[Federal Register Volume 63, Number 244 (Monday, December 21, 1998)]
[Notices]
[Pages 70443-70453]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-33699]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
Federal Transit Administration
Transportation Equity Act for the 21st Century; Interim Guidance
on Conformity With the National Intelligent Transportation Systems
(ITS) Architecture and Standards
AGENCIES: Federal Highway Administration (FHWA), Federal Transit
Administration (FTA), Department of Transportation (DOT).
ACTION: Notice.
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SUMMARY: This document publishes interim implementation guidance on
section 5206(e) of the Transportation Equity Act for the 21st Century
(TEA-21), Pub. L. 105-178, 112 Stat. 107, for conformity with the
national intelligent transportation systems (ITS) architecture and
standards. Included with the interim guidance is a recommended approach
to assist in meeting the legislative intent. Following publication of
this notice, both the FHWA and the FTA plan to develop a
[[Page 70444]]
final policy through the formal rulemaking procedures. The interim
guidance was issued to the FHWA and the FTA region and division offices
on October 2, 1998.
FOR FURTHER INFORMATION CONTACT: For technical information: Ms. Shelley
Row, (202) 366-8028, or Mr. Mac Lister, (202) 366-2128, ITS Joint
Program Office, FHWA, Mr. Bob Rupert, Office of Traffic Operations and
ITS Applications, FHWA; and Mr. Ron Boenau, (202) 366-0195, Advanced
Public Transportation Systems, FTA. For legal information: Ms. Jodi
George, Office of the Chief Counsel (HCC-32), (202) 366-1346, FHWA; and
Ms. Nancy Zaczek, Office of the Chief Counsel (TCC-10), (202) 366-4011,
FTA. All are located at the U.S. Department of Transportation, 400
Seventh Street, SW., Washington, DC 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
An electronic copy of the document may be downloaded using a modem
and suitable communications software from the Government Printing
Office's Electronic Bulletin Board Service at (202) 512-1661. Internet
users may reach the Federal Register's home page at: http://
www.nara.gov/fedreg and the Government Printing Office's database at:
http://www.access.gpo.gov/nara. The interim guidance may also be
accessed at the U.S. DOT's ITS home page at http://www.its.dot.gov.
Background
Section 5206(e) of the TEA-21 requires that ITS projects using
funds from the Highway Trust Fund (including the Mass Transit Account)
conform to the national ITS architecture, applicable standards and
protocols. To begin the process of implementing this legislative
requirement, the U.S. DOT has developed interim guidance (which
includes sections on definitions, questions and answers, and statutory
language).
The intent of the interim guidance is to:
1. Foster integration of ITS,
2. Encourage the incorporation of ITS into the transportation
planning process, and
3. Focus on near-term ITS projects with the greatest potential for
affecting regional integration.
The interim guidance is effective as of October 2, 1998, and will
be in effect for approximately one year while a final policy is
developed through the formal rulemaking process. Interim guidance is
the first step of a phased approach for implementing the TEA-21
conformity provision.
The interim guidance published in this Federal Register is provided
for informational purposes on our recommended approach to implementing
the requirements for conformity to the national ITS architecture and
standards. Specific questions on any of the material published in this
notice should be directed to the appropriate contact person named in
the caption FOR FURTHER INFORMATION CONTACT.
(Authority: 23 U.S.C.; sec. 5206(e), Pub. L. 105-178, 112 Stat. 457
(1998); 49 CFR 1.48 and 1.51)
Issued on: December 14, 1998.
Kenneth R. Wykle,
Federal Highway Administration.
Gordon J. Linton,
Federal Transit Administration.
The text of the FHWA and the FTA interim guidance on conformity
with the national ITS architecture and standards, as well as the memo
that was distributed with the interim guidance, are presented as
follows:
Interim Guidance on Conformity With the National ITS Architecture
and Standards
Information: Interim Guidance on Conformity with the National ITS
Architecture and Standards
Federal Highway Administrator HVH-1
Federal Transit Administrator
FHWA Division Administrators
FTA Regional Administrators
FHWA/OMC State Directors
Section 5206(e) of the Transportation Equity Act for the 21st
Century (TEA-21) requires that Intelligent Transportation Systems (ITS)
projects using funds from the Highway Trust Fund (including the Mass
Transit Account) conform to the National ITS Architecture and
standards. To begin the process of implementing this legislative
requirement, the U.S. Department of Transportation (DOT) has developed
the attached Interim Guidance (which includes sections on definitions,
questions and answers, and statutory language).
The Interim Guidance reflects input received from Federal, State,
local, and private sector transportation stakeholders in conjunction
with national transportation association forums and 10 outreach
sessions held across the Nation this spring. The intent of the Interim
Guidance is to:
1. Foster integration,
2. Encourage the incorporation of ITS into the transportation
planning process, and
3. Focus on near-term ITS projects with the greatest potential for
affecting regional integration.
The Interim Guidance is effective immediately, and is expected to
be in effect for approximately 1 year. During this period, it is
anticipated that a final policy will be developed through formal
rulemaking. Therefore, Interim Guidance is the first step of a phased
approach for implementing the TEA-21 conformity provision.
To support U.S. DOT field staff with implementation of the Interim
Guidance, a Resource Guide has been prepared that includes the Interim
Guidance, background material on the National ITS Architecture and
Standards, benefits of using the National ITS Architecture, ITS and
Commercial Vehicle Operations, and additional supplemental information.
The Resource Guide will be distributed to members of your staff. In
addition, the Department's ITS website serves as a helpful source of
current/recently published information: www.its.dot.gov.
Interim Guidance
Consistent with the integration goals supported by the National ITS
Architecture, as you begin the process of implementing the Interim
Guidance, careful consideration of potential Y2K (Year 2000) computer
problems should be a crucial part of your efforts. As you know,
intelligent, integrated transportation systems, like most computer-
based systems, are susceptible to Y2K computer problems. Additional
information on Y2K issues specific to ITS can be found at the following
website: www.fhwa.dot.gov/y2k.
Implementation of the Interim Guidance is an important step toward
regional ITS integration. Your comments and experiences in applying the
Interim Guidance will help to shape the final policy. Your efforts in
support of implementing this Interim Guidance are appreciated.
Signed by Gordon J. Linton and Kenneth R. Wykle.
I. Introduction
The Transportation Equity Act for the 21st Century (TEA-21)
contains a provision requiring Intelligent Transportation System (ITS)
projects implemented with funds from the Highway Trust Fund (including
the Mass Transit Account) to conform to the national architecture
[National ITS Architecture], applicable or provisional standards, and
protocols. This
[[Page 70445]]
document provides Interim Guidance for meeting this section of the law
(Section 5206(e)--Conformity with National Architecture). Included with
the Interim Guidance is a recommended approach to assist in meeting the
legislative intent.
II. Background and Goals
Section 5206 of the legislation aims to accelerate the integrated
deployment of ITS in metropolitan and rural areas and in commercial
vehicle operations through the use of the National ITS Architecture or
locally developed regional architectures. The legislation also aims to
facilitate interoperability through the use of standards and protocols.
The National ITS Architecture is a tool to help agencies identify and
plan for the many functions and information sharing opportunities which
may be desired.
The greatest benefit from ITS accrues when ITS projects are planned
and designed within a broad regional context that supports the
operation and management of the transportation system. Additionally,
the development and use of a regional ITS architecture to guide the
integration of ITS projects and programs and enable information sharing
among stakeholders within an area is good, sound practice. Due to the
variety of ITS services and stakeholders, a ``region'' can be defined
as metropolitan, statewide, multi-state, and, for some applications,
national. Implementation of this legislative provision will foster
sound ITS systems planning and design practices to achieve the
following goals:
1. Involve and unite a wide range of stakeholders in planning for
ITS,
2. Support flexibility in tailoring ITS deployment and operations
to local requirements,
3. Achieve integration of ITS systems and components,
4. Enable information sharing among stakeholders,
5. Facilitate future ITS expansion in a cost-effective way, and
6. Provide for future interoperability of key ITS services at a
national level.
The achievement of these goals will ultimately be manifested in
five ways:
1. The consideration of transportation system operations and
management will be integrated into the transportation planning process
and reflected in regional transportation goals and objectives.
2. ITS strategies that effectively address regional goals and
objectives will be considered and prioritized within regional planning
efforts to promote efficient system management and operation. The
development of a regional ITS architecture will complement this
framework.
3. ITS projects will provide for all applicable information sharing
opportunities.
4. ITS projects will use open standards and protocols in support of
interoperability.
5. The National ITS Architecture will be used as a tool in regional
architecture development and project design, as appropriate.
III. Applicability and Exceptions
The processes and practices being promoted in this document are
sound practices for any project; however, listed below are the factors
that affect whether or not this Interim Guidance should be followed:
Type of Project
For the purposes of the Interim Guidance, projects are classified
into four categories:
1. Projects without ITS,
2. ITS projects that affect regional integration,
3. ITS/Commercial Vehicle Operations (CVO) projects, and
4. Other ITS projects.
Categories (2), (3), and (4) are all considered to be ITS projects.
ITS projects include both stand-alone ITS projects and projects that
contain ITS elements. (See Appendix A for definitions). The Interim
Guidance applies to all ITS projects, with particular attention to
those ITS projects that affect regional integration. In the case of
category (3), ITS/CVO projects, the Interim Guidance references other
procedures that have been developed to support Commercial Vehicle
Information Systems and Networks (CVISN) deployment. The Interim
Guidance does not apply to category (1), projects without ITS.
Funding Source
All ITS projects receiving funding in whole or in part from the
Highway Trust Fund are subject to the Interim Guidance.
Stage of Development
As of the date of issuance of the Interim Guidance, all ITS
projects that are under construction or projects for which final design
is complete are exempt from this Interim Guidance.
Legislative Exceptions
TEA-21 allows the Secretary to authorize exceptions to the
conformity requirement for projects designed to achieve specific
research objectives [as defined in Section 5206(e)(2)(A)] and for
projects to upgrade or expand an ITS in existence as of the date TEA-21
was enacted. Only those projects meeting three specific criteria are
eligible for exception as an upgrade or expansion. These criteria [as
defined in Section 5206(e)(2)(B)] are that the project:
(i) Would not adversely affect the goals or purposes of this
subtitle [Intelligent Transportation Act of 1998 (ITS Act), secs. 5201-
5213, Pub. L. 105-178, 112 Stat. 107, 452];
(ii) Is carried out before the end of the useful life of such
system; and
(iii) Is cost-effective as compared to alternatives that would meet
the conformity requirement.
TEA-21 also includes a general exception on funds used for the
operation or maintenance of an ITS in existence on the date TEA-21 was
enacted. A copy of the ITS Act goals, purposes, and exception language
is provided in Appendix C.
Meeting the intent of the TEA-21 conformity language (and this
Interim Guidance) does not in any way require replacements or
retrofitting of existing systems. Logically planned enhancements take
existing (or legacy) systems into account. Because one of the purposes
of the ITS Act is to improve regional cooperation and operations
planning, ITS projects that affect regional integration would generally
not satisfy exception criteria (i) above. If an exception is granted,
documentation of the determination and rationale should be kept in the
project files.
IV. Interim Guidance
For the period of this Interim Guidance, to ensure conformity with
the National ITS Architecture and applicable standards, the following
applies:
A. ITS Projects
1. Recipients of funds from the Highway Trust Fund for ITS projects
that affect regional integration shall evaluate those projects for
institutional and technical integration with transportation systems and
services within the region, and consistency with the applicable
regional ITS architecture or the National ITS Architecture. Based upon
this evaluation of the project(s), Highway Trust Fund recipients shall
take the appropriate actions to ensure that development of the
project(s): (a) engages a wide range of stakeholders, (b) enables the
appropriate electronic information sharing between stakeholders, (c)
facilitates future ITS expansion, and (d) considers the use of
applicable ITS standards.
2. Recipients of funds from the Highway Trust Fund for ITS/CVO
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projects should follow the ITS/CVO Conformance Assurance Process
Description to guide development of the project(s). These procedures
are provided in the National ITS Architecture and Standards Resource
Guide. Projects having a CVO technology component, but not meeting the
definition of an ITS/CVO Project, should be treated as either ITS
projects that affect regional integration or other ITS projects for the
purposes of this Interim Guidance, and are subject to (IV.A.1) above or
(IV.A.3) below.
3. Recipients of funds from the Highway Trust Fund for other ITS
projects (not deemed to affect regional integration and not defined as
ITS/CVO projects) should consider the same evaluation and actions
described in (IV.A.1) above.
B. ITS Considerations in Transportation Planning
Statewide and metropolitan planning activities should include
consideration of the efficient management and operation of the
transportation system. This should include the regional implementation
and integration of ITS services and development of a regional ITS
architecture(s), as appropriate. Regional consideration of ITS should
address (a) the integration of ITS systems and components, (b)
inclusion of a wide range of stakeholders, (c) flexibility in tailoring
ITS deployment and operations to local needs, (d) electronic
information sharing between stakeholders, and (e) future ITS expansion.
The Interim Guidance is anticipated to be in effect for
approximately one year. The Interim Guidance is the first step in a
phased approach for implementing the TEA-21 conformity provision. The
final implementing policy may contain additional requirements.
V. Recommended Approach
An approach for meeting the Interim Guidance (given in section IV)
is suggested below.
A. Immediate Actions
1. Agencies should cooperatively work with FHWA Division (Federal
Aid and Office of Motor Carriers) and/or FTA Region staff and other
local agencies, including the applicable Metropolitan Planning
Organization (MPO) or planning agency, to categorize projects receiving
funding through the Highway Trust Fund into four categories: (1)
projects without ITS, (2) ITS projects that affect regional
integration, (3) ITS/CVO projects, and (4) other ITS projects. These
categories will help to determine the projects for which the Interim
Guidance applies. As a minimum, this action applies to all projects
included in transportation plans, Statewide Transportation Improvement
Programs (STIPs), Transportation Improvement Programs (TIPs),
Commercial Vehicle Safety Plans (CVSPs), projects in design, and other
projects that are under consideration. If an overall categorization is
not carried out, then determination should be made on a case-by-case
basis by recipient agencies and Federal field staff.
2. In consultation with FHWA Division and/or FTA Region field staff
and the applicable MPO or planning agency, agencies should determine if
a regional ITS architecture exists within which individual ITS projects
and programs should fit (at a metropolitan, statewide, corridor, or
multi-state level). The regional ITS architecture should be defined at
the subsystem and information (architecture) flow level, showing the
type of information exchanges planned between specific agencies.
B. ITS Projects
The suggested approach for meeting the Interim Guidance on ITS
Projects is provided below for the different categories of ITS
projects. It is suggested that these steps be accomplished early in the
planning and/or design process, as there will be greater ease in making
modifications in the scoping and early design stages.
For ITS Projects That Affect Regional Integration and Other ITS
Projects
The suggested approach provided below (or an alternative approach
that meets the intent of the Interim Guidance) should be applied to ITS
projects that affect regional integration. The same approach is also
recommended for other ITS projects, to a degree that is appropriate to
the local situation, integration needs, and the type of project being
implemented. The approach is tailored to accommodate areas both with
and without a regional ITS architecture.
1A. For areas with a regional ITS architecture:
Scope the project to be consistent with the regional ITS
architecture. If the project is under design, determine if that project
fits within (is addressed by) the regional ITS architecture. If the
project does not fit within the regional ITS architecture, consider
whether the regional ITS architecture needs revision or whether the
project scope/design needs modification.
1B. For areas without a regional ITS architecture:
Determine the applicable portions of the National ITS Architecture
within which the project generally fits. As closely as possible, define
the project using the subsystems and information (architecture) flows
from the National ITS Architecture.
2. Early in project design (and periodically throughout the design
process), the following considerations should be addressed:
a. Include all relevant agencies/stakeholders (including agencies
responsible for transportation operations and appropriate planning
agencies) in the project design process and ensure their continuing
participation.
b. Ensure that all applicable subsystems and information
(architecture) flows from the regional ITS architecture [or from the
National ITS Architecture, for areas without a regional ITS
architecture] have been considered in the project design. If not,
consider modifications. It may be helpful to include, in the design
documentation, listings or illustrations of the subsystems and
information flows that are being provided by the project, and any
relevant supporting discussion that indicates why information flows
suggested by the regional ITS architecture [or from step 1B, for areas
without a regional ITS architecture] may not have been included.
c. Consider incorporating additional information flows, as
appropriate to the situation, in anticipation of future needs.
d. Ensure that relevant technology and operating agreements are
reached between the affected parties.
e. Ensure that future expansion and information sharing
opportunities are kept open through the project design strategy.
3. Identify any applicable standards and protocols that are
appropriate for the project. Consider incorporating them into the
project design and specifications. Wherever feasible, open systems
should be considered in lieu of systems with proprietary interfaces. It
may be helpful to clearly identify, in the design documentation and
specifications, the standards which are being used in the project.
Even if a regional ITS architecture exists, the National ITS
Architecture can be used as a valuable resource for many of the above
steps (e.g., for consideration of additional information flows, item
2c).
For ITS/CVO Projects
1. Review the ITS/CVO Architecture Utilization Policy and, at a
minimum, the following two related documents:
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the ITS/CVO Conformance Assurance Process Description and the
Interoperability Testing Strategy. All three documents are included in
the National ITS Architecture and Standards Resource Guide.
2. Follow the recommendations in the ITS/CVO Conformance Assurance
Process Description:
a. Assess commitment to the architecture and operational concepts,
b. Assess project and work plans, reviews, and top-level design,
c. Assess detailed design, and
d. Assess implemented systems through interoperability testing.
The Conformance Assurance Process Description defines evaluation
criteria for ITS/CVO architectural conformity, and establishes a
mechanism for fostering conformance in a deployment or implementation.
Each ITS/CVO project should have a plan which includes an incremental
checkpoint system for assessing architecture conformance. At each
checkpoint, documents should be reviewed against architecture criteria
and issues and potential interoperability problems identified. If
problems are discovered, remedial actions should be developed and
implemented to resolve the problems. Progress toward resolution should
be tracked, and action assignments/resolutions should be documented to
serve as a monitoring and lessons learned tool for future CVO
deployments.
3. Use the standards recommended for ITS/CVO to facilitate
interoperability.
C. ITS Considerations in Transportation Planning
The activities within the suggested approach given below are
intended to encourage sound consideration of the operations and
management of the transportation system, including the development of a
regional ITS architecture and related efforts to advance ITS in a
region.
It should be noted that what constitutes a region is locally
determined based on the needs for sharing information and coordinating
operational strategies. For a metropolitan region, it is recommended
that the size of a region not be smaller than a metropolitan planning
area boundary. For ITS/CVO projects, it is recommended that the size of
the region not be smaller than a State, with consideration for multi-
state, national, and international applications. The size of the region
should promote integration of transportation systems by fostering the
exchange of information on operating conditions across a number of
agencies and jurisdictions. Likewise, the determination of the
leadership or ``champion'' role in carrying out these planning
activities is a local decision.
Engage a Broad Range of Stakeholders
An open and inclusive process for engaging a broad range of
transportation stakeholders in developing ITS activities is key to
achieving integration and information sharing. As appropriate,
stakeholders should include but are not limited to the following: State
transportation agencies, transit providers, metropolitan planning
organizations, local (city/county) transportation agencies, police
departments, fire departments, emergency medical services, toll
authorities, traveler information providers, the media,
telecommunications providers, other private transportation providers,
port authorities, airport authorities, commercial trucking
associations, freight railroad associations, motor carrier regulatory
or enforcement agencies, non-governmental organizations, and the
general public.
Identify Needs That Can be Addressed by ITS
The transportation problems and needs that can potentially be
addressed through operations and management strategies should be
identified. These needs should be developed in the context of the
needs, goals, and objectives already developed as part of the
applicable transportation planning process. Participants should discuss
opportunities for using ITS applications as part of the overall mix of
strategies to meet identified needs and goals.
Describe Existing and Planned ITS Enhancements
A sound understanding of current and committed ITS projects,
operational agreements, and information sharing arrangements is needed
before future plans for ITS developments are discussed. Participants
should (1) identify existing ITS components and integration and (2)
then develop a list of planned ITS enhancements that will address
identified needs and improve the operations and management of the
transportation system. The existing situation and planned ITS
enhancements should be described in terms of the physical system
description and the extent of information sharing. Metropolitan ITS and
CVISN Deployment Tracking Surveys and indicators provide a useful
starting point and approach for describing existing and planned ITS
enhancements.
Define a Regional ITS Architecture
Given the existing and planned ITS enhancements, identified needs,
and using the National ITS Architecture as a tool, a regional ITS
architecture can be developed to serve as a high-level template for ITS
project development and design. The regional ITS architecture should
include subsystems and information flows relevant to the area. The
regional ITS architecture should be periodically revisited and updated
to reflect ongoing discussions and improvements. An existing regional
ITS architecture should be assessed to ensure that it provides an
appropriate level of detail.
Define Operating Requirements
Implementation of the planned ITS enhancements and information
sharing arrangements requires further definition of the operational
agreements between the various agencies and jurisdictions. An operating
concept should be established that identifies the general roles and
responsibilities of the stakeholders in the development and day-to-day
operation of the system. This includes establishing requirements or
agreements on information sharing and traffic device control
responsibilities and authority (e.g., deciding if back-up control
capability is desired given a loss of power or failure condition).
These decisions will be factored into the regional ITS architecture and
will also flow-down through ITS projects as they are phased in. Because
many ITS services and strategies involve communication and
coordination, this step should not be overlooked.
Coordinate With Planned Improvements
As agencies begin to determine ITS projects that can be implemented
in the near to mid-term time frame, potential opportunities should be
explored for leveraging activities with planned capital projects such
as facility reconstruction, capacity expansion, or new bus purchases.
These projects are likely already contained in Transportation
Improvement Programs (TIPs), Statewide Transportation Improvement
Programs (STIPs), Commercial Vehicle Safety Plans (CVSPs), applicable
transportation plans, or specific agency plans. An example of this
coordination would be adding the ITS communications and surveillance
infrastructure (or other components) at the same time as a
reconstruction project, resulting in overall cost savings and minimized
traffic disruption compared to adding
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the ITS infrastructure after the reconstruction project was completed.
Develop Phasing Schedule
The phasing of ITS projects and strategies into the regional
transportation system and planning process will need to be considered.
Phasing considerations include anticipated time frame for
implementation, geographic context (both within and between
jurisdictions), functional capabilities, and funding considerations.
Geographic considerations involve decisions such as the initial and
future system coverage area, which jurisdictions in the region will be
upgraded first, which transit agencies in the region will participate
in the electronic fare media project, etc. Functional considerations
include deciding which basic functions of a system should be
implemented first and which should be deferred. The phasing
considerations and decisions made in the initial stages may be
conceptual, with flexibility for changes and further definition during
future project development and design.
Develop Regional Technology Agreements
As potential ITS actions are advanced, it may become necessary for
stakeholders to reach agreement on some technologies, standards, or
deployment choices that have regional significance. This particularly
applies to the near-term projects that have been identified. For
example, regional choices on technologies or standards may be required
for the telecommunications infrastructure, electronic toll tags, signal
controllers and interfaces, electronic fare media, and specialized
mobile radio systems. For ITS/CVO projects, public and private
stakeholders need to reach agreement on hardware, software,
operational, and programmatic requirements for interoperability to
exist in multi-state and national systems. Standards should be
identified to foster interoperability of systems and interchangeability
of components. When identifying standards, agencies should consider the
current status of ITS standards development activities and determine
how and when these can best be incorporated into the designs of
projects within the region.
Identify ITS Projects for Incorporation Into Transportation
Planning Products
ITS projects utilizing funds from the Highway Trust Fund will be
incorporated, as appropriate, into transportation planning and
programming products (such as the transportation plan, the STIP, TIP,
and the CVSP) and adopted by the metropolitan planning organization or
other applicable planning agency. Ultimately, this can be best achieved
when the consideration of ITS is consistent with the goals and
objectives adopted by regional transportation planning bodies and
carried out in the context of the transportation planning process.
VI. Appendices
Appendices include:
A. Definitions
B. Questions and Answers
C. Applicable Legislation
Appendix A. Definitions
For the purpose of explaining terms used in this Interim Guidance,
the following definitions are provided:
Intelligent transportation systems (ITS)--As defined in TEA-21, the
term ``intelligent transportation system'' means electronics,
communications, or information processing used singly or in combination
to improve the efficiency or safety of a surface transportation system.
ITS Project--Any project that (in whole or in part) involves the
application of ITS.
ITS Project that Affects Regional Integration--An ITS project that
can serve as a catalyst in achieving regional ITS integration.
Generally, those ITS projects with the potential to support electronic
data sharing between transportation stakeholders, projects with
substantial software design, projects involving major upgrades of
central transportation management functions, and projects involving
significant communications would be considered ITS projects that affect
regional integration.
ITS/CVO Projects--A subset of ITS projects which: (1) complete any
component/service incorporated in the Commercial Vehicle Information
Systems and Networks (CVISN) Level 1 deployment, and/or (2) install the
International Border Clearance Safety System (IBCSS).
Other ITS Projects--The remaining ITS projects that are not
characterized as affecting regional integration or being an ITS/CVO
project, as explained above.
CVISN--Commercial Vehicle Information Systems and Networks. A
concept that includes the information systems and communications
networks that support Commercial Vehicle Operations (CVO). CVISN
includes information systems owned and operated by governments,
carriers, and other stakeholders.
CVISN Architecture--The ITS/CVO information systems and networks
portion of the National ITS Architecture. The CVISN Architecture
documentation begins with the National ITS Architecture and adds more
detail in some areas (e.g., the operational scenarios and Electronic
Data Interchange (EDI) message requirements) to facilitate further
development. Documentation is available on the World-Wide Web at http:/
/jhuapl.edu/program/transport/trans.htm or contact the FHWA ITS/CVO
Division Office at phone: 202-366-0950, fax: 202-366-7908.
CVISN Level 1 Deployment--The development and implementation of
basic ITS/CVO information system elements in three capability areas
(safety information exchange, credentials administration, and
electronic screening) in conformance with the CVISN Architecture and
Standards.
International Border Clearance Safety System (IBCSS)--An
information system to identify impending border movements, access
relevant safety and credentials information, and conduct clearance
assessments on motor carriers, commercial motor vehicles, and drivers.
The IBCSS is a portion of the International Border Clearance System,
which provides the communications path between the commercial motor
vehicle (CMV) and the border crossing in support of all border
stakeholders, and an electronic border clearance assessment process for
motor carriers, commercial motor vehicles, and drivers at North
American land borders.
National ITS Architecture (also ``national architecture'')--As
defined in TEA-21, the National ITS Architecture is the common
framework for ITS interoperability that defines
(A) The functions associated with intelligent transportation system
user services;
(B) The physical entities or subsystems within which the functions
reside;
(C) The data interfaces and information flows between physical
subsystems; and
(D) The communications requirements associated with the information
flows.
Documentation is available from the U.S. DOT on the World-Wide Web
at http://www.its.dot.gov or http://www.odetics.com/itsarch/ or contact
the ITS Joint Program Office at phone: 202-366-9536, fax: 202-366-3302.
As of September 20, 1998, Version 2.0 is the official version of the
National ITS Architecture.
Regional ITS Architecture--A regional framework for ITS project
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development and design, which could be specified at a metropolitan,
statewide, multi-state, or interurban corridor level. A regional ITS
architecture is tailored to address specific local needs and, for the
purposes of this Interim Guidance, includes the subsystems, agencies,
and information flows relevant to the area. The National ITS
Architecture may serve as a tool in the development of a regional ITS
architecture.
ITS User Service--A categorization of ITS that represents what the
system will do from the perspective of the user. User services formed
the basis for the National ITS Architecture development. As of July
1998, the National ITS Architecture consists of 30 user services.
Additional user services are planned for incorporation during the next
year or two.
Standard--As defined in TEA-21, the term ``standard'' means a
document that is published by an accredited Standards Development
Organization, and
(A) Contains technical specifications or other precise criteria for
intelligent transportation systems that are to be used consistently as
rules, guidelines, or definitions of characteristics so as to ensure
that materials, products, processes, and services are fit for their
purposes; and
(B) May support the national architecture and promote
(i) The widespread use and adoption of intelligent transportation
system technology as a component of the surface transportation systems
of the United States; and
(ii) Interoperability among intelligent transportation system
technologies implemented throughout the States.
Provisional Standard--As defined in TEA-21, Section 5206 (c), a
provisional standard is a standard that the Secretary may establish if
the Secretary finds that the development or balloting of an ITS
standard jeopardizes the timely achievement of the objectives
identified in Section 5206 (a), after consultation with affected
parties, and using, to the extent practicable, the work product of
appropriate standards development organizations.
Subsystem--A physical entity within the National ITS Architecture
or a regional ITS architecture within which the ITS functions reside.
Subsystems are typically associated with one or more transportation
agencies or stakeholders. Examples of subsystems from the National ITS
Architecture include traffic management, transit management, fleet and
freight management, toll administration, emergency management,
information service provider, roadway, remote traveler support, and
vehicle.
Information (Architecture) Flow--A representation of data that
originates at one subsystem (or external system) and ends at another
within the National ITS Architecture or a regional ITS architecture,
depicting the information exchanges planned between specific agencies.
The National ITS Architecture documentation refers to these information
flows as physical architecture flows.
Appendix B. Questions and Answers
Applicability and Scope
1. Q: Which federally funded projects does this Interim Guidance
apply to?
A: Any ITS project receiving whole or partial funding from the
Highway Trust Fund (including the Mass Transit Account) is subject
to this Interim Guidance. The Highway Trust Fund includes a broad
range of transportation projects and programs, including Federal Aid
Highway Programs, Federal Transit Administration programs, and
safety programs. Examples of subject programs include (but are not
limited to):
1. National Highway System Program,
2. Congestion Mitigation and Air Quality Improvement Program,
3. Surface Transportation Program,
4. Urbanized and Non-Urbanized Areas Formula Grants Programs,
5. Transit Capital Investment Grants and Loans (Section 5309
funding),
6. Motor Carrier Safety Assistance Program Grants,
7. Demonstration projects identified in TEA-21 (including High
Priority Projects, and other earmarks under the ITS subtitle),
8. Federal Lands Highways Program,
9. Interstate Maintenance Program,
10. Highway Bridge Program,
11. Job Access and Reverse Commute Program,
12. Rural Transportation Accessibility Programs,
13. Elderly and Persons with Disabilities Program, and
14. Federal Aid Highway Safety Programs.
2. Q: Are any ITS projects excepted from the conformity
requirement?
A: Yes. Section 5206(e) of TEA-21 excepts the following
projects:
1. Authorized projects designed to achieve specific research
objectives outlined in the National ITS Program Plan or the Surface
Transportation Research and Development Strategic Plan;
2. The upgrade or expansion of an existing ITS, if the expansion
won't adversely affect the goals of conformity, is carried out
before the end of the system's useful life, and is cost-effective as
compared to alternatives that would be consistent; and
3. Projects to operate or maintain an existing ITS.
In addition, the Interim Guidance excepts projects already in
construction and those that have completed the design phase. Note,
however, that ITS projects that affect regional integration likely
will not be excepted by Number 2 above, because to do so would
adversely affect the goals of conformity.
3. Q: Does the Interim Guidance apply to ITS projects that do
not receive funding from the Highway Trust Fund?
A: No. The Interim Guidance only applies to ITS projects that
receive whole or partial funding from the Highway Trust Fund.
However, the Interim Guidance and recommended approach to ITS
projects and planning are considered sound practices for regional
integration of ITS. Therefore, it is recommended that ITS projects
not funded by the Highway Trust Fund also adhere to the Interim
Guidance. Examples of projects which would not need to follow the
Interim Guidance include projects funded entirely by State or local
transportation agencies; projects funded by police, fire, or
emergency medical services; and projects which are privately funded.
4. Q: Does the Interim Guidance apply to demonstration projects
and other earmarks?
A: The Interim Guidance applies to all ITS projects with funding
from the Highway Trust Fund, including demonstration projects (also
referred to as ``High Priority Projects''). The Interim Guidance
also applies to CVO projects as indicated in the ITS/CVO
Architecture Conformance Assurance Process. In addition, for ITS
projects funded under section 5001(a) of TEA-21, refer to the
Guidance for Congressionally-Designated ITS Projects (commonly
referred to as ``earmarked projects'').
5. Q: How does the Interim Guidance differ from the Guidance for
Congressionally-Designated ITS Projects?
A: The applicability differs in that Interim Guidance applies to
all ITS projects funded in part or in whole by the Highway Trust
Fund, whereas the guidance for congressionally-designated ITS
projects (often known as ``earmark'' projects) applies only to
projects being funded with ITS program category funds found under
Section 5001(a) of TEA-21. The principles and intent of the Interim
Guidance and the ITS earmark guidance are the same. However, since
congressionally-designated projects are intended to serve as
examples for meeting the conformity requirement, the ITS earmark
guidance has slightly more detailed and specific documentation
requirements. As an example, for one category of earmarked projects
(regional deployments), states are being asked to commit to the
development of a regional ITS architecture (and other regional ITS
systems planning activities) as part of the partnership agreement.
In addition, under the ITS earmark guidance, project designs must
include specific documentation of architecture conformity, which
will be reviewed by FHWA Division and/or FTA Region offices, as
appropriate. This is in contrast to the Interim Guidance, which does
not require specific documentation, but encourages agencies to
incorporate conformity documentation into normal project and
planning documentation.
6. Q: Which transit projects does the Interim Guidance apply to?
A: Any ITS project receiving whole or partial funding from the
Highway Trust Fund, including the Mass Transit Account, is subject
to the Interim Guidance. This is true for both transit and highway
projects.
[[Page 70450]]
7. Q: Does the Interim Guidance apply to ITS applications that
are part of a larger construction project?
A: Yes. The Interim Guidance applies to all ITS projects that
receive Highway Trust Funds, even when the ITS application is part
of a larger project. However, having an ITS component in a larger
project does not subject the non-ITS portions of your project to the
Interim Guidance; but, you can consider the Interim Guidance as a
framework to look for sensible ways to enhance connectivity in your
region. Looking at it another way, larger projects may provide an
opportunity to include ITS elements that may not have originally
been scoped, such as laying telecommunication cable during
construction.
8. Q: Does the Interim Guidance apply to ITS projects outside
metropolitan areas or in rural areas?
A: Yes, the Interim Guidance applies outside metropolitan areas
and in rural areas. As stated in the Interim Guidance, ITS projects
that affect regional integration must be assessed for integration
opportunities. Furthermore, development of a statewide architecture
which addresses rural and small urban ITS applications is
encouraged. Regardless of whether your area is rural or
metropolitan, the National ITS Architecture can be useful in the
development of the regional architecture.
9. Q: The National ITS Architecture is quite extensive in scope
and lays out a multitude of information sharing possibilities. Do I
have to plan for all of these interfaces and information exchanges
in order to meet the intent of the Interim Guidance?
A: No. It is unlikely that any one region would implement
everything envisioned by the National ITS Architecture. Planning and
project development should continue to focus on meeting local and/or
regional needs. Some of the functionality and information exchanges
in the National ITS Architecture will not apply to your situation
(e.g., your region might not have any toll roads and thus the Toll
Administration and Toll Collection Subsystems of the National ITS
Architecture would not apply). Using the National ITS Architecture
may help you identify opportunities you might not have otherwise
considered in developing your regional ITS architecture and ITS
projects. In all circumstances, however, the regional ITS
architecture and individual ITS projects should be tailored to local
needs and problems.
10. Q: Will National ITS Architecture conformity dictate the
characteristics of the design of my ITS system?
A: No. The National ITS Architecture and ITS standards do not
specify design; rather, they focus on ensuring interface
compatibility and structured information exchange. The National ITS
Architecture supports a variety of detailed designs and is flexible
enough to support both distributed and centralized systems. The
National ITS Architecture does not make technology decisions for
you. For example, collection of traffic data can be performed with a
variety of technologies, including loop detectors, video imaging,
and vehicle probes. Nor are you required to implement interfaces
identified in the National ITS Architecture. The Interim Guidance on
National ITS Architecture conformity does, however, imply that
information sharing opportunities between transportation
stakeholders are explored to the extent possible and appropriate for
your area.
11. Q: Does conformity with the National ITS Architecture ensure
interoperability?
A: No. The vision of ITS integration is a seamless,
interoperable transportation network. Because the National ITS
Architecture does not specify the interfaces or the technologies to
be used in transportation systems and services, conformity does not
ensure interoperability. Only through interjurisdictional agreements
and cooperation can interoperability be assured. The National ITS
Architecture does provide a framework for determining the needs or
desirability of interoperability, and for making the institutional
and technological decisions that are the foundation of an
interoperable network. Interoperability is furthered through the
adoption and widespread use of ITS standards.
12. Q: Will U.S. DOT require interoperability?
A: Where federal funding supports technologies and interfaces
considered critical for national interoperability, U.S. DOT expects
to require interoperability, but only after the standards have
matured to ensure their operational capability. As called for in
TEA-21, U.S. DOT is currently developing a list of critical
standards appropriate for ensuring interoperability.
13. Q: What is the distinction between the use of the terms
``conformity'' and ``consistency''?
A: The TEA-21 language (Section 5206[e]) addressed by the
Interim Guidance calls for ``conformity'' with the National ITS
Architecture and Standards. U.S. DOT's incremental, phased approach
to implementing this provision is better reflected by the use of the
term ``consistency'' with the National ITS Architecture. For the
purposes of the Interim Guidance, these terms are deemed synonymous.
ITS Projects
14. Q: What are some examples of ``ITS projects that affect
regional integration'' as defined in this Interim Guidance?
A: Generally, ITS projects that affect regional integration are
those that can serve as catalysts in achieving ITS integration for a
region. Examples of ITS projects that affect regional integration
include the construction or functional expansion of a transportation
management center, installation or expansion of the functional
capability of a communications system, and the purchase of an AVL-
equipped bus fleet. Another example is a multi-agency project which
aims to integrate transportation systems (e.g., freeway-arterial
system integration, traffic-transit integration).
15. Q: What do I do for ITS projects that do not affect regional
integration?
A: The Interim Guidance is designed to focus attention on ITS
projects that do affect regional integration, but all ITS projects
(receiving Highway Trust Funds) should consider the intent and
approach in the Interim Guidance as a way to ensure conformity with
the National ITS Architecture and permit cost-effective future
expansion should the need arise. Examples of ITS projects that do
not affect regional integration are the installation of an isolated
traffic signal system in a small, rural town; or the purchase of a
limited set of replacement buses.
16. Q: How does the Interim Guidance apply to projects in the
final stage of design?
A: Adherence to the Interim Guidance is not required for
projects in the final stage of design as of the date of Interim
Guidance issuance. However, it is good practice to review projects
for anything that can be done at a reasonable cost to facilitate
future integration. Projects in the final stage of design are not
specifically excepted by the legislation, so the project's lead
agency should work with the FHWA Division or FTA Region office to
determine the appropriate course of action. Projects for which
design has been completed or that are in construction as of the date
this Guidance is issued do not need to revisit the design stage.
17. Q: How will existing (legacy) equipment with proprietary
interfaces be addressed?
A: The Interim Guidance does not require replacement of legacy
systems or equipment having proprietary interfaces. Rather, it is
recommended that you plan with existing systems in mind and
encourage future investments that would facilitate electronic data-
sharing and the use of open interfaces, while minimizing the use of
proprietary interfaces. Existing systems such as traffic signals,
overhead messages, computer-aided dispatch for ambulances, or
automatic vehicle location for buses are an important consideration
in developing an ITS project and your regional ITS architecture. As
new features and system upgrades are planned, the new designs should
provide for open, non-proprietary interfaces identified in the
National ITS Architecture and approved ITS standards as appropriate
for your area and consistent with your regional ITS architecture.
ITS Considerations Within Transportation Planning
18. Q: Are ITS projects excepted from the metropolitan or
statewide planning processes?
A: No. ITS projects should be developed using the same planning
processes as other transportation projects, in accordance with
metropolitan and statewide planning procedures specified in TEA-21
(sections 1203, 1204, 3004, and 3005). In addition, ITS may be
considered as one strategy for addressing the new systems management
and operation planning factor requirement in TEA-21.
19. Q: What are the benefits of integrating ITS into the
planning process?
A: Statewide and metropolitan planning activities should
consider a broad range of actions and investments aimed at improving
the management and operation of the transportation system. ITS is a
powerful tool
[[Page 70451]]
for meeting the system operation and management needs of a region.
Like any tool, it is most effective when it has broad support and is
applied in the proper circumstances. Regional efforts aimed at
identifying appropriate ITS strategies and investments should be
advanced in the context of the goals and objectives adopted by the
planning process. This will ensure that specific ITS deployment
options will address regional transportation goals and objectives in
the most effective possible manner. In addition, there is
considerable overlap between the planning process and ITS systems
planning. The integration of ITS and planning will ensure that these
processes are carried out together in a consistent and efficient
manner.
20. Q: Who should be the lead in developing a regional ITS
architecture?
A: Identifying a lead agency is a local decision; development of
a regional architecture can take place in whatever forum suits the
area. You are encouraged to develop ITS activities within your
existing planning processes. Making use of existing agency
agreements and structures may help you to determine who should be
involved and who may be best suited to take the lead role.
21. Q: Who should be involved as ITS is considered within the
planning process?
A: The range of stakeholder involvement is most appropriately
addressed at the local level. A fundamental goal is to involve and
unite a wide range of stakeholders to ensure consideration of the
broadest range of integration opportunities. It is expected that the
number of stakeholders included in any area will grow over time as
ITS is incorporated into the regional transportation planning
process and the range of ITS activities expands. As a starting
point, agencies or other groups within a region that are typically
involved in transportation planning or ITS development should be
involved. The National ITS Architecture may help you identify
stakeholders that are not normally included in the transportation
planning process but who may be important to ITS systems planning
(e.g., private sector information service providers; police, fire,
and other emergency services; and private sector transportation
service providers).
22. Q: What if certain stakeholders do not want to participate?
A: The intent of gathering a broad range of stakeholders is to
ensure that the consideration and development of potential ITS
actions and investments stems from a collaborative, inclusive
effort. Good faith efforts should be made to include all
stakeholders. Notwithstanding this, the process should begin with
those agencies/parties willing to participate.
23. Q: What is a ``region'' as it relates to the development of
a regional ITS architecture?
A: What constitutes a region is a local determination that
should be based on the needs for sharing information and
coordinating operational strategies in order to address
transportation problems. In this context, a region is not
constrained by political boundaries, and could be specified at a
metropolitan, statewide, multi-state, or inter-urban corridor level.
For a metropolitan region, it is recommended that the size of a
region not be smaller than a metropolitan planning area boundary.
For ITS/CVO projects, it is recommended that the size of the region
not be smaller than a State, with consideration for multi-state,
national, and international applications. The size of the region
should promote integration of transportation systems by fostering
the exchange of information on operating conditions across a number
of agencies and jurisdictions.
24. Q: What is the relationship between the nine core components
of the metropolitan ITS infrastructure and the National ITS
Architecture?
A: The nine core components of the metropolitan ITS
infrastructure (Freeway Management, Incident Management, Traffic
Signal Control, Electronic Toll Collection, Transit Management,
Electronic Fare Payment, Highway Rail Intersections, Emergency
Management, and Regional Multimodal Traveler Information) represent
an initial way of thinking about the potential types of ITS
technologies that could be usefully linked in a metropolitan region.
The National ITS Architecture provides the framework necessary for
more detailed planning about how to structure the communications and
information flows between and among the different subsystems that
characterize a fully integrated regional ITS system.
25. Q: How does the Interim Guidance relate to the deployment
and integration tracking of CVISN and metropolitan ITS
infrastructure that have been ongoing in recent months in some
regions?
A: The definitions of metropolitan ITS infrastructure and the
framework used in the deployment tracking questionnaire provide
excellent starting points for developing and collecting the
information necessary for beginning work on a regional ITS
architecture in your area. If a deployment tracking survey has
already been filled out, it should be very helpful in documenting
the existing level of ITS deployment (including information sharing
arrangements), which is fundamental to future planning efforts.
Further explanation of the metropolitan and CVISN deployment
tracking is included in the Resource Guide.
26. Q: Can a regional ITS architecture, developed from an Early
Deployment Plan, be used to demonstrate conformity with the National
ITS Architecture?
A: Architectures developed under previous early deployment
efforts may be considered for potential applicability to the Interim
Guidance. Some early deployment studies that do not include
architectures, or were not inclusive of a wide range of
stakeholders, do not meet the intent and approach of the Interim
Guidance. In such cases, additional steps may be necessary, such as
identifying/determining information flows between regional
architecture subsystems. Conversely, Early Deployment Plans that
engaged a broad range of stakeholders and included a regional ITS
architecture would likely meet the intent of the Interim Guidance.
Federal Role
27. Q: What is the federal oversight role, specific to
integrating ITS into the planning process?
A: The Interim Guidance does not change federal oversight of the
transportation planning process. Within existing federal oversight
roles and activities, FHWA and FTA staff are encouraged to explore
opportunities with their constituents for integrating ITS into the
transportation planning process. Such opportunities may become
obvious during the development of plan updates to Unified Planning
Work Programs, the STIP or TIP, or triennial certifications. These
reviews should also consider whether a regional ITS architecture
exists, defined at the subsystem and information (architecture) flow
level. For commercial vehicle operations, ITS opportunities should
be considered during updates of the Commercial Vehicle Safety Plan.
28. Q: How will the Interim Guidance affect the STIP/TIP
development cycle?
A: The Interim Guidance is not intended to delay the development
cycle (preparation, review, or approval) of a STIP or TIP. However,
applying the Interim Guidance to the transportation planning process
at the earliest practical convenience will aid in identifying and
capitalizing on potential cost-saving and system-enhancing
opportunities.
29. Q: What constitutes the federal oversight role at the
project stage?
A: The Interim Guidance does not change the federal oversight
role at the project stage. For those ITS projects with federal
oversight, the appropriate federal office will ensure that the
Interim Guidance is followed as part of the regular review process.
For those projects with no federal oversight requirement, recipients
are responsible for ensuring that the Interim Guidance is followed.
Compliance with the Interim Guidance may be a discussion topic in
process or triennial reviews.
30. Q: Are all ITS projects subject to federal oversight?
A: No. Refer to the appropriate oversight procedure for the
project in question. If the state DOT is willing, it is suggested
that FHWA and FTA be involved in all ITS projects on the National
Highway System during the initial implementation period for the
Interim Guidance.
31. Q: What kind of help and support can be expected from U.S.
DOT?
A: Various support mechanisms are under way or being planned at
the present time. A training course on the National ITS Architecture
is available now with more offerings planned in the fall of 1998.
Technical assistance documents on the use of the National ITS
Architecture to facilitate project development and planning for
specific application areas will be available shortly. Technical
assistance is also available through the U.S. DOT peer-to-peer
program. Checklists also will be made available to serve as helpful
guidance and reminders. For more information, contact your local
FHWA or FTA office, and visit the ITS website: www.its.dot.gov.
[[Page 70452]]
ITS Standards
32. Q: What is an ITS standard and which standards have been
adopted?
A: Standards define how system components inter-connect and
interact within an overall framework called an architecture. The
National ITS Architecture identified the need for many ITS standards
to support interface compatibility. U.S. DOT has yet to adopt ITS
standards, and anticipates proceeding cautiously in order to allow
emerging standards to reach a point of acceptability by implementing
agencies. Initial standards are just now beginning to be completed
and approved by Standards Development Organizations. Once approved
by the Standards Development Organizations, it will take some time
for standards to be validated to the satisfaction of implementing
agencies.
33. Q: Should an ITS standard be used if it has not yet been
approved, or adopted by U.S. DOT?
A: If an agency deems that an ITS standard is not yet
sufficiently mature for routine use, it should deploy ITS mindful of
the new standard and in anticipation of an eventual transition. Your
design process may incorporate draft standards, but recognize that
these may change before being finalized. Therefore, work with your
vendors to be sure that they commit to bringing their products into
compliance with the final standard when it is approved.
Documentation
34. Q: What documentation is required for implementation of the
Interim Guidance?
A: No new documentation is required, but additional information
within existing documentation needs to demonstrate that the intent
of the Interim Guidance has been met.
Appendix C. Applicable Legislation
SECTION 5203. GOALS AND PURPOSES [of the Intelligent Transportation
Systems Act of 1998].
(a) Goals.--The goals of the intelligent transportation system
program include--
(1) enhancement of surface transportation efficiency and
facilitation of intermodalism and international trade to enable
existing facilities to meet a significant portion of future
transportation needs, including public access to employment, goods,
and services, and to reduce regulatory, financial, and other
transaction costs to public agencies and system users;
(2) achievement of national transportation safety goals,
including the enhancement of safe operation of motor vehicles and
nonmotorized vehicles, with particular emphasis on decreasing the
number and severity of collisions;
(3) protection and enhancement of the natural environment and
communities affected by surface transportation, with particular
emphasis on assisting State and local governments to achieve
national environmental goals;
(4) accommodation of the needs of all users of surface
transportation systems, including operators of commercial vehicles,
passenger vehicles, and motorcycles, and including individuals with
disabilities; and
(5) improvement of the Nation's ability to respond to
emergencies and natural disasters and enhancement of national
defense mobility.
(b) Purposes.--The Secretary shall implement activities under
the intelligent system transportation program to, at a minimum--
(1) expedite, in both metropolitan and rural areas, deployment
and integration of intelligent transportation systems for consumers
of passenger and freight transportation;
(2) ensure that Federal, State, and local transportation
officials have adequate knowledge of intelligent transportation
systems for full consideration in the transportation planning
process;
(3) improve regional cooperation and operations planning for
effective intelligent transportation system deployment;
(4) promote the innovative use of private resources;
(5) develop a workforce capable of developing, operating, and
maintaining intelligent transportation systems; and
(6) complete deployment of Commercial Vehicle Information
Systems and Networks in a majority of States by September 30, 2003.
SECTION 5206. NATIONAL ARCHITECTURE AND STANDARDS.
(a) IN GENERAL--
(1) DEVELOPMENT, IMPLEMENTATION, AND MAINTENANCE--Consistent
with section 12(d) of the National Technology Transfer and
Advancement Act of 1995 (15 U.S.C. 272 note; 110 Stat. 783), the
Secretary shall develop, implement, and maintain a national
architecture and supporting standards and protocols to promote the
widespread use and evaluation of intelligent transportation system
technology as a component of the surface transportation systems of
the United States.
(2) INTEROPERABILITY AND EFFICIENCY--To the maximum extent
practicable, the national architecture shall promote
interoperability among, and efficiency of, intelligent
transportation system technologies implemented throughout the United
States.
(3) USE OF STANDARDS DEVELOPMENT ORGANIZATIONS--In carrying out
this section, the Secretary may use the services of such standards
development organizations as the Secretary determines to be
appropriate.
(b) REPORT ON CRITICAL STANDARDS--Not later than June 1, 1999,
the Secretary shall submit a report to the Committee on Environment
and Public Works of the Senate and the Committee on Transportation
and Infrastructure and the Committee on Science of the House of
Representatives identifying which standards are critical to ensuring
national interoperability or critical to the development of other
standards and specifying the status of the development of each
standard identified.
(c) PROVISIONAL STANDARDS--
(1) IN GENERAL--If the Secretary finds that the development or
balloting of an intelligent transportation system standard
jeopardizes the timely achievement of the objectives identified in
subsection (a), the Secretary may establish a provisional standard
after consultation with affected parties, and using, to the extent
practicable, the work product of appropriate standards development
organizations.
(2) CRITICAL STANDARDS--If a standard identified as critical in
the report under subsection (b) is not adopted and published by the
appropriate standards development organization by January 1, 2001,
the Secretary shall establish a provisional standard after
consultation with affected parties, and using, to the extent
practicable, the work product of appropriate standards development
organizations.
(3) PERIOD OF EFFECTIVENESS--A provisional standard established
under paragraph (1) or (2) shall be published in the Federal
Register and remain in effect until the appropriate standards
development organization adopts and publishes a standard.
(d) WAIVER OF REQUIREMENT TO ESTABLISH PROVISIONAL STANDARD--(1)
IN GENERAL--The Secretary may waive the requirement under subsection
(c)(2) to establish a provisional standard if the Secretary
determines that additional time would be productive or that
establishment of a provisional standard would be counterproductive
to achieving the timely achievement of the objectives identified in
subsection (a).
(2) NOTICE--The Secretary shall publish in the Federal Register
a notice describing each standard for which a waiver of the
provisional standard requirement has been granted, the reasons for
and effects of granting the waiver, and an estimate as to when the
standard is expected to be adopted through a process consistent with
section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (15 U.S.C. 272 note; 110 Stat. 783).
(3) WITHDRAWAL OF WAIVER--At any time the Secretary may withdraw
a waiver granted under paragraph (1). Upon such withdrawal, the
Secretary shall publish in the Federal Register a notice describing
each standard for which a waiver has been withdrawn and the reasons
for withdrawing the waiver.
(e) CONFORMITY WITH NATIONAL ARCHITECTURE--
(1) IN GENERAL--Except as provided in paragraphs (2) and (3),
the Secretary shall ensure that intelligent transportation system
projects carried out using funds made available from the Highway
Trust Fund, including funds made available under this subtitle to
deploy intelligent transportation system technologies, conform to
the national architecture, applicable standards or provisional
standards, and protocols developed under subsection (a).
(2) SECRETARY'S DISCRETION--The Secretary may authorize
exceptions to paragraph (1) for--
(A) projects designed to achieve specific research objectives
outlined in the National ITS Program Plan under section 5205 or the
Surface Transportation Research and Development Strategic Plan
developed under section 508 of title 23, United States Code; or
(B) the upgrade or expansion of an intelligent transportation
system in existence
[[Page 70453]]
on the date of enactment of this subtitle, if the Secretary
determines that the upgrade or expansion--
(i) would not adversely affect the goals or purposes of this
subtitle;
(ii) is carried out before the end of the useful life of such
system; and
(iii) is cost-effective as compared to alternatives that would
meet the conformity requirement of paragraph (1).
(3) EXCEPTIONS--Paragraph (1) shall not apply to funds used for
operation or maintenance of an intelligent transportation system in
existence on the date of enactment of this subtitle.
(f) SPECTRUM--The Federal Communications Commission shall
consider, in consultation with the Secretary, spectrum needs for the
operation of intelligent transportation systems, including spectrum
for the dedicated short-range vehicle-to-wayside wireless standard.
Not later than January 1, 2000, the Federal Communications
Commission shall have completed a rulemaking considering the
allocation of spectrum for intelligent transportation systems.
[FR Doc. 98-33699 Filed 12-18-98; 8:45 am]
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