Air Quality and Intelligent Transportation Systems: Understanding
Integrated Innovation, Deployment and Adaptation of Public Technologies
by
Rebecca Susanne Dodder
B.A. Physics and Spanish - Vanderbilt University, 1997
M.A. Science, Technology and Public Policy - George Washington University, 1999
SUBMITTED TO THE ENGINEERING SYSTEMS DIVISION IN PARTIAL
FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF
DOCTOR OF PHILOSOPHY IN TECHNOLOGY, MANAGEMENT AND POLICY
AT THE
MASSACHUSETTS INSTITUTE OF TECHNOLOGY
September 2006
C 2006 Massachusetts Institute of Technology. All rights reserved.
A uth or .................................................................................... . .............. ..............
Engineering Systems Division
August 2, 2006
Certified by .................... .. / ... ..... .............. oseph.. 'Sussm'...'
Joseph M. Sussman, PhD
S Professor of Civil and Environmental Engineering and Engineering Systems
JR East Professor
//7 A Thesis Supervisor
Certifieby.................. ... ..... .......C ertified by ........................ ... . ........ I ...... ............... .......................... . ..
/ Kenneth A. Oye, PhD
Associate Professor of Political Science and Engineering Systems
Thesis Committee Member
C ertified by .................................................................................................................
Mario J. Molina, PhD
Institute Professor Emeritus
Professor Emeritus of Chemistry and Atmospheric Chemistry, and Environmental Studies
Professor of Chemistry and Biochemistry at the University of California, San Diego
/ Thesis Committee Member
A ccepted by .................................... ............................. ... .......................................
Richard de Neufyille, PhD
Professor of Engineering Systems
Chair, Engineering Systems Division Education Committee
MASSACHUSETTS INST1 WE
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SEP 13 2006
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Air Quality and Intelligent Transportation Systems: Understanding
Integrated Innovation, Deployment and Adaptation of Public 
Technologies
by
Rebecca Susanne Dodder
Submitted to the Engineering Systems Division
on August 2, 2006 in Partial Fulfillment of the
Requirements for the Degree of Doctor of Philosophy in
Technology, Management and Policy
ABSTRACT
During the past two decades, Intelligent Transportation Systems (ITS) have provided 
transportation
organizations with increasingly advanced tools both to operate and manage systems 
in real-time. At the
same time, federal legislation has been tightening the linkages between state 
and local transportation
investments and metropolitan air quality goals. In this context, ITS seems to represent 
a case of the
potential synergies - or so-called "win-win" outcomes - that could be realized for 
the dual policy goals of
air quality and mobility. If the various public sector organizations responsible 
for air quality and
transportation could cooperate in deploying, assessing and further adapting 
these new technologies to take
advantage of these synergies, they could achieve a "sustainable use" of ITS. However, 
looking beyond
ITS and air quality, these issues point to broader questions of how 
to appropriately manage technology
and its impacts on society, specifically those technologies deployed by the public sector. In particular,
how does the public sector innovate and deploy technologies in ways that maximize 
the benefits, and
minimize or avoid the negative impacts? In order to examine 
this phenomenon, this thesis takes the
example of ITS and air quality to develop and test a broader framework of Integrated Innovation,
Deployment and Adaptation of Public Technologies 
(IIDAPT).
In this thesis, we define and articulate a framework for IIDAPT, and 
identify testable conditions that
make IIDAPT either more or less likely to occur. We identify seven 
conditions - based in the literature of
political science, organizational theory, and public administration - that 
should, in theory, influence the
ability of public agencies to achieve synergies for multiple policy 
goals through technology deployment.
Having developed a theoretical framework for the conditions 
that influence IIDAPT, we then test those
conditions using five U.S. cities - Los Angeles, Houston, Boston, Orlando, 
and Tulsa - as case studies in
ITS and air quality. We then extend the framework to a non-US case, Mexico 
City, in order to further test
the IIDAPT framework and to identify possible changes at the federal 
and local level to better align ITS
deployments with both mobility and air quality goals in Mexico City.
This research explains some interesting outcomes in terms of 
failures by public sector agencies to take
advantage of new, lower cost ITS technologies that can provide 
multiple benefits for both mobility and air
quality. We find that "cheap" solutions, such as ITS rather 
than conventional infrastructure, are not
always in an agency's interests, as defined by the agency. 
Specifically, we found that lower-cost
innovations may compete with an agency's or elected 
official's priorities for certain categories of
investment, by undermining the ability to build up the case for that 
investment. The overarching
conclusion, is that the possibilities for synergies (or "win-win" 
outcomes) must be defined, not according
to the stated policy objectives or mission of the public sector agencies, but according to the underlying
interests and agendas of agencies, which may, or may not align with the public interest.
We also found that new information on the impacts of new ITS technologies on air quality does not
generally lead to adaptation in the application of those technologies either to reduce negative impacts or
to provide additional benefits for air quality. Even where evaluations of air quality impacts were
required, those assessments were not well integrated into the process of technology deployment and later
adaptation in the use of those technologies. Indeed, new information that can change the perception of
possible mutual benefits is not always welcomed by agencies, and assessment methodologies will tend to
reflect existing agency preferences.
However, there were reasons for optimism. We found that in response to an increasingly "severe" air
quality problem (as defined by federal regulations), local agencies are in fact experimenting with the use
of ITS to achieve air quality benefits as well as mobility benefits. Furthermore, by creating the
Congestion Mitigation and Air Quality (CMAQ) program, a dedicated federal funding source for non-
traditional transportation investments (such as ITS) with air quality benefits, agencies were provided with
the resources and additional motivation to seek out and deploy ITS technologies with air quality benefits.
To conclude this work, we highlight possible areas of future theory development for IIDAPT, and point to
additional technology and policy domains where the IIDAPT framework can be applied and tested.
Thesis Supervisor: Professor Joseph M. Sussman
Title: JR East Professor of Civil and Environmental Engineering and Engineering Systems
This thesis is dedicated to Aldo.
For your love and your faith in me and in us.
ACKNOWLEDGEMENTS
I add my name to a long list of graduate students thanking Joe Sussman for his dedication 
as a thesis
supervisor and mentor. There are few individuals who can balance the multiple demands of being 
a
scholar, teacher, and mentor in an institution such as MIT, while being so generous with their time 
and
energy. Through some important professional and life changes, he kept me on the right path to finishing
what I set out to do, and challenged me to do rigorous and high-quality work, and 
not to be afraid to
tackle big problems. It would be impossible to emphasize enough the importance of his support 
in getting
me to the finish line, whether it was a Thanksgiving dinner, or an international phone call to review thesis
chapters page by page.
Mario Molina brought me on to the Integrated Program on Urban, Regional and Global Air Pollution
during my first semester at MIT. I thank him for that experience, and for the chance to work with an
incredible group of interdisciplinary researchers both in the US and Mexico. 
I am inspired by his
optimism and his continuous efforts to improve the environment and general quality 
of life in Mexico
City, a true megacity whose size and complexity can overwhelm and at times dismay, but never 
cease to
fascinate and surprise.
Ken Oye had a way of getting to the core of what was really going on with my case studies, and 
provided
the right nudge in just the right direction to get to the more interesting theoretical 
and policy issues at
hand. I learned a lot from just trying to keep up with Ken and his lightening speed analysis, and 
I hope
that this thesis reflects some of the insights and perspectives into political science 
that I gained from
working with him.
Luisa Tan Molina was also highly supportive of my work with the Mexico City project. 
As an extremely
dedicated researcher, organizing projects of a highly interdisciplinary and international 
nature, I learned a
great deal from her.
I would also like to acknowledge and thank the individuals in Orlando, Los Angeles, 
Houston, Tulsa and
Boston, whom I interviewed for the case studies presented here. All individuals 
were generous with their
time and very open regarding the issues we discussed. In each city, these individuals 
are dealing with a
number of major challenges in both transportation and air quality. As a bystander 
and observer of their
work, I admire and commend their dedication.
Several institutions have been key to supporting my education 
and research. Above all, I thank the
Integrated Program on Urban, Regional and Global Air Pollution, with funds 
provided by the Fideicomiso
Ambiental del Valle de Mixico. My work in Mexico was also supported 
by the US-Mexico Foundation
for Science. I also thank the MIT-Alliance for Global Sustainability and the Martin 
Family Society of
Graduate Fellowships in Sustainability not only for the funding support, but for the 
opportunity to belong
to a group of scholars working on issues of sustainability.
From the Technology and Policy Program and ESD, Richard 
de Neufville, Sydney Miller, and more
recently Beth Milnes, have been very supportive, even as 
I took a less-than-smooth path from the
beginning to end ofmy doctoral work. I add an extra thanks to Renee 
Robins who first involved me in
the Mexico City Project, and for all of the positive ramifications that decision 
would have for me.
When I began the Technology and Policy Program, I was immediately 
impressed by the caliber and the
diversity of the other students, and I enjoyed the friendship and camaraderie 
of the TPP group. Poonum
Agrawal and Rob Hyman, in particular, have continued to be close friends. 
Ralph Hall has been a good
friend over the (many) years, as we have both worked through similar intellectual and professional
challenges.
I enjoyed working with a number of faculty, researchers and other graduate students on the Mexico City
Project, in particular, Chizuru Aoki, Samudra Vijay, and Steve Connors, who were colleagues and
friends. I also learned quite a bit working, both at MIT and in Mexico City, with Chris Zegras, who does
excellent work related to transportation Latin America. During my time in Mexico City, I collaborated
with a number wonderful people who are dedicated to making transportation in Mexico City, and the rest
of Latin America, cleaner and more human. Alejandro Villegas, Tania Mijares, and Oscar Diaz are just to
name a few.
My final stretch at MIT during the Spring of 2006, as I labored through the final stages of my thesis, was
made much more bearable, and, I dare to say, even fun at times, thanks to my cohorts in Room 1-151, Lev
Pinelis, Lucile Guillard, Josh McConnell, and Sgouris Sgouridis.
To Karla and Kristin, to whom I could always turn in crisis and celebration, and to share both the
mundane and the extraordinary.
My in-laws in Mexico City, Malena and Vinicio, were an important source of support, love and food for
me while I was in Mexico. Thanks also to Nonna and Nonno, for so many wonderful Sunday afternoons
in Lindavista with you and with Ana, Sergio, Andres, Maria Fernanda, Ana Paula, Adrian, Mara, Gustavo
and Ivan. Thanks also to Mari and Arturo for their kindness.
To my family, from older generations to the newest additions. Unfortunately, my grandparents are no
longer here, but I would like to think that they all would be proud. I would also like to thank Aunt Jean,
Aunt Lola, and Uncle Gil, and my cousin Kathy, who was a kind of long-distance role model for me in
pursuing higher education, and learning Spanish, which has come in handy. To my brother, Chris, who
taught me how to lighten up and see the humor in life, and to Jennifer, my sister-in-law and my friend,
and wonderful mother to Alex and Addison.
Finally, my deepest thanks go to my parents. To my mom, Susanne, for instilling me with a love of
reading and learning from the days of One Fish, Two Fish, Red Fish, Blue Fish, and teaching me to
always prioritize education and set my goals high. To my dad, Bob, for always fixing things when they
broke, with or without the magic briefcase, and for the many miles of roadtrips together across this
country and others. They provided me with the independence to find my own way, and the love and
security to have the courage to do so. To paraphrase a magnet on their refrigerator, may I be always the
kind of person they think I am.
I dedicate this thesis to my husband, Aldo. He has been a source of constant support and love. He never
gave up on me when we were thousands of miles apart, with months of separation, or when the work for
this thesis fully occupied my mind and my time, but never my heart. His love, friendship, patience, and
humor have provided the fuel for me to finish this thesis, and for anything else I may accomplish.
TABLE OF CONTENTS
ABSTRA CT ................................................................................................................................................................. 2
A CK N O W LED G EM ENTS ........................................................................................................................................ 5
LIST O F TABLES ..................................................................................................................................................... 11
LIST O F FIG UR ES ................................................................................................................................................... 14
A CR O NYM S .............................................................................................................................................................. 16
CHAPTER 1. BACKGROUND, MOTIVATION AND APPROACH .................................................................. 20
1.1 BACKGROUND ........................................................................................................................................... 24
1.2 RESEARCH APPROACH.................................................................................. ......................................... 26
1.2.1 Research Questions.............................................................................................................................. 26
1.2.2 M ethodology ....................................................................................................................................... 27
1.3 THEORETICAL BASIS ................................................................................................................................. 34
1.3.1 Innovation in Governm ent ................................................................................................................... 34
1.3.2 Cooperation for M ultiple Benefits .......... ........ ................................................................ 34
1.3.3 Assessm ent and Adaptation..................................................................................................................35
1.3.4 Social Construction of Technologies and Knowledge ....................................................................... 36
1.4 CONTRIBUTIONS........................................................................................................................................ 37
1.4.1 Scholarly Contributions................................. ................................................................................... 37
1.4.2 Contributions to Practice and Policy................. ....... ............................... .. ....................... 37
1.5 O RGANIZATION OF THESIS ........................................................................................................................ 40
CHAPTER 2. AIR QUALITY IMPACTS OF ITS: A REVIEW .......................................................................... 42
2.1 INTRODUCTION................................................................................................. .................................... 
43
2.2 ITS AND AIR Q UALITY OUTCOM ES ........................................................................................................ 44
2.2.1 Energy and Environm ent.................................. ................................................................................ 44
2.2.2 Air Quality ........................................................................................................................................ 45
2.2.3 M odeling Em issions and Air Quality......................... ................................. ...................... 46
2.2.4 Overview of the Literature...................................................................................................................48
2.2.5 ITS Functional Areas.................................. ........................................................ .............................. 
49
2.2.6 Summ ary of Reported Benefits.............................................................................................................64
2.3 EXPANDING THE ITS TAXONOMY..............................................................................................................67
2.3.1 Em issions M anagem ent ................................................................................... .................................... 67
2.3.2 Taxonomy for Evaluation.................................................................................. ................................... 68
2.3.3 Incorporating Em issions M anagem ent........................ .................................... ......................
71
2.3.4 Intelligent Infrastructure.................................... .................................................................................. 
73
2.3.5 Intelligent Vehicles .............................................................................................. ............................ 
82
2.3.6 "Intelligent Travelers" ................................. ............................................................. 
84
2.4 SUM MARY ................................................................................................................................................. 
87
CHAPTER 3. AIR QUALITY IMPACTS OF ITS: A SYSTEMS APPROACH.................................................88
3.1 A SYSTEM S FRAMEWORK............................................................. ............................ ..........................
89
3.1.1 Identiyving M echanisms for Air Quality Impacts..............................................................................89
3.1.2 Putting the M echanisms into a Systems Fram ework .........................................................................
91
3.1.3 Using the Systems Fram ework.............................................................................................................94
3.2 REASSESSING A IR QUALITY BENEFITS .................................................................................................... 
97
3.2.1 Induced Travel.....................................................................................................................................97
3.2.2 System Efficiency ............................................................................................................................... 
105
3.2.3 Research Needs................................................. ..... ... .. . ............................. ..................... 106
3.3 A M ODEL FOR D EPLOYM ENT AND A SSESSMENT ..................................................................................... 110
CHAPTER 4. THEORETICAL BASIS AND FRAMEWORK FOR INTEGRATED INNOVATION,
DEPLOYMENT AND ADAPTATION OF PUBLIC TECHNOLOGIES (IIDAPT)........................................114
4.1 INTRODUCTION ........................................................................................................................................ 115
4.2 INNOVATION IN GOVERNM ENT................................................................................................................118
4.2.1 Barriers to Innovation.............................................. ............... ........ ........... ................................. 118
4.2.2 W hat Counts as Innovation?............................................................ .... ..... ...... ......................... 119
4.2.3 Factors Influencing Public Sector Innovation ................................................................................ 122
4.3 COOPERATION FOR M ULTIPLE POLICY BENEFITS .................................................................................... 126
4.3.1 The Benefits and Problems ofFragmentation ................................................................................ 126
4.3.2 Overcom ing Fragmentation............................................ ..... .... ................... ............................... 128
4.4 A SSESSM ENT AND ADAPTATION OF N EW TECHNOLOGIES.......................................................................132
4.4.1 Evaluating Innovations......................................................................................................................132
4.4.2 Assessing Impacts................................... ......................................................... ................................ 132
4.4.3 Adaptation......................................................................................................................................... 136
4.5 INTEGRATED INNOVATION, DEPLOYMENT AND ADAPTATION OF PUBLIC TECHNOLOGIES ...................... 138
4.5.1 D efinition.................................................................................................. ......................................... 138
4.5.2 Relationship to Co-production and Co-optim ization ...................................................................... 140
4.5.3 M easuring IIDAPT ............................................. ....................................................... ........................ 141
4.5.4 A Theory oflDAPT .......................................................................................... ............................. 145
4.6 SUM MARY ............................................................................................................................................... 155
CHAPTER 5. U.S. CASE STUDIES IN ITS AND AIR QUALITY .................................................................... 156
5.1 INTRODUCTION....................................................................................................................................... 157
5.2 INDICATORS FOR ITS DEPLOYMENT AND AIR QUALITY LEVELS.............................................................158
5.2.1 Air Quality ......................................................................................................................................... 158
5.2.2 ITS D eploym ent.................................................................................................. ............................... 160
5.2.3 Comparing ITS D eploym ent and Air Quality .................................................................................. 168
5.3 OVERVIEW OF CASE STUDIES.................................................................................................................. 
172
5.3.1 Selection of Case Studies...................................................................................................................172
5.3.2 M ethodology ...................................................................................................................................... 
174
5.3.3 Objectives of Interviews.................................. ................................................................................ 
174
5.4 HOUSTON, TEXAS...................................................................................... .........................................
176
5.4.1 Background......................................... ............................................................. ............................... 
176
5.4.2 Air Quality H istory ............................................................................................................................ 179
5.4.3 ITS D eploym ent................................................................................................................................. 
186
5.4.4 ITS-Air Quality Links................................. ..................................................................................... 
190
5.4.5 Summ ary ............................................................................................................................................ 
199
5.5 Los ANGELES, CALIFORNIA ................................................................................................................ 
202
5.5.1 Background........................................................................................................................................202
5.5.2 Air Quality H istory ............................................................................................................................
209
5.5.3 ITS D eployment................................................................................................................................. 
214
5.5.4 ITS-Air Quality Links.................................. ....................................................................................... 
216
5.5.5 Sum mary ............................................................................................................................................
225
5.6 BOSTON, M ASSACHUSETTS .................................................................................................................. 
227
5. 6.1 Background........................................................................................................................................227
5.6.2 Air Quality H istory ............................................................................................ 
............................. 230
5.6.3 ITS D eployment................................................................................................................................. 
236
5.6.4 ITS-Air Quality Links................................. ...................................................... 
.............................. 240
5.6.5 Summary ............................................................................................................................................ 
246
5.7 O RLANDO, FLORIDA............................... ... . ..... ...................................
248
8
5.7.1 Background.................................... ............................................................. ................................... 248
5.7.2 Air Quality H istory .......................... .................... ........ ............................... . .................................. 250
5.7.3 ITS D eploym ent............................. .... ......... ............. .... ....... .......... ............................... 253
5.7.4 ITS-Air Q uality Links.................................. ............................ ........ ........... ................................ 256
5.7.5 Summ ary ............................................................... .. .. ............... ... .... ............................... 257
5.8 TULSA, O KLAHOM A ................................................................................................................................ 259
5.8.1 Background................................................. .............................................................. ......................... 259
5.8.2 Air Q uality H istory .................................................. .. ....................... .................................... 261
5.8.3 ITS D eploym ent............................................................................................ ...................................... 264
5.8.4 ITS-Air Q uality Links................................... ................................................................................... 266
5.8.5 Sum m ary ................................................................................................ ............................................ 270
5.9 CONCLUSIONS ......................................................................................................................................... 271
CHAPTER 6. ANALYSIS OF U.S. CASES USING IIDAPT FRAMEWORK.................................................272
6.1 INTRODUCTION ........................................................................................................................................ 273
6.1.1 Seven Conditions......................................................................................................... ....................... 273
6.1.2 Local Context................................................ ............................................................ ......................... 278
6.2 ANALYSIS OF CASES ................................................................................................................................ 280
6.2.1 H ouston .......... .......................................................................... .................................. ........................ 283
6.2.2 Los Angeles.............................................................................. .... ........... ................................ 299
6.2.3 Boston ....................................................................................................................... ...................... 310
6.2.4 Orlando.............................................................................................................. ............................. 320
6.2.5 Tulsa .................................................................................................................................................. 324
6.3 EVALUATING THE THEORETICAL FRAM EW ORK ...................................................................................... 331
6.3.1 How well did our theory ofllDAPTperform in predicting actual outcomes?...................................331
6.3.2 What conditions were the most important forpredicting outcomes?..............................................335
6.3.3 What conditions were the most important for explaining outcomes? ................................................ 339
6.4 IMPLICATIONS FOR POLICY...................................................................................................................... 344
6.4.1 Four A reas for Policy Intervention ................................................................................................. 344
6.4.2 How are metropolitan areas deploying ITS for air quality improvements in the US?.......................348
6.4.3 Revisiting Conform ity and CM A Q ............................................................... ..................... 355
6.5 CONCLUSIONS ......................................................................................................................................... 357
CHAPTER 7. MEXICO CITY: CASE HISTORY, ANALYSIS AND RECOMMENDATIONS...................358
7.1 INTRODUCTION....................................................................... ...................... .................................... 359
7.1.1 M otivation for Extension to M exico City ......................... .......................................................... 359
7.1.2 M exico City Fieldwork.......................................................................................................................360
7.1.3 Structure ofAnalysis..........................................................................................................................360
7.2 ITS AND AIR QUALITY POLICY AT THE FEDERAL LEVEL IN MEXICO ...................................................... 362
7.2.1 D em ocratization and D ecentralization......................... .................................. ........................ 362
7.2.2 Federal ITS Policy ............................................................................................................................. 364
7.2.3 Federal Air Quality Regulation and Transportation System Planning..............................................366
7.3 TRANSPORTATION AND AIR QUALITY IN THE MEXICO MEGACITY.........................................................372
7.3.1 Background..................................................................................................... .............................. 372
7.3.2 Air Q uality H istory ............................................................................................................................ 380
7.3.3 ITS D eploym ent ................................................................................................................................. 391
7.3.4 ITS-Air Q uality Links.........................................................................................................................395
7.4 A SSESSING THE POSSIBILITIES FOR IID APT ......................................................................................... 399
7.4.1 Seven Conditions for JIDAPT and Predicted IIDAPT Levels in Mexico City....................................399
7.4.2 Actual IIDAP T Levels in M exico City....................... ..................................... ..................... 404
7.4.3 Comparison and D iscussion ..................................................................................... ......................... 406
7.5 TECHNOLOGY AND POLICY RECOMMENDATIONS FOR THE MCMA.....................................................411
7.5.1 ITS Options for Air Q uality Improvem ents...................... ....................................................... 411
7.5.2 Policy and Institutional Options for Improving Air Quality through ITS..........................................416
7.6 C ON CLU SION S ......................................................................................................................................... 42 1
CHAPTER 8. FINDINGS, RECOMMENDATIONS AND FUTURE RESEARCH.........................................422
8.1 REVIEW OF RESEARCH QUESTION AND MOTIVATION..............................................................................423
8.2 F IN D IN G S................................................................................................................................................. 426
8.2.1 How does ITS improve/degrade air quality? .................................................................................... 426
8.2.2 Can we develop and test/validate aframework for predicting levels of IIDAPT?.............................428
8.2.3 What conditions lead to higher/lower levels of IIDAPT in using ITS to support air quality goals in
addition to m obility goals?.................................................. ......................................... ............................ 435
8.2.4 What are the contributions to the literature?...................................................................................436
8.2.5 Are ITS technologies being "shaped" to promote air quality objectives, and ifso, how? ................ 440
8.3 R ECOM M ENDATIONS ...............................................................................................................................
444
8.3.1 Improving the Conditions for Using ITS for Air Quality Purposes....................................................444
8.3.2 Current US Transportation and Air Quality Regulatory Framework................................................446
8.3.3 Technology and Policy Recommendations for Mexico City...........................................................446
8.4 FUTURE R ESEARCH .................................................................................................................................
448
8.4.1 Refinement of the IIDAPTFramework and Methodology in the Context of ITS...............................448
8.4.2 Application ofllDAPTFramework to Other Countries/Cities.......................................................450
8.4.3 Application ofllDAPTFramework to Other Public Technologies....................................................451
8.5 FIN AL T HOUGHTS..................................... ............................................................................................... 453
REFERENCES ........................................................................................................................................................ 454
SELECTED WEBSITES ........................................................................................................................................ 471
APPENDIX A. EMISSIONS FACTORS BY ACCELERATION RATES.........................................................473
APPENDIX B. ITS TAXONOMY BY MITRETEK ............................................................................................ 475
APPENDIX C. REVIEW OF CONFORMITY AND CMAQ..............................................................................477
C. 1 WHAT IS TRANSPORTATION CONFORMITY? ...............................................
. .. .. .. ... .. .. .. .. .. . .. .. .. .. .. .. . .. ... . .. .. .
477
C.2 ITS-RELATED TRANSPORTATION CONTROL MEASURES..........................................................................479
C.3 WHAT IS THE CONGESTION MITIGATION AND AIR QUALITY (CMAQ) IMPROVEMENT PROGRAM? ......... 482
APPENDIX D. ELEMENTS OF INTERVIEW PROTOCOL ............................................................................
484
D. 1 LETTER OF INTRODUCTION AND REQUEST FOR INTERVIEW.....................................................................484
D.2 CONSENT FORM FOR PARTICIPATION IN STUDY ...................................................................................... 486
D .3 INTERVIEW Q UESTIONS ..................................... .... ...... ....................................................................... 
487
APPENDIX E. IIDAPT CALCULATIONS FOR CASE STUDY CITIES........................................................492
E.1 QUALITATIVE AND NUMERICAL SCALES FOR IIDAPT ............................................................................ 492
E .2 H OUSTON, T EXAS................................................... .......... ................................................................ 494
E.3 LOS ANGELES, CALIFORNIA ................................................................................................................... 498
E.4 BOSTON, M ASSACHUSETTS .................................... ................................................................................ 502
E .5 O RLANDO, FLORIDA ...................................... .......... .............................. .......................................... 505
E.6 TULSA, O KLAHOM A .............................. ....... ........... ........ .............................................................. 
506
E.7 FIVE-CITY COM PARISON ......................................................................................................................... 
508
E .8 M EX ICO C ITY .......................................................................................................................................... 509
LIST OF TABLES
Table 2-1 National ITS Program goal areas and measures of effectiveness...............................................................44
Table 2-2 Overview of Emissions and Air Quality Impacts by ITS Subsystem.........................................................50
Table 2-3 Reported emissions changes for Syracuse signal interconnect project.......................................................57
Table 2-4 Emissions/Fuel Use Changes with and without Ramp Metering...............................................................59
Table 3-1 Nine mechanisms of ITS' air quality impacts ......................................................................................... 89
Table 3-2 Tabulating the links from ITS to air quality mechanisms .......................................................................... 95
Table 3-3 Behavioral changes and increased VMT....................................................................................................99
Table 4-1 Qualitative Scale for Integrated Innovation, Deployment and Adaptation of Public Technologies.........141
Table 4-2 N um erical scale for IID APT .................................................................................................................... 142
Table 4-3 Scaling up from technology-specific to metropolitan-area IIDAPT levels .............................................. 143
Table 4-4 Three measures of IIDAPT at the metropolitan level..............................................................................144
Table 4-5 Comparing theory and outcom es..............................................................................................................152
Table 5-1 1-hour ozone classifications and attainment dates...................................................................................159
Table 5-2 ITS deploym ent indicators ....................................................................................................................... 162
Table 5-3 Classification of metropolitan areas by level of ITS deployment.............................................................166
Table 5-4 Comparison of cities selected for case studies ....................................................................................... 173
Table 5-5 SIP categories and examples of control measures in Houston ................................................................ 182
Table 5-6 Legacy system s in the H ouston Region...................................................................................................187
Table 5-7 Number of projects, emission reductions, and cost by project type (after 2000)......................................192
Table 5-8 Number of projects, emission reductions, and cost by project type (1994-9)...........................................193
Table 5-9 CMAQ project categories for Houston, TIP years 2005-2008 ................................................................
195
Table 5-10 TCM categories and measures for the SCAG region ............................................................................ 218
Table 5-11 CMAQ projects from the 2004 RTIP* ................................................................................................ 220
Table 5-12 CMAQ funding by county, FY 2004/5-2009/10 (millions of USD) ...................................................... 221
Table 5-13 CMAQ program obligations by county, FY 1996-2000......................................................................221
Table 5-14 TCM and total RTP emission reductions (tons per day) in 2010 ........................................................... 222
Table 5-15 M BTA transit services and ridership......................................................................................................229
Table 5-16 Original transit agreement projects and proposed substitutions ............................................................. 235
Table 5-17 CMAQ-funded projects, FY 2006-2008 .............................................................................................. 243
Table 5-18 CMAQ project emissions reductions, 1996-1998 TIP...........................................................................244
Table 5-19 Tulsa Early Action Compact (EAC) milestone commitments.............................................................262
Table 5-20 ITS content of air quality programs/projects in Tulsa .........................................................................
267
Table 5-21 Transportation emission reduction strategies for the Tulsa EAC ........................................................
269
Table 5-22 Emissions rates (g/mi) for three speed profiles ...................................................................................
269
Table 6-1 Seven Conditions for IID APT ....................................... .............. ........... 
........................................ 278
Table 6-2 Qualitative Scale for IID A PT ...................................................................................................................
280
Table 6-3 Measures of IIDAPT at the metropolitan level......................................................................................281
Table 6-4 IIDAPT average level and range in Houston .........................................................................................
287
Table 6-5 Measures of IIDAPT for Houston ............................................................................................................
288
Table 6-6 Comparison of predicted and actual outcomes in Houston ..................................................................
290
Table 6-7 IIDAPT level and range in Los Angeles ...............................................................................................
301
Table 6-8 Measures of IIDAPT for Los Angeles ...................................................................................................
302
Table 6-9 Comparison of predicted and actual outcomes in Los Angeles.............................................................303
Table 6-10 IIDAPT level and range for Boston .....................................................................................................
312
Table 6-11 Measures of IIDAPT for Boston .........................................................................................................
312
Table 6-12 Comparison of predicted and actual outcomes in Boston....................................................................314
Table 6-13 Measures of IIDAPT for Orlando ...........................................................................................................
321
Table 6-14 Comparison of predicted and actual outcomes in Orlando..................................................................322
Table 6-15 IIDAPT level and range in Tulsa ............................................................................................................
325
Table 6-16 Comparison of predicted and actual outcomes in Tulsa.........................................................................327
Table 6-17 Predicted versus actual IIDAPT outcomes.............................................................................................332
Table 6-18 Frequency of use and average IIDAPT levels of each ITS application area .......................................... 350
Table 6-19 Summary of IIDAPT "best practices" in ITS for air quality in five US cities........................................353
Table 7-1 Timeline for national and DF administrations since 1988........................................................................363
Table 7-2 National ambient air quality standards in Mexico....................................................................................366
Table 7-3 Levels for activation and deactivation of a Phase I contingency event .................................................... 367
Table 7-4 Government agencies and areas/sub-areas of intervention.......................................................................377
Table 7-5 Mobile source NOx emissions by vehicle category ................................................................................. 382
Table 7-6 IIDAPT level and range in Mexico City .................................................................................................. 405
Table 7-7 IIDAPT outcomes: "predicted" and actual in the Federal District ........................................................... 406
Table 7-8 Timeline for major transportation actions in the Federal District.............................................................408
Table 8-1 Qualitative Scale for IID APT ................................................................................................................... 430
Table 8-2 N um erical Scale for IID APT .................................................................................................................... 430
Table 8-3 Scaling up to the Metropolitan Area.........................................................................................................431
Table 8-4 Predicted versus actual IIDAPT levels.....................................................................................................433
Table 8-5 Frequency of use and average IIDAPT levels of each ITS application area ............................................ 441
Table 8-6 IIDAPT "best practices" in ITS for air quality in five US cities .............................................................. 442
Table C-1 Traffic Flow Improvements, Demand Management and Telecommuting ............................................... 479
Table C-2 Biking/Walking, Transit and Paratransit.................................................................................................480
Table C-3 Pricing, Parking, Smart Growth and Other Measures..............................................................................481
Table E-1 Qualitative Scale for IID APT ......................................................... ................................................... 492
Table E-2 Numerical Scale for IIDAPT .............................................. ........................................................... 492
Table E-3 Scaling up to the Metropolitan Area........................................................................................................492
Table E-4 Arterial traffic flow improvements: Regional Computerized Traffic Signal System (RCTSS)..............494
Table E-5 Freeway management strategies: Computerized Transportation Management Systems (CTMS)...........494
Table E-6 Freeway traveler information: TranStar traffic map ................................................................................ 494
Table E-7 Transit information: Metro Trip Planner..................................................................................................495
Table E-8 Transit operational improvements: Integrated Vehicle Operation and Management System (IVOMS)..495
Table E-9 Rideshare support: Online rideshare matching and mini-pool availability .............................................. 495
Table E-10 Demand management/pricing: QuickRide HOT lanes for the Northwest Freeway (US-290) and Katy
Freew ay (IH -10)............................................................................................................................................... 495
Table E- 11 Other applications: Online Reporting of Smoking Vehicles...............................................................496
Table E-12 Scaling up to the Houston Metropolitan Area ..................................................................................... 496
Table E-13 Measures of IIDAPT for Houston.................................................................................................497
Table E-14 Arterial Traffic Flow Improvements: ATSAC/ATCS............................................................................498
Table E-15 Freeway management strategies: ATMS/ATIS for Ports, closed circuit TV and changeable message
sign s .......................................................................... ....................................................................................... 4 9 8
Table E-16 Transit Information: Transit trip planning tools....................................................................................498
Table E-17 Multi-modal Information: CommuteSmart.info...................................................................................498
Table E-18 Transit operational improvements: AVL and communication systems ................................................ 499
Table E-19 Transit fare payment systems: Universal Fare System Regional Project...............................................499
Table E-20 Rideshare support: Ridematch.info Database ........................................................................................ 499
Table E-21 Demand management/pricing: SR 91 HOT lane (Orange County)........................................................500
Table E-22 Scaling up to the Los Angeles Metropolitan Area .............................................................................. 500
Table E-23 Measures of IIDAPT for Los Angeles ................................................................................................ 500
Table E-24 Arterial traffic flow improvements: City of Boston TMC ..................................................................... 502
Table E-25 Freeway Management Strategies: Traffic Operations Center for Incident Management.......................502
Table E-26 Multi-modal information: SmarTraveler................................................................................................502
Table E-27 Transit Operational Improvements: Transit Signal Priority (e.g., Silver Line and Route 39 buses).....502
Table E-28 Transit Fare Payment Systems: CharlieTicket and CharlieCard........................................................503
Table E-29 Rideshare support: RideShare online matching .................................................................................. 503
Table E-30 Scaling up to the Boston Metropolitan Area ....................................................................................... 503
Table E-31 M easures of IID A PT for Boston............................................................................................................504
Table E-32 Freeway Management Strategies: Electronic Toll Collection (E-Pass) .............................................. 505
Table E-33 Other applications: TravTek in-vehicle navigation field operation test..............................................505
Table E-34 Scaling up to the Orlando Metropolitan Area...................... ...................................................... 505
Table E-35 M easures of IID APT for Orlando ..........................................................................................................
505
Table E-36 EAC Traffic Signalization Improvements....................... .......................................................
506
Table E-37 Tulsa R ideShare O nline M atching .........................................................................................................
506
T able E -38 O zone A lert! on V M S ............................................................................................................................
506
Table E-39 Scaling up to the Tulsa Metropolitan Area ..................... ....................................................
506
Table E-40 M easures of IID A PT for Tulsa .............................................................................................................. 
507
Table E-41 Five-city comparison of IIDAPT average levels and range ................................................................ 508
Table E-42 Freeway management strategies: Apoyo Vial motorist assistance.......................................................509
Table E-43 Transit operational improvements: Automated Vehicle Location (GPS) for Metrobus........................509
Table E-44 Transit fare payment systems: Smart Card for Metrobus....................................................................509
Table E-45 Scaling up to the Mexico City Metropolitan Area.........................................................................510
___ __
LIST OF FIGURES
Figure 1-1 IIDAPT Framework: Four Activities and Seven Conditions ....................................................................
30
Figure 1-2 Overview of Research Design...................................................................................................................40
Figure 2-1 Land-use/transportation/emissions/air quality chain.................................................................................47
Figure 2-2 Emissions and Travel Time Changes with Incident Information..............................................................52
Figure 2-3 MOBILE emissions factors for CO, NOx and HC by speed (g/mi)..........................................................53
Figure 2-4 EMFAC2000 light-duty vehicle emissions rates by speed (grams/mi).....................................................54
Figure 2-5 "U rban V ision" for ITS............................................................................................................................. 68
Figure 2-6 Structure of the ITS Taxonomy.................................................................................................................70
Figure 2-7 Intelligent Infrastructure - Emissions and Energy Subsystem...................................................................72
Figure 2-8 Intelligent Vehicles - Emissions and Energy Subsystem..........................................................................72
Figure 3-1 Relationship between traffic speed (v) versus flow/volume (q)................................................................90
Figure 3-2 ITS applications and air quality mechanisms............................................................................................92
Figure 3-3 Tracing the links from ITS applications to key air quality mechanisms ...................................................
95
Figure 3-4 Traffic flow improvements and induced demand......................................................................................97
Figure 3-5 Induced travel under constant demand.....................................................................................................98
Figure 3-6 Induced travel with underlying growth in transportation demand ............................................................ 98
Figure 3-7 Physical expansion versus ITS-based improvements..............................................................................105
Figure 3-8 Three approaches to incorporating emissions goals in ITS deployments................................................112
Figure 4-1 Relationship between seven conditions and IIDAPT...........................................................................150
Figure 4-2 Process for measuring IIDAPT conditions and outcomes.......................................................................153
Figure 5-1 Re-designated areas by level of non-attainment.....................................................................................160
Figure 5-2 ITS deployment and population.............................................................................................................164
Figure 5-3 Comparison of summary ITS indicator and full ITS indicator (2002 survey) ........................................
165
Figure 5-4 C ongestion and IT S................................................................................................................................. 
167
Figure 5-5 ITS deployment and air quality for 78 US metropolitan areas..............................................................170
Figure 5-6 Geographic distribution of case studies ..............................................................................................
173
Figure 5-7 Map of Houston Metropolitan Area .....................................................................................................
177
Figure 5-8 Number of days when a monitor exceeded the 1-hr ozone standard.......................................................179
Figure 5-9 Emissions inventory for the Houston-Galveston Area (2002) ...............................................................
180
Figure 5-10 Toll/managed lanes network for the Houston Metropolitan Area........................................................186
Figure 5-11 Emissions reductions and total cost for TCMs completed/pending after 2000.....................................191
Figure 5-12 Emissions reductions and total cost for TCMs (1994-9).......................................................................193
Figure 5-13 CMAQ share of cost and NOx reductions (in millions of US dollars)..................................................196
Figure 5-14 Map of Los Angeles Metropolitan Area............................................................................................203
Figure 5-15 Growth in population, travel (VMT) and lane miles.........................................................................205
Figure 5-16 Six-county SCA G region ...................................................................................................................... 
206
Figure 5-17 Geographic distribution of days exceeding 1-hour ozone concentrations.............................................209
Figure 5-18 Emissions inventory for the South Coast Air Basin (2005) ..................................................................
210
Figure 5-19 1-hour ozone trends in the South Coast Air Basin .............................................................................
211
Figure 5-20 System priorities for the 2004 Regional Transportation Plan (RTP) ....................................................
225
Figure 5-21 Map of Boston Metropolitan Area .......................................................................................................
228
Figure 5-22 Number of days above 1-hour ozone standard for the Boston 
Region..................................................231
Figure 5-23 1999 Emissions inventory for the Boston Region...............................................................................232
Figure 5-24 Map of Orlando Metropolitan Area ...................................................................................................
249
Figure 5-25 Emissions inventory for Central Florida (2002)....................................................................................251
Figure 5-26 Map of Tulsa Metropolitan Area...........................................................................................................260
Figure 6-1 Relationship between seven conditions, IIDAPT outcomes, and 
local context ...................................... 279
Figure 6-2 Predicted versus actual IIDAPT levels for five case study cities..........................................................333
Figure 7-1 Population growth of the Mexico City Metropolitan Area (MCMA) 
.................................................... 372
Figure 7-2 Growth in urban area of the Mexico City Metropolitan Area (1970-2000) ........................................... 373
Figure 7-3 Estimated modal split for the MCMA (1986-2000)........................................................................374
Figure 7-4 Roadw ay netw ork for the M CM A .................................................................................... ...................... 375
Figure 7-5 Emissions Inventory for the Mexico City Metropolitan Area (metric tonnes per day)..........................381
Figure 7-6 Annual sales of new vehicles in Mexico and the MCMA (1994 to 2006)..............................................383
Figure 7-7 Number of days above 1-hour ozone limit (0.11 ppm) and above Phase I contingency levels for ozone
(0 .2 82 p p m ) ........................................................................................................................ .............................. 3 8 8
Figure 7-8 Relationship between seven conditions, IIDAPT outcomes, and local context ......................................
399
Figure 8-1 IID A PT Fram ew ork .............................................................................................. ....................... 424
Figure 8-2 Choosing Five Case Study Cities......................................................... ...................... 433
Figure 8-3 Visual comparison of predicted versus actual IIDAPT levels..................... ............................ 434
Figure A-1 HC emissions factors by acceleration at 10, 35, 60 mph (from CMEM) ............................................ 473
Figure A-2 CO emissions factors by acceleration at 10, 35, 60 mph (from CMEM) ............................................ 474
Figure A-3 NOx emissions factors by acceleration at 10, 35, 60 mph (from CMEM)............................................474
Figure B -1 Intelligent Infrastructure............................................................................................ ......................... 475
Figure B -2 Intelligent Infrastructure (continued) ......................................................................................................
476
Figure C-1 CM AQ Reporting Categories....................................................... ..................................................
482
__
ACRONYMS
ACC
APC
APTS
AQI
AQMP
ARTS
ATIS
ATMS
ATSAC/ATSC
AVCS
AVI
AVL
AVR
BRT
BTD
CA/T
CAAA
CAD
Caltrans
CAM
CARB
CBO
CCTV
CHP
CLF
CMAQ
CMEM
CMS
CO
Cometravi
CTA
CTMS
CTPS
CVO
DF
DMS
DOE
E&E ITS
EAC
ECO
EIA
EM
EMFAC
EOT
Adaptive Cruise Control
Automatic Passenger Counter
Advanced Public Transportation System
Air Quality Index
Air Quality Management Plan
Advanced Rural Transportation Systems
Advanced Traveler Information System
Advanced Transportation Management System
Automated Traffic Surveillance and Control/Adaptive Traffic Signal
Control (Los Angeles)
Advanced Vehicle Control System
Automated Vehicle Identification
Automated Vehicle Location
Average Vehicle Ridership
Bus Rapid Transit
Boston Transportation Department
Central Artery/Tunnel Project (a.k.a. the "Big Dig")
Clean Air Act Amendments
Computer-Aided Dispatch
California Department of Transportation
Metropolitan Environmental Commission
California Air Resources Board
Congressional Budget Office
Closed Circuit Television
California Highway Patrol
Conservation Law Foundation
Congestion Mitigation and Air Quality Improvement Program
Comprehensive Modal Emissions Model
Changeable Message Signs (see also VMS and DMS)
Carbon monoxide
Metropolitan Commission for Transportation and Roadways
Constructive Technology Assessment
Computerized Transportation Management System
Central Transportation Planning Staff(Boston area)
Commercial Vehicle Operations
Federal District (Distrito Federal)
Dynamic Message Signs (see also VMS and CMS)
Department ofEnergy
Emissions and Energy ITS
Early Action Compact
Employee Commute Options
Environmental Impact Assessment
State ofMexico (Estado deMexico)
California motor vehicle emissions factor model
Executive Office of Transportation (Massachusetts)
EPA Environmental Protection Agency
ETC Electronic Toll Collection
ETR Employee Trip Reduction
EVSC External Vehicle Speed Control
FAR Flexible Attainment Region
FDOT Florida Department of Transportation
FHWA Federal Highway Administration
FTA Federal Transit Administration
GAO 
Government Accountability 
Office
(General Accounting Office, before 2004)
GIS Geographic Information System
GPS Global Positioning System
HAR Highway Advisory Radio
HC Hydrocarbons
H-GAC Houston-Galveston Area Council
HNC Day without a Car (Hoy No Circula)
HOT HOV/Toll
HOV High occupancy vehicle
HIPMS Highway Performance Monitoring System
I/M Inspection and Maintenance
IbTS Information-based Transportation Strategies
ICT Information and Communications Technologies
IIDAPT Integration Innovation, 
Deployment and Adaptation 
ofPublic
Technologies
IMECA Air quality index in Mexico
IMT Mexican Institute of Transportation
INCOG Indian Nations Council of Governments
INE National Institute ofEcology
ISTEA Intermodal Surface Transportation Efficiency Act
ITS Intelligent Transportation Systems
IV Intelligent Vehicles
IVHS Intelligent Vehicle-Highway Systems
IVOMS Integrated Vehicle Operation Management System (Houston)
JPO Joint Program Office
KPH Kilometers per hour
LEV Low Emission Vehicle
LEZ Low Emission Zone
LPR License Plate Recognition
MADEP Massachusetts Department ofEnvironmental Protection
MBTA Massachusetts Bay Transportation Authority
MCMA Mexico City Metropolitan Area
MIS Major Investment Study
MOBILE EPA's motor vehicle emissions model
MOE Measures of Effectiveness
MPH Miles per hour
MPO Metropolitan Planning Organization
NAAQS National Ambient Air Quality Standards
NCHRP National Cooperative Highway Research Program
NEPA
NESCAUM
NGO
NHS
NMHC
NMT
NO
NO
2
NOx
NPRM
03
OBD
OCTA
ODEQ
ODOT
OOCEA
OTAG
PATH
PDA
PITV
PMo
10
PM
2
.
5
PMT
Proaire
RCTSS
ROP
RPA
RTIP
RTP
RVP
SCAG
SCAQMD
SCT
Semarnat
Setravi
SIP
SMA
SOS
SOV
SSP
STIP
STP
STPP
TCEQ
TCM
TDM
TIP
TMC
National Environmental Policy Act
Northeast States for Coordinated Air Use Management
Non-governmental Organization
National Highway System
Non-methane Hydrocarbons
Non-motorized Travel
Nitrogen oxide
Nitrogen dioxide
Nitrogen oxides (includes both NO and NOZ)
Notice ofproposed rulemaking
Ozone
On-board Diagnostic
Orange County Transportation Authority
Oklahoma Department ofEnvironmental Quality
Oklahoma Department of Transportation
Orlando-Orange County Expressway Authority
Ozone Transport Assessment Group
California Partners for Advanced Transit and Highways
Personal Digital Assistant
Mexico City's Integrated Program for Transportation and Roadways
Coarse Particulate Matter (smaller than or equal to 2.5 micrometers)
Fine Particulate Matter (smaller than or equal to 2.5 micrometers)
Person miles traveled
Mexico City's Air Quality Program
Regional Computerized Traffic Signal System (Houston)
Rate of Progress
Roadside Pollution Assessment
Regional Transportation Improvement Program
Regional Transportation Plan
Reid Vapor Pressure
Southern California Association of Governments
South Coast Air Quality Management District (California)
Secretariat of Communication and Transportation
Secretariat of the Environment and National Resources
Secretariat of Transportation and Roadways in the Federal District
State Implementation Plan
Secretariat of the Environment in the Federal District
Secretariat ofPublic Works and Services in the Federal District
Single Occupancy Vehicle
Secretariat of Public Security in the Federal District
State Transportation Improvement Program
Surface Transportation Program
Surface Transportation Policy Program
Texas Commission on Environmental Quality
Transportation Control Measure
Transportation Demand Management
Transportation Improvement Program
Transportation (or Traffic) Management Center
TNRCC Texas Natural Resources Conservation Commission
TRB Transportation Research Board
TSM Transportation System Management
TSP Traffic Signal Priority
TTI Travel Time Index or Texas Transportation Institute
TxDOT Texas Department of Transportation
UAM Urban Airshed Model
US DOT US Department of Transportation
US EPA US Environmental Protection Agency
VMS Variable Message Signs (see also DMS and CMS)
VMT Vehicle Miles Traveled
VOC Volatile organic compounds
WAPM Wide-Area Pollution Monitoring
CHAPTER 1. BACKGROUND, MOTIVATION 
AND APPROACH
The social trend that is coming to have the greatest influence 
on transportation
is the growing role of information processing and telecommunications 
in modern society.
- (Wachs 
2002)
The enabling technology of ITS,
the transportation/information infrastructure,
can and will have profound effects.
We hope they will be positive -
accessibility, economic growth, improved quality of life,
improving information for planning and intermodal transport.
However, unforeseen outcomes, both positive and negative,
are certain with this new transportation enterprise.
- (Sussman 
2005)
It is sometimes said that we get the politicians we deserve.
But if this is true, then we also get the technologies 
we deserve.
Our technologies mirror our societies.
They reproduce and embody the complex interplay of
professional, technical, economic, and politicalfactors....
Technologies, we are saying, are shaped.
They are shaped by a range of heterogeneous factors.
And, it also follows, they might have been otherwise.
- (Bijker and Law 
1992)
Intelligent Transportation Systems (ITS) represent the application of information and
communications technologies (ICT) to the infrastructure and vehicles and that comprise the
surface transportation system. For this thesis, we will be focusing primarily on ITS technologies
that are applied to traditional urban transportation infrastructure (rather than vehicles) -
highways (general purposes lanes and high-occupancy vehicle lanes), arterials and local streets,
and public transportation. These include, but are not limited to, technologies for traffic signal
network control, transportation operations/management centers, incident management systems,
electronic toll collection, automated fare collection, and computer-aided dispatching of transit
vehicles. Because we will be considering passenger travel (and not freight transportation), we
will also analyze technologies that affect travel demand and trip-making patterns, such as traffic
and transit traveler information, transit trip-planning services, congestion pricing, and
ridesharing services. In-vehicle technologies, such as collision prevention systems and vehicle
navigation, may also have important environmental impacts, and we briefly discuss the possible
air quality implications of some of these "intelligent vehicle" technologies. Yet, for the purposes
of this thesis, we are more interested in "intelligent infrastructure" technologies.
1 
In general,
these technologies are deployed by public sector agencies - city and county public works or
transportation departments, state departments of transportation, transit agencies, and others.
Some observers also look to information and communications technologies as substitutes for
transportation, substituting flows of information for flows of travelers and goods. However, we
will be looking at how information is used to manage travel, not substitute for travel.
As noted by Sussman and Wachs, ITS and ICT have the potential to transform transportation
systems. Yet, while substantial progress has been made by the public sector in deploying ITS
across urban transportation systems, we consider ITS to still be in its so-called formative years.
2
For example, as of 2004, only 35% of US freeway miles had real-time traffic data collection
technolopies, one of the basic ITS components for nearly any type of freeway management
strategy. Less than half of vehicles in transit fleets in the US had automated vehicle location, a
critical component for most transit ITS applications. It is likely that an even lesser percentage of
vehicle fleets and freeway and arterial miles are actually managed in real time using these
technologies. Therefore, the question is, what will transportation systems look like in the future?
How will ITS, when more fully deployed, affect our transportation systems, our cities, and our
mobility? How will ITS affect our urban environments, for example, land use, habitat integrity,
noise, water quality and air quality? Speculation on this topic has led to the articulation of very
different visions by transportation experts. Cervero takes the following view of ITS:
STo summarize, looking ahead to Chapter 2, we will focus on Advanced Transportation Management Systems,
Advanced Public Transportation Systems, and Advanced Traveler Information Systems (see Table 2-2).
2 According to a Government Accountability Office (GAO) report, 
the level of ITS deployment, even of currently
available technologies, is below what was originally hoped for when the US National ITS Program was launched
approximately 15 years ago (US GAO, 2005).
3 See the ITS Deployment Tracking website: www.itsdeployment.its.dot.gov. 
For the national summary report, see
Gordon, S., J. Trombly, et al. (2005). Tracking the Deployment of the Integrated Metropolitan Intelligent
Transportation Systems Infrastructure in the USA: FY2004 Results. Oak Ridge, TN, Oak Ridge National Laboratory
and Science Applications International Corporation: 72 pages.
"In a decade or two, travel by automobile in some advanced countries may very well
involve the kind of technology and intelligence gathering once reserved for tactical
warfare. Onboard navigational aids, fed by satellite tracking systems, will give directions
in soothing digital voices. In big cities, roadside screens will flash messages about distant
traffic jams and alternative routes. Computerized control and guidance devices embedded
underneath heavily trafficked corridors will allow appropriately equipped cars and trucks
to race along almost bumper to bumper.... Although 
its goals of enhanced efficiency,
comfort and safety are unimpeachable, its inevitable costs - spiraling fuel consumption,
air pollution, suburban sprawl and urban decay - are sobering" (Cervero 1995, italics
added).
As the title of his article - Why Go Anywhere? - suggests, Cervero prefers the concept of the
substitution of travel by ICT and appropriately-designed communities, to the enhancement of
currently predominant modes of travel. Other authors, like Jordan and Horan, take a more
optimistic view of the potential for ITS to support sustainable communities:
"ITS offers the prospect of an information-intensive transportation system, in which the
information provided could increase mobility, reduce environmental damage, and better
serve the interests of communities" (Jordan and Horan 1997).
Similarly, Michael Replogle, with Environmental Defense, stressed that the use of ITS for
demand management strategies could be:
"the most important enabling technology driver in decades to reform and progress in
American transportation, winning for our citizens sustainable high wage jobs, reduced
traffic delay, more livable communities, and a healthy environment" (Replogle 1994).
We find in these statements - all from the mid-1990s, when ITS technologies were starting to be
more widely deployed and integrated - very different and plausible visions of what the 
impact of
ITS could be, how ITS technologies could be deployed, and for what purposes they could be
used. The fact that there is controversy among academics and professionals 
regarding the design
and, perhaps more importantly, the use of ITS technologies, and how that 
will affect
communities, makes this a fruitful area of investigation. It suggests that we will both 
find
different outcomes from one area to another 
in terms of how those systems are being developed,
and, we hope, identify the reasons for different outcomes or versions of those systems.
In this thesis, we will not attempt to predict the future of ITS and how it will 
influence the future
of cities. We take a very modest, and perhaps more practical approach 
to looking at this issue of
the "social shaping" of ITS and its impacts, looking at five metropolitan 
areas in the US and, for
a non-US comparison, Mexico City. We will look not at the broader questions of sustainable
transportation and sustainable development, but rather a more 
tightly bounded, but important
component of sustainability, which is urban air quality. Therefore, framed by this concept 
of the
social shaping of technologies, we will ask the question: Are ITS technologies 
being shaped to
promote air quality objectives, and, ifso, how?
1.1 BACKGROUND
During the past two decades, Intelligent Transportation Systems (ITS) have provided
transportation organizations with increasingly advanced tools both to operate and manage
systems in real-time and to plan future systems with much more detailed information regarding
system performance. At the same time, federal legislation was tightening the linkages between
state and local transportation investments and metropolitan air quality goals. Some observers
from the transportation profession saw in ITS an opportunity to improve the efficiency of
transportation systems, while at the same time better addressing air quality concerns. Traffic
flow could be managed in ways that would mitigate congestion, thus reducing emissions from
idling and stop-and-go traffic conditions, while public transit technologies could improve both
the operation and image of its service to attract new ridership away from the predominant use of
the single-occupancy automobile. Many in the environmental community were less enthusiastic
about the potential environmental enhancements that could be created by ITS, given their
concern with additional travel demand induced by enhanced capacity, but also saw some
possibilities for furthering air quality goals, such as congestion pricing and support of
Transportation Demand Management (TDM) strategies.
Fundamental changes to US metropolitan transportation and air quality planning were ushered in
with the passage of the 1990 Clean Air Act Amendments (CAAA) and the 1991 Intermodal
Surface Transportation Efficiency Act (ISTEA). While the CAAA created more stringent
requirements for metropolitan transportation planners to show that their plans, programs and
projects conformed to the purposes of the state air quality plans for meeting the National
Ambient Air Quality Standards (NAAQS), ISTEA both recognized that transportation must serve
other goals beyond safety and mobility, and provided a funding program for projects aimed at
mitigating the air quality impacts of transportation systems (Shrouds 1993; Savonis 1995). At
the same time, many important players in the transportation profession were beginning to rally
around an emerging national program of Intelligent Vehicle-Highway Systems (IVHS), or
Intelligent Transportation Systems (ITS).
4 
ITS is defined as "the application of computers,
communications and sensor technology to surface transportation" (ITS America 2002). Federal
government agencies, universities and research institutes, auto manufacturers, defense firms,
communications product and services providers, and highway policy interest groups, were
envisioning new solutions to many long-standing transportation problems. ISTEA was a
watershed for the ITS community, creating the National ITS Program, with funding for ITS
research and development, architecture and standards development, as well as funding to move
emerging technologies to the real-world through field operational tests and other more
deployment-oriented funding.
With the 1990 CAAA and 1991 ISTEA, Intelligent Transportation Systems and air quality would
thus become linked in many ways. It was recognized that the strategy of building more roadway
capacity as the default solution to worsening congestion in metropolitan areas was no longer a
viable or desired option, due to environmental and social impacts and financial limitations on
4 The term Intelligent Vehicle-Highway Systems (IVHS) was changed to 
Intelligent Transportation Systems (ITS) in
late 1994.
highway expansion. This would set in motion a shift towards a more operations-oriented
strategy, enabled in large part by the capabilities provided by ITS technologies to "manage"
infrastructure using real-time information on the system's performance, which could improve air
quality through smoother traffic flows. Because of air quality and other environmental and
social concerns, such as environmental justice, increasing emphasis was also given to boosting
public transportation ridership. ITS technologies for public transportation could improve control
over transit fleet operations, and provide a higher quality of service to the passenger, through
technologies such real-time information and electronic fare payment.
However, these changes represent only the supply side of the equation. Although fuel and
vehicle improvements were making substantial headway in reducing vehicular emissions and
improving air quality, increases in vehicle miles traveled (VMT) were constantly threatening to
diminish those gains (Shrouds 1993). Therefore, on the demand side, there was a reemphasis on
many of the traditionally unpopular transportation demand management (TDM) strategies in an
attempt to control the growth in VMT. However, 
these measures now could be facilitated,
expanded, and made more palatable to the traveling public using ITS. For example, carpool and
vanpool organization could increasingly be carried out via online services. The idea of dynamic
congestion pricing, praised by economists as a more efficient way of allocating scarce highway
capacity, but generally feared by politicians for their possibly negative political repercussions,
now offered to be technically feasible, through electronic toll collection, and more acceptable 
to
the public by integrating it with high-occupancy vehicle (HOV) lanes in the US. Finally, ITS
applications could also provide new ways to improve traditional vehicle inspection and
maintenance (I/M) programs to better control the emission levels from the vehicle fleet, in
particular, by identifying problematic high emitters or exempting clean vehicles through 
remote
sensing.
This points to a number of researchable questions regarding the role of ITS in transportation 
and
environmental planning and management in the post-ISTEA and 1990 CAAA era. We will 
now
present the approach that we selected, including 
the specific research questions we addressed,
and the methodology used.
1.2 RESEARCH APPROACH
ITS seems to represent a case of potential synergies - so-called "win-win" outcomes - that could
be realized for the dual policy goals of air quality and mobility through the adoption of new
technologies. However, we also recognize that ITS technologies are deployed by the public
sector primarily as a mobility strategy, typically for congestion mitigation purposes, but often for
safety reasons as well. Therefore, environmental gains, such as air quality benefits, must
"piggyback" on mobility gains. It follows, that if those public sector organizations responsible
for air quality and those responsible for transportation could cooperate in innovating, deploying,
assessing and further adapting these new technologies to take advantage of these synergies, in
theory, they could use ITS in a way that would also improve air quality.
Therefore, what is needed is a framework for understanding how the public sector organizations
that are deploying ITS, can innovate and adapt these new technologies in order to integrate air
quality objectives. To point ahead, we will describe the phenomenon of interest as Integrated
Innovation, Deployment and Adaptation of Public Technologies, or IIDAPT. We will explain
this concept is greater depth in later sections. But first, we examine our research questions.
1.2.1 Research Questions
There are several important questions that will guide this thesis. We begin with what appears to
be a straightforward question:
How does ITS improve/degrade air quality?
As we explore this issue in Chapters 2 and 3, we will find that there is no generalizable answer to
this question. Indeed, we find that this is not the right question to be asking.
5 
Instead, we should
be looking at how ITS technologies are deployed for air quality purposes and why, or why not.
Therefore, we turn to the core research questions of this research:
What conditions lead to higher/lower levels of JIDAPT in using ITS to support air
quality goals in addition to mobility goals?
Can we develop and test/validate a theoretical framework for predicting what
levels of lIDAPT will occur?
5 For example, historians and sociologists of science and technology 
who reject the idea of technological
determinism, would argue that this sets up the question in a way that gives too much "agency" to the technological
artifacts. They would argue that the technology itself does not have an inevitable internal trajectory, with inevitable
social impacts. Instead, the technology and its impacts are applied and shaped by society. The question should be
posed: how is ITS designed, applied, and used by society in ways that affect air quality, and is that effect generally
negative or positive? For examples of this line of research, see Smith, M. R. and L. Marx, Eds. (1994). Does
technology drive history?: the dilemma of technological determinism. Cambridge, MA, MIT Press. Also see Pinch,
T. J. and W. E. Bijker (1987). The Social Construction of Facts and Artifacts: Or How the Sociology 
of Science and
the Sociology of Technology Might Benefit Each Other. The Social Construction of Technological 
Systems. W.
Bijker, T. Hughes and T. Pinch. Cambridge, MA, MIT Press: 17-50.
This highlights the theory building and theory testing component of this work. Looking beyond
just ITS and air quality, these issues point to broader questions of how to appropriately manage
technology and its impacts on society, particularly technologies deployed by the public sector.
Specifically, how does the public sector innovate and deploy technologies in ways that maximize
the benefits, and minimize or avoid the negative impacts? In this manner, we address the
concept of the "social shaping" of technologies, to see how ITS technologies are being deployed,
by whom, and whether air quality is generally being "traded-off" for improved mobility, or
whether air quality and mobility are being "co-produced" through the deployment of ITS.
Drawing upon our case studies of five US cities, and one non-US city, Mexico City, we will also
answer the following question: are ITS technologies being "shaped" to promote air quality
objectives, and if so, how?
We will also seek to use this framework in a more normative sense, in order to provide
prescriptive advice regarding how to promote higher levels of IIAPT. This points us to the final
research question of this thesis:
Can we then use this framework to provide policy recommendations for fostering
higher levels of IIDAPT, and thus generate greater benefits for multiple policy
goals?
We will now describe the methodology that we will follow to address these questions.
1.2.2 Methodology
The distinct visions of the impact of ITS on urban communities - as illustrated by the quotes by
Cervero, Jordan and Horan, and Replogle presented above - suggest that the technologies
themselves are not responsible for the air quality impacts of ITS. Indeed, the question of which
of these visions will ultimately emerge, depends upon the ability and willingness of agencies to
use ITS to support multiple goals, such as air quality in addition to mobility goals.
Notwithstanding, there are important technical uncertainties regarding the way 
in which ITS can
affect air quality. Therefore, we describe our methodology beginning with this first question of
how ITS improves or degrades air quality.
1.2.2.1 Assessment ofAir Quality Impacts of ITS
We first address the issue of how ITS technologies can be beneficial or 
detrimental to air quality.
Again, we argue that the air quality impacts of ITS are contingent upon how those technologies
are applied and used by the organizations deploying and managing them. However, 
it is
important to understand the scientific and technical uncertainties underlying 
many of the debates
over ITS and its air quality impacts. It is also important to evaluate the "state-of-the-art" 
and
"state-of-the-practice" in 
terms of modeling and 
measuring how ITS affects 
air quality, since this
information is often employed by actors to make the case for or against ITS 
as an emission
reduction measure.
While there has been a growing number of studies critically examining the air quality impacts of
ITS, they are enough only to state that the jury is still out on the system-level and long-term
impacts. Knowledge has improved substantially for some pieces of the ITS-air quality puzzle,
such as how changes in acceleration and idling change emissions factors on a gram/mile basis.
Other aspects, such as the potential for induced demand for travel, remain relatively unexplored.
Therefore, we focus on the following issues:
* How does ITS improve/degrade air quality?
* Which ITS applications have been shown to have an important impact on air quality?
* Are there ITS applications specifically oriented toward the goal of improving air quality
or reducing fuel use?
* When deploying multiple ITS services - often along with conventional infrastructure
deployment - how can one unravel the overall air quality impacts?
We review the current literature related to the air quality impacts of ITS, in order to answer the
first three questions. In response to the fourth question, in Chapter 3, we then present a
qualitative systems framework for mapping out the possible air quality impacts from deploying
multiple ITS applications. What we find is that one cannot generalize as to the benefits or
negative impacts of ITS on air quality by looking only at the technologies themselves. Saying
that ITS technologies are either "good" or "bad" for air quality, would oversimplify the problem.
The impact that these technologies will have depends upon how these technologies are deployed
and used in practice, and whether air quality goals are integrated into the decisions for
deployment and application of these technologies.
1.2.2.2 Development of lIDAPT Framework
For this reason, we focus the core efforts of this thesis on identifying the conditions supporting
and inhibiting the adoption and use ITS technologies in ways that attempt to maximize the air
quality benefits, or reduce the negative air quality impacts of ITS. We develop a framework for
multiple public sector organizations cooperating in the deployment, assessment and adaptation of
new technologies. We more fully describe the desired outcome as the following:
Public sector organizations cooperate to adopt and use new technologies in
support of multiple policy goals. This process of innovation is iterative, as
agencies assess impacts and adapt technologies to new information on outcomes.
We refer to this as Integrated Innovation, Deployment and Adaptation of Public Technologies
(IIDAPT). The term integrated suggests the active pursuit of multiple public policy goals that
pertain to more than one public sector agency. This may be through active involvement and
cooperation of several (at least two) agencies in the design and deployment of a new technology,
or the more unilateral initiative of one agency to support the organizational and policy goals of
other agencies (in addition to their own goals), during the process of innovation and deployment.
Deployment indicates that we are focusing only on technologies that actually reach the
operational stage, not technology development, research or invention (although those may be
activities leading up to deployment). We use the 
term innovation with two ideas in mind. First,
there is innovation in the application of advanced technologies (such as ICT) to new sectors
(such as transportation). Second, there is another layer of innovation when these advanced
technologies (ICT), are applied to a new sector (transportation), in support of non-traditional
goals (air quality). Therefore, innovation, as we are using it here, is a combination 
of
technological innovation, with the adoption and adaptation of advanced technologies, and policy
innovation, in using these technologies in novel ways for reaching additional policy goals. We
also use the term adaptation to refer to the process of continual assessment of technologies and
their impacts, using the information that is generated during the evaluation process to improve
and modify the already implemented innovation, 
and/or designs for future deployments. 
Finally,
we use the term public technologies to indicate that these are technologies 
deployed primarily by
public sector organizations (although there may be additional cooperation and support from 
other
organizations), and that the technologies are intended to provide public benefits or 
public goods.
In the case of this research, those public benefits are mobility and accessibility and air quality.
We further suggest that there is a scale of 
IIDAPT outcomes. High IIDAPT levels, for 
example,
might reflect a more active involvement of various agencies and tighter integration 
of both
mobility and air quality concerns. High IIDAPT would also reflect the 
use of more advanced
technologies, or application of technologies in highly novel ways to support multiple 
policy
goals. High quality evaluations and continuous 
adaptation of technologies to improve outcomes,
would also be a characteristic of high IIDAPT. At the other end of the 
scale, low IIDAPT
outcome would reflect minimal integration 
of air quality concerns into ITS deployments,
sporadic assessment and little adaptation to new information, and the 
use of less advanced
technologies. Our hypothesis is that levels of IIDAPT are influenced 
by certain conditions that
promote or inhibit the adoption of new technologies in support 
of multiple policy goals.
* IIDAPTFramework
Having articulated the IIDAPT framework for managing complex socio-technical 
systems and
their impacts, the next step is identifying some of the conditions 
supporting or inhibiting
IIDAPT. For this, we turn to the literature on organizational 
theory, public administration, and
political science. In Chapter 4, we synthesize the literature 
for three core areas relevant to
IIDAPT: innovation in government, cooperation between organizations 
for achieving multiple
policy objectives, and the role of assessment and adaptation of technologies. 
These theories are
briefly introduced below. Figure 1-1 gives a preview of the IIDAPT 
framework, with the seven
conditions leading to IIDAPT.
___ __
Figure 1-1 IIDAPT Framework: Four Activities and Seven Conditions
The review of the literature points us to four activities supporting high levels of IIDAPT:
innovation, cooperation, assessment and adaptation. This figure shows the relationship between
the seven conditions, and how they affect the four activities that support IIDAPT: cooperation,
innovation, assessment and adaptation. We hypothesize that these conditions can have 
either a
negative or positive influence on the levels of IIDAPT (as indicated by the "+" or "-").
* Measurement of Conditions and Outcomes
However, in order to develop a more rigorous framework, we have to be consistent in the
measurement of both the conditions leading to IIDAPT and actual IIDAPT levels. As 
already
mentioned, IIDAPT can be considered a scale, ranging from low to high IIDAPT. Although we
do not quantify the conditions, we do create a scale to quantify actual levels of IIDAPT, 
which
we will measure in the case studies. This consists of a numerical scale for the level of IIDAPT.
This scale is based upon the levels of innovation, cooperation, assessment and adaptation, the
activities identified in the literature as supporting high levels of IIDAPT.
While this scale is developed for application to individual technology deployments, we also
develop a process for "scaling up" from individual technologies to the metropolitan level. The
motivation for scaling up from individual technology deployments to the metropolitan area, 
is
that we are interested in "aggregate" IIDAPT outcomes. We want to know how 
the seven
conditions within a metropolitan area influence IIDAPT levels at a metropolitan 
level. In other
words, can the seven conditions predict the levels of "innovativeness" of a metropolitan 
area in
using ITS for air quality purposes?
I
I
-------------------------------------------
1.2.2.3 Case Studies of ITS and Air Quality in the US
The hypothesis of this thesis is that there are conditions, which vary from city to city, that
determine to the levels of IIDAPT that will occur for ITS and air quality. This follows directly
from our core research questions presented in Section 1.2.1. A contribution of this thesis is to
identify these conditions, and test them across a set of five in-depth case cities. We chose these
five cities through a process of "purposive sampling," rather than taking a random sample of all
medium to large US metropolitan areas (we chose from a total of 78 areas). We selected what
would be considered two extreme cases, in terms of air quality problems as well as existing
levels of ITS deployment, and three other cities that were intended to (and did) capture a range of
IIDAPT outcomes. The five cities chosen were Los Angeles 
(California), Houston (Texas),
Boston (Massachusetts), Orlando (Florida), and Tulsa (Oklahoma). It should be noted, that
because the levels of IIDAPT for each city could only be assessed after the fieldwork was
completed and the cases were analyzed, cases could not have been chosen purposefully to reflect
a range of IIDAPT levels. Yet, we found that the cases also presented a good distribution of
IIDAPT, from low to high.
The fieldwork for the case studies involved a series of interviews with analysts, planners,
program managers and directors from public sector agencies at the city, county, and state level.
Typically, face-to-face interviews, ranging from one to two hours, were carried out with
individuals from the metropolitan planning organization, state environmental agency, state
transportation agency, city and county transportation or public works departments, city or county
transit agencies, and toll authorities. These interviews were carried out to assess the level of use
of ITS for air quality, identify related studies, gain insights into the motivations and barriers
toward using ITS for air quality goals, and raise specific questions related to the use of ITS for
transportation control measures (TCMs) in air quality plans, and the use of the Congestion
Mitigation and Air Quality (CMAQ) program for ITS deployments. In addition to the
information from the interviews, the case histories (in Chapter 5) were developed based 
on
transportation and air quality plans and programs, air quality conformity determinations, meeting
minutes from metropolitan planning organization committee meetings, minutes from public
consultations, media coverage (newspaper, magazines), and additional information from agency
websites, as well as websites maintained by public interest groups and non-governmental
organizations. Secondary analyses in books and journal articles were also used to further cross-
check information.
* Predictive Component
We then use the case cities to test our IIDAPT framework. Based on the seven conditions 
as
measured in each metropolitan area, we predict 
levels of IIDAPT that should be observed,
according to our theory. We then compare the predicted IIDAPT levels in each 
metropolitan
area, to the actual levels that were found. We first compare predicted to actual levels 
on a case-
by-case basis. Although the predicted levels are presented on a qualitative 
scale from low to
high, the actual outcomes are presented as both qualitative descriptions and 
quantitative
measures. Specifically, for the actual levels, we use a summary measure based upon 
the average
level, range and intensity of IIDAPT for ITS and air quality. We then 
perform a cross-case
analysis in order to identify which of the seven conditions seemed to be the most important
predictors of IIDAPT for all of the five cases.
0 Explanatory 
Component
The case study approach also has an explanatory component to it. The testing of the framework
points us toward the conditions that are the best predictors of overall IIDAPT levels. 
However,
because we use a relatively small set of case cities, we are able to explore the individual cases in
depth and with substantial detail. Therefore, having compared the predicted and actual levels,
we use the comprehensive case histories (in Chapter 5) to extract deeper explanation from the
seven conditions. This involves looking more closely at the mechanisms leading from the
individual conditions, to IIDAPT, as well as the possible connections between the conditions
themselves (as shown by dotted lines in Figure 1-1).
The case study approach also allows us to place the analysis within the local context of
transportation decisionmaking and investments, air quality management efforts and issues, ITS
deployment goals and problems, and broader political and organizational agendas and interests.
Looking ahead to the findings, we will find that how agencies use ITS as a measure for air
quality, depends upon whether it supports efforts to build the case for certain "preferred"
categories of transportation investment, both in roadway and transit. In fact, we find that this
general pattern holds in spite of the substantial diversity in the five cases analyzed.
1.2.2.4 Extending the Framework to Mexico City
In addition to the US case studies, we then take our theory one step further and apply it to the
case of Mexico City. We both test the theory with an additional case, but perhaps more
importantly, we assess its ability to provide useful policy and technology recommendations to a
non-US city regarding how to deploy ITS in a way that is congruent with and supportive of air
quality objectives. Given that Mexico City is beginning to deploy ITS more intensively, and the
severe air quality problems that this megacity is facing, we hope to provide timely
recommendations regarding the use of ITS for air quality improvements. Applying the results of
the US case studies to a non-US case clearly provides some additional challenges. However,
there are also important insights to be gained from applying this framework to the case of
Mexico City. Above all, it will test whether the seven conditions described for the theory of
IIDAPT are more broadly applicable outside of the US. It will also test whether we can begin to
measure IIDAPT levels for a non-US case.
As will be discussed in Chapter 7, the fieldwork in Mexico City was different from that
performed for the US case study cities. While the US case studies involved programmed
interviews during site visits ranging from a few days to a week, the author spent over two years
living in Mexico City, working on a number of projects related to transportation and air quality
management. Formal interviews were carried out during various phases of this research, with
earlier interviews (2002-2003) covering broad issues related to transportation and air quality
planning and metropolitan coordination, with later interviews (2003 and later) focusing on
Intelligent Transportation Systems and air quality.
1.2.2.5 The Appropriateness of the Case Study Approach
The case study approach is appropriate for an area of research where the theoretical basis is
limited or incomplete. Our interests lies in explaining under what conditions IIDAPT - a new
theoretical construct - will be higher or lower. We will review a large body of literature that
provides insights and suggests explanatory variables for the four activities that support IIDAPT -
specifically, cooperation, innovation, assessment and adaptation. However, we have used these
theories in the construction of a new theoretical framework. Therefore, each "link" between the
conditions and IIDAPT (the solid lines in Figure 1-1) has a basis in the existing theory.
However, because the concept of IIDAPT, as described in this thesis, is a new contribution, there
is no pre-existing full theoretical framework that we can test.
The case study approach provides for a more open-ended and exploratory analysis. It can also
form the basis of an iterative approach of theory development and testing, as long as there is
rigor in how the theory is structured and outcomes measured. Because the concept of IIDAPT is
a new concept being proposed in this research, the case study approach can be used to further
refine how this concept is defined and measured. By examining various cases of IIDAPT in
different contexts, we can also bound what can and cannot be considered as IIDAPT. Because of
the flexibility of the case study approach, it permits a combination of theory building -
developing the concept of IIDAPT and identifying conditions that affect it - and theory testing -
comparing the predicted and actual IIDAPT levels for five case studies. The flexibility of the
case study approach will allow us to build upon our theory testing to further refine the theory by
comparing how the conditions we identified performed in predicting and explaining 
outcomes
(or not) and by perhaps identifying additional conditions that may be tested in future refinements
of the theory, or eliminating conditions that were poor predictors of IIDAPT. It should be
emphasized that these case studies will not serve as a definitive and final test of the theory, nor
are they intended to do so. Instead, this is a first test at validating the concept of IIDAPT, 
the
measurement of outcomes, and beginning to identify and measure key conditions that determine
IIDAPT levels.
1.3 THEORETICAL BASIS
As noted above, in developing the theoretical framework for IIDAPT, we will draw upon various
strands of literature from political science, public administration, and organizational theory, in
order to identify the conditions leading to IIDAPT. These conditions will then be tested across
our five case studies. Specifically, we look at theories related to innovation, cooperation,
assessment and adaptation, described briefly below. This review of the literature and the
development of the IIDAPT framework is fully presented in Chapter 4.
1.3.1 Innovation in Government
We are interested in the issue of innovation in government as it relates to the deployment of new
technologies by public sector agencies. Theories of organizational behavior are generally
pessimistic about the ability of public sector organizations to innovate at all, at least in the
absence of crisis (Wilson 1989; Allison and Zelikow 1999). The notion of bureaucracy, as the
standardization of processes and procedures, is often presented as antagonistic to the risk taking
that is required for innovation. Furthermore, some observers in public administration and public
management have raised the issue of whether and under what conditions governments even
should try to innovate. The concern here is that innovation can undermine the accountability of
public sector agencies (Altshuler 1997).
There has been some attempt in the literature on public administration to identify the factors that
lead to innovation, often by those who take a less pessimistic view of the ability of government
to innovate. Yet, much of this effort has focused on legislative, policy, and program innovations
(Potoski 2001; Sapat 2004). These are interesting approaches in that they focus on state-level
innovation within the US federal system, often characterizing the 50 states as laboratories for
policy innovation. Some studies have begun to recognize technological innovation, most
commonly the use of information technologies, as an important form of public sector innovation
(Borins 1998). However, one general critique of the literature on public sector innovation is that
the cases used are almost exclusively successful innovations, without providing counterexamples
of either unsuccessful innovation or non-innovators.
1.3.2 Cooperation for Multiple Benefits
Government action, on the one hand, requires a certain degree of administrative decentralization
of responsibility and power. However, the problem with decentralization and fragmentation of
responsibilities is that actual problems do not fit into boxes (Allison and Zelikow 1999).
Because we are interested in so-called "win-win" outcomes or mutual benefits in technology
deployment - where the objectives of more than one policy "sector" are being fulfilled - this
forces us to consider the conditions that can lead to successful cooperation. For technological
innovations, and indeed for nearly any other program or policy in the public sector, a fact of
administrative life is that successful action often requires coordination with other agencies.
In the area of environmental management in particular, there are often strong calls for policy
integration, recognizing that for sustainable development to succeed, other sectors must "take on
board environmental policy objectives" (Lafferty and Hovden 1997). This is a strong statement,
and suggests that there needs to be substantially more cooperation than Lindblom's process of
mutual adjustment, in which "every important interest or value has its watchdog" and agencies
can either redress damages that may be done by other agencies, or anticipate and head off
pending injuries (Lindblom 1959). Indeed, it suggests that agencies from nearly all sectors -
transportation, energy, commerce, housing, etc. - should actively seek out and cooperate on
policies, programs and projects for mutual benefits. However, as we are warned by Pressman
and Wildavsky, implementation, even on programs and projects that seem to have widespread
support, can be complicated and even fail due to the complexity of joint action between a large
number of agencies (Pressman and Wildavsky 1984).
Cooperation in the area of transportation and air quality, often means overcoming the two-track
division of responsibilities between the regulators and regulated, as described by Rip, Misa and
others (Rip, Misa et al. 1995). Therefore, the question is whether synergies between multiple
policy goals can indeed be achieved, as it implies an alignment of interests between 
agencies
with very different public policy goals. Yet, in order to identify mutual benefits between
agencies, we have to go beyond the policy goals of the agencies, and look more closely at their
underlying self-interests. The literature of political science on environmental management tells
us that if narrow self interests and general interests can align, environmental regulatory stability
can be achieved in a way that advances common environmental interests (Oye and Maxwell
1995). The challenge will be to identify the self-interests of the agencies, and separate self-
interest from stated policy objectives and organizational missions.
1.3.3 Assessment and Adaptation
If one is concerned with new technologies and their impacts, particularly impacts that are long
term and uncertain, it is important to consider the role of the assessment of technologies 
and their
impacts. In theory, by assessing new and emerging technologies, organizations can modify and
adapt those technologies in order to improve outcomes. 
For example, technology assessments,
risk assessments, and environmental impact assessments are different mechanisms that have 
been
applied to understand, predict, prevent and/or mitigate the negative impacts 
- environmental,
social, public health, or otherwise - that technologies can create. Others 
have attempted to
bridge the gap between technology policy and technology assessment, espousing an 
approach
labeled "constructive technology assessment" 
or (CTA). Writers such as Rip, Misa, and 
Schot,
suggest that assessment is part of a broader process of "social learning 
about how to co-produce
technology and its impacts, and how to achieve desirable outcomes" (Rip, 
Misa et al. 1995).
Therefore, in addition to mitigating the negative impacts of technologies, 
this approach would
also support the promotion of technologies with positive impacts.
While this marks the goals for technology assessment, the reality is often one 
of public sector
organizations, struggling with "multiple and vague objectives" 
(Wilson 1989) with multiple
stakeholders to which they must answer. Organizations and individuals also 
face at least implicit
pressures to demonstrate the success of 
the projects they have so heavily promoted. 
Therefore,
honest assessment that expose the failures of a new technology are 
difficult to produce. As noted
by Wachs, planners are asked on the one hand to "analyze data to discover 
the truth and to arrive
at the best course of action," but they are also "advocates" of certain courses of action (Wachs
1989).
There are also different views on adaptation to innovation in response to new information.
Adaptation often confronts the same barriers as innovation, in terms of resistance to change by
organizations. While there is some literature on regulatory and legislative adaptation to new
scientific and technical information (Zuckerman 2001), there is little background on adaptation
in the deployment of new technologies in the public sector. This would involve, for example,
modifications in the operation of already deployed technologies, changes in the design and
deployment of future extensions and expansions of the system, or changes in future decisions
about which technologies are to be deployed.
1.3.4 Social Construction of Technologies and Knowledge
Although our set of conditions leading to IIDAPT will be drawn primarily from scholars of
political science, public administration, and organizational theory, there is an important
undercurrent from the literature on the social construction of knowledge and technologies (Pinch
and Bijker 1987). We opened this thesis with a quote from Bijker and Law: "Technologies, we
are saying, are shaped. They are shaped by a range of heterogeneous factors.
And, it also follows, they might have been otherwise" (Bijker and Law 1992, italics added).
We are interested in the social shaping of ITS technologies, and the social shaping of their
impacts on air quality. We want to know if, how, why and under what conditions the public
agencies deploying these technologies, actually use ITS for air quality purposes. Observers in
the mid-1990s, such as Cervero, Jordan and Horan, and Replogle, offered different visions on
ITS, air quality and sustainable communities. We suggest that it is important to keep that
broader debate open, and not allow for early closure on the issue of ITS and environmental
impacts. Otherwise, we may find, in 50 years, that we have used ITS for an environmentally
unsustainable system. And we may ask ourselves, if this system could have been otherwise.
1.4 CONTRIBUTIONS
Through this research, we will contribute to the scholarly literature on innovation 
in government,
cooperation for multiple policy objectives, and assessment 
and adaptation of technology
deployments in the public sector. We also aim to contribute to the practice and 
policy related to
the use of ITS to support air quality objectives.
1.4.1 Scholarly Contributions
We first review the proposed contributions to the literature, highlighting 
three areas.
1.4.1.1 Technology Deployment as Local Government Innovation
As noted earlier, technology deployment has not been prominent 
in the literature on innovation
in government. This research contributes in identifying factors that 
lead to technological
innovation by local, county and state agencies. It also purposively compares innovators and 
non-
innovators, by choosing cases that were anticipated to be less innovative 
as indicated by low
levels of ITS deployment.
1.4.1.2 Cooperation, Agency Interests and Deployment ofNew Technologies
Cooperation between government agencies is often seen as 
critical for achieving environmental
policy objectives, but difficult to achieve because of the complexity 
of joint action. This
literature often considers cooperation and agency interests 
based upon their stated policy
objectives and agency missions. On the other hand, in the 
literature on cooperation for
environmental management, there has been a focus on the 
alignment of public and private
interests. This research contributes to these strands of 
literature by addressing the issue of
cooperation between government agencies, but with a focus on the 
proper identification of public
sector agency interests. Specifically, we will see how conflicts 
between and alignments of
agency interests - both the "regulating" and "regulated" 
agencies - play out in the context of the
deployment of new technologies, particularly lower-cost innovations.
1.4.1.3 Role ofAssessment and Adaptation in Public Sector Technology 
Deployments
Finally, we look at assessment and adaptation in the 
public sector, with respect to the
deployment of new ITS technologies by public sector agencies. 
We will attempt to find patterns
in adaptation to the emergence of information regarding 
new technologies and their air quality
impacts. Since public sector agencies are not generally 
considered as "innovators" or
implementers of new technologies, there is even less 
research regarding how they assess and
adapt those technologies in light of new information. Indeed, 
most of the literature on adaptation
of government innovations deals with program evaluation, 
not technology assessment.
1.4.2 Contributions to Practice and Policy
We now turn to the contributions that are most relevant to issues 
of practice and policy.
1.4.2.1 How Metropolitan Areas Can and Do Use ITS for Air Quality
To date, there is no comprehensive review of the actual use of ITS for air quality in cities,
looking at which technologies are used and how. While there is some literature on how cities
can, should, and should not use ITS for air quality improvements, there is little to no empirical
work on how cities are, in fact, actually using ITS for air quality purposes. While examples are
cited of how cities are using ITS in an environmentally beneficial way, these are often
idiosyncratic cases. While they illustrate what can be conceived of as "best practices" in the area
of ITS and air quality, they can by no means be considered as representative. In addition to
identifying five diverse cases to assess what these cities have actually done with respect to ITS
and air quality goals, we attempt to explain the outcomes that were seen in each city. As ITS
deployments become more widespread and integrated, understanding these issues will only grow
in importance.
We also "assess the assessments" in Chapters 2 and 3. Often, reports and studies of the air
quality impacts of ITS are used at face value. However, the analyses of the air quality impacts of
ITS are of highly variable quality, and are sometimes misleading in the reporting of the results.
These chapters should be useful both for researchers as well as policymakers in order to more
critically interpret and use reported air quality benefits from ITS. We will also examine the role
of technical and scientific analysis in supporting decisionmaking in a diverse set of cities that are
deploying ITS. The question will be whether analysis has reduced uncertainty and highlighted
potential tradeoffs in order to make better and more objective decisions, or whether the analysis
has been socially constructed in ways that support the interests and objectives of certain players.
1.4.2.2 Improving the Conditions for Using ITS for Air Quality Purposes
This research also has a prescriptive component, in addition to its predictive and explanatory
components, described above in Section 1.2.2.3. By identifying the conditions that lead to
IIDAPT, we hope to provide policy recommendations on foster higher levels of IIDAPT.
Therefore, if the policy goal is to promote greater innovation and experimentation with ITS for
air quality improvements, we will provide recommendations for improving the conditions for
those outcomes. Because this framework is tested first in the US context, we will generate
recommendations for key parts of the US regulatory framework for air quality management and
transportation planning - specifically, the air quality-transportation conformity framework, and
the Congestion Mitigation and Air Quality (CMAQ) federal funding program.
1.4.2.3 Technology and Policy Recommendations for Mexico City
In Chapter 7, after testing the IIDAPT framework against the case of Mexico City, we also
provide a comprehensive set of technology and policy recommendations. First, based upon the
discussion of the air quality impacts of ITS technologies in Chapters 2 and 3, we provide
recommendations for ITS technologies with the potential to improve air quality outcomes. For
these technology recommendations, we take existing ITS deployments in Mexico City as the
baseline. We then use the IIDAPT framework, having tested it both for five US case cities 
and
Mexico City, to propose four policy interventions that could be made to improve the
probabilities for successful IIDAPT in the area of ITS and air quality. As opposed to other
studies recommending environmentally "sustainable" uses of ITS in developing country
megacities, our recommendations are firmly based in an in-depth analysis of the federal and local
context of transportation and air quality planning and ITS deployment in Mexico City.
1.5 ORGANIZATION OF THESIS
We have now introduced our research questions and approach, the theoretical basis, and have
pointed to the proposed contributions of this research. We have also briefly introduced the
concept of Integrated Innovation, Deployment and Adaptation of Public Technologies, or
IIDAPT. We now review the structure of the rest of the thesis, and how it relates to the
overarching research design, presented in Figure 1-2.
Figure 1-2 Overview of Research Design
Literature review and
synthesis (Ch 4)
Assessment and synthesis
of ITS-air quality work
(Ch 2 & 3)
IIDAPT framework
development (Ch 4)
Case study work in US
(Ch 5) and Mexico (Ch 7)
IIDAPT as Predictive
(Ch 6 & 
7)
IIDAPT as Explanatory
(Ch 6 & 7)
IIDAPT as Prescriptive
(Ch 6 & 7)
Chapter 2 reviews and critiques the existing work investigating the air quality and emission
impacts of ITS, focusing primarily on applications for urban passenger transportation - advanced
transportation management systems, advanced public transportation systems, and advanced
traveler information systems. Chapter 3 then revisits these studies from a different perspective,
taking a systems view of how these technologies may interact when deployed at the metropolitan
scale. These chapters provide a basis for understanding and identifying potential synergies, as
well as tradeoffs, between air quality and mobility when deploying ITS technologies.
We then develop the theoretical framework that will support the remainder of the thesis. In
Chapter 4, we review theories from political science, organizational theory, and public
administration that take up the issues of innovation, cooperation, assessment of technologies, and
adaptation to new information in the public sector - issues that influence the ability to achieve
synergies for multiple policy goals through innovation. We then define and articulate our
| II
framework for Integrated Innovation, Deployment and Adaptation of Public Technologies
(IIDAPT), and use the theories reviewed to identify seven conditions lead to lower or higher
levels of IIDAPT.
Having developed a theoretical framework for the conditions that influence IIDAPT, we then test
those conditions using five US cities as case studies in ITS and air quality - Los Angeles,
Houston, Boston, Orlando, and Tulsa. The case study histories are presented in detail in Chapter
5, in order to provide the broad context for air quality management, transportation planning and
investment, and ITS deployment in each of those cities. Chapter 6 then applies the theoretical
framework to each city, to assess to what extent the conditions in each city accurately predicted
the actual outcomes observed for IIDAPT.
Finally, in Chapter 7, we test the policy relevance of the IIDAPT framework in a non-US
context, while continuing to focus on the technology domain of ITS and its air quality impacts.
Looking at the Mexico City Metropolitan Area, we assess the conditions for IIDAPT and, based
upon the results of the US case studies, identify possible changes at the federal and local level to
better align ITS deployments with air quality goals.
To conclude, we highlight possible areas of future theory development for IIDAPT, and point to
additional technology and policy domains where this framework can be further tested, validated
and applied.
CHAPTER 2. AIR QUALITY IMPACTS 
OF ITS: A REVIEW
2.1 INTRODUCTION
Are Intelligent Transportation Systems (ITS) technologies good or bad for air quality? While
this is a seemingly simple question, the answer is deceptively complex. The answer depends
upon many factors: which pollutant is being considered, the initial conditions of 
the
transportation system, the short- and long-run operational changes brought about by ITS, the
characteristics of the vehicle fleet, the mix of ITS applications deployed, and the interactions
between those applications. Yet, despite this complexity and uncertainty, many publications
tend to downplay the ambiguity regarding the environmental impacts of ITS. As described by
the ITS America, the national coalition of ITS professionals:
"ITS helps to optimize trips, eliminate unnecessary travel miles and reduce time 
spent
caught in traffic....Altogether, ITS helps to contain fuel consumption and noxious
emissions, reduce dependence on foreign energy supplies and safeguard the quality of the
air. The goal is to save a minimum of one billion gallons of gasoline each year and to
reduce emissions at least in proportion to this fuel saving." (ITS America 2002, p 27)
The experience with ITS has been relatively recent, with deployment of ITS in the 
US only
becoming more widespread beginning in the 1990s. While there has been a growing 
number of
studies critically examining the air quality impacts of ITS, it is only enough to ascertain 
that the
jury is still out on the system-level and long-term impacts. Knowledge 
has improved
substantially for some pieces of the ITS-air quality puzzle, such as 
the effect of changes in
acceleration and idling. Other aspects, such as the potential for induced travel, 
remain relatively
unexplored and characterized by assumptions. In practice, many of these uncertainties 
are
ignored in the evaluation of actual ITS deployments. This chapter will review 
the literature on
ITS and environmental quality with the following issues in mind.
* How does ITS improve/degrade air 
quality?
* Which ITS applications have been shown to have an 
important impact on air quality?
* Are there ITS applications specifically oriented 
toward the goal of improving air quality
or generating fuel savings?
* When deploying multiple ITS services 
- often along with conventional infrastructure
deployment - how can one unravel the overall air quality impacts?
Given the diversity in the approaches 
used to measure and estimate emissions 
impacts,
comparing emissions reductions by tons per day or percentage reductions 
in daily emissions for
"X" pollutant, may be 
misleading. Therefore, 
in addition to comparing 
the magnitude of
reductions, it is important to focus on the 
mechanisms by which those reductions 
are achieved,
such as reductions in stop-and-go traffic, increases in speed, 
mode shifts to public transit or
walking/bicycling, or decreases in number of trips or 
vehicle-miles traveled (VMT). Once
having identified a set of key mechanisms for emissions 
decreases (or increases), we will then
integrate those mechanisms within a qualitative systems framework 
for assessing the air quality
impacts of ITS for multiple deployments. This systems framework 
will be presented in the next
chapter.
2.2 ITS AND AIR QUALITY OUTCOMES
In order to guide transportation agencies in their evaluation of ITS deployments, the US
Department of Transportation, through its Joint Program Office (JPO) developed a set of
measures of effectiveness (MOEs) together with guidelines for how to undertake ITS
evaluations. The measures linked benefits to the National ITS Program goal areas of safety,
mobility, efficiency, throughput, productivity, and finally, energy and environment.
Table 2-1 National ITS Program goal areas and measures of effectiveness
6
Goal Area Measures of Effectiveness
Safety Reduction in the overall crash rate, Reduction in the rate of crashes resulting in
fatalities, Reduction in the rate of crashes resulting in injuries, and Improvement
in surrogate measures.
Mobility Reduction in travel time delay, Reduction in travel time variability (or improved
reliability), Increase in customer satisfaction (including product awareness,
expectations of product benefits, product use, response, realization of benefits,
assessment of value), and Improvement in surrogate measures.
Efficiency Increases in effective capacity, and Increases in throughput.
Productivity Cost savings, measured as the difference in costs before and after ITS
implementation, or the difference in costs compared to a traditional
transportation improvement.
Energy Reduction in emissions, Reduction in fuel consumption.
and Environment
Source: (U.S. Department of Transportation no date)
2.2.1 Energy and Environment
According to the JPO, "the air quality and energy impacts of ITS services are very 
important
considerations, particularly for metropolitan areas that have not attained 
air quality standards
established by the Clean Air Act Amendments of 1990 ("non-attainment 
areas")" (U.S.
Department of Transportation no date). Yet, despite this rhetoric, the goal area of "energy 
and
environment" appears to rank low on the priorities of the JPO. For example, while 
the measures
for other goal areas, such as safety, mobility, efficiency, and productivity 
have additional
guidelines, primers, or practical guides, there is little in the way 
of uniform guidance for
measuring and reporting energy and emissions impacts. This lack of additional 
guidance for
documenting environmental outcomes could be due, in part, to the difficulties in 
measuring or
modeling air quality or fuel consumption. However, a review of the federal ITS Program
indicated a low level of interest, at least at the federal level, in these objectives during the 
early
years of ITS deployment.
6 See www.its.dot.gov/evaluation/eguide resource.htm. Last accessed 
January 25, 2006.
"Among the objectives set forth by the Congress, the one that seems to have received the
least attention is the environment. Although some of the travel management projects
could benefit the environment, how they might do so is not entirely clear because 
short-
term reductions in traffic and congestion could lead to greater numbers of vehicles on 
the
road, resulting in even greater pollution." (U.S. Congressional Budget Office (CBO)
1995, p 56).
In addition to showing the low priority given to environmental objectives, this statement 
also
reflects concern about the issue of long-term increases in vehicle 
volumes, resulting from
induced demand, leading to higher levels of emissions, a topic discussed 
in greater depth in the
next chapter. While this review was over a decade ago, there does 
not appear to have been a
major shift in the federal ranking of priorities for ITS, towards environmental 
concerns.
7 
A more
recent report by the U.S. Government Accountability Office noted that while ITS could 
reduce
congestion, improve safety and reduce emissions, its deployment, in 
general, had "fallen short"
of early promises across all categories of benefits (U.S. Government 
Accountability Office
(GAO) 2005, p 37).
2.2.2 Air Quality
Within the category of energy and environment, the impacts most frequently 
cited are those
related to ambient air quality, with reductions 
in fuel consumption typically taking second 
place,
and greenhouse gas emissions a more distant third. Other authors 
have attempted to place ITS
within a broader framework of "sustainable communities," citing 
the need to develop indicators
and metrics for a wide variety of sustainability concepts, including quality 
of human life, civic
engagement, and quality of the biosphere (Jordan and Horan 
1997; Jeon and Amedkudzi 2005).8
Nevertheless, this chapter will focus primarily on air quality impacts 
of ITS for several reasons.
First, although air quality remains one of the most difficult 
ITS outcomes to measure, it is more
amenable to measurement and modeling than many of 
the other sustainability indicators.
Second, emissions levels can serve as a proxy indicator, albeit 
incomplete, for a number of other
sustainability outcomes of interest, such as energy use, in particular, 
fossil fuel use, carbon
dioxide emissions as a critical component 
of global climate change and quality 
of the biosphere,
and public health as a component of overall quality of life. 
Also, since emissions are a function
of vehicle miles traveled (VMT), trends in VMT 
can be a rough surrogate for the level of urban
sprawl, and thus loss of habitat, wetlands, and green space. Finally, 
by critically examining the
impacts of one highly important indicator of sustainability, local 
air quality, this work can
perhaps guide future evaluations of the impacts of ITS on 
other sustainability indicators.
The criteria pollutants regulated by the EPA according 
to the National Ambient Air Quality
Standards (NAAQS) are ozone 
(03), carbon monoxide (CO), nitrogen 
dioxide (NO
2
), lead (Pb),
7 The work on sustainable development 
as applied to transportation 
planning and decision-making 
in the U.S., shows
that issues of the environment and sustainability are treated 
more seriously by metropolitan planning organizations
(MPOs) than by the federal government. Hall, R. P. (2006). 
Understanding and Applying the Concept of Sustainable
Development to Transportation Planning and Decision-making 
in the US. Doctoral Thesis in Technology,
Management and Policy. Engineering Systems Division. Cambridge, 
MA, Massachusetts Institute of Technology.
8 It should be noted, however, 
that when citing specific "contributions 
to sustainability" in Jordan 
and Horan (1997)
the vast majority of the "contributions" are reductions in 
energy usage and congestion-related emissions.
sulfur oxides (SOx), and fine and coarse particulate matter (PM
2
.
5 
and PMio).
9 
For this study, we
will primarily focus on the contribution of the transportation sector to ozone, and to a lesser
extent on carbon monoxide "hot spots." Particulate matter, unfortunately, has been studied
relatively little from the perspective of traffic flow and other ITS-related improvements. This is
despite the fact that particulate matter (PM), and specifically fine PM (PM
2
.
5
) are seen
increasingly as critical health risks. With respect to the other pollutants, lead has been reduced
dramatically, due to the successful phasing-out of lead from fuels, and SOx is generated mainly
by industrial sources.
Carbon monoxide is emitted directly from vehicles, as the product of incomplete combustion.
The link between vehicle emissions and ambient air concentrations of ozone and PM, on the
other hand, is more complex. In the presence of sunlight, ground-level ozone is produced by the
interaction of two major components of motor vehicle emissions, volatile organics compounds
(VOCs)
1
o and nitrogen oxides (NOx) (Molina and Molina 2002, p 7).
VOC + NOx + Sunlight -- 03 + NO
2 
+ PAN + HNO
3 
+ particles, etc.
11
Motor vehicles produce exhaust emissions (leaving from the tailpipe and crankcase) from fuel
combustion; these so-called tailpipe emissions include CO, VOCs and NOx. However, VOCs
are also the result of the other type of emissions, evaporative emissions, which are emitted from
the tank and fueling system while the vehicle is running as well as at rest (Rakha and Ding
2003). Exhaust and evaporative emissions are dependent upon the characteristics of the vehicle
(light or heavy duty, weight, power, age, emissions control equipment and its maintenance), the
vehicle's operating state (cold starts or "hot-stabilized"), the amount of activity (vehicle miles
traveled), and the mode of operation (idling, acceleration, deceleration, cruise) (Dowling, Ireson
et al. 2005, p 90). While each factor plays an important role in determining emissions, this
chapter will focus on the amount of activity and mode of operation - basically, how much the
vehicle is being driven and in what manner. As will be discussed below, these two sets of factors
can be influenced by Intelligent Transportation System technologies. The difficulty is in moving
the level of analysis up from the emissions of a single vehicle, to the emissions of a fleet of
vehicles (private cars and trucks, public transit vehicles, and freight vehicles) all interacting on a
metropolitan transportation network.
2.2.3 Modeling Emissions and Air Quality
Emissions reductions from ITS applications can be estimated or measured using a variety of
approaches, ranging from computer simulations to direct measurements, or using 
a hybrid
9 For more information on the criteria pollutants, see www.epa.gov/air/criteria.html. Last accessed January 19, 2006.
10 We will also refer to volatile organic compounds (VOC) as non-methane hydrocarbons (NMHC) or hydrocarbons
(HC).
1 Peroxyacetyl nirate (PAN) and nitric acid (HNO
3
) are non-criteria pollutants. However, PAN is also an eye
irritant and plays a role in smog formation since its thermal decomposition releases NO
2 
and an organic radical.
Molina, L. T. and M. J. Molina (2002). Air Quality Impacts: A Local and Global Concern. Air 
Quality in the
Mexico Megacity: An Integrated Assessment. L. T. Molina and M. J. Molina. Boston, MA, Kluwer 
Academic
Publishers: 1-19.
approach of simulation modeling along with field measurements for model inputs and/or 
model
validation. Before reviewing the different methodologies and their strengths and weaknesses, the
full causal chain is represented in Figure 2-1.
Figure 2-1 Land-use/transportation/emissions/air quality chain
1. Land Use 2. Travel Demand 3. Transport System 4. Emissions 5. Air Quality
Forecasting and Estimation Operations Analysis Estimation Forecasting
T t I
Source: (Dowling, Ireson et al. 2005, p 38)
Most analyses focus only on the third and forth box in the chain, and the link between them. ITS
operational changes fit in the third box of "Transport System Operations Analysis." Very few
analyses take the final step from emissions estimates to air quality forecasting, in which
stationary and area sources are added to the emissions mix to forecast air quality outcomes.
Usually, the justification is that ITS - at the level of individual projects - will not produce large
enough changes in emissions to produce statistically significant changes in the ambient
concentrations of pollution. Similarly, land use and travel demand are typically taken to be
exogenous, ignoring the feedback loops under the assumption that ITS operational changes
cannot be large enough to influence either travel demand or land use. However, the validity of
this assumption will be revisited in the next chapter when we discuss the issue of induced travel
in more depth.
Therefore, most of the modeling effort lies in improving the interface between the third 
and
fourth box, integrating traffic network simulation and emissions modeling, with some limited
incorporation of travel demand models. A review of the state-of-practice in 2001 outlined some
of the outstanding issues: (1) "emissions factors...[fail] to adequately capture the effects of
vehicle-operating modes on mobile source emissions," (2) "current travel demand models and
traffic flow simulation models are not sufficiently detailed for purposes of ITS evaluation," and
(3) these models "also fail to provide the kind of inputs needed for use in modal 
emissions
modeling" (Mehta, Mahmassani et al. 2001, p 37). Traditionally, traffic network models 
and
emissions models have relied upon average speeds as a key factor linking them, whereas 
for
evaluation of ITS, more refined modeling of starts and stops, idling and accelerations, is needed.
Yet, as the quote above illustrates, traffic models (box 3 in Figure 2-1) do not easily 
produce this
level of detail in its outputs, and emissions models (box 4) still cannot adequately accommodate
that level of detail for its inputs.
Discerning changes in metropolitan-level or even more localized air quality from an ITS
application is complex, although there are efforts 
in that direction. With current methodologies,
the impacts on air quality are difficult to distinguish from the noise created by other factors 
such
as weather patterns, contribution of non-local sources, etc. This difficulty is true for 
many
transportation-related interventions, even major ones like area-wide congestion pricing. 
For
example, in evaluating the air quality impacts 
of the London Congestion Charging scheme,
which had a substantial effect on vehicle volumes and speeds within the charging zone, 
the "air
pollution impact of the scheme has been difficult to assess using ambient measurements 
alone as
the air pollution concentrations in 2003 were higher than in 2002 because of unusual
meteorological conditions" (Beevers and Carslaw 2005). Therefore, nearly all studies will report
on the emissions changes, not on the final air quality impacts.
2.2.4 Overview of the Literature
There is a small, albeit growing literature on the air quality and emissions impacts of ITS
applications. For example, many of these impacts are documented in the ITS Benefits and Costs
database. However, many of the studies on air quality impacts of ITS are found in the "gray
literature" or non-peer reviewed articles and reports undertaken by local transportation agencies
or their consultants.
12 
For this reason, it is often difficult to access the more detailed reports that
would provide information on the methodology or models used and the assumptions made.
An additional issue in reviewing these studies is the possibility of biases in the reporting of air
quality and emissions benefits. Indeed, the Benefits and Costs Database of the JPO reflects the
important organizational goal of promoting the diffusion of information on ITS technologies and
their benefits; although this may tend to understate the possible negative impacts of ITS. At the
local level, a transportation organization that has already deployed or is about to deploy an ITS
application will naturally be more inclined to look for or report positive rather than negative
outcomes - across mobility, safety, and the environment - in order to justify costs already
incurred in the deployment process.
13 
In short, organizations will not be as prone to actively
search out negative impacts if they feel that overall the project is beneficial. Alternatively, 
the
reporting of ITS' environmental benefits may reflect a pre-screening. Projects found to have
increases in emissions or fuel consumption, do not have that information reported when included
in a transportation plan. Or, these projects are eliminated as possible emission reduction
measures in an air quality plan. In both cases, there would be no motivation to report the
(negative) emission impacts of these projects.
Indeed, this bias may even enter into the peer-reviewed literature, in particular, 
the transportation
and traffic engineering literature, where there may be more enthusiasm to look 
for positive
results, or "win-win" situations both for mobility and air quality, rather searching for cases 
where
ITS has actually led, or could lead, to a degradation of air quality.
14 
There are two forms in
which this bias can manifest itself First, there could be a tendency to report only on those ITS
applications with likely positive emissions and air quality impacts, or not to report or 
measure
12 This is not to imply that the "gray literature" is necessarily of lower quality. However, 
it is, in fact, less
transparent and accessible, meaning that assessing the quality of the analysis, the methodologies 
used, and
assumptions made is substantially more difficult. The results are therefore less transferable. These 
issues came up
repeatedly during the author's case study fieldwork. See Chapters 5 and 6.
13 This issue will be discussed in greater depth in Chapters 5 and 6. Also see Chapter 
4, Section 4.4.2.4.
14 Although anecdotal, the perceptions of different professional/disciplinary backgrounds 
were clearly demonstrated
in a conference on traffic and transportation engineering. Responding to the author's presentation on 
ITS and air
quality impacts, the majority of the audience, who were transportation engineers, more readily accepted 
the
possibilities for positive air quality impacts. In contrast, a researcher in environment 
and public health asked
whether gaining transportation efficiency improvements from ITS was simply "rearranging 
the deck chairs on the
Titanic." See Dodder, R. S. (2004). A Systems Framework for Assessing Air Quality Impacts 
of ITS: Application
to Mexico City. Pan-American Conference of Traffic and Transportation Engineering (PANAM XIII), 
Albany, NY.
emissions or air quality outcomes if it is anticipated that they will be insignificant or even
negative. Second, analysts may focus on changes in only the variables that will lead to reduced
emissions, such as less stop-and-go traffic, rather than variables 
that could increase emissions,
such as induced demand from the increase in effective capacity of roadways. This latter outcome
is more worrisome, as it can lead to the propagation of misleading analysis. While there are
many exceptions to this rule, as will be seen in the studies described below, it is important not to
overlook this factor when critically assessing studies on ITS' role in air quality. Given these
caveats, we will now review the literature on air quality outcomes of ITS, in order to assess the
general state of knowledge in this area.
2.2.5 ITS Functional Areas
ITS applications are commonly categorized into six functional areas. Table 2-2 briefly
overviews these six subsystems, their characteristics, examples of applications, and their
emissions and air quality impacts.
Table 2-2 Overview of Emissions and Air Quality Impacts by ITS Subsystem
Subsystem
Advanced Transportation
Management Systems
(ATMS)
Advanced Traveler
Information Systems
(ATIS)
Advanced Public
Transportation Systems
(APTS)
Commercial Vehicle
Operations (CVO)
Advanced Vehicle Control
Systems (AVCS)
Advanced Rural
Transportation Systems
(ARTS)
Characteristics and Applications
Network management, including
incident management, traffic light
control, electronic toll collection,
congestion prediction and congestion-
ameliorating strategies.
Information provided to travelers pre-
trip and during the trip in the vehicle.
ATIS helps provide real-time network
information.
Passenger information and technologies
to enhance system operations, including
fare collection, intramodal and
intermodal transfers, scheduling,
headway control.
Technologies to enhance commercial
fleet productivity, including weigh-in-
motion (WIM), pre-clearance
procedures, electronic log books,
interstate coordination.
A set of technologies designed to
enhance driver control and vehicle
safety. This ranges up to Automated
Highway Systems (AHS), where the
driver cedes all control to the system.
Mostly safety and security technologies
(e.g., May-day) for travel in sparsely
settled areas.
Emissions/Air quality Impacts
Reductions are possible from reduced
congestion and smoother traffic flows. Higher
speeds may increase or reduce emissions,
depending upon the pollutant and initial/final
speeds. Increasing the effective capacity may
induce demand, and thus the number of
vehicles and VMT, which could worsen long-
term air quality.
Improved route information may reduce
emissions through more efficient trip-chaining
and congestion reduction, but also may
increase overall travel through changes in trip-
making behavior, such as more non-peak travel
or peak spreading.
Emissions may be reduced through greater use
of public transportation rather than private
auto use. Operational improvements may
reduce emissions from the transit vehicle fleet,
by reducing stops, idling and accelerations.
Improved fleet operations may reduce number
of vehicles required for given freight
movements. May reduce impact on congestion
in urban areas. Permits closer monitoring of
vehicle performance, fuel use, and emissions.
Can be used for more efficient driving (e.g.,
less aggressive accelerations and stops). AHS
could dramatically increase effective capacity,
leading to increased emissions.
Not applicable
Source: Definitions and Characteristics, (Sussman 2000, p 326);
Emissions/Air Quality Impacts, Author.
We will survey the state of knowledge on air quality and emissions impacts of ITS for three of
these subsystems - ATIS, ATMS, and APTS - thus focusing primarily on urban, 
and not
rural/intercity transportation, and on passenger transportation rather than freight. Emissions
estimates are based on a variety of approaches, including analytical methods, simulation models,
field measurements, or combinations of the above. Examples of each 
method and the differences
in their results will be highlighted.
2.2.5.1 Advanced Traveler Information Systems (ATIS)
One approach to estimating the emissions reductions from ATIS is to develop quantitative
analytical models based upon queuing theory, then to use these models to test out different
scenarios with and without the traffic information provided by ATIS. Although these models are
theoretical in nature, they often require real-world information on emissions rates (grams/mile or
grams/hour for idling emissions). These emissions factors can be derived from the EPA's
mobile source emissions factor model MOBILE, using assumptions on average speeds, fleet mix,
Inspection and Maintenance (I/M) programs, deterioration of emissions control equipment,
temperature, altitude, and other factors specific to the metropolitan area being studies. In addition
to MOBILE, there are other advanced models such as EMFAC (California's emissions factor
model) and CMEM (Comprehensive Modal Emissions Model for light duty vehicles).
As an example of this approach, Al-Deek et al used a deterministic queuing model of a corridor
with two routes to calculate emissions under different scenarios for incidents with and without
ATIS-based re-routing of traffic from the incident route to the alternate route (Al-Deek, Wayson
et al. 1995). Emissions factors for idling emissions and moving emissions were derived from
MOBILE5a. They found that although emissions would increase for the route to which traffic
was being diverted, at the corridor level, overall emissions would be reduced through the use of
ATIS. Furthermore, emission reductions, at least for CO and VOCs, were found to be more
significant with higher market penetration rates for in-vehicle ATIS. For NOx emissions, a small
market share seemed to provide enough congestion relief on the incident route to reduce idling
emissions and therefore lower NOx emissions. Yet, higher market shares could actually lead to
increased NOx levels because of higher speeds (greater than 29 mph) and vehicles being re-
routed to faster but longer routes, therefore increasing total VMT (Al-Deek, Wayson et al. 1995,
p 383).
There have also been studies based upon simulation models to assess air quality outcomes of
ATIS. One recent study (Kaysi, Chazbek et al. 2004) used a dynamic traffic assignment model
(DYNASMART)
15 
to estimate travel times, speeds, stops and queuing on a link-by-link basis, at
short time intervals, for an entire network. For emissions, the Motor Vehicle Emissions
Inventory (MVEI) model, developed by the California Air Resources Board, was used to
determine emissions factors for the fleet. Looking at the case of Beirut, Lebanon, they tested
several scenarios for incidents and pre-trip and in-vehicle information, and with different levels
of compliance
16 
with information (10, 20, 50 and 90 percent). In all scenarios where information
was used as an incident management strategy, CO and VOC emissions were lower than without
" DYNASMART-P (DYnamic Network Assignment Simulation Model for Advanced Road Telematics) was
developed at the University of Texas at Austin. According to Dowling et al, this is a mesoscopic model which
"simulates individual vehicles, but it assumes that 
all vehicles travel at the same average speed" Dowling, 
R., R.
Ireson, et al. (2005). Predicting Air Quality Effects of Traffic-Flow Improvements. National Cooperative Highway
Research Program (NCHRP) Report 535. Washington, DC, Transportation Research Board.
16 The implicit assumption is that all drivers have 
access to this information both pre-trip and in-vehicle. 
The use of
"compliance levels" by Kaysi et al (2004) is analogous 
to market penetration, where only a fraction of the 
drivers
have access to this information, for example, in-vehicle navigation systems, but may use the information the
majority of the time.
information, although after a certain level of compliance, "overreaction" to traffic information
led to congestion of the incident-free alternate routes. Nevertheless, in contrast to Al-Deek et al
(1995), it was found in the case of Beirut that reducing idling times could actually increase
emissions, according to the authors because NOx idling emissions are lower than emissions at
high free-flow speeds. With "shorter queues, less idling, and more traveling cars... NOx
emissions increase" (Kaysi, Chazbek et al. 2004, p 7). In fact, as shown in Figure 2-2, NOx
emissions were higher with information under all levels of compliance.
Figure 2-2 Emissions and Travel Time Changes with Incident Information
/0
60
50
40 -TOC (kg)
30 
-NOx 
(kg)
- - Travel Time
20 (min)
10
0
Incident Incident Incident Incident Incident Incident
+ pre-trip 10% 20% 50% 90%
info comp. comp. comp. comp.
*Percentages refer to levels of compliance with both pre-trip and in-vehicle information
Source.: (Kaysi, Chazbek et al. 2004, Table 3)
Although the focus was on the use of ATIS to improve network conditions during incidents, an
important result from the modeling work is that pre-trip and in-vehicle information with no
incident (i.e. under normal traffic conditions), improved network performance and substantially
reduced travel times and stops, even at 20% compliance rates. Yet, this "better use of the
network capacity... induced longer vehicle-miles traveled and thus higher total emissions"
(Kaysi, Chazbek et al. 2004, p 8). While the term "induced" is used, this is not what is
commonly called "induced demand," since this model was not linked to a demand model. We
will discuss the phenomenon of induced travel in the next chapter.
An earlier study completed by Tech Environmental (1993) also looked at better traveler
information under normal traffic conditions. This study attempted to estimate the potential
impacts of SmarTraveler in Boston, a phone-based ATIS service where drivers can call to access
real-time information on conditions for specific routes. Based on a rather optimistic assumption
that 30% of the daily callers would either change their travel route, departure time, or travel
mode based upon the information they received, the reported daily emissions reductions for
"participating drivers" were substantial 
for VOC (25%) and CO (33%), 
but marginal for NOx
1400
1200
1000
800
600
400
200
0
(1.5%) (Tech Environmental Inc. 1993). However, it is uncertain to what extent impacts on
overall traffic flows were measured as part of the study, since 
the reported results only identified
changes in emissions from changes in travel by those using the service, which represents 
a very
number of overall trips (28,800 daily trips).
Although there are relatively few studies available to reach a definitive 
conclusion about the
effectiveness of ATIS on air quality, the indications are that the impacts on air quality are
positive for VOCs and CO, but more uncertain for NOx. The benefits for VOCs and CO are
generally more significant, and hold across a range of congestion levels and ATIS market
penetration and compliance levels. For VOCs and CO, emissions factors are substantially higher
at lower speeds, and fall continuously with increases in speed, until reaching speeds above 40 or
50 miles per hour (depending upon the fleet characteristics 
and emission factors that one is using,
see Figure 2-3 and Figure 2-4). Therefore, reducing travel at lower speeds is generally beneficial
for VOC and CO reductions. NOx reductions, on the other hand, are more difficult to attain.
The slope of the emissions factor curve is relatively flat at lower speeds, meaning that reducing
travel at lower speeds does not substantially affect NOx emissions. Yet, NOx increases steadily
above speeds around 30 mph, and emission factors at high speeds (65 mph) are actually higher
than emission factors at very low speeds (5 mph) (for example, see Figure 2-4). The opposite is
true for VOC and CO.
Figure 2-3 MOBILE emissions factors for CO, NOx and HC by speed (g/mi)
F14
12
S10
O8
6
x
0
z 
4
2
0
fu
60
50
40
30
20
10
0
0 10 20 30 40 50 60 70
Speed (miles per hour)
-e- HC (g/mi) --h-- NOx (g/mi) -a-- CO (g/mi)
Source: (National Highway Institute 1995)
Figure 2-4 EMFAC2000 light-duty vehicle emissions rates by speed (grams/mi)
3a
25
20
E
15 'a~
0
10
5
0
0 10 20 30 40 50 60 70
Speed (miles per hour, zero acceleration)
-o-- HC (g/mi)
---- NOx (g/mi)
-u- CO (g/mi)
Source: (Dowling, Ireson et al. 2005)
Although it is important to consider what emission factors are used, modeling approaches can
make an important difference in results. As noted earlier, Al-Deek el al (1995) suggest that
reductions of NOx through idling reductions can be made, although they might be then offset by
increases of NOx at higher speeds and possibly due to higher VMT due to rerouting. However,
Kaysi et al (2004) provide a slightly different set of conclusions, suggesting that since NOx
emissions during idling are much lower than emissions at corridor speeds of 30-35 mph, almost
any improvement in traffic flow will increase NOx. One might expect that the difference in their
results derives from the emissions factors they used, and that the emissions factors used by Kaysi
would be much higher at free-flow speeds, than when idling, compared to Al-Deek. Yet, in
Kaysi et al (2004), free-flow emission factors are 5.4 time higher than idling emission factors,
while for Al-Deek et al (1995), 
free-flow emissions are 9.4 times 
higher than idling emissions.
17
Thus, the actual difference seems to stem from the modeling approaches and underlying
conceptual frames used by each group of researchers. While the non-linear function for NOx
emissions factors does greatly complicate the task of estimating emissions outcomes, this shows
that results may be more sensitive to the choice of a modeling approach than to the choice of
inputs (such as emissions factors). It further suggests that any estimates of emissions reductions
should be looked at very carefully.
17 Converted into grams per 
minute for comparison, Al-Deek 
et al (1995) uses 0.17 g/min 
(for idling), 1.55 g/min (at
35 mph), while Kaysi uses 0.25 g/min and 1.34 g/min, respectively.
"^
Although not addressed in these studies, the impacts of ATIS also depend on the severity and
duration of the incident. Both Kaysi et al and Al-Deek et al assumed a constant duration for the
incident (60 minutes in the case of Kaysi). In an evaluation of San Antonio's traveler
information web page, the use of the information led to both higher speeds of travel and travel
time savings, with these benefits increasing as the severity of the incident moved from minor to
moderate to major (Carter 2000). However, when there were only minor incidents, the rerouting
of traffic from freeways to arterial streets (with traffic signals) meant an increase in both the
average number of stops per vehicle and average fuel consumption. Although not measured in
this evaluation, it is plausible that emissions also increased when incidents were only minor,
perhaps at a greater rate than fuel consumption because of the greater number of accelerations on
arterial streets.
Market penetration is another key variable for ATIS when evaluating air quality impacts. At
small market penetration rates (measured as the number of vehicles equipped with navigation or
traveler information systems, or the daily number of callers compared to daily total trips in a
region) there may be emissions reductions for the users of the information service, as they use
less congested routes. Yet, the overall impact on traffic may be negligible. With greater market
penetration, overall traffic flow improvements and emissions reductions may be greater,
although with the possibility of NOx increases from higher speeds.
Finally, there is a deficit of studies looking at the air quality impacts of multi-modal traveler
information, which would integrate information on traffic conditions with static and real-time
information for public transportation. One of the most outstanding examples of a multi-modal
ATIS is that of the San Francisco Bay Area's 511 service. The web and phone-based service
provides integrated information on traffic, transit, bicycling and ridesharing. Some of the
features include real-time traffic information, transit trip planning, some real-time transit arrival
information, online rideshare matching, current vanpool availability, park-and-ride lot
information, the interactive 
511 BikeMapper, and 
links to City CarShare.
18
The SmarTraveler study reports to have included mode share outcomes. Yet, because only the
summary of the study's results could be accessed, it is not clear what modeling assumptions were
made (MITRE Corporation 1996, p 10). The question of mode share change deserves greater
study, since the emissions impacts from mode switching - specifically from private autos to
public transit, ridesharing, bicycling or walking - could represent the most significant long-term
air quality benefit by actually removing vehicles from the road, and thus reducing VMT. Yet,
the ability of ATIS to generate mode shifts also depends on the ability of the alternative modes -
such as underground subway, light rail, Bus Rapid Transit systems (BRT) with dedicated bus
lanes, and carpooling/vanpooling with access to faster high-occupancy vehicle (HOV) lanes - to
provide shorter travel times.
18 See 511 .org for multi-modal traveler information 
in the San Francisco Bay Area. Currently the real-time 
transit
information is only available for Muni (San Francisco Municipal Railway) service. See www.nextmuni.com. Last
accessed August 1, 2006.
2.2.5.2 Advanced Transportation Management Systems (ATMS)
Under the heading of ATMS are ITS applications aimed at improving traffic flows on both
freeways and arterials. These systems include traffic signal control for arterial networks, ramp
metering or electronic toll collection (ETC) on freeways, as well as applications which can be
applied to both arterial systems and freeways, for example, incident management systems or
variable message signs.
* Advanced Traffic Signal Control
Improved traffic signalization is perhaps the most widely deployed of the ITS applications. This
can involve optimization of signal timings at individual intersections, signal synchronization
along a specific corridor, signal coordination across jurisdictions, advanced signal control using a
centralized control center, or even adaptive signal control with real-time signal strategies
developed in response to current traffic conditions. As will be seen in Chapters 5 and 6, this is
also one of the ITS strategies most commonly used by metropolitan areas for emission
reductions. There is a relatively large amount of literature (both in the peer reviewed and "gray"
literature) on the fuel and emissions impacts of improvements in traffic signalization, due in part
to the large number of projects classified as Transportation Control Measures (TCMs) within air
quality plans, or undertaken with federal funds distributed through the Congestion Mitigation
and Air Quality (CMAQ) Program.
19 
Many of these studies suggest moderate emissions
reductions from ITS-based improvements to arterial traffic 
flows. Yet, as will be discussed,
several methodological hurdles must be overcome, both in terms of the level of modeling detail
required to accurately estimate emission changes, as well as the scope of the analysis, in terms of
incorporating all relevant factors, short-term and long-term, into the analysis.
Results from real-world applications tend to point toward moderate emissions reductions for the
study areas. Traffic signal optimization of 700 intersections in the Tysons Corner Network in
Virginia, outside of Washington, DC, suggest the potential to reduce fuel use by 9% and reduce
CO, NOx and HC emissions by 134,600 kg annually.
20 
Retiming and coordination of 900
signals in Oakland County, Michigan claimed benefits in reductions of CO, NOx and HC
roughly on the order of 2-4% (Halkias and Schauer 2004). In Syracuse, New York, a network
simulation of 37 of the 145 interconnected and optimized intersections produced estimates of
average vehicle emissions during both the AM and PM peak period, as well as the mid-day
period.
21 
Substantial emissions reductions were reported, between 9% and 13% for the study
area. While these results appear promising, they should also be interpreted with caution.
19 See www.benefitcost.its.dot.gov. Last accessed March 1, 2006.
20 The full study could not be accessed, therefore 
it is not clear what the relative emissions 
reductions of CO, NOx
and HC were. It is assumed that the majority of the 134,600 kg total annual reductions were CO reductions, which
are emitted at larger rates (grams/mile) than NOx or HC.
21 The results are cited on the JPO's online 
benefits database. The study was carried out 
by DMJM Harris in
cooperation with the New York State Department of Transportation.
See www.itsbenefits.its.dot.gov/its/benecost.nsf/ByLink/BenefitsHome. Last accessed January 23, 2006.
Table 2-3 Reported emissions changes for Syracuse signal interconnect project
AM Peak Period Mid-Day Period PM Peak Period
Before After % change
490 447 8.8%
34.24 31.27 8.7%
6.66 6.08 8.7%
7.94 7.25 8.7%
Before After % change
367 328 10.6%
25.63 22.95 10.5%
4.99 4.46 10.6%
5.94 5.32 10.4%
Before After % change
546 475 13.0%
38.15 33.2 13.0%
7.42 6.46 12.9%
8.84 7.69 13.0%
Source: (DMJM Harris 2003)
Reviewing Table 2-3, it can be seen that the emissions reductions for the three pollutants are
scaled almost exactly to the reductions in fuel use. The software package used to produce the
emissions estimates, SYNCHRO, simply applies an adjustment factor to fuel consumption to
estimate changes in NOx, CO and HC (Rouphail, Frey et al. 2001). Yet, this approaches fails to
take into consideration the non-linear nature of emissions changes with respect both to speed and
to the number and duration of stops and acceleration events, and therefore is likely to
overestimate or underestimate emissions reductions from speed improvements, depending on
which pollutant is considered, and where on the emissions factor curve the improvements are
being made (see Figure 2-3 and Figure 2-4). Therefore, by indirectly estimating emissions from
fuel use, rather than calculating emissions directly from change in speeds or idling, can be
deceiving, particularly when the results are presented with a supposed accuracy of hundredths of
kilograms.
Compared to traffic signal retiming, coordination, synchronization, and centralized control of
traffic signals, there is relatively less information on adaptive signal control systems in the US, in
part, because the transportation community in the US tends to perceive less advantage from
adaptive signal control, compared to a well-timed signal timing plan (U.S. Department of
22
Transportation 2000, p 50).
22 
However, a study of adaptive signal control strategies in Toronto
points to modest reductions in pollution emissions (3-6%) and fuel consumption (4-7%)
(Greenough and Kelman 1999).
The analysis by Skabardonis (2004) is valuable in that he examines the fuel savings benefits of
three types of signal control improvements: signal coordination, signal optimization of already
coordinated signals, and traffic responsive signal control (or adaptive control systems), across a
large number of projects. For example, for signal timing optimization, data from California's
Fuel Efficient Traffic Signal Management Program (FETSIM) was used. The FETSIM program
provided financial, technical and training support to 163 local agencies (154 cities and nine
counties, between 1983 and 1993) for a total of 334 projects. Benefits, in terms of reductions in
travel times, delays, stops and fuel use, were both modeled as well as measured in the field for
163 individual projects (a total of 6,701 signalized intersections) (Skabardonis 2004).
TRANSYT is a macroscopic model used both for simulation as well as for the actual
22 Indeed, the two most well established 
adaptive control signal systems were developed 
in Australia (SCATS -
Sydney Coordinated Adaptive Traffic System) and the United Kingdom (SCOOT - Split, Cycle, Offset
Optimization Technique).
Fuel Use
(gallons)
CO (kg)
NOx (kg)
VOC (kg)
optimization of the signal timing plans. For the FETSIM projects, TRANSYT was used to first
to simulate existing conditions for the arterials or grid systems, then to optimize the signal plans,
and finally to estimate the resulting benefits from the optimized plans. In addition to the
TRANSYT simulation modeling, "before-and-after" field studies were conducted using floating
cars to sample travel times, delays, and stops. The results of the field studies supported the
modeled results. An interesting outcome of the TRANSYT analysis is that the benefits in fuel
savings followed travel time improvements linearly, with every 1% of travel time savings
resulting in a 1% saving in fuel use (with savings up to approximately 25%). However, the fuel
savings results from the FETSIM Program should not be generalized to other cases of signal
optimization, since the signals were optimized with fuel consumption as one of the key criteria
for selection of the "best" timing plans. Finally, although Skabardonis points to air pollution
reductions as being an additional benefit (of particular importance in non-attainment areas),
unfortunately, neither the simulation modeling or field studies provide specific data. Unlike the
DMJM Harris study undertaken for the city of Syracuse, no attempts are made to extrapolate
emissions reductions 
from fuel savings.
23
In a recent National Cooperative Highway Research Program (NCHRP) report "Predicting Air
Quality Effects of Traffic Flow Improvements," a five-module methodology was developed in
order to overcome many of the current methodological shortcomings, as well as estimate the
long-run impacts (to the year 2020) of traffic flow improvements. The methodology was
intended to be both rigorous enough to capture the effects of changes from a range of traffic-flow
improvements - including ITS and more traditional projects - but practical enough to be within
the capabilities of most medium and large city MPOs (Dowling, Ireson et al. 2005). It also
incorporates effects not modeled in the majority of the studies reviewed, such as: "the impact of
travel time changes on trip making by peak period and by mode of travel,... [and] the impacts of
traffic-flow improvements on growth patterns" (Dowling, Ireson et al. 2005).
Applying this methodology to predict the effects of coordinating six signals along a 0.54 mile
arterial in Seattle, showed a possible increase in speeds of 9%, a regional VMT reduction by
0.01% and regional emissions reductions of NOx (0.02%), CO (0.03%) and HC (0.04%)
compared to the 2020 base case (Dowling, Ireson et al. 2005). Although these effects are
extremely small, it should also be kept in mind that the project length modeled for the signal
coordination was only a half mile, and were the same order of magnitude as other transportation
system changes such as adding an HOV lane or park-and-ride lots.
2 4 
This is also one of the few
studies looking at the long-term impacts of ITS-based traffic flow improvements. Given the
relatively small size of the projects modeled and the uncertainty in this type of long-run analysis,
these results should be considered more as indications than predictions. Nonetheless, the results
23 TRANSYT does not support emissions modeling. 
Rouphail, N., H. C. Frey, et al. (2001). Vehicle Emissions 
and
Traffic Measures: Exploratory Analysis of Field Observations at Signalized Arterials. 80th Annual Meeting of the
Transportation Research Board, Washington, DC.
24 The only transportation system project modeled 
with the NCHRP 25-21 methodology that had 
a more substantial
impact on regional emissions in 2020, was the addition of a lane on an urban freeway, which increased regional
emissions by 0.37% (NOx), 0.28% (CO), and 0.19% (HC). Dowling, R., R. Ireson, et al. (2005). Predicting Air
Quality Effects of Traffic-Flow Improvements. National Cooperative Highway Research Program (NCHRP) Report
535. Washington, DC, Transportation Research Board.
show that reductions of CO, NOx and HC can be achieved by increasing arterial facility speeds
while slightly reducing regional VMT. Although not discussed the report, the lower VMT could
reflect drivers using the optimized arterial facilities as more 
direct routes (hence, lower VMT),
rather than taking slightly longer trips in order to make use of higher speed freeways.
* Ramp Metering
The Twin Cities of Minneapolis and St. Paul, Minnesota boast one of the extensive deployments
of ramp control in the world, making it an important case for assessment of air quality benefits
for this ITS application. In 2000, a simulation study was carried out by researchers from the
University of Minnesota, in order to assess the impacts of ramp metering along two freeway
sections (Hourdakis and Michalopoulos 2002). The first section, Trunk Highway 169 (TH-169)
is a circumferential freeway with relatively low traffic volumes, while the second section chosen
is a segment of Interstate 94 (1-94), which has higher traffic levels and often severe peak hour
congestion. The AIMSUN (Advanced Interactive Microscopic Simulator for Urban and Non-
Urban Networks) microscopic traffic simulator was used to assess ramp metering using several
measures of effectiveness (MOEs) that were expanded to include measures of interest to the
public.
25  
The simulator was interfaced with the ramp control logic actually used by the
Minnesota DOT, and used data collected by detectors for the tested freeway sections.
Interestingly, since ramp metering was already in place, the simulation was conducted in order to
see the impacts of shutting off the ramp meters, making the existing ramp metering configuration
the base case. The simulation results indicated that both fuel consumption and pollutant
emissions would increase significantly without ramp control, primarily due to the traffic
smoothing impacts on the mainline freeway, which reduced the number of acceleration-
deceleration cycles. The results for the less congested freeway (TH-169) are shown in Table 2-4.
Table 2-4 Emissions/Fuel Use Changes with and without Ramp Metering
Pollutant Emissions
Freeway Freeway Fuel
Speed Stops Consumed
(mph) (total) (gals) CO (kg) HC (kg) NOx (kg)
With Ramp
Control 56.2 7,256 13,736 3,493 231 67
Without Ramp
Control 46.5 153,177 18,371 4,128 262 84
% Change -17% 2011% 34% 18% 13% 25%
Fuel consumption and pollutants include entire site, both on the mainline freeway and ramps
"% Change" represents the simulated impacts of shutting off ramp control
Results are fbr northbound TH-169, on March 21, 2000from 14:00-20:00
Source: (Hourdakis and Michalopoulos 2002), Table 2
25 The authors note that the study 
was partially motivated by the 
need to demonstrate the benefits from 
the system,
due to some public dissatisfaction with its performance, in particular, long queuing times at certain on-ramps.
Despite the fact that through ramp metering, freeway speed would increase from 47 
to 56 mph,
the turning point at which NOx emissions factors (grams per mile) often begin to increase
rapidly, NOx emissions are actually 25% lower with ramp control. This suggests that for this
case, the reduction in stop-and-go traffic overshadows speed increases in terms of its overall
impacts on NOx emissions, by reducing acceleration/decelerations cycles on the freeway
mainline.
26 
The selected results presented in Hourdakis and Michalopoulos (2002) (and shown
in Table 2-4) are only for the smallest speed changes between the control and no-control cases.
At higher speed differences, the reductions in NOx could be diminished, or NOx could even
increase, due to the sensitivity of NOx emissions factors to increasing speeds.
Although most other ITS-based traffic flow improvements tend to show lower reductions for
NOx than for CO and HC, these results for ramp metering coincide well with most studies
focusing on acceleration events, and more specifically, the "power enrichment" or "fuel
enrichment" events which occur during sustained and hard or aggressive accelerations (see
Figure A-1, Figure A-2, and Figure A-3). Under these conditions, the vehicle fuel delivery
system increases the fuel/air ratio, leading to higher CO and VOC emissions than would occur at
cruising speeds (Dowling, Ireson et al. 2005). However, NOx emissions rates are somewhat less
sensitive to acceleration, with speed being the determining factor of NOx levels (Rakha and Ding
2003).
* Electronic Toll Collection (ETC)
There have been numerous studies looking at the air quality benefits of ETC. In part, this is due
to the relatively localized nature of ETC, since one can usually confine the analysis to a specific
toll plaza or group of toll plazas rather than assess impacts spread out over an entire network.
Emissions reductions have been assessed for ETC applications in the Chicago area (Sisson
1995), the Carquinez Bridge in California (Gillen, Li et al. 1999), the New Jersey Turnpike
Authority E-ZPass system (Wilbur Smith Associates 2001), Baltimore (Saka, 
Agboh et al. 2001),
Orlando (Klodzinski, Al-Deek et al. 1998), and Oklahoma (MITRE Corporation 1996, p 14).
Saka et al (2001) combined a traffic microsimulation model with the Mobile 5b emissions model
to measure emissions from the Fort McHenry Tunnel toll facility, the largest toll plaza in
Maryland. Two scenarios were developed: (1) the baseline, with all toll lanes operating
manually, and (2) an ETC market penetration of 28%, with two exclusive ETC lanes (although
the ETC-equipped vehicles could use ETC or manual lanes). Despite the limitation that
MOBILE 5b is not capable of reflecting the full drive cycle of vehicles at toll plazas - stops,
decelerations, and accelerations - they used this emissions model due to its role as the "only
accepted method of determining air quality compliance in nonattainment areas" (Saka, Agboh et
al. 2001, p 328). As a result, only changes in the weighted average speed for the entire toll
facility (weighted according to the flow in each direction) were used in the emissions modeling.
Comparing these two scenarios, the scenario with 28% market penetration of ETC (which
26 AIMSUN calculates emissions using look-up 
tables that give pollutants (HC, CO and NOx) 
in grams/second for
each speed-acceleration/deceleration category and by vehicle class. See http://www.aimsun.com/faq env.html Last
accessed May 19, 2005. The changes in emissions are for the "entire site," and thus should also include emissions
from waiting on the ramp.
corresponded to the observed use at the time) generated reductions in emissions of 11% (0.85 kg)
for NOx, 40% (3.77 kg) for HC, and 41% (36.04 kg) for CO, at a weighted average speed of 18.6
km per hour.
While this analysis gives a rough indication of the emissions reductions, there are two important
limitations. One limitation, as already mentioned, is the use 
of MOBILE 5b emissions factors,
which do not capture emissions during stops and accelerations.
27 
Decelerations are usually not
important events from the emissions standpoint. Conversely, the highest emissions generally
occur during accelerations (Rouphail, Frey et al. 2001). The other limitation is the use of average
speeds for each direction, which does not differentiate between slow-moving manned lanes and
fast-moving automated toll lanes, or between ETC and non-ETC equipped vehicles. By using
average speeds to derive emissions rates, the study might not properly reflect the actual
emissions rates from vehicles moving at various speeds, both higher and lower (see Figure 2-3
and Figure 2-4).
Sisson (1995) took a different approach to measuring the air quality effects of ETC, focusing on
the number of acceleration events (from 0 to 65 mph) rather than changes in average speeds. He
stated that "traditional toll collection adds to a region's air quality problems by introducing a
number of additional accelerations from a full stop to high speed during a tollway trip," adding
that "the California Air Resources Board (CARB) determined that one hard acceleration from
rest to freeway speed may release as much pollution as over three miles of average driving"
(Sisson 1995, p 93). This is consistent with a protocol developed for the Northeast States for
Coordinated Air Use Management (NESCAUM), which calculated that a speed profile of 65-0-
65 mph over a distance of 0.55 miles produced emissions equivalent to driving a steady 65 mph
for 3.3 miles for HC, 1.98 miles for CO, and 1.01 mile for NOx (Roberts and Shank 1995).
Looking at three possible levels of ETC usage in the Chicago area (25, 50 and 75 percent market
penetration), he estimates the annual reductions in emissions by eliminating accelerations for
those vehicles using ETC. While the focus on accelerations is useful, Sisson made assumptions
regarding emissions factors that might not be valid. Based upon emission factors from CARB
for grams emitted per 0-65 acceleration (for model years 1989 and 1990), Sisson then adjusted
those factors for older vehicle model years to get a fleet average. One potential problem is the
use of emissions factors based on average speed to scale up emissions factors based on
accelerations. As briefly discussed earlier, the recent work by Rakha and Ding (2003) shows
that the relationship between speed and acceleration is substantially more complex. Specifically,
it is non-linear. For older vehicles, the emissions factors curves may have steeper slopes for
emission rates at low and high speeds. Finally, Sisson did not take into account the possible
improvements to the non-ETC equipped vehicles by freeing up manual toll lanes, and therefore
increasing speeds at manual lanes and reducing queues.
27 Both MOBILE5 and the newer MOBILE6 
"derive their speed correction factors from emissions 
tests on selected
driving cycles," therefore the effects of ITS on changing speed and acceleration/deceleration profiles cannot be
measured. Dowling, R., R. Ireson, et al. (2005). Predicting Air Quality Effects of Traffic-Flow Improvements.
National Cooperative Highway Research Program (NCHRP) Report 535. Washington, DC, Transportation Research
Board.
* Incident Management
Relatively few published studies have been carried out to estimate the emissions impacts of
improved incident response strategies. The primary mechanism for achieving emission
reductions from improved incident response is the reduced duration of incidents and traveler
delay, and therefore reduced buildup of congestion and the resulting stop-and-go travel
conditions. In San Francisco, a freeway service patrol, deployed under the auspices of the
federal Congestion Mitigation and Air Quality (CMAQ) Program, reports daily reductions of 32
kg of HC, 322 kg of CO, and 798 kg of NOx (U.S. Department of Transportation 1996).28
However, because each incident is different in terms of the location, number of lanes affected,
both by closure and by "rubbernecking" of passing drivers, and the severity and duration of the
incident, there are no equivalent controlled conditions as in the case of ramp metering or ETC to
provide for easy simulation modeling or field measurements.
Looking at the San Antonio TransGuide System, which includes 26 miles of 
downtown freeway,
Henk and Molina (1997) used before (1992-4) and after (1995) data to compare the impact of the
incident management system on crashes and incident response time. Reductions in response
times, collected from video surveillance data, were used as input into CORFLO, a corridor
simulation model. For a major incident, there was an average delay savings of 700 vehicle hours
and fuel savings of 2,600 gallons (Henk and Molina 1997). However, emissions reductions from
the delay savings were not reported.
The small number of studies on air quality impacts of incident management leaves a significant
analytical gap in understanding the impacts of ATMS on air quality, since it focuses on non-
recurrent, incident-based congestion instead of recurrent congestion. Improvements to non-
recurrent congestion may reduce travel time variability (and thus improve reliability) without
actually reducing average travel times. As a result, the potential for induced travel from
managing non-recurrent congestion is less clear. However, since ITS-based improvements
through ATMS will improve levels of service, there are still possibilities for induced travel. We
will consider this issue at greater length in the next chapter.
2.2.5.3 Advanced Public Transportation Systems (APTS)
The assessment of air quality benefits of APTS has been relatively limited to operational
improvements in advanced transit fleet management through ITS. Many of the other categories
of ITS applications such as safety and security, information dissemination and transit fare
payment (smart cards), have not been evaluated for their air quality benefits, despite their
potential to attract more riders from private automobiles, thereby reducing VMT.
* Transit Signal Priority
Transit Signal Priority (TSP) - the preferential treatment given to transit vehicles at signalized
intersections - provides the means to improve transit operations and level of service. Signal
28 Also cited in www.itsbenefits.its.dot.gov. 
Last accessed January 23, 2006.
priority can be "passive" in that signal timings are set to favor transit vehicle speeds (to account
for dwell times at stops) rather than the speed of general traffic, or "active" meaning that
strategies - an early green or green extension - are only implemented when a TSP-equipped
vehicle approaches the intersection (Baker, Collura et al. 2002). Understanding the effects of
TSP on emissions requires modeling the changes in the operation of the transit vehicles given
priority, and the effects of signal pattern changes on all vehicular traffic, in particular, cross-
street traffic, and finally, the possible changes in ridership from improved transit service.
Using a micro-simulation model, INTEGRATION, Dion et al analyzed the potential impacts of
transit signal priority along a corridor in Arlington, Virginia. INTEGRATION simulates traffic
using time intervals of 1/
1 0
th of a second, therefore allowing emissions to be estimated using
instantaneous speed and acceleration data. Various scenarios were run to assess the outcomes of
giving priority to express buses, regular buses, and cross-street buses along the corridor.
According to the authors, "in terms of environmental impacts, the simulation results do not
provide conclusive trends" (Dion, Rakha et al. 2003, p 301). The effects of transit signal priority
on HC, NOx and CO were modeled by taking into account changes in emissions by all buses -
express, regular (arterial) and cross street - and all other traffic both along the corridor and from
cross streets. Most emissions changes were less than 1% and not statistically significant (Dion,
Rakha et al. 2003). Even in scenarios where vehicle stop times and overall travel times were
reduced, no clear-cut emissions reductions or increases were found. This is because the model
was able to capture the behavior of individual drivers and variations in their speeds.
The authors warn against applying the results of the study to other areas, since the outcomes
greatly depend on the corridor or network being studied (Dion, Rakha et al. 2002). Furthermore,
the analysis used a relatively simple logic for granting priority to transit. More advanced TSP
strategies could be used to maximize the benefits to the transit vehicles while minimizing
disruptions to general traffic - for example, giving "conditional" priority to transit vehicles
depending upon their schedule adherence (late or early), number of passengers (from Automated
Passenger Counters), and traffic conditions such as levels of delay on cross streets.
The strength of this analysis lies in the level of detail in modeling the dynamics of both transit
vehicles as well as the complex dynamics of general traffic flows, and the ability to capture the
emissions impacts of both speed and acceleration. However, as just noted, a limitation is the
relatively simple TSP logic applied.
* Service Quality Improvements
The studies by Dion et al (2003) focused on improvements from TSP and their potential
emissions effects. However, in many cases, multiple ITS applications are implemented together,
often taking advantage of the detailed real-time information provided by GPS and other
Automatic Vehicle Location (AVL) systems. For example, Lehtonen and Kulmala (2002)
provided a comprehensive evaluation of the deployment of AVL, real-time passenger
information at transit stops and inside vehicles, conditional signal priority to vehicles running
behind schedule, and Computer Aided Dispatch (CAD). Their assessment of overall benefits
included a combination of field measurements of operational performance, interviews and
surveys of passengers and operators, simulation, and socio-economic evaluation. However, the
simulation of the effects of ITS on emissions was limited in scope. For estimating emissions, it
was assumed that the "only difference between the before and after situation in the simulation is
the length of time which the buses are standing still at stops or signals" (Lehtonen and Kulmala
2002, p 6-7). Therefore, only the difference in idling emissions was calculated, while the
dynamics of the bus in motion were assumed to be the same. Furthermore, the simulation
assumed that the buses stop at all signals, an assumption that the authors noted would lead to an
underestimation of the benefits of ITS, since signal priority would eliminate stops and the
associated accelerations that generate higher emissions. Their surveys and field measurements
revealed a ridership increase on both lines under study, and further suggested that both improved
service from signal priority and the passenger information system play a role in improving
ridership. Yet, there was no attempt to estimate the emissions reductions, even in a back-of-the-
envelop calculation, from possible modal shifts to public transit. For example, there is no
indication of whether the new riders might have come from other transit routes, or from private
automobiles.
This reveals an important limitation in most studies of the air quality impacts of APTS. There is
currently no feedback loop to the travel demand models (see Figure 2-1). Yet, TSP and other
operational and level-of-service improvements could increase transit ridership and thus affect
mode share.
29 
Increasing bus ridership through TSP strategies could lead to a virtuous circle,
since a mode shift from autos to buses could provide some congestion relief along the corridor,
and the impacts on general traffic from giving priority to transit (which are higher under higher
levels of congestion) would be reduced. Changes in ridership from TSP have not been well
documented in the US. In Saporro City, Japan, implementation of TSP lead to a 6% reduction in
travel time, an impressive 10% increase in ridership (Baker, Collura et al. 2002, p 9).
Quantitative measures of bus service levels (travel time, reliability) and qualitative measures of
passenger satisfaction indicate that there could be an important ridership effect in the US as well.
The difficulties in assessing the emissions and air quality impacts of ITS transit applications
reflect the larger issue of how to incorporate the effects of transit ITS in the standard
transportation modeling process. For example, "improved service reliability (resulting in
reduced variability of both wait and travel time), and improved 'quality' of wait time resulting
from real-time traveler information" can both have significant impacts on traveler behavior and
thus ridership levels (U.S. Department of Transportation 2005). However, modeling and
measuring these effects is not within the capabilities of current demand models.
2.2.6 Summary of Reported Benefits
There has been a growing interest and base of knowledge in assessing the air quality impacts of
ITS deployments. Indeed, progress is being made on incorporating ITS-based improvements
into transportation network modeling, and linking that output to emissions models through more
29 
However, it should also be noted that with growth 
in overall travel demand, absolute transit ridership must 
grow
simply to avoid losing mode share.
refined emissions factors. Although many fundamental questions still remain unresolved, some
preliminary observations can be made.
Improved traffic flows from ITS seems to provide modest reductions in HC and CO, although
NOx emissions are generally more difficult to reduce, as increased flow speeds
disproportionately raise NOx emissions factors after about 30-40 mph (see Figure 2-3 and Figure
2-4), and NOx idling emissions are low (meaning that reducing idling is less effective for NOx
reductions than for HC and CO reductions). The traffic smoothing 
aspect of ITS is important,
and reductions in hard or sustained accelerations offer the potential to reduce emissions.
However, since NOx is not as significantly affected by the power enrichment that occurs during
hard accelerations (HC and CO are more strongly affected), reducing these acceleration will do
less in the way of NOx. While ETC may reduce hard accelerations events, ramp metering may
actually introduce additional hard accelerations, as vehicles quickly accelerate from zero to
freeway speeds. Therefore, ramp metering seems to be a better NOx strategy than for HC or CO,
although if average freeway speeds are increased substantially, NOx emissions may begin to rise
again. Therefore, different strategies may present tradeoffs between NOx reductions and CO and
HC reductions.
The quality of studies for advanced traffic signalization is highly variable. There seems to be
some potential for emissions reductions by smoothing traffic flows. Indeed, benefits from
smoothing traffic flow may be underestimated where average speeds are used, because these
studies are not capturing the changes in accelerations and idling. However, there may also an
overestimation of the benefits because the question of induced demand has not been adequately
addressed.
30
Air quality studies of ITS improvements to public transportation have been relatively narrow in
scope, focusing on changes in the bus operations along a particular route, and changes in
emissions that result from fewer stops or increased speeds. Some work has been done to assess
to what extent different types of signal priority to transit affect regular traffic, with inconclusive
results. Impacts on side traffic depend more upon the type of priority given to transit, i.e.
whether conditional or not.
31 
However, the emissions outcomes from more systemic changes to
the transportation system, such as mode shift due to both improved service quality and image of
the transit system, have not been explored.
Finally, the role of advanced traveler information seems to indicate a balancing act between the
congested route and the non-congested alternative, in the case of information regarding incidents.
Market penetration, compliance rates, and the severity of the accident determine whether ATIS
can distribute traffic flows efficiently, or lead to overreaction and congestion of alternate (usually
arterial) routes. In the case of recurring congestion, ATIS does seem to improve network
performance. However, it also opens up the possibility of inducing demand through reduced
travel times. Again, as with APTS, the potential for ATIS to change mode share and the
30 This tradeoff will be discussed 
in much greater depth in Section 
3.2.1 on induced travel.
31 "Unconditional" transit priority 
means that priority is given 
with greater frequency than conditional 
priority,
meaning that regular traffic flows are "interrupted" more often.
possibilities for induced travel from ATIS have not been seriously examined. There is also a
serious gap in the studies regarding the use of multi-modal information, which can provide not
only traffic conditions, but also transit information for those that may not be accustomed to using
public transit, and information on carpool or vanpooling options that can reduce travel time by
allowing access to HOV facilities.
So, we are just beginning to understand the impacts of ITS on emissions for "traditional" ITS
deployments such as ATMS, APTS and ATIS, and how they can affect emissions of HC, CO and
NOx. Here, we have not reviewed studies focused on the air quality impacts ITS for PM, studies
that would look, for example, at the effects of ITS applied to freight transportation and diesel
vehicles (see the description of CVO in Table 2-2). However, our review of the general
literature on ITS and air quality revealed a scarcity of work in this area, compared to the work
focused on ozone precursors (NOx and HC) and carbon monoxide. Finally, we have focused on
ITS technologies that are deployed primarily for mobility purposes, thus implicitly considering
their air quality impacts to be additional, secondary benefits. There are few studies on the
possibilities for ITS technologies that are specifically focused on emissions reductions and
energy savings. Therefore, we now turn a discussion to these ITS technologies. However, it
should be noted, that for the framework we will develop in Chapter 4, and apply to the case
studies in Chapters 5-7, we are focusing primarily on ITS technologies used for both mobility
and air quality benefits.
2.3 EXPANDING THE ITS TAXONOMY
Within the six functional areas or "user services" described above (see Table 2-2), there are
several applications which could be deployed to improve emissions. In fact, as will be discussed
in later chapters, several of these applications have been deployed in metropolitan areas for the
purpose of meeting or maintaining national air quality standards. Nevertheless, limiting the view
to these existing user services - developed primarily for mobility purposes rather than for
addressing air quality or other environmental concerns - fails to take into consideration the many
emerging applications that are being designed specifically for management of emissions and
energy use. These applications have been deployed primarily, but not entirely, outside of the
US. However, the concept has been raised in the US under the label of "emissions testing and
mitigation" in the US National ITS Architecture.
2.3.1 Emissions Management
So, the idea of integrating emissions detection with other urban ITS applications is not new. In
fact, the National ITS Architecture includes an "Emissions Testing and Mitigation" user service
as part of the Travel and Traffic Management user service bundle.
"The Emissions Testing and Mitigation user service uses advanced sensors to monitor
and implement strategies to reroute traffic around sensitive air quality areas, or control
access to such areas. Other technologies provide identification of vehicles that are
emitting levels of pollutants that exceed state, local or regional standards, and provide
information to drivers or fleet operators to enable them to take corrective action. The
service also provides transportation planning and operating agencies with information
that can be used to facilitate implementation and evaluation of various pollution control
strategies."
32
Considering this user service from the perspective of the ITS-4 - that is, technologies to sense,
communicate (i.e. transmit), process and use information (Sussman 2000) - the enabling
technology in emissions testing and mitigation is the ability to "sense" or detect ambient air
quality levels or emissions from specific sources. Even some of the "visions" of urban ITS
deployments in the 1990s explicitly included an emissions detection capability, as seen in the
upper right hand corner of Figure 2-5.
Nevertheless, this user service for practical purposes seems to be little more than a oddity found
in the ITS Architecture, as it does not appear in the vast majority of the ITS literature; neither is
it found in the taxonomy for the classification of ITS benefits and costs, included in the ITS
deployment tracking effort, 
nor mentioned by ITS 
America.
33
32 See www.iteris.com/itsarch/html/user/usrl9.htm. 
Last accessed July 15, 2006.
33 This outcome should not be surprising given 
the institutional players involved in the development 
of the National
ITS Program, mainly highway and transit groups, and as represented in the USDOT's Joint Program Office (the
FHWA and FTA). See Klein (1996). There is no direct involvement, for example, from the EPA.
Figure 2-5 "Urban Vision" for ITS
0
O6pevaftlfs Center,-
VOOT Local PoniceMO 
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Source: Cited in (Institute of Transportation Engineers 1996, p 156)
2.3.2 Taxonomy for Evaluation
While ITS applications can generally be categorized into the six functional areas discussed
earlier, in order to make more detailed distinctions between a wide variety of ITS applications, 
it
is useful to draw upon the taxonomy created by Mitretek Systems (see Appendix B). 
This
taxonomy was developed in support of the US DOT's database on ITS Benefits and Costs
34 
in
order better classify and compare information on benefits and costs. Although "Energy and the
Environment" is listed as one of the five goal areas of ITS by the US Joint Program Office, 
one
sees that the taxonomy used to classify ITS technologies for analysis of benefits leaves out any
technologies related to the user system of "Emissions Testing and Mitigation" discussed above.
At the broad level, this taxonomy is divided into "Intelligent Infrastructure" and "Intelligent
Vehicles." One level down, there are the various subsystems, such as arterial management,
commercial vehicle operations, transit management systems, road weather management, and
electronic payment systems. Below that are different functions, such as information
dissemination, response, surveillance and detection. Finally, the last level contains specific ITS
applications. While the full Mitretek taxonomy (for Intelligent Infrastructure) is included in
Appendix B as a reference, Figure 2-6 illustrates the basic structure of the taxonomy.
34 The Benefits and Costs database is maintained at www.itsbenefits.its.dot.gov. 
Last accessed January 23, 2006.
Figure 2-6 Structure of the ITS Taxonomy
Some interesting observations can be made by comparing the five goals areas of ITS and the
subsystems used in the Mitretek taxonomy for evaluation. Three of the five ITS "goals areas" -
mobility, efficiency and productivity - reflect benefits that are largely internal to the
transportation system, and its suppliers, operators, and users. Looking at the Mitretek taxonomy,
these three goals are supported by nearly all of the applications included. However, looking at
the two goal areas of ITS related to broader societal benefits - safety and energy/environment -
safety and crash prevention is the only one that appears as a separate subsystem under the
Intelligent Infrastructure in the Mitretek taxonomy.
35
35 The institutional history of the National ITS Program can 
explain the inclusion of safety as an important
subsystem. One could argue that the predominance of safety on the ITS agenda has its roots in the early efforts of
HUFSAM (Highway Users Federation for Safety and Mobility) to exercise greater control over the development of
the national ITS program and the creation of ITS America. Klein, H. K. (1996). Institutions, Innovation, and
Information Infrastructure: The Social Construction of Intelligent Transportation Systems in the U.S., Europe, and
Japan. Doctoral Thesis in Technology, Management and Policy/Political Science. Department of Political Science.
Cambridge, MA, Massachusetts Institute of Technology: 404 pages. In comparison, there was never an analogous
"environmental lobby" in the early years 
of the National ITS Program.
2.3.3 Incorporating Emissions Management
Clearly, the taxonomy fails to reflect the small but growing number of ITS applications that are
more specifically directed toward improvements in air quality, vehicle emissions, and energy
consumption. These applications are based, for example, on the identification of high emitters
through on-road remote emissions sensing, with response strategies ranging from simply
providing feedback to drivers on their vehicle's emissions levels, to restricting the entry of high-
emitting vehicles into specific zones. ITS emissions and energy measures can also include
automated speed enforcement to move traffic at speeds characterized by more "desirable"
emissions factors, or pricing strategies that incorporate environmental externalities into the price
of travel.
In this section, we therefore propose an expanded ITS taxonomy as a step toward better
incorporating this goal area, as well as expanding the range of mechanisms by which ITS can
affect air quality. This addition would include a new subsystem under the heading of Intelligent
Infrastructure (Figure 2-7),36 where devices are incorporated into the infrastructure to detect and
control vehicle emissions, as well as under the heading of Intelligent 
Vehicles (Figure 2-8),
where these functions would be largely internal to the vehicle.
37 
These are diagrammed and
described in detail below, following the Mitretek format of dividing a subsystem, in this case
Emissions and Energy, into various functions. These subsystems allow for a more precise
classification of emerging environmental ITS applications, while maintaining consistency with
the accepted taxonomy for the evaluation of costs and benefits.
36 Analogous to the inclusion of 
"safety and crash prevention" as 
a stand-alone subsystem of ITS.
37 As of the writing of this dissertation, 
the concept of Vehicle-Infrastructure 
Integration (VII) was emerging as the
state-of-the-art in ITS research and development. Assessing the implications of Intelligent Vehicles and VII is an
important track for future research.
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2.3.4 Intelligent Infrastructure
2.3.4.1 Monitoring, Surveillance, & Detection
In the same sense that a traffic management system must be able to sense vehicles flows in order
to generate a management strategy, a basic function for an energy and emissions ITS subsystem
is the ability to accurately detect emissions from individual vehicles, provide surveillance on
emissions characteristics for a sample of the vehicle fleet, and monitor air quality at either
specific sites or for the entire urban area.
38 
To some extent, the ITS Architecture attempts to
incorporate these capabilities in the specifications, noting that the Emissions Testing and
Mitigation function should include both wide area pollution monitoring (WAPM) and roadside
pollution assessment (RPA) capabilities.
39  
However, the focus is only on ozone and its
precursors, excluding for example, carbon monoxide, although a roadside pollution assessment
capability would presumably be a useful tool to identify CO "hot spots" that are important from a
public health and regulatory perspective. Furthermore, the ITS Architecture, in defining the
roadside pollution assessment function, lumps together several very distinct technological
capabilities, such as the ability to measure ozone precursor emissions as well as ozone
concentrations, to detect both moving vehicle emissions and ambient air quality levels, and even
to be "capable of reading suitably equipped vehicle's diagnostic data to determine that vehicle's
operational status" (U.S. Department of Transportation 2005). While these are bundled into one
definition, these functions required very different technologies and physical configurations.
We will consider four applications supporting the function of emission and air quality "sensing":
(1) on-road remote sensing, (2) smog patrols, (3) traveler reported, and (4) ambient air quality
monitoring. These applications differ according to whether they sense emissions (1-3) or
ambient concentrations of pollutants (4), and how that information is collected. Being able to
detect emissions is particularly important because of the what is known as the high-emitter
problem, where a small percentage of the vehicle fleet has very high emissions when the
emissions control technologies are not working properly.
40 
As a general rule, the dirtiest ten
percent of the vehicle fleet is responsible for half of the entire fleet's HC and CO emissions.
Perhaps more surprisingly, "high emitters are found in all model year vehicles; it is not just the
old cars that are high emitters" (Heywood 1998, p 17). Even as vehicle fleets become cleaner on
average, a portion of vehicles from all model years will pollute substantially. While traditional
inspection and maintenance (I/M) programs are an effective remedy to this problem, they often
38 Air quality, of course, is not only function 
of on-road mobile sources, but also stationary 
point and area sources,
and off-road mobile sources.
39 The relevant architecture specifications 
can be found at www.iteris.com/itsarch/html/user/usrl9.htm. 
Last
accessed July 15, 2006. However, this remains largely conceptual, since in the US these systems have not been
deployed beyond a few isolated cases.
40 This can be due to failures and malfunctions, 
intentional tampering, or incompetent repair 
of the emissions control
technologies. Heywood, J. B. (1998). Motor Vehicle Emissions Control: Past Achievements, Future Prospects.
Handbook of Air Pollution from Internal Combustion Engines: Pollutant Formation and Control. 
E. Sher. Boston,
MA, Academic Press: 3-23.
failure to capture the full picture of in-use emissions. Therefore, we outline several ITS
technologies that can identify and address the high-emitter problem.
* On-road Remote Sensing
Probably the most effective application within this category is that of on-road remote emissions
sensing. These technologies can measure, process and archive emissions information in real-
time for thousands of vehicles, and provide the basis for a range of response strategies that will
be discussed later. On-road remote emissions sensing measures the amount of certain pollutants
by emitting a light beam through the exhaust gas emitted by a passing vehicle. This beam is then
detected at the other side of the road and analyzed for its levels of CO, HC, NOx and CO
2
.
The emissions readings can be used with or without identification of the emitting vehicle.
Identification requires coupling of the remote sensing to a license plate recognition (LPR)
system, and can be used for enforcement purposes, for support of I&M programs, or for
otherwise linking information on vehicle model, age, and other vehicle-specific data than can be
accessed from a vehicle registry database. In Denver, Colorado, the Smart Sign vehicle
emissions information system, which coupled remote sensing with LPR, showed a much higher
rate of successful readings for the remote sensing (94% successful/attempted readings) than for
the LPR system (12% successful readings, with high confidence levels, during operational time)
(Bishop, Stedman et al. 2000). If not used for enforcement purposes, this information can kept
anonymous to avoid any privacy issues, for example, linking emissions to vehicle model and
age, but excluding information that could be linked to the vehicle owner or vehicle registration.
In terms of physical configuration, freeway off-ramps have been used in some deployments
because they provide single lanes with heavy traffic, and can be located to ensure that vehicle's
arriving to the off-ramp will already have their engines and emission control equipment in "hot
stabilized" mode (therefore not capturing the higher emissions rates from vehicles still in "cold
start" mode) (Bishop, Stedman et al. 2000).41 The equipment can be either permanent and
unattended by personnel (as in the Smart Sign case) or mobile, for example, using vans to move
the equipment from site to site, but requiring technicians to monitor the stations and adjust the
equipment settings to each site. While these deployment have often been stand alone, they could
also be integrated with other ITS facilities such as ETC-equipped toll plazas or weigh-in-motion
stations for freight vehicles.
* Smog Patrols
Another source of information and enforcement for vehicle emissions is the use of "smog patrol"
officers, which can be considered as "on-road" enforcement of Inspection and Maintenance
(I/M) programs. Through visual checks of visible smoke (typically for light duty vehicles), or
roadside tests of exhaust smoke opacity (for heavy duty vehicles), the officers can record vehicle
and driver information, and enforce emissions regulations. While this is a much less automated
41 The use of LPR in Denver's Smart Sign program was eventually 
ended to "completely eliminate potential privacy
issues" Bishop, G. A., D. H. Stedman, et al. (2000). "Drive-by Motor Vehicle Emissions: Immediate Feedback in
Reducing Air Pollution." Environmental Science and Technology 34(6): 1110-1116.
form of on-road emission sensing, compared to the remote emissions sensing systems described
above, it can be more directly linked to enforcement by issuing tickets and fines or escorting
vehicles to emissions testing centers. This type of system has been used and expanded in the
province of Ontario, Canada, since 1998. In the year 2000, the Smog Patrol inspected about
2,000 light duty and 592 heavy-duty vehicles (Ministry of the Environment 2002, p 17).42 While
the number of vehicles is substantially lower than that possible by remote sensing (over 3 million
successful CO measurements and 145,500 high-confidence LPR readings), one can argue that the
Smog Patrol compensates by focusing on the very highest emitters, visibly smoking light and
heavy duty vehicles. Furthermore, the Smog Patrol couples surveillance with enforcement, a
function enabled by collaborating with the province's law enforcement officials. The potential
privacy issues related with the use of LPR may make linking readings to enforcement more
problematic, although the LPR in London's congesting pricing scheme indicates that this barrier
is not insurmountable.
* Traveler Reported
Finally, another source of surveillance on vehicle emissions is the use of traveler reported high
emitters. While this is borderline for being considered ITS, in the sense that it is not advanced
technology, we include traveler reported information in order to be consistent with the Mitretek
taxonomy, which incorporates traveler 
reported information for incident 
management systems.
4 3
In this case, a dedicated phone number (hotline) or online reporting form can be used by drivers
to report vehicles emitting visible smoke. Similar to the Smog Patrol, this relies on visual
observation of exhaust smoke. An example of this system is in operation in New South Wales,
Australia, where up to 2,000 vehicles are reported to the Environment Protection Authority each
month by the public via phone and internet, in addition to the reports filed by government
reporting officers.
44 
Although the Smog Patrols will have training in how to identify out-of-
compliance vehicle emissions (color and density of smoke, duration of the smoke emissions), the
public generally will not. Because anyone can report a vehicle, there is a greater probability of
identifying high emitters, although legislation will determine how that information can be used
for enforcement purposes. The San Francisco Bay Area also has a reporting system for visible
emitters, with a toll free number and internet page for reporting smoking vehicles.
45
In the US, the effectiveness of this type of system is limited as the number of gross polluters
emitting visible smoke decreases to a negligible number, although it can target the highest visible
polluters. In other areas, in particular, in developing country cities where both passenger
vehicles and heavy duty vehicle fleets still have a relatively high number of gross emitters, this
type of system may be an effective measure, although the administrative burden of processing
traveler-reported information on high emitters may be substantial.
42 See www.ene.gov.on.ca/programs/3678e.pdf 
for information on the program. Last accessed January 
3, 2006.
43 Traveler reported traffic information is also 
used in many advanced traveler information 
systems, such as
SmarTraveler in Boston, which uses information called-in from drivers in addition to other sources.
44 See www.epa.nsw.gov.au/esdsmoky/index.asp. 
Last accessed January 3, 2006.
45 Reporting of visible emitters is at www.800exhaust.org 
or www.baaqmd.gov/exhaustlexhaust.htm. Last 
accessed
January 30, 2006.
* Air Quality Monitoring
While the applications described above provide information on the emissions of individual
vehicles or a sample of the vehicle fleet, a third application is the use of air quality monitoring to
measure pollutant concentrations at specific sites on the transportation network. Most cities have
an existing network of air quality monitoring sites to routinely measure pollutants, their
precursors and meteorological conditions, such as wind speed and direction, ambient
temperature, and relative humidity. In addition to the urban air monitoring network, more
focused measurements can be taken to assess concentrations of pollutants and precursors around
important transportation facilities. In Europe, a program was launched in five cities to evaluate
the potential for a "near real-time vehicle pollution monitoring system that correlates traffic
conditions and the resulting levels of pollution" (Information Society Technologies 2004).
There are many difficulties in measuring changes in concentrations of pollution due to changes
to the transportation system, given the presence of other stationary and point sources in the
vicinity, constantly changing meteorological conditions, and the complex chemistry of pollutant
formation, such as for ozone. As part of this program, upwind and downwind measurements
were taken along a highway in the Netherlands to measure NO, NO2, and PM10, at distances of
50 and 200 meters, in order to determine the changes in concentrations resulting from traffic
speed control (Keuken 2004).
2.3.4.2 Emissions Information Dissemination
Using the information gathered through the applications under the heading 
of Monitoring,
Surveillance and Detection, several response strategies can be devised. This section will describe
strategies based on the dissemination of information on the emissions of individual vehicles or a
sample of the vehicle fleet.
* Variable Message Signs
Bishop and Stedman (2000) describe a vehicle emissions information system called Smart Sign,
that integrates highway variable message signs (VMS), on-road vehicle emissions sensing and
LPR. The purpose of this system is to provide drivers with immediate feedback regarding their
emissions status, in order to encourage drivers to take corrective actions for high-emitting
vehicles. Usually the feedback is qualitative, in the case of Smart Sign, indicating that the
vehicle's "health" is good, fair, or poor, and that the vehicle is therefore saving or costing their
owners' money (Bishop, Stedman et al. 2000). The use of VMS represents a more passive
approach to emissions control, giving drivers information in the hope that they will remedy the
problem either to save money, avoid failing future I/M inspections, or out of increased
consciousness about their vehicle's impact on air quality. In follow-up surveys of drivers, 16%
of owners of vehicles in the "poor" category indicated that because of the Smart Sign they had
already taken actions to address the problem, although this information could not be confirmed.
Indeed, as noted by Bishop et al, "the sign is uniquely suited to be used as a tool to increase
personal responsibility of drivers" (Bishop, Stedman et al. 2000, p 1115).
* I/M Exemptions and Notices
While the first two applications supporting emissions information dissemination 
are based on
reporting emissions information directly to drivers, the next three applications 
are based upon
linking emissions information to enhance traditional Inspection and Maintenance (I/M)
programs. By using information from remote sensing, different forms 
of "hybrid" emissions
testing programs can be developed. The exact form of these program can vary widely, but
include a combination of traditional emissions testing centers and on-road emissions sensing to
identify "clean" vehicles that can be exempted from testing or "dirty" vehicles that can 
be
notified and called into the centers for additional testing (Booz Allen Hamilton 1996). Although
I/M exemptions and notices represent two sides of the same coin, in practice, clean vehicle
exemptions or "clean screening" has been deployed relatively little, while high emitter
identification has been more widespread. California, Colorado, Missouri, Texas and Arizona
have had the most experience in using remote sensing, and have investigated its use for both
clean and dirty screening and program evaluation (Klausmeier 2002). Specifically, Arizona has
used remote sensing to identify high emitters and require additional inspections, while Colorado
and Missouri have used clean screening (National Governors' Association 2000).
J I/M Quality Control and Auditing
Finally, statistical emissions data on the vehicle fleet obtained from on-road remote sensing can
be used for quality control, to verify the validity of test center results, audit specific centers, and
evaluate the overall I/M program. Some researchers suggest that using remote sensing to
evaluate the effectiveness of I/M programs is likely to be more beneficial than either I/M
exemptions or notices (Klausmeier 2002).
2.3.4.3 Air Quality Information Dissemination
In addition to dissemination of emissions information, in metropolitan areas with air quality
problems, the dissemination of real-time information on air quality levels can be used in support
of "episodic controls" or transportation control measures that are implemented when there is a
danger of exceeding the national ambient air quality standards. For example, for days when
ozone reaches dangerous levels in the San Francisco Bay Area, "Spare the Air Day" strategies
are implemented including extra speed enforcement on freeways, posting of "Observe the Speed
Limit" on Caltrans variable message signs, encouraging drivers to limit the use of their pre-1981
vehicles, and working with employers to examine telecommuting options for poor air quality
days (Bay Area Air Quality Management District 2004, p 39; Metropolitan Transportation
Commission 2004, p 49).46 In the summer and fall of 2004, a program of free travel on the
BART system was tested to measure its effectiveness and cost as an episodic control measure.
However, public awareness of these measures is often limited. 
In Germany and the Netherlands,
there are moves toward programs to ban certain vehicles from driving on "ozone alarm" days
based on their emissions levels (according to the "Euro" classification for vehicle emissions).
Again, adequate dissemination of information on pending ozone alarms would be critical to the
success and acceptability of the program by the public, and ITS could have an important role.
46 See www.baaqmd.gov/pln/plans/ozone/2003 
workgroup/owg may04/tcmmeasures 
052004.pdf. Last accessed
January 3, 2006.
For episodic control measures that affect traffic management (such as through speed changes)
and promote public transportation (such as with free fares), a combination of Variable Message
Signs (VMS), Highway Advisory Radio (HAR), and Wireless/Internet/Phone could be used
more intensively as a means to notify the public that these controls are in effect, as well as
provide information on alternative travel modes. This is done to a limited extent in Tulsa,
Oklahoma as well as in the state of Texas, as will be discussed in Chapter 6.
2.3.4.4 Zone Management
Zone management uses real-time information on air quality levels and/or emissions from
individual vehicles to dynamically adjust control strategies. These control strategies attempt to
limit vehicle emissions either by pricing or outright restricting vehicle activity within specified
areas or zones.
* Pricing
While the motivations for implementing pricing strategies, in particular, congestion pricing or
value pricing, are more directly linked to congestion mitigation than to possible air quality
improvements, there has been an increasing interest in exploring the air quality outcomes. Many
observers hold high hopes for the pricing capabilities of ITS to mitigate the potential for
increased travel and sprawl from ITS-based efficiency improvements. For example, Jordan and
Horan argue that "price signals that convey the true costs of driving ... will enable transportation
to serve the multiple economic, social, and environmental goals implied by the sustainable
communities paradigm" (Jordan and Horan 1997, p 70). While congestion pricing has been
implemented an increasing number of cities, the connection to air quality has been limited.
Singapore had the earliest pricing scheme, which has evolved substantially over years to
incorporate ITS-based technologies (Chin 1996; Beevers and Carslaw 2005). The UK more
recently broke the mold in the traditional thinking in Europe and the US that congestion pricing
was politically unfeasible when London began charging 5? per weekday to enter a 22 km
2 
area in
central London between 7:00 AM and 6:30 PM (Mahendra 2004).
Various ITS technologies are used to support pricing strategies, and include fixed and mobile
cameras, license plate recognition, and payment made possible by telephone, text messaging,
Internet, or self-service machines (London). There are exemptions for alternative fuel vehicles,
although this is "the only explicitly environmental measure in the [London] scheme"
(Hutchinson 2004). This provision has been a controversial aspect of the congestion pricing
scheme, since even the cleanest vehicle will add to congestion.
4 7 
Those involved in the London
Congestion Pricing scheme assert that above all "this is traffic and congestion management, not
an air quality scheme" (Hutchinson 2004), and that while benefits may have been achieved at the
local street level, no significant impact on overall air quality could be identified. However, later
analyses using detailed traffic data have identified important emissions changes from the
47 Similarly, in the US, there have been conflicting 
opinions regarding whether to allow cleaner or 
hybrid vehicles
with only one occupant to use HOV lanes. The concerns are that the HOV lane's benefit in travel time will be lost if
the HOV lanes are "slowed down" by additional, albeit clean, vehicles.
congestion charging scheme, reporting NOx reductions inside the zone of 12% and NOx
increases of 1.5% on the inner ring road, and PM10 reductions of 11.9% in the zone and PM10
reductions of 1.4% on the inner ring road (Beevers and Carslaw 2005).
In the US, the road pricing discussion has been focused around "facility pricing" on entire
freeways or specific lanes rather than on area-wide congestion charging schemes. High
occupancy toll (HOT) lanes have been the primary form of facility pricing, in which single
occupancy vehicles are allow on high occupancy vehicle (HOV) lanes by paying an electronic
toll. HOT lanes are being operated in Texas, Minnesota, and California. Many metropolitan
areas have begun to include or consider HOT lanes as transportation control measures included
in state air quality improvement plans. Time-based highway congestion charges have been
implemented in Lee County, Florida, Toronto, and New York. Although it has not been studied
in-depth, the emissions impact of these two types of facility-based congestion pricing may vary
substantially. A time-based highway congestion charge could improve emissions by spreading
out the peak, and thus smooth traffic flow and reduce emissions from stop-and-go travel
conditions. Also, congestion pricing using HOT lanes, could reduce vehicle miles traveled by
increasing average occupancy rates.
There are currently no examples of real-time pricing to charge drivers for their emissions
contribution, as most pricing schemes are focused on congestion mitigation, not air quality
objectives. Congestion charges in London are not based upon real-time congestion conditions,
although Singapore has moved in that direction. A pricing scheme for emissions and energy
could use information on individual vehicles emissions as well as information on current or
predicted air quality levels, to determine an appropriate emissions charge. Yet, setting the
correct charge in order to achieve both air quality and congestion goals is a non-trivial task. The
objective of pricing has been to "alter driver behavior to reduce congestion," not improve air
quality (Foster 2004). The additional air quality charge would be based upon either air quality
levels (for example, whether there is a danger of exceeding air quality standards) or the
emissions of individual vehicles, such as hybrids versus older, high-emitters or heavy-duty diesel
vehicles. By incorporating an air quality charge (or emissions fee) to a congestion charging
scheme, achieving the desired speed and VMT characteristics would be substantially more
complex, since road users would perceive both the congestion charge and emissions charge/fee
together as part of the generalized cost of travel.
* Emissions-based Restrictions
Although real-time pricing of emissions has not yet been implemented, there are moves toward a
real-time enforcement of high-emitter restrictions. Under these restrictions, traffic-monitoring
stations prevent highly polluting vehicles from entering the restricted zone when pollution levels
are expected to exceed air quality norms. In the case of Beijing, an Italian consortium led by
Thetis won a contract with the Municipality of Beijing to implement the Intelligent Transport
System - Traffic Air Pollution system 
(ITS-TAP) in preparation for the 2008 
Olympic Games.
48
48 See www.ertico.com/en/news and events/ertico 
newsroom/thetis wins its project for beijing.htm. 
Last
accessed January 30, 2006. The transportation management strategies are based upon local air pollution levels in the
The ITS-TAP system's central data center receives data from air monitoring stations and in cases
of forecasted high pollution levels, the center can request that the traffic management center
authorize traffic restrictions for identified high emitters. The data center can also request that the
advanced public transport management system provide extra buses to transport drivers that
cannot cross the into emissions zone (Costabile 2004). Evaluations of the full implementation of
the system has not yet been completed, although due to the more stringent nature of Beijing's
ITS-TAP one could expect that it is effective in managing air quality levels. Nevertheless, from
the viewpoint of mobility, the system is "disruptive" to travelers (Foster 2004).
4 9 
Many drivers
may not have access to up-to-date information on air quality to know whether they will be allow
to access the emission zone or not. Pricing would allow for more discretion on the part of the
driver who would be allowed to choose whether they are willing to pay the emissions charge to
enter or not.
2.3.4.5 Enforcement
Although similar to zone management strategies, the applications under "enforcement" involve
the use of ITS technologies to simply enforce standing air quality control strategies that do not
change in real time as a function of air quality or emissions levels.
* Speed Enforcement
Emissions-based speed enforcement is based upon similar technologies to regular automated
speed enforcement, with speed radar and cameras using license plate recognition (LPR) to
identify and fine vehicles exceeding the posted limit. However, the system differs in that the
goal is not to prevent speeding as such, but to lower emissions by improving the flow of traffic,
avoiding the stop-and-go dynamics that can arise from large variations in vehicles speeds and
maintaining traffic speeds within a range at which emissions on a gram/km basis are lowest.
These systems should ideally be coupled with monitoring of pollutant concentrations, as
discussed earlier, in order to ensure that the "correct" speed limits are set.
Emissions-based speed enforcement has not been widely implemented, but has shown to be
effective (in terms of both emissions reductions and revenue generation through fines) in a pilot
deployment along a stretch of highway in the Netherlands (Keuken 2004). In the US, areas in
non-attainment of air quality standards have also begun to look toward speed control and speed
reductions as an emissions control measure, although there has not been as much
experimentation with ITS-based for automated enforcement of these limits. In the Memphis
metropolitan area, the speed limit is being reduced to 55 miles per hour for commercial trucks,
while the speed limit for light-duty vehicles is also reduced to 65 miles per hour, to avoid large
differences in speeds between truck and autos (Tennessee Department of Transportation 2005).
As discussed earlier, San Francisco uses additional freeway speed enforcement as an episodic
control measure for high ozone days. The experience in the Netherlands suggests that both
center of Beijing. However, reducing greenhouse gas emissions is also an objective of the project as it is carried out
as part of the Clean Development Mechanism of the Kyoto Protocol.
49 Comment by Sir Christopher Foster 
during the discussion following his 
presentation.
automated speed enforcement and air quality monitoring can be effectively coupled with reduced
speed limits and still be cost effective through the revenue generated by fines.
* LEZ Enforcement
ITS can also support the enforcement of Low Emissions Zones (LEZ). An LEZ is "a defined
area that can only be entered by vehicles meeting certain emissions criteria or standards"
(Watkiss, Allen et al. 2003). Although similar in principle to the emissions-based restrictions
described above, using the example of Beijing's ITS-TAP system, this system falls under the
category of enforcement, because there is no use of real-time information on emissions or air
quality to effectively "manage" the system.
Different forms of LEZ have been used in Sweden, and studied for possible application in
London (Hutchinson 2004). These LEZ schemes in Sweden have operated by restricting heavy
duty vehicles, trucks and buses, that do not meet the required emissions standards, from entering
"environmental zones" in city 
centers. These systems serve 
to improve air quality both through
restricting entry of high polluters, and encouraging vehicle turnover and fleet renovation.
Although ITS can be used to automate enforcement of standards, it is noteworthy that in
Stockholm, Gothenburg and Malmo, where LEZs have been implemented since 1996, the
restrictions have been enforced only by police officers using visual inspections, and with no
signage for the zone, with an estimated 
compliance rate of 90% (Watkiss, Allen 
et al. 2003).50
Different levels of automation of enforcement were considered in London LEZ feasibility study.
The study concluded that "a manually enforced scheme, targeting heavy vehicles only, would
allow the quickest introduction of an LEZ, however, automatic enforcement using cameras
would ensure higher compliance and greater revenues....[and] an automatic approach would be
needed if the LEZ were extended to include vans" (Watkiss, Allen et al. 2003, p 10). It was also
noted that higher compliance would translate into increased air quality benefits. While the cost
of automated enforcement would be higher, London also has the advantage of being able to build
upon the Congestion Charging Scheme infrastructure, using the camera network, license plate
recognition, and using electronic toll tags and readers for identification of specially permitted
vehicles.
* Driving Restriction Enforcement
As the last application under the Intelligent Infrastructure Emissions and Energy subsystem, is
ITS-supported driving restriction enforcement. Compared to Low Emissions Zones, which
restrict vehicle circulation or entry into specific zones based upon vehicle type, age, and
emissions characteristics, general driving restrictions can include up to the entire fleet. These
restrictions range from license plate-based driving restrictions, which restrict circulation to
vehicles according to the last digits on their license plates (for one or two days a week, and for
the entire day or only during peak hours) to Car Free Days, in which no private vehicles are
50 Newer vehicles are allowed to circulate without special permits, while older vehicles that are retrofitted with
emissions control equipment or entirely re-engined, and thus meet emissions standards, circulate with a special
permit as identified by a windshield sticker for visual enforcement.
allowed to circulate on one designated day once a year.
51  
License plate-based driving
restrictions used widely in Latin America, and have been put into place both to deal with air
quality problems and to mitigate congestion in cities such as Mexico City, Bogota, Santiago and
Sao Paulo (Figueroa 2004; Hidalgo 2004; Vasconcellos 2004). Plate-based restrictions often aim
to meet environmental goals by linking vehicle restrictions and 
exemptions to vehicle age,
emissions control equipment and I/M results.
Few of these schemes have ITS-based technologies for enforcement. Nevertheless, enforcement
problems and corruption in many vehicle restriction schemes suggest that automated
enforcement, such as cameras and LPR, could be highly beneficial for enforcement. Because of
the large number of vehicles that are subject to the restrictions, manual, visually-based
enforcement with officers means extremely low detection rates. Therefore, as a deterrent to
cheating the system, fines are set extremely high compared to other traffic offenses, which opens
the door to bribery of police officers by drivers unwilling or unable to pay the official fine.
2.3.5 Intelligent Vehicles
Having examined emissions and energy ITS applications for Intelligent Infrastructure, we will
now briefly review possible emissions and energy applications 
for Intelligent Vehicles. To date,
Intelligent Vehicle (IV) technologies have given little weight to environmental concerns. The
overarching concerns underlying the development of IV applications have been safety and
convenience for drivers. We will look at two IV functions, which represent increasing levels of
automation of the management of a vehicle's energy use and emissions outputs: (1) on-board
monitoring and (2) driver support, primarily in the form of adaptive/intelligent cruise control.
2.3.5.1 On-board Monitoring
The first type of Intelligent Vehicle technology applied to the area of emissions and energy,
would be an on-board system to measure and report on fuel economy, emissions of criteria
pollutants, and CO
2 
output. Most technologies for on-board emissions measurements have been
used for research purposes in order to improve understanding of the second-by-second emissions
of vehicles. Noland et al provide a good review of the development of on-board emission
measurement devices (Noland, Ochieng et al. 2004). Currently, the vehicle instrumentation
remains both too expensive and insufficiently robust for a broader spectrum of real-world uses.
However, real-time on-board emissions and fuel use monitoring, in principal, could be used as
feedback to the driver regarding how their driving styles (for example, driver "aggressiveness")
influence both emissions and fuel use. Changes in driver behavior could have an important
effect on emissions, since it has been shown that driving styles, even when using the same
vehicle on the same route, can lead to significant changes in emissions levels (Holmen and
Niemeier 1998; Nam, Gierczak et al. 2003). In particular, aggressive driving with hard
accelerations and decelerations, can produce much higher levels of emissions than a smoother
driving style.
51 The once-a-year Car Free Days are more of a 
large scale public awareness event in order to highlight 
alternative
modes to the private automobile than a regular traffic or emissions management strategy.
This real-time information could be accessed both in-vehicle, in the 
case of an individual driver,
or remotely, for a transit or commercial fleet manager, if supported with a communications
module.
52 
It could alert the driver not only to the impact of their driving style, but to possible
problems with the vehicle's emission control system.
3 
However, the actual emissions impact
depends upon their driver's propensity to change their driving styles or take the vehicle in for
repairs in response to this information. Coupling this to electronic toll collection and other road
pricing technologies could also set the stage for the pricing of emissions, at least from the
viewpoint of technological feasibility. By linking on-road remote sensing to in-vehicle systems,
one could also communicate information from remote sensing equipment (as described in the
section on "monitoring, surveillance and detection" under Intelligent Infrastructure) directly to
in-vehicle systems, alerting the driver to possible problems with their emissions control systems.
2.3.5.2 Driver Support
A more active IV system would be a driver-support system also incorporating factors such as
emissions levels and fuel consumption. One example would be an adaptive cruise control (ACC)
that operated the vehicle in a manner that would improve both fuel economy and/or emissions
performance.
54 
This could be done through a combination of targeting an "environmentally-
friendly cruising" speed at which fuel economy was highest, and making less intense
accelerations. ACC in commercial trucking has already been shown to result in improvements
fuel consumption ranging around five percent (Bishop 2005, p 34). These functions could also
be supported by technologies such as "idle-off," which improves fuel efficiency by turning off
the engine during 
longer idling 
events.
55
In addition to the improvement of emissions performance of individual vehicles, many IV
technologies for driver support - adaptive cruise control, lane-keeping assistance - can generate
a smoother traffic flow. For example, because intelligent/adaptive cruise control vehicles
generally make less intense accelerations and decelerations, the "shock wave" effect of upstream
vehicles responding to a hard braking vehicle ahead is attenuated. The smoother response of
ICC vehicles "filters out traffic disturbances caused by rapid acceleration transients" (Bose and
Ioannou 2002). Smoother traffic flow is typically considered a beneficial by-product of having a
sufficient number of ACC-equipped vehicles in the fleet. However, Bishop notes that a number
of technologies that can cooperate with one another in order to improve overall traffic flow -
applications known as Traffic-Assist Systems - have been "proposed, simulated, prototyped, and
52 For example, a onboard device for monitoring 
fuel economy and CO
2 
output was developed and integrated with
GPS and communications modules so that the user can monitor their vehicle's conditions while driving, or remotely
from the home or office. Japan Corporate News Network (2004) "NEC and Two Other Develop Onboard Remote
Vehicle Condition Monitoring Device."
53 Currently, General Motor's OnStar system includes 
a service called OnStar's Vehicle Diagnostic (OVD) 
service,
which can send emails to the owner regarding the performance of key vehicle components such as
engine/transmission, antilock brakes, airbags, and the OnStar system itself.
54 While we include both fuel economy and emissions, 
from the consumer viewpoint, fuel economy improvements
are more desirable as they translate into savings. This is especially true for managers of fleets of vehicles.
55 These technologies are supporting technologies for 
hybrid vehicles, however, they do not necessary 
make a
vehicle a full hybrid. See www.hybridcenter.org, a website maintained by the Union of Concerned Scientists. Last
accessed January 22, 2006.
tested" (Bishop 2005). In effect, these systems intentionally create positive externalities for the
traffic flow.
Earlier we discussed emissions-based speed enforcement under the category of Intelligent
Infrastructure. With increasing integration between vehicles and infrastructure, an emerging
application is External Vehicle Speed Control (EVSC). The EVSC systems under development
(primarily in Europe) combine in-vehicle satellite positioning systems with digital road network
databases that include speed limits, and are used to "control" the accelerator pedal to "resist"
attempts to exceed the legal limit (Bishop 2005, p 33-34). While these early systems would be
static - based upon set legal speed limits - they could also be dynamic speed limits in response
to traffic volumes, inclement weather, or even forecasted pollution episodes.
While we have identified two possible energy and emissions applications for Intelligent
Vehicles, we have not undertaken a thorough review of the IV technologies and their
environmental impacts in a similar manner that was done above for Intelligent Infrastructure.
However, as automakers continue to develop IV applications for their new vehicle models, this
area will be of increasing importance. We will discuss the implications of this for future
research in Chapter 9.
2.3.6 "Intelligent Travelers"
Having discussed both Intelligent Vehicles and Intelligent Infrastructure, we will briefly outline
some trends pointing to the possibility of a new category of ITS, which we will label "Intelligent
Travelers." Vehicles and infrastructure are not the only components of the transportation system
that have both advanced detection and communications equipment. The travelers on the
transportation network increasingly carry GPS-equipped mobile phones, which also include
access to the Internet, and can communicate voice, text and graphics and images.
56 
Furthermore,
travelers often make multi-modal trips, meaning that information should be directed to them, not
necessarily to their vehicle, as they may move from one vehicle and mode to another in the
course of a day or even during a single trip.
The concept of Intelligent Travelers is best illustrated by example. The most basic example
would be a navigation service provided on a mobile phone or other handheld unit for a pedestrian
in a new city, where GPS provides the person's exact location, and the system defines the best
route for walking to any final destination or to access points for transportation services (public
transportation, airport, carsharing sites, taxi stands). This would represent the non-motorized
equivalent of in-vehicle navigation. A more complex Intelligent Traveler application could
enhance the current practice of carpooling. Travelers equipped with real-time location and
56 While most new mobile phones sold in the 
US have GPS chips built-in, most phones only 
determine location for
911 emergency communications. Nextel is the exception in that it offers user-accessible GPS navigation functions.
Wade Roush, "Roamin' Holiday: GPS phones promise to change the way we think about location," Technology
Review, September 2005, pp 79-80. However, at the writing of this thesis, Sprint and Verizon were just launching
similar user location, mapping and navigation services for specific wireless phone models. For the Rand McNally
StreetFinderO Wireless service for Sprint/Nextel phones, see www.randmcnally.com/sfw. Last accessed March 20,
2006. Verizon Wireless' service is the VZ Navigator.
communications technology (such as a GPS-equipped mobile phone) could participate in real-
time, or "impromptu" carpooling.
57 
In addition to their current location (at their 
home, office,
transit station, or park-and-ride lot) the user could input their desired destination, and other
characteristics needed to appropriately match them with a driver looking for a carpooler.
58 
The
system could provide the driver with information and directions for locating the carpooler, and
alert the carpooler when the vehicle was approaching, also providing them with information 
on
the vehicle model. As a security component, the carpool match could be registered in a database
to identify who is riding with whom.
9 
Finally, the system could register the successful carpool
in its database and permit access to an HOV or HOT lane. It could also authorize free entrance
into a congestion pricing zone, or complete an electronic transaction charging the carpooler
and/or driver a reduced payment for entering a congestion pricing zone.
Another emerging transportation mode that could shift toward a mix of Intelligent Vehicles and
Intelligent Travelers technologies is that of shared-use vehicle systems, or carsharing. Currently,
carsharing utilizes a mix of ITS technologies such as: dispatching and reservations systems
accessible via the Internet and telephone, smart card technologies for vehicle access, on-board
navigation and traveler information, and communications and tracking systems for vehicle
location and identification (Barth, Todd et al. 2003). While some of these technologies are
linked to the vehicle itself, such as vehicle location and identification, other technologies, such as
smart card access, depend upon identification of both the vehicle and the user.o In addition, 
the
on-board navigation and traveler information systems could be replaced by handheld units or
mobile phone services, rather than on-board systems in the vehicle itself, therefore avoiding the
difficulties in becoming familiar with vehicle navigation units that might vary from vehicle to
vehicle, or from one carsharing service to another.
While we do not explicitly include an Energy and Emissions ITS subsystem for Intelligent
Travelers, we suggest that the emissions impact could be substantial, especially as these types of
systems are "scaled-up" to the point where they could have significant impacts on regional
VMT. The core environmental benefits of an Intelligent Traveler system would be to reduce the
transaction costs of alternative modes of transportation and facilitate intermodal trip-making. By
enhancing the convenience of other modes, they can begin to compete more effectively with the
single-occupant private automobile, which remains the predominant mode in the US. In
Chapters 6 and 7, we review the case study cities and see how they are using ITS for more
environmentally-compatible transportation strategies. In Los Angeles, for example, they have
developed a category of measures called "Information-based Transportation Strategies" (or
57 Ibid, 
p 79.
58 For example, many ridesharing services 
match riders and drivers according to 
place of employment, smoking
preference, whether they prefer a same sex match, and other characteristics.
59 NuRide, an on-line carpool matching 
service currently provides benefits to 
carpoolers in the form of gift
certificates for every shared ride that is registered. They also provide a type of screening service for the
"desirability" of certain drivers and riders, allowing riders to rank each other according to criteria such as their
punctuality and driver safety. Perry Bacon, Jr., "Online Dating for Carpoolers," Time Magazine, 
February 21, 2005,
p 53. Also see www.NuRide.com. Last accessed January 25, 2006.
60 In essence, a valid reservation "matches" 
the vehicle and the user to the specific 
time-period for when the
reservation was made.
IbTS). These IbTS include online rideshare matching, and integrated freeway and transit
information, along with more traditional ITS categories. This again highlights the trend toward
ITS services that are more traveler-centric, rather than specific to infrastructure, vehicles or
individual modes. The sum effect of these Intelligent Traveler technologies would be to improve
what we call the "in-vehicle efficiency" of the transportation system, by using vehicles in a more
efficient manner than the current pattern of the single-occupancy vehicle. We will discuss the
concept of"in-vehicle efficiency" in the next chapter.
2.4 SUMMARY
In this chapter, we have comprehensively reviewed the literature on ITS 
and air quality benefits
for three major subsystems: advanced traveler information systems, advanced transportation
management systems, and advanced public transportation systems. We have 
also defined and
characterized new energy and emissions subsystems for ITS technologies capable 
of purposely
measuring, monitoring and reducing mobile source emissions. Finally, we have discussed 
the
trends toward technologies that "manage" not infrastructure or vehicles, but individual travelers.
Therefore, we have addressed the first three questions posed at the beginning of this chapter.
* In what ways can ITS have an impact, whether positive 
or negative, on transportation-
related emissions and overall air quality?
* Which ITS applications have been shown to have an important 
impact on air quality?
* Are there ITS applications specifically oriented toward the goal of 
improving air quality
or generating fuel savings?
This thesis is concerned with not only the impact of existing and commonly used ITS
applications, but how cities could actively use ITS capabilities to achieve not only mobility-
related policy objectives, but air quality objectives as well. For this reason, we have attempted to
identify or describe emerging and future technology applications that could meet these dual
objectives. This will allow us to better gauge how cities are applying ITS in possibly innovative
ways to address air quality concerns, when we review the case study cities in Chapters 6 and 7.
For the next chapter, we turn to the final question posed at the beginning of this chapter. When
deploying multiple ITS services - often along with conventional infrastructure deployment - how
can one unravel the overall air quality impacts? As we have seen when reviewing the air quality
impacts of ITS technologies, the focus is typically on the individual project level. And while
there are many remaining challenges in this area of research, there is also a need to begin to
understand the metropolitan, system-level impacts of these deployments. As a step in this
direction, we will present a systems framework for assessing the air quality impacts of ITS, and
review some of the insights it can provide when applied to this problem.
CHAPTER 3. AIR QUALITY IMPACTS OF ITS: A SYSTEMS APPROACH
3.1 A SYSTEMS FRAMEWORK
Now that we have reviewed the air quality impacts of a range of individual ITS applications, and
expanded the ITS taxonomy to include technologies that would form part of an "emissions 
and
energy" ITS subsystem, we will now present a framework for identifying cumulative air quality
impacts from multiple ITS deployments.
3.1.1 Identifying Mechanisms for Air Quality Impacts
As can be seen in this review of studies assessing air quality impacts of ITS, they are highly
heterogeneous in terms of the ITS technologies, deployment context, and methodology used to
assess transportation system changes and emissions outcomes. The review also shows that
assessments focus almost exclusively on mechanisms related to network flows of private
automobiles - primarily average speed, but 
increasingly vehicle modal activity (idling,
acceleration, deceleration, cruising). Yet, it has been recognized that this is limited by
assumptions that (1) travel behavior, (2) distances, (3) vehicle fleets, and (4) mode shares will
not change significantly (Mehta, Mahmassani et al. 2001).
Due to the sensitivity of air quality benefits to the conditions of each city and the uncertainty in
the current models, rather than focusing on the magnitude of the air quality impacts, we will
present a framework for evaluation based upon the mechanisms by which emissions reductions
are achieved (Table 3-1). This systems framework is intended provide a preliminary assessment
of overall air quality impacts by incorporating variables that are often assumed to be constant -
VMT, mode share of public transportation and non-motorized modes, fleet composition - as
variables that can be affected through ITS.
Table 3-1 Nine mechanisms of ITS' air quality impacts
~J _
VMT for Private Auto Fleet (network level)
Traffic Volume/Throughput (corridor level)
Traffic Speed
Traffic Dynamics (idling, cruise, acceleration, deceleration)
Fleet Composition (number or % of high emitters)
Mode Share (split between transit, auto, walk/bike)
VMT for Transit Fleet
Transit Driving Cycle (speed, idling (dwell), acceleration, deceleration)
Transit Fleet Operations (occupancy, # of vehicles)
Before describing each of the mechanisms (or changeable variables) shown in Table 3-1, we
emphasize that the focus is on passenger surface transportation systems, although the framework
could be extended to incorporate freight transportation. For this reason, with the exception of
passenger buses, heavy duty vehicles are not included. In addition, a variable that should be
included in future research is changes in the number of trips, in order to capture the higher
emissions produced with cold-starts. That said, we now review the nine ITS-air quality
mechanisms.
* Vehicle Miles Traveled (VMT) for Private Vehicle 
Fleet directly affects air quality, since
more travel means more emissions. ITS can influence private vehicle VMT in several ways:
shorter trip lengths and better trip chaining through route guidance systems or ATIS, avoidance
of non-essential trips when advised of poor traffic conditions or incidents through ATIS and
incident management systems, or increases in trip making due to induced demand from traffic
system improvements.
* Traffic Volume/Throughput is also related to overall 
VKT, but can be used as a measure on a
specific route or corridor that might be a "hot-spot" for high emissions/concentrations of
pollutants such as carbon monoxide. Changes in traffic volume can reflect trips diverted from
one route to another, switching between modes, or additional trip making.
* Traffic Speed is an important determinant of emissions 
on a per kilometer basis. As shown in
the previous chapter, emissions rates vary non-linearly, often in a U-shape, with speed.
Therefore, traffic moving either very slowly, or very rapidly, will have the highest emissions
rates. Traffic speed is also related to traffic volumes or flows, although the relationship is also
non-linear, as seen in Figure 3-1.
Figure 3-1 Relationship between traffic speed (v) versus flow/volume (q)
V
freely flowing traffic
congested (stop and
start) flow conditions
q
Source: Based on (Daganzo 1997, p 82)
* Traffic Dynamics captures the different operating modes of the traffic flow - cruising, idling,
accelerating, and decelerating - since average traffic speeds on a link or network can either over
or underestimate emissions changes from ITS.
* Fleet Composition represents the distribution of 
vehicle types, size, and emission control
equipment and its performance. For example, fleet composition could include the percentage of
high emitters or gasoline-electric hybrids in the private vehicle fleet.
* Mode Share indicates to what extent ITS, and in particular, 
Advanced Public Transportation
Systems (APTS), can bring about a mode shift from low/single occupancy vehicles to high
occupancy vehicles or to non-motorized transportation (NMT) (walking or bicycles), thereby
reducing private vehicle VMT and thus emissions on a per traveler basis.
* VMTfor Transit Fleet represents the sum of all network travel by transit vehicles, similar to
private vehicle VMT. However, it should be noted that compared to VMT for private vehicles,
vehicle miles traveled for transit vehicles is less tightly coupled to 
passenger miles traveled,
because of the range of occupancy levels for transit vehicles.
* Transit Driving Cycle reflects the cruise speed, idling 
and accelerations/decelerations similar
to the mechanisms for general traffic flows, which determine vehicle emissions rates. An
important component of this mechanisms is that it also captures vehicle dwell times while
passengers enter and exit transit vehicles. It is listed as a separate concept from general traffic
speed and traffic dynamics, since transit vehicles may be allowed signal priority or operate along
separated guideways.
* Transit Fleet Operations can include some of the above 
operational changes, such as dwell
time, but also includes occupancy, route structure, improved headway control, or the ability to
use fewer vehicles, and thus minimize transit vehicle miles traveled (VMT), while maintaining
the same or better level of service and passenger miles traveled (PMT).
While there is some overlap - and clearly a strong interdependence - among many of these
concepts, this list encompasses a comprehensive set of mechanisms, using a manageable number
of variables, that allow us to better ascertain how multiple ITS deployments may lead to changes
in emissions and thus, air quality.
3.1.2 Putting the Mechanisms into a Systems Framework
Having developed a set of mechanisms to classify emissions and air quality impacts, they can be
integrated within a qualitative systems framework, to identify interactions between ITS
applications (e.g., traffic information and incident management, advanced signal control, transit
signal priority), as well as interactions between mechanisms that influence emissions and air
quality. The framework is deliberately qualitative for various reasons. First, an early focus on
quantification may exclude analysts from thinking about important variables that are not easily
measured or modeled, such as customer perception of public transit or induced travel from travel
time improvements. Second, this framework is intended to be highly inclusive, so that planners,
operators, and other decision-makers can use this framework in the early stages of ITS
evaluation, in order to explore various combinations of ITS applications and identify
opportunities for emissions reductions or synergies between applications.
6 1 
The framework can
be used to identify interesting interactions to be further analyzed quantitatively, with detailed
modeling or measurements. In this manner, this framework is complementary to efforts to
integrate transportation demand, network simulation and emissions models, by identifying
possible areas of interest for future modeling work and/or field measurements.
61 This approach reflects other research efforts that 
are underway developing processes for analyzing 
complex
systems. These process, such as the CLIOS process, uses a combination of qualitative and quantitative analysis.
The assertion is that quantification at too early a stage of analysis may exclude many of the important social,
political, organization and institutional dynamics. Dodder, R. S., J. B. McConnell, et al. (2006). The "CLIOS
Process": a user's guide. Cambridge, MA, Unpublished working paper. Engineering Systems Division,
Massachusetts Institute of Technology.
3.1.2.1 Layered Systems Diagrams
The systems framework consists of organizing ITS applications into a series of layered influence
diagrams.
62 
The diagrams should contain the ITS applications (shown in bold in Figure 3-2), the
mechanisms for emissions reductions (shown in italics), and other relevant variables.
Diagramming is a manner of decomposing, from the top-down, a variety of ITS applications of
interest, while focusing systematically on the mechanisms leading to emissions changes. As the
number and complexity of the systems grows, the diagrams can be "layered" according to ITS
subsystems (in this case, ATMS, APTS, Electronic Fare Payment, and Emissions and Energy).
Figure 3-2 shows four different but overlapping ITS applications and their interactions: (1)
traffic signal coordination, (2) transit signal priority and AVL, (3) contact-less smart cards, and
(4) emissions information variable message signs.
Figure 3-2 ITS applications and air quality mechanisms
62 Again, the use of layered system diagrams 
to structure analysis is a current research 
direction for engineering
systems. Magee, C. L. and O. L. d. Weck (2002). An Attempt at Complex System Classification. Engineering
Systems Division Internal Symposium, May 29-30, Cambridge, MA, Massachusetts Institute of Technology.
While the diagram indicates the direction of influence through arrows, these arrows do not show
magnitude or whether the influence is positive or negative. While there are some well-
established relationships that are relatively consistent, other relationships depend on the specific
context. For example, transit signal priority can have either positive, negative or neutral impacts
on the speed and dynamics of general vehicle traffic. It will also depend on the pollutant, since
speeds, accelerations and idling affect NOx, CO and HC differently. The studies reviewed in the
previous chapter can be serve as a basis to characterize many of the links; and links that are
highly uncertain can be targeted for further modeling or measurement.
3.1.2.2 Key System Interactions
This framework intends to enable transportation analysts and planners to map out and better
understand the interactions between multiple ITS deployments and their possible impacts on air
quality. The nine ITS-air quality mechanisms are key for tracking how these systems can
interact to improve air quality or not, and to avoid focusing too narrowly on only a few of the
parameters that affect emissions. For example, while traffic speed is a key parameter in
emissions, it is also important to think systematically about whether travel time improvements
from increased speeds will induce additional demand, and how those increases in volume and
VMT will affect overall emissions.
This focus on key system interactions can help avoid unforeseen outcomes in actual deployments
and guide more comprehensive evaluations in ITS. Emissions changes from transit signal
priority provides an interesting example. While some analyses only focus on the queuing times
for buses at traffic signals (Lehtonen and Kulmala 2002), other studies include the effects on all
vehicle traffic (Dion, Rakha et al. 2002). However, most studies fail to include changes in transit
ridership/mode share and the subsequent impact on emissions. This framework allows one to
highlight frequently omitted interactions. Although it may not be feasible to model or measure
these interactions empirically, with this systems framework their potential impacts can be
tracked.
Finally, a systems framework can highlight the interactions between various modes, and how
several variables can influence mode share. Figure 3-2 shows how ITS deployments - ATMS
and APTS - can work in opposite directions on mode share. From one direction, signal
coordination can reduce the travel time for trips made in private autos, thus favoring this mode.
From the other direction, transit signal priority can increase the reliability and decrease the travel
time of trips in public transportation, favoring the use of public transportation. Additionally,
smart card technology can improve the image or customer perception of public transportation as
a high-quality service, again favoring the use of public transportation. More detailed demand
modeling would be required to assess the relative impact of those concurrent deployments on
Dodder, R. S., J. B. McConnell, et al. (2006). The "CLIOS Process": a user's guide. Cambridge, MA, Unpublished
working paper. Engineering Systems Division, Massachusetts Institute of Technology.
overall mode share. Yet, this framework can highlight possible conflicts between multiple
deployments and overarching policy goals, such as increasing the use of public transportation.
3.1.3 Using the Systems Framework
We have described the process for developing the system diagrams in order to understand the
interactions between multiple deployments and the ultimate impact on emissions, from both the
private vehicle and public transportation fleets. While developing the diagram is part of the
learning process and gaining insight into the interconnections between systems, another question
is "what to do" with the diagram once it has been developed. We will now describe a simple
process for using this approach to structure analyses, as well as make an argument for more
extensive use of ex-post analyses of the actual impacts of ITS on air quality.
Applying the systems framework - once the relationships have been diagrammed, as in Figure
3-2 - requires tracing the links influencing the air quality mechanisms. We will take as an
example one of the least studied aspects of the effect of ITS on air quality - i.e. mode share.
Starting with the air quality mechanism of interest, mode share, by tracing backward, the four
factors directly affecting mode share are travel time in private vehicles, and travel time,
reliability and customer perception of public transit. Tracing back further, these factors can be
influenced by ITS applications such as signal coordination, transit signal priority, AVL, and
smart cards. We also find several indirect influences of interest. First, signal coordination for
general traffic flow can also impact the travel time of public 
transit vehicles.
63  
Second,
contactless smart cards can also reduce average boarding time per passenger, and thus reduce the
total dwell time at each stop. If this effect is significant, it can reduce the total travel time for
travelers using public transit.
63 In fact, a "passive" form of transit signal priority 
is to retime and coordinate signals along transit 
corridors that
better reflect the average speed of transit vehicles, taking into accounts stops and dwell times.
Figure 3-3 Tracing the links from ITS applications to key air quality 
mechanisms
travel
time
avera
traffic s
reliability
AVL
) perception
boardin
dwell til
contactlh
smart ca
Therefore, we have reduced the more complex Figure 3-2 to
These can then be summarized as in Table 3-2.
the more "manageable" Figure 3-3.
Table 3-2 Tabulating the links from ITS to air quality mechanisms
(A) air quality
mechanism (B) influenced by... (C) ITS applications
travel time (transit) transit signal priority smart card (via dwell times)
mode share reliability (transit) transit signal priority AVL
customer perception (transit) smart card
travel time (private vehicle) signal coordination transit signal priority
Essentially, if one were studying how mode share could be influenced by the concurrent
deployment of transit signal priority, AVL, smart cards, and signal coordination along a corridor,
the analysis would require assessing the impact of changes in the relative level-of-service for
transit (travel time, reliability, customer perception, etc), and for private vehicles (travel time) on
demand for each mode. This requires modeling the impact of the factors in Column B on
Column A. The next step in the analysis would be to model or measure the impact of the ITS
applications on these four variables: transit travel time, reliability and customer perception, and
travel time in private auto. This is modeling the effect of the factors in Column C on Column B.
Tabulating the links between variables also points us to the appropriate analytical tools that can
be used to estimate future impacts or measure the actual outcomes.
64
The benefit of this
64 In this sense, the problem structure 
defines the analytical tools that should 
be used, rather than the analytical 
tools
defining the structure of the problem.
signal
coordination
approach is that it can be used to structure analysis at various levels of sophistication. In the
context of a research university, this could be used to structure a combination of detailed travel
demand modeling (to go from Column B to Column A in Table 3-2) and modeling of both transit
fleet operations and traffic flow (from Column C to Column B). Alternatively, in a metropolitan
area where the government agency staff resources and time are limited, this could even be used
to structure a simple sketch analysis, which could be then followed with actual empirical
measurements of outcomes after the deployment is undertaken.
This brings us to the question of ex ante modeling and ex post analysis. There is a general bias
toward ex ante modeling to assess the air quality benefits of ITS. There are important
organizational reasons for the trend toward ex ante as opposed to ex post analysis. First, for
transportation agencies implementing ITS projects that may have air quality benefits, it is often a
project requirement to develop a quantitative estimate of the expected air quality benefits (for
example, to be eligible for funding under the Congestion Mitigation and Air Quality program)
(Farrell, Harrington et al. 1998). Second, research universities and institutions are often more
interested in advancing the generalizable modeling tools and methods for "predicting" the
emissions outcomes of types of ITS applications. There is less emphasis on actually measuring
the outcomes of particular "real-world" ITS projects taking into account the full local context.
Yet, many of the relationships still cannot be "modeled" or estimated in a satisfactory way. For
example, how much can a smart card improve the image and convenience of a public
transportation system, and thus increase its ridership? Or, can a smart card only make a
difference when deployed in conjunction with other transit service and operational
improvements, such as AVL and transit signal priority? While it is not yet feasible to model all
of these relationships, a well-structured expost analysis - using survey data, interviews of riders,
comparison with other similar transit routes that did not receive the same deployment of ITS
services - could be used for more effective evaluation of ITS treatments.
3.2 REASSESSING AIR QUALITY BENEFITS
Following the systems framework, we will reassess the potential air quality impacts of ITS. We
will focus on the implications of two issues that are critical to the long-term impact of ITS on air
quality and the environment: induced travel and system efficiency. We will then discussed some
of the research needs for assessing the air quality outcomes of ITS and other operational
improvements, and finally, discuss how emissions and air quality factors can be worked into the
deployment and assessment process.
3.2.1 Induced Travel
According to Miller, "the most debated [air quality] impacts will result from induced VMT"
(Miller 1999). While the immediate traffic smoothing impacts of ITS generally lead to vehicle
driving profiles that have lower emissions rates (the upper portion of Figure 3-4, extracted from
Figure 3-2), the long-term impacts of changes in travel volume in response to improved traffic
conditions and reduced travel times (the bottom-right portion of Figure 3-4) may be less
favorable. Determining the long-term mobility and air quality impacts of widespread ITS
deployment depends critically on the question of induced travel from reduced travel time.
Figure 3-4 Traffic flow improvements and induced demand
Induced demand in the context of traditional capacity expansions and additions (such as
widening of an existing roadway) has been "reluctantly accepted" by the transportation
profession (Dowling, Ireson et al. 2005, p 5). However, it has not yet fully integrated in the
transportation planning and project evaluation process. Induced demand generally has a negative
connotation because of its relevance to issues of urban sprawl, deterioration of air quality, noise,
and other impacts. Yet, it should also be noted that there are economic benefits from induced
demand. For example, increased VMT through new trips or longer trips can reflect people being
able to access goods, services and jobs or undertake activities that they could not previously
reach. Although perhaps not optimal from the "social" perspective, creating additional capacity,
and the induced travel that results, may reflect substantial individual benefits by accessing larger
or cheaper homes, shop at preferred locations, or access better jobs.
emissions
rates 
private vehicle
/ rates - emissions
private
S*---..travel vehicle VMT
time f
traffic
volume
Induced demand, in economic terms, represents the shift in the supply curve that results when the
creation of additional road capacity (supply) reduces the cost of travel time. Basic
microeconomic theory dictates that this shift in supply will lead to a new point of equilibrium
between supply and demand - higher demand for travel (Q2) at a lower price (P
2
) (i.e. travel time
cost) - assuming that the demand curve remains the same (see Figure 3-5). As stated by Noland
and Lem, "when any good (in this case travel) is reduced in cost, the quantity demand of that
good increases" (Noland and Lem 2002, p 2).
Figure 3-5 Induced travel under constant demand
P2
.o P2
S
1
: Supply before
S2: Supply after
Demand
Q1 Q
2
Quantity of Travel
Source: (Noland and Lem 
2 0 0 2
)6
5
Figure 3-6 Induced travel with underlying growth in transportation demand
o
o
Sr3
0
SI: Supply betore
  S2: Supply after
Demand after
nd before
QI Q2 Q3
Quantity of Travel
Source: (Noland and Lem 2002)
Yet, in practice, the demand curve rarely remains the same, since changes in population, income
and other factors are also at work at the same time. Therefore, the challenge in measuring the
65 While the supply and demand diagrams are shown 
here as perfectly linear for simplicity in illustrating 
the concept
of induced travel, both the supply and demand curve are generally curved functions.
ez/
extent of induced travel is to differentiate between: (a) the effects of behavioral reactions to
changes in supply (a shift along the demand curve as seen in Figure 3-5), and (b) the effects of
exogenous factors that also shift the entire demand curve (as seen Figure 3-6).
While most studies have focused on physical road capacity expansion and their effect on total
vehicle miles traveled (Cervero and Hansen 2002; Noland and Lem 2002), there have been few
studies of the effects of operational changes that increase effective capacity (Stathopoulos and
Noland 2003; Dowling, Ireson et al. 2005). Travel patterns change in complex ways in response
to changes in the physical capacity and the operation of the transportation system. Travelers
search out the best routes, times of day, and modes for travel, and may decide to make additional
trips, longer trips or even forgo trips. Travelers may also may more complex changes to their
travel patterns by combining trips through trip-chaining, which could lead to a change in the
number of trips, route of travel, and perhaps even destinations of travel, as new destinations that
are "on the way" are chosen. Noland and Lem also highlight longer-term changes in automobile
ownership and land use patterns that can permanently create more VMT (Noland and Lem
2002). We summarize these factors and their potential to increase VMT in Table 3-3.
Table 3-3 Behavioral changes and increased VMT
Increased Cmet
Behavioral Changes Increased Comments
VMT?
Short-run Impacts
Change time-of-day of travel No Can lead to changes in amount of travel
Change route of travel Possibly Increased VMT if changes are to longer routes
Medium-run Impacts
Change destination of travel Possibly Increased VMT if destinations are most distant
Change mode of travel Yes Switch from public transit to private auto
Change amount of travel Yes Increase in total number of trips
Long-run Impacts
Change spatial allocation of activities Yes 
Repeated origins (home) and destinations 
(jobs, malls)
are more spread out
Can lead to permanent change in mode and amount of
Change in auto ownership levels Yes
travel
The definition of which changes in travel behavior actually qualify as "induced travel" or
"induced demand" remains a source of debate among researchers, since many of the behavioral
changes resulting from traffic improvements can be classified as "diverted demand" or changes
in travel behavior that can affect flows on a particular facility, without actually increasing the
overall level of travel demand. According to Cervero and Hansen, induced travel is a more
inclusive term, "reflecting all changes in trip-making that are unleashed by a road improvement"
(the first five behavioral changes in Table 3-3), while induced demand only includes new trips,
longer trips, and mode shifts (Cervero and Hansen 2002). Dowling et al (2005) contend that
only changes in the amount of travel (i.e. changes in the number of trips made) actually represent
a change in the level of demand, while the rest of the possible behavioral changes represent
diverted trips. They further argue that VMT is "not a particularly good measure" of the demand
for travel (Dowling, Ireson et al. 2005, p 8), because it captures many behavioral changes that are
not necessarily indicative of an increase in demand. From the viewpoint of air quality, another
critique of Dowling et al is that using VMT as a measure of induced demand leaves out
important time-of-day shifts that can be important for emissions and air quality.
66 
Noland and
Lem also raise the issue of whether only new trips should represent induced travel, or longer
trips as well (Noland and Lem 2002). However, they define induced travel simply as "the
increase in VMT attributable to any transportation infrastructure project that increases capacity"
(ibid, p 4). In more recent works by Noland, he expands this definition to say that "induced
travel effects will occur from any network change that reduces travel times, including those
aimed at traffic flow improvements" (Noland and Quddus 2006). This is an important shift in
the definition from the perspective of ITS, since it does not only focus on physical infrastructure
projects, but can also incorporate operational projects.
While debate remains, there seems to be growing convergence around the definition of induced
travel as an increase in daily vehicle miles traveled (VMT) for a specific geographic area
(DeCorla-Souza and Cohen 1998). This definition reflects in large part the influence of
environmental interests on the debate surrounding induced demand. Indeed, according to
Dowling, "following a landmark court case in the San Francisco Bay Area, the existence of
induced demand for travel has been recognized and must be dealt with in planning transportation
facilities" (Dowling, Ireson et al. 2005, p 6). Similarly, Noland and Lem cite the follow rationale
for their definition of induced demand: "We define induced travel to be an increase in VMT,
since VMT growth is one of the primary sources of increased environmental and social costs as
well and representing the potential benefits of increased mobility" (Noland and Lem 2002, p 4).
DeCorla-Souza and Cohen follow a similar logic, noting that: "The debate about induced travel
in metropolitan areas has arisen primarily because of the presumed negative environmental
impacts of increased vehicle use.... Thus, it is clear that what is of concern to environmental
groups is additional daily vehicle miles of travel" (DeCorla-Souza and Cohen 1998). Yet, as
illustrated by the discussion above, VMT as a measure of induced travel does not capture all
phenomena of interest for air quality, such as time-of-day shifts and increases in the number of
trips, and therefore the number of cold starts.
From the viewpoint of the individual traveler, induced travel can result from both in short-run
changes in route, destination, etc. and long-run decisions about locations of homes, jobs and
other regular destinations, as well as decisions regarding the number of automobiles per
household, decisions which then further influence travel patterns. In terms of short-run
66 Dowling et al suggest that time-of-day shifts are important because shifts 
between peak and off-peak can have
important impacts on speeds, and therefore on emissions. Dowling, R., R. Ireson, et al. (2005). Predicting Air
Quality Effects of Traffic-Flow Improvements. National Cooperative Highway Research Program (NCHRP) Report
535. Washington, DC, Transportation Research Board. However, from the viewpoint of the atmospheric chemistry
of ozone formation, the time-of-day of emissions may also be important. Emissions of ozone precursors, VOC and
NOx, may have different impacts on ozone concentrations depending upon when and even where those emissions
occur. This is due to the variability of atmospheric conditions (wind direction and speed, sunlight, precipitation,
etc.) and the evolution of the chemistry over the course of a day (due to photochemical aging, limited pollutant
lifetimes, etc). For a review of the complexity and uncertainties related to the relationships of ozone to its precursor
pollutants - VOC and NOx - see Sillman, S. (1999). "The relation between ozone, NOx and hydrocarbons in urban
and polluted rural environments." Atmospheric Environment, 33(12): 1821-1845.
100
behavioral changes, in one can identify the three factors articulated in Down's classic theory of
triple convergence. According to Downs (1992), an increase in capacity of an expressway or
freeway leads to three types of convergence: (1) spatial convergence, where drivers switch to the
improved facility from alternative routes, (2) time convergence, where drivers formerly traveling
at just off-peak hours return to the peak, and (3) mode convergence, where public transit users
who have the option to use a car, decide to drive on the now faster route (Downs 1992).67
These three factors are often the source of disagreement about what should be considered as
induced travel and not. For example, changes in the time-of-day of travel - drivers switching to
their preferred travel time (most likely the peak hour) - do not represent induced travel, since the
daily VMT does not change. However, the improved traffic conditions during the off-peak hours
can lead to an increase in discretionary trips during the off-peak, thus increasing the total amount
of daily travel (Noland and Lem 2002). Changes in routes will likely lead to changes in VMT,
but the question is whether those route will be over longer or shorter distances, and whether net
VMT will therefore increase or decrease. Mode changes from public transit to automobiles will
unequivocally lead to greater VMT, since a passenger on a bus or metro is now an additional
driver on the road. One could debate that this is not induced demand, since no new person trips
are involved (DeCorla-Souza and Cohen 1998), adhering to our definition of vehicle miles
traveled, the result is clearly induced travel. Changes in destination can reflect both a short-run
change, as drivers chose new destinations for shopping or restaurants, or long-run change as
changes in the accessibility of different locations lead to changes in job choice. In general, as
travel times are reduced, further destinations that were previously inconvenient will now be
accessible. Finally, changes in the amount of travel (i.e. new trips) is the most commonly
accepted form of induced travel from additional freed-up capacity.
Turning to the longer-run impacts of improvements to capacity or travel time, in addition to
changes in destinations, there can be changes in trip origins, basically, where people live. New
or expanded transportation infrastructure can either change the accessibility of existing
residential developments or open up new areas to new developments, leading to longer trips
originating in areas that were once considered to be "too far" from job and other trip
destinations. Finally, increased capacity or improved travel time can influence household
choices regarding purchasing of a first or second (or more) cars. Owning an automobile will
change not only the mode of travel, greatly diminishing the probability that an individual will
continue to use public transportation or walk or bike to their destination, but may also have an
impact on the amount of travel, leading to additional trips. Therefore, while improvements in
travel time and overall levels of service can induce travel in the short-run (a movement along the
demand curve, see Figure 3-5), these long-run structural changes can lead to more fundamental
changes in travel demand (a shift in the demand curve, see Figure 3-6).
67 Also see the updated version of Down's original 
book. Downs, A. (2004). Still stuck in traffic 
: coping with peak-
hour traffic congestion. Washington, DC, Brookings Institution Press.
101
3.2.1.1 Induced Travel and ITS
The core of the induced travel debate has centered upon expansion of highway capacity, whether
in the form of entirely new facilities (on the periphery of urbanized areas) or the addition of lanes
to existing, congested facilities. However, the increasing use of alternative strategies to deal
with congestion means that the impact of these strategies on induced travel must be considered.
In recent years, the Annual Urban Mobility Report developed by the Texas Transportation
Institute - probably the definitive source on actual congestion levels in metropolitan areas in the
U.S. - has taken an increasing interest in operational improvements and their ability to reduce
congestion and delay. The operational treatments analyzed include ramp metering, incident
management, signal coordination and access management.
Using the examples of ATMS and ATIS, we will now reconsider what influences the time cost
of travel, how it should be measured, and how ITS can lead to induced travel in the absence of
changes in physical capacity and possibly even in the absence of changes in travel time. We will
explore these questions using the examples of ATMS (for both recurrent and non-recurrent
congestion) and ATIS.
* ATMS for Recurrent Congestion
Compared with traditional transportation expansion projects, the capacity increases at the
system-level from ITS-based transportation improvements are generally thought to be relatively
minor. Nevertheless, some argue that any network change that reduces travel times can induce
travel (Noland and Quddus 2006). At least at the facility or corridor level, the capacity increases
are often non-trivial. For example, the ramp metering strategy for a section of Interstate-94 in
the Twin Cities showed reductions in travel time of 13%-16% compared to the non-ramp
metered scenario (Hourdakis and Michalopoulos 2002). Taking the hypothetical case that ramp
metering is put into place for a city's entire freeway network, we will assume a more
conservative number of a 10% reduction in travel time. Following DeCorla-Souza and Cohen's
elasticity range of "moderate" demand elasticity (-0.5) to "extreme" elasticity (-1.0), the ramp
metering could induce between 5% and 10% additional VMT for the ramp-metered freeway
network (DeCorla-Souza and Cohen 1998).6
Both for freeway management and arterial management, the results reviewed in the previous
chapter seem to indicate that short-run reductions in emissions can be made from improving
traffic operations and thus smoothing traffic flows. However, the possible impacts of induced
demand from travel time savings in the medium and longer run may overshadow these early
improvements, in particular, if changes in land use and the spatial distribution of trips create
patterns of longer trip making. Dowling et al (2005) have incorporated induced demand effects
into its comprehensive modeling framework for the air quality effects of traffic flow
improvements at the network level. However, at the project or facility level, there are few
studies assess the tradeoffbetween smoother traffic (lower grams/mile) and induced travel (more
miles) (Stathopoulos and Noland 2003; Noland and Quddus 2006).
68 
Also see www.fhwa.dot.gov/steam/doc.htm for an abridged 
version of the paper. Last accessed February 1, 2006.
102
Noland and Quddus took an interesting approach to testing this issue. They first modeled the
emissions reductions from improving traffic flow on a congested network, using a microsopic
traffic simulation model (VISSIM) coupled to a microscopic modal emissions model (CMEM).
The traffic flow improvement involved the addition of a lane on a road merge, which would
both increase average speed and reduce acceleration and deceleration events. CMEM provided
the emissions reductions from the smoother traffic. Then, instead of attempting to endogenously
model the induced travel from the traffic flow improvement, induced travel was exogenously
simulated through 1% incremental increases in the number of the vehicles. For each 1%
increment, emissions were again modeled, until a "break-even point" was reached where
emissions were equal to the initially congested case. They then calculated the demand
elasticities associated with the break-even points, and found that these elasticities were "realistic
and within the bounds of estimated travel time elasticities in the transport literature" (Noland and
Quddus 2006, p 13). A further contribution of this paper is that emissions outcomes were
modeled for different vehicle mixes. The comparison across cleaner and more polluting vehicle
mixes showed not only that the short-term benefits of flow improvements were "rapidly
diminished by induced travel, but that the short-term benefits from cleaner vehicles were even
lower, and thus would be easily canceled out by induced trips. While this study provides a good
test of the potential for emissions increases from induced travel to cancel out emissions
reductions from traffic flow improvement, it is only applied to the case of a very localized
project (addition of a lane on a road merge). So, the full network effects of induced travel from
traffic flow improvements, are not clear.
* ATMS for non-recurrent congestion
Clearly, there is increasing evidence that reducing travel time can indeed induce additional
travel. However, the transportation profession is also beginning to distinguish between travel
time and the reliability of travel time. The Texas Transportation Institute, for example, has
developed a Buffer Time Index, which can be used to calculate how much additional time must
be budgeted to make a trip that is (likely) to be on-time. Shrank and Lomax use an example of
peak-hour commuter in an average congested city.
69 
In order to arrive at work on-time for 95%
of the days, they calculate that a person would need to plan for 42 minutes of travel every day,
even though the average travel time might be 26 minutes (Schrank and Lomax 2005, p 74).
This additional trip planning time is not included in any studies of induced travel to date. In part,
this may be because traditional capacity enhancements, the main "culprit" of induced travel, do
not affect travel time reliability alone.
70  
Yet, many ITS technologies, above all incident
management applications, are deployed specifically to address non-recurrent congestion events
that degrade travel time reliability. One could reason that increasing the reliability of travel
times - and thus reducing the additional "buffer" time that needs to be included in total travel
69 They use a travel time index (TTI) of 1.3, where 
a peak trip is 30% longer than an off-peak trip. 
This would be
equivalent to a city such as Austin, Texas or Charlotte, North Carolina. Indeed, the average TTI for all 85 areas
surveyed is 1.37. Schrank, D. and T. Lomax (2005). The 2005 Urban Mobility Report. College Station, TX, Texas
Transportation Institute.
70 To the extent that travel times are reduced, variability 
in those travel times are also reduced (see Schrank 
and
Lomax, 2005, Exhibit 37). However, capacity expansions cannot specifically focus on improvements in reliability.
103
time - could induced additional travel. By reducing the buffer time, more time could be
dedicated to actual travel. This would be consistent with the literature on travel time budgets
first proposed by Zahavi (Zahavi 1979). Most researchers looking at travel time budgets have
found that between 1.25 and 1.5 hours of each day are "spent" on travel (Dowling, Ireson et al.
2005), and that this time share is relatively independent of mode (Schafer 2000)."
1 
Therefore,
because ITS applications can target non-recurrent congestion and thus improve reliability,
researchers may be forced to reconsider how travel may be induced by travel time reliability
improvements. Indeed, one can argue that the induced travel should be considered for any
improvement to the level of service - travel time, reliability, comfort, etc.
* ATIS and change in travel behavior
Finally, we consider how advanced traveler information systems (ATIS) can change travel
behavior. Following from the discussion on travel time reliability, ATIS can change perceptions
of travel time and reliability. Even if actual travel time reliability does not change, real-time
traffic information could reduce the so-called buffer time needed to ensure that one arrives on
time with reasonable probability. As suggested above, by reducing the buffer time that needs to
be incorporated into travel planning, more time could be dedicated to additional or further travel
(thus increasing VMT and emissions). Also, real-time information on alternate routes could
increase reliability for the individual driver, even though the reliability of the system remains the
same, by giving them various options to arrive on-time. Indeed, as suggested by Kaysi, "ATIS
can act like added capacity in the transportation network in the sense that is can show where
there is 'available' capacity in real time" (reference (Kaysi, Chazbek et al. 2004)??).
3.2.1.2 ITS versus Physical Capacity Expansion
Although important to consider these impacts, especially as ITS technologies become
increasingly effective, there are still reasons to believe that ITS is not inducing travel to the
extent that physical expansion does. The first argument is conceptual. Investments in physical
transportation infrastructure are "lumpy" (Sussman 2000). Whether adding a new highway,
adding new lanes to an existing highway, adding buses to a route, or a light rail line, the change
in capacity is a step-change in terms of the number of vehicles or passengers that can be served.
In contrast, ITS investments represent a much smoother function for capacity addition. Traffic
signal coordination can range from two intersections to an entire network, in small incremental
steps (see Figure 3-7). In the same manner, traveler information can reach a few or many
drivers, depending upon its level of deployment or market penetration. Therefore, extending this
argument, one can postulate that in the absence of major step-changes in capacity, the induced
travel from ITS-based improvements will be more restrained. Empirically, we have no estimates
of the "steepness" of the curve for ITS-based improvements (three possibilities are shown in
Figure 3-7). In terms of investment for ITS, we are probably still at the far left side of the graph,
71 It should be noted that this is an average travel time budget 
per person. Because there would be a distribution of
travel time, there may be individuals at the very low end of the travel time budget, dedicating maybe 20 minutes a
day to travel, and other individuals at the extreme high end of the travel time budget, dedicating two or more hours
daily.
104
as spending for traditional capital infrastructure is order of magnitude greater than spending 
on
ITS.
Figure 3-7 Physical expansion versus ITS-based improvements
Capacity
increases
or travel time
reductions
Physio~l expansion ]
JI
-   -ITS-based
" ,- -- - Improvements
Investment (dollars)
The other argument is empirical. As will be observed in the five case studies, none of the cities
presented a case in which ITS-based improvements were used as a true substitute or alternative
to capacity expansion. According to interviewees, ITS could 
serve as a delaying tactic,
improving levels of service, for several years in some instances, until physical capacity
expansions could be initiated. Therefore, the perception is that ITS, at least in its current form,
cannot improve travel times to the extent that traditional capital projects can. Current ITS
technologies therefore offer a fraction of the mobility and capacity benefits that traditional
infrastructure can, yet also at a fraction of the cost.
72  
The question that remains is whether
higher levels of investment in ITS (moving to the right in Figure 3-7), or improvements in the
effectiveness of ITS (a steeper slope for ITS-based improvements in Figure 3-7), will bring us to
the point where ITS-induced travel is as critical of an issue as induced travel from physical
capacity expansion.
3.2.2 System Efficiency
The concept of efficiency has been a guiding principal in the field of ITS, the core argument
being that ITS can generate a more efficient use of the existing infrastructure. Thus, the focus in
the ITS community has been nearly exclusively on what we will call "vehicle-on-infrastructure"
efficiency, or how effective capacity (vehicles per unit of time), can be improved. For example,
efficiency (as measured by effective capacity or throughput) is one of the measures of
effectiveness developed by the Joint Program Office. But, the systems perspective allows us to
identify two other types of efficiency that can affect air quality: fuel/emissions efficiency (grams
of fuel consumed or emissions emitted per vehicle-mile or vehicle-hour), and passenger-in-
vehicle efficiency, what we will call in-vehicle efficiency (passengers per vehicle-mile).
72 To give a sense of the relative 
costs, installing a traffic signal can cost 
on the order 100,000-200,000 dollars,
installing a computerized transportation management system along a 10-mile corridor may cost in the range of 5
million dollars, and widening a 5-10 section from a 2-lane to 4-lane divided roadway, can cost tens of millions of
dollars. Although these costs vary substantially from one area to another, this gives a sense of the relative scale of
costs. For consistency, all example were taken from Houston's 2006-8 TIP.
105
Most of the air quality studies have identified air quality impacts due to changes in
fuel/emissions efficiency that result from smoother traffic flows. In other words, traffic flows are
managed in ways that change the driving patterns of individual vehicles - less idling time, fewer
acceleration/deceleration events, speed changes. In addition, we also saw with the Emissions
and Energy subsystem that certain applications can change the emissions profile of individual
vehicles within the fleet, above all, the high emitters. However, the discussion on induced travel
also highlighted how changes in fuel/emissions efficiency (lower g/km) also have to compete
with growth in VMT (higher km). Smoothing traffic flows improves vehicle-on-infrastructure
efficiency, and thus can attract new or longer trips by reducing travel times.
In-vehicle efficiency clearly reflects the systems perspective, taking the traveler to be the basic
component with the transportation system. The most simple example of in-vehicle efficiency is
change in mode share, where travelers are switching from travel in single-occupancy vehicles, to
public transit, ridesharing via vanpools or carpools, bicycling or walking. The concept of "in-
vehicle" efficiency is also reflected in the trend toward HOV and HOT lanes as managed lanes.
For example, the FHWA emphasizes the need to use lane management to preserve the person-
movement capacity, as opposed to the vehicle-movement capacity (Federal Highway
Administration 2003). Rather than determining how to most efficiently accommodate vehicles
on a fixed quantity of infrastructure, this shifts that perspective to consider how to most
efficiently accommodate travelers in a fleet of vehicles on a fixed quantity of infrastructure,
while possibly allowing fewer vehicles to be used. What matters here is not necessarily how
efficiently vehicles are moved, although that may be a part of it, but how efficiently travelers are
moved. However, it moves the focus beyond just mode shifting. In-vehicle efficiency can also
reflect operating practices of public transit providers. With APTS, the increased control over
fleet management can enable operators to service the same passenger level with an equal or
improved level or service with fewer vehicles, and thus more passengers per vehicle on average.
This concept can also encompasses emerging modes of transportation such as carsharing, in
which the many "members" of a carsharing organization make use of a smaller fleet of vehicles,
making more efficient (intensive) use of each individual vehicle.
The systems perspective is critical to understanding how to effectively plan for improvements in
in-vehicle efficiency. The success of ridesharing programs (carpools, vanpools, or mini-
vanpools), carsharing organizations, or the usage of a HOV, all benefit from positive network
externalities. For example, for each individual that decides to join a carpooling program, there is
not only an internal benefit to them as another travel option or savings on gasoline, but an
external benefit to the current and future members of the network, since it increases the
possibilities of finding a convenient and suitable carpooling or vanpooling "match." Similarly,
with HOV lanes, the benefits to commuters from HOV lanes increase at a greater rate than the
rate of growth of HOV lane miles, because a network of HOV lanes provides much greater
benefits than a single HOV lane.
3.2.3 Research Needs
Pulling together the review of the studies on the air quality impacts of ITS (Chapter 2), and the
application of our systems framework (this chapter), we can see that there are many
106
methodological and data issues to be overcome in assessing the emissions outcomes of ITS
deployments. There are outstanding issues in terms of both the level of detail (or depth) required
to identify air quality impacts, as well as the scope of analysis (or breadth).
In terms of depth, there are several key areas for future research and data gathering to advanced
the state of the art in modeling the emissions impacts of ITS for individual modes or specific
types of projects. These types of issues represent the bulk of the current research on the
emissions impacts of ITS, as reflected in the literature review in Chapter 2. While we identify
some important issues, this is not an exhaustive list of the outstanding research questions.
* Better understanding of how ITS changes the vehicle 
modal activity distribution (i.e. how
much time is spent cruising, acceleration/deceleration, or idling) on a second-by-second
basis from both field data and simulation modeling.
* Additional field measurements - monitoring individual 
vehicle emissions under real-life
operating conditions - to develop emissions factors for instantaneous speed and
acceleration profiles (i.e. grams per second as a function of speed (mph) and acceleration
(mph/sec)). These field measurements need to span a wide range of vehicle characteristic
to be able to represent alternate vehicle fleets, including for example, 
high emitters,
hybrid vehicles, public transit vehicles, etc.
* Field measurements to monitor actual pollutant 
concentrations along ITS-modified
corridors, for comparison with simulated emissions levels.
* Analysis of the relative impact of public transit ITS applications 
on transit ridership and
overall mode share.
While progress is being made on these issues of "depth," the breadth of the analyses undertaken
is generally weak. One of the key issues highlighted by our systems framework, is the lack of
the comprehensiveness of analyses. Dowling et al (2005), which documents the results of the
National Cooperative Highway Research Program (NCHRP) Project 25-21, is one of the few
initiatives underway to model the system-wide impacts (Dowling, Ireson et al. 2005). While the
studies reviewed above have advanced understanding of the localized impacts of single ITS
deployments, the system-wide impacts (including all modes) from multiple ITS deployments, are
far from clear. Therefore, in terms of the "breadth" of analysis, the following additional issues
need to be addressed by researchers.
* Whether the mix of metropolitan ITS deployments 
- whether more heavily oriented
toward transit, traffic, information, etc. - can change the modal split between transit,
signal occupancy vehicles, ridesharing, and non-motorized transportation (walking and
biking).
* The extent to which traffic flow improvements 
from ITS lead to induced demand, and the
relative size of emissions reductions from changes in vehicle modal activity compared to
emissions increases from higher VMT.
107
* Related to the previous point, whether and how ITS applications can be used to improve
"in-vehicle efficiency" through Information-based Transportation Strategies (IbTS)
through transit and alternative modes such as ridesharing and carsharing.
While we cannot answer these questions fully in this thesis, we have developed a framework
which can be used to better evaluate these issues. The system framework indicates that the mix
of metropolitan ITS deployments can affect mode share. In Section 3.1.3, our example of the
impacts of ITS on mode share indicate that the combination of transit signal priority, AVL and
smart cards should favor greater use of transit through improve travel time, reliability and image.
Signal prioritization, if negatively affecting general traffic flow, could even provide an even
greater advantage to public transit by "degrading" the traffic conditions for travel in private
autos.
73 
However, the potential benefits of public transit ITS also can be hindered by traffic
signal coordination that provides more favorable conditions to travel by private auto (i.e. through
the timing of signals along a corridor) rather than by public transit. While we can speak to the
direction of influence, the magnitude of influence is uncertain.
Although there is limited work in the area of induced demand and ITS, it is an important area of
future work. Noland and Quddus provide and interesting example of how to assess the trade-offs
between reduced emissions from improve traffic flow and increased emissions from induced
travel. Their results indicate that induced travel can cancel out any initial emissions benefits
from improved traffic flow, although the relative tradeoff will be sensitive to how "clean" the
vehicle fleet is (Noland and Quddus 2006). We would further argue that because many of
aspects of the "level of service", such as travel time reliability, are not yet being incorporated
into the models, there is even more potential for induced travel than what currently is modeled
and measured.
Finally, there is little research to date regarding the effects of ITS on improving in-vehicle
efficiency. Because the availability of real-time information on non-SOV travel options reduces
the transaction cost of using those options, they should, in theory, become more attractive and
more widely used. Furthermore, many of these systems provide network effects, so that as the
system expands, the benefits increase at an even greater rate than the system's own expansion.
Anecdotally, the increasingly widespread use of on-line rideshare matching, and the evolution of
carsharing organizations toward more automated trip reservation and vehicle access and control,
provides some evidence that there are at least perceived, if not real, benefits from these
technologies.
As compared to the state of the art, described here, the "state of the practice" for measuring the
emissions changes from ITS-based improvements to the transportation system will be reviewed
more in-depth in Chapters 6 and 7 when we look at five specific cases of cities using ITS for air
quality (such as Transportation Control Measures or for CMAQ funding). As a general
comment, because the full documentation of the methodology for measuring or modeling used
73 For example, if transit signal priority is not "conditional" 
- for example, upon whether the buses are running 
on
time or behind schedule - then priority is granted much more frequently, leading to more frequent "disruptions" of
the signal timing and coordination with other signals.
108
by the agencies or their consultants is not always publicly available or accessible, 
the accuracy or
comprehensiveness of the results cannot always be assessed in detail. 
We will discuss the state
of the practice for assessment of the air quality impacts of ITS in more depth after presenting 
the
case studies.
109
3.3 A MODEL FOR DEPLOYMENT AND ASSESSMENT
The EPA's Office of Mobile Sources, in a short report on ITS as Transportation Control
Measures,
74 
refers to the "sustainable use of ITS technologies" (U.S. Environmental Protection
Agency 1998). According to the EPA, sustainable ITS strategies are those that, for example, can
improve traffic flow without inducing additional travel or fostering the number of single
occupancy vehicles. In practice, "sustainable use" has proved to be difficult, given that pressures
for mobility improvements often trump air quality concerns, and "win-win" strategies are not
always perceived to be a win from both sides. Also, because many uncertainties regarding the
emissions impacts of ITS have been downplayed, ITS projects have frequently been deployed
with the promise of reducing emissions from smoother traffic flow. In many cases, these
projects have been funded through programs such as the Congestion Mitigation and Air Quality
(CMAQ) program funds, a federal funding category for transportation projects that can provide
air quality benefits. Environmentalists have critiqued the use of these funds because of the
possibilities for induced travel canceling out the early emissions benefits from smoother traffic
flows. Therefore, deploying ITS in a sustainable manner, is more difficult than simply
identifying so-called "win-win" technologies.
Because there are few ITS projects that can be said to have unequivocal air quality benefits for
all cities, we propose instead a process for beginning to use ITS as a tool for air quality
improvements in practice. We base this approach on the systems framework, which shifts the
locus of analysis to ex post measurements, rather than ex ante modeling. There are three
approaches to incorporating emissions and energy goals into ITS deployment strategies.
(1) Measuring/modeling emissions impacts of ITS deployments
The first approach to addressing the air quality impacts of ITS deployments is to begin to
measure or model the emission changes from ITS deployments. This is a passive approach, in
which one is simply tracking and possibly reporting emissions changes from ITS deployments.
It can involve either back-of-the-envelop calculations using simple equations for changes in
speeds, delay times, volumes, and emissions factors based on average speed, or more detailed
modeling of both traffic flow and emissions profiles. State or local transportation agencies will
often have access to the necessary information to make rough calculations of emissions changes
from changes in average travel speeds and emission factors based on average speeds. However,
for more complex modeling and/or measurements of emissions changes, these agencies often
turn to consultants, contractors or university partners.
While the more simple approaches may mask some of the short-term dynamics (changes in
acceleration events) and long-term dynamics (induced travel), it can at least serve as a basis for
beginning to understanding the changes in emissions that are possible from a given deployment.
However, we add the caveat that by not incorporating factors such as induced demand,
acceleration events, and mode shifts, back-of-the-envelope calculations may provide misleading
74 Transportation Control Measures (TCMs), which 
reflects more of a legal definition than a technical 
one, are
reviewed more in-depth in Appendix C.
110
results, in terms of not only the magnitude of the emissions changes, but the possibly even the
directionality of emissions changes.
This approach sometimes is taken when cities decide to take credit for ITS deployments in their
air quality plans. However, these are often ex ante studies that project emissions reductions on
future or ongoing ITS deployments, often as a condition for funding those projects. Ex post
studies that evaluate the actual results of emissions reductions are much less common (Farrell,
Harrington et al. 1998). In addition, assessments are generally undertaken on only those ITS
technologies that are expected to be able to show emissions reductions. A more complete
approach of this type would model and or measure the air quality impacts of all major ITS
deployments, not only those that are anticipated to have air quality benefits.
(2) Maximize possible emissions reductions from existing or planned ITS deployments
The second approach is more proactive in managing the emissions from ITS deployments. By
using information regarding the emissions impacts of ITS deployment, current and future ITS
deployments can be more finely tuned to increase their potential for emissions reductions.
Operational strategies for traffic signals, ramp metering or transit signal priority can be modified
to improve emissions performance. For example, transit signal prioritization algorithms can be
modified to maximize the emissions reductions from both bus operations and side traffic affected
by giving priority to transit.
75 
Organizationally, however, this strategy is difficult because of the
demands it implicitly places on ITS-deploying agencies to both measure and model emissions
changes - undertaking both ex ante and ex post evaluations - and respond to that information in
their operational strategies.
One can maximize possible emissions reductions from existing or planned ITS deployments
through either a static or dynamic approach. The use of before-and-after studies described above
is a static approach that assesses emissions impacts so that changes can later be made to the
system. A more dynamic approach, on the other hand, would allow for real-time changes to be
made to reduce emissions from the transportation system. This would require integration of
detection technologies, such as air quality monitors to provide real-time, and perhaps location-
specific information on concentrations of different pollutants. For example, the installation of air
quality monitors on an urban signalized street network could enable operators at a Traffic
Control Center to identify areas of high pollutant concentrations - CO for example - and modify
the signal timings to clear out the traffic problem and return CO to more "normal" levels.
(3) Deploy ITS technologies explicitly for emissions benefits
This final approach is the most "aggressive" method for integrating emissions and air quality
concerns into ITS deployment. The deployment of technologies included in the "Emissions and
Environment" subsystem identified earlier would clearly fall within this approach. However,
many traditional ITS technologies can also be deployed with the primary goal being emissions
75 This is also an important institutional 
issue, as it cuts across agencies, by deciding 
the level of "priority" to either
transit vehicles or regular traffic.
111
benefits and air quality improvements. Most, but not all, of these technologies will represent
"win-win" situations that bring both air quality 
and mobility benefits. However, there can a
large variation in terms of the relative benefits to mobility and emissions. On the far end of the
spectrum are those ITS technologies that create emissions benefits, with smaller or no mobility
benefits. Indeed, many of the Energy and Emissions ITS (E&E ITS) technologies would fall 
into
this category. Figure 3-8 illustrates the relationship between these three approaches, and how
they compare according to the level of innovation and experimentation with ITS technologies
and their 
emissions 
benefits.
76
Figure 3-8 Three approaches to incorporating emissions goals in ITS deployments
0 Deploy ITS for emission reductions
Traditional ITS E&E ITS
Mobility/Emissions Emissions
SMax. emission reductions from ITS
Static Dynamic
( Measure/model 
emission 
impacts I
Some ITS All major ITS
Level ofinnovation/experimentation with ITS' emissions benefits
A focus toward greater "experimentation" with ITS as a tool for air quality would also require
more emphasis on ex post analysis, in addition to ex ante analysis, as well as a greater diffusion
of the results of those ex post analysis (Farrell, Harrington et al. 1998). From the systems
perspective, detailed ex post analyses can more accurately capture some of the complex
dynamics that are occurring with multiple deployments - dynamics cannot be estimated with
current modeling capabilities. For example, customer interviews or surveys can be used to
understand what factors may be influencing changes in mode share or use of park and ride lots,
and how travel 
behavior is actually 
changing.
77
Looking ahead to the case studies in Chapters 5 and 6, we will see that many public sector
agencies are attempting to undertake the third approach without the supporting analytical
76 Although we will discuss these concepts more in-depth in later 
chapters, we consider the use of ITS for emissions
benefits as innovative for two reasons. First, it entails the adoption and adaptation of new technologies not
previously applied in the field of transportation. Second, it reveals a case in which a transportation agency makes
deployment decisions based on goals which are not central to its traditional organizational mission. We also consider
it to be experimentation when there is a dynamic process in place, with feedback between ITS deployment,
operation and assessment.
77 For example, changes in VMT can be estimated from traffic volumes, but is it difficult without ex post analysis
and data collection to determine whether VMT is changing from mode shifts, time of day changes, route changes,
additional or forgone trips, or longer/shorter trips.
112
capabilities to know with a high level of certainty whether those ITS technologies are indeed
having the intended air quality benefit. Indeed, with monetary incentives, such as the CMAQ
program as an important source of funding for many ITS projects, many agencies are quick to
deploy ITS for air quality benefits without the rigorous measurement and documentation needed
to fully substantiate those claims.
78 
As noted earlier, it also creates a bias toward ex ante rather
than expost studies, the results of which are generally more uncertain. Yet, the preference in the
transportation community is to consider ITS as at least environmentally benign, if not actually
providing benefits.
As noted by Gifford et al, "some parties may have conflicting interests in improving the level of
knowledge about IVHS and its social and environmental impacts" (Gifford, Horan et al. 1992).
This statement by Gifford and others represents the thinking at the early stages of the ITS
program.
79 
Indeed, it still refers to IVHS, the acronym used during the formation of the national
ITS program. While there has clearly been progress made through research institutions,
universities and many public sector agencies in better understanding the environmental and
social impacts of ITS, it does not address the issue of whether there are in fact "conflicting
interests in improving the level of knowledge" about the impacts of ITS. While this issue has
been broadly considered at the national level by research such as Gifford, Horan and others, this
thesis will look at the use of new knowledge regarding the air quality impacts of ITS at the local
level, in order to see whether these conflicts of interest do appear, and what their outcomes are.
78 According to an early report by Resources 
for the Future, "some projects slip through the 
cracks...in which case a
logical explanation of their expected benefits is sufficient for meeting [CMAQ] program requirements" Farrell, D.,
W. Harrington, et al. (1998). Learning from Experiments: An Evaluation Plan for CMAQ Projects. Washington, DC,
Resources for the Future: 32 pages.
79 
Although, we should be reminded that only 
a minority of transportation professionals that 
were even considering
the environmental and social impacts of ITS.
113
CHAPTER 4. THEORETICAL BASIS AND FRAMEWORK FOR INTEGRATED
INNOVATION, DEPLOYMENT AND ADAPTATION OF PUBLIC TECHNOLOGIES
(IIDAPT)
4.1 INTRODUCTION
While rapid technological change creates opportunities for innovation, the pace of that
technological and the increasing complexity of engineering systems challenge the ability of
society to manage innovations and their impacts. This is especially true in government where
"public investors and regulators face the daunting task of assessing broader security,
environmental, economic and societal implications of technologies as they channel public
resources into investment areas and as they make hard calls on regulatory decisions" (Oye 2005).
With the emergence of new ITS technologies, public sector agencies in cities across the US had
to begin to make difficult decisions regarding how to invest in the transportation infrastructure:
whether to continue the traditional strategy of expansion of physical capacity; explore the use of
new detection, communications and control systems to manage existing capacity; use
technologies and other means to give new impetus to transit and support non-motorized travel; or
a combination of all of the above. Regulatory changes at the federal level were making it
increasingly difficult to follow the traditional path of capacity building, while simultaneously
opening up opportunities to explore emerging ITS technologies (e.g., through funding,
demonstration and pilot projects, diffusion of information regarding their benefits, and the
generally lower cost of ITS technologies compared to traditional infrastructure). Furthermore,
some of the regulations brought increasing pressure upon state and local agencies to identify
measures to reduce mobile source emissions - measures which could also use ITS technologies
directly to reduce emissions or indirectly as a supporting application.
Yet, in looking at the history of ITS and its role as a potential tool for emissions reductions in
urban areas, one is confronted with a puzzle. With ITS, one would expect to find a number of
possible "win-win" situations between the two problems that many metropolitan areas are facing,
namely, increasingly severe congestion and the struggle to meet federal air quality goals in a
timely and cost-efficient manner. The conventional wisdom of the ITS community has generally
held that ITS would open up new opportunities for reconciling mobility and air quality goals.
For example, from the perspective of traffic management, ITS seemed to be a rare case of
actually being able to "have your cake and eat it too" in that ITS would improve level of service
(typically measured by travel time, but also by reliability) and reduce delays, idling time and
stop-and-go traffic via better detection and control of traffic flows. But, at the same time, these
strategies were not expected to improve travel times to the extent that induced demand would be
a substantial problem. On the transit side, there were hopes that more reliable operation of
transit fleets, provision of real-time information to users, and an improved image of transit would
attract new riders, thus reducing VMT and emissions. Information to drivers would help
alleviate traffic congestion, by routing vehicles away from non-recurrent congestion caused by
incidents and events, and encouraging people to travel at non-peak hours. As a result, emissions
from unnecessary idling and stop-and-go travel conditions would be diminished. Finally, ITS
could reduce the transaction costs for unconventional forms of travel, such as 
carpooling,
vanpooling and carsharing, and put a price on travel through congestion charging, all of which
could reduce VMT substantially. Yet, in most metropolitan areas, the current reality is a far cry
from these initial promises. ITS represents a relatively low-cost investment and its use to
115
improve mobility is widespread.
80  
However, very few metropolitan areas have fully taken
advantage of ITS to meet the dual goals of both improving mobility and reducing the impact on
the environment. Therefore, some of the questions of this research are:
* Why has ITS not been used more extensively as an 
innovative tool for emissions
reductions?
* Moreover, why have cities with both air quality problems 
and high levels of ITS
deployment not always taken credit (e.g. as measures in their air quality management
plans) for the emissions reductions that may have occurred as a result of ITS
deployments?
* For areas of uncertainty regarding the air quality benefits of certain 
ITS applications (as
identified in Chapters 2 and 3), why have there not been greater efforts to experiment
with and evaluate the emissions outcomes of those technologies?
To gain insight into these issues, we will review and synthesize the theoretical literature that
discusses the following four topics:
* innovation and experimentation 
in public sector organizations,
* the cooperation between "promoters" and "regulators" 
of technologies in the public
sector,
* the role of technology assessment 
in the public sector, and
* the adaptation of public sector agencies to new and better 
information, such as the
information generated by assessments and evaluations.
We are considering the issue of how public sector agencies manage new technologies and their
deployment in a way that attempts to maximize the desirable benefits and minimize the negative
impacts. In order to achieve this desired outcome, the four factors above have to be addressed.
In other words, governments have to overcome the barriers to innovation and experimentation,
overcome the fragmentation between technology implementing and regulating agencies, actively
assess new technologies and adapt to emerging information related to those technologies and
their impacts. At another level, the interests and incentives of each organization have to be
aligned in a way that will enable this type of innovation and adaptation of new technologies.
As we delve deeper into the cases, we will see that it is not simply and issue of failing to
implement good ideas that provide benefits to all. Indeed, we will see that these so-called "win-
win" situations are not always compatible with the underlying interests of public sector
organizations. Agencies may indeed have interests and agendas that go beyond a simple mission
statement or vision. Therefore, we will also review the additional questions.
80 Although nearly all metropolitan areas have deployed 
some ITS applications, the level of ITS deployed in most
metropolitan areas has "fallen short" of early expectations. U.S. Government Accountability Office (GAO) (2005).
Highway Congestion: Intelligent Transportation Systems' Promise for Managing Congestion Falls Short, and DOT
Could Better Facilitate Their Strategic Use. Washington, DC: 69.
116
* What are the interests or incentives for agencies to deploy, 
or not to deploy, particular
ITS technologies for the purposes of air quality?
* What can explain the variations in how agencies 
produce and use new information on the
impacts of ITS technologies on air quality?
* What are the interests or incentives to bring 
to light, or even hide, new information or to
adapt (or not) to that information?
Through this research, we will examine critically these issues of "win-win" situations. The
policy literature, often refers to the need for policy integration, and highlights that mutual
benefits and synergies that can be realized through cooperation among agencies from different
sectors - transportation, environment, housing, energy, finance, etc. (Lafferty and Hovden 1997).
Yet, each agency must also be treated as an entity with its own self-interest, where the self-
interests may not always coincide with the general interest - even in the public sector.
The cases in the next chapter will be set up to examine why some cities have experimented more
with the use of ITS for air quality, while others have done so very little. In what cases have
cities been able to successfully experiment with and adapt ITS deployments as a means for air
quality improvements under new federal transportation and air quality legislation and
regulations, and what factors enabled them, but not other cities, to accomplish this? The cases
will represent various degrees of success in addressing the four factors identified above, and
ultimately various degrees of success in technology management in the public sector.
The remainder of this chapter will therefore explore theories of (1) innovation in government, (2)
cooperation for multiple policy benefits, and (3) assessment and adaptation of new technologies
in the public sector, drawing from and synthesizing the literature on organizational theory,
political science, and public administration, as it relates to these three areas. The primary focus
will be on innovation, but with an emphasis on cases where innovation requires joint action of
different agencies, and where assessment is required to understand the full outcomes and impacts
of those innovations, and adapt their deployments in an iterative process. Finally, we will
present a framework for the management of technology and its impacts in the public sector. This
concept, which we will refer to as Integrated Innovation, Deployment and Adaptation of Public
Technologies, or IIDAPT, represents the following idea.
Public sector organizations cooperate to adopt and use new technologies in
support of multiple policy goals. This process of innovation is iterative, as
agencies assess impacts and adapt technologies to new information on outcomes.
Articulating and operationalizing this concept will also serve as a measuring stick to classify and
test the cases in the following chapters. However, first we turn to the theory.
117
4.2 INNOVATION IN GOVERNMENT
This section will address a number of questions regarding the inherent barriers to innovation in
public sector organizations. Why is it so difficult for public sector organizations to innovate? Is
it really so rare? What counts as innovation in government agencies? Under what conditions
will public sector agencies innovate and experiment with the adoption, adaptation, assessment
and implementation of new technologies?
4.2.1 Barriers to Innovation
Organizational theorists have generally been pessimistic about the ability of public sector
agencies to innovate. James Q. Wilson, a longtime observer of organizations and bureaucracy,
paints a bleak picture for public sector agencies:
"We ought not to be surprised that organizations resist innovation. They are supposed to
resist it. The reason an organization is created is in large part to replace the uncertain
expectations and haphazard activities of voluntary endeavors with the stability and routes
of organized relationships. The standard operating procedure is not the enemy of
organization; it is the essence of organization" (Wilson 1989, p 221).
This outlook on the difficult of innovation reflects to a large extent Wilson's own definition,
"innovation is not any new program or technology, but only those that involve the performance
of new tasks or a significant alteration in the way in which existing tasks are performed" (Wilson
1989, p 222). The stability of standard operating procedures and task definitions is central to
Wilson's theory of organizations, and is also incorporated into Allison's "model of
organizational behavior" (Allison and Zelikow 1999, pp 143, 147-8, 169-70). As a result,
Wilson and Allison discard, to a large extent, the adoption of new technological developments
and program innovations as merely peripheral and reversible changes, citing numerous cases in
which bureaucracies did indeed adopt new, sophisticated technologies, but only because those
technologies would allow them to perform existing tasks better, while resisting redefinition of
those existing tasks or changes to their standard operating procedures (Wilson 1989, pp 222-
224).
These theorists do suggest than innovation and change can happen the wake of crisis. Examples
such as the U.S. Army in the wake of the Vietnam War and NASA's loss of the Challenger
Space Shuttle offer dramatic instances of failures in organizational practices, standard operating
procedures (SOP), and culture, and thus the need and pressure to change those procedures.
However, more frequently, the erosion of the effectiveness of an organization SOP's is a much
more mundane and unremarkable process, and does not necessarily reach the point of crisis or
dramatic public failures or scandals. Rather, the erosion of the effectiveness and performance is
due to changes in the organization's external environment, and performance failures, large and
small, point to a mismatch between the organization's tasks and procedures, and the external
environment. Therefore, as performance failures accumulate, the need for innovation becomes
more intense.
118
The branch of organizational theory called organizational ecology, looks closely at this
relationship between the organization and the external environment. These theorists tell a
somewhat different story, in many ways even more pessimistic than that of Wilson, suggesting
that there are strong internal and external inertial pressures that both support organizational
stability (Hannan and Freeman 1977; Hannan and Freeman 1989).81 Not only is internal
organizational inertia strong, but organizational change can degrade performance and threaten
survival due to external pressures. According to this model, organizations showing high
reliability and accountability are "selected" - borrowing a metaphor from biological ecology -
over more variable organizational forms that have higher failure rate. Therefore, organizations
that change, are less likely to survive, at least in the private sector, as they are more liable to fail.
This is a surprising result for those convinced of the notion that innovation is almost
unequivocally beneficial to the organizations that undertake it.
Nonetheless, more recent empirical studies from organizational theorists have challenged both
the principles of inertia and the effect of organizational change on performance. Haveman, in
her study of the California savings and loan industry, looked at the organizational responses to
rapidly changing environmental 
conditions - technological, economic 
and regulatory shifts.
82
The results indicated that when environmental conditions change rapidly, organizational change
can enhance both the near-term performance and long-term survival of the organization. She
suggests that sharp changes in environmental conditions can pose a risk to organizational
survival, since this "transformation of environmental conditions renders previous organizational
strategies and orientations obsolete" (Haveman 1992, p 51). However, an important corollary to
this study, was that the impact of organizational change also depends on the "degree to which
new activities are related to existing competencies" (Haveman 1992, p 51). This means that
organizational change has benefits for organizational performance when the environment around
it changes, but that performance is best when drawing upon the competencies and capabilities of
the organization.
4.2.2 What Counts as Innovation?
An important issue that arises is what counts as innovation in public sector organizations.
Schumpeter's classic work on innovation and economic development laid down definitions for
innovation in the private sector that included: new products, new methods of production, and the
opening of new markets, new sources of supply and new organization of an industry
(Schumpeter 1934). These definitions have been modified and expanded over the decades (for
example, to apply to the service sector in addition to manufacturing), but the basic notion of
innovation as novelty in products, processes, applications, and organization has endured.
Although this early definition included organization (at the industry level) as a form of
innovation, the major focus of the literature on private sector innovation has been on
technological innovation in products and process, with a focus on organizational innovation
81 Wilson, although not optimistic about the potential for innovation in public sector organizations, did at least
recognize the potential for external and internal factors to bring about substantive changes.
82 More specifically, the regulatory 
change was deregulation of the 
industry.
119
emerging only to the extent that it can explain successes or failures in bringing product and
process innovations to fruition.
The literature on innovation in the private sector has proliferated - both the "didactic literature"
offering advice and prescription for how to manage innovation, and the social science literature
using empirical evidence to explain the "phenomenon of innovation" (Lynn 1997). However,
the literature on innovation in the public sector has lagged. As a result, there is often an attempt
to distill lessons and transfer theories developed in the more enterprise-oriented innovation
literature to the public sector, often with several points of mismatch. Because public sector
organizations are not usually in the business of bringing products and services to a competitive
market, the definition of innovation has to tended ignore the technology side of public sector
innovation, with a predominant 
focus on innovation in organizational 
routines and structures.
8 3
In addition, while the core goals and objectives of private sector organizations are relatively clear
and non-contested, government agencies do not enjoy this luxury, and often face a conflicting
and ambiguous set of goals and priorities (Wilson 1989, p 115; Allison and Zelikow 1999, p
149).
This relative lack of literature on technological innovation or adoption and adaptation of new
technologies by the public sector has several consequences. First, in defining innovation for the
public sector, because the technology aspect is often disregarded, the bar is set high for what
does and does not count as innovation. Innovation is equated more narrowly with organizational
innovation - a much more difficult form of innovation to undertake, as discussed above. For
example, according to Lynn, "innovation is properly defined as an original, disruptive, and
fundamental transformation of an organization's core tasks. Innovation changes deep structures
and changes them permanently" (Lynn 1997, p 96).84 Second, innovation in government
agencies is not always looked upon as desirable to the extent that innovation can set up conflict
with goals of accountability to their principals (elected officials in the legislative and executive
branches) as well as to the public (Behn 1997, pp 10-11). Innovation is seen as possibly crossing
the division between creating policy (the domain of legislators and other elected officials) and
administration, or "simply" carrying out policy (the domain of bureaucracies).
85 
Finally, the
83 ITS is an exception, in that public sector organizations 
not only implement new technologies, but also develop
Froducts that may be provided 
by the private sector as well, 
such as real-time traveler 
information.
4
This is reminiscent of Wilson's definition of innovation. 
In fact, both Lynn and Wilson arrive that the same
conclusions, that in order to improve government performance and innovativeness, it is necessary to deregulate the
public sector. Wilson, J. Q. (1989). Bureaucracy: What Government Agencies Do and Why They Do It, Basic
Books.
Lynn, L. E. (1997). Innovation and the Public Interest: Insights from the Private Sector. Innovation in American
Government: Challenges, Opportunities, and Dilemmas. A. A. Altshuler and R. D. Behn. Washington, DC, The
Brookings Institution: 83-103.
85 Many scholars have pointed out the artificiality of this 
division between politics and administration, which was
eloquently described by Woodrow Wilson over a century ago. Wilson, W. (1887). "The Study of Administration."
Political Science Quarterly 2(2): 197-222. They suggest that because legislation and other policy mandates do not
contain specific instructions on how to carry them out administratively, there is room from some innovation in not
only how policies are carried out, but what those policies actually mean. Behn refers to this as the "fallacy of
legislative clarity." Behn, R. D. (1987). "A Curmudgeon's View of Public Administration: Routine Tasks,
Performance, and Innovation." State and Local Government Review 19(2): 54-61.
120
"remedy" offered to those who wish to promote greater innovation in government is to make the
public sector more like the private sector (Osborne and Gaebler 1992).
Therefore, returning to the earlier question: What counts as innovation in the public sector?
Wilson and other organizational theorists, as noted earlier, only count major changes in core
tasks and thus in the organization itself. Therefore, one can say that the most difficult and less
frequent form of innovation, according to the theories outlined above, is organizational
innovation, or changes in the core tasks of an organization. However, in the public
administration literature, two other types of innovation have been identified: 
policy innovation,
which is the creation of new policies, services, and programs by administrative agencies, and
legislative innovation, which is the adoption of new laws and statutes by the legislature. 
Finally,
the category of innovation that will be of most interest for this thesis is technological innovation.
However, there are various degrees of technological innovation. Major innovations (also
described as radical, disruptive, or breakthrough) represent technological developments that
completely break from existing technology trajectories. Incremental innovations, on the other
hand, represent more gradual, continuous improvements to already-available technologies, which
are adapted from one organization to another. Finally, diffusion, is the adoption of existing
technologies without adaptation, although some theorists of innovation would argue that they are
indistinguishable.
However, it should be recognized that this a highly linear model of technological change.
According to Mytelka, theorists such as Rosenberg broke new ground in looking at the feedbacks
in the innovation processes, suggesting that "innovations... invariably require major post-
innovation improvements, and it is these that shape adoption. This undermines the distinction
between innovation and diffusion" (Mytelka and Smith 2002, p 1472).86 We will define
technological innovation broadly as the implementation of technologies that are new to the
agency, whether that implementation involves the adoption, adaptation, or development of a new
technology, noting that innovation is a non-linear and adaptive process.
Any typology of innovation will encounter cases that defy easy categorization, and often,
innovations will span two or more categories. For example, in surveying innovations in policing,
four categories of innovation were identified: programmatic, administrative, technological and
strategic (Moore, Sparrow et al. 1997, pp 277-280).87 However, the authors add that all
86 In the literature on state policy and legislative 
innovations, diffusion is often used as a term 
relatively
interchangeable with innovation. Diffusion describes the process of transfer and adoption of innovations from state
to state. However, as long as the policy or legislation is new to the state adopting it, it is considered an innovation.
Walker, J. (1969). "The Diffusion of Innovations Among States." American Political Science Review 63(3): 880-
899.
Gray, V. (1973). "Innovation in the States: A Diffusion Study." American Political Science Review 67(4): 1174-
1185.
87 Briefly paraphrasing Moore et al's definition, 
programmatic innovations are new operational 
methods,
administrative innovations are changes to how agencies prepare for operations (training) or measure performance,
while strategic innovations are fundamental changes in the mission, goals, and orientation of the agency.
Technological innovation is the adoption of new capital equipment. Moore, M. H., M. Sparrow, et al. (1997).
Innovation in Policing: From Production Lines to Jobs Shops. Innovation in American Government: Challenges,
technological innovation also fall within one of the other three categories of innovation, since a
technological innovation is defined not by "its purpose but the material in which the innovation
is embedded" (Moore, Sparrow et al. 1997, p 279). Furthermore, taking innovation as a dynamic
and nonlinear process, adoption of new technologies cannot be seen as a one-time event.
Technologies that are initially adopted as a minor programmatic innovation in order to complete
existing tasks more efficiently or effectively than before, may open the doors for more
fundamental strategic innovations and agency reorientation. In this sense, implementation of
new technologies can be a trigger for deeper organizational change. Wilson provides us with
some vivid examples from the military. For example, before WWII, when navies were
purchasing aircraft, they did so as a means to improve reconnaissance, literally "to extend the
vision of the battleship's captain." However, the use of aircraft by the navy eventually led to an
entirely new form of naval warfare with "carriers deployed in fast-moving task forces" (Wilson
1989, p 222). Therefore, following the adoption of this new technology, requiring little or no
change to existing task structures or standard operating procedures, once experience with the
new technology was gained, it enabled a redefinition of organizational tasks and strategies.
However, without the adoption of the technological artifact, the aircraft, and the new
organizational capabilities that it brought with it, the more profound organizational change
would not have occurred.
4.2.3 Factors Influencing Public Sector Innovation
The reasons for innovation by public sector organizations are unfortunately not as apparent as the
basic reason for private sector innovation - i.e. survival in the marketplace, 
competitive success,
and profitability. Behn suggests several possible reasons why government agencies innovate: (1)
because business does it, (2) because government's standard operating procedures are proving
inadequate, (3) because government needs to improve performance, and (4) because all
organizations need innovation (Behn 1997). The first and last reasons are not factors that can
explain in any satisfactory manner why some public sector agencies innovate, while others do
not, since these conditions would be equally applicable to all organizations. Therefore, under
what conditions do a government agency's standard operating procedures and performance prove
to be inadequate, and thus lead to change and innovation?
Referring to the cases of innovation in the public sector, Wilson notes that pressures for change
can be "externally imposed or internally generated" (Wilson 1989, p 227). Citing important
innovations in the military - the air force's adoption of the intercontinental missile, the army's
incorporation of a counterinsurgency unit, and the navy's acceptance of a submarine launched
missile program - he suggests that outside forces from academic, industry, Congress, and the
executive branch played a key role in bringing about changes in the military branches that did
indeed alter core tasks (Wilson 1989, p 225).
Public sector organizations at the state, city and county level present an interesting case for
several reasons. First, government agencies are not subject to the same survival pressures as
Opportunities, and Dilemmas. A. A. Altshuler and R. D. Behn. Washington, DC, The Brookings Institution: 274-
298.
122
private sector companies. Government agencies are initially "called into being by political
processes" (Allison and Zelikow 1999) but are much harder to dissolve, or even see their growth
checked by these same processes, given that these bureaucracies can be characterized as taking
on a life and purposes of their own.
88 
Second, although their survival may not be threatened in
the same way as that of private sector organizations, through direct competition, the continued
adequacy of the standard operating procedures can be drastically affected by legislative or
political changes and public pressure. Finally, for local and state government organizations, the
adequacy of their SOP depends both on the state legislature and state and local elected officials,
as well as the changes brought about through federal legislation and regulations. Thus, changing
federal policy goals or tightening the regulations on the usual activities of state and local public
sector agencies can spur innovation by forcing agencies to break out of their usual tasks and
programs and seek new solutions to problems.
In this thesis, we focus on the specific case of when federal agencies and federal legislation
create both new constraints and opportunities for local and state agencies. Indeed, the federal
legislative changes that occurred at the federal level for transportation and air quality planning
were themselves innovations, by linking the approval and funding of regional transportation
plans and programs to their ability to meet national air quality standards and providing funding
mechanisms for transportation-related air quality projects through the CMAQ program. Through
legislation and regulation, the federal government determines the "rules that constrict the range
of governmental decisions and actions that are acceptable" (Allison and Zelikow 1999).
Changes in these rules can therefore challenge the adequacy not only of the SOPs, but of the
programs and priorities of the local and state level organizations. Furthermore, changes in the
federal rules that bind state and local agencies are often reinforced with changes in funding
relationship between the federal government and states. Stone, in her study of innovations in
health policy, suggests that state innovation can be highly influenced through the federal
government through the use of "carrot and cudgel," with innovations "often forced on the states
either through legislation or slightly more gently through strings attached to federal Medicare
and Medicaid 
money" (Stone 
1997, p 221).89
Many observers in different fields have noted that the US federal system presents 50 laboratories
(i.e. the states) for experimentation and innovation. Research in the area of public administration
has looked at how states respond to federal environmental regulations, for example, whether the
states merely comply or whether they initiate new laws and policy or program innovations of
their own (Potoski 2001). There have been a number of studies assessing the determinants of
both policy and legislative innovation and diffusion of innovations in the states (Walker 1969;
Gray 1973; Sapat 2004). The most well-developed literature on innovation in government is that
focusing on legislative innovations.
Walker identified several possible variables that could explain the level of legislative
"innovativeness" of the states. One important factor was wealth, or more specifically, "the
88 For example, one of the early and influential studies on the growth and budget-maximizing tendencies of the
public bureaucracy is William Niskanen. 1971. Bureaucracy and representative government. Chicago, IL: Aldine.
89 More commonly referred to as 
the less euphonious "carrots and 
sticks."
123
degree to which 'free floating' resources are available, ... If 'slack' resources are 
available,
either in the form of money or a highly skilled, professional staff, the decision makers can afford
the luxury of experiment and can more easily risk the possibility of failure" (Walker 1969, p
883). This concept of organizational slack was draw from Cyert and March's seminal book, A
Behavioral Theory of the Firm, first published in 1963 (Cyert and March 1992). Researchers
have debated whether "slack" leads to higher or lower levels of innovation (Nohria and Gulati
1996). Walker applied the idea of slack resources to the state level, with the hypothesis that the
states most likely to innovate, would be the larger (population), wealthier states, and that the
"great cosmopolitan centers" would 
be the most open to innovation. 
In addition to wealth,
Walker identified political variables such as the turnover in office, party competition, and
legislative professionalism. Although focusing more on diffusion than the determinants of
innovation per se, Gray also found that innovative states were wealthier and more competitive
(Gray 1973). However, a drawback to these studies is that the focus is more on factors that
increase the capacity of states to adopt innovations, leaving aside to a large extent of what
motivates them to innovate in the first place.
The literature on policy and program innovations (as opposed to legislative innovations) brings
us somewhat closer to understanding the motivations for innovation. Here, the principal actors
are the administrative agencies. For example, one of the more recent studies in this area looks at
environmental policy innovations undertaken by state administrative agencies in the area
hazardous waste (Sapat 2004). This examines a broader set of factors than those offered by
Walker and Gray, and acknowledges to a greater extent the external pressures that lead state
agencies to adopt innovations. Sapat developed a model drawing from the literature on state
environmental regulation and state innovation, identifying four factors: (1) the severity of the
problem, (2) institutional factors (the commitment (financial) and capacity of the states), (3) the
strength of relative interest groups, and (4) contextual factors, such as state political climate
(Sapat 2004, p 144). The empirical results indicate that need/problem severity and institutional
factors (in particular, staffing levels and state wealth) are statistically significant indicators of the
probability of adopting and implementing innovations. On the other hand, interest groups and
contextual political factors do not seem to have a strong impact on the level of policy innovation.
It is also interesting to note how Sapat diverges from Gray and Walker on the issue of wealth.
While the more common view is that more wealthy states can "afford" to adopt policy
innovations Sapat suggests that the relationship could go in either direction, as states that are less
wealthy may also adopt policy innovations in order to create new resources, such as through fees
and fines imposed (Sapat 2004, p 145).90 However, her statistical results indicate that wealthier
states are more likely to innovate.
These studies also point to the importance of staffing levels or staff professionalism as a factor in
innovativeness. Walker considered having an "extensive staff and research facilities in their
legislatures" a factor that explained why some states adopted innovations more readily, at least in
terms of legislative innovations (Walker 1969, p 885). Sapat also considered administrative
capacity to be a determine of program innovation, using the variable of the number of full-time
90 In the transportation sector, there has been a recent focus on "innovative financing" in order to place the current
system of federal-aid grant financing for highways based on gasoline tax revenues.
employed staff as a measure of capacity. Her argument is that "if a state has more staff working
on a state program, its ability to implement innovations is enhanced" (Sapat 2004, p 144).
Presumably, this argument can be extended from state agencies to city, county, and metropolitan
agencies and organizations. However, when the innovation includes the deployment of new
technologies, not only the absolute staffing levels, but the composition of that staff and their
education and professional capability, are important. Sussman discusses the importance of the
education of the "new transportation professional" as a necessary prerequisite for transportation
organizations to be able "reinvent" themselves (Sussman 1995). According to Sussman,
transportation professionals must have both breadth in technology, systems and institutions, and
depth in their transportation specialty, in order to advance both organizational and institutional
change (Sussman 2001). Zegans suggests that "creative ideas can come from anywhere," both at
the civil servant levels and managerial positions (Zegans 1997, p 112).91 This would suggest,
that the education and professional capability of individuals within the agency at all levels, are
important conditions for innovation. One could further suggest that for technological innovation,
the technical background of full-time staff is a key component for success.
However, the process of change in the staff and management of public sector agencies can be
slow. First, the need for changes in the training and educational requirements of public sector
staff and managers can be a barrier, since universities, like most organizations, are also slow to
change. Therefore, universities will often lag in changing their curriculum and programs in
response to the needs of future employers. Furthermore, time is needed for several generations
of graduates to complete their education and be incorporated into the workforce.
Returning to the idea of wealth as a factor determining levels of innovation, the issue of
budgetary resources as a factor influencing innovation is also taken up 
by Allison and Zelikow,
who offer three conditions under which organizational learning and change can occur. First, they
suggest that both a "budgetary feast" and "prolonged budgetary famine" can result in
fundamental changes in the organization. They also suggest that "dramatic performance
failures" can shock the existing organizational culture into change (Allison and Zelikow 1999, pp
171-2). Although these three conditions, drawn from the organizational behavior paradigm, are
not elaborated in greater depth in Allison and Zelikow, it is interesting to compare them to
theories discussed above. While the above mentioned studies suggest that the wealth or
resources of a state are important factors in policy and legislative innovation, they have assumed
resource levels to be relatively static. Allison and Zelikow's observations, however, also point to
the importance of changes in resource levels, whether positive or negative, as a spur for
organizational change.
Yet, whatever the motivations for innovation in the public sector are, a fact of administrative life
for public bureaucracies is that successful actions often require coordination with other levels of
government, or other agencies with overlapping or otherwise related functions. Therefore, in the
following section, we will define and discuss the virtues and vices of fragmentation, and
mechanisms to overcome it.
91 However, some public managers interviewed noted that innovations were more likely to come civil servants.
125
4.3 COOPERATION FOR MULTIPLE POLICY BENEFITS
While the public, press and politicians often decry the fragmentation of responsibilities in
government, defined here as the lack of coordinated action between agencies, and the inability to
cooperate, it is important to ask: Why does fragmentation exist in the first place? What role
does it play both for organizations and for society at large? What are the strategies to deal with
fragmented and decentralized public sector agencies in the face of the need for coordinated
action, and under what conditions will agencies overcome fragmentation?
4.3.1 The Benefits and Problems of Fragmentation
As described by Allison and Zekilow, there is a dilemma between decentralized power and
coordinated action. "Governmental action requires decentralization of responsibility and power.
But problems do not fit neatly into separable domains" (Allison and Zelikow 1999, p 172). The
decentralization and fragmentation of responsibilities into separate agencies is critical to the
performance of government functions, as it provides a division of labor and specialization that
enables specific tasks and purposes to be carried out more efficiently. Each organization or
agency within the bureaucracy has responsibility for a specific set of tasks and problems. Max
Weber, one of the early and most influential organizational theorists, suggested that
organizations were, in fact, highly efficient instruments for achieving goals (Allison and Zelikow
1999, pp 148-9).
In addition to the efficiency argument, decentralization and fragmentation in the bureaucracy
serves as a balance between various interests and values in society. Lindblom, in his landmark
article "The Science of 'Muddling Through,'" looks at the decision-making process as a method
of successive limited comparisons, building out incrementally and continually from the current
situation. Given that an administrator or agency cannot possibly take into account all of the
possible repercussions of their policies - economic, social, environmental - they must simplify
their analysis and essentially ignore many of the impacts of their actions. However, the remedy
for this lack of comprehensiveness is the fragmentation of decision-making into that agencies
will represent different values. As described by Lindblom:
"Suppose that each value neglected by one policy-making agency were a major concern
of at least one other agency. In that case, a helpful division of labor would be achieved,
and no agency need find its task beyond its capacities. ... The virtue of such a
hypothetical division of labor is that every important interest or value has its watchdog"
(Lindblom 1959).
Agencies can redress damages already done by other agencies, or anticipate and "head off'
pending injuries. According to Lindblom, the result is a "process of mutual adjustment" between
different government agencies and with other groups representing societal values.
This concept of "watchdogs" for each interest, is also evident in the division between
technology-promoting agencies and regulatory agencies in government (Rip, Misa et al. 1995, p
2). For example, during the 1950s and 1960s, the inability of the US Atomic Energy
Commission to address the risks involved with its development of nuclear power, lead to the
126
separation of its promotion and control activities, dividing these distinct activities into the
Department of Energy and the Nuclear Regulatory Commission 
(Hewlett and Holl 1989; Rip,
Misa et al. 1995). The relationship between these two organizations is obvious, as it is centered
on the generation and control of risks from nuclear energy. However, for other technology-
promoting and regulatory agencies, the link may be less clear, particularly when dealing with
complex systems, where the link between the regulator and the regulated is not always direct.
The complexity of the links from activities to impacts, often makes it difficult to control the risks
created by a technology-promoting organization. This complexity can arise because of the time
lags between actions and impacts (temporal disconnect), the distance between actions and
impacts (an action at point A, has repercussions at point B, spatial disconnect) and the difference
in the characteristics or nature of actions and impacts (substantive disconnect).
92
'
93 
An example
of the spatial and substantive disconnect is acid rain. While advances in atmospheric science and
modeling have clarified this now "obvious" connection, there is a spatial disconnect, in that
activities in one country can have an impact on the environment in another county. There is also
a substantive disconnect, in that industrial production processes and power generation can lead to
acidification of the soil, through complex chemical and transport phenomena. Finally, there is a
temporal disconnect because the processes leading from emissions to soil 
acidification take time,
particularly when there is transport of pollutants across longer distances.
Another example is transportation conformity. In the early 1900s, when the concepts of urban
sprawl, induced vehicle travel from highway expansion, and ozone formation were unknown, it
would have been inconceivable to expect air quality agency to have a control function over
whether and how to build urban highways. However, as these relationship became more clear, in
terms of the role of new transportation capacity and low-density land use patterns and their effect
on regional vehicle miles 
traveled, there was pressure to 
regulate these impacts.
94
Turning back to organizational theory, in addition to the broader societal value of fragmentation
- the division of labor and balance of interests - there is also an intrinsic value to the
organizations themselves of allowing an organization to focus on its core mission and values.
According to Wilson, when agencies are responsible for more than one goal and therefore realize
various tasks, "they will have competing cultures that cannot easily be fused into a shared a
sense of mission" (Wilson 1989, p 96). This sense of mission provides a sense of "common
worth" to its members, allows for a unified control over task definitions, improves the internal
flow of information, and provides non-monetary benefits to its members which generate
enthusiasm and reduce the shirking of responsibilities (Wilson 1989, p 95). Therefore, imbuing
an agency with too many competing goals - such as promoting a technology and regulating its
impacts, can undermine this sense of mission. For example, in attempting to explain the
92 Joseph M. Sussman (Massachusetts Institute 
of Technology), personal communication 
with author, November 26,
2005.
93 These disconnects can also occur many other 
policy settings, such as a changes in health 
policy and the impact on
crime rates.
94 Indeed, this leads us to the question of 
whether the level of complexity of an engineering 
system is an inherent
characteristic, or at least partially a function of our level of understanding of the system. We will later discuss the
idea of so-called "emergent" behavior, which may point to the inherent complexity of certain systems.
127
organizational barriers to intermodal transportation planning and policy, the issue of
organizational culture must be addressed. As noted in a report by the Transit Cooperative
Research Program, "Highway and transit agencies have historically strengthened their esprit de
corps by reinforcing the importance of their individual mode and organizational purpose" (Crain
and Associates 1996).
The problem with fragmentation is that problems do not fit into boxes. Interdependencies exist,
and the actions of one agency may have negative (or positive) repercussions, 
direct or indirect,
that affect other agencies. Although Lindblom's model of mutual adjustment provides one
means of providing comprehensiveness in decisionmaking, many decisions and actions require a
more concrete form of interaction. Yet, joint decisionmaking is difficult. Even when the goals
are clear and everyone is in apparent agreement with a particular program, the large number of
actors involved in the numerous steps from idea inception to implementation, leads to what
Pressman and Wildaskvy called the "complexity of joint action" (Pressman and Wildavsky
1984). Even with a 99% chance of success at every step in the decision process, with a large
enough number of actors - at the federal, state and local level - and thus an enormous list of
decisions to be made and approvals to be secured, the overall probability of program success
may be low. Furthermore, there may be power asymmetries between agencies, meaning that
mutual adjustment does not occur, and the more powerful agency, which has negative impacts on
the weaker agency, cannot be persuaded either to "adjust" their actions or cooperate with the
other agency in a process of joint decisionmaking.
4.3.2 Overcoming Fragmentation
The call for greater policy integration is especially strong 
in the area of environmental policy,
and in particular, sustainable development. Greater policy integration is seen as essential to
"remove contradictions between 
policies" as well as to "realize 
mutual benefits and make
policies mutually supportive" (Lafferty and Hovden 1997).95 One of the policy sectors that has
been increasingly required to take on environmental policy objectives in addition to its own
internal policy objectives, is the transportation sector. In the US, the CAAA and ISTEA linkages
were an attempt to motivate/mandate this type of environmental policy integration in local
transportation investment and decisionmaking.
Transportation and air quality management in metropolitan areas is a highly fragmented policy
arena. As highlighted by Wachs and Dill,
"There is now in most metropolitan areas a regional body that focuses on transportation
funmding, planning, and policy making, while major highways continue to be built and
operated by state agencies, local streets and highways by cities and counties, and transit
services by municipal or county transit authorities" (Wachs and Dill 1997)
95 For example, according to Lafferty and Hoyden, "one of the key defining features of 'sustainable development' is
the emphasis on the integration of environmental objectives into non-environmental policy-sectors." Lafferty, W. M.
and E. Hoyden (1997). "Environmental Policy Integration: Towards an Analytical Framework." Environmental
Politics 12(3): 1-22.
128
Add to this mix the state environmental agencies and air quality districts, as well as the federal
government agencies responsible for transportation and the environment. The result is a
complex network of public sector agencies dealing with different domain issues and levels of
jurisdiction.
Three types of relationships can be identified as part of the networks responsible for delivering
government services: (1) intergovernmental, or the federal-state-local interaction; (2)
interagency, or agencies within the same level of government; and (3) private-public partnerships
(Gormley and Balla 2004). For the purposes of this thesis, we will focus primarily on the
horizontal interagency relationships. However, interagency relationships cannot be understood
without also taking into account the intergovernmental dynamics. We are also interested in how
the federal government influence the conditions that determine how agencies at the state and
local level interact.
In this case, it is useful to turn to North's distinction between institutions, which are the formal
and informal "rules of the game" for how organizations interact, and organizations, which are
the "players in the game" (North 1990). More concretely, but in a similar vein, Sussman
describes institutions as the connections and relationships among organizations, such as inter-
organizational structures and partnerships (Sussman 2001, pp 25-26). For this thesis, we use the
word organizations as referring to individual government agencies, private sector companies, or
non-governmental organizations, while the institutions are the processes, structures, and outputs
that require the actions of more than one organization. As a general rule, organizations are easily
identified and "named" - State Departments of Transportation or Environmental Quality, the
Federal Bureau of Investigations, the Environmental Protection Agency, Metropolitan Planning
Organizations, City Public Works Departments, and so forth. However, institutions are more
nebulous entities, and thus more difficult to name. In the context of this thesis, examples of
institutions include the long-term transportation planning process, air quality conformity
determination, interagency working groups, and regional ITS architectures.
In terms of interagency interactions, at the most basic level, there are two forms of dealing with
interagency fragmentation: (1) an agency can absorb specific tasks and responsibilities that
belong to other agencies, (2) the agencies can cooperate and coordinate their actions. According
to Wilson, both are typically difficult for public sector agencies, because they can represent
threats to an organization's much prized autonomy. Running counter to Niskanen's and others
arguments that agencies are always seeking to expand their size by "taking on new functions and
gobbling up their bureaucratic rivals," Wilson suggests that agencies are wary of taking on new
tasks, particularly tasks that are unpopular, difficult, or substantially different from their mission
(Wilson 1989, pp 180-1, 190). Similarly, agencies will also be hesitant to cooperate and
coordinate actions formally, because of the possible threat to their autonomy. Maintaining
autonomy also means that agencies will resist being regulated by other agencies (Wilson 1989, p
193).
Yet, despite the odds, coordination and cooperation can and does occur, although with highly
varying levels of success. In a carefully detailed case study of transportation agencies in the San
Francisco Bay Area, Chisholm found that given the strong interdependencies between agencies
129
providing transit service, informal modes of cooperation were developed, and proved to be both
stable and effective forms of cooperation both under normal circumstances and crises (Chisholm
1989). The informal nature of the relationships, following Wilson's logic, would have provided
a guarantee to the ultimate autonomy of each agency. In terms of more formal cooperation,
efforts to coordinate various agencies include task forces, committees, councils, boards, and, in
the more extreme cases, the creation of "czars" (Wilson 1989; Gormley and Balla 2004). These
vary in their degrees of control, and to what extent they are formed for purposes of information
sharing, arbitrating disagreements between agencies, or coordinating joint actions.
While these different forms of coordination are typically imposed by executive branch leaders,
there are also more bottom-up networks of agencies. Organizational theorists have reached the
reasonable conclusion that "relations form when members of two or more organizations perceive
mutual benefits or gains from interacting" (Schmidt and Kochan 1977, p 220). This represents
the exchange perspective on interorganizational relationships. On the other hand, organizational
theorists from the power-dependency camp have emphasized that the desire to interact is not
shared equally, however, if the motivated party is powerful enough, it can induce the other to
interact. Schmidt and Kochan, attempt to reconcile these two views, suggesting that these
relationships are often mixed-motive situations, "in which each organization behaves in
accordance with its own self-interests" (Schmidt and Kochan 1977, p 220). Therefore, when
dealing with horizontal interagency relationships, coordination is relatively "easy" when there
are mutual benefits to be gained. However, for more asymmetric power relationships, either the
more powerful party can induce the other to interact, or, in intergovernmental context, the federal
government can change the relative power relationships among the different agencies, in essence,
generating a top-down institutional change. Therefore, interorganizational relationships can take
many forms, whether mandated by law, based on formal agreement, or voluntary (Hall, Clark et
al. 1977). Chisholm's analysis also highlights that there can be a spectrum of formal and
informal interagency relationships, and that often a hybrid of formal and informal networks can
form between numerous agencies (Chisholm 1989).
Finally, there is the question of cooperation between two agencies, versus cooperation between a
network of numerous agencies. According to Pressman and Wildavsky, in their study of
implementation, the greater number of agencies involved, the lower the probabilities of
successful implementation (Pressman and Wildavsky 1984). The logic of their argument is that
joint action - between federal, state, county, local, and private sector agencies - is difficult and
likely to fail because of the "interaction of their various rules and routines" (Allison and Zelikow
1999, p 159).
An alternative view on barriers to cooperation can be drawn from the political economy literature
on externalities and the management of common pool resources - i.e. depletable natural or
human-made resources. The reasons for why individual actions can lead to sub-optimal
outcomes regarding the common good were first described with Hardin's "Tragedy of the
Commons" (Hardin 1968). In the case of the "commons," the question is how to limit individual
130
consumption or use of a common pool resource to the socially optimal level.
96 
Similarly, with
the production of public/collective goods and common pool resources, there is a tendency to
free-ride upon the efforts of others, leading to underprovision. For example, Olson described
how free-riding can differ according to whether interests are diffuse or concentrated (Olson
1965). According to him, the greater the number of actors, the harder it will be to mobilize those
actors on a common effort that should, in theory, bring benefits to all. For more concentrated
interests, the benefits of cooperation will fall on only a few, therefore the likelihood of successful
collective action increases. If the cost of cooperating outweighs the benefits that will accrue to
participants, there will be a socially sub-optimal level of cooperation. Therefore, the number of
actors is considered as one explanatory variable for levels of cooperation.
However, Keohane, Ostrom and others, in a book that examines the convergence of the literature
on local common pool resource problems and international regimes for cooperation, focus not
only on the number of actors, but also on the degree of heterogeneity of those actors (Keohane
and Ostrom 1995). For both local common pool resources (CPR) problem and international
regimes, there is general agreement that a larger number of actors increases the difficulty of
creating cooperative arrangements. However, the various case studies presented in the book also
consider the question of whether heterogeneity in the capabilities, preferences, information and
beliefs of those actors can facilitate or inhibit cooperation. The CPR literature generally holds
that heterogeneity makes cooperation more difficult, while the international regime theory
indicates that heterogeneity can help, particularly is there is a lead actor (a larger or more
powerful participant that can bring the others into a stable pattern of cooperation).
In summary, it seems that Lindblom's model of mutual adjustment may not be enough to
produce socially optimal outcomes. Coordination between organizations, particularly between
technology-promoting and regulating agencies can be difficult because of the concerns with
autonomy and the desire to focus on their core mission and tasks. Furthermore, the difficulty
may be multiplied with a greater number of agencies. With more actors, the likelihood of
successful cooperation will be diminished due to the complexity of implementation and the
tendency for free riding upon the efforts of others. Both organizational and institutional change
are required for innovations whose adoption and implementation requires the joint action of
more than one organizations. That institutional change can either be bottom-up, in which the
local actors redefine their relationships with one another, or top-down, in which institutional
change comes from the federal government.
96 The common pool resource can range from 
a pasture for grazing animals (too many animals 
degrades the pasture),
to a highway for private automobiles (too many automobiles degrades the level of service of the highway through
congestion).
4.4 ASSESSMENT AND ADAPTATION OF NEW TECHNOLOGIES
Finally, we come to the issue of assessment and evaluation of technological innovations and their
impacts, and adaptation to new and better information. Under what conditions will public sector
agencies will undertake assessments of their investment in and deployment of new technologies?
How do agencies use information to improve outcomes of current and future technology
deployments? What impacts will they consider? In the face of uncertainty about both the
positive benefits and the negative impacts of a given technology or system, why is it that
assessments are not always undertaken or used? Do organizations adapt to the information and
new insights gained from assessments, do they continue on their original course of action, or do
they adapt to information unrelated to the assessments?
4.4.1 Evaluating Innovations
In general, public sector organizations have a spotty record of evaluating the results of their own
programs and projects. Unlike the private sector, the efficiency criterion cannot be applied
rigorously, because governments also have to take into account the distributional effects of their
programs and policies (Wilson 1989, p 348). Also, what counts as success or not, is subject to
how objectives and goals are defined, as there are political and organizational motivations behind
the choice of performance indicators. In order to ensure "success" of innovations, organizations
may choose a wide range of indicators of performance to cast the net more extensively. With
multiple objectives and performance measures, even if the central goal or purpose has not been
fulfilled, the organization or organizations involved in the experiment can point to some
evidence of success (Pressman and Wildavsky 1984). Wilson has noted that the existence of
"multiple and vague objectives" often leads to "self-congratulatory conclusions that are written
by program administrators" (Wilson 1989, p 348, 375). Therefore, if an innovation can be
justified according to a range of possible benefits - without a single, clear metric of success or
failure - then successes can be further amplified and failures attenuated.
4.4.2 Assessing Impacts
One issue is the evaluation of the performance an innovation (according to its outcomes), while
another issue is the assessment of its possible external impacts, which may be unintended and
often unforeseen, and may affect other actors and stakeholders beyond the implementing
organization. Many forms of assessment methodologies have been associated with the need to
understand and measure the impacts of technologies on the environment. Technology
assessment (TA), environmental impact assessment, integrated assessment, and risk assessment
all have had important connections in trying to understand, prevent and/or mitigate
environmental damages.
97 
For example, the Congressional Office of Technology Assessment
(OTA), established in 1972 and closed down in 1995, represents one of the early adoptions of the
formal practice of technology assessment, with the primary purpose of OTA being to provide
97 Risk assessment may be the exception, since 
the emergence of the fields of risk analysis and 
management was
closely related to the concerns about the safety of nuclear reactors. For this reason, issues such as the "dreadfulness"
and "controllability" of risks are important considerations in risk perception and therefore risk management."
Morgan, M. G. (1993). "Risk Analysis and Management." Scientific American July: 32-41.
132
Congress with scientific and technical advice independent of that of the executive branch
(Kunkle 1995). However, the pro-environment climate of public opinion at the time the OTA
was established led to a focus on the assessment of the environmental consequences of new
technologies.
98
Technology assessment, as conceived in the formulation of the OTA, would act as a monitoring
or early-warning device, and thus took the approach of evaluating a wide range of possible short
and long-term implications - environmental, social, economic and political - of specific
emerging technologies (Kunkle 1995). However, technology assessment has a broad range of
other purposes and applications in both government and the public sector. For example,
technology assessment has also been a type of technology-scanning tool of government in order
to determine which technologies to invest in, for example, the Advanced Technology Program of
the Department of Commerce, which focused on the competitiveness of U.S. technology
companies. However, we will focus here on technology assessment as a method to evaluate
impacts on the environment.
Integrated assessment (IA) is another branch of assessment activity that has emerged in the
attempt to provide relevant policy advice on highly complex problems requiring multiple
disciplinary perspectives. The area of integrated assessments was developed around the creation
of integrated modeling of complex environmental problems - issues such as acid rain, global
climate change, and sustainable regional development (Dodder and Connors 2000). The intent
of integrated assessments was to provide interdisciplinary and policy relevant advice on very
specific (primarily environmental) problems, contrasting with the OTA approach of focusing on
technologies and the wide range of potential implications.
Finally, probably the most ubiquitous form of assessment is the environment impact assessment,
although this has traditionally not been directed at technology, but rather at infrastructure
projects. The National Environmental Policy Act of 1970 mandated the development of
environmental impact statements (EIS) for major projects, requiring public hearings on impacts
and opening the door for lawsuits by citizens and environmental organizations. Therefore,
environmental impact assessments, as opposed to other forms of assessments, was given a
critical regulatory role through their embodiment in EIS.
4.4.2.1 Myopia and Emergent Properties
Technology and environmental assessments are not renowned for their ability to identify long-
term impacts, particularly in socio-technological systems. This is especially true when
considering not simply individual technologies, but engineering systems that can have long-term
98 Emilio Daddario, Chairman of the Science, Research and Development Subcommittee of the House of
Representatives, was a critical figure in the establishment of the OTA. Daddario envisioned Technology
Assessment as a tool to better manage technology and the environment. In lobbying for its establishment, Daddario
argued, "The most glaring example at the moment is environment....Until we learn really to understand technology -
how and when to apply it; how and when not to apply it - we shall never overcome the many, complex difficulties
that beset us." Kunkle, G. C. (1995). "New Challenge or the Past Revisited? The Office of Technology Assessment
in Historical Context." Technology in Society 17(2): 175-196.
133
and wide-ranging impacts. However, this does not necessarily reflect upon the ability of the
evaluators, but rather the behavioral complexity and inherent non-predictability of the system
(Dodder, Sussman et al. 2004). Many engineering systems can be described as complex adaptive
systems, in which even simple interactions between individual elements can produce patterns at
the system level that cannot be predicted from the behavior of those individual elements that
make up the system - a characteristic described as emergence (Holland 1998). As discussed
earlier, the difference between cause and effect (actions and impacts) can be spatial, temporal,
and substantive. In implementing or deploying new technologies, a field test or pilot program
may uncover some of the near-term and more direct impacts; however, the longer or even
medium-term impacts of deploying new technologies at the system-wide level will not become
evident until months, years or decades after full deployment. Perrow's analysis of systems in
Normal Accidents provides a number of examples of complex and tightly-coupled systems,
where technologies and organizational routines interact in ways that can be catastrophic (Perrow
1984). The development of the automobile presents another example of the anticipated and
unanticipated impacts of this technology on society. For example, the introduction of the
automobile was expected to have the near-term impact of dealing with the problem of urban
manure. However, as the automobile because more entrenched in society, the long-term impacts
of sprawl, deterioration of the inner cities, and smog and its health impacts, would not become
evident until years later.
4.4.2.2 Construction of Models and Facts
The view that the "facts will speak for themselves" is part of the rational-democratic model of
public policy, according to which "facts, data, and information are neutral, and can settle
conflicts" (Stone 1996, p 321). This scientific optimism pervades the common approach to
policy analysis, which suggests that through better science, more research, data collection,
improved models, and better communication of these results to decisionmakers, resolving
uncertainties regarding technologies simply a matter of time. However, the constructivist
critique, as expressed by observers such as Jasanoff, suggest that "facts are accepted as
authoritative not necessarily because they can be empirically verified, but because they are
validated through processes of informal negotiation and can be ranged into frameworks of shared
assumptions and inferences" (Jasanoff 1987, p 195). In other words, this represents an explicit
recognition that models and frameworks are an abstraction of reality, and may not necessarily be
the correct or only abstraction.
4.4.2.3 Models and Methods in Multi-organizational Settings
The "social construction of facts"
99 
is also evident in the development of models when those
models are employed in regulations or negotiations. Implicitly recognizing this element of social
construction, some practitioners of IA have exhorted the community "to view models as tools to
help understanding in the assessment, rather than as ultimate goals and end products of the
99 Pinch, T. J. and W. E. Bijker (1987). The Social Construction of Facts and Artifacts: Or How the Sociology of
Science and the Sociology of Technology Might Benefit Each Other. The Social Construction of Technological
Systems. W. Bijker, T. Hughes and T. Pinch. Cambridge, MA, MIT Press: 17-50.
134
analysis... giving up the view of models as 'truth machines'" (Toth and Hizsnyik 1998). The
extent to which models are often taken to be "truth machines" is unveiled when there is a clash
of models investigating the same phenomenon. For example, in looking at long-range transport
of ozone precursors, the European and U.S. predictive models used in assessment, although
investigating the same physical phenomena, turned out to produce much different outcomes that
could not be reconciled in the policy debate. This led to competing claims as to the credibility of
the models, and critiques and counter-critiques of the European and U.S. models, and an eventual
"agreement" by both sides 
to disagree (Keating and Farrell 
2001). Within this paradigm, it
should come as no surprise that "conflicts of opinion between well-informed experts [are] by no
means exceptional" on issues of supposed "fact" (Freeman 1995, p viii). However, conflicts of
opinion may also represent other interests at work.
4.4.2.4 Honesty
Finally, within the realm of evaluation and planning, there is also a concern about the extent to
which "honest" evaluations are undertaken. In a short article with the provocative title of "When
Planners Lie," Wachs discusses this issue in the context of urban planning (Wachs 1989).
Wachs addresses, with more sympathy than the title would suggest, the dual roles that analysts
and planners must often play.
"On one hand, planners may see themselves as 'scientists,' who analyze data to discover
the truth and to arrive at the best course of action. On the other hand, planners see
themselves as 'advocates,' who use data and models to prove that a course of action
preferred by a client or employer is the best choice in a given situation" (Wachs 1989, p
476-7).
Although Wachs' analysis focuses on the planning stage (before a project), the lessons can also
be applied to evaluation (after a project), although it could be argued that for political and
organizational reasons of avoiding public failures, the pressure to demonstrate the positive
outcomes of a project could be even higher. This reflects in part the often-cited phrase of
Allison, that "Where you stand depends on where you sit." However, in the later editions, this
position was clarified to offer a softer version, suggesting that "where you stand 'is substantially
affected by' where you sit..." but that the player may "resist or ignore the conditioning that
arises from the person's seat in government" (Allison and Zelikow 1999, p 307). Finally, by
honesty, we do not necessarily mean outright lying or deliberate manipulation (although this may
also happen), but as a call for:
"the critical need for producers and users of any IA products to open and conclude their
presentations with clear statements about the assumptions and uncertainties in the
methods, and not to overload the presentation with stand-alone, caveat-free, multi-
decimal place tables or results that can be easily over-interpreted by uninformed uses"
(Schneider 1997).
Assessment of the environmental impacts of new technologies faces several organizational and
political challenges. While regulatory purposes often make it necessary to assess environmental
impacts, organizations, by their nature, are not adept at objective analyses of the implications of
their own programs. Regulatory oversight and external review can provide a quality control of
135
the quality of assessments, however, as might be suggested by the constructivist view, narrowing
in on one accepted problem framing, or modeling approach, may blind organizations to the
implicit assumptions and inferences that their models or analyses contain.
4.4.3 Adaptation
We will now look at the concept of adaptation to new information, as it relates to innovation and
the deployment and adaptation of new technologies. While the above section describes attempts
to assess the potential impacts that a technology may have, these represent only the ex ante
evaluations. However, once implemented and in operation, there are also possibilities for expost
evaluations. In principal, these evaluations will more accurately describe and measure the actual
outcomes of a particular technology deployment. Once innovations have been implemented,
there are opportunities for detailed and realistic analysis of outcomes using measured data rather
than projections and assumptions drawn from earlier projects or similar projects implemented in
other areas. For newer technologies, ex post evaluations are particularly important, to assess to
what extent the ex ante evaluations were actually accurate or not, and to better understand the
tradeoffs and the unintended/unforeseen effects of the project or program. In theory, there are
opportunities to adapt the project or program to take into account this new information, as well
as to make changes to future projects and programs based upon the performance of earlier,
similar efforts.
While it would seem straightforward to modify and improve projects based upon emerging
information on their performance, this is not always the case in practice. Generally speaking,
adaptation by public sector agencies will confront the same barriers discussed in the earlier
section on barriers to innovation. Organizations - once their programs and projects, and the
tasks and standard operating procedures to support them, are in place - are usually reluctant to
change them, even in the presence of new information. In part, this reflects a general inertia
characteristic of bureaucratic organizations (whether public or private sector). However, it also
reflects the multiple goals and distributional considerations that are faced by public sector
organizations. Changing an existing program or project may improve it in ways that may gratify
some stakeholders who benefit from those adaptations. However, it may also create disgruntled
stakeholders, who preferred the original form of the innovation.
Other scholars have addressed this topic of adaptation to information; however, by looking at
legislators and regulatory agencies, not project- and program-implementing agencies. For
example, Zuckerman compares evaluation and adaptation in U.S. regulatory policy for three
cases - food safety, air pollution and financial services. He suggests that:
"[while] the political science literature gives inadequate consideration to the ability of
government organizations to adapt to changing conditions and improve policy-making....
the conventional wisdom in the scientific community that more science directly leads to
improved policy takes insufficient account of the organizational and political
difficulties..." (Zuckerman 2001).
In theory, the emergence of new information, such as the information provided by a detailed ex
post evaluation of an innovation, would lead to adaptation. However, according Zuckerman, that
136
is not always the case, at least in terms of policy and legislative adaptation. Furthermore, where
adaptation does happen, the outcome is not necessarily beneficial. He concludes that more and
better information is not the panacea to the problem of adaptation, but rather structural changes
are needed to better use assessment and evaluation.
Golden offers a different perspective. Indeed, her model depends upon a process similar to that
of Lindblom's "muddling through"'
00 
(Lindblom 1959; Golden 1997).101 Studying innovations
in human services agencies, she highlighted the role of analysis in innovation, differentiating
between the analysis done before the launch of an innovation, and the analysis that is undertaken
after the innovation is in actual operation. In a logic similar to that of Lindblom (1959), she
compares a "policy planning" model based upon extensive and careful analysis, and a "groping
along" model of "rapid action modified by experience." Favoring this later model, as a more
accurate description of innovation in practice (at least for her sample of 17 innovations in human
services agencies), she suggests that there is highly intensive use of information and continual
adaptation to that information.
"After acting, [human service managers] cared intensely about the information to be
gained from those actions, and they were able to carry their organizations with them in
mulling over the information and in responding to it, over and over again. For them,
operational experience provided the material for continuous innovation" (Golden 1997, p
172) (italics added).
This suggests a process of adaptive innovation, characteristic of the "ideal" case of technology
management that we will describe below. The cases in the following chapters will be used to test
to what extent ex ante analysis or ex post evaluation is indeed used to innovative with ITS for air
quality purposes. We will consider not only information produced by the implementing
agencies, but information produced by external reviewers (such as higher levels of government),
universities, and research institutions, among others. For the case of information regarding the
impacts of ITS, we will also examine whether information on air quality benefits, as opposed to
information regarding more traditional transportation benefits of travel time savings, is also used
to modify and adapt innovations.
100 This has been referred to as "groping along" by Behn, R. D. (1988). "Management by Groping Along." Journal
of Policy Analysis and Management 7(4): 643-663. and Golden, O. (1990). "Innovation in Public Sector Human
Services Programs: The Implications of Innovation by 'Groping Along'." Journal of Policy Analysis and
Management 9(2): 219-248.
101 Golden (1997) represents an updated version of her 1990 article with the same title.
137
4.5 INTEGRATED INNOVATION, DEPLOYMENT AND ADAPTATION OF
PUBLIC TECHNOLOGIES
4.5.1 Definition
We have discussed issues of innovation, cooperation, assessment and adaptation, focusing on
innovation as the implementation of new technologies by public sector agencies. However, up
until this point, we have reviewed the theories and concepts of innovation, cooperation,
assessment and adaptation as relatively separate. In this section, we will tie together these
concepts in our formulation of the desired outcome for the management of technology and its
impacts in the public sector. This can be summarized as the following.
Public sector organizations cooperate to adopt and use new technologies in
support of multiple policy goals. This process of innovation is iterative, as
agencies assess impacts and adapt technologies to new information on outcomes.
According to this framework, cooperation between multiple agencies - for example, between
technology promoters and regulators - results in the deployment of innovations that achieve the
policy goals of all agencies involved. These are the so-called "win-win" outcomes. However, in
this thesis we are looking specifically at "win-win" technology deployments 
in the public sector,
with the added features of continuous assessment and adaptation.
We refer to this as Integrated Innovation, Deployment and Adaptation of Public Technologies
(IIDAPT). The term integrated suggests the active pursuit of multiple public policy goals that
pertain to more than one public sector agency. This may be through active involvement and
cooperation of several (at least two) agencies in the design and deployment of 
a new technology,
or the more unilateral initiative of one agency to support the organizational and policy goals of
other agencies (in addition to their own goals), during the process of innovation and deployment.
Deployment indicates that we are focusing only on technologies that actually reach the
operational stage, not technology development, research or invention (although those may be
activities leading up to deployment). We use the term innovation with two ideas in mind. First,
there is innovation in the application of advanced technologies (such as ICT) to new sectors
(such as transportation). Second, there is another layer of innovation when these advanced
technologies (ICT), are applied to a new sector (transportation), in support of non-traditional
goals (air quality). Therefore, innovation, as we are using it here, is a combination of
technological innovation, with the adoption and adaptation of advanced technologies, and policy
innovation, in using these technologies in novel ways for reaching additional policy goals. We
also use the term adaptation to refer to the process of continual assessment of technologies and
their impacts, using the information that is generated during the evaluation process to improve
and modify the already implemented innovation, and/or designs for future deployments. Finally,
we use the term public technologies to indicate that these are technologies deployed primarily by
public sector organizations (although there may be additional cooperation and support from other
organizations), and that the technologies are intended to provide public benefits or public goods.
In the case of this research, those public benefits are mobility and accessibility and air quality.
138
Innovation, as discussed earlier, can occur through a combination of organizational, institutional
and technological change. In this thesis, innovation can be 
not only technological (development,
adoption and adaptation of technologies that are new to the public sector agencies), but also
organizational (for example, the deployment of those technologies in support of goals beyond
the regular missions and tasks of the implementing agency) and institutional (when it is done by
creating new mechanisms for cooperation with other agencies) in nature. However, we also
deliberately incorporate "technology" in our definition to indicate that this research focuses on
innovations that include an important technological component, in contrast 
to other policy,
legislative or regulatory innovations in the public sector.
The application of ITS technologies - advanced information and communications 
technologies,
many of which originated in the defense sector - to the transportation sector is a technological
innovation in that there are nontrivial adaptations of these technologies to the context of each
agency and regional transportation system. In addition, when their use is broadened to
incorporate issues of air quality, ITS deployments can be an organizational, as well as
technological innovation. At the minimum, there is an organizational innovation when a
traditional transportation agency uses a technology to advance policy goals (i.e. air quality
improvements) that are largely external to their own agency's core mission. It can also, but is
not always, a more advanced technological innovation if there is further adaptation of the
physical system to improve air quality (i.e. changing the system design or operational parameters
to further reduce emissions). For example, some of the energy and emissions ITS technologies
defined and described in Chapter 2 would represent both organizational and technological
innovations. Finally, institutional innovation also occurs when there are nontrivial changes to
the relationships between organizations, in terms of planning, deploying or operating certain
technologies. Institutional changes may be either a prerequisite condition to undertaking the
technological innovation, a result of the technological innovation redefining the relationships
between agencies, or, in many cases, both.
We further suggest that there is a scale of IIDAPT outcomes. High IIDAPT levels, 
for example,
might reflect a more active involvement of various agencies and tighter integration of both
mobility and air quality concerns. High IIDAPT would also reflect the use of more advanced
technologies, or application of technologies in highly novel ways to support multiple policy
goals. High quality evaluations and continuous adaptation of technologies to improve outcomes,
would also be a characteristic of high IIDAPT. At the other end of the scale, low IIDAPT
outcome would reflect minimal integration of air quality concerns into ITS 
deployments,
sporadic assessment and little adaptation to new information, and the use of less advanced
technologies. Our hypothesis is that levels of IIDAPT are influenced by certain conditions that
promote or inhibit the adoption of new technologies in support of multiple policy goals.
IIDAPT is closely related to the idea of "win-win" outcomes. This involves overcoming what
are typically perceived as trade-offs, such as the classic case of tradeoffs between economic
competitiveness and environmental protection, or in the case of transportation, the tradeoffs
between increased mobility and air quality. However, the advantage of the way we have
conceptualized IIDAPT, is that it represents a scale of outcomes, which the concept of "win-
win" outcomes cannot capture. Similar concepts have also been explored by researchers, who
139
have developed theories of "co-production" and "co-optimization" between technological
advances and their impacts. We will discuss these concepts briefly, as they represent concepts
similar to our definition of IIDAPT.
4.5.2 Relationship to Co-production and Co-optimization
Theories of environmental regulation have stressed the need for a shift from end-of-pipe
pollution control to pollution prevention and clean technology (Schot 1992, pp 42-43). Looking
at the relationship between government regulators and private industry, Ashford suggests:
"The challenge is how to use environmental regulation for win-win payoffs for co-
optimizing growth, energy efficiency, environmental protection, worker safety, and
consumer product safety" (Ashford 2000, p 15).
Described more broadly, the term co-optimization represents "the simultaneous achievement of a
number of societal goals, rather than trading one off for another" (Ashford, Ayers et al. 1985;
Ashford 2005, p 54). The concepts of so-called "win-win" situations and co-optimizing across
variables that represent different societal values are also reflected in an approach referred to as
Constructive Technology Assessment, developed primarily in Europe (Schot 1992; Rip, Misa et
al. 1995). These authors contend that what is needed are "mechanisms and processes to facilitate
societal learning about how to co-produce technology and its impacts, and how to achieve
desirable outcomes" (Rip, Misa et al. 1995, p 3, italics added).
10 2 
While these authors might not
agree that co-optimization and co-production are interchangeable terms, we consider these
concepts to be close relatives in that they focus on a proactive approach that anticipates
environmental (and other) impacts early in the process, and integrates them into 
the planning,
design and implementation of new technologies.
The relevance of this approach is that it more explicitly recognizes the struggles within
government (as well as between government and industry) reflecting what they refer to as the
"two-track" approach of distinguishing 
between control/regulatory 
agencies and technology-
promotional agencies, where government both supports the development of what are deemed to
be "desirable" technologies, while regulating or punishing "undesirable" technologies (Rip, Misa
et al. 1995, p 4). This is the issue of fragmentation and decentralization discussed earlier. For
example, in a study of the design and implementation of a waste disposal site, the dilemma of the
dual role played by planners was evident, as they were responsible for efficiently clearing away
an abandoned waste site with polychlorinated biphenyl (PCB) contamination, while meeting
legal requirements and addressing the demands of the public regarding the appropriate level of
risk in the process (Herbold 1995, p 188). In this case, involvement of the public was the
mechanism for controlling the negative impacts and risks. However, in many cases, these two
roles are played by different public sector agencies - the so-called technology promoter and the
controller/regulator. Here, the public demands for greater control of impacts were expressed
through the regulating government agency.
102 The literature on constructive technology assessment 
(CTA) has focused more on articulating the new paradigm
of CTA and highlighting successful cases of this approach, rather than identifying the conditions under which a
CTA-type process can and will occur.
140
This goal of co-production or co-optimization of the benefits and impacts of new technologies,
requires assessment of the impacts, and incorporation of that knowledge into operational or
design changes to the technological system. This suggests a process of continuous iteration in
the development, adoption and adaptation of technologies and the evaluation of its performance
and impacts. It also highlights the role of active assessment in the various stages of deployment.
The concept of Constructive Technology Assessment (CTA) also suggests that assessment can
be used as a vehicle for overcoming fragmentation between the technology-promoting and
regulatory agencies. Therefore, CTA 
could be considered a subset of Integrated 
Innovation,
Deployment and Adaptation of Public Technologies, with more focus on the role of assessment,
and of integrating not only other agencies, bt but also stakeholders, more directly in the process of
innovation.
4.5.3 Measuring IIDAPT
The literature reviewed in this chapter, pointed to four supporting activities for IIDAPT. These
were cooperation, innovation, assessment and adaptation. We also suggested that there is a
continuous scale of IIDAPT, from high IIDAPT levels, to possibly zero IIDAPT. Linking these
two concepts, we propose that IIDAPT levels are determined by the levels of the four supporting
activities: (a) levels of interagency cooperation, (b) levels of innovation in terms of the novelty
of the technology/system or its application to new policy objectives, (c) quality and consistency
of assessments of performance and impacts, and (d) levels of response to assessments, in terms
of adapting technology deployments to improve outcomes for core policy objectives only, or for
multiple policy objectives. By dividing the concept of IIDAPT into these four activities, shown
in Table 4-1, we can more explicitly define a scale by which to measure IIDAPT in a concrete
and reproducible manner.
Table 4-1 Qualitative Scale for Integrated Innovation, Deployment and Adaptation of
Public Technologies
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High More than one agency High level of novelty Rigorous ex-ante and Modification to
actively engaged in the in the technology or its ex-post evaluation, technology/system in
design, deployment adaptation to multiple response to information
and/or operation. policy goals. from assessments to
improve performance
for multiple policy
objectives.
Low More than one agency Some novelty in the Some ex-ante or ex- Modification to
indirectly involved or technology or its post evaluation only. technology/system in
playing a supporting adaptation to multiple response to information
role in the design, policy goals. from assessments to
deployment and/or improve performance
operation. for primary policy
objectives only.
None No cooperation. No innovation. No evaluation. No adaptation.
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It should be emphasized that this scale can be applied to each individual technology deployment
or class of technologies deployments, as long as it is consistent across cases. We will later
discuss how to "scale up" IIDAPT to the level of a metropolitan area.
While assessment and adaptation are supporting characteristics of IIDAPT, the minimum
characteristics for whether an activity is even a low level of IIDAPT, is that it meets the core
activity characteristics of: (1) indirect involvement, at the least, from other agencies when
deploying the innovation, and (2) some novelty in either the technology itself or the manner in
which it is use to address multiple policy goals. Therefore, the technology would have to meet at
least the "low" level for both cooperation and innovation to be considered even low IIDAPT.
For example, for the level of cooperation is not a function of the number of agencies involved,
but how actively each agency participates with others. "Cooperation" can range from simply
approving a deployment, providing funding for a deployment, to actively working on the design
and/or operational aspects of a deployment. It can also include pressuring/persuading other
agencies to incorporate additional policy objectives such as air quality for ITS. Supporting
activities include assessment and adaptation, which can also rank as none, low or high.
Because this thesis represents a combination of theory development and theory testing on a
limited number of cases, we are wary about full quantification of the variables at this stage, as it
may conceal some of the phenomena we are hoping to gain insight into through the case study
approach. However, in order to facilitate some comparison and aggregation for different ITS
applications, we apply a simple numerical scale to the levels of "none," "low," and "high" for
each of the four elements of IIDAPT. Because assessment and adaptation are supporting
activities, they are counted as half of the points given to cooperation and innovation.
Table 4-2 Numerical 
scale for IIDAPT
10 3
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2 1 1L o w ...................... .... i ......................... ........ ... ............................ i ............................... i .......... ........ ......... ... ... i....... ........... . .................
Low 1 1 0.5 0.5
None 0 0 0 0
As noted above, this scale of IIDAPT would be applied on the basis of each individual
technology. Indeed, there needs to be a substantial amount of information regarding the
individual technology or system and the manner in which it was deployed and adapted, in order
to assess where it lies on this scale of IIDAPT. However, for the purposes of this thesis -
identifying and testing conditions which lead to lower or higher IIDAPT levels - we look at
IIDAPT at the scale of the metropolitan region.
10 4 
The hypothesis is that there are conditions,
which vary from city to city, that determine levels IIDAPT. The contribution of this thesis is to
103 As a hypothetical example, an ITS-air quality application 
with low cooperation (1), high innovation (2), high
assessment (1) and low adaptation (0.5), would have a total of 4.5 on scale of 0 to 6, with 6 being the maximum
level of IIDAPT possible. A score of 0 would not be IIDAPT.
04 For future studies addressing IIDAPT for other technologies, there may not be a need to "scale-up" from the level
of individual technologies. However, we are interested in the factors that describe the differences between
metropolitan areas, and their "success" in reaching high levels of IIDAPT for the case of ITS and air quality.
142
identify these conditions, based upon the theories reviewed above, and test them across a set of
five in-depth case cities. This level of analysis enables us to examine some individual
technologies that were deployed, but while placing their deployment within the context of a
region's overall transportation and air quality planning process. Therefore, we are looking for
conditions that determine levels of IIDAPT across metropolitan areas.
For each city, we will attempt to identify a set of "representative" technologies (i.e., ITS
applications that are used for the purposes of achieving both air quality and mobility goals in
each city). We will define IIDAPT - innovating and adapting ITS technology for both mobility
and air quality improvements - with the criteria that the deployments must have air quality as
one of the policy objectives, as expressed through (1) funding eligibility requirements, (2)
inclusion as a TCM in an state implementation plan for air quality (or other plan, such as an
Early Action Compact), (3) inclusion in other lists of voluntary measures for mobile emissions
reductions, or (4) inclusion in a region's core air quality programs, such as those managed by
MPOs or state environmental agencies. We will rank these applications on the scale of IIDAPT
developed above (see Table 4-1 and Table 4-2). Some cities may have only one application that
meets our criteria for IIDAPT, while other cities may have many applications across several
different modes. However, by looking at the level of IIDAPT across different ITS application
areas, we can also determine the range of use of ITS for air quality. If there are projects
spanning many of these categories, it indicates that ITS is used for the purposes of air quality for
many different facets of the metropolitan transportation system - arterial streets, freeways, transit
systems, HOV lanes, ridesharing programs, and so on. Table 4-3 illustrates the process of
scaling up from IIDAPT levels for individual ITS technologies (again, as described above in
Table 4-1 and Table 4-2), to two measures of IIDAPT that indicates the average level and range
of IIDAPT for each metropolitan area.
Table 4-3 Scaling up from technology-specific to metropolitan-area IIDAPT levels
Metropolitan Area
ITS application areas Houston Los Angeles Boston Orlando Tulsa
Arterial traffic flow improvements # #
Freeway management strategies # # _'_.... _- ?_. ...___
Freeway traveler information #
Transit information #
Multi-modal information
Transit operational improvements
Transit fare payment systems
Rideshare support
Demand management/pricing
Other applications 
N
Average level (0-6) Average ...
IIDAPT
levels
Range (0-10) Number of ... ... ...
IIDAPT
applications
143
The first measure, average level, takes the average of only those technologies considered to be
IIDAPT. However, it is also important to understand the range of ITS applications used for air
quality purposes in the metropolitan level. There are ten categories of ITS application areas:
three freeway and arterial ITS, three transit ITS, multi-modal traveler information, rideshare
support, demand management/pricing, and other applications. Having one application in each of
the ten rows of Table 4-3, would indicate the maximum range of applications, and more
generally, a balance across modes in the use of ITS for air quality.
However, one cannot judge from this table alone whether there are one or many deployments in
each of the categories (e.g., one advanced traffic signalization project to reduce emissions, or
fifty such projects). Therefore, we need some measure of the number of ITS-air quality projects,
and how they compare to other transportation-related projects for air quality. To operationalize a
measure of the frequency or intensity of use of ITS for emission reductions, we will look at the
percentage of ITS-related projects that are included in metropolitan air quality plans and
programs (as transportation control measures or other similar but voluntary measures). While
this might not capture the full universe of IIDAPT efforts in a metropolitan region, because they
are included in air quality and transportation plans and programs, they are officially recognized
as having legitimate air quality benefits by the local and state agencies. We also consider
another measure, which is the use of CMAQ funding, since projects are required to have
emissions benefits (and to documents those reductions) in order to be considered eligible for this
funding category. For both of these measures, where the data permits, we will look both at the
number of projects (number of ITS projects out of all TCMs and CMAQ projects), and the
percentage of funding (the amount of funding for ITS projects out of all TCMs and CMAQ
funding). This measure of IIDAPT intensity could therefore range, theoretically, from 0% of a
metropolitan area's transportation-based emission reductions measures to 100% of those
105
measures. 
105
We have now developed several quantitative measures for IIDAPT, specifically for the case of
ITS deployments for air quality purposes (see Table 4-4). The first two measures are the
average level and diversity of IIDAPT. The first measure captures the average level of
innovation, cooperation, assessment and adaptation (as described in Table 
4-1 and Table 4-2),
while the second measure reflects the range or applications and modal variation. The third
measure takes a different approach, looking at the intensity of IIDAPT as a measure for
transportation-based emission reductions (i.e. of all the options to improve air quality, how
frequently ITS is employed as an emission reduction measure).
Table 4-4 Three measures of IIDAPT at the metropolitan level
Metropolitan Area
IIDAPT measures Houston Los Angeles Boston Orlando Tulsa
Average level 0-6 0-6 0-6 0-6 0-6
Range 0-10 0-10 0-10 0-10 0-10
Intensity 0-100% 0-100% 0-100% 0-100% 0-100%
105 However, as will be discussed in Chapter 6, for the cross-case comparison, we will use the percentage of ITS or
ITS-enhanced projects out of all transportation control measures (TCMs) in each metropolitan area's most recent air
quality plan.
144
These measures will be used in support of the qualitative description of actual outcomes for
IIDAPT for the five case study cities. We will not rely entirely on these measures, but will use
them in conjunction with the qualitative description of IIDAPT efforts in each city. Because this
research has a theory-building function as well, full reliance on quantified measures, at this
point, may obscure critical issues and connections we are attempting to understand.
We have outlined how IIDAPT can be described and measured; first, at the level of individual
technologies, and second, at the metropolitan level for many technologies. The case study work,
in the next chapter, will then be used as a basis to describe and measure IIDAPT in five cities.
We now turn to the other side of the equation, which are the conditions that, according to the
theory, should predict both the occurrence, level and intensity of IIDAPT. We will then show in
Figure 4-1 how these conditions relate to the IIDAPT outcomes.
4.5.4 A Theory of IIDAPT
Now that we have formulated the concept of Integrated Innovation, Deployment and Adaptation
of Public Technologies (IIDAPT) and described a process for measuring IIDAPT levels, we will
discuss the conditions that, we hypothesize, contribute to higher or lower levels of IIDAPT.
Four fundamental issues were identified and discussed in previous sections:
* barriers to innovation and experimentation 
inherent in public sector organizations,
* cooperation and overcoming fragmentation between 
"promoters" and "regulators" of
technologies in the public sector, and
* difficulties of technology assessment 
in the public sector, and
* difficulties of public sector agencies adapting to 
new and better information, such as the
information generated by assessments and evaluations.
Having reviewed the theories regarding innovation, cooperation, assessment and adaptation, we
will draw upon those ideas to develop and advance seven propositions. These are the conditions
which we hypothesize will contribute to higher or lower levels of llDAPT in a metropolitan area
for ITS and air quality. The first four propositions deal most directly with the conditions for
innovation, although proposition three also deals with the capacity to undertake assessments.
Propositions five and six address the conditions for cooperation and overcoming interagency
fragmentation. The final proposition addresses the conditions that will support higher levels of
adaptation. However, as will be illustrated in Figure 4-1, there are also important connections
between these conditions.
The seven conditions represents a comprehensive, although not necessarily exclusive list of the
conditions that influence the levels of Integrated Innovation, Deployment and Adaptation of
Public Technologies. Drawing from the theories reviewed above, we have identified these
conditions as important factors in enabling innovation and cooperation, as well as in undertaking
assessments and using that information to adapt. However, this is an exploratory analysis.
While we will test the five case study cities against the seven conditions developed here, the case
145
studies will also be used to possibly highlight other factors and conditions - either not
incorporated in this theoretical framework, or previously overlooked by the literature - that seem
to be important factors driving IIDAPT. The analysis may also serve to determine which
conditions are not important determinants IIDAPT levels. Thus, the cases will not only test the
theory, but allow us to further refine it.
Here, we will present the propositions related to the conditions that determine IIDAPT levels.
We will then test these conditions against the five case study cities in Chapter 6.
4.5.4.1 Conditions for IDAPT
Proposition 1: Public sector organizations will innovate in response to changes in the external
environment, and the level of innovation will be relative to the severity of the problem.
The severity of the problem an agency faces, in many cases, can be objectively defined and
sometimes measured quantitatively - traffic congestion levels, crime statistics, student dropout
rates, etcetera. However, as it relates to the organization, the "problem" is defined as to what
extent it creates dissatisfaction on the part of the agency, legislators, higher levels of
government, and the public. It represents the mismatch between agencies' current tasks,
standard operating procedures, and missions, and the problems they are mandated to address.
Generally speaking, organizations will not have pressures to innovate 
as long as their tasks,
mission and standard operating procedure are adequate, but once they are challenged, they will
be pressured to seek new solutions. For the case of local and state agency innovation, this can
especially be driven by changes at the federal level, which may tighten regulation of the current
tasks carried out by the agencies, or mandate innovative approaches to deal with problems.
Proposition 2: The level of an agency's internal resources, in terms offunding, staffing levels,
and education and training of staff increases the capacity to adopt and deploy technological
innovations.
Both the size of an agency, the number of staff working full time on a particular problem area,
and the education and training of that staff are important factors in the ability to innovate. In
particular, with technological innovations, the "in-house" technical expertise and experience are
critical for effectively deploying and adapting new technologies. Agency funding is another key
determinant of the possibilities for innovation, both in terms of overall agency funding, and the
level of funding allocated to certain program areas, as discussed in the next proposition.
Prior experience with technological innovation may also be a component of internal resources,
having developed the expertise and tacit knowledge required to innovate technologically.
Technological innovation may also be a triggering device for more fundamental organizational
and advanced technological change; thus prior experience with innovation will increase levels of
IIDAPT. While technologies may be adopted as a simple tool for efficiency gains in existing
operations and tasks, continued use of a new technology may provide the impetus and
opportunity for deeper change. As technologies are incorporated into an organization's
repertoire of capabilities and tasks, they can create possibilities for organizational change and
146
innovation. Therefore, agencies are more likely to achieve higher levels of IIDAPT - which
requires not only innovation, but coordination with other agencies and assessment of its impacts
- if they already have a solid base of experience with technological innovation. This represents a
form of "path dependence" of technological development and innovation, where early successes
or failures in deployment will help determine the path for the future direction of innovation.
This suggests that across the cases, individual agencies 
with more experience with innovation,
will tend to be more likely to innovate again.
An agency's internal resources - staffing levels, funding, education and training of the staff -
would not only lead to greater innovation, but would likely increase the amount of assessment
that is undertaken.
Proposition 3: Dedicated resources to specific categories of programs or project will lead to
more innovation in that area.
In addition to the general funding categories available to an agency, the federal government can
also provide "carrots" or targeted incentives for adopting and implementing certain types of
programs or projects. These incentives will often come with conditions for their use and for
which types of projects are considered eligible. Or, agencies can create their own "set-asides" of
funding amounts dedicated to specific areas. Agencies with access to a larger "pool" of "slack"
resources open to particular categories of non-traditional activities, will be more likely to
develop innovative approaches, than if those funds had to compete with a broader range of more
traditional activities. As a corollary, if the requirements for accessing those funding categories
requires addressing multiple policy goals, beyond the core mission of the implementing agency,
then the probability for integrated innovation will increase.
Proposition 4: Lower cost innovations will be more likely to be deployed.
While not specifically discussed in the theory, it is reasonable to further suggest that low-cost
innovations will be easier to deploy, as they presumably do not overly strain the resource levels
of agencies. Sapat, for example, suggested that resource-poor agencies might innovate to create
resources for themselves. We could extend this concept to suggest that agencies may also
innovate more frequently with less expensive technologies. In addition, failure of a lower-cost
innovation would not have the same negative repercussions with elected officials or the public,
compared to the situation when this "experimentation" were to be undertaken at a much greater
cost that would be more visible to the public. Therefore, agencies might be more willing to try
using low-cost alternatives.
Proposition 5: Cooperation between agencies is more likely if there are perceived mutual
benefits to be gained from the innovation.
Mutual benefits can be defined in several ways. First, mutual benefits can represent the outcome
of addressing natural or created interdependencies between organizations in ways that are
acceptable to each organization. Interdependencies can be the result of overlapping jurisdictions
and problem domains, or can be created by higher levels of government. The goals of
147
environmental agencies "naturally" depend on what the transportation agencies do - decisions on
road building can bring more cars, congestion, and emissions. However, the local and state
transportation agencies do not "naturally" depend on the state and local environmental agencies,
unless there are regulatory levers like the conformity requirements, created by the federal
government. Conformity links the ability of transportation agencies to access funding or
implement plans and programs, to whether they meet environmental and air quality 
goals,
therefore creating a new interdependency. For example, returning to Lindblom's idea of the
process of mutual adjustment, mutual benefits can be, at the very minimum, simply avoiding or
ceasing activities that have a negative impact on the other agencies.'
0 6 
If there are strong
interdependencies between the agencies, the possibilities for mutual benefits from cooperation
increase. If a technology, such as ITS, can generate both air quality benefits and congestion
mitigation and mobility benefits, there would be mutual benefits from cooperation between air
quality agencies and transportation agencies.
Unfortunately, the above description represents mutual benefits in an overly superficial manner,
defining mutual benefits according to the organizational mission or stated policy goals of public
sector organizations. At a deeper level, mutual benefits must reflect actions that can advance the
interests of the organizations. We will return to this idea frequently in later chapters.
Proposition 6: The likelihood of integrated innovation falls as the number of organizations with
a stake or role in the innovation increases.
As the number of agencies - whose interests are directly or indirectly affected by the
implementation of an innovation - grows, the probability of successfully carrying out that
innovation decreases. To begin with, the complexity of joint action increases the opportunities
for failure to occur at one or another decision point, whether 
in terms of funding, approval,
implementation, or operation. In addition, looking at multi-agency cooperation from a different
perspective, one can also suggest that cooperation between a smaller 
number of players is easier,
because the opportunities for free-riding are diminished.
107 
As the number of actors working
toward common policy goals increases, individual organizations may feel less pressure to
contribute than if working in a more closed context where there is better information and
enforcement of the contributions of each individual organization.
Proposition 7: The availability of new and better information will lead to adaptation of
programs and projects to improve outcomes.
The conventional wisdom within the technical and scientific community is that better and more
information will lead to adaptation and modification of existing programs to improve outcomes.
Some scholars, such as Zuckerman, have found that that is not necessarily the case, at least in
106 Although seemingly straightforward, simply 
removing contradictions between different policies, 
carried out be
agencies from different sectors, is highly difficult to do in practice.
107 The "free-rider problem" represents the 
attempts of individuals, organizations, countries, 
etc., to rely on the
efforts or investments of others to provide a public or collective good, and then reap the benefits that that public
good brings to all, assuming that they cannot be excluded from enjoying the public good. The outcome of the "free-
rider problem" is under-provision of public goods.
148
terms of regulatory policy. On the other hand, scholars looking at innovations at the state and
local levels, such as Golden and Behn, have found agencies and their managers to have 
a bias
toward "rich information" regarding innovations and their outcomes. However, for the case 
of
IIDAPT, outcomes are more difficult to define. We are looking at innovations with 
multiple
policy goals and outcomes, meaning that an innovation may be successful according to some
objectives, while perhaps being even detrimental according to other objectives. Therefore, the
cases should be analyzed for how different information sets, analyzing different outcomes, are
used. While information on some outcomes 
of a technology may be intensively used,
information on other outcomes may be disregarded.
Assessment of technologies will generally have a mixed role. In some cases it may be used to
justify or provide additional support to projects, or establish eligibility for funding. In other
cases, it may be used in an effort to reduce the uncertainty about the impacts of technologies.
Among organizations facing similar issues, it can also serve to diffuse ideas, experiences, best
practices, and innovations. In many cases, assessments and evaluations are simply 
to fulfill
reporting requirements. Determining whether evaluations are "honest" appraisals of outcomes or
advocacy or justification for "favored" projects and programs, will be difficult. Looking at the
quality of the assessment used, the rigor and transparency 
with which the assessment is done,
and whether there are systematic biases created by the methodologies used, can provide some
evidence. Yet, without a full "insider's knowledge" of the process, it is nearly impossible to
ascertain the true intent behind an assessment.
That said, in the absence of explicitly or tacitly accepted methodologies for assessing and
evaluating the impacts of technological innovations, it is difficult to produce and incorporate new
information into the design of future technology deployments involving multiple agencies.
Indeed, the lack of widely accepted assessment approaches may, in some cases, actually hinder
the process of Integrated Innovation, Deployment and Adaptation of Public 
Technologies, if the
beneficial outcomes of these innovations and "experiments" cannot be demonstrated in a way
that is convincing to all partners involved. Yet, "agreement" or "consensus" on modeling
approaches does not necessarily mean that those modeling approaches are the most accurate or
reliable means for arriving at the "truth." Indeed, it is possible to agree on a sub-optimal or
inferior approach (from the scientific/technical perspective) or an approach that ignores critical
uncertainties, in attempting to find a methodology that suits the needs of all agencies.
Furthermore, innovation and assessment will more likely occur if it can be oriented 
toward short-
term impacts, because assessments will generally perform better in evaluating short-term 
impacts
rather than long-term impacts. As noted earlier, there is a general phenomenon of myopia 
in the
assessment of technologies and their impacts. While short-term impacts can be 
evaluated with
relative certainty, the long-term repercussions, because they cannot be explicitly 
modeled, will
often be ignored or downplayed. Furthermore, the preference for organizations and politicians to
show results of innovations sooner rather than later, will further amplify this focus 
on the
concrete, short-term benefits, even if at the expense of more serious (but less uncertain) 
long-
term consequences. Therefore, across the cases, we are likely 
to see a trend of directing
assessments, innovations and adaptation, in response to more short-term impacts.
149
We will attempt to test whether more and newer information leads to adaptation of innovations.
This information can be generated: (a) internally by the agencies themselves, (b) by consultants
under contract to the agencies, (c) from reviews undertaken by higher-level agencies such as the
FHWA, or (d) by universities, research institutes or other organizations under contract to
agencies or undertaking the research independently. We will consider all of this information as
relevant. Yet, as described above, it may be used in different ways by the innovation-
implementing agencies.
4.5.4.2 Relationship between Conditions and IIDAPT outcomes
We have described seven conditions for IIDAPT. These conditions affect the level of
cooperation, innovation, assessment and adaptation, which together determine the overall level
of IIDAPT. However, there are also important interconnections between the conditions
themselves, as mentioned above. These connections are illustrated in Figure 4-1. While the
solid lines are the relationships already described by the theory, for comprehensiveness, we also
describe below the secondary links between conditions (shown as dotted lines in Figure 4-1).
Reviewing Figure 4-1 from left to right, a larger number of agencies or organizations involved in
IIDAPT can have two effects, in addition to the direct effect on cooperation. First, as the number
of agencies involved grows, the possibility for finding mutual benefits that are acceptable to all,
becomes smaller. Each agency brings their set of policy preferences and goals, meaning that the
potential for conflicts between those goals also increases.
Figure 4-1 Relationship between seven conditions and IIDAPT
Problem severity, as described earlier, is a relatively straightforward condition; it provides both
the need and motivation to innovate. This is the direct link from problem severity to innovation.
Moreover, problem severity can also lead agencies, elected officials, or higher-level government
agencies to allocate additional resources to this problem area. This pool of dedicated 
resources
available to agencies can create a resource for enabling needed innovation. However, 
it can also
150
become another source of mutual benefits. This series of links from problem severity to
dedicated resources to the problem to mutual benefits can lead to the creation of somewhat
perverse incentives. Rather than mutual benefits deriving from the beneficial outcomes that
certain innovations can bring to agencies and society by addressing critical problems, the mutual
benefits become embodied in the dedicated resources that are created to solve those problems.
Therefore, the search for innovations may be motivated not by the need to address an important
problem, but how best to access the funding pool created to address that problem.
Perceptions of mutual benefits can also be affected by the generation of new information, which
may better clarify the nature of those "mutual benefits. This influence can either be positive or
negative. New information can either reinforce original agency attitudes regarding the so-called
"win-win" possibilities from 
certain technology deployments. 
However, new information 
can
also highlight potential conflicts and difficulties in actual meeting the multiple policy goals and
agency objectives that those technology deployments were intended to address. New
information can therefore change the perceptions of individual agencies regarding what they
stand to gain, or even possibly lose, from a particular innovation. So, new information can alter
the perceptions of mutual benefits, and thus the possibilities for successful cooperation.
These relationships clearly make the process of operationalizing and testing these conditions
difficult. However, we argue that by using the case study methodology, we can look closely at
these interconnections as well, and determine to what extent they are important or not.
4.5.4.3 Testing the Theoretical Structure
We have reviewed how to describe and measure actual IIDAPT outcomes, and then outlined
seven theoretical conditions that influence these outcomes. The next step is to test how well the
theoretical structure, shown in Figure 4-1, performs when comparing "predicted" to "measured"
IIDAPT levels, as determined through detailed case study work. Basically, we will compare
what the theory "predicts" the IIDAPT levels would be - based upon the seven conditions - to
actual IIDAPT levels.
151
Table 4-5 Comparing theory and outcomes
Predicted IIDAPT
Seven conditions "Predicted" outcomes Actual IIDAPT
from theory based on seven conditions
Houston, TX 1. Problem severity Qualitative description of Qualitative description of IIDAPT
2. Internal resources "predicted" IIDAPT supported by
3. Dedicated resources according to levels of: Summary measure of IIDAPT =
4. Cost * Cooperation AL * R * I
5. Mutual benefits * Innovation * Average level (AL)
6. Number of agencies * Assessment 
* Range (R)
7. New information * 
Adaptation * 
Intensity (I)
(see Table 4-1) (see Table 4-4)
Los Angeles, CA (same as above) (same as above) (same as above)
Boston, MA ... _......
Orlando, FL .........
Tulsa, OK ... _... .
As illustrated in Table 4-5, we will qualitatively compare predicted to actual IIDAPT for each of
the case study cities, in order to see to what extent the two descriptions concur or differ. This
will both test how well the theoretical framework we have developed performs, and identify
areas for further refinement of the theory. Because the seven conditions can be described only
through a combination of qualitative and quantitative data, the predicted outcomes will
necessarily be qualitative descriptions based upon those conditions. The theory reviewed in this
chapter, and summarized in the propositions, will be used to make a qualitative prediction of
IIDAPT based upon the seven conditions (the solid lines in Figure 4-1).
However, because the actual outcomes are based on deployments identified in the case study
work, we can introduce some additional rigor into that measurement, and quantify IIDAPT levels
(as described in Table 4-2 through Table 4-4). However, these quantitative measures will
support the overarching qualitative description of IIDAPT. This qualitative description is
important to ensure that we are not excluding pertinent information that may be incorporated into
future improvements to the theory. While Table 4-5 summarizes how the final comparison will
be made across the cases, Figure 4-2 diagrams the full analytical process for using the case study
material to derive measures for both actual IIDAPT levels and the conditions that influence
IIDAPT. It also highlights the process of scaling up from measuring IIDAPT at the level of an
individual technology deployment, 
to the metropolitan level.
108
108s For this research, we are interested in 
trends at the metropolitan level, and explaining 
the differences between
U.S. cities. This is because ITS and air quality are necessarily a metropolitan or regional issue. However, this
scaling-up process to the metropolitan level may not be a necessary step when looking at other technologies/sectors
with more localized impacts.
152
Figure 4-2 Process for measuring IIDAPT conditions and outcomes
Case studies for five U.S. metropolitan areas
Qualitatively describe
"representative" IIDAPT.
See Table 4-1
IL
j.L
Translate description of IIDAPT
into numerical ranking
See Table 4-2
Actual IIDAPT outcomes for each case
Detailed qualitative 
description
us orted b three 
uantitative measures
pFp . n "q
Average level oflIDAPT
Range of lIDAPT
Intensity of lDAPT
Comparison of "actual" and "predicted" IIDAPT outcomes. See Table 4-5.
.<,)-.
Predicted levels of IIDAPT
Described qualitatively based on seven conditions below
Il .AI -
Case studies for five U.S.
metropolitan areas
APT Framework
ories of cooperation,
vation, assessment
and adaptation. Based
on literature in Ch 4.
See Figure 4-1.
153
Scale up measure of IIDAPT from
representative technologies to
metropolitan level
See Table 4-3
1 '
1~
Because the case study work has been used as a basis to measure IIDAPT outcomes (our
dependent variable), and to measure the conditions that determine those outcomes (our
independent variable), those measures must be produced in a rigorous and reproducible manner.
For this reason, we have quantified the measures of actual IIDAPT outcomes to the extent
possible, and will also partially quantify the seven conditions (with the exception of those
conditions that are not amenable to quantification in an accurate and reasonable manner).
Although the author undertook the case study research that produced both the measures for both
outcomes and conditions, we use clear measures and descriptions of each that can be
independently confirmed or contested by other researchers.
10 9 
By following the more rigorous
analytical process summarized in Figure 4-2, we will be transparent about the steps used to
described the conditions, the predicted IIDAPT levels, and the actual IIDAPT levels, therefore
supporting the validity of the results and conclusions of this thesis.
109 This research could be confirmed or contested either by reinterpreting the information provided by the author in
the full case study descriptions in Chapter 5 and actual calculations of IIDAPT levels in Appendix E, or introduce
additional information not previously considered. This could be used to challenge the descriptions and measures of
both the actual outcomes and conditions. In terms of the determining the validity of the theoretical framework
developed here, this could be confirmed or contested by introducing new theory from the literature, or applying the
theoretical framework to additional cases.
154
4.6 SUMMARY
In the following chapters, we will test the conditions that we hypothesize contribute to higher or
lower levels of Integrated Innovation, Deployment and Adaptation of Public Technologies
(IIDAPT). We have reviewed and synthesized a large body of 
literature from political science,
public administration, organizational theory into three areas - innovation 
in government,
cooperation for multiple policy benefits, and assessment and adaptation of new technologies.
We then used this literature to identify seven conditions: (1) problem severity, (2) internal
resources, (3) dedicated resources, (4) mutual benefits, (5) cost, (6) number of agencies, and (7)
new information. The proposed linkages between IIDAPT and the conditions that influence it
have been described in detail in Figure 4-1. We have also developed a process for describing
and measuring actual IIDAPT levels in Figure 4-2.
In the section on the appropriateness of the case study approach, we have described some of the
theoretical contributions, in terms of theory building and testing. However, it is also useful to
describe some of the more practical contributions we hope to make through this research. The
objective of this research is to identify certain conditions that may inhibit or support IIDAPT.
This has an important contribution to practice, as it can provide guidance to public sector
agencies wishing to undertake IIDAPT, highlighting what conditions can increase the levels of
IIDAPT that are possible. It can also show where IIDAPT may be unlikely to occur, and where
it would be necessary to change those conditions. By applying and testing the conditions to the
case studies, we also hope to identify which conditions can, in fact, be changed through policy
interventions, and what types of changes seem most effective.
After Chapter 6, we will take the next step of applying this framework to evaluate its relevance
and usefulness to informing policy. In Chapter 7, we will apply the results of the five US case
study cities to a non-US context - the case of ITS and air quality in the Mexico City
Metropolitan Area. The purpose will be to assess the possibilities for undertaking IIDAPT in
Mexico City, based upon our theoretical framework, and recommend possible changes to create
more favorable conditions for IIDAPT to occur. Given the enormous transportation and air
quality challenges Mexico City is facing, and the fact that public sector agencies are beginning to
use ITS more intensively in traffic and transit management, this research could provide timely
advice regarding ways to leverage ITS for both air quality and mobility improvements. While
we choose the same technology and issue domain - ITS and air quality - we will apply it to a
very different geographic, organizational, and institutional context, where the seven conditions
should vary substantially.
We will now turn to Chapter 5, where we review five case study cities in order to assess to what
extent metropolitan areas have been able to overcome the barriers to producing "win-win"
situations, in which the mobility benefits and air quality impacts of Intelligent Transportation
Systems are actually co-produced. This chapter will provide the broader context for
transportation and air quality planning in each city, and introduce the data that will be used to
describe and measure IIDAPT outcomes. Then, in Chapter 6, we will apply theoretical
framework described here and summarized in Table 4-5, in order to test the relationships
between our seven conditions and outcomes for IIDAPT.
155
CHAPTER 5. U.S. CASE STUDIES IN ITS AND AIR QUALITY
5.1 INTRODUCTION
The hypothesis of this thesis is that there are identifiable conditions, 
varying from city to city,
that determine what levels of Integrated Innovation, Deployment and Adaptation of Public
Technologies (IIDAPT) can and will occur for ITS and air quality at the metropolitan level. One
of the key contributions of this thesis is to identify a set of possible conditions (Chapter 4) and
test these conditions for a sample of cities (Chapter 6). This current chapter has the primary
purpose of showing the data used in the case selection process, and providing the information
and background on the cases that will be necessary for testing them for the IIDAPT framework.
Five cities were chosen and analyzed using a combination of site visits with personal interviews,
reviews of transportation and air quality plans and programs, and various secondary analyses
from both the inside players and outside observers, ranging from program evaluations to press
articles. The use of the case study format is considered appropriate for this research, because of
the number of conditions we are testing (seven), the possibility for complex interactions between
those conditions, and the difficulties in fully quantifying the conditions. As noted by Krathwohl,
case studies are "ideal for illustrating the complexity of causation" (Krathwohl 1997). We chose
five US cities through a process of "purposive sampling," rather than taking a random sample of
all US metropolitan areas (from the 78 total metropolitan areas for which aggregate data was
available).
The structure of the chapter is as follows. First, we describe the indicators used to select the five
case study cities used to test our IIDAPT framework (Section 5.2). Second, we will explain the
case selection process and discuss the general approach used for the fieldwork (Section 5.3).
Third, we provide the background information on each of the five case cities (Sections 5.4 to
5.8), that will be used in the testing of the cases in Chapter 6. We divide the case descriptions
into four main parts: (1) general background, (2) recent history of air quality management and
control of mobile source emissions, (3) ITS deployment trends, and (4) linkages between ITS
technologies and air quality management strategies.
157
5.2 INDICATORS FOR ITS DEPLOYMENT AND AIR QUALITY LEVELS
Before moving into the individual case studies, we will first explore the data on ITS and air
quality for 78 medium-large metropolitan areas in the US, and discuss both its general
implications, and how this data was used to select case studies. The metropolitan areas used in
the analysis are the 78 medium-large metropolitan areas covered in the ITS Deployment
Tracking database, which will be described below.
5.2.1 Air Quality
For these 78 metropolitan areas, the most recent ozone non-attainment classification was used as
an indicator of air quality. From a public health standpoint, using the ozone non-attainment level
does not necessarily reflect the degree of risk from air pollution, since it only focuses on one of
the criteria pollutants, and does not include other air pollution risks such as fine particulates
(PM
2
.
5
) and air toxics. A more comprehensive indicator for public health purposes would be the
Air Quality Index (AQI) which integrates measurements of five of the six criteria pollutants
(excluding lead) into a single indicator, where an AQI greater than 100 means that at least one
pollutant was exceeded for the day (U.S. Environmental Protection Agency 2004). Since our
interest lies in the institutional and organizational impact of more stringent air quality
regulations, rather than air quality as such, the 1-hour ozone non-attainment classification
provides a good indicator for the severity of the air quality problem from the regulatory
standpoint.
Until the 1990 Clean Air Act Amendments, an area was declared in either attainment or non-
attainment for air quality standards. The 1990 CAAA differentiated areas according to the level
of severity of their air quality problem, which would then determine the schedule and deadline
for bringing the area into attainment. The ozone non-attainment designations are determined by
the EPA according to the "design value" for 1-hour ozone, where the design value represents the
fourth-highest monitored value for three complete years of monitoring. This method allows for
one "exceedance" per year. Therefore, an area is determined to meet the NAAQS, and thus be in
attainment if the ozone 1-hour standard is not exceeded more than one day a year on average for
three years. The fourth exceedance within a three-year period triggers non-attainment status, and
the design value 
is based on that 
measure.1
10
10 This methodology is outlined in the "Laxton Memorandum" (40 CFR Part 81). William G. Laxton (1990).
Director of the Technical Support Division of the EPA's Office of Air Quality Planning and Standards, sent to
directors of the EPA's 10 regional offices. See www.epa.gov/oar/oaqps/greenbk/laxton.html. Last accessed May
30, 2005.
158
Table 5-1 1-hour ozone classifications and attainment dates
Nonattainment Design Value Must meet
Classification standards by:
Extreme 0.280 ppm and above 2010
Severe-17 0.190 up to 0.280 ppm 2007
Severe-15 0.180 up to 0.190 ppm 2005
Serious 0.160 up to 0.180 ppm 1999
Moderate 0.138 up to 0.160 ppm 1996
Marginal 0.121 up to 0.138 ppm 1993
Submarginal
1
"' less than 0.121 ppm
& Section 185A
1
"
2
Source: 1990 CAAA, Section 181, Table 1
(U.S. Environmental Protection Agency 1991)
As our indicator for the severity of the air quality problem, we will use the non-attainment
classifications established in the Congressional Federal Register on November 6, 1991, although
this includes some areas that have since returned to attainment status (U.S. Environmental
Protection Agency 1991; U.S. Environmental Protection Agency 2004). Some areas have
returned to attainment more recently, while some were re-designated as attainment within a few
years after the 1991 designations. For example, St. Louis, 
Birmingham, San Diego, Denver,
Louisville and Pittsburgh have all been re-designated to attainment status within the past few
years. On the other hand, the State of Ohio, with the exception of Cincinnati, was able to bring
its marginal and moderate 1-hour ozone metropolitan areas (5 in total) back to attainment by
1996. Nevertheless, the majority of the non-attainment areas used in this analysis (32 of 56)
were non-attainment for at least 10 years between 1992 and 2004. Furthermore, as seen in
Figure 5-1, no "severe" or "extreme" areas, and only two "serious" non-attainment areas, have
been re-designated to attainment; those areas with the most movement from nonattainment to
attainment status are in the categories of submarginal, marginal, and moderate.
11 According to the EPA's definition: "Kansas City was the only area classified submarginal, but it has been re-
designated attainment. This category includes areas that violate the ozone standard and have a design value of less
than 0.121 parts per million. This occurs when there is not a complete set of data so that the estimated design value
is higher than the ozone standard exceedance rate of 1.0 per year even though the estimated design value is less than
the level of the standard."
112 These areas, referring to Section 
185A of the 1990 CAAA, are defined 
as the following: "an area designated 
as
an ozone non-attainment area as of the date of enactment of the Clean Air Act Amendments of 1990 has not violated
the national primary ambient air quality standard for ozone for the 36-month 
period commencing on January 1,
1987, and ending on December 31, 1989."
159
Figure 5-1 Re-designated areas by level of non-attainment
52
Classification 
#Areas Redesignated
Attainment 22 N/A
Submarginal/ 
< 20
Section 185A 4 4
Marginal 14 9 , 15
Moderate 17 16
Serious 9 2 10
Severe-15 6 0
Severe-17 4 0
S5
Extreme 2 0
TOTAL 78 31 0
0
Source: (U.S. Environmental 
Protection Agency 2004)
11 3
5.2.2 ITS Deployment
Our other variable of interest is the level or intensity of ITS deployment in a metropolitan area.
This variable represents the extent to which the elements in a metropolitan transportation system
- including freeways, arterial streets, transit, and even individual drivers - are actively
"managed" using real-time information 
on the status of the transportation system 
performance.
Compared to air quality, measuring ITS deployment is substantially more complicated. While
air quality measures have the advantage of being relatively standardized in terms of monitoring
and reporting for regulatory purposes, there is no accepted measure of the ITS intensity of a
metropolitan area.
One approach to measuring levels of deployment of ITS in US cities would be to track the
spending levels on ITS (for example, as a percentage of total transportation spending or per
capita spending on ITS). However, breaking out the portion of total transportation spending on
ITS has important barriers. First, funding of ITS projects usually requires a complex mix of
federal, state and local money, and the categories for those funds vary widely in name and
content from one area to another, making aggregation across funding categories difficult. Even
looking only at federal aid funding, ITS can be funded through specific ITS earmarks,
Congestion Management and Air Quality (CMAQ) program funds, Surface Transportation
Program (STP) funds, and the larger highway and transit funding categories. Yet, ITS is usually
only a small portion of each of those funding categories. Second, ITS is often incorporated as
part of a larger traditional infrastructure projects, making it difficult to determine spending levels
for the ITS components alone. For example, many agencies are now installing cameras, VMS
and fiber optic cable at the same time that a highway is built or expanded. However, the costs of
113 Also see www.eva.Lov/oar/oaaDs/~reenbk/anav.htmrnl.
160
__
the ITS components are usually bundled in the total project costs. Accurately estimating ITS
expenditures would require a project-by-project breakdown of the ITS content of each project.
Finally, in contrast to traditional infrastructure projects, operational costs for ITS are a more
significant fraction of overall project cost. These costs are also harder to track looking at
transportation programs and plans.
The ITS Deployment Tracking 
database, maintained by the USDOT's 
Joint Program Office,
114
provides a large amount of data, collected and reported using a uniform format, on ITS
deployments for 78 of the largest metropolitan areas in the US. Table 5-2 shows the categories
of ITS indicators.
"'4 The database is available at http://itsdeployment2.ed.ornl.gov/its2002/. 
Last accessed November 15, 2005. Also
see summary reports on each metropolitan area.
Table 5-2 ITS deployment indicators
Fixed route buses that accept electronic fare payment *
Rail transit stations that accept electronic payment
Arterial miles covered by HAR
Arterial miles covered by VMS
Signalized intersections covered by electronic surveillance
Signalized intersections under centralized or closed loop control *
Emergency managagement vehicles under CAD *
Emergency managagement vehicles with in-vehicle navigation capability
Arterial miles covered by CCTV
Arterial miles covered by free cellular phone call to a dedicated number
Arterial miles covered by incident detection algorithms
Arterial miles covered by service patrols *
Freeway miles covered by CCTV
Freeway miles covered by free cellular phone call to a dedicated number
Freeway miles covered by incident detection algorithms
Freeway miles covered by service patrols *
E toll c ollection le 
wt,
Toll collection lanes with ETC *
Toll collection plazas with ETC
Freeway miles covered by HAR
Freeway miles covered by VMS
Freeway miles under electronic surveillance *
Freeway miles managed by lane control
Ramps controlled by ramp meter
HRI under electronic surveillance *
Fixed route transfer locations with electronic display of information
Fixed route vehicles with AVL *
Fixed route vehicles with electronic monitoring of vehicle components
Paratransit vehicles under CAD
Freeway management agencies disseminating information to the public *
Methods used
Methods used for more than two modes
Source: (Oak Ridge National Laboratory 2004)
The data is survey based, including all state, county and city agencies falling under the categories
of freeway management, arterial management, fire rescue, law enforcement and transit
162
management. The number of surveys sent out to each metropolitan 
area therefore varies widely,
from 12 agencies surveyed in Tulsa, Oklahoma, to nearly 60 agencies in Los Angeles, and as
will be discussed, the response rate is high. Although the data is comprehensive, there are still
several important issues in using the data from the ITS deployment database.
a Which Technologies? Given the number and diversity 
of ITS applications, the most basic
issue is simply deciding which technologies or functions to include or not in a measure of ITS.
This is compounded by the fact that new technologies are continuously emerging, with new
technologies being developed and older technologies becoming obsolete. For consistency of
comparison across years, the definitions of the technologies' functions used here are held
constant, for example, "freeway management agencies disseminating information to the public"
rather than focusing on the technology used to disseminate that information, such as internet,
email alerts, text messaging, telephone, or kiosks.
* Effectiveness/Intensity of Usage. Simply having a particular 
technology installed does not
guarantee that the technology is used effectively or intensively. This can vary widely over time
and between cities. To illustrate, variable message signs, which can provide real-time
information and instructions to drivers can vary widely in terms of their intensity of use (how
often are messages updated, how many organizations can input messages), and effectiveness of
use (how relevant and accurate is that information, how effective are messages at rerouting
traffic, or whether the messages are even related to traffic or are simply general public
announcements). For this reason, the indicator can be considered only a rough scale of ITS
deployment levels, instead of using it to make detailed comparisons between cities.
As an example of the difference between deployment levels and effectiveness (or perceived
effectiveness), Chicago is looking toward Houston and Los Angeles as representing "best
practices" in ITS and traffic management,
115 
although the indicators show Chicago with slightly
higher levels of deployment than Houston, and substantially higher levels than Los Angeles.
Furthermore, although Los Angeles is frequently cited as an example of advanced use of ITS
technologies, its ranking according to the ITS summary indicator is, in fact, low. This can also
be due to the size of the city, as will be discussed below.
0 Normalizing. Finally, there is the issue of comparison of ITS deployment 
across different
cities, and how to normalize ITS deployments for the size of the metropolitan area, and other
factors such as modal split and demographics. One can either normalize ITS deployments using
population or the amount of traditional transportation infrastructure, i.e. freeway miles, arterial
miles, number of buses, number of stations, or number of toll collection plazas. While
normalizing ITS to population would theoretically give a sense of the amount of ITS services
available to individuals, in most cases, normalizing ITS deployments to infrastructure is a more
appropriate measure, as it indicates the level of ITS deployment that is physically possible in
terms of freeway or arterial miles covered or percentage of buses with ITS installed. Using the
115 Chicago officials visited ITS traffic operations 
centers in Houston and Los Angeles in preparation 
for the
restructuring of the Traffic Management Center of the City of Chicago's Office of Emergency Management and
Communications. According to the Chicago Tribune, "Chicago may take some high-tech tips from Houson, L.A."
Hilkevitch, J., "City believes traffic is ready for reform," Chicago Tribune, March 6, 2005.
163
percentage of infrastructure covered could create a bias, with smaller cities showing relatively
higher levels of ITS coverage, and larger cities with lower coverage. This would be due more to
the relative amount of traditional physical infrastructure in place than to the amount of ITS
deployed. Figure 5-2 indicates that the relationship may be an inverted U-shape, with ITS
deployment coverage increasing with city population until a certain point, when the size of a
metropolitan area makes extensive coverage of a city's infrastructure increasingly difficult.
Figure 5-2 ITS deployment and population
100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
0 2 4 6 8 10 12 14 16 18 20 22
Metropolitan Statistical Area Population (1996) (in millions)
* Aggregation. In order to develop a single metric for ITS deployment levels, we have used a
summary indicator, based upon the ten primary indicators used by the ITS Deployment Tracking
Database to summarize deployment levels. These ten indicators are identified by a star (*) in
Table 5-2. This summary indicator represents the average percent deployment across these ten
categories. This avoids to some extent the possibility of double counting, in particular, the
double counting of "no responses" from the same agency. As seen in Figure 5-3, the summary
indicator used here is a good proxy for a full indicator that would incorporate all 31 categories
listed in Table 5-2.
* Response Rate. The ITS deployment database 
has the advantage of both a relatively high
response rate, and several years of collecting the same data from the same organizations (for the
164
years 1997, 1999, 2000, and 2002).116"' Only Orlando, Hampton Roads, Baltimore, Tulsa, San
Juan fell below 75% response rate for all 29 categories for 2002. However, the use of the
summary indicator (for 10 categories) mitigates possible problems with no responses, since the
summary indicator does not include the categories most frequently reporting no-response.
Furthermore, because multiple years are collected, a "no response" can be compared with earlier
years. "No responses" were treated here as 0% deployment. Looking at several cities, and
comparing to results from earlier years, that seems to be a reasonable assumption, meaning that
agencies typically did not respond because they had nothing to report. Only 2002 deployment
data is used in the analysis, since this represents the cumulative ITS deployment undertaken
during the mid to late-1990s (assuming that most ITS deployments will be maintained, if not
expanded).
Figure 5-3 Comparison of summary ITS indicator and full ITS indicator (2002 survey)
0% 5% 10% 15% 20% 25% 30%
Full Set of ITS Indicators
35% 40% 45%
Using the summary indicators for ITS coverage, the 78 metropolitan areas in this analysis can be
divided into three categories: (1) high ITS deployment with 40% or greater infrastructure
coverage,117 (2) medium ITS deployment with 20%-39% infrastructure coverage, and (1) low
ITS deployment with less than 20% infrastructure coverage. As can be seen in Table 5-3, the
majority of the cities fall within the medium ITS deployment category.
16 Data for the 2004 deployment survey became publicly 
available in the summer of 2005. However, the 
cases had
already been chosen that the fieldwork underway when the data was released. Therefore, the data presented here is
from the 2002 survey, unless otherwise noted.
"7 The highest level is that of Washington, 
DC with 60% ITS coverage.
165
70%
. 60%
.E 50%
o
0
" 40%
S20%
EU
.0
9 30%
0%
_a 20%
E: 10%
E
0%
Table 5-3 Classification of metropolitan areas by level of ITS deployment
HIGH (25 areas) MEDIUM (39 areas) LOW (13 areas)
(40% or greater) (20%-39%) (0%-19%)
Washington, DC
Detroit, MI
San Antonio, TX
Cincinnati, OH
Portland, OR
San Francisco, CA
Chicago, IL
Miami, FL
Salt Lake City, UT
Minneapolis-St. Paul, MN
Greensboro, NC
Allentown, PA
Atlanta, GA
Milwaukee, WI
Sacramento, CA
Orlando, FL
Houston, TX
Columbus, OH
Seattle, WA
Philadelphia, PA
New York, NY
Phoenix, AZ
Syracuse, NY
Tucson, AZ
Indianapolis, IN
New Orleans, LA
Denver, CO
San Diego, CA
Kansas City, MO
Buffalo, NY
Albany, NY
Rochester, NY
El Paso, TX
Charleston, SC
Omaha, NE
Charlotte, NC
Dayton, OH
Hampton Roads, VA
Dallas-Fort Worth, TX
Fresno, CA
West Palm Beach, FL
Oklahoma City, OK
Los Angeles, CA
Las Vegas, NV
Hartford, CT
Boston, MA
New Haven, CT
Tampa, FL
Bakersfield, CA
Cleveland, OH
Austin, TX
Raleigh-Durham, NC
Wichita, KS
Little Rock, AR
St. Louis, MO
Greenville, SC
Toledo, OH
Jacksonville, FL
Richmond, VA
Nashville, TN
Birmingham, AL
Springfield, MA
Louisville, KY
Baltimore, MD
Knoxville, TN
Honolulu, HI
Pittsburgh, PA
Sarasota-Bradenton, FL
Youngstown, OH
Albuquerque, NM
Memphis, TN
Scranton, PA
Grand Rapids, MI
Providence, RI
Harrisburg, PA
Baton Rouge, LA
Tulsa, OK
The high levels of ITS deployment can be explained relatively easily for some cities, for
example, finding San Antonio, Seattle, and Phoenix with relatively high levels of ITS can be
explained by their participation in the federal MMDI program for integrated ITS deployment.
Salt Lake City can be explained in part by its preparation for hosting 
the Winter Olympics,
166
Washington, as the home of the FHWA and FTA, and Detroit, 
as the home of General Motors,
which helped sponsor many early pilot deployments of ITS. Houston, Chicago-Gary-
Milwaukee, and Southern California were also chosen for federal funding as "Priority Corridors"
for ITS deployment and integration. Success in obtaining Congressional earmarks for specific
projects and initiatives have also been an important factor for deployment of ITS in several
cities.
Congestion provides a motivation to look at all possible measures to improve travel time 
and
reliability of travel time. With increasing severity of congestion, ITS is seen as a tool to reduce
both recurrent and non-recurrent congestion. Therefore, in Figure 5-4, we show the relationship
between congestion levels and ITS deployment.
Figure 5-4 Congestion and ITS
70%
60%
50%
40%
30%
20%
10%
0%
1.10 1.20 1.30 1.40 1.50 1.60
Congestion Index (Travel Time Index, TTI)
1.70 1.80 1.90
The explanatory power of congestion is not as strong as might be expected (with an R-squared
value of 0.20). Congestion as an explanatory variable for why cities would have more or less
ITS, is also incomplete without air quality and other environmental factors also coming into play.
Many transportation agencies would prefer to continue their strategy of building additional
infrastructure to address congestion. However, air quality and other environmental regulatory
restrictions make that strategy increasingly harder to follow. Therefore, ITS is often used as a
measure or "delaying tactic" to mitigate congestion until additional infrastructure can be built or
even as a permanent solution to congestion in areas where environmental limits do not allow for
additional or expanded physical infrastructure.
167
1.00
Now that we have reviewed the indicators used for both air quality and ITS deployment levels,
we will now discuss how they are used to compare air quality and ITS for individual cities, and
to select cases.
5.2.3 Comparing ITS Deployment and Air Quality
Figure 5-5 shows how the 78 US metropolitan areas are distributed according to their ITS
deployment levels and air quality for 1-hour ozone according to the NAAQS. Using these
measurements of ITS coverage and ozone non-attainment levels, we can classify metropolitan
areas into different categories. In the upper right-hand quadrant of Figure 5-5, we find a
grouping of cities with major air quality issues as well as high levels of ITS deployment, which
includes many of the largest metropolitan areas such as New 
York, Chicago, Philadelphia,
Houston, Atlanta and Washington, DC. We would also expect that these cities would have the
greatest level of ITS due to restrictions on capacity expansion, and high levels of
experimentation with the use of ITS technologies as a tool for emissions reductions and air
quality improvements.
In the lower, left-hand quadrant, we observe the other end of the spectrum, cities with relatively
minor air quality problems, and only a minimal deployment of 
ITS, cities such as Tulsa,
Albuquerque, Harrisburg, Grand Rapids, and Knoxville. 
In doing case study analysis,
comparisons must be done carefully, since cities within the former 
category (high air quality,
high ITS) have a plethora of material documenting their actions and decisionmaking processes,
given both their struggles with air quality and relatively impressive levels of ITS deployment,
while cities within the former category (low air quality, low ITS) are only outstanding because of
their minimal problems with air quality and rather lukewarm embrace of ITS applications.
However, this category also deserves investigation, due to (1) the large number of cities that fall
within this category, (2) the contrast that cities such as Tulsa, Memphis and Birmingham provide
as counter cases to cities such as a Houston and New York, and (3) the fact that several of the
cities will likely begin to face more pressing air quality regulatory challenges with the
enforcement of the stricter 8-hour ozone and PM 2.5 national ambient air quality standards.
Although these cities have historically been in attainment with the 1-hour ozone standard, the 8-
hour ozone is a more difficult air quality standard to meet."
1 8 
Tulsa is chosen as a within this
category of low ITS, no air quality problems. Indeed, as will be discuss later, with the new 8-
hour ozone standard, Tulsa has come close to the borderline of becoming a non-attainment area
for the first time since the 1990 CAAA.
The other set of cities are those that have serious, severe or extreme air quality problems but
have deployed relatively little ITS, and cities that, on the other hand, have an absence of major
air quality concerns, but also have widely deployed ITS. One of the more interesting cases will
be that of Los Angeles, which despite persistently having the worst air quality in the country,
118 While the 1-hour ozone standard was 0.12 
ppm, measured in hourly readings, the 8-hour 
ozone standard is set
lower at 0.08 parts per million (ppm), taking the average over eight hours. EPA (2004). Fact Sheet: Clean Air Ozone
Rules of 2004, Final Rule Designating and Classifying Areas Not Meeting the National Air Quality Standard for 8-
Hour Ozone. See www.epa.gov/ozonedesignations/finrulefs.htm. Last accessed February 11, 2006. Webpage last
updated December 19, 2005.
168
appears to have lower than average levels of ITS deployment in terms of infrastructure coverage
compared to other cities. Although, as discussed earlier, the ITS deployment indicator may not
be an entirely accurate measure of a city's level and, more specifically, effectiveness of ITS, with
some biases against larger cities. Alternatively, there are a number of cities with major ITS
deployments, across all categories of ITS applications, and no major air quality concerns. This
includes cities such as Orlando, San Antonio, Salt Lake City, and Cincinnati. We will take the
case of Orlando to ask if in the absence of air quality concerns, they will utilize their well-
developed ITS infrastructure to pursue air quality benefits as well.
169
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5.2.3.1 Effect of Air Quality Regulation on ITS Deployment
Another interesting question is whether the effect of air quality regulations is significant enough
to identify a contribution to the overall level of ITS implementation. The decision to deploy any
single ITS technology is the result of number of factors, and as discussed 
in the previous chapter,
the level of experimentation with ITS for air quality purposes is dependent on many
organizational and institutional conditions. Poor air quality may provide a motivation to look
beyond traditional capacity expansion, which is increasingly seen as inducing additional vehicle
travel and thus greater emissions. ITS applications, in contrast, are often viewed by
transportation agencies as a way to mitigate congestion in a way that is beneficial or neutral to
air quality. For example, the case studies will show that many areas use ITS deployments as
emission reduction measures in their air quality plans, and have funded many ITS applications
through the Congestion Mitigation and Air Quality program federal fimunding category, which
requires estimates of emissions reductions. Figure 5-4 shows that congestion, measured using
the Travel Time Index (TTI)
119 
reported annually in the Texas Transportation Institute's Urban
Mobility Report, better predicts levels of ITS deployment than air quality.
5.2.3.2 The Effect of ITS on Air Quality
There is also the question of the effect of ITS on air quality, bringing us back to Chapters 2 and
3, which examined the possibilities of ITS to lead to emissions reductions (or increases in some
cases). However, by using the 1991 attainment/nonattainment designations and classification
and levels of ITS deployment since that time, we avoid this potential feedback loop.
Furthermore, if the 2002 CMAQ review by TRB is any guide (Transportation Research Board
2002), the answer will be that the impact on a metropolitan or regional level is small, and that
ITS probably has not been enough in itself to move an area to a lower non-attainment category or
into attainment status.
Instead of relying on a statistical analysis, the focus will be on carefully choosing a set of cases
that represent different combinations of levels of ITS deployment and air quality status (a
measure of problem severity, as described in Chapter 4).
119 The Travel Time Index measures the "ratio of travel time in the peak period to the travel time at free-flow
conditions" Schrank, D. and T. Lomax (2005). The 2005 Urban Mobility Report. College Station, TX, Texas
Transportation Institute. Therefore, taking the case of Los Angeles, a TTI of 1.75 means that a peak period trip
would be 75% longer than if that trip were taken during free-flow conditions. For example, a 30 minute free-flow
trip would take about 53 minutes during the peak period.
171
5.3 OVERVIEW OF CASE STUDIES
5.3.1 Selection of Case Studies
Cities were selected in order to represent a broad range of level of ITS coverage, from minimal
deployment of 10% infrastructure coverage in Tulsa, Oklahoma to 45% in Orlando, Florida and
Houston, TX,
120 
while also including cities from various ozone non-attainment classifications.
Two areas in attainment are included, while three non-attainment areas, including serious, severe
and extreme, are also included. Cities were also selected to show diversity in population, levels
of congestion, geographic region, and rates of population growth (see Table 5-4 and Figure 5-6).
While this allows for some diversity across levels of ITS deployment and air quality, it cannot be
asserted that the selected cases are representative of their categories.
We chose what would be considered two extreme cases, in terms of air quality problems as well
as existing levels of ITS deployment, and three other cities that were intended to (and did)
capture a range of IIDAPT outcomes. The five cities chosen were Los Angeles (California),
Houston (Texas), Boston (Massachusetts), Orlando (Florida), and Tulsa (Oklahoma). It should
be noted, that because the levels of IIDAPT for each city could only be assessed after the
fieldwork was completed and the cases were analyzed, cases could not have been chosen
purposefully to reflect a range of IIDAPT outcomes. But, we found that the cases also presented
a good distribution of IIDAPT outcomes from low to high.
120 Comparing the results of Houston's 
deployment for earlier years, it 
appears that there may have 
been some
underreporting in 2002, in particular, in the number of signalized intersections under centralized or closed-loop
control.
172
Table 5-4 Comparison of cities selected for case studies
Boston, MA Houston, TX Los Angeles, CA Orlando, FL Tulsa, OK
1991 Designation Serious Severe-17 Extreme Attainment Attainment
Level Medium High Medium High Low
Rank(of76) 45 15 43 15 76
Summary Indicator 30% 45% 31% 45% 10%
1990 4,133,895 3,767,335 11,273,720 1,224,852 761,019
2000 4,391,344 4,715,407 12,365,627 1,644,561 859,532
Rank (all MSAs) 10 8 2 30 53
Ave. annual growth 0.6% 2.3% 0.9% 3.0% 1.2%
Travel Time Index 1.34 1.42 1.75 1.30 1.10
Rank (of 85) 21 6 1 26 64
Sources.: Population
12 1 
from 1990 and 2000 Census (U.S. Census Bureau 2003); Ozone Designations
(U.S. Environmental Protection Agency 2004); ITS Deployment, author's calculations from (Oak Ridge
National Laboratory 2004); Congestion ranking and travel time index from 2003 data (Schrank and
Lomax 2005).
Figure 5-6 Geographic distribution of case studies
121 Population figures reflect the metropolitan 
statistical areas (MSAs) defined by the Office of 
Management and
Budget as of June 6, 2003: Boston-Cambridge-Quincy, Houston-Baytown-Sugar Land, Los Angeles-Long Beach-
Santa Ana, Orlando, and Tulsa. This figures may differ from the numbers used by the metropolitan planning
173
5.3.2 Methodology
Although the methods used for the cases have been discussed implicitly, we will briefly discuss
the methods used here in the more formal language of research design. The methods used in this
chapter represent a hybrid between a case study, which provides a highly detailed, intensive
account of a single case or closely related cases, and a survey, which involves the uniform
collection of information and data from a sample of people or organizations. Our approach
resembles a case study in the format by which the information will be presented for each city, as
well as the variety of data collection techniques employed, including analysis 
of documents,
interviews, and observation. However, whereas case studies typically focus on a single case or
small number of very similar cases, documented with highly specific detail and long-term
observation, we will explore five distinct cases with somewhat less detail for each case.
Therefore, in addition to detailed case description, we also look at a larger number of cases that
serve as appropriate comparisons or "counter-cases" to our thesis.
122 
This addresses the criticism
that arises when cases are chosen to reflect only desired outcomes (Robson 1993, p 61). In this
sense, the research lies more in the direction of a survey approach. Because of the relatively
small number of cases explored - five out of the population of 78 US metropolitan areas - we
have used what is called purposive sampling. Rather than random sampling, we have chosen our
five cases based upon various degrees of ITS deployment and air quality problems. This both
allows for deliberate and detailed comparison of cases, and increases the scope of data examined
(Robson 1993, p 61).
While a standard survey approach would utilize a uniform format for the interviews, we instead
used a more flexible "semi-structured" (i.e. open-ended questions) interview format, recognizing
the more exploratory nature of establishing the air quality-ITS relationships, gathering
information that could be used to describe our seven conditions, and identify other possible
conditions contributed to IIDAPT outcomes. The semi-structured interview was also more
appropriate given the diversity of organizations and individuals interviewed for each case. A
variety of additional data sources were used to supplement the information gathered in the
interviews, including primary sources such as long-range transportation plans, state air quality
implementation plans, transportation improvement plans, committee meeting minutes and public
comments, etc., and secondary sources such as published 
and non-published articles and reports,
external planning reviews, project evaluations, and newspaper articles.
5.3.3 Objectives of Interviews
The interviewees selected for each case include transportation planners, engineers and managers
of ITS and other operations programs, air quality program managers, participants in metropolitan
planning organizations (MPOs), and consultants. In nearly all cases, interviewees from state
DOTs, city and county transportation agencies, state air quality/environmental agencies, transit
agencies, and MPOs were included as the principal interviewees.
organizations. Most notably, the figures for Los Angeles do not include the population of Riverside-San
Bernardino-Ontario (2.6 million in 1990 and 3.3 million 2000).
122
174
General issues addressed in the interviews included, but were not limited to the following (see
Appendix D for the full interview protocol):
* Has the city experimented with ITS as a tool to reduce 
emissions and improve air quality?
* Which ITS applications are deployment at least 
partially justified or promoted by their
potential air quality impacts?
* Have evaluations of emissions impacts of ITS 
been undertaken, and what effect do those
evaluations have on future deployments or modifications to the system?
* Has the city turned more toward ITS investments as 
a result of stricter air quality regulation?
* If yes, was this due to restrictions on traditional capacity 
expansion, requirements for
implementing TCMs, or money provided through the CMAQ program?
Because we are looking at the metropolitan level, we need to look at all IIDAPT for ITS and air
quality. Our research methodology attempted to cover all possible IIDAPT. First, was through
the interview process. Asking participants to identify technologies with an air quality benefit.
The second, was to review air quality and transportation plans and programs for inclusion of ITS
in CMAQ or inclusion of ITS as a TCM, or otherwise included in a transportation plan or
program or air quality plan. There was cross checking of information obtained from the
interview process, the review of official documents, and secondary analysis. This allowed us not
only to cast the net more broadly to identify possible examples of IIDAPT, but also to measure
IIDAPT levels for each individual technology, and even exclude some candidate IIDAPTs.
Having discussed the aggregate data for ITS and air quality, case selection, and methodology, we
now turn to our five cases.
175
5.4 HOUSTON, TEXAS
5.4.1 Background
5.4.1.1 The City
With over 4.7 million residents and an area of over 7,000 square miles, Houston is often
characterized by its critics as a sprawling, auto-oriented city, that reflects the "Texas obsession
with highway construction."
123 
Or, as described more euphemistically in the 2025 Regional
Transportation Plan (RTP):
"The decentralized development pattern that has emerged in Houston since the 1960s has
contributed to an enlarged urbanized area that is now characterized by multiple major
employment centers, employment corridors, and other activity districts outside of the
CBD" (Houston-Galveston Area Council 2005, p 36).
According to transportation specialists in the Houston area, economic vitality and growth
predominate in the decisionmaking process, a view also reflected in the opening lines of the
RTP, that "the Houston-Galveston region will continue to be a dynamic economic center in
2025" (Houston-Galveston Area Council 2005, p 1). Indeed, Houston is noteworthy in the
extent to which economic forces seem to predominate in the decisionmaking processes for
planning. In the arena of land-use planning, for example, Cervero refers to Houston as "a city
that even shuns zoning" (Cervero 2002, p 434). Yet, as noted both by Cervero as well as
Garreau, in his analysis of "Edge Cities" in the US, the hand-offs approach to zoning has also
generated subcenters of high-density and mixed-use development in areas such as the high-end
Galleria area (Garreau 1991; Cervero 2002). Growth in sprawl and traffic has also had an impact
on air quality. The eight-county Houston-Galveston region is designated as Severe-17 non-
attainment for ozone, following Los Angeles as the worst air quality in the nation.
5.4.1.2 Transportation
Population and travel in the region have grown substantially, with population growing at an
average of over 2% during the 1980s and 1990s, and VMT outpacing population and even
employment growth (Houston-Galveston Area Council 2005, p 21). Houston continues to suffer
some of the worst congestion in the nation, ranking sixth according to the 2005 Travel Time
Index (Schrank and Lomax 2005). Vehicle miles traveled (VMT) are expected to continue to
increase from about 125 million daily VMT in 2000 to over 200 million in 2035 (Houston-
Galveston Area Council 2005, p 21).124 To accommodate this demand and address the "roadway
123 Galveston-Houston Association for Smog Prevention 
(GHASP), "Houston-Galveston Traveler Choice Plan
Outlined by Public Interest Advocates," Press Release, October 29, 2001. See website for more information about
the transportation concerns and vision of the four public interest advocacy organizations that form GHASP - the
Houston Regional Group of the Sierra Club, GHASP, BikeHouston, and Just Transportation Alliances.
http://www.ghasp.org?/publications/transcomments/travelerschoicepr.html. Last accessed February 12, 2006.
124 This projection suggests that population and VMT 
will grow at approximately the same rate of 2% annual
growth, however, this seems to be a conservative estimate compared to recent trends in VMT versus population
growth.
176
system deficiency," the MPO and the partner agencies have developed an ambitious plan of
continued highway expansion - through a mix of freeways, tollways and managed lanes, as well
as increased investment in transit, including extensions of the recently opened light rail
(METRORail) service, new bus routes and transit centers, and the implementation of commuter
rail lines.
Figure 5-7 Map of Houston Metropolitan Area
MapQuest O. Ile Atlas
Source: www.mapquest.com
While there continues to be a strong tendency toward the use of the auto as a single occupancy
vehicle, Houston has also developed an extensive network of HOV lanes for carpools, vanpools
and buses. Currently, over 100 miles of HOV lanes are available on six freeway corridors, with
supported elements including 28 park-and-ride lots, 4 park-and-pool lots, transit centers, express
buses, and direct access ramps (Turnbull 2003). From the beginning, the HOV lanes in Houston
were oriented more toward express bus service and vanpools than carpools of two or three
occupants. Indeed, when the first HOV counterflow lanes opened beginning in 1979 
on 1-45,
only buses and vanpools were permitted to enter the lane. Not until 1985 were authorized
177
carpools of four persons allowed to use the lanes
12 5 
(Turnbull 2003, p 11). Increasingly, funding
priority has been given to transit expansions, including a recently opened light rail line,
METRORail, which connects some of the major employment centers in Houston. Indeed,
according to Cervero, Houston was one of the only metropolitan areas in the US to see recent
increases in both absolute transit ridership and the percentage share of transit in the overall
modal split (Cervero 2002).
High congestion levels and limits on cost-feasible expansion options have also brought
increasing attention on the need to increase mobility options, reduce the growth rate in VMT,
and improve the transportation system's operation. The RTP identified three key policy areas:
"(1) increase highway and transit system capacity (where feasible and affordable), (2) improve
operations management of existing facilities, (3) manage the demand for peak-period travel"
(Houston-Galveston Area Council 2005, p ii). Therefore, while there is still a focus on system
expansion, much more so than older cities such as Boston, this suggests a more balanced
approach to transportation investment that has important 
consequences not only for congestion,
but also for air quality and ITS deployment. However, it also shows that while transportation
planners consider it necessary to manage demand for peak-period travel, there has not been a
shift toward reducing total demand.
5.4.1.3 Institutions
The Houston-Galveston metropolitan area includes Harris County, where the City of Houston is
located, as well as seven additional surrounding counties.
12 6 
The majority of ITS efforts are
headed by four agencies - City of Houston, Harris County, Texas Department of Transportation
(TxDOT), and Harris County Metropolitan Transit Authority (METRO) - which are the agencies
which came together to form the Houston TranStar Traffic Management Center.
The Houston Metropolitan Area has some unique organizational structures in that its transit
agency, Metropolitan Transit Authority of Harris County (METRO) also takes part in traffic
management and roadway capital projects, and has its own transit police force for not only the
transit system, but also for the HOV lanes and freeways. This unusual organizational role was,
in part, the result of the HOV projects first undertaken in 1979, the same year that METRO was
created. More recently, METRO has also taken on traffic signalization projects, incorporating
transit signal priority at hundreds of intersections. A one-cent sales tax has made METRO a
well-funded transit agency - with a total revenue of 564 million in FY 2004, 384 million of
which come from the sales tax - allowing METRO to branch out in terms of its activities
(Metropolitan Transit Authority of Harris County (METRO) 2004, p F-20).
125 The carpool occupancy limit was eventually 
lowered to three and two occupants, although 
a degradation of
service levels from an excess of two-person carpools eventually forced the minimum back up to three occupants on
some HOV lanes at peak hours. Tumrnbull, K. F. (2003). Houston Managed Lanes Case Study: The Evolution of the
Houston HOV System. College Station, TX, Performed by Texas Transportation Institute for the Federal Highway
Administration, Operations Office of Transportation Management: 48 pages.
126 The eight counties in the Houston region 
include Harris, Galveston, Chambers, Liberty, 
Montgomery, Waller,
Fort Bend, and Brazoria.
178
The Houston-Galveston Area Council (H-GAC) serves as the region's Metropolitan Planning
Organization (MPO), and therefore has primary responsibility for regional transportation
planning and air quality conformity analysis in the eight-county area which is in non-attainment
for ozone. H-GAC acts as the staff, to the Transportation Policy Council, which makes the final
decisions on allocating transportation funds and project priorities. In addition to its role in
transportation and air quality planning, H-GAC in recent years has largely taken on the
responsibility of ensuring the regional consistency of ITS deployment, both supporting the
development of an ITS Architecture and standards for the region, as well as incorporating ITS
into the mainstream transportation planning and funding process.
In terms of air quality management, H-GAC must also work with the Texas Commission on
Environmental Quality (TCEQ)
12 7 
for development of the Houston-Galveston sections of the
State Implementation Plan (SIP) for complying with the Clean Air Act. This includes
identification of measures such as Transportation Control Measures to reduce on-road mobile
source emissions necessary in order to stay within the mobile emissions budget.
5.4.2 Air Quality History
After Los Angeles, designated as extreme non-attainment, Houston is the metropolitan area with
the highest ozone levels in the county. During the 1990s, it was common for at least one of the
27 monitors in the region to exceed the standards between 40-50 days of the year (see Figure
5-8). In part, this is due to a long "ozone season" in Houston, where ozone exceedances can and
do occur anytime from March to November.
Figure 5-8 Number of days when a monitor exceeded the 1-hr ozone standard
80
70
60
50
40
30
20
10
0
r 00 ON 0? -? "It tn 10 00 ON C -
00 00 00 ON ON ON Os ON 0. O 0's 0 0
Source: (Houston-Galveston Area Council 2002, p 19)
1
27 
TCEQ was formerly the Texas Natural Resource 
Conservation Commission. The name was 
changed in 1991.
179
5.4.2.1 Sources
For NOx and VOC, on-road mobile sources (e.g. cars, trucks, motorcycles, buses and other
vehicles on the roadway) are an important source. However, they are not the predominate source
for either of the ozone precursors in Houston. For example, biogenic sources 
(e.g. crops, trees,
etc.) represent the majority of VOC emissions, while non-road mobile emissions (e.g.
construction equipment, lawn mowers, recreational boats, aircraft operations) predominate for
NOx. Excluding biogenic sources, which do not enter into control strategies, on-road mobile
emissions contribute to 20% of VOC, and 28% of NOx. 
Point sources (e.g. refineries,
manufacturing facilities, power plants) outweigh on-road mobile sources for both NOx and
VOC. For CO, on and off-road mobile source emissions provide the vast majority of emissions.
However, Houston 
is in attainment 
for CO.
128
Figure 5-9 Emissions inventory for the Houston-Galveston Area (2002)
1 'tflA
IL2U -
1000 -
S 800-
600-
0
400 -
200 -
0-
* Point
* Area
* Non-Road Mobile
0 On-Road Mobile
NOx VOC
Source: (Texas Commission on Environmental Quality 2004, pp 78-80)
No single source dominates for either VOC or NOx emissions, which are a mix of area, point
and on-road and non-road mobile sources. In addition, unique meteorological conditions and
chemistry lead to complex ozone formation in Houston. As a consequence, the strategies for
reducing ozone have undergone constant reworking as new measurements and modeling
improvements shed additional light on ozone formation, which has also had an impact on the
conformity determination process in Houston.
Having been designated by EPA as "severe" non-attainment under the CAAA of 1990, Houston
has until November 15, 2007 to meet the national ambient air quality standard for one-hour
ozone. In order to document progress toward meeting those standards, the CAAA of 1990 also
128 Although there are some indications 
that CO also plays a role in ozone formation, 
that relationship is considered
to be a weak one. Molina, L. T. and M. J. Molina (2002). Air Quality Impacts: A Local and Global Concern. Air
Quality in the Mexico Megacity: An Integrated Assessment. L. T. Molina and M. J. Molina. Boston, MA, Kluwer
Academic Publishers: 1-19.
180
I
required all areas classified as serious and above, to submit a revision of the State
Implementation Plan (SIP) to EPA by November 1994, in which they would describe measures
to achieve both VOC and NOx emissions, and provide a demonstration of attainment, using an
Urban Airshed Model (UAM) (Texas 
Natural Resource Conservation Commission 
2000, p ).129
However, early UAM results highlighted major uncertainties regarding the relationship 
of VOC
to NOx in ozone formation in the Houston region, and the modeling of future scenarios indicated
that reducing NOx emissions could actually increase ozone levels (Texas Natural Resource
Conservation Commission 2000, p I-4). In light of this uncertainty, EPA granted a temporary
NOx waiver valid until 1997, meaning that the area would be exempt from all NOx
requirements, including the transportation conformity requirements. Houston's first conformity
analysis was therefore completed in 1997, using a 20-year planning horizon and a 1999 VOC
budget as the base. Although the model results first showed that the area would exceed the VOC
budget, by making changes to how vehicle-miles traveled were modeled for both highways and
local streets, the area was able to keep within the budget and demonstrate conformity (Howitt
and Moore 1999, p 116).
5.4.2.2 Actions
According to H-GAC and TxDOT, new federal standards for vehicle emissions and fuel
efficiency have been the most effective measures in reducing mobile source emissions in
Houston. Local control strategies, such as operational improvements, although considered
important for conformity purposes, are seen as "an order of magnitude less consequential" in
reducing actual levels of emissions (H-GAC interview, 2005). Nonetheless, Houston has
adopted a wide range of local measures for point, area and mobile sources. For on-road mobile
source emissions, local control strategies to reduce NOx and VOC are categorized under TCMs,
the Voluntary Mobile Emission Reduction Program (VMEP), Transportation Emissions
Reductions Measures (TERM), and the Texas Emissions Reduction Plan (TERP) (see Table 5-5).
129 State Implementation Plans (SIPs) 
- which outline control strategies intended 
to meet national ambient air quality
standard - were first required as part of the Federal Clean Air Act Amendments of 1977. SIP cover all non-
attainment areas in the states and all pollutants. SIP "revisions" are submitted frequently, sometimes to make minor
amendments and incorporate new information and modeling results, and at other times to rewrite entire control
strategies.
Table 5-5 SIP categories and examples of control measures in Houston
TCM
130  
VMEP TERM
" Regional Computerized Traffic * Regional Computerized 
Traffic * Traffic Signal
Signal System Signal System Timing Optimization
STransportation Demand * "Commute 
Solutions" program
Management (vanpooling, commute alternatives,
(vanpooling, commute alternatives, additional transit service, etc.)
high capacity transitway project)
* ITS (surveillance, freeway traffic * Clean Cities/Vehicle 
Program (truck
management) and bus replacement or retrofit)
STransportation System Management a Smoking 
vehicle identification
(turn lanes, grade separations)
* Bike and Pedestrian Facilities * Vehicle 
scrappage program
* Park and Ride Lots 
* Other
* Other
Source: (Houston-Galveston Area Council 2005,)
TCM, Appendix 9.14; VMEP, Appendix 9.5; TERM, Appendix 9.18
It is not necessary to delve into details on all of these categories; however, it is important to note
that these categories do not always reflect the type of physical projects 
undertaken, for example,
traffic signal coordination, bicycle or pedestrian facilities, or vanpooling. Instead, they often
reflect the type of legal commitment made to those projects, as while be explained further on.
For example, traffic signalization projects are found across 
three categories, while vanpooling,
telecommuting and transit are found both under the TCM 
and VMEP categories. After 2000,
many transportation demand management (TDM) measures were also changed from TCMs to
VMEPs, making them voluntary measures.
For Houston, TCMs included in the SIP tend to emphasize traffic flow improvements (often
through ITS-based strategies), bicycle and pedestrian projects, and some transit projects. TCMs
have been an increasingly important component of meeting SIP requirements and emission
reduction targets. When the SIP was revised in 1997, additional Transportation Control
Measures (TCMs) were needed as VMT offsets, due to changes that had been made to both the
Employee Trip Reduction (ETR) Program and the I/M program. Specifically, in 1995, the US
Congress amended the controversial ETR provision in the Clean Air Act, allowing employer trip
reduction programs to be implemented at the state's discretion. Under this amendment, large
employers would no longer be required to implement trip reduction programs that would
increase vehicle occupancy and thus reduce VMT. This program therefore became a voluntary
initiative managed through H-GAC. In terms of the I/M program, the 
test-on-resale component,
requiring an additional inspection prior to title transfer of the vehicle, was discontinued. In order
to meet the offset requirement to make up for the "loss reductions," a number of additional
TCMs were worked into the SIP, "high occupancy vehicle lanes, park and ride lots, arterial
130 This includes projects completed after 
2000, and projects pending (i.e., not let 
to contract but expected to be
completed by the 2007 ozone attainment deadline.
182
traffic management systems, computer transportation management systems, and signalization"
(Texas Natural Resource Conservation Commission 2000, p 1-8).
However, TCMs require substantial management overhead in reporting on their progress, and
require strict adherence to their schedules and commitments. So-called "slippage" can lead to
disapproval of an air quality conformity determination, and may require extensive documentation
explaining what caused the slippage. In the extreme case, failures to implement specific TCMs
included in the SIP can delay the flow of federal transportation funds to the region. One
strategy, which has also been adopted by other states, is to build in a formal TCM substitution
process. In this manner, TCMs that will not be implemented on schedule - due to funding
problems, withdrawal of sponsor's support, public opposition - or will be less effective in
reducing emissions that previously expected, can be substituted for other TCMs. Each state has
taken a slightly different approach to building in a TCM substitution process. The May 2000 SIP
revision for the state of Texas, for example, incorporated a provision that TCMs can be
substituted by the MPO without revising the SIP, if the new measures provide equal to or greater
emissions reductions (Eisinger and Niemeier 2004).
Another strategy to avoid conformity problems related to TCM slippage, is the use of the what is
referred to as the "Transportation Emissions Reductions Measures" (TERMs) category. The
creation of this category allows agencies to take credit for emissions reductions from certain
transportation measures, without the legal requirements associated with incorporating these
measures as official TCMs in the air quality plan (or SIP). Taking into account these
administrative issues with TCMs, but wanting to claim some emissions credit for certain projects
whose implementation schedule would be more uncertain, the TERM category was used to avoid
inclusion in the SIP. Currently, TERMs include only intersection signalization projects. In
2004, 1,540 traffic signals were retimed and coordinated by the staff of the City of Houston and
through its consultants. As noted by H-GAC, as a TCM they would have to "report on the
progress of each individual intersection," a daunting task if hundreds of intersections are to be
included (H-GAC interview, 2005). This provided a way to incorporate "TCM-like projects"
and take emissions credit for intersection timing improvements only as they are completed.
5.4.2.3 Issues
In terms of local control strategies, there has been a shifting balance between the use of strategies
aimed at changing behavior and technology-based strategies. In part, this dynamic represents an
adaptation to new information and photochemical modeling regarding the processes and sources
involved in ozone formation in Houston, and, perhaps more significantly, reflects the interests
and preferences of government agencies and regulated entities and individuals. Several local
business leaders, specifically, the Business Coalition for Clean Air Appeal Group and additional
industrial companies, balked at the magnitude of reductions (90% of NOx) that would be
required of industrial sources in accordance with the 2000 SIP for the Houston region. Litigation
by this group led to a Consent Order in 2001, which required an independent analysis of rapid
ozone formation events and additional possible mitigation measures. An intensive measurement
campaign, the Texas Air Quality Study (TexAQS) followed, involving more than 200
researchers and 40 organizations collecting NOx and VOC data using aircraft-based
183
measurements during ozone episodes in August and September of 2000 (Texas Commission on
Environmental Quality 2004). That data was then incorporated in photochemical grid modeling
of those episodes, showing that VOC emissions were underestimated, and that highly reactive
VOCs (HRVOCs) played a vital role in rapid ozone formation. The focus of control strategies in
the following SIP revisions in 2002, thus moved away from depending almost entirely on deep
reductions in NOx, establishing a slightly more modest target of 80% reductions of point source
NOx emissions, and phased-in reductions of HRVOCs.'
31  
(Texas Commission on
Environmental Quality 2004).
The back and forth between technology and behavioral strategies also reflects organizational
attitudes. According to TCEQ, "historically, the commission has expressed a preference to
implement technology-based strategies over behavior-altering strategies" (Texas Commission
on Environmental Quality 2004, p 17). Although more rigorous behavior-based strategies have
indeed been implemented or proposed, when the science has presented new findings or public
pressure intense, these strategies have been discontinued or relaxed, ratcheting down the level of
regulation of individual behavior. At the same time as the shift away from a NOx-reduction
based strategy, a number of strong behavioral measures that had been adopted were removed
from the SIP in the 2004 revision. In terms of mobile sources, the heavy-duty vehicle idling
restriction was removed and three counties - Chambers, Liberty, and Waller - were removed
from the vehicle inspection and maintenance program requirement (Texas Commission on
Environmental Quality 2005). Also, the "strikingly unpopular" idea proposed by TCEQ to
introduce an environmental speed limit strategy, lowering the speed limit to 55 mph to reduce
emissions, principally NOx emissions that increase at higher speeds, was first suspended then
removed entirely from the SIP.
132 
Indeed, in 2003 the 78
th 
Texas Legislature stepped in and
actually "removed the TCEQ's authority to determine speed limits for environmental purposes"
(Texas Commission on Environmental Quality 2004, p 17). An earlier example of the preference
toward technology-based strategies is evident in the 1997 SIP revision, which incorporated many
technology-based TCMs - signalization, traffic and transportation management - in order to
make up for the loss of the ETR and I/M programs, both of which were behavioral 
change
policies that placed the ultimate burden of action (changing travel patterns or bringing vehicles in
for inspection) on 
individual drivers.
133
There are doubts, however, whether this technology-oriented strategy will be sufficient to bring
the Houston region into attainment with the national air quality standards. Looking at the trends
in ozone reductions in Figure 5-8, it is clear that continuing with the same rate of improvement
131 Specifically, there are four HRVOCs 
to be addressed in the first round 
of HRVOC reductions: ethylene,
propylene, 1,3-butadiene, and butanes. Texas Commission on Environmental Quality (2004). History of the Texas
State Implementation Plan (SIP). Austin, TX.
132 Bill Dawson, "Cleaner air could be 
painful for public; Businesses, drivers 
won't breathe easy as deadline looms
for area smog plan," The Houston Chronicle, December 20, 1999, p A- 1.
133 Although it was the business groups 
that resisted mandatory trip reduction programs 
in Houston, it would
ultimately be the motorists themselves who would have to change their behavior. Because I/M programs do not
"restrict everyday behavior," they are generally 
not as strongly resisted by elected officials. 
Howitt, A. M. and A.
Altshuler (1999). The Politics of Controlling Auto Air Pollution. Essays in Transportation Economics and Policy. J.
A. G6mez-Ibfifiez, W. B. Tye and C. Winston. Washington, DC, Brookings Institution Press: 223-256.
184
will not yield the emission reductions necessary to meet the national standard for ozone in the
next several years. Indeed, comments on the SIP by the Sierra Club's Houston office 
have
suggested, "already there is a whispering campaipn that is defeatist in its assessment of the
ability of this SIP to reduce emissions enough."
13  
Indeed, in many respects, this echoes the
earlier experience in the Los Angeles region, when "the unstated position of [the South Coast Air
Quality Management District] between 1977 and 1986 was 'we will try to improve the air
quality, but Los Angeles is never going to have clean air'" 
(Mazmanian 1999, pp 86-87). Yet,
the experience to date in Houston would suggest that moving towards more stringent behavioral
measures, would be difficult to implement.
In terms of highway expansion, although the air quality conformity process has not completely
derailed any major infrastructure projects, it has led to major delays and substantive
modifications to some projects. When asked about any major infrastructure projects that have
been challenged on the basis of air quality issues, interviewees from both TxDOT and H-GAC
responded "which one hasn't?" (TxDOT and H-GAC interview, 2005). In this respect, one of
the more contentious projects has been the Grand Parkway, the proposed third beltway loop
around the fringes of the Houston metropolitan area, following the existing State Highway 99
(see Figure 5-10), where Interstate 610 and Beltway 8 form the first and second "loops").
Environmental groups such as the Houston Sierra Club and Houston Audubon Society threatened
to file suit in 1993, based on both air quality and waterfowl habitat concerns, citing the urban
sprawl that the outer loop highway could generate.
135 
The following year, there were conformity
problems meeting the VOC budget and fiscal constraint requirement, leading to a scaling back in
lanes and capacity (Howitt and Moore 1999, p 77). Currently, while the Grand Parkway is
included as part of the Regional Transportation Plan of the future transportation network, its full
completion, as envisioned in Figure 5-10, is far from guaranteed.
134 Letter from Brandt Mannchen (Chair, 
Air Quality Committee, Houston Regional 
Group of the Sierra Club) to
Shelley Whitworth, Houston-Galveston Area Council, March 22, 2006. Letter can be accessed at www.h-
gac.com/HGAC/Departments/Transportation/Air+Quality/default.htm.
135 Bill Dawson, "Environmentalists take 
new tack in parkway lawsuit," The Houston 
Chronicle, May 13, 1993, p.
A26.
185
Figure 5-10 Toll/managed lanes network for the Houston Metropolitan Area
Source: (Houston-Galveston Area Council 2005, Figure 30)
Although it seems that challenges based on environmental concerns affect a wide range of
projects, most interviewees in Houston cited financial issues, in particular, the increasing costs of
acquiring right-of-way as the primary barrier to capacity expansion (TranStar, TxDOT, and H-
GAC interviews, 2005). Air quality and other environmental concerns, such as habitat
destruction, although mentioned, were usually second on the list. However, as noted by 
H-GAC,
with the conformity determination process, "federal law has built in a number of easy to grab
hold of handles for those wishing to challenge project" (H-GAC interview, 2005).
5.4.3 ITS Deployment
In order to understand the trends and patterns of ITS in Houston, it is necessary to look at the
history of TranStar, the innovative operations and management "architecture" which has formed
the cornerstone of ITS deployment. The inter-organizational framework, created through the
"Interlocal Agreement for a Regional Transportation Management Program" in 1993, has
promoted high levels of deployment and integration of ITS between TxDOT, METRO, Harris
County, and the City of Houston. In the same year, Houston received an important federal
earmark, when it was designated as one of four ITS Priority Corridors in the US. Along with
state and local funding matches, the Houston Priority Corridor Program would be funded by $22
million through fiscal year 1997. The Houston region has levels of ITS deployment substantially
higher than the national average for the ITS indicators such as real-time traffic data collection for
freeways, ETC capability, emergency management under Computer-Aided Dispatch, and
freeway traffic information to the public (Gordon and Trombly 2003). The diversity of
186
Houston's ITS applications can be seen in Table 5-6, which shows the legacy systems installed at
the time of the writing of the 2003 
ITS Strategic Plan (PB Farradyne 2002).136
Table 5-6 Legacy systems in the Houston Region
Application System Subsystem
Transportation/Traffic TranStar
Management Center
CCTV
Detection and Surveillance Loop Detectors
Technologies Automatic Vehicle Identification (AVI)
Flood and Weather Warning Systems
High Occupancy Vehicle (HOV) Lanes
Traffic Management Ramp Metering
Dynamic Message Signs (DMS)
Signal Network
Control Strategies Changeable Lane Assistance Signs (CLAS)
Lane Control Signals
Motorist Assistance Patrol (MAP) Program
Heavy Duty Wreckers
Emergency Vehicle Preemption
TranStar Web Page
Traveler Information Pre-trip and En-route Planning Texas Travel Information System
METRO Line
Electronic Toll Collection EZ Pass Toll Program
Electronic Payment QuickRide Program High Occupancy Toll (HOT) Lane
City of Houston Airport Parking
Onboard System
Advanced Radio 
Communication 
board System
System Communication 
Center Subsystem
Communication Subsystem
Computerized Telephone Interactive Voice Response System
Transit Management Information System Personalized Bus Itinerary Service
Integrated Vehicle Operation
Management System (IVOMS)* 
Variety of Advanced Transit 
Applications
Management System (IVOMS)*
METROLift Personal Public Transit Service offered to
persons with disabilities
*Planned system in 2003
Source: (PBS&J and Battelle 2003, p ES-3)
While we will not go into detail for all of the ITS application areas, we will highlight some of the
more important systems below.
5.4.3.1 Traffic
The Greater Houston Traffic and Emergency Management Center, more commonly referred to as
TranStar, is a self-described "flexible and dynamic partnership" for ITS. Indeed, the Executive
Director of TranStar is more of a facilitator or "referee" between the agencies than a Director per
136 This list focuses primarily on 
user services for passenger transportation, 
and does not include emergency
management, commercial vehicle operations, data warehouse, and communications.
187
se (TranStar interview, 2005). In terms of applications, the four major efforts of TranStar are the
Transportation Management Center (located on Old Katy Road), traveler information, incident
management, and flow signals (ramp metering). Although TranStar has been in existence since
1993, with operations in its current building beginning in 1996, the supporting technologies have
been under development on freeways since the late 1980s. The current system now covers 240
miles of freeway, including:
* 353 closed circuit television 
(CCTV) cameras,
* 157 dynamic message 
signs (DMS),
* 12 highway advisory 
radio (HAR) installations,
* 108 flow signals 
at ramps,
* 239 Automatic Vehicle 
Identification (AVI) checkpoints,
* 41 roadway 
weather systems,
* 242 miles of fiber/communications systems,
* the Motorists Assistance Program (MAP),
* and central facility computer systems (Texas Transportation 
Institute 2005, p 5).
However, in addition to the physical system installations, probably the more important aspect of
TranStar is its coordinating and capacity-building role.
"Houston TranStar continues to improve its operational effectiveness and expand its
transportation and emergency management facilities and systems. Cooperative working
relationships fostered by daily interaction of the staffs of various agencies in the region
and frequent coordination and training meetings are invaluable to the operations of
Houston TranStar" (Texas Transportation Institute 2005).
In addition to the freeway management systems, in the greater Houston area, there are more than
3,000 signalized intersections. The City of Houston plays a central role, operating and
maintaining almost 2,400 signals in the city (City of Houston interview, 2005). In 2004, the City
undertook the Traffic Signal Timing Optimization Project, which included 1,540 traffic signals,
including three high employment centers - the Central Business District, the Texas Medical
Center, and Uptown - and 86 corridors. Unusual for a transit agency, METRO has taken on a
responsibility for deploying the Regional Computerized Traffic Signal System (RCTSS), which
includes signal controller upgrading and interconnection back to TranStar for 1,225 signals, as
well as adding Opticom transit signal priority for METRO's vehicles. Originally, the RCTSS
was to included full modernization for nearly 3,000 signals - including vehicle detection, timing
optimization, fiber optics, American Disabilities Act (ADA) pedestrian compliance, transit signal
priority, signal heads, and signal controllers - although the actual implementation of this
modernization package has been more limited. Yet, because the CMAQ funding came through
Federal Transit Administration (FTA), signal priority was incorporated using Opticom
technology, and deployment was focused along transit corridors. Harris County plays a smaller
role in traffic management, with only about 500 signals (City of Houston and Klotz and
Associates interview, 2005). However, the county is currently deploying communications links
(fiber optic) to TranStar, and is adding arterial cameras, in large part with the use of CMAQ
funds.
188
5.4.3.2 Transit
METRO is also linked into TranStar, where its communication center subsystem provides
Computer Aided Dispatch (CAD) for all vehicles with Advanced Radio Communications
Systems installed (PBS&J and Battelle 2003). From the TranStar facilities, METRO operates its
bus dispatching, METRORail control center, HOV lane operation and incident management, and
monitoring and operation of park and ride facilities (Texas Transportation Institute 2005, p 20).
In terms of in-vehicle systems, the Integrated Vehicle Operations Management Systems
(IVOMS) consists of a number of ITS technologies such as automatic vehicle location (AVL),
automatic passenger counters (APC), mobile data terminals, and bus annunciators for in-vehicle
stop announcements. Also, as discussed above, METRO has also been involved in the signal
upgrading efforts, which have included transit signal priority based on Opticom, which is a
partially manual system in that bus drivers must request signal priority by flashing their
headlights at RCTSS/Opticom-equipped intersections. This set of technologies, when fully
deployed, will provide for improved operations and passenger service.
5.4.3.3 Information and Other
TranStar again is the hub of activity for traveler information, primarily through its traveler
information website, dissemination of content to broadcast media, and other personal alert
methods. In 2004, there were over 99 million accesses to the website, with an average of
162,814 users each month (Texas Transportation Institute 2005, p 11). This indicates an average
of over 50 accesses per user per month, meaning that not only is the website used widely, but
also used intensively by each user on average. TranStar has also been innovative in its delivery
of traveler information, with a web-based traffic map, email notifications, and delivery of
information to cellular phones and personal digital assistants (PDAs). The DMS are also
employed on a regular basis, automatically providing detailed travel time information gathered
from the AVI reader checkpoints. In addition to the information on travel times, the DMS are
also operated for incidents, road closures, weather incidents, Amber Alerts,
137 
special events, and
Ozone Alerts (Texas Transportation Institute 2005, p 5).
According to the Regional Transportation Plan, METROVan, part of the Commute Solutions
program managed by H-GAC in cooperation with METRO, is the fourth largest vanpool
program in the nation (Houston-Galveston Area Council 2005, p 13). Beginning in 1994, with
50 vanpools, it currently serves 400 vanpools with approximately 5,000 commuters
(Metropolitan Transit Authority of Harris County (METRO) 2004). The vanpooling and
carpooling programs are supported by a web-based system for matching potential rideshares.
The METRO online carpool and vanpool matching database has made over 7,300 "matches"
since the system came online in February 2004 (Metropolitan Transit Authority of Harris County
(METRO) 2004). Building upon its experience with HOV-lane management, METRO also
operates the QuickRide program, which is part of the FHWA Value Pricing Program.
137 State-authorized information 
on missing children.
189
As noted earlier, the occupancy levels of Houston's HOV network have often been adjusted to
maintain high levels of service while utilizing the HOV lanes more fully. The QuickRide
program, which was first launched on the Katy Highway HOV in 1998, enabled two-person
carpools to "buy" the excess capacity (for $2), thus converting it into a high occupancy/toll
(HOT) lane. In 2001, HOT lane operations were extended to the US 290 during the morning
peak. In fact, as noted in the TranStar annual report, "as of 2004, Houston had two of the four
operating HOT lanes in the nation" (Texas Transportation Institute 2005).
5.4.4 ITS-Air Quality Links
According to the Houston TranStar Annual Report 2004, since its opening in 1996, the travel
time savings provided through improved transportation management has saved almost 23.3
million gallons of gasoline, 503 tons of VOC, 3,250 tons of CO, and 731 tons of NOx (Texas
Transportation Institute 2005, p 28). Very few opportunities are missed to highlight the possible
air quality improvement generated by Houston's ITS deployments. According to the Houston
Region ITS Strategic Plan, for example, more than half of the deployment concepts/projects are
expected to have fuel consumption and emissions benefits (PBS&J and Battelle 2003). While
one could initially dismiss these claims as rhetoric on the part of agencies wishing to bolster
support for ITS applications, looking more closely at the transportation and air quality planning
process, it becomes clear that ITS and short-term emission reductions are indeed tightly
connected in the Houston area. Evidence of this can be seen in the Transportation Control
Measures incorporated in the SIP, the use of CMAQ funds for ITS, and the effort that has been
made to evaluate the emissions impacts in a consistent manner through the development of the
MoSERs manual.
5.4.4.1 Projects
When looking at some of Houston's cornerstone ITS deployments and TCMs, one finds
substantial overlap. In the 2000 conformity attainment demonstration for Houston, three
categories of TCMs have an important ITS component: ITS, the Regional Computerized Traffic
Signal System (RCTSS), and, albeit to a more limited extent, Transportation Demand
Management (TDM) strategies. Projects under the categories of both ITS and RCTSS are
primarily arterial signalization projects, involving installation, synchronization, 
interconnection,
as well as linking the traffic signals back to TranStar, so that signals can be monitored and
updated remotely and in real time. Transportation demand management (TDM) measures
include telecommuting, vanpooling and other commuting alternatives. ITS is utilized for the
vanpooling program, managed by H-GAC and METRO, through the online vanpooling resources
for matching vanpoolers and finding available openings or accessing waiting lists for existing
vanpools.
1 3 8
138 It is notable that over half of the online 
mini-pools (smaller vanpool for 5-8 riders) have 
waiting lists for new
members. See www.urbantrans.com/minipool/minipool currentvans.html. Last accessed December 18, 2005. See
www.vanpool.org for information on the Commute Solutions program, vanpools and minipools.
190
Figure 5-11 Emissions reductions and total cost for TCMs completed/pending after 2000
350 -
300 -
--- Transit
250 -
S200
oTSM
S150
S100
S Intermodal 
OBike/Ped 
ITS
50 / [ T
/Park&Ride
0 0 0 RCTSS TDMO
0 - I I I I I I I I 1
0 20 40 60 80 100 120 140 160 180 200 220
NOx kg per day
Source: Appendix 9.14 (Houston-Galveston Area Council 2005)
Categories different slightly from those listed in Appendix 9.14.
Two transit projects included as a separate category from TDM
Includes projects completed/pending after 2000 and
replacement projects for withdrawn TCM commitments.
When comparing NOx emissions reductions and total project cost across different TCM
categories (see Figure 5-11), ITS and RCTSS fare relatively well in terms of their cost
efficiency. For example, the RCTSS provides approximately the same NOx reductions as bike
and pedestrian projects, yet at a much lower cost. ITS measures, primarily traffic flow
improvements in nature, generate reductions approximate to those of transportation supply
measures - grade separations, interchanges, and left turn lanes - yet at one-fifth the cost of ITS.
However, it is important to note that the RCTSS and ITS calculations do not attempt to measure
induced demand from travel time improvements. Therefore, the reductions from the RCTSS and
ITS measures could be overestimated. The relative cost and emissions performance of TCMs
can be seen in Table 5-7 for measures completed or pending after 2000.
191
Table 5-7 Number of projects, emission reductions, and cost by project type (after 2000)
EMISSION REDUCTIONS PROJECT COSTS
no. of VOC % of NOx % of total cost
project type share % of cost
projects (kgday) VOC (kg/day) NOx (millions)
Bicycle/Pedestrain 46 34% 48.7 12% 70.3 10% $ 77.5 11%
Intermodal 2 1% 3.9 1% 6.8 1% $ 18.8 3%
Park and Ride 10 7% 34.2 8% 48.3 7% $ 14.2 2%
TDM 6 4% 146.8 35% 206.8 31% $ 15.7 2%
TDM (Transit) 2 1% 15.0 4% 21.2 3% $ 301.3 44%
TSM 31 23% 69.5 17% 128.6 19% $ 178.9 26%
TOTAL 137 100% 419.44 100% 674.55 100% $ 678.5 100%
Source: Appendix 9.14 (Houston-Galveston Area Council 2005)
Includes projects completed/pending after 2000
(and replacement projects for withdrawn TCM commitments).
Of all of the TCMs, the transportation demand management (TDM) strategies are the most
effective and efficient. The presence of a large HOV network in Houston may explain the
effectiveness of TDM strategies, since carpooling and vanpooling can provide substantial travel
time savings. This also points to the possibility of scale effects in certain TDM strategies, where
use of HOV lanes and carpooling increases exponentially as the size of the network grows. In
the upper left corner of Figure 5-11 are two transit projects: a smaller project for the purchase of
alternative fuel vehicles, and a $300 million, 7.5-mile light rail project connecting the central
business district and the Texas Medical Center (past 610) implemented by METRO, a TCM
which was added in the December 2000 SIP. The emission reductions from this measure are
among the lowest, and at a substantial cost.
ITS has also been incorporated as VMEPs, which are similar to TCMs put applied on a voluntary
basis to avoid the administrative issues with documenting the "timely implementation" of TCMs.
For example, additional measures under the Commute Solutions program for transit and
ridesharing are included, additional signalization improvements 
through the RCTSS program,
and the smoking vehicle program which supports the reporting of smoking vehicles to the Texas
Commission on Environmental 
Quality.
139
Earlier TCMs, implemented between 1994 and 1999, show some interesting comparisons with
more current TCMs. We can see that the share of spending on ITS and RCTSS (81%) was
substantially larger between 1994 and 1999, while there were only a few minor TSMs, mostly in
the form of right turn lanes. The current list of TCMs (projects implemented after 2000) greatly
expands spending on capital projects for both transit and TSMs. Indeed, there were no transit
139 A notification is then sent to the 
owner of the vehicle, requesting a voluntary 
inspection and repair of the vehicle.
There is no mandatory action required of the owner. Vehicles can be reported by other drivers via a 1-800 number
or through an online reporting form.
projects in the earlier list of TCMs (see Figure 5-12 and Table 5-8). Transportation demand
management (TDM) programs, mainly the commute alternatives and regional vanpool 
program,
were the most cost effective measure available during both periods. There was also some
expansion of that program in terms of funding.
Figure 5-12 Emissions reductions and total cost for TCMs (1994-9)
$60
$50
$40
$30
$20
$10
I I I I I I
0 20 40 60 80
NOx kg per day
100 120 140
Source: Appendix 9.14 (Houston-Galveston Area Council 2005)
Includes projects completed between 1994 and 1999.
Table 5-8 Number of projects, emission reductions, and cost by project type (1994-9)
TSM 6 3.2 4.2 $ 2.14 2%
TOTAL 103 280.7 347.3 $ 96.14 100%
Source: Appendix 9.14 (Houston-Galveston Area Council 2005)
Includes projects completed between 1994 and 1999.
One should not overstate the actual emissions reductions from TCMs, which count for only a
small percentage of necessary emissions reductions to meet the mobile source emissions budget.
193
o ITS
E RCTSS
OBike/Ped
O TSM TDM O
Nonetheless, TCMs are an important component of SIPs from a regulatory standpoint, and can
keep areas that are borderline from confronting conformity problems.
5.4.4.2 Funding
CMAQ has been an important funding source both for air quality and ITS initiatives. In
describing the connection between the two, an interviewee from H-GAC summarized it as the
following:
"ITS and CMAQ are helpful, but they're not the white knight coming in to save us from
air quality problems.... it's a supporting role, and a happy factor when it can contribute to
both our air quality goals and our mobility goals." (H-GAC interview, 2005).
Because of its designation as severe non-attainment for ozone, Houston receives a large influx of
funding through the CMAQ program. For example, from fiscal years 1996 to 2000, $196 million
in CMAQ monies were spent on projects let to contract (Transportation Research Board 2002, p
250). CMAQ funds have been an important source of 
funding for ITS initiatives, for example,
providing between $1-2.5 million in annual funds for TranStar, although this varies from year to
year depending upon what projects are currently being funded through CMAQ (TranStar
interview, 2005). This represents an important proportion 
of the operating costs of TranStar,
which are roughly $3.2 million each year. Looking at the 2004 TranStar Annual Report, nearly
half of the systems operated through TranStar lists the CMAQ program as one of the funding
sources.
140 
Early funding for TranStar came from federal earmarks, primarily the ITS Priority
Corridor program. However, as these funds ran out, CMAQ funds helped finance both building
construction and operations as the earmark expired (Transportation 
Research Board 2002,
footnote 41). As noted by a TranStar interviewee, "bad air is not always a bad thing in the
funding area - we would be in a lot of trouble if we didn't have CMAQ funds" (TranStar
interview, 2005).
In terms of the breakdown of CMAQ funding categories, ITS-based improvements predominate
in the current TIP, in terms of both number of projects and share of total CMAQ funding, with
27% of the $306 million in CMAQ funding for projects for TIP years 2005-2008 (see Table
5-9).141 This seems consistent with earlier patterns of CMAQ spending. Between fiscal years
1996 and 2000, nearly 60% of CMAQ funding went to traffic flow improvements - ITS projects
such as RCTSS and TranStar facilities were 
included within that broader category
(Transportation Research 
Board 2002, pp 249-250 
and Table D-5).
142
140 Projects with CMAQ as one of the 
funding sources include: TranStar center, 
fiber optics, CCTV, AVI, DMS,
HAR, flow signals, and RCTSS.
141 The $306 million includes both federal 
funding and the required local match. The 
federal portion of CMAQ
funding would be approximately $250 million.
142 We have included ITS projects as 
a separate category. Earlier reporting 
on CMAQ included ITS within the
category of traffic flow improvements.
194
Table 5-9 CMAQ project categories for Houston, TIP years 2005-2008
No. CMAQ Cost Total Cost
143  
Share of all VOC NOx
Project Category Projects* (millions) (millions) CMAQ funds 
(kg/day) (kg/day)
Bike/Pedestrian 17 $ 29.07 $ 32.26 10% 114 68
Traffic Flow
Improvements 13 $ 66.23 $ 714.69 22% 18 28
Other (Clean Vehicles/
Fuels, Outreach) 6 $ 73.63 $ 73.63 24% 860 1,177
TDM 5 $ 22.50 $ 22.50 7% 72 101
Park & Ride 4 $ 8.55 $ 8.55 3% 18 25
Transit 2 $ 23.66 $ 23.66 8% 0 0
TOTAL 84 $ 305.69 $ 956.57 100% 1,370 1,855
Includes all projects listed for TIP years 2005-2008, excluding contingency projects.
Source: (Houston-Galveston Area Council 2005, Appendix H)
In terms of how these project categories compare in their relative cost-effectiveness for
emissions reductions, we look at the total NOx reductions and amount of CMAQ funds
programmed for these projects (see Figure 5-13). It should be noted that this figure shows only
the federal CMAQ portion, and does not include the state or local contribution, which must be at
least 20% of total project cost. Bike/pedestrian, Park and Ride, and TDM strategies appear as
relatively cheaper projects, but with small emissions reduction potential.
144  
Traffic flow
improvements cost significantly more, with $66 million in CMAQ and a much higher total cost
of $715 million. ITS has the most number of projects, and the highest amount of CMAQ
funding, and compares relatively well in its emission reduction potential. However, it does not
compare nearly as well with the "Other" category, which achieves its emissions reductions
primarily through clean vehicle and alternative fuel programs.
143 "CMAQ cost" represents the total amount programmed 
in CMAQ funds for the project, which is usually 80%
federal funding and 20% local match funds (thus, projects usually have more than one funding source). "Total cost"
is the latest estimated cost, and may be lower than the authorized amount. Some projects may have the somewhat
anomalous outcome that the "CMAQ cost" may actually higher than the "total cost." This happens when the project
is entirely funded through CMAQ and the latest estimated cost is lower than the amount authorized.
144 Emissions reductions calculations 
for the category of transit were not provided.
Figure 5-13 CMAQ share of cost and NOx reductions (in millions of US dollars)
80 -
70 -70
60
S50
40 -
30 
-
-..-------- EIIlTS
S]Other
O Trafflic Flow
Transit
-- ---------------------- --- ------ ----
Bike/Ped
/---
20 0 1 VM
10 Park and Ride
_0 -D
0 200 400 600 800 1,000 1,200 1,400
NOx reductions (kg/day)
Source: (Houston-Galveston Area Council 2005, Appendix H)
Not all stakeholders in the region agree with the manner in which CMAQ funding is 
used by
Houston transportation agencies. A local non-governmental organization - Galveston-Houston
Association for Smog Prevention - has criticized the use of CMAQ funds, noting that "these
scarce dollars are often spent on freeway interchanges and other road projects disguised as
'congestion mitigation,'" and 
pointing to the need to fund 
more bicycling, transit and 
walking
facilities that reduce VMT and therefore improve air quality and congestion.
145 
Their assessment
is correct in identifying the relatively poor cost-effectiveness performance of traffic flow
improvements from the viewpoint of emission reductions. For example, in the 2006-8 TIP, this
category uses 22% of total CMAQ funds, while generating only 1.3% of NOx and 1.5% of VOC
reductions (see Table 5-9). However, beyond this category, 
most of the CMAQ spending - ITS,
Park and Ride, Bike and Pedestrian - performs relatively well. Furthermore, most interviewees
in Houston note they judge CMAQ projects both on their emission reductions as well as
congestion mitigation benefits, a view that was also reflected in the 10-year CMAQ Program
review undertaken by TRB (TxDOT, H-GAC interviews, 2005).
The same agencies that cooperate closely through TranStar, also compete for CMAQ funds.
Although TxDOT and METRO have tended to sponsor the majority of CMAQ funded projects,
the City of Houston and Harris County to a lesser extent also recommend projects
(Transportation Research Board 2002, p 245). In addition to these four agencies, there are also
numerous cities and eight counties in total competing for CMAQ funds. Competition for
funding, which to some extent reflects agency competition for "turf"'
46 
can be seen in the case of
145 Galveston-Houston Association for 
Smog Prevention (GHASP), "Houston-Galveston 
Traveler Choice Plan
Outlined by Public Interest Advocates," Press Release, October 29, 2001.
146 We use the term "turf' to refer to 
bureaucratic organizations' missions, 
responsibilities and boundaries, as
described by Wilson, J. Q. (1989). Bureaucracy: What Government Agencies Do and Why They Do It, Basic Books.
196
traffic signalization projects undertaken by METRO and by the City of Houston. The City of
Houston is responsible for managing the operation of nearly 2,400 signalized intersections within
the city's jurisdiction. Currently, a bulk of the City's ITS efforts are funded through CMAQ.
After several years of negotiation with TxDOT, the City secured CMAQ funds for work on 30
signalized corridors, consisting of optimization, modification, and installation, and including
elements such as video detection, signal heads, pedestrian ADA compliance, and cabinet
controllers as well as before-and-after studies (City of Houston interview, 2005). In addition,
some of the signals optimized as part of the Ma or's Traffic Signal Timing Optimization Plan
(TSTOP), were supported with CMAQ funds.'
1 7 
However, the multi-faceted transit agency,
METRO, also secured funding through CMAQ for signal improvements through the RCTSS
program. Therefore, while "METRO is deploying the extensive RCTSS network for the benefit
of Houston TranStar's traffic management agencies" (Texas Transportation Institute 2005), some
of the other agencies are skeptical 
about whether METRO has 
any role to play in operations
14 8s
once the system is in place, noting that they are primarily a transit agency, not traffic signal
engineers. Furthermore, delays in deploying the system in interconnecting the system, also
affected the City of Houston, who instead of programming signals from TranStar using the
RCTSS infrastructure, decided to move ahead with a rapid program of manual programming of
the signals through TSTOP.
14 9 
In summary, the interdependence between agencies is strong,
both in terms of cooperation in deploying and upgrading the signal systems, and competition,
with competition for funding sources such as CMAQ and their respective roles in the operation
of the traffic signal network.
In addition to the CMAQ program, funds from the Surface Transportation Program (STP) have
also been used increasingly for operations. Some interviewees looked toward the model of
Florida, where "set-asides" of STP are designated to operations projects such as ITS (TranStar
interview, 2005). However, because STP funds do not have the restrictions on use as CMAQ
funds do, they must compete with roadway projects. Annual set asides for operations-only
projects do not appear to be a realistic near-term option, particularly in Houston given the strong
population growth and demand for infrastructure expansion. For this reason, CMAQ funds
remain an important source of funding for ITS. In the absence of CMAQ funding, some ITS
projects would have found alternate sources of funding, however, according to planners, many
would have either been delayed or entirely cancelled (H-GAC interview, 2005). Furthermore, in
the absence of CMAQ funds, the most affected ITS projects would probably be those undertaken
by the cities and counties, since they are more limited in their ability to access alternative sources
of funding, than say, TxDOT or METRO.
147 The emissions from these traffic signal optimizations 
were incorporated in Houston's conformity determination
under the category of Transportation Emissions Reduction Programs (TERMs), which was described above.
148 Basically, the operations that will be conducted 
at the traffic signal control station (using the 
I-2 software
platform) at TranStar.
149 "Mayor Bill White made 
it clear he wasn't going to wait 
for Metro to complete the RCTSS 
before putting some
of its components to work. The mayor's first initiative after taking office in January was laying out a yearlong effort
for public works to manually program more than 1,500 traffic signals." Source: Lucas Wall, "Signal system hits
more snags," The Houston Chronicle, December 19, 2004, page Al.
197
5.4.4.3 Evaluation
Generally, the organizations that use CMAQ funds do not do the evaluations of the air quality
benefits. This responsibility falls primarily on planners at H-GAC, supported by researchers at
the Texas Transportation Institute and other academic institutions, with the operating
organizations providing the raw data. TranStar, during its start-up days, was able to undertake
analysis and other research activities in-house, because it had not yet become fully operational
and had the flexibility to do more analysis. However, once operational, those activities had to be
shifted to outside H-GAC and others (TranStar interview, 2005).
The Texas Transportation Institute (TTI) has played a critical role in filling the evaluation needs
for linking ITS deployment and mobile source emissions reduction strategies. Most notably, TTI
developed the "Texas Guide to Accepted Mobile Source Emission Reduction Strategies," more
commonly referred to as the MoSER handbook. This guide is intended to "aid technical staff to
assess the benefits of SIP elements, conduct transportation conformity analysis, and initiate
proactive emission reduction programs to fulfill national air quality standards" (Texas
Transportation Institute 2003, p xi). In addition to providing general background on
transportation and air quality planning, this handbook provides basic equations for each
measuring the emission changes from each individual control measure including, but not limited
to, ITS. Although more sophisticated software packages for modeling are discussed, the
handbook suggests the use of their sketch-planning techniques which are easier to apply and less
"cumbersome" for use in the interagency review process required for SIP development (Texas
Transportation Institute 2003, p B.1.2). The mobile source emissions reduction strategies are
divided into 17 categories, the most important of which for ITS is the category of traffic flow
improvements, which covers traffic signalization, traffic operations, enforcement and
management (incident management, ramp metering), freeway management, and railroad grade
separation.
1 50 
Most of the equations for traffic flow improvements use changes in speed-based
running exhaust emissions factors (grams/mile) - before and after the measure is implemented -
combined with length and traffic volumes of the affected facilities (VMT) to give total emissions
changes. Other equations - such as ramp metering and individual intersection improvements
also incorporate reductions in idling emissions. Although the issue of induced travel is raised
with respect to several measures, it is not incorporated in the equations used for calculation
emissions changes.
"Traffic signalization improvements may encourage additional traffic, increasing VMT.
An increase in VMT along a roadway with improved traffic flow would offset some of
the short-term air quality improvements generated by faster, more consistent travel
speeds. Also, by reducing travel time on affected corridors, traffic signalization may
attract additional vehicles and divert motorists from alternative modes of transportation"
(Texas Transportation Institute 2003, p B.7.4).
10 The other 16 categories are: improved public 
transit, high-occupancy vehicle facilities, employer-based
transportation management programs, trip-reduction ordinances, park-and-ride/fringe parking, vehicle use
limitations/restrictions, area-wide rideshare incentives, bicycle and pedestrian programs, extended vehicle idling,
extreme low-temperature cold starts, work schedule changes, activity centers, accelerated vehicle retirement,
parking management, vehicle purchases and re-powering, and congestion pricing.
198
To take an example, the MoSER handbook was used to calculate emissions for the City of
Houston's signal timing improvements - a measure included in the 2005 conformity
determination as a TERM. Before-and-after speed studies done by the City of Houston indicated
a speed improvement from 25 to 30 mph (approximately 20%), typical for a traffic signalization
project. However, in calculating emissions for the affected links, induced travel was not
incorporated. Average volumes and VMT were instead kept constant, since according to H-
GAC, "there is no data upon which to base estimates of altered volumes that could result from
changes in speed" (Houston-Galveston Area Council 2005, Appendix 9.18). Because induced
demand is difficult to estimate or measure, it is typically ignored.
In addition to not addressing the induced demand issue in a satisfactory way, the MoSER
handbook does not allow for the consideration of system effects, such as the possible synergies
or conflicts between different ITS applications, and long-term effects, such as induced travel.
However, MoSERs does provide a consistent and clear methodology to make comparisons for a
range of different emissions reductions strategies, and to document those emissions reductions
for regulatory purposes.
Evaluation of the air quality benefits of ITS has also been an important component of TranStar's
Annual Report, as discussed earlier, and the cumulative emissions reductions (calculated directly
from fuel savings) are reported annually. The Annual Report does not use the MoSERs
recommended methodologies for reporting emissions reductions. Yet, when reporting on
individual components, especially for CMAQ-funded components, the MoSER equations are
used.
5.4.5 Summary
Looking beyond its reputation as a city that rejects planning, builds highways with fervor, and
ignores air quality concerns, Houston is a substantially more complex case in terms of its
strategies to deal with both transportation and air quality issues. While Houston continues to
pursue highway expansion, it has also been more aggressively pursuing transit options, HOV and
ITS. Highway expansion seems to be slowing, with diminishing returns for additional highway
miles. As noted in an interview with a TranStar representative, 
the "cheap options" are gone,
and right-of-way costs are now half of total project costs (TranStar interview, 2005). Major
projects such as the Grand Parkway third beltway loop on the outskirts of Houston, continue to
move forward, albeit slowly. This observation echoes Altshuler and Luberoff, who have noted
that while some states in the post-megaproject era are continuing to build expressways, they are
"almost exclusively in fringe areas," citing beltways in Houston and Denver and a major
connector in Atlanta (Altshuler and Luberoff 2003, p 277). Yet, they also add that those
beltway-type projects are often challenged on the basis of induced travel, sprawl and air quality
impacts. Houston is a clear case of that pattern of cost escalations for projects in already built-
out areas, and environmental challenges for projects on the "fringe" of metropolitan areas.
In terms of competing with infrastructure, ITS has been seen more as a "delaying tactic," more
so than a true alternative to physical expansion (H-GAC interview, 2005). Returning to the
example of the Grand Parkway project, some interviewees cited delays in that project and others
199
as part of the congestion problem in Houston, given the growth in population and VMT, and
suggest that until that infrastructure can be built and relieve traffic congestion, ITS can be used
in the meantime to mitigate congestion (TranStar interview, 2005). However, to say that ITS can
be a substitute for physical infrastructure, "would be going too far" (TranStar interview, 2005).
In terms of air quality conformity, ITS has played an increasingly prominent role as 
mobile
source emissions reductions strategies, whether incorporated as TCMs, VMEPS or TERMS. 
In
Houston, CMAQ funds have been an important source of funding for ITS projects, and ITS
projects have been an important source of emissions reductions in air quality plans. This reflects
in large part the approach to air quality management in Houston. For example, the SIP is more
of a flexible document with nearly constant revisions, than a one-time planning effort. The
revisions in the Houston-Galveston sections of the Texas SIPs have reflected rapid responses to
both new scientific findings on sources and formation of ozone and pressures from interested and
affected groups for modification or elimination of certain measures. Furthermore, rather than
regulating behavior, the trend in Houston has been to make gains in emissions reductions
whenever possible with technology, and ITS is consistent with that framework, by reducing
transportation related emissions without constraining driver behavior.
Houston's experimentation with ITS for air quality purposes has been facilitated by the
development of consistent assessment techniques using the MoSERs handbook. Indeed, of all
case study cities, Houston has been the most aggressive in experimenting with the use of ITS as a
tool for both emissions reductions and mobility improvements, and building upon evaluations of
air quality benefits in future ITS deployments. Therefore, while the rhetoric is pervasive in
terms of the air quality benefits of ITS - for example, looking at the 1994 Strategic 
Plan, the
2003 Strategic Plan and Regional Architecture, and TranStar's Annual Reports - the tools for
evaluation provided through the MoSER handbooks and accompanying modules has allowed
ITS project promoters to defend their air quality claims with data. The potential problem is the
omission of consideration 
of induced demand.'
15
The core strength of Houston's ITS program is in freeway management, and that is where most
of the air quality benefits of ITS are found. In more recent years, transit systems have also come
to the forefront, with the deployment of the first light rail and METRORail, growing ridership
levels on METRO's bus network, and the deployment of advanced transit management systems
such as IVOMS. But, public transit ITS strategies have yet to be fully incorporated in Houston's
air quality plans and emissions reductions measures, because of difficulties in estimating and
documenting the impact that ITS can have on emissions via changes in mode share.
Houston works well within the framework of air quality standards and transportation
conformity, as established by the CAAA and ISTEA, in a manner that attempts to minimize the
impact on economic growth and on individual behavior. Yet, its Achilles' heel may be the issue
of longer-term environmental sustainability, where national standards and programs do not
151 In the MoSERs handbook, there are numerous caveats as to the possibility 
of induced trips and VMT from
transportation system improvements, including for ITS; yet it does not provide methods to estimate the extent of
those impacts.
200
exist.
152  
Houston effectively uses ITS as a measure for congestion relief and near-term
reductions in ozone precursor emissions. Yet, concerns regarding the system-wide and long-
term impacts of induced travel have not made its way into either the evaluation process or,
apparently, the decision-making process. Nevertheless, recent trends in transit systems and
ridership, as well as experimentation with HOT lanes and other demand management strategies,
may indicate a growing trend toward strategies to reduce VMT using the support of ITS
technologies.
152 For example, considering 
issues such as greenhouse gas 
emissions or air toxics.
201
5.5 LOS ANGELES, CALIFORNIA
5.5.1 Background
5.5.1.1 The City
The Los Angeles region is remarkable in its size. Considering Los Angeles as all of southern
California, excluding San Diego, the six-county region is home to 
more than 17 million people,
according to 2003 figures, meaning that approximately six percent of the entire US population
resides in the area (Southern California Association of Governments 2004, p 35). In economic
terms, the region by itself would be the tenth largest economy in the world. The map shown in
Figure 5-14 reveals both the size and complexity of the Los Angeles region, and the vast number
communities - 187 cities in total - encompassed within the region (Chang 2005, p 5).
During the early 1990s, Southern California fell into a severe recession that affected the rate of
both economic and population growth (primarily between 1991 and 1995) recovering briefly
until 2001, when there was a sharp downturn the national economy. Since 1999 the region has
experienced high levels of population growth not seen since the 1950s, due to natural population
increase (49% of population growth), and net foreign immigration (40%) and net domestic
immigration (11%). Between 2000 and 2004, average annual population growth was high with
the addition of 320,000 residents each year (Chang 2005, p 18). Continued growth in the
population and geographic size of the region is expected, with urbanization continuing to push
out from the wealthier and denser areas in the Los Angeles Basin, northern Orange County and
the coastal areas, and moving toward the desert and mountains, and filling in what is referred to
as the "Inland Empire" of Riverside and San Bernardino counties (SCAG interview, 2005).
202

A.1.1.1 Transportation
Martin Wachs, a longtime observer of transportation policy, politics and planning in Los
Angeles, made the following observation in a speech at University College in London.
"Just as the Eiffel tower comes to mind as the symbol of Paris, and the Statue of Liberty
symbolizes New York, the international recognized symbol of Los Angeles is the
freeway. Los Angeles is known the world over as the prototype city of the late twentieth
century by both its critics and its detractors, and its very essence is to be found in its
transport system as well as its far flung mix of low and moderate density communities
connected by thousands of miles of high capacity freeways.... It is obvious that transport
systems have been a central object of policy makers throughout the evolution of Los
Angeles" (Wachs 1993, p 3).
The map in Figure 5-14 gives a sense of the size and complexity of the network - 9,000 lane
miles of freeway and 42,000 lane miles of arterials. Wachs also suggested at that time that Los
Angeles was in the midst of its "third major transport crises of the twentieth century," where
transportation and traffic issues are the top of the agenda for the region, with intense attention
from both the public and officials in the region.
153 
Indications suggest that the crisis has by no
means subsided since Wachs' description over ten years ago, and has now overlapped into the
next century to become the first major transport crises of the twenty-first century for Los
Angeles. Indeed, the situation on the face seems to have changed little. Between 1993 and
2003, Los Angeles and Orange Counties consistently ranked as the highest in the nation for
congestion delay (Chang 2005, p 11). While congestion has continuously been ranked as the
worst in the US for Los Angeles and Orange Counties for at least the past decade, the positive
side is that absolute levels of congestion have not increased at the same rate as other large
metropolitan areas in the US (with a travel time index of 1.75 in 2003, compared to 1.73 in
1993).154 Yet, there are trends that the problem is worsening in other aspects. While absolute
congestion levels are relatively stable in Los Angeles and Orange counties,
155 
the more
problematic trend is to the east in San Bernardino and Riverside Counties, where traffic
conditions are rapidly deteriorating, with an increase in the travel time index from 1.27 to 1.37
between 1993 and 2003 (Chang 2005, p 64).
Unlike the earlier transportation crises of the 1920s and post-World War II period, the current
transportation crisis that began in the 1980s has generated a much different response, according
to Wachs. Indeed, he suggests that the "recent change in direction in transportation policy is one
of historic proportions," as Los Angeles attempts to provide alternatives to the automobile
153 According to Wachs, the first transportation crisis in Los Angeles 
was in the 1920s when automobile ownership
grew too rapidly for an inadequate local street system. The second crisis was when population growth and sprawl
after World War II lead to traffic volumes that again "swamped" the surface street system Wachs, M. (1993).
Learning from Los Angeles: Urban Form and Air Quality. Los Angeles, CA, Graduate School of Architecture and
Urban Planning, University of California, Los Angeles: 30 pages.
154 The second most congested region is Chicago, with a travel time index 
of 1.57 in 2003, up from 1.34 in 1993.
155 Looking at the trends in TTI's Urban Mobility Report, it is clear that keeping congestion at the same levels is a
feat in itself, and reducing absolute congestion levels (as measured by hours of delay or the travel time index) is rare
accomplishment, or the result of economic downturns in the region.
204
instead of increasing highway capacity to "accommodate its use" (Wachs 1993, p 5). He also
adds that this change in direction was "quite self conscious." Specifically, the new approach has
utilized a combination of transportation demand management (TDM) measures, such as HOV
lanes and carpooling and vanpooling programs and incentives, and major rail transit construction
projects.'
56 
This strategy has continued, with the 2001 and 2005 Regional Transportation Plans
attempting to slow VMT growth in the region by focusing on reducing single occupancy vehicle
(SOV) trips through transit, ridesharing, and telecommuting (Southern California Association of
Governments 2004, p 53). However, the expansive freeway and arterial network has grown at a
slower rate than both population growth and VMT growth, as seen in Figure 5-15.
Figure 5-15 Growth in population, travel (VMT) and lane miles
Travel Supply, Den.mud, and Population Tmnds
100 20
i o
0 .. 5
15
ii
Source: (Southern California Association of Governments 2004, p 54)
Finally, in addition to the usual travel demands of people and goods for a major metropolitan
area, Los Angeles also has the two largest cargo-handling ports in the US (the Port of Los
Angeles and the Port of Long Beach), together forming the fifth largest maritime port complex in
the world (Chang 2005, p 72). This substantial freight movement through the region is an
important factor for economic competitiveness, congestion and air quality.
5.5.1.2 Institutions
The size and complexity of the Los Angeles metropolitan area is also reflected by its institutions
responsible for transportation and air quality. As the designated MPO for the region, the
Southern California Association of Governments (SCAG), formed in 1965, covers a six-county
area, including Orange, Los Angeles, San Bemrnardino, Riverside, Ventura and Imperial Counties
156 Wachs, in fact, criticizes these projects because 
of the high cost and small benefits, supporting 
alternatives such
as the appropriate pricing of the automobile (to reflect its social externalities), land use policies, a wider range of
transportation choices (such as jitneys or employer provided buspools) and new technologies, such as universal fare
cards and real-time transit information.
205
(see Figure 5-16). SCAG's Regional 
Council has 76 voting members that 
meet monthly, making
it the largest council of government 
in the country. It also has a staff of more 
than 100 analysts
and planners. SCAG 
is responsible for the long-term 
Regional Transportation 
Plan (RTP),
which must be updated every three 
years, the Regional Transportation Improvement 
Program
(RTIP), updated yearly, and 
transportation conformity assessments 
for the air quality
management plan (AQMD).
Figure 5-16 Six-county SCAG region
Source: (Southern California Association of Governments 
2005, p 2-1)
In addition, all six SCAG counties have 
a commission or authority, 15
7 
which undertake planning
for the county, allocate locally generated 
revenues, and operate transit services 
(Southern
California Association of Governments 2004, 
p 29). However, the principal county-level 
players
are the Orange County Transportation Authority 
(OCTA), Los Angeles County Metropolitan
Transportation Authority (MTA or "Metro"), 
Riverside County Transportation Commission and
San Bemrnardino Associated Governments.
In addition to SCAG and the County Transportation 
Commissions/Authorities, there are also 14
sub-regional councils of government which 
represent "groups of neighboring cities 
and
communities (sometimes comprising an entire 
county) that work together to identify, prioritize
and seek transportation funding for needed investments 
in their respective areas" (Southern
California Association of Governments 2004, 
p 30). To coordinate between these sub-regional
groups for air quality management, SCAG formed 
a Sub-regional Air Quality Planning, Analysis
and Modeling Group (SAQ-PAM) - a type 
of middleman between the local governments and
SCAG, created "to ensure that all possible efforts 
were being made to mitigate the air quality
impacts of transportation" (South Coast Air 
Quality Management District 2003, p 68).
Transportation and air quality planning and investment 
decisions are a multi-level process, but
157 Imperial County is somewhat 
of an exception, as transportation-related 
activities are carried out by 
the Imperial
Valley Association of Governments (IVAG).
206
primarily a back-and-forth negotiation between the transportation commissions, local city
governments and subregional representatives, concerned with their local priorities, and SCAG,
which attempts to maintain regional consistency in their transportation investments and
improvements and stay within the air quality limits for conformity.
At the state level for transportation is the California Department 
of Transportation (Caltrans),
formerly, the California Division of Highways. Caltrans is divided in 12 districts for the state of
California, with each having responsibility for the design, construction, maintenance and
operation of the freeways within their districts. For the Los Angeles region, three different
districts have jurisdiction: District 7 for Los Angeles and Ventura counties, District 8 for San
Bemrnardino and Riverside counties, and District 12 for Orange County.
The most powerful state agency for air quality management in California is the California Air
Resources Board (CARB) created in 1967 as part of the California Environmental Protection
Agency. From its inception, CARB focused on improving air quality through controls strategies
heavily oriented toward mobile source emissions, as reflected in its early mission statement: "(1)
attain and maintain healthy air quality, (2) conduct research into the causes of and solutions to air
pollution, and (3) systematically attack the serious problem caused by motor vehicles, which are
the major causes of air pollution in the State."
158 
The first Chairman of CARB was Dr. Arie J.
Haagen-Smit, a professor of biochemistry at the California Institute of Technology, who first
discovered the processes of photochemical smog formation in 1952 (Molina and Molina 2002, 
p
7). Since that time, the eleven-member CARB Governing Board has continued to draw heavily
on expert representation, with five experts, five air quality district representatives and the
Chairman, all appointed by the governor. The CARB oversees all air pollution management and
control activities in California. However, in particular, they are responsible for motor vehicle
emissions, fuels and consumer products.
While in other states, mobile source emissions strategies are coordinated directly between 
the
MPO and state environmental agency, in the case of California, air quality is also managed by
"Districts", which are regional air quality management organizations. There are 35 air quality
districts in the State of California, which are responsible for adopting local air quality
management plans and rules. The South Coast Air Quality Management District 
(SCAQMD) is
the district for the South Coast Air Basin, containing the largest metropolitan 
population in
California, with 14.7 million people in the 
6,480 square mile area in 2000 (Alexis and Cox 
2005,
p 114-5). SCAQMD covers four counties, including all of Orange County, and the majority 
of
Los Angeles County, and the western portions of Riverside and San Bernardino counties.
1  
In
coordination with SCAG, SCAQMD develops the Air Quality Management 
Plan (AQMP) for
local control strategies, such as TCMs, which are then incorporated 
in the State Implementation
Plan (SIP) for air quality. However, in addition to air quality 
planning and enforcement
functions, SCAQMD has also played an important regulatory role for 
mobile sources at the
158 See www.arb.ca.gov/html/brochure/arb.htm. 
Last accessed November 
7, 2005.
159The northeast and less urbanized 
portion of Los Angeles County 
falls under the Antelope Valley Air 
Pollution
Control District, while the eastern portions of San Bernardino and Riverside fall under the 
jurisdiction of the Mojave
Desert Air Quality Management District.
207
regional level - a feature perhaps unique to California. For example, under Health and Safety
Code 40716, the District regulates large employers, considering them as "indirect sources" of
emissions because of their impact on VMT. Therefore, they are required to implement
mandatory ride sharing programs or equivalent mobile source emission reductions alternative
programs (South Coast Air Quality Management District 2003, 7-1). SCAQMD is also
responsible for control and permitting for local industrial sources and area-wide sources.
Public transportation service is provided by a number of agencies, although the L.A. County
Metropolitan Transportation Authority (Metro) is the most prominent, operating the subway,
light rail, bus rapid transit, regular fixed-route buses and paratransit. Metro also funds 16
municipal bus service providers. Metro is a large and powerful organization in the region,
formed in 1993 when the Los Angeles County Transportation Commission merged with the
Regional Transit District. This merger followed the 1992 approval by the L.A. County
Transportation Commission of a $183 billion, 30-year plan for 400 miles of new rapid transit and
commuter rail (Altshuler and Luberoff 2003, p 207). Metro now employs more than 9,200
people. Although Metro is multimodal in nature, including transit services (subway, bus, light
rail, BRT), bikeway and pedestrian facilities, local road and highway improvements, and other
projects, it is primarily known as a transit agency. Since the 1980s, Los Angeles has pursued an
aggressive expansion of transit rail, including the Red subway line, and the Blue, Green and
Gold light rail lines. MetroLink regional commuter rail is provided by the Southern California
Regional Rail Authority.
The cities also have various degrees of transportation related activities related to local streets,
such as arterial signal control. The City of Los Angeles's Department of Transportation
(LADOT) is by far the most active and advanced in both the traffic and transit arenas, operating
transit services, and, as will be discussed below, developing some of the most sophisticated ITS
applications for traffic signal control in the country.
Another organization that seems to play a role in linking transportation, air quality and advanced
technologies, is the Southern California Economic Partnership (The Partnership), first proposed
as part of the 1994 Air Quality Management Plan. This non-profit organization provides
networking and guidance on the implementation and marketing of advanced transportation
technologies, including many ITS applications. The Partnership has an 18-member Board of
Directors composed of representatives from the public and private sector, including
representatives from SCAG, SCAQMD, Caltrans and the county transportation commissions.
According to SCAQMD documents, the Partnership has been "an active and effective entity" in
supporting projects such as ITS, Smart Shuttles, Telecommuting Support, Alternative Fuel
Vehicle Support and the Travel Advisory News Network (TANN) project (South Coast Air
Quality Management District 2003, pp 23 and 26). Given the focus of this thesis, the Partnership
would appear to be an important agent for innovation that integrates both congestion mitigation
and emissions reductions goals. Yet, their actual impact on local transportation and air quality
planning is unclear, indicated in part by the fact that none of the interviewees mentioned the
Partnership once during the several hours of interviewing, despite its relevance to the topics
discussed. One possible explanation is that agencies attribute the work not to Partnership itself,
but to the individual actors that comprise it.
208
5.5.2 Air Quality History
The South Coast Air Basin (SCAB), designated as extreme non-attainment for ozone, finds itself
at a major disadvantage in terms of its meteorological and geographic conditions - both of which
conspire to produce extremely high levels of smog, as well as particular 
matter. Indeed,
according to CARB's annual emissions and air quality almanac "in terms of air pollution
potential, there are probably few areas less suited for urban development" 
(Alexis and Cox 2005,
p 114). The sunny conditions that characterize southern California unfortunately also promote
the rapid formation of ozone, while ozone-forming emissions are continuously pushed back
inland during the day by sea breezes (Molina, Molina et al. 2002, p 24). Coupled with these on-
shore sea breezes that push pollutants toward the mountains that border the basin inland, there
are frequent low inversions effectively trap pollutants in the basin, creating stagnant conditions
that foster ozone formation. Indeed, one can see from Figure 5-17, that some of the worst
pollution occurs inland, in the counties of San Bernardino and Riverside.
Figure 5-17 Geographic distribution of days exceeding 1-hour ozone concentrations
Source: (South Coast Air Quality Management District 2003)
5.5.2.1 Sources
As an extreme non-attainment area, SCAB has until 2010 to meet national ambient air quality
standards for 1-hour ozone.
16
0 Not surprisingly, mobile sources are a predominant source of
ozone precursors, particularly NOx. On-road mobile source emissions constitute about 
60% of
NOx emissions, with other mobile sources making up another 30% (see Figure 5-18). Stationary
sources are a relatively small proportion of NOx, in large part because of switching to natural gas
and installation of NOx control devices for electric utilities (Alexis and Cox 2005, p 116).
160 SCAB is also in non-attainment 
for CO and PM 10, although the 
focus here will be on ozone.
209
However, on-road mobile 
sources are also large contributors 
to VOC, even outweighing 
area-
wide sources, which are the typical 
culprits for VOC emissions.
Figure 5-18 Emissions inventory 
for the South Coast Air Basin 
(2005)
1000
800 -
600 -
400
200 -
0-
NOx
I Stationary Sources
SArea-wide Sources
m Other Mobile
* On-Road Mobile
VOC
Source: Tables 4-3 and 4-5 (Alexis and Cox 2005)
Nevertheless, this represents a dramatic 
decrease in ozone precursors from 
earlier years. At the
passage of the CAAA of 1990, 
NOx emissions averaged 1,588 tons 
per day, while VOCs
averaged 1,775 tons per day (Alexis 
and Cox 2005, p 115, Table 
4-1). These precursor
emissions reductions are reflected in 
the downward trend in peak one-hour 
ozone concentrations
and the number of days exceeding 
the ozone standard. As seen in Figure 
5-19, maximum one-
hour ozone concentrations were averaging 
well over 0.3 ppm in the mid- 
to late-1980s, and by
the year 2000, that level had fallen to 
below 0.2 ppm. During that same time 
period, the number
of days above the national 1-hour 
standard dropped from around 160 
to 40, one-quarter of
original number of exceedances.
210
r
Figure 5-19 1-hour ozone trends in the South Coast Air Basin
200 0.5
--o- Days Above National 1-Hour Standard
_IL--- Maximum 1-Hour Concentration
160
120
0.4
0.3
0
5 80 0.2
Z
----------------- 1-hour standard-------------------------
40 7 0.1
0 l i l s i l l a O : 0
0o 00 0o 0? 01 01 0 0 0 0
-4 - - - -4 1- -4 (I N
Source: (Alexis and Cox 2005)
While air quality has improved substantially over the past few decades, many NGOs 
in the
region warn that it is too early to relax. For example, the National Resources Defense Council 
in
Los Angeles, a powerful environmental lobbying group, has pointed out that the 
last five years
have witnessed a steadily growing number of days above the one-hour 
standard - evidence that
strong measures 
are still needed.
1
6
1
5.5.2.2 Actions
Los Angeles has struggled with controlling air pollution for over 60 years, 
with 1943 marking
the date of the first recorded photochemical air pollution episode 
in the city (Molina, Molina et
al. 2002, p 23). Indeed, the Los Angeles Air Basin has literally 
been a laboratory for
understanding the sources and process of ozone formation ozone. As a result, 
Los Angeles has
been the national, if not world, leader for advances in air pollution 
science, control measures and
programs, legislation and standards.
CARB has "traditionally seen itself as a technology-forcing agency" 
(Molina, Molina et al. 2002,
p 31). CARB is unique because of California's ability 
to set vehicle emissions standards stricter
161 John M. Broder, "Cleaner 
Los Angeles Air? Don't Hold 
Your Breath," The New York 
Times. November 14,
2004.
211
than those set at the federal level by EPA.
162  
However, CARB cannot set fuel efficiency
standards, which remains under the jurisdiction of the federal government, and even setting
carbon dioxide emissions standards (which are directly proportional to a vehicle's fuel economy)
has been the basis for a number for legal battles with the automobile industry. In 1966, just
before the official creation of CARB, California imposed regulations of tailpipe emissions that
were "first of their kind in the US" (Molina, Molina et al. 2002, p 28). Since then, CARB has
continued to adopt new standards and regulations for both vehicles and fuels, including two- and
three-way catalytic converters, on-board diagnostic (OBD) systems, Low and Zero Emission
Vehicle mandates, and regulations for reformulated gasoline. Indeed, it is generally recognized
that the "most significant reduction in contaminant emissions has come from technological
improvements in the automotive sector" (Molina, Molina et al. 2002, p 33). According to
Caltrans, air quality improvements from mobile sources have mainly been from the reformulated
fuels, emissions control devices, improving the durability of those devices, OBD, and lastly, 
the
smog check program (Caltrans interview, 2005).
Nevertheless, the continued severity of the air pollution has lead to the increasing use of
behavior-based strategies as well. One of the early and most notable of these transportation
demand management strategies was Regulation XV, adopted in October of 1987 by the Board 
of
SCAQMD, even before passage of the Clean Air Act Amendments of 1990 (Wachs 
1993, p
14).163 Under Regulation XV, all public and private employers with 100 or more workers 
would
have to create a plan for increasing the average vehicle ridership (AVR) for their employees,
with AVR depending upon the location of the employer (i.e., in a high or low density area). In
order to complement these programs and other ridesharing initiatives, Los Angeles 
has
developed an extensive network of HOV lanes in order to provide travel time advantages 
to
carpools and vanpools.
5.5.2.3 Issues
As noted by Wachs in the early 1990s, "reflecting concerns about air quality, 
energy, and the
quality of life in the region, policy makers have in recent years rejected 
the strategy of increase
highway capacity" (Wachs 1993, p 5). Indeed, most highway capacity 
increases are in the form
of HOV lane addition
1 64 
or "gap closures" in the existing freeway network. Yet, even gap
closure projects are difficult to implement. For example, the gap closure 
for Interstate 710, just
north of Interstate 10, has been resisted by the communities of South Pasadena 
for decades.
162 Section 209(b) of the Clean Air Act grants California the authority to set its own 
emission standards as long as
they are at least as stringent as the federal mobile emissions standards, while Section 
177 allows other states to adopt
California's more stringent standards. Four northeastern states - Maine, 
Massachusetts, New York and Vermont -
have all adopted California's emissions standards.
163 Regulation XV had national repercussions in that it ushered in the Employee Trip Reduction mandate of the
Clean Air Act Amendments - a mandate which would later by made 
a voluntary measure, left to the "discretion of
the state."
164 Caltrans has an "add-a-lane" policy for their HOV network development, meaning that they 
cannot take away an
existing general traffic lane on the freeway for conversion to HOV 
(SCAG interview, 2005).
212
At the regional level the strategy has been to reduce VMT through this multi-pronged transit 
and
TDM strategy, while at the state level, the focus is on introducing standards 
for cleaner fuels and
vehicles. And, despite the frequently high costs of the transit and TDM measures meant to shift
people from single-occupancy cars to transit and ridesharing, Los Angeles appears to 
be
continuing along this path for air quality improvements. Yet, according to SCAG, even with
these major investments in transit and carpooling, "it's just keeping pace, and holding the
percentage share... [at] 4 to 4.5% for transit, 16% for rideshare and carpooling, and the standard
number is 80% for SOV" (SCAG interview, 2005).
In spite of the criticisms of many of the new transit projects (Wachs 1993; Altshuler and
Luberoff 2003), and the difficulties in bringing down the share of single-occupancy 
vehicle trips,
there does not seem to be much opportunity for backing away from this 
strategy, which has
continually been "ratcheted up".
16  
Indeed, many regional planners feel that this focus on
transportation control measures - such as transit services and demand management 
- as a way to
improve air quality, is skewed. According to one planner at SCAG:
"The reality is that 96-7% of the reductions that we have seen have come from
improvements in tailpipe emissions, and 1% have come from TCMs. So the tail wags the
dog" (SCAG interview, 2005).
Because many of the these measures have been incorporated into official air quality 
planning
documents as TCMs, they represent stronger commitments, as they must be implemented 
on
schedule to avoid conformity problems with EPA.
166 
The lock-in to these TCMs was evident
with the recent budget shortfall in the 
State of California. As total levels of state funding 
fell,
project funds were shifted around in order to cover the state portion 
of funding for all
Transportation Control Measures, often moving funds to TCMs at the expense of other non-TCM
projects that might be preferred by the county transportation commissions (SCAG interview,
2005).
While many have criticized what they see as an overemphasis of transit 
and demand
management, this may have had a positive impact on ITS deployment. First, ITS 
has been used
to support and enhance many of the new transit systems that have come into service 
in the past
10-15 years. In addition, the constraints on building new physical capacity 
have opened up
opportunities for the deployment of ITS system to address the high levels of congestion 
in the
region. As noted in many of the planning documents, with no room to expand, better 
system
management becomes the dominant strategy, with ITS being a key component in 
system
management. We will now discuss the deployment of ITS in Los Angeles.
165 The term "ratcheting-up" is 
used by Vogel, D. (1993). Representing 
Diffuse Interests in Environmental
Policymaking. Do Institutions Matter? R. K. W. a. B. A. Rockman. Washington, 
DC, The Brookings Institution. to
compare environmental policies which are increasingly stringent over the years, compared 
to policies that "see saw"
- from more stringent to more lax - according to changes in government administrations and 
political environments.
166 As described in Chapter 
4, once a TCM is included 
in a state implementation 
plan (SIP) for air quality,
"reasonable progress" toward implementing 
those TCMs must be rigorously 
documented. Even substitution 
of one
TCM for another TCM with equivalent air quality benefits has been difficult 
for many regions. Failure to
implement TCMs according to the schedule in the SIP can lead to the entire 
SIP document being questioned by
EPA, and even result in a sanction, a more severe form of a conformity lapse.
213
5.5.3 ITS Deployment
ITS has been an increasingly important part of the transportation strategy for the Los Angeles
region, with operational planning as a key component of the last three Regional Transportation
Plans (RTPs) (for the years 1998, 2001, and 2004) (SCAG interview, 2005). For example, in the
2004 RTP, the list of potential solutions to Southern California's transportation challenges is
headed by System Management ("Getting the Most Out of the System") followed second by
Transportation Demand Management strategies. For ITS capital improvement, the RTP projects
an investment of $859 million between 2005 and 2030, with $677 million of that going toward
Los Angeles County, with the remainder distributed among Orange, Riverside, Ventura and San
Bernardino counties. 1
67 
ITS deployment has also been relatively evenly spread across systems
for traffic, transit, and information.
5.5.3.1 Traffic
Caltrans has been involved with ITS technologies since the early 1970s, when they first began to
deploy their ramp metering network, and with their 42-mile loop system controlled from
Caltrans' downtown Los Angeles office (Caltrans interview, 2005). Since, then Caltrans has
continued to expand its ITS operations including variable message signs, CCTV surveillance of
traffic conditions, ramp metering, fiber optics interconnection, among other elements. The
regional real-time traffic detection system now covers 750 centerline miles, or about half of the
urbanized centerline miles in the region (SCAG interview, 2005). According to SCAG, the
majority of the ITS for traffic management is centered in the already built-out urban areas,
although many newly urbanizing areas, such as the in the Inland Empire, are laying down the
infrastructure for ITS applications in preparation for the future. Los Angeles began with ITS
when they "realized they could no longer build out" with physical capacity (SCAG interview,
2005). But even newly developing areas are incorporating ITS applications from project
inception. According to an ITS program director at Caltrans, "invariably, every large project
will include ITS elements - without exception" (Caltrans interview, 2005).
Caltrans has recently relocated its TMC into a 88,000-square-foot building in Glendale, north 
of
the City of Los Angeles downtown. They add that one factor in their successful management of
non-recurrent traffic is the co-location of the California Highway Patrol (CHP) in the TMC.
CHP has access to Caltrans cameras, while Caltrans has access to CHP's computer-assisted
dispatch system for responding to incidents, which gives both agencies "very fast information on
what happens on the highway" and enables a more coordinated response (Caltrans interview,
2005). Currently, the Transportation Management Center is just that, for traffic management.
However, through its partnership with Metro and others on the RIITS program, which we will
discuss below, ITS program managers are envisioning the TMC as "an information center in the
future, [which will] collect and disseminate a lot of information to the general public" (Caltrans
District 7 interview, 2005).
167 Imperial County, the least populated of the counties included in SCAG, would receive 
no monies for ITS
according to the RTP.
214
For arterial traffic control, the leader in the region is the Los Angeles City Department of
Transportation (LA DOT). First developed in preparation for hosting the Olympic Games of
1984, the Advanced Traffic Surveillance and Control (ATSAC) System, is the system of
interconnected signalized intersections for optimized network control. Currently, 2,895 of 4,244
of all intersections in the City of Los Angeles are included within the system.
168 
Information on
traffic conditions come from both electronic loop detectors as well as closed-circuit television
(CCTV). However, the most important advancement was the Adaptive Traffic Control System
(ATCS), developed by in-house engineers with LADOT. This adaptive traffic signal control
system automatically changes cycle length, phase split and offset - based upon real-time traffic
conditions, as sense by the loop detectors - simultaneously for all traffic signals under full (Level
III) adaptive control. LADOT has also been able to enhance the system to provide signal priority
to transit vehicles. According to engineers working on the system, the earlier ATSAC system
provided delay reduction of 10-12%, while the addition of adaptive control (ATCS), was
between 5-6%, compared to the earlier system of interconnected and centralized, but not fully
adaptive control (LADOT interview, 2005). Among the awards that LADOT has received for
their innovation in arterial management include the Ford Foundation Award for Local Innovation
in State and Local Governments (1992) and the National Energy Award for Energy Efficiency
and Renewable Energy from the U.S. Department of Energy (1995).169 Many cities in the Los
Angeles region, particularly in Los Angeles County, are following LADOT's lead in traffic
management systems.
5.5.3.2 Transit
Within the SCAG region, there are over 40 transit agencies (Southern California Association of
Governments 2004, p 58). Therefore, we will focus only on some of the larger service providers,
and their ITS deployments. One of the largest agencies, Metro or MTA (Los Angeles County
Metropolitan Transportation Agency), has deployed a comprehensive set of advanced public
transit system technologies that include: transit radio system, Computer Assisted Dispatch
(CAD), automatic vehicle location (AVL) which is based on GPS, and automatic passenger
counting. A second phase of implementation will include video surveillance system and
automatic voice annunciation, with both audio and visual (electronic message sign) "next stop"
announcements. I Another service provider, LADOT, is developing a rapid bus 
system,
providing bus priority on many of the surface streets (Caltrans interview, 2005, p 56).
Given the large number of transit providers, there are also efforts toward providing common fare
payment methods for multiple service provides, including initiatives such as the GO-VENTURA
smart card and the universal fare card in Los Angeles (Southern California Association of
Governments 2004, p 58). The universal fare card has received substantial CMAQ funding in
the current regional transportation improvement program (RTIP) for large and small transit
168 See http://trafficinfo.lacity.org/html/atsac 
1.html and http://trafficinfo.lacity.org/html/atsac 
2.html. Last
accessed June 27, 2005.
169 The latter was awarded specifically for the 
City's Santa Monica Freeway Smart Corridor 
Demonstration Project.
170 See www.mta.net/projects programs/atms/default.htm. 
Last accessed May 11, 2005.
215
providers, including LADOT, Metro, Santa Monica, and a number of smaller transit providers in
Los Angeles County.
5.5.3.3 Information and Other
Many of the largest agencies in the Los Angeles area are involved in an initiative to integrate
real time information on their systems operations. The project, called Regional Integration of
Intelligent Transportation Systems (RIITS) is headed by Metro, and will allow operators to share
information on both traffic and transit systems across the region. Currently, Caltrans, California
Highway Patrol, LADOT, and Metro are partners in the project, although the vision is to
eventually expand the system to include other transit, traffic, airport, public works and
emergency response agencies.171 In the near term, the primary purpose of RIITS is to integrate
information on a common framework and enable real-time information sharing. The next (and
more difficult) steps, building upon this framework, are to actively coordinate operations
between agencies and across jurisdictions, and to provide this integrated and multimodal
information to the public. Currently, there are also 12 private information service providers,
which can deliver real-time traffic information through the web, email, and PDA devices (SCAG
interview, 2005).
Advanced traveler information system, including pre-trip and en-route information on traffic, bus
and train, and alternative routing, are also viewed as a complement to transportation demand
management (TDM) strategies (Southern California Association of Governments 2004). This
will be discussed in more depth in the following section.
5.5.4 ITS-Air Quality Links
5.5.4.1 Projects
In spite of the extensive and advanced ITS systems that have been developed in the Los Angeles
region, only a fraction of these have actually been "counted" as measures for reducing
transportation-related emissions. Many transportation professionals in the region, from LADOT,
SCAG, Caltrans and others, have pointed to the important air quality benefits that ITS has
provided (LADOT, SCAG and Caltrans interviews, 2005). For example, one of the most widely
referenced ITS application is the Automated Traffic Surveillance and Control (ATSAC) system,
considered to have greatly reduced delay, fuel consumption and emissions through LADOT's
successive improvements to the system over the years (eventually leading to the adaptive traffic
control system, ATCS). ITS technologies have also played an important role in improving
transit - one of the core strategies for improving air quality in the region. Yet, when looking for
ITS as a part of a package of transportation control measures in an air quality plan, or as a project
funded through the CMAQ program, few of Los Angeles' ITS current or planned deployments
are incorporated. According to SCAG, they would like to not only "claim more credit" but also
171 Specifically, the agencies expected to become involved in the future 
include: Los Angeles International Airport
(LAX), the Ports of Long Beach and Los Angeles, Access Services, Long Beach Transit, Santa Monica Big Blue
Bus, LA County Department of Public Works, LA County Fire and LA County Sheriff. Metro (2004). Metro
Partners for Real-Time Integrated Traffic Operations. Brochure.
216
"push more research" regarding the air quality benefits of ITS (SCAG interview, 2005). In
contrast to Houston, which was enthusiastically using CMAQ funding and taking credit for the
air quality benefits for many of the city's ITS deployments, Los Angeles seems hesitant to follow
this same approach. This is a further paradox when one considers that both congestion and air
quality are worse in Los Angeles than any other metropolitan area in the US.
As another example of this seeming "failure" to implement what seem to be "win-win"
outcomes, from the technical standpoint, we look to a project that was not implemented. In the
mid-1990s, LADOT developed a proposal to use their ATSAC infrastructure as a base to install
air quality monitors that could retrieve real-time emissions information for carbon monoxide,
and graph that information in using Geographic Information Systems (GIS) to correlate it with
traffic. The project would have used CO "hot spots" to identify problems with signal control
strategies and make signal timing adjustments based upon levels of CO.
172 
Indeed, several
monitoring devices were actually installed. According to LA DOT, they had already acquired
four monitors, two for downtown and two on the west side of the city in traffic signal control
cabinets. According to engineers at LA DOT, they made a proposal to the Air Quality
Management District (AQMD) requesting funding to implement the system, however, AQMD,
"for some reason, didn't find interest in it," and the data was never displayed in any graphical
format for use in traffic signal timing improvements (LA DOT interview, 2005). The
development engineers were "surprised" that the project was not funded, given what they 
saw as
a clear win-win situation for congestion and air quality, although were not aware of the specific
reasons for which the proposal was rejected (LADOT interview, 2005). Although this project
did not move forward, it would have represented a highly novel use of information on CO
concentrations to manage both traffic and air quality in real time.
Therefore, in Los Angeles, the use of ITS as an emission reduction measure is limited. In
particular, arguments regarding the emission reductions from ITS-based traffic flow
improvements have not advanced far. However, ITS has gained some currency as a supporting
component for transit, and for enhancing many traditional Transportation Demand Management
(TDM) strategies such as ridesharing and carpooling. The Transportation Control Measures
(TCMs) for the SCAG region have been grouped into three main categories: (1) high-occupancy
vehicles (HOV), (2) transit and system management, and (3) information-based transportation
strategies (IbTS). The vast majority of TCMs are for transit, which includes a range of measures
for rail, bus, shuttles and paratransit, and intermodal facilities. All bicycle and pedestrian
projects (whether connected to transit or not) are also included within the category. This heavy
focus on transit and HOV within the set of TCMs reflects the general direction of transportation
planning in the Los Angeles region toward transit and trip reduction measures, as discussed
earlier.
172 Similar technologies are discussed 
in Chapter 2, in the section on 
Energy and Emissions ITS.
217
Table 5-10 TCM categories and measures for the SCAG region
Number of projects
TCM Category Measures with ITS Total
with ITS Total
HOV/HOT New HOV lanes, extensions or additions to existing facilities 0 17
measures New HOV lanes, with new facility or facility improvement projects 0 15
HOV Bypasses, connectors, new interchanges with ramp meters 1 6
HOT and pricing alternatives 4 4
Transit Measures Transit
New rail track or capacity expansion of existing lines 0 4
New rolling stock 0 3
Express busways, bus rapid transit (BRT) and dedicated bus lanes 3 5
Fleet expansion for buses 2 45
Fleet expansion for shuttles and paratransit 4 24
Intermodal Transfer Facilities
New or expanded rail stations 2 19
New or expanded park and ride lots 0 33
New or expanded bus stations and transfer facilities 2 19
Non-motorized Transportation Mode Facilities
New or expanded bike and/or pedestrian facilities 4 56
Information-based Marketing and promotion of rideshare and intermodal service 1 7
Transportation ITS/Control System Computerization 2 2
Strategies (IbTS) Real-time rail, transit, or freeway information systemsl
73  
9 9
TOTAL 34 268
Source: (South Coast Air Quality Management District 2003, Appendix IVC)
The creation of the category of Information-based Transportation Strategies is an interesting
addition to the usual suite of TCMs. It reflects the use of information to both manage the system
and provide accessible and convenient alternatives to the use of the single occupancy vehicle.
As described by SCAQMD:
"Improving the information content of the transportation system, without the construction
of additional capital facilities and hard infrastructure, has been shown to affect the travel
behavior and mode choices of consumers in ways that benefits the overall regional
transportation system. These improvements reduce congestion and mitigate air pollution,
as well as other adverse environmental impacts of transportation activity." (South Coast
Air Quality Management District 2003, Appendix IVC p 19).
This is also a more multi-modal approach to considering both TCMs and ITS, since it considers
areas of overlap such as real-time multi-modal information to commuters that may show
congestion conditions on the freeway and help commuters plan a transit or bicycle trip or
connect with a rideshare for use of the HOV lanes. For example, this is the purpose of the Travel
Advisory News Network (TANN), a project managed by the Partnership, and SCAG's TranStar
automated transit trip planning system available via internet or kiosk (South Coast Air Quality
Management District 2003, Appendix IVC p 22). The CommuteSmart.info program managed
through a five-county partnership - Los Angeles, Orange, Riverside, San Bernardino and
173 There are some inconsistencies in how the actual measures are described 
within the document. We have included
all measures as defined and listed on pages 31-49 in Appendix IVC of the 2003 Air Quality Management Plan.
218
Ventura - is a exemplary in this respect. Its website guides users (either 
through its own content,
or links to other sites) with comprehensive and real-time information for traffic, carpooling and
vanpooling information and ridematching services, list of available vanpools, location of park
and ride lots, roadwork advisories, transit 
trip planners, and even bicycling trip 
planning. 1
74
Regarding the general ITS content of the TCMs measures list above in Table 5-10, clearly ITS is
most prominent in the category of IbTS, and in particular, traveler information systems. ITS also
acts as a supporting measure for many transit applications, in particular, for bus rapid transit or
shuttles or paratransit. This is not surprising given that the operational success of these systems
depend upon technologies such as automatic vehicle location, computer-assisted dispatch, signal
priority (for BRT), and advanced voice and data communication links. Indeed, the numbers
above are probably very conservative estimates of the number of projects of this type
incorporating ITS elements, since only those project descriptions which explicitly identified an
ITS component were included.
175 
Ramp metering and electronic toll collection for HOT lanes
are possible ITS applications in support of HOV lanes, and intermodal transfer stations may
include information kiosks for transit users. For ridesharing, online ridematching and databases
with advanced algorithms for matching riders based upon location and destination are again
supporting ITS applications. Within the category of ITS/Control System Computerization, there
are only two projects - one for a traffic management 
system along the Pacific Coast Highway,
including bus speed improvements (through signal priority), and another for a automated traffic
management system in Corona. However, the presence of only two ITS-based traffic flow
improvement measures, out of 268 TCMs in total, indicates that ITS technlologies for congestion
management and traffic flow improvements are not widely seen as a legitimate emission
reductions measures. This is an interesting contrast to the case of Houston, and presents a
fundamentally different approach to their region's TCM strategies.
5.5.4.2 Funding
The Los Angeles six-country region receives nearly 60 percent of all California's CMAQ funds.
Indeed, the Los Angeles region receives more 
CMAQ funding that any other region in the US,
due to its size and the severity of its air quality problems. For example, obligated 
CMAQ funds
for FY 1996-2000 were $584 million (Transportation Research Board 
2002, p 266). For the
current RTIP, nearly $1.2 billion dollars in CMAQ funds have been designated to 
specific
projects.
176
174 See www.commutesmart.info. 
Last accessed April 12, 
2006.
175 The descriptions for each project 
in the RTIP are relatively brief, 
and thus do not discuss all aspects 
of each
individual projects. For example, vehicle purchases for advanced vehicles may also 
include ITS applications, and
more than one shared ride program may also support the online ride-matching 
database service.
176( For comparison to 
the earlier figure, it should 
be noted that the CMAQ 
figures for the 2004 RTIP 
include CMAQ
funds from FY 05/06 to FY 09/10, as well as some carryover CMAQ funding from 
prior years.
219
Table 5-11 CMAQ projects from the 2004 RTIP*
# of Projects CMAQ Total Cost CMAQ/ Share of
Projects with ITS (000's USD) (000's USD) Total Cost Total CMAQ
Traffic Flow 33 25 45,014 136,823 33% 4%
Traffic Flow - HOV 14 0 185,897 1,549,788 12% 16%
Shared Ride 7 1 7,909 8,387 94% 1%
Transit 99 22 852,283 3,387,626 25% 74%
Transit - Intermodal 12 0 14,469 18,423 79% 1%
Bicycle/Pedestrian 31 1 22,277 38,642 58% 2%
Demand Management 2 0 1,081 1,302 83% 0.1%
Other 16 0 25,230 68,709 37% 2%
TOTAL 214 49 1,154,160 5,209,700 22% 100%
Source: (Southern California Association of Governments 2004)
*Includes FY 2004/5-2009-10, and some carry overfundingfrom prior years.
Compared to the list of Los Angeles' TCMs reviewed above (Table 5-10), there are more traffic
flow improvement projects, the majority of which incorporate ITS (25 of 33). These ITS
elements include signal coordination, synchronization, and interconnection projects and
incorporation into LADOT's adaptive traffic signal control system. However, transit continues
to top the list in number of projects, with 101 in total (including intermodal), and three-quarters
of the total CMAQ funding to the region. HOV lanes follow in terms of the share of CMAQ
funds used, although with only 14 projects - reflecting the relatively high cost of HOV lane and
connector construction. For transit projects, a much higher number of ITS applications were
identified compared to the list of TCMs. In fact, 22 of 99 transit projects incorporated some ITS
element. The majority of this was to incorporate technology for universal fare system,
specifically in Los Angeles County, where there is an effort to develop a common fare payment
system across a large number of transit service providers.
Additional ITS applications for CMAQ-funded transit projects, were automated vehicle location
(AVL) systems and advanced communications equipment. CMAQ funds, therefore appear to be
an important source of funding for many of the advanced public transit systems, in particular, the
universal fare system. As seen in Table 5-11, CMAQ funds are only one-quarter of total project
cost for transit projects (not including intermodal), meaning that these project are well supported
by a range of other funding categories (sometimes up to five or six total funding sources from
local, state and federal sources). However, when looking only at those CMAQ-funded transit
projects which are ITS (universal fare system, AVL, etc.), the share of CMAQ funding rises to
nearly three-quarters of total project cost. This suggests that the ITS applications for transit use
CMAQ as an important funding source, and that regional initiatives like the universal fare
system might not reach significant levels of deployment if not for the availability of CMAQ
funding.
In terms of where projects are being funded, the majority of funds (80%) are spent in Los
Angeles and Orange counties, followed by Riverside, San Bernardino and Ventura.
220
Table 5-12 CMAQ funding by county, FY 2004/5-2009/10 (millions of USD)
County CMAQ Share of 5-
funds county total
Los Angeles 684 59%
Orange 244 21%
Riverside 98 9%
San Bernardino 82 7%
Ventura 46 4%
TOTAL 1,154 100%
Source: (Southern California Association of Governments 2004)
General funding patterns, by type of measure and location, seem to be relatively constant from
different time periods when comparing Table 5-11 to the five-county total in
Table 5-13. Transit is the largest category for both time periods, although with increasingly
shares of CMAQ funding in the most recent RTIP.
Table 5-13 CMAQ program obligations by county, FY 1996-2000
Total Cost CMAQ Cost % of all
(M USD) (M USD) CMAQ
FIVE COUNTY TOTAL
Traffic flow improvement 180.6 139.2 23.9%
Shared ride 17.6 11.4 2.0%
Transit 455 368.8
Bike/pedestrian 8.5 7.5 1.3%
Demand management 2.3 2.1 0.4%
Other 79.2 54 9.3%
TOTAL 743.2 583.0 100.0%
Los Angeles County
Traffic flow improvement 67.8 57.1 14.6%
Shared ride 10.7 5.1 1.3%
Transit 385.0 307.7
Bike/pedestrian 0.8 0.7 0.2%
Demand management 0.3 0.3 0.1%
Other 22.7 20.3 5.2%
Subtotal 487.3 391.2 100.0%
Riverside County
Traffic flow improvement 50.8 41.3
Shared ride 1.6 1.4 1.8%
Transit 21.3 18.9 24.7%
Bike/pedestrian 3.8 3.4 4.4%
Demand management 0.1 0.0 0.1%
Other 21.9 11.4 14.9%
Subtotal 99.5 76.4 100.0%
Total Cost CMAQ Cost % of all
(M USD) (M USD) CMAQ
San Bernardino
Traffic flow improvement 61.1 40.0
Shared ride 3.4 3.0 5.5%
Transit 7.8 6.1 11.1%
Bike/pedestrian 0.2 0.1 0.2%
Demand management 0.0 0.0 0.0%
Other 6.3 5.4 9.9%
Subtotal 78.7 54.6 100.0%
Orange County
Traffic flow improvement 0.0 0.0 0.0%
Shared ride 0.9 0.9 2.8%
Transit 17.6 15.6 47.8%
Bike/pedestrian 0.0 0.0 0.0%
Demand management 0.0 0.0 0.0%
Other 27.5 16.2
Subtotal 46.0 32.6 100.0%/0
Ventura County
Traffic flow improvement 1.0 0.8 3.0%
Shared ride 1.0 0.9 3.2%
Transit 23.3 20.7
Bike/pedestrian 3.8 3.4 11.9%
Demand management 1.9 1.7 6.0%
Other 0.8 0.7 2.5%
Subtotal 31.8 28.2 100.0%/0
Source: (Transportation Research Board 2002, p 267)
These CMAQ spending patterns tend to support the observations in the report by the
Transportation Research Board on the CMAQ program. Compared to Houston, which saw
congestion mitigation and air quality goals as roughly the same importance for CMAQ funding,
the majority of planners, managers and analysts in Los Angeles interviewed for the report saw air
quality improvements as the primary goal (Transportation Research Board 2002, p 264). Many
221
also saw congestion mitigation as another important goal, and no fundamental conflict between
the two. SCAQMD, however, did not see these two goals as necessarily compatible (ibid, p
264), reflecting a skepticism regarding the air quality benefits from operational improvements.
In addition to looking what is being funded (traffic flow improvements, transit, rideshare), and
where, we should also look closely at who is being funded. Going through the regional
transportation program in detail, one sees that the Los Angeles County MTA (Metro) dominates
the CMAQ spending profile. For fiscal years 2004/5 to 2009/10, Metro received the bulk of the
CMAQ funding pot - receiving 46% of all CMAQ funds during that time period. Not
surprisingly, nearly all of that funding went toward transit improvements, ranging from operating
assistance, purchase of lower emission vehicles and light rail cars, and a few ITS components,
such as ITS outfitting of BRT stations, and universal fare payment systems. Therefore, while
some counties, such as San Bernardino and Riverside, more aggressively pursue traffic flow
improvements using CMAQ funds, they represent only a small portion of allocated CMAQ
funding in the region (7% and 9%, respectively). Spending in Los Angeles County, and
specifically, the spending decisions of Metro, dominate the breakout of CMAQ funds for the
region.
5.5.4.3 Evaluation
Unlike other regions, SCAG incorporates Transportation Control Measures, ITS, and other
operational projects in their Regional Transportation Plan into their general transportation
modeling approach that is used for determining conformity. They suggest two reasons why
modeling aggregate emissions reductions from all TCMs taken together is a better approach than
off-model (or "back-of-the-envelop") analysis for each individual measure. First, the tools use
from transportation emissions modeling at the network level are "a more exact science" than the
"off-model" methods typically used to measure 
emissions changes from individual TCMs.
Second, they suggest that adding up emissions reductions from individual TCMs would present a
problem of double counting, 
as there are overlapping effects 
between various strategies.
177
Therefore, they suggest that "it is important that estimates of the actual emissions reductions
indicated by the 2001 RTP and TCMs should be quantified only at the systems-level. For the
2003 Air Quality Management Plan, the reductions from all TCMs were as follows.
Table 5-14 TCM and total RTP emission reductions (tons per day) in 2010
Transportation Total reductions for the RTP TCM reductions as a
Control Measures (including TCMs) percentage of total RTP
(TCMs) reductions
VOC 5.6 15.7 36%
NOx 1.0 7.8 13%
CO 60.8 161.8 38%
Source: (South Coast Air Quality Management District 2003, p 8)
177 One example of overlapping effects would be changes in ridesharing (and thus VMT) 
from the construction of
HOV lanes and rideshare marketing strategies.
222
Although the final calculations for TCM emissions reductions are done using the regional
transportation and emission model, in the process of negotiating which measures to incorporate
into the final transportation plan, the Sub-regional Air Quality Planning, Analysis and Modeling
Group (SAQ-PAM), "oversaw an extensive off-model analysis effort to capture the air quality
benefits of local projects such as grade separation and traffic signalization" (South Coast Air
Quality Management District 2003, p 68). This highlights that although a more "robust" and
detailed model is used for claiming credit for these measures in the regional transportation plan,
in the actual dialogue between the local government, sub-regional government, and regional
entity (SCAG), more back-of-the-envelop calculations are necessary to compare and prioritize
measures.
For CMAQ-funded projects, however, there is a separate evaluation methodology, which has
been developed by CARB, in cooperation with Caltrans and California Air Pollution Control
Officers Association (CAPCOA), and is updated regularly by CARB.
178  
This evaluation
methodology - "Methods to Find the Cost-Effectiveness of Funding Air Quality Projects" - is
intended for the evaluation of comparison of the cost-effectiveness of both CMAQ and Motor
Vehicle Registration Fee projects (California Air Resources Board 2005). However, the
methodology is not used by all agencies. The process for CMAQ project development and
selection is decentralized, with the individual counties responsible for selecting and reporting to
Caltrans on CMAQ projects. Some agencies, such as Metro, choose to use their own
transportation and emissions models to assess the emissions and travel impacts of their proposed
CMAQ projects (Transportation Research Board 2002, p 263).
Compared to Houston, the Los Angeles methodology covers fewer individual measures (10 in
Los Angeles compared to 48 in the MoSERS handbook). With respect to ITS, the only ITS-
related measure included in the methodology is signal coordination and optimization. While the
calculations used by the two manuals are essentially the same - using emission factor changes
from changes in average speeds on the affected arterial - there is an important difference. In the
CARB manual, a more conservative approach to estimating the emission reductions from CMAQ
project is used. Although there is no explicit manner for incorporating induced demand, the
methodology does introduce a rough correction factor (diving initial emission benefits by one
half) to account for the growth in travel that will likely 
take place on the improved corridor.
1 79
Annual Emission Reductions = (0.5) x (VMT) x ((before emission factor)-(after emission factor))
where: VMT = (days of use) x (congested traffic volume) x (length)
178 The most recent update is May 
2005. The methodology is available 
in Microsoft Access database, with 
equations
and default values. See www.arb.ca.gov/planning/tsaq/eval/eval.htm.
179 According to the manual, "initial 
speed improvements decline to 
zero improvement by the end of 
the
effectiveness period. In order to account for this, the emission reduction equation reduces initial emission 
reduction
benefits by one half." California Air Resources Board (2005). Methods to Find the Cost-Effectiveness 
of Funding
Air Quality Projects: For Evaluating Motor Vehicle Registration Fee Projects and Congestion Mitigation and Air
Quality Improvement (CMAQ) Projects. Sacramento, CA, California Environmental Protection Agency, in
Cooperation with the California Department of Transportation: 61 pages.
223
Yet, it does not indicate to what extent that expected travel growth is induced travel, or
exogenous growth in travel demand. The CARB manual also highlights the possible detriments
to air quality from increasing speeds substantially.
"Signal timing and other actions that increase traffic speeds and flows to the detriment of
overall traffic performance or that offer a significant inducement to travel by auto are not
air quality beneficial. Speeds higher than 36 mph begin to increase NOx emissions and
may also discourage walking and bicycling. These results may be counterproductive to
meeting clean air goals" (California Air Resources Board 2005, p 26).
It is interesting to note that the language regarding the potentially negative effects of traffic flow
improvement projects - such as signal synchronization, interconnection, and timing
improvements - is much stronger than that used in Houston's MoSERs handbook. On the other
hand, many interviewees others felt that the emissions reductions from projects such as Los
Angeles DOT's ATSAC system are underestimated, noting that most of the emissions reductions
come from the reduction of acceleration/deceleration events, which are not incorporated in the
equations or emissions factors, which are based on average speeds (SCAG interview, 2005).
In the Los Angeles region, the funding, evaluation, deployment and operations are divided with a
high degree of specialization not only between organizations, but within the agencies themselves.
In the interview with Caltrans District 7, managers and chiefs of various offices for ITS, corridor
environmental studies, and air quality studies, were interviewed together. For example, although
many ITS projects are funded through CMAQ program funds, and are incorporated in the
regional and state air quality plans as Transportation Control Measures, managers from the ITS
office were often not familiar with the air quality topics or terminology from the standpoint of
either funding or evaluation. This differs from other cases studies, where project managers
responsible for deployment and operations of ITS were often well aware of their use of CMAQ
funding (often actively pursuing it), and the presence of ITS measures in the air quality plan.
This reflects both the relative size of the organizations in each city, and the number of individual
projects that must be coordinated on a regional scale. While other regions may have a few dozen
CMAQ projects included in their transportation improvement program, the SCAG region will
have hundreds, many of which will be more expensive on an individual project basis as well.
Ironically, when discussing the issue of induced demand from ITS, the ITS program manager
was quick to made the link between ITS and induced travel, while the planner from the office for
environmental engineering and feasibility studies for corridor-level analysis, had apparently not
fully considered the issue before.
ITS Manager: "To address your question, from my office, we never looked at it from an
air quality point of view. Our concern is always safety, mobility, congestion. But, you
can look at it this way, if you provide a better service to the motorist, and the cars are
moving faster, maybe they are emitting more pollutants. And, if you have a more
efficient system, just like through signal synchronization, and cars are moving through
the system faster, and then more cars are getting onto the system, and then maybe this has
an adverse effect."
Environmental Engineering and Feasibility Study Planner: "Actually, you're right, when
you run the model, the travel demand forecast model, of course, it builds in that latent
demand, so as soon as you free up space on a facility by making it flow better, you could
224
be inducing more trips onto it - so someone who may not have made that trip, or may
have taken the bus instead or walked, decide that they'll jump in their car because now
it's going faster. That's a good point, I hadn't thought of that" (Caltrans District 7
interview, 2005).
Therefore, in the Los Angeles region, there is a high level of fragmentation both between
organizations - with multiple levels (local, subregional, regional, and state) for both air quality
and transportation planning - as well as within organizations.
5.5.5 Summary
Los Angeles has undertaken a highly interesting experiment in the realm of transportation and air
quality planning, in what is probably one of the most complex urban areas in the world. The
emphasis on transportation demand management and transit that began in the 1980s represents,
according to Wachs, a "change of direction in transport policy [that] attempts to reverse a trends
which has been powerful for sixty years" (Wachs 1993, p 6). The de-emphasis of freeway
construction has apparently given an advantage to ITS. As the options for physical capacity are
limited, or physical capacity is simply no longer a desirable option for the high-level
transportation policymakers and planners (although, surely with many exceptions), capacity
expansion through ITS-based operations is an increasingly attractive alternative.
Figure 5-20 System priorities for the 2004 Regional Transportation Plan (RTP)
Source: Adapted from (Southern California Association of Governments 2004, Figure 4.2 p 84)
Indeed, as shown in Figure 5-20, the base of the system management strategy is monitoring and
evaluation, then maintenance and preservation and demand management, followed by a range of
225
System Mnagemnt Philosophy
Ingm' CJ9
I
aod Preservation,
Dern~ilnfi M
--------11
I
Elk
?
operations-oriented approaches that can be supported by ITS. Only the small triangle 
at the top
represents actual physical capacity expansion, and even this includes HOV 
and "mixed use" or
general traffic capacity additions, and transit system expansions. While this is highly 
schematic
and might not necessarily represent actual funding levels, it does represent 
the philosophy that is
guiding many of the transportation strategies, policies, and investments in the L.A. 
region.
Meanwhile, the range of new transit and TDM measure have opened 
some opportunities for
experimentation with ITS as a supporting technology that increases the operational efficiency
and attractiveness of these travel alternatives. ITS is still not easily found on the list of TCMs
for the region, although it does appear in many projects for CMAQ funding. This may be in part
because the bar is set higher for TCMs by SCAQMD and CARB in terms of their unequivocal
air quality benefits. For example, even though the benefits of a new bicycle or pedestrian facility
may be small, they are more certain to lead to emissions reductions, compared to a traffic 
flow
improvement projects which could increase speeds too much (and therefore increase NOx), 
or
induce additional travel (and therefore increase all emissions).
ITS has been implemented as projects funded through CMAQ, in particular, for transit and 
traffic
flow improvements. ITS has also supported some CMAQ-funded rideshare activities, HOT lane
operations and even bicycle facilities, although on a more limited basis. CMAQ funding for
traffic flow improvements has not been as prominent a share of total funding as in Houston, for
example. Yet, of the traffic flow improvements that are undertaken, nearly two-thirds are ITS
based. In terms of overall CMAQ funding for the five-county area, the vast majority has gone to
transit. There seems to be a lack of support by CARB and SCAQMD for ITS-based traffic 
flow
improvements and their air quality impacts. As opposed to other regions, such as Houston, they
take the other view on induced demand from ITS, thus taking a more pessimistic view regarding
ITS' potential to improve air quality. This is even built into their assessment procedures for ITS
projects such as signal coordination.
Although Los Angeles has extensive and advanced ITS applications, it has not 
been as
aggressive as Houston in counting those ITS deployments toward emission reductions when
formulating its air quality plans. Some ITS-based traffic flow improvements are funded 
through
the CMAQ program, requiring quantification of its emissions benefits. However, ITS-based
traffic flow improvements are not as frequently included in the TCM project list. Los Angeles
has begun to explore different mechanisms for using Information-based Transportation
Strategies, an innovative approach to conceptualizing the link between ITS and travel demand
management through improved information to travelers. While the number of projects and level
of funding dedicated to this area is still relatively low (although the low levels of funding also
stem from the low-cost nature of these projects), this may prove to be an increasingly 
important
area for innovation in the future.
226
5.6 BOSTON, MASSACHUSETTS
5.6.1 Background
5.6.1.1 The City
Of the five case study cities, Boston is the oldest and most built out of the metropolitan areas.
The population of the Boston MPO region is just over 3 million, encompassing a region within a
radius of approximately 25 miles from the City of Boston, extending out to Interstate 495
(Central Transportation Planning Staff 2003, p 2-1). 180 
As generally seen with the older,
established cities in the Northeast, population growth has been slow in recent years, with an
average annual growth of 0.6% during the 1990s. Nevertheless, there are continued pressures
toward suburbanization, with continued conversion of agricultural and forested lands for use by
new single-family housing developments as well as commercial and industrial spaces. In
addition, while employment has grown within the central area of the MPO, the strongest 
growth
in employment has been on the peripheries of the MPO, outside of Route 128 (Central
Transportation Planning Staff 2003, p 2-2).
5.6.1.2 Transportation
Recent transportation policy in Boston can hardly be discussed without reference to the Central
Artery/Tunnel project (the "Big Dig"), which has been the core issue in transportation planning
and financing in the Boston area during the 1980s, 1990s and into the new century. 
As
emphasized by Altshuler and Luberoff, in their careful analysis of the political 
forces that
continually shaped and reshaped the CA/T project, "it is, by far, more expensive than 
any other
highway project ever undertaken in the United States" (Altshuler and Luberoff 2003, 
p 120).
However, in addition to the massive price tag - $14.6 billion in 2002 - and 
decreasing share of
federal participation in that cost (58% in 2002), future transportation initiatives have 
also been
shaped by the more than 1,500 mitigation agreements that were negotiated in order 
to move the
project forward (Altshuler and Luberoff 2003, pp 109, 116). From the 
transportation viewpoint,
the most significant of those agreements are the transit agreements which, 
as will be discussed
later, are still being debated.
180 These figures from CTPS 
are lower than those reported 
above in Table 5-4.
227
Figure 5-21 Map of Boston Metropolitan Area
Source: www. mapquest.com
Congestion levels in Boston are fairly high, with Boston ranking 21st for the most 
congested
cities in 2003 (Schrank and Lomax 2005). 
1
81 With the completion of the CA/T project, the shift
has been from physical capacity expansion projects to 
projects that are primarily maintenance
and operations in nature. According to the latest long-term 
Regional Transportation Plan for the
Boston region: "Most of the transportation programs 
and projects that will be funded in the next
twenty-two years do not add capacity to the transportation 
system" (Central Transportation
Planning Staff 2003, p 1-1).182 Translating this into 
funding allocations, maintenance and
improvement of the existing infrastructure will comprise 
70% of total revenues (highway and
transit), while system expansion will comprise the 
other 30%. While ITS is identified as an
element of "maintenance and improvement" projects, only 
2% of the highway funding for
181 It should be noted that 
this 2003 ranking is significantly 
lower than earlier years. 
In 2001 and 2002, Boston
ranked fifth in congestion with a travel time index of 
1.45, above cities such as New York, Miami and Houston.
This change in ranking may reflect both changes in the methodology, 
and possibly a real reduction in congestion
levels as the Big Dig reached completion.
182 Interestingly, the wording 
in this quote also suggests 
that improved operations 
and ITS are not considered
capacity expanding, even though effective capacity is expanded.
228
maintenance and improvement funding will be allocated to ITS, about the same amount as for
bicycle and pedestrian projects. The vast majority of maintenance and improvement funding will
be allocated to bridge, interstate and roadway maintenance and rehabilitation (31%, 10% 
and
35% respectively).
Public transit represents an important mode of travel in the Boston region, 
particularly for travel
to the downtown area. In the entire Boston MPO region, transit accounts 
for 6.8% of all trips to
all destinations, urban and suburban. Looking at only trips to downtown, transit represents 
42%
of all trips, and 55% of all work trips (Central Transportation Planning Staff 
2003, p 2-1). The
Massachusetts Bay Transportation Authority 
(MBTA) provides the majority of transit 
service,
including a mix of modes - rapid transit, trackless trolley, express and local bus service, 
and
commuter rail and boat. Looking only at surface transportation 
modes, this accounts for 1.2
million trips on the average weekday.
Table 5-15 MBTA transit services and ridership
Ave. Weekday
Service 
Components 
Ave. Weekday
Ridership (trips)
Rapid Transit and Streetcar Rapid transit lines (Red, Orange, and 
Blue Lines) 699,000
Streetcar lines (Green Line, Ashmont-Mattapan)
Bus Rapid Transit (Silver Line)
Bus and Trackless Trolley 170 bus routes, 4 trackless trolley lines 
376,000
Commuter Rail 13 radial lines (North Side and South Side) 
142,000
Commuter Boat 6 services 
1.4 million/year
Source: (Central Transportation Planning Staff2003, p 2-9)
Although overall growth in the Boston region is slow, there are 
important changes within the
region that are straining the existing highway and transit systems. 
Many of the more mature
suburbs, such as Arlington, Dedham, Medford, and Watertown 
lost population during the 1990s,
while the outer suburbs and rural exurbs around the Route 
495 corridor, experienced high growth
(Central Transportation Planning Staff 2003, p 3-2). Despite these 
trends, which usually place
public transit at a further disadvantage, the long-range Program 
for Mass Transportation still
projects that transit trips in the region will increase, from 
the current 6.8% to nearly 7.5% by
2025 (Central Transportation Planning Staff 2003, p 2-1).
5.6.1.3 Institutions
The Boston Region MPO represents 101 communities, 
through a cooperative board of fourteen
members from the state and local level, half of which 
are cities and towns. Planning and analysis
is supported by the Central Transportation Planning Staff 
(CTPS), which, as the name suggests,
acts as the staff to the MPO Board. The CTPS also works 
with the Massachusetts Area Planning
Council, which is responsible for the population and employment 
forecasts that form the basis of
the long-range planning efforts as well as the conformity 
determination.
The Executive Office of Transportation (EOT) is responsible 
at the state level for overarching
transportation policy decisions, while 
the Massachusetts Highway Department 
(MassHighway),
229
is responsible for highway planning, construction and maintenance for the state roadway
network. However, there is strong overlap between these institutions in terms of mission and
personnel at the top levels. The Massachusetts Turnpike Authority (MassPike) owns and
operates the region's toll facilities, including the Massachusetts Turnpike (Interstate 90) and 
the
Sumner, Callahan, and Ted Williams tunnels, while the Massachusetts Port 
Authority (Massport)
owns the Tobin Memorial Bridge and access roads to Logan Airport. MassHighway and the
MassPike are also key players in ITS deployment. The City of Boston, and other cities such 
as
Cambridge, Newton, and others monitor traffic flows on local streets, and coordinate the traffic
signals.
As noted above, Massachusetts Bay Transportation Authority (MBTA) is the primary transit
service provide for the region, although the MBTA district actually encompasses a large number
of communities (175) outside of the Boston MPO region (101 communities). Additionally, 
the
MBTA provide bus service through contract to five private carriers, and subsidizes 
nine
additional carriers through the Inter-District Transportation Program (Central Transportation
Planning Staff 2003, p 2-12).
The Massachusetts of Department of Environmental Protection (MADEP) is the lead agency for
the development of the State Implementation Plan (SIP) for air quality. It works in conjunction
with CTPS in establishing the on-road mobile source emissions budget for the Boston 
MPO
region,
183 
as well as identifying the TCM commitments 
that are included in the SIP.
Among the cases, Boston is unique in that it is the only state capital, meaning that the offices for
the Massachusetts Highway Department are all located within the Boston metropolitan area, and
interaction between the state agency headquarters and local agencies is more direct, rather than
working through state agency district offices. In transportation, this is evident 
in the actual
physical co-location of the offices of the major transportation agencies in the 
State
Transportation Building at Park Plaza in downtown Boston, which brings together 
the major
players in state transportation policy and planning. In addition, the Secretary of 
Transportation
for the Commonwealth of Massachusetts (therefore heading the Executive 
Office of
Transportation), is the chair of the MBTA Board of Directors and has direct 
oversight for
MassHighway. There is also an important federal presence in Boston, both for transportation,
through the Federal Highway Administration which houses its Volpe National Transportation
Systems Center in Cambridge, and for environmental protection, 
through the EPA's Region I
offices in downtown Boston.
5.6.2 Air Quality History
Under the 1990 CAAA, the entire Commonwealth of Massachusetts - divided into 
the Boston
non-attainment area (Eastern Massachusetts)
184 
and the Springfield non-attainment area (Western
183 For areas outside of the Boston MPO, MassHighway provides the emissions estimates using a statewide 
travel
demand model.
184 The Eastern Massachusetts ozone non-attainment area includes the following counties: Barnstable, Bristol,
Dukes, Essex, Middlesex, Nantucket, Norfolk, Plymouth, Suffolk and Worcester. 
In addition to the Boston MPO,
there are nine other MPO regions, although the Boston MPO is by far the largest. Central 
Transportation Planning
230
Massachusetts) - was designated as serious non-attainment of the one-hour ozone standard, with
an attainment date of 1999. However, the attainment 
date was later extended by EPA to 2003,
and then to 2007 (McGahan 2005, p 3). Progress has 
been made in bringing down ozone levels,
and since the mid-1 990s there have been exceedances only a few days of each year.
Figure 5-22 Number of days above 1-hour ozone standard for the Boston Region
oo oo
cc ON C)
00 00 ON?
C) C)
C) C
Cl C
Source: (Massachusetts Department ofEnvironmental Protection 2004, Figure 1)
In addition to ozone, carbon monoxide has also been a criteria pollutant of concern, particularly
during the winter months. In 1996, 
Boston and surrounding communities (Cambridge, 
Chelsea,
Everett, Malden, Medford, Quincy, Revere and Somerville) were re-classified as in 
attainment
for CO. Nevertheless, because these areas are still required to have a CO "maintenance" 
plan as
part of the SIP, they remain under federal scrutiny, albeit more limited, 
and must continue to
perform conformity analysis for the SIP.
5.6.2.1 Sources
Mobile sources comprise half of the total NOx emissions for the 
10-county Eastern
Massachusetts non-attainment area, with off-road mobile sources contributing 
an additional 30%
to total NOx. VOC emissions, on the other hand, are distributed 
more evenly across area sources
(40%), on-road mobile sources (29%), and off-road mobile 
sources (27%) (Massachusetts
Department of Environmental Protection 2003).
Staff (2003). Regional Transportation Plan 2004-2025 of the Boston Region MPO. 
Boston, MA, Boston
Metropolitan Planning Organization.
231
Figure 5-23 1999 Emissions inventory for the Boston Region
1z'JVJ -
1000 -
800-
S600
400-
0
200
0 -
* Stationary Point
Sources
A Stationary Area
Sources
* Off-Road Mobile
N On-Road Mobile
NOx VOC
Source.: (Massachusetts Department ofEnvironmental Protection 2003, Tables 1.5 and 1.6)
Local emissions and control strategies are only part of the picture. Massachusetts - along with a
number of other New England states - was unable to meet the 1994 deadline for completing its
demonstration of ozone attainment by 1999. These states had found that the transport of ozone
and ozone precursors from upwind areas "made it impossible for Massachusetts and some other
non-attainment areas in the Northeast to plan for and reach attainment by the dates specified in
the CAA" (Massachusetts Department of Environmental Protection 2002, p 1). There were two
key issues related to the ozone transport issue. First, many of the upwind areas such as New
York and New Jersey were classified at higher categories for ozone non-attainment, meaning
their attainment deadlines were later, and thus they would not be putting all controls into place
by 1999. Second, some upwind contributing states, although they were "exporting" ozone and
its precursors, did not themselves have local ozone problems. These areas, therefore, were not
planning to implement any control measures. As a result, for the downwind areas such as Boston
that were importing ozone and ozone precursors, could not meet the attainment deadline without
also addressing these upwind sources - ranging as far as the Ohio River Valley, but also from
more nearby, including New York, New Jersey and Philadelphia. In order to address this issue,
the 37 "eastern-most" states from the Midwest to the Northeast, plus the District of Columbia,
formed the Ozone Transport Assessment Group (OTAG), which studied the phenomenon of
ozone transport between 1995 and 1997.185 The EPA, drawing upon the OTAG final report and
recommendations, issued rules that would require 22 states plus the District of Columbia to
submit SIP revisions incorporating controls aimed to reduce not only their local ozone problem,
but also their contribution of 
NOx to downwind non-attainment 
areas.
18 6
185 See www.epa.gov/ttn/oarpg/otagsip.html. 
Last accessed February 12, 2006.
186 In October 1998, the EPA published its "Finding 
of Significant Contribution and Rulemaking for 
Certain States
in the Ozone Transport Assessment Group Region for Purposes of Reducing Regional Transport of Ozone" (62 FR
232
rrr~r\
5.6.2.2 Actions
In the meantime, however, Massachusetts was already pursuing a number of local controls. In
particular, Transportation Control Measures (TCM) and transit have formed an important
component of air quality strategies in Boston.
187  
Even before the 1990 CAAA, the
Massachusetts DEP had submitted SIPs to the EPA in 1979 and 1982, which both included
TCMs. The majority of the 1979 TCMs were transit improvements and expansions, but they
also incorporated ridesharing programs (MassRIDES), parking freezes and resident sticker
programs, HOV, bikeway programs, park and ride, and flexible work hours. The 1982 SIP
TCMs continued upon the 1979 TCMs, and added further public transit improvements, bicycle
facilities, park and ride, and enforcement of parking controls. Taken together, these TCMs were
intended to reduce VMT by discouraging the 
use of single occupancy vehicles for trip making,
and provide alternatives with transit and bicycle facilities.
In addition, as part of the Central Artery/Tunnel project, a number of mitigation projects were
required to move tforward with the project. These mitigation projects were impressive both in 
the
number (more than 1,500), size and cost of the projects. As described by the MassPike:
"The scope of the Mitigation Program reflected the spectacular size of the CA/T project
itself. Mitigation cost about one-third of the project's budget. Activities ranged from one-
on-one contracts with residents and business people up to temporary viaducts costing
dozens of millions of dollars. Keeping the elevated highway open as tunneling proceeded
directly underneath cost $600 million in itself, which reflects the engineering complexity
of mitigation." 
1 88
Indeed, in addition to the engineering complexity of the Big Dig, was the institutional
complexity of managing the project and mitigation of its impacts. Although there were several
types of mitigation agreements, including traffic, community outreach and environmental 
- the
most significant impact on the transportation system has come from the air quality transit
mitigation agreements. When the CA/T project's draft Environmental Impact 
Statement (EIS)
was released in early 1990, it projected improvements in air quality from both the CA/T 
itself, as
well as from several transit projects that were included in the modeling. The Conservation 
Law
Foundation (CLF), a non-governmental organization representing environmental interests 
and
working through a combination of litigation 
and publicity, challenged the validity 
of the EIS,
arguing that the transit projects that were included 
in the modeling must be guaranteed; if not,
they threatened to legally challenge the project (Altshuler and Luberoff 2003, p 105). 
Although
60318). The SIP requirement for upwind areas is referred to as the "NOx SIP Call." 
Massachusetts Department of
Environmental Protection (2002). 2002 Eastern Massachusetts Supplement to the July 
1998 Ozone Attainment
Demonstration State Implementation Plan Submittal: Final Submittal, September 6, 2002. 
Boston, MA, Bureau of
Waste Prevention, Division of Planning and Evaluation.
187 Indeed, according to the 2002 
SIP for the Eastern Massachusetts 
Area, they are already "currently 
implementing
all of the reasonable available TCMs listed in the Clean Air Act." Massachusetts Department 
of Environmental
Protection (2002). 2002 Eastern Massachusetts Supplement to the July 1998 
Ozone Attainment Demonstration State
Implementation Plan Submittal: Final Submittal, September 
6, 2002. Boston, MA, Bureau of Waste Prevention,
Division of Planning and Evaluation.
181 See http://www.masspike.com/bigdig/background/mitigation.html. 
Last accessed November 11, 2005.
233
the CLF used the air quality modeling results for the EIS as the grounds for litigation, the "prime
concerns were transit and transportation controls rather than any features of the CA/T itself"
(Altshuler and Luberoff 2003, p 109).
As a result, much of the responsibility for both the SIP approval and CA/T permitting fell upon
the MBTA. As noted in the 2003 Program for Mass Transportation:
"The Commonwealth has pursued transit as a way to answer the requirements associated
with the State Implementation Plan (SIP) for the Clean Air Act and the mitigation
required by environmental agencies... to allow for the permitting of the Central
Artery/Tunnel (CA/T) Project" (Central Transportation Planning Staff 2003, p 2-16).
The CA/T and SIP projects formed an aggressive plan of transit system expansions and
improvements - including commuter rail, bus rapid transit, subway and bus service
improvements, water shuttles - as well as HOV lanes, and park and ride lots. These
commitments, for the most part, involved important physical capital investments in the transit
system - such as rail extensions, station improvements, and new vehicle procurements. Of the
approximately 30 CA/T SIP commitments as listed in the 2004 Regional Transportation Plan,
nearly two-thirds have been implemented or are in progress (Central Transportation Planning
Staff 2003, Table 1-3). However, there are critical obstacles facing some of the remaining
projects, which are highly complex and controversial.
5.6.2.3 Issues
In recent years, three CA/T SIP transit commitments - the Green Line Arborway restoration, the
connection between the Blue Line and Red Line, and the Green Line extension to Medford -
have increasingly come into the public eye, bringing planners head to head with the original
agreements that were necessary to move forward with the CA/T project. Changing or modifying
these original agreements would prove to be by non-trivial. Indeed, even new institutional
processes had been built up around the tracking and implementation of the CA/T mitigation
commitments, including a computerized tracking system and reporting structure, and what is
referred to as planners as the "Red Book" or the "Annual Report on the Transit Commitments"
(CTPS interview, 
2005).189
Altshuler and Luberoff, writing in 2002, noted that even though "in its final form this agreement
left room for the substitution of listed projects with others of comparable air quality value ... no
administration has seen fit to risk [CLF's] wrath by proposing substitutions" (Altshuler and
Luberoff 2003, p 233). While these commitments remained relatively untouched during
previous administrations, the administration of Governor Mitt Romney has appeared to be more
willing to challenge these agreements. The shift during the Romney administration has been
emphasize the use of "objective criteria" in evaluating transportation projects and plans and
programming funds - thereby adopting a "more rational, transparent approach to project
189 This is in addition to the quarterly reports that the Executive Office of Transportation has been required to send to
the Conservation Law Foundation since March 1992; as well as the "Quarterly Report on the Re-evaluation of the
Three Outstanding SIP Commitments" prepared for FHWA and FTA since early 2005.
234
prioritization" (McGahan 2005).
19  
In re-examining these three outstanding SIP transit
commitments - the Green Line Arborway restoration, the Blue Line/Red Line connector, and the
Green Line Extension to Medford - as part of the Program for Mass Transportation, the
performance, according to the state's objective criteria, was not competitive with other preferred
alternatives. Yet, these three projects were legal commitments included both for the CA/T
permitting, the SIP, as well as the Administrative Consent Order signed in 2000 and updated in
2005, which clarified and expanded upon both the CA/T and SIP commitments. As a condition
to substituting the three outstanding transit projects, the Department of Environmental Protection
set the bar higher, requesting that replacement projects provide 110% of the original reductions.
As can be seen in Table 5-16, the proposed projects reductions well exceed the original air
quality benefits.
Table 5-16 Original transit agreement projects and proposed substitutions
VMT HC* CO* NOx*
(miles/day) (kfg/day) a., a
Arborway Green Line Extension 4,781 7 108 2
Blue Line/Red Line Connector 21,520 17 190 34
Green Line Extension to Medford Hillside 27,730 22 244 44
Total 54,031 45 543 80
Fairmont Commuter Rail Improvement 1,100 1 15 2
1,000 Parking Spaces 11,900 16 166 21
Enhanced Green Line Beyond Lechmere** 80,300 83 1,016 114
Total 93,300 100 1,197 137
*Numbers rounded from original. ** Reconfigured Green Line Extension to Medford Hillside
Source: (Massachusetts Executive Office of Transportation 2005)
For many supporters of the original projects, how the project ranks when applying objective
criteria is beside the point. For example, Fred Salvucci, the former Secretary of Transportation
who was the central player in the negotiation of the commitments needed to secure approval of
the CA/T, commented on the idea of replacing the SIP transit agreements that he had forged with
the CLF several years earlier. In a June 22, 2005 MPO-sponsored public meeting on the SIP
transit commitments, Salvucci raised the following issues:
"[We] signed [the] commitment with the intention of completing the projects by 2000. It
is unfair to compare committed project to new projects. Air quality was not the primary
basis for choosing the committed projects. If the committed projects did not go forward,
the Commonwealth was required to replace those projects with projects with the same or
more air quality benefits in the same neighborhood. The original deal should be
honored"
191 
(italics added).
190 These "objective criteria" include: utilization, mobility, cost-effectiveness, air quality, service quality, economic
and land use impacts, and environmental justice.
191 Paraphrase of Fred Salvucci's comments as summarized in the "Red Book." Executive 
Office of Transportation,
Transit Commitments Administrative Consent Order: 2005 Project Schedule and Project Update, Submitted to the
Massachusetts Department of Environmental Affairs, June 30, 2005. See www.mbta.com.
235
Although these commitments were originally made with CLF using the argument of the air
quality projections, the air quality benefits are evidently not the only motivating factor for the
agreements, as noted in the comments by Salvucci. It also suggests a type of "culture clash"
between on the one hand, the idea of fairness and negotiated outcomes including affected and
interested groups, and on the other hand, an outcome based on the ranking of projects according
to so-called objective criteria.
192 
The outcome will probably be a mixture of the two, using
"objective" criteria to redesign projects and propose alternatives, but keeping in mind the
original commitments and the pressure of the groups (primarily neighborhoods) that stood to
gain from those commitments. Douglas Foy, president of CLF at the time that the original transit
agreements were negotiated, now serves as the Secretary of Commonwealth Development.
Ironically, in contrast to Salvucci, with whom he negotiated the original agreements, Foy taken
the other stance, advocating 
substituting the original 
transit agreements.
1 93
We have focused here on the SIP transit agreements for the Big Dig and the fights over how,
when and even if they will be completed, in large part because they will prove to have an
important impact on how ITS is used for air quality. However, strictly from the viewpoint of
improving Boston's air quality, these transit agreements actually play an almost insignificant role
in improving actual air quality. In fact, the air quality improvement strategy for the Eastern
Massachusetts Area essentially consists of regulations related to cleaner fuels and vehicles, for
example, adopting California's LEV standard, and waiting for upwind areas such as New York,
New Jersey and Connecticut to reduce their NOx emissions (through the so-called NOx SIP
called, discussed earlier).
194 
Beyond the transportation control measures that were already in
place, such as the transit agreements, parking freezes in Boston and Cambridge, park and ride
lots and HOV lanes, additional transportation control measures were not considered for the 2002
SIP for the Eastern Massachusetts Area.
5.6.3 ITS Deployment
Boston had a relatively early start with planning for ITS deployment. According to the Regional
Transportation Plan, the MPO has participated in ITS activities since 1992 (Central
Transportation Planning Staff 2003, p 2-7). In January of 1994, the Massachusetts Executive
192 Although one could argue that the application of these criteria 
can be "objective," there is no objectivity in either
deciding upon criteria - air quality, land use impacts, economic impacts, environmental justice - and applying
weighting factors to those criteria, which are inherently value-laden processes.
193 However, Foy does continue to support the Red Line-Blue Line 
connector project. CLF continues to challenge
the state on its failure to meet the original transit agreements. Mac Daniel, "State Set to Endorse 3 Railway
Projects," The Boston Globe, November 21, 2005, Metro/Region p. Al.
194 Indeed, the most "problematic" monitors for ozone exceedances are south of Boston - in the rural towns of Truro
and Fairhaven near Cape Cod. Emissions and air quality modeling has indicated that those monitoring stations are
primarily affected by emissions from other upwind states, and additional transportation control measures, both in
those communities and in Boston, would not serve to bring the area into attainment more quickly. Massachusetts
Department of Environmental Protection (2002). 2002 Eastern Massachusetts Supplement to the July 1998 Ozone
Attainment Demonstration State Implementation Plan Submittal: Final Submittal, September 6, 2002. Boston, MA,
Bureau of Waste Prevention, Division of Planning and Evaluation.
236
Office of Transportation and Construction and MassHighway had already developed an IVHS
Strategic Plan for Metropolitan Boston through a consultant, JHK & Associates. This plan
established the goals of improving efficiency, alleviating congestion, reducing fuel consumption
and pollution, improving reliability, safety and overall mobility (James H. Kell & Associates
1994). The focus of this strategic plan was to provide "seamless" integration between agencies
and modes. At the heart of the recommended regional architecture, was a Regional
Transportation Information and Coordination Center (TICC), which was to link the various
freeway and arterial traffic management centers, transit management centers, signal systems, and
incident/emergency response services. According to this concept, each agency would make
"operational and control decisions 
.... [that] consider the current 
conditions and potential impacts
on the other agencies' facilities" (James H. Kell & Associates 1994, p 3). With its IHVS
Strategic Plan, Boston was also one of the first cities to submit an Early Deployment Plan, and
the first city to develop a Regional Architecture (DeBlasio, Eichenbaum et al. 1997, Appendix
G). Nevertheless, many of these early expectations quickly encountered difficulties in
deployment, and for some observers, ITS deployment and integration in the Boston region has
been "disappointing," at least on the highway and arterial 
management side (FHWA interview,
2005). Yet, the outlook for ITS applications in transit has been more optimistic, as will be
discussed below.
5.6.3.1 Traffic
Probably the most sophisticated freeway ITS components are found on the 7.5-mile 
Central
Artery/Tunnel. The complexity of the CA/T project, and the need to rapidly and effectively
detect and respond to problems in the underground facility required an intensive deployment of
both typical freeway management components such as closed circuit cameras for fully redundant
camera coverage (400 cameras), loop detectors (1,200), lane control signals, highway advisory
radio, and variable messages signs, as well as less common applications such as carbon
monoxide sensors (120), computer-controlled ventilation buildings, and detection of vehicle
overheight for the tunnels (Central Transportation Planning Staff 2003, p 2-8). All of these
systems combined are referred to as the Integrated Project Control System, with the core being
the Operations Control Center, located in South Boston at the entrance to the 
Ted Williams
Tunnel. The IPCS has been called "nation's largest, most sophisticated, and most expensive
system" representing an investment 
of over $200 million.
19 5
Looking beyond the CA/T, for freeway management MassHighway and MassPike monitor road
conditions with loop detectors, cameras, and wireless communications, 
and provide traveler
information through variable message signs. MassHighway also operates a 
Regional Traffic
Operations Center for monitoring traffic on the highway system, as well as providing emergency
patrol vans for incident management. There are also plans to upgrade the dispatching 
of the
patrol vans using AVL capability. A motorist assistance program has been in operation since
1991, and was expanded in 1993, and expanded 
again using CMAQ funding in 1996. In 
1998,
195 Raphael Lewis, "The Smart Highway Over Budget, Behind Schedule, the 'Big Brain' Would Allow 
Instant
Communications Between Controllers and Drivers 
- If and When It Works," Boston Globe, March 
24, 2002,
Metro/Region, p B 1.
237
the FAST LANE electronic toll collection system was deployed along the Massachusetts
Turnpike, and is installed at Ted Williams Tunnel, Sumner/Callahan Tunnel, and Tobin Bridge.
This system is also interoperable on all EZ-Pass equipped toll facilities in the Northeast -
including New York, New Jersey, Delaware, Maryland, Pennsylvania, West Virginia, Virginia,
New Hampshire, 
Maine, and 
Illinois.
196
The City of Boston is the major municipal player in local traffic management, controlling 800
traffic signals. The Traffic Management Center, located in City Hall, controls a network of 380
signals, along with loop detectors and video cameras, that assist both real-time traffic monitoring
and management, as well as emergency coordination. The City has been upgrading its TMC,
with an investment of $3.2 million, a substantial portion of which comes from CMAQ funds
(Boston Transportation Department 2003, p 83). There are also plans to interconnect more
signals, install pan-tilt-zoom cameras, and expand its fiber optic network. Waltham and
Cambridge and other municipalities also have centralized signal systems (James H. Kell &
Associates 1994).
However, deployment of highway and arterial ITS has not nearly reached the levels anticipated
by the 1994 Strategic Plan. Looking at the ITS deployment tracking results for Boston, with the
exception of on-call service patrols and fixed-route vehicles accepting electronic fare payment,
Boston is below the national average for deployment levels (Gordon and Trombly 2003). Some
interviews cited early failures in the project management process, specifically, the quality of
services that were contracted as a result of accepting the lowest bidder. While interviewees point
to examples such as the Regional Traffic Operations Center as successful ITS deployments, the
early vision of a central coordinating body, the "Transportation Information and Coordination
Center" for seamless integration, has not materialized. Instead, coordination has come about on
a case-by-case basis, depending upon the specific technologies and needs of the agencies.
5.6.3.2 Transit
While arterial and freeway management has lagged behind the early expectations set out in the
1994 IVHS Strategic Plan for the Boston region, in recent years, the MBTA has recently
undertaken substantial experimentation and innovation with ITS. The MBTA's innovation has
occurred on several fronts. On the technological front, the MBTA is moving toward the
deployment of automated fare collection in the form of both magnetic strip cards for both passes
and stored value as well as contactless Smart Cards, as well as the interconnection of the various
stations through fiber optic for improved communications and support of the automate fare
collection technology. While originally conceived in a more narrow sense of simply automating
transactions, these technologies have enabled more fundamental organizational changes to occur,
the first, a procedural innovation, and the second, a more strategic change in the organization's
culture. First, the interconnection through fiber optic of the various stations on the subway
network led upper management to think about new ways to manage the stations, taking
advantage of the improved ability to communicate and share information and data in real-time
between stations. For example, the video from multiple stations could be shared, and functions
196 See www.masspike.com for the current list of EZ-Pass interoperable systems. Last accessed 
November 22, 2005.
238
such as station monitoring could be consolidated into fewer stations, with one station monitoring
10-15 stations at one time. These procedural innovations were collectively brought under the
umbrella of what is called the "station management initiative" (MBTA interview, 2005).
The adoption of automated fare collection technology also prompted an important shift in the
MBTA toward a more customer-service oriented organizational culture. For example, by
automating the fare collection process, the personnel staffing the fare collection booths could be
freed up from the process of selling tokens and making change, and have more of a presence
throughout the stations, both for improved accessibility to the passengers, and, in the post-
September 11
h 
environment, for a more active role in station security. The deployment of the
AFC is still underway, and the full transformation to the new customer-service culture has yet to
fully make its way from upper management to the operators and station employees, the progress
to date points to substantial organizational innovation as a result of the adoption and deployment
of new technologies. Ironically, the organizational change is occurring as a result of the
deployment of this new technology, is more "innovative" 
than the current technology itself,
which is an older technology 
(magnetic-strip stored-value 
cards).
197
With the new Silver Line, the MBTA has also adopted automatic vehicle location (AVL)
technology using global positioning systems (GPS) in its buses to better schedule and manage
fleet operations through its recently upgraded Bus Operations Center. In its Program for Mass
Transportation, the MBTA has identified as a high priority project the installation of AVL
throughout the fleet, automatic passenger counters on about 10-15% of the fleet, and bus
information kiosks at certain routes and stops (Central Transportation Planning Staff 2003, p 5B-
7). As will be discussed below, signal priority has become a higher "priority" as it was
incorporated in the Administrative Consent Order (ACO) for the SIP and CA/T transit legal
commitments.
5..6.3.3 Information and Other
SmarTraveler, which is sponsored by MassHighway, serves as the region's core traveler
information service. Information on traffic 
conditions is gathered from cameras, vehicle probes,
monitoring of radio frequencies for emergency vehicles, and through direct communications to
the various transportation and emergency response agencies in the region. SmarTraveler
provides real-time traffic information and more limited transit information free of charge to
travelers.
The MBTA provides static traveler information - schedules, 
maps, fares - through its website,
and interactive kiosks at the South Station Transportation Center. Real-time 
information is
currently only available for the Silver Line, with kiosks at bus stops on Washington Street 
which
provide bus arrival information. Automated trip planning functions will "likely" be added 
to the
MBTA's website in the future (Central Transportation 
Planning Staff 2003, p 2-13). However,
the provision of more real-time information, such as bus arrival times accessible 
either at
19 Currently, the MBTA is deploying 
the CharlieTicket, a rechargeable 
magnetic-strip ticket for stored 
value or
passes. The CharlieCard, a contactless smart card, will be deployed for general public use beginning 
in 2007.
239
bus/subway stations or on the internet, will depend upon the rate of deployment of AVL in the
bus fleet.
A limited number of TDM strategies are also supported by ITS applications. For example,
RideSource, which is operated by CARAVAN, a private, non-profit organizations funded by
MassHighway and FHWA, has a toll free information line and website1
98 
for commuting options.
The website provides an on-line ride matching service based upon commute preferences.
5.6.4 ITS-Air Quality Links
5.6.4.1 Projects
The air quality transit mitigation projects for the CA/T have had some interesting consequences
for the shape of ITS deployment in Boston. Although a number of the commitments have been
completed, as noted earlier many still under construction or in planning. While earlier transit
projects were almost exclusively capital expansions, there has been a slight shift toward service
improvements through operational strategies, including ITS-based improvements. The 2005
Transit Commitments Status Report includes ten projects, three of which have major ITS
components: the Urban Ring, Silver Line Service, and Signal Prioritization.
199 
Specifically,
these transit projects will rely on ITS components typical of Bus Rapid Transit,
200 
including
AVL, real-time information about bus arrivals at stations, and signal priority. For example, the
MBTA and MassHighway have been implementing signal prioritization for the Silver Line in
cooperation with the Boston Transportation Department (BTD). Priority at key intersections is
requested by the MBTA's control system, and sent to the BTD, which decides whether to grant
priority based on several factors: whether priority has recently been given, the presence of
emergency response vehicles, and traffic conditions on cross streets. According to the 2005
Transit Commitments Status Report, the Signal Prioritization project could benefit for additional
segments of the Silver Line, such as the D-Street crossing, the on-street branches 
of the Green
Line, and other high volume bus routes such as the regular and Cross-Town (express 
service)
buses that service Massachusetts Avenue. Although the initial work on signal priority has 
been
carried out with the Boston Transportation Department, expansion of signal priority to other
routes would possibly require collaboration with other cities, such as Cambridge, or agencies,
such as Massport for the D-Street crossing of the Silver Line (Massachusetts Executive 
Office of
Transportation 2005). Another example is the Orange Line, where the transit commitment 
is to
increase the capacity on the line. While part of this capacity increase will be from the 
purchase
of additional trains, another key component are the signal improvements need to 
allow for
improve headway control and more frequent service (Massachusetts Executive Office 
of
Transportation 2005).
198 Available at www.commute.com. Last 
accessed February 12, 2006.
199 The "Orange Line Improvements" SIP measure in the Transit Commitments Status Report 
also includes
improved signaling. However, because this is heavy rail, we do not include it, as the definition of 
ITS generally
excludes rail communications and signaling technologies.
200 With the exception of the Orange Line, which 
is a heavy rail line.
240
In some cases, ITS has come to play an important role in the attempt to find more feasible and
cost-effective alternatives to the original agreements, utilizing primarily operational
improvements instead of capital improvements. For example, in applying the new objective
criteria to the CA/T transit commitments, it was found that the Arborway Restoration project had
"the lower user benefit and cost effectiveness calculation of any evaluated" (Massachusetts
Executive Office of Transportation 2005). This project was intended to provide non-stop service
from the Arborway/Jamaica Plain neighborhoods to downtown Boston, thus "restoring" the
original service that was provided on the E-Branch of the Green Line. This streetcar rail service
was active until 1985 when service was discontinued, with the E-Branch now ending at Heath
Street station. Since that time, the streetcar service has been replaced by regular bus service
(Route 39). Restoring the Arborway would require replacement of track, catenary and power
systems, new station platforms, and acquisition of vehicles to service the route, with a
construction cost of $95 million and operating cost of $2.8 million per year. The EOT and
MBTA have attempted to substitute for the project with other projects of greater air quality
benefits, while in the meantime, the MBTA has improved the existing service along the original
Arborway route. This improved bus service has included the use of new, low platform, 60-foot
articulated CNG buses, and the MBTA plans to work with the City of Boston to implement bus
signal priority along the route to further improve travel times and service (Massachusetts
Executive Office of Transportation 2005).201
5.6.4.2 Funding
As a "serious" ozone non-attainment area, the Boston area does not receive the same level of
CMAQ funds as "severe" or "extreme" non-attainment cities such as Houston and Los Angeles.
Yet, despite the fact that CMAQ is a relatively small portion of federal highway funding in
Massachusetts, because most federal funding has been absorbed by the CA/T in recent years, the
CMAQ category has become an important funding source for many smaller scale, regular
transportation improvements that have been in the planning pipeline for many years, but have not
been able to secure funding. According to interviewees, the highway department had been trying
to gear most of the CMAQ funding toward road projects that could be determined to be eligible
according to air quality benefits. As a result of this process for allocating CMAQ funding, there
has not be a strong effort to look for innovative ways to spend CMAQ 
funds (MBTA interview,
2005). It may also lead to the use of CMAQ funds for projects that are technically eligible for
CMAQ, but inappropriate projects from the viewpoint of air quality.
Indeed, the Citizens' Advisory Council to the Boston MPO expressed a number of concerns with
the process for allocating CMAQ funds to individual projects.
"The Advisory Council is concerned about the process used to select this year's projects
as it relates to the CMAQ goals and the readiness of CMAQ and non-CMAQ projects.
Targets need to be better defined and the CMAQ process needs to be more open. It
should possibly be pulled into the MPO process, with meetings easier to attend, eligibility
201 Specifically, the proposal to make 
the improved Arborway bus service 
permanent is discussed in a letter from
John Cogliano, Secretary of Transportation, to Commissioner Robert Golledge, Department of Environmental
Protection, dated May 18, 2005.
241
requirements made clearer, and selection criteria more objective. Benefit/cost ratio
analysis information or other measures of effectiveness should be provided; air quality
analysis should be performed for the present case, not one or ten years into the future. An
example of this is the Burgin Parkway Project and its relative cost compared to other
eligible projects. While supporting this project, the Advisory Council is concerned about
the process used in its selection, and the sense that its CMAQ eligibility and readiness
has taken precedence over its evaluation ratings"20
2 
(italics added).
The comments raised by the Citizens' Advisory Council highlight issues of transparency and
accessibility in the CMAQ planning process, and also point to the lack of project evaluation and
prioritization for CMAQ funds. The current emphasis is on whether a project is ready and
eligible for CMAQ funds, not whether is it a good use of CMAQ funds for congestion and air
quality purposes. Yet, there are pressures from the Executive Office of Transportation for the
MPOs in Massachusetts to develop more a formal CMAQ program for the allocation of those
funds, including CMAQ funding targets for each MPO, requests for proposals, and specific
criteria for project selection. With more "creative" suggestions for CMAQ funds, some
observers believe more CMAQ funds will likely be used for more ITS projects (MBTA
interview, 2005).
In terms of categories, the most heavily funded CMAQ projects currently are bike and pedestrian
projects (46% of total CMAQ funding), transportation system management (43%), transportation
demand management (6%), transit and ITS (with 2% each) (Central Transportation 
Planning
Staff 2005). The largest single project appearing in the current TIP is the Burgin Parkway in
Quincy, a $14.4 million project that has been in the planning since the early 1990s to relieve
congestion at an important interchange near both Interstate 93 and State Highway 3 (also near
the Quincy Adams MBTA station on the Red Line). This project was the main source of concern
of the Citizens' Advisory Council, as discussed above, although the unease was related more to
the selection process than the project itself. The Burgin Parkway alone uses more than the
annual $10.4 million CMAQ target. Because of the size of the project, this is the only CMAQ-
funded project with the air quality benefits modeled using the MPO's regional transportation
project. All other projects use "off-model" calculations
2 3 
of emissions changes using basic
assumptions regarding changes in travel time, speed, and delay.
The current TIP for the Boston region includes CMAQ projects for fiscal years 2006-2008, 
with
a CMAQ target of $10.7 million annually. Table 5-17 shows all CMAQ-funded 
projects in the
current TIP, with their share of federal CMAQ funds, and additional contribution from 
state,
local or MBTA funds.
202 Regional Transportation Advisory Council, Boston Region Metropolitan Planning Organization. 
Summary of
July 13, 2005 Meeting. See www.ctps.org/bostonmpo/involved/mpo minutes/rtac071305.pdf. 
Last accessed
February 12, 2006.
203 This refers to calculations of emissions changes that are not incorporated into the full transportation 
modeling
framework for transportation demand, network flows, and emissions, i.e. the 
process used for transportation
conformity determination.
242
Table 5-17 CMAQ-funded projects, FY 2006-2008
Burgin Parkway TSM No Model 14,400,000 3,600,000 18,000,000
Route 28 (Main Street) TSM No Off-model 1,600,000 
400,000 2,000,000
South Bay Harbor Trail Bike/Ped No Off-model 3,080,000 770,000 3,850,000
Upper Charles Trail, Phase 2 Bike/Ped No Off-model 2,400,000 600,000 3,000,000
Boston Traffic Management Center Operations ITS ITS Off-model 
916,000 229,000 1,145,000
Regional TDM Program 
TDM Enhanced Off-model 600,000 
150,000 750,000
Regional or local shuttles, TMAs, or other TDM
Suburban Mobility Improvement Program 
TDM Enhanced Off-model 1,560,000 
390,000 1,950,000
Fixed orflex-route shuttles, employer-based van/carpool
Bicycle Parking Infrastructure Program Bike/Ped No Off-model 1,409,600 
352,400 1,762,000
Assabet River Rail Trail Bike/Ped No Off-model 3,512,000 878,000 4,390,000
Bruce Freeman Memorial Bicycle Path Bike/Ped No Off-model 3,520,000 880,000 
4,400,000
Tri-Community Bikeway Bike/Ped No Off-model 3,520,000 880,000 4,400,000
MBTA Bus Emissions Monitoring & Control 
Program Transit Enhanced 
Off-model 880,000 220,000 
1,100,000
Remote sensingfor emissions monitoring
Source: (Central Transportation Planning Staff 2005)
At least in terms of funding priority, ITS ranks low among the mix of CMAQ projects. 
For the
fiscal year 2006-2008 period, the only ITS project per se, is the operation 
of the Boston Traffic
Management Center. The CMAQ funds will be used to expand operations, specifically, the
addition of four staff engineer positions to operate during the full weekday, from 6AM to 10PM
(currently operations are from 7AM to 7PM). According to the City of Boston's proposal for 
the
CMAQ funds, the TMC will address two major causes of congestion - vehicle breakdowns and
double parking, and delays in correcting signal malfunctions - by enhancing response times to
these events (City of Boston 2005). Although the Boston Traffic Management Center is the only
clearly ITS project, the various TDM strategies could also be enhanced by ITS, in particular,
flexible-route shuttles, vanpools and carpools (which could be supported by online ride-matching
and in-vehicle route guidance), as well as the MBTA bus emissions monitoring and control
program for MBTA buses.
2 04  
Real-time information on transit vehicle emissions would
represent an Energy and Emissions ITS application similar to those described in Chapter 2.
Although recent TIPs do not place much emphasis on ITS, earlier TIPs indicated the possibility
for substantial emissions reductions from ITS. Looking at the emissions reductions from CMAQ
projects in the TIP for 1996-8, ITS and ITS-supported projects contributed to 311 kg/day of
VOC reductions (64% of total) and 89 kg/day of NOx reductions (26% of total) in 1999.
204 For example, the bus emissions monitoring program can use drive-by 
remote sensing technologies to measure
emissions of MBTA buses as they enter or leave a depot or garage. Carolyn Y. Johnson, "MBTA eyes testing bus
emissions," The Boston Globe, September 27, 2004. More advanced applications, such as those described in Chapter
2 in the section on Energy and Emissions ITS applications, could couple AVL with on-board diagnostics and
monitoring of emissions, giving more real-time information on emissions or failures of emission control equipment.
243
Table 5-18 CMAQ project 
emissions reductions, 
1996-1998 TIP
Project 
Category VOC reductions 
NOx reductions
(kg/day in 1999)* (kg/day in 
1999)*
Logan Airport Remote Parking 
Park & Ride -
Southeast Expressway HOV -
Clan Citieg 
Alt 
AlThl 0 1A
rarK & Klae Fark & Kide 89 129
TMA Formation and New Initiatives 
TDM 15 
22
Old Colony Commuter Rail Extension Transit 
- -
Transportation Demand Management TDM -
-
1996 projects subtotal 
211 223
Logan Airport Remote Parking 
Park & Ride 44 
65
Southeast Expressway HOV -
-
Clean Cities/Clean Fuels 
Alt. Fuels 10 
19
TMA Formation and New Initiatives TDM -
IVHS Traffic Operations Center 
ITS 213 
31
Transportation Demand Management TDM -
-
1997 projects subtotal 
267 115
Congress St. Pedestrian Overpass Bike/Ped -
-
Clean Cities 
Alt. Fuels 8 
11
Transportation Demand Management TDM - -
1998 projects subtotal 
8 11
1996-1998 PROJECTS TOTAL 
486 349
*Reductions are not shown because they 
are incorporated into the MPO's transportation 
demand model
and reported with total regional emissions, 
or information on emission changes 
was not available.
Source: (McGahan 
1995)
Individual projects are typically 
on the order of a few million dollars. 
TDM programs and bike
and pedestrian projects are easily 
cast as typically falling into this 
funding category, and
therefore tend to be the most 
prominent in terms of the 
number of projects funded. 
In addition,
TSM projects, such as major intersection 
improvements or roadway reconfigurations 
- in
particular, projects that have long been waiting 
for funding are often "backed into" the 
category
(MBTA interview, 2005), serving 
as a catch-all funding source for relatively 
smaller roadway
projects that can be shown to have 
emissions benefits from congestion 
mitigation. However, it
will be interesting to see how the 
mix of CMAQ-funded projects change 
in the future, if more
consistent methods are used for project 
selection and prioritization.
5.6.4.3 Evaluation
Perhaps not surprisingly, given the limited 
number of ITS projects that have been 
used for air
quality improvements, evaluations 
of the emissions impacts of ITS have 
been undertaken on a
relatively ad hoc basis. There has been 
some evaluation of ITS within the context 
of CMAQ, as
discussed earlier. Yet, the evaluation 
process and methodologies for measuring 
emissions
244
reductions from ITS-based projects have not been formalized as in the case of Houston, for
example. Because CMAQ funds are a relatively small funding category, and ITS is not 
a major
component of CMAQ funding, the need to document the emissions impacts from ITS 
is not as
evident as in other cities.
Evaluation of the air quality benefits of ITS seemed to be a more prominent 
goal at the time of
the writing of the Boston Region IVHS Strategic Plan than it is currently. For example, the 
1994
Strategic Plan included an appendix that documented the emissions 
reductions from the two
phases of the plan.
205 
The analysis modeled the emissions benefits from an incident management
program, including a Traffic Operations Center and motorist assistance and incident 
response.
The core modeling assumption was that 
there would be a ten-minute reduction 
in detecting,
verifying and responding to incidents (McGahan 1995). According to the results 
in the Strategic
Plan, the first phase of deployment would 
reduced VOC by 190 kg/day and NOx by 
40 kg/day,
while the second phase would provide additional reductions of 
120 kg/day for VOC and 50 for
NOx (James H. Kell & Associates 1994; McGahan 1995).
Another early evaluation of an ITS application in the Boston region 
was the 1993 SmarTraveler
air quality study (Tech Environmental Inc. 1993). Indeed, this is a widely 
cited study both by
interviewees in agencies in Boston, and elsewhere, as it is one of the few 
studies of the impact of
traveler information on air quality based on a real system. Based on 
travel surveys regarding
usage of traveler information, the modeling assumption was that 
30% of daily callers would
change their travel plans based on information from SmarTraveler. 
It was calculated that the
adjusted traveler behavior reduced VOCs 
by 498 kg/day and NOx by 25 kg/day.
20 6 
However,
"daily callers" represented only a small fraction of all drivers 
on the road. Comparing these
results to the CMAQ projects discussed earlier (see Table 
5-18), it is noteworthy that the VOC
emissions from SmarTraveler alone, are greater than all CMAQ 
projects during a three year
period. However, as discussed in Chapter 2, because the full 
study could be not accessed, it is
difficult to comment on the validity of the modeling approach.
Because some of the more important advances in ITS have 
been for transit, evaluation is difficult
since ITS operational improvements are often highly 
integrated with other transit service
expansions and enhancements. Therefore, measuring the contribution 
of ITS improvements to
overall changes in ridership (and resulting changes in VMT and 
emissions) is nearly impossible.
In fact, the MBTA does not attempt to measure the ridership 
impacts or air quality impacts of
ITS, although it suggests that "overall, Intelligent Transportation 
Systems could improve
passenger perceptions of bus service and make 
bus service more attractive" (Central
Transportation Planning Staff 2003, p 5B-7).
Finally, it is interesting to note that there has apparently 
been no evaluation of the emissions
impacts of the implementation of FAST LANE, although 
this could be an important source of
emissions changes given that the FAST LANE allows 
vehicles to travel through the toll plaza
205 The first phase included deployment 
within Route 128, while the second 
phase contemplated deployment 
out to
1-495.
206 Based on the summary 
information in the 
ITS Benefits and Costs 
Database, www.benefitcost.its.dot.gov. 
Last
accessed February 12, 2006.
245
without having to come to a full stop.
20 7 
In addition, ETC is one of the ITS applications for
which studies of emissions changes are most commonly undertaken, because of the localized
nature of the application and ability to measure emissions.
5.6.5 Summary
Major highway expansion in Boston seems to have some to an end, at least for the near future,
with the completion of the CA/T. The financial and political pressures stemming from the CA/T
project and its cost escalation, as well as a trend of relatively slow population growth in the
region, has forced a shift to system maintenance and preservation. However, ITS has not been a
major component of that shift away from expansion-based strategies. Although there were
ambitious plans in the early 1990s for regional ITS, difficulties in the initial deployment of
important highway ITS components to a large extent undermined the high-level support for
further initiatives.
Yet, there has been a move toward greater support of transit expansion and enhancement, and the
indications are that ITS will be key aspect of that, from the Silver Line to the Urban Ring, and
from fare payment to fleet management. In terms of air quality strategies, transportation control
measures and transit projects have been at the core of the SIP submittals during the 1990s, and
even before the 1990 CAAA. However, a number of projects were committed to not only via
SIP commitments, but were legally required as part of the approval and permitting process for
the CA/T project. These essentially political commitments have locked the MBTA into a
number of transit projects, many of which no longer fit with the MBTA's current priorities based
on a more objective criteria for project evaluation. Yet, an unexpected consequence of these
transit commitments, is that for certain projects, ITS components have been incorporated as a
way to meet legal commitments for transit projects, while doing so in a more cost-effective
manner.
CMAQ has played an interesting role compared to other cities. In the absence of a formal
project selection process, and due to the constrained financial situation created by the CA/T
project, this funding category has been more of a catch-all category for regular transportation
improvement projects that could be found eligible for these funds. As a result, more innovative
proposals for the use of CMAQ funds, were eschewed for roadway projects deemed to be more
urgent. Nevertheless, a number of important ITS projects have been funded by CMAQ -
projects that might not have been funded otherwise given the situation created by the CA/T.
Regarding CMAQ funding of ITS projects, one interview suggested, "I sense that the demand is
so great for traditional transportation projects, that if there wasn't the CMAQ program or
enhancement categories, [ITS] would be a lower priority" (MBTA interview, 2005). Therefore,
CMAQ program seems to have lead to a funding portfolio that is slightly more "balanced" that
might have been otherwise if CMAQ funds had not been available.
207 Although there may have been internal evaluations, there appears 
to be no publicly available studies on the air
quality impacts of FAST LANE.
246
Although the history outlined above highlights a number of connections between air quality
issues and ITS deployment in Boston, the levels of experimentation and innovation with ITS as a
tool for emissions reductions and air quality improvements have been highly limited. This is
also reflected in the relative scarcity of studies of emissions changes from ITS deployments, and
the lack of specific procedures and methodologies for measuring and modeling emissions
impacts of ITS. While the early ITS Strategic Plan, at least in its rhetoric, placed an emphasis on
the air quality benefits of ITS deployment, that focus was diminished in the following years, with
very few ITS projects, perhaps with the exception of CMAQ projects, using air quality benefits
to either justify projects or increase support.
247
5.7 ORLANDO, FLORIDA
5.7.1 Background
5.7.1.1 The City
With a population of 1.6 million, Orlando is medium-sized city, and the second smallest of the
five cases in this thesis. In addition to being a major tourist destination, Orlando also hosts many
corporate headquarters, manufacturing, research, and regional distribution centers (LYNX 2005,
p 2-2). The Orlando Metropolitan Area encompasses three counties - Orange, Osceola and
Seminole - with Orange County being home to approximately 1 million residents, and the other
approximately half million residing in Seminole and Osceola Counties. During the 1980s and
1990s population growth was strong, with an average annual growth rate of 3.6% between 1980
and 2002 (author's calculations from (LYNX 2005)). During that time, this low-density city
expanded rapidly, first into the bedroom community of Seminole County, and then into the more
rural area of Osceola County, which nearly doubled its population during the 1990s. According
to the 2025 Long Range Transportation Plan, population is expected to continue to increase by
2% annually, bringing the population up to 2.2 million by 2025, while tourism is expected to
grow even more rapidly, with 5% annual growth in the number of visitors, resulting in a 71%
increase of VMT compared to current levels (METROPLAN Orlando 2004, p 1-1).
5.7.1.2 Transportation
Orlando is an auto-oriented city, with a small share of trips (between 3-4% of all vehicle trips)
being served by transit. North-south traffic flow is highly concentrated on Interstate 4 (I-4), in
part because of the lack of alternate routes.
208 
Going east-west through Orlando are several
tolled expressways, with various segments of the same roadways operated by both the 
Orlando-
Orange County Expressway Authority (OOCEA) and the Florida Turnpike Enterprise.
209 
A
large percentage of freeway miles in Orlando are tolled, which, as will be discussed later,
translates into a more customer-service oriented freeway system.
208 Currently there is a toll road beltway (operated by OOCEA and Florida Turnpike) to the east of 
the city, and the
long-term plan is to construct of a "western beltway" around Orlando.
209 Osceola County also operates the Osceola Parkway, a short stretch of toll road (approx 
12 miles) leading directly
into the Walt Disney World Theme Park.
248
Figure 5-24 Map of Orlando Metropolitan Area
Nk~dP 
L
If9 RhjD.
41I
Osceola4
ANA Ed"n__
Source: www.mapquest.com
Nearly 43 million tourists visit central Florida every year. Because of its numerous tourist
attractions, Orlando has a large private sector transportation market in terms of shuttle and bus
services between hotels and the various tourist attractions, 
or in the case of Walt Disney World,
the famous monorail that connects the various Disney "Kingdoms" and resorts. However, many
of the visitors to Orlando also rent cars. Therefore, while an important base for the economy, the
tourist industry also places heavy demands on the transportation network.
210
Public transit in Orlando is mainly served by fixed route buses, with typical headways of 30 or
60 minutes. The public transit service provider, LYNX, served approximately 22.7 million
passenger trips in 2003, with ridership growing relatively steadily (for example, ridership in
1993 was only half of 2003 levels at 11.1 million). In addition to bus service, there have been
important steps taken in developing a light rail 
plan beginning in the mid-1990s. However,
major setbacks have occurred due to failures to reach consensus regarding the alignment of the
210 The tourism industry and theme parks 
also create unique traffic patterns, 
with additional "peak" periods, for
example, a late evening peak when the parks close and tourists and employees leave.
249
light rail line, as well as problems securing local funding. More recently, project development
and environmental impact studies were begun for the North Orange/South Seminole Intelligent
Transportation Systems/Bus Rapid Transit (FlexBRT) project, possibly indicating a shift in
preferences from light rail to a more "flexible" BRT system. The future Transit Vision adopted
through a Joint Work Session between LYNX and Metroplan included a mix of modes, with
expansion of the bus system, Bus Rapid Transit, Light Rail, and Commuter Rail (LYNX 2005).
However, whether the funding can be secured to support this ambitious transit expansion is yet to
be determined.
5.7.1.3 Institutions
In terms of freeway travel, the Florida DOT, Florida Turnpike Enterprise, and the Orlando-
Orange County Expressway Authority (OOCEA), are the main players in Orlando, and have
typically taken the lead on many of the ITS deployments in Orlando. Traffic management on
arterial streets is the domain of the three counties - Orange, Seminole and Osceola - with
various levels of participation by the larger cities within the Orlando Metropolitan Area - the
City of Orlando, Winter Park, and Maitland.
LYNX', the public transit provider, operates all fixed-route bus service, coordinates ride-
matching for carpools, vanpools, and School Pools, the Road Rangers program for roadside
assistance, and paratransit services, and a downtown circulator called LYMMO.
The designated MPO responsible for transportation planning in the three-county Orlando
metropolitan area is Metroplan. There are five committees which directly advise the Metroplan
Board. The Transportation Technical Committee is one of the key committees, with planners
and engineers for all jurisdictions (cities and counties) and organizations to review and evaluate
the transportation plans and programs and make technical recommendations to the Board. 
There
is also a Clean Air Team Subcommittee representing a range of public and private sector
agencies and other stakeholders. Although primarily a planning organization, Metroplan has also
brought together more operations-oriented staff from various jurisdictions through the creation of
a Management and Operations Subcommittee within Metroplan to deal with issues of congestion
management, ITS and transportation demand management.
Finally, at the state level, the Florida Department of Environmental Protection is responsible for
air quality management for mobile, area and point sources. However, in the absence of non-
attainment areas for the entire state of Florida, there is not as direct involvement in 
local control
strategies, which are more typically on a voluntary basis and managed by the MPO.
5.7.2 Air Quality History
Orlando has officially been in attainment with national air quality standards since the 
late 1980s.
However, looking back to 1978, Orlando was designated non-attainment 
for the 1-hour ozone
standard. The MPO was required to submit an air quality implementation 
plan to bring the area
back into attainment by 1982, which it was able to do successfully by taking 
credit for new bus
purchases, although the new national vehicle emissions standards 
and fleet turnover was also a
250
critical factor (Metroplan interview, 2005). Since that time, the region has come close to
exceeding ozone standards once again, nearly falling out of attainment in 1998. Nevertheless,
favorable geographic and meteorological conditions in the Orlando and Central Florida area to a
large extent keep ozone levels in check during the "ozone season" which lasts from May to
October. Located in the central part of the Florida peninsula, Orlando typically experiences
heavy afternoon rains when breezes from both the Gulf of Mexico and Atlantic collide over
Central Florida, effectively cleansing the air, and avoiding the accumulation of pollution and
precursors over various days.
5.7.2.1 Sources
A emissions inventory for the three-county area was completed by a graduate student at the
University of Central Florida (UCF), according to the guidelines set by the EPA (Arbrandt
2002). The inventory focused on precursors of ozone, the criteria pollutant of interest, detailing
NOx and VOC emissions from all mobile, area and point sources. As seen in Figure 5-25, for
both NOx and VOC, on-road mobile sources are the dominant source category, comprising 61%
of total NOx emissions and 44% of total VOC emissions in Central Florida (Cooper and
Arbrandt 2003).
Figure 5-25 Emissions inventory for Central Florida (2002)
250U -
LOU
200 -
150 -
S100 -
50 -
5
N Point
U Area
i Non-Road Mobile
0 On-Road Mobile
NOx VOC
Source: Data compiled from Tables 5.1-5.4 (Arbrandt 2002)
Compared to an earlier emissions inventory completed by 1996, also done by researchers from
UCF, emissions from mobile sources increased substantially, while point and area sources
remained roughly the same. VOC emissions from mobile sources increased by 6%, while NOx
mobile source emissions increased by 59% over 1996 levels. This growth in mobile source
emissions reflects the considerable growth in VMT (61% between 
1996 and 2002),
demonstrating that growth in vehicle travel in the three-county Orlando metropolitan area
outpaced the rate of reduction in emissions factors due to more efficient and cleaner vehicles
(Cooper and Arbrandt 2003).
251
I
5.7.2.2 Actions
Given its air quality attainment status, not surprisingly, there have been few mandatory actions
for reducing emissions from mobile sources. There is no inspection and maintenance (I/M)
program for Orlando, although the idea of I/M is wielded as a threat for what might be necessary
if the area falls out of attainment.
21 
1 The majority of actions to reduce mobile source emissions
are voluntary measures relying on public awareness and involvement. Metroplan sponsors a
"Clean Air Day" every May, marking the beginning of the ozone season, in which they bring in
alternative fuel vehicles, and attempt to disseminate information on air quality issues to the
public. For example, Metroplan has identified and publicized information on concrete actions
the public can take to reduce emissions, including: trip chaining, ridesharing, properly
maintaining vehicles, walking or bicycling, limiting vehicle idling, and telecommuting.
However, the success of these transportation demand measures depends on the awareness and
personal initiative of drivers. LYNX has also been involved in supporting measures that
promote both transit use and ridesharing: such as an online application for matching rideshares,
support of vanpools with LYNX vehicles, and Park and Ride lots with co-operated with FDOT.
5.7.2.3 Issues
Although favorable weather conditions have played an important role in maintaining Orlando's
air quality within the NAAQS limits for the most part, there continues to be pressure from
Metroplan to keep the issue of air quality on the agenda when looking at transportation plans and
projects. During the ozone season, Metroplan staff reports regularly to the board and committees
giving updates on ozone levels. To a large extent, Metroplan has looked to the experience in
Atlanta, and the conformity problems that led to a freeze in federal funding for major
transportation projects. Because the regional forecasts suggest substantial population,
employment and VMT growth in the Orlando metropolitan area, the conformity lessons of
nearby Atlanta become more relevant.
The impact of OOCEA's tollway expansion "on environmentally sensitive areas and on urban
development patterns into environmentally sensitive areas," have been some of the concerns
aired by Metroplan's Transportation Technical Committee and Citizens' Advisory Committee
(Orlando Orange County Expressway Authority 2000, p 2-7). The response of OOCEA is that it
does not "intend to drive local development patterns," and instead are responding to already
adopted local land use plans for the Orlando region (ibid). Managers at OOCEA also consider
the continued attention on air quality to be somewhat unnecessary, citing the continuous
improvements in Orlando's air quality. In fact, on its website, OOCEA points to the
improvements in air quality in Central Florida, shows air quality trends and comparisons to
Atlanta, provides tips on keeping ozone levels down by reducing individual travel, and reports on
the emissions reductions 
from implementation 
of E-Pass.
2 12
211 According to Metroplan, because a politically 
unpopular annual vehicle safety inspection program 
was eventually
abolished by Governor Robert Graham, any similar inspection program would be very poorly received by politicians
and by the public.
212 See www.expresswayauthority.com/newsandreports/reportsandstudies/rs 
airqualitv.shtml. Last accessed April
10, 2006.
252
5.7.3 ITS Deployment
According to the summary indicators developed by the ITS Joint Program Office for tracking
ITS deployment, Orlando ranks high in arterial management, electronic toll collection, coverage
of freeways by real-time electronic surveillance and dissemination of traffic conditions to the
public. The site visit to Orlando confirmed that deployment levels of ITS were indeed high, and
that additional deployment and further integration of existing deployments were also taking place
at an aggressive pace. Although not an exhaustive description of the existing ITS applications,
some of the key applications are described in more detail below.
5.7.3.1 Traffic
Given its importance in regional traffic flows, much of the ITS initiative for freeway
management has centered on 1-4, such as camera coverage, VMS, and a Regional Traffic
Management Center operated by FDOT. There are also moves toward the use of variable speed
control on some segments of I-4, which would enable FDOT to lower the speed limit in response
to weather conditions or traffic incidents. Indeed, incident management has been a priority
driving many of the ITS deployments in Orlando - 511, VMS, highway service patrols
213 - 
and
is a concept that has been embraced by local elected officials in recent years.
OOCEA has been proactive in implementing ITS technologies such as electronic toll collection -
a transponder, account-based system called E-Pass. The Florida Turnpike Enterprise later
followed with the SunPass.
2 14  
With discussions beginning in 1989 to look into new toll
collection technologies - anticipating high levels of demand on the expressways and
consequently long delays at toll plazas - OOCEA was one of the early adopters of this
technology, beginning revenue service at selected toll plazas in May 1994 (Shofner 2001, p 159).
The Expressway Authority has also implemented cameras and variable message signs, with plans
to expand the coverage of both. However, in order to avoid redundancy in functions between
OOCEA and FDOT, the video from OOCEA is sent over to the Regional Traffic Management
Center operated by FDOT, where FDOT monitors the video and puts up messages on OOCEA's
variable messages signs. According to OOCEA, the motivation for their ITS deployments is to
provide value to the users of their tollways, and while possible improvements to air quality from
ETC would be welcomed, the organizational priority is building roads (OOCEA interview,
2005).
For arterial streets, the City of Orlando was one of the early leaders in the late 1980s to establish
a Traffic Management Center and coordinate signalized intersections in order to reduce delay.
Now, in partnership with Orange County, the City operates and maintains the Regional
Computerized Signal System, coordinating 384 signals within Orange County. The City also
plans to add additional cameras and possibly VMS. Seminole County, to the north, followed a
few years later, with a program of signal upgrades and coordination and installation of fiber optic
213 The highway service patrol, designated 
"Road Rangers" is jointly operated 
by LYNX and FDOT.
214 The SunPass technology was not deployed 
until 2000. OOCEA and the Florida Turnpike 
Enterprise had earlier
reached an agreement that OOCEA's E-Pass would made interoperable with the Turnpike's future ETC system
(OOCEA interview, 2005).
253
communications. Approximately 90% of its 350 signalized intersections are now coordinated in
the central system (Seminole County interview, 2005). Seminole County has also been
somewhat unique in its implementation of VMS along major arterials, mainly those arterials
adjacent to 1-4.215 Osceola County is just beginning with their entrance into ITS, to a large
extent following the lead of FDOT and working with Orange and Seminole Counties.
5.7.3.2 Transit
The mode share for transit in Orlando is small. Nevertheless, the transit provider, LYNX, has
deployed several ITS applications such as on-board stop announcements and video surveillance
on its fixed-route bus service on all 236 buses in the revenue vehicle fleet (LYNX 2005, p 3-7).
An FTA-sponsored operational test was conducted in 1999 to test the use of an intermodal smart
card for use on the OOCEA expressways, parking garages in the City of Orlando, and on LYNX.
Although successful from the viewpoint of organizational coordination, the operational test was
limited in scope (involving only 2 of 62 routes for LYNX), and the use of the cards was
terminated after the operational test finished. Deployment of a smart card technology does not
appear to be a near-term reality. The most ITS-intensive transit service is LYMMO, a free rapid
transit system which operates on a 3-mile continuous loop through downtown Orlando. Running
as a downtown circulator on a bus-only lane, LYMMO utilizes GPS, silent alarms and on-board
surveillance, data archiving and passenger counters (Diaz, Chang et al. 2004, p 2-67). However,
probably the more interesting features are the traveler information screens at stations/stops, with
monitors displaying maps of the local street network with real-time tracking of the buses on the
map itself.
As noted earlier, a study is now underway for the North Orange/South Seminole Intelligent
Transportation Systems/Bus Rapid Transit (FlexBRT) project, which would draw heavily on ITS
applications. However, this project is still in the early stages of planning and evaluation.
5.7.3.3 Information and Other
One of Orlando's early ventures into advanced traveler information systems was a operational
test for a system called Travel Technology (TravTek). This system represented the prototypical
early IVHS vision of an in-vehicle navigation system incorporating real-time traffic conditions
for making the optimal route selection. The field operational test was carried out as a public-
private venture between the General Motors Corporation (GM), the American Automobile
Association (AAA) and the FHWA that began in 1989. Orlando was selected as a operational
test site for TravTek because of its role as an important tourist destination, and therefore high
rental car usage,
2 16 
as well as the fact that the AAA would be relocating its headquarters to
215 While the typical spending priorities for cities and 
counties is to start with traffic cameras, then move 
to other
technologies such as VMS, the Board of Commissioners in Seminole County has disallowed the use of cameras on
roadways, citing privacy issues. Therefore, Seminole County is unique in having no traffic monitoring cameras, but
relatively extensive VMS coverage.
216 75 of the equipped vehicles were part of a rental 
car fleet to be used by visitors, while 25 vehicles were 
used by
local residents Science Applications International Corporation (SAIC) (1994). IVHS Institutional Issues and Case
Studies: TravTek Case Study. Cambridge, MA, Volpe National Transportation Systems Center,: 37 pages.
254
Orlando. The concept of TravTek, as well as many of the key system design and 
project
management issues were decided in advance of selection of Orlando as the site for an operational
test.
217 
However, with GM and AAA bringing in both technical resources and funding, and
FWHA providing additional funding, mainly in the form of grants to support the Transportation
Management Center, the Florida DOT and City of Orlando were brought on-board to the project.
Partially a result of this field operational test, cooperation between different agencies in the
Orlando area has been relatively high since the early 1990s. FDOT and the City of Orlando
collaborated in the field operational test for TravTek, with more limited involvement of Orange
County (Science Applications International Corporation (SAIC) 1994). Although the TravTek
system did not move past the initial operational test, it provided a learning experience to the
actors involved a focus to the various agencies in the region to the possibilities of an integrated
ITS. Later, working together through Metroplan, the agencies involved in ITS developed an
Early Deployment Plan, which was submitted to the FHWA in 1996. According to Seminole
County, this was an important effort for defining the ITS vision for the region, and significant in
that all of the partner agencies signed off on the plan (Seminole County interview, 2005).
More recently, about 13 agencies signed a consortium agreement to coordinate their ITS efforts,
modeling the agreement off of Houston's TranStar. According to both OOCEA and Seminole
County, they were able to effectively leverage that consortium to secure the 10 million dollar
federal grant to support the iFlorida for project for advanced traveler information led by FDOT
(OOCEA, Seminole County interviews, 2005). The Expressway Authority, OOCEA, has also
been proactive in its coordination with other public sector agencies. For example, as part of the
iFlorida project, OOCEA will provide arterials speeds by setting up the same transponders used
for toll collection to measure travel times.
Even before the iFlorida project began, Orlando was also relatively successful with deployment
of its 511 traveler information service, 
with an average of 100,000 calls per 
month in 2005.218
Much of the information is focused on traffic conditions on 1-4 and the expressways. With the
iFlorida project, the system will be also expanded to include arterials.
217 GM was the main initiator and champion 
of the project, and had worked on developing 
the TravTek design for
several years before approaching AAA. TrakTek was essentially the concept of the Electronic Route Guidance
Systems (ERGS) developed in the 1960s as part of the research initiative's carried out by the precursor to the
FHWA, the Bureau of Public Roads (BPR). Saxton, L. (2000). History of ITS in Highway Operations. Intelligent
Transportation Primer. Washington, DC, Institute of Transportation Engineers. The FHWA would be brought in
later, and once agreement was established between GM, AAA, and FHWA, the group went to the City of Orlando
and Florida DOT with the Travtek proposal Science Applications International Corporation (SAIC) (1994). IVHS
Institutional Issues and Case Studies: TravTek Case Study. Cambridge, MA, Volpe National Transportation Systems
Center,: 37 pages.
218 Source www.metroplanorlando.com. 
Last accessed October 19, 
2005.
255
5.7.4 ITS-Air Quality Links
5.7.4.1 Projects
To date, there have been no ITS projects in Orlando with an explicit link to air quality.
Although, the organizations deploying ITS in Orlando generally would like to see emissions
benefits from ITS, the primary motivations for those deployments are congestion and safety.
5.7.4.2 Funding
In contrast to the other five case study cities, Orlando receives no CMAQ funding which would
tie ITS projects to air quality benefits.
219 
Funding for ITS deployments in the Orlando
metropolitan area has primarily been through federal grants and the use of STP funds. Local
funding has also been important, for example, in Seminole County where a voter-approved 1%
sales tax was approved in 1991, and again in 2001, generating nearly 50 million dollars a year
for transportation, from which funds can be set aside for ITS (Seminole County interview, 2005).
Metroplan has been also effective in setting aside portions of STP funds for non-highway
projects. According to planners at Metroplan, under the pressure of escalating costs for highway
expansion, in particular, for acquiring right-of-ways, other non-highway options began to look
more cost-effective. There was a sense that they would be "playing a losing game" against
traffic congestion by continuing to invest nearly exclusively in highway expansion (Metroplan
interview, 2005). The percentage of STP funds going toward non-highway options has
continued to increase. For the current TIP, the split is 58% highway, 30% transit, and 12% bike
and pedestrian facilities and other transportation enhancements (METROPLAN Orlando 2004, p
I-6). In addition, from general highway funds, two million dollars are designated ITS and
Congestion Management System (CMS) projects. In future TIPs, that amount will increase to
four million (Metroplan interview, 2005).
5.7.4.3 Evaluation
Although there have been no ITS projects with an explicit air quality goal, there have been
several detailed assessments of the emissions and fuel consumption changes from ITS
applications have been undertaken, most notably, a study of the emissions impacts of E-Pass, and
an FHWA-sponsored study of the TravTek field operational test.
Environmental concerns with ITS deployments in the early 1990s seemed to attract little
attention, and ranked low on the FDOT's organizational priorities. Citing an analysis of the
TravTek operational test:
"A FDOT staff person concluded that there were severe budget and environmental
impediments to Florida's participation in the TRAVTEK project. Through high level state
support for TRAVTEK, this person was replaced by other FDOT people who believed
that TRAVTEK was a priority, [and] the metropolitan planning commission was fully
219 As will be discussed later, Tulsa does receive CMAQ 
funding, however because Tulsa is in attainment, the 
funds
may be used more flexibly as STP funds.
256
briefed on all environmental issues" (Science Applications International Corporation
(SAIC) 1994).
While environmental concerns were apparently not considered to be an important factor in
whether or not to undertake the field operational test, ex-post evaluations were completed to
assess the emissions impacts. The study, sponsored by FHWA and undertaken by researchers at
Queen's University in Canada, included emissions (HC, CO, NOx) and fuel consumption as four
of their nine measures of performance (MOPs). The emissions changes were modeled for
various levels of market penetration (LMP) by adapting the INTEGRATION micro-simulation
model to the Orlando network characteristics. The model incorporated the routing logic used by
the TravTek vehicles to more accurately model the travel patterns of the TravTek-equipped
vehicles, but also modeled the background (non-TrakTek) traffic. The results were mixed in
terms of the emissions impacts of TravTek. The most straightforward results were for HC,
which decreased monotonically with increasing LMP, with a maximum reduction of 16% at an
LMP of 100%. The results for CO were non-linear, with emissions increasing slightly (3%) at
low LMP, but then decreasing with an LMP greater than 10%, with a maximum reduction of 7%
at 100% LMP. Finally, for NOx, the impacts were negative, with emissions increasing for nearly
all levels of LMP. The maximum increase for NOx was 5% at an LMP of 30% (Van Aerde and
Rakha 1996, pp iv-v, 102-103). These results were from simulation only, and no actual field
measurements were made.
At approximately the same time as the TravTek evaluation, another study was undertaken by
researchers from the University of Central Florida in order to assess the emissions impacts of
electronic toll collection. The project, sponsored by OOCEA, was to simulate scenarios with and
without E-Pass, and under different levels of demand. Data was collected on arrivals, departures
and speed before the introduction of E-Pass (August-October 1994) and after (July-August
1996), during which the average vehicle volume grew by 30%. The level of usage of E-Pass for
the Holland East Toll Plaza - the most heavily used plaza - was 40% for the "after" situation.
Emissions rates were derived from the MOBILE5a emissions model, meaning that only speeds,
and not acceleration/deceleration events were used to calculate emissions. The simulation results
showed that even with increased volume CO and HC fell by approximately 7% from the
"before" to "after" scenario. In contrast to the promising results for CO and HC, the picture for
NOx was more negative, with significant increases in emissions (34%) due to higher speeds
through the plaza (Klodzinski, Al-Deek et al. 1998). Overall, the OOCEA took these results as
good news, noting on their website that "Researchers Say E-PASS Reduces Pollution," pointing
to the CO and HC reductions, 
but omitting the outcomes 
for NOx.
220
5.7.5 Summary
In terms of ITS, Orlando has had impressive levels both of deployment and levels of integration,
with several focusing events - such as the TravTek operational test and iFlorida grant - serving
to define a pathway for future ITS deployments, and consolidate coalitions around specific
220 See www.expresswayauthority.com/newsandreports/reportsandstudies/rs 
airquality.shtml. Last accessed April
10, 2006.
257
initiatives. Orlando has also been able to successfully secure ITS funding both at the federal
level, through earmarks and grants, and at the local level with set-asides from STP funds and
county-level sales taxes.
22 1 
Although in attainment with air quality, the prospect of high levels
of future population and VMT growth and the example of Atlanta's conformity problems and
freezes on transportation investment, allow Metroplan to keep the air quality issue on the agenda.
Nonetheless, in the absence of air quality conformity requirements, funding sources such as
CMAQ requiring consideration of emissions reductions, or pressures from the public to address
air quality, there have been no ITS projects with an explicit air quality or emissions component.
Some in-depth evaluations have been done, both pointing to the difficulty in reducing HC and
CO emissions without incurring the NOx penalty of higher speeds. Indeed, it is worth noting
that both the FHWA and OOCEA perceived a need to measure the emissions impacts of these
ITS applications in an area that has historically been in attainment of ozone standards, even if the
results of these studies did not lead to specific changes in their ITS deployments.
221 Seminole County is 
the more fortunate in this 
respect, with a one-cent 
sales tax that generates 
$500,000 per year
in dedicated funding for ITS projects alone. Osceola also has a one-cent sales tax for transportation, but directs the
spending to other priorities. Orange County has been unsuccessful in passing a similar sales tax.
258
5.8 TULSA, OKLAHOMA
5.8.1 Background
5.8.1.1 The City
Of the five case study cities analyzed in this research, Tulsa represents the smallest metropolitan
area, with a population of approximately 860,000 in 2000. Again, we chose this case to contrast
with the larger metropolitan areas with higher levels of ITS deployment, and longstanding air
quality problems. It also presented an interesting case as a city which is just beginning to focus
on ITS, with few applications actually in place, as well as a city that was on the verge of falling
into non-attainment status for the first time since the passage of the 1990 CAAA. Population and
employment growth in Tulsa have been relatively slow at just over one percent average annual
growth during the 1990s. The region faced major job losses in the 1980s due to sharp downturns
in the oil, gas and aerospace industries - the largest employers in the Tulsa region, and has only
gradually been recovering in terms of total employment and downtown employment (Indian
Nations Council of Governments 2005, p 11).
5.8.1.2 Transportation
Tulsa's transportation network is a well-organized grid-based arterial network, with major
arterials spaced approximately every mile both in the north-south and east-west direction,
crossed by several routes such as 1-44 (formerly the famous Route 66) and the Broken Arrow
Expressway (see Figure 5-26). With only minimal congestion on its network, even during peak
hours, congestion is not a critical political issue in the Tulsa area. According to Destination
2030, the long-term regional transportation plan, "Tulsans rely heavily on personal automobiles
for transportation" with most commute trips made in single-occupancy vehicles (SOV). An
auto-oriented city, VMT continues to grow in Tulsa, with trends showing that residents are
making more, although not necessarily longer trips in private autos, while the share of non-SOV
trips is declining (Indian Nations Council of Governments 2005, p 11). The daily VMT in the
Transportation Management Area was just over 21 million vehicle miles in 2000 (Indian Nations
Council of Governments 2005, p 26).
259
Figure 5-26 Map of Tulsa Metropolitan Area
@ 21Q6 aQu , Ic , @2006 Tele Atlas
Source: www.mapquest.com
Most transportation investment continues to be focused on construction and maintenance of the
highway network, and identifying and improving major bottlenecks. In terms of overall mode
split, transit use is minimal (less than 1% of total trips), and primarily serves non-choice riders
such as low-income individuals, youth and elderly, and households without access to a private
car or truck. Transit system ridership levels fell nearly continuously during the 1990s, from just
over 3.2 million riders per year in 1992 to 2.6 million in 2002, with a short upswing in ridership
levels between 1998 and 2001 (Perteet Engineering 2003, p 5).
5.8.1.3 Institutions
As a smaller metropolitan area with limited ITS deployment and in attainment with national air
quality standards, the number of actors involved directly in transportation and air quality
management is less than in other metropolitan areas. However, the generic public sector actors
in the region are essentially the same: the city, MPO, transit provider, state environmental
agency, and state transportation/highway department. The county governments, in comparison
to some of the other metropolitan areas, have not been as involved in ITS deployment.
260
The designated MPO for the Tulsa area is the Indian Nations Council of Governments, which
encompasses all of Tulsa County and portions of Wagoner, Osage, Rogers and Creeks Counties.
The majority of the population within INCOG's boundaries is located within Tulsa County. The
City of Tulsa is the largest city in the area, followed by Broken Arrow, and is responsible for
local streets and signal control, and owns and operates Tulsa Transit, the primary public
transportation service provider in the Tulsa Metropolitan area. Tulsa Transit currently operates
56 traditional buses along 22 routes (regular, nighttime and express routes) plus demand-
responsive service for certain areas (Indian Nations Council of Governments 2005, p 44).
At the state level, are the Oklahoma Department of Transportation (ODOT) and the Oklahoma
Department of Environmental Quality (ODEQ), with their primary offices located in Oklahoma
City and district offices in the Tulsa area. ODEQ is Oklahoma's state environmental agency,
with responsibility for fulfilling the requirements of the Clean Air Act. While ODEQ is
responsible for working with INCOG in the development of the State Implementation Plan (SIP)
for air quality - including Tulsa and Oklahoma City - ODEQ does not have local offices in
Tulsa for mobile source measures.
5.8.2 Air Quality History
For 20 years, Tulsa was a non-attainment area for 1-hour ozone until being re-designated as
attainment for ozone just before the passage of the 1990 CAAA. Nonetheless, after having been
extent from the obligations required under the more stringent 1990 CAAA, Tulsa recently found
itself in danger of returning to non-attainment status under the new 8-hour standard for ozone.
According to the INCOG, "air quality planning in the TTMA has intensified as ozone
concentrations have exceeded the value permitted by the 8-hour ozone NAAQS" (Indian Nations
Council of Governments 2002, p. iv). Although INCOG has lacked the resources to fully
analyze the ozone problem at the local level, air quality monitoring in the Tulsa area was initially
showing that the area was violating the 8-hour standard with a design value of 87 ppb for the
years 2000-2002 (Indian Nations Council of Governments 2002; Makler and Howitt 2003).
5.8.2.1 Sources
Because Tulsa, and indeed the entire state of Oklahoma, has not faced serious air quality
problems during the past 10-15 years, few resources have spent on developing modeling
capabilities and detailed emissions inventories for local airsheds. Therefore, the exact nature of
local ozone formation and whether it is primarily a VOC or NOx problem in the Tulsa region
airshed is unclear. According to planners at INCOG, Tulsa's ozone problem is mostly related to
VOC emissions, but there are also concerns about NOx from large point sources, since the Tulsa
has several power plants in the area, including two new plants built within the past five years
(INCOG interview, 2005). According to the 2002 emission inventory for ozone precursors in the
Tulsa Metropolitan Area, on-road mobile sources represented 47% of VOCs emissions, 35% of
NOx emissions, and 67% of CO emissions (Indian Nations Council of Governments 2005, p 22).
261
5.8.2.2 Actions
In response to concerns about a pending non-attainment designation, Tulsa entered into an Early
Action Compact (EAC) with EPA in December of 2002, based upon the Protocol developed by
the Texas Commission on Environmental Quality (formerly the Texas Natural Resource
Conservation Commission) in cooperation with EPA. Earlier, Tulsa had also used a similar
Flexible Attainment Region (FAR) compact to address possible exceedances of the 1-hour ozone
standard. However, despite early signs that Tulsa would probably be in violation of the 8-hour
ozone standard, by the time 8-hour ozone designations were actually made by EPA in April 2004
(after years of legal battles at the federal level following initial promulgation of the new standard
in 1997) air quality monitoring was indicating that all of Oklahoma was actually in attainment of
the standard, with design values of 0.080 ppm for 8-hour ozone.
222 
Although the area is in
attainment with the standard, and the EAC was, in fact, not necessary for non-attainment
designation, the EAC still provides a safety net in case the area exceeds the standard within the
next few years. Tulsa's Early Action Compact was a trade-off in which the local air quality
planners in Tulsa would commit to developing and implementing certain control strategies to
achieve the 8-hour ozone standard by 2007, while in return, the EPA would defer designation of
the area as non-attainment until 2007, in the case that air quality monitoring showed the area to
be exceeding the 8-hour ozone standard.
Table 5-19 Tulsa Early Action Compact (EAC) milestone commitments
Milestone Date Item
December 31, 2002 Submit signed EAC with milestones
July 16, 2003 
Identify/describe local strategies 
being considered
July 16, 2003 for use in the EAC Plan
March 31 2004 Submit attainment demonstration modeling and
March 31, 2004plntSae
plan to State
December 31, 2004 State submits SIP with the local area plan to EPA
December 31, 2005 Implement any required rules
December 31, 2007 Attain the 8-hour ozone standard
Source: (Oklahoma Department of Environmental Quality 2004)
In May 2003, as part of the commitment milestones laid out in the EAC (see Table 5-19), an
ambitious list of 23 potential local control strategies was developed by INCOG's air quality
committee addressing all sources. Nonetheless, only a limited number of transportation control
measures (TCMs), mainly traffic flow improvements, were actually included in the December
2004 SIP for the state. As more detailed photochemical and emissions modeling was
undertaken, it became clear that air quality in Tulsa (as well as in Oklahoma City) would
continue to improve even in the absence of any local controls. This is primarily due to the
222 "A violation of the 8-hour ozone standard occurs 
when the average of the fourth highest 8-hour ozone
concentration over three consecutive years exceeds 0.084 ppm (84 ppb)" Oklahoma Department of Environment
Quality, Revisions to the State Implementation Plan for the Control of Ozone Air Pollution. Tulsa Metropolitan
Area 8-hour Ozone Early Action Compact. Submitted to EPA Region VI on December 31, 2004.
262
reduced emissions from Tier-2 light duty vehicle standards coupled with turnover in the vehicle
fleet,
223 
along with new rules for heavy duty diesel vehicles and non-road sources, and even
control measures being implemented in the eastern US that would reduce the transport of ozone
to the Oklahoma region (ODEQ interview, 2005) (Oklahoma Department of Environmental
Quality 2004). In the public hearings regarding the EAC, it was highlighted that improved air
quality modeling showed that 8-hour ozone levels would be well within attainment by 2007. It
was also shown that emissions for VOC, NOx and CO in 2012 would be lower than their 2007
levels, and thus it was argued that Tulsa would continue to be in attainment for 2012 as well.
As a result, the only local control strategies included within the Tulsa EAC - as part of the
statewide SIP submitted in December 2004 - were capacity improvement projects and roadway
intersection improvement projects. These projects represented a very small portion of the
measures identified in INCOG's May 2003 list of possible control strategies that included I/M
programs, idling controls, reductions of speed limits on freeways, vapor recovery and various
measures for area sources. In comparison with the May 2003 list, the control strategies actually
listed in the final EAC/SIP (designated the Tulsa Area Transportation Emission Reduction
Strategy) consist more narrowly of traffic flow improvement projects: targeted roadway capacity
expansions, expressways and primary and secondary arterials, and limited number of already
planned intersection improvement projects, primarily traffic signal installation and coordination
(Oklahoma Department of Environmental Quality 2004). As noted by Makler and Howitt,
elected officials have tended to look toward Dallas, where "they perceive that that city's air
quality problem has not constrained transportation investments" (Makler and Howitt 2003).
Therefore, the emission reduction strategy has focused primarily on traffic flow improvements
from conventional infrastructure and some ITS, without much concern with the potential for
induced travel.
Yet, even before the 8-hour ozone standard was issued, indeed since the early 1990's, Tulsa has
implemented a number of voluntary and episodic controls in order to avoid possible exceedances
of ozone standards. These measures - namely RideShare and Ozone Alert! - rely to a large
extent on public awareness and response. While these TCMs were considered for inclusion in
the EAC, they were not included in the formal EAC submission to ODEQ and EPA, which
would have made them more binding commitments. They have continued to be used as episodic
ozone controls, although their success is constrained by the voluntary nature of the programs.
RideShare, an area-wide carpooling program, is part of the Tulsa Commuter Choice Program
managed by INCOG, and includes an online carpool matching service intended to increase
occupancy levels and thus reduce overall VMT. The Ozone Alert! program is another voluntary
measure that alerts individuals and business to a possible ozone exceedance for the following
day. The EPA's Office of Air and Radiation highlighted the program as a case study, noting that
approximately 350 businesses have voluntarily participated in the program, taking actions that
would encourage employees to limit driving on the following day through carpooling,
telecommuting, flexible schedules or public transit (including free bus passes or other financial
223 Assuming that the mix of vehicles in the fleet in 
Tulsa is the same as at the national level Indian Nations 
Council
of Governments (2005). Destination 2030 Long Range Transportation Plan. Tulsa, OK, Transportation Planning
Division: 161 pages.
263
224
incentives) (U.S. Environmental Protection Agency no date).
224 
According to INCOG, the
Ozone Alert! program was the first in its kind in the country, and has been replicated in other
ozone non-attainment areas such as Dallas-Fort Worth and San Francisco (INCOG interview,
2005). Tulsa was also one of the first cities (if not the first) to use ITS, specifically freeway
variable message signs operated by ODOT, to notify drivers of a pending ozone exceedence.
Additional actions taken for emissions reductions include the purchase of lower emission
vehicles for Tulsa Transit, and reduced fare bus rides during Ozone Alert! days, sponsored by
Oklahoma Natural Gas.
22 5 
Probably the most effective action under the Ozone Alert! program,
according to INCOG, has been the voluntary reduction of the Reid Vapor Pressure by fuel
suppliers (INCOG interview, 2005).226 Tulsa Transit is also attempting to reduce emissions
through improvements to its bus fleet. However, as noted by an INCOG planner, "in terms of
getting people out of their cars and into transit, it's not happening" (INCOG interview, 2005).
5.8.2.3 Issues
Although the EAC has been characterized as a "pro-active initiative"
227
, the additional
investment has been minimal, since most of the actions outlined in the EAC were essentially
projects already completed since 1999/2000 or projects in the pipeline. For example, in the
Tulsa Area Transportation Emission Reduction Strategy, which outlines the mobile source
measures to be included in the SIP, 27 of the 32 capacity expansion projects listed had already
been completed as of the EAC submission. This left only five capacity expansion projects
outstanding, plus nine intersections still targeted for traffic signal improvements. In part, more
rigorous and expensive measures, although considered and analyzed, were not included in the
EAC, primarily because photochemical modeling and air quality trend analysis undertaken by
EPA and independent consultants (Environ International Corporation) was showing that
attainment was highly probable even in the absence of local controls.
5.8.3 ITS Deployment
As of 2002, the level of ITS deployment in the Tulsa area ranked the lowest of all metropolitan
areas.
228 
This result is not highly surprising for a medium-size city with a population of
approximately 800,000, slow population and employment growth and very modest traffic
224 The Ozone Alert! Program has been 
in place in 1991. See EPA case study 
on Tulsa's ozone alert program:
www.epa.gov/air/recipes/ozalert.html. Last accessed August 22, 2005.
225 
Although ridership levels are reported by Tulsa 
Transit to increase on Ozone Alert! days when 
bus rides are free,
there are doubts as to whether those increases reflect people leaving their cars and using public transit, or regular bus
riders taking advantage of the free rides to make additional trips.
226 Reid Vapor Pressure (RVP) is a measure 
of gasoline volatility and defines its evaporation 
characteristics.
Lowering the RVP (for example, from 9.0 psi to 7.8 psi), or volatility, can reduce evaporative emissions for VOC,
and is therefore regulated by the EPA and states during the summer, when evaporative emissions are highest. See
http://www.epa.gov/otaq/volatility.htm. Last accessed February 11, 2006.
227 Source: Tulsa Clean Cities website, 
www.tulsacleancities.com/Tulsa's%20Air.htm. 
Last accessed April 25,
2005.
228 The 2002 figures might be somewhat lower 
than reality, since in earlier years, it was 
reported that a substantial
percentage of toll lanes were equipped with ETC, and that approximately 1/3 of highway-rail intersections were
under electronic surveillance. These figures were reported as "No Response" and "0%" respectively for 2002.
264
congestion. Tulsa has only been looking seriously at ITS applications since the late 1990s, with
physical deployment not beginning until 2001. In part, this recent effort has been spurred by a
FHWA report that targeted Tulsa among the 25 metropolitan areas in the US with little or no ITS
deployment (INCOG interview, 2005). This also lead to a brief influx of several million dollars
for ITS, through federally earmarked integrated funds. Although helpful to move forward with
some ITS projects, the funding was focused on integration, rather than deployment per se.
To a large extent, the ITS efforts in Tulsa are lead by the state, with federal funding coming
primarily through special appropriations, such as the integration funds. City traffic engineering
and public works departments in the City of Tulsa and City of Broken Arrow have largely
followed the lead of ODOT, which currently owns and maintains the majority of the ITS
infrastructure in Tulsa (ODOT interview, 2005). Although limited in the amount of actual ITS
hardware deployed, there is relatively good interagency coordination for the ITS applications
that do exist.
The principal barrier for ITS deployment has been the lack and unpredictability of funding
(INCOG interview, 2005). Because of the congestion problem in Tulsa lacks any real severity, it
has been difficult to justify diverting funding from conventional transportation infrastructure to
ITS. Transportation and metropolitan planning agencies in Tulsa consider that the current
strategy of moderate highway expansion and addressing bottlenecks in the system, coupled with
slow population growth, has served to keep congestion in check. This reflects the view in Tulsa,
and elsewhere, that ITS does not yet provide a true alternative to physical capacity expansion,
and instead is an enhancement to physical infrastructure projects. However, they also add that as
the financial costs of physical capacity expansion in highly developed urban areas (citing
segments of 1-44 as an example), alternatives such as ITS may become more viable (INCOG
interview, 2005).
Currently, no STP funds are set aside for ITS applications, meaning that most ITS funding comes
through special appropriations that the congressional delegation is able to secure. The only
formula funds that are designated to ITS are a portion of state CMAQ funds, as will be discussed
later.
5.8.3.1 Traffic
According to INCOG, although there is only moderate congestion in Tulsa, the congestion that
does occur is largely a result of incidents and accidents (INCOG interview, 2005). Therefore,
the main impetus for ITS in the Tulsa area has been both improving incident response and
management, with the goal of reducing the non-recurrent congestion caused by those accidents
and incidents. The organizing vision for ITS operations in Tulsa is the establishment of a
Regional Transportation Management Center (RTMC). This center would operate under the
supervision of a Board including ODOT, INCOG, the Oklahoma Department of Public Safety
(DPS) (specifically, the Oklahoma Highway Patrol) and the City of Tulsa, and would create both
institutional and real-time communications and data links between agencies responsible for
traffic, emergency and transit operations (PB Farradyne 2002, p. 6). In practice, the actual
deployment of this vision has been limited by the lack of funding.
265
To date, there is a modest number of arterial intersections under centralized or closed-loop signal
control, with signal preemption at some intersections for emergency vehicles. In terms of ITS
infrastructure, there are 12 CCTV 
cameras, approximately 34 limited-capability 
webcams,
229
seven installed dynamic message signs (DMS) with seven additional DMS planned, and fiber
optic coverage of about two-third of the highway network in Tulsa.
Somewhat independently, ITS applications have also been pursued by the Oklahoma Turnpike
Authority. The Turnpike's Electronic Toll Collection system - PIKEPASS - was deployed in
1991. The motivation for deploying ETC was not congestion, but rather the cost savings of ETC
compared to manual toll booths (Public Technology Inc. 1995). The PIKEPASS tag operates
with radio frequencies, and collects one-third of all tolls on the turnpike system. Although the
cost saving was the primary motivation for deploying ETC, studies have shown that accidents
and emissions were also reduced substantially.
5.8.3.2 Transit
Currently, there is some online transit information, although most of that information is static
information on bus routes and schedules. Electronic fare payment for buses has been also
implemented throughout the fixed route bus fleet, as well as automated passenger counters, and
mobile data terminals, security ITS applications such as silent alarms and engine kill switches.
Tulsa Transit and INCOG have both been advocating for automated vehicle location (AVL),
which would enable Tulsa Transit to track buses, control headways and possibly provide real-
time bus information to passenger, in order to improve the reliability and predictability of
service. AVL is considered critical because the frequency of service can range from 20-90
minutes (peak period) and 30-120 minutes off peak, meaning that missing the bus often requires
finding an alternative mode of travel rather than waiting for the next bus.
5.8.3.3 Information and Other
The demand for traveler information is relatively low, and adequately served by traditional
channels of traffic information such as radio and television reports. The city of Tulsa has a real-
time GIS-based online accident map - the principal source of congestion in Tulsa - using
information from 911 calls. However, the system is often unable to map the 911 calls to the
local street network, and there are no indications of direction or duration of the incident (since
there is no mechanism to know when the accident is cleared).
230
5.8.4 ITS-Air Quality Links
At the same time that air quality issues were becoming a more urgent issue for transportation
planners in Tulsa - with several years of exceedences threatening a possible non-attainment
designation for the area - ITS was also coming to the forefront. This has led to some interesting
coupling of ITS technologies and emission reduction measures, as will be discussed below.
229 These webcams do not have pan, 
tilt and zoom functions typical to most 
CCTV cameras.
230 See link to "traffic accidents" at maps.cityoftulsa.org/. 
Last accessed March 20, 2006.
266
5.8.4.1 Projects
Although Tulsa's ITS experience is relatively recent, there are a few projects that leverage ITS in
order to improve air quality. For example, the online carpool matching service that supports
Tulsa's Rideshare program represents one ITS element deployed within the context of air
quality. Rideshare uses RidePro software to match potential carpool candidates by home and
work addresses, schedule preferences and flexibility, and can also be specific to employer. Tulsa
also has been able to coordinate ITS and the Ozone Alert! program by displaying information on
Ozone Alert! days on ODOT's dynamic message signs. This requires substantial interagency
coordination in that the Tulsa Branch of ODEQ will forecast next day ozone levels and call the
alerts (by 3:00 pm), while the Air Quality Committee of INCOG implements the Ozone Alert!
system, notifying corporations and the public, ODOT puts messages on the VMS to notify
drivers of pending Ozone Alerts, and remind them "to consider other commuting options.'
231
Table 5-20 ITS content of air quality programs/projects in Tulsa
Measure Type Objective ITS Content
Spread peak travel via flexible
schedules.
Reduce VMT via carpooling, Notification 
via VMS.
Ozone Alert! Days TDM walking/biking, transit, or 
Web-based carpool matching.
telecommuting.
Public awareness on good driving
habits - reduce idling, chain trips.
Arterial Reduce idling times at
Si a 232 
TSM intersections. 
Signal optimization.
Signalization
232  
TM intersections.
Rideshare TDM Reduce VMT via carpooling. Web-based carpool matching.
The inclusion of several signal improvement projects in Tulsa's EAC reflects the position of
local transportation planners that the perception of the relationship between ITS and air quality
has shifted over the years. According to planners at INCOG, when ITS was still a relatively
young concept, the air quality benefits were tied to ITS as an attempt to "sell" these projects to
local decisionmakers. However, ITS matured into a more viable program on its own. As a result,
the air quality benefits were quantified not to "sell" ITS projects, but rather to delay a possible
ozone non-attainment designation. In the development of the EAC, INCOG included and
quantified several signalization projects that were already in the pipeline and that could show
emissions reductions. In fact, twelve of the projects - about one-quarter of all projects - listed in
the Transportation Emissions Reduction Strategy for the EAC were traffic signal installations,
upgrades or modifications.
Variable speed limits on interstates was another option considered for reducing emissions and
avoiding possible ozone exceedances (ODEQ interview, 2005). However, the projected costs
involved in implementing the system, concerns about a negative reaction by the public, and the
231 See http://www.epa.gov/oar/recipes/ozalert.html. 
Last accessed March 18, 2006.
232 This measure was the only one to be included 
in the Early Action Compact for Tulsa and 
the SIP for the State of
Oklahoma.
267
burdens of additional studies and approvals required by the state DOT to change speed limits,
deterred proponents from further pursuing the concept.
5.8.4.2 Funding
Although there are currently no non-attainment areas in Oklahoma, the state does receive the
minimum apportionment of federal CMAQ funds available to all states regardless of whether
they have non-attainment areas or not. Non-attainment states can use the CMAQ funds as they
would use STP funds, with no emission reduction reporting requirement. Tulsa and Oklahoma
City have reached an agreement with ODOT to funnel a portion of those CMAQ funds to their
MPOs ($1 million of the $8 million state CMAQ funds, with $500,000 given to each MPO). In
the case of Tulsa, about $200,000 of those funds are set aside to transit, while the remainder is
used for ITS and transportation enhancements such as bicycle trails. According to INCOG, a
portion of Tulsa's annual CMAQ funding will be directed to the City of Tulsa in order to support
their signal coordination efforts. The rest of the $7 million in CMAQ funds received by ODOT
are used as normal STP funds, which is allowed for states without non-attainment areas, meaning
greater flexibility in the use of these funds and no requirement to report emissions reductions to
the FHWA.
There has been some debate over CMAQ funds and their use. With the possibility of a pending
non-attainment designation with 8-hour ozone, the question was whether it was preferable to
have a non-attainment designation, and the additional CMAQ funding that would 
come with that,
or to remain in attainment, with only minimal CMAQ monies. However, at least for INCOG, the
regulatory burden that comes with non-attainment is not perceived to be worth the additional
CMAQ dollars that could be used to fund ITS. In other words, according to INCOG, "we prefer
to have non-attainment, and stumble along [without the funding]" (INCOG interview, 2005).
5.8.4.3 Evaluation
For the Tulsa EAC, future on-road mobile source emissions were estimated using EPA's
MOBILE6 model, using data on system-wide vehicle miles traveled (VMT) and average network
speed derived from a regional transportation demand model. The EAC contained two types of
emissions reduction strategies: capacity improvement projects and intersection improvement
projects (which included the ITS component). For the first strategy, the expansion projects were
modeled in the regional transportation model to look at changes in VMT and network speeds
from increase capacity through certain bottlenecks. However, given the micro-scale of ITS and
signal improvements, the intersection improvements, such as traffic signal improvements, were
calculated making off-model, link-based assumptions (meaning that it was not included in a
network model). The base case for 2007 compared to the control strategies included in the EAC
are shown in Table 5-21.
268
Table 5-21 Transportation emission reduction strategies for 
the Tulsa EAC
On-road Mobile Emissions
NOx weekday Base Case 2007 50.231
(tons per day) Control Strategy 2007 47.603
Difference - 2.628
Percentage -5.23%
VOC weekday Base Case 2007 39.258
(tons per day) Control Strategy 2007 39.238
Difference - 0.020
Percentage - 0.050%
Source: Appendix A ofMemorandum ofAgreement between INCOG and ODEQ, 
Cited in (Oklahoma
Department ofEnvironmental Quality 2004)
Yet, because only the aggregate emissions reductions are included in the December 2004 
SIP,
one cannot ascertain the relative contribution of intersection improvements and 
ITS compared to
traditional expansion projects, or review the methods used to calculate those reductions.
Furthermore, while the NOx reductions reported are relatively important, with 5% of total
mobile sources, the VOC reductions of 0.05% are minimal, and probably fall well within the
level of uncertainty of forecasting total mobile source emissions.
Although pollution was not a factor in deploying the PIKEPASS on the Oklahoma Turnpike
system, early studies showed that emissions at toll plazas with ETC may have been substantially
reduced compared to manual toll collection. The Clean Air Action Corporation conducted
measurements of emissions changes from use of the PIKEPASS compared to manual toll
collection using dynamometer testing and observations of toll plaza operations and traffic flows
(MITRE Corporation 1996, p 14). The study was carried out as part of a demonstration by
Northeast States for Coordinated Air Use Management (NESCAUM) to developed protocols and
procedures that could be used in a trading program of emissions reductions credits.
Measurements were taken at the Muskogee Turnpike in Oklahoma, using the ETC experience
gained there since 1991, in order to assess the potential for reductions of a similar PIKEPASS
program if fully implemented in both Massachusetts and New Jersey (Northeast State for
Coordinated Air Use Management 1993; Roberts and Shank 1995). Table 5-22 compares
emissions rates (g/mi) based on individual transactions, considering a manual toll gate, a limited
pass, and a full pass (requiring no slowing down).
Table 5-22 Emissions rates (g/mi) for three speed profdiles
Toll Gate Limited Pass Full Pass
65-0-65 mph 65-30-65 mph 60 mph even
HC 1.2 1.0 0.2
NOx 1.1 0.9 0.6
CO 30.6 20.0 8.5
Source: (Roberts and Shank 1995, Table 2-2)
269
5.8.5 Summary
As an attainment area since the 1990 CAAA, Tulsa has not seen its investment in transportation
projects challenged or restricted on the grounds of possible air quality impacts. On the contrary,
as evidenced by the Transportation Emission Reduction Strategy, Tulsa has been able to pursue a
strategy of moderate capacity expansion to deal with its mild congestion, with many expansion
projects showing air quality benefits through speed improvements. ITS deployment levels have
been low, indeed, among the lowest in the nation. However, even with the relatively few ITS
applications that have been implemented in the Tulsa area, with the threat of a possible non-
attainment designation for ozone, Tulsa has been able to use ITS to its advantage to develop a
EAC "safeguard" against non-attainment. Given the small size of the city and the more limited
number of agencies and staff involved in ITS and air quality, Tulsa has also been able to
experiment with ITS as a tool for air quality management. These small-scale but important
innovations, such as Ozone Alert! notifications on VMS, focus only on possible ozone
exceedances, which is appropriate, given that Tulsa's ozone problem is one of sporadic, high
ozone levels. Finally, evaluation of ITS' air quality impacts has been limited, and judgment
regarding the air quality impacts of ITS tends to be based more on the principal that improving
bottlenecks and other congestion points will reducing idling and thus emissions, than on detailed
modeling or measurement. Indeed, one of the few in-depth studies of emissions impacts of an
ITS application, the NESCAUM study, was intended for application in the Northeastern U.S.,
not for local use.
270
5.9 CONCLUSIONS
In this chapter, we have explored five very different cases of cities with varying levels of air
quality problems and ITS deployment, and have seen that each city has a unique history in terms
of its experience with air quality management and ITS deployment, both of which have shaped
the linkages (or lack thereof) between ITS and air quality. One of the core issues, is to what
extent these metropolitan areas have consciously leveraged the connections between air quality
and ITS. Another issue relates to the motivations for making those connections, whether to (1)
further justify already planned ITS deployments, (2) make improvements to air quality at the
margin through ITS while continuing to pursue an aggressive automobile-oriented mobility
agenda, or (3) actively experiment with ITS as a tool to reduce emissions and improve air
quality.
Houston stands out as the metropolitan area with the most extensive experience in using ITS to
reduce emissions, in particular through traffic flow improvements. Houston also has a well-
documented and consistent methodology for assessing those impacts, albeit one that leaves aside
the important question of induced travel. Los Angeles, with moderate levels of ITS deployment
and an "extreme" air quality problem, has seen some attempts to use its traffic-related ITS
deployments for air quality purposes frustrated. However, it has been more successful in using
ITS as a tool in its traditional transportation demand management strategies. Orlando, with high
levels of deployment and an early and successful start with ITS, in the absence of major air
quality problems, has not used ITS for air quality purposes, although some agencies have used
independent evaluations of the emissions impacts of their ITS deployment in some instances to
bolster public perception of their environmental record. Finally, Tulsa, Oklahoma, with some of
the lowest levels of ITS in the nation, and near free-flow conditions on its transportation
network, came close to falling into non-attainment with the promulgation of the 8-hour ozone
standard. As a result, despite its low levels of ITS technology deployment, Tulsa has used ITS in
interesting ways to safeguard itself against a non-attainment designation.
Having described each city and its air quality and ITS story, in the next chapter, we will revisit
the concepts and theories outlined in Chapter 5, to see how they can explain what has occurred in
each city, in terms of (1) innovation with ITS, (2) cooperation and overcoming the fragmentation
between air quality, transportation and metropolitan planning agencies, (3) and the ability to
assess new technologies and their environmental impacts. Bringing these factors together, we
will identify the factors that determine to what extent cities are able to experiment with the
deployment of new technologies in such a way that address both their performance and
environmental impacts.
271
CHAPTER 6. ANALYSIS OF U.S. CASES USING IIDAPT FRAMEWORK
6.1 INTRODUCTION
In this chapter, we will apply the theoretical framework to the case study cities, in order to assess
to what extent the conditions in each city accurately predict the actual outcomes observed for
Integrated Innovation, Deployment and Adaptation of Public Technologies (IIDAPT). While we
have described how to measure and describe actual IIDAPT outcomes in ITS innovation for air
quality in Chapter 4, we still need to develop 
a set of concrete, albeit largely qualitative,
measures for the conditions that determine IIDAPT outcomes. Therefore, we will first review
the seven conditions for IIDAPT.
In Section 6.2, we will then review the IIDAPT levels predicted by those conditions for each
city, and compare the predicted and actual IIDAPT levels. This constitutes the testing of our
theoretical framework. However, because this research has an important theory building
component, we will also review how the cases point to possible adjustments and refinements to
the theoretical framework. Therefore, in addition to the predictive ability of the IIDAPT
framework, we will also look at some of its additional explanatory capabilities in Section 6.3.
Particularly, we will look at more closely at this issue of mutual benefits in the deployment of
technologies that, on the surface, should be "win-win" outcomes for the agencies involved.
In Section 6.4, we will review the policy implications of the theoretical framework we have
developed for IIDAPT. First, we review how the IIDAPT framework can be used both to assess
the possibilities for IIDAPT and to identify "changeable" conditions in order to improve the
chances for successful IIDAPT. Second, we will assess how these five cities have deployed ITS
for air quality objectives, and identify innovative uses of ITS for air quality, taking a best
practices approach from the technology perspective. In this section, we will also answer the
questions of whether we are "doing a good job" in deploying ITS in a way that supports air
quality goals. Finally, we will look at the implications that this may have for transportation
conformity and the CMAQ program, as the two key mechanisms for linking transportation
investment decisions to air quality.
6.1.1 Seven Conditions
First, we will describe more concretely the seven conditions for the case of ITS and air quality.
Some of these conditions can be described with quantitative measures, while others will be more
qualitative in nature. The seven IIDAPT conditions are drawn from the propositions presented in
Chapter 4. We now specify how to measure and/or describe each of the conditions below.
6.1.1.1 Problem Severity
One of the key drivers of innovation by public sector agencies is an existing problem or need.
We postulate that organizations will innovate when their current standard operating procedures
and tasks prove to be inadequate due to changes in the external environment. As the mismatch
grows between the problem or need that must be addressed by a public sector agency and that
agency's performance in addressing that problem or need, there will be, in theory, both internal
and external pressures to innovate.
273
The five case cities were chosen based in part on a standard indicator of problem severity for air
quality - their designation for air quality attainment/non-attainment for the 1-hour ozone
standard. At the low end of the spectrum, are cities in attainment with the ozone standard, with
increasing problem severity ranging from marginal, moderate, severe-15, severe-17, to
extreme.
233 
The hypothesis is that in cities facing more challenging air quality problems, public
sector agencies will face more pressure internally, from other agencies in the metropolitan area,
from the federal government, and from external stakeholders, including the general public, to
innovate in order to address those problems.
Another problem area is congestion. Although cases were not chosen based on congestion
levels, the cases do show a wide variation in levels of congestion, ranging from the most
congested city in the US, Los Angeles, to Tulsa, with mild congestion. Indeed, as seen in
Chapter 5, there is some correlation between congestion and severity of the air quality problem.
For a city facing both congestion and air quality problems, we suggest that ITS solutions would
be sought as a tool to address both issues simultaneously and in a cost-effective manner. The
key indicator used for congestion levels is the travel time index developed and measured
annually by the Texas Transportation Institute in their Urban Mobility Report.
234 
This indicator
is highly useful because it applies a consistent methodology to all large metropolitan areas in the
US, and is updated almost every year. It also influences decisionmakers' perception of the
severity of the problem, since it is widely cited by transportation professionals as a measure of
their own performance on dealing with congestion.
23 5 
However, because we are interested in the
use of ITS for emission reductions, the primarily problem area we are concerned about is air
quality.
6.1.1.2 Internal Resources
While there may be a strong need to innovate in response to the problems facing agencies, the
extent to which innovation can and will occur also depends upon their capacity to innovate. That
capacity depends, in turn, on the level of resources available to an agency in terms of funding,
staff size, and the training and professional background of personnel. There are two aspects to
this question of internal resources for ITS and air quality. First, is whether there are
transportation agencies in the region with the funding, staff and expertise needed to effectively
deploy and operate ITS technologies. The second level, of interest here, is whether the agencies
in the region have the capacity to analyze, model, measure and/or demonstrate the possible air
quality benefits of ITS, and deploy ITS technologies in a way that link them to air quality
management efforts.
233 The category of severe is divided into two parts 
based on the number of years they were given to bring 
their areas
back into attainment of the national ambient air quality standards (15 years or 17 years).
234 The travel time index represents the ratio of travel 
time during peak congestion, to the travel time during 
free
flow conditions. No congestion would mean a travel time index of 1. If a trip during peak congestion takes 50%
longer than the same trip under free flow conditions, the travel time index would be 1.5.
235 For example, in long-range regional transportation plans, 
metropolitan areas often look at long-term trends in
their own travel time index, as well as comparisons with other cities of similar size.
274
In general, we would predict that the larger agencies, in terms of staffing -
engineers, analysts,
planners, etc. - would be better equipped to deploy ITS and to experiment with ITS as a tool for
emissions reductions, as well as carry out assessment of those innovations. This cuts two ways.
First, within the same metropolitan area, we would anticipate that bigger agencies with more
resources, such as a state DOT or a major transit agency, would be more innovative than smaller
agencies, such as city or county transportation departments.
2 36 
Second, it has implications for
comparisons between different metropolitan areas in terms of the relative size, staffing and
funding of their transportation agencies.
However, we are interested not simply in innovation with ITS, but particularly in the use of those
technologies for air quality improvements. As an indicator of the internal resources for
integrated innovation in ITS and air quality, we will look specifically at the staff size of the
Metropolitan Planning Organization (MPO). The MPO is typically responsible for the list of
Transportation Control Measures for the State Implementation Plan (SIP), allocates federal
funding from the Congestion Mitigation and Air Quality (CMAQ) program, and, in many cases,
serves as the lead agency in developing a regional ITS architecture and strategic plan. The MPO
will be the key agency in facilitating the use of ITS as an emission reduction measure, either
through funding or through incorporation in the air quality planning documents. We will
therefore look both at total MPO staff size, and more specifically, the number of staff members
involved in transportation and air quality planning (although the purpose is to gain a sense of the
capacity of the MPOs, not the exact number of staff).
6.1.1.3 Dedicated Resources
According to Nohria and Gulati, "innovation and slack are concepts at the very core of
organization theory" (Nohria and Gulati 1996, p 1245). In the realm of public sector innovation,
Walker used the concept of "slack" to describe the "free-floating" resources such as money or
skilled staff, that may be available to experiment with new innovations (Walker 1969). For ITS
innovation, there could be two forms of slack resources. The first set of resources are the
CMAQ program funds, which come with specific mandates from the federal government on their
use, explicitly excluding the use of this funding on highway expansion projects that would favor
the use of single occupancy vehicles (SOVs). The other possible sources of slack resources are
those funds that are allocated specifically to the area of ITS. Even though, in theory, they could
be used for more traditional transportation projects and enhancements, they are set aside by the
agencies for specific categories of projects such as ITS. Examples of these are revenues
generated through local sales tax, and with a certain percentage allocated to operations projects
such as ITS, or Surface Transportation Program (STP) funds, a portion of which may similarly
be set aside for ITS. In principal, once allocated, these funds can act in the same manner, as
dedicated funding sources for ITS and other operations activities, and thus lead to a higher level
of innovation. However, the primary indicator for dedicated resources for air quality-improving
ITS projects will be the average annual CMAQ funding to a metropolitan area.
236 An competing hypothesis could suggest that smaller 
agencies, which are less bureaucratic and more "nimble,"
could be better innovators. However, we would also suggest that even smaller agencies would need sufficient
internal resources in terms of the quality and training, if not the number, of staff.
275
The CMAQ program itself was innovative in providing dedicated funding, for the first time, for
transportation projects that were specifically intended to improve air quality in non-attainment
areas. The characterization of CMAQ funds as "slack" resources for innovative transportation
and air quality projects seems to be borne out by how they are used by the states. The Surface
Transportation Policy Program (STPP) published a newsletter in 2003 highlighting the pattern of
chronic "under-spending" of CMAQ funds. According to their analysis, only 81% of the total
CMAQ funds apportioned to the states was actually spent, compared to 94% for the National
Highway System (NHS) program funding category (Surface Transportation Policy Program
(STPP) 2003). Therefore, it seems that while states spend nearly all funding available for
traditional highway programs, they have a harder time "spending" (or obligating) CMAQ funds
for more innovative projects, despite the condition that these funds are lost if not spent within a
certain time period, with limits on carryover of CMAQ funds. Indeed, according 
to the STPP,
"six states with non-attainment 
metro areas and poor spending 
records on CMAQ have
nevertheless obligated more than 100 percent of available NHS funds" (Surface Transportation
Policy Program (STPP) 2003).
6.1.1.4 Cost
Dedicated resources indicate the extent to which there is slack funding available to undertake
innovations. Without dedicated resources, there would be a more competitive funding
environment, and allocating funding for experimentation with new technologies and innovative
strategies would be substantially more difficult. However, the other side of the coin is the
relative cost of innovations. With lower cost innovations, the consequences of failed
experiments are quite not as severe, whereas more expensive failures draw innovation into the
light of the public eye, raising issues of accountability and questions regarding whether public
sector agencies should, in fact, attempt to be more innovative.
37
ITS projects are generally orders of magnitude less expensive, compared to capital infrastructure
projects for freeway, arterial or transit systems. As a condition for IIDAPT for our case study
cities, however, it is difficult to define a measure for the relative cost of ITS projects, since it
depends on the cost of the "alternative" projects. It would require a comprehensive assessment
of the relative cost-effectiveness of ITS projects compared to alternative projects for both
congestion mitigation and air quality improvements, and how that differs from one metropolitan
area to another, or even on a project-by-project basis. Although this is an interesting research
question, it is beyond the scope of this thesis. Therefore, we will look at the relative cost of ITS
according to the perceptions by transportation agencies of the financial barriers to conventional
infrastructure improvements. This suggests that in metropolitan areas where the financial costs
of physical capacity expansion projects are almost prohibitively high, ITS will become an
increasingly attractive option.
237 Indeed, the issue of accountability and risk taking 
in bureaucracies is pervasive in the literature on public 
sector
innovations. Altshuler, A. A. (1997). Bureaucratic Innovation, Democratic Accountability, and Political Incentives.
Innovation in American Government: Challenges, Opportunities, and Dilemmas. A. A. Altshuler and R. D. Behn.
Washington, DC, The Brookings Institution: 38-67.
Borins, S. (1998). Innovating with Integrity: How Local Heroes are Transforming American Government.
Washington, DC, Georgetown University Press.
276
6.1.1.5 Mutual Benefits
Of all of the conditions discussed here, "mutual benefits" is the most difficult to define, not to
mention measure, in the same manner that we can identify, for example, a measure of problem
severity, dedicated resources or internal resources. For the moment, we will measure mutual
benefits somewhat dichotomously - as the requirement for a non-attainment metropolitan 
area to
meet the requirements for transportation conformity with air quality plans. If an area must meet
the transportation conformity requirements, and identify and adopt local transportation 
control
measures (TCMs) to reduce emissions from mobile sources, then there are benefits to the air
quality agencies of using ITS as an available TCM. There are also benefits to the transportation
agencies deploying ITS, as they can point to air quality benefits of their technologies, and
perhaps more importantly, gain access to additional funding from the CMAQ program. A non-
attainment designation would indicate that there are also mutual benefits to the transportation
organizations in supporting conformity demonstrations by implementing TCMs, and therefore
helping the region avoid the possible delays in federal transportation funding that can result from
conformity problems.
We will use as an indicator of mutual benefits simply whether the area is attainment or non-
attainment, even through this creates some overlap with the condition of problem severity.
Indeed, as illustrated in Figure 6-1, problem severity can lead directly to innovation, or can lead
to cooperation by creating dedicated resources (CMAQ funds) that are a source of mutual
benefits. Therefore, while there is overlap in our definitions of problem severity and mutual
benefits, because the dynamics of these process are different, the case study approach allows us
to disentangle those effects.
6.1.1.6 Number of Organizations
The size of the organizations as a factor in innovation was considered above, suggesting that the
larger agencies are more likely to innovate. However, innovation in ITS often requires the
involvement of numerous agencies. Innovation in ITS, with the additional purpose of reducing
mobile source emissions, means that there will be involvement from more agencies, such as the
MPO staff, and the air quality agencies. Therefore, in addition to the 
size of individual agencies,
another important factor is the number of agencies involved and the overlap and competition
between their functions. We hypothesize that a higher number of agencies actively involved
both in local air quality management and ITS deployment in a metropolitan area will make
coordinated deployment and innovation more difficult. Again, this does not necessarily have to
be a number (of organizations); it could be general description of the key players that are
involved in these two areas.
6.1.1.7 New Information
Finally, for each metropolitan area, we will look at the abundance and general quality of the
studies that are undertaken to assess the air quality impacts of ITS. One difficulty is that many
internal evaluations or consultant's studies are not published or easily accessible. We will use as
a guide those studies that appear on the Joint Program Office's 
ITS benefits and costs database,
277
studies published in journals, working papers and reports for universities, research institutes, and
government agencies, and other non-published studies and evaluations. Some of these studies
were reviewed in Chapter 2, and we use the discussion from that chapter to assess the quality of
and possible problems with these studies. We will also consider the extent to which agencies
have partnerships or other relationships with research institutions and universities for studies and
assessments of actual deployments. One of the largest sources of information, will be the studies
done for purposes of CMAQ evaluation and funding eligibility. But, as mentioned elsewhere, the
background information regarding how emissions reductions were calculated is often quite
difficult to access.
Now that we have discussed how to measure the conditions for IIDAPT, Table 6-1 lists the seven
IIDAPT conditions, and summarizes how those conditions will be described for the case of ITS
and air quality. To be clear, while the general 
IIDAPT conditions, shown in the left column,
could be used for other technologies and policy/issue areas, the measures and descriptions
employed here are specific to the issue of ITS and and air quality.
Table 6-1 Seven Conditions for IIDAPT
IIDAPT Condition Measure/Description for ITS and air quality
1-hour ozone designation (ex: 
attainment, serious, severe, extreme)
Problem severitCongestion levels (travel time index)
Staff size of MPO (total staff, transportation/air quality staff)
Internal resources
Size of city/county transportation agencies, air quality agencies
Dedicated resources Amount of average annual CMAQ funding
Cost Perceptions of ITS as an "affordable" measure
Perceptions of financial barriers to conventional infrastructure improvements
Mutual benefits Requirement to meet transportation conformity requirements
Number of organizations actively involved in air quality management and
Number of organizations ITS deployment in metropolitan area
Number and "quality" of studies assessing the air quality impacts of ITS
New information Partnerships with research universities/institutions
6.1.2 Local Context
These seven conditions capture some of the more important factors that, according to our theory,
are important determinants of how much each city employs ITS with the objective of improving
air quality as well as mobility. These conditions will affect the four activities that are part of
IIIDAPT: cooperation, innovation, assessment and adaptation (see Figure 6-1). To avoid losing
sight of the larger picture and to take into consideration the broader political and institutional
environment in which all transportation and air quality decisions are made, we will also refer to
the "local context" for each city. This "context" incorporates the history of air quality and
transportation decisionmaking and major investments in each city during the emergence of ITS
and after the passage of the 1991 ITSEA and the 1990 CAAA, which were important milestones
in establishing the CMAQ program and strengthening the transportation conformity
requirements. Local context also captures some of the critical events, issues and policy directions
that have defined the transportation and air quality agendas in each metropolitan area.
278
Figure 6-1 Relationship between seven conditions, IIDAPT outcomes, and local context
INTEGRATED INNOVATION, DEPLOYMENT AND ADAPTATION
OF PUBLIC TECHNOLOGIES (IIDAPT)
COOPERATION INNOVATION ASSESSMENT ADAPTATION
T+ U+ T + + +~ + k1
We suggest that based upon these seven conditions (derived from the theories presented in
Chapter 4) we can generally predict IIDAPT levels. Nevertheless, there cannot be a full
explanation and understanding of the dynamics that influence IIDAPT without a firm basis in the
unique circumstances and history of each city. For this reason, we chose the case study format,
and described these contextual issues in depth in Chapter 5. As will be seen at the end of this
current chapter, these issues of local context are important in explaining, if not predicting, what
are perceived to be mutual benefits or not. It will help us to further explain both the levels of
IIDAPT, and the unique patterns of IIDAPT in each city.
We will now return to the cases themselves, using the measures for both IIDAPT conditions and
outcomes, to evaluate how well the theoretical framework performs in predicting IIDAPT levels
for the five cities.
279
6.2 ANALYSIS OF CASES
Boston, Houston, Los Angeles, Orlando and Tulsa were chosen from a list of over 70
metropolitan areas, according to their air quality problems and their levels of ITS deployment.
These five metropolitan areas differ substantially in not only the magnitude, but the nature of
their air quality problems - sources, geography and meteorology, local emissions and transported
pollution - as well as in the modal mix and level of ITS deployment. Because our measure of
Integrated Innovation, Deployment and Adaptation of Public Technologies (IIDAPT) could only
be determined after the case study work, the cases clearly could not have been chosen in advance
according to IIDAPT levels. These five cases appear to have also captured a range of levels for
IIDAPT in using ITS technologies 
for air quality improvements from on-road 
mobile sources,
according to our definition of the core and supporting activities for IIDAPT, as shown in Table
6-2. This table was developed, along with a numerical scale in Chapter 4.
Table 6-2 Qualitative Scale for IIDAPT
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High More than one agency High level of novelty Rigorous ex-ante and Modification to
actively engaged in the in the technology or its ex-post evaluation, technology/system in
design, deployment adaptation to multiple response to information
and/or operation. policy goals. from assessments to
improve performance
for multiple policy
objectives.
Low More than one agency Some novelty in the Some ex-ante or ex- Modification to
indirectly involved or technology or its post evaluation only. technology/system in
playing a supporting adaptation to multiple response to information
role in the design, policy goals. from assessments to
deployment and/or improve performance
operation. for primary policy
objectives only.
None No cooperation. No innovation. No evaluation. No adaptation.
However, before actually comparing actual IIDAPT for the five cities, we must first more
rigorously measure IIDAPT outcomes for each of the cities. As described in Chapter 4, this
involves assessing each ITS application that could be defined as IIDAPT, screening out those
that are and are not IIDAPT according to Table 6-2, then numerically scoring those technologies
that are IIDAPT on a scale of 0-6. Ideally, this process is done for all IIDAPT in each city.
However, for some of the larger case cities, where there are possibly tens of similar IIDAPT
within the same ITS category, we will score according to a representative IIDAPT for each
category.
The next step is then to scale up from the individual technology to the metropolitan level, using
two measures, one for the average level and range of IIDAPT (how close individual
technologies are to the highest IIDAPT levels and how many ITS categories have at least one
example of IIDAPT), and the intensity of IIDAPT, or the use of ITS for air quality improvements
280
compared to other transportation-based measures to improve air quality. These are summarized
in three quantitative measures for the metropolitan level, again, as described in 
Chapter 4. In
order to compare across cases, we then take the product of the average level, range and intensity
of IIDAPT, to develop a summary measure, as shown in Table 6-3 below.
Table 6-3 Measures of IIDAPT at the metropolitan level
Metropolitan Area
IIDAPT measures Houston Los Angeles Boston Orlando Tulsa
Average Level (AL) 0-6 0-6 0-6 0-6 0-6
Range (R 0-10 0-10 0-10 0-10 0-10
Intensity (I) 0-100% 0-100% 0-100% 0-100% 0-100%
Summary Measure AL*R*I AL*R*I AL*R*I AL*R*I AL*R*I
While we stress the process for obtaining the quantitative measures, they are only supporting
measures to what is primarily a qualitative description of IIDAPT. However, this process is
deliberately emphasized here in order to begin to set the stage for future research, which could
use more survey-based methods in which a larger sample IIDAPTs would be coded and scored
for statistical analysis.
238
Therefore, actual IIDAPT outcomes are measured in terms of the average level, range and
intensity of innovation with ITS for air quality purposes. The ideal IIDAPT for ITS and air
quality involves innovation and experimentation with ITS technologies in order to exploit
possibilities for air quality as well as mobility improvements, along with rigorous analysis and
documentation of emissions impacts of ITS. Nonetheless, it should be emphasized that this does
not necessarily reflect actual emissions reductions or air quality outcomes. A more cynical
interpretation is that areas are simply playing the "numbers game" 
for conformity, for example,
manipulating the numbers to show emission reductions from ITS projects used as TCMs. Or,
they may be juggling different funding pools, such as CMAQ, and end up funding projects that
may be eligible for air quality benefits, although not necessarily appropriate from the air quality
standpoint.
The extent to which these are indeed real emission reductions or simply manipulation of the
numbers to "show" air quality benefits, cannot be determined for all of the cases. In part, the
problem lies in discerning the actors' intentions from their actions. Do actors try to "game" the
system by "sneaking in" ITS projects with questionable air quality benefits into the CMAQ
program or air quality programs? Do they use and even distort information on air quality
benefits to support their ITS efforts, or enhance their organizational image? Or, do these
organizations truly believe that ITS is a low cost, viable option for providing both congestion
relief to travelers, while reducing emissions from smoother traffic flows? Indeed, because many
questions regarding the air quality impacts of ITS have 
not been fully resolved in the research,
238 In a study by Borins, for example, 
a relatively large sample (217) of 
local and state government innovations
(semifinalists in the Ford Foundation-Kennedy School of Government's State and Local innovation awards
program), were coded for statistical analysis. For the summary of the methodology, see pages 12-18 in Borins, S.
(1998). Innovating with Integrity: How Local Heroes are Transforming American Government. Washington, DC,
Georgetown University Press.
281
we cannot expect it to be resolved in the minds of the decisionmakers, who may also have
professional and personal preferences and organizational biases for how the uncertainty is
resolved.
Resolving this question of true intent would also require recreating many of the assessments of
the emissions impacts of these technologies. In Chapters 2 and 3, we highlighted some of the
key uncertainties, and attempted to differentiate between more and less rigorous analyses, and
illustrate how analyses can be misleading. We have also discussed some of the accepted
methodologies for assessing the air quality impacts of ITS - where available. However, even
finding problematic assessments may not constitute evidence of "gaming" but rather a lack of
resources, time or interest in undertaking "good" assessments.
We will now review the cases, to evaluate the seven conditions, the levels of IIDAPT that they
would predict, and compare that to actual IIDAPT outcomes. While the seven conditions will be
the primary focus, the case study approach also allows us to explore other possible explanatory
variables and interactions between the conditions. Therefore, where case study site visits,
interviews, and review of plans, projects, and analyses indicate that other factors were important
in influencing or enabling IIDAPT, we will describe those factors as well.
282
6.2.1 Houston
We begin our analysis with the case of Houston for several reasons. First, Houston has some of
the highest levels of deployment of ITS in the nation, and has been innovative on the institutional
side through the formation and evolution of TranStar. In addition, the area has also experienced
some of the worst air pollution in the US, at times rivaling Los Angeles,
239 
and has faced
challenges dealing with congestion in the face of rapid growth and 
expansion of its population,
economy and urban area during the 1990s.
In terms of what to expect for the use of ITS to also promote air quality objectives, early
indications in Houston pointed toward high levels of IIDAPT. Specifically, soon after TranStar
was established, the following description of Houston's ITS program was included in a brochure
entitled Traveling with Success: How Local Governments Use Intelligent Transportation
Systems, published by Public Technology, Inc..
"As one of the nation's major travel corridors, the thriving city of Houston and
surrounding Harris County have recognized and accepted the fact that cost and
environmental concerns now restrict physical improvements to existing transportation
infrastructure.... To meet congestion and pollution challenges, the city of Houston, Harris
County, the area's Metropolitan Transit Authority, and the Texas Department of
Transportation have joined forces to establish the Houston Intelligent Transportation
System.....
One major prong of Houston's intelligent transportation effort will encourage commuters
to use mass transit instead of the costly one-person-one-car approach so ingrained in
American culture" (Public Technology Inc. 1995, p 52).
This statement was part of a FHWA-funded report on how local governments were using, or
planning to use ITS in the early years of the ITS program.
240 
Indeed, this seems to embody the
concept of IIDAPT - in terms of cooperation, innovation, and, above all, the integration of
congestion and pollution mitigation objectives. It is also interesting in that its suggests
technology can be used as a catalyst for deeper social changes in how people travel. Yet, as we
will see later in this section, although IIDAPT has indeed been high in Houston, the form of
actual deployment has differed substantially from the above description. In particular, the
balance in the use of ITS has come out in favor of improvements of traffic conditions on
freeways and arterials, despite the earlier indications that ITS technologies and information
might be used as a means to make more fundamental changes in travel behavior in Houston.
239 David Whitman; Robert Bryce, "Houston, You 
have a problem," US News & World Report. 
127(16), p 28.
October 25, 1999.
24o At the time of the writing of this report by Public Technology, Inc. (PTI), Douglas W. Wiersig was the Executive
Director of TranStar, and also chaired PTI's Urban Consortium Transportation Task Force which developed this
report.
283
6.2.1.1 Conditions and Predicted IIDAPT in Houston
Air quality in Houston, designated a severe non-attainment area, has improved somewhat over
the last 10-15 years, although with nowhere near the rate of improvement that has been seen in
Los Angeles.
2 1 
In fact, ozone concentrations and the number of days exceeding the ozone
standards in Houston are often higher than in Los Angeles. Moreover, as suggested in Chapter 5,
there are indications that Houston's current air quality strategies are not going to be enough to
bring the area into attainment. In terms of congestion, Houston also has a significant problem,
ranking sixth in congestion levels according to TTI's Urban Mobility Report. With population
growth continuing to be strong, congestion seems likely to persist, if not worsen.
For a measure of Houston's internal resources, we look at the size of the MPO staff, and the
number of staff dedicated to transportation and air quality issues. With a total staff of over 200,
there are also nearly 60 planners, analysts and program managers and coordinators for
242
transportation and air quality. In an open-ended interview protocol, interviewees in Houston
referred to the MPO as an important resource for the region, in terms of both its size as well the
training and education of its staff. For example, an interviewee from TranStar suggested that
having analysts with doctoral degrees was an important factor in Houston's ability to utilize
CMAQ funds for ITS projects, because of their ability to assess and demonstrate air quality
benefits from ITS deployments (TranStar interview, 2005).
Houston receives substantial CMAQ funding, an important dedicated resource for
experimentation with ITS for air quality purposes. At the national level, the state of Texas ranks
third in the amount of annual CMAQ program federal funding, after California and New York.
Houston, with the worst air quality in Texas and the city with the largest population in the state,
receives the largest share of the Texas' total CMAQ funding.
Mutual benefits between transportation agencies, air quality agencies, and the metropolitan
planning organization also appear to be high, given the need to meet conformity requirements
and bring the area into attainment with air quality standards by 2010.243 Houston also has a large
base of ITS deployments, creating possibilities for experimentation and adaptation of those
deployments for the purposes of air quality. In terms of cooperation, Houston has an advantage
in that despite the size of the metropolitan area, the number of core organizations actively
involved in ITS and air quality management are relatively limited. The core ITS-air quality
agencies include: one city (Houston), one county (Harris), one transit provider (Metro), the MPO
(H-GAC), the state DOT (TxDOT), and the state environmental agency (TCEQ). As a
comparison, even the much smaller city of Orlando (in population) has a slightly more complex
institutional structure, with important participation in ITS from the private toll authorities, three
241 While Los Angeles saw the number of days with exceedances 
fall from over 160 to 40 or less a year between
1987 and 2001, during the same time period, Houston saw declines from approximately 50 days a year to
approximately 40 days a year, with much more year-to-year variation in the number of exceedances (52 days in
1999 and 32 days in 2001). See figures and discussion in Chapter 5.
242 See Chapter 5 for the description of the interview 
and case study methodology used.
243 While the original attainment dates for 1-hour ozone were 2007, the 
attainment dates for 8-hour ozone (for which
Houston is designated "moderate"), is June 15, 2010.
284
counties, the city, the transit provider, MPO, and state DOT. Moreover, the four core agencies
that form TranStar - Houston, Harris County, TxDOT and Metro - have regular contact through
their co-location in the TranStar facility, and through both regular meetings and informal
interaction. Therefore, there is already a strong institutional basis, as well as established
individual relationships, for cooperation on issues related to ITS.
In terms of cost, although Houston is one of the wealthier cities in the US, an interview with
TxDOT suggested that the lower cost of ITS as compared to traditional capacity expansion was a
factor in its high levels of deployment. As noted by an interviewee from TxDOT, "we really had
no choice with ITS - there just wasn't enough money to solve the capacity problems and air
quality problems without ITS" (TxDOT interview, 2005).
Houston also has high levels of information regarding the air quality benefits of ITS. There are
several reasons for this. First, the transportation agencies in Houston have developed many
longstanding relationships with universities and other research institutions, in particular, with the
Texas Transportation Institute.
244 
These relationships have served both to support deployment
and evaluate planned and ongoing projects. Second, because TranStar and other ITS programs in
Houston, such as the managed HOV/HOT lanes, have been seen as "cutting edge" in ITS
implementation in the US, many researchers and policymakers have focused on Houston as a
data source or case study, generating numerous reports and evaluations. Finally, in order to take
advantage of the possible linkages between ITS and air quality, the transportation and air quality
agencies in the Houston area developed a common sourcebook for evaluating the emissions
impact of ITS and other mobile source emissions reduction measures. This sourcebook facilities
the evaluation of ITS for air quality purposes, by developing methodologies that are accessible to
large and small agencies. In addition, these methodologies do not require highly extensive
modeling or data collection efforts, beyond the data that would ordinarily be collected for
evaluation of mobility improvements.
The state of the seven conditions in Houston would suggest some of the highest possible levels
of IIDAPT. The severity of Houston's air quality and congestion problems would suggest that
the problem should be critical enough to motivate substantial innovation with ITS as a measure
to improve air quality. Houston's size is large enough to have a high level of internal resources
for air quality and transportation programs, as well a large inflow of dedicated resources, in the
form of CMAQ funding, for experimenting with air quality-enhancing transportation projects.
Cooperation should also be high, given the existence of mutual benefits for both air quality
agencies looking for near-term emission reductions measures, as well as for transportation
agencies, looking to further bolster support for existing or planned ITS deployments.
Additionally, despite its size, Houston does not face major problems with fostering cooperation.
Through the establishment of TranStar, it has already been able to create the institutional
mechanisms for cooperation, at least between the key transportation agencies. Finally, there
should be high levels of assessment and adaptation, both in response to internal and external
evaluations, studies, and assessments of ITS deployments and their emissions impacts.
244 The Texas Transportation Institute (TTI) the 
largest university-affiliated state research agency 
in the US; it is
affiliated with the Texas A&M University System.
285
Therefore, the conditions in Houston would predict high levels of IIDAPT across all four
components - innovation, cooperation, assessment and adaptation (see Table 6-6). Houston had
severe air quality and congestion problems, high levels of dedicated resources, strong internal
resources (both for deploying technologies, and the analysis to make the link between ITS and
air quality), and perceived mutual benefits. The number of agencies was also favorable to
cooperation on new innovations, and institutional innovations for cooperation were established
with TranStar. And, the large inflow of information on air quality benefits suggest adaptation
should be high. We will now look in-depth at the actual ITS applications that have been
deployed or adapted with an air quality objective in Houston.
245
6.2.1.2 Actual I1DAPT in Houston
From the site visits, interviews, and the review of transportation and air quality plans and
evaluations and assessments of the air quality benefits of ITS, Houston emerged as the most
aggressive and innovative of our five cities in implementing so-called "win-win" solutions
between air quality goals, mobility improvements and congestion reduction. 
As evidence of this,
the cornerstone of Houston's ITS deployment efforts - TranStar - has relied heavily on funding
from the CMAQ program. In addition, many of the supporting TranStar elements have been
incorporated into the state implementation plans for air quality as transportation control measures
(TCMs) in the Houston-Galveston area. Although primarily focused on freeway and arterial
traffic management, Houston has also drawn on advanced technologies to enhance traditional
demand management strategies and, albeit to a lesser extent, to improve transit service.
We summarize the average level of IIDAPT and the range of IIDAPT in Table 6-4. The process
for deriving these measures is described in Chapter 4, while the actual calculations are provided
in Appendix E. However, we will briefly review the steps here. For each city, ten ITS
application areas - three traffic flow improvement applications, three transit-based applications,
multi-modal information, two demand-side applications, and other applications - are considered.
Within each ITS application area, we assess the level of innovation for candidate IIDAPTs (this
is calculated in Appendix E). In some cases, technologies do not qualify as IIDAPT, either
because there is no innovation or cooperation between agencies in their deployment and/or
adaptation. In other cases, they do not qualify as IIDAPT for ITS and air quality, because there
is no identifiable air quality objective in the ITS deployments, or in fewer cases, because there is
no mobility objective in their deployment.
246 
In both cases, they are listed as not applicable
245 To reiterate, air quality does not have to 
be the principal objective for an ITS deployment 
to be considered a case
of IIDAPT. Indeed, the concept of IIDAPT focuses on technologies that attempt to generate benefits for more than
one policy sector objective, in this case, mobility and air quality. We assert that the majority of IIDAPT examples
for ITS will have air quality only as a secondary objective to mobility improvements.
246 As an example of the latter, an online 
smoking vehicle reporting system may represent 
the application of
information and communication technologies to the transportation system to improve air quality outcomes. But, if
there is no mobility benefit, it cannot be considered IIDAPT, because it has only a single policy objective.
However, the reader may then ask question why these were still considered ITS, if there was no mobility benefit.
This issue was addressed in Chapter 2, in the discussion of energy and emissions ITS applications. To reiterate, we
consider applications to be ITS if they apply information and communication technologies to the transportation
system to improve performance for any one of the five national ITS program goal areas: (1) safety, (2) mobility, (3)
efficiency, (4) productivity, or (5) emissions and energy.
286
(N/A). In order to scale up from individual technologies, to multiple technology deployments in
a metropolitan area, we take the average level of IIDAPT across the application areas, and the
number of ITS application areas with IIDAPT for each city, as a measure of range.
Table 6-4 IIDAPT average level and range in Houston
IIDAPT
?ITS application areas Representative technology scale
scale
Arterial traffic flow improvements RCTSS 4.5
Freeway management strategies CTMS 4
Freeway traveler information TranStar website N/A
Transit information METRO Trip planner N/A
Multi-modal information - N/A
Transit operational improvements IVOMS N/A
Transit fare payment systems - N/A
RideShare matching/
Rideshare support mini4 wat list
mini-pool waiting list
Demand management/pricing QuickRide HOT lanes 5.5
Other applications Online Smoking Vehicle N/A
Reporting
Average level (0-6) 4.5
Range of IIDAPT (0-10) 4
In terms of the level of IIDAPT, the average for Houston is 4.5 out of a maximum of 6, which is
high. Most of the individual applications showed a high level of innovativeness, cooperation,
and assessment, although adaptation to new information was generally low. On the other hand,
there is a low level of range in the use of ITS for air quality. Most of the experimentation with
ITS for air quality in Houston has been concentrated in traffic flow improvements on roadways,
and in different demand management strategies. Transit, on the other hand, has no cases of
IIDAPT, according to our definition that the deployments must have air quality as one of the
policy objectives. The use of transit ITS does not appear in state implementation plans for air
quality, nor does it appear in lists of additional and/or voluntary measures for mobile emissions
reductions.
In addition to the average level and range of IIDAPT, we also include a measure of intensity of
IIDAPT, again described in Chapter 4. All measures of IIDAPT are shown together in Table
6-6. ITS utilized 27% of CMAQ funding (for FY 2005-2008), with ITS projects representing
44% of all recent CMAQ-funded projects. As suggested by the interviews, CMAQ has been an
important source of funding for ITS deployments, in particular, for those deployments
implemented through the TranStar program.
287
Table 6-5 Measures of IIDAPT for Houston
IIDAPT measures
Average level 4.5
Range 4
Intensity (share of CMAQ projects) 37/84 44%
Intensity (share of CMAQ funding) $82 M / $306 M 27%
Intensity (share of 1994-9 TCM projects) 90/103 87%
Intensity (share of 1994-9 TCM funding) $78 M / $96 M 81%
Intensity (share of post-2000 TCM projects) 40/139 29%
Intensity (share of post-2000 TCM funding) $72 M / $679 M 11%
We also see that 29% of all TCM projects completed or still pending after 2000 are ITS-based
projects, although this represents only 11% of the cost of all TCMs for the Houston region. The
more interesting story, however, is that the vast majority (87%) of all TCM projects completed
between 1994 and 1999 were ITS-based, accounting for 81% of total project costs for all TCMs
during that time period. This major focus on emission reductions through ITS-based freeway
and arterial management during the mid- to late-1990s reflects, in large part, the expansion of
Houston's computerized transportation management system (CTMS) for freeway traffic and
incident management, and the Regional Computerized Traffic Signal System (RCTSS) for
arterial traffic flows.
In the post-2000 period, ITS has continued to play an important role in the development of
transportation control measures. However, there has also been a shift in emphasis away from
ITS-based operational improvements, to capital investments, primarily for new transit projects,
but also for more traditional transportation supply management measures. The deployment of
Metro's new light rail service in the downtown area, would be by far the biggest (and least cost-
efficient) measure in the list of TCMs, with a cost of over $300 million. Transportation supply
management (TSM) strategies such as turn lanes, grade separation, intersection improvement
projects, and interchanges, represent another substantial portion (26%) of spending on TCMs,
with $178 million of total TCM spending.
As in the earlier round of TCM deployment, transportation demand management (TDM)
strategies - vanpooling and commute alternatives programs - would be the most cost-effective,
with over 200 kg/day in reductions for the post-2000 TCMs (see Chapter 5). ITS has also
supported many TDM strategies, and therefore are counted as part of the aggregate level/range of
IIDAPT in Houston (see Table 6-4 and Appendix E). However, we do not include TDMs, such
as ridesharing and transit, in the measure of intensity because the ITS features of these TDM and
transit projects cannot be fully discerned from the project descriptions.
Summarizing Houston's innovation with ITS for the purposes of both mobility and air quality,
we can see that the levels, and more importantly, the intensity of use of ITS as strategy for air
quality improvements, are high. TxDOT's computerized traffic management system (CTMS)
operated through TranStar and the regional computerized traffic signal system (RCTSS) have
been heavily utilized as TCMs, taking ample credit for their emission reductions in the region's
air quality plans. In turn, they have received generous funding through the CMAQ program.
288
This was particularly true during the mid- to late-1990s when a large portion of the supporting
hardware and communications network for these systems was being deployed.
Yet, there is very little range across modes in the use of ITS for air quality objectives, with most
of the deployments falling within the category of either freeway or arterial traffic flow
improvements. In contrast to the experience with ITS-based traffic flow improvements, there are
no examples of transit ITS applications included as either TCMs or as CMAQ-funded projects.
The one exception would be the integration of transit signal priority into the RCTSS system.
However, signal priority is to a large extent an add on to what is predominantly an arterial traffic
flow improvement project through interconnection and centralization of traffic signal control.
During the 1990s, there were no transit TCMs. After 
2000, there have been two transit TCMs,
the major one being the deployment of MetroRail. However, because this is a fixed-rail service,
the advanced technology components for operations are not generally considered ITS.
247
Transit projects have been funded through CMAQ, although none of these have had an ITS
component, and are primarily new bus and shuttle service or expansion of service, and fare
operating subsidies. On the whole, relative to arterial and freeway ITS in Houston, deployment
of transit ITS has lagged. Metro's bus fleet has been equipped with an advanced radio
communications system to support operations since the late 1990s. Yet, Metro's integrated
vehicle operations and management systems (IVOMS) project - which will incorporate GPS-
based automatic vehicle location (AVL), passenger counting, mobile data terminal, and stop
annunciators - is still in the final stages of deployment throughout its 1,300 fixed route bus fleet.
This bias toward the use of ITS for air quality improvements via traffic flow improvements, with
little focus on the use of ITS for air quality improvements via transit service improvements to
boost ridership, is also reflected in earlier operations on CMAQ funding. Although targets had
been set by H-GAC for spending on the different categories of CMAQ projects, actual spending
for fiscal years 1996 to 2000 were higher than the target levels for both traffic flow
improvements and demand management projects, while spending fell below target levels for
transit and intermodal projects (Transportation Research Board 2002, p 250).
Despite the intensity of use of ITS, there appears to be relatively little fundamental adaptation of
many of the ITS deployments used for air quality improvements, despite the high levels of
information regarding those deployments and their emissions impacts. For example, although air
quality impacts for the RCTSS and CTMS are measured both through ex-ante and ex-post
analysis (using before and after studies of speeds, for example), there have been no attempts to
use information on emissions changes to modify or adapt those systems to generate even greater
air quality improvements. The assessments have also remained relatively superficial, failing to
evaluate the two key uncertainties regarding the air quality impacts of traffic flow improvements:
(1) the effect of induced demand and (2) the effect of reducing accelerations and decelerations in
addition to changing average speeds.
24 8  
Although adaptation is a subtle characteristic of
247 Again, ITS generally refers to the 
surface transportation system, and 
excludes modes such as rail, which
generally utilized different signaling and control technologies.
248 By omitting analysis of the former, 
the emissions benefits may be overestimated. 
In contrast, by omitting
analysis of the latter, the emissions benefits may be underestimated.
289
IIDAPT, and difficult to measure in a rigorous manner, it is an important component of IIDAPT,
and reflects upon the underlying interests and motivations for agencies to undertake these types
of innovations in the first place. We will discuss this point in greater depth below.
6.2.1.3 Comparison and Discussion
Comparing our predicted and actual levels of IIDAPT for the case of Houston, we find that the
theory does indeed predict the high average levels and intensity of IIDAPT that are found in
Houston (see Table 6-6). However, what the conditions did not fully predict is the lack of modal
variation in the ITS applications that are deployed with an air quality objective. To understand
this outcome, we have to look more closely at the interests and preferences of individual
agencies, and how their interests and preferences have been influenced by the local context for
decisionmaking. Understanding the interests motivating each agency will allow us to determine
how mutual benefits are actually perceived by agencies, thus treating the concept of "win-win"
situations in a more rigorous manner.
Table 6-6 Comparison of predicted and actual outcomes in Houston
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - high Summary: HIGH Summary: HIGH (5.2)
2. Internal resources - high Average level * range * intensity
3. Dedicated resources - high * Innovation - high 4.5 * 4 * .29 = 5.2
4. Cost - low * Cooperation - high
5. Mutual benefits - high * Assessment - high Description:
6. Number of agencies - med * Adaptation - high High level of IIDAPT for arterial
7. New information - high and freeways. Low for transit.
Moderate for TDMs. Generally high
levels of assessment, but little
adaptation. High intensity of use.
Quantitative measures:
* Average level: 4.5
* Range: 4
* Intensity:
(2005-2008)
44% CMAQprojects,
27% of CMAQ dollars
(1994-1999)
87% of TCM projects
81% of TCM total project cost
(post 2000)
29%_ of TCMprojects**
S11% of TCM total project cost
* Again, the summary quantitative measure is a product of average level, range, and intensity.
We will focus more on this specific measure when we do the cross-case comparisons.
**For intensity, we use the percentage of TCMprojects in the most recent air quality management plan
that include ITS. This is to ensure consistency across for cross-case comparisons (see Table 6-17).
290
First, we will discuss the case of ITS-based traffic improvements for air quality, specifically the
regional computerized traffic signal system (RCTSS) and the computerized traffic management
system (CTMS), the two major ITS technologies that have been use for emission reductions.
Second, we will discuss the lack of transit ITS in Houston's air quality initiatives. Third, we will
review the use of ITS for supporting transportation demand management - the most cost-
effective category of transportation control measures in Houston. Finally, we will review the use
of assessment and integration of new information into future deployment and operations
decisions. We will look at whether and how adaptation occurs, and why, or why not.
* Claiming air quality credit (and money) 
for freeway and arterial ITS
The cases of RCTSS and CTMS - as core strategies within the mix of transportation control
measures and well-funded through the CMAQ program (particularly in the mid to late 1990s) -
is relatively easy to explain with our theoretical framework. The key transportation agencies,
TxDOT, the City of Houston, Harris County, and Metro, were in the process of deploying an
extensive ITS infrastructure, primarily in the form of RCTSS for arterial traffic control and
CTMS for traffic management on the freeways. They saw the potential benefits from
highlighting the issue of air quality benefits in order to bolster support for their ITS efforts. The
availability of CMAQ funds further reinforced this perception of mutual benefits to be gained
from incorporating air quality objectives into the core ITS deployments in the region by adding a
financial component. Therefore, the dedicated resources themselves created a strong mutual
benefit to innovate using ITS for air quality purposes. Transportation agencies were eager to use
these funds for their ITS projects, while the MPO was looking for ready-to-go projects that
would be eligible for this funding category. In fact, looking at the linkages in Figure 6-1 on page
279, we might suggest that the linkages from problem severity, to dedicated resources, to mutual
benefits and to both cooperation and innovation, were actually stronger than the direct link from
problem severity to innovation.
The importance of CMAQ for ITS deployment and operations was underscored by an
interviewee at TranStar, who suggested that "without CMAQ, we would be in trouble" (TranStar
interview, 2005). Clearly, the transportation agencies had substantial benefits to gain from
leveraging the linkages between congestion mitigation and air quality in their ITS program.
CMAQ represents an important funding source for ITS, in large part because it is protected from
use for traditional highway projects, but also because as a federal program funding category, it is
not as susceptible as Congressional earmarks to political vicissitudes at the federal level.
249
It is difficult to comment on the so-called "purity" of the intentions, however, in terms of
whether ITS is used for air quality (through TCMs), or air quality is "used" for ITS (through
access to CMAQ funding). For example, an interesting question is whether RCTSS and CTMS
would have been included as TCMs in the absence of CMAQ funding. However, for insights
into this question we also have to look more closely at the interests and preferences of the TCEQ
and H-GAC, and how they align to generate mutual benefits.
249 Samantha Levine and Julie Mason. "The loss 
of DeLay's clout leaves a big void," The Houston 
Chronicle, April
5, 2006. www.chron.com/disp/story.mpl/politics/3771906.html.
291
As discussed in Chapter 5, during the process of SIP development, the Texas Commission on
Environmental Quality shifted from more behavioral-based strategies, to more technology-based
strategies. Specifically, in the 1997 SIP revision, TCEQ's preference toward technology-based
strategies was clear in their inclusion of many technology-based TCMs - primarily signalization,
traffic and transportation management strategies - in order to make up for the loss of the
employee trip reduction program and a scaling back of the I/M program, two behavior-based
strategies. Therefore, given that "the commission has expressed a preference to implement
technology-based strategies over behavior-altering strategies," using ITS to reduce emissions by
changing traffic flow, and not motorist behavior, would neatly match the organizational
preferences of TCEQ (Texas Commission on Environmental Quality 2004, p 17). Given that the
political climate was not as friendly toward behavior-based measures or toward transit, as will be
discussed below, it was also in the interest of the TCEQ to identify measures that would be
considered acceptable to political leaders.
These organizational preferences and interests are also conditioned by the broader political
context of Houston. More than any of the other case studies, the interviewees referred to the
politics of the region as critical to understanding transportation and air quality decision-making.
Both the mayors and the commissioners have been described as "enthusiastic" and "champions"
of ITS. Indeed, this reaches up to the federal level as well, in particular, through the U.S House
Representatives from Sugar Land, Tom DeLay, and from Houston, John Culberson. Delay was
active in the early years of the ITS program, and advocated for the inclusion of Houston as one
of the four ITS Priority Corridors in ISTEA, which meant a substantial allotment of earmarked
federal funding for ITS deployment in Houston. They have not, however, been champions for
transit. In Washington, Delay and Culberson "blocked some efforts for federal funding of
Metro's light rail line," while at the same time they "championed road and automobile-related
projects," including those incorporating ITS.
250 
However, there has been a major shift in the past
several years. As voters approved the Metro Solutions plan for significant expansion of transit,
federal leaders changed their earlier stance toward transit funding. In fact, some of the same
leaders that earlier blocked federal funding for transit in Houston, later were the same players
that were help secure funding 
for the Metro Solutions 
plan.
2 5 1
* Pushing for rail 
at Metro
As noted earlier, the use of ITS for air quality objectives is dominated by arterial and freeway
traffic flow improvements in Houston. However, there are clearly ITS applications for transit in
Houston that have potential air quality benefits. Houston has deployed a number of transit ITS
applications, such as electronic fare payment and advanced radio communications systems, and
is in the process of deploying multiple ITS components bundled together in the Integrated
Vehicle Operations and Management System (IVOMS). However, there has been no successful
effort by agencies to use or identify transit ITS technologies as measures to improve air quality,
250 Pam Easton. "Houston officials to use federal funds 
to clear freeways." The Associated Press State 
and Local
Wire. April 1, 2005.
251 In addition to Representatives DeLay and Culberson, 
Senator Kay Bailey Hutchison was also a critical actor. 
She
helped secure $245 million in federal earmarks for the plan.
See www.ridemetro.org/metro solutions/metro sol news/metro sol2.asp. Last accessed April 7, 2006.
292
either through better operations (i.e. less idling time, fewer accelerations for buses) or through
changes in ridership, and thus reductions in VMT for private automobiles. As a result, we do not
find ITS-based transit improvements in either the list of TCMs or CMAQ-funded projects.
Although there were a few transit projects incorporated in earlier CMAQ funding rounds, they
were primarily programs such as expansion of bus and shuttle services, and some transit
fare/pass subsidy programs, not ITS.
Again, these outcomes depend upon the interests and incentives for individual agencies to
promote ITS (or not) as viable emission reductions measures, underscoring the importance of the
mutual interests in deploying these technologies. The motivations for TxDOT, the City of
Houston, and Harris County to prefer focusing on arterial and freeway measures for air quality
improvements were discussed above. However, the question is why Metro, first and foremost a
transit agency, did not push for greater inclusion of ITS initiatives, such as IVOMS, into the list
of TCMs, or for greater funding from CMAQ? On the contrary, Metro has used CMAQ funds to
support what is primarily a traffic signal upgrading, interconnection, and optimization project -
RCTSS - although it will incorporate transit signal priority as well.
252 
In part, the reason lies in
the multiple mandates that Metro must fulfill. Although Metro serves as the area's transit service
provider, it also has important responsibilities in addition to transit service, including
management of the HOV lanes and QuickRide program, the Motorist Assistance Program, as
well as local street construction. In fact, 25% of the local sales tax revenue must be dedicated to
the General Mobility Fund for infrastructure improvement projects on local streets and bridges.
Given these multiple mandates, it is not surprising that Metro would support projects such as the
RCTSS, a signal upgrading, interconnection and retiming project, that also incorporates signal
priority capability.
The use of ITS for air quality would also be influenced by Metro's interest in advancing its
agenda of deploying rail. Indeed, since the early 1980s, following the passage of a local sales tax
for transit and the formation of Metro in 1978, there has been controversy in Houston over the
possibility of constructing a rail system (first considering heavy rail, then shifting to a focus on
light rail).
2 53  
Beginning in the 1990s, Metro began to push forward with its plan, Metro
Solutions, an aggressive plan for expanded transit service, including bus, light rail, bus rapid
transit, bus/HOV lanes, and commuter rail. Metro planners had earlier developed a proposal for
a monorail project - a plan which was "quashed" by Mayor Bob Lanier when he came into office
in 1991.254 Similarly, the proposals for light rail were not generally supported, and at times,
actively opposed by key political leaders at both the local and federal level. Yet, Metro and
252 Because the CMAQ and other federal 
funds for the Metro's RCTSS program 
come from the Federal Transit
Administration, signal priority must be incorporated for it to be an eligible transit project. However, the bulk of the
effort put into the RCTSS program is focused not on the signal priority component, but rather on the upgrading and
interconnection of the signals and controllers. Therefore, while there will be transit benefits through signal priority,
the bulk of the benefits will be through arterial traffic management and linking the signal back to the TranStar
facilities, where they will be managed by the City of Houston, Harris County and TxDOT.
253 See Altshuler and Luberoff (2003) for 
a concise account of Houston's proposals 
for rail and the ensuing political
controversies (p 208-209).
254 Lucas Wall, "Signal system hits more 
snags; 5 years past due, Metro's project 
to link traffic lights to control
center may be ready in April." The Houston Chronicle, page A-1.
293
transit advocates continued to push the light rail concept, supported in part by environmental and
other interests which had long been advocating shift in emphasis from road building to transit
investment.
255 
Their efforts came to fruition in 2001, as Metro broke ground for its first light
rail, the MetroRail (designated the "Red Line" in anticipation of additional lines). Metro also
received an additional affirmation of their long range expansion plan, Metro Solutions, when the
plan's referendum was approved by voters in November 2003. This also led to a significant
change in the attitudes of US congressional representatives, who, as described earlier, then
moved to secure additional federal funding for light rail in Houston.
Therefore, Metro's interest has been in securing support from the public and elected officials for
an ambitious light rail expansion project. During the 1980s and 1990s, several iterations of plans
for heavy rail, monorail, light rail and bus were developed and rejected, at times by voters, and at
times by local and federal elected leaders. As Metro planners built up the case for major
investment in the capital infrastructure needed for rail, their incentives for highlighting possibly
cheaper and viable alternatives, such as ITS-supported bus rapid transit systems, would be low.
Indeed, when Mayor Lanier took office in 1991, he moved toward an all-bus option, replacing
the older bus fleet and building additional HOV lanes for vanpools and buses. Although Metro
was also working to improve bus operations and service through ITS, these improvements were
not highlighted as air quality benefits, nor was funding from the CMAQ program sought.
Instead, the focus was to highlight not the air quality benefits from better bus services, but rather
the air quality benefits from light rail, which were included as a transportation control measure in
the 2002 SIP revision, even though these project performed poorly in terms of the cost-
effectiveness of emissions reductions (see Chapter 5). The inclusion of the light rail line as a
TCM in the 2002 SIP may have been a strategic move on the part of Metro. The downtown to
Astrodome light rail project first appeared as an "additional TCM" commitment in the December
2000 conformity demonstration, when the light rail project was in preliminary engineering.
Inclusion of the light rail as a TCM essentially helped lock the region in to following through
with the deployment of this project, since "failure to implement TCMs according to schedule can
be grounds for the denial of an area's transportation conformity determination," which, in turn,
could ultimately delay the flow of federal transportation dollars to the region (Texas Natural
Resource Conservation Commission 2000, pp 6-27 to 6-28).
Ironically, failing to emphasize bus rapid transit - enhanced through a number of ITS
technologies similar to those being deployed as part of the IVOMS project - as a high quality
and viable alternative to rail, may have backfired in the recent changes to later phases of the
Metro Solutions plan. Phase II of Metro Solutions - in an attempt to expedite the delivery of
new, fixed-guideway transit service - has incorporated bus rapid transit, which would operate the
routes initially, then be converted to rail transit once sufficiently high levels of ridership are
reached.
256 
Yet, the public response has not been altogether favorable, as many, particularly rail
255 Catherine Rentz Pernot, "Transportation Disconnect: 
Are Supply and Demand Out of Sync in Houston?"
Business Unusual: Regional Public Policy Series, Gulf Coast Institute. October 2003.
See gulfcoastinstitute.org/businessunusual/oct 2003.pdf. Last accessed May 11, 2006.
256 The dedicated bus lanes would supposedly be identical 
to the fixed guideways required for light rail, including
having rail already embedded in the transitways, and covered for use by rubber tire buses. See
www.ridemetro.org/metro solutions/metro sol news/metro soll.asp. Last accessed April 7, 2006.
294
advocates, had viewed this as a watering down of the original Metro Solutions plan 
that was
approved in the referendum.
* HOV and rideshare 
matching
Finally, we look at the use of online rideshare matching and demand management on the HOV
lanes through pricing, and the mutual benefits from focusing on supporting HOV as a important
air quality measure.
7 
Due in large part to the extensive HOV lane network in Houston, and the
significant travel time savings that the use HOV network can provide, vanpooling and carpooling
in Houston has been highly successful. As a tool 
for air quality improvement, the vanpool,
carpool, and minipool programs, including the supporting online and phone-based ridematching
services, have consistently been the most cost-effective category of TCMs.
Houston has also been innovative in pioneering the use of value pricing, with the deployment of
the Katy Freeway HOT lane (for 2+ carpools during peak travel). Again, there were strong
mutual benefits to the agencies involved in this project. TxDOT would benefit from providing
some congestion relief by expanding the use of the HOV lanes and allowing smaller carpools to
access the lanes for a toll. The toll agency, HCTRA, would benefit through the expansion of its
tolling program, and gain an important foothold by expanding service to the HOV lane network.
Metro was able to better utilize its HOV lanes, and received additional revenue from the tolled
operation of the HOV lanes. Federal funding, through the value pricing program (a dedicated
resource) was also an important motivator for these three agencies to collaborate on an
innovative HOT lane idea.
However, by contrasting the success of the rideshare program, and indeed, the fact that there are
waiting lists for a large number of vanpools along important routes, it seems counterintuitive that
there would be such a need to move toward a HOT lane approach. This is based on the
assumption that the capacity will not be fully utilized without allowing lower occupancy vehicles
to use the lane, which by extension, assumes that the maximum limits of carpool, minipool, or
vanpool opportunities has been reached. Yet, experience with the HOV network in Houston has
shown it to be highly effective in initiating ridesharing, and that indeed, there are some apparent
scale economies in having both a large network of HOV lanes, and a large pool of rideshare
matching possibilities available. Institutional support for the ridesharing program has continued.
However, the recent emphasis on expanding the "managed lane" concept (and thus reducing the
occupancy requirements, which could undermine ridesharing) indicates that there is also strong
institutional support for HOT lanes. If ridesharing loses ground to the managed lanes concept,
allowing lower-occupancy vehicles for a toll, this can be construed as evidence that the
organizational interests are better fulfilled by HOT lane implementation, than by pushing for
more ridesharing.
2 58 
The organizational benefits come from the ability to better control service
257 Indeed Metro promotes the HOV 
lanes as important for air quality. "Built 
primarily for buses, the HOV also
promotes ridesharing through vanpools and carpools, which reduce traffic congestion and provide cleaner, healthier
air throughout the region" www.ridemetro.org/TransportationServices/Carpool Vanpool Services/HOV system.
Last accessed April 8, 2006.
258 There do not appear to be in-depth 
studies looking specifically at the potential 
impact on carpooling by the
conversion of lanes from pure HOV operations to HOV/Toll (or HOT lane) operations, also referred to as managed
295
levels on the HOV lanes through pricing, and from the additional revenue that tolling HOV lanes
can create.
N Assessing the 
impacts
Now that we have discussed in depth the concept of mutual benefits, and how that has
influenced the patterns of use of ITS for air quality in Houston, we will now look at the role of
new information and assessment in promoting adaptation of those innovations. Compared to
other regions, such as Los Angeles, the tacit consensus between transportation professionals, and
to a large extent air quality analysts in Houston, seems to be that mitigating congestion improves
air quality. According to H-GAC, even in earlier years of deployment, ITS "was an important
tool for our air quality strategies, although early on, none of us were sure how much benefit we
could get from that - from an air quality perspective - until we had some opportunity to use it"
(H-GAC interview, 2005). Therefore, from the beginning, there was a willingness to experiment
with the use of ITS to generate emission reductions, even when uncertainty regarding those
reductions was high.
Of all the cases, Houston was the only one to utilize a single guidebook with uniform and
consistent methodologies for measuring and documenting the emissions reductions from a wide
range of "accepted" emissions reductions measures.
259 
Therefore, this handbook improves the
confidence of both transportation and air quality agencies that the analytical and regulatory basis
for using ITS applications for emissions reductions are sound.
260 
Therefore, there is a certain
confidence that these are acceptable measures to improve air quality, even through the benefits
may be overestimated. Indeed, the Texas Guide to Accepted Mobile Source Emission Reduction
Strategies (or MoSERS guidebook) also seems to have supported greater levels of deployment of
ITS for air quality - largely along the same lines as earlier innovations - but without adaptation
of ITS deployments to new information regarding the air quality benefits of those deployments.
For example, the use of the MoSERs manual facilitates the use of CMAQ funding by the City of
Houston for its projects, by providing an accessible guide to measuring and documenting the air
quality benefits. Given the City of Houston does not have the size and internal resources of
Metro and TxDOT, the ability to use MoSERs facilitates access to CMAQ funds by the City of
Houston, which must compete with larger agencies for this funding category.
However, MoSERS may serve to reinforce the use of existing ITS strategies as TCMs and as
eligible for funding through the CMAQ program, rather than to attempt to reduce some of the
key uncertainties regarding the air quality impacts of ITS. It does not create "truly" new
lanes. There is some preliminary evidence from the surveys on the newest (and fifth) managed lane in the US in
Minnesota, that the addition of tolling has not detracted from carpooling, which 87%. Paul Muzzey. 2006.
"Managed Lanes - HOT Applications," Presentation to the ITS Massachusetts 11 Annual Meeting and Conference,
Boston, MA. May 25.
259 The other cases may have had similar handbooks 
or guides, however, Houston was the only case 
in which
interviewees consistently referenced the same source.
260 However, the literature on the "social construction" 
of knowledge would tell us that agreement on methodologies
for technical analysis does not necessarily mean that those methodologies are the best or most accurate
representations of reality. It simply reflects that a consensus has been reached by the relevant actors on what is a
"good" or "acceptable" 
methodology.
296
information regarding the air quality impacts of ITS deployments, or attempt to validate that the
purported emissions reductions are indeed occurring, for example, by directly measuring changes
in concentrations along effected corridors. Rather, it is a manual for documentation of benefits
(which may or may not accurately reflect real benefits).
6.2.1.4 Conchlusion
To summarize, comparing our predicted and actual levels of IIDAPT for the case of Houston, we
find that the theoretical framework does predict the high levels of IIDAPT. We see high levels
and intensity of IIDAPT in Houston, particularly for freeway and arterial ITS (see Table 6-4 
to
Table 6-6). However, what the seven conditions alone cannot fully predict is the lack of modal
diversity or range of the ITS applications that are deployed with an air quality objective, and why
there is so little IIDAPT in the area of transit, despite the recent deployment of several ITS
applications for transit. This does not change our basic theoretical construct and the seven
conditions, but it does point us toward certain conditions that appear to be more important than
other conditions.
To understand these outcomes, we needed to look more closely at the mutual benefits that the
various agencies can derive from different ITS solutions, and how that is influenced by the
broader context of transportation planning, politics and investment in the Houston region. These
agency interests aligned in favor of using ITS for freeway and arterial traffic flow improvements,
and for advancing the air quality benefits of those ITS applications. ITS was seen as an
important congestion mitigation component, and one that was compatible with the agenda of
continued highway expansion. The general consensus among agencies, as affirmed by the
MoSERS manual, was that these activities were nearly always supportive of air quality
objectives. That was used, in turn, to access substantial amounts of CMAQ funding for ITS.
However, agency interests did not align in favor of promoting the use of ITS in transit as a
measure for air quality improvements. Because the preferred option, on the part of the transit
agency, for transit investments was light rail, it did not necessarily want to highlight the ability of
ITS to provide levels of service and air quality benefits competitive with those provided by light
rail, and therefore detract from the campaign to deploy and expand Houston's emerging rail
system.
The seven conditions predicted the high average levels of IIDAPT, and the high intensity of
IIDAPT in Houston. However, in order to explain outcomes more satisfactorily, particularly the
lack of transit ITS for air quality purposes, we had to focus more closely on how mutual benefits
between agencies were perceived, and how the broader local context had influenced 
agency
interests and preferences. The lesson that emerged here is that mutual benefits between agencies
cannot by described using their policy objectives and goals (i.e. improve mobility and traffic
flow, improve transit ridership and mode share, improve air quality). Rather, these 
mutual
benefits must be understood and defined in terms of agencies' preference for certain types of
investments over others (i.e. light rail over bus rapid transit), and whether ITS will support or
detract from building the case for those investments. Therefore, while these results do not
change the structure of our theoretical construct, they highlight which conditions 
are more
important, such as problem severity, mutual benefits, and dedicated resources. The results also
297
suggests where some of the conditions, particularly mutual benefits, need to be defined more
rigorously. For identifying areas of mutual benefits, it is important to take into account how the
local context and agency agendas and interests can shape what agencies perceive to be mutual
benefits or not from a particular technology.
298
6.2.2 Los Angeles
We now turn to the case of Los Angeles. Although the summary indicators suggested that levels
of ITS deployment in Los Angeles were only moderate, the site visit indicated that levels were
actually very high, particularly when factoring in how effective or advanced the deployed
systems are, as well as taking into account the size of the Los Angeles region.
2 61 
Compared to
Houston, Los Angeles has even more critical air quality and congestion problems, and similarly
high levels of ITS deployment in place.
262 
Yet, as will be discussed in-depth below, the case of
Los Angeles diverges from the experience in Houston, in that the region has not been either
willing or able to claim full credit for the possible air quality benefits that may have been created
by many of its ITS deployments.
6.2.2.1 Conditions and Predicted IIDAPT in Los Angeles
Los Angeles is the only metropolitan area (of our five case studies cities) to have a non-
attainment designation of extreme for 1-hour ozone,
263 
and has consistently had the worst
congestion in the nation. Therefore, simply in terms of problem severity, we would expect Los
Angeles to have very high levels of IIDAPT, using ITS to achieve the dual objectives of air
quality and mobility improvements. Furthermore, because of its large population and extreme
non-attainment designation, Los Angeles received the highest levels of CMAQ funding in the
nation. For example, in fiscal year 2000-1, the apportionment was nearly $220 M - meaning that
the level of dedicated resources is also extremely high. Internal resources are also very high,
with an MPO staff (Southern California Association of Governments, or SCAG) of over 100
employees, and nearly 40 in the area of transportation, environmental and community planning.
Transportation agencies in the region are also large. For example, LA's largest transit provider,
Metro employs over 9,000 people.
Yet, while the conditions for innovation would suggest very high levels of innovation with ITS
for air quality, the prospects for cooperation on innovations dealing with both mobility and air
quality concerns are not as encouraging. Los Angeles is the most institutionally complex of the
case study cities, with multiple layers of agencies responsible for both transportation and air
quality management and planning. For example, air quality issues must pass not only through
261 To take a stylized example, two cities 
can have 50% of their signalized intersection 
under centralized or close
loop control. However, one of the cities may control those signal through a highly advanced adaptive signal control
software based upon real-time traffic conditions, while other cities only use their centralized signal control for
remotely reprogramming signals or identifying signal outages, etc. Similarly, a city with 50% of fixed-route buses
accepting electronic fare payment can only accept certain weekly or daily magnetic strip passes, or contactless smart
cards with either passes or rechargeable prepaid amounts. As discussed in Chapter 5, the size of the Los Angeles
region means that ITS deployment as a percentage "coverage" of physical capital infrastructure can lead to an
underestimation of the levels of ITS deployment.
262 Although Houston has rivaled Los Angeles 
for the number of high ozone days, Los 
Angeles has generally held
on to first place in smog. Miguel Bustillo, "L.A.'s the Capital of Dirty Air Again," Los Angeles Times, part B, page
1, November 15, 2005.
263 Fresno, California, an inland metropolitan 
area located in the San Joaquin Valley, 
was also designated extreme
non-attainment for 1-hour ozone.
299
the state-level California Air Resources Board (CARB), but also the regional air quality districts,
such as the South Coast Air Quality Management District (SCAQMD). While in other
metropolitan areas, the transportation agencies work with the MPO on developing transportation
control measures, and submit those directly to the state environmental agency for inclusion in the
SIP, in Los Angeles, there is the additional involvement of the air quality district. Therefore,
many of the local transportation control measure receive substantially more review by air quality
agencies than in other cities, where the development of TCMs is delegated more fully to the
transportation agencies and MPOs. In this sense, Los Angeles is the most fragmented and
decentralized of the five metropolitan areas, and we would therefore predict that cooperation
would be substantially more difficult.
Regarding the conditions for adaptation, there is a substantial amount of research regarding ITS
and air quality in the Los Angeles region, consisting of both internal and external assessments
and analyses, and peer-reviewed academic research. The California Partners for Advanced
Transit and Highways (PATH), for example, is a multi-disciplinary research program
administered by the Institute of Transportation Studies at the University of California at
Berkeley, and Caltrans.
264 
Indeed, with a mission of "applying advanced technology to increase
highway capacity and safety, and to reduce traffic congestion, air pollution, and energy
consumption," the PATH program seems to be highly relevant to the use of ITS for air quality
improvements. In addition to PATH, the University of California system has a number of
smaller research programs for transportation and air quality, and many of the nationally
recognized experts regarding the air quality impacts of ITS and other traffic flow improvements
are located in California.
6.2.2.2 Actual IIDAPT in Los Angeles
If we only considered the severity of the problems of congestion and air quality, the worst in the
nation on both accounts, one would expect the transportation and air quality agencies in LA to be
the most active in finding synergies between ITS and air quality. Indeed, IIDAPT levels are
relatively high in terms of the average level and very high on range, as seen in Table 6-7.
264 PATH has 45 full-time staff members and supports the 
research of nearly 50 faculty members and 90 graduate
students. See www.path.berkeley.edu/PATH/General/statement.html. Last accessed April 1, 2006.
300
Table 6-7 IIDAPT level and range in Los Angeles
ITS application areas Representative technology IIDAPT scale
Arterial traffic flow improvements ATSAC/ATCS 5.5
Freeway management strategies ATMS/ATIS for Ports 2.5
Freeway traveler information N/A
Transit information Transit trip planning tools 3
Multi-modal information CommuteSmart.info 4
Transit operational improvements AVL/comm. systems 2.5
Transit fare payment systems Universal Fare Payment 4.5
Rideshare support Ridematch.info 4.5
Demand management/pricing SR 91 HOT lane 4
Other applications - N/A
Average level (0-6) 3.8
Range of IIDAPT (0-10) 8
Probably the most innovation has occurred in the area of traveler information, specifically for
ridesharing (ridematch.info) and multi-modal traveler information with commuter alternatives
(commutesmart.info). For all of the case study cities, these are the best examples of integrated
and real-time information for multiple modes, and comprehensive information for ridesharing.
This matches the rhetoric of Southern California Association of Governments (SCAG) and the
Southern California Economic Partnership (SCEP, or the Partnership) regarding Information-
based Transportation Strategies, and suggests that the focus is indeed on improving the
information content of the transportation network in ways that can lead to behavioral and modal
shifts that benefit air quality and the environment. This is an innovative approach in that it
employs technology in order to generate behavioral change. In comparison, Houston - with the
exception of its similar online rideshare matching service and QuickRide HOT lanes - has
focused on the use of technology to manage traffic flows in ways that improve air quality, but
without requiring any fundamental shift in traveler behavior.
Los Angeles also stands out in the innovativeness of its ATSAC system for 
traffic signal control,
developed by the City of Los Angeles, which has undergone continual innovation with the
evolution toward adaptive signal control, and integration of transit signal priority, and steps
toward incorporating real-time information on pollution concentrations from air quality
monitors.2
65 
However, in terms of intensity, traffic signalization strategies are not nearly as
widely "counted" as possible emission reduction strategies, as they are in Houston.
266
Cooperation was actually somewhat 
higher than excepted, with 
high levels of cooperation in
the deployment of the Universal Fare System, integrating fare payment media into a single smart
card for nearly all public transit agencies in Los Angeles County, as well as cooperation in
integrating transit planning and rideshare database information.
265 As described in the Chapter 5, the 
integration of real-time air quality information 
was never fully implemented.
266 Therefore, even though traffic signalization 
improvements may provide some air quality 
benefits, they are not
generally included in air quality plans as emission reductions measures. They are however, funded at times through
the CMAQ program.
301
While the average level of IIDAPT for individual applications is high, and there 
is a range of
applications, our measures of intensity of use of ITS for air quality are 
lower than those seen in
Houston (see Table 6-8). This suggests that although there are a number applications 
that could
qualify as IIDAPT, ITS is not as prominent either for CMAQ funding, or as a transportation
control measure.
Table 6-8 Measures of IIDAPT for Los Angeles
IIDAPT measures
Average level 3.8
Range 8
Intensity (share of 2004-9 CMAQ projects) 49/214 23%
Intensity (share of 2004-9 CMAQ funding) $184 M / $1,154 M 16%
Intensity (share of post-2002 TCM projects) 34/268 13%
In terms of intensity, only 49 of 214 CMAQ-funded projects include some ITS components.
However, looking at the funding, ITS projects rank substantially lower with only 16% of all
CMAQ funding going to projects with ITS. It should be kept in mind that these are CMAQ
projects with an ITS component, not ITS per se. Of those (49) ITS projects that are funded with
CMAQ, there is a relatively even split between ITS applications for transit (22) and for traffic
flow improvements (25).267 For CMAQ-funded ITS projects aimed at traffic flow
improvements, they are almost entirely signal connection, synchronization, and interconnection
projects, and are mostly located in San Bernardino county. CMAQ-funded transit ITS projects
include the universal fare system mentioned above, as well as advanced communications systems
and automated vehicle location.
ITS applications appear with even less frequency for transportation control measures, with only
34 of 268 TCMs including an ITS element. As discussed in Chapter 5, the new categorization of
TCMs for the most recent air quality management plan includes what are called Information-
based Transportation Strategies, with ITS falling within that group. Only two of the 34 ITS-
based measures are for traffic flow improvements - a traffic management system for the Pacific
Coast Highway, and an automated traffic management system for the City of Corona. The rest
are for transit improvements, ridesharing, and HOT lanes and value pricing.
In large part, this reflects the fact that the state DOT, Caltrans, plays a much smaller role in the
CMAQ program than in other areas. In contrast to the case of Houston, where the TxDOT
contracts out a large number of ITS projects for emission reductions from traffic flow
improvements using CMAQ, Caltrans does not use CMAQ funding on ITS projects.
268 
In
general, Caltrans does not have a large number of projects using CMAQ, and those projects that
it does fund with CMAQ, are nearly exclusively HOV lanes.
267 The other two projects are for bicycle detection in Los Angeles and database 
support for rideshare matching in
Orange County.
268 For CMAQ funded projects for FY 2004/5 - 2009/10, Caltrans was the lead 
agency for only one ITS project,
which was the installation of fiber optic cable in Ventura County.
302
6.2.2.3 Comparison and Discussion
The actual IIDAPT outcomes confirmed what the conditions predicted, as seen in Table 6-9.
There was a medium-high average level of IIDAPT (3.8). The range of IIDAPT in Los Angeles
was very high, much more so than in Houston, with examples of IIDAPT for eight out of the ten
applications areas. However, the intensity of use of 
ITS using CMAQ funding, or as a TCM,
was lower than would have been expected. Also, it is not clear why there was so little CMAQ
funding used for ITS-based traffic flow improvements, and almost no inclusion of ITS-based
traffic flow improvements as transportation control measures in the region's air quality plan.
Los Angeles therefore presents an interesting case for why certain categories of ITS were not
more aggressively used for air quality purposes, given that overall levels were high. For the case
of Houston, we discussed why certain ITS technologies for bus rapid transit service were not
used as TCMs, even though they were being deployed and had legitimate air quality benefits. In
the case of LA, the "missing" applications are arterial and freeway ITS. Although we include a
representative technology for freeway management strategies for our measures of IIDAPT in
Table 6-7, there are only two ITS-based TCMs which are deployed to improve general traffic
flow. Indeed, the vast majority of IIDAPT for ITS and air quality was for transit and ridesharing.
This was true both for the region's TCMs and for current CMAQ funding. This same dynamics
also seems to play out with earlier CMAQ funding allocations, where transit projects represented
the majority of the use of CMAQ.
Table 6-9 Comparison of predicted and actual outcomes in Los Angeles
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - high Summary: MEDIUM to Summary: MEDIUM-HIGH (4.0)
2. Internal resources - high HIGH Average level * range * intensity
3. Dedicated resources- high 3.8 * 8 * .13 = 4.0
4. Cost - low * Innovation - high
5. Mutual benefits - high * Cooperation - med Description:
6. Number of agencies - high * Assessment - high High levels of IIDAPT for transit,
7. New information - high * Adaptation - high multi-modal and ridesharing info.
Medium levels of IIDAPT for traffic
flow improvements.
High range, low intensity.
Quantitative measures:
* Average level: 3.8
* Range: 8
* Intensity:
(2004-9)
23% CMAQprojects,
16% of CMAQ dollars
(post 2002)
13% of TCM projects
303
Therefore, the question is how to reconcile the innovativeness with ITS, and range of use in ITS
for air quality purposes, with the low intensity of use? Another question, is why there is a lower
level of use of ITS for air quality improvements from traffic flow improvements in air quality
management plans. Los Angeles has a much smaller number of congestion mitigation and
operations measures in its portfolio of ITS measures for air quality than one would expect, given
its congestion and air quality problems. Most ITS technologies used for air quality purposes are
for transit. Despite the advanced freeway and arterial management systems in place in Los
Angeles, very few of these technologies are incorporated as TCMs, although some is deployed
with funding from the CMAQ program (specifically, extensions of the ATSAC system). So, for
those ITS applications that are known, or strongly suspected, to have air quality benefits, why is
it that the project implementers have not taken credit for those emissions reductions?
* "Taming the automobile"
In large part, this use of ITS reflects the much broader changes in transportation policy 
direction
in the Los Angeles region. As described by Wachs, beginning in the 1980s, the region initiated
new programs and investments aimed at "taming the automobile" rather than accommodating 
its
use through continued expansion of the freeway network (Wachs 1993, p 6). The 
focus was
therefore on aggressive expansion of transit and transportation demand management 
strategies.
In terms of the expansion of highway capacity, the emphasis was shifted toward expanding 
the
network of HOV lanes, and addressing some of the "gap closure" projects to connect 
important
links in the complex freeway network of Los Angeles. This major shift in transportation policy
would greatly affect how transportation agencies would chose to use ITS as an air quality 
tool.
Perhaps the agency most affected by this shift in direction was Caltrans, which had to transform
itself from a highway organization to a broader transportation agency. Indeed, there have been
fundamental changes in the organization. An interviewee from Caltrans emphasized that
Caltrans in no longer "just highways," with involvement in park and ride lots, HOV, traveler
information, and oversight for air quality impacts of local systems projects (Caltrans interview,
2005). Caltrans has a long history of ITS deployments, having begun with technologies such 
as
ramp metering in the 1970s. While early applications started with a strong modal focus on
highways, with detector loops, cameras, ramp metering, and variable message signs all feeding
back into to the Transportation Management Center (TMC), emerging applications, such as the
Regional Integration ITS (RIITS), are more multi-modal. Discussions with Caltrans highlights
how they conceptualized the important changes in the core fmunctions of the transportation
management center, "the TMC is going to be an information center in the future, [to] collect and
disseminate information to the general public. That's 
where we're heading" (Caltrans interview,
2005).
Caltrans clearly has made important organizational changes, first in its shift toward a more
multimodal and systems focus, and second in its shift in emphasis from using ITS to directly
manage traffic, to using ITS to indirectly "manage" travel by collecting and disseminating real-
time information to the general public. Yet, although Caltrans has undertaken some important
organizational innovations, the agency still has to deal with a legacy of cynicism on the part of
environmental stakeholders regarding its ability to be environmentally responsible. Criticisms of
304
ITS arose from researchers such as Robert Cervero, who envisioned the use of ITS to only
further exacerbate the problem of urban sprawl (Cervero 1995). Similarly, in a 1996 forum on
ITS and the environment, focus groups "revealed a palpable skepticism... about the 
ability of
Caltrans to adequately address environmental and social issues as part of its ITS program"
(Horan, Hempel et al. 1996). Therefore, while Caltrans has deployed a wide 
range of ITS
applications, it has very little incentive to attempt to push the air quality benefits of 
those
deployments. According to SCAG, efforts to claim air quality credit for ITS improvements 
to
traffic on Los Angeles' freeways would probably not convince most members 
of the
environmental community. In addition, as will be discussed below, the 
Los Angeles region has
powerful air quality agencies, which, as suggested by interviewees, have not viewed operational
improvements from ITS favorably, typically citing the induced demand argument. 
Indeed,
interviews with project managers at Caltrans suggested that there was not 
actually a high level of
internal awareness regarding the possibilities for induced travel from ITS-based improvements
(see quotes from Chapter 5). In fact, this may corroborate some of the concerns 
cited earlier in
the 1996 forum on ITS and the environment, regarding the 
ability of Caltrans to effectively
address environmental and air quality concerns in the design and deployment of ITS. The 
end
result is that despite the large number of ITS projects deployed by Caltrans, many of which 
may
have legitimate air quality benefits, the agency does not have the incentive 
to claim credit for
those freeway projects in terms of air quality in a planning environment that 
has decisively
rejected freeway expansion.
While the shift from freeway expansion to expansion of transit and TDM 
strategies lowered the
incentives for agencies such as Caltrans to attempt to claim credit 
for their air quality
improvements from ITS, it also raised the incentives for transit agencies 
to claim credit for air
quality benefits from their ITS programs. For this reason, we see CMAQ 
funding used more
liberally for incorporating ITS into buses 
and stations, particularly in LA County. 
For example,
CMAQ funding, distributed to a number of individual transit agencies, 
is supporting the
deployment of the universal fare system, comprising 12 
CMAQ projects in the FY 2004/5 to
2009/10 regional transportation improvement program.
Where information provided through ITS could be used to support 
transportation demand
management, it would be also be considered as a benefit to 
air quality. Earlier TDM strategies
were focused on workplaces, with the majority of the responsibility 
placed on large public and
private employers who had to put programs into place to increase 
the average vehicle ridership
or occupancy of their employees' commute trips. Yet, there 
has been a shift away from
workplace-based efforts to reduce employee VMT, toward 
using information, directly to the
traveler, to influence mode choice. As noted in the 2003 
Air Quality Management Plan, "one of
the reasons individuals choose to drive to a particular destination, 
often alone, is that they may
lack convenient access to information about alternative 
modes to travel" (South Coast Air
Quality Management District 2003, p 22). Therefore, ITS 
applications such as online transit trip
planning, CommuteSmart.info for multi-modal traveler 
information, and RideMatch.info for
carpool and vanpool matching, have emerged as some of 
the more innovative examples of
IIDAPT in the Los Angeles region.
* Assembling the case for ITS
305
Therefore, the shift in transportation policy from freeway expansion to transit and TDM
strategies, would underscore the perception of freeway projects (ITS or otherwise) as not
beneficial to air quality, and bolster support for ITS used for transit and TDM as viable air
quality strategies. As described above, this would affect the incentives for agencies attempting
(or not) to assert that their ITS programs have air quality benefits. However, another issue, is
whether agencies, once they decide that they want to take credit for air quality benefits of ITS,
can actually "make the case" for those benefits. This leads us to consider the role of assessment
in innovating with ITS for air quality purposes.
Some interviewees in Los Angeles expressed the opinion that the regulatory regime for
transportation conformity was too restrictive to use ITS as an air quality mitigation tool. In
particular, they pointed to the fact that the modeling requirements were those mandated by
Congress - "we model not because the model knows, necessarily, but because Congress has
mandated the model" (SCAG interview, 2005). They felt restricted by both the demand models,
which do not effectively incorporate operational effects such as ITS, and the emissions models,
which use set, standard drive cycles, meaning that changes to the drive cycle that result from ITS
are not accurately reflected in the models. As a result, according to a transportation planner for
ITS in the Southern California Association of Governments (SCAG), "we have a very difficult
time assembling the case [for ITS] - through traditional means and through legally required
means - to make that case with significant members of the environmental community" (SCAG
interview, 2005).269 Therefore, in Los Angeles, particularly those at SCAG felt, that they cannot
justify using ITS in this current framework, even though they believe that ITS deployments in
Los Angeles have indeed had important air quality benefits. This above discussion primarily
refers to claiming credit for ITS when used as a TCM, where the air quality benefits are
calculated with the regional transportation models and emissions models.
The so-called "off-modal" evaluation methodology for CMAQ projects in Los Angeles 
also
reinforces the difficulties in "proving" the air quality benefits of ITS.
2
o In fact, the methodology
for measuring the emission reductions from improvements to signal timing, actually 
reduces
emissions reduction by half, noting that "initial speed improvements decline 
to zero
improvement by the end of the effectiveness period" (California Air Resources Board 2005, p
27). Therefore, a signal improvement project in Los Angeles would receive half 
of the air
quality credit as an identical project in Houston, solely due to differences in the methods used to
calculate emission reductions.
Assessment can have a major impact, not only on the further adaptation of innovations, 
but in
being able to undertake an innovation in the first place. However, in addition 
to this, consider
the influence of a larger number of powerful agencies for air quality. 
Again, Los Angeles is
unique in having a strong regional body for air quality management. Some 
observers have
269 The author interpreted "significant members of the environmental community" to refer to "important"
environmental non-governmental organizations, as well as air quality agencies such 
as CARB and EPA, which were
mentioned elsewhere in the interview.
270 As described in Chapter 5, "off-modal" refers to calculations that are not incorporated in the regional
transportation model. For example, it could include an intersection improvement, the scale 
of which may be to
small to measure the impact on a regional scale.
306
highlighted the influence that the South Coast Air Quality Management District (SCAQMD, or
AQMD) had over air quality, energy, transportation, land use, and other key decisions in the
region.
"By the end of the decade, the twelve-member AQMD board had emerged as almost a de
facto regional governing body for the multicounty megalopolis of Los Angeles. A
substantial administrative apparatus had grown up employing more than 1,000 staff with
a $100 million plus annual operating budget, in a handsome, new, Diamond Bar
headquarters, with enormous authority" (Mazmanian 1999, p 87).
As a result, if the transportation agencies could not make the case for the air quality benefits of
an ITS project, and there was no support from either CARB or SCAQMD, there would be little
prospect for incorporating it as a TCM. In the interviews and site visits, it was also clear that
there were several examples of ITS having - or perceived to have - important air quality
benefits, without either taking credit for those air quality benefits in air quality plans, or seeking
funding through the CMAQ program. It also reaffirms that ITS is undertaken primarily as a tool
to mitigate congestion in the Los Angeles case.
"[With] ITS, while they do have those [air quality] benefits, and we would like to claim
more credit and push more research in that area because we think it does help, the reality
is that many of these programs, we are doing these because we need them in order for the
system to function efficiently." (SCAG interview, 2005)
Taking a specific example, the Department of Transportation for the City of Los Angeles
represents an interesting case of an attempt at IIDAPT that was unsuccessful in garnering support
from air quality agencies. A few years before the development of the Adaptive Traffic Control
System (ATCS), LA DOT had developed a proposal to install carbon monoxide (CO) sensors in
the traffic signal cabinets at certain intersections, in order to use the communications
infrastructure to retrieve real-time information on concentration levels of carbon monoxide.
Using information on air quality levels, and mapping areas of high CO concentrations to heavy
traffic on their geographic information system (GIS), engineers could make signal timing
improvements based on the CO levels at intersections. As discussed in Chapter 5, this proposal
for funding was not accepted by SCAQMD.
Apparently, the emission benefits of ITS, at least as a traffic flow improvement measure, have
not convinced air quality planners to the extent as it has in other regions such as Houston.
According to Caltrans:
"The greatest amount of pollution comes from individual cars... and ITS plays a role in
directing that. But, from CARB's standpoint, they are thinking about the entire state
picture - so they focus on improving cars' performance" (Caltrans interview, 2005).
Therefore, one argument for the relative lack of acceptance of the air quality improvements from
ITS-based traffic flow improvements is that they seek out measures with greater impact by
reducing emissions through cleaner vehicles and fuels.
271 
However, another explanation lies in
271 Again, California is unique in the 
US in that it is authorized to set more stringent 
emissions standards (although
not fuel economy) for the vehicles within the state.
307
the view of induced demand taken by the air quality agencies. One of the transportation planners
for ITS at SCAG pushes this second point, suggesting that both state and federal environmental
agencies have created barriers to using ITS-based improvements to traffic flows as a strategy for
air quality improvements.
"CARB and EPA have been somewhat didactic in their view on operational changes -
that operational changes are capacity inducing, that [their emissions improvements] can't
be documented - so we have some people who are in the bureaucracy itself that are
antipathetic towards ITS and operational improvements as a means of air quality
benefits" (SCAG interview, 2005).
Specifically, because of the greater number of "regulating" agencies, with not only CARB, a
powerful state-level actor in air quality management, but also the air quality management
districts, such as SCAQMD, approval for innovations for ITS and air quality requires the
approval of multiple layers of government. ITS projects for air quality must pass these numerous
filters for final approval, so the likelihood of successfully using ITS as TCMs, or funding ITS
with CMAQ money, is lower in the Los Angeles region.
* A diverse region
Although we have discussed the case of Los Angeles as a region, there are important differences
from county to county in their use of ITS for air quality. Indeed, in Los Angeles, the large
number of agencies, may have contributed to the range in ITS applications that are for air
quality. This range is also made possible by the large sum of CMAQ funding that is available in
the region, and the decentralized process by which those funds are programmed. In particular,
for the use of CMAQ funds for ITS, the county to county differences are evident. San
Bernardino, a rapidly growing inland county, used the funding for a large number of signal
coordination, connection, and synchronization efforts. Los Angeles County, on the other hand,
used CMAQ for ITS nearly exclusively in the area of transit improvements, including the
universal fare payment, communications equipments and AVL. Orange County, which has used
its CMAQ funding heavily for transit capital projects, had one ITS and air quality measure -
database development for rideshare matching. Therefore, our earlier discussion of the shift in
transportation and air quality policy away from freeway and toward transit and TDM, must also
be tempered by the fact that this is by no means a homogenous region. San Bernardino and
Riverside are facing major population growth pressure, and are not built out to the extent that
counties such as Orange and Los Angeles are. Therefore, where possible, they will push more
for ITS that can improve traffic flow and air quality, compared to their neighboring counties to
the west.
6.2.2.4 Conclusion
For the case of Los Angeles, the conditions also closely predicted the actual IIDAPT levels.
Although the average levels of IIDAPT are not as high as in Houston, there is a much larger
range, meaning that LA has experimented with ITS as a measure to improve air quality through a
variety of different approaches. The conditions that might have prevented LA from having
higher levels of IIDAPT, as predicted by the theory, was the difficulty faced in cooperation. Not
308
only is there a larger number of agencies, but air quality agencies are significantly stronger and
more directly involved in determining what transportation-based emissions reduction measures
will be implemented. Moreover, the views of ITS-based traffic flow improvements, particularly
for freeways, by the air quality agencies, has not always been positive. However, this large
number of agencies may also have generated room for more variety of experimentation with ITS
for air quality. This hypothesis will be explored below in Section 6.3.
As with the case of Houston, additional explanatory power can be derived 
from the theoretical
framework by looking at the interaction between the 
local context of transportation planning,
decisionmaking and investments, and mutual benefits (see Figure 6-1). Because of the
fundamental shift away from increasing capacity for private automobiles, as a new central tenet
in transportation and air quality planning in LA, we should not be surprised that organizations
have not found it in their best interests to support freeway ITS as a measure to improve air
quality, while transit ITS has been incorporated as an important air quality measure. LA has
pursued multiple lines of innovation in using ITS for transit and demand management as a
measure to support air quality improvements. Yet, these same trends mean that other
innovations, such as traffic signalization, freeway management, and freeway information
strategies, may have not been deployed with air quality goals as broadly as might have otherwise
been possible.
309
6.2.3 Boston
On the surface, Boston presents probably the most difficult of our five cases in terms of
predicting IIDAPT outcomes - precisely because it is a case in the middle. It does not have the
extreme or severe non-attainment status, such as Los Angeles and Houston, yet neither is it in
attainment with air quality standards, such as Orlando and Tulsa. It has congestion, but ranks
only as the 
2 1
st most congested city.
272 
Deployment of ITS is not high, but is not terribly low
either.
6.2.3.1 Conditions and Predicted IIDAPT in Boston
With a 1-hour ozone non-attainment designation of "only" serious, Boston has not had the same
pressures to reduce emissions from mobile sources as have cities such as Los Angeles and
Houston. Indeed, with the number of ozone 1-hour exceedances dropping steadily since the
1990s - and only one exceedance in both 2003 and 2004 - air quality itself has not been a highly
salient issue in the Boston region. Congestion and other transportation issues, on the other hand,
have been more visible, particularly nearing completion of the Central Artery/Tunnel Project, or
Big Dig.273,274 This might indicate mutual benefits to be gained from using the issue of air
quality to promote greater use of ITS for congestion mitigation. Also, given the funding
pressures that have been generated by the Big Dig, one would expect ITS to be an appealing,
low-cost investment alternative to improve congestion both around the Big Dig, and in other
parts of the system.
In terms of internal resources, the staff to the MPO, the Central Transportation Planning Staff
(CTPS), has approximately 60 analysts and planners. Most of these are transportation planners
and traffic and transit analysis, with fewer planners and analysts in the area of air quality. In
terms of dedicated resources, because of the designation of serious non-attainment, Boston does
not receive substantial levels of CMAQ funding, and can only fund a dozen or so projects during
a TIP cycle, even when many of those projects are bicycle projects that are generally cheaper
than other TCMs. This moderate level of internal and dedicated resources for improving air
quality through local transportation measures, indicates a lower capability to pursue innovation
with ITS for air quality purposes. Because of lower levels of CMAQ funding, we would also not
anticipate the same "pursuit" of CMAQ funds that is often seen in other cities where CMAQ is a
relatively more abundant source of funding for many non-highway capital and operations
projects.
The number of agencies involved is relatively more contained than other cities. For example, the
Boston Region MPO members include seven agencies, seven municipalities (the cities of Boston,
272 With a Travel Time Index of 1.34, Boston is closer to 
Orlando (1.30) than to Houston (1.42). Schrank, D. and T.
Lomax (2005). The 2005 Urban Mobility Report. College Station, TX, Texas Transportation Institute.
273 Boston has a travel time 
index of 1.34 for congestion.
274 We will use the terms Central Artery/Tunnel (CA/T) 
and the more common "Big Dig" interchangeably.
310
Everett, Newton and Salem, and the towns of Bedford, Hopkinton and Framingham)
275 
and a
public advisory council (the Regional Transportation Advisory Council). The MBTA is the
service provider of all major transit services in the Boston area. Therefore, cooperation would
not be as difficult to undertake as in more complex metropolitan areas.
Finally, there is a low level of new information regarding the air quality impacts of ITS.
Because there is no widely accepted methodology or approach for measuring the emission
reductions from such projects, most of the information developed has been done sporadically.
For the most recent CMAQ-funded projects, all calculations were done off-model, with the
exception of the Burgin Parkway project. There also does not seem to be a push from either
within government or other stakeholders to more rigorously assess the possible air quality
impacts of ITS from traffic flow improvements. This could be explained in part by the moderate
level of deployment of ITS in Boston, and the focus of public opinion on the Big Dig and the
completion of the transit agreements. But, in general, there appears to be a lack of interest
regarding how ITS can either reduce or increase emissions.
With these factors in mind, we would expect a much lower level of IIDAPT for ITS and air
quality than seen in Los Angeles or Houston. With a lower problem severity, and smaller pot of
CMAQ funds to access for ITS projects, there would be much less motivation to link the two
goals areas of mobility and air quality through strategic deployment of ITS than was the case for
Los Angeles and Houston. Also, the organizational capacity to link ITS and its air quality
benefits is more limited, with fewer air quality specialists on the staff of the MPO to analyze the
possible air quality impacts of ITS, and fewer resources (specifically, CMAQ funds) with which
to experiment with ITS as a measure for reducing emissions. Therefore, as seen in Table 6-12
below, the predicted IIDAPT levels are medium.
6.2.3.2 Actual IIDAPT in Boston
Indeed, the site visit, interviews and review of analyses and planning documents indicated that
IIDAPT was moderate. In terms of range, there were cases of IIDAPT for four out of the 
ten
application areas (see Table 6-10). The levels of innovativeness and cooperation, however, were
medium to low.
275 The City of Boston is the only permanent 
municipal member, while the other 
six representative municipalities are
elected each year.
311
Table 6-10 IIDAPT level and range for Boston
Representative
ITS application areas IIDAPT scale
technology
Arterial traffic flow improvements City of Boston 2.5
TMC
Traffic Operations
Freeway management strategies Traffic Operations 3
Center
Freeway traveler information SmarTraveler N/A
Transit information N/A
Multi-modal information - N/A
Transit operational improvements Signal priority 4
CharlieTicket /
Transit fare payment systems CharlieCard N/A
Online rideshare
Rideshare support O nline rideshre 2
matching
Demand management/pricing - N/A
Other applications N/A
Average level (0-6) 2.9
Range of IIDAPT (0-10) 4
While the average level and range are in accordance with what our theory would have predicted,
the intensity of use of ITS for air quality improvements is lower than expected (as seen in Table
6-11).
Table 6-11 Measures of IIDAPT for Boston
IIDAPT measures
Aggregate level 2.9
Range 4
Intensity (share of 2006-8 CMAQ projects) 1/13 8%
Intensity (share of 2006-8 CMAQ funding) $1.15 M / $47.17 M 2%
Intensity (share of 1996-8 CMAQ projects) 3/18 17%
Intensity (share of current TCM projects) 2/10 20%
For example, with current CMAQ funding for fiscal years 2006-2008, there 
is only one ITS
measure - expanded staffing of the City of Boston's Traffic Management 
Center. However, this
is one of the smallest programs in terms of funding. ITS only represents 
2% of all CMAQ
funding, with little over one million dollars of these federal dollars. Interestingly, 
this contrasts
with earlier years where CMAQ funding was used more widely for 
traffic flow improvement
projects such as incident management, motorist assistance, and the traffic 
operations center.
Indeed, these projects also provided a nontrivial share 
of the emissions reductions from all
CMAQ projects (see Chapter 5). Early IIDAPT was more focused on freeway management,
incident management, and motorist assistant patrol, for example, 
building on the Traffic
Operations Center as laid out in the 1994 ITS Strategic Plan for Boston.
276 
However, as progress
was slow on the deployment of the Strategic Plan, there 
was a shift in CMAQ funding toward
276 Anne McGahan. "CMAQ Project Analysis of the 1996-1998 MPO TIP," Letter to Dan Beagan, BTP&D, August
21, 1995.
312
more scaled-down and short-term projects.
2 77 
Compared to the mid-1990s, when CMAQ was
used more liberally for ITS-based traffic flow improvements, there is currently little to no usage
of ITS in this manner, with the exception of the City of Boston's TCM. This decline in the use
of ITS for emission mitigation is somewhat counterintuitive, as one might have considered ITS
as an attractive, low-cost means to mitigate congestion in other parts of the Boston region,
particularly given the financial constraints caused by the Big Dig.
For assessing the current level of participation of ITS as a measure to improve air quality, we
look beyond CMAQ, to the transportation control measures, using as a reference the 2005
Transit Commitments Status Report. Including the Urban Ring, expansion of Silver Line
Service, and Signal Prioritization - all of which 
would rely heavily on elements such as AVL,
transit signal priority, in-vehicle communication units and computer-aided dispatch, in-vehicle
public announcement/variable message systems, and electronic fare payment - we find that three
of the ten transit commitments in the 
report are ITS-based or ITS-enhanced measures.
278
However, we do not include the Urban Ring in our measure of IIDAPT intensity, as this project
is still in the early stages of environmental review. Therefore, for the intensity of use of 
ITS for
air quality purposes, we therefore find an IIDAPT intensity of 20% for these SIP transit
commitments.
Therefore, perhaps the more important issue than the level and intensity of IIDAPT in Boston, is
the variation across modes, and how this has changed over the years. More recently, 
the projects
that use ITS as a supporting measure for improving air quality are predominantly transit projects,
whereas there has been little effort to use ITS-based traffic flow improvements as air quality
measures.
6.2.3.3 Comparison and Discussion
The conditions in Boston would predict a medium level of IIDAPT in Boston. Indeed, 
that is
what was observed. Therefore, our theory also worked well for the case of Boston in terms of
overall IIDAPT levels. Yet, given that the congestion problem is comparatively more 
important
than the air quality problem, we might have expected more focus 
on ITS-based traffic
management and traffic flow improvements for air quality. While we did see some evidence of
this in early CMAQ funding patterns, more recently the majority of IIDAPT has been 
oriented
toward improving transit service, specifically, bus service, as transportation control 
measures.
277 Indeed, although CMAQ funding 
was used for the Traffic Operations 
Center, and emissions estimates 
were based
upon for the full deployment of the year 2000 plan (213 kg/day for VOC, and 32 kg/day for NOx), 
full deployment
was never actually reached.
278 We could also consider the Orange 
Line Improvements, which are primarily 
improvements in signalization for
the Orange Line trains. However, because rail communications are not typically 
considered part of the ITS
taxonomy, we will not include it in our measure of intensity.
313
Table 6-12 Comparison of predicted and actual outcomes in Boston
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - med Summary: MEDIUM Summary: MEDIUM (2.3)
2. Internal resources - med Average level * range * intensity
3. Dedicated resources -med * Innovation - med 2.9 * 4 * .20 = 2.3
4. Cost - low * Cooperation - med
5. Mutual benefits - med * Assessment - low Description:
6. Number of agencies - med * Adaptation - low Little IIDAPT for traffic
7. New information - low management on arterials or
freeways. Medium IIDAPT for
planned transit projects.
Quantitative measures:
* Average level: 2.9
* Range: 4
* Intensity:
(2006-8)
8% of CMAQprojects
2% of CMAQ dollars
(1996-8)
17% of CMAQ projects
(current)
20% of SIP/transit commitments
There are essentially two different stories to be told in terms of Boston's IIDAPT 
experience.
The first story relates to how Boston allocates its CMAQ funding. The second story relates to
how it plans, negotiates, modifies, delays and implements its transportation control measures,
particularly, the SIP transit mitigation agreements related to the CA/T. Yet, while there are two
different dynamics at work, the outcomes in both cases are the product of how the Big Dig 
has
critically shaped the environment for transportation and air quality planning in the 
Boston region.
* Funding pressures and the CMAQ pot
Looking at the CMAQ funding category, we ask whether this has served either as an enabler 
or
motivator of IIDAPT for ITS and air quality, as theory would predict. One 
interviewee
suggested that because the "demand [for funding] is so great, for traditional 
transportation
projects, that if there wasn't the CMAQ program or enhancement categories, [ITS projects]
would be a lower priority, it wouldn't be a high priority to fund them" (MBTA interview, 
2005).
From this statement, it might seem that CMAQ has been an important 
source of funding for
projects such as bicycle and pedestrian facilities, demand management projects, ITS 
operational
improvements and other enhancements and operational improvements. Yet, in the 
case of
Boston, even the more "protected" CMAQ funding was subject to major inroads by traditional
transportation projects, being used for projects that at times seem to barely meet 
the requirements
for non-SOV increasing projects, pushing the limits of the 
category of traffic flow
314
improvements.279 Indeed, in the TIP for fiscal years 2004-2006, $13.7 million of CMAQ funds
were actually directly designated to the CA/T project, with only $2 million going to projects such
as demand management programs and transit shuttles. A more recent example is the Burgin
Parkway project, a major interchange reconstruction project south of Boston in Quincy.
Although ultimately supporting the project and its inclusion in the TIP, several members of the
Regional Transportation Advisory Council expressed strong concerns regarding the selection
process for this project, suggesting that CMAQ eligibility and project readiness had "taken
precedence over its evaluation ratings." This project represents $14.4 million of the $37.3
million in CMAQ funds to the region.
As a result of the funding pressures created by the Central Artery/Tunnel project, Boston
exemplifies the situation that occurs when there is little "slack" in resources, even where 
slack
has intentionally been created. It also represents the situation in which the problem - air quality
- is not severe enough to serve as a check on the possible misuse of dedicated CMAQ 
funds.
Indeed, because Boston was expecting to come into attainment in large part due to reduction of
NOx from upwind sources in New York, New Jersey, Connecticut, and other states, the air
quality agencies did not have the incentive to push the use of CMAQ funds toward transportation
control measures or other CMAQ-eligible programs for reducing emissions from mobile sources.
* Modifying the Transit 
Commitments
The other story is that of the transit commitments. While this apparent misuse
280 
of CMAQ
funds has largely passed by the public without much notice, the SIP transit agreements that were
established as a condition of the Conservation Law Foundation (CLF) agreeing not to litigate the
CA/T, have been a source of continuous controversy. Boston's history of transportation control
measures for air quality has followed a slightly different path than Houston or Los Angeles.
While for Los Angeles and Houston, the substitution of TCMs is basically a matter of
negotiation with the state air agency and EPA, in the case of Boston, the substitution of TCMs
(particularly, the CA/T transit agreements) is an issue of local negotiation with interested and
often highly mobilized stakeholders. While air quality benefits are part of the issue, and indeed
were the basis for the original threats of litigation (and for later instances of litigation), it is not
the most important consideration, at least for the proponents of the measures contained in the
transit agreements. Their concern is based in securing the transit benefits that were promised to
them as a condition of moving forward with the Big Dig. The transit agreements for air quality
mitigation, necessary to secure CLF's support of the Central Artery/Tunnel project, have thus
shaped many transportation decisions, and as a consequence, important ITS decisions.
279 Boston is not the only city that 
has included traffic flow improvement 
projects that could be almost considered
capacity-expansion. Indeed, some ITS improvements could fall within this category. For example, critics in
Houston consider many of the CMAQ-funded ITS-based traffic flow improvement projects to be merely part of
larger highway capacity expansions.
280 We use this term with respect 
to the question of whether the 
use of these funds has complied 
with the
congressional intent of the establishment of the CMAQ program.
315
A concrete example of the interplay between air quality and ITS in the CA/T transit agreements,
is the restoration of Arborway trolley service to the Jamaica Plain neighborhood. As discussed
in Chapter 5, the EOT and MBTA have attempted to remove this project from the list of the
transit commitments, substituting for it with projects promising higher air quality benefits and
lower costs. In the meantime, new articulated buses have been introduced along bus route 39 (in
the fall of 2003), which serves Jamaica Plan from Forest Hills T-station to Copley and Back Bay
station. The MBTA has attempted to improve schedule adherence and reliability on this route,
the most heavily utilized bus route in the MBTA system. One of the proposed projects for 2006,
is a planning study for the Arborway corridor, to identify transit signal priority strategies that
could further improve service of the 39 bus, and estimate the impacts on both bus passengers and
general traffic.
281 
This system would use GPS and in-vehicle units to automatically request
priority from the MBTA Bus Control Center, if the bus is behind schedule by a designated
amount of time.
By analyzing the interests of the different organizations regarding the alternatives for the
Arborway corridor, we will see that there are strong mutual benefits from the use of transit ITS
in response to the CA/T transit mitigation agreements. Our purpose here is not to evaluate which
system would better improve both mobility and air quality. Instead, we want to understand the
interests of the various organizations and actors, and assess how the interplay of these interests
may align in ways that promote greater usage of ITS as a way to generate air quality benefits.
The key player is the MBTA, which has been delaying the Arborway trolley restoration on the
grounds that it is infeasible, and attempting to compensate with other forms of transit service
using newer and lower-emitting articulated CNG buses on the 39 bus route and equipping those
buses with advanced technology with the possibility of signal priority in the future. The MBTA
essentially wants flexibility in revisiting and substituting for the original transit agreements, and
in developing a new plan that according the MBTA's estimates "costs less than the state would
have to pay to fulfill the original agreement, serves almost twice the number of commuters, and
has double the air quality benefits."282 In addition, the MBTA has an interest in further
promoting the shift toward rapid transit services that utilize 
ITS - having already wagered on the
viability of BRT-type services through its highly publicized deployment of the Silver Line. Its
commitment toward ITS-type systems is also reflected in the MBTA's current emphasis on its
deployment of automated fare collection (the CharlieTicket and CharlieCard)
283 
and
expansion/interconnection of the Silver Line. Even for longer-term projects that are still in the
early planning stages, such as the Urban Ring, the concept is also a BRT-type service.
Therefore, the MBTA has a incentive to continue to argue and lobby for BRT-type services,
rather than promote trolley services. While a ITS-enhanced service for the 39 bus would fit in
well with the MBTA's general thrust toward both improved bus service, the agency also walks a
fine line in that they cannot appear to be blatantly reneging on earlier commitments. The
281 Signal priority is already in place for some 
intersections along the Silver Line.
282 "State Proposes Changes to SIP Transit Mitigation Plans." TRANSReport. 
Boston Region Metropolitan Planning
Organization. June 2005. www.ctps.org/bostonmpo/resources/trans.htm. Last accessed March 29, 2006.
283 At the 11" Annual Meeting of ITS Massachusetts in May 
2006, the emphasis on this new initiative was
underscored by the title of the presentation, "The Year of Charlie," given by Joshua Martiesian of the MBTA.
316
MBTA's preferences also align with the interests of the state-level Executive Office of
Transportation (EOT), which has advocated a move toward "objective criteria" in evaluating
transit and transportation incentives.
284 
The EOT considers transit and other investments from a
broader systems and forward-looking perspective, but also with a tendency not to defer as much
to earlier commitments made by previous administrations to specific communities.
Another important actor in the case of the Arborway 
trolley restoration versus BRT-type service,
is the Boston Transportation Department. Their primary concerns arise from the potential traffic
impacts from restoring trolley services to the corridor, and maintaining the corridor's "existing
functions" of emergency vehicle access, deliveries to local businesses, parking, traffic circulation
and pedestrian and bicycle safety (Boston Transportation Department 2003, p 33). Therefore,
BTD has an incentive to work with the MBTA on signal priority along the corridor - rather than
the other, possibly more complex traffic mitigation measures that might be necessary in order to
maintain general traffic flows and vehicle access with a restored trolley line - even though the
City is generally extremely cautious about expanding transit priority because of possible impacts
on general traffic.
In addition to the governmental agencies involved in the trolley restoration process, are, of
course, the stakeholders involved in the process. The Conservation Law Foundation (CLF) - as
the original architect of the CA/T transit mitigation commitments - is the most visible actor.
CLF has continued to threaten the aforementioned agencies and others in an attempt to keep the
commitments on track.
2 85 
Other local groups that have organized in response to the transit
commitments are represented by the Arborway Committee (for trolley restoration) and Better
Transit Without Trolleys (BTWT) (against trolley restoration and for substitution by better bus
service, as the name suggests).
286 
While the Arborway Committee and CLF continue to press of
the original trolley agreements, BTWT advocates an approach more congruent with that of the
MBTA. Although BTWT suggests a broad range of service improvements, many of their
recommendations include the use of ITS.
Finally, the Department of Environmental Protection (DEP) has had the responsibility 
of
determining whether the trolley restoration is, in fact, infeasible, which would essentially release
the MBTA from their legal obligation to implement this project. DEP has the legal commitment
to follow-up on the implementation of the SIP transit agreements. But, from the viewpoint 
of air
quality, demonstrating actual attainment of the air quality standards depends more on reduction
of NOx from upwind industrial sources and from the introduction of cleaner vehicles into the
fleet, than it depends on any TCM-type projects.
Therefore, the use of ITS to support an improved service for the route 39 bus provides an
interesting example of the proposed use of ITS to essentially shelve the commitment to 
restore
the Arborway trolley service. We are not casting judgment here on which project 
would be
284 In Chapter 5, we 
discuss this concept of 
"objective criteria."
285 In somewhat ironic twist, in 
the most recent litigation, the 
second defendant in the lawsuit was 
former CLF-
president Douglas Foy, in his official capacity as Secretary of the Office for Commonwealth 
Development.
6 The positions of these two organizations 
can be reviewed at their respective 
websites: The Arborway Committee
at www.arborway.net/lrv/ and Better Transit Without Trolleys at www.btwt.org. Last accessed March 
29, 2006.
317
preferable either in terms of air quality, mobility or even environmental justice. Instead, we are
explaining the factors that determine how interests line up in favor of one option as opposed to
another. Given how the interests of the key organizations are lined up in favor of a more ITS-
intensive route 39 bus, instead of the trolley restoration, trolley restoration would seem unlikely.
N Making the case for 
the Big Dig
Finally, we review the use of ITS for better management of highway and arterials traffic flows.
As suggested by the ITS indicators, the Boston Region has ranked only medium in the overall
use of ITS. The site visit also revealed that ITS deployment has been slow for freeway and
arterial management, and that there has been very limited use of ITS for improving air quality
through traffic flow improvements. Early CMAQ funding was used for applications such as
incident management and Traffic Operations Centers (typically referred to now as Transportation
Management Centers). However, the more recent trend has been to include traffic improvements
from physical infrastructure improvements, not from better operations and management.
Although one might suggest funding issues, some interviewees stated that funding was not a
reason for the low levels of ITS implementation in Boston.
Returning again to the issue of the Big Dig, and its impacts on transportation policy in Boston,
we can suggest another possible reason, again, looking at the interests of the key actors. Given
the conflict and controversy that the CA/T and its rising costs have created, MassPike and
MassHighway both have vested interests in having the public and the federal government see the
project as a success. ITS elements are heavily incorporated into the CA/T to ensure its effective
operation once fully complete. There is clearly a "buy-in" or recognition of the value of ITS in
ensuring the effective capacity of a major highway. Therefore, it appears inconsistent that ITS
has not been more widely deployed throughout the rest of the transportation network as a low
cost option to manage congestion. Indeed, 2004 data for deployment indicated that only 20% of
freeway miles in the Boston area had real-time traffic data collection technologies, compared to
the national average of 35%. With the agencies locked into a massive traditional infrastructure
capacity expansion, they might not have had a strong interest in also focusing on ITS as a
possible alternative to improve effective capacity and increase the reliability of travel time at a
lower cost.
6.2.3.4 Conclusion
These two examples provide an interesting contrast between the use of ITS to support air quality
improvements through better transportation operations and management - both for transit and
traffic - versus more traditional capital infrastructure investments. The agencies responsible for
implementing the transit air quality commitments have an interest in demonstrating the viability
of ITS as a lower-cost investment to expand and improve transit service in the region, rather than
what they consider to be infeasible capital-intensive transit projects. On the traffic side, the
opposite has occurred. There seems to be little effort in stressing the use of ITS as a lower-cost
congestion mitigation tool for freeway and arterial traffic. This may be due to early problems in
the deployment of the elements of the 1994 Strategic Plan, as legacy issues and the resolution of
technical problems with some of the early deployments would hinder later deployments, and
318
make air quality planners more wary in incorporating them into CMAQ funding or as TCMs.
Yet, it could also reflect an interest on the part of MassHighway, the EOT, and MassPort in
highlighting the role of ITS as an important enhancement for new capacity projects (such as the
CA/T), but not as an alternative to capacity expansion. Again, mutual interests, defined and
shaped by the local context and the history of transportation investments and decisions, have a
major impact on IIDAPT outcomes.
319
6.2.4 Orlando
Orlando was chosen as a case study because of the absence of major air quality problems, but
very high levels of ITS deployment. It was intended to provide a point of comparison with
Houston, in that Orlando has similarly high levels of ITS deployment, indeed, among the highest
in the US, albeit scaled to a much smaller metropolitan area (for example, fewer highway and
arterial lanes miles, signalized intersections, etc). It can also be juxtaposed with the case of
Tulsa, which also was in attainment with the 1-hour ozone standard, but had some of the lowest
levels of ITS deployment in the nation. Therefore, the underlying question for the case of
Orlando, was whether in a city with substantial experience with advanced ITS deployment,
organizations would also experiment with ITS for the purposes of reducing emissions, in the
absence of a major air quality problem.
6.2.4.1 Conditions and Predicted IIDAPT in Orlando
With its overall low level of emissions and atmospheric conditions that are favorable to
maintaining good air quality, Orlando does not have serious air quality problems. The area has
been in attainment of ozone, and does not appear to be in danger of going out of attainment in the
near future. The MPO, Metroplan Orlando, has worked to keep the discussion on air quality
issues active, and has looked toward Atlanta as an example of the failure to address air quality
problems and the risks to transportation investments that situation can pose. However, without
the regulatory requirements of conformity and therefore having to identify local transportation
control measures, there are no concrete mutual benefits for agencies to couple ITS with air
quality benefits.
As a small-medium size metropolitan area, Orlando has a moderate number of agencies actively
involved in ITS deployment. In addition to the state DOT, transit agency, the City of Orlando
and three counties (but specifically, Orange and Seminole County) deploy and operate ITS
technologies. The MPO, Metroplan Orlando, has also become involved in fostering not only
metropolitan level planning, but also regional transportation operations. Yet, the number of
agencies is still manageable from the viewpoint of cooperation. Interviewees at the Orlando-
Orange County Expressway Authority (OOCEA), referring to their ability to coordinate actions
among various agencies to experiment with technologies such as intermodal Smart Cards,
suggested that:
"Orlando is unique in its size. It has the resources to do these things, but we don't have
the conglomeration of agencies and jurisdictions that some of the larger cities do"
(OOCEA interview, 2005).287
This also brings us to the issue of internal resources. The staff of Metroplan is of small to
moderate size, with approximately 20 full-time staff members. Although no conformity
demonstration was actually required of Orlando, the long-range transportation plan does include
287 Specifically, the quote was in reference to the "ORANGES" 
demonstration project to test the technical and
organizational viability of an intermodal smart card for payment of expressway tolls, parking, and transit fares.
320
an assessment of the impact of the plan on regional emissions. This points to the presence of
MPO staff capable of doing some of the emissions modeling, even if not with the depth that
would be required for a full transportation conformity analyses. For ITS deployment, there is a
high level of internal resources for most of the major agencies, including the city and counties.
Seminole County, for example, undertook many of their ITS activities using in-house staff rather
than contracting out, allowing them to develop a substantial knowledge base and experience with
ITS.
The area had a moderate level of dedicated resources for ITS, by creating set-asides from the
STP funding category for ITS and other non-highway projects. Orlando also has dedicated
resources for ITS deployments through federal grants, for deployments such as iFlorida and for
earlier field operational tests such as TravTek. Yet, because the Orlando was in attainment, they
received no CMAQ funding. Therefore, dedicated resources for ITS projects that could be
shown to have an air quality benefit, were nonexistent.
There have been numerous studies looking at the air quality impacts of ITS deployments in
Florida, namely by faculty at the University of Central Florida. In Orlando, there are several
faculty from Civil and Environmental Engineering at 
UCF, who have worked on simulations,
modeling and assessments for projects under contract to Florida DOT, OOCEA, and at times to
LYNX, the cities and counties. Some of these assessments have included air quality impacts.
Researchers from UCF were also responsible for the development of the region's emissions
inventory, as discussed in Chapter 5. Therefore, with new information emerging on the air
quality impacts of ITS, we would predict that there would be some adaptation of those
deployments.
6.2.4.2 Actual IIDAPT in Orlando
In the absence of a non-attainment designation and CMAQ program funding, the motivation to
actively use ITS to meet air quality objectives has been quite limited. Our conditions, looking at
Table 6-14, predicted a very low level of IIDAPT. Indeed, what was found was that there was
actually no IIDAPT according to our criteria, as shown in Appendix E, and summarized below in
Table 6-13.
Table 6-13 Measures of IIDAPT for Orlando
IIDAPT measures
Average level 0
Range 0
Intensity 0 0
While there have been some studies of the air quality impacts of Orlando's ITS deployments -
electronic toll collection and in-vehicle navigation - the focus was primarily on mobility
improvements, travel time savings, and delay reduction. 
Air quality impacts, where assessed,
were secondary considerations, and there appears to be no real adaptation of those deployments
to improve the air quality outcomes of ITS.
321
6.2.4.3 Comparison and Discussion
The results of the Orlando case study were interesting in that they highlighted that having non-
attainment status, or even facing a real possibility of falling into non-attainment (as was 
the
situation with Tulsa) is an important condition for experimentation 
with ITS for air quality
improvements. It answers our question posed earlier: in a city with substantial experience 
with
advanced ITS deployment, would organizations also experiment with ITS for the purposes 
of
reducing emissions, in the absence of a major air quality problem? 
The answer for Orlando was
no. This affirms the central importance of the severity of the problem 
as a condition leading to
innovation. Although Orlando had many of the conditions that could have lead 
to extensive use
of ITS for air quality - ease of cooperation because of a manageable number 
of agencies, strong
internal resources, and dedicated resources for ITS (although not 
necessarily for air quality
purposes) - in the absence of the federal requirements for transportation 
conformity, no
innovation was undertaken for reducing emissions through ITS.
Table 6-14 Comparison of predicted and actual outcomes in Orlando
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - none Summary: VERY LOW Summary: NONE (0)
2. Internal resources - med
3. Dedicated resources - none * Innovation - none Description:
4. Cost - low * Cooperation - low No examples of IIDAPT. Some
5. Mutual benefits - none * Assessment - low assessment, but no 
deployment or
6. Number of agencies - med * Adaptation - low adaptation of ITS for air quality
7. New information - med purposes.
Quantitative measures:
* Average level: 0
* Range: 0
* Intensity: 0%
Assessments were undertaken for TravTek and E-Pass (described both 
in Chapter 5 and Chapter
2). However, in the case of TravTek, the focus was more on using 
Orlando as a test bed for
analyzing air quality impacts of an advanced ITS deployment, 
and did not appear to have the
intention of supporting actual decisionmaking in Orlando regarding 
the broader deployment of
those technologies. Not surprisingly, there was no adaptation to this 
information. The case of E-
Pass was different. Measurement of emissions changes from 
ETC was included as part of a
broader study to evaluate the benefits of the deployment of automated 
vehicle identification for
toll payment at the OOCEA plazas and on/off ramps. Although 
the emissions study by UCF
found that NOx increased substantially (34%) due to higher speeds, 
while HC and CO declined
(7%), OOCEA selectively used the results of the study 
to defend their environmental and air
quality record.
322
6.2.4.4 Conclusion
Therefore, the case of Orlando highlighted that experience in technology deployment, and
relatively easy cooperation between a limited number of agencies involved both in transportation
and air quality, is not enough. In the absence of a pressing problem, there is no motivation and
no mutual benefits to make explicit linkages between ITS deployments and air quality, or to
innovate with existing ITS applications for possible emissions reductions. Although this is a
straightforward conclusion, it is important to underscore that without the regulatory impetus for
addressing a problem, it is difficult to pursue innovative "solutions," even if the institutional
capacity to do so is there. Although agencies such as Metroplan are forward-looking,
anticipating that continued growth, such as that seen in Atlanta, could lead to future problems in
maintaining healthy air, there is no concrete benefit to the transportation agencies for looking for
the air quality benefits of ITS, as of yet.
323
6.2.5 Tulsa
Our final case study city, Tulsa, Oklahoma, was chosen because it was anticipated to have some
of the lowest levels of IIDAPT for ITS and air quality. In this manner, it would represent the
other end of the spectrum from the case of Los Angeles, a megacity with a history of struggling
with both air pollution and congestion.
6.2.5.1 Conditions and Predicted IIDAPT in Tulsa
Tulsa and Orlando were both chosen in part because they are in attainment of all national air
quality standards. Tulsa was a slightly different case from Orlando, however, in terms of air
quality, because it faced a possible non-attainment designation under the new 8-hour ozone
standard coming into effect. Yet, when non-attainment designations for 8-hour ozone were made
in June 2005, Tulsa was still in attainment. Congestion levels in Tulsa are among the lowest in
the nation (ranking 64 of 85 metropolitan areas surveyed), and the site visit and interviews
confirmed the mild congestion in the area. Therefore, problem severity, for both air quality and
congestion, is low.
The internal resources of Tulsa were small, not surprising given the size of the metropolitan area,
at less than 900,000 residents. In terms of CMAQ funding, the Tulsa metropolitan area did
indeed receive some of these funds from ODOT, through the minimum apportionment
guaranteed to each state. However, they cannot be considered as dedicated resources in the same
manner as CMAQ funds going to non-attainment areas, since they can be used in the same
manner as regular Surface Transportation Program (STP) funds, without the requirement to show
emissions reductions from these projects.
During the 1990s and until now, there has been no need for Tulsa to meet transportation
conformity requirements, given its attainment status. Therefore, the mutual benefits that would
result from identifying ITS measures that improve air quality, are theoretically smaller than in
non-attainment areas. However, there have been pressures for Tulsa to begin to prepare for a
possible non-attainment designation, and the conformity requirements that would result. The
number of organizations actively working in the areas of ITS and air quality is small, and is
limited to ODEQ, the City of Tulsa (including Tulsa Transit), County of Tulsa, ODOT, and
INCOG.
One would expect low levels of innovation, due to the relatively minor air quality problem in
Tulsa, the low level of internal resources for transportation operations and air quality
management, the lack of dedicated resources for either ITS or transportation projects with a
specific focus on air quality, and the low level of experience in innovating with ITS. Of all the
cities, Tulsa had the least experience with ITS of our five cities, as shown by its levels of
deployment at 10% according to the ITS summary indicator described in Chapter 5. Indeed, as
noted by planners at the MPO (Indian Nations Council of Governments, or INCOG), the FHWA
has specifically targeted Tulsa as one of the cities that was furthest behind in ITS deployment.
Cooperation, on the other hand, would be easier among the limited number of 
organizations
324
working in the area of air quality and transportation. Yet, because Tulsa was not required to
meet transportation conformity requirements, including developing transportation control
measures for a SIP, one would expect low mutual benefits to be gained from applying ITS to the
problem of air quality.
In terms of assessment and adaptation, the conditions would predict very little of either. The
case study site visits, interviews and literature did not uncover many studies or evaluations of the
air quality impacts of ITS. In part, the low level of ITS deployment can explain this absence of
evaluation.
6.2.5.2 Actual IIDAPT in Tulsa
Despite the prediction of very little or no IIDAPT, the site visit uncovered some innovative uses
of ITS for air quality purposes. Indeed, some of these programs have been recognized at the
national level as innovative approaches for managing ozone - episodic ozone events in
particular. Like Orlando, we cannot turn to the state implementation plans (SIPs) or lists of
CMAQ-funded projects to locate potential cases of IIDAPT for ITS and air quality. Instead, for
Tulsa we will look at two sources of data: the transportation and air quality programs managed
by INCOG (Ozone Alert! and RideShare) and the measures included in Tulsa's Early Action
Compact (EAC).
Looking at Table 6-15, we have three technologies that are considered as IIDAPT: (1) 
traffic
signalization projects for the EAC, (2) online matching for RideShare, and (3) the use of variable
message signs (VMS) for the Ozone Alert! program.
Table 6-15 IIDAPT level and range in Tulsa
ITS application areas Representative IIDAPT scale
ITSpplcatonrea technology
Arterial traffic flow improvements EAC signalization 2.5
Freeway management strategies N/A
Freeway traveler information N/A
Transit information N/A
Multi-modal information N/A
Transit operational improvements N/A
Transit fare payment systems N/A
Rideshare support Online Match 2
Demand management/pricing N/A
Other applications Ozone Alert! VMS 4.5
Average level (0-6) 3
Range of IIDAPT (0-10) 3
Of these programs, the most innovative was the use of VMS for Ozone Alert! days 
(scoring 4.5
of 6). First, there was a high level of active cooperation in both the planning and operation 
of the
system. Although this is only an episodic measure, meaning that it does not require 
daily
interaction between agencies, when an Ozone Alert! is called by ODEQ and the 
Tulsa/County
Health Department, there is immediate action from INCOG and from ODOT 
operators who
activate the system for the VMS alerts. This program is also considered 
innovative - both by
325
officials in Tulsa, and by the EPA, which highlighted the program
288 
- in that it was the first area
in the nation to institute an Ozone Alert! for control of ozone episodes. We add that there is
further innovation in that VMS is used to inform drivers of those alerts.
The online matching for RideShare had some novelty in the use of new software available to
match riders. RideShare is somewhat different from other cities, in that the main benefits are air
quality benefits, with very little focus on the possible congestion benefits. There are no travel
time advantages from carpooling, since there are no HOV lanes in the Tulsa area. There is some
cooperation, in that INCOG, which manages the program, by its very nature is a cooperative
organization.
Although the traffic signalization projects were included in the EAC, they were not highly
innovative technologically or in the adaptation to multiple policy goals. But, it was somewhat
novel from the viewpoint that these were preventative measures (through the EAC) to avoid
going out of attainment by reducing emissions through better operation of the traffic network,
rather than physical capital investments (which represented the majority of the other measures in
the EAC).
With all three cases of IIDAPT, there has been little assessment and no adaptation of the
programs. Evaluation of the traffic signalization improvements were necessary as a condition for
inclusion in the EAC. However, the quality of the assessment is uncertain, as the analysis by the
consultants was not available for review. On the other hand, according to the case study
developed by the EPA, there was work with an advisory group to prepare protocols to quantify
the impacts of the Ozone Alert! program.
6.2.5.3 Comparison and Discussion
Tulsa was therefore somewhat of a surprise in terms of expected levels of IIDAPT and actual
outcomes. Although Tulsa was designated as attainment in 1991 and remained in attainment
even under the 8-hour ozone standard, Tulsa's limited ITS infrastructure has been used in small-
scale but rather innovative ways to also promote air quality goals, such as the use of VMS to post
information on Ozone Alert! days.
288 See www.epa.gov/oar/recipes/ozalert.html. Last 
accessed March 20, 2006.
326
Table 6-16 Comparison of predicted and
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - low Summary: LOW to Summary: MEDIUM (2.3)
2. Internal resources - low MEDIUM Average level * range * intensity
3. Dedicated resources - low 3 * 3 * .26 = 2.3
4. Cost - low * 
Innovation - low
5. Mutual benefits - med * Cooperation - med Description:
6. Number of agencies - low * Assessment - low Small-scale uses of ITS for air
7. New information - low * Adaptation - low quality purposes, from low IIDAPT
(traffic signals, rideshare matching)
to high IIDAPT (Ozone Alerts! on
VMS)
Quantitative measures:
* Average level: 3
* Range: 3
Intensity: 26% ofmeasures in
Early Action Compact
In Table 6-16, we see that predicted levels of innovation were 
low, while levels of cooperation
were anticipated to be medium. In contrast, higher levels 
of innovation occurred in Tulsa (with
an average IIDAPT level of 3), with the inclusion of traffic 
signalization improvements in the
EAC, online matching for ridesharing, and, the Ozone 
Alert! program's use of variable message
signs. Above all, the innovativeness of the Ozone 
Alert! program is substantially higher than
one might have expected given the seven conditions. 
We note that the innovation was more of an
operational than a technological innovation. Although 
variable message signs are not an
innovation per se, using VMS to disseminate air quality 
information and provide information to
the public regarding voluntary measures to deal with 
a limited number of high ozone days, is an
innovative approach, and well tailored to the episodic 
nature of the ozone problem in Tulsa.
Therefore, the fact that Tulsa responded to the 
issue of air quality by using some ITS
applications, while Orlando did not, even through 
they are both attainment areas, leads one to
consider the definition of problem severity in 
more depth. Tulsa has been in attainment with
ozone standards under the 1990 CAAA. However, 
as the new 8-hour ozone standard was
coming into force, Tulsa faced the possibility 
of falling out of attainment, and thus being subject
to the requirements for conformity, which would 
mean performing conformity analysis on 
long-
range transportation plans, developing mobile source 
budgets, implementing TCMs, and so on.
This caused a brief surge of activity in considering 
options for reducing transportation-related
emissions, modeling air quality trends, and creating 
the EAC, incorporating a modest number of
traffic signalization improvements and other 
traffic flow improvement projects, as 
a safeguard
against a nonattainment designation. While 
not highly innovative projects, this example
illustrates that the "problem" for the city was not 
what its air quality monitors were measuring or
the health impacts of ozone, but the consequences 
that falling into a non-attainment category
327
actual outcomes in Tulsa
would have for Tulsa. Indeed, this confirms the use of attainment status as a measure of problem
severity.
According to Jerry Lasker, Executive Director of INCOG, during the May 2003 Senate
Hearings
2 89 
on the CMAQ program and transportation conformity requirements in TEA-21, there
were three reasons why they entered into the EAC in order to avoid a non-attainment
designation. First, were concerns about the health impacts of ozone. Second, was the "stigma"
associated with being on the "EPA's Dirty Air List" and the possible economic repercussions.
Third, were the difficulties in having to meet the requirements of transportation conformity
demonstrations. "We have never done conformity, but we had heard that it takes a lot of work
and... it is not any fun" (Government Printing Office 2004). Therefore, this could explain why
Tulsa has had some success in small-scale IIDAPT despite the apparent lack of a "problem,"
defined narrowly as Tulsa's attainment designation. This burst of activity mirrors what occurred
in 1991, when two exceedances of the 1-hour ozone standard threatened to push Tulsa into non-
attainment status. According to Lasker, the Ozone Alert! program was implemented shortly after
those exceedances: "we developed a program in 2 weeks ... the fastest I have ever seen
Government act" (Government Printing Office 2004).
In the development of the EAC for 8-hour ozone levels, traffic signal system improvements were
also used as a near-term measure for air quality improvements. Makler and Howitt suggest that
the EAC has served more as a buffer against conformity than actually taking real steps to prepare
for conformity, and therefore, if conformity is eventually required, Tulsa will most likely be
"comparatively under-prepared" (Makler and Howitt 
2003). Nonetheless, given that Tulsa's
ozone problem is not persistent - with only episodic exceedances of the standard - and the
growth rates in the city are low, a flexible, voluntary approach taken with consent and support of
the business community seems appropriate to Tulsa's circumstances. Furthermore, as suggested
by a planner at ODEQ, in the absence of a major ozone problem it is difficult to justify spending
significant resources to both analyze it and solve it (ODEQ interview, 2005).
This definition of Tulsa's problem also leads us to reconsider the mutual benefits that the
agencies in Tulsa can achieve. The mutual benefits in non-attainment cities, particularly in
severe or extreme areas, can be often defined, for example, as meeting conformity requirements
in the least difficult manner, identifying TCMs that support organizational interests for preferred
transportation investments, and accessing CMAQ funding for ITS deployments. In 
Tulsa, the
benefits of programs such as Ozone Alert!, ridesharing, and EAC measures are that they
provided a way to avoid the non-attainment designation, and in way that would have relatively
low costs and low controversy. For INCOG, they found benefits in avoiding the conformity
process that would have significantly increased their administrative burden. As a small MPO,
they did not feel prepared to take on the requirements of transportation conformity. In fact,
interviewees from INCOG stated that they would prefer to say in attainment, even if it meant
289 Although it may seem unusual that a representative from Tulsa would appear at the Senate 
Hearings on
transportation conformity and CMAQ (and not, say, representatives from California, Texas or New 
York), can be
explained by the fact that the Chairman of the Committee on Environment and Public Works is James M. Inhofe,
Senator from Oklahoma (and from Tulsa).
328
giving up increased funding possibilities through CMAQ. For ODOT, which also had the
incentive of avoiding facing the conformity requirements that could potentially challenge some
of their transportation expansion plans, Ozone Alert! and the projects included in the EAC were
low cost and relatively low effort.
2 90 
Ozone Alerts! are only activated during the ozone season,
from late spring to early fall, and even then on an episodic basis, and the messages are standard
messages taking advantage of VMS already in place. ODEQ also had the incentive of avoiding
non-attainment, and the need to undertake SIP development and possibly begin to regulate
mobile, stationary and area sources. Therefore, the major actors in transportation and air quality
all had a mutual interest in finding low-cost projects for emissions reductions. The EAC has so
far proved to have been unnecessary, as Tulsa would have been designated attainment for 8-hour
ozone even without it. Yet, the measures contained in the EAC, in many cases had already been
implemented, and those that had not, were already planned by the transportation agencies for
their congestion benefits. Therefore, including these measures in the EAC avoided having to
include some of the more intensive measures considered earlier, such as inspection and
maintenance.
29 1
While smaller cities may not have the internal resources necessary to undertake innovations,
their "smallness" can facilitate coordination, both because the number of agencies that need to
coordinate is smaller, and the organizations themselves are smaller. In the case of Tulsa,
communication between agencies was easier because of the greater ease of one-on-one contact
between staff from different agencies. In this case, one could suggest that the transaction costs -
first, identifying who to talk to, and second, negotiating the terms of cooperation between
agencies - are lower. For this reason, the Ozone Alert! program, in which variable message
signs are used to inform drivers of a pending high ozone day and to promote alternative
commutes such as carpooling or transit or changes in departure times, could be implemented
with relative ease, even though it requires the cooperation of the Oklahoma Department of
Environmental Quality, INCOG, Tulsa City/County Health Department, and the Oklahoma
Department of Transportation. Indeed, in preparing for the site visits for the cities with larger
agencies, identifying the key people within each organization for both ITS deployment and air
quality management and planning was substantially more difficult. For Tulsa and Orlando, the
key individuals could more readily be identified, and there was more consensus among
interviewees who the "important" individuals were for issues of ITS and air quality.
Returning to the issue of cost, in an interview with the Oklahoma Department of Transportation,
it was stressed that Tulsa is a "donor state" with respect to national fuel revenues, paying more in
gasoline taxes than they receive when those monies are redistributed to the states (ODOT
interview, 2005). Therefore, although they would like to do more with ITS in Tulsa, the funding
is not available. Furthermore, although they have received some federal grants for ITS work, the
focus of those grants has more often been on integration, rather than on deployment. As a result,
290 
In fact, many had already been implemented 
when the EAC was submitted.
291 These measures were considered as a part 
of the list of all possible local emissions control 
measures that was
required as a milestone commitment for the EAC. See Chapter 5 for the history and timeline of the EAC
development process.
329
ITS is seen as a system improvement that agencies cannot "afford." However, Tulsa was still
able to innovate.
6.2.5.4 Conclusion
The case of Tulsa, particularly in comparison with that of Orlando, highlights the relative
importance of problem severity over other factors such as internal resources, but also factors
such as cost. In anticipation of an important problem for all agencies involved, there were
mutual benefits in identifying some innovative actions to address their circumstances, i.e. a few
days of high ozone levels threatening to push the area out of attainment. These are not the most
technologically sophisticated innovations, but does reflect some innovative thinking and high
levels of collaboration among agencies in how to address this problem quickly, at a lost cost, and
in a manner tailored to the specific air quality situation of Tulsa.
330
6.3 EVALUATING THE THEORETICAL FRAMEWORK
Thus far, we have developed a set of specific and testable propositions (Chapter 4). At the same
time, the cases were investigated and described in depth, in order to capture the additional
contextual factors that might have implications for the outcomes (Chapter 5). In this chapter, we
tested the predictive power of our theoretical construct for five case study cities. To support this
effort at theory building and testing, we developed a semi-quantitative method for comparison of
case study outcomes (Chapter 4), introducing a scale for IIDAPT. We first assessed IIDAPT
levels for individual technologies, and used three measures to scale-up from IIDAPT for
individual technologies to overall IIDAPT outcomes at the metropolitan level (see Appendix E
for the full calculations). This enabled us to gauge the overall "innovativeness" of metropolitan
areas in using ITS for air quality objectives. Having presented the predicted and actual
outcomes on a case-by-case basis, we will now look at the overall performance of the theory for
all five cases, addressing the following questions:
o How well did our theory of IIDAPT perform in predicting actual outcomes?
o What conditions were the most important in predicting outcomes?
o What conditions were the most important in explaining outcomes?
The following section (6.4) will then evaluate the policy implications of the results of our
analysis. In addition to looking at the predictive and explanatory elements of our theoretical
framework, we will extend it to provide prescriptive advice so that metropolitan areas that may
be considering innovation and adaptation in their deployment of ITS for air quality, can assess
their probability of success (according to the predictive element) and identify actions to improve
their odds (according to both the predictive and explanatory elements). In other words, for areas
interested in undertaking Integrated Innovation, Deployment and Adaptation of Public
Technologies, will they succeed and how can they improve outcomes?
6.3.1 How well did our theory of IIDAPT perform in predicting actual outcomes?
In Table 6-17, we aggregate the cross-case results to assess how well the theory of IIDAPT
accurately predicted IIDAPT outcomes, as based on the seven conditions. Looking at the
summary measure for actual outcomes, the results are closely in line with the predicted outcomes
for all five cities. Houston, with the highest predicted level, was also the highest actual IIDAPT
at 5.2. Los Angeles, which we predicted to be medium to high, followed with 4.0. Boston and
Tulsa both had actual outcomes of 2.3, which was in line with predicted outcomes for Boston,
but slightly high for predicted outcomes for Tulsa. Orlando, as expected, had no IIDAPT. These
results indicate that our theory performs well in predicting actual outcomes.
331
Table 6-17 Predicted versus actual IIDAPT outcomes
Houston Los Angeles Boston Orlando 
Tulsa
Predicted outcomes High Med-high Medium 
Very low Low-medium
Actual outcomes 5.2 4.0 2.3 
0 2.3
* Average level High Med-high Medium None Medium
0-6 4.5 3.8 2.9 0 
3
* Range 4 
8 4 
0 3
0-10
* Intensity 29% 13% 20% 0% 26%
% of all recent ofallpost- ofallpost- of SIP transit 
of all EAC
TCM projects 2000 TCMs 2002 TCMs commitments 
projects
As noted earlier, the quantitative measures are only part of the description 
of actual IIDAPT
outcomes. With these measures, we attempted to codify and more rigorously 
compare our
observations of how ITS was used for purposes of air quality in the 
five cities. Again, this
summary measure for actual outcomes is the product of three measures. First, is the average
level of IIDAPT, which represents the average of only those technologies that were included as
IIDAPT. Specifically, these technologies had to have at least a minimal level of innovation and
cooperation, and have the dual objectives of improving air quality as well as 
mobility.
Therefore, this measure shows that for those technologies considered IIDAPT, how they ranked,
on average, according to our (0-6) scale of the "ideal" IIDAPT outcome. Second, we 
have a
measure of range of IIDAPT. This recognizes that while some cities may be 
highly innovative
in a few areas, such as transit ITS or ITS-based traffic flow improvements, they 
may not be
consistently innovative across different modes and application areas. In contrast, some cities
may not have been highly innovative for individual applications, but deployed these types of
innovations across a larger number of applications. Therefore, this addresses the question of
whether there were there missed opportunities in some application areas (e.g. freeway
management, transit operational improvements, etc), and to what extent cities have a diverse set
of technologies (0-10) in their "portfolio" of IIDAPTs
2 92 
Third, we want to address the question
of how intensively ITS is used as a emissions reduction measure for mobile 
sources. For this
measure we use the percentage of ITS projects or ITS-enhanced projects out 
of all transportation
control measures (TCM) contained in the recent air quality plan for the metropolitan 
area.
293
This gives us a sense of how often ITS is used as a measure to reduce emissions, compared 
to
other non-ITS TCMs for reducing emissions through transit, trip reduction 
programs,
ridesharing, traffic flow improvements, and so on.
292 Instead of looking at both average levels and range, another approach would have been to simply 
sum all
IIDAPT outcomes for the ten application areas (with an upper limit of 60, with all ten technologies). 
Another
approach would have been to average over all ten application areas. Thus, metropolitan areas that 
did not have an
example of IIDAPT for a specific application area, would be counted as zero for failing to innovate in 
that specific
area. However, we felt that keeping these two measures as separate would better highlight the different 
approaches
in each metropolitan areas. For example, LA has a greater range, but somewhat 
lower innovativeness, while
Houston has fewer applications, but each one is high on the scale of IIDAPT.
293 We use the state implementation plans (SIPs) to identify the TCMs included for the non-attainment area. 
For the
case of Tulsa, with does not submit a SIP, we used the Early Action Compact, which 
included TCM-like projects.
332
Figure 6-2 Predicted versus actual IIDAPT levels for five case study cities
0
5-
S4-
3
S2-
1-
O 5.2
Houston
04
Los Angeles
0 2.3 0 2.3
Tulsa Boston
0 Orlando
0 Low Medium 
High
Predicted IIDAPT levels
Again, our actual outcomes were closely aligned with predicted outcomes, according to the
summary measure in Table 6-17. Yet, we can gain additional insights from the theory and the
cases by looking at the variations in these three sub-measures: average level, range, and
intensity. Comparing average levels of IIDAPT to the predicted IIDAPT, we again see a close
correlation - from Houston with a high level (4.5) to Orlando with none (0). The exception is
Tulsa, again ranking somewhat higher than predicted. Therefore, there are no major surprises
when using average levels of IIDAPT as a measure for predicted outcomes. Yet, when we turn
to the range and intensity of ITS, the results begin to show some interesting variations.
What we find, looking at range and intensity, is that Houston had a surprisingly low range of
IIDAPT. We identified IIDAPTs for only four of the ten ITS application areas in Houston.
These four IIDAPTs were all related traffic-flow improvements and HOV/ridesharing-support
projects. There was a peculiar absence of ITS-based measures for transit improvements. Despite
the fact that there have been efforts underway to improve 
transit and enhance ridership with ITS,
these are not linked to official air quality management efforts.
294 
One could argue that this is
because ridership increases and mode share shifts are not cost effective measure for reducing
emissions. Yet, this would not account for the use of light rail as a measure in the Houston
region's air quality plan. On the other hand, the intensity of ITS in the package of TCMs is high,
representing nearly a third of all projects. As described earlier in Section 6.2.1.3, for Houston,
interests aligned in favor of the intensive use of ITS-based traffic flow improvements for air
quality, through congestion mitigation. At the same time, there were no comparable mutual
benefits from promoting the air quality benefits of ITS-enhanced transit, according to the
294 To reiterate, this does not mean 
that they do not have air quality benefits. 
However, there is no "credit taken" 
for
emissions reductions in any of the Houston area's air quality management plans or programs. Neither has 
funding
through CMAQ been sought.
333
interests of the agencies involved. However, intensity was very high,
295 
which is compatible
with the mutual interests of the agencies involved, which all preferred technology-based
measures over behavior-based measures to improve air quality.
Los Angeles, on the other hand, appears to have taken the "shotgun" approach to experimenting
with ITS to support emission reductions strategies. We identified examples of IIDAPT for eight
of the ten ITS application areas (the highest "range" of our five cases). While some individual
technologies were a "miss" with lower levels of IIDAPT (lower innovation, cooperation,
assessment and adaptation), projects like the universal fare system were "hits" 
with very high
IIDAPT levels. Ridematching services (ridematch.info) for the five county area and the City 
of
LA's adaptive traffic signal control system were also a strong examples of IIDAPT, with average
levels between 4.5 and 5.5. LA's high range could be partially explained by the large 
number of
agencies, which makes us reconsider the impact of this condition, which was not considered to
be a strong predictor in our theory, when we reviewed the cases on an individual basis above.
Because transportation planning is a highly decentralized process in the LA region, 
with 88
cities, six counties, and fourteen sub-regional associations, there is 
a greater number of
opportunities for innovation, although each innovation on its own may not necessarily a high-
level of IIDAPT. Congruent with the fact that LA must also implement an extremely large
number of projects in order to improve air quality, we find that ITS comprises 
a low share of
TCMs, at 13% of post-2002 projects. This low share of ITS in the mix of TCMs, also 
relates to
the relationship between the transportation agencies and air quality agencies, and 
their less
favorable perceptions of possible mutual benefits from using ITS for air quality through traffic
flow improvements. It suggests that the air quality agencies are not convinced by the potential
air quality benefits of ITS, and therefore are not motivated to incorporate ITS more liberally in
its air quality plans. Thus, the larger number of air quality agencies, per se, is not a barrier 
to
coordination on the use of ITS for air quality. Rather, is seems that barriers to 
coordination
emerge not necessarily because of a larger number of agencies, but a failure to find actual 
mutual
benefits in using ITS for air quality.
Boston had a high intensity, compared to a weaker average level and smaller range of IIDAPT.
Boston's intensity was somewhat higher than predicted. Yet, it makes sense when we 
consider it
within the context of the transit agreements, and the agenda of substitution 
of ITS-enhanced
transit services for the earlier transit commitments. As a result, there 
were stronger mutual
benefits in this application area, as described earlier in Section 6.2.3.
Tulsa was slightly higher than predicted on all measures. For Tulsa, the use 
of attainment status
as a measure of the condition of problem severity led us to underestimate 
Tulsa's IIDAPT
outcomes - as, in judging problem severity, we did not fully take 
into consideration the
seriousness of close calls with non-attainment - first in the early 1990s with 
1-hour ozone, with
the threat of non-attainment again rearing its head more recently 
with the new 8-hour ozone
standard. To the planners in Tulsa, the possibility of being 
designated non-attainment was
enough of a threat to spur innovation. The high intensity, relative 
to the other cities was
295 IIDAPT intensity in Houston was even significantly higher during earlier time periods, 
with ITS representing up
to 87% of all TCM projects and 81% of total project costs for all TCMs (see Table 
6-5 and Table 6-6).
334
somewhat misleading, however, as it is more a result of how individual projects are listed in the
Early Action Compact, compared to the other cities for which we could use the official state
implementation plans (SIPs) submitted to EPA as a consistent reference. Because there are few
and small-scale projects listed in the EAC, individual intersection signalization improvements
are counted as a project. In comparison, other cities will list projects in terms of corridors or
larger areas.
The question is, do these apparently anomalous outcomes provide us with additional insights into
the theoretical framework we have constructed? Does it prove or disprove some of our earlier
assertions? What does it mean for the seven conditions we identified? To answer these
questions, we will discuss the theory in terms of its ability to predict outcomes, and its ability to
explain outcomes.
6.3.2 What conditions were the most important for predicting outcomes?
In order to test the theoretical framework, comparing what the seven conditions would predict
with what the actual outcomes proved to be, we had to develop consistent measures for those
conditions in order to provide uniformity across the cases (see Table 6-1). Comparing the
predicted and actual levels of IIDAPT, we found that overall, the seven conditions, even in their
more simplified form, were good predictors of IIDAPT outcomes. In this section, we attempt to
identify more specifically which of those seven conditions were the strongest predictors of
IIDAPT outcomes. We will begin discussing the most important conditions for predicting
IIDAPT outcomes, and then briefly review why some of the other conditions were not as strong
as predictors.
The strongest predictor of IIDAPT is problem severity. This is an essential condition. In the
absence of a problem, as in Orlando and Tulsa, levels of innovation should be low, if at all.
Indeed, Orlando was an informative case in that there was no innovation, despite the other
conditions, such as internal resources, in its favor. As problems become more pressing, as for
Los Angeles and Houston, we saw more innovation and IIDAPT as those cities struggled to deal
both with congestion and air quality. This confirms earlier studies of innovation in the public
sector, that problems are a key condition leading to innovation (Borins 1998; Sapat 2004).
However, it should be stressed that for our five cases, the perception of problem severity is not
necessarily based on the physical problem (i.e. parts per million of ground-level ozone), but
rather on the regulatory pressure to address that problem. For this reason, we can also envision a
threshold effect, in which areas not meeting standards (non-attainment areas) face strict
regulatory requirements and therefore innovate, whereas areas that are not required to meet these
same requirements (attainment areas), do not innovate. We will explain later where Tulsa falls
in this pattern.
This result is important, and optimistic from the viewpoint of the efficacy of more stringent
federal regulations in spurring innovation by local governments. Clearly, Los Angeles has made
very important progress in reducing ozone levels. But, even in the absence of an acute crisis, for
example, highly visible pollution episodes with very palpable health effects on the general
335
population,
2 96 
the regulatory pressures stemming principally from the Clean Air Act
Amendments continually stimulate innovation. This confirms earlier studies,
297 
that have
challenged what was for long the conventional wisdom - articulated most strongly by Wilson -
that public sector innovation occurs primarily in response to major crises, and that even under
crisis, innovation may not occur. As noted by Borins:
"If public management innovation were solely the result of crises, we would likely
conclude that public sector organizations are characterized by uncaring people who do
not act until problems become crises, or they are gridlocked systems that do not permit
actions until problems become crises. In fact, we have seen that, in the majority of cases,
public servants were able to act to resolve problems before they become crises, or to take
advanced of opportunities to deliver new services or to deliver existing services more
efficiently." (Borins 1998, p 47).
Our case studies reflected this same issue, that innovation occurred even without having a crisis
situation in the public eye. We will discuss problem severity more below.
Earlier we defined mutual benefits as the requirement to meet transportation conformity
requirements - for example, implementing transportation control measures and meeting mobile
source emissions budgets. This suggested there would be mutual benefits to transportation
agencies and air quality agencies from finding synergies between ITS deployment goals and
related mobility improvements (both for individual drivers and transit users), and air quality
goals. Therefore, as a first cut in identifying mutual benefits, we suggested that agencies define
their agency goals in relatively simple terms. Air quality agencies want to improve air quality,
presumably in the most efficient manner; transportation agencies want to improve mobility,
again, in the most efficient manner. If ITS can be deployed to accomplish both objectives, it
creates mutual benefits. Overall, the predictive power of using this condition was fairly good.
Agencies did seek out TCMs that took advantage of existing/planned improvements from ITS, as
a seemingly "win-win" solution, and used CMAQ funds for ITS technologies that could improve
air quality.
2 98  
Yet, it is interesting to take note of instances when agencies did not take
advantage of ITS projects that, in simple terms, could be considered to provide mutual benefits.
We will therefore re-examine this assumption below.
Dedicated resources illustrated another condition that worked well as a predictor of IIDAPT
outcomes. As we could see, CMAQ funding in most cases did provide a "slack" resource for
experimentation with ITS and other measures for reducing mobile source emissions. Also, as we
296 We use crisis in the sense that Kingdon describes, that an issue 
has come to the immediate attention of
policymakers, the public, and the media. For example, in California, in 1903, residents mistook heavy industrial
smoke and fumes to be a solar eclipse. After the first recorded photochemical air pollution episode in 1943, the
Bureau of Smoke Control was created (1945). Visibility during that event was three city blocks. The most
"devastating" air pollution episode (albeit different pollutants) occurred in London in 1952, when 4,000 people died
from the "Killer Fog." Molina, L. T. and M. J. Molina, Eds. (2002). Air Quality in the Mexico Megacity: An
Integrated Assessment. Boston, MA, Kluwer Academic Publishers.
297 See, for example, Borins, S. (1998). Innovating with Integrity: How 
Local Heroes are Transforming American
Government. Washington, DC, Georgetown University Press.
298 Indeed, the CMAQ program itself was created on the assumption of 
mutual benefits between projects that
improve congestion mitigation and air quality.
336
suggested, dedicated resources can also reinforce the sense of mutual benefits, by providing a
monetary incentive for transportation agencies that might not otherwise have an interest in
looking at the air quality impacts of their transportation management strategies. Particularly for
Houston and Los Angeles, the CMAQ program seemed to enable actions that might not have
been undertaken otherwise. As suggested in Figure 6-1, the dedicated resources therefore
reinforce or create new sources of mutual benefits.
Therefore, we found that of the seven conditions, problem severity, dedicated resources, 
and
mutual benefits were the most important predictors of IIDAPT outcomes. What we 
did not find,
was that the emergence of new and/or better information regarding the air quality impacts 
of ITS
- whether positive or negative - led to adaptation by agencies, in order to improve 
air quality
outcomes. While there were, at times, comprehensive assessments of the overall performance of
ITS applications, the information on air quality outcomes was usually secondary 
to other
mobility-oriented benefits. Therefore, adaptation of ITS technologies would support 
better
mobility outcomes, but not better air quality outcomes.
In our theoretical framework, we suggested (by the dotted line) that the generation 
of new
information in the case of ITS and air quality could actually change the perception 
of agencies
regarding the existence of mutual benefits. However, while this connection 
between information
and mutual benefits did exist, information was not used to adapt technologies. 
We found that
new information on air quality benefits did not change the status 
quo in favor of greater air
quality benefits, rather, it reinforced the status quo. This is 
reflected in the assessment
methodologies for CMAQ projects. Houston had methodologies to evaluate 
arterial traffic flow
improvements from ITS that would show the emissions reductions from reduced 
congestion, in
order to document these benefits for CMAQ funding. However, the methodology did 
not force
the consideration of induced demand. Doing so may have undermined 
their ability to access
CMAQ funding. On the other hand, Los Angeles, developed a methodology 
similar to that of
the Houston methodology to measure emissions reductions from traffic 
flow improvements, but
then lowered the estimated emission reductions by half to incorporate the 
concerns of air quality
agencies regarding induced demand. In this manner, air quality agencies in 
LA raised the bar for
proving the air quality benefits of ITS-based traffic flow improvements. 
Again, this would
reinforce the existing perception that there are not necessarily 
synergies between traffic flow
improvements and air quality improvements, rather than change 
perceptions of mutual benefits.
Internal resources were not a strong predictor of IIDAPT outcomes. 
Although the larger and
better equipped agencies in bigger metropolitan areas were more 
innovative, size and resources
did not seem to be a critical barrier to innovating. Neither 
did they enable innovation where
there was no significant problem. We 
saw cases of smaller agencies in larger 
cities innovating,
as well as smaller agencies in smaller cities innovating. For 
example, in the case of Los Angeles,
the City of Los Angeles had a very high level of internal resources, 
with an innovative staff
extremely proficient in the arterial traffic management systems 
(see Table B-14). However, even
smaller cities and smaller transit agencies in the Los Angeles 
metropolitan area were also able to
deploy technologies in support of air quality benefits, largely 
enabled by the dedicated resources
created by the CMAQ program (see Table B-19). 
Clearly, agency size can determine the scale of
the innovation, and perhaps the "innovativeness" in terms 
of technological novelty of the system.
337
However, looking at the case of Tulsa, where we did not expect innovation, we found that even
with lower internal resources, both for ITS and for making the links between ITS and air quality
(for example, analysis of air quality benefits had to be contracted out), they were able to use
already deployed technologies to innovate through the Ozone Alert! program. This program
even caught the attention of the EPA as a case study for air quality management (see Table B-
38).299 While Tulsa probably would not have been able to develop adaptive traffic signal control
systems as the City of Los Angeles, or create a TranStar type facility, they can and have
innovated in ways appropriate to their particular problems and challenges.
We also proposed earlier that the lower cost of most ITS technologies, compared to conventional
infrastructure improvements, can boost the attractiveness of improving transportation services
and air quality using ITS. "Measuring" the relative influence of this condition was difficult, as it
would require comparisons between deployed ITS projects, and the hypothetical conventional
projects it may have replaced - if it actually replaced conventional infrastructure at all. The
availability of ITS as a lower cost transportation improvement did have an influence on IIDAPT
outcomes. However, the direction of this influence could not be predicted without understanding
the underlying agency interests (and therefore mutual benefits). The case showed that the
perception of ITS as a lower cost alternative could either work against or in favor 
of using ITS as
a measure for air quality improvements. In order to understand how ITS, as a lower cost option,
affected IIDAPT outcomes, we have to look at how it may have affected the perceptions of
mutual benefits, according to the interests of the individual agencies. Therefore, the predictive
power of this condition is weak. But, it can support the explanatory power of the theory, as
explained below.
Finally, we look at the number of agencies. The influence of this condition is uncertain. We had
originally suggested that this condition would be the Achilles' Heel of Los Angeles. With such 
a
large number of transportation and air quality agencies involved, we believed that coordination
failures in approval and implementation would lead to a lower level of IIDAPT 
that might
otherwise be possible. On the other hand, in Houston, a smaller number of agencies and more
centralized ITS operations and management through TranStar, following the same logic, 
would
increase the probabilities of successful IIDAPT. However, while we focused 
on the influence of
the number of agencies on cooperation, we overlooked an important 
dynamic, which is the
influence of the number of agencies on the frequency and range of innovation. 
In the case of Los
Angeles, the more decentralized transportation decisionmaking process seems to have 
enabled a
greater range of IIDAPT, with many smaller agencies deploying different ITS technologies 
in
support of air quality as well as mobility. Therefore, we may be seeing 
more true
experimentation in the case of LA. Houston, on the other hand, with a more limited 
number of
agencies, and more centralization transportation decisionmaking and highly 
coordinated ITS
efforts through TranStar, may have limited the range of IIDAPT to only four application 
areas.
Therefore, while the case studies did not provide conclusive results for 
the impact of a larger
number of agencies, they did point to some interesting avenues for future research.
299 See http://www.epa.gov/oar/recipes/ozalert.html. Last accessed 
May 19, 2006.
338
6.3.3 What conditions were the most important for explaining outcomes?
The previous section highlighted three conditions - problem severity, mutual benefits, and
dedicated resources - as the strongest predictors of IIDAPT outcomes, in terms of the actual
outcomes as shown in Table 6-17. However, looking more closely at the measures 
of IIDAPT
used - average level, range, and intensity - we identified some apparent 
deviations from what
our conditions may have predicted. As discussed in Section 6.3.1, we 
can gain additional
insights from the theory and the cases by looking at the variations in these three indicators. 
These
"inconsistencies" point us to where we can probe deeper into the explanatory power of the
theory, and perhaps refine our understanding of the conditions. Therefore, 
this section will
expand upon the discussion in Section 6.3.1, where we discussed reasons for the variations 
from
the predicted outcomes for range and intensity of IIDAPT.
While the seven conditions did point us in the 
right direction for predicting IIDAPT outcomes,
many important factors emerged from the broader transportation and air quality 
planning
context: e.g. the Big Dig and SIP transit commitments in Boston, and the 
shift toward major
transit investments and TDM strategies in Los Angeles, an agenda of highway expansion 
and
light rail for transit in Houston. These are factors that are important to incorporate 
in a case
study format, but that cannot be fully captured when defining a limited 
set of conditions.
Therefore, outcomes have to be understood within the local context. 
In particular, we find that
promoting the air quality benefits of ITS can either support or detract from preferred 
categories
of investments. However, how this plays out differs greatly from one area to 
another. In Boston,
the strategy was to highlight the possible improvements from ITS for 
transit improvements, as
potential replacements to other, more capital intensive, transit commitments, 
while in Houston,
the same strategy might have undermined their agenda of implementing new light rail services.
Therefore, the local context, by influencing mutual benefits, can determine 
which application
areas will have more IIDAPT, and which areas will not. As a 
result, it will also determine the
range of IIDAPT, if efforts are more concentrated in certain types of 
ITS applications (i.e.
transit, traffic, demand management, etc).
6.3.3.1 Problem Severity
Problem severity, using the 1-hour ozone designation, was a good predictor 
of IIDAPT, as
described earlier. However, it is important to note that the 
physical air quality problem can
fluctuate, while the regulatory designation is relatively more constant. 
We have seen Los
Angeles (extreme non-attainment) and Houston (severe non-attainment) 
- the two highest
IIDAPT innovators - alternate in terms of which city actually had the 
worst air quality for a
given year (measured, for example, as the number of days in exceedance 
of ozone standards).
Potential changes to this regulatory designation, 
were also part of the problem definition. 
Tulsa,
like Orlando, was in attainment, but innovated with ITS for air quality 
purposes substantially
more. This occurred despite its other comparative disadvantages 
to Orlando in terms of a low
base of ITS and low internal resources. Tulsa nearly went out 
of attainment and thus took
actions to avoid non-attainment status. We will focus on this 
issue of problem severity, because
in our cases it was the most important predictor, and often appears 
in the literature on innovation
in government as the key stimulus to innovation.
339
We compare our definition of problem severity with that of Borins (1998), who identified
"internal problems" as "the most frequently occurring set of conditions leading to innovation
based on his sample of winners of the Ford Foundation-Kennedy School of Government awards
for innovation in government. He groups agencies' internal problems into the following
categories: (1) failure to reach market or target population, (2) being unable to meet the demand
for services, (3) increasing financial or other resource constraints, (4) falling behind changes in
the environment, and (5) failure to coordinate policies (Borins 1998, p 42). He then looks at
another category of conditions leading to innovation, which is crisis or failure, setting crises
"apart from internal problems by adding the element 
of external visibility," meaning that the
internal problem now has the attention of the general public (ibid, p 44). Third, he adds another
condition, "political factors," noting that the most frequent political factor is legislation (ibid, p
45). We review these definitions because they can provide insights as to how to more accurately
describe problem severity in the context of our cases of IIDAPT.
This dichotomy between internal problems and crisis/failure, and considering legislation as a
entirely separate condition for innovation, misses some important factors. First, there does not
necessarily have to be a crises or failure for a problem to have external visibility. Except for rare
episodes such as the London "Killer Fog," air quality problems are not usually considered to be
crises. Yet, they are problems that are "manifestly visible" to the public, such as in Houston and
Los Angeles. Second, the issue of when something has "external visibility" has to be examined
more closely. The "public" is not a comprised of homogenous and diffuse stakeholders. More
typically, there will be more concentrated groups of stakeholders, to whom the issue is highly
visible. In some cases, these stakeholder can force an agency's internal problems to the public
agenda.
300 
In Boston, the transit agreements and their role as transportation control measures,
are the focus of influential stakeholder groups and citizens, primarily the Conservation Law
Foundation. If these groups did not keep the pressure on the MBTA and EOT to fulfill these
commitments, they would likely lose their importance for those agencies. Finally, as Borins
notes, agencies also innovate in response to anticipated crises, indicating that agencies are more
forward looking than many studies of organizational theory recognize. Agencies in Tulsa
thought they were going to fall out of attainment with the 8-hour standard; 
earlier, they also
thought the same with the 1-hour standard. This situation, for Tulsa, was highly problematic.
We could also propose that, as the other side of the coin, if a problem is anticipated 
to be
resolved due to factors beyond the control of the agencies, there may be lower 
levels of
innovation. For example, air quality in Boston is probably going to improve independently 
of
any transportation control measures (perhaps even including the transit commitments) 
because of
reductions in NOx from states upwind.
30 1 
Therefore, there is a less intense focus on identifying
measures to reduce emissions and implement additional TCMs beyond those still 
required by the
transit agreements.
300 For a good example of this in the San Francisco Bay Area, see Garrett, M. and M. Wachs (1996). Transportation
Planning on Trial: The Clean Air Act and Forecasting. Thousand Oaks, CA, SAGE Publications.
301 This is the result of the OTAG work and "NOx SIP call" described in Chapter 5. Upwind states 
had to develop
plans to reduce their contribution of NOx to downwind states, mainly through controls on industrial 
emissions.
340
Also, if we consider the role of legislation, we can see that problem severity is closely linked to
legislative changes. Legislation at the state or federal level can radically change the definition 
of
the problem definition for agencies. Increasing regulatory stringency moves the "target" for
acceptable agency performance, and targets/objectives that public agencies have to reach (such
as air quality standards). Therefore, summarizing the above discussion, we could break down
our condition of problem severity into the following categories:
o the extent of the physical problem,
o pressure for change or action by stakeholders,
o pressure for change or action by the general public,
o difficulties in meeting federal requirements or standards, and
o anticipation of important changes in any of the above.
We go through this exercise because it will be important for the later discussion on the policy
implications of our results (Section 6.4). However, we emphasis this issue as an important
theoretical contribution, because it highlights how local innovations are embedded in the 
federal
system in the US. Definition of a "problem" for local agencies, is highly influenced by national
guidelines or regulations. This fills in a conceptual gap, in that we explicitly link state and 
local
innovation to federal regulatory actions.
30 2
6.3.3.2 Mutual Benefits and Cost
Mutual benefits, an important condition, depends on the local context for its full 
explanatory
power (see Figure 6-1). As a result, it cannot be fully determined beforehand 
as a predictive
condition. Defining mutual benefits, in its more simple form, does point 
us in the right direction
for IIDAPT outcomes, but may mask some of the underlying dynamics. For this reason, 
we see
some divergence in range and intensity of IIDAPT as described earlier. Therefore, we 
would
consider it more as part of our theoretical framework's explanatory power, 
rather than as a
predictor. As described earlier, mutual benefits are based on agency interests, 
not just on agency
missions/policy objectives. Because innovations with ITS for air quality do not take place 
in a
vacuum, they will be competing with other projects both for mobility and for air quality. 
An
agency's interest or preference to deploy ITS with the additional objective of 
air quality
improvements depends on whether it fits, or not, with the agency's interests. 
Because it might be
seen as competing with other projects that might be higher priority for 
the agencies, our
condition of cost also comes into play. If ITS is promoted as a low-cost 
measure to achieve
various objectives, it may undermine the ability of agencies to make 
a case for their preferred
investments, which might be more capital intensive. Therefore, our cases 
illustrated that we had
to analyze the self-interests of agencies in order to determine their mutual 
interests, and ask what
are the repercussions - positive and negative - of highlighting ITS as 
a low-cost improvement
for both mobility and air quality.
302 For example, in Houston, interviewees 
referred to the lack of federal guidance 
on air toxics, in a manner similar
to the criteria pollutants with specific standards, as making it difficult to respond 
to this problem. Thus, little has
been done for reducing air toxics at the local level.
341
6.3.3.3 Dedicated Resources
The explanatory power of dedicated resources closely follows the logic behind their predictive
power. Outcomes can be determined in part by looking at an agency's strategies for accessing
CMAQ funding. Houston saw an important funding source for their ITS initiatives. Los
Angeles did as well. Boston was a interesting case in this respect. As seen in Table 6-11, ITS
was not a significant percentage of projects with CMAQ funding. In the latest transportation
improvement program, only 2% of CMAQ dollars went toward ITS projects (representing 8% of
all projects). Boston therefore illustrates the case when dedicated resources do not have the
"slack" that they were intended to have. CMAQ resources 
were used less for experimentation
with measures to reduce emissions, and more to deal with a backlog of more traditional projects
that had difficulties securing funding because of the pressures created by the Big Dig.
6.3.3.4 New Information
We also saw that the presence of dedicated resources, through CMAQ, seemed to have
influenced the "new information" that was generated, in the form of ex ante studies to justify the
inclusion of projects in the CMAQ funding category. Perhaps for this reason, we saw little
adaptation to new information. The information was more frequently generated to support
access to dedicated resources. As a result, rather than new information influencing 
the
perception of mutual benefits, as proposed earlier, new information tended to reinforce mutual
benefits. Because air quality was often the "secondary" policy objective, new information
tended to support core agency interests. Where air quality could be shown 
to be an additional
benefits to the mobility benefits, that information was highlighted, and used to include 
the
measure as a TCM, or fund it with CMAQ. On the other hand, where information, usually
externally generated, showed emissions increases, that information was ignored. 
The author
found no examples of the use of information showing negative emission impacts 
to adapt or
change the design or operation of the technology, or even influence future technology
deployment, in ways that would reduce the negative impact.
6.3.3.5 Internal Resources
We found that internal resources were not a good predictor or IIDAPT at the metropolitan 
level.
However, looking at the technologies for IIDAPT, and the agencies that were deploying them,
we found that larger agencies were often responsible for the more innovative IIDAPT outcomes.
Furthermore, for IIDAPTs with high levels of cooperation, it was often the larger 
agencies that
took the lead on technology deployment. For example, Metro was the lead agency 
for the
Universal Fare System for LA County using smart cards. They were 
able to bring all of the
smaller agencies on board 
to the systems, having 
been the first to procure 
it from Cubic.
30 3
Therefore, while not a good predictor of IIDAPT outcomes at the metropolitan 
level, it can
provide insights regarding which agencies in a metropolitan area are more likely to 
innovate.
303 See www.cubic.com/corpl/news/pr/2004/Cubic LA DOT contract final 2-4.html. Last accessed May 22,
2006.
342
6.3.3.6 Number of Organizations
Finally, as discussed earlier, we could not identify a significant impact from the condition of
number of organizations. The most extreme case in this respect was Los Angeles. As discussed
above, while this could be detrimental to cooperation, it may have also created a more prolific
ground for innovation. One theory could be that through competition among a number of cities
and counties - competing for CMAQ funding for example - a broader range and diversity of
innovations will emerge. More centralized allocation of these 
resources, such as in Houston,
may narrow the range of innovative outcomes by concentrating them in certain, higher priority
areas, such as supporting TranStar deployments.
We have found that the seven conditions identified and described in our theoretical framework
can predict IIDAPT outcomes for a metropolitan area with good agreement between predicted
and overall actual outcomes. Furthermore, where some of the sub-measures of actual outcomes
differ from predicted levels, we found that the theoretical framework can be used to explain the
reasons for some of those apparent discrepancies, enabling us to further refine this framework.
We will now look at the application of this framework to develop policy recommendations based
upon what we have learned about the conditions leading to IIDAPT.
343
6.4 IMPLICATIONS FOR POLICY
What are the policy implications of what we have learned from these cases and our theoretical
construct? We suggest there are three important contributions to policy. First, having identified
the conditions that are necessary for IIDAPT, we can develop a "checklist" for other cities that
may want to assess their "readiness" for IIDAPT, and identify changes that could be made to
improve the probabilities of IIDAPT. Second, we will draw some generalizations, based on this
cross-case analysis, on whether US cities have been doing a good job, or not, integrating air
quality concerns into ITS deployments. Finally, we will look specifically at whether the
transportation conformity framework and CMAQ program, are pushing cities to better integrate
air quality objectives with ITS deployment, and what changes could be made to promote greater
levels of IIDAPT.
6.4.1 Four Areas for Policy Intervention
In addition to their predictive and explanatory role, we suggest that these conditions also have a
prescriptive role. Because we found that the IIDAPT framework - in particular, the conditions
of problem severity, mutual benefits and dedicated resources - could used to predict outcomes,
they can also be used to assess the possibilities for IIDAPT. Furthermore, we can use this
information to identify policy interventions that could increase the likelihood of successful
IIDAPT, for areas with lower levels of predicted IIDAPT. This clearly has a normative
component. It follows from the assumption that fostering technological innovations (such as
with ITS) that achieve multiple policy benefits (such as air quality improvements, congestion
mitigation and improved transit) is desirable. However, one may argue that this is not the best or
socially "optimal" strategy, and that other types of changes - for example, social change that
fundamentally alters travel behavior and choices - are required instead.
With that caveat in mind, we will propose four policy interventions for improving IIDAPT
outcomes. We emphasize that these policy interventions are based on a limited set of case study
cities in the US, although we will assess their applicability to an additional case outside of the
US in the following chapter. Moreover, these policy inventions are developed for the case of
ITS and air quality. Therefore, we caution readers against considering these policy interventions
more broadly for non-US contexts, and for technologies and issue areas not related to ITS and air
quality. In the concluding chapter, however, we will look at future research possibilities,
including the extension of the IIDAPT framework to other technology and policy domain areas.
In the previous sections, we focused on three important conditions as predictors of IIDAPT - (1)
problem severity, (2) mutual benefits, and (3) dedicated resources. We will discuss these as
possible areas for policy intervention to improve the likelihood of IIDAPT. We also identify
policy interventions related to the condition of new information in the expectation (and hope)
that by restructuring the manner in which information is generated and used, more innovation
and adaptation can take place in order to maximize air quality benefits of ITS.
SPolicy Intervention 1: Increase the regulatory stringency for addressing air quality problems
in metropolitan areas, to promote experimentation with ITS for supporting air quality goals.
344
IIDAPT will be likely to occur where the responsible agencies are unable, or face substantial
difficulties, to reduce a problem to an "acceptable" level. Again, problem severity here is
determined by:
o the extent of the physical problem,
o pressure for change or action 
by stakeholders,
o pressure for change or action 
by the general public,
o difficulties in meeting federal requirements or standards, and
" anticipation of important changes in any of the above.
Even if a problem itself is not at a crisis stage, regulatory pressure can provide the impetus to
innovate. The severity of the problem will be defined according to the ability of the agencies to
meet those regulatory requirements. Moreover, agencies will respond to current and anticipated
problems. Therefore, more stringent legislation that clearly delineates the extent of the problem
and the progress that needs to be made to bring conditions to an "acceptable" level, can lead to
innovation. Pressure from the general public did not seem to be as important as a motivator to
innovation, although we did not specifically examine this as a separate condition in the cases.
Stakeholders were able to pressure for change (for example, the CLF in Boston), but only where
there were legislative and regulatory requirements that they could use as a basis to threaten
litigation of projects or programs. Therefore, in the absence of a crisis-level problem, it seems
that the most effective strategy for spurring innovation is in the tightening of regulatory
requirements. While innovation was a very local phenomenon, the stimulus for innovation
tended to come from higher levels of government.
SPolicy Intervention 2: Provide dedicated resources that create "slack" for innovation, 
in
order to increase the likelihood of experimentation with ITS for air quality purposes.
Dedicated resources, such as CMAQ, can also be a source of support for innovations 
that cannot
be funded easily from traditional funding sources. However, to truly be "slack," they must be
adequately protected from general budgetary pressures for other high priority investments. 
In
Boston, for example, these funds were not treated as slack resources, and were used 
for projects
which raised concerns about whether they were indeed the most appropriate 
projects for this
funding category, given the eligibility restrictions on expansion of facilities for 
single occupancy
vehicles. For this reason, conditions upon their use and requirements for proving 
eligibility
(documenting air quality benefits), are imperative.
The amount of dedicated resources should also be proportional to the severity of 
the problem.
This was done in the case of CMAQ apportionments, which used a funding 
formula based on
non-attainment status and population to calculate annual CMAQ funding 
levels for each
metropolitan area. Therefore, areas with the greatest need to innovate (based 
on non-attainment
status), are given additional CMAQ resources to innovate. The 
potentially negative aspect is that
"progressive" areas wishing 
to innovate even in the 
absence a severe problem, 
but without the
resources to do so, could not access these funds. However, we saw that in the 
case of Orlando -
which had a large ITS-base and probably would have had sufficient 
internal resources to
innovate with ITS for air quality purposes - did not use ITS for 
air quality in the absence of an
air quality problem. Yet, our case sample was small, and there may indeed 
be "progressive"
345
metropolitan areas wanting to use ITS for air quality, but lacking the resources effectively
undertake those projects.
We also saw from our cases that dedicated resources are not entirely necessary if a problem has a
"crisis" element to it. For example, as in the case of Tulsa, which did not have slack resources, a
sense of pending crisis enabled agencies to innovate even in the absence of these resources, and
despite more general transportation funding pressures. However, those innovations may not
always endure past the crisis stage. As a more stable source of funding, dedicated resources can
provide for more continuous innovation and experimentation with new technologies and services
rather than one-shot innovations, and can also support innovations that require some start-up
time for 
operations.
304
* Policy Intervention 3: Identify areas of mutual benefits - and areas of potential conflicts -
with regards to the interests and agendas of key agencies, in order to foster cooperation on
ITS innovations for air quality.
On the surface, mutual benefits between policy objectives of different agencies should be
sufficient to garner support from multiple agencies. But, this does not provide a guarantee that
agencies will be motivated to cooperate. We have reexamined the concept of "win-win"
outcomes in the public sector, arguing that a simplistic view of organizational preferences can
lead to frustration with failures in implementing solutions that should, in principle, support 
the
policy objectives of multiple public sector organizations, and at a low cost. Therefore, from the
policy standpoint, what is needed in this case is a policy entrepreneur, who can look beyond
whether the technologies simply fulfill the stated missions and policy objectives of the various
agencies. While difficult to change the underlying interests of agencies, understanding these
interests can help a policy entrepreneur develop a strategy for deploying ITS in ways that create
real mutual benefits. By looking at various alternative technologies for mobility and air quality,
a policy entrepreneur can determine whether it will undermine the ability of agencies to make the
case for their other preferred investments. Another option is to attempt to change how agencies
view the benefits of using ITS for air quality purposes.
In some of our cases, particularly Houston, this role of policy entrepreneur was played best by
leaders in the MPOs, who were supportive of and enthusiastic about ITS initiatives, and were
able integrate those initiatives into air quality plans (as TCMs) and support the necessary
analysis to access CMAQ funding. Also, because the MPO works most closely with the state air
quality agencies in development of the air quality plans, they are in the best position to assure at
least tacit support for ITS emission reduction measures. In Los Angeles, this role has been
played in part by the formation of The Partnership, a non-profit corporation created by SCAG
(the LA region's MPO) and SCAQMD (air quality district). The Southern California Economic
Partnership (or "the Partnership") works "behind the scenes" of formal transportation 
and air
304 There is, however, a debate by practitioners who use CMAQ funding, regarding the three-year time 
limit for
funding of operations. While some argue that this time should be extended, others suggest that it 
sets up problems
in that programs that are unviable in the long-run are funded, then simply disappear when the 
funding period
expires.
346
quality management, supporting the use of advanced technologies such as ITS to improve air
quality and transportation 
system management.
305
Policy Intervention 4: Restructure assessments and dedicated resources into a more iterative
process of experimentation and evaluation, in order to increase adaptation of ITS
technologies to improve air quality outcomes.
Unfortunately, our analysis of the five US cases led to some pessimistic conclusions regarding
the role of new information in improving the air quality outcomes of ITS. New information, in
general, did not appear to promote further adaptation of technologies. Instead, information was
used rather selectively by the agencies to support deployments already planned or underway, and
reinforce the existing perception of mutual benefits. As a result, there was little effort to reduce
many of the major uncertainties regarding the air quality impacts of ITS. While there are
mechanisms to support ITS technologies that have positive impacts, primarily through CMAQ
funding, there are no mechanisms to modify ITS technologies that have negative impacts. 
For
example, there is no form of Environmental Impact Assessment or other evaluation mechanism
for the impacts of ITS. In fact, ITS projects, under the newest transportation bill, SAFETEA-LU
(The Safe, Accountable, Flexible, and Efficient Transportation 
Equity Act: A Legacy for Users),
are categorically excluded from the environmental review process under the National
Environmental Policy Act (NEPA).
Furthermore, mutual benefits, dedicated resources and new information have become aligned
through the use (and sometime abuse) of CMAQ funds. CMAQ funds, a dedicated resource for
experimentation with new technologies and other measures for congestion mitigation and air
quality improvements, have created a source of mutual benefits for agencies wishing to access
that funding. Projects slated for CMAQ funding must demonstrate predicted emissions
reductions in order to be eligible for that funding. As a result, agencies have strong pressures for
demonstrating the emission reductions from those projects, or they may potentially lose 
access to
those funds.
The generation of new information could be better structured to provide for learning and
adaptation. One approach would be to require a more rigorous ex post analysis of emissions
benefits, focusing on measurable outcomes. A portion of the dedicated funding could 
be set
aside for analysis of emission and air quality outcomes, and verification of ex ante and 
ex post
analysis of emissions benefits. This information could then be used to provide additional
guidance on acceptable evaluation protocols for demonstrating eligibility for 
funding.
Verification of actual emissions benefits, and comparison with emissions benefits estimated 
in
order to show funding eligibility, could be done on an audit-type basis, particularly 
for those
technologies used most frequently, or those technologies with uncertain benefits.
305 The Partnership was formed 
by SCAG and SCAQMD "to 
help in their joint objectives of 
developing and
fostering new technologies that make significant contributions to the achievement of 
traffic congestion and mobile
source emission reduction goals." For additional background information on the formation 
of The Partnership, see
www.the-partnership.org/about us.htm. Last accessed May 23, 2006.
347
Another option, relying more on changes in interagency relationships, would be to involve the air
quality agencies more intensively in the assessment process. The air quality agencies have taken
a relatively "hands off" approach to CMAQ projects, since the funding allocations are the
responsibility of transportation agencies. There are different possible outcomes from this
strategy. On the one hand, this may lead lower rates of innovation, as the dedicated resources
become harder to access because of these stricter requirements. On the other hand, we could also
see the quality and novelty of new innovations increase, as less innovative measures are
discarded because they cannot clearly meet the emission reduction requirements.
Earlier in this chapter, we discussed the problem of discerning actors' intentions from their
actions. While many of the projects using ITS for air quality represent "good faith" efforts to
achieve real emission reductions, other may reflect playing with the numbers to "show" 
air
quality benefits. The cynical interpretation is that many agencies are simply 
playing the
"numbers game" for conformity, manipulating the numbers to show emission reductions from
ITS projects used as TCMs or funded through CMAQ. We stress the restructuring of the use of
information through ex post assessment, as a way to learn from technology deployments, and
audit the quality of the projects undertaken in terms of their air quality impacts.
6.4.2 How are metropolitan areas deploying ITS for air quality improvements in the US?
There is an important gap in the literature on the air quality benefits of ITS. On the one hand,
there is the more "holistic" approach to assessing the use of ITS in cities. These studies points 
to
how ITS can and should be used to support not only air quality goals, and even more far-
reaching goals of promoting sustainable communities. Yet, little information regarding how ITS
is actually used in support of air quality and/or other environmental goals is provided. 
On the
other hand, there are detailed studies looking at specific technologies and modeling 
the air
quality impact (see Chapter 2). Yet, studies in this latter category rarely differentiate 
between
deployments that were actually intended to improve air quality, and those that may have 
had
affected air quality positively or negatively, as somewhat a matter of chance. 
It takes the
technologies as given, and does not attempt to link those technologies, and 
how and why they
were deployed, with their actual impact. As a result, it removes the technological 
artifacts (ITS)
from the social, political and organizational factors that shaped the technological 
development of
those systems.30
6 
As a result, it ignores the element of whether ITS can be deployed in ways that
improve air quality, if that is indeed one of the goals.
Therefore, what is missing is a more broad-based assessment of how cities are actually 
using or
trying to use ITS for purported air quality purposes, and why. This current 
research begins to
answer that question by using a diverse sample of cities, and looking at all ITS technologies 
with
purported air quality improvements, rather than just selecting examples 
of "good" outcomes. It
also points to how to set up this analysis at a national level, in terms of where to look for 
data on
ITS innovations for air quality (i.e. TCM and CMAQ projects) as well as what types of
technologies are used, and how to categorize them.
306 Again, the social shaping of technological systems is discussed in the introductory chapter.
348
6.4.2.1 Overall Assessment
Setting up an ideal "outcome" proved to be a useful exercise, in that it has enabled us to assess
progress by the public sector in managing the deployment of ITS technologies and the
environmental impacts of those deployments. The results of our analysis leave room both for
optimism and pessimism.
* The "good 
news"
There are reasons for optimism. In our five cases, we saw that federal regulations can be an
effective stimulant of innovation at the local level. Problems do not necessarily have to reach
crisis levels before public sector agencies will respond with innovative strategies, and seek
mutual benefits from new technological opportunities such as ITS. Although we may like to see
more true learning through the better use of assessment, we are seeing at least some
experimentation with ITS for air quality benefits. As discussed earlier (see the first part of
Section 6.2), we cannot always speak to the true intentions and motivations of individual
agencies. But, at least there is a growing awareness of the potential for improving air quality
through ITS.
The other part of the good news is that there are multiple conditions that lead to innovation. The
first condition is the regulatory pressure applied to metropolitan areas that are non-attainment
areas. The second condition, is the anticipation or threat of being subject to that regulatory
pressure, by being in danger of exceeding the national air quality standards. The third condition
leading to innovation is the availability of slack resources to fund experimentation with less
traditional approaches to emissions reductions. We can also add a fourth condition for
innovation, which is simply running out of options (Los Angeles) by having already "picked 
the
low hanging fruit," or running out of what are considered to be politically desirable options
(Houston).
* The "bad 
news"
Yet, compared to our "ideal" outcome, there is still a long way to go. We 
have seen some
innovation by agencies with ITS for mobility and air quality, but it is by no means widespread.
ITS project managers often view air quality benefits as a "nice" added benefit, 
particularly if
they can access CMAQ funding, but they do not actively seek out air quality benefit. Air 
quality
agencies see some benefits (with some skepticism of emissions reductions from 
traffic flow
improvements), but do not see ITS measures as competing with introduction of cleaner 
fuels and
vehicles. Perhaps most importantly, there will be barriers to the use of ITS for air quality, 
if the
various agencies' (transportation, air quality, MPO) interests do not align. Yet, there is 
also the
danger that interests align in favor of using ITS for short-term emissions improvements 
(traffic
flow improvements) by improving grams/mile, while lagging behind on 
the deployment of ITS
technologies that represent longer-term solutions to air quality problems 
(transit ITS, rideshare
support, non-motorized travel) by reducing 
growth in vehicle miles traveled. Mutual benefits,
based not just on agencies' policy objectives, but on their underlying 
interests, will be based
upon broader trends in transportation and air quality, and will be sensitive 
to the compatibility of
349
ITS with preferred investment patterns. Transportation agencies are taking advantage of the air
quality benefits of ITS, where it serves their interests, but it is not making them "greener".
We are also more somewhat pessimistic regarding the role and influence of assessment, as earlier
discussions describe. Because much of the assessment is aimed at accessing dedicated resources,
this has led to some abuse of the system by deploying technologies, based on purported air
quality benefits, that are often unproven in their magnitude, and perhaps in some cases, in their
ability to reduce emissions. Above all, the question of induced demand from travel time and
reliability improvements from ITS, which is not satisfactorily resolved in research (as discussed
in Chapters 2 and 3), is generally underplayed or ignored in practice. Only Los Angeles seems
to take induced demand from ITS seriously.
6.4.2.2 Mix of ITS used for air quality
We have provided a very broad-based assessment of how our five cities have performed in
IIDAPT for ITS and air quality. A more specific question, drawn from the case study work, is
what technologies are most commonly used for achieving emissions reductions from air quality.
We looked at technologies for ten ITS application areas, their frequency of use for the five case
study cities, and average IIDAPT levels. These are listed in Table 6-18.
Table 6-18 Frequency of use and average IIDAPT levels of each ITS application area
Frequency Average 
Los
ITS application areas of use IIDAPT Houston Angeles Boston Orlando Tulsa
(0-5) level (0-6) Ageles
Arterial traffic flow 
4 3.9 
4.5 5.5 
- 2.5
improvements
Freeway management 3 
3.2 4 2.5 3 
- -
strategies
Freeway traveler
information
Transit information 1 3 - 3 - -
-
Multi-modal information 1 
4 - 4 -
- -
Transit operational 2 3.3 
- 2.5 4 - -
improvements
Transit fare payment 1 4.5 - 4.5 - - -
systems
Rideshare support 4 3.4 4 4.5 
2 - 2
Demand 2 4.8 
5.5 4 - -
management/pricing
Other applications 1 4.5 -
- - - 4.5
Looking at the frequency of the use, we find that with the exception of Orlando, all cities 
have
used some form of arterial traffic flow improvements for emissions 
reductions, and web-based
rideshare matching services. The levels of innovation and cooperation varied substantially for
the arterial traffic flow improvements. Los Angeles was the most innovative, with its 
adaptive
traffic signal control system, developed in-house, which also allows for transit signal 
priority.
Houston has innovated with the interconnection of signalized intersections 
back to the TranStar
350
facility and incorporation of signal priority, which also requires coordination between Metro, the
City of Houston, and Harris County. Levels of innovation in Boston and Tulsa were more
limited. Boston expanded operational hours of its traffic management center with CMAQ
funding, while Tulsa targeted signal timing improvements for inclusion in its EAC.
The use of ITS to facilitate ridesharing was also popular with all cities, with only Orlando not
having an online ridematching service. Even in Tulsa, where one might not expect ridesharing
because there are no HOV facilities to provide travel time benefits 
to carpoolers or vanpoolers,
there are ridematch services available online - if not as fully automated as those of Houston and
Los Angeles. These databases deal with substantial numbers of commuters, with Los Angeles
having over 250,000 registered commuters in the Ridematch.info database.
Interestingly, although all cities did have some freeway traveler information services, which
could reduce emissions by routing traffic around congestion, particularly non-recurrent
congestion caused by incidents or events, none of them explicitly incorporated those services as
a emission reduction measure. Transit information and multimodal information services were
used only in the case of Los Angeles, where both applications were used. CommuteSmart.info in
Los Angeles not only covers five counties, but includes a common user interface for freeway
traffic information, transit information and planning, carpool/vanpool matching and bicycle trip
planning. These are innovative and low-cost measures, providing "one-stop shopping" for
transportation alternatives. However, as with other ridesharing services, there does not appear to
be detailed evaluation. This might be because the cost of evaluation could potentially exceed the
cost of the project itself.
Transit, as a whole, is not as well represented in this sample of cities using ITS technologies for
air quality. Transit operational improvements appeared in two cities, Los Angeles and Boston.
Los Angeles also used transit fare payment systems (funded through CMAQ) and transit
information (included as TCMs) as measures for emission reductions. This contrasts sharply
with the more widespread use of traffic flow improvements, particularly arterial management, as
a measure to reduce emissions. In part, this may reflect issues with modeling and documenting
emissions changes. Transit emissions reductions from improved vehicle operations and changes
in ridership are more certain to reduce emissions, although the magnitude of those reductions
may vary widely. Therefore, the direction of changes in emissions is certain, while the
magnitude less so. On the other hand, with the case of traffic flow improvements, the possibility
of induced demand from travel time improvements and diversion of trips of other routes, or even
from public transit, as well as the possibility of increasing speeds to ranges where emissions
factors rise again, suggest that the direction of changes in emissions is less certain. However, in
the short run, and assuming traffic volumes to be constant, these emission reductions are at least
much easier to document, even if the underlying assumptions are not valid.
An interesting area for future research would be to develop a larger sample of IIDAPT projects
from a number of cities using ITS for emission reductions - perhaps based upon CMAQ-funded
projects or TCMs. We could then analyze the relative frequency of use of different ITS
technologies, also using a more detailed breakdown of categories of ITS technologies than that
351
presented in Table 6-18. This could also lead to the development of a database of best practices,
for comparing emission reductions outcomes for the same technologies in different contexts.
6.4.2.3 The "Best of' in ITS for air quality
Finally, to ground the above discussion in specific projects and outcomes, we will briefly
summarize the "best" examples of the use of ITS for emissions reductions according to our
sample. We look at seven deployments, highlighted in Table 6-19. These include all
technologies with an IIDAPT level equal or greater than 4.5 (six in total), plus one example of
multimodal information, in order to capture at least one example of the use of traveler
information as a tool for emissions reductions.
352
Table 6-19 Summary of IIDAPT "best practices" in ITS for air quality in five US cities
IIDAPT I Description
The Automated Traffic Surveillance and Control (ATSAC) system has undergone continual enhancements since the
1980s, allowing the addition of capabilities for traffic control, and more recently for transit signal priority. The
Adaptive Traffic Control System (ATCS) is the latest software upgrade to ATSAC, developed in-house, with
automated adjustment of signal timings in response to real-time traffic conditions. There is also cooperation with
Metro's for transit signal priority for the Blue Line light rail. The ATSAC system has received several awards for
innovation, including an award from the US DOE's 1995 National Awards Program for Energy Efficiency and
Renewable Energy. Studies of air quality impacts have shown clear benefits, but to date there does not appear to be
adaptation of the system specifically to air quality outcomes. Some proposals were made, but never fully
implemented, to manage traffic in real-time using monitored CO levels and other emissions. Important expansions
of the system (Wilmington, Harbor-Gateway) are funded with CMAQ. See trafficinfo.lacity.org/html/atsac 1.html
Through cooperation between Metro and the City of Houston, signal hardware is being upgraded, also to include
signal priority, as well as interconnected back to TranStar facility for centralized control and monitoring. The
project is funded through CMAQ, and is included by the MPO as a TCM in Houston's air quality plan.
CMAQ funding is supporting the multi-agency deployment of a universal fare payment system for transit. The
project leader is Metro, but a number of transit agencies in LA county are involved in deployment to increase
ridership through more seamless travel. This will cover nearly all major transit service operators of subway, light
rail, bus and bus rapid transit in LA county.
This program is an extension of Houston's HOV and ridesharing program. Through cooperation between Metro,
TxDOT, and the Harris County Toll Authority, Houston implemented two of the country's first managed lanes for
carpools, vanpools, minivan pools, and buses. There is also cooperation from H-GAC through the management of
the Commute Solutions program for ridematching. Only 2+ carpools (no SOVs) can access HOV lane for a toll. 3+
carpools access the lanes free. Extensive assessment has been done to maintain levels of service, but no evidence yet
of adaptation to improve emissions outcomes.
mI ii sAlert m VI l Tus I
In anticipation of possibly exceeding the air quality standards in the early 1990s, Tulsa City/County Health, ODEQ,
INCOG and ODOT organized an Ozone Alert! program. Agencies implement temporary measures to reduce
emissions only on days predicted to have high pollution levels (which are infrequent). VMS are used to alert the
public, and to encourage alternate modes of travel, off-peak travel, or telecommuting. This is a core part of Tulsa's
Clean Air Program. This program was recognized and highlighted by the EPA. See www.ozonealert.com.
The innovation in this system is the consolidation of information from a variety of motorized and non-motorized
modes, presenting users with a unified and consistent interface (www.commutesmart.info) for accessing traffic
conditions, transit schedule and real-time information (where available), transit and bicycle trip planning, instant
carpooling and other rideshare match information. Cooperation between LA, Orange, Riverside, San Bernardino and
Ventura counties.
I iesaesu 
p r iiL
The database for Ridematch.info (also accessible via www.commutesmart.info) in the LA region has more than a
quarter of a million registered commuters. Web access information has been included as a TCM, and many
rideshare activities have been funded through CMAQ. There has been innovation on the technical side with
provision of real-time matching of carpools and online information on seat availability in existing vanpools. There
has been cooperation for this program between the counties of LA, Orange, Riverside, San Bernardino and Ventura.
353
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It is illustrative that these best practices have some weakness in common, that leave us short of
our ideal IIDAPT description. First, there is little evidence of adaptation of technologies in
response to new information. Once technologies are deployed based in part on their air quality
benefits, those benefits are typically taken for granted. Little follow up occurs. For those
technologies that are more certain to have a positive influence, such as technologies supporting
more ridesharing or increases transit use, there is little assessment of their effectiveness. For
example, from Table 6-18, agencies seem to be relatively convinced that rideshare databases and
online ride-matching services are helpful. Yet, there have apparently not been many assessments
of how much those measures can actually help, and how further promotion of those services, can
change regional VMT and reduce emissions. Although cities are increasingly deploying
technologies for ITS-based traffic flow improvements in a number of cities, little headway has
been made in addressing the issue of induced travel, despite the fact that through CMAQ, the
emissions reductions benefits of these technologies are supposedly being measured in each case.
Second, although there must be approval by the air quality agencies, there is little direct
involvement of air quality agencies in the deployment and operations of any of these
innovations. Involvement by the air quality agencies has typically been more on the analytical
and planning side, in terms of supporting the measurement of CMAQ emission reductions or
incorporation of TCMs with ITS into the state air quality plan. Los Angeles took an interesting
approach, in the formation of The Partnership, which was created by the region's MPO (SCAG)
and air quality district (SCAQMD) in 1995. A different example would be that of Tulsa, where
the Oklahoma Department of Environmental Quality is involved in calling the Ozone Alerts and
the communication and coordination that is required to operate this program. It is not, however,
entirely clear from the cases what the effect would be if air quality agencies did have more active
involvement in the design, deployment, and active measurement of the air quality impacts of ITS
technologies. On the one hand, it could push agencies to seek more air quality benefits and
perhaps lead to new innovations in this area. On the other hand, it could also have a negative
impact on innovation, by increasing the complexity of implementation of ITS technologies for
air quality benefits. The air quality agencies could actually encumber those transportation
agencies that are trying to deploy ITS in a way that achieves mobility and air quality benefits.
Finally, harking back to our discussion of energy and emissions ITS technologies in Chapter 2,
we find that there is no integration of technologies to provide real-time information on emissions
and concentrations of pollutants. The proposal by the City of Los Angeles to incorporate carbon
monoxide sensors to measure concentrations, and correlate those to traffic flows, was the only
example of possible movement in this direction. Again, this relates to the point raised above, in
that it is unsure what the outcome would be of greater air quality agency involvement. It could
leverage their air quality monitoring capabilities in order to integrate monitoring of pollutant
concentrations into transportation system management. Yet, this example from Los Angeles
indicates that it was actually the transportation agency that was moving toward real-time
monitoring of concentration levels, not the air quality agency.
354
6.4.3 Revisiting Conformity and CMAQ
The above discussions lead us to assess the role of the transportation conformity framework and
the CMAQ program in supporting these types of innovations. We have implicitly and explicitly
discussed these programs in earlier sections (particularly Section 6.3), when discussing the role
problem severity and dedicated or "slack" resources. However, we will identify some specific
points here.
From the viewpoint of stimulating innovation with ITS technologies for air quality
improvements, the regulatory framework of transportation conformity does seem to work.
Transportation conformity - by linking transportation investment decisions to the attainment of
air quality standards - determines the "severity" of the problem perceived by transportation and
air quality agencies. A non-attainment designation and the related requirements for the
implementation of Transportation Control Measures (TCMs), have also caused transportation
agencies to begin to assess their ITS technologies from the standpoint of their potential air
quality benefits as TCMs, leading to some interesting innovations in this area.
Conformity and CMAQ provide the "stick and carrots" for managing the transportation system
with ITS in a way that meets mobility and air quality goals. Therefore, conformity requirements
and CMAQ funding together provided the combination of problem severity (as a motivator) and
dedicated resources (as a motivator and enabler) for innovative strategies to reduce mobile
source emissions. According to our theoretical framework, these are important conditions for
innovation. They are working to move ITS deployments in the direction of air quality
improvements, although as our discussion of the "best of' of ITS for air quality mentioned, we
are still far from our ideal for IIDAPT.
From the discussion in Section 6.3, we also saw that it is extremely important to keep the "slack"
in dedicated resources. During earlier reauthorizations of ISTEA, many highway and other
interests pushed for increasing the "flexibility" of CMAQ funding, stating that the air quality aim
was too narrow. However, increasing the "flexibility" would have basically been the death knell
for the CMAQ program. As seen most clearly in Boston, and as expressed by many interviewees
in Houston and Los Angeles, in the absence of the eligibility requirements for and restrictions on
the use of CMAQ, many projects, including many ITS projects, may not have had an accessible
funding source in the absence of this protected funding category.
Finally, we had indicated that adaptation of the application of these technologies is still weak.
There are still many unresolved assumptions and uncertainties behind the technologies that are
deployed for air quality benefits. Furthermore, there are no incentives to modify or adapt ITS
deployments in the case that they are found to actually degrade air quality - for example, by
increasing traffic speeds to the point where emission rates (grams/mile) are high, or by inducing
additional demand for travel in single occupancy vehicles. Therefore, perhaps the biggest
weakness of the CMAQ program is that the required ex ante assessment provide very little room
from learning - either agencies learning from their own deployments, or learning from the
experiences of other agencies. Perhaps most disturbingly, this research highlighted that
possibilities for longer term induced demand from ITS-based traffic flow improvements are
355
generally ignored (or denied). As a result, we may not only be seeing some misuse of the
CMAQ program funding, but setting ITS on a so-called "technological trajectory" that is not
supportive of long-term air quality goals. By getting some overuse of measures aimed at
improving traffic flow and thus facilitating the use of the single occupancy automobile through
supply side measures, we may be undermining or detracting from other efforts to focus on the
demand side of transportation (through pricing and through a broader range of viable alternatives
to the private automobile), which would "shape" ITS technologies to be more compatible with
long-term air quality goals.
356
6.5 CONCLUSIONS
This chapter tested our theoretical construct for Integrated Innovation, Deployment and
Adaptation for Public Technologies, looking at ITS and air quality. Outcomes for IIDAPT were
closely predicted by the seven conditions 
in our framework. We found that problem severity,
dedicated resources, and mutual benefits were the best predictors of IIDAPT outcomes.
However, we could also use some of our more detailed 
measures of IIDAPT (average levels,
range and intensity) along with cross-case comparison, to identify some areas where the actual
and predicted outcomes did not align exactly as anticipated. This pointed us to areas where 
we
could delve deeper into the seven conditions, and assess whether the conditions could be used 
to
explain these outcomes. Indeed, the explanatory power of the theoretical framework proved to
be more robust than the predictive power of the theoretical framework. It also allowed us to
better define and describe some of our IIDAPT conditions.
In terms of actual experience, we found that metropolitan areas in the US have made some, but
still limited, progress in integrating air quality concerns into ITS deployments. Concerns
regarding the air quality impacts of ITS are still peripheral for most agencies. Indications are
that agencies will focus on the emission reduction possibilities of ITS where it aligns with their
interests and priorities for transportation investments, but there has been no fundamental shift in
the direction of using ITS to "co-manage" transportation systems and their impacts, in a way that
gives real priority to these impacts.
Having developed this theoretical framework, we will now apply it to a different case outside of
the US - the Mexico City Metropolitan Area. The purpose will be to apply the model to assess
the possibilities for IIDAPT in Mexico, and make recommendations for innovation in ITS in
ways that can support air quality and mobility goals in Mexico City. Therefore, while the
technology domain is the same - ITS application for achieving air quality benefits - the context
is very different. We now turn to the case of Mexico City.
357
CHAPTER 7. MEXICO CITY: CASE HISTORY, ANALYSIS AND
RECOMMENDATIONS
7.1 INTRODUCTION
In the previous chapter, we demonstrated the validity of our theoretical framework for our five
US case study cities. Extending this framework to predict outcomes for 
Integrated Innovation,
Deployment and Adaptation of Public Technologies (IIDAPT) 
and provide policy
recommendations to another US city would, in principle, be relatively straightforward, given that
most cities would have analogies with one or more of the cases already examined.
30 7 
Therefore,
in this chapter, we look at the extension of the framework to Mexico City.
7.1.1 Motivation for Extension to Mexico City
In this chapter, we will take our theory one step further, testing the theory and assessing its
ability to provide useful policy and technology recommendations to a non-US city, regarding
how to deploy ITS in a way that is supportive of air quality objectives. Applying the results of
the US case studies to a non-US case clearly provides some additional challenges. To begin, the
institutional and regulatory context at the federal, state and local level will be substantially
different. In the US, the federal regulatory context included the 1990 Clean Air Act
Amendments (CAAA) and 1991 Intermodal Surface Transportation 
Efficiency Act (ISTEA),
with important federal funding programs such as the Congestion Mitigation and Air Quality
(CMAQ) program, and the requirement for metropolitan transportation plans to conform with 
the
intent and goals of state air quality plans. Similar federal legislation and federal-aid 
funding
programs do not yet exist in Mexico. In addition, the institutional arrangements at the
metropolitan level are quite different in Mexico City, with no US-style Metropolitan Planning
Organization (MPO) with equivalent functions and powers. Finally, although the process of
quantifying actual IIDAPT outcomes for ITS and air quality
30 8 
is relatively transferable from one
context to another (and possibly from one technology domain to another), we anticipate 
that the
process of measuring the conditions for predicted IIDAPT outcomes
309 
will be quite different in
a non-US city.
However, there are also important insights to be gained from applying this framework to the case
of Mexico City. First, it will test whether the seven conditions described for the IIDAPT
framework are broadly applicable. For example, in the US case studies, the condition 
of
"dedicated resources" was essentially equivalent to 
having funding from the CMAQ program,
while "problem severity" equaled non-attainment, or the danger of falling into non-attainment
with national air quality standards. Applying this framework to Mexico City will force us to
consider how those conditions could be redefined or replicated in a non-US context. Second, it
will test the robustness of the theoretical framework, to see if it can be applied outside of the US.
As noted earlier, local context is important in shaping IIDAPT outcomes. Comparing 
the case of
Mexico City to the US cities, we will see if the influence of local context swamps out the
307 Where "new" cases would differ 
most would be in the "local context." 
While context does play an important 
role
in shaping IIDAPT outcomes, for example, in terms of the diversity of IIDAPT applications and 
the modal
orientation (i.e., transit, traffic), the average level and intensity of IIDAPT can be largely predicted by the seven
conditions.
308 As outlined 
in Chapter 
4.
309 As described 
in Chapter 6.
359
influence of the seven conditions we have described and defined, or, if they can continue to be
predictors of IIDAPT outcomes.
7.1.2 Mexico City Fieldwork
The fieldwork for the Mexico City case differed from the fieldwork undertaken for the US case
studies. Starting in the fall of 1999, the author was a research assistant with the Integrated
Program on Urban, Regional and Global Air Pollution: The Mexico City Case, an
interdisciplinary research program based at MIT. As part of this research project, the author
attended a number of conferences on air pollution in Mexico City, and also conducted individual
and group interviews with public and private sector organizations and individuals. The author
completed a series of interviews with planners and analysts from public sector agencies
regarding general transportation and air quality planning and management in the Mexico City
Metropolitan Area (MCMA) in December 2002 and January 2003. Between August 2003 and
December of 2005, the author was in residence in Mexico City, working on a number of projects,
including a Conflict Assessment of Mexico City Metropolitan Air Quality Management (Rosan,
Susskind et al. 2005). The author also collaborated on a project lead by the Institute for
Transportation and Development Policy (ITDP) and the Mexican Center for Environmental Law
(CEMDA) which analyzed possible pathways to legislative reform for more integrated
transportation and air quality planning.
3 1 
In terms of ITS deployments, the author interviewed
individuals involved in ITS for traffic management, as well as for public transportation,
including both the subway system (Metro) and Metrobis rapid bus corridor, and with researchers
from the Mexican Transportation Institute (IMT). Additional information on ITS deployment
was also gained from personal communications with local and international participants at
Intertraffic Mexico, a national ITS trade show/exposition and conference held in October 2004.
Therefore, the material for the Mexico City case was gathered from a greater number of sources,
and during a much longer period of time, than for the US cases cities.
7.1.3 Structure of Analysis
The structure of the chapter is as follows. First, in Section 7.2, we will describe the federal-level
institutional and regulatory context for ITS, transportation, and air quality policy in Mexico,
highlighting the differences with the US. Then, in Section 7.3, we will follow the same general
outline used in Chapter 5 to describe the US case study cities, to look at the history of air quality
management efforts, ITS deployment trends, and then focus on the links between ITS and air
quality in Mexico City. Next, in Section 7.4, we will apply our theory of the seven factors that
determine the level of Integrated Innovation, Deployment and Adaptation of Public Technologies
(IIDAPT). This theory was developed and described in Chapter 4, and was then tested against
five cities in the US in Chapter 6, in order to see if predicted levels of IIDAPT (according to the
seven conditions) coincided with actual IIDAPT levels observed during the case study visits.
Therefore, in this section, we will test the theory for Mexico City, with the core difference being
that we will be examining a non-US case.
310 This effort included the CEMDA/ITDP International Seminar: 
Toward the Reform of Transportation and Air
Quality Planning held in Mexico City in June 2004. See www.itdp.org/pub.html for the background papers.
360
Finally, in Section 7.5, we will develop a set of technology and policy recommendations for
Mexico City. This will be in two parts. First, drawing upon 
the lessons from Chapters 2 and 3,
which examined the state of knowledge regarding the air quality impacts of different ITS
technologies, we will suggest specific technologies that could be deployed and adapted to the
Mexico City context to advance both mobility and air quality goals. We will also draw upon
some best practices in using ITS for air quality as observed in our five US case study cities.
However, as we learned from the US case study analysis in Chapter 6, technologies that have
"win-win" benefits are not always 
deployed. On one hand, 
sometimes the seven conditions 
for
IIDAPT do not align in ways that will produce "good" IIDAPT outcomes. The problem may not
be severe enough to spur innovation, there may not be adequate resources and/or capacity to
innovate, or there may simply be too many organizations to effectively cooperate in the
deployment of technologies to serve multiple policy goals. On the other hand, even where the
conditions seem "right" for IIDAPT, outcomes may be sub-optimal due to the interaction of
organizational interests. In this case, apparent mutual benefits - promoting both air quality and
mobility goals - may not always be mutual benefits from the perspective of the agencies
involved. Therefore, in the second part of Section 7.5, we will distill lessons from the testing of
the theory, in order to identify possible changes that could be made to improve IIDAPT
outcomes in Mexico. This highlights the policy relevance of this research. Based on the results
of the previous chapter, and the application of the theory to Mexico City, we will be able to
identify possible policy interventions to improve the use of ITS in ways that better support air
quality objectives in Mexico City.
361
7.2 ITS AND AIR QUALITY POLICY AT THE FEDERAL LEVEL IN MEXICO
Before focusing on the case of the Mexico City Metropolitan Area, we will first look at the
policies at the federal level in Mexico regarding both ITS deployment and air quality
management. This will provide a comparative analysis to the US, where federal legislation,
through the 1990 Clean Air Act Amendments and the 1991 Intermodal Surface Transportation
Efficiency Act, created incentives and provided funding for ITS, and held long-term
metropolitan transportation planning more strictly accountable for its impact on air quality. In
Mexico, the relationships and roles for the federal, state and local governments have been quite
different, but have also been changing substantially over the past several decades.
Although the theoretical framework, developed in Chapter 4, focuses largely on the local
conditions for Integrated Innovation, Deployment, and Assessment of Public Technologies
(IIDAPT), it is important to outline the relevant federal institutional and political trends that have
a bearing on ITS deployment, general transportation planning, and air quality management. We
will first review the trends toward greater democratization and decentralization in Mexico, and
its impact on the federal-local relationship. We will then look at recent federal-level policy
toward ITS, and the federal framework for air quality regulation and transportation planning.
7.2.1 Democratization and Decentralization
In order to understand the institutional and political context in which transportation and air
quality decisions are made in Mexico, and in the Mexico City Metropolitan Area, we must first
look at two broader trends that have happened at the national level. First, is the democratization
of Mexican politics. After 71 years of unbroken political hegemony by the Institutional
Revolutionary Party (Partido Revolucionario Institucional, or PRI), marked by uncontested
elections and electoral fraud, Mexico now has a truly democratic system. Although the PRI's
formerly unchallenged power started to slip when it began to concede losses in state and
municipal elections across Mexico, it was not until the 2000 election of the current President
Vicente Fox, from the conservative National Action Party (Partido de Acci6n Nacional, or
PAN), that a more pluralist political structure seemed to finally have emerged. Indeed, the July
2, 2006 elections proved to be an extremely tight contest between the two non-PRI candidates,
Felipe Calder6n, from the PAN, and Andres Manuel L6pez Obrador, from the more leftist
(Partido Revolucionario Democrdtico, or PRD).
31 1 
The candidate for the PRI, Roberto Madrazo,
held a distant third place. In fact, even during the campaigning, he did not appear to be a likely
contender for the presidency.
Although a changeover in party for the executive branch did not occur at the federal level until
2000, at the local level, a new party took office in the Federal District for the first time in 1997
(see Table 7-1). Until that date, the executive branch for the Federal District was a presidential-
311 According to the Federal Electoral Institute (IFE), Felipe Calder6n 
(PAN) won the 2006 presidential election
with 35.89% of the vote, compared to 35.31% for Andr6s Manuel L6pez Obrador, a difference of approximately
243,000 votes (www.eluniversal.com.mx accessed July 6, 2006). At the time of the submission of this thesis, the
PRD candidate, L6pez Obrador, was continuing to challenge the results of the election pushing for a recount based
on allegations of possible fraud.
362
appointed, non-elected "mayor" for what was then called the Department of the Federal District
(Departamento del Distrito Federal). According to this arrangement, in place since 1941 and
lasting until 1997, the mayor would be directly responsible for carrying out the president's policy
regarding local administration of the Federal District. Therefore, there was both a
democratization of Mexico, in terms of the PRI ceding the presidency to another political party,
as well as a democratization of Mexico City, where not only was the mayor no longer a political
appointee of the president, but was also, as it happens, elected from a competing party. The first
elections for a Mayor of the DF, in July 1997, were won by Cuauht6moc Cirdenas from the
PRD. This mayor would now have greater participation in law making, fiscal budgeting, and
general administration of city services.
Democratization was local legislative branch for the DF. Before the
1990s, local representatives had only limited functions for making recommendations and
proposals, or served as "watchdogs" for DF expenditures and policy. During the 1990s, the
Legislative Assembly of the Federal District (ALDF) was created, with greater control over
approving local spending and power to enact laws and regulations for the DF. In the 1997
elections, the majority of the seats were filled by representatives of the left-wing PRD, the same
party as the mayor, winning 38 of 66 seats (Nava Escudero 2001, p 116).
Table 7-1 Timeline for national and DF administrations since 1988
Year Event President of Mexico Mayor of Federal District
1988 Salinas (PRI) 1988-1994 Camacho (PRI) 1988-93
Aguilera (PRI) 1994
1994 Zedillo (PRI) 1994-2000 Espinoza (PRI) 1994-97
1997 First locally elected CArdenas (PRD) 1997-1999
mayor ofDF Robles (PRD) 1999-2000, interim
2000 PAN candidate elected Fox (PAN) 2000-2006 L6pez Obrador (PRD) 2000-05
president Encinas (PRD) 2005-06, interim
2006 Federal and local Candidates: Candidates:
elections (July 2) Calder6n (PAN) - elected Paredes (PRI)
L6pez Obrador (PRD) Ebrard (PRD) - elected
Madrazo (PRI) Sodi de la Tijera (PAN)
Therefore, closely connected with the political democratization that was occurring, were the
steps toward administrative decentralization, in which regulatory and administrative powers were
shifted from the federal government to the state and local levels of government. Decentralization
of financial resources has also occurred, with the federal government reducing its direct
investment in and financial support to Mexico City. Federal taxes are still redistributed to the
states and DF, but these governments now have to depend more on locally-generated revenues
such as taxes, fines and fees, as well as greater participation from the private sector (Nava
Escudero 2001, p 116; Gakenheimer, Molina et al. 2002, p 270). Many scholars have debated
the impact of this on city management (Nava Escudero 2001, p 197). On the one hand, greater
accountability to the local electorate should improve the effectiveness of local administrations.
363
On the other hand, the devolution of powers to local entities, and increasing competition between
political parties, could also lead to greater difficulties in coordination between the DF and the
surrounding municipalities of the State of Mexico. These issues will be revisited below.
7.2.2 Federal ITS Policy
Federal transportation policy in Mexico has largely focused on federal highway construction and
maintenance. To date, there has been very little development of what one could call an official
ITS policy or ITS program at the federal level in Mexico. In comparison to the US, where there
were strong private and public sector interests in promoting the application of advanced
technologies, particularly 
those from the defense 
sector, to surface transportation 
systems,
312
there was no such equivalent pressures in Mexico. As in other developing country cities, there
are relatively few local suppliers of ITS applications. Therefore, there has not been a similar
push from the local ITS industry to promote ITS solutions in Mexico. However, there has been a
growing demand for ITS applications. At the federal level, the organization with the longest
involvement in ITS is CAPUFE (Caminos y Puentes Federales de Ingresos y Servicios
Conexos), the federal toll road operator with primary responsibility for tolled roads and bridges
313 14
throughout Mexico. CAPUFE operates approximately 160 toll plazas throughout Mexico.
In urban areas, there has been increasing demand for technologies to manage traffic flows, such
as CCTV, traffic signal control, VMS, and ITS applications to improve transit, the deployment of
which will be described more in detail below.
An ITS Mexico Committee was formed in 1999, including members from the Secretariat of
Transportation and CAPUFE, and others. The formation of ITS Mexico, a similar organization
to ITS America, represents an important step toward a national ITS policy, with much of the
committee's focus on the development of an ITS architecture, as will be discussed below. The
need to organize national ITS efforts is something that has been advocated by ITS America for
several years, according to a representative from ITS America's International Relations
program.
315 
However, the Secretariat of Communications and Transportation (Secretaria de
Comunicaciones y Transporte, or SCT) has still not taken a highly active role in promoting ITS
either at the federal or local level. ITS has apparently not become a priority area for the SCT.
For example, in the SCT's annual report on activities, the term ITS is only briefly mentioned
twice, once with respect to the development of a national architecture (Secretaria de
Comunicaciones y Transportes (SCT) 2005).
7.2.2.1 Developing an ITS Architecture
To a large extent, the development of the Mexican ITS Architecture has been prodded and
shaped by interests north of the border. ITS America, the US Trade and Development Agency
312 See Klein, H. (2001). "Technology push-over: defense downturns and civilian 
technology policy." Research
Policy 30: 937-951.
313 See www.capufe.gob.mx.
314 ITS America, "ITS America Mexico Trade Mission Helps Members Expand International 
Business," ITS
America News (The Monthly Newsletter of the Intelligent Transportation Society of America), 13(5), May 2003.
315 Personal communication, ITS America, International Relations, October 28, 
2004, Mexico City.
364
(USTDA), officials from both the FHWA and FTA, as well as US suppliers of ITS products and
services have demonstrated substantial interest in promoting ITS solutions in Mexico, as well as
an ITS Architecture and standards compatible with those in the US. The motivations for this are
straightforward, "U.S. companies face significant competition from European and other Latin
American supplies.... [and] it is clear that significant benefits will accrue to U.S. companies if the
architecture developed under the auspices of the U.S. Department of Transportation (DOT) is
chosen" (Federal Transit Administration 2000, p 29).
In 2003, the US TDA provided a grant to fund the development of an ITS Architecture for
Mexico. The winning proposal was from Wilbur Smith Associates, a US-based consulting firm,
which would work with the Mexican consulting firm, Suma Sinergia, on the development of the
ITS Architecture and recommendations for ITS solutions.
316  
Much of the focus of the
development of the ITS Architecture has been on improving and expanding ITS for intercity
highways, particularly, for electronic toll collection, and for commercial vehicle operations,
particularly issues related to control of freight movements. However, in early presentations on
the development of the ITS Architecture, they also recognized the important differences between
the US and Mexico, particularly the much higher levels of use of public transportation in Mexico
(Wilbur Smith Associates 2004). Although the focus was on the development of a National ITS
Architecture, the project also envisioned state- and municipal-level architectures that would be
compatible with the national architecture, with the idea that this would enable better integration
of ITS applications at the state and local level as well.
7.2.2.2 National Architecture and Local Deployments
Nevertheless, there are signs at the local level of a lack of awareness or even indifference to
these national efforts to promote ITS, and in particular, the development of the Mexican ITS
Architecture. For example, at Intertraffic 2004 (ITS Exposition and Trade Show), held in
Mexico City in October of 2004, several speakers were invited both from industry and local
transportation agencies in Mexico City currently involved in ITS deployment. Many of the local
government representatives failed to show up for their presentation. Those that did show up,
often appeared only for the duration of their own talk, without spending significant amounts of
time meeting with ITS industry representations or visiting booths in the trade show. In fact, a
representative from ITS America expressed frustration with the fact that at these events, few if
any local decisionmakers really participated.
While at the federal level there seems to be slowly growing interest in ITS and recognition of the
need for integrated of ITS services, local decisionmakers seem to be deploying their ITS
applications with little interaction with and concern for these national-level initiatives. This is
not to say that there is no local interest in ITS. On the contrary, there are emerging applications
in the three largest cities - Mexico City, Guadalajara, Monterrey - as well as smaller cities such
as Jalapa, and many of the border cities - Ciudad Juarez, Tijuana, Nuevo Laredo - that have to
deal with heavy flows of freight and passenger traffic across 
the US-Mexican border. However,
316 Christian Molinari, "US Company 
to recommend ITS solutions for SCT 
- Mexico," Business News Americas,
Marcy 9, 2005.
365
there is an apparent disconnect between the national ITS efforts - or what could be called an
emerging national ITS policy - and local ITS efforts. While the national ITS efforts are largely
motivated by suppliers and their representatives (through ITS America and the US TDA), the
local ITS efforts are motivated by the needs of local decisionmakers dealing with traffic and
transit management.
7.2.3 Federal Air Quality Regulation and Transportation System Planning
This section will describe the institutional and legislative structure for air quality regulation and
transportation system planning in Mexico, drawing upon comparisons with the transportation
conformity requirements in the US.
7.2.3.1 Federal Air Quality Standards
Similar to the US, the federal government is responsible for the development of national ambient
air quality standards. These standards, established by the federal Secretariat of the Environment
and Natural Resources (Secretaria de Medio Ambiente y Recursos Naturales, or Semarnat), are
very similar to those of the US in terms of the maximum concentrations, the averaging periods -
including a 1-hour and 8-hour standard for ozone - and the number of exceedances "allowed" in
a given year (see Table 7-2). In fact, the 1-hour ozone standard in Mexico is slightly more
stringent than the US standard of 0.12 ppm. For all pollutants, with the exception of ozone, the
concentrations can be exceeded once a year. Again, for ozone, the Mexican 1-hour standard is
more stringent in that there are no "allowed" exceedances, compared to the US where there can
be three exceedances during a three-year period. Yet, as will be seen in Section 7.3.2.3, the
ozone standard is exceeded the vast majority of the days of the year, even more so than in Los
Angeles in the 1970s and 1980s. The question is: what happens when the standards (shown in
Table 7-2) are exceeded in a metropolitan area? As will be discussed below, there is little actual
enforcement of these ambient air quality standards.
Table 7-2 National ambient air quality standards in Mexico
Pollutant Maximum Averaging Allowed Frequency
Concentrations 
Period
S0.11 ppm 
1 hour 
None
3 0.08 ppm 8 hour Five times a year
CO 11 ppm 8 hour Once a year
SO
2  
0.13 ppm 24 hour Once a year
NO
2  
0.21 ppm 1 hour Once a year
PM
10  
150 [tg/m
3  
24 hour Once a year
TSP* 260 gg/m
3  
24 hour Once a year
Source: (Instituto Nacional de Ecologia (INE) 2003, p 2)
Although these are the official national ambient air quality standards for Mexico, perhaps the
more pertinent pollution limits - from the viewpoint of concrete actions taken to avoid exceeding
these limits - are those set as part of the "contingency" program. These contingency levels,
shown in Table 7-3, are set at more than 2.5 times the health-based standard for ozone, and 2
times the health-based standard for PM
10
listed in Table 7-2 above.
366
Table 7-3 Levels for activation and deactivation of a Phase I contingency event
Contingencies for: Activation Deactivation
Ozone Levels reach more than 0.28 ppm Levels reach fall below 0.21 ppm
PM
10  
Levels reach more than 300 pg/m
a  
Levels reach fall below 250 ig/m
3
Simultaneous levels more than 0.263
Both Ozone levels less than 0.208 ppm
ppm ozone and 200 gg/m
3 
of PMI
0
Source: (Secretaria de Medio Ambiente del Distrito Federal 2005, p 3)
The purpose of the environmental contingency program is to warn the public that dangerously
levels of ozone and/or particulate matter (PMIo) are predicted for the following day, in order to
reduce exposure by avoiding outdoor activities, particularly for children, the elderly, and other
sensitive populations, and to take actions that will reduce emissions. The program is divided into
"pre-contingencies" and 
"Phase I" and "Phase II" contingencies, 
which step up the restrictions
on certain activities, such as outdoor burning, asphalt production, road-maintenance, vehicle
circulation, and industrial and power production (Molina and Molina 2002, p 330).
While bringing down average pollution levels to the health-based air quality standards is the
objective of air quality plans and programs in Mexico City, the contingency program has also
fostered a strong focus on episodic controls to reduce peak pollution levels (contingency limits)
that are acutely dangerous to public health. Therefore, there are long-term programs to reduce
average ozone levels, as well as episodic controls to reduce the peak ozone levels, reflecting two
tiers of standards. From a practical standpoint, however, the creation of contingencies
inadvertently made these higher concentration limits the de facto air quality standards from the
viewpoint of the general public. The public and many policymakers focus more on the number
of contingency days, than on the number of days above the ambient air quality standards.
Because the majority of the number of days of the year are above the ambient standards (shown
in Table 7-2), the public and policymakers focus less on this metric of air quality. In
comparison, in the US the focus is clearly on the national ambient air quality standards, because
of the implications of falling into non-attainment status. In cities where there are ozone alert
programs - requiring additional but episodic controls and encouraging voluntary actions to
reduce peak ozone levels - those alerts are aimed at avoiding exceedances of the national
ambient air quality standards.
7.2.3.2 Regulatory Framework Linking Air Quality and Transportation Planning
As this discussion indicates, while the standards themselves are quite similar, there are important
differences in the enforcement of these standards. In terms of actual enforcement, there is very
little connection between the air quality standards and the local/metropolitan transportation plans
and programs. There are no concrete legal or fiscal penalties for projects or plans that lead to
more frequent violations of the air quality norms, comparing, for example, a build/no-build
scenario for transportation infrastructure. Transportation plans and programs are not required to
systematically assess long-term air quality outcomes, in a way that would be similar to
conformity determinations in the US, or even Strategic Environmental Assessments in the
367
European Union.
3 17  
As a result, the primary environmental "constraint" on transportation
projects and plans, is the need to carry out an environmental impact assessment (EIA), as will be
discussed below. In this sense, the official federal standards for air quality, are almost entirely
disconnected from the transportation planning process. A transportation plan can raise air
pollution far above the official norms, with no repercussions from the legal or financial
standpoint, as long as the individual projects within that plan meet the threshold of no serious
environmental damage, as documented through the EIA process.
In the US, air quality management is a local and state responsibility. While the federal
government provides guidance, sometimes highly detailed guidance and requirements for what
measures should be considered (such as "reasonably available control measures"), it does not
directly participate in air quality management. Intervention by the federal government in the
actual air quality planning process, has however been wielded as a threat to the state and
metropolitan areas. If an adequate state implementation plan is not submitted to the EPA, the
EPA has the authority to step in and promulgate and enforce a federal implementation plan for
air quality (Garrett and Wachs 1996, p 11).
The experience in the MCMA, however, has been quite different. During its time as a
"Department" of the Federal District, when mayors were appointed by the president and not
directly elected, the federal government, through Semarnat,
318 
had the authority and
responsibility to develop air quality plans for the MCMA. While many implementation and
enforcement activities were carried out by various Mexico City mayors and their administrations,
these were non-elected officials, having been appointed by the president until 1997. According
to Nava Escudero, even the "new 1996 air quality programme for the MZMC that enhances and
updates the 1990 PICCA
319 
is a good example of continuous central intervention," going on to
explain that Semarnat was still the central player in air quality planning and management even in
the late 1990s (Nava Escudero 2001, p 196). Yet, the 1990s have also seen a substantial
devolution of power to the Federal District, meaning that Semarnat is increasingly stepping out
of the air quality planning and management process, giving greater authority over to the
Secretariat of the Environment in the DF (Secretaria de Medio Ambiente, or SMA), Secretariat of
Ecology in the State of Mexico (SE) and the coordinating body between them, the Metropolitan
Environmental Commission (CAM).
320 
The more recent air quality plans, have begun to break
with the tradition of heavy federal intervention, as the local environmental agencies have begun
to assert themselves to a greater extent. For example, the SMA has pressured the federal
317 Strategic environmental assessments (SEA) require a more 
comprehensive environmental impact assessment of
an entire program or plan.
318 Until 2000, Semarnat was referred to as Semarnap, with the 
last "p" (for Pesca) in the acronym referring to the
inclusion of fisheries. These responsibilities were transferred to the Secretariat of Agriculture.
319 The first program for air quality was adopted in 1990, the Integrated 
Program for the Control of Atmospheric
Pollution (Programa Integral para el Control de la Contaminacidn Atmosfirica, or PICCA). The update to that
program was the Program to Improve Air Quality in the Valley of Mexico (Programa para Mejorar la Calidad del
Aire en el Valle de Mexico, or Proaire). The current Proaire is from 2002 to 2010.
320 Because Semarnat is a member of the CAM, it will continue to have 
an important role in air quality management
in the MCMA. However, the presidency of the CAM, is a rotating two-year position between the DF and State of
Mexico, meaning that the DF and EM are the primary players.
368
government, particularly on the issue of fuel quality and vehicle emissions standards, arguing
that they cannot clean the air in the MCMA without greater improvements in reducing vehicle
emission rates. Another important step in this direction was the transformation of the DF's
legislative assembly, which can now enact legislation (equivalent to state laws), where before, it
simply had consultative and oversight functions. While there has been decentralization of air
quality management in the Federal District, the process has also led to some "blurring of
responsibilities" regarding the division of responsibilities between the central government and
local governments (Nava Escudero 2001, p 196). This has been clear in some recent
environmental impact assessments of large transportation infrastructure projects in Mexico City.
7.2.3.3 Transportation System Evaluation in Mexico
Federal legislation in Mexico requires the use of Environmental Impact Assessments (EIA) to
assess possible environmental damages of projects under federal jurisdiction. The federal
requirements are outlined in the Rulemaking for Environmental Impact (Reglamento de Impacto
Ambiental), which describes in greater specificity the EIA requirements contained in the General
Law of Ecological Equilibrium and Environmental Protection (Ley General de Equilibrio
Ecol6gico y la Proteccidn al Ambiente) (Ezcurra 1995). This framework also applies at the
federal and state level, since the states, including the Federal District, have similar laws for
environmental protection and regulations for the specific EIA requirements. For the Federal
District, EIAs are required under the Environmental Law of the Federal District (Ley Ambiental
del Distrito Federal) and again specified in the Rulemaking for Environmental Impact
(Reglamento de Impacto Ambiental) (CESPEDES 2002).
For transportation infrastructure projects, the jurisdiction over a specific project usually hinges
on whether the projects modifies what is considered federal infrastructure or not. For example, a
highway project crossing two separate states would be considered under federal domain for the
submission of an environmental impact statement. However, at times this distinction can be
vague. For example, for a transportation facility spanning two or more states, if the
transportation expansion project itself is contained within a single state, the EIA will fall solely
under that state's jurisdiction. Therefore, only one state reviews/approves the EIA, even if the
project has important upstream and downstream impacts that affect contiguous states, or if it has
an impact on regional environmental quality.
The Environmental Impact Assessment process, both in the legislation and in practice, has
several important drawbacks which limit their effectiveness in promoting environmental
protection, including:
* Lack of institutional capability to effectively review EIA, in terms of the quantity of EIAs
needed to be processed, and the ability to review their technical and scientific validity and
robustness (Ezcurra 1995; Boj6rquez-Tapia and Garcia 1998; Ortega-Rubio, Salinas-Zavala
et al. 
2001).321
321 Ezcurra (1995) provides a brief 
and critical analysis of the overall 
process of EIA in Mexico, having 16 
years of
experience in developing EIA and two years working with the federal government in the Institute of Ecology (INE).
Ortega-Rubio and other focus on the decisions of the staff of environmental authorities, and how they make
369
* Political and economic pressures to approve projects (Ortega-Rubio, Salinas-Zavala et al.
2001). In some cases, the "defendant" (project promoter and developer of the EIA) and the
"judge" (environmental authority or reviewer of the EIA) have been one and the same
(CESPEDES 2002).
* Coupled with the pressures to review large volumes of EIAs, there are additional pressures
and delays associated with the current process of public consultation. As a result, public
consultation is often avoided or minimized (Ezcurra 1995).
Environmental Impact Assessments are one of the few possible mechanisms for guarding against
the environmental deterioration resulting from major infrastructure projects, albeit with the
serious limitations described above. Yet, EIA only applies at the project level. Looking at the
broader system-level impacts, of say, a comprehensive program or plan containing multiple
individual projects, there is no mechanism for evaluation and avoidance or mitigation of these
system impacts. Therefore, in terms of transportation plans or programs, there are basically no
planning or evaluation requirements to ensure that a transportation plan or program will improve,
or at least, not worsen, air quality.
7.2.3.4 Moving toward a Conformity-type Framework?
Several interrelated issues came to the forefront with the critiques of the environmental impact
assessment undertaken for the recent project that would "double-deck" two urban highways in
the Federal District.
322 
First, there is no regulatory mechanism to make individual projects
"accountable" for their long-term impact on 
regional air quality. Second, and on a similar 
note,
there is no regulatory mechanism to link EIA to the national standards for ambient air quality.
Third, the process of developing and reviewing EIA is highly flawed and subject to analytical
errors and political pressures. Fourth, there are issues of jurisdiction with projects that have
broader impacts that may affect more than one state, which could call for federal involvement in
the review of environmental impacts, or involvement of all affected states. Finally, there is no
mechanisms for reviewing the overall impact of a comprehensive transportation plan or program
on the environment or on air quality.
Both local and international non-governmental organizations, such as the Mexican Center for
Environmental Law (CEMDA) and the Institute for Transportation and Development Policy
(ITDP), have looked at legislative changes that would address these issues. In 2004, a workshop
was held with local and national decisionmakers and international experts from the US, Europe,
and South America, assessing possible pathways for legislative reform in the area of
transportation planning and air quality management. One legislative/institutional model that was
evaluated was the applying a US-type framework for transportation conformity in Mexico, in
which entire transportation plans would be analyzed and evaluated for their long-term impact on
decisions regarding the "level" or rigorousness of environmental impact assessment required for a given project.
Boj6rquez-Tapia and Garcia focus on the contents of the environmental impact statements submitted by promoters
of highway projects. Together, these articles provide a good overview of the various facets of EIA, the production
of the EIA, and the evaluation of the EIA, and the role of EIA as a mechanism for public consultation.
322 The project itself will be 
discussed in depth below.
370
air quality. Another legislative/institutional model proposed was the use of Strategic
Environmental Assessment (SEA), which builds upon the model of project-level Environmental
Impact Assessments. SEA moves the assessment up earlier in the planning stage, in order to
consider a broader range of alternatives, and considers the systemic impact of multiple projects
that may form a program or plan for transportation investment. This approach has used more
extensively in the European Union. As of the writing of this thesis, no regulatory changes have
been made to the existing legislative framework in Mexico at either the national or local level.
As a result, it will continue to be difficult, if not impossible, to successfully challenge major
transportation projects (either through the EIA process or through litigation of projects by citizen
groups or NGOs) based on their regional air quality impacts. In contrast, in the US,
transportation conformity has been a powerful regulatory lever to challenge projects or require
additional projects to mitigate environmental impacts. We will later discuss the implications this
may have for the use of ITS for air quality purposes in Mexico City.
371
7.3 TRANSPORTATION AND AIR QUALITY IN THE MEXICO MEGACITY
Now that we have described the federal-level context for transportation and air quality
management, we will now turn to Mexico City.
7.3.1 Background
7.3.1.1 The City
Since the 1950's, Mexico City has undergone substantial transformations as it made the
transition from a medium-large city, with about 3 million inhabitants in 1950, to being one of the
largest metropolitan agglomerations in the world by the 1990s. These urban transformations
were not only of scale. Another important shift was the increasing urbanization of the
municipalities in the State of Mexico (Estado de Mixico, EM), which surrounds the Federal
District (Distrito Federal, DF) to the north, east and west. By the year 2000, the population of
the urbanized EM municipalities, for the first time, outnumbered the population of the DF, as can
be seen in Figure 7-1. Indeed, population in the Federal District remained relatively stable,
around eight to nine million residents between 1980 and 2000, while in the State of Mexico,
growth experienced annual growth rates of 6% on average between 1970 and 2000. In the
1970s, during its period of highest growth, the State of Mexico grew by 312,000 inhabitants on
average each year (Lezama, Favela et al. 2002).
Figure 7-1 Population growth of the Mexico City Metropolitan Area (MCMA)
/-V
18
16
S14
S12
S8
Q 6
4
2
--- MCMA
--- DF
+ EM
1950 1960 1970 1980 1990 2000
Source: (Lezama, Favela et al. 2002, pp 64-65)
The geographic expanse of this growth can also be seen in Figure 7-2. The map gives a sense of
the layout of the basin of the MCMA, with most of the older urbanized areas covering the largely
flat surface of the basin floor (at an altitude of 2,240 meters above sea level).
323 
Expansion
toward the west has been checked by the mountains; however, there is still considerable
323 As a comparison, Denver, Colorado (the "mile-high 
city") lies at an altitude of just over 1,600 meters.
372
expansion toward the east, and more importantly, toward the north of the central city, where it
has literally enveloped some of the smaller volcanoes. The population of the MCMA continues
to grow, albeit at slower rates than seen in previous decades. However, with falling household
sizes, trends toward greater urban sprawl in the EM - and even reaching into other states such as
the State of Hidalgo to the northeast - are expected to continue.
Figure 7-2 Growth in urban area of the Mexico City Metropolitan Area (1970-2000)
Source: Metropoli 2025, www.metropoli.org.mx
The MCMA is also marked by high income inequalities. While the upper 10% of the population
has 40% of the wealth, the lower 50% of the population possesses only 19% of the wealth
(Gakenheimer 2003). This inequality manifests itself in land use - with large swaths of
"irregular" settlements contrasting with large gated communities - and perhaps more starkly in
transportation choices. Clearly, the private automobile is the overwhelming mode of choice for
higher-income families, whereas public transportation, whether the Metro, buses or smaller
colectivos, often carry a social stigma, perceived as a transportation for the lower classes.
7.3.1.2 Transportation
Mexico City's public transportation system is a highly complex network of government operated
subway, light rail, trolley buses, regular bus service, and privately operated bus and jitney
service. More recently, the first Bus Rapid Transit line was introduced to the mix of transit
services in Mexico City, with the inauguration of Metrobtis, a 19-km BRT corridor along
Insurgentes Avenue, one of the most important and longest avenues 
in the MCMA. However,
the dominant modes in the MCMA are the microbuses (also referred to as minibuses) and
373
colectivos.
324 
The change in modal split for the 
MCMA shown in Figure 7-3 -
widely cited by
researchers and policymakers 
in reports, articles, books and 
official documents - highlights 
the
remarkable growth in the use 
of microbus and colectivo services, 
largely at the expense of the
government-operated bus service.
Figure 7-3 Estimated modal split for 
the MCMA (1986-2000)
U1 UU/o -
80% -
k 60%-
40%-
20% -
0%
n Metro
Light Rail, Trolleybus
v Bus
N Minibuses, Colectivos
STaxis
N Private Autos
1986 1989 1994 2000
Source: (Secretaria de Transporte 
y Vialidad del Distrito Federal 
(Setravi) 2002)
Indeed, the evolution of the modal 
split in the Mexico City Metropolitan 
Area shows a clear
decline in the use of high capacity 
modes such as the Metro, Light Rail 
and Trolleybuses, as well
as in medium capacity modes such 
as the buses. Low-medium capacity 
modes, such as the
minibuses and colectivos, were increasingly 
taking up those trips, with an 
extraordinary growth
from 6% to 55% of all motorized 
trips over a 14-year period. Indeed, 
policymakers and
researchers repeatedly refer this 
graph as representative of the major 
trends in transportation in
Mexico City from the late 1980s to 
the early 2000s. However, this graph 
from the Integrated
Program for Transportation and Roadways, 
using data from Setravi, appears to be 
incongruent
with respect to the number of trips 
in private automobiles. Motorization 
and VMT in Mexico
City has grown substantially in recent 
years, with growth in income per 
capita increasing the
buying power of families. Coupled 
with increasing options for credit 
and financing, large
segments of the population that previously 
would not have had the income or savings 
to purchase
a vehicle, now have one or more 
family cars. This has also led to an 
increased demand from a
larger proportion of the population 
for improved roadway infrastructure. 
Taken together, the
continued growth in population, 
falling household sizes, decentralization 
of urban development,
and increased possibilities for auto 
ownership create a strong impetus 
behind in the burgeoning
324 The term colectivos 
refers to the origin of 
informal public transportation 
as "fixed-route collective 
taxis" which
were primarily sedans. As the importance of 
this informal public transportation mode grew, 
the size of the vehicles
also increased, first to vans, then to minibuses, 
and more recently to buses.
374
1 J""" |
---- ----
0%_
-.......
-------
economic demand for private vehicles, and as a result, political demand for the expansion of the
MCMA's roadway infrastructure and the mitigation of traffic congestion.
There are five main highway access points linking the Federal District to surrounding cities -
Queretaro, Pachuca, Puebla, Cuernavaca, and Toluca - most of which have both a free and tolled
highway. The non-tolled highway usually has substantially longer travel times and is often less
safe. Indeed, as seen Figure 7-4, the tolled and free highways may closely overlap (such as the
95 to Cuernavaca and 190 to Puebla). In addition to being important links between the MCMA
and the rest of the nation, they have also been the locus of new urban development.
Figure 7-4 Roadway network for the MCMA
Source: www.mapquest.com
Because of the large share of trips still undertaken in public transportation, coupled with the
growing demand for private automobiles, both public transit and congestion mitigation are
critical issues with a high level of attention by the public, therefore creating pressures on elected
officials and government agencies to address both issues. Under these pressures, the early 2000s
saw the implementation of two highly visible and often controversial transportation projects: the
double-decking or "Second Story" (Segundo Piso) over the urban highway Periferico, and the
Metrobtis rapid bus corridor on Insurgentes Avenue. We will discuss these two projects, and
their implications for mobility and air quality in greater depth in Sections 7.3.2.3 and 7.4.3.
375
7.3.1.3 Institutions
The institutional structure in the Mexico City Metropolitan Area (MCMA) is not only complex,
but has also been undergoing major changes due to the trends of decentralization and
democratization described above. This has fundamentally shifted the political and administrative
base of the Federal District. While formerly governed from the federal level, the DF is now the
equivalent of a state-level entity, with local elections for the Jefe de Gobierno (who is 
often
referred to as the Mayor, although the position is analogous to a state governor). Decisions
regarding transportation investment and policy, as well as decisions on air quality management,
are now more local issues. We will discuss three levels of government entities, and their areas of
policy intervention: federal, state (i.e., the Federal District and State of Mexico), and
metropolitan. The Federal District is included as the equivalent of a state-level government. For
simplicity, we do not include the municipal governments for the State of Mexico (municipios) or
the Federal District (delegaciones). There are 16 delegaciones in the DF, and 37 municipios in
the State of Mexico that are included in what is commonly considered to be the Mexico City
Metropolitan Area (Lezama, Favela et al. 2002, p 64-65). While the municipality governments
are of growing importance as they find their footing in a more decentralized and democratic
environment, for the moment, they do not yet have a critical role in either air quality
management or the deployment of ITS, which are the focus of this thesis.
* Federal Institutions
At the federal level, responsibility for environmental protection and regulation and the
management of natural resources falls under the cabinet-level Secretariat of the Environment and
National Resources (Secretaria de Medio Ambiente y Recursos Naturales, or Semarnat). 
With
respect to air quality, there are two autonomous institutions of importance supporting Semarnat,
the National Institute of Ecology (Instituto Nacional de Ecologia, or INE) and the Attorney
General for Environmental Protection (Procuraduria Federal de Protecci6n al Ambiente, or
Profepa). For transportation, the Secretariat of Communications and Transportation (Secretaria
de Comunicaciones y Transportes, or SCT) is responsible for interstate highway construction and
maintenance. Along with the shift in public finances from the federal level to the local level, the
SCT has shifted responsibility for managing both highway and transit infrastructure (such as the
Metro). The SCT has to a large extent withdrawn from major investment decisions in the
MCMA, and therefore has limited influence over metropolitan transportation policy. Under the
federal-level SCT, the Mexican Transportation Institute (Instituto Mexicano del Transporte, or
IMT) is responsible for transportation-related research, diffusion of scientific and technical
information, and capacity building. IMT has only been working in the area of ITS since 1998,
and has not significantly expanded its internal ITS program. Banobras is the infrastructure
development bank.
* Metropolitan Institutions
As seen in Table 7-4, the responsibilities for air quality management and 
transportation
management, planning and operations in the MCMA are characterized by substantial
fragmentation and overlap. Table 7-4 also highlights how coordination for 
metropolitan-level
376
mobile-source policies require vertical cooperation - between federal and state/local agencies 
-
horizontal cooperation - between transportation and air quality agencies, and within the
transportation agencies, cooperation between planning, construction, operations and
enforcement.
Table 7-4 Government agencies 
and areas/sub-areas of intervention
32s
Government Area Sub-areas Area Sub-areas
Entity Environment Transportation
Semarnat Regulation, Air quality SCT Planning, analysis,
standards, Fuel and construction
vehicle standards Banobras 
Financing
Federal
government INE Research/analysis IMT 
Research/testing/analysis
Profepa Inspection/enforcement
of industrial sources,
citizen complaints
SMA Inspection/Maintenance Setravi Planning/modeling/data
program, collection, Public
Planning/modeling/data transport concessions
collection, Public 
Works and Road construction and
Enforcement Services 
maintenance
S Federal
Federal 
Metro Planning, subway
District 
construction, subway
(DF) 
service provision
Public Safety Traffic operations,
Enforcement/control
STE Light rail/trolley service
RTP Bus service
SE Inspection/Maintenance SC Road construction and
State of program, 
maintenance
Mexico Planning/modeling/data ST Public transport
(EM) collection, concessions, traffic
Enforcement 
operations
Metropolitan CAM Regulation/analysis Cometravi Consultative
Institutions
Source: Updated and adapted from Tables 6.21 and 6.22 in (Gakenheimer, Molina et al. 2002).
Overcoming vertical and horizontal fragmentation of responsibilities is highly difficult. In terms
of metropolitan-level strategies for the environment, there has been some success through the
Metropolitan Environmental Commission (Comisi6n Ambiental 
Metropolitana, or CAM). Yet,
there has been much less progress in coordination of transportation-related activities through the
Metropolitan Transportation and Roadways Commission (Comisi6n Metropolitana de
Transporte y Vialidades, or Cometravi). While CAM has had access to independent financial
resources, and has some executive and regulatory powers, Cometravi has been substantially more
325 The acronyms used in this table 
are described in the text before 
and after this figure.
377
limited in its ability to implement policies (Molina and Molina 2002, p 269). In the area of
regional transportation planning, there are often several concurrent planning activities taking
place at the federal level, in the DF, and in the State of Mexico, with little interaction or
coordination between those plans. According to a planner at the Secretariat for Transportation
and Roadways (Secretaria de Transportes y Vialidades, or Setravi), the local plans for regional
development and land use are supposed to take into consideration national level plans for major
infrastructure and other plans.
32  
However, in reality, local plans end at jurisdictional borders
and do not encompass the larger metropolitan area, which leads to one set of plans and programs
encompassing the metropolitan population living in the DF, and another set for plans and
programs for the population residing in the surrounding municipalities in the State of Mexico.
The political competition between the Federal District and State of Mexico also exacerbates
efforts at metropolitan coordination. In the early campaigning by 2006 candidates to the
presidency, the Governor of the State of Mexico, Arturo Montiel, was vying for the nomination
of the PRI, while the Mayor of the Federal District, Andres Manuel L6pez Obrador, was
competing for (and eventually secured) the nomination as the PRD's presidential candidate.
Many observers felt that the greater political aspirations of elected officials (and their parties)
have undermined efforts toward metropolitan-level coordination. However, there are also deeper
issues creating barriers to metropolitan-level coordination, such as the disparity in wealth
(government finances and average income per capita) between the DF and State of Mexico, and
differences in the relative training of personnel in public sector agencies and level of personnel
turnover. There are also differences due to the internal politics of the State of Mexico, in that the
center of political power for the state is in its capital of Toluca, to the west of the urbanized
municipalities that are considered part of the Metropolitan Zone of the Valley of Mexico
(Iracheta Cenecorta 
2004).327
* State-level Institutions
Because we are looking at integrated innovation for air quality and mobility, we will be looking
more closely at the cooperation between transportation and air quality agencies, leaving to other
researchers the issues of metropolitan coordination, which is another entire topic in its own right.
We will consider the case of the Federal District more extensively than the surrounding
municipalities of the State of Mexico, in part because the DF is further ahead in the area of both
air quality and ITS deployment than the State of Mexico. Therefore, for this chapter, we will be
primarily be discussing the Secretariat of the Environment (Secretaria de Medio Ambiente, or
SMA), Secretariat of Transportation and Roadways (Secretaria de Transportes y Vialidades, or
Setravi), Secretariat of Public Security (Secretaria de Seguridad Ptblica, or SSP), Secretariat of
Public Works and Services (Secretaria de Obras y Servicios Ptiblicos, or SOS), the Metro
(subway system), STE (light rail and trolleybus service provider), and RTP (bus service
provider). In the State of Mexico, there is the Secretary of Ecology (Secretaria de Ecologia, or
326 Setravi, Personal communication, 
December 2003.
327 We will use the terms Metropolitan Zone of the Valley 
of Mexico (MZVM) and the Mexico City Metropolitan
Area (MCMA) somewhat interchangeably. Because Mexico City, or Ciudad de Mexico, historically refers to the
four central delegations of the Federal District, observers from the State of Mexico prefer the former term (MZVM).
378
SE) and the Secretariats of Communications (for roadways) and Transportation (for public
transportation) (Secretaria de Comunicaciones and Secretaria de Transporte, or SC and ST).
Again, looking at Table 7-4 above, we can see that there is substantially more fragmentation
between transportation agencies than for environmental agencies in the DF. In particular, there
is fragmentation of planning and analysis (Setravi), management of private sector 
transit
operators (Setravi), traffic operations and enforcement (SSP), construction and maintenance
(Public Works), and government-owned transit operations (RTP, STE, and Metro). Yet, because
these organizations are all under the mandate of the Mayor (Jefe de Gobierno) of the DF, there
are, in principle, greater possibilities for coordination through the office of the Mayor. Indeed,
some observers have referred to the current governance structure in Mexico City as "a highly
centralized, city-wide and mayor-headed local authority" (Nava Escudero 2001, p 112).
Therefore, we find that while the responsibilities for transportation and air quality, as defined by
the legislation, are dispersed across a number of different agencies in the DF, with somewhat
unclear and overlapping responsibilities, at the same time, there are possibilities for substantial
mayoral intervention for issues that deal directly and indirectly with various agencies' mandates.
We will discuss these issues of cooperation and fragmentation under the current administration
(2000-2006), as it related to issues of transportation and air quality. Specifically, we will
consider what the impact has been of the particular forms of interagency "cooperation" that have
emerged.
* Non-Governmental and International 
Organizations
For the case of Mexico City, international organizations should also be considered, both in terms
of their impacts on the development of ITS, as well as the impacts on the development of
transportation and environmental policies and programs. As discussed above, ITS America and
ITS vendors from the US and elsewhere have taken an interest in the Mexican market for ITS
products. In the area of transportation and air quality, groups from the World Bank have been
involved through financial and technical support to policymakers and decisionmakers in Mexico
City for many years. More recently, groups such as EMBARQ, part of the World Resources
Institute, have also promoted environmentally-friendly transportation options in Mexico,
collaborating through local NGOs such as the Center for Sustainable Transport. These
international institutions have provided financial and technical support in ways that would be
analogous to the support received by local governments in the US from the FHWA or FTA.
Research groups from institutions and universities outside of Mexico in collaboration with
national universities, such as UNAM (National Autonomous University of Mexico) and ITESM
(Monterrey Institute of Technology and Higher Studies), have also brought a wealth of scientific
and technical support to support air quality management efforts. The Mexico City Program at
MIT,
32 8 
which also included researchers from Harvard, Boston University and collaboration with
other academic and research institutions, was initiated in 1999 by Dr. Mario Molina, a Chemistry
Noble Laureate in 1995 for his work in stratospheric ozone depletion. This project, which lasted
at MIT from 1999 to 2004 attempted to provide an integrated assessment of the air 
quality
328 The author was a research assistant 
at MIT for the Mexico City Project 
between 1999 to 2003.
379
problem and multi-sector solutions that were technically, economically, and politically feasible.
Other researchers have questioned the ultimate influence on air quality policies, suggesting that a
more collaborative process for stakeholder input into the scientific and technical modeling of air
quality improvement options, would have lead to better outcomes (Mostashari 2005). However,
in practice, the influence may not have worked directly through the technical reports or lists of
recommendations produced by the research teams, but rather via the public statements and
declarations made by Mario Molina himself, and his personal interactions and influence with key
decisionmakers.
329 
The Molina Center for Strategic Studies on Energy and the Environment was
established in Mexico City in 2004 to continue to provide scientific and technical input to
decisionmakers.
7.3.2 Air Quality History
Unfortunately for public health, the geography and meteorology of the air basin of the Mexico
City Metropolitan Area is highly favorable to ozone. 
The high altitude of Mexico City,
mentioned earlier, results in intense solar radiation that drives the photochemical process of
ozone formation. The surrounding mountains also effectively trap pollutants within the basin -
particularly when coupled with thermal inversions during the winter months with little
precipitation - ozone can reach very dangerous levels. In addition, "predominant wind patterns
in the afternoon often transport pollutants from the industrial area northeast of the city to the city
center and the residential areas southwest of the city" (Molina, Molina et al. 2002, p 141).
7.3.2.1 Sources
In terms of ozone precursors, Mexico City has been found to have very high ratios of VOC to
NOx, based on the 1998 emissions inventory (Molina, Molina et al. 2002). This has also been
confirmed in the more recent (2002) emissions inventory, shown in Figure 7-5. VOC emissions
are extremely high, even compared to cities such as Los Angeles. Area sources are the
predominant source, with commercial and domestic solvent use, and the distribution, installation,
and use of liquefied petroleum gas (LPG)
330 
representing some of the biggest culprits (Secretaria
de Medio Ambiente del Distrito Federal 2002). This ratio of VOC to NOx suggests that ozone
formation is NOx-sensitive or NOx-limited, meaning that reductions of NOx are a more effective
strategy than VOC controls. Indeed, much of the modeling work has been in reconciling the
emissions inventory with observed ozone levels, since VOC (as well as CO) has usually been
substantially underestimated 
in emissions inventories.
33
1
329 Indeed, during interviews that were undertaken 
with a wide range of stakeholder and 
decisionmakers for
metropolitan air quality management - part of a Conflict Assessment lead by researchers at MIT - many pointed to
Molina as a highly credible and respected public figure on environmental issues. He was also cited as perhaps the
only person that could break the impasse on the metropolitan coordination on air quality management.
330 Releases of VOC primarily occur as 
leaks from improper installation, and from 
unburned hydrocarbons during
the use of LPG.
331 In order for modeled ozone levels to fit with 
measured concentrations, researchers often have 
to multiply VOC
emissions (from the official emissions inventory) by a factor of 3 West, J. J., M. A. Zavala, et al. (2004). "Modeling
ozone photochemistry and evaluation of hydrocarbon emissions in the Mexico City metropolitan area." Journal of
Geophysical Research 109.
380
Looking at the breakdown of NOx emissions by point, area and mobile sources for
anthropogenic emissions, mobile sources greatly outweigh area and point sources in the MCMA.
Within the category of mobile sources (see Table 7-5), emissions from private automobiles are
approximately one-third of total mobile source emissions. Although private automobiles have
lower emissions rates (on a per vehicle, not per passenger, basis), the fleet is over 2.7 million
(again, see Table 7-5).332 Looking only at the category of passenger transportation, and thus
excluding vehicles for goods movements - i.e. tractor-trailers, the second largest mobile source
category - the contribution of private automobiles to NOx is even more evident. Taxis are
another important source, with nearly 20% of mobile sources emissions, due to the intensive use
of these vehicles.
Figure 7-5 Emissions Inventory for the Mexico City Metropolitan Area
(metric tonnes 
per day)
333
1400-
1200-
1000
Q 800
o 600
400-
200-
0-
* Point Sources
" Area Sources
* Mobile Sources
-54
32-
NOx VOC
Source: (Secretaria de Medio Ambiente del Distrito Federal 2002, Table 3.3.1)
Taking into account both the importance of NOx controls, and the fact that mobile sources are
the principal source of NOx emissions, actions aimed at reducing mobile source emissions will
continue to be critical to improving air quality in the MCMA. On average, the private
automobile fleet is substantially newer and cleaner compared to 
earlier years. However,
approximately 34% of gasoline vehicles in the MCMA still do not have emissions control
systems, according to the SMA, meaning that they will generate a disproportionately large share
of emissions (Secretaria de Medio Ambiente del Distrito Federal 2002). This suggests that high
emitters continue to be highly problematic in the MCMA.
332 These vehicle fleet numbers are for 2002, 
taking into account new vehicles sales, the 
private automobile fleet
could now be somewhere between 3.5 or even up 4 million. See Figure 7-6 for data on annual vehicle sales.
333 For comparison with the emission inventories 
for the US, which use (short) tons (2,000 
lbs), Mexico uses
(metric) tonnes (1,000 kg). Thus, 1 tonne = 1.1 tons.
381
I
Table 7-5 Mobile source NOx emissions by vehicle category
Number of annual emissions % of mobile
vehicles 
(metric tons/day) 
source emissions
Private automobiles 2,712,262 145 33.8
Taxis 115,974 41 19.6
Combis 19,485 11 2.5
Microbuses 32,236 27 6.3
Pick-up trucks 175,021 30 7.1
Vehicles less than 3 tons 273,396 65 15.3
Tractor-trailers 75,571 67 15.6
Buses 30,683 26 6.0
Vehicles greater than 3 tons 59,225 16 3.7
Motorcycles 94,437 1 0.2
ALL 3,588,290 429 tons 100.0%
Source: (Secretaria de Medio Ambiente del Distrito Federal 2002, Table 4.3.8)
Furthermore, as has happened in the US and elsewhere, the pace of reductions in the emission
rates of individual vehicles (grams per kilometer traveled) through cleaner vehicles and fuels, is
counterbalanced by increases in vehicle kilometers traveled (VKT). This increase in VKT is
spurred not only by growth in individual trip making and trip distances, particularly as the city
continues to expand, but also by the rapid motorization of the population. For example, in the
MCMA alone, for the past several years, over 300,000 new vehicles have been added to the fleet
each year.
334 
This had led to a substantial shift from public transportation to travel by private
automobile.
334 However, this only looks at additions to the private vehicle fleet, and does not include 
vehicles that are subtracted
from the fleet, i.e. vehicles that are no longer used or are re-sold outside of the MCMA. Furthermore, these older
vehicles that are no longer circulating the MCMA, are likely to be among the highest emitters, assuming that they
are older and possibly malfunctioning vehicles.
382
Figure 7-6 Annual sales of new vehicles in Mexico and the MCMA (1994 to 2006)
3
1
5
1,2UU,0IU
1,000,000
800,000
600,000
400,000
200,000
0
1994 1996 1998 2000 2002 2004 2006
Source: National new vehicles sales from AMIA (Mexican Automobile Industry Association).
See www.amia.com.mx/estvtmen.htm for updated sales figures. Last accessed April 24, 2006.
7.3.2.2 Actions
Most of the transportation-related actions undertaken to improve air quality have been via: (1)
improvements in vehicle emission equipment and fuels, (2) improved inspection and
maintenance programs, (3) mandatory driving restrictions, (4) renovation of the public
transportation fleet through new vehicle purchases in government-operated services (RTP), and
scrappage/incentive programs for turnover of the private-owned and operated fleet of
microbuses, and (5) expansion of relatively "non-polluting" modes such as the Metro, light rail,
and trolleybuses. Vehicle and fuel improvements have taken place through regulation by
Semarnat and investments in improved refining by the state-owned petroleum company,
Petr6leos Mexicanos (Pemex). Most of the reductions in emissions have been attributed to the
introduction of cleaner vehicles and fuels; specifically, unleaded gasoline, catalytic converters,
I/M programs, US Tier 1 vehicle emission standards, and on-board diagnostic (OBD) systems
(Gakenheimer, Molina et al. 2002, p 278-9). At the local level, substantial efforts and funds
have been directed toward promoting turnover in the fleet of taxis and colectivos. For example,
in 2001, a program was created by the DF to buy and scrap pre-1990 microbuses, financing the
335 MCMA sales are calculated as percentage 
of national sales as given in Aoki, C. (2002). 
Technological Change
for Environmental Improvement: The Case of the Mexican Automobile Sector. Doctoral Thesis in Technology,
Management and Policy. Engineering Systems Division. Cambridge, MA, Massachusetts Institute of Technology.
The average MCMA share of national sales from 1993-1999 (42%) was used to estimate MCMA vehicle sales
between 2000 and 2006. The sharp drop in sales in 1995 was a response to the economic crisis that occurred that
year with devaluation of the peso. Monthly average sales (January through March) were used to estimate annual
sales for the rest of 2006. Because November and December generally have substantially higher sales figures, this
estimate for 2006 is probably conservative.
336 These are "non-polluting" only in 
the local sense, in that they are electric 
modes that do not have emissions from
the vehicles themselveds. Power generation has largely been moved outside of the Mexico City air basin.
383
purchase of new diesel buses with credits up to 100,000 Mexican pesos (Gakenheimer, Molina et
al. 2002, p 279).
On the planning front, the Federal District began to more seriously integrate transportation and
environmental planning through two documents: the 1995 transportation program, Programa
Integral de Transporte y Vialidad (PITV), and the 1996 air quality program, Programa para
Mejorar la Calidad del Aire en el Valle de Mixico (Proaire). These two documents were
updated again with the PITV 2001-2006 and Proaire for 2002-2010. Comparing these
documents to the planning and programming structure in the US, these "programs" fall
somewhere between a plan and a program. It lacks the long-term planning horizon and
continuity of most planning documents in the US, for example. On the other hand, there is little
specificity in most of the project descriptions, particularly in project funding sources. Therefore,
the PITV and Proaire often take on the characteristic of a "wish-list" for transportation and air
quality projects. With no clear prioritization scheme included within the programs, the projects
that will actually be funded and implemented often depend upon the preferences of elected
officials when developing and approving annual spending budgets. As a result, much of the
planning document's original balance between modes, and between operations-based
improvements and capital investments found in the programs, is later lost in the political
wrangling over the budgeting process. While the more recent plan contemplates expansion of
public transit service, it also includes substantial expansion of highway capacity. As noted by
Nava Escudero, referring to the PITV (transportation program) and Proaire (air quality
management program) of the late 1990s, these plans were intended to "re-arrange and
considerably increase the use of public transportation, but not without continuing to favour
private vehicles" (Nava Escudero 2001).
* Transportation Control Measures (Demand 
Management)
In terms of transportation control measures (TCMs) - whether demand management or supply
management measures - there has been substantially less activity. On the demand management
side, there have been no major programs initiated to decrease vehicle use and/or increase vehicle
occupancy in private vehicles through ridesharing, HOV lanes, compressed work weeks,
employer-based vanpools, or congestion pricing. Some argue that certain demand management
measures currently used in the US, such as carpooling, may be poorly suited to the context of
developing country cities (Vasconcellos 2001, p 288). For example, in the MCMA, transit is still
the dominant mode share, albeit one that is losing ground. Because automobile trips are still
officially considered to be a minority of trips (as shown in Figure 7-3),
337 
there has not been as
much discussion around increasing the occupancy levels of trips in private vehicles, as in the US
where travel in private autos in the norm. In addition, combining origins and destinations of
travelers requires substantial information and surveillance capabilities, which might not exist
except in very large enterprises in developing country cities (Vasconcellos 2001, p 288). For
many demand management measures, enforcement of those measures would be extremely
337 20% is the official figure, although experts at the Center 
for Sustainable Transportation in Mexico City estimate
that the mode split has probably evolved toward a much higher share of trips in private vehicles.
384
difficult. For example, there is no uniformity in or regulatory control over parking pricing and/or
availability and a lack of resources 
to enforce on-street parking restrictions.
3 38
Public transport expansion, as a demand management measure, is included in both Proaire and
PITV documents, but seems to be aimed more at maintaining mode share (taking into account
growth in overall travel), rather than attracting people back from private automobiles.
Therefore, air quality management efforts related to public transit have focused more on
introducing cleaner vehicles both into the government-operated 
fleet, through direct purchases,
and into the privately-operated fleet, through credits for new vehicle purchases with scrappage of
older units.
There have been more recent efforts to promote non-motorized transportation, in particular,
through the creation of bicycle routes. These investments have to a large extent been undertaken
in response to pressures from environmental groups criticizing large infrastructure projects 
that
favor the automobile. For example, when environmental and other citizen groups challenged the
social and environmental sustainability of projects such as the double-decking of two major
urban highways, pushing instead for transportation "alternatives" such as better public transit,
bikeways and more pedestrian-friendly facilities, the administration's response was to
incorporate the "alternatives" into the package of highway infrastructure investments.
339 
It is
unclear whether there is a more strategic plan by the public sector for developing a
comprehensive bicycle infrastructure, and if bicycle corridors will continue to be built if NGO
pressures do subside, or if this was a one-time mitigation measure to placate opponents of
highway expansion 
projects.
340
Hoy No Circula (HNC), Mexico City's "no-drive day" according to license plate numbers and
vehicle age, is probably the most well-known demand management measure for both congestion
mitigation and air quality improvements by reducing VMT. In theory, the measure is simple.
According the last number on the license plate, vehicle owners were assigned a day of the week
in which their vehicle cannot circulate during the day (Monday to Friday). Because it operated
five days of the week, each day, two license plate numbers would be banned, thus restricting
20% of the private vehicle fleet. In 1995, the measures were strengthened to further restrict
circulation of older vehicles during contingencies. Eventually, as the program was linked to the
inspection and maintenance program and modified to provide incentives for turnover in the
private vehicle fleet, a more complex scheme for exemptions developed. Newer vehicles (1993
model years and newer) equipped with catalytic converters would be allowed to circulate every
day of the week, thus encouraging people to buy newer vehicles instead of facing the
inconvenience of HNC. Therefore, the measure began both as an air quality measure and a
338 Indeed, in addition to on-street 
parking, there is often "on-sidewalk" 
parking. Enforcement of parking 
in many
high-demand streets, particularly in commercial areas, is essentially controlled by the informal sector franeleros.
These are individuals that "help" drivers find available on-street parking spaces for a "tip" in return (often having
previously blocked-off those spaces with obstacles).
339 "Promueven ciclopistas 
en el Pais (Promoting bike 
routes in the nation)," Reforma, 
November 11, 2003. See 
also
www.fimevic.df.gob.mx.
340 Alberto Acosta, "Piden apoyo vecinal 
para nueva ciclovia (Seeking neighborhood 
support for new bikeway),"
Reforma, April 24,2006.
385
congestion mitigation measure, taking 20% of the vehicle fleet out of circulation once a week.
With tighter circulation restrictions for older vehicles, and exemptions for newer vehicles, the
program would be more specifically directed to the most polluting vehicles, and provide
incentives for turnover in the fleet. However, with exemptions from HNC, the congestion
mitigation benefits would begin to diminish rapidly. Air quality benefits also began to lose
ground as the size of the vehicle fleet (albeit a cleaner fleet) circulating in the MCMA, continued
to grow. HNC has also been widely cited as a case of unintended consequences in policy
implementation, in that it was also believed to have spurred the market for used vehicles, as a
back-up vehicle for restricted days, as a way to avoid the driving restriction (Eskeland and
Feyzioglu 1997; 
Orsunal and Gautam 
1997).341
Policymakers in the DF have not fully accepted the analyses suggesting that there was an
increase in the purchase (or retaining) of second-hand cars for the day the primary car is banned.
Yet, the deterioration of the effectiveness of the policy has lead to revisions of the program.
However, there has been no serious contemplation by decisionmakers of fundamentally different
demand management measures, such as congestion pricing. London broke with earlier
paradigms that suggested that no elected official would be willing to accept the political risks of
implementing congestion pricing, and that no public would accept it. Discussions have taken
place in academic circles regarding the possibility of congestion pricing in Mexico City
(Mahendra 2004). Some consider congestion pricing a smoother form of demand management
than HNC, in that people would have the option to pay to drive, rather than the more inflexible
driving 
bans.
342
In terms of ridesharing, one could consider the smaller colectivo taxis (such as sedans or
minivans) as a market-driven form of ridesharing (or more specifically, vanpooling), in which
the vehicle's owner/operator is paid by the riders. However, this would represent a much
different dynamic from the US, where ridesharing shifts drivers from single occupancy vehicles
to carpools or vanpools. The colectivo service in the MCMA is more characteristic of a niche
market for public transportation where regular bus service does not reach, and where residents to
not have access to a private vehicle. Although the transportation officials generally do not hold
informal public transportation services such as colectivos, combis, and microbuses in high
esteem, some analysts outside of Mexico, have pointed to the benefits of this informal service as
an adaptive response to the land use, transportation network and transportation demands of the
population. In fact, Cervero lauds the "free-enterprise paratransit sector... superbly tailored to
the region's spread-out landscape" (Cervero 2002, p 379).
* Transportation Control Measures (Supply Management)
Looking at supply management measures for emission reductions - traffic flow improvements
through traffic signalization, incident management, traveler information, intersection
341 See Appendix B of Molina and Molina (2002) for a good discussion 
and analysis of the evolution of Hoy No
Circula and its impacts.
342 Discussion during the Joint Seminar of the International Union of 
Air Pollution Prevention and Environmental
Protection Association (IUAPPA) and Integrated Program on Urban, Regional and Global Air Pollution
(IPURGAP), January 22-23, 2004, Mexico City.
386
improvements - there has been little done. As described below, the Secretariat of Public
Security (SSP) for the DF has been expanding its network of computerized signals connected
back to the Traffic Control Center. However, that effort has not been considered a measure for
air quality improvements. In fact, although Proaire has a measure for the modernization of
metropolitan traffic management systems, it does not include the SSP as one of the actors
involved. Instead, it lists Setravi as the primary actors for those improvements, even through
Setravi does not have an active 
role in traffic signalization and management.
343
E Summary
The focus of mobile source emission reduction strategies has primarily been on improved
vehicles and fuels. Given the age of the vehicle fleets, and number of high emitters, and
potential for further reductions with available emission control equipment, and lower sulfur
fuels, this is indeed an effective strategy for emission reductions. However, where efforts have
lagged is in more aggressive measures to affect the evolution of the mode share in the MCMA.
Again, the transportation and air quality problem in Mexico City is often defined by
decisionmakers by the shift in mode share toward lower capacity modes, as illustrated in the
widely-referenced Figure 7-3, and the growth in the use of the private automobile. Despite this
rhetoric, the expansion of public transit, although considered and included as a number of
measures in Proaire, has not been a prominent measure for air quality improvements. Only
more recently, with the new Metrobtis project, have transportation and air quality planners begun
to made more serious and substantiated claims for changing the mode share by luring people
from their cars to public transportation. In the evaluation of the emissions benefits of Metrobzis,
credit was taken for vehicle replacements, improved traffic flows, as well as mode shifts from
private autos to Metrobtis. Demand management strategies are not common, with the exception
of Hoy No Circula, which has had mixed success as a measure targeted at air quality
improvements and congestion mitigation. Further behind are traffic flow improvements or other
transportation supply measures as emission reduction strategies.
7.3.2.3 Issues
Although air quality in the MCMA is still far from acceptable according to Mexican air quality
standards, the progress that has been made in improving air quality has nearly made air quality
management a victim of its own success. Atmospheric concentrations of SO
2
, CO and lead fell
substantially during the 1990s. Concentrations of ozone and particular matter also fell, although
not as dramatically. From the perspective of the public, the air quality crisis seems to have
passed. Since the late 1990s, there have been very few "contingencies" which, as explained
above, are triggered by extremely high pollution events (for example, when ozone exceeds 0.282
ppm). The contingency program includes several measures to be taken during such pollution
events, including additional HNC driving restrictions and reductions in industrial production and
power plant operations. While in 1991, there were up to 72 contingencies, there have been no
contingencies since 2002 (see Figure 7-7). Therefore, with contingency levels of ozone and
343 Indeed, as will be discussed below, 
more recently Setravi and the Secretariat 
of Public Works and Services
developed a list of 100 actions to improve traffic flow, none of which consider operational improvements.
387
PM10 pollution now apparently under control, there is a general sense that air quality has been
improved to acceptable 
or at least "bearable" 
levels.
344
Figure 7-7 Number of days above 1-hour ozone limit (0.11 ppm) and
above Phase I contingency levels for ozone (0.282 ppm)
40M
350
300
S250
S 200
M 150
100
50
0
1989 1991 1993 1995 1997 1999 2001 2003 2005
-o-- Days exceeding the 1-hr ozone limit (0.110 ppm)
-X- Days with a Phase I Contingency (over 0.282 ppm)
Source: (Secretaria de Medio Ambiente del Distrito Federal 2005, Tabla C)
Despite the public sense that the problem has been abated, according to researchers, ozone and
particulate matter "remain pollutants of serious concern, showing only small decreases in
concentration during the 1990s" (West, Zavala et al. 2004). As seen in Figure 7-7, the number of
day exceeding the 1-hour ozone limit, has not fallen rapidly. With the exception of a "clean"
year in 2004, ozone standards have generally been exceeded over 250 days of the year.
During a Conflict Assessment performed in the fall of 2004 and spring of 2005, consisting of
interviews with nearly 50 stakeholders from government, the private sector, and NGOs, many
interviewees also expressed the sense that there was no longer a sense of crisis. Indeed, more
recently, water quality and availability has risen to the forefront as perhaps the new
environmental crisis facing the MCMA. Yet, even in the absence of contingencies, unhealthy air
quality is still the norm, with one-third of the days of the year above the 1-hour ozone limit of
0.11 ppm. Looking at exceedances of the 1-hour ozone standard since 1989 in Figure 7-7, it is
clear that some progress has been made. However, comparing the rate of progress in reducing
the number of days above the limit, one can also see that cities such as Los Angeles have made
more substantial gains over the same period of time, despite the fact that these cities had already
taken important actions to reduce air pollution in the 1970s and 1980s.
344 Researchers from UNAM suggest that people have simply become accustomed 
or resigned to living with irritated
eyes, sore throats and infections, and other conditions caused by air pollution. IvAn Sosa, "Ahoga a los capitalinos el
ozono (Ozone chokes the capital's residents)," Reforma, February 29, 2004.
388
* Double-decked highways or confined 
bus corridors?
It is also important to look beyond issues of cleaner fuels and vehicles, and demand management
strategies such as HNC, and examine some of the major investments in the MCMA
transportation infrastructure. Much of the recent tension in transportation and air quality policy
is based in disagreements over the relative share of resources that should be destined to
expansion of roadway capacity and expansion of public transportation infrastructure and
operation. Therefore, we will discuss two important and highly visible transportation projects
that were recently implemented in the Federal District. We consider it appropriate to review
these two projects under this section on air quality management, because both of these projects
had the interesting and, at times, controversial characteristic that they were headed by the
Secretariat of the Environment for the Federal District.
34 5 
Furthermore, both of these projects
have the potential to substantially affect long-term air quality, although not necessarily in
positive directions.
As mentioned earlier, growing motorization has increased the demand for more infrastructure to
accommodate the private automobile, with many officials considering roadway expansion as a
viable measure to reduce congestion levels and travel delays. Although previous mayors had
also used highly visible capital infrastructure projects as a way to distinguish their
administration,
346 
the administration of Mayor Andres 
Manuel L6pez Obrador (2000-2005)
347
would be marked by an audacious project consisting of double decking two of the city's most
important and congested highways - the Perifdrico (a north-south route) and Viaducto (an east-
west route), along with massive interchanges and flyovers. The so-called "Second Stories"
(Segundos Pisos) project immediately raised responses from environmental and other NGOs,
both locally and internationally, based upon its potential environmental and social impacts, and
the possibility for induced demand (CESPEDES 2002). The Mexican Center for Environmental
Law (CEMDA) attempted to litigate the project based upon issues of impacts on surrounding
homeowners (as there was no clear legal route to challenge the project on environmental
grounds). NGOs and public figures critiqued the project on the basis of its air quality impacts,
possibilities to induce additional demand, and equity implications of prioritizing the car over
public transportation. Despite some signs that the project might be cancelled due to
environmental challenges, budgetary constraints, and the dubious results of a public referendum
345 Technically, the director of these 
projects is the President of the DF's 
Trust Fund for Improvement of Roadways
(Fimevic). These "trust funds" are government revenue instruments, generally using public funds, which are
designated to very specific purposes and/or projects. Yet, there has been a high level of turnover in this position,
while the Secretary of the Environment has been the primary public figure representing this project.
346 For example, Mayor Hank Gonzalez 
undertook massive road widening projects 
to create 16 Ejes Viales between
1978-9, a series of wide, one-way avenues, with counterflow lanes for trolleybuses, as well as significant expansion
of the Metro. According to Ward, this spending program also provided ample opportunities to "distribute patronage
and largesse among his own political supporters" Ward, P. M. (1998). Mexico City: The production and
reproduction of an urban environment. Boston, MA, G.K. Hall & Co.
347 Although L6pez Obrador would 
have been mayor until 2006, he left 
the position in 2005 to campaign 
for
President of Mexico.
389
on the project,348 the first flyover (Distribuidor San Antonio) was built in 2002, followed by the
Second Story over Perifigrico (in the South of the DF).
However, there are also pressures to improve public transportation. Coupled with the
deterioration of service quality and the mode shift from larger buses to smaller informal
colectivo services, there is a demand for a high quality public transportation system. As the
Second Stories were being planned and constructed, progress was also being made on an entirely
different project, a dedicated corridor for a bus rapid transit type service along Insurgentes, one
of the longest and most important north-south avenues through the city. This Metrobtis would
consist of a confined corridor in the center lane for exclusive use of articulated buses with
boarding platforms at-level with the station, multiple wide doors for entry, pre-paid electronic
fare payment for entering the stations, frequent service, new logos, and signage for clear
identification of stations along the route. The same critics of the Second Stories were praising
efforts to develop a new public transit option that would be implemented at a lower cost than
other public transit modes such as the Metro, but with significantly better travel times, comfort
and image than regular bus service.
349  
For example, the Sub-secretary of Planning and
Environmental Policy at the federal-level Secretariat for the Environment and Natural Resources
(Semarnat), Fernando Tudela, stated the following:
"Through public works projects favoring the automobile, we could be increasing
emissions of greenhouse gases, the cause of climate change. But, if we complement
projects that improve roadways with effective public transportation, such as the dedicated
bus lanes, many will quit burning gasoline in their cars, and will use a modem public
transit system."
35
o
The project, called Metrobuis, grew out of a collaboration with and the support of international
agencies such as the World Bank and EMBARQ, the World Resources Institute's Center for
Transport and Environment, that began in 2002 (Shipper 2004). What is interesting to note, is
that the project's discussion does not focus as much on local air quality, but rather on the impact
of transportation in Mexico City on global greenhouse gas emissions, and ability to "sell" those
reductions as carbon credits. As noted by two of the participants involved via EMBARQ:
"While restraining greenhouse gases is a critical goal for the world, it is rarely a major
factor for or against adopting major reforms in the transport sector beyond those affecting
vehicle fuel efficiency and fuel choice.... But the benefits of restrained CO2 emissions
should accrue to transport and other projects.... In some instances, verified savings of
348 There was only a 6.6% voter participation in the referendum. Under 
a new Law of Citizen Participation (Ley de
Participaci6n Ciudadana), these results should have been invalid. "Mexico City Announces Bus Rapid Transit
Plans" Sustainable Transport e-update, No. 5. Bulletin of the Institute for Transportation & Development Policy
(ITDP). March 2003. Available at: www.itdp.org.
349 Several NGOs such as Participaci6n Ciudadana (Citizen Participation), 
the Centro Mexicano de Derecho
Ambiental (CEMDA), and ITDP, strongly supported the Metrobzs project. However, several environmental groups
opposed the Metrobtis, protesting the decision to use Insurgentes as the first corridor, because it would mean that a
large number of trees would be removed from the avenue's median to create space for the stations.
350 "Apoyan Metrobtis contra 
cambio climatico (Supporting the 
Metrobtis against climate change)," 
Reforma,
December 6, 2003. Translation from Spanish by author.
390
CO2 emissions can then be sold to countries or actors willing to "buy" them through the
World Bank's Prototype Carbon Fund" (Rogers and Shipper 2005).
Therefore, this project must be understood in the context the interaction between players 
at the
local and international level. The role of federal agencies, on the other hand, 
has been limited,
with some involvement by INE in the analysis of benefits. While it was a locally-deployed
project, the objectives that motivated the project 
were its mobility and local air quality benefits,
as well as its role as an "experiment" in reducing carbon emissions in ways that could
documented and sold in the form of carbon credits.
These international players played an important role in the planning and implementation of the
corridor, and advising on the restructuring of the current scheme of public and private transit
service provision along Insurgentes.
35 1 
There was also substantial collaboration with the World
Bank and WRI with regards to the planning and design of the Metrobis, and the testing and
selection of buses for the corridor. The 19.7-km corridor, with 34 stations and 2 terminals, was
inaugurated on June 19, 2005, and is estimated to serve a demand of over 270,000 passengers
daily. Below, we will discuss the ITS components of Metrobis, and its air quality impacts.
7.3.3 ITS Deployment
We will now describe the general deployment of ITS in the Mexico City Metropolitan Area. In
the section that follows, we will then describe more specifically the linkages between ITS
deployment and air quality management, in order to assess to what extent ITS has been deployed
with an air quality objective.
7.3.3.1 Traffic
For Mexico City's urban highways - Perifirico, Circuito Interior, Viaducto - there is little real-
time electronic data collection either through loop detectors or other types of roadside detection.
There is no ramp metering, HOV lanes, or other types of managed lanes within the MCMA. As
noted earlier, the highways leading out of the metropolitan area are frequently tolled. Electronic
toll collection (called IA VE, sounding like Uave or "key" in Spanish) lanes are available for many
of the toll plazas. However, there are low levels of use by regular passenger travel. These
highways have extremely high demand for weekend travel out of the city, particularly the
highway to Cuernavaca, and thus present substantial back-ups on Friday evenings (leaving the
city) and Sunday afternoons (entering the city).
Within the Federal District, there is more extensive traffic monitoring with CCTV, and real-time
electronic data collection on traffic through loop detectors, both of which are controlled through
the city's Traffic Control Center. The city's 172 CCTV cameras (pan-tilt-zoom) support traffic
operations and responses to incidents, although there is often a lack of coordination in
351 One of the primary challenges 
was negotiating with the privately-operated 
colectivo services that would be
replaced by the Metrobtis, and incorporating colectivo owners and operators into a formal business operation were
revenues would be collected centrally and distributed to operators.
391
responding to accidents.
3 52 
Images from the CCTVs are also fed to several television stations for
traffic reporting. There are over 20 variable message signs (VMS) that - when providing
accurate and real-time information on traffic conditions, incidents and alternate routes - could
serve to reroute traffic around incidents, construction, etc. However, the VMS are generally
underutilized in terms of providing information to drivers, displaying messages with static
information (such as reminders to use seatbelts), or providing unclear information and unhelpful
instructions to drivers ("congestion ahead, use alternate routes").
In addition to recurrent congestion during peak periods,
353 
non-recurrent congestion from
accidents and incidents is highly problematic. The physical geometry of Mexico City's limited
access roads (i.e. lack of wide shoulders), often does not permit drivers to move disabled
vehicles to the side of the road and out of the flow of traffic to avoid traffic buildups. In order to
deal with non-recurrent congestion that can cause significant delays, and perhaps more
importantly, high variability in trip times, some programs have been developed to provide
roadway assistance for accidents and mechanical failures. Several years ago, Setravi instituted a
program in the DF called "Roadway Help" (Apoyo Vial), which provides a "highway helper"
service. "Radars" (Setravi personnel identified by their yellow uniforms) are available both for
motorist assistance as well as for pedestrian assistance. The highway "radars" on yellow
motorcycles, provide mechanic assistance (changing tires, providing gasoline, etc.) to motorists
with disabled vehicles located on highways and other important avenues (such as Reforma and
Insurgentes).
354
In the DF, the Secretary of Public Security (SSP) of the DF has primary responsibility for traffic
management. Of the 50,000 intersections in the Federal District, over 3,076 are signalized. Of
these signalized intersections, approximately 1,246 are interconnected, and about 1,810 are basic
electronic signals with synchronized clocks (Secretaria de Transporte y Vialidad del Distrito
Federal (Setravi) 2002, p 23).
3
" Of the 1,246 interconnected signals, approximately 300 signals
are included in the adaptive control system, in theory, capable of changing signalization patterns
to respond to real-time traffic conditions. The software used to control these signals is SCATS,
which was developed in Australia. In discussions with officials from SSP in 2003, they
suggested that there were plans to expand the system with 700 additional signals controlled using
SCATS. However, private sector consultants for the SSP supporting the operations of the
adaptive control system described a less optimistic picture of how well the system was
functioning.
356 
According to them, the majority of the signals continue to be operate in a semi-
352 For example, according to engineers from 
the SSP, there is no common source for compiling 
information on
traffic accidents, with many accidents not officially registered.
353 Peak hour travel in Mexico City is characterized 
by a morning peak (6:15 pm to 9:45 pm), 
afternoon peak during
the Mexican hour of"comida" (14:00 pm to 15:45 PM), and evening peak (6:00 pm to 9:15 pm).
354 Information on the program available in Spanish 
at www.setravi.df.gob.mx/programas/apovo vial.html. 
Last
accessed April 23, 2006.
355 Personal communication, Engineer from the Department 
of Traffic Operations and Roadway Engineering 
from
the Secretariat of Public Security (SSP), December 18, 2003.
356 Personal communication, Representative from INMER 
S.A. at Intertraffic Mexico, October 2004. According 
to
the Secretariat of Public Security, INMER has worked with the government of the Federal District on traffic signal
systems for 20 years. See www.ssp.df.gob.mx, last accessed July 5, 2006.
392
manual mode, with very few actually running in the fully adaptive mode. They suggest that in
large part, this is to avoid taking the signal technicians and engineers "out of the loop" of signal
control and timing upgrading, which could mean job losses for those employees.
7.3.3.2 Transit
Little ITS infrastructure currently exists for the road-based public transportation system in
Mexico City, the majority of which is privately owned and operated as colectivo/microbus
service. ITS technologies have only recently begun to gain notice as a viable option for
improving the performance of public transit in the MCMA. Advanced systems have been
deployed as part of Metrobu's, the first bus rapid transit (BRT) on an exclusive busway in Mexico
City. The primary ITS applications deployed are a contactless smart card, for pre-payment in the
Metrob's stations and more recently, the use of Automated Vehicle Location (AVL) using GPS
for both in-vehicle units and a bus operation control center. Traffic signal improvements were
also made along the corridor, including additional signalization for pedestrian crossing with
"count-down" displays. Pre-paid 
rechargeable smart cards are 
also being planned for extension
to the subway system (Metro), and possibly throughout the rest of the government-operated bus
service (RTP) and trolleybus 
and light rail service (STE).
3 57
The AVL systems and bus operations control center has only recently come online - six months
behind schedule
358 
- to control headway between vehicles. To the author's knowledge, there is
no traffic signal priority as of yet, although this could be a possibility. There is also no real-time
information on bus arrivals at stations, which is not especially necessary due to high frequency of
service (every 3-4 minutes), nor are there in-vehicle stop announcements.
The deployment of Smart Cards could be an important step in moving toward a more intermodal
public transit system, and allow for more diverse, differentiated fare policies, including transfers
and discounts.
359  
It has also been essential for the financial reorganization of public and
privately operated transit service on the Metrobis. The Metro and light rail both utilize single-
use magnetic strip tickets (2 pesos) for entering into the stations. The government-operated RTP
buses accept exact change only, also with a fixed rate of 2 pesos, while the private colectivo
operators provide change, and charge variable fares depending upon the distance traveled. The
routine of providing change, as well as frequently answering questions about the route and
destination of the colectivo, 
also leads to significant dwell 
times.
36
a Iv~n Sosa. 2006. "Complican el pago de transporte local (Complicating local transit 
fare payment)." Reforma,
June 11.
31 IvAn Sosa. 2006. "Controlan Metrobts 
a trav6s de sat61ites (Metrobfis controlled 
via satellites)." Reforma, May
27.
359 There is some differentiation 
of fare policies by age, with "senior 
citizens" (60+) riding for free with
identification. However, the only distance-based fare differentiation is found in the private sector colectivos, which
generally charge in three increments of 50 centavos (approx. $0.05 US).
360 However, in some cases, the colectivo 
driver also has a type of assistant to deal 
with making change and other
issues. Also, while the colectivos may have longer dwell times during passenger boardings, they make up time by
not always coming to a full stop when letting passengers off of the vehicle.
393
Interviews with planners from Metro in 2003 had indicated that deployment of smart card fare
payment would initially be tested and deployed in the subway system, then be extended to use on
the BRT system. However, the Metrobis was the first system to deploy the smart card
technology. There were delays in deploying the smart card system, to the extent that upon the
opening of the Metrobts along Insurgentes, travel on the new system was free for several weeks,
until the pre-paid smart card system was available.
361
' Even several months after the opening of
the Metrobis Insurgentes, one of the principal problems continues to be the fare payment
system, with problems leading to bottlenecks of people at the entrances to the stations.
Although the smart card is a supporting component of the BRT system, recent problems have
highlighted its importance. According to the director of the Metrobis, "the functioning of the
financial scheme is the most important part of the system, and it depends on the centralization of
the revenues for Metrob's via the cards."
362 
During the first eight months of operation of the
Metrobzis on Insurgentes, the main issue was the shortfall of buses to meet the demand without
overcrowding. However, as more buses have been added to service, the focus has shifted to
problems with the fare payment system. The tendency has been to blame the users. According
to the director of Metrobis, most users, having previously used colectivos or buses, were used to
paying in cash. Therefore, with the new system of rechargeable smart cards, they do not always
add enough money to the card to pay for multiple trips, and therefore must "re-charge" the card
each time. As a result, there is not a sufficient number of machines for dispensing and
recharging fare cards at such as high rate, meaning the queues at certain stations during peak
hours can reach 
up to 15 minutes.
363
The AVL units provides real-time information both to drivers, showing their location and
whether they are ahead or behind schedule, as well as to operators in the control center (Calder6n
Aguilera 2006).364 The vehicles are also equipped with radio communications so that the control
center operators can give instructions to the drivers as to whether to accelerate or slow down to
control headway between the buses. Like the smart card payment systems, the AVL units and
bus operations control center were delayed in their deployment. However, now that they are in
use, they appear to be providing substantial improvements to travel time, reducing travel time
(north to south) from approximately 70 to 58 minutes, and increasing average speeds from 17 to
20 kph. There has also been a growth in ridership. The average weekday ridership was around
225,000 between the end of September and December 2005. Since January 2006, average
weekday ridership has risen to approximately 260,000 (Calder6n Aguilera 2006). Initial
ridership projections were for 250,000 weekday riders on average. This ridership increase is
likely due to a number of factors - improved frequency of service and comfort due to the
addition of more buses, meaning less wait and less overcrowding in vehicles, as well as more
reliable service due to improved headway control. It is interesting to note that a survey of the
361 Particularly during this period of "free" travel, there 
was substantial overcrowding of the buses. This was also
due in part to an insufficiency of vehicles in the fleet, which was latter remedied through the addition of new
vehicles.
362 Ivan Sosa. 2006. "Saturan entradas del Metrobs (Metrobts' entrances are saturated)." Reforma, April 25.
363 Ivan Sosa. 2006. "Saturan entradas del Metrobtis (Metrobzs' entrances are saturated)." Reforma, April 25.
364 Also see IvAin Sosa. 2006. "Controlan Metrobds a trav6s 
de satblites (Metrobis controlled via satellites)."
Reforma, May 27.
394
Metrob's riders, showed that 4.1% of users formerly used private automobiles, and 2% formerly
used taxis (Calder6n Aguilera 2006). Based on an average weekday ridership of 250,000 users,
this would translate into roughly 15,000 trips shifted from private autos and taxis to public
transportation - an important outcome.
Beyond Metrobis, other providers of public transportation have also adopted AVL-based
systems for control of their fleets. For example, Metropolitan Transportation Group (Grupo
Metropolitano de Transporte, or GMT), which operates a fleet of 50 vehicles, utilizes GPS which
gives location information to drivers and dispatchers, and provides voice announcements to
passengers on upcoming 
intersections and stops.
36 5
Some additional applications for transit that have been considered include the combined use of
"panic buttons" along with 
automatic vehicle location 
(AVL) to provide emergency 
police
assistance to public transit vehicles, primarily the microbuses. This proposal emerged in 2003
after a number of violent assaults on passengers in microbuses, where the entire vehicle was
essentially "abducted" and taken off the route, where passengers were robbed and often
physically assaulted. Problems with finding vendors that would met the specifications
established by the Secretariat of Public Security delayed the deployment of this system, and it is
unclear how many units, if any, have actually been installed.
7.3.3.3 Information
Currently, there are several sources of information regarding traffic conditions on major routes in
the MCMA, although nearly exclusively focused on the DF. While radio continues to be a key
source of information on traffic conditions, an increasing number of Internet sites for traffic
information are appearing, including sites developed by the Secretary of Transportation of the
DF (Setravi) and Secretary of Public Security (SSP), and online newspapers (e.g. Roadway Alert
from Universal newspaper) that integrates information from a number of sources including
Setravi's "Radares" as well as radio traffic helicopters.
366 
There is also a phone-based system as
part of Setravi's broader motorist support program, with traffic information and alternate route
suggestions provided by live operators. It is unclear what sources of information the operators
use, and the level of usage of this service. One of the limitations seems to be the lack of public
information regarding the availability and use of these resources. Furthermore, it is unclear to
what extent the information from various sources 
(radio helicopter, vehicle probes, CCTV, etc.)
is integrated to give more comprehensive and detailed descriptions of road conditions.
7.3.4 ITS-Air Quality Links
Having described the history of air quality management and ITS deployment in Mexico City, we
will now look at the links between ITS and air quality. We first look at ITS technologies 
that
365 Ilich Valdez. 2006. "Usa Ruta 
112 sistema GPS en camiones (Route 
112 uses GPS systems in its buses)"
Reforma, May 28.
366 See www.eluniversal.com.mx/vialidad.html 
to see the format of traffic reporting, 
as well as the major sources of
information regarding traffic incidents.
395
have been deployed or funded at least partially in support of air quality objectives, then turn to
evaluations of the air quality impacts of ITS technologies.
7.3.4.1 Projects and Funding
With perhaps one or two exceptions, ITS technologies have not been deployed for both mobility
and air quality improvements. ITS deployments have occurred in a much different institutional
environment than in the US, and there have not been opportunities or incentives for linking ITS
to air quality. First, in the absence of requirements to implement transportation control
measures, as in the US - both demand management and supply management measures - the
focus has remained almost entirely on improvements in new vehicle technologies and fuels, and
turnover in older vehicles, particularly those with intensive use such as buses, microbuses, and
taxis. Operational improvement to traffic and transit have not been at the forefront of air quality
programs, and ITS-based operational improvements even less so. Second, the US federal
CMAQ program provided much of the impetus for demonstrating and the air quality benefits of
ITS technologies in the US. However, in Mexico, there is no such federal funding program,
which could be used for experimentation with new technologies that reduce emissions and
improve air quality at the same time that they are improving mobility. As a result, although there
have been deployments of some ITS technologies intended to mitigate traffic congestion, there
are no incentives for the deploying organizations to assess air quality impacts of traffic
mitigation, or attempt to maximize the air quality benefits of those deployments.
More recently, however, ITS has been used in support of air quality objectives. The first
example is the use of smart cards and AVL-based systems to support the Metrobuts, a BRT
project described earlier, which has a heavy focus on emission reductions. Another possible
example is the motorist assistance program, Apoyo Vial, developed by Setravi. The link between
Apoyo Vial and air quality is somewhat less strong. According to Setravi, this program was
implemented, "with the purposes of improving traffic flow and avoiding excessive travel times
and increases in already high levels of air pollution."
367 
However, beyond this statement, there
has been no evidence that this measure is an explicit part of air quality management in Mexico
City.
368 
In contrast, Metrobuts clearly has an air quality objective as well as a financial incentive,
in the form of carbon credits, to document the air quality benefits of this project.
7.3.4.2 Evaluation
Generally, there has been low interest in the use of ITS to reduce emissions and fuel
consumption. Rather, the focus has been on congestion reduction. One of the few examples of
public sector interest in looking at the links between ITS and air quality, was an April 2002
working paper on ITS developed by an analyst from the Transportation Branch of the National
Commission for Energy Savings (Direcci6n de Transporte de la CONAE). The document was
generally an overview of ITS. However, it briefly discussed the potential environmental benefits
of the following ITS applications:
367 From Setravi's web page: www.setravi.dfgob.mx/programas/apoyo 
vial.html. Translation by author.
368 For example, in the air quality management plan 
for the Mexico City metropolitan Area, Proaire 2002-2010,
there is no similar measure included.
396
* advanced traffic information, by avoiding congested routes;
* parking information, by minimizing additional 
circulation of vehicles looking for parking;
* real-time transit arrival/departure 
information, by increasing the use of public 
transit;
* real-time tracking of commercial vehicle 
operations, by tracking speed and acceleration 
and
enforcing proper driving techniques; and
* ramp metering, by reducing stop and 
go traffic on limited access highways.
Yet, there have not been evaluations of the reduction in emissions and fuel consumption from
most current or planned technologies - signalization, VMS, electronic toll collection, CCTV,
motorist assistance, or traveler information. In part, in the absence of a stronger federal role and
active ITS community to lobby for ITS and highlight its benefits, little consideration has been
given to these possible benefits. Even less consideration has been given to the possible negative
impacts of ITS on air quality. According to a researcher at the Mexican Transportation Institute
(IMT), the environmental and energy benefits of traffic management technologies is of "little
concern" to those agencies deploying or interested in deploying ITS.
369
Until more recently, evaluations of emissions reduction measures have focused on changes in
vehicles and fuels, with little emphasis on to evaluating possible emissions reductions from
changes in operational strategies - traffic flow improvements, improved transit operations,
incident management strategies, etc. Again, Metrobis is the exception. A comprehensive
analysis of emission changes from operational improvements at the corridor level was
undertaken for the Metrobts. As noted earlier, the focus of this assessment has been on carbon
dioxide emissions reductions, in order to make carbon credits available for purchase. The
assessment took credit for emissions reductions from: (1) fleet vehicle replacements (articulated
buses for regular buses and microbuses), (2) improved traffic flows, and (3) modal shift from
private vehicles. It also considered emissions increases from: (1) impacts on traffic flows on
cross streets, (2) vehicles detours due to elimination of many left turns on Insurgentes, (3) modal
shift from the Metro, (4) additional vehicles using the route because of higher speeds, (5)
construction impacts on traffic, and (6) emissions from construction itself.
370 
The strength of this
analysis is in the comprehensiveness of the impacts considered, in terms of not only transit
vehicle emissions but changes in emissions from changes in traffic flows. In this sense, it
represents a rigorous analysis, albeit one that requires important assumptions on modal shifting,
changes in travel times and speeds, and changes in route choice. It is hoped that many of these
parameters will be measured in the field to confirm the actual emission reductions.
There are some areas in the Metrobtis analysis where the balance between credits and debits are
dubious. For example, credit was taken for "improvements in vehicle flows on other alternative
routes in the area of influence of the corridor," which indicates the diversion of a certain
369 Personal communication, 
Head of the New Technologies 
Unit, Mexican Transportation 
Institute (IMT),
November 19, 2003.
370 Manuel L6pez (SMA) presenting 
on behalf of Claudia Scheinbaum 
(SMA). "Metodologia para determinar 
la
Reducci6n de Emisiones en el Corredor Insurgentes (Methodology to determine emission reductions on the
Insurgentes Corridor)" Presentation to the Forum: Air Quality in the Federal District and Climate Change. May 3-
5, 2005. Mexico City, Mexico.
397
percentage of vehicles from other routes in the city, to take advantage of the faster travel times
on Insurgentes. As a result, traffic flows on those routes would be lighter, and emissions lower,
as some drivers switched to Insurgentes. Yet, on the other hand, there would now be additional
vehicles using Insurgentes because of its higher speeds. This would lead to a higher volume of
vehicles, and perhaps a return to slower speeds on Insurgentes. While this dynamic was
identified in the analysis, its effect on emissions on Insurgentes considered to be null, despite the
fact that credit was taken for traffic relief on alternate routes. It is unclear whether these are
mistaken assumptions, poor accounting practices, or attempts to show greater emissions benefits.
Because the smart card fare payment system and AVL are both supporting functions, it is
difficult to assess the relative impact of these ITS technologies on the overall system. Yet, recent
problems with the fare payment system have highlighted the importance of electronic fare
collection to the functionality of the system and service levels. In addition, there are some
indications that the service improvements from the AVL-based systems and new bus operations
center for Metrobis may be supporting ridership increases by enabling a higher frequency and
more reliable service.
There are some recent indications that in Mexico City, ITS is being seen as a technology that can
support both mobility and air quality goals. These synergies have mostly been realized through
the deployment of a more ITS-intensive public transit service, the Metrobis. This new service
innovation is viewed as contributing to improvements in local air quality, as well as reductions in
greenhouse gas emissions. Having reviewed the history of air quality management and ITS
deployment in Mexico City, and explored some of the links between ITS and air quality, we now
present the analysis of Mexico City using the IIDAPT framework.
398
7.4 ASSESSING THE POSSIBILITIES FOR IIDAPT
In a manner similar to the US case study cities, we will review the seven conditions for
Integrated Innovation, Deployment and Adaptation of Public Technologies (IIDAPT), the levels
of IIDAPT that they would predict, and compare that with actual IIDAPT outcomes. More
importantly, in the case of Mexico City, we will use this analysis to develop recommendations
for the use of ITS in ways that promote both mobility and air quality objectives. The purpose of
this section is therefore not only to further test the theory against a new case, but also to assess to
what extent the theory can be used to develop useful technology and policy recommendations.
We consider the latter to be the key contribution of this chapter.
7.4.1 Seven Conditions for IIDAPT and Predicted IIDAPT Levels in Mexico City
To reiterate, in Chapter 4, we reviewed theories regarding innovation, cooperation, assessment
and adaptation in public sector agencies, specifically regarding the deployment of technologies
in the public sector. We identified seven conditions, and used those to construct a theoretical
framework to predict levels of what we call Integrated Innovation, Deployment and Adaptation
of Public Technologies (IIDAPT). Figure 7-8 reviews those seven conditions and illustrates their
relationship to IIDAPT outcomes.
Figure 7-8 Relationship between seven conditions, IIDAPT outcomes, and local context
INTEGRATED INNOVATION, DEPLOYMENT AND ADAPTATION
OF PUBLIC TECHNOLOGIES (IIDAPT)
COOPERATION INNOVATION ASSESSMENT ADAPTATION
+ + - +++ +
In earlier chapters, we also noted that local context was an important factor in describing
IIDAPT outcomes in more depth. Local context can support the explanatory power of our
theoretical framework. Yet, the predictive function of the IIDAPT framework depends upon the
seven conditions highlighted in the diagram above. The reader is referred to Chapters 4 for the
399
theoretical basis for these conditions, and Chapter 6 for the discussion of how we measured these
seven conditions for the US case study cities. In order to test our framework, we compared
predicted IIDAPT outcomes to actual IIDAPT outcomes. Actual outcomes were described, and
compared using three quantitative measures.
In testing the IIDAPT framework, we found that three conditions were the most important in
predicting and explaining IIDAPT outcomes: (1) problem severity, (2) mutual benefits, and (3)
dedicated resources. We will now apply this theoretical framework to the case of the Mexico
City Metropolitan Area, to assess to what extent it predicts and explains IIDAPT outcomes, and
whether these three most important conditions for the US case cities, are also the strongest in
predicting and explaining IIDAPT outcomes in Mexico City.
Problem severity in Mexico City is high from the standpoint of the physical problem of air
quality and traffic congestion. Clearly, with more than 60% of the days exceeding the
established national norms for healthy air quality, there is a significant air quality problem.
However, for consistency with our approach to the US cases, we suggest that the nature of the
problem, as perceived by the public sector organizations, may be different. In the US, problem
severity was defined as the non-attainment designation given by the federal government. Thus,
for innovation, more important than the severity of the physical problem (in terms of pollutant
concentrations), were the requirements and responsibilities that came with the regulatory
designations ranging from marginal to extreme non-attainment. Increasingly severe non-
attainment designations posed progressively stricter requirements to show that transportation
plans conformed with the objectives of air quality plans, and requirements to implement all
reasonably available transportation control measures (TCMs), as well as to report on the progress
and "timely implementation" of those TCMs. The "stick" wielded in the case of the US, was the
ability of the federal government to delay federal funding for transportation projects. However,
in Mexico City, in the absence of these federal requirements and the link to federal transportation
funding, the problem definition is driven from the bottom up, and may wax and wane with shifts
in public opinion and in the preferences and interests of elected officials. This can therefore
undermine the continuity of actions taken in the transportation sector to improve air quality, as
public opinion focuses on other issues (even other environmental issues such as water), or as
changes in administrations bring new political priorities to the scene.
Congestion is also severe. There are no equivalent indicators such as the travel time index
(which measures the ratio of peak hour travel times to free flow travel times) or other aggregate
measures of delay and/or reliability in travel times for the MCMA. However, from the levels of
service described above, indications are that congestion is a pernicious problem. Moreover, in
addition to looking at the problem of traffic congestion, which affects the majority of the
traveling population in the US case study cities, we must include the deterioration of public
transportation, in our description of problem severity for the MCMA. Coupled with congestion,
which has progressed from bad to worse, is the growing motorization and loss of mode share by
higher capacity public transportation, as effectively illustrated in Figure 7-3 above.
We are more interested, however, in the "problem severity" of air quality in terms of the
demand/pressure for action and innovation by local transportation and air quality agencies, as
400
discussed in Chapter 6. Following our discussion in Section 7.3.2.3, we note that in the absence
of contingencies, the national air quality standards have a tenuous regulatory link to
transportation planning and operations. Although it may seem counterintuitive given the
seriousness of the physical problem, we rank problem severity as medium, because of the more
lax regulatory requirements.
Looking at our second condition - internal resources to both innovate with and assess new
technologies - we find that they were low. Low levels of IIDAPT for ITS and air quality were
largely expected, primarily because of the low levels of ITS deployment that had taken place.
This means that there is little deployment and operational experience with ITS, and agencies do
not have a large staff capable of deploying and managing ITS. In part, the educational systems
have not yet begun to produce engineers with the training to deploy ITS. Universities, such as
UNAM, do provide graduate programs in transportation engineering. In addition, the National
Polytechnic Institute (IPN), is one of the only Mexican universities with an undergraduate
program in transportation engineering. Yet, even in these programs, the students have very little
exposure to the concepts and technologies of ITS.
37 1 
Therefore, the training of personnel with an
understanding of ITS technologies and broader system issues has not been sufficient to provide
an adequate pool of transportation professionals in this field.
There is also an absence of internal resources in terms of measuring and modeling the impact of
transportation projects, operational or otherwise. In the US, the requirement to demonstrate the
conformity of transportation plans with air quality plans, staying 
within mobile source budgets,
was a struggle for non-attainment areas to develop the necessary institutional capacity during the
early years of conformity, and will likely be a struggle for new non-attainment areas under the 8-
hour ozone standard (Makler and Howitt 2003). However, there have been no similar federal
pressures through legislation to "ramp up" transportation and air quality planning and
management capabilities in Mexico. For example, even in Setravi, where the majority of the
analytic capacity for transportation planning in the MCMA resides, the models used are
generally poor in terms of data and complete modeling capabilities.
"Although it is known that traffic congestion causes pollution and mobility problems for
the population, exactly how it does so is poorly understood. Government agencies in the
MCMA have limited urban modeling capacity due to a lack of information and resources
to collect and process information (as indicated by the fact that the most recent travel
survey was conducted in 1994). To our knowledge, no complete urban transportation
model (four-stage or akin model) exists for recent years. This means that behavioral
aspects of urban travel and their consequences on air quality and mobility have not been
analyzed." (Gamas, Anderson et al. 2006).
371 The author presented two guest lectures 
on ITS at IPN, and found varying levels 
of interest, from enthusiasm to
deep skepticism regarding the appropriateness and possible benefits of using ITS in the Mexican context. Looking
at the program content and coursework, there appears to be little to no exposure to ITS for the students.
401
Although analyzing the air quality impacts of traffic flow improvements, or changes to transit
operations and ridership increases, incident management programs, do not necessarily need a
highly sophisticated model,
372 
one does need reliable data.
Above, we mentioned the "stick" of withholding federal funding. On the other hand, there is
also the "carrot," which in the case of the US, is the availability of CMAQ funding to pursue
innovative projects for mobile source emissions reductions. While in the US, dedicated
resources for experimentation came in the form of the CMAQ federal program funding category,
targeted to both congestion mitigation and air quality improvements, there is no equivalent
federal-level funding program in Mexico. Therefore, dedicated resources are considered low.
They would be considered as none, if not for the potential for financing projects through carbon
credits, as occurred with the Metrobis.
The potential to sell carbon credits on the international market is somewhat analogous to having
a dedicated funding source for innovative transportation projects documenting air quality
benefits. If projects could be shown to generate emissions reductions, those emissions
reductions could be sold, and thus generate income that could be reinvested into those projects.
However, while the Metrobus experience showed that this could be an effective mechanism for
orienting a project toward maximizing its emissions benefits (albeit of greenhouse gas emissions,
and not emissions of local air pollutants), it was basically a one-time effort meant to be the
"seed" for a more expansive BRT system. 
In addition, ITS was simply a component in 
a much
larger project. It is doubtful that ITS projects on their own would quality for carbon credits,
particularly traffic flow improvements that have a higher potential for induced demand.
However, the Metrobus experience is useful as an indication that "dedicated resources" can be an
effective incentive to undertake IIDAPT in Mexico.
In terms of the cost of ITS, for example, whether it is perceived as an affordable measure, or its
relative cost effectiveness compared to conventional infrastructure improvements, we consider it
to be medium. The low level of ITS deployments in Mexico makes it harder to establish a rough
(order of magnitude) comparison between a "typical" ITS project and a "typical" capital
infrastructure project. Although ITS costs are still likely to be substantially lower compared to
larger capital infrastructure projects, ITS projects may be relatively more expensive in Mexico.
The primary reason for this is the cost for the communications components. For example, leased
lines would have to go through Telmex (Telefonos de Maxico). Generally, telecommunications
services are more expensive in Mexico than in the US, in part because of market dominance held
by Telmex for most telecommunications services (local and long-distance, internet service,
wireless).
373 
Also, because transportation agencies had not begun to deploy their own
communications links until more recently, they have been dependent upon Telmex for
maintenance. Interviews with engineers from the Secretariat of Public Security (SSP) indicated
that part of the problem with their variable message signs was due to failures in the telephone
372 Indeed, even in cities such as Houston and Los Angeles, as described in Chapter 6, 
estimates for ITS air quality
benefits are often made with simple equations that require no simulation or complex calculations.
373 Telmex was formerly owned by the federal government, until it was privatized during the administration 
of ex-
president Carlos Salinas.
402
lines leased from Telmex, and that they themselves could not correct these failures in critical
communication 
links.
374
The condition of mutual benefits reflect to what extent ITS can be used to support the policy
goals of the various transportation agencies and air quality agencies. Therefore, mutual benefits
would be high, in principle. Congestion and air quality are both critical problems in the MCMA,
and public transportation quality has declined substantially. Given the currently low levels of
deployment of ITS, there should be ample opportunities for "optimizing" the system - reducing
congestion and increasing traffic speeds to a point where lower emissions occur, reducing delays
and improving reliability, making public transit operational improvements and improving public
transit's image, and so on. Yet, mutual benefits must be defined in terms of the underlying
interests and agendas of agencies and decisionmakers. The specific interests and agendas of the
agencies in the Mexico City case will be discussed further in Section 7.4.3, after comparing
predicted and actual IIDAPT outcomes.
The number of agencies is high, making coordination difficult. Leaving aside for a moment the
question of metropolitan-level coordination, the agencies that would potentially be involved in
the Federal District alone for traffic flow improvements, transit improvements, and demand
management measures through ITS would include: the Secretariats of Transportation and
Roadways, Public Works and Services, Public Security, Environment, and three different
government-operated transit services - Metro, light rail and trolleybuses, and regular buses.
Extension of ITS-based transit improvements to the private sector operators would involve
dealing with a highly decentralized ownership and management structure, albeit organized
through Route Associations. The recent implementation of the Metrobt~s with both public and
private participation, however, points the possibility of this integration of operations, if there is a
more limited number of Route Associations with which to negotiate.
As noted earlier, agency mandates and responsibilities, as defined in the legislation, are highly
fragmented. However, the DF is also characterized by "a highly centralized, city-wide and
mayor-headed local authority" (Nava Escudero 2001, p 112). As a result, fragmentation of
administrative functions can be overcome by strong mayoral intervention. However, the outcome
can also go beyond simple cooperation. Given the overlap in agency responsibilities and
sometime vague legislative mandates, one agency can actually be allowed to appropriate many of
the responsibilities that, in theory, would belong to other agencies. Therefore, we would expect
some success of cooperation within the DF. If we were to extend our analysis to the entire
MCMA, including the State of Mexico, our possibilities for cooperation would drop to low.
Finally, the levels of new information regarding the air quality impacts of ITS deployments, are
low or none. There has been little interest by researchers in academia and the public sector to
date to assess the air quality benefits of ITS in Mexico. 
Given the low levels of ITS deployment,
there is admittedly a small base of applications with which to analyze these issues. Also, most of
the generation of information on transportation and air quality has focused (and with good
374 Personal communication, Engineer 
from the Department of Traffic Operations 
and Roadway Engineering from
the Secretariat of Public Security (SSP), December 18, 2003.
403
reason) on fuel and vehicle improvements, where most reductions have come from, and where
there continue to be potential for additional reductions.
Taking these factors together, we would anticipate medium overall levels of IIDAPT as seen in
Table 7-7. Strong mutual benefits would point to the possibility of cooperation and innovation in
the use of ITS for air quality, at least within the Federal District. On the other hand, problem
severity, in terms of the pressure on agencies to identify transportation-related measures for air
quality improvements, is only medium, and dedicated resources and internal resources are low.
Therefore, we anticipate only medium levels of innovation and cooperation. Because there has
been little new information generated regarding the air quality impacts of ITS, and internal
resources for undertaking this type of analysis are weak, we anticipate low levels of assessment
and adaptation of ITS technologies to improve air quality outcomes.
7.4.2 Actual IIDAPT Levels in Mexico City
Few of Mexico City's relatively "older" ITS applications, such as variable 
message signs,
advanced traffic signal control strategies, have been considered as measures that could also
improve air quality by either the agencies deploying those technologies (i.e. Secretariat of Public
Security of the DF), or the environmental agencies (i.e. Secretariat of the Environment of the
DF). Electronic toll collection on intercity highways has been around for much longer, but
market penetration has not been high. The air quality benefits of an expanded ETC have not
been seriously assessed. However, emerging ITS deployments for transit, such as smart cards
and AVL-based operational improvements, have begun to take into consideration the potential
benefits for air quality.
Drawing from Section 7.3.4 above, only three examples of possible IIDAPT were identified: (1)
the use of smart cards for the Metrobtus, (2) the use of AVL for the Metrobuis, and (3) the
motorist assistance program (Apoyo Vial).
375 
However, the motorist assistance program is not
very innovative in terms of technology, nor does it involve cooperation between multiple
agencies. In addition, the link between the Apoyo Vial program and air quality management
plans is weak, as discussed earlier. We therefore find only two cases of IIDAPT in the use of
ITS as a supporting measure for transportation-based air quality improvements in Mexico City -
the implementation of smart card fare payment technology and AVL-based operational
improvements for the BRT corridors. These are summarized in Table 7-6 (while the scoring and
calculation of IIDAPT outcomes is included in Appendix E).
375 See www.setravi.df.gob.mx/programas/apoyo 
vial.html. Last accessed April 28, 2006.
404
Table 7-6 IIDAPT level and range in Mexico City
IIDAPT
ITS application areas Representative technology scale
Arterial traffic flow improvements N/A
Freeway management strategies Apoyo Vial motorist assistance N/A
376
Freeway traveler information 
N/A
Transit information N/A
Multi-modal information N/A
Transit operational improvements AVL for Metrobuis 4.5
Transit fare payment systems Smart Cards for Metrobtis 4.5
Rideshare support N/A
Demand management/pricing 
N/A
Other applications - N/A
Average level (0-6) 4.5
Range of IIDAPT (0-10) 2
The "average level" of IIDAPT is quite high, with 4.5 out of 6, due to the very close involvement
of the air quality agency in the DF in the design and the deployment of the project, and the use of
innovative technologies such as contactless smart cards for fare payment and GPS-based AVL
systems for fleet control. On the other hand, the "range" of IIDAPT examples is very low, and
both cases of IIDAPT are, in fact, part of the same project. For the US case studies, we also used
a measure of "intensity" as our third quantitative measure. However, the intensity of ITS as a
measure for air quality improvement, according to Mexico City's most recent air quality plan -
Proaire 2002-2010 - could not be determined due to a lack of specificity of project descriptions.
For the US case studies, the IIDAPT summary measure was the product of average level, range
and intensity (AL*R*I). In the absence of an adequate measure of intensity, we take a high
average level, and low intensity, to give an overall IIDAPT measure of medium (as shown in
Table 7-7).
Although traffic signal improvements have been made and further improvements are planned,
the possible air quality benefits of those improvements have not been considered in any depth by
either transportation or air quality agencies.
377 
To a large extent, this is because of the relative
marginalization of the Secretariat of Public Security as a serious player in improving congestion
in the city. An example of this is the plan "100 Actions to Improve Traffic Flow," in which, as
described earlier, the Secretariat of Public Works and Services and Setravi developed a plan for
intersection improvements, without mentioning either the Secretariat of Public Security or
congestion mitigation from signal improvement strategies. Setravi, for its part, has extended
376 Although considered as a possible example of 
IIDAPT, there was no concrete evidence that this program 
was
considered as an emission reduction measure or as part of an air quality management plan.
377 Interviews with the SSP indicated that some 
simulations were planned to assess the fuel consumption 
impacts of
the signal control system. Personal communication, SSP, December 18, 2003. However, the author was not able to
ascertain whether those studies had actually been carried out and what the results of those studies were.
405
some of its competencies to traffic flow operations through its motorist assistance program
(Apoyo Vial) and 
traffic information 
service.
378
7.4.3 Comparison and Discussion
Therefore, in our final "testing" of the IIDAPT framework, we find that actual outcomes (based
upon quantitative measures of average level and range of IIDAPT) do coincide with outcomes
predicted by the seven conditions for the case of Mexico City.
Table 7-7 IIDAPT outcomes: "predicted" and actual in the Federal District
Theoretical Outcomes
Seven conditions "Predicted" outcomes Actual Outcomes
from theory based on seven conditions
1. Problem severity - med Summary: MEDIUM Summary: MEDIUM
2. Internal resources - low * Innovation 
- med High average level, low range,
3. Dedicated resources - low * Cooperation -
med intensity not available.
4. Cost - med
* Assessment 
- low
5. Mutual benefits - high Adaptation 
- low Description:
6. Number of agencies - high Adaptation 
- low Description:
7. New information - low No IIDAPT for traffic management
on arterials or freeways.
Two innovative examples of
IIDAPT for transit through the
Metrobts on Insurgentes Avenue.
Quantitative measures:
* Average level: 4.5/6
* Range: 2/10
* Intensity: Some measures in
Proaire 2002-2010 could utilize
ITS, but are not specified in
sufficient detail to assess.
As was the case with the US cities, IIDAPT levels can be predicted based upon the seven
conditions. However, also similar to the US, the broader context of both air quality management
and transportation planning and investment is important. While we can predict IIDAPT levels, it
is necessary to look at this broader context to explain outcomes in a more meaningful way.
Therefore, we pose some additional questions. Why were technologies for the Metrobu's the only
case of explicitly using ITS technologies to improve both transportation and air quality outcomes
in the DF? Also, given that the high levels of congestion are recognized as aggravating Mexico
City's air quality problems, why has ITS not been promoted as a way to mitigation congestion
and improve air quality?
As noted earlier, the Secretary of the Environment has been the primary public official for
representing the Second Stories, the Metrobris, and the bikeways. Bringing this back to our
378 See www.setravi.df.gob.mx/radar 
vial/index.html for web-based 
traffic information. This site basically 
lists
problem areas as they identified and reported - there is no continuous monitoring of traffic speeds and delays.
406
theory, this represents an unusual form of overcoming fragmentation between transportation and
air quality management strategies, in which the Secretariat of the Environment has assumed
substantial decisionmaking and planning authority for major transportation projects.
379 
One
might assume that placing an environmental agency at the head of major transportation
investment decisions would improve the environmental outcomes of those decisions. However,
this does not necessarily seem to be the case. In fact, the more cynical interpretation would be
that the Secretariat of the Environment was placed at the head of these major projects, above all,
the controversial Second Stories project, in an attempt by the administration to deflect criticisms
of the environmental and air quality impacts of the project.
In the DF, during the administration of Mayor L6pez Obrador, the Secretariat of the
Environment appeared to take on many of the transportation-related activities that normally
would have been the responsibility of the Secretariat of Public Works and Services and Setravi.
The Metrobuis project was a more natural extension of the Secretariat of the Environment's role.
Indeed, the SMA was critical in assessing and documenting the carbon dioxide emissions
reductions in order to enable their sale as carbon credits through the Clean Development
Mechanism program. However, as mentioned above, the intentions behind placing the
Secretariat of the Environment in charge of the double-decking of two urban highways, are
probably not as noble. This institutional reshuffling, with the Secretariat of the Environment
taking the lead on the most important infrastructure projects of the 2000-2006 administration,
would sideline Setravi, the Secretariat of Public Works, and the Secretariat of Public Security to
more secondary positions for decisions regarding transportation investment.
This unique modification to the interagency relationships in Mexico City has had important
ramifications, both positive and negative, for the potential for using ITS in support of air quality.
With respect to the two major transportation investments made during this administration, it was
essentially positive for those technologies ITS used for transit, but negative in terms of the
potential to use ITS for traffic management. In the Federal District, the preference was for
improving bus services, and beginning to rein in the privately-operated colectivos, rather than
investing substantial more funds in the Metro subway system. Indeed, planners from the Metro
have repeatedly lamented that the Metro's 
"Master Plan" is several years 
behind schedule.
380
The potential for partially financing BRT through the sale of carbon credits, and the support of
international players such as the World Bank and WRI, would reinforce the efforts to develop an
"environmentally-friendly" transportation 
system. This also followed 
the success of the city of
Bogota, Colombia, where Mayor Enrique Pefialosa built an extensive BRT system called
Transmilenio, which has been highly praised by transportation professionals worldwide, and
mimicked in other cities across Latin America, Asia, the US and 
elsewhere. This focus on BRT,
which is a more ITS-intensive service, would also create a more favorable environment for
fostering the use of ITS in public transit. As a result, smart cards and AVL were incorporated
379 Politicians from the opposing 
parties, particularly within 
the Federal District's Legislative 
Assembly, often
criticized what they saw was an overstepping of the functions of the Secretariat of the Environment, referring to the
post as the "Super-secretary." See "Cuestionan a la 'supersecretaria' (Questioning the 'Super-secretary')" 
Reforma,
October 9, 2003.
380 In fact, there were no new kilometers 
of Metro lines built during the 2000-2006 
administration.
407
into Mexico City's first BRT line. This reflects a similar dynamic which has occurred in other
Latin American cities, which have increasingly deployed bus rapid transit systems, rather than
construct new or expand existing subway systems or metros. According to Menckhoff, "the
development of BRT technology has changed the equation and is affecting the decisions on new
metro start-ups, as illustrated by the bases of Bogota' and Curitiba" (Menckhoff 2005, p 19).
During the implementation of the Metrobt's, there was no extension of the Metro or light rail. As
a sidenote, this sidelining of the Metro might not have been possible in earlier years, when the
Metro and the construction 
firm, ICA, had major 
political clout in the DF.
381
At the same time, massive funds were being used to construct Second Stories over the highways
Perifdrico and Viaducto - a major capital infrastructure expansion. This project was billed as
being the only possible solution to traffic congestion for this important corridor. Indeed, there
was no consideration of alternatives, in a way that would be comparable to a major investment
study in the US. In fact, the time from the first public announcement of the project by the
Mayor, to the beginning of construction of the supporting flyovers and interchanges
(Distribuidor San Antonio) was only seven months (see Table 7-8). Indeed, work for this flyover
was already underway when, amid criticism of the project, a public plebiscite was held to say
"yes" or "no" to the construction of Segundos 
Pisos.
382 
Clearly, in this context, there was no
motivation to simultaneously explore the congestion mitigation possibilities of ITS, as an
alternative or even complement to the infrastructure expansion, in the face of substantial
pressures by the Mayor to initiate and complete construction. The time from the submission of
the Environmental Impact Statement, to the public consultation on the EIA, to the final approval
of the EIA, was 
one month (see 
Table 7-8).383
Table 7-8 Timeline for major transportation actions in the Federal District
December 5, 2001 Announcement of the project for double-decking (Segundos
Pisos) of the Periferico and Viaducto highways
January 11, 2002 Public presentation of the Integrated Program for
Transportation and Roadways (PITV) for the Federal District.
February 14, 2002 The Environmental Impact Statement for the Segundos Pisos is
submitted to the Secretariat of the Environment of the Federal
District.
February 18 - March The Environmental Impact Statement is available for public
8, 2002 review in four delegations of the DF.
38 1 During the 1970s and 1980s, the Metro was a powerful public agency, heavily subsidized by the federal
government (and by extension, by the rest of the country) through special appropriations Ward, P. M. (1998).
Mexico City: The production and reproduction of an urban environment. Boston, MA, G.K. Hall & Co. It was also
closely aligned with the largest construction firm in Mexico, ICA (Ingenieros Civiles y Asociados), which "[pressed]
the government to raise investment in transportation systems, most notably the Metro" Ward, P. M. (1998). Mexico
City: The production and reproduction of an urban environment. Boston, MA, G.K. Hall & Co. The decentralization
of administration and financial resources of the Federal District, described earlier in Section 7.2.1, changed this
dynamic and undercut the role of the Metro in transportation planning decisions in the DF in more recent years.
382 CESPEDES and other groups criticized the fact that the plebiscite was set up as a simple 
yes or no decision on a
single project, without consideration of alternatives such as public transportation, and without mention of the cost
involved in the double-decking of these roadways.
383 This very quick review and approval process is worrisome given criticisms of weaknesses in both the 
content of
EIA, and problems in the review and approval process for EIA. See Section 7.2.3.3 above.
408
March 1, 2002 Public consultation on the Environmental Impact Statement for
the Segundos Pisos.
March 1[5, 2002 The Environmental Impact Statement for the Segundos Pisos is
approved by the Secretariat of the Environment of the Federal
District.
July 2002 Work begins on the flyover San Antonio, connecting to
Perifrrico.384
September 22, 2002 Public plebiscite on the Segundos Pisos.
November 5, 2002 Integrated Program for Transportation and Roadways (PITV)
published in the Gaceta Oficial of the Federal District.
It includes the Metrobts and Segundos Pisos.
September 17, 2003 Construction begins on the first phase of the Segundo Piso over
PerifWrico (from San Jer6nimo to Las Flores).
February 15, 2005 Construction begins on the second phase of the Segundo Piso
over Periferico (from Las Flores to San Antonio).
June 19, 2005 Metrobus begins operations (with no fare).
July 10, 2005 Metrobus begins charging fare with paper tickets (3.5 pesos
30 cents)
August 2005 Smart card systems for Metrobts comes online.
Spring 2006 AVL-system and the suppoting Metrobts operations control
center begin operation.
Source: 1vwvw.fimevic.dfgob.mx Reforma newspaper, (CESPEDES 2002),and
April 2006 presentation by the General Director ofMetrobu's (Calderon Aguilera 2006).
As a result of the institutional modifications and spending preferences during the administration
of L6pez Obrador, little consideration was given to ITS as a tool for both traffic management and
air quality improvements. First, in the light of the Second Stories project, there were no
incentives to investigate the congestion mitigation and air quality improvements that could
possibly be generated by ITS-based operational improvements. As discussed above, this project
was promoted as a "take it or leave it" solution to congestion on these particular roadways -
stifling discussion on possible alternatives, operational or otherwise. Second, as the Secretariat
of the Environment took on many of the responsibilities of the major transportation agencies -
Setravi and the Secretariat of Public Works and Services - the other agencies with
responsibilities for traffic management, such as the Secretariat of Public Security, which was
already a secondary actor to begin with for transportation issues, was pushed further out from the
locus of decisionmaking.
In summary, the spending preferences of the administration of DF Mayor Andres Manuel L6pez
Obrador were for major highway expansion projects on the roadway side,
385 
and for BRT on the
public transportation side. There was no incorporation of ITS into the highway 
projects,
specifically, for the double decking of the Perifdrico. On the other hand, there was greater use of
ITS in public transportation, given that BRT generally lends itself to more technology-intensive
operations. We saw that the BRT was motivated in part by its potential 
environmental benefits,
384 See www.fimevic.df.gob.mx/sanantonio/sanantonio.htm. Last accessed June 17, 2006.
38' See www.fimevic.df.gob.mx for a description 
of the various roadway projects (in Spanish) 
including the Second
Stories and flyovers/interchanges, bridges (primarily in the eastern part of the city), and a serious of overpasses and
underpasses.
409
specifically, the generation of carbon credits that could be, and were in fact, sold. Yet, we could
go further, and suggest that even BRT supported the administration's preferences for large scale
investment in highway infrastructure, precisely because of BRT's lower cost. It would have
been politically unacceptable for the Mayor to invest such a large quantity of public funds into
the double decking project, without showing important progress in expanding public
386
transportation as well. However, it would have been financially infeasible to invest both in the
second-story highway expansion projects, simultaneously with an expansion of Metro lines -
another highly capital intensive project.
While the context of Mexico City differs substantially from that of the US case study cities, the
dynamics of these cases are similar, in that ITS deployments for air quality often reflect
preferences for large-scale investments. For example, in Boston, the preference of the MBTA is
to avoid several transit projects that involve extending or restoring rail-based services, in favor of
ITS-based solutions for bus rapid transit type service, that could be considered an adequate
substitute of Boston's transit commitments. In Houston, on the other hand, Metro has been
attempting to push a transit expansion program based on light rail. Therefore, they have
highlighted the air quality benefits of light rail, while making little reference to the air quality
benefits of improvements to bus services through ITS. Houston was also continuing to support
its case for continued investments in TranStar, the hub of ITS deployment in the region.
Therefore, the air quality benefits of TranStar have been repeatedly stressed by the agencies
involved in TranStar. Los Angeles, has shifted transportation priorities radically, away from
infrastructure expansion, to demand management and transit expansion. Therefore, while there
is a focus on the air quality benefits of applying ITS to transit, and to a more limited extent, to
demand management (under their information-based transportation strategies category of
TCMs), there seems to be a reluctance to highlight the potential air quality benefits of better
managing traffic flow on local streets and highways. These issues are discussed in depth in
Chapter 6. However, it is important to highlight the similarities between these very different
cities.
386 In response to criticism of the share of funding spent on highway 
infrastructure compared to public
transportation, officials from the DF often countered by showing the predominance of the Metro in annual
expenditures of the DF budget. However, the vast majority of these expenditures are operations and maintenance
expenditures.
410
7.5 TECHNOLOGY AND POLICY RECOMMENDATIONS FOR THE MCMA
There have been only a few comprehensive studies looking at the role of ITS in developing
countries. A team from the World Bank developed a series of working papers and technical
notes regarding the application of ITS, including issues such as ITS architectures and standards,
in developing countries in East Asia, Latin America and Eastern Europe (Toshiyuki, Weiland et
al. 2005).387 There also has been some work on the role of ITS in sustainable transport for
developing country cities as part of the Sustainable Urban Transportation Project (Sayeg and
Charles 2005).388 Our analysis will differ in several ways. First, we will make recommendations
only for the case of the Mexico City Metropolitan Area, based upon the description and analysis
presented above. Second, we will focus specifically on how ITS can be deployed in ways that
support mobility and air quality. Therefore, this does not explicitly address other important goals
of ITS deployments such as safety. Third, while we will look at technology recommendations,
the primary focus is to use the framework for IIDAPT to identify the institutional and
organizational changes needed to better incorporate air quality concerns into ITS deployment.
While specific to the case of the MCMA, many of the recommendations - both technology and
policy recommendations - may be useful for other cities facing similar issues and challenges.
This first part of this section (7.5.1) will describe the technology recommendations for the
MCMA. This will be based on our discussion of ITS deployment and specific transportation and
air quality challenges in the MCMA. It will also draw heavily on Chapters 2 and 3, in which we
reviewed the state of knowledge on air quality impacts of different ITS applications, and on
Chapter 6, where we identify some "best practices" in the use of ITS for air quality in our five
US case study cities. In the second part of this section (7.5.2), we will then look at the policy
and institutional options for the MCMA, using our theoretical framework for IIDAPT. This will
also complement Section 7.5.1, to describe how organizational and institutional changes can be
made to better align ITS deployment in favor of air quality goals.
7.5.1 ITS Options for Air Quality Improvements
Building upon our discussion of existing ITS deployments in Mexico City, we will identify
technologies with a high potential for emission reductions. The US cases and the analysis
presented in Chapter 6 pointed us to some of the most frequently used ITS technologies for air
quality improvements. We will assess the applicability of some of these "best of" technologies
for Mexico City, keeping in mind the important difference 
in travel patterns in Mexico City,
above all the predominance of transit, particularly private/informal transit, in the mode share.
For this reason, we start with the ITS technologies to improve air quality by maintaining or
increasing transit's share of the modal split.
387 Also see www.worldbank.org. 
Last accessed May 8, 2006.
388 Also see www.sutp.org or www.gtz.de/transport 
for more information on the Sourcebook 
on Sustainable Urban
Transportation. Last accessed May 8, 2006.
411
7.5.1.1 Transit Improvements
With public transit still serving the majority of trips in the MCMA, we would recommend
continuing to focus on the application of ITS to support broader improvements in public transit
operations and enhance the image of public transit to travelers who may have more recently
abandoned public transit in favor of the private auto. Having now been deployed for the
Metrobu's along Insurgentes, a next step would be to expand the use of the smart card to other
modes. This could enable a better fare integration that would assist users making trips on
multiple modes - i.e. Metro, light rail, trolley and RTP buses. As operational experience is
gained with the BRT-type systems, the potential for other supporting ITS applications - signal
priority, automated enforcement, etc. - should be also considered to assess their ability to further
improve transit services and improve the emission impact of those services.
Dedicated and barrier-separated bus lanes are an effective means for ensuring shorter, more
reliable travel times and enabling higher passenger flows. However, on signalized corridors in
dense urban areas, substantial time may be lost at signalized intersections. Therefore, transit
signal priority should be considered as a supporting component for the Metrobuts and future BRT
corridors in Mexico City. It could also be considered for other government-operated modes such
as the trolleybuses and regular bus system. Signal priority is not viable for the privately owned
and operated colectivo service where operations are more informal and have very frequent
service. Because BRT services often operate along highly congested corridors, the impacts of
signal priority on traffic on side streets would have to be carefully considered because of the
possibility for increased idling emissions. Conditional priority, based upon whether the bus is on
or schedule or not, would probably be the most appropriate application. Because there are no
passing lanes for the Metrobuts on Insurgentes, conditional priority could be help to control
headways between buses, and avoiding bus bunching by giving a time advantage to behind-
schedule buses.
Another issue that has sometimes arisen with respect to BRT systems in Latin America, are the
negative perceptions of buses operating in platoons or convoys, whether as a deliberate
operational strategy to permit a "train-like" operation, or as the result of difficulties in
controlling headways between buses. According to Menckhoff, a consultant with the World
Bank, referring to the 15-km Nove de Julio busway in Sdo Paulo, which reported volumes of
over 20,000 passengers per hour per direction, "Although efficient in moving people, it was
perceived to have negative environmental and commercial impact by creating a 'wall-to-wall'
line of buses, especially at intersections and some bus stops" (Menckhoff 2005, p 3). This issue
has not yet arisen with regards to the Metrobuas. On the contrary, one of the early problems was
an insufficient number of buses to meet the demand on Insurgentes. Yet, it could become a
problem depending upon the location of future extensions of the system. For example, one
possibility that has been raised for the next Metrobus route is the well-known and historic
Reforma Avenue. Conditional signal priority, using AVL, could be used to control the bunching
of vehicles. By reducing the bunching of vehicles into platoon formation, the impact of high
volume and high frequency BRT service on a corridor can be minimized.
412
ITS could also be used to either reinforce the exclusive use of the busways, or, in some places, as
a substitute for physical barriers to separate the busways from general traffic. Several Brazilian
cities have used video camera enforcement to prevent non-authorized vehicles from using the
bus lanes (Menckhoff 2005, p 3). This has allowed them, in some places, to have a more open
operation of BRT, where buses can leave and reenter the busway, for example, to pass other
buses. In the MCMA, there have been enforcement issues, not with the Metrobzis, but with the
older trolleybuses, which operate on counter-flow lanes with rounded metal speed bumps to
separate the lanes from general traffic, face frequent incursions into their lanes by 
colectivos,
taxis and private autos. Video enforcement of dedicated lanes for buses and trolleybuses could
ensure that there is no encroachment of the lanes for buses, and perhaps restore service levels to
some of the trolleybus services in areas where there is substantial encroachment of the exclusive
lanes.
Clearly, improving government-operated transit services through ITS poses substantial
challenges. The challenges of considering the extension of ITS to the informal colectivo services
clearly adds additional layers of complexity. However, because these services represent the
majority of daily trips in the MCMA, they cannot be simply ignored. As noted by Sussman, the
question is:
"How to take advantage of the positive aspects of jitney service and ameliorate the
negative side effects.... Indeed, the idea of using ITS to coordinate intermodal public
transportation trips, taken by passengers who might use jitneys, buses and metros to get
from origin to destination, can be an important service innovation in mega-cities"
(Sussman 2005, p 169).
Although ITS cannot work simply as a technology fix to what are organizational, 
institutional,
and economic issues with the private transit operators, it can create new possibilities for service
innovations and organizational change. For example, the General Director of Metrobtis has
emphasized the importance of the smart cards and automation of the revenue collection process
as critical to supporting the organizational and institutional structure incorporating the former
colectivo operators (Calder6n Aguilera 2006).389
The primary air quality benefit of these technologies would 
be through changes in mode share,
and thus reducing emissions from private vehicles, which currently represent one-third of total
mobile source NOx emissions. By providing high quality service, ridership levels could be
maintained or increased, with the help of supporting ITS technologies. The other benefit would
be through the improved operation of the transit vehicle, in terms of fewer stops and
accelerations/decelerations and less idling, therefore reducing the emission from the transit
vehicles themselves.
389 Also see IvAn Sosa. 2006. "Saturan 
entradas del Metrobis (Metrobtis entrances 
are saturated)." Reforma, April
25.
413
7.5.1.2 Traffic Flow Improvements
In Chapter 6, we saw that in four of our five US case study cities used traffic signal
improvements in different forms: signal timing improvements for intersection or corridors, signal
synchronization, signal interconnection, and advanced traffic signal control strategies, including
adaptive signal control. We included Los Angeles' Automated Traffic Surveillance and Control
system and Houston's Regional Computerized Traffic Signal System as two of the "best of" in
the use of ITS for air quality purposes. Improvements to traffic flow through ITS have the
potential to bring near-term emissions reductions by reducing idling and stop-and-go traffic
conditions. Surveys undertaken for the 1999 Cometravi studies found that levels of service -
looking at 30 major intersections and 14 corridors - founds levels of service equivalent to "F" for
73% of the intersections (adapting the 1985 US Highway Capacity Manual to Mexico City), with
an average delay between 85 and 180 seconds (Gakenheimer, Molina et al. 2002, p 231). This
information was collected now over 7 or 8 years ago, meaning that with the huge increase in
motorization levels (over 2.3 million new cars sold in the MCMA since 1999), LOS has probably
deteriorated even further. Lowering intersection delay could reduce emissions substantially by
reducing this idling time. However, it should be noted that there are also limits to the congestion
mitigation that traffic signal improvements can provide in over-saturated traffic conditions. In
addition, the "NOx penalty" is not likely to occur, given that traffic flow improvements, under
current levels of congestion, will probably not increase speeds to the point where NOx emissions
will begin to rise.
According to the Integrated Program for Transportation and Roadways (PITV) released in 2002,
there were 314 major bottlenecks in the Federal District; 84 of those were located in the
municipality of Cuauhtemoc, one of the central areas of the DF. Researchers at the National
Polytechnic Institute (IPN) in Mexico City found that 80% of the vehicles circulating in the city
pass through these intersections, which included interchanges between highways such as the
Anillo Perifdrico, Circuito Interior, and Viaducto Miguel Alemcin, but also include intersections
with signalized roadways.
390 
Particularly among the latter, signalization improvements could be
used to reduce delay and stop-and-go traffic conditions.
The DF has opted for development of an adaptive control system, using SCATS, for key
signalized intersections. One of the weaknesses of choosing this system is that it relies on
functioning and well-placed inductive loops. However, the lack of coordination between the
Secretariat of Public Security (SSP) and Secretariat of Public Works (SOS) often leads to damage
to the system during road maintenance projects. Furthermore, as consultants for SSP suggested,
the system is not usually functioning in its fully adaptive mode. Therefore, one consideration
would be to dedicate resources toward signal optimizations, synchronization, and coordination,
as well as interconnection of a larger share of signalized intersections back to the traffic control
center, rather than spending the additional resources for the adaptive system.
However, in such highly congested conditions, any traffic flow improvements will also have the
potential to induce additional demand (new trips or trips diverted from public transit) or divert
390 "Hay embotellamientos en 314 cruces 
de DF," Reforma. June 22, 2003.
414
traffic from other, more congested routes. Taking a "lower tech" example, beginning in the
summer of 2002, a traffic flow program was put into place, which increased the number of traffic
police along several of the most "chaotic" routes and intersections. Measures that were taken
included towing vehicles that were illegally parked on roads and sidewalks, restriction of
passenger ascent/descent for public transit, restriction of valet parking, and elimination of U-
turns. Traffic police were also placed at critical intersections to manage traffic flows at
signalized intersections. Travel times were found to have fallen by 30% on average on
Insurgentes Avenue, where the program was first implemented (before the deployment of the
BRT corridor). At the same time, traffic counts at individual intersections along Insurgentes
showed that volumes increased between 10% and up to 48%. For example, at the intersection of
Insurgentes and Baja California, volume increased 48% from 1,904 vehicles per hour to 2,815
(from North to South).
39
'
7.5.1.3 Traveler Information
In Chapter 6, we found that although the use of traveler information as a measure to improve air
quality was not common for our five cases, Los Angeles did make use of both transit information
and multimodal traveler information as an air quality improvement measure. We suggest that
multimodal information could be used in Mexico City to reduce emissions in various manners.
Mexico City traffic congestion is characterized by high variability in travel times. Because of
the Federal District is the political, economic and social hub for the entire county, there are
frequently events which can paralyze traffic, most notably, protests and marches, which can
occur any day of the week. Furthermore, these events often occur along routes where traffic
demand and congestion is highest. Incident management, utilizing traveler information, is
another area where substantial near-term improvements could be made. It could provide large
mobility benefits by reducing the variability of travel times, and perhaps avoid contributing to
peak concentrations of ozone by minimizing the length of time that traffic is affected by
incidents and accidents.
Advanced traveler information would provide greater control to travelers regarding their time-of-
day, route and possibly even mode of travel. Currently, there are limited sources of information
on travel times, and reporting of incidents is often unreliable. There has been substantial
deployment of CCTV (172 cameras) by the DF, which can verify events and help organize
responses. However, these images of problem points do not help travelers to determine travel
times along an entire corridor. There is a limited deployment of loop detectors and problems
with their maintenance, meaning there is limited real-time electronic data collection. Other road-
side detection methods not relying on embedded loops are now available. However, a relatively
low cost and robust method could be the 
use of automatic vehicle identification (transponders),
with roadside detection, to get accurate travel times from probe vehicles. One option would be
to provide information to travelers via the 
internet or automated phone-based services.
392
391 See www.ssp.df.gob.mx/htmls/traf 
prog opeUni.html. There are no 
figures on the changes in average traffic
flows for the entire corridor where the program was implemented.
392 Setravi currently uses a phone-based 
service, but relies on operators, which 
limits the potential volume of calls
that it can handle.
415
While traffic information is usually the building block, and the reason for which most people
might first access traveler information websites or phone-based services, it is also important to
provide multi-modal information on alternate modes. Particularly with the deployment of BRT
type services in Mexico City, where buses using confined corridors could have a travel time
advantage over private vehicles, transit could be promoted to drivers as an alternative. For
example, travel times for Insurgentes could be given along with information on approximate
travel times for the same segment, but traveling via Metrobuts. Although all public transit
services are not yet equipped to provide real-time information through AVL, a major step would
be to centralize route and schedule or average headway information in one place. Therefore, an
initial set of information for a multi-modal traveler information service would include:
* real-time traffic information, with travel times and incidents;
* construction updates;
* schedule, route and fare information on all public transit services; and
* information on Hoy No Circula and other vehicle circulation restrictions.
Finally, looking at the example of cities that have established Ozone Alert programs (Tulsa was
one example in our set of cases), VMS and other traveler information services could also serve
as warning systems for high ozone levels, whether contingency levels or lower thresholds at
which ozone presents a risk to public health. These services could be used to request voluntary
actions on the part of citizens, and with the support of business, to shift travel times away from
peak travel, carpool, or take public transportation.
The overall potential for air quality benefits from traveler information in Mexico City, as
discussed in Chapter 2, it would depend upon the level of market penetration of information,
responses to that information in terms of route switching, time-of-day shifts, and mode
switching.
7.5.2 Policy and Institutional Options for Improving Air Quality through ITS
The above technology options highlight potential improvements to air quality and mobility
through ITS. In this section, we will look at four policy and institutional options for improving
the conditions leading to IIDAPT, based on the results of Chapter 6. As discussed 
in Chapter 6,
there is a normative component to this approach. It assumes that it is "good" to use ITS as a
measure to reduce emissions and improve air quality. We argue that Mexico City, is in many
ways, similar to Los Angeles in what must be done to improve air quality, and seeking
reductions wherever they may be found. Clearly improvements from ITS cannot have the same
magnitude of impact as could major improvements to vehicle emission control equipment, fleet
turnover, and improved fuels. However, it is also likely that improvements from vehicles and
fuels alone will not be enough to reduce emissions to an acceptable level. Incremental
improvements using ITS in a number of areas - traffic flow improvements, transit
improvements, mitigation of the impact of incidents and events, and more intelligent trip making
by travelers empowered with more real-time information - could provide important benefits.
Furthermore, these benefits can also be achieved quickly and at a lower cost than many other
emission reduction measures.
416
For the US case study cities, we identified the three most important conditions leading to
IIDAPT outcomes: problem severity, dedicated resources and mutual benefits. We also added a
fourth condition of new information. Although it was not a strong predictor of IIDAPT
outcomes, we suggest that bettering structuring evaluations of air quality outcomes could
improve IIDAPT outcomes. At least, restructuring evaluation of air quality outcomes to
highlight measurable outcomes could prevent some of the perverse outcomes that were seen in
the US, such as the misuse of dedicated resources (CMAQ program funding) for projects with
unclear emissions benefits. With these four IIDAPT conditions, in Chapter 6, we developed a
"checklist" for other cities that may want to identify changes that could be made to improve the
probabilities of successful IIDAPT. We now apply these recommendations 
to Mexico City,
taking into account the important differences (and important similarities!) between US cities and
Mexico City.
* Policy Intervention 1: Increase the regulatory stringency for addressing air quality problems
in metropolitan areas, to promote experimentation with ITS for supporting air quality goals.
Air quality in the Mexico City Metropolitan Area is currently worse than in any US metropolitan
area. Yet, as described in Section 7.3.2.3, there has been a type of two-tier regulatory framework
for air quality management in Mexico. First, are the public health-based national ambient air
quality standards, which are exceeded on a regular basis without any apparent action, and have
therefore lost their regulatory vigor. Second, are the much higher concentration levels
established for "contingencies" in which immediate actions are taken to reduce emissions and
exposure. Unfortunately, these contingency levels have become the de facto air quality
standards, in terms of the pressure on agencies to take actions to emissions. Although there have
been important reductions in the number of contingencies - with recent years having no
contingencies - the number of days exceeding the national ozone standards are still extremely
high (see Figure 7-7).
In Chapter 6, we suggested that a severe problem was an stimulus for innovation by public sector
agencies, and that problem severity could be a function of the following:
* the extent of 
the physical problem,
* pressure for change 
or action by stakeholders,
* pressure for change 
or action by the general 
public,
* difficulties in meeting federal requirements 
or standards, and
* anticipation of important changes 
in any of the above.
Because of the decline in the number of contingency days - important sources of pressure for
action - and the lack of financial or regulatory repercussions for metropolitan areas not meeting
the actual federal ambient air quality standards, there is not as strong of an impetus for
innovation. There is less motivation to push into a range of new transportation-based measures
for reducing emissions. This does not mean that agencies are not undertaking important actions
to improve air quality. Indeed, they are implementing many of the measure included in the
2002-2010 Proaire, and developing new strategies as well. However, air quality has to compete
with a number of different issues, including different environmental issue, such as the emerging
sense of a crisis over water quality and availability in the MCMA. With weakened regulatory
417
pressures for air quality improvements, it may be difficult to maintain the momentum for
continued reductions in air emissions, let alone pursue innovative approaches to improving air
quality through ITS.
In order to foster the use ITS in support of air quality, we suggest ratcheting up the pressure on
agencies to experiment with innovative approaches to improve air quality. This could be done in
two ways. First, would be to significantly lower the contingency levels to be more representative
of healthy air quality conditions (i.e., closer to the national air quality standards). This would
increase the pressure on agencies, in particular, transportation agencies, to seek out a greater
range of new actions to improve air quality. But, it would also have the downside of having an
"episodic" nature, with 
a focus on more immediate, 
short-term actions to address 
contingencies,
rather than making sustained reductions. The second approach would be to toughen the
consequences for local transportation and air quality agencies not meeting the air quality
standards. As discussed in Section 7.2.3.4, there have been discussions of creating a framework
similar to that of transportation conformity in the US. To be successful, this would have to be
linked to possible financial consequences of delays in federal transportation funding for failure to
show conformity with air quality plans.
Yet, our focus here in on promoting innovation with ITS for air quality. Therefore, without
examining the possibilities for a full-fledged transportation conformity framework for Mexico,
one aspect that could be useful is the requirement to consider a range of transportation control
measures (TCMs). Again, TCMs are measures that reduce emissions primarily by reducing
vehicle use (through transit, bicycle and pedestrian improvements, HOV lanes, ridesharing
programs) or improving traffic flow. One could consider a somewhat watered-down version of
the US transportation conformity requirement, where the primary focus is not on meeting
emissions budgets for mobile sources by forecasting emissions from long-range transportation
plans (as described in Section 7.2.3.4), but rather on strict requirements to identify and
implement "reasonably available" TCMs.
393 
This would create pressures on areas to seek out
emission reductions through a variety of approaches on both the transportation demand and
supply side, and open up opportunities to use ITS to support air quality goals directly and
indirectly.
* Policy Intervention 2: Provide dedicated resources that create "slack" for innovation, in
order to increase the likelihood of experimentation with ITS for air quality purposes.
While dedicated resource were available to certain projects in Mexico City utilizing ITS, in the
form of carbon credits for the Metrobuts, it is unlikely that this is a stable enough form of
dedicated resources to spur continuous innovation and experimentation at the local level. One
policy option could be the creation of a federal funding category for transportation projects with
the potential for emission reductions. This would be a program analogous to that of the
Congestion Mitigation and Air Quality program for federal funding in the US, where funding
393 Reasonably available, in the US, refers to (1) the ability 
to advance the date by which the area will be in
attainment of the air quality standards, and (2) the technological and economic feasibility of the project. See
Eisinger and Niemeier (2004).
418
priority goes toward projects identified as TCMs. Such a program, could be administered
through the Secretariat of Communications and Transportation, through Semarnat, or jointly.
The benefit of managing such a program through Semarnat, is that it could be supported by INE,
the research arm of Semarnat, which could provide institutional support to local governments in
terms of measuring and calculating emissions benefits.
It would also be important to ensure that these are protected resources. To provide the "slack"
for innovation to occur, these have to be resources that are protected from general budgetary
pressures that undoubtedly exist. It would also be important to identify the appropriate size of
this dedicated resource. It would have to be large enough to support multiple innovative projects
for emissions reductions through transportation-based measures, but not too large that it takes
away significant funds from perhaps less innovative but basic transportation investments, such as
ensuring adequate maintenance of existing transportation infrastructure.
Policy Intervention 3: Identify areas of mutual benefits - and areas of potential conflicts -
with regards to the interests and agendas of key agencies, in order to foster cooperation on
ITS innovations for air quality.
In the five US case cities, and in Mexico City, we saw mutual benefits from using ITS for air
quality were defined in large part by the existing preferences for major transportation
investments. Attempts to use ITS for air quality would be successful, if it supported the
preferred investments for both transit and roadway. They would be unsuccessful if it would
undermine the ability of agencies to make the case for their preferred investments. Therefore, a
policy entrepreneur wanting to use ITS for air quality, would have to carefully assess how key
political actors and agencies may react, and whether they would see this as in their interests, or
as supporting their broader agendas.
For example, take the case of the Second Stories. The Mayor, who has generally had a strong
focus on class differences and has often portrayed himself 
as the champion of the lower classes,
would probably not be in favor of congestion pricing for the new facility.
3 94 
He probably would
see charging a toll for the Second Stories as letting the "rich" buy improved mobility, while
letting the poor languish in traffic. One option for incorporating ITS would have been to use a
multi-modal managed lane concept, in which at least one of the lanes of the Second Stories
would be dedicated to HOT lanes and express buses. The focus could have been on providing
substantially improved travel time to buses and HOV vehicles, while allowing single occupancy
vehicles to buy-in to the lane if desired (using electronic toll collection). The revenue from the
HOT lane toll could be used to support the express bus operations.
39 5 
As it stands now, the
394 James C. McKinley Jr.. 2006. 
"Mexico's Populist Tilts at a Privileged 
Elite" New York Times. June 
17.
395 In fact, this concept of a "high-speed" 
left lane for express public transportation 
and carpools, was apparently
considered at one point. However, it is not clear whether this, or combination with a tolled option, was ever
seriously considered. Because there was pressure to finish and inaugurate the Segundos Pisos 
during the
administration of Mayor L6pez Obrador, it is conceivable that this option was abandoned because 
of the
complications in adding a more complex operational component to a major infrastructure expansion 
project.
See www.fimevic.df.gob.mx/sanantonio/sa movilidad.htm (in Spanish). Last accessed 
June 18, 2006.
419
Segundos Pisos provides greater mobility only to private automobile users, thus providing little
benefit to the majority of the population that still uses public transportation.
Another option could be to create an institution that had an interest in identifying and promoting
ITS as a tool to better manage the transportation system and its impacts. The Metropolitan
Planning Organizations in the US (particularly the MPO of Houston), were often important
champions of ITS, and were also charged with the responsibility to both develop the
transportation plan and assess its conformity with air quality objectives. In Los Angeles, the
MPO and the air quality management district created a non-profit organization to support
advanced technologies for air quality improvements. This could provide an argument for
incorporating the functions of the Metropolitan Transportation Commission (Cometravi) into the
Metropolitan Environmental Commission (CAM). This would combine the mobility objectives
of Cometravi with the environmental and air quality objectives of CAM.
However, in order to incorporate ITS and operations-based improvements into the mix of
measures to improve air quality, greater participation is also needed from agencies such as the
Secretariat of Public Security. Operational improvements - such as traffic signalization, VMS,
and traffic control centers, which are primarily the responsibility of the Secretariat of Public
Security - need to be better coordinated with the traffic flow improvements made through
physical changes. It is indicative of the fragmentation between Setravi, the Secretariat of Public
Works and Services, and the Secretary of Public Security (see Table 7-4 above), that the program
of "100 Actions to Improve Roadway Traffic in Mexico City," did not incorporate any
signalization improvements or other ITS-based operational improvements (Gobierno del Distrito
Federal 2005). The lack of coordination between operations projects and physical infrastructure
projects often directly undermines the efficiency of the projects being undertaken. For example,
many of the inductive loops that are critical to the operation of the adaptive signal control system
of the Secretariat of Public Security, were damaged during repaving projects undertaken by the
Secretariat of Public Works and Services. By continuing to sideline the role of operations and
ITS, it will be quite difficult to innovate and experiment with ITS in a way that improves air
quality outcomes.
* Policy Intervention 4: Restructure assessments and dedicated resources into a more iterative
process of experimentation and evaluation, in order to increase adaptation of ITS
technologies to improve air quality outcomes.
The federal funding or dedicated resources described above would need to be coupled to
quantification and some reasonable level of "proof' of the air quality benefits achieved.
Contrasting this with the US experience with CMAQ evaluations, which were done ex-ante to
determine project eligibility, a program of "paying" for demonstrated emissions reductions for
completed projects could increase the rigor with which those assessments are done. For
example, with the Metrobtus, the project was implemented without having received prior monies
through the sale of carbon credits, which were sold once the systems was operational. If this
were managed through INE and SMA, it could be used to build up a base of information to
compare similar deployments in other cities.
420
7.6 CONCLUSIONS
In analyzing the conditions leading to IIDAPT and actual IIDAPT outcomes in Mexico City, we
saw similar themes that emerged in our analysis of five US cities. Average IIDAPT levels and
range could be predicted by the seven conditions in the IIDAPT framework. Furthermore, while
the context of Mexico City differs substantially from that of the US case study cities, ITS
deployments for air quality would also reflect preferences for large-scale investments. It also
highlighted that problem severity, mutual benefits, and dedicated resources were not only
important for predicting and explaining IIDAPT outcomes, but could be used to develop concrete
recommendations for improving the possibilities for successful IIDAPT. Therefore, our IIDAPT
framework can be fruitfully applied to a non-US context, albeit with a continued focus on ITS
technologies and air quality.
In the next chapter, we draw more general conclusions regarding the IIDAPT framework and
what we learned from its application to (now) six cities. We will also consider whether it can be
extended beyond the domain of ITS and air quality. We will also look at broader implications
for the literature on innovation in government, multi-agency cooperation in technology
deployment, and the management of socio-technical systems and their impacts in society. We
now turn to our final chapter.
421
CHAPTER 8. FINDINGS, RECOMMENDATIONS AND FUTURE RESEARCH
8.1 REVIEW OF RESEARCH QUESTION AND MOTIVATION
The integration of information and transportation infrastructures is expected to transform modem
transportation systems. Indeed, some have suggested that "the social trend that is coming to
have the greatest influence on transportation is the growing role of information processing and
telecommunications in modem society" (Wachs 2002). While many of these transformations
will have positive effects on mobility and accessibility, economic growth and development, and
overall quality of life, negative outcomes are also "certain with this new transportation
enterprise" (Sussman 2005). Even before the advent of the new era of information and
communications technologies, the environmental challenges arising from the production and use
of the transportation system - air pollution, water quality deterioration, habitat 
fragmentation,
loss of wetlands and open space - were considerable. The emerging question is, what
consequences will integration of the information and transportation infrastructures have for the
environment? Will it intensify current trends or provide entirely new pathways for more
environmentally sustainable mobility and accessibility?
This thesis explored the linkages between Intelligent Transportation Systems (ITS) - the
application of information and communication technologies (ICT) to the surface transportation
system - and the environment - specifically, urban air quality. We began with a practical
question: how does ITS improve/degrade air quality? 
There is debate among practitioners,
academics, and decisionmakers regarding whether ITS will have a beneficial or detrimental
impact on air quality and other facets of environmental quality. This has led to competing
visions of ITS. The more dismal vision anticipates ever increasing dependence upon the private
automobile, with advanced technologies used to make the most efficient use of available
infrastructure to accommodate the private automobile - to the exclusion of public transportation,
non-motorized transport, and more accessible and livable spaces. The more optimistic vision
looks at the possibilities of using ITS to better manage transportation systems and the
externalities associated with those systems. This vision foresees a more information-intensive
transportation system that can better serve the needs of communities, and provide a broader
range of mobility options beyond the single-occupancy private automobile, enhancing both
mobility and the environment.
This debate reflects two sets of uncertainties. First, there are uncertainties in the physical
system. In Chapter 2, we highlighted some of these uncertainties: how emissions factors are
affected by speed and acceleration profiles, how ITS 
affects speed and acceleration profiles,
whether ITS can lead to modal shifts between public transit and private automobiles, and other
uncertainties. In Chapter 3, we then looked more 
broadly at the system-level uncertainties,
including the issue of induced demand. Here, we considered, even if we fully understand the
impacts of individual ITS technologies, how do we begin to grasp the interactions of multiple
ITS deployments?
Second, there are uncertainties on the organizational and institutional side. These issues have
been largely unexplored in the literature on ITS and the environment. The question relates to
how organizations can and will deploy, use, manage and adapt ITS technologies. 
Which
technologies will they use, and to what ends with they use them? Will they innovate with ITS in
423
a manner that attempts to either maximize the potential air quality benefits or minimize negative
air quality impacts? These two contrasting visions of ITS underscore the extent to which
environmental impacts depend not upon the technology itself, but upon how these technologies
are deployed and used. Indeed, we suggest that either one of these visions could emerge. The
goal of this research is to identify the conditions that could lead to the more optimistic vision.
Because we were interested in ITS for both mobility improvements and environmental
improvements, what emerged was the issue of how public sector agencies could achieve
synergies between these two objectives. More specifically, we saw that environmental benefits
could "piggyback" on the core mobility objectives that motivate the majority of ITS
deployments. Therefore, we were interested in under what conditions public sector
organizations achieve synergies between mobility and air quality goals through the deployment
of Intelligent Transportation Systems (ITS) technologies.
In order to identify the appropriate set of conditions, we first developed the concept of Integrated
Innovation, Deployment and Adaptation of Public Technologies (IIDAPT), to represent the
concept of how public sector organizations cooperate in the deployment, assessment and
adaptation of new technologies for multiple policy objectives. This concept is more fully
described in Section 8.2.2. Based on the literature reviewed in Chapter 4, we identified seven
conditions leading to higher or lower levels IIDAPT, in which agencies achieve (or do not
achieve) multiple policy benefits for air quality and mobility through ITS. The full IIDAPT
framework is shown here.
Figure 8-1 IIDAPT Framework
424
In the following sections, we will discuss how we tested the validity of this framework, using
case studies of five US cities and Mexico City. For each city, we closely examined how, in fact,
ITS is being employed for the purposes of both mobility and air quality, and how well the seven
conditions shown in Figure 8-1 could predict and explain those outcomes.
In Section 8.2, we will review the main findings from this analysis, with a focus on the following
research questions that were presented in Chapter 1:
How does ITS improve/degrade air quality?
Can we develop and test/validate a theoretical framework for predicting what
levels of lIDAPT will occur?
What conditions lead to higher/lower levels of llDAPT in using ITS to support air
quality goals in addition to mobility goals?
Returning to the base of literature that was used to development the theoretical framework for
IIDAPT, we will ask if the cases provided new insights for the literature dealing with innovation
in government, cooperation between agencies for multiple policy benefits, and assessment and
adaptation of technologies. This will address the following research question.
What are the contributions to the literature?
We will then focus on the question of how ITS is being used by US cities, in practice, to support
air quality objectives, or not.
Are ITS technologies being "shaped" to promote air quality objectives, and if so,
how?
Following this question of what is actually occurring in US metropolitan areas regarding the use
of ITS for air quality benefits, and based upon what we learned about the seven conditions
leading to higher/lower levels of IIDAPT, when then turn to the key policy recommendations of
this thesis in Section 8.3. This will address our final research question.
Can we then use this framework to provide policy recommendations for fostering
higher levels of lIDAPT?
We will then end with a discussion of possibilities for future research and refinements and
extensions to this framework.
425
8.2 FINDINGS
In this section, we will review the key findings according to the questions we posed in the
introduction to this thesis. This will then point us toward specific policy recommendations, for
both US cities and Mexico City (Section 8.3), as well as areas for future research (Section 8.4).
8.2.1 How does ITS improve/degrade air quality?
At the beginning of this thesis, we posed the question of how ITS improves or degrades air
quality. In asking this question, we found that we were essentially setting up a strawman.
Indeed, for the remainder of the thesis, we argued that the air quality impacts of ITS are not
immutable products of the technologies itself, but rather are contingent upon how those
technologies are applied and used by the organizations deploying and managing them.
Nonetheless, the debates over the air quality impacts of ITS are framed by important scientific
and technical uncertainties. There are important insights to be gained from reviewing the
literature on the ways in which ITS can improve air quality, and how ITS can also lead to a
degradation of air quality. In Chapter 2, we comprehensively reviewed the literature on ITS and
air quality benefits for three major subsystems: advanced traveler information systems (ATIS),
advanced transportation management systems (ATMS), and advanced public transportation
systems (APTS). In this chapter, we also defined and characterized new energy and emissions
subsystems for ITS technologies, which would be capable of measuring, monitoring and
reducing mobile source emissions. Finally, we discussed the trends toward technologies that
"manage" travel not at the level 
of infrastructure or vehicles, but at the 
level of individual
travelers.
Although many fundamental questions still remain unresolved, some preliminary observations
could be made. Improved traffic flows from ITS seem to provide modest reductions in HC and
CO, although NOx emissions are generally more difficult to reduce, as increased flow speeds
disproportionately raise NOx emissions factors after about 30-40 mph, and NOx idling emissions
are low (meaning that reducing idling is less effective for NOx reductions than for HC and CO
reductions). The traffic smoothing aspect of ITS is important, and reductions in hard or sustained
accelerations offer the potential to reduce emissions.
However, since NOx is not as significantly affected by the power enrichment that occurs during
hard accelerations (HC and CO are more strongly affected), reducing these hard accelerations
will do less in the way of NOx. For example, while electronic toll collection (ETC) may reduce
hard accelerations events, ramp metering may actually introduce additional hard accelerations, as
vehicles quickly accelerate from zero to freeway speeds. Therefore, ramp metering seems to be
a better NOx strategy than for HC or CO, although if average freeway speeds are increased
substantially, NOx will begin to rise again. Therefore, different strategies may present tradeoffs
between NOx reductions and CO and HC reductions.
The quality of studies for advanced traffic signalization is highly variable. There seems to be
some potential for emissions reductions by smoothing traffic flows. Indeed, benefits from
426
smoothing traffic flow may be underestimated where average speeds are used, because these
studies are not capturing the changes in accelerations and idling. However, there may also an
overestimation of the benefits where the question of induced demand has not been adequately
considered. While the issue of induced demand - the generation of new and/or longer trips
(higher demand for travel) due to lower travel times (a lower "cost" of travel) has been
increasingly studied for traditional physical infrastructure expansion, it is still poorly understood
for operations-based traffic flow improvements.
Air quality studies of ITS improvements to public transportation have been 
relatively narrow,
focusing on changes in the bus operations along a particular route, and changes in emissions that
result from fewer stops or increased speeds. Some work has been done to assess to what extent
different types of signal priority to transit affect regular traffic, with inconclusive results.
Impacts on side traffic depend upon the type of priority given to transit, i.e. whether conditional
or not, upon factors such as schedule adherence. However, the emissions outcomes from more
systemic changes to the transportation system, such as mode shift due to improved service
quality and the image of the transit system, have not been well explored.
Finally, the role of advanced traveler information seems to indicate a balancing act between the
congested route and the non-congested alternative, in the case of information regarding incidents.
Market penetration, compliance rates, and the severity and duration of the accident determine
whether ATIS can distribute traffic flows efficiently, or lead to "overreaction" and congestion of
alternate (usually arterial) routes. In the case of recurring congestion, ATIS does seem to
improve network performance. However, it also opens up the possibility of inducing demand
through reduced travel times. Again, as with APTS, the potential for ATIS to change mode
share and the possibilities for induced travel from ATIS have not been seriously examined.
There is also a serious gap in assessment of the benefits of multi-modal information, which show
not only traffic conditions, but also transit information for those travelers that may not be
accustomed to using public transit, and information on carpool or vanpooling options that can
reduce travel time by allowing access to HOV facilities.
Through the review of existing studies on the air quality impacts of ITS, we identified some
important issues. Some of the research needs we found are highlighted below.
* Better understanding of how ITS changes 
the vehicle modal activity distribution (i.e. 
how
much time is spent cruising, acceleration/deceleration, or idling) on a second-by-second
basis from both field data and simulation modeling.
* Additional field measurements - monitoring 
individual vehicle emissions under real-life
operating conditions - to develop emissions factors for instantaneous speed and
acceleration profiles (i.e. grams per second as a function of speed (mph) and acceleration
(mph/sec)). These field measurements need to span a wide range of vehicle characteristic
to be able to represent diverse vehicle fleets, including for example, high emitters, hybrid
vehicles, public transit vehicles, etc.
427
* Field measurements to monitor before-and-after pollutant concentrations along ITS-
modified corridors, for comparison with simulated emissions levels.
* Analysis of the relative impact of public transit ITS applications 
on transit ridership and
overall mode share.
While the studies reviewed above have advanced our understanding of the localized impacts of
single ITS deployments, the system-wide impacts (including all modes) from multiple ITS
deployments are far from clear. In Chapter 3, we presented a qualitative system approach for
mapping out the possible air quality impacts from deploying multiple ITS applications. This
highlighted the importance of considering issues of induced demand and the mix of ITS
applications, which could have more important long-term repercussions for the evolution of the
transportation system. We found that the following additional issues remain to be addressed by
researchers.
* The extent to which traffic flow improvements from ITS lead to induced 
demand, and the
relative size of emissions reductions from changes in vehicle modal activity compared to
emissions increases from higher VMT.
* If the "mix" of metropolitan ITS deployments - whether more heavily oriented toward
transit, traffic, information, etc. - can change the modal split between transit, signal
occupancy vehicles, ridesharing, and non-motorized transportation (walking and biking).
* Related to the previous point, whether and how ITS applications can be used to improve
"in-vehicle efficiency" through Information-based Transportation Strategies (IbTS)
through transit and alternative modes such as ridesharing and carsharing.
More importantly, these issues point us back to the idea that the air quality impacts of ITS will
depend upon how those technologies are used by the agencies that are deploying them. These
are not solely technical uncertainties, but uncertainties regarding the intentions, motivations,
agendas, and objectives of organizations. We therefore turn to our IIDAPT framework to
address these questions.
8.2.2 Can we develop and test/validate a framework for predicting levels of IIDAPT?
In Chapter 4, we defined and articulated a concept of Integrated Innovation, Deployment and
Adaptation ofPublic Technologies (IIDAPT). Stated briefly, IIDAPT occurs when:
Public sector organizations cooperate to adopt and use new technologies in
support of multiple policy goals. This process of innovation is iterative, as
agencies assess impacts and adapt technologies to new information on outcomes.
Breaking down the IIDAPT definition in more detail, the term integrated suggests the active
pursuit of multiple public policy goals that pertain to more than one public sector agency. This
may be through active involvement and cooperation of several (at least two) agencies in the
design and deployment of a new technology, or the more unilateral initiative of one agency to
428
support the organizational and policy goals of other agencies (in addition to their own goals),
during the process of innovation and deployment. Deployment indicates that we are focusing
only on technologies that actually reach the operational stage, not technology development,
research or invention (although those may be activities leading up to deployment). We use the
term innovation with two ideas in mind. First, there is innovation in the application of advanced
technologies (such as ICT) to new sectors (such as transportation). Second, there is another layer
of innovation when these advanced technologies (ICT), are applied to a new sector
(transportation), in support of non-traditional goals (air quality). Therefore, innovation, as we
are using it here, is a combination of technological innovation, with the adoption and adaptation
of advanced technologies, and policy innovation, in using these technologies in novel ways for
reaching additional policy goals. We also use the term adaptation to refer to the process of
continual assessment of technologies and their impacts, using the information that is generated
during the evaluation process to improve and modify the already implemented innovation, and/or
designs for future deployments. Finally, we use the term public technologies to indicate that
these are technologies deployed primarily by public sector organizations (although there may be
additional cooperation and support from other organizations), and that the technologies are
intended to provide public benefits or public goods. In the case of this research, those public
benefits are mobility and accessibility and air quality.
8.2.2.1 Measuring IIDAPT
We also argued that IIDAPT could be considered along a scale, from lower to higher levels of
IIDAPT. In order to better describe, understand, and ultimately measure actual IIDAPT
outcomes - in this thesis, for the use of ITS to meet both air quality and mobility goals - we
focused on four activities that support IIDAPT. These activities were identified based on the
literature reviewed in Chapter 4. We suggested that cooperation and innovation are the two core
activities, while assessment and adaptation are two supporting activities that would indicate
higher levels of IIDAPT. Low and high levels of these four activities, thus contribute to lower
and higher levels of IIDAPT. This is shown in more detail in Table 8-1.
429
Table 8-1 Qualitative Scale for IIDAPT
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High More than one agency High level of novelty Rigorous ex-ante and Modification to
actively engaged in the in the technology or its ex-post evaluation. technology/system in
design, deployment adaptation to multiple response to information
and/or operation. policy goals. from assessments to
improve performance
for multiple policy
objectives.
Low More than one agency Some novelty in the Some ex-ante or ex- Modification to
indirectly involved or technology or its post evaluation only. technology/system in
playing a supporting adaptation to multiple response to information
role in the design, policy goals. from assessments to
deployment and/or improve performance
operation. forprimary policy
objectives only.
None No cooperation. No innovation. No evaluation. No adaptation.
For the case study work, we used the above table to develop a numerical ranking for IIDAPT
levels for individual ITS technologies deployed with air quality benefits as an important, albeit
secondary, policy objective. This numerical scale was applied to individual technologies from
ten ITS application areas for each case study city.
Table 8-2 Numerical Scale for IIDAPT
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 1 1 0.5 0.5
None 0 0 0 0
We then scaled up from individual technologies to the metropolitan level, which gave us two
measures: average level and range (see Table 8-3). We also took another independent measure
of intensity. Although for the individual case analyses, several measures of intensity were used,
for the cross-case comparison, we used a more standard measure based on the share of
Transortation Control Measures (TCMs) that were ITS or ITS-enhanced projects (see Table
8-4).3 
6 
These three measures reflected the (1) average IIDAPT level in the use of ITS for air
quality, (2) the diversity or range of ITS technologies used in support of air quality goals, and (3)
the intensity of use of ITS compared to other mobile source emission reductions measures.
396 Tulsa was the exception. Because there was not a similar 
State Implementation Plan with TCMs, as for the other
metropolitan areas, we used the share of ITS-based projects for the full Early Action Compact (EAC).
430
Table 8-3 Scaling up to the Metropolitan Area
Representative IIDAPT scale
ITS application areasIDAPT scale
technology
Arterial traffic flow improvements project #
Freeway management strategies project #
Freeway traveler information .... ...
Transit information ......
Multi-modal information .... ...
Transit operational improvements .... ...
Transit fare payment systems ......
Rideshare support ......
Demand management/pricing ......
Other applications ......
Average level (0-6) = Average across
application areas
Range of IIDAPT (0-10) = Number of
application areas
Through this exercise, we found that we could not only articulate the concept of IIDAPT, but
also develop an approach for measuring actual IIDAPT levels. First, we measured IIDAPT at
the level of individual technologies, and then aggregated the results of the analysis of individual
technologies to the metropolitan level, by deriving the three measures of IIDAPT 
described
above: average level, range, and intensity. The product of these three measure was then 
taken to
give an overall IIDAPT level. Thus, we were able to articulate the concept of IIDAPT 
in a way
that could be empirically measured.
8.2.2.2 Identifying the Conditions Leading to IIDAPT
Having developed an approach to describe and measure IIDAPT, 
we then faced the challenge of
identifying the conditions leading to IIDAPT, and establishing a testable 
framework for IIDAPT.
This framework, which forms the basis for the case analysis 
in this thesis, was presented above
in Figure 8-1. In order to derive a set of conditions leading to IIDAPT 
that could be tested, we
turned to the literature on innovation, cooperation, assessment and adaptation, 
which is presented
in Chapter 4. We drew these conditions from our synthesis of the literature 
on organizational
theory, public administration and political science, specifically those 
lines of research dealing
with innovation in government, cooperation for environmental 
management, and technology
assessment and adaptation. These conditions 
were expressed in Chapter 4 as seven 
propositions,
based on the literature reviewed. We summarize these below.
Proposition 1: Public sector organizations will innovate in response to 
changes in
the external environment, and the level of innovation will 
be relative to the
severity of the problem.
Proposition 2: The level of an agency's internal resources, in terms offunding,
staffing levels, and education and training of staff increases the 
capacity to adopt
and deploy technological innovations.
431
Proposition 3: Dedicated resources to specific categories ofprograms or project
will lead to more innovation in that area.
Proposition 4: Lower cost innovations will be more likely to be deployed.
Proposition 5: Cooperation between agencies is more likely if there are perceived
mutual benefits to be gained from the innovation.
Proposition 6: The likelihood of integrated innovation falls as the number of
organizations with a stake or role in the innovation increases.
Proposition 7: The availability of new and better information will lead to
adaptation ofprograms and projects to improve outcomes.
The IIDAPT framework, Figure 8-1, shows how each of these conditions affect cooperation,
innovation, assessment and adaptation, the four activities supporting IIDAPT. However, we also
recognized the possibility for interactions between the conditions. These secondary links were
identified by dotted lines in Figure 8-1. For example, rather than mutual benefits deriving from
the fact that certain innovations can achieve multiple policy objectives for agencies, the mutual
benefits could become embodied in the dedicated resources (i.e. CMAQ funds) that were created
to solve certain problems. In other words, innovation may be motivated not by the need to
address important problems (air quality), but how best to access the funding pool (federal
CMAQ funds) created to address those problems. The advantage of the case study approach is
that these indirect interactions could also be explored.
8.2.2.3 Testing the IIDAPT Framework
Now that we have described how actual IIDAPT outcomes were measured, and how the
conditions leading to IIDAPT were developed, we now turn to the question of whether the
IIDAPT framework can be tested, and what the results of this testing were.
In-depth case studies of five US metropolitan areas were undertaken to analyze if and how cities
are actually deploying ITS in ways that also support air quality goals in addition to mobility
goals. These metropolitan areas were chosen with the intention of representing a range of
possible IIDAPT levels. This differs from other studies of innovation in government in which
cases of known innovations/innovators are analyzed to understand the factors leading to
successful innovation. We intentionally added two cases, Orlando and Tulsa, which were
anticipated to have low levels of IIDAPT (perhaps even zero) because of their status as
attainment areas (i.e. no air quality problem), and because of a low base of ITS deployment in
the case of Tulsa (see Figure 8-2). Los Angeles and Houston were more obvious cases of a high
potential and need to use ITS for air quality benefits. Boston, a case in the middle, was less
certain as to what its outcome would be. It is important to note that while the cases were chosen
because they were anticipated to reflect a range of IIDAPT levels, actual IIDAPT levels were not
known before the case study work and quantitative analysis were completed.
432
Figure 8-2 Choosing Five Case Study Cities
70%
60%
50%
40%
30%
20%
10%
0%
*
*
0
0
BOST(
0
0
0
SHOUSTON
LOS ANGELES
ON LOS ANGELES
0 0 0
Marginal Moderate Serious Severe-15 Severe-17 Extreme
In Attainment Ozone Non-Attainment (level)
We tested each individual case - Houston, Los Angeles, Boston, Orlando and Tulsa - to
determine to what extent the predicted IIDAPT levels, based upon the seven conditions, matched
with the actual IIDAPT levels. Again, actual IIDAPT levels were an aggregate measures,
representing the product of average level, range, and intensity. The five case comparison is
presented below.
Table 8-4 Predicted versus actual IIDAPT levels
Houston Los Angeles Boston Orlando Tulsa
Predicted level High Med-high Medium Very low Low-medium
Actual level 5.2 4.0 2.3 0 2.3
* Average level High Med-high Medium None 
Medium
0-6 4.5 3.8 2.9 0 3
* Range 
4 
8 
4 
0 
3
0-10
* Intensity 29% 13% 20% 
0% 26%
o% of all recent of all post- of all post- of SIP transit of all EAC
TCM projects 2000 TCMs 2002 TCMs commitments projects
433
--
? ?
Figure 8-3 Visual comparison of predicted versus actual IIDAPT levels
0
5-
S4-
3
2
1-
[ 5.2
Houston
04
Los Angeles
[ 2.3 [ 2.3
Tulsa Boston
0 Orlando
F II
0 Low Medium 
High
Predicted IIDAPT levels
As seen in Table 8-4 and Figure 8-3, the distribution of IIDAPT levels was closely predicted by
the seven conditions. Tulsa appears with a higher than expected level of IIDAPT, although that
can be explained in part by the way in which we measured problem severity. By measuring
problem severity as the official federal designation for attainment with the 1-hour ozone
standard, we underestimated the response to local and state agencies' anticipation of possibly
falling out of attainment with the new 8-hour ozone standard.
We are careful not to suggest categories of "high" or "low" for the actual levels for the case
studies. Theoretically, the highest actual IIDAPT level could be 60.
397 
Of our five case study
cities, and for the time period analyzed, Houston had the highest IIDAPT levels, at 5.2. Because
there are only five data points, we are also careful not to overstate the implications of this first
cut at testing the framework, and the apparently good correlation between predicted and actual
levels. However, we are confident that the results presented here support the validity of the
IIDAPT framework, and in particular, the general predictive power of the seven conditions
leading to IIDAPT.
Again, this testing used an aggregate measure for comparing actual IIDAPT levels to predicted
levels. One possible weakness of this approach is that it combined different dimensions of
performance: average IIDAPT, range, and intensity. However, looking at Table 8-4, we also saw
that the three measures of IIDAPT did not covary. For example, Houston had a high average
IIDAPT level and intensity, but low range. Los Angeles, was almost the opposite with a higher
397 This would require an average IIDAPT level of 6, range of 10, and intensity 
of 100% (giving a summary level of
6 x 10 x 1). For the measure of intensity, this would mean that all Transportation Control Measures would be ITS or
ITS-enhanced. Currently, intensity is closer to 10-20% in most cities, although this can vary from one time period to
another.
434
range, and lower average IIDAPT level and intensity. We discussed possible reasons for this in
Chapter 6 (see Section 6.3.1). For example, it appeared that the number of agencies, not a good
predictor of actual IIDAPT using the aggregate IIDAPT measure, may have had an impact on the
range. Los Angeles having a higher number of agencies and more decentralized decisionmaking
process, had a much higher range of IIDAPT for ITS and air quality, perhaps because of the
greater number of opportunities for experimenting with ITS for air quality purposes. Houston, a
more centralized planning environment with a smaller number of agencies, particularly for the
city's population and size, had a low range, perhaps because efforts were concentrated in only a
few categories of IIDAPT. The next steps in testing the predictive value of the framework would
be to test it for these three disaggregated measures, possibly for a larger number of cases, to see
how the seven conditions affect these disaggregated measures, and whether they tend to covary
or not.
Further validation of the framework could also require breaking out these aggregate measures -
which are aggregated across different ITS technology application areas - and testing the
predictive value of the model with respect to these application 
areas or subgroups (for transit,
traffic, information, and demand management). This would also allow us to examine IIDAPT on
a mode by mode basis. For example, in Chapter 6 and 7, we often saw mutual benefits defined
in terms of agency preferences for operations-based strategies versus more capital-intensive
physical expansions: light rail versus bus rapid transit, ITS-based freeway management versus
widening/expansion, more dynamic rideshare matching versus HOV-lane expansion or HOT
lane conversion, and so on. Therefore, further testing could show how mutual benefits and cost
determine the average levels of IIDAPT within a specific mode.
In summary, we found that not only could we develop and test a concept and theoretical
framework for IIDAPT, but that the theoretical framework performed well in predicting actual
IIDAPT levels. It also points to areas for further testing of the framework at a more
disaggregated level.
8.2.3 What conditions lead to higher/lower levels of IIDAPT in using ITS to support air
quality goals in addition to mobility goals?
We tested seven conditions that we hypothesized would lead to higher or lower levels of
IIDAPT. The strongest predictor of IIDAPT was problem severity. As problems become more
pressing, as for Los Angeles and Houston, we saw more innovation and IIDAPT as those cities
struggled to deal both with congestion and air quality. This confirms earlier studies of
innovation in the public sector, that problem severity is a key condition leading to innovation.
However, it should be stressed that for our five cases, the perception of problem severity is 
not
necessarily based on the physical problem (i.e. parts per million of ground-level ozone), but
rather on the regulatory pressure to address that problem.
We defined mutual benefits, in this case, as the requirement to meet transportation conformity
requirements - for example, implementing transportation control measures (TCMs) and meeting
mobile source emissions budgets. This suggested there would be mutual benefits to
transportation agencies and air quality agencies from finding synergies between ITS deployment
435
goals and related mobility improvements (both for individual drivers and transit users), and air
quality goals. Therefore, as a first cut in identifying mutual benefits, we suggested that agencies
define their agency goals in relatively simple terms as follows. Air quality agencies want to
improve air quality, presumably in the most efficient manner. Transportation agencies want to
improve mobility, again, in the most efficient manner, and will "piggyback" air quality goals on
mobility goals if it builds support for their ITS deployments. Thus, if ITS can be deployed to
accomplish both mobility and air quality objectives, it can create mutual benefits between
agencies. Overall, the predictive power of using this condition was fairly good. Agencies did
seek out TCMs that took advantage of existing/planned improvements from ITS, as a seemingly
"win-win" solution, and used CMAQ 
funds for ITS technologies that 
could improve air quality.
Yet, it is interesting to take note of instances when agencies did not take advantage of ITS
projects that, in these relatively simple terms, could be considered to provide mutual benefits.
We described some of those cases in Chapter 6. The condition of mutual benefits, as described
here, was a good predictor of overall IIDAPT levels. However, by examining the cases in
greater depth, one could also uncover interesting outcomes in how mutual benefits and cost
played out together. We discuss this finding in Section 8.2.4.2.
Dedicated resources illustrated another condition that worked well as a predictor of IIDAPT
levels. As we could see, CMAQ funding in most cases did provide a "slack" resource for
experimentation with ITS and other measures for reducing mobile source emissions. Also, as we
suggested, dedicated resources can also reinforce the sense of mutual benefits, by providing a
monetary incentive for transportation agencies that might not otherwise have an interest in
looking at the air quality impacts of their transportation management strategies. Particularly for
Houston and Los Angeles, the CMAQ program seemed to enable innovations that might not
have been undertaken otherwise. As suggested in Figure 8-1, the dedicated resources therefore
reinforce or create new sources of mutual benefits.
Therefore, this research showed that innovation and deployment of new ITS technologies for air
quality purposes was influenced most strongly by (1) the severity of the air quality problem and
the federal regulatory requirements to address that problem, (2) the mutual benefits that could be
created by identifying synergies between mobility and air quality, and (3) dedicated resources
that create a source of "slack" resources for non-traditional activities. Yet, the testing of our
framework also revealed some more subtle dynamics, which are discussed in Section 8.2.4.
And, as noted earlier, testing the framework at a more disaggregated levels, could provide
additional evidence of which conditions have the strongest influence on IIDAPT levels, and
whether they affect range, average level, or intensity.
8.2.4 What are the contributions to the literature?
Having tested the IIDAPT framework, we can also ask whether this exercise provided us with
new insights regarding the literature on cooperation, innovation, assessment and adaptation,
which was used to develop the seven conditions for IIDAPT. We identify four main areas of
contributions, while pointing back to the seven propositions outlined in Section 8.2.2.2. Again,
these results are based on the case of ITS and air quality, and the results from testing the IIDAPT
framework for five US cities and Mexico City. Therefore, while the research provides important
436
findings, we warn against generalizing these results too broadly for other areas without further
testing of the framework. This will also be discussed below in the section on future work.
8.2.4.1 Technology Deployment as Local Government Innovation
Contrary to the often pessimistic outlook of organizational theory, 
innovation in government,
specifically, technological innovation, can and does occur in the absence of a crisis, when
heightened public and political attention and pressured is focused on the need to immediately or
urgently resolve a problem. We also found that the deployment of new technologies is an
important public sector innovation that occurs in response to the severity of the problems being
faced. This result is important, and optimistic from the viewpoint of the efficacy of more
stringent federal regulations in spurring innovation by local governments. Clearly, Los Angeles
has made very important progress in reducing ozone levels. But, even with the waning sense of
an acute crisis (from the physical standpoint)
398 
the regulatory pressures stemming principally
from the Clean Air Act Amendments continually stimulate innovation. In the absence of a
"crisis" due to the physical problem (concentrations of ozone), regulatory changes can and do
create a type of organizational "crisis" for the organizations that will struggle find ways to
continue to meet regulatory requirements. This confirms earlier studies, that have challenged
what was for long the conventional wisdom - articulated most strongly by Wilson - that public
sector innovation occurs primarily in response to major crises and public failures, and that even
under crisis, innovation may not occur. As noted by Borins:
"If public management innovation were solely the result of crises, we would likely
conclude that public sector organizations are characterized by uncaring people who do
not act until problems become crises, or they are gridlocked systems that do not permit
actions until problems become crises. In fact, we have seen that, in the majority of cases,
public servants were able to act to resolve problems before they become crises, or to take
advanced of opportunities to deliver new services or to deliver existing services more
efficiently." (Borins 1998, p 47).
On a different point, this research contributed to studies of innovation in government, by placing
local innovation in the federal context. This research looked at innovation at the metropolitan
level - including city, county, and state agencies. But, we identified federal air quality
regulations and the requirements for transportation conformity as factors that can intensify the
definition of a "problem" by local/state governments (see Proposition 1). Innovation at the local
level can be triggered by the tightening of regulations at the federal level. Furthermore, 
federal
resources dedicated to certain non-traditional activities can also spur innovation at the local level
(see Proposition 3). The CMAQ program provided a source of dedicated or "slack" resources for
agencies to pursue innovation with new technologies. While some studies of innovation have
looked at the states as 50 laboratories for policy innovation, they generally 
assume that
innovation means the states are going beyond the federal requirements, for example, 
for
environmental protection. This study shows how innovation can occur as a result of 
local and
state governments attempting to meet federal requirements for environmental protection.
398 For example, highly visible pollution 
episodes with very palpable health 
effects on the general population, 
such
as those that occurred in the 1950s in Los Angeles.
437
8.2.4.2 Cooperation, Agency Interests, and Deployment ofNew Technologies
Active cooperation between public sector agencies, even on technologies presenting possible
synergies, is difficult and not common. Because innovations with ITS for air quality do not take
place in a vacuum, they will be competing with other projects both for mobility and for air
quality. An agency's interest or preference to deploy ITS with the additional objective of air
quality improvements depends on whether it fits, or not, with the agency's interests. Because it
might be seen as competing with other projects that might be higher priority for the agencies, our
condition of cost also comes into play. If ITS is promoted as a low-cost measure to achieve
various objectives, it may undermine the ability of agencies to make a case for their preferred
investments, which might be more capital intensive. However, agencies may also prefer ITS
options precisely because of its lower cost. Therefore, our cases illustrated that we had to
analyze the self-interests of agencies in order to determine their mutual interests, and ask what
are the repercussions - positive and negative - of highlighting ITS as a low-cost improvement
for both mobility and air quality (see Propositions 4 and 5).
While the context of Mexico City differs substantially from that of the US case study cities, the
dynamics of these cases are similar. ITS deployments for air quality often reflect preferences for
or against certain types of large-scale investments in new or expanded systems. For example, in
Boston, the preference of the MBTA (the transit agency) is to avoid several transit projects that
involve extending or restoring rail-based services. Therefore, there is greater consideration of
ITS-based solutions for bus rapid transit type service, that could be considered an adequate
substitute of Boston's transit commitments. In Houston, on the other hand, Metro (the transit
agency) has been attempting to push a transit expansion program based on light rail. Therefore,
they have highlighted the air quality benefits of light rail, while making little reference to the air
quality benefits of improvements to bus services through ITS. Houston has also been supporting
its case for continued investments in TranStar, the hub of ITS deployment in the region
(including participation from the City of Houston, Harris County, Texas Department of
Transportation and Metro). Therefore, the air quality benefits of TranStar and related ITS
applications have been repeatedly stressed by the four agencies involved in TranStar. Los
Angeles, has shifted transportation priorities radically, away from infrastructure expansion, to
demand management and transit expansion. While there is a focus on the air quality benefits of
applying ITS to transit, and to a more limited extent, to demand management (under their
information-based transportation strategies category of TCMs), there seems to be a reluctance to
highlight the potential air quality benefits of better managing traffic flow through enhanced
operations on local streets and highways. These issues are discussed in depth in Chapter 6.
However, it is important to highlight the similarities between these very different cities.
Therefore, we draw three important and interconnected conclusions from these cases. Again,
these results are for the case of ITS and air quality in the US, and in Mexico City.
* The possibilities for achieving synergies (or "win-win" outcomes) must be defined, not
according to the stated policy objectives or mission of the public sector agency, but
according to the underlying interests and agendas of agencies, which may not align with
the public interest.
438
* "Cheap" solutions, such as ITS rather than conventional infrastructure, are not always in
an agency's interests, as the agency defines them.
* Low-cost innovations may compete with or support agency's or 
elected official's
priorities for certain categories of investment.
On a different note, but also related to the issue of the cooperation, we found that a larger
number of organizations (involved in the possible cooperation on ITS deployments for air quality
purposes), did not necessarily lower the probability of successful IIDAPT, as was first
hypothesized (see Proposition 6). There were indeed indications that a more limited number of
actors involved in ITS deployment and air quality management could make cooperation easier,
for example, Tulsa and Houston. However, when we turn to the case of Los Angeles, we find
that a more decentralized institutional structure for transportation and air quality planning and
management led to greater levels of "experimentation" with the use of ITS for air quality. This
seems to have enabled a much greater range of IIDAPT, with many smaller agencies deploying
different ITS technologies in support of air quality as well as mobility. Houston, on the other
hand, with a more limited number of agencies, and more centralized transportation
decisionmaking and highly coordinated ITS efforts through TranStar, may have limited the range
of IIDAPT to only four application areas, which represent the core strengths of the TranStar
organizations. Therefore, while the case studies did not provide conclusive results for the impact
of a larger number of agencies, they did point to some interesting avenues for future research.
8.2.4.3 Role ofAssessment and Adaptation in Public Sector Technology Deployments
We found a wide range of IIDAPT levels, which indicates a certain level of experimentation with
new technologies. Yet, when looking at individual technologies/projects linking ITS to air
quality benefits, we found that there was little active adaptation of technologies in response to
information on their actual air quality impacts once deployed. Although assessments were
relatively prevalent, they were typically ex ante evaluations intended to document anticipated
benefits for showing eligibility for CMAQ funding, or justifying their inclusion in the list of
TCMs in air quality plans. Assessment methodologies were not generally set up to provide new
information. Therefore, we did not find many examples of adaptation and modification of ITS
technologies in response to new information on air quality impacts (see Proposition 7). We
highlighted two primary finding with respect to the role of assessment and adaptation in public
sector technology deployments:
* New information on the impacts of new technologies 
does always not lead to adaptation.
* Assessments of technologies and their impacts 
are not well integrated into the technology
deployment process, even where evaluations are required.
Returning again to the issue of mutual benefits for agencies, we find that the influence between
new information and mutual benefits, as seen in Figure 8-1, may actually be in the opposite
direction than what we hypothesized. We had originally anticipated that new information
regarding the air quality benefits (or negative impacts), could change agencies perception of
439
mutual benefits, by either highlighting new opportunities, or identifying areas of conflict
between mobility and air quality goals. However, agency interests and preferences were often
immutable in the face of new information that emerged regarding the air quality impacts of ITS
application. Information would generally be assimilated in ways that would further support their
existing preferences. Therefore, another key finding is that:
SMutual benefits tend to set priorities, and new information that can change the perception
of those benefits is not always welcomed by agencies.
Indeed, even in the development of uniform protocols and guidebooks to assess the emission
changes from ITS applications, we could clearly see existing organizational preferences reflected
in how emission changes were calculated. Agencies in Houston, highly supportive of traffic
flow improvements as a way to combat both congestion and air pollution, did not incorporate the
impacts of induced demand into their calculations of traffic flow improvements. On the other
hand, Los Angeles, more wary of the induced demand that could result from improvements to
traffic flows and increased travel speeds, built those effects into their calculations. Even in
Orlando, where air quality is not a pressing problem and does not currently constrain
transportation investment decisions, information emerging from air quality studies of the impacts
of electronic toll collection was used selectively. While the HC and CO reductions were
highlighted by the agencies deploying electronic toll collection, the substantial NOx increases
were essentially ignored.
8.2.5 Are ITS technologies being "shaped" to promote air quality objectives, and if so,
how?
We now return to the question of the "shaping" of new technologies to ameliorate their negative
impacts or generate additional benefits. Because we used a multiple case study approach, we
were able to compare how ITS was used for air quality for cities on both the high and low ends
of the IIDAPT scale. In addition, we could see the types of ITS applications that were being
used for air quality purposes, as shown below.
440
IIDAPT levels of each ITS application area
Frequency Average 
Los
ITS application areas of use IIDAPT Houston Boston Orlando Tulsa
(0-5) level (0-6)
Arterial traffic low 4 3.9 4.5 5.5 2.5 2.5
improvements
Freeway management3 
3.2 4 2.5 
3 -
strategies
Freeway traveler 
0
information
Transit information 1 3 - 3
Multi-modal information 1 4 - 4 -
Transit operational 
2 3.3 
- 2.5 
4
improvements
Transit fare payment 1 4.5 -
4.5 - -
systems
Rideshare support 4 3.4 4 4.5 2 2
Demand
Demnd2 4.8 5.5 4
management/pricing
Other applications 1 4.5 - - - - 4.5
Our analysis showed that for all metropolitan areas with even a minimal or anticipated air quality
problem (i.e. all cities except Orlando), there were at least a few examples of the use of ITS to
support air quality and mobility objectives. Again, in order to "qualify" as an example of
IIDAPT, the technology analyzed had to support the dual objectives of mobility and air quality
improvements. There are some ITS technologies, identified and discussed in Chapter 2, that
have been developed for only air quality benefits, without an identifiable role in congestion
mitigation or other mobility enhancement. These were not counted as IIDAPT, since we were
focusing on the case of dual benefits for mobility and air quality.
In Table 8-5, we highlight the frequency of use of ITS technologies according to the ten
application areas. Arterial traffic flow improvements - primarily through traffic signalization
strategies - were found in four of the five cases. The use of internet ridematching services for
carpool and vanpooling were also found in all cities except Orlando. We found that the
provision of traveler information (freeway, transit, and multi-modal) was used infrequently for
air quality purposes. This indicates that the vision of an "information-intensive transportation
system" has not yet been realized, or that the air quality benefits of those technologies and
services are not being exploited. Los Angeles was the exception in this respect. In fact, in their
list of transportation control measures (TCMs) for their air quality management plan, the
Metropolitan Planning Organization for the Los Angeles region (SCAG) has created a new
category referred to as "Information-based Transportation Strategies," which points toward this
vision. In Chapter 6, we also looked at some of the "best practices" in the use of ITS for air
quality in the five US case study cities analyzed in this research. These are summarized in Table
8-6.
441
Table 8-5 Frequency of use and average
Table 8-6 IIDAPT "best practices" in ITS for air quality in five US cities
IIDAPT I Description
The Automated Traffic Surveillance and Control (ATSAC) system has undergone continual enhancements since the
1980s, allowing the addition of capabilities for traffic control, and more recently for transit signal priority. The
Adaptive Traffic Control System (ATCS) is the latest software upgrade to ATSAC, developed in-house, with
automated adjustment of signal timings in response to real-time traffic conditions. There is also cooperation with
Metro's for transit signal priority for the Blue Line light rail. The ATSAC system has received several awards for
innovation, including an award from the US DOE's 1995 National Awards Program for Energy Efficiency and
Renewable Energy. Studies of air quality impacts have shown clear benefits, but to date there does not appear to be
adaptation of the system specifically to air quality outcomes. Some proposals were made, but never fully
implemented, to manage traffic in real-time using monitored CO levels and other emissions. Important expansions
of the system (Wilmington, Harbor-Gateway) are funded with CMAQ. See trafficinfo.lacity.org/html/atsac 1.html
Through cooperation between Metro and the City of Houston, signal hardware is being upgraded, also to include
signal priority, as well as interconnected back to TranStar facility for centralized control and monitoring. The
project is funded through CMAQ, and is included by the MPO as a TCM in Houston's air quality plan.
CMAQ funding is supporting the multi-agency deployment of a universal fare payment system for transit. The
project leader is Metro, but a number of transit agencies in LA county are involved in deployment to increase
ridership through more seamless travel. This will cover nearly all major transit service operators of subway, light
rail, bus and bus rapid transit in LA county.
This program is an extension of Houston's HOV and ridesharing program. Through cooperation between Metro,
TxDOT, and the Harris County Toll Authority, Houston implemented two of the country's first managed lanes for
carpools, vanpools, minivan pools, and buses. There is also cooperation from H-GAC through the management of
the Commute Solutions program for ridematching. Only 2+ carpools (no SOVs) can access HOV lane for a toll. 3+
carpools access the lanes free. Extensive assessment has been done to maintain levels of service, but no evidence yet
of adaptation to improve emissions outcomes.
OzoneIAlert!son.VTNIS in T
In anticipation of possibly exceeding the air quality standards in the early 1990s, Tulsa City/County Health, ODEQ,
INCOG and ODOT organized an Ozone Alert! program. Agencies implement temporary measures to reduce
emissions only on days predicted to have high pollution levels (which are infrequent). VMS are used to alert the
public, and to encourage alternate modes of travel, off-peak travel, or telecommuting. This is a core part of Tulsa's
Clean Air Program. This program was recognized and highlighted by the EPA. See www.ozonealert.com.
l 6 ltSin-mo iorimnmui 
m
The innovation in this system is the consolidation of information from a variety of motorized and non-motorized
modes, presenting users with a unified and consistent interface (www.commutesmart.info) for accessing traffic
conditions, transit schedule and real-time information (where available), transit and bicycle trip planning, instant
carpooling and other rideshare match information. Cooperation between LA, Orange, Riverside, San Bernardino and
Ventura counties.
? Riliaesp rIthi LmA1[
The database for Ridematch.info (also accessible via www.commutesmart.info) in the LA region has more than a
quarter of a million registered commuters. Web access information has been included as a TCM, and many
rideshare activities have been funded through CMAQ. There has been innovation on the technical side with
provision of real-time matching of carpools and online information on seat availability in existing 
vanpools. There
has been cooperation for this program between the counties of LA, Orange, Riverside, San Bernardino 
and Ventura.
442
ATSAC/ATC 
iii LA
RCTSS ii flostoii
Universal fare sNs ein
HOT lane iii Houstoii
So., the "good news" was that federal regulations and funding programs in the US are spurring
some innovation in the use of ITS for air quality purposes. As noted above, we saw examples 
of
experimentation with ITS for ridesharing, public transit management and integration, and traffic
flow improvements. However, the outcomes were strongly influenced by the mutual benefits -
and mutual benefits between what are ultimately self-interested agencies not always reflecting
"common good" of the public. In the five US 
case cities, and in Mexico City, we saw that
mutual benefits from using ITS for air quality were defined in large part by the existing
preferences for major transportation investments. Attempts to use ITS for air quality would
generally be successful if it supported the preferred investments for both transit and roadway.
They would be unsuccessful if it would undermine the ability of agencies to make the case for
their preferred investments. Transportation agencies are taking advantage of the air quality
benefits of ITS where it serves their interests, but it is not making them "greener."
This research also highlighted that possibilities for longer term induced demand from ITS-based
traffic flow improvements are generally ignored (or denied). As a result, we may not only be
seeing some misuse of the CMAQ program funding, but also finding that cities are setting ITS
on a so-called "technological trajectory" that is not particularly supportive of long-term air
quality goals. By getting some overuse of ITS measures aimed at improving traffic flow and
thus facilitating the use of the single occupancy automobile through supply side measures, we
may be undermining or detracting from other efforts to focus ITS deployment on the demand
side of transportation (through both pricing and supporting a broader range of viable alternatives
to the private automobile), which could "shape" ITS technologies to be more compatible with
long-term air quality goals. The use of ITS for support of ridesharing has been relatively
widespread. However, there are indications that the concept of managed lanes - in which
"underused" capacity on HOV lanes 
is utilized by tolling vehicles
399 
to use the lane - may begin
to shift the emphasis away from better using limited capacity by actively promoting ridesharing,
to better managing the use of limited capacity through pricing.
Taking into consideration what the experience in the US has been, in terms of using ITS to
support air quality improvements, as well as what we have learned about the conditions that lead
to lower or higher levels of IIDAPT, we now turn to the policy recommendations.
399 Either single occupancy vehicles or other 
vehicles with less than the required minimum 
for the HOV lane.
443
8.3 RECOMMENDATIONS
An important motivation of the development of the IIDAPT framework was to not only
understand the conditions that lead to IIDAPT, but also to use those insights to develop
recommendations for promoting higher levels of IIDAPT. We present this section in three parts.
First, we provide policy recommendations for improving the general conditions for using ITS for
air quality purposes. Second, we look at whether the current US system seems to be working in
favor of high IIDAPT levels for ITS and air quality, or not. Finally, we review the
recommendations for the case of Mexico City, both in terms of specific technologies, as well as
improving the conditions for IIDAPT.
8.3.1 Improving the Conditions for Using ITS for Air Quality Purposes
We have answered the question of whether we can we develop and test a framework for
Integrated Innovation, Deployment and Adaptation of Public Technologies. We found that the
IIDAPT framework - and in particular, the conditions of problem severity, mutual benefits and
dedicated resources - could be used to predict IIDAPT levels. In addition to their predictive and
explanatory role, we further propose that these conditions also have a prescriptive role,
identifying possible policy interventions that could promote higher levels of IIDAPT. This
points to our final research question:
Can we use this framework to provide policy recommendations for fostering
higher levels of lIDAPT?
We have recognized that this has a normative component. It follows from the proposition that
fostering technological innovations (such as ITS) that achieve multiple policy benefits (such as
air quality improvements, congestion mitigation and improved transit) is desirable. On the other
hand, what we do not suggest is that ITS is necessarily a better air quality measure than other
mobile source emissions reductions measures. We are also not suggesting that air quality goals
should trump mobility goals during the course of ITS deployments. What we do suggest is that
"piggybacking" air quality benefits 
onto ITS deployments undertaken for mobility 
benefits, is a
good idea.
We will propose four policy interventions for increasing IIDAPT levels for ITS and air quality.
We emphasize that these policy interventions are based on a set of five case study cities in the
US. Because these policy inventions are developed for the case of ITS and air quality, we
caution readers against considering these policy interventions more broadly for technologies and
issue areas not related to ITS and air quality (although we are hopeful that the IIDAPT
framework can be useful in other contexts). We focused on three important conditions as
predictors of IIDAPT: (1) problem severity, (2) mutual benefits, and (3) dedicated resources.
We will discuss these as possible areas for policy intervention to increase levels of IIDAPT. We
also identify policy interventions related to the condition of new information in the expectation
(and hope) that by restructuring the manner in which information is generated and used, more
innovation and adaptation can take place in order to maximize air quality benefits of ITS.
444
* Policy Intervention 1: Increase the regulatory stringency for addressing air quality problems
in metropolitan areas, to promote experimentation with ITS for supporting air quality goals.
Even if a problem itself is not at a crisis stage, regulatory pressure can provide the impetus to
innovate. The severity of the problem will be defined according to the ability of the agencies to
meet those regulatory requirements. Moreover, agencies will respond to current and anticipated
problems. Therefore, more stringent legislation that clearly delineates the extent of the problem
and the progress that needs to be made to bring conditions to an "acceptable" level, can lead to
innovation.
* Policy Intervention 2: Provide dedicated resources that create "slack" for innovation, in
order to increase the likelihood of experimentation with ITS for air quality purposes.
Dedicated resources, such as CMAQ, can also be a source of support for innovations that cannot
be funded easily from traditional funding sources. However, to truly be "slack," they must be
adequately protected from general budgetary pressures for other investments. For this reason,
conditions upon their use and requirements for proving eligibility (documenting air quality
benefits), are imperative.
* Policy Intervention 3: Identify areas of mutual benefits - and areas of potential conflicts -
with regards to the interests and agendas of key agencies, in order to foster cooperation on
ITS innovations fbr air quality.
On the surface, mutual benefits between policy objectives of different agencies should be
sufficient to garner support from multiple agencies. But, this does not provide a guarantee that
agencies will be motivated to cooperate. While it is difficult to change the underlying interests
of agencies, understanding these interests can help a policy entrepreneur develop a strategy for
deploying ITS in ways that create real mutual benefits. By looking at various alternative
technologies for mobility and air quality, a policy entrepreneur can determine whether it will
undermine or support the ability of agencies to make the case for their other preferred
investments. Another option is to attempt to change how agencies view the benefits of using ITS
for air quality purposes. However, we found that in our case studies that new information
regarding the air quality benefits or negative impacts of ITS did not tend to significantly shape
actors' perception of the "mutual benefits" to be gained.
* Policy Intervention 4: Restructure assessments and dedicated resources into a more iterative
process of experimentation and evaluation, in order to increase adaptation of ITS
technologies to improve air quality outcomes.
The generation of new information could be better structured to provide for learning and
adaptation. One approach would be to require more rigorous ex post analyses of emissions
benefits, focusing on measurable outcomes. A portion of the dedicated funding categories could
be set aside for analysis of emission and air quality outcomes, and verification of ex ante and ex
post analyses of emissions benefits. This information could then be used to provide additional
guidance on acceptable evaluation protocols for demonstrating eligibility for funding.
445
Verification of actual emissions benefits, and comparison with emissions benefits estimated in
order to show funding eligibility, could be done on an audit-type basis, particularly for those
technologies used most frequently, or those technologies with more uncertain benefits.
8.3.2 Current US Transportation and Air Quality Regulatory Framework
In Chapter 6, we also provided specific recommendations regarding the Congestion Mitigation
and Air Quality (CMAQ) program and the regulatory framework of transportation conformity
requirements in the US. Most of these recommendations, and critiques, related to the lack of
adequate mechanisms for assessment and adaptation of ITS technologies to improve their
performance in terms of air quality. There are still important unresolved assumptions and
uncertainties behind the many of the ITS technologies that are deployed for purported air quality
benefits. For example, perhaps the biggest weakness of the CMAQ program is that the required
ex ante assessment provides very little room for learning - either agencies learning from their
own deployments, or learning from the experiences of other agencies. Furthermore, there are no
incentives or requirements to modify or adapt ITS deployments in the case that they are found to
actually degrade air quality - for example, by increasing traffic speeds to the point where
emission rates (grams/mile) are higher, or by inducing additional demand for travel in single
occupancy vehicles by reducing travel times. While major infrastructure investments must be
reviewed for conformity with air quality goals, there is no equivalent analysis for ITS
deployments. Although the current levels of deployment of ITS, and the use of ITS to actively
manage the transportation system, might not be advanced enough to see major impacts on air
quality, with future improvements to the system, this may change. The debate over the
environmental and air quality impacts of ITS, in the future, could be a repeat of the debate over
the environmental and air quality impacts of highway expansion. Yet, the system is currently
being set up to categorically exclude ITS from the same type of analysis to which, for example, a
highway expansion or major interchange reconstruction, would be subjected. This practice
should be reconsidered as ITS become more pervasive and used more intensively.
8.3.3 Technology and Policy Recommendations for Mexico City
In Chapter 7, we not only tested the IIDAPT framework for the case of Mexico City, but also
used it to develop a set of recommendations for the use of ITS in support of air quality goals in
Mexico City. Based upon the review of ITS technologies with possible air quality benefits in
Chapters 2 and 3, as well as the review of the "best practices" in the use of ITS for air quality in
the US in Chapter 6 (also shown in Table 8-6), we developed several specific technology
recommendations for Mexico City. These technology recommendations took as a starting point
the history of ITS deployment in Mexico City and the successes and challenges that agencies
have had with these technologies. Our recommendations included the following:
* Build upon the experience in using ITS technologies for Metrobus - smart cards, AVL,
bus operation center - to improve other existing government-operated public transit
services. Also, use this service as a test bed for additional ITS-based improvements, such
as conditional signal priority.
446
* Consider the use of ITS for automated enforcement of lane use to enable an "open lane"
busway for future extensions of the Metrobis where barrier-separated busways are
infeasible.
* For informal sector transportation, ITS applications such 
as smart cards and automation
of the revenue collection process can support formalization and restructuring of the
current colectivo operations into higher quality, better regulated and better integrated
services.
* Improvements to traffic flow through ITS 
have the potential to bring near-term emissions
reductions by reducing idling and stop-and-go traffic conditions. Given the difficulties in
providing a well-functioning fully adaptive signal control system, greater benefits may be
gained from dedicating resources toward 
immediate signal optimizations,
synchronization, and coordination, as well as interconnection of a larger share of
signalized intersections back to the traffic control center, rather than spending the
additional resources (monetary and personnel) needed to implement a fully adaptive
system.
* Reliable traveler information, particularly 
for incidents and events (ranging from sports
events and concerts, to construction, to political marches and protests) could reduce the
traffic and air quality impacts of these events. However, any future improvements to
traveler information - particularly information provided via the web - should take a
multi-modal approach which provides alternatives, rather than simply determining the
best route and time to travel via automobile. An initial set of information for a multi-
modal traveler information service should also include information, both static and real-
time information where available, on all transit services, as well as information on
bikeways.
In addition to the technology recommendations above, at the end of Chapter 7, we also identified
several policy suggestions, following the same line of four policy interventions identified in
Section 8.3.1. For example, one suggestion was the creation of a federal funding category for
transportation projects with the potential for emission reductions, analogous to the Congestion
Mitigation and Air Quality (CMAQ) program. However, it would need to be coupled to
quantification and some reasonable level of "proof," preferably through ex post analysis, of the
air quality benefits achieved, perhaps with support of federal level agencies such as INE.
Another option could be to create an institution that had an interest in identifying and promoting
ITS as a tool to better manage the transportation system and its impacts. One option would
include incorporating the functions of the Metropolitan Transportation Commission (Cometravi)
into the Metropolitan Environmental Commission (CAM), which has historically been a much
stronger actor for metropolitan-level coordination. This would combine the mobility objectives
of Cometravi with the environmental and air quality objectives of CAM. However, we also
warned that by continuing to sideline the role of transportation agencies responsible 
for
operations and ITS, it will be difficult to innovate and experiment with ITS in a way that
improves air quality outcomes.
447
8.4 FUTURE RESEARCH
In this section, we describe possible areas for future research, based upon the IIDAPT framework
and the research methodology used in this thesis. First, we discuss possible refinements to the
IIDAPT framework, as applied to ITS and air quality, through additional testing based on the
case study approach. Other possible extensions of the analysis include a macro-level analysis
using surveys of larger sample of metropolitan areas, as well as a micro-level analysis focusing
on a sample of individual technology deployments. We then look beyond the basis for this
analysis, which was the deployment of ITS for air quality objectives in US metropolitan areas
and the case of Mexico City, and consider possible extensions to additional countries and cities,
as well as opening up the analysis to consider the applicability of the IIDAPT framework to other
technologies and issues areas beyond ITS for mobility and air quality.
8.4.1 Refinement of the IIDAPT Framework and Methodology in the Context of ITS
8.4.1.1 Further Validating the IIDAPT Framework
In testing the IIDAPT framework, we found that the conditions of problem severity, mutual
benefits and dedicated resources were the best predictors of IIDAPT levels. However, we also
found interesting interactions between mutual benefits and dedicated resources, as well as
between mutual benefits and cost. We also found that the problem severity, as perceived by the
local agencies, was more subtle than a simple non-attainment or attainment designation for
ambient air quality standards. Therefore, in order to further refine the IIDAPT framework, we
could retest the framework on additional cities, using a modified version of Figure 8-1. Cities
could be chosen according to variations in these three conditions: problem severity, mutual
benefits and dedicated resources, for example, looking at cities with more severe air quality
problems, but lower levels of CMAQ funding. While we tested the framework for cities across
the range of air quality problems - Tulsa and Orlando on the low end, Houston and Los Angeles
on the more severe end - it could be illustrative to look more closely at cities with moderate or
marginal air quality problems, to see if and how they are balancing air quality and mobility
objectives through the use of ITS.
In Section 8.2.2.3, we also pointed to further validation of the IIDAPT framework through a
comparison of predicted and actual IIDAPT levels for more disaggregated measures, focusing on
variations in average IIDAPT level, range, and intensity.
8.4.1.2 Survey of lTS Applications Used for Air Quality
Our research methodology was designed to identify the greatest scope of possible IIDAPT. We
reviewed candidate IIDAPTs from a range of project types: CMAQ projects, TCMs, emission
reduction measures in other program/planning documents (such as an Early Action Compact), or
measures as part of other clean air programs. We could have gained uniformity by using only
CMAQ projects, or only official TCMs, although at the expense of overlooking possible cases of
IIDAPT for ITS and air quality, particularly in cities that were in attainment with air quality
standards.
448
The first step toward the identification of examples of IIDAPT was through the interview process
and site visits. Interviewees were asked to identify technologies with an air quality benefit,
including technologies funded through the Congestion Mitigation and Air Quality (CMAQ)
program and included in air quality management plans (specifically, State Implementation Plans,
or SIPs for non-attainment areas), or other technologies whose air quality impacts had been
evaluated. The second step was to review air quality and transportation plans and programs for
CMAQ-funded ITS, ITS included as a TCM, or ITS otherwise included as part of an air quality
management plan. This research highlighted which agencies undertake these projects, how they
are funded, and how they are included in transportation plans and programs. Building on this
lknaowledge, another area for future research would be to develop targeted questionnaires
regarding the use of ITS technologies for air quality purposes. These questionnaires could be
customized to the type of agency (transportation, air quality, MPO) and level of government
(city, county, state), as well as the air quality status of the metropolitan area (attainment, non-
attainment).
8.4.1.3 Improved quantification of lIDAPT levels
As discussed above, we developed a quantitative scale for IIDAPT levels, in which we gave an
IIDAPT "score" to individual technology deployments. This allowed for additional rigor in the
comparison of IIDAPT levels, between different technologies, and across five metropolitan
areas. The question is, how well did this scale work in practice? We found cooperation and
innovation were easier to categorize, and sufficient information could generally be gleaned from
transportation and air quality planning and programming documents. However, it was
substantially more difficult to gather information on assessments and adaptation. Information on
assessments would generally require access to internal evaluations or evaluations carried out by
consultants that are often not available. Therefore, the potential outcome is that the
unavailability of information on assessments is counted as "no assessment," 
on our scale,
therefore bringing down the IIDAPT score for that particular technology. Adaptation is more
difficult to determine, since it requires an in-depth knowledge of the evolution of each project's
design and implementation, and linking any changes in design or operational characteristics to
assessments and evaluations. However, this occurs for all cities, meaning that it should not
drastically change a city's level of IIDAPT relative to other cities (as shown, for example, in
Figure 8-3). Therefore, while one possible area for future research is to broaden the analysis
through a survey-based approach, another possibility is to complement this with several more in-
depth case studies of individual technology deployments, that would 
focus on innovation,
cooperation, assessment and adaptation. By tracing the history of a few specific ITS
deployments, one could capture the evolution of those technologies, and the conditions that
influenced IIDAPT levels. It could also be used to gain a better understanding of the role of
assessment and adaptation, by following how information on air quality impacts was both
generated and used (or ignored).
8.4.1.4 IIDAPT for ITS and Security and Disaster Response
Finally, another area for further validation of the IIDAPT framework for ITS, would be to
examine the emerging use of ITS applications to also provide benefits for homeland security
449
and/or disaster response. In the post-September 
1 1
th era, pressures for improved security of
transportation facilities, ranging from bridges to buses and subways, have led many promoters of
ITS technologies to highlight their dual uses. Technologies for surveillance, communication,
and response, are critical for detecting and responding to possible security threats to
transportation infrastructure. They can also support disaster response, whether for manmade
(terrorist attacks) or natural (hurricanes, earthquakes) disasters (Pinelis 2006). The use of ITS
for the multiple policy objectives of mobility and homeland security or disaster response, would
be an interesting contrast to the case of ITS for mobility and air quality. Because homeland
security issues might be a more central motivation for the adoption and deployment of ICT
technologies for transportation infrastructure, it could mean that homeland security benefits
would not have to "piggyback" on mobility gains in the same manner as air quality benefits.
8.4.2 Application of IIDAPT Framework to Other Countries/Cities
In Chapter 7, we applied the IIDAPT framework to the case of Mexico City. We found that it
also performed well in this context, and was able to predict IIDAPT levels, although they could
not be quantified in the precisely the same manner as in the US. We also had to measure the
seven conditions for Mexico City somewhat differently, taking into account the institutional
structures and processes for transportation and air quality planning and management in Mexico
City.
Having found that the framework could indeed be applied outside of the US, we suggest two
further avenues of research. First, would be to apply the framework to countries and cities with a
longer history of ITS deployment, principally, Europe and Japan, where ITS programs have been
under development since approximately the same time as in the US. This would enable us to test
the validity of the IIDAPT framework again for the case of ITS and air quality. It could also
point to additional conditions that can lead to higher or lower levels IIDAPT, which could be
used to provide policy recommendations for the US, and vice versa. This would also have a
practical purpose. Given the national differences in ITS technologies that are currently deployed
and under deployment, there could be important lessons to be learned about the air quality
impacts of different ITS technologies, and the ways in which ITS can be deployed to improve air
quality outcomes. In Chapter 2, we identified ITS-supported applications such as congestion
pricing in London, and emissions-based speed control in the Netherlands. The lessons learned
from these deployments, in terms of the conditions that enabled their success, could be brought
back to the US, Mexico and elsewhere.
The second avenue of research would be to apply the IIDAPT framework to additional
megacities in the developing world, and begin to build a base for cross comparison between
cities deploying ITS in ways that either benefit or worsen air quality. For example, there has
been a trend of Latin American cities following the trends set by other Latin American cities, as
witnessed by the wave of Bus Rapid Transit systems have been initiated following the early
example of Curitiba, Brazil, and more recent example of Bogota, Colombia. Furthermore, cities
such as Santiago, Chile, Sdo Paulo and Rio de Janeiro, Brazil, Bogotai, Colombia, and Mexico
City are facing similar challenges in transportation and air quality. Again, there could be cross-
fertilization both in terms of information on the ITS technologies themselves - what works well
450
and what does not work well for air quality and mobility management - as well as the conditions
that are necessary to make this type of innovation possible.
Looking beyond Latin America, there a number of 
megacities in developing countries,
particularly in China and India, that are seeing major transformations in their transportation
systems and mobility trends. Beijing would be a particularly interesting example to follow
closely. As they prepare for the 2008 Olympic Games, they face the dual challenges of
improving mobility in a city where automobile ownership is growing dramatically, and reducing
the extremely high levels of air pollution for which the Chinese megacities are rapidly becoming
notorious. Furthermore, hosting the Olympic Games has often been an important spur to cities to
improve their traffic management capabilities and deploy advanced systems such as 
ITS. As
discussed in Chapter 2, there have already been plans for complex systems of bans on gross
polluting vehicles during high pollution episodes, with real-time provision of additional 
bus
services to compensate drivers not allowed to enter the city because of the vehicle 
ban, as well as
other traffic and transit management strategies to bring pollution levels down 
during these
episodes. Therefore, their success in using ITS for air quality management in real-time 
should
be watched closely.
8.4.3 Application of IIDAPT Framework to Other Public Technologies
Looking beyond ITS and air quality, the issues identified in the IIDAPT 
framework point to
broader questions of how to appropriately manage 
technology and its impacts on society,
particularly technologies deployed by the public sector. Although we chose 
the case of ITS and
air quality in order to test and refine this new framework, it was developed with the intention 
of
being applicable to a wide range of technologies and issues. Therefore, 
we argue that a priority
for future work is to apply and test the validity and usefulness of this framework to other 
public
technologies.
A logical extension would be to consider additional areas in which 
environment impacts are co-
produced through the deployment of new technologies and systems by the 
public sector. For
example, one of the earlier winners of the Innovations in Government 
award from the Ford
Foundation/Harvard University Kennedy School of Government was Arcata, 
California. Their
innovation in wastewater management had the core policy objective of 
managing sewage.
However, through a multi-stage process of sedimentation tanks, oxidation 
ponds, and artificial
marshes, the "non-smelling" marshes have 
also provided benefits as a destination for 
recreation,
hiking, bicycling, and fishing, and serve as an important wildlife 
refuge. Other examples could
be envisioned for solid waste management, and other areas of environmental 
and energy
management.
This thesis examined the implications of the application of information 
and communications
technologies (ICT) to the management of transportation systems. 
However, ICT is increasingly
pervasive in other governmental activities. Another interesting 
example is the case of municipal
electric utilities (MEUs), which through the deployment 
of fiber optic, have also become
broadband providers. Therefore, in addition to better control 
of their own electric utility
network, these MEUs may also be creating additional 
public benefits, such as economic
451
development spillovers to local communities through the provision of broadband service (Osorio
2006). Other examples include geographic information systems, smart cards, radio-frequency
identification devices (RFID), information kiosks, and online transactions for government
services from employment applications to payments of fines and fees. Returning again to ITS,
there have also been efforts to leverage ITS infrastructure, such as camera surveillance and
communications links, to provide not only benefits for transportation management and mobility,
but for crime prevention and response.
While ICT seems to be the emerging technology which is expanding most rapidly in usage by
government agencies, in the future, other emerging technologies, such as biometrics (digital
fingerprinting, iris scans, and face recognition) may be the next cutting edge. Identifying
pathways and creating the conditions for public sector agencies to use technologies in ways that
create additional benefits, or reduce negative impacts, are critical. We suggest that this research
takes an important step in that direction.
Yet, looking beyond the technology component, this work is about the generation of mutual
benefits on several policy dimensions. We considered the case of mobility and air quality- two
policy objectives that are often presented as trade-offs - and identified the possibilities for co-
producing better mobility and air quality by identifying the possible synergies offered by new
technologies. This requires cooperation, and some foresight, by the multiple agencies involved.
It also reveals the challenges of achieving what may be mutual benefits from the viewpoint of the
public, but not necessarily from the viewpoint of the agencies involved. But, it also highlighted
cases where this can and has been done, and the conditions which facilitated these outcomes.
452
8.5 FINAL THOUGHTS
There is no simple answer to the question which provided the initial spark for this research: are
Intelligent Transportation Systems beneficial or detrimental for air quality? The conclusion of
"it depends" might be unsatisfactory to those who wish to have closure on this question. Yet, we
found that this indeterminate conclusion opened up a new line of questioning and reasoning 
-
one that led us to consider the broader, and more fundamental issues of how societies manage
emerging technologies and their impacts. We began this thesis with a discussion of the different
visions that emerged in the mid-1990s regarding ITS, air quality, and sustainable communities.
We emphasized that it is important to keep that broader debate open, and not allow for early
closure on the issue of ITS and environmental impacts. Having presented the cases and the
analysis, we reiterate that appeal to continue the debate. By failing to recognize and study the
ways in which societies shape technological systems, such as ITS, in ways that also support
environmental quality, we will continue to develop environmentally unsustainable systems.
We are interested in the "social shaping" of ITS technologies, and the social shaping of their
impacts on air quality. We looked in great depth at the issue of if, how, why and under what
conditions the public agencies deploying these technologies are actually using ITS for air quality
purposes. There are a number of obstacles to the adoption and use of ITS in more
environmentally sustainable ways. Yet, we also found examples of agencies, in nearly all of our
case studies, applying ITS in ways that would contribute to air quality as well as to mobility.
Our hope is that the efforts to co-produce environmental benefits along with mobility will also
grow, as ITS becomes more pervasive and is used more intensively to manage transportation
systems and provide new mobility options. This thesis provides reasons for optimism that this
vision can be achieved, and, we hope, points to the way forward to do so.
453
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SELECTED WEBSITES
GENERAL
Joint Program Office of the Department of Transportation: www.its.dot.gov
Benefits and costs database: www.itsbenefits.its.dot.gov
ITS Deployment Tracking: www.itsdeployment.its.dot.gov
Environmental Protection Agency: www.epa.gov
Texas Transportation Institute Urban Mobility Report: mobility.tamu.edu/ums
ITS America: www.itsa.org
U.S. CASE STUDY CITIES
Houston
Houston-Galveston Area Council: www.h-gac.com
TranStar: www.houstontranstar.org
Commute Solutions: www.vanpool.org
Texas Department of Transportation: www.dot.state.tx.us
Texas Commission on Environmental Quality: www.tceq.state.tx.us
Galveston-Houston Association for Smog Prevention: www.ghasp.org
Los Angeles
California Air Resources Board: www.arb.ca.gov
California Department of Transportation (Caltrans): www.caltrans.ca.gov
Southern California Association of Governments: www.scag.ca.gov
Los Angeles City Department of Transportation: trafficinfo.lacity.org
Los Angeles County Metropolitan Transportation Authority: www.mta.net
Commute Smart Program: www.commutesmart.info
Boston
Massachusetts Turnpike Authority www.masspike.com
Massachusetts Highway Department: www.mhd.state.ma.us
Executive Office of Transportation: www.eot.state.ma.us
Boston MPO/Central Transportation Planning Staff: www.bostonmpo.org
Massachusetts Bay Transportation Authority: www.mbta.com
471
Orlando
Florida Department of Transportation: www.dot.state.fl.us
Metroplan Orlando: www.metroplanorlando.com
Orlando Orange County Expressway Authority: www.expresswayauthoritv.com
Florida Department of Environmental Protection: www.dep.state.fl.us
Tulsa
Oklahoma Department of Transportation: www.okladot.state.ok.us
Oklahoma Commission on Environmental Quality: www.deg.state.ok.us
Indian Nations Council of Government: www.incog.org
Tulsa Ozone Alert program: www.ozonealert.com
MEXICO CITY
Government of the Federal District: www.df.gob.mx
National Institute of Ecology: www.ine.gob.mx
472
APPENDIX A. EMISSIONS FACTORS BY ACCELERATION RATES
As discussed in Chapter 2, emission factors can also be affected significantly by acceleration
rates. These three graphs show how emissions rates (grams/second), increase with increased
accelerations (between 0 and 10 mph/sec) and decelerations (between 0 and -10 mph/sec). As
can be seen, decelerations have very low emission rates, while "hard" accelerations (particularly
above 3 mph/sec) can augment emissions rates greatly. This effect is particularly true for
acceleration events at higher speeds.
Figure A-1 HC emissions factors by acceleration at 10, 35, 60 mph (from CMEM)
14A
-0- 60 mph
- ?1- 35 mph
-X- 10 mph 
/
/
X--X-X-X--X-X-
* U, I 1t
0.12
0
a)
0.1 *
E
0.06 2
0
C-
CO
- 0.04 E
0
-0.02
-10 -5 0 5 10
acceleration (mph/sec)
473
Figure A-2 CO emissions factors by acceleration at 10, 35, 60 mph (from CMEM)
--0- 60 mph ---
/I I
I I
-,=Ar 4 
-'. vX-X
acceleration (mph/sec)
Figure A-3 NOx emissions factors by acceleration at 10, 35, 60 mph (from CMEM)
0.14
0.12
U
a,
0.08
0.06 "
0.04 
E
0
X
0
0.02 z
0
-10 -5 0 5
acceleration (mph/sec)
Source: Datafrom (Dowling, Ireson et al. 2005, Tables 47_49)400
400 Note that although Tables 47-49 express the emissions factors in grams per hour, the 
actual measure is grams per
474
U,
--0-- 35 mph 6
-- -6
Ca
-X- 10 mph E
54
-3 .2
3",
second (see page 143, Section 16.3).
(1)
U
--X -X -X -X =X "X -X -X ea --A -', I

AMs i !
51
III
r iti
.0
I
*M
APPENDIX C. REVIEW OF CONFORMITY AND CMAQ
C.1 WHAT IS TRANSPORTATION CONFORMITY?
In essence, the CAAA defined transportation conformity as meaning that all transportation plans,
programs and projects funded or approved by the FHWA or FTA must conform to the purpose of
a state's air quality implementation plan to reduce the severity and number of violations of the
federally-mandated air quality standards. Conformity determinations are made jointly by the
FHWA and FTA, and are required for all areas out of attainment (or previously out of
attainment, and in "maintenance") for the NAAQS for ozone, carbon monoxide, fine and coarse
particulate matter, or nitrogen dioxide. When developing the State Implementation Plan (SIP),
metropolitan areas must show that the mobile source emissions are within the allowed "motor
vehicle emissions budget" that will be necessary to bring criteria pollutant concentrations within
the NAAQS by the timeframe established by the CAAA of 1990.
When a deadline is passed for a conformity determination, there is a what is called a "conformity
lapse," meaning the use of federal transportation fimunds is restricted. Until a conformity
determination can be made, federal funding is restricted for all projects except approved TCMs,
safety projects, and projects that have already been authorized by the FHWA/FTA.
The concept of Transportation Control Measures (TCM) was not a new addition. However,
TCMs were given renewed emphasis and special status with the CAAA of 1990. The Federal
Highway Administration gives the following guidance regarding TCMs.
"Under the Transportation Conformity Rule, Transportation Control Measures (TCMs)
are strategies that: (1) are specifically identified and committed to in State
Implementation Plans (SIPs); and (2) are either listed in Section 108 of the Clean Air Act
(CAA), or will reduce transportation-related emissions by reducing vehicle use or
improving traffic flow. Measures which reduce emissions by improving vehicle
technologies, fuels, or maintenance practices are not TCMs.
Section 108 of the CAA provides examples of transportation control measures including,
but not limited to: improved public transit, traffic flow improvements and high-
occupancy vehicle lanes, shared-ride services, bicycle/pedestrian facilities, and flexible
work schedules.
Timely implementation of TCMs criterion must be satisfied before conformity
determinations can be made. Additionally, any changes to TCMs must go through the SIP
process. Consequently, TCMs receive the highest priority for funding under the
Congestion Mitigation and Air Quality Improvement (CMAQ) Program.
Many other measures, similar to the TCMs listed in the CAA, are being used throughout
the country to manage traffic congestion on streets and highways and to reduce vehicle
emissions. Increasingly they are being recognized for their benefits toward improving an
area's livability. These TCM type activities may be eligible for CMAQ funding, whether
477
or not they are in approved SIPs, if they are documented to have emission reduction
benefits in nonattainment and maintenance areas. These activities have been employed
throughout the country for many years and include many travel demand management and
transportation system management applications."
Source: www.fhwa.dot.gov/environment/tcm/index.htm. Last updated October 27, 2003.
Last accessed July 23, 2006.
Because we discuss the linkages between ITS and Transportation Control Measures, we provide
the following tables that highlight the TCMs that can be either ITS, or ITS enhanced in Section
C.2 below. This builds off of the lists of TCMs provided by Eisinger et al, which describes
where possible TCMs are described in the regulations and regulatory guidance (Eisinger and
Niemeier 2004).
478
C.2 ITS-RELATED TRANSPORTATION CONTROL MEASURES
Table C-1 Traffic Flow Improvements, Demand Management and Telecommuting
Role
nf ITS
Identification of TCMs
4~?C#'$~ 4o
I ITS application
0 ITS enabled/enhanced
Traffic signalization j X X x
Freeway/incident management 0 X X x
HOV Facilities O x x x
Traveler information X X
Turn lanes and other intersection
improvements
Bus traffic signal preemption . x
Other traffic flow improvements O x X
Traffic condition/announcement signs 0 x
One-wa streets . - x
Ramp metering x
Motorist aid services O x
Reional rideshares O x x x x x
Vanp ol pr? gms  x x x x x
Park-and-ride lots O x x x x
Ride matchin 0 X X x
Trapo ion manaement associations x x
School car pools O
Public information O x
Reional TDM O X
Emp1oyer ~reduction pr ams 0 x
Guaranteed ride home x
Improved airport access x
Ozone action day programs x
Proximate commut ram X
Flex time X X x
Compressed work week x
Tri reduction ordinances X X
Vehicle use restrictions 
by geographic area 
of O 
x x
peak use periods
No-drive days O x
In-house transrtationcoordinator x
Satellite work centers
479
* Although based on information and communications technologies, we do not
include telecommuting under our definition of ITS, which is the application of
these technologies to the surface transportation systems. Telecommuting is
the substitution ofphysical travel by electronic communication.
Table C-2 Biking/Walking, Transit and Paratransit
Identification of TCMs
Role
of ITS
Designated lanes/routes x X X
Safe enhancements O x X
Transit suport facilities X
Secure bicycle storage X X
Education programs x
Shower/locker facilities X
Widening sidewalks x
Pedestrian ade separation X
Pedestrian control barriers X
Pedestrian malls X
Shuttles, feeders, paratransit, multimodal O0
transfer centers
New capital sstems/vehicles - x
Conventional service upgrades X
Park-and-ride lots O X X
Station cars O
Station and bus stopimprovements O X X
Transit service expansions O X
Express bus X X
Shuttle circulators 0 x
Coordinated fare0 x
Fare reductions 0 X
Guided busways
Exclusive bus and HOV lanes/streets/freeway X
Contra-flow bus and HOV lanes O x
Hea transit rail
Li ht rail transit X
On-site transit pass sales X
Marketin
Operations monitorin nd imprvements X
Transfer improvements o X
Elderl and outh fares O x i
Commuter discounts O X
Simplified fare collection l X
Taxi/group ridi programs X
Dial-a-ride O X
Jitne service 0
Taxi dereulation X
Marketing
4
4C96
0 ITS application
O ITS enabled/enhanced
480
,
Table C-3 Pricing, Parking, Smart Growth and Other Measures
Identification of TCMs
Subsidies and discounts
Charges and fees
Pak cash-out
Transit checks
Congestion pricing _
HOV toll reductions
Tax incentives for transit
Peak hour tolls
Low-occupany vehicle tolls
Gasoline tax
Peak/off-peak transit fares
Elderly and handicapped fares
Employer-subsidized poo pro rams
Parking rate changes/taxes
Vehicle taxes
Preferential parking for HOV
Parking pricing
Zoing euiremen_
Commercial vehicle management
On-street parking restrictions
Residential parking control
Off-street n k restrictions
Parking rate changes
Bus stop relocation
Loading zone restrictions
Sidewalk widening (safety buffer)
Parking duration restrictions
Improved enforcement efforts
Elimination of parking subsidies
Infill Development
Transit Oriented Development
Mixed-use development
Location efficient mortgages (near transit)
Programs to facilitate non-auto travel to
special activity centers
Reduce truck idling
On-street loading restrictions
Off-street loading areas
Peak-hour on-street loading prohibition
Truck route system
Role
of ITS
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
-0
0
O
O
do
x
x
x
x
x
x
x
x
x
x
x
x
x
x
X
x
x
x
x
x
x
x
x
x
x
x
x
x
X
x
x
X
x
x
x
X
x
x
X
X
X
x
x
x
x
x
x
x
* ITS application
O ITS enabled/enhanced I
481
r
~U~~ *I"~
i
481
~
I
r I r r r r
C.3 WHAT IS THE CONGESTION MITIGATION AND AIR QUALITY (CMAQ)
IMPROVEMENT PROGRAM?
ISTEA provided the Congestion Mitigation and Air Quality Improvement Program (CMAQ)
funds to carry out transportation related programs to meet conformity requirements. Therefore,
CMAQ has been called "the funding arm of the Clean Air Act" (Federal Highway
Administration 2002). The CMAQ program created a funding source for transportation projects
designed to "contribute to the attainment [or maintenance] of a national ambient air quality
standard" (23 USC 149).401 The creation of the CMAQ program has been described as "an
innovative and important tool designed to reduce pollution from the transportation sector by
funding innovative projects and programs to reduce emissions" (Government Printing Office
2004). Because CMAQ was intended to fund projects like Transportation Control Measures,
there is substantial overlap, and many of the issues in attempting to determine the role of ITS in
TCMs, apply in a 
similar manner to 
the CMAQ program.
402
Figure C-1 CMAQ Reporting Categories
There are signs of an increased use of ITS in the CMAQ Program. After five years of the
programs operations, in FY1997 "the majority of CMAQ funds went to traffic flow
improvements for the first time in program history, and much of this growth can be attributed to
increased interest in ITS activities" (Federal Highway Administration 2002).
With CMAQ, program goals were established at the federal level, but local areas, through
metropolitan planning organizations (MPOs), would have the responsibility for "project selection
401 TEA-21 expanded the CMAQ 
program to include maintenance 
areas in the funding apportionment.
4
02 
It should be noted that vehicle scrappage programs are explicitly 
excluded from CMAQ funding.
403 Italics indicate those projects included 
for the first time in TEA-2 1.
482
(a) public-private 
partnerships;
4
03
(b) experimental pilot projects;
(c) transit: facilities, vehicles and equipment, operating assistance for new transit
service, etc;
(d) shared-ride: vanpool and carpool programs and parking for shared-ride services, etc;
(e) traffic flow improvements: traffic management and control services, signalization
projects, ITS projects, intersection improvements, and construction or dedication of
HOV lanes, etc;
(f) demand management: trip reduction programs, transportation management plans,
flexible work schedule programs, vehicle restriction programs, etc.;
(g) pedestrian/bicycle: bikeways, storage facilities, promotional activities, etc; and
(h) I/M and other TCMs (not covered by the above categories).
Source: (Federal Highway Administration 1994; Federal Highway Administration 1999)
and implementation" (Transportation Research Board 2002) p 21. Michael Savonis, who was
the CMAQ program manager during its early years and developed the policy and eligibility
criteria for CMAQ referred to it as "The $6 Billion Experiment" in the spending of federal
transportation dollars (Savonis 1995). According to Savonis, CMAQ was emblematic of the
more decentralized, local, intermodal and flexible approach to transportation decision making
that characterized ISTEA.
The term "experiment" used by Savonis in 1995, was echoed in the report of the NAS' review of
the program in 2000. The report notes that the funding enables areas to "experiment with
nontraditional projects," "think seriously about new strategies," and also "encourages
interagency consultation and cooperation" (Transportation Research Board 2002. p8). CMAQ
encouraged innovation by assuming some of the financial and political risk of innovative
strategies, as the funds explicitly prohibits the use of funds to provide new capacity for single
occupancy vehicles, and therefore agencies were not concerned about using up scarce highway
or transit funds for the ITS, demand management, pedestrian and bicycle, shared ride, and other
projects that were funded under CMAQ.
References to the CMAQ program in ITS America's 2002 report on the 10-year vision for ITS,
underscore the importance of the CMAQ funding to the deployment of ITS. According to this
report, one of the challenges for funding ITS deployment is that the ISTEA funding structure is
oriented toward construction of facilities, and that "aside from Congestion Mitigation and Air
Quality Improvement Program (CMAQ), Federal Aid funding programs do not focus on
operations" (ITS America 2002, p 97). In the competition between operations and construction,
where construction almost inevitably had the upper hand, the CMAQ provided one of the few
outlets available for supporting deployment of ITS without having to compete with traditional
infrastructure projects.
While CMAQ funds have played an important role in funding ITS-based operations, there are
also important limits to the ability of the program to effectively support those operations. First,
is the three-year limit on the use of CMAQ funds for specific projects, which covers only the
"start-up" period of operations. Second, 
is the uncertainty about the levels 
of funding that will
be distributed to each state and urban area, if either (1) new areas change attainment designation
and become eligible for additional CMAQ funds, or (2) eligibility requirements are changed to
allow for new areas to access CMAQ funds or allow for new project categories.
483
APPENDIX D. ELEMENTS OF INTERVIEW PROTOCOL
This appendix provides the material used during the site visits to Houston, Los Angeles, Boston,
Orlando, and Tulsa. The potential interviewees were initially contacted either by email or by
telephone to request an interview. They were given both the letter of introduction (see D.1), 
and
the list of questions (see D.3). The question format was for open-ended questions, and was semi-
structured, meaning that not all questions were asked of all participants, but depended upon their
position, experience and knowledge of the issues.
The participants were also given a consent form for participation, as required by the Committee
on the Use of Humans as Experimental Subjects (COUHES) (see D.2). The protocol was
considered exempt after review by COUHES on May 17, 2005. The COUHES Protocol Number
is 0505001221. All interviews were recorded, and written transcripts were made. Because direct
quotes have been used, no identifiers to the participants have been used to protect confidentiality.
D.1 LETTER OF INTRODUCTION AND REQUEST FOR INTERVIEW
Date
Dear
I am contacting you to request an interview as part of a research study looking at air quality issues
and Intelligent Transportation Systems (ITS) deployment in <CITY>. I am a doctoral candidate in
the Technology, Management and Policy Program of the Engineering Systems Division at the
Massachusetts Institute of Technology.
I will be conducting interviews with a range of stakeholders in five US cities as part of my doctoral
dissertation research, which investigates the manner by which air quality regulations have influenced
the deployment of Intelligent Transportation Systems technologies in the US. Your participation is
being requested because of your role in transportation and/or air quality management. As part of
this interview, I will be asking questions related to the general transportation and air quality planning
process in <CITY>, the role of specific federal programs such as the Congestion Management and
Air Quality Program (CMAQ); as well as questions about ITS deployments in <CITY> and their
possible air quality impacts.
The interview should last approximately one hour. Your participation in this interview is voluntary.
If you agree to participate, have any further questions about this research, or have suggestions about
additional individuals/agencies to interview, please contact me at dodder(& mit.edu.
Your participation would be greatly appreciated. Thank you for your help.
484
485
Sincerely,
,SIGNATURE >
Rebecca Dodder
Doctoral Candidate
Technology, Management and Policy Program
Engineering Systems Division
Massachusetts Institute of Technology (M.I.T.)
D.2 CONSENT FORM FOR PARTICIPATION IN STUDY
AUTHORIZATION OF CONSENT FOR PARTICIPATION IN THE STUDY:
Case Studies in Intelligent Transportation Systems and Air Quality
You have been asked to participate in a research study conducted by Rebecca
Dodder from the Technology, Management and Policy Program of the Engineering
Systems Division at the Massachusetts Institute of Technology (M.I.T.). The
purpose of the study is to assess the manner by which air quality regulations
have influenced the deployment of Intelligent Transportation Systems
technologies in US cities. The results of this study will be included in
Rebecca Dodder's Doctoral thesis. You were selected as a possible participant
in this study because of your role in transportation and/or air quality
management and planning. You should read the information below, and ask
questions about anything you do not understand, before deciding whether or
not to participate.
* This interview is voluntary. You have the right 
not to answer any question,
and to stop the interview at any time. We expect that the interview will take
about 1 hour.
* You will not be compensated for this 
interview.
* Unless you give us permission to use 
your name, title, and/or quote you in
any publications that may result from this research, the information you tell
us will be confidential.
* We would like to record this interview on audio 
cassette so that we can use
it for reference while proceeding with this study. We will not record this
interview without your permission. If you do grant permission for this
conversation to be recorded on cassette, you have the right to revoke
recording permission and/or end the interview at any time.
This project will be completed by August 2005. All interview recordings will
be stored in a secure work space until 1 year after that date. The tapes will
then be destroyed.
I understand the procedures described above. My questions have been answered
to my satisfaction, and I agree to participate in this study. I have been
given a copy of this form.
(Please check all that apply)
[] I give permission for this interview to be recorded on audio cassette.
[] I give permission for the following information to be included in
publications resulting from this study:
[] my name [] my title [] direct quotes from this interview
Name of Subject
Signature of Subject Date
Please contact Rebecca Dodder at dodder@mit.edu with any questions or
concerns.
486
D.3 INTERVIEW QUESTIONS
INTERVIEW QUESTIONS:
AIR QUALITY REGULATIONS &
INTELLIGENT TRANSPORTATION SYSTEMS (ITS) DEPLOYMENT
Draft: June 10, 2005
Case Study Sites
Non-Attainment: Los Angeles (extreme), Houston (severe-17), Boston (serious)
Attainment: Orlando, Tulsa
Researcher
Rebecca Dodder, Doctoral Candidate
Technology, Management and Policy Program, Engineering Systems Division,
Massachusetts Institute of Technology (MIT)
PART 1: Background
1.1. Could you describe briefly your position in [organization]? How long have you served in this
role? How long have you worked for [organization]?
1.2. Have you worked for other organizations in [city] that work in the area of transportation or air
quality?
1.3. Could you briefly describe your personal involvement, with your current or with former
organizations, in air quality management in [city]?
1.4. Could you briefly describe your personal involvement, with your current or with former
organizations, in Intelligent Transportation Systems deployment in [city]?
PART 2: Organizational Information
2.1. What is the role of your organization in transportation and/or air quality management in [city]?
2.2. How would you describe the core mission or vision of your current organization?
2.3. How have federal air quality regulations caused your organization to change or modify its
existing operations or mission? How did your organization respond?
2.4. Which other organizations do you work most closely with? What is the purpose of that
interaction? How would you describe the relationship with those organizations?
2.5. How have federal air quality regulations (TIP development, conformity, implementation of
TCMs) changed those relationships?
487
2.6. Which other organizations do you work with regarding ITS? And regarding air quality? Is there
any overlap in those functions (for example, implementing an ITS-based TCM included in a
State Implementation Plan)?
PART 3: Metropolitan Transportation Planning
3.1. What are the major concerns and priorities for transportation planning in [city]?
3.2. What has been the most important impact of the 1990 Clean Air Act Amendments on
transportation planning? How has it shaped those priorities?
3.3. To what extent has become more difficult, in the past 10-15 years to expand or add new highway
and road capacity in [city], if at all? What are the principal reasons for that? What is the relative
importance of: (1) meeting air quality conformity requirements, (2) the financial cost of new
construction, (3) acquiring right-of-ways and related cost, environmental, and social issues?
3.4. Are there any examples of highway projects that were substantially affected by air quality
regulations? What was the outcome?
3.5. To what extent have operational improvements been an important alternative to new highway and
road capacity? What role does ITS play in those operational improvements?
3.6. Has there been increased emphasis on promoting public transit systems? What are the principal
reasons for that? What is the relative importance of (1) congestion relief, (2) meeting air quality
conformity requirements, (3) equity/access concerns, or (4) improving urban form.
3.7. What role has ITS played in improving public transit and increasing ridership?
3.8. To what extent has conformity encouraged investment in transportation strategies and
technologies that improve air quality? To what extent has conformity encouraged investment in
ITS?
PART 4: ITS Deployment
4.1. What have been the main motivating factor for deploying ITS?
4.2. What do you consider to be the most important ITS applications currently used in [city]?
4.3. What are their primary benefits?
4.4. Why were those particular ITS applications chosen? Was it because of their expected benefits,
their political acceptability, technical feasibility, availability of funding, or other factors?
4.5. What role, if any, have federal ITS programs have in promoting ITS deployment in your
metropolitan area? Which programs? Would those ITS deployments have taken place in the
absence of that program?
4.6. What sources of revenue have been important to funding ITS?
488
4.7. Who were the main promoters or champions of those applications? What do you think their main
motivation was?
4.8. Were there any people or organizations that opposed or resisted those applications?
4.9. Are there any ITS technologies which seemed promising, but weren't implemented because of
resistance from particular 
groups?
4.10. Has your organization been involved in the design, evaluation, or implementation of any ITS
applications? Did those ITS applications build off of existing organizational capabilities, or
require change on the part of your or other organizations, or even the creation of new
organizations/agencies?
4.11. What role did your organization have in proposing, planning, evaluating, approving or
implementing those applications?
4.12. Would you say those ITS technologies were a major or minor innovation for your organization?
4.13. Were any changes in your organization or its operations necessary in order to do that? For
example, were new personnel required, reorganization, new procedures, etc.?
4.14. What are the most important expected benefits from ITS? What is the relative importance of
those benefits to your organization? And to the city?
PART 5: ITS' Air Quality Impacts
5.1. Are there any expected environmental benefits in terms of air quality, fuel use, or other possible
environmental benefits from those ITS applications?
5.2. Have those benefits been studied? How were they measured or modeled, and what was the
purpose or context of that study?
5.3. From your perspective, what impact does ITS has on emissions and air quality? Would you say
they are definitely beneficial, neutral, or negative? How much uncertainty do you think there is
regarding these impacts?
5.4. Is reduction of greenhouse gas emissions, specifically, carbon dioxide, a consideration for
transportation planning? What about for ITS?
5.5. Which specific ITS applications do you think could affect local air quality?
5.6. Do you think those applications improve or worsen air quality?
5.7. What to you perceive to be the major uncertainties regarding the air quality impacts of ITS
deployments?
5.8. How important is it that that uncertainty is resolved?
489
5.9. Do you feel that ITS has improved air quality in your city?
5.10. Does your organization or other organizations in your metropolitan area measure or model the
air quality impacts of any ITS applications?
5.11. What is the context for those measurements? For example, are they used to meet any regulatory
requirements?
PART 6: Transportation Control Measures (TCM)
6.1. How familiar are you with the Transportation Control Measures (TCM) used in [city]?
6.2. To the best of your knowledge, what TCMs have been or are planned to be implemented in
[city]?
6.3. How important are TCMs to meeting mobile source emissions budgets or reducing the number of
days above the NAAQS?
6.4. How are emissions changes from TCMs measured/modeled? Who is responsible for doing that?
6.5. How many of those are ITS, or enabled or supported by ITS? How important are they compared
to other TCMs?
6.6. Would these TCMs have been implemented otherwise, if not for purposes of meeting emissions
reduction goals or conformity requirements?
6.7. Are all TCMs are included in the SIP? If some were not included, why is that?
6.8. Have any TCMs been particularly successful or unsuccessful? What were the main reasons these
particular TCMs were chosen? For example, because of their emission reduction potential,
political popularity/acceptability, technical feasibility, availability of funding, or other factors?
PART 7: Congestion Management and Air Quality Program (CMAQ)
7.1. Are you familiar with the Congestion Management and Air Quality Program (CMAQ)?
7.2. What role have CMAQ funds play in supporting ITS deployments, including traffic signal
coordination, capital expenditures on Traffic Management Centers, Transportation Demand
Management measures with an ITS component, etc?
7.3. Are there some specific ITS projects that you would like to discuss that were funded by CMAQ?
Which agency was responsible for implementing those projects?
7.4. Were those projects designed primarily to improve congestion or air quality?
7.5. What would have happened to those projects in the absence of CMAQ funding?
490
7.6. Would you consider the primary goal of CMAQ to be congestion management or air quality?
7.7. How important would you consider the CMAQ program to overall air quality management in
[city]? And to congestion management?
491
APPENDIX E. IIDAPT CALCULATIONS FOR CASE STUDY CITIES
E.1 QUALITATIVE AND NUMERICAL SCALES FOR IIDAPT
Table E-1 Qualitative Scale for IIDAPT
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High More than one agency High level of novelty Rigorous ex-ante and Modification to
actively engaged in the in the technology or its ex-post evaluation, technology/system in
design, deployment adaptation to multiple response to information
and/or operation. policy goals. from assessments to
improve performance
for multiple policy
objectives.
Low More than one agency Some novelty in the Some ex-ante or ex- 
Modification to
indirectly involved or technology or its post evaluation only. technology/system in
playing a supporting adaptation to multiple response to information
role in the design, policy goals. from assessments to
deployment and/or improve performance
operation. for primary policy
objectives only.
None No cooperation. No innovation. No evaluation. 
No adaptation.
Table E-2 Numerical Scale for IIDAPT
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
22 
1 1
iLow 1 1 0.5 . 0.5
None 0 0 0 0
Table E-3 Scaling up to the Metropolitan Area
ITS application areas Representative DAPT scale
technology
Arterial traffic flow improvements project #
Freeway management strategies project #
Freeway traveler information ... ...
Transit information ......
Multi-modal information ... ...
Transit operational improvements ... ...
Transit fare payment systems ..
Rideshare support ......
Demand management/pricing ......
492
Other applications ...
Average level (0-6) = Average across
application areas
Range of IIDAPT (0-10) = Number of
application areas
493
E.2 HOUSTON, TEXAS
Table E-4 Arterial traffic flow improvements:
Regional Computerized Traffic Signal System (RCTSS)
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2
Low 0.5........ ......... ... .
None _0
Air quality component: Funded through CMAQ and included as TCM
Requires high levels of cooperation from City of Houston and Metro in
upgrading signal hardware, providing interconnection to TranStar
facilities, and optimizing signals. Includes simultaneous incorporation of
transit signal priority by METRO.
Assessment focuses on emission reductions from traffic flow improvements,
and not from transit priority. Assessment appears to be primarily ex-ante
for reporting and funding eligibility purposes, in particular, for CMAQ
funding. No discernable adaptation in response to new information for
improvement of air quality outcomes.
Table E-5 Freeway management strategies: Computerized Transportation Management
Systems (CTMS)
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High - 2 1 .
Low I
None 0
Air quality component: Funded through CMAQ and included as TCM
Primarily implemented by TxDOT. Operates from TranStar facilities.
Cooperation with H-GAC in determining CMAQ eligibility and for
incorporation as a TCM. Innovative in the high levels of integration
surveillance, communications and control.
High levels of assessment of freeway speeds, travel times, and accidents.
Continuous reporting of emission reductions in the TranStar annual report
of overall emission reductions (although very rough estimates) and
calculation of individual project benefits for CMAQ using MoSER
guidebook.
No discernable adaptation for improvement of air quality outcomes.
Table E-6 Freeway traveler information: TranStar traffic map
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
......... H i..g.h .... 2 2 . . ..
Low
L o w ...... ..................... ........................................ ....... ............. .................... ........................... i....... ........... ............ ............... ................ ....... i .......................... ........... ............ ......
None 0 0
494
Air quality component: Not funded through CMAQ or included as a TCM.
Highly innovative in terms of technology, and high levels of cooperation via
TranStar for integrating various sources of information on 
travel times,
incidents, construction, etc.
Not considered IIDAPT because there is no explicit air quality objective in
its deployment.
Table E-7 Transit information: Metro Trip Planner
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
SHi-h 2
Low
L___ -----None 0 0 0
Air quality component: Not funded through CMAQ or included as a TCM
Not considered IIDAPT because there is no explicit air quality objective in
its deployment.
Transit operational improvements: Integrated Vehicle Operation and
Management System (IVOMS)
Core Activities Supporting Activities
. Cooperation Innovation Assessment Adaptation
High 2
Low 1
L- ow --........ .i .................... .... ..... .. ................. [ ................... ................. .......... .......... .......
None 0_ 1 0
Air quality component: Not funded through CMAQ nor included as a TCM
Not considered IIDAPT because there is no explicit air quality objective in
its deployment.
Table E-9 Rideshare support: Online rideshare matching and mini-pool availability
Core Activities Supporting Activities
SCooperation Innovation Assessment Adaptation
.Hi h [ 2 ] 2 i
? .......... ... .. ................ ..i ....... .... ..... .... ... ... .... ......... ..... .................... .................. ..
Low l- -  o ,,e --' ............ ..... ..... ..... ....... t .... ..... ..... ........ ....................... ............................. ..... ..............
None 0 0
Air quality component: regional vanpool program included as a TCM
Highly innovative in providing information regarding the current
availability of mini-vanpools and wait lists.
Cooperation between H-GAC which manages the program, METRO which
provides the vans and training and manages the HOV lanes, and
transportation management organizations.
Table E-10 Demand management/pricing: QuickRide HOT lanes for the Northwest
Freeway (US-290) and Katy Freeway (IH-10)
495
Table E-8
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2 1
Low .0.5
None
Air quality component: extension ofHO V/ridesharing program.
Program initiated jointly by METRO and TxDOT, and includes involvement
by Harris County, through the Harris County Toll Road Authority's
electronic toll collection systems (EZTag). Also supported through H-
GAC's commute solutions program. Innovative in the use of managed
lanes for carpools (3+), vanpool, buses, and value pricing for (2+)
carpools.
External and internal assessments, and adaptation to those assessments
through changing policies regarding lane usage for maintaining a good
"C" level of service. However, no evidence of adaptation in response to
information regarding emission impacts.
Neither directly included as a TCM nor funded through CMAQ. However, it
is included here because of its supporting role as a ridesharing strategy.
We would not have included it if toll allowed for single occupancy vehicles.
Table E-11 Other applications: Online Reporting of Smoking Vehicles
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
None 0 0
Air quality component: included as a Voluntary Mobile Emission Reduction
Program (VMEP) measure.
Managed by the Texas Commission on Environmental Quality, marketing
and advertising by H-GAC.
Little assessment undertaken. Because of the entirely voluntary nature of
the program, the only information on how many vehicles are repaired is the
self-reported information from vehicle owners.
However, not included as IIDAPT because there is no mobility benefit.
Table E-12 Scaling up to the Houston Metropolitan Area
IIDAPT
ITS application areas 
Representative technology 
scale
Arterial traffic flow improvements RCTSS 4.5
Freeway management strategies CTMS 4
Freeway traveler information TranStar 
-
Transit information METRO Trip planner
Multi-modal information - -
Transit operational improvements IVOMS -
Transit fare payment systems
RideShare matching/ 
4
Rideshare support mini-pool waiting list
496
Table E-13 Measures of IIDAPT for Houston
IIDAPT measures
Average level 4.5/6
Range 4/10
Intensity (share of 2005-8 CMAQ projects) 37/84 44%
Intensity (share of 2005-8 CMAQ funding) 82 M / 306 M 27%
Intensity (share of 1994-9 TCM projects) 90/103 87%
Intensity (share of 1994-9 TCM funding) 78 M / 96 M 81%
Intensity (share of post-2000 TCM projects) 40/139 29%
Intensity (share of post-2000 TCM funding) 72 M /679 M 11%
497
Demand management/pricing QuickRide HOT lanes 5.5
Other applications Online Smoking Vehicle
Other applications Reoig______
Reporting
Average level (0-6) 4.5
Range of IIDAPT (0-10) 4
E.3 LOS ANGELES, CALIFORNIA
Table E-15
Table E-14 Arterial Traffic Flow Improvements: ATSAC/ATCS
Core Activities Supporting Activities
Cooperation Innovation Assessment i Adaptation
High 2 2 i 1
Low 0.5
N o n e ------. ---............. ................. -.... .. .. .. ...... ..... ------........... ...... .. -------------...........
None
Air quality component: CMAQfunding.
Developed and implemented by the City of Los Angeles DOT. Also
implemented by Pasadena and other cities in Los Angeles County.
Continual upgrading and adaptation of the system. ATCS is real-time
adaptive to traffic conditions. Assessed the possibility of adaptation
according to real-time CO levels, but project never implemented.
Freeway management strategies: ATMS/ATIS for Ports, closed circuit TV and
changeable message signs
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Hgh
Low I 1 0.5 1
None 0
Air quality component: CMAQ funded.
Cooperation between Ports ofLong Beach and Los Angeles, and Caltrans.
Includes addition of CCTV and changeable message signs to improve
traffic operations on several interstates.
Table E-16 Transit Information: Transit trip planning tools
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
.High 2
Low 1
...... g -.... ..... .......... i............ ......... . ................................................ .......... . ...... .... ............ .......................... ......... ..... ............................ ........................
L ow.. Ia a .. .............................................................. .. ........ .................. ........................... .. ..................... ................ ... ...... .... .......................   .... ........... ......... .
None 0 0
Air quality component: several TMCs under the category of Information-
based Strategies.
Variety of projects by Long Beach Public Transportation Co., City of Los
Angeles, Foothill Transit, and SCAG. Experimentation with several
approaches, including kiosks, online information, use of A VL, employer
based trip planning tools, etc.
Table E-17 Multi-modal Information: CommuteSmart.info
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
498
High 2 2
Low ............
None 0 0
Air quality component: supporting component for transit, carpool, vanpool,
and bicycle strategies.
Cooperation consists of a partnership between five counties. Los Angeles,
Orange, Riverside, San Bernardino, and Ventura.
Table E-18 Transit operational improvements: AVL and communication systems
Core Activities Supporting Activities
Cooperation i Innovation Assessment 1 Adaptation
Low 1 1 0.5
None 0
Air quality component: CMAQfunded, not typically included as TCMs. One
project for included as TCM under Information-based Strategies, listing
SCAG as the principal agency.
Assessment as part of CMAQ eligibility.
Table E-19 Transit fare payment systems: Universal Fare System Regional Project
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
2 
2
Low 0.5
None 0
Air quality component: CMAQ funded
Project is primarily lead through Metro but includes cooperation through
several transit agencies in Los Angeles County, including and City of Los
Angeles, Santa Monica Municipal Bus, Antelope Valley Transit Authority,
Gardena, Culver City Muni Bus Lines, Foothill Transit, Norwalk.
Incorporates smart card technology.
Assessment as part of CMAQ eligibility.
Table E-20 Rideshare support: Ridematch.info Database
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
SHigh .. 2 .2
Low 0.5
None 0
Air quality component: Ridesharing activities are CMAQ funded. web
access information included as a TCM
Cooperation on the ridematching databases for five counties. CMAQ
funding used for ridesharing in Los Angeles, Riverside, San Bernardino,
and Ventura counties as well. Includes more than a quarter of a million
registered commuters.
499
Innovative in the ability to provide real-time matches to carpools and
online information on availability of existing vanpools.
Table E-21 Demand management/pricing: SR 91 HOT lane (Orange County)
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 1
Low 1
None 0_. .......... 0
Air quality component: Ridesharing measure, toll discounts for HOV 3+.
Innovative use ofpricing for congestion management.
Cooperation with OCTA and Caltrans.
Air quality assessment undertaken for Caltrans by researchers from Cal
Poly State University. Adaptation for refining dynamic pricing concept, but
not for maximizing emissions reductions.
Table E-22 Scaling up to the Los Angeles Metropolitan Area
ITS application areas Representative technology IIDAPT scale
Arterial traffic flow improvements ATSAC/ATCS 5.5
Freeway management strategies ATMS/ATIS for Ports 2.5
Freeway traveler information 
- -
Transit information Transit trip planning tools 3
Multi-modal information CommuteSmart.info 4
Transit operational improvements AVUIcomm. systems 2.5
Transit fare payment systems Universal Fare Payment 4.5
Rideshare support Ridematch.info 4.5
Demand management/pricing SR 91 4
Other applications
Average level (0-6) 3.8
Range of IIDAPT (0-10) 8
Table E-23 Measures of IIDAPT for Los Angeles
IIDAPT measures
Average level 3.9
Range 8
Intensity (share of 2004-9 CMAQ projects) 49/214 23%
Intensity (share of 2004-9 CMAQ funding) 184 M / 1,154 M 16%
Intensity (share of post-2002 TCM projects) 34/268 13%
TCMs include projects that have a project end date of 2002 or after. Project
start dates may go back to 1992. Projects included in the Final 2003 Air Quality
Management Plan for the SCAG region.
500
CMAQ projects from the 2004 Regional Transportation Improvement Program.
Included projects funded from FY 2004/5 to FY 2009/10, plus some carryover
CMAQ fundingfrom prior years.
501
E.4 BOSTON, MASSACHUSETTS
Table E-24 Arterial traffic flow improvements: City of Boston TMC
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 1 
1 0.5
.... ........... -------. ........... ... ... ..
None __ 0
Cooperation between Boston MPO and BTD for including project within
the CMAQ funding category and analysis of air quality benefits. Includes
benefits from improved traffic flow improvements and transit bus
performance (through optimizing signal priority system).
CMAQfunding (FY 2006-8)for expanded operations.
Table E-25 Freeway Management Strategies: Traffic Operations Center for Incident
Management
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 1
Low1
None __ 0
Cooperation between MHD, MassPike, and CPTS for inclusion in CMAQ
funding.
Detailed modeling in the 1994 IVHS Strategic Plan for incident
management.
CMAQfunding (1997).
Table E-26 Multi-modal information: SmarTraveler
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 0.5
o w ................................. ........................... .......... .... .............. ..................... ...........ti ...................... ....... .: ..... ......................i..... ........... .......... ............. ............
....- .... .............. .. ...................... ..... i....................... ......................... i ......... ..................... .................. ............... ... ....... .................
None 0 0 0
Reviewed because of early assessments of its air quality benefits. However,
assessment cannot be commented upon because the full study could not be
accessed.
Not included as IIDAPT because there was no explicit connection to air
quality benefits through its funding or implementation.
Table E-27 Transit Operational Improvements: Transit Signal Priority
(e.g., Silver Line and Route 39 buses)
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
502
High 2
Low 1 0.5 0.5
None .
Cooperation between City of Boston Transportation Department and
MBTA. Also indirect support from the EOT and MHD. Cooperation with
MassPort for priority for certain routes.
Both MBTA and BTD will monitor and review frequency of granting
priority and impacts on crossing traffic. Changes to and expansion of
program will depend on these results. Not clear whether review will include
review of actual emissions impacts.
Table E-28 Transit Fare Payment Systems: CharlieTicket and CharlieCard
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 1
None 0 0 0
Not implemented as part of a TCM 
nor funded through CMAQ.
No apparent assessment of air quality impacts of electronic fare collection.
Table E-29 Rideshare support: RideShare online matching
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 1 1
None 0 0
MassRIDES (earlier known as Masspool Inc.) included as a TCM with the
1979 SIP. Considered an ongoing TCM
Table E-30 Scaling up to the Boston Metropolitan Area
Re resentative
ITS application areas IIDAPT scale
technologys
Arterial traffic flow improvements City of Boston 2.5
TMC
Freeway management strategies Traffic Openterations 3
Freeway traveler information SmarTraveler -
Transit information 
-
Multi-modal information -
Transit operational improvements Signal priority 4
CharlieTicket /
Transit fare payment systems CharlieCard-
Online rideshare
Rideshare support Online rideshare 2
matching
Demand management/pricing
503
Other applications - -
Average level (0-6) 2.9
Range of IIDAPT (0-10) 4
Table E-31 Measures of IIDAPT for Boston
IIDAPT measures
Aggregate level 2.9
Range 4
Intensity (share of 2006-8 CMAQ projects) 1/13 8%
Intensity (share of 2006-8 CMAQ funding) 1.15 M / 47.17 M 2%
Intensity (share of 1996-8 CMAQ projects) 3/18 17%
Intensity (share of TCM projects) 2/10 20%
The two ITS-based TCM projects include the Silver Line Bus Rapid Transit
Service and Signal Prioritization. The Urban Ring commitment also anticipates
the use of ITS for BRT-type services, however, the actual SIP commitment is to
complete an Environmental Impact Report, meaning that its implementation is
not certain.
504
E.5 ORLANDO, FLORIDA
Table E-32 Freeway Management Strategies: Electronic Toll Collection (E-Pass)
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
.High 1
Low 1
None 0 0
Good air quality assessment, but no explicit air quality objectives in the
deployment or operation of the system. No adaptation to the information
fiom the air quality evaluation. Therefore, not included as IIDAPT.
Table E-33 Other applications: TravTek in-vehicle navigation field operation test
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2 1
Good air quality assessment, but no explicit air quality objectives in the
deployment or operation of the system. No adaptation to the information
friom the air quality evaluation. Therefore, not included as IIDAPT
Table E-34 Scaling up to the Orlando Metropolitan Area
ITS application areas Representativ IIDAPT scale
technology
Arterial traffic flow improvements - -
Freeway management strategies E-Pass -
Freeway traveler information - -
Transit information - -
Multi-modal information - -
Transit operational improvements - -
Transit fare payment systems - -
Rideshare support - -
Demand management/pricing - -
Other applications TravTek -
Average level (0-6) 0
Range of IIDAPT (0-10) 0
Table E-35 Measures of IIDAPT for Orlando
IIDAPT measures
Average level 0
Range 0
Intensity 0 0
505
E.6 TULSA, OKLAHOMA
Table E-36 EAC Traffic Signalization Improvements
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 1 1 0.5
None 0
Cooperation between City of Tulsa, signal installation and modification,
and INCOG, calculation of air quality benefits through consultant and
incorporation in EAC.
Some novelty in using traffic signalization in an EAC to avoid a non-
attainment designation. Earlier focus has been on all voluntary actions and
episodic controls.
Table E-37 Tulsa RideShare Online Matching
Core Activities Supporting Activities
Cooperation I Innovation Assessment Adaptation
None 0 0
Cooperation through INCOG.
Innovation in using on-line matching software for carpooling.
Part of Tulsa Clean Air program, not included as a TCM
Table E-38 Ozone Alert! on VMS
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
Low 0.5....... .
None 0
Cooperation includes: ODEQ, ODOT, INCOG, and the Tulsa City/County
Health Department.
Innovative in that they were first to use VMS as a notification system for
high ozone alert days, and to promote alternative commuting and other
measures as an episodic measure.
According to the EPA, an assessment protocol was developed.
Part of Tulsa Clean Air program, but not included as a TCM
Table E-39 Scaling up to the Tulsa Metropolitan Area
ITS application areas Representative IIDAPT scale
technology 
2.5
Arterial traffic flow improvements EAC signalization 2.5
506
Freeway management strategies - -
Freeway traveler information - -
Transit information - -
Multi-modal information - -
Transit operational improvements - -
Transit fare payment systems - -
Rideshare support Online Match 2
Demand management/pricing - -
Other applications Ozone Alert! 4.5
Average level (0-6) 3
Range of IIDAPT (0-10) 3
Table E-40 Measures of IIDAPT for Tulsa
IIDAPT measures
Average level 3
Range 3
Intensity (number of projects in EAC) 12/46 26%
507
E.7 FIVE-CITY COMPARISON
Table E-41 Five-city comparison of IIDAPT average levels and range
ITS application areas Houston Los Angeles Boston Orlando Tulsa
Arterial traffic flow 4.5 5.5 2.5 2.5
improvements
Freeway management 4 2.5 3
strategies
Freeway traveler information 
- - -
- -
Transit information -3 - -
-
Multi-modal information 
- 4 -
- -
Transit operational 2.5 4
improvements
Transit fare payment systems 
- 4.5 -
- -
Rideshare support 4 4.5 2 - 2
Demand management/pricing 5.5 
4 - -
-
Other applications - - - - 4.5
Average level (0-6) 4.5 3.8 2.9 0 3
Range (0-10) 4 8 4 0 3
508
E.8 MEXICO CITY
Table E-42 Freeway management strategies:
Apoyo Vial motorist assistance
Core Activities Supporting Activities
Cooperation Innovation Assessment i Adaptation
Low
None 0 0 0 0
No technological innovation, or innovation to improve air quality
outcomes.
Program managed by Setravi. There does not appear to be any significant
cooperation from other agencies such as the Secretary ofPublic Security.
Therefore, this is not considered as IIDAPT.
Table E-43 Transit operational improvements:
Automated Vehicle Location (GPS) for Metrobus
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2
Low 0.5
None 0
Cooperation between the Secretary of Environment as project lead,
Secretary of Transportation and Roadways (Setravi), government-owned
bus operators (RTP), and former microbus/colectivo operators and owners.
Innovative in the first use of GPS for control of bus fleets in Mexico City.
Allows for better control of headways between buses.
No specific assessment of the contribution of A VL to emissions reductions.
However, we assume that A VL will be used to guarantee the levels of
service and frequency of service that use to model usage and overall air
quality benefits from the project.
A VL still very new, therefore no opportunity yet to adapt system to improve
air quality outcomes. Could be used to improve emissions profiles by
reducing aggressiveness of accelerations coming out ofstations.
Table E-44 Transit fare payment systems: Smart Card for Metrobus
Core Activities Supporting Activities
Cooperation Innovation Assessment Adaptation
High 2 2
509
LLow 0.5
None -------....
0
Cooperation between the Secretary of 
Environment as project lead,
Secretary of Transportation and Roadways (Setravi), government-owned
bus operators (RTP), and former microbus/colectivo operators and owners
Innovative in the use of contactless and rechargeable smart card
technology for pre-payment in station. Sales and recharging of smart card
is automated through vending/recharging machines.
No specific assessment of the contribution of smart card to emissions
reductions. However, consolidation of fare collection is considered integral
to the ability to involve formerly private bus/microbus operators, by
removing the cash transaction from the vehicle itself
Adaptation of the Smart Card system - primarily, installation of additional
card vending/recharging machines - based only on levels of service and
queuing to enter station. Difficult to adapt system to improve air quality
outcomes.
Table E-45 Scaling up to the Mexico City Metropolitan Area
IIDAPT
ITS application areas 
Representative technology 
scale
Arterial traffic flow improvements - N/A
Freeway management strategies Apoyo Vial motorist assistance N/A
Freeway traveler information N/A
Transit information - N/A
Multi-modal information - N/A
Transit operational improvements AVL for Metrobus 4.5
Transit fare payment systems Smart Cards for Metrobus 4.5
Rideshare support - N/A
Demand management/pricing - N/A
Other applications - N/A
Average level (0-6) 4.5
Range of IIDAPT (0-10) 2
510