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Performance-Based Planning and Programming

Transportation Planning Information Exchange Webinar

Welcome to The Planning Exchange Performance-Based Planning and Programming

March 21, 2013

Egan Smith, FHWA, Office of Planning, Environment, & Realty
Victor Austin, FTA, Office of Planning & Environment
Tom Gerend,Assistant Director of Transportation, MARC
Deanna Belden, Director of Performance Measures & Analysis, MnDOT
Patricia Hendren, Director of the Office of Performance, WMATA
John Thomas, Director of Planning, UDOT

Good afternoon everyone thank you for joining us.

Today you will hear about our efforts to utilize performance based elements in the planning process and a demonstration of how technology can assist with data sharing.

Today you will hear from FHWA and FTA - Tom Gerend, Deanna Belden, Patricia Hendren, John Thomas, from state DOTs, metropolitan organizations and transit agencies. On Performance Based planning and programming


As the agenda indicates I will highlight some recent activities and address some takeaways from Performance based planning related to MAP21 and provide a description of how the performance based planning process fits into the existing planning process

Followed by the main event PAUSE

discussion case studies of how practitioners have been utilizing performance based planning processes and associated performance based plans to augment their planning process and a technology demonstration

We will end with Q and A and What's next

Performance Based Planning Activities

Just a few of the key related activities are listed here

At the national workshops and peer exchanges we Discussed issues, exchange ideas, and planned for how we could all move forward with a performance based planning and programming process.

Since then we have had regional workshops that delved a little deeper to present and discuss in most cases more regionally specific PBPP issues as they related to the region being visited and we gained substantial information on how the process could and was being applied at a large number of states, metropolitan organizations and transit agencies.

I must add there have been a number of other significant efforts we have engaged with our stakeholders on as well and this is just a quick snapshot focused on workshops.

Moving Ahead for Progress in the 21st Century Act

MAP 21 addresses performance management and provides an opportunity to utilize all we have learned from our exchanges over the years by identifying the need for performance based planning in some detail.

Moving Ahead for Progress in the 21st Century Act

These are the national goal areas mentioned in MAP21. There are also PUBLIC TRANSPORTATION STATE OF GOOD REPAIR and PUBLIC TRANSPORTATION SAFETY goals as well.

PUBLIC TRANSPORTATION STATE OF GOOD REPAIR:- To address the condition of the public transportation system. The Secretary shall establish a definition of the term 'state of good repair' that includes objective standards for measuring the condition of capital assets of recipients, including equipment, rolling stock, infrastructure, and facilities.

PUBLIC TRANSPORTATION SAFETY:- To address safety performance criteria for all modes of public Transportation and the 'state of good repair' as defined by the Secretary.

Moving Ahead for Progress in the 21st Century Act

With reference to the goals identified in the act USDOT must establish measures associated with most of these goal areas and the act also specifies topics the measures must address as indicated on this slide And In addition minimum thresholds for NHS pavement and bridge conditions

On the issue of planning in the act a lot remains unchanged on the metropolitan side but of note is that both metro and state plans are performance based and they are to incorporate other performance based plans and targets are to be set

Moving Ahead for Progress in the 21st Century Act

In summary As it pertains to the performance based planning process both the Metropolitan and statewide transportation planning processes are to incorporate performance goals, measures, and targets - along with reporting on the overall effectiveness of Performance-Based planning and maintained the need for the public involvement process is still a hallmark of the planning process.

Performance-Based Planning and Programming Elements

Strategic Direction
(Where do we want to go?)
  • Goals and objectives
  • Performance measure
Long Range Planning
(How are we going to get there?)
  • Identify Targets and Trends
  • Identify Strategies
  • Strategy Evaluation
(What will it take? )
  • Investment Plan
  • Resources Constrained
  • Targets and Trends
  • Program of Projects
Implementation and Evaluation (How did we do? )
  • Reporting and Monitoring
  • Evaluation

The next two slides take a look at the elements of performance based planning and programming We start with the basic characteristics Strategic Direction (Where do we want to go?) Long-Range Planning (How are we going to get there?) Programming (What will it take?)

Implementation and Evaluation (How did we do?)

(1)Under strategic direction you have

-goals and objectives that guide decision making and

-Performance measures that capture and quantify these goals and objectives


-Where appropriate, targets can be set -though its important to recognize the challenge in defining meaningful targets in all areas and tracking progress over time -performance monitoring is key

Identifying and evaluating strategies will guide investment and policy decisions made by transportation agencies


Making the link to decision making that connection between planning and programming requires understanding

-The set of actions, strategies, and investments that you can use to improve performance and

-The expected impact of those strategies


Finally Successful performance-based planning will require thinking about not just implementation but also reporting and monitoring.

to put what we just discussed into perspective here is the Federal Planning Process steps

It is important to note here that the use of a Performance-Based approach is part of and complements the planning process, and is not separate or distinct from the planning process.  Key elements to the planning process include

The Performance-Based planning approach complements this process through the use of supporting elements that build off of the federally required planning process.

Transportation System Performance measures

Deriving performance measures that capture the fundamental outcomes of the agency's goals and objectives.

Unconstrained targets and trends

Next Aspirational or desired targets are identified to provide direction for strategy selection that is consistent with those identified in other planning efforts, including the Congestion Management Process, Strategic Highway Safety Plan, Asset Management Plans, and other required and voluntary planning efforts such as, corridor plans, modal plans, and others.

Scenario Analysis

Evaluating and prioritizing packages of strategies through trade-off or scenario analysis.

Resource Constrained Targets and Trends

Using the results of the evaluation to guide setting resource constrained targets or trends to develop preferred program investment levels as part of a long range transportation plan.

Resource Allocation

Conducting resource allocation exercises that translate an overall investment plan into a specific set of projects for a Short-range Transportation Improvement program or an agency's capital program.

Data and Tools

Being able to conduct these analyses requires data, tools, and methods that may be available for some measures, but still required for others. The concept could focus on system or program-level analysis. And answer the question, "what is the impact of a set of strategies on future expected performance as opposed to the impact of specific projects or alternatives."

A key question about the overall process is:

How to capture the link between long range plans and actual investments in a TIP or STIP?

Are projects being delivered that are consistent with planning directions, so that an agency can benefit from the process?

Data and tools are used to support all aspects of planning, including the evaluation of strategies, development of targets, and allocation of resources to specific projects.

However, performance measurement can bring higher quality information to the decision process, as an input to the existing process but it does not replace those more deliberative, qualitative processes

Performance-Based Planning and Programming Elements

Integrating Performance-Based Plans into the Planning Process

These are some of the performance based plans that are required

Asset Management Plan - Highway


MAP 21 requires that a state must produce a risk based asset management plan and, at a minimum, include -

  1. a summary listing of the pavement and bridge assets on the National Highway System in the State, including a description of the condition of those assets;
  2. asset management objectives and measures;
  3. performance gap identification;
  4. lifecycle cost and risk management analysis;
  5. a financial plan; and
  6. investment strategies.

The plan is being developed under rulemaking but this is some of the specifics required by MAP21

Strategic Highway Safety Plans

The strategic highway safety plans are already in place and there is a need to promote more consistent application of safety measures to projects and encourage states to promote safety in ways that result in consistent approach to safety planning.

For instance, some states have Governor task forces and " zero death" goals that create wonderfully rich SHSP. But even with SHSPs that are strong, they don't always translate to a wealth of capital projects in the TIP/STIP.

So there inclusion in the planning process should address that somewhat

Congestion Management Process

A congestion management process (CMP) is required in metropolitan areas with population exceeding 200,000, known as Transportation Management Areas . A CMP is a systematic performance based approach for managing congestion that addresses state and local needs. The CMP is intended to serve as an integrated element of the planning process to promote congestion management strategies through to the funding and implementation stages.

The Action steps in the CMP are as follows:

Action 1: Develop Regional Objectives for Congestion Management

Action 2: Define CMP Network

Action 3: Develop Multimodal Performance Measures

Action 4: Collect Data / Monitor System Performance

Action 5: Analyze Congestion Problems and Needs

Action 6: Identify and Assess CMP Strategies

Action 7: Program and Implement CMP Strategies

Action 8: Evaluate Strategy Effectiveness

National Transit Asset Management System

Recipients' Asset Management Plans

What elements should be in a Transit Asset Management (TAM) plan?

MAP-21 requires that all FTA grantees and subrecipients have a Transit Asset Management plan in place once the asset management rulemaking takes effect. As outlined in MAP-21, a transit provider's TAM plan will need to have the following elements (at a minimum):

National Transit Safety Plan

The Secretary has delegated to FTA, the responsibility to develop the MAP-21 mandated National Transit Safety Plan.

It will include: performance criteria... a definition of " state of good repair," minimum safety performance standards, and it will also create public transportation safety certification training programs.

Public Transportation Agency Safety Plans

Case Study Examples

Using Performance Measures to Make Goals Real

Tom Gerend
Assistant Director of Transportation
Mid-America Regional Council

Plan Overview

Policy framework


System Performance

Manage the system to achieve reliable and efficient performance.


System Condition

Ensure transportation system is maintained in good condition.


Safety and Security

Improve safety and security for all transportation users.



Maximize mobility and access to opportunities for all area residents.


Economic Vitality

Support an innovative, competitive 21st century economy.


Place Making

Coordinate transportation and land-use planning as a means to create quality places in existing and developing areas, and to strengthen the quality of the region.



Facilitate healthy, active living


Climate Change/Energy Use

Decrease the use of fossil fuels through reduced travel demand, technology advancements, and a transition to renewable energy sources.



Protect and restore our region's natural resources (land, water, and air) through proactive environmental stewardship.



Transportation Outlook 2040 establishes a goal of cutting the total number of annual crash fatalities in half (from 2010 levels) by 2040.

Note: This performance measure is Average travel speed (mph) on highways. Ideally, traffic flow on high capacity roadways should be at higher travel speeds compared to roadways with less capacity on the system hierarchy.

The reason we don't have a Transportation Outlook 2040 implementation dash line is because the Transportation Improvement Program was approved prior to June 2010.

Census block data was utilized.

MARC's Technical Forecast Committee determined that 1990 urbanized areas best reflect fully-developed, fully-served areas that existed as of 2000.


While the overall region grew, population shifted from the urbanized area to the outer fringes.

Over the 10-year period (2000-2010), growth occurred in the Kansas City urbanized area, just not to the desired extent outlined in Transportation Outlook 2040.


Although MARC will have to establish performance measure targets in the future (as mandated by MAP-21), there are already national targets for certain measures.

For example, the EPA has a national standard for ground level ozone at 75 ppb, which the MARC region should strive to fall below.

MARC will track and report on our progress on a yearly basis.

Progress Recap
Lesson Learned/Next Steps

MARC will track and report on our progress on a yearly basis.

Favorable Direction



Safety and Security

Neutral Areas

Economic Vitality

System Condition

Challenge Areas

Climate change and energy use

Place Making

Public Health

System Performance

Thank you

Vision to Projects:
Evolution of Performance-based Planning & Programming at MnDOT

Deanna Belden
Minnesota Department of Transportation

FHWA Webinar
March 21, 2013

MnDOT policy direction Family of Plans

Minnesota GO 50-year Vision

8 Guiding Principles

Statewide Multimodal Transportation Plan

Objectives & Strategies in 6 Policy Areas


Capital Investment Priorities

Supporting Plans

Minnesota GO 50-year Vision

Minnesota's multimodal transportation system maximizes the health of people, the environment and our economy. The system:

Statewide Multimodal Transportation Plan

Where are we going?
(Vision & Guiding Principles)
Where are we now?
(Transportation System, QOL, Environment, Economy)
How did we get here?
(Planning Initiatives in last 20 years)
How will we guide ourselves?
(Policy Objectives & Action Strategies)
What comes next?
(Family of Plans & Performance Measures

MnSHIP Background

How does MnSHIP affect planning & programming?

MnSHIP establishes investment priorities

Districts create 10-year plan of projects & programs

Projects implemented annually through programming schedule

Annual performance management cycle ensures consistency with MnSHIP investment priorities

Performance-based planning & programming

Multimodal Plan

Supports Minnesota GO 50-year vision. Establishes objectives & strategies to guide investment

Investment Plans

Integrates performance planning & risk assessment to establish priorities for projected funding. Measures impact of investments on performance targets.

Performance Monitoring

Regular review of performance in each policy area

MnSHIP development process

Gather information

National Highway System in Minnesota

State highway revenue sources

Changes in inflation impacts buying power

Develop scenarios

For each (of ten) investment categories:

Asset Management

Traveler Safety

Critical Connections

Regional + Community Improvement Priorities

Project Support

Performance level concept

MnDOT's capital investment needs?

Evaluating investment approaches

MnDOT scenario analysis

Management of key capital risks

Investment Programs: Years 4 & 5-10
Statewide performance program

Statewide performance program

District Risk Management Program

District Risk Management Program

Timeline & Next Steps

Spring 2013:

Beyond spring 2013

Thank you!

Deanna Belden

MnSHIP website - follow & participate
Google: MnDOT MnSHIP

Lessons from WMATA's Performance Journey

Presented :
Performance-Based Planning and Programming Webinar
March 21, 2013
Patricia Hendren, Ph.D.
Director, Office of Performance

Performance-Based Planning and Programming: 3 Takeaways

Thank you. Our previous presenters had really good information, through different approaches and policy issues, how to address goals and targets, what I would like to do is spend a few minutes showing how we can communicate that. In a couple of different ways. We have a lot of information, it comes out of our efforts. Some of the newer technologies available make it look a bit easier, in sharing it within our organization and other organizations. What I'm showing you here is a commercial off-the-shelf product. It is available through this web address, what is done for our agency is getting our information organize, out of the different silos, within the different divisions and groups, making get more relevant to decision-making. To that specific division, or decision-makers looking at the broader concept of information. Trying to make decisions on how to more efficiently spend dollars. What I would like to show you is some of the maps, we have configured this software as a service, we pay little money to get this product, it will save us time in getting this information into different maps. I clicked on our map, that is a custom application to our safety group, that they wanted to display information, you could see they created different indexes associated. There sharing information and other measures, in a very simple -- I would say simpler method that we used to have, we can have it available to us. Information can be stored in the pop-ups, however you would like it. You can link it to different websites. It will allow you to extend information, that you are trying to share. It will provide opportunity to get a little more focused on managing information, or better decision-making. In this programming conceptually the interesting thing is that we are starting to be able to see how our system and our information can come together, in the technology that does not burden us. With just managing the system. Let's go to this information now developed and presented in different ways, or display, a payment and analysis, the data that reports all kinds of different conditions. Typically this information as an example, this fits in to one of our third party vendor proprietary software, it was a little bit difficult to access and use, for instance what if you wanted to compare safety? In those third-party systems it was hard to combine the two, now we can do it very quickly to help identify the issues they want to address. This is been a role change in how we view this information. It is helped us be more efficient. We have orange book, these are just preservation type projects. For the first time we are using other legacy systems, and we are able to put them, and see a map that is hard to get access to, we click on it, get the information that is available to the department, and spent time management -- managing the system. As the other presenters demonstrated, there are ways to approach performance-based programming. These tools might help us better understand, how to deploy that, those goals and initiatives in a way that helps us to be more direct. With that, one of the things that has been coming up quite a bit, is map 21. We wanted to try to understand how to organize our thoughts, around map 21, how can we start organizing this information? So we went through, and try to understand the different sections, I am just rolling down to give you a sense of how many things we were looking at. And then as we come back in the next set -- step, as you saw earlier I opened up the purple book project, using that become available, we are able to demonstrate this information in different formats, and maps, once we have it organized. What we are finding here, there are other things that we have information on, classifications that are already organized, we could display that, very quickly. We can go to a general concept on what this might look like. Maybe we worked with federal highways, and other groups, and a way to organize where each state can have a common format, and adjoining states can chart -- start to share that. That is a technology that we are starting to say make sense -- see makes sense. Once you do that, it gets pretty easy to say, can you do other technologies? We can easily take data and put them in different types of files. Here we are in Salt Lake City. I will scroll down and see a longer range view of a plan, this is what we have done to try to understand -- this is in Google Earth, you could take that data because it is organized, and see how the level performance occurs over time. You could start to get a perspective of what is working, bicolor, -- by the color, you could describe it anyway you like. By height, you can start to organize the information and use it in different ways. You can start to look at how the land-use is forming words this is -- is forming. This is how we can get a sense of if we are accurate, or need to work on things. These tools will help us to understand to start to organize information and use it, it creates partnerships. Here we have our transit agency, we were able to work with them, get their numbers in here, and get a sense of what they're different light rail lines, and bus lines are doing. We can be more collaborative in the way we share information. Other performance placed programming, this may assist as we develop the program. I would like to share little bit here, there's been the recognition in the federal highways, trying to build our relationships with them, and try to understand the technologies and what they mean, they talk about view plan, and other tools and techniques. What we're trying to understand, what are the appropriate tools? Went to use the appropriate tool for the right decision? Federal Highway is helping us with that effort. We have recently created a technology implementation group, X assessment plan -- assessment land -- plan. What is been interesting about that is every state has a different take on how they want to organize their permission. We are learning their techniques. We gained our build of knowledge, to continue to gain understanding of this. There are three states out here Minnesota, Pennsylvania, California, that could potentially take on part two, and participate with states around them, in developing their own plan. With support. Try to in valuate organization, and understand how this technology can improve our system, for performance-based programming. We will know whether or not these states are awarded the grant, to conduct this work. The states you could tell our no-cost, they have free license for a year. Technical support. A lot of activity has occurred here. If any states are interested in participating, look at this map, and contact your nearest neighbor. Get the dialogue going. I just wanted to share a couple approaches how we can use technology to share the results, of our work around performance-based planning. Thank you.


What's Next

The PBPP Guidebook Series

The PBPP Guidebook Series includes -

The past several years, FHWA and FTA have engaged partners and stakeholders to help define an approach to performance based planning and programming. To address the need for technical information, three guidebooks are being developed.

The guidebooks will be developed to serve as practical resources to help State departments of transportation (DOTs), metropolitan planning organizations (MPO), regional transportation planning organizations (RTPO), and transit agencies understand what the key elements of performance based planning and programming are, and how this approach fits within the existing statewide and metropolitan planning and programming processes.

We are developing " The Performance-Based Planning and Programming (PBPP) Guidebook" designed as a practical resource to help State DOTs, MPOs, and transit agencies understand the key elements of a PBPP process, how these elements fit within existing planning and programming, and examples of notable practices to help support implementation.


Late summer it should be finalized then there are some associated outreach efforts. With final print versions Late November. We are always looking for notable examples and feel free to provide any notable practices they are aware of in planning or simply collaboration efforts of the key players in their state. Not intended as formal guidance or to be prescriptive

Performance-Based Planning and Programming

Performance-based planning and programming website presents the information that FHWA, FTA and our partners have developed to date featuring:


Next Steps: Workshops

FTA Resources to learn more, get involved


National Online Dialogues

Transit Provider Representation on MPO Boards, through March 25

Transit Asset Management

State of Good Repair

Contact Information

Egan Smith
FHWA, Office of Planning, Environment, & Realty

Victor Austin
FTA - Office of Planning & Environment

Updated: 10/20/2015
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