented and 

trained statewide, 

and new technology 

incorporated

Systems and 

technology routinely 

upgraded and utilized 

to improve efficiency 

performance

Performance 

Measurement 

(Measures, data 

and analytics, and 

utilization) 

No regular 

performance 

measurement related 

to TSM&O

TSM&O strategies 

measurement largely 

via outputs, with limited 

after-action analyses

Outcome measures 

identified and 

consistently used for 

TSM&O strategies 

improvement

Mission-related 

outputs/outcomes 

data routinely utilized 

for management, 

reported internally 

and externally, and 

archived

Culture 

(Technical 

understanding, 

leadership, outreach, 

and program 

authority)

Value of TSM&O not 

widely understood 

beyond champions

Agencywide 

appreciation of the 

value and role of 

TSM&O

TSM&O accepted as a 

formal core program

Explicit agency 

commitment to 

TSM&O as key 

strategy to achieve 

full range of mobility, 

safety and livability/

sustainability 

objectives

Organization/

Workforce 

(Organizational 

structure and 

workforce capability 

development)

Fragmented roles 

based on legacy 

organization and 

available skills

Relationship among 

roles and units 

rationalized and 

core staff capacities 

identified

Top-level management 

position and core 

staff for TSM&O 

established in central 

office and districts

Professionalization 

and certification 

of operations core 

capacity positions 

including performance 

incentives

Collaboration 

(Partnerships among 

levels of government 

and with public safety 

agencies and private 

sector)

Relationships on 

informal, infrequent 

and personal basis

Regular collaboration 

at regional level

Collaborative 

interagency 

adjustment of roles/

responsibilities by 

formal interagency 

agreements

High level of 

operations 

coordination 

institutionalized 

among key players – 

public and private
-10-

Table 2. General Strategies to Advance to the Next Level of Capability

Capability

Dimension Level 1 to Level 2 Level 2 to Level 3 Level 3 to Level 4

Business Processes 

(Planning, programming, 

implementation)

Establish framework for 

suitable TSM&O-related 

planning and 

programming activities 

Develop multiyear statewide 

TSM&O plan and related 

process improvements 

Integrate new operations 

objectives and processes 

into department activities 

as formalized standard 

operating procedures 

Systems and Technology

(Systems engineering and 

technology interoperability)

Introduce systems 

engineering into project 

development processes 

Develop tools, procedures, 

and training to support 

standardized systems 

engineering process 

Coordinate and update 

architectural activities with 

performance measurement 

on a continuing basis 

Performance 

Measurement 

(Measures, data and analytics, 

and utilization) 

Identify output and 

outcome performance 

measures for the selected 

operations activities 

Develop data collection and 

management plan to support 

utilization of outcome 

performance measures 

Develop routine 

performance management 

process for continuing 

improvements in operating 

policies, procedures, 

systems, and deployments 

Culture 

(Technical understanding, 

leadership, outreach, and 

program authority)

Develop business 

case for TSM&O and 

continuous improvement of 

operations performance 

Establish TSM&O with 

a formal core business 

program status equivalent 

to other major programs 

Rationalize TSM&O 

program development 

with other programs on 

basis of service-related 

cost-effectiveness

Organization/Workforce 

(Organizational structure and 

workforce capability development)

Identify needed adjustments 

in organizational structure, 

staffing roles and responsibilities supportive of 

system management and 

operations

Integrate TSM&O 

organization and staff into 

overall agency structure and 

clarify reporting relationships 

Create a management and 

organizational structure for 

TSM&O equivalent to that of 

other major agency programs 

Collaboration 

(Partnerships among levels of 

government and with public safety 

agencies and private sector)

Establish mechanisms 

for regular coordination 

and cooperation 

Execute formal 

interagency agreement for 

cooperative approach 

Negotiate effective roles 

and responsibilities in 

light of agency priorities, 

resources, and objectives 
-11-

TSM&O in Practice 

The strategies of Table 2 are the “themes” for the management actions essential to 

improvement of capability in each of the six dimensions. No dimension can be ignored. 

They are all essential and mutually supportive components of improving agency 

capability for effective TSM&O.

The dimension at the lowest level is usually the principal constraint to improving 

program effectiveness – and often the most difficult to address! Nevertheless, it should 

be the highest priority. This is because improved performance levels result from the 

synergism among the processes and the institutional arrangements that are needed to 

support them. The agency’s overall level of program effectiveness is determined by the 

dimension with the lowest level. 

For any element, levels cannot be skipped. Actions taken for a given dimension need to 

be in place for a period (e.g., one year) to become embedded as the basis of the next 

level of improvement.

This simple process provides a mechanism for agencies to assess their strengths 

and weaknesses. It also provides the basis for an action plan, by which agencies can 

identify specific areas that can be improved with the overall payoff of enhanced TSM&O 

performance. 
-12-

Example Applications

The Virginia Department of 

Transportation (VDOT) developed a 

new Statewide Operations Program Plan 

(SOPP) using the TSM&O Capability 

Improvement approach of dimensions 

and levels. This framework provided 

the framework for both VDOTs Central 

Office and regional evaluations – and 

the development of specific actions that 

are being embodied in both ongoing 

technical and policy development. 

Figure 7 illustrates their 

approach.

Figure 7. Virginia Department of Transportation (VDOT) SOPP Structure

Findings and Analysis

Best Practices Central Office Scans Regional Scans

Regional Needs

Regional Workshop

• Long-range operations mission

and policy

• Continuous improvement 

framework

• Incremental actions 

scoped for immediate follow-up

SOPP

Capability Maturity 

Model Framework

Emergency Response

Action Plan

Follow-On State Programs (Operations/ITS LRP,

 ITS Communications Master Plan, ITS Architecture, 

Traffic Incident Management Program, etc.)
-13-

Figure 8. Florida DOT Business Plan

Florida DOT Business Plan

Criteria Area Objectives Activities Performance 

Indicators Targets Progress Person(s) Responsible

Mission

Vision

1. Leadership

2. Strategic 

Planning

3. Customer and 

Market Focus

4. Measurement, 

Analysis, 

Knowledge 

Management

5. Human 

Resource 

Focus

6. Process 

Management

7. Organizational 

Results

Florida DOT uses a “business planning” 

process – created in organizational “tiers” 

from program focus to district level to 

statewide – as shown in Figure 8 below. 

The TSM&O capability improvement 

framework was used to identify additional 

levels of detail for consideration in the 

program-level analysis.

Several State DOTs and regions have been 

using the TSM&O capability improvement 

framework in workshops designed to help 

DOT and partner agency managers and 

staff self-identify the dimensions where 

improvement would have the greatest 

payoff in improved TSM&O program 

effectiveness. In these workshops, the 

participants evaluate their current level 

of capability (as highlighted in Figure 9) 

and then identify key strategies needed to 

improve up to the next level. 
-14-

Additional resources in the form of TSM&O Capability Improvement Workshops

While this Primer is limited to a high-level approach to evaluate capability and identify 

improvement strategies, there are two opportunities to utilize the framework to develop a more 

custom-tailored approach and to access detailed guidance. 

The FHWA supports State DOT and regional workshops to tailor guidance more specifically 

to the State and regional context. The workshop begins with a self-evaluation process based on 

the guidance structure. The evaluation is conducted by the participating transportation agency 

staff members, based on their detailed knowledge of the current status of their organization. A 

facilitator assists the participants in the evaluation. The focus of this first part of the Workshop is 

to achieve consensus on the current level for each dimension of their organization.

The second half of the workshop takes the current levels of capability as the point of departure 

for each of the six dimensions, and by reviewing the criteria for the next level, participants 

identify the actions that are needed to reach the target level on a consensus basis. The actions 

identified constitute a starting point for a more detailed cooperative action plan that can be used 

by the agencies to get the agency on the path to improved TSM&O capability.

DIMENSION: Systems and Technology

LEVEL 1 

PERFORMED

LEVEL 2

MANAGED

LEVEL 3

INTEGRATED

LEVEL 4

INTEGRATED

Ad hoc approaches 

to system 

implementation 

without 

consideration of 

systems engineering 

and appropriate 

procurement 

processes 

Regional conops 

and architectures 

developed and 

documented with 

costs included, 

appropriate 

procurement 

process employed

Integrate new 

operations objectives 

and processes into 

department activities 

as formalized 

standard operating 

procedures 

Integrate new 

operations objectives 

and processes into 

department activities 

as formalized 

standard operating 

procedures 

Staff evaluation of 

program capability 

maturity

Systems Architecture/concepts of operations in place

Lack of standardization of systems/technology = interoperability relationships among 

jurisdictions

Inconsistent technology, operations along interjurisdictional corridors

Legacy systems upgrade cost burden (DOT)

Regional procurement contracts in place – set up through DOT

Variation in staff technical capabilities among jurisdictions

Staff identification of 

Strategies to get to the 

next level

Develop systems engineering checklist in conjunction with FHWA

Document systems for future development

Improve interoperability among systems (signals, Integrated corridor management) across 

jurisdictions

Develop approaches to increase level of shared operational control (after hours)

Communicate lessons learned in systems engineering, technology to all participants

Figure 9. Participant Worksheet
Other Resources in the toolbox 

AASHTO System Management and Operations Guidance –

http://www.aashtosomguidance.org/

SHRP 2 – Institutional Architectures to Advance Systems Operations 

and Management Webinar http://onlinepubs.trb.org/onlinepubs/webinars/

InstitutionalArchitecturesPresentations.pdf

”

Additional resources: The AASTHO 

Guide to Systems Operations and 

Management Improvement

The web-based tool can be used by agency managers 

who desire more detailed guidance. The AASHTO 

Guide (http://www.aashtosomguidance.org)

can be tailored to both current agency context 

and program activity – and to the level of 

management responsibility of the user of the 

Guide. The AASHTO Guide uses a self-evaluation 

questionnaire – more detailed than the Primer – 

to determine the agency’s current levels of 

capability. It then presents detailed guidance in the 

six dimensions – with related sub-dimensions – 

that constitute and action plan to improve agency 

capability to the next level.

For more information: 

Joseph Gregory, 

FHWA Office of Operations 

Joseph.Gregory@dot.gov
U.S. Department of Transportation 

Federal Highway Administration 

Office of Operations (HOP) 

Mail Stop: E86-205 

1200 New Jersey Avenue, SE 

Washington, DC 20590 

Toll Free Help Line 866-367-7487 

Report No. FHWA-HOP-12-003