Transport Infrastructure Slot Allocation
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Transport Infrastructure Slot Allocation Kaspar Koolstra Transport Infrastructure Slot Allocation Proefschrift ter verkrijging van de graad van doctor aan de Technische Universiteit Delft, op gezag van de Rector Magnificus prof. dr. ir. J.T. Fokkema voorzitter van het College voor Promoties, in het openbaar te verdedigen op donderdag 30 juni 2005 om 15:30 uur door Kaspar KOOLSTRA doctorandus in de Technische Planologie geboren te Amsterdam Dit proefschrift is goedgekeurd door de promotor: Prof. dr. ir. P.H.L. Bovy Samenstelling promotiecommissie: Rector Magnificus voorzitter Prof. dr. ir. P.H.L. Bovy Technische Universiteit Delft, promotor Prof. Dr.-Ing. I.A. Hansen Technische Universiteit Delft Prof. dr. ir. R.E.C.M van der Heijden Radboud Universiteit Nijmegen Prof. mr. dr. ir. S.C. Santema Technische Universiteit Delft Prof. dr. W.E. Walker Technische Universiteit Delft Prof. N.H.M. Wilson Massachusetts Institute of Technology Dr. ir. R. van Nes Technische Universiteit Delft TRAIL Thesis Series no. T2005/6, The Netherlands TRAIL Research School TRAIL Research School PO Box 5017 NL-2600 GA Delft The Netherlands Telephone: +31 15 27 86046 Telefax: +31 15 27 84333 E-mail: [email protected] ISBN: 90-5584-066-1 Copyright © 2005 by Kaspar Koolstra. All rights reserved. No part of the material protected by this copyright notice may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying, recording or by any information storage and retrieval system, without written permission from the author. PREFACE For the last 15 years, the design, analysis, and evaluation of dynamic traffic manage- ment have been major research topics in transportation science. Many traffic models have been developed, including dynamic traffic assignment models, queuing models, timetable optimization models, etc. New traffic management instruments have been introduced, mainly in the road sector, for example ramp metering and dynamic speed limits. The majority of research, however, is sector specific, and relates to operational traffic management only. Research on capacity management with respect to planned traffic is largely limited to timetable optimization. This thesis focuses on transport infrastructure slot allocation, which is a specific type of infrastructure capacity management at the planning level. More specifically, it focuses on the highest level of slot allocation, i.e. selection slot allocation. The research project has been conducted at the Faculty of Civil Engineering and Geosciences, Transportation Planning and Traffic Engineering Section, of Delft University of Technology. The project was part of the interfaculty research center Design and Management of Infra- structures, and has been embedded in the dynamic traffic management research program of TRAIL Research School for Transport, Infrastructure and Logistics. The empirical basis for this thesis has been provided by research on the current state-of- practice of slot allocation, combined with a number of interviews with a number of experts from the field. I would like to thank Prof. Ernst ten Heuvelhof and Helen Stout for our fruitful cooperation in our joint research project studying the current state-of- practice of infrastructure capacity management in the Netherlands. I would also like to express my gratitude to all experts who were willing to provide me with information about their current experience with slot allocation and the desired characteristics of slot allocation systems. During my research on this subject in the past years I learned a lot of my colleagues at the Department of Transport and Planning and at the Design and Management of Infra- structures interfaculty research center. I would like to thank all these colleagues for helping me with my work by providing feedback, inspiring me with discussions, etc. Specifically, I would like to thank my thesis supervisor Piet Bovy for offering the op- portunity to join the Department of Transport and Planning and for his encouragement and inspiration throughout these years. Furthermore, I would like to express my special gratitude to my daily supervisors Theo Schoemaker, who helped me in setting up my research project in the first years until his retirement, and Rob van Nes, who helped me with writing my Ph.D. thesis in the final stage. Writing this thesis was not easy, and it has taken a lot more time than I expected to write down my ideas and findings in a consistent way. Together with Piet, Rob has been a great help in shaping this thesis. v vi Transport Infrastructure Slot Allocation Finally, I would like to express my appreciation of the warm support of my relatives and friends, and especially of my dear wife Petra. And even little Jelinka has done her part in the last months by quietly playing when daddy was busy writing, and of course by distracting daddy when it was time for a break. Together you have helped me a lot with successfully finishing this thesis. CONTENTS 1 Introduction 1 1.1 Background 1 1.1.1 Transport infrastructure capacity scarcity 2 1.1.2 Slot allocation 3 1.1.3 Scientific and societal relevance of slot allocation research 4 1.2 Focus and perspective 6 1.2.1 Focus on selection slot allocation at single bottlenecks 6 1.2.2 Normative, rational, and substantive perspective 7 1.3 Research setup and thesis contents 9 1.3.1 Research objective and research approach 9 1.3.2 Main contributions of this thesis 10 1.3.3 Structure of this thesis 11 2 Conceptual framework 13 2.1 The transportation system 14 2.1.1 Transportation system model 14 2.1.2 Layers and markets 15 2.1.3 Roles within the transport and traffic services layers 19 2.1.4 Conceptual model of slot allocation 22 2.2 Capacity 23 2.2.1 Definition of capacity 24 2.2.2 Determinants of capacity 28 2.2.3 Capacity and quality-of-service 29 2.3 Capacity management 33 2.4 Slot allocation 35 2.4.1 Objectives of slot allocation 35 2.4.2 Definition of slot allocation 36 2.4.3 Specification of slot borders 37 2.4.4 Levels of slot allocation 40 2.5 Transport service planning 43 2.5.1 Types of transport services 43 2.5.2 Specification of transport service planning levels 44 2.5.3 Transport service planning and slot allocation levels 48 2.6 Synopsis 49 3 Current practice with slot allocation 51 3.1 Current and potential applications of slot allocation 52 3.1.1 Rail traffic 52 3.1.2 Air traffic 54 3.1.3 Road traffic 57 3.1.4 Navigation 61 vii viii Transport Infrastructure Slot Allocation 3.2 Current slot allocation regimes in Europe 63 3.2.1 Rail traffic slot allocation 63 3.2.2 Air traffic slot allocation regime 69 3.3 Main issues 72 3.3.1 Stability and flexibility 72 3.3.2 Competition and diversity 73 3.3.3 Heterogeneity 76 3.4 Conclusions 78 4 Selection slot allocation system design 83 4.1 Demand for selection slots 84 4.1.1 Desired validity of selection slots 84 4.1.2 Slot holdership 86 4.2 Slot allocation dynamics 88 4.2.1 Static and dynamic slot allocation 88 4.2.2 Proposal for selection slot allocation dynamics 90 4.3 Specification of selection slots 92 4.3.1 Specification of slot borders 92 4.3.2 Acceptability criteria 95 4.4 Conclusions 98 5 Specification of traffic markets 101 5.1 Congestion theory 102 5.1.1 Traffic supply and demand curves 102 5.1.2 System optimum and user equilibrium 104 5.2 Main characteristics of traffic markets at the selection level 106 5.2.1 Specification of traffic selection markets 106 5.2.2 Shapes of traffic supply and demand curves 107 5.2.3 Levels of infrastructure capacity scarcity 108 5.3 Infrastructure tolls 111 5.3.1 Congestion tolls 111 5.3.2 Scarcity tolls 112 5.4 Conclusions 115 6 Identification of traffic supply 117 6.1 Identification of bottlenecks 118 6.1.1 Types of traffic network elements 118 6.1.2 Capacity constraints 120 6.2 Capacity constraints from primary traffic processes 123 6.2.1 Following and queuing 123 6.2.2 Overtaking 127 6.2.3 Counter-flowing, crossing, and merging 130 6.2.4 Queuing, parking, and stopping at terminals 132 6.3 Capacity constraints due to secondary processes 134 6.3.1 Switching processes 134 Contents ix 6.3.2 Traffic control 136 6.3.3 Traffic externalities 137 6.4 Specification of capacity constraint parameters 138 6.4.1 Types of capacity constraints and corresponding parameters 139 6.4.2 Quality of service variables 140 6.4.3 Determination of optimal capacity constraint parameter values 144 6.5 Examples of bottlenecks in current practice 147 6.5.1 Rail traffic bottlenecks 148 6.5.2 Air traffic bottlenecks 153 6.5.3 Road traffic bottlenecks 157 6.5.4 Navigation bottlenecks 159 6.6 Conclusions 161 7 Selection slot allocation decision problems 165 7.1 Rational decision-making applied to selection slot allocation 166 7.1.1 Characteristics of rational decision-making 166 7.1.2 Example of rational slot allocation decision process 168 7.2 Specification of slot allocation objectives 170 7.2.1 Assumptions about objective formulation 170 7.2.2 Primary objectives of slot allocation 172 7.2.3 Secondary objectives of slot allocation 174 7.2.4 Specification of objective functions for the selection problem 176 7.3 Specification of optimum selection problems 179 7.3.1 Specification of the generic selection problem 179 7.3.2 Type 1: linear objective, single basic slot, single linear constraint 181 7.3.3 Type 2: linear objective, multiple basic slots, single linear constraint 182 7.3.4 Type 3: linear objective, multiple linear constraints 183 7.3.5 Type 4: non-linear objective or constraints 184 7.4 Solution procedures 184 7.4.1 Exact optimization algorithms 185