TRAFFIC CONTROL SYSTEMS HANDBOOK 

Prepared for 

FEDERAL HIGHWAY ADMINISTRATION 

By 

DUNN ENGINEERING ASOCIATES 

In association with 

Siemens Intelligent Transportation Systems 

OCTOBER 2005 
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. 

This report does not constitute a standard, specification, or regulation. 

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. 
Technical Report Documentation Page 

1. Report No. 

FHWA-HOP-06-006 

2. Government Accession 

No 

3. Recipient’s Catalog No 

4. Title and Subtitle 

Traffic Control Systems Handbook 

5. Report Date 

October 2005 

6. Performing Organization Code 

7. Authors 

Robert L. Gordon, P.E., Warren Tighe, P.E. 

8. Performing Organization Report 

No. 

9. Performing Organization Name and Address 

Dunn Engineering Associates, P.C. 

66 Main Street 

Westhampton Beach, NY 11978 

10. Work Unit No. (TRAIS) 

11. Contract or Grant No. 

12. Sponsoring Agency Name and Address 

Office of Transportation Management 

Federal Highway Administration 

1200 New Jersey Ave, SE 

Washington, DC 20590

13. Type of Report and Period 

Covered 

14. Sponsoring Agency Code 

15. Supplementary Notes 

FHWA Contracting Officer Technical Representative (COTR): David Gibson, Office of Operations R&D (HRDO4) 

16. Abstract 

The Traffic Control Systems Handbook updates the 1996 edition (FHWA-SA-96-032). It serves as a basic 

reference in planning, designing and implementing traffic control systems. 

Specific chapters include introduction, summary of available and emerging traffic control system technology, 

control concepts for urban and suburban streets (traffic control parameters, descriptions of traffic control 

concepts and their application), a brief summary of control and management concepts for freeways, traffic 

detectors, local controller operation, traffic control system architectures, a brief summary of traffic control system 

communications, traveler information systems, the processes required for selection of a system, design and 

implementation, and systems management. The Handbook concludes with a discussion of ITS plans and 

programs. 

The Traffic Control Systems Handbook references other FHWA handbooks for more detailed information on 

freeway management, communications, and traffic detectors. 

17. Key Words 

Traffic control systems, traffic signal controllers, 

intelligent transportation systems, traveler 

information systems 

18. Distribution Statement 

No restrictions. 

19. Security Classification (of this 

report) 

Unclassified 

20. Security Classification (of this 

page) 

Unclassified 

21.No. of Pages 

367 

22.Price 

Form DOT F 1700.7 (8-72) Reproduction of completed page authorized.
Table of Contents 

Chapter 1 

Introduction 

Section .................................................................................................................................................... Page 

1.1 Scope and Objectives .................................................................................................................. 1-2 

1.2 Summary of Handbook Contents .............................................................................................. 1-3 

1.3 Role and Impact of Traffic Control Systems ............................................................................ 1-6 

1.4 Travel Demand Management (TDM)........................................................................................ 1-6 

1.5 System Evolution......................................................................................................................... 1-7 

1.6 Present Status-Traffic Surveillance and Control ................................................................... 1-10 

1.7 National ITS Architecture........................................................................................................ 1-11 

Logical Architecture.................................................................................................................... 1-14 

Market Packages ......................................................................................................................... 1-14 

ITS Standards.............................................................................................................................. 1-17 

1.8 Relationship to Other FHWA Handbooks.............................................................................. 1-17 

References ...................................................................................................................................... 1-20 

Chapter 2 

Available and Emerging Traffic Control System Technology 

2.1 Introduction................................................................................................................................. 2-2 

2.2 Control and Management Functions......................................................................................... 2-3 

2.3 Integrated Transportation Management Systems.................................................................... 2-4 

Information Sharing Among Agencies and Management Centers................................................ 2-4 

Coordination of Operations Among Agencies .............................................................................. 2-4 

2.4 Range of Agency Needs and Range of Available Options........................................................ 2-5 

Transportation Systems Management (TSM) Relationship .......................................................... 2-7 

Control System Options ................................................................................................................ 2-9 

Criteria for Selection..................................................................................................................... 2-9 

2.5 Available Technology................................................................................................................ 2-11 

Hardware..................................................................................................................................... 2-11 

Software ...................................................................................................................................... 2-12 

2.6 A Look to the Future................................................................................................................. 2-12 

Hardware in the Loop.................................................................................................................. 2-12 

Non-Pavement Invasive Traffic Detectors .................................................................................. 2-13 

Support of Emergencies and Evacuations ................................................................................... 2-14 

Advanced Transportation Controller........................................................................................... 2-14 

Advanced Signal State Transition Logic..................................................................................... 2-14

i 
Table of Contents 

Chapter 2 (Continued) 

Section .................................................................................................................................................... Page 

Improved Transit Priority Systems.............................................................................................. 2-14

References ................................................................................................................................................ 2-15 

Chapter 3 

Control Concepts – Urban and Suburban Streets 

3.1 Introduction................................................................................................................................. 3-3 

3.2 Control Variables........................................................................................................................ 3-4 

3.3 Sampling ...................................................................................................................................... 3-9 

3.4 Filtering and Smoothing ............................................................................................................. 3-9 

3.5 Traffic Signal Timing Parameters ........................................................................................... 3-15 

3.6 Traffic Signal Phasing............................................................................................................... 3-15 

Phasing Options .......................................................................................................................... 3-16 

 Left-Turn Phasing......................................................................................................... 3-16

 Phase Sequencing ......................................................................................................... 3-18 

3.7 Isolated Intersections ................................................................................................................ 3-18 

Traffic Flow ................................................................................................................................ 3-20 

Types of Control ......................................................................................................................... 3-21 

Intersection Timing Requirements .............................................................................................. 3-21 

 Pretimed Controller....................................................................................................... 3-21

 Traffic-Actuated Control .............................................................................................. 3-21 

Timing Considerations................................................................................................................ 3-28 

 Cycle Length and Split Settings.................................................................................... 3-28 

 Intersection Delay ......................................................................................................... 3-31 

 Critical Lane Groups..................................................................................................... 3-32 

 Traffic Actuated Control............................................................................................... 3-33 

 Other Considerations .................................................................................................... 3-33 

3.8 Arterial and Network Control ................................................................................................. 3-34 

Basic Considerations................................................................................................................... 3-34 

 Information from Prior Research and Experience......................................................... 3-38 

 Simulation..................................................................................................................... 3-39 

Time-Space Diagram .................................................................................................................. 3-40 

Timing Plan Elements ................................................................................................................. 3-40 

Traffic Flow Variations............................................................................................................... 3-40 

Timing Plan Development .......................................................................................................... 3-43 

 Manual Techniques....................................................................................................... 3-43 

 Offline Computer Techniques....................................................................................... 3-45 

 Considerations for Closed Networks ............................................................................ 3-47 

 Need for Signal Retiming ............................................................................................. 3-47 

Determination of Central System Control Category ................................................................... 3-49 

Online Network Traffic Control Techniques .............................................................................. 3-53 

ii
Table of Contents 

Chapter 3 (Continued) 

Section .................................................................................................................................................... Page 

 UTCS Control............................................................................................................... 3-54 

 Control Algorithms for Closed Loop Systems.............................................................. 3-56 

 Traffic Responsive Control Systems............................................................................. 3-56 

 Traffic Adaptive Control Systems ................................................................................ 3-62 

Saturated Flow Conditions.......................................................................................................... 3-65 

 Regulatory Approaches................................................................................................. 3-69 

 Congestion Pricing Approaches.................................................................................... 3-69 

Network Simulation .................................................................................................................... 3-69 

 CORSIM....................................................................................................................... 3-71 

 SimTraffic..................................................................................................................... 3-72 

 Paramics........................................................................................................................ 3-72 

 VISSIM......................................................................................................................... 3-73 

3.9 Special Controls......................................................................................................................... 3-74 

Closely Spaced Intersections....................................................................................................... 3-74 

Directional Controls and Lane Control Signals........................................................................... 3-79 

Preemption Systems .................................................................................................................... 3-81 

Priority Systems .......................................................................................................................... 3-83 

Changeable Lane Assignment Systems (CLAS)......................................................................... 3-85 

3.10 Benefits....................................................................................................................................... 3-85 

Fuel Consumption ....................................................................................................................... 3-85 

Vehicle Emissions....................................................................................................................... 3-86 

Estimating Highway User Costs ................................................................................................. 3-87 

Impacts of Traffic Signal System Improvement ......................................................................... 3-93 

 Project Level Impacts ................................................................................................... 3-93 

 Network Impacts........................................................................................................... 3-94

Cost-Effectiveness Comparisons................................................................................................. 3-96 

3.11 Measures of Effectiveness......................................................................................................... 3-97 

References .............................................................................................................................................. 3-105 

Chapter 4 

Control and Management Concepts for Freeways 

4.1 Introduction................................................................................................................................. 4-2

4.2 Congestion.................................................................................................................................... 4-3

4.3 Forms of Freeway Management ................................................................................................ 4-5

4.4 Relationship between Freeways and Surface Streets ............................................................... 4-8

References .................................................................................................................................................. 4-9

iii
Table of Contents 

Chapter 5 

Control and Management Concepts – Integrated Systems 

Section .................................................................................................................................................... Page 

5.1 Introduction................................................................................................................................. 5-2

5.2 Traffic Management on Surface Streets.................................................................................... 5-3

Monitoring Traffic Conditions and Adjusting Signal Timing....................................................... 5-3

Detecting Incidents and Advising Motorists ................................................................................. 5-4

Advising Motorists of Traffic Problems in the Area..................................................................... 5-4

Monitoring Traffic Conditions Resulting from Special Events and Advising Motorists .............. 5-4

Assisting with Parking Information .............................................................................................. 5-5

5.3 Use of Transit Vehicles on Surface Streets as Probes for Traffic Incident Detection ........... 5-5

5.4 Bus Rapid Transit Corridors ..................................................................................................... 5-5

References .................................................................................................................................................. 5-7

Chapter 6 

Detectors 

6.1 Introduction................................................................................................................................. 6-2

6.2 Detector Operations Summary .................................................................................................. 6-4

Detector-Controller Relationship .................................................................................................. 6-4

 Low-Speed Approaches.................................................................................................. 6-8 

 High-Speed Approaches ................................................................................................. 6-9 

6.3 Vehicle Detector Location and Configuration........................................................................ 6-14 

Isolated Actuated Intersection Control........................................................................................ 6-14 

 Small-Area Detectors.................................................................................................... 6-14 

 Large-Area Detectors.................................................................................................... 6-14 

 Left-Turn Lanes ............................................................................................................ 6-18 

Control of Arterial and Network Intersections............................................................................ 6-20 

Detector Locations for Conventional Traffic Systems................................................................ 6-21 

 Link Selection............................................................................................................... 6-21 

 Longitudinal Placement ................................................................................................ 6-21 

 Lateral Detector Placement........................................................................................... 6-22 

 General Guidelines for Spotting Detectors ................................................................... 6-22 

References ................................................................................................................................................ 6-24

iv
Table of Contents 

Chapter 7 

Local Controllers 

Section .................................................................................................................................................... Page 

7.1 Introduction................................................................................................................................. 7-2

7.2 Types of Operation...................................................................................................................... 7-4

7.3 Range of Applications................................................................................................................. 7-5

Types of Signal Operation............................................................................................................. 7-5

Protected, Protected / Permissive, and Permissive Operation ....................................................... 7-7

Special Controls ............................................................................................................................ 7-7

7.4 Controller Evolution ................................................................................................................... 7-8

7.5 Controller Characteristics.......................................................................................................... 7-9

Signal Timing and Coordination ................................................................................................... 7-9

Interval Control versus Phase Control........................................................................................... 7-9

Controller and Cabinet Components ........................................................................................... 7-12

Pattern Selection.......................................................................................................................... 7-13

 Internal time-of-day schedule ....................................................................................... 7-13 

 Hardwire interconnect................................................................................................... 7-13 

 External command ........................................................................................................ 7-13 

Synchronization for Coordination............................................................................................... 7-14 

 Manual .......................................................................................................................... 7-14 

 Hardwire pulse.............................................................................................................. 7-14 

 External command ........................................................................................................ 7-14 

 Third-party time source................................................................................................. 7-15 

Actuated Controller Operation .................................................................................................... 7-15

Phasing Other Than Eight-Phase Dual-Ring............................................................................... 7-20

Diamond Interchange Operation ................................................................................................. 7-25

Single Point Freeway Interchange Operation.............................................................................. 7-31

System Capabilities..................................................................................................................... 7-34

7.6 NEMA, Advanced Transportation Controller, and Model 170 Standards .......................... 7-34

Controller Selection and Migration............................................................................................. 7-39

References ................................................................................................................................................ 7-42

Chapter 8 

System Control

8.1 Introduction................................................................................................................................. 8-2

8.2 Architectures for Conventionally Coordinated Traffic Control Systems. ............................. 8-2

Three Distributed Computation Level Architecture...................................................................... 8-2

Two Distributed Computation Level Architecture........................................................................ 8-5

Central Control Architecture......................................................................................................... 8-5

8.3 Traffic Response and Traffic Adaptive Systems ...................................................................... 8-8

v 
Table of Contents 

Chapter 8 (Continued) 

Section .................................................................................................................................................... Page 

8.4 Time Base Coordination ........................................................................................................... 8-10

8.5 Traffic Management Centers ................................................................................................... 8-11

Functions of Surface Street TMCs .............................................................................................. 8-11

Traffic Signal Timing.................................................................................................................. 8-11

Size and Staffing Requirements of TMCs................................................................................... 8-12

Coordination between Traffic Systems and Traffic Agencies..................................................... 8-14

References ................................................................................................................................................ 8-15

Chapter 9 

Communications 

9.1 Introduction................................................................................................................................. 9-2

9.2 Functions of a Communication System ..................................................................................... 9-3

9.3 Alternative Communication Technologies................................................................................ 9-3

9.4 NTCIP .......................................................................................................................................... 9-5

References .................................................................................................................................................. 9-6

Chapter 10 

Traveler Information Systems

10.1 Introduction............................................................................................................................... 10-2

10.2 Static Signs................................................................................................................................. 10-2

10.3 Advanced Methods of Information Dissemination................................................................. 10-7

10.4 Advantages and Disadvantages of Various Methods of Information Dissemination ........ 10-10

Uses of Traveler Information Devices on Surface Streets ........................................................ 10-10

References .............................................................................................................................................. 10-15

vi 
Table of Contents 

Chapter 11 

Selection of a System 

Section .................................................................................................................................................... Page 

11.1 Introduction............................................................................................................................... 11-2

11.2 Federal-Aid Requirements ....................................................................................................... 11-3

11.3 Systems Engineering and System Selection Process............................................................... 11-3

Concept of Operations................................................................................................................. 11-5

Requirements .............................................................................................................................. 11-7

References ................................................................................................................................................ 11-8

Chapter 12 

Design and Implementation

12.1 Introduction............................................................................................................................... 12-3 

12.2 System Implementation ............................................................................................................ 12-3 

System Design............................................................................................................................. 12-3 

 High Level Design ........................................................................................................ 12-4 

 Detailed Design............................................................................................................. 12-5 

12.3 Procurement Approach ............................................................................................................ 12-6 

Engineer (Consultant) / Contractor Approach............................................................................. 12-6 

Systems Manager Approach........................................................................................................ 12-7 

Design / Build Approach............................................................................................................. 12-8 

12.4 Design Plans and Specifications ............................................................................................... 12-9 

Design Plans................................................................................................................................ 12-9 

Specifications............................................................................................................................ 12-10 

 Sources of Specifications............................................................................................ 12-11 

 Closed versus Open Specifications............................................................................. 12-11 

 Standard Specifications............................................................................................... 12-12 

Contract Documents.................................................................................................................. 12-12 

 Invitation to Bid.......................................................................................................... 12-13 

 Instructions to Bidders ................................................................................................ 12-13 

 Bid Proposal................................................................................................................ 12-13 

 Bonds .......................................................................................................................... 12-13 

 Agreement................................................................................................................... 12-14 

 Conditions................................................................................................................... 12-14 

 Contractor Qualifications............................................................................................ 12-14 

 Pre-Bid Conference..................................................................................................... 12-15 

 Precedence .................................................................................................................. 12-15 

Technical Specifications ........................................................................................................... 12-16 

 Definition of Terms .................................................................................................... 12-16 

 Installation of Traffic Signals ..................................................................................... 12-16 

 Specifications for Materials and Equipment ............................................................... 12-17 

Software, Database, Performance and System Test .................................................................. 12-17 

vii
Table of Contents 

Chapter 12 (Continued) 

Section .................................................................................................................................................... Page 

12.5 Deliverable Services ................................................................................................................ 12-21 

Systems Management................................................................................................................ 12-21 

Documentation .......................................................................................................................... 12-22 

Training..................................................................................................................................... 12-24 

Startup Assistance ..................................................................................................................... 12-26 

Warranties / Guarantees ............................................................................................................ 12-27 

Maintenance.............................................................................................................................. 12-27 

System Acceptance Tests.......................................................................................................... 12-28 

12.6 Project Management............................................................................................................... 12-31 

Contract Administration............................................................................................................ 12-31 

Scheduling................................................................................................................................. 12-33 

 Critical Path Method (CPM)....................................................................................... 12-33 

 Bar Charts ................................................................................................................... 12-34 

 Gantt Charts ................................................................................................................ 12-35 

12.7 Implementation Pitfalls .......................................................................................................... 12-35 

Inexperienced Contractors......................................................................................................... 12-35 

Construction Management ........................................................................................................ 12-38 

Maintenance and Protection of Traffic (MPT) During Construction ........................................ 12-39 

Database Development.............................................................................................................. 12-39 

Insufficient Staff for Operations and Maintenance ................................................................... 12-40 

Utility Coordination .................................................................................................................. 12-40 

Planned Use of Untested Facilities or Techniques .................................................................... 12-40 

Alienation of Maintenance Staff ............................................................................................... 12-41 

Privatization of Operations and Maintenance ........................................................................... 12-41 

References .............................................................................................................................................. 12-42 

Chapter 13 

Systems Management

13.1 Introduction............................................................................................................................... 13-2 

13.2 An Integrated System Management Concept ......................................................................... 13-3 

13.3 Operations.................................................................................................................................. 13-6 

Practical Aspects ......................................................................................................................... 13-6 

 Control and Supervisory Periods .................................................................................. 13-7 

Typical Work Tasks .................................................................................................................... 13-7 

 Specific Operational Tasks for Intersection Control Systems....................................... 13-9 

13.4 Maintenance ............................................................................................................................ 13-17 

Types of Maintenance............................................................................................................... 13-18 

 Functional ................................................................................................................... 13-18 

 Hardware..................................................................................................................... 13-19 

 Software...................................................................................................................... 13-20 

Results of Inadequate Maintenance........................................................................................... 13-21 

viii
Table of Contents 

ix

Chapter 13 (Continued) 

Section .................................................................................................................................................... Page 

Staff Requirements.................................................................................................................... 13-21 

13.5 Evaluation................................................................................................................................ 13-22 

Techniques ................................................................................................................................ 13-23 

 Before and After Measurements ................................................................................. 13-23 

 Sampling Considerations ............................................................................................ 13-25 

References .............................................................................................................................................. 13-26 

Chapter 14 

ITS Plans and Programs

14.1 Introduction............................................................................................................................... 14-2

14.2 ITS Program Planning in the United States............................................................................ 14-3

14.3 The ITS Planning Process......................................................................................................... 14-4

National....................................................................................................................................... 14-4 

Regional / Statewide ................................................................................................................... 14-5 

 Agency ........................................................................................................................................ 14-6 

References ................................................................................................................................................ 14-8
List of Figures 

Figure No................................................................................................................................................. Page 

1-1 Rochester N.Y. Regional Traffic Operations Center..................................................................... 1-2

1-2 Interconnected traffic control system chronology....................................................................... 1-10

1-3 Overview of physical entities...................................................................................................... 1-14

2-1 Traffic signal................................................................................................................................. 2-2

2-2 Hardware in the loop configuration............................................................................................. 2-13

3-1 Time-space diagram display from Synchro 4................................................................................ 3-3

3-2 Speed measurements using presence detectors. ............................................................................ 3-8

3-3 Headway determination................................................................................................................. 3-8

3-4 Deterministic and random components when demand is constant.............................................. 3-11

3-5 Deterministic component of volume during a.m. peak period. ................................................... 3-12

3-6 Effect of variation in smoothing coefficient on random component........................................... 3-13

3-7 Filter response and output to deterministic component and error. .............................................. 3-14

3-8 Two-phase signal sequence......................................................................................................... 3-16

3-9 Four-phase signal sequence......................................................................................................... 3-16

3-10 Dual-ring left-turn phasing options. ............................................................................................ 3-17

3-11 Primary phasing options for 8-phase dual-ring control (left-turn first)....................................... 3-19

3-12 Recommended selection guidelines. ........................................................................................... 3-22

3-13 Traffic detection on intersection approach.................................................................................. 3-24

3-14 Example of actuated phase intervals. .......................................................................................... 3-25

3-15 Fundamental Attributes of Flow at Signalized Intersections....................................................... 3-29

3-16 Symbols, definitions, and units for fundamental variables of traffic flow at signalized 

 intersections. ............................................................................................................................... 3-30

3-17 Cycle length vs. demand for two phase signal. ........................................................................... 3-32

3-18 Signal networks........................................................................................................................... 3-35

3-19 Simple case of platoon dispersion............................................................................................... 3-36

3-20 Benefits of signal coordination. .................................................................................................. 3-38

3-21 Time-space diagram and graphic technique................................................................................ 3-41

3-22 Typical time-space diagram. ....................................................................................................... 3-42

3-23 Closed network node definitions................................................................................................. 3-48

3-24 Principles of the SCOOT traffic model....................................................................................... 3-58

3-25 The RHODES hierarchical architecture...................................................................................... 3-63

3-26 Implementation of the rolling horizon approach in OPAC ......................................................... 3-64

3-27 Reverse progression signal offset................................................................................................ 3-67

3-28 External metering........................................................................................................................ 3-68

3-29 Relationship between mean journey speed and number of vehicles on town centre network..... 3-70

3-30 Relationship between mean journey speed of vehicles and total vehicle mileage on network.... 3-71

3-31 Example of one controller for two adjacent intersections. .......................................................... 3-76

3-32 Examples of one controller for a diamond interchange............................................................... 3-77

3-33 Bus priority provision zone......................................................................................................... 3-85

3-34 Fuel economy as a function of vehicle speed.............................................................................. 3-86

3-35 Time-space diagram for stop and delay computations for urban street control......................... 3-103

3-36 Throughput and component MOEs. .......................................................................................... 3-103 

4-1 INFORM (Long Island, NY) control center.................................................................................. 4-2

4-2 Generalized relationships among speed, density, and flow rate on uninterrupted-flow 

 facilities......................................................................................................................................... 4-4

4-3 Freeway management categories................................................................................................... 4-6

4-4 CMS on a freeway......................................................................................................................... 4-8

5-1 Diversion advisory message in the INFORM (Long Island, NY) corridor. .................................. 5-2 

x 
List of Figures 

Figure No................................................................................................................................................. Page 

6-1 Radar detector. .............................................................................................................................. 6-2

6-2 Inductive loop detector length for loop occupancy control........................................................... 6-9

6-3 Dilemma zone for vehicle approaching an intersection at 40 mi/h (64 km/h)............................. 6-10

6-4 Loop location for extended call-delay design with 55 mi/hr (88.6 km/hr) approach design 

 speed. .......................................................................................................................................... 6-11

6-5 Two methods of multiple point detection systems for approach speeds up to 55 mi/hr 

 (88.6 km/hr) ................................................................................................................................ 6-15

6-6 Contrast between small-area and large-area detection. ............................................................... 6-16

6-7 Typical detector designs.............................................................................................................. 6-17

6-8 Left-turn detection inductive loop configuration used by Illinois. .............................................. 6-19

6-9 Extended detection on left-turn lanes.......................................................................................... 6-20

7-1 Model 2070 Controller in ATC cabinet ........................................................................................ 7-2

7-2 Three-phase controller phase sequence for single-ring controller............................................... 7-11

7-3 Phase sequence for dual-ring controller. ..................................................................................... 7-11

7-4 Dual-ring basic phase sequence options...................................................................................... 7-19

7-5 Example of special phase sequence for conditional service of left-turn phase............................ 7-24

7-6 Diamond interchange phasing (3-phase)..................................................................................... 7-27

7-7 Diamond interchange phasing (3- and 4-phase).......................................................................... 7-28

7-8 Typical detector configuration for 3-phase, lag-lag, and 4-phase (with overlap) special 

 sequences. ................................................................................................................................... 7-29

7-9 Computer controlled diamond interchange operation. ................................................................ 7-30

7-10 Single point urban interchange (SPUI). ...................................................................................... 7-32

7-11 Typical SPUI 3-phase sequence.................................................................................................. 7-33

8-1 Traffic management center (TMC). .............................................................................................. 8-2

8-2 Typical architecture for three computation level distributed (closed loop) system....................... 8-4

8-3 Typical arrangement for central control architecture. ................................................................... 8-6

9-1 Installing communications cable................................................................................................... 9-2

10-1 Traveler information kiosk.......................................................................................................... 10-2

10-2 Active sign. ................................................................................................................................. 10-5

10-3 Static sign hybrid......................................................................................................................... 10-5

10-4 LED illuminated static yield sign................................................................................................ 10-7

10-5 Illuminated fluorescent sign........................................................................................................ 10-7

10-6 CMS on surface street. ................................................................................................................ 10-8

11-1 Selection of a system................................................................................................................... 11-2

11-2 “V” representation of the systems engineering life cycle............................................................ 11-4

11-3 Relationship of system engineering practices identified in Part 940 to the system engineering 

 life cycle...................................................................................................................................... 11-5

11-4 Developing the concept of operations......................................................................................... 11-6

12-1 CADD workstation and operator................................................................................................. 12-3

12-2 Sample specification—system acceptance................................................................................ 12-30

12-3 Example of CPM network diagram........................................................................................... 12-34

12-4 Greensboro, NC traffic control project milestone schedule. ..................................................... 12-36

13-1 Traffic signal maintenance.......................................................................................................... 13-2

13-2 System management team concept.............................................................................................. 13-5

13-3 Typical daily control and operations architecture. .................................................................... 13-10

13-4 Typical aggregate MOE contour timing plan graphic............................................................... 13-12

xi 
List of Figures 

Figure No................................................................................................................................................. Page 

xii

13-5 Typical flow chart for system modification and update for non-adaptive traffic control 

 systems...................................................................................................................................... 13-14 

14-1 The ITS Program Structure ......................................................................................................... 14-2 
List of Tables 

Table No .................................................................................................................................................. Page 

1-1 User service bundles and user services. ...................................................................................... 1-12

1-2 Market packages.......................................................................................................................... 1-15

1-3 Relationship to other FHWA handbooks. ................................................................................... 1-19

2-1 Typical system functions............................................................................................................... 2-6

2-2 Signal system options.................................................................................................................. 2-10

3-1 Control variable definitions........................................................................................................... 3-5

3-2 Traffic data components................................................................................................................ 3-9

3-3 Signal timing variable definitions. .............................................................................................. 3-15

3-4 Additional left-turn phasing options............................................................................................ 3-18

3-5 Vehicle headway data. ................................................................................................................ 3-20

3-6 Proposed signal control at specific intersections along arterials. ................................................ 3-23

3-7 Proposed signal control at specific intersections in grid systems................................................ 3-23

3-8 Interval settings. .......................................................................................................................... 3-26

3-9 TRANSYT analytical model....................................................................................................... 3-37

3-10 Recommended values of platoon dispersion factor (PDF).......................................................... 3-37

3-11 Directional flow conditions......................................................................................................... 3-43

3-12 Manual timing plan development................................................................................................ 3-44

3-13 Performance categories for traffic control systems ..................................................................... 3-50

3-14 Characteristics of traffic signal system performance categories. ................................................ 3-52

3-15 UTCS first generation traffic-responsive control algorithm........................................................ 3-55

3-16 SCOOT optimization process...................................................................................................... 3-57

3-17 Enhanced SCOOT features. ........................................................................................................ 3-59

3-18 SCATS control levels.................................................................................................................. 3-60

3-19 Definitions of lane control signal displays. ................................................................................. 3-80

3-20 Transportation related SIP requirements for carbon monoxide nonattainment areas 

 by classification........................................................................................................................... 3-87

3-21 Passenger car operating costs, United States, 2003..................................................................... 3-88

3-22 Motor vehicle traffic fatalities and injuries - 1997................................................................. 3-89

3-23 Motor vehicle traffic fatalities and injuries by highway types - 1997.................................. 3-91

3-24 Costs per accident, 2002.............................................................................................................. 3-93

3-25 Benefits of signal system improvement. ..................................................................................... 3-93

3-26 Annual benefits from optimization on arterial. ........................................................................... 3-94

3-27 Texas TLS program annual benefits and costs............................................................................ 3-94

3-28 Annual benefits from optimization on network........................................................................... 3-95

3-29 Seattle MMDI evaluation: system efficiency impacts................................................................. 3-95

3-30 Seattle MMDI evaluation: energy and emissions iImpacts. ........................................................ 3-95

3-31 Measures of effectiveness (MOE)............................................................................................... 3-98

6-1 Strengths and weaknesses of commercially available sensor technologies................................... 6-5

6-2 Traffic output data (typical), communications bandwidth, and cost of commercially available 

sensors........................................................................................................................................... 6-7

6-3 Detector location and timing parameters....................................................................................... 6-8

6-4 Dilemma zone boundaries........................................................................................................... 6-10

6-5 Conventional detector-controller unit configurations for high-speed approaches....................... 6-12

7-1 Definition of controller terms........................................................................................................ 7-3

7-2 Traffic signal controller functions................................................................................................. 7-3

7-3 Isolated versus coordinated signal modes. .................................................................................... 7-4

7-4 Types of signal operation. ............................................................................................................. 7-5

7-5 Application of signal control types. .............................................................................................. 7-6

7-6 Actuated controller definitions.................................................................................................... 7-16

xiii
List of Tables 

Table No .................................................................................................................................................. Page 

xiv

7-7 Actuated controller basic timing parameters............................................................................... 7-17

7-8 Phase sequence options. .............................................................................................................. 7-18

7-9 Inputs per phase........................................................................................................................... 7-21

7-10 Inputs per ring. ............................................................................................................................ 7-22

7-11 Inputs per controller unit............................................................................................................. 7-23

7-12 Special phase sequencing............................................................................................................ 7-26

8-1 Performance levels for traffic signal systems................................................................................ 8-3

8-2 Coordination commands. .............................................................................................................. 8-7

8-3 Representative results of adaptive system performance testing .................................................... 8-9

8-4 Advantages and disadvantages of adaptive traffic control systems............................................... 8-9

8-5 Comparison of various traffic signal system TMCs in the US.................................................... 8-13

9-1 Communications technology subclassifications............................................................................ 9-4

10-1 Static sign use.............................................................................................................................. 10-4

10-2 Applications of CMS on surface streets. ..................................................................................... 10-8

10-3 Advantages and disadvantages of methods of information dissemination................................ 10-11

12-1 Types of design plans................................................................................................................ 12-10

12-2 Items in traffic signal installation specification......................................................................... 12-17

12-3 Guidelines for representative sections of specifications............................................................ 12-18

12-4 Representative system software elements. ................................................................................ 12-20

12-5 Typical hardware documentation requirements. ....................................................................... 12-23

13-1 Suggested routine operations tasks.............................................................................................. 13-8

13-2 MOE formats............................................................................................................................. 13-12

13-3 Basic staffing skills. .................................................................................................................. 13-16

13-4 Staffing factors.......................................................................................................................... 13-17
CHAPTER 1 

INTRODUCTION 

Table of Contents

Section .................................................................................................................................................... Page 

1.1 Scope and Objectives .................................................................................................................. 1-2

1.2 Summary of Handbook Contents .............................................................................................. 1-3

1.3 Role and Impact of Traffic Control Systems ............................................................................ 1-6

1.4 Travel Demand Management (TDM)........................................................................................ 1-6

1.5 System Evolution......................................................................................................................... 1-7

1.6 Present Status-Traffic Surveillance and Control ................................................................... 1-10

1.7 National ITS Architecture........................................................................................................ 1-11

Logical Architecture.................................................................................................................... 1-14

Market Packages ......................................................................................................................... 1-14

ITS Standards.............................................................................................................................. 1-17

1.8 Relationship to Other FHWA Handbooks.............................................................................. 1-17

References ................................................................................................................................................ 1-20

1-1
CHAPTER 1 

INTRODUCTION

1.1 Scope and Objectives 

Figure 1-1 Rochester N.Y. Regional Traffic Operations Center. 

In 1985, the Federal Highway Administration published the second edition of the Traffic 

Control Systems Handbook to present basic technology used in planning, designing, and 

implementing traffic monitoring and control systems for urban street and freeway 

applications. That publication presented a compendium of applicable technology, 

concepts, and practices in the traffic control field. It proved useful in: 

• Fostering understanding and acceptance of such systems, and 

• Implementing proven advances in traffic monitoring and control. 

This handbook was updated in 1996. In addition to describing signal system 

improvements since 1985, the 1996 edition provided considerable information on 

freeway management techniques and equipment. 

The current edition updates signal system technology and broadens it into other methods 

for achieving surface street traffic management. Much of the freeway related material 

has been removed or abridged as the material is currently covered in the newly revised 

Freeway Management and Operations Handbook (FMOH) (1). 

This updated version of the Traffic Control Systems Handbook maintains the following 

major objectives: 

1-2
• Provide a compendium of existing traffic control system technology, 

• Aid understanding of the basic elements of traffic control systems, 

• Broaden the viewpoint of the traffic management field, 

• Serve as a basic reference for the practicing traffic engineer in planning, 

designing, and implementing new and effective traffic control systems, and 

• Serve as a training aid in the field of traffic control systems. 

The Handbook targets a wide range of potential users – administrators, roadway 

designers, and traffic operations engineers, both experienced and newly assigned. 

1.2 Summary of Handbook Contents 

This section summarizes the contents of each Handbook chapter. 

CHAPTER 2 - AVAILABLE AND EMERGING TRAFFIC CONTROL SYSTEM 

TECHNOLOGY 

This chapter presents an overview of control and management functions. It discusses the 

issues involving inter-agency coordination and identifies potential needs and issues in 

selecting a traffic system. The chapter also introduces a classification system for traffic 

signal system categories and discusses likely future developments. 

CHAPTER 3 – CONTROL CONCEPTS – URBAN AND SUBURBAN STREETS 

This chapter addresses the following topics: 

• Basic variables associated with surface street traffic flow and their properties. 

• Capacity, cycle length and split. 

• Signal phasing. 

• Need for signal coordination and off line signal timing software. 

• Categories of coordinated control. 

• Signal timing strategies and guidance for applying strategies. 

• Special control situations. 

• Benefits and measures of effectiveness. 

1-3
CHAPTER 4 – CONTROL AND MANAGEMENT CONCEPTS FOR FREEWAYS 

This chapter provides a brief summary of the nature of freeway congestion, the types of 

freeway management and the relationship to surface streets. The newly revised Freeway 

Management and Operations Handbook (1) should be consulted as the primary reference 

on freeway control. 

CHAPTER 5 – CONTROL AND MANAGEMENT CONCEPTS – INTEGRATED 

SYSTEMS 

This chapter covers the non-traditional surface street control functions that are currently 

becoming more widely implemented. 

CHAPTER 6 – DETECTORS 

This chapter summarizes detector technology that is applicable to signal systems as well 

as installation requirements. The newly revised Traffic Detector Handbook (2) is the 

primary source of information on this subject. 

CHAPTER 7 – LOCAL CONTROLLERS 

This chapter covers the following major topics: 

• Type of controller operations. 

• Controller operation under isolated and coordinated control. 

• Controller timing parameters. 

• Phasing options and sequences. 

• Controller types (NEMA, ATC and Model 170). 

CHAPTER 8 – SYSTEM CONTROL 

This chapter discusses architectures for conventional traffic control systems and adaptive 

systems, and covers time base coordination. The functions of signal system traffic 

management centers and some examples of the characteristics of these centers are 

provided. 

CHAPTER 9 – COMMUNICATIONS 

This chapter provides an overview of communications alternatives for surface street 

systems. It also briefly discusses the National Transportation Communications for ITS 

Protocol (NTCIP). The primary source of information for traffic system communications 

is the newly revised Communications Handbook for Traffic Control Systems (3). 

1-4
CHAPTER 10 – TRAVELER INFORMATION SYSTEMS 

This chapter provides an overview on the use of static signs and changeable message 

signs for surface street systems. It also discusses other types of motorist information 

devices. The primary source of information for traveler information systems is the 

Freeway Management and Operations Handbook (1). 

CHAPTER 11 – SELECTION OF A SYSTEM 

Chapters 11, 12 and 13 provide an overview of the systems engineering process life 

cycle. 

After providing an introduction to federal aid requirements, this chapter describes the 

steps in the development of high level system requirements (scoping). Methods for 

evaluating candidate alternatives, utility cost analysis and benefit cost analysis are 

discussed. 

CHAPTER 12 – DESIGN AND IMPLEMENTATION 

The material in this chapter: 

• Places system design, procurement, and installation tasks in perspective with 

respect to total system planning and implementation 

• Describes alternative approaches to the procurement of systems, including 

contractor selection 

• Describes the various elements of the design process, with particular emphasis 

on the contents of bid documents 

• Describes elements of an approach to manage system installation. 

CHAPTER 13 – SYSTEMS MANAGEMENT 

This chapter describes the functions involved in managing a traffic system and a traffic 

operations center and the staffing resources required. Maintenance requirements and 

staffing issues are discussed. The need for system evaluation and techniques for 

accomplishing it are also described. 

CHAPTER 14 – ITS PLANS AND PROGRAMS 

This chapter discusses ITS America and TEA-21, and provides an overview of the ITS 

planning process at the national, regional / statewide and agency levels. 

1-5
1.3 Role and Impact of Traffic Control Systems 

The traffic signal impacts virtually everyone every day. Even on uncongested routes, 

stops at traffic signals punctuate an urban or suburban area trip. School children 

obediently wait for a traffic signal to interrupt traffic so they can cross a busy 

thoroughfare. Drivers confidently place their own and their passengers' physical safety in 

a signal's allocation of right-of-way. 

People accept and in some cases demand traffic signals to assure safety and mobility. 

Drivers usually assume that the responsible agency can efficiently operate signals, so 

motorists usually report only the most obvious failures. Inefficient operation annoys 

some motorists but produces no strong public reaction. However, inefficiencies silently 

steal dollars from the public in increased fuel cost and longer trip times. Users normally 

perceive signals as working if they turn red and green; if they operate suboptimally, this 

becomes a concern, not a crisis. 

Research and application demonstrate the effectiveness of signal system improvements in 

reducing: 

• Delays, 

• Stops, 

• Fuel consumption, 

• Emission of pollutants, and 

• Accidents 

The systematic optimization of signal timing plans in most signal systems represents an 

essential continuing element of traffic control system management. This optimization is 

labor intensive and costly for many existing traffic control systems. As a result, the 

number of timing plans and the frequency of updating the timing plans are often limited 

by the resources available to perform these functions. 

Certain traffic systems have been termed adaptive, i.e., they have the capability to 

automatically change signal timing in response to both short term and longer term 

variations in traffic. These systems not only provide more effective control of traffic but 

also require fewer human and financial resources to update the system's database. 

However, they often require more intense deployment of traffic detectors. 

1.4 Travel Demand Management (TDM) 

A highly developed system of streets, highways, freeways, and some form of public 

transportation serves most North American cities. Growth in travel demand, however, 

seems to outpace the ability to provide new or expanded facilities and service. This 

1-6
pressure places great emphasis on reducing travel demand to reduce the loading of 

facilities, particularly at peak hours. 

The wide spectrum of TDM actions includes: 

• Promotion of non-auto modes of travel, 

• Preferential treatment for high occupancy vehicles (HOV), 

• Preferential parking for HOV, 

• Incentives to reduce peak period travel, 

• Telecommuting, 

• Non-standard work week such as four 10-hour days, and 

• Transit and paratransit service improvements. 

Many TDM measures impact or depend on the efficient and effective use of: 

• Traffic signal systems, 

• Freeway traffic management systems, and 

• Traveler information systems. 

Efforts to promote transit usage become less effective if buses meet unnecessary delay 

from inefficiently operated signals. Vanpool and transit usage become more attractive if 

these vehicles can travel on uncongested high occupancy vehicle freeway lanes. 

Thus, urban and freeway control systems and traveler information systems can prove 

critical to the operational effectiveness of multimodal transportation facilities. 

1.5 System Evolution 

The development of traffic control systems for urban streets has paralleled the 

development and use of the automobile. After World War I, rapid growth in automobile 

traffic led to requirements for special personnel, signals and systems to address the 

problem. 

In typical urban areas, approximately two-thirds of all vehicle-miles of travel, and even a 

higher percentage of vehicle-hours of travel, take place on facilities controlled by traffic 

signals (4). To a major extent, therefore, the quality of traffic signal operation determines 

urban vehicular traffic flow quality. 

1-7
Traffic signals originated with signaling system technology developed for railroads. In 

1914 (5), Cleveland, Ohio installed the first electric traffic signal in the United States. In 

1917, Salt Lake City introduced an interconnected signal system that involved manually 

controlling six intersections as a single system (6). In 1922, in Houston, Texas, 12 

intersections were controlled as a simultaneous system from a central traffic tower. This 

system proved unique in its use of an automatic electric timer. 

The year 1928 saw the introduction of a flexible-progressive pretimed system. 

Municipalities quickly accepted these pretimed systems and widespread installation 

followed in virtually every U.S. city. 

Their success resulted from: 

• Simplicity (almost any electrician could understand them), 

• Reliability (rugged components resulted in minimum maintenance), and 

• Relatively low cost. 

However, early pretimed systems had limited flexibility. They could respond only to 

predicted traffic changes via preset changes on a time clock. But predicting traffic 

conditions proved difficult because of the needed data collection efforts. Agencies 

usually avoided timing changes because of the staffing and time resources required to 

make changes at each local intersection controller. 

Traffic-actuated local controllers using pressure detectors became available during the 

period 1928-1930. These controllers proved a first step toward traffic-actuated control 

but applied only to isolated intersections. 

In 1952, Denver, Colorado advanced the state-of-the-art of traffic control systems by 

developing and installing an analog computer control system. This system applied some 

actuated isolated intersection control concepts to signalized networks. Sampling 

detectors input traffic flow data, and the system adjusted its timing on a demand rather 

than time-of-day (TOD) basis. Over one hundred systems of this type were installed in 

the United States in the period 1952-1962. 

In 1960, Toronto conducted a pilot study using a digital computer to perform centralized 

control functions (7). The amount of traffic data available from this form of control 

proved a fortunate by-product. While the computer used for the test was archaic by 

today's standards - an IBM 650 with about 2,000 words of drum memory - the success of 

this control system approach encouraged Toronto to proceed with full-scale 

implementation. The city placed 20 intersections under computer control in 1963, and 

later expanded the system to 885 intersections by 1973. 

International Business Machines (IBM) began a cooperative development in 1964 with 

the City of San Jose, California, to further develop a computer traffic control system (8). 

1-8
The project used an IBM 1710 computer. Control concepts developed and implemented 

proved successful in significantly reducing stops, delays, and accidents. 

Beginning in 1965, the City of Wichita Falls, Texas, contracted for the delivery of an 

IBM 1800 process control computer for traffic control. This system was placed in daily 

operation in 1966, controlling 56 intersections in the central business district. It was later 

expanded to include 78 intersections. San Jose, California, shortly thereafter made a 

transition to an IBM 1800 computer, and similar systems were installed in Austin and 

Garland, Texas; Portland, Oregon; Fort Wayne, Indiana and New York City. In these 

systems, traffic signals were controlled by using stored timing plans developed off-line. 

In 1967, the Bureau of Public Roads, currently the Federal Highway Administration 

(FHWA), began to develop the Urban Traffic Control System (UTCS) Project. The 

system was installed in Washington, D.C., to develop, test, and evaluate advanced traffic 

control strategies (9). Completed in 1972, it contained 512 vehicle detectors whose 

outputs determined signal timing at 113 intersections. Extensive data processing, 

communications, and display capabilities were made available to support traffic control 

strategy research. Later efforts produced the Extended and Enhanced versions of the 

software package that implemented these concepts. 

The 1970s also saw continuing research and development of software packages and 

models for digital computer and microprocessor based traffic control systems. The 

Transport and Road Research Laboratory (TRRL) in Great Britain developed the 

advanced centrally controlled traffic system, Split, Cycle and Offset Optimization 

Technique (SCOOT), in the 1970s with implementation taking place in Glasgow and 

other cities in the 1980s. SCOOT has been installed in several North American cities 

including Toronto, ON. Another advanced system, Sydney Coordinated Adaptive Traffic 

System (SCATS), developed in Australia, has been implemented in many cities 

throughout the world. SCOOT and SCATS initiated the deployment of responsive

control systems. Adaptive control techniques, represented by Optimized Policies for 

Adaptive Control (OPAC) and RHODES, have also begun to be implemented. 

Figure 1-2 summarizes the historical development of coordinated traffic control systems. 

The experience gained during this evolution shows that substantial reductions in travel 

delays, stops, fuel consumption, and vehicle emissions can accrue from control system 

efficiency and aggressive traffic signal management. However, in conventional (nonadaptive) systems, full realization of benefits depends on the frequent updating of timing 

plans to optimize traffic flow. 

The ACS-Lite program is a current FHWA research initiative that seeks to migrate 

certain techniques used in adaptive systems into the environment of simpler closed loop 

systems. 

1-9
OPEN LOOP

• Field master

• Local controller 

storage of timing 

plans

OPEN LOOP WITH 

TRAFFIC 

RESPONSIVE

• Traffic detectors

• Traffic adjusted timing 

plan selection by field 

master

CLOSED LOOP 

CONTROL 

(THREE LEVEL 

DISTRIBUTED)

• Monitor and control 

at central

• Field master control

• Upload & 

download of field 

stored timing plans

CENTRALIZED 

CONTROL 

• Central computer

• Interval or phase 

control of traffic signals TWO LEVEL 

DISTRIBUTED 

CONTROL

• Client/Server 

architecture at central

• Upload & download of 

timing plans stored in 

field

TRAFFIC RESPONSIVE 

AND TRAFFIC 

ADAPTIVE CONTROL

• Central computer

• Interval or phase control

• Extensive detectorization

• On line timing plan 

development (little timing 

plan maintenance)

• Relatively expensive to 

procure and maintain

CURRENT RESPONSIVE 

AND ADAPTIVE 

CONTROL

• Older systems have 

evolved to provide a wide 

number of special features

• Newer systems use less 

centralized control

Traditionally 

Supplied by 

Equipment 

Manufacturers

Traditionally Supplied by System Developers or Software Suppliers

Software Originally Developed Under FHWA UTCS Project

Original UTCS Software Modified by Suppliers Over the Years

SCOOT Developed and Controlled by UK Government

SCATS Developed and Controlled by NSW (Australia) Government

Newer systems based on FHWA and European research

1950 Late 1960s Mid to Late 1980s Mid 1990s 2000

Figure 1-2 Interconnected traffic control system chronology. 

Driver information systems have expanded as well, using a whole spectrum of media 

including: 

• On-freeway and on-street dynamic signing and highway advisory radio, 

• Commercial media, 

• Displays at major traffic generators, 

• Internet, and 

• In-vehicle information and displays. 

1.6 Present Status-Traffic Surveillance and Control 

The 1980s and early 1990s have witnessed widespread acceptance and implementation of 

advanced traffic control and management systems for both freeways and urban streets. 

1-10
Use of the computer has become the accepted way to control streets and highways and 

has been accelerated by the revolutionary advances and associated cost reductions in 

computer, communications and electronic technology. Local microprocessor controllers 

have virtually eliminated operational constraints previously imposed by hardware 

capability. Today, constraints on effective system operation are generally not technical 

but institutional, jurisdictional or financial. 

Present activity in traffic monitoring and control systems has advanced beyond 

experimentation to deployment of effective operational tools. Basic control concepts 

have been refined through the experience of multiple users. An effective network of 

system designers, manufacturers, and suppliers exists to offer choices in system selection. 

The cooperative participation of governmental agencies (Federal, state, local) and 

commercial and professional organizations (manufacturers, consultants) continues in the 

development efforts of hardware and software. Prime examples include the development 

of the 2070 Advanced Transportation Controller, which provides an open architecture for 

controller hardware and software and the National Transportation Communications for 

ITS Protocol (NTCIP), which facilitates equipment interoperability. 

1.7 National ITS Architecture 

The National ITS Architecture (10) provides a common framework for planning, 

defining, and integrating intelligent transportation systems. It is a mature product that 

reflects the contributions of a broad cross-section of the ITS community (transportation 

practitioners, systems engineers, system developers, technology specialists, consultants, 

etc.). The architecture defines: 

• The functions (e.g., gather traffic information or request a route) that are 

required for ITS. 

• The physical entities or subsystems where these functions reside (e.g., the 

field or the vehicle). 

• The information and data flows that connect these functions and physical 

subsystems together into an integrated system. 

The National ITS Architecture defines the user service bundles and user services shown 

in Table 1-1. Figure 1-3 shows an overview of the physical architecture. Key 

components of the National ITS Architecture are summarized below: 

1-11
Table 1-1 User service bundles and user services. 

1 Travel and Traffic Management 

User Services 

1.1 Pre-trip Travel Information

1.2 En-route Driver Information

1.3 Route Guidance

1.4 Ride Matching And Reservation

1.5 Traveler Services Information

1.6 Traffic Control

1.7 Incident Management

1.8 Travel Demand Management

1.9 Emissions Testing And Mitigation

1.10 Highway Rail Intersection

2 Public Transportation Management 

User Services 

2.1 Public Transportation Management

2.2 En-route Transit Information

2.3 Personalized Public Transit

2.4 Public Travel Security

3 Electronic Payment 

User Services 

3.1 Electronic Payment Services

4 Commercial Vehicle Operations 

User Services 

4.1 Commercial Vehicle Electronic Clearance

4.2 Automated Roadside Safety Inspection

4.3 On-board Safety And Security Monitoring

4.4 Commercial Vehicle Administrative Processes

4.5 Hazardous Material Security And Incident Response

4.6 Freight Mobility

1-12
Table 1-1 User services bundle and user services (continued). 

5 Emergency Management 

User Services 

5.1 Emergency Notification And Personal Security

5.2 Emergency Vehicle Management

5.3 Disaster Response And Evacuation

6 Advanced Vehicle Safety Systems 

User Services 

6.1 Longitudinal Collision Avoidance

6.2 Lateral Collision Avoidance

6.3 Intersection Collision Avoidance

6.4 Vision Enhancement For Crash Avoidance

6.5 Safety Readiness

6.6 Pre-crash Restraint Deployment

6.7 Automated Vehicle Operation

7 Information Management 

User Services 

7.1 Archived Data Function

8 Maintenance And Construction Management 

User Services 

8.1 Maintenance And Construction Operations

1-13
PERSONAL

INFORMATION

ACCESS

ROADWAY

REMOTE

TRAVELER

SUPPORT

INFORMATION

SERVICE

PROVIDER

EMISSIONS

MANAGEMENT

TRAFFIC

MANAGEMENT

TRANSIT

MANAGEMENT

EMERGENCY

MANAGEMENT

FLEET AND

FREIGHT

MANAGEMENT

TOLL

ADMINISTRATION

ARCHIVED

DATA

MANAGEMENT

COMMERCIAL

VEHICLE

ADMINISTRATION

PARKING

MANAGEMENT

COMMERCIAL

VEHICLE

CHECK

TOLL

COLLECTION

TRAVELER CENTER

VEHICLE ROADSIDE

WIDE AREA WIRELESS (MOBILE) COMMUNICATIONS FIXED-POINT TO FIXED-POINT COMMUNICATIONS VEHICLE TO VEHICLE COMMUNICATION DEDICATED SHORT RANGE COMMUNICATION

MAINTENANCE & 

CONSTRUCTION 

MANAGEMENT

TRANSIT

VEHICLE

VEHICLE

EMERGENCY

VEHICLE

COMMERCIAL

VEHICLE

MAINTENANCE & 

CONSTRUCTION 

VEHICLE

SECURITY 

MONITORING

Figure 1-1 Overview of physical entities. 

Logical Architecture 

The Logical Architecture defines the processes (the activities and functions) that are 

required to provide the required user services. Many different processes must work 

together and share information to provide a user service. The processes can be 

implemented via software, hardware, or firmware. The logical architecture is 

independent of technologies and implementations. The logical architecture is presented 

to the reader via data flow diagrams (DFDs) or bubble charts and Process Specifications 

(PSpecs). 

Market Packages 

Market packages represent slices of the physical architecture that address specific 

services like surface street control. A market package collects several different 

subsystems, equipment packages, terminators, and architecture flows that provide the 

desired service. Table 1-2 identifies the market packages. 

1-14
Table 1-2 Market packages. 

Service 

Area 

Market 

Package Market Package Name 

AD1 ITS Data Mart 

AD2 ITS Data Warehouse 

ARCHIVED DATA 

MANAGEMENT 

AD3 ITS Virtual Data Warehouse 

APTS1 Transit Vehicle Tracking 

APTS2 Transit Fixed-Route Operations 

APTS3 Demand Response Transit Operations 

APTS4 Transit Passenger and Fare Management 

APTS5 Transit Security 

APTS6 Transit Maintenance 

APTS7 Multi-modal Coordination 

APTS8 Transit Traveler Information 

PUBLIC TRANSPORTATION 

ATIS1 Broadcast Traveler Information 

ATIS2 Interactive Traveler Information 

ATIS3 Autonomous Route Guidance 

ATIS4 Dynamic Route Guidance 

ATIS5 ISP Based Route Guidance 

ATIS6 Integrated Transportation Management / Route Guidance 

ATIS7 Yellow Pages and Reservation 

ATIS8 Dynamic Ridesharing 

TRAVELER INFORMATION 

ATIS9 In-Vehicle Signing 

1-15
Table 1-2 Market packages (continued). 

Service 

Area 

Market 

Package Market Package Name 

ATMS01 Network Surveillance 

ATMS02 Probe Surveillance 

ATMS03 Surface Street Control 

ATMS04 Freeway Control 

ATMS05 HOV Lane Management 

ATMS06 Traffic Information Dissemination 

ATMS07 Regional Traffic Control 

ATMS08 Traffic Incident Management System 

ATMS09 Traffic Forecast and Demand Management 

ATMS10 Electronic Toll Collection 

ATMS11 Emissions Monitoring and Management 

ATMS12 Virtual TMC and Smart Probe Data 

ATMS13 Standard Railroad Grade Crossing 

ATMS14 Advanced Railroad Grade Crossing 

ATMS15 Railroad Operations Coordination 

ATMS16 Parking Facility Management 

ATMS17 Regional Parking Management 

ATMS18 Reversible Lane Management 

ATMS19 Speed Monitoring 

ATMS20 Drawbridge Management 

TRAFFIC MANAGEMENT 

ATMS21 Roadway Closure Management 

AVSS01 Vehicle Safety Monitoring 

AVSS02 Driver Safety Monitoring 

AVSS03 Longitudinal Safety Warning 

AVSS04 Lateral Safety Warning 

AVSS05 Intersection Safety Warning 

AVSS06 Pre-Crash Restraint Deployment 

AVSS07 Driver Visibility Improvement 

AVSS08 Advanced Vehicle Longitudinal Control 

AVSS09 Advanced Vehicle Lateral Control 

AVSS10 Intersection Collision Avoidance 

VEHICLE SAFETY 

AVSS11 Automated Highway System 

1-16
Table 1-2 Market packages (continued). 

Service 

Area 

Market 

Package Market Package Name 

EM01 Emergency Call-Taking and Dispatch 

EM02 Emergency Routing 

EM03 Mayday Support 

EM04 Roadway Service Patrols 

EM05 Transportation Infrastructure Protection 

EM06 Wide-Area Alert 

EM07 Early Warning System 

EM08 Disaster Response and Recovery 

EM09 Evacuation and Reentry Management 

EMERGENCY 

MANAGEMENT 

1M10 Disaster Traveler Information 

MC01 Maintenance and Construction Vehicle and Equipment 

Tracking 

MC02 Maintenance and Construction Vehicle Maintenance 

MC03 Road Weather Data Collection 

MC04 Weather Information Processing and Distribution 

MC05 Roadway Automated Treatment 

MC06 Winter Maintenance 

MC07 Roadway Maintenance and Construction 

MC08 Work Zone Management 

MC09 Work Zone Safety Monitoring 

MAINTENANCE & 

CONSTRUCTION 

MANAGEMENT 

MC10 Maintenance and Construction Activity Coordination 

 

ITS Standards 

ITS Standards are fundamental to the establishment of an open ITS environment, the goal 

originally envisioned by the U.S. Department of Transportation (USDOT). Standards 

facilitate deployment of interoperable systems at local, regional, and national levels 

without impeding innovation as technology advances and new approaches evolve. The 

National ITS Architecture is a reference framework that spans all of these ITS Standards 

activities and provides a means of detecting gaps, overlaps, and inconsistencies between 

the standards. The National ITS Architecture references specific applicable standards 

sites and provides connections to them. 

1.8 Relationship to Other FHWA Handbooks 

This handbook is one of a series of FHWA handbooks that have been recently issued or 

revised. The following handbooks provide information which is closely related to a 

number of chapters in the Traffic Control Systems Handbook (TCSH): 

1-17
• Freeway Management and Operations Handbook (FMOH) (1) 

• Traffic Detector Handbook (TDH) (2) 

• Telecommunications Handbook for Transportation Professionals: The Basics 

of Telecommunications (TH) (3) 

Table 1-3 summarizes the relationship of the material in those handbooks to this 

document. 

1-18
Table 1-3 Relationship to other FHWA handbooks. 

TRAFFIC CONTROL 

SYSTEMS HANDBOOK 

(TCSH) CHAPTER 

OTHER FHWA 

HANDBOOK RELATIONSHIP 

1 Introduction FMOH FMOH provides additional information on the 

National ITS Architecture. 

4 Control and Management 

Concepts for Freeways 

FMOH FMOH is the prime source on this subject. TCSH 

provides a brief overview. 

6 Detectors TDH TDH is the prime source on this subject. TCSH 

material is primarily related to installation issues. 

8 System Control FMOH FMOH provides additional information on traffic 

management centers. 

9 Communications TH TH is the prime source on this subject. TCSH 

discussion is limited to the relationship of 

communication technologies to surface streets. 

10 Traveler Information 

Systems 

FMOH FMOH is the prime source on this subject. TCSH 

provides information on static signing, use of CMS 

on surface streets, summary of advantages and 

disadvantages of different technologies. 

11 Selection of a System FMOH FMOH provides additional information on the 

system design cycle. 

1-19
1-20

1 References 

1. Neudorff, L.G., J.E. Randall, R. Reiss, and R. Gordon. “Freeway Management 

and Operations Handbook.” Federal Highway Administration Report No. 

FHWA-OP-04-003, Washington, DC, September 2003. 

2. Klein, L. “Traffic Detector Handbook.” Federal Highway Administration Report, 

Washington, DC. To be published. 

3. Leader, S. “Telecommunications Handbook for Transportation Professionals: 

The Basics of Telecommunications.” Federal Highway Administration Report 

No. FHWA-HOP-04-034, Washington, DC, September 2004. 

4. Wagner, F.A. “Overview of the Impacts and Costs of Traffic Control System 

Improvements.” Federal Highway Administration Office of Highway Planning, 

Washington, DC, March 1980. 

5. Mueller, E.A. “The Transportation Profession in the Bicentennial Year - Part II.” 

Traffic Engineering, Vol. 46, No. 9, pp. 29-34, 1976. 

6. Sessions, G.M. “Traffic Devices - Historical Aspects Thereof.” Institute of Traffic 

Engineers. Washington, DC, 1971. 

7. Irwin, N.A. “The Toronto Computer-Controlled Traffic Signal System.” Traffic 

Control Theory and Instrumentation. Plenum Press, New York, 1965. (See also: 

Casicato, L., and S. Cass. “Pilot Study of the Automatic Control of Traffic Signals 

by a General Purpose Electric Computer.” Highway Research Board Bulletin 338, 

1962). 

8. “San Jose Traffic Control Study.” IBM Corp., March 1965 (Initial Report). 

9. “The Urban Traffic Control System in Washington, DC.” Federal Highway 

Administration, U.S. Department of Transportation, Washington, DC, September 

1974. 

10. “The National ITS Architecture, Version 5.0.” Federal Highway Administration, 

2003.
CHAPTER 2 

AVAILABLE AND EMERGING TRAFFIC CONTROL SYSTEM 

TECHNOLOGY 

Table of Contents 

Section .................................................................................................................................................... Page 

2.1 Introduction................................................................................................................................. 2-2

2.2 Control and Management Functions......................................................................................... 2-3

2.3 Integrated Transportation Management Systems.................................................................... 2-4

Information Sharing Among Agencies and Management Centers................................................ 2-4

Coordination of Operations Among Agencies .............................................................................. 2-4

2.4 Range of Agency Needs and Range of Available Options........................................................ 2-5

Transportation Systems Management (TSM) Relationship .......................................................... 2-7

Control System Options ................................................................................................................ 2-9

Criteria for Selection..................................................................................................................... 2-9

2.5 Available Technology................................................................................................................ 2-11

Hardware..................................................................................................................................... 2-11

Software ...................................................................................................................................... 2-12

2.6 A Look to the Future................................................................................................................. 2-12

Hardware in the Loop.................................................................................................................. 2-12

Non-Pavement Invasive Traffic Detectors .................................................................................. 2-13

Support of Emergencies and Evacuations ................................................................................... 2-14

Advanced Transportation Controller........................................................................................... 2-14

Advanced Signal State Transition Logic..................................................................................... 2-14

Improved Transit Priority Systems.............................................................................................. 2-14

References ................................................................................................................................................ 2-15

2-1
CHAPTER 2 

AVAILABLE AND EMERGING TRAFFIC CONTROL SYSTEM 

TECHNOLOGY 

Figure 2-1 Traffic signal. 

2.1 Introduction 

This Handbook assists users in defining, evaluating, and selecting systems that match 

their needs. This chapter presents a broad overview of system functions and available 

options for both hardware and software. 

Since the 1996 edition of the Traffic Control Systems Handbook, surface street traffic 

control systems technology has seen significant advances in the following areas (1): 

• Improved traffic signal controllers. 

• Increased use of CCTV and changeable message signs (CMS) on surface 

streets. 

• Increased use of non-pavement-invasive detectors. 

• Improved transit priority strategies and equipment based on the use of GPS 

technology. 

• Increased use of fiber optic cable for interconnection of traffic signal 

controllers and communication with other field devices. 

• Increased use of standardized protocols to migrate data between intersection 

controllers and field master controllers or traffic management centers. 

2-2
The period since the last edition of the Traffic Control Systems Handbook has also 

witnessed the following improvements in control strategies and operations: 

• Greater information migration among adjacent and nearby traffic management 

centers. 

• Increased coordination of signals across neighboring jurisdictions and traffic 

control systems. 

• Increased use of adaptive traffic control systems. 

• Improved coordination of surface street and freeway operations. 

• Provision of traffic control systems with software that facilitates the automatic 

migration of signal timing plan data derived from signal timing programs into 

the traffic control system database. 

2.2 Control and Management Functions 

Control and management functions may include the following: 

• Collection of data for development of signal timing plans and other functions 

(identification of control section boundaries and provision of parameters in the 

traffic control systems). 

• Development of timing plans and the remainder of the traffic control system 

database. 

• Implementation of signal timing plans, such as: 

- Pretimed. 

- Traffic responsive. 

- Operator selection of timing plans based on data provided by the traffic 

control system, CCTV and other information sources. 

• Implementation of motorist information by means of changeable message 

signs, highway advisory radio, independent service providers, media and 

websites. 

• Management of incidents on surface streets. 

• Evaluation of system performance. 

2-3
2.3 Integrated Transportation Management Systems 

The National ITS Architecture (2) provides the methodology to coordinate transportation 

related services in a region (Regional ITS Architecture). Integration is achieved through: 

• Information sharing among agencies and management centers. 

• Coordination of operations among agencies. 

Information Sharing Among Agencies and Management Centers 

Information is commonly shared among agencies by means of voice communications and 

data communications. The Regional ITS Architecture establishes the general data flow 

requirements between agencies and from each agency’s management center to the field 

equipment or other equipment that it communicates with or controls. To perform data 

communication between management centers, a common language and frame of 

reference is required. Protocols for the sharing of transportation related information are 

being established at the time of this writing by the National Transportation 

Communications for ITS Protocol (NTCIP) and are available on its website 

(http://www.ntcip.org). 

In essence, the information may be put into the proper high level language by the use of 

the Traffic Management Data Dictionary (TMDD). The TMDD provides the definition 

and format for the data and the Message Sets for External Traffic Management 

Communications (MS / ETMCC) which organizes the TMDD elements into relevant 

messages. Different protocols are included in the NTCIP standards for transmitting these 

messages between management centers. 

Coordination of Operations Among Agencies 

Agencies and TMCs may each partly contribute to the improvement of transportation 

issues in a region. For example, information flow between a transit property and traffic 

control system may result in the provision of signal priority to transit vehicles. Similarly, 

a transit property might be able to detect and confirm traffic related incidents on the 

surface street system, and communicate this information to the TMC operating the signal 

system. Coordination of traffic signals across jurisdictional boundaries is a common 

interagency issue. 

An appropriate way to address these issues when system design requirements are being 

established is the development of a Concept of Operations. This document establishes 

the way agencies will relate their operations to each other and also establishes how the 

agency will manage its internal traffic system operations. The following material is 

extracted from Reference 3. 

2-4
In its simplest definition, a concept of operations for a TMC defines what the center 

accomplishes, and how it goes about accomplishing it. Thus, it defines functions (what is 

accomplished) and processes (how they are accomplished). The concept of operations 

ideally addresses both operations and maintenance of the TMC, and the resources for 

which it is responsible. It describes the interactions that occur within the TMC, and 

between the TMC and its partners (firms and agencies) and customers (motorists, media, 

etc.) in managing transportation. As a tool developed primarily in the planning stage, it 

often works at a summary level. It is not intended to serve as an operations manual, 

although it may follow a similar outline. 

The outline for a TMC concept of operations contains the following topics: 

• The Systems 

• Operational Facility Needs 

• Integration and Testing 

• Coordination 

• Performing or Procuring Operations and Maintenance 

- Workload and Performance 

- Organization 

- Nonstandard Operations 

- Fault Detection and Correction 

- System maintenance 

- Training and Documentation 

- Operational Procurement and Contracting 

2.4 Range of Agency Needs and Range of Available Options 

Although each agency with responsibility for traffic control systems represents a unique 

entity, with no two exactly alike, many similarities exist. Table 2-1 lists typical system 

functions. 

2-5
Table 2-1 Typical system functions. 

System Type Potential Systems Special Features 

Urban and Suburban 

Street 

• Network of closely 

spaced intersections in a 

central business district 

(CBD) 

• Arterial systems 

• Isolated intersections 

• Railroad preemption 

• Fire preemption 

• Lane control 

• Peak-hour turn 

restrictions 

• Special events 

• Transit priority 

Integrated Combinations of freeway 

control and urban street 

systems 

Communication 

compatibility with freeway 

control, urban streets and 

traveler information 

systems 

In most jurisdictions, traffic control hardware represents an accumulation of different age 

equipment from multiple manufacturers, purchased over an extended time, using low-bid 

procurement techniques. Maintenance level of effort and quality greatly affect the 

hardware's current condition. For example, though the hardware's characteristics permit 

integration into a system, its physical condition and reliability may preclude continued 

use. In other cases, existing field hardware might not prove compatible with the desired 

control system, again precluding continued use. Recent years have seen significant effort 

in standardizing traffic controller hardware and facilitating equipment interchangeability. 

This will simplify future replacement. 

The conditions which create a need to upgrade or install new traffic systems include: 

• Growth and / or changes in traffic demand create a need to examine the 

adequacy of existing traffic control systems. When traffic flows well below 

available capacity and no recurrent congestion (or motorist perception of 

congestion) occurs, little public sentiment develops for control system 

improvement. However, as flows approach capacity and congestion becomes 

evident, demand for, and need of, improved control system operation 

increases. Although agencies should not postpone control system 

improvements until congestion appears, significant funding for major 

improvements generally follows public perception of need. Changes in traffic 

demand may also highlight the functional inadequacy of the existing control 

system in achieving full use of available capacity. 

• Frequent failure of older equipment that results in degraded and inefficient onstreet operation. 

2-6
• The need to obtain improved traffic control through the use of modern 

hardware and software technologies not supported by existing equipment. 

Experience has shown that the agency should establish specific traffic control system 

objectives in the following areas: 

• Traffic Operations - The ability to respond to existing and anticipated future 

traffic operations requirements. Specific goals might include: 

- Obtain maximum efficiency in terms of minimum delay, minimum stops, 

and maximum capacity utilization consistent with the safety of operation, 

- Improve vehicle, pedestrian and bicycle safety, or 

- Provide motorists with real-time traffic or routing information. 

• System Reliability - Issues include: 

- Minimizing control system downtime, 

- Minimizing cost of maintenance, and 

- Improvement of automated detection and reporting of equipment failures. 

• Adaptability - The ability to satisfy traffic operation requirements over a long 

period of time under changing conditions. 

• Implementation - Ease of installation or changeover from an old system to a 

new one with minimum technical problems and disruption of traffic flow. 

• Ease of Operation - The ability to easily develop and maintain system 

databases including generation and maintenance of timing plans. 

Transportation Systems Management (TSM) Relationship 

Since first introduced in the mid-1970s, transportation systems management (TSM) has 

evolved from a list of about 150 low-cost actions to the productive use of existing 

transportation resources through their coordinated operations and improved management. 

TSM implies "a philosophy about planning, programming, implementation, and 

operations that calls for improving the efficiency and effectiveness of the transportation 

system by improving the operations and / or services provided" (4). TSM, then, provides 

an umbrella philosophy that aims to: 

• Analyze the total system, and 

2-7
• Improve operation and safety before capital-intensive projects add significant 

capacity. 

Roark (5) classifies TSM actions within 9 different urban operating environments, 

including: 

• Freeway corridor, 

• Arterial corridor, 

• Central business district (CBD), 

• Regional operating environment, 

• Neighborhood, 

• Major employment site (non-CBD), 

• Outlying commercial center, 

• Major activity center, and 

• Modal transfer point. 

In contrast, Wagner uses two primary strategies - supply and demand (6). Supply

strategies focus on changing the quality of vehicular flow, whereas demand-oriented 

strategies target decreasing the quantity of vehicular travel. Supply actions include: 

• Arterial signal coordination, 

• Signal removal or flashing operation, 

• Freeway monitoring and control, 

• Incident management, 

• Parking prohibition, 

• Turn controls, and 

• Bottleneck-removal programs. 

Demand actions include: 

• Carpools, 

2-8
• Vanpools, 

• High occupancy vehicle (HOV) priority treatments, and 

• Variable work hours. 

In both classification schemes, traffic control systems and their effective operation 

predominantly affect TSM and prove vital to the full realization of several other TSM 

actions. For example, it does little good to entice drivers to ride the bus or join a vanpool 

if inefficiently operating traffic signals stop or delay all vehicles (including buses and 

vans). 

Control System Options 

Operational objectives of traffic control systems include making the best use of existing 

roadway and freeway network capacity and reducing trip times, without creating adverse 

environmental impacts (7). 

Controlling the movement of vehicles through signalized intersections provides the major 

effect on traffic flow in urban areas. The control strategies shown in Table 2-2 can 

achieve signalized intersection control. Table 2-2 provides a summary of the features of 

different categories of traffic control systems. These categories and their characteristics 

are discussed in greater detail in Section 3.8. 

Criteria for Selection 

The previous discussion describes the range of alternative systems available to meet a 

jurisdiction's traffic control needs. Making the most appropriate selection requires 

critical self-examination and consideration of life-cycle issues concerning: 

• System acquisition, 

• Operation, and 

• Maintenance. 

Matching a control system's capabilities to a set of identified agency requirements proves 

the most crucial element in system selection. Viable candidates should satisfy these 

requirements in a cost effective way. 

2-9
Table 2-2 Signal system options. 

Categories Main 

Characteristics 

Control 

Technique 

Method Application 

Fixed Time 

(Pretimed) 

Assigns right-ofway according to a 

pre-determined 

schedule. 

Computer programs 

used with average 

demand volumes 

for period to 

compute timing off 

line. 

Isolated 

Intersection 

Control 

Does not consider 

timing for adjacent 

signalized 

intersections 

Traffic 

Actuated 

Adjusts green time 

according to realtime demand 

measured by 

detectors on one or 

more approaches 

Intersection 

sufficiently 

isolated from 

adjacent signalized 

intersection so that 

arriving vehicles 

do not exhibit 

strong platooning 

characteristics 

Intersection timing 

requirements 

inconsistent with 

remaining signal 

section 

Time Base 

Coordination 

Coordinates based on 

common time 

synchronization. 

Pretimed 

coordination 

Computer programs 

used with average 

demand volumes 

for period to 

compute timing off 

line. 

Signals sufficiently 

closely spaced to 

require 

coordination 

Interconnected 

Control 

Signals are 

networked together 

using wireline or 

wireless techniques 

Provides field 

equipment status 

Downloads timing 

plans from traffic 

management center 

Pretimed 

coordination 

Operator 

selection of 

timing plans 

Computer programs 

used with average 

demand volumes 

for period to 

compute timing off 

line. 

Operator selection 

based on special 

events or external 

information on 

incidents or traffic 

conditions 

Pretimed 

coordination 

commonly used 

where variation in 

day-to-day demand 

is not excessive 

Operator selection 

used for special 

situations 

Traffic Adjusted 

Control 

Conventional traffic 

adjusted operation 

Use of traffic 

sensors to 

provide traffic 

adjusted 

capability 

Traffic adjusted 

selection of timing 

plans 

Often provides 

more timing plans 

than for 

interconnected 

control 

Traffic adjusted 

capability 

employed where 

variations in dayto-day demand 

may vary 

significantly at a 

particular time 

2-10
Table 2-2 Signal system options (continued). 

Categories Main 

Characteristics 

Control 

Technique 

Method Application 

Traffic 

Responsive 

Control 

Timing plans 

generated rapidly 

and automatically 

using system sensors 

Changes split 

within a cycle. 

Changes cycle 

offset within a 

few minutes 

Uses upstream 

sensor data to 

optimize objective 

function such as 

delay or controls to 

level of congestion 

Where variations in 

day-to-day demand 

may vary 

significantly or 

where variations 

result from unusual 

traffic patterns or 

events 

Traffic Adaptive 

Control 

Phase change based 

on prediction from 

traffic measurement 

at each signalized 

approach 

Uses predictive 

data change 

phase. Does not 

use explicitly 

defined signal 

cycles, splits or 

offsets 

Predicts vehicle 

flow at intersection 

from sensor data 

Same as traffic 

responsive control. 

Also responds to 

random variations 

in traffic flow 

The agency should also match the system's sophistication to the staff's anticipated ability 

to operate and maintain it. Similarly, to assure system success, the agency must 

demonstrate its commitment to ongoing staffing and maintenance costs. As described in 

Federal regulations (see chapter 11), the availability of funds to procure traffic control 

systems must also include a similar commitment to provide adequate resources for 

operation and maintenance. 

Chapter 11 provides a more detailed discussion of a suggested system selection process 

that uses an effectiveness-analysis approach. The chapter also describes a utility / cost 

analysis approach. 

2.5 Available Technology 

Available control system technology has progressed to the point where current hardware 

and software capabilities provide the designer with a wide range of control concepts. The 

transportation engineer or control system designer now has a large array of hardware and 

software options from which to choose in defining alternative control systems. The 

challenge is to use them effectively in achieving improved on-street traffic performance. 

Hardware 

Subsequent chapters in this Handbook describe in-depth the various hardware elements 

of a control system. Components and subsystems include: detectors, local controllers, 

changeable message signs, CCTV, operator displays, central computers and field masters. 

2-11
Software 

Chapters 3, 4, and 8 describe software used in traffic control systems. This includes realtime control software, optimization software and simulation software. 

Real-Time Control software developed for local controllers allows the controller to 

function as a signal switching unit by: 

• Receiving detector inputs, 

• Processing status data, 

• Computing timing, and 

• Driving signal lamp load switches. 

Manufacturers of standard NEMA controller units provide such software (or firmware) as 

a part of the device. By contrast, both manufacturers and users have developed software 

for the Model 170, Model 2070 and advanced transportation controllers. 

Many conventional traffic systems feature the UTCS First Generation (1-GC) signature 

matching algorithm for real-time traffic-responsive control. Unlike earlier UTCS, these 

contemporary systems usually store signal timing plans at the intersection and select a 

plan based on detector data patterns. An alternative strategy selects the cycle, split and 

offset individually based on detector data for each of these parameters. Conventional 

systems often feature the ability to update timing plan databases from signal timing 

programs with a minimum of manual operation. 

Traffic adjusted systems are being installed in increasing numbers. Chapters 3 and 8 

describe both conventional systems and traffic adjusted systems. 

Chapter 3 describes the use of offline timing plan development programs. These include 

TRANSYT 7F, the PASSER family, SYNCHRO and aaSIDRA. 

2.6 A Look to the Future 

Current research as well as emerging trends are likely to lead to the following areas for 

changes in traffic systems in coming years. 

Hardware in the Loop 

Recent research (8,9) has resulted in the development of systems that enable traffic 

controller equipment to be tested under simulated traffic conditions. Figure 2-2 provides 

an example of the implementation of this concept. A microscopic simulation program 

such as CORSIM is interfaced to a physical traffic controller by a controller interface 

2-12
device (CID). A software link in the form of a dynamic link library (d11) transfers 

information between the computer on which the simulation is running to the CID. A 

network of traffic controllers may be interfaced to the simulation in this way. 

Traffic 

Simulation 

Program

e.g CORSIM

Interface 

dll

Controller 

Interface 

Device

(CID)

Traffic 

Controller

Detector 

calls

Phase 

status

Figure 2-2 Hardware in the loop configuration. 

This technique provides the capability to: 

• Achieve a high level of fine-tuning after controller settings prior to 

implementing the settings in the field. 

• Prove out controller software. 

• Study the performance of new or modified traffic control algorithms. 

Non-Pavement Invasive Traffic Detectors 

These detectors generally have a number of desirable operational features including low 

maintenance cost, ease of maintenance, ability to more easily change detected locations, 

and a variety of traffic data preprocessing capabilities. Nevertheless, their accuracy for 

detection of traffic responsive control parameters has generally not yet approached that of 

inductive loop detectors. It is anticipated that continued development of these devices 

will result in performance improvement in this regard. 

2-13
Support of Emergencies and Evacuations 

Regional architectures increasingly require the interchange of data and video between 

traffic management centers and other agencies responsible for emergency operations. 

Traffic control equipment capability such as the ability to change timing plans to support 

emergencies, to make CCTV images available, and to communicate with motorists 

provides an increasingly useful tool to support emergency operations. 

Advanced Transportation Controller 

With the recent development of standards, the Advanced Transportation Controller 

(ATC) will assume traffic signal control functions as well as other transportation system 

control and management functions. The ATC is an open architecture platform. By 

employing an applications programming interface (API), the same applications software 

may be implemented in ATC controllers with different processors and operating systems. 

ATC will provide the capability to migrate control software into controllers using 

different microprocessors and operating systems. This will enable operating agencies to 

employ different controller models interchangeably, while still achieving the same 

performance capability with each unit. This will facilitate maintenance by avoiding the 

issue of equipment obsolescence and discontinuance of support by controller and 

component suppliers. 

Advanced Signal State Transition Logic 

The objective of this research program (NCHRP Project 3-66) is to make use of the 

ability of advanced traffic sensors to develop additional traffic state information that 

might be used to improve the control of traffic signal states. 

Improved Transit Priority Systems 

The increased use by transit vehicles of advanced equipment such as on board processors, 

terminals for drivers, GPS equipment, passenger counters and door position monitors in 

conjunction with computer aided dispatch systems enables the development of signal 

priority strategies for transit vehicles. 

2-14
2-15

2 References 

1. Gordon, R.L., R.A. Reiss, H. Haenel, E.R. Case, R.L. French, A. Mohaddes, and 

R. Wolcott. “Traffic Control Systems Handbook.” Dunn Engineering Associates, 

Federal Highway Administration Report No. FHWA-SA-95-032, Washington, 

DC, February 1996. 

2. “The National ITS Architecture, Version 5.0.” Federal Highway Administration, 

2003. 

3. “Transportation Management Center Concepts of Operation, Implementation 

Guide.” Federal Highway Administration, December 1999. 

4. “Urban Transportation Planning.” Federal Register. Vol. 46, pp. 5702-5719, 

1981. 

5. Roark, J.J. “Experiences in Transportation System Management.” National 

Cooperative Research Program Synthesis of Highway Practice 81. Transportation 

Research Board, Washington, DC, November 1981. 

6. Wagner, Frederick A. “Energy Impacts of Urban Transportation Improvements.” 

Institute of Transportation Engineers, Washington, DC, August 1980. 

7. “Assessment of Advanced Technologies for Relieving Urban Traffic 

Congestion.” National Cooperative Highway Research Program Report 340.

Transportation Research Board, Washington, DC, 1991. 

8. Bullock, D. and A. Catarella. “Real-Time Simulation Environment for Evaluating 

Traffic Signal Systems.” Transportation Research Record 1634. pp. 130-135, 

1998. 

9. Engelbrecht, R., C. Poe, and K. Balke. “Development of a Distributed Hardwarein-the-Loop Simulation System for Transportation Networks.” Proceedings of the 

78th Annual Conference of the Transportation Research Board. Washington, DC, 

1999. 
CHAPTER 3 

CONTROL CONCEPTS – URBAN AND SUBURBAN STREETS 

Table of Contents 

Section .................................................................................................................................................... Page 

3.1 Introduction................................................................................................................................. 3-3

3.2 Control Variables........................................................................................................................ 3-4

3.3 Sampling ...................................................................................................................................... 3-9

3.4 Filtering and Smoothing ............................................................................................................. 3-9

3.5 Traffic Signal Timing Parameters ........................................................................................... 3-15

3.6 Traffic Signal Phasing............................................................................................................... 3-15

Phasing Options .......................................................................................................................... 3-16

 Left-Turn Phasing......................................................................................................... 3-16

 Phase Sequencing ......................................................................................................... 3-18

3.7 Isolated Intersections ................................................................................................................ 3-18

Traffic Flow ................................................................................................................................ 3-20

Types of Control ......................................................................................................................... 3-21

Intersection Timing Requirements .............................................................................................. 3-21

 Pretimed Controller....................................................................................................... 3-21

 Traffic-Actuated Control .............................................................................................. 3-21

Timing Considerations................................................................................................................ 3-28

 Cycle Length and Split Settings.................................................................................... 3-28

 Intersection Delay ......................................................................................................... 3-31

 Critical Lane Groups..................................................................................................... 3-32

 Traffic-Actuated Control .............................................................................................. 3-33

 Other Considerations .................................................................................................... 3-33

3.8 Arterial and Network Control ................................................................................................. 3-34

Basic Considerations................................................................................................................... 3-34

 Information from Prior Research and Experience......................................................... 3-38

 Simulation..................................................................................................................... 3-39

Time-Space Diagram .................................................................................................................. 3-40

Timing Plan Elements ................................................................................................................. 3-40

Traffic Flow Variations............................................................................................................... 3-40

Timing Plan Development .......................................................................................................... 3-43

 Manual Techniques....................................................................................................... 3-43

 Offline Computer Techniques....................................................................................... 3-45

 Considerations for Closed Networks ............................................................................ 3-47

 Need for Signal Retiming ............................................................................................. 3-47

Determination of Central System Control Category ................................................................... 3-49

Online Network Traffic Control Techniques .............................................................................. 3-53

 UTCS Control............................................................................................................... 3-54

 Control Algorithms for Closed Loop Systems.............................................................. 3-56

 Traffic Responsive Control Systems............................................................................. 3-56

 Traffic Adaptive Control Systems ................................................................................ 3-62

Saturated Flow Conditions.......................................................................................................... 3-65

 Regulatory Approaches................................................................................................. 3-69

3-1
 Congestion Pricing Approaches.................................................................................... 3-69

Network Simulation .................................................................................................................... 3-69

 CORSIM....................................................................................................................... 3-71

 SimTraffic..................................................................................................................... 3-72

 Paramics........................................................................................................................ 3-72

 VISSIM......................................................................................................................... 3-73

3.9 Special Controls......................................................................................................................... 3-74

Closely Spaced Intersections....................................................................................................... 3-74

Directional Controls and Lane Control Signals........................................................................... 3-79

Preemption Systems .................................................................................................................... 3-81

Priority Systems .......................................................................................................................... 3-83

Changeable Lane Assignment Systems....................................................................................... 3-85

3.10 Benefits ...................................................................................................................................... 3-85

Fuel Consumption ....................................................................................................................... 3-85

Vehicle Emissions....................................................................................................................... 3-86

Estimating Highway User Costs ................................................................................................. 3-87

Impacts of Traffic Signal System Improvement ......................................................................... 3-93

 Project Level Impacts ................................................................................................... 3-93

 Network Impacts........................................................................................................... 3-94

Cost-Effectiveness Comparisons................................................................................................. 3-96

3.11 Measures of Effectiveness......................................................................................................... 3-97

References .............................................................................................................................................. 3-105

3-2
CHAPTER 3 

CONTROL CONCEPTS – URBAN AND SUBURBAN STREETS 

Figure 3-1 Time-space diagram display from Synchro 4. 

3.1 Introduction 

This chapter discusses traffic control concepts for urban and suburban streets. In 

planning and designing a traffic signal control system, one must first understand the 

applicable operational concepts related to signalized intersection control and signalrelated special control. 

Signalized intersection control concepts include: 

• Isolated intersection control – controls traffic without considering adjacent 

signalized intersections. 

• Interchange and closely spaced intersection control – provides progressive 

traffic flow through two closely spaced intersections, such as interchanges. 

Control is typically done with a single traffic controller. 

3-3
• Arterial intersection control (open network) – provides progressive traffic 

flow along the arterial. This is accomplished by coordination of the traffic 

signals. 

• Closed network control – coordinates a group of adjacent signalized 

intersections. 

• Areawide system control – treats all or a major portion of signals in a city (or 

metropolitan area) as a total system. Isolated, open- or closed-network 

concepts may control individual signals within this area. 

Signal-related special control concepts include: 

• High occupancy vehicle (HOV) priority systems. 

• Preemption – Signal preemption for emergency vehicles, railroads, and 

drawbridges. 

• Priority Systems – Traffic signal control strategies that assign priority for the 

movement of transit vehicles. 

• Directional controls – Special controls designed to permit unbalanced lane 

flow on surface streets and changeable lane controls. 

• Television monitoring. 

• Overheight vehicle control systems. 

A number of commonly used proprietary traffic systems and simulations are discussed in 

this chapter. These discussions provide illustrations of the technology and are not 

intended as recommendations. As these and similar products continue to be improved, 

the reader is advised to contact the supplier for the latest capabilities of these products. 

3.2 Control Variables 

Control variables measure, or estimate, certain characteristic of the traffic conditions. 

They are used to select and evaluate on-line control strategies and to provide data for the 

off-line timing of traffic signals. Control variables commonly used for street control 

include: 

• Vehicle presence, 

• Flow rate (volume), 

• Occupancy and density, 

3-4
• Speed, 

• Headway, and 

• Queue length. 

Generally, presence detectors (refer to Chapter 6) sense these traffic variables. Table 3-1 

describes the verbal and mathematical definition of these variables. 

In addition, certain environmental factors influence traffic performance. Environmental 

conditions include: 

• Pavement surface conditions (wet or icy), 

• Weather conditions (rain, snow or fog). 

Table 3-1 Control variable definitions. 

Variable Definition Equation 

Vehicle 

Presence 

Presence (or absence) of a 

vehicle at a point on the roadway 

N/A 

Flow Rate 

(Volume) 

Number of vehicles passing a 

point on the roadway during a 

specified time period 

Q = N/T (3.1) 

Q = Vehicles/hour passing over detector 

N = Number of vehicles counted by detector during 

time period, T 

T = Specified time period, in hours 

Occupancy Percent of time that a point on 

the roadway is occupied by a 

vehicle 

∑=

= −

N

i

i Dt

TL 1

)( 100 θ

 

Where: 

θ = Raw occupancy, in percent 

T = Specified time period, in seconds 

ti = Measured detector pulse presence, in seconds 

N = Number of vehicles detected in the time period, T 

D = Detector drop out time – detector pickup time 

Speed Distance traveled by a vehicle 

per unit time 

Either one or two detectors can measure speed (see 

Figure 3-2). 

)(280,5

106.3

01

6

tt

dx V − =

 

(3.3) 

(3.2) 

3-5
Table 3-1 Control variable definitions (continued). 

Variable Definition Equation 

Speed 

(Continued) 

Where: 

One Detector (passage time) 

V = Speed, in mi/hr 

d = Mean vehicle length plus effective 

loop length, in ft 

t0 = Time when detector turns on, in 

millisec(ms) 

t1 = Time when detector turns off, in ms 

Two Detector (speed trap) 

d = Distance between detectors, in ft 

t0 = Time upstream detectors turns on, in ms 

t1 = Time downstream detector turns 

on, in ms 

Traffic control systems commonly use this equation, 

which assumes a vehicle moves at constant velocity 

through the two-detector speed trap. Speed traps are 

more commonly used for freeway surveillance. 

The vehicle length, Lv, in ft may be determined from 

a speed-trap measurement as follows: 

[ ] ( )( ) ⎟

⎠

⎞ ⎜

⎝

⎛ ⎟ −+− ⎠⎞ ⎜

⎝

⎛ = 0111 0212 6 106.3

280,5

2

1

x

V v ttttL 

(3.4) 

Where: 

V = Speed determined from the speed-trap 

calculation, in mi/hr 

toi = Time when ith detector of speed-trap turns on, in 

milliseconds 

t1i = Time when ith detector of speed-trap turns off, in 

milliseconds 

An alternative method shown in equation 3.5 can 

compute the average speed over a cycle T from 

volume and occupancy (1) 

θ

Q = CV 

Where C is a calibration coefficient best obtained 

experimentally 

(3.5) 

3-6
Table 3-1 Control variable definitions (continued). 

Variable Definition Equation 

Density Number of vehicles per lane mi 

(km) = sUKQ (3.6) 

Where: 

Q = Volume of traffic flow, in v/hr 

K = Density of traffic flow, in v/mi 

sU = Space-mean speed, in mi/hr 

While density is an important quantity in traffic flow 

theory, most traffic control systems do not use this 

parameter directly for implementing flow control. 

Density (K) may be directly computed from count 

and speed measurements by equation 3.7. 

∑= ⎟

⎟

⎠

⎞

⎜

⎜

⎝

⎛ ⎟

⎠

⎞ ⎜

⎝

⎛ =

N

i VT i

K

1

11

 

Where: 

N = The number of vehicles detected during time, T 

Vi = Speed of vehicle i crossing a detector in a lane 

K = Density of detectorized lane 

Headway Time spacing between front of 

successive vehicles, usually in 

one lane of a roadway 

Time difference between beginning of successive 

vehicle detections (see Figure 3-3) 

Queue Length Number of vehicles stopped in a 

lane behind the stopline at a 

traffic signal 

N/A 

(3.7) 

3-7
 

Figure 3-2 Speed measurements using presence detectors. 

Figure 3-3 Headway determination. 

1 2 

Speed = K * 

(Effective vehicle length + Detector Length)

(Time of Pulse Termination) – (Time of Start of Pulse)

Reference Equation 3.3 

(A) Passage time method 

D

1)(Detector 2)(Detector 

Pulse) ofStart of (Time Pulse) ofStart of (Time Speed − = D

Reference Equation 3.3 

(B) Speed trap method 

3-8
3.3 Sampling 

A microprocessor at the field site usually samples presence detectors to establish the 

detector state, thus replicating the detector pulse. The finite time between samples 

generates an error in the pulse duration that leads to errors in speed (most noticeable) and 

occupancy. 

Equation 3.8 represents the maximum percentage error for any vehicle: 

% E = 100S

 T-S (3.8) 

Where: 

% E = Percent error in occupancy 

S = Inverse of the sampling rate, seconds per sample 

T = Presence time for a vehicle with an average length at a given speed. 

Based on its statistical distribution, the standard deviation of the percentage error 

becomes: 

T

S ESD 6

% =100

 Averaging data over a period of time reduces this error. Most modern traffic control 

systems provide a sufficiently small value of S so that the sampling error is negligible. 

3.4 Filtering and Smoothing 

Traffic data, may be viewed as consisting of two distinct components, nonrandom and 

random. These components are described in Table 3-2 (2). 

Table 3-2 Traffic data components. 

Component Characteristic Source 

Nonrandom Deterministic • Changes in basic service demand 

• Ability of intersection to service 

demand 

Random Varies about deterministic 

component 

Characterized by a Poisson or 

other probability distribution 

• Nondeterministic changes in value 

from cycle to cycle 

(3.9) 

3-9
Figure 3-4 (a) shows a typical 30-minute sample of detector volume data obtained during 

a period when the deterministic component remained essentially constant. Figure 3-4 (b) 

shows the occupancy data for that period during which the signal system operated with a 

1-minute cycle and without smoothing (to be discussed later). Thus, the volumes 

represent actual counts sensed by the detector. 

Figure 3-5 shows a typical example of a deterministic component representing an A.M. 

peak period condition (2). In many conventional traffic control systems, the trafficresponsive control law should respond quickly and accurately to the deterministic data 

components. Because both the deterministic and random components appear together in 

the detector data, this objective can only be accomplished imperfectly. A first order data 

filter often provides data smoothing to suppress the random component. The smoothing 

equation that performs this function is: 

−+−= mxmxKmxmx − ))1()(()1()( (3.10) 

Where: 

mx )( = Filter output after the mth computation 

x(m) = Filter input data value (average value of variable between m-1 and m 

instants) 

K = Filter coefficient in the range 0 to 1.0; (K=1 represents no filtering) 

Figure 3-6 shows the smoothing effect of the filter on the traffic data of Figure 3-4 (a) 

when processed by Equation 3.10 with various values for K (2). 

Although the filter reduces the effect of the random component, it develops an error in 

the faithful reproduction of the deterministic component when that component is 

changing. 

Figure 3-7 (a) shows the lag in the filter output. Figure 3-7 (b) shows the magnitude of 

this error for the input data of Figure 3-5. 

Gordon describes a technique for identifying the appropriate coefficient by determining 

the coefficient which equates the errors developed by both components (2). 

3-10
(a). Volume. 

(b). Occupancy. 

Figure 3-4 Deterministic and random components when demand is constant. 

3-11
Figure 3-5 Deterministic component of volume during A.M. peak period. 

3-12
Figure 3-6 Effect of variation in smoothing coefficient on random 

component. 

3-13
(a). Filter response to deterministic component. 

(b). Deterministic error at filter output. 

Figure 3-7 Filter response and output to deterministic component and error. 

3-14
3.5 Traffic Signal Timing Parameters 

Table 3-3 provides definitions of the fundamental signal timing variables. 

Table 3-3 Signal timing variable definitions. 

Variable Definition 

Cycle Length The time required for one complete sequence of signal intervals 

(phases). 

Phase The portion of a signal cycle allocated to any single combination 

of one or more traffic movements simultaneously receiving the 

right-of-way during one or more intervals. 

Interval A discrete portion of the signal cycle during which the signal 

indications (pedestrian or vehicle) remain unchanged. 

Split The percentage of a cycle length allocated to each of the various 

phases in a signal cycle. 

Offset The time relationship, expressed in seconds or percent of cycle 

length, determined by the difference between a defined point in 

the coordinated green and a system reference point. 

3.6 Traffic Signal Phasing 

Phasing reduces conflicts between traffic movements at signalized intersections. A phase 

may involve: 

• One or more vehicular movements, 

• One or more pedestrian crossing movements, or 

• A combination of vehicular and pedestrian movements. 

The National Electrical Manufacturers Association (NEMA) has adopted and published 

precise nomenclature for defining the various signal phases to eliminate 

misunderstanding between manufacturers and purchasers (95). Figure 3-8 illustrates the 

assignment of right-of-way to phases by NEMA phase numbering standards and the 

common graphic techniques for representing phase movements. In this figure, the signal 

cycle consists of 2 primary phase combinations (Phases 2 + 6 and Phases 4 + 8), which 

provide partial conflict elimination. This arrangement separates major crossing 

movements, but allows left-turn movements to conflict. This may prove acceptable if 

left-turn movements remain light; but if heavy, these movements may also require 

separation. Figure 3-9 illustrates a 4-phase sequence separating all vehicular conflicts. 

Section 7.7 more fully discusses the NEMA phase designations. 

3-15
Figure 3-8 Two-phase signal 

sequence. 

Figure 3-9 Four-phase signal 

sequence. 

Phasing Options 

Left-Turn Phasing 

As suggested by the previous discussion, phasing becomes primarily a left-turn issue. As 

left-turns and opposing through volumes increase, the engineer should consider left-turn 

phasing. Figure 3-10 identifies left-turn phasing options. 

The most common practice allows opposing left-turns to move simultaneously as 

concurrently timed phases. 

3-16
Figure 3-10 Dual-ring left-turn phasing options. 

Holding the number of phases to a minimum generally improves operations. As the 

number of phases increases, cycle lengths and delays generally increase to provide 

sufficient green time to each phase. The goals of improving safety (by adding left-turn 

phases) and operations at a signalized intersection may conflict, particularly with 

pretimed control. 

Table 3-4 shows advantages and disadvantages of other options for left-turn phasing. 

Although the Manual on Uniform Traffic Control Devices (MUTCD) (3) does not 

provide warrants for left-turn phasing, several States and local agencies have developed 

their own guidelines. The Manual of Traffic Signal Design and the Traffic Control 

Devices Handbook summarize representative examples of these guidelines (4, 5). 

Reference 6 provides a set of guidelines for left-turn protection. The report provides 

guidance on: 

• Justification of protected left-turn phasing, 

• Type of left-turn protection, and 

3-17
• Sequencing of left-turns. 

Table 3-4 Additional left-turn phasing options. 

Option Advantage Disadvantage 

Use traffic actuated 

instead of pretimed leftturn phase 

Gives unused left-turn 

phase time to related 

through traffic movement 

Requires additional 

detectors 

Provide protected / 

permissive left-turn 

movement 

Reduces delay and queuing High speeds, blind or 

multilane approaches or 

other circumstances may 

preclude this technique 

Change left-turn phase 

sequences with timing 

plan changes 

Improves progression Motorists may not expect 

changed phase sequences 

Phase Sequencing 

Operational efficiency at a signalized intersection, whether isolated or coordinated, 

depends largely on signal phasing versatility. Variable-sequence phasing or skip-phase 

capability proves particularly important to multiphase intersections where the number of 

change intervals and start-up delay associated with each phase can reduce efficiency 

considerably. Each set of stored timing plans has a distinct phase sequence. 

Full-actuated traffic control illustrates variable-sequence phasing. In the upper part of 

Figure 3-11, all approach lanes have detectors. Using these detectors, actuated control 

skips phases with no traffic present and terminates certain movements when their traffic 

moves into the intersection. This capability produces a variation in the phasing sequence. 

The lower part of Figure 3-11 illustrates primary phasing options for a full-actuated 

intersection. The phasing options selected may be changed with the signal timing plan. 

3.7 Isolated Intersections 

The major considerations in the operation of an isolated intersection are: 

• Safe and orderly traffic movement, 

• Vehicle delay, and 

• Intersection capacity. 

Vehicle delay results from: 

• Stopped time delay (time waiting during red), and 

3-18
• Total delay (stopped time delay plus stop and start-up delay). 

Figure 3-11 Primary phasing options for 8-phase dual-ring control (left-turn first). 

Ideally, the objectives of minimizing total delay will: 

• Maximize intersection capacity, and 

• Reduce the potential for accident-producing conflicts. 

However, these two objectives may not prove compatible. For example, using as few 

phases as possible and the shortest practical cycle length lessens delay. However, 

3-19
reducing accidents may require multiple phases and longer cycles, as well as placement 

of approach detectors to eliminate effects of a possible dilemma zone (see section 6.3). 

This placement may not be the optimum choice to reduce delays. Therefore, it is 

necessary to apply sound engineering judgment to achieve the best possible compromise 

among these objectives. 

Traffic Flow 

Flow characteristics of traffic are fundamental in analyzing intersection delay or capacity. 

Vehicles occupy space and, for safety, require space between them. With vehicles 

moving continuously in a single lane, the number of vehicles passing a given point over 

time will depend on the average headway. For example, for an average headway of 2 

seconds, a volume of 1800 v/hr (3600 sec/hr x 1 v/2 sec) results. 

Two factors influence capacity at a signalized intersection: 

• Conflicts occur when two vehicles attempt to occupy the same space at the 

same time. This requires allocation of right-of-way to one line of vehicles 

while the other line waits. 

• The interruption of flow for the assignment of right-of-way introduces 

additional delay. Vehicles slow down to stop and are also delayed when again 

permitted to proceed. 

These factors (interruption of flow, stopping, and starting delay) reduce capacity and 

increase delay at a signalized intersection as compared to free-flow operations. Vehicles 

that arrive during a red interval must stop and wait for a green indication and then start 

and proceed through the intersection. The delay as vehicles start moving is followed by a 

period of relatively constant flow. 

 

Table 3-5 presents data on typical vehicle headways (time spacing) at a signalized 

intersection as reported by Greenshields (7). These data illustrate basic concepts of 

intersection delay and capacity. 

Table 3-5 Vehicle headway data. 

Position in Line Observed Time 

Spacing (Sec) 

Time Spacing at 

Constant Flow (Sec) 

Added Startup Time 

(Sec) 

1 3.8 2.1 1.7 

2 3.1 2.1 1.0 

3 2.7 2.1 0.6 

4 2.4 2.1 0.3 

5 2.2 2.1 0.1 

6 and over 2.1 2.1 0.0 

Source: Reference 7 

3-20
Types of Control 

Traffic signal control for isolated intersections falls into two basic categories: 

• Pretimed, and 

• Semi- and fully traffic actuated. 

Each type offers varying performance and cost characteristics depending on the 

installation and prevailing traffic conditions. 

Chang (8) provides guidelines and information to aid the engineer in selecting the 

appropriate type of signal control as shown in Figure 3-12. As shown in Tables 3-6 and 

3-7, Skabardonis (17) also provides guidelines. Figure 3-13 shows possible arrangements 

for inductive loop detectors for actuated approaches and Figure 3-14 shows an example 

of actuated phase design. 

Intersection Timing Requirements 

Pretimed Controller 

For pretimed control at isolated intersections, the engineer must determine: 

• Cycle length, 

• Phase lengths or cycle split (green interval plus yellow change interval), and 

• Number and sequence of phases. 

Traffic-Actuated Control 

Traffic detectors on an actuated approach working in conjunction with timing values for 

each of the phases (see Table 3-8) determine the phase length. 

3-21
Figure 3-12 Recommended selection guidelines. 

3-22
Table 3-6 Proposed signal control at specific intersections along arterials. 

Arterial Volume/Cross Street Volume 

Cross Street Traffic 

V/C 

Turning Movements* 

< 1.3 > 1.3 

Low to Moderate < 20 Percent Actuated (1) Actuated (2) 

V/C < 0.8 

> 20 Percent Actuated (2) Actuated 

High < 20 Percent Pretimed Pretimed 

V/C > 0.8 

> 20 Percent Pretimed Pretimed 

* Percent of Arterial Through Traffic. 

Notes: 

1. Pretimed control at intersection with balanced volumes and high turning traffic from the cross 

street without exclusive lanes. 

2. Pretimed operation if the early start of the green leads to additional stops and delay at the 

downstream signal. Also, boundary intersections may operate as pretimed if they are critical to 

the arterial’s time-space diagram and define the leading edge of the green bandwidth. 

Table 3-7 Proposed signal control at specific intersections in grid systems. 

Network Intersection Number of Phases 

Configuration V/C 

2 4 8 

Crossing < 0.80 Pretimed Actuated (1) Actuated (1) 

Arterials > 0.80 Pretimed Pretimed (2) Pretimed (2) 

Dense Network < 0.80 Fully Actuated (3) Actuated Fully Actuated 

> 0.80 Pretimed Actuated Fully Actuated 

Notes: 

1. The through phases may operate as pretimed if the volumes on each arterial are approximately 

equal, or semi-actuated operated leads to additional stops at the downstream signal(s). 

2. Left turn phases at critical intersections may operate as actuated. Any spare green time from the 

actuated phases can be used by the through phases. 

3. Intersections that require a much lower cycle than the system cycle length and are located at the 

edge of the network where the progression would not be influenced. 

3-23
Figure 3-13 Traffic detection on intersection approach. 

3-24
3-25

Figure 3-14 Example of actuated phase intervals. 
Table 3-8 Interval settings. 

 Interval Requirement Calculation / Oper

Basic (no Volume-Density Feature): • Service number of cars potentially stored between 

detector and stopline or the number normally stopped if a single detector is located a significant distance from the stopline 

• Remains constant 

Point detection: Compute minimum green interval times distances assuming: • Start-up delay of 4 seconds • Average headway between discharging v• Minimum green time at least (4 + 2 N), 

between detector and stopline 

Compute N assuming an average vehicle leng

For detectors located approximately 120 fstopline, minimum green may equal 14 secominimum green time reduces ability to respoTherefore, consider 120 ft (36.6 m) as upplacement and at speeds of 35 mi/hr (56.3 km

Where pedestrians cross and no separate pexist, (e.g., WALK-DON’T WALK), minimadequate pedestrian crossing time. Long loop presence detection (or a series of Set initial interval close to zero when the detIf the loop ends at some distance from the 

determine initial interval with point detectiodiscussion of vehicle detector placement speed. 

Minimum Green 

Traffic-Actuated (Volume-Density Feature): Initial interval based on number of vehicle actuations stored while other phases serviced 

When there are serviceable calls on opposvehicles cross the detector, terminate phase green time. Where pedestrians cross and nindications exist, (e.g., WALK-DON’T Wshould ensure adequate pedestrian crossing ti

Table 3-8 Interval settings (continued). 
 Interval Requirement Calculation / OperPassage Time(Vehicle interval, extension interval, or unit extension) 

Time required by a vehicle to travel from detector to intersection. With a call waiting on an opposing phase, represents the maximum time gap between vehicle actuations that can occur without losing the green indication. As long as the time between vehicle actuations remains shorter than the vehicle interval (or a present minimum gap), green will be retained on that phase subject to maximum interval. 

Once the passage time interval timing is initis detected, present vehicle interval timing interval timing initiated. This process is vehicle detection until: • Gap-out occurs (the gap between detecti

interval or a present minimum gap). 

• Max-out occurs (the interval timing rea

pedestrian or a vehicle call has been place

In either of these two cases, the timing oinitiated and the phase terminated. If the vehtimed out (because of the maximum overridand the timing will return to this phase at the illistrates the situation where: • Successive actuations occurred. • Gaps shorter than passage time interval. • Preset maximum green interval reached. Long loop presence detection: Set passage time interval close to zero continuously extends the green as long as lcritical time gap is time required for a vehicthe loop length plus the vehicle length. Fothem as a long loop, provided that the distathe vehicle length; otherwise, use a short vequivalent effect of a single long loop. 

Maximum Green(Total green time or vehicle extension limit) 

Maximum length of time a phase can hold green in presence of conflicting call 

Reference 9 provides detailed guidance. 
3-28

Timing Considerations 

Cycle Length and Split Settings 

HCM 2000 (10) provides a detailed description of computational procedures for cycle 

and split settings. The following discussion summarizes some of the key items in the 

HCM. 

Figure 3-15 depicts the traffic signal cycle, and Figure 3-16 provides definitions for this 

figure. Equation 3.11 provides an estimate of lost time (tL for each signal phase. A value 

of 4 seconds is suggested unless local measurements provide a more accurate value. 

 tL = l1 + l2 = l1 + Yi – e (3.11) 

Effective phase green time (gi) = Gi + Yi - tL (3.12) 

HCM 2000 provides worksheets that facilitate the estimation of critical lane volume 

VCL. 

Following the selection of a phasing plan, critical volumes (CV) are established for each 

phase. These are then used to calculate the cycle as follows. 

A cycle length that will accommodate the observed flow rates with a degree of saturation 

of 1.0 is computed by Equation A10-1 in HCM 2000 and shown in equation 3.13 below. 

If the cycle length is known, that value should be used. 

 ⎥

⎦

⎤ ⎢

⎣

⎡ −

=

RS

RSCS

L C

),min( 1

 

(3.13) 

 

 where: 

 C = cycle length (s), 

 L = total lost time (s), 

 CS = critical sum (veh/h), flow rate 

 RS = reference sum flow rate (1,710 * PHF * fa) (veh/h), 

 PHF = peak-hour factor, and 

 fa = area type adjustment factor (0.90 if CBD, 1.00 otherwise). 

RS is the reference sum of phase flow rates representing the theoretical maximum value 

that the intersection could accommodate at an infinite cycle length. The recommended 

value for the reference sum, RS, is computed as an adjusted saturation flow rate. The 
3-29

Figure 3-15 Fundamental attributes of flow at signalized intersections.
3-30

Name Symbol Definition Unit 

Change and clearance 

interval 

Yi The yellow plus all-red interval that occurs between 

phases of a traffic signal to provide for clearance of the 

intersection before conflicting movements are released 

S 

Clearance lost time l2 The time between signal phases during which an 

intersection is not used by any traffic 

S 

Control delay di The component of delay that results when a control signal 

causes a lane group to reduce sped or to stop; it is 

measured by comparison with the uncontrolled condition 

S 

Cycle A complete sequence of signal indications 

Cycle length Ci The total time for a signal to complete one cycle length S 

Effective green time gi The time during which a given traffic movement or set of 

movements may proceed; it is equal to the cycle length 

minus the effective red time 

S 

Effective red time ri The time during which a given traffic movement or set of 

movements is directed to stop; it is equal to the cycle 

length minus the effective green time 

S 

Extension of effective 

green time 

e The amount of the change and clearance interval, at the 

end of the phase for a lane group, that is usable for 

movement of its vehicles 

S 

Green time Gi The duration of the green indication for a given movement 

at a signalized intersection 

S 

Interval A period of time in which all traffic signal indications remain 

constant 

Lost time tL The time during which an intersection is not used 

effectively by any movement; it is the sum of clearance lost 

time plus start-up lost time 

S 

Phase The part of the signal cycle allocated to any combination of 

traffic movements receiving the right-of-way 

simultaneously during one or more intervals 

Red time Ri The period in the signal cycle during which, for a given 

phase or lane group, the signal is red 

S 

Saturation flow rate si The equivalent hourly rate at which previously queued 

vehicles can traverse an intersection approach under 

prevailing conditions, assuming that the green signal is 

available at all times and no lost times are experienced 

veh/h 

Start-up lost time l1 The additional time consumed by the first few vehicles in a 

queue at a signalized intersection above and beyond the 

saturation headway, because of the need to react to the 

initiation of the green phase and to accelerate 

S 

Total lost time L The total lost time per cycle during which the intersection is 

effectively not used by any movement, which occurs during 

the change and clearance intervals and at the beginning of 

most phases. 

S 

Figure 3-16 Symbols, definitions, and units for fundamental variables of 

traffic flow at signalized intersections. 

value of 1,710 is about 90 percent of the base saturation flow rate of 1,900 pc/h/ln. The 

objective is to produce a 90 percent v/c ratio for all critical movements.

The CS volume is the sum of the critical phase volume for each street. The critical phase 

volumes are identified in the quick estimation control delay and LOS worksheet on the 

basis of the phasing plan selected from Exhibit A10-8 in HCM 2000. 
3-31

The cycle length determined from this equation should be checked against reasonable 

minimum and maximum values. The cycle length must not exceed a maximum allowable 

value set by the local jurisdiction (such as 150 s), and it must be long enough to serve 

pedestrians. 

The ability to service traffic demand may be increased, up to a point, by increasing the 

cycle length. It is seen from Equation 3.13 that increasing the critical sum flow relative 

to the reference sum flow requires a higher cycle length to service the demand. Figure 3-

17 shows the required cycle length for a two phase intersection (Lost time = 8 seconds). 

The total cycle time is divided among the conflicting phases in the phase plan on the 

basis of the principle of equalizing the degree of saturation for the critical movements. 

The lost time per cycle must be subtracted from total cycle time to determine the 

effective green time per cycle, which must then be apportioned among all phases. This is 

based on the proportion of the critical phase flow rate sum for each phase determined in a 

previous step (10). The effective green time, g, (including change and clearance time) for 

each phase can be computed using Equation 3.14 

 g = (C-L)(CV/CS) where CV is the critical lane volume (3.14) 

Intersection Delay 

The values derived from the delay calculations represent the average control delay 

experienced by all vehicles that arrive in the analysis period, including delays incurred 

beyond the analysis period when the lane group is oversaturated. Control delay includes 

movements at slower speeds and stops on intersection approaches as vehicles move up in 

queue position or slow down upstream of an intersection (10). 

The average control delay per vehicle for a given lane group is given by Equation 15-1 in 

HCM 2000 as 

 d = d1(PF) = d2 + d3 (3.15) 

where: 

d = control delay per vehicle (s/veh); 

d1 = uniform control delay assuming uniform arrivals (s/veh); 

PF = uniform delay progression adjustment factor, which accounts for effects of 

signal progression; 

d2 = incremental delay to account for effect of random arrivals and 

oversaturation queues, adjusted for duration of analysis period and type of 

signal control; this delay component assumes that there is no initial queue 

for lane group at start of analysis period (s/veh); and 

d3 = initial queue delay, which accounts for delay to all vehicles in analysis 

period due to initial queue at start of analysis period (s/veh) 
3-32

0.8

0.85

0.9

0.95

0 40 80 120 160

Cycle Length (Seconds)

RS / CS

Figure 3-17 Cycle length vs. demand for two phase signal. 

Details for the estimation of d1, PF, d2 and d3 are provided in HCM 2000. 

Critical Lane Groups 

HCM 2000 uses the concept of critical lane groups. A critical lane group is the lane 

group that has the highest flow ratio (ratio of volume to saturation flow) for the phase. 

The critical lane group determines the green time requirements for the phase. 

Critical lane groups are used to identify a number of parameters in the signal timing 

process. One measure of the relative capacity of the intersection is the critical volume to 

capacity ratio for the intersection (XC). It is given by: 
3-33

⎟

⎠

⎞ ⎜

⎝

⎛

− ⎟

⎠

⎞ ⎜

⎝

⎛ = ∑ LC

C

s

v X

ci

C

Where: 

∑ ⎟

⎠

⎞ ⎜

⎝

⎛

ci s

v

 

= summation of flow ratios for all critical lane groups i; 

 C = cycle length (s); and 

 L = total lost time per cycle, computed as lost time tL, for critical path 

 of movement (s) 

Traffic-Actuated Control 

Using traffic-actuated control at isolated intersections enables the timing plan to 

continuously adjust in response to traffic demand. However, the potential to minimize 

delay and maximize capacity will only be realized with careful attention to: 

• Type of equipment installed, 

• Mode of operation, 

• Location of detectors, and 

• Timing settings. 

Traffic-actuated control equipment automatically determines cycle length and phase 

lengths based on detection of traffic on the various approaches. The major requirement is 

to set the proper timing values for each of the functions provided by the controller unit 

(See Table 3-8). 

Other Considerations 

Methods are available for developing timing plans and are discussed in the following 

references: 

• Traffic Engineering Handbook (11), 

• Manual on Uniform Traffic Control Devices (3), 

• Manual of Traffic Signal Design (4), and 

• Traffic Engineering Theory and Practice (12). 
3-34

In addition to cycle length and split calculations, the traffic engineer should consider 

several other important factors in developing timing plans for signal control. 

Pedestrian movement often governs a timing plan. The engineer must provide sufficient 

green for pedestrians to cross the traveled way (see reference 11 for example). Where 

equipment permits, the pedestrian phase should be activated when the pedestrian- phase 

interval exceeds the vehicle interval. A number of publications (e.g. Reference 9) 

provide guidelines for timing pedestrian intervals. 

Another important consideration is the length of the phase-change period. This period 

may consist of only a yellow change interval or may include an additional all-red 

clearance interval. The yellow interval warns traffic of an impending change in the rightof-way assignment. For a detailed discussion of these intervals refer to Reference 9. 

In considering control concepts and strategies for isolated signalized intersections, the 

engineer must consider: 

• Traffic flow fluctuations, and 

• The random nature of vehicle and pedestrian arrivals. 

The daily patterns of human activity influence traffic flow; it usually exhibits three 

weekday peak periods (A.M., midday, P.M.). Drew (13) has shown that even within a 

peak hour the 5-minute flow rates can prove as much as 15 to 20 percent higher than the 

average flow rate for the total peak hour period. He has further shown that a Poisson 

distribution best predicts vehicle arrivals for isolated intersections, indicating that 

considerable variation in arrival volume can occur on a cycle-to-cycle basis. 

 

3.8 Arterial and Network Control 

Basic Considerations 

Arterial street control gives preference to progressive traffic flow along the arterial. In 

contrast with isolated intersections, the signals must operate as a system. 

Arterial street control recognizes that a signal releases platoons that travel to the next 

signal. Arterial street signal systems form an open network, as compared to a closed

network, as illustrated in Figure 3-18. To maintain the flow of these platoons, the system 

must coordinate timing of adjacent intersections. The system accomplishes this by 

establishing a time relationship between the beginning of arterial green at one intersection 

and the beginning of arterial green at the next intersection. By doing this, static queues 

receive a green indication on their approach in advance of arriving platoons. This 

permits continuous traffic flow along an arterial street and reduces delay. 
3-35

The previous sections have discussed the concepts of control of isolated intersections as 

well as maintaining vehicle progressions on arterials and in a grid system. The following 

discussion on the need for signal coordination is adapted from Gordon (14). 

While coordination of adjacent signals often provides benefits, the traffic systems 

engineer must decide, in each case, whether better performance will be achieved with 

coordinated or isolated operation. 

When a platoon of vehicles is released from a traffic signal, the degree to which this 

platoon has dispersed at the next signal (difference from profile at releasing signal) in 

part determines whether significant benefits can be achieved from signal coordination. 

OPEN 

NETWORK 

CLOSED 

NETWORK 

Figure 3-18 Signal networks. 

The Traffic Network Study Tool (TRANSYT) has become one of the most widely used 

models in the United States and Europe for signal network timing. It was developed in 
3-36

1968 by Robertson of the UK Transport and Road Research Laboratory (TRRL) (15), 

which has since released several versions. This handbook discusses TRANSYT-7F (16), 

where "7" denotes the seventh TRRL version, and "F" symbolizes the Federal Highway 

Administration's version using North American nomenclature for input and output. 

While features of TRANSYT-7F are discussed later in the section, the present discussion 

relates to the TRANSYT platoon dispersion model. 

The model represents the dispersion of a vehicle platoon departing from a signalized 

intersection as illustrated in Figure 3-19 (16). The figure also shows percentage 

saturation (a measure of volume) as a function of time at three points along the roadway 

when no downstream queue is present. 

Figure 3-19 Simple case of platoon dispersion. 
3-37

TRANSYT assumes that the average flow demand at an approach remains constant, i.e., 

the flow patterns for each cycle repeat. For each computation time interval t, Table 3-9 

(16) provides the analytical model for the arrival flow at the downstream stopline. Table 

3-10 shows recommended values of platoon dispersion factor (PDF). PDF is a function 

of travel time to the downstream signal and roadway impedance to traffic flow or 

“friction”. Based on the TRANSYT model, Figure 3-20 (17) depicts the reduction in 

delay as a function of travel time and PDF. 

Table 3-9 TRANSYT analytical model. 

+ = + − +TtqFqFTtq − )]1('*)1[(*)(' t (3.16) 

Where: 

q'(t+T) = Predicted flow rate (in time interval t+T) of the predicted platoon, where T is defined 

below: 

qt = Flow rate of the interval platoon during interval t 

T = 0.8 times the cruise travel time on the link 

F = A smoothing factor where: 

 (3.17) F += aT)1/(1

 and “a” is a constant, called the platoon dispersion factor (PDF). 

Table 3-10 Recommended values of platoon dispersion factor (PDF). 

PDF Value Roadway Characteristics Conditions 

0.5 Heavy friction Combination of parking, moderate to heavy turns, 

moderate to heavy pedestrian traffic, narrow lane 

width. Traffic flow typical of urban CBD. 

0.35 Moderate friction Light turning traffic, light pedestrian traffic, 11 to 

12 ft (3.4 to 3.7 m) lanes, possibly divided. Typical 

of well-designed CBD arterial. 

0.25 Low friction No parking, divided, turning provisions 12ft (3.7 

m) lane width. Suburban high type arterial. 

Two general techniques are commonly used to determine coordination needs: 

• Information from prior research and experience, and 

• Simulation. 
3-38

Figure 3-20 Benefits of signal coordination. 

Information from Prior Research and Experience 

A number of simple criteria have been used that do not directly incorporate a platoon 

dispersion model. These include: 

• Reduction in the queue (18) 

• K = Q/(200(1 + t)) 

Where K = reduction in the queue (number of vehicles) 

 Q = travel volume (number of vehicles/hr) 

 T = travel time between intersections (minutes) 

• Criterion for good progression (19) 

Good progression when signal spacing is fairly uniform and 

0.40 < Travel time /cycle length < 0.60 

• Criterion for coordinating signals (20) 

Coordinate signals within 0.5 miles 
3-39

• Criterion for coordinating signals (21) 

I = V/L, I > 0.5 

Where V = two way peak hour link volume (VPH) 

L = Link length (feet) 

Chang and Messer developed the intercoordination desirability index (22) described 

below: 

( )⎟

⎟

⎠

⎞

⎜

⎜

⎝

⎛ ⎟ −− ⎠

⎞ ⎜

⎝

⎛

+ = * 2

1

5.0 N

q

q

t

I

T

MAX

t = link travel time in minutes 

qMAX = straight through flow from upstream intersection (VPH) 

qT = sum of traffic flow at the downstream approach from the right turn, left turn, and 

through movements of the upstream signals, divided by the number of arrival links at the 

upstream intersection. 

N = Number of arrival lanes feeding into the entering link of the downstream 

intersection. 

I may range from 0 to 1.0. Interconnection is recommended when I exceeds 0.35. 

These criteria may also be employed to establish boundaries between sections of 

coordinated signals. 

Simulation 

Simulation is often used to determine coordination requirements and benefits, particularly 

when performed in connection with retiming of traffic signals. The systems engineer 

may employ a general model such as CORSIM, together with a signal timing program, or 

may use the evaluative features of a signal timing program such as TRANSYT 7F. In the 

latter case, coordination requirements and section boundary identification may be directly 

coordinated with the signal retiming effort. 

A key issue is whether a major intersection operating at near capacity should be 

coordinated with a series of minor intersections (which by themselves might operate at a 

lower cycle length) or whether it should operate as an isolated intersection with its own 

cycle (17). 
3-40

Time-Space Diagram 

Figures 3-21 (a) and 3-21 (b) show this traffic flow control concept via a time-space 

diagram. Definitions used in this diagram include: 

• Green band — The space between a pair of parallel speed lines which 

delineates a progressive movement on a time-space diagram. 

• Band speed — The slope of the green band representing the progressive speed 

of traffic moving along the arterial. 

• Bandwidth — The width of the green band in seconds indicating the period of 

the time available for traffic to flow within the band. 

Timing Plan Elements 

Operation of a control system for an arterial street (or open network) requires a timing 

plan for all signals in the system, which consists of the following elements: 

• Cycle length - This normally is the same (or some multiple) for all signals in 

the system or section (subset of a system). The intersection with the longest 

cycle length requirements (as calculated via methods in section 3.7) usually 

governs the system cycle length. 

• Splits - The length of the various signal phases must be calculated for each 

intersection. Phase lengths (splits) may vary from intersection to intersection. 

• Offset - An offset value must be calculated for each intersection. One 

definition of offset is the start time of main street green relative to the green 

interval start for a master intersection in the system. 

Figures 3-21 (a) and 3-21 (b) depict an ideal case of equal intersection spacing and splits 

at all intersections. When this does not occur, the bandwidth becomes narrower than the 

green interval at some or all signals, as shown in Figure 3-22 (11). 

Traffic Flow Variations 

A timing plan is developed for a specific set of traffic conditions. When these change 

substantially, the timing plan loses effectiveness. 

Two basic types of traffic flow variations can occur: 
3-41

(a). Time-space diagram. 

(b). General technique for timing plan development. 

Figure 3-21 Time-space diagram and graphic technique. 
3-42

Figure 3-22 Typical time-space diagram. 

• Traffic flow at individual intersections — volumes can increase or decrease at 

one or more signal locations. These changes can alter the cycle length or split 

requirements at the affected intersections. 

• Traffic flow direction — flow volume can vary directionally on a two-way 

arterial. Table 3-11 shows the 3 basic conditions, their normal times of 

occurrence, and associated timing plans. 

Time of day control techniques often provided at least 3 timing plans (A.M., off-peak, 

P.M.). Traffic-responsive control systems can automatically select timing plans at shorter 

intervals based on measured traffic flow and select from a greater number of plans. 
3-43

Table 3-11 Directional flow conditions. 

Conditions Normal Time of 

Occurrence 

Timing Plan Progressive 

Movement 

Inbound flow exceeds 

outbound flow 

A.M. peak Inbound 

Inbound flow 

approximates outbound 

flow 

off-peak Inbound and outbound 

equally 

Outbound flow exceeds 

inbound flow 

P.M. peak Outbound 

Timing Plan Development 

Basic techniques for developing timing plans include: 

• Manual calculations and / or graphic analysis determine cycle lengths, splits, 

and offsets. 

• Offline computer software models make required calculations. Offline

indicates that timing plans are generated from traffic data collected earlier. 

Plans are stored for use during an appropriate time-of-day or may be selected 

on a traffic-responsive basis using data from traffic system detectors. 

Manual Techniques 

With the advent of software to develop timing plans, this technique is no longer 

recommended. The exercise, however, provides insight into timing plan development. 

Developing an arterial signal system timing plan manually requires collecting the 

following data: 

• Geometric 

- Intersection spacing (stopline to stopline), and 

- Street geometrics (width, lanes, and approaches). 

• Traffic flow 

- Volumes, including turning movement counts, 

- Flow variations, and 

- Speed limitations. 
3-44

Table 3-12 shows a series of steps leading to manual development of a timing plan. 

Table 3-12 Manual timing plan development. 

1. Prepare a graphic display of the 

signal system, similar to figure 3-21 

or 3-22.

2. For each timing plan, examine flow 

conditions at each intersection and 

evaluate cycle length and split. Use 

the methods discussed under 

isolated intersections.

Consider increasing volumes to 

account for seasonal differences and 

increases in the next 3 to 5 years. 

Five (5) percent typically accounts 

for seasonal differences.

Calculate optimum cycle length and 

phase interval for each signal. The 

longest cycle length usually 

becomes the system cycle.

3. Conduct a graphic analysis to 

determine offsets for each timing 

plan. The graphical analysis 

proceeds as follows (refer to figure 

3-21):

a) Identify the signal with 

the smallest main street 

green phase split.

b) Draw a progression speed 

line and provisional green 

band beginning at the start 

of main street green at this 

signal. . This speed line 

will have a slope 

representing the desired 

progression speed.

c) Draw a horizontal working line 

through the center of either a red or 

green interval for the reference 

signal.

d) Center either a red or green signal. 

interval on the horizontal working 

line (as required to obtain the 

greatest width of the green bands) to 

achieve an equal bandwidth for each 

flow direction.

e) Usually the provisional green band 

defined by the progression lines 

plotted in step (b) will not pass 

through all the green phase intervals 

plotted in step (d).

For this case, adjust the provisional 

green band by drawing progression 

lines parallel to the original lines. 

Space these lines to define the 

widest bandwidth remaining within 

the green phase of all signals.

f) Modestly alter the progression line 

slope about the signal identified in 

step (a) to determine whether small 

changes can increase bandwidth.

g) The preceding step results in a 

timing plan that provides equal 

bandwidths for each flow direction. 

If desired, modify this result to 

favor 1 flow direction.

*

*

*

*

*

1. Prepare a graphic display of the 

signal system, similar to figure 3-21 

or 3-22.

2. For each timing plan, examine flow 

conditions at each intersection and 

evaluate cycle length and split. Use 

the methods discussed under 

isolated intersections.

Consider increasing volumes to 

account for seasonal differences and 

increases in the next 3 to 5 years. 

Five (5) percent typically accounts 

for seasonal differences.

Calculate optimum cycle length and 

phase interval for each signal. The 

longest cycle length usually 

becomes the system cycle.

3. Conduct a graphic analysis to 

determine offsets for each timing 

plan. The graphical analysis 

proceeds as follows (refer to figure 

3-21):

a) Identify the signal with 

the smallest main street 

green phase split.

b) Draw a progression speed 

line and provisional green 

band beginning at the start 

of main street green at this 

signal. . This speed line 

will have a slope 

representing the desired 

progression speed.

c) Draw a horizontal working line 

through the center of either a red or 

green interval for the reference 

signal.

d) Center either a red or green signal. 

interval on the horizontal working 

line (as required to obtain the 

greatest width of the green bands) to 

achieve an equal bandwidth for each 

flow direction.

e) Usually the provisional green band 

defined by the progression lines 

plotted in step (b) will not pass 

through all the green phase intervals 

plotted in step (d).

For this case, adjust the provisional 

green band by drawing progression 

lines parallel to the original lines. 

Space these lines to define the 

widest bandwidth remaining within 

the green phase of all signals.

f) Modestly alter the progression line 

slope about the signal identified in 

step (a) to determine whether small 

changes can increase bandwidth.

g) The preceding step results in a 

timing plan that provides equal 

bandwidths for each flow direction. 

If desired, modify this result to 

favor 1 flow direction.

1. Prepare a graphic display of the 

signal system, similar to figure 3-21 

or 3-22.

2. For each timing plan, examine flow 

conditions at each intersection and 

evaluate cycle length and split. Use 

the methods discussed under 

isolated intersections.

Consider increasing volumes to 

account for seasonal differences and 

increases in the next 3 to 5 years. 

Five (5) percent typically accounts 

for seasonal differences.

Calculate optimum cycle length and 

phase interval for each signal. The 

longest cycle length usually 

becomes the system cycle.

3. Conduct a graphic analysis to 

determine offsets for each timing 

plan. The graphical analysis 

proceeds as follows (refer to figure 

3-21):

a) Identify the signal with 

the smallest main street 

green phase split.

b) Draw a progression speed 

line and provisional green 

band beginning at the start 

of main street green at this 

signal. . This speed line 

will have a slope 

representing the desired 

progression speed.

c) Draw a horizontal working line 

through the center of either a red or 

green interval for the reference 

signal.

d) Center either a red or green signal. 

interval on the horizontal working 

line (as required to obtain the 

greatest width of the green bands) to 

achieve an equal bandwidth for each 

flow direction.

e) Usually the provisional green band 

defined by the progression lines 

plotted in step (b) will not pass 

through all the green phase intervals 

plotted in step (d).

For this case, adjust the provisional 

green band by drawing progression 

lines parallel to the original lines. 

Space these lines to define the 

widest bandwidth remaining within 

the green phase of all signals.

f) Modestly alter the progression line 

slope about the signal identified in 

step (a) to determine whether small 

changes can increase bandwidth.

g) The preceding step results in a 

timing plan that provides equal 

bandwidths for each flow direction. 

If desired, modify this result to 

favor 1 flow direction.

*

*

*

*

*

* Applies to 2-way progression shown in Figures 3-21 (a) and 3-22. 
3-45

As a general rule, the time-space diagram resulting from Table 3-12 will have the 

beginning of green occurring at: 

• Every other signal, i.e., single alternate, or 

• Two adjacent intersections, i.e., double alternate, or 

• Three adjacent intersections, i.e., triple alternate. 

The beginning of greens may not exactly coincide but will usually approximate one of the 

three patterns. Figure 3-21 (a) shows single alternate offset timing. 

Consider the manual method in Table 3-12 as a trial- and-error procedure. For example, 

if the resulting progression speeds prove too slow or fast, adjust the system cycle length. 

A 15 percent decrease or 25 percent increase may provide the desired progression speed 

without significantly increasing delay. Also, modify phase timing to favor straightthrough movements. A protected-permissive left-turn operation may reduce the time 

initially calculated for protected only left-turn phases. The modified timing plan may 

produce better results. 

Offline Computer Techniques 

Most signal timing programs provide signal timing parameters based on one or more 

optimization criteria such as a combination of stops and delay or maximization of 

bandwidth on a time-space diagram. In addition to the signal timing parameters, the 

programs often provide an estimate of measures of effectiveness such as stops, delays, 

emissions, fuel consumption and level of service. Graphical outputs may include timespace diagrams. In some cases the timing program may be coupled to a simulation that 

shows microscopic traffic flows. Comparative evaluations for some of these programs 

are provided in References 23 and 24. The following signal timing programs are 

commonly used by traffic engineers. 

These discussions are provided as illustrations of the technology and are not intended as 

recommendations. As these and similar products continue to be improved, the reader is 

advised to contact the supplier for the latest capabilities of these products. 

TRANSYT 7F

TRANSYT-7F (16) is a signal timing optimization program and a powerful traffic flow 

and signal timing design tool. The TRANSYT platoon dispersion model was discussed 

earlier in this section. 

Using standard traffic data timing parameters as input, it can both evaluate existing 

timing and optimize new plans to minimize either: 
3-46

• A linear combination of weighted delays, stops, and queue spillback, or 

• Total operating cost. 

This program has been extensively used in the past and has been updated to a more userfriendly format. Optimization techniques now include the hill climb method (provided in 

earlier versions) and genetic algorithm optimization. Treatment of queue spillback and 

traffic actuated signals has been added. 

TRANSYT-7F also provides the capability to optimize perceived progression by 

progression opportunities (or PROS), which simply represent opportunities to get 

through consecutive intersections on green. Thus, signal timing may be designed for 

PROS alone, in which case splits remain fixed, or the PROS / DI policy yields a 

combination of wide bands, while still trying to lessen the disutility index. With PROS, 

the user can request an explicit time-space type design. 

TRANSYT-7F has been used extensively for signal timing in the U.S. Numerous users 

have reported benefits in using this program for signal timing. Since 1983, California has 

implemented the Fuel-Efficient Traffic Signal Management (FETSIM) program and 

widely used TRANSYT-7F to optimize signal timing. Estimated benefits from the new 

signal timing in 61 California cities and one county show reduced (25): 

• Vehicle delay (15 percent), 

• Stops (16 percent), and 

• Overall travel time (7.2 percent). 

Synchro

This commonly used signal timing program has many user friendly features including 

interconnectivity to map backgrounds, more than eight phase capability and easy 

connectivity to traffic systems supplied by several vendors (26). Cycle and split 

optimization models are based on Highway Capacity Manual techniques. Actuated 

intersections are modeled. 

PASSER

The PASSER (27) program suite consists of the following: 

• PASSER II-90 – This program computes signal timing for a single arterial 

based on optimization of arterial bandwidth. 
3-47

• PASSER III-98 – PASSER III-98 computes optimal signal timing for 

diamond intersections. 

• PASSER IV-96 – PASSER IV-96 computes signal timing for a network based 

on arterial bandwidth optimization. 

aaSIDRA

A version of aaSIDRA (28) based on the U.S. Highway Capacity Manual is available. 

aaSIDRA models actuated intersections and unsignalized intersections including stop 

sign controlled approaches and signalized pedestrian crossings, right-turn on red and 

protected-permitted left turns. 

Considerations for Closed Networks 

When two arterials cross at an intersection, a signal timing interlock must occur for 

progression along both arterials. Both must use the same cycle length and the timing plan 

must use as a reference point the timing at that intersection. 

Signal timing in networks conventionally features a common cycle length. The closed 

topology of the network requires a constraint on the offsets, however. The sum of offsets 

around each loop in the network must sum equal integral number of cycle lengths. Figure 

3-23 provides the node definitions for the following relationships: 

DAB + DBC + DCF + DFE + DED + DDA = n1 C (3.18) 

DAB + DBE + DED + DDA = n2 C (3.19) 

DBC + DCF + DFE + DEB = (n1 – n2) C (3.20) 

Where: 

DAB = Offset between signals B and A 

C = Cycle length 

n1 and n2 are positive integers 

Need for Signal Retiming 

The following discussion is adapted from Reference 29. 

With the exception of traffic responsive and adaptive traffic control systems, traffic 

systems require retiming of the signals from time to time. 

The literature provides ample evidence to indicate that signal retiming provides very 

important and cost effective benefits (17, 25, 30, 31, 32). 
3-48

Figure 3-23 Closed network node definitions. 

Factors that lead to the need for signal retiming may include: 

• Changes in local or area wide traffic demands. 

• Changes in peak period volumes. 

• Changes in directional flow. 

• Local land use changes. 

• Change in intersection geometry. 

• Change in number or use of lanes. 

Signals will require retiming when the project includes major changes to the traffic signal 

system. Such changes may include: 

• Introduction of coordination. 

• Addition of local actuation. 

• Addition of system traffic responsive capability. 

• Introduction of transit priority. 
3-49

Traffic signal system engineers use these factors, as well as the following, to identify the 

need for signal retiming: 

• Accident experience. 

• Comments and complaints by the public. 

• Observations of signal timing performance and congestion patterns. 

Observations may include: 

1. Cycle failure (inability of a vehicle to pass through the intersection in one 

signal cycle) is a key indication of a saturated phase. 

2. Spillback from turning bays into general use lanes. 

3. Delays that may be incompatible with the volume to capacity ratio (V/C). 

For example, unduly long cycle lengths or improper splits may lead to 

excessive delay when minimal flow is observed during other portions of 

the green time for the phase. 

4. Imbalance in green time, i.e. high demand approach vs. low demand 

approach. 

If signals have not been retimed within five years, the probability is high that retiming 

will provide significant improvement in most cases. In areas where growth or traffic 

generation changes are significant, more frequent timing may be appropriate. The 

simulation and signal timing programs, if used on a pilot section of the network, may be 

used to determine the need for signal retiming. 

Determination of Central System Control Category 

A new or improved central traffic control system may be needed to satisfy the following 

requirements: 

• The current system is obsolete or can no longer be maintained in a cost 

effective way. 

• A new or modified system is required to achieve such objectives as field 

equipment monitoring, field device interchangeability (NTCIP), 

communication with other ITS or information centers and interoperability 

with other traffic management centers. 

• A control strategy resulting in a higher level of traffic system performance 

than currently exists is required. 

Five categories of coordinated control in addition to uncoordinated control have been 

identified to support the last requirement. The general capability for these categories is 
3-50

identified in Table 3-13. The functions for these categories and guidance for their 

selection is provided in Table 3-14 and is further discussed below. The local intersection 

control strategies discussed in Section 3.7 may be used with any of these categories, 

except for traffic responsive and traffic adaptive control. System installation and 

operating costs increase with more intensive detector and communication requirements. 

Table 3-13 Performance categories for traffic control systems. 

SYSTEM CATEGORY FEATURES IMPLEMENTATION 

REQUIREMENTS 

Uncoordinated Control • No coordination among traffic 

signals. 

• Provides local intersection 

control strategies. 

Time Base Coordinated 

Control

• Time of day / day of week 

(TOW / DOW) plans. 

• Local intersection 

strategies 

 

• Provides basic coordination. • Simple to implement. TBC 

provided by modern controllers. 

• Requires timing plan 

maintenance. 

Interconnected Control

• Time of day or operator 

selected timing plans. 

• Local intersection 

strategies. 

• TOW / DOW control 

• Operator can select timing 

plans. 

• Provides intersection and 

equipment status. 

• Allows download of timing 

plans and changes. 

• Provides record of system 

operation. 

• Wireline or wireless 

interconnect. 

• Two or three level distributed 

control or central control. 

• Few or no system detectors. 

• Requires timing plan 

maintenance. 

Traffic Adjusted Control

• Critical intersection 

control (centralized 

architecture only). 

• Local intersection 

strategies. 

• Provides capabilities of 

interconnected control 

category. 

• Timing plan selection based on 

system detector data. Selection 

not more frequent than 15 

minutes. 

• Can display and record traffic 

conditions. 

• Provides data to analyze and 

assess need for and nature of 

timing plan changes. 

• Communications for 

interconnection. 

• Modest number of system 

detectors (average of one 

detector per intersection 

required). 

• Additional database 

development. 

• Requires timing plan 

maintenance. 
3-51

Table 3-13. Performance categories for traffic control systems (continued). 

SYSTEM CATEGORY FEATURES IMPLEMENTATION 

REQUIREMENTS 

Traffic Responsive Control

• Maintains concept of 

cycle but changes timing 

plans more rapidly than 

traffic adjusted control. 

• Provides capabilities of 

interconnected control 

category. 

• Changes split within a cycle. 

• Offsets and cycle lengths 

change more rapidly than for 

traffic adjusted control. 

• Communications for 

interconnection 

• Minimum of one or two detector 

per intersection approach. 

• Less emphasis on maintenance 

of timing plans than for traffic 

adjusted control. 

• Higher level of central 

processing required than for 

traffic adjusted control. 

Traffic Adaptive Control

• Phase change based on 

prediction from traffic 

measurement at each 

signalized approach. 

• Uses predictive data to change 

phase. Does not explicitly use 

defined signal cycles, splits or 

offsets. 

• Systems provided by suppliers 

usually retain the capabilities of 

the interconnected control 

category. 

• Higher speed communications 

than for other categories of 

control. 

• Requires one or two detectors 

per approach depending on 

system. 

• Less emphasis on maintenance 

of timing plans. 

• Local algorithms may require 

additional computation at the 

intersection in the form of an 

additional controller card or 

separate unit. 

Modern traffic controllers that are not interconnected by wireline or wireless means 

provide the capability for time base coordination (TBC). Timing plans must be 

implemented and checked by trips to the field. This category of control does not provide 

status information to the TMC. 

Interconnected control systems provide the capability for wireline or wireless 

communication with the TMC. They enable the TMC to monitor the condition of 

intersection equipment and to download timing plan changes. In addition to time-of-day 

timing plan selection, the operator may select a timing plan at any time. System 

detectors, if provided at all are used for general traffic monitoring by the operator and for 

planning purposes. 

These systems usually provide for three or more weekday timing plans and other plans 

that may be required for weekends, holidays, special events or traffic diversion. The 

capability for this type of operation is provided by most commercially available traffic 

control systems. 
3-52

Table 3-14 Characteristics of traffic signal system performance categories. 

UNCOORDINATED CONTROL 

a. Isolated signal operation with local actuation. 

TIME BASE COORDINATED CONTROL 

Features provided in addition to uncoordinated signals 

a. Used where time of day / day of week (TOD/DOW) coordination is desired without the installation of physical 

communication media. 

INTERCONNECTED CONTROL 

Features provided in addition to time base coordination 

a. Provides capability to monitor proper operation of traffic signals. 

b. Provides split monitoring for traffic signals. 

c. Provides capability to check signal timings remotely. 

d. Provides capability to download new timing plans without field visits. 

e. Provides capability to record of failures for maintenance or legal purposes. 

TRAFFIC ADJUSTED CONTROL 

Features provided in addition to interconnected control 

a. Detector surveillance necessary for database development where use of more than four weekday timing plan changes is 

contemplated. 

b. Provides capability for traffic adjusted operation because of variability in timing plan selection periods or day-to-day 

or seasonal volume variations. 

c. Provides capability for surveillance to determine the need for new timing plans. 

d. Provides capability for surveillance to serve as an alternate route for diversion. 

e. Provides capability for surveillance for planning data. 

TRAFFIC RESPONSIVE CONTROL 

Features provided in addition to interconnected control 

a. Provides capability to respond to short term traffic flow irregularities. 

b. Minimizes timing plan development support after initial setup. 

c. Provides capability to respond to traffic condition changes for special events, street construction. 

d. Provides capability to respond to traffic condition changes due to incidents, double parking. 

e. Provides capability to respond quickly to demand changes resulting from diversion of traffic from a freeway or other 

arterial. 

TRAFFIC ADAPTIVE CONTROL 

Features provided in addition to interconnected control 

a. Provides capability to respond to random or very short term traffic flow irregularities. 

b. Minimizes timing plan development support after initial setup. 

c. Provides capability to respond to traffic condition changes for special events, street construction. 

d. Provides capability to respond to traffic condition changes due to incidents, double parking. 

e. Provides capability to respond quickly to demand changes resulting from diversion of traffic from a freeway or other 

arterial. 
3-53

Traffic adjusted control provides a relatively slow capability to automatically select 

timing plans using data from traffic detectors. Control is usually provided by the UTCS 

First Generation Control Algorithm or by algorithms provided by closed loop systems. 

The UTCS algorithm selects an entire timing plan based on sensed conditions. Closed 

loop systems change cycle, split and offset separately according to sensed traffic 

conditions. These algorithms are described later in this chapter. System time constants 

and timing plan change algorithms require a few minutes before the timing plan change 

can be effected. Thus timing plan changes are usually made at greater than 15 minute 

intervals, and flow disturbances may be experienced during periods when these changes 

are being made. System detectors are required. As a general rule, the average number of 

system detectors is approximately equal to the number of intersections. These detectors 

may also be used to provide planning data; however, if planning functions are required, it 

is preferable to have full lane detector coverage for the sampled locations. The capability 

for traffic adjusted control operation is provided by most commercially available traffic 

control systems. 

Traffic responsive control systems may change the split at each phase of the traffic signal 

cycle based on traffic measurements upstream of the intersection. Small changes in cycle 

time and offset may be made during time periods ranging from each cycle to a few 

minutes. The greatest benefit for traffic responsive systems is the ability to react to nonschedulable events or unpredictable events such as incidents. Other benefits include the 

ability to adjust timing plans without the requirement to manually generate new plans. 

Systems such as SCOOT and SCATS (described later in the chapter) are examples of 

commercially available traffic responsive systems. While detector requirements differ 

with system implementation, SCOOT generally requires one detector per signalized 

approach. SCATS uses one detector in each major approach lane. 

Traffic adaptive control strategies such as RHODES and OPAC (described later in this 

chapter) do not employ defined traffic cycles or signal timing plans. They utilize traffic 

flow models that predict vehicle arrivals at the intersection, and adjust the timing of each 

phase to optimize an objective function such as delay. Because they emphasize traffic 

prediction, these systems can respond to the natural statistical variations in traffic flow as 

well as to flow variations caused by traffic incidents or other unpredictable events. 

Intersection control equipment for adaptive systems is often more complex than for the 

other control categories. 

Online Network Traffic Control Techniques 

Online computer techniques use a computer traffic control system to: 

• Collect data on traffic flow conditions, 

• Make calculations to determine a desired timing plan, and 
3-54

• Implement or adjust the timing plan in short time intervals such as each phase 

or cycle or when a different plan is required. Conventional traffic control 

systems select a plan from a stored plan library based on current conditions. 

Traffic responsive and adaptive systems provide for dynamic or real-time 

timing plan generation. 

UTCS Control 

Starting in the 1970's, a large number of U.S. cities implemented computer traffic 

systems using technology developed by the FHWA (under a number of related research 

programs) (33, 34, 35, 36, 37) and termed the Urban Traffic Control System (UTCS). 

FHWA established a testbed in Washington, DC which served as the prototype for many 

later systems. UTCS systems implemented in the 1970's and through much of the 1980's 

possessed the following characteristics: 

• Minicomputer based central computer controls signals with commands for 

discrete signal state changes. Timing for commands provided at intervals of 

approximately one second. 

• Signal timing plans stored in the central computer. Timing plan changes may 

result from: 

- Traffic responsive operation (based on detector inputs from the field), 

- Time-of-day selection, or 

- Operator commands (manual). 

• Computation of volume and occupancy from detector data each minute. This 

data was used for reports and for archival purposes. The data is smoothed 

with a filter for use with the traffic responsive control algorithm and for the 

graphical display. 

• A first generation traffic responsive control algorithm for changing 

background timing plans. Table 3-15 describes the UTCS first generation 

traffic responsive control algorithm. Reference 2 provides a more detailed 

discussion of the UTCS control algorithms. 

The central computer for the initial family of computer traffic control systems provided a 

signal to the field controller to change each interval or phase of the traffic signal control 

cycle; however most of the current traffic control systems download timing plans to the 

field controller. The timing plans are stored in the field controller, which then times out 

each traffic cycle. Implementation technique notwithstanding, many of the current traffic 

control systems employ the UTCS First Generation Traffic-Responsive Control 
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Table 3-15 UTCS first generation traffic-responsive control algorithm. 

Signature 

The basic concept of the traffic-responsive control law associates each prestored timing plan with one or more traffic 

signatures. This signature comprises an array of numbers, one for each system detector in the subnetwork or section. Each 

number represents a linear combination of volume and occupancy data for the detector. A column matrix or vector can 

represent these numbers if ordered in a vertical array. Equation 3.21 represents the vector equation for the signature. 

(SIG)) VPLUSKO += ()()( OSKWTSIGVSSIG

Where: 

VS = Vector representative of the volumes for stored signature SIG 

OS = Similar vector for occupancy 

KWT = Weighting factor 

With 2 detectors present (denoted by subscripts 1 and 2), the corresponding scalar equations become: 

( )) 1 SIG ()()( VPLUSKO1 = 1 + OSKWTSIGVSSIG

( )) 2 SIG ()()( VPLUSKO2 = 2 + OSKWTSIGVSSIG

Match 

The algorithm then matches real-time traffic data from each subnetwork detector against the signatures and selects the timing 

plan corresponding to the best match. Matching identifies the signature, which minimizes the sum of absolute values of the 

difference in each detector's match. 

Equation 3.24 represents this mathematically: 

SIGERR )( =VPLUSKO )( −− KWTVFSIG •OF 

Where: 

VF = Current smoothed volume 

OF = Current smoothed occupancy 

The components of the error vector for each signature are summed and the timing plan associated with the signature having 

the smallest error sum is selected. UTCS permits a limited number of signatures (often 3 or 4) to be matched at any time of 

day (window). This ensures selection of a viable timing plan. 

Many UTCS can adjust the test frequency, with the usual period ranging from 4 to 15 minutes. 

Sometimes, error values relative to each of 2 stored signatures may be close. In this case, random components in the traffic 

data may cause frequent changes in timing plans. To reduce this oscillation, UTCS permits implementation of a new timing 

plan only when it provides a significantly lower error than the current signature, i.e., it must show at least a threshold level of 

error improvement. 

(3.21)

(3.22) 

(3.23)

(3.24) 
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Algorithm described in Table 3-15. These systems are identified in the two-level 

distributed control block in Figure 1-2. Implementations of current system architectures 

are described in Chapter 8. 

Control Algorithms for Closed Loop Systems 

Closed loop systems are identified by the three-level distributed control block in Figure 

1-2. A central computer stores and downloads signal timing plans through a field master 

to a signal controller. It also supervises controller operations. A field master 

preprocesses detector data prior to upload to the control computer. It also selects the 

timing plans for traffic responsive control. 

The specific signal timing plan selection algorithms vary among system suppliers; 

however, they generally provide the following features: 

• System detectors in a control section are assigned to implement either the 

cycle, split or offset computation. A system detector may be assigned to one 

or more computations. 

• Selections of cycle, split and offset are made separately. The cycle selection, 

for example, would typically depend on volume and / or occupancy lying 

between pre-established thresholds. A cycle length is associated for each 

range of detector values lying between thresholds. Split and offset thresholds 

are similarly established. 

• In some cases, traffic features such as directionality or queue presence may be 

used in the computation of cycle, split and offset. System detectors may be 

assigned to compute these features. 

• Provisions are often made for the constraint of cycle, split and offset 

selections by time of day or by some other means so that the entire timing 

plan conforms to a plan developed by a signal timing program such as 

TRANSYT 7F or Synchro. 

Balke, et. al. (38) provide a discussion on supplier specific parameter selection issues. 

Traffic Responsive Control Systems 

Traffic responsive control systems are distinguished from the systems described above in 

the following ways: 

These systems generally respond to changes in traffic on a system-wide basis quite 

rapidly usually at the next phase of the traffic cycle. 
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• Except for initialization purposes, storage of precomputed cycle length, splits, 

and offset is not required, i.e. the system continually computes the traffic 

control plan. 

• Extensive traffic detector instrumentation is required. 

The following subsections describe the traffic responsive systems that are currently 

commonly available. 

SCOOT (Split, Cycle and Offset Optimization Technique) (39, 40, 41, 42, 43)

The Transport and Road Research Laboratory (TRRL) in Great Britain developed 

SCOOT beginning in 1973, and by 1979 implemented it on a full-scale trial in Glasgow. 

Based on detector measurements upstream of the intersection, the SCOOT traffic model 

computes the cyclic flow profile for every traffic link every four seconds (Figure 3-24). 

SCOOT projects these profiles to the downstream intersection using the TRANSYT 

dispersion model (Equations 3.16 and 3.17 in Table 3-9). Table 3-16 summarizes the 

SCOOT optimization process. 

Table 3-16 SCOOT optimization process. 

Timing Parameter Process 

Offset A few seconds before every phase change, SCOOT determines 

whether it is better to: 

Advance or retard the scheduled change by up to 4 seconds, or 

Leave it unaltered. 

Split Once per cycle, SCOOT determines whether the performance 

index (PI) can be improved by reducing or increasing each offset 

by 4 seconds. The PI is usually a weighted sum of stops and 

delays. 

Cycle SCOOT varies the cycle time by a few seconds every few minutes 

to try, if possible, to keep the maximum degree of saturation 

below 90 percent on the most heavily loaded phase. 

SCOOT contains provisions for weighting capabilities in the signal optimizers to give 

preference to specific links or routes. 

Recent additions to SCOOT have enhanced its performance under congestion and 

saturation conditions. Table 3-17 describes the enhanced SCOOT features. Section 8.3 

describes SCOOT benefits, SCOOT detector deployments and additional application 

information. 
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Figure 3-24 Principles of the SCOOT traffic model. 
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Table 3-17 Enhanced SCOOT features. 

Features Description 

Congestion Offsets Under congestion conditions, the best offset may facilitate a 

particular movement (to prevent spillback across an intersection or 

for other reasons). Under congestion situations, SCOOT provides 

congestion offsets that replace the criterion for optimizing the PI 

with a specially designed offset. Information from another link 

may also be used to implement offsets under congestion conditions. 

Gating Logic Gated links are designated to store queues that would otherwise 

block bottleneck links. Thus, green time can be reduced on a gated 

link as a function of saturation on a remote bottleneck link. 

Green time reduction to a prescribed level is initiated when the 

problem is identified in the problem area as measured, for example, 

by degree of saturation. The green time is reduced as the problem 

becomes more severe, but a specified minimum green time is 

preserved. 

Automatic Calibration of 

Saturation Occupancy 

Early versions of SCOOT required the system operator to supply 

the appropriate value of saturation occupancy. The latest version of 

SCOOT provides this capability automatically, which: 

• Eliminates a calibration effort, and 

• Improves response to the real-time changes of this value as a 

function of temporary conditions. 

Bus Priority Bus priority can be granted using either simple bus detectors or by 

means of an advanced vehicle location system. The latter 

capability allows priority (green extension or advance) to be 

implemented by importance (e.g., granting priority only to late 

buses). Priority may be constrained by the detection of congestion 

on computing phases affected by priority. 

Emissions Emissions estimates may be used as the objective function in the 

computation of offsets. 

SCATS (Sydney Co-ordinated Traffic Control System)

The Sydney Coordinated Adaptive Traffic System (SCATS) (44, 45, 46, 47) was 

developed by the Roads and Traffic Authority (RTA) of New South Wales, Australia. A 

real-time area traffic control system, it adjusts signal timing in response to variations in 

traffic demand and system capacity, using information from vehicle detectors, located in 

each lane immediately in advance of the stopline. 

SCATS uses two levels of control: strategic and tactical. Strategic control determines 

suitable signal timings for the areas and sub-areas based on average prevailing traffic 

conditions. Tactical control refers to control at the individual interaction level. Table 3-

18 describes the functions of each control level. 
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Table 3-18 SCATS control levels. 

Level Description 

Strategic • A number of signals (from 1 to 10) group together to form a 

subsystem. 

• Up to 64 subsystems can link together for control by a regional 

computer. 

• Each traffic signal in a subsystem shares a common cycle time, which 

is updated every cycle to maintain the degree of saturation around 0.9 

(or a user-definable parameter) on the lane with the greatest degree of 

saturation. Degree of saturation corresponds to an occupancy value 

measured by the detector. 

• Cycle time can normally vary up to 6 seconds each cycle, but this limit 

increases to 9 seconds when a trend is recognized. 

• Phase splits vary up to 4 percent of cycle time each cycle to maintain 

equal degrees of saturation on competing approaches, thus minimizing 

delay. 

• Offsets selected for each subsystem (i.e., offsets between intersections 

within the subsystem) and between subsystems linked together. 

Tactical • Operates under the strategic umbrella provided by the regional 

computer. 

• Provides local flexibility to meet cyclic demand variation at each 

intersection. For example, any phase (except the main street phase) 

may be: 

- omitted 

- terminated earlier 

- extended 

• Time saved during the cycle as a result of other phases terminating 

early or being skipped may be: 

- used by subsequent phases 

- added to the main phase to maintain each local 

controller at the system cycle length 

SCATS has seen application in many cities throughout the world. Its first application in 

North America was in conjunction with the Autoscope video detector in Oakland County, 

Michigan, in the FAST-TRAC project. 

SCATS currently has three levels of control: local, regional, and central. SCATS 

distributes computations between a regional computer at the traffic operations center and 

the field controller. Implementation in the US therefore requires special adaptation of an 

existing traffic controller to incorporate the SCATS field processing functions. 

Additional information on architecture is given in Section 8.3. 
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Several studies have been performed to measure the effectiveness of SCATS. RTA 

simulated a comparison of SCATS with a TRANSYT optimized fixed time system (45) 

and claims the following benefits: 

• In the A.M. peak period, with traffic flow not deviating about the average, 

SCATS shows little improvement in delay and approximately 7-8% fewer 

stops. 

• In the A.M. peak period, when traffic flows fluctuate 20% to 30% from the 

average, SCATS shows improvements as follows: 

- 8% in total vehicle stops along main roads, 

- 3% in total traffic delay, 

- 3% in total fuel consumption, and 

- 3-6% reduction in pollutant emission (CO, HC and NOx) 

A study by the City of Troy, Michigan (48), found the following benefits 

• Travel time reductions 

- A.M. Peak: 20% 

- Off Peak: 32% 

- P.M. Peak: 7% 

• 20% reduction in stopped vehicle delay 

• Although no significant decrease in the number of accidents, the percentage of 

incapacitating crashes reduced from 9% to 4% 

Abdel-Rahim, et al. (49) found the following results in Oakland County, Michigan. The 

results indicated travel time decreased 8.6% in the morning peak direction of travel and 

7% in the evening peak direction of travel. Off peak and non-peak direction travel times 

were also improved, decreasing 6.6 to 31.8%. The improved travel times observed on this 

major arterial, however, lead to increased average delay on minor arterial approaches: 

• A.M. Peak travel time reduction: 8.6% 

• P.M. Peak travel time reduction: 7% 

• Off-Peak and non-peak direction travel time reduction: 6.6% - 31.8% 
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• Increased average delay on minor streets 

Major operational advantages of SCATS include: 

• The ability to automatically generate timing plans thus saving the operating 

agency the effort of performing this task, and 

• The ability to automatically calibrate detectors, thus avoiding this task during 

system test and grooming 

Section 8.3 provides additional application information on SCATS. 

Traffic Adaptive Control Systems 

Traffic adaptive control systems feature sufficient surveillance capability to provide a 

detailed profile of traffic approaching an intersection. Since control decisions are made 

during each phase, no explicit cycle length is defined in the control algorithm. 

RHODES

The RHODES (50) architecture is based on decomposing the control-estimation problem 

into three hierarchical levels: (1) intersection control; (2) network control; and (3) 

network loading. Figure 3-25 shows the RHODES architecture. At the lowest level, 

intersection control, traffic flow predictions and signal phase and duration decisions are 

made based on observed vehicle flows, coordination constraints, flow predictions and 

operational constraints that are typically established by the traffic engineer. These 

decisions are currently made on a second-by-second basis. 

At the middle level, the network control level, predictions of platoon flows are used to 

establish coordination constraints for each intersection in the network. These decisions 

are made periodically at an approximate interval of 200-300 seconds depending on the 

network characteristics. 

At the highest level, the network loading level predicts the general travel demand over 

longer periods of time, typically one hour. These demands can be used proactively to 

determine future platoon sizes at or near the control boundaries. Many of the anticipated 

benefits of Advanced Traveler Information Systems (ATIS) and / or Dynamic Traffic 

Assignment (DTA) can be used for traffic control and management through the network 

loading level. 
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Network Load 

Control

Network Flow 

Control

Intersection 

Control

Traffic Signal 

Activation

Network Load 

Estimator / Predictor

Network Flow 

Estimator / Predictor

Intersection Flow 

Estimator / Predictor

Detectors and 

Surveillance

ATIS

Actual Travel 

Behavior and Traffic

Current Capacities, Travel 

Times, Network Disruptions

(minutes/hours/days)

Platoon Flow Prediction

(minutes)

Vehicle Flow Prediction

(minutes)

Historical / Infrastructure Data

y(t)

Measurements

Scenario

Origins / Destinations

Destinations / Origins Network 

Loads

Target 

Timings

Control 

Signal

Actual 

Timings

.. . ...

Figure 3-25 The RHODES hierarchical architecture. 

OPAC

OPAC (Optimized Policies for Adaptive Control) (51) is a set of algorithms that calculate 

signal timings to minimize a performance function of stops and delays. OPAC was 

developed in a series of versions. OPAC III and OPAC IV are revisions that have been 

physically implemented. 

OPAC III provides local intersection control. It implements a “rolling horizon” strategy 

to make use of flow data that are readily available from existing detection equipment 

without degrading the performance of the optimization procedure. In this version, the 

stage length consists of n intervals. The stage is called the Projection Horizon (or simply 

Horizon) because it is the period over which traffic patterns are projected and optimum 

phase change information is calculated. The horizon is typically taken to be equal to an 

average cycle length. 

Figure 3-26 is an illustration of the rolling horizon procedure. From detectors placed 

upstream of each approach, actual arrival data for k intervals can be obtained for the 

beginning, or head, portion of the horizon. For the remaining n-k intervals, the tail of the 

horizon, flow data may be obtained from a model. A simple model consists of a moving 

average of all previous arrivals on the approach. An optimal switching policy is 

calculated for the entire horizon, but only those changes which occur within the head 
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portion are actually being implemented. In this way, the algorithm can dynamically 

revise the switching decisions as more recent (i.e., more accurate) real-time data 

continuously become available. 

Figure 3-26 Implementation of the rolling horizon approach in OPAC. 

By placing the detectors well upstream of the intersection (10 to 15 sec. travel time) one 

can obtain actual arrival information for the head period. This allows for a more correct 

calculation of delay for any given phase change decision. At the conclusion of the 

current head period, a new projection horizon containing new head and tail periods is 

defined with the new horizon beginning at (rolled to) the termination of the old head 

period. The calculations are then repeated for the new projection horizon. The roll 

period can be any multiple number of steps, including one. A shorter roll period implies 

more frequent calculations and, generally, closer to optimum (i.e., ideal) results. 

OPAC IV is a network version of OPAC. OPAC was developed from the outset as a 

stand-alone “smart controller” that can be used as a building-block in a distributed 

control system. No explicit coordination features were imbedded; however, the 

algorithm has inherent self-coordination capabilities due to the tail model in the 

projection horizon. A system using these capabilities was successfully installed on Rt. 18 

in New Jersey. As part of the RT-TRACS project, the OPAC control logic was expanded 

to include, at the option of the user, an explicit coordination / synchronization strategy 

that is suitable for implementation in arterials and in networks. This version is referred to 
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as Virtual-Fixed-Cycle OPAC (VFC-OPAC) because from cycle to cycle the yield point, 

or local cycle reference point, is allowed to range about the fixed yield points dictated by 

the virtual cycle length and the offset. This allows the synchronization phases to 

terminate early or extend later to better manage dynamic traffic conditions. VFC-OPAC 

consists of three-layer control architecture as follows: 

Layer 1: The Local Control Layer implements the OPAC III rolling horizon 

procedure. It continuously calculates optimal switching sequences for the 

Projection Horizon, subject to the VFC constraint communicated from 

Layer 3. 

Layer 2: The Coordination Layer optimizes the offsets at each intersection (once 

per cycle). This is done by searching for the best offset of the PS within a 

mini-network. Since this is carried out in a distributed fashion at each 

intersection, each SS will, in its turn, also be considered as a PS of its own 

mini-network. 

Layer 3: The Synchronization Layer calculates the network-wide virtual-fixed cycle 

(once every few minutes, as specified by the user). The VFC is calculated 

in a way that provides sufficient capacity at the most heavily loaded 

intersections while, at the same time, maintaining suitable progression 

opportunities among adjacent intersections. The VFC can be calculated 

separately for groups of intersections, as desired. Over time the flexible 

cycle length and offsets are updated as the system adapts to changing 

traffic conditions. 

Saturated Flow Conditions 

A saturated flow condition develops when demand at a point (or points) in a network 

exceeds capacity for a sustained period. This condition reveals itself at an intersection 

through the development of long queues, which may reach from one intersection to 

another. 

When this condition occurs, traffic cannot move even when it receives a green light, and 

jam conditions develop. 

To clear traffic during jam conditions requires a different concept of control. Most of the 

control techniques described up to this point will fail in an oversaturated traffic 

environment. In a network, two levels of saturated flow can occur: 

• Saturated flow at a limited number of signalized intersections, and 

• Widespread saturation. 
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The following control concepts deal with these types of saturated flow. 

Under NCHRP-sponsored Project 3-18, researchers at Polytechnic University developed 

guidelines for improving traffic operations on oversaturated street networks and 

documented them in NCHRP Report 194, Traffic Control in Oversaturated Street 

Networks (52). The researchers used simulation and analytical studies, field tests, and 

national surveys to develop the guidelines. The report enumerates several candidate 

treatments: 

• Minimal response signal remedies — intersection, 

• Minimal response signal remedies — system, 

• Highly responsive signal control, 

• Enforcement and prohibition, 

• Turn bays and other non-signal remedies, 

• Major lane assignments, and 

• Disruptions to the traffic. 

Arterial and network signal timing programs primarily optimize flow on unsaturated 

arterials and networks. These concepts provide progressive greenbands for vehicles and 

minimize a network performance index such as delays and stops. 

However, widespread network saturation requires special coordination techniques (52, 

53, 54). Quinn expresses the coordination principles (53): 

"A common feature of the strategies is a change in the basic concept of what the 

offset between signals is supposed to accomplish. Instead of providing for 

forward progression of vehicle platoons, the signal timings at an upstream 

junction are determined by the start of green downstream, and the time taken for 

the front of a queue to move upstream and clear the upstream intersection. Thus, 

the order of calculation of signal timings is opposite to the flow of congested 

traffic, so that the term 'reverse offsets' is sometimes used. The principle is 

illustrated in Figure 3-27.". 

The NCHRP 3-38 study broadened these concepts. Reference 55 describes the basis for 

developing signal timing plans and strategies along with examples. The reference also 

describes other forms of metering such as external metering (Figure 3-28) and release 

metering (controlled rate of discharge from parking facilities). 
3-67

Figure 3-27 Reverse progression signal offset. 
3-68

Figure 3-28 External metering. 

Lieberman et al (56) describe a control policy for oversaturated approaches as follows: 

“The policy principles are: (1) the signal phase durations “meter” traffic at 

intersections servicing oversaturated approaches to control and stabilize queue 

lengths and to provide equitable service to competing traffic streams; and (2) the 

signal coordination (i.e. offsets) controls the interaction between incoming 

platoons and standing queues in a way that fully utilizes storage capacity, keeps 

intersections clear of queue spill-back and maximizes throughput” 

A number of strategies have been developed to improve the timing of these networks (57, 

58). These strategies generally attempt to accomplish the following. 

• Identify the queue and the queue discharge time. 

• Identify the downstream storage available for queue discharge. 

• Maximize throughput by avoiding the provision of green time that cannot be 

used or is inefficiently used because traffic cannot flow during thee green 

periods. 

The algorithms generally require a search for possible solutions. Techniques such as 

genetic algorithms may be used to facilitate the search. 

Girianna and Benekohal (59) provide an algorithm to manage local queues by distributing 

them over a number of signalized intersections, and by temporarily spreading them over 

several signal cycles. Girianna and Benekohal (60) describe a procedure for dissipating 

queues on a two-way arterial. 
3-69

Where widespread saturation exists, one perspective views the area as possessing a 

capacity to contain vehicles and manages entry flow to this capacity. Smeed provides 

equations to determine the capacity (61). Godfrey (62) illustrates the relationships 

among: 

• Number of vehicles in the network, 

• Throughput of the network in vehicle mi/hr (km/hr), and 

• Average vehicle speed. 

Figures 3-29 and 3-30 illustrate the relationship for the town center of Ipswich, England 

(62). The figures show that current operation provides less than maximum potential 

throughput at an average speed of 7.4 mi/hr (11.9 km/hr). The shape of Figure 3-29 

resembles the freeway speed versus density relationship and the shape of Figure 3-30 

resembles the freeway volume versus speed relationship. These curves suggest 

improvement of network use and travel speed through a combination of external and 

release metering to limit the number of vehicles accessing the network to the number that 

represents a maximum throughput condition. 

Management policies for controlling widespread congestion may make use of regulatory 

or pricing approaches. Both of these techniques require participation at the highest 

political levels in the jurisdiction involved. 

Regulatory Approaches 

After the events of September 11, 2001, New York City restricted the entry of vehicles to 

the central business districts of Manhattan during certain periods of the day. This 

significantly reduced congestion during the period that these controls were in effect. 

Congestion Pricing Approaches 

While a number of localities have used vehicle entry pricing to congested areas, the 

largest scale application of this technique started in central London in February 2003. 

The daily congestion charge of 5 pounds (approximately $8) resulted in considerably 

reduced congestion and increased speed in this highly congested area (63). The website 

(64) describes the collection and enforcement methodology. 

Network Simulation 

A number of simulations exist for modeling surface street networks. Three of these 

simulations also model freeway networks. All of these simulation programs have many 
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similar or exactly the same features. The discussions that follow touch on some of the 

characteristics featured by these models. 

Figure 3-29 Relationship between mean journey speed and number of 

vehicles on town centre network. 
3-71

Figure 3-30 Relationship between mean journey speed of vehicles and total 

vehicle mileage on network. 

CORSIM 

CORSIM (65) is a two-part microscopic traffic simulation tool and is a part of FHWA's 

Traffic Software Integrated System (TSIS). The first part of CORSIM, NETSIM, 

simulates surface streets, and the second part, FRESIM, simulates freeways. The surface 

street simulation has the following capabilities: 

• Graphical visualization system (TrafVu) displays and animates networks, 

including traffic flow, signal operation, freeway and surface street incident 

modeling (accidents, work zones, parking activity), sources / sinks and MOEs. 

• Models pretimed and actuated signals. 

• Models traffic signals, system and local actuation detectors, sign control (stop 

and yield), and roundabouts. 
3-72

• Analyzes the network by continuously tracking all individual vehicles. 

• Uses vehicle and driver behavior models. 

• Models cars, trucks, and buses. 

• Creates text output files for MOEs. The MOEs can be viewed graphically in 

TrafVu. The model provides travel times, average speed and bus statistics. 

• MOEs include Control Delay (can be used to calculate LOS using the HCM 

method), overall vehicle delay, stops, queues, emissions (CO, HC, NOx), fuel 

consumption. 

SimTraffic 

SimTraffic (26) is a Synchro-companion program that allows visual simulation of a 

surface street traffic network. In SimTraffic, it is possible to create mixed networks of 

signalized and unsignalized intersections, model both pretimed and actuated 

intersections, and simulate operation of several intersections by one controller. It is 

possible to model sections of freeways. SimTraffic models cars, trucks, and pedestrians. 

SimTraffic allows the user to simulate traffic signal timings developed in Synchro and 

verify there are no major queues, spillbacks or phasing problems. 

Paramics 

Paramics (66) is a microscopic traffic simulation system developed by Quadstone 

Limited. The system has tools for modeling, analysis and processing of surface street and 

freeway network data. The resulting network can also be displayed visually. The software 

includes an estimating tool for costs. The software can use bitmapped background or an 

aerial photograph for network geometric configuration input (to build the network using 

the bitmap as the background). It has the following features for surface street operation: 

• Three-dimensional visualization system. 

• Pretimed and actuated signals 

• Graphical user interface has network and simulation parameter modification 

tools 

• Analyzes congestion by continuously tracking all individual vehicles on the 

network (vehicles are released on the links) 
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• Allows parking lot simulation, illegal or double parking simulation, and 

incident modeling (disabled vehicles and accidents) including rubbernecking 

delays on the opposite side of the road. 

• Accounts for vehicle type and driver behavior type. 

• Models cars, trucks, and pedestrians. 

• Can model public transportation, including buses and trains. 

• Has capabilities for priority intersection analysis (public transport actuated 

traffic signals). 

• MOEs also include emissions (CO, HC, NOx), fuel consumption and noise 

pollution. 

• Route-cost calculation module (in terms of travel time, distance and tolls). 

Paramics is used in the UK, US, Australia, and in the academic environment. 

VISSIM 

VISSIM (67) is a microscopic traffic simulation model designed to simulate surface 

streets and freeways. The simulation is time step based, and it monitors all individual 

vehicle-driver units. The model consists of the VISSIM traffic flow simulation and the 

CROSSIG control program, which receives the detector input from VISSIM and 

determines the signal phasing. VISSIM does not have links and nodes—it uses a system 

of links and link connectors. Infrastructure typically allocated to nodes (signal heads, stop 

signs, etc.) is allocated to links in VISSIM. VISSIM produces Time-Space and SpaceSpeed Diagrams, and it creates an animated simulation of the vehicle movement. VISSIM 

is used in Europe, and, to a lesser extent, in the United States. It has the following 

features for surface street operation: 

• Stop-sign control, pretimed and actuated signals control 

• Models signals, ramp meters, detectors, and electronic message signs 

• Graphical user interface allows modeling of network geometry. The network 

can be modeled using a bitmap image as a background. 

• Analyzes queues and areas of speed reduction by continuously tracking all 

individual vehicles on the network, recording position, speed and acceleration 

of each vehicle for every second. 
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• Models cars, trucks, and pedestrians 

• Can model public transportation, including buses, light rail and heavy rail 

• Has capabilities for preemption and priority intersection modeling (buses and 

light rail). This may require development of an additional program. 

• Typical input includes network geometry, traffic volumes, vehicle types and 

lengths, vehicle speeds, accelerations, signal timings, and bus stop locations 

and boarding times. The network model can also be imported from the 

transportation planning model VISUM. 

• MOEs include delays, stops, queues, travel times (including delays at signals 

and bus stop delays), emissions and fuel consumption. 

3.9 Special Controls 

Closely Spaced Intersections 

A special case of arterial street control involves two (or rarely three) intersections so 

close together that they are better controlled by the same signal controller rather than by 

separate controllers. A single controller may be advantageous for closely spaced 

intersections under any of the following conditions: 

• The physical spacing between the intersections is small – say 200 feet or less. 

• Careful coordination of the signals is necessary to avoid queue spill-back from 

one intersection that can seriously disrupt operation of the adjacent 

intersection. 

• Both turning and through traffic movements at the upstream intersection 

constitute major traffic movements requiring progression through the 

downstream intersection. 

• The closely spaced signals do not require coordination with other signals on 

the arterial, or require coordination only during peak periods. 

• Actuated control of the signals is desired. 

• One or both intersections operate near saturation during peak periods. 

A single controller can provide the following operational advantages: 
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• The signals can operate in free mode (not coordinated) with all the efficiency 

advantages of fully-actuated, free operation, while still coordinating the 

service of major traffic movements at adjacent intersections to provide 

progression and avoid queue spill-back. 

• Progression between intersections can be maintained even under relatively 

low-volume conditions when it is inefficient to use normal signal coordination 

due to the need for a fixed cycle length long enough to accommodate 

pedestrians and traffic fluctuations. 

• Critical movements can remain coordinated even when normal signal 

coordination measures fail (e.g., clocks drift, signal interconnect fails). 

• A vehicle approaching an upstream signal on a progressing movement can 

cause the appropriate phase at the downstream signal to be called or extended 

as needed. 

Figure 3-31 provides an example of how two closely spaced intersections can share a 

normal eight-phase, dual-ring controller to good effect. Many modern controllers now 

offer sixteen or more phases in four or more rings, and eight or more overlaps, allowing 

use of a single controller even when numerous traffic movements need separate phases or 

overlaps and more than normal dual-ring logic. Some controllers will also support 

multiple cabinets, each with its own set of detectors (inputs), load switches (outputs), 

power supply, and conflict monitor. 

As another example, signalized tight diamond interchanges often use one signal 

controller (68). Such implementations typically involve one of the two phasing 

arrangements shown in Figure 3-32, or switch between these phasing options as traffic 

flow patterns change during the day. One phasing scheme uses three phases per ring and 

is often called Three-Phase Operation. The other uses four phases per ring and is often 

called Four-Phase Operation. 

Three-phase operation gives a green indication to both off-ramps simultaneously, and 

then serves all through movements followed by both left turns to the on-ramps (and their 

adjacent exiting-through movements). Desirably, only one barrier is imposed between 

the two rings (to coordinate the operation of the two intersections even when operating in 

free mode) following phases 1 and 5. However, some controllers don’t allow for single 

barrier operation, and require a second barrier following phases 4 and 8. In this case both 

off-ramps receive identical green times. 

Three-phase operation is efficient if turning traffic volumes are light, and can minimize 

the cycle length. However, as turning volumes increase, this scheme can lead to internal 

queue spillback and operational breakdown. 
3-76

1

2

8

5

6

A

7

A 

ped

8 

ped

6 ped

2 ped

C ped

B 

ped

C

B

4

Notes: 

1. Characters adjacent 

to an arrow head 

represent the number 

of the phase (φ), or 

letter of the overlap, 

that serves the traffic 

movement represented 

by the arrow.

2. Overlaps:

Overlap A = φ3 + φ 4

Overlap B = φ 1 + φ 4

Overlap C = φ 2 + φ 3

3. A flashing yellow 

arrow display or other 

means is needed to 

prevent the left turn 

yellow trap for the 

southbound left turn at 

the tee intersection.

Detectors here call and 

extend phases 3 and 7.

1

C

4

2

B B

5 6

7

8

A A

C

5

2 1 3 4

6 7 8

Southbound through-lane detectors 

here call and extend phase 4.

Detectors here only call 

phase 2.

North

Figure 3-31 Example of one controller for two adjacent intersections. 
3-77

1

D

5 6

2

C

A

B

7

2 4 3 1

5 6 8

2

C C 1

A A

D D

5

B

6

B

North

West intersection

East intersection

Four-Phase Operation

2 1 4

6 5 8

2

C 1

A A

D

5

B

6

B

West intersection

East intersection

Three-Phase Operation

Figure 3-32 Examples of one controller for a diamond interchange. 
3-78

Higher turning movement volumes (from off-ramps, or to on-ramps) can be 

accommodated using the four-phase scheme. In this arrangement, the off-ramps are 

served at different points in the cycle. The exiting-through-and-left movements at the 

other intersection receive a green indication for part of the off-ramp service time. The 

green indication for the exiting-through-and-left movements also coincides with part of 

the green time for entering-through traffic at the adjacent intersection. This avoids 

internal queue spillback problems. 

In four-phase operation, phases 3 and 7 are typically served for a fixed green time, that 

being the travel time from one intersection to the next. This ensures that the first through 

vehicles on the surface street do not have to stop at the second intersection, while 

avoiding wasted time at the second intersection. Efficient use of this fixed phase duration 

requires the termination of phases 4 and 8 via advance detectors on the off-ramps. Phases 

4 and 8 will typically terminate later than phases 5 and 1 respectively, as U turn 

movements at interchanges are rare and exiting-left-turn traffic has already had ample 

time to depart. Phases 4 and 8 can have a very short minimum green time. 

Both of these diamond interchange phasing schemes make use of overlaps to enable a 

traffic movement to receive a continuous green display during two or more phases. The 

overlaps also drive pedestrian displays, at least for pedestrians crossing the surface street. 

Additional overlaps can enable a controller to be programmed with both phasing schemes 

simultaneously, using up to 14 phases. Either subset of phases (three-phase operation or 

four-phase operation) can be selected during a particular timing pattern by omitting the 

other phases. 

Control of multiple intersections with a single controller can also have the following 

drawbacks, which need to be considered: 

• A fault in the controller or other cabinet equipment not duplicated at each 

intersection can cause both intersections to go into failure-mode flash. 

Depending on intersection spacing and traffic patterns, this can be 

undesirable. 

• Unless separate cabinets and power supplies are used, a single controller can 

require relatively long wiring runs which can exceed maximum lengths for 

voltage drop or detector sensitivity unless special cabling is used. 

• It may not be possible to locate a single controller cabinet such that a 

technician can see all movements at all intersections when troubleshooting or 

starting the controller. 
3-79

Directional Controls and Lane Control Signals 

To best use existing facilities, consider unbalanced and / or reversible-lane flow. This 

requires special traffic controls to effect the desired movements. Two basic types of 

operations using surface street directional controls include: 

• Reversible Flow - Dynamically operating a street as one-way inbound, oneway outbound, or two-way. Applications may include: 

- Heavy imbalance of directional traffic flow for relatively short periods 

such as in and out of central business districts, 

- No alternate solutions such as one-way pair or street widening, 

- Severe congestion and need to increase directional capacity, and 

- Nearby parallel street capable of handling minor directional flow during 

peak one-way operation. 

• Off-center lane movement - Partial reversal of traffic flow where only one or 

two lanes are reversed. Applications are similar to reversible flow. 

Current techniques for controlling directional movement use signs or a combination of 

signs and lane control signals. Change of operational mode is usually on a time-of-day 

basis. 

Directional control is often used in tunnel and bridge operations for the following 

purposes: 

• Assignment of roadway lanes to prevailing directional traffic flow 

requirements, 

• Control of traffic flow during maintenance operations, and as 

• An element in incident response plans. 

Reversible lane control has proven the most common use for lane control signals (LCS). 

Examples include (69, 70): 

• Toll booths, 

• HOV lanes, 

• Reversible transitways on freeways, 
3-80

• Arena traffic, and 

• Parking control 

Other applications include: 

• Restriction of traffic from certain lanes at certain hours to facilitate merging 

traffic from a ramp or other freeway, and 

• Lane use control for: 

- Tunnels, 

- Bridges, and 

- Freeways. 

The MUTCD further defines the signal displays and meaning of indications as described 

in Table 3-19. 

Table 3-19 Definitions of lane control signal displays. 

Display Definition 

Steady Downward Green Arrow Driver permitted in the lane over which the arrow 

signal is located. 

Steady Red X Driver not permitted in the lane over which the 

signal is located. This signal shall modify the 

meaning of all other traffic controls present 

Steady Yellow X Driver should prepare to vacate the lane over which 

the signal is located, because the lane control 

change is being made to a steady Red X indication. 

Steady white two-way left-turn arrow Driver permitted to use a lane over which the signal 

is located for a left-turn. Driver further cautioned 

that lane may be shared with opposite flow leftturning vehicles. 

Steady white one-way left-turn arrow Driver is permitted to use a lane over which the 

signal is indicated for a left turn (without 

approaching turns in the same lane) but not for 

through travel. 

The MUTCD further defines other characteristics of LCS including: 

• Display shape and size, 

• Visibility distance and angle, 

• Separate or superimposed display units, 
3-81

• Positioning of LCS over lane, 

• Longitudinal spacing of LCS over length of controlled roadway, and 

• LCS display sequencing and operations. 

An ITE equipment and materials standard also exists for LCS (71). It further defines a 

number of other characteristics including: 

• Construction, 

• Lens color definitions, and 

• Arrow and X shape guidelines. 

Many of the factors that govern visibility of CMS messages also apply to LCS. 

The most common types of LCS are: 

• Fixed-grid fiberoptic, and 

• Fixed-grid light emitting diode. 

Lane Control Signal Technology is discussed in Chapter 8 of the Freeway Management 

and Operations Handbook. 

Lane control signals are not mandatory for reversible lanes or other purposes; signing 

often can suffice in these applications. However, properly designed and operated lane 

control signals generally prove more effective and their use is steadily increasing. 

Preemption Systems 

Preemption of the normal cycling of a traffic signal may be used: 

• To clear traffic from railroad tracks when a train is approaching an at-grade 

crossing within or adjacent to the signal, and to avoid giving a proceed 

indication to vehicular and pedestrian movements that cross the tracks, while 

the crossing is active, and 

• To provide a proceed indication to an approaching fire truck or other 

emergency vehicle, thus reducing delays to such vehicles. Preemption is 

sometimes used similarly to reduce delays for transit vehicles, but this is rare 

and signal priority is typically used for this purpose (see following section). 
3-82

In railroad preemption, a railroad track circuit senses the presence of an approaching 

train. This presence indication is a steady input to the traffic signal controller and causes 

the traffic signal to start a preemption sequence that may include the following stages: 

• Current vehicular and pedestrian service is terminated immediately, 

• A green indication is given to vehicles that may be queued on the railroad 

tracks, just long enough to allow vehicles to move off the tracks, 

• Before the train arrives at the crossing, signal operation changes to either 

flashing red for all signals (pedestrian indications are dark), or cycling through 

a subset of the phases – those that do not conflict with the railroad crossing, 

and 

• When the train departs and the presence input goes away, the signal resumes 

normal operation, but may temporarily operate special timings that help clear 

a queue of vehicles blocked by the train’s crossing. 

Emergency vehicle preemption usually involves a different set of actions. When the 

preemption input is first sensed, or after some fixed delay, current vehicular service is 

terminated if it conflicts with the emergency vehicle movement, but pedestrian service is 

usually allowed to complete timing of the Flashing Don’t Walk indication. The signal 

then jumps to the phases that serve the emergency vehicle movement (typically the phase 

serving a through movement plus any protected left-turn phase in the same direction) and 

remains in these phases until the preemption input goes away or a maximum timer 

expires. As with railroad preemption, the signal may be configured to resume normal 

service at particular phases, or might be configured to start with the phases that will 

instantly restore the coordination offset. 

Emergency vehicle preemption is usually triggered by the presence input from an 

emergency vehicle sensor at the intersection. Fire trucks often use a radio transmitter or a 

strobing infra-red light transmitter. A sensor at the intersection is continuously 

monitoring the approach for such a transmission, and preemption remains in effect while 

the transmission continues to be received. The directional transmission cannot be 

received after the vehicle passes through the intersection. Some transmitters periodically 

send the GPS-derived coordinates of the vehicle, and the receiver determines when the 

vehicle is close enough to require preemption and which approach it is on. 

The preemption input to a traffic signal adjacent to a fire station is often triggered by a 

manual push button at the fire station. Less commonly, emergency vehicle preemption is 

triggered consecutively at a series of signals along the planned route of the fire truck, by 

communication from a master controller (often at the fire station) or central computer. 

The fire fighters provide the initial input to the computer or master unit that starts the 

selected route preemption sequence. Normal operation is typically resumed after a fixed 

amount of time, which should be sufficient for the fire truck to get through each signal. 
3-83

 

Railroad preemption can override emergency vehicle preemption, and both can override 

transit priority. 

Priority Systems 

Priority techniques for transit vehicles on surface streets include: 

• Exclusive (diamond) lanes that give buses exclusive right-of-way except for 

vehicles making right turns. 

• Exclusive contra-flow lanes on one-way streets. 

• Exclusive left turn movements. 

• Lanes or roadway sections exclusively reserved for transit vehicles. 

• Transit signal priority. 

Bus delays at traffic signals usually represent 10 to 20 percent of overall bus trip times 

and nearly one-half of all delays (72). Other authors have come to similar conclusions 

(73, 74, 75, 76); thus, signal priority treatment for buses may be warranted in many cases. 

Minimizing bus delays often results in reducing total person delay for all persons using 

the roadway, whether in buses or private vehicles. 

Conditional Signal Priority gives priority to transit vehicles at an intersection if they can 

effectively use the additional green time. 

Some control techniques available under conditional signal priority include (73, 74, 75, 

76, 77, 78, 79): 

• Phase / green extension: desired phase green is lengthened by a maximum 

time. This proves helpful when the transit vehicle is detected near the end of 

the green and no near side bus stop is present. By extending the green a few 

seconds, the transit vehicle avoids stopping at the signal. 

• Phase early start or red truncation: desired phase green is started earlier. 

This is helpful if the transit vehicle is detected during the desired phase red. 

Starting the desired phase green a few seconds earlier will save a few seconds 

of delay. 

• Red interrupt or special phase: a short special green phase is injected into the 

cycle. This is especially helpful with near side stops serviced from a shoulder. 

The special phase will permit a queue jump. Buses get a special advance 
3-84

phase display which allows them to get through the intersection smoothly and 

get back into a regular lane of travel easily. 

• Phase suppression / skipping: logic is provided so that fewer critical phases 

are skipped. This can be used with logic that assesses congestion on the 

approaches to the skipped phase. 

• Compensation: non-priority phases are given some additional time to make 

up for the time lost during priority. Other compensation techniques include 

limiting the number of consecutive cycles in which priority is granted. 

• Window stretching: non-priority phases are given a core time, which must be 

serviced every cycle, and a variable timer which could be taken away for 

priority purposes. Flexible window stretching differs in that the core time is 

not fixed in position relative to the cycle. 

Extensive treatment of priority strategies is provided in Reference 80. 

Phase green extension and phase green early start are the most commonly used priority 

strategies. Implementation requires that the transit vehicle be detected sufficiently in 

advance of the intersection to facilitate termination of cross street phases. 

A typical arrangement for providing a green advance or green extension priority is shown 

in Figure 3-33. On entering the bus priority provision zone, a priority request would be 

provided. The priority request would be terminated when the bus leaves the priority 

provision zone. If a bus stop is located on Section L1 and the bus doors are open, the 

priority request is terminated and reinitiated when the doors close. 

The implementation of these functions requires close coordination between the traffic 

signal agency and the transit system operator. Some transit properties operate or plan to 

operate “smart buses”. Smart bus components that may be of use for signal priority 

include: 

• DGPS receivers. 

• On board computers. 

• Door status sensors. 

• Dedicated short range communications. 

• Data communications to dispatch center. 
3-85

Changeable Lane Assignment Systems 

Lane use controls may be implemented by using combinations of lane control signals and 

conventional signal indications. While these functions are usually implemented on a time 

of day basis, they may also be implemented on a traffic responsive basis. ented on a traffic responsive basis. 

3.10 Benefits 

Fuel Consumption 

Vehicle fuel consumption represents a major operating expense, and is strongly 

influenced by road and traffic conditions. Figure 3-34 (81) shows an example of the 

relationship. 

L1 L2 

Stop 

bar

 Bus priority provision 

 NOTES 

L1 = extension time * (speed limit or bus cruise speed 

if lower than speed limit). 

L2 is distance required for bus to clear intersection 

L2 = distance from stop bar to far side of intersection 

+ bus length. May be adjusted to compensate for 

DGPS antenna location or other position sensing 

Figure 3-33 Bus priority provision zone. 
3-86

5 15 25 35 45 55 65 75 

35

30

25

20

15

10

5

0

5 15 25 35 45 55 65 75 

35

30

25

20

15

10

5

0

Figure 3-34 Fuel economy as a function of vehicle speed. 

Vehicle Emissions 

The Clean Air Act requires states to develop a state implementation plan (SIP) for each 

pollutant for which a nonattainment area violates the National Ambient Air Quality 

Standards (NAAQS). Transportation measures are a key component in SIP development. 

Depending on the severity of nonattainment, the CAA requires various transportationrelated activities, programs and strategies. States also have the option of choosing among 

a variety of additional voluntary transportation measures that will best serve their needs. 

If these voluntary measures are included in a SIP, then they become enforceable under 

Federal law. As state and local transportation agencies will be required to implement 

these measures, it is vital that they take an active role in SIP development (82). The 

severity of measures required by the SIP depends on the level of nonattainment. An 

example of SIP requirements is shown in Table 3-20 (82). 

The United States Environmental Protection Agency has mandated that the MOBILE6 

(83) model be used for SIP development outside of California (84). MOBILE6 is an EPA 

approved emission factor model for predicting gram mile emissions from cars, trucks and 

motorcylcles under various conditions 
3-87

Table 3-20 Transportation related SIP requirements for carbon monoxide 

nonattainment areas by classification. 

Moderate <12.7 ppm: 

• Inventory of emissions sources every three years 

• Oxygenate gasoline in areas with a design value of 9.5 ppm or above 

• Basic inspection and maintenance program (if existing prior to 1990) 

Moderate >12.7 ppm: 

• All of the requirements for moderate <12.7 ppm areas 

• Annual emissions reductions 

• Enhanced inspection and maintenance program 

• Vehicle miles traveled (VMT) forecasts and estimates for years prior to attainment year 

• Contingency measures to implement if area fails to attain or exceeds VMT forecasts 

• Clean-fuel vehicle program for centrally fueled fleets

Serious: 

• All of the requirements for moderate >12.7 ppm areas 

• Measures to offset growth in emissions due to growth in vehicle miles traveled (VMT) 

Estimating Highway User Costs 

Highway user costs are the total of: 

• Vehicle operating costs, 

• Travel time, and 

• Accident costs. 

Table 3-21 lists passenger car operating costs in the United States in 2003. 

Demonstrating the nation’s reliance on highway transportation, in 1997 more than 182.7 

million U.S. drivers drove more than 2.56 trillion vehicle miles in more than 211 million 

registered vehicles. In the same year, accidents killed 42,588 people, a rate of 1.66 

deaths / 100 million vehicle miles. Tables 3-22 and 3-23 provide information on vehicle 

travel and accidents in 1990. Based on National Safety Council data, Table 3-24 shows 

accident cost rates for 2002. 
3-88

Table 3-21 Passenger car operating costs, United States, 2003. 

operating costs per mile 

gas and oil 7.2 cents 

Maintenance 4.1 cents 

tires 1.8 cents 

cost per mile 13.1 cents 

ownership costs per year 

comprehensive insurance $203 

collision insurance ($500 deductible) $401 

bodily injury and property damage 

($100,000, $300,000, $50,000) 

$498 

license, registration, taxes $205 

depreciation (15,000 miles annually) $3,738 

finance charge 

(20% down; loan @ 9.0%/4 yrs.) 

$744 

cost per year $5,789 

cost per day $15.86 

added depreciation costs 

(per 1,000 miles over 15,000 miles annually) 

$181 

total cost per mile 

15,000 total miles 

per year 

per year 

cost per mile x 15,000 miles $1,965 

cost per day x 365 days *** $5,789 

total cost per year $7,754 

total cost per mile* 51.7 cents 

20,000 total miles 

per year 

per year 

cost per mile x 20,000 miles $2,620 

cost per day x 365 days *** $5,789 

depreciation cost x 5 ** $905 

total cost per year $9,314 

total cost per mile* 46.6 cents 

10,000 total miles 

per year 

per year 

cost per mile x 10,000 miles $1,230 

cost per day x 365 days * * * * $5,190 

total cost per year $6,420 

total cost per mile* 64.2 cents 

* total cost per year ÷ total miles per year 

** excess mileage over 15,000 miles annually (in thousands) 

*** ownership costs based on a 4-year/60,000-mile retention cycle 

**** ownership costs based on a 6-year/60,000-mile retention cycle 

Source: American Automobile Association, “Your Driving Costs,” 2003 (85) 
Table 3-22 Motor vehicle traffic fatalities and injuries - 1997. 

RELATED TO POPULATION, LICENSED DRIVERS, AND VEHICLE REGISTRATIONS REVISED FEBRUARY 2000 

POPULATION 1/ LICENSED DRIVERS 2/ REGISTERED VEHICLEANNUAL FATALITIES NONFATAL ANNUAL FATALITIES NONFATAL ANNUAL 

STATE VEHICLE (PERSONS) INJURED VEHICLE (PERSONS) INJURED VEHICLE 

NUMBER MILES PER RATE (PERSONS) NUMBER MILES PER RATE (PERSONS) NUMBER MILES PER 

CAPITA 4/ RATE 4/ DRIVER 4/ RATE 4/ VEHICLE 

Alabama 4,319,154 12,377 0.28 11.41 3,387,123 15,783 0.35 14.55 3,707,983 14,4Alaska 609,311 7,200 0.13 10.26 446,247 9,831 0.17 14.00 555,860 7,8Arizona - 4,554,966 9,548 0.21 14.98 3,119,537 13,941 0.30 21.88 3,217,039 13,5Arkansas 2,522,819 11,129 0.26 15.82 1,878,618 14,945 0.35 21.24 1,648,141 17,0California 32,268,301 8,851 0.11 8.83 20,385,245 14,011 0.18 13.97 25,385,985 11,2Colorado 3,892,644 9,697 0.16 10.70 2,836,339 13,308 0.22 14.69 3,617,686 10,4Connecticut 3,269,858 8,732 0.10 14.81 2,270,228 12,577 0.15 21.33 2,707,782 10,5Delaware 731,581 10,945 0.20 14.51 535,712 14,946 0.27 19.81 623,612 12,8Dist. of Columbia 5/ 528,964 6,288 0.11 17.07 356,181 9,338 0.17 25.34 234,816 14,1Florida 6/ 14,653,945 9,145 0.19 16.60 11,749,244 11,406 0.24 20.71 11,077,810 12,0Georgia 7,486,242 12,535 0.21 18.62 5,063,192 18,534 0.31 27.53 6,316,850 14,8Hawaii - 1,186,602 6,610 0.11 9.27 738,865 10,615 0.18 14.88 714,030 10,9Idaho 1,210,232 10,643 0.21 11.68 843,891 15,263 0.31 16.75 1,115,987 11,5Illinois 11,895,849 8,349 0.12 10.38 7,691,750 12,912 0.18 16.06 8,624,518 11,5Indiana 5,864,108 11,704 0.16 13.04 3,923,614 17,493 0.24 19.49 5,443,777 12,6Iowa 6/ 2,852,423 9,818 0.16 13.49 1,952,935 14,339 0.24 19.70 2,983,183 9,3Kansas 2,594,840 10,222 0.19 12.20 1,824,944 14,534 0.26 17.35 2,199,857 12,0Kentucky 3,908,124 11,454 0.22 14.43 2,574,662 17,386 0.33 21.90 2,819,462 15,8Louisiana 4,351,769 8,925 0.21 12.85 2,677,845 14,504 0.35 20.89 3,448,597 11,2Maine 1,242,051 10,664 0.15 14.22 900,844 14,703 0.21 19.61 1,086,675 12,1Maryland 6/ 5,094,289 9,189 0.12 8.27 3,346,622 13,988 0.18 12.59 3,824,645 12,2Massachusetts 6,117,520 8,250 0.07 14.78 4,393,429 11,487 0.10 20.58 5,159,232 9,7Michigan - 9,773,892 9,388 0.15 14.17 6,751,267 13,591 0.21 20.52 8,178,066 11,2Minnesota 4,685,549 10,475 0.13 9.83 2,839,291 17,287 0.21 16.22 4,050,873 12,1Mississippi 2,730,501 11,543 0.32 14.17 1,722,513 18,298 0.50 22.46 2,264,653 13,9Missouri 5,402,058 11,659 0.22 15.09 3,744,320 16,820 0.32 21.77 4,406,034 14,2Montana 878,810 10,687 0.30 12.16 662,418 14,178 0.40 16.13 1,001,004 9,3Nebraska 1,656,870 10,307 0.18 18.27 1,178,880 14,486 0.26 25.68 1,524,812 11,1
RELATED TO POPULATION, LICENSED DRIVERS, AND VEHICLE REGISTRATIONS

Table 3-22 Motor vehicle traffic fatalities and injuries - 1997 (continued). 

POPULATION 1/ LICENSED DRIVERS 2/ REGISTERED VEHICLE

ANNUAL FATALITIES NONFATAL ANNUAL FATALITIES NONFATAL ANNUAL 

STATE VEHICLE (PERSONS) INJURED VEHICLE (PERSONS) INJURED VEHICLE 

NUMBER MILES PER RATE (PERSONS) NUMBER MILES PER RATE (PERSONS) NUMBER MILES PER 

CAPITA 4/ RATE 4/ DRIVER 4/ RATE 4/ VEHICLE 

Nevada 1,676,809 9,726 0.21 16.15 1,186,097 13,750 0.29 22.83 1,168,981 13,9New Hampshire 5/ 1,172,709 9,552 0.11 12.25 883,064 12,685 0.14 16.27 1,174,699 9,5New Jersey 8,052,849 7,862 0.10 15.88 5,576,064 11,354 0.14 22.94 5,910,242 10,7New Mexico 1,729,751 12,682 0.28 17.17 1,194,284 18,368 0.41 24.87 1,545,653 14,1New York 6/ 18,137,226 6,659 0.09 15.75 10,529,855 11,470 0.16 27.14 11,007,611 10,9North Carolina 7,425,183 11,029 0.20 20.52 5,399,301 15,168 0.27 28.23 5,855,347 13,9North Dakota 640,883 11,114 0.16 8.94 452,163 15,753 0.23 12.67 711,127 10,0Ohio 11,186,331 9,268 0.13 19.67 8,185,824 12,665 0.18 26.87 10,327,075 10,0Oklahoma - 3,317,091 12,481 0.25 15.71 2,278,757 18,168 0.37 22.86 2,935,703 14,1Oregon 3,243,487 9,949 0.16 10.92 2,276,533 14,174 0.23 15.57 2,952,977 10,9Pennsylvania 12,019,661 8,155 0.13 11.57 8,317,715 11,784 0.19 16.72 9,007,011 10,8Rhode Island 987,429 7,161 0.08 12.67 680,107 10,397 0.11 18.40 727,349 9,7South Carolina 3,760,181 10,992 0.24 15.70 2,613,102 15,818 0.35 22.60 2,889,995 14,3South Dakota 737,973 10,756 0.20 11.06 524,182 15,144 0.28 15.57 742,964 10,6Tennessee 5,368,198 11,275 0.23 15.31 3,929,026 15,405 0.31 20.92 4,590,851 13,1Texas 19,439,337 10,222 0.18 17.89 12,833,603 15,483 0.27 27.10 13,052,067 15,2Utah 6/ 2,059,148 9,928 0.18 15.17 1,357,064 15,065 0.27 23.02 1,552,509 13,1Vermont 5/ 588,978 10,978 0.16 5.62 475,389 13,601 0.20 6.96 514,572 12,5Virginia - 6,733,996 10,443 0.15 12.16 4,901,088 14,348 0.20 16.70 5,764,957 12,1Washington 6/ 5,610,362 9,098 0.12 14.93 4,009,833 12,730 0.17 20.89 4,805,972 10,6West Virginia 1,815,787 10,091 0.21 12.93 1,285,158 14,258 0.30 18.27 1,372,008 13,3Wisconsin 5,169,677 10,524 0.14 12.22 3,672,469 14,814 0.20 17.20 4,422,743 12,3Wyoming 479,743 15,792 0.29 13.23 352,770 21,476 0.39 17.99 568,581 13,3

U.S. Total 267,636,061 9,572 0.16 13.96 182,709,204 14,021 0.23 20.45 211,539,963 12,1

 1/ July 1, 1997, estimates from U.S. Bureau of Census. 5/ Nonfatal injury data reported are incomplete.  2/ Number of driver licenses shown in Table DL-1C. 6/ Nonfatal injury crashes, nonfatal injured persons, most serious in

 3/ Number of total motor vehicle registrations shown in Table MV-1 including  motorcycles. 

 injured that are currently available prior to this publication. 

 4/ Rate in thousands of persons. 

Source: U.S. Department of Transportation Federal Highway Administration Highway Statistics, 1997 (86)
Table 3-23 Motor vehicle traffic fatalities and injuries by highway types - 199

HIGHWAYS OCTOBER 1998 

PUBLIC ANNUAL INJURY CRASHES PERSONS INJURED 1/ MOST SERIOUS PED

HIGHWAY CATEGORIES ROAD VEHICLE- MILES FATAL NONFATAL 2/ FATAL NONFATAL 2/ INJURIES 1/ 2/ FAT

MILEAGE (MILLIONS) NUMBER 3/ RATE 4/ NUMBER RATE 4/ NUMBER 3/ RATE 4/ NUMBER RATE 4/ NUMBER RATE 4/ NU

FUNCTIONAL SYSTEM Rural Interstate 32,819 240,121 2,518 1.05 60,214 25.08 3,033 1.2631132 98,705 41.11 15,322 6.38 Other Principal Arterial 98,257 228,704 4,491 1.96 116,349 50.87 5,373 2.3493249 200,918 87.85 29,033 12.69 Minor Arterial 137,498 162,777 3,795 2.33 114,785 70.52 4,448 2.7325728 192,477 118.25 26,052 16.00 Major Collector 432,728 201,480 5,061 2.51 174,865 86.79 5,734 2.84594 272,672 135.33 38,158 18.94 Minor Collector 272,350 52,327 1,652 3.16 55,479 106.02 1,844 3.5239933 83,500 159.57 9,852 18.83 Local 2,134,836 114,511 4,030 3.52 169,236 147.79 4,457 3.8922025 255,154 222.82 23,062 20.14  Total -- Rural 3,108,488 999,920 21,547 2.15 690,928 69.10 24,889 2.4890991 1,103,426 110.35 141,479 14.15 Urban Interstate 13,249 361,371 2,014 0.56 168,266 46.56 2,281 0.6312073 261,923 72.48 18,938 5.24 Other Freeways & Expressways 9,062 161,015 1,204 0.75 110,456 68.60 1,320 0.8197994 172,611 107.20 12,056 7.49 Other Principal Arterial 53,230 384,982 5,002 1.30 480,020 124.69 5,401 1.4029227 766,336 199.06 56,095 14.57 Minor Arterial 89,196 300,599 3,250 1.08 381,425 126.89 3,522 1.1716606 595,030 197.95 48,865 16.26 Collector 88,042 130,461 1,310 1.00 136,925 104.95 1,399 1.0723511 207,671 159.18 18,667 14.31 Local 583,330 222,024 2,953 1.33 431,623 194.40 3,155 1.4210175 656,623 295.74 35,214 15.86  Total -- Urban 836,109 1,560,452 15,733 1.01 1,708,715 109.50 17,078 1.0944265 2,660,194 170.48 189,835 12.17 FEDERAL-AID HIGHWAYS (RURAL & URBAN) Interstate System 46,068 601,492 4,532 0.75 228,480 37.99 5,314 0.8834698 360,628 59.96 34,260 5.70 Other National Highway System 5/ 

112,852 509,495 6,825 1.34 393,146 77.16 7,784 1.5277873 636,128 124.85 60,944 11.96 

Total National Highway System 158,920 1,110,987 11,357 1.02 621,626 55.95 13,098 1.1789517 996,756 89.72 95,204 8.57 
Table 3-23 Motor vehicle traffic fatalities and injuries by highway types - 1997 (continu

HIGHWAYS

OCTOBER 1998 

PUBLIC ANNUAL INJURY CRASHES PERSONS INJURED 1/ MOST SERIOUS PED

HIGHWAY CATEGORIES ROAD VEHICLE- MILES FATAL NONFATAL 2/ FATAL NONFATAL 2/ INJURIES 1/ 2/ FAT

MILEAGE (MILLIONS) NUMBER 3/ RATE 4/ NUMBER RATE 4/ NUMBER 3/ RATE 4/ NUMBER RATE 4/ NUMBER RATE 4/ NU

Other Federal - Aid Highways 6/ 795,349 1,060,743 17,288 1.63 1,121,679 105.74 19,413 1.8301323 1,771,587 167.01 167,982 15.84 Total Federal - Aid Highways 7/ 954,269 2,171,730 28,645 1.32 1,743,305 80.27 32,511 1.4970093 2,768,343 127.47 263,186 12.12 Total NonFederal - Aid Highways 8/ 

2,990,328 388,642 8,635 2.22 656,338 168.88 9,456 2.4330875 995,277 256.09 68,128 17.53 

U.S. Total 3,944,597 2,560,372 37,280 1.46 2,399,643 93.72 41,967 1.6390978 3,763,620 147.00 331,314 12.94 Puerto Rico 14,622 16,171 551 3.41 41,281 255.28 591 3.6546905 56,282 348.04 1,234 7.63 Grand Total 3,959,219 2,576,543 37,831 1.47 2,440,924 94.74 42,558 1.6517481 3,819,902 148.26 332,548 12.91  1/ Pedestrians injured are included. Most serious injuries are those categorized as incapacitating. 5/ Includes data for non-Interstate facilities, but exclude

and collectors. 

 6/ Includes urban minor arterial and collector and rfunctional systems.  7/ The category Total Federal-Aid Highways includes 

National Highway System. 

 2/ 1996 nonfatal injury information is shown for Arkansas, District of Columbia, Florida, Iowa, Maryland, Missouri, Puerto Rico, New York, Rhode Island, Tennessee, Utah, and Washington because of incomplete reporting prior to this publication. Illinois and West Virginia data are 1995. Most serious injuries were not submitted by the District of Columbia, Georgia, Massachusetts, New Hampshire, Puerto Rico, and Vermont. 8/ Includes local roads and rural minor collectors that are 

 3/ Fatal crash and fatality numbers have been adjusted to agree with State totals obtained from the Fatality Analysis Reporting System (FARS) as of August 24, 1998. 

 4/ Per 100 million vehicle-miles of travel 

Source: U.S. Department of Transportation Federal Highway Administration Highway Statistics, 1997 (86)
3-93

Table 3-24 Costs per accident, 2002. 

Type Cost 

Fatal Accidents $1,090,000 / death 

Non-fatal Disabling Accident $39,900 / injury 

Property damage only Accident (including non-disabling injury) $6200 / accident 

Source: National Safety Council (87) 

Impacts of Traffic Signal System Improvement 

The States of Texas, California, Virginia, North Carolina, Washington, and others have 

conducted comprehensive traffic signal system improvement programs. Percent 

improvement in overall average travel time, delay, or fuel consumption was the basis for 

evaluating the effectiveness of these projects. 

Table 3-25 summarizes MOE improvement for the various traffic signal system 

improvement projects. 

Table 3-25 Benefits of signal system improvement. 

Program / Items Year Fuel Reduction Delay Reduction Stop Reduction 

TLS 1992 9.1% 24.6% 14% 

FETSIM 1993 7.8% 13.8% 12.5% 

Tyson’s Corner, VA 1999 9% 22% 6% 

Seattle, WA MMDI 1999 0.8% 7% 2.7% 

Project Level Impacts 

The degree of improvement in overall traffic performance resulting from a given traffic 

signal improvement project depends, to a large extent on the control methods before 

project implementation. The more primitive the level and quality of the base condition, 

the greater the potential for improvement. 

Fambro in cooperation with the Texas Governor's Energy Office and the U.S. 

Department of Energy (25) conducted an extensive evaluation of traffic signal 

improvement projects in Texas. Table 3-26 shows the overall MOE improvement. The 

evaluation shows that commitment to high quality signal timing efforts, including 

periodic updating of timing plans proves essential in all signal systems from the basic to 

the most advanced. The set it and forget it policy results in significant waste of the 

resources invested in traffic control systems. 
3-94

Table 3-26 Annual benefits from optimization on arterial. 

Coordination / Equipment Status Percent 

Stops (%) 

Percent 

Delay 

(%) 

Percent Fuel 

Consumption 

(%) 

Uncoordinated arterial with existing equipment 10 24 8 

Uncoordinated arterial with new equipment 18 21 14 

Partially coordinated arterial with existing equipment 6 9 3 

Partially coordinated arterial with new equipment 15 18 3 

Coordinated arterial with existing equipment 16 23 17 

Coordinated arterial with new equipment 14 23 12 

Network Impacts 

Improving traffic signal operations, particularly on arterial streets, has powerful areawide 

impacts. With 166 projects completed in 8 large, 7 medium and 19 small cities, the 

Texas TLS Program realized benefits during the first year as shown in Table 3-27 (25). 

Table 3-27 Texas TLS program annual benefits and costs. 

Fuel Size Stops Delay (hrs.) gal L Savings ($) Cost ($) 

Large 

Cities 

1,283,099,850 30,621,657 22,180,341 83,952,590 346,360,309 2,885,302 

Medium 

Cities 

239,633,625 6,926,904 4,481,237 16,961,482 77,106,148 4,032,313 

Small 

Cities 

198,936,150 5,696,696 3,409,346 12,904,375 63,171,212 972,264 

TOTAL 1,721,669,625 43,245,257 30,080,724 113,855,540 486,637,668 7,889,879 

As expected, the bulk of benefits occurred in large cities with the highest population and 

traffic volumes. However, substantial benefits also occurred in medium and small cities; 

the benefit / cost (B/C) ratio for small cities was 65:1. High values of B/C are obtained 

when capital expenditures for improvements are minimal. 

The benefits for each intersection improvement depend on the before condition. For 

example, coordinating a series of isolated intersections generally produced greater 

benefits than retiming an existing coordinated system. Finally, note that signal timing 

optimization can increase delay or fuel consumption on side streets to improve flow 

along the arterial network. However, these increases in delay or fuel consumption often 

prove negligible in terms of total network improvement. Table 3-28 shows network 

improvement data from the TLS Program (25). 
3-95

Table 3-28 Annual benefits from optimization on network. 

Coordination / Equipment Status Percent Stops 

(%) 

Percent Delay (%) Percent Fuel 

Savings (%) 

Uncoordinated network with existing 

equipment 

8 18 8 

Uncoordinated network with new 

equipment 

11.2 16.3 8.8 

Partially coordinated network with 

existing equipment 

4.4 20.5 8.7 

Partially coordinated network with new 

equipment 

16 26 11 

Coordinated network with existing 

equipment 

15 22 12 

Coordinated network with new 

equipment 

15 27 9 

A more recent evaluation is the Seattle Metropolitan Model Deployment Initiative 

Evaluation (88). The following are highlights of the results of this project: 

• Regional delay was reduced by 7% and the total number of stops decreased by 

2.7%, while peak traffic volume increased by 0.2%. 

• Because of the increase in traffic, there was very little improvement in the 

area of energy use and emissions. 

• Overall, the expected number of crashes decreased by 2.5%, with the overall 

number of fatal crashes projected over a ten-year period reduced by 1.1% 

Tables 3-29 and 3-30 show detailed information on the Seattle MMDI Evaluation: 

Table 3-29 Seattle MMDI evaluation: system efficiency impacts. 

Measure per Average A.M. Peak 

Period, North Corridor Subarea 

Baseline ATMS Change % Change 

Vehicle-Hours of Delay 17,879 16,661 -1,218 -7.0% 

Vehicle Throughput 209,372 209,774 +402 +0.2% 

Coefficient of Trip Time Variation 0.242 0.237 -0.005 -2.1% 

Vehicle-Km of Travel 3,438,000 3,455,000 +17,000 +0.4% 

Total Number of Stops 1,200,000 1,167,000 -33,000 -2.7% 

Table 3-30 Seattle MMDI evaluation: energy and emissions impacts. 

Measure per Average A.M. Peak Period Baseline ATMS Change % Change 

Fuel Consumption (I) 354,600 355,600 +1,000 +0.3% (NS) 

HC Emissions (kg) 390 392.6 +2.6 +0.7% (NS) 

CO Emissions (kg) 7043 7116 +73 +1.0% (NS) 

Nox Emissions (kg) 846.2 850.2 +4 +0.5% (NS) 

(NS) = not statistically significant vs. baseline at 90% confidence level 
3-96

Cost-Effectiveness Comparisons 

Traffic signal system improvements rank as one of the most cost-effective urban 

transportation improvement actions. The following presents results of cost-effectiveness 

analyses of four different signal optimization programs at different locations and time 

periods. 

• Optimization in Tysons Corner, VA, in 1999: Annual savings to motorists 

traveling the network were estimated at about $20 million. Stops were reduced 

by 6% (saving $418 thousand), system delay decreased 22% ($18 million), 

and fuel consumption decreased 9% ($1.5 million). Total annual emissions for 

CO, Nox, and VOC was decreased by 134,600 kilograms (89). 

• FETSIM (Fuel Efficient Traffic Signal Management) between 1983 and 1993: 

The FETSIM Program involved 163 local agencies and 334 projects, 

improving 12,245 signals at a cost of $16.1 million, or $1,091 per signal. 

Results show reductions of 12.5% in stops, 13.8% in delay, 7.7% in travel 

time, and 7.8% in fuel consumption. The benefit / cost ratio is about 17:1 

(90). 

• TLS Program (Traffic Light Synchronization) in 1992: The TLS Program 

expended $7.9 million, approximately $3500/intersection (equipment 

purchase). It resulted in annual reductions in fuel consumption, delay, and 

stops of 9.1% ($30 million), 24.6% (43 million hours), and 14.2% (1.7 billion 

stops), respectively. The total savings to the public in the form of reduced 

fuel, delay, and stops was approximately $485 million in 1993. The benefit / 

cost ratio is about 62:1 (25) 

• SSOS (Statewide Signal Optimization Squad) in North Carolina 1987: 

- The SSOS Program average cost per retimed signalized intersection is 

$481, 

- Each intersection annually saved 13,500 gallons of fuel, and $51,815 of 

operating costs, and 

- The benefit cost ratio is about 108:1 (91). 

• National Signal Timing Optimization (NSTO) Project by FHWA 1981: The 

NSTO Project cost $456 per intersection. At an average intersection each 

year, 15,470 vehicle-hours of delay were reduced, 455,921 vehicle stops were 

eliminated and 10,526 gallons of fuel were saved. The benefit / cost ratio is 

63:1 (92). 
3-97

3.11 Measures of Effectiveness 

Any new or modified traffic control system should satisfy a goal or set of goals. The goal 

may explicitly state: reduce congestion in the core area of a city by minimizing stops and 

delays or pledge increase accessibility to downtown business. Goals may be easy to 

state, but difficult to measure. 

Measures of effectiveness (MOE) provide a quantitative basis for determining the 

capacity of traffic control systems and their strategies to attain the desired goals. To 

successfully determine goal attainment, the MOEs must relate to the goals. Also, with no 

comparative analyses, measures must be compared with baseline values to determine the 

quality of goal attainment. Other desirable criteria for selecting MOEs include: 

• Simplicity within the constraints of required precision and accuracy, 

• Sensitivity to relatively small changes in control strategy implementation, and 

• Measurability on a quantitative scale within reasonable time, cost, and 

manpower budgets. 

Common measures of effectiveness include: 

• Total travel time, 

• Total travel, 

• Number and percentage of stops, 

• Delay, 

• Average speed, 

• Accident rate, and 

• Throughput. 

These measures of effectiveness indicate the improvement in efficiency of traffic flow 

resulting from control. 

Table 3-31 describes these MOEs and their calculation. 

Several other important MOEs can be derived from those in the Table. Gasoline 

consumption and emissions, for example, can be computed from total travel time, stops, 

and delay (93). 
Table 3-31 Measures of effectiveness (MOE). 

MOE Description Calculation 

Total Travel Time A primary MOE for evaluating freeway and 

urban street control systems and strategies. Expressed in vehicle-hours (veh-hr), it represents the product of the total number of vehicles using the roadway during a given time period and the average travel time of the vehicles. 

The average travel time, ttj, in hours over a roadw

j

j

j u

X

tt =

 

Where: Xj = Length of roadway section, in mi (km) and 

uj = Average speed of vehicles over roadway secti

mi/hr (km/hr) Total travel time, TTTj, in veh-hr over section j is

j

jj

jjj u

XN

ttNTTT ==

 

Where: Nj = Number of vehicles traveling over section j, d

 time period, ttj = Average travel time of vehicles over roadway 

 section j, in hrs Total travel time, TTT, in veh-hr, for all sections ois: 

∑

=

=

K

j

TTT TTTj

1 

Where: TTTj = Total travel time for section j, in veh-hr 

K = Number of roadway sections 
Table 3-31. Measures of effectiveness (MOE) (continued). 

MOE Description Calculation 

Total Travel Another common MOE used to evaluate traffic 

operations. Expressed in units of vehicle-miles (veh-mi) (vehicle-kilometers (veh-km)), it represents the product of the total number of vehicles using the roadway during a given time period and the average trip length of the vehicles. 

The total travel, TTj, in veh-mi, over a roadway s

= NXTT jjj

(3.28) Where: Xj = Length of roadway section j, in mi (km) 

Nj = Number of vehicles traveling over section j dEquations 3.26 and 3.28 suggest that the total t(veh-km), over a roadway section j can be dertime and average speed for section j, as follows: 

j = VTTTTT jj

(3.29) Where: TTTj = Total travel time for section j during tim

and Vj = Average speed of vehicles over section j 

in mi/hr (km/hr) Total travel, TT, in veh-mi (veh-km), for all sectio

∑=

=

K

j

TTTT j

1

(3.30) Where: K = Number of roadway sections 
Table 3-31. Measures of effectiveness (MOE) (continued). 

MOE Description Calculation 

Number and Percentage of Stops 

Evaluates the quality of flow on urban streets. Stops may be obtained by floating vehicle methods or by direct observation of the intersection. Traffic control systems may have the capability to compute stops. 

The calculation of the number of stops on an approis determined by the relationship between detector timing. A typical time-space diagram for number is presented in Figure 3-35. The number of stnumber of detector actuations that occur between the last time that a vehicle can cross the detecinterval, and still clear the intersection without stoTgc and Trc are based on predetermined vehicle the detector and the intersection. In some algonumber of stops, these trajectories remain the swhile in others they vary according to the numbstopped between the detector and intersection. 

Delay Widely used MOE in traffic control. On urban 

arterials, delay is defined as the increase beyond a travel time corresponding to a baseline speed (a 

speed below which travel would be considered delayed). For urban intersections, delay is commonly defined as the time lost at the intersection by those vehicles that are stopped. Box and Oppenlander describe a technique for manually obtaining stopped delay (94). 

For urban arterials, baseline travel time subtractetravel time for the same time period. Where cosystems compute delay, Figure 3-35 illustrates stopped-vehicle delay. Assuming all stopped intersection on the next green, the delay Di, in stopped vehicle is determined. 

)()( i =

−

−

ri

+

−TtdTtcRD gi

(3.31) Where: R = Length of the red interval, in seconds Tr = Time at which the red interval begins, in se

tci = Predicted time at which the ith vehicle wo

intersection if it had not been stopped, in seconds Tg = Time at which the next green interval bein

tdi = Predicted time at which the ith vehicle clea

intersection, in seconds 
Table 3-31. Measures of effectiveness (MOE) (continued). 

MOE Description Calculation 

Delay (continued) Time, tci, is determined from the time, taj, at 

actuates the detector and a predetermined approtdj, is determined from time, Tg, at which thbegins and- a predetermined departure trajectoused to compute stopped-vehicle delay provpredetermined approach and departure trajectonumber of vehicles already stopped. Assuming clear the intersection on the next green, total stopin seconds, for a cycle is determined by: 

∑=

=

n

i

DD i

1

(3.32) Where: Di = The delay of the ith vehicle stopped 

seconds n = The number of vehicles stopped during tAlgorithms based on these concepts may be suadditional sources of error: 

• Vehicles making right-turns-on-red may not b

for

• The algorithm might not properly handle satu

Average Speed One of the most descriptive variables of freeway 

traffic flow. Point samples of average stream speeds or the speed traces of individual vehicles can locate problem areas and provide useful data 

for developing other performance measures (93). 

Manually, by radar or laser guns. See Table 3-1 system detectors. 
Table 3-31. Measures of effectiveness (MOE) (continued). 

MOE Description Calculation 

Accident Rate Accident rate improvement is a common goal 

for traffic control systems. Rates for intersections usually are expressed in terms of accidents per million entering vehicles. Freeway accident rates are often expressed in accidents per 100 million vehicle miles. 

Box and Oppenlander describe techniques- for detesignificance of accident data (94). 

Throughput Although its dimension is equivalent to speed, 

throughput is usually used in a somewhat different way. Figure 3-36 shows plots of throughput for a baseline system (curve A) and an improved traffic control system (curve B). These plots represent a best mathematical fit of the data represented by individual sets of measurements. Throughput is represented by the slope of the line to a point on the curves. As traffic demand increases, the throughput begins to decrease. This approach enables the traffic engineer to more precisely measure results relative to goals. For example, if the goal is to improve congested traffic conditions, examination of curve B in the congested region indicates only marginal improvement. This might lead the traffic engineer to consider strategies to specifically target to this region (section 3.8). 

Vehicle 

ofunitperhours

unitperkmmiVehicle Throughput )(

=

for one or more traffic conditions 
Figure 3-35 Time-space diagram for stop and delay computations for urban 

street control. 

Figure 3-36 Throughput and component MOEs. 

3-103
In many cases, these MOE are measured independently of traffic control system data. 

Box and Oppenlander (94) provide techniques and sample size requirements for 

performing many of these studies. 

In some cases, these studies may use data generated by the traffic system. It then 

becomes important to: 

• Identify the measurement error for these variables, and 

• Specify and collect a sample size which assures statistically significant results. 

Evaluation procedures must also consider the demand element. The evaluation must 

account for: 

• Changing traffic demands between the before and after period, 

• Other factors such as weather. 

3

3-104
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Electrical Manufacturers Association, 1998. 
CHAPTER 4 

CONTROL AND MANAGEMENT CONCEPTS FOR FREEWAYS 

Table of Contents

Section .................................................................................................................................................... Page 

4.1 Introduction................................................................................................................................. 4-2

4.2 Congestion.................................................................................................................................... 4-3

4.3 Forms of Freeway Management ................................................................................................ 4-5

4.4 Relationship between Freeways and Surface Streets ............................................................... 4-8

References .................................................................................................................................................. 4-9

4-1
CHAPTER 4 

CONTROL AND MANAGEMENT CONCEPTS FOR FREEWAYS 

Figure 4-1 INFORM (Long Island, NY) control center. 

4.1 Introduction 

A freeway is a limited access highway with high speeds, and ramps to allow entry and 

exit. Freeways may or may not have tolls. Freeways were originally intended to provide 

free-flowing, high-speed traffic flow over long distances. Very little thought was put into 

managing congestion because freeways were never expected to be congested. However, 

as cities grew and commuters moved to suburbs, freeways began mixing long-distance 

traffic with commuter traffic and the congestion that previously affected surface streets 

now also affected freeways. 

This chapter provides a brief overview of freeway management. For more information, 

refer to the Freeway Management and Operations Handbook (1). 

The main objectives of a freeway management system are to: 

• reduce the impacts and occurrence of recurring congestion on the freeway 

system. 

4-2
• minimize the duration and effects of nonrecurring congestion on the freeway 

system. 

• maximize the operational safety and efficiency of the traveling public while 

using the freeway system. 

• provide facility users with information necessary to aid them in making 

effective use of the freeway facilities and to reduce their mental and physical 

stress. 

• provide a means of aiding users who have encountered problems (crashes, 

breakdowns, confusion, etc.) while traveling on the freeway system. 

4.2 Congestion 

Congestion occurs on a freeway when demand exceeds capacity. When this occurs on a 

freeway section, a bottleneck exists. A bottleneck occurs when: 

• Demand increases to a level greater than capacity, or 

• Capacity decreases to a level less than demand. 

To understand what causes freeway congestion, one must understand the theory of traffic 

flow summarized below. 

Important traffic flow parameters include: 

• Flow (V) = Number of vehicles passing a certain point during a given time 

period, in vehicles per hour (veh / hr) 

• Speed (S) = The rate at which vehicles travel (mph) 

• Density (D) = Number of vehicles occupying a certain space. Given as veh / 

mi. 

D = V / S 

The fundamental diagram shown in Figure 4-2, relates flow and density. This diagram is 

highly idealized and actual traffic flow characteristics vary considerably. Examples of 

typical flow characteristics are provided in HCM 2000 (2). 

4-3
Figure 4-2 Generalized relationships among speed, density, and flow rate on 

uninterrupted-flow facilities. 

Free flow speed (Sf) occurs during light traffic conditions. When density reaches the 

critical density (D0), the freeway reaches its maximum flow (Vm). Speed at that point is 

decreased to S0. When the density increases beyond the critical density, the flow actually 

decreases, until the density reaches the jam density (Dj), where the flow becomes zero 

and all traffic is stopped. When the density is below the critical density, the flow is said 

to be stable, or uncongested. When the density exceeds the critical density, the flow is 

said to be congested, or unstable, and the freeway capacity decreases. Because more 

vehicles are processed when the flow is stable, it is best for the density to be as close as 

possible to, but below the critical value so the freeway can operate at its full capacity. 

Congestion has become a daily occurrence on many portions of urban freeway networks. 

Even casual observers can locate points of expected congestion. Congestion commonly 

expected at predictable locations during approximately predictable periods of time is 

termed recurrent congestion. 

In contrast, other forms of congestion result from random or less predictable events. 

Such nonrecurrent congestion results most frequently from incidents. Congestion from 

special events (e.g., sporting events, maintenance and construction activities) may be 

considered nonrecurrent congestion. 

4-4
To measure congestion, researchers at Texas Transportation Institute developed a 

Roadway Congestion Index (RCI), depicted as follows (3): 

RCI =

Freeway

VMT/Lane-Mile

x Freeway

VMT

Principal Arterial Street

VMT/Lane-Mile

+ x Principal Arterial Street

VMT

13,000 x + x 5,000 Principal Arterial Street

VMT

Freeway

VMT

Congestion, both recurrent and nonrecurrent, is characterized by the following conditions 

that cause user dissatisfaction: 

• Slow travel speeds 

• Erratic speeds (stop-and-go movement) 

• Increased and inconsistent travel times 

• Increased accident potential 

• Inefficient operation 

If users expect a certain level of congestion during peak periods, they can plan trips 

accordingly. However, nonrecurrent congestion can severely impact an otherwise 

satisfactory trip during peak or off-peak periods. The inability to provide a reliable, 

although sometimes lower, level of service may prove to be a more serious problem. 

4.3 Forms of Freeway Management 

Freeway management includes the categories shown in Figure 4-3. 

These topics are outlined below and covered in detail in Reference 1. 

• Surveillance and incident detection: Techniques for surveillance and incident 

detection include vehicle detectors, closed-circuit television (CCTV) cameras, 

and 911 calls. 

• Mainline / lane use control: Lane use control makes the most efficient use of 

mainline capacity. Techniques include temporary shoulder utilization, 

reversible lanes and signs, variable speed limits, large truck restrictions and 

mainline metering. 

4-5
FREEWAY

OPERATIONS

CONTROL CENTER

TELEPHONE

“HOTLINES”

INFORMATION

DISSEMINATION

INTERNET

COMPUTER

ACCESS

COORDINATION

WITH OTHER

AGENCIES

LANE

CONTROL

SIGNS

INFORMATION

SERVICE

PROVIDERS

KIOSK

HIGHWAY

ADVISORY

RADIO

RADIO / TV

IN-VEHICLE

DISPLAYS

CHANGEABLE

MESSAGE SIGNS

DIVERSION

PLANS

MOTORIST

ASSISTANCE

PATROL

WORK ZONES

SPECIAL

EVENTS / MAJOR

EMERGENCIES

REMOVAL

STRATEGIES

INCIDENT

MANAGEMENT

RAMP

METERING

RAMP

CLOSURE

RAMP

CONTROL

ICE, SNOW,

TEMPERATURE

FOG

ROAD WEATHER

INFORMATION

SYSTEMS

SEPARATE

HOV

FACILITIES

PRIORITY

ACCESS

RESERVED

LANES

PREFERENTIAL

PARKING

HOV

TREATMENTS

MAIN

LINE

METERING

SHOULDER

UTILIZATION

REVERSIBLE

SIGNS

LANE USE

CONTROL

INCIDENT

DETECTION

VEHICLE

DETECTORS

CLOSED-CIRCUIT

TELEVISION

SURVEILLANCE

Figure 4-3 Freeway management categories. 

4-6
• High occupancy vehicle (HOV) priority treatment: Giving priority to HOVs 

increases the number of people served by the facility, while possibly 

decreasing the number of vehicles. An example of HOV priority is having 

either a lane or an entire facility open only to buses or carpools. Another 

example is priority access, by having a special HOV lane on a metered onramp to allow buses or carpools to bypass the ramp queue. 

• Ramp control: Ramp meters are special traffic signals on a freeway on-ramp 

that control the traffic entering the freeway, in order to keep the freeway 

uncongested. Ramps can also be closed under extreme circumstances. 

• Information dissemination: Information dissemination gives real-time 

information to motorists, which is considered one of the most important 

functions of freeway management. Information can be given on incidents, 

adverse weather and driving conditions, speed and travel time information, 

construction and maintenance activities, planned special event destination, 

special lane and roadway control measures, and information on alternate 

routes. Methods used for information dissemination include Internet services, 

radio information, in-vehicle navigation devices, changeable message signs 

(CMS), and highway advisory radio (HAR). Figure 4-4 shows an example of 

a CMS on a freeway: 

• Freeway management system: A freeway management system is the common 

interface for multiple agencies in a region. This can help coordinate different 

freeways and surface streets, as well as other modes of transportation. 

• Incident management: The purpose of incident management is to detect and 

respond to incidents, in order to restore the freeway to full capacity as quickly 

as possible after an incident, as well as to provide aid to stranded or injured 

motorists. Incident management requires coordination among various 

agencies, and coordination among various human and technological resources. 

• Road weather information systems (RWIS): RWIS consists of sensors 

embedded in the road and weather stations located near the road that monitor 

and report temperature and weather conditions. RWIS is especially useful in 

the winter. Fog detectors may be used in certain locations. 

4-7
Figure 4-4 CMS on a freeway. 

4.4 Relationship between Freeways and Surface Streets 

In recent years, as both freeways and surface streets experience more congestion, it is 

becoming increasingly important to improve coordination between freeways and surface 

streets. With ramp metering, for example, some traffic may avoid the freeway, leading to 

increased traffic on a surface street. A few ways in which surface streets can be taken 

into account in freeway management include: 

• CMS signs on a freeway can display information relating to congestion on 

surface streets, and display alternate routes to minimize congestion on both 

freeways and surface streets. 

• Ramp metering may be reduced or suspended if congestion on surface streets 

is extreme, especially if the ramp meters are causing a spillback queue. 

• If there is congestion or an incident on the freeway, traffic signal timing on 

surface streets could be modified to improve traffic flow and encourage 

diversion to surface streets. 

• Improved signal timing and geometries at exit ramp intersections with surface 

streets may alleviate mainline freeway congestion at exit ramps. 

4-8
4-9

4 References 

1. Neudorff, L.G., J.E. Randall, R. Reiss, and R. Gordon. “Freeway Management 

 and Operations Handbook.” Federal Highway Administration Report No. 

 FHWA-OP-04-003, Washington, DC, September 2003. 

2. “Highway Capacity Manual.” Transportation Research Board, Washington, D.C., 

 2000. 

3. Schrank, D.L, S.M. Turner; and T.J. Lomax. “Estimates of Urban Roadway 

 Congestion – 1990”, Federal Highway Administration Report No. FHWA/TX-

 90/1131-5. 
CHAPTER 5 

CONTROL AND MANAGEMENT CONCEPTS – INTEGRATED SYSTEMS 

Table of Contents

Section .................................................................................................................................................... Page 

5.1 Introduction................................................................................................................................. 5-2

5.2 Traffic Management on Surface Streets.................................................................................... 5-3

Monitoring Traffic Conditions and Adjusting Signal Timing....................................................... 5-3

Detecting Incidents and Advising Motorists ................................................................................. 5-4

Advising Motorists of Traffic Problems in the Area..................................................................... 5-4

Monitoring Traffic Conditions Resulting from Special Events and Advising Motorists .............. 5-4

Assisting with Parking Information .............................................................................................. 5-5

5.3 Use of Transit Vehicles on Surface Streets as Probes for Traffic Incident Detection ........... 5-5

5.4 Bus Rapid Transit Corridors ..................................................................................................... 5-5

References .................................................................................................................................................. 5-7

5-1
CHAPTER 5 

CONTROL AND MANAGEMENT CONCEPTS – INTEGRATED SYSTEMS 

Figure 5-1 Diversion advisory message in the INFORM (Long Island, NY) 

corridor. 

5.1 Introduction 

Obtaining the most efficient traffic flow through a corridor involves coordination among 

the freeways and the surface streets in the corridor. Integrated Traffic Management 

Systems (ITMS) coordinate traffic control within a corridor or area. They integrate: 

• Hardware with software elements 

• Traffic signal systems 

• Freeway management systems 

• Traveler information systems (1) 

Freeways in a corridor are primarily designed to serve longer trips. Where freeways are 

available, surface streets provide the following functions: 

• Short trips 

• Local land use access 

• Access for freeways 

5-2
• Alternates to freeways for recurrent congestion situations 

• Alternates to freeways under incident conditions 

• Alternates to freeway when a long queue exists on a metered ramp 

Corridor control may be used to maximize throughput in a corridor consisting of a 

freeway and parallel surface streets. Ramp metering and motorist information devices, 

when appropriately used, may assist in the balancing of traffic to achieve this objective. 

5.2 Traffic Management on Surface Streets 

Two fundamental technologies that are used in most ITMS are closed circuit television 

(CCTV) cameras and changeable message signs (CMS). The following are a few ways in 

which CCTV and CMS can be used together to integrate freeways and surface streets in a 

corridor: 

• Monitor traffic conditions and adjust signal timing 

• Detect incidents and advise motorists 

• Advise motorists of traffic problems in the area 

• Monitor traffic conditions resulting from special events and advise motorists 

• Assist with parking information 

While signal timing is the primary means of traffic management on surface streets, a 

number of other techniques are described in this section for traffic management and 

coordinating traffic operations with freeways. 

Monitoring Traffic Conditions and Adjusting Signal Timing 

CCTV cameras are one of the primary methods of monitoring traffic conditions and 

detecting incidents. CCTV cameras allow an operator at the traffic management center 

(TMC) to monitor traffic on both freeways and surface streets to determine the location 

of congestion and incidents. If an incident or heavy congestion occurs on a freeway, 

traffic can be diverted to a parallel surface street, and the timing of the signals on the 

surface street can be modified to provide more green time in the direction parallel to the 

freeway. 

5-3
One place where this concept is used is the INFORM system on Long Island, New York. 

Changeable message signs (CMS) on the freeway and at key entry ramps notify motorists 

of the location of incidents on the freeway. Operators at the INFORM traffic 

management center select appropriate signal timing plans to facilitate surface street 

traffic flow. Every signal has six pre-set timing plans. Three of the plans are used under 

normal conditions: off-peak, A.M. peak, and P.M. peak. The other three plans are used 

when a timing change appropriate for the incident is required. Stored incident timing 

plans include diversion for incidents in the eastbound and westbound directions, and in 

both directions. The system allows the operator to manually group signals together in the 

vicinity of the incident, and to select one of the incident timing plans. It is also possible 

to have a pre-set signal timing group, and in the case of freeway construction, all the 

signals in the group can be automatically set to one of the incident timing plans. 

The use of CCTV on surface streets as on freeways raises the issue of privacy. CCTV 

cameras monitored by TMCs for traffic management purposes are not intended for the 

surveillance of individual vehicles or off-roadway sites. Some agencies have developed 

regulations to ensure that this intent is honored (2). 

Detecting Incidents and Advising Motorists 

One of the primary purposes of CCTV is to assist with incident detection. CCTV 

cameras can be located on both freeways and surface streets, and cameras are especially 

useful at an interchange where a camera has a view of both the freeway and the surface 

streets. If an incident is detected on either a freeway or surface street, CMS may be used 

to alert drivers and to possibly divert traffic elsewhere. CMS are discussed in greater 

detail in Chapter 10. 

Advising Motorists of Traffic Problems in the Area 

CCTV cameras can be used to find a major traffic problem, and CMS can alert drivers to 

the problem. 

Monitoring Traffic Conditions Resulting from Special Events and Advising 

Motorists 

CCTV cameras and CMS are useful during special events, both planned (such as a 

concert or a football game), as well as unplanned emergencies (such as a terrorist attack 

or a storm). Special events create traffic patterns that are quite different from normal. 

Many drivers going to a special event may not normally drive through the corridor in 

question, and are not familiar with alternate routes. Roadway and lane configurations 

may be different; for example, a normally two-way road may be converted to one-way in 

the peak direction, or a road may be closed for security reasons or to provide access for 

emergency vehicles. 

5-4
Assisting with Parking Information 

CCTV cameras, as well as other technologies, can monitor a large parking lot to 

determine which lots or sections are full, and CMS (or other methods of information 

dissemination) can notify drivers as to which parking lots are full or closed, and to direct 

drivers to parking lots that have available capacity. 

5.3 Use of Transit Vehicles on Surface Streets as Probes for Traffic Incident 

Detection 

Many transit properties have equipped or will equip transit vehicles with global 

positioning satellite (GPS) equipment (3). This equipment enables the geographic 

position of the transit vehicle to be determined. This position is then automatically 

communicated via bus radio to the dispatcher. When used in conjunction with computer 

aided dispatch (CAD) equipment, a vehicle that is later than the normally expected travel 

time variation from the schedule can be identified. On query from the dispatcher, the 

driver may confirm the presence and classification of a traffic incident. The latter step 

may be accomplished without voice communication through a terminal and keyboard at 

the driver’s location. 

5.4 Bus Rapid Transit Corridors 

Bus rapid transit (BRT) (4) provides rapid, convenient and comfortable bus service. 

Components of bus rapid transit include: 

• Improved running ways, including dedicated lanes and improved bus service 

in non-dedicated lanes. 

• Enhanced and attractive stations. 

• Improved vehicles. 

• Frequent service. 

• Simple, easily understood route structures. 

• Simple lane collection and multiple door boarding, making it fast and easy to 

pay. 

• Improved passenger information. 

Running way improvements may include the following: 

• Exclusive transitways. 

• HOV Lanes. 

5-5
• Dedicated transit lanes. 

• Transit streets or malls. 

• Queue jump lanes or bays. 

• Signal priority for transit vehicles. 

Locations in the U.S. that have deployed or are implementing BRT initiatives include: 

• Los Angeles, California 

• Boston, Massachusetts 

• Eugene, Oregon 

• Honolulu, Hawaii 

5-6
5-7

5 References 

1. “Symposium on Integrated Traffic Management Systems.” Transportation 

Research Circular #404, March 1993. 

2. “Policy for the Design and Operation of Closed-Circuit Television (CCTV), in 

Advanced Traffic Management Systems.” New York State Department of 

Transportation, September 4, 2001. 

3. “Task 3 Technical Memorandum – Transit Technology Compatibility – Route 5 

Corridor Project, Capital District Transportation Authority.” Dunn Engineering 

Associates, October 1999. 

4. “BRT – Bus Rapid Transit.” Transportation Research Board, 2001. 

 
CHAPTER 6 

DETECTORS 

Table of Contents

Section .................................................................................................................................................... Page 

6.1 Introduction................................................................................................................................. 6-2

6.2 Detector Operations Summary .................................................................................................. 6-4

Detector-Controller Relationship .................................................................................................. 6-4

 Low-Speed Approaches.................................................................................................. 6-8

 High-Speed Approaches ................................................................................................. 6-9

6.3 Vehicle Detector Location and Configuration........................................................................ 6-14

Isolated Actuated Intersection Control........................................................................................ 6-14

 Small-Area Detectors.................................................................................................... 6-14

 Large-Area Detectors.................................................................................................... 6-14

 Left-Turn Lanes ............................................................................................................ 6-18

Control of Arterial and Network Intersections............................................................................ 6-20

Detector Locations for Conventional Traffic Systems................................................................ 6-21

 Link Selection............................................................................................................... 6-21

 Longitudinal Placement ................................................................................................ 6-21

 Lateral Detector Placement........................................................................................... 6-22

 General Guidelines for Spotting Detectors................................................................... 6-22

References ................................................................................................................................................ 6-24

6-1
CHAPTER 6 

DETECTORS 

Figure 6-1 Radar detector. 

6.1 Introduction 

The Traffic Detector Handbook (1) provides a detailed discussion of traffic detectors. 

Klein (2) also provides extensive information, and was used as a major source in the 

preparation of this chapter. 

Any traffic-responsive control system depends on its ability to sense traffic for local 

intersection control and / or system-wide adjustment of timing plans. A system 

accomplishes this by using one or more of the following detector types: 

• Pavement Invasive Detectors 

- Inductive Loop: Most common detector technology. Consists of one or 

more turns of insulated loop wire wound in a shallow slot sawed in the 

pavement. Loop detectors come in different sizes and shapes, and various 

configurations can be used depending on the area to be detected, the types 

of vehicles to be detected, and the objective (such as queue detection, 

vehicle counting, or speed measurements). 

- Magnetometer: Measures changes in both the horizontal and vertical 

components of the earth’s magnetic field. Early magnetometers could 

only detect the vertical component, which made them unable to operate 

6-2
near the equator, where magnetic field lines are horizontal. Newer twoaxis fluxgate magnetometers overcome this limitation. Magnetometers are 

useful on bridge decks and viaducts, where the steel support structure 

interferes with loop detectors, and loops can weaken the existing structure. 

Magnetometers are also useful for temporary installations in construction 

zones. 

- Magnetic: Consists of a coil of wire with a highly permeable core. 

Measures the change in the lines of flux of the earth’s magnetic field. Can 

only detect vehicles moving faster than a certain minimum speed, and 

therefore can not be used as a presence detector. Useful where pavement 

cannot be cut, or where deteriorated pavement or frost activity break 

inductive loop wires. 

• Non-pavement invasive detectors 

- Microwave Radar: Transmits microwave energy toward the roadway. CW 

(Continuous Wave) Doppler radar can only detect flow and speed. 

FMCW (Frequency Modulated Continuous Wave) radar can also act as 

presence detector. Certain bridges with large steel structures can cause 

problems with radar based systems. 

- Active Infrared: Transmits infrared energy from detector and detects the 

waves that are reflected back. 

- Passive Infrared: Does not transmit any energy; detects energy from 

vehicles, roadway and other objects, as well as energy from the sun that is 

reflected by vehicles, roadway, and other objects. 

- Ultrasonic: Transmits ultrasonic sound energy waves, and measures the 

distance that the reflected wave travels. Can detect vehicle count, 

presence, and lane occupancy. 

- Acoustic: Measure vehicle passage, presence, and speed by passively 

detecting acoustic energy or audible sounds produced by vehicular traffic. 

- Video Image Processor: Video cameras detect traffic, and the images are 

digitized, processed and converted into traffic data. Can replace several 

loop detectors, and measure traffic over a limited area, rather than just a 

single point. 

• Specialized detector function 

- Bus 

6-3
- Automatic Vehicle Identification / Electronic Toll and Traffic 

Management 

- Overheight 

- Environmental 

- Pedestrian 

- Pre-emption 

A system can use traffic detectors singly or in combination to measure variables such as 

presence, volume, speed, and occupancy. Occupancy refers to the percentage of time that 

there is a vehicle over the detector. 

Systems use these variables as control parameters at individual signalized intersections, 

and in other advanced signal control logic. 

For local control of intersections, the local controller will: 

• Process these outputs, 

• Compare processed detector information with some preset control parameter 

or parameters, and 

• Make a decision on intersection phasing and timing. 

This chapter discusses detector locations, configurations, and applications. 

6.2 Detector Operations Summary 

This section describes the detector-controller relationship and techniques for using 

detectors on low- and high-speed approaches. An understanding of this section will 

allow appropriate selection of a detector type for a given application. Tables 6-1 and 6-2 

compare characteristics of different detector types. 

Detector-Controller Relationship 

A vital relationship exists between a controller's timing intervals and the detection 

techniques it employs. The appropriate combination of detector type, placement and 

controller settings can improve an intersection's efficiency and safety. The following 

discussion highlights this relationship and is based on Guidelines for Selecting TrafficSignal Control at Individual Intersections, Vol. II (3). 

6-4
Table 6-1 Strengths and weaknesses of commercially available sensor 

technologies. 

Technology Strengths Weaknesses 

Inductive 

Loop 

• Flexible design to satisfy large 

variety of applications. 

• Mature, well-understood 

technology. 

• Large experience base. 

• Provides basic traffic parameters 

(e.g., volume, presence, 

occupancy, speed, headway, and 

gap). 

• Insensitive to inclement weather 

such as rain, fog, and snow. 

• Provides best accuracy for count 

data as compared with other 

commonly used techniques. 

• Common standard for obtaining 

accurate occupancy measurements. 

• High frequency excitation models 

provide classification data. 

• Installation requires pavement cut. 

• Improper installation decreases pavement 

life. 

• Installation and maintenance require lane 

closure. 

• Wire loops subject to stresses 

of traffic and temperature. 

• Multiple detectors usually required to 

monitor a location. 

• Detection accuracy may decrease when 

design requires detection of a large 

variety of vehicle classes. 

Magnetometer 

(Two-axis 

fluxgate 

magnetometer) 

• Less susceptible than loops to 

stresses of traffic. 

• Insensitive to inclement weather 

such as snow, rain, and fog. 

• Some models transmit data over 

wireless RF link. 

• Installation requires pavement cut. 

• Improper installation decreases pavement 

life. 

• Installation and maintenance require lane 

closure. 

• Models with small detection zones 

require multiple units for full lane 

detection. 

Magnetic 

(Induction or 

search coil 

magnetometer) 

• Can be used where loops are not 

feasible (e.g., bridge decks). 

• Some models are installed under 

roadway without need for 

pavement cuts. However, boring 

under roadway is required. 

• Insensitive to inclement weather 

such as snow, rain, and fog. 

• Less susceptible than loops to 

stresses of traffic. 

• Installation requires pavement cut or 

tunneling under roadway. 

• Cannot detect stopped vehicles unless 

special sensor layouts and signal 

processing software are used. 

Microwave 

Radar 

• Typically insensitive to inclement 

weather at the relatively short 

ranges encountered in traffic 

management applications. 

• Direct measurement of speed. 

• Multiple lane operation available. 

• CW Doppler sensors may not detect 

stopped vehicles. 

• Some models have problem when used in 

large steel structures. (i.e. steel bridges) 

• Overhead conductors within beam cone 

can cause problems. 

6-5
6-6

Table 6-1 Strengths and weaknesses of commercially available sensor technologies 

(continued). 

Technology Strengths Weaknesses 

Active 

Infrared 

(Laser radar) 

• Transmits multiple beams for 

accurate measurement of vehicle 

position, speed, and class. 

• Multiple lane operation available. 

• Operation may be affected by fog when 

visibility is less than ≈20 ft (6 m) or 

blowing snow is present. 

• Installation and maintenance, including 

periodic lens cleaning, require lane 

closure. 

Passive 

Infrared 

• Multizone passive sensors measure 

speed. 

• Passive sensor may have reduced vehicle 

sensitivity in heavy rain, snow & dense 

fog. 

• Some models not recommended for 

presence detection. 

Ultrasonic • Multiple lane operation available. 

• Capable of overheight vehicle 

detection. 

• Large Japanese experience base. 

• Environmental conditions such as 

temperature change and extreme air 

turbulence can affect performance. 

Temperature compensation is built into 

some models. 

• Large pulse repetition periods may 

degrade occupancy measurement on 

freeways with vehicles traveling at 

moderate to high speeds. 

Acoustic • Passive detection. 

• Insensitive to precipitation. 

• Multiple lane operation available 

in some models. 

• Cold temperatures may affect vehicle 

count accuracy. 

• Specific models are not recommended 

with slow moving vehicles in stop-and-go 

traffic. 

• Detection problems in highly elevated 

background noise environment. 

Video Image 

Processor 

• Monitors multiple lanes and 

multiple detection zones/lane. 

• Easy to add and modify detection 

zones. 

• Rich array of data available. 

• Provides wide-area detection when 

information gathered at one camera 

location can be linked to another. 

• Generally cost-effective when 

many detection zones within the 

camera field-of-view or specialized 

data are required. 

• Installation and maintenance, including 

periodic lens cleaning, require lane 

closure when camera is mounted over 

roadway (lane closure may not be 

required when camera is mounted at side 

of roadway) 

• Performance affected by inclement 

weather such as fog, rain, and snow; 

vehicle shadows; vehicle projection into 

adjacent lanes; occlusion; day-to-night 

transition; vehicle / road contrast; and 

water, salt grime, icicles, and cobwebs on 

camera lens. 

• Requires 50- to 70-ft (15- to 21-m) 

camera mounting height (in a sidemounting configuration) for optimum 

presence detection and speed 

measurement. 

• Some models susceptible to camera 

motion caused by strong winds or 

vibration of camera mounting structure. 

• Movement from other structures (i.e. span 

wires or overhead conductor) within field 

of view can cause problems. 
Table 6-2 Traffic output data (typical), communications bandwidth, and cost of commercially a

Count Presence Speed 

Output Data 

Occupancy Classification 

Multiple Lane, Multiple Detection Zone Data 

Communicatio

Bandwidth 

Sensor Technology 

9

9

9b 9

9c Low to Modera

Inductive Loop 

9

9

9b 9 Low 

Magnetometer (two axis fluxgate) 

9

9d 9b 9 Low 

Magnetic Induction Coil 

9

9e 9

9e 9e 9e Moderate 

Microwave Radar 

9

9

9f 9

9

9 Low to Modera

Active infrared 

9

9

9f 9 Low to Modera

Passive infrared 

9

9

9 Low 

Ultrasonic 

9

9

9

9

9g Low to Modera

Acoustic Array 

Video Image Processor 

9

9

9

9

9

9 Low to High h 

a. Installation, maintenance, and repair costs must also be included to arrive at the true cost of a sensor solution as disb. Speed can be measured by using two sensors a known distance apart or estimated from one sensor, the effective de

lengths. 

c. With specialized electronics unit containing embedded firmware that classifies vehicles. d. With special sensor layouts and signal processing software. e. With microwave radar sensors that transmit the proper waveform and have appropriate signal processing. f. With multi-detection zone passive or active mode infrared sensors. g. With models that contain appropriate beamforming and signal processing. 

h. Depends on whether higher-bandwidth raw data, lower-bandwidth processed data, or video imagery is transmitted i. Includes underground sensor and local detector or receiver electronics. Electronics options are available to receive 

lane data. 
Low-Speed Approaches experience speeds less than 35 mi/hr (56.3 km/hr). Detection 

system requirements depend on whether the controller unit phase has been set to locking

or non-locking detection memory (sometimes termed memory ON or memory OFF, 

respectively). 

Locking Detection Memory enables a controller to remember or hold a vehicle call (even 

after the calling vehicle leaves the detection area) until satisfied by the appropriate green 

indication. Locking detection memory often uses small-area or point detection such as a 

6- by 6-ft (1.8- by 1.8-m) loop or magnetometer. This approach minimizes detection 

cost. However, it cannot screen out false calls (such as those occurring with a right turn 

on red). 

Most traffic engineers desire the allowable gap to range from 3 to 4 seconds, which 

requires locating the detector 3 to 4 seconds of travel time back from the stopline. This 

approach efficiently positions the detector to accurately time the end of green, after 

passage of the first vehicle of a queue or platoon. 

However, the above technique applies only to low-speed approaches and intersections 

controlled by an actuated controller (without gap reduction). Using a practical allowable 

gap of 3 to 4 seconds, the detector setback should not exceed 170 ft (52 m). Some 

agencies prefer to limit this to 120 ft (37 m). See Table 6-3 for a summary of this 

principle (1). 

Table 6-3 Detector location and timing parameters. 

Approach Speed Detector Set-Back From 

Stopline to Leading Edge 

of Inductive Loop 

Detector 

Minimum 

Green 

Time 

Passage 

Time 

mi/hr km/hr feet meters seconds seconds 

15 24 40 12 9 3.0 

20 32 60 18 11 3.0 

25 40 80 24 12 3.0 

30 48 100 30 13 3.5 

35 56 135 41 14 3.5 

40 64 170 52 16 3.5 

45+ 72+ Volume-density or multiple detectors recommended. 

Note: Volume-density could be considered at speeds of 35 mi/h (56 km/h) or above. 

Non-locking Detection Memory sets phases through loop-occupancy control using largearea presence detectors, such as 6- by 50-ft (1.8- by 15.2-m) loops or multiple 

magnetometer detectors. In this non-locking mode, the controller phase drops (or 

forgets) a waiting call when the vehicle leaves the detection zone. This greatly simplified 

control strategy responds to the presence / non-presence of vehicles. The non-locking 

feature reduces delay by avoiding diversion of the right-of-way to an empty approach. 

6-8
Loop-occupancy control was first used at intersections with a separate left-turn control, in 

addition to locations that permitted right-turn-on-red. In this application, a call placed 

during the yellow change interval cannot restore the green to an empty approach. 

Another potential advantage exists at intersections that permit a left-turn during the 

through movement (permissive left). To enhance this operation, a delay detector unit 

outputs a call to the controller only if a vehicle is continuously detected beyond a preset 

time period. The NEMA TS2 specification includes an optional delay / extension 

capability (4). Other controllers can achieve this capability using appropriate controller 

software. During light traffic conditions, left-turn and right-turn-on-red vehicles in 

transit over the loop are detected, but no call is placed until the preselected time delay has 

expired, thus reducing intersection delay by omitting unnecessary phase changes. 

Often, loop-occupancy control is used for through-phase detection on approaches with 

low-approach speeds. This technique minimizes delay by allowing the use of a short 

extension interval in the range of 0 to 1.5 seconds. 

The length of the detection area depends on the approach speed and the controller timing 

settings. For approach speeds below 30 mi/hr (48.3 km/hr), Figure 6-2 indicates a 

detection area length for various unit extension time settings (1). Approach speeds above 

35 mi/hr (56 km/hr) require a different technique to alleviate driver indecision caused by 

the yellow change interval. 

L = 1.47 S (3 – PT) – 18 in English units (6-1a) 

L = 0.277 S (3 – PT) – 5.5 in metric units (6-1b) 

 Where 

L = length of detection area, ft (m) 

S = approach speed, mi/h (km/h) 

PT = passage time (unit extension), seconds. 

120 

100 

80

60 

40 

20 

0 

5 10 15 20 25 30 

Approach Speed, S (mi/h)

Length of Detection Area, L (ft)

0

.5

1.0

1.5

Passage Time (seconds)

120 

100 

80

60 

40 

20 

0 

5 10 15 20 25 30 

Approach Speed, S (mi/h)

Length of Detection Area, L (ft)

0

.5

1.0

1.5

Passage Time (seconds)

 

Figure 6-2 Inductive loop detector length for loop occupancy control. 

High-Speed Approaches experience speeds of 35 mi/hr (56 km/hr) or greater. If the 

yellow change interval begins with a vehicle in an indecision zone, the driver may have 

6-9
difficulty deciding whether to stop or proceed through. An abrupt stop may produce a 

rear-end collision, while going through on red may produce a right-angle accident. Table 

6-4 shows the boundaries of the dilemma zone, and Figure 6-3 illustrates dilemma zone 

boundaries for a vehicle approaching an intersection at 40 mi/h (5). The data indicates 

that the upstream boundary of the dilemma zone, where 90 percent of motorists will 

decide to stop, lies 4.5 to 5 seconds from the intersection. The lower boundary, where 10 

percent of the motorists will decide to stop, is 2 to 2.5 seconds from the intersection. 

Therefore, the duration of the dilemma zone does not exceed 3 seconds, starting 

approximately two seconds in advance of the stopline. Figure 6-4 shows one 

implementation for a high speed approach. 

Table 6-4 Dilemma zone boundaries. 

Approach Speed Distances from intersection for 90% and 10% 

probabilities of stopping 

mi/h km/h 90% values 

in feet 

10% values 

in feet 

90% values 

in meters 

10% values 

in meters 

35 56 254 102 77 31 

40 64 284 122 87 37 

45 72 327 152 100 46 

50 80 353 172 108 52 

55 88 386 234 118 71 40 mi/h Dilemma Zone 162' 122' 284'

Figure 6-3 Dilemma zone for vehicle approaching an intersection at 40 mi/h 

(64 km/h). 

6-10
6-11

Figure 6-4 Loop location for extended call-delay design with 55 mi/hr (88.6 

km/hr) approach design speed. 

An actuated controller with appropriate detection can minimize inappropriate yellow 

change intervals. A research project examined a number of advanced detector-controller 

designs for high-speed, isolated approaches (6). Table 6-5 shows conventional detectorcontroller designs enhanced with multiple-point detection and / or a density-actuated 

controller (7). For details of the applications of these designs, see Chapters 10 and 11 of 

Reference 6. Table 6-5 demonstrates various combinations of detector-controller 

hardware that improve safety at high-speed intersections. 
Table 6-5 Conventional detector-controller unit configurations for high-speed appro

Type of System Design Memory Detection Type Controller Comm

1. Green-extension systems for semiactuated controllers 

A. 2-loop B. 3-loop 

Locking Semi-actuated Composed of extended-call detectors 

hold the controller in main street phasvehicle has cleared the dilemma zonethan design speed or termination of trapped in the dilemma zone. Increaprotection results in an intolerable allo

2. Extended-call detection systems for basic controllers 

A. Extended-call (EC) design uses 70 ft (21.3 m) loop at the stopline (normal detector output) supplemented by extended-call detector 5 seconds before the stopline B. Extended-call and delayed-call (EC-DC) design uses 25 ft (7.6 m) loop at stopline (delay-call output) supplemented by extension detector 5 seconds before stopline and a third detector between them (see figure 6-4 (8)) 

Nonlocking Basic full- actuated A. The stretch setting on the extend

compromise between rapid operation aprotection for slower vehicles. The design is typically 5 seconds because long loop at the stopline. Appears limthan 10,000 ADT. Design has lowest iB. A stretch setting of 2.2 seconds ocarry vehicles approaching within the mi/hr (64.4 to 88.5 km/hr) through the dilemma zone. A vehicle traveling km/hr) will also be protected becaubefore the vehicle has reached its dileextension time produces an allowabseconds (55 mi/hr (88.5 km/hr)) and 4km/hr). The allowable gap is actually difference of the EC design. The Estopline loops to give a decided superworld operation. 

3. Multiple-point detection systems for basic controllers 

A. Bierele modified method uses 5 detectors for 55 mi/hr (88.5 km/hr) approach speeds, with farthest detector placed 349 ft (106.4 m) from the stopbar. Uses special detector logic to determine approach speed and disable first 3 loops (see figure 6-5a (9)) 

Locking Basic fullactuated A. Bierele has modified his design f

mi/hr (64.4 km/hr). The first 3 detecbased on 40 mi/hr (64.4 km/hr) samplifier (speed detector). 2 additionasecond intervals for 40 mi/hr (64.4 kmft (106.4 m) is reached, and tied (standard detector). For speeds grekm/hr), the special detectors are disabdetectors extend the green to maintain 
Table 6-5. Conventional detector-controller unit configurations for high-speed approaches (continued). 

Type of System Design Memory Detection Type Controller Com

3. Multiple-point detection systems for basic controllers (Continued) 

B. Texas Department of Highways and Public Transportation uses primary loop detector placement designs for 45 to 55 mi/hr (72.5 to 88.5 km/hr) (see figure 6-5a (9)) C. Winston-Salem method employs 3 sensors for 50 mi/hr (80.5 km/hr) approach D. SSITE method uses 6 sensors for 50 mi/hr (80.5 km/hr) approach 

Locking Locking Non-locking 

Basic full-actuated Basic full-actuated Basic full-actuated 

B. This method used AASHTO stopon 1 second perception-reaction timto 55 mi/hr (88.5 km/hr). This assumption that a vehicle entering thspeed will guarantee a safe stopping speed is maintained or reduced by no km/hr) between successive loops. C. This method for detector placeBierele method, and uses stopping 

from the Traffic Engineering Handbof initial detection is 240 ft (73.2 m) for a 50 mi/hr (80.5 km/hr) approadetect a vehicle before it reaches the improve the design in that respect resan allowable gap that is too long and the controller to max-out. D. This multisensor design will adefrom the dilemma zone, with its faseconds from the stopline. Howeverinterval, two-50 mi/hr (80.5 km/hrallowable gap of 7 seconds; too long 

4. Extended-call systems for density controllers 

A. Single-point method composed of a presence loop at the stopline and one upstream detector B. Multiple-point method employs a presence loop at the stopline and several upstream sensors 

Non-locking Non-locking 

Density fullactuated Density fullactuated 

A. This method provides dilemma zoperating at the design speed. The sinterval may be insufficient for a susable yellow line. B. The multiple-point method can dilemma zone protection for a varieoperating conditions. A queue can gapping out and false calls can be detection at the stopline. 
6.3 Vehicle Detector Location and Configuration 

This section focuses on alternative detector designs and their appropriate application to: 

• Isolated actuated intersection control, 

• Urban system control, and 

• Freeway monitoring and control. 

Isolated Actuated Intersection Control 

Since vehicle arrivals fluctuate at individual intersections, efficiency depends on 

responsiveness to minute-by-minute demand variations. The actuated green interval is 

changeable and can be tailored to actual arrivals. This varying green interval (from 

minimum to maximum controller settings) is determined by the unit extensions generated 

by vehicles crossing the detectors. For most volume levels, full actuated control proves 

to be the most cost-effective method (10). Full vehicle actuation is normally preferable 

to pretimed or semi-actuated control. 

Small-Area Detectors simply detect the passage of a vehicle at a spot location (e.g., 

upstream of the stopline). Small-area detectors are often called short-loop, point, or 

passage detectors. The magnetic detector can only be used for point detection because it 

covers a small area. Short-loop detectors (less than 20 ft (6.1 m) long) are the simplest 

and most common type. 

As previously discussed, small-area loops back from the stopline act as calling detectors 

for high-speed approaches. Figure 6-5 illustrates a high-speed detector design using 

multiple short loops (11). Magnetometers also cover small areas. Some agencies use a 

single 6 ft (1.8 m)-long loop to cover two or more lanes. Single point detection is 

relatively inexpensive but gives no information on traffic between the downstream 

detector and stopline. Figure 6-6 illustrates the contrast between small- and large-area 

detection (10). 

Large-Area Detectors, usually long loops, register presence of a vehicle in the detection 

zone as long as the detector remains occupied. In this mode, the controller holds in the 

extension interval until the detector clears. Thus, a very short extension interval is used. 

Figure 6-7 illustrates various detection designs, including both small- and large-area 

detection (9). 

6-14
Figure 6-5 (a) 

Figure 6-5 (b) 

Figure 6-5 Two methods of multiple point detection systems for approach 

speeds up to 55 mi/hr (88.6 km/hr). 

6-15
Figure 6-6 Contrast between small-area and large-area detection. 

6-16
Figure 6-7 Typical detector designs. 

As previously discussed, loop occupancy control uses large-area detection and nonlocking detection memory. This design operates best with well-formed platoons on lowspeed approaches. However, random vehicles may cause the controller to max-out when 

vehicle headways permit one vehicle to enter the detection zone just as the previous one 

leaves. Figure 6-4 shows detector placement for the extended and delayed call (EC-DC) 

design using large-area detection at the stopline with two small-area detectors upstream 

for high-speed vehicles (8). This detector configuration has proven very effective. 

Disadvantages of large-area detection include: 

• Higher installation costs, and 

• Greater maintenance problems with long loops. 

6-17
To reduce long loop problems, use a series of 6-ft (1.8-m) wide loops placed parallel to 

the stopline and separated by approximately 9 or 10 ft (2.7 or 3.0 m). This design allows: 

• Higher loop sensitivity and protection against losing a lane of detection, and 

• Operation with one or more failed loops. 

Left-Turn Lanes. Efficient vehicle detection in left-turn lanes can increase intersection 

capacity by reducing lost green time. The Illinois Department of Transportation has 

designed a loop configuration for left-turn lanes that improves intersection efficiency and 

safety (12). Efficient presence actuation must account for: 

• Driver start-up time averages 3 to 4 seconds for the first vehicle in a queue 

while headway averages 2 to 3 seconds between following vehicles. Loop 

length must accommodate longer than average reaction times to maintain 

green for starting vehicles. 

• Trucks and other slow vehicles require a longer start-up time, often leaving a 

three to four car length (6 to 12 second) gap ahead of them. At locations with 

a relatively high percentage of trucks, loop length must account for these gaps. 

• One or two vehicles require only a short green time. The detection zone 

length, however, must allow the following car either to reach the loop in time 

to maintain the green or decelerate to a stop. 

• A vehicle extension interval of 1.0 seconds permits drivers to almost complete 

their turning radius before yellow occurs. Any additional extension becomes 

lost time. A shorter vehicle extension interval disturbs drivers when the 

yellow appears. 

• A minimum loop length from the stopline of 80 ft (24.4 m). 

• Vehicles allowed to turn left on the through green (permissive), normally 

proceed past the stopline and wait for a gap in the opposing traffic to complete 

their turns. Lack of a gap can strand the left-turner ahead of the detection 

zone that ends at the stopline. The controller will then skip the protected leftturn phase in the next cycle, if no other vehicles are waiting to turn left. The 

driver may complain of a malfunctioning signal resulting in an unnecessary 

service call. Extending the detection zone beyond the stopline may resolve 

this problem. 

Figure 6-8 shows a minimum left-turn loop design that addresses the above requirements 

(12). 

6-18
3'

80'

Quadrupole loop

6' 3'

50'

2'

28'

Length varies

13'

3'

80'

Quadrupole loop

6' 3'

50'

2'

28'

Length varies

13'

Figure 6-8 Left-turn detection inductive loop configuration used by Illinois. 

The loop layout should include advanced, local actuation detection when: 

• Left-turn demand requires storage of 150 ft (45.7 m) or more, or 

• Approach speeds require a safe stopping distance. 

Advanced detection using a call-extension feature, will extend the effective detection 

zone to accommodate heavy vehicle or truck volumes and provide for safer operation 

(see Figure 6-9 (12)). 

In many instances, one 30 to 40 ft ( 9 to 12.2 m) presence loop suffices for left-turn 

detection and provides rapid initiation of the left-turn phase. Left-turn loop design varies 

with: 

• Approach speed, 

• Presence of heavy trucks, and 

• Grade and intersection geometries. 

6-19
Figure 6-9 Extended detection on left-turn lanes. 

Control of Arterial and Network Intersections 

This section describes the data monitoring subsystem for traffic signal systems. System

detectors are normally located in strategic locations within the system and usually require 

count and presence capability. 

Volume and occupancy are the most commonly used variables in traffic control and are 

the most important factors in traffic-responsive plan selection and other real-time trafficresponsive algorithms. Volume proves to be the most easily obtained and accurate 

variable. Occupancy, as defined in Chapter 3, generally proves less accurate, since it can 

depend on vehicle profile and other factors. Measuring and detecting occupancy is 

extremely important, since it will continue to increase as intersections become saturated 

(Volume measures level off to a constant, proportional to green time divided by average 

vehicle headway.). 

It has been observed that occupancies over twenty-five percent reliably indicate the onset 

of congestion (13). Accurate determinations of occupancy depend on the repeatability of 

the pickup and dropout characteristics of vehicles entering the detection zone and on 

variations in vehicle characteristics. An occupancy error is also introduced as a result of 

detector output being sampled by a communications unit or field microprocessor, rather 

than by continuous measurement. Therefore, occupancy measurements (in terms of 

percentage of error) tend to be more accurate at lower speeds. Chapter 3 describes several 

data-filtering and smoothing techniques relating to occupancy measurement. 

A distinction should be made between system detectors and local actuation detectors. A 

local intersection detector connects directly to an actuated controller, whereas the system 

detector connects to the central computer or arterial master either directly or via the local 

controller. 

6-20
Detector Locations for Conventional Traffic Systems 

Data monitoring requirements for area wide traffic- responsive control depend on the 

control type. 

Detector location for systems using the UTCS area control algorithm consists of a 3-step 

process that selects: 

• Links, 

• Longitudinal placement, and 

• Lateral placement. 

Link Selection is important, since cost increases in proportion with the number of 

detectorized links. A link is a section of roadway carrying a single direction of traffic 

flow between two signalized intersections. Links that approach the intersection of major 

arterials or the intersection of a major arterial with a moderately traveled arterial are 

usually selected for detector placement, as these links tend to dominate timing plan 

selection. 

To implement timing plan selection by the UTCS algorithm, at least eight system 

detectors on different approaches in a single section are recommended. After 20 to 25 

detector locations have been selected for a section, the value of information provided by 

additional detectors becomes marginal in terms of timing plan selection, but can be useful 

in providing additional resolution to the traffic operations engineer. 

Longitudinal Placement for First Generation Control requires an accurate occupancy 

measurement to support the software. 

Reference 14 recommends a distance of approximately 230 ft (70.1 m) from the upstream 

intersection stopline. Detectors should not be placed where standing queues from the 

downstream intersection typically extend. This distance depends on cycle length, split, 

and offset, but the following minimum distances are recommended: 

• Urban grid areas: 200 to 250 ft (61 to 76.2 m) 

• Suburban arterials: 300 to 350 ft (91.4 to 106.7 m) 

The criteria based on typical queue size is considered more critical and should govern in 

the event of a conflict (14). 

Another longitudinal-detector placement issue concerns traffic sinks and sources. 

Research indicates that a sink / source only minimally affects traffic in the critical lane 

when a facility operates as a sink; e.g., a parking garage during the morning peak. This 

results because vehicle turns into the sink usually occur from the curb lane, rather than 

6-21
the critical lane. Measurable effects on the critical lane were observed only during the 

evening peak, when the facility functions as a source. 

Most vehicles exiting a source wait for a sufficient gap in their target lane before entering 

traffic. Therefore, a critical lane detector should be located at least 50 ft (15.2 m) 

downstream from the source, provided that this meets the downstream intersection 

criteria described earlier. In general, unless the source contributes more than 40 v/hr to 

the critical lane, its effects on link demand are insignificant. 

Lateral Detector Placement. The lateral positioning of detectors refers to the lane or 

lanes in which they are to be installed. In general, detectors must be capable of 

measuring the highest lane volume at the intersection approach. The work of Henry, 

Smith, and Bruggerman indicates that at the midblock location, the lane designated as the 

critical lane did not change over the entire daytime period for approximately 65 percent 

of the cases (15). To identify the high volume lane on all links when not directly 

obvious, recommended steps include (14): 

• Identify the intersection approach requiring detectorization, 

• Conduct measurements for 20 signal cycles during the A.M., P.M., and 

midday periods at each intersection approach, 

• Collect the data by positioning manual observers at the longitudinal detector 

position, 

• Record volume data on a 5-minute basis, and 

• Analyze the data by comparing the total volumes measured for the approach 

lanes. 

In many cases, simple observation of an intersection will establish the high volume lane. 

These more detailed measurements will only prove necessary in areas where short-term 

observation of intersection operation does not permit critical lane selection. 

Balke et al (16) discusses considerations for locating detectors for closed loop traffic 

control systems. The guidance is generally similar to that provided for systems based on 

the UTCS algorithm. 

General Guidelines for Spotting Detectors. Previous sections describe: 

• Selecting links to be detectorized, 

• Appropriate longitudinal location, and 

• Detector lane placement. 

6-22
After completing a detectorization plan, the engineer should walk through each link to 

select final detector locations. This field check should also consider: 

• Access to the controller cabinet, 

• Special driveway problems, 

• Pavement conditions and special situations, such as pavement construction 

joints, and 

• Manhole locations. 

• Bus stop locations 

• Time of day parking restrictions 

General guidelines concerning field location of individual loop detectors include (14): 

• Locate a detector in the center of traffic flow, not necessarily in the center of 

the marked lane. Identify the center of traffic flow by oil markings or tire 

tracks on the pavement. 

• Locate the detector in areas of stable traffic flow. Avoid sections of a link 

with excessive weaving or entering and exiting driveways. 

• When a major driveway occurs within a link, locate the detector at least 50 ft 

(15.2 m) downstream from the driveway, provided the detector is at least 200 

ft (61 m) upstream of the stopline. 

• Traffic detectors should not be located within 10 ft (3 m) of any manhole, 

water valve, or other appurtenance located within the roadway. This distance 

permits sufficient clearance for work in the manhole without disturbance to 

the detector. 

The final location of detectors for advanced traffic control strategies blends analytical 

procedures and engineering judgment. Not all links yield measurements within the 

algorithm's required accuracy. Short links, and links with poor lane discipline; typify 

those not amenable to accurate instrumentation. 

6-23
6 References 

1. Klein, L. “Traffic Detector Handbook.” Federal Highway Administration Report, 

Washington, DC. To be published. 

2. Klein, L.A. “Sensor Technologies and Data Requirements for ITS.” Artech 

House, Boston, MA, 2001. 

3. Tarnoff, P.J., A.M. Voorhees, and P.S. Parsonson. “Guidelines for Selecting 

Traffic Signal Control at Individual Intersections.” Vol. II, National Cooperative 

Highway Research Program, American Association of State Highway and 

Transportation Officials, Federal Highway Administration, Washington, DC, July 

19, 1979. 

4. “NEMA Standards Publications for Traffic Control Systems. TS2-1992”. 

National Electrical Manufacturers Association (NEMA). 

5. Zegeer, C.V. “Effectiveness of Green Extension Systems at High-Speed 

Intersections.” Research Report No. 472, Kentucky Department of Transportation, 

Bureau of Highways, Division of Research. Lexington, KY, May 1977. 

6. Sackman, H., B. Monahan; P.S. Parsonson, and A.F. Trevino. “Vehicle Detector 

Placement for High-Speed Isolated Traffic-Actuated Intersection Control.” Vol. 

2: Manual of Theory and Practice, FHWA-RD-77-32, Federal Highway 

Administration, Washington, DC, May 1977. 

7. Parsonson, P.S. et al. “Signalization of High-Speed, Isolated Intersections.” 

Transportation Research Record 737, pp. 34-42, 1979. 

8. Parsonson, P.S., R.A. Day, J.A. Gaulas, and G.W. Black. “Use of EC-DC 

Detector for Signalization of High-Speed Intersection.” Transportation Research 

Record 737, pp. 17-23, 1979. 

9. Kell, J.H., and I.J. Fullerton. “Manual of Traffic Signal Design.” Institute of 

Transportation Engineers, Prentice-Hall, Inc. Englewood Cliffs, NJ, 1982. 

10. Tarnoff, P.J., and P.S. Parsonson. “Guides for Selecting Traffic Signal Control at 

Individual Intersections.” National Cooperative Highway Research Program 

Project 3-27 Research Results Digest 117, Transportation Research Board, 

Washington, DC, February 1980. 

11. Wu, C.S., and L. Machemehl. “Detector Configuration and Location of Signalized 

Intersections.” Report 259-1F, Center for Transportation and Research, University 

of Texas, March 1983. 

6-24
6-25

12. “Design of Detection Loops Specifications.” Section V, Illinois Department of 

Transportation, pp. 24-27. 

13. “Computerized Signal Systems, Student Workbook.” Prepared for the Federal 

Highway Administration, U.S. Department of Transportation, Washington, DC, 

June 1979. 

14. Kay, J.L., R.D. Henry, and S.A. Smith. “Locating Detectors for Advanced Traffic 

Control Strategies Handbook.” FHWA-RD-75-91, Federal Highway 

Administration, Washington, DC, 1975. 

15. Henry, R.D., S.A. Smith, and J.M. Bruggerman. “Locating Detectors for 

Advanced Traffic Control Strategies.” Technical Report, FHWA-RD-75-92, 

Federal Highway Administration, Washington, DC, September 1975. 

16. Balke, K.N., S.R. Keithreddipalli, and C.L. Brehmer. “Guidelines for 

Implementing Traffic Responsive Mode in TXDOT Closed Loop Traffic Signal 

Systems.” Texas Transportation Research Report 2929-3F, College Station, TX, 

August, 1997. 

 
CHAPTER 7 

LOCAL CONTROLLERS 

Table of Contents

Section .................................................................................................................................................... Page 

7.1 Introduction................................................................................................................................. 7-2

7.2 Types of Operation...................................................................................................................... 7-4

7.3 Range of Applications ................................................................................................................. 7-5

Types of Signal Operation............................................................................................................. 7-5

Protected, Protected / Permissive, and Permissive Operation ....................................................... 7-7

Special Controls ............................................................................................................................ 7-7

7.4 Controller Evolution ................................................................................................................... 7-8

7.5 Controller Characteristics.......................................................................................................... 7-9

Signal Timing and Coordination ................................................................................................... 7-9

Interval Control versus Phase Control........................................................................................... 7-9

Controller and Cabinet Components ........................................................................................... 7-12

Pattern Selection.......................................................................................................................... 7-13

 Internal time-of-day schedule ....................................................................................... 7-13

 Hardwire interconnect................................................................................................... 7-13

 External command ........................................................................................................ 7-13

Synchronization for Coordination............................................................................................... 7-14

 Manual .......................................................................................................................... 7-14

 Hardwire pulse.............................................................................................................. 7-14

 External command ........................................................................................................ 7-14

 Third-party time source................................................................................................. 7-15

Actuated Controller Operation.................................................................................................... 7-15

Phasing Other Than Eight-Phase Dual-Ring............................................................................... 7-20

Diamond Interchange Operation ................................................................................................. 7-25

Single Point Freeway Interchange Operation.............................................................................. 7-31

System Capabilities..................................................................................................................... 7-34

7.6 NEMA, Advanced Transportation Controller, and Model 170 Standards .......................... 7-34

Controller Selection and Migration............................................................................................. 7-39

References ................................................................................................................................................ 7-42

7-1
CHAPTER 7 

LOCAL CONTROLLERS 

Source: Eagle Products 

Figure 7-1 Model 2070 Controller. 

7.1 Introduction 

This chapter provides detailed information on intersection traffic signal controllers so that 

the user can: 

• Understand the principles of controller operation, 

• Become familiar with various controller types, and 

• Select controllers for specific applications. 

Table 7-1 presents some basic definitions used throughout the chapter, while Table 7-2 

summarizes functions performed by a local controller. Table 7-3 summarizes the two 

distinct modes of traffic signal controller operation – isolated and coordinated. A signal 

operating in isolated mode can also be said to be operating free or uncoordinated. 

A subsequent section of this chapter discusses controller units for applications other than 

traffic signals. See also Chapters 3 and 4 of this Handbook for additional information on 

some special control concepts. 

7-2
Table 7-1 Definition of controller terms. 

TERMS DEFINITIONS 

Controller Assembly The complete electrical mechanism mounted in a cabinet for 

controlling signal operation. The controller assembly generally 

includes the cabinet 

Controller Unit Portion of a controller assembly which selects and times signal 

displays 

Intersection Controller Unit The traditional and original usage, most commonly referred to as 

traffic signal controller. 

Special Controller Includes units for lane use control and other applications not 

involving the traditional assignment of right-of-way for vehicles 

and pedestrians at intersection or midblock locations. 

Table 7-2 Traffic signal controller functions. 

• Can Control: 

- single intersection 

- closely spaced multiple intersections 

- midblock crosswalk 

• Electrically switches signal indications: 

- red 

- yellow 

- green 

- WALK 

- DON’T WALK 

- other 

• Assures appropriate right-of-way assignments in accordance with pretimed or actuated intervals 

or phases 

• Times fixed clearance intervals such as: 

- flashing DON’T WALK 

- yellow 

- red clearance 

• Times greens and green arrows for: 

- fixed-duration (pretimed control) 

- variable duration (up to a predetermined maximum) according to traffic demand (actuated 

control) 

• Times special function timed intervals such as: 

- lane controls 

- turn controls 

- blank out signs 

7-3
Table 7-3 Isolated versus coordinated signal modes. 

Mode Definition 

Isolated 

(Free) 

The signal controller times right-of-way assignments independently of other signals. If 

one or more phases are actuated, the cycle length may vary from one cycle to the next. 

Coordinated The signal controller timing is coordinated with that of one or more adjacent traffic signals 

to avoid stopping approaching platoons of cars. Traditionally, this involves operating this 

and adjacent signals at the same, fixed-duration cycle length. Adaptive coordination 

techniques can achieve coordination while still allowing the cycle length to change from 

one cycle to the next. 

7.2 Types of Operation 

Despite the many variations in their design, traffic signals can be classified according to 

operational type as: 

• Pre-timed (or fixed time), 

• Fully actuated, and 

• Semi-actuated. 

Table 7-4 describes characteristics and applications of each of these types. 

An actuated traffic signal is one that employs vehicle or pedestrian detectors to activate a 

particular phase (change it from red to green) only when vehicles or pedestrians are 

present. Once activated, the duration of the green display may vary depending on the 

number of vehicles detected. 

Pre-timed, or fixed-time, phases are served for a fixed duration every cycle regardless of 

the number of vehicles or pedestrians present. A signal is pre-timed if all phases are 

fixed, and is fully actuated if all phases use detection. A semi-actuated signal has a 

mixture of pre-timed and actuated phases. 

Coordinated signals are often operated in a semi-actuated mode. In this case, the mainstreet through phases need not have detectors, and are served every cycle regardless of 

demand. A coordinated signal must operate with a fixed-duration cycle. In a typical 

semi-actuated signal, if one or more actuated phases do not require all their allocated 

portion of the cycle, unused time is automatically re-assigned to the main street, nonactuated phases, which always terminate (turn yellow) at the same point in the cycle 

regardless of how early they commence (turn green). 

7-4
Table 7-4 Types of signal operation. 

Operation Characteristics 

Pretimed Occurrence and duration of all timing intervals, both vehicle and pedestrian, in all phases are 

predetermined. 

Fully 

Actuated 

• All phases are actuated (i.e., use vehicle or pedestrian detectors). 

• Phases are skipped (not served) if no vehicles or pedestrians are detected. 

• If vehicles are detected but not pedestrians, only the vehicle portion of the phase may be 

served. 

• The Green interval of phases can vary in duration, between minimum and maximum 

values, depending on detected traffic demand. When a vehicle leaves a detector, the 

green is extended by a few seconds known as passage time or green extension. The 

phase terminates if all detectors for the phase remain unoccupied for duration longer 

then the ‘gap’ time. 

• The Walk interval is usually of fixed duration, but if the signal is coordinated, the Walk 

interval may be allowed to extend to make use of predictable additional green time, 

especially for main street phases. 

• Other intervals (e.g., yellow, red clearance, flashing Don’t Walk) are of fixed duration. 

SemiActuated 

• At least one phase is guaranteed to be served while others are actuated. 

• This phase receives a guaranteed, or fixed, minimum amount of time. 

• If there is no demand for actuated phases, the guaranteed phase remains green longer 

than its “fixed” green time. 

• If the signal is coordinated, a guaranteed phase is usually the main street through phase. 

If actuated phases terminate before using all their split allocation, the spare time can be 

reassigned to the guaranteed phase, causing it to receive more than the “fixed” amount 

of green. 

Most modern traffic signal controllers support all of these types of signal operation. 

Even though a signal controller may provide actuation features for all phases, any or all 

phases may be made to operate as pretimed by use of the “call to non-actuated” input, or 

by using phase parameters such as recall, minimum green, and coordinated phase 

designation. 

7.3 Range of Applications 

Types of Signal Operation 

Table 7-5 summarizes applications of the above-described types of signal operation, for 

each of the following three commonly encountered intersection environments: 

• Isolated – a signalized intersection that is physically remote from other 

signalized intersections and therefore does not benefit from signal 

coordination. 

• Arterial – a signalized intersection that is one of a series of adjacent signalized 

intersections along an arterial roadway, and benefiting from coordination 

during at least some times of the day - commonly found in suburban areas. 

7-5
• Grid – a signalized intersection that is one of a series of adjacent signalized 

intersections in a grid of fairly short blocks - commonly found in older, high 

density urban areas and central business districts. 

Table 7-5 Application of signal control types. 

Type of 

Operation 

Isolated Arterial Grid 

Pretimed Usually not appropriate. Appropriate only if always 

coordinated and the side 

street volumes are high 

and consistent. 

Appropriate 

Semi-actuated Appropriate only if main 

street traffic is 

consistently heavy. 

Appropriate if always 

coordinated. 

Appropriate to actuate left 

turn phases and other minor 

movements, and mid-block 

pedestrian signals. 

Fully Actuated Appropriate Appropriate if not always 

coordinated. 

Usually not appropriate. 

Volume Option 

for actuated 

phases (see 

Section 7.5) 

Appropriate for phases 

with only detectors set 

back more than 40 

meters (125 feet). 

Appropriate for phases 

with only detectors set 

back more than 40 meters 

(125 feet). 

Usually not appropriate 

because slow speeds mean 

less detector set back. 

Density Option 

for actuated 

phases (see 

Section 7.5) 

Appropriate if high 

speeds, as higher initial 

gap can reduce stops. 

Appropriate if high 

speeds, as higher initial 

gap can reduce stops. 

Usually not appropriate due 

to low speeds. 

Pretimed control best suits locations where traffic proves highly predictable and constant 

over a long period of time, and adjacent signals need to be coordinated at all times. 

These situations are commonly encountered in dense grid street networks (1). 

Fully actuated control usually proves the most efficient operation at isolated intersections. 

On making the decision to install a traffic signal, first consider fully actuated control. Its 

traffic-responsive capability adjusts cycle and phase (split) lengths to fit changing 

demands from cycle to cycle. Rarely do approach traffic volumes at an isolated 

intersection remain predictably constant over a long period. Because all phases usually 

do not peak simultaneously, it should not be assumed that a full-actuated signal operates 

on a fixed cycle length even with high traffic demand. 

Fully actuated control applies to a variety of signal phasing and detection schemes 

ranging from a simple two-phase operation to an 8-phase dual-ring configuration. 

Because of its skip-phase capability, the 8-phase dual-ring controller may operate as a 

basic two-phase controller under light traffic conditions; in the absence of demand, the 

controller unit ignores that phase and continues around the ring seeking a serviceable 

phase (1). 

If an actuated signal is always coordinated, the cost of signal construction and 

maintenance can be reduced by using semi-actuated signal operation, with the main street 

through phases as pre-timed phases without vehicle detectors. 

7-6
Protected, Protected / Permissive, and Permissive Operation 

Traffic operations should aim to eliminate unnecessary delays at signalized intersections. 

Appropriate use of protected / permissive and permissive only traffic operation provides 

one means of reducing left- turn movement delay. 

Provide separate left-turn phases only where needed, because unnecessary separate leftturn movements increase cycle length and traffic delays. Traffic control without separate 

left-turn operations can minimize delay for all movements including left-turns. However, 

conditions exist that require protected / permissive operation or justify protected (only) 

operation. Asante, et al. provides a set of guidelines for left-turn protection (2). The 

report provides guidance on: 

• Justification of some form of protected left-turn phasing, 

• Selection of type of left-turn protection, and 

• Sequencing of left-turns. 

Permanent changes from one type of operation to another may prove appropriate as 

traffic volumes change over time. Traffic operation can also change from protected to 

protected / permissive or permissive operation as traffic patterns change during the day 

and / or week. 

When addressing left turn movement issues, it may be important to provide a left turn 

pocket for permissive left turn movements. However, in some cases, this will require the 

elimination of parking near the stop line in order to make room for the additional width 

needed for the left turn pocket. 

Special Controls 

A number of applications use special-purpose controller assemblies with electrical 

switching of signal indications akin to intersection controllers. Some of these 

applications include: 

• Flashing beacons for various applications such as: 

- Roadway hazard identification, 

- Enforcement time definition for speed limits, 

- Intersection hazard identification with stop control, and 

- Use of visual-attention device with individual stop signs. 

7-7
• Lane control signals (e.g, reversible lanes), 

• Changeable lane use signs at intersections, 

• Movable bridge signals and one-lane, two-way operation signals, 

• Overheight vehicle controls to avoid structural damage by overheight 

commercial vehicles, and 

• Audible pedestrian signals (3, 4, 5) that emit a buzzer or chirp sound for the 

initiation of a walk interval or phase to the visually impaired. 

7.4 Controller Evolution 

The evolution of traffic signal controllers parallels the evolution in related electronics 

industries. Signal controller unit hardware has evolved from the days of motor-driven 

dials and camshaft switching units to the adaptation of general-use microprocessors for a 

wide variety of intersection and special control applications. 

In the early years of traffic signal control, virtually the only commercially available 

controller units were the electromechanical type. Later, several manufacturers introduced 

semi- and full-actuated controllers equipped with vacuum tube circuits for timing 

functions. The traffic engineer adjusted interval and phase timing via knobs on a control 

panel. Transformers and vacuum tubes in these analog units generated considerable heat, 

requiring forced-air circulation and filtering in controller cabinets. Some manufacturers 

retained solenoid-driven camshafts for lamp switching, while others used stepping relaydriven stacked rotary switches and encapsulated relays. Short component life and timing 

drifts characterized these controllers. 

Replacement of the vacuum tube with the transistor introduced low-voltage circuitry with 

only a fraction of the former heat generation. The high-amperage heater circuits and 

high-voltage B plate circuits once required for vacuum tubes passed from the scene. The 

mid-1960s saw transistorized circuits first used for timing and phasing functions. Lower 

operating temperatures increased component life, and digital timing ensured timing 

accuracy and eliminated fluctuations. During this period manufacturers also introduced 

the solid-state load switch for lamp circuits. Wide variations in component and 

equipment arrangements from manufacturer to manufacturer also prevailed during the 

1960s. Designs varied from those in which all timing and phasing components were 

placed on a single circuit board to those that used modular, plug-in phase and functionoriented designs. 

The integrated circuit (IC) proved the next major step in controller evolution as 

microchip technology significantly reduced component size. These very small chips 

were linked together in circuits and sealed within an IC envelope to form the 

7-8
microprocessor. This development led to microcomputers – small, lightweight, low-cost 

units used practically everywhere today. 

The traffic control industry quickly incorporated microprocessors into new signal 

controller designs. They are used in all modern traffic signal controllers. 

The functionality and characteristics of a modern signal controller are determined by 

software more than hardware. The same physical controller may operate quite differently 

when loaded with a different software package. 

Different standards have evolved for modern traffic signal controllers, including those 

developed by the National Electrical Manufacturers Association (TS 2), and Caltrans, 

New York DOT and FHWA (Model 170). These standards, and the Advanced 

Transportation Controller (including the ATC 2070) are discussed in Section 7.6. 

7.5 Controller Characteristics 

Signal Timing and Coordination 

Traffic signal controllers alternate service between conflicting traffic movements. This 

requires assignment of green time to one movement, then to another. If left turns have 

separate controls, and at complex intersections, there may be more than two conflicting 

movements. The length of time taken to complete one round of service for all conflicting 

movements is called the cycle length, and the allocation of the cycle length between the 

conflicting traffic movements is called the split. 

To minimize traffic delay, it is desirable that a platoon of vehicles leaving one 

intersection arrives at the next intersection during a green display. This is called platoon 

progression and is achieved by coordinating the operation of adjacent signals. Signal 

coordination is most commonly achieved by operating adjacent signals at the same cycle 

length, with a pre-determined offset between the start of the cycle at one intersection and 

the start of the cycle at the next. See Chapter 3 for further discussion of coordination 

timing parameters. 

The cycle length, split, and offset may need to change during the day as traffic volumes 

change. Controllers, therefore, allow the user to establish multiple sets of these basic 

coordination timing parameters. Each such set is referred to as a timing plan or timing 

pattern, and one timing plan or timing pattern is in operation at any given time. The 

timing plan or timing pattern in operation can be changed either by a time-of-day 

schedule stored in the controller or by a command from a master device. 

Interval Control versus Phase Control 

Traffic signal controllers available today can be categorized as interval controllers (also 

called pretimed) or phase controllers (also called actuated). The former allow the user to 

divide the cycle into any number of intervals, with the duration of each interval being set 

7-9
by the user. The user then defines which output circuits are switched on during which 

intervals. For example, a particular interval may be used to time part of the green for one 

vehicle movement, part of the flashing don’t walk for a pedestrian movement, the yellow 

for another vehicle movement, and part of the red and steady don’t walk for others. 

The cycle length equals the sum of the interval durations, and all intervals are timed 

sequentially. The user can also specify a start-of-cycle offset for signal coordination. 

The interval durations, output definitions, cycle length, and offset can all be varied from 

one pattern to another, and therefore can be varied during the day. 

Modern interval controllers typically also allow a degree of actuated operation, whereby 

selected intervals may be skipped if there is no demand, or the duration of selected 

intervals can vary dynamically by detector actuations. If an interval does not use all of its 

allocated time, the spare time can be assigned to a following interval. Some controllers 

allow the user to create quite elaborate customized logic for controlling interval 

occurrence and duration. 

Phase controllers take a different approach to signal timing. They divide the cycle into 

phases, with each phase having five pre-defined intervals - green, yellow and red 

clearance for vehicle control; and walk and flashing don’t walk for pedestrian control. 

The user specifies the duration of each of these intervals, or in the case of the green 

interval, the minimum and maximum duration. If the signal is coordinated, the user also 

specifies a split time for each phase, and a start-of-cycle offset. 

The user assigns a phase to a set of compatible vehicle and pedestrian movements. If 

coordinated, the split times for all phases in a ring must sum to the cycle length. Each 

phase is assigned to a timing ring (Figures 7-2 and 7-3). Phases assigned to the same ring 

time sequentially, but rings time concurrently. Therefore, if the controller is using two 

rings, two phases can be timing simultaneously and independently. 

Phase controllers use barriers or phase concurrency groups to define conflicts between 

phases in different tings. Within a concurrency group (between two barriers) the phases 

in different rings can time independently, but all rings must cross the barrier (move to a 

different phase concurrency group) simultaneously. 

Within a concurrency group (between two barriers) the user can specify the desired order 

(sequence) in which phases in the same ring are to be served. From one pattern to the 

next, the user may vary the cycle length, offset, split, and phase sequence. 

Phase control is particularly well suited to actuated control of normal intersections, 

especially those with protected left turn movements. Two actuated left turn phases on the 

same street can time independently, with say the westbound turn phase receiving less 

time than the eastbound in one cycle, and the opposite occurring in the next cycle. For 

this reason, and their ease of setup and additional actuation features, phase controllers 

have become the dominant type. 

7-10
Figure 7-2 Three-phase controller phase sequence for single-ring controller. 

Figure 7-3 Phase sequence for dual-ring controller. 

7-11
For many years, phase controllers were limited to eight phases allocated to two rings in a 

fixed arrangement. This works very well for most intersections, but does not provide the 

flexibility needed for unusually complex intersections. Also, if fixed-time control is 

sufficient and left turn phasing is not prevalent, such as often occurs in the central 

business districts of large cities, the interval controller is adequate. Interval controllers 

therefore have remained in use, although their numbers are dwindling as phase 

controllers have expanded to accommodate more phases and rings, and have added 

features such as redirection of outputs. Each phase in a phase controller can be operated 

either pretimed (fixed time) or actuated. 

The National Electrical Manufacturers Association (NEMA) TS 2 standard specifies 

minimum functional standards for both interval and phase controllers. Most modern 

controllers meet most or all of these minimum requirements and most controllers also 

provide additional functionality not yet standardized. 

Controller and Cabinet Components 

Most modern traffic signal controllers have the following basic hardware components: 

• User interface (keypad and display) 

• Central processing unit (microprocessor, memory, etc.) 

• External communications connectors (serial ports, Ethernet, USB, cabinet 

wiring, etc.) 

• Power supply (converts 110v AC to 24v, 12v, 5v DC for internal use) 

• Optional additional serial communications processor (FSK modem, RS 232) 

Serial communications ports are often used for establishing a link to a master control unit 

or computer. Such connections may be permanent to a remote master or computer, or 

temporary to a laptop computer used by field personnel. Ethernet is increasingly being 

used instead of serial communications. As special serial port may be used to 

communicate with in-cabinet equipment in the case of a serial-bus cabinet (see NEMA 

TS 2 and ATC sections below). 

Within the signal controller cabinet, and connected to the controller, are the following 

basic auxiliary components that interact with the controller: 

• Malfunction management unit (also referred to as a conflict monitor) 

• Vehicle and pedestrian detectors (sensor units, circuit isolators) 

• Output circuit drivers (load switches driving signal displays) 

7-12
• Optional external communications devices (external FSK modem, fiber 

transceiver, wireless transceiver, Ethernet switch, etc.) 

Detectors are used only for actuated signals. A load switch uses a low voltage direct 

current output of the controller to switch a 110v AC circuit on or off, thus turning on or 

off a signal display viewed by motorists or pedestrians. For a particular phase, one 

circuit is switched off just as another is switched on. 

The malfunction management unit (MMU) can be configured to check for conflicting 

signal indications and various other malfunctions including absence of an OK status 

output from the controller (watchdog output), short or missing clearance intervals, and 

out-of-range operating voltages. If a malfunction is detected, the MMU automatically 

places the signal in an all-red flashing state, overriding the outputs of the controller. 

Modern controllers can sense this condition and report the malfunction state to a master 

or central computer. 

Pattern Selection 

Modern controllers offer the following three alternative methods of determining which 

pattern or plan to operate: 

Internal time-of-day schedule – the user configures a schedule that tells the controller 

when to change the pattern or plan, based on the day of the week and time of the day. 

Special schedules can be created for holidays or other dates on which traffic conditions 

are unusual. The controller’s clock, which keeps track of date, day of week, and time, is 

regularly compared to the entries in the schedule. No external communications are 

required. This mechanism is often used as a backup when an external pattern selection 

method fails. This method is commonly used. 

Hardwire interconnect – multiple electrical wires (typically seven) installed between the 

controller and a master unit, have a steady voltage applied or removed to indicate which 

pattern or plan is to be used. When the combination of active (voltage on) and inactive 

(voltage off) wires changes, the combination is used by the controller to look up which 

pattern or plan to change to. Traditionally, this method was used to independently select 

which of several pre-defined cycle lengths, offsets, and splits to use, thus emulating the 

selection of dial, offset, and split keys in an electromechanical controller. Use of this 

method is declining. 

External command – using digital communications (typically via a serial or Ethernet port 

on the controller), a master unit or computer sends a command message to the controller, 

instructing it to change to a particular pattern. This method is commonly used. If the 

controller loses communications with the source of pattern commands, it can 

automatically revert to using its internal time-of-day pattern selection schedule. The 

same communications link is typically used to receive status information from the 

controller, and to enable remote changes to controller parameters. 

7-13
It is also possible for the user to manually lock a controller into a particular pattern, such 

that any of the above pattern selections is ignored. 

Synchronization for Coordination 

Signal coordination requires all controllers in a coordinated group to have a common 

time reference, so that start-of-cycle offsets are applied accurately. Before controllers 

had internal clocks, this was typically achieved by connecting the controllers to a master 

unit using the hardwire interconnect method described above. Once each cycle, one of 

the input wires changes its state for a second or two (called a pulse), thus signaling the 

commencement of the background cycle to all connected controllers simultaneously. 

Each controller then times its own offset from this common reference point. Use of this 

hardwire interconnect method is declining, in favor of time base coordination. 

Today, controllers have internal clocks capable of keeping reasonably accurate time for at 

least several days. All controllers in a coordination group can be configured to use the 

same time of day (say midnight) as the reference point for offset calculation. The 

common background cycle is assumed to start at this time of day, and each controller can 

time its own offset from this common reference point. This is called time base 

coordination. 

Eventually, however, the controller’s clock will drift and need to be reset to standard 

time. Clocks can be reset using any of the following techniques: 

Manual – periodically, a user goes to the controller in the field and resets the time 

according to an accurately set watch or other source of standard time (e.g., cell phone 

time display, telephone call to voice time, etc.). This method is not favored as it is 

laborious, error-prone, and subject to neglect. Depending on the model of controller, 

operationally significant drift can require manual reset after only several weeks of 

operation. 

Hardwire pulse – a master unit pulses a hardwire input to the controller at a pre-defined 

time of day. When the controller senses this pulse, it sets its clock to the pre-defined time 

of day. As long as all controllers in the coordinated group receive the same pulse, it 

doesn’t matter if the clock of the master unit is not entirely accurate. 

External command – using digital communications (typically via a serial or Ethernet port 

on the controller), a master unit or traffic signals management computer sends a 

command to the controller (say once each day), instructing it to immediately set its clock 

to a time specified in the message. Even signals under the command of different central 

computers can be coordinated as long as each central computer has its clock set 

accurately. 

7-14
Third-party time source – a standard time source, such as a WWV radio receiver, cell 

phone time monitor, or Internet connection, is installed in the cabinet and the controller 

either listens for periodic broadcast time updates or periodically initiates a request for a 

time update from a time server. 

Actuated Controller Operation 

Regardless of the hardware standard a controller complies with (NEMA, ATC, or Model 

170), the functionality of the resident software is similar, and generally operates as 

defined in the NEMA TS 2 standard. 

The basic timing characteristics of actuated controller units are as follows: 

• Each phase has a preset minimum green interval to provide starting time for 

standing vehicles. 

• The green interval extends for each additional vehicle actuation after the 

minimum green interval has timed out, provided that a gap in traffic greater 

than the present unit extension setting does not occur. 

• A preset maximum limits green extension. Controllers provide two selectable 

maximum limits (commonly referred to as MAX I, and MAX II). 

• Yellow change and red clearance intervals are preset for each phase. Red 

clearance is not always needed. 

In addition to detector inputs, each phase is provided with a means for the user to 

permanently place a call for vehicle service (minimum or maximum green recall), or for 

pedestrian service (pedestrian recall). Maximum green recall places a call for the phase 

and when served prevents it from terminating prior to expiration of the maximum green 

timer. 

The maximum green timer on a respective phase does not begin timing until a serviceable 

opposing phase detector call. Therefore, a phase with continuing demand may remain 

green for some time before a conflicting call is registered that starts the timing of the 

maximum green. 

Phase control concepts related to rings and barriers are described in Table 7-6, and basic 

actuated timing parameters are described in Table 7-7. 

7-15
Table 7-6 Actuated controller definitions. 

FEATURE DESCRIPTION 

Single-Ring Controller Unit Contains 2 to 4 sequentially timed and individually selected 

conflicting phases arranged to occur in an established order or 

sequence. Phases may be skipped in 3 and 4-phase controllers. 

The phases within a ring are numbered as illustrated in Figure 7-2. 

Dual-Ring Controller Unit Contains 2 interlocked rings arranged to time in a preferred 

sequence and allow concurrent timing of respective phases in both 

rings, subject to the constraint of the barriers (compatibility lines). 

Each ring may contain up to two phases in each of its two barrier 

groups, for a total of eight phases. Each of the respective phase 

groups must then cross the barrier simultaneously to select and 

time phases in the phase group on the other side. The phases 

within the 2 timing rings are numbered as illustrated in Figure 7-3. 

Multi-Ring Controller Unit A controller supporting more than eight phases and two rings. 

Any number of phases, up to the maximum supported by the 

controller, can be arranged in any number of rings. Conflicts 

between phases in different rings are specified using either 

barriers inserted between groups of phases, or phase concurrency 

lists This document has not been validated in the field. I would not 

recommend it’s inclusion here unless disclaimer are clearly 

included. 

Barrier (compatibility line) A reference point in the designated sequence of dual-ring and 

multi-ring controller units at which rings are interlocked. Barriers 

ensure conflicting phases will not be selected or time 

concurrently. At a barrier, rings terminate the current phase and 

cross the barrier simultaneously, as illustrated in Figure 7-3. 

Dual Entry A mode of operating in a dual-ring and multi-ring controller units 

in which one phase in each ring must be in service. If a call does 

not exist in one of the rings when the barrier is crossed (from the 

other phase group), a phase is selected in that ring to be activated 

by the controller in a predetermined manner. For example, 

referring again to figure 7-3 in the absence of calls on Phases 7 

and 8, Phase 2 and Phase 6 terminate to service a call on Phase 3. 

Programming for dual entry determines whether Phase 7 or Phase 

8 will be selected and timed concurrently with Phase 3, even 

though no call is present on either Phase 7 or Phase 8. 

Single Entry A mode of operation in a dual-ring and multi-ring controller units 

in which a phase in one ring can be selected and timed alone when 

there is no demand for service of a non-conflicting phase in 

another ring. For example, referring to figure 7-3, after the 

termination of Phase 2 and Phase 6, the controller unit will service 

a call on Phase 3 in the absence of calls on either Phase 7 or Phase 

8. While Phase 3 is selected and timed alone, Phases 7 and 8 (in 

Ring 2) will remain in the red state. 

7-16
Table 7-7 Actuated controller basic timing parameters. 

Setting Description 

Minimum 

Green 

The absolute minimum duration of the phase’s green indication. The phase cannot gap out 

or be forced off during this interval. 

Variable 

Initial Green 

A time calculated from the number of approach detector actuations during red. In the 

absence of a stopline detector, it allows sufficient time to service vehicles queued between 

the stopline and an advance detector. The phase cannot gap out or be forced of during this 

interval. The duration of this interval is affected by related parameters including Added 

Initial (amount of green added per actuation) and Maximum Initial. 

Pedestrian 

Walk 

The minimum duration of the Walk indication for pedestrians. The phase cannot gap out or 

be forced off during this interval. 

Pedestrian 

Clearance 

The fixed duration of the Flashing Don’t Walk indication for pedestrians. The phase cannot 

gap out or be forced off (except for railroad or emergency vehicle preemption) during this 

interval. 

Green 

Extension 

The amount of time by which the green is extended after a vehicle is detected. If the 

minimum green, variable initial green, Walk, and FDW have all expired, and no approach 

detector input is currently On, the phase green can terminate (gap out) if the time gap 

between consecutive vehicles exceeds the green extension time plus the time the detector 

input remains On while the vehicle is being sensed. 

Maximum 

Green 

Even if vehicles are still approaching, the phase green will be terminated (forced off) after 

this amount of total green time following a call for service on a conflicting phase. This 

parameter overrides Green Extension, but none of the other parameters above. 

Yellow 

Clearance 

The fixed duration of the yellow indication that always follows the green indication. 

Red 

Clearance 

The time during which both the terminating phase, and the following conflicting phase(s) 

about to start, simultaneously present a red indication. 

One or more actuated phases may also use the volume and / or density options, each 

being an add-on to basic actuated operation, as follows. 

• The “volume” option increments an initial green interval timer each time a 

vehicle is detected while the phase is red. The minimum green is timed as the 

greater of the normal minimum green and this computed initial green, up to a 

maximum. In the absence of stopline detectors, it can be used to count the 

number of vehicles waiting in front of the advance detectors and increase the 

minimum green, if needed, to clear this queue. 

• The “density” option reduces the gap time while the phase is green, if vehicles 

or pedestrians are waiting (have been detected) on other phases. The gap is 

reduced gradually over time, requiring a progressively greater density of 

approaching traffic to avoid termination of the green. 

A dual-ring actuated controller allows different sequencing of left turn phases. Table 7-8 

and Figure 7-4 describe phase sequence options for a signal with odd numbered phases 

serving left turns, and even numbered phases serving their opposing through movements. 

Typical left turn sequence options are leading lefts, lead-lag lefts, and lagging lefts. One 

such sequence can be used on one street (one barrier group), while a different sequence is 

used on the other street. 

7-17
Table 7-8 Phase sequence options. 

PHASE SEQUENCE OPTIONS 

SEQUENCE DESCRIPTION 

Leading Left Turn Sequence begins with Phase 1 and Phase 5, the opposing turns 

moving together. As demand ends or maximum green is reached 

on either Phase 1 or Phase 5, the respective left-turn is terminated 

after the proper change and clearance intervals, and the opposing 

thru movement (Phase 2 or Phase 6) is given a green indication 

concurrent with its accompanying left-turn. As demand ends or 

maximum green is reached on the remaining left-turn movement, 

it is terminated after the proper change and clearance intervals, 

and it’s opposing thru movement is released. Phase 2 and 6 then 

run together until demand ends or maximum green time for both 

phases is reached. The phases then, after display of proper change 

and clearance intervals, terminate simultaneously at the barrier 

line. As shown in figure 7-4, the above phase sequence also 

applies to the phases beyond the barrier line (Phases 3, 4, 7 and 8) 

in the other phases group. 

Lead-Lag Left-Turns Sequence begins with Phase 5, a left-turn, and its accompanying 

Phase 2 moving concurrently. As demand ends or maximum 

green is reached on Phase 5, that left-turn is terminated after the 

proper change and clearance intervals. The opposing thru 

movement, Phase 6, is released to run with Phase 2. As demand 

ends or maximum green for Phase 2 is reached, it is terminated 

after the proper change and clearance intervals, at the barrier line. 

As shown in figure 7-4, the above phase sequence also applies to 

the phases beyond the barrier line (Phase 3, 4, 7 and 8), in the 

other phase group. Also, it must be noted that either of the 

opposing left-turns in each phase group may lead the phase 

sequence. 

Lagging Left Turns Sequence begins with the opposing thru movements, Phases 2 and 

6. As demand ends or maximum green is reached on one of the 

thru movements, that phase (2 or 6) is terminated after the proper 

change and clearance intervals, and its opposing left-turn (Phase 1 

or 5) is released to run concurrently with the accompanying thru 

movement, that phase (2 or 6) is terminated after the proper 

change and clearance intervals, and its opposing left-turn (1 or 5) 

is released. Both left-turns run together until demand ends or 

maximum green on the latest released phase is reached. Phases 1 

and 5 then terminates simultaneously after the proper change and 

clearance intervals at the barrier line. As shown in figure 7-4, the 

above phase sequence also applies to the phases beyond the 

barrier line (Phases 3, 4, 7 and 8), in the other phase group. 

7-18
Figure 7-4 Dual-ring basic phase sequence options. 

7-19
Any of these sequences can operate at all times, or can change during the day as the 

timing pattern changes. However, phase sequence needs to be chosen with care if the left 

turn movement can be made both protected and permissively, and a traditional fivesection signal head is used (two left turn arrows and three balls). In this case, a phase 

sequence involving a lagging left turn phase, either lead-lag left turns or lagging left 

turns, can result in a potentially dangerous situation known as the “left turn trap”. A 

motorist turning left permissively and waiting for a gap in opposing traffic sees the green 

ball change to a yellow ball. The driver assumes the on-coming traffic also sees a yellow 

ball and will stop, when in fact the on-coming traffic may continue to see a green ball and 

not stop. This problem is eliminated by the flashing yellow arrow display for protected / 

permissive turn control. In this case the permissive indication (the flashing yellow arrow) 

tracks the opposite-direction through phase instead of the same-direction through phase. 

The TS 2 standard specifies various external control inputs to the controller that modify 

its normal behavior. They are grouped into three categories: 

• Inputs per phase (see Table 7-9) 

• Inputs per ring (see Table 7-10) 

• Inputs per controller unit (see Table 7-11) 

Phasing Other Than Eight-Phase Dual-Ring 

Many modern controllers, or controller software packages, offer sixteen or more phases 

in four or more rings, and eight or more overlaps, allowing control of numerous traffic 

movements needing separate phases or overlaps and more than normal eight-phase, dualring logic. Some examples of non-standard phasing used to control two closely-spaced 

intersections are discussed in Section 3.9 and in the following section on diamond 

interchanges. 

Even intersections using only eight phases and two rings may have non-standard logic 

applied. One example is conditional re-service of a leading left turn phase following its 

opposing through phase (see Figure 7-5) – the left turn phase appears twice in the cycle, 

both before and after its opposing through phase, but only if the through movement is 

sufficiently light. Another example is “separated phases” logic, which can be used, for 

example, to prevent a leading left turn phase from operating concurrently with a lagging 

left turn phase from the same street if the two turning movements physically conflict in 

the middle of the intersection. 

7-20
Table 7-9 Inputs per phase. 

Input Description 

Vehicle Detector Call Enters a vehicle demand for service into the appropriate phase of the controller 

unit 

Pedestrian Detector 

Call 

Enters a pedestrian demand for service into the associated phase of the 

controller unit 

Hold Command that retains the existing right-of-way and has different responses, as 

follows depending upon operation in the vehicle non-actuated or actuated 

mode: 

• For a non-actuated phase, energization of the hold input maintains the 

controller unit in the timed out walk period with green and walk 

indications displayed. Energization of the hold input while timing the 

WALK portion of the green interval does not inhibit the timing of this 

period. De-energization of the hold input and with the WALK interval 

timed out causes the controller unit to advance into the pedestrian 

clearance interval. Re-application of the hold input while timing the 

pedestrian clearance portion of the green interval neither inhibits the 

timing of this period nor the termination of the phase. 

• For an actuated phase, energization and de-energization of the hold input 

operates as follows: 

(a) Energization of the hold input allows the controller unit to time 

normally but inhibits its advance into the yellow change interval. 

Energization of the hold input inhibits the recycle of the pedestrian 

service unless the pedestrian recycle input is active and a serviceable 

call exists on the phase. The rest state signal indications for that phase 

are green and DONT WALK. 

(b) De-energization of the hold input allows the controller unit to advance 

into the green dwell / select state when all green periods are timed out. 

(c) De-energization of the hold input with all intervals timed out allows the 

controller unit to recycle the walk interval if there is no conflicting 

demand for service and a pedestrian call exists for that phase. However, 

if there is any serviceable demand on an opposing phase with the hold 

input de-energized, and with all intervals timed out, the controller unit 

advances into the yellow change interval and does not recycle the walk 

on that phase until those demands have been served. 

Phase Omit Command which causes omission of a phase, even in the presence of demand, 

by the application of an external signal, thus affecting phase selection. The 

omission continues until the signal is removed. The phase to be omitted does 

not submit a conflicting call to any other phase but accepts and stores calls. 

The activation of Phase Omit does not affect a phase in the process of timing. 

Pedestrian Omit Command which inhibits the selection of a phase resulting from a pedestrian 

call on the subject phase, and it prohibits the servicing of that pedestrian call. 

When active, the Pedestrian Omit prevents the starting of the pedestrian 

movement of the subject phase. After the beginning of the subject phase green, 

a pedestrian call is serviced or recycled only in the absence of a serviceable 

conflicting call and with Pedestrian Omit on the phase non-active. Activation 

of this input does not affect a pedestrian movement in the process of timing. 

7-21
Table 7-10 Inputs per ring. 

Input Description 

Force-Off Command which provides for the terminations of green timing or WALK hold 

in the non-actuated mode of the active phase in the timing ring. Such 

termination is subject to the presence of a serviceable conflicting call. The 

Force-Off is not effective during the timing of Initial, WALK or pedestrian 

clearance. Force-Off is effective only as long as the input is sustained. 

Red Rest Requires the controller unit to rest in red in all phases of the timing ring(s) by 

continuous application of an external signal. The registration of a serviceable 

conflicting call results in the immediate advance from Red Rest to green of the 

demanding phase. The registration of a serviceable conflicting call before 

entry into the Red Rest state results in the termination of the active phase and 

the selection of the next phase in the normal manner, with appropriate change 

and clearance intervals. The registration of a serviceable call on the active 

phase before entry into the Red Rest state even with this signal applied, results 

(if Red Revert is active) in the continuation of the termination of the active 

phase with appropriate yellow change interval and Red display for the duration 

selected in Red Revert. The formerly active phase is then reassigned right-ofway. 

Inhibit Maximum 

Termination 

Disables the maximum termination functions of all phases in the selected 

timing ring. This input does not, however, inhibit the timing of Maximum 

Green. 

Omit Red Clearance Causes the omission of Red Clearance timing intervals 

Pedestrian Recycle Controls the recycling of the pedestrian movement. The operation depends on 

whether the phase is operating in the actuated or non-actuated mode: 

• In the actuated mode, if a serviceable pedestrian call exists on the subject 

and the Hold input is active, the pedestrian movement is recycled when the 

Pedestrian Recycle input is active, regardless of whether a serviceable 

conflicting call exists. 

• In the non-actuated mode, if the subject phase has reached the Green 

Dwell / Select state, the Pedestrian Omit is not active on the phase and a 

serviceable conflicting call does not exist, the pedestrian movement is 

recycled when the pedestrian recycle input is active. 

Stop Timing When activated, causes cessation of controller unit ring timing for the duration 

of such activation. Upon the removal of activation from this input, all portions 

which are timing, will resume timing. During Stop Timing, vehicle actuations 

on non-Green phases are recognized; vehicle actuations on Green phase(s) 

reset the Passage Time timer in the normal manner, and the controller unit does 

not terminate any interval or interval portion or select another phase, except by 

activation of the Interval Advance input. The operation of the Interval Advance 

with Stop Timing activated clears any stored calls on a phase when the 

controller unit is advanced through the green interval of that phase. 

Maximum II (Selection) Allows the selection of an alternate maximum time setting on all phases of the 

timing ring 

7-22
Table 7-11 Inputs per controller unit. 

Input Description 

See section 3.5.5.5 of NEMA TS2 Standard (6) 

Interval Input Advance A complete On-Off operation of this input which causes immediate 

termination of the interval in process of timing. When concurrent 

interval timing exists, use of this input causes immediate termination of 

the interval which would terminate next without such actuation. 

Manual Control Enable Places vehicle and pedestrian calls on all phases, stops controller unit 

timing in all intervals, and inhibits the operation of the Interval 

Advance input during vehicle change and clearance intervals 

Call to Non-Actuated Mode 

(Two per Controller Unit) 

When activated, causes any phases appropriately programmed to operate 

in the non-actuated mode. The 2 inputs are designated Call to NonActuated Mode I and Call to Non-Actuated Mode II, respectively. Only 

phases equipped for pedestrian service are to be used in a non-actuated 

mode. 

External Minimum 

Recall to All Vehicle Phases 

Places recurring demand on all vehicle phases for a minimum vehicle 

service 

External Start Causes the controller unit to revert to its programmed initialization 

phase(s) and interval(s) upon application of the signal. Upon removal of 

this input, the controller unit commences normal timing. 

Walk Rest Modifier When activated, modifies non-actuated operation only. Upon activation, 

the non-actuated phase(s) remain in the timed-out WALK state (rest in 

WALK) in the absence of a serviceable conflicting call without regard 

to the Hold input status. With the input nonactive, non-actuated phase(s) 

do not remain in the timed-out WALK state unless the Hold input is 

active. The controller unit recycles the pedestrian movement when 

reaching the Green Dwell / Select state in the absence of a serviceable 

conflicting call. 

7-23
Figure 7-5 Example of special phase sequence for conditional service of leftturn phase. 

7-24
7-25

Diamond Interchange Operation 

Some actuated controllers provide a special mode of operation derived from the Texas 

Department of Transportation’s historical approach to diamond interchange operation. 

Modern controllers can provide similar functionality without the need for a special mode 

of operation, as described in section 3.9. 

 

Two particular phasing arrangements and logic for diamond interchange operation have 

been used in Texas (7). These are referred to as the 3-phase and 4-phase sequences and 

are described in Table 7-12. The operation can change between the sequence options in 

response to external commands. The City of Dallas provides for four sequence 

variations. The two sequence variations shown in Figure 7-7 are used by the Texas 

Department of Transportation. Typical detector locations for operation of the controller 

unit in 3-phase, lag-lag, or four-phase (with overlaps) sequencing, with locally produced 

external data, are shown in Figure 7-8. Software also provides the option for use of any 

compatible combination of phases at the ramp intersections, in response to computerissued command data, as shown in Figure 7-9. 

The 3-phase sequencing shown in Figures 7-6 and 7-7 can provide a shorter cycle length 

than the 4-phase sequencing shown in Figure 7-7. For example, Texas DOT conducted a 

study in which the two phase sequences shown in figure 7-7 were compared at a number 

of intersections during isolated full-actuated control. The cycle lengths for the 4-phase 

sequence were 40 to 80% longer than for the 3-phase sequence. Expect similar 

reductions in cycle lengths at locations in other isolated and interconnected systems, as 

long as the left-turn movements remain within reasonable limits, and storage is available 

between the off-ramp (frontage road) connections. Where turning movements are high 

onto and / or off of the ramp connections (frontage roads), the 4-phase sequence provides 

the best operation. 

One of the three phase sequences shown in Figure 7-6 can also apply when certain 

turning movements prove heavy. If the controller includes more than one phase 

sequence, the sequences can be changed to accommodate operational requirements. 
Table 7-12 Special phase sequencing. 

Operation Description 

Left-Turn 

Restoration 

In the operation of a standard 8-phase controller unit, the service of a left-turn can be 

restored without first cycling through the barrier line. In this operation, the controller 

unit monitors the time remaining on any thru movement phase which is opposed by a 

thru phase which has gapped out. If the time remaining on the non-gapped phase is 

sufficient for at least a minimum service of its associated (parallel) left-turn phase, the 

controller unit terminates the gapped-out phase and reservices the left-turn. Figure 7-5 

illustrates the phase sequence. 

Full Diamond 

Interchange 

The operation of 1 standard 8-phase controller unit with modified software for 

signalization of a full diamond interchange. Figures 7-6 and 7-7 show 4 sequence 

variations: 

• A 3-phase lead-lag operation in which traffic on both ramp approaches begins 

simultaneously (Phase 1). Phase 2 follows Phase 3 if there is a demand (detector 

activation) for the phase. Phase 3 follows Phase 2 if there is a demand for the phase, 

and Phase 1 follows Phase 3 if there is a demand for that phase. 

• A 3-phase operation in which traffic on both cross street approaches begins 

simultaneously and is followed subsequently by Phases 2 and 3 if there is a demand 

for each of these phases. 

• A 3-phase, lag-lag operation in which the traffic on both ramp approaches is 

released simultaneously (Phase 1). Subsequent vehicle actuations and / or 

maximum green time-outs determine diagram flow from Phase 1 to 1 of the 4 

overlap phases, or directly to Phase 2. Depending upon demand registered and 

which Phase 1 overlap was previously served, the controller unit will move to serve 

1 of the 2 Phase 2 overlaps or go directly to Phase 3. In the absence of demand 

from either ramp approach, the controller unit may proceed from Phase 3 back to 

Phase 2, or to 1 of the 2 Phase 2 overlaps. 

• A 4-phase operation with 2 overlaps, in which traffic on one of the ramp 

approaches is released simultaneously with thru and left-turn traffic (on the 

intersecting arterial) at the other ramp intersection, thereby clearing any possible 

internal queue for the traffic turning left from the ramp (Phase 1). As shown in the 

diagram in Figure 7-6, several optional flow paths are available, any of which could 

be followed, based upon registered demand and / or maximum green time-outs on 

certain approaches. For purposes of illustration, the following flow sequences 

assume continuing demand on all detectors. 

From Phase 1, the controller unit moves to Phase 1 overlap, in which the opposing 

traffic on the arterial (at the, as yet, unserved ramp intersection) is released while 

the ramp approach green continues. The Phase 1 overlap phase must be of fixed 

time duration since the running ramp green must be terminated to accommodate the 

progressive movement of the arterial traffic released at the start of the overlap 

phase. This fixed time period is determined by the travel time of accelerating 

arterial traffic from a stop at one ramp intersection, and through the other ramp 

intersection. 

The controller unit proceeds then to Phase 2 green to accommodate the above 

described approaching arterial traffic (thru and left-turns). For Phase 3 initiation, 

traffic on the arterial (at the, as yet, unserved ramp) is cleared and terminated for 

release of traffic on the ramp approach. As the diagram shows, flow continues to 

Phase 3 overlap and on to Phase 4, serving remaining traffic movements. 

The phase sequence described for each of the 4 sequence variations assumes that there 

is demand for each phase. Since the controllers are full traffic actuated, it is possible for 

phases to be skipped. The array of flow lines and arrows on the diagram represents all 

possible sequence paths the controller unit can take. 

The different sequence variations shown in Figures 7-6 and 7-7 are applicable and 

depend on the traffic patterns at the interchange. The software for 2 or more of the 

sequences can be provided in the same controller unit and changed by time-of-day or on 

a real-time basis as traffic patterns change. 

7-26
Figure 7-6 Diamond interchange phasing (3-phase). 

7-27
7-28

Figure 7-7 Diamond interchange phasing (3- and 4-phase).
Figure 7-8 Typical detector configuration for 3-phase, lag-lag, and 4-phase 

(with overlap) special sequences. 

7-29
Figure 7-9 Computer controlled diamond interchange operation.

7-30
Single Point Freeway Interchange Operation 

The single point urban interchange (SPUI) shown in Figure 7-10 has been installed at a 

number of freeway locations. The design provides a basic six movement operation as 

shown in Figure 7-11. It is similar to typical five-phase control at normal intersections, 

except that pedestrians and right turns may require special treatment. It is difficult to 

efficiently allow pedestrians to cross the cross-street, and pedestrians crossing the ramps 

may require separate controls at left and right turn slots. 

The Texas Transportation Institute studied the single point design, which resulted in 

warrants and guidelines (8). The SPUI and the tight urban diamond interchanges with a 

distance of 250 to 400 ft (76 to 122 m) between ramp connections (or frontage roads) 

were judged viable competitors. 

The study recommended the following guidelines for the SPUI: 

• Equivalent left-turn volumes exceed 600 v/hr as large truck volumes are 

anticipated from off- ramps having left-turn volumes exceeding 300 v/hr 

• SPUI becomes a good candidate with: 

- Restricted right-of-way, 

- High volumes with major congestion, 

- High incidences of left-turns and large truck volumes (see above), and 

- High accident incidence locations. 

• SPUI is not a candidate at sites with: 

- Severe skew angles, 

- A wide overcrossing roadway, 

- Adverse grades on the cross street, 

- Moderate-to-high pedestrian crossing volumes, or 

- A combination of high through-volumes and low turning volumes on the 

cross-street. 

7-31
Figure 7-10 Single point urban interchange (SPUI). 

7-32
Figure 7-11 Typical SPUI 3-phase sequence.

7-33
Freeway incident management often makes use of continuous frontage roads. Due to 

longer cycle lengths and increased delays, the SPUI is not recommended where 

continuous frontage roads exist when the SPUI and the frontage roads are gradeseparated with one elevated above the other. 

System Capabilities 

The actuated controller, when used as a local unit in a traffic signal system, can provide 

additional functions other than previously described. Through the use of communications 

to a supervising master or central computer, the controller receives and implements a 

variety of commands. In closed-loop systems or central computer control systems, a twoway communications system returns information from the local unit to the central 

facility. The control status of the local controller and timing plan in effect exemplify 

returned local-oriented information. In many systems using two-way communications, 

system detector information is also returned to the supervising master unit or central 

computer. 

A user at a central management computer can upload and examine the controller’s data 

set (timing parameters). A copy of the controller’s data can be stored in a central 

database, modified, and downloaded to the controller in whole or in part. 

Implementation of downloaded interval durations and phase sequences may be subject to 

local minimums, maximums, or other checks, or the downloaded data may overwrite 

existing data with no checks. Methods vary from system to system, and traffic engineers 

must remain aware of the resulting impacts on traffic flow and operations safety. 

An in-the-field master unit may also store a copy of controller timings. 

7.6 NEMA, Advanced Transportation Controller, and Model 170 Standards 

The National Electrical Manufacturers Association (NEMA) maintains the TS 2 standard 

(6) for traffic signal controllers and related equipment. This standard defines 

functionality, interfaces (physical and logical), environmental endurance, electrical 

specifications, and some physical specifications, for the following components: 

• Traffic signal controllers, 

• Malfunction management units, 

• Vehicle detectors, 

• Load switches, 

7-34
• Bus interface units, 

• Facilities for signal flashing and related control transfer, and 

• Cabinets. 

The TS 2 standard does not specify the physical size, shape, or appearance of most 

components except where standardization is necessary for physical interchangeability of 

whole components from different manufacturers. Although maximum dimensions are 

specified for the controller, a manufacturer is free to make a unit of any smaller size from 

any material, in any shape, with internal sub-components of any type, as long as it meets 

the other requirements of the standard. There are no requirements that enable 

interchangeability of sub-components or software between controllers from different 

manufacturers. It is assumed that the whole controller and its software will be swapped 

out when a change is made. The standard specifies a range of alternative cabinet sizes, 

all having shelves, and a door on one side only. 

The TS 2 standard includes basic specifications for interval controllers (called “pretimed” 

in TS 2), but provides far more detail for phase controllers (call “actuated”). Signal 

phasing and timing functionality discussed above applies only to phase (actuated) 

controllers, the predominant type in use today. 

Hardware requirements for controllers are specified by NEMA TS 2 in the following 

areas: 

• A, B, and C connectors for cabinets using the older TS 1 standard 

• Serial bus for communications with MMU, detectors, and load switches 

• Serial ports for communications with computers and master units (RS 232 and 

FSK modem) 

• User interface (keypad and display, required but details not specified) 

• Maximum dimensions 

The NEMA TS 2 standard defines two alternative types of input / output interfaces for 

the controller. One consists of binary (on or off) logic wires (analog) connected to the 

controller via three round connectors designated as MS-A, MS-B, and MS-C. This 

interface was originally standardized in a prior NEMA standard - TS 1. It is still widely 

used, and remains an option within TS 2. It is common for NEMA-compliant controllers 

to provide additional input / output control wires via a non-standard connector MS-D. 

The other type of input / output interface specified in TS 2 is a serial bus. This option 

reduces the amount of wiring in the cabinet by providing an analog-to-digital converter 

and aggregator close to the detectors or load switches that are the source or destination of 

7-35
the inputs or outputs. Then a simple serial communications cable connects these bus 

interface units to the controller. Each bus interface unit supports multiple detectors or 

load switches. 

A controller built to the physical requirements of the NEMA TS 2 standard is typically 

referred to as a NEMA controller. It is intended to operate in a “NEMA” cabinet meeting 

the NEMA TS 2 specifications, and can use either the A, B, C connectors (often called 

the TS 1 interface), or serial bus interface (often called the TS 2 serial interface) for 

cabinet inputs and outputs. 

For actuated traffic signal controllers, the TS 2 standard defines functionality, primarily 

in the following areas: 

• Phases arranged in a particular sequence in rings with barriers 

• Overlaps (green outputs that can span multiple phases) 

• Single and dual entry logic (what phase to select in the second ring if no call 

there) 

• Pedestrian recycle (allowing pedestrian Walk to start other than at the start of 

green) 

• Phase intervals and their timing (including minimum and maximum green 

times, yellow clearance, red clearance, and pedestrian timing) 

• Coordination timing (cycle, offset, split, permissive period, time base) 

• Phase selection points (when “phase next” is selected) 

• Phase call storage (locking calls) 

• User-specified vehicle and pedestrian recalls 

• Automatic recall at forced phase termination 

• Conditional re-service of a phase within a barrier group 

• Simultaneous gap out 

• Start up process 

• Red revert time 

• Preemption 

7-36
• Flashing operation, dimming, diagnostics 

• Remote communications (including NTCIP requirements) 

The same functionality applies to NEMA controllers using either of the cabinet input / 

output interfaces (A, B, C connectors or serial bus). 

The Advanced Transportation Controller family of standards is maintained by a 

consortium composed of NEMA, ITE, and AASHTO. Two standards are currently in 

place: 

• The Advanced Transportation Controller 2070 (ATC 2070) 

• The ITS Cabinet for ATCs (9) 

The ATC 2070 standard (10) is based on the Caltrans Model 2070 controller specification 

(11) (12) (13) (14). Unlike the NEMA TS 2 standard, the ATC 2070 standard specifies 

every detail of the controller hardware and internal sub-components, but does not specify 

any application software functionality It requires the OS-9 operating system, a minimum 

of 4 MB of dynamic random access memory (RAM), 512 KB of static RAM, and 4 MB 

of flash memory. It also specifies the form and function of the following modules and a 

standard chassis and card cage into which card modules from any manufacturer can be 

inserted: 

• Power supply 

• Central processor unit module 

• Field input / output interface module 

• FSK modem module 

• RS232 serial ports module 

• Fiber transceiver module 

• Front panel (user interface) 

In addition to the standard modules, some manufacturers offer proprietary 

communications modules such as Ethernet switches, and a VME card carrier, that plug 

into the controller’s standard card cage. The original Model 2070 specification included 

provision for an auxiliary five-card 3U VME cage within the chassis with the central 

processor being on a VME card. This option is retained in the ATC 2070 specification, 

but has not proven popular. The VME cage and processor is rarely specified or supplied. 

A controller without the VME cage is often distinguished as a “2070 lite”, and has its 

central processor located on a module in the main 2070 card cage. 

7-37
Anyone can develop software for an ATC controller, for any purpose (e.g., traffic signal 

control, field master unit, ramp metering, count stations, dynamic message sign control, 

reversible lane control, etc.) knowing that it will operate on controllers from any 

manufacturer. Most ATC controller software for traffic signals adheres to the 

functionality specified in NEMA TS 2, and is functionally similar to a NEMA controller. 

The ATC 2070 standard includes options for input / output interfaces that enable its use 

in any of the four standard traffic signal cabinets – TS 1, TS 2 serial, ITS Cabinet, and 

Caltrans Model 33x cabinet. The TS 1 cabinet input / output interface module includes a 

standardized fourth connector, called the D connector. 

The ITS Cabinet standard (10) combines the best features of the Caltrans Model 33x 

cabinet and the NEMA TS 2 serial cabinet, while providing for additional inputs and 

outputs, more distributed and flexible fault monitoring, and reduced cabinet wiring. It is 

a rack cabinet, with optional sizes, one or two racks, and doors in both front and back. 

The standard includes specifications for all cabinet components except the controller, 

detector cards, and load switches. It can be used with the ATC 2070 controller and TS 2 

detector cards and load switches. 

Instead of a single Malfunction Management Unit, the ITS Cabinet standard calls for a 

Conflict Monitor Unit and multiple Auxiliary Monitor Units – one in each input or output 

rack. Instead of a Bus Interface Unit, it calls for a Serial Interface Unit that integrates the 

serial interface into the input or output connector, and uses a different protocol than that 

used in the BIU. This protocol is the same as used internally in the ATC 2070. It is a 

new standard and it will take some time before compliant components are readily 

available and large numbers of ITS cabinets are deployed. ATC 2070 controller software 

needs some modification to operate in an ITS Cabinet. 

The ATC standards working group is developing additional controller standards that will 

give more flexibility for both controller hardware and software. A new version of the 

ATC controller will allow the use of different physical forms, different central processing 

units, and perhaps different operating systems. Additional communications ports and 

memory are also planned. An application program interface standard will facilitate the 

portability of software applications between controllers using different processors and 

operating systems, and will allow sharing of system resources between multiple 

applications (from different suppliers) operating simultaneously on the same controller. 

Specifications jointly developed by the states of California and New York describe the 

Model 170 family of traffic control components (11). These standards cover the 

hardware for cabinets and all components, including the controller. As with the ATC 

standards, the Model 170 specifications do not specify software functionality. These 

specifications date back to the 1970s. The Model 170 controller is based on the Motorola 

6800 processor, which is no longer manufactured. Processing power and memory are 

severely limited and software written for the Model 170 controller cannot be readily 

7-38
expanded to add features such as support for more than 8 phases and two rings, or full 

NTCIP communications. 

The Model 170 controller is widely used and will continue to be used for some time to 

come. As replacement parts are no longer manufactured for some components, they will 

have to eventually be replaced. Caltrans developed the Model 2070 controller as its 

replacement. 

The Model 33x cabinets used with the Model 170 controller are supported by an optional 

Model 170 style field input / output module in the ATC 2070 standard, and it is therefore 

relatively easy to replace a Model 170 controller with an ATC 2070. However, Model 

170 software does not automatically run on an ATC 2070. 

Some manufacturers provide variations of the Model 170 controller which include: 

• Improved front panel user interface, 

• More capable central processor, and 

• Additional memory. 

Although not standardized, such enhancements provide another means of prolonging the 

life of the Model 170 family. 

The New York State Department of Transportation uses a similar controller, the Model 

179 (16). Although using a somewhat more powerful microprocessor, the Model 179 has 

not achieved the same acceptance as the Model 170. 

Controller Selection and Migration 

The selection of controller and cabinet should be based on an analysis of the agency’s 

requirements. 

For typical applications, any of the three standard controller types – NEMA, ATC, Model 

170 – is adequate. However, the Model 170 controller has limited capacity for 

supporting advanced software applications, such as full NTCIP support or use of more 

than eight phases in two rings. Obsolescence of the hardware also makes the Model 170 

controller a poor choice for long term applications. 

Traditionally, NEMA controllers have been made to operate only in NEMA cabinets, 

although the latest NEMA controllers will also operate in the ITS Cabinet. The ATC 

controller can be used in any type of cabinet, with the appropriate field input / output 

module, but NEMA controllers provide a more compact and simpler option in NEMA TS 

1 cabinets. Agencies often have a preference for one type of cabinet based on factors 

7-39
such as training of field personnel, existing inventory of spare components, aesthetic 

considerations (mainly size of cabinet), and cabinet placement policies. 

If an agency wants to use a small one-door cabinet (e.g., in a central business district), it 

needs to use a NEMA controller with a size and shape suited to that cabinet. If a large 

NEMA cabinet is used, either the ATC or NEMA controller may be suitable. If a rackmount cabinet (e.g., Model 33x or ITS Cabinet) is preferred, then the ATC controller (or 

Model 170 if feasible) is needed. 

Some manufacturers offer hybrid controllers that provide some of the features of a 

NEMA controller (e.g., small size and shelf-mount) and some of the features of an ATC 

2070 (e.g., standard processor and operating system able to operate anyone’s software, 

slots for ATC communications modules, and standard interfaces). Some manufacturers 

offer a small cabinet and integrated controller. This is often referred to as a CBD cabinet. 

Some such products are based on the ATC specifications but don’t adhere to the ATC 

2070 standard for physical size and modularity. 

As more and more cabinets with traditional parallel wiring between the controller and 

cabinet inputs and outputs (NEMA TS 1 and Model 33x cabinets) are replaced with serial 

bus cabinets (NEMA TS 2 and ITS Cabinet) the distinction between NEMA and ATC 

controllers will be less significant. The latest NEMA and ATC controllers can operate in 

either of the standard serial bus cabinets, and allow the user to operate any software 

compatible with the ATC 2070. 

The choice of software operating in the controller is often an overriding consideration. If 

the software that comes with a NEMA controller provides unique features that are 

needed, that controller may be the best choice. If that software is also available, or only 

available, for use on an ATC controller, then the ATC controller may be preferred. An 

ATC controller, and some NEMA controllers, can be purchased separately from its 

software, allowing more competitive procurement if a particular software package is 

needed. 

Another consideration is the need for spare parts and user training to support different 

types of controllers and cabinets. It is usually preferable to limit the number of different 

controller and cabinet types in use. 

An agency may wish to migrate from one type of controller to another, either as part of 

an upgrade program or to take advantage of benefits of a particular controller type. Most 

agencies cannot afford to perform a wholesale replacement of all controllers overnight, 

but do the changeover gradually. 

Any consideration of controller replacement must take into account the existing cabinet 

and any changes planned or needed to the cabinet. If cabinets are being replaced for 

other reasons, this presents an opportunity to also replace the controller, and it may be 

appropriate to change to a different type of cabinet. 

7-40
A NEMA controller generally cannot operate in a Model 33x cabinet designed for the 

Model 170 controller, and a Model 170 controller cannot operate in a NEMA cabinet 

(either TS-1 or TS-2 serial). However, an ATC can operate in any type of cabinet of 

sufficient size, if it has the appropriate interface module. An ATC that does not conform 

to the removable Field Input / Output module part of the ATC standard does not have the 

flexibility to be reconfigured to operate in a different parallel cabinet, but will usually 

include a serial port for use in a serial cabinet (e.g., NEMA TS-2 or ITS Cabinet). 

Software written for the Model 170 controller will not operate on an ATC, and vice 

versa. Traditional NEMA controllers cannot operate software written for either the 

Model 170 or ATC. Therefore, a change between these types of controllers will 

invariably involve different software and user training for the new software. 

It is common for an agency to have two types of cabinets or controllers in use at any 

point in time, as it migrates from one type to another. Most agencies try to avoid having 

more than two different types in use at the same time. 

7-41
7 References 

1. Tarnoff, P.J., and P.S. Parsonson. “Selecting Traffic Signal Control at Individual 

Intersections.” National Cooperative Highway Research Program Report 233, 

Transportation Research Board, Washington, D.C., 1981. 

2. Asante, S.A., S.A. Ardekani, and J.C. Williams. “Selection Criteria for Left-Turn 

Phasing, Indication Sequence and Auxiliary Sign.” HPR Research Report 1256-

IF, University of Texas at Arlington, Arlington, Texas, February 1993. 

3. Oliver, M.B. “Guidelines for Audible Pedestrian Signals.” Public Roads, pp. 33-

38, September 1989. 

4. Oliver, M.B., J.C. Fegan, and S.A. Ardekani. “Audible Pedestrian Signals-Current 

Practices and Future Needs.” Institute of Transportation Engineers Journal, pp. 

35-38, June 1990. 

5. “Committee for the Removal of Architectural Barriers, Audible Pedestrian Traffic 

Signals for the Blind, Intersection Evaluation Procedures.” San Diego Council 

Policy Number 200-16. San Diego, CA, May 1985. 

6. “Traffic Controller Assemblies with NTCIP Requirements.” NEMA Standards 

Publication TS2-03, National Electrical Manufacturers Association, 2003. 

7. Haenel, H.E., A.H. Kosik, and B.G. Marsden. “Innovative Uses of Traffic 

Responsive Control in Texas.” Presentation Paper, Engineering Foundation 

Conference, Henniker, New Hampshire, State Department of Highways and 

Public Transportation, Austin, TX, July 1983. 

8. “Single Point Urban Interchange Design and Operations Analysis.” National 

Cooperative Highway Research Program Report 345, Washington, DC, 

December 1991. 

9. “Intelligent Transportation Systems (ITS) Standard Specification for Roadside 

Cabinet (ITS Cabinet).” AASHTO, ITE, NEMA, Washington, DC, 2003. 

10. “ATC 2070 – Advanced Transportation Controller (ATC) Standard for the Type 

2070 Controller.” AASHTO, ITE, NEMA, Washington, DC, 2001. 

11. Quinlin, T. “Development of an Advanced Transportation Control Computer.” 

CALTRANS Report. 

12. “Model 2070 Advanced Transportation Management System Controller Concept 

Description, Final Draft.” CALTRANS, August 2, 1993. 

7-42
7-43

13. “Transportation Electrical Equipment Specifications.” California Department of 

Transportation, October 1994. 

14. Bullock, D., and C. Hendrickson. “Software for Advanced Traffic Controllers.” 

Transportation Research Record 1408, Washington, DC, 1993. 

15. “Traffic Signal Control Specifications.” (as amended), California Department of 

Transportation, January 1989. 

16. “Traffic Control Hardware Specifications.” Division of Traffic Engineering and 

Safety, New York State Department of Transportation, Albany, NY, June 1990. 
CHAPTER 8 

SYSTEM CONTROL 

Table of Contents

Section .................................................................................................................................................... Page 

8.1 Introduction................................................................................................................................. 8-2

8.2 Architectures for Conventionally Coordinated Traffic Control Systems. ............................. 8-2

Three Distributed Computation Level Architecture...................................................................... 8-2

Two Distributed Computation Level Architecture........................................................................ 8-5

Central Control Architecture......................................................................................................... 8-5

8.3 Traffic Responsive and Traffic Adaptive Systems ................................................................... 8-8

8.4 Time Base Coordination ........................................................................................................... 8-10

8.5 Traffic Management Centers ................................................................................................... 8-11

Functions of Surface Street TMCs .............................................................................................. 8-11

Traffic Signal Timing.................................................................................................................. 8-11

Size and Staffing Requirements of TMCs................................................................................... 8-12

Coordination between Traffic Systems and Traffic Agencies..................................................... 8-14

References ................................................................................................................................................ 8-15

8-1
CHAPTER 8 

SYSTEM CONTROL 

Figure 8-1 Traffic management center (TMC) (1). 

8.1 Introduction 

Section 3.8 describes functional categories for system control of traffic signals. This 

chapter concentrates on the architectures and the physical implementation of these 

categories. Table 8-1 briefly identifies these categories and their major architecture 

characteristics. 

8.2 Architectures for Conventionally Coordinated Traffic Control Systems. 

Signal timing plans for the lower four levels of Table 8-1 are stored in the controller’s 

database. Interconnected Control and Traffic Adjusted Control require interconnection 

by means of wireline or wireless techniques and provide the capability for time of day 

operation and operator selection of signal timing plans. The following architecture 

variations may be used to implement these two levels. 

• Three Distributed Computation Level Architecture (also known as “closed 

loop” systems). 

• Two Distributed Computation Level Architecture. 

• Central Control Architecture. 

Three Distributed Computation Level Architecture 

Figure 8-2 shows how the computation, control and equipment functions are distributed 

among the three levels. The TMC equipment complement consists of servers, 

communication equipment, local area network, and peripheral equipment such as 

printers. The database for the system is stored in the servers and downloaded to the field 

master controller and then to the local intersection controllers. 

8-2
Table 8-1 Performance levels for traffic signal systems. 

CATEGORY OF SYSTEM OPERATION ARCHITECTURE CHARACTERISTICS 

Traffic Adaptive Control 

Cycle free, rapid reaction to sensed traffic 

conditions 

- Distributed Control 

- One or two detectors per signalized approach 

Traffic Responsive Control 

Rapid reaction to sensed traffic conditions 

- Central control (SCOOT) or distributed control (SCATS) 

- One or two detectors per signalized approach 

Traffic Adjusted Control 

- Area traffic adjusted control. 

- Critical intersection control (centralized 

architecture only). 

- Local intersection strategies. 

- Interconnection required 

- Moderate number of system detectors required for traffic 

responsive timing plan selection 

- Three distributed computation levels (closed loop) or 

- Two distributed computation levels or 

- Central control 

Interconnected Control 

- Time of day or operator selected timing plans. 

- Local intersection strategies. 

- Interconnection required 

- No system detectors required for timing plan selection 

(time of day or operator selection only) 

- Three distributed computation levels (closed loop) or 

- Two distributed computation levels or 

- Central control 

Time Base Coordination 

- Time of day plans. 

- Local intersection strategies. 

Provides basic coordination. 

- No interconnection required 

Uncoordinated Signals - No coordination among traffic signals 

The architecture contains one or more field master controllers. These units may be 

located in controller cabinets in the field or may be located at the TMC. Their function is 

to break down the information from the TMC into the communication channels 

appropriate to each local intersection controller, and to assemble data from these 

controllers into an information stream for transmission to the TMC. In the case where the 

system is traffic adjusted, system detector data from the local field controllers is 

processed in the field master controller and is used to select the appropriate timing plan. 

The traffic responsive control algorithm for closed loop systems is described in Section 

3.8. 

The local intersection controller controls the traffic signal displays. It stores the library 

of timing plans available for control and implements the selected timing plan (the 

information for the selection of traffic responsive control timing plans originates at the 

field master controller and the information for operator selection originates at the TMC). 

Time of day control uses schedules downloaded from the TMC and stored in the local 

intersection controller. 

8-3
TMC 

Equipment

Complement

Large Scale 

display

Operator

Workstation

Generation of timing plans, operator 

selection of timing plans, display of 

intersection equipment status, 

intersection equipment management, 

display of traffic conditions 

(performance level 3)

Communication to other 

agencies, other ITS, media, 

independent service 

providers

Data base storage associated 

with signal timing, data 

archiving, communication to 

field

Website

Field Master 

Controller

Download of timing 

plans, configuration 

data, operator 

selection of timing 

plan

Upload of intersections 

status, equipment status, 

local detector data, 

system detector data 

(Level 3)

Selection of traffic responsive 

timing plans, smoothing of 

system detector data 

(performance level 3), 

communications to local 

intersection

Local 

Intersection 

Controller

Traffic responsive 

timing plan 

selection

Intersection status, 

preprocessed detector 

data, equipment status

Storage of timing plans and time of day 

schedules, implementation of selected timing 

plan, preprocessing of system detector data, 

locally actuated control

System 

Detectors for 

Performance 

Level 3 

Systems

Local 

Detectors

Figure 8-2 Typical architecture for three computation level distributed 

(closed loop) system. 

The local intersection controller preprocesses the system detector data into volume and 

occupancy parameters that are uploaded to the higher levels at intervals that might range 

from several seconds to a minute. Based on data received from the local detectors, the 

local controller terminates actuated phases at the appropriate time. 

Three level systems are often provided by traffic equipment suppliers. 

8-4
Two Distributed Computation Level Architecture 

The functions for this architecture are identical to those identified for the three distributed 

computation level architecture discussed above; however, all of the functions performed 

by the field master controller are performed by the TMC equipment complement. The 

functions of the local field controller remain unchanged. Two level systems are often 

provided by traffic system software suppliers. 

Central Control Architecture 

Figure 8-3 shows the signal flow for this architecture, which is currently used less 

frequently than in the past. While the TMC performs all of the computation functions as 

for the previously described architectures, it also performs the following major functions: 

• Processes and smoothes system detector data. 

• Uses system detector data to select timing plans based on a traffic responsive 

control algorithm. Section 3.8 describes the First Generation UTCS Control 

Algorithm used by many systems. 

• Converts the timing plan to controller coordination commands and provides 

these commands to the field controller at precisely the proper time in the 

signal control cycle. Table 8-2 describes the functions of the coordination 

commands. 

A remote communication unit (RCU) or, in some cases, an intelligent remote 

communication unit (IRCU) may be used to establish communication between the TMC 

and the intersection controller. Its information processing functions are generally 

minimal, and it primarily serves to match the interfaces and protocols required by the 

field controller to those used for communication with the TMC. 

Under normal conditions, the computation functions in the local intersection controller 

are minimal. Commands from the TMC at precisely the proper time in the traffic signal 

cycle terminate the green interval for each phase. Indication of the state of the green 

interval is transmitted to the TMC for monitoring purposes. Backup timing plans are also 

stored in the local intersection controller to be used in case the TMC fails or 

communication is lost. 

Since this architecture directly controls the phases (or in some cases the intervals) of the 

traffic cycle from the TMC, it can, in principle, facilitate the use of control strategies that 

may not be based on the use of stored timing plans such as certain types of transit priority 

strategies. 

8-5
Figure 8-3 Typical arrangement for central control architecture.

TMC 

Equipment

Complement

Large Scale 

display

Operator

Workstation

Generation of timing plans, operator 

selection of timing plans, display of 

intersection equipment status, 

intersection equipment management, 

display of traffic conditions 

(performance level 3)

Communication to other 

agencies, other ITS, media, 

independent service 

providers

Data base storage associated with 

signal timing, data archiving, 

communication to field, traffic 

responsive algorithm, time of day 

and operator selection of timing 

plans, smoothing of system 

detector data, generation and 

communication of controller 

coordination signals

Website

Remote Control 

Unit

Modem for communication with TMC

Transformation of controller coordination 

signals to controller useable format

Coding of detector data

Controller coordination 

signals

System 

Detector

Local Intersection 

Controller

Phase green

Local Detector

Controller coordination 

signals

TMC

Local Intersection

Implementation of coordination 

commands

Backup timing plans

8-6
Table 8-2 Coordination commands. 

Name Function 

Force-Off Issued to begin termination of an actuated phase. 

Each assigned force-off point is located 

precisely in the background cycle. It is sent to 

the controller only if: 

• Its respective phase is called and serviced, 

• Calls on the phase continue to (and beyond) 

the force-off point, or 

• Calls are present on any of the subsequent 

scheduled phases. 

The last (actuated) phase force-off occurs only if 

the above listed conditions are met. If calls on 

any of the actuated phases terminate before the 

scheduled occurrence of the force-off and 

demand is present on the next phase, the 

demanding phase will be served earlier than 

scheduled in the background cycle time frame. 

Hold Issued to guarantee a certain minimum of green 

time to a phase. Normally used in the 

coordinated phase to guarantee a window of 

time in the background cycle for traffic 

progression on the major street. Thus, the 

coordination phase is considered non-actuated 

because its duration is not reliant upon vehicle 

calls. A hold command can be applied to a phase 

other than the coordinated phase. 

Yield By de-energizing the Hold command, the 

resulting yield condition begins the termination 

of the active phase. The yield condition, no 

longer recognized by NEMA as a command, is 

usually associated with the coordinated phase, 

and in the absence of demand on other 

(actuated) phases, the controller remains in 

coordinated phase green. The yield (or 

permissive) condition may be programmed for a 

certain duration. If a call subsequently appears 

on any of the other (actuated) phases during the 

yield condition, the calling phase would, 

conditionally, be serviced. The condition for 

service is that sufficient time remains before the 

calling phase's scheduled force-off command 

occurs. 

8-7
8.3 Traffic Responsive and Traffic Adaptive Systems 

The conceptual aspects of these signal systems are discussed in Section 3.8. This section 

discusses the physical aspects of representative adaptive control systems as well as some 

of the performance tests. 

Conventional traffic signal systems were discussed in Sections 8.2 and 8.3. These 

systems represent the largest number of systems currently in use in the United States. 

Timing plans for these systems are stored in the local controller, and may be selected 

from the traffic management center or by a field master controller in the following ways 

by: 

• Time of day schedule. 

• The operator. 

• A traffic responsive algorithm. The traffic responsive algorithms, as 

discussed in Chapter 3, select timing plans for a section based on filtered realtime traffic data. Response times are usually in the order of a few minutes, 

and these timing plans are typically employed for a significant period of time 

(commonly exceeding one half hour). Since systems of this type implement 

timing plans that are prestored in the controller, the transportation 

management center or field master controller cannot alter the signal timing on 

an intracycle (phase or interval) basis. 

Since the intent of traffic responsive and traffic adaptive systems is to rapidly respond to 

changes in traffic flow by analyzing the measured flow of upstream vehicles, the required 

intracycle information (from the traffic management center or in some cases from 

adjacent intersections) must be appropriately processed by the controller software. Thus, 

standard NEMA TS2 controllers generally require software modification to operate with 

adaptive systems. Type 2070 and ATC controllers with appropriate software are often 

used for adaptive systems. More intensive deployment of traffic detectors is generally 

required for adaptive systems as compared with conventional traffic responsive systems. 

A wide range of performance improvements have been reported in the literature for these 

systems. While test techniques vary, the baseline for these tests has generally been 

pretimed systems, with considerable variation in the quality of the time of day plans. 

Table 8-3 provides a representative sample of results obtained in this way. The greatest 

benefits occur for those situations where traffic experiences significant variation from a 

pretimed plan. Examples include special events and arterials that support diversion from 

freeways during incidents. 

Table 8-4 identifies some advantages and disadvantages of traffic responsive and 

adaptive systems. 

8-8
Table 8-3 Representative results of performance testing 

Adaptive 

Control 

Algorithm 

Test Location Results Reference 

OPAC Northern Virginia 5-6% improvement in stops and delays 2 

Oakland County, 

Michigan 

SCATS Average of 7.8 % reduction in delay 3 

Newark, Delaware Travel time reduction up to 25% 3 

Minneapolis, Minnesota Delay reduction of up to 19% during 

special events 

3 

Toronto, Ontario 8% decrease in travel time, 17% decrease 

in delay 

4 

SCOOT 

Durban, South Africa 7% travel time reduction 5 

Table 8-4 Advantages and disadvantages of traffic responsive and traffic 

adaptive control systems. 

ADVANTAGES 

• May be significant advantages in stops, delays and emissions compared to pretimed systems (Level 2). 

Probably somewhat less improvement compared to conventional traffic responsive systems (Level 3). 

• No need to periodically update timing plans. 

DISADVANTAGES 

• Higher initial cost for both field equipment and traffic management center software. Higher 

maintenance cost for field components. 

• More difficult initial system setup and tuning process. 

ACS-Lite, a FHWA research project, adapts certain principles developed during adaptive 

control system research and development to use by closed loop systems. This discussion 

is adapted from Reference 6. 

ACS-Lite employs the concept that a TOD schedule is an appropriate way to manage 

traffic demand over the day and by days of the week. Within the context of a TOD 

schedule, ACS-Lite will adapt the particular plans that are implemented at each time of 

day based on the overall performance of that plan for the similar previous day. This 

approach to adaptive behavior uses the traditional traffic engineering assumption that 

average behavior of traffic on, for example, Tuesday at 3 P.M., is roughly the same on 

every Tuesday at 3 P.M., but drifts slowly with long-term changes in population, 

construction, new routes, etc. 

If the performance of the baseline plan is determined to be improvable by changing cycle, 

splits, or offsets, then those changes will be made to the “optimized” plan stored in ACSLite and downloaded to the local controllers for use on the next day. The goal of being 

appropriately adaptive at this level is the maintenance of the timing plan over long 

8-9
periods of time to address the typical degradation of plan effectiveness (e.g., 4% worse 

per year) and replace the very expensive task of re-timing signals on a periodic basis. 

The next level of adaptivity used by ACS-Lite is on-line modification of the TOD plan 

parameters as the plan is running. With the assumption that the baseline optimized TOD 

plan is a good starting point, ACS-Lite will adapt the cycle, split, and offsets of the plan 

within some neighborhood of the baseline settings over the plan’s intended 

implementation duration. ACS-Lite may also adapt the start and end time of the plan 

from the baseline TOD schedule according to the current conditions, considering the 

effectiveness of the new plan versus the one that is currently running. ACS-Lite also 

identifies and selects the best strategy to transition between timing plans. 

8.4 Time Base Coordination 

Signal coordination requires a common time reference shared by all controllers in the 

coordination group. They must each reference their offset to the same background cycle 

– a background cycle that is of the same duration and starts at the same time at all 

controllers. This can be achieved by a master controller transmitting a synchronization 

pulse or message to all the controllers at the start of the background cycle. However, 

such schemes fail if the communications link breaks down. 

Modern controllers most commonly use time base coordination as the means of 

synchronizing the start of the background cycle in all controllers. This scheme uses a 

time-of-day clock in each controller. The clock enables each controller to know the 

current time to at least the nearest second. The controller considers the background cycle 

to have started at a particular time of the day, such as midnight, called the offset reference 

time. At any time during the day, the controller can determine where it is now in the 

background cycle by calculating the number of seconds since the offset reference time 

(say midnight) and dividing by the cycle length. The remainder is used to calculate when 

the current background cycle started. The local cycle zero point is then calculated by 

adding the offset time to the background cycle zero point. 

Time-base coordination works regardless of the mix of controller types and software in 

the system. However, it only works if the clocks in all controllers are well synchronized. 

Each controller counts the passage of time and automatically adjusts for daylight saving 

time. Clocks in controllers tend to drift over time and need to be reset periodically. If the 

controller is connected to a master or central computer, the clock can be reset 

automatically. 

Standard time can be obtained by computers, masters and laptops computers used by 

technicians using transmissions from various sources such as cellular phone systems, 

radio broadcast from the National Institute of Standards and Technology (radio stations 

WWV and WWVH), time servers on the Internet, and the Global Positioning System. 

Some agencies have installed wireless time-source receivers in each signal cabinet. 

Section 7.5 provides additional information on time base references. 

8-10
8.5 Traffic Management Centers 

A traffic management center (TMC) is the hub of a traffic control system. The TMC 

brings together human and technological components from various agencies to perform a 

variety of functions. TMCs may deal with freeway traffic management, surface street 

traffic management, transit management or some combination of these functions. 

Chapter 14 of the Freeway Management and Operations Handbook (7) gives detailed 

information on freeway TMCs. This section is concerned primarily with traffic signal 

system TMCs. 

Functions of Surface Street TMCs 

Typically, surface street TMCs perform the following functions (8, 9): 

• Implement dynamic selection of traffic signal timings 

• Implement transit signal priority 

• Provide coordination among various agencies 

• Monitor traffic signal equipment, and dispatch resources to fix malfunctioning 

equipment 

• Provide traffic detection and surveillance 

• Modify arterial traffic signal timing when an incident occurs on a freeway 

• Manage incidents and special events or emergency evacuations 

• Store data for long term archives and offline operation 

Traffic Signal Timing 

One of the primary purposes of a traffic signal system TMC is to manage the timing of 

traffic signals in urban networks and on arterial streets. Special software allows an 

operator at a workstation in the TMC to communicate directly with field equipment and 

modify traffic signal programs in real time. 

One of the largest and most advanced traffic signal system TMCs is the Automated 

Traffic Surveillance and Control System (ATSAC) in Los Angeles, California. ATSAC 

has been upgraded to use the Adaptive Traffic Control System (ATCS). ATCS can 

operate in the following modes (9): 

• Adaptive: each intersection within a group operates on a common cycle 

length, determined by traffic conditions within the group. Local intersection 

splits are based on traffic demand at the intersection, and offset is selected to 

8-11
minimize number of stops on the approach link with highest flow and based 

on intersection separation distances. 

• Time-of-day: each intersection operates on a predefined fixed program, as 

selected by the traffic engineer, based on the time of day. 

• Operator Control: operator can override the normal program by selecting a 

special timing plan from the TMC. This is useful during special events and 

incidents. 

A traffic signal system TMC is useful when helping to manage incidents. CCTV 

cameras, as well as other forms of surveillance, can be used to detect incidents. When an 

incident occurs, either an operator can manually select an incident traffic signal timing 

plan, or by the use of a traffic responsive expert system which automatically selects an 

incident timing plan. Changeable message signs, web sites and the media may be used to 

alert motorists. 

Size and Staffing Requirements of TMCs 

The size and staffing requirement of a TMC can vary greatly, depending on the size of 

the urban area, and the functions that the TMC provides. Table 8-5, below, shows a 

summary of TMC size and staffing requirements for various TMC’s in the US (10, 11, 

12). Since TMC functions differ among agencies, the site and staff size may not be 

comparable among these agencies. 

8-12
Table 8-5 Comparison of various traffic signal system TMCs in the US. 

Location City / Area 

Approx. 

Population 

TMC Size Number of 

traffic signals 

on system 

Staff 

Los Angeles, CA 

(ATSAC) 

3,700,000 5500 sq ft 2912 7 transportation 

engineers, including 1 

supervisor. 2 systems 

analysts, 1 graphics 

designer, 1 traffic 

signal electrician, 1 

secretary 

Miami-Dade 

County, FL 

2,200,000 5000 sq ft 2020 13 employees 

San Antonio, TX 1,100,000 6000 sq ft 765 1 engineer, 3 

technicians 

Las Vegas, NV: 

Las Vegas Area 

Computer Traffic 

System (LVACTS) 

1,500,000 (Covers 

Clark County) 

2500 sq ft 700 4 administrative 

positions. 4 traffic 

operations positions. 4 

maintenance positions 

Atlanta, GA 416,000 2300 sq ft 650 Traffic signal 

operations: 1 engineer, 

1 senior operator, 2 

operators. CCTV: 1 

engineer, 1 technician 

Albuquerque, NM 449,000 800 sq ft 450 4 employees (2 

engineers) 

Denver, CO 555,000 2800 sq ft 450 No dedicated staff for 

TMC. Approx 1.5 

FTE, more during 

special events 

Seattle, WA 600,000 1420 sq ft 432 One supervisor, two 

operators 

Phoenix, AZ 1,300,000 1500 sq ft 400 1 supervisor, 4 

technicians 

Boston, MA 590,000 2500 sq ft 320 7-8 employees 

Renton, WA 53,000 700 sq ft 96 Initially, one part-time 

staff member. Can 

accommodate up to 

two full-time staff 

members 

Redmond, WA 48,000 800-1400 sq ft 

(currently under 

construction) for 

traffic 

management 

area. 1200-1700 

sq ft for signal 

shop area 

25 (under 

construction) 

Control room: one 

supervisor, one 

operator 

Signal shop: up to five 

maintenance staff 

Source: Various TMCs, and References 10, 11, 12 

8-13
Coordination between Traffic Systems and Traffic Agencies 

Because a signalized arterial may cross the boundaries of traffic systems or jurisdictions, 

it may be necessary to coordinate the operation of the systems so that traffic progression 

is maintained across a boundary. This requires the following: 

• Identical cycle length on opposite sides of the boundary. 

• Establishment of appropriate offset between signals on opposite sides of the 

boundary. 

• Use of a common time reference by the two systems. 

• Coordination with maintenance in case of failure. 

This type of coordination is facilitated by the use of common time of day schedules for 

the traffic systems on opposite sides of the boundary. 

Where the systems lie in different jurisdictions, a memorandum of understanding 

between the agencies may be appropriate to establish the basis for a joint planning effort. 

Inter-agency coordination is discussed in Reference 13. 

8-14
8-15

8 References 

1. “Goals for a Livable City.” City and County of Honolulu <http://www.co. 

honolulu.hi.us/mayor/goal-5.htm>. 

2. Gartner, N.H., F.J. Poorhan, and C.M. Andrews. “Implementations and Field 

Testing of the OPAC Adaptive Control Strategy in RT-TRACS.” Presented at the 

81st Annual Meeting of the Transportation Research Board, Washington, DC, 

2002. 

3. Sussman, J. “What Have We learned About Intelligent Transportation Systems.” 

Chapter 3, Federal Highway Administration Report No. FHWA-OP-01-006, 

December 2000. 

4. “SCOOT in Toronto.” Traffic Technology, Spring 1995. 

5. “Durban SCOOT System.” The Durban Metro Council, Durban, South Africa, 

February 27, 1996. 

6. “ACS-Lite Algorithms Detail.” Gardner Transportation Systems, November 19, 

2002. 

7. Neudorff, L.G., J.E. Randall, R. Reiss, and R. Gordon. “Freeway Management 

and Operations Handbook.” Federal Highway Administration Report No. FHWAOP-04-003, Washington, DC, September 2003. 

8. “Transportation Management Center Concepts of Operations: Implementation 

Guide.” Federal Highway Administration Report No. FHWA-OP-99-028 / FTATRI-11-99-23, Washington, DC, December 1999. 

9. “ATCS: Adaptive Traffic Control System.” City of Los Angeles Department of 

Transportation, April, 1998. 

10. Freund, K. “A Comparison of Traffic Management Centers in the Puget Sound 

Region.” ITE Journal. Institute of Transportation Engineers, Washington, DC, 

July 2003, pp. 46-50. 

11. United States Census Bureau. United State Department of Commerce. 2000. 

12. Federal Highway Administration, USDOT, Oak Ridge National Laboratory, U.S. 

Department of Transportation. “Metropolitan Intelligent Transportation Systems 

Infrastructure Deployment Tracking Database - FY96.” January 1996. 

13. “Cross-Jurisdictional System Coordination Case Studies.” Science Applications 

International Corporation, Federal Highway Administration Research Report No. 

FHWA OP-02-034, February 2002. 
CHAPTER 9 

COMMUNICATIONS 

Table of Contents

Section .................................................................................................................................................... Page 

9.1 Introduction................................................................................................................................. 9-2

9.2 Functions of a Communication System ..................................................................................... 9-3

9.3 Alternative Communication Technologies................................................................................ 9-3

9.4 NTCIP .......................................................................................................................................... 9-5

References .................................................................................................................................................. 9-6

9-1
CHAPTER 9 

COMMUNICATIONS 

Figure 9-1 Installing communications cable. 

9.1 Introduction 

Traffic control systems have traditionally used wireline communications to transfer 

information between field controllers and a traffic management center (TMC) or a field 

master controller. These systems have consisted of owned cable or leased line facilities. 

While these alternatives still remain, additional alternatives have become available in the 

last few years. The functional requirements for surface street traffic control have 

expanded considerably in the last few years and currently include CCTV, variable 

message signs and transit priority. 

This chapter provides a broad overview of requirements and technologies for 

communications. A more detailed treatment is available in the Telecommunications 

Handbook for Transportation Professionals (1). 

9-2
9.2 Functions of a Communication System 

A communications system to support surface street traffic control may be required to 

provide communications to facilitate the following functions: 

• Synchronization of timing among controllers in a traffic control section. A 

common time reference is required to provide a common cycle length and 

establish the appropriate offsets. 

• Upload and download of timing plans and other parameters between the field 

controller and the TMC. 

• Monitoring of field equipment status and reporting of equipment 

malfunctions. 

• Selection of timing plans by the TMC or field master controller. 

• Provision of any communications between the TMC and the field controller or 

between field controllers that may be necessary to support adaptive control 

algorithms. 

• Communication of video information to the TMC and control of cameras by 

the TMC. 

• Upload of logs developed by emergency vehicle signal preemption equipment. 

• Support of signals required for transit priority. 

• Support of traffic probe based incident detection equipment. 

9.3 Alternative Communication Technologies 

Among the possible communication functions, only the transmission of a considerable 

number of CCTV signals requires the use of broad-band communication technology. 

Broad-band technology supports higher data rates than usually provided by modems 

using standard telephone channels (e.g. 56 kilobits/second). In many cases, particularly 

where a number of functions are to be supported by the same communication system, it 

may be most practical to use broadband technology. The types of technologies that may 

be used are shown in Table 9-1. 

9-3
Table 9-1 Communications technology subclassifications. 

AGENCY OWNED TECHNOLOGIES 

BROADBAND NARROWBAND 

WIRELINE Fiber optic cable technology. T1 

or SONET techniques possibly 

including ATM are commonly 

used where multiple functions are 

required. Fiber optic based 

Ethernet are gaining in popularity 

at this time. Good quality CCTV 

capability and data capability. 

• Copper cable. 

• Fiber optic cable using low 

data rate modems. 

. 

WIRELESS • Conventional microwave. 

• Spread spectrum radio 

having good quality CCTV 

capability and data capability 

for a limited number of 

cameras on a channel. 

• Wireless Ethernet, both short 

range and long range are 

being considered by a 

number of agencies 

• Conventional low data rate 

microwave or spread 

spectrum radio. 

• Area radio networks with 

data capability. 

COMMUNICATION SERVICE PROVIDER 

LEASED CHANNEL 

SERVICE 

DIAL UP DATA SERVICE DIAL UP CHANNEL 

SERVICE 

T1, fractional T1, POTS (plain 

old telephone service), DSL, 

cable service. 

Service may range from 

capability of good quality CCTV 

and data capability to no CCTV 

capability. 

CDPD, GPRS, dial up internet, 

ISDN, pager. 

Data capability, CCTV capability 

poor or unavailable. 

Dial up service is only useful for 

limited traffic signal systems and 

other functions. 

• Conventional dial up 

telephone modem 

connection. 

• Cellular telephone. 

• Satellite providers 

Data capability, CCTV capability 

poor or unavailable. Dial up 

service is only useful for limited 

traffic signal systems and other 

functions. 

9-4
9.4 NTCIP 

This section is adapted from the Freeway Management and Operations Handbook (2). 

The National Transportation Communications for ITS Protocol (NTCIP) suite of 

standard communications protocols and data definitions has been designed to 

accommodate the diverse needs of various subsystems and user services of the National 

ITS Architecture. NTCIP standards are intended to handle these needs in the following 

two areas: 

• The first type of communications is between a management system or center 

and multiple control or monitoring devices, such as a traffic control system 

communicating with intersection controllers, dynamic message signs, and 

control of CCTV cameras. This type is referred to as center-to-field (C2F) 

communications. 

• The second type of communication involves messages sent between two or 

more central management systems, such as a freeway management system and 

a traffic signal control system. This type of communication is referred to as 

center-to-center (C2C) communications. Even if two or more of the various 

center subsystems are located within the same “center” or building, they are 

still considered logically separate. C2C involves peer-to-peer communications 

between any number of system computers in a many-to-many network. This 

type of communication is similar to the Internet, in that any center can request 

information from, or provide information to, any number of other centers. 

NTCIP provides the mechanism whereby interchangeability and interoperability among 

the various components of transportation systems can be achieved, where 

“interchangeability” is defined as the capability to exchange devices of the same type 

(e.g., a signal controller from different vendors) without changing the software; and 

“interoperability” is defined as the capability to operate devices from different 

manufacturers, or different device types on the same communications channel. Specific 

NTCIP standards are discussed in more detail in subsequent chapters. Additional 

information regarding NTCIP may be found on the NTCIP website (www.ntcip.org), 

including the NTCIP Guide (3). 

9-5
9-6

9 References 

1. Leader, S. “Telecommunications Handbook for Transportation Professionals: 

The Basics of Telecommunications.” Federal Highway Administration Report 

No. FHWA-HOP-04-034, September 2004. 

2. Neudorff, L.G., J.E. Randall, R. Reiss, and R. Gordon. “Freeway Management 

and Operations Handbook.” Federal Highway Administration Report No. FHWAOP-04-003, Washington, DC, September 2003. 

3. “The National Transportation Communications for ITS Protocol Online 

Resource.” AASHTO, ITE, NEMA. June 2003 <http://www.ntcip.org>. 
CHAPTER 10 

TRAVELER INFORMATION SYSTEMS 

Table of Contents

Section .................................................................................................................................................... Page 

10.1 Introduction............................................................................................................................... 10-2

10.2 Static Signs................................................................................................................................. 10-2

10.3 Advanced Methods of Information Dissemination................................................................. 10-7

10.4 Advantages and Disadvantages of Various Methods of Information Dissemination ........ 10-10

Uses of Traveler Information Devices on Surface Streets ........................................................ 10-10

References .............................................................................................................................................. 10-15

10-1
CHAPTER 10 

TRAVELER INFORMATION SYSTEMS 

Figure 10-1 Traveler information kiosk (1). 

10.1 Introduction 

From the point of view of the motorist, one of the most important functions of any traffic 

management system is the dissemination of information. Information dissemination to 

travelers includes both pre-trip planning information, as well as real-time en-route 

information. Although information dissemination is often associated with freeways, it 

has become increasingly important on surface streets as well. 

10.2 Static Signs 

Static signs convey only one message. Single-message displays are most useful in 

recurrent situations where the engineer desires the same driver response each time. 

Therefore, the engineer should position static signs in locations where the message 

always proves meaningful. 

The Manual on Uniform Control Devices (MUTCD) remains the principal source of 

standards for static signs (2). The MUTCD also provides the traffic engineer with 

guidance on signs relative to: 

• Use, 

• Design, 

• Application, 

• Placement, and 

10-2
• Maintenance. 

The Traffic Engineering Handbook (3) further clarifies some terms and procedures 

identified in the MUTCD. The Handbook discusses practical implementation and refers 

to other State and Federal documents that fill in details purposely left open by the 

MUTCD. Many states have standards that define their implementation of the MUTCD. 

Static signs are classified into three basic types: 

• Regulatory signs that inform roadway users of: 

- Traffic laws or regulations, and 

- The applicability of legal requirements otherwise not readily apparent. 

• Warning signs inform roadway users of potential or existing hazardous 

conditions on or adjacent to a highway or street. 

• Guide signs inform roadway users of: 

- Directions to common destinations, 

- Roadway identification via route markers, and 

- Other valuable information. 

State laws allow for enforcement of these signs by police and other local authorities. 

Table 10-1 provides examples of the intended use of each basic sign type. 

Though normally considered passive, static signs can be transformed into active signs by 

adding flashing beacon signals. An active sign's message is valid only when the signals 

flash. An example is: 

"School Speed Limit XX MPH When Flashing." 

Figure 10-2 depicts an active sign. Note the solar panels that power the flashing beacons. 

This display type compares favorably to changeable message signs in terms of both cost 

and the agencies' capability to fabricate it. 

Active signs typically see use in traffic management functions and provide a lower cost 

solution than blank out signs (a form of changeable message sign). Section 10.3 further 

describes blank out signs. A time-clock switch closure or a communication signal can 

readily activate the flashing beacons associated with active signs. 

10-3
Table 10-1 Static sign use. 

Static Sign Type Purpose Typical Uses 

Regulatory To inform motorists of 

traffic laws and regulations 

• Intersection control 

• Definition of right-of-way 

• Speed limits 

• Turning movement control 

• Pedestrian control 

• Exclusions and prohibitions 

• Parking control and limits 

• Regulations associated with roadway 

maintenance and construction 

• Preferential vehicle (e.g., HOV) lane use 

• School zone restrictions 

• Railroad-highway at-grade crossing control 

Warning To warn motorists of 

unusual existing or 

potentially hazardous 

condition (s) on or adjacent 

to a street or highway 

 

• Roadway width and horizontal and vertical 

alignment changes 

• School areas 

• Crossings and entrances to streets, highways, 

and freeways 

• Impending intersection controls 

• Road construction and maintenance 

• Roadway alterations 

• Advisory speeds 

• Unexpected crossing areas 

• Railroad-highway at-grade crossings 

Guide To provide destination and 

directional information 

• Route markings and mile markers 

• Destinations and directional arrows 

• Distances to destinations 

• General motorist services 

• Tourist, recreational and cultural interests 

• Roadway construction and maintenance detours 

• Exit numbering 

• Emergency evacuation routes 

Traffic engineers also add extinguishable blank out text to static signs, thus creating a 

hybrid. The blank out text activates when applicable and supplements the static sign 

message. Figure 10-3 shows blank out sign text added to a static guide sign. 

10-4
Figure 10-2 Active sign. 

Figure 10-3 Static sign hybrid. 

10-5
The MUTCD also recommends the use of diagrammatic guide signs along freeways to: 

• Graphically depict the exit arrangement in relationship to the main highway. 

Such guide signs have proven superior to conventional guide signs for some 

interchange types (2). 

• Use at advance guide sign locations where: 

- Splits have off-route movements to the left, 

- Optional lane splits exist, and 

- Exits where route discontinuity and left-exit-lane drops exist (2). 

The MUTCD also includes standards for: 

• Sign background, 

• Letter color, and 

• Shape and size. 

Many signs for roadway maintenance and construction areas largely duplicate normal 

regulatory warning and guide signs. To identify their temporary character, all roadway 

maintenance and construction signs use an orange background. 

The MUTCD also addresses signs for HOV and bicycle facilities, and provides 

information on the use of guidance devices such as: 

• Object markers, 

• Pavement markings, and 

• Roadway delineators. 

Recent developments in static signs include: 

• Solar-powered light emitting diodes (LEDs) to further self-illuminate static 

sign messages, and 

• The addition of yellow or red LEDs to diagrammatic guide signs to indicate 

congested road sections. 

Figure 10-4 depicts a static yield sign with LEDs incorporated to further distinguish the 

sign and draw attention to it. 

10-6
Figure 10-4 LED illuminated static yield sign. 

Figure 10-5 shows another method of internally illuminating static signs. The enclosure 

contains fluorescent lamps behind the sign panel that improve the sign's visibility. 

Figure 10-5 Illuminated fluorescent sign. 

10.3 Advanced Methods of Information Dissemination 

Static signs are the most basic method of information dissemination. Advanced 

technologies provide additional methods of giving information to travelers. These 

methods may be broadly classified as on-roadway and in-vehicle, or off-roadway. For 

more detailed information on the technology used in the various methods, refer to the 

Freeway Management and Operations Handbook (4). 

• On-Roadway and In-Vehicle: 

- Changeable Message Sign (CMS): CMS signs are a variety of different 

types of signs that display changeable messages to give motorists real-time 

10-7
information on local conditions. CMS may be permanent or portable. 

Table 10-2 identifies some applications of CMS. Figure 10-6 shows an 

example of a surface street CMS. 

Table 10-2 Applications of CMS on surface streets. 

Category Applications 

Traffic management and diversion • Surface street and freeway traffic advisory and 

incident conditions. 

• Parking availability 

• Special events 

• Adverse road conditions 

• Speed advisory 

Warning of adverse conditions • Adverse weather and environmental conditions 

(snow, ice, fog, slippery pavement, high water) 

• Evacuations and emergencies 

Control during construction and 

maintenance operations 

• Advisory of existing or upcoming construction / 

maintenance 

• Speed advisory 

• Path control 

Control of special use of lanes • Reversible lanes 

• Exclusive lanes 

• Contraflow lanes 

• Restricted roadways 

Figure 10-6 CMS on surface street. 

- Highway Advisory Radio (HAR): HAR uses a special radio station to give 

information to travelers. A HAR system consists of a radio transmitter to 

transmit the information, and signs telling motorists what radio station to 

tune to. The signs usually include beacons that flash when there is an 

10-8
important HAR message. Although primarily used for freeways, HAR 

may be used in limited ways on surface streets. HAR may be permanent 

or portable. 

- Cellular Telephone Hotlines: Cellular phones can be used to access special 

hotlines with route-specific traffic information. In response to the U.S. 

Department of Transportation’s petition the Federal Communication 

Commission (FCC) designated 511 as the national traveler information 

telephone number. 

- Commercial Radio: Commercial radio stations often include traffic 

reports. 

- Citizen-Band Radio: CB radios allow two-way communication between a 

motorist and a response agency, and are useful in a motorist aid service. 

Although CB radios are not as popular as they once were, they are still 

found in a significant number of trucks and commercial vehicles. 

- In-Vehicle Route Guidance Systems: Video Display Terminals (VDTs) 

may be mounted on the dashboard, and provide real-time route guidance 

and navigational information to the motorist. They can display 

information either on a map, which can highlight the recommended route, 

or by displaying text and simple symbolic signals (such as an arrow). This 

type of information may also be provided by voice. Surveillance 

information may be used to take current traffic conditions into account in 

the development of route guidance paths. 

• Off-Roadway: Access while not in a vehicle can be useful for pre-trip 

planning. 

- Television: Many commercial television stations provide traffic 

information, either as a scheduled part of their morning program, or by 

interrupting regular programming. 

- Telephones: Telephone hotlines may be used to provide pre-trip 

information, and also for real-time ride sharing matching. 

- Pagers: Alphanumeric pagers are another device that can be used to obtain 

pre-trip information. Motorists can receive hourly information on traffic 

and rideshare matching sent to their pagers. 

- Personal Data Assistants (PDAs): PDAs can be used in conjunction with 

RF communications to receive real-time traffic information, allowing 

more detailed information than an alphanumeric pager. 

10-9
- Computers (Internet): In recent years, the internet has become one of the 

most important methods for information dissemination. Many areas have 

public agencies and private services that display real-time, route specific 

traffic information. The internet can also be used to access static 

information, such as bus schedules. 

- Kiosks: Kiosks are video monitors mounted on a stand-alone cabinet, in a 

wall, or on a counter-top. They may have input devices such as keypads, 

trackballs, or touch-screen displays. Kiosks may be located in places such 

as hotels, restaurants, airports, service stations, and retail establishments. 

10.4 Advantages and Disadvantages of Various Methods of Information 

Dissemination 

Table 10-3 describes the advantages and disadvantages of various methods of 

information dissemination. 

Uses of Traveler Information Devices on Surface Streets 

• Congestion: Almost any form of information dissemination can be used to 

give information on congestion on both freeways and surface streets. For 

example, a CMS can be used on a surface street either to give information on 

the surface street itself or information on an intersecting freeway. HAR, as 

well as other forms of media (such as internet or television or commercial 

radio) can give city-wide congestion information. 

• Incidents: Information dissemination is also useful in the case of an incident 

on a surface street. A portable CMS may be deployed at the incident location 

to inform motorists. Portable CMS may also be used upstream of an incident 

to advise of a detour if road closures are involved. HAR, as well as other 

forms of media, could alert motorists of the incident. 

• Construction: Similar to incidents, information dissemination is useful during 

construction activities. Like incidents, portable CMS, HAR, and other forms 

of media can alert drivers to the construction, and also advise of alternate 

routes. For an especially major construction project, an internet service or 

hotline can give up to date information on the status of construction, 

information on road closures, and travel time information. 

10-10
Table 10-3 Advantages and disadvantages of methods of information 

dissemination. 

Method Advantages Disadvantages 

Changeable Message Signs 

(CMS) 

• Various CMS technologies 

are available, giving good 

flexibility 

• Provides information specific 

to the precise location of the 

driver 

• Portable CMS can easily be 

deployed in the case of an 

incident, construction, or 

special events 

• Information can be used by 

all drivers, no special 

equipment is needed 

• Most CMS only allow enough 

space for short messages with 

little detail 

• May be distracting to drivers, 

and requires them to take their 

eyes off the roadway to read the 

sign. May cause accidents, and 

may cause delays if drivers slow 

down to read and to comprehend 

the message on the sign 

• If a CMS is blank, drivers may 

assume it is disabled. If a CMS 

has a non-critical message, it 

may lose credibility 

Highway Advisory Radio 

(HAR) 

• Doesn’t require any special 

equipment for driver. 

Virtually all cars have a radio 

• Can give longer, more 

detailed information than 

CMS. Can be used at any 

location within the coverage 

area, rather than at fixed 

locations where a CMS 

happens to be located 

• Information is received 

through a different sensory 

channel (audio), which 

reduces information overload 

received visually while 

driving. (5) 

• Requires action on the part of the 

motorist—he or she must tune to 

the specific radio station. May 

be distracting, and many drivers 

do not bother to tune into HAR 

station 

• Many drivers do not trust HAR 

and may prefer commercial 

radio. 

• Requires an FCC license, and in 

many cities there may be very 

few available frequencies that 

will not interfere with existing 

radio stations 

• A driver may miss the key part 

of the message and may have to 

listen again to the entire message 

• When used on a surface street 

network, it is not practical to 

post HAR beacon signs at every 

intersection. Driver notification 

is more difficult than for 

freeways. 

10-11
Table 10-3 Advantages and disadvantages of methods of information 

dissemination (continued). 

Method Advantages Disadvantages 

Cellular Telephone Hotlines • Allows drivers to access 

information specific to the 

road or region they are 

interested in. 

• Can be used while driving 

• Only available to drivers with 

cell phones 

• Use of cell phone while driving 

may cause distractions (this 

problem is mitigated somewhat 

by the use of hands free cell 

phones) 

• May require a complex menu 

system for the driver 

• May require driver to pay for 

cellular airtime 

• Driver often inadvertently 

provides incorrect location 

information 

Commercial Radio • Information is very easily 

available: virtually all cars 

have a radio, and most 

drivers have it on 

• Drivers generally prefer 

commercial radio over HAR, 

and trust the information 

more 

• Traffic reports are only given 

during the times where they are 

normally scheduled. This may 

cause a major incident to be 

reported late or not at all, and 

may cause out of date 

information to be reported 

• Only a very short period of time 

is allowed for traffic reports, 

which limits the amount of 

information that may be given 

• There can be error in 

interpretation of information by 

broadcasters 

Citizen Band (CB) Radio • Useful for a motorist-aid 

system 

• Allows 2-way 

communication between 

driver and response agency 

• Most vehicles except for trucks 

and commercial vehicles are not 

equipped with CB radios 

In-Vehicle Navigation 

Systems) 

• Travel information is more 

readily accessible to the 

driver (providing continuous 

access to current position, 

routing, and navigational 

information) 

• Computer-generated 

navigational maps and 

displays are logical 

extensions of traditional 

forms of providing drivers 

with route guidance and 

navigation information 

• Visually based systems may 

cause driver distraction and 

information overload. 

• Systems are limited to static 

route guidance only. (i.e. nontraffic related information unless 

an unusual level of surface street 

surveillance is provided) 

Television • Convenient for pre-trip 

planning, drivers can watch 

the television before leaving 

• Not available while inside 

vehicle 

10-12
Table 10-3 Advantages and disadvantages of methods of information dissemination 

(continued). 

Method Advantages Disadvantages 

Telephones • Can provide customized pretrip planning information to 

drivers 

• Can be used for dynamic 

ridesharing 

• Only a cellular phone can be 

used while in a vehicle. See 

“Cellular Phones” above for 

more information 

Pagers • Can provide customized, 

real-time information 

• Can only give a very small 

amount of alpha-numeric 

information 

• Only available to drivers who 

own pagers 

Personal Data Assistants 

(PDAs) 

• Can give more detailed 

information than an alphanumeric pager 

• Two-way communication 

allows drivers to access 

information specific to their 

needs 

• Only available to drivers who 

own a PDA 

• Dangerous to use while driving. 

Computers (Internet) • Two-way communication 

allows drivers to access 

information specific to their 

needs 

• Allows very detailed 

information 

• Usually not available while invehicle 

• Not all drivers have a computer 

with an internet connection 

Kiosks • Can give information tailored 

to a specific population, at a 

specific location 

• Not available while in vehicle 

• Many kiosks are not located 

where they can be reached by 

their target audience and are not 

well used 

• Route Guidance: A variety of different methods of information dissemination 

can be used to provide route guidance on surface streets. In-vehicle 

navigation systems (video display terminals, head up systems) can give 

customized, turn-by-turn route guidance information. A variety of internet 

services also can give turn-by-turn directions between two points. In many 

cities, CMS can be used on the surface street network to direct motorists to the 

best route to a destination such as a bridge or tunnel. Often, a hybrid sign, 

including both a static component and a changeable component (such as 

arrows) can be used for this purpose. 

• Weather: Various forms of media, including HAR, can give motorists 

information relating to severe weather conditions, and how it affects driving, 

including road closures. Portable CMS can be used on surface streets to 

inform motorists of severe conditions, road closures, and alternate routes. 

10-13
• Special Events: Portable CMS can be used to direct motorists to special 

events, to give parking information, and to give alternate routes to traffic 

wanting to avoid the area of the special event. 

• Emergencies / Evacuation: In recent years, increased attention has been given 

to security issues. In the event of an emergency, such as a terrorist attack, 

various media forms, including HAR, as well as CMS can be used to alert 

motorists of evacuation routes, closed roads, and restricted roads. 

• Parking: CMS or HAR can be used to alert drivers of which parking lots are 

closed or full, and the locations of alternate parking locations. 

• Transit information: Internet services, PDAs, and kiosks are useful for 

information relating to public transit schedules. They can deliver both static 

information, as well as real-time information related to delays, schedule 

changes, and bus route diversions. 

10-14
10-15

10 References 

1. “What are Intelligent Transportation Systems.” Hudson Valley Transportation 

Management Center <http://www.hudsonvalleytraveler.com/its.html>. 

2. “Manual on Uniform Traffic Control Devices.” Federal Highway Administration, 

Washington DC, 2000. 

3. Pline, J.L. (editor). “Traffic Engineering Handbook.” 5th Edition. Institute of 

Transportation Engineers, Washington, DC, 2000. 

4. Neudorff, L.G., J.E. Randall, R. Reiss, and R. Gordon. “Freeway Management 

and Operations Handbook.” Federal Highway Administration Report No. FHWAOP-04-003, Washington, DC, September 2003. 
CHAPTER 11 

SELECTION OF A SYSTEM 

Table of Contents

Section .................................................................................................................................................... Page 

11.1 Introduction............................................................................................................................... 11-2

11.2 Federal-Aid Requirements ....................................................................................................... 11-3

11.3 Systems Engineering and System Selection Process............................................................... 11-3

Concept of Operations................................................................................................................. 11-5

Requirements .............................................................................................................................. 11-7

References ................................................................................................................................................ 11-8

11-1
CHAPTER 11 

SELECTION OF A SYSTEM 

Figure 11-1 Selection of a system 

11.1 Introduction 

The processes of defining system requirements, design, implementation, operation and 

management of a traffic control system are system engineering processes and are covered 

in this chapter as well as Chapters 12 and 13. 

In recent years there has been an increased interest in applying systems engineering 

techniques to ITS. For example, the National Highway Institute offers the course 

“Introduction to System Engineering for Advanced Transportation” (1). Gordon (2) 

provides an overview of how system engineering processes have been applied to traffic 

signal systems and provides a number of references for these processes. 

A system selection process encourages the objective consideration of alternatives in a 

structured, rather than subjective, manner. Further, the structured decision approach can 

generate a sense of commitment to the choice among system stakeholders including: 

• Participating agencies, 

• Traffic system engineers, and 

• The driving public. 

11-2
11.2 Federal-Aid Requirements 

Federal aid often provides a portion of the resources used to implement traffic control 

systems. Particular attention should be paid to the following sections of Title 23 of the 

Code of Federal Regulations (CFR). 

• Part 655 (Traffic Operations), Subpart D (Traffic Surveillance and Control), 

Section 655.409 (Traffic Engineering Analysis). 

• Part 655 (Traffic Operations), Subpart F (Traffic Control Devices on FederalAid and Other Streets and Highways), Section 655.6-7 (Funding). 

• Part 940 (Intelligent Transportation System Architecture and Standards), 

Section 940.11 (Project Implementation). 

Part 940 defines the manner in which the systems engineering process will be applied to 

the project. The identified systems engineering practices include the following: 

1. Identify the portion of the regional architecture being implemented. 

2. Identification of participating agencies. 

3. Definition of requirements. 

4. Analysis of alternatives. 

5. Procurement options. 

6. Standards and testing procedures. 

7. Resources for operations and maintenance. 

11.3 Systems Engineering and System Selection Process 

System selection comprises the first three steps in the “V” representation of the systems 

engineering life cycle shown in Figure 11-2 (1). Most of the traffic signal systems 

installed are largely based on suppliers’ existing software. Traffic controllers are 

similarly based on existing equipment and software. Modifications may be made to 

incorporate the special function, interfaces and data transfers that may be revised by the 

project. The relationship of the system engineering practices identified in Section 11.2 

to the V diagram is shown in Figure 11-3 (1). The following subsections describe the 

first three steps of the “V” diagram: 

11-3
11-4

Concept of 

Operations 

High Level 

Requirements 

High Level 

Design 

Implementation 

Integration & 

Test 

Subsystem 

Verification 

Operation & 

Maintenance 

Detailed 

Requirements 

Detailed 

Design 

System 

Verification 

Assessment 

Time 

Figure 11-2 “V” representation of the systems engineering life cycle. 
11-5

Regional Architecture Mapping 

Participating agencies 

Requirements definition 

Alternatives analysis 

Procurement options 

Standards and testing * 

Operations and maintenance * 

* Initial planning for these activities occurs during Concepts of 

Operations 

Concept of 

Operations 

High Level 

Requirements 

Detailed 

Requirements

High Level 

Design 

Detailed Integ 

Design 

Implementation 

Figure 11-3 Relationship of system engineering practices identified in Part 

940 to the system engineering life cycle. 

Concept of Operations 

The concept of operations is a document that defines the environment in which the 

system is to operate (1). The environment includes the relationship between the system 

and the agency’s responsibilities, the physical environment, and expectations 

(performance and life). It: 

• Describes the system’s operational characteristics, 

• Facilities understanding of goals, 

• Forms the basis for long range planning, 

• Presents an integrated view of the stakeholder organization and mission. 
A general process for developing the concept of operations is shown in Figure 11-4 (1). 

Performance measures to express the system’s capabilities should be defined during the 

development of the concept of operations. These performance measures will be used 

during the entire systems engineering life cycle. 

The documentation for the concept of operations should contain the following: 

• Scope 

• Referenced documentation 

• Current system or situation 

• Justification for and nature of changes 

• Concepts for the proposed system 

• Operational scenarios 

• Summary of impacts 

• Analysis of proposed system 

•Deployment 

•Practices & 

procedures 

•Performance 

•Utilization 

•Effectiveness 

•Life cycle 

•Environment 

Develop a 

Vision 

Identify 

Stakeholders 

Work on the 

Details 

Figure 11-4 Developing the concept of operations. 

11-6
Requirements 

Requirements are statements of what a system should do, when it should do it, and for 

whom. They do not define the manner in which the system should do it (1). 

Two types of requirements are discussed below, end product requirements and functional 

requirements. 

End product requirements define the needed system capabilities. These commonly 

include: 

• Functional requirements (what capabilities the system will provide to the 

operator). These may include required modifications and traffic responsive 

requirements. 

• Performance requirements. These typically include the number of 

intersections serviced, number of detectors processed, number of subnetworks 

accommodated and special data processing requirements. 

• Interface requirements (identification of the systems to be connected with and 

the data flows. These requirements are closely related to the Regional ITS 

Architecture. 

Enabling requirements identify what needs to be provided in order for the system to be 

compatible with the organizational and environmental circumstances. Examples include: 

• Development (includes special functions or other requirements). 

• Deployment (includes requirements to transfer from existing equipment to 

new equipment). 

• Testing and support to assure proper functionality, reliability and robustness. 

• Training to enable the operating agency to support the system. 

11-7
11-8

11 References 

1. “An Introduction to Systems Engineering for Advanced Transportation.” National 

Highway Institute Course No. 137024, Publication No. FHWA-NHI-01-167, 

April 2003. 

2. Gordon, R.L. “Systems Engineering Processes for Developing Traffic Signal 

Systems.” NCHRP Synthesis 307, Transportation Research Board, Washington, 

DC, 2003. 

 
CHAPTER 12 

DESIGN AND IMPLEMENTATION 

Table of Contents

Section .................................................................................................................................................... Page 

12.1 Introduction............................................................................................................................... 12-3

12.2 System Implementation ............................................................................................................ 12-3

System Design............................................................................................................................. 12-3

 High Level Design ........................................................................................................ 12-4

 Detailed Design............................................................................................................. 12-5

12.3 Procurement Approach ............................................................................................................ 12-6

Engineer (Consultant) / Contractor Approach............................................................................. 12-6

Systems Manager Approach........................................................................................................ 12-7

Design / Build Approach............................................................................................................. 12-8

12.4 Design Plans and Specifications ............................................................................................... 12-9

Design Plans................................................................................................................................ 12-9

Specifications ............................................................................................................................ 12-10

 Sources of Specifications............................................................................................ 12-11

 Closed versus Open Specifications............................................................................. 12-11

 Standard Specifications............................................................................................... 12-12

Contract Documents.................................................................................................................. 12-12

 Invitation to Bid.......................................................................................................... 12-13

 Instructions to Bidders ................................................................................................ 12-13

 Bid Proposal................................................................................................................ 12-13

 Bonds .......................................................................................................................... 12-13

 Agreement................................................................................................................... 12-14

 Conditions................................................................................................................... 12-14

 Contractor Qualifications............................................................................................ 12-14

 Pre-Bid Conference..................................................................................................... 12-15

 Precedence .................................................................................................................. 12-15

Technical Specifications ........................................................................................................... 12-16

 Definition of Terms .................................................................................................... 12-16

 Installation of Traffic Signals ..................................................................................... 12-16

 Specifications for Materials and Equipment ............................................................... 12-17

Software, Database, Performance and System Test .................................................................. 12-17

12.5 Deliverable Services ................................................................................................................ 12-21

Systems Management................................................................................................................ 12-21

Documentation .......................................................................................................................... 12-22

Training..................................................................................................................................... 12-24

Startup Assistance ..................................................................................................................... 12-26

Warranties / Guarantees ............................................................................................................ 12-27

Maintenance.............................................................................................................................. 12-27

System Acceptance Tests.......................................................................................................... 12-28

12.6 Project Management............................................................................................................... 12-31

Contract Administration............................................................................................................ 12-31

Scheduling................................................................................................................................. 12-33

 Critical Path Method (CPM)....................................................................................... 12-33

 Bar Charts ................................................................................................................... 12-35

12-1
 Gantt Charts ................................................................................................................ 12-35

12.7 Implementation Pitfalls .......................................................................................................... 12-35

Inexperienced Contractors......................................................................................................... 12-35

Construction Management ........................................................................................................ 12-38

Maintenance and Protection of Traffic (MPT) During Construction ........................................ 12-39

Database Development.............................................................................................................. 12-39

Insufficient Staff for Operations and Maintenance ................................................................... 12-40

Utility Coordination .................................................................................................................. 12-40

Planned Use of Untested Facilities or Techniques .................................................................... 12-40

Alienation of Maintenance Staff ............................................................................................... 12-41

Privatization of Operations and Maintenance ........................................................................... 12-41

References .............................................................................................................................................. 12-42

12-2
12-3

CHAPTER 12 

DESIGN AND IMPLEMENTATION

Figure 12-1 CADD workstation and operator. 

12.1 Introduction 

The material in this chapter: 

• Places the system design, procurement, and installation tasks in perspective 

with respect to total system planning and implementation, 

• Describes alternative approaches to the procurement of systems, including 

contractor selection, 

• Describes the various elements of the design process, and 

• Describes elements of an approach to manage the system installation. 

12.2 System Implementation 

System Design 

Chapter 11 describes the system development process through the requirements step, 

resulting in the identification of the functional requirements for the system. The design 

process consists of selecting the technologies and software to implement these 

requirements, and to identify locations for deployment. In some cases, modifications 
12-4

may be required to commercially available equipment, software or to an agency’s 

specifications. 

Traffic signal control systems are usually based, in large measure, on existing software 

that may be provided by a number of suppliers. These software functions may be 

modified or augmented by the specifications resulting from the design process. The 

agency procuring the traffic system may also have software or equipment specifications 

that require consideration during the design process. The design process described below 

should be considered with these issues in mind. 

Agencies responsible for operation of traffic control systems often have standards for 

commonly employed field equipment. It may be necessary for compatibility and to 

simplify logistics to employ these standards for new systems to the extent possible. 

The USDOT ITS JPO’s Standards website (www.its-standards.net) provides current 

status on the ITS Standards Program. It also contains resource documents, fact sheets, 

testing, deployment contact, training and application area information as well as an 

interactive ITS Standards Forum. A link is also provided to the ITS Data Registry, a 

growing repository of elements of the ITS Standards. 

The design phase consists of two subphases, high level design and detailed design. 

High Level Design 

High level design provides the transition between requirements and detailed design. It 

includes: 

• Definition of architecture. 

• Sub-system definition. 

• Sub-system verification plan development. 

• Interface identification. 

Items such as the following may be included: 

• Development, evaluation and selection of alternatives. Examples include 

detector and communication technology. 

• Identification of functions that may be unique to the system. These may 

include items such as: 

- Surveillance and control strategies, 
12-5

- Mode structures, 

- Graphics, 

- Controls and displays, 

- Interfaces with other systems, and 

- Operation with legacy field equipment. 

• Identification of approximate equipment locations. 

• Conduct of social, economic and environmental studies to assure compliance 

with federal and state regulations. 

• Planning for access to utility supplied power and communication facilities that 

may be required. 

• Assessment of detailed maintenance and operations resources that will be 

required. 

• Definition of interfaces and protocols for data exchanges with other agencies 

and systems. 

• Development of a plan to procure the system. This is further discussed in 

Section 12.3. 

Detailed Design 

Detailed design completes the description of the system at the component level. It 

includes: 

• Configuration item identification, 

• Component level specifications, 

• Code specifications, 

• Hardware specifications, 

• Verification procedures, 

• Software specifications, 

• Intersection installation plans, 
12-6

• Traffic management center installation plans, and 

• Detailed cost estimates. 

Detailed design results in the development of a detailed set of plans, specifications and 

estimates (PS&E package) suitable for procuring the system. The specifications should 

include project test and acceptance requirements and the accompanying payment 

provisions. Design plans and specifications are discussed further in Section 12.4. 

12.3 Procurement Approach 

The feasibility study selects a preliminary design as the most appropriate to satisfy traffic 

control system goals. The agency should establish the procurement approach and 

contracting procedures as part of or subsequent to the feasibility study. The following 

sections describe three possible approaches: 

• Engineer (consultant) / contractor, 

• Systems manager, and 

• Design / build. 

The first two approaches must satisfy the following principles: 

• An organization separate from that supplying the hardware, bidding on the 

project, or installing the system must develop the specifications, and 

• The procurement of all hardware items must follow competitive bid 

requirements. 

Engineer (Consultant) / Contractor Approach 

The engineer (consultant) / contractor approach represents the traditional procedure for 

contracting within the traffic signal system community. Agencies have procured the 

majority of traffic control systems using this approach. On the basis of feasibility studies 

and system selection, the engineer (consultant) prepares the design plans, specifications, 

and estimates (PS&E) for the proposed system. Either an agency employee or a 

consultant can serve as the engineer. The agency then issues the completed PS&E to the 

contractor community, and receives bids in accordance with the agency’s established 

practice. 

In this approach, the contractor bids on a single set of plans and specifications and agrees 

to provide a complete system, comprised of hardware and software, procured, installed, 
12-7

and integrated by the contractor's organization. Hardware items may be manufactured by 

the contractor's firm or subcontracted within the conditions imposed by the contract. The 

contractor also has responsibility for all systems integration tasks, documentation, and 

training. He may also have responsibility for system startup assistance and the 

development and implementation of timing plans and other database elements. 

The engineer's (consultant) activities continue during system installation and may 

include: 

• Monitoring the contractor's progress, 

• Reviewing the contractor's submittals, 

• Interpreting or clarifying plans and specifications, 

• Inspecting the installation, 

• Coordinating activities with other agencies such as utilities. 

The engineer or consultant holds responsibility for the witnessing and acceptance of 

components, witnessing tests at all levels and accepting the entire system. The agency or 

its selected consultant can perform all or part of the engineer's duties. 

Systems Manager Approach 

The systems manager approach requires the selection of a single firm or consulting team 

(as systems manager) to become responsible, under an engineering services contract, for: 

• System design, 

• PS&E preparation, 

• Systems integration, 

• Documentation, 

• Training, 

• Management of testing, and 

• Startup. 

Selecting a systems manager generally follows the typical procedures for selection of an 

engineering consultant with negotiated cost-plus-fixed-fee contracts frequently used. 
12-8

To avoid conflict of interest, the systems manager usually accepts a hardware exclusion 

clause which prohibits that organization from supplying any of the hardware components 

of the system. The system manager often provides software. 

The system manager prepares the PS&E. The agency's normal bidding processes then 

procure the individual subsystems or services, and the systems manager subsequently 

oversees testing and installation of the equipment. The systems manager may also 

provide the integration of all hardware elements and the software to provide a total 

operating system. 

Design / Build Approach 

The design / build approach selects a single responsible entity to perform all work 

associated with the deployment of the traffic control system. 

This procurement approach is more commonly used for large freeway based projects than 

for signal systems. 

The public agency monitors the activity of the design / builder. The design / builder: 

• Performs all design work, 

• Contracts and / or constructs system elements, and 

• Commissions the system and turns it over to the operating agency (1). 

A feasibility study or detailed set of requirements usually forms the basis for the design 

build. 

The design / build contract may take the form of a negotiated or cost competitive 

contract. 

The design / build concept may not prove consistent with the procurement regulations (or 

the interpretation of these regulations) of the procuring agency. 

After negotiation of the agreement, the design / builder completes all aspects of the 

project in conformance with the preliminary design. The agency and design / builder 

generally negotiate changes. 

The design / build approach has the key attribute of complete assumption of 

responsibility by the design / builder. This generally allows more rapid completion 

because of streamlined procurement procedures and quicker resolution of problems. 

Also, the design / builder has an incentive to reduce its costs and risks by completing all 

work quickly and turning the system over to the agency. Assuming a qualified design / 

build team, all skills rest within the team, leading to closer coordination and cooperation. 
12-9

The approach does place a burden of supervision on the agency to maintain quality. The 

design / builder moves at full speed and may prove reluctant to change direction, if 

required due to technology changes. It also may force the agency into making quick 

decisions. 

Some local agencies such as Salem, Oregon (2) have used this approach for the design 

and implementation of computerized signal system projects. 

When using this approach for signal systems, the responsibility for identifying and 

separating work efforts of the design / builder versus the operating agency, rests with the 

owner. Database configuration information gathering and data entry and intersection / 

section graphics file generation and configuration may be large areas of work effort that 

can lead to future contention if not assigned openly. 

In December, 2002, FHWA released regulations regarding the use of design-build 

contracting techniques for transportation infrastructure projects that are part of the 

Federal-highway program (3). An AASHTO Design-Build Task Force contributed a 

number of recommendations regarding the program’s attributes, management and 

organization. 

12.4 Design Plans and Specifications 

Construction contract documents represent tools for communication between the owner 

(purchaser, local government) and contractor (supplier). Properly prepared, they prevent 

disagreements and facilitate project completion by clearly communicating what the 

owner wants done and when. 

The two principal elements of contract documents are plans (drawings) and specifications 

(4). Plans define the physical relationships of materials procured by the contract, while 

specifications define the quality and types of workmanship and materials. Understanding 

the unique role of each of these documents will produce clarity, brevity, and consistency, 

and avoid redundancy. Ideally, a change in requirements will not lead to inconsistencies 

and misinterpretations because of the failure to modify both documents. 

The following sections describe typical contents of plans, specifications, and contract 

documents. 

 

Design Plans 

The design plans show how components of a traffic control system are constructed and 

installed. Table 12-1 shows the types of plans generally included. 
12-10

The items in Table 12-1 provide information for the contractor and equipment supplier to 

prepare a project bid. The plans also serve to control the project's construction. 

Table 12-1 Types of design plans. 

• Title Sheet 

Shows name, location and scope of project 

• Summary of Quantities 

Shows material and equipment quantities 

• General Notes 

Frequently call special attention to critical 

requirements to assure they are not 

overlooked; must avoid conflicts with 

specifications 

• Intersection Layout 

Shows pole, signal, and conduit locations 

and other pertinent intersection information 

• Conduit, Cable and Signal Head Tables 

Indicate: 

- number designation of the run 

- size of conduit 

- size and number of cable or cables in 

the conduit 

- approximate length of conduit 

Signal head tables outline: 

- type of signal head 

- size and type of signal lenses 

- type and size of pole on which type are 

mounted 

• Intersection Phasing Diagram 

Indicates phasing of each intersection and 

includes vehicle and pedestrian intervals 

• Wiring Diagram 

Indicates color coding of wiring from local 

controller cabinet to signal heads and from 

master controller to local controllers; 

wiring diagrams can serve as a permanent 

record for maintenance purposes 

• Intersection and System Timing Plans 

Illustrates interval timing, offsets, and 

other intersection timing for backup timing 

plans 

• Construction Design Drawings 

Shows minimum requirements for 

construction dimensions and materials for 

foundations 

• Traffic Control Plan 

Indicates handling of traffic during 

construction, particularly addressing the 

need for continuous interconnected 

operation of existing signals 

• Details of Barricades, Detour Layouts, 

and Signing 

Illustrates the construction phase of 

 the project 

• Diagram of Underground Utilities Shows 

details of location 

• Standard Plans 

Possessed by each agency, generally 

provide numerous standard drawings of 

frequently encountered details already 

approved for use in situations applicable to 

the project 

Specifications 

Specifications spell out the minimum acceptable requirements for the traffic control 

system's equipment and materials, and how the contractor should install the system. 

Deficient specifications can often lead to inferior equipment and materials. When 

defining the minimum acceptable requirements, remember that a construction contractor 

will, when possible, provide the lowest cost equipment meeting these requirements. 
12-11

Sources of Specifications 

Specifications should reflect the system's functional requirements and equipment and, as 

appropriate, physical requirements and constraints. 

To assure conformance with available products, agencies often adopt existing 

specifications proven to result in acceptable equipment and materials. Agencies often use 

existing specifications in their entirety or modify them to fit their particular needs. 

With the proliferation of traffic control systems in the last decade or two, state, county or 

city ITS standard specifications may be available for use by the local municipality or its 

agents. With the widespread use of the internet, now one often finds these specifications 

at respective web sites. 

Several good sources for equipment and materials specifications include: 

 

• Federal Highway Administration (FHWA), 

• Institute of Transportation Engineers (ITE), 

• International Municipal Signal Association (IMSA), 

• National Electrical Manufacturers Association (NEMA), 

• Other cities, and 

• State highway or transportation departments. 

Closed versus Open Specifications 

Specifications should result in high quality equipment and materials. Unless interfacing 

to or expanding upon legacy systems, specifications should not be written around a 

particular manufacturer's software, equipment or material, thus precluding competitive 

bids. Closed specifications, those that specify a particular manufacturer's software, 

equipment or material, may not meet the intent of Federal, state, or most local 

procurement laws, and more than likely will lead to high, non-competitive bids. Open

specifications allow a number of competitive bidders on equipment and materials, usually 

resulting in lower bids. 

If agencies do not have the right to modify their existing software, closed specifications 

for the modification of legacy systems may be required. Often, off-the-shelf software 

products, such as languages or operating systems, fall into the closed category and are 

often identified by name. 
12-12

Standard Specifications 

Standard specifications, invoked by name, number, and date become a legal part of the 

contract. Examples include: 

• Specifications previously adopted by the city or state, 

• Wire specifications available from the International Municipal Signal 

Association (IMSA), 

• Communications cable specifications from the Rural Electrification 

Administration (REA), interface specifications available from the Institute of 

Electrical and Electronic Engineers (IEEE), Electronic Industries Association 

(EIA), American National Standards Institute (ANSI), National Television 

Standards Committee (NTSC), International Consultative Committee for 

Telegraphy and Telephony (CCITT), International Telecommunications 

Union (ITU), 

• Standard specifications for materials testing available from the American 

Society for Testing Materials (ASTM), and 

• Military specifications (MIL specs) available from the U.S. Department of 

Defense. 

The design engineer should become familiar with standard specifications and invoke 

them, as appropriate. 

Contract Documents 

Together with design plans and specifications, contract documents form the complete 

legal package to which the contractor must conform. Contract documents typically 

contain: 

• Invitation to bid, 

• Instructions to bidders, 

• Bid proposal, 

• Bonds, 

• Agreement, 

• Conditions of contract, and 
12-13

• Qualifications. 

Invitation to Bid 

An invitation to bid generally takes the form of a one page document containing a brief 

project summary along with bidding and construction procedures. It simply advises 

prospective bidders about the existence of the project and enables them to decide whether 

it lies within their area of capability and interest. It further directs interested contractors 

to the source of bid documents. 

Instructions to Bidders 

Instructions to bidders tell each bidder how to prepare a bid so that all bids received have 

equivalent format for comparison and evaluation. This document systematizes bid forms, 

and its contents should confine themselves to that purpose. The document deals with the 

issue of exclusions and substitutions by a bidder to assure comparability of bids. 

Bid Proposal 

A bid proposal provides a uniform format to facilitate comparison and equal 

consideration for contract award. The instructions tell bidders what they must do. On the 

bid proposal form, they respond and quote their proposed price for doing it. Bid 

proposals, addressed to the agency, include general statements which commit the bidder 

to: 

• Having read the documents thoroughly, and 

• Being familiar with the site and the problems associated with supplying the 

system as designed. 

The bidder should acknowledge receipt of all issued addenda, and individuals authorized 

to bind the bidder must sign where indicated. 

Bonds 

A bond serves as a legal document which binds another party into a formal contract as 

security that the bidder (or contractor) will perform as agreed. The following three types 

of bonds see common usage: 

• Bid bond—posted by the bidder to assure he / she will sign the contract if 

awarded; frequently amounts to about 10 percent of the base bid, 
12-14

• Performance bond—posted by the successful bidder to guarantee that he / she 

will complete the project and not default; this bond typically amounts to the 

full contract price, and 

• Labor and materials payment bond—posted by the successful bidder to 

guarantee that he / she will pay for all materials and labor and not leave the 

agency liable for liens against the completed system; this bond generally 

amounts to the full contract price. 

Agreement 

The agreement provides the following five elements: 

• Identification of the parties (who), 

• Statement (perhaps by reference to another document) of the work to be 

performed (what), 

• Statement of the consideration (how much), 

• Time of performance (when), and 

• Binding signatures of parties. 

The agreement is often mistakenly called the contract. Actually, the contract consists of 

all the contract documents, while the agreement represents only one of those documents. 

Conditions 

The general conditions document serves as the fine print defining contractual 

relationships and procedures relative to the project. Most city and state agencies have 

established general conditions which apply to all their construction documents. The 

National Society of Professional Engineers (NSPE) (5) also publishes applicable general 

conditions. Agencies normally print general conditions in large quantities and issue them 

as standard documents. Since general conditions apply to typical construction projects, 

traffic systems usually require modifications called supplementary conditions. For 

example, an agency may require access to computer equipment during installation for 

database development. 

Contractor Qualifications 

Agencies typically require contractors to prequalify to receive project bid documents. 

This prequalification typically takes the form of a general review of submitted financial 

and experience data. 
12-15

Traffic control systems represent specialized projects and require a level of expertise and 

experience not widespread within the contractor community. Therefore, some local and 

state agencies permit specification of required contractor technical experience. (Also, see 

Two-Step Procurement previously discussed.) This section of the contract documents 

should advise contractors on the minimum experience and qualifications necessary to 

submit a bid, and instruct them how to submit special qualification data for review. 

Many local and state agencies include a variety of pre-qualification requirements, such 

as: 

• Conformance with the Equal Opportunity Act, 

• Involvement as a percentage of the overall contract of: 

- Women Business Enterprise (WBE), 

- Disadvantaged Business Enterprise (DBE), and 

- Minority Business Enterprise (MBE). 

These requirements prove common in most local and state agencies. Certain agencies 

also require that the contractor have a local office. 

Pre-Bid Conference 

For moderate or large scale projects a pre-bid conference often becomes advisable. The 

pre-bid conference reviews the instructions to bidders and elements of the specifications. 

The conference may identify special or unusual features of the project. The pre-bid 

conference usually provides prospective contractors with the opportunity to ask questions 

or raise pertinent issues. 

Precedence 

A specific hierarchy of precedence defines and clearly establishes which document 

governs in case of conflict within the documents. An example hierarchy (in decreasing 

order of control) follows: 

• Agreement, 

• Plans, 

• Special provisions (technical specifications), 

• Standard specifications, 

• Supplementary conditions, and 
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• General conditions. 

Technical Specifications 

Technical specifications outline the specific requirements for materials, equipment, 

installation and operation. These specifications, an integral part of the contract 

documents, should include individual specifications for major items of material and 

equipment, and methods of construction and installation. They should also include items 

such as operating manuals, training and software. All mandatory specification must 

contain the word Shall in its structure. Avoid the use of qualitative phrases such as: high 

performance, high availability, good, “must be reliable”. Use instead quantifiable 

descriptions such as: “The software shall be unavailable no more then 4 hours per week 

on continuous operation.” 

Technical specifications should include the following major categories: 

Definition of Terms 

The lead section should define words used frequently throughout the technical 

specifications. These definitions serve as a glossary for terms peculiar to the design 

plans, specifications, and other contract documents. Examples include: 

• ITE—Institute of Transportation Engineers, 

• Traffic signal - Any power-operated traffic control device, except a sign or 

flasher, which warns or directs traffic to take some specific action, and 

• Signal system - Two or more signal installations operating in coordination. 

Installation of Traffic Signals 

The specification for the installation of traffic signals sets forth detailed requirements for 

installation of various material and equipment items. 

Other standard specifications (e.g., drilled shaft foundations, reinforcing steel), adopted 

and published by the local governing authority, may cover certain items associated with 

the installation of traffic signals. Standard specifications for roadway construction can 

normally be obtained from public works departments of cities or state highway 

departments. A reference, noting the name of the publication and the effective date, 

usually covers specifications for parts of the signal system not pertaining directly to the 

traffic signal installation. 

Table 12-2 shows the items which the traffic signal installation technical specification 

should include (6). 
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Table 12-2 Items in traffic signal installation specification. 

Name Description 

General The items covered by the specifications, the requirement for furnishing new stock, 

and the procedure for the substitution of materials and equipment 

Materials furnished by 

contractor 

Details of what materials and equipment the contractor must furnish and what 

materials and equipment others must furnish 

Power connection Method for furnishing power from source to controller and specifications for 

power line 

Conduit Methods for installing conduit, to include conduit approved by Underwriters 

Laboratories, methods for joining conduit, and methods for testing the usefulness 

of an installed conduit 

Wiring Methods for wiring controller cabinet, signal heads, and pole bases 

Grounding and bonding Requirements for grounding and bonding signal housing, controller housing, 

signal common, and power service common 

Sealing Requirements for sealing conduit to provide continuously sealed electrical circuit 

Concrete Standard specifications for concrete and reinforcing steel 

Concrete foundation for 

controller cabinet and 

signal posts 

Methods and requirements for digging, placing, finishing, and backfilling concrete 

foundations 

Paint and painting Items to be painted, type of paint, number of coats, and method of painting (e.g., 

baked-on or sprayed) 

Preservation of sod, 

shrubbery, and trees 

Requirements for the replacement of damaged sod, and the protection of 

shrubbery and trees 

Removal and replacement 

of curbs and walks 

Procedure for obtaining approval to cut curbs and / or sidewalks, and the method 

for their replacement 

Controller cabinet keys Where delivered and number of each required 

The specification for installation of traffic signals can also include other items that fit 

particular site-specific needs. 

Specifications for Materials and Equipment 

Table 12-3 provides guidelines for representative portions of material and equipment 

specifications required by traffic signal control systems. 

Software, Database, Performance and System Test 

Advanced Traffic Management Systems (ATMS) offer many features, functions and 

alternatives not previously available. For example, systems containing a central 

computer and either intelligent remote communications units (for older controllers) or 

modern controllers (Both NEMA and programmable controllers (Types 170, 179, ATC 

2070 etc., see Chapter 7) allow significant processing and decision-making to take place 

at the local controller while allowing system monitoring and control from a central 

location. Systems of this type achieve this through the functions of protocol bits and 

bytes and upload / download of various parameters. 
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Table 12-3 Guidelines for representative sections of specifications. 

Specification Guidelines 

System master Include both field-located arterial master and central 

computer 

Intersection controller Typically Type 170, 2070, ATC, or NEMA TS2; Type 170, 

270, and ATC controllers may require software 

specifications 

Mast-arm pole assembly Include mast-arm pole, base, and anchor bolts with bolt 

circle requirement 

Pedestal pole assembly Include pole, base, and anchor bolts 

Strain Pole Used for span-wire mounted signal heads. Include pole, 

base and anchor bolts. 

Signal heads Include housing, doors, lenses, lamps, wiring, terminal 

blocks, terminal compartment, and mounting attachments, 

but with separate specifications for pedestrian signals 

Signal conductor Include covering, color coding, and physical characteristics 

Signal cable Include insulation, physical properties, electrical properties, 

color coding, and fillers 

Detectors Include physical properties, electrical properties, 

environmental conditions under which equipment must 

operate, controls, and methods of operation. Can include 

traditional detection and / or image processing detectors. 

Communication cable Include insulation, color coding, physical properties and 

electrical properties 

Field communication or 

controller interface equipment 

Include interface standards, data rates, physical and 

electrical properties 

Color graphics display Specify parameters and methods of display 

Printer Type, speed, and quality 

Video terminals Specify sample operator screens and controls, screen size, 

refresh rate, and colors 

Computer software Provide functional specifications for control software, 

compilers, assemblers, utilities, and diagnostic programs 

Television (TV) monitoring Specify monitors, cameras, and interface protocols 

Changeable Message 

Signs(CMS) 

Specify type, dimensions, method of operation, and 

interface protocols 

Communications equipment Specify data modems and interface devices 

Utility Coordination Include names of utilities, contractor requirements for 

avoidance of utility disruptions, utility services (e.g., power 

or telephone line tie-in) to be accessed, and method for tiein 

Testing Include testing levels desired (component, subsystem, 

system), organizations responsible for preparation and 

approval of test specifications, conduct of tests and 

acceptance of results 

Intellectual Property Rights Include the desired status of rights to software (computer 

source code ownership, rights in use) 

Traffic signal system software may reside in the following three components: 

• Server in the traffic management center 
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• Field master controller for those closed loop systems using this architecture 

• Intersection signal controller 

Manufacturers supplying NEMA controller based systems provide the software for the 

intersection controller and field master controller already embedded in the controller. 

The software is provided as part of these controllers. The TMC software maybe provided 

as a purchased package. 

Traffic controller software for systems based on the Model 170, and ATC 2070 

controllers is procured separately from field controller hardware. It is usually procured as 

a compatible suite with the TMC software. 

Most agencies that procure traffic systems usually employ the standard software provided 

by suppliers with little or no modification to the basic system functions. The agency may 

specify certain functions such as additional or modified displays and reports, data 

migration to other systems, maintenance software, interfaces with off-line signal timing 

programs and other functions such as CCTV control. 

A summary of procedures and practices for the acquisition and maintenance of software 

that is not a standard supplier product may be found in Reference 7. 

Some available central system software provides a comprehensive database that may 

include: 

• Traffic engineering data such as intersection layout (CAD) drawings, or 

• Maintenance files of system components and equipment. 

• Source code and development environment or development tools for custom 

software 

Performance of this software varies greatly. For example, some systems allow certain of 

these functions to operate in real-time. The degree of integration of CCTV images with 

the system can vary. 

Table 12-4 lists a number of representative elements. To assure accurate and reliable 

performance, prepare detailed system test procedures and performance requirements. 

It usually proves important that the contractor develop detailed system test procedures for 

system software and database handling. The agency should review these procedures 

prior to performance tests to assure inclusion of appropriate types of tests and duration. It 

is important that these tests that verify and validate the delivered system do indeed meet 

the specification established for the scope of the contract. Examples include the 

following tests: 
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Table 12-4 Representative system software elements. 

• Traffic system control algorithm requirements 

• Graphics features for areawide map, subsystem 

and intersections 

• Upload / download requirements, magnitude of 

parameters 

• Real-time functions, definition of real-time (i.e. 

within 1000 milisecond) 

• Integration functions with CCTV, CMS, HAR 

• Modes of operation such as manual, trafficresponsive, time-of-day, day-of-week 

• Special functions such as railroad preemption, 

emergency vehicle preemption 

• Backup capabilities 

• Operating systems 

• Documentation including agency right to 

ownership, use and modifications, negotiation 

on system upgrades 

• Communication requirements 

• Field equipment diagnostic functions 

• Database support including: 

- System features and functions, including: 

• types of data to store 

• format of files 

• types and functions of support software 

• graphics 

• printing 

• historical data files 

• Features desired for traffic engineering 

applications such as: 

- Maintenance files 

- Level of service calculation files 

- Signal timing files 

- Intersection layout drawings 

• Test procedures and requirements 

• Life cycle requirements (i.e support and 

migration task related to either obsolence of 

COTS software or version changes in COTS 

components) 

• Communications, 

• Upload / download, 

• Algorithm performance and accuracy 

• Failure mode and recovery validation 

• Hardware acceptance test, 

• Software acceptance, and 

• System acceptance. 

Many of these tests would be done by the contractor as subsystem test during the 

development process. It is important that the result of these tests be shared with the 

agency. Testing of a traffic management system is not the sole responsibility of the 

contractor or the agency. It is very much a team effort as problems and bugs with 
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software systems are often very hard to diagnose. The more information that is shared 

the easier it would be to track down and correct these problems. Tests of subsystems 

shall cumulate to integrated field test where all of the field elements are in place and the 

whole system can be tested to insure there are no compatibility problems. This is the 

recommended form that the Final System Acceptance test shall take. 

In some cases, the traffic system implementation plan assigns development of the entire 

system database to the contractor, including signal timing plans and the various 

coefficients and parameters required for system operation. In other cases, the agency or 

its consultant provides this data to the contractor for entry into the system. The 

specifications should clearly assign these responsibilities. 

12.5 Deliverable Services 

With a continuing growth in the traffic control application of computers, local area 

networks and sophisticated electronic components, a need has developed to add a 

deliverable services section to the specifications. This section defines the contractor's 

responsibilities to provide: 

• System management, 

• Documentation, 

• Training, 

• Startup assistance, 

• Warranties / Guarantees, and 

• Maintenance. 

This section should also identify those database preparation tasks assigned to the 

contractor. 

The following briefly describes deliverable services: 

Systems Management 

Systems management includes responsibility for all project related tasks in the following 

areas: 

• Design, 

• Manufacture, 
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• Procurement, 

• Assembly, 

• Testing, 

• Installation, 

• Inspection (may be shared with the using or procuring agency), 

• Training, 

• Initial operation, and 

• Initial maintenance. 

The systems manager or contractor should direct, coordinate, review, monitor, and 

control the project to maintain a schedule for timely and adequate completion. 

The specification should require submission and frequent updating of a detailed project 

implementation schedule. 

Documentation 

System documentation proves an absolute necessity for successful system operation. The 

specification should require documentation in sufficient detail to: 

• Reflect as-built conditions, and 

• Fully describe the methods of operation, maintenance, modification, and 

expansion of the system or any of its individual components. Any 

documentation related to COTS components. 

Most traffic systems are usually based on a supplier’s product line system, and much of 

the documentation reflects this situation. Descriptions of special features or functions 

must be added to complete the documentation. 

Table 12-5 lists typical hardware documentation requirements. 

The agency / consultant should require the right to review all documentation prior to 

project acceptance. 

Software documentation and rights generally prove more difficult to specify and obtain. 

For many hardware elements, suppliers consider unique software provided in memory as 

proprietary. Such software, sometimes called firmware, provides all specified 
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Table 12-5 Typical hardware documentation requirements. 

Requirement Description 

General description General descriptions of all components comprising the system 

Theory of operation Detailed description of system operation, including schematics, logic, and data 

flow diagrams 

Normal operating 

procedure 

Description of the system’s routine operating procedures 

Maintenance Copies of manufacturers’ recommended procedures; preventive maintenance 

procedures; troubleshooting data necessary for isolation and repair of failures or 

malfunctions (corrective maintenance); and detailed instructions where failure to 

follow special procedures would result in damage to equipment or danger to 

operating or maintenance personnel 

Installation Detailed description of physical and electrical properties of the system and other 

pertinent information necessary for the installation and use of the equipment 

Parts list Listing and identification of various parts of system 

Schematic diagrams Complete and accurate schematics to supplement text material 

Maps or drawings Drawings of conduit layouts, cable diagrams, wiring lists, cabinet layouts, wiring 

diagrams, and schematics of all elements of the communication system 

operational features and supports flexible operation through a wide array of user inputoutput options. In such cases, the user may never need access to those programs for 

modifications, and thus not need detailed software documentation. NEMA controllers 

and field masters typify such components. 

In larger computer-based systems, the user may need to modify or expand the system, 

thus requiring access to the software. In such cases, it becomes necessary to access 

source programs. Further, a full complement of executive, utility, and basic library 

programs for the computer system must be specified, along with the system programmer's 

and user's manuals. 

Generally speaking, the following three levels of software rights exist: 

• Proprietary - The purchaser has no rights to proprietary software other than 

provided by license or use agreement. 

• Semi-proprietary - The user (or purchaser) has no rights to semi-proprietary 

software unless needed assistance proves unavailable from the supplier. 

• Full rights - Rights to use, modify, and transfer software are conveyed and 

restricted only as defined by specific agreement. 

Control system specifications should specify the required level of purchaser rights so that 

all bidders can reflect these requirements in their proposal or bid. 

With regard to when the contractor should provide documentation, typical requirements 

follow: 
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• Soon after the selection of a specific computer system and peripherals, 

programmer's and user's manuals for that system should become available for 

agency staff, 

• Equipment manuals available for technician's study prior to maintenance 

training, should become available concurrently with the on-site delivery or 

storage of hardware elements, 

• To facilitate maintenance, cable routing details and wiring diagrams reflecting 

as-built conditions should become available after installation and prior to use 

of those components, 

• Application software documentation along with a draft system user's manual, 

should become available on-site prior to conducting operations training and 

placing any intersection under system control. Revisions of these manuals 

may be required to reflect changes made prior to system acceptance, 

• The final payment for system installation should be withheld until delivery of 

acceptable final documentation, and 

• Where a period of operational support is provided (see subsequent 

discussion), updates to final documentation should be required. 

It is imperative that complete documentation be obtained. All submitted material should 

be closely studied and applied during initial system implementation to assure that all 

needed documentation exists, complete and clear to the operator. 

Documentation becomes more valuable over time because, as the system ages, it 

experiences maintenance and modification, and personnel changes occur. Therefore, the 

agency must take responsibility for management and preservation of the provided 

documentation. Furthermore, the agency should develop a troubleshooting document(s) 

and tailor it for appropriate personnel such as operations and maintenance staff. 

Documentation may take the form of conventional manuals or reside on computer. 

Most traffic control system’s software documentation often reflects the supplier’s most 

recent traffic system product – a quasi-standard product. With agency pressure, this 

documentation often can be made available ahead of time. Depending on the degree of 

documentation completeness sought and advance documentation review, the agency can 

consider negotiating, in advance of procurement, for more thorough documentation. 

Training 

Training is typically provided in the principal areas of operation, maintenance, and data 

base preparation. Further, such training specifically addresses the needs of each staff 

level: 
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• Management / supervisor / traffic engineer, 

• System operators, and 

• Maintenance technicians. 

Training should provide those technical skills needed to effectively use and maintain all 

system features and components. In this respect, the training specified and provided 

should reflect the actual needs of agency personnel. 

If, for example, maintenance personnel already routinely maintain microprocessor-based 

controller units, training should cover familiarization with the actual unit. In contrast, an 

agency converting from twisted wire pair to fiber optic communications should specify 

extensive training, perhaps even including the operation and use of test equipment. 

A secondary purpose of training fosters acceptance of the new system among agency 

personnel. It can provide opportunities for involvement which remove those natural 

barriers to system acceptance. 

Training may be provided at three times: 

• Pre-installation, 

• During installation (before use), and 

• During operation. 

Pre-installation training offers an early opportunity to gain skills in a non-pressured 

environment on subjects such as: 

• Equipment configuration, 

• System capabilities and features, 

• Systems operation, 

• Logistic support requirements, 

• Programming concepts, and 

• Database needs and preparation. 

During the system-installation period, other opportunities for training become available. 

Here, maintenance personnel can be given detailed training in: 
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• Operation, 

• Preventive maintenance, and 

• Corrective maintenance (troubleshooting). 

Actual hardware should remain available during this time for hands-on training. 

After system acceptance and during the period of contractor operation, training may be 

directed toward: 

• Refresher training for operations / maintenance personnel, 

• Training for new personnel, or 

• Additional hands-on training under operational conditions. 

Regardless of when or how much system training is specified, system contractors / 

suppliers benefit if the user becomes knowledgeable and proficient with the system. 

However, formal training proves expensive—both to the contractor and user. Because of 

this, numerous users of successfully operating systems confirm that the best training is 

gained by an active, aggressive involvement with the contractor during the system's 

installation, checkout, and initial operation. 

Startup Assistance 

The period of initial system operation typically becomes a time of intense activity. 

Expect maintenance problems as a result of the full exercise of hardware, coupled with 

any remaining unfamiliarity with the system. Software bugs may surface and timing 

plans and database may need refinement. In addition, operator skills and routines 

develop day by day. During this time, the continued support of the systems manager or 

contractor can enhance successful operation of the system. 

This continued support beyond system acceptance has been termed startup assistance and 

FHWA considers it an eligible item for funding. Startup assistance can include the 

following tasks (8): 

• Provide systems engineer to assist agency operators / engineers in adapting 

the system to local traffic environment, 

• Define and correct hardware and software deficiencies discovered through 

sustained operation, 

• Assist in maintaining, repairing, and replacing failed system components, 
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• Provide on-the-job training as an extension of formal training provided earlier, 

and 

• Prepare and provide updates to system documentation. 

The startup assistance or operational support period is often included in the contract, 

leading to final acceptance. 

Warranties / Guarantees 

The specification should define the period of time after system acceptance during which 

the contractor guarantees work and materials. For hardware, a manufacturer may warrant 

the product for one year or more from the date of delivery. Problems arise when the 

contractor stores such items or does not use them in the system until later in the project. 

To avoid ambiguities, the specification should clearly require the contractor to guarantee 

all hardware items for some time beyond final system acceptance. Further, any remaining 

equipment warranties by individual hardware manufacturers should transfer to the 

agency. 

Maintenance 

The specifications should clearly spell out maintenance responsibility for hardware items. 

Common practice obligates the contractor to maintain equipment until system acceptance 

in accordance with the contract. Except for startup assistance, FHWA policy clearly 

defines maintenance beyond system acceptance ineligible for Federal funding. However, 

some agencies include a separate non-participating bid item for maintenance during an 

initial period of operation (possibly one year) to: 

• Assure a source of maintenance during a critical time of system operation, 

• Determine anticipated maintenance costs at system completion, and 

• Place responsibility for maintenance on the contractor, encouraging quality 

construction and the choice of more reliable hardware. 

Provision of spare parts and / or subsystems also proves important. Considered 

maintenance items, they cannot be purchased with Federal funds. However, the contract 

can include spare parts as non-participating bid items. This becomes particularly 

appropriate when the system requires custom-made subsystems. For certain components, 

it may prove desirable to permit future purchase at an established price within a specified 

time period. 
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System Acceptance Tests 

Testing of the installed control system should precede system acceptance by the engineer. 

Testing proves essential when a third party installs a subsystem. The specifications 

should spell out methods for testing and test documentation. In general, acceptance 

testing consists of: 

• Equipment Checkout Tests 

- Each major system component should be tested on an individual basis to 

verify its operation. This should include diagnostic testing of each 

functional feature of items such as controller units and detector 

electronics. Components that are newly developed or modifications of 

previous products may require environmental testing or certification of 

such testing by the manufacturer. 

- For large and / or expensive items (such as CMS or system software), it 

may prove appropriate to perform a level of testing (witnessed by the 

procuring agency or its consultant) prior to the items leaving the 

manufacturer's or system integrator's facility. 

• System Electrical Tests 

The specifications should require tests to determine electrical continuity. 

Tests should cover each conductor, including spares. 

Electrical cables, wires and connection should be tested per local and the 

National Electrical Codes. As a minimum, DC resistance tests of each 

conductor and the insulation-resistance tests between conductors and between 

conductors and ground should be conducted. 

Typical test instruments include volt-ohm-milliammeters (VOMs) and 

megohmmeters (meggers). 

Electrical communications cable should be DC tested with respect to open 

circuits, short circuits, resistance, capacitance, resistance and capacitance 

unbalance, crosses, and insulation resistance. Signaling tests should be 

conducted on both copper and fiber optic communications to assure 

transmission quality. 

Fiber optic cable and splices should be tested per ANSI / EIA standards with 

respect to signal levels and attenuations at various nodes and terminations. 

Typical test instruments include optical signal generators, optical signal level 
12-29

meters, and optical time domain reflectometers, all calibrated to the applicable 

wavelengths. 

• Computer Software Tests 

The contractor should test and demonstrate each feature of the control system 

software. These test shall also demonstrate the performance envelope of the 

software. Demonstration of system failure mode and recovery procedure from 

the provided documentation must be a part of software testing. 

• Systems Operations Tests 

The installed system should be tested to determine the total system's reliability 

and performance. 

In advanced traffic management and traveler information systems (ATMS / 

ATIS), involving several integrated components, specifications should include 

standalone tests for each subsystem such as: 

- Field controller and cabinet equipment complement, 

- CCTV and 

- CMS. 

Traffic operations center tests for hardware / software and databases should be 

performed. Functional system tests should be performed for various modes of 

operation: 

- Manual, 

- Conventional traffic-responsive, 

- Time-of-day, and 

- Adaptive. 

Several iterations should be performed, documented appropriately, and focused on both 

function and reliability / integrity. Many of the system tests can be performed via 

simulation at the operations center prior to actual implementation. The communications 

system should be tested separately and certain communications tests should be performed 

for longer periods of time (three or more days) to assure acceptable failure rates. 

Testing individual components when delivered and / or installed detects problems early 

and corrects them immediately. Simply testing the final system may allow small 
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2.8.3.4 System Acceptance Test

After installation and debugging of all central control equipment, local controllers, detectors, communications, and other system hardware 

and software elements, the system shall be required to satisfactorily complete a 30-day period of acceptable operation. The intent of this 

System Acceptance Test is to demonstrate that the total system of hardware, software, materials, and construction is property installed; 

free from identified problems; complies with the specifications; and has exhibited the stable, reliable performance level required for the 

control of traffic. The System Acceptance Test shall fully and successfully demonstrate all system functions using live detector data and 

controlling all system-controlled intersections. 

2.8.3.4.1 Action in Event of Hardware Failure

Failure in any hardware item during the test period, with the exception of expendable items such as bulbs and fuses, shall necessitate 

restarting the 30-day test period for its full 30-day duration for that item after its repair. 

2.8.3.4.2 Action in Event of Software Failure

Any failure of system software or discovery of a software deficiency that causes a system malfunction or discovery of software operation 

that is not in compliance with the specifications shall cause the 30-day test to be halted and repeated in its entirety after correction of the 

software problem. If no further software problems are discovered, and if no software problems are introduced as a result of correcting the 

initial deficiency, the Engineer may reduce the restarted 30-day test period for software to not less than 15 days. In no case shall the total 

test period be reduced under 30 days. 

2.8.3.4.3 Uncertain Causes of Failure

In the event a problem is discovered for which it is uncertain whether the cause is hardware or software related, the 30-day test restart and 

repeat shall follow the procedure defined in 2.8.3.4.2 for software. 

2.8.3.4.4 Persistent Intermittent Failures

No intermittent hardware, software, communication, or control operation or other malfunctions not related to a specific hardware or 

software malfunction shall be permitted to persist during the test period. If such problems are encountered, the test shall be suspended 

until the problems are corrected. 

2.8.3.4.5 System Shutdown for Testing / Correction

While it is the intent that the system be fully operational during the entire System Acceptance Test, the possibility for system shutdown 

for purposes of testing and correcting identified deficiencies is acknowledged. During any period that the system operation is restricted or 

limited in any way as a result of testing, the 30-day System Acceptance Test shall be halted and shall not continue until a period of 72 to 

168 hours of successful performance, as determined by the Engineer, has proved that any corrections or modifications made are valid, the 

problem is corrected, and no new system problem or deficiency has been created as a result of the change. Diagnostic testing that does not 

result in changes to system hardware or software shall result only in the loss of acceptable test time. 

2.8.3.4.6 Maximum Downtime

Total system downtime in excess of 72 hours during the 30-day test period shall cause the System Acceptance Test to be restarted. System 

downtime is defined as a condition which, due to central control hardware, software, or communications equipment malfunctions, causes 

the system to operate in a standby mode, causes the central system to cease operation, or causes any subsystem to revert to its locally 

generated standby timing program. 

2.8.3.4.7 Documentation Updating

All system documentation having errors, omissions, or changes that may have been detected or occurred as a result of system 

modifications or other reasons during the 30-day test period shall be corrected and resubmitted before final system approval is granted. 

2.8.3.4.8 Acceptable Performance

Final system acceptance shall not be granted until the level of performance for each hardware item and for system software as defined in 

this section and in all other sections of the specifications has been reached, and all other contractual elements (excluding Operational 

Support and Maintenance) have been met to the satisfaction of the Engineer. 

Source: Reference 9 

Figure 12-2 Sample specification—system acceptance. 
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problems to create serious problems affecting total system integrity. In either event, a 

final systems acceptance test is considered mandatory. Figure 12-2 (9) shows a sample 

specification for such a test. 

The systems acceptance test should test each function of each mode. Field device states 

should be monitored to verify that they assume commanded states (CCTV is useful where 

available to simplify field verification). Traffic data collected by the system should be 

verified by field observation. 

12.6 Project Management 

Project management transforms a need into a reality in a controlled way. It primarily 

aims to attain the overall system goals within the project budget and timeframe. Project 

management techniques include: 

• Provide visibility of the actions within the project, 

• Establish orderly procedures for attaining ultimate goals, and 

• Centralize responsibility and accountability. 

Contract Administration 

A critical element of system implementation and project management is the 

administration of the construction contract. Contract administration includes: 

• Technical inspection, 

• Witnessing of acceptance tests, 

• Other technically oriented tasks, and 

• Administrative tasks such as: 

- Processing payment requests, 

- Negotiation of change orders, and 

- Detailed record keeping in accordance with state and Federal 

requirements. 

From a workload viewpoint, varied personnel with the required technical and 

administrative expertise may be required over the life of the project. A single project 

engineer (or project manager) performs or directs contract administration duties. 
12-32

An agency should use various tools as leverage to assure successful project completion 

by the contractor. Such tools may include: 

• Withhold payments - A certain percentage of each payment, and / or the last 

payment (normally 5-10% of the overall contract) is withheld until the 

contractor satisfactorily completes a milestone associated with that payment. 

• Liquidated damages - A clause often included in the contract stating the 

procedures and amount of such damages and exercised in relation to 

performance. For example, for every day completion is past due, the 

contractor owes a certain amount of money to the agency as a penalty. 

Courts have held that liquidated damages must not be used as a penalty, but 

must actually reflect a reasonable forecast of the harm that will result to the 

owner (10). 

When disputes reach the courts, most jurisdictions will not grant both 

liquidated and actual damages, unless the contract states that the liquidated 

damages are limited to specific types of owner damages such as extended 

engineering or interest. The agency can then recover other damages as actual 

damages. 

In preparing a liquidated damages clause, a reasonable estimate of damages 

must be used. Examples of such damages are (11, 12): 

- Additional architectural and / or engineering (systems integrator's) and / or 

construction manager's fees, 

- Claims by other third parties waiting on the completion so they can 

perform / finish their projects, 

- Extra rental of other buildings that might be required because the one 

being built is not completed, 

- Extra maintenance and utility costs that may be incurred either in the 

continued use of an old high-cost building or equipment, or in the 

maintenance of a new area before beneficial use, 

- Interest on the investment or borrowed capital, 

- Extra training required to maintain worker skills pending availability of 

the building or equipment, 

- Additional operating costs that may result from the continued use of 

inefficient facility or equipment, 
12-33

- Extra costs of split operations resulting from partial occupancy or use of 

equipment, and 

- Loss of revenue, e.g., bridge tolls, sale of power from a power plant, 

building rentals, etc. 

- Performance bond—As discussed previously, the contractor normally 

posts a performance bond for the contract amount. 

Scheduling 

Effective construction management requires a robust project scheduling technique. 

Project scheduling sets forth the required tasks and shows their interdependency. 

Commonly used methods of project scheduling include: 

• Critical Path Method (CPM), and 

• Bar charts. 

Common scheduling software applications include those by Primavera and Microsoft 

Project. Often, a contract will specify one of these programs in particular, for 

compatibility with agency legacy scheduling software. Agency project schedule 

reviewers can obtain more detailed information by loading the project’s specific schedule 

data into their program than can be commonly obtained from printouts. 

Critical Path Method (CPM) 

The critical path method (CPM) has proved a successful method for planning, organizing, 

and controlling projects. Initially, this management tool outlines the project graphically 

in the form of a network diagram. This representation, shown in Figure 12-3, illustrates: 

• The required operational sequence, 

• Which operations are concurrent, and 

• Which must be completed before others can be initiated. 

CPM operations are referred to as activities. 

In Figure 12-3, an example of the application of CPM to the installation of a traffic 

control system, the activities necessary to complete the project are denoted by a line with 

an arrowhead. The circled numbers represent events which mark the beginning or 

completion of an activity. Dashed lines represent dummy activities which do not require 

any time but must be completed before another event can occur. The number below the 
12-34

activity represents the amount of time required to complete the activity. The critical path 

represents the project duration. In the example, the critical path is represented by the 

activities associated with events 1-11-15-19-23-27-29-31. 

In the example, if activity 7-21 required a time of 10 instead of 8, then the critical path 

would become 7-21-23-27-29-31, because this sequence of activities would require a 

longer time. In this case, the receipt of mast arm poles would establish the critical path 

because they must be received before they can be set in place. 

Figure 12-3 Example of CPM network diagram. 

The network diagrams should be updated periodically to account for factors which would 

delay project completion. These factors include longer delivery dates, delays caused by 

weather, change orders, etc. 
12-35

Software to facilitate development and updating of CPM networks is commercially 

available. 

Bar Charts 

Figure 12-4 (13) shows the use of bar charts as a method of project scheduling. This bar 

chart for the Greensboro, North Carolina, Traffic Control System depicts the time 

relationship for completion of the various project tasks. Starting and ending dates and 

durations are shown for the various tasks as well as milestones (the start or completion of 

a task). The interdependency of tasks may be indicated by a dashed line or other symbol 

(e.g., M6 indicates the interdependency of acceptance tests for controller assemblies and 

the installation of communications lines). 

Gantt Charts 

The Gantt Chart technique (14) uses an upper horizontal bar to present the planned 

schedule for the task. Another bar, just below this bar, charts the completed portion of 

the schedule. Colors usually facilitate legibility. Gantt Chart techniques prove most 

useful when the different tasks depicted are not related. 

12.7 Implementation Pitfalls 

The previous discussions of system design and implementation have focused on those 

positive steps that lead to successful system acceptance. 

The following discussion presents the reverse perspective. Gleaned from the results of 

discussions and contact with system users, these pitfalls should assist in avoiding 

mistakes made in the past. In each case, the discussion presents the generalized pitfall, 

and then describes suggestions for avoidance. They are not presented in order of 

importance. 

Inexperienced Contractors 

Some contractors view the installation of traffic control systems as just another highway 

job. Failure to recognize the systems integration needs of such a project results in delays 

and additional costs to the contractor. In some cases, traffic control projects represent a 

small portion of a large general construction project. This virtually assures that a 

subcontractor will perform this critical element. Additional control of contractor and 

hardware selection may be required for this situation. 

This pitfall can best be avoided by: 
Source: Reference 13 

Figure 12-4 Greensboro, NC traffic control project milestone schedule.
Source: Reference 13

Figure 12-4 Greensboro, NC traffic control project milestone schedule (continued).
• Separating control system elements from large projects where they may be 

lost, and 

• Where procurement regulations permit, requiring contractor pre-qualifications 

on the basis of demonstrated experience. 

Construction Management 

Construction management entails the following activities by the project engineer: 

• Inspection of day-to-day construction activities, 

• Witnessing of acceptance tests, and 

• Other technically oriented duties. 

Further, it involves record keeping, in accordance with state and Federal requirements, of 

items such as: 

• Review and approval of shop drawings, 

• Identification of need for change orders (including negotiation with the 

contractor on the change and compensation), and 

• Obtaining necessary reviews and approvals prior to authorization. 

Construction management requires both a high degree of technical knowledge and 

experience in managing contracts. While typical state project engineer and inspection 

personnel are generally proficient in project management for typical highway 

construction jobs, they may lack electronics and control system technical expertise. In 

contrast, city traffic engineers and signal maintenance personnel may have the technical 

expertise but little experience in project administration. Project engineers assigned from 

either background may tend to retreat to the familiar, with an attendant negative impact 

on effective project management. 

Some projects have experienced problems with the inspection of system construction, 

ranging from token, ineffective inspection to unyielding insistence on a strict 

interpretation of specifications. Most common is the failure to anticipate the contractor's 

schedule and pace of construction and thus not match it with qualified inspectors. In 

some cases, inexperienced or inadequate numbers of personnel have been assigned. The 

best technical inspectors for any system are individuals who will operate and maintain the 

system once completed. If possible, they should be assigned inspection duties and have 

their other routine activities rescheduled to minimize conflicts. 

12-38
These needs should be carefully considered in planning the project. Desirably, a team 

approach will be taken, with a project engineer having access to technically qualified 

personnel for specialized inspection tasks as necessary. 

The channels of higher authority should also be identified and a working relationship 

established. A formal or informal project committee may be useful so that everyone 

involved can: 

• Periodically meet, 

• Be apprised of the broad picture, 

• Review progress, and 

• Address potential problems before they become critical. 

Maintenance and Protection of Traffic (MPT) During Construction 

Disruptions to traffic during construction are expected. Most agencies require a 

maintenance and protection of traffic plan to be incorporated into construction contracts. 

These plans specify lane usage during construction and times permitted for construction 

to avoid peak-hour interference. These plans, however often do not incorporate 

provisions for construction impacts downtown during a Christmas shopping rush or, of 

more frequent concern, signal coordination during construction, i.e., how many signals 

can operate uncoordinated. To avoid such pitfalls, MPT plans for maintenance of traffic 

during construction are necessary should address issues such as these. 

Database Development 

Computer-based traffic control systems require an extensive database to operate. 

Database development may be required at the system level, subsystem or section level 

and at the local level or intersection level. Computer generated color graphics files may 

also be required at these levels. Frequent problems have been encountered when no 

specific organization was assigned responsibility for necessary traffic surveys and 

developing, coding, input, and debugging of database information. Without clear 

definition, this responsibility may inadvertently fall on the user. 

Databases can be developed by: 

• Agency or consultant prior to PS&E completion, 

• Agency or consultant after PS&E completion, 

• Contractor, or 

• Shared by consultant and contractor. 

12-39
It is recommended that one of the above alternatives be determined early in the process. 

The specifications should clearly identify the contractor's responsibilities. If a consultant 

prepares the database, the necessary contractual arrangements should be established. 

Insufficient Staff for Operations and Maintenance 

Overselling the capabilities of traffic control systems as alternatives to staff can prove a 

mistake. Systems must be maintained and actively managed to provide effective service. 

Although new hardware may indeed eliminate unreliable, high-maintenance equipment 

that has exceeded its useful life, perhaps even more sophisticated maintenance may then 

be required. In addition, equipment with greatly expanded capabilities may actually 

require more operations staff to realize its full potential. 

The timing of staff additions is also critical. For example, system operators need to be 

employed and available to receive training provided by the contractor. 

Utility Coordination 

The installation of underground conduits and / or overhead cables may cause conflicts 

with other public utilities. Regardless of how thoroughly the designer locates and 

documents existing utilities, some will be found in unexpected locations when 

construction begins. The Contractor must be made to understand that utility runs shown 

on the plans are approximate and that it is the Contractor's responsibility to confirm 

utility locations. 

Good documentation of existing conditions can avoid serious problems in utility 

coordination but unforeseen situations will undoubtedly arise. The design process should 

visualize the most likely problems and plan a response. For example, if plans call for 

reusing existing conduit, it is likely that old cable cannot be removed because of conduit 

collapse and therefore, the conduit cannot be reused. The planned response might 

include a bid item for conduit replacement to adequately compensate the contractor for 

attempted reuse of existing conduit followed by replacement. An alternative approach 

would test the conduit during the design phase to avoid expensive change orders and 

delays. 

Planned Use of Untested Facilities or Techniques 

Problems have been experienced in two different ways with the planned use of untested 

facilities or techniques. 

First, from a construction viewpoint, one agency planned to use existing telephone 

company underground ducts for interconnect cables. Routing and design was based on 

available mapping and duct-use records of the company. No funds were allocated during 

the design process to rod the ducts and verify open paths—a task that was placed on the 

contractor. During cable installation, since a number of blocked paths were found, duct 

12-40
replacement was not possible during the available timeframe. Therefore, alternate paths 

with inefficient routing and resulting contractor change orders were necessary. 

Second, with respect to hardware and applications software, use of new technology may 

engender unexpected problems. Being the first to use a product, software, or technique 

that attempts to advance the state-of-the-art poses risks. 

Alienation of Maintenance Staff 

The acceptance of new traffic control systems by all levels of an operating staff proves 

very important to successful system operation. It is fostered by active involvement—not 

only during installation but also during both the design and pre-design activities. 

Maintenance staff in particular may feel threatened by a new system, particularly if it 

contains a large amount of unfamiliar new hardware. They may have unexpressed 

concerns about the system's impact on their job security, doubts about their skills to 

maintain it, and feelings that the engineer's new toy just means a more difficult job for 

them. The following may minimize such fears: 

• Early involvement of maintenance (and other) staff in system feasibility 

studies and system selection to assure proper consideration of reliability and 

maintainability issues, 

• Assurance of early, thorough training tailored to staff needs, and 

• Opportunities for involvement through construction inspection. 

Privatization of Operations and Maintenance 

A number of traffic agencies and jurisdictions have used contract maintenance in the past. 

Privatized operations have increased in recent years. Problems such as union contracts 

for the privatized or related positions or the alienation of the remaining staff may present 

problems. However, the cost savings or larger base of experienced personnel available in 

the private sector may outweigh these problems. 

While maintenance is commonly privatized for both signal system and freeway ITS, 

privatization of operations is more common for freeway systems. 

This discussion of pitfalls is by no means complete. Traffic control systems, because 

they must be installed in full public view and have daily impact on motorists, offer highly 

visible opportunities for criticism when things go wrong. Thoroughness in design and 

construction planning is a necessity, along with strict attention to details during 

construction. The hardware problems can be identified and corrected—but the people 

problems require constant attention. 

12-41
12-42

12 References 

1. “City of Pasadena Traffic Management System Phase 2, Preliminary Design 

Report.” JHK & Associates, March 1993. 

2. “Preliminary Engineering Report, City of Salem Traffic Signal Control System.” 

Meyer, Mohaddes Associates, and JRH Transportation Engineering, November 

1993. 

3. “Federal Register.” Vol. 67, No. 237, December 10, 2002 <www.access.gpo.gov/ 

su_docs/fedreg/a021210c.html>. 

4. Meier, H.W. “Construction Specifications Handbook.” Prentice-Hall, Inc., 1975. 

5. “Standard Forms of Agreement.” Engineers' Joint Contract Documents 

Committee, National Society of Professional Engineers, Washington, DC, 

November 1983. 

6. “Installation of Highway Traffic Signals.” Item 632, Standard Specifications for 

Construction of Highways, Streets and Bridges. Texas State Department of 

Highways and Public Transportation, September 1, 1982. 

7. Salwin, A.E. “The Road to Successful ITS Software Acquisition: Volume 1: 

Overview and Themes.” Mitretek Systems, Federal Highway Administration 

Report No. FHWA-JPO-98-035, Washington DC, July 1998. 

8. “Computer Controlled Traffic Systems Implementation Package.” PRC Voorhees, 

Division of PRC Engineering. Federal Highway Administration Report No. 

FHWA-IP-82-21, Washington, DC, December 1982. 

9. “Central Business District Traffic Control System (CBDTCS) System 

Specification.” Contract Number 79-200, City of Dallas, Texas, Department of 

Street and Sanitation Services, 1979. 

10. Simon, M.S. “Construction Contracts & Claims.” McGraw-Hill Book Company, 

New York, 1979. 

11. Hansen, G.A. "Why to Use CPM Scheduling." Public Works, October, 1994. 

12. Rubin, R.A. et al. “Construction Claims, Analysis, Presentation, Defense.” Van 

Nostrand Reinhold Company, New York, 1983. 

13. “A Traffic Control and Surveillance System for Greensboro, North Carolina.” 

Honeywell, Inc., Hopkins, Minnesota, October 1973. 

14. Glueck, W.F. “Management.” Dryden Press, Hinsdale, IL, 1980. 
CHAPTER 13 

SYSTEMS MANAGEMENT 

Table of Contents

Section .................................................................................................................................................... Page 

13.1 Introduction............................................................................................................................... 13-2

13.2 An Integrated System Management Concept ......................................................................... 13-3

13.3 Operations.................................................................................................................................. 13-6

Practical Aspects ......................................................................................................................... 13-6

 Control and Supervisory Periods .................................................................................. 13-7

Typical Work Tasks .................................................................................................................... 13-7

 Specific Operational Tasks for Intersection Control Systems....................................... 13-9

13.4 Maintenance ............................................................................................................................ 13-17

Types of Maintenance............................................................................................................... 13-18

 Functional ................................................................................................................... 13-18

 Hardware..................................................................................................................... 13-19

 Software...................................................................................................................... 13-20

Results of Inadequate Maintenance........................................................................................... 13-21

Staff Requirements.................................................................................................................... 13-21

13.5 Evaluation................................................................................................................................ 13-22

Techniques ................................................................................................................................ 13-23

 Before and After Measurements ................................................................................. 13-23

 Sampling Considerations ............................................................................................ 13-25

References .............................................................................................................................................. 13-26

13-1
CHAPTER 13 

SYSTEMS MANAGEMENT 

Figure 13-1 Traffic signal maintenance. 

13.1 Introduction 

Increasing traffic demand and the need for reducing vehicle emissions and fuel 

consumption place new emphasis on management of traffic signal control systems. This 

will intensify with ITS deployment and more widely integrated operations. 

Agencies responsible for traffic control system management have increasingly discovered 

that an install-and-operate, or a set-it-and-forget-it policy does not prove sufficient. The 

potential of the system(s) will only come to fruition with a policy of install, operate, and 

manage. Often, the benefits of traffic control systems are not being fully realized, largely 

as a result of inadequate management (1). 

Managing traffic control systems includes four basic functional responsibilities: 

• Teamwork, 

• Operation, 

• Maintenance, and 

13-2
• Evaluation. 

A traffic control system represents more than just a combination of hardware and 

software. The agency's organization and personnel become part and parcel of the system. 

For a traffic control system to realize its potential, the agency must have available: 

• Technical skills to match the equipment, and 

• Advanced management skills to assure that the entire system performs 

efficiently and effectively. 

The flexibility and real-time evaluation capabilities of today's systems demand 

operational and managerial supervision. Successful traffic control systems show that 

such attention reaps rewards. 

Signal systems are currently commonly being expanded to perform more general traffic 

management functions on surface streets. These functions include increased use of 

incident management and motorist information techniques (e.g. CCTV and changeable 

message signs), greater use of transit priority, and provision for emergency response and 

evacuation. 

Traffic management becomes increasingly important because of growing requirements 

for reduced vehicle emissions and fuel consumption, which often requires mitigation on a 

region-wide basis. 

In urban areas that have traffic control systems in two or more adjacent jurisdictions, all 

agencies must have a close working relationship to develop integrated traffic 

management. This includes coordination of traffic control system operation within the 

urban area and extends to the development of a central database for monitoring and 

improving operations and safety. 

Reference 2 provides further details regarding management of traffic signal systems. 

13.2 An Integrated System Management Concept 

Effective traffic control systems require both intra-organizational and interorganizational communications and teamwork. It proves essential to establish and 

maintain a team concept within an agency and among the involved governmental 

agencies within an urban area. 

Within each agency, administrative, traffic management, design and maintenance 

personnel should remain involved in developing and operating the traffic control system. 

Enforcement personnel also should participate. These departments or organizations must 

work together and coordinate their activities. For example, operations, planning and 

enforcement personnel from each transportation related agency or department must 

coordinate to plan a reversible arterial lane. Similarly, a team approach applies to the 

13-3
administrators (e.g., city manager, director of public works, district engineer) from the 

agencies in an urban area. 

For integrated systems, the development of both administrative and technical teams 

assures the required: 

• Agency support, 

• Administrative support and funding, 

• Resource integration, 

• Information exchange, and 

• Coordinated design, operation and maintenance. 

As defined by the Regional ITS Architecture, agencies in an urban area should exchange 

historical and real-time information on a continuing basis. Historical traffic information 

permits each agency to analyze trends for making operational changes. Real-time 

information includes traffic information from vehicle detectors and information on 

scheduled roadwork and special events. Sharing real-time information permits joint 

incident management by two or more agencies. It also provides for integrated 

communications with: 

• Motorists, 

• Commuters, and 

• Commercial vehicle operators. 

Region-wide coordination facilitates the achievement of certain traffic control system 

goals such as reducing vehicle emissions and delay and improving safety. This implies 

that multiple agencies within an urban area should design and develop systems on a broad 

traffic management basis to facilitate operations across jurisdictional boundaries. 

Carrying out operations and maintenance jointly on an agreed level of effort can also 

prove beneficial. 

For example, the provision of signal priority for a regional transit system that may 

operate within the jurisdiction of a number of agencies responsible for traffic control 

systems may require a common set of equipment specifications, software and operating 

procedures for the affected portions of all of the traffic signal systems. 

A team involving city, county, state, federal and public transportation agencies provides 

the base for developing an integrated system within the urban area. The team also needs 

representation from: 

13-4
• Traffic operation agencies, 

• The Metropolitan Planning Organization, and 

• Law enforcement agencies. 

Research results can improve traffic operations. In turn, integrated system development 

and operation often uncovers opportunities for further research (3). 

Figure 13-2 shows the interdependence of the four functional responsibilities for effective 

system management. They share the following relationships: 

• System operation requires proper system maintenance, 

• Effective and efficient operation depends on evaluation results, 

• System maintenance improves with a close working relationship among 

operational and maintenance personnel. Information on the nature and extent 

of equipment failures and anomalous operation usually originates from the 

system operators, and 

• System evaluation depends on both operation and maintenance. Effective 

evaluation of a control strategy requires the system to operate as error-free as 

possible, with a minimum of hardware failures. 

Figure 13-2 System management team concept. 

13-5
Considering the above interrelationships, management must organize personnel into a 

cohesive unit with upward mobility in order to retain skilled workers. The resulting 

management team assures that the traffic control system lives up to expectations and 

produces the greatest benefits for the motoring public. 

13.3 Operations 

Successful management of a traffic control system must achieve the end result of 

effective operations. This section deals with the following aspects of operations: 

• Practical aspects, 

• Typical work tasks, and 

• Staffing requirements and organization. 

Practical Aspects 

Traffic control systems function in the most demanding of physical environments, subject 

to: 

• Weather extremes, 

• Wide temperature variations, 

• Electrical noise and disturbances, 

• Physical damage from vandals, 

• Knockdowns from vehicles, and 

• Vibration from nearby traffic. 

Yet, the system must operate reliably and continuously, 24-hours each day of the year. 

The system's operational environment proves even more demanding. Its daily operation 

remains in public view where it directly affects each user. This justifies intense 

monitoring of system performance to locate equipment malfunctions and to effect timely 

repair. Likewise, modifications in system performance must accommodate changes in 

traffic flows for: 

• Optimum operating safety, 

• Providing support to transit and paratransit services, 

13-6
• Convenience of motorists, and 

• Public acceptance of the system. 

It often proves difficult to interrupt traffic control system operation. Degradation due to 

backup or fail-safe operation may be acceptable in emergencies but should not occur over 

an extended period. This emphasizes the need for highly reliable and well maintained 

equipment, and illustrates a basic principle which influences virtually all operational 

decisions. The system must work; it must work well; and it must work well virtually all 

the time, to adequately serve the public. 

Control and Supervisory Periods 

Because systems increasingly perform a greater number of control and monitoring 

functions, trends point towards an increase in periods during which the transportation 

management center is staffed. Some agencies may not continually staff the system 

during the entire operational period, but periodically monitor equipment malfunctions. 

During off-hours, a maintenance facility terminal commonly monitors equipment 

operation. 

Most current traffic control systems enable on-line database changes. Similarly, many 

modern systems support software modification in the background. 

Typical Work Tasks 

Effective day-to-day operation of the control system requires a number of routine tasks 

and procedures to: 

• Assure continuity of operation, 

• Obtain and retain archival data, 

• Assure security of the system database and software, and 

• Ensure that the system is operated by authorized personnel. 

Table 13-1 lists some suggested procedures and tasks. 

13-7
Table 13-1 Suggested routine operations tasks. 

Task Description 

Maintain daily control log Covers entire control period. Should include checklist of items and tasks 

to remind each shift operator of responsibilities concerning duty routines 

necessary for proper system operation. Entries in the log concerning 

system functions or component failures serve: 

• As a written record of events per shift. The log should include the 

implementation of backups to programs and databases. 

• To provide continuity in operation from one shift to the next. 

The log can take handwritten or computer based form. 

Maintain event log Most computer based traffic systems provide a hard copy event log 

which lists: 

• Equipment failures and repairs 

• Mode changes 

• Timing plan changes 

• Operator commands in chronological order 

Preserve event log along with control log. The system often generates 

the event log at midnight for the entire day. The system usually outputs 

it on demand, at any time during the day. Some systems generate the 

event log in hard copy on a continuing basis. 

Maintain a ledger of timing 

plan modification 

The ledger should list: 

• Date and time implemented 

• Requester 

• Type of change (temporary or database implemented) 

• Reason for modification 

A computer based ledger should be stored on disk 

Documentation is one of the most important operation tasks. Control system 

performance eventually reflects incomplete, incorrect, or non-existent documentation. 

Careful documentation control and distribution to the management team proves essential 

to successful system operation and maintenance. Document every change in: 

• Software, 

• Timing plans, 

• Operational control parameters, and 

• Hardware components. 

Remember to update all copies of the documentation. Any team member, whether 

technician, programmer, engineer or systems manager should document changes. 

13-8
Specific Operational Tasks for Intersection Control Systems 

System Monitoring / Intervention 

Most intersection traffic control systems have the capability of virtually unattended 

operation. The system automatically invokes predetermined schedules for: 

• Time-of-day control, 

• Conventional traffic responsive implementation of timing plans, or 

• On-line generation of timing plans. 

In normal operation, the system determines when signal timing changes occur based on: 

• Time-of-day, or 

• Processed traffic flow data. 

The system status monitoring element then verifies proper execution of the timing on the 

street. Figure 13-3 shows this control loop for conventional systems. 

• As shown in Figure 13-3, an operator can modify the normal automatic 

implementation of system configuration and timing through manual control. 

Manual intervention typically responds to congestion or maintenance problems to 

accomplish the following: 

• Remove a controller unit or other component, which shows repeated 

intermittent failures, from system control and dispatch maintenance personnel 

for repair, 

• Return repaired controller units or other components to system control if this 

does not occur automatically after the repair, 

• Implement an emergency configuration and / or timing strategy, 

• Select an alternative timing plan, 

• Change subsystem or system timing parameters on a temporary basis, 

• Change individual intersection timing parameters on a temporary basis, 

• Provide information to the motorist for systems having this capability, and 

13-9
• Assist in incident management where the system provides this capability. 

Figure 13-3 Typical daily control and operations architecture. 

13-10
Data Collection and Analysis

In traffic control systems with limited data acquisition capabilities, the traffic engineer 

must rely on manually gathered field data and field observation to measure the 

effectiveness of implemented control strategies. Analysis of the data and observed field 

conditions provide the basis for modifying signal timing and plan scheduling. In normal 

operation, traffic control systems with more extensive data acquisition capability can 

automatically gather, tabulate and analyze significant amounts of traffic data. This 

tabulated and analyzed data produce measures of effectiveness (MOEs) for the system 

(see Section 3.11). Examples of data which generate MOEs include: 

• Volume, 

• Average speed, 

• Occupancy, 

• Queue lengths, 

• Vehicle delay, 

• Number of stops, and 

• Travel time. 

To easily analyze operational effectiveness, the system must assemble MOEs based on 

traffic data in usable form. To use the data effectively, personnel must understand what 

the respective printouts and graphics represent and how they relate to system control. 

The system should also aggregate link based MOEs for sections and the overall system. 

Table 13-2 shows possible MOE formats for video display terminal (VDT) and hard copy 

and their usage. 

Effective data collection and analysis establishes a structured procedure to schedule and 

assign a specific individual or team to review current MOEs and other data. This assures 

timely review of changing traffic patterns and the subsequent action needed to improve 

operation. 

13-11
Table 13-2 MOE formats. 

• A color graphic presentation of system or section aggregate MOEs in contour form showing 

various measures and their relationships during the implementation period of a given signal 

control plan, as shown in Figure 13-4 

• Graphic charts and tables of aggregate MOEs by section and systemwide for an entire 24-hour 

period 

• A level of service check for each link and group of links. This can take tabular form as a 

volume to capacity ratio, and average speed to calculated speed ratio. These can be shown on a 

computer graphics map through use of red, yellow and green lines for each section of roadway 

depending on the MOE. The computer printer can print the color graphic display. 

• The delay and stops for each intersection approach, each intersection and each grouping of 

links for level of service analysis 

• A list of the worst links and sections based on MOE, time-of-day, and day-of-week oriented 

• The posting of some pertinent MOEs on a daily basis to keep all personnel aware of the 

importance of the quality of traffic flow in the system 

Figure 13-4 Typical aggregate MOE contour timing plan graphic. 

13-12
System Modification and Updates 

Traffic control systems require constant scrutiny to determine the need for operational 

changes. Examples of system upgrading include: 

• Control strategy and timing modifications, 

• Operating and control software updates, and 

• Addition of new control features. 

Modifications should include field review to ensure maximum effect. This includes 

queuing, utilization of storage space, proper progression, adequate cycle lengths, splits 

and offsets. 

Each type of system modification has a different implementation timeframe. 

In addition, the street system may undergo changes (e.g., reversible lanes, one-way pairs, 

intersection channelization, HOV lanes and bicycle lanes). Operational changes must 

take place with system upgrades and changes to the street system. 

Updating System Timing

In the case of a traffic control system with few data acquisition features, the traffic 

engineer relies on field data acquired manually for timing plan updates and 

modifications. However, the engineer may use these data, together with the network's 

physical characteristics to run one of several available signal timing optimization 

programs for personal computers (PCs), such as PASSER, TRANSYT 7F and Synchro 

(see Section 3.8). Many traffic systems either directly support these programs or allow 

migration of the database from PCs to the traffic control system. 

Figure 13-5 shows a typical flow chart for system modifications for non-adaptive traffic 

control systems. The engineer may have to collect turning movement counts to 

supplement system-derived data. 

If a city or other agency does not have in-house personnel to develop and implement the 

needed plans and system timing, outside assistance can be obtained by engaging a 

consultant to perform this task. When a new system is being designed and installed, the 

design contract often includes the tasks of signal retiming and database preparation. 

These plans should be subsequently verified in the field, either by the consultant or by the 

operating agency. 

13-13
SIGNAL SYSTEMS CONTROL

COMPUTER PRODUCED MOEs

VOLUME

AVERAGE SPEED

OCCUPANCY

QUEUE LENGTHS

DELAY

TRAVEL TIME

STOPS

STORED PROGRAMS,

SIGNAL TIMINGS,

UPDATED DATABASE

MODIFICATIONS OR NEW 

STRATEGIES, TIMING 

PLANS, DATABASES

CAMERA

CCTV TAPES

TRAFFIC 

ENGINEERS 

ANALYSIS 

STUDY AND 

REVIEW

MANUALLY 

GATHERED DATA 

AND OBSERVATIONS 

OF SYSTEM 

(ONLY SOURCE, IF 

SYSTEM HAS NO 

SURVEILLANCE 

CAPABILITY)

COMPUTER OPTIMIZATION THROUGH 

PASSER, TRANSYT-7F, SYNCHRO, OR 

SIMILAR PROGRAMS

Figure 13-5 Typical flow chart for system modification and update for 

conventional traffic control systems. 

13-14
Changes in traffic flows create a need to implement signal timing changes. Factors that 

change traffic flow patterns include: 

• Land use and population changes, 

• Addition or deletion of signals, 

• Development of major traffic generators, 

• Street geometric changes, 

• Operational changes in a corridor, such as one-way streets, 

• Provision of traffic condition, route guidance or parking information, and 

• Roadway construction. 

Staffing Requirements and Organization

The expanded flexibility and ever increasing capabilities in contemporary control systems 

allow the agency extensive opportunities for staff involvement in traffic management. 

However, in many existing systems full use of the system's potential remains untapped 

due to staff limitations. To attain full system potential, consider the operating staff as 

much a part of the system as the computer itself. 

Staffing Examples

The experience of currently operating systems proves valuable in assessing staffing needs 

for various types of traffic control systems. Table 8-5 gives staffing examples for 

existing traffic signal systems of various types and sizes. 

Factors to Consider in Staffing

Regardless of control system size, the staffing organization requires the two basic skills 

shown in Table 13-3. 

The skills will realize the full performance potential and capabilities of a control system 

and accommodate modifications. While very few agencies change on-line software inhouse, they often develop or modify off-line spread sheet or database management 

system programs to process MOE data, for example. Some agencies rely on outside 

contracts for programming skills, as discussed later under software maintenance. 

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Table 13-3 Basic staffing skills. 

Skill Required Knowledge 

Traffic Operations • Traffic flow principles 

• Control concepts 

• Local conditions 

• Signal timing requirements 

• Conditions of existing equipment 

• System planning, design, installation and operation 

• Operation of other traffic control systems in the same area and 

good working relationships with their operating staff 

Systems • Local signal controllers 

• Data communications 

• Database structure 

• System software structure 

• Programming 

• Equipment integration 

In assessing staffing needs, agencies must consider other factors such as the level of 

available resources. Do not assume that the sophistication and capabilities of a traffic 

control system can reduce the size and / or technical talent of the operations staff. 

Table 13-4 describes other factors the agency should consider in assessing staffing 

requirements. 

Organization

Organization of a traffic control system team should center around a nucleus of a 

functioning traffic operations section or division of a transportation department (or an 

equivalent section of a comparable entity). In that nucleus lies the tradition of effective 

traffic control - day-to-day and year-to-year practical experience. With this 

organizational structure, present operations personnel can absorb the new traffic control 

tool and, with proper training, use it to achieve performance improvements in the street 

network. Likewise, new operations personnel incorporated within the team structure can 

benefit from the practical experience of longer term personnel. 

To assure close coordination and cooperation, it can prove advantageous for the same 

organization to have responsibility for both operations and maintenance. This logical tiein of two essential system management functions improves the cohesion necessary for 

effective operations. 

13-16
Table 13-4 Staffing factors. 

Factor Description 

Assignments In smaller traffic control systems, 1 or 2 qualified individuals can perform typical 

operational tasks. In larger systems, specific tasks must be identified and assigned to 

appropriately skilled personnel. Individual team members must know their specific 

responsibilities and relationships with other team members to assure proper system 

operation and updating. 

Training • When systems are initially installed, the system installation contractor (see 

Chapter 12) typically provides training in system operation 

• Scheduling, supervising, and conducting in-house, on-the-job training programs 

• The agency must conduct on-going training because of: 

- personnel turnover

- advancement of personnel to other positions

- terminations

Regular in-service and on-the-job training should be initiated as soon as practical 

after system implementation. Such a program provides continuity of operation as 

personnel changes occur and increases general interest in operations among team 

members. 

Tours Hosting visitors to the control center - usually most intense during the first 18 

months. 

Public relations Developing public relations and citizen information programs through press releases, 

and compilation and printing of literature, based on the operation and performance 

of the control system 

Shifts Traffic control systems perform their functions around the clock, handling their 

more critical traffic loads during recurring control periods of higher demands. Most 

current operating systems provide on-site personnel for operations duties covering at 

least the period from the beginning of the morning peak to the end of evening peak. 

Smaller systems may limit staffing to peak periods only. 

Other systems are staffed on a 24-hour basis. Appropriate staffing periods can be 

determined only by experience with the system’s operation over a reasonable period 

of time. Start with a 2-shift operation from approximately before the onset of the 

morning peak to the end of the evening peak. Supplement by some form of alarm 

response for the balance of each 24-hour period. Staff the system at least an hour 

before the morning peak to: 

• Clear possible system problems 

• Restore and repair controllers to on-line status 

• Alert maintenance personnel 

• Have staff available if an event occurs which requires manual intervention 

before the peak period 

13.4 Maintenance 

The successful performance of any operational traffic signal system depends on the 

commitment of the operating agency to an effective maintenance management program. 

Maintenance has sometimes received insufficient emphasis in system management. 

Some agencies have erroneously presumed that high-technology systems possess fewer 

maintenance requirements and consequently underestimated budget and staffing needs 

13-17
for proper system maintenance. Similarly, agencies have failed to recognize the higher 

personnel skill levels required to maintain complex traffic control systems. This 

illustrates the need for cost tradeoff analyses during the design phase to identify 

techniques for reducing maintenance requirements. 

An effective maintenance management program requires accurate record keeping and 

overall system configuration documentation including: 

• Up-to-date timing plans, 

• Database, and 

• Software and hardware information. 

Updating should be performed daily. 

An effective maintenance management program relies on these records to: 

• Predict future maintenance needs, 

• Analyze costs, and 

• Use for special purposes such as litigation. 

The following paragraphs focus on the management aspects of traffic control system 

maintenance. 

Types of Maintenance 

Traffic control system maintenance activities are classified as: 

• Functional, 

• Hardware, and 

• Software. 

Functional 

To achieve the full potential of traffic control systems, agencies should continually 

expand their effort on updating the database and optimizing signal timing plans as 

described earlier. 

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Computer-based traffic control systems use extensive databases, which include: 

• System control input parameters, 

• Operating thresholds, 

• Functional characteristics, and 

• Hardware characteristics. 

Typical requirements for database updates include: 

• Detector relocations, 

• Subsystem reconfiguration, 

• System expansion, 

• Changes in controller types, and 

• Changes in preemption routes. 

Hardware 

Traffic control system hardware maintenance generally falls into three categories (4): 

• Remedial, 

• Preventive, and 

• Modification. 

Remedial, usually commanding the highest priority, results from malfunctions and 

equipment failures, including emergency repair activity to restore operation. Most 

centrally controlled computer traffic systems and closed-loop systems incorporate 

software which can diagnose malfunctioning field components. During operating periods 

when such systems are not monitored by an operator, failure reports generated by such 

systems may be displayed at a terminal in the maintenance shop. Preventive maintenance 

includes work done at scheduled intervals to minimize the probability of failure. 

Modification or reconstruction becomes necessary when: 

• A manufacturing / design flaw is identified, or 

• Changes are needed to improve equipment characteristics. 

13-19
Annual budgets must fund all three categories. 

Sophisticated data communications, changeable message signs and CCTV increase 

maintenance and require more highly trained personnel. As technology advances, special 

skills may become necessary to provide adequate maintenance capability. The increased 

numbers of detectors in adaptive traffic control systems also require added maintenance. 

Maintenance personnel should regularly check the operation of local controllers and 

detectors which do not operate as part of an interconnected system 

Scheduled maintenance includes such traditional activities as: 

• Relamping, cleaning of signal heads, and 

• Inspection of: 

- Poles, 

- Foundations, 

- Wiring, and 

- Pedestrian pushbuttons. 

Software 

Salwin (5) provides a detailed discussion of software maintenance. Software 

maintenance generally includes the following: 

• Correction of errors and “bugs” not discovered during system acceptance and 

during the period the organization that installs the system is responsible for its 

warranty and maintenance. 

• Modification or addition of features not previously included in the system. If 

the modifications may be accomplished by means of altering spreadsheets or 

database management programs, outside assistance may not be required. 

If the agency has established the right to modify its software and documentation during 

system procurement, then either the system supplier or a third party may be used to 

modify and maintain the software and its documentation. 

13-20
Results of Inadequate Maintenance 

An inadequate maintenance program can have serious implications. For example, signal 

failures can directly impact accident potential. When accidents do occur, courts 

increasingly hold operating agencies liable if malfunctions were not corrected in a timely 

manner. This has resulted in increased emphasis on both maintenance and maintenancerecord systems. 

Maintenance also impacts the ability of a control system to optimally perform its 

functions. Failure of a single component may degrade system performance. For example, 

the real time selection and implementation of timing plans depends on input data from 

selected detectors. Failure of critical detectors could result in a less than optimum traffic 

control plan. 

Maintenance deficiencies also result in the following types of equipment failure: 

• Malfunction - Any event that impairs the operation of a control system 

without losing the display and sequencing of signal indications to all 

approaching traffic. Malfunctions include detector failures, loss of 

interconnected control, and other similar occurrences. 

• Breakdown - Any event that causes a loss of signal indication to any or all 

phases or traffic approaches. Breakdowns include: 

- Controller failures, 

- Cable failures, and 

- Loss of power. 

• Reduced life - Lack of maintenance can also reduce equipment service life. 

Staff Requirements 

In planning maintenance staff for an advanced traffic control system, agencies must 

consider the: 

• Impacts of the new system on overall maintenance activity, and 

• Attendant maintenance skill level requirements. 

Planning should assess: 

• Present and projected maintenance skill level requirements, 

13-21
• Present maintenance capability with respect to: 

- Staffing, 

- Equipment, 

- Training and budget, and 

• Projected workload impact associated with the new traffic control system. 

Agencies may have difficulty: 

• Finding competent specialists, and 

• Paying competitive salaries for such personnel. 

Agencies planning complex computer control systems should consider the alternative of 

contractual maintenance services. In cases where additional staff training and expansion 

prove appropriate, the training should be: 

• Thorough, 

• Both classroom and hands-on, and 

• Intensive in troubleshooting and diagnostic techniques. 

In an urban area, agencies can support each other by sharing maintenance resources on an 

on-going or as needed basis. For instance, one or more maintenance technicians could 

support systems in two nearby cities with the cities sharing salary and other costs. 

The use of one type of hardware and one software package in systems increases 

personnel familiarity with the system reducing the time for: 

• Troubleshooting, 

• Training, and 

• Equipment inventory. 

Table 8-5 shows the number of personnel assigned to several operating traffic signal 

management systems. 

13.5 Evaluation 

Evaluation (see Figure 13-2) assesses performance levels of the design as well as the 

operations and maintenance functions. Evaluation should consider the effects on safety 

13-22
and traffic flow quality of new systems, control strategies, and other operational 

improvements with before and after measurements. The measures of effectiveness are 

those selected during system development. 

Short-term evaluations assess the immediate effects of an operational strategy or timing 

change. 

The agency should make a more in-depth evaluation of system operation and 

maintenance periodically (e.g., every one to three years) and when adding new locations 

and functions. This assures that the system configuration still addresses overall system 

needs. 

Traffic control system improvements are usually proposed to decision-makers based on 

some forecast of the resulting benefits. Evaluation sustains the credibility of the traffic 

system and its staff. It also identifies ways to further increase benefits. 

Techniques 

Evaluation techniques based on traffic measurements usually prove more credible to 

decision makers than simulation results; thus, it is desirable to perform at least a portion 

of the evaluation in this way. If staff resources are insufficient, a qualified consultant can 

perform the evaluation. 

Certain parameters such as volume may be obtainable from the traffic system. Caution 

must be exercised in using MOE such as delay, stops and speed from the traffic system as 

these MOE may contain estimation errors or may not truly represent conditions 

somewhat distant from the detector. Statistical techniques may estimate the quantity of 

data required to provide statistically significant results in the face of measurement error. 

Simulation techniques may reduce the cost of evaluation, particularly for large systems. 

Credible evaluations require such simulations to be validated and, if necessary, calibrated 

against physical measurements for a portion of the system. 

Before and After Measurements 

Measurement of conditions before and after project implementation is perhaps the most 

common approach for evaluating improvements. This approach establishes the before 

measurement as the base and assumes that the after conditions represent the effect of the 

improvement. 

This approach can prove susceptible to errors caused by time related factors, especially 

when measuring the effects over a long period. Factors that may influence conditions 

between the before and after measurements include: 

• Population growth, 

13-23
• Economic fluctuations, 

• Completion of major traffic generators, or 

• Other changes. 

As indicators of change, before and after measurements cannot easily distinguish the 

effects of individual improvements made at the same time. 

To some extent these issues can be mitigated using the traffic system itself as an 

evaluation tool. For example, evaluation can use the following procedure: 

• After completion of construction, restore the database to pre-construction 

timing plans and control strategies, 

• Measure before conditions, 

• Implement new timing plans and strategies, and 

• Measure after conditions. 

The resulting shorter time period minimizes the effects of traffic demand changes during 

the evaluation period. Depending on the accuracy of the algorithms, system generated 

MOEs may provide cost effective evaluation data. 

Even when long term demand changes do not impact evaluation, intermediate or shortterm demand changes usually occur. Examples include demand variations resulting 

from: 

• Seasonal effects, 

• Holiday periods, 

• Weather, and 

• Special events. 

The effects of improvements may be confounded when implementing two or more 

congestion reduction techniques concurrently. Examples include: 

• Roadway improvements, 

• One-way streets, 

• Modified signal indications, and 

13-24
• Revised timing patterns. 

It may prove possible to evaluate in stages to emphasize the contribution of each 

technique. 

Before and after studies can define specific test routes for evaluation. This approach is 

often selected when the evaluation uses floating vehicle measurements. Alternatively, 

intersection based measurements may be the basis for evaluation. 

Sampling Considerations 

The integrity of the sampling technique used for data collection critically impacts the 

level of precision expected in the evaluation. The level of precision associated with a 

before-and-after study depends on the: 

• Importance of detecting a difference, 

• Expected size of the difference, and 

• Cost of the data collection activity. 

In cases involving research, the importance of the project may warrant high precision. 

Studies involving relatively small before / after differences may also require high 

precision because a small scale study would prove inconclusive. Studies involving major 

changes at a particular location can tolerate lower precision. Carefully design the 

sampling procedure to measure the effects of the alternative strategies efficiently and 

accurately. 

• Box and Oppenlander (6) and other statistical methods references discuss 

techniques. 

13-25
13-26

13 References 

1. “Transportation Infrastructure: Benefits of Traffic Control Signal Systems Are 

Not Being Fully Realized.” GAO Report GAO/RCED-94-105, March 1994. 

2. Giblin, J., and Kraft, W. “Installation, Management and Maintenance.” Institute 

of Transportation Engineers, Arlington, VA. 

3. “Symposium on Integrated Traffic Management Systems.” Transportation 

Research Circular No. 404, Transportation Research Board, Washington, DC, 

March 1993. 

4. Baxter, D. “Contracting Maintenance for Traffic Signal Systems.” New York 

State Department of Transportation, August 1984. 

5. Salwin, A.E., “The Road to Successful ITS Software Acquisition: Volume 2: 

Overview and Themes.” Mitretek, Federal Highway Administration Report 

FHWA-JPO-98-036, Washington DC, July 1998. 

6. Box, P.C., and J.C. Oppenlander. “Manual of Traffic Engineering Studies.” 

Institute of Transportation Engineers, Arlington, VA, 1983. 
CHAPTER 14 

ITS PLANS AND PROGRAMS 

Table of Contents 

Section .................................................................................................................................................... Page 

14.1 Introduction............................................................................................................................... 14-2

14.2 ITS Program Planning in the United States............................................................................ 14-3

14.3 The ITS Planning Process......................................................................................................... 14-4

National....................................................................................................................................... 14-4 

Regional / Statewide ................................................................................................................... 14-5 

 Agency ........................................................................................................................................ 14-6 

References ................................................................................................................................................ 14-8
CHAPTER 14 

ITS PLANS AND PROGRAMS 

Figure 14-1. The ITS Program Structure (Reference 1). 

14.1 Introduction 

This chapter overviews ITS activities in the U.S. and abroad, and reviews ITS planning. 

With regard to surface transportation systems, including the traffic control systems 

covered in this handbook, the national ITS program in the United States has a significant 

impact on their: 

• Planning, 

• Design, 

• Implementation, and 

• Operation. 

The United States Department of Transportation (USDOT) is the administrative arm 

charged with moving these important technology areas from concepts to solutions that 

provide real benefits to travelers and motorists in the U.S. The USDOT has established 

an ITS Joint Program Office which is housed within the Federal Highway Administration 

(FHWA). The ITS Joint Program Office has been designated to provide oversight and 

management of the various programs to effectively and responsibly attain progress and 

meet goals as broadly contained within the initiatives. The FHWA, working through 

national forums such as the Intelligent Transportation Society of America (ITS America), 

14-2
has developed ITS Strategic Plans that address national issues and concerns, functional 

planning, and broad implementation plans. 

The Intelligent Transportation Society of America was established in 1991 to coordinate 

the development and deployment of ITS in the United States. ITS America also has 

alliances with ITS organizations in other countries, most notably in Europe an Asia. Its 

goals are to 

• Promote ITS Research, Deployment and Operations 

• Promote Leadership, Knowledge and Technical Expertise 

ITS America maintains the following interest areas where news and information can be 

found: 

• Automotive, telecommunications and consumer electronics. 

• Commercial vehicle and freight mobility 

• Public safety 

• Public transportation 

• Research, integration, training and education 

• Transportation systems, operations and planning. 

ITS America has published a “National ITS Program Plan! A Ten-Year Vision” (2). 

14.2 ITS Program Planning in the United States 

The ITS program provides for the research, development and operational testing of 

Intelligent Transportation Systems aimed at solving congestion and safety problems, 

improving operating efficiencies in transit and commercial vehicles, and reducing the 

environmental impact of growing travel demand. Proven technologies that are 

technically feasible and highly cost effective will be deployed nationwide as a component 

of the surface transportation systems of the United States. 

The ITS program is divided into two key areas: 

• Research and Development 

• Deployment Incentives 

USDOT, working with ITS America, maintains and updates as necessary a National ITS 

Program Plan. 

14-3
The scope of this plan includes the following: 

• Goals, objectives and milestones for ITS R&D 

• Standards development activities to promote and ensure interoperability 

• A cooperative process with State and local governments to develop plans for 

incorporating ITS into surface transportation plans 

14.3 The ITS Planning Process (3) 

The authority for transportation decision-making is dispersed among several levels, or 

“tiers”, of government, and often between several agencies with each governmental level. 

The concept of an integrated surface transportation network (including freeway 

management and operations as a part thereof) needs to be considered and supported at 

each of the different tiers noted below. 

National 

The national tier involves the authorizing legislation that establishes and provides 

direction, priorities, and resources for the federal regulations, policies, programs, and 

research that is initiated or implemented. The implementation of these regulations and 

associated programs are intended to positively influence the overall environment and how 

transportation management strategies and technologies are considered by the appropriate 

state, regional, and agency interests. These federal programs and rules, corresponding 

research programs, outreach and technology transfer programs, and results of the various 

initiatives (e.g., field operational tests, model deployments), are intended to introduce 

new and innovative technologies and practices, improve the capabilities of public agency 

staff, and advance the state-of-the-art and state-of-the-practice of local agencies – in 

essence, setting the bar for the minimum allowable performance of the transportation 

network, while encouraging agencies to go well beyond. Examples of how the national 

tier can influence processes and decision-making include: 

• The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) 

authorized the creation of the Intelligent Transportation System (ITS) program 

and charged U.S.DOT with the responsibility of fostering deployment of ITS 

products and services nation-wide. The Transportation Efficiency Act for the 

21st Century (TEA-21) reaffirmed the role of U.S. DOT in advancing 

deployment by mainstreaming ITS funding eligibility under the federal-aid 

program and by creating incentive funding programs to accelerate integration 

of systems. 

• FHWA Rule 940 implements section 5206(e) of the Transportation Equity Act 

for the 21st Century (TEA-21), which required Intelligent Transportation 

System (ITS) projects funded through the highway trust fund to conform to 

14-4
the National ITS Architecture and applicable standards. This rule requires that 

the National ITS Architecture be used to develop a local implementation of 

the National ITS Architecture, which is referred to as a ``regional ITS 

architecture.'' 

• Federal-aid Eligibility Policy Guides are developed by FHWA to aid in 

determining applicability of Federal-aid funding for ITS projects. For 

example, a guide published in November 2001 regarding operations eligibility 

stated: “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. 

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”. 

This is not just a top-down process. The state and local agencies (i.e., other tiers) interact 

and influence the Federal programs and national efforts. For example, Interim Guidance 

on Eligibility of Intelligent Transportation Systems (ITS) Projects for Federal-aid 

Funding indicated that the “guidance provides a broad definition of ITS projects that is 

based on ITS user services. Where no appropriate ITS user service currently exits that 

meets your partner’s needs, we support the development of a unique ITS user service. 

Because it is expected that the National ITS Architecture will adapt over time to 

accommodate new user services, we ask that we be informed of any new services.” 

The national tier is also more than with the Federal government passing laws and 

authorizing funding, and FHWA publishing requirements regarding the planning, design, 

implementation, and operations of transportation facilities. Another function of this tier is 

technology transfer and support to the other tiers. Examples include the development and 

distribution of Handbooks (e.g., this document on Freeway Management and Operations), 

self – assessment guides (i.e., a tool for agencies with traffic operations responsibility to 

assess the effectiveness of their various programs and processes) and training courses. 

Regional / Statewide 

The regional / statewide tier involves the appropriate strategic transportation planning, 

programming, and coordination efforts that include a longer-range time horizon (10 –20 

years). Statewide and regional transportation planning is the structured process followed 

by states, metropolitan planning organizations (MPOs), municipalities, and operating 

agencies to design both short and long-term transportation plans. Products are projectoriented, typically providing the Statewide and Regional (Constrained) Long Range Plan 

(LRP), Statewide Transportation Improvement Program (STIP), regional Transportation 

Improvement Program (TIP), and Unified Planning Work Program (UPWP). 

14-5
While the process has historically focused on capital projects, it is now recognized that 

the statewide / regional transportation planning process must take management and 

operations of the transportation network, and the ITS – based systems that support 

operations, into consideration. This is particularly true given that ITS appears to be 

losing its special funding status that it enjoyed in ISTEA and TEA-21. The current trend 

to “mainstream” ITS (and operations) into the traditional decision-making process of 

transportation planning means that operations and ITS deployments will be increasingly 

funded through regular sources and compared with traditional transportation components, 

such as road widening and new construction. There is consequently a need to strengthen 

the ties between management and operations, ITS, and the transportation planning 

process 

Agency 

The agency tier is where the infrastructure comprising the surface transportation network 

(e.g., freeways, bridges, tunnels, surface streets, rail lines, rolling stock, traffic control / 

management devices) is typically owned. This level develops a multi-year program and 

budget that defines resources and commitments for a three to 10 year time frame, with 

updates every year or two. As noted in the previous chapter, providing effective 

highway-based transportation consists of three component parts – building the necessary 

infrastructure (i.e. construction), effectively preserving that infrastructure (i.e. 

maintenance), and effectively preserving its operating capacity by managing operations 

on a day-to-day basis. All three of these “legs” that make up the “highway transportation 

stool” are defined and developed at the agency level; and it is at this tier where the 

relative balance between these parts are determined, and the associated priorities, 

budgets, and allocation of resources are established. 

Another responsibility at the agency tier, and one that has become a priority, involves 

assessing the vulnerabilities of the infrastructure and physical assets; developing possible 

countermeasures to deter, detect, and delay the impact of threats to such assets; 

estimating the capital and operating costs of such countermeasures, and then budgeting 

the required resources; and improving security operational planning for better protection 

against future acts of terrorism. 

From the perspective of surface street traffic management and operations, it is at the 

agency level where the planning, design and implementation activities for the program 

takes place. A key product is often a strategic system plan and / or Regional ITS 

Architecture that focuses on the deployment of ITS technologies and strategies for the 

surface transportation network, including surface street controls. This plan may identify 

the key components of a system, future initiatives to expand the functionality or area of 

coverage, and identify the resources needed to support all of the life-cycle phases of the 

system. The general time frame with the future planning and coordination for either a 

system or an associated transportation operations program would be 3 - 10 years in scope. 

It is important that the process to develop the ITS – based strategic plan (or any such 

focused plan or project) support the overall transportation planning process; not compete 

14-6
with it. Moreover, the end products of these “focused” processes can and should be used 

to feed information back into the overall transportation planning process. 

14-7
References

1. “Intelligent Transportation Systems in the Transportation Equity Act for the 21st

Century”, Federal Highway Administration Publication No. FHWA-jpo-99-040. 

2. “National ITS Program Plan: A Ten-Year Vision”, ITS America, Washington, D.C., 

 January 2002. 

3. Obenberger, J., and W.H. Kraft, “Surface Transportation Systems: The Role of 

Traffic Management Centers.” 

14-8
14-9

Office of Operations (HOP) 

Mail Stop: E86-205 

1200 New Jersey Ave, SE 

Washington, DC 20590 

Publication No. FHWA-HOP-06-006