Arterial Management Program

Model Systems Engineering Documents for Adaptive Signal Control Technology (ASCT) Systems

August 2012

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U.S. Department of Transportation
Federal Highway Administration
FHWA-HOP-11-027

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Table of Contents

[ 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

B. OVERVIEW OF THE PROCESS

ASSEMBLING YOUR DOCUMENTS

C. THE SYSTEMS ENGINEERING 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

D. CONCEPT OF OPERATIONS GUIDANCE
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
E. SYSTEM REQUIREMENTS GUIDANCE

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)

F. VERIFICATION PLAN GUIDANCE

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)

G. VALIDATION PLAN GUIDANCE

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)

APPENDICES

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)

LIST OF FIGURES

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

LIST OF TABLES

Table 1. Categorization of Requirements

Table 2. Example Traceability Matrix

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