Ramp Metering Software Analysissunguidesoftware.com/.../STMCSLS-RMSA-1.0.1.pdfSTMCSLS-RMSA-1.0.1 Prepared for: Florida Department of Transportation ITS Office 605 Suwannee Street,

Statewide Transportation Management Center Software Library System: Ramp Metering Software Analysis STMCSLS-RMSA-1.0.1

Prepared for: Florida Department of Transportation ITS Office 605 Suwannee Street, M.S. 90 Tallahassee, Florida 32399-0450 (850) 410-5600 February 6, 2004

Ramp Meter Software Analysis

Document Control Panel

File Name: STMCSLS-RMSA-1.0.0.doc File Location: STMCSLS CM Repository CDRL: n/a

Name Initial Date

David Kingery, PBF BDK 12/16/03 Created By: John Schumitz, PBF JS 12/18/03 Charles Wallace, PBF CEW 12/18/03 Steve Dellenback, SwRI SWD 12/19/03 Steve Dellenback, SwRI SWD 2/07/04

Reviewed By:

Charles Wallace, PBF CEW 2/06/04

Modified By:

Completed By:

STMCSLS-RMSA-1.0.1 ii


Table of Contents Revision History....................................................................................... vii 1. Background....................................................................................... 1 2. Initial Code Review ........................................................................... 1 3. Follow-up Actions Conducted by PB Farradyne ........................... 4 4. Summary of Findings ....................................................................... 6 5. Conclusion by Dr. Kingery............................................................... 6 6. Afterward ........................................................................................... 6 7. Recommendation.............................................................................. 7

Attachment A: Fuzzy Logic License

STMCSLS-RMSA-1.0.1 iii


List of Acronyms

CVS............................Concurrent Versions System PBF ............................PB Farradyne RCS............................Revision Control System STMCSLS..................Statewide Transportation Management Center Software Library System TSMC.........................Traffic Systems Management Center UW.............................University of Washington WSDOT .....................Washington Department of Transportation

STMCSLS-RMSA-1.0.1 iv


Revision History

Revision Date Changes 1.0.0 December 19, 2003 Initial Release. 1.0.1 February 6, 2004 Corrections and clarifications.

STMCSLS-RMSA-1.0.1 v


Source Code Review for University of Washington-Developed Fuzzy Logic Controller For Ramp Metering Conducted November 4, 2003

1. Background One option for implementing the desired fuzzy logic algorithm for the Ramp Metering Module of the STMCSLS was to adapt the software code developed by the University of Washington (UW) for the Washington Department of Transportation (WSDOT). After extensive negotiations with the university, it was agreed that a PB Farradyne representative would review the actual code (hard copy) in a university venue for a limited time to assess its potential value. Below is the substance of this review. 2. Initial Code Review A review of the fuzzy logic ramp meter control source code, developed by the University of Washington for the Washington Department of Transportation, was conducted on November 4, 2003, in the Office of Software and Copyright Ventures near the University of Washington main campus. This source code review was conducted by Dr. David Kingery1, PB Farradyne, in the presence of Lars Lidén, staff person from the Office of Software and Copyright Ventures, which is the office responsible for managing intellectual property for the university.

Several areas were identified for focused review including:

• Documentation • Source Code • Testing Materials • Configuration Management • Other Materials (i.e. related programs and documentation)

The following table contains the findings from the November 4th review.

Documentation Requirements Document None available at the review. This will be verified

by the UW licensing office.

1 Dr. David Kingery is both a software engineer and ITS expert with extensive experience in software development and implementation of complex systems and algorithms. He has worked recently with TravInfo, CHART II and other ITS systems, and in fact, he is personally developing the implementation of the WSDOT fuzzy logic algorithm as a plug-in to the Paramics simulation model suite to permit modeling of District 6’s ramp metering system for operational analysis.. Coincidentally, he was formerly with SwRI, where he did similar work, in particular he was the Project Manager for the Texas Statewide Software System development..

STMCSLS-RMSA-1.0.1 1


Design Document Design documentation consists of the technical reports produced by UW. There are several reports that we currently have that provide information on the algorithm used. However, based on the review of the source code, these reports do not reflect the current state of the software (even the reports published in 2000 do not contain a complete description).

Test Documentation (Test Plans) None were available at the review. Existence of this documentation and test data sets will be verified by the UW licensing office.

Maintenance/User Manuals This set of documentation is contained in the technical reports we already have in our possession

Installation Document None was available at the review. Existence of these documents will be verified by the UW licensing office.

Build Documentation There was no build documentation or makefile available during the source code review. Existence of these files will be verified by the UW licensing office. This is key because we need to determine whether the code can even compile/run (especially with the dependencies found on WSDOT code).

Source Code Quality The overall quality of the code seems to be good

for code written in a University environment. The only concern here is whether or not changes made between 1998 and today have been captured somehow. It is unlikely that changes made by WSDOT to the code have been captured. This is a key element in insuring that the code supplied is the actual code running in WSDOT implementation.

Structure Overall structure of the code is adequate. There were include files in the code that were not part of the UW code I reviewed. These seem to be WSDOT specific so it is unclear whether these files would be available to us.

Commenting The code was well commented for software developed in a University environment.



Flexibility This issue relates to how well the code could be adapted to other uses and how easily it can be modified. Based on my review of the code, I do not believe this code could be adapted to other uses easily due to its dependence on WSDOT not provided.

Good coding practices This is hard to quantify, but it seems that the developers put in some effort to insure good coding practices. Configuration management was employed.

Testing Materials Unit test plans These were not available during the code review.

The UW licensing department is to verify the existence of these plans

Integration test plans These were not available during the code review. The UW licensing department is to verify the existence of these plans

System test plans These were not available during the code review. The UW licensing department is to verify the existence of these plans

Test data sets and expected results These were not available during the code review. The UW licensing department is to verify the existence of these data sets.

Configuration Management Configuration management repository Based on the review, it seems that UW probably

used Revision Control System (RCS) or some derivative of RCS for configuration management. I asked if the entire configuration management repository (basically the delta files) would be part of the delivery. The UW licensing department is checking on this.

Code change/requests Nothing existed that would lead me to believe there as a controlled method for code changes.

Other Materials Additional/Related Programs There are several related programs that would be

beneficial to have. One is the Fuzzy Watch program, which is "watch_fuzzymeter.exe". Another is the preprocessing program that populates configuration tables ("build_rmdb.exe"). There are two others that were mentioned in documentation or code ("tms_startup.exe" and "mon_event_log.exe"). The UW licensing department was to verify whether these would be included in the distribution.



3. Follow-up Actions Conducted by PB Farradyne Several questions remained at the end of the review and a separate email was sent to Mr. Lidén on November 10th containing the eight questions. On December 4th, an email was received from Mr. Lidén containing the UW response to some of these questions. The questions along with the UW responses (in italics) are below:

1. There was no requirements document available. Did UW receive any guidance on requirements from WSDOT that resulted in the development of a requirements document? It does not have to be a formal document.

For the original Traffic Systems Management Center (TSMC) software or the fuzzy logic ramp metering algorithm? I don't know if there was one for the original TSMC software. There was not for the fuzzy logic ramp metering algorithm. I did not receive guidance for developing this document, except for an ISO 9000 publication. I did not keep any of my notebooks, emails, or internal documents, except for whatever files were backed up from my computers. The only record that I have is the publications. The acceptance of the design was based on the simulation results that were done prior to implementation, documented in a publication. I also presented the software engineers and software manager of the TSMC with a list of my design changes of the TSMC software before I made the changes. They had no issues with the proposed changes during the review.

2. There were no test documentation or test data sets. You indicated you would check to see

if any form of documentation was created to be used for testing. You were also going to check to see if any test data sets were available to confirm proper execution of the code. What is desired is unit, integration, and system test plans in addition to any test data sets.

I did create a test procedure and report of the results for code testing. There were regression tests for the pre-existing TSMC software, and tests for all of the code. These were internal documents that I gave to the TSMC software manager, Mark Morse. I have no idea if he kept these reports -- I did not.

Testing the algorithm performance was a separate and mammoth undertaking, which is summarized in a publication, C. Taylor and D. Meldrum, 2002. "Evaluation of a Fuzzy Logic Ramp Metering Algorithm: A Comparative Study Between Three Ramp Metering Algorithms used in the Greater Seattle Area," WA-RD 481.2, National Technical Information Service.

3. There was no installation or build documentation available. You were going to check to

see if there were any installation instructions for the code and whether or not build/make files existed for this code.

There is a makefile for it, but it builds the whole system, not just the fuzzy ramp metering. For that reason, it was not included in the release. I would emphasize that I do not think that the other files are of use to anyone implementing this system elsewhere. What is important are the files provided, which contain the algorithm. The other files are



particular to the site, and would need to be developing accordingly. The other files will not provide a ready made solution and do not contain elements of the algorithm.

4. Was there any attempt at capturing changes made by WSDOT to the source code? Is the

source code shown to me the source code for the executables currently running on the WSDOT system?

Yes. A source configuration tool called Concurrent Versions System (CVS) was used to track all changes to the system, as well as a change history at the beginning of each file.

I think that is extremely likely that there have been no changes to any of the files in this release (not including the other TSMC files outside of the fuzzy ramp metering algorithm). There are no known bugs in this release. The software performed quite well throughout months of testing.

The TSMC programmers make occasional changes to the TSMC files outside of this release, but I would be surprised if any changes occurred to these released files.

I do expect that TSMC personnel tune the fuzzy parameters. As traffic conditions change throughout the years, the algorithm can be tuned to meet the changes needs. I trained the TSMC personnel to tune the algorithm as described in C. Taylor and D. Meldrum, 2002. "Algorithm Design, User Interface, and Optimization Procedure for a Fuzzy Logic Ramp Metering Algorithm: A Training Manual for Freeway Operations Engineers," WA-RD 481.1, National Technical Information Service.

5. There are several dependencies on files that were not part of the distribution shown to

me. There were several include files that seemed to be WSDOT-specific. Are these files available? They would be needed in order to guarantee final compilation.

UW has spoken with a representative from WSDOT about getting permission to release the files and they are currently assessing what is possible.

6. In the area of configuration management I had asked about receiving the entire RCS

history for the files (all the delta files - <filename>,v). You were going to verify what would be included in the delivery if a license agreement was signed.

I do not have access to the CVS database where all of these changes are recorded, but the change history at the beginning of each file is accurate. I imagine that WSDOT would be able to provide a history of these changes if they were willing to do so.

7. There were several programs that seemed to be related to the fuzzy metering project that

were mentioned either in the documentation or in the code. These were "build_rmdb.exe", "tms_startup.exe", "mon_event_log.exe", and "watch_fuzzymeter.exe". You were going to verify whether the source for these programs would be provided as part of the distribution.



The source for these programs were modified from pre-existing TSMC code. I think they are not useful in a ported version, as they do not contain any elements of the algorithm. See answer to question 3.

8. As part of this review you were going to provide a list (or inventory) of all the files that

would be included in the distribution.

PBF: As of December 8th this had not been provided. 4. Summary of Findings The review of the code revealed several dependencies on WSDOT code that PBF may not be able to obtain from WSDOT. Complete documentation does not exist, but the technical documents PBF already has provide some good insight into the algorithm. As is, there was no build/make files and the code provided for review would never compile. Although the UW responses indicate these WSDOT files are not needed, they would be useful in determining the preprocessing and setup that is done to integrate the fuzzy logic algorithm into the system.

The actual algorithm used for the fuzzification and defuzzification processes in the reviewed code was not that much different from the code provided in the UW technical documentation. The decision to use the UW code should be based on whether there is a desire to use the actual algorithm being used by WSDOT versus just using the rule sets developed. If the algorithm is desired then it may be worth a reduced licensing fee to obtain the source code so that developers have a reasonable base to start from. If only the rule sets and fuzzification parameters are desired then conversations with WSDOT might produce the necessary information. This choice would require developing the algorithm either with a fuzzy logic tool or some other method. 5. Conclusion by Dr. Kingery The recommendation at this time is to pursue conversations with WSDOT in order to obtain the current rule set and fuzzification parameters along with any other information that might be useful regarding the implementation of the fuzzy logic algorithm within their system. If the desire is to have the actual algorithm from the UW source code, the recommendation is to pursue a reduced licensing fee with the UW Office of Software and Copyright Ventures. 6. Afterward Subsequent to receipt of Dr. Kingery’s report, District 6 (Mr. Jesus Martinez) was asked (by Dr. Charles Wallace) whether they wished to have the actual UW code, or were they only interested in the adaptation of the fuzzy logic algorithm. Mr. Martinez replied that they were interested in using the algorithm and had no explicit interest in UW’s code per se.

In a related, but separate matter, the license agreement proposed by UW was, in PB Farradyne’s opinion more restrictive than the Florida DOT was desirous of having. This was another reason that PBF was leaning against using the UW code. FDOT has expressed an interest in reviewing this license. The draft is attached as appendix A.



7. Recommendation PB Farradyne recommends against using the UW code and will pursue alternatives for developing the fuzzy logic code, and to obtain more information from WSDOT.



Appendix A Fuzzy Logic License Agreement Offered by University of Washington

(Note: suggested changes by PB Farradyne related to form only and did not attempt to address

the underlying issues that caused concerns on behalf of FDOT’s ownership issues.)

STMCSLS-RMSA-1.0.1

DRAFT Fuzzy Logic Ramp Metering License Agreement

(For Discussion Purposes Only) The University of Washington, a public institution of higher education and an agency of the State of Washington with administrative offices in Seattle, Washington (“University”) and PB Farradyne, a District of Parsons Brinckerhoff Quade & Douglas, Inc. having a place of business at [address] (“Company”) agree as follows: 1. Background 1.1 University has developed through the work of Cynthia Taylor and Deirdre Meldrum certain software

called “Fuzzy Logic Ramp Metering” that uses machine learning techniques to meter freeway on-ramps using fuzzy logic control.

1.2 University desires to transfer the software to commercial concerns for use in the public benefit. 1.3 Company desires to obtain non-exclusive access to the software for development of products for the

Florida Department of Transportation. 2. Definitions

2.1 “Agreement” means this license agreement and any attachments referenced by this agreement.

2.2 “Effective Date” means [date]. 2.3 “Technology” means a system and software called “Fuzzy Logic Ramp

Metering”, developed at the University through the work of Cynthia Taylor and Deirdre Meldrum as set forth on Attachment A.

2.4 “Modify” means to prepare derivative works; introduce changes into source

statements; bundle or integrate Technology into other works or products; remove or disable functions; extend or wrap with new functionality, shells, or interfaces; correct errors or defects; and/or improve or alter the system. “Modification” is a result of modifying the Technology.

2.5 “Sublicense” means a license with a term not to exceed the last copyright to

expire for the Modified Technology granted by Company to the Florida Department of Transportation that permits the use of Technology only as Modified by the Company and/or the Florida Department of Transportation, solely within the State of Florida.

3. Grant

3.1 Subject to Company’s payment of consideration as set forth on Attachment B and compliance with this Agreement’s terms and conditions, University hereby grants to Company under University’s valuable intangible property rights, and Company accepts, a worldwide non-exclusive license to copy, perform, display, and Modify the Technology.

3.2 Company shall have the right to Sublicense its rights under Section 3.1, provided that:

Fuzzy Logic Ramp Metering Technology License Page 1 of 6

1.1.1.1 Company remits payment of consideration as set forth on Attachment B;

1.1.1.2 Sublicense agreements include such terms and conditions as are consistent with the Company’s obligations to University under this Agreement; and

1.1.1.3 Company provides a copy of the Sublicense to University within thirty (30) days of the date of execution of such Sublicense.

3.3 Company shall not use this Technology or Modifications, in any manner beyond what is required for the Sublicense.

3.4 Company shall retain the copyright, trademark, or other notices pertaining to the Technology as provided by University. 3.5 Company will not, by performance under this Agreement, obtain any ownership interest in Technology. Company and University do not intend to jointly author or invent Modifications under this Agreement.

3.6 Company acknowledges the right of University to create and license University-prepared Modifications that may be substantially similar or functionally equivalent to Company-prepared Modifications, and if Company obtains patent protection for any such Modification, Company will not allege or enjoin infringement of Company’s patent by University or by any other licensee of University obtaining University-prepared Modifications.

3.7 Company acknowledges that Technology was developed with support from the United States Department of Transportation (“DOT”) and that the DOT reserves a royalty-free, nonexclusive and irrevocable license to reproduce, publish, or otherwise use and to authorize others to use the work for government purposes.

4. Delivery 4.1 Upon execution of this Agreement and payment of the consideration specified,

University will deliver to Company the Technology as set forth on Attachment A by means of internet transmission or other mutually acceptable delivery means.

5. Assistance

5.1 No assistance, teaching or instruction is available under this Agreement. Any Modifications prepared in whole or in part by University personnel shall be treated as University-prepared Modifications and Company shall obtain no ownership interest in such Modifications.

6. Term

6.1 The term of this Agreement shall be for the last to expire of the copyrights in the Technology.

7. Termination 7.1 Company may terminate this Agreement at any time upon written notice to

University, provided all payments due to University are paid by Company prior to Company terminating.


7.2 University may terminate this Agreement upon notice if Company is in breach of this Agreement and fails within thirty (30) days of a written demand for performance to cure such breach.

7.3 The provisions under which this Agreement may be terminated shall be in

addition to any and all other legal remedies which either party may have for the enforcement of any and all terms hereof, and do not in any way limit any other legal remedy such party may have.

7.4 Expiration or termination of this Agreement shall terminate all rights and

licenses granted to Company relating to the Technology, however, all Sublicenses granted to the Technology shall remain in force provided that University has not terminated this Agreement based on Company’s material breach of this Agreement.

7.5 Upon termination, Company shall within ten (10) days certify in writing to

University that all media, materials delivered or licensed under this Agreement have been destroyed.

8. Notices

8.1 Notices under this Agreement shall be deemed to have been properly given and be effective upon the date of delivery if delivered in writing to the respective addresses set forth below, or to such other address as either party shall designate by written notice given to the other party, or, if no valid address has been designated, five (5) working days following the deposit of any such notice postage paid in the United States mail or national courier service. If notice or other communication is given by facsimile transmission, said notice shall be confirmed by prompt delivery of the hardcopy original.

8.2 In the case of Company:

Address correspondence to [name] Address: [address] Facsimile Address: [fax address]

8.3 In the case of University:

Address correspondence to Director of the Office of Software & Copyright

Ventures.

Address: University of Washington Office of Software & Copyright Ventures Office of Intellectual Property & Technology Transfer 4311 11th Ave NE, Suite 500 Seattle WA 98105-4608 USA Facsimile Address: (206) 616-3322


9. Risk 9.1 The Technology is an experimental research artifact and is made available as a

research courtesy AS IS without any University warranties, support, or obligations except as provided expressly under this Agreement. UNIVERSITY EXPRESSLY DISCLAIMS ANY AND ALL WARRANTIES, WHETHER EXPRESS OR IMPLIED, PERTAINING TO NON-INFRINGEMENT, THE MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE OF THE LICENSED TECHNOLOGY PROVIDED TO COMPANY PURSUANT TO THIS AGREEMENT.

9.2 Company shall indemnify and hold harmless the University of Washington,

and its officers, Technology developers, employees, students, and agents, against any and all claims, suits, losses, damages, costs, fees, and expenses resulting from Company’s possession, Sublicensing and/or use of the Technology, including but not limited to any damages, losses, or liabilities whatsoever with respect to death or injury to any person and damage to any property. This indemnification clause shall survive the termination of this Agreement.

2.0 General

9.3 This Agreement shall be construed in accordance with, and its performance shall be governed by, the laws of the State of Washington, USA without giving effect to any conflict of laws provisions. Headings are provided for convenience only.

10.2 Any suit, action, or proceeding arising out of or relating to this Agreement

shall be decided in King County, Washington. Company and University accept the venue and jurisdiction of the Federal District Court of Western Washington, Seattle, or the King County Superior Courts.

10.3 No omission or delay of either party hereto in requiring due and punctual

fulfillment of the obligations of any other party hereto shall be deemed to constitute a waiver by such party of its rights to require such due and punctual fulfillment, or of any other of its remedies hereunder. Amendments to this Agreement must be in writing, reference this Agreement, and be signed by duly authorized representatives of University and Company.

10.4 In the event either party hereto is prevented from or delayed in the performance

of any of its obligations hereunder by reason of acts of God, war, strikes, riots, storms, fires, or any other cause whatsoever beyond the reasonable control of the non-performing party, the non-performing party shall be excused from the performance of any such obligation to the extent and during the period of such prevention or delay.

10.5 This Agreement and the rights and benefits conferred upon Company

hereunder may not be assigned or otherwise transferred by Company without the prior written consent of University.

10.6 University and Company are independent contractors and neither has the

authority to obligate the other or shall act as an agent or representative of the other.


10.7 Nothing contained in this Agreement shall be construed as conferring any right

to use in advertising, publicity, or other promotional activities any name, trade name, trademark or other designation of the other party or of any identifying technology of the other party, including any contraction, abbreviation, or simulation of the foregoing.

10.8 This Agreement embodies the entire understanding of the parties and

supersedes all previous communications, representations, or understandings, either oral or written, between the parties relating to the subject matter hereof.

10.9 This Agreement shall become effective only if fully executed prior to [date].

[The remainder of this page has been intentionally left blank.]


The University of Washington and Company have executed this Agreement by their respective duly authorized representatives on the dates given below. PB Farradyne, a District of Parsons Brinckerhoff Quade & Douglas, Inc. University of Washington By: _______________________________ By: _______________________________ Name: _______________________________ Name: _______________________________ Title: _______________________________ Title: _______________________________ Date: _______________________________ Date: _______________________________


Fuzzy Logic Ramp Metering

Technology License Agreement Attachment A

A.1 Specification of Fuzzy Logic System Fuzzy Logic Ramp Metering is software that meters freeway on-ramps using fuzzy logic control. It was developed by Cynthia Taylor and Deirdre Meldrum from University of Washington. A.2 List of code modules/files Edit_20_sec.c FUZZY.H Fuzzymeter.c Fuzzymeter_sub.c Watch_fuzzymeter.c Watch_sub.c A.3 List of supporting documentation (for information only—these documents are not subject to the terms of this Agreement) C. Taylor and D. Meldrum, 2002. “Algorithm Design, User Interface, and Optimization Procedure for a Fuzzy Logic Ramp Metering Algorithm: A Training Manual for Freeway Operations Engineers,” WA-RD 481.1, National Technical Information Service. C. Taylor and D. Meldrum, 2002. “Evaluation of a Fuzzy Logic Ramp Metering Algorithm: A Comparative Study Between Three Ramp Metering Algorithms used in the Greater Seattle Area,” WA-RD 481.2, National Technical Information Service. C. Taylor and D. Meldrum, 2002. “A Programmer’s Guide to the Fuzzy Logic Ramp Metering Algorithm: Software Design, Integration, Testing, and Evaluation,” WA-RD 481.3, National Technical Information Service.

Fuzzy Logic Ramp Metering Technology License Agreement Attachment A

Fuzzy Logic Ramp Metering Technology License Attachment B Consideration

B.1 Company shall pay to University a license fee of Ten Thousand United States Dollars (US $10,000) upon execution of this Agreement. B.2 All payments required under this Agreement shall be made in United States dollars by check or money order payable to the University of Washington, and delivered to the University of Washington, Office of Intellectual Property and Technology Transfer, 4311 11th Ave NE, Suite 500, Seattle, WA 98105-4608. B.3 Company shall identify payments to University as 3074-3955.

Fuzzy Logic Ramp Metering Technology License Agreement Attachment B

Documents

Ramp Metering Software Analysissunguidesoftware.com/.../STMCSLS-RMSA-1.0.1.pdfSTMCSLS-RMSA-1.0.1 Prepared for: Florida Department of Transportation ITS Office 605 Suwannee Street,