33994 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

23 CFR Parts 655 and 940

[FHWA Docket No. FHWA–99–5899]

RIN 2125–AE65

Intelligent Transportation System

Architecture and Standards

AGENCY: Federal Highway

Administration (FHWA), DOT.

ACTION: Notice of proposed rulemaking

(NPRM); request for comments.

SUMMARY: The FHWA proposes to

implement section 5206(e) of the

Transportation Equity Act for the 21st

Century (TEA–21), enacted on June 9,

1998, requiring Intelligent

Transportation System (ITS) projects

funded through the highway trust fund

to conform to the National ITS

Architecture and applicable standards.

Because it is highly unlikely that the

entire National ITS Architecture would

be fully implemented by any single

metropolitan area or State, the FHWA

proposes in this NPRM (the ITS

Architecture NPRM) that the National

ITS Architecture be used to develop a

local implementation of the National

ITS Architecture, which is referred to as

an ‘‘ITS regional architecture.’’

Therefore, conformance with the

National ITS Architecture is defined

under this proposal as development of

an ITS regional architecture based on

the National ITS Architecture, and the

subsequent adherence of ITS projects to

the ITS regional architecture. The ITS

regional architecture would consist of a

concept of operations and a conceptual

design, which would draw from the

National ITS Architecture, but would be

tailored to address the local situation

and ITS investment needs. The ITS

regional architecture follows from the

ITS integration strategy developed in

another NPRM entitled ‘‘Statewide

Transportation Planning; Metropolitan

Transportation Planning’’ also

published in today’s Federal Register.

In this NPRM, the FHWA proposes the

use of the system engineering process

and applicable standards and

interoperability tests adopted by the

DOT.

DATES: Written comments must be

received on or before August 23, 2000.

For dates of public information

meetings see SUPPLEMENTARY

INFORMATION.

ADDRESSES: Signed, written comments

should refer to the docket number that

appears at the top of this document and

must be submitted to the Docket Clerk,

U.S. DOT Dockets, Room PL–40, 400

Seventh Street, SW, Washington, D.C.

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 self-addressed, stamped

envelope or postcard. For addresses of

public information meetings see

SUPPLEMENTARY INFORMATION.

FOR FURTHER INFORMATION CONTACT: For

technical information: Mr. Bob Rupert,

(202) 366–2194, Office of Travel

Management (HOTM–1) and Mr. Mike

Freitas, (202) 366–9292, ITS Joint

Program Office. For legal information:

Mr. Wilbert Baccus, Office of the Chief

Counsel (HCC–32), (202) 366–1346,

Federal Highway Administration, 400

Seventh Street, SW., Washington, D.C.

20590. Office hours are from 8 a.m. to

4:30 p.m., e.t., Monday through Friday,

except Federal holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access

Internet users may access all

comments received by the US 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 by 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.

The document may also be viewed at

the DOT’s ITS home page at http://

www.its.dot.gov.

Public Information Meetings

The DOT will hold a series of seven

public briefings within the comment

period for the NPRM. The purposes of

these briefings is to explain the content

of the NPRM and encourage public

input to the final rulemaking. The

meetings will address this NPRM, a

companion NPRM on the metropolitan

and statewide planning process (FHWA

RIN 2125–AE62; FTA RIN 2132–AA66),

and the NPRM entitled, ‘‘NEPA

[National Environmental Policy Act of

1969] and Related Procedures for

Transportation Decisionmaking,

Protection of Public Parks, Wildlife and

Waterfowl Refuges, and Historic Sites’’

(NEPA/NPRM; FHWA RIN 2125–AE64;

FTA RIN 2132–AA43). The meetings

will be scheduled from approximately

8:00 a.m. to 5:00 p.m. at the locations

listed below. Changes in the information

below will be made available after the

publication of this NPRM through the

FHWA and the FTA websites, other

public announcement avenues and the

newsletters and websites of major

stakeholder groups. Individuals wishing

information but without access to these

sources may contact the individuals

listed above.

The structure of the meetings will

emphasize brief presentations by the

DOT staff regarding the content of the

NPRMs. A period for clarifying

questions will be provided. Under

current statutory and regulatory

provisions, the DOT staff will not be

permitted to engage in a substantive

dialog regarding what the content of the

NPRMs and the final regulations should

be. Attendees wishing to express ideas

and thoughts regarding the final content

of the rules should direct those

comments to the docket. Briefing sites

will include: Boston, MA, Auditorium,

Volpe National Transportation Systems

Center, 55 Broadway, June 9, 2000;

Atlanta, GA, Westin Peachtree Plaza

Hotel, 210 Peachtree Street, June 20,

2000; Washington, D.C., Marriott Metro

Center, 775 12th Street NW, June 23,

2000; Chicago, IL, Holiday Inn Mart

Plaza, 350 North Orleans Street, June 27,

2000; Denver, CO, Marriott City Center,

1701 California Street, June 30, 2000;

Dallas, TX, Hyatt Regency Dallas, 300

Reunion Boulevard, July 11, 2000; and

San Francisco, CA, Radisson Miyako,

1625 Post Street, July 19, 2000.

As part of the outreach process

planned for these proposed rules, the

FHWA/FTA will be conducting a

national teleconference on June 15, 2000

from 1–4 p.m. eastern time, through the

auspices of the Center for

Transportation and the Environment at

North Carolina State University. The

teleconference will be accessible

through numerous downlink locations

nationwide and further information can

be obtained from Katie McDermott at

kpm@unity.ncsu.edu. The purpose of

the teleconference is to describe the

proposed new statewide and

metropolitan planning, National

Environmental Policy Act (NEPA)

implementation, and Intelligent

Transportation Systems (ITS) rules. An

overview of each of the three Notices of

Proposed Rulemaking (NPRMs) will be

presented and the audience (remote and

local) will have opportunities to ask

questions and seek clarification of

Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules 33995

FHWA/FTA proposals. By sponsoring

this teleconference it is hoped that

interest in the NPRMs is generated, that

stakeholders will be well informed

about FHWA/FTA proposals, and that

interested parties will participate in the

rulemaking process by submitting

written suggestions, comments and

concerns to the docket.

Introduction

Section 5206(e) of the TEA–21, Public

Law 105–178, 112 Stat. 107, at 457,

requires ITS projects funded through the

highway trust fund to conform to the

National ITS Architecture, applicable or

provisional standards, and protocols.

The proposed implementing

regulations for this provision of law are

contained in two NPRMs. The first

NPRM for revisions to the Statewide

and Metropolitan transportation

planning processes, 23 CFR part 1410,

published separately in today’s Federal

Register, contains language specific to

ITS projects pertaining to

implementation of section 5206(e)—

§§ 1410.104 (Definition of ITS

Integration Strategy), 1410.310(g)

(Agreements), 1410.322(b)(11) (Plan and

Integration Strategy Content), 1410.214

(a)(3), and 1410.216(c)(8) (State

Transportation Improvement Program

Content). The second NPRM concerning

the ITS Architecture would add part 940

to subchapter K to implement section

5206(e) of TEA–21. The FHWA believes

the proposed rules, 23 CFR parts 1410

and 940, would implement the

legislative requirement for conforming

to the national architecture and

standards.

Background

Intelligent transportation systems

represent the application of information

processing, communications

technologies, advanced control

strategies, and electronics to the field of

transportation. Information technology

in general is most effective and cost

beneficial when systems are integrated

and interoperable. The greatest benefits

in terms of safety, efficiency, and costs

are realized when electronic systems are

systematically integrated to form a

whole in which information is shared

with all and systems are interoperable.

In the transportation sector,

successful ITS integration and

interoperability require addressing two

different and yet fundamental issues;

that of technical and institutional

integration. ‘‘Technical integration’’ of

electronic systems is a complex issue

that requires considerable up-front

planning and meticulous execution for

electronic information to be stored and

accessed by various parts of a system.

‘‘Institutional integration’’ involves

coordination between various agencies

and jurisdictions to achieve seamless

operations and/or interoperability. In

order to achieve effective institutional

integration of systems, agencies and

jurisdictions must agree on the benefits

of ITS and the value of being part of an

integrated system. They must agree on

roles, responsibilities, and shared

operational strategies. Finally, they

must agree on standards and, in some

cases, technologies and operating

procedures to ensure interoperability. In

some instances, there may be multiple

standards that could be implemented for

a single interface. In this case, agencies

will need to agree on a common

standard or agree to implement a

technical translator that will allow

dissimilar standards to interoperate.

This coordination effort is a

considerable task that will happen over

time, not all at once. Transportation

organizations, such as, transit

properties, State and local

transportation agencies, and

metropolitan planning organizations

must be fully committed to achieving

institutional integration in order for

integration to be successful. The

transportation agencies must also

coordinate with agencies for which

transportation is a key, but not a

primary part of their business, such as,

emergency management and law

enforcement agencies.

Successfully dealing with both the

technical and institutional issues

requires a high-level conceptual view of

the future system and careful,

comprehensive planning. The

framework for the system is referred to

as the ‘‘architecture.’’ The architecture

defines the system components, key

functions, the organizations involved,

and the type of information shared

between organizations and parts of the

system. The architecture is, therefore,

fundamental to successful system

implementation, integration, and

interoperability.

The National ITS Architecture

The Intermodal Surface

Transportation Efficiency Act of 1991,

Public Law 102–240, 105 Stat. 1914,

initiated Federal funding for the ITS

program. The program at that time was

largely focused on research and

development and operational tests of

technologies. A key part of the program

was the development of the ‘‘National

ITS Architecture.’’ The National ITS

Architecture provides a common

structure for the design of ITS systems.

The architecture defines the functions

that could be performed to satisfy user

requirements and how the various

elements of the system might connect to

share information. It is not a system

design, nor is it a design concept.

However, it does define the framework

around which multiple design

approaches can be developed, each one

specifically tailored to meet the needs of

the user, while maintaining the benefits

of a common approach. The National

ITS Architecture, Version 3.0 can be

obtained from the ITS Joint Program

Office of the DOT in CD–ROM format

and on the ITS web site http://

www.its.dot.gov. The effort to develop a

common national system architecture to

guide the evolution of ITS in the United

States over the next 20 years and

beyond has been managed since

September 1993 by the FHWA. The

National ITS Architecture describes in

detail what types of interfaces should

exist between ITS components and how

they will exchange information and

work together to deliver the given ITS

user service requirements. The National

ITS Architecture and standards can be

used to guide multi-level government

and private-sector business planners in

developing and deploying nationally

compatible systems. By ensuring system

compatibility, the DOT hopes to

accelerate ITS integration nationwide

and develop a strong, diverse

marketplace for related products and

services.

It is highly unlikely that the entire

National ITS Architecture will be fully

implemented by any single metropolitan

area or State. For example, the National

ITS Architecture contains information

flows for an Automated Highway

System that is unlikely to be part of

most regional implementations.

However, the architecture has

considerable value as a framework for

local governments in the development

of regional architectures by identifying

the many functions and information

sharing opportunities that may be

desired. It can assist local governments

with both of the key elements—

technical interoperability and

institutional coordination.

The National ITS Architecture,

because it aids in the development of a

high-level conceptual view of a future

system, can assist local governments in

identifying applications that will

support their future transportation

needs. From an institutional

coordination perspective, the National

ITS Architecture helps local

transportation planners to identify other

stakeholders who may need to be

involved and to identify potential

integration opportunities. From a

technical interoperability perspective,

the National ITS Architecture provides

a logical and physical architecture and

33996 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules

process specifications to guide the

design of a system. The National ITS

Architecture also identifies interfaces

where standards may apply, further

supporting interoperability.

Transportation Equity Act for the 21st

Century

As noted above, section 5206(e) of the

TEA–21 requires ITS projects funded

from the highway trust fund to conform

to the National ITS Architecture,

applicable or provisional standards, and

protocols. The purpose of the statute is

to accelerate the deployment of

interoperable ITS systems. Use of the

National ITS Architecture provides

significant benefits to local

transportation planners and deployers

as follows:

1. The National ITS Architecture

provides assistance with technical

design. It saves considerable design time

because physical and logical

architectures are already defined.

2. Information flows and process

specifications are defined in the

National ITS Architecture, allowing

local governments to accelerate the

process of defining system functionality.

3. The architecture identifies

standards that will support

interoperability now and into the future,

but it leaves selection of technologies to

local decisionmakers.

4. The architecture provides a sound

engineering framework for integrating

multiple applications and services in a

region.

Transportation Planning Process

The existing transportation planning

processes under titles 23 and 49, U.S.C.,

require a continuing, comprehensive,

and coordinated approach to assessing

transportation needs, evaluating a range

of solutions, and providing a

coordinated response through

transportation investments. The TEA–21

further emphasizes operations and

management of the transportation

network as a key consideration in

transportation planning. The

transportation planning process is

currently institutionalized through

statewide and metropolitan planning.

Effective implementation of ITS

requires careful and comprehensive

planning. This notice of proposed

rulemaking and the accompanying

NPRM on Statewide and Metropolitan

Transportation Planning, published

separately in today’s Federal Register,

propose changes to 23 CFR part 1410

and explains how ITS would be

integrated into the planning process.

The ITS would become part of the

transportation planning process through

the locally defined ITS Integration

Strategy. This ITS integration strategy

would guide future investment

decisions and foster integration and

interoperability. Developing the strategy

as part of the overall transportation

planning process would ensure that ITS

is given appropriate consideration as a

solution for future transportation needs

and services.

Consequently, the DOT is issuing an

NPRM (23 CFR part 1410), published

separately in today’s Federal Register,

that proposes to incorporate ITS into the

transportation planning process for both

metropolitan and statewide planning (in

addition to other changes needed to

implement the TEA–21). The proposed

provisions specific to ITS are set forth

in 23 CFR 1410.104, 1410.214(a)(3),

1410.310(g), and 1410.322(b)(11). A

summary of the proposed revisions

follows:

During the development of the

metropolitan and/or statewide

transportation plan, if ITS applications

are envisioned, the transportation plan

shall address an ITS integration strategy.

Provision shall be made to include

participation of key operating agencies

in the development of the integration

strategy. The ITS integration strategy

shall clearly assess existing and future

ITS systems, including their functions

and information sharing expectations.

Planning for ITS shall produce an

agreement among the Metropolitan

Planning Organizations (MPOs), State

DOTs, transit operators and other

agencies which addresses policy and

operational issues affecting the

successful implementation of the ITS

integration strategy. The policy

statement shall address provisions to

ensure ITS project interoperability,

utilization of ITS related standards, and

the routine operation of the projects.

Further, as provided in proposed 23

CFR 1410.322 (b)(11), the transportation

plan shall identify:

(1) Major regional ITS initiatives (a

program of related projects that are

multi-jurisdictional and/or multimodal),

(2) ITS projects of a scale to affect

regional integration of ITS systems, and

(3) ITS projects that directly support

national interoperability.

Project Development Process

The ITS integration strategy that is

part of the transportation plan would be

general in content, articulating key

policies and a vision for the planning

area. More detailed conceptual designs

and operational procedures, as agreed

upon by key stakeholders, are necessary

to support project development. This

proposed rule seeks to implement this

approach as part of the project

development process. There are two

distinct sections to the proposal. The

first deals with development of an ITS

regional architecture that lays the

foundation for integration in a

metropolitan planning area or State. The

second deals with final project design

and ensuring conformance to both the

ITS integration strategy and the ITS

regional architecture.

Summary of Proposed Requirements

I. The ITS Regional Architecture

This NPRM on the ITS Architecture

and Standards would require

development of a local implementation

of the National ITS Architecture referred

to as an ITS regional architecture that is

consistent with the ITS integration

strategy. The ITS regional architecture

would be tailored to meet local needs,

meaning that it may not address the

entire National ITS Architecture and

may also address services not included

by the National ITS Architecture. The

ITS regional architecture may be

developed either through an initial

regional development effort or

incrementally as major ITS investments

are anticipated. In either case, the ITS

regional architecture should contain a

concept of operations and a conceptual

design that addresses the integration of

new ITS projects as they are advanced.

In this context, a ‘‘region’’ is a

geographical area that is based on local

needs for sharing information and

coordinating operational strategies

among multiple projects. A region can

be specified at a metropolitan,

statewide, multi-State, or corridor level.

While ‘‘regions’’ for ITS development

may be at any geographic scale,

responsibility for planning rests with

either the MPO or State planning

process. For ITS purposes, a region is

any geographic area designated by the

planning process. The responsible

planning entity (MPO or State) will

address the ITS region and ITS

planning. Where ITS regions cross

planning boundaries, they should be

coordinated by the appropriate planning

entities (MPOs or States). For ITS

Commercial Vehicle Operation projects,

the size of the region should not be

smaller than a State, with consideration

for multi-State, national, and

international applications. A regional

approach promotes integration of

transportation systems. The size of the

region should reflect the breadth of the

integration of transportation systems

and may be at a metropolitan, statewide,

multi-State or corridor level.

Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules 33997

II. Project Development

Additionally, the proposed

regulations would require that all ITS

projects be developed using a system

engineering process, again

recommending the use of the National

ITS Architecture as a resource. Project

development would be based on the

relevant portions of the ITS integration

strategy and the ITS regional

architecture which the project

implements. ITS projects would be

required to use applicable ITS standards

that have been officially adopted by the

DOT and applicable interoperability

tests officially adopted by the DOT.

Where multiple standards exist, it will

be the responsibility of the stakeholders

to determine how best to achieve the

interoperability they desire.

III. FHWA Project Oversight Procedures

The FHWA project oversight

procedures would remain consistent

with routine Federal-aid project

oversight. Documentation of the

proposed ITS requirements would be

required to be included in project

documents. Any changes made in

project design that impact either the ITS

integration strategy or the ITS regional

architecture would be documented and

the appropriate revisions made and

agreed to in the ITS integration strategy

and/or the ITS regional architecture. All

ITS projects that advance to design or

preliminary engineering would be

required to conform to the system

engineering and conformity

requirements immediately upon the

effective date of a final rule on the

National ITS Architecture and

Standards. In the event that an

applicable ITS regional architecture or

ITS integration strategy does not exist,

the applicable portions of the National

ITS Architecture would be identified

and used as the basis for analysis. All

requirements of this proposal would

apply for two years from the effective

date of a final rule. Replacement of

existing systems would not be required.

IV. Outreach Process

In the spring of 1998, the FHWA held

ten nationwide outreach meetings on a

proposed conceptual approach for

ensuring consistency with the National

ITS Architecture. These meetings were

intended to generate discussion and

solicit input from the perspective of

many different transportation

stakeholders on the feasibility of the

proposed FHWA approach. Meetings

were attended by representatives of

Federal, State, local and regional

transportation agencies, public sector

agencies that rely on Federal-aid funds

for projects with ITS components, and

interested parties from universities and

the private sector. In general,

stakeholders expressed the opinion that

the interim guidance and the use of

system engineering principles represent

good practice. Stakeholders expressed a

requirement for straightforward,

unambiguous guidance that could be

implemented with a minimum of

additional paperwork, and largely

agreed that the interim guidance met

this requirement. For more information

please see ‘‘National ITS Architecture

Consistency Outreach Meetings:

Summary Findings (1998)’’ which is

included as part of this docket.

Rulemaking Analyses and Notices

All comments received before the

close of business on the comment

closing date shown above will be

considered and will be available for

examination in the docket at the above

address. Comments received after the

comment closing date will be filed in

the FHWA docket identified above and

will be considered to the extent

practicable, but the FHWA may issue a

final rule at any time after the close of

the comment closing period. In addition

to late comments, the FHWA will also

continue to file in the docket relevant

information that becomes available after

the comment closing date, and

interested persons should continue to

examine the docket for new material.

Executive Order 12866 (Regulatory

Planning and Review) and DOT

Regulatory Policies and Procedures

The FHWA has preliminarily

determined that this proposed action is

not a significant regulatory action under

Executive Order 12866 and within the

meaning of the Department of

Transportation regulatory policies and

procedures. This determination is based

upon the regulatory assessment of the

proposed rule that indicates that the

annual impact of the rule would not

exceed $100 million nor would it

adversely affect the economy, a sector of

the economy, productivity, jobs, the

environment, public health, safety, or

State, local, or tribal governments.

The FHWA has prepared a

preliminary regulatory evaluation (PRE)

to accompany the NPRM. A copy of the

PRE is included in the docket. The

FHWA believes that this proposed

action would implement the

requirements of section 5206(e) of the

TEA–21. Although this law requires ITS

projects funded through the highway

trust fund to conform to the National

ITS Architecture, the FHWA would

require development of a regional

architecture consisting of a concept of

operations and a conceptual design, and

would require use of the system

engineering process, applicable or

provisional standards, and protocols,

and interoperability tests developed by

the DOT. In developing the proposed

rule, the FHWA has sought to allow

broad discretion to those entities

impacted by the rule, in levels of

response and approach, that are

appropriate to particular plans and

projects while conforming to the

requirements of TEA–21. The FHWA

has considered the costs and benefits of

effective implementation of ITS through

careful and comprehensive planning.

ITS becomes part of the transportation

planning process through the locally

defined ITS Integration Strategy. This

ITS strategy would guide future

investment decisions and foster the

benefits of integration and

interoperability. Developing the strategy

as part of the overall transportation

planning process would ensure that ITS

is given appropriate consideration as a

solution for future transportation needs

and services.

Costs

The total costs of this NPRM over 10

years is estimated between $38.1

million and $44.4 million (the net

present value over 10 years is between

$22.3 million and $31.2 million). The

annual constant dollar impact is

estimated to range between $3.2 million

and $4.4 million. These 10-year cost

estimates include transportation

planning cost increases, to MPOs

ranging from $10.8 million to $13.5

million, and to States from $5.2 million

to $7.8 million. Estimated costs to

implementing agencies for the

development of regional architectures

range between $15.8 million and $23.2

million.

These costs do not include additional

implementation costs for individual

projects as commenters found the

additional cost extremely difficult to

estimate. Those who responded

suggested that the increased cost of

project implementation over current

good practice would be minimal.

However, because of the limited amount

of data available on the additional

implementation costs for individual

projects, the FHWA is seeking

additional data on this issue from

commenters to this NPRM.

Benefits

The anticipated non-monetary

benefits derived include savings from

the avoidance of duplicative

development, reduced overall

development time, and earlier detection

of potential incompatibilities. As with

33998 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules

project implementation impacts, the

benefits of the NPRM are very difficult

to quantify in monetary terms. It is

estimated that the coordination

guidance provided through

implementation of the NPRM can

provide savings of approximately

$150,000 to any potential entity seeking

to comply with the requirements of

section 5206(e) of the TEA–21 as

compared with an entity having to

undertake compliance individually. The

costs may be offset by benefits derived

from the reduction of duplicative

deployments, reduced overall

development time, and earlier detection

of potential incompatibilities.

In order to assist the FHWA’s analysis

of costs and benefits for the final rule

stage, the FHWA requests that

commenters provide additional

information on the following questions:

(1) Are there implementation costs to

project designers and operators not

properly represented in the present

data?

(2) Are there updating and

maintenance costs to any of the

impacted entities not properly reflected

in the present data?

A detailed discussion of how the

FHWA prepared its estimates is

provided in this NPRM for interested

parties that are not able to review the

PRE.

Regulatory Flexibility Act

In compliance with the Regulatory

Flexibility Act (5 U.S.C. 601–612), the

FHWA has evaluated, through the

regulatory assessment, the effects of this

action on small entities (small

businesses, small organizations, and

local governments) and determined that

this action will not have a significant

impact on small entities. Small

businesses and small organizations are

not subject to this NPRM, which applies

to government entities only. The rule

accommodates small governmental

entities in two significant ways. First,

the planning component of the NPRM

would apply to MPOs and States. An

MPO is the required transportation

planning organization for an urbanized

area (23 CFR part 1410). An urbanized

area, as defined in 23 U.S.C. 101, has a

population of 50,000 or more. Therefore

small government agencies for areas

having populations of less than 50,000

would not be affected. Secondly, the

self-scaling aspect of the ITS

Architecture NPRM would permit the

compliance requirements to vary with

the magnitude of the ITS requirements

of the entity (small ITS projects have

correspondingly small compliance

documentation requirements). Small

entities, primarily transit agencies,

coming within the project

implementation component of the

proposed rule would be accommodated

through this self-scaling feature that

imposes only limited requirements on

small ITS activities. This same feature

would also provide accommodation to

MPOs that, while larger than the small

entity definition of the Regulatory

Flexibility Act, have only small ITS

planning requirements. Accordingly, the

FHWA preliminarily certifies that this

proposed action would not have a

significant impact on a substantial

number of small entities. A copy of the

analysis on the small entity impact is

provided in the docket file.

Unfunded Mandates Reform Act of

1995

This rule would not impose a Federal

mandate resulting in the expenditure by

State, local, and tribal governments, in

the aggregate, or by the private sector, of

$100 million or more in any one year.

(2 U.S.C. 1531 et seq.).

Executive Order 13132 (Federalism)

This action has been analyzed in

accordance with the principles and

criteria contained in Executive Order

13132, dated August 4, 1999, and it has

been determined that this action does

not have a substantial direct effect or

sufficient federalism implications on

States that would limit the

policymaking discretion of the States.

Nothing in this document directly

preempts any State law or regulation.

Executive Order 12372

(Intergovernmental Review)

Catalog of Federal Domestic

Assistance Program Number 20.205,

Highway planning and construction.

The regulations implementing Executive

Order 12372 regarding

intergovernmental consultation on

Federal programs and activities apply to

this program.

Executive Order 12988 (Civil Justice

Reform)

This proposed action would meet

applicable standards in sections 3(a)

and 3(b)(2) of Executive Order 12988,

Civil Justice Reform, to minimize

litigation, eliminate ambiguity, and

reduce burden.

Executive Order 13045 (Protection of

Children)

We have analyzed this action under

Executive Order 13045, Protection of

Children from Environmental Health

Risks and Safety Risks. This proposed

rule is not economically significant and

does not concern an environmental risk

to health or safety that may

disproportionately affect children.

Executive Order 12630 (Taking of

Private Property)

This proposed rule would not effect a

taking of private property or otherwise

have taking implications under

Executive Order 12630, Governmental

Actions and Interference with

Constitutionally Protected Property

Rights.

Paperwork Reduction Act

This proposed action does not contain

information collection requirements for

the purposes of the Paperwork

Reduction Act of 1995, 44 U.S.C. 3501–

3520.

National Environmental Policy Act

The agency has analyzed this

proposed action for the purposes of the

National Environmental Policy Act of

1969, as amended (42 U.S.C. 4321), and

has preliminarily determined that this

proposed action would not have any

effect on the quality of the environment.

Regulation Identification Number

A regulation identification number

(RIN) is assigned to each regulatory

action listed in the Unified Agenda of

Federal Regulations. The Regulatory

Information Service Center publishes

the Unified Agenda in April and

October of each year. The RIN contained

in the heading of this document can be

used to cross reference this proposed

action with the Unified Agenda.

List of Subjects

23 CFR Part 655

Design standards, Grant programstransportation, Highways and roads,

Incorporation by reference, Signs and

symbols, Traffic regulations.

23 CFR Part 940

Design standards, Grant programstransportation, Highways and roads,

Intelligent transportation systems.

Issued on: May 18, 2000.

Vincent F. Schimmoller,

Acting Executive Director, Federal Highway

Administration.

In consideration of the foregoing, the

FHWA proposes to amend Chapter I of

title 23, Code of Federal Regulations, as

set forth below:

PART 655—[AMENDED]

1. Revise the authority citation for

part 655 to read as follows:

Authority: 23 U.S.C. 101(a), 104, 105, 109,

114, 135, 217, 315, and 402; and 49 CFR 1.48.

Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules 33999

Subpart D—[Removed]

2. Remove subpart D of part 655,

consisting of §§ 655.401, 655.403,

655.407, 655.409, 655.411.

3. Add a new subchapter K, consisting

of part 940, to read as follows:

SUBCHAPTER K—INTELLIGENT

TRANSPORTATION SYSTEMS

PART 940—INTELLIGENT

TRANSPORTATION SYSTEM

ARCHITECTURE AND STANDARDS

Sec.

940.1 Purpose.

940.3 Definitions.

940.5 Policy.

940.7 Applicability.

940.9 ITS regional architecture.

940.11 Systems engineering analysis.

940.13 Project implementation.

940.15 Project administration.

Authority: 23 U.S.C. 101, 109, 315, and

508; sec 5206(e), Pub. L. 105–178, 112 Stat.

457 (23 U.S.C. 502 note); and 49 CFR 1.48.

§ 940.1 Purpose.

The purpose of this regulation is to

provide policies and procedures relating

to the Federal-aid requirements for

intelligent transportation systems (ITS)

projects funded through the highway

trust fund.

§ 940.3 Definitions.

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 link, fare payment

system, automatic vehicle location

system, etc.) that provide or contribute

to the provision of one or more ITS user

services as defined in the National ITS

Architecture.

ITS regional architecture means a

regional framework for ensuring

institutional agreement and technical

integration 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

interoperability. The National ITS

Architecture comprises the logical

architecture and physical architecture

which satisfy a defined set of user

services. All of these documents are

controlled by the FHWA, and are

updated on an as-needed basis. New

versions of the documents, when they

are issued, will be available from the

FHWA in hard copy and electronic

format on the DOT web site at http://

www.its.dot.gov.

Region is the 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.

Systems engineering is the process to

arrive at a final design of a system

which is selected from a number of

alternatives that would accomplish the

same objectives. As in most disciplines,

there are usually a number of technical

solutions to a set of requirements. This

process considers the total life cycle of

the project in the evaluation of

alternatives including not only the

technical merit of potential solutions,

but also the costs and relative value of

the alternatives that are responsive to

the needs of the customer.

§ 940.5 Policy.

The ITS projects shall conform to the

National ITS Architecture and standards

in accordance with the regulations

contained in 23 CFR part 1410.

Conformance with the National ITS

Architecture is interpreted to mean the

use of the National ITS Architecture in

developing a local implementation of

the National ITS Architecture, referred

to as an ITS regional architecture, and

the subsequent adherence of all ITS

projects to that ITS regional

architecture. Development of the ITS

regional architecture begins with the

transportation planning process and the

development of an ITS integration

strategy for Statewide and Metropolitan

Transportation Planning.

§ 940.7 Applicability.

All ITS projects that are funded in

whole or in part with the highway trust

fund are subject to these provisions.

§ 940.9 ITS regional architecture.

(a) An ITS regional architecture shall

be developed for implementing the ITS

integration strategy as provided in 23

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

to guide the development of specific

projects and programs. The ITS regional

architecture shall conform with the

applicable ITS integration strategy. The

National ITS Architecture shall be used

as a resource in the development of the

ITS regional architecture.

(b) 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. In either case,

provision shall be made to include

participation from all agencies with

which information-sharing is planned as

specified in the ITS integration strategy.

(c) The ITS regional architecture shall

include, at a minimum, the following:

(1) A ‘‘concept of operations’’ that

addresses the roles and responsibilities

of participating agencies, existing or

required agreements for operations, and

resources required to support the

project, in order to implement the ITS

integration strategy;

(2) A ‘‘conceptual design’’ sufficient

to support subsequent project design

regarding the following:

(i) System functional requirements;

(ii) 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);

(iii) Identification of key standards

supporting regional and national

interoperability, including uniformity

and compatibility of equipment,

practices and procedures to deliver ITS

services; and

(iv) A prioritization of phases or steps

required in implementation.

(d) 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 investment s

are initiated and updated with

subsequent projects. If the ITS regional

architecture is developed incrementally,

the ITS projects meeting the criteria

specified in 23 CFR 1410.322(b)(11)

shall have an ITS architecture at the

project level in order to advance to

design or preliminary engineering. The

ITS architectures developed for specific

individual projects or initiatives that

meet these criteria shall be coordinated

with each other to form an ITS regional

architecture.

§ 940.11 Systems engineering analysis.

(a) All ITS projects shall be based on

a systems engineering analysis. The

National ITS Architecture is a resource

that should be used in the development

of ITS projects.

(b) The analysis should be on a scale

commensurate with the project scope.

The basic elements of the analysis are as

follows:

34000 Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 / Proposed Rules

(1) Identification of applicable parts of

the ITS regional architecture or ITS

integration strategy;

(2) Preliminary analysis, including

project objectives, existing systems

resources, existing and future personnel

and budget resources for operations,

management and maintenance of

systems;

(3) Analysis of alternative system

configurations and technology options;

(4) Analysis of procurement options;

and

(5) Identification of applicable

standards and testing procedures,

particularly those that support national

interoperability.

§ 940.13 Project implementation.

(a) The project specifications shall

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.

(b) All ITS projects funded with

highway trust funds shall use applicable

ITS standards that have been officially

adopted by the United States

Department of Transportation (US

DOT).

(c) The ITS standards that are

pertinent to the project should be used

as they become available, prior to

adoption by the US DOT.

(d) All ITS projects funded with

highway trust funds shall conduct the

applicable interoperability tests that

have been officially adopted by the US

DOT.

(e) Interoperability tests that are

pertinent to the project should be used

as they become available, prior to

adoption by the US DOT.

§ 940.15 Project administration.

(a) Prior to authorization of highway

trust funds for construction or

implementation, there shall be a

demonstrated linkage to the ITS regional

architecture or to the ITS integration

strategy, and a commitment to the

operations, management and

maintenance of the overall system.

(b) Documentation of compliance

with the provisions of §§ 940.11 and

940.13 shall be developed by project

sponsors. The documentation shall

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 are specified in

the project. Documentation of the

rationale and interagency coordination

strategies that were carried out to agree

upon certain changes shall be provided

in the event that any changes are made

in the implementation of projects

contrary to the ITS regional architecture

and/or the ITS integration strategy. In

addition, the ITS regional architecture

and/or ITS integration strategy shall be

updated to reflect the changes.

(c) ITS projects shall be monitored for

compliance with this part under normal

Federal-aid project oversight

procedures.

(d) Prior to (two years after date of

final rule publication in the Federal

Register), the ITS architectures are not

required for projects that meet any of

the criteria as specified in 23 CFR

1410.322(b)(11). The criteria identify

major regional ITS initiatives, ITS

projects that affect regional integration

of ITS systems, and projects which

directly support national

interoperability.

(e) In order to ensure that each project

identified in 23 CFR 1410.322(b)(11) is

coordinated with the evolving regional

architecture provided in § 940.9(b),

these projects shall be evaluated for

institutional and technical integration

with transportation systems and

services within the region. Based upon

this evaluation of the project(s),

highway trust fund recipients shall

immediately take the appropriate

actions to ensure that the project(s)

perform the following functions:

(1) Engages a wide range of

stakeholders;

(2) Enables the appropriate electronic

information sharing between

stakeholders;

(3) Facilitates future ITS expansion;

and

(4) Uses the applicable ITS standards

provided in § 940.13(b).

(f) All ITS projects that advance to

design or preliminary engineering must

conform with the system engineering

and conformity requirements provided

in §§ 940.11 on or before (Insert effective

date of final rule). In the event that an

applicable ITS regional architecture or

ITS integration strategy does not exist,

the applicable portions of the National

ITS Architecture shall be identified and

used as the basis for analysis.

[FR Doc. 00–13023 Filed 5–19–00; 1:15 pm]

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