Chapter 3 – Freeway Management
Programs
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3.1 Introduction
Practically every transportation-related program and the associated deployment
projects involve some sort of "process" – a series of actions by which
ideals and concepts are brought to fruition, implemented, and managed
on a day-to-day basis. Within every process there exists an underlying
structure that shapes and controls events. This framework consists of
formal activities (e.g., written policies and operational guidelines agreed
to in a collaborative fashion) and informal ones (e.g., human relationships),
all relating to the ways options are created and decisions are made to
improve the performance of the transportation network. An effective approach
ensures that investment decisions include full consideration of operations
strategies along with capital improvements; that operations activities
are addressed from a regional and multimodal perspective; that the operations
thinking addresses economic, environmental, and mobility objectives as
well as any institutional issues; and that once implemented, the effects
of these decisions can be measured and evaluated.
Several processes have been developed for planning and deploying transportation
improvements such as new infrastructure, ITS-based systems, and operational
activities. Moreover, many transportation agencies have adopted some of
these – often with variations – as their formalized approach for making
informed decisions regarding the investment of public funds for transportation
improvements. Given that several such processes already exist, an additional
(and separate) process for establishing, deploying, and managing a freeway
operations program is not needed. Instead, freeway management
and operations should be an integral part of the established processes
within an agency. Moreover, as discussed in Chapter 2, the freeway management
practitioner must be cognizant of and, to the greatest extent possible
(commensurate with his/her responsibilities), participate in these processes
ensuring that freeway management and operations receives appropriate consideration
and funding.
3.1.1 Purpose of Chapter
Chapter 2 identified and summarized some of these processes – specifically,
statewide and regional transportation planning for developing and updating
long-range transportation improvement programs; and "regional planning
for operations", a more formalized program for developing a transportation
operations program as recently developed by FHWA. This chapter focuses
more on processes and activities specific to freeway management and operations.
Following these introductory comments, a series of activities are presented
for establishing, enhancing, and managing a freeway operations program.
These "steps" are not to be viewed as a separate process for developing
a freeway management and operations program. Rather, they represent an
amalgamation of important activities from other established processes.
Intelligent Transportation Systems (ITS) have proven to be a significant
enabler of operations. As such, many freeway management programs will
include projects to develop, design, implement, and expand freeway management
systems that incorporate advanced technologies and complex software. Accordingly,
this chapter also summarizes a number of published processes that are
geared towards ITS deployment (e.g., systems engineering, configuration
management, regional ITS architectures). Finally, while not a process
itself, the National ITS Architecture is also discussed herein as the
associated conventions and terminology will often affect how these other
system processes are applied. Only a high-level overview of these system
processes is provided in this Chapter. Additional information and details
can be found in subsequent chapters of this Handbook, and in a variety
of references, many of which are identified herein.
While reading about, and perhaps someday utilizing, the information and
processes discussed in this chapter, it is important that the freeway
practitioner keep in mind that ITS-based systems represent just one potential
aspect of a freeway management and operations program, and that the freeway
itself is just one element of the overall surface transportation network.
Accordingly, freeway practitioners must view the overall performance of
the transportation network as a whole, and consider a vast array of potential
actions to improve its performance. Moreover, practitioners must carefully
consider how individual actions complement one another in the long run
and how, when combined into an overall program, they relate to regional
and community goals and objectives.
3.2 Establishing a Freeway Management and Operations Program
As defined in Chapter 1, a "program" is a coordinated, inter-related
set of strategies, procedures, and activities (such as projects), all
intended to meet the goals and objectives articulated in vision statements
and policies. Figure 3-1 shows a series of activities that should be considered
when establishing, enhancing, and managing a freeway operations program.
This diagram and the "steps" shown therein should not be viewed as a separate,
independent separate process for freeway management and operations. Rather,
they represent a collection of important activities from other established
processes, including the aforementioned planning for operations (Reference
1), systems engineering (References 2 and 3), regional ITS architectures (References 4 and 5), and incident management (Reference
15). This funnel diagram shows freeway management and operations within
the context of the broader transportation planning process and the institutional
environment as represented by the stakeholders. This becomes the basis
for a vision, goals, objectives and strategies; and how these are used
to identify required services, formulate the concept of operations, and
help determine performance measures. These lead to decisions regarding
the improvements, management systems, and staffing that are required.
These operational tools are then implemented leading to the actions an
operator takes on a day-to-day basis. These actions lead to results
and outcomes, measured by the performance monitoring system, that consequently
feed back and affect the formulation of the policies, goals, and objectives,
and influence the planning and programming process. These various activities
are discussed below.
Figure 3-1: Activities That Comprise a Freeway Management
& Operations Program D
3.2.1 Transportation Planning
As discussed in Chapter 2, statewide and regional transportation planning
is the structured process followed by states, metropolitan planning organizations
(MPOs), municipalities, and operating agencies to design both short and
long-term transportation plans. Products are project-oriented, typically
providing the Statewide and Regional (Constrained) Long Range Plan (LRP),
Statewide Transportation Improvement Program (STIP), and regional Transportation
Improvement Program (TIP). While the process has historically focused
on capital projects, it is now recognized that the statewide / regional
transportation planning process must take management and operations of
the transportation network, and the ITS-based systems that support operations,
into consideration.
This concept of "mainstreaming" ITS and related management and operations
activities into the traditional decision-making of planners and other
transportation professionals is addressed in several documents, including
NCHRP Project 8-35: "Incorporating ITS into the Transportation Planning
Process" (Reference 7) and "Integrating
Intelligent Transportation Systems within the Transportation Planning
Process: An Interim Handbook" (Reference
8). The former has the stated goal of defining an integrated decision
process where ITS and management and operations strategies are considered
on equal basis with traditional elements of the transportation system.
The latter "presents a framework for decision-making concerning ITS and
aids practitioners in successfully deploying ITS in the context of the
overall transportation program".
The documentation for many of the processes noted and referenced above
stress the importance of linking their efforts to the overall transportation
planning process, and using their end product as part of the overall transportation
planning process. For example, the FHWA rule regarding regional ITS architectures
(Reference 4) states that the "development
of the regional ITS architecture should be consistent with the transportation
planning process for Statewide and Metropolitan Transportation Planning".
In general, any process used to develop and implement specific types of
projects and activities (e.g., freeway management and operations, ITS
- based systems, regional architecture) must support the overall transportation
planning process; not compete with it. Moreover, the end products of these
"focused" processes can and should be used to feed information back into
the overall transportation planning process. As noted in the primer on
planning for operations (Reference 1),
"stronger links between operations and planning will result in meaningful
programs and investments as well as improved service to the customer across
modes, agencies, and jurisdictions".
A freeway management and operations program must be an integral part
of the regional and statewide transportation planning processes. These
include a collective vision for how the region's transportation systems
will operate in all situations, under a range of conditions, and with
other related systems; a concept for how the system should be operated
on a regional basis, and how to make changes to achieve desired improvements
in system operating performance; and measures for assessing performance.
Additionally, the freeway management program (i.e., the associated improvements,
systems, and operational tools) will provide information for updating
both the Transportation Plan and the Transportation Improvement Program
(TIP). The goal of the transportation planning process is on making quality,
informed decisions pertaining to the investment of public funds for regional
transportation systems and services. Using the freeway management and
operations program to support these planning activities is an important
step in the mainstreaming of operations into the traditional decision-making
of planners and other transportation professionals.
3.2.2 Institutional Environment and Stakeholders
There are a number of institutional factors that can affect the requirements
and decisions for a freeway management and operations program. These include
(from Reference 9):
- The Political Situation. The political situation
creates the context in which a freeway management and operations program
is implemented. The people who created the political situation are usually
key stakeholders and have needs that you must meet. It is important
to determine what those needs are and how much support they're willing
to give to meet their needs. In addition, some of the people involved
in creating the political situation may be involved in the decision-making
process that affects the freeway management program and associated projects.
The political situation should not necessarily be viewed as a negative
constraining the program. It may be, but it could also be a very positive
factor that drives the program to success. Even if you, as a freeway
practitioner, don't have the political support when you start, you always
have the opportunity, through good project management and astute expectation
management, to win people over as supporters.
- Receptivity to Innovation and New Ways of Doing Business.
There are some who are receptive to innovation and change (the "early
adopters") and some who resist change all the way. Most people fall
in the middle; they're not looking for change / new ways, but they'll
accept it if it's presented to them in a positive way. Part of a freeway
practitioner's job is to help the middle group, which is usually the
largest one, accept the change by pointing out the positive aspects
of freeway operations, by promising only what can be realistically delivered,
and by keeping these promises. If there is resistance, the practitioner
must look for the reasons, keeping personalities out of the picture.
It could well be that the reason for the resistance is that some key
requirement isn't being met for a group that considers themselves stakeholders.
- Willingness to Invest in Freeway Management Solutions.
It may be necessary to provide information on the return on investment
that the freeway management program offers the community it serves.
- Local Laws and Regulations. Laws and regulations
are frequently the source of many key requirements. They set conditions
that the program must meet and boundaries within which the program must
operate.
Stakeholders are interest groups who are benefit from, or are otherwise
impacted by, freeway management and operations (a "stake" as it were).
This includes the various entities identified in Chapter 2 – including
users, decision makers, responders (e.g., police, emergency services),
practitioners, and activity centers and service providers; from all "tiers"
– in essence, any persons or organizations with a strong material interest
in success or failure of freeway management. The stakeholders are sources
of the vision, goals and objectives, and requirements, and they are also
ones who validate or verify the requirements. Stakeholders need to be
brought into the picture early on to make sure their needs are considered
and to determine how they will be involved in the process. In some cases
it may be necessary to educate selected stakeholders, such as target the
management levels in an organization where decisions can be made to commit
valuable personnel resources to support the freeway management program
effort.
The Regional ITS Architecture Guidance Document (5)
provides an extensive list of the range of stakeholders that have participated
in regional ITS architecture development efforts around the country. Reproduced
in Table 3-1, the table makes a good checklist of possible stakeholders
that may be involved in a freeway management program. This list should
not be viewed as complete. As discussed in Chapter 11, additional stakeholders
will become major participants during emergency situations and disaster
management.
Table 3-1: Candidate Stakeholders (Reference
5)
Transportation Agencies
- State departments of transportation (DOT)
- Local agencies (City & County)
- Department of transportation
- Department of public works
- Federal highway administration (FHWA)
- State motor carrier agencies
- Toll/Turnpike & Bridge / Tunnel authorities
- Port authorities
- Department of airport or airport authority
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Planning Organizations
- Metropolitan planning organizations (MPOs)
- Council of governments (COGs)
- Regional transportation planning agency (RTPA)
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Other Agency Departments
- Information technology (IT)
- Planning
- Telecommunications
- Legal/Contracts
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Fleet Operators
- Commercial vehicle operators (CVO)
- Long-Haul trucking firms
- Local delivery services
- Courier fleets (e.g., US Postal Services, Federal Express, UPS,
etc.)
- Taxi companies
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Other Agencies
- Tourism boards/visitors associations
- School districts
- Local business leagues/associations
- Local Chambers of Commerce
- National Weather Services (NWS)
- Air and Water Quality Coalitions
- Bureau of Land Management (BLM)
- Academia interests, local Universities
- National and statewide ITS associations (e.g. ITS America, ITE
ITS members, etc.)
- Military (including Coast Guard)
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Public Safety Agencies
- Law enforcement
- State police and/or highway patrol
- County sheriff department
- City/Local police departments
- Fire Departments
- Emergency medical services
- Hazardous materials (HazMat) teams
- 911 Services
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Transit Agencies
- Local transit (city/county/regional)
- Federal transit administration
- Paratransit operations
- Rail services (e.g., AMTRAK)
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Activity Centers
- Event centers (e.g. sports, concerts, festivals, ski resorts,
casinos, etc.)
- National Park and US Forest Services
- Major employers
- Airport operators
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Travelers
- Commuters, residents, bicyclists/pedestrians
- Tourists/Visitors
- Transit riders, others
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Private Sector
- Traffic reporting services
- Local TV & radio stations
- Travel demand management industry
- Telecommunications industry
- Automotive industry
- Private towing/recovery business
- Mining, timber or local industry interest
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3.2.3 Vision, Goals, and Objectives
The vision is a broad statement of the long-term goals of the program,
such as "seamless traffic flow across jurisdictional boundaries", "enhanced
mobility through readily available information", "safe and efficient movement
of goods", etc. Such themes enable all entities affected by freeway management
to agree in simple layman's terms regarding its purpose. Moreover, as
the development of a vision should be a bottom-up process with input coming
from the stakeholders, it offers the opportunity to bring all the stakeholders
to the table early in the process, leading to a continuing dialog. Visioning
also helps establish priorities and ensure that the freeway management
program is fully responsive to participants needs. The vision sets the
stage for the development of goals and objectives.
3.2.4 Needs and Services
This is the initial activity in determining how the freeway network
should operate relative to how it operates today. The needs may be identified
from discussions with stakeholders coupled with the results of analytical
evaluations. This assessment should also include resources, institutional
considerations, and potential constraints (funding, staffing availability,
schedule, facilities). Services are the things that can be done to improve
the efficiency, safety, and convenience of the freeway network through
better information, advanced systems, new technologies, increased capacity,
better guidance for drivers, improved institutional relationships, enhanced
maintenance and operations, etc. Services are defined at a very-high
level, and then prioritized, based on the needs evaluation and stakeholder
input.
3.2.5 Concept of Operations
The Concept of Operations is a formal document that provides a user-oriented
view of the freeway management and operations program. It is developed
to help communicate this view to the other stakeholders and to solicit
their feedback. In essence, the Concept of Operations lays out the program
concept, explains how things are expected to work once it's in operation,
and identifies the responsibilities of the various stakeholders for making
this happen. The vision, needs, and services are also documented. The
process to develop a Concept of Operations should involve all stakeholders
and serve to build consensus in defining the mission, goals, and objectives;
provide an initial definitive expression of how functions are performed,
thereby supporting resource planning; and identify the interactions between
organizations (within and between "tiers").
By definition, the Concept of Operations does not delve into technology
or detailed requirements of the program. Rather, it addresses operational
scenarios and objectives, information needs and overall functionality,
where the program should be deployed, how users will interact with the
various elements of the program, performance expectations, etc. The Concept
of Operations must also address the "institutional" environment in which
the freeway management and operations program is to be deployed, operated,
and maintained. This environment includes all the potential users and
providers (i.e., stakeholders) and their respective needs and perspectives,
the relationships between the freeway management program and the policies
/ procedures of the affected public agencies and private entities, and
the necessary coordination (working relationships and agreements) between
the stakeholders.
Per the "IEEE Guide for Concept of Operations Documents", the Concept
of Operations:
- Provides a means of describing users' operational needs without bogging
down in detailed technical issues
- Provides a mechanism for documenting a program's (and system's) characteristics
and the users' operational needs in a manner that can be verified by
the users without requiring them to have any technical knowledge beyond
what is required to perform their normal job functions.
- Provides a place for users to state their desires, visions, and expectations
without requiring them to provide quantified, testable specifications.
- Provides a mechanism for users and providers to express their thoughts
and concerns on possible solution strategies. In some case, there may
be technical or institutional constraints that dictate particular approaches.
In other cases, there may be a variety of acceptable solution strategies.
3.2.6 Performance Measures
The performance measures provide the basis for evaluating the transportation
system operating conditions and identifying the location and severity
of congestion and other problems. The performance measures provide the
mechanism for quantifying the operation of the network, and should also
be used to evaluate the effectiveness of implemented freeway management
strategies and to identify additional improvements. Another aspect of
performance measurement is sharing and providing managers and users with
access to real-time and archived system performance data. Additional information
on performance measures is provided in Chapter 4 herein.
3.2.7 Decisions Regarding Improvements, Systems, etc.
In this stage, a determination is made – in a more detailed manner than
in the Concept of Operations – what the freeway management program should
do. This stage can run through several iterative cycles of defining, reviewing,
and refining the requirements. A key point related to this phase is that
the end product must be a set of requirements on whose meaning everyone
agrees. In the parlance of "Systems Engineering" (which is discussed later
in this Chapter), requirements are statements of the capabilities that
the program strategies and supporting systems must have (i.e., "functions"),
geared to addressing the mission-oriented objectives of the stakeholders.
For requirements to be most useful, they should be statements of what
is desired, not descriptions of how the need should be
satisfied.
3.2.8 Implement Tools
This stage involves deciding "how" each requirement in the freeway management
program is satisfied. It entails a determination of appropriate strategies,
policies, actions, and systems and their components so as to satisfy the
requirements. This will typically consist of several activities, including
generating alternatives, assessing the alternatives (e.g., technical and
operational feasibility, institutional compatibility, life-cycle costs,
constraints), and considering the conditions that impact operations and
maintenance (e.g., staff capabilities and availability, environment, available
facilities, training and documentation needs). The evaluation of alternative
strategies and system configurations / components should involve the following
steps: estimate benefits or utilities for each alternative, estimate life-cycle
costs of each alternative, perform comparative analysis, and select the
alternative(s) offering the most potential. (Chapter 4 discusses some
analytical tools for making such comparisons.)
The freeway management and operations program will likely be implemented
via many individual projects and initiatives that occur over years, or
even decades. A sequence, or ordering, of projects must be defined. The
first step is to review the regional transportation plans (TIP, STIP),
identify the freeway management projects that are already prioritized
as short, medium and long term, and then use this as a starting point.
Each freeway management project and initiative should be evaluated in
terms of anticipated costs and benefits, and to determine whether there
are any institutional or technical issues that will impede implementation.
In addition, the evaluation may take into account the funding availability,
agency and public support for each project, and other qualitative factors
that will impact the actual sequence in which projects are deployed.
The projects and initiatives are then designed (e.g., preparation of
plans, specifications, estimates, and other contract documents / work
orders) and then implemented (including integration, testing, and acceptance
activities, staff training, and documentation), making the freeway management
and operations program real.
3.2.9 Operator Actions
The implementation of systems and other operational tools result in
the actions an operator takes on a day-to-day basis. As discussed
in Chapter 2, while the previous activities have been strategic and tactical
in nature, operations are ongoing and performed on a real time temporal
scale. This also includes maintenance of the freeway management and operations
infrastructure (ensuring that it is functioning properly) and on-going
configuration management (discussed later in this Chapter).
These actions lead to results and outcomes, measured by the performance
monitoring system, that consequently feed back and affect the formulation
of the policies, goals, and objectives, and influence the planning and
programming process. This "feedback" element of the process allows practitioners
to assess the effectiveness of their efforts, to identify areas for improvement,
to demonstrate the benefits provided by the program, and to support requests
for additional resources
A freeway management and operations program is a continuous process,
one that must take into account changes in the local operational, technological,
political, and funding environment. Based on the results of the evaluations,
the freeway management program may be expanded (geographically and / or
functionally), and the policies and operational strategies may be modified.
It may also require developing a revised vision, new requirements, different
approaches, etc. – in essence, continually exercising all the previous
steps.
It is important that the operators understand that their actions directly
contribute to achieving the program's goals and objectives. The more successful
the operations program in meeting the overall goals of the agency (as
measured by performance monitoring), the more strongly supported it will
be. The program is not simply operating the system, but providing the
resources needed (equipment, software, tools, staffing, training, etc.)
in a systematic approach (e.g., systems engineering) to develop an overall
approach to support operations and make it as effective as possible.
Another important consideration is that freeway management and systems
are only one part of the many transportation management systems and operations
activities that may exist within a metropolitan area, state, or multi
state region. Freeway management should be implemented systematically
on a regional basis and be coordinated with all the activities typically
undertaken to operate the transportation network. This requires cooperation
with neighboring governmental jurisdictions, regional transportation agencies,
and organizations that provide or are involved with transportation-related
services.
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