Designing for Transportation Management and Operations: A Primer

2. Putting It Into Action – Policies and Procedures

Designing for operations requires a change in the way transportation agencies conduct business. Mainstreaming operations considerations into the project design process requires an agency to develop specific policies and formal procedures. By doing so, agencies ensure that designing for operations will occur on a routine, consistent basis that transcends the effort of one or two individual champions. This often takes place in organizations where operations is elevated in organizational structure as well as in management priorities.

Complementing internal high-level support, transportation agencies must take a collaborative approach to designing for operations that includes personnel who facilitate roadway operations, such as transportation agency staff (e.g., maintenance operators, freeway service patrol staff), and other operators, such as TIM stakeholders and emergency response personnel.

In addition to bringing together operators and designers, an effective approach to designing for operations must also include a connection to transportation planners and the planning process. It is in the planning process where transportation goals, objectives, performance measures, and strategies, projects, or programs are identified and agreed upon by leaders in the State or region. Linking project design considerations to operations-based objectives, performance measures, and M&O strategies selected for the area's transportation plan promotes the systematic and performance-based consideration of operational strategies during project development and design.

Designing for operations also includes the development and implementation of ITS in a way that best supports the operation of the transportation system. This requires the use of the systems engineering approach, which focuses on the systematic consideration of how ITS will be used and what will be required of the system through the development of a concept of operations and system requirements early in the project development process. Section 2.5 provides more information on the systems engineering approach.

This section describe how designing for operations can be best supported through the policies and procedures of a transportation agency, including agency structure, institutional policies, planning and systems engineering, and each stage of the roadway project design process.

2.1 Institutional Policies

Agencies are beginning to embrace designing for operations by instituting policies that require designers to elicit input from operators and other stakeholders. For example, State DOT policies may stipulate that standard plans and specifications for a project must be reviewed by operations staff and approved by a team of represented stakeholders, from disciplines such as construction, design, operations, and districts. Establishing this policy at the statewide level ensures that all districts operate under uniform conditions.

It is important that these policies ensure that collaboration between designers and operators-both the users of the implemented systems as well as those responsible for maintaining the systems' intended functionality-begins before the design process actually starts. Whether it is an internal agency or outside consultant leading the design, the scope of work for the designer should be determined with management and operations in mind. Once the designer already has his task or scope, it is more difficult to incorporate operations considerations retrospectively.

Institutional policies can take the shape of establishing formal or ad hoc groups to collaborate on design and operations aspects of projects. The downside to ad hoc groups or policies is that they often lack a succession plan; if staff members responsible for the collaboration are promoted, reassigned, or retire, the benefits of the group can be lost. Formal policies that require designers to solicit input from operations staff and stakeholders more firmly establish the process and set expectations that collaboration is a requirement, not just an option.

Figure 6. Institutional policies, such as considering bus turnouts, promote operations in the design process. (Source: SAIC)

Policies that require operations performance measures to be discussed and determined as part of the design stage can also support the integration of operations considerations into design. If designers have to consider how their design will meet their agency's established performance expectations at the system or facility levels, operations is more likely to be discussed earlier in the design process.

The following are examples of institutional policies that support the designing for operations approach:

• The Metropolitan Council, the MPO for the Minneapolis/St. Paul, Minnesota region, has a policy statement identifying operations as a high priority for the region and encouraging Minnesota DOT, counties, and cities to consider lower cost congestion mitigation and safety improvements in preservation and maintenance projects.¹⁸
• Caltrans has a policy that requires the consideration of high occupancy vehicle (HOV) lanes, park-and-ride facilities, and transit facilities prior to the project approval stage for several types of projects, such as capacity additions to freeways in metropolitan areas.¹⁹ Caltrans requires the detailed design of those features at the plans, specifications, and estimate or detailed design stages. The transit facilities that are required for consideration where appropriate include bus turnouts, passenger loading areas, benches and shelters, and traffic control devices.
• The Missouri DOT has a policy for collaboration among those with different areas of expertise during project development.²⁰ Missouri DOT uses a "core team" concept that establishes regularly occurring project development meetings comprised of representatives from design, planning, construction, maintenance, traffic, right-of-way, public outreach, permits, and other relevant stakeholders. During these meetings, these representatives communicate the impact the current design direction will have on their respective discipline area, should the design be implemented as-is. The group works together to decide which strategies and design considerations are ultimately implemented and constructed. This ensures that the operations staff has a voice at the table.
• Massachusetts DOT's (MassDOT) youMove Massachusetts is a transportation planning initiative under which workshops where held in 2009 throughout the state to gather over 700 public comments on mobility gaps. From these comments, MassDOT formulated themes and began identifying solutions to mobility challenges. One of the themes developed was directly related to designing for operations: "Theme 3: Design Transportation Systems Better Transportation facilities and operations should be better informed by real-world conditions faced by system users." YouMove Massachusetts resulted in MassDOT adopting seven major components to their business practices, including "Transportation Reform," defined as: "Emphasis on our customers, innovation, accountability, performance management, efficiency, stewardship and stronger collaboration across transportation divisions."²¹

2.2 Agency Structure

In order to have a fully integrated view of operations, agencies are moving beyond a narrow construction and project viewpoint to one in which all of the customers' mobility needs are fully considered. A successful organizational approach to management and operations requires not just recognizing operations, but ensuring that operational strategies are formally considered during project development and infrastructure design. Key areas of an agency's structure that will contribute to an integrated program include agency culture and agency organization and staffing.

Illinois State Toll Highway Authority Toll facility operators are traditionally customer-focused and uniquely concerned with operational needs during the design stages for successful tolling operations. The Illinois Tollway is organized around that philosophy. Its division of maintenance and traffic reports to the Chief Engineer, as does its design group. This helps to institutionalize more effective communications among operators and designers early in the design phase. This approach was further solidified when the engineering department became ISO-certified and the maintenance and traffic division became the “customer” of the engineering, design, and construction groups, ensuring operational input and approval by maintenance as part of the planning, design, and construction processes. Source: John L. Benda, General Manager of Maintenance & Traffic, Illinois Tollway.

 

2.2.1 Culture and Leadership

Designing for operations requires a champion to voice the importance of operations within an agency. Key leadership must emphasize the importance of operations to the agency's customers. As State DOTs and other transportation agencies embrace their transition from the traditional functions of designing, constructing, and maintaining infrastructure to providing equal consideration of existing infrastructure, they will develop a closer relationship with the users of these systems. A customer-driven approach will further move the culture of the agency toward an operations focus. This shift in agency culture can provide an environment for designing for operations strategies to flourish.

2.2.2 Organization and Staffing

Agencies that are seeking to incorporate the practice of designing for operations into everyday activities will benefit from operations champions among top-level senior staff. Including operations into a formalized institutional structure will provide support to programs and projects in which operations is a core mission. In addition, raising the level of operations expertise through experience and staff training, including top agency management, will further elevate the operations functions within an organization.

A number of agencies have elevated operations within their organizations, which has provided better visibility for operations initiatives. For agencies interested in placing a greater emphasis on operations, a standalone operations division should be considered. Several agencies, including Virginia DOT and Minnesota DOT, have created dedicated operations divisions that are on the same organizational level as engineering/design within the organizational structure. Both of these agencies are at the forefront of incorporating operations into business practices, including design. The Florida DOT offers an alternative model by creating a TSM&O program that is integrated across the DOT's departments.

Several agencies combine operations with maintenance into a single division. While this provides an improved opportunity for collaboration, it may not provide top management with the highest level of visibility into the operations function.

Figure 7. Virginia DOT organizational chart showing prominent operations division.22

2.3 Linking Planning and Designing for Operations

An effective approach to mainstreaming the practice of designing for operations stems from a strong connection to planning at the State and metropolitan levels. The systematic inclusion of operations in transportation planning at the State and metropolitan levels provides a foundation for considering operations in project design. During the integration of operations into planning, known as "planning for operations," regional or statewide objectives and performance measures for the operation of the transportation system are established. In overview, these operations objectives and performance measures provide designers and operators direction and a specific purpose when considering how to incorporate operations into the design of a transportation facility.

Planning for operations is a topic of ongoing outreach and education by the FHWA. Planning for operations is defined as a joint effort between planners and operators to integrate management and operations strategies into the planning process for the purpose of improving regional transportation system efficiency, reliability, and options.

During the transportation planning process, guidance is collaboratively established for achieving desired outcomes for the region or State's transportation system in terms of visions, goals, objectives, and performance targets. Current and future issues and needs related to transportation are identified through public outreach, data collection, and modeling. Potential and preferred transportation solutions are developed and included in a long-range plan. The statewide plan is frequently more policy-oriented (rather than specifying a set of programs or projects), whereas in the case of metropolitan planning, a cost-feasible plan is developed. Based on this plan, projects are selected and prioritized for funding in the transportation improvement program (TIP) or statewide transportation improvement program (STIP).

By using a systematic approach to planning for operations, States and metropolitan regions can ensure that operations is taken into account in each of the phases of transportation planning that are described in the previous paragraph. The systematic approach to planning for operations recommended by the FHWA is driven by specific, outcome-oriented objectives for the operational performance of the transportation system and is based on performance measures. By linking an objectives-driven, performance-based approach to planning for operations to the project design process, infrastructure design can better reflect the needs, priorities, and performance targets developed through a collaborative process with operators, planners, and other stakeholders and agreed to by transportation decision-makers. This means that highways, bridges, arterials, and rails are built to better meet the needs of the traveling public and businesses and are focused on delivering cost-effective performance.

The diagram in Figure 8 illustrates the objectives-driven, performance-based approach to planning for operations and the important role of operations objectives. In the approach, M&O strategies are identified, evaluated, and selected based on operations objectives (where do we want to go?) and operations needs (where and why are we falling short?). Once selected, these strategies may be standalone projects carried out on existing infrastructure, or they may be incorporated into infrastructure expansion or reconstruction projects. Operations objectives, needs, and strategies identified and selected in the planning process can be inputs to the scoping and preliminary studies performed as a first step in project design.

Figure 8. The objectives-driven, performance-based approach to planning for operations.

In addition to using the operations objectives, performance measures, and strategies from the transportation planning process, it is necessary for the regional ITS architecture to be part of including operations in the design process. A regional ITS architecture is a framework for institutional agreement and technical integration in a particular region. The architecture defines the links between the pieces of the ITS system and the data that is exchanged between systems. The U.S. DOT recently released a primer on opportunities to use the regional ITS architecture in planning for operations.²³

It is necessary to examine the regional ITS architecture when developing the project scope in order to identify which ITS services exist or are planned for the region and how the technological component of the operations strategies considered for inclusion in the project can integrate with and benefit from those ITS deployments. This will help minimize the risk of disconnects in transportation services and will result in a project scope that considers the context of all other systems in the region. In addition to the benefits of using the regional ITS architecture in designing for operations, Federal regulation for Intelligent Transportation System Architecture and Standards Section 940 stipulates that all projects that fund the acquisition of technologies to provide an ITS user service (similar if not identical to operations strategy) with the highway trust fund shall conform to the National ITS Architecture and standards. The "final design of ITS projects funded with highway trust funds shall accommodate the interface requirements and information exchanges as specified in the regional ITS architecture."²⁴ Otherwise, the regional ITS architecture must be updated.

Other plans within a region or State should be reviewed during the project development process as well because they may contain operations strategies and other information critical to accounting for operational needs. These plans may include ITS strategic plans, regional concepts for transportation operations, freight plans, and safety plans.

2.4 Project Development Process

By embracing the designing for operations approach to project delivery, enhancements to how operations are considered in the design process can be implemented throughout the various stages of design. The typical project design process includes scoping and financing, preliminary design, and final design stages, as shown in Figure 9. Each stage provides the opportunity to enhance the end product as it relates to operability and ease of maintenance of the constructed facility.

Figure 9. Generic steps in the project development process.

Successfully promoting operational needs and objectives throughout the project development process requires that design practitioners consider other perspectives in the context of the project development process, such as the perspectives of those who will ultimately be responsible for mobility, safety, and future constructability of the roadway. One way to achieve this is to encourage designers, maintenance staff, safety professionals, emergency responders, and traffic management center (TMC) operators to foster an understanding of their respective needs and priorities pertaining to roadway operability. Many agencies have an engineer-in-training rotation program where young engineers are exposed to a variety of divisions within an organization, providing an opportunity to view a project from multiple vantage points. This experience allows a new generation of the workforce to gain insight into and understanding of how design and operations fit together.

There are many coordinated project activities during the design phase, including environmental documentation, right-of-way acquisition, utility conflict assessment, structure and roadway geometric design, specification development, final plan development, cost estimating, and project reviews. Soliciting and incorporating feedback from those familiar with operational concepts in the design and review processes may equip designers with an understanding of the needs for and benefits of management and operations on a typical project and when and where to incorporate the strategies.

2.4.1 Scoping & Financing Stage

During scoping and financing, practitioners will define project limits, establish a budget, and determine the project's schedule for subsequent design and construction phases. The project's fundamental purpose will also be identified, such as providing improvements to mobility for a corridor or subarea, addressing infrastructure repair or rehabilitation based on input from asset management data, enabling expansion of modal choice (e.g., bus, bicycle), or improvements to address a public safety concern.²⁵

The opportunity to include operational considerations is greatest during the initial stages of a project. Agency operations and maintenance personnel and other partners (e.g., commercial vehicle operators, those tasked with emergency and incident response) may provide input on the scoping of a project. This stage presents a prime opportunity for practitioners to examine the need for additional ITS elements along a corridor. Project scoping staff can engage and collaborate with operations stakeholders by forming a design/operations/ITS committee that identifies specific ITS infrastructure needs along a corridor that will serve long-term mobility and safety goals. For example, during this stage emergency responders could provide input on the inclusion of staging areas or transit operators could give recommendations on bus rapid transit benefits and current and future infrastructure needs. Outside stakeholders can be engaged individually or through regional transportation operations working groups.

The project delivery method is also a consideration during the scoping and financing stage. With the proliferation of design-build and other fast-paced alternative delivery methods, collaboration with operational partners and incorporation of their considerations may be overlooked due to the involvement of many public and private entities.

2.4.2 Preliminary Design Stage

Preliminary design is the stage in which general project location and design concepts are determined and design element alternatives are considered. Preliminary design can include a wide range of preliminary engineering and other activities and analyses, including the National Environmental Policy Act (NEPA) process, geotechnical investigations, utility engineering, traffic studies, revenue estimates, financial plans, and others.²⁶

In the very first stages of preliminary design, practitioners and the public will collaborate to determine the potential environmental impact a project may have. As a part of the NEPA process, practitioners must examine and avoid potential impacts to the social and natural environment when considering approval of proposed transportation projects. In addition to evaluating the potential environmental effects, agencies must also take into account the transportation needs of the public in reaching a decision that is in the best overall public interest. In the project development process, the NEPA process is an approach to balanced transportation decision-making that takes into account the potential impacts on the human and natural environment and the public's need for safe and efficient transportation.²⁷

During the preliminary design stage, tangible operational considerations can be incorporated into the design documents. This stage presents a critical opportunity to solicit input from stakeholders-such as operations and maintenance personnel, emergency responders, and other end users of the facility-related to mobility and safety goals. Early in the preliminary design stage, when an array of project alternatives is still being examined, there is an opportunity to consider lower cost, operations-oriented improvements as alternatives to traditional infrastructure projects.

During this stage, agencies should review their ITS architecture and operations strategic plans to determine the feasibility of including elements from those plans as a part of the project contract. This leads to increased collaboration and communication between designers and operations staff as the group's interpretations of the ITS plans develop into finite design elements. It is also critical to collaborate with local county and city agencies, transit operators, and motor carriers to ensure that each stakeholder's long-term goals reasonably align with the roadway design. This type of collaboration and input can also pave the way for cost-share projects between agencies.

2.4.3 Final Design Stage

The final design stage is denoted by the preparation of construction plans and detailed specifications for construction work to be performed. During this stage, final plans will be developed that include traffic control and construction staging plans, exact quantities of known construction elements, an estimate of construction costs, and geographical coordinates for construction improvements.

While a project design has matured and developed by this stage, adjustments to the design to accommodate operations may still be considered. For example, local transportation and emergency response agencies may help to define the need for and location of temporary pull-offs for stalled vehicles within a freeway work zone where shoulders are not present.

The design process and operations do not move at the same speed. Some projects take years to move from preliminary design to final design to construction, while the technology used for operations changes on a continuous basis. Final design provides the opportunity to revisit operational considerations. For example, there may be a need to update a technical specification for a specific technology.

2.4.4 Examples of Designing for Operations in Project Development

Agencies that define the role of and promote input from fields of expertise outside of the typical project development process can see a variety of benefits in the short and long term. These benefits range from cost savings, reduced construction duration, collaboration across projects and areas of expertise, increased safety of roadway users and workers, and reduced litigation claims.

By including agency staff with varied backgrounds in the project development process, a cradle-to-grave project perspective may be impressed upon all who participate. Considerations borne from discussions and collaboration among the project team may result in a true understanding of the interdependence among seemingly separate elements of a project, resulting in the same or similar considerations being applied on future projects.

California Department of Transportation

Caltrans' Project Development Procedures Manual²⁸ recommends participation and input from various fields of expertise on each project development team during the planning, design, and construction phases. Operations are represented by both traffic and maintenance staff.

Traffic Operations. A representative from the District traffic unit serves on the project development team to provide input on traffic-related issues. During project planning, the traffic unit provides capacity studies and operational analyses and develops safety and delay indices. Traffic representatives determine whether the project alternatives will function adequately if constructed. Questions to be answered by the traffic unit during planning include the following:

• Is there sufficient room for hardware such as sign structures, electrical facilities?
• Should traffic signals, storage, and striping be considered?
• Is a transportation management plan needed?
• Have the results of the field safety review been incorporated when appropriate?

During the design phase, the traffic unit is requested to review the geometric layouts to ensure that elements such as signing requirements, stage construction, intersection operation, end of freeway plans, and temporary connection plans are adequate for the safety of the motorists and construction and maintenance workers. The traffic unit is provided with skeleton layouts and requested to prepare the traffic-related portions of the project plans. This normally consists of the following elements:

• Traffic signing and striping plans;
• Lane closures and lane requirement charts;
• Traffic electrical plans including location of current transportation management system elements and stage construction;
• Traffic contract items and quantities;
• Signing and striping for traffic handling plans;
• Transportation management plans (TMP); and
• Special considerations unique to the project such as railroad signing.

At Caltrans, the District traffic unit's involvement in project development does not end with the award of a construction project. At various times throughout the construction project, the unit is expected to review closure schedule change requests, proposed traffic control measures, and signing and safety elements to ensure that public safety and convenience are considered. Stage construction, detours, and temporary connections may require modification to the TMPs, and changes are made in cooperation with the District TMP coordinator. The traffic unit is consulted prior to making changes in the TMP.

Designing for Ease of Maintenance. A Caltrans District maintenance representative serves on the project development team to ensure that maintenance issues and safety design are considered. Preferably, the representative will be the field person most familiar with the project site.

During project planning, maintenance involvement includes reviewing and commenting on features such as the following:

• Drainage patterns (e.g., known areas of flooding, debris);
• Stability of slopes and roadbed (i.e., can the project be built and maintained economically?);
• Possible material sites;
• Concerns of the local residents;
• Potential erosion problems;
• Facilities within the right-of-way that would affect alternative designs;
• Wildlife considerations (e.g., problems such as deer crossings, endangered species);
• Traffic operational problems (e.g., unreported accidents); and
• Safety of maintaining the facility.

In the design phase, the maintenance unit also reviews the proposed geometric layouts, typical sections, and final plans. Maintenance may have input on design details like shoulder backing materials, drainage, erosion control, access to buildings, access for landscape facilities, access to encroachments for utility facilities, and access for maintenance of noise barriers and fences. Maintenance staff also participates in the preparation of maintenance agreements (setting maintenance control limits).

The maintenance unit field representatives have unique insights into local problems and maintenance and safety concerns, bringing perspectives that can be utilized in the project development process. As the last link in the process, the maintenance unit can help minimize future maintenance problems and potential lawsuits.

Woodrow Wilson Bridge²⁹

The Woodrow Wilson Bridge Project in Washington, D.C. was undertaken to replace an aging bridge structure and improve traffic flow on the I-95 corridor by doubling the number of lanes over the Potomac River. The project was one of the largest public works projects in the mid-Atlantic region and was sponsored by four cooperating agencies: FHWA, Virginia DOT, Maryland State Highway Administration (SHA), and District DOT (DDOT).

The design and construction phases of this large project were enhanced by the formation of an operations team, which included DOTs and external partners. The team met once per month to review key design submissions for integration into the project's TMP, which helped forge relationships that ultimately improved operations. Operational elements that were incorporated into the project as a result of the team meetings included standardized incident and emergency management features such as standpipes, hazardous materials (HAZMAT) sheds, and staging areas for service patrol vehicles.

2.5 Systems Engineering

Systems engineering is an organized approach to developing and implementing a system. The approach can be applied to any system development, including an operations strategy on a roadway network. Whether deploying a few closed-circuit television (CCTV) cameras, upgrading your traffic signal system, or implementing active traffic management on a corridor, systems engineering can be used.³⁰ It is crucial to use the systems engineering approach in designing ITS infrastructure so that the technology effectively supports the management and operation of the transportation system. A systems engineering analysis is required for all ITS projects using Federal funds per Title 23 CFR 940.11.³¹ The systems engineering approach helps to ensure that the system or operations strategy is responsive to the needs of all stakeholders, such as the traveling public, transit operators, businesses, incident responders, TMC operators, and others. The approach provides a systematic method for ITS and operations project developers to design their systems to achieve the desired operations objectives.

The International Council on Systems Engineering (INCOSE) defines systems engineering as follows:

Systems Engineering is an interdisciplinary approach and means to enable the realization of successful systems. It focuses on defining customer needs and required functionality early in the development cycle, documenting requirements, then proceeding with design synthesis and system validation while considering the complete problem.³²

Prior to the design of a roadway project, operations and ITS staff should consider using the systems engineering process to systematically define how the roadway should be operated to achieve the region's operations objectives. This includes consulting the regional ITS architecture, identifying operations needs, and building a concept of operations for managing and operating the roadway if one does not already exist. This will be important input for operations considerations during the scoping and preliminary design stages of the roadway project. As illustrated in Figure 10, the traditional project development process (i.e., design-bid-build as opposed to design-build or other approach) parallels the systems engineering process, represented with the winged "V" (or "Vee") model. Designers can use the outputs of the early steps in the systems engineering process to guide the inclusion of operations considerations into design.

Following the "V" process from left to right, the left wing shows the regional ITS architecture, feasibility studies, and concept exploration that support initial identification and scoping of an ITS or operations project. As one moves down the left side of the "V," system definition progresses from a general user view of the system to a detailed specification of the system design. A series of documented baselines are established, including a concept of operations that defines the user needs, a set of system requirements, and high-level and detailed design. The hardware and software are procured or built at the bottom of the "V," and the components of the system are integrated and verified on the right side. Ultimately, the completed system is validated to measure how well it meets the user's needs. The right wing includes the operations and maintenance, changes and upgrades, and ultimate retirement of the system.³³

Figure 10. The systems engineering "V" model and traditional project development process.

2.6 Design Standards and Checklists

2.6.1 One Stop Manual for Engineering and Other Technical Information

Bundling engineering and technical information into one document can reduce barriers to incorporating operations into design. Designers are able to access basic information on operations policies, strategies, and treatments related to items such as access management standards, preventive maintenance policies, weather-related treatments and action plans, TIM, and operational policies and performance measures for the use and reliability of ITS elements.

Washington State DOT has developed an operations design matrix used to evaluate the impact of operational elements. As a result, there are facilitated discussions regarding types of operational elements to be included in a project.

In addition, having a "one-stop" document or manual prevents the common error of creating duplicative policies with differing outcomes, performance expectations, and operational objectives. The document will provide the same interpretation of external resources used to develop agency policies, and the policies within it can be updated as new research, practices, and innovations become widely accepted. Lastly, the document will provide common language and terminology to be used throughout an agency's divisions, offices, or districts.

Figure 11. The use of checklists can help ensure the CCTV cameras and other ITS equipment effectively support operations. (Source: Florida Department of Transportation)

Integrating operations into design could be supported by checklists for standalone operations projects and to encourage the incorporation of operational strategies into larger projects. Pennsylvania DOT has developed design checklists for a number of ITS elements for both standalone projects and components of a larger project (see Figure 12). The checklists are part of the Pennsylvania DOT Intelligent Transportation Design Guide and address the design of CCTVs, dynamic message signs, highway advisory radio, vehicle detectors, ramp meters, and travel time systems. The checklists ensure that a thorough list of location, safety, power, communications, maintenance, usability, and other factors or requirements have been considered in the design of the ITS element. The checklists help to ensure an effective, consistent, and cost-efficient application of ITS as well as a design that is consistent with operations needs and the regional ITS architecture(s).

Figure 12. Pages from Pennsylvania DOT publication 646, Intelligent Transportation Systems Design Guide, showing CCTV design checklist.

2.6.2 Operational Review and Sign-off of Standard Plans and Specifications

Establishing a review process in which design, maintenance, operations, and construction staff provide input and comments on the design ensures that operational impacts will be accounted for in the development of standard plans and commonly used specifications. The table below highlights the key project development phases for traditional design projects and notes the key documents that should be reviewed as part of an "Operational Review Process." Documented needs that are not addressed should require some type of approval or sign-off by leadership that clearly explains why the operations strategy is not being included. This sign off could be similar to a "design exception."

The table below demonstrates how two different types of reviews can be applied to the traditional project development process to ensure operations considerations are being considered throughout the design process. Traceability reviews consider how a specific project is addressing high?level goals and strategies developed as part of a high?level plan or policy document such as a regional operations strategic plan or a long range transportation plan. These high-level documents may make overarching statements like "incorporate advanced technologies on new projects to improve traveler information." The traceability review would serve as the checkpoint to ensure that these high?level statements are being considered for specific projects.

The operational reviews are specific to a particular project. The recommendation is that for projects of significance, the project team would develop a technical memorandum that identifies specific operations strategies. The definition of "significance" can be established by each individual agency.

Table 1. Example reviews for project development to ensure consideration of operations.

Project Development Phase	Traceability Reviews	Operational Reviews
Project Scoping	Mobility plans. TIM strategic plans. Long range transportation plans and associated operations objectives, performance measures, and M&O strategies. Regional operations plans and/or regional ITS architectures. Congestion management plans. Existing corridor operations plans.	Develop project-specific operational strategies memorandum. Obtain concurrence by operational review team. Approval and sign-off by agency leadership.
Preliminary Engineering and Environmental Documentation	Review operational strategies memorandum created during scoping phase.	Concurrence by operational review team. Approval and sign-off by agency leadership.
Final Design	Verify "needs" documents identified above have been addressed. Review project plans, specifications and system engineering documents.	Concurrence by operational review team. Approval and sign-off by agency leadership.

2.6.3 Operations Audits and Review Team

As stated previously, communication among planners, designers, and operations professionals is of key crucial importance to the successful integration of operations into design. The utilization of operational reviews and audits during design can help ensure that operational strategies are being considered and that the project ultimately meets the operational objectives identified during planning.

A successful model of this concept already exists. Some States have incorporated safety reviews during key project milestones. The inclusion of operations would be similar and would include the input of planners, designers, and operations professionals during project scoping, preliminary engineering, and final design. The operational review team should be an independent team if possible to ensure a review is conducted objectively.

The Strategic Highway Research Program 2 (SHRP 2) is currently concluding a 4-year project on the "Evaluation of the Costs and Effectiveness of Highway Design Features to Improve Travel Time Reliability." The results of this effort (SHRP 2-L07) are expected to greatly improve the capability of a transportation agency to design for operations. The project will produce a guidebook and analysis tool that will help predict the operational and safety benefits of a range of design treatments. The guidebook is anticipated to include descriptions and examples of highway design treatments that reduce non-recurring congestion, quantitative and qualitative safety and operational benefits of the treatments, and assistance on how to evaluate and select design treatments.