[Federal Register Volume 65, Number 102 (Thursday, May 25, 2000)]
[Notices]
[Pages 34002-34004]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-12913]



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Part VI





Department of Transportation





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Federal Transit Administration



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Request for Comment on the Federal Transit Administration National ITS 
Architecture Consistency Policy for Project Development; Notice

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

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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.

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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 self-addressed, 
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:


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    <bullet> Foster integration.
    <bullet> Encourage the incorporation of ITS into the 
transportation planning process, and
    <bullet> 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:

    <bullet> Provide requirements for ITS project development for 
projects implemented wholly or partially with highway trust funds.
    <bullet> 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.
    <bullet> Engage stakeholders (state DOT's, transit agencies, 
public safety agencies, other transportation operating agencies).
    <bullet> Enable electronic information and data sharing among 
stakeholders.
    <bullet> Facilitate future expansion capability of the 
transportation infrastructure.
    <bullet> Foster interoperability.
    <bullet> 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: Secs. 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:

    <bullet> Unique regional ITS initiatives (a program of related 
projects) that are multi-jurisdictional and/or multi-modal,
    <bullet> ITS projects that affect regional integration of ITS 
systems, and
    <bullet> 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 inter-

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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:

    <bullet> 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.
    <bullet> 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).
    <bullet> 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.
    <bullet> 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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