UPDATED GUIDANCE ON IMPLEMENTATION OF ITS PROJECTS AFFECTED BY NATIONAL
ITS ARCHITECTURE CONSISTENCY POLICY FOR TRANSIT PROJECTS

**SUMMARY**

The Federal Transit Administration (FTA) ITS Architecture Policy team,
working with the regional ITS contacts, has updated implementation
guidance for the FTA National ITS Architecture Consistency Policy for
Transit Projects. The major requirements of the policy are the
development of a regional ITS architecture by April 2005 and the use of
a systems engineering process. The FTA ITS Architecture Policy team had
developed three implementation guidance statements to update the *FTA
National ITS Architecture Consistency Policy for Transit Projects,
Additional Grantee Guidance.* This update will make the Architecture
Policy consistent with other FTA policies and with the Federal Highway
Administration (FHWA) Final Rule on Architecture and Standards
Conformity. It also will provide for consistent implementation of the
ITS requirements across all regions.

Those guidance statements are:

-   Treatment of Grants Including Intelligent Transportation Systems and
    Development Status of the Regional ITS Architecture

-   Treatment of Grants with Intelligent Transportation Systems
    Components

and Required Transportation Electronic Award and Management (TEAM)

-   Treatment of Systems Engineering Requirements for Intelligent
    Transportation Systems

The policy implementation statements provide consistent direction to
support the award of grants that include ITS components and the use of
oversight to track more detailed requirements. More specific oversight
guidance is provided in the 2005 Triennial Review Guidance.

**BACKGROUND**

The FTA National ITS Architecture Consistency Policy for Transit
Projects was issued on January 2, 2001. At the same time, FHWA issued
the corresponding Final Rule on Architecture and Standards Conformity.
The FTA policy requires that Intelligent Transportation Systems projects
funded by the Highway Trust Fund and the Mass Transit Account conform to
a locally adopted regional ITS architecture. In addition, grantees must
use a systems engineering process for the development of the ITS
project. Development of the policy was based on a requirement in TEA-21
that ITS projects funded by the Highway Trust Fund and the Mass Transit
Account conform to the National ITS Architecture, as well as to the
United States Department of Transportation (DOT) adopted ITS standards.

The Policy gives regions that do not have ITS currently implemented four
years from entry into final design to develop a regional ITS
architecture. In most cases, this situation will exist in smaller
metropolitan areas. Most states have developed a statewide architecture
and are using this architecture to cover statewide systems and systems
for smaller areas.

In January 2005, about half of the regions that the U.S. Department of
Transportation expects to have regional ITS architectures actually had
completed their regional ITS architectures. Another 30% should complete
their architectures by early summer 2005. About 20% of FTA's grantees
will not have a regional ITS architecture. Most of these grantees are
smaller and do not implement a significant number of ITS projects. ITS
deployment, however, is becoming more widespread. FTA expects that
almost all of its grantees will implement some sort of ITS project in
the near future.

Even though most regions have a regional ITS architecture, their jobs
are not done. The regional ITS architecture is a living document and
needs to be maintained and updated as new systems and functionality are
added, or as functionality is removed. Therefore, it is imperative that
FTA continuously monitor the availability of regional ITS architectures
and the inclusion of our grantees' ITS projects in those regional ITS
architectures.

In order to support the continued and consistent implementation of the
ITS Architecture Policy, FTA has created three implementation policy
guidance statements to update the guidance that exists.

**Treatment of Grants Including Intelligent Transportation Systems and
Development Status of the Regional ITS Architecture**

This update provides guidance if a region does not have an ITS project
currently implemented. Under this circumstance, the Policy indicates
that the region will have four years from entry into final design to
develop a Regional ITS Architecture. As stated above, in most cases,
this situation will exist in smaller metropolitan areas. Most states
have developed a statewide architecture and are using this architecture
to cover statewide systems and systems for smaller areas.

**Treatment of Grants with Intelligent Transportation Systems Components
and Required Transportation Electronic Award and Management (TEAM)**

FTA grants that include ITS components vary widely in the number of ITS
components, ranging from as little as five percent of total cost to 100
percent of total cost. For projects, such as New Starts or major bus
purchases, ITS components generally are part of the grant, but are very
small and usually not identified in an activity line item. In order to
ensure that we are meeting the ITS Architecture requirements, FTA must
be able to determine whether or not ITS components are part of the
grant. The grantee, therefore, must be required to describe the ITS
components in the project and use the non-add scope codes as necessary.

# Treatment of Systems Engineering Requirements for Intelligent Transportation Systems

Grantees are required to use a systems engineering process for the
development of ITS projects. At the time of grant award, the grantee
must state in the project description field of TEAM that a systems
engineering process is being used for the development of the ITS
project. This statement provides sufficient evidence of compliance with
the requirement at the time of grant award. The FTA ITS Architecture
Policy states that FTA will use its normal oversight procedures,
including risk assessment, triennial reviews, and program management
oversight, to monitor compliance with the policy. FTA will use the
triennial review and project management process to monitor the use of a
systems engineering process for the development of the project.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**FTA ITS Architecture Policy Implementation Statement**

**Guidance Statement on**

**Treatment of Federal Transit Administration (FTA) Grants Including
Intelligent Transportation Systems and Development Status of the
Regional Intelligent Transportation System (ITS) Architecture**

**Issue Summary:**

*How should FTA treat grant awards that include Intelligent
Transportation Systems when there is no Regional ITS Architecture?*

**Background and Justification:**

The FTA National ITS Architecture Consistency Policy for Transit
Projects was issued on January 2, 2001. The policy requires that
Intelligent Transportation Systems projects funded by the Highway Trust
Fund and the Mass Transit Account conform to a locally adopted Regional
ITS Architecture. The policy is based on a TEA-21 requirement that ITS
projects funded by the Highway Trust Fund and the Mass Transit Account
comply with *Intelligent Transportation System Architecture and
Standards; Final Rule* as well as to the United States Department of
Transportation (DOT)-adopted ITS standards.

Since issuing the policy, FTA has provided training, as well as review
and oversight for projects subject to the policy requirements. On
January 2, 2003, FTA issued *FTA National ITS Architecture Consistency
Policy for Transit Projects, Additional Grantee Guidance* to provide
additional clarification of the policy and help grantees move toward
policy compliance. At that time, FTA stated an intention to provide
guidance updates as circumstances necessitated. This document is one
such update intended to fully prepare grantees for compliance with the
ITS Architecture Policy by April 8, 2005, the deadline for such
compliance.

This update provides guidance if a region does not have an ITS project
currently implemented. Under this circumstance, the Policy indicates
that the region will have four years from entry into final design to
develop a Regional ITS Architecture. In most cases, this situation will
exist in smaller metropolitan areas. Most states have developed a
statewide architecture and are using this architecture to cover
statewide systems and systems for smaller areas.

**Recommended FTA Position:**

Grantees will be allowed to submit for funding grants that include ITS
components, even if the region does not have a locally adopted Regional
ITS Architecture or the State does not have an adopted Statewide ITS
Architecture. The locally adopted ITS Architecture, however, must
include the ITS components that are part of the grant application. FTA
will award the grant with the following conditions:

**[Situation I]{.underline}**. The region has existing ITS projects.

Case 1. If no locally adopted Regional or Statewide Architecture exists,
then

a.  The grantee removes the ITS components from the grant or

b.  The grantee includes the ITS components in the grant and the FTA
    imposes a draw-down condition that requires a locally adopted
    Regional or Statewide Architecture prior to payment of funds for the
    ITS components

Case 2. If the grantee's ITS components are not part of the currently
adopted Regional or

Statewide Architecture, then

a.  The grantee removes the ITS components from the grant or

b.  FTA places a draw-down condition that requires a locally adopted
    Regional or Statewide Architecture, which includes the grantee's ITS
    components, prior to payment of funds for the ITS components

[**Situation II**.]{.underline} The region (highway or transit project)
has not implemented a highway or transit

> ITS project before the time of the current grant application.

a.  The grantee is informed that it has four years from entry into final
    design to develop a regional ITS architecture or

b.  The grantee is informed that instead of developing its own Regional
    ITS Architecture, it should include its project in a Statewide ITS
    Architecture if such an Architecture exists

FTA grants that include ITS components vary widely in the number of ITS
components, ranging from as little as five percent of total cost to 100
percent of total cost. FTA must be able to work with our grantees to
ensure that funding for the entire public transportation system is
available. Placing a draw-down condition on the grant at issue, gives
FTA the ability to ensure that no Federal funding for ITS is provided to
our grantees unless the Regional ITS Architecture is complete and
includes the grantee's ITS projects.

If a grant is 100 percent ITS and if the project funds currently are not
lapsing, then the regional office has the ability to delay the award of
the grant until the Regional ITS Architecture is complete. If funding
soon will lapse, then the grant will be awarded with a draw-down
condition.

**Contact Information:**

Barbara Sisson, Associate Administrator for Research, Demonstration and
Innovation, <barbara.sisson@fta.dot.gov>

Susan E. Schruth, Associate Administrator for Program Management,
<susan.schruth@fta.dot.gov>

2

**References:**

1*. Transportation Equity Act for the 21^st^ Century* (TEA-21), PL
105-178, Section 5206(e)

2\. 23 USC Section 502, Surface Transportation Research

3\. *Federal Register*: *FTA National ITS Architecture Policy for
Transit Projects*, January 2,

2001 (Volume 66, No. 5, pp. 1455-1459)

4\. *FTA National ITS Architecture Consistency Policy for Transit
Projects, Additional Grantee*

*Guidance*, January 2, 2003.

**Effective Date: April 1, 2005**

3

**FTA ITS Architecture Policy Implementation Statement**

**Guidance Statement on**

**Treatment of Grants with Intelligent Transportation Systems
Components**

**and Required Transportation Electronic Award and Management** **(TEAM)
Input**

**Issue Summary:**

*How should FTA treat information required in TEAM for grant awards
including Intelligent Transportation Systems (ITS)?*

**Background and Justification:**

The FTA National ITS Architecture Consistency Policy for Transit
Projects was issued on January 2, 2001. The policy requires that
Intelligent Transportation Systems projects funded by the Highway Trust
Fund and the Mass Transit Account conform to a locally adopted Regional
ITS Architecture. The policy is based on a TEA-21 requirement that ITS
projects funded by the Highway Trust Fund and the Mass Transit Account
comply with *Intelligent Transportation System Architecture and
Standards; Final Rule* as well as to the United States Department of
Transportation (DOT)-adopted ITS standards.

Since issuing the policy, FTA has provided training, as well as review
and oversight for projects subject to the policy requirements. On
January 2, 2003, FTA issued *FTA National ITS Architecture Consistency
Policy for Transit Projects, Additional Grantee Guidance* to provide
additional clarification of the policy and help grantees move toward
policy compliance. At that time, FTA stated an intention to provide
guidance updates as circumstances necessitated. This document is one
such update intended to fully prepare grantees for compliance with the
ITS Architecture Policy by April 8, 2005, the deadline for such
compliance.

FTA grants that include ITS components vary widely in the number of ITS
components, ranging from as little as five percent of total cost to 100
percent of total cost. For projects, such as New Starts or major bus
purchases, ITS components generally are part of the grant, but are very
small and usually not identified in an activity line item. In order to
ensure that we are meeting the ITS Architecture requirements, FTA must
be able to determine whether or not ITS components are part of the
grant. The grantee, therefore, must be required to describe the ITS
components in the project and use the non-add scope codes as necessary.

This policy implementation statement will enhance the grantee's
certifications and assurances at the time of grant submission. Grantees
could check the ITS Architecture self-certification in TEAM, even if the
grant does not include ITS. The self-certification statement, therefore,
does not provide enough information and does not provide definitive
evidence that the grant contains ITS components.

**Recommended FTA Position:**

This update provides guidance about entering information about ITS
projects in the TEAM system.

To indicate that a grant application includes ITS, grantees are required
to do the following with their TEAM applications:

1.  Check the Self-Certification in TEAM, certifying compliance with the
    FTA National ITS Architecture Consistency Policy for Transit
    Projects.

2.  Insert in the project description field a statement that a Regional
    or Statewide ITS Architecture exists and that the ITS components in
    the grant are part of the that architecture or

3.  Insert in the project description field that a Regional or Statewide
    ITS Architecture does not exist and state that development of such
    an architecture has begun and is expected to be complete on what
    date.

4.  Use the non-add scope codes in the project budget to identify the
    ITS components that are part of the grant

5.  Insert in the project description field a statement that a systems
    engineering process is being used to develop the ITS components of
    the project.

FTA staff, who award grants in TEAM, are required to monitor inclusion
of the above information in the grant application. FTA staff must verify
compliance by inserting the following statement in the review and
concurrence field in TEAM:

1.  ITS Architecture requirements met

2.  ITS Architecture requirements not met, grant draw-down condition
    applied

**Contact Information:**

Barbara Sisson, Associate Administrator for Research, Demonstration and
Innovation, <barbara.sisson@fta.dot.gov>

Susan E. Schruth, Associate Administrator for Program Management,
<susan.schruth@fta.dot.gov>

**References:**

1\. Transportation Equity Act for the 21^st^ Century (TEA-21), PL
105-178, Section 5206(e)

2\. 23 USC Section 502, Surface Transportation Research

3\. *Federal Register*: F*TA National ITS Architecture Policy for
Transit Projects.*

January 2, 2001 (Volume 66, No. 5, pp. 1455-1459)

**Effective Date: April 1, 2005**

2

## FTA ITS Architecture Policy Implementation Statement

**Guidance Statement on**

**Treatment of Systems Engineering Requirements for**

**Intelligent Transportation Systems**

**Issue Summary:**

*How should FTA treat the monitoring of grantees and the requirement to
use a systems engineering process for the development of ITS projects?*

**Background and Justification:**

The FTA National ITS Architecture Consistency Policy for Transit
Projects was issued on January 2, 2001. The policy requires that
Intelligent Transportation Systems projects funded by the Highway Trust
Fund and the Mass Transit Account conform to a locally adopted Regional
ITS Architecture. The policy is based on a TEA-21 requirement that ITS
projects funded by the Highway Trust Fund and the Mass Transit Account
comply with *Intelligent Transportation System Architecture and
Standards; Final Rule* as well as to the United States Department of
Transportation (DOT)-adopted ITS standards.

Since issuing the policy, FTA has provided training, as well as review
and oversight for projects subject to the policy requirements. On
January 2, 2003, FTA issued *FTA National ITS Architecture Consistency
Policy for Transit Projects, Additional Grantee Guidance* to provide
additional clarification of the policy and help grantees move toward
policy compliance. At that time, FTA stated an intention to provide
guidance updates as circumstances necessitated. This document is one
such update intended to fully prepare grantees for compliance with the
ITS Architecture Policy by April 8, 2005, the deadline for such
compliance.

Grantees are required to use a systems engineering process for the
development of ITS projects. At the time of grant award, the grantee
must state in the project description field of TEAM that a systems
engineering process is being used for the development of the ITS
project. This statement provides sufficient evidence of compliance with
the requirement at the time of grant award. The FTA ITS Architecture
Policy states that FTA will use its normal oversight procedures,
including risk assessment, triennial reviews, and program management
oversight, to monitor compliance with the policy. FTA will use the
triennial review and project management process to monitor the use of a
systems engineering process for the development of the project.

**Recommended FTA Position**:

FTA has developed a tool that can be used by grantees to document their
use of a systems engineering process**.** The one-page worksheet allows
grantees to document answers to the seven questions in the policy to
elicit information necessary to illustrate the use of a systems
engineering process.

The systems engineering review form will be made available on the FTA
website, provided to grantees at the time of grant award, and
distributed to grantees by the triennial review contractors prior to
conducting a triennial review.

If the grantee is not able, at the time of a grant award, to confirm
that a systems engineering process will be used, then a grant award
condition that requires the use of a systems engineering process for the
ITS components of the grant will be imposed.

The ITS Architecture Policy requires a systems engineering process that
is commensurate with the project size and scope; therefore, if a grant
condition is placed on the award, then the regional program manager
would request a completed systems engineering review form on a project
by project basis. In most cases, the completed form would be presented
during a triennial or quarterly review; however, the regional program
manager can request earlier submission of the form.

Grantees may use other means to document their use of a systems
engineering process for the development of ITS projects at the time of
the triennial review. That documentation must show that the seven-step
process has been followed.

The use of a systems engineering process by grantees is a requirement in
the policy for all ITS projects. The requirement is not intended to be
onerous, but instead to facilitate good practice for the deployment of
ITS. The scope of the effort to conduct the analysis may very depending
on the size and scope of the project. The Policy indicates that the
level of detail provided should be commensurate with the scope of the
effort. When a systems engineering process is not used, often times the
project results in a system that does not provide the functionality that
a grantee needs.

Generally, the level of detail required in documentation that the system
engineering process is being used generally is greater than that
provided for other projects funded through FTA grants. As a result, FTA
determined that monitoring the use of this process at the time of grant
award is not feasible. In many cases, too, at the time of award, the
systems engineering process has just begun. FTA has created a systems
engineering review form to allow grantees to document that they are
following the seven-step system engineering process.

**Contact Information:**

Barbara Sisson, Associate Administrator for Research, Demonstration and
Innovation, <barbara.sisson@fta.dot.gov>

Susan E. Schruth, Associate Administrator for Program Management,
<susan.schruth@fta.dot.gov>

2

**References:**

1\. Transportation Equity Act for the 21^st^ Century (TEA-21), PL
105-178, Section 5206(e)

2\. 23 USC Section 502, Surface Transportation Research

3\. *Federal Register: FTA National ITS Architecture Policy for Transit
Projects*. January 2,

2001 (Volume 66, No. 5, pp. 1455-1459)

4\. Systems Engineering Review Form

**Effective Date:** April 1, 2005

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