August 2012
Contact Information: Operations Feedback at OperationsFeedback@dot.gov. Arterial Management Program Web Site
U.S. Department of Transportation Federal Highway Administration FHWA-HOP-11-027
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[ Notice ] [ Technical Report Documentation Page ] [ Acknowledgements ] [ Glossary ]
EXECUTIVE SUMMARY
A. PREAMBLE
WHY USE SYSTEMS ENGINEERING? PURPOSE OF THIS DOCUMENT WHY CONSIDER ASCT? HOW TO USE THIS DOCUMENT
WHY USE SYSTEMS ENGINEERING?
PURPOSE OF THIS DOCUMENT
WHY CONSIDER ASCT?
HOW TO USE THIS DOCUMENT
B. OVERVIEW OF THE PROCESS
ASSEMBLING YOUR DOCUMENTS
OVERVIEW RESPONSIBILITIES CONCEPT OF OPERATION REQUIREMENTS VERIFICATION PLAN VALIDATION PLAN PROCUREMENT PLAN Request For Information (RFI) Industry Review of Requirements Request For Qualifications (RFQ) Request For Proposals (RFP) Low-Bid Verification Plan Market Research Approach Procurement and Verification References Sole Source Procurement
OVERVIEW
RESPONSIBILITIES
CONCEPT OF OPERATION
REQUIREMENTS
VERIFICATION PLAN
VALIDATION PLAN
PROCUREMENT PLAN
Request For Information (RFI) Industry Review of Requirements Request For Qualifications (RFQ) Request For Proposals (RFP) Low-Bid Verification Plan Market Research Approach Procurement and Verification References Sole Source Procurement
Request For Information (RFI)
Industry Review of Requirements
Request For Qualifications (RFQ)
Request For Proposals (RFP)
Low-Bid
Verification Plan
Market Research Approach
Procurement and Verification References
Sole Source Procurement
LOGICAL WORKFLOW IN PREPARING THE CONCEPT OF OPERATIONS Chapter 1: Scope 1.1 Document Purpose and Scope 1.2 Project Purpose and Scope 1.3 Procurement Chapter 2: Referenced documents Chapter 3: User-Oriented Operational Description 3.1 How Does the Existing System Work? Network Characteristics Traffic Characteristics Signal Grouping Land Use Operating Agencies Existing Architecture and Infrastructure 3.2 What are the Limitations of the Existing System? 3.3 How Should the System Be Improved? 3.4 Statement of Objectives for the Improved System Smooth Flow Maximize Throughput Access Equity Manage Queues Variable Objectives Maximize Isolated Intersection Efficiency 3.5 Description of Strategies To Be Applied by the Improved System Provide a Pipeline Distribute Phase Splits Manage Queues Variable Strategies 3.6 Alternative Non-Adaptive Strategies Considered Traffic Responsive Complex Coordination Features Chapter 4: Operational Needs 4.1 Adaptive Strategies Traditional Traffic Operational Strategies Adaptive Coordination and Control Techniques 4.2 Network Characteristics Number of Signals Size of Groups Flexible Groups Separation of Groups Relationship of Groups to Other Groups or Facilities Jurisdictional Relationships 4.3 Institutional and System Boundaries Crossing Arterial Coordination Adaptive Coordination Strategies 4.4 Security 4.5 Queuing Interactions 4.6 Pedestrians 4.7 Non-Adaptive Situations Adaptively and Automatically Detect Conditions Schedule Operation Operator Override 4.8 System Responsiveness Small Shifts in Demand Large Shifts in Demand Response Time 4.9 Complex Coordination and Controller Features Multiple Phase Service Early Release of Hold Hold the Position of Uncoordinated Phases Late Phase Introduction 4.10 Monitoring and Control 4.11 Performance Reporting Performance Measurement System Operation Mobility Objectives Real-Time Logging Data Storage External Interfaces Use Historical Data To Recreate Events 4.12 Failure Notification Report Directly Report to Interfaced System 4.13 Preemption and Priority Railroad Preemption Emergency Vehicle Preemption Transit Priority Preemption / Priority frequency 4.14 Failure and Fallback Modes 4.15 Definition and Application of Constraints Infrastructure Management and Human Resources Financial Constraints Complexity People Hardware and Software Constraints Schedule Chapter 5: Envisioned Adaptive System Overview Chapter 6: Adaptive Operational Environment 6.1 Operational environment 6.2 Physical environment Chapter 7: Adaptive Support Environment Chapter 8: Proposed Operational Scenarios Using an Adaptive System 8.1 How to construct a scenario
Chapter 1: Scope 1.1 Document Purpose and Scope 1.2 Project Purpose and Scope 1.3 Procurement Chapter 2: Referenced documents Chapter 3: User-Oriented Operational Description 3.1 How Does the Existing System Work? Network Characteristics Traffic Characteristics Signal Grouping Land Use Operating Agencies Existing Architecture and Infrastructure 3.2 What are the Limitations of the Existing System? 3.3 How Should the System Be Improved? 3.4 Statement of Objectives for the Improved System Smooth Flow Maximize Throughput Access Equity Manage Queues Variable Objectives Maximize Isolated Intersection Efficiency 3.5 Description of Strategies To Be Applied by the Improved System Provide a Pipeline Distribute Phase Splits Manage Queues Variable Strategies 3.6 Alternative Non-Adaptive Strategies Considered Traffic Responsive Complex Coordination Features Chapter 4: Operational Needs 4.1 Adaptive Strategies Traditional Traffic Operational Strategies Adaptive Coordination and Control Techniques 4.2 Network Characteristics Number of Signals Size of Groups Flexible Groups Separation of Groups Relationship of Groups to Other Groups or Facilities Jurisdictional Relationships 4.3 Institutional and System Boundaries Crossing Arterial Coordination Adaptive Coordination Strategies 4.4 Security 4.5 Queuing Interactions 4.6 Pedestrians 4.7 Non-Adaptive Situations Adaptively and Automatically Detect Conditions Schedule Operation Operator Override 4.8 System Responsiveness Small Shifts in Demand Large Shifts in Demand Response Time 4.9 Complex Coordination and Controller Features Multiple Phase Service Early Release of Hold Hold the Position of Uncoordinated Phases Late Phase Introduction 4.10 Monitoring and Control 4.11 Performance Reporting Performance Measurement System Operation Mobility Objectives Real-Time Logging Data Storage External Interfaces Use Historical Data To Recreate Events 4.12 Failure Notification Report Directly Report to Interfaced System 4.13 Preemption and Priority Railroad Preemption Emergency Vehicle Preemption Transit Priority Preemption / Priority frequency 4.14 Failure and Fallback Modes 4.15 Definition and Application of Constraints Infrastructure Management and Human Resources Financial Constraints Complexity People Hardware and Software Constraints Schedule Chapter 5: Envisioned Adaptive System Overview Chapter 6: Adaptive Operational Environment 6.1 Operational environment 6.2 Physical environment Chapter 7: Adaptive Support Environment Chapter 8: Proposed Operational Scenarios Using an Adaptive System 8.1 How to construct a scenario
1.1 Document Purpose and Scope 1.2 Project Purpose and Scope 1.3 Procurement
1.1 Document Purpose and Scope
1.2 Project Purpose and Scope
1.3 Procurement
Chapter 2: Referenced documents
Chapter 3: User-Oriented Operational Description
3.1 How Does the Existing System Work? Network Characteristics Traffic Characteristics Signal Grouping Land Use Operating Agencies Existing Architecture and Infrastructure 3.2 What are the Limitations of the Existing System? 3.3 How Should the System Be Improved? 3.4 Statement of Objectives for the Improved System Smooth Flow Maximize Throughput Access Equity Manage Queues Variable Objectives Maximize Isolated Intersection Efficiency 3.5 Description of Strategies To Be Applied by the Improved System Provide a Pipeline Distribute Phase Splits Manage Queues Variable Strategies 3.6 Alternative Non-Adaptive Strategies Considered Traffic Responsive Complex Coordination Features
Network Characteristics Traffic Characteristics Signal Grouping Land Use Operating Agencies Existing Architecture and Infrastructure
Network Characteristics
Traffic Characteristics
Signal Grouping
Land Use
Operating Agencies
Existing Architecture and Infrastructure
3.2 What are the Limitations of the Existing System?
3.3 How Should the System Be Improved?
3.4 Statement of Objectives for the Improved System
Smooth Flow Maximize Throughput Access Equity Manage Queues Variable Objectives Maximize Isolated Intersection Efficiency
Smooth Flow
Maximize Throughput
Access Equity
Manage Queues
Variable Objectives
Maximize Isolated Intersection Efficiency
Provide a Pipeline Distribute Phase Splits Manage Queues Variable Strategies
Provide a Pipeline
Distribute Phase Splits
Variable Strategies
Traffic Responsive Complex Coordination Features
Traffic Responsive
Complex Coordination Features
4.1 Adaptive Strategies Traditional Traffic Operational Strategies Adaptive Coordination and Control Techniques 4.2 Network Characteristics Number of Signals Size of Groups Flexible Groups Separation of Groups Relationship of Groups to Other Groups or Facilities Jurisdictional Relationships 4.3 Institutional and System Boundaries Crossing Arterial Coordination Adaptive Coordination Strategies 4.4 Security 4.5 Queuing Interactions 4.6 Pedestrians 4.7 Non-Adaptive Situations Adaptively and Automatically Detect Conditions Schedule Operation Operator Override 4.8 System Responsiveness Small Shifts in Demand Large Shifts in Demand Response Time 4.9 Complex Coordination and Controller Features Multiple Phase Service Early Release of Hold Hold the Position of Uncoordinated Phases Late Phase Introduction 4.10 Monitoring and Control 4.11 Performance Reporting Performance Measurement System Operation Mobility Objectives Real-Time Logging Data Storage External Interfaces Use Historical Data To Recreate Events 4.12 Failure Notification Report Directly Report to Interfaced System 4.13 Preemption and Priority Railroad Preemption Emergency Vehicle Preemption Transit Priority Preemption / Priority frequency 4.14 Failure and Fallback Modes 4.15 Definition and Application of Constraints Infrastructure Management and Human Resources Financial Constraints Complexity People Hardware and Software Constraints Schedule
Traditional Traffic Operational Strategies Adaptive Coordination and Control Techniques
Traditional Traffic Operational Strategies
Adaptive Coordination and Control Techniques
4.2 Network Characteristics
Number of Signals Size of Groups Flexible Groups Separation of Groups Relationship of Groups to Other Groups or Facilities Jurisdictional Relationships
Number of Signals
Size of Groups
Flexible Groups
Separation of Groups
Relationship of Groups to Other Groups or Facilities
Jurisdictional Relationships
4.3 Institutional and System Boundaries
Crossing Arterial Coordination Adaptive Coordination Strategies
Crossing Arterial Coordination
Adaptive Coordination Strategies
4.4 Security
4.5 Queuing Interactions
4.6 Pedestrians
4.7 Non-Adaptive Situations
Adaptively and Automatically Detect Conditions Schedule Operation Operator Override
Adaptively and Automatically
Detect Conditions
Schedule Operation
Operator Override
4.8 System Responsiveness
Small Shifts in Demand Large Shifts in Demand Response Time
Small Shifts in Demand
Large Shifts in Demand
Response Time
4.9 Complex Coordination and Controller Features
Multiple Phase Service Early Release of Hold Hold the Position of Uncoordinated Phases Late Phase Introduction
Multiple Phase Service
Early Release of Hold
Hold the Position of Uncoordinated Phases
Late Phase Introduction
4.10 Monitoring and Control
4.11 Performance Reporting
Performance Measurement System Operation Mobility Objectives Real-Time Logging Data Storage External Interfaces Use Historical Data To Recreate Events
Performance Measurement
System Operation
Mobility Objectives
Real-Time Logging
Data Storage
External Interfaces
Use Historical Data To Recreate Events
4.12 Failure Notification
Report Directly Report to Interfaced System
Report Directly
Report to Interfaced System
4.13 Preemption and Priority
Railroad Preemption Emergency Vehicle Preemption Transit Priority Preemption / Priority frequency
Railroad Preemption
Emergency Vehicle Preemption
Transit Priority
Preemption / Priority frequency
4.14 Failure and Fallback Modes
4.15 Definition and Application of Constraints
Infrastructure Management and Human Resources Financial Constraints Complexity People Hardware and Software Constraints Schedule
Infrastructure
Management and Human Resources
Financial Constraints
Complexity
People
Hardware and Software Constraints
Schedule
Chapter 5: Envisioned Adaptive System Overview
Chapter 6: Adaptive Operational Environment
6.1 Operational environment 6.2 Physical environment
6.1 Operational environment
6.2 Physical environment
Chapter 7: Adaptive Support Environment
Chapter 8: Proposed Operational Scenarios Using an Adaptive System
8.1 How to construct a scenario
1 Scope of System or Sub-system (Chapter 1 of the System Requirements) 2 References (Chapter 2 of the System Requirements) 3 Requirements (Chapter 3 of the System Requirements) 4 Verification Methods (Chapter 4 of the System Requirements) 5 Supporting Documentation (Chapter 5 of the System Requirements) 6 Traceability Matrix (Chapter 6 of the System Requirements)
1 Scope of System or Sub-system (Chapter 1 of the System Requirements)
2 References (Chapter 2 of the System Requirements)
3 Requirements (Chapter 3 of the System Requirements)
4 Verification Methods (Chapter 4 of the System Requirements)
5 Supporting Documentation (Chapter 5 of the System Requirements)
6 Traceability Matrix (Chapter 6 of the System Requirements)
1 Purpose of Document (Chapter 1 of the Verification Plan) 2 Scope of Project (Chapter 2 of the Verification Plan) 3 Referenced Documents (Chapter 3 of the Verification Plan) 4 Conducting Verification (Chapter 4 of the Verification Plan) 5 Verification Identification (Chapter 5 of the Verification Plan)
1 Purpose of Document (Chapter 1 of the Verification Plan)
2 Scope of Project (Chapter 2 of the Verification Plan)
3 Referenced Documents (Chapter 3 of the Verification Plan)
4 Conducting Verification (Chapter 4 of the Verification Plan)
5 Verification Identification (Chapter 5 of the Verification Plan)
1 Purpose of Document (Chapter 1 of the Validation Plan) 2 Scope of Project (Chapter 2 of the Validation Plan) 3 Referenced Documents (Chapter 3 of the Validation Plan) 4 Conducting Validation (Chapter 4 of the Validation Plan) 5 Validation Identification (Chapter 5 of the Validation Plan)
1 Purpose of Document (Chapter 1 of the Validation Plan)
2 Scope of Project (Chapter 2 of the Validation Plan)
3 Referenced Documents (Chapter 3 of the Validation Plan)
4 Conducting Validation (Chapter 4 of the Validation Plan)
5 Validation Identification (Chapter 5 of the Validation Plan)
Appendix A. Document Templates
Appendix B. Concept of Operations Table of Sample Statements (MSWord Version - DOC, 100KB)
Appendix C. Concept of Operations Example Scenarios (MSWord Version - DOC, 22KB)
Appendix D. System Requirements Table of Sample Requirements (MSWord Version - DOC, 64KB)
Figure 1. Sections of this Document
Figure 2. Should You Consider Adaptive Control?
Figure 3. Overview of Systems Engineering Flow Chart for ASCT System Definition
Figure 4. Relationships between this Guide and Final Documents
Figure 5. Best Value Supported by SE Analysis
Figure 6. Low Bid Supported by SE Analysis
Figure 7. Market Research / Low Bid Approach
Figure 8. Example of Flexible Grouping
Figure 9. Sample System Block Diagram
Table 1. Categorization of Requirements
Table 2. Example Traceability Matrix
DOC files can be viewed with the Microsoft Word Viewer.
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