ACKNOWLEDGEMENTSEXECUTIVE SUMMARYGenesis, Evolution, and Structure of the ReportVolume 1 SummaryVolume 2 SummaryConclusions RecommendationsINTRODUCTIONTHE UPPER MISSISSIPPI RIVER NAVIGATION SYSTEM CHARACTERISTICS OF THE U.S. ARMY CORPS OF ENGINEERS OMNI DATABASETraffic Table Flotilla Table Vessel TableOperations TableSTATISTICAL MODELING OF OPERATIONS ON THE UMR SYSTEMPurpose of the Statistical AnalysisDescriptive Statistics for Waterway Operations and Resource UtilizationGeneral Observations from Lock Utilization Statistics and Vessel ItinerariesDiscussion of the OMNI DataDistributions of Lock Specific Wait and Lockage TimesLockDirectionNumber Distributions of Transit Times between Locks for Commercial TowsEvidence of Seasonality in the UMR SystemEffect of the Status of a Lock Chamber at the Arrival Time of a VesselStatistical Models to Support Enhanced Simulation of UMR Traffic Movements and LockagesRefinement of Vessel Movements and Lockage Activity to Reflect Ambient Conditions (River Conditions and Impairments at Locks)Acquisition of Industry Data for Vessel Movements and Fuel ConsumptionStatistical Models for Dynamic Adjustment of Simulation ParametersLock ImpairmentsWater ConditionsGeneration of Tows in PoolsSummary TRAFFIC MANAGEMENT ALTERNATIVESIntroductionTraffic Management AlternativesAlternative A: Existing Traffic ManagementAlternative B: Managing Traffic by Scheduling Vessel Appointments at LocksAlternative C: Managing Traffic by Re-sequencing Vessels in Lock Queues LocallyAlternative D: Managing Traffic by Re-sequencing Vessels in Extended Lock QueuesAlternative E: Managing Traffic by Re-sequencing Vessels in Multiple Lock Queues SimultaneouslyAlternative F: System-wide Traffic Management Using Vessel TrackingLimitations on Evaluating Traffic Management Alternatives A LOCALLY OPTIMIZED VESSEL SEQUENCING ALGORITHM FOR EFFICIENTLY CLEARING A LOCK QUEUEDescription of the Optimization ModelAssumptionsSome Observations on Operational Issues THE UMR SIMULATION MODEL UMR Simulation Model Components EntitiesTagsTasksTask QueuesDecision NodesVariables SnapshotsEvent QueueUMR Simulation Model Task NetworkEVALUATION OF THE UMR SIMULATION MODELEVALUATION OF AN EXAMPLE RE-SEQUENCING POLICY SUMMARY, CONCLUSIONS, AND RECOMMENDATIONSSummaryConclusionsRecommendationsREFERENCESManagement Systems for Inland Waterway Traffic Control, Volume I: Identification and Evaluation of Alternatives for Managing Lock Traffic on the Upper Mississippi River Final Report November 2005 Sponsored by University Transportation Centers Program, U.S. Department of Transportation (MTC Project 2004-03) Iowa State University’s Center for Transportation Research and Education is the umbrella organization for the following centers and programs: Bridge Engineering Center • Center for Weather Impacts on Mobility and Safety • Construction Management & Technology • Iowa Local Technical Assistance Program • Iowa Traffi c Safety Data Service • Midwest Transportation Consortium • National Concrete Pavement Technology Center • Partnership for Geotechnical Advancement • Roadway Infrastructure Management and Operations Systems • Statewide Urban Design and Specifications • Traffic Safety and OperationsAbout the MTC The mission of the University Transportation Centers (UTC) program is to advance U.S. technology and expertise in the many disciplines comprising transportation through the mechanisms of education, research, and technology transfer at university-based centers of excellence. The Midwest Transportation Consortium (MTC) is the UTC program regional center for Iowa, Kansas, Missouri, and Nebraska. Iowa State University, through its Center for Transportation Research and Education (CTRE), is the MTC’s lead institution. Disclaimer Notice The contents of this report reflect the views of the authors, who are responsible for the facts and the accuracy of the information presented herein. The opinions, findings and conclusions expressed in this publication are those of the authors and not necessarily those of the sponsors. The sponsors assume no liability for the contents or use of the information contained in this document. This report does not constitute a standard, specification, or regulation. The sponsors do not endorse products or manufacturers. Trademarks or manufacturers’ names appear in this report only because they are considered essential to the objective of the document. Non-discrimination Statement Iowa State University does not discriminate on the basis of race, color, age, religion, national origin, sexual orientation, gender identity, sex, marital status, disability, or status as a U.S. veteran. Inquiries can be directed to the Director of Equal Opportunity and Diversity, (515) 294-7612.Technical Report Documentation Page 1. Report No. MTC Project 2004-03 2. Government Accession No. 3. Recipient’s Catalog No. 4. Title and Subtitle Management Systems for Inland Waterway Traffic Control, Volume I: Identification and Evaluation of Alternatives for Managing Lock Traffic on the Upper Mississippi River 5. Report Date November 2005 6. Performing Organization Code 7. Author(s) Ray A. Mundy, James F. Campbell 8. Performing Organization Report No. 9. Performing Organization Name and Address Center for Transportation Research and Education Iowa State University 2901 South Loop Drive, Suite 3100 Ames, IA 50010-8634 10. Work Unit No. (TRAIS) 11. Contract or Grant No. 12. Sponsoring Organization Name and Address U.S. Department of Transportation Research and Special Program Administration 400 7th Street SW Washington, DC 20590-0001 13. Type of Report and Period Covered Final Report 14. Sponsoring Agency Code 15. Supplementary Notes Visit www.ctre.iastate.edu for color PDF files of this and other research reports. 16. Abstract Periodic congestion of the locks in the Upper Mississippi River and Illinois Waterway negatively impacts inland waterway transport. Previous investigation of an appointment system, among other low cost measures, did not result in an acceptable resolution of the traffic issue. Responding to the continued need to improve management and reduce the operational costs of inland water transportation, this research project examines and evaluates alternative traffic management policies for implementation on the Upper Mississippi River (UMR) portion of the inland navigation system. To determine impact on lockage times and transit times,