Incorporating Reliability Performance Measures into the Transportation Planning and Programming Processes (2013)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

43 Incorporating Reliability into Planning and Programming This chapter describes a framework for incorporating reli- ability into the planning and programming process. The framework addresses • The flexibility of the existing planning process. The concepts reported in this framework for incorporating reliability are based on the long-standing, traditional, standard, federally mandated planning model. The framework provides guid- ance while allowing for the wide variation in how this model is applied in the real world. • Incorporation of reliability into technical processes. The frame- work provides guidance for transportation agencies to learn the technical aspects of travel time reliability performance measurement (i.e., data collection and modeling); the devel- opment and evaluation of non-capacity improvement options; and how to incorporate the technical findings into transportation planning. • Integration of planning for operations into traditional planning. The traditional continuing, cooperative, and comprehensive (3C) planning process focuses on capac- ity improvements and does not address the full menu of reliability-oriented strategies, especially operational improvements. This process, for example, does not include operations improvements that target incidents and other nonrecurring traffic disruptions that cause unreliable travel. Operations investments often include procedural changes (e.g., change to an agency’s approach incident response) that may not have any capital cost and include staff from agencies that are entirely outside the conventional state- wide and metropolitan planning process. The framework provides guidance for incorporating operations in the traditional planning process. • Audiences with different levels of experience with performance measures. Implicitly, the SHRP 2 L05 project assumes that agencies use some performance measures in transportation planning. In practice, many states and MPOs are only begin- ning to use performance measures and may have limited experience with the data, tools, and techniques required to measure reliability and incorporate it into their planning process. This fact substantially impacts the ability of the planning process to deal with operational improvements whose justification and design features are substantially related to impacts on reliability. The framework provides guidance for many types of transportation agencies, not just those that have experience with performance measures and reliability. Framework for Incorporating Reliability into Planning and Programming Given the extensive resources the second Strategic Highway Research Program (SHRP 2) has put toward developing the PlanWorks (formerly known as Transportation for Commu- nities: Advancing Projects through Partnerships [TCAPP]) framework, the SHRP 2 L05 framework has been designed to align with the PlanWorks framework. PlanWorks provides a representation of the key decision points (KDPs) that are used as a model in the overall transportation planning and programming process, primarily for major capital investments. These KDPs are organized around four phases of transporta- tion planning and project development. • Long-range planning; • Corridor planning (COR) (including subarea and other similar planning efforts); • Programming; and • A merged environmental review and permitting process. While the PlanWorks process is focused on major capital invest- ments, the assumption of the guide is that the transportation planning process is flexible enough to accommodate new concepts and approaches. From the perspective of SHRP 2 Project L05, two planning efforts are not explicitly addressed. • Operations planning. SHRP 2 L05 examines the broad range of strategies that have the potential to improve travel time C h a P t e R 6

44 developing policies, setting the size of the reliability pro- gram, and prioritizing projects. 4. Using Reliability Performance Measurement to Inform Invest- ment Decisions. Use reliability performance to set reliability program funding levels and targets. Also, use reliability per- formance to set the right funding levels for other programs. Without considering reliability, it is more likely that capacity projects will be funded over operations and management projects. The steps are described in detail in the accompanying guide. The remainder of this chapter summarizes how these steps relate to the PlanWorks framework. Appendix B provides an in-depth examination of the linkages between reliability performance and the PlanWorks framework. Figure 6.1 pre- sents the PlanWorks framework with KDPs colored to reflect the activities appropriate for each KDP. The following sec- tions describe how reliability is incorporated into the four PlanWorks phases, as well as operations planning and the congestion management process. Long-Range Planning Long-range transportation planning is the phase of the trans- portation planning process that typically includes setting stra- tegic priorities for the transportation system, identifying and understanding needs and deficiencies, and in some cases iden- tifying solutions, including specific projects. The long-range planning (LRP) process described by PlanWorks focuses on the MPO long-range planning process because current fed- eral regulations are more prescriptive for MPOs, requiring fiscal constraint and air quality conformity, than they are for states. Table 6.1 describes how reliability can be incorporated into the long-range planning process. Programming Programming (PRO) is the process of selecting specific transportation projects for development or construction, depending on the phase of the project. The outcome of the programming process is a STIP or TIP, depending on agency type, but the programming process is typically an on-going process that is continually updated as needs are identified, projects are scoped and designed, and revenue sources fluc- tuate. Reliability is most usefully considered within the pro- gramming process as a potential means to help prioritize potential future investments. Table 6.2 identifies the specific KDPs within PlanWorks that are important for incorporating reliability into the program- ming process. reliability, including capacity, operations, and travel demand strategies; strategies that address the full range of travel modes; and strategies for both passenger and freight move- ments. Because PlanWorks focuses on capacity projects, it naturally does not address operations and related strategies, and only tangentially considers transit. Systems operations and management strategies improve nonrecurring conges- tion rather than the recurring congestion addressed by capacity strategies. Agencies may wish to directly incorpo- rate operations into the PlanWorks process or set up a par- allel process for operations. Either way, it is important for this framework to provide guidance for estimating the impact of operations investments on reliability. • Congestion management process. The congestion manage- ment process (CMP) is intended to be a key place for consid- eration of the full range of strategies to address congestion and, by extension, reliability. The CMP is designed to develop and evaluate options for alleviating congestion using an ongoing process that does not necessarily result in a product (unlike a long-range transportation plan or a state or regional transportation improvement program). The framework identifies KDPs used in the CMP, drawing from recent work by the FHWA to provide guidance on the CMP for the transportation agencies that are required to use this process. The framework for incorporating reliability performance measures into the planning and programming process includes four key steps. 1. Measuring and Tracking Reliability Performance. Agencies must first understand the reliability of their transporta- tion systems. Doing so requires tracking and monitoring reliability based on quality supporting data. Well-defined reliability performance measures define an important, but often overlooked, aspect of customer needs. The measures help to support the development of policy language and are critical to making reasoned choices. 2. Incorporating Reliability in Policy Statements. Use reliabil- ity performance measures and concepts to draft policy statements (vision, mission, goals, and objectives), define the long-term direction of the agency, and make choices when setting program funding levels and prioritizing projects. 3. Evaluating Reliability Needs and Deficiencies. Use reliability to estimate and predict transportation needs and deficien- cies and to develop lists of projects to address reliability. Estimating reliability deficiencies using well-defined mea- sures will help to define the size and source of the reliability problem and to inform policy. The outputs of this process (maps, charts, and figures) will provide background when

45 to these phases of planning and project development in a more indirect way, though there may be elements of project design that might appropriately be influenced by reliability considerations. The specific KDPs in which reliability should be incorporated into environmental review and planning are described in Table 6.4. Congestion Management Process (CMP) All metropolitan areas with more than 200,000 residents are officially defined as transportation management areas (TMA) and are required by MAP-21 to develop a congestion manage- ment process (CMP). The CMP is “a systematic and regionally accepted approach for managing congestion that provides accurate, up-to-date information on transportation system performance and assesses alternative strategies for congestion management that meet state and local needs. The CMP is intended to move these congestion management strategies into the funding and implementation stages.” (1) Because the CMP is intended to help integrate operations strategies into metropolitan long-range transportation plans Corridor Planning Corridor planning is not required, but it is commonly used by transportation agencies to focus on the transportation needs of a specific corridor or area. Corridor planning is relevant for multiple types of investments and provides a way to consider trade-offs among investment types. At the corridor level, it is possible to consider the fit of a given investment type (e.g., a corridor may not have room for expansion), and it is easier to engage specifically relevant stakeholders (e.g., the residents and business located along the corridor, as well as the people and business who use a corridor). Defining the extent of a cor- ridor under study is critical because improvements or changes to one corridor have the potential to shift traffic to others. Table 6.3 identifies how reliability would be incorporated into the PlanWorks framework for corridor planning. Merged Environmental Review and Permitting The final phase of PlanWorks is a merged environmental review and permitting (ENV/PER) phase. Reliability is related Figure 6.1. Incorporating reliability into the PlanWorks framework.

46 Table 6.1. Incorporating Reliability into Long-Range Planning LRP KDP Description Incorporating Reliability 2: Approve vision and goals Community values articulated into transport-specific vision and goals Incorporating Reliability in Policy Statements. At this KDP, an analysis of reliability and gathering of information from stakeholders and the public can help an agency determine how to educate the public regarding the relevance of reli- ability to their travel and whether reliability should be a goal or objective for the transportation system. 3: Approve evaluation criteria, methodology, and perfor- mance measures Develop evaluation criteria, methodology, and performance measures for the LRTP in order to compare scenarios to each other and to the vision and goals Measuring and Tracking Reliability Performance. At this KDP, transportation planners will identify the appropriate reliability measures to use in evaluating long-range plan scenarios. These measures will depend on the goals and objectives set in LRP-2. 4: Approve transportation deficiencies Identify transportation deficiencies within the planning area that should be addressed in the LRTP Evaluating Reliability Needs and Deficiencies. At this KDP, planners will classify corridors or locations now and in the future in which travel time reliability fails to meet acceptable thresholds using the performance measures identified in LRP-3. 6: Approve strategies Develop and evaluate groups of strategies relative to stated needs Using Reliability Performance Measurement to Inform Invest- ment Decisions. At this KDP, planners will ensure that the full range of strategies, including operations, are considered in developing plan scenarios. 7: Approve plan scenarios Identify plan scenarios for testing and comparison in order to select a preferred plan scenario for the region Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, planners will make use of reliability and other performance measures to help compare and pack- age together scenarios that include a range of strategies (both short and long term). This step will require significant analytic capabilities to provide a robust analysis of the impacts of various scenarios on travel time reliability. 8: Adopt preferred plan scenario Evaluate proposed scenarios in order to identify the locally preferred scenario that addresses the deficiencies while supporting the vision and goals Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, planners will refine and expand the analysis conducted in LRP-7 to develop a preferred sce- nario. This scenario will include both long- and short-term improvement measures. Table 6.2. Incorporating Reliability into Programming PRO KDP Description Incorporating Reliability 2: Approve methodology for identifying project costs and criteria for allocating revenue Establishes a consistent methodology for estimating project costs for both the long-range transportation plan and the TIP. It also documents the specific requirements and restrictions associated with each funding source Using Reliability Performance Measurement to Inform Invest- ment Decisions. At this KDP, transportation planners will ensure that the full range of strategies is included. This step requires understanding what funding sources can be used for operations strategies, having approaches to support projects using a combination of funding sources, and understanding different implementation timeframes. Operations strategies typically have no dedicated source of funding; establishing a dedicated source might help to ensure that the full range of strategies are addressed. 3: Approve project list drawn from adopted plan scenario Establishes the list of projects drawn from the long-range plan or corridor-planning process that will be considered for funding in the TIP Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, planners will ensure that all the strate- gies are considered in the project evaluation, including opera- tions. This step might require evaluating how projects are scoped (i.e., does a project include the right set of strategies for the location?) and ensuring that operations strategies are con- sidered for programming more generally. This step is intended to be linked to a long-range plan but may also be linked to operations planning (see section on operations planning). 4: Approve project prioritization The approved project list is prioritized using the methodology previously developed Using Reliability Performance Measurement to Inform Invest- ment Decisions. At this KDP, transportation planners will include reliability and other performance measures to help compare and rank projects.

47 team has made every attempt to stay true to the intent of the SHRP 2 program in developing PlanWorks. Table 6.5 presents a proposed set of KDPs for the CMP and describes how reliability would be integrated into these KDPs. The CMP is required but the CMP does not result in formal documentation at many transportation agencies. The importance of this process for addressing congestion makes it valuable to address how reliability will be incorporated. and is performance-based, it is a natural process for addressing and using reliability performance measures. To be consistent with the overall framework described above, a set of KDPs has been developed from the CMP actions described in the FHWA’s Congestion Management Process: A Guidebook (1). Not every action in that step is considered a key decision point, because not all actions require one or multiple agency to make specific decisions. In developing a set of KDPs for the CMP, the research Table 6.3. Incorporating Reliability into Corridor Planning COR KDP Description Incorporating Reliability 2: Approve problem state- ments and opportunities The full range of deficiencies and opportu- nities within a corridor are defined. Evaluating Reliability Needs and Deficiencies. At this KDP, plan- ners will evaluate the travel time distribution for the corridor and examine locations where travel time reliability exceeds a threshold or target value. 3: Approve goals for the corridor Adopt the comprehensive set of goals for the corridor. Incorporating Reliability in Policy Statements. At this KDP, planners will analyze reliability and gather information from stakeholders to determine what level of reliability to target for the corridor. 5: Approve evaluation criteria, methodology, and perfor- mance measures Define a methodology that includes criteria to enable a comparison and selection of solutions that address the corridor’s opportunities and deficiencies and that address the approved goals. Measuring and Tracking Reliability Performance. At this KDP, transportation planners will identify the appropriate reliability measures to use in evaluating corridor scenarios. This step also will involve setting targets for reliability and other measures. 6: Approve range of solutions sets Determine a range of solutions for the identified problems and opportunities. Using Reliability Performance Measurement to Inform Invest- ment Decisions. At this KDP, planners will ensure that the full range of strategies, including operations, is considered in developing corridor scenarios. 7: Adopt preferred solution set Select a preferred solution set from the full range of solutions. Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, planners will make use of reliability and other performance measures to help compare proposed solution sets for the corridor. 8: Approve evaluation criteria, methodology, and perfor- mance measures for prioritization Identify the evaluation methodology, crite- ria, and performance measures for priori- tizing the implementation of the solution set for the corridor. Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, transportation planners will identify and include reliability and other performance measures to help compare and rank projects. Table 6.4. Incorporating Reliability into Environmental Review and Permitting ENV/PER KDP Description Incorporating Reliability ENV-5: Approve evaluation criteria, methodology, and performance measures Define evaluation criteria, methodology and perfor- mance measures to compare how alternatives meet the purpose and need. Measuring and Tracking Reliability Performance. At this KDP, transportation planners will identify the appropriate reliability measures to use in evaluating corridor scenarios. ENV-6/PER-3: Approve full range of alternatives Identify a range of alternatives that meet the project purpose and need. Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, transportation planners will identify operations strategies that either stand alone as alternatives or complement other strategies. ENV-7/PER-4: Approve alter- natives to be carried forward Narrow the alternatives for detailed analysis. For per- mitting, alternatives should be narrowed to those that avoid and minimize resource impacts to the greatest extent practicable. Using Reliability Performance Measurement to Inform Investment Decisions. At this KDP, transportation planners will use reliability and other performance measures to help compare and rank alternatives.

48 Table 6.5. Congestion Management Process Key Decision Points CMP KDP Description Incorporating Reliability 1: Approve objectives for congestion management Objectives should draw from the community values articulated in the regional vision and goals identified in the MPO’s LRTP. Incorporating Reliability in Policy Statements. At this KDP, planners will analyze reliability and gather information from stakeholders and the public to determine if reliability should be a goal or objective for the transportation system. 2: Approve CMP network Define both the geographic scope and the system elements (e.g., freeways, major arterials, transit routes) that will be analyzed in the CMP. Incorporating Reliability in Policy Statements. At this KDP, planners will think proactively about the network where travel is likely to be unreliable. 3: Approve multimodal performance measures Develop performance measures to identify, assess, and communicate congestion. Measuring and Tracking Reliability Performance. At this KDP, transportation planners will identify the appropriate reliability measures to use in evaluating congestion. These measures will depend on the goals and objectives set in CMP KDP-1. 4: Approve congestion problems and needs Identify congestion deficiencies and sources within the approved CMP network that should be addressed in the CMP. Evaluating Reliability Needs and Deficiencies. At this KDP, planners will classify corridors or locations where travel time reliability exceeds some threshold or target value using the performance measures identified in CMP KDP-3. 5: Approve strategies Identify and assess groups of strategies relative to stated needs. Using Reliability Performance Measurement to Inform Invest- ment Decisions. At this KDP, planners will ensure that the full range of strategies, including operations, are considered. Table 6.6. Key Decision Points for Operations Planning OPS KDP Description Relationship to Reliability 1: Adopt regional ITS architecture Develop and maintain the regional ITS architecture in conformance with the National ITS Architecture requirements. Incorporating Reliability in Policy Statements. Planners will include data collection and reporting capabilities for reliability in the regional architecture. 2: Adopt project level concept of operations (ConOps) and systems engineering management plan (SEMP) Develop project ConOps and SEMP. Incorporating Reliability in Policy Statements. Planners will include a methodology to enable data collection and reporting of reliability. 3: Approve scope of the operations plan Identify the mode, facility type and range of cost and schedule for the operations plan. Incorporating Reliability in Policy Statements. Planners will use reliability performance to define the general scope of the problem to be addressed. 4: Approve operations problem statements and opportunities Identify specific locations, problem type, and solution opportunities, including identifying a wide range of deficiencies. Evaluating Reliability Needs and Deficiencies. Planners will use reliability data to identify problem locations, including their duration and extent. At this step, planners also will review the reliability status of current operational deployments. 6: Approve operations evaluation criteria, methodology, and performance measures Identify specific performance criteria, methodology, and measures that will be used for the operation planning evaluation process. Measuring and Tracking Reliability Performance. Planners will use reliability performance to evaluate operations projects. 7: Approve range of solution sets Identify potential solutions that will meet goals of the operations plan. Using Reliability Performance Measurement to Inform Investment Decisions. Planners will eval- uate solutions using reliability performance. 8: Adopt preferred solution set Evaluate the solutions using the performance criteria and methodology and define preferred solutions. Using Reliability Performance Measurement to Inform Investment Decisions. Planners will adopt solutions sets using reliability performance.

49 many agencies, operations and capacity planning may remain in separate silos. This section describes a parallel operations planning track, identifying a set of key decision points for operations planning. These KDPs are intended to provide for flexibil- ity in application, allowing agencies to combine them in different configurations to fit with their operations plan- ning process. Table 6.6 presents a set of KDPs for operations planning. Reference 1. Congestion Management Process: A Guidebook, Federal Highway Administration, U.S. Department of Transportation, 2011. Operations Planning The existing PlanWorks process was developed for capital investment planning. Operations planning (OPS), however, has little relationship to this process. Operations investments typically are short range, low capital, and often management- focused. They are designed for a real-time environment. Incor- porating reliability into the planning and programming process could proceed along two tracks. The first track would focus on mainstreaming operations within the broader, traditional planning process. In this track, planners would treat opera- tions and planning projects together using technical methods to compare projects directly. The second track focuses on a par- allel operations planning process, on the assumption that, for