Guidelines for Transportation Management Systems Maintenance Concept and
Plans

![](media/image2.wmf){width="2.3618055555555557in"
height="0.6423611111111112in"}*Submitted to:*

**Federal Highway Administration**

Contract \# DTFH61-C-00048

Technical Support for ITS Initiatives

Work Order PB-F0010

*Submitted by:*

**PB Farradyne**

3200 Tower Oaks Boulevard

Rockville, MD 20852

**December 2002**

> **Notice**
>
> This document is disseminated under the sponsorship
>
> of the Department of Transportation in the interest of
>
> information exchange. The United States Government
>
> assumes no liability for its contents or use thereof.
>
> The United States Government does not endorse products
>
> or manufacturers. Trade and manufacturers' names appear
>
> in this report only because they are considered essential
>
> to the object of the document.

+--------------------+---+----------+---------+---+---------+----------+
| 1\. Report No.     | 2 |          |         | 3 |         |          |
|                    | \ |          |         | \ |         |          |
| FHWA-OP-04-011     | . |          |         | . |         |          |
|                    | G |          |         | R |         |          |
|                    | o |          |         | e |         |          |
|                    | v |          |         | c |         |          |
|                    | e |          |         | i |         |          |
|                    | r |          |         | p |         |          |
|                    | n |          |         | i |         |          |
|                    | m |          |         | e |         |          |
|                    | e |          |         | n |         |          |
|                    | n |          |         | t |         |          |
|                    | t |          |         | \ |         |          |
|                    | A |          |         | ' |         |          |
|                    | c |          |         | s |         |          |
|                    | c |          |         | C |         |          |
|                    | e |          |         | a |         |          |
|                    | s |          |         | t |         |          |
|                    | s |          |         | a |         |          |
|                    | i |          |         | l |         |          |
|                    | o |          |         | o |         |          |
|                    | n |          |         | g |         |          |
|                    | N |          |         | N |         |          |
|                    | o |          |         | o |         |          |
|                    | . |          |         | . |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 4\. Title and      |   |          |         | 5 |         |          |
| Subtitle           |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
| Guidelines for     |   |          |         | R |         |          |
| Transportation     |   |          |         | e |         |          |
| Management Systems |   |          |         | p |         |          |
| Maintenance        |   |          |         | o |         |          |
| Concept and Plans  |   |          |         | r |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | D |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | 2 |         |          |
|                    |   |          |         | / |         |          |
|                    |   |          |         | 3 |         |          |
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | / |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 2 |         |          |
+--------------------+---+----------+---------+---+---------+----------+
|                    |   |          |         | 6 |         |          |
|                    |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         | P |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | f |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | m |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | O |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | z |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | C |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | P |         |          |
|                    |   |          |         | B |         |          |
|                    |   |          |         | F |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         | y |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | e |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 7\. Author(s)      |   |          |         | 8 |         |          |
|                    |   |          |         | \ |         |          |
| Mr. Cary Vick,     |   |          |         | . |         |          |
| P.E.               |   |          |         | P |         |          |
|                    |   |          |         | e |         |          |
| Mr. Roy Sumner     |   |          |         | r |         |          |
|                    |   |          |         | f |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | m |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | O |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | z |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | R |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | p |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | N |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | N |         |          |
|                    |   |          |         | A |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 9\. Performing     |   |          |         | 1 |         |          |
| Organization Name  |   |          |         | 0 |         |          |
| and Address        |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
| PB Farradyne       |   |          |         | W |         |          |
|                    |   |          |         | o |         |          |
| 3200 Tower Oaks    |   |          |         | r |         |          |
| Blvd.              |   |          |         | k |         |          |
|                    |   |          |         | U |         |          |
| Rockville, MD      |   |          |         | n |         |          |
| 20852              |   |          |         | i |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | N |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         | ( |         |          |
|                    |   |          |         | T |         |          |
|                    |   |          |         | R |         |          |
|                    |   |          |         | A |         |          |
|                    |   |          |         | I |         |          |
|                    |   |          |         | S |         |          |
|                    |   |          |         | ) |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | P |         |          |
|                    |   |          |         | B |         |          |
|                    |   |          |         | - |         |          |
|                    |   |          |         | F |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | 0 |         |          |
+--------------------+---+----------+---------+---+---------+----------+
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         | C |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | c |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | G |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | N |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | D |         |          |
|                    |   |          |         | T |         |          |
|                    |   |          |         | F |         |          |
|                    |   |          |         | H |         |          |
|                    |   |          |         | 6 |         |          |
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | - |         |          |
|                    |   |          |         | C |         |          |
|                    |   |          |         | - |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 0 |         |          |
|                    |   |          |         | 4 |         |          |
|                    |   |          |         | 8 |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 12\. Sponsoring    |   |          |         | 1 |         |          |
| Agency Name and    |   |          |         | 3 |         |          |
| Address            |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
| Federal Highway    |   |          |         | T |         |          |
| Administration     |   |          |         | y |         |          |
|                    |   |          |         | p |         |          |
| 400 Seventh        |   |          |         | e |         |          |
| Street, S.W.       |   |          |         | o |         |          |
|                    |   |          |         | f |         |          |
| Washington, D.C.   |   |          |         | R |         |          |
| 20590              |   |          |         | e |         |          |
|                    |   |          |         | p |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | t |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         | P |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         | C |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | v |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | T |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | c |         |          |
|                    |   |          |         | h |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | c |         |          |
|                    |   |          |         | a |         |          |
|                    |   |          |         | l |         |          |
|                    |   |          |         | R |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | p |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | t |         |          |
+--------------------+---+----------+---------+---+---------+----------+
|                    |   |          |         | 1 |         |          |
|                    |   |          |         | 4 |         |          |
|                    |   |          |         | \ |         |          |
|                    |   |          |         | . |         |          |
|                    |   |          |         | S |         |          |
|                    |   |          |         | p |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | s |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | r |         |          |
|                    |   |          |         | i |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | A |         |          |
|                    |   |          |         | g |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         | n |         |          |
|                    |   |          |         | c |         |          |
|                    |   |          |         | y |         |          |
|                    |   |          |         | C |         |          |
|                    |   |          |         | o |         |          |
|                    |   |          |         | d |         |          |
|                    |   |          |         | e |         |          |
|                    |   |          |         |   |         |          |
|                    |   |          |         | F |         |          |
|                    |   |          |         | H |         |          |
|                    |   |          |         | W |         |          |
|                    |   |          |         | A |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 15\. Supplementary |   |          |         |   |         |          |
| Notes              |   |          |         |   |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 16\. Abstract      |   |          |         |   |         |          |
|                    |   |          |         |   |         |          |
| This report        |   |          |         |   |         |          |
| summarizes traffic |   |          |         |   |         |          |
| management systems |   |          |         |   |         |          |
| maintenance        |   |          |         |   |         |          |
| practices utilized |   |          |         |   |         |          |
| by state and local |   |          |         |   |         |          |
| transportation     |   |          |         |   |         |          |
| Agencies,          |   |          |         |   |         |          |
| identifies lessons |   |          |         |   |         |          |
| learned from those |   |          |         |   |         |          |
| practices, and     |   |          |         |   |         |          |
| offers             |   |          |         |   |         |          |
| professional       |   |          |         |   |         |          |
| analysis and       |   |          |         |   |         |          |
| recommendations    |   |          |         |   |         |          |
| for development of |   |          |         |   |         |          |
| a comprehensive    |   |          |         |   |         |          |
| traffic management |   |          |         |   |         |          |
| system maintenance |   |          |         |   |         |          |
| program.           |   |          |         |   |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 17\. Key Word      |   |          | 18\.    |   |         |          |
|                    |   |          | Distr   |   |         |          |
| Transportation     |   |          | ibution |   |         |          |
| Systems            |   |          | St      |   |         |          |
| Maintenance, TMS,  |   |          | atement |   |         |          |
| Systems            |   |          |         |   |         |          |
| Maintenance,       |   |          | This    |   |         |          |
| Maintenance, ITS   |   |          | d       |   |         |          |
| Maintenance        |   |          | ocument |   |         |          |
|                    |   |          | may be  |   |         |          |
|                    |   |          | dist    |   |         |          |
|                    |   |          | ributed |   |         |          |
|                    |   |          | without |   |         |          |
|                    |   |          | restr   |   |         |          |
|                    |   |          | iction. |   |         |          |
+--------------------+---+----------+---------+---+---------+----------+
| 19\. Security      |   | 20\.     |         |   | 21\.    | 22\.     |
| Classif. (of this  |   | Security |         |   | No. of  | Price    |
| report)            |   | Classif. |         |   | Pages   |          |
|                    |   | (of this |         |   |         |          |
| > None             |   | page)    |         |   | > 111   |          |
|                    |   |          |         |   |         |          |
|                    |   | > None   |         |   |         |          |
+--------------------+---+----------+---------+---+---------+----------+

Table of Contents

Table of Contents iv

List of Tables vii

List of Figures ix

[1. Introduction 1-1](#introduction)

[1.1. Scope of System Maintenance 1-1](#scope-of-system-maintenance)

[1.2. Purpose 1-1](#purpose)

[1.3. Why This Document IS Needed 1-3](#why-this-document-is-needed)

[1.4. Intended Audience of this Document
1-3](#intended-audience-of-this-document)

[1.5. Definitions and Concepts 1-3](#definitions-and-concepts)

[1.6. How to Use this Document 1-5](#how-to-use-this-document)

[1.7. Document Organization 1-5](#document-organization)

[2. Maintenance Considerations and Activities
2-1](#maintenance-considerations-and-activities)

[2.1. Introduction 2-1](#introduction-1)

[2.2. What is Maintenance? 2-3](#what-is-maintenance)

[2.3. Maintenance Policies 2-4](#maintenance-policies)

[2.4. Procuring Maintenance Services and Products
2-5](#procuring-maintenance-services-and-products)

[2.5. Maintenance Management System and Software
2-10](#maintenance-management-system-and-software)

[2.6. Support Services, Resources, and Tools
2-11](#support-services-resources-and-tools)

[3. TMS Maintenance Concept & Requirements
3-1](#tms-maintenance-concept-requirements)

[3.1. Introduction 3-1](#introduction-2)

[3.2. What is a Maintenance Concept?
3-2](#what-is-a-maintenance-concept)

[3.3. Configuration Management, Traceability, and the Maintenance
Concept
3-6](#configuration-management-traceability-and-the-maintenance-concept)

[3.4. Sample Applications of a Maintenance Concept
3-8](#sample-applications-of-a-maintenance-concept)

[3.5. Planning a Maintenance Program
3-9](#planning-a-maintenance-program)

[3.6. Risk Management and Probability of Multiple Failures
3-12](#risk-management-and-probability-of-multiple-failures)

[3.7. Sample Costs 3-12](#sample-costs)

[3.8. Traffic Operations and Maintenance Programs
3-13](#traffic-operations-and-maintenance-programs)

[3.9. Maintenance Measures of Performance
3-15](#maintenance-measures-of-performance)

[3.10. Design Life and MTBF 3-15](#design-life-and-mtbf)

[3.11. Timely Responses 3-16](#timely-responses)

[3.12. Pre-Bid Meetings 3-16](#pre-bid-meetings)

[3.13. Partnerships 3-17](#partnerships)

[3.14. Procedures for Control Centers
3-18](#procedures-for-control-centers)

[4. Maintenance Considerations for the Life-Cycle of a TMS
4-1](#maintenance-considerations-for-the-life-cycle-of-a-tms)

[4.1. Introduction 4-1](#introduction-3)

[4.2. Key Phases in the Life-Cycle of a Transportation Management System
4-2](#key-phases-in-the-life-cycle-of-a-transportation-management-system)

[4.3. Considerations for Maintenance throughout the TMS Life-Cycle
4-8](#considerations-for-maintenance-throughout-the-tms-life-cycle)

[4.4. Staffing and Training Considerations
4-9](#staffing-and-training-considerations)

[5. TMS Maintenance Program 5-1](#tms-maintenance-program)

[5.1. Introduction 5-1](#introduction-4)

[5.2. Introduction to Maintenance 5-1](#introduction-to-maintenance)

[5.3. Development of a Maintenance Program
5-3](#development-of-a-maintenance-program)

[5.4. Defining Mission and Objectives
5-5](#defining-mission-and-objectives)

[5.5. Budgeting 5-5](#budgeting)

[5.6. Implementation Options 5-7](#implementation-options)

[5.7. Maintenance Procedures 5-8](#maintenance-procedures)

[5.8. Performance Measures 5-9](#performance-measures)

[5.9. Inventory, Databases and Asset Management
5-10](#inventory-databases-and-asset-management)

[5.10. Managing a Maintenance Plan 5-11](#managing-a-maintenance-plan)

[5.11. Policies, Contracts, and Procedures
5-14](#__RefHeading___Toc30907874)

[5.12. Coordination with Operations 5-16](#coordination-with-operations)

[6. TMC Maintenance Program: Multi-Year Plan
6-1](#tmc-maintenance-program-multi-year-plan)

[6.1. Introduction 6-1](#introduction-5)

[6.2. The Cycle of Procurement 6-1](#the-cycle-of-procurement)

[6.3. Lifetimes and Salvage Values 6-2](#lifetimes-and-salvage-values)

[6.4. Performance Metrics and Monitoring
6-3](#performance-metrics-and-monitoring)

[6.5. System Overlaps and Multi-Year Phasing
6-4](#system-overlaps-and-multi-year-phasing)

[7. Maintenance Program Support Services
7-1](#maintenance-program-support-services)

[7.1. Introduction 7-1](#introduction-6)

[7.2. Options for Contracting 7-1](#options-for-contracting)

[7.3. Asset Management Tools 7-4](#asset-management-tools)

[7.4. Contracting Types 7-5](#contracting-types)

[7.5. Vendor Warranties and Service Agreements
7-7](#vendor-warranties-and-service-agreements)

[7.6. Warranties and Service Agreements
7-8](#warranties-and-service-agreements)

[7.7. Generic Contract Format 7-8](#generic-contract-format)

[7.8. Acceptance Testing 7-9](#acceptance-testing)

[7.9. Supplies, Tools, and Spares 7-11](#supplies-tools-and-spares)

[8. Glossary 8-1](#glossary)

[9. References 9-1](#references)

[APPENDICES A-1](#__RefHeading___Toc30907900)

[APPENDIX A: Example Trouble Reports
A-1](#appendix-a-example-trouble-reports)

[APPENDIX B: MAINTENANCE PROCEDURES FOR ITS DEVICES
B-1](#appendix-b-maintenance-procedures-for-its-devices)

[Closed-Circuit Television Camera Preventive Maintenance
B-1](#closed-circuit-television-camera-preventive-maintenance)

[Camera Preventive Maintenance at Pole Level --- Every Six Months
B-1](#camera-preventive-maintenance-at-pole-level-every-six-months)

[Camera Preventive Maintenance at Cabinet Level --- Every Three Months
B-1](#camera-preventive-maintenance-at-cabinet-level-every-three-months)

[Camera Preventive Maintenance at Control Center --- Weekly
B-2](#camera-preventive-maintenance-at-control-center-weekly)

[Gates/Barriers System Preventive Maintenance
B-2](#gatesbarriers-system-preventive-maintenance)

[Preventive Maintenance at the Gate Cabinet -- Every Three Months
B-2](#preventive-maintenance-at-the-gate-cabinet-every-three-months)

[Preventive Maintenance at the Gate Control Cabinet --- Every Three
Months
B-2](#preventive-maintenance-at-the-gate-control-cabinet-every-three-months)

[Lane Control Signal Preventive Maintenance
B-2](#lane-control-signal-preventive-maintenance)

[Lane Control Signal from Control Room --- Weekly
B-2](#lane-control-signal-from-control-room-weekly)

[Lane Control Signal Local Field Control (from field) --- Weekly
B-3](#lane-control-signal-local-field-control-from-field-weekly)

[Lane Control Signs Preventive Maintenance --- Every Three Months
B-3](#lane-control-signs-preventive-maintenance-every-three-months)

[Dynamic Message Signs (DMS) Preventive Maintenance --- Annually at the
Sign; Every Three Months at the Cabinet
B-3](#dynamic-message-signs-dms-preventive-maintenance-annually-at-the-sign-every-three-months-at-the-cabinet)

[Back up Battery Assemblies --- Annually
B-3](#back-up-battery-assemblies-annually)

[Air Conditioning Unit Preventive Maintenance --- Every Three Months
B-3](#air-conditioning-unit-preventive-maintenance-every-three-months)

[Spread Spectrum Preventive Maintenance --- Annually
B-3](#spread-spectrum-preventive-maintenance-annually)

[Ramp Meter Preventive Maintenance --- Monthly
B-3](#ramp-meter-preventive-maintenance-monthly)

[Loops and Piezo Detectors Preventive Maintenance
B-4](#loops-and-piezo-detectors-preventive-maintenance)

[Loop Preventive Maintenance --- Annually
B-4](#loop-preventive-maintenance-annually)

[At the Cabinet Level B-4](#at-the-cabinet-level)

[Piezoelectric Detector Preventive Maintenance --- Every Three Months
B-4](#piezoelectric-detector-preventive-maintenance-every-three-months)

[APPENDIX C: GENERIC CONTRACT FORMAT
C-1](#appendix-c-generic-contract-format)

[CONTRACT SCOPE C-1](#contract-scope)

[Contract Objectives C-1](#contract-objectives)

[Definitions C-1](#definitions)

[General Requirements C-1](#general-requirements)

[Form of Contract C-2](#form-of-contract)

[Monthly Status Meetings C-2](#monthly-status-meetings)

[Equipment to Be Maintained C-3](#equipment-to-be-maintained)

[Maintenance Procedures C-3](#maintenance-procedures-1)

[Record-Keeping Procedures C-4](#record-keeping-procedures)

[Equipment Control C-4](#equipment-control)

[Bar Code System C-5](#bar-code-system)

[STAFFING/MANAGEMENT PLAN C-5](#staffingmanagement-plan)

[Staffing Qualifications C-6](#staffing-qualifications-1)

[Safety Plan C-6](#safety-plan)

[Utilities C-6](#utilities)

[Contractor's Responsibility for Utility, Property and Services
C-6](#contractors-responsibility-for-utility-property-and-services)

[Performance of the Contractor C-7](#performance-of-the-contractor)

[Geographic Scope C-2](#geographic-scope)

[Initial Equipment Inventory to be Maintained
C-2](#initial-equipment-inventory-to-be-maintained)

[Preventive Maintenance Procedures
C-2](#preventive-maintenance-procedures)

[Equipment Minimum Response Time (Hours)
C-8](#equipment-minimum-response-time-hours)

[APPENDIX D: EXTENDED WARRANTY BETWEEN ACME INTEGRATORS AND AGENCY
D-1](#appendix-d-extended-warranty-between-acme-integrators-and-agency)

[EQUIPMENT WARRANTY, SOFTWARE REGISTRATION, AND SERVICE MAINTENANCE
CONTRACT
D-3](#equipment-warranty-software-registration-and-service-maintenance-contract)

[Equipment Warranty D-3](#equipment-warranty)

[Commercial Software Registration
D-3](#commercial-software-registration)

[Traffic Control System Software Registration
D-3](#traffic-control-system-software-registration)

[Service Maintenance Contract D-3](#service-maintenance-contract)

List of Tables

[*Table 1‑1 Job Title and Suggested Chapters*
1-5](#__RefHeading___Toc30907983)

[*Table 2-1 Contracting Procurement Issues*
2-7](#__RefHeading___Toc30907984)

[*Table 2-2 Contracting Options* 2-7](#__RefHeading___Toc30907984)

[*Table 2-3 Example of Inventory* 2-7](#__RefHeading___Toc30907984)

[*Table 3‑1 Steps in the System Engineering Process and Their
Implications for TMS Maintenance* 3-3](#__RefHeading___Toc30907985)

[*Table 3‑3 Sample Staffing Estimate Spreadsheet*
3-10](#__RefHeading___Toc30907987)

[*Table 3‑4 Sample Annual Maintenance Costs*
3-13](#__RefHeading___Toc30907988)

[*Table 4‑1 Sample Life Expectancy of TMS Components*
4-5](#__RefHeading___Toc30907989)

[*Table 4‑2 Crosscutting Activities that Support Life-Cycle Maintenance
Requirements Analysis* 4-7](#__RefHeading___Toc30907990)

[*Table 5‑1 ITS User Services for Maintenance & Construction*
5-11](#__RefHeading___Toc30907991)

[*Table 5‑2 Market Packages and Equipment Packages for Maintenance &
ConstructionITS User Services for Maintenance & Construction*
5-11](#__RefHeading___Toc30907991)

[*Table 7‑1 Example of Procurement Types*
7-3](#__RefHeading___Toc30907992)

List of Figures

Figure 1-1 MD CHART Traffic Management Center 1-1

Figure 1-2 INFORM Operator I-495 Long Island 1-2

Figure 2-1 VMS near Disney, Orlando Florida 2-1

Figure 2-2 Interstate-70 Glenwood Canyon, Colorado 2-3

Figure 3-1 INFORM Maintenance Crew at Work, NY 3-1

Figure 3-2 Systems Engineering Life Cycle Process 3-2

Figure 3‑3 Incorporation of the Maintenance Concept into the Systems
Engineering Process 3-4

Figure 3-4 Three-Year Report of Equipment Availability 3-6

Figure 3-5 Importance of Traceability and Configuration Management to
the

Maintenance Concept 3-7

Figure 3-6 Lightning Causes EMP Damage Remotely 3-10

Figure 3-7 Risk Assessment Matrix 3-10

Figure 3-8 Flooding Damages ITS as well as Structures 3-10

Figure 3-9 Annual Maintenance Costs by Device Type 3-12

Figure 4-1 The System Engineering Life-Cycle Applied to an Evolutionary

System Deployment Model 4-1

Figure 4-2 Overlapping Activities 4-2

Figure 4-3 PM versus Annualized Maintenance Costs 4-7

Figure 5-1 Relationships Among Maintenance Program Components 5-3

Figure 5-2 Responsive Maintenance Process 5-8

Figure 5-3 Training Underway 5-14

Figure 6-1 Telecommunication Rack - lights indicate status 6-2

Figure 6-2 Multi-year Development Phasing 6-4

Figure 7-1 H3 Hawaii Inspection of Elevated Section 7-2

Figure 7-2 Generic Asset Management System Components 7-5

Figure 7-3 Telecommunications Tower 7-9

Figure 7-4 Multiple Potential Points of Failure 7-10

Figure 7-5 Fiber-Optic Testing, Norfolk, Virginia 7-11

#  Introduction

## Scope of System Maintenance 

Transportation Management Systems (TMS) are complex, integrated
amalgamations of hardware, technologies, and processes for performing an
array of functions, including data acquisition, command and control,
computing, and communications. Disruptions or failures in the
performance of these functions can impact traffic safety, reduce system
capacity, and ultimately lead the traveling public to lose faith in the
transportation network. System failures also have the potential to cause
measurable economic loss and increase congestion, fuel consumption,
pollutants, and traffic crashes. The problem is further complicated by
the fact that today's systems, subsystems, and components often are
highly interdependent, meaning that a single malfunction can critically
impact the ability of the overall systems to perform their intended
functions.

System maintenance refers to a series of methodical, ongoing activities
designed to minimize the occurrence of systemic failures and to mitigate
their impacts when failures do occur. These activities include replacing
worn components, installing updated hardware and software, tuning the
systems, and anticipating and correcting potential problems and
deficiencies. Maintenance includes the development and implementation of
action plans for responding quickly, efficiently, and orderly to
systemic failures. It also includes an infrastructure and procedures for
measuring and monitoring maintenance activities.

![](media/image3.jpeg){width="4.538888888888889in"
height="2.865972222222222in"}

Maintenance plans should be tailored to the technologies comprising the
TMS and to the level of maintenance support the Agency is capable of
providing. Indeed, it is important the level of maintenance that an
Agency can support be integrated from the outset into the planning
process and design of the system.

## Purpose

This document offers technical guidance to practitioners on (1) defining
a system's maintenance concept, (2) determining the elements to include
in the concept, and (3) integrating the maintenance concept into all
phases of the system life-cycle.

Currently available documents on TMS maintenance tend to focus on
day-to-day issues or on specific maintenance tasks. These documents have
not provided detailed information that could guide practitioners on how
to systematically integrate maintenance into their program planning,
resource allocation, policies, system planning and design, and other
related activities that occur throughout the TMS life-cycle. This
document provides this guidance and identifies:

-   ![](media/image4.jpeg){width="3.0in"
    height="4.595833333333333in"}How to identify, justify, and document
    the potential components of a maintenance program. Such a program
    can provide the necessary resources, environment, policies,
    procedures, and support services needed to maintain a TMS.

-   A multi-year maintenance program plan, including the (a) potential
    components, (b) processes, (c) stakeholders to be involved, and (d)
    resources required to support the program.

```{=html}
<!-- -->
```
-   The idea of a "maintenance concept," the appropriate elements
    comprising a mainte-nance concept, how the maintenance concept can
    be used to develop system and functional requirements, and how the
    maintenance concept can be used to develop an operations concept for
    TMS.

-   Policies, procedures, system and functional requirements, equipment,
    resources, and services, and other potential activities needed to
    maintain and support the TMS.

Examples of the sorts of concrete practitioner queries answered by this
document include the following:

-   How can I justify a maintenance program for my TMS?

```{=html}
<!-- -->
```
-   What types of resources (manpower, hardware, software, etc.) are
    needed to maintain the high technology involved in a TMS?

-   What are the criteria and trade-offs for choosing whether to
    outsource TMS maintenance or perform the function in-house using
    Agency resources?

-   What issues should I consider in programming maintenance resources
    over the multi-year life-cycle of my TMS?

-   What tools or techniques are available to calculate the estimated
    cost of maintenance for my TMS?

This document is to be used as a technical reference manual --- a
resource document that provides an overview of the institutional and
technical issues associated with the maintenance of a TMS. It will
provide the user with a better understanding of the considerations
required to develop a multi-year maintenance program for TMS. For many
of the technical issues, excellent reference materials exist that
provide detailed information, in more of a "how-to" format. These
materials are referenced throughout the document.

This document summarizes, at a high level, the problems, challenges, and
barriers that Agencies are facing. These barriers include lack of
commitment, shortage of resources, and dearth of knowledge regarding
tools and techniques for securing and allocating scarce maintenance
resources throughout the TMS life-cycle.

## Why This Document IS Needed

The practice and procedures related to capital expenditures for TMS
construction and implementation have been standardized around the
Federal rules and regulations regarding transportation funding. This is
because of the very large role that Federal funding takes in capital
spending for transportation. Until recently, however, Federal funding
for operations and maintenance has been a relatively small proportion of
the total expenditures. One consequence of this low-level Federal
involvement in operations and maintenance (O&M) has been a lack of
standardized approaches to performing and funding O&M activities. A 1997
National Cooperative Highway Research Program (NCHRP) study that
addressed O&M issues received organizational charts from 42 Agencies
outlining each Agency structure. No two organizations were alike.

Widely cited research in this area includes the following:

-   *Traffic Signal Control Systems Maintenance Management Practices*,
    NCHRP Synthesis of Highway Practice 245, 1997.

-   *Transportation Management Center Functions*, NCHRP Project 20-5,
    January 1999.

-   *A Recommended Practice for Operations & Management of Intelligent
    Transportation Systems*, ITE, March 1999.

-   *Traffic Signal Installation and Maintenance Manual*, ITE, February
    1999.

-   *Guidelines for Funding Operations and Maintenance of Intelligent
    Transportation Systems/ Advanced Traffic Management Systems*,
    Transportation Research Record 1588, Paper No. 971390.

-   *Institute of Transportation Engineers Handbook, Traffic Control
    System Operations --- Installation*, *Management and Maintenance*,
    2000.

This report builds on the research and recommendations developed in the
referenced materials. Detailed examples are provided, as appropriate, as
well as specific references to supporting documentation from the
literature research.

## Intended Audience of this Document

This document is targeted at Federal, State, and local practitioners
involved in the implementation, operation, or maintenance of a TMS. The
intended audience includes public and private stakeholders with direct
or indirect TMS involvement. The managers, supervisors, engineers,
planners, technicians, etc. involved in the development and operation of
a TMS will find guidance and recommendations in this document for
maintaining the system.

This document is also intended to provide information to those
practitioners developing a maintenance plan. It builds on the
experiences of maintenance organizations that have had to keep equipment
operating without benefit of standard guidelines document or operating
procedures.

## Definitions and Concepts

In this document, use of the term "Transportation Management System
(TMS)" refers to an integrated system that includes the Transportation
Management Center (TMC), the computer and other automated components,
field devices and other peripherals, and the communications
infrastructure. The term "TMC" will be used only when discussing the
center and/or its contents.

Other terms will be standardized, primarily as an attempt to bring
consistency to the practice of TMS maintenance, but, secondarily, to
simplify the reading of this document. Take, for example, the term
"maintenance model." This term means something completely different to
at least two States and, in both cases, has crosscutting implications
for development of a maintenance program.

In Arizona, a 1998 report ([Ref. 1](#Ref1)) documented the Arizona DOT's
enhancement of its Performance Controlled System (PECOS), a highway
maintenance management system, into a tool that could also model the
costs associated with the State's intelligent transportation
infrastructure (ITI). In this case, the "maintenance model" referred to
a model of the costs associated with maintaining and repairing ITI (also
known as TMS) elements.

In contrast, in Oregon, the Western Transportation Institute prepared a
very detailed ITS Maintenance Plan in 1999 ([Ref. 2](#ref2)). In this
report, one of the key issues identified for the Oregon DOT was the need
to standardize its "maintenance model" for dealing with ITS elements. In
this case, the "model" referred to the sequence of events and procedures
for dealing with maintenance (i.e., how system or device failures were
reported, who responded, priorities, etc.).

Both of the "maintenance models" described in this example are important
parts of developing a maintenance program. Each model, however,
describes a different concept. It is, therefore, the practice of this
report to discuss technical issues as generically as possible and to
minimize the use of terms or jargon that might be misunderstood.

Several key terms used in this report are defined below. Additional
terms are presented in the *Glossary*.

**TMC (Transportation Management Center):** The building or room where
monitoring, command, and control of automated systems, field devices,
and/or external information feeds is conducted.

**TMS (Transportation Management System):** The integrated system that
includes the TMC, the computer and other automated components, field
devices and other peripherals, and the communications infrastructure.

**Maintenance Plan:** A documented plan defining a detailed approach to
system maintenance. It describes application of the maintenance program
to a specific system or set of systems. It typically identifies the
maintenance activities, priorities, timetables, and resource commitments
and expenditures.

**Maintenance Program:** Identifies an organization's general approach
to system maintenance. It includes the organizational structure and
funding support needed to implement the program.

**Maintenance Activity:** The sequence of actions needed to conduct
preventive, periodic, or repair maintenance on a device or subsystem.
Typically refers to a specific component (e.g., camera) or subsystem
(e.g., computer network).

**Operational Concept:** Also known as "concept of operations" (or
ConOps), it defines the environment in which the TMS will operate. The
environment includes the relationship between the system and the
Agency's responsibilities, the physical environment, and expectations
(performance and life).

**Maintenance Concept:** Defines the level-of-effort necessary to
maintain system availability, reliability, and the functionality
necessary to fulfill the operational concept.

**Responsive Maintenance:** The repair or replacement of failed
equipment and its restoration to safe, normal operation. Typically
unscheduled, it is in response to an unexpected failure or damage.

**Preventive Maintenance:** Also called "routine" maintenance, it is the
activity performed at regularly scheduled intervals for the upkeep of
equipment. Includes checking, testing and inspecting, recordkeeping,
cleaning, and periodic replacement when called for in the preventive
maintenance schedule.

**Emergency Maintenance:** Emergency maintenance is similar to
responsive maintenance in that it is initiated by a fault or trouble
report. However, in this case, the fault is more serious and requires
immediate action. Events such as knockdowns, spills, exposed electrical
wires, road blockages, etc. are examples of event reports that may
require emergency maintenance. Of course, there can also be operational
emergencies --- e.g., stuck barriers on dedicated HOV lanes or failed
lane control signs ---that need to be dealt with quickly in order to
minimize hazardous circumstances.

## How to Use this Document 

This is a resource guide for practitioners in a range of job categories.
In most instances, practitioners will not need to read the entire
document, but can simply refer to those sections of the report
containing materials relevant to their assignments. Table 1-1 identifies
representative job titles or descriptions, followed by a list of the
chapters or sections associated with the job categories. Study the
pertinent chapters or sections. Then use the remainder of the document
as a resource guide, which can be consulted as needed.

[]{#__RefHeading___Toc30907983 .anchor}*Table 1‑1* Job Title and
Suggested Chapters

  ---------------------------------- ------------------------------------
  **Position or Job Title**          **Suggested Chapter(s) and/or
                                     Section(s) in this Document**

  Administrator, DOT Secretary       Chapters 2, 3, and 7

  Program Director, Program Manager  Chapters 2, 3, and 7

  Project Manager                    Chapters 2, 3, 4, and 5

  Transportation Engineer            Chapters 2, 3, 4, and 5

  Communication Engineer             Chapters 3. 4, 5, and Glossary

  Maintenance Supervisor/Foreman     Chapters 5, 6 7, and Glossary

  Shift Supervisor                   Chapters 5, 6, 7, and Glossary

  System Operator, Dispatcher        Chapters 5, 6, 7, and Glossary
  ---------------------------------- ------------------------------------

## Document Organization

The remaining chapters in this guide are listed below, along with the
major topics discussed in each chapter:

[2. Maintenance Considerations &
Activities](#_MAINTENANCE_CONSIDERATIONS_AND_ACTI)

An overview of what needs to be included in maintenance activities.
Several examples are provided along with references to additional detail
on key aspects of maintenance.

-   Key Definitions & Terminology

```{=html}
<!-- -->
```
-   Maintenance Types/Procedures/Practices

-   Maintenance Requirements

-   Maintenance Costs

-   Agency Organizational Structures for Maintenance

[3. Maintenance Concept &
Requirements](#_TMS_MAINTENANCE_CONCEPT_&_REQUIREME)

Introduction and description of the maintenance concept and how this can
be used to develop detailed maintenance requirements. These maintenance
requirements can and should be used as part of the design process, but
can also be used in other phases of the project life-cycle.

-   What is a Maintenance Concept?

```{=html}
<!-- -->
```
-   Linkage to Operational Concept

-   Linkage to System Functional Requirements

-   Inputs & Outputs of a Maintenance Concept

[4. Maintenance Considerations for the Life-Cycle of
TMC](#_MAINTENANCE_CONSIDERATIONS_FOR_THE_)

Expanding on the maintenance concept, how traceability from the
operational concept to system performance can be used to continually
evaluate maintenance needs.

-   Key Phases in a TMC Life-Cycle

```{=html}
<!-- -->
```
-   System Engineering Process

-   Crosscutting Activities throughout the Life-Cycle

-   Performance Metrics & Monitoring

[5. TMC Maintenance Program Guidelines](#section-7)

A listing and discussion of the activities and factors to be considered
in the development of a formal maintenance program.

-   Definition of a Maintenance Program

```{=html}
<!-- -->
```
-   Range of Activities to be Included (Minimum, Recommended, Optional)

-   Mission & Objective of Program

-   Strategies for Implementation

[6. TMC Maintenance Program Planning --- Multi-Year
Considerations](#_TMC_MAINTENANCE_PROGRAM:__MULTI-YEA)

Expanding on the basic guidelines for a maintenance program, there are
special considerations for long-term viability and effectiveness of a
TMS. This section addresses the life-cycle of a TMS, including system
expansion, evolution, and eventual replacement.

-   Program Planning Practices & Procedures

```{=html}
<!-- -->
```
-   Relationship between Maintenance Program and Operations Program

-   Strategies for Long-Term Funding & Support

[7. Maintenance Program Support --- Tools &
Techniques](#maintenance-program-support-services)

Maintenance management and analysis tools to help justify and optimize
the allocation of resources. Key performance indicators that can be used
to maintain program accountability.

-   Maintenance Management Systems

```{=html}
<!-- -->
```
-   Configuration Management/Traceability

-   Maintenance Contracts & Procurement Issues

-   Performance Monitoring/Evaluation

[8. Glossary](#glossary)

9\. [References](#references)

#  Maintenance Considerations and Activities

## Introduction

![](media/image5.jpeg){width="2.9916666666666667in"
height="2.048611111111111in"}This chapter provides an overview of the
issues and activities associated with the maintenance of traffic
management centers and the ITS devices they control. It introduces the
topic and examines various aspects of maintenance and how an Agency
might plan maintenance to ensure operational effectiveness as the TMS is
used in the future.

The dictionary definition of maintenance is: "the upkeep of property or
equipment." There are a range of TMS components that require upkeep.
These fall into three categories: control central, roadside, and
communications. From a maintenance viewpoint, these categories make
sense in that the work at the roadside requires differing equipment,
techniques, procedures, and skills that are typically required at
control central. Note that the communications system requires a
different set of skills, unique from the others.

The property or equipment in a TMS that needs some form of maintenance
includes, but is not limited to, the following:

Control Center

-   Power supply, generators, batteries, and related equipment

-   Video displays

-   Internal communication networks

-   Computer hardware

-   Computer software

```{=html}
<!-- -->
```
-   Control systems

-   Weather systems

-   Other COTS products

```{=html}
<!-- -->
```
-   Media connections

-   Web sites

Roadside

-   Closed Circuit Television (CCTV)

-   Dynamic Message Signs (DMS)

-   Lane Control Signal

-   Ramp Meter

-   Vehicle detectors

```{=html}
<!-- -->
```
-   Inductive Loops

-   Piezoelectric detectors

-   Radar Detectors

```{=html}
<!-- -->
```
-   Vehicle Classification System

-   Remote Control Gates

-   Blank Out Signs

Communications

-   Multimode Fiber-optic cable plant

-   Single mode Fiber-Optic cable Plant

-   Coaxial Cable Plant

-   Coaxial cable Plant

-   Twisted Pair

-   Nodes/Hubs

This chapter describes the various types of maintenance, their
requirements and the support activities that are needed. It describes
how a maintenance plan can be developed and how maintenance services can
be procured. It also discusses staffing estimates and describes the
maintenance procedures for both central and roadside devices.

The maintenance needs for ITS devices are very diverse. Because the
range of potential maintenance actions is so broad, a wide variety of
expertise and skills is required. A listing of preventive maintenance
actions by device type is included in [Appendix B](#AppB). These
detailed actions for each ITS device are typical examples. The various
devices from differing manufacturers may have other maintenance
requirements. The author of a maintenance plan should start with the
manufacturer's procedures to ensure that needs of the particular
equipment are satisfied and that any warranties are kept valid.

The maintenance concept is designed to articulate the essential
reliability and performance measures necessary to meet stated
operational concepts. Just as the concept of operations drives the
system functional requirements, the maintenance concept drives the
Maintenance Requirements. The use of concepts as part of the guidelines
development is contained in [Chapter
3](#_TMS_Maintenance_Concept_&_Requireme_1), TMS Maintenance Concept &
Requirements.

The development of a maintenance plan includes design and implementation
procedures it is also life-cycle process. It needs to recognize that
most systems are built incrementally and are expanded over time.
Expansion can be both functional and geographical, both of which impact
that maintenance planning. There is a need to provide feedback and
assessment of the maintenance operations with each incremental
deployment phase so that future phases build on and expand the system,
rather than simply replace elements of the earlier phases. The
development of maintenance plans within the life-cycle of the system in
expanded upon in [Chapter
4](#maintenance-considerations-for-the-life-cycle-of-a-tms), Maintenance
Considerations for the Life-Cycle of a TMC.

A maintenance program provides a plan on what maintenance is, how it is
performed, how it can be budgeted, and why it is needed. It is a
document that describes the needs to persons outside the direct
department with maintenance responsibilities and provides guidance to
those within that department. [Chapter 5](#tms-maintenance-program)
describes the development of a TMS maintenance program. It defines
maintenance program planning, including objective, institutional issues
and implementation procedures. This Chapter also describes the
relationship with operations programs.

## What is Maintenance?

Maintenance is essential to keeping a TMS running in the manner for
which it was designed. Lack of maintenance leads, almost inevitably, to
escalating decline. Just as not painting a wooden house can lead to
expensive structural damage, lack of TMS maintenance has severe
consequences. In one location, lack of maintenance of the communications
structure caused so many cameras to stop working that the program for
video monitoring was abandoned and the investment lost. In another
location, lack of maintenance of roadside emergency telephones was so
poor that the majority did not work. This resulted in such negative
public outcry that the system had to be abandoned.

Most maintenance activities can be grouped into one of three categories:
*preventive*, *responsive*, and *emergency*.

*Preventive maintenance* consists of scheduled operations performed to
keep the systems operating. Preventive maintenance includes mundane
operations, such as cleaning camera housing faces and the front of DMS.
It can include mechanical functions, such as greasing barriers for
tollbooths and ramp control. In some cases, preventive maintenance
requires sophisticated technology, such as optical testing equipment to
ensure that the fiber-optic used in the communications system is
operating within acceptable parameters. Preventive maintenance is
initiated by a schedule.

*Responsive maintenance* refers to operations that are initiated by a
fault or trouble report. The report can come either from a person or
from software that is monitoring parts of the system. Most general
faults fall into the responsive maintenance category. The table in
[Appendix A](#appendix-a-example-trouble-reports) shows a list of
typical trouble calls from the control center in Northern Virginia. Most
of these calls are responded to by the maintenance crews within a few
hours. However, some faults can require days or weeks to repair.
Problems can occur in securing new parts, e.g., when new power
connections are needed from the local utility company, etc.

![](media/image6.jpeg){width="3.513888888888889in"
height="2.204861111111111in"}*Emergency maintenance* is similar to
responsive maintenance in that it is initiated by a fault or trouble
report. However, in this case, the fault is more serious and requires
immediate action. Events such as knockdowns, spills, exposed power
supplies, and road blockages are clear examples of reports that may
require emergency maintenance. There can also be operational
emergencies, such as stuck barriers on dedicated HOV lanes or failed
lane control signs, such as those indicating shoulder usage. These sorts
of conditions often constitute emergencies that need to be dealt with
quickly in order not to create additional hazards.

Agencies, when developing a maintenance program, should plan for each
set of maintenance conditions. The various types of actions that the
maintenance staff provides should be categorized to ensure the most
efficient use of resources. To have staff or contractors available on a
permanent basis is an expensive option. Typically, preventive
maintenance is undertaken "loosely" as scheduled and responsive
maintenance is performed as needed. Emergency maintenance nearly always
takes precedent.

## Maintenance Policies 

Although most public Agencies do not have formal policies concerning
maintenance of their TMS, there are some policy issues that need to be
considered in the design of a maintenance system. The first is creating
a balance between preventive and responsive maintenance. More preventive
maintenance will cause the equipment to be in a better state of repair,
meaning it will likely break down less often, thus requiring less
responsive maintenance. Consequently, it is generally judicious for an
Agency to select preventive maintenance as its priority. This approach
is supported by evidence indicating that to rely solely on responsive
maintenance (i.e., waiting for things to break) is not good policy.
After all, malfunctions are generally first noticed when a device is
used, which is the worst time to detect a failure.

In cases where there are very large numbers of devices, it may be
judicious to adopt a policy stating what percentage of specific devices
should be operable. Although it is desirable to have all devices fully
functional, in some cases there are inadequate resources to achieve this
state. Examples could include the number of operating loops or the
numbers of bulbs that need changing. Such policies can assist the
maintenance staff in their scheduling efforts.

In general, an Agency's maintenance policies should be comprehensive and
compatible with the broader policies of the Agency and its traffic
program generally. Obviously, a traffic operation that is mission
critical should receive greater maintenance priority than should a
trivial system. For instance, barriers and gates associated with high
occupancy vehicle (HOV) entries or various other flow control mechanisms
should be given high priority. For these and other systems containing
similar devices, there needs to be a contingency for the event of
control failure.

For example, if a system has a series of barriers and signs that control
the direction of flow on an HOV facility and the control system fails,
it is unacceptable --- and dangerous --- for the facility to remain
inoperative while programmers are trying to restart the control system.
A suitable maintenance policy would mandate back operations that,
firstly, ensure safety and, secondly, allow the facility to operate
without a control system. This is typically accomplished by a technician
physically driving through the system and manually closing the gates and
setting the appropriate signs. Later, he or she reverses the procedure
to open the facility in the opposite direction.

Other facilities, such as tolled elements, may wish to allocate other
priorities, e.g., revenue collection. The original design for the
Oakland Bay Bridge control system was based on a flow-and-revenue
maximizing routine using micro-loops on the top of the bridge to control
the signals at the access point. From a maintenance perspective, the
priority in the Singapore electronic road pricing (ERP) system places a
large premium on maintenance of revenue. The control equipment is housed
in a series of small air-conditioned buildings throughout the controlled
part of the network. The air conditioners are not always reliable ---
temperature monitors close down the ERP when the air conditioners fail.
Their policy is to maximize revenue and thus backup air conditioners are
used to keep the ERP operational. Backups, various levels of redundancy
can all be used to support the policy mandated for the system. These
often express themselves as graceful degradation as part of the reduced
operations as systems fail. However, such operational processes need to
have the equipment maintained and, most importantly, be regularly
checked by exercising the components that come into play during a
failure mode.

Other elements that may be adopted as policy issues include:

-   Allowing supervisors a credit limit and access to funds that can be
    used during a crisis. For example, the purchase of a new computer
    peripheral or the replacement of failed wiring cannot wait for the
    formal budgetary allocation process.

-   Limiting access to the equipment and spares by staff above a certain
    level in the organization. This usually requires a closed area
    inside a maintenance workshop where valuable items are stored.

-   Not allowing direct connection to the control system network by
    external applications.

-   Keeping virus detection software current.

-   Developing a policy for the sharing (or not) of traffic and video
    data (see <http://ops.fhwa.dot.gov/Travel/App2VDOT.htm> for a sample
    policy from the Virginia Department of Transportation).

-   Defining the length and form of passwords and mandating how often
    they change.

-   Ensuring that physical access to the control center is limited to
    authorized individuals.

-   Changing passwords and access codes whenever employees depart.

-   Policies on privacy.

-   Policies on Internet access.

-   Only allowing data on the network to get to the web via a firewall.

-   Applying minimum qualification standards to employees empowered to
    perform specific tasks. (In addition to individual expertise
    requirements for technical tasks, drivers should be trained in the
    safety elements associated with stopping and working on the roadway
    shoulders.)

Quality-control programs are also tools that can be used within a
maintenance program. The large systems that depend on traceability, such
as ISO 9000, are probably not suitable for a maintenance department.
However, Agencies could, as a matter of policy, adopt a range of quality
control procedures that would enhance their maintenance programs. These
would need to be adapted to each Agency's services but could include
such items as:

-   Inspection and testing of all incoming goods.

-   Defined procedures related to storage and rotation of goods to
    minimize shelf times.

-   Bar-coding and tracking inventory.

-   Recordkeeping to determine patterns of failures in components.

-   Applying quality-control criteria to subcontractors and vendors.

Any maintenance policy should be developed within the framework of all
the other policies that are in operation by the Agency. Several of the
broader policy issues mentioned above are common in many State
Departments of Transportation. Existing policies should be reviewed in
light of the operations of a maintenance program. For example, some
states have policies relating to working above moving traffic (say, a
requirement that all tools and removable devices be tethered when no
safety net is present). This type of policy affects the design of
installed devices, the tools the maintenance crew uses, and the
procedures that take place during maintenance tasks.

Maintenance policies should be regularly reviewed and made part of the
maintenance program and incorporated into employee training.

## Procuring Maintenance Services and Products

A continuing problem for many government Agencies is recruiting and
retaining personnel that possess the skills necessary to operate and
maintain the sophisticated hardware associated with computer-based
traffic systems. Proper maintenance of systems can require salary
schedules higher than typical maintenance or electrician rates, which
Agencies are often unable to pay. Accordingly, some Agencies have
determined that the best alternate is to use outside contractors. These
contractors can also be hired to supplement regular staff and to stock
specialized spare parts during emergencies.

In some cases the Agency may have restrictions on hiring new staff. This
usually means that the maintenance must be outsourced to an independent
third-party company. States tend to be familiar with this process as it
is often used for less technological work such as mowing, restriping, or
bulb changing. Thus maintenance contracts are frequently in place, which
allows TMS maintenance to be procured. However, TMS maintenance is
different in that there is a range of technical skills that are not
readily available. Furthermore, it is frequently the case that TMS
maintenance needs to be performed in a more timely manner then
responding to emergency maintenance calls. This requirement to respond
within a prescribed number of hours is not common in more routine
maintenance operations.

Another aspect of the procurement of maintenance is whether it is the
control center, the roadside equipment, or the communications system for
which plans are being prepared. Maintenance of the control center often
requires unique software skills that force the Agency to use either the
developer or another equally adept company to do the work to keep the
system operational. Similarly, the communications network has a unique
requirement for technical equipment for fault finding and repair of
fiber-optic networks. Roadside maintenance operations require another
set of hardware, such as bucket trucks and traffic diversion equipment.
Therefore the Agency, when contemplating maintenance, may consider a
combination of contracting and Agency personnel to address all aspects
of the TMS. The table, below, summarizes some of these issues.

Some Agencies split the maintenance operations along the lines suggested
in Table 2-1. For instance, it is fairly common to contract out the
communications system on an as-needed basis. This makes sense as there
are no required preventive maintenance procedures associated with
fiber-optic networks. They either work or they are broken and to keep a
technically qualified employee waiting for a communications failure is
not a good use of resources.

It is rare, but there are examples of state Agencies keeping programming
staff as full-time employees to develop and maintain control systems.
Although this gives an Agency greater flexibility to make changes and
monitor the work of contractors, the state is vulnerable if the employee
resigns --- this can be a significant problem when such skills command
high wages during technology booms. Additionally, it is sometimes
difficult to find a career path within an Agency for an employee who is
operating in an area often staffed by younger persons who have recently
learned the latest technology. Although assistance in software
development has its advantages, it can be considered to be more
advantageous for Agencies to use their limited maintenance staff
resources in other arenas.

[]{#__RefHeading___Toc30907984 .anchor}*Table 2*-1 Contracting
Procurement Issues

  ---------------- -------------- ----------------- ---------------- -------------
  **TMS Category** **Agency**                       **Contractor**   

                   **Pros**       **Cons**          **Pros**         **Cons**

  Control Center   In-house       Difficult to keep Already has      Expensive.
                   system skills  and reward        system knowledge However, true
                   remove         competent         and can more     cost
                   dependencies   programming       readily deal     comparisons
                   on possibly    staff. Long hours with software    need to
                   unstable       not popular.      bugs. Wider      include all
                   businesses.                      skill range. Not costs,
                   Gives career                     subject to union pensions,
                   path to                          restrictions.    benefits,
                   employees.                       More flexibility etc.
                                                    in staffing      
                                                    choices.         

  Roadside         Agency often   Requires a staff  Reduces Agency   Pricey and
                   owns much of   increase          staff needs.     the Agency
                   the needed     sometimes         Provides wider   can loose
                   equipment. Can institutionally   range of skills. some control
                   coordinate     unacceptable.     Can more readily over job
                   schedules with Private           operate outside  priorities.
                   other          contractors can   of office hours. Contractor
                   Agencies.      be more                            needs real
                                  responsive.                        estate and
                                                                     plant.

  Communications   In-house       Difficult to keep Has system       Expensive.
                   skills provide and reward        knowledge and    
                   more job       competent staff.  likely to be     
                   satisfaction   Specialized       more timely in   
                   for Agency     equipment,        response. Can    
                   employees      expensive and     rent specialized 
                                  little used.      services and     
                                                    equipment        
                                                    quickly.         
  ---------------- -------------- ----------------- ---------------- -------------

When deciding whether to contract out maintenance and, if so, which
elements to outsource, the following should be considered:

-   What level of staffing is required in each area?

-   Does the Agency wish to purchase and operate the required equipment?

-   What skill level is available from in-house staff and what level can
    the Agency afford to employ?

-   If outsourced, does the Agency have the right people to manage a
    contractor?

There are several ways in which the Agency can slice the maintenance
pie. The slices can be central, roadside, or communications. It can also
be preventive, responsive, or emergency. Any combination of these
options can be contracted out or performed by Agency staff. Each Agency
will need to consider how the maintenance of these elements can best be
performed for its circumstances.

*Table 2-2 Contracting Options*

  ------------------- -------------- -------------- ---------------------
                      **Central**    **Roadside**   **Communications**

  Preventive          ?              ?              ?

  Responsive          ?              ?              ?

  Emergency           ?              ?              ?
  ------------------- -------------- -------------- ---------------------

An alternative approach is to attach maintenance requirements to the
initial contract to purchase the goods or services. This is particularly
applicable for the case of the central software where, although the
Agency may have all the source code and the build environment, it may
lack the software maintenance skills. Also, even if the Agency has the
required skills, it will take considerable time for the staff to become
familiar with the detailed design of the software. However, if the TMS
installation is considered successful, the addition of more ITS devices
of a similar type to those already installed should not require the
programming expertise. In this case, the modifications need to be
database entries that can be performed by non-programmers.

The use of extended maintenance agreements with the contractor or vendor
can be problematic. In one case, a low-bidding vendor front-end loaded
all the maintenance costs. By the time the maintenance period occurred,
the vendor had gone out of business and the Agency had almost no money
left to pay for maintenance by other vendors. To avoid this problem, the
costs for maintenance need to be expressed in the scope of work as some
percentage of the item costs that is large enough to ensure that the
contractor will stay around to maintain the system. In one instance, the
maintenance contractor was paid a fixed monthly amount for maintaining a
series of traffic signals. Each month the signals were inspected for
correct operation and the maintenance contractor was paid its
maintenance fee proportional to the percent of equipment operating
correctly. Thus the maintenance contractor routinely conducted its own
inspection and ensured that everything was operating correctly prior to
the Agency's inspection.

Management of contractors that are working on the preventive maintenance
tasks has caused concern for some Agencies. Various Agencies can have
huge numbers of devices spread over several hundred miles of road. Field
inspection and verification of work completed is not always feasible.
There is a need to keep track of the contractor, at least on some type
of sampling basis, rather than wait for the monthly invoice to arrive
and hope the work has been done. When structuring such maintenance
contracts, it is advisable to require recordkeeping procedures ensuring
that invoices can be verified against the work performed.

One method for solving this problem when responsive maintenance actions
are involved is to require the contractor to record pertinent data on a
control center database. The following types of data may be recorded:

-   Date and time of failure report,

-   Person or source of the report,

-   Location of device,

-   Description of failure or symptom,

-   Name of person responding,

-   Arrival time at location of reported failure,

-   State of the equipment upon arrival,

-   Weather and condition of the site,

-   Actions taken,

-   Date and time of rectification,

-   Equipment inventory updates, and

-   Consequential events (e.g., failure to operate or secondary
    failure).

Keeping the data current and available at the TMC allows the Agency to
be prepared when claims are made and also permits tracking and control
of inventory. An important maintenance activity is the prediction of
failures and retention of spare parts. Ensuring that the contractor
keeps this data up-to-date will facilitate these processes.

In the case of preventive maintenance, management of the contractor
needs to be more flexible, since often the same crews are used. When no
response calls are pending, the crews perform preventive maintenance,
but are immediately reassigned when trouble reports are received. One
solution is to allow the contractor remote access to the maintenance PC
in the control center in order to log the next day's activities into the
system. This makes the operators in the control center aware of the
current activities. Since cleaning and repairs can be disruptive of
traffic, coordination with the system operations staff should be a
requirement. Another requirement should be to ensure voice
communications between the operators and the crews at the roadside. This
is important for both operational and safety reasons. Maintenance crews
at the roadside can, for example, confirm that barriers rise and fall or
that signs show the right messages.

Other examples of extended maintenance include Agencies paying fairly
significant annual payments for hardware, in this case LED message signs
that never failed and never had any maintenance performed. Thus an
Agency contemplating maintenance contracts needs to anticipate the
likely frequency of trouble calls and structure the contract differently
for items likely to need little service.

When an Agency is structuring a maintenance contract for TMS elements,
it should consider additional elements apart from the performance of
preventive, responsive, or emergency maintenance. For example, a
contract that is structured to maintain roadside devices needs to take
into account inventory control and possibly the bar-coding of devices.
Contracts to maintain the central software should address configuration
management, back-up procedures, and disaster recovery. Addressing these
types of issues will both structure the maintenance contracts and
provide Agencies with a more integrated approach that is reflective of
the complexity of the TMS components.

Outside contractors have been used successfully for operations and
maintenance of traffic systems. For example, the New York State
Department of Transportation has used outside contractors for operations
and maintenance of INFORM since the inception of the system. Similarly,
the Connecticut Department of Transportation uses outside contractors
for operations and maintenance of its I-95 Incident Management System.

The contracting mechanism for many of the more sophisticated items, such
as computer motherboards, hard drives, signal and DMS controllers, and
communications equipment, is to require replacement under warranty for
the first few years and then merely send the equipment back to the
vendor for repair and replacement as-needed. This approach makes sense
since much of this equipment is reliable, requires no preventive
maintenance, and most of the units will work for years without a
problem. However, this approach does rely on the equipment manufacturer
to remain in business and, therefore, it is advisable to add a longevity
criterion to the procurement terms. In other words, the supplier should
be required to certify that it has been in this business for some
minimum number of years and/or that more than a specified number of
units have been installed. This approach also creates a need for a
larger spare parts inventory to give the Agency more time to recover
when a particular product no longer is available.

The types of contracting options that exist and which ones to consider
for the various options are described in Chapter 7.

An Agency assessment will be needed to identify the capabilities,
services required to support all maintenance activities, and the tasks
to support the maintenance program. For example, if it is required that
95 percent of all detectors should be operable at any one time, then
this can be used in the assessment of whether this particular component
should be contracted out or performed by in-house staff. There is a wide
variation in these elements of a maintenance program. To develop a
framework to assist the Agency in deciding to contract out each of the
nine elements in the table, above, criteria conforming to the Agency's
maintenance vision must be established. Stating that all the devices
must work all the time does not help. Setting unrealistic goals will not
assist the decision process. The reality is that many detectors are not
working at any one time. Communications systems regularly fail and
software hangs up. Within each contracting option a level needs to be
determined that can be met both by a contractor and the Agency staff.
When this is known, the decision concerning the best option to meet the
maintenance program objectives can be made.

## Maintenance Management System and Software

Maintenance software applications can be of particular value to TMS
operations. The ranges of functions they can perform include:

-   Maintaining equipment inventories across warehouses, shops, and
    sites.

```{=html}
<!-- -->
```
-   Recording trouble calls and repairs regarding equipment in the
    maintenance system.

-   Recording technician information pertaining to trouble calls and
    equipment repairs.

-   Accessing logged information regarding equipment movement and repair
    information.

-   Generating reports to show reliability metrics on equipment in the
    system, such as the MTBF

    discussed in this report.

-   Transferring data from a bar-code scanner into the maintenance
    database tables.

-   Managing all information and making corrections where appropriate.

Such software applications provide a series of screens that allow the
operator to enter and view the current status of trouble calls and to
view which ones are currently open. By using the repair data,
comparisons can be made between equipment types, such as whether one
camera manufacturer requires more repairs than another. These
applications can hold inventory data and accept bar-code inputs. They
provide location information for users. As systems grow, the number of
devices that must be maintained can get quite large. The table, below,
illustrates an approximate device count for the Northern Virginia Smart
Traffic Center of VDOT in 2001. As shown, the number of devices is
significant and knowing their location can become a problem. Devices
move for a variety of reasons. The site can be abandoned; it can
disappear as part of reconstruction or a maintenance activity. Equipment
gets moved as repairs are made. In some cases, components of old
equipment are used to repair other devices. Some Agencies have what is
known as portable/permanent variable message signs (VMS). These are
portable VMS's that are installed on a concrete pad with power and are
used in that location during a seasonal period, e.g., to direct beach
traffic. Knowing where everything is becomes a problem that can be
addressed by some combination of inventory control software.

## Support Services, Resources, and Tools

Support for the maintenance staff needs to include a variety of service
resources and tools including administration, space, inventory storage,
parking, and a variety of testing equipment.

*Table 2‑3 Example of Inventory*

The administration/support requirements for mainte-nance include staff
hours to log actions that are taken, update inventory, keep track of
contractor invoices, purchase orders, ensuring that training is
performed, and making certain that responsive and emergency maintenance
requests are addressed in a timely manner. In addition, if the
maintenance is contracted, support is required to check invoices and
monitor contractor performance.

Space is required in a secure environment to keep inventory. The value
of 5-10 percent of the total installed hardware can be significant.
Access to inventory may require some form of control. Space is also
required for maintenance staff offices and for parking the maintenance
vehicles that are likely to include a range of trucks and a cherry
picker.

The specific tools required, in addition to the more obvious common
tools used by technicians in workshops, could include:

-   Optical Time Domain Reflectometers (OTDR),

```{=html}
<!-- -->
```
-   Oscilloscopes,

-   Spectrum Analyzers,

-   Network Analyzers,

-   Waveform Generators,

-   Sweep Generators,

-   Frequency Counters,

-   Multi-Meters,

-   Inductance Meters, and

-   Power Meters.

[]{#_TMS_MAINTENANCE_CONCEPT_&_REQUIREME .anchor}

#  TMS Maintenance Concept & Requirements 

## Introduction

As defined previously, responsive maintenance is the repair or
replacement of failed equipment and its restoration to safe, normal
operation. Preventive maintenance is the activity performed at regularly
scheduled intervals for the upkeep of equipment.

This chapter provides an introduction and overview of a maintenance
concept and the linkage and traceability of the TMS maintenance concept
to the Operational Concept for the TMS. The idea of a maintenance
concept and a resulting set of maintenance requirements build on the
proven *Systems Engineering* approach. The systems engineering approach
is recommended as the preferred method for developing ITS projects with
FHWA's Rule 940 ([Ref. 3](#ref3)). Systems engineering is a structured
technique for thinking about systems development and begins with a
concept of operations. A "concept of operations" summarizes what the
system is supposed to accomplish and under what conditions it will be
done. From this concept, a set of requirements can be developed. It is
these requirements that drive the rest of system design and
implementation.

A "concept of operations" is designed to articulate the vision, roles
and responsibilities, practices, and procedures to be realized in a TMS.
Likewise, the "maintenance concept" is designed to articulate the
essential reliability and performance measures necessary to meet stated
operational concepts. Just as the concept of operations drives the
system functional requirements, the maintenance concept drives the
Maintenance Requirements. These maintenance requirements then become
enabling requirements for input into the system design phase and other
implementation and operation phases in the TMS life- cycle.

![](media/image7.jpeg){width="2.5416666666666665in"
height="3.8958333333333335in"}

The main impetus for recommending a structured systems engineering
approach for ITS project development was the need to improve the chances
of success. Without a structured systems approach, ITS success stories,
unfortunately, have not been a common occurrence. The systems
engineering approach was originally developed in the aerospace industry
in the 1960's to combat an alarming failure rate for large, complex
missile and space programs. The systems engineering process does not
guarantee success, but it has certainly improved the chances of getting
there.

The systems engineering approach can also reduce costs. Another way of
describing systems engineering is that it is a "requirements driven
development process." That is, user requirements are the overriding
determinant of systems design, component selection, and implementation.
There should be no "gold plating" and you only pay for what you really
need.

As stated earlier, there are precious few funds available for TMS
maintenance. Any funding that may be allocated is done so only after a
significant level of justification. Once allocated, most Agencies must
be very judicious in spending their maintenance funds and often worry
about how to set priorities so as to not overspend in one area at the
expense of another. Thus, the maintenance concept is a central element
of any maintenance plan or program. The maintenance concept imposes a
structured approach to the development of maintenance requirements that
is traceable back to an operational concept.

This chapter details the maintenance concept and parallel activities in
the systems engineering process. The main objective of this chapter is
to introduce and describe a relatively new process that is designed to
overlay and parallel the basic systems engineering process. The steps in
the maintenance concept development process are described in enough
detail to allow application to a wide range of systems. An example is
provided to illustrate a particular application of the maintenance
concept to develop, justify, and estimate maintenance requirements.

## What is a Maintenance Concept?

Since the maintenance concept is designed to complement the systems
engineering process, it is useful to start with a brief overview of
systems engineering. Figure 3-2 is a graphical illustration of the steps
in the systems engineering process. This "V" diagram is one of many ways
to depict the systems engineering process. This particular
representation, however, is the model presented in the FHWA/NHI course
entitled "Introduction to Systems Engineering."

![](media/image8.wmf)

*Figure 3‑2 Systems Engineering Life-Cycle Process*

Table 3-1 summarizes each of the steps in the systems engineering
process outlined in the "V" diagram and identifies how each step can
potentially impact the maintenance requirements of the system.

[]{#__RefHeading___Toc30907985 .anchor}*Table 3‑3* Steps in the System
Engineering Process and Their Implications for TMS Maintenance

+----------------------+-------------------------+---------------------+
| **Step in the        | **Description**         | **Implications for  |
| Process**            |                         | Maintenance**       |
+----------------------+-------------------------+---------------------+
| Regional             | Not shown in "V"        | May require         |
| Architecture/Vision  | diagram, this is an     | maintenance of      |
|                      | input into the Systems  | external            |
|                      | Engineering process.    | interfaces.         |
+----------------------+-------------------------+---------------------+
| Concept of           | Articulates the scope   | Operational,        |
| Operations           | and reason for the      | environmental and   |
|                      | system, roles, and      | utilization         |
|                      | responsibilities for    | requirements        |
|                      | all stakeholders,       | establish baseline  |
|                      | including, but not      | maintenance         |
|                      | limited to, practices   | requirements.       |
|                      | and procedures,         |                     |
|                      | environmental and       |                     |
|                      | utilization             |                     |
|                      | requirements.           |                     |
+----------------------+-------------------------+---------------------+
| High-Level/          | No technology selection | Requirements such   |
|                      | yet. This is the "what" | as reliability,     |
| Detailed             | not the "how".          | systems life-cycle  |
| Requirements         |                         | costs, and          |
|                      | Process of decomposing  | performance         |
|                      | very high-level         | requirements        |
|                      | concepts into greater   | directly influence  |
|                      | levels of detail. A     | maintenance         |
|                      | walkthrough process     | requirements.       |
|                      | provides validation     |                     |
|                      | that requirements       |                     |
|                      | capture the concept of  |                     |
|                      | operations.             |                     |
+----------------------+-------------------------+---------------------+
| High-Level/          | Includes the allocation | This step provides  |
|                      | of detailed             | the best            |
| Detailed Design      | requirements to system  | opportunity to      |
|                      | components or modules.  | control maintenance |
|                      | This step describes     | costs through the   |
|                      | "how" the requirement   | design alternatives |
|                      | will be met.            | analysis.           |
+----------------------+-------------------------+---------------------+
| Implementation       | Implementation of the   | Inspection and      |
|                      | approved design.        | process             |
|                      | Construction and/or     | quality-assurance   |
|                      | software development.   | help minimize       |
|                      |                         | surprises in the    |
|                      |                         | testing phase.      |
+----------------------+-------------------------+---------------------+
| Integration,         | Recomposition of        | Verification tests  |
| Verification, and    | subsystems. Testing for | whether or not the  |
| Validation Testing   | performance             | system was built    |
|                      | verification.           | right.              |
|                      | Validation that design  |                     |
|                      | requirements met by     | Validation tests if |
|                      | integrated system.      | the right system    |
|                      |                         | was built.          |
+----------------------+-------------------------+---------------------+
| Operations and       | TMS is commissioned and | Execution phase     |
| Maintenance          | accepted.               | further validates   |
|                      |                         | maintenance         |
|                      |                         | requirements.       |
+----------------------+-------------------------+---------------------+
| Assessment           | A crosscutting activity | Maintenance         |
|                      | that can be performed   | experience will be  |
|                      | at any step, but        | useful for the next |
|                      | typically done after    | evolution of the    |
|                      | commissioning (i.e.,    | system.             |
|                      | how well did we do?).   |                     |
+----------------------+-------------------------+---------------------+
| Traceability &       | Another crosscutting    | Provides the        |
| Configuration        | set of activities that  | documentation       |
| Management           | documents and maintains | roadmap to support  |
|                      | the linkage between all | and simplify TMS    |
|                      | the steps in this       | maintenance.        |
|                      | process.                |                     |
+----------------------+-------------------------+---------------------+

Sometimes referred to as an "enabling requirement," an inherent system
requirement is the maintainability of the system. By simply following
the systems engineering process, systems maintainability and reliability
can be captured in the design alternatives analysis. For example, a
requirement for 99.9 percent availability of the system database
computer has significant implications on the computer hardware and
network design. Design alternatives such as redundant power supplies or
redundant computers must be evaluated against the total system costs.
The drawback of this straightforward approach is that that the
life-cycle maintenance costs may not be fully considered during design.
A low-capital cost solution for this example could be to utilize an
off-site backup computer during a failure of the primary computer.
Having multiple computers in multiple locations, however, can greatly
increase maintenance costs by adding significant travel and lost time to
everyday maintenance activities.

A more comprehensive approach is to develop a "maintenance concept" that
parallels the concept of operations. Figure 3-3 shows the system
engineering process along with and parallels the maintenance concept and
requirements development steps. It is important to note that the
maintenance concept does not require changes in the systems engineering
process, but rather provides a way to emphasize maintenance within the
context of the systems development process.

![](media/image9.wmf)

*Figure 3‑3 Incorporation of the Maintenance Concept into the Systems
Engineering Process*

The maintenance concept leads to high-level and detailed maintenance
requirements. Implementation of the system coincides with implementation
of the maintenance management program, which, in turn, provides
verification that the system is maintainable as designed. The
crosscutting activity of system validation during the operations phase
parallels validation that the maintenance concept was captured in the
management of the system and confirms that the maintenance requirements
are being met.

**Maintenance Requirements**

The maintenance concept described above leads to a series of
requirements for a maintenance plan. These requirements include:

-   Configuration management and traceability,

-   Qualifications of staffing,

-   Planning a maintenance program,

-   Risk management,

-   Cost estimating,

-   Measures of performance,

-   Design life considerations,

-   Partnerships, and

-   Procedures.

These requirements are addressed in the sections that follow.

## Configuration Management, Traceability, and the Maintenance Concept

There is growing recognition of the need for an on-going configuration
management plan and process for TMS. Configuration management (CM) is
defined as a process for establishing and maintaining consistency of a
product's performance, functional and physical attributes throughout the
product's design, implementation, operations, and maintenance phases
([Ref. 4](#ref4)). The more complex a system becomes, the greater the
range of variables that impact system performance. With more variables,
the potential for permutations and variations on possible configurations
grows exponentially. Without a rigorous configuration management process
that documents all changes and modifications to the system, it is nearly
impossible to diagnose what changes may have caused a system
malfunction.

The maintenance concept and tracking of maintenance requirements relies
on two key outputs of the CM process: baseline documentation and
on-going performance monitoring. A baseline is any fully documented
configuration found to meet current operational concepts and system
requirements. Maintenance management systems (discussed in detail in
[Chapter 7](#maintenance-program-support-services)) typically provide
key performance indicators, such as mean time between failures (MTBF),
mean time to repair (MTTR) as well as availability percentage for
various system components. By pairing a baseline with a set of key
performance indicators, a system operator can monitor selected measures
and, if there is a problem, can very quickly narrow down the number of
potential causes.

For example, the INFORM system on Long Island, New York tracks the
percentage of devices online and maintains a trend analysis. Figure 3-4
shows the statistics for three years of operations. A configuration
management process will keep track of the changes in the system and can
be compared with the output of the performance monitoring process.
Subtle changes in system availability or device performance may not be
immediately obvious; however, they will likely be evident over the long
term.

![](media/image10.jpeg){width="5.604166666666667in" height="4.9375in"}

Traceability is an important crosscutting activity in the systems
engineering process. Its importance can be illustrated in the example
diagramed in Figure 3-4. In this diagram of a vehicle detection
subsystem within a TMS, there are certain wiring configurations in the
field, which are eventually mapped to fields in the systems database.
There is a typical wiring configuration, but the number of lanes can
vary by location. There is a critical need for good up-to-date
documentation of all of these configurations. The cost of maintenance or
troubleshooting of this subsystem will increase dramatically if the
system technician has to visually verify all cabinet wiring
configurations before making database changes.

## Sample Applications of a Maintenance Concept

Consider the following examples of how maintenance concepts can parallel
the development of operational concepts:

An Agency is considering the implementation of adaptive traffic signal
control to help with arterial congestion. The initial concept of
operations is to upgrade all of the Agency's signals to adaptive
control. As the concept is further defined into systems requirements,
the maintenance concept is also developed. The maintenance concept
recognizes that the new technology being proposed cannot impose
drastically higher maintenance requirements on the Agency without some
beneficial trade-offs. Adaptive control algorithms require significantly
more detector data to operate successfully. More detectors will require
a higher level of field maintenance. Prior to completing the final
design, the scope of the adaptive control project is scaled back to just
the critical intersections. Even though there will be some increase in
field maintenance of the new detectors, this effort is offset by better
performance through the critical intersections and reduced engineering
time revising timing plans. In this example, the feedback from the
parallel development of a maintenance concept and requirements has
resulted in a refined concept of operations and related system
requirements that are more in tune with both the operational and
maintenance funding of the Agency.

In another example, an Agency is designing a new freeway management
system and requires a method of verifying reported incidents and
determining appropriate response measures. A closed-circuit TV (CCTV)
camera system is selected through the design process. The design
alternatives analysis recognizes that even good quality CCTV equipment
occasionally fails for one reason or another. Research has indicated
that large systems can expect an average of 5 to 10 percent failures.
For example, for a 50-camera system, between two and five cameras will
not be operational at any given time. Based on an operational concept
that requires "full CCTV coverage" of the roadway, the designer has to
consider the maintenance concept required to meet this requirement. One
alternative is to increase maintenance funding to procure additional
bucket trucks and CCTV spares to enable faster responsive time and more
rapid repairs, thereby reducing the average number of failed cameras.
Assuming the initial funding could be obtained, the total life-cycle
cost of maintaining such a resource would be much greater than the cost
of repairs. A re-evaluation of the design is a better solution. Adding a
few more cameras and adjusting their locations to provide for more
overlap of CCTV viewing angles will reduce the probability that any
single camera failure will result in significant blind spots. Even with
a few more cameras to maintain, there is less of a requirement for a
large maintenance fleet and spares inventory and the total life-cycle
costs are reduced.

## Planning a Maintenance Program

In the planning of a maintenance program, a very important issue is the
acquisition of a consistent budget stream to continue the upkeep of the
various systems and devices. Some Agencies have limited their approach
to extended warranties and sometimes one or two years of additional
support from the system integrator to maintain the computers and
software. As with other highway programs, maintenance costs are a
significant percentage (around 5 percent) of the capital costs. However,
using a fixed percentage for cost estimation of maintenance is not a
very reliable process. The variations in functionality, weather, and
geography among differing systems necessitates that cost estimates be
made on a case-by-case basis. Also, planning a maintenance program needs
to include an estimate of the staffing requirements. One way is to use a
spreadsheet that calculates the maintenance labor hours necessary for
preventive and responsive maintenance activities. The table ([Ref
5](#Ref4)) indicates Maintenance Staffing levels in variety of TMS's.

*Table 3‑4 Sample Staffing Levels*

TMC maintenance is not clearly separable from other maintenance
functions. The types and number of devices that are included is site
specific but using the brief definition of each spreadsheet column
heading, below, a staffing estimate can be made. The column heading can
include:

-   **Field Device:** Is the ITS equipment and components out in the
    field?

-   **Device Count:** Total count of devices.

-   **Preventive Maintenance Schedule:** Total vendor-recommended
    periodic maintenance trips during the service period. Typically at
    3-, 6-, or 12-month intervals.

-   **Labor Hours per Person:** Labor effort needed to perform the
    recommended maintenance procedures.

-   **Number of Persons per Crew:** Is Assess adequacy of the number of
    personnel and crews to perform the preventive maintenance procedures
    safely and efficiently.

-   **Travel Time One-Way:** Average distance to be traveled one-way to
    the maintenance location.

-   **Labor Hours + Travel Time (Round-Trip):** This formula calculates
    the total time in hours for the crew size and travel times.

-   **Total Hours for Labor/Travel and Devices:** This formula
    calculates the total time needed to perform the preventive
    maintenance for each ITS field device type.

-   **Average Number of Responsive Maintenance Visits per Year:** This
    average comes from other ITS Agency's maintenance reports and vendor
    information given for their devices.

A sample spreadsheet is shown in Table 3-3, below.

[]{#__RefHeading___Toc30907987 .anchor}*Table 3‑5* Sample Staffing
Estimate Spreadsheet

  ---------------- -------- -------------- -------- -------- --------- -------- ---------- --------- --------- ----------
                   Device   **Preventive                                                                       
                   count    Maintenance                                                                        
                            (Hours)**                                                                          

  Field Device              Preventive     Labor             Number of Travel              Labor               Total
                            Maintenance    Hours             People    Time                Hours +             Hours for
                            Schedule       Per               per crew                      Travel              Labor/
                                           Person                                          Time                Travel &
                                                                                                               Devices

  Variable Message 25       6 months       2.0               3         3.0                 15.0                750
  Sign                                                                                                         

  Highway Advisory 5        12 months      3.0               2         2.0                 10.0                50
  Radio                                                                                                        

  Weather /        10       12 months      2.0               2         3.0                 10.0                100
  Pavement Sensor                                                                                              

  Camera -- CCTV   40       6 months       2.0               3         2.0                 12.0                480

  Non-Intrusive    60       12 months      2.0               2         2.0                 8.0                 480
  Count Station                                                                                                
  (Video or Radar)                                                                                             

  Permanent Count  1        12 months      1.0               2         2.0                 6.0                 6
  Stations                                                                                                     
  (Connected to                                                                                                
  STC)                                                                                                         

  Permanent Count  20       12 months      1.0               2         2.0                 6.0                 120
  Stations (Not                                                                                                
  Connected)                                                                                                   

  Video Detection  20       12 months      2.0               2         2.0                 8.0                 160
  at Signals                                                                                                   

                            ** **          ** **             ** **     ** **               **Total             **2146**
                                                                                           hrs =**             

                            **Responsive                                                                       
                            Maintenance                                                                        
                            (Hours)**                                                                          

                            Labor Hours             Number   Labor              Average              Total     
                            Per Person              of       Hours +            Number of            Hours for 
                                                    People   Travel             Visits Per           Labor/    
                                                    per crew                    Year (1/3            Travel &  
                                                                                of                   Devices   
                                                                                Devices)                       

  Variable Message          4                       2        14.00              8.3                  116       
  Sign                                                                                                         

  Highway Advisory          2                       2        8.00               1.7                  13        
  Radio                                                                                                        

  Weather /                 2                       2        10.00              3.3                  33        
  Pavement Sensor                                                                                              

  Camera -- CCTV            2                       2        8.00               13.2                 106       

  Non-Intrusive             2                       2        8.00               19.8                 158       
  Count Station                                                                                                
  (Video or Radar)                                                                                             

  Permanent Count           2                       2        8.00               0.3                  3         
  Stations                                                                                                     
  (Connected to                                                                                                
  STC)                                                                                                         

  Permanent Count           2                       2        8.00               6.6                  53        
  Stations (Not                                                                                                
  Connected)                                                                                                   

  Video Detection           2                       2        8.00               6.6                  53        
  at Signals                                                                                                   

                                                                                **Total              **534**   
                                                                                hrs =**                        
  ---------------- -------- -------------- -------- -------- --------- -------- ---------- --------- --------- ----------

![](media/image11.jpeg){width="3.063779527559055in"
height="2.003543307086614in"}

Supervisory staff are typically added according to local policies and
conditions.

TMS's are rarely static. If successful, they are liable to be expanded;
if not particularly successful, they can be modified or replaced. In
addition, due to budget constraints, the procurements are often made
over several years. Thus, at any one time, there is often a varied mix
of technologies and ages of equipment. For example, having a variety of
message signs is common. In some cases, the manufacturer may have gone
out-of-business --- a fairly regular occurrence in this industry. This
leaves the Agency with a confluence of devices: some new and possibly
being maintained by vendors; others aging and possibly being maintained
by Agency staff. In addition, there can be items that should be
scrapped, but which are politically difficult to remove. This
particularly applies to DMS's that drivers are used to seeing. Over the
past decade, there have been several DMS manufacturers that have gone
out-of-business, leaving Agencies with no sources for spares. In those
situations, the best that can be done if items are not to be scrapped is
to either selectively remove selected less critical components and use
them for spares, or try to re-engineer replacement components.

![](media/image12.wmf){width="3.3346456692913384in"
height="2.311811023622047in"}To mitigate these problems, a maintenance
plan should incorporate scrapping items and ensure that spares and
replacements are anticipated. Particular attention should be paid to
DMS's and cameras since sign messages and video feeds to the public are
quickly missed when either removed or non-operational. Budgeting for
replacement items is the key to avoiding these problems.

#### Staffing Qualifications

![](media/image13.png){width="2.188188976377953in"
height="1.6125984251968504in"}All staffing associated with any TMS
project must be qualified for the work that is to be performed.
Typically technicians under contract that are responsible for the
electronic components should have a minimum of a two-year associate
degree plus two years relevant work experience or equivalent. This type
of requirement should be included in any statement of work for
contractors. An equivalent to this qualification would be more than five
years of relevant experience directly with the Agency. A problem
reported by some of the surveyed Agencies involved qualified staff being
proposed by the winning contractor, but different, less capable staff
being used on the job when the project began.

## Risk Management and Probability of Multiple Failures

With regard to planning for knock downs, lightening, floods, and other
unforeseen events, some allowance needs to be made. The FHWA guidelines
require that roadside devices are either thirty feet from the
carriageway or they are protected by a guardrail. One ITS system in
Virginia with over 1,000 roadside devices suffers from approximately one
knockdown per year.

Lightening is extremely variable and, despite the best attempts towards
protection, electromagnetic pulses (EMP) can damage the electronics ---
even when the devices are not directly hit. In fact, most damage to
equipment is not caused by direct lightening strikes, but by induced
voltages on conductors from nearby strikes. ITS devices are often
electronically sensitive devices placed in open areas on top of
electrically conducting metal poles. To make things worse, these devices
are often connected to both power and communication systems via
long-conducting copper wires. There have been examples of ITS camera
installations in Florida where all of the PTZ units were rendered
inoperative by a single storm where the damage came through the power
supply.

Flooding too can cause major problems to ITS devices. In Bombay, India,
the controller bases are four feet high to protect them from the
monsoons. Obviously, the risks to ITS components will vary significantly
in different geographies and climates across the US.

Each Agency that is trying to assess the maintenance need could
undertake a simple risk analysis whose objectives would be to:

-   Identify those issues and factors that are liable to occur.

```{=html}
<!-- -->
```
-   Assess the costs associated with these factors.

-   Determine appropriate mitigation solutions.

A simple assessment matrix can be used to assess the potential
significance of each area of risk.

Each potential risk needs to be assessed for its probability of
occurring and the costs. Information on historical weather patterns can
be obtained from the National Environmental Satellite and Information
Service (NESIS) at: <http://www.nesdis.noaa.gov/>. NESIS has significant
information on weather history that may help in assessing the
probability of events for specific states. Although the scoring of the
probability can be arbitrary, the areas that are shaded indicate higher
probability and higher cost impact. The information can be used as tool
to assist in the evaluation and risk.

Knowing which areas are at-risk can assist in maintenance planning in:

-   Design aspects that that will lower the impact of disasters. These
    could include raising elements above potential floodwater or
    increasing lightning protection.

```{=html}
<!-- -->
```
-   Making allowances in the number and types of spares that are needed.

-   Having a contingency fund for exceptional conditions --- similar to
    those that some states have for snow plowing during severe winters.

Although the approach to risk evaluation does contain a series of
subjective estimates, it has been found worthwhile as it allows the plan
development to consider the likelihood and consequences of these types
of events.

## Sample Costs

Table 3-4 indicates a sample of annual maintenance costs. Such numbers
are often included with maintenance and are frequently not readily
available.

[]{#__RefHeading___Toc30907988 .anchor}*Table 3‑6* Sample Annual
Maintenance Costs

  ---------------- ----------------- ------------- -------------- ------------
  **System**       **Annual          **\# of       **\# of        **Cost per
                   Maintenance Costs Miles**       Devices**      Device**
                   (\$000's)**                                    

  ODOT---ARTIMIS   1,000             88            1,200          \$833

  VDOT---N. VA     2,800             150           2,743          \$1,020

  Orlando          150 (preventive   39            223            \$672
                   only)                                          

  Caltrans (1)     2640              NA            2212           \$1,193
  ---------------- ----------------- ------------- -------------- ------------

![](media/image14.wmf){width="2.7633858267716533in"
height="2.1070866141732285in"}Inspection of the data in the table above
leads to the conclusion that average annual maintenance costs are
approximately \$1,000 per device. However, the majority of devices in
these systems are traffic detectors that are fairly reliable. This value
would not be appropriate for systems that contain a high number of
devices that are more expensive to maintain. Daniels *et al.*
(*Guidelines for Funding Operations and Maintenance of Intelligent
Transportation Systems/Advanced Traffic Management Systems*,
Transportation Research Record 1588) provided costs for maintenance by
device type and these are shown in the Figure 3-9.

## Traffic Operations and Maintenance Programs

Effective management of operations and maintenance staff must begin
during the planning and design phases. This activity is particularly
important in fostering an acceptance of the new traffic system among
Agency personnel. Fear of the unknown, coupled with a potential
misunderstanding of the system\'s purpose and concerns that personnel
may have regarding job security, can detract from full and efficient
utilization of the new system. As previously noted, the following
opportunities for staff involvement can be provided through the
pre-start-up process, thereby breaking down the natural barriers to
system acceptance:

-   Early involvement in system plans and designs to ensure proper
    consideration of reliability and maintainability issues.

```{=html}
<!-- -->
```
-   Assurance of thorough training tailored to staff needs.

-   Participation in construction inspection and acceptance testing.

-   Exposure to similar systems through field services with operations
    staff.

After the system is operational, several important management functions
need to be completed. One is to schedule and conduct in-house,
on-the-job training programs. This ongoing training is necessary because
of personnel turnover, advancement of personnel to other positions, or
terminations. Such a program should be initiated as soon as practical
after systems implementation. The in-house training program can be
supplemented by sending operations and maintenance staff to attend
outside training or to visit similar systems, as appropriate.

At the San Antonio TransGuide Traffic Management Center, TMS operators
have been successfully utilized in assisting experienced maintenance
personnel in performing preventive, responsive, and emergency
maintenance. TMS operators were also used in acceptance testing. The
benefits of doing this include the following:

-   Provide much-needed assistance to maintenance personnel.

-   Provide in-house training for operators without additional cost.

-   Give TMS operators a change of pace from their normal routine and
    help prevent operator burnout.

-   Reduce equipment down time.

There are both operational and budgetary connections between a TMS
operations program and its maintenance plan. Operationally, the staff in
the control center needs to be aware of current and planned maintenance
crew activities. Some activities require that specific devices be
controlled from on-site. When communications to the central control
system are disrupted (typically when somebody removes the plug to
connect a local device), the central software should provide a
communications failure message. Control software applications should
have the ability to take specific devices off-line. This should be done
prior to the maintenance tasks. Although contractors and maintenance
crews can schedule their activities in coordination with the operators,
these often do not take place on time. Weather and the demands of
responsive and emergency maintenance disrupt schedules. It is
recommended that the maintenance crews and the operators at the central
control room be in voice contact through radios or cell phones at all
times.

In addition, there are circumstances when the control system operators
may wish to halt or divert the maintenance crew. Any presence on the
highway can be disruptive to traffic flow. During the course of special
events, is not a good time to perform maintenance. Cooperation between
the two groups is needed to ensure that preventive maintenance tasks ---
and lower priority responsive maintenance tasks --- are not being
performed at inappropriate times.

With regard to budget, all new TMS items and functions need to consider
both maintenance and spares. Spares become a major item within a
maintenance program, given that much of today's hardware cannot be
mended by the local electrical technician. Historically speaking, the
replacement of small parts in electronics effectively disappeared as
integrated circuits developed. Most components today are comprised of a
series of integrated circuits soldered onto boards. This tendency leads
to returning all components to the manufacturer. The manufacturer can
replace some parts at the component level, but in many cases the pieces
are scrapped and replacements furnished. To some extent, this trend
leaves the electrical technician with an easier task in terms of
replacing failed components. However, it does mean that the maintenance
plan and its budget must make allowance for adequate spares. The range
of 5-10 percent of all items is used for estimating the needs. This is
not a trivial amount of money and it is worthwhile, during the
development of maintenance plan, to develop data on the mean time
between failures (MTBF) for individual components. Having this data, the
Agency can then adopt a policy regarding the time period of spares they
wish to keep on hand. For example, if the PTZ motors on camera mounts
have an MTBF of six years and the Agency has 50 cameras, it can expect
that 50/(6\*12), or 0.7, motors will fail per month. If the Agency
adopts a policy of maintaining six months of spares, it will need to
keep five spare motors on the shelf. The hard issue here is arriving at
good MTBF data. Products change and these types of information are often
not readily available. In some cases, the manufacturer can assist.
However, many specification sheets quote numbers based on calculations
made for each component of the device which provides guidance, but does
not account for the effects that various components may have on each
other, such as heating.

Each Agency should attempt to develop MTBF data for the specific devices
for several reasons, including:

-   To assist in determining the number of spares to keep on hand.

```{=html}
<!-- -->
```
-   To determine ordering policy for obtaining components.

-   To assist in the estimating of responsive maintenance calls.

-   To provide feedback on how reliable individual ITS devices are,
    i.e., whether a change in supplier should be considered.

## Maintenance Measures of Performance 

The following parameters are useful data when evaluating products.
Nevertheless, the reader of product specifications should be vigilant
about marketing hyperbole:

-   **Mean Time between Failures:** The average time between hours of
    exposure for all like products divided by the number of failures (Be
    advised that warned this is not the "design life."

```{=html}
<!-- -->
```
-   **Mean Time to Repair:** Number of hours to make good the failed
    item.

-   **Average Cost to Repair:** Approximate cost to make the item fully
    functional again.

-   **Design Life:** Discussed below.

-   **Salvage Value:** Although often zero, this value can be important
    when upgrades are being made.

There is a second-hand market for traffic signal controllers. Reselling
older hardware and replacing it with compatible new equipment can
oftentimes be cheaper than developing software to control two different
hardware varieties.

## Design Life and MTBF

This type of information is available at some vendor's websites --- this
example is for industrial quality Ethernet switches:

> *"Based upon 1,715 units delivered to our customers in the first
> twelve months of manufacture. We computed an installed running time
> based upon the above conservative estimates of 2,810,808 hours. With
> only four applicable failures during this one-year period, the
> calculated MTBF is: 2,810,808 Hours / 4 Failures = 702,702 Hours
> MTBF."*

Other examples quoted include:

-   Industrial Video Cameras --- 20-80,000 hours (2-9 years);

```{=html}
<!-- -->
```
-   Radar detectors --- 100,000 hours;

-   Video projectors --- 30,000 hours; lamps --- 1500 hours; and

-   Uninterruptible power supplies --- 100,000 hours

Design life and MTBF is not the same thing for all ITS devices. In some
cases, equipment can last decades if it is well maintained and necessary
repairs are made. For example, a truck will operate for decades if well
maintained. However, to last decades it will need lots of tires and may
need an engine. On the other hand, a hard drive, that may have a MTBF of
50 years, a design life of 5 years and a warranty for 2 years will cause
an ITS system to crash and usually cannot be repaired. When considering
the spares and replacements of ITS devices the developer of the plan
needs to consider the most appropriate measure for that device on their
facility. Taking one value for a whole system' s lifetime, say 10 years,
would overestimate the life of a hard drive and underestimate the life
of a cherry picker. If spares inventory and replacement budgeting are
being calculated, the design life needs to be used.

There is significant variation between similar products. The developer
of the plan should attempt to determine the likely design life of the
specific product. Generally speaking, components that move break first.
Things that get hot also tend to have shorter lives. In traffic signal
controllers, the power supply is the most unreliable component, followed
by the load switches, then the conflict monitor. Electronic devices that
are not switching power and have no moving parts can operate virtually
indefinitely as illustrated by computers from the early eighties and
amplifiers from the seventies. However, on these devices, knobs and
drives usually have had to have been replaced. The impact of these
effects should be considered in product selection. Although maintenance
needs may be secondary to specifying a required functionality, if there
is a choice between differing devices with similar functionality, then
these effects on maintenance need to be considered.

## Timely Responses

When specifying responsive maintenance time, Agencies have a tendency to
require excessively rapid response. From the contractor's perspective,
keeping staff available 24 hours per day seven days per week costs a lot
of money. If the required response time is less than the time for the
alerted worker to travel from home, then somebody is required to be
on-site full time. One full time position requires five employees. This
cost is generally too high for the benefit that will be achieved. Even
if the TMC is operational at all times, the chances that a failure of a
particular device will affect operations is low. When writing the scope
of work for the maintenance component of a contract, the Agency needs to
consider how the contractor is going to cost the response. Even if
Agency staff are being used to react to responsive and emergency calls,
there are often working rules that either prohibit this or require
significant overtime costs to be paid.

A reasonable balance needs to be developed between timeliness and costs.
Some Agencies use the following type of wording:

> *"The contractor is required to provide two years of maintenance on
> all elements of the system following acceptance by the State of each
> element.*
>
> *The contactor shall provide one phone number that will be the State's
> sole contact point for requesting maintenance. The timing for the
> maintenance response shall begin with the phone call to the
> contractor. The contractor shall ensure that the phone is answered or
> a message system is always available.*
>
> *The contractor shall be on-site and commence work within four hours
> of being informed by the State that a repair is required. Only
> business hours (7:00AM-4:00PM) will be counted for the maintenance
> response time."*

Changing the various time periods within the above wording can be done
to suit the Agency. Of course, the implications of the changes to the
costs need to be considered.

## Pre-Bid Meetings

A real understanding of the needs of the maintenance contract is
critical to success in these efforts. In one Agency, a request for
proposal (RFP) was developed and advertised with a non-compulsory
pre-bid meeting. The contract was for two years of maintenance. One
company attended the pre-bid meeting, but did not bid the job. A single
high-end bid was received. Since one bid was not allowed, the
procurement was suspended. At that point, a survey was made of all the
potential contractors to determine why they did not bid and would they
be interested in a new bid. Some stated that they missed the
announcement; others said there was too much uncertainty. Thereafter, a
meeting was held at the Agency facility where all potential contractors
and their potential subcontractors were invited to discuss the upcoming
procurement. This was not a pre-bid conference. The Agency described
what was needed from the contractor and the scope of work was discussed.
Several comments were made by the contractors that were used to modify
the RFP in accordance with input from the contractors. These comments
included the following:

-   Contractors did not want to buy equipment using their money to be
    reimbursed later by the Agency without some compensation. This
    process reduces the credit available to the contractor and, in some
    cases, it would be too burdensome on the contractors (e.g., during
    those periods between major spares purchases and submission of
    invoices). Their point was they did not want to be the Agency's
    bank. A markup of the equipment costs was subsequently permitted by
    the Agency.

-   The original RFP asked that the work be done during an extended
    standard workday. However, contractors wanted the ability to work at
    nights and weekends in order to maximize the usage of their labor
    and equipment. A cherry picker that trims trees during the day can
    clean signs at night, thus lowering costs.

-   Contractors were very wary of their ability to meet response times
    under system situations that could cause major failures. These
    include snowstorms, tornados, and major power failures. The RFP was
    modified to forgive response times during certain conditions

-   The original RFP was for a one-year contract that was annually
    renewable. The contractor's could not obtain space (i.e., warehouse
    for inventory, an office, and parking) on annual contracts. Most
    commercial real estate contracts are for two or three years. Thus
    the contractors put the entire value of the lease into the first
    year as they did not know if the contract would extend to later
    years. The RFP was changed to an initial two-year period that was
    renewable annually.

-   Several contractors stated that they were interested in only parts
    of the job, e.g., video or communications systems only.
    Consequently, the meeting attendance list was circulated to all
    attendees who were encouraged to form alliances in order to provide
    responses to all the required functions.

-   Additional minor changes were made --- mostly relating to local
    conditions and some ambiguities.

A revised RFP was then published. A mandatory pre-bid meeting was
convened and the changes to the solicitation were explained. Three bids
were received and a contract was negotiated with the winning bidder that
was approximately \$2.5M less than the bid received prior to the
revision of the RFP.

This process seemed successful in that a better understanding of the
Agency's requirements was attained. Also, a reduction in risk on behalf
of the contractor resulted in a better contract and saved money.

## Partnerships

There are a variety of arrangements between government Agencies,
institutions, academia, toll authorities, airports, and others
concerning maintenance activities. For example, the City of Charleston
maintains the ITS devices in Mount Pleasant and Goose Creek in exchange
for funding contributions. New York State University provides
maintenance of the video system for NYSDOT in Albany. The Ohio DOT and
the Kentucky Transportation Cabinet own the ARTIMIS TMS under a bi-state
agreement and contract out the maintenance, with the management of the
contract alternating between the two Agencies. In Houston, TxDOT has a
shared services agreement with the State Thruway Authority that covers
maintenance.

The form of these agreements is also varied. Sometimes there are no
written agreements at all, just an understanding concerning who will do
what. In other instances, there are memoranda of understanding (MOU)
between the parties that more formally spell out the relationships and
responsibilities. In some cases, there are firm contractual documents
definitively defining tasks and timeliness requirements.

Agencies should look closely at the functions and hardware that are in
locales in an effort to find areas of cooperation not just in
maintenance activities, but also in operations. Historically, the
functions of traffic signal system maintenance have often been shared by
adjacent jurisdictions, e.g., where the State traffic signal maintenance
group may take responsibility for a county or a city within its
boundaries.

The structure of these MOU's usually includes such items as:

-   The nature of the agreement and the naming of the parties.

```{=html}
<!-- -->
```
-   The intent of the parties and a definition of the form of the
    agreement.

-   A scope of services that states what is to be done.

-   Separate sections on the responsibilities of each of the involved
    parties.

-   The duration of the agreement.

-   A termination clause.

-   A definition of responsibilities for ownership and maintenance.

-   Other legal sections on assignments, audits, discrimination and a
    signature section.

-   Exhibits defining equipment, shared space, payments, scope, and
    responsibilities.

## Procedures for Control Centers

When considering failures of components, the general rule "if it moves,
it will break" still applies. Particular attention should be taken with
hard drives that contain the critical data to enable operations. Hard
drives are typically quoted with MTBF of 300,000 or 500,000 hours. These
periods (34 and 57 years) are nonsense since such long lifetimes cannot
be verified; also, the same specification sheets nearly always warranty
the product for three years or less. Experience has shown that for new
equipment that turns over every three years, about 2 percent of hard
drives will fail per year. Although not a large percentage, this can
have a devastating effect on operations. It is recommended that as part
of the maintenance activities for the central servers and workstations,
disk mirroring or other redundancy features be incorporated together
with regularly scheduled back-ups. Additionally, making all hard drives
"hot swappable" with a common specification will enable the maintenance
staff to readily replace the systems most key component.

Central servers can also fail and there are a variety of approaches that
can be taken to ensure fairly continuous operations. In order of
increasing costs these include:

-   Obtaining a Ghost image of the hard drive --- this is a direct copy
    of everything on the hard drive including the operating system and
    all its patches. Such imaging enables direct replacement of the
    system at the time the image was made. This is a good maintenance
    action that is cheap and can be performed regularly.

-   Providing a redundant computer that has the operating system (which
    can be copied from the Ghost image) and can replace the server or
    workstation as appropriate. Such an approach will only update the
    system status and its database files since the last back-up. Most
    office systems currently operate on networks and thus the redundant
    computer can be ready on the network in anticipation of a failure.

-   Providing a database replication process using the redundant
    computer, but adding an application that copies the database to the
    redundant machine at regular intervals. This provides a high level
    of redundancy, but does not replicate the data held in the machine's
    memory.

-   Furnishing a "hot" standby so that a second machine is mimicking all
    the processes that are taking place on the primary machine. An
    additional application monitors the operation of the primary machine
    and automatically transfers control to the secondary machine when a
    failure is detected. This approach is expensive and is not available
    on all operating systems. It is usually considered too expensive for
    ITS applications.

Whichever option is chosen, there are back-up procedures that need to
take place as part of a regular preventive maintenance schedule. These
tasks need to be coordinated with the operators using the machines.

Configuration management of the other components that require
maintenance in the control center include:

-   Video display units --- the projection variety often go out of tune
    and require frequent adjustment to the projection devices. In some
    devices, tuning must be performed monthly; in others, it is never
    required.

```{=html}
<!-- -->
```
-   Server and workstation operating systems that may require updates
    and renewals of pertinent licenses.

-   Application software that needs to have certain procedures, e.g.,
    downloading logs, associated with traffic data files and operator
    actions. Some applications also require to be restarted on a regular
    basis.

-   Replacing video tapes, CDs, and backup tapes in archiving systems.

-   Checking weekly for security updates and virus software updates.

-   Checking monthly to clear temporary folders and the various files
    produced by applications that are no longer needed.

-   Maintenance of contact lists.

    The processes involved with these maintenance tasks in the control
    center are specific to the needs of the individual component or the
    requirements of the software application. However, the developer of
    a maintenance plan will need to make allowances for these tasks.

#  Maintenance Considerations for the Life-Cycle of a TMS

## Introduction

The Systems Engineering process is more than just steps in systems
design and implementation; it is a life-cycle process. It recognizes
that most systems are built incrementally and expand over time. The
basic steps in the process do not change. There is an even stronger need
to provide feedback and assessment with each incremental deployment
phase so that future phases build on and expand the system, rather than
simply replace elements of the earlier phases. The "V" diagram used to
depict the systems engineering model in Chapter 3 can be used to
illustrate this evolutionary deployment process. Figure 4-1 shows how
successive "V" diagrams illustrate the multiple deployment phases with
each phase following the systems engineering process of definition,
decomposition, implementation, recomposition, integration, and testing.
Not shown in this graphic, but implied, is the feed-back and assessment
crosscutting activities that both validate older requirements and
generate new requirements in each subsequent version.

As defined in Chapter 1, responsive maintenance is the repair or
replacement of failed equipment and its restoration to safe, normal
operation. Preventive maintenance is the activity performed at regularly
scheduled intervals for the upkeep of equipment.

![](media/image15.wmf)

*Figure 4‑2 The System Engineering Life-Cycle Applied to an Evolutionary
System Deployment Model*

It is important to stress that as each phase or version is deployed, the
maintenance concept and requirements are going to change. The concept of
operations is also changing as each set of additional requirements is
implemented.

This chapter is the logical follow-on to the previous chapter, which
introduced the maintenance concept and its context within the systems
engineering process. This chapter also describes a systems approach and
structure to support multi-year maintenance program planning, as
presented in Chapter 6. Another way to view the life-cycle of a
multi-phase evolutionary deployment project is to lay out the activities
on a time line. Figure 4-2 shows a typical time line with overlapping
sets of activities.

![](media/image16.png){width="5.16259842519685in"
height="3.2590551181102363in"}The following sections address the key
phases in the life-cycle of a typical TMS and show how the maintenance
concept and requirements should be considered and adapted for each
phase.

## Key Phases in the Life-Cycle of a Transportation Management System

There are several dimensions to the life-cycle of a TMS, moving through
the process of planning, design, implementing, and operating a
multi-phase deployment. As part of the systems engineering process, the
initial vision will generate a more-or-less complete list of
requirements for what the final system will do. These requirements must
then be prioritized, either by need, cost, or technological feasibility.
These priorities are use d to determine what requirements will be met in
each phase.

The ability to defer, or even eliminate, requirements based on a
quantitative assessment and priority ranking is a key element in the
life-cycle planning of a system. The prioritization of requirements
provides the flexibility needed to adjust schedule and budget over the
life of the project.

Just as there are different priorities for functional and operational
requirements, there are different priorities for the corresponding
maintenance requirements. Whatever method or exercise is used to
prioritize functional requirements can be used to rank maintenance
concepts and requirements. Depending on the number and diversity of
stakeholders, it can be difficult to achieve consensus on the ranking of
priorities. Some examples of techniques include the "utility weighting"
approach, which assigns a utility or weight to each requirement, and
then each stakeholder "scores" the relative importance of that
requirement compared to others. The product of weights times the score
is summed across all stakeholder to develop a composite score that
determines an overall ranking. There are also Delphi techniques for
soliciting input from a very diverse group of stakeholders.

The decomposition steps of a TMS design should each consider the
maintenance aspects and the implications for future recurring costs.
These steps are described in the section below.

**Operations and Maintenance Concept**

At this early stage the maintenance issues that need to be included are
such issues as:

-   Location of property,

-   Institutional responsibilities,

-   Staffing levels and reporting requirements, and

-   Whether or not to use contractors.

Strategic placement of property can assist in the later maintenance
activities. Often the maintenance and operations centers are co-located.
This has significant efficiencies in that building and facilities can be
shared and communications is enhanced.

A definition of the institutional activities should be considered early
in the planning process. Not just the responsibilities within the Agency
should be included, but other Agencies in the same institutions and
adjacent jurisdictions need to be included. Adjacent jurisdictions and
other Agencies may either provide support or revenue in exchange for
maintenance coverage beyond items that are owned by the Agency.

There are many significant issues associated with whether or not to
contract out all or part of the maintenance activities. Options for
contracting are described in more detail in [Chapter 7](#section-7).

**Functional and Performance Requirements**

Functional and performance requirements need to be considered right at
the beginning of the life-cycle. These two effectively are inseparable
in that when the function of a specific element is defined its
performance should also be defined. Without a performance definition
acceptance testing and performance monitoring has no standards with
which to judge acceptability. Hence the developer of plan needs to not
just define that a device meets some standard but also how long this can
be maintained.

For example if the function being specified in the light output from a
pixel on a Dynamic Message Sign (DMS) that includes bunches of Light
Emitting Diodes (LED) then the initial function may be that each LED
need to emit some number of lumens within a specified angle. This is a
defined function that can be tested and accepted. However, the
performance pixel also needs definition because, some LED's may fail.
How many failed LED's constitute a failed pixel? How many failed pixels
constitute a failed sign? How long should the pixel continue to exceed
the light output requirement? Adding temporal criteria to the LED
specification will ensure that the sign will perform as required for
some period. For example stating that a percentage of the LED must
maintain a light output over a number of years and less than some
percentage of the LED must not fail in the time period is one way this
can be done. However these types of performance requirements require a
testing routine to be scheduled into the life-cycle of that particular
device.

Thus the functional activities are defined at the beginning of the
devices life-cycle but the performance requirements will occur regularly
over time.

**Acceptance Testing**

Acceptance testing occurs at the beginning of the procurement cycle for
a specific device. It is typically linked to a payment item. The
maintenance plan can use the acceptance test procedures to repeat
testing at later stages in the life-cycle to verify continuing
conformance.

**Configuration and Asset Management**

Configuration management and asset management are continuous applied
throughout the life-cycle of a TMS. IEEE Std-729-1983 states
"Configuration is the process of identifying and defining the items in
the system, controlling the change of these items throughout their
lifecycle, recording and reporting the status of items and change
requests, and verifying the completeness and correctness of items".

Asset management is used more with physical infrastructure rather than
systems and is concerned that the infrastructure be considered and
managed to the end of its useful life. Both these operations can be a
key component of the lifecycle of a TMS. More detains of configuration
management can be found in [Chapter
3](#configuration-management-traceability-and-the-maintenance-concept)
and information on asset management is contained in [Chapter
7](#asset-management-tools).

**Preliminary and Final Design**

Within the life-cycle, the maintenance input to the preliminary and
final designs is critical. Preliminary designs tend to be more
conceptual and it is at this stage that the maintenance planning needs
to consider its requirements carefully. Coordination and cooperation
between departments is essential. Specifications need to include
facilities to ease maintenance. Gantries on variable message signs
facilitate access. Co-locating devices can both reduce the costs of
installing communications as well as enhance maintenance. For example,
many Agencies now specify that traffic detectors must be above ground.
However, there are Agencies that are still installing inductive loops.
Loops are a significant maintenance burden and, in most cases, are
unreliable, expensive to repair, and cause major disruptions to traffic.
Having maintenance input in the early design stages can significantly
aid the maintenance work.

Final designs tend to get more involved with locations, detailed
functions, and connectivity. Maintenance groups should get involved with
the final design to ensure that roadside devices:

-   Can be accessed. Examples abound of:

```{=html}
<!-- -->
```
-   Cameras that cannot be accessed by a cherry picker,

-   Communication links that are lost,

-   Signs that cannot be seen,

-   Communication equipment where every cable was black and unlabeled,

-   Controller cabinets that are buried by snow plows, and

-   Signs installed by the operations department and then removed by a
    construction project from another department.

```{=html}
<!-- -->
```
-   Can be accessed safely. The shoulders of freeways are dangerous
    locations and ensuring that maintenance crews can park behind the
    guardrails is advisable.

-   Are protected from the environment. Nearby bridges are usually good
    locations for equipment cabinets.

-   Are easily visible. Foliage that threatens to block signs, etc. must
    be routinely trimmed.

-   Are properly marked and labeled. Contractors should mark signs
    according to maintenance group formats.

-   Have available power sockets and in-cabinet lighting.

The maintenance staff needs to be involved with all levels of design
from the conceptual picture of location, institutional, and contractual
options down to the level of specifying the additional ports on the
board in the controller that will assist in fault-finding.

**Implementation**

Maintenance group activities during implementation should include
inspection and acceptance testing. This could be the group's first
opportunity to see the equipment, determine access, and ensure correct
operations, labeling, and documentation. Even if the responsibility for
the implementation is with the contractor, this is an opportunity for
the maintenance group to get their hands dirty. In addition, oversight
from the maintenance group will help ensure correct installation.

**Management and Operations**

Maintenance needs support from the management and operations on an
ongoing basis. The coordination with the operations functions is
described in [Chapter 5](#section-7).

**Maintenance Procedures**

Maintenance procedures for all common ITS devices are contained in
[Appendix B](#AppB). This appendix includes the frequency of maintenance
for each device. These increments need to be scheduled on a regular
basis and become part of the ongoing TMS life-cycle.

**Monitoring and Evaluation**

Monitoring and evaluation of the system for maintenance consists of two
components that need to be incorporated into the life-cycle. First is
the preventive maintenance that consists of the actions for each device
referred to earlier and defined in the Appendix. Second is the
responsive maintenance that results when the system or its operators
initiate trouble reports.

Both of these need to be considered ongoing activities. Although the
preventive actions can be planned, these are often a background task for
most Agencies that concentrate on the response tasks. When allocating
manpower and resources, Agencies need to be aware of the relationship
between preventive and responsive maintenance and do their best to
spread their limited resources appropriately.

Another dimension of the TMS life-cycle includes the degradation and
obsolescence of system components as they age. Ultimately, the TMS may
either be completely replaced or even decommissioned. Many of the
technology components in a modern TMS become obsolete rather quickly.
Desktop computers can typically be replaced after only three years by a
new model that is twice as powerful and costs the same or less as the
old one did originally. Other components, such as communications gear
(modems, multiplexors, etc.), vehicle detectors, DMS controllers and
display components, have somewhat longer life spans. Infrastructure
items, like DMS structures and cabinets, have much longer life spans.

An example of life expectancy for ITS and TMS components is shown in
Table 4-1. This table is summarized from the ITS Deployment Analysis
System (IDAS) and MitreTek/JPO Cost and Benefits Database (March 2002).

[]{#__RefHeading___Toc30907989 .anchor}*Table 4‑7* Sample Life
Expectancy of TMS Components

  ---------------------------------------------------------------------------
  **Subsystem**                                              **Lifetime
                                                             (Years)**
  ----------------------------------------------------- ---- ----------------
  Roadside Telecommunications (RS-TC)                        

  DS3 Communication Line                                20   

  Wireless Communications, High Usage                   20   

  Call Box                                              10   

  Roadside Detection (RS-D)                                  

  Inductive Loop Surveillance on Corridor               5    

  Remote Traffic Microwave Sensor on Corridor           10   

  Remote Traffic Microwave Sensor at Intersection       10   

  CCTV Video Camera                                     10   

  CCTV Video Camera Tower                               20   

  Environmental Sensing Station (Weather Station)       25   

  Roadside Control (RS-C)                                    

  Signal Controller Upgrade for Signal Control          20   

  Signal Preemption Receiver                            5    

  Signal Controller Upgrade for Signal Preemption       10   

  Ramp Meter                                            5    

  Software for Lane Control                             20   

  Lane Control Gates                                    20   

  Fixed Lane Signal                                     20   

  Roadside Information (RS-I)                                

  Roadside Message Sign                                 20   

  Wire line to Roadside Message Sign                    20   

  Variable Message Sign                                 20   

  Variable Message Sign Tower                           20   

  Variable Message Sign -- Portable                     14   

  Highway Advisory Radio                                20   

  Highway Advisory Radio Sign                           10   

  Roadside Probe Beacon                                 5    

  LED Count-down Signal                                 10   

  Roadside Rail Crossing (R-RC)                              

  Rail Crossing 4-Quad Gate, Signals                    20   

  Rail Crossing Train Detector                          20   

  Rail Crossing Controller                              10   

  Rail Crossing Pedestrian Warning Signal, Gates        20   

  Rail Crossing Trapped Vehicle Detector                10   

  Parking Management (PM)                                    

  Entrance/Exit Ramp Meters                             10   

  Tag Readers                                           10   

  Database and Software for Billing & Pricing           10   

  Parking Monitoring System                             10   

  Hardware                                              5    

  Toll Plaza (TP)                                            

  Electronic Toll Reader                                10   

  High-Speed Camera                                     10   

  Electronic Toll Collection Software                   10   

  Electronic Toll Collection Structure                  20   

  Remote Location (RM)                                       

  CCTV Camera                                           10   

  Integration of Camera with Existing Systems           10   

  Informational Kiosk                                   7    

  Integration of Kiosk with Existing Systems            7    

  Kiosk Upgrade for Interactive Usage                   5    

  Kiosk Software Upgrade for Interactive Usage          5    

  Transit Status Information Sign                       10   

  Smart Card Vending Machine                            5    

  Software, Integration for Smart Card Vending          20   

  Emergency Response Center (ER)                             

  Emergency Response Hardware                           10   

  Emergency Response Software                           10   

  Emergency Management Communications Software          20   

  Hardware, Software Upgrade for E-911 and Mayday       10   

  800 MHz. 2-way Radio                                  5    

  Transportation Management Center                           

  Hardware for Signal Control                           5    

  Software, Integration for Signal Control              5    

  Hardware, Software for Traffic Surveillance           20   

  Integration for Traffic Surveillance                  20   

  Hardware for Freeway Control                          5    

  Software, Integration for Freeway Control             5    

  Hardware for Lane Control                             5    

  Software, Integration for Lane Control                10   

  Software, Integration for Regional Control            10   

  Video Monitors, Wall for Incident Detection           5    

  Hardware for Incident Detection                       5    

  Integration for Incident Detection                    20   

  Transit Management Center                                  

  Transit Center Hardware                               10   

  Transit Center Software, Integration                  20   

  Upgrade for Auto. Scheduling, Run Cutting, or Fare    20   
  Payment                                                    

  Integration for Auto. Scheduling, Run Cutting, or     20   
  Fare Payment                                               

  Further Software Upgrade for E-Fare Payment           20   

  Vehicle Location Interface                            20   

  Video Monitors for Security System                    10   

  Hardware for Security System                          10   

  Integration of Security System with Existing Systems  20   

  Commercial Vehicle Check Station (CC)                      

  Check Station Structure                               20   

  Signal Board                                          10   

  Signal Indicator                                      20   

  Roadside Beacon                                       10   

  Wire line to Roadside Beacon                          20   

  Check Station Software, Integration                   20   

  Check Station Hardware                                10   

  Detection System                                      10   

  Software Upgrade for Safety Inspection                20   

  Handheld Safety Devices                               5    

  Software Upgrade for Citation and Accident Recording  20   

  Weigh-In-Motion Facility                              10   

  Wire line to Weigh-In-Motion Facility                 10   
  ---------------------------------------------------------------------------

[]{#__RefHeading___Toc30907990 .anchor}*Table 4‑8 Crosscutting
Activities that Support Life-Cycle Maintenance Requirements Analysis*

## ![](media/image17.wmf)Considerations for Maintenance Throughout the TMS Life-Cycle

The same crosscutting activities that take place during the systems
development life-cycle should also encompass the maintenance concept and
maintenance management activities throughout a TMS life-cycle. Table 4-2
compares the crosscutting activities in the systems engineering process
with the corresponding maintenance concept and requirements analyses.

As mentioned above, a key decision is whether to replace aging or
obsolete components. While it is recognized that preventive maintenance
will allow most types of equipment to operate longer, it is also
generally understood that there will be a point of diminishing returns.
That is, at some point, there is little more that can be done to keep a
worn out or obsolete device functional and the cost of preventive
maintenance exceeds the annualized cost of replacement. Figure 4-3
presents a generic representation of preventive maintenance cost per
year versus the cost of replacement, annualized over the expected life
span of the device. The point where the preventive maintenance costs per
year are the same as the annualized replacement costs is considered
break-even and it would be wasteful to continue to keep the old
equipment in service.

Significant amounts of empirical data are needed to calculate or
forecast this break-even point. The only feasible way to collect these
data and perform this type of analysis is via a computerized maintenance
management system (CMMS). The minimum data required for this type of
analysis includes the original purchase price, replacement cost, PM and
repair cost history, MTBF, and MTTR. Chapter 7 discusses the
characteristics of CMMS and other maintenance analysis tools. The use of
a CMMS tool is highly recommended because it provides a way to allocate
maintenance, repair, and replacement budgets more efficiently. The CMMS
will also provide much of the history, documentation, and justification
for the maintenance budget.

A life-cycle analysis of communications alternatives is critical to
every TMS. There are both policy and technical issues that should be
considered for the operation and maintenance of this communications
infrastructure.

-   **Agency-Owned Versus Leased:** This is often more of a policy
    decision than a technical one. Many of the TMS's referenced in the
    research, especially those built prior to 1996, have a
    communications infrastructure that is owned entirely by the Agency.
    Since 1996, the year the Telecommunications Act was passed,
    competition in the commercial data communication market has
    (somewhat) improved both the cost and reliability of leased
    communications service. Tennessee DOT evaluated the life-cycle cost
    of leased service versus owned and concluded, based largely on the
    cost of maintaining a fiber-optic communications plant, that leased
    services were more cost effective. This decision was also influenced
    by the fact that the State of Tennessee had a favorable existing
    contract for leased services that included a service level agreement
    for on-going maintenance.

-   **Design Alternatives and Their Impact on Maintenance:** The
    evaluation the life-cycle cost of TMS design should be considered
    when developing alternatives. This is particularly important for the
    communications infrastructure, since it is typically the most
    expensive element of a TMS in terms of both the capital and O&M
    costs.

## Staffing and Training Considerations

The availability of properly skilled and trained staff throughout the
life-cycle of the TMS is critically important to getting the most out of
any system and assuring that it meets its intended concept of operations
throughout the system's intended life-cycle. There were several
practices related to this critical need that were noted in the
literature research and interviews. These include:

-   **Pre-Qualification of Contractors:** Often a general
    pre-qualification process exists for many Agencies. However, as the
    skills change and complexity increases in a typical TMS, the
    pre-qualification process must be upgraded to match.

-   **Training by Vendors:** Procurement contracts should include a
    requirement for on-site training of Agency staff in maintenance and
    operations of the equipment, preferably conducted by the vendor.

-   **Training by Contractors:** Procurement contracts should also
    include a requirement for on-site training of Agency staff in the
    maintenance and operation of the assembled systems, including
    software, hardware, and devices.

-   **Training Library:** The operating Agency should maintain a library
    of system documentation and, if available, a videotape library of
    training.

-   **Staff Retention:** This can be difficult in a high-tech
    environment, but there are ways to improve retention, such as
    providing for additional training, allowing travel to technical
    conferences, and workshops and other non-salary related perquisites
    for Agency staff.

-   **Staffing Qualifications:** If procuring contract maintenance
    staff, specify minimum qualifications by position and require that
    contractor personnel submit resumes and proof of required
    certifications. Periodically check on contractor personnel and
    require pre-approval of new staff prior to approving invoices for
    their work.

-   **Estimating Staffing Numbers:** Staffing guidelines are often
    Agency-specific, due to the different organizational structures
    across the country. However, there were several references found in
    the literature that provide methodologies for calculating workload
    and using these workload estimates to generate full-time-equivalent
    (FTE) staff position descriptions.

Keep in mind that the only constant is change. Not only will the system
change over time, but also the concepts of operation and requirements
will also likely change, as will the stakeholders who generated the
requirements. The key to success in this environment is flexibility and
a good understanding of priorities for both operational and maintenance
concepts and requirements.

#  TMS Maintenance Program

## Introduction

The objective of this chapter is to guide the practitioner in developing
a maintenance program. A maintenance program provides a plan on what
maintenance is, how it is performed, how it can be budgeted, and why it
is needed. It is a document that describes the needs to persons outside
the direct department with maintenance responsibilities and provides
guidance to those within that department.

This chapter lays out the logistics for producing a maintenance program.
Many of the details contained within the plan are available in other
chapters of this report. The practitioner will need to adapt the plan to
suit the local institutional and organizational conditions and to meet
the needs of the Agency's ITS hardware.

As defined in Chapter 1, responsive maintenance is the repair or
replacement of failed equipment and its restoration to safe, normal
operation. Preventive maintenance is the activity performed at regularly
scheduled intervals for the upkeep of equipment.

Maintenance is the upkeep of property and equipment. Within the context
of TMS maintenance activities, it covers a wide range of activities ---
from extreme emergencies, when roadway crashes may have caused state
property to fall and block the freeway, through scheduled activities
such as cleaning camera housings and backing up hard drives that keep
the control systems running.

The topics covered in this chapter mirror the contents of a maintenance
program. They include:

-   **Introduction to Maintenance:** Describes what maintenance is and
    how a maintenance program can be considered as a part of a larger
    statewide or Agency-wide effort and why considering the program this
    way is advantageous.

-   **Development of a Maintenance Program:** Defines the overall
    objectives and how they may be measured.

-   **Institutional Issues:** Discusses the relationships between a
    maintenance program and other parts of the same Agency and external
    institutions.

-   **Budgeting:** Examines how budgets can be developed and supported.

-   **Implementation Options:** Covers such issues as contracting and
    warranties.

-   **Maintenance Procedures:** Defines what is maintained, what actions
    are performed, and how often they are performed.

The remaining sections of this chapter define how a plan can be created
materials in other sections of this document.

## Introduction to Maintenance

Maintenance programs for TMS elements are best considered as part of the
larger and more conventional maintenance activities of an Agency.
Resurfacing, safety, and rehabilitation programs are all ongoing
activities in that all Agencies are involved. Considering TMS
maintenance as a critical part of the wider maintenance activities
allows such an Agency program to be considered the within the framework
of Agency operations.

Having a mission is an effective tool in selling maintenance to
individual Agencies and other institutions. The following example is
from the Caltrans Division of Maintenance:

> *"The Division of Maintenance\'s mission is to protect public safety
> and preserve California\'s Highway system by maintaining and repairing
> the system and responding to emergencies so travelers and goods reach
> their destination safely and efficiently.*
>
> *Our vision is to be the World Leader in Maintaining a Safe and
> Efficient Highway system. Through the efforts of dedicated and skilled
> employees, we will:*

-   *Put employee and public safety first.*

-   *Protect the public\'s investment by doing the right thing at the
    right time.*

-   *Enhance the quality of travel.*

-   *Be recognized for our professionalism, innovation and
    responsiveness."*

A maintenance program should be developed during the initial design
stages of an ITS program. Section 8 of the National Architecture for ITS
(Version 4) states:

> *"ITS shall provide Maintenance and Construction Operations (MCO)
> functions to support monitoring, operating, maintaining, improving and
> managing the physical condition of roadways, the associated
> infrastructure equipment, and the required resources. MCO shall focus
> on four major functions: 1) the Maintenance Vehicle Fleet Management
> function, to monitor and track locations and conditions of fleets of
> maintenance, construction, and specialized service vehicles; 2) the
> Roadway Management function, to monitor and forecast conditions and
> manage treatment of roadways during various travel conditions; 3) the
> Work Zone Management and Safety function, to support effective and
> efficient roadway operations during work zone activities; and 4) the
> Roadway Maintenance Conditions and Work Plan Dissemination function,
> to coordinate work plans and to communicate conditions. This User
> Service will utilize ITS systems and processes to support interchange
> of information among diverse groups of users, to improve efficiency
> and effectiveness of operational, maintenance, and managerial
> activities." (See <http://www.dot.ca.gov/hq/maint/>)*

There are significant advantages in emphasizing the maintenance program
in the early stages of ITS design. During ITS architectural development,
institutional issues and connections between jurisdictions are made and
agreements are forged. The maintenance program in many locations
operates services across these boundaries and maintenance should be
included as a component of the institutional agreements. During the
early stages of ITS design, the locations for control centers and depots
are considered. The staffing of a maintenance program is critical to
keeping the system running.

Early planners of ITS often locate maintenance depots on an expedient
basis of what land is available to the state and adjacent to a highway.
The needs of the maintenance staff should be included in such plans.
Maintenance staff need to access specific hardware often in the middle
of the night (snow plows, diggers, cherry pickers, etc.). Staff access
staff to maintenance depots needs to be considered in the light of their
operations. For example, the Washington State DOT maintenance depot at
Hyak on I-90 east of Seattle is at the summit of Snoqualmie Pass; it is
there that the big equipment and the central computer are housed. The
location is often inaccessible, although the facility is outfitted with
beds and a kitchen for long-term stays. Some locations allow the
maintenance crews use of Agency vehicles to commute home at night in
order to reduce response times to access equipment outside of normal
operational hours. Activities and geography need to be accommodated
within the staffing issues associated with early stages of ITS planning.

During the early stages of the plan development process, specific ITS
devices are selected. The awareness of maintenance difficulties are
often now included in the selection of, for example, non-intrusive
detectors, ensuring that the maintenance activity does not cut into the
road surface. However, this process should be taken further by
incorporating the extent of the work, the frequency, and the level of
staffing expertise into the device selection criteria. For instance, the
maintenance requirements of dynamic message signs might include the
ability to:

-   Readily remove individual character modules.

```{=html}
<!-- -->
```
-   Require no special tools.

-   Provide access while traffic still flows.

-   Provide wiring diagrams inside each unit.

-   Allow additional data ports to easily support on-site debugging and
    testing.

-   Provide diagnostic testing tools and indicators.

Getting the maintenance staff involved in the specification writing to
include these types of elements will save effort and make the system,
when installed, easier to maintain. The concept of ensuring that all
activities that affect maintenance should be considered as part of the
program will help later with institutional issues. In some cases, there
are separate departments that are used for planning and design rather
than operations and maintenance. In these instances, it is harder to
develop system designs that accommodate maintenance activities and
additional efforts should be made to ensure coordination.

## Development of a Maintenance Program

The development of a maintenance program requires that there be input
from a variety of other plans and budgets within the Agency. It is
common for operations and maintenance to be considered together. This
results from the fact that operations and maintenance are frequently
funded as a single budget item. Operations are more evident than
maintenance, because the former have a more immediate impact on traffic
and because operational control centers are designed with public
relations in mind.

The development of a maintenance program needs to define the mission and
vision of the program put into the context of the other programs and
activities within the Agency. Getting maintenance into the minds of the
related departments and institutions may require a selling the whole
program. The intent is to ensure that the maintenance goals and missions
are included in the thinking of others. Web pages, short brochures, and
full maintenance plans have all been used to achieve this end. In some
cases, these plans as formalized (as noted in the Caltrans' example,
above; Oregon DOT has a formal maintenance plan). In other cases, the
maintenance activities for TMS are combined with operations and budgeted
and funded as an integral unit.

A maintenance program is intrinsically linked to the operations and
design of the Agency's traffic management center. It is also linked to
the other broader aspects of the Agency's programs insofar as the staff
is often part of that department. There are unfortunate examples where
the operations group has added ITS devices that the separate maintenance
group did not, or could not, maintain and the system fell into
disrepair. Setting relationships to the TMC staff, the relevant police,
fire, and emergency Agencies, as well and those organizations
responsible for incident management, will assist in the development of a
program. The issue of a formal memorandum of understanding is discussed
in Chapter 2 of this report.

![](media/image18.wmf)

*Figure 5-1 Relationships Among Maintenance Program Components*

As illustrated in the Figure 5-1, a maintenance program requires a close
and well-defined relationship with:

-   Operations,

```{=html}
<!-- -->
```
-   Training,

-   Equipment,

-   Contracts and Purchasing Department,

-   Budgetary Processes, and

-   Staffing.

A maintenance program needs to be developed in conjunction with the
operations group. The program development should, at a minimum,
consider:

-   Policy concerning the missions and objectives.

```{=html}
<!-- -->
```
-   Goals in terms of operational levels concerning what percentage of
    devices need to be working at any time.

-   The procedures and processes to keep the investment operating.

-   Safety procedures for the various staff with particular emphasis on
    workers on-site.

-   Costs and staffing levels necessary to keep the plant at a suitably
    high operational level.

The operations group within an Agency will need to be involved with the
maintenance program development. There are operational aspects that
affect the timing and frequency of the maintenance program. There are
few aspects of operations that do not affect such a program. Backing-up
of operating systems, replacing video displays, coordinating the
cleaning operations centers, and site visits all need to be considered
as a part of the program. In some circumstances, the operations staff
are used to ensure that contractors are on-site at the right time and
are following the correct safety procedures. The operations group needs
to be in constant audio contact with the maintenance staff and the
program needs to ensure that radios or cell phone facilities are planned
and budgeted.

Training is an important part of the maintenance program. Maintenance
staff training will often include the Agency's safety and operational
procedures; the detailed maintenance procedures for the individual
devices; and the operation and calibration of test equipment. In
addition, the maintenance staff often needs to be trained in the use of
differing vehicle types such as cranes, heavy plant equipment, etc. The
development of a maintenance program should allocate budget for training
new employees, training employees on new technologies and providing
refresher courses to keep all staff aware of the safety procedures.
Maintenance of data archives, updating various databases, and running
configuration management on the various pieces of software in the TMC
should also be part of a maintenance program. These elements of the
program require specialized computer skills and such staff capability
should be included in the program.

Maintenance operations require a range of equipment from the highly
specialized electronics used for fault finding and repairing
fiber-optics, through large trucks used to spread material in response
to spills and inclement weather. A maintenance program needs to include
detailed estimates of the entire Agency's requirements, and how they are
to be purchased and maintained. The maintenance staff is likely to have
to allocate time to the maintenance of their own plant. Lifetimes,
salvage values, and replacement also need to be considered as equipment
wears out and is lost or broken. This is one aspect that can feed into
the decisions concerning the use of contractors. Expensive equipment,
such as fusion-splicing equipment to mend fiber-optic, requires trained
personnel. In addition, the number of times such facilities are needed
is infrequent. Contracting options or keeping such skills on hand by use
of retainer payments may form part of the maintenance program.

Other contracting options are described in earlier sections of this
report. However, a maintenance program should involve the contracting
and purchasing departments of the Agency to ensure that invoicing,
payments, contracting options, and all the relevant terms and conditions
are accommodated. Some contracting options and payment procedures,
particularly those for responsive maintenance, can become complex. These
procedures should form part of the maintenance program planning.

The staffing of a maintenance program is often the key factor in its
success. Estimates of staffing levels can be found in Chapter 3. TMS's
are often an accumulation of many years of growth spread over a wide
range of contracts. Maintenance staff tend to accumulate a lot of
details concerning the quirks and idiosyncrasies of their particular
communications network and the devices being operated. Keeping these
staff on-board, and providing them with an attractive career path, is
one of the major problems in developing a maintenance program. The
Agency management needs to provide a rewarding working environment to
ensure that vital staff assets are not lost.

## Defining Mission and Objectives

The inclusion of a mission-and-objectives definition is a useful and
salutary exercise for the developer of a maintenance plan. By defining
the objectives the maintenance operations, the developer of the plan has
to provide a balance between the various resources available. Some
Agencies insist that all items that break are fixed as soon as possible.
Others are continually trying to catch up with the required responsive
maintenance. Others consider preventive maintenance a luxury they have
no time or budget for. A mission statement that defines the priorities
can assist in the development of a plan.

## Budgeting

Traditionally, maintenance funding has been the responsibility of the
operating Agency. In a few cases, such as Virginia, there is a statutory
requirement that maintenance funds come "off the top" of the budget,
i.e., that maintenance is funded first and then capital projects. In the
case of TMS projects, O&M costs are rarely included beyond the first
year of operation. Typically, the capital cost for implementing TMS
elements are programmed for one category of funding while the O&M must
come from another funding category.

The ISTEA legislation and later TEA-21 legislation have relaxed certain
FHWA restrictions on federal aid funding operations and management of
TMS activities. CMAQ funds can be used for certain O&M activities. There
are still roadblocks to using these categories for TMS. The CMAQ funding
is limited to certain qualifying projects and has a three-year time
limitation. Federal funding for O&M must compete with capital projects
for prioritization. This means it often loses out to the larger more
visible projects.

The Volpe National Transportation Systems Center (VNTSC) recently
interviewed several cities and MPO's regarding the funding of O&M
activities. These interviews indicated a lack of knowledge about the
availability of, and guidelines for, use of federal funds for O&M. Those
interviewees that had some knowledge of the availability of O&M funding
indicated some reluctance to pursue this source of funding because of
the competition with capital projects and the level of effort involved
(i.e., it takes the same amount of effort to secure funding for a large
capital project as it does for a relatively small O&M project).

The relative newness of TMS projects means that many Agencies do not
have much experience with maintenance requirements. There are quite a
few references ([Ref 1, 7,)](#ref7) available, however, to assist in
developing budgets for TMS maintenance. Also, the maintenance budgets
presented by some of the survey sites may be helpful in comparison.

The Caltrans District 7 Maintenance Plan ([Ref. 8](#ref8)) is unique in
that a detailed methodology is used to develop workload standards for
maintenance of each device type. This methodology uses mean time between
failure and mean time to repair (MTTR) for corrective maintenance
activities, as well as time spent in preventive maintenance. An average
travel time to conduct each activity is calculated based on the location
of the maintenance facility and the mean distance to all devices of a
given type. Using these data, an estimated labor workload can be
calculated for each device type (per unit per year).

Funding of maintenance programs has proven to be very troublesome in
many Agencies. ITS implementations are typically justified on the
grounds that they will reduce congestion and provide information to the
public. The many references on the FHWA benefit cost website ([Ref.
9](#ref9)) show justification for these expenditures. However,
maintenance programs that can be justified as a way to ensure the
continuation of these benefits are often harder to sell. The continued
operation of hundreds of roadside devices can also be jeopardized by the
costs of running the TMC that is using the information these devices
provide. It is important to emphasize the relationship between
surveillance, operations, and the delivery of data to the public.

The budgeting section of a maintenance program needs to emphasize the
fact that operations and maintenance costs can be similar. Generally
there are about half as many maintenance positions as there are operator
positions within a TMC. This ratio can vary according to the type of
ITS, geography, and the specific structure of the various
responsibilities. However, this can be used as a starting point in the
budgeting process. Later in this chapter, processes for calculating the
staffing and inventory levels are described. Inventory, staffing, plant,
and vehicles, as well as contracted services, all make significant
contributions to the cost of maintenance.

Although the use of Federal funds is allowed for maintenance projects,
there are impediments to using these. Some states maintain that federal
funding is not available for maintenance.

> *"But federal funds are not available for maintaining state roads, the
> Department said." (The Associated Press, June 1, 2002, concerning
> reductions in maintenance in Alaska.)*

Since Federal funds are available, the developer of the maintenance
program should investigate opportunities with the local FHWA
representative.

The funding of some maintenance programs is enhanced by monies from
other jurisdictions including local cities and counties that use state
maintenance staff for their devices. The state signal shop providing
maintenance to county signals is one example of this. In the case of the
City of Charleston, the City maintains the signals in the adjacent
jurisdictions in return for an annual fee. Similar opportunities are
available with toll authorities and large sporting complexes that may
have extensive video systems.

Current practice with the funding of maintenance programs is varied. It
is difficult to determine the size of individual budgets as there is no
common basis on how funding occurs. In some Agencies, operations and
maintenance are combined and a group of staff are dedicated to both
functions and the budget item for maintenance may be just for keeping
inventory current. In other locations, there may be an entirely
independent budget for TMS; this seems more common where the maintenance
activities are contracted out and therefore a specific budget item is
required. Some Agencies do not have separate budgets for TMS's --- the
upkeep of the devices and the centers become another item within the
entire Agencies' budgets.

Within these frameworks, budgets are often allocated by district;
structures can be very different between adjacent jurisdictions in the
same state. Given this complexity of choices, the developer of the
maintenance program should consider multiple approaches to fund
maintenance and develop arguments and justifications for the budget that
are more liable to be successful in each area. For example, putting
long-term warranties to cover maintenance activities on devices may be
included in the construction budget. Caltrans installed most of its ramp
metering system by ensuring that the standard construction plans for a
ramp included all the appropriate devices, power, and communications
connections. Connecticut DOT when contracting for DMS, incorporated
maintenance contracts in the bid for the signs.

The process for developing an estimate for the budget for a maintenance
program includes:

-   Estimating staffing requirements by system.

```{=html}
<!-- -->
```
-   Estimating the management needs --- normally one or two persons for
    a typical TMS.

-   Calculating the ITS device's annual inventory replacement costs ---
    see Design Life and MTBF.

-   Estimating maintenance for vehicles and plants, including salvage
    and replacement values.

## Implementation Options

There are two basic options for conducting TMS maintenance: (1) in-house
resources, or (2) contract maintenance. For the vast majority of TMS
locations cited in the literature, there was some combination of
in-house maintenance and contract operations. Our survey also was
reflective of this hybrid approach to providing maintenance, but
included two extremes. Cincinnati has a turnkey O&M contract that covers
all system maintenance. The local Ohio DOT district office was scheduled
to assume more responsibility and involvement in the ARTIMIS system
beginning in April 2002, and this may change in the future. The
Department explained that one of the drawbacks of a turnkey O&M contract
is that lack of involvement sometimes means a lack of control.

The other end of the spectrum is the Albany, New York system. Here, the
New York State DOT handles practically all system maintenance for this
35-mile freeway system. Some maintenance responsibilities for the TOC
are shared with the State Police who are co-located in the same
facility. They have recently negotiated an agreement with the State
University to provide maintenance on the CCTV cameras. A software
maintenance agreement with the vendor of the central system software was
also recently executed as part of an overdue upgrade.

The use of, and experience with, device and system warranties was
examined in the survey. The general consensus was that while warranties
are useful and desirable, they tend to be difficult to administer.
Warranties generally cover the replacement of failed hardware
components; they do not, however, usually cover the labor costs to
repair the components or install replacement hardware. Of course, during
the bid process, the installation contractor could theoretically be
required to provide the repair labor --- doing so, however, can make it
difficult for contractors to compete. Retainage of a percentage of the
contractor's funds until the end of the warranty period presses the
contractor to minimize the warranty length. On the other hand,
eliminating the retainage leaves the contractor with less incentive to
furnish warranty and repair labor service.

Maintenance contracts sensitive to the needs of contractors are more
likely to be successful than are those which are substantially oblivious
to these needs. For example, in Virginia, VDOT initially advertised for
contract maintenance of a large freeway management system. This was to
be the first such contract covering all field devices. The RFP
requirements included little detail about the status of existing system
devices and lots of stringent requirements for response time and repair
time. The few contractors choosing to respond all priced the project
much higher than the amount anticipated in the Department's budget,
primarily because these contractors perceived the risk to be so high. A
subsequent re-advertisement of this maintenance contract was preceded by
a pre-bid conference at which many details about the existing system
were discussed and feedback solicited from the potential contractors.
The result was a much more competitive procurement with prices within
the Department's budget.

The program in this area needs to consider the breakdown of operations
to determine which, if any, elements of the maintenance procedures
should be contracted out. Section 7.2, Options for Contracting,
describes the contract options available to Agencies and how to make
informed decisions. It also includes a sample contract.

## Maintenance Procedures

There are several elements to the procedures:

-   **Inventory:** See Section 2.5, *Maintenance Management System and
    Software*.

```{=html}
<!-- -->
```
-   **Preventive Maintenance Procedure:** Defined in Appendix B,
    *Maintenance Procedures for ITS Devices*.

-   **Responsive Maintenance and Emergency Maintenance:** See Section
    1.5, *Definitions and Concepts*.

The developer of the maintenance program will need to determine
responsibilities for each of these elements. Then a procedures document
should be prepared that offers guidance to the maintenance staff and
provides a basis for the staff estimating spreadsheet.

Most Agencies do not currently have maintenance plan documents. Agencies
often have lists of maintenance procedures and references to maintenance
in operations documents. However, dedicated maintenance plans are not
readily found.

The maintenance program must specifically identify the TMS elements to
be included in preventive maintenance. For corrective maintenance, a
predetermined priority list is a minimum requirement. Ideally, a process
can be defined for assigning priorities for corrective maintenance as
problems occur.

The maintenance program should include descriptions of maintenance
actions and frequencies for the following minimum elements:

-   TMC Hardware,

```{=html}
<!-- -->
```
-   TMC Software,

-   Video Walls,

-   Communications Plant,

-   Surveillance Devices,

-   Signal Controllers,

-   Video Systems,

-   Web Pages,

-   Dynamic Message Signs,

-   Highway Advisory Radio,

-   Environmental Sensor Stations, and

-   Public Information Dissemination.

The information on the specific procedures for maintaining devices is
contained in [Appendix B](#AppB). The procedures associated with
starting a maintenance action can come from a variety of sources, as
illustrated in Figure 5-2 that indicates the typical flow process when
dealing with a responsive maintenance activity.

![](media/image19.wmf)

*Figure 5‑2 Responsive Maintenance Process*

After the Maintenance operator receives notification, he or she opens a
trouble report. Examples of such reports are shown in [Appendix
A](#appendix-a-example-trouble-reports). There are existing maintenance
programs that keep track of trouble calls and incidents. These features
are sometime integrated with the central control software; stand-alone
products are also available.

Regardless of the Agency's procedures, the appropriate responder is
notified, the responder acts on the response, the responder reports back
on the outcome to the Maintenance operator, and the operator verifies
that the work is done and updates the trouble report.

## Performance Measures

Measuring the performance of the maintenance program provides
information both on organization and management issues, in addition to
the reliability of various ITS devices. Having metrics of the system
provides continual feedback on how well the system is operating.

The metrics associated with the structure of the plan could include:

-   Down time of the entire system,

```{=html}
<!-- -->
```
-   Time required to handle responsive maintenance,

-   Time required to handle emergency maintenance,

-   Negative calls from the public, and

-   Adverse press.

The program developer will need to consider these and possibly other
metrics that help the Agency assess the success of the program. Although
the list above reflects negative issues only, this is to some extent a
consequence of maintenance. There is no good news as if all the
maintenance is not performed. The best that can be hoped for is that
everything works all the time and minimum expectations are met.

The metrics associated with the individual components could include:

-   For each device type:

```{=html}
<!-- -->
```
-   Time to detect failure

-   Mean time to respond

-   Mean time to repair

-   Failure rate

```{=html}
<!-- -->
```
-   Down time of the entire system

-   Number of times the system is down

## Inventory, Databases and Asset Management

A clear message from all resources and participants involved is that
whatever type of maintenance program is selected for a TMS, it must be
well-organized and efficient. One of the best tools to help with this is
a Maintenance Management System that includes, at a minimum, an
inventory or database of all major devices and subsystems within the
TMS.

A step-up from a simple inventory based MMS is an Asset Management
System (AMS). AMS's are available from a variety of commercial vendors
and are widely used in both public and private practice. Typical
features will include the use of bar codes or similar identification
procedures for tagging each item in the inventory; tracking of MTBF and
MTTR measures; comparative analysis of maintenance activities by
location, vendor, time of year, etc.; and reporting of various
maintenance and inventory characteristics.

In setting up MMS's and AMS's, the following key considerations should
be taken into account:

-   **Detail to Inventory:** Determine the level of detail to maintain
    in the inventory. Typically, the Agency should inventory down to the
    lowest level of device repair or replacement. For example, if
    traffic signal controllers are repaired at the circuit board level,
    then the inventory should cover both controller assemblies and their
    circuit boards.

```{=html}
<!-- -->
```
-   **Maintain a Structured Inventory:** The inventory should be able to
    separately track where the TMS devices reside and whether they are
    installed in the field or TMC or stored in a warehouse, shop, or
    repair facility; and whether they are held by contractors or kept in
    maintenance vehicles as ready-spares.

-   **Bar-Code or Tag System:** Similar to the UPC codes on retail
    packaging, the Agency should consider using a bar-code system to
    facilitate the inventory. The bar-code or tag is tracked in the
    inventory to the device serial number. Hand-held scanners are
    optional, but can quickly read the tag as the inventory is updated
    during maintenance activity.

-   **Automated Event Logging:** The use of a bar-code or tag system and
    hand-held scanners in conjunction with an MMS can be used to swiftly
    capture inventory and maintenance event tracking data. This largely
    eliminates time-consuming paper tracking.

## Managing a Maintenance Plan

With the maintenance plan developed, approved, and funded, there must be
a structured practice for managing the plan. The basics of plan
management are similar to other practices and should include:

-   **Performance Monitoring:** Regular checking of plan metrics and
    budgets against the maintenance plan projections.

-   **Oversight Support:** Support of the plan over time and its
    relationship to training and staffing issues.

-   **On-Going Multi-Year Planning:** Plan for changes in TMS
    components, emerging issues, changes in the process, and new or
    evolving needs of stakeholders. Check that the level of effort and
    resources are appropriate to support a multi-year maintenance
    program plan.

-   **Operational Needs:** Confirm that the maintenance concept is
    consistent with operational concept.

-   **Safety Considerations:** Verify that maintenance activities are
    being performed according to required safety procedures.

-   **Documentation:** Create and maintain reports on TMS status and
    maintenance activities, problems, concerns, etc. This should include
    status reports for TMS and Agency administration.

-   **Configuration Management:** Document and approve those maintenance
    activities that modify system configuration, such as replacing a
    failed TMS device with an upgraded model.

There are tools, such as commercially available asset management
systems, that can help with the operation and management of a
maintenance plan. There is also a new User Service within the National
ITS Architecture that can help describe and specify a function to
support the maintenance of a TMS. This service, "Maintenance and
Construction Operations," is introduced in the new version of National
ITS Architecture (Version 4.0).

The following are requirements of the user service "Maintenance and
Construction Operations" that an ITS device should provide (the
numbering scheme is the same used in the National ITS Architecture):

[]{#__RefHeading___Toc30907991 .anchor}*Table 5‑9* ITS User Services for
Maintenance & Construction

  -------- --------------------------------------------------------------
  8.1.0    ITS shall provide Maintenance and Construction Operations
           (MCO) functions to support monitoring, operating, maintaining,
           improving, and managing the physical condition of roadways,
           the associated infrastructure equipment, and the required
           resources. MCO shall focus on four major functions: (1) the
           *Maintenance Vehicle Fleet Management* function, to monitor
           and track locations and conditions of fleets of maintenance,
           construction, and specialized service vehicles; (2) the
           *Roadway Management* function, to monitor and forecast
           conditions and manage treatment of roadways during various
           travel conditions; (3) the *Work Zone Management and Safety*
           function, to support effective and efficient roadway
           operations during work zone activities; and (4) the *Roadway
           Maintenance Conditions and Work Plan Dissemination* function,
           to coordinate work plans and to communicate conditions. This
           User Service will utilize ITS systems and processes to support
           interchange of information among diverse groups of users, to
           improve efficiency and effectiveness of operational,
           maintenance, and managerial activities.

  8.1.1    Maintenance and Construction Operations shall provide a
           *Maintenance Vehicle Fleet Management* (MVFM) function to (1)
           schedule and dispatch; (2) monitor and track location; and (3)
           monitor operational conditions and maintenance requirements of
           public and contracted fleets of maintenance, construction, and
           specialized service vehicles. This function includes
           interactions among Traffic Managers, Supervisors, Dispatchers,
           Field Crews, Construction Crews, Vehicle Maintenance Crews,
           Equipment Maintenance Crews, Weather Services Organizations,
           and Information Service Providers.

  8.1.2    Maintenance and Construction Operations shall provide a
           *Roadway Management* (RWM) function to (1) monitor traffic,
           road surface, and environmental conditions; (2) forecast
           traffic and road surface conditions to support management of
           routine and hazardous road condition remediation; and (3)
           communicate changes in conditions. This function includes
           interactions among Traffic Managers, Supervisors, Dispatchers,
           Field Crews, Construction Crews, Asset Managers, Planning
           Agencies, and Weather Services Organizations.

  8.1.3    Maintenance and Construction Operations shall provide a *Work
           Zone Management and Safety* (WZMS) function to provide support
           for the effectiveness, safety, and efficiency of roadway
           operations during all work zone activities. This function
           includes interactions among Traffic Managers, Supervisors,
           Dispatchers, Field Crews, Construction Crews, Public Safety
           Organizations, Information Service Providers, and Travelers.

  8.1.4    Maintenance and Construction Operations shall provide a
           *Roadway Maintenance Conditions and Work Plan Dissemination*
           (RMCWPD) function to provide inter- and intra-Agency
           coordination of work plans. This function includes
           interactions among Traffic Managers, Supervisors, Planning
           Agencies, Public Safety Organizations, and Information Service
           Providers.
  -------- --------------------------------------------------------------

Defined in the National ITS Architecture, the Maintenance and
Construction Management Subsystem monitors and manages roadway (and TMS)
infrastructure construction and maintenance activities. Representing
both public Agencies and private contractors that provide these
functions, this subsystem manages fleets of maintenance, construction,
or special service vehicles. The Maintenance & Construction Vehicle
subsystem resides in maintenance, construction, or other specialized
service vehicles or hardware and provides the sensory, processing,
storage, and communications functions necessary to support highway
maintenance and construction. All types of maintenance and construction
vehicles are covered, including bucket trucks, heavy equipment, and
supervisory vehicles.

Additionally ten Market Packages, defined by sets of equipment packages
required to work together (typically across different subsystems) to
deliver specific transportation services and the major architecture
flows between them and other important external systems, which support
the user service of are given as following:

Additionally, ten ITS "market packages" are identified to support the
user service of "Maintenance and Construction Operations":

-   Maintenance and Construction Vehicle Tracking,

```{=html}
<!-- -->
```
-   Maintenance and Construction Vehicle Maintenance,

-   Road Weather Data Collection,

-   Weather Information Processing and Distribution,

-   Roadway Automated Treatment,

-   Winter Maintenance,

-   Roadway Maintenance and Construction,

-   Work Zone Management,

-   Work Zone Safety Monitoring, and

-   Maintenance and Construction Activity Coordination.

Not all of these market packages are necessary for every MMS, but
demonstrate the range of possibilities. Table 5-2 shows subsystem and
equipment packages associated with the Maintenance and Construction
market packages.

*Table 5*‑2 Market Packages and Equipment Packages for Maintenance &
Construction

+--------------+---------------------------+---------------------------+
| **ITS Market | **Required Subsystems**   | **Required Equipment      |
| Package**    |                           | Packages**                |
+--------------+---------------------------+---------------------------+
| Maintenance  | Maintenance and           | MCM Vehicle Tracking      |
| and          | Construction Management   |                           |
| Construction |                           | MCV Vehicle Location      |
| Vehicle      | Maintenance and           | Tracking                  |
| Tracking     | Construction Vehicle      |                           |
+--------------+---------------------------+---------------------------+
| Maintenance  | Maintenance and           | MCM Vehicle and Equipment |
| and          | Construction              | Maintenance Management    |
| Construction |                           |                           |
| Vehicle      | Management                | MCV Vehicle System        |
| Maintenance  |                           | Monitoring and            |
|              | Maintenance and           | Diagnostics               |
|              | Construction Vehicle      |                           |
|              |                           | Vehicle Safety Monitoring |
|              | Vehicle                   | System                    |
+--------------+---------------------------+---------------------------+
| Road Weather | Emergency Management      | Emergency Environmental   |
| Data         |                           | Monitoring                |
| Collection   | Emergency Vehicle         |                           |
|              | Subsystem                 | On-Board EV Environmental |
|              |                           | Monitoring                |
|              | Information Service       |                           |
|              | Provider                  | ISP Probe Information     |
|              |                           | Collection                |
|              | Maintenance and           |                           |
|              | Construction Management   | MCM Environmental         |
|              |                           | Information Collection    |
|              | Maintenance and           |                           |
|              | Construction Vehicle      | MCV Environmental         |
|              |                           | Monitoring                |
|              | Roadway Subsystem         |                           |
|              |                           | Roadway Environmental     |
|              | Traffic Management        | Monitoring                |
|              |                           |                           |
|              | Transit Management        | Roadway Probe Beacons     |
|              |                           |                           |
|              | Transit Vehicle Subsystem | TMC Environmental         |
|              |                           | Monitoring                |
|              | Vehicle                   |                           |
|              |                           | TMC Probe Information     |
|              |                           | Collection                |
|              |                           |                           |
|              |                           | Transit Environmental     |
|              |                           | Monitoring                |
|              |                           |                           |
|              |                           | On-Board Environmental    |
|              |                           | Monitoring                |
|              |                           |                           |
|              |                           | Smart Probe               |
+--------------+---------------------------+---------------------------+
| Weather      | Emergency Management      | Emergency Environmental   |
| Information  |                           | Monitoring                |
| Processing   | Information Service       |                           |
| and          | Provider                  | Basic Information         |
| Distribution |                           | Broadcast Interactive     |
|              | Maintenance and           | Infrastructure            |
|              | Construction Management   | Information               |
|              |                           |                           |
|              | Traffic Management        | MCM Environmental         |
|              |                           | Information Processing    |
|              | Transit Management        |                           |
|              |                           | TMC Environmental         |
|              |                           | Monitoring                |
|              |                           |                           |
|              |                           | Transit Environmental     |
|              |                           | Monitoring                |
+--------------+---------------------------+---------------------------+
| Roadway      | Maintenance and           | MCM Automated Treatment   |
| Automated    | Construction Management   | System Control            |
| Treatment    | Roadway Subsystem         |                           |
|              |                           | Roadway Automated         |
|              |                           | Treatment                 |
+--------------+---------------------------+---------------------------+
| Winter       | Maintenance and           | MCM Maintenance Decision  |
| Maintenance  | Construction Management   | Support                   |
|              |                           |                           |
|              | Maintenance and           | MCM Winter Maintenance    |
|              | Construction Vehicle      | Management                |
|              |                           |                           |
|              | Traffic Management        | MCV Winter Maintenance    |
|              |                           |                           |
|              |                           | TMC Incident Dispatch     |
|              |                           | C                         |
|              |                           | oordination/Communication |
+--------------+---------------------------+---------------------------+
| Roadway      | Maintenance and           | MCM Maintenance Decision  |
| Maintenance  | Construction Management   | Support                   |
| and          |                           |                           |
| Construction | Maintenance and           | MCM Roadway Maintenance   |
|              | Construction Vehicle      | and Construction          |
|              |                           |                           |
|              | Roadway Subsystem         | MCV Infrastructure        |
|              |                           | Monitoring                |
|              | Traffic Management        |                           |
|              |                           | MCV Roadway Maintenance   |
|              |                           | and Construction          |
|              |                           |                           |
|              |                           | Roadway Infrastructure    |
|              |                           | Monitoring                |
|              |                           |                           |
|              |                           | Traffic Maintenance       |
+--------------+---------------------------+---------------------------+
| Work Zone    | Maintenance and           | MCM Work Zone Management  |
| Management   | Construction Management   |                           |
|              |                           | MCV Work Zone Support     |
|              | Maintenance and           |                           |
|              | Construction Vehicle      | Roadway Work Zone Traffic |
|              |                           | Control                   |
|              | Roadway Subsystem         |                           |
|              |                           | TMC Work Zone Traffic     |
|              | Traffic Management        | Management                |
+--------------+---------------------------+---------------------------+
| Work Zone    | Maintenance and           | MCM Work Zone Safety      |
| Safety       | Construction Management   | Management                |
| Monitoring   |                           |                           |
|              | Maintenance and           | MCV Vehicle Safety        |
|              | Construction Vehicle      | Monitoring                |
|              |                           |                           |
|              | Roadway Subsystem         | Roadway Work Zone Safety  |
+--------------+---------------------------+---------------------------+
| Maintenance  | Emergency Management      | Emergency Response        |
| and          |                           | Management                |
| Construction | Maintenance and           |                           |
| Activity     | Construction Management   | MCM Work Activity         |
| Coordination |                           | Coordination              |
|              | Traffic Management        |                           |
|              |                           | TMC Work Zone Traffic     |
|              | Transit Management        | Management                |
|              |                           |                           |
|              |                           | Transit Center            |
|              |                           | Multi-Modal Coordination  |
+--------------+---------------------------+---------------------------+

[]{#__RefHeading___Toc30907874 .anchor}

## Policies, Contracts, and Procedures

The specific structure of a maintenance policy is less important than
simply having one in the first place. There are practices and procedures
that are helpful in implementing the maintenance policies. For instance,
if contracting for maintenance, one should recognize what it may take
for a maintenance contractor to economically provide maintenance on
short-notice or even a full-time basis. This may mean increasing the
overall scope of the maintenance contract so that there is enough work
to justify assigning contractor personnel to the TMS project. Similarly,
the duration of the maintenance contract will have an impact on how many
potential bidders it attracts and how the contract is staffed. A longer
contract --- i.e., two years or more with additional option years ---
may enable the contractor to relocate staff to the TMS area.

Once there is a general agreement that maintaining the TMS is part of
the Agency's policy, several key factors should govern details of the
policy. For instance, an important policy objective should be protection
of the investment --- built on the rule-of-thumb that equipment
maintenance is generally less expensive than equipment replacement. If
systems fail and basic operations degrade, a significant portion of the
initial financial investment is lost.

Configuration Management should be included as part of a maintenance
policy; this helps ensure that the original functionality of the system
is maintained throughout its life. Management of the Maintenance plan,
described in the previous section, like many TMS-related functions,
requires level-of-effort on the part of the Agency, regardless of
whether it is contracted out or performed in-house. The literature
research and site interviews indicated that this work is often added to
the duties of existing positions within the Agency, leaving little time
to get everything accomplished.

The Level of Service (LOS) encompassing operations and maintenance
focuses on providing the traveling public with an operational system and
the functions and benefits of that system. Those LOS measures that can
be used as part of maintenance policies include:

-   Mean time between failures for each device type.

```{=html}
<!-- -->
```
-   Percentage of down time of the control system.

-   Average number of inoperative cameras.

-   ![](media/image20.jpeg){width="2.1980314960629923in"
    height="4.225196850393701in"}Annual maintenance costs.

-   Time taken to repair each device type.

Each Agency should include in its policy appropriate metrics for the LOS
of maintenance. This will allow the effectiveness of the various
procedures to be quantitatively evaluated. It will also facilitate the
identification and monitoring of trends over time; these can be
indicators of improvements or degradation of service.

**Staffing and Training**

The availability of properly skilled and trained staff is critically
important to getting the most out of any TMS and assuring that it meets
its intended concept of operations throughout the system's intended
life-cycle. Several practices related to this critical need were noted
in the literature research and interviews, including:

-   **Pre-Qualification of Contractors:** Often a general
    pre-qualification process exists for many Agencies; however, as the
    skills change and complexity increases in a typical TMS, the
    pre-qualification process must be upgraded to match.

-   **Training by Vendors:** Procurement contracts should include a
    requirement for on-site training of Agency staff in maintenance and
    operations of the equipment, preferably conducted by the vendor.

-   **Training by Contractors:** Procurement contracts should also
    include a requirement for on-site training of Agency staff in the
    maintenance and operation of the assembled systems, including
    software, hardware, and peripherals.

-   **Training Library:** The operating Agency should maintain a library
    of system documentation and, if available, a videotape library of
    training.

-   **Staff Retention:** This can be difficult in a high-tech
    environment, but there are ways to improve retention, such as
    providing for additional training, allowing travel to technical
    conferences and workshops, and other non-salary related perquisites
    for Agency staff.

-   **Staffing Qualifications:** When procuring contract maintenance
    staff, minimum qualifications by position should be specified and
    contractor personnel should be required to submit resumes and proof
    of the required certifications. Procedures should be in place for
    pre-qualifying new contractor staff.

-   **Estimating Staffing Workloads:** Although staffing requirements
    are often Agency-specific due to differences in organizational
    structures, there are general methodologies in the literature for
    calculating workload. These workload estimates can be used to
    generate full-time-equivalent (FTE) staff position descriptions.

## Coordination with Operations

> The basic Systems Engineering Life-Cycle process, described in Chapter
> 3, concludes with "operations and maintenance." We have extended the
> engineering process to encompass a parallel maintenance concept that
> provides a structured procedure for validating and confirming
> maintenance requirements and execution, thus supporting the original
> concept of operations.

To validate the process, there must be a close coordination between
maintenance and operations. The following is a list of key functions and
activities that can help achieve this coordination:

-   TMS operational methods that provide assistance to maintenance:
    Equipment checklists should ideally be filled out daily, but no less
    than once a week.

```{=html}
<!-- -->
```
-   Operating ITS devices from the TMC during maintenance activities:
    Maintenance events should be coordinated during less busy periods of
    TMS activity to allow assistance by the system operators.

-   System monitoring by operators: In addition to regular checklists,
    operators should be provided with Troubleshooting Guides that will
    allow them to provide more information to maintenance personnel than
    just an "It Doesn't Work" report.

-   Communications: Set up a dedicated media for communications between
    operations and maintenance staff. This may be a simple as cell
    phones, but could also include voice circuits from the TOC to field
    cabinets and 2-way radios.

TMS operators should have input into system availability status reports,
beyond a simple listing of failed devices. TMS operators need to be able
to convey to maintenance personnel the impact that system degradation
has on their ability to perform important TMS functions. This will
assist the maintenance staff in prioritizing responsive maintenance.
Before leaving the site, the maintenance staff should ensure that the
TMS operator is actually able to control the device that has been
repaired.

#  TMC Maintenance Program: Multi-Year Plan

## Introduction

Several aspects of the maintenance program are influenced by the
consideration of a multi-year plan. These include:

-   The purchasing, warranty, and preventive maintenance cycles.

```{=html}
<!-- -->
```
-   The influence of lifetime and salvage values on the purchasing and
    replacement plans.

-   The overlapping phases of:

```{=html}
<!-- -->
```
-   Vision,

-   Concept of Operations,

-   Requirements,

-   Design,

-   Develop and Deploy, and

-   Acceptance Test Plans.

As defined in Chapter 1, responsive maintenance is the repair or
replacement of failed equipment and its restoration to safe, normal
operation. Preventive maintenance is the activity performed at regularly
scheduled intervals for the upkeep of equipment.

The objective of this chapter is to provide the user with the
implication of multi-year planning of maintenance. Although budgets and
plans usually have a time resolution of one year, there are several
aspects that cover time periods of several years, including developing
specifications for follow-on bidding, salvage times, etc.

## The Cycle of Procurement

The procurement of ITS hardware follows a cycle of purchasing warranty
and then preventive maintenance. The designed of a maintenance program
needs to consider these three phases of the procurement cycle in terms
of their influence on staffing, contractors, storage, and budget.

Purchasing hardware for ITS systems can be problematic due to the slowly
moving changes in state procurement rules compared with the rapid
changes in technology. For example, if a state over the next several
years wishes to purchase some piece of electronic technology, and the
equipment needs to be rebid each year on a competitive basis, there are
often special circumstances that may need to be accommodated.
Theoretical scenarios could include the following:

-   After an initial hardware acquisition, the next year of competitive
    bids is won by another vendor with incompatible hardware.

```{=html}
<!-- -->
```
-   The version of the firmware in the hardware has changes causing this
    year's equipment to be incompatible with last year's.

-   The equipment is no longer manufactured or the company has gone out
    of business.

-   The initial hardware has proven unsatisfactory; the Agency selects
    an alternative vendor whose hardware is incompatible with the
    previous vendor's equipment.

These types of problems nearly always occur during multi-year
procurements. Some of the issues can be mitigated by adoption of
standards. However, the specification of NTCIP as appropriate can only
address those devices for which standards have been published. For the
case where the standard specifies Management Information Base (MIB)
information, some of these are obligatory and others can be
vendor-specific. The writer of the specifications needs to consider that
if this hardware is to be procured in separate phases over several years
(often the case due to annual budgets), then the form of the MIB needs
to be generic enough that the hardware from other vendors will allow
compatibility.

For the ITS pieces that are not covered by NTCIP, the specifications
writer needs to define a protocol and standard that will ensure
compatibility in future years. For example, MPEG4 has been an ISO
standard for digital television and distribution of video since 1999.
There are vendors that sell their own proprietary video distribution
products. Not specifying globally recognized standards would undoubtedly
cause problems in similar procurements in later years. There are other
groups that can provide open specifications for many TMS components ---
e.g., Internet Protocol (IP), Extensible Markup Language (XML), and
other data-transfer specifications.

One technique successfully used by some states is to competitively
procure ITS devices and add them to the state procurement list. Bidding
items on statewide procurement allows compatibility for the duration of
the contract. However, in some cases, there are time limits in the
statewide procurement rules that limit the practicality of this
approach. When it can be used, the approach is advantageous in that it
allows for a much shorter procurement cycle after the item is added to
the statewide procurement lists. For example, a typical order time for a
message sign is 90 days. This means that 90 days before the required
delivery date, the sign construction can be initiated with a purchase
order. Normal procurement often takes a year or more. Another advantage
to fast turnaround is that it avoids the problem of the manufacturer's
warranty running down while the equipment sits in the maintenance yard
awaiting installation.

![](media/image21.jpeg){width="3.838976377952756in"
height="2.541732283464567in"}Keeping firmware current can be a problem
in terms of maintenance over several years. Without some form of
configuration control over firmware versions, there can be long-term
pro-blems --- e.g., various devices that externally look the same may
actually have different features as a result of differing firmware. The
preferred approach is to ensure that the vendor will provide firmware
updates as they are released for several years after the component
purchase. Generally this is not considered onerous by the vendors and is
not likely to be expensive. In some cases, it means the replacement of
one chip. However, with technological advances, particularly in
electronics, it is now often possible to acquire and install the updates
on-line.

## Lifetimes and Salvage Values

In Table 4-1, *Sample Life Expectancy of TMS Components*, the lifetimes
of components is shown to vary between 4 and 20 years. Although
technological changes happen quickly, the procurement cycles for most
Agencies do not. Many systems in the U.S. operate on 10-year old
computers that are incapable of running current word-processing
programs. In addition, there are hardware components in the field
---e.g., electromechanical controllers --- that have been operational
for many decades.

When developing a multi-year program, the various procurement cycles
have a significant impact on the budget. Therefore, Agencies should
consider developing a budget line item based on the replacement costs of
items when they are due to expire. Some Agencies have found that it is
not politically acceptable to scrap DMS's as motorists are familiar with
their messages. However, the aging of these DMS's and the fact that many
of the vendors are no longer in business, sometimes makes it necessary
to dismantle the older signs as the only practical source of spare parts
when the capital budgets did not include the cost of new replacement
signs.

Information in this report and throughout the literature can be used to
reasonably estimate component lifetimes. However, the preferred course
of action is to use data from the maintenance database developed locally
to assist in making key replacement decisions --- for instance, which
components are least reliable and should be replaced earlier. In
particular, the environment has a significant impact on component
lifetime (e.g., loops are much less reliable in northern states than in
other parts of the country) and gathering data from jurisdictions with a
similar climate can assist in the planning process.

When to scrap and salvage the central software is an item that needs
particular attention with respect to multi-year maintenance. ITS control
systems, communication network management systems, inventory control
systems, and various equipment vendor software are all subject to
updates. Some updates add functionality and others eliminate bugs in the
programs. From a maintenance perspective, the typical control system
consists of four parts: (1) the control system, (2) the database, (3)
the operating system, and (4) the hardware. All of these come in a
variety of versions with service packs and various updates. It is,
therefore, critical that the system as built and installed does not have
any changes applied without assurance from the control system vendor
that the entire environment has been configured and tested as a set.
Additionally, if hardware upgrades are required for maintenance
purposes, all the software components should remain unchanged. Changing
the hardware while simultaneously performing software upgrades is
possible, but it is more difficult to debug. If one group, either at the
Agency or contractor, is responsible for the upgrades then that one
group can fix problems. However, independently buying hardware, getting
a database upgrade, and then expecting a control system to install and
operate is not a recommended approach. Long-term maintenance upgrades to
system require extensive planning, budgeting, and testing.

## Performance Metrics and Monitoring

Maintenance activities and quality control procedures require that there
be metrics if the performance is to be monitored. These issues,
discussed in Chapter 5-8, have an influence on multi-year planning.
Monitoring performance provides indicators to the Agency about whether
the correct investments have been made. Metrics also provide maintenance
engineers with component-level information that supports the
decision-making concerning the need for additional responsive measures
and the purchasing of spares.

Although metrics should be part of an annual maintenance program,
long-term monitoring can provide significant data to assist in planning
future maintenance and determining whether investments are worthwhile.
Performance metrics can be used to develop future years' purchasing and
replacement strategies that can help ensure fewer surprises when systems
need replacement.

## System Overlaps and Multi-Year Phasing

The multi-year maintenance plan has to accommodate the fact that TMS's
are not stationary systems. They are typically expanded from a basic
system implementation on the most congested section of freeway
approaching a metropolitan area. Once established, there is a natural
inclination to expand the basic system, particularly when the initial
experience has been successful. This expansion is often both functional
and geographical. As the system is expanded, the input to maintenance
planning is best applied to all the phases of the project, including the
various elements shown in Figure 6-2.

![](media/image22.wmf)

*Figure 6-2 Multi-Year Development Phasing*

There is virtually no ITS system where the expansion is not in one of
these phases, even when the vision is awaiting an allocation of budget.
From the maintenance planning perspective, the input of the maintenance
group to geographic or functional expansions need to be considered.

During the vision phase, a system expansion --- and sometimes additional
or distributed control systems --- are contemplated. The maintenance
implication of these elements can be considerable as they can involve
relocation of staff and equipment. New technologies in the design and
the requirements phase can necessitate new training for the maintenance
staff. Geographical expansion requires additional devices and
potentially additional staff. During development and deployment, the
disruption to existing system needs to be planned for and accommodated.
Often the communications system is interrupted during system expansions.
The maintenance planner needs to remain cognizant of these issues and
ensure that the requirements detailed in earlier sections of this report
are adequately considered and acted upon appropriately.

#  Maintenance Program Support Services 

## Introduction

This chapter describes the variety of support services can assist in the
development of a maintenance program. The reader should use this chapter
as a list of reminders to determine if any of these items are
appropriate for use in the development of his or her Maintenance
program. The support items considered here should be considered
individually for each TMS component under consideration. Some of these
items are not applicable for all components. The items include:

-   Services,

```{=html}
<!-- -->
```
-   Differing contract types,

-   Vendor warranties and service agreements, and

-   Contract examples.

As defined in Chapter 1, responsive maintenance is the repair or
replacement of failed equipment and its restoration to safe, normal
operation. Preventive maintenance is the activity performed at regularly
scheduled intervals for the upkeep of equipment. The topics covered in
this chapter include how these maintenance activities may be supported
by Federal funding and how they may be contracted out to industry. The
supporting tools of assessment management are included as well as
information on warranties. A sample contract for maintenance is also
presented along with details on acceptance testing procedures that can
assist in the development of a Maintenance plan.

These types of support services can provide value to any Agency that is
developing a Maintenance plan. However, some of these services, such as
asset management, can initially require a significant level of start-up
costs and time. However, the value of contracting out components of
maintenance can add significantly to the capabilities of the Agency in
terms of technical expertise and extended hours of coverage. Each of
these support services should be carefully evaluated by each Agency
considering the trade-offs among costs, responsiveness, and impacts on
staff.

One example of how the value of support from other Agencies can be
applied is the effectiveness of distributed maintenance centers in
Agencies with large geographical coverage. A state Agency with a low
population requires the central maintenance staff to fly to remote
locations in order to reset controllers where the conflict monitor has
been tripped by lightning. In another state, the signal controllers are
many hours drive away and an overnight trip is required. Although the
responsive action of resetting the controllers is essential, there are a
range technological options and local contracting alternatives that
should be considered when such inefficiencies arise.

## Options for Contracting

The maintenance component of TMS is expensive. For large systems, annual
costs can be a few million dollars per year. In Texas, the annual
ITS/ATMS budget request for Fiscal Year 1997 was \$8.7M from Routine
Maintenance and \$5.0M from Highway Construction for rehabilitation and
maintenance. For a large ITS in Northern Virginia, VDOT has contracted
out the maintenance at a cost of over \$2M annually. Washington has an
annual combined O&M budget of \$1.9M for 800 signals and 120 miles of
freeway surveillance. Maryland has an operations budget of \$3.5M for
375 miles of freeway surveillance and a maintenance budget of \$1.0M.
For the ARTIMIS system, ODOT contracts over \$1.0M per year for
maintenance. These are fairly large numbers and Agencies do need to
analyze the options associated with contracting out maintenance.

Agencies should consider that Federal funding is available for
maintenance.

The Federal-aid Eligibility Policy Guide ([Ref 10](#ref10)) states:

> *"The operating costs for traffic monitoring, management, and control
> systems, such as integrated traffic control systems, incident
> management programs, and traffic control centers, are eligible for
> Federal reimbursement from National Highway System and Surface
> Transportation Program funding. For projects located in air quality
> non-attainment and maintenance areas, and in accordance with the
> eligibility requirements of 23 USC 149(b), Congestion Mitigation and
> Air Quality Improvement Program funds may be used for operating costs
> for a 3‑year period, so long as those systems measurably demonstrate
> reductions in traffic delays. Operating costs include labor costs,
> administrative costs, costs of utilities and rent, and other costs,
> including system maintenance costs, associated with the continuous
> operation of the system."*

Each Agency should consider a range of issues when planning whether to
contract for maintenance or conduct the work in-house, including those
items concerning contracting procurement issues. The decision to
contract out is often made in an environment where the addition of
several new members of staff in a transportation department would be
considered not politically judicious.

Virtually all Agencies have some form of contracting in their
maintenance programs --- these contracts are most common in the repair
of communications systems, as these require sporadic repairs and very
specialized equipment. Given no political constraints on the employment
of new staff, adequate physical space for equipment inventory, and
personnel, it is likely that the costs of in-house maintenance would
generally be less than outsourcing the work. Lack of overhead and no
profit on the project virtually ensures that in-house maintenance is
cheaper when viewed in terms of an annual budget. However, the nature of
employment in government Agencies involves long-term commitments and
their associated costs, including medical benefits, pension plans,
vacations, and other costs. When these are taken into account, the
financial balance moves in the direction of contracting out at least
some of these services.

![](media/image23.jpeg){width="3.0625984251968505in"
height="2.0in"}Which maintenance tasks to contract out can depend on the
type of Agency in terms of the in-house skills, hours of operation, and
the equipment space and facilities that are available. The in-house
skills can affect the decision in that some Agencies have
competently-trained staff and equipment to provide roadside maintenance
of the ITS devices. In some cases, this competence results from the
Agency installing the devices themselves. This approach results in a
familiarity with the equipment and access procedures and enables the
in-house staff to perform preventive and responsive maintenance.
Operational requirements can also influence which maintenance activities
to contract out. If the Agency wishes to operate the system either for
extended periods or full-time, then the staff may not wish to be on-call
24 hours per day. In these circumstances, responsive and emergency
operations outside office hours can be used to supplement the work
performed by in-house staff.

An example of one in-house maintenance operation is provided by Denver
CO ([Ref 11](#Ref11)). The Colorado Transportation Management Center
(CTMS) Maintenance Division is responsible for deployment, maintenance,
and development of ITS field devices. The staff includes one Electronic
Engineer working as crew supervisor, one Electronic Specialist I, one
Electronic Specialist II, and one Electronic Specialist Intern.
Additional support is provided by two contract maintenance staff
members.

The primary function of the CTMC maintenance crew is the upkeep of ITS
field equipment that is controlled by the Colorado Traffic Management
Center. This equipment includes variable message signs, highway advisory
radio transmitters, CCTV cameras and video switchers, roadside emergency
call boxes, wireless communication devices, highway traffic sensors, and
fiber-optic equipment. Additional equipment is continually being added
to the inventory as the ITS infrastructure grows. Although the majority
of ITS devices are located north and west of Denver, equipment locations
maintained by the CTMC range from Vail on I-70 to as far south as
Pueblo, Wolf Creek Pass in the southwest, and north to the Wyoming
border. The number of devices maintained by the CTMC is now in excess of
100.

The CTMC Maintenance Department has also been charged with deployment of
field devices. Everything from installation of highway advisory radio
equipment to closed circuit television cameras is handled by the CTMC
crew. The CTMC has a fleet of 10 portable variable message signs at its
disposal. Used for road information and in support of law enforcement
DUI check points, these signs are deployed by the maintenance crew
within a 100-mile radius of Denver. The CTMC maintenance fleet also
includes a bucket truck with an 80-foot reach and a dedicated "network
support" vehicle used to diagnose problems with CDOT\'s fiber-optic
network.

The CTMC Maintenance Department also designs and fabricates new
electronic systems used to assist the motoring public. These systems
frequently make use of both fiber-optic and wireless communications
devices. For example, they are working on the development of remote
controlled "trailblazer" signs that utilize wireless technology. These
signs are used to direct traffic flow when detours are required because
of various road conditions.

Western Transportation Institute ([Ref 2](#ref2)) cited in its study for
ODOT the following deficiencies in the ODOT Maintenance Program:

-   Inadequate staffing levels and/or conflicting priorities,

```{=html}
<!-- -->
```
-   Ambiguous responsibilities,

-   Inadequate training,

-   Poor logging and tracking systems, and

-   Non-standardized devices.

The development of a series of problem definitions can assist in both
the production of a Maintenance plan and the decision to contract out
part of the work. Those areas that are not being adequately maintained
tend to be perceived as problems. Sometimes these are functional,
occurring in areas where there is little or no in-house expertise. In
other situations, the problems may occur in one geographic area where a
certain districts lack either expertise or adequate staff.

When making decisions about contracting, each Agency needs to look at
its individual deficiencies and needs in terms of functions and
geography. The advantages of contracting out maintenance include:

-   The ability to start and stop the process on specific dates.
    (However, some Agencies report scheduling problems when, for
    example, equipment is procured in one budget cycle, but the
    maintenance contract is not let until another cycle.)

-   Access to specialized skills, equipment, or space that may not be
    otherwise available to the Agency, or that the Agency only needs for
    a short-period of time.

-   Situations in which the workload is such that Agency staff dedicated
    to maintenance are not needed on a day-to-day basis.

-   Situations where Agency resources are not available for hiring or
    training maintenance staff.

## Asset Management Tools

Another issue that the Agency needs to consider when developing a plan
is the relationship between preventive and responsive maintenance
activities. Doing more preventive maintenance will necessitate less
responsive maintenance. There is no subjective evidence to quantify the
extent of this relationship in the ITS industry. There are, however,
numerous examples in asset management models, fleet operations, and the
steel industry that evaluate production capacity and uptime as a
function of maintenance expenditure. There are diminishing returns ---
i.e., beyond a certain point, the use of funds for preventive
maintenance is not cost-effective. There will always be a need for
responsive maintenance due to inherent equipment failures, knock downs,
lightening strikes, etc. However, money spent on meeting the basic
maintenance requirements specified either by the manufacturer or using
the procedures outlined in this guide will reduce responsive maintenance
incidents and be more cost- effective.

The FHWA and AASHTO ([Ref 12](#Ref12)) define asset management as
follows:

> *"Asset management is a systematic process of maintaining, upgrading,
> and operating physical assets cost-effectively. It combines
> engineering principles with sound business practices and economic
> theory, and it provides tools to facilitate a more organized, logical
> approach to decision-making. Thus, asset management provides a
> framework for handling both short- and long-range planning."*

The same reference defines a series of questions to ask when developing
an asset management system. These include:

-   What is our mission? What are our goals and policies?

-   What is included in our inventory of assets?

-   What is the value of our assets? What are their functions? What
    services do they provide?

-   What was the past condition and performance of our assets? What is
    the current and predicted future condition and performance of our
    assets?

-   How can we preserve, maintain, or improve our assets to ensure the
    maximum useful life and provide acceptable service to the public?

-   What resources are available? What is the budget level? What is the
    projected level of future funding?

-   What investment options may be identified within and among asset
    component classes? What are their associated costs and benefits?

-   Which option, or combination of options, is "optimal?"

-   What are the consequences of not maintaining our assets? How can we
    communicate the impact of the condition and performance of our
    assets on the system and end user?

-   How do we monitor the impact of our decisions? How do we adjust our
    decision-making frame-work when indicated?

-   How can we best manage our assets in order to least inconvenience
    the motoring public when we repair or replace these facilities?

There are a number of suppliers of asset management systems whose web
sites provide useful information:

Hansen - <http://www.hansen.com/>

Exor - <http://www.exor.co.uk/>

Cartegraph - <http://www.cartegraph.com/>

Azteca - <http://www.azteca.com/>

![](media/image24.wmf){width="2.6562992125984253in"
height="5.948031496062992in"}Figure 7-2 indicates a generic asset
management system that can be applied to any type of asset, including
TMS. Asset management systems are often initiated to keep track of the
condition of the highways and the bridges within an Agency. If the
Agency has a system in place, it can also be used for monitoring TMS
assets.

Some Agencies do no preventive maintenance, considering it a luxury.
This is unfortunate. Waiting for devices to fail is inefficient and
leads to compromised operations. It is inefficient insofar as the damage
done when devices fail can be significantly more expensive than
undertaking preventive measures. Individual components will eventually
fail and need to be replaced --- this is, almost invariably, a more
expensive option than cleaning, greasing, measuring, etc. Additionally,
the responsive actions that will occur more frequently when preventive
maintenance is not performed will happen at indeterminate times.
Preventive maintenance can be scheduled to not disrupt traffic flow and
be considered part of the workday of Agency or contractor staff. The
operational effects of waiting until things break causes the failure to
be noticed when the device is used. This is the worst time as the device
is needed by the operator, the traffic in the area may be subject to an
incident, and the staff is busy.

## Contracting Types

If an Agency determines that some component of their maintenance is to
be contracted out, there are a variety of procurement options. Some of
these may not be available to individual Agencies due to local
restrictions on procurement procedures.

The list below covers most of the procurement options that are used for
TMS. Some of these are applicable for operations and maintenance, and
others are not:

**Engineer-Contractor:** Plans and detailed specifications are developed
by an engineer. Selection of a contractor is by low-bid only.

**System Manager:** Plans, specifications, and system software are
developed by an engineer. Selection of the equipment and installation
contractor is by low-bid. The engineer provides system integration.

**System Integrator:** Similar to System Manager, but the contractor has
the ability to procure hardware and services, usually by low-bid, on
behalf of the Agency and then functions as an integrator.

**Best-Value Contracting:** Used where the contractor must provide some
technical designs or configurations. The selection of a contractor is
based on a combined technical score and price.

**Design-Build (DB):** A set of performance specifications are let for
bid by teams of engineers and contractors. Selection is usually based on
combined technical and price factors.

**Design-Build-Operate-Maintain (DBOM):** The same as Design-Build, but
with a requirement that the contractor operates and maintains the system
for some time.

**Franchise or Lease:** Also known as Design-Build-Own-Transfer. The
contractor provides initial financing, engineering, and construction in
exchange for a lease payment over a period of time. Eventually the
equipment and activities are transferred to the Agency.

These procurement options and their applicability to the procurement of
maintenance are discussed below.

The *Engineer-Contractor* method is not normally considered advisable
for the procurement of ITS software and design services. The lack of
close association between the client and the software developer and the
selection of a very technical service through a low-bid mechanism has
proven disastrous. However, many Agencies when contracting for basic
maintenance services have used this process with some success,
particularly when the work has involved low-skilled tasks, such as
lighting and tree-trimming. However, there have been unfortunate
occurrences where unqualified contractors have been used to perform
routine tasks --- e.g., cleaning --- and then have not been capable of
responsive maintenance that requires additional technical skills. Other
instances have occurred where the low-bid preventive maintenance
contractor has bid certain staff that meet the technical requirements of
the specification, but are not used when the contract is underway. It is
recommended that the technical level of the maintenance staff be
specified in the contract and that the contract include terms that allow
the Agency the right to approve staff changes. In summary, using the
low-bid approach in low-technology maintenance projects can often be
successful, provided the Agency ensures sufficient contractual terms and
management resources are used to adequately monitor and enforce the
process.

*System-Manager or System-Integrator* contracting can take on the
maintenance of software and the control centers. This approach
frequently makes sense as most of the work done by the system manager's
staff is associated with the control center equipment and the software
running on it. At least for the first few years following an
implementation, using the system manager to do the TMC maintenance can
be successful for fixing software bugs and providing assistance with
processes such as database changes and map updates. However, system
managers and system integrators are not generally equipped to furnish
preventive and responsive maintenance directly. Most of the companies
doing this type of work are nationwide firms that operate over large
areas --- their markets tend to be spread thinly. The companies usually
do not have the capability to provide local, less technical staff; if
they take on this type of project, they often subcontract with a local
electrical contractor or other supplier that meets the specifications.
Using a subcontractor to do the less technical operations, with the
prime functioning as an integrator, is an approach that has oftentimes
been successful. However, the Agency needs to be careful that the
qualifications of the proposed subcontractor staff meet the same
criteria as that of the prime.

The outcome of *Best-Value* contracting is substantially dependent on
the thoroughness and quality of the Agency's solicitation. Specific
provisions can be included in the solicitation's selection criteria that
may affect the quality of maintenance furnished under the contract. For
example, offerors may be asked to provide a plan on how they would meet
the requirements for preventive, responsive, and emergency maintenance.
The Agency may wish to rank the quality of the plan and use it in their
selection criteria.

For *DB, DBOM, and Franchise or Lease* types of contracts, maintenance
becomes a critical issue. The reason is the duration of the contract and
the contract terms that relate to the condition of the equipment when it
is handed back to the Agency or turned over to a new contractor. When
assessing a bid for the supply of equipment for a DB project, the
contractor will pay no attention to the costs of maintenance of the
equipment that is provided. Selecting more expensive hardware, such as
LED signals that will cost less to operate and maintain in the long run
is not to his or her advantage. If the evaluation criterion of the
proposal is low-bid, then the contractor really has no option. If the
offer meets the requirements of the scope of work, then the cheapest
option will always be delivered. To avoid this problem, these types of
contracts need to specify what is in the best interest of the Agency
over the long term. When the contract is a DBOM and the maintenance is
also the responsibility of the contractor, the Agency needs to be
cognizant of the likelihood that the contractor will perform little or
no maintenance. Normal maintenance needs to include replacement as part
of the annual budgeting, purchasing, and installation cycle. Major
problems can occur when old equipment is not replaced. From the
contractor's perspective, older equipment needs more and increasing work
to keep it running. Should the Agency specify a certain level of
availability, the contractor will have difficulty estimating the
manpower required for maintenance. The DBOM contract needs to include
clauses specifying that the equipment provided to the contractor at the
start of the maintenance period should be returned to the Agency in
similar condition, subject to expected wear-and-tear. It should also
specify the maintenance procedures and maintenance frequency as
requirements.

## Vendor Warranties and Service Agreements

Companies that win bids for the maintenance of ITS devices are typically
local electrical contractors, sometimes working with specialist
subcontractors. Generally they are not experts in ITS as these
opportunities are rare. Most of their work is for commercial clients on
new buildings and facilities. In some cases, they may have experience
with other surveillance systems or cell tower installations and this
should be considered as a plus during selection. However, it is most
likely that the winning bidder does not have expertise in most of the
devices that they are installing. Vendor warranties on items such as
DMS's are normally for periods of 1-2 years. From the Agency's
perspective, this is a high-risk situation --- these devices are
generally unreliable and it is rare to come across a sign in the field
with all pixels operating correctly.

More reliable devices such as cameras and communications electronics are
also only usually warranted for only one year. Most vendors will provide
an extended warranty for a price. If the warranty terms are passed
through a third-party contractor, the extended warranty costs will
undoubtedly get marked-up. The Agency may wish to consider purchasing
the warranty directly from the hardware manufacturer and making the
Agency staff responsible for managing the warranty repairs.

The record-keeping system should provide information concerning the
performance measures of the various devices. The Agency should attempt
to estimate the mean time between failures together with the cost to
repair/replace the equipment --- that information can then be used to
judge whether the extended warranty is worthwhile. A simple calculation
taking the mean time to repair and the number of devices should provide
the annual expected number of failures; multiplying this by the mean
cost to repair will provide the annual cost, and this can be compared
with the quote from the vendor. However, allowance should be made for
the costs associated with removing, replacing, contacting the vendor,
handling and shipping, and purchase order production.

## Warranties and Service Agreements

The standard warranties and service agreements that come along with the
purchase of a new product are usually dated from the time that the
device left the factory. Contractors tend to order equipment early in
the project if the costs can be billed to the Agency. This approach
allows the contractor to invoice early and become familiar with the
equipment. The permitting, construction of concrete bases, and the
provision of electrical power and communications can often take more
than a year. Thus the situation can readily arise that the device is not
fully tested on site until the warranty has expired. It is,
consequently, prudent for the purchaser to time the delivery of devices
such that the warranty starts when the device is installed and
operational.

Extending the warranty period will affect the price, though sometimes
less than anticipated. Since the contractor will use the original vendor
warranty for the initial period, the contractor has few costs during
this time. Additionally, some devices tend to have most of their
failures during the first few weeks of operation.

Some Agencies do not encourage extended warranties, requiring instead
that the construction contractors manage everything. These sorts of
issues need to be considered as part of the procurement process. If
necessary, a supplemental contract can be used for extended warranty.

## Generic Contract Format

Each Agency will need to develop its own contract and apply its own
procurement procedures and the associated boilerplate text that is
required.

### Contract Forms and Pricing {#contract-forms-and-pricing .unnumbered}

The scope-of-work and the level-of-effort can be defined for preventive
maintenance. Since the number of devices and their maintenance frequency
is known and the duration of each operation can be estimated, potential
bidders can provide cost estimates for preventive maintenance that have
reasonably low-levels of risk. If a well-defined scope-of-work is used,
the preventive maintenance can be bid as a lump-sum contract.

The responsive and emergency maintenance components of the contract need
to have sufficient definition to encourage bidders to bid and be
formulated to minimize their risk. One approach is to specify that a
certain staffing level --- e.g., defining the number of persons and
hours of operation --- be made permanently available to the TMC manager.
This approach is suitable for large systems where the number of staff
working on purely responsive operations is sufficient to justify paying
them for full-time positions. However, when preventive and responsive
maintenance are performed by the same crew, there are significant
efficiencies in terms of reduced plant and staff. The maintenance crews
can perform preventive maintenance until called upon to do responsive or
emergency maintenance. If there is more than one crew in the field, the
response time can be reduced by using the crew nearest the fault.

One solution to this problem is to develop an estimate of how many
responsive calls are liable to be made and make the pay item per call
for a specific type of device. Thus, the Agency estimates how many calls
should be used in the basis for the bid. The bidder will bid per
responsive call type. Using this approach, a bidder's costs can be
readily calculated and the Agency can still select the low bidder on a
lump-sum contract. This approach does mean that there is an
administrative effort required by both the bidder and the Agency to keep
track of the number and type of responsive and emergency calls and to
verify these with the monthly invoices.

Note that most contractors will not bid on an ill-defined responsive
maintenance contract that was lump- sum. If they did bid, there would be
a very large contingency to account for their risk. Consequently, each
Agency, when developing the contractual terms and scope-of-work, should
consider the calculations that will be made by the bidders. Preliminary
meetings between bidders and Agencies to help define each others'
concerns, together with a clear scope of what is required, is more
likely to lead to a successful maintenance contract.

Outreach to all bidders in the region and, in some cases nationally,
will significantly assist the Agency in getting more bids. There are
national electrical contractor sources that can provide lists of
potential bidders by region. This can be searched on-line at
<http://www.thebluebook.com/>.

In addition to adjacent jurisdictions, there are other external
maintenance companies that should be included. These could include
companies that maintain cellular towers, external lighting, and private
security systems. Providing lots of detail on the potential work and a
contact number to answer questions will assist in broadening the list of
potential bidders.

[Appendix C](#section-7) contains a generic contract that can be used as
a basis by Agencies developing a maintenance contract scope-of-work.

[Appendix
D](#appendix-d-extended-warranty-between-acme-integrators-and-agency)
includes a generic contract based on software procurement for the
maintenance of a central system. This can be used as the basis of a
purchase order or contract between a software system integrator and an
Agency. In addition, this appendix contains an example of a purchase
order form of contract that can be used as a model.

## Acceptance Testing

Acceptance testing is an intrinsic part of all TMS implementations. It
provides the Agency with reassurance that the TMS functions are operable
and the required hardware is in place. It also provides the maintenance
staff with an introduction to specific equipment in particular
locations.

### Acceptance Test Plans {#acceptance-test-plans .unnumbered}

The Agency should provide detailed acceptance test plans for all system
components. Although the contractor can produce these plans, the Agency
will need to conduct a detailed review of such plans to help ensure it
is getting what it wants.

In the case of software acceptance tests, there should be traceability
between the original requirements and the tests. At each level of the
decomposition of the original requirement, more details and functions
should appear. The acceptance test plan for the software should trace
each individual test back through the detailed design into the original
requirement.

The contractor, under supervision by the Agency or its representative,
will often conduct the tests. The test results should be documented and
the documentation delivered to the Agency. Any failures during the
testing process must be documented and then fixed by the contractor and
the test repeated and again documented.

### Factory Acceptance Tests {#factory-acceptance-tests .unnumbered}

Factory acceptance tests provide the Agency with an early useful view of
products with which they may be unfamiliar. The look of a DMS, the shape
of a structure, or the color of a cabinet is difficult to specify and
there are many such items that the maintenance staff may wish to review
during the construction. Objections to an item that was not specified,
after the products have been produced and delivered to the site,
generally cannot be accommodated.

During factory acceptance testing, the manufacturer can demonstrate
their construction techniques and quality-control procedures.

### ![](media/image25.jpeg){width="2.5in" height="3.6570866141732283in"}Communications System Acceptance Tests {#communications-system-acceptance-tests .unnumbered}

Many ITS implementations are late and often over budget. A major reason
for this is the communications system. It is usually very complex, can
involve multiple jurisdictions and commercial suppliers, and often
involves implementation of new technology.

The test of the communications system should ensure that communications
are functioning as specified in the statement of work. The contractor
should conduct a series of communications tests designed to prove that
the system can properly carry and pass through all the messages required
to operate the system. These communications tests often include
end-to-end bit error rate tests, data and message integrity tests, and
other assessments demonstrating proper operation.

A Test document, describing the means and methodology of the
communication tests, should be presented to the Agency some time in
advance of the start of testing. Testing should not begin until the
Agency has approved the testing plan. As before, all testing procedures
should be documented while the testing takes place.

If the communications system consists of multiple "legs" that are
controlled by disparate institutions, it is advisable to split the
acceptance test into components. For example:

1.  The wiring of the computers to the communications hardware may be
    performed by the systems integrator.

2.  The wiring in the control center from the communications racks to
    the external street connection may be done by the building
    contractor.

3.  At this point, the communications system may be taken over by one of
    the major communications providers.

4.  At a point of presence closest to the device, the communications
    system may revert to Agency ownership, but be installed by the
    external contractor.

Thus there is a long chain of differing responsibilities and the maximum
opportunity for finger pointing when the data does not arrive. This
problem can be minimized by performing separate tests on each link in
the chain.

### Stand-Alone Site Tests {#stand-alone-site-tests .unnumbered}

Individual test plans should be prepared for each component and be
performed at each site in the presence of the Agency, or its
representative.

The stand-alone test plan shall determine that each element at the
individual sites is operating correctly in isolation. For example, all
DMS suppliers provide software driving their signs that can be run on a
laptop. Running through their test program on-site can test the sign in
isolation from the communications system. Similar approaches can be used
for video and surveillance components.

### Integration Tests {#integration-tests .unnumbered}

![](media/image26.wmf)Integration test plans should also be prepared.
These plans determine that individual system elements at each site are
operating correctly in an integrated manner.

Integration tests occur following successful demonstrations of the
stand-alone tests.

There are multiple points of potential failure in most systems and an
effective acceptance test plan for the integrated system will need to
consider each element.

The acceptance testing is usually linked to payment milestones. For
example, the installation of a DMS might have milestone payments split
into three components, as follows:

-   A first payment for all hardware delivered to contractor's depot,
    Agency facility, or on-site --- 50 percent of site lump sum.

-   A second payment following demonstration according to the test plan
    of correct operation of all devices on-site in an isolated manner
    --- 20 percent of site lump sum.

-   A final, third payment for integrated complete operation according
    to the test plan from the traffic management center and delivery of
    as-built plans --- 30 percent of site lump sum.

## Supplies, Tools, and Spares

It should be realized that virtually no component of a TMS can be
repaired by anybody other than the original manufacturer or a qualified
distributor. The process of responsive maintenance typically involves
replacements of boards and modules.

The provision of adequate spares (usually 10 percent of the total
installed) and locating them in an easily accessible manner will have
the biggest impact on reducing down time.

The maintenance of a TMS typically requires the kinds of support tools
that a maintenance department is likely to have on hand. These include
trucks, cherry pickers, sign boards, back hoes, etc. In addition, more
specialized equipment specific to the electrical nature of the work are
likely to be needed. This equipment can include:

-   Optical Time Domain Reflectometers (OTDR),

```{=html}
<!-- -->
```
-   Oscilloscopes,

-   Spectrum Analyzers,

-   Network Analyzers,

-   Waveform Generators,

-   Sweep Generators,

-   Frequency Counters,

-   Multi-meters,

-   Inductance Meters, and

-   Power Meters.

![](media/image27.jpeg){width="3.5535433070866143in"
height="2.3271653543307087in"}For responsive maintenance, these types of
devices are used to determine what and where the problems may be. For
the communication elements, for example, the OTDR is used to determine
where on a communications network any break in the connection may have
appeared. Following this determination, the traffic control, back hoes,
and fiber fusion equipment is needed. In addition, when the fiber is
fixed, packages of bonding material and various resins are used to
replace the cover to the fiber. Following this, the cable is retested
and the holes filled in. This process needs to take place either as a
contracted activity or as an operation performed by the Agency's staff.
Regardless, substantial equipment, exper-tise, manpower, and materials
are required.

#  Glossary

**AASHTO:** American Association of State Highway and Transportation
Officials.

**ACC:** Adaptive Cruise Control.

**CAN:** Automated Collision Notification system.

**AHS:** Automated Highway System. The AHS is a highly advanced system
that will redefine the current vehicle-highway relationship by shifting
many tasks from the vehicle operator to the roadway itself. The first
demonstration of the AHS concept was in San Diego in August 1997.

**APTS:** Advanced Public Transportation Systems. Collection of
technologies to increase the efficiency of public transportation
systems; they offer users greater access to information on system
operations.

**Architecture:** An overarching framework that allows individual ITS
services and technologies to work together, share information, and yield
synergistic benefits. The National ITS Architecture was released as a
final document in June 1996.

**ARTS:** Advanced Rural Transportation Systems. These are ITS
technologies aimed at addressing the specific needs of rural
communities, particularly the issues of mobility and road safety.

**ATIS:** Advanced Traveler Information Systems. ATIS technologies
provide travelers, businesses, commercial carriers, and transportation
professionals with the information they need to make decisions, from
daily individual travel decisions to larger-scale decisions that affect
the entire system, such as those concerning incident management.

**ATMS:** Advanced Traffic Management Systems. ATMS technologies apply
surveillance and control strategies to improve traffic flow on highways
and streets.

**AVI:** Automatic Vehicle Identification. A system which combines an
on-board tag or transponder with roadside receiver for the automated
identification of vehicles. Used for electronic toll collection, stolen
vehicle recovery, using vehicles as traffic probes, etc.

**AVCSS:** Advanced Vehicle Collision and Safety Systems. These systems
employ mostly in-vehicle technologies to help drivers avoid collisions,
monitor driver performance, and automatically signal for emergency aid
immediately upon collision.

**AVL:** Automatic Vehicle Location system. Computerized system that
tracks the current location of fleet vehicles, to assist dispatching,
etc.

**CVISN:** Commercial Vehicle Information Systems and Networks. A
network that connects existing Federal, State, and private-sector
information systems to improve commercial-vehicle movement.

**CVO:** Commercial Vehicle Operations. ITS program to apply advanced
technologies to commercial-vehicle operations, including
commercial-vehicle electronic clearance; automated roadside safety
inspection; electronic purchase of credentials; automated mileage and
fuel reporting and auditing; safety status monitoring; communication
between drivers, dispatchers, and intermodal transportation providers;
and immediate notification of incidents and descriptions of hazardous
materials involved.

**DASCAR:** Data Acquisition System for Crash Avoidance Research. A
portable, on-board vehicle data-gathering system that monitors and
records vehicle performance and the driver's physical reactions.

**DGPS:** Differential Global Positioning System. A technique that can
be applied by civilian GPS users to improve GPS accuracy to 1-10 meters.

**DOT:** Department of Transportation. When used alone, indicates U.S.
Department of Transportation. In conjunction with a place name,
indicates State, city, or county transportation Agency (e.g., Illinois
DOT or Los Angeles DOT).

**DSRC:** Dedicated Short-Range Communications. Wireless, short-range
digital communications. Uses electronic readers, tags, and software.

**EDI:** Electronic Data Interchange. A recognized technology format and
standard for moving "packets" of data.

**EDP:** Early Deployment Plans.

**EMS:** Emergency Management Services. Services designed to optimize
the response time to incidents.

**ERP:** Emergency Response Providers Enabling Research. Applied
research that advances existing technologies, enabling them to support
ITS applications. This research has refined technology for eventual
field testing, developed evaluation methods to determine potential
benefits and cost effectiveness, developed human factors guidelines, and
established performance specifications and criteria.

**ENTERPRISE:** Program standing for Evaluating New Technologies for
Roads Program Initiative in Safety and Efficiency. International public
sector cooperative initiative to facilitate the rapid development and
deployment of ITS technologies. Participants include Arizona DOT,
Colorado DOT, Dutch Ministry of Transport, FHWA, Iowa DOT, Maricopa
County, AZ, Minnesota DOT, New York DOT, Ontario Ministry of
Transportation, Transport Canada, Virginia DOT, and Washington State
DOT.

**FCC:** Federal Communications Commission.

**FHWA:** Federal Highway Administration, which is part of USDOT.

**FMS**: Freeway Management Systems. Network systems giving
transportation managers the capability to monitor highway and
environmental conditions on the freeway system, identify recurring and
non-recurring flow impediments, implement appropriate control and
management strategies, and provide collection and dissemination of
critical real-time information to travelers.

**FOT:** Federal Operational Test.

**FRA:** Federal Railroad Administration, which is part of USDOT.

**FTA**: Federal Transit Administration, which is part of USDOT.

**GCM:** Gary-Chicago-Milwaukee corridor. One of the ITS Priority
Corridor projects as defined by ISTEA to receive funding for applying
ITS to assist in reducing extreme or severe ozone. The initial GCM
priority is real-time data acquisition and the sharing of information
across the corridor that is useful to both multi-modal system operators
and travelers.

**GIS:** Geographic Information System. Computerized data management
system designed to capture, store, retrieve, analyze, and report on
geographic/demographic information.

**GPRA:** Government Performance and Results Act.

**GPS:** Global Positioning System. Government-owned system of 24
Earth-orbiting satellites which transmit data to ground-based receivers
and used to determine the precise position of vehicles on the ground.
Provides extremely accurate latitude/longitude ground position.

**HRI:** Highway-Rail Intersection. User service that integrates ITS
technology into already existing HRI warning systems to enhance safety
effectiveness and operational efficiency. At railroad grade crossings,
HRI technologies located both in-vehicle and along the roadside ensure
that train movements are coordinated with traffic signals and that
drivers are alerted to approaching trains.

**Human Factors** Research conducted to understand the impact of
automated technology on human decision-making and driving behavior. For
instance, studies are being done to investigate whether the use of
cellular phones while driving distracts drivers to the extent that more
accidents occur with their use.

**ICC:** Intelligent Cruise Control. A crash avoidance technology that
automatically adjusts vehicle cruise speed to maintain safe following
distances.

**IMS:** Incident Management Systems. Monitoring and surveillance
systems that identify the occurrence of incidents in real-time so that
they can be quickly located and removed.

**Intermodalism:** Seamless integration of multiple travel modes.

**Interoperability:** The ability to integrate the operation of diverse
networks and systems. The vision of the intelligent transportation
infrastructure is a seamless interoperable coast-to-coast network that
allows drivers and information to flow through the system without
barriers.

**In-Vehicle Navigation Technology:** Allows drivers to access route
guidance information while en-route. Includes location referencing
technology, in-vehicle display units, map information, and audio/text
delivery technology.

**ISTEA:** Intermodal Surface Transportation Efficiency Act of 1991.
Federal law providing primary Federal funding for highway and other
surface transportation programs in the United States through 1997. ISTEA
contains the Intelligent Vehicle-Highway System Act. Directs the
establishment of a National ITS program and requires inclusion of a
strategic plan for ITS in the United States, implementation and
evaluation of ITS technologies, development of standards protocols, an
information clearinghouse, the use of advisory committees (one of which
is ITS America), and funding for ITS research, development, and testing
in such efforts as the corridors program.

**ITS:** Intelligent Transportation System(s). The application of
advanced technologies to improve the efficiency and safety of
transportation systems.

**ITS America:** Intelligent Transportation Society of America. A
nonprofit, public/private scientific and educational organization that
works to advance a national program for safer, more economical, more
energy efficient, and environmentally sound highway travel in the United
States. The USDOT uses ITS America as a Federal expert advisory resource
and panel.

**IVHS:** Intelligent Vehicle-Highway Systems. Now known as "intelligent
transportation systems."

**IVI :** Intelligent Vehicle Initiative.

**JPO:** Joint Program Office for ITS. This office resides in FHWA.

**Kiosk:** An information center for traffic or travel data located in
shopping malls, parking decks, hotels, airports, businesses, transit
terminals, etc. These kiosks are normally outfitted with interactive
computer capabilities.

**LAN:** Local Area Network. A method of connecting several computers
together using either high- or low-bandwidth communication media.

**Location Referencing:** Technology that identifies locations of
vehicles, incidents, and travelers. Used with GPS and AVL technologies.
Supports user services such as Mayday, EMS, CVO, ATMS, ATIS, and AVCSS.

**Mainstreaming:** The act of bringing ITS technology into everyday use
by travelers and transportation professionals.

**Mayday:** An ITS program designed to link travelers in trouble with
transportation officials in real-time. Uses location-referencing
technologies and communications systems.

**MDI:** Model Deployment Initiative. A program designed to develop
model sites demonstrating integrated intelligent transportation
infrastructures and successful jurisdictional and organizational working
relationships. The program is also designed to demonstrate the benefits
of integrated transportation management systems that feature strong
regional, multimodal traveler information services.

**MPO:** Metropolitan Planning Organization. Regional policy body,
designated by local officials and the governor of the State, that is
responsible in cooperation with the State and other transportation
providers for carrying out the metropolitan transportation planning
requirements of Federal highway and transit legislation.

**NAHSC:** National Automated Highway Systems Consortium.

**NHTSA:** National Highway Traffic Safety Administration, which is part
of USDOT.

**NTCIP:** National Transportation Communications for ITS Protocol.
Required for traffic management operations. Allows for wireline
communications between traffic management centers and field equipment.

**OCD:** Operation Concept Development.

**Operation Timesaver:** Federal initiative aimed at reducing congestion
by building an intelligent transportation infrastructure in 75 of the
Nation's largest metropolitan areas within 10 years. The goal is to
reduce travel times by 15 percent by the year 2005.

**PCB:** Professional Capacity Building program.

**Priority Corridor:** One of the first ITS programs established by
ISTEA. Originally designed to showcase technology and hardware, it has
created communication channels and organization frameworks among the
numerous Agencies that must coordinate in order to successfully
implement ITS.

**Protocol:** "Envelopes" used to package data for interoperable flow of
ITS information. Protocols can include information on addressing,
security, priority, and other handling information.

**Public-Private Partnerships:** Agreements with private-sector
companies to participate in the deployment of ITS through commitment of
time, services, products, or capital investment. These partnerships are
the foundation of the ITS strategic plan's financial strategy for ITS
deployment.

**PSAP:** Public Safety Answering Points.

**R&D:** Research and Development.

**RF:** Radio Frequency.

**RFP:** Request for Proposals.

**RSPA:** Research and Special Programs Administration, which is part of
USDOT.

**RT-TRACS:** Real-Time Traffic-Adaptive Control System. Next-generation
traffic signal control management system. An advanced dynamic control
strategy that uses state-of-the-art traffic signal control based on
real-time demand.

**SAFER:** The Safety and Fitness Electronic Records System, which is a
component of CVISN.

**SAVME:** System for Assessing the Vehicle Motion Environment. A
roadside measurement system to quantify the movement of vehicles in real
traffic.

**SDO:** Standards Development Organization. Standard specifications
that are established to address the need for various technologies,
products, and components from different vendors to work together.

**TMC:** Traffic management center or transportation management center.

**TMDD:** Traffic Management Data Dictionary. A source of standardized
information that defines how data is exchanged and how it flows between
ITS devices and systems. The TMDD standardizes message sets for national
interoperability.

**TMS:** Transportation Management Systems.

**TRB:** Transportation Research Board. Part of the National Academy of
Sciences, National Research Council. Serves to stimulate, correlate, and
make known the findings of transportation research.

**TSCS:** Traffic Signal Control Systems. Advanced systems that adjust
the amount of "green" time for each street and coordinate operation
between signals to maximize traffic flow and minimize delay based on
real-time changes in demand.

**User Services:**. Services available to users of an ITS-equipped
roadway, as set forth by ITS America. The 31 services are arranged in
seven categories as follows:

> 1\) Travel and Transportation Management
>
> 2\) Travel Demand Management
>
> 3\) Public Transportation Operations
>
> 4\) Electronic Payment
>
> 5\) Commercial Vehicle Operations
>
> 6\) Emergency Management
>
> 7\) Advanced Vehicle Control and Safety Systems

**WAN:** Wide Area Network.

**WWW:** World Wide Web.

#  References

1.  []{#Ref1 .anchor}PECOS -- ITI Data Models (ADOT) Final Report.
    Arizona DOT 1998.

2.  <http://www.odot.state.or.us/its/documents/documents.htm>

3.  [[]{#ref2
    .anchor}http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0940.htm](http://www.fhwa.dot.gov/legsregs/directives/fapg/cfr0940.htm)

4.  [[[]{#Ref4 .anchor}]{#ref3
    .anchor}http://www.faa.gov/cm/standards.htm](http://www.faa.gov/cm/standards.htm)

5.  []{#ref4 .anchor}Metropolitan Transportation Management Center
    Concepts of Operation A Cross-Cutting Study FHWA-JPO-99-020

6.  <http://www.odot.state.or.us/its/ITSDocs/ITSStratPlan10-98fin.pdf>

7.  Daniels, Ginger and Starr, Tim, Guidelines for Funding Operations
    and Maintenance of Intelligent Transportation Systems/ Advanced
    Traffic Management Systems, Transportation Research Record 1588,
    Paper No. 971390.

8.  [[]{#ref7
    .anchor}http://www.dot.ca.gov/dist07/divisions/maint/index.shtml](http://www.dot.ca.gov/dist07/divisions/maint/index.shtml)

9.  [[]{#ref8
    .anchor}http://www.benefitcost.its.dot.gov](http://www.benefitcost.its.dot.gov/))

10. [[]{#ref9
    .anchor}http://www.ampo.org/mpo_issues/funding/Ops-guid.doc](http://www.ampo.org/mpo_issues/funding/Ops-guid.doc)

11. [[[]{#Ref11 .anchor}]{#ref10
    .anchor}http://www.cotrip.org/its/mainten.html](http://www.cotrip.org/its/mainten.html)

12. []{#Ref12 .anchor}Asset Management: Advancing the State of the Art
    into the 21st Century through Public-Private Dialogue. Federal
    Highway Administration and the American Association of State Highway
    and Transportation Officials, 1996.

# APPENDICES {#appendices .unnumbered}

# APPENDIX A: Example Trouble Reports {#appendix-a-example-trouble-reports .unnumbered}

<table>
<colgroup>
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 1%" />
<col style="width: 2%" />
<col style="width: 22%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="16" rowspan="2"><p><strong>VDOT / SMART TRAFFIC
CENTER</strong></p>
<p>Maintenance / Service Request Ticket</p></td>
<td colspan="3">Job Number</td>
</tr>
<tr class="even">
<td colspan="3"><strong>11474</strong></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>EQUIPMENT INFORMATION</strong></td>
</tr>
<tr class="even">
<td colspan="2">Written By</td>
<td colspan="5">A. Stewart</td>
<td colspan="2">Date</td>
<td colspan="6">5/15/02</td>
<td colspan="3">Time</td>
<td>19:47</td>
</tr>
<tr class="odd">
<td>Type</td>
<td colspan="4">VMS</td>
<td colspan="3">ID#</td>
<td colspan="4">1890</td>
<td colspan="4">Location</td>
<td colspan="3">I95</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Note Problem</strong></td>
</tr>
<tr class="odd">
<td colspan="19">Failed with congestion message displayed</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Control Room</strong></td>
</tr>
<tr class="odd">
<td colspan="3">[ ] Radio Dispatch</td>
<td colspan="8">Forwarded To</td>
<td colspan="5">Date</td>
<td colspan="3">Time</td>
</tr>
<tr class="even">
<td colspan="3">[X] Assigned</td>
<td colspan="8">James Allen</td>
<td colspan="5">5/15/02</td>
<td colspan="3">19:47</td>
</tr>
<tr class="odd">
<td colspan="19"><strong>MAINTENANCE SUPERVISOR</strong></td>
</tr>
<tr class="even">
<td colspan="6">Maintenance Priority Level</td>
<td colspan="5">[ ] High</td>
<td colspan="6">[ ] Medium</td>
<td colspan="2">[ ] Low</td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Radio Dispatch</td>
<td colspan="9">Forwarded To</td>
<td colspan="5">Date</td>
<td>Time</td>
</tr>
<tr class="even">
<td colspan="4">[X] VDOT Technician</td>
<td colspan="9" rowspan="2">Will</td>
<td colspan="5" rowspan="2">5/16/02</td>
<td rowspan="2"></td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Contractor</td>
</tr>
<tr class="even">
<td colspan="19"><strong>VDOT SERVICE TECHNICIAN</strong></td>
</tr>
<tr class="odd">
<td colspan="6">[X] YES – Work was completed</td>
<td colspan="13" rowspan="2">Power problem lighting hit filter AC
service protector ACP 340 125 VAC 50-70 Hz (Pwr OK)</td>
</tr>
<tr class="even">
<td colspan="6">[ ] NO – Work was not completed</td>
</tr>
<tr class="odd">
<td colspan="6">Repair Time Hrs.</td>
<td colspan="4">Date</td>
<td colspan="4">5/16/02</td>
<td colspan="3">Time</td>
<td colspan="2">15:00</td>
</tr>
<tr class="even">
<td colspan="6">Supervisor Signature</td>
<td colspan="13">Service Tech Signature</td>
</tr>
<tr class="odd">
<td colspan="6"></td>
<td colspan="13"></td>
</tr>
</tbody>
</table>

<table>
<colgroup>
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 1%" />
<col style="width: 2%" />
<col style="width: 22%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="16" rowspan="2"><p><strong>VDOT / SMART TRAFFIC
CENTER</strong></p>
<p>Maintenance / Service Request Ticket</p></td>
<td colspan="3">Job Number</td>
</tr>
<tr class="even">
<td colspan="3"><strong>11088</strong></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>EQUIPMENT INFORMATION</strong></td>
</tr>
<tr class="even">
<td colspan="2">Written By</td>
<td colspan="5">Ty</td>
<td colspan="2">Date</td>
<td colspan="6">5/20/02</td>
<td colspan="3">Time</td>
<td>2010</td>
</tr>
<tr class="odd">
<td>Type</td>
<td colspan="4"></td>
<td colspan="3">ID#</td>
<td colspan="4">20</td>
<td colspan="4">Location</td>
<td colspan="3">66EB</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Note Problem</strong></td>
</tr>
<tr class="odd">
<td colspan="19">FAILED</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Control Room</strong></td>
</tr>
<tr class="odd">
<td colspan="3">[ ] Radio Dispatch</td>
<td colspan="8">Forwarded To</td>
<td colspan="5">Date</td>
<td colspan="3">Time</td>
</tr>
<tr class="even">
<td colspan="3">[ ] Assigned</td>
<td colspan="8"></td>
<td colspan="5"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>MAINTENANCE SUPERVISOR</strong></td>
</tr>
<tr class="even">
<td colspan="6">Maintenance Priority Level</td>
<td colspan="5">[ ] High</td>
<td colspan="6">[ ] Medium</td>
<td colspan="2">[ ] Low</td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Radio Dispatch</td>
<td colspan="9">Forwarded To</td>
<td colspan="5">Date</td>
<td>Time</td>
</tr>
<tr class="even">
<td colspan="4">[X] VDOT Technician</td>
<td colspan="9" rowspan="2">Kenny</td>
<td colspan="5" rowspan="2">5/21/02</td>
<td rowspan="2"></td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Contractor</td>
</tr>
<tr class="even">
<td colspan="19"><strong>VDOT SERVICE TECHNICIAN</strong></td>
</tr>
<tr class="odd">
<td colspan="6">[ ] YES – Work was completed</td>
<td colspan="13" rowspan="2">Found Ramp Controller demand + PASS locked
on Reset Ramp Controller OK</td>
</tr>
<tr class="even">
<td colspan="6">[ ] NO – Work was not completed</td>
</tr>
<tr class="odd">
<td colspan="6">Repair Time Hrs.</td>
<td colspan="4">Date</td>
<td colspan="4">5/24/02</td>
<td colspan="3">Time</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="6">Supervisor Signature</td>
<td colspan="13">Service Tech Signature</td>
</tr>
<tr class="odd">
<td colspan="6"></td>
<td colspan="13"></td>
</tr>
</tbody>
</table>

<table>
<colgroup>
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 1%" />
<col style="width: 2%" />
<col style="width: 22%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="16" rowspan="2"><p><strong>VDOT / SMART TRAFFIC
CENTER</strong></p>
<p>Maintenance / Service Request Ticket</p></td>
<td colspan="3">Job Number</td>
</tr>
<tr class="even">
<td colspan="3"><strong>10614</strong></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>EQUIPMENT INFORMATION</strong></td>
</tr>
<tr class="even">
<td colspan="2">Written By</td>
<td colspan="5">Serena</td>
<td colspan="2">Date</td>
<td colspan="6">8/9/01</td>
<td colspan="3">Time</td>
<td>14:30</td>
</tr>
<tr class="odd">
<td>Type</td>
<td colspan="4">VMS</td>
<td colspan="3">ID#</td>
<td colspan="4">1990</td>
<td colspan="4">Location</td>
<td colspan="3">I95</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Note Problem</strong></td>
</tr>
<tr class="odd">
<td colspan="19">FAILED</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Control Room</strong></td>
</tr>
<tr class="odd">
<td colspan="3">[ ] Radio Dispatch</td>
<td colspan="8">Forwarded To</td>
<td colspan="5">Date</td>
<td colspan="3">Time</td>
</tr>
<tr class="even">
<td colspan="3">[X] Assigned</td>
<td colspan="8"></td>
<td colspan="5">8/22/01</td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>MAINTENANCE SUPERVISOR</strong></td>
</tr>
<tr class="even">
<td colspan="6">Maintenance Priority Level</td>
<td colspan="5">[ ] High</td>
<td colspan="6">[ ] Medium</td>
<td colspan="2">[ ] Low</td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Radio Dispatch</td>
<td colspan="9">Forwarded To</td>
<td colspan="5">Date</td>
<td>Time</td>
</tr>
<tr class="even">
<td colspan="4">[ ] VDOT Technician</td>
<td colspan="9" rowspan="2"></td>
<td colspan="5" rowspan="2"></td>
<td rowspan="2"></td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Contractor</td>
</tr>
<tr class="even">
<td colspan="19"><strong>VDOT SERVICE TECHNICIAN</strong></td>
</tr>
<tr class="odd">
<td colspan="7">[ ] YES – Work was completed</td>
<td colspan="12" rowspan="2">Assign T. McDean (8/?/01 – VDOT 1047)</td>
</tr>
<tr class="even">
<td colspan="7">[X] NO – Work was not completed</td>
</tr>
<tr class="odd">
<td colspan="7">Repair Time Hrs.</td>
<td colspan="3">Date</td>
<td colspan="4"></td>
<td colspan="3">Time</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="7">Supervisor Signature</td>
<td colspan="12">Service Tech Signature</td>
</tr>
<tr class="odd">
<td colspan="7"></td>
<td colspan="12"></td>
</tr>
</tbody>
</table>

<table>
<colgroup>
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 1%" />
<col style="width: 2%" />
<col style="width: 22%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="16" rowspan="2"><p><strong>VDOT / SMART TRAFFIC
CENTER</strong></p>
<p>Maintenance / Service Request Ticket</p></td>
<td colspan="3">Job Number</td>
</tr>
<tr class="even">
<td colspan="3"><strong>11071</strong></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>EQUIPMENT INFORMATION</strong></td>
</tr>
<tr class="even">
<td colspan="2">Written By</td>
<td colspan="5">Fred</td>
<td colspan="2">Date</td>
<td colspan="6">5/20/02</td>
<td colspan="3">Time</td>
<td>5:36</td>
</tr>
<tr class="odd">
<td>Type</td>
<td colspan="4">CCTV</td>
<td colspan="3">ID#</td>
<td colspan="4">810</td>
<td colspan="4">Location</td>
<td colspan="3">I95</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Note Problem</strong></td>
</tr>
<tr class="odd">
<td colspan="19">No Control</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Control Room</strong></td>
</tr>
<tr class="odd">
<td colspan="3">[ ] Radio Dispatch</td>
<td colspan="8">Forwarded To</td>
<td colspan="5">Date</td>
<td colspan="3">Time</td>
</tr>
<tr class="even">
<td colspan="3">[ ] Assigned</td>
<td colspan="8"></td>
<td colspan="5"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>MAINTENANCE SUPERVISOR</strong></td>
</tr>
<tr class="even">
<td colspan="6">Maintenance Priority Level</td>
<td colspan="5">[ ] High</td>
<td colspan="6">[ ] Medium</td>
<td colspan="2">[ ] Low</td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Radio Dispatch</td>
<td colspan="9">Forwarded To</td>
<td colspan="5">Date</td>
<td>Time</td>
</tr>
<tr class="even">
<td colspan="4">[ ] VDOT Technician</td>
<td colspan="9" rowspan="2"></td>
<td colspan="5" rowspan="2"></td>
<td rowspan="2"></td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Contractor</td>
</tr>
<tr class="even">
<td colspan="19"><strong>VDOT SERVICE TECHNICIAN</strong></td>
</tr>
<tr class="odd">
<td colspan="6">[X] YES – Work was completed</td>
<td colspan="13" rowspan="2">No power at Cam #820, informed Mike – OK
now</td>
</tr>
<tr class="even">
<td colspan="6">[ ] NO – Work was not completed</td>
</tr>
<tr class="odd">
<td colspan="6">Repair Time Hrs.</td>
<td colspan="4">Date</td>
<td colspan="4">5/20/02</td>
<td colspan="3">Time</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="6">Supervisor Signature</td>
<td colspan="13">Service Tech Signature</td>
</tr>
<tr class="odd">
<td colspan="6"></td>
<td colspan="13"></td>
</tr>
</tbody>
</table>

<table>
<colgroup>
<col style="width: 8%" />
<col style="width: 5%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 6%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 3%" />
<col style="width: 1%" />
<col style="width: 7%" />
<col style="width: 3%" />
<col style="width: 2%" />
<col style="width: 1%" />
<col style="width: 3%" />
<col style="width: 5%" />
<col style="width: 1%" />
<col style="width: 2%" />
<col style="width: 22%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="16" rowspan="2"><p><strong>VDOT / SMART TRAFFIC
CENTER</strong></p>
<p>Maintenance / Service Request Ticket</p></td>
<td colspan="3">Job Number</td>
</tr>
<tr class="even">
<td colspan="3"><strong>10976</strong></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>EQUIPMENT INFORMATION</strong></td>
</tr>
<tr class="even">
<td colspan="2">Written By</td>
<td colspan="5">B. A. Hunt</td>
<td colspan="2">Date</td>
<td colspan="6">5/18/02</td>
<td colspan="3">Time</td>
<td>14:00</td>
</tr>
<tr class="odd">
<td>Type</td>
<td colspan="4">VCS</td>
<td colspan="3">ID#</td>
<td colspan="4">20</td>
<td colspan="4">Location</td>
<td colspan="3">I66 EB Exit 53</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Note Problem</strong></td>
</tr>
<tr class="odd">
<td colspan="19">Failed – not collecting data</td>
</tr>
<tr class="even">
<td colspan="19"><strong>Control Room</strong></td>
</tr>
<tr class="odd">
<td colspan="3">[ ] Radio Dispatch</td>
<td colspan="8">Forwarded To</td>
<td colspan="5">Date</td>
<td colspan="3">Time</td>
</tr>
<tr class="even">
<td colspan="3">[ ] Assigned</td>
<td colspan="8"></td>
<td colspan="5"></td>
<td colspan="3"></td>
</tr>
<tr class="odd">
<td colspan="19"><strong>MAINTENANCE SUPERVISOR</strong></td>
</tr>
<tr class="even">
<td colspan="6">Maintenance Priority Level</td>
<td colspan="5">[ ] High</td>
<td colspan="6">[ ] Medium</td>
<td colspan="2">[ ] Low</td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Radio Dispatch</td>
<td colspan="9">Forwarded To</td>
<td colspan="5">Date</td>
<td>Time</td>
</tr>
<tr class="even">
<td colspan="4">[X] VDOT Technician</td>
<td colspan="9" rowspan="2">Kenny</td>
<td colspan="5" rowspan="2">6/1/02</td>
<td rowspan="2"></td>
</tr>
<tr class="odd">
<td colspan="4">[ ] Contractor</td>
</tr>
<tr class="even">
<td colspan="19"><strong>VDOT SERVICE TECHNICIAN</strong></td>
</tr>
<tr class="odd">
<td colspan="6">[X] YES – Work was completed</td>
<td colspan="13" rowspan="2">Found bad power supply NO-12v nor5vdc –
replaced p/s VCS#20 – back online</td>
</tr>
<tr class="even">
<td colspan="6">[ ] NO – Work was not completed</td>
</tr>
<tr class="odd">
<td colspan="6">Repair Time Hrs.</td>
<td colspan="4">Date</td>
<td colspan="4">5/22/02</td>
<td colspan="3">Time</td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="6">Supervisor Signature</td>
<td colspan="13">Service Tech Signature</td>
</tr>
<tr class="odd">
<td colspan="6"></td>
<td colspan="13"></td>
</tr>
</tbody>
</table>

# APPENDIX B: MAINTENANCE PROCEDURES FOR ITS DEVICES {#appendix-b-maintenance-procedures-for-its-devices .unnumbered}

[]{#AppB .anchor}The lists below include examples of preventive
maintenance procedures for a variety of common device types. Maintenance
staffs need to develop their own sets of procedures based on the devices
they have and the information from the manufacturer. Keeping
documentation of the procedures and when they are performed will put the
Agency in a better position in the case of disputes concerning
warranties and in providing the MTBF data discussed earlier.

# Closed-Circuit Television Camera Preventive Maintenance {#closed-circuit-television-camera-preventive-maintenance .unnumbered}

## Camera Preventive Maintenance at Pole Level --- Every Six Months {#camera-preventive-maintenance-at-pole-level-every-six-months .unnumbered}

-   Check camera housing pressure (typically 5psi +/- 1psi). Pressurize
    with dry nitrogen if not within limits and document readings on
    sheet provided

-   Visually inspect camera housing

-   Clean glass with suitable glass cleaning agent

-   Inspect pan and tilt mechanism and adjust limit switches where
    applicable

-   Inspect housing mounting for corrosion.

-   Remove any bird nest around the camera housing following approval
    from the Environmental Department

-   Check and inspect the integrity of all cable harness and connectors.
    Replace defective item where applicable

-   Check integrity of surge protector - replace where applicable

-   Check wiper blades and wiper assembly unit - replace defective units

-   Replace filter in camera housing

-   Check operation of thermostat inside camera housing

-   Check for corrosion of terminal inside housing

## Camera Preventive Maintenance at Cabinet Level --- Every Three Months {#camera-preventive-maintenance-at-cabinet-level-every-three-months .unnumbered}

-   Check integrity of all cables and connectors

-   Check raw video from the camera with a waveform monitor (raw video
    shall measure 1.00Vp/p). Adjust per specifications in specialty
    camera manual

-   Check all local functions (Pan, Tilt, Zoom in, Zoom out, Focus Far,
    Focus near)

-   Check integrity of surge protectors

-   Check and ensure that all relays are firmly seated on the control
    board

-   Check operation of auto-iris and adjust for correct operation per
    operational and maintenance manual

-   Check circuit box at the base of the camera pole to ensure that the
    terminal strips are corrosion free

-   Check proper function thermostat

-   Check fan and replace where applicable

-   Clean and vacuum inside of cabinet

-   Inspect and change filter where applicable

-   Check light bulb and replace where applicable.

-   Check incoming power for proper voltage and correct if not within
    tolerances

-   Check cabinet door for proper closure

## Camera Preventive Maintenance at Control Center --- Weekly {#camera-preventive-maintenance-at-control-center-weekly .unnumbered}

-   Using the waveform monitor, perform the following measurements and
    ensure that the results recorded are within manufacturers
    specifications. Document the results:

-   Check raw video

-   Measure peak white

-   Measure color burst

-   Measures synch pulse.

-   Check integrity of all connectors

-   Check all camera video at night (to determine which cameras need
    back focusing)

#  {#section .unnumbered}

# Gates/Barriers System Preventive Maintenance  {#gatesbarriers-system-preventive-maintenance .unnumbered}

## Preventive Maintenance at the Gate Cabinet -- Every Three Months {#preventive-maintenance-at-the-gate-cabinet-every-three-months .unnumbered}

-   Perform visual inspection of the high voltage side of the cabinet
    (Use extreme caution and observe all safety rules)

-   Check oil level - add oil if needed

-   Grease all grease nipples and wipe excess

-   Check for oil leaks in the gate housing

-   Test gate opening and closing sequence using the open and close
    buttons in the gate cabinet

-   Verify that the lights on the gate flash when the gate arm moves
    between opening and closing.

-   Verify that the lights stop flashing and remain on solid when the
    gate arm is in closed position

-   Verify that the lights stop flashing and remain off when the gate
    arm is in the open position

-   Turn off power to the gate cabinet and use hand crank to open or
    close gate (this is to ensure that the gate can be opened or closed
    in the event of power failure)

-   Replace all burnt out bulbs

-   Perform physical inspection of the gate arm and replace broken or
    rotten wood

-   Check reflectors and replace where necessary

-   Check adjust gate clearance from road surface

-   Check and adjust limit switches if needed

## Preventive Maintenance at the Gate Control Cabinet --- Every Three Months {#preventive-maintenance-at-the-gate-control-cabinet-every-three-months .unnumbered}

-   Open and close gate group from control cabinet

-   Adjust gate opening and closing timing sequence

-   Check isolators associated with the controller for damage and repair
    or replace

## Lane Control Signal Preventive Maintenance {#lane-control-signal-preventive-maintenance .unnumbered}

The lane control signal preventive maintenance requires planning and
coordination with control room. Since changing the "X" and arrow has
impact on the traffic movement, it is important to set up traffic
control for this operation.

## Lane Control Signal from Control Room --- Weekly {#lane-control-signal-from-control-room-weekly .unnumbered}

-   Check that all signal heads can be controlled from Central and
    document results

## Lane Control Signal Local Field Control (from field) --- Weekly {#lane-control-signal-local-field-control-from-field-weekly .unnumbered}

-   From each control cabinet in the field, verify that the signal heads
    can be changed

-   Document results

-   Clean cabinet interior

-   Replace filter if required

## Lane Control Signs Preventive Maintenance --- Every Three Months {#lane-control-signs-preventive-maintenance-every-three-months .unnumbered}

-   Check and ensure that both lamps in the signal head are in good
    working order

-   Wipe and clean signal head

-   Check wiring and terminal block for corrosion. Replace where
    necessary

## Dynamic Message Signs (DMS) Preventive Maintenance --- Annually at the Sign; Every Three Months at the Cabinet {#dynamic-message-signs-dms-preventive-maintenance-annually-at-the-sign-every-three-months-at-the-cabinet .unnumbered}

-   Photo Cell - clean photo cell aperture

-   Ventilation - clean filters

-   Lexan cleaning - clean front surface with approved detergent

-   Cabinet Filter - clean or change filters

-   Fans - check fan condition and thermostat settings

-   Vacuum cabinet and clean

-   Test - Row and Column Check

-   Test - All "ON" and ALL "OFF"

-   Test - check alpha numeric characters

## Back up Battery Assemblies --- Annually {#back-up-battery-assemblies-annually .unnumbered}

-   String voltage - measure /record

-   Individual Voltages - measure /record

-   Pilot unit Voltage - measure /record

-   Ambient temperature - measure /record

-   Unit interconnection - inspect, clean, retorque

-   The unit must be cleaned quarterly to remove dust from covers.

-   If signs of corrosion, clean with a solution of baking soda and
    water or isopropyl alcohol

-   If corrosion reoccurs, report to the Department

## Air Conditioning Unit Preventive Maintenance --- Every Three Months {#air-conditioning-unit-preventive-maintenance-every-three-months .unnumbered}

-   Air Filter - remove and clean or replace

-   Blower unit - check for bearing noise

-   Compressor - check functions - reset thermal overload

-   Refrigerant loss - check refrigerant level and pressure, check
    cracks & leaks in pipe lines

## Spread Spectrum Preventive Maintenance --- Annually {#spread-spectrum-preventive-maintenance-annually .unnumbered}

-   Check and inspect antenna in the field

-   Check antenna alignment (both receive and transmit end)

-   Measure antenna gain

-   Measure the VSWR (Voltage Standing Wave Ratio)

## Ramp Meter Preventive Maintenance --- Monthly {#ramp-meter-preventive-maintenance-monthly .unnumbered}

-   Check the operation of the Blank Out sign - replace any defective
    bulbs

-   Check the operation of the Ramp Controller - repair as needed

-   Check stop line and make sure that this is clearly visible - make
    notation for any line that is not visible and report immediately to
    road marking crew for remarking

-   Check advisory signs to ensure accurate words and facing the
    motorist

-   Check signal light head for correct operation

-   Replace any burnt out bulbs

-   Check and adjust signal head to face the correct direction

-   Check and adjust where necessary the ramp meter time clocks in
    accordance with schedules

-   Check the function of the QUEUE loop

-   Document all results on the ramp meter maintenance check list

-   Request control center to send command to turn on or off and verify

# Loops and Piezo Detectors Preventive Maintenance {#loops-and-piezo-detectors-preventive-maintenance .unnumbered}

## Loop Preventive Maintenance --- Annually {#loop-preventive-maintenance-annually .unnumbered}

## At the Cabinet Level {#at-the-cabinet-level .unnumbered}

-   Disconnect loop

-   With LCR meter measure and record inductance of the loop (L= µH)

-   With LCR meter measure and record resistance (R= ohms)

-   With a MEGGER meter measure and record the insulation resistance
    (100 meg \>)

-   If readings are outside specification, disconnect lead-in at the
    splice box and check all three parameters at that level

-   From the readings determine whether loop or the lead-in need repair

## Piezoelectric Detector Preventive Maintenance --- Every Three Months {#piezoelectric-detector-preventive-maintenance-every-three-months .unnumbered}

-   Check cracks in the asphalt at the shoulder

-   Check cracks in the sensor at the shoulder

-   Check cracks in the sensor at the wheel tracks

-   Check cracks at the sensor /asphalt interface

-   Using LCR meter measure capacitance (C= µF)

-   Using LCR meter measure resistance (R = ohms)

-   Use manufactures recommended procedure for checking detectors

# APPENDIX C: GENERIC CONTRACT FORMAT {#appendix-c-generic-contract-format .unnumbered}

The example, below, is one contract format without most of the local
Agency legal terms. The contractual wording is in *italics* to
distinguish it from the comments.

*This is the start of the sample contract.*

![](media/image28.png){width="6.25in" height="0.10416666666666667in"}

# CONTRACT SCOPE {#contract-scope .unnumbered}

## Contract Objectives {#contract-objectives .unnumbered}

*AGENCY's Objective is to select a Contractor to provide preventive and
responsive maintenance for the equipment associated with the AGENCY's
ITS. The Contractor will provide these preventive and responsive
maintenance activities for all the AGENCY's equipment within the
boundary defined in the geographic scope.*

## Definitions {#definitions .unnumbered}

*Preventive maintenance consists of regularly scheduled activities such
as, but not limited to, electrical testing, replacement of necessary
parts, cleaning, and lubrication.*

*Responsive maintenance consists of responding to the daily log of
faults reported concerning the various components of the System. It is
the responsibility of the contractor to meet the minimum time
requirements to reach the site and begin repairs.*

*Emergency maintenance is similar to responsive maintenance; however, it
has a higher priority and needs a much shorter response time.*

## General Requirements {#general-requirements .unnumbered}

*The Contractor shall manage all assets within the project limits and
will perform work that produces end results in accordance with the
Department Specifications (including all Supplemental Specifications and
Special Provisions these include, but are not limited to:*

*AGENCY Construction Manual*

*AGENCY Work Area Protection Manual*

*Manual on Uniform Traffic Control Devices*

*AGENCY Road and Bridge Specifications*

*AGENCY Road and Bridge Standards*

*Proper health and safety measures will be taken to insure safety for
the traveling public, AGENCY employees, contractor employees and
subcontractor employees.*

*The contractor and agents are required to pay all tolls.*

*Maintenance of traffic is solely the responsibility of the contractor.
Under no circumstances will maintenance of traffic be an additional pay
item.*

*AGENCY will pay all highway electric bills. Responsibility for
maintaining power to devices will be as follows:*

*From the utility to the meter -- local power company*

*From the meter to the control cabinet or breaker -- AGENCY's current
roadway lighting contractor*

*From the control cabinet or breaker to and within the devices -- this
contractor*

*The contractor shall maintain a responsive maintenance log, which shall
detail all complaints or requests and the dispositions of the items
contained in the log. The complaint log will be kept on the maintenance
computer within AGENCY.*

*The contractor shall comply with AGENCY's lane closure
restrictions/requirements. In some locations this may require the work
to be performed at night. All overhead work over impacted traffic lanes
shall include proper lane closures.*

*The contractor is required to provide at all times all operational
crews with working cell phones. In addition the contractor shall provide
a single phone contact for the contractor's supervisor. The contractor
shall provide to AGENCY and keep current all cell phone contact numbers.
It is essential that the operating crews can contact AGENCY's control
center to ensure correct operation of equipment and verify equipment
status in the control center.*

*The existing AGENCY Technicians will act as contract administrators
with the responsibility of ensuring that work is done to a specified
standard. These standards will be in accordance with the workload
guidelines supplied by AGENCY. They will be responsible for signing off
on the job when the contractor satisfactorily completes the work. The
technician supervisor will be responsible for the overall assignment of
work to the contractor.*

## Form of Contract {#form-of-contract .unnumbered}

*Under the terms of this contract, there are four requirements:*

-   *The first requirement will be for performing the preventive
    maintenance. This will be a fixed-price contract.*

-   *The second requirement is for storing, purchasing and maintaining
    the inventory. This will be fixed-price.*

-   *The third requirement is for performing responsive maintenance.
    Payment will be by type of item repaired and number of repairs
    undertaken.*

-   *The forth requirement is for additional work at the request of
    AGENCY. The contractor must provide a minimum two-man team and all
    necessary incidental equipment for additional work. This will be an
    hourly reimbursable item.*

## Monthly Status Meetings {#monthly-status-meetings .unnumbered}

Each month, the contractor shall hold a status meeting with AGENCY. At
these meetings the contractor shall discuss the previous month's
repairs, anticipated work for the next month, spare purchases for the
month and other operational problems that may arise. The contractor is
responsible for taking and distributing the minutes of these meetings.
These minutes must be transmitted to AGENCY within seven days for
approval by AGENCY.

Geographic Scope

*The geographic coverage of this contract includes all of the field and
ITS devices used by the AGENCY system as proscribed in the map shown in
Appendix A -- Geographic Scope.*

*AGENCY reserves the right to increase the number of devices to be
maintained within this area by up to 2% on any specific device type. The
contractor is not entitled to additional payment resulting from such an
increase.*

*AGENCY reserves the right to increase the geographical scope of this
contract at any boundary for a distance not more than five miles. The
contractor is not entitled to additional payment resulting from such an
increase.*

## Equipment to Be Maintained {#equipment-to-be-maintained .unnumbered}

*The equipment is to be included in this contract includes:*

-   Gates and Controls

-   Variable Message Signs VMS (including blank-out signs used for ramp
    metering)

-   Close Circuit Television (CCTV)

-   Vehicle detectors both loop and piezoelectric

-   External communication plants including optical fiber, coaxial, and
    copper cabling, conduit, cabinets, pull boxes, etc.

-   AGENCY's TMC communication plants including modems, multiplexers,
    telephones, leased service through Bell Atlantic and other service
    providers

-   AGENCY's computer hardware including servers and workstations
    running UNIX and MS Windows. Software is not included

-   AGENCY's video equipment including matrix switches, monitors, wall
    displays, etc.

*Preventive maintenance shall be applied to all of the above equipment.
Responsive maintenance may be applied to any of the equipment at the
discretion of AGENCY.*

## Maintenance Procedures {#maintenance-procedures-1 .unnumbered}

*The initial numbers for each equipment type are contained in Appendix
B - Initial Equipment Inventory. For each equipment type there are
defined preventive maintenance procedures. These procedures are defined
in Appendix C -- Preventive Maintenance Procedures. Each component's
preventive maintenance procedure has a fixed period between procedures.
These are defined in Appendix D -- Preventive Maintenance Frequency.
Appendix E provides guidance on the required Equipment Repair Response
Time. Appendix F defines the manufacturer's procedures proscribed by the
manufacturers.*

*The start time for these periods shall begin upon notification to
proceed. However, it is required that all equipment be subjected to a
preventive maintenance within 50 percent of the time between maintenance
procedures. For example, those items that need to be maintained every 6
months must have their initial maintenance activity performed within the
first 3 months. Should individual items be found to be faulty such that
preventive maintenance cannot be performed these items must be reported
to AGENCY. Should any defects or problems be found during the preventive
maintenance activities then the contractor should remedy these at that
time with no additional compensation.*

*Additional work will be performed at the request of AGENCY.*

*Should the contractor perform a responsive maintenance action and
within 5 days the same fault is reported on the same piece of equipment
then it is the contractor's responsibility to make the second and any
subsequent repairs at no cost to AGENCY. Should a particular device
persist in its failures then upon AGENCY's instruction such device can
be removed from the list of items to be maintained. The contractor may
petition AGENCY to remove items from the list of preventive
maintenance.*

## Record-Keeping Procedures {#record-keeping-procedures .unnumbered}

*The contractor shall provide and install at a location within AGENCY a
computer running Microsoft Access. This will be known as the maintenance
computer. The Contractor shall configure and install the Access database
to show all preventive and responsive maintenance activities. This
computer shall also keep the inventory of current spares. This database
must be updated daily at the end of each day. The contractor must
configure the system to be accessible remotely. Any required
communication charges will be at the contractor's expense. In addition
it is required that the contractor at the end of each day communicates
the next day's planned activities in an electronic form to the
maintenance database. The records on the Maintenance PC shall at a
minimum include:*

-   *Date and time of failure report*

-   *Person or source of the report*

-   *Location of device*

-   *Description of failure or symptom*

-   *Name of person responding*

-   *Arrival time at location of reported failure*

-   *Weather and condition of the site*

-   *Actions taken*

-   *Date and time of rectification*

-   *Spare part details*

-   *Any consequential events -- such as, but not limited to, failure to
    operate or secondary failure.*

*The contractor shall maintain accurate and complete records of all work
activities, status reports, meeting notes, cost proposals, invoices,
inventory records, etc. As-Built documentation shall be required when
equipment or cable is reconfigured. As-Built documentation shall consist
of, but not limited to modifying cabinet drawings, fiber-optic block
diagrams and fiber allocation drawings. All project records will be the
property of AGENCY and shall be returned to AGENCY prior to final
payment of the contract.*

## Equipment Control {#equipment-control .unnumbered}

*At the commencement of the contract, AGENCY will provide some spares to
the contractor. At the end of the contract the contractor must return
all spares to AGENCY.*

*The contractor shall maintain sufficient inventory of spares to ensure
the repair response time specified in the appendices. These spares will
be purchased by the contractor and owned by AGENCY. The contractor can
invoice AGENCY for spares added to inventory if it is not more often
than once per month. The contractor shall not maintain the inventory in
excess of 10 percent of items on a per item basis. A 15 percent markup
is allowed on the purchase of spares. Shipping, insurance and purchase
costs should be paid by the contractor and billed to AGENCY. AGENCY must
give prior written approval (within 5 working days) for each monthly
order made by the contractor. The contractor shall maintain and make
readily available the maintenance of the PC, as well as, the location of
all spares. Spares records are to include as a minimum:*

-   *Manufacturer*

-   *Model number*

-   *Descriptive title*

-   *Serial number*

-   *Location*

-   *Purchase date*

-   *Date installed -- when applicable*

-   *Location of installation -- when applicable*

*The contractor is fully responsible for these spares. The contractor
shall insure all AGENCY property against all hazards or loss and name
AGENCY as the beneficiary in the case of loss. A copy of the insurance
documents must be provided to AGENCY. AGENCY has the right to audit the
inventory at any reasonable time by providing the contractor with five
days notice.*

## Bar-Code System {#bar-code-system .unnumbered}

*The contractor shall purchase a bar-code system that is compatible with
AGENCY's old system. AGENCY's approval of the new bar-code system is
required prior to purchase. The contractor shall ensure that all new and
replacement equipment has bar-code labels attached that are compatible
with AGENCY's current system. The contractor shall add new bar-code
labels to all equipment that is currently unlabeled as part of the
initial preventive maintenance tasks. Data corresponding to each
equipment item must be recorded in the bar-code system at the AGENCY.
The contractor will not be responsible for adding the data from the old
system to the new system. The contractor will obtain approval from
AGENCY for a bar-code system and invoice AGENCY for the total bar-code
system costs without markup. AGENCY will pay for the bar-code system in
the same manner, as it will for the other inventory items being held by
the contractor. The implementation of the bar-code system must be
completed by the contractor and commence operation within three months
of the notice of process.*

# STAFFING/MANAGEMENT PLAN {#staffingmanagement-plan .unnumbered}

*The proposal shall include a Staffing/Management Plan defining the key
staff for ITS Maintenance and the Project Management Team. Resumes for
the key staff must be provided. During the project life, changes to the
key staff and Project Management Team shall require approval of the
AGENCY project manager prior to use of the staff on the project. The
AGENCY project manager shall have the right to reject any proposed
replacement staff and request another replacement. If at any time the
Department deems the contractor's personnel unacceptable, AGENCY
reserves the right to cancel the contract.*

*The staffing/management plan should include:*

*Location, size and nature of primary office to centralized project
activities and in which the contractor's project manager will reside.*

*Location(s) of resources (offices, equipment, manpower, spares and
materials) to be utilized.*

*Proposed plan for communication and coordination among the Team and key
staff.*

Proposed *maintenance schedule for all ITS devices.*

Qualifications of all personnel.

## Staffing Qualifications {#staffing-qualifications-1 .unnumbered}

*All staffing associated with this project must be qualified for the
work that is to be performed. Specifically technicians, that are
responsible for the electronic components, must have a minimum of a two
year associate degree plus two years relevant work experience or
equivalent. An equivalent to this qualification would be more than five
years of relevant experience. Any proposed equivalent must be approved
by AGENCY.*

Please note: The Contractor is required to furnish labor with expertise
in the following equipment.

  ------- -------------- ---------------- ------------- ------------ -----------------
  *Item   *Equipment*    *Manufacturer*   *Model No.*   *Location*   *End Use*
  \#*                                                                

  *1*                                                                

  *2*                                                                
  ------- -------------- ---------------- ------------- ------------ -----------------

*In the table, above, enter Agency's list of equipment types.*

## Safety Plan {#safety-plan .unnumbered}

*Within 30 days of the contract signing, the contractor shall provide a
Safety Plan for the project. The contractor is required to follow all
applicable safety laws, regulations, and AGENCY standard safety
procedures. The Safety Plan shall ensure compliance to the requirements
of the Manual on Uniform Traffic Control Devices (MUTCD), OSHA, and
others as appropriate. Appropriate safety attire for personnel in the
field, clear markings, and functional lights on vehicles must be part of
the safety plan.*

## Utilities {#utilities .unnumbered}

*The contractor shall ensure the protection of all utilities, conforming
to all regulations applied to work within the State. Before work shall
be undertaken, the contractor shall be responsible to mark and identify
all utilities, which are adjacent to the work area.*

## Contractor's Responsibility for Utility, Property and Services {#contractors-responsibility-for-utility-property-and-services .unnumbered}

*At points where the contractor's operations are adjacent to the
properties of any utility, including railroads, and damage to which
might result in considerable expense, loss, or inconvenience, work shall
not commence until arrangements necessary for the protection therefore
have been completed.*

*The contractor shall cooperate with owners of utility lines so that
removal and adjustment operations may progress in a reasonable manner,
duplication of adjustment work may be reduced to a minimum, and services
rendered by those parties will not be unnecessarily interrupted.*

*Should the contractor as a result of his working cause a cut in any
communications media, it is the contractor's responsibility to repair
that cut within one hour of the cut occurring.*

*If any utility service is interrupted as a result of accidental
breakage or of being exposed or unsupported the Contractor shall
promptly notify the proper authority and shall cooperate with the
authority in the restoration of service. If utility service is
interrupted repair work shall be continuous until service is restored.
No work shall be undertaken around fire hydrants until the local fire
authority has approved provisions for continued service. When the
Contractor's work operations require the disconnection of "in service"
fire hydrants the Contractor shall notify the locality's fire department
or communications center at least 24 hours prior to disconnection. In
addition the contractor shall notify the locality's fire department or
communications center no later than 24 hours after the reconnection of
such hydrants. The contractor shall be responsible for any damage to
utilities that are attributable to his neglect or methods of performing
work.*

## Performance of the Contractor {#performance-of-the-contractor .unnumbered}

*Throughout this contract, AGENCY may conduct a review of the various
works performed by the contractor. These reviews shall be to determine
the compliance of the contractor's operations with the maintenance
requirements, the terms of the contract, and the policies and procedures
of AGENCY. The contractor shall fully cooperate with these reviews. If
deficiencies are found AGENCY shall inform the contractor of this in
writing. The contractor shall take immediate remedial action to cure any
deficiencies. No additional compensation will be due to the contractor
associated with such remedial actions. AGENCY reserves the right to use
it's own staff for any maintenance activities at its discretion and may
prioritize response calls at their discretion.*

*The contractor is required to maintain the AGENCY's devices uniformly
and consistently throughout the contract period meeting both AGENCY and,
as appropriate, the manufacturer's performance specifications. Continued
poor performance of work or failure to perform shall cause the
contractor to be declared in default of the contract. Failure to meet
the maintenance requirements specified in this contract shall result in
a written notice from AGENCY. This information shall inform the
contractor of non-compliance, as well as the disincentives that will
occur when the daily average for the month being requested falls below
90 percent of the items that were scheduled to be repaired. Items where
the failure to repair is beyond the control of the contractor, will not
be included in this calculation. Disincentives will be assessed based on
the percentage of outstanding work below 90 percent. The outstanding
percentage of deficient work will be deducted from the monthly payment
as liquidated damages to compensate the Department for the loss of use
of such failed equipment. Under no circumstances will any monies
deducted as liquidated damages be returned to the Contractor. The
contractor is required to submit a remedial schedule for the outstanding
percentage of work within 5 days of receipt of the written notice of the
failure to meet maintenance requirements. Failure of the contractor to
bring the percentage of work back into compliance within 30-days shall
result in the contractor being declared in default of the contract.*

*It is not the intent of AGENCY to unfairly penalize the contractor for
events beyond his control such as acts of God, vehicle hits, severe
weather conditions, major power failures, etc. Failure to repair or
perform preventive maintenance during such periods will not be used to
penalize contractors. The costs for such calls may at the discretion of
AGENCY be paid for under the additional work item payment category.*

*The contractor must ensure that all warranties remain valid. To achieve
this, the contractor shall perform all the preventive work specified by
the manufacturer within the periods specified by the manufacturer for
all equipment. If these tasks are covered by the standard preventive
maintenance then both conditions apply. AGENCY shall provide copies of
all existing relevant warranties.*

*The contractor shall provide vehicular equipment such as, but not
limited to (bucket trucks, inspection trucks), field engineering
equipment, tools, materials, cellular phones and other equipment
necessary to perform the work. An approved vendor as per the equipment
specification requirements shall calibrate all electronic maintenance
and measurement equipment. These items include but are not limited to:*

*Optical Time Domain Reflectometers (OTDR)*

*Oscilloscopes*

*Spectrum Analyzers*

*Network Analyzers*

*Waveform Generators*

*Sweep Generators*

*Frequency Counters*

*Multi-meters*

*Inductance Meters*

*Power Meters*

*The contractor shall provide conveniently located secure premises to
store all spare parts inventory. The contractor shall provide workbench
facilities to enable diagnostic testing and remedial work.*

The following sections can be included as attachments to the contract.

## Geographic Scope {#geographic-scope .unnumbered}

*In addition to the roadside equipment shown the on the map below and
the TMC the contractor is responsible for equipment at:*

*Other locations such as remote sites, other Agency building,
maintenance depots, etc.*

## Initial Equipment Inventory to be Maintained {#initial-equipment-inventory-to-be-maintained .unnumbered}

AGENCY reserves the right to substitute equipment on this list as
repairs and upgrades occur. Substitutions such as, but not limited to,
replacing coaxial cable with fiber-optic, replacing VMS of one
manufacturer with a VMS from another manufacturer will occur.

  -------- ------------------------- -------------------------------------
  *item*   *EQUIPMENT DESCRIPTION*   *QUANTITY*

  *1*                                

  *2*                                

                                     

                                     

                                     
  -------- ------------------------- -------------------------------------

## Preventive Maintenance Procedures {#preventive-maintenance-procedures .unnumbered}

*All supplies and parts used in the maintenance of equipment shall meet
the manufacturer's requirements for the unit being serviced.*

Preventive Maintenance (PM) Frequency

+-----------+---+----+-----------+--------+---------+---------+-----+
| *E        | * | *W | *BI       | ####   | *Qua    | *½      | *Y  |
| quipment* | P | kl | -monthly* | ## *Mo | rterly* | Yearly* | ear |
|           | M | y* |           | nthly* |         |         | ly* |
|           | * |    |           |        |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+
|           |   |    |           | #      |         |         |     |
|           |   |    |           | #####  |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+
|           |   |    |           | #      |         |         |     |
|           |   |    |           | #####  |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+
|           |   |    |           | #      |         |         |     |
|           |   |    |           | #####  |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+
|           |   |    |           | #      |         |         |     |
|           |   |    |           | #####  |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+
|           |   |    |           | #      |         |         |     |
|           |   |    |           | #####  |         |         |     |
+-----------+---+----+-----------+--------+---------+---------+-----+

##  {#section-6 .Style-Heading-2-+-Left:--0.25\"-First-line:--0\" .unnumbered}

## Equipment Minimum Response Time (Hours) {#equipment-minimum-response-time-hours .Style-Heading-2-+-Left:--0.25\"-First-line:--0\" .unnumbered}

  --------------------- ------------------------------ ------------------
  *Equipment*           *Reported Problems*            *Minimum*

                                                       

                                                       

                                                       

                                                       

                                                       

                                                       

                                                       
  --------------------- ------------------------------ ------------------

*Manufacturer's Procedures*

*The following sections define the equipment under warranty and vendor's
recommended maintenance procedures and frequencies.*

*This is the end of the sample contract.*

![](media/image28.png){width="6.25in" height="0.10416666666666667in"}

# APPENDIX D: EXTENDED WARRANTY BETWEEN ACME INTEGRATORS AND AGENCY {#appendix-d-extended-warranty-between-acme-integrators-and-agency .unnumbered}

This agreement between Acme Integrators Incorporated (hereafter "Acme")
will provide Agency (hereafter "AGENCY") is effective as of the
\_\_\_\_\_\_ day of \_\_\_\_\_\_\_\_\_\_\_\_\_, 20\_\_.

Whereas, Acme and AGENCY desire to enter into an agreement to provide
extended warranty support for the DEFINED ITEM for the term of this
contract, beginning on the effective date listed above and remaining in
effect for \_\_\_\_ year(s). This Extended Warranty Support Agreement
will automatically be renewed for a period of \_\_\_\_\_ year(s) at the
option of the AGENCY by paying the invoiced of the then current fee for
additional Extended Warranty Support. The Extended Warranty Support
Agreement will be terminated upon termination of the associated software
license agreement or upon non-payment of invoice for additional Extended
Warranty Support. During the effective period of the Extended Warranty
Support Agreement, the Scope of Services includes the following items:

ACME will provide the AGENCY with error resolution support, responding
to customer-identified problems. This support will be during normal ACME
business hours (8:30 a.m. to 5:00 p.m. EST, Monday through Fridays,
excluding holidays). Notification should be in the form of a written
error report as outlined in Paragraph 5(b) below.

ACME will provide AGENCY with telephone response to application use
related queries. This support will be during normal ACME business hours
(8:30 a.m. to 5:00 p.m. EST, Monday through Friday, excluding holidays).
Should the issue be deemed by ACME to be an error, a written
notification must be made as covered in Paragraph 1, above.

ACME will provide the AGENCY with support in the correction of software
errors where such errors prevent the operation of the application or
have a significant impact on the application's use.

ACME will make one site visit to Albany, NY as a part of this agreement
during the contract year. The visit will be for a period of three days,
by one systems engineer to review operations and provide general support
services as directed/needed. The support services are to be for the
operations and maintenance support of the ACME SOFTWARE system.

The AGENCY responsibilities are as follows:

-   Keeping employees trained in the Acme system usage. If additional
    training is required, this may be supplied at prevailing ACME
    time-and-materials rates.

-   Timely notification of errors encountered. These notifications
    should be in writing and may be posted by mail, fax, or e-mail.
    Notification should include the time and date of error, the machine
    that exhibited the error, a full description of the error
    encountered, the name and direct phone number for the person that
    experienced the error, and the state of the system and environment
    at the time of the error.

-   Upgrading to the latest available release of Acme software within a
    one year of the date that it is made available.

-   Allow dial-in access to the ACME SOFTWARE, system by ACME for
    support by providing a modem and phone line.

-   Keep all computers associated with ACME SOFTWARE, acting as a
    Server or Operator Interface free of any software that was not
    delivered with the ACME SOFTWARE system or subsequent releases.

-   Not allow ACME SOFTWARE software to be modified in any way by
    anyone other than ACME.

Specifically excluded from the Extended Warranty Agreement:

-   All hardware issues. These may be covered under the supplier's
    warranty, which are the responsibility of the AGENCY to keep
    enforced.

-   Support of any software that is modified from that delivered by
    ACME. Any support needed on software that has been modified will be
    charged to AGENCY at the then prevailing ACME Time & Material rate.

-   The costs of supplying additional hardware or non-ACME SOFTWARE
    software, which may be pre-requisites for the application
    enhancements.

-   Non-application specific engineering support at any time. Such
    support, if requested, will be charged to Customer at the then
    prevailing ACME Time & Material rates on a quotation basis. Should a
    reported problem turn out to be a non-ACME SOFTWARE^^ software
    issue, ACME retains the right to bill the AGENCY for services
    supplied in an effort to resolve the issue.

-   All reasonable travel, accommodation and per diem expenses incurred
    as a result of visits to customer\'s site, at customer\'s request
    and ACME's agreement.

> ACME will provide the above support services to the AGENCY based on
> the selected rate option from the table below. All of the dollar
> amounts are to be paid to ACME in US dollars. Billings will be made
> annually in January for the following 12 months of support. The
> payments are due within 30 days of invoice.

  ---------------- ---------------- ---------------- --------------------
  Number of                                          

  Contract                                           Total

  Support                                            Support

  Year(s)          Start            End              Investment

  1                Jan-00           Jan-01           

  2                Jan-00           Jan-02           

  3                Jan-00           Jan-03           

  4                Jan-00           Jan-04           

  5                Jan-00           Jan-05           
  ---------------- ---------------- ---------------- --------------------

Executed By ACME

Authorized

Signature: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Executed By AGENCY

Authorized

Signature:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Title:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

The following is a second sample format covering ITS devices:

# EQUIPMENT WARRANTY, SOFTWARE REGISTRATION, AND SERVICE MAINTENANCE CONTRACT {#equipment-warranty-software-registration-and-service-maintenance-contract .unnumbered}

## Equipment Warranty {#equipment-warranty .unnumbered}

Until final acceptance, the Contractor shall be responsible for the
function and operation of each component of the system control
equipment. The Contractor's responsibility includes, but is not limited
to, all pickup and delivery of defective, repaired or replacement
components.

Each component of the system control equipment that is a vendor-supplied
component and is covered wholly or partially by a manufacturer's
warranty shall include the provision that they are subject to transfer
to the maintaining Agency as named by the Department prior to final
acceptance of the Contract. The Contractor is responsible for ensuring
that the vendor or manufacturer supplying the component and providing
the equipment warranty recognizes the Department's designee as the
original purchaser and owner of the equipment.

## Commercial Software Registration {#commercial-software-registration .unnumbered}

All Commercially available software installed on the system control
equipment shall be purchased new specifically for use by the Department
as part of the ATMS and shall be registered to the Department, Charlotte
County and the City of Punta Gorda as the end-users of that software.

## Traffic Control System Software Registration {#traffic-control-system-software-registration .unnumbered}

The Contractor shall grant in writing to the Department and its
authorized representative non-exclusive, non-transferable, perpetual
irrevocable registration on the traffic control system software. The
registration shall give the Department the right to copy and use the
traffic control system software at any site established by the
Department or its authorized representatives, for the sole purpose of
traffic signal system control in the City of Punta Gorda or in Charlotte
County. The Department shall have the right to expand the number of
traffic signals included in the Charlotte County ATMS to the full
capacity of the Contractor-provided system software.

The Department agrees that the traffic control system software is
proprietary information and will not sell, transfer or otherwise make
available the software to other entities for any purpose other than for
traffic *signal* system control in Charlotte County.

## Service Maintenance Contract {#service-maintenance-contract .unnumbered}

The Contractor shall provide a service maintenance contract that
completely covers each component of each item in Sections \<name
sections here\> of this Technical Special Provision, excluding the
traffic control system software. The Contractor is responsible for
ensuring that the supplier of the service maintenance contract
recognizes the Department's designee as the original purchaser and owner
of the component as new. The Contractor shall submit to the Engineer for
approval copies of the proposed service maintenance contract prior to
the commencement of system control equipment testing. The service
maintenance contract shall be provided by the Contractor for a period of
one calendar year to begin not more than 15 calendar days prior to final
acceptance of the project by the Department.

The service maintenance contract shall cover all parts, labor and other
costs associated with the diagnosis, adjustment, removal,
transportation, repair and reinstallation of any component of any item
of the system control equipment. The service maintenance contract shall
provide for complete on-site service with a maximum on-site response
time of one working day after request for service. The service
maintenance contract shall include temporary replacement of components
for those defective major components as necessary for proper operation
of the traffic signal control system. Major components shall include but
are not limited to microcomputer assemblies and line printer.
Installation and removal of temporary replacement components shall be
included in the service maintenance contract. All software, firmware and
hardware configuration and transfer necessary for the fulfillment of any
covered service shall be included in the service maintenance contract.
The service maintenance contract shall include periodic preventive
services as appropriate.

Payment to the Contractor for the service maintenance contract shall be
included in the unit bid price for the units covered by the service
maintenance contract and no additional compensation will be provided by
the Department.

#  {#section-7 .unnumbered}