Port Planning and Investment Toolkit

Module 2: ITS Projects

 Port Planning & Investment Toolkit
ITS Projects Module

Intelligent Transportation System Projects

Module Contributors
Numerous port industry volunteers assisted in the creation and refinement of this
Intelligent Transportation System (ITS) Projects Module of the Port Planning and
Investment Toolkit. Thank you to the contributors from the following ports and
organizations for your time, consideration and invaluable input.

Federal Highway Administration

Intelligent Transportation Systems Joint Program Office
ITS America
Los Angeles County Metropolitan Transportation Authority
Port of Corpus Christi, TX
Port of Los Angeles, CA
Port of New Orleans, LA
Port of New York & New Jersey
Port of Oakland, CA
Port of San Diego, CA
Virginia Port Authority
Volpe National Transportation Systems Center
WSP
WSP was the primary author of the PP&IT ITS Module.

JULY 2019
This Toolkit module was developed through a cooperative agreement between the United States
Department of Transportation (USDOT), Maritime Administration and the American Association of Port
Authorities. [DTMA-91-H-2013-0004]. Opinions or points of view expressed in this document are those of the
authors and do not necessarily reflect the official position of, or a position that is endorsed by, the United
States (U.S.) Government, USDOT, or any sub-agency thereof. Likewise, references to non-Federal entities
and to various methods of infrastructure funding or financing in this document are included for illustrative
purposes only and do not imply U.S. Government, USDOT, or sub-agency endorsement of or preference for
such entities and funding methods.
Port Planning & Investment Toolkit
ITS Projects Module

Preface
The American Association of Port Authorities (AAPA) and the USDOT Maritime
Administration (MARAD) signed a cooperative agreement to develop an easy-to-read, easy-
to-understand, and easy-to-execute Port Planning and Investment Toolkit (PP&IT). The goal
of the project is to provide U.S. ports with a common framework and examples of best
practices when planning, evaluating and funding/financing freight transportation, facility and
other port-related improvement projects.
The analytical tools and guidance contained in this comprehensive resource are designed to
aid ports in developing “investment-grade” project plans and obtain capital for their projects
in a variety of ways, including: (1) improve the chances of getting port infrastructure projects
into Metropolitan Planning Organization (MPO) and state transportation plans to qualify for
formula funding; (2) better position port projects for federal aid; and (3) assist ports in
obtaining private sector investment.
Since each ITS project is unique with its own set of objectives, methods, strengths and
obstacles, the material in this module is not intended to address specific requirements of any
single project, user or port; it is a resource for a diverse group of users to become familiar with
planning, assessing feasibility and financing ITS projects and to highlight opportunities for
engagement and coordination throughout the project definition process. This module is not a
replacement of existing policies or consultation handbooks and does not constitute a
standard, specification or regulation. The exhibits, processes, methods and techniques
described herein may or may not comply with specific national, state, regional and local
regulatory requirements.
All material included in this module of the Toolkit is copyrighted, 2019 by AAPA. The
materials may be used for informational, educational or other non-commercial purposes. Any
other use of the materials in this document, including reproduction for purposes other than
described above, distribution, republication and display in any form or by any means, printed
or electronic, is prohibited without the prior written permission of the AAPA.
This module of the Toolkit will be updated periodically as new regulations and policies are
developed affecting ITS planning, feasibility and investment requirements related to the
applicable laws discussed in the document. Additional information, updates, and resources of
the Toolkit are available on the AAPA website at http://www.aapa-ports.org/PPIT and the
MARAD website at https://www.maritime.dot.gov/ports/port-planning-and-investment-toolkit.
For all other queries regarding the PP&IT, please contact Aaron Ellis, Public Affairs Director,
AAPA at 703-684-5700.
 Port Planning & Investment Toolkit
ITS Projects Module

Table of Contents
Introduction .................................................................................................................................................... 1
Planning ........................................................................................................................................................ 13
1.1 Initiate ................................................................................................................................. 13
1.1.1 Project Goals & Objectives .................................................................................... 13
1.1.2 Data Collection...................................................................................................... 14
1.1.3 Stakeholder Engagement...................................................................................... 15
1.2 Quantify .............................................................................................................................. 18
1.2.1 Existing Conditions................................................................................................ 18
1.2.2 Project Drivers and Needs ..................................................................................... 18
1.3 Form .................................................................................................................................... 18
1.3.1 Alternatives Development and Analysis ................................................................ 19
1.3.2 Refinement of Reasonable Alternatives................................................................. 19
Feasibility ...................................................................................................................................................... 21
2.1 Assess .................................................................................................................................. 21
2.1.1 Operational Performance ...................................................................................... 21
2.1.2 Human Factors ...................................................................................................... 21
2.1.3 Impacts ................................................................................................................. 22
2.1.4 Risks and Mitigations ............................................................................................ 22
2.2 Evaluate............................................................................................................................... 23
2.2.1 Project Evaluation Approach and Recommended Project(s) .................................. 23
2.2.2 Project Prioritization ............................................................................................. 24
Financing ....................................................................................................................................................... 25
3.1 Strategize ............................................................................................................................ 25
3.2 Structure ............................................................................................................................. 25
3.2.1 Federal Funding Sources ....................................................................................... 26
3.2.2 State and Local Funding Sources ........................................................................... 32
3.2.3 Private Funding Sources ........................................................................................ 33
Deployment................................................................................................................................................... 35
4.1 Prepare ................................................................................................................................ 35
4.1.1 Procurement ......................................................................................................... 35
4.1.2 Deployment Plan .................................................................................................. 36
4.2 Verify ................................................................................................................................... 37
4.2.1 Demonstrations .................................................................................................... 39
4.2.2 Go-Live Checklist .................................................................................................. 40
Appendix A Glossary of Terms ..................................................................................................................... A-1

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Exhibits
Exhibit 1: Projected Increases in Marine Freight Volumes ......................................................................... 1
Exhibit 2: Module Elements ...................................................................................................................... 3
Exhibit 3: Enabling Technologies and Their Use in Ports ........................................................................... 4
Exhibit 4: Port Interactions and ITS Technologies ..................................................................................... 5
Exhibit 5: Port Service Improvements from V2X and Iot Communications ................................................ 7
Exhibit 6: Levels of Vehicle Autonomy ...................................................................................................... 8
Exhibit 7: Systems Engineering “V-Diagram” .......................................................................................... 11
Exhibit 8: Rule/Policy SE Requirements .................................................................................................. 11
Exhibit 9: ARC-IT .................................................................................................................................... 12
Exhibit 10: Example Mission Statement .................................................................................................. 13
Exhibit 11: Port ITS Goals Related to ICM ................................................................................................ 14
Exhibit 12: Sample Types of Project Data................................................................................................ 14
Exhibit 13: ITS Project Elements and Related Stakeholders..................................................................... 15
Exhibit 14: Example ITS Inventory Elements ........................................................................................... 18
Exhibit 15: Analysis and Building of Needs .............................................................................................. 18
Exhibit 16: Federal Government Funding Programs ................................................................................ 26

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List of Acronyms
AAPA American Association of Port Authorities
ARC-IT Architecture Reference for Cooperative and Intelligent Transportation
ATCMTD Advanced Transportation and Congestion Management Technologies Deployment
Grant Program
ATMS Advanced Traffic Management Software
B/C Benefit/Cost
BCO Beneficial Cargo Owner
BTS Bureau of Transportation Statistics
BUILD Better Utilizing Investments to Leverage Development
CapEx Capital Expenditure
CAV Connected and Automated Vehicles
CMAQ Congestion Mitigation and Air Quality Improvement
ConOps Concept of Operations
DBFOM Design-Build-Finance-Operate-Maintain
DBMS Database Management System
DGPS Differential Global Positioning System
DOTs Departments of Transportation
DSRC Dedicated Short Range Communication
EDI Electronic Data Interchange
EEIR Electronic Equipment Interchange Receipt
EFM Electronic Freight Management
ELD Electronic Logging Device
ETS Equipment Tracking System
FAST Act Fixing America's Surface Transportation Act
FHWA Federal Highway Administration
FOTs Field Operational Tests
FRATIS Freight Advanced Traveler Information System
FSP Freight Signal Priority
FTA Federal Transit Administration
FY Fiscal Years
GHG Greenhouse Gas
GIS Geographic Information System
GoPort! Global Opportunities Port of Oakland
GOS Gate Operating System
GPS Global Positioning System
ICM Integrated Corridor Management
IMO International Maritime Organization
INFRA Instructure for Rebuilding America
IoT Internet of Things
IRIS Intelligent Recognition and Imaging Software
ISO International Standardization Organization
ITS Intelligent Transportation Systems

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JPO Joint Program Office

LIDAR Light Detection and Ranging
LPR License Plate Recognition
MARAD Maritime Administration
MPO Metropolitan Planning Organization
NHFN National Highway Freight Network
NHFP National Highway Freight Program
NSHFP National Significant Highway and Freight Projects Program
NHTSA National Highway Traffic Safety Administration
OCR Optical Character Recognition
OpEx Operational Expenditure
OTR Over-the-Road
P3 Public-Private Partnerships
PAB Private Activity Bond
PATN Port Area Transportation Network
PCS Port Community System
POLA Port of Los Angeles
POLB Port of Long Beach
RADAR Radio Detection and Ranging
RFID Radio Frequency Identification
RFP Request for Proposal
ROI Return on Investment
RRIF Railroad Rehabilitation and Improvement Financing
SAE Society of Automotive Engineers
SE Systems Engineering
STBG Surface Transportation Block Grant
TIFIA Transportation Infrastructure Finance and Innovation Act
TIGER Transportation Investment Generating Economic Recovery
TIP Transportation Improvement Plan
TOS Terminal Operating System
TPIMS Truck Parking Information Management System
TRS Truck Reservation System
V2D Vehicle-to-Device
V2I Vehicle-to-Infrastructure
V2Iot Vehicle-to-Internet of Things
V2V Vehicle-to-Vehicle
V2X Vehicle-to-Everything
WIM Weigh-in-motion

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 Port Planning & Investment Toolkit
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INTRODUCTION

Introduction
The American Association of Port Authorities Exhibit 1 illustrates the projected increase in the
(AAPA), the USDOT Maritime Administration weight and value of freight moved through U.S.
(MARAD) and the Volpe National Transportation ports by 2045. In response to this sustained growth
Systems Center (Volpe) organized a team of U.S. in freight movements through their facilities, many
port industry experts to assist in the development ports have increased operational capacities
of this module of the Port Planning & Investment without greatly changing landside boundaries or
Toolkit (PP&IT). The module provides an overview regional transportation connections. This has led
of Intelligent Transportation System (ITS) and to increased levels of congestion on the
serves as a guide to facilitate the expansion of U.S. surrounding inland distribution network, impacting
port participation in the development, the safety and efficiency of freight and passenger
implementation and operation of ITS projects movements, as well as overall mobility for all
regionally, and in a port environment. travelers.
Along with building additional road and rail
Purpose & Need supporting infrastructure, at significant cost, port
The efficient and reliable movement of goods is owners have opportunities to use their
critical to the U.S. economy. Analysis by the transportation resources more intelligently and
USDOT’s Bureau of Transportation Statistics (BTS) efficiently through the application of ITS.
and Federal Highway Administration (FHWA) Intelligence-based and dynamic technologies can
indicate that freight tons moving on the nation’s improve the safety, efficiency, reliability and
transportation network will increase by 40 percent resiliency of port operations and the surrounding
in the next three decades while the value of the transportation network.
freight will almost double, increasing by 92
percent. 1 ITS is an engineering discipline that encompasses
research, engineering, planning, design,
Exhibit 1: Projected Increases in Marine Freight Volumes integration, policy analysis and development, and
deployment of systems and applications to
maximize the efficiency of surface transportation
systems. It includes strategic planning; systems
engineering; multimodal and multijurisdictional
integration of technologies, data sharing,
communications interoperability; real-time data
monitoring; and distribution of timely and accurate
user information. 2
ITS has traditionally focused on moving vehicles on
an open public network, without commercial
exchanges, in a lightly-regulated environment. By
contrast, ports are origins and destinations for
Source: USDOT BTS truck- and rail-based goods movement. Port

1 https://www.transportation.gov/briefing-room/dot-releases-30- 2 https://www.pcb.its.dot.gov/eprimer/module1.aspx#overview
year-freight-projections

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transport systems are bound, typically dead ends

or local circulatory loops. Trucks and trains visit
ports only for freight exchanges. Ports are tightly
regulated spaces where private and public entities
both cooperate and compete. Thus,
implementation of ITS in a port environment
requires consideration of a range of factors not
typically considered for traditional ITS locations.
This module of the Toolkit assists users with the
planning, evaluation, financing and deployment of
ITS projects that address congestion and other It is important to understand the distinction
transportation network challenges experienced by between these perspectives as the planning,
U.S. ports. feasibility, financing and deployment processes for
each may have subtle differences. For example,
activities for planning, developing and
Context
implementing a regional FSP would likely involve a
The audience for this module includes port owners;
cross-section of other stakeholders (e.g., state or
Metropolitan Planning Organizations (MPOs); state,
local departments of transportation that operate
regional and local transportation service providers,
the roadways, MPOs that plan and program funds).
carriers, beneficial cargo owners (BCOs) and other
Whereas a gate access management and/or
port partners needing to advance the
reservation system may only include involvement of
implementation of a port ITS project.
the port authority, terminal operator and the trucking
Since ports have complex interactions with an companies operating at the port. The span of
amalgam of public and private entities, each with communication, collaboration and cooperation is
varying interests in the application of driven by the proposed ITS project.
technologies, this module addresses the
implementation of ITS projects from three Outline
perspectives: This module is not intended to provide step-by-step
• Local/regional – Applications of ITS for the directions to be followed sequentially. Instead the
surrounding road and rail network that module is organized around key elements that can
indirectly impact port operations. This could be adapted to specific needs and circumstances,
include the provision of freight signal priority whether users are at the early stages of the project
(FSP) on road and rail interchanges in definition process, such as determining project
proximity to a terminal. goals, or further along and seeking financing
• Port specific – Applications of ITS for the port opportunities for an existing ITS project.
area transportation network (PATN) and within This module incorporates the three primary phases
the terminal, such as gate access involved in project definition presented in Module 1:
management and reservation systems. General Projects, accompanied by a fourth
• Combination – Applications of ITS that address Deployment phase to support an integrated ITS
port operations, the PATN and the region. implementation approach.
This could include a truck staging and parking
application that provides staging information As shown in Exhibit 2, the nine elements that make
at the terminal, and detailed route up the primary phases provide a high-level structure
information for efficient and timely access to for advancing ITS projects.
the facility.

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Exhibit 2: Module Elements Verify the functionality of the ITS project and its
ability to meet project needs through testing and
demonstrations prior to full implementation.
Within and between each phase, project
definition activities may loop back to
previous efforts to continually improve the
planning, feasibility, financing and deployment
strategy. The activities occurring at each stage
can also be iterative and overlapping and might
PLANNING require reconsideration of previous conclusions if
Initiate the project by gaining an understanding of conditions change.
the goals and objectives, data to be collected and
stakeholders that should be involved in the
ITS
process.
ITS has evolved to encompass applications,
Quantify the existing conditions and the projects, and programs for different modes and
operational drivers and user needs for ITS facility types. A port system consists of various
solutions. transport modes and facility types, including
marine, intermodal, and inland terminals,
Form alternatives of technology options and
container transfer facilities, and logistics depots.
concept of operations, and make refinements based
ITS applications can address this systemic
on architecture requirements and stakeholder
complexity, supporting operational needs, as well
input.
as monitoring and managing the connecting
FEASIBILITY surface transportation systems.
Assess alternatives based on operational The advancement of ITS in the port industry has
performance metrics, as well as institutional, been enabled by:
economic and environmental impacts. • the rapid development and availability of cost
Evaluate each alternative based on qualitative and effective technologies that maximize the use
quantitative criteria to identify ITS applications of existing transportation assets, and
that best meet the project needs. • the need for service improvements to address
a range of operational challenges that occur
FINANCING during (recurring) and disruptive
Strategize the approach to secure the necessary (nonrecurring) conditions.
financing for the ITS project and maximizing the
return on investment. ENABLING TECHNOLOGIES
Technologies often support multiple functions,
Structure the financing to take advantage of the
including data collection, network surveillance,
various available alternatives including federal,
asset tracking, communications, and information
state and local funding sources, and private
dissemination. Technologies that commonly
investment.
enable ITS functions in ports are listed in Exhibit 3
DEPLOYMENT and defined in Appendix A – Glossary of Terms. These
Prepare an operational action plan and supporting technologies are grouped into the following
documentation that identifies procurement classes that reflect their general role in the
option(s), ITS standards and testing procedures, integrated implementation of ITS, port, and
and training requirements. terminal functions:

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• PX : Proximity and Detection Systems • LO: Location Determination Systems

• ID: Cargo and Vehicle Identification Systems • CO: Wideband Communications Systems
• VI: Vehicle Information Systems • LG: Logistics Management Systems

Exhibit 3: Enabling Technologies and Their Use in Ports

Technology Example of Use in Ports Class

Cameras and sensors provide critical input not only for connected and automated vehicles (CAVs)
Cameras and Sensors on the road, but also for security and condition monitoring in the port. They also assist in gate
transactions, improving efficiency by making the process faster. PX
Radio Detection and Ranging (RADAR) and RADAR and LIDAR are heavily used for CAVs and will help in development of autonomous trucks
Light Detection and Ranging (LIDAR) for cargo hauling.
OCR is used for asset identification. For instance, OCR systems are used to identify incoming and
Optical Character Recognition (OCR) outgoing containers based on their ISO numbers. OCR is also used to automate data transfer at
port facilities by filtering, aggregating, and formatting data before presenting it to a host system.
ID
LPR systems use OCR to read and analyze the license plates of incoming and outgoing vehicles at
License Plate Recognition (LPR) the facility gate. The information gathered is matched with a database to help complete the gate
transaction faster than a manual procedure.
RFID is used to collect information from cargo vehicles entering or leaving a facility, cargo
Radio Frequency Identification (RFID)
handling equipment, and to record where cargo is placed in the storage yard.
WIM devices are deployed in gate lanes along with other technologies, such as OCR and RFID, to
Weigh-in-motion (WIM)
connect vehicle and cargo weights with transaction data.
Telematics devices provide information on a vehicle’s or equipment’s condition, find optimal VI
Vehicle Telematics delivery routes, monitor dangerous driving habits, track the location of drivers and cargo, and
improve idle trailer allocation.
An ELD is used to monitor a vehicle's or equipment’s engine, capturing data on whether the
Electronic Logging Devices (ELD)
engine is running, miles driven, and duration of operation.
GPS is the foundation of other ITS technologies such as Geographic Information Systems (GIS),
Geographic Positioning System (GPS) and ELDs used by the maritime community. GPS can additionally be used to track container
handling equipment and the placement of containers.
DGPS is used for tracking cargo and equipment within the port, as well as equipment LO
Differential GPS (DGPS)
automation.
Bluetooth is used to track street truck movement in to, out of, and within a terminal. Bluetooth
Bluetooth
proximity beacons are used to track cargo movement through various nodes.
Cellular communication technology, including 5G cellular, is used to track the location of
Cellular Communication
vehicles and handling equipment, and associated cargo.
CO
Dedicated Short Range Communications DSRC can be used to enable trucks carrying cargo to utilize adaptive cruise control, clear vehicles
(DSRC) entering and exiting a maritime facility, and to issue vehicle warnings.
EDI is used to securely transfer goods movement data between liners, BCOs, truckers, railroads
Electronic Data Interchange (EDI)
and government agencies including Customs and Border Protection.
IoT is used to connect multiple platforms such as TOS, Port Portals, autonomous vehicles, etc. to
Internet of Things (IOT)
share real-time information, enabling better cargo routing decisions.
LG
Cloud-Based Data Processing and Cloud-based data processing and management are used to make cargo data, such as vessel
Management stowage plans, available on a controlled basis across the port user community.
Blockchain technology can be used to track freight, streamline the bill of lading process, execute
Blockchain
bookings, and to submit shipping instructions and trade compliance documentation.
Source: WSP USA

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Exhibit 4: Port Interactions and ITS Technologies

Source: WSP USA

Exhibit 4 presents the logical relationship between Port ITS projects are primarily supported by the
the major elements of a port, its landside following bidirectional, real-time V2X technologies
connectivity, its operating components, and the that allows vehicles to communicate with
entities with which it interfaces. Shape overlaps infrastructure, other vehicles, devices, and the
reflect interactions between elements. Wherever Internet of Things (IoT).
ITS technologies might have a role or influence, an
Vehicle-to-Infrastructure (V2I) enables freight
icon indicates those technology classes that are
vehicles to communicate with roadway, rail and
likely to be deployed in support of more efficient
port infrastructure, such as traffic signals, railroad
and safer operations.
crossing, cargo terminal gate system, and priority
VEHICLE TO EVERYTHING (V2X) lane systems. V2I service can use both DSRC and
COMMUNICATIONS cellular network for communication.
While ITS involves a variety of advanced
applications that extend beyond vehicle systems,

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combination can help in safe transport of cargo on

road and movement within a cargo terminal.

Vehicle-to-Internet of Things (V2Iot) enables

freight vehicles to communicate to multiple
technologies via IoT. Any type of information can
be uploaded using cloud computing and can be
retrieved to analyze and make informed decisions.
Source: USDOT V2IoT service can assist in V2I/I2V service as well.
Vehicle-to-Vehicle (V2V) enables freight vehicles IoT enables communication between supply chain
(trucks, trains, and cargo handling equipment) to instruments, connecting ports, carriers,
communicate with each other and other vehicles in warehouses and distribution centers, BCOs and
the vicinity via advanced communication systems customers. With further development and broad
such as DSRC and 5G cellular. It allows the vehicles participation, IoT platforms can optimize the
to share vehicle type, identity, position, speed, exchange of logistic information and offer holistic
heading, transaction data and other information improvements to the supply chain network.
with each other.
SERVICE IMPROVEMENTS
Vehicle-to-Device (V2D) enables freight vehicles to
As shown in Exhibit 5, ITS can improve port
communicate with receiving devices such as
performance by enhancing the safety, mobility,
RFIDs, LPR, OCR, etc. V2D services can help
efficiency, and visibility of terminal assets, cargo
streamline information flow for incoming and
and entities involved in the system.
outgoing freight vehicles. V2D and V2V in

Cybersecurity
While ITS provides opportunities to optimize port systems and improve operational performance, issues of security and
privacy related to ITS can impact its potential benefits. Cybersecurity has risen out of the need to protect critical
infrastructure and systems, and the information contained therein, from malicious attacks, unauthorized access, damage,
and disruptions. The increasing use of ITS technologies exposes the U.S. maritime and freight sectors to cybersecurity
vulnerabilities and highlights the need to safeguard ITS from cyberattacks.
A comprehensive approach to cybersecurity is needed to counteract the growing risks of cyberattacks on ITS. Various federal
agencies have cybersecurity initiatives dedicated to maintaining a secure, connected, and resilient transportation system:

• Vehicle – The National Highway Traffic Safety Administration (NHTSA) has pursued a layered approach focusing on
identifying solutions to harden the vehicle’s electronic architecture against potential cyber-attacks and ensuring vehicle
systems respond appropriately in the event of an attack. Resource: https://www.nhtsa.gov/technology-innovation/vehicle-
cybersecurity
• Infrastructure – The National Institute of Standards and Technology (NIST) lays out a broad path for reducing cyber risk
and improving resiliency in their Framework for Improving Critical Infrastructure Cybersecurity. The Framework’s five
Core Functions: Identify, Protect, Detect, Respond, and Recover provide a method to understand, evaluate, and reduce
cyber risk. The USDOT had made it a priority to adopt and promote the use of the NIST Cybersecurity Framework within
the transportation sector. Resource: http://www.nist.gov/cyberframework/
• Integration – The USDOT ITS Joint Program Office (ITS JPO) and its modal partners conduct research, development, and
education activities on cybersecurity technical and policy mitigations. These efforts ensure that new technologies have
security as an inherent part of their design and operations, providing a more unified approach to vehicle, device, and
infrastructure security for the connected vehicle environment. Resource: https://its.dot.gov/factsheets/
cybersecurity.htm

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Exhibit 5: Port Service Improvements from V2X and Iot Communications

Service V2X and IoT Communications
Improvement Vehicle / Vehicle Vehicle / Infrastructure Vehicle / Device Vehicle / IoT IoT Platform
Safety and Avoid port-area collisions, goods movement accident losses, hazardous material releases.
Reliability Port equipment position Speed constraints, variant Downstream congestion, Trip timing or routing to Vehicle maintenance
and routing. road conditions, speed reduction warnings, avoid incidents, hazardous tracking, inspection
construction areas, queue signal conditions, rail crossing material conditions, tracking and reporting,
conditions, congestion, condition, truck trailer basic expected rail movements driver / vehicle
weights in motion. safety message. and road blockages. qualifications.
Resilience Mitigate the impact of disruptive events, such as extreme weather or geological events.
Engine conditions / Road, rail, tunnel, and Freezing / icing, stream Rerouting directions, Impact predictions,
flooding, mass vehicular bridge closures; route conditions, power grid evacuation warnings, loss- weather paths, flood
stalls, emergency vehicle damage; route reversals / conditions, signal system of-service messages, surge modeling, seismic
movements / warnings, alternatives. disruption. emergency transport damage mapping.
utility vehicle proximity. protocols.
Cargo Improve the reliability and timeliness of cargo transport, and improve the responsiveness of service providers.
Visibility, Peloton / convoy, multi- Weights and weight Vehicle characteristics, Route recalculation, Congestion tracking and
Reliability shipment manifest limitations, construction shipment location, transport scheduled route projection, route
coordination, trailer areas, operational unit location and condition, interruptions, vehicle / balancing and load
size/configuration. conditions that increase geofencing, net velocity, driver signal synchronization, sharing, dynamic
delays, truck parking safety conditions, truck parking variable priority proactive route
tracking. info. management system movements, TPIMS optimization, TPIMS
(TPIMS) availability. synchronization. optimization.
Vehicle Reduce travel time, reduce queuing and idling, maintain network fluidity, and improve transport workforce efficiency.
Efficiency and Peloton coordination, Signal pattern reporting, Signal coordination conditions, Queueing information, Dynamic modeling of
Mobility driver load splitting, speed monitoring, speed enforcement, geofenced congestion reporting, transport space,
driver team condition / geofence population population management, priority path use, dynamic movement optimization,
coordination. tracking, dedicated lane / dedicated lane / route tolling, congestion pricing. congestion avoidance.
route indication. utilization.
Gate Reduce queuing, improve accuracy, avoid transaction failure, gate transaction speed, extend hours, and optimize labor.
Efficiency Multi-unit manifest Transaction-driven Vehicle / equipment ID OCR, Automatic transactions, off- Align “pull” transactions
coordination, team-wide directional signage, RFID, LPR; dynamic tare + fuel terminal pre-processing, to terminal resource
transport monitoring and queue entry/exit for weighing; digital hazmat shift from “push” to “pull” availability, paperless
coordination. recording, queue-driven placard; digital seal; dead processing, dynamic vehicle liability controls,
signal controls. vehicle in queue; reefer prioritization. paperless manifest,
temperature / condition. transactions.
Terminal Yard Improve density and velocity, improve cargo handling equipment deployment, reduce cargo rehandling, reduce congestion.
Efficiency Equipment queue Area closures, area Mobile data terminal Dray-off yard areas for pre- Equipment assignment
management, report restrictions, dynamic integration, geofenced density lodged transactions, optimization, awareness
truck wait times, routing signage. reporting, proximity to dynamic intra-terminal of upcoming moves to
eliminate over-stows of assigned equipment or route management, internal avoid over-stows, remote
moves in the queue. location. queue management. control operations.
Port Efficiency Improve the efficiency of total port visit, balance load between resources, respond to congestion events.
Train positioning and Equipment pool Bridge deck weight sensors, Equipment inventories and Port wide chassis
routing, vessel-lift bridge conditions, port-wide rail crossing equipment, lift- demands, storage management, empty
coordination. routing, terminal bridge conditions, berth inventories, space available, management, rail car
populations, rail crossing utilization, rail yard utilization. transactions cleared for management, train
closures, train locations pickup, double-cycle scheduling and vehicle
and movements. opportunities. move timing.

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ITS APPLICATIONS Exhibit 6: Levels of Vehicle Autonomy

A range of ITS applications are under development
or have been developed and implemented to
enhance the movement of freight within the PATN
and in the surrounding region.

Local/Regional
Platooning Systems: Platooning systems link
vehicles in a convoy using connectivity technology
and automated driving systems. Linked vehicles
follow each other closely with the vehicle at the
front of the platoon acting as its leader.
Vehicles behind the leader automatically react
and adapt to changes in the lead truck’s
Source: SAE and NHTSA
movement. This technology can be used at ports
to improve traffic flows by consolidating vehicles
Route Guidance: Navigation applications can
heading to the same destinations. Resource:
identify the fastest path through the roadway
https://www.itsknowledgeresources.its.dot.gov/its/bcllu
network. If combined with terminal turn time
pdate/TruckPlatooning/
reporting, a trucker could identify the optimal
timing and route to their destination.

Port-Specific
Intelligent Recognition and Imaging Software (IRIS):
IRIS uses OCR and RFID to recognize and track
containers, trains, trucks, and license plates
through terminals and ports. IRIS is based on a
neural network image processing algorithm that
allows it to extract the relevant information from
an asset, typically a container. Information that the
Source: USDOT
system picks up includes container ID, ISO type,
Connected, Automated and Autonomous Vehicles: and size code. IRIS data is used to compile a library
Incorporate connectivity and/or automation to of traits and subsequently to extrapolate the
allow vehicles to operate in some or all aspects systems recognition ability. Resource:
without human assistance. The Society of http://iris.dot.state.mn.us/admin_guide.html
Automotive Engineers (SAE) International
Standard and National Highway Traffic Safety Equipment Tracking System (ETS): An ETS keeps track
Administration (NHTSA) defines five levels of of handling equipment thereby allowing more
automation for CAVs as depicted in Exhibit 6. efficient deployment in response to competing
demands. ETS can be comprised of DGPS, RFID,
CAVs can provide a path for ports to further inertial and Bluetooth tracking systems. At port
explore automated terminal equipment and terminals, ETSs are used to track the movement of
autonomous freight delivery. Resources: cargo handling equipment such as straddle carriers,
https://www.its.dot.gov/automated_vehicle/index.htm
gantry cranes, lift trucks, etc. Resource:
and https://www.nhtsa.gov/ technology- https://ops.fhwa.dot.gov/freight/intermodal
innovation/automated-vehicles-safety
/freight_tech_story/sectiontwo.htm

8
 Port Planning & Investment Toolkit
ITS Projects Module
INTRODUCTION

Terminal Operating System (TOS): A TOS manages the WIM and LPR to process information for cargo
movement, processing and storage of cargo in and arrival and departure. GOS has helped convert
around a terminal or port, along with all the data tedious and time consuming manual procedures
required to satisfy all commercial, business, and into efficient and accurate automated and paperless
regulatory requirements. A TOS typically includes a gate processes.
large database management system (DBMS) and
Terminal Status Reporting: Terminals may offer data
integrates data flows with other technologies such
portals that report the condition of their facilities.
as RFID, OCR, GPS, DGPS, WIM, etc.
These reports may include empty container
Gate Operating System (GOS): A GOS is designed to availability, chassis availability, terminal area
manage the movement and processing of cargo closures, expected service changes, special security
through a port’s terminal gate. A GOS interfaces requirements, and truck cycle times.
with multiple technologies such as OCRs, RFID,
Gate Queue Reporting: Using technologies such as
geo-fencing and automatic truck position reporting,
Port of Halifax Terminal Gate Metrics Module
business applications track and report truck
The Port of Halifax’s Terminal Gate Metrics module provides vital populations in gate queues through smartphone
information on the fluidity of truck gates at the facility by providing applications that estimate wait times. Resource:
current and historic information on gate wait time, and truck service https://www.nap.edu/read/14536/chapter/7#52
time. The Port makes this data publicly available and in doing so can
Truck Appointment Systems: An appointment system
reduce congestion and greenhouse gas emissions.
allows cargo owners and trucking companies to
The Port gathers its data from the Halifax Harbor Bridges MacPass make appointments to carry out marine terminal
electronic tolling system. Most vehicles in the area have MacPass transactions within given time windows. This allows
transponders that are detected by the Port’s MacPass readers as drayage firms to make efficient dispatching plans
vehicles pass various checkpoints. Checkpoints are placed at terminal and lets marine terminals control workloads. Also
inbound and outbound gates, and certain upstream locations to create known as a Truck Reservation System (TRS). The
a holistic picture of vehicle movement. This data is subsequently Port of Virginia’s TRS at its Norfolk International
analyzed to determine gate wait time, and truck service time. Terminal and Virginia International Gateway has
improved productivity at the facilities by reducing
The data gathered from the Port’s readers present a representative
truck turn times up to 32 percent. Resource:
sample of trucks entering and exiting its marine container terminals.
https://www.nap.edu/ read/14536/chapter/7#50
The data is color coded and presented in an understandable way.
Street Exchange Systems: In a street exchange
system, empty containers are transferred directly
from the importer’s trucker to an exporter’s trucker.
This is generally carried out through secure internet
applications that integrate data and document
commercial and liability transfer between liners,
BCOs, and drayage operators.
Automated Work Flow: Automated work flow is
currently used with EDI. At ports, automated work
flow data models can be used to streamline inbound
and outbound cargo processing. Automated work
flow is also applied in automated gates to support
faster transactions.
Source: Port of Halifax

9
Port Planning & Investment Toolkit
ITS Projects Module
INTRODUCTION

Combination
Geo-fencing: A geo-fence is a virtual geographic Port of New York/New Jersey (NY/NJ) Terminal Information Portal
boundary that is created around a facility or area System (TIPS)
using GPS or other tracking technology. The geo- Launched in September 2015, the Port of NY/NJ TIPS is a single
fence can track, record, and trigger a reaction consolidated web portal that compiles information from all six container
when mobile devices, such as RFID tags or terminals and makes the data available to qualified users in real-time
Bluetooth antennas, cross the boundary. Geo- over the Internet. The system presents Port and terminal related
fencing has several applications at port facilities, information, container availability, booking status, vessel schedules, and
including determining truck turn times, gate or empty container return locations.
street queue populations and monitoring truck
traffic within specific boundaries of the PATN. The Port’s TIPS is a part of its broader Port Community System, which
Resource: http://www.dot.ca.gov/ integrates a range of operational information and customer support into
newtech/researchreports/reports/2015/CA16- its platform. The system has the following functions:
2815_FinalReport.pdf • Make information, e.g. booking inquiries and vessel schedules,
readily available to stakeholders;
Freight Signal Priority: Signals at arterial road • Centralize the storage and dissemination of terminal information;
intersections and exit gates can be timed to • Create ‘watchlists’ of containers regardless of what terminal they
control flow through the port and into gates, are being handled at;
channeling queues and preventing blockages at • Notify stakeholders of container or booking status changes; and
signalized intersections. In some ports, FSP • Meter truck arrival rates while keeping resources for all stakeholders
systems, combined with dedicated routing lanes, operating at maximum levels.
help channel truck flow and avoid adverse mixing
with non-port traffic. Also known as Freight
The Port of Los Angeles (POLA) and GE Transportation have
Vehicle Priority. Resource: https://www.its.dot.
deployed a PCS, known as “Port Optimizer”, which uses cloud-
gov/infographs/eco_freight_signal.htm
based technology to provide system wide information.
Rail Yard Integration: Rail crossing controls can be
Freight Advanced Traveler Information System (FRATIS): FRATIS is
integrated with roadway signals and port-wide
a bundle of connected vehicle applications that provides
monitoring systems to provide smoother
freight-specific dynamic travel planning and performance
movement of trucks and trains across the port’s
information. FRATIS provides users with real-time data on
transportation networks. Rail operations
congestion, travel times, and incidents along freight routes
management can be integrated with maritime and
and at freight facilities, which allows vehicles to be optimally
truck operations to allow intelligent scheduling of
and dynamically routed. Refer to Section 0 for further details
rail, truck, gate, and terminal resources.
on the POLA and Port of Long Beach (POLB) initiative.
Port Community System (PCS): Some ports have Resource: https://www.its.dot.gov/research
deployed applications that bring together all port, _archives/dma/bundle/fratis_plan.htm
liner, drayage, BCO, terminal operator, and ITS
streams. These portals are a central web site that Traveler Information Reporting: Existing ITS systems report
helps users determine cargo availability and export traffic, weather and parking conditions through mobile
booking status, and obtain information on devices, in-vehicle systems, online services such as 511 and
terminal-specific operations, vessel schedules, and roadway infrastructure such as dynamic message signs
container locations. It also helps trucks by (DMS). These applications can report traveler conditions
providing information regarding chassis and empty along with information integrated from terminal status
container availability. The Port of New York and reporting and gate queue reporting applications. Resource:
New Jersey has deployed a “Terminal Information https://ops.fhwa.dot.gov/publications/fhwahop14023/execsumm.ht
Portal System” (TIPS) as part of its PCS (see inset). m

10
 Port Planning & Investment Toolkit
ITS Projects Module
INTRODUCTION

Exhibit 7: Systems Engineering “V-Diagram” The project definition process

described in this module aligns
with the Decomposition and
Definition task in the SE process.
These early steps in the “V”
diagram define the project scope
and determine the feasibility and
acceptability as well as the costs and
benefits of the project. The latter steps
support project implementation, which
is briefly reviewed in this module. The SE
approach then transitions into operations
and maintenance, changes and upgrades,
and ultimate retirement or replacement of the
system.
The USDOT recognizes the benefits of applying
Systems Engineering
the SE approach to the planning and development
Systems Engineering (SE) is an interdisciplinary
of ITS. Accordingly, an SE analysis is required for
approach that enables the realization of successful
all ITS projects using Federal funds per the Final
systems development, including ITS. SE focuses on
Rule/Policy on Architecture and Standards
defining user needs and required functionality early
Conformity 4. The ITS Architecture
in the development cycle, documenting
Implementation Program identifies seven
requirements, then proceeding with design synthesis
minimum SE practices that must be included in
and system validation while considering the
the project, as shown in Exhibit 8.
complete problem. 3 Exhibit 7 provides a graphical
representation of a systems development lifecycle Although the processes described in the module
and outlines the steps involved in the decomposition support the Final Rule/Policy, this module does
and definition, and document and approval lifecycle not provide formal guidance on meeting the SE
processes. The SE approach defines project requirements in FHWA Rule 940 and the FTA
requirements before technology choices are made National ITS Architecture Policy. Compliance with
and the system is implemented. the Rule/Policy is established by each FHWA
Division and FTA Regional Office. Contact your
Exhibit 8: Rule/Policy SE Requirements federal representative for the specific
requirements in your state. Several states have
established checklists that prompt project
sponsors to consider the SE analysis requirements
as part of the project definition process. For more
information about SE for ITS, refer to
https://ops.fhwa.dot.gov/int_its_deployment/
sys_eng.htm and https://ops.fhwa.dot.gov/
publications/seitsguide/seguide.pdf.

3 https://ops.fhwa.dot.gov/publications/seitsguide/section3.htm out using funds from the Highway Trust Fund conform to the National
4In early 2001, the Final Rule on ITS Architecture and Standards ITS Architecture and applicable ITS standards. This will be accomplished
Conformity (Final Rule) and the Final Policy on Architecture and through the development of regional ITS architectures and using a SE
Standards Conformity (Final Policy) were enacted by the FHWA and FTA process for ITS project development.
respectively. The Final Rule/Final Policy ensures that ITS projects carried

11
Port Planning & Investment Toolkit
ITS Projects Module
INTRODUCTION

ITS Architecture
Integration Developing a Regional ITS Architecture
A regional ITS architecture
Developing a regional ITS architecture helps to create a shared vision for ITS implementation
supports the initial
among port stakeholders and advance regional transportation improvement programs and
identification and scoping of
long-range transportation plans by defining goals and planning operations for regional ITS
an ITS project based on
programs. Any region implementing ITS technologies is required to develop a regional ITS
regional needs. The gap
architecture if it is using Federal funds.
between the regional
architecture(s) step and the Ports should be an active participant in the development of regional ITS architectures to
other steps shown in Exhibit ensure that your needs, goals and objectives as they relate to ITS initiatives are addressed.
7 signifies that the regional Although a regional architecture may not include all subsystems or services within the
architecture is a broader National ITS Architecture, it should use the National ITS Architecture as a template for those
product of the planning programs and services it does include.
process that covers all ITS To help guide the development of regional ITS architectures, the USDOT has sponsored the
projects in the region. While development of the National ITS Reference Architecture, also known as the “Architecture
it is important to ensure ITS Reference for Cooperative and Intelligent Transportation” (ARC-IT). As shown in Exhibit 9,
projects are considered in ARC-IT provides a common framework for planning, defining, and integrating ITS. It was
the regional context, this designed as a reference architecture for planners and engineers with differing concerns to
module primarily focuses on conceive, design and implement systems using a common language as a basis for delivering
the efforts identified in the ITS. ARC-IT does not mandate any implementation.
SE approach “V” processes
that apply to specific ITS Whereas ARC-IT guides ITS programs at the national level and addresses all subsystems,
projects. technologies, and standards, regional ITS architectures are developed to:

Refer to the regional ITS • meet the specific needs of a region,

architecture, typically • define program goals,
managed by the MPO, or the • define a Concept of Operations (ConOps),
applicable portions of the • develop institutional agreements, and
ARC-IT [National ITS • focus on technical integration of ITS systems within the region.
Reference Architecture] to Exhibit 9: ARC-IT
Regional ITS
facilitate the integration and
architectures are
coordination of compatible
developed for regional
ITS initiatives across a
deployments through the
region, including those that
participation of regional
involve port operations. The
stakeholders, including
regional ITS architecture
port authorities, highway
helps to ensure that related
and transit agencies,
ITS projects are
public safety agencies,
implemented more
motor carrier
efficiently and travelers
organizations, and other
experience seamless
public transportation
transportation services as
facility owners and
they travel across multiple
managers.
jurisdictions. 5

5 https://ops.fhwa.dot.gov/publications/fhwahop12001/exec_sum.htm

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 Port Planning & Investment Toolkit
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PLANNING

Planning
Ports facilitate the movement of freight Exhibit 10: Example Mission Statement
between different modes, and the improvement
of connections between modes needs to be ITS Mission
addressed when planning for ITS development and • Provide the highest quality and most
deployment. Opportunities to implement ITS efficient intermodal freight services for
solutions should be considered as early as possible, economic prosperity
in both the more comprehensive strategic • Operate and manage an optimized,
planning process and during the planning phase of integrated transportation network by
project definition. delivering high quality services for
The following section presents the primary efforts efficient and reliable movement of
involved in initiating and quantifying a potential freight
port project and forming project alternatives. This • Provide high quality, adaptive, and
approach can be refined and customized to integrated freight mobility technology
accommodate project specific requirements solutions that meet the needs of all
necessary to identify ITS solutions that are users
practical and viable.
Goals and objectives serve as a path for achieving
1.1 Initiate the overall mission and vision for ITS deployments.
The project goals and objectives become the basis
The initiate stage involves developing a thorough
of the evaluation criteria in the Feasibility effort.
understanding of the goals and objectives and
Revisit project goals and objectives periodically to
information guiding the effort, as well as
ensure the intent of the project definition process
stakeholder perspectives that may affect the
and strategies correspond with the mission and
specifics of a potential project’s direction.
vision in view of evolving priorities.
1.1.1 Project Goals & Objectives ITS goals and objectives are centered on enhancing
Defining the mission and vision are critical guiding the safety, security, mobility, and environmental
principles that provide focus in the ITS planning impact of transportation systems in and around the
process. It is likely that the goals and objectives port community. Exhibit 11 provides example goals
may evolve and be revised over time as progress is as they relate to port ITS applications in integrated
made, but the mission and vision are likely to corridor management (ICM) initiatives. 6
remain constant. The ITS mission and vision
The most critical factor in defining the mission,
should describe what stakeholders can expect to
vision, goals and objectives is active engagement
see in the future. Include easy to read descriptions
of stakeholders that will be impacted by or oversee
and infographics that address the needs of each of
the deployment and operation of ITS.
the major stakeholders. Exhibit 10 provides an
example of a Port mission statement as it pertains
to ITS programs.

6 Leidos, and American Transportation Research Institute. Integrated

Corridor Management and Freight Opportunities. USDOT – Federal
Highway Administration. December 2015. Pp.13

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Port Planning & Investment Toolkit
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PLANNING

Exhibit 11: Port ITS Goals Related to ICM

Goals Importance to Ports
Facilitate On-Time Pick-Ups • Contracts for freight services often include very specific time windows for pick-ups and deliveries.
and Deliveries • Commercial drivers are regulated by Federal hours-of-service rules which limit the hours each day that
drivers can be on-duty and driving, and any delays in a driver's schedule can impact their availability to
work later in the day or week.
Improve Travel Reliability • Reliable travel times allow ports to accurately manage loads and equipment, schedule pick-up and
delivery times and plan for mandated driver rest breaks.
Reduce Fuel Consumption • Medium- and heavy-duty trucks account for 22 percent of transportation-related Greenhouse Gas (GHG)
emissions, which equates to roughly 6 percent of total U.S. GHG emissions.3
• Idling trucks can consume anywhere from 1/2 to 1 gallon per hour.2
Reduce Non-Revenue • The trucking industry faces a significant driver shortage. The driver shortage is pushing driver wages
Generating Labor Hours and higher, making the non-revenue-generating labor hours that drivers spend stuck in traffic costlier.
Vehicle Maintenance Costs • The highest industry costs per mile for vehicle repair and maintenance are experienced by less-than-
truckload carriers whose operations are often focused on pick-up and delivery in congested urban areas.
Increase Safety • Research that compared crash involvement rates for medium-duty (10,001 - 26,000 lbs.) and heavy-duty
(26,001 lbs. and greater) trucks found the highest crash rate index for medium-duty trucks in the central
counties of metropolitan areas with populations over 1 million.
Source: Integrated Corridor Management and Freight Opportunities, https://ops.fhwa.dot.gov/publications/fhwahop15018/index.htm

1.1.2 Data Collection

Identifying the optimal ITS solution requires an At this point, hold off on identifying possible
understanding of the existing conditions. Conduct solutions as technologies often advance during the
extensive data collection to ensure that decision project definition process. Apply the SE approach,
makers have sufficient information about port and which focuses on fully defining the problem,
local/regional transportation performance, identifying user needs and documenting
operations, and community priorities. requirements prior to forming alternatives.

Exhibit 12: Sample Types of Project Data

Strategic Infrastructure Operational System Performance Financial

Regional ITS ITS Infrastructure Inventory ITS Field Devices and Historical and Forecasted Port and Congestion Costs
Architectures Equipment Inventory Inland Transport Carrier Volumes
Port Planning Documents Site Boundaries and Truck and Rail Carrier Historical and Forecasted Traffic Lifecycle Costs
Adjacencies Schedules and Operational Forecasts on Identified ITS
Patterns Corridor(s) (Freight Movement on
Interstate)
MPO Transportation Maps and Aerials of Existing Port Facilities Operating Port Performance Statistics (Truck Financial Assistance
Plans and TIP Sites, Facilities and Schedules, Requirements and Rail Turn Times, Gate Requirements
Infrastructure and Patterns Processing)
Statewide Transportation Truck and Rail Access in PATN, Terminal Equipment Mobility Statistics (Travel Speeds, Contracting
Improvement Program Inland Rail and Highway and Deployment Patterns Delay Times, Levels of Service) Requirements
Documents Arterial Networks
State/Local Freight Plans Local Designated Truck Routes Transaction and Resource Reliability Statistics (Travel-Time Tariffs, Tolls and Other
and Weight Limits Supply Data Index, Planning-Time Index) Transportation Fees
Land Use Studies Environmental Site Labor Deployment Rules Safety Statistics (Accidents, Historical Transportation
Assessment Reports Fatalities, Injuries, Locations and Infrastructure Capital
Contributing Factors) Costs

14
 Port Planning & Investment Toolkit
ITS Projects Module
PLANNING

Exhibit 12 provides a sample categorized list of 1.1.3 Stakeholder Engagement

data that could be needed for port ITS projects. The success of any ITS planning effort is facilitated
Some of the data may be useful in presenting a by the successful engagement and involvement of
case for the proposed project to stakeholders, all stakeholders that will be impacted by the
supporting efforts to obtain federal funding, deployment and operation of the given systems.
and/or developing alternatives. This data may be Stakeholder input is crucial in defining the key
readily available from port and other local/regional goals, performance measures, and user needs for
agency staff, project stakeholders, or from each ITS application. In the context of the port this
secondary sources such as publications. The data includes all entities that are responsible for the
collection effort presents an opportunity for safe, secure and efficient movement of goods and
multiple organizations to merge some, or all, their people.
operations data, providing for a more thorough
Exhibit 13 shows the complex network of
understanding of ITS system impacts on the port
interaction between major project elements and
and surrounding region.
stakeholders in the typical port. Stakeholders are
grouped into government agencies, private
Exhibit 13: ITS Project Elements and Related Stakeholders

Government Entities Commercial Entities Individuals

Warehouse / DC Operator
Customs & Border Patrol

Support Service Provider

Beneficial Cargo Owner

Port Terminal Operator
Rail Terminal Operator

Chassis Pool Operator

Host City Government

Legend
Air Quality Regulator

Rail Operating Labor

Rail Class I Operator
Permitting Authority

Rail Switching Entity

Residents / Workers
Trucking Company
No Interaction

Longshore Labor
Utility Company
Port Authority

1 1 1 Modest Interaction

Truck Drivers
Vessel Liner

2 2 2 Strong Interaction
State DOT
MPO

Terminal Equipment 1 2 1 1 2 2 1 2 2 2 1
Storage Yard Layout 2 1 1 2 1 2 1 2 2
Gate 2 2 1 2 2 2 2 2 2 2 2
Terminal

Rail Working Yard 2 1 1 2 2 2 2 2 2

Rail Storage Yard 2 1 1 2 2 2 2 1
Telecomm Network 1 1 1 2 1 1 1 1 2 2 1 2 1 1 1
Operating Systems 1 1 2 1 1 2 2 2 2 1 2
Road Network 2 1 2 2 2 1 1 2 1 2 2 1 1 1 2 1
Rail Network 2 1 1 1 2 1 2 1 2 2 1 1 1
Port Area

Access Roads 2 1 2 2 2 1 1 2 1 2 2 1 1 1 2 2
Rail Working Yard 2 1 1 2 2 2 1 1
Rail Storage Yard 2 1 1 2 2 2 1
Road Network 1 1 1 1 1 1 2 1 1 2 1 2 2
Rail Network
Region

2 1 1 2 2 1 2
Highways 1 1 1 1 2 1 2 1 2 2
Distribution Centers 2 1 2 2 2 2 2 1

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Port Planning & Investment Toolkit
ITS Project Module
PLANNING

enterprise, and individuals. Project elements are equipment to receive or deliver the cargo. The
grouped geographically: the terminal, the PATN, port authority has a role in gate and storage yard
and the region in which the port is located. Dark- design. U.S. Customs and Border Patrol has a
colored boxes represent strong interaction; light- strong role in the functioning of the gate, as it
colored boxes represent modest interaction. represents a bonded customs and transportation
security boundary. The vessel liner is the terminal
The primary actors on the port’s road and rail
operator’s primary customer, driving virtually all
system include trucking companies, rail Class I
commercial decisions.
operators, rail switching entities under “Private
Enterprise”, and truck drivers under “Individuals”. Active engagement with these stakeholders
These stakeholders’ and users’ needs will be provides the opportunity for them to contribute
central in preparing for any ITS deployment. throughout the scoping, planning and
Under Project Elements, the terminal’s gate and development process. This includes contributing
rail yards, telecommunications network, and to the ITS mission, vision, goals and objectives; the
operating systems may be impacted by ITS, and identification of user needs; and the review and
the PATN will be the physical home of most ITS concurrence on outputs of the planning process at
infrastructure. The figure highlights where the critical decision points. Stakeholder engagement is
interests of the key ITS actors intersect with these also intended to provide visibility into the process,
project elements, and how these Project Elements sustain participation in necessary data exchange,
are influenced by other stakeholders. and foster ownership of the outcomes.
Engagement of stakeholders in this process may
The PATN can come under the influence of the
be facilitated through a range of activities,
port authority, air quality regulators, permitting
including:
authorities, MPOs, the host city’s government, and
state Departments of Transportation (DOTs). • Surveys – Engage stakeholders with surveys
These landside transportation project elements that use focused questions to identify user
are also influenced by a range of private sector needs and challenges, background on their
entities, including vessel lines, terminal operators, operational roles and responsibilities, and
warehouses, trucking and rail companies, chassis their mission and vision for ITS deployments.
pool operators, support service providers, utility A range of online tools can easily be used to
companies, and, of course, BCOs, who generate support the survey process.
truck and rail movement demands. • One-on-One Meetings – Organize one-on-one
meetings between a cross-section of port
The separation between truck drivers and trucking
stakeholders to better understand each
companies is deliberate and essential commercial
participants vision of successful ITS
reality with far-ranging impacts. Most truck
deployments, potential risks and
drivers are independent owner operators working
opportunities, focus areas for moving forward,
under short- or long-term contracts with one or
and roles and responsibilities.
multiple trucking companies.
• Workshops – Provide an ideal opportunity to
The terminal operator has the strongest influence review and discuss draft vision, goals and
over the working of the terminal elements. The objectives derived through the stakeholder
truck driver must interface with the terminal engagement process. They further provide an
operator’s operating systems to process opportunity to gain feedback and formalize a
transactions, with the gate system to enter or shared vision that will help facilitate the
leave, with the storage yard layout to get to the planning and deployment of ITS.
right storage spot, and with the terminal

16
 Port Planning & Investment Toolkit
ITS Projects Module
PLANNING

Formalize the stakeholder engagement process in facilitate the deployment of transportation

a plan that provides specific guidance through the technologies include:
initial stages of the planning activities, but also • Accelerating communications infrastructure
outlines stakeholder’s engagement activities that deployment – This could include fiber optic
need to be sustained throughout future resource sharing agreements with private
development efforts. The plan should be designed companies that allow installation of conduit
to facilitate discussion among stakeholders while and/or fiber optic cable right-of-way in
fostering collaboration and understanding that exchange for the use of company-owned
actively involves all impacted stakeholders in a infrastructure in areas where the state does
timely manner, allowing for sufficient opportunity not have broadband infrastructure. With this
to voice needs, opinions and concerns. type of arrangement, the private sector is
granted access to Interstate and primary road
Partnering right of way to deploy a commercial fiber optic
Engage private sector entities as partners in the network. In exchange, the transportation
ITS planning process to ensure that resulting plans service provider receives telecommunications
meet the needs of shippers and merchants and are services necessary to support backhaul
consistent with supplier’s capabilities. The communications for transportation
consumers should participate so that the plans technologies. 8
meet their mobility needs. 7 Involving private • Traffic signal data sharing – Companies are
enterprise in port-ITS planning activities presents beginning to seek traffic signal data from
opportunities for funding. Examples of public agencies for purposes of resale and/or
partnerships with private entities that have helped utilization in an application meant for public
consumption. One common approach is to
Intelligent Transportation Society of America “extract” signal data from a central advanced
traffic management software (ATMS)
The Intelligent Transportation Society of America (ITS America) platform most commonly provided by signal
advances the research and deployment of intelligent system vendors. Once extracted the data is
transportation technologies to save lives, improve mobility, transmitted over the internet to secure servers
promote sustainability, and increase efficiency and productivity. at one of the company locations where they
The association convenes leaders from public agencies, private can manipulate the data as needed.
companies, academia, and research organizations to create an • Piloting new technologies – Developers of
environment that fosters innovation; promotes a legislative and advanced technologies sometimes enter
regulatory environment that supports investments in and the partnerships with state and local jurisdictions
deployment of intelligent systems; and conducts research, to pilot emerging technologies. As an
educates stakeholders, and builds awareness of advancements in example, with this type of an arrangement a
smart transportation technologies. ITS America members are technology provider may provide a port owner
united around a shared vision of a better future transformed by with equipment to deploy on their fleets. This
intelligent mobility that is safer, greener, and smarter. provides the port with the functionality of the
technologies. This also allows the technology
ITS America works with ports and port authorities to demonstrate
provider with opportunity to assess the
how connected and automated technologies and other advance
operational performance and user acceptance
transportation technologies can help them operate more
of the equipment in a live operational
efficiently and safely. For more information, visit www.itsa.org.
environment.

7https://www.fhwa.dot.gov/publications/research/operations/its/98048/ 8 https://www.fhwa.dot.gov/policy/otps/workplan.cfm
interimhb.pdf

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Port Planning & Investment Toolkit
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PLANNING

1.2 Quantify Exhibit 14: Example ITS Inventory Elements

ITS provides the opportunity for ports to Element Item
enhance their existing capabilities to meet Technology • Communications infrastructure
future transportation needs with minimal • Freight traceability and security systems
infrastructure investment. Quantify the port’s • Facility access security systems
capabilities, drivers, and needs that led to the • Port logistics management systems
• Traveler information systems
identification of the potential ITS project.
Capabilities are derived from close examination Institutional • Organizational structure
• Operational policies
of the physical and operational aspects of each
• Operational constraints
element in the port’s existing conditions. Port • Funding sources
demands are derived from existing and Operational • Performance targets
forecasted traffic volumes, logistics and • Priority cargo and equipment
regulatory drivers. Project needs are derived by movements
• Systems integration
quantifying the gap between capabilities and
• Security protocols
drivers.
Cross-Sectional • Port ITS System Architecture

1.2.1 Existing Conditions surface, but rather examines the root causes to
Prepare an inventory of existing and planned ITS help derive the optimal ITS solution. Exhibit 15
infrastructure and other technologies to identify provides an example of grouping of port
current conditions, resources available for regional operational challenges and user needs.
integration, and constraints and opportunities for
sharing of information with local and regional 1.3 Form
partners. Determine existing operational
Once the existing conditions, project drivers and
conditions along the PATN and the regional
needs have been identified, generate a range of
transportation network as they relate to safety,
practical, effective project alternatives and
mobility, and reliability. This inventory also
strategies that will fulfill the project goals and
provides a baseline to gauge existing conditions
objectives. In forming project alternatives, provide
against identified user needs.
sufficient detail to facilitate the measurement of
Exhibit 14 provides an example of ITS-related impacts and performance of each alternative later
elements that may be included in the inventory in the project definition process. In many cases,
process. The inventory process is best facilitated the outcome of the Feasibility analysis will feed
through an interview process with port and back into this Form stage, leading to iterative
terminal staff, DOTs, rail operators and other adjustments and refinements to the alternatives.
operational stakeholders.
Exhibit 15: Analysis and Building of Needs
Potential
1.2.2 Project Drivers and Needs User Need Underlying Cause
ITS Solution
Identification and documentation of needs is
• Traffic signals owned and operated by
derived from active engagement of stakeholders Improve travel time
multiple jurisdictions
and is intended to identify the port’s operational reliability in FSP
• Outdated timing plans
accessing port
challenges, their impacts on carriers serving the • Outdated controller and equipment
port and the traveling public, and potential Reduce queueing at • Limited ability to manage truck flow at
strategies to overcome them. This process needs TRS
port entrance port
to be structured in a manner so that it does not
Mitigate truck • Limited ability to manage truck routing
just look at the operational challenges at the ELDs and
infringement on • Zoning ordinances vary by jurisdiction
geofence
residential roads • Inadequate information for truckers

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 Port Planning & Investment Toolkit
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The goal of this process is to identify a small 1.3.2 Refinement of Reasonable Alternatives
number of reasonable plan alternatives for Refining ITS alternatives identified in the
feasibility assessment. exploration of concepts to a point where they are
ready to move forward to the design phase is
1.3.1 Alternatives Development and Analysis primarily accomplished in the development of the
The development of alternative ITS strategies Concept of Operations (ConOps), and the
provides the opportunity to connect operational definition of requirements.
needs to the most viable ITS solution. ITS
alternatives should be documented as one- or two- Concept of Operations
page briefs so that they are available for future Develop or update a ConOps that provides an
funding alternatives, including grants. ITS overview of the proposed project or system from
alternatives might include the following: the viewpoint of the user. The ConOps is part of
• Project description; the overall SE process and details:
• Relation to the ITS mission and vision; • Goals and objectives of the project or system
• System goals and objectives; to be deployed;
• System requirements; • Current system or situation;
• Data storage, generation and sharing • Project or system to be deployed;
activities; • Desired changes;
• Earliest potential start date; • Justification for changes;
• Estimated duration of project development • Proposed devices and system components;
activities; • Institutional environment;
• Capital funding requirements; • Modes of operation;
• Lifecycle operational costs; • Operational policies and constraints;
• Operational challenges to be addressed; • Roles, responsibilities, and relationship of the
• Anticipated benefits; various stakeholders;
• Potential risks; • Control and management protocols;
• Impacts on the organizations; • Operational environment;
• Interactions with other systems; • Support environment;
• Requirements and impacts on regional • High-level requirements.
partners; and
• Operational responsibilities. Defining a shared set of expectations is essential
when planning, designing, or deploying an ITS
Review and assess each proposed project project. The ConOps supports the development and
alternative with all team members and identify documentation of these expectations to serve as the
any alternatives that do not sufficiently align with foundation for the project. The current International
the project goals and objectives and/or could Standard for Systems and Software Engineering -- Life
potentially generate unacceptable impacts. Cycle Management contains provisions for developing
During this process, alternatives can be revised or a ConOps document. The following resources
new alternatives can be identified that provide a provide a starting point as well as fundamental
better balance of performance capabilities and elements to include in a comprehensive ConOps:
impacts. • ITS JPO Professional Capacity Building Program, ITS
Incorporate stakeholder feedback and ideas ePrimer, Module 2: Systems Engineering, Concept of
where it is feasible and document all the Operations
engagement efforts that take place.

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Port Planning & Investment Toolkit
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• Developing and Using a ConOps in Transportation Engineering process as described in 23 CFR Part 940 –
Management Systems. (FHWA-HOP-07-001 - 2005) ITS Architecture and Standards (below) and
• Guide to the Preparation of Operational Concept presented in Exhibit 7. Guidance and resources for
Documents. (ANSI/AIAA G-043-2012). American designing and implementating ITS projects are
National Standards Institute, 1992. This draft available at FHWA’s ITS Architecture Implementation
report gives guidelines for creating a ConOps Program site.
document.
• Florida Department of Transportation (FDOT)
ConOps Guidance Document and Template
• Virginia Department of Transportation (VDOT) 23 CFR Part 940 – ITS Architecture and Standards
ConOps Guidance Document and Template Project implementation. (a) All ITS projects funded with highway trust
funds shall be based on a systems engineering analysis. (b) The analysis
Definition of Requirements
should be on a scale commensurate with the project scope. (c) The
The process of defining requirements entails systems engineering analysis shall include, at a minimum:
reviewing user needs identified during the
development of the ConOps, analyzing them and (1) Identification of portions of the regional ITS architecture being
transforming them into verifiable requirements implemented (or if a regional ITS architecture does not exist, the
that define what the system will do. Key inputs applicable portions of the National ITS Architecture);
into the definition of system requirements are: (2) Identification of participating agencies’ roles and responsibilities;
(3) Requirements definitions;
• ConOps that clearly articulates user needs; (4) Analysis of alternative system configurations and technology
• Functional requirements, interfaces with other options to meet requirements;
existing and planned systems, and applicable (5) Procurement options;
ITS standards; (6) Identification of applicable ITS standards and testing procedures;
• Applicable local, regional and statewide and
statutes, regulations, and policies; and (7) Procedures and resources necessary for operations.
• Constraints, which may include integration
with existing systems. (d) Upon completion of the regional ITS architecture, the final design
of all ITS projects funded with highway trust funds shall accommodate
Key activities in the requirements definition process the interface requirements and information exchanges as specified in
that move the overall concept closer to design are: the regional ITS architecture. ... (e) … Any major ITS project funded
with highway trust funds that advances to final design shall have a
• Identification and documentation of and
project level ITS architecture that is coordinated with the development
analysis of system requirements,
of the regional ITS architecture. … (f) All ITS projects funded with
• Validation and management of system
highway trust funds shall use applicable ITS standards and
requirements,
interoperability tests that have been officially adopted through
• Development of a system verification plan,
rulemaking by the DOT.
and
• Definition of a system acceptance plan. 9

Designing a port ITS project typically involves

preliminary engineering of infrastructure,
environmental analysis, permitting, and ITS software
and hardware design using a formal Systems

9 Iteris, Inc – National ITS Architecture Team. System Engineering for Pp. 33-39, Available online at https://local.iteris.com/arc-
Intelligent Transportation Systems. FHWA-HOP-07-069. January 2007. it/documents/seguide/seguide.pdf.

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 Port Planning & Investment Toolkit
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FEASIBILITY

Feasibility
Analyzing the feasibility of ITS alternatives offer clever innovations, but these ideas must be
should be initiated before project prioritization. subjected to robust feasibility analysis to avoid
Begin by assessing how all processes and deployment failure.
resources would be impacted by the proposed
A feasibility analysis on the deployment of ITS
applications. Evaluate the feasibility of ITS projects
infrastructure should:
to objectively determine whether a project should
be carried forward for further refinement, and • Assess how ITS alternatives interact with
consideration for selection and funding. stakeholders’ resource and demand balance.
• Quantify existing and proposed performance
2.1 Assess of these resources in terms of effort,
The feasibility assessment should consider a range timeliness, and reliability. For example, an ITS
of quantitative and qualitative factors including, project to improve access to the port’s
but not limited to: centralized chassis yard may impact truckers
and terminal operators differently depending
• Users’ needs; on their location within the port.
• Likely impacts on operational performance • Identify the current state of port and freight
(both positive and negative); transportation operational practices, of
• Port staffing requirements; commercial liability, of organized-labor
• Lifecyle costs; deployment, and of existing positions of
• Technical advantages and limitations; authority and responsibility for the specific
• Risks and security issues; area of concern.
• User acceptance; and • Determine whether any of these constraints
• Technical maturity and limitations of the will impact the operational efficiency or cost
proposed ITS. effectiveness of the ITS alternatives for the
port.
2.1.1 Operational Performance
The port industry is accustomed to gradual change 2.1.2 Human Factors
that enhances performance without major Two human resource issues that need to be
disruptions to operations. Even when addressed during the assessment of potential port
improvements to performance or efficiency are ITS projects are (1) the need for additional staff,
demonstrably clear, stakeholders often respond and (2) the staff training that will be required to
cautiously, recognizing the complexity, operate and maintain new systems. ITS provides
sophistication, and essential viability of the the opportunity to expand operational capabilities
existing system. of a port, but consideration must be given to
The cargo handling paradigm can, and must, whether these deployments will necessitate
continue to evolve, through careful integration of additional staff for routine operations and for
new tools and techniques that improve preventative and emergency maintenance of the
performance without degrading the excellence systems that are deployed.
that has already been achieved. Technology Further, it is important to understand that the
vendors from outside the maritime industry can deployment, operation, and maintenance of ITS

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may require skill sets that a port does not currently 2.1.4 Risks and Mitigations
possess. The port owner will need to make To understand how ITS can be successfully
investments in building the technical capacity of implemented in the port environment, it is useful
staff to not only ensure that the benefits of the to understand the potential risks and challenges
deployed systems are maximized, but to ensure that ITS applications might need to overcome.
they are properly maintained to maximize the
Responsibility and Authority: The movement of
lifecycle of the systems.
cargo to, from and within port terminals requires a
complex exchange of private and public agency
2.1.3 Impacts
authority and responsibility. There is usually no
There are a wide-range of institutional, social
commercial relationship between the terminal
(safety, mobility), environmental, and economic
operators and either the truck driver, the trucking
impacts that may result from the deployment and
company, or the BCO. The isolation between
operation of a port ITS project. ITS can provide
BCOs, who have the authority to schedule landside
benefits to an existing system that successfully
moves, terminal operators, who are responsible for
moves millions of containers and tons of cargo into
serving those moves, and truckers, who perform
and out of the nation’s ports each year. Potential
the moves, will need to be addressed to leverage
benefits for ports, terminal operators and freight
the interconnectivity of ITS.
transportation providers, include:
Random Demand: The terminal operator is
• Safety - Measured through changes in
frequently faced with random demands for
accident rates or other surrogate measures
landside transport from the truck driver or BCO.
such as equipment interchange conflicts, or
The BCO’s decision to deliver or retrieve cargo at
workers’ compensation claims.
the terminal is generally made without any
• Mobility - Measured in travel time or delay communication with the terminal operator, and
savings, as well as travel time savings, on-time with no understanding of the terminal’s current or
performance, and travel-time reliability. expected state or service capability. On occasion,
• Efficiency - Represented through increases in and sometimes with little warning, the terminal
capacity or level of service within the port and operator may need to constrain landside service to
terminal, as well as along existing road have capacity for waterside operational demand.
networks or freight rail systems. This variability in terminal landside behavior can
impact road/terminal ITS integration as truck
• Productivity – Measured in terms of cost movements in and out of the terminal are
savings to transportation providers, terminal restricted. The increasing use of blockchain
operators, or shippers. technology and digital platforms to connect port
• Energy and Environment - Typically users and better manage supply chains should
documented through fuel savings and reduced improve the visibility into landside cargo demand
pollutant emissions. in the future.
Problem Resolution: Most terminal gates have
FHWA research indicates that benefit-to-cost “trouble service” areas where truck drivers can be
ratios for EFM applications ranged from 1:1 to removed from the stream to resolve transaction
7:1. Higher ratios were projected for problems on their own time. Typically, trouble
companies with larger supply chains. services are neither centrally monitored nor
controlled, which can make them invisible to
potential ITS solutions. Problem resolution areas

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will need be taken into account during the the long history of labor relations on the
planning process for port ITS projects. waterfront, and are not easily changed.
Waterfront labor and their employer
Waterfront Labor: Terminal operators employ
representatives should be jointly consulted
trained stevedores to work ships and
during stakeholder engagement efforts to
longshoremen to handle cargo in the terminal
improve the viability or net effectiveness of ITS
yard and gate. In most major ports, these
projects.
workers are members of strong unions that
have negotiated rigorous contracts with Freight Security: One of the primary goals of
waterfront employers. These contracts reflect transporting cargo has always been maintaining
freight security: preventing damage, theft, or
pilfering. Container contents, and the logistics
Cyber Resiliency surrounding container movement, are closely
The first step in fostering cyber resiliency is to understand the protected data. An ITS information security
relationships and interdependencies of a port’s business program should be developed that provides
processes, networks, systems, and applications. This will help guidance to those who will oversee the acquisition,
inform what redundancies and preparations are required to installation, operation, and maintenance of ITS to
protect against a cyber-attack and enable a swifter recovery. ensure the ITS solution does not undermine freight
The following organizations have published guidance and/or security or confidentiality.
resources that will help ports facilitate cybersecurity and Transportation Security: Since September 11,
resiliency efforts. 2001, transportation security has been a major
The Coast Guard provides a variety of information and driver of changes to port operating practices. In
resources concerning maritime cybersecurity through USCG many ways, freight security and transportation
Homeport ‐ Cybersecurity. security are in conflict because container
secrecy reduces the odds of catching
The American Bureau of Shipping (ABS) has provided a series
contraband or weapons. Over the years, a
of Guidance Notes on Cybersecurity and resiliency matters for
modus vivendi has been worked out that meets
vessel, ports, and other shore-side facilities. ABS provides an
the needs of both freight and port security, and
approach to measuring cyber risk - the FCI Cyber Risk™
any new technologies or systems must work
equation, which can be found at ABS Maritime Cyber Security.
within the current security framework. Port ITS
The International Maritime Organization (IMO)’s Guidelines on projects aimed to improve efficiency by
Maritime Cyber Risk Management provides high-level improving transactional data visibility must take
recommendations on maritime cyber risk management to transportation security requirements into
safeguard shipping from current and emerging cyber threats account.
and vulnerabilities, which includes functional elements that
support effective cyber risk management. 2.2 Evaluate
The DHS US Computer Emergency Response Team (US-CERT) There are various techniques and criteria that can
and Industrial Control Systems Cyber Emergency Response be used to determine how the potential ITS
Team (ICS-CERT) both have additional resources posted on alternatives can be used by stakeholders to solve
their two websites concerning securing IT and operational the identified issues within the constraints.
technology (OT): US‐ CERT Resources, ICS‐ CERT Resources.
2.2.1 Project Evaluation Approach and
MARAD’s Office of Security coordinates within the federal Recommended Project(s)
government to issue US Maritime Alerts and US Maritime Although individual ports may have their own
Advisories, that may contain cyber elements. methodology for evaluating and recommending

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projects, there are general steps that may be taken The process of evaluating and recommending ITS
with regards to evaluating ITS projects: projects will be well-served by the establishment
and utilization of a technical review committee
• Screening – ITS projects should be screened to
that is responsible for providing input into the
determine their basic feasibility. Key factors
criteria used for evaluating projects, and reviewing
to be considered in the screening could
and concurring with the outcomes of the
include: user needs and functional
evaluation process.
requirements, user acceptance, consistency
with mission and vision, potential deployment
2.2.2 Project Prioritization
or operations challenges, and likelihood of
It is possible that a port owner may not have the
having available funding.
funding to deploy all the desired ITS solutions at
• Technical evaluation and ordering – This
one time. Therefore, it will be necessary to
process entails a qualitative and quantitative
prioritize projects based on the overall ITS vision.
assessment of projects against criteria related
Factors to be considered in the prioritization of
to the goals and objectives, and agreed to by
projects include:
stakeholders. Based on the assessment
projects would then be ordered per their • Urgency of need for the project – Is the project
score. Ideally high-priority projects will be replacing or supporting a critical system or
those that: function that is failing or near the end of its
o Address the operational needs of the port useful life?
and surrounding transportation network, • Benefit/cost (B/C) ratio of the project – What is
the expected B/C ratio of the project?
o Are the most technologically feasible,
• Sequencing as related to other projects – Is
o Provide the highest value in terms of
the project required to enable the
performance and cost,
functionality of other projects (e.g.,
o Have the least impacts on existing communications infrastructure)?
terminal operations, • Portion of a project - Is the ITS application a
o Minimize additional staffing and training component of a high priority project?
requirements, • Funding availability – Is there adequate
o Minimize additional operations and funding to support the planning,
maintenance funding, and development, operations, and maintenance of
the desired project. Not accounting for
o Are sustainable by the port and their
adequate funding to maintain the deployment
operational partners.
of technologies is a common mistake. 10
• Review – Technical advisory committee review
and concurrence on the accuracy of the
evaluation.
• Selection – Project selection is a critical step
that entails concurrence from the technical
review committee. This is the point at which
the port owner will begin to try and secure
adequate funding for the project(s).

10Integrating Intelligent Transportation Systems with them Management and ITS Applications and Office of Environment and
Transportation Planning Process: An Interim Handbook (Page 3-20). Planning. Prepared by: Transcore – An SAIC Company.
Prepared for: Federal Highway Administration Office of Traffic

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 Port Planning & Investment Toolkit
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FINANCING

Financing
Identifying and securing adequate funding for • Take into account how funding and financing
planning, development, implementation, and options such as private activity bonds (PABs),
operations and maintenance is critical to the lease agreements, and public private
success of an ITS project. A range of traditional partnerships (P3) could impact the compatibility
and innovative Federal, state, local, and private and continuity of the recommended ITS project.
sector funding sources are available to project
sponsors to support these activities. 3.2 Structure
After qualitatively evaluating the advantages and
3.1 Strategize disadvantages of public, hybrid, and P3 financial
Funding for ITS has become an integral part of alternatives, develop a financial plan and model to
established transportation investments in the U.S., determine the most appropriate structure for the
often augmenting the construction of hard ITS project. The funding structure should include
transportation infrastructure. ITS projects are an an assessment of the economic, social and
affordable solution to enhance safety and mobility operational value of the ITS project.
in comparison to building new roadways and
A detailed project finance and cash flow model
bridges. The comparatively low-cost technology
should incorporate current and projected
can offer investors a high return on investment
operating revenues, initial and maintenance
(ROI) as measured in safety, travel time reliability,
capital expenses (CapEx), operating expenses
throughput and quality of life. The monetary
(OpEx), and outstanding debt service. Ensure the
benefits from ITS solutions continue to stimulate
model has the flexibility to consider incremental
public and private investment in these
revenues, OpEx, and debt service associated with
technologies.
the project. Modeling OpEx are particularly
The broad array of public and private sector important since the ongoing day-to-day costs for
financing and funding options for ITS projects some ITS projects can exceed the funding
allows port owners to take advantage of multiple necessary for the initial deployment. The pace of
investment opportunities. To do so, port owners technological advancement and periodic staff
should perform the following: training can further compound the ITS OpEx.
• Review public funding mechanisms currently The financial plan should include:
used for ITS projects, their institutional and • Financing and debt objectives;
legal framework, financing arrangements, • Debt profile including re-structuring/refunding
requirements including timelines and opportunities for existing debt;
procedures, and other key features. • Projected CapEx, OpEx, revenues and sources;
• Identify multiple, alternative funding solutions • Risk sensitivity analysis;
and distinguish between near-term • Credit rating outlook and strategies; and
opportunities and long-term financial • Financing alternatives and P3 techniques that
strategies to support the ITS project. can be utilized in various combinations.
• Consider which strategies will offer the best
solution in view of the port’s mission and the The overall result should be a comprehensive
specific ITS project objectives. analysis and corresponding financing structure

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that supports the development, deployment and The following section focuses on select
sustainable operation of the port ITS project. government funding programs available at the
time of this module version that specifically
Module 1: General Projects includes a comprehensive
facilitate the delivery of port ITS projects.
discussion of the various debt alternatives and
funding opportunities that can be applicable to
3.2.1 Federal Funding Sources
port ITS projects. These products include various
Federal funding change from year to year, as
forms of PABs, commercial bank financings, bond
government revenue levels vary and federal
alternatives, leasing programs, tax/fee revenue
appropriations fluctuate. There are various federal
financing, State Infrastructure Bank (SIB) loans, and
programs available to port owners at any given
private equity, among others.
time. Exhibit 16 summarizes the availability of
Federal funding to support ITS projects in the port
Exhibit 16: Federal Government Funding Programs environment. A brief summary of each program is

Govt. Program and Project Max. Federal

Summary Description Key Eligibility Requirement for Ports/ITS
Program Size Award
ATCMTD Competitive grant for deployment of advanced $60M /yr. through 2020; 50% of project State or local government or political subdivision
transportation and congestion management Max. Size $12M cost thereof; or multijurisdictional group
technologies.
ITS Funding for the development of ITS infrastructure, $100M/yr. through 2020 80% of project Enhancement of the national freight system and
equipment, and systems; and ITS research cost support national freight policy goals. Limits use of
initiatives, exploratory studies, and deployment funds for the construction of physical surface
support programs. transportation infrastructure.
BUILD Competitive grant for enhancement of surface Variable – Yearly. 80% of urban Freight rail transportation projects, port
transportation infrastructure at local and regional appropriation; Max. $25M project, 100% infrastructure investments, and intermodal
level. of rural project projects.
INFRA Competitive grant for highway and freight projects Max. $500M for freight 60% of project Acquisition of equipment, and operational
of national or regional significance. through 2020; Min. $25M cost improvements directly related to improving
large project, $5M small system performance.
project
STBG Formula funding for States and MPOs for priority ≈$12B/yr. through 2020 80% of project Projects that facilitate direct intermodal
transportation projects. cost interchange, transfer, and access of freight into
and out of a port terminal. Includes installation of
V2I communication equipment.
NHFP Formula funding for States to improve movement ≈$1.4B/yr. through 2020; 80% of project Project must be identified in a freight investment
of freight on National Highway Freight Network. Max. 10% freight cost plan included in the State’s freight plan
CMAQ Formula funding for States, MPOs and local ≈$2.45B/yr. through 2020 80% of project Verified technologies for non-road vehicles and
governments for transportation projects and cost non-road engines that are used in port-related
programs to help meet the requirements of the freight operations located in ozone, PM10, or
Clean Air Act. PM2.5 nonattainment or maintenance areas.
TIFIA Financing assistance for ITS and surface $300M/yr. through 2020; 49% of project Projects must be identified in the relevant State
transportation projects, certain freight rail projects, $15M ITS projects cost (TIFIA Transportation Improvement Program
intermodal freight transfer facilities, and certain max.)
projects inside a port terminal.
RRIF Financing assistance for railroad equipment, Up to $35B in loans, up to 100% of Loan recipients required to pay a credit risk
facilities and infrastructure including positive train $7B for non-Class 1 carrier project cost premium
control systems. projects
PABs Tax-exempt financing issued through a public $15B in total allocation 100% of At least 95 percent of bond proceeds to be
conduit for privately developed infrastructure. project cost expended within a 5-year period

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provided in the following section. Access

Virginia Port Authority TRS Expansion and Automated Data Model
further details by clicking on the title of the
government funding program in Exhibit 16.
The majority of the programs fall under the
Fixing America’s Surface Transportation Act
(FAST Act), which funds surface
transportation programs at over $305 billion
for fiscal years (FY) 2016 through 2020. It is
the first long-term surface transportation
authorization enacted in a decade that
provides long-term funding certainty for
surface transportation. The FAST Act provides
Source: Port of Virginia a range of new and existing funding
opportunities to fund port-ITS initiatives. 11
In 2017, the Virginia Port Authority was awarded a $1.55 million ATCMTD
grant to design, implement, and deploy a second-generation TRS at the Federal Discretionary Grant Programs
Port. The project is comprised of three technological components:
The Advanced Transportation and Congestion
• The installation of RFID readers at all entry and exit gates at the Management Technologies Deployment (ATCMTD)
Richmond Marine Terminal, Portsmouth Marine Terminal, and grant program is designed to facilitate the
Virginia Inland Port; deployment of advanced technologies and
• A cloud based TRS that is integrated with the Inventory Management related strategies to address issues and
System and RFID readers at each facility; and challenges in safety, mobility, sustainability,
• A data model for standardizing and providing real-time status economic vitality, and air quality that are
updates to truck dispatchers through their Truck Management confronted by transportation systems owners
Systems. and operators. It is envisioned that
technologies deployed as part of this program
The TRS is based on a Data Subscription Model to get information from will generate benefits by maximizing
truckers to other supply chain stakeholders through a common cloud- efficiencies based on the intelligent
based system across all the Port’s marine terminals. management of assets and the sharing of
The project has a total investment cost of $3.1 million, and engages a information using integrated technology
series of stakeholders including, but not limited to: solutions.

• Old Dominion University’s Virginia Modelling Simulation Center; Eligible uses of the ATCMTD funds related to
• The Hampton Roads Transportation Planning Organization’s Freight the planning, development and
Technical Advisory Committee; and implementation of ITS to enhance port
• Virginia Maritime Association. operations include:
• Advanced traveler information systems;
The project is expected to take four years to implement and will have the • Advanced transportation management
following impacts: technologies;
• Safer marine terminals – an estimated reduction of Virginia • Infrastructure maintenance, monitoring,
International Gateway’s Risk Score from 560 to 168; and condition assessment;
• Lower levels of regional traffic resulting from the reduction of peak • Transportation system performance data
period truck demand; collection, analysis, and dissemination;
• Lower average truck trip times resulting from a decrease in idling
time, turn time, and exit time; and
11 https://www.fhwa.dot.gov/fastact/summary.cfm
• Better air quality.

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• Advanced safety systems, including vehicle- BUILD grants are evaluated on merit criteria such
to-vehicle and vehicle-to-infrastructure as safety, economic competitiveness, quality of
communications; life, environmental protection, and innovation. 13
• Technologies associated with autonomous
Port ITS-oriented eligible projects for BUILD
vehicles, and other collision avoidance
Transportation Discretionary Grants are capital
technologies, including systems using cellular
projects that include, but are not limited to
technology; and
passenger and freight rail transportation projects,
• Integration of ITS with the Smart Grid and
port infrastructure investments (including inland
other energy distribution and charging
port infrastructure and land ports of entry), and
systems.
intermodal projects.
The Intelligent Transportation System program, which The FY 2018 Appropriations Act allows up to $15
provides for the research, development, and million for the planning, preparation or design of
operational testing of ITS aimed at solving projects eligible for BUILD transportation funding.
congestion and safety problems, improving Activities eligible for funding under BUILD
operating efficiencies in commercial vehicles, and Transportation Planning Grants are related to the
reducing the environmental impact of growing planning, preparation, or design—including
travel demand. The ITS program is managed by environmental analysis, feasibility studies, and
the ITS JPO. Guided by the required five-year ITS other pre-construction activities—of surface
Strategic Plan, the current ITS research program is transportation projects. Research, demonstration,
focused on two key priorities: realizing connected or pilot projects are eligible only if they will result in
vehicle implementation and advancing long-term, permanent surface transportation
automation. 12 infrastructure that has independent utility. 14
The FAST Act stipulates that funds made available Build America Bureau
for tests of ITS under the ITS Program shall be
used primarily for the development of ITS The USDOT’s Build America Bureau (the Bureau) assists project sponsors
infrastructure, equipment, and systems. These to develop, finance and deliver ITS and transportation infrastructure
funds may additionally be used to the maximum projects. The Bureau serves as the single point of contact to help
extent practicable, without being used for the identify and secure financing, and provides technical assistance for
construction of physical surface transportation project sponsors. The Bureau houses certain USDOT grant and credit
infrastructure unless the construction is incidental programs, including the INFRA grant program, the Transportation
and necessary to the implementation of an ITS Infrastructure Finance and Innovation Act loan program, the Railroad
project. Available funding opportunities are Rehabilitation and Improvement Financing loan program, and PABs.
published throughout the year at the Federal The Bureau offers technical expertise in public-private partnerships,
Register website. port oriented development, environmental review and permitting and
other fields.
The Better Utilizing Investments to Leverage
Development (BUILD) transportation Discretionary Project sponsors and their partners can benefit from the Bureau’s
grant program provides competitive grants for the ability to serve as the single point-of-contact to access the USDOT
enhancement of surface transportation credit programs, to provide technical assistance and to investigate the
infrastructure, including roads, bridges, transit, viability of P3s in their transportation infrastructure projects.
rail, ports or intermodal transportation Contact the Bureau at [email protected], or call the Bureau at (202)
infrastructure, at a local or regional level. 366-2300 for additional information or project assistance.

12 http://www.trb.org/ResearchFunding/FederalResearchPrograms.aspx 14https://www.transportation.gov/sites/dot.gov/files/docs/policy-
13 https://www.transportation.gov/BUILDgrants/about initiatives/build/114796/fed-reg-build-nofo-2018_0.pdf

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The Infrastructure for Rebuilding America (INFRA) • Construction, reconstruction, rehabilitation,

program, also known as the NSHFP, to provide acquisition of real property (including land
Federal financial assistance, as competitive related to the project and improvements to
grants, to highway and freight projects of national the land), environmental mitigation,
or regional significance. The INFRA grant program construction contingencies, acquisition of
creates opportunities for all levels of government equipment, and operational improvements
and the private sector to fund infrastructure, using directly related to improving system
innovative approaches to improve the necessary performance. [23 U.S.C. 117(f)]. 16
processes for building significant projects, and
increases accountability for the projects that are The INFRA grants program differs from the BUILD
built. 15 grants program, formerly known as the TIGER
grants program, in two ways. First, the INFRA
Eligible uses of the INFRA funds as they related to
grants program has a different scale of awards.
the planning, development and implementation
Typically, BUILD grant awards are between $10M
of ITS to enhance port operations are:
and $20M whereas INFRA grants for large projects
• Development phase activities, including are at least $25M for large projects and $5M for
planning, feasibility analysis, revenue small projects. Approximately 90 percent of INFRA
forecasting, environmental review, funds are allocated to large projects. Second,
preliminary engineering and design work, and unlike the BUILD program, the INFRA program is
other preconstruction activities; and not subject to variability in yearly appropriations as
it has a dedicated source of funding through to
Miami-Dade County/PortMiami Truck Gate 2020. 17

Federal-aid Grant Programs

The Surface Transportation Block Grant Program (STBG)
has the most flexible eligibilities among all
Federal-aid highway programs and aligning the
program’s name with how FHWA has historically
administered it. The STBG promotes flexibility in
State and local transportation decisions and
provides flexible funding to best address State and
local transportation needs. In general, STBG
projects may not be on local roads or rural minor
In 2018, Miami-Dade County was awarded a $7
collectors. Exceptions to this requirement include
million INFRA grant to replace two cargo terminal
port terminal modifications. The FAST Act also
gates at PortMiami with automated systems that
adds specific mention of the eligibility of
use OCR to read data from trucks traveling towards
installation of V2I communication equipment. 18
Port Boulevard along the PortMiami tunnel. The
real-time data will be electronically transferred to The National Highway Freight Program (NHFP) was
the gate, providing terminal operators advance established under the FAST Act to improve the
notification of impending truck arrivals to terminal efficient movement of freight on the National
operators. The project will improve terminal Highway Freight Network (NHFN) while
fluidity, gate processing, and truck turn times. maintaining a focus on safety, efficiency,
productivity, resiliency, and environmental

15 https://www.transportation.gov/buildamerica/infragrants 17 http://www.seneca-llc.com/funding-tools/fastlane-grants
16 https://www.fhwa.dot.gov/fastact/factsheets/fastlanegrantsfs.cfm 18 https://www.fhwa.dot.gov/fastact/factsheets/stbgfs.cfm

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sustainability. Goals of the NHFP program, as they • Real-time traffic, truck parking, roadway
pertain to ITS, are to: condition, and multimodal transportation
information systems.
• Invest in infrastructure and operational
• Electronic screening and credentialing
improvements that strengthen economic
systems for vehicles, including weigh-in-
competitiveness, reduce congestion, reduce
motion truck inspection technologies.
the cost of freight transportation, improve
• Traffic signal optimization, including
reliability, and increase productivity;
synchronized and adaptive signals.
• Improve the state of good repair of the NHFN;
• Work zone management and information
and
systems.
• Use innovation and advanced technology to
• Electronic cargo and border security
improve NHFN safety, efficiency, and
technologies that improve truck freight
reliability.
movement.
Generally, NHFP funds must contribute to the • ITS to increase truck freight efficiencies inside
efficient movement of freight on the NHFN and be the boundaries of intermodal facilities.
identified in a freight investment plan included in • Any other surface transportation project to
the State’s freight plan. Eligible uses of the NHFP improve the flow of freight into and out of an
funds as they are related to the planning, eligible intermodal freight facility. [23 U.S.C.
development and implementation of ITS to 167(i)(5)(C)].20
enhance port operations are:
The Congestion Mitigation and Air Quality
• Development phase activities, including Improvement (CMAQ) program provides funding to
planning, feasibility analysis, revenue State and local governments for transportation
forecasting, environmental review, projects and programs to help meet the
preliminary engineering and design work, and requirements of the Clean Air Act. Funding is
other preconstruction activities. available to reduce congestion and improve air
• Construction, reconstruction, rehabilitation, quality for areas that do not meet the National
acquisition of real property (including land Ambient Air Quality Standards for ozone, carbon
relating to the project and improvements to monoxide, or particulate matter for both non-
land), construction contingencies, acquisition attainment areas, and areas that are now in
of equipment, and operational improvements compliance. CMAQ Funds may be used for
directly relating to improving system transportation initiatives that are likely to
performance. contribute to the attainment or maintenance of a
• ITS and other technology to improve the flow national ambient air quality standard, with a high
of freight, including intelligent freight level of effectiveness in reducing air pollution.
transportation systems. Projects must be included in the MPO’s current
• Efforts to reduce the environmental impacts transportation plan and Transportation
of freight movement. Improvement Plan (TIP). The FAST Act added
• Environmental and community mitigation for eligibility for verified technologies for non-road
freight movement. vehicles and non-road engines that are used in
• Truck parking facilities eligible for funding port-related freight operations located in ozone,
under section 1401 (Jason’s Law) of MAP21.19 PM10, or PM2.5 nonattainment or maintenance

19 TheMoving Ahead for Progress in the 21st Century Act (MAP-21), was total funding from the previous authorization, but does include many
a funding and authorization bill to govern federal surface transportation significant reforms.
spending. It was passed by Congress on June 29, 2012 and signed into 20 https://www.fhwa.dot.gov/fastact/factsheets/nhfpfs.cfm

law on July 6. The $105 billion two-year bill does not significantly alter

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areas funded in whole or in part under 23 U.S.C. The Railroad Rehabilitation and Improvement
[23 U.S.C. 149(b)(8)(A)(ii)] or chapter 53 of 49 Financing (RRIF) program was established by the
U.S.C. 21 Transportation Equity Act for the 21st Century and
was later amended by the Safe Accountable,
Federal Loan Programs Flexible and Efficient Transportation Equity Act: A
The Transportation Infrastructure Finance and Legacy for Users, and the FAST Act. The RRIF
Innovation Act (TIFIA) program provides Federal program provides credit assistance for rail
credit assistance to eligible surface transportation infrastructure by granting low-cost direct loans
projects, including highway, transit, intercity and loan guarantees to project sponsors.
passenger rail, certain freight rail projects, Eligible recipients of RRIF program funds include
intermodal freight transfer facilities, and some railroads, state and local governments,
modifications inside a port terminal. Three distinct
government-sponsored corporations, and railroad
types of financial assistance are available through joint ventures. Eligible uses of RRIF Program funds
the program: as they are related to the planning, development,
• Secured loans are direct Federal loans to and implementation of ITS to enhance railroad
project sponsors offering flexible repayment operations include:
terms and providing combined construction • Acquiring, improving, or rehabilitating
and permanent financing of capital costs.
intermodal or rail equipment or facilities,
• Loan guarantees provide full-faith-and-credit track, track components, bridges, rail yards,
guarantees by the Federal Government to buildings, and shops;
institutional investors, such as pension funds,
• Refinancing outstanding debt incurred for the
that make loans for projects. purposes listed above;
• Lines of credit are contingent sources of • Pre-construction activities;
funding in the form of Federal loans that may
• Transit-oriented development projects; and
be drawn upon to supplement project • Developing or establishing new intermodal or
revenues, if needed, during the first 10 years railroad facilities.
of project operations. [23 U.S.C. 603 and 604].
Under the RRIF program, USDOT is authorized to
TIFIA project terms include: provide up to $35 billion in direct loans and loan
• Inclusion in the relevant State Transportation guarantees. A minimum of $7 billion is reserved for
Improvement Program; projects benefiting freight railroads other than
• Minimum capital costs of $50 million, or $15 Class 1 operators. Direct loans can cover the entire
million for ITS projects; cost of a railroad project with a repayment period
• Credit assistance limited to a maximum of 49 of up to 35 years at an interest rate equal to the
percent of the total eligible project costs; cost of borrowing money directly from the
• Senior debt rated as investment grade; and government.
• Project support from user charges or other
The RRIF program differs from the TIFIA program
non-Federal dedicated funding sources. in that it requires loan recipients to pay a credit risk
premium, which offsets the risk of default. The risk
Historically, each dollar of funding has allowed
premium helps the program comply with a
TIFIA to provide approximately $14 in credit
congressional requirement, which states that the
assistance.

21 https://www.fhwa.dot.gov/fastact/factsheets/cmaqfs.cfm

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federal loan assistance program must operate at o Any facility for the transfer of freight from
no cost to the federal government. 22 truck to rail or rail to truck (including any
temporary storage facilities directly
Private Activity Bonds (PABs) related to such transfers) which receives
PABs are issued by a government agency to Federal assistance under Title 23 or Title
provide debt financing for private projects that are 49 24.
developed for a public purpose and to provide
opportunities for private sector investment and 3.2.2 State and Local Funding Sources
public-private partnerships (P3s). The program is Although port-related investments are often
geared towards increasing private sector limited in terms of state or local appropriations,
investment in domestic transportation port owners should explore state and local budget
infrastructure. PABs funding is directed to allocation opportunities and land and grant
nationally and regionally significant surface programs for potential funding of a port ITS
transportation projects including highway, transit project. State and local finance and funding
and rail, and intermodal projects that receive programs can be competitive and typically have
federal assistance. 23 Providing private developers monetary matching and other eligibility
and operators with access to tax-exempt interest requirements.
rates lowers the cost of capital significantly,
enhancing investment prospects. Increasing the Global Opportunities at the Port of Oakland (GoPort)
involvement of private investors in highway and
The Port of Oakland, City of Oakland, and Alameda County
freight projects generates new sources of money,
Transportation Commission have partnered to implement a series of
ideas, and efficiency.
landside transportation improvements within and near the Port. The
• The law limits the total amount of such bonds project is geared towards using a suite of ITS to improve traffic flows,
to $15 billion and directs the Secretary of boost the efficiency of goods movement operations, and augment
Transportation to allocate this amount among safety throughout the Port.
qualified facilities. The $15 billion in exempt
In 2017, the Alameda County Transportation Commission was awarded a
facility bonds is not subject to the state
$9.72 million ATCMTD grant for GoPort project. The project was geared
volume caps. Qualified highway or surface
towards improving the existing integrated freight community system by
freight transfer facilities include:
developing a new port-specific traffic management center, advanced
traveler information, traffic messaging, trucking information for mobile
o Any surface transportation project which
apps, rail-grade warnings, and terminal queue information. The project
receives Federal assistance under Title 23,
is scheduled to finish towards the end of 2021.
U.S. Code (as in effect on August 10,
2005, the date of the enactment of It is anticipated that the project will have the following impacts on the
section 142(m) region:
o Any project for an international bridge or • Safer, and more efficient and reliable truck and rail access to the
tunnel for which an international entity Port of Oakland facility;
authorized under Federal or State law is • Quicker dissemination of real-time traveler information to users;
responsible and which receives Federal • Better traffic and accident management within the Port and its
assistance under Title 23, U.S. Code (as so associated access routes; and
in effect) • Less congestion, truck idling, and emissions.

22 https://fas.org/sgp/crs/misc/R44028.pdf 24 https://www.transportation.gov/buildamerica/programs-services/pab
23 https://www.transportation.gov/buildamerica/programs-services/pab

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Discretionary allocations arising from state or

FHWA P3 Toolkit
local government budgets are specific to the
relevant government of a port’s locality and can The FHWA publishes a Public-Private Partnership
come as the result of legislation authorizing the (P3) Toolkit available at
creation of local port districts with bonding and https://www.fhwa.dot.gov/ipd/p3/toolkit/. The P3
taxing power (e.g., Washington State), Toolkit addresses Federal requirements and four
dedicated funding sources (e.g., Virginia), the key areas of P3 implementation:
collection of taxes and fees, and/or one-time • Legislation and Policy
funding appropriations. 25 • Planning and Evaluation
• Procurement
3.2.3 Private Funding Sources
• Monitoring and Oversight
Some states lack legislation that gives assistance
to ports – failing to either allocate state funds
The P3 Toolkit includes fact sheets, publications,
pursuant to a dedicated state program or
an analytical tool, a checklist of factors and
empower local entities with the authority
analytical processes, webinars, training, and FAQs
necessary to raise funds. One solution to this
to assist in educating public sector policy-makers,
challenge may be P3s. While most P3 port
legislative and executive staff, and transportation
initiatives involve design-build-finance-operate-
professionals in implementation of P3 projects.
maintain (DBFOM) or long-term lease
The Toolkit includes a summary of state P3
concessions of new or existing facilities, there
legislation that provides users with descriptions
are instances of P3 arrangements for port ITS
and hyperlinks to enabling statutes for
projects including:
implementing transportation-related P3 projects
• Digital Supply Chain Information Portal by in 36 states, the District of Columbia and Puerto
POLA and GE Rico.
• Global Opportunities Port of Oakland
(GoPort!) Freight Intelligent Transportation
System Project by the Port of Oakland,
Alameda County Transportation Commission,
City of Oakland, California Department of
Transportation, Union Pacific Railroad, BNSF
Railway, San Francisco Bay Area Rapid
Transit, Metropolitan Transportation
Commission, and various utility entities
• Control and Communications Systems by Port
of Miami and SICE (a systems integration
technology company)

25 https://www.infrastructurereportcard.org/ports/funding-future-need/

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Deployment
Deployment of ITS provides the opportunity services, its feasibility to ITS procurements is
to enhance the overall safety and mobility of questionable. A first cost based procurement may
operations, for both the port operators, and not allow for the flexibility that is necessary for
trucking and rail companies that operate at the emerging technologies, and the bidder that offers
port. A robust deployment process involves the best technical solution for the agency may not
collaboration between stakeholders, verification of provide the lowest lifecycle cost. It also limits the
the program through demonstrations and bidder's ability to offer alternative and perhaps
operational testing, and consideration of the ITS more feasible solutions. A cost based only
program’s operational implications. procurement is most applicable when:
• The requirements of the project are well-
4.1 Prepare
defined and not likely to change,
Preparing for the deployment of an ITS project is a • The technologies being bid on are relatively
critical step in the process. There are multiple mature and present minimal risk, and
approaches that can be employed to support ITS • Multiple suppliers bid on the proposed product
implementation, but the determining factors for or service.
selecting the appropriate approach should be
driven by user needs, the nature of the ITS project Qualifications Based
and the way in which the ITS elements are
With a qualification based procurement process,
expected to integrate with the region’s broader
bidders submit qualifications to the port owner
architecture and with the port environment.
who selects the most qualified company, and then
negotiates the scope of services, budget, fee and
4.1.1 Procurement
schedule. This approach has proven successful for
The procurement of ITS equipment, software, and
ITS software and services, and other emerging
related services must strike a delicate balance
transportation technologies. Variations of the
between the technical and operational needs of
qualifications based procurement approach
the agency, while providing a competitive
include:
environment that provides the agency the best
possible value. • Standard Request for Proposal (RFP)
• Competitive Design
Most ITS projects have different procurement
• Demonstrations and/or Site Visits
processes than other port construction projects,
• Requirements Checklists
with software and hardware component
• Sole Source
development provided by consultant services and
construction by a contractor.
Qualifications/Cost Combination

Cost Based With a Qualifications-Cost combination

procurement approach, the qualifications of the
A common approach is to award contracts through
proposers are considered in concert with proposed
a cost-only, or low-bid approach where overall bid
costs, and are weighted based on guidelines
price is the only factor considered when selecting a
established by the procuring agency. Variations of
contractor. Although this method will give the
the Qualifications-Cost approach include:
port owner the lowest first cost for goods and

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• Two-step Sealed Bids (Qualifications then

Costs)
• Competitive Proposals
• Best Value
• Life-Cycle Costs
• Best and Final Offers
• Competitive Negotiations

Procuring based solely on qualifications can often

result in a higher price in exchange for increased
confidence in the quality of the result, especially
in a field with a limited set of qualified suppliers.
Combining qualifications and cost in the
procurement process can often result in a lower
price in exchange for reduced scope or quality,
especially in a field with many competent Lifecycle Costs
suppliers.
A commonly overlooked item in the deployment
4.1.2 Deployment Plan of ITS infrastructure is the total life-cycle costs for
Developing a deployment plan guides the the technology and supporting infrastructure used.
implementation and integration of ITS The cost of maintaining devices after initial
applications. The ITS deployment plan typically acceptance can be a major factor in how much is
focuses on a specified period (e.g., 5-years) and deployed. The majority of ITS applications likewise
focuses primarily on implementation and contain an ongoing need for operational use on a
integration. The ITS deployment plan should also daily basis. Lifecycle costs should be phased per
be reviewed annually and amended as appropriate the timeframe of the plan (e.g., 0-5 years).
based on several factors that include, but are not Port environments are physically demanding,
limited to: frequently contributing to accelerated instrument
• Available budget, wear and premature failure. The total Operations
• Emerging operational needs, and Maintenance (O&M) cost will likely depend on
• Schedule and phasing, the number of devices and density in which they
• Advancements in technologies that are are deployed. The following costs are typically
becoming increasingly pervasive in surface associated with the lifecycle costs including:
transportation operations such as CAVs,
• Cost of Design - Design costs would be paid by
• Performance of existing ITS deployments, and
the port authority to bring an ITS project from
• An assessment of the need for ITS expansion.
the planning phase to a biddable package of
Annual reviews should also include deployment design plans and specifications. Generally, the
strategies for an additional year at each review costs are paid to an engineering consultant.
cycle, so this document remains a plan moving • Cost of Technical Support – Cost for a
forward. Although the exact structure and specific consultant to act as the port owner’s agent
elements of the ITS deployment plan will vary by during development and deployment to
port, there are a range of topics that should be oversee the technical elements of the ITS
examined and covered in the document as construction. Work typically includes review of
described in the following section. shop drawing and submittal reviews, review of
Requests for Information (RFI), review and

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approval of equipment installation/ Maintenance and Operations Requirements

configuration plans, witness field installation, Establish appropriate maintenance and
fiber splicing/testing, and assistance with operational procedures and processes to maximize
acceptance testing oversight of the ITS the functionality and lifecycle of the equipment.
system. The main goal of an efficient, well-run
• Cost of Construction Engineering – Cost for a maintenance program is fast response time with
consultant to act as the port owner’s agent minimal additional cost to the port owner.
during ITS deployment to oversee the
progress of the project. Risk Considerations
• Construction Cost – Costs to furnish, install, With any deployment of new technology or
test, and integrate all project elements. The systems there are inherent risks that are present
cost for deployment varies based on the that must be addressed throughout the lifecycle of
technology being deployed, existing site the project. Refer to Section 2.1.4 for further
conditions, scope of the work and distance details on the potential risks and challenges of a
between locations. These factors can port ITS project.
significantly impact the cost of deployment.
• Implementation Cost - Costs to furnish, install, 4.2 Verify
test, and integrate all project elements. The
Demonstration projects and field operational tests
cost for deployment varies based on the
(FOTs) have traditionally been used to help
technology being deployed, existing site
facilitate the development and adoption of ITS
conditions, scope of the work and distance
technologies. The focus of demonstration projects
between locations. These factors can
is typically to validate and promote innovative
significantly impact the cost of deployment.
technologies such as ITS that enhance safety,
• O&M Costs
mobility, and reliability. Information derived from
o Maintenance – Maintenance of the ITS
the demonstration project is then gathered and
system can be handled with in-house
shared with the user community – in this case, port
staff, contracted with the technology
operators and carriers.
provider or with a third party. The
maintenance includes routine, FOTs are traditionally medium to large-scale
preventative maintenance and non- testing programs designed to facilitate a
routine, emergency services. The comprehensive assessment of the given
maintenance budget required for all ITS transportation technology solution. FOTs provide
devices will vary based on the complexity an opportunity to verify the operational and
of the system and the frequency of institutional impacts of large-scale introduction of
maintenance activities. a technological solution. This includes safety,
mobility, efficiency and environment impacts. A
o Capital maintenance – Instrument
key component of the FOT is to compare results of
replacement will need to be planned and
technology tests in different locations, and
budgeted to take place before wear or
facilitate the exchange of knowledge within the
failure leads to system degradation.
transportation community.
o Power and Communication Costs – Costs
include those for electrical services and
communications with the new ITS field
devices.

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Port of Los Angeles and Long Beach Freight Advanced Traveler Information System

Source: POLA

The POLA and POLB FRATIS is geared towards increasing cargo velocity through the two facilities. In 2016,
the POLA and POLB commenced the first phase of FRATIS testing and implementation backed by funds from
the State of California Energy Commission (CEC). This project, also termed Eco-FRATIS, was piloted over a
one-year period and was comprised of the following technological components:
• FRATIS – software used by trucking company dispatchers to optimize the sequencing of truck
movements to and from the POLA and POLB by using:
o Real-time container terminal visit times and queue times from a third-party system called
Geostamp; and
o Real-time traffic data from regional transportation planning agencies.
• The University of California Riverside (UCR) Eco-Drive Application – audio and visual speed advisories
provided to drivers wirelessly via tablet.

In 2017, the POLA and POLB completed a second phase of FRATIS testing with the USDOT, five trucking
companies, and a total of 200 trucks. During this phase, the project leveraged software to optimize the
sequencing of container movements to and from both port facilities. The FRATIS, Eco-Drive, and Geostamp
elements of this project are the first of their kind to be demonstrated in a North American port complex. It is
anticipated that this project will reduce truck miles travelled, truck-hours, emissions, and fuel use.
The project has a total investment cost of $1,453,000 and was funded by grants from the CEC and the Los
Angeles County Metropolitan Transportation Authority (LA METRO), as well as in-kind financial matching
from the POLA and associated project consultants. For both phases of FRATIS development, the USDOT
retained Productivity Apex Inc. (PAI) through a competitively solicited grant. The UCR Eco-Drive system was
developed and tested via a United States Department of Energy competitively solicited grant. For these
reasons, POLA chose to partner with PAI and UCR when submitting a CEC grant application.
The project was managed and administered by POLA. Stakeholders engaged during the project include the
CEC, LA METRO, UCR, PAI, Infomagnus, the City of Los Angeles Department of Transportation, Southern
Counties Express, and TTSI.

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4.2.1 Demonstrations Critical to the success of demonstrations and FOTs

Demonstrations and FOTs provide the port owner is a collaborative process that brings each of the
and carriers with an opportunity to understand how involved partners together to cooperatively plan
ITS deployment in the port environment will impact for and agree to specifics of the activities. Issues
operations prior to wider-scale deployment. This addressed in the process include:
process will assess ITS technologies over a pre-
• Goals – The criteria and standards to be
defined period to determine:
considered, such as the technical readiness of
• Operational performance of the technologies, a technology, or the likely impacts the
• User acceptance of the new technologies, and technology will have on operations when
• Operational impacts of the technology, deployed in a broader context.
including safety, mobility, environmental • Objectives – The measurable steps to be taken
impacts, and agency efficiency impacts. during the activity such as testing and
assessing the performance of a technology,
The USDOT has historically used field operational examining the impact of technologies by users
tests to validate research, and justify wider-scale and impacted stakeholders, or examining and
deployment of ITS technologies. As an example, analyzing deployment issues that will advance
in 2007 USDOT sponsored a successful field future deployments of similar systems.
operational test in Columbus, Ohio which • Roles and responsibilities – The expectations
implemented “Freight Information Highway” for each of the participants including sponsor
components and 21 web services to support a or funding source, participants, and perhaps
Limited Brands international truck-air-truck supply independent evaluators.
chain. The Columbus Electronic Freight • Scope – The range of variables involved in the
Management (EFM) field operational test featured activity including number of participants,
an independent evaluation that examined geographic coverage, etc.
quantified and non‐quantifiable benefits that • Functionality – The functionality of the
would result from implementation of EFM for all systems that are demonstrated and tested.
shipments in the host supply chain. 26 Similarly in • Timeframe – The dates and length of time the
2017, the USDOT joined up with the Port of Los field test or demonstration project will be
Angeles (POLA) and Port of Long Beach (POLB) to conducted.
conduct testing of the FRATIS (see page 46). • Testing variables – The variables that will be
examined as part of the demonstration or
FOT, such as safety, mobility, agency
efficiency, user acceptance.
• Approach for sharing outcomes – the method
to share the outcomes or results of the
evaluation with interested parties outside the
core stakeholder group.

26
Science Applications International Corporation. Columbus Electronic
Freight Management Evaluation - Achieving Business Benefits with EFM
Technologies. USDOT. March 2009.

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4.2.2 Go-Live Checklist All protocols have been documented,

This general checklist of actions should be taken accepted and signed off by port management
into account prior to full deployment of port ITS Distribution list for these documents has been
technologies defined, on paper and/or e-mail.
A complete inventory of all components has Test and acceptance protocols have been
been developed including serial numbers, signed off by port management.
configuration, manuals, maintenance Training content and manuals have been
requirements and schedule, deployment defined and written.
location, etc. This is best achieved through an
Stakeholders such as U.S. customs, the
asset management system.
trucking community and rail companies have
The technology/system has been installed, been briefed about the new
configured, tested and accepted. technology/system.
The technology/system has been connected Port staff have been fully trained to manage
with the existing network. This has been the technology/system.
checked, tested and approved.
Trouble shooting skills have been developed.
All data exchange protocols have been
System stop / restart and back-up procedures
defined, discussed, and signed off by the key
have been prepared.
EDI users (trucking, agencies and shipping
lines). A first line support / helpdesk has been
established and a contact list of experts with
Any data transfer between server(s) has been
phone numbers, and e-mail addresses has
checked, tested and approved.
been prepared and distributed.
Network management procedures have been
All documentation has been completed and is
defined.
accessible electronically and on paper.
A firewall has been installed and tested.
The technology/system communicates at
functional level (EDI and other protocols) with
workstations, handhelds, existing systems,
and stakeholders’ systems.
Communications via internet with
stakeholders have been checked, tested and
approved.
Wireless communications have been checked,
tested and approved.
All full cycle tests have been executed and
were successful.
The test list has been completed, accepted
and signed off.
Error list has been accepted and signed off.
“Work-around” needs have been described.
Any outstanding issues/errors have been
resolved or a schedule has been established
for resolution.

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APPENDIX A Glossary of Terms

Alternative Minimum Tax (AMT) - Taxation formally reviewed and agreed upon, that
based on an alternative method of calculating thereafter serves as the basis for further
federal income tax under the Internal Revenue development, and that can be changed only
Code. Interest on certain private activity bonds is through formal change control procedures.4
subject to the AMT.19
Beneficial Cargo Owner (BCO) - An importer that
Architecture Flow - Information that is takes control of their cargo at the point of entry
exchanged between physical objects, either and does not utilize a third party such as a freight
subsystems and terminators, in the physical view forwarder.5
of the Architecture Reference for Cooperative and
Blockchain - A digital database or ledger that can
Intelligent Transportation, also known as ARC-IT.
be programmed to record interactions between
Architecture flows are the primary tool that is
and across multiple parties. Blockchain
used to define the Regional ITS Architecture
technology can be used to convert the
interfaces. These architecture flows and their
documents, information, and commitments
communication requirements define the
associated with international trade into a series of
interfaces which form the basis for much of the
digital transactions based on permissions and
ongoing standards work in the national ITS
secure encryption. The digitization of data makes
program. The terms "information flow" and
it more visible to stakeholders, such as shipping
"architecture flow" are used interchangeably.1
carriers and trucking companies, thereby allowing
Asset - Any item of economic value, either them to efficiently plan their operations.
physical in nature (such as land) or a right to Blockchain technology can be used to track
ownership, expressed in cost or some other value, freight, streamline the bill of lading process,
which an individual or entity owns.2 execute bookings, and to submit shipping
instructions and trade compliance
Automated Vehicle - Vehicle in which at least
documentation.6
some aspect of a safety-critical control function
(e.g., steering, throttle, or braking) occurs without Bluetooth - A technology that passively reads
direct driver input. Automated vehicles may be carrier signals from passing devices equipped with
autonomous (i.e., use only vehicle sensors) or may active Bluetooth hardware, such as smart phones.
be connected (i.e., use communications systems
Cameras and Sensors - A technology that uses
such as connected vehicle technology, in which
cameras and sensors to capture images and other
cars and roadside infrastructure communicate
supporting input, extract application-specific
wirelessly). Connectivity is an important input to
information, generate descriptions, and make
realizing the full potential benefits and broad-
decisions as part of an intelligent system.
scale implementation of automated vehicles.3
Cameras and sensors provide critical input not
Baseline - Baseline is a frequently used term in only for autonomous vehicles on the road, but
systems engineering. A baseline is a reference also for cargo handling equipment in the port.
point (e.g. specification or product) that has been

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Capital Expenditure (CapEx) - Expenditure on used to enable trucks carrying cargo to utilize
capital items either at the commencement of the adaptive cruise control, clear vehicles entering
project or the cost of their renewal and and exiting a maritime facility, and to issue
replacement (”R&R”) over the life of the project. vehicle warnings.9
Carrier - A firm which transports goods or people Differential GPS (DGPS) - A technology used to
via land, sea or air.8 provide positional corrections to GPS signals.
DGPS systems use a fixed, known position to
Cellular Communications - A communications
adjust GPS calculations in real time. In doing so,
system that is composed of cell towers and
DGPS systems improve the accuracy of position
cellular devices. By collecting radio signals from
data provided to the user. DGPS is needed for
multiple cell towers, an approximate cellular
equipment tracking and inventory control
device location can be established and data can
systems to safely operate with sufficient
be exchanged between vehicles, infrastructure
precision.10
and travelers.
Drayage - Transporting of rail or ocean freight by
Cloud-Based Data Processing and Management
truck to an intermediate or final destination;
- A data processing system that involves
typically, a charge for pickup/delivery of goods
performing complex computing for massive
moving short distances (e.g., from marine
amounts of data. It eliminates the need of
terminal to warehouse).8
expensive hardware and real estate space as data
is saved and retrieved over the internet (“the Electronic Data Interchange (EDI) - The
cloud”). Using cloud-based computing, data automated transfer of information by computer
processing can be performed in real-time and at a systems using a standard format. EDI replaced
faster rate. Cloud-based data processing and postal mail and fax with email and databases to
management is used to make cargo data, such as allow for faster and streamlined data exchange of
vessel stowage plans, available to vessels in port all business documents. EDI allows participating
and terminal operators. The technology is organizations to generate, receive, and process
additionally used to automate electronic booking, data with little or no human intervention. EDI is
the digital transmission of shipping instructions, used to cut freight waiting times, streamline
and real-time container-status tracking.7 administrative procedures, and to add visibility
and traceability to the cargo exchange process.11
Concept of Operations (ConOps) – A foundation
document that frames the overall system and sets Electronic Equipment Interchange Receipt
the technical course for the project. The ConOps (EEIR) – An electronic document required to
answers who, what, where, when, why, and how transfer a cargo container from a ship to a marine
questions about the project from the viewpoint of terminal, or to another ship. EEIRs document
each stakeholder.8 details such as container number, vessel/voyage
code, stacking position, and stowage position.
Dedicated Short Range Communication (DSRC)
- A wireless communications technology used for Electronic Logging Devices (ELD) – A monitoring
close-proximity communications between technology that is attached to a commercial
vehicles and the immediate infrastructure. It vehicle engine to record hours driven. An ELD is
supports location-specific communications for ITS used to monitor a vehicle's engine, capturing data
capabilities such as vehicle management, driver on whether the engine is running, miles driven,
information, and automated commercial vehicle and duration of operation. This allows fleet
operations. One of the types of architecture managers to intelligently manage fleet
interconnects defined in ARC-IT.1 DSRC can be utilization.12

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Equity - A funding contribution to a project all elements in a corridor, including highways,

having an order of repayment occurring after debt arterial roads, and freight systems into account.
holders in a flow of funds per the bond indenture The vision of ICM is that transportation networks
securing such funding contribution. will realize significant improvements in the
efficient movement of people and goods through
Freight Signal Priority (FSP) - Technology that
institutional collaboration and aggressive,
gives traffic signal priority to freight vehicles
proactive integration of existing infrastructure
traveling on a signalized network. The systems
along major corridors. Through an ICM approach,
decisions are based on real-time traffic and
transportation professionals manage the corridor
emissions data, and the vehicle’s location, speed,
as a multimodal system and make operational
type, and weight.3
decisions for the benefit of the corridor as a
Geographic Information Systems (GIS) – Tools whole.3
used to gather, transform, manipulate, analyze,
Internet of Things (I0T) - A network of physical
and produce information related to the surface of
objects that feature an IP address for internet
the Earth. This data may exist as maps, 3D virtual
connectivity, and the communication that occurs
models, tables, and/or lists. GIS can be as complex
between these objects and other Internet-
as whole systems that use dedicated databases
enabled devices and systems. The IoT extends
and workstations hooked up to a network, or as
internet connectivity beyond traditional devices
simple as "off-the-shelf" desktop software.13
like desktop and laptop computers, smartphones
Global Positioning System (GPS) - A satellite- and tablets to a diverse range of devices and
based global navigation and positioning system everyday things that utilize embedded
that is composed of satellites, ground stations, technology to communicate and interact with the
and receivers. By collecting signals from at least external environment, all via the Internet.13 In the
three satellites, GPS receivers pinpoint a user’s port environment, IoT can be used to connect
location within 10 to 15 feet. GPS is the multiple platforms such as TOS, GOS, Port
foundation of other ITS technologies such as Portals, autonomous vehicles, etc. to share real-
Geographic Information Systems, and ELDs used time information which enables better decision
by the port and shipping community.14, 15 making for cargo flow.16, 17
Hazardous Material - A substance or material Interoperability - Interoperability focuses on
which the USDOT has determined to be capable enabling ITS devices and applications in vehicles
of posing a risk to health, safety, and property and infrastructure to effectively communicate
when stored or transported in commerce.8 with other parts of the system as needed. It is
Intelligent Transportation System (ITS) - The useful to distinguish two degrees of
integrated application of advanced computer, interoperability, "pair-wise" and "end-to-end"
electronics, and information technologies that interoperability. Pair-wise interoperability
monitor, manage and/or enhance the connection involves verifying that two systems are able to
between the transportation vehicle and exchange data and that the data has the same
infrastructure. ITS offers a complement or an meaning to each system and leads to the
alternative to traditional engineering methods to expected functionality. "End-to-end"
improve the safety, efficiency and mobility of interoperability involves verifying that the flow
inland surface transport modes.1 and use of data are consistent from initial input to
final outcome.1
Integrated Corridor Management (ICM) - An
approach to improving transportation by taking ITS Architecture - An architecture of interrelated
systems that work together to deliver

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transportation services. An ITS architecture within the region and to coordinate and
defines how systems functionally operate and the collaborate with nearby regions. MPOs are
interconnection of information exchanges that responsible for distributing federal transportation
must take place between these systems to funds to their regions.
accomplish transportation services. An
National ITS Reference Architecture - Also
architecture is functionally oriented and not
known as the Architecture Reference for
technology-specific which allows the architecture
Cooperative and Intelligent Transportation (ARC-
to remain effective over time. It defines "what
IT), this architecture provides a framework for
must be done," not "how it will be done." 1
planning, defining, and integrating ITS. It reflects
License Plate Recognition (LPR) - A technology the contributions of a broad cross-section of the
that uses OCR to read vehicle license plates and ITS community (transportation practitioners,
subsequently establish vehicle location at specific systems engineers, system developers,
waypoints. LPR systems first look for the technology specialists, consultants, etc.). The
presence of a license plate, then extract its architecture represents a national consensus on
associated numbers and letters. Data extracted the course that ITS development should take in
by a LPR system can be stored, linked to other the U.S.1
applications, or compared to information in a
Net Revenue - The amount of money available
database.18
after subtracting from gross revenues such costs
Long Range Transportation Plan (LRTP) - A and expenses as may be provided for in the bond
document resulting from regional or statewide contract. The costs and expenses most often
collaboration and consensus on a region or state's deducted are O&M expenses.19
transportation system, and serving as the defining
Operating Expenditure (OpEx) - Expenditure on
vision for the region's or state's transportation
operating and routine maintenance of facilities
systems and services. In metropolitan areas, the
and equipment such as equipment maintenance,
plan indicates all of the transportation
repairs and supplies, wages, rentals, general
improvements scheduled for funding over the
administrative expenses, etc.22.
next 20 years. The plan must conform to regional
air quality implementation plans and be Optical Character Recognition (OCR) - An
financially constrained.8, 2 electronic system that recognizes printed or
written text characters in a digital image taken by
Major Project Financial Plan - Under USDOT
intelligent / digital cameras. OCR systems allow
guidance, transportation projects are required to
users at a remotely located computer terminal to
submit a Major Project Financial Plan if any of the
rapidly and accurately capture information that
following apply: 1) recipient of Federal financial
can be compared to a predefined list of targets.
assistance for a Title 23 project with a minimum
OCR is used for asset identification. For instance,
cost of $500 million, 2) identified by the USDOT
OCR systems are used to identify incoming and
Secretary as a major project and 3) applying for
outgoing containers based on their ISO numbers.
TIFIA assistance.
The combination of a Gate Operating System
Metropolitan Planning Organization (MPO) - (GOS), Terminal Operating System (TOS), and
Every urbanized area with a population of 50,000 OCR at a port helps assign accurate work
or more is federally mandated to have a MPO. assignment to over-the-road (OTR) trucks
MPOs are made up of representatives from local entering the terminals for cargo delivery or
government and local transportation agencies. receipt.21
The purpose of the MPO is to plan transportation

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Port - A single- or multiple-facility entity that Project Financing - A non-recourse or limited

facilitates the transfer of cargo and/or passengers recourse financial structure where project debt
between logistically-linked transport modes. and equity used to finance the project are paid
back from the cash flow generated by the project.
Port Authority - State or local government that
While the loan structure relies primarily on the
owns, operates, or otherwise provides wharf,
project's cash flow for repayment; the project's
dock, and other investments at ports.8
assets, rights and interests are held as secondary
Port Area Transportation Network (PATN) - A security or collateral.22
multi-modal network that supports the
Project Funding - A financial structure where
movement of freight and passengers within the
internal reserves, user charges and/or
operational boundaries of a port. PATNs can
government investments are used to finance the
include roads, railways, pipelines, airports, rail
project without a direct requirement for
yards, and marine and inland terminals.
repayment.
Port Owner - Port authorities, terminal
Project ITS Architecture - High-level design
operators, private companies, and project
specifications based on national and regional
sponsors that own and/or operate a port.
standards and regional ITS needs.1
Private Activity Bonds (PABs) - A municipal
Project Revenues - All rates, rents, fees,
security of which the proceeds are used by one or
assessments, charges, and other receipts derived
more private entities. A municipal security is
by a project sponsor from a project.2
considered a PAB if it meets two sets of
conditions set out in Section 141 of the Internal Project Sponsor - The entity that provides
Revenue Code. A municipal security is a PAB if, financial resources to support the project.
with certain exceptions, more than 10 percent of
Public-Private Partnership (P3) - A generic term
the proceeds of the issue are used for any private
for a wide variety of financial arrangements
business use (the “private business use test”) and
whereby governmental entities agree to transfer
the payment of the principal of or interest on
any risk of, or substantial management control
more than 10 percent of the proceeds of such
over, a governmental asset to the private entity.
issue is secured by or payable from property used
In the port sector this is typically in exchange for
for a private business use (the “private security or
upfront or ongoing payments though those may
payment test”). A municipal security also is a PAB
only be sufficient to pay for the capital
if, with certain exceptions, the amount of
improvement.19
proceeds of the issue used to make loans to non-
governmental borrowers exceeds the lesser of 5 Radio Detection and Ranging (RADAR) and
percent of the proceeds or $5 million (the “private Light Detection and Ranging (LIDAR) – RADAR
loan financing test”). Interest on private activity and LIDAR are distance determining technologies
bonds is not excluded from gross income for that work similarly except LIDAR emits pulses of
federal income tax purposes unless the bonds fall light and RADAR emits pulses of radio waves. The
within certain defined categories (“qualified signals bounce back from an obstacle and the
bonds” or “qualified PABs”). Most categories of instrument measures the return times and
qualified PABs are subject to the AMT.1 wavelengths. These technologies can also detect
the angle and velocity of surrounding objects, and
Project - A port owner’s acquisition,
determine brake lights and changing road
development, expansion or renovation of an ITS
conditions. RADAR and LIDAR are heavily used
infrastructure element or operational resource to
meet an identified or emergent need.

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for CAVs and will help in development of Regional ITS Architecture - A specific, tailored
autonomous trucks for cargo hauling. framework for ensuring institutional agreement
and technical integration for the implementation
Radio Frequency Identification (RFID) - A
of ITS projects or groups of projects in a particular
technology that uses radio waves to automatically
region. It functionally defines what pieces of the
identify and track information associated with
system are linked to others and what information
objects. One method of object identification is to
is exchanged between them.1
attach a microchip or “tag” equipped with
memory and an antenna, holding a unique Return on Investment (ROI) – A performance
identity number and other information. RFID has measure used to evaluate the efficiency of an
helped convert manual processes to automated investment or to compare the efficiency of a
processes, such as gate operations, in which truck number of different investments. ROI measures
wait times are reduced.23, 24 the amount of return on an investment relative to
the investment’s cost. To calculate ROI, the
Railroad Rehabilitation & Improvement
benefit (or return) of an investment is divided by
Financing (RRIF) - Under this program the
the cost of the investment, and the result is
USDOT is authorized to provide direct loans and
expressed as a percentage or a ratio.22
loan guarantees up to $35.0 billion to finance
development of railroad infrastructure. Up to $7.0 State Infrastructure Bank (SIB) - A state or
billion is reserved for projects benefiting freight multi-state revolving fund that provides loans,
railroads other than Class I carriers. The funding credit enhancement, and other forms of financial
may be used to (a) acquire, improve, or assistance to transportation infrastructure
rehabilitate intermodal or rail equipment or projects.2
facilities, including track, components of track,
State Transportation Improvement Program
bridges, yards, buildings and shops; (b) refinance
(STIP) - A short-term transportation planning
outstanding debt incurred for the purposes listed
document covering at least a three-year period
above; and (c) develop or establish new
and updated at least every two years. The STIP
intermodal or railroad facilities. Direct loans can
includes a priority list of projects to be carried out
fund up to 100 percent of a railroad project with
in each of the three years. Projects included in the
repayment periods of up to 35 years and interest
STIP must be consistent with the long-term
rates equal to the cost of borrowing to the
transportation plan, must conform to regional air
government. Eligible borrowers include railroads,
quality implementation plans, and must be
state and local governments, government-
financially constrained (achievable within existing
sponsored authorities and corporations, joint
or reasonably anticipated funding sources). 2
ventures that include at least one railroad, and
limited option freight shippers who intend to Strategic Plan - A planning document that
construct a new rail connection.25 presents an organization’s strategy for a
category of activity over a specified number of
Real-Time Data Monitoring (RTDM) - A process
years. Depending on the organizational level at
through which a data administrator can review,
which the plan is produced, it may support the
evaluate and modify the addition, deletion,
next higher organization’s strategic plan, and
modification and use of data on software, a
may mirror that plan’s structure. The strategic
database or a system. It enables administrators to
plan describes organizational and strategic goals
review the overall processes and functions
and the strategies to be used in pursuing these
performed on the data in real time, or as it
goals. Elements included in the plan are
happens, through graphical charts and bars on a
anticipated funding levels, the desired outcomes
central interface/dashboard.20

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the initiating organization expects to obtain, and USDOT to provide three forms of credit
the overall benefit inherent in undertaking the assistance - secured (direct) loans, loan
activities described.3 guarantees and standby lines of credit - to surface
transportation projects of national or regional
Systems Engineering (SE) – An interdisciplinary,
significance. A specific goal of TIFIA is to leverage
structured process for arriving at a final design of
private co-investment. Because the program
a system. The final design is selected from a
offers credit assistance, rather than grant funding,
number of alternatives that would accomplish the
potential projects must be capable of generating
same objectives and considers the total life-cycle
revenue streams via user charges or have access
of the project including not only the technical
to other dedicated funding sources. In general, a
merits of potential solutions but also the costs
project’s eligible costs must be reasonably
and relative value of alternatives.1
anticipated to total at least $50 million, although
Terminal Operator - A port authority or private lower dollar cost thresholds are available for ITS
company that operates a port facility and and other specific project categories. Credit
manages the movement of cargo and/or assistance is available to: projects eligible for
passengers. assistance under title 23 or chapter 53 of title 49;
Transport Modes – The movement of freight by international bridges and tunnels; intercity
type of conveyance: a. inland surface transport passenger bus or rail facilities and vehicles,
(rail, road, and inland waterway); b. sea transport including those owned by Amtrak; public freight
(coastal and ocean); c. air transport; d. pipeline; rail projects; private freight rail projects that
and e. space transport. The majority of dry bulk provide public benefit for highway users by way of
and containerized freight moves via surface direct highway-rail freight interchange (a
modes (truck, train and barge) to/from inland refinement of the SAFETEA-LU eligibility
locations. Liquid bulk freight primarily moves via criterion); intermodal freight transfer facilities;
pipeline and high-value and/or time-sensitive projects providing access to, or improving the
freight is transported via air modes. service of, the freight rail projects and transfer
facilities described above; and surface
Transportation Improvement Program (TIP) - A transportation infrastructure modifications
short-term transportation planning document, necessary to facilitate direct intermodal
approved at the local level, covering at least a interchange, transfer and access into and out of a
four-year period for projects within the port. TIFIA credit assistance is limited to 49
boundaries of a Metropolitan Planning percent of eligible project costs.8
Organization (MPO). The TIP must be developed
in cooperation with state and public transit USDOT ITS JPO - The USDOT ITS JPO was
providers and must be financially constrained. created in 1994 to streamline ITS development
The TIP includes a list of capital and non-capital and deployment initiatives beginning in various
surface transportation projects, bicycle and USDOT agencies. In recognition of the
pedestrian facilities and other transportation interdisciplinary nature of ITS, the JPO was
enhancements. The TIP should include all established to: (1) provide strategic leadership for
regionally significant projects receiving FHWA or ITS research, development, testing, and
FTA funds, or for which FHWA or FTA approval is deployment, (2) guide policy coordination, and (3)
required, in addition to non-federally funded ensure resource accountability. Responsibility for
projects that are consistent with the MPO’s LRTP. the actual implementation of ITS activities rests
with individual program and modal
Transportation Infrastructure Finance and administrations including MARAD, the Federal
Innovation Act (TIFIA) - The TIFIA authorized the Railroad Administration (FRA), the Federal Motor

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Carrier Safety Administration (FMCSA), the Note: Sources for the glossary include (1)
www.standards.its.dot.gov/LearnAboutStandards/Glossary, (2)
FHWA, and the NHTSA.1
http://www.financingtransportation. org/global/glossary.aspx (3)
Vehicle Telematics - Embedded technology on a www.its.dot.gov, (4) www.sebokwiki.org,(5)
http://www.datamyne.com/whats-beneficial-cargo-owner/, (6)
vehicle that combines information collection and https://www.dhs.gov/sites/default/files/publicatiopu/2018_AEP_
processing with wireless and internet Blockchain_and_Suitability_for_GoGovernme_Applications.pdf,
communications to send, receive and store (7)
https://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublicatio
vehicle information. Telematics devices are used n800-145.pdf, (8) https://ops.fhwa.dot.gov/freight/fpd/ glossary,
to obtain information on the condition of a (9)
vehicle’s mechanical components. This https://www.its.dot.gov/presentations/world_congress2016/Leon
ard_DSRC_Spectrum2016.pdf, (10)
information helps fleet managers determine
https://www.fhwa.dot.gov/publications/research/operations/0207
whether a vehicle requires maintenance or 2/index.cfm, (11)
repair. Telematics systems can also help fleet https://www.hud.gov/sites/documents/20577_IMPLEMENT.PDF,
managers find optimal delivery routes, monitor (12) https://www.fmcsa.dot.gov/faq/what-electronic-logging-
device-eld, (13) www.webopedia.com, (14)
dangerous driving habits, track driver and https://www.faa.gov/about/office_org/headquarthea_offices/ato/
container locations, and improve idle trailer service_units/techops/navservices/gnss/gps/, (15)
allocation.26, 27 https://www.fhwa.dot.gov/resourcecenter/teams/construction/cp
m_5gps.pdf, (16)
Weigh-in-motion (WIM) - A sensor technology https://dodcio.defense.gov/Portals/0/Documents/Announcement/
used to determine characteristics of a moving DoD%20Policy%20Recommendations%20for%20Internet%20of
%20Things%20-%20White%20Paper.pdf?ver=2017-01-26-
vehicle such as gross vehicle weight, wheel loads, 152811-440, (17)
axle loads and speed. WIM sensor devices are https://www.ntia.doc.gov/files/ntia/publications/iio_green_paper
typically embedded in the pavement surface. At _01122017.pdf, (18)
https://ops.fhwa.dot.gov/publications/fhwahop12026/sec_3.htm
ports, WIM devices are deployed at gate lanes , (19) http://msrb.org/Glossary, (20) www.techopedia.com, (21)
along with other technologies such as OCR and https://www.faa.gov/about/initiatives/records/glossary/?key=glos
RFID. Cargo weight data helps enforce weight s06, (22) www.investopedia.com, (23)
https://www.dhs.gov/radio-frequency-identification-rfid-what-it.
restrictions on roadways. In the case of container
(24) https://www.acq.osd.mil/log/sci/rfid_FAQs.html, (25)
cargo, WIM helps enforce International Maritime https://www.transportation.gov/buildamerica/programs-
Organization’s (IMO) Safety of Life at Sea services/rrif, (26) https://www.dhs.gov/science-and-
(SOLAS) container weight regulations.28 technology/news/2018/05/15/snapshot-dhs-dot-partner-
government-vehicle-telematics, (27)
https://www.gao.gov/assets/670/663032.pdf, and (28)
https://www.fhwa.dot.gov/policyinformation/knoknowledgecen/
wim_guide/wim_guidebook_part1_070918_(508_compliant).p
df

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Maritime Administration
West Building
1200 New Jersey Avenue, SE
Washington, DC 20590

American Association of Port Authorities

1010 Duke St.
Alexandria, VA 22314

j~S\I!!!
U.S. Department of Transportation
J~ American Association
I: of Port Authorities

Maritime Administration Alliance of the Ports of Canada, the Caribbean, Latin America and the United States