Plan Coordination

This page features resources on plan coordination.

Overview:

Transportation Planning is a broad field that ensures transportation decisions are made with a comprehensive consideration to transportation needs, land use, development, safety, security, and fiscal responsibility. The planning process incorporates analysis results and the evaluation of possible impacts to develop a variety of plans that document transportation agency priorities, assumptions, objectives, targets, and planned actions to support the local, rural, tribal, metropolitan, statewide, national, and international transportation of people and goods. For state and regional transportation agencies, the primary planning products are Statewide Long-Range Transportation Plans (23 USC 135), and Metropolitan Transportation Plans (23 USC 134). However, agencies may engage in other planning efforts at the corridor (e.g., Planning and Environmental Linkages), or project level (23 USC 168). In addition to traditional transportation planning, transportation agencies develop various performance management plans to establish and communicate policies, strategies, and planned investments in areas of performance such as safety, resilience, congestion mitigation, maintenance, and more.

These various planning products can vary greatly in terms of timeframes, scopes, and how they are used by the agency. However, each planning product or performance area involves or is impacted by the physical condition of transportation infrastructure assets. This means there is a relationship between each of the various long-range and performance-based plans developed by a transportation agency and that agency’s Transportation Asset Management Plan (TAMP). In some cases, the various plans may also be related to the TAMP by the funding sources involved.

Key Concepts:

Federal Aid Programs

Metropolitan Planning

Performance-Based Planning

Statewide Planning

Transportation Performance Management

Implementation Considerations:

The following are steps agencies can take to improve the alignment between planning efforts and the TAMP. Each plan has requirements that are established in statute, regulations, or policy. These requirements may be set at the federal, state, or agency level. The steps presented below are intended to be general enough to apply to most agencies. As agencies work to implement these steps, they will need to be adjusted to address each agency’s specific needs.

Review plans for alignment opportunities.

Timing of the development or next update.
Assets addressed in each plan.

Identify a lead or liaison for each plan.
Identify document elements of each plan presents an opportunity for alignment.
Perform necessary analysis.
Incorporate improvements into the plans.
Involve plan liaisons in implementation activities.

Federal Program Support

Several Federal funding sources require plans for their use. These fund sources also typically allow their use to develop the required plans. Examples of Federal fund sources that can be used for plan development, or have requirements for plans are listed below. This list is not intended to be completely accurate. Agencies must work with their FHWA Division Offices to ensure the proper use of Federal aid.

State Planning and Research (SPR) - Can be used for a wide array of planning purposes (23 USC 505).
National Highway Performance Program (NHPP) - Funds can be used for the development of risk-based Transportation Asset Management Plans (23 USC 119).
National Highway Freight Program - Funds can be used for the development of State Freight Plans (23 USC 167).
Highway Safety Improvement Program - Funds can be used for the development of Strategic Highway Safety Plans (23 USC 148).
Promoting Resilient Operations for Transformative, Efficient, and Cost-saving Transportation (PROTECT) Program, “Of the funds apportioned to a State under section 104(b)(8) for each fiscal year, not less than 2 percent shall be for activities described in subsection (d)(3)” (23 USC 176(c)(2)).”

The programs of funding described above are established through federal law and supported with additional regulations and guidance. The following list of key legal citations is provided by program area to illustrate the connection between the legal requirements and plans developed by state DOTs and other agencies and planning organizations.

Asset Management

23 USC 119 National Highway Performance Program
23 CFR 515 Transportation Asset Management Plans

Statewide and Metropolitan Planning

23 USC 134 Metropolitan Transportation Planning
23 USC 135 Statewide Transportation Planning
23 USC 168 Integration of Planning and Environmental Review
23 USC 505 State Planning and Research
23 CFR 450 Planning Assistance and Standards

Subpart B Statewide and Nonmetropolitan Transportation Planning and Programming
Subpart C Metropolitan Transportation Planning and Programming

Federal Programs Requiring Plans

23 USC 148(c)(1) Highway Safety Improvement Program
23 USC 149(l) Congestion Mitigation and Air Quality
22 USC 167(g)(4) National Highway Freight Program
23 USC 176(d)(3) Promoting Resilient Operations for Transformative, Efficient, and Cost-saving Transportation (PROTECT) Program
49 USC 70202(a) State Freight Plans, “Each State that receives funding under section 167 of title 23 shall develop a freight plan that provides a comprehensive plan for the immediate and long-range planning activities and investments of the State with respect to freight.”

Other Plans

28 CFR §35.150(d) Americans with Disabilities Act Transition Plans

Case Study Spotlights

Several case studies have been written that explain how agencies have worked to coordinate planning efforts with the TAMP and integrate asset management within the broader planning framework. FHWA and AASHTO have also published several resources to help agencies understand performance-based planning, which can be a key framework to support this type of coordination.

In 2016, The Northeast Ohio Areawide Coordinating Agency (NOACA) developed a transportation asset management plan to better integrate asset condition forecasts into metropolitan planning and programming practices in the greater Cleveland metropolitan area. TAMP development coincided with implementing a pavement management system that allowed NOACA staff to evaluate multiple investment scenarios in support of achieving and sustaining a desired state of good repair for pavements. Details can be found in the report, Integrating Asset Management into the Transportation Planning Process - A Case Study.

The 2020 report, Case Study 2 - Linking Asset Management to Planning and Programming, published by FHWA, highlights efforts by six state DOTs to better integrate TAMPs with other statewide planning efforts.

Missouri DOT has developed district level TAMPs for pavements and bridges that are updated more frequently and allowed the agency to better tie programming to asset management objectives.
In developing its TAMP, the Maine DOT simulated funding strategies using its pavement and bridge management system. The selected strategies were used to develop project lists for the agency’s 3-Year Work Plan and 4-Year STIP.
Utah DOT’s TAMP includes an objective of incorporating asset management into immediate and long-range planning processes.
Ohio DOT develops district work plans to achieve asset management objectives. These work plans, in turn, are used to develop the Statewide Transportation Improvement Program (STIP).
Wyoming DOT uses its pavement management system to establish long-term investment strategies to optimize pavement conditions. Those strategies are used to identify projects at a district level, which then inform the STIP development process.
The Montana Department of Transportation’s 2019 TAMP identified performance gaps for pavement and bridge conditions. The TAMP then established a cyclical process for addressing the performance gap through planning and programming efforts.

sections

Maturity

Practice Examples:

Performance Programming Process (Px3)

Montana DOT

The Montana Department of Transportation’s (MDT) Px3 process applies performance management principles to establish funding allocations across the agency’s five districts. The Px3 process provides a framework for optimizing funding and meeting short- and long-term goals. The process does not select projects. Instead it directs funding to areas of need based on the following core principles (MDT 2019):

Performance Based - MDT allocates resources to support the most effective and efficient investments. Forecasted and actual outcomes are prepared to establish and update performance targets.
Data-Informed - Data is collected annually and analyzed using computer-based management systems to optimize future investment levels.
Customer Driven - Investments support long-term goals established through statewide planning, as described in TranPlanMT.
Continuous Improvement - Management systems are adjusted and calibrated based on the latest data and trends. Processes are regularly reviewed and updated.
Transparency and Accountability - Processes are documented to clearly explain how MDT allocates resources and tracks performance.

The Px3 process considers information from a number of planning inputs, including Montana’s long range plan (TranPlanMT), asset condition data, current programming, and the agency’s performance objectives, measures and targets. These inputs are used to determine the best allocation of funds to meet desired pavement and bridge conditions. That recommended funding is presented to the Montana Transportation Commission for approval and then combined with non-Px3 funds to develop MDT’s full program.

MDT’s 2022 TAMP indicates that the Px3 process and expected funding levels will allow the agency to achieve its desired state of good repair for NHS pavements and bridges by 2030. This performance improvement is in large part due to a continued focus on pavement preservation, an increase in funding for bridge replacement and rehabilitation, and expected distribution of funding through the Px3 process. The Px3 process is repeated every 18 months to update MDT’s capital program, as outlined in figure 1. (MDT 2019).

Source: Montana Department of Transportation (MDT). 2019. “Px3 Performance Programming Process.” MDT, Helena, MT.

Montana DOT

Performance Programming Process (Px3)

The Montana Department of Transportation’s (MDT) Px3 process applies performance management principles to establish funding allocations…

Scenario-Based Planning

North Dakota DOT

NDDOT adopted a new statewide long range transportation plan, Transportation Connection, in 2021. The plan featured scenario based planning to outline four potential futures for the state’s transportation network based on economic and social trends.

Urban Growth - Population growth continues in urban areas, while the population in rural areas declines.
Rapid Innovation - New technologies change how the transportation system is used.
Rural Renaissance - The state’s population disperses to rural locations.
Economic Challenges - Reduced budgets and travel demand change how NDDOT allocates funding.

These scenarios were used to explore potential changes in key drivers such as population, economy, development, technology, environment, policy, and risk. Stakeholder surveys were used to understand the likely transportation outcomes of each scenario and inform long-term strategy development.

NDDOT began developing its 2022 TAMP soon after publishing Transportation Connection. The agency wanted to consider how the scenarios developed in the long range plan might impact asset conditions and risks. To do this, the agency assessed how each scenario’s expected travel demands and funding capacities might impact asset deterioration and future programming. The results of this analysis were used to inform the performance analysis, by qualitatively indicating how conditions may improve or decline under each scenario. This assessment was then used to inform investment strategy development. Figure 2 provides a summary of the performance gap analysis results.

Figure 2. NDDOT 2022 TAMP Performance Gap Analysis Results.

North Dakota DOT

Scenario-Based Planning

NDDOT adopted a new statewide long range transportation plan, Transportation Connection

How To Guides:

Adapting the Organizational Structure to Support TAM

Creating an organization that supports asset management requires significant transformation in transportation agencies, necessitating strong leadership and commitment from the start. The following are steps an organization can follow to make the transformation to support TAM.

Get Leadership Support

Leadership greatly shapes an organization's culture and actions. By setting a clear direction, leaders can align decisions, from major to minor, with the organization's strategy to meet business objectives. This includes making investment decisions that reflect an asset management approach.
Conduct a TAM Gap Assessment Using the TAM Gap Analysis Tool to Identify Needed Changes

The TAM Gap Assessment evaluates the organization's current asset management maturity and suggests ways the agency can improve practice. Its goals are to unify agency perspectives on asset management status, recognize strengths and weaknesses, and identify pressing priorities. This forms the basis for the agency’s asset management improvement strategy and the changes that are needed.
Organize the Needed Changes

Use the list of the changes suggested by the gap assessment to determine the ease of implementation and the priority based on the impact it can make. This will make it easier to identify the actions that your agency wants to take to strengthen your organization to support TAM.
Consider the Leadership and Culture Needs

Leadership is an important ingredient in impacting an organization's culture and actions, guiding all levels of decision-making to align with business goals, including those that shape the asset management strategy.

Key points on leadership's role in asset management culture are:
- Top management must exemplify a commitment to asset management, fostering an agency-wide culture dedicated to this approach.
- Leadership should permeate all levels, ensuring asset management activities support a unified strategy.
- A culture of asset management encourages organization-wide coordination for long-term network management, aligning team and individual activities with collective goals.
- It's vital to avoid mixed signals, misunderstandings, or a lack of teamwork within an asset management culture.
- Effective leadership depends on understanding asset management's core issues and advantages, which asset management professionals should communicate clearly and accessibly.
Identify a Champion

In the initial phase of creating a TAM organization, a champion is often essential. This individual, driven by interest and possessing the necessary influence, advocates for the required organizational shifts. Whether appointed by upper management or rising organically from the engaged teams, a champion is focused on pursuing the successful completion of the mission.
Define TAM Roles

Understanding what roles and responsibilities are most important for your TAM program is key to getting your agency ready and aligned to achieve TAM-related goals.
Define Capability Building Requirements

Senior leaders need to pinpoint the skills needed for effective asset management implementation. If these skills are missing internally, options include staff training, hiring new talent, mentoring, or partnering with external bodies. It's crucial for your agency to ensure its asset management team is knowledgeable enough to make informed decisions.

Read Chapter to find out more!

Adapting the Organizational Structure to Support TAM

How to Better Communicate TAM Throughout the Organization (3)

Having your transportation organization better understand your TAM program, it’s goals and objectives, and specific business needs is an important element of TAM success. Proactive communication will increase awareness, knowledge, and ownership of TAM across the agency.

Define the TAM Communication Scope

Having a focus on what elements of the TAM program has priority and needs the support of the broader agency is important to have in a communication effort. It may be best to start with a strategic planning effort for TAM and use the results of this for communications.
Create a TAM Communications Working Team

Build a core group of influential players in your agency who will be the lead communicators. This group will help shape your communication strategy and lead the implementation of the plan.
Identify the Target Audience

Determine who in your agency are the people who you want to better understand TAM and support its success. If it's agencywide, organize the audience in a way that makes it easier to develop an implementation plan for your communications.
Develop the TAM Communication Approach and Framework

Once you know what you want to communicate and who you want to communicate to, how you want to communicate and the key messages that need to be communicated should be developed. A matrix of the messages and target audiences may be a product of this exercise.
Build TAM Communications Resources

Build a library of communication resources that can be used to better communicate TAM and the specific focus that was determined in Step 1. This could include flyers, base presentations that can be customized, videos, and references. Communicators can be more effective by having these resources at their fingertips.
Develop a TAM Communications Implementation Plan

An implementation plan will help your agency implement a targeted communication cycle and to sustain it over time. This can include specific tasks, a schedule/roadmap, and a mechanism for tracking progress on the plan.
Implement and Monitor the TAM Communication Implementation

It is important to monitor the communication plan implementation to both encourage further communication and to make sure that progress is being made. Another important element is to share the lessons learned as communicators are carrying out the plan so that plans can be adjusted and improved.
Consider a Mechanism to Share Resources and Experiences

Developing a place where all communication actions are logged and the resources that they used are shared is a good way to share knowledge and to share progress. The Minnesota DOT's TAM Communication Plan is a good example of this in practice.

Read Chapter to find out more!

How to Better Communicate TAM Throughout the Organization

How to Prioritize Ancillary Assets for Inclusion in Your Asset Management Program

Transportation agencies own and operate a multitude of infrastructure assets. Prior to implementing a formal asset management program, assets other than pavements and bridges, or ancillary assets, are often managed reactively. This means actions are only taken when assets are damaged, fail (maintenance), or when they reach the end of their service lives (replacement). Agencies often have little or no inventory or condition data for these assets and have no means of evaluating the impacts of different management approaches or investment strategies. When looking to incorporate these assets into an asset management program, the cost of collecting all the data, and developing the analysis methods can be beyond the agency’s means, particularly in the short term. The FHWA Handbook for Including Ancillary Assets in Transportation Asset Management Programs, provides a framework to support agencies in this effort through the three primary activities:

Asset Prioritization through a strategic review of risk, value, and criticality.
Data Needs Assessment to define needed and desired data and identify opportunities to bundle data collection to reduce cost.
Data Management to ensure data is available to users in the right format and at the right time.

Asset Prioritization

Asset prioritization involves a seven-step process that results in assets being grouped into tiers. This approach recognizes that agencies will typically expand their asset management programs in waves or initiatives that involve multiple assets at a time.

1. Get Organized	Identify a champion to provide direction. Identify a project manager to push for progress. Assemble a project team that represents all relevant business areas. Incorporate input from stakeholders.
2. Select Criteria	Criteria used to objectively rate assets. Reflect factors important to the agency, e.g.: Value. Cost of failure. Impact of failure on safety or system performance. Cost or effort to collect data. Agency readiness to use the data.
3. Establish a Rating System	Objective scales are preferred, e.g. 1-5 or 1-10. Yes/no criteria can be used to augment ratings. Subjective ratings may best be used in step 7.
4. Establish Relative Weights	Some criteria may be more important than others. Weighting is only appropriate for criteria on a common scale. Additional guidance can be found in NCHRP Report 806, Guide to Cross-Asset Resource Allocation and the Impact on Transportation System Performance.
5. Set Rating Values	Include all team members in the process. Workshop initial ratings to develop a consensus for each asset and each criterion.
6. Calculate Scores	Final Score = (Rating 1) x (Weight 1) +… + (Rating n) x (Weight n)
7. Develop Priority Tiers	Rating scores are just one input. Opportunity to consider subjective ratings. Can be revised once more information is known on data collection costs and methods.

Source: FHWA. 2017. Handbook for Including Ancillary Assets in Transportation Asset Management Programs. https://www.fhwa.dot.gov/publications/research/infrastructure/19068/19068.pdf

Data Needs Assessment

Agencies should understand the data required to make investment decisions for an asset class before data collection begins. This will help minimize data collection costs while supporting important business processes.
- Data elements: Data needs are largely dependent on the life-cycle approach adopted for the asset class. Assets managed reactively may only require inventory data, while assets managed by condition may require robust condition data assessed through multiple measures.
- Data quality: Agencies should also consider the quality of data needed to support decision making. It is important to involve stakeholders from all stages of the asset lifecycle, e.g., planning, design, construction, maintenance, and operations, to understand the breath of data needs. For example, location data to support planning efforts, may not need to be as precise as location data needed to support operations.
- Collection methods: Data collection techniques continue to evolve and improve quality while reducing cost. However, not all techniques are appropriate for all asset classes. Understanding the available options for each class will allow for opportunities to bundle data collection efforts. Collecting data for multiple asset classes in a single effort can reduce costs and may impact the priority tiers developed in the prior activity.
Data Management

Understanding how data will be managed and shared will help inform the prior two activities. Additional information on data management can be found in chapter 7 of this Guide.

Read Chapter to find out more!

How to Prioritize Ancillary Assets for Inclusion in Your Asset Management Program

Topic References

Integrated Planning and Reporting Manual
May 8, 2023 | Government of Western Australia: Department of Local Government, Sport, and Cultural Industries

The council, community and administration each has a unique role and responsibilities for the development of effective and sustainable integrated plans for the local area, and reporting on the progress of those plans.

External Link: https://www.dlgsc.wa.gov.au/local-government/strengthening-local-government/integrated-planning-and-reporting

Case Study 2 - Linking Asset Management to Planning and Programming
May 1, 2020 | FHWA

This case study highlights linkage of asset management to long-range plans, the statewide transportation improvement program (STIP), and State planning and programming practices. Examples are selected from the TAMPs in Missouri, Maine, Utah, Ohio, Wyoming, and Montana.

External Link: https://rosap.ntl.bts.gov/view/dot/54455

Collaborative Practices for Performance-Based Asset Management Between State DOTs and MPOs
January 1, 2021 | TRB

Collaborative Practices for Performance-Based Asset Management Between State DOTs and MPOs documents DOT practices for collaborating with MPOs relative to target setting, investment decisions, and performance monitoring of pavement and bridge assets.

External Link: https://nap.nationalacademies.org/catalog/26337/collaborative-practices-for-performance-based-asset-management-between-state-dots-and-mpos

Plan Coordination

Overview:

Key Concepts:

Federal Aid Programs

Metropolitan Planning

Performance-Based Planning

Statewide Planning

Transportation Performance Management

Implementation Considerations:

Federal Program Support

Case Study Spotlights

Practice Examples:

Performance Programming Process (Px3)

Montana DOT

Scenario-Based Planning

North Dakota DOT

How To Guides:

Adapting the Organizational Structure to Support TAM

Get Leadership Support

Conduct a TAM Gap Assessment Using the TAM Gap Analysis Tool to Identify Needed Changes

Organize the Needed Changes

Consider the Leadership and Culture Needs

Identify a Champion

Define TAM Roles

Define Capability Building Requirements

Read Chapter to find out more!

How to Better Communicate TAM Throughout the Organization (3)

Define the TAM Communication Scope

Create a TAM Communications Working Team

Identify the Target Audience

Develop the TAM Communication Approach and Framework

Build TAM Communications Resources

Develop a TAM Communications Implementation Plan

Implement and Monitor the TAM Communication Implementation

Consider a Mechanism to Share Resources and Experiences

Read Chapter to find out more!

How to Prioritize Ancillary Assets for Inclusion in Your Asset Management Program

Asset Prioritization

Data Needs Assessment

Data Management

Read Chapter to find out more!

Topic References

Topic References

Resources:

FHWA Performance Based Planning and Programming Resources

FHWA TAM ETG