Component 5. Monitoring and Adjustment


Welcome to the TPM CMM Component 5: Monitoring and Adjustment – Maturity Assessment.

This tool allows transportation agencies to assess their TPM capabilities and identify areas where they can take steps to improve these capabilities. The assessment covers the fifth component:

Component 5. Monitoring and Adjustment

Monitoring and Adjustment is a set of processes to track and evaluate actions taken and outcomes achieved, thereby establishing a feedback loop to refine planning, programming, and target setting decisions. It involves using performance data to obtain key insights into the effectiveness of decisions and identifying where adjustments need to be made in order to improve performance.

Component 5. Monitoring and Adjustment is further divided into the following sub-components:

  • Sub-Component 5.1. System Level Monitoring and Adjustment: Establishment of a well-defined performance monitoring process to understand performance outcomes and the impact of influencing factors to enable adjustment of future planning and programming decisions.
  • Sub-Component 5.2. Program/Project Level Monitoring and Adjustment: Establishment of a process for tracking the program and project outputs, and their effects on performance outcomes. This subcomponent is contained within System Level Monitoring and Adjustment.

For each sub-component, there are five possible maturity levels with the following definitions:

  1. Initial
  2. Developing
  3. Defined
  4. Functioning
  5. Sustained

The specific criteria for a particular maturity level depend on the sub-component.

Based on the provided criteria, the user is asked to rate how well the agency meets the criteria as follows:

  • Totally Disagree
  • Somewhat Disagree
  • Somewhat Agree
  • Totally Agree

Once you have finished providing input, an overall maturity level is assessed for the component. Based on the assessed maturity level, assessment results include links to relevant sections of the TPM Guidebook for more information on how to advance TPM practice.



5: Monitoring and Adjustment

5.1 System Level Monitoring
 The establishment of a well-defined performance-monitoring process to understand past and current performance. The analysis of performance results leads to an improved understanding of causal factors and increases an agency’s ability to act on new insights. This enhanced understanding of why performance results occurred feeds future planning and programming decisions. Within this system outcome viewpoint, Program/Project Level Monitoring & Adjustment clarifies the contribution of specific programs and projects on achieving goals, objectives and targets.

There is not yet a well-defined process for monitoring system-level performance outcomes. Agency staff are not able to obtain information concerning the impact of external factors on performance outcomes. Limited linkage exists between resource allocation decisions, performance results, and strategic goals.

A plan for outcome monitoring is under development including definition of users, outcome measures, frequency, data sources, and tracking influence of external factors. Plan development includes discussion of how resource allocation, performance results, and strategic goals can be linked.

Outcome measures have been defined and tied to the achievement of strategic goals and objectives. The agency has identified a process for making program adjustments as needed based on performance outcomes.

Managers are monitoring outcomes and assessing progress towards expected results and strategic goals. They are employing the identified adjustment process to identify issues, diagnose problems, and make appropriate adjustments to improve performance outcomes. Staff regularly review information about external factors to gain an understanding of how these factors impact desired outcomes.

Processes for monitoring system outcomes and external factors are periodically refined to improve the agency’s ability to anticipate and adjust to slower than anticipated progress towards strategic goals. Information on resource allocation and performance results are used to improve assumptions used for setting the strategic direction, target setting, planning, and programming.

5.2 Program/Project Level Monitoring
 Establishment of a process for tracking program and project outputs, and their effects on performance outcomes. This process provides early warning of potential inability to achieve performance targets. Insights are used to make project or program “mid-stream” adjustments and guide future programming decisions. This subcomponent provides a before/after project-level view and is nested within the System Level Monitoring & Adjustment subcomponent.

A well-defined process for monitoring program/project outputs and resulting impacts on outcomes is not yet in place. Agency staff are not able to see trends in outputs over time. Limited information exists for assessing the impacts of the program/projects on performance.

An agency-wide approach for monitoring program/project outputs and their impacts on outcomes is being defined. The data foundation for output monitoring and analysis of program/project impacts on performance results is being built.

An approach to monitoring program/project outputs and their resulting impacts on performance outcomes has been developed and documented. Agency is able to review performance trends and access before and after project-level information to determine program/project impacts on outcomes.

Managers are monitoring current performance and conducting analysis of outputs to inform mid-stream adjustments to ensure progress towards desired outcomes.

The use of performance information in assessing program/project effectiveness in driving outcomes is common practice. Output performance monitoring serves as a key feedback loop back to planning and programming and the recalibration of goals, objectives, targets and measures.


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