HCM Method of Capacity and LoS Analysis of a Traffic

Signal
Lecture Notes in Transportation Systems Engineering

Prof. Tom V. Mathew

Contents
1 Overview
2 Methodology
 2.1 Scope
 2.2 Limitation
 2.3 Objective
3 Input parameters
 3.1 Geometric condition
 3.2 Traffic condition
 3.3 Signalization condition :
4 Determining flow rate
5 Determining saturation flow rate
 5.1 Base saturation flow rate :
 5.2 Adjustment for lane width:
 5.3 Adjustment for Heavy Vehicles and Grade :
 5.4 Adjustment for Parking
 5.5 Adjustment for Bus Blockage
 5.6 Adjustment for Area Type
 5.7 Adjustment for Lane Utilization
6 Determining capacity and v/c ratio:
 6.1 v/c ratio:
 6.2 Critical lane group:
7 Determining delay
 7.1 Progression adjustment factor
 7.2 Uniform delay
 7.3 Incremental delay
 7.4 Aggregate delay estimates
 7.5 Determination of LOS
 7.6 Sensitivity of results to input variables
8 Conclusion
Exercises
References
Acknowledgments
9 Acknowledgments
____________________________________________________________
_____________________________

1 Overview
The Highway Capacity Manual defines the capacity as the maximum
howdy rate at which persons or vehicle can be reasonably expected to
traverse a point or a uniform segment of a lane or roadway during a given
time period, under prevailing roadway, traffic and control conditions. Level-
of-Service is introduced by HCM to denote the level of quality one can
derive from a local under different operation characteristics and traffic
volume.

2 Methodology
2.1 Scope

This chapter contains a methodology for analyzing the capacity and level of
service (LOS) of signalized intersections. The analysis must consider a
wide variety of prevailing conditions, including the amount and distribution
of traffic movements, traffic composition, geometric characteristics, and
details of intersection signalization. The methodology focuses on the
determination of LOS for known or projected conditions. The capacity
analysis methodology for signalized intersections is based on known or
projected signalization plans.

2.2 Limitation

The methodology does not take into account the potential impact of
downstream congestion on intersection operation. Nor does the
methodology detect and adjust for the impacts of turn-pocket overflows on
through traffic and intersection operation.

2.3 Objective

This method uses wide range of operational configuration along with

various phase plans, lane utilization, and left-turn treatment alternatives.
 1. Geometric condition
2. Traffic condition
3. Signalization condition

The primary output of the method is level of service (LOS). This

methodology covers a wide range of operational configurations, including
combinations of phase plans, lane utilization, and left-turn treatment
alternatives. The below figure shows the signalized intersection
methodology.

Figure 1: signalized intersection methodology

3 Input parameters
To conduct operational analysis of signalized intersection, no. of input
parameters are required. The data needed are detailed and varied and fall
into three main categories: geometric, traffic, and signalization.

Table 1: Input data needs for each analysis of lane group

Condition Parameter

Geometric Area type

Number of lanes, N
Average lane width, W (m)
Grade, G (%)
Existence of exclusive LT or RT lanes
Length of storage bay, LT or RT lane, L s (m)
Parking
 Traffic Demand volume by movement, V (veh/h)
Base saturation flow rate, s o (pc/h/ln)
Peak-hour factor, PHF
Percent heavy vehicles, HV (%)
Approach pedestrian flow rate, vped (p/h)
Local buses stopping at intersection, NB (buses/h)
Parking activity, Nm (maneuvers/h)
Arrival type, AT
Proportion of vehicles arriving on green, P
Approach speed, S A (km/h)

Control Cycle length, C (s)

Green time, G (s)
Yellow-plus-all-red change-and-clearance interval
(inter green), Y (s)
Actuated or pre-timed operation
Pedestrian push-button
Minimum pedestrian green, Gp (s)
Phase plan
Analysis period, T (h)

3.1 Geometric condition

Intersection geometry is generally presented in diagrammatic form and

must include all of the relevant information, including approach grades, the
number and width of lanes, and parking conditions.

3.2 Traffic condition

Traffic volumes (for oversaturated conditions, demand must be used) for

the intersection must be specified for each movement on each approach. In
situations where the v/c is greater than about 0.9, control delay is
significantly affected by the length of the analysis period.

1. If v/c exceeds 1.0 during the analysis period, the length of the
analysis period should be extended to cover the period of
oversaturation in the same fashion, as long as the average flow
during that period is relatively constant.
2. An important traffic characteristic that must be quantified to complete
an operational analysis of a signalized intersection is the quality of
 the progression. The parameter that describes this characteristic is
the arrival type, AT, for each lane group.

AT Description

1 Dense platoon- 80% arrived at start of red

2 Moderately dense- 40-80% arrived during red

3 Less than 40% (highly dispersed platoon)

4 Moderately dense, 40-80% arrived during green

5 Dense to moderately dense- 80% arrive at start of green

6 Very dense platoons progressing over a no. of closed space I/S

The arrival type should be determined as accurately as possible

because it will have a significant impact on delay estimates and LOS
determination. It can be computed as

(1)

where, R  = platoon ratio, P = proportion of all vehicles in movement

p

arriving during green phase, C = cycle length (s) and g  = effective i

green time for movement or lane group (s).

3.3 Signalization condition :

Complete information regarding signalization is needed to perform an

analysis. This information includes a phase diagram illustrating the phase
plan, cycle length, green times, and change-and-clearance intervals. If
pedestrian timing requirements exist, the minimum green time for the
phase is indicated and provided for in the signal timing. The minimum
green time for a phase is estimated as,
where, G  is the minimum green time (s), L is the crosswalk length (m), S  is
p p

the average speed of pedestrians (m/s), W  is the effective crosswalk width
E

(m), 3.2 is the pedestrian start-up time (s), and N  is the number of
ped

pedestrians crossing during an interval (p).

4 Determining flow rate

The methodology for signalized intersections is disaggregate; that is, it is
designed to consider individual intersection approaches and individual lane
groups within approaches. Segmenting the intersection into lane groups is
a relatively simple process that considers both the geometry of the
intersection and the distribution of traffic movements. Demand volumes are
best provided as average flow rates (in vehicles per hour) for the analysis
period. However, demand volumes may also be stated for more than one
analysis period, such as an hourly volume. In such cases, peaking factors
must be provided that convert these to demand flow rates for each
particular analysis period. In that case,

(3)

5 Determining saturation flow rate

A saturation flow rate for each lane group is computed according to above
equation. The saturation flow rate is the flow in vehicles per hour that can
be accommodated by the lane group assuming that the green phase were
displayed 100 percent of the time (i.e., g/C = 1.0).

(4)

where, s is the saturation flow rate for subject lane group, expressed as a
total for all lanes in lane group (veh/h), s  is the base saturation flow rate
0

per lane (pc/h/ln), N is the number of lanes in lane group, f  is the w

adjustment factor for lane width, f  is the adjustment factor for heavy
HV

vehicles in traffic stream, f  is the adjustment factor for approach grade, f  is
g p

the adjustment factor for existence of a parking lane and parking activity
adjacent to lane group, f  is the adjustment factor for blocking effect of local
bb

buses that stop within intersection area, f  is the adjustment factor for area
a

type, f  is the adjustment factor for lane utilization, f  is the adjustment
LU LT

factor for left turns in lane group, f  is the adjustment factor for right turns in
RT

lane group, f  is the pedestrian adjustment factor for left-turn movements,
Lpb

and f  is the pedestrian-bicycle adjustment factor for right-turn movements.

Rpb

5.1 Base saturation flow rate :

For the analysis of saturation flow rate, a fixed volume is taken as a base
called base saturation flow rate, usually 1,900 passenger cars per hour per
lane (pc/h/ln). This value is adjusted for a variety of conditions. The
adjustment factors are given below.

5.2 Adjustment for lane width:

The lane width adjustment factor fw accounts for the negative impact of
narrow lanes on saturation flow rate and allows for an increased flow rate
on wide lanes. The lane width factor can be calculated for lane width
greater than 4.8m. The use of two narrow lanes will always result in higher
saturation capacity than one single wide lane.

(5)

where, w = width of lane

5.3 Adjustment for Heavy Vehicles and Grade :

passenger cars are affected by approach grades, as are heavy vehicles.

The heavy-vehicle factor accounts for the additional space occupied by
these vehicles and for the difference in operating capabilities of heavy
vehicles compared with passenger cars. The passenger-car equivalent
(ET) used for each heavy vehicle is 2.0 passenger-car units and is reflected
in the formula. The grade factor accounts for the effect of grades on the
operation of all vehicles.
where, % HV = % heavy vehicles for lane group volume, E  = 2.0, % G = %
T

grade on a lane group approach

5.4 Adjustment for Parking

Parking maneuver assumed to block traffic for 18 s. Use practical limit of

180 maneuvers/h. The parking adjustment factor, f , accounts for the
p

frictional effect of a parking lane on flow in an adjacent lane group as well

as for the occasional blocking of an adjacent lane by vehicles moving into
and out of parking spaces. Each maneuver (either in or out) is assumed to
block traffic in the lane next to the parking maneuver for an average of 18
s.

(8)

where, N  = number of parking maneuvers/h, N = no. of lanes

m

5.5 Adjustment for Bus Blockage

The bus blockage adjustment factor, f , accounts for the impacts of local
bb

transit buses that stop to discharge or pick up passengers at a near-side or

far-side bus stop within 75 m of the stop line (u/s or d/s). If more than 250
buses per hour exist, a practical limit of 250 should be used. The
adjustment factor can be written as,

(9)

where, N  = no. of buses stopping per hour

B

5.6 Adjustment for Area Type

The area type adjustment factor, fa, accounts for the relative inefficiency of
intersections in business districts in comparison with those in other
locations. Application of this adjustment factor is typically appropriate in
areas that exhibit central business district (CBD) characteristics. It can be
represented as, f  = 0.9 in CBD (central business district) and = 1.0 in all
a

others

5.7 Adjustment for Lane Utilization

The lane utilization adjustment factor, fLU, accounts for the unequal
distribution of traffic among the lanes in a lane group with more than one
lane. The factor provides an adjustment to the base saturation flow rate.
The adjustment factor is based on the flow in the lane with the highest
volume and is calculated by Equation 10.

(10)

where, V   = unadjusted demand flow rate for lane group (veh/ h), V   =
g g1

unadjusted demand flow rate on single lane with highest volume in the lane
group and N = no. of lanes in the group.

6 Determining capacity and v/c ratio:

Capacity at signalized intersections is based on the concept of saturation
flow and defined saturation flow rate. The flow ratio for a given lane group
is defined as the ratio of the actual or projected demand flow rate for the
lane group (v ) and the saturation flow rate(s ). The flow ratio is given the
i i

symbol (v/s)i for lane group i. Capacity at signalized I/S is based on the
saturation flow and saturation flow rate.

(11)

where c  = capacity of lane group i (veh/h), s  = saturation flow rate for lane
i i

group i (veh/h) and g ∕C = effective green ratio for lane group i.
i

6.1 v/c ratio:

The ratio of flow rate to capacity (v/c), often called the volume to capacity
ratio, is given the symbol X in intersection analysis

(12)

where, X  = (v/c)i = ratio for lane group i, v  = actual or projected demand
i i

flow rate for lane group i (veh/h), s  = saturation flow rate for lane group i
i

(veh/h), g  = effective green time for lane group i (s) and C = cycle length (s)
i

6.2 Critical lane group:

Another concept used for analyzing signalized intersections is the critical
v/c ratio, X . This is the v/c ratio for the intersection as a whole, considering
c

only the lane groups that have the highest flow ratio (v/s) for a given signal
phase. For example, with a two-phase signal, opposing lane groups move
during the same green time. Generally, one of these two lane groups will
require more green time than the other (i.e., it will have a higher flow ratio).
This would be the critical lane group for that signal phase. The critical v/c
ratio for the intersection is determined by using Equation,

(13)

where, X  = critical v/c ratio for intersection; The above eqn. is useful in
c

evaluating the overall i/s w.r.t the geometric and total cycle length. A critical
v/c ratio less than 1.0, however, does indicate that all movements in the
intersection can be accommodated within the defined cycle length.

7 Determining delay
The values derived from the delay calculations represent the average
control delay experienced by all vehicles that arrive in the analysis period,
including delays incurred beyond the analysis period when the lane group
is oversaturated. The average control delay per vehicle for a given lane
group is given by Equation,

where, d = control delay per vehicle (s/veh); d  = uniform control delay

1

assuming uniform arrivals (s/veh); PF = uniform delay progression

adjustment factor, d  = incremental delay to account for effect of random
2

arrivals and d  = initial queue delay, which accounts for delay to all vehicles
3

in analysis period

7.1 Progression adjustment factor

Good signal progression will result in a high proportion of vehicles arriving

on the uniform delay Green and vice-versa. Progression primarily affects
uniform delay, and for this reason, the adjustment is applied only to d1. The
value of PF may be determined using Equation,
 (14)

where, PF = progression adjustment factor, P = proportion of vehicles

arriving on green, g/C = proportion of green time available, f  A = P

supplemental adjustment factor for platoon arriving during green. The

approximate ranges of RP are related to arrival type as shown below.

Table 2: Relation between arrival type (AT) and platoon ratio

AT Ration Default R p Progression quality

1 ≤ 0.50 0.333 very poor

2 0.50-0.85 0.667 Unfavorable
3 0.85-1.15 1.000 Random arrivals
4 1.15-1.50 1.333 Favorable
5 1.50-2.00 1.667 Highly favorable
6 2.00 2.000 Exceptional

PF may be calculated from measured values of P using the given values

of f  or the following table can be used to determine PF as a function of the
PA

arrival type.

Table 3: Progression adjustment factor for uniform delay calculation

Green
Ratio Arrival Type (AT)

(g/C) AT1 AT2 AT3 AT4 AT5 AT6

0.2 1.167 1.007 1 1 0.833 0.75

0.3 1.286 1.063 1 0.986 0.714 0.571
0.4 1.445 1.136 1 0.895 0.555 0.333
 0.5 1.667 1.24 1 0.767 0.333 0
0.6 2.001 1.395 1 0.576 0 0
0.7 2.556 1.653 1 0.256 0 0

fPA 1 0.93 1 1.15 1 1

Default, R p 0.333 0.667 1 1.333 1.667 2

7.2 Uniform delay

It is based on assuming uniform arrival, uniform flow rate & no initial queue.
The formula for uniform delay is,

(15)

where, d  = uniform control delay assuming uniform arrivals (s/veh), C =

1

cycle length (s); cycle length used in pre-timed signal control, g = effective
green time for lane group, X = v/c ratio or degree of saturation for lane
group.

7.3 Incremental delay

The equation below is used to estimate the incremental delay due to

nonuniform arrivals and temporary cycle failures (random delay. The
equation assumes that there is no unmet demand that causes initial
queues at the start of the analysis period (T).

(16)

where, d  = incremental delay queues, T = duration of analysis period (h); k

2

= incremental delay factor that is dependent on controller settings, I =

upstream filtering/metering adjustment factor; c = lane group capacity
(veh/h), X = lane group v/c ratio or degree of saturation, and K can be
found out from the following table.
Table 4: k-values to account for controller type
Unit Degree of Saturation (X)

Extension
(s) ≤ 0.50 0.6 0.7 0.8 0.9 ≥ 1.0

≤ 2.0 0.04 0.13 0.22 0.32 0.41 0.5

2.5 0.08 0.16 0.25 0.33 0.42 0.5
3 0.11 0.19 0.27 0.34 0.42 0.5
3.5 0.13 0.2 0.28 0.35 0.43 0.5
4 0.15 0.22 0.29 0.36 0.43 0.5
4.5 0.19 0.25 0.31 0.38 0.44 0.5
5.0
a
0.23 0.28 0.34 0.39 0.45 0.5

Pre-timed 0.5 0.5 0.5 0.5 0.5 0.5

7.4 Aggregate delay estimates

The delay obtained has to be aggregated, first for each approach and then
for the intersection The weighted average of control delay is given as:

where, d  = delay per vehicle for each movement (s/veh), d  = delay for
i A

Approach A (s/veh), and v  = adjusted flow for Approach A (veh/h).

A

7.5 Determination of LOS

Intersection LOS is directly related to the average control delay per vehicle.
Any v/c ratio greater than 1.0 is an indication of actual or potential
breakdown. In such cases, multi-period analyses are advised. These
analyses encompass all periods in which queue carryover due to
oversaturation occurs. A critical v/c ratio greater than 1.0 indicates that the
overall signal and geometric design provides inadequate capacity for the
given flows. In some cases, delay will be high even when v/c ratios are low.
Table 5: LOS criteria for signalized intersection in term of control delay per
vehicle (s/veh)
LOS Delay

A ≤ 10
B 10-20
C 20-35
D 35-55
E 55-80
F >80

7.6 Sensitivity of results to input variables

The predicted delay is highly sensitive to signal control characteristics and

the quality of progression. The predicted delay is sensitive to the estimated
saturation flow only when demand approaches or exceeds 90 percent of
the capacity for a lane group or an intersection approach. The following
graph shows the sensitivity of the predicted control delay per vehicle to
demand to capacity ratio, g/c, cycle length and length of analysis period.

Figure 2: sensitivity of delay to demand to capacity ratio

Assumptions are : Cycle length = 100s, g/c = 0.5, T =1h, k = 0.5, l= 1, s

= 1800 veh/hr
Figure 3: sensitivity of delay Vs g/c ratio

Figure 4: sensitivity of delay Vs cycle length

8 Conclusion
HCM model is very useful for the analysis of signalized intersection as it
considers all the adjustment factors which are to be taken into account
while designing for a signalized I/S. Though,the procedure is lengthy but it
is simple in approach and easy to follow.

Exercises

1. Calculate the delay and level of service using HCM method for a
signalised intersection in South bound direction. Follow the
terminology as per HCM 2000 and the intersection geometry is as
shown in Figure 5.
 Figure 5: Intersection Geometry

The intersection is located in CBD area and the traffic volume in each
direction in vehicles/hour is given as

East West North South

bound bound bound bound

Left turn 65 30 30 40
Through 620 700 370 510
Right turn 35 20 20 50

Pedestrian volume = 100 pedestrains/hour,

Percentage of heavy vehicles = 5% in East and West approaches
and 8% in North and South approaches,
Base saturation flow rate = 1900 veh/h/lane,
Peak hour factor= 0.9,
Cross walk width = 3.0 m,
North bound and South bound has two lanes, one in each direction of
lane width 4.5m,
East bound and West bound has four lanes, two in each direction of
lane width 3.3m.
Two phase signal with cycle time 70 seconds and North bound-South
bound green time=36 s,
East bound-West bound green time =26 s,
Amber time= 4 s and Movement lost time =4 s,
 Arrival type 4 and Analysis duration = 15 min,
Assume 0% grade with no parking maneuvers and no buses
stopping.
Consider Lane utilisation adjustment factor in North and South
approaches= 1.00, East and West approaches = 0.95.
Left turn pedestrian/bicycle adjustment factor= 0.999(N), 0.998(S),
0.997(E), 0.998(W),
Right turn pedestrian/bicycle adjustment factor= 0.996(N), 0.994(S),
0.992(E), 0.995(W),
Passenger car equivalent for heavy vehicle = 2.0,
Left turn adjustment factor is 0.937(N), 0.951(S), 0.716(E), 0.901(W).
Incremental delay factor= 0.5 and Initial queue delay= 0 s/veh.
Progression adjustment factor = 1.000.

2. A major arterial is meeting a minor arteial and is located in the central

business district (CBD) of a small urban area. Compute the delay and
peak-hour LOS for west bound direction. Main Street has four lanes
of 3.3 width, two in each direction and minor street has two lanes of
4.5m width, one in each direction. Heavy vehicle percentage is 5 % in
east and west bound direction and 8 % in north and south bound.
Assume no parking at intersection and no buses. Peak hour factor is
0.90. Pedestrian volume is 100 p/h in all approaches, Bicycle volume
is 20 bicycles/h for all approaches, Movement lost time is 4 s, yellow
time is 4 s and terrain is level. Assume base saturation flow rate
1900 pc∕h∕lane, crosswalk width of 3.0 m, and heavy vehicle
adjustment factor 2.0. Left turn adjustment factor in east bound
direction is 0.716 and west bound direction is 0.901. Left turn
pedestrian/bike adjustment factor is 0.998 and right turn
pedestrian/bike adjustment factor is 0.995 for all approaches. The
traffic volume is given in the input worksheet. Report the results in the
capacity and LOS worksheet and submit alongwith the answer sheet
3. The intersection of Third Avenue (NB/SB) and Main Street (EB/WB)
is located in the central business district (CBD) of a small urban area.
Intersection geometry and flow characteristics are shown on the input
worksheet. Facts/Data/Assumptions: (a) EB and WB HV = 5
percent, (b) NB and SB HV = 8 percemnt (c) PHF = 0.9, (d) Two-
phase signal, (e) 70 sec cycle length, (f) NB-SB green = 36 s, (g) EB-
WB green = 26 s, (h) Yellow =4 s, (i) Third avenue has two lanes, one
in each direction, (j) Main street has four lanes, two in each direction,
(k) No parking at intersection, (l) Pedestrian volume = 100 p/h, all
 approaches, (m) Bicycle volume = 20 bicycles/h, all approaches, (n)
Movement lost time = 4s, (o) Level terrain, (p) Assume crosswalk
width = 3.0 m for all approaches, (q) Assume base saturation flow
rate = 1900 pc/h/lane, (r) AssumeE  = 2.0, (s) No buses, (t) Left turn
T

correction factor f  = 0.937, (u) Pedestrian-Bicycle effects on

LT

turning f  = 0.999, and f  = 0.996 (v) Lane utilization factor f  = 1.0

Lpb Rpb LU

Compute the the delay and peak-hour LOS of the NB approach using
HCM 2000 guidelines? Fill the relevant cells of the Exhibit 16-20,21,
and 22.
4. The intersection of Third Avenue (NB/SB) and Main Street (EB/WB)
is located in the central business district (CBD) of a small urban area.
Intersection geometry and flow characteristics are shown on the input
worksheet. Facts/Data/Assumptions: (a) EB and WB HV = 6
percent, (b) NB and SB HV = 9 percent (c) PHF = 0.85, (d) Two-
phase signal, (e) 76 sec cycle length, (f) NB-SB green = 40 s, (g) EB-
WB green = 28 s, (h) Yellow =4 s, (i) Third avenue has two lanes, one
in each direction, (j) Main street has four lanes, two in each direction,
(k) No parking at intersection, (l) Pedestrian volume = 100 p/h, all
approaches, (m) Bicycle volume = 20 bicycles/h, all approaches, (n)
Movement lost time = 4s, (o) Level terrain, (p) Assume cross walk
width = 3.0 m for all approaches, (q) Assume base saturation flow
rate = 1900 pc/h/lane, (r) AssumeE  = 2.0, (s) No buses, (t) Left turn
T

correction factor f  = 0.937, (u) Pedestrian-Bicycle effects on

LT

turning f  = 0.999, and f  = 0.996 (v) Vehicle arrival type (AT) is 4 (w)
Lpb Rpb

Type of control is pre-timed (P). The north bound flow is 420 ( Left 30,
Through 370, and Right 20) Compute the saturation flow of the NB
approach using HCM 2000 guidelines?
5. The intersection of Third Avenue (NB/SB) and Main Street (EB/WB)
is located in the central business district (CBD) of a small urban area.
Intersection geometry and flow characteristics are shown on the input
worksheet. Facts/Data/Assumptions: (a) EB and WB HV = 6
percent, (b) NB and SB HV = 9 percent (c) PHF = 0.85, (d) Two-
phase signal, (e) 76 sec cycle length, (f) NB-SB green = 40 s, (g) EB-
WB green = 28 s, (h) Yellow =4 s, (i) Third avenue has two lanes, one
in each direction, (j) Main street has four lanes, two in each direction,
(k) No parking at intersection, (l) Pedestrian volume = 100 p/h, all
approaches, (m) Bicycle volume = 20 bicycles/h, all approaches, (n)
Movement lost time = 4s, (o) Level terrain, (p) Assume cross walk
width = 3.0 m for all approaches, (q) Assume base saturation flow
rate = 1900 pc/h/lane, (r) AssumeE  = 2.0, (s) No buses, (t) Left turn
T
correction factor f  = 0.716, (u) Pedestrian-Bicycle effects on
LT

turning f  = 0.997, and f  = 0.992 (v) Vehicle arrival type (AT) is 4 (w)
Lpb Rpb

Type of control is pre-timed (P) (x) East bound flow is 750 ( Left 70,
Through 640, and Right 40) Compute the the delay and peak-hour
LOS of the EB approach using HCM 2000 guidelines? Fill the
relevant cells of the Exhibit 16-20,21, and 22.