Planning and Implementing Multimodal, Integrated Corridor Management: Guidebook (2020)

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5 Chapter 2 - Integrated Corridor Management Overview Along many congested urban transportation corridors, transportation agencies (e.g., state and local departments of transportation, bus operators, light rail operators, etc.) manage operations independently. Recurring and nonrecurring congestion across any component of the transportation system can have widespread congestion consequences across the corridor and its users. Agencies recognize that non- coordinated operations of corridor assets are inefficient for managing events and optimizing travel throughput. ICM is an operational concept that seeks to reduce congestion and improve performance by maximizing the use of available multimodal capacity across a corridor, including highways, arterial roads, and transit systems. ICM promotes cooperative and collaborative traffic management across the agencies that manage various transportation system components (i.e., freeways, arterials, signals, transit, parking systems, tollways, etc.) in a congested corridor. The purpose of this chapter is to introduce the concept of ICM and provide a case for the benefits of implementing ICM in transportation planning. Although it is common to think about ICM as a system or solution, ICM is first and foremost an operational philosophy, aiming to increase agencies’ coordination and collaboration. This section provides deeper insight into operational philosophy and then describes what is more commonly referred to as ICM systems. ICM Operational Philosophy The term “Integrated” in ICM refers to the institutional, operational, and technical integration (as described in Table 3) of key agencies that manage corridor assets. Creating an environment of collaborative and cooperative traffic management requires that agencies be willing to break down silos and barriers that have historically kept agency operations isolated. Table 3. Levels of Integration Definition No Integration Ideal Integration Institutional Coordination and collaboration between various agencies and jurisdictions that transcend institutional boundaries Agencies have no working agreements and do not share funding Interagency agreements and cooperatively funding deployment and operations Operational Multiagency and cross- network operational strategies to manage the total capacity and demand of the corridor Agencies operate their networks independently Centralized operations with cooperative management across agencies. System resources managed in real-time based on corridor needs Technical Sharing and distribution of information and system operations and control functions to support the Siloed software applications and field infrastructure managing Tightly coupled systems with multimodal and multisource fused data and event response

6 Definition No Integration Ideal Integration immediate analysis of and response to events within a corridor specific segments of the network Table 3 and Figure 1 present examples and requirements for cross-agency integration adopted from the NCHRP Project 20-68A U.S. Domestic Scan Program Scan 12-02 Advances in Strategies for Implementing Integrated Corridor Management (ICM) final report. These are the key attributes that jurisdictions will need to implement a successful ICM program.

7 Figure 1. Levels of Integration

8 Background on Planning for ICM The “V-Diagram” Systems Engineering Process The “V-Diagram” Systems Engineering Process shown in Figure 2 has been used in the last 20 years to guide the planning, design, and deployment of all types of ITS including the early stages of ICM. In this framework, there are five phases. The first, the Planning and Concept Phase, includes Needs Assessment, Concept Selection, Project Planning, Systems Engineering Management Planning, and development of the Concept of Operations. (Source: FHWA ICM Implementation Guide) Figure 2. “V-Diagram” Guidance Approach ICM Planning and Deployment Framework More recently, the FHWA Integrated Corridor Management: Implementation Guide and Lessons Learned report tailors the traditional systems engineering process using experiences documented from the ICM Pioneer Sites to create a seven phase ICM Implementation Process, as shown in Figure 3. The ICM Implementation Process is generally representative of the systems engineering process followed by the ICM Pioneer Sites.

9 (Source: FHWA ICM Implementation Guide) Figure 3. Integrated Corridor Management Implementation Process Phases Table 4. ICM Implementation Process Activities for the Planning and Concept Phase ties the sub-phases of V-Diagram Planning and Concept Phase to the activities to be completed from the ICM Implementation Process. Phase 3.4 – Analysis Plan and Phase 3.5 – Stakeholders have been added to fill in gaps identified in the current ICM Implementation Process. Table 4. ICM Implementation Process Activities for the Planning and Concept Phase Systems Engineering V-Diagram Phase ICM Implementation Process Phase Activities Needs Assessment 1. Get Started Foster champions and organize stakeholders Coordinate with planning process Interface with the regional ITS architecture Develop and approve project charter Concept Selection 2. Establish Goals 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 Project Planning 3. Plan for Success 3.1 Project Management Plan (PMP) Assess project management activities Determine roles and responsibilities Initial procurement discussions Prepare Project Management Plan and supporting plans (as needed)

10 Systems Engineering V-Diagram Phase ICM Implementation Process Phase Activities Systems Engineering Management Planning 3.2 Systems Engineering Management Plan (SEMP) Assess project management activities and technical tasks Transition critical technologies Define needed systems engineering processes and resources Make procurement decisions and specify integration activities Prepare SEMP Concept of Operations 3.3 Concept of Operations (ConOps) Define/refine project vision, goals, and objectives Explore project concepts Develop Operational Scenarios Develop and document Project Concept of Operations Define system boundaries 3.4 Analysis Plan Research analysis needs of the ICM alternatives and develop a sound analysis approach based on the operational conditions and the planned objectives of the ICM strategies Conduct analysis, modeling, and simulation iteratively to assess the feasibility of the proposed ICM strategies Identify the most promising strategies Identify the operational conditions under which the ICMS would be most effective 3.5 Stakeholders Identify stakeholders Identify roles and responsibilities Research and identify stakeholder agreements Additional guidance was added to the planning and concept phase of this ICM Guide regarding crosscutting activities such as stakeholder engagement, stakeholder agreements, asset management, and staffing and governance models, including: • Specific stakeholder constraints, interests, priorities, preferences, and capabilities in the contexts of: (1) coordination of planning and operations activities with other agencies; (2) sharing of resources and data with partners (including available and desired data); and (3) adjusting operations when corridor conditions warrant it. • The agencies and organizations they currently collaborate with or are seeking to partner with, and the nature, structure, and motivation for those partnerships. • Operational challenges and situations they currently encounter that could be addressed or mitigated through ICM strategies and/or improved interagency coordination. • Performance metrics and benefit measures typically collected or tracked. • Various types of agreements that can be used to institutionalize or formalize ICM and a discussion their strengths and weaknesses. It will include the typical stages of agreements, the areas that are covered, and how they can be defined and implemented. It will also discuss the emergence of the private sector and how agreements with private agencies can be structured. • Identification of the process the agencies need to use to identify ICM infrastructure. That includes identifying the existing conditions, the stakeholders’ needs, and the gaps between the existing conditions and the needs. It will discuss project sequencing, identifying early winner projects, and logical antecedents for ICM strategies.

11 • Identification of different staffing and governance models and the pros and cons of each. It will identify the knowledge, skills, and abilities (KSAs) needed to support ICM planning, implementation, and operations and maintenance. This will also include training courses tied to the KSAs and guidance for when to outsource. Systems Engineering Management Plan USDOT requires all ITS projects funded with highway trust funds to be based on a system engineering process (refer to Figure 2.) To comply with this requirement, the SEMP is generally developed early in the project process; it is not uncommon for the SEMP to be developed before or in parallel with the ConOps. The purpose of a SEMP is to document a system engineering process that all stakeholders agree upon, to facilitate a successful project implementation. The SEMP helps to improve control of the project and common terminology, expectations, and understanding of the work being performed from planning all the way through operations and maintenance. The SEMP also helps to inform stakeholders about key project milestones and what role they will play in the success of those milestones (e.g., performing tasks or reviewing task outputs). Additionally, the SEMP identifies decision gates for the project, which require agreement from all project stakeholders for the project to move forward. The SEMP is a living document and should be updated as additional information is learned about the system and its environment. According to FHWA’s Integrated Corridor Management: Implementation Guide and Lessons Learned report1, the major items that should be included in the SEMP include: • Task Identification – Identify tasks that must be performed and the task completion criteria (Note: tasks may be included as a work breakdown structure [WBS] which organizes tasks into a hierarchical structure and manages tasks and subtasks by name, budget, team roles and responsibilities, etc.). • Technical Planning and Control Processes – Establish the technical program planning and control processes included in technical reviews, walkthroughs, and decision gates. • Risk Management – Introduce the risk management plan to initiate a formal process for stakeholders to manage project risks. • Engineering Program Integration – Provide guidance on how the various engineering teams (communications, design, information technology, multimodal, etc.) will work together to support the project development. • Systems Engineering Process – Provide details of the systems engineering process that will be used to define the ICMS including the specific methodologies to be used for the ConOps, architecture, requirements, design, and testing. • Specialty Engineering Plans and Procedures – Determine which specialty plans (human factors, system safety, system security, etc.) and procedures will be needed for the project. • Configuration Management – Provide the configuration management plan that will facilitate control of changes to the ICMS and its artifacts including the ConOps, architecture, requirements, and design iterations. • Performance Monitoring – Initiate system performance monitoring processes to determine which improvements may be needed for ICMS and external systems. Schedule periodic performance reviews to assess future system needs and operational improvements. The proposed SEMP outline according to IEEE 13622 contains the following sections: 1 Federal Highway Administration, Integrated Corridor Management: Implementation Guide and Lessons Learned (Final Report Version 2.0), Report No. FHWA-JPO-16-280, September 2015. 2 Accessed at: https://www.fhwa.dot.gov/cadiv/segb/views/document/sections/section8/8_4_2.cfm.

12 • Section 1, Purpose of Document, provides a brief statement of the purpose of the document and the plan for the systems engineering activities with special emphasis on the engineering challenges of the ICM system to be built. • Section 2, Scope of Project, describes the planned project and the purpose of the system to be built, with special emphasis on the project’s complexities and challenges that must be addressed by the systems engineering efforts and the environment in which the project will operate. • Section 3, Technical Planning and Control, lays out the plan for the systems engineering activities. The set of activities/plans to be included in this section should cover the successful management of the project as well as any plans designed to address specific areas of the systems engineering activities. • Section 4, Systems Engineering Process, describes the intended execution of the systems engineering processes used to develop the system (i.e., each step of the “V-diagram” life cycle technical development model) in enough detail to guide the work of the systems engineering and development teams. • Section 5, Transitioning Critical Technologies, describes the methods and processes to be used to identify, evaluate, select, and incorporate critical technologies into the system design. • Section 6, Integration of the System, describes the methods to be used to integrate the developed components into a functional system that meets the system requirements and is operationally supportable. • Section 7, Integration of the Systems Engineering Effort, addresses the integration of the multi- disciplinary organizations or teams that will be performing the systems engineering activities. ICM SEMPs that can be used for reference include the following: • Maricopa Association of Governments, I-10 Integrated Corridor Management, Systems Engineering Management Plan, December 2015. Accessed at: https://azmag.gov/Portals/0/Documents/TRANS_2016-014-15_I10-Integrated-Corridor- Management-(ICM)-Systems-Engineering-Management-Plan.pdf?ver=2017-04-06-111959-323. • Partners for Advanced Transportation Technology and California Department of Transportation, Connected Corridors: I-210 Pilot Integrated Corridor Management System, Systems Engineering Management Plan, October 2015. Accessed at: https://connected-corridors.berkeley.edu/sites/default/files/i-210_pilot_-_semp_2015-10-30.pdf.