34002 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Notices

DEPARTMENT OF TRANSPORTATION

Federal Transit Administration

[FTA Docket No. FTA–99–6417]

Request for Comment on the Federal

Transit Administration National ITS

Architecture Consistency Policy for

Project Development

AGENCY: Federal Transit Administration

(FTA), DOT.

ACTION: Notice.

SUMMARY: The Federal Transit

Administration (FTA) announces a

Request for Comment on the proposed

FTA National ITS Architecture

Consistency Policy for project

development, which is defined in this

document and in the Statewide

Transportation Planning; Metropolitan

Transportation Planning Notice of

Proposed Rulemaking (NPRM published

separately in today’s Federal Register).

The Metropolitan and Statewide

Planning Process, as it relates to ITS

projects, is summarized in this notice

for clarity. However, comments on the

planning process should be directed to

Docket No. FHWA–99–5933, docket for

the NPRM. Comments on the project

development policy, including answers

to the questions asked in Section X,

should be submitted to this docket. The

Major Capital Investments rule, when

made final, will also reference the

National ITS Architecture Policy. The

National ITS Architecture Policy

statement is a product of statutory

changes made by the Transportation

Equity Act for the 21st Century (TEA–

21) (P.L. 105–178) enacted on June 9,

1998. This notice proposes to require

development of an ITS regional

architecture, consisting of a concept of

operations and a conceptual design,

which draws from the National ITS

Architecture but is tailored to address

the local situation and ITS investment

needs. This notice also proposes to

require use of applicable standards and

interoperability tests adopted by the

United States Department of

Transportation (US DOT). The proposal

recommends the use of the National ITS

Architecture and provisional standards

and interoperability tests.

DATES: Comments shall be submitted by

August 23, 2000.

ADDRESSES: All signed, written

comments must refer to the docket

number appearing at the top of this

document and must be submitted to the

Docket Clerk, U.S. DOT Dockets, Room

PL–401, 400 Seventh Street, SW,

Washington, DC 20590–0001. All

comments received will be available for

examination at the above address

between 9 a.m. and 5 p.m., e.t., Monday

through Friday, except Federal holidays.

Those desiring notification of receipt of

comments must include a selfaddressed, stamped envelope or

postcard.

FOR FURTHER INFORMATION CONTACT: For

Technical Information: Ron Boenau,

Chief, Advanced Public Transportation

Systems Division (TRI–11), at (202)

366–0195 or Brian Cronin, Advanced

Public Transportation Systems Division

(TRI–11), at (202) 366–8841. For Legal

Information: Linda Sorkin, Office of the

Chief Council (202) 366–1936. The FTA

is located at 400 Seventh Street, SW,

Washington, DC 20590. This notice is

posted on the FTA website on the

Internet under http://www.fta.dot/gov.

Electronic Access

Internet users may access all

comments received by the U.S. DOT

Dockets, Room PL–401, by using the

universal resource locator (URL): http:/

/dms.dot.gov. It is available 24 hours

each day, 365 days each year. Please

follow the instructions online for more

information and help.

An electronic copy of this document

may be downloaded using a computer,

modem and suitable communications

software from the Government Printing

Office’s Electronic Bulletin Board

Service at (202) 512–1661. Internet users

may reach the Office of the Federal

Register’s home page at: http://

www.nara.gov/fedreg and the

Government Printing Office’s web page

at: http://www.access.gpo.gov/nara.

Contents

I. Definitions

II. Background

III. Statewide and Metropolitan Planning

Processes

IV. ITS Regional Architecture

V. ITS Projects

VI. Documentation

VII. Phasing

VIII. Oversight

IX. FTA Guidance

X. Questions

I. Definitions

Intelligent Transportation Systems

(ITS), as defined in TEA–21, means

electronics, communications, or

information processing used singly or in

combination to improve the efficiency

or safety of a surface transportation

system.

ITS Integration Strategy means a

systematic plan for coordinating and

implementing ITS investments funded

with highway trust funds to achieve an

integrated regional transportation

system.

ITS project means any project that, in

whole or in part, funds the acquisition

of technologies or systems of

technologies (e.g. computer hardware or

software, traffic control devices,

communications links, electronic fare

payment system, passenger information

system, and automatic vehicle location

system) that provide or contribute to the

provision of one or more ITS user

services as defined in the ITS National

ITS Architecture.

ITS Regional Architecture means a

regional framework for ensuring

institutional agreement and technical

integration of technologies for the

implementation of projects or groups of

projects under an ITS Integration

Strategy.

National ITS Architecture (also

‘‘national architecture’’) means a

common framework for ITS integration

and interoperability. The National ITS

Architecture comprises the logical

architecture and physical architecture

that satisfy a defined set of user

services. The logical architecture

defines the functions and information

flows, and guides the development of

functional requirements for new

systems and improvements. The

physical architecture defines how the

system should provide the required

functionality defined in the logical

architecture.

A region is a geographical area that is

based on local needs for sharing

information and coordinating

operational strategies in order to address

transportation problems. The size of the

region should be chosen to optimize

integration of transportation systems by

fostering the exchange of information on

operating conditions across ITS systems

and across a number of agencies and

jurisdictions.

II. Background

Section 5206(e) of TEA–21 requires

that the Secretary of the DOT must

‘‘Ensure that intelligent transportation

system projects carried out using funds made

available from the Highway Trust Fund,

* * * conform to the national architecture,

applicable standards or provisional

standards, and protocols developed under

subsection(a).’’

On October 2, 1998, the DOT issued

Interim Guidance on Conformity with

the National ITS Architecture and

Standards. The Interim Guidance

reflects input received from Federal,

State, local, and private sector

transportation stakeholders in

conjunction with the national

transportation association forums and

10 outreach sessions held across the

Nation in the spring of 1998. The intent

of the Interim Guidance is to:

Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Notices 34003

• Foster integration.

• Encourage the incorporation of ITS into

the transportation planning process, and

• Focus on near-term ITS projects with the

greatest potential for affecting regional

integration.

The Interim Guidance is available on

the DOT website at www.its.dot.gov, and

will remain in effect until the adoption

of a final policy. The National ITS

Architecture Policy presented in this

proposal reflects comments from the

transportation industry on the Interim

Guidance.

The objectives for the FTA’s National

ITS Architecture Policy for project

development are to:

• Provide requirements for ITS project

development for projects implemented

wholly or partially with highway trust funds.

• Achieve system integration (e.g. seamless

traveler information system that

electronically combines traveler information

data from multiple transportation agencies in

a region) for projects funded through the

highway trust fund with all other projects

contained in the ITS Integration Strategy.

• Engage stakeholders (state DOT’s, transit

agencies, public safety agencies, other

transportation operating agencies).

• Enable electronic information and data

sharing among stakeholders.

• Facilitate future expansion capability of

the transportation infrastructure.

• Foster interoperability.

• Save design time through use of the

National ITS Architecture.

FTA has developed this proposed

policy to meet the TEA–21 requirement

contained in Section 5206(e) and the

DOT/FTA goal to encourage effective

deployment of ITS projects.

Additionally, DOT and FTA encourage

the coordination of local ITS strategies

and projects to help meet national and

local goals for mobility, accessibility,

safety, security, economic growth and

trade, and environment.

The National ITS Architecture

documents were developed by the US

DOT, and are updated on an as-needed

basis. The latest addition to the National

ITS Architecture is the Archive Data

User Service, which provides the ability

to store and process data over an

extended period of time. FTA is

pursuing the addition of a Rail ITS user

service within the National ITS

Architecture. New versions of the

documents, when they are issued, will

be available from the US DOT in hard

copy and electronic format on the DOT

website at www.its.dot.gov. Version 3.0

is the latest version of the National ITS

Architecture.

III. Statewide and Metropolitan

Planning Processes

FTA and FHWA have developed an

approach for coordinating this policy

with requirements for statewide and

metropolitan transportation planning

processes. The proposed approach,

contained in the Statewide

Transportation Planning; Metropolitan

Transportation Planning NPRM

(published elsewhere in today’s Federal

Register), explains how ITS is proposed

to be integrated into the planning

process. The Metropolitan and

Statewide Planning Process, as it relates

to ITS projects, is summarized in this

section for clarity. However, comments

on the planning process should be

directed to Docket Number FHWA–99–

5933, docket for the NPRM.

The approach in the NPRM includes

the provision that states and MPOs are

to develop a locally defined ITS

Integration Strategy to guide future

investment decisions and foster

integration and interoperability [See the

following sections: §§ 1410.104,

1410.322(b)(11), 1410.214 (a)(3), and

1410.216(c)(8)]. Included in

development of the strategy, at a

minimum, are highway, transit, and

public safety agencies, appropriate

federal lands agencies, state motor

carrier agencies as appropriate, and

other operating agencies necessary to

fully address ITS integration. The

Integration Strategy shall assess existing

and future ITS systems, functions and

electronic information sharing

expectations. Unique regional ITS

initiatives shall be identified in the

Integration Strategy. Under the section

for planning agreements [See Section

1410.310(i)], the NPRM also calls for an

agreement among the MPO, the state

DOT, the transit operator, and other

agencies identified in the Integration

Strategy. This agreement shall address

policy and operational issues, including

at a minimum ITS project

interoperability, utilization of ITS

related standards, and the routine

operation of the projects identified in

the ITS Integration Strategy.

IV. ITS Regional Architecture

The proposed requirements contained

in this section have been developed to

facilitate the interoperability of projects

funded through the highway trust fund

(including the mass transit account)

with other projects included in the ITS

Integration Strategy. FTA proposes the

development of an ITS Regional

Architecture for implementing the ITS

Integration Strategy per 49 CFR

1410.322(b)(11) and 1410. 214(a)(3) to

guide the development of specific

projects and programs. The FTA

proposes to require that the ITS

Regional Architecture conform with the

applicable ITS Integration Strategy. This

proposal suggests that the National ITS

Architecture shall be used as a resource

in the development of the ITS Regional

Architecture.

The ITS Regional Architecture may be

developed either as an initial project

development effort and updated as

projects are initiated, or the ITS

Regional Architecture may be developed

incrementally as major ITS investments

are initiated and updated with

subsequent projects.

Major ITS investments include the

following three project categories:

• Unique regional ITS initiatives (a

program of related projects) that are multijurisdictional and/or multi-modal,

• ITS projects that affect regional

integration of ITS systems, and

• Projects which directly support national

interoperability.

In either case, it is proposed that

provision should be made to include

participation from all agencies with

which information-sharing is planned as

specified in the ITS Integration Strategy.

This proposal recommends that the

ITS Regional Architecture include, at a

minimum and scalable to the size of the

region, the following:

A. A concept of operations

addressing: The roles and

responsibilities of participating agencies

and existing or required agreements for

operations and resources required to

support the project;

B. A conceptual design sufficient to

support subsequent project design

regarding system functional

requirements; interface requirements

and information exchanges with

planned and existing systems and

subsystems (for example, subsystems

and architecture flows as defined in the

National ITS Architecture);

identification of key standards

supporting national interoperability,

including uniformity and compatibility

of equipment, practices, and procedures

to deliver ITS services; and, it must

establish a priority of phases or steps

required for implementation.

ITS projects that are considered to be

major ITS investments are proposed to

have an ITS project architecture

developed that includes a concept of

operations and conceptual design as

defined above. The ITS project

architecture could then serve as the

initial ITS Regional Architecture, or if

an ITS Regional Architecture exists,

could be used to update the existing ITS

Regional Architecture.

V. ITS Projects

This proposal recommends that all

projects funded through the highway

trust fund (including the mass transit

account) shall be consistent with the

ITS Integration Strategy, the interVerDate 11<MAY>2000 14:35 May 24, 2000 Jkt 190000 PO 00000 Frm 00003 Fmt 4701 Sfmt 4703 E:\FR\FM\25MYN3.SGM pfrm07 PsN: 25MYN3
34004 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Notices

agency agreement, and the ITS Regional

Architecture and shall be coordinated

with other ITS projects in the state/

region. Additionally, it is proposed that

the National ITS Architecture shall be

used as a resource for interoperability

and integration. This proposal

recommends that projects financed by

FTA are required to be consistent with

DOT requirements for standards and

interoperability testing as they are

officially adopted by DOT. In the

interim, grantees should use applicable

standards and testing procedures.

As proposed, the project

specifications will be required to ensure

that the project accommodates the

sharing of electronic information and

provides for the functionality and

operation (both at the time of project

implementation and in the future)

between the agencies and jurisdictions

as indicated in the ITS Integration

Strategy and/or the ITS Regional

Architecture.

VI. Documentation

This Notice proposes to require

documentation of proposed ITS

requirements be included in project

documents. Documentation will also be

required to include identification of the

portions of the ITS Regional

Architecture and/or ITS Integration

Strategy, which are implemented

through the project, and the

identification of applicable ITS

standards and/or interoperability tests

that were considered or specified in the

project. Any changes made in project

design that impact the ITS Integration

Strategy or ITS Regional Architecture

are proposed to require to be

documented. This Notice proposes that

documentation of the rationale and

interagency coordination strategies that

were carried out to agree upon certain

changes will be required to be provided

in the event that any changes are made

in the implementation of projects

contrary to the ITS Integration Strategy

or ITS Regional Architecture. In

addition, this Notice proposes that the

ITS Regional Architecture and/or ITS

Integration Strategy be required to be

updated to reflect the changes.

VII. Phasing

This proposal suggests the phasing to

be as follows:

• Prior to (insert the date two years after

date of the final policy publication in the

Federal Register) the development of an ITS

Regional Architecture and subsequent ITS

project architectures will not be required for

projects that meet the requirements for Major

ITS Investments.

• All ITS projects that involve preliminary

engineering, including system engineering,

and which advance to final design must

conform to the requirements for ITS Projects

on or before (insert effective date of final

policy).

• In the event that an applicable ITS

Integration Strategy or ITS Regional

Architecture does not exist, the applicable

portions of the National ITS Architecture will

be required to be identified and used as the

basis for analysis.

• All National ITS Architecture

Consistency Policy requirements will be

required to apply on (insert date two years

after effective date of final policy).

VIII. Oversight

This Notice proposes to require

grantees to self-certify that they have

met the National ITS Architecture

consistency requirements. Existing FTA

Oversight procedures will be used to

verify self-certifications. FTA has

allocated FTA Oversight funds from the

fiscal year 1999 oversight budget to be

used to provide the initial oversight and

technical assistance to grantees

regarding this policy.

IX. FTA Guidance

FTA will develop appropriate

guidance materials regarding the

National ITS Architecture consistency

requirements upon completion of the

Statewide Transportation Planning;

Metropolitan Transportation Planning

NPRM process and after the comment

period regarding this policy.

X. Questions

In order to facilitate focused

comments, FTA is asking the following

questions regarding the proposed

National ITS Architecture Consistency

Policy for Project Development.

1. Do reviewers understand the

definition of a major ITS investment as

defined in Section IV, ‘‘ITS Regional

Architecture,’’ or is more clarification

needed, and if so please explain?

2. Do reviewers understand the

definition of an ITS project, or is more

clarification needed, and if so please

explain?

3. Do reviewers understand the

difference between a major ITS

investment, and an ITS project, or is

more clarification needed, and if so

please explain?

4. Are the requirements for

development of a Regional Architecture

clear? If not, what is not clear about the

requirement?

5. What additional guidance, if any, is

required to explain how to implement

this proposed policy?

6. The proposed rule allows regions to

develop a Regional Architecture as a

separate activity, or incrementally as

major ITS investments are developed

within a region. Do reviewers anticipate

particular difficulties with

implementing and documenting either

approach?

7. Do reviewers understand the

relationships between the Integration

Strategy, the ITS Regional Architecture,

and the ITS Project Architecture?

8. What additional guidance, if any, is

required regarding phasing of this rule?

9. Are the oversight and

documentation requirements clear? If

not, what is not clear about the

requirements?

Issued on: May 18, 2000.

Nuria I. Fernandez,

Acting Administrator.

[FR Doc. 00–12913 Filed 5–19–00; 1:15 pm]

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