Guidelines for Implementing Managed Lanes (2016)

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2016 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 835 Guidelines for Implementing Managed Lanes Kay Fitzpatrick Marcus A. Brewer Susan Chrysler Nick Wood Beverly Kuhn Ginger Goodin Texas a&M TransporTaTion insTiTuTe The Texas a&M universiTy sysTeM College Station, TX Chuck Fuhs ChuCk Fuhs LLC Houston, TX David Ungemah Benjamin Perez Vickie Dewey Nick Thompson Chris Swenson Darren Henderson Wsp | parsons BrinCkerhoFF New York, NY Herb Levinson Wallingford, CT Subscriber Categories Highways  •  Operations and Traffic Management  •  Policy Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed research is the most effective way to solve many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation results in increasingly complex problems of wide inter- est to highway authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). 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The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The research reported herein was performed under NCHRP Project 15-49 by the Texas A&M Transpor- tation Institute (TTI), WSP | Parsons Brinckerhoff (WSP|PB), Chuck Fuhs, and Herb Levinson. Texas A&M Sponsored Research Services was the contractor for this study. Dr. Kay Fitzpatrick, TTI senior research engineer, was the principal investigator. The authors of this document are as follows: • Kay Fitzpatrick (TTI) • Chuck Fuhs (Chuck Fuhs LLC) • David Ungemah (WSP|PB) • Marcus A. Brewer (TTI) • Susan Chrysler (TTI) • Nick Wood (TTI) • Beverly Kuhn (TTI) • Ginger Goodin (TTI) • Benjamin Perez (WSP|PB) • Vickie Dewey (WSP|PB) • Nick Thompson (WSP|PB) • Chris Swenson (WSP|PB) • Darren Henderson (WSP|PB) • Herb Levinson The work was performed under the general supervision of Dr. Fitzpatrick. The authors wish to acknowledge the many individuals who contributed to this research by participating in the phone interviews or providing assistance during data collection, data reduction, and graphic design. CRP STAFF FOR NCHRP RESEARCH REPORT 835 Christopher J. Hedges, Director, Cooperative Research Programs Lawrence D. Goldstein, Senior Program Officer Anthony P. Avery, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Senior Editor NCHRP PROJECT 15-49 PANEL Field of Design—Problem Area of General Design Joseph M. Rouse, California DOT, Sacramento, CA (Chair) Christopher M. Cunningham, Institute for Transportation Research & Education (ITRE) at NC State University, Raleigh, NC Casey Emoto, Santa Clara Valley Transportation Authority (VTA), San Jose, CA Karen Kahl, Rummel, Klepper & Kahl, LLP, Baltimore, MD Roxane Y. Mukai, Maryland Transportation Authority, Baltimore, MD Brian L. Ray, Kittelson & Associates, Inc., Portland, OR Mukhtar Thakur, Minnesota DOT, Roseville, MN Barton A. Thrasher, Virginia DOT, Richmond, VA Darryl D. VanMeter, Georgia DOT, Atlanta, GA Brian J. Walsh, Washington State DOT, Olympia, WA Mark Doctor, FHWA Liaison Richard A. Cunard, TRB Liaison

F O R E W O R D Numerous domestic and international agencies either have constructed or are plan- ning to implement systems of managed lanes; however, experience has demonstrated that each system is unique, designed in response to issues and challenges that emerge when these projects are implemented in high-demand, congested, or constrained travel corridors. Despite earlier efforts and despite an apparent need, there is currently no comprehensive resource available to assist transportation agencies when planning and implementing man- aged lanes. Various guides that do exist contain some information about various aspects of the program, but they do not explicitly address the wide range of issues and complexi- ties in sufficient detail to serve as an effective, widely applicable implementation guide. NCHRP Research Report 835: Guidelines for Implementing Managed Lanes fills that void with a comprehensive set of guidelines addressing a broad array of issues affecting design, implementation, operation, and maintenance of managed lanes. Steps range from defining initial objectives, outlining the necessary decision-making process, and addressing safety concerns, through the process of detailed design configuration and operation. These guide- lines can serve as the primary reference on managed lanes—complementing other national guidelines—and they are applicable to practitioners at all levels of experience when design- ing and implementing managed lanes on freeways and expressways. Managed lanes are highway facilities or a set of travel lanes where operational strategies— such as pricing (e.g., tolls, value pricing), vehicle eligibility (e.g., vehicle occupancy, vehicle type), access control (e.g., limited entry/exit points, use of shoulders), traffic control (e.g., variable speed limits, reversible lanes), or a combination of these—are proactively imple- mented. Managed lanes employ operating strategies for the proactive management of both the facility and travel demand in a continuing effort to improve or maintain system per- formance. Given the expanding development of managed lanes, there is a growing need for a better understanding of the unique planning, design, operations, and maintenance pro- cedures and how these various procedures interact. Managed lanes have unique aspects related to financing, project delivery, public outreach, enforcement, and system integra- tion that should be considered in each step of the development process. In response to this need, the Texas A&M Transportation Institute, under the direction of Dr. Kay Fitzpatrick, with assistance from WSP | Parsons Brinckerhoff, Chuck Fuhs, and Herb Levinson, transpor- tation consultants, prepared this guide to support decision-making strategies by practitioners at all levels of experience. This study was divided into two phases. In Phase I, the research team compiled existing information from published literature and existing manuals and policy documents, empha- sizing sources published in the last 10 years. Using information obtained in this review, the By Lawrence D. Goldstein Staff Officer Transportation Research Board

research team conducted a series of focused studies in Phase II to fill identified knowledge gaps with respect to trade-offs of geometric design elements, access design, and other fac- tors that affect speed and traffic flow on managed lanes. The activities and findings of the research team, along with a discussion of additional research needs and suggested changes to existing reference documents, are documented within this research report, with additional support material included in the contractor’s final report and its appendices. The contrac- tor’s final report, NCHRP Web-Only Document 224: Research Supporting the Development of Guidelines for Implementing Managed Lanes, accessible from TRB.org, includes detailed background material, gap analysis, design elements, safety performance parameters, and additional related information that emerged through the case studies.

C O N T E N T S 1  Summary 3 Chapter 1 Introduction to Managed Lanes 3 Overview 3 Subject Context 3 Definitions of Managed Lanes 6 Managed Lanes Within the Broader Context of Transportation Demand and Congestion Management 7 Attributes Critical to the Success of Managed Lanes 7 Legacy of Managed Lanes 8 The Federal Role 8 Growth of Managed Lane Projects 9 Framing the Concept: Goals and Objectives 10 Purpose 10 Objectives 10 Iterative Process 11 Managed Lane Designs 11 Concurrent Flow Lane 12 Separate Roadway 12 Reversible Lane 13 Contraflow Lane 14 Queue Bypass 14 Part-Time Shoulder Use 14 Managed Lane Strategies 15 Vehicle Eligibility 16 Access Control 16 Electronic Tolling and Variable Pricing 17 Traffic Management Technology 18 Combining Strategies—Looking Forward 18 Decision-Making Process 18 Traditional Process for New Projects 19 Decision Making for Operational Changes 19 Safety Performance 19 Crashes Within the Facility 20 Crashes at Access Points 21 Driver Expectancy 21 Audience and Organization of Guidance 21 Audience 21 Topics Included/Organization 22 Topics Not Included

23 Chapter 2 Planning Considerations 23 Overview 23 Planning and Programming 23 Identifying Goals and Objectives 24 Potential Customers 24 Regional Planning 25 Corridor-Level Planning 25 Conceptual Planning 27 Financing and Funding Considerations 30 Environmental Review (NEPA) Leading to Project Development 31 Incorporating Equity 32 Project Delivery 33 Policy and Legislative Considerations 33 Federal Policies 33 State, Regional, and Local Policies 34 Public Involvement and Support 34 Common Messages and Public Education 34 Project Champion 35 Engaging Policy Makers and Stakeholders 35 Engaging the Media and General Public 36 Chapter 3 Design Elements 36 Overview 36 User Groups 36 Design Vehicle/Eligibility 37 Transit Considerations 39 Truck Considerations (Including Freight/Truck-Only Facilities) 40 Geometric Design Considerations 40 Design and Operational Consistency 42 Design Speed 42 Cross Section and Alignment 47 Managed Lane Orientation with Respect to General-Purpose Lanes 48 Separation Between Managed Lane and General-Purpose Lanes 50 Reversible Lanes 51 Contraflow Lanes 52 Pullouts—Enforcement 54 Pullouts—Refuge 54 Issues Unique to HOV Lane Conversion into HOT Lane 58 Access Considerations 58 Consideration of Limited Access Versus Continuous Access 60 Continuous-Access Considerations 60 Frequency of Restricted-Access Points 62 Treatment for Beginning a Managed Lane 63 Intermediate-Access Treatments—Weave Zones and Weave Lanes 64 Intermediate-Access Treatments—Auxiliary Lanes 65 Intermediate-Access Treatments—Direct Access 66 Intermediate-Access Treatments—High-Volume Direct Access 66 Treatment for Ending a Managed Lane 68 Operational Impacts on Design 68 Capacity 69 Tolling Systems

71 Enforcement Systems 73 Incident Management 74 Drainage and Hydraulic Needs 75 Chapter 4 Traffic Control Devices 75 Overview 75 Defining Traffic Control Devices 75 Terms for Toll Collection Methods 76 Terms for Channelizing Devices 76 Relevant MUTCD Sections 77 General Sign Design Considerations 79 Guide and Regulatory Signs 80 Regulatory Signs for Priced Managed Lanes 80 Guide Signs for Priced Managed Lanes 80 Driver Information Overload and Driver Expectancy Violations 84 Special Considerations for Surface Street Access Points 84 Changeable Message Signs 85 Back-up and Fail-Safe Modes for Changeable Message Signs 85 Variable Pricing and Occupancy Changeable Message Signs 85 Traveler Information 86 Lane-Use Control Signals 86 Display 86 Location 86 Reversible and Contraflow Lane Traffic Control Devices 86 Reversible Lanes 88 Contraflow Lanes 88 Pavement Markings 89 Word and Symbol Markings 89 Separation from Main Lanes 90 Access Points 90 ETC Areas on a Managed Lane 91 Managed Lane Bypasses at a Toll Plaza 92 Other Methods of Disseminating Information 92 Installation and Maintenance Considerations 93 Trade-offs in Constrained Design Settings 93 Additional Considerations 95 Chapter 5 Implementation and Deployment 95 Design Review 95 Importance of Design Review 95 Configuration Management for Design Review 96 Scheduling, Installation, Testing, and System Acceptance 96 Scheduling 97 Installation 97 Testing 98 System Acceptance 98 Toll Collection System Development, Deployment, and Phasing Considerations 99 Development 99 Deployment 100 Phasing

100 Upgrades and Expansions 100 Project Delivery 101 Importance of Project Delivery 101 Project Delivery Options 102 Pros/Cons of Delivery Options 102 Facility Marketing 103 Importance of Marketing 103 Marketing Guidance in the Sales Phase 105 Chapter 6 Operations and Maintenance 105 General Operations Issues 105 Concept of Operations 108 Considerations for Toll Operations 113 HOV Eligibility Considerations 114 Ongoing Operations 114 Toll Collection System Operations 114 Customer Service 115 Startup/Opening Guidelines 115 Facility Marketing 115 Eligibility Validation 117 Traffic Monitoring and Control 117 Access Control 118 Business Rules for Managed Lanes 118 Business Rule Development 119 Procurement/Contracting 119 Managed Lane System Operations 119 Enforcement Systems 120 Incident Management 122 Performance Monitoring and Evaluation 124 Maintenance of Managed Lanes 124 Managed Lane Maintenance 125 Maintenance Program Management 126 Acronyms 128 Glossary 150 References Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.