Integrated Corridor Management: Implementation Guide and Lessons Learned www.its.dot.gov/index.htm Final Report Version 2.0 — September 2015 FHWA-JPO-16-280 Produced by FHWA Office of Operations Support Contract # DTFH61-05-D-00002 U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Federal Highway Administration Federal Transit Administration Notice This document is disseminated under the sponsorship of the Department of Transportation in the interest of information exchange. The United States Government assumes no liability for its contents or use thereof. The U.S. Government is not endorsing any manufacturers, products, or services cited herein and any trade name that may appear in the work has been included only because it is essential to the contents of the work. i Technical Report Documentation Page 1. Report No. 2. Government Accession No. 3. Recipient’s Catalog No. FHWA-JPO-16-280 4. Title and Subtitle 5. Report Date Integrated Corridor Management: Implementation Guide and Lessons Learned (Final Report Version 2.0) September 2015 6. Performing Organization Code 8. Performing Organization Report No. 7. Author(s) Blake Christie, Dawn Hardesty, Greg Hatcher, Michael Mercer 10. Work Unit No. (TRAIS) 9. Performing Organization Name And Address Noblis, Inc. 3150 Fairview Park Drive Falls Church, VA 22042 703-610-2000 11. Contract or Grant No. DTFH61-11-D-00018, T-12010 12. Sponsoring Agency Name and Address 13. Type of Report and Period Covered U.S. Department of Transportation ITS Joint Program Office 1200 New Jersey Avenue, SE Washington, DC 20590 855-368-4200 Final Report version 2.0 2015 14. Sponsoring Agency Code ITS JPO 15. Supplementary Notes U.S. DOT Team: Brian Cronin, RITA; Steven Mortensen, FTA, Robert Sheehan, FHWA; Neil Spiller, FHWA and Dale Thompson, FHWA. 16. Abstract This implementation guide is intended for use by adopters of integrated corridor management (ICM) approaches and strategies to address congestion and travel time reliability issues within specific travel corridors. It introduces the topic of ICM and identifies the type of information system, the integrated corridor management system (ICMS) that is used to support transportation network managers and operators in applying ICM. The guide discusses typical issues (lessons learned) that arose during the U.S. Department of Transportation’s (U.S. DOT’s) research initiative, where the U.S. DOT partnered with eight transportation agencies in large metropolitan areas (known as “Pioneer Sites”) to research effective means of implementing ICM approaches in their major travel corridors. Each of the Pioneer Sites used a systems engineering approach to define the needs for ICM within their corridor and the needs and requirements for an ICMS to support ICM. Two of the original eight Pioneer Sites were selected to serve as Pioneer Demonstration Sites, where an actual ICMS was built, operated, maintained and evaluated to assess how effective ICM strategies were in improving the flow of traffic within the corridor. The guide offers suggestions for each stage of an implementation effort for an ICMS, to assist other agencies in benefitting from the research done to date and from the experiences of the Pioneer Sites. In addition to the material covered in the guide itself, there are extensive references to other documents and source material that can assist ICM adopters in successfully applying these concepts for their regions. Please note that this Version 2.0 of the ICM Implementation Guide and Lessons Learned supersedes Version 1.0 of the ICM Implementation Guide and Lessons Learned published in February of 2012. At the time the version 1.0 guide was written, the Dallas and San Diego ICM Pioneer Sites were still in the system definition and design stages of the project lifecycle. This version 2.0 update of the guide provides additional lessons learned and examples through the full implementation of the Dallas and San Diego ICM Pioneer Site projects. 17. Key Words 18. Distribution Statement Intelligent Transportation System, ITS, Integrated Corridor Management, ICM, Integrated Corridor Management System, ICMS, Pioneer Site, Implementation, Guide, Lessons Learned, Analysis, Modeling, Simulation, AMS, Demonstration, Evaluation, Systems Engineering, Planning, Operations, Maintenance No restrictions. 19. Security Classif. (of this report) 20. Security Classif. (of this page) Unclassified Unclassified Form DOT F 1700. 7 (8-72) 21. No. of Pages 22. Price 152 N/A Reproduction of completed page authorized ii Acknowledgements The Noblis team would like to thank the U.S. DOT and ICM stakeholder reviewers for their valuable input. Ahmad Sadegh, Telvent (Schneider Electric) Alan Gorman, DART Alex Estrella, SANDAG Andy Oberlander, TxDOT Andy Palanisamy, Leidos Anna Giragosian, Leidos April Armstrong, AHA Insight Brian Cronin, FHWA Brian Fariello, TxDOT Chris Poe, TTI Dale Thompson, FHWA Dan Carlson, Delcan (Parsons) Duana Love, FTA Ed Fok, FHWA Ed Seymour, TTI Emiliano Lopez, FHWA Fariel Bouattoura, Telvent (Schneider Electric) Jeremy Schroeder, Battelle Jim Hunt, FHWA Joe Hunt, TxDOT Joerg 'Nu' Rosenbohm, Nu-in-ITS Kevin Miller, Telvent (Schneider Electric) Kirk Howser, City of Dallas Koorosh Olyai, Stantec Lee Biernbaum, Volpe Lloyd Neal, City of Plano Margaret Petrella, Volpe Marian Thompson, NCTCOG Matthew Juckes, TSS Aimsun Online Michael Krueger, ASE Consulting Michael Waisley, Battelle Nancy Rantowich, ASE Consulting Natalie Bettger, NCTCOG Neil Spiller, FHWA Paul Olson, FHWA Peter Thompson, SANDAG Robert Saylor, City of Richardson Robert Sheehan, FHWA Roberto Macias, TTI Stan Glowacki, SANDAG Steve Callas, Tri-Met Steve Mortensen, FTA Teresa Malone, Delcan (Parsons) Todd Plesko, DART Vassili Alexiadis, Cambridge Systematics Khaled Abdelghany, SMU iii Table of Contents Acknowledgements .......................................................................................................................... iii Abstract ...............................................................................................................................................iv Chapter 1. Introduction to the ICM Guide .....................................................................................1 Overview ....................................................................................................................... 1 How to Use This Guide ................................................................................................. 2 Chapter 2. Understanding Integrated Management of Transportation Corridors ..................5 What Is Integrated Corridor Management? ................................................................. 5 What Is an Integrated Corridor Management System? ............................................... 9 Analysis, Modeling, and Simulation for ICM ...............................................................11 Managing the Complexity of an ICMS Implementation ............................................. 12 Chapter 3. ICM Implementation Guidance and Lessons Learned ..........................................14 Get Started (Phase1) ........................................................................................................................16 Establish Goals (Phase 2) ...............................................................................................................27 Plan for Success (Phase 3).............................................................................................................37 Project Management Plan .......................................................................................... 37 Systems Engineering Management Plan................................................................... 41 Concept of Operations ................................................................................................ 47 Specify and Design (Phase 4) ........................................................................................................57 Architecture ................................................................................................................. 57 Requirements .............................................................................................................. 67 Detailed Design ........................................................................................................... 76 Build and Test (Phase 5)..................................................................................................................82 Operate and Maintain (Phase 6).....................................................................................................89 System Retirement/Replacement (Phase 7)................................................................................99 APPENDIX A. Conceptualizing Integrated Corridor Management ................................ 103 APPENDIX B. Defining the ICMS Decision Support System .......................................... 125 APPENDIX C. ICM Walkthroughs ........................................................................................... 128 APPENDIX D. List of Acronyms and Abbreviations.......................................................... 135 APPENDIX E. References ......................................................................................................... 137 APPENDIX F. Endnotes .............................................................................................................. 141 ii List of Tables Table 1. Table 2. Table 3. Table 4. Table 5. Table 6. Table 7. Table 8. Table 9. Expected Annual ICM Benefits of Pioneer Sites ............................................................................ 9 ICM Implementation Process ....................................................................................................... 15 Dallas Example: Mapping of Goals Against Corridor Needs ....................................................... 56 Example: National ITS Architecture Data Flows and Primitive Data Elements ........................... 62 Sample Requirements to Needs Traceability (Hypothetical Example) ........................................ 72 Dallas ICM Pioneer Site Example: Action Verbs and Definitions ................................................ 74 San Diego Example: Performance Measures for Institutional/ Organizational Coordination ...... 94 DSS Recommended Response Plans from 8/16-9/29 ................................................................ 97 ICM Operational Needs and ICM Environment Levels .............................................................. 120 List of Figures Figure 1. U.S. DOT ICM Pioneer Sites ........................................................................................................ 1 Figure 2. Generic Structure Diagram ........................................................................................................... 3 Figure 3. San Diego ICM Example: Developing Systems for High Performance Corridors ...................... 10 Figure 4. San Diego ICM Example: Future Decision Support System (conceptual) ................................. 11 Figure 5. Systems Engineering VEE Diagram ........................................................................................... 13 Figure 6. Getting Started With ICM ............................................................................................................ 17 Figure 7. US-75 ICM Institutional Framework ............................................................................................ 25 Figure 8. Establishing Goals for ICM ......................................................................................................... 28 Figure 9. ICMS PMP Planning Process ..................................................................................................... 38 Figure 10. Dallas ICM Example: Risk Management Process .................................................................... 41 Figure 11. ICMS SEMP Planning Process ................................................................................................. 43 Figure 12. ICMS ConOps Planning Process.............................................................................................. 49 Figure 13. ICMS Architecture Planning Process........................................................................................ 59 Figure 14. Structured Analysis and Design Technique (SADT)................................................................. 60 Figure 15. Example: National ITS Architecture Parking Management Data Flow ..................................... 63 Figure 16. ICMS Context Diagram ............................................................................................................. 64 Figure 17. Dallas ICM Example: High-Level Integrated Corridor Management System Concept ............. 66 Figure 18. ICMS Requirements Planning Process .................................................................................... 68 Figure 19. ICMS Detailed Design Planning Process ................................................................................. 77 Figure 20. ICMS Build and Test Planning Process .................................................................................... 83 Figure 21. ICMS Operations and Maintenance Planning Process ............................................................ 90 Figure 22. San Diego ICM Example: I-15 ICMS Summary of Operations and Maintenance Activities ..... 95 Figure 23. Incident Events with “Recommended” Response Plans from 8/16-9/29, 2014 ........................ 96 Figure 24. I-15 Integrated Corridor Management Alternate Route Wayfinding Sign Locations. ............... 98 Figure 25. ICMS System Retirement/Replacement Planning Process .................................................... 100 Figure 26. I-5 Corridor, Seattle ................................................................................................................ 104 Figure 27. Truck Fire Incident on I-5 ........................................................................................................ 105 Figure 28. ICM Strategic Areas ................................................................................................................ 107 Figure 29. ICM Levels .............................................................................................................................. 111 Figure 30. ICM Environment .................................................................................................................... 112 Figure 31. Dallas ICMS DSS Concept ..................................................................................................... 127 iii Abstract This implementation guide is intended for use by adopters of integrated corridor management (ICM) approaches and strategies to address congestion and travel time reliability issues within specific travel corridors. It introduces the topic of ICM and identifies the type of information system, the integrated corridor management system (ICMS) that is used to support transportation network managers and operators in applying ICM. The guide discusses typical issues (lessons learned) that arose during the U.S. Department of Transportation’s (U.S. DOT’s) research initiative, where the U.S. DOT partnered with eight transportation agencies in large metropolitan areas (known as “Pioneer Sites”) to research effective means of implementing ICM approaches in their major travel corridors. Each of the Pioneer Sites used a systems engineering approach to define the needs for ICM within their corridor and the needs and requirements for an ICMS to support ICM. Two of the original eight Pioneer Sites were selected to serve as Pioneer Demonstration Sites, where an actual ICMS was built, operated, maintained and evaluated to assess how effective ICM strategies were in improving the flow of traffic within the corridor. The guide offers suggestions for each stage of an implementation effort for an ICMS, to assist other agencies in benefitting from the research done to date and from the experiences of the Pioneer Sites. The guide is only one of a set of documents that the U.S. DOT intends to publish to provide guidance and advice to prospective adopters of ICM. In addition to the material covered in the guide itself, there are extensive references to other documents and source material that can assist ICM adopters in successfully applying these concepts for their regions. It is important to note that both sites are continuing to operate and make enhancements to their ICM deployments, as well as expanding the system to other corridors within their respective regions. Please note that this Version 2.0 of the ICM Implementation Guide and Lessons Learned supersedes Version 1.0 of the ICM Implementation Guide and Lessons Learned published in February of 2012. At the time the version 1.0 guide was written, the Dallas and San Diego ICM Pioneer Sites were still in the system definition and design stages of the project lifecycle. This version 2.0 update of the guide provides additional lessons learned and examples through the full implementation of the Dallas and San Diego ICM Pioneer Site projects. Chapter 1. Introduction to the ICM Guide Chapter 1. Introduction to the ICM Guide Overview Integrated Corridor Management (ICM) is a promising tool in the congestion management toolbox that seeks to optimize the use of existing infrastructure assets and leverage unused capacity along our nation’s urban corridors. ICM is defined as a collection of operational strategies and advanced technologies that allow transportation subsystems, managed by one or more transportation agencies, to operate in a coordinated and integrated manner[1]. With ICM, transportation professionals manage the transportation corridor as a multimodal system rather than taking the more traditional approach of managing individual assets. Beginning in 2006, the U.S. DOT partnered with eight “Pioneer Sites” in an initiative to develop, deploy, and evaluate ICM concepts in our Nation’s busiest corridors—the ICM Pioneer Sites are listed in Figure 1. Because of practical limitations, only two of the initial eight sites (those identified with an asterisk) were selected to deploy and operate and maintain ICM systems Figure 1. U.S. DOT ICM Pioneer Sites (ICMS). The U.S. DOT ICM Initiative aims to advance the state of the practice in transportation corridor operations to manage congestion. This initiative is providing the institutional Dallas, Texas* guidance, operational capabilities, Intelligent Transportation Houston, Texas Systems (ITS) technology, and technical methods needed for Minneapolis, Minnesota effective ICMS. Montgomery County, Maryland Oakland, California ICM can be viewed as the evolution of ITS technologies: first, San Antonio, Texas agencies deployed individual devices; next agencies deployed San Diego, California* separate modal systems; and now agencies are working on Seattle, Washington multi-modal integration in ICM. ICM can improve corridor * ICM Pioneer Demonstration Sites travel by integrating existing ITS devices and systems, including assets operated by different agencies, into a proactive solution designed to manage demand and capacity across all travel modes. This evolution to ICM brings operational benefits as well as the challenges of technical complexity and interagency coordination. The purpose of this ICM Implementation Guide is to provide information to ICM “early adopters” on how to plan, develop, deploy, operate, and maintain an ICMS. This guide addresses both the benefits and challenges by explaining the ICM project process and conveying firsthand knowledge and experience from the ICM Pioneer Sites. The target audience for this guide is public-sector transportation project managers who wish to implement an ICMS in their region. Note, that this guide is not a “how to” manual on Systems Engineering for an ICMS. The Systems Engineering process is used as the framework for the ICMS project process; however, the breadth of the Systems Engineering process is too extensive to cover comprehensively for ICM in a short guide of this type. This guide describes the phases in the system life cycle and the associated ICMS deliverables, focusing on how the ICM Pioneer Sites addressed each phase. The U.S. DOT ICM initiative is a multi-stage effort spanning several years. In the first stage, the eight Pioneer Sites developed their Concept of Operations and System Requirements Specification. In the second stage three sites—Dallas, Minneapolis, and San Diego—were selected to model the potential impact of ICM on their U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 1 Chapter 1. Introduction to the ICM Guide corridors. In the third stage two sites—Dallas and San Diego—were selected as ICM Pioneer Demonstration Sites to design, build, operate, and maintain their respective ICMSs and evaluate the impact on the corridors.       The goal of this guide is to further the ICM program toward the ultimate goal of empowering future locations to implement ICM and seeks to fulfill the following set of objectives for the reader: Use the applicable steps and deliverables from the Pioneer Site Process; Focus on measures and benefits, including performance monitoring and performance management; Understand ICM operations and maintenance (O&M); Adhere to existing Federal Highway Administration/Federal Transit Administration (FHWA/FTA) rules, policy, and guidance—for example, the FTA Policy and FHWA Rule on ITS Architecture and Standards Conformity;[2] Provide references to other guidebooks for more detail on ITS and Systems Engineering; for example, the FHWA Systems Engineering for ITS Handbook[3] and the FHWA/ California Department of Transportation (Caltrans) Systems Engineering Guidebook for ITS: Version 3.0;[4] and Identify some unique challenges of ICM implementation. This guide advises a potential ICM adopter both on the references the site should use from its region and on the appropriate references from Pioneer Sites and Standards Development Organizations. Several examples are included, as well as some templates. The appendices contain additional information to assist the reader, such as a list of acronyms and abbreviations and a bibliography of references and resources. An important component of ICM is Analysis, Modeling, and Simulation (AMS). The use of AMS provides ICM adopters with the means to assess operational strategies before they are implemented and to continuously monitor changing conditions and operational effectiveness. The AMS methodologies used for ICM receive their own special treatment in the ICM AMS Guide. The ICM AMS Guide has been incorporated into the Federal Highway Administration (FHWA) Traffic Analysis Toolbox (Volume XIII) and Traffic Simulation Guidelines. Implementers of ICM are well served to consider the ICM AMS Guide in its entirety.[5] How to Use This Guide Chapters 1 and 2 of this guide introduce ICM and the potential complexity of deploying systems to support it. These chapters also explain the distinction between ICM and an ICMS. Chapter 3 of this guide provides some insight on what it takes to implement an ICMS including suggestions for management of the process, highlights of recommended practices and ICMS challenges, testimonials, lessons learned, and examples from the Pioneer Site implementations. In chapter 3, sections 1 through 7 follow an intentionally similar format. Each section provides information on one of the seven phases of an ICMS implementation. The length of time needed to complete each phase of an ICMS implementation depends on the size and complexity of the project. Because of a potentially longtime to complete implementation phases, the sections were designed to be read independently as the project progresses. Each section starts with a brief summary of the project phase and then each phase description contains the following information areas—manage for quality, resources, process highlights, questions to answer, lessons learned, and example. This convention should aid the reader in understanding the process and will provide U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 2 Chapter 1. Introduction to the ICM Guide consistency for the reader in using the guide as a reference throughout the process by tying together the different phases using similar themes. These six information areas are described below. Manage for Quality Each Manage for Quality section provides guidance on the management structure for each implementation phase, describing important activities for which the leader of the given phase will be responsible. Each Manage for Quality section also includes a graphic showing some of the typical planning/development activities that will occur in each phase of the ICM implementation (note that the diagram is in the Highlights section in a few instances). See Figure 2 for the overall generic structure diagram. Figure 2. Generic Structure Diagram [Source: Modeled after: Systems Engineering Guidebook for Intelligent Transportation Systems, Version 3.0, U.S. DOT, November 2009.] These graphics are adaptations from the Systems Engineering Guidebook for ITS[6] and are tailored for an ICM implementation. Each graphic includes inputs, activities, and the resulting outputs for each phase of the project. Outputs of one project phase often become inputs to the next project phase and may be seen on the graphic for the next project phase. The graphics also include constraints on the project phase, which are typically items that control or impose limits on the work (e.g., laws, rules, guides, and standards). Stakeholders may want to add additional controls, inputs, or outputs that they deem necessary. The graphics also identify the physical enablers or resources that facilitate the activities. Many activities identified in the graphics correspond to typical project planning and development activities (e. g., feasibility studies, simulation and modeling, regional ITS architecture), so no explanation is provided in this guide for those activities. However, for those activities that may be new to some implementers, the guide provides guidance and or resources to assist readers with those activities. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 3 Chapter 1. Introduction to the ICM Guide Resources Each section of the guide provides a list of key resources. A brief summary of the resource is provided as it relates to each project phase. For detailed information on each resource, the reader should access the endnotes, which provide specific page, appendix, and template references. Highlights Each section includes a phase highlights section that provides information on and examples of some of the more challenging and perhaps less well-known activities in each project phase. These activities were specifically included to help implementers understand the less well-known ICM implementation concepts. Questions to Answer Each section includes questions that stakeholders should address during reviews of the project or prior to completion of each phase. Stakeholders may want to add to the list to satisfy their own unique project needs. Lessons Learned Each section includes lessons learned from the ICM Pioneer Site implementations. These lessons learned provide some insight into challenges that ICM implementers may encounter and recommendations for implementing solutions. Pioneer Site Example Finally, each section includes a featured example of work performed during the ICM Pioneer Site implementations. These examples are not intended to be recommended practice; however, they do provide a perspective on work that the sites performed. Considering these were pioneer projects, future ICM implementers may want to consider adopting process improvements for future implementations. The guide highlights each Pioneer Site example in a separate box set apart from the text of the guide as shown below. Pioneer Site Example Throughout the text there are other examples both from the Pioneer Sites and from other sources that are highlighted in this manner. Note: This guide does assume some understanding of project management and systems engineering. It is strongly recommended that both project management and systems engineering expertise be available to ensure project processes are conducted correctly. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 4 Chapter 2. Understanding Integrated Management of Transportation Corridors Chapter 2. Understanding Integrated Management of Transportation Corridors This chapter explains the main concepts and benefits of Integrated Corridor Management and Integrated Corridor Management Systems. Additionally, this chapter gives some perspective on how to manage the complexity of an Integrated Corridor Management System. What Is Integrated Corridor Management? Integrated Corridor Management is the operational coordination of multiple transportation networks and crossnetwork connections comprising a corridor and the institutional coordination of those agencies and entities responsible for corridor mobility.[7] It will transform the manner in which transportation networks are managed within a corridor, enabling agencies to see the overall impact of multimodal transportation network management decisions and to optimize the movement of people and goods within the corridor instead of just on individual networks. “The overall ICM process is extremely helpful in bringing together multiThe integration of operations among all transportation networks modal stakeholders to discuss the within a corridor is one solution to the growing congestion organization and management of problem and its resulting mobility reductions within urban corridor resources to achieve transportation corridors. Integration maximizes the effectiveness operational efficiencies for corridor of operations and mitigates the effect of incidents that affect the transportation.” movement of people and goods within the corridor. This integrated operation of corridor transportation networks is the Koorosh Olyai subject of a major U.S. DOT initiative known as Integrated Assistant Vice President Corridor Management. Without ICM, each transportation Mobility Programs Development network operator reacts to changes in demand or capacity in Dallas Area Rapid Transit the manner permitted by the operator’s network management system. The freeway operator, for example, might post messages on dynamic messaging signs located sufficiently before an incident to divert travelers from one freeway to another (if possible) or to the arterials that allow operators to bypass the incident. However, if the arterial network operators are not expecting this additional volume on their roads, their networks may become congested, “ICM provides the opportunity to and delays may build. Similarly, transit bus operators cannot proactively improve and maximize the prepare for or encourage travelers to shift to their mode of performance of the transportation transportation, since they are not expecting any reason for system by serving as an alternate to increased demand. With an effective ICM approach in place, traditional major infrastructure however, the transportation system operators in the corridor investments which may be more would be able to take a series of actions that could mitigate the expensive or constrained by effects of increased demand or reduced capacity on the entire environmental issues” corridor. Alex Estrella, ICM Manager, ICM is about more than just incident management or incident San Diego Association of response. The concept of ICM is further explored in the white Governments U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 5 Chapter 2. Understanding Integrated Management of Transportation Corridors paper “Conceptualizing Integrated Corridor Management” in Appendix A. This white paper provides a detailed examination of the following four strategic areas of ICM:     Demand Management Load Balancing Event Response Capital Improvement In addition to understanding what ICM is, agencies interested in ICM also want to answer these related questions:    Should I implement ICM? What are some ICM strategies? What benefits can I expect from ICM? These three questions are examined below. Should I implement ICM? In determining a viable candidate corridor for ICM, it is helpful to answer the following questions about the current operations in the corridor:  Is congestion in the corridor increasing and are travel times becoming less reliable?   Does the corridor have existing infrastructure and systems for each modal network and can the existing infrastructures and systems be effectively integrated?   ICM provides benefits through corridor-wide capacity optimization across all networks and modes. Do some of the agencies in the corridor already have agreements to coordinate operations and management?   ICM will facilitate informed travel decisions to maximize corridor efficiency. Are the existing transportation systems fully optimized?   ICM requires a solid foundation of real-time or near real-time data for coordination of effective responses to corridor conditions. Does the corridor contain alternative routes and modes for travelers?   ICM can take advantage of these systems to meet the operational needs of the corridor. Do existing infrastructure devices and systems provide real-time or near real-time data on corridor conditions that can be used to compute corridor performance measures and to assess the effectiveness of potential control strategies?   ICM strategies can provide a near-term solution to these issues. Implementing ICM would involve expanding operations to involve all transportation networks in a corridor. Are all relevant agencies on board with supporting corridor operations? To be effective, ICM requires resource commitments (personnel and funding) from all affected agencies. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 6 Chapter 2. Understanding Integrated Management of Transportation Corridors What are some ICM strategies? Determining the most effective ICM strategies is part of the process of implementing ICM. To better understand some of the strategies used as part of ICM, it is helpful to look at the example of the ICM Pioneer Demonstration Sites and their respective strategies listed below: Dallas, Texas, US 75 ICM Proposed ICM Approach and Strategies by Goal:[8]     Increase corridor throughput: HOV lanes, transit usage increase, increase/maximize supply (additional transit, additional parking, and diversion of vehicles), integrated approach to management (trade-offs between agencies to improve overall corridor operations), and modeling of corridor and strategies (for the decision support subsystem); Improve travel time reliability: advanced traveler information system (ATIS) and incident management (response time improvements – consistent goal among agencies within corridor); Improved incident management: inter-agency cooperation, inter-agency information sharing (center-to-center), agency training on common approach (current courses available), integrated policies for incident response (towing policies, response times), and decision support model (for historical, and near real-time scenario evaluation); and Enable intermodal travel decisions: model of multi-mode system, ATIS (availability of other modes, linked Web sites/portal, and third party integration), and marketing/advertising (public outreach/education). U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 7 Chapter 2. Understanding Integrated Management of Transportation Corridors San Diego, California, ICM Strategies Based on the I-15 Corridor Goals and Objectives:[9]      Share/distribute information: manual information sharing, information clearinghouse/information exchange network between corridor networks and agencies; 511 (pre-trip traveler information); en-route traveler information (smart signage and smart parking); access to corridor information by ISPs and other value-added entities; automated information sharing (real-time data); and common incident reporting system and asset management system; Improve junctions/interfaces: signal pre-emption – identifying “best route” for emergency vehicles; multimodal electronic payment; signal priority for transit, bus priority on arterials; transit hub connection protection; multi-agency/multi-network incident response teams/service patrols; and training exercise; Accommodate/promote network shifts: modify ramp metering rates to accommodate traffic (including buses) shifting from arterials; promote route shifts between roadway and transit via en-route traveler information devices; promote shifts between transit facilities via en-route traveler information devices; congestion pricing for managed lanes; and modify arterial signal timing to accommodate traffic diverted from the freeway; Capacity/demand management (short-term): land use control; modify HOV restrictions; increase roadway capacity by opening HOV/HOT lanes/shoulders; scheduled closures for construction; coordinate schedule maintenance and construction activities among corridor networks; planned temporary addition of transit capacity; and modify parking fees (smart parking); and Capacity/demand management (long-term): peak spreading; ridesharing programs; expand transit capacity; and land use around BRT stations. What benefits can I expect from ICM? The potential effects of ICM have been simulated at the three Pioneer AMS Sites. The results of these experiments have been documented and some example results are listed in Table 1 below. The differences in benefits among each of the Pioneer AMS Sites are the result of differences in corridor sizes, selection of control strategies, and other factors that varied from site to site. What is consistent, however, is that the overall benefit-cost ratios are all at least 10:1. (Note: the table lists net benefits; i.e., total benefits minus total costs, rather than overall benefits.) U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 8 Chapter 2. Understanding Integrated Management of Transportation Corridors Table 1. Expected Annual ICM Benefits of Pioneer Sites Benefit (from Simulations) Dallas Annual Travel Time Savings (Person-Hours) Tons of Mobile Emissions Saved Annually 10-Year Net Benefit 10-Year Cost San Diego 740,000 132,000 246,000 3% 4. 4% 10. 6% 981,000 17,600 323,000 9,400 175 3,100 $264M $82M $104M $14M $4M $12M 20:1 22:1 10:1 Improvement in Travel Time Reliability (Reduction in Travel Time Variance) Gallons of Fuel Saved Annually Minneapolis Benefit-Cost Ratio [Source: Integrated Corridor Management (ICM) ITS Benefits, Costs, and Lessons Learned: 2014 Update Report, USDOT FHWA. 2014] What Is an Integrated Corridor Management System? While ICM is the concept and practice of managing a corridor in an integrated fashion, the ICMS is the underlying infrastructure that enables agencies to perform that management process in an efficient manner. An ICMS is a set of tools to help the corridor’s transportation network managers and operators achieve the ultimate goal of keeping their networks operating at optimal levels. “The level of achieved success will be The ICMS can use existing network infrastructure to facilitate new subject to the fact that ICM will functionality. Figure 3 shows examples of the types of change how we operate and manage independent systems, each used to manage some aspect of the transportation systems. Stakeholders transportation networks in a corridor that an ICMS might integrate. should be prepared and positioned The infrastructure used to manage these transportation networks themselves to change how includes useful communication systems, archived and near realstakeholders will operate and manage time data systems, AMS systems, roadside control systems, and their individual systems under an ICM other corridor assets. Through integration of these systems, an environment.” ICMS can expedite communication and enhance the decisionmaking capability of operators through shared operations, management, and data as well as by performing analyses that may not be available without the ICMS. This helps corridor transportation network operators better understand the conditions of the systems that they manage both individually and collectively. Alex Estrella, ICM Manager, San Diego Association of Governments In the example shown in Figure 3, the central integration element is the collaborative management of a set of networks and systems, accomplished by human interaction and possibly a set of both automated and nonautomated tools. One major automated tool not shown in this figure is the Decision Support System (DSS). U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 9 Chapter 2. Understanding Integrated Management of Transportation Corridors Figure 3. San Diego ICM Example: Developing Systems for High Performance Corridors CMS Transit and FSP/TMT Management CCTV Freeway Management Collaborative Management Arterial Management CMS Traveler Information Services and Vanpool CCTV Incident Management [Source: San Diego ICM Pioneer Site Kick Off Meeting presentation, October 24, 2006, unpublished.] Another way to view an ICMS is as a group of independent systems joined (integrated) by a DSS. The ICMS would use the DSS component to analyze corridor data and provide recommended congestion mitigation strategies to corridor managers and operators. Figure 4 is a conceptual depiction of a DSS component for an ICMS. The U.S. DOT has captured information on DSS efforts across the United States in a report entitled “Assessment of Emerging Opportunities for Real-Time Multimodal Decision Support Systems in Transportation Operations: Concept Definition and Current Practice Report.”[10] Additional details on the information processed in a DSS and the potential improvements a DSS can make in an ICMS are included in APPENDIX B. Defining the ICMS Decision Support System The data from the independent network systems can be collected, integrated, and analyzed to provide operators with the benefit of an automated DSS. The DSS might also employ AMS to offer improvements (predictive capabilities) to corridor operators, and this can help them make better-informed corridor decisions. An example of this may include the ability of corridor operators to promote mode shift during severe congestion involving long delays. Through the ICMS, operators could access DSS information that will tell them about the availability of capacity on other modes and the likelihood that travelers would be willing to switch modes. If the likelihood is high and capacity is available, announcements could be made to travelers that a mode switch may provide a better option for travel. Additionally, the DSS could allow real-time U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 10 Chapter 2. Understanding Integrated Management of Transportation Corridors monitoring and prediction of the impact of these decisions so operators can change their approach to be more responsive to real-time changes in the network. Figure 4. San Diego ICM Example: Future Decision Support System (conceptual)[11] C orridor Management T ransportation C oordinator IMT MS W eb S ervices T ransportation C oordinator Monitoring S trategies 511 X ML D ecision S upport S ys tem X ML C ontrol S trategies * Arterial (Quic Net 4+) T ransit (R T MS ) Area C oordinators C onges tion E vents C MS C C TV S ignal P has ing IMTMS Network S ignal timing C MS s igning C C T V control F reeway E vents A rterial E vents R oad c los ures E V routing 911 (C AD) B us location T rain location E vents S ecurity C C T V S chedule Modify bus s ervice C reate new routes R eg ional T rans portation Network C onges tion E vents C MS C C TV R MS R MS T iming C MS s igning C C T V control *Us ing tools s uc h as : •E xpert s ys tems •G IS •R eal-time modeling, etc. F reeway (AT MS 2005) Modal C olor S c heme F reeway Arterial T ransit P ublic S afety AT IS /511 [Source: Concept of Operations for the I-15 Corridor in San Diego, California, SANDAG, et al. for U.S. DOT, FHWA-JPO-08-009. 31 March 2008, p. 5-3.] Analysis, Modeling, and Simulation for ICM The uses of AMS for ICM, along with the recommended ICM AMS approach, can be found in the ICM AMS Guide.[12] Lessons learned from the three ICM Pioneer Sites selected for the AMS stage revealed that the AMS process was extremely beneficial as it was credited with improving the accuracy of the analyses and provided a more robust knowledge base for evaluating future strategies and investments. The ICM AMS Guide offers a recommended ICM AMS approach, in a step-by-step format, to help the reader conduct ICM AMS successfully and effectively. Guidance is provided to assist corridor managers and analysis/modeling managers in successfully conducting AMS for their own ICM applications. AMS is not intended to be performed as a one-time, self-contained planning process. Instead, AMS is intended to be an ongoing, continual improvement process designed to assist practitioners in envisioning, designing, and refining ICM strategies. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 11 Chapter 2. Understanding Integrated Management of Transportation Corridors One step detailed in the ICM AMS Guide is how to evaluate existing traffic conditions to better understand the factors that influence congestion and the frequency with which these factors occur. Evaluating influencing factors provides the opportunity to identify the best combinations of multiple scenarios that are most representative of actual conditions. This information can be used to define analysis scenarios that make the best use of analysis resources. This allows analysis resources to be targeted towards appropriate scenarios that do not under- or over-estimate the impacts of the ICM strategies. The information on the impact of the ICM strategies can then be used, in turn, to help determine which combinations of ICM strategies are likely to be most effective under which conditions. The ICM AMS Guide also explains how AMS can be used to discern optimum combinations of strategies both to make the ICM implementation more successful as well as to identify conflicts or unintended consequences inherent in certain combinations of strategies that would otherwise be unknowable before implementation. Appendix A of the ICM AMS Guide documents the algorithmic process developed under the ICM program that is used to calculate key national measures of corridor performance. The algorithms offer a practical and broadly applicable method of calculation while breaking new ground in the definition of mode-independent, tripbased measures of aggregate corridor performance with explicit consideration of probability-weighted operational conditions. Appendix A provides a detailed description of how measures of delay, travel-time reliability, and throughput are calculated from simulation outputs. A brief discussion of travel time variance is also provided given that travel time variance measures are used in ICM-related benefit-cost calculations. Managing the Complexity of an ICMS Implementation Managing the complexity of an ICMS implementation will not be easy. In most cases, the project will involve bringing together multiple agencies that perform operations using diverse methods and include the integration of their heterogeneous systems. Increased communication, organization and documentation will be required to ensure that all project partners understand and agree upon project expectations and are kept informed of the status of the project. Systems engineering is the discipline developed to manage the complexity of large-scale systems. In particular, systems engineering is often used in the management of software intensive projects. It is highly recommended that a systems engineering approach be used to manage ICMS implementations. Having a defined process tailored to the ICMS project will be critical for successful implementation. “The Systems Engineering process allowed us to maintain a structured implementation approach. This might seem a bit trivial and obvious, but the implementation of the ICMS is not like any other project as it touches on different modes, systems, technologies, and institutional elements. Following the SE process has provided the roadmap to not only assure that we deliver a successful project, but also the SE process has helped us decipher ‘what-how-why’ items will be achieved and presenting it in a way that is multiagency/modal focused and integrated.” Alex Estrella, ICM Manager, San Diego Association of Governments The Systems Engineering Guidebook for Intelligent Transportation Systems, Version 3.0 describes a systems engineering process for ITS projects. Figure 5 below shows an example of the systems engineering process using the VEE development model. Chapter 3 of this guide provides more details on the systems engineering process. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 12 Chapter 2. Understanding Integrated Management of Transportation Corridors Figure 5. Systems Engineering VEE Diagram [Source: Systems Engineering Guidebook for Intelligent Transportation Systems, Version 3.0, U.S. DOT. November 2009.] Working with multiple agencies often means dealing with a mixture of project management processes. Some of the benefits of using systems engineering processes to manage the implementation of ICMS include improved control of the project and common terminology, expectations, and understanding of the work being performed. The Systems Engineering Management Plan “When working with so many corridor (SEMP) is developed early in the project process and will be stakeholders it is critical to have a agreed upon by all project stakeholders, providing them with a defined process to guide the work, harmonized systems engineering process for a successful foster communication, and manage project implementation. The SEMP provides a common expectations. Stakeholders found that understanding of how the work will be managed and provides the systems engineering process traceability from one phase of the project to the next. The SEMP gave them the tools needed to also helps to inform stakeholders about key project milestones manage project efforts and achieve and what role they will play in the success of those milestones. ICM goals.” Additionally, the SEMP identifies decision gates for the project. These decision gates require agreement from all project Koorosh Olyai stakeholders for the project to move forward. With project Assistant Vice President controls in place, project stakeholders should feel more Mobility Programs Development confident that they know what work needs to be done and how Dallas Area Rapid Transit it will be carried out. More details on the SEMP are provided in chapter 3, section 3.2 of this Guide. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 13 Chapter 3. ICM Implementation Guidance and Lessons Learned Chapter 3. ICM Implementation Guidance and Lessons Learned This chapter provides a detailed description of the ICM implementation process including organization of the effort and key activities. The implementation process is numbered as sections 1 through 7, which correspond to the following seven phases: 1. 2. 3. 4. 5. 6. 7. Get Started Establish Goals Plan for Success Specify and Design Build and Test Operate and Maintain Retire/Replace This ICM implementation process is generally representative of the systems engineering process followed by the ICM Pioneer Sites. The systems engineering process thus provides the framework for the guide. provides a mapping of ICM implementation phases to the systems engineering phases and tasks used in the Systems Engineering Guidebook for ITS.[13] Table 2 also provides a summary of the activities, products (outputs), staff roles, and resources and templates associated with each of the phases. At the beginning of each section, the graphic below is used to identify the phase being described. There is a numbered block to represent each phase. Note that phases three and four are divided into three parts—each part corresponding to each major work item. Also, note that the blocks in the graphic below match the phases shown in the columns in Table 2. [Source: Research and Innovative Technologies Administration, ITS JPO.] As explained in chapter 1 under How to Use This Guide, the sections in chapter 3 were designed to be read independently as each phase of the project progresses. Each section starts with a brief summary of the project phase and then each phase description contains the following information areas: manage for quality, resources, highlights, questions to answer, lessons learned, and example. Each section provides opportunities for improving the implementation process and lessons learned from previous implementations. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 14 Chapter 3. ICM Implementation Guidance and Lessons Learned Table 2. ICM Implementation Process [Source: Research and Innovative Technologies Administration, ITS JPO.] U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 15 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 [Source: Research and Innovative Technologies Administration, ITS JPO.] Get Started (Phase1) This phase includes the activities conducted to identify and coordinate the participants and information necessary to plan an ICM project. These activities are described following the guide convention described previously: manage for quality, resources, highlights, questions to answer, lessons learned, and example. Manage for Quality – Getting Started One of the first things that needs to be accomplished when getting started with ICM is to choose a stakeholder that will manage and lead the work to be performed. The following checklist includes some of the more important activities for which the Project Lead will be responsible:    Schedule meetings to discuss activities, status, action items, and risks; Ensure that guidance is made available to those stakeholders that are not familiar with ICM; and Ensure that all stakeholders understand and are comfortable with the project process. Getting Started Resources There are many resources available to assist with getting started with ICM. For information on ICM, stakeholders should visit the U.S. DOT ICM Web site: http://www.its.dot.gov/icms/. At the ICM Web site, stakeholders will find a great deal of information on the concept of ICM and its implementation. There is also an “ICM Knowledgebase” were people can search and find publications on ICM including presentations, newsletters, and fact sheets as well as AMS results and systems engineering documents from the ICM Pioneer Sites. Section 3.2.1 of The Systems Engineering Guidebook for ITS contains a good description on “Interfacing with Planning and the Regional ITS Architecture.”[14] Section 3.9.1 also provides good details on stakeholder involvement. Getting Started Highlights The following activities, also shown in Figure 6 below shows the planning process for getting started with ICM. The inputs and constraints should be completed and available prior to beginning the activities. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 16 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Under the direction of the stakeholders, either in-house staff or a contractor will execute the activities and deliver the outputs shown. Figure 6 below shows the planning process for getting started with ICM. The inputs and constraints should be completed and available prior to beginning the activities. Under the direction of the stakeholders, either in-house staff or a contractor will execute the activities and deliver the outputs shown. The enablers are the mechanisms used to manage and complete the activities successfully and are described in the following sections:  Foster Champions and Organize Stakeholders  Coordinate with Planning Process  Interface with the Regional ITS Architecture  Develop and Approve Project Charter Figure 6. Getting Started With ICM [Source: Noblis for ITS JPO, Modeled after: Systems Engineering Guidebook for ITS, Section 3.2.1, November 2009] U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 17 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Foster Champions and Organize Stakeholders Building a team of stakeholders to assist with the planning and design of an ICMS is a critical first step in moving forward. Metropolitan areas that are considering ICM will likely have formal or informal operations planning groups from which to build an ICM Team. As a corridor is being considered for ICM, it is important that all agencies affecting the operation and maintenance of all networks are invited and participate in the planning of the ICM. The roles and level of involvement may differ, but to be most effective, the ICM Team should consider all transportation resources (those affecting supply and demand). Additionally, it is important to invite stakeholders that may simply benefit from the system, to participate. If stakeholders receive enough benefit, they may be willing to share in long term funding strategies for the system. Cast a wide net early in the process, so as not to exclude possible stakeholders early on. The question of who should be involved should be left to the participants themselves, although it is important to keep all stakeholders informed throughout the process, even when they are not directly involved. Let the stakeholders determine their own involvement as the process moves forward. The initial invitees will likely come from various operations groups and technical committees and should cover the following groups:     Inter-jurisdictional– DOT, Metropolitan Planning Organization (MPO), local Multimodal– rail, bus, freeway, arterial, freight Public Safety Services – police, fire and rescue, safety service patrol Support Services – parking, traveler information systems/511 providers, commuter/rideshare organizations, media, tolling As the ICM stakeholder group is being formed, several items regarding how to coordinate efforts should be considered:    Determine the Lead Agency and Points of Contact (POCs)  Which agency will take the lead on organizing and hosting meetings?  Which agency will provide administrative support, such as note taking and documenting action items?  Who are the points of contact for the stakeholder group?  Which agency will provide resources or initial funding for preliminary activities? Determine the mission, activities, and operating procedures  What are the initial activities to be conducted?  What are the interpersonal communication protocols? How do we make sure all participants are on the same page?  What are the decision protocols? How are decisions made among the participants? Determine the relationship with existing processes and groups  How will this ICM stakeholder group relate to the existing planning process?  How will it relate to other local/regional operations technical committees? As the stakeholder group is organized, the champion or champions need to be identified (generally champions will “self-identify”) to lead the ICM team. In some cases, champions will need to be fostered or encouraged because of their strategic importance to the success of ICM in the region. This strategic importance could be related to their role, position, or influence in the corridor. In addition, it may be U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 18 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 beneficial to ensure that all of the key operating agencies in the corridor have a champion, since this will provide momentum for that agency’s involvement in the project. Ideally, the champion(s) should:      Understand ICM and the concept of corridor operations; Be able to lead a diverse team; Possess good communications skills; Be willing to commit the necessary time to the project; and Be able to marshal the necessary funding and personnel resources. The Systems Engineering Guidebook for ITS makes the following points on the role of the champion: Good leadership includes imparting the vision of the project:    Why it is needed? How it will help solve current problems? How it will benefit each of the stakeholder groups?[15] Coordinate with Planning Process ICM planning should be effected within the framework of the transportation planning process and guided by regional priorities. Planning for ICM is an objectives-driven, performance-based approach that can be thought of as “planning for operations” at the corridor level. Planning for operations is a joint effort between planners and operators to support improved regional transportation system management and operations. It requires coordination and collaboration between a number of regional partners, including planning staff and operations staff from metropolitan planning organizations (MPOs), State departments of transportation, transit agencies, highway agencies, toll authorities, and local governments. It involves the consideration of management and operations (M&O) strategies in transportation planning – including the integration of M&O strategies in the metropolitan and statewide transportation plans. The FHWA Office of Operations maintains a Web site[16] that lists (and provides links to) a number of documents that relate to coordinating planning and operations at the State, regional, and local levels. The ICM planning group should consider these documents in its planning process. ICM strategies can be simply thought of as M&O strategies with certain characteristics as discussed in chapter 2: they support the integrated operation of transportation networks within the corridor. The following list gives the primary elements of the objectives-driven, performance-based approach to planning for operations.[17]   Regional Goals. Establish goals that focus on efficiently managing and operating the transportation system. Operations Objectives. Develop operations objectives—specific, measurable statements of performance—to include in the Metropolitan Transportation Plan or Long-Range Statewide Transportation Plan (MTP/LRSTP) that will lead to accomplishing the goal or goals. The U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 19 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Advancing Metropolitan Planning for Operations Desk Reference provides recommendations on how to phrase these operations objectives.[18]     Performance Measures. Using a systematic approach, develop performance measures, analyze transportation performance issues, and recommend management and operations (M&O) strategies. M&O Strategies. Select M&O strategies within fiscal constraints to meet operations objectives for inclusion in the MTP/LRSTP and STIP/TIP. Investment and Implementation. Implement strategies, including program investments, collaborative activities, and projects. Monitoring and Evaluation. Monitor and evaluate the effectiveness of implemented strategies and track progress toward meeting operations objectives. Before federal funds can be approved and used for implementation, the ICM project(s) must be programmed on the metropolitan transportation improvement program (TIP) or the statewide transportation improvement program (STIP). In the early planning phase for ICM, it is likely that planning funds will be used to support initial activities. ICM Planning Questions to Consider in Get Started Phase: 1. What data is available in the region to monitor transportation system performance and track progress toward operations objectives? 2. What are the gaps, problems, and issues in providing transportation system management and operations across our region? 3. What are the transportation corridors that are best suited to be candidates for ICM deployment? 4. What ICM strategies may be available to help achieve our operations objectives? 5. How can we most effectively integrate ICM strategies with other existing or planned technology deployments to provide a greater level of service for the customer? 6. How can we define this ICM project or program in terms of functional requirements and operations concepts? Key points to consider in planning for ICM:        Conduct ICM planning within the context of the approved transportation planning process; Take advantage of the data available from the planning process; Specify goals and measurable objectives that advance operational performance outcomes for the regional transportation system; Consider the benefits of incremental deployment of ICM in a series of related projects to accomplish the ultimate vision of ICM within the corridor; Consider how ICM will relate to other corridors, services, and systems within the region; Identify performance measures that allow the region to track progress toward achieving its objectives; and Ensure that ICM (and any ICMS built to support it) are captured within the context of the regional ITS architecture (see section 1.3.3 below). U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 20 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Interface with the Regional ITS Architecture A regional ITS architecture is defined as “A specific, tailored framework for ensuring institutional agreement and technical integration for the implementation of ITS projects or groups of projects in a particular region. It functionally defines what pieces of the system are linked to others and what information is exchanged between them.”[19] The regional ITS architecture serves as an important guide for the development of ICM. The regional ITS architecture shows all of the existing and planned operational transportation systems in a region and how they will fit together. From a planning perspective, the regional ITS architecture supports the region’s objectives and the specific needs of transportation planning agencies. It shows how data is collected, archived, and processed to support transportation planning and performance monitoring. Components of the regional ITS architecture include: Scope: Definition begins with a clear statement of the geographic and jurisdictional boundaries, the time horizon, and the scope of transportation services that are covered by the architecture. The Rule/Policy leaves a lot of latitude to the region in defining the scope, but suggests that the regional ITS architecture cover the entire metropolitan area at a minimum. The ICM project or program will likely be considering a subset of the region, but in some cases the physical corridor boundaries may necessitate the need to consider multiple regional ITS architectures. Stakeholders: A list of the traffic agencies, transit operators, public safety agencies, traveler information providers and other organizations and groups that plan, develop, operate, maintain, and use the regional transportation system is included in every regional ITS architecture. This broad stakeholder list should include all of the agencies that are involved in transportation planning, operations, and management as well as groups that use the transportation system (e.g., fleet operators) or impact its operation (e.g., special event venue owner/operators). This list of stakeholders provides a good check to ensure that you have invited all relevant stakeholders to ICM planning meetings. Roles and Responsibilities: The regional ITS architecture also defines the high-level roles and responsibilities of each of the stakeholders that operate and manage the transportation system as part of an “operational concept” for the region. The roles and responsibilities are short statements like “share CCTV video feeds with other agencies in the region.” Inventory: This is a list of the existing and planned components or “elements” of the regional transportation system. The inventory elements are frequently systems in their own right and include the operational centers (e.g., a State DOT Freeway Management Center), field equipment (e.g., the dynamic message signs, CCTV cameras, and signal systems), vehicles (e.g., transit vehicles and public safety vehicles), and traveler equipment (the devices the traveler uses). Importantly for ICM planning, the inventory should also include any monitoring and data collection systems that are used by transportation planners. Interfaces: A definition of the interfaces between the inventory elements is a focal point of the regional ITS architecture. Each interface is represented as both an “Interconnect” (indicating whether there is a connection between the two elements) and as a set of information flows or “architecture flows” that describe the information that is shared. The architecture flows are also associated with relevant ITS standards. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 21 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Services: The ITS Services that are included in the regional ITS architecture represent a consensus of the architecture stakeholders. These ITS Services are implemented through projects. Project Sequencing: The regional ITS architecture is implemented through many transportation programs and projects that occur over years or even decades. The regional ITS architecture includes a sequence that allocates projects to broad timeframes like near- (0-3 years), mid- (3-7 years), and longterm (8+ years). The project sequencing often provides finer granularity than the ITS services, particularly for near-term projects. Having the knowledge of what ITS projects are coming on line and being designed is very important to effective ICM planning. This information can be leveraged to consider opportunities to add ICM-specific objectives and requirements onto ITS projects that are being implemented. By piggybacking ICM functionality on approved projects, transportation agencies can reduce the cost of implementing ICM. Agreements: The regional ITS architecture also includes a list of agreements because institutional coordination is required to support the technical integration that is shown in the architecture. The list of agreements should identify the existing and planned agreements in the region that are needed to support an integrated transportation system. Note that the agreements should extend beyond implementation into operational agreements that define agency roles and responsibilities for system operation. All of the architecture components are defined in more detail in the regional ITS architecture Guidance Document.[20] The regional ITS architecture provides a very good starting point for ICM planning activities. It is important to remember that planning and implementing the ICM project(s) may necessitate changes to the regional ITS architecture to take into account the planned ICMS. This is to be expected and is simply a normal part of the regional ITS architecture maintenance process. Develop and Approve Project Charter The development of a project charter is a recommended practice of the Project Management Institute. The purpose of the project charter is to formally authorize a project or a phase and to document the business case and the initial requirements that satisfy stakeholders’ needs and expectations. The approved project charter identifies the project manager and deputy project manager and formally initiates the project, in this case the ICM project. The charter provides the project manager with the authority to apply resources to project activities. This concept can easily be adapted to the ICM process. The development of the ICM project charter should be one of the first activities that the ICM stakeholder group embarks upon. The ICM project charter should be a brief document containing mission and vision statements that reflect the consensus view of the involved stakeholders and should briefly describe the need for ICM in the corridor. The development of the charter begins the process of getting the stakeholders to work together to reach agreement as a group and achieving buy-in from individual agencies on continued participation in the stakeholder group activities. The ICM charter could be considered a variation of a memorandum of understanding (MOU) or memorandum of agreement (MOA) and should be signed or approved by all stakeholder agencies. If necessary, the ICM charter should be revised over time as warranted by changes to the ICM management structure or stakeholders. The funding that is authorized at this stage may be limited to what is needed to carry out the initial planning work, but reflects stakeholder commitment to the ICM project. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 22 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 The ICM Project Charter should include:         The project purpose and a brief ICM vision statement; Transportation needs to be addressed by ICM in the corridor; ICM corridor boundaries and high-level project scope; Project success criteria and milestone approval requirements; Roles and membership of the ICM corridor stakeholder group; Assigned project manager and deputy project manager and a clear description of their responsibilities and authority level; Approved funding and resource commitment; and Summary schedule. Questions to Answer – Getting Started In getting started with ICM, stakeholders need to make certain consensus decisions to initiate the project. It is important for the stakeholder group to answer the main questions about the proposed project before proceeding to subsequent phases of the project. The following is a list of ICM questions to start with:      Has a list of stakeholders been agreed upon and have potential champions been identified? Have steps been taken to coordinate with the transportation planning process? Has the ICM Team addressed the interface with the regional ITS architecture? Was a Project Charter approved by the stakeholders? Have initial and lifecycle funding issues been discussed? Lessons Learned – Getting Started The following lessons apply to this phase of the ICM program:    Stakeholder selection – When initiating an effort to consider ICM for a regional corridor, look to include all potential stakeholders early in the process. Some agencies and organizations may choose not to participate, but all should be invited. Stakeholder involvement – Let potential stakeholders decide what their involvement will be as the process moves forward, but encourage as broad a participation as possible. Even if agencies or organizations choose not to participate at the start, keep them informed about the decisions being made. Initially reluctant partners can prove to be strong participants later on. Initiate stakeholder agreements – Initiate discussion of partner agreements early and try to identify the benefits to potential partners that help them justify committing to the project. There is a need to understand the business models of every partner and how to get them (e.g., tolling, and parking) involved. You need to find the incentive to get them to commit on day one. Why would a toll road want congestion eased if that is how they make money? Well, there is also the parking aspect and a lot of them make money on the parking too. Also, tolling agencies may see benefits due to reduced incident congestion on the toll roads and improved throughput allowing them to collect more revenue. You have to find out if they are willing to sign on to the project and do it early. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 23 Chapter 3. ICM Implementation Guidance and Lessons Learned        Phase 1 Leadership commitment – Involve executive leaders in facilitating the multi-agency partnerships vital to the long-term success of ICM. Their support is essential and it is particularly valuable if one (or more) of those executive leaders becomes a champion for ICM. Leadership turnover plans should also be considered to get new leadership on board and in support of the project. Planner and modeler input – Involve transportation planners and modelers, along with the transportation operations personnel, early in the process. Transportation planners and modelers can provide input into the performance measures selected and can help the team understand how best to track system performance against the established goals. Ongoing funding will likely be tied to performance so this is an important consideration for the project. Systems engineering training – The ICMS will be a complex system, make sure that stakeholders receive early training on systems engineering to prepare them for defining the system and managing its complexity. Use a qualified SE trainer and have a SE 101 course to kick-off the process. Having a good basic understanding of SE is the most important thing before anything else starts. Project skills – These projects require a lot of different skill sets (e.g., traffic engineers, signal system experts, freeway management experts, software specialists, data specialists, good operators, good managers, and a strong champion or leader.) Network operational environments – Holding meetings in the offices of other stakeholders is helpful to understand the working environment of all stakeholders. Agency restrictions and limitations – Stakeholders need to be sensitive and try to understand the restrictions and limitations of other agency partners. Contracting for success – Consider roles, responsibilities and accountability when selecting prime and subcontractors. It may be easier for agencies to work with one prime contractor that holds subcontracts rather than having multiple contractors reporting to them. This may minimize the some “not in my scope” responses to project requests. Of course, each circumstance is unique, so this is just one consideration for setting up contracts. Pioneer Site Example –Getting Started Pioneer Site Example – Getting Started The Dallas ICM Pioneer Site built its coalition of stakeholders out of the pre-existing institutional arrangements within the North Texas Council of Governments. The agencies have a history of cooperation, including efforts on the North Texas Regional ITS Architecture, which facilitated development of the ICM coalition, and the US 75 Corridor Steering Subcommittee meets on a regular basis to discuss ICMS planning and deployment activities. Figure 7 below shows the institutional framework established by the eight stakeholder agencies for the US 75 ICM. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 24 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 Figure 7. US-75 ICM Institutional Framework[21] Source: Concept of Operations for the US-75 Integrated Corridor in Dallas, Texas, DART, et al. U.S. DOT, FHW A-JPO-08-004, 30 April 2008.] The San Diego ICM Pioneer Site project development team was organized out of the existing members of the I-15 Managed Lanes project. The following paragraph provided by San Diego Association of Governments (SANDAG) explains the San Diego ICM Project Team within the context of the I-15 Managed Lanes project. Decision-making authority for matters of policy that affect the I-15 Managed Lanes Corridor lies with SANDAG’s Board of Directors and is handled by delegation to the SANDAG Transportation Committee. The Transportation Committee is the body through which issues are vetted with public involvement and regional transportation issues are resolved. Detailed issues relative to the I-15 Corridor and the ICM project would be delegated by the Transportation Committee to SANDAG staff, with guidance provided by a Technical Working Group established by the SANDAG Board of Directors. The SANDAG Project Manager (Team Leader) would administer the ICM project with oversight from the ITS Chief Executive Officer’s Working Group. The involvement of other stakeholders such as local agencies (cities) and transit operators would be established through the Technical Working Group. The Project Development Team would be established through a Project Charter and would meet on a regular basis to provide the team with guidance and direction, as well as receive and review and U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 25 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 1 comment on project deliverables. The Technical Working Group (TWG) serves as the primary forum to address project issues, and will be composed of SANDAG staff, consultants and key stakeholder representatives from the ICM team. When issues cannot be addressed within the context of the Technical Working Group, the Project Manager would elevate issues to the ITS CEO Working Group for resolution of issues or conflicts. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 26 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 2 [Source: Research and Innovative Technologies Administration, ITS JPO.] Establish Goals (Phase 2) This phase includes the activities necessary for the stakeholders to gain an understanding of ICM and to initiate the planning for an ICM project. These activities are described following the guide convention described previously—manage for quality, resources, highlights, questions to answer, lessons learned, and example. Managing for Quality – Establishing Goals One of the first things that needs to be accomplished when establishing goals for ICM is to choose a stakeholder that will manage and lead the work to be performed. The following checklist includes some of the more important activities that the Project Lead will be responsible for:    Schedule meetings to discuss activities, status, action items, and risks; Ensure that guidance and training is made available to those stakeholders that are not familiar with ICM; and Ensure that all stakeholders understand and are comfortable with the project process. Establishing Goals Resources There are many resources available to assist with establishing goals for ICM. One excellent resource is the Advancing Metropolitan Planning for Operations Desk Reference discussed in section 1.3.2. Another resource that stakeholders should visit for information on ICM is the U.S. DOT ICM Web site: http://www.its.dot.gov/icms/. At the ICM Web site, stakeholders can find a great deal of information on the concept of ICM and its implementation. There is also an “ICM Knowledgebase” where people can search and find publications on ICM, including presentations, newsletters, and fact sheets—plus AMS results and systems engineering documents from the ICM Pioneer Sites. The Systems Engineering Guidebook for ITS contains a good description on concept exploration in section 3.3.1, Needs Assessment, and section 3.3.2, Concept Exploration and Benefits Analysis. In addition, stakeholders can use their own standard processes for goal setting. U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 27 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 2 Establishing Goals Highlights The activities shown in Figure 8 are described below in this section under the following sub-headings:      Explore the ICM Concept Develop Goals, Measurable Objectives, and Data Collection Needs Analyze System Problems and Identify System (User) Needs Conduct Feasibility Assessment Identify Development Support Resources Figure 8 below provides a framework for establishing the goals of ICM. This framework identifies some of the inputs and controls needed before beginning the process, activities that should be performed during the process, and some of the outputs or products that need to be completed before moving to the next phase of the project. Enablers for this process are identified as those human resources that will facilitate completion of the activities. Figure 8. Establishing Goals for ICM [Source: Noblis for ITS JPO, Modeled after: Systems Engineering Guidebook for ITS, Section 3.3.1, November 2009] U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 28 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 2 Explore the ICM Concept ICM involves coordinating transportation management activities and processes among those agencies within a corridor whose actions affect how effectively people and goods can move on the transportation networks within that corridor. One of the first things to accomplish during this phase is the establishment of an ICM concept exploration working group. This group works best if it includes a representative set of relevant agency decisionmakers and has the resources needed to conduct a reasonable exploration of ICM concepts for the corridor. The concept exploration working group must select and define a candidate corridor within which agencies can implement ICM. A candidate corridor can be of any size or type, but the U.S. DOT’s research to date has focused on urban corridors in large metropolitan areas. To select and define a candidate ICM corridor with specific geographic boundaries, the working group must select for the following factors:     A major transportation network (roadway) with heavy traffic that is congested during peak travel periods must exist; Alternate transportation networks – at a minimum, one or more roadway networks and one or more transit networks, with periods of unused or underused capacity – must exist within the corridor (to handle diversion from the main, congested network or networks); Networks within the corridor must have (or must plan for implementing) real-time or near-real-time data collection; and Transportation network operators within the corridor must have a culture of interagency cooperation and collaboration (Note: while this is not mandatory, having this collaborative culture facilitates the establishment of the necessary inter-agency agreements that make ICM possible, if they do not already exist). The working group should propose the geographic boundaries of a corridor that encompasses all of the above factors to the stakeholders considering ICM. Once the working group has identified a candidate ICM corridor, it should identify the transportation problems or issues that exist and consider how concepts within the ICM strategic areas might address these problems and issues. As Appendix A indicates, the four major strategic areas of ICM include:   Demand management – which addresses usage patterns for the corridor’s transportation networks. Generally, travelers driving in to work from suburban or ex-urban locations to work locations within the corridor and then making the return trip after work to their homes cause congestion in urban corridors. Building more roads or widening existing roads is a congestionmitigation strategy that has rarely proven successful in the long term. While it may provide shortterm relief, ultimately growth along the travel corridor leads to the same or greater congestion along those roads. While the overall approach to implementing ICM in a corridor might include road construction, the working group should consider other ways of addressing demand. These might include such ideas as high-occupancy vehicle (HOV) or high-occupancy toll (HOT) lanes, incentives to encourage ride-sharing, closing off sections of the urban area to vehicles, encouraging telework, or congestion pricing. Some of these approaches could become part of the overall ICM strategy for the corridor. Load balancing – which addresses how travelers use the networks in a corridor. The working group can examine such ideas as mode shift (e.g., having drivers become transit riders), use of U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 29 Chapter 3. ICM Implementation Guidance and Lessons Learned Phase 2 reversible lanes during peak travel times, use of roadway shoulders as travel lanes to increase capacity during peak travel times, ramp metering, and other similar ideas to balance the traffic loads on corridor transportation networks. The working group can also consider options that add short-term capacity to a network (e.g., adding additional train cars to a transit train during peak demand periods) or valet parking at some facilities to move people through the facility faster. (One can consider some of these possible approaches as being either demand management or load balancing; the category is not important, but the potential positive impact of the approach is. There are also longer term load-balancing options that can involve some capital projects, such as building roads that allow travelers a shorter route to some destinations or providing light-rail transit options for certain heavily congested corridors. )   Event response – which deals with how the combined transportation network managers respond to both planned and unplanned events (incidents) that affect the capacity of or the demand on the corridor’s transportation networks. The most successful approaches, as indicated by the actual experiences of the Pioneer Sites, deal with establishing pre-coordinated response plans that represent what the corridor’s stakeholders consider the most effective manner of dealing with likely events (planned or unplanned). Usually, the likelihood of an event is determined from the historical record of events within the corridor and the experience of the corridor’s transportation managers. Capital improvement – which deals with upgrades to corridor facilities. This could include roadway, transit, and parking construction projects, but more likely will focus on the increased use of technology within the corridor to facilitate the coordinated management of the corridor’s transportation networks. One type of capital improvement the concept exploration working group should consider is the development of an ICMS, a system to support ICM decisions. U.S. DOT research in ICM and other congestion management initiatives has identified a number of control strategies or tactics that agencies can apply in strategic areas covered by ICM. The Pioneer AMS Sites modeled a representative sample of these. The control strategies modeled included:               Earlier dissemination and information sharing among agencies; Parking information at park and ride lots; Freeway traveler information (pre-trip and en-route); Arterial traveler information (pre-trip and en-route); Transit traveler information (pre-trip and en-route); Signal retiming on arterials or frontage roads during incidents; Ramp meter retiming during incidents; Coordinated signal and ramp meter operation; System wide coordinated ramp metering; HOT lane (congestion pricing); HOV lane (changing minimum number of occupants); Opening HOV/HOT lanes during incidents; Dynamic transit re-routing; Transit capacity expansion during special events; and U.S. Department of Transportation Office of the Assistant Secretary for Research and Technology Intelligent Transportation Systems Joint Program Office Integrated Corridor Management: Implementation Guide and Lessons Learned | 30 Chapter 3. ICM Implementation Guidance and Lessons Learned  Phase 2 Arterial signal priority for transit. During concept exploration, it is premature for the working group to decide which control strategies agencies might use in the defined corridor. However, what the working group can determine at this point is what data is needed to assess the potential impact of potential control strategies within the corridor. The working group can also assess whether the data needed is actually available or can be obtained with a reasonable expenditure of resources. The ICM AMS Guide[22] provides some guidance on what data is required for different AMS activities. The working group may also choose to initiate discussion on how to characterize overall corridor performance rather than individual network performance and potential implications for data collection. Goals, objectives, and performance measures are discussed in more detail in Section 2.3.2, below. If the region cannot afford to implement the type of AMS effort performed at the Pioneer AMS Sites, it should consider a more limited form of AMS. Some AMS work is needed to assess the potential impact of control strategies that the working group is considering for the corridor. Without any AMS, stakeholders could decide to implement control strategies that have limited value and benefit within the corridor. In this phase, it is also helpful to review the regional ITS architecture to determine what ITS projects the region plans to initiate (and when) and which systems the region has scheduled for upgrades. Additionally, many regional ITS architectures include current operating agreements among agencies and identify ITS standards used in the region. These agreements and standards help identify constraints on a proposed ICMS. The most common documents that come out of the concept exploration activity are the description of the proposed corridor and its boundary, a description of data needs for AMS, and a list of potential ICM control strategies that the working group will explore further while performing the corridor needs analysis. Note that one does not perform concept exploration and needs analysis in a sequential manner. There is considerable back and forth between the two activities as the working group considers how it can best resolve transportation problems and issues within the corridor. Develop Goals, Measurable Objectives, and Data Collection Needs Having explored the ICM concept, identified the transportation problems and issues within the corridor, and examined possible control strategies for addressing those problems and issues, the next step for the working group is to define an initial set of goals that it wo...
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