Incorporating ITS Into the Transportation Planning Process: An Integrated Planning Framework (ITS, M&O, Infrastructure) Practitioner's Guidebook (2002)

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APPENDIX C SELF-ASSESSMENTS ON REGIONAL PROGRESS TOWARDS INTEGRATED PLANNING C.1 INTRODUCTION The self-assessments provided at the end of each chapter of the Incorporating ITS into the Transportation Planning Process follow. Please take a moment to mark where you feel your area/region falls between absolute “NO”, and absolute ”YES” with regards to each question. YES represents the need for and/or progress towards an integrated planning/decision making process. C.2 THE CHANGING CONTEXT OF PLANNING AND DECISION MAKING: FORCES LEADING TO INTEGRATED PLANNING. Table C-1 Context For Integrated Planning: World 1/World 2 Self-Assessment Question World I World II Are congestion and transit overloading a serious problem in your area causing extended peak periods, peak hour factors close to 1.0 and significant delays ? NO - - - - - - - - - - YES Do accidents and other incidents that cause cascading impacts over large portions of the transportation system occur frequently (daily)? Do the effects remain long after the incident is cleared? NO - - - - - - - - - - YES Do customers (travelers) complain frequently about unusual delays, or missed connections due to irregular service ? NO - - - - - - - - - - YES Is the area already built and densely populated with little or no room for additional road or transit right of way and expansion? NO - - - - - - - - - - YES Has there been significant opposition to transportation projects in the recent past? NO - - - - - - - - - - YES Is the transportation system complete and connected? Do the facilities exist for travelers to get to where they would like to go without significant diversion? NO - - - - - - - - - - YES Is the transportation system (roads, bridges, transit vehicles and facilities) in poor condition requiring an ever increasing portion of the transportation resources to maintain? NO - - - - - - - - - - YES Does the area have air quality or other environmental problems? NO - - - - - - - - - - YES Is the region experiencing rapid increases in travel (trips and VMT) due to population and employment growth and starting to experience congestion on some facilities? NO - - - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-1

Table C-2 Applicability of National ITS Architecture Conformity Requirements Self-Assessment Question NO YES Are the National ITS Architecture Conformity Requirements Applicable ? Is the area currently operating or planning to implement ITS? NO - - - - - - - - YES Were any of the existing ITS systems implemented after June 9, 1998? NO - - - - - - - - YES Do planned ITS projects use funds from the U.S. Highway Trust Fund? NO - - - - - - - - YES Are any “Major ITS” projects (multi-modal, multi-jurisdictional, multi- agency) planned for implementation? NO - - - - - - - - YES If The Requirements Are Applicable? (Yes to any of the above questions) Are the area’s ITS systems included in and consistent with the appropriate Long Range Plan and Transportation Improvement Programs (both Metropolitan and Statewide)? NO - - - - - - - - YES Have a wide range of stakeholders including all ITS operators and major users participated in the development of the area’s ITS plans? NO - - - - - - - - YES Have the major information sharing requirements between stakeholders been identified? NO - - - - - - - - YES Have the needs for future ITS expansion been identified? NO - - - - - - - - YES Does a Regional ITS Architecture exist, or is one being developed? NO - - - - - - - - YES Has a region for the regional ITS architecture been defined which encompasses the boundaries of it’s major ITS systems? NO - - - - - - - - YES Does the development and continued maintenance of the regional ITS architecture include the required participating agencies and stakeholders? NO - - - - - - - - YES Has an operational concept been defined that identifies the roles and responsibilities of the stakeholders to implement, operate, and maintain the ITS system? NO - - - - - - - - YES Have the other required components of a regional ITS architecture been developed? (system functional and interface requirements, standards, phasing) NO - - - - - - - - YES Are agreements in place that ensure that the ITS system can be operated and maintained? NO - - - - - - - - YES Have the roles and responsibilities for maintaining and updating the regional ITS architecture been established? NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-2

C.3 AN INTEGRATED DECISION-MAKING FRAMEWORK Table C-3 Questions on Region's Progress Towards An Integrated Framework Question NO YES Does your planning process extend beyond current Federal requirements and consider all components and strategies that are part of the transportation system and operations? NO - - - - - - - - YES As part of the planning process, does the region include consideration of ITS, management and operations, system preservation, and traditional infrastructure capacity improvements in an integrated process? NO - - - - - - - - YES As part of the planning process, has the region set short and mid-term goals focused on operations and system performance in addition to the 20-year horizon of the typical long-range plan? NO - - - - - - - - YES Does the region’s plan accommodate short and mid-term initiatives that focus on other than traditional infrastructure capacity? NO - - - - - - - - YES Do plans for all time frames define operational strategies and concepts ? NO - - - - - - - - YES Is there a process whereby short-term planning results can be fed into mid-term planning results, mid-term results into long-term results, and back to short-term? In other words, is there a “cycling” process whereby planning occurs along a continuum and is not only directed at a 20-year horizon? NO - - - - - - - - YES Have elected and senior officials enunciated their support and interest in short and mid-term operations and system performance as well as in capacity improvements? NO - - - - - - - - YES Are stakeholders from both the planning and management and operations communities represented in the regional planning process? NO - - - - - - - - YES Have most key transportation and related organizations in your region developed internal structures that enable cooperation between planning and operations elements? NO - - - - - - - - YES Have key transportation and related organizations in your region collectively developed a structure(s) that enables cooperation between the several agencies, and specifically cooperation between planning and operations staffs in the different agencies? NO - - - - - - - - YES Is the region able to effectively measure and make tradeoffs between ITS, management and operations, and traditional infrastructure-type improvements or expansions? NO - - - - - - - - YES Has the planning process expanded its view of system performance to include other than average or peak-hour conditions? Is the region effectively able to measure system performance? Are performance measures used to evaluate progress towards goals, and to make changes in current plans and programs when warranted? NO - - - - - - - - YES Does the inventory of transportation facilities and services include the ITS and communications components and operating rules/strategies that are part of an integrated alternative ? NO - - - - - - - - YES Does the region have a data collection and analysis program that includes varying system performance from throughout the day, between days, and under unusual events? NO - - - - - - - - YES Has the region completed an ITS architecture? NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-3

C.4 INSTITUTIONAL RELATIONSHIPS, ACTIVITIES, AND FUNCTIONS Table C-4 Institutional Relationships, Activities, and Functions Self-Assessment Question NO YES Redefine Institutional /Organizational Relationships Do agencies within your area include development/construction, operations, maintenance, and other departmental staff in decisions on service provision, development, or ongoing performance? NO - - - - - - - - YES Do agencies with your area have separate budgets for operations, maintenance, preservation, and capital expansion, making it difficult to examine tradeoffs, or develop life cycle approaches? Do other restrictions such as procurement practices or work rules inhibit within agency coordination? NO - - - - - - - - YES Have agencies within your area adopted a customer service orientation? Has this new mission been promoted throughout their organizations? NO - - - - - - - - YES Is there a current forum for area-wide cooperative decision-making concerning transportation operations and management? Is this carried out through the MPO? NO - - - - - - - - YES Do inter-jurisdictional or agency agreements exist for ITS systems, or other system operations? Are they informal “virtual” organizations, or they formal legal entities? NO - - - - - - - - YES Has a Concept of Operations been developed as part of a Regional ITS Architecture? Is one now being developed? NO - - - - - - - - YES Expand Stakeholder Involvement Are transportation operators/providers included in the regional transportation planning process (freeway and traffic operations, transit, public safety and incident management)? NO - - - - - - - - YES Are other Stakeholders/Users also part of the process (Motorists, transit riders, commercial shippers, taxi and shuttle operators)? NO - - - - - - - - YES Have new forums for operations been created by the MPO or others that provide for the exchange of information between planning and operations? NO - - - - - - - - YES Are these stakeholders also participating in the development of a Regional ITS Architecture? NO - - - - - - - - YES Is a process in place for continual review and update of stakeholders that need to participate in the decision/planning process? NO - - - - - - - - YES Are private sector transportation and ITS providers also participants? NO - - - - - - - - YES SELF-ASSESSMENTS C-4

Table C-4 Institutional Relationships, Activities, and Functions Self-Assessment Continued Question NO YES Determine Public-Private Sector Roles and Relationships Do private-public sector partnerships for ITS or other transportation services currently exist in your area? Do the private sector partners participate in planning and operational decisions? NO - - - - - - - - YES Are their procurement or other barriers to developing new extended relationships with private sector partners? NO - - - - - - - - YES Have clear principals for private public sector agreements been established regarding responsibilities, liability, ownership of intellectual property, privacy, and/or confidentiality been established? NO - - - - - - - - YES Have the ITS and other services that are candidates for private sector provision or partnerships been determined? Are the assumptions on each participant’s roles clearly defined? Does each party benefit? NO - - - - - - - - YES Factors: Leaders and Champions Have leaders and champions for ITS and operations already been established in your area? NO - - - - - - - - YES Is this through the MPO, the state, an operating agency, or regional operating organization? NO - - - - - - - - YES Do they have the necessary resources and technical skills? NO - - - - - - - - YES Is training and outreach to political and other decision makers being carried out to help them understand the benefits of ITS and Operational improvements? NO - - - - - - - - YES Factors: Alignment of Systems, Influence Areas, and Jurisdictions Do the ITS or other transportation systems or their influence area’s in your region cross multiple MPO, state, or other significant jurisdictional boundaries? NO - - - - - - - - YES Is there a potential lead organization whose boundaries align with the above? Does it have the legal authority or mandate to provide leadership in ITS and operations? NO - - - - - - - - YES Are there ongoing operational partnerships between existing entities that could evolve into new joint leadership for ITS and operations? NO - - - - - - - - YES Factors: Historical Relationships NO - - - - - - - - YES Is there a history and precedence for cooperation between agencies and organizations in your area? NO - - - - - - - - YES Are there historical issues with cooperation due to political differences (suburbs-inner city), or professional perspectives (transit-highway). Have these created barriers to cooperation in the past? NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-5

Table C-4 Institutional Relationships, Activities, and Functions Self-Assessment Continued Question NO YES Factors: Transportation Environmental and Other Issues Is your area primarily part of World I, or World II (see earlier self- assessment)? NO - - - - - - - - YES Is part of your area in World I, and part in World II? This may lead to separate programs and agendas for each. NO - - - - - - - - YES Is your area a air quality non-attainment area? Are their other environmental issues and concerns that could limit transportation solutions, or introduce new stakeholders? NO - - - - - - - - YES Are there special events or activities that may act as a catalyst for ITS and operational considerations (festivals, severe weather)? Do these introduce additional stakeholders? NO - - - - - - - - YES Is the transportation system in need of extensive rehabilitation and /or maintenance? NO - - - - - - - - YES Factors: Agency Resources/Skills Does the MPO have available resources ITS and operations? Do staff understand ITS technologies, system engineering, and architectural development? NO - - - - - - - - YES Does the MPO currently operate any ITS or other services (ride-share, traveler information)? NO - - - - - - - - YES Is there significant disparity between jurisdictions/agencies in your region with regards to resource levels/budgets, staffing, or staff capabilities? NO - - - - - - - - YES Is training on ITS and operational issues ongoing or being considered for both staff within organizations, and public policy decision makers? NO - - - - - - - - YES Factors: Authorizing Environment Are they multiple operating agencies and political jurisdictions in your area? Does your area cross state boundaries? NO - - - - - - - - YES Do states own and operate the freeway and arterial systems in your area? Is this a city, or county function? NO - - - - - - - - YES Is the transit agency an independent regional authority? Does it cross jurisdictional boundaries? NO - - - - - - - - YES Are there specific legal and legislative barriers that inhibit regional operations and/or coordinated decision making? NO - - - - - - - - YES Are funding sources available and flexible to be used for combined alternatives (ITS, operations, and capital). NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-6

C.5TECHNICAL ACTIVITIES AND FUNCTIONS Table C-5 Cross-Cutting Technical Issues Self-Assessment Question NO YES Are there neighboring regions, states, or inter-city corridors with ITS systems that overlap your area? Are they developing ITS plans and architectures that you need to coordinate with? NO - - - - - - - - YES Has the region for an ITS architecture been defined? Does it encompass all current and planned ITS systems and their impact areas? NO - - - - - - - - YES Is the use of ITS Standards being explored ? NO - - - - - - - - YES Has a technology forecast been carried out or considered? Does it include uncertainty/sensitivity analyses on key assumptions ? NO - - - - - - - - YES Mark the relative position of your area’s advancement. Table C-6 Vision, Goals, Objectives and Measures Self-Assessment Question NO YES Is there a “Vision” of the region/area’s future that includes an integrated perspective of system development, operations, and asset management, in a sustainable way? NO - - - - - - - - YES Do the area’s goals and objectives include emerging issues of reliability, system preservation, sustainability, and efficient system management? NO - - - - - - - - YES Have new customer oriented performance measures been defined? Do they include measures of reliability and variation throughout the day, month, year? Do they apply to all alternatives? Do they include operational issues such as incident response, or accident frequency/location? NO - - - - - - - - YES Mark the relative position of your area’s advancement. Table C-7 Needs/Deficiencies Analysis Self-Assessment Question NO YES Needs/Deficiencies Analysis Does the system inventory include ITS facilities, equipment, and services? Does it capture how the system operates? Communication, traffic, and surveillance networks? Does it include operating rules and concepts ? NO - - - - - - - - YES Does the analysis include operational issues and problems throughout the day? Does it include all stakeholders’ points of view (incident response)? Does it include both recurrent and non-recurrent conditions within the peak and non-peak travel periods? NO - - - - - - - - YES Is causal analysis performed on the identified needs and deficiencies to determine why they exist (lack of capacity, high accidents, poor signal timing, etc.)? NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-7

Table C-8 Integrated Alternative Definition Self-Assessment Question NO YES Do short, mid, and long range plans exist? Are they developed incrementally with feedback between each cycle to create a path of development? NO - - - - - - - - YES Does alternative development include the new elements for integrated alternatives (ITS and operational equipment and facilities, ITS services, concept of operations, ITS Architecture, operating concepts, and performance relationships, public private assumptions) FOR ALL FUTURE TIME PERIODS? NO - - - - - - - - YES Does alternative development include participation of all stakeholders from both the planning and operations worlds? NO - - - - - - - - YES Do alternatives combine ITS, operational, and system enhancement improvements to address the identified needs and problems? NO - - - - - - - - YES Mark the relative position of your area’s advancement. Table C-9 Estimating Impacts, Benefits, and Costs Self-Assessment Question NO YES Estimating Impacts, Benefits, and Costs Are the area’s professionals aware of the US.DOT ITS benefits and costs databases and ITS Resource Guide? Have they used them to help determine potential ITS impacts? NO - - - - - - - - YES Is system variability and congestion accounted for in the analysis of alternatives? NO - - - - - - - - YES Is the IDAS sketch planning tool for ITS, or other methods, used to estimate impacts of ITS in the planning process? NO - - - - - - - - YES Are the time streams (life cycle) of benefits and costs estimated? Do these include all costs to operate and maintain each component of the system in a sustainable way? NO - - - - - - - - YES Are operational simulations or other analyses performed during system development? NO - - - - - - - - YES Is data collection and performance measurement used to continually make incremental service and other adjustments? NO - - - - - - - - YES Are plans underway to update the area’s forecasting processes and assumptions to include operational assumptions and ITS (advanced traffic signal control, Transit Signal Priority, Transit AVL, etc.) NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-8

Table C-10 Alternative Evaluation Self-Assessment Question NO YES Alternative Evaluation Does the evaluation process account for tradeoffs between near and far term improvements? NO - - - - - - - - YES Does the evaluation process incorporate the new goals and objectives previously discussed? NO - - - - - - - - YES Does the evaluation process provide for examining tradeoffs between ITS, operational, and system enhancement improvements, alone or in combination? NO - - - - - - - - YES Mark the relative position of your area’s advancement. Table C-11 Planning to Programming Self-Assessment Question NO YES Are extended programming criteria which incorporate ITS, and operations, system performance, and system preservation used? NO - - - - - - - - YES Are the system characteristics and need to bundle inter-related projects included in the programming process? NO - - - - - - - - YES Are continued operations and system maintenance/preservation included in the programming process? NO - - - - - - - - YES Are opportunities to combine ITS and other operational improvements with traditional construction and service expansion projects part of the programming process? NO - - - - - - - - YES Mark the relative position of your area’s advancement. Table C-12 ITS Data, Performance Monitoring, and Feedback Self-Assessment Question NO YES Is ITS data currently being collected and archived for highway, arterial, or transit system performance? Is it being analyzed to assist in operational or other planning activities? NO - - - - - - - - YES Is system performance being continually monitored and used in the transportation decision process? Is ITS data being used in this process? NO - - - - - - - - YES Is there a data quality control and management program for ITS data? NO - - - - - - - - YES Are the costs for ITS data collection, maintenance of surveillance equipment, and maintenance and cleaning being accounted for in system plans? NO - - - - - - - - YES Mark the relative position of your area’s advancement. SELF-ASSESSMENTS C-9