Roles of Transportation Management Centers in Incident Management on Managed Lanes

Chapter 3-TMC Role in the Managed Lane Environment-Preparedness

TMCs are designed to perform a variety of robust traffic and incident management activities. The extension of the TMC systems and activities to support TIM in the managed lane environment is a natural action which leverages these resources in a highly effective manner.

In some ways, the TMC role in TIM in managed lanes is the same as its TIM role on other highway facilities. Standard TMC systems and practices deployed for general transportation and incident management also apply to TIM in managed lanes. The benefit of this similarity in functions is that these TMC resources can be used for TIM in managed lanes with significantly reduced costs and effort.

However, as described elsewhere in the guidebook, the managed lane environment also presents a number of unique issues that require a TMC to address additional considerations. These include the potential need for a higher level of ITS device deployment, an increased need for enforcement, a greater number and type of partners to coordinate with, as well as different operational scenarios to plan and train for.

These systems and activities, whether standard for general traffic management or unique to managed lanes, involve technology, actions, or coordination that need to be planned, developed, and implemented in advance to enable the TMC to perform the required TIM activities when needed. Since these actions are done prior to and/or in preparation for TIM, they establish the TMC's preparedness to perform during an incident.

Figure 22. Photo. Dispatchers working inside a TMC must make special preparations to handle incidents within managed lanes.

This chapter focuses on the major elements that contribute to TMC preparedness to perform TIM tasks for managed lanes. The discussion of the various elements includes examples of state-of-the-practice and/or best practices that have been identified from a literature search and investigation of various managed lane facilities.

3.1 Technology and Communications

There is a nexus of technology and communication within a TMC, and the TMC has access to a wide variety of technologies that can support TIM on managed lanes. These include typical ITS devices such as CCTV cameras, Dynamic Message Signs (DMS), and the 511 traveler information hotline, as well as more sophisticated systems such as Computer-Aided Dispatch (CAD) and emergency communications. These technologies are often available to be leveraged for use by multiple response agencies in the managed lane environment at little or no additional cost.

Figure 23. Photo. A TMC will have many technology and communications resources, such as the ability to display travel times captured from roadway detectors on a DMS.

TMCs typically have established systems and/or protocols for effective communications with responders during incidents. This may involve simple methods such as contact information lists for other agencies, or more complex methods such as dedicated systems that allow for inter-operable communications between agencies. In addition, TMCs often have established protocols related to incident communications, dealing with both communications among responders and agency offices in addition to desired approaches for involving the media that support TIM.

The ITS utilized at TMCs incorporate both current and evolving communication technologies with the purpose of minimizing delays and improving traffic conditions for motorists. Typically, private sector contractors are responsible for installing and managing the operation of ITS components into the roadway and at the TMC. Example ITS systems include:

• Lane control signs.
• Ramp meters.
• CCTV cameras.
• DMS.
• Road Weather Information Systems (RWIS).
• Reversible Lane Systems.
• Detectors.
• Sensors.

During TIM, TMCs typically utilize technology and communications for the following actions:

• Displaying travel times and conditions using DMS (or broadcasting via 511 and media).
• Reducing or eliminating tolls when there is an incident.
• Converting managed lanes into a regular travel lane.
• Adjusting posted speed limits.

Most TMCs use commonly available technologies and strategies to monitor and operate managed lanes. However, there is a movement toward the use of more sophisticated technology and management techniques under a program called Active Traffic Management (ATM). ATM uses integrated speed harmonization, queue warning, ramp metering, lane control, and signal timing to manage traffic flow in the managed and general purpose lanes, as well as along parallel diversion routes, as an integrated corridor.

A substantial amount of data dissemination is involved with TMCs, both in terms of inputting and outputting to the ITS devices. TMCs have the communications infrastructure and computer systems to gather and analyze this data to adjust management strategies and produce performance data. Performance data is particularly critical to managed lanes because of their heightened need to keep operations at a high level of efficiency. Data are considered a very valuable resource, so robust data sharing agreements should be established among all stakeholders. As part of these agreements, technology and communication protocols should be included that facilitate information sharing. Specific examples include:

I-15 Express Lanes (San Diego, CA)
The California Highway Patrol provides enforcement services and is co-located with CalTrans at the TMC, which allows for direct coordination and communication during incidents.

I-495 Express Lanes (Fairfax County, VA)
Formal protocols and operating procedures are in place to facilitate communication between the private operators of the managed lanes and the Virginia Department of Transportation.

New Jersey Turnpike (Statewide, NJ)
At the Statewide Transportation Management Center in New Jersey, the New Jersey Turnpike Authority, New Jersey State Police, and the New Jersey DOT are co-located in the same TMC facility, which promotes much needed coordination and communication between the agencies during incidents.

3.2 Interagency Relations and Coordination

TIM is a coordinated process that involves a number of public and private sector partners. Effective TIM requires comprehensive planning that involves all potentially affected stakeholders, including federal, state, and local agencies, as well as private sector, volunteer, and contract agencies. Since TIM involves such a variety of stakeholders, there is a need for strong interagency communications, especially in cases where managed lanes and general purpose lanes have different operators. From the perspective of motorists, there is only one transportation system, so the interagency interaction that takes place within the TMC facilitates the cohesiveness of the transportation network during an incident by bringing stakeholders together.

Interagency agreements established by the TMC will facilitate this coordination, and creating operational protocols ensures that the coordination to resolve an incident occurs in a predictable and orderly fashion. As part of the interagency agreements, a designated point of contact at each agency for planning-related matters should be identified, and a communication protocol with multiple points of contact at each agency should be established for real-time operational matters. TIM committees are often formed to establish these operational protocols, perform training exercises, and establish good interagency contact that can be maintained. For example, in New York and New Jersey, TIM steering committees have been created that consist of stakeholders from various member agencies who represent incident responders and private entities that have a vested interest in TIM. The purpose of these committees is to oversee the advancement of their respective TIM programs and to allow the agency representatives to become well acquainted with each other's personnel and policies.

Since incident response involves a variety of organizations, each one should know their specific roles and responsibilities at an incident scene, especially in a managed lane environment. The following roles and responsibilities are common to all stakeholders during an incident:

• Ensure incidents are cleared safely, quickly, and efficiently minimizing traffic backups.
• Communicate with other responders.
• Create a safe working environment for responders.
• Follow established protocols.
• Follow agreed upon multidisciplinary procedures.
• Build partnerships to support multidisciplinary, on-scene response.

Table 1 provides a list of TIM partners and some sample incident roles and responsibilities.

Table 1. TIM partners, agency roles and responsibilities.

When it comes to TIM in a managed lane environment, a single agency such as a state DOT may be responsible. In other cases, individual functions may be performed by separate agencies, private companies, or partnerships among them.

TMCs are valuable assets and serve as the point of contact for coordination and communication with responders and provide a means for dissemination of information to the public and media on current traffic conditions and any restrictions there may be. TMCs perform four general functions: coordination, information dissemination, incident management, and roadway management.

Coordination with Internal and External Partners

Coordinate activities with internal groups and external operational partners. This coordination includes the managed lane operator and the operating agency for the general purpose lanes.

Information Dissemination

• Collect and provide information regarding the status of traffic and roadway conditions as well as TIM activities.

Incident Management

Use ITS and additional resources to effectively manage the incident and other affected roadways as a cohesive transportation system.

• Dispatch appropriate response agencies.
• Assist response agencies in relaying communications to other agencies.
• Provide responders with information on other ongoing incidents.
• Provide data on agency responses.

Roadway Management

Use resources to effectively manage the affected managed lane corridor, the adjacent general purpose lanes, and parallel arterials during incidents.

Privately Operated Managed Lanes

When the agency operating managed lanes is a private firm, some unique factors must be considered. A private firm has a strong financial incentive to resolve incidents as quickly as possible in order to minimize facility downtime. Therefore a private operator may be willing to utilize a significant amount of resources in order to maintain reliability, minimize revenue loss, and focus on providing high quality transportation. However a private managed lane operator may not have the same long-established relationships with incident responders as public sector agencies.

A private sector managed lane operator will generally negotiate the terms of interagency coordination and shared responsibilities during an incident with adjoining public sector transportation agencies and incident responders in advance. In this way, each party will have expectations set and mutual understanding of responsibilities and obligations. This negotiation process will typically occur prior to the opening of the managed lanes, and may involve closed door sessions to protect the proprietary information of the private operator.

Protecting proprietary information is an interest of private sector agencies. Some information may only be released by the private sector on a need-to-know basis, whereas similar information would be available through an information request to a public sector agency. The negotiation process should ensure that public response agencies have access to information needed to quickly and effectively perform TIM functions, and that all agencies will protect the confidentiality of the information.

3.3 Managed Lane Enforcement Patrols

Enforcement patrols are essential to the operation of managed lanes because they enforce occupancy requirements and toll collections for priced managed lanes as well as provide response to incidents occurring along the managed lane facility. These activities are generally performed by law enforcement personnel such as the state highway patrol, local law enforcement agencies, and/or police associated with a toll or turnpike authority. The final decision on the agency responsible for enforcement varies from region to region and may be determined by state law and/or institutional agreements. Law enforcement should be engaged in the early stages of the planning process for managed lanes. This will ensure that their needs and limitations can be accounted for early in the process, including the development of plans for real-time incident response.

Key enforcement objectives on priced managed lanes should be designed to ensure that motorists comply with occupancy, toll payment, and access/egress policies. This is the primary reason why entities involved in the operation of managed lanes should coordinate with local agencies to agree on effective enforcement strategies. During incidents, the enforcement personnel are typically the first responders to the incident scene. Having adequate enforcement and driver compliance with laws will help prevent incidents from occurring in the first place, and having dedicated enforcement resources will ensure that first responders are nearby when an incident occurs.

Due to the differences in the physical designs of managed lanes, the necessary level of enforcement may vary. But without having proper enforcement strategies in place, the integrity of managed lanes, and especially priced facilities, will be compromised significantly during an incident. Managed lanes often have increased or dedicated police enforcement details and service patrols to support reliable operations. In some cases, dispatching of these resources occurs within one TMC. TMCs typically have contracts, Memorandums of Understanding (MOUs), or agreements related to the enforcement of managed lanes. The primary purpose of these agreements is for day-to-day enforcement of the managed lanes; however these agreements often involve dedicated enforcement patrols that would act as first responders to incidents along the managed lanes. Procedures that detail the frequency of designated enforcement patrols are included in these agreements and are based on discussions with local enforcement personnel who are familiar with the managed lane and understand the needs particularly during an incident. Some examples include:

I-495 HOV Lanes (Long Island, NY)
The INFORM TMC has a specific agreement with the county police departments that defines and funds their managed lane enforcement responsibilities.

I-35W (Twin Cities Metropolitan Area, MN)
MNDOT contracts with the State Patrol to provide extra enforcement on the system during the HOT lane hours of operation.

Katy Freeway (Houston, TX)
The Harris County Toll Road Authority (HCTRA) funds dedicated enforcement patrols for the managed lanes using toll revenues.

SR 91 Express Lanes (Orange County, CA)
The California Highway Patrol is given the authority to divert general purpose traffic into the express lanes in the case of a severe incident. There are three enforcement zones along the express lanes that can be used during an incident.

Enforcement patrol staff can be a good resource for defining TIM requirements and providing ongoing coordination and support. In general, operators of managed lanes use toll revenues and enforcement fines to cover the costs of enforcement which may also support costs associated with TIM.

Figure 24. Photo. Safety service patrol vehicle.

3.4 TMC Resources

TMCs have a variety of resources available to support their transportation management roles. In many cases they can support TIM in managed lanes using existing resources. In other cases, where the managed lane is tolled, some toll revenues may be available to support the TMC. Operators of managed lanes generally use toll costs and enforcement fines to cover the costs of enforcement. TMCs that monitor these priced managed lanes have an opportunity to have the TMC funded by these toll revenues and support enhanced incident management TMC operations.

TMCs often support their own agency's efforts in recovery of funds that are used to replace infrastructure damaged in an incident. It may be possible to use these funding resources and procedures to support the same activity for managed lanes operated by other agencies. Examples include:

I-95 Express Lanes (Miami, FL)
Florida DOT funds the operation of the Express Lanes, the SunGuide TMC, and Road Ranger Service patrols through a combination of federal and state allocations supplemented by revenue generated by tolls.

I-495 HOV Lanes (Long Island, NY)
The NYS DOT provides directly or indirectly (contract) for the resources needed to operate and manage the HOV lanes, including INFORM TMC (the state TMC for Long Island) operations, ITS systems, HELP service patrols, enforcement, and HOV lane construction and maintenance. The majority of these services are funded by federal funds.

I-93 Contraflow HOV Lane (Boston, MA)
The Massachusetts DOT Highway Division provides the resources needed to operate and manage the contraflow lane including Highway Operations Center (HOC) operations, ITS systems, enforcement, and HOV lane construction and maintenance. The majority of these items are funded by federal funds.

3.5 TMC Involvement in Managed Lane Design

TMCs have the daily experience to understand the special operational needs of TIM in managed lanes. This knowledge can be brought to the table early in the process when managed lanes are being designed to ensure that the system will support the safest and most effective TIM during daily operations, as well as when the managed lane or managed lane systems need maintenance. TMC involvement is even more critically important in circumstances where the future operator of the managed lane may not have broad experience with TIM operations.

There are a number of key TIM operational considerations that the TMC can advise on during the design process.

ITS Field System Design and Integration

The TMC should advise the designer of the managed lane on how to design the traffic management system to support TIM. Issues involved may include the technology used and the placement of devices such as detectors, CCTV, DMS, and lane control signals, as well as the compatibility and integration of such with any existing ATM systems. Provisions for shared control of devices should be addressed at this time.

ITS Field System Maintenance

During the design phase it is important to address the issue of future device maintenance in the context of relative factors such as placement of devices to allow maintenance without impacting the travel lanes and choice of system components and designs that increase reliability and minimize or simplify future field maintenance tasks.

Managed Lane Control Software

Control software would typically address core functions critical to managed lanes operations such as pricing algorithms, control of access devices, and toll tag reading. The TMC should address items critical to operations during incidents such as DMS and CCTV camera control as well as incident detection algorithms and logging capabilities. The system should facilitate communications with responders as well as distribution of traveler information at both the local and corridor level.

Figure 25. Photo. Enforcement area provides enforcement and service patrol vehicles a safe refuge from traffic.

Access and Separation Treatments

Managed lane access and separation treatments, or the physical design of the facility, have a significant impact on TIM. The decision on which of these type treatments will be implemented is often driven by factors such as right-of-way and transportation system connections. However, the TMC should weigh in on the pros and cons of these options and, once an option is decided, provide input on how to design the approach to best facilitate TIM. For example, if a barrier separated system is selected, the TMC should advise that wide shoulders or enforcement areas need to be available for incident management scenes at specified intervals. In addition, access and egress points in the barrier should be provided to facilitate incident response as well as traffic diversions.

Systems Engineering Process

TMC personnel can often bring extensive knowledge of ITS Systems Engineering (SE) to the managed lane design process. In particular, including SE process elements such as the Concept of Operations, Systems Requirements, System Design, ITS Standards, Configuration Management and System

Testing in the managed lane design will be an opportunity for the TMC to firmly set the stage for effective and compatible TIM systems and operations once the managed lane is implemented. The value that the SE process brings to effective TIM operations is discussed further in Section 3.6 TMC Involvement in Operational Planning.

The SAFETEA-LU Transportation Act of 2005 required that MPOs incorporate "opera-tional and management strategies to improve the performance of existing transportation facilities" in their metropolitan transportation plans.

The following are examples of systems that incorporated effective TIM-related operational considerations in the design of managed lanes:

I-495 HOV Lanes (Long Island, NY)
The HOV lane is separated from the general purpose lane by a 4-foot painted buffer. The initial segments were designed with wide 10 to 14 foot shoulders on the left to accommodate enforcement and breakdowns. Segments constructed later had limited right-of-way so they were designed such that pavement markings create occasional pullout areas on the left side for these purposes. In addition, the center concrete median barrier was designed with occasional "slip ramp" type openings to provide enforcement with safe parking and access points.

Katy Freeway (Houston, TX)
This facility was designed with plastic "candlestick" post barriers separating the general purpose and managed lanes. The posts can be easily removed, or even driven over, when needed to facilitate access to incident locations as well as diversions to and from the managed lanes. In addition, the system design included 12 foot shoulders on each side of the posts to facilitate enforcement and incident management activities.

I-35W (Twin Cities Metropolitan Area, MN)
This managed lane was designed with an ATM system covering the entire system. The ATM includes intelligent lane control signs at half-mile spacing that provide the means to open and close lanes or implement reduced speed advisories to support incident management activities.

3.6 TMC Involvement in Operational Planning

TMC personnel are often the agency's lead for planning related to TIM programs. As such they are a key resource with respect to the manner in which TIM will be planned for and applied to managed lanes. TMCs should perform or support the incorporation of the managed lane TIM into their operational planning documents, processes, and activities and ensure that deployment is consistent with those plans.

There are a number of ITS and operational planning processes that are typically developed to direct and coordinate ITS deployment in an area. These planning processes and the key relationships for managed lane TIM include:

ITS Strategic Plans

Vision, goals and objectives for the managed lane TIM activities as well as deployment strategies, benefits and costs, funding plans and high level performance measures should be consistent with the local strategic plan.

ITS Regional Architectures (RA)

Managed lane TIM deployment should be consistent with the local RA. The RA should describe what TIM systems and services will be deployed and the information that is exchanged between them. The RA should also identify data and communications standards that apply.

Project Systems Engineer Processes

Systems that support managed lane TIM such as incident detection algorithms should be developed using the SE process described in Section 3.5.

Operations and Maintenance Plans

Operations and Maintenance Plans should be developed for, or include, the appropriate managed lane TIM systems and activities including what systems are being deployed, the system functions, how they will be operated and maintained and who will do it.

TIM Programs

Managed lane TIM personnel and activities should be incorporated into the local TIM programs. The program should include involvement of local incident management stakeholders and be a resource for establishing and coordinating a variety of TIM activities including:

• Consistent and effective TIM response policies and practices.
• TIM goals, objectives and performance measures.
• Multidisciplinary TIM training.
• Deployment of effective and compatible technologies and communications.
• Special event planning and post incident debriefings.

Performance Measures Plans and Systems

The success of managed lanes, especially priced managed lanes, is highly dependent on monitoring and managing operations to maintain a high level of performance and reliability. Accordingly, establishing a plan for the collection of data and the production of comprehensive performance measures is critical. TMCs and their systems are routinely set up to collect traffic data and produce performance measures. These systems can easily be applied to managed lanes and can be revised to support the unique needs of managed lanes such as the development and implementation of algorithms that set pricing during normal and incident conditions.

The following are examples of ways in which systems incorporated TIM into the planning for managed lanes:

I-15 Express Lanes (San Diego, CA)
This facility fully incorporated TIM issues into their ITS/Operational planning processes. The following are examples of the documents created:

• Concept of Operations for the I-15 Managed Lanes Toll System.
• I-15 Managed Lanes Operations and Traffic Incident Management Plans.
• I-15 Managed Lanes Value Pricing Project Planning Study - Traffic Operations Plan.
• Systems Requirements for the I-15 Managed Lanes Toll System.

I-495 HOV Lanes (Long Island, NY)
A task force was established early in the HOV lane design phase to engage various stakeholders, including law enforcement, local and state government, transit agencies, the business community, and AAA. TIM in the HOV lanes was one of the topics addressed by the task force.

I-495 Express Lanes (Fairfax County, VA)
The private operator of the managed lanes and VDOT were actively involved with planning for TIM and ITS system integration to ensure that effective sharing of ITS resources could occur between the two entities with different TMCs.

I-35W (Twin Cities Metropolitan Area, MN)
MNDOT designed their managed lane system to include Active Traffic Management (ATM). In addition to lane control signals, extra cameras were added as a result of a request from TMC operators to cover "blind spots". The ATM software was developed in-house as open source software, and had features added to make lane control signal deployment for incidents easier and more consistent. TMC staff also requested the addition of emergency pull-off areas in sections of the highway where the shoulder was removed.

3.7 TMC Preparedness Checklists

These checklists can be used by TMC planning staff and operators to identify preparedness actions that can be taken to support TIM in managed lanes. They will help in the understanding of which unique aspects of TMC preparedness are applicable to their managed lane facility. It can also be used by operators of managed lanes to identify gaps in their preparedness that could lead to improvements in operation if addressed.

Figure 26. TMC Planning Preparedness Checklist

Technology and Communications

Use and share technology and communications systems.

Establish protocols related to incident communications.

Develop data sharing agreements among agencies.

Interagency Relations and Coordination

Create interagency agreements established by the TMC.

Managed Lane Enforcement Patrols

Ensure enforcement levels and funding for such are adequate.

Define roles, responsibilities and protocols.

TMC Resources

Share TMC resources.

Confirm that sharing agreements are in place.

Examine and obtain funding for managed lanes.

TIM Operational Considerations are Incorporated into the Design of Managed Lanes

ITS Field System Design and Integration.

ITS Field System Maintenance.

Managed Lane Control Software.

Managed Lane Access and Separation Treatments.

Design elements of Project Systems Engineering Documents and Processes.

TIM Operational Considerations are incorporated in Operational Planning Processes and Documents related to Managed Lanes

ITS Strategic Plans.

ITS Regional Architectures.

Planning elements of Project Systems Engineering Documents and Processes.

System Operations and Maintenance Plans.

Local TIM programs.

Data Collection, Fusion, Analysis and System Performance Measures.

Figure 27. TMC Preparedness - Operator's Checklist

Technology and Communications

Know how to use various technology and communications systems in the TMC.

Know what ITS resources are located on the managed lane system, where the devices are, and the design limitations of the devices.

Understand policies and protocols for use of different communications tools and ITS devices.

Interagency Relations and Coordination

Contact information for all TIM responder agencies.

Contact information for other transportation agencies/providers along managed lane corridor.

Know TIM responsibilities/jurisdiction of each partner agency.

Participate in interagency training exercises that are offered.

Managed Lane Enforcement Patrols

Know which agency has primary enforcement jurisdiction.

Remember that enforcement patrols are a critical source of TIM information and are typically the first responders on the scene.

Understand the general level of motorist compliance with the managed lane operating rules - this may play a role in TIM strategies chosen during an incident.

TMC Resources

Understand protocols for the use of shared TMC resources.

Design of Managed Lanes

Know location of access and egress points along managed lanes.

Have protocols, maps, and response plans for each segment handy.