Performance-Based Management of Traffic Signals (2020)

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CHAPTER 6 INTEGRATION INTO AGENCY PRACTICE 6.1 TRAFFIC SIGNAL MANAGEMENT PLAN 192 6.2 IMPACT ON AGENCY ACTIVITIES 196 6.3 REFERENCES 202

CHAPTER FOCUS Chapter 6 provides strategies to fully integrate signal performance measures into agency management practices. Across an agency, there are many potential users of signal performance measures, including traffic signal operators and maintenance staff, senior managers, planners, designers, and construction staff. Information gained from signal performance measures can create opportunities to collaborate between groups, share resources, and communicate benefits to executive staff, elected officials, and the public. 6.1 TRAFFIC SIGNAL MANAGEMENT PLAN One way to move toward performance- based management is to weave signal performance measures into a Traffic Signal Management Plan (TSMP). A TSMP can help an agency attract resources by demonstrating needs, prioritizing activities, and defining “basic service” as it relates to the traffic signal system. Once an agency has developed a definition, they can use signal performance measures to: • Identify how well they are meeting expectations. • Identify where they need to invest in the traffic signal system. • Communicate those messages to policymakers and elected officials. Without a clear definition for “basic service,” it can be difficult for managers to communicate the value of their program and the impacts of resource allocation and budget cuts (Denney and Olsen 2013). This section builds off that idea and provides additional guidance for creating a TSMP. 192 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

6.1.1 CAPABILITY MATURITY MODEL (CMM) ASSESSMENT The Capability Maturity Model (CMM) is an organizational framework used in a wide range of industries from software development to transportation to describe the level of management formality and optimization. The FHWA utilizes CMM to identify opportunities and challenges in improving transportation system management and operations (TSMO). CMM can help an agency identify its current capabilities on a spectrum from ad-hoc actions to managed, optimized procedures. It uses four categories to describe varying CAPABILITY DIMENSIONS Business Processes. Approach to systematically carrying out tasks or activities in order to attain objectives and goals. Systems & Technology. Systems engineering, systems architecture standards, interoperability, and standardization. Performance Measurement. Measures definition, data acquisition, and data utilization. Management & Administration. Technical understanding, staff recruitment and retention, organizational structure, relationships with external partners, and program legal authority. MATURITY LEVELS Level 1 – Ad Hoc. Activities and relationships largely ad-hoc, informal, and champion-driven; substantially outside the mainstream of other agency activities. Business processes depend on the actions of individual staff. Level 2 – Documented. Basic strategy applications understood. Key processes support identified requirements, and key technology and core capacities under development. Business processes documented. Limited internal accountability and uneven alignment with external partners. Level 3 – Measured. Standardized strategy applications implemented in priority contexts and managed for performance. Technical and business processes developed, documented, and integrated into agency. Partnerships aligned. Efficiency and quality of activities evaluated through measures. Level 4 – Managed. Full, sustainable core agency program priorities established on the basis of continuous improvement with top-level management status and formal partnerships. Activities optimized based on performance data. Performance assessed relative to objectives and goals of the agency. levels of maturity in four dimensions. Once an agency identifies its current level, they can determine the actions they need to take to reach the next one. In order to reach a fully managed and optimized level of capability, an agency needs to incorporate regular performance measurement (Parsons Brinckerhoff et al. 2012). As it relates to signal performance measurement, at Level 3, an agency is setting up and collecting performance information. The goal of a performance- based program is for the agency to operate at Level 4, where they are not only measuring performance but also making decisions based on that information in a way that does not rely on an individual but is integrated into agency practice. INTEGRATION INTO AGENCY PRACTICE 193

PERFORMANCE MEASURE IMPACTS ON CMM DIMENSIONS The use of signal performance measures affects all aspects of CMM, not just the performance measurement dimension. This section summarizes how signal performance measures relate to the other three dimensions. • Business Processes. Business processes are the foundation for traffic signal program activities. The service that an agency is able to provide will improve as they move closer to performance- based decision-making. At the highest level of maturity, agencies will use signal performance measures to assess goals, prioritize projects, and distribute funding to attain their goals and objectives. • Systems & Technology. Agencies need to invest some resources into systems and technology to begin using signal performance measures. To function at the highest level of capability, the agency needs a system that allows consistent monitoring and supports a dynamic response to changing conditions. The technology will no longer be experimental but an integrated part of system management. • Management & Administration. To successfully implement signal performance measures, agencies need to identify champion(s) and have staff all working toward the same goals and objectives. The capability of an agency depends on the availability of staff resources, including staff time and technical knowledge about signal performance measures. There will be an increased role for IT staff, which may be a new approach for some agencies. Workforce maturity relies on an agency’s ability to retain talent and provide adequate compensation to mitigate risks of attrition. Maturity depends on internal and external relationships, including the extent of data and information sharing. At the highest level, an agency will routinely collaborate with stakeholders and use signal performance measures to support regional activities. CMM LEVEL ASSESSMENT An agency can start to assess its current capabilities in several ways. One of the most effective methods for gathering information is conducting a self-assessment that includes surveys and workshops with staff, partner agencies, and other stakeholders to assess activities and collaboration. Agencies can also review manuals, guides, policies, and other documents to see how well they have documented their capabilities. Agencies can incorporate current capability maturity information into a TSMP as a first step in planning for program management. 6.1.2 DOCUMENT GAP ASSESSMENT AND POTENTIAL MITIGATIONS After an agency assesses its current capabilities and maturity levels, it can document gaps and, more importantly, mitigation options in the TSMP. Common gaps include deficiencies in funding, resources/staffing, and infrastructure. Actions included in the TSMP should help the agency improve capabilities in those areas and reduce overall agency risk. FHWA has created a framework to help agencies assess their strengths and weaknesses related to CMM, as well as develop targeted action plans for improvement (https://ops.fhwa.dot. gov/tsmoframeworktool/). FUNDING Agencies should identify projects that can aid the implementation of signal performance measures as part of the TSMP. As described in Chapter 2, agencies may be able to implement signal performance measures by building on ongoing projects. For example, the only upfront cost for the Regional Transportation Commission of Southern Nevada (RTC) during implementation was a server, procured by the IT department. They built the equipment costs for new controllers and detection systems into other, 194 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

planned projects. In Texas, the City of College Station was similarly able to deploy signal performance measures at the same time as a central system procurement that already had funding. RESOURCES/STAFFING As an agency is developing a TSMP, it should identify and document regional and/or national resources. Agencies may be able to share resources as they deploy signal performance measures, including technical knowledge, lessons learned, and pooled funds to supplement low staff resources. For example, multiple agencies could hire a vendor or consultant to deploy a signal performance measure system. In addition to staff time required to set up a system, an agency should consider whether they have enough staff to monitor the traffic signal system proactively once it is operational. In order to extract benefit from a performance measure system, practitioners must know how to use the system and how to develop useful information from the performance measures. Ongoing training may be required to increase knowledge region-wide. Training topics can be identified in the TSMP. INFRASTRUCTURE An agency should conduct a thorough review of existing equipment and identify gaps between the existing system and a system that is capable of reporting signal performance measures. Chapter 4 includes a detailed discussion of system needs, which an agency should document in the TSMP. If significant equipment upgrades are required, the plan may involve prioritizing locations or pieces of equipment. For example, an agency may decide that communications investments are a lower priority in one region than another. For the lower-priority region, the agency may plan to collect performance measure data manually on a periodic basis until they can install additional equipment. 6.1.3 MONITOR PROGRESS AND RISK MANAGEMENT The ability to collect performance data and make decisions based on it is a hallmark of highly capable agencies. As part of the TSMP, an agency should create an action plan that details short, mid-term, and long-term improvements related to signal performance measures. This plan should be a living document, and agencies should regularly update it with new activities that seek to improve agency capabilities and reduce overall agency risk. INTEGRATION INTO AGENCY PRACTICE 195

6.2 IMPACT ON AGENCY ACTIVITIES As introduced in Chapter 1, signal performance measures can benefit traffic signal operators, but the measures can also be shared with other agency groups. This section summarizes how signal performance measures impact daily activities for all stakeholders as well as considerations for applying them as part of a performance-based management program. 6.2.1 ORGANIZATIONAL CULTURE SHIFT TO PERFORMANCE-BASED PRIORITIZATION At many agencies, a culture shift will be required to fully integrate signal performance measures. The technology has the capacity to inform system-wide decisions and can replace or enhance some traditional decision-making methods. For example, instead of waiting for calls to come in from the public or making changes based on a set schedule, an agency can shift to a daily monitoring process in which traffic signal maintenance and operational improvements are prioritized based on performance. To start this shift from traditional signal retiming to performance- based management, an agency should consider using pilot projects, which will allow practitioners to test signal performance measures at low-risk locations. SHAREABLE REPORTS Signal practitioners sometimes need to share progress with executive staff, elected officials, the public, or the media. Most practitioners are currently limited in what they can present, but with the implementation of signal performance measures, agencies can create executive summaries and dashboards, and can respond efficiently to Freedom of Information Act (FOIA) requests. It is important for agencies to share performance measures that are easy to understand, such as travel time or travel time reliability. AGENCY EXAMPLE The Utah Department of Transportation (UDOT) uses staff in their Traffic Operations Center (TOC) to check automated alerts each morning. Staff work their way through a checklist, resolving issues and writing work orders. This system helps UDOT fix problems before the public calls, and when the public does make a service request, ATSPMs help staff substantiate and resolve issues quickly. AGENCY EXAMPLE The Pennsylvania Department of Transportation (PennDOT) found “annual hours of delay” was not easy for the public to understand. When conveying their message, they reported the average amount of time each person sits in traffic using hours per driver per year (31.5 in Pennsylvania). 196 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

QUANTITATIVE PERFORMANCE TRACKING Agencies can develop a standard procedure for quantitatively tracking and documenting progress with agency staff, decision- makers, and the public, potentially through a newsletter or annual update. A routine process for disseminating successes can facilitate information sharing between agencies and notify decision-makers about program activities. For example, an agency can report an increased number of equipment upgrades, reductions in delay, or improvements in travel time over the course of a year. AGENCY POLICIES AND STANDARD PRACTICES The organizational structure of a transportation agency can vary greatly. Some agencies have separate ITS and signals groups, others have a signal group within the ITS department, and still others group ITS and signals under one umbrella (i.e., Traffic Signal Management & Operations, TSMO). When ITS and signals are separate, the signals group often focuses on arterials and integrated corridor management, whereas the ITS group is focused on freeway operations. Regardless of how an agency is organized, close collaboration between the signals and ITS groups will be essential. An agency can enhance inter-departmental communication by documenting standards for design, operations, and maintenance activities, such as policies for incorporating signal performance measures. Documentation that is clear and up-to-date will help individual groups or departments improve consistency across the agency. AGENCY EXAMPLE Some agencies have moved beyond pilot projects and incorporate performance measures into long-term management of the agency. As part of its 2017 TSMO Strategic Plan, the Florida Department of Transportation (FDOT) detailed how staff can incorporate TSMO throughout the project development process. Part of this process includes selection of operational objectives and related performance measures that are feasible given agency capabilities and constraints (FDOT 2017). INTEGRATION INTO AGENCY PRACTICE 197

AGENCY EXAMPLE The Regional Transportation Commission (RTC) of Southern Nevada has the Freeway and Arterial System of Transportation (FAST) group, which is an integrated ITS organization administered by RTC in partnership with the Nevada Department of Transportation and the Cities of Las Vegas, North Las Vegas, Henderson, and Mesquite, along with Clark County. FAST has worked with the agencies to standardize controller and detection equipment, simplifying information sharing and the deployment of ATSPM across the region. INTER-AGENCY COLLABORATION Agencies should proactively look for opportunities to collaborate externally with state agencies, metropolitan planning organizations (MPOs), and local agency partners. Using the gap assessment introduced in Chapter 4, agencies may be able to identify opportunities for resource sharing involving technical knowledge, lessons learned, and physical resources like servers. Agencies can often achieve effective external collaboration through regional groups that bring several agencies together. IT STAFF Implementing signal performance measures will require significant collaboration between information technology (IT) practitioners and traffic management staff. Traditionally, traffic control systems have existed within their own closed networks. They did not require the same level of management as the computers and servers used for other public services, and the amount of data generated by those systems was relatively small. Although some agencies have IT staff that are highly involved with traffic signal control, managing high-resolution data creates the need for “new” roles in some agencies — roles which may exist in the IT department but which may be new to the signals group. In larger agencies, it may be necessary to add IT personnel to fill this role. AGENCY EXAMPLE In the City of College Station, Texas, implementation of signal performance measures required an improved relationship between the traffic control center and IT staff. IT staff had not previously worked with traffic control systems, but the amount of networking required for signal performance measures necessitated their involvement. The signals group chose to engage IT staff early in the implementation process as they were developing a master plan. This early engagement fostered a relationship that has been helpful in the maintenance of the ITS system and expansion of the fiber network for traffic system purposes. 198 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

6.2.2 TRANSPORTATION PLANNING MODEL VALIDATION Signal performance measures provide a way for agencies to validate planning models. While signal performance measures can reduce the number of planning models needed to replicate existing conditions, models will still be required to test certain scenarios such as new geometry or significant traffic pattern changes. Through ATSPMs and a comprehensive detection scheme, an agency can have access to volume data on a regular basis, which can be used to track traffic patterns and congestion during normal conditions as well as during special events, weather, and other incidents. If an agency has access to probe data, they can combine travel time, speed, and origin-destination information with volumes to refine a variety of models. Economic development groups can also use comprehensive volume data to track seasonal trends in traffic and growth from year to year. EVALUATE BENEFIT/COST FOR PROGRAMS AND GRANTS Agencies can use signal performance measures to evaluate the outcomes of investments in the transportation system. With readily available data from signal performance measures, agencies can compare conditions for all times of day and for much longer analysis periods than through manual data collection methods. Agencies can compare operational benefits to project or program costs, which the planning group can use when prioritizing locations or project types. Example metrics include: • Red-light-running (RLR) events to evaluate safety improvements at an intersection. • Travel time and travel time reliability to evaluate the impact of corridor signal retiming. • Intersection delay to assess the impact of transit signal priority. 6.2.3 DESIGN AND CONSTRUCTION COMPARE EQUIPMENT TYPES Agencies can use signal performance measures to assess different types of communication, detection, and cabinet equipment. For example, agencies can sort the number of malfunctions over time by equipment type (i.e., vendor, model) to determine if certain equipment functions more reliably overall or under certain conditions (e.g., late at night, during weather events). The design group can use that information when designing intersections and updating guidance and standards. Additionally, agencies can coordinate with vendors to correct problems associated with a particular piece of equipment. EVALUATE MAINTENANCE OF TRAFFIC (MOT) Planned events (i.e., construction or special events) and unplanned events (i.e., traffic incidents or weather) often require detours, resulting in abnormal traffic patterns. Signal performance measures allow agencies to quantify the impact of MOT plans on congestion. Not only can staff potentially use the reports in real time to identify signal timing adjustments, but they can also use signal performance measures to compare different management strategies or technologies deployed as part of MOT. Note that in order to collect high-resolution data during construction events, signalized intersection equipment must remain operational (Ullman et al. 2011). However, practitioners can use probe vehicle data to supplement high-resolution data if signalized intersection equipment is offline during construction. INTEGRATION INTO AGENCY PRACTICE 199

6.2.4 TRAFFIC OPERATIONS CONTINUOUSLY AVAILABLE DATA FOR LESS MODELING Engineers traditionally make traffic signal adjustments with the assistance of a model. Models are built to reflect existing conditions using traffic counts and field observations (typically from a single day), and then staff adjust existing signal timing values to improve operations in the model. The signal timing is deployed in the field, and then additional adjustments are made based on field observations. Models will continue to be important for evaluating future conditions (e.g., geometric changes or significant traffic pattern changes), but for existing conditions, ATSPMs allow an agency to consistently measure operations over longer periods of time at more intersections than through traditional methods. Instead of looking at a single day of data, practitioners can review ATSPMs over the course of weeks or months to determine if the traffic signal is operating as expected and whether conditions are changing. If engineers make a change to the signal timing, they can quickly compare performance measures to identify the impact of the adjustment without developing an existing conditions model. AGENCY EXAMPLE Clark County, Washington, uses an integrated video system with incident triggers. When the signal system exceeds a certain threshold, the system can send a notification and bring up the video feed on the traffic signal engineer’s computer monitor. PRIORITIZE SIGNAL RETIMING Managers can use signal performance measures to prioritize which intersections/ corridors to retime. Performance-based prioritization will ensure that staff spend time on the most-critical locations. This type of management requires that the agency establish thresholds to identify when an intersection or corridor has exceeded acceptable operational standards. AUTOMATED ALERTS FOR OPERATIONAL ISSUES Use of automated reports and dashboards can help agencies identify operational issues before the public calls to report them. The thresholds identified in Chapter 5 can be used as a starting point for alerts, but some refinement will likely be required to prevent “false alarms.” 200 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

CONFIRM PUBLIC SERVICE REQUESTS Citizens often make public service requests when they notice an issue at a signalized intersection. Staff typically spend time talking with the citizen about the issue and trying to observe the issue that was reported. Sometimes these issues are easy to observe, but at other times, an agency may send a technician to the field multiple times without a solution. ATSPMs can help practitioners investigate publicly reported issues before sending technicians to the field. Practitioners can often isolate problems to a specific approach or specific lane, reducing the time a technician must spend in the field trying to recreate an event. After validating a public service request, operators should decide if and how to adjust the signal timing based on the agency’s objectives. If the agency’s objectives are at odds with the public service request, signal performance measures can help an operator explain the rationale for current timing to the public. 6.2.5 MAINTENANCE CONTINUOUSLY AVAILABLE DATA TO SUPPORT PREVENTATIVE MAINTENANCE Agencies can take a proactive approach to maintenance through a preventative maintenance program, which typically involves periodic field visits undertaken to determine whether equipment is functioning properly. If practitioners identify an issue, they fix it in the field or process a work order (if more extensive work is required). Even if field visits occur semi-regularly, a technician will only be able to observe operations for a limited amount of time. ATSPMs provide continuously available data, which a technician can review prior to conducting preventative maintenance to help detect errors that may not occur during the one-day field visit. AUTOMATED ALERTS FOR MAINTENANCE ISSUES Automated alerts can highlight intersections with malfunctioning equipment. Practitioners can use signal performance measures to determine which equipment is failing, the time that the issue began, and when the issue was fixed. Without ATSPMs, an agency will be highly reliant on calls from the public to notify them about equipment failures. PRIORITIZE INFRASTRUCTURE IMPROVEMENTS Signal performance measures can help prioritize short-term maintenance needs and inform replacement cycles for equipment. Many agencies find it easier to acquire capital funds than maintenance funds. By tracking the degradation of equipment over time using ATSPMS, an agency may be able to break out of a capital-based replacement cycle. AGENCY EXAMPLE The City of Atlanta, Georgia, has created a system by which they incorporate ongoing maintenance and operations into their capital projects. When they contract a capital program, they ask contractors to operate, manage, and maintain the infrastructure for a set period of time, and budget this expense into the capital program. This creates a modified public-private partnership whereby the agency is outsourcing operations and maintenance activities in a way that does not require exclusive maintenance funding. INTEGRATION INTO AGENCY PRACTICE 201

6.3 REFERENCES 1. Denney, Jr., R.W. and P.R. Olsen. 2013. “Traffic Signal Operations Reviews: Common Threads.” IMSA Journal, Vol. L1, No. 2, pp. 26-32. 2. Florida Department of Transportation (FDOT). 2017. 2017 Transportation Systems Management and Operations (TSM&O) Strategic Plan. 3. Federal Highway Administration (FHWA). “Welcome to Business Process Frameworks for Transportation Operations.” https://ops.fhwa.dot.gov/ tsmoframeworktool/ 4. Parsons Brinckerhoff, Delcan, P. Tarnoff, George Mason University School of Public Policy, and Houseman and Associates. 2012. SHRP2 Report S2- L06-RR-1: Institutional Architectures to Improve Systems Operations and Management. The Second Strategic Highway Research Program, Transportation Research Board, Washington, DC. 5. Ullman, G.L., T.J. Lomax, F. Ye, and R. Scriba. 2011. Work Zone Performance Measure Pilot Test. Report No. FHWA-HOP-11-022, Federal Highway Administration, Washington, DC. 202 PERFORMANCE-BASED MANAGEMENT OF TRAFFIC SIGNALS

Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America’s Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation

TRA N SPO RTATIO N RESEA RCH BO A RD 500 Fifth Street, N W W ashington, D C 20001 A D D RESS SERV ICE REQ U ESTED Perform ance-Based M anagem ent of Traffic Signals N CH RP Research Report 954 TRB ISBN 978-0-309-67363-1 9 7 8 0 3 0 9 6 7 3 6 3 1 9 0 0 0 0