Office of Operations
21st Century Operations Using 21st Century Technologies

Mainstreaming Integrated Corridor Management: An Executive Level Primer

Chapter 4. Mainstreaming ICM

This chapter provides an overview of what mainstreaming Integrated Corridor Management (ICM) means, why mainstreaming ICM is important, and examples of mainstreaming efforts across the U.S. The chapter provides information on how to integrate ICM into the overall transportation business processes, including planning, programming, project development, and operations and maintenance activities. Additionally, special considerations for decision support systems within the context of ICM mainstreaming are offered.

What is Mainstreaming ICM?

As noted in Chapter 2 of this Primer, ICM is more than just a tool in addressing congestion and incident management. ICM attempts to help manage and control congestion on freeways and arterials by utilizing multimodal communication between transportation organizations and resulting in positive benefits and outcomes. For this primer, we define mainstreaming ICM as promoting the incorporation of ICM goals, strategies, and concepts into the everyday, routine processes and practices of multi-agency planning, programming, developing and implementing projects, and operations and maintenance of the transportation system.

Mainstreaming ICM goes beyond using ICM as a separate, standalone, congestion management strategy. Mainstreamed ICM incorporates ICM strategies and practices into department or agency operations, institutional frameworks, and processes. Successful ICM within a region requires strong interagency and department commitment and involvement at all levels. Without an effort to mainstream ICM into today's transportation planning and system development practices, it will always remain a separate initiative within a region, not fully understood or supported, and underfunded. In addition, these separate ICM initiatives will likely lose momentum as staff changes occur and lack the necessary institutional and executive level support to fully realize the potential benefits.

Why is Mainstreaming ICM Important?

The time to consider ICM is now and understanding how to mainstream ICM will be the key to its overall success. We simply cannot afford to work in isolation when it comes to transportation operations - agencies must come together to address regional and corridor- specific transportation problems. New technologies provide opportunities to further integrate, communicate and collaborate across transportation modes and regions. Whereas previously, highways, surface streets, arterials, transit, and other modes of transportation were disjoint, the transportation system of today is evermore connected and interdependent, both physically and technologically. Today's traveler expects up-to-date traveler information so that they can make informed decisions on the mode of transportation used, route options, and travel times. The same can be said for transportation officials, who, by having up-to-date information, can adequately identify incidents or congestion, collaborate on incident response plans, and execute them accordingly. ICM, when fully integrated and implemented, can provide this information and assist in better informed decision-making processes and mitigation plans.

Mainstreaming ICM doesn't happen immediately. The ICM deployment planning grantees identified both successes and challenges that will impact and potentially delay the mainstreaming effort. Building from the best practices and lessons learned documented by United States Department of Transportation (USDOT) and partners, localities can use these experiences to tailor their own ICM for their specific transportation needs. ICM can be considered mainstreamed once it is considered and used as a part of a standardized process, where agencies routinely assess and use ICM strategies in combination with other improvements/alternatives to meet their corridor or region's transportation needs. The same can be said from a project funding perspective. Once localities begin to utilize local/State funds possibly in combination with federal matching funds for ICM, ICM implementation can be considered mainstreamed.

How Do You Mainstream ICM into Your Transportation Business Processes?

Transportation planning plays an important role in the development of both long-range and short-range transportation plans and is an input into an agency's strategic plan for future programs and projects. ICM represents the integration of multiple agencies and technologies to meet the ever-changing needs of transportation professionals and the cities they serve. This section discusses the importance of integrating ICM into the overall transportation planning and project development processes at a high-level.

Best Practices for Integrating ICM across Agencies

For Mainstreaming ICM to occur, it must be integrated both institutionally and culturally. Though this process may be different depending on the transportation agency organizational structure, the benefits would be similar. Below are best practices for integrating ICM across transportation agencies, adapted from the Federal Highway Administration (FHWA) Office of Operations, Planning for Transportation Systems Management and Operations Within Corridors: A Desk Reference.5

  • Build on an existing collaborative group. Transportation agencies tend to have multiple operations groups or committees that handle multiple topics, such as Intelligent Transportation Systems (ITS) Architecture, emerging transportation technologies, Transportation Systems Management and Operations (TSMO), or a Metropolitan Planning Organization (MPO) committee system operations working group. Though these groups may seem disjoint, they all serve the same purpose, to improve transportation operations in their region. ICM would be best served by integrating with them, providing transportation professionals and stakeholders with an important medium to conduct planning in a proactive manner and enhance coordination and communication.
  • Ensure that there is at least one committed champion. In locations where ICM has been the most successful, there was at least one "champion." This person, or persons understands the benefits of ICM, has a clear program vision, encourages engagement, and is committed to its implementation. They work from within their own organization and collaborate with others to ensure that ICM becomes a standardized and mainstreamed practice. Though important initially, the lead agency and champion's role changes over time. Through effective mainstreaming efforts, multiagency buy-in increases, and personnel from multiple agencies will be proponents of the ICM initiatives in the region and reduce the dependence of ICM on individual champions.
  • Establish lead coordinator. The lead coordinator serves as the daily manager of operations, overseeing and inspecting the status of the ICM deployment and response plans. Additionally, this person is the main point of contact for questions regarding the ICM System operations. In some cases, the Lead Coordinator is an employee of the Lead Agency/Champion.
  • Organize and train staff. By mainstreaming ICM, agencies have begun to recognize the importance of ICM and is becoming an ever-more important part of the Transportation Management Center (TMC) operator's responsibilities. Generally, agencies that have implemented ICM, follow two models: ICM responsibilities are added to current staff's job roles and responsibilities, or in some cases, a full-time equivalent employee was added and served as the ICM coordinator. Training TMC operators and maintenance personnel on ICM and day-to-day operations is also an important part of staffing. Specifically, training is needed on how to select, monitor and adjust response plans (playbooks), all of which can be dynamically determined or presented as option to choose from.
  • Achieve multiagency support. ICM requires the coordination of multiple agencies to be effective. Without multiagency support and buy-in, ICM cannot succeed. Coordination and clear communication among participating agencies are key parts of ICM and are needed to achieve the desired outcomes.
  • Gather support from elected or appointed officials and agency leadership. Identifying an executive-level ICM advocate, whether elected or appointed, early-on is key for the program to receive adequate resources from both funding and staffing perspectives. It will also assist with garnering participation from peer agencies and stakeholders.
  • Engage participants. It is important to identify and engage the array of operating agencies and stakeholders that will play a role and be critical to the operations within the corridor. Typically, this includes local transportation agencies, a State department of transportation (DOT), transit agencies, and representatives of local governments and community groups. Law enforcement, emergency responders, and major employers in a corridor also may be important participants. If some participants, such as emergency management agencies, are unable to attend project committee meetings, better success may be realized by taking the project to other established forums or meetings held by those stakeholders.

Incorporating ICM Into Transportation Planning Processes

Transportation planning and programming shape the way agencies handle congestion, plan infrastructure and technological investments, and their corresponding staffing and resources. Integrated ICM from both planning and programming perspectives bring increased value to these processes by increasing coordination and collaboration. ICM will be considered mainstreamed once it is considered standard operating procedure, fully integrated into agencies' transportation plans and considered a tool in congestion management. The list below provides considerations for integrating ICM into the planning phase.

  • Adopt ICM-centric transportation goals. ICM strategies can improve mobility by reducing congestion and improving trip reliability during events, reduce incident response times, etc. By using regional goals that are consistent with ICM impacts, stakeholders can increase the likelihood that ICM projects will be planned and funded.
  • Use FHWA Resources. ICM Strategies are primarily operations-oriented. Considered using information from FHWA's Organizing and Planning for Operations Program.
  • Use Analysis, Modeling, and Simulation (AMS) tools to evaluate ICM. AMS tools can be helpful in selecting and designing the specific ICM strategies that you wish to implement. In addition, by tailoring the AMS tools to model your specific corridor situation, agencies can get an idea of the operational impacts of the ICMS. The topic of AMS received much attention under the Pioneer site process and guidance on AMS for ICM is available from the traffic analysis tools program. (See Chapter 6 for more information.)
  • Incorporate ICM Strategies into TSMO Plans. Multiple areas across the U.S. are in the process of developing plans to address regional TSMO needs, such as TSMO Plans, ITS strategic plans, Long-Range Transportation Plans etc. In doing so, ICM is funded using primarily State and local resources (often with federal-aid program matching funds). ICM strategies should be considered and incorporated into these plans as appropriate. Since these plans tend to receive funding and are implemented, this increases the probability of ICM implementation.
  • Integrate ICM into Planning Meetings. Initially, a region's ICM planning efforts might be handled through separate meetings to get momentum going for implementing ICM to help address transportation problems in a particular corridor. Ultimately, ICM planning efforts needs to be integrated in the TSMO plans for the region and shouldn't be limited to separate meetings.
  • Consider ICM Strategies in planning studies and alternatives analyses. ICM strategies should be considered along with other traditional transportation and other TSMO strategies.
  • Make ICM part of standard regional processes. This would increase the probability to ICM becoming a multi-corridor and regional solution to congestion and incident management, further mainstreaming the practice.

Incorporating ICM Into Transportation Programming Processes

Incorporating ICM into an agency's transportation programming is key to the project's success. Doing so further integrates ICM from budgetary and business process perspectives. The list below provides considerations for integrating ICM into programming and funding allocation decisions (developing the transportation improvement program (TIP), prioritizing projects, or equivalent).

  • Include ICM in Transportation Improvement Programs (TIP). For ICM to receive adequate funding and resources, related projects need to be included in the TIP, just as other projects are required to do so.
  • Ensure that project selection procedures consider the impacts of ICM. The project prioritization process needs to be sensitive to their impacts on reliability and mobility. By not doing so, ICM deployment will not progress, and corridor reliability could falter, resulting in increased traffic variability.
  • Utilize federal funding opportunities for ICM projects. Current federal funding mechanisms can be applied to ICM projects including: Surface Transportation Program (STP), Congestion Mitigation and Air Quality Improvement Program (CMAQ), and the Advanced Transportation and Congestion Management Technologies Deployment Program (ATCMTD). ICM projects can generally use funding sources used to implement ITS and TSMO projects. Additional information regarding funding programs can be found in Chapter 5 of this primer.

Incorporating ICM Into Project Development Processes

Once ICM is incorporated into transportation planning and programming, it must be included in the project development phase. ICM project best practices are similar other ITS project best practices but tend to include additional stakeholders and modes of transportation.

  • Plan for incremental deployment of your ICMS. Given the reality of funding limitations and overall capabilities needed to implement your planned Integrated Corridor Management Systems (ICMS), incremental deployment of your ICMS is recommended. You should plan to deploy a sequence of projects that gradually builds the capabilities you envision for your ICMS. In addition, you should implement ICM capabilities first on your highest priority, most congested and unreliable corridors prior to moving to less congested corridors. Note that an additional primer is available on the topic of incremental deployment (Build Smart, Build Steady). See Chapter 6 for more information on resources.
  • Use the system engineering process. Like other ITS projects, ICM has the best outcome when systems engineering is used. Ultimately, if the project is using federal funds, its use is obligatory. Overall, System Engineering reduces the risk of schedule and cost overruns while increasing the chance that the end user's needs will be met.
  • Use and update your regional ITS architecture. By referring to the applicable regional ITS architecture, you may find additional opportunities for integration that hadn't been considered. Also, the functionality and data sharing associated with your ICM project should be reflected in updates to the regional ITS architecture as part of the regional ITS architecture maintenance activity.
  • Recognize that ICM projects are like other ITS projects. An ICMS is essentially a system of systems and represents advanced ITS. ICM includes traditional transportation technologies, such as variable message signs or ramp metering, but also addresses multimodal components, simultaneous implementation of multiple strategies, and an increased number of stakeholders.

Incorporating ICM Into Operations and Maintenance Activities

Once ICM becomes an established practice and is mainstreamed across a transportation agency, it is important to further the practice of ICM for operations and maintenance activities. Specifically, as equipment and infrastructure upgrades take place, combined with computer refreshes, opportunities to prepare the infrastructure for ICM should be considered. The list below provides information on how to incorporate ICM into operations and maintenance activities.

  • Include ICM components in ITS operations and maintenance contracts, technological refreshes, or equipment swap outs. As new ITS equipment is installed or upgraded, it is important to evaluate components from an ICM context. Newer ITS equipment is often internet connected that provides value not only in traffic management but could bring additional value by being ICM-capable. Examples of equipment upgrades include communication system upgrades, DSS interfaces to signal control systems or ramp meters, information exchange networks, 511-system upgrades, and traffic monitoring map displays.
  • Incorporate ICM Management Systems (ICMS) into performance review meetings. These performance reviews could be scheduled periodically or, as an after-action review, could also take place after certain major events, retrospectively. During such meetings, stakeholders evaluate chosen response plans, discuss if and how they met the needs of the event, and seek to understand the impacts the response plans had on corridor performance.
  • Address ongoing ICMS operations and maintenance (O&M) roles and funding needs. Establish roles and responsibilities and funding levels in ITS or TSMO strategic plans as well as multiyear program budgets. By establishing clear roles and responsibilities and expected funding levels from the agencies participating in ICM, Operations and Maintenance (O&M) needs can be addressed, while further integrating ICM into ITS O&M budgets and contracts. Additional attention should be paid to who has the responsibility to upgrade the Decision Support System (DSS), and if in the long-term ICM components can be absorbed into broad ITS O&M contracts of the various participating agencies.

Considerations for Decision Support Systems (DSS)

Decision Support Systems (DSS) are an integral component of ICM. A DSS is a computer-based information system that supports business or organizational decision-making activities, typically resulting in ranking, sorting, or choosing from among alternatives. This section provides background information on what a DSS is, why DSS are important, considerations for mainstreaming ICM, and offers references for more information.

In the context of ICM, a model-driven DSS is used to take data inputs and parameters provided by users or the traffic monitoring system to assist decision-makers in modeling a given situation. The DSS uses information to develop and model the performance of different "what if" scenarios that may be appropriate given the situation (e.g., in the case of a major incident on the main freeway, diverting a percentage of the traffic to an alternate arterial route and providing more green time for signals on that specific arterial). A transportation model of some sort is needed; a traffic simulation model may be used to predict the impacts of various alternatives.

When discussing DSS in the ICM context, business rules are a key. Business rules are rules or agreements that define or constrain some aspect of operations, decision-making, and strategy, among multiple organizations. Specifically, business rules establish the ways in which agencies communicate, coordinate, and share information. The business rules reflect the agreements between agencies or organizations on roles and responsibilities and operational practices given certain conditions or situations on the corridor. A DSS must be programmed to incorporate business rules and agreements with relevant entities when making recommendations.

Specifically, the role of the DSS in ICM is to receive data from an information exchange, evaluate multiple response plan options, and provide a recommended plan to the ICM coordinator, partner agencies, and an information exchange system. Utilizing this information, an ultimate decision is made by the coordinator and carried out by the agencies and stakeholder groups. Based on this decision, previously agreed upon strategies are implemented and system performance continues to be monitored to adjust if needed. Some implementation considerations for DSS in the context of mainstreaming ICM efforts are provided below.

  • Develop your DSS incrementally. Due to its complexity, agencies should consider incremental development of the DSS over the long-term. In fact, it may be wise for Transportation Management Center (TMC) operators to test some of the agreed-upon business rules under various conditions to see how they will work in practice, prior to programming them into the DSS. While human involvement in the decision-making and response strategy implementation process is needed during the initial stages of ICM, it is expected that the level of automation supported by the DSS can increase over time.
  • Consider the costs and resources needed for DSS. DSS often require recalibrating a traffic model or other parameters and the associated costs and resources needed are an importation consideration that should not be overlooked.
  • Harmonize the traffic modeling tools used. Traffic model feeds should be consistent with the modeling tool used by region in modeling and simulation efforts for an effective DSS. If possible, use the same tool. Doing so will increase stakeholder acceptance and facilitate staff's use of it as a tool.
  • Consider new uses for enhanced traffic modeling capabilities. A DSS may require the use of enhanced traffic modeling capabilities in order to be effective. Utilize this opportunity to meet the modeling needs of other users or agencies. This will increase the overall impact of the ICM project as an effective and efficient project and serve as a long-term resource for the area.
  • Use business rules agreed upon by stakeholders in the DSS. Incorporating business decision rules that have been agreed upon by stakeholders will enhance the stakeholder acceptance and effectiveness of the strategies proposed by the DSS and reduce uncertainties. If the business rules are unclear in certain circumstances, additional details need to be provided and decided upon.
  • Use multimodal, corridor-level performance measures to drive decision-making. Using multimodal performance measures to drive decision-making for response plans provides a valuable way to evaluate the effectiveness of the DSS, from both a predictive and a retrospective viewpoint.

For more information on DSS in the context of ICM, see FHWA's Office of Operations, "Elements of Business Rules and Decision Support Systems within Integrated Corridor Management: Understanding the Intersection of These Three Components" (also referenced under resources in chapter 6). In addition, the ICM Program: Major Achievements report provides more information on the DSS implementation in the Dallas and San Diego Pioneer site deployments.

Examples of Mainstreaming ICM Efforts

This section will provide case studies on localities that have implemented ICM and how they've mainstreamed ICM. As all the case studies noted below have either planned or implemented ICM, this section highlights themes from their projects as illustrative examples of mainstreaming ICM.

San Diego, CA — Mainstreaming ICM: Operations Integration and DSS Implementation6

The San Diego ICM Demonstration site corridor covered a 21-mile section of I-15 from just north of State Route (SR) 52 in the City of San Diego to SR 78 in the City of Escondido. The I-15 is one of two major freeways that connect commuters and interregional goods movement between San Diego, Orange and Riverside counties, and people traveling to and from Mexico. The I-15 is one of the busiest sections of freeway in the region. The Corridor study area included the freeway, ramp metered interchanges, 20 miles of continuous Express Lanes (otherwise known as managed lanes) — 16 miles which are reversible, a bus rapid transit (BRT) line that runs on the I-15 Express Lanes, BRT stations, direct access ramps, major arterial streets, and ITS technologies.

While the San Diego, CA region historically had inter-governmental cooperation, many of the real-time decisions were made independently by agencies for their specific facility. For example, two agencies operate buses; Caltrans manages the freeways, Express Lanes, and ramp meters; and the cities of San Diego, Poway, and Escondido each operate traffic signals on local streets. The ICM demonstration project addressed the need to collaborate across government agencies and effectively manage congestion along the I-15. Specifically, the DSS component of the ICM monitored for "atypical congestion" to alert "triggers" that invoke a DSS response(s). The DSS has the potential to provide over 1.5 billion response plans based on specific inputs and outputs, but only provides up to 15 response plans at any single time for the ICM manager to select. Predictions and recommendations are generated at 15-, 30-, and 60-minute horizons and are based on real-time and historical data. Using the selected response plans from the DSS by the ICM Manager, a coordinated response is carried out by the multiple agencies, including connected infrastructure, by synchronizing freeway ramp meters with traffic signals, and providing advanced traveler information via variable message signs or the 511 service. The public can receive information about different travel options and modes to avoid gridlock, instead of simply defaulting to using arterial routes based on past experience and knowledge of typical arterial travel times.

Northern Virginia (NOVA) — Mainstreaming ICM: Collaboration between governments, modes, and private companies7

The NOVA ICM site covered an East-West Corridor including I-66, Route 26, 50, 236, and 620, as well as the Greenway Toll Road. Specifically, this corridor has an array of project participants, including the Virginia Department of Transportation (VDOT), multiple counties, cities, and towns, the U.S. National Park Service, the Metropolitan Washington Transit Authority (WMATA), Metropolitan Washington Airports Authority (MWAA), and multiple private toll companies (Dulles Greenway, I-495 Express Lanes, and future I-66 Express Lanes). Involved agencies wanted to use ICM to manage incidents impacting travel in a clear, safe, efficient, and effective manner across all modes of transportation. Doing so required active participation from and collaboration with numerous project partners, including multiple levels of State and local government, transit modes, and private toll companies. Another component of this project was to establish evacuation plans and real-time awareness of emergency operations across the project partners and streamline communications technologies.

As a result of the project, coordinated responses plans to events were developed and a streamlined communications system was implemented. An enhanced traveler information system as well as a data warehouse were established, providing both real-time and archived data on roadway operations, signals, transit, parking, bikes and pedestrians, freight, and incidents, as well as probe and Connected Vehicle (CV)-generated data. Specifically, the data warehouse interfaces with the DSS, further augmenting the DSS modeling capabilities.

Austin, TX — Mainstreaming ICM: Technological Refresh and Integration of ICM into the Strategic Mobility Plan8

The Austin, TX ICM site covered a North-South running corridor that included the I-35, US 183, US 290, and State Highway 1 and 71. The primary motivation of the agencies was to address increasing congestion on the I-35, resulting from capacity deficiencies, as well as the congestion throughout the urban arterial system from freeway closures. The project's participants included local government agencies and departments of transportation, multimodal partners, research institutions, and the metropolitan planning organization. The project sought to better manage peak hour traffic, construction activities, special event surges, and crash and weather-related diversion, while increasing the efficiency of arterial, transit, and freeway networks.

ICM became part of Austin's "2014 TX Mobility Strategic Plan," which established a new regional traffic management center with advanced technologies. The ICM and incident management systems were implemented as part of the larger Mobility35 capital program. These systems are overseen 24/7 and use ITS to manage and balance "load levels" across transportation modes. Improved integration, management and operations of regional traffic signals, dynamic message signs (DMS), traffic cameras, detection systems, travel time monitoring equipment, and volume count stations across jurisdictional boundaries were key components of this ICM. Specifically, new signals with connected capabilities were installed as older obsolete equipment was swapped out. Pre-trip and en-route traveler information was made available to travelers via mobile devices and dynamic message signs about up-to-date traffic conditions, roadway closures, and events.

The three examples given above are not the only good examples of mainstreaming ICM across the country. In fact, several areas have begun to plan and implement ICM with their own funding sources, in the absence of special grant funding from the USDOT. Some agencies are also targeting use of ICM to help manage the traffic around major construction activities. Some of these areas include Kansas City, Orlando, and several corridor areas in the States of North Carolina, Maryland, and California.

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