[Federal Register Volume 65, Number 102 (Thursday, May 25, 2000)]
[Proposed Rules]
[Pages 33994-34000]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-13023]



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Part V





Department of Transportation





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Federal Highway Administration



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23 CFR Parts 655 and 940



Intelligent Transportation System Architecture and Standards; Proposed 
Rule

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

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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.

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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 <a href="/cdn-cgi/l/email-protection#670c170a2712090e131e490904141249020312"><span class="__cf_email__" data-cfemail="bad1cad7facfd4d3cec394d4d9c9cf94dfdecf">[email protected]</span></a>. 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

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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)--Secs. 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

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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 multi-modal),
    (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.

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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

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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 programs-transportation, Highways and 
roads, Incorporation by reference, Signs and symbols, Traffic 
regulations.

23 CFR Part 940

    Design standards, Grant programs-transportation, 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.

[[Page 33999]]

Subpart D--[Removed]

    2. Remove subpart D of part 655, consisting of Secs. 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.


Sec. 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.


Sec. 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.


Sec. 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.


Sec. 940.7  Applicability.

    All ITS projects that are funded in whole or in part with the 
highway trust fund are subject to these provisions.


Sec. 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.


Sec. 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:

[[Page 34000]]

    (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.


Sec. 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.


Sec. 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 Secs. 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 Sec. 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 Sec. 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 Secs. 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]
BILLING CODE 4910-22-P


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