Source: https://ops.fhwa.dot.gov/its_arch_imp/archrule_final_1.htm
Timestamp: 2019-03-20 01:10:52
Document Index: 697656289

Matched Legal Cases: ['arts 655', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940', 'ART 655', 'art 655', '§ 655', 'ART 940', '§ 940', '§ 940', '§ 940', '§ 940', '§ 940']

Federal Register - ITS Architecture Implementation - FHWA Operations
23 CFR Parts 655 and 940
[FHWA Docket No. FHWA-99-5899]
RIN 2125-AE65
SUMMARY: The purpose of this document is to issue a final rule to implement section 5206(e) of the Transportation Equity Act for the 21st Century (TEA-21), enacted on June 9, 1998, which required 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, this rule requires that the National ITS Architecture be used to develop a local implementation of the National ITS Architecture, which is referred to as a "regional ITS architecture." Therefore, conformance with the National ITS Architecture is defined under this rule as development of a regional ITS architecture within four years after the first ITS project advancing to final design, and the subsequent adherence of ITS projects to the regional ITS architecture. The regional ITS architecture is based on the National ITS Architecture and consist of several parts including the system functional requirements and information exchanges with planned and existing systems and subsystems and identification of applicable standards, and would be tailored to address the local situation and ITS investment needs.
FOR FURTHER INFORMATION CONTACT: For technical information: Mr. Bob Rupert, (202) 366-2194, Office of Travel Management (HOTM-1) and Mr. Michael Freitas, (202) 366-9292, ITS Joint Program Office (HOIT-1). 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.
You may submit or retrieve comments online through the Docket Management System (DMS) at: http//dmses.dot.gov/submit. Acceptable formats include: MS Word (versions 95 to 97), MS Word for Mac (versions 6 to 8), Rich Text Format (RTF), American Standard Code Information Interchange (ASCII)(TXT), Portable Document Format (PDF), and WordPerfect (version 7 to 8). The DMS is available 24 hours each day, 365 days each year. Electronic submission and retrieval help and guidelines are available under the help section of the web site.
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 also reach the Office of the Federal Register's home page at http://www.nara.gov/fedreg [Link no longer active] and the Government Printing Office's web page at: http://www.access.gpo.gov/nara [Link no longer active]. The document may also be viewed at the DOT's ITS web page at http://www.its.dot.gov.
In the NPRM on this rule, the FHWA had proposed that the regional ITS architecture follow from the ITS integration strategy proposed in another NPRM entitled "Statewide Transportation Planning; Metropolitan Transportation Planning" published at 65 FR 33922 on May 25, 2000. That rule is being developed according to a different schedule and will be issued separately. For this reason, all references to the proposed integration strategy have been removed from this rule. However, it is still the intent of this rule that regional ITS architectures be based on established, collaborative transportation planning processes. The other major changes to the final rule relate to options for developing a regional ITS architecture and the time allowed to develop such an architecture. Additional changes to the final rule largely deal with clarification of terms, improved language dealing with staging and grandfathering issues, and clarification of use of ITS standards.
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 provides assistance with technical design. It saves considerable design time because physical and logical architectures are already defined.
Information flows and process specifications are defined in the National ITS Architecture, allowing local governments to accelerate the process of defining system functionality.
The architecture identifies standards that will support interoperability now and into the future, but it leaves selection of technologies to local decision makers.
The architecture provides a sound engineering framework for integrating multiple applications and services in a region.
Section 940.3 Definitions
ITS Project. There were 34 comments submitted to the docket concerning the definition of an ITS project. Many of the commenters felt the definition was not clear enough, was too broad, or was too subject to interpretation. Some comments questioned how much of a project's budget would have to be spent on ITS before a project would be considered an ITS project. Some suggested specific language to more narrowly define an ITS project by focusing on the portion of the overall project that is actually ITS or by suggesting language that would narrow the definition of an ITS project to only include projects which introduce new or changed integration opportunities.
Other Definitions. There were 20 comments suggesting that other terms used in the NPRM be defined. These included "interoperability," "standards," "concept of operations," "conceptual design," and "integration strategy." Several of these are no longer used in the final rule and, therefore, were not defined. Other terms, such as "interoperability" and "standards," were determined to be common terms whose definition did not effect the implementation of the final rule. Furthermore, language regarding standards conformity has been clarified in the body of the final rule.
Section 940.5 Policy
Given the fact that proposed revisions to the FHWA's transportation planning rules are being developed according to a different schedule, this rule has been revised to remove any references to an integration strategy. Comments regarding the integration strategy will be addressed in the final transportation planning rule, and the discussion of the regional ITS architecture in § 940.9 has been revised to clarify its content.
Section 940.7 Applicability
Section 940.9 Regional ITS Architecture
Most commenters were in agreement with the content of the regional ITS architecture as defined in the proposed rule. However, there were 19 comments that dealt with confusion over the definition of both "conceptual design" and "concept of operations." In addition, there were 17 other comments on the makeup of the stakeholders, involvement of the private sector, and the need and desirability of "agreements" between stakeholders.
The comments indicated confusion regarding the development of regional ITS architectures, and especially so in discussing the period of time for their development. Therefore, the final rule has clarified the time period for developing regional ITS architectures by adopting the proposed extension to four years subsequent to beginning to deploy ITS projects (§ 940.9(c)), or four years from the effective date of this rule for those areas that are currently deploying ITS projects (§ 940.9(b)). In clarifying the time for development, this rule has eliminated any references to specific methods for developing regional ITS architectures. By not prescribing any methods, the rule provides flexibility to a region in deciding how it should develop its regional ITS architecture. Guidance and information related to developing regional ITS architectures is available from FHWA Division Offices and from the ITS web site, http://www.its.dot.gov, and will be expanded to provide assistance in meeting the intent of the rule.
Both the terms "conceptual design" and "concept of operations" have been deleted from the final rule. In their stead are descriptions of the content that is expected to form the basis for a regional ITS architecture. This content has not significantly changed from that defined in the NPRM but is now contained in § 940.9(d). The level of detail required is to the architecture flow level as defined in the National ITS Architecture. The regional ITS architecture must identify how agencies, modes, and systems will interact and operate if the architecture is to fulfill the objective of promoting ITS integration within a region.
The relevant stakeholders for a region will vary from region to region. The list articulated in § 940.9(a) is representative only and not meant to be inclusive or exclusive. On the specific issue of private sector participation, if the private sector is deploying ITS systems in a region or otherwise providing an ITS-based service, it would be appropriate to engage them in the development of a regional ITS architecture. Because of these variations from region to region, the FHWA felt it inappropriate to attempt to define an all inclusive list of stakeholders. The group of relevant stakeholders will be a function of how the region is defined and how transportation services are provided to the public. Section 940.9(d)(4) specifies that in the development of the regional ITS architecture, it shall include "any agreements (existing or new) required for operations." The formalization of these types of agreements is at the discretion of the region and participating stakeholders.
There were 14 comments from a broad range of organizations questioning how existing regional ITS architectures, strategic plans or ITS Early Deployment Plans would be treated under this rule. It is the intent of the FHWA that any existing ITS planning documents should be used to the extent practical to meet the requirements of this rule. If a regional ITS architecture is in place, is up to date, and addresses all the requirements of a regional ITS architecture as described in this rule, there is no requirement to develop a "new" one. If the existing regional ITS architecture does not address all the requirements of the rule, it may be possible to update it so that it meets the regional ITS architecture requirements of this rule. What is necessary is that the end result is an architecture that meets the requirements of this rule and properly addresses the ITS deployments and integration opportunities of that region. This issue is specifically addressed in § 940.9(e) of this rule.
There were five comments related to the impact of this rule on legacy systems (i.e., ITS systems already in place) and requesting some sort of "grandfathering" for them. The language in § 940.11(g) of the final rule clarifies the grandfathering or staging aspects of the process. The final rule does not require any changes or modifications to existing systems to conform to the National ITS Architecture. It is very likely that a regional ITS architecture developed by the local agencies and other stakeholders would call for changes to legacy systems over time to support desired integration. However, such changes would not be required by the FHWA; they would be agreed upon by the appropriate stakeholders as part of the development of the regional ITS architecture.
Conformance with the National ITS Architecture is interpreted to mean the use of the National ITS Architecture to develop a regional ITS architecture, and the subsequent adherence of all ITS projects to that regional ITS architecture. This rule requires that the National ITS Architecture be used as a resource in developing a regional ITS architecture.
The FHWA did not define the responsibility for either creating or maintaining the regional ITS architecture to a specific entity because of the diversity of transportation agencies and their roles across the country. It is recognized that in some regions traditional State and MPO boundaries may not meet the needs of the traveling public or the transportation community. This is also why the FHWA did not rigidly define a region. The FHWA encourages MPOs and States to include the development of their regional ITS architectures as part of their transportation planning processes. However, the decision is best left to the region to determine the approach that best reflects their needs, as indicated in § 940.9. It is clear that the value of a regional ITS architecture will only be realized if that architecture is maintained through time. However, in accepting Federal funds under title 23, U.S.C., the State is ultimately responsible for complying with Federal requirements, as provided in 23 U.S.C. 106 and 133.
The final rule addresses this concern on two primary levels, in the development of the regional ITS architecture and the development of individual projects. Section 940.9(d)(4) specifies that in the development of the regional ITS architecture, it shall include "any agreements (existing or new) required for operations." The formalization of these types of agreements is at the discretion of the region and participating stakeholders.
Also, relative to operations and management at a project level, § 940.11(c)(7) specifies that the systems engineering analysis (required of all ITS projects) includes "procedures and resources necessary for the operations and management of the system."
Section 940.11 Project Implementation
To clarify these portions of the rule, the systems engineering and project implementation sections of the NPRM have been combined into § 940.11, Project Implementation. Also, paragraphs that were in the regional ITS architecture section of the NPRM that discussed major ITS projects and the requirements for developing project level ITS architectures have been rewritten to clarify their applicability. Since these paragraphs deal with project development issues, they have been moved to § 940.11(e). A definition for "project level ITS architecture" was added in § 940.3 and a description of its contents provided in § 940.11(e).
In response to the docket comments, the definition of systems engineering in § 940.3 has been clarified and is more consistent with accepted practice. In order to provide consistency in the regional ITS architecture process, the systems engineering analysis detailed in §§ 940.11(a) through 940.11(c) must apply to all ITS projects regardless of size or budget. However, the analysis should be on a scale commensurate with project scope. To allow for the greatest flexibility at the State and local level, in § 940.11(c), a minimum number of elements have been clearly identified for inclusion in the systems engineering analysis. Many of those elements are currently required as provided in 23 CFR 655.409, which this rule replaces. Recognizing the change in some current practices this type of analysis will require, the FHWA intends to issue guidance, training, and technical support in early 2001 to help stakeholders meet the requirements of the final rule.
Fifty-three comments were submitted regarding ITS standards and interoperability tests. The commenters expressed concern about requiring the use of ITS standards and interoperability tests prematurely, the impact on legacy systems of requiring ITS standards, and confusion regarding the term "adopted by the DOT."
In response to the comments, the FHWA has significantly modified the final rule to eliminate reference to the use of standards and interoperability tests prior to adoption in § 940.11(f). Section 940.11(g) addresses the applicability of standards to legacy systems. It is not the intent of the DOT to formally adopt any standard before the standard is mature; and also, not all ITS standards should, or will, be formally adopted by the DOT. Formal adoption of a standard means that the DOT will go through the rulemaking process, including a period of public comment, for all standards that are considered candidates for adoption.
The standard has been approved by a Standard Development Organization (SDO).
The standard has been successfully tested in real world applications as appropriate.
The standard has received some degree of acceptance by the community served by the standard.
Products exist to implement the standard.
There is adequate documentation to support the use of the standard.
There is training available in the use of the standard where applicable.
Section 940.13 Project Administration
In § 940.13 of the final rule, the FHWA has attempted to clarify the process for determining conformance. Conformance of an ITS project with a regional ITS architecture shall be made prior to authorization of funding for project construction or implementation as provided in 23 U.S.C. 106 and 133. We do not intend to create new oversight procedures beyond those provided in 23 U.S.C. 106 and 133, but in those cases where oversight and approval for ITS projects is assumed by the State, the State will be responsible for ensuring compliance with this regulation and the FHWA's oversight will be through existing processes.
Additionally, this rule requires that all ITS projects be developed using a systems engineering analysis. All ITS projects that have not yet advanced to final design are required to conform to the system engineering requirements in § 940.11 upon the effective date of this rule. Any ITS project that has advanced to final design by the effective date of this rule is exempt from the requirements of § 940.11. When the regional ITS architecture is completed, project development will be based on the relevant portions of it which the project implements. Prior to completion of the regional ITS architecture, major ITS projects will develop project level ITS architectures that are coordinated with the development of the regional ITS architecture. ITS projects will be required to use applicable ITS standards and interoperability tests that have been 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.
The FHWA has determined that this action is not a significant regulatory action within the meaning of Executive Order 12866 or significant within the meaning of the Department of Transportation=s regulatory policies and procedures. It is anticipated that the economic impact of this rulemaking will be minimal. This determination is based upon preliminary and final regulatory assessments prepared for this action that indicate that the annual impact of the rule will not exceed $100 million nor will it adversely affect the economy, a sector of the economy, productivity, jobs, the environment, public health, safety, or State, local, or tribal governments. In addition, the agency has determined that these changes will not interfere with any action taken or planned by another agency and will not materially alter the budgetary impact of any entitlements, grants, user fees, or loan programs. Copies of the preliminary and final regulatory assessments are included in the docket.
The FHWA prepared a preliminary regulatory evaluation (PRE) for the NPRM and comments were solicited. That analysis estimated the total costs of this rule over 10 years to be between $38.1 million and $44.4 million (the net present value over 10 years was between $22.3 million and $31.2 million). The annual constant dollar impact was estimated to range between $3.2 million and $4.4 million. We believe that the cost estimates as stated in the PRE are negligible. The FHWA received only one comment in response to the PRE. That commenter, the Capital District Transportation Committee of Albany, NY suggested that our cost estimates were too low, but provided no further detail or rationale which would cause us to reconsider or increase our cost estimates in the initial regulatory evaluation.
In the FRE, the agency estimates the cost of this rule to be between $15.8 million an $23.2 million over ten years, which are the estimated costs of this rule to implementing agencies for the development of the regional architectures. These costs do not include any potential additional implementation costs for individual projects which are expected to be minimal and were extremely difficult to estimate. Thus, the costs to the industry are less than that originally estimated in the agency's NPRM.
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 and has determined that this action will not have a significant economic impact on a substantial number of small entities. Small businesses and small organizations are not subject to this rule, which applies to government entities only. Since § 940.9(a) of this rule provides for regional ITS architectures to be developed on a scale commensurate with the scope of ITS investment in the region, and § 940.11(b) provides for the ITS project systems engineering analysis to be on a scale commensurate with the project scope, compliance requirements will vary with the magnitude of the ITS requirements of the entity. Small, less complex ITS projects have correspondingly small compliance documentation requirements, thereby accommodating the interest of small government entities. Small entities, primarily transit agencies, are accommodated through these scaling provisions that impose only limited requirements on small ITS activities. For these reasons, the FHWA certifies that this action will not have a significant impact on a substantial number of small entities.
Design standards, Grant programs-transportation, Highways and roads, Incorporation by reference, Signs and symbols, Traffic regulations.
Design standards, Grant programs-transportation, Highways and roads, Intelligent transportation systems.
PART 655--[AMENDED]
Subpart D--[Removed and reserved]
2. Remove and reserve subpart D of part 655, consisting of §§ 655.401, 655.403, 655.405, 655.407, 655.409, 655.411.
SUBCHAPTER K--INTELLIGENT TRANSPORTATION SYSTEMS
PART 940--INTELLIGENT TRANSPORTATION SYSTEM ARCHITECTURE AND
§ 940.1 Purpose.
§ 940.5 Policy.
§ 940.7 Applicability.
(b) Any region that is currently implementing ITS projects shall have a regional ITS architecture by [Insert date 30 days after publication in the Federal Register plus 48 months].
(g) Any ITS project that has advanced to final design by [Insert the effective date of this rule] is exempt from the requirements of paragraphs (d) through (f) of this section.
§ 940.13 Project administration.
(a) Prior to authorization of highway trust funds for construction or implementation of ITS projects, compliance with § 940.11 shall be demonstrated.