Houston Managed Lanes Case Study: The Evolution of the Houston HOV System
CHAPTER FOUR—DEVELOPING AND OPERATING MANAGED LANES
This report summarizes the development, operation, and use of the HOV system in Houston and the development of managed lanes in one corridor. The institutional arrangements and the factors influencing the development of the system were also described. This chapter summarizes some of the issues that may need to be examined when managed lanes are being considered in an area, as well as those typically associated with operating projects. It also highlights current and future FHWA activities related to advancing the state-of-the-practice associated with the use of managed lanes.
Issues to be Considered
A number of issues may need to be examined when HOV and managed lanes are being considered in an area or when changes to an existing facility are being contemplated. While many of these issues are similar to those associated with HOV facilities or other transportation improvements, some are unique to the special characteristics of managed lanes. This section summarizes some of the issues that may arise with managed lanes, as well as those associated with ongoing management and operation.
Defining Project Goals and Objectives. Similar to any transportation project, a key step early in the planning process is to identify the issues or problems to be addressed and to define the goals and objectives of a facility. For example, the issues and project goals in a corridor with very high truck volumes will typically be much different from those in a corridor serving commuter travel. A clear definition of the problems, goals, and objectives will help ensure that the ultimate project provides the needed benefits.
Identifying User Groups. A key step in examining managed lanes is to define the user groups to be served. HOV facility user groups are typically classified as carpools at different vehicle-occupancy levels, vanpools, and buses. Other user groups, such as motorcycles and low emitting vehicles (LEVs), may also be considered. Managed lanes frequently include consideration of other user groups or operational strategies, including trucks, pricing, and limited or special access. Different pricing strategies may also be considered, including flat fees, value pricing, and free passage for HOVs. The appropriate user groups and operating strategies should be matched to the issues in the corridor and the goals and objectives of a project.
Design Elements. Special design elements may need to be considered with HOV and managed lanes. The specific design elements should be matched to the anticipated managed lane user groups and operating scenarios. For example, the design issues associated with a truck-only facility will be different than those associated with lanes serving HOVs and priced vehicles. Examples of design elements that may need to be addressed with HOV and managed lane include access treatments and location, signing and advance notification of occupancy or pricing requirements, toll collection facilities, and toll or occupancy enforcement requirements.
Pricing and Equity. As noted previously, pricing may be considered as one element of a managed lanes project. A number of different approaches may be considered with a priced facility. First, a toll may be assessed to all vehicles using a facility. Second, tolls may vary by time-of-day, either based on a set pre-established schedule or based on variable levels depending on congestion. Third, HOVs may pay a lower toll or travel free. The appropriate pricing strategy will be based on the goals and objectives of a project.
The use of pricing strategies may raise equity issues. Equity relates to concerns that lower income groups or other individuals may be excluded from use of the lanes due to an inability to pay the tolls. Experience to date with value pricing projects in the country indicate that all income groups use the facilities and that equity does not seem to be a major concern.
Another issue that may need to be addressed with pricing strategies is the use of the toll revenues. If bonding is used to pay for constructing a facility, toll revenues typically go to pay off the bonds. If bonding is not used, the revenues may go to pay for the cost of operating and enforcing a facility, providing transit services, or making other improvements in the corridor. It appears that public acceptance of pricing strategies may be higher if the revenues are used for transportation-related efforts in the corridor or region.
Legislation. New legislation or changes in existing laws may be needed to implement and operate managed lanes. Elements that may need to be addressed include the legal authority to charge fees or tolls, to enforce occupancy levels or variable fee structures, to restructure the use of a facility to specific groups or vehicles, and to use automated enforcement techniques. The policies and procedures of FHWA, FTA, and other federal agencies should also be checked.
Policy Maker Support. The Houston case study and other HOV projects around the country highlight the importance of support from policy makers. Critical elements to obtaining support from key individuals and groups include outreach efforts to explain the need for a project and the anticipated benefits, periodic updates on the status of a project, and ongoing information on the use and benefits of the completed facility.
Public Involvement. Federal and state legislation and regulations govern the public involvement process on transportation projects, including consideration of HOV and managed lanes. Given the potential unique features of managed lane projects, especially if pricing strategies are included, extra efforts may be necessary in the public involvement process. Similar to the policy maker outreach activities described above, efforts should be made to communicate the problems and issues in a corridor, to solicit input on the alternatives being considered, to provide information on the goals and objectives of the selected approach, and to maintain ongoing communication on the benefits of a project.
Transit Service. Bus service is an important element of most HOV projects. Many transit systems have started new routes or expanded existing services in conjunction with HOV lanes. Bus services may also be an important element of a managed lanes project. As noted in the Houston case study, special considerations may be needed to ensure that buses are provided with travel time savings and trip time reliability. In addition, buses may be exempt from fees or tolls. Considering the operation requirements of buses in a corridor and ensuring that access is provided at strategic locations is also important.
Institutional Relationships. As illustrated in the Houston case study, the formal and informal relationships among agencies are important in developing and operating HOV and managed lanes. Consideration should be given early in the planning process to the roles and responsibilities of the various agencies in planning, designing, funding, constructing, operating, managing, enforcing, and monitoring HOV and managed lanes. Formal Memorandums of Agreement or other documents are typically used to identify the responsibilities of the different agencies involved in HOV and managed lanes. Multi-agency teams are also frequently used to help ensure the involvement and the cooperation of all appropriate agencies during all phases of project development and ongoing operation. As noted with the Houston case study, the involvement of a tolling entity makes these relationships more complex. The Houston case study also points out the importance of the informal working relationship among agency staff in advancing projects.
Enforcement. Managed lanes may require special enforcement practices and equipment. The exact type of enforcement needed will depend on the nature of the managed lanes. Key elements that will influence enforcement include the eligible use groups and the inclusion of pricing. Enforcing vehicle-occupancy levels represents the major concern with HOV lanes. If a managed lane project includes an HOV component, enforcing vehicle-occupancy requirements will be important. Currently, enforcement personnel must visually monitor monitoring occupancy levels as there is no commercially available technology for monitoring the number of individuals in a vehicle. Advances in technology may provide this capability over the next few years, however.
Enforcement is also critical when pricing is a component of a managed lane project. The appropriate fee of toll may be paid through the use of electronic toll collection (ETC) or manually at toll booths. Toll authorities have extensive experience in enforcing both payment methods. Electronic surveillance of ETC systems is commonplace on most toll facilities.
The need for enforcement should be considered early in the planning process to match the appropriate type of enforcement to the user groups and operational strategies being considered. It is important to ensure that legislation is in place to provide agencies with the necessary enforcement authority, that enforcement elements are incorporated into the design of a facility, and that operational strategies for enforcement are in place when a project opens.
Performance Monitoring. Monitoring conditions on HOV and managed lanes is a key element of successful proactive management and operational efforts. A variety of advanced technologies may be used to monitor the freeway, HOV, and managed lane system. Advanced Transportation Management Systems (ATMS) provide real-time monitoring, incident detection, and rapid response capabilities. In addition, many areas conduct ongoing monitoring and performance evaluations of HOV and managed lane facilities. These efforts combine to enhance the day-to-day operation of these facilities and to provide the information needed for ongoing operational changes.
Ongoing performance monitoring programs help identify the benefits accrued from a project, determine if the goals and objectives are being met, and identify operating problems or issues that may need to be addressed. Evaluations provide an opportunity to ascertain the degree to which the desired results are, in fact, occurring. Performance monitoring programs provide an official database for a project. This information can help ensure that all groups are utilizing the same data, assisting to clarify any possible disagreements over the impact of a project.
The information collected as part of an ongoing performance monitoring program has value for operating decisions relating to the HOV and managed lane facility. Information on usage, violation rates, and accidents are critical for ensuring the efficient and safe operation of a facility. Monitoring these and other aspects of a project as part of a performance process will help identify problems that may need to be addressed. For example, changes in operating hours, vehicle-occupancy requirements, pricing levels, bus services, and access points may be necessary. Longitudinal data on the use of a facility serves a critical operations function. This information can also be used to evaluate the marketing and public information programs associated with a facility, as well as helping to identify if additional marketing is needed.
The results of performance monitoring programs are also beneficial in future planning efforts. The information generated can be used to calibrate planning and simulation models for future use. Calibrating models with the results of local evaluations will ensure that they accurately reflect actual experience, provide a valuable check on the modeling process, and improve the future capabilities of the models. In addition, the results from a monitoring program, along with the experience gained from a project, can enhance the decision-making process on future projects.
Incident Management. Managing accidents and incidents on HOV lanes and managed lanes is a key part of management and operation. Elements of an incident management program include detecting a problem, responding appropriately, clearing the incident and returning the facility to normal operations, and communicating necessary information to motorists to help manage the situation. These four elements – detecting, responding, clearing, and communicating – form the basis of an incident management program.
An accident or incident must be reported for a response to be initiated. Detection refers to the ability to identify that an incident has occurred, and to obtain accurate information on the location, nature, and scope of the problem. The sooner an incident can be identified, and the proper responses initiated, the faster the problem can be cleared and the facility returned to normal. A wide variety of methods and technologies can be used to help detect an incident on HOV and managed lane facilities. Approaches include visual detection by enforcement and operation personnel, calls from motorists using cellular telephones, roadside telephone call boxes, commercial radio and television traffic reports, loop detectors, closed-circuit television cameras (CCTV), advanced transportation management systems and centers, and other intelligent transportation systems (ITS) and advanced technologies.
Once an accident or incident has been identified, the proper response can be initiated. A variety of approaches can be used, depending on the nature, severity, and scope of the problem. The general types of response vehicles and personnel include Highway Helper or Courtesy Patrols, dedicated agency tow trucks, commercial towing services, police, EMS, fire, and specialized response teams.
The clearing process involves removing the disabled vehicle or clearing the incident scene and returning the HOV or managed lane facility to normal operations. Tow trucks will be needed to remove disabled vehicles, while a Highway Helper Patrol may be able to assist with a vehicle that has run out of gas. Traffic control and site management are also important elements of this process. The roles and responsibilities of personnel from the various agencies should be established to allow for the safe, efficient, and coordinated management of an accident or an incident site.
The final element of incident management focuses on communicating information on the status of the HOV, managed lane, and freeway facilities to other agencies and the motoring public. A variety of techniques and technologies can be used to provide current or real-time information to HOV lane users, motorists in the general-purpose lanes, and other agencies. Possible approaches include commercial radio and television stations, highway advisory radio (HAR), variable message signs, and other technologies. This step is important to provide commuters and travelers with information on major problems and significant delays on a facility, as well as alternative routes that they may wish to take.
Ongoing Consideration of Enhancements. A key part of the management and operations philosophy is continually looking for opportunities to enhance the performance of HOV, managed lane, and freeway facilities. Information from performance monitoring programs can be used to help identify possible areas for improvements or changes. Examples of possible enhancements include new or expanded bus services, innovative rideshare programs, pricing strategies, public outreach activities, motorists service patrols, ramp metering and HOV bypass lanes, and special treatments for HOVs at major destinations. The use of new technologies, techniques, and strategies should also be considered on an ongoing basis. These approaches may include advanced transportation management systems, variable message signs, advanced traveler information systems, and other techniques.
Federal Interest in HOV Operational Changes
FHWA has periodically issued guidance on HOV facilities. The most recent Program Guidance on HOV Operations was issued on March 28, 2001 (36). The Program Guidance identifies the circumstances under which federal action is required to initiate changes in the operation of an HOV facility, and the federal review process and requirements to be used in these situations. The Program Guidance is available on the FHWA Internet site at https://www.fhwa.dot.gov/legsregs/directives/policy/index.htm.
Federal action is required when significant changes are proposed to existing HOV facilities constructed with federal funds. Significant changes include major alterations in operating hours and converting an HOV lane to general-purpose use. Minor modifications in operating hours and changing from different multi-person occupancy levels (from 3+ to 2+, for example) do not require federal approval. Coordination and consultation with FHWA is appropriate even when an operational change is only being considered or discussed, however, as a basis to determine what may be needed for actual changes to occur.
The Program Guidance identifies the information to be included as part of a federal review. Examples of needed information include original studies and plans for the HOV facility, project agreements, commitments made in the environmental process, operational assessments, analysis of future conditions, examination of alternative operating scenarios, and possible impacts on air quality levels and plans. The Program Guidance further outlines the federal review requirements related to air quality conformity, the state implementation plan, the congestion management system, the National Environmental Policy Act (NEPA) process, and other issues.
The Program Guidance and other available documents support the need to examine HOV systems on a regional, not just individual project, basis. Elements in this approach include a multi-year regional HOV system strategic plan, which is integrated into the metropolitan area long-range plan, and a multi-agency program to manage implementation of the system plan and to support day-to-day operation of HOV facilities and supporting services. This approach allows for the long-term regional commitment for infrastructure improvements, the careful phasing of operating segments, and coordinating the development and operation of supporting services, facilities, and policies.
Current and Future Activities
FHWA and other groups have begun a variety of activities related to managed lanes. Additional activities are planned to help share information related to managed lanes and to help advance the state-of-the-practice. This section highlights a few examples of FHWA-sponsored activities.
Managed Lanes: A Cross-Cutting Study. FHWA is sponsoring the development of a report examining the types of managed lanes and potential issues associated with different approaches in more detail. The report, which will be available in late 2003, provides a definition of managed lanes, highlights examples of managed lane projects throughout the country, and describes some of the elements associated with planning and operating managed lanes.
Managed Lanes Primer. FHWA is sponsoring the development of a Managed Lanes Primer. This document, which will be available in early 2004, highlights key aspects of managed lanes, potential benefits, possible issues, and best practice case studies.
Managed Lanes Initiative. FHWA is developing a managed lanes initiative that will identify policy, program, and research elements to help advance managed lanes. A November 2003 workshop involving selected transportation professionals from throughout the country will help in the development of the initiative.
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