[Federal Register Volume 65, Number 102 (Thursday, May 25, 2000)]
[Proposed Rules]
[Pages 33994-34000]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-13023]
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Part V
Department of Transportation
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Federal Highway Administration
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23 CFR Parts 655 and 940
Intelligent Transportation System Architecture and Standards; Proposed
Rule
Federal Register / Vol. 65, No. 102 / Thursday, May 25, 2000 /
Proposed Rules
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
23 CFR Parts 655 and 940
[FHWA Docket No. FHWA-99-5899]
RIN 2125-AE65
Intelligent Transportation System Architecture and Standards
AGENCY: Federal Highway Administration (FHWA), DOT.
ACTION: Notice of proposed rulemaking (NPRM); request for comments.
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SUMMARY: The FHWA proposes to implement section 5206(e) of the
Transportation Equity Act for the 21st Century (TEA-21), enacted on
June 9, 1998, requiring Intelligent Transportation System (ITS)
projects funded through the highway trust fund to conform to the
National ITS Architecture and applicable standards. Because it is
highly unlikely that the entire National ITS Architecture would be
fully implemented by any single metropolitan area or State, the FHWA
proposes in this NPRM (the ITS Architecture NPRM) that the National ITS
Architecture be used to develop a local implementation of the National
ITS Architecture, which is referred to as an ``ITS regional
architecture.'' Therefore, conformance with the National ITS
Architecture is defined under this proposal as development of an ITS
regional architecture based on the National ITS Architecture, and the
subsequent adherence of ITS projects to the ITS regional architecture.
The ITS regional architecture would consist of a concept of operations
and a conceptual design, which would draw from the National ITS
Architecture, but would be tailored to address the local situation and
ITS investment needs. The ITS regional architecture follows from the
ITS integration strategy developed in another NPRM entitled ``Statewide
Transportation Planning; Metropolitan Transportation Planning'' also
published in today's Federal Register. In this NPRM, the FHWA proposes
the use of the system engineering process and applicable standards and
interoperability tests adopted by the DOT.
DATES: Written comments must be received on or before August 23, 2000.
For dates of public information meetings see Supplementary Information.
ADDRESSES: Signed, written comments should refer to the docket number
that appears at the top of this document and must be submitted to the
Docket Clerk, U.S. DOT Dockets, Room PL-40, 400 Seventh Street, SW,
Washington, D.C. 20590-0001. All comments received will be available
for examination at the above address between 9 a.m. and 5 p.m. e.t.,
Monday through Friday, except Federal holidays. Those desiring
notification of receipt of comments must include a self-addressed,
stamped envelope or postcard. For addresses of public information
meetings see Supplementary Information.
FOR FURTHER INFORMATION CONTACT: For technical information: Mr. Bob
Rupert, (202) 366-2194, Office of Travel Management (HOTM-1) and Mr.
Mike Freitas, (202) 366-9292, ITS Joint Program Office. For legal
information: Mr. Wilbert Baccus, Office of the Chief Counsel (HCC-32),
(202) 366-1346, Federal Highway Administration, 400 Seventh Street,
SW., Washington, D.C. 20590. Office hours are from 8 a.m. to 4:30 p.m.,
e.t., Monday through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION:
Electronic Access
Internet users may access all comments received by the US DOT
Dockets, Room PL-401, by using the universal resource locator (URL):
http://dms.dot.gov. It is available 24 hours each day, 365 days each
year. Please follow the instructions online for more information and
help.
An electronic copy of this document may be downloaded by using a
computer, modem, and suitable communications software from the
Government Printing Office's Electronic Bulletin Board Service at (202)
512-1661. Internet users may reach the Office of the Federal Register's
home page at http://www.nara.gov/fedreg and the Government Printing
Office's web page at: http://www.access.gpo.gov/nara.
The document may also be viewed at the DOT's ITS home page at
http://www.its.dot.gov.
Public Information Meetings
The DOT will hold a series of seven public briefings within the
comment period for the NPRM. The purposes of these briefings is to
explain the content of the NPRM and encourage public input to the final
rulemaking. The meetings will address this NPRM, a companion NPRM on
the metropolitan and statewide planning process (FHWA RIN 2125-AE62;
FTA RIN 2132-AA66), and the NPRM entitled, ``NEPA [National
Environmental Policy Act of 1969] and Related Procedures for
Transportation Decisionmaking, Protection of Public Parks, Wildlife and
Waterfowl Refuges, and Historic Sites'' (NEPA/NPRM; FHWA RIN 2125-AE64;
FTA RIN 2132-AA43). The meetings will be scheduled from approximately
8:00 a.m. to 5:00 p.m. at the locations listed below. Changes in the
information below will be made available after the publication of this
NPRM through the FHWA and the FTA websites, other public announcement
avenues and the newsletters and websites of major stakeholder groups.
Individuals wishing information but without access to these sources may
contact the individuals listed above.
The structure of the meetings will emphasize brief presentations by
the DOT staff regarding the content of the NPRMs. A period for
clarifying questions will be provided. Under current statutory and
regulatory provisions, the DOT staff will not be permitted to engage in
a substantive dialog regarding what the content of the NPRMs and the
final regulations should be. Attendees wishing to express ideas and
thoughts regarding the final content of the rules should direct those
comments to the docket. Briefing sites will include: Boston, MA,
Auditorium, Volpe National Transportation Systems Center, 55 Broadway,
June 9, 2000; Atlanta, GA, Westin Peachtree Plaza Hotel, 210 Peachtree
Street, June 20, 2000; Washington, D.C., Marriott Metro Center, 775
12th Street NW, June 23, 2000; Chicago, IL, Holiday Inn Mart Plaza, 350
North Orleans Street, June 27, 2000; Denver, CO, Marriott City Center,
1701 California Street, June 30, 2000; Dallas, TX, Hyatt Regency
Dallas, 300 Reunion Boulevard, July 11, 2000; and San Francisco, CA,
Radisson Miyako, 1625 Post Street, July 19, 2000.
As part of the outreach process planned for these proposed rules,
the FHWA/FTA will be conducting a national teleconference on June 15,
2000 from 1-4 p.m. eastern time, through the auspices of the Center for
Transportation and the Environment at North Carolina State University.
The teleconference will be accessible through numerous downlink
locations nationwide and further information can be obtained from Katie
McDermott at [email protected]. The purpose of the teleconference is
to describe the proposed new statewide and metropolitan planning,
National Environmental Policy Act (NEPA) implementation, and
Intelligent Transportation Systems (ITS) rules. An overview of each of
the three Notices of Proposed Rulemaking (NPRMs) will be presented and
the audience (remote and local) will have opportunities to ask
questions and seek clarification of
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FHWA/FTA proposals. By sponsoring this teleconference it is hoped that
interest in the NPRMs is generated, that stakeholders will be well
informed about FHWA/FTA proposals, and that interested parties will
participate in the rulemaking process by submitting written
suggestions, comments and concerns to the docket.
Introduction
Section 5206(e) of the TEA-21, Public Law 105-178, 112 Stat. 107,
at 457, requires ITS projects funded through the highway trust fund to
conform to the National ITS Architecture, applicable or provisional
standards, and protocols.
The proposed implementing regulations for this provision of law are
contained in two NPRMs. The first NPRM for revisions to the Statewide
and Metropolitan transportation planning processes, 23 CFR part 1410,
published separately in today's Federal Register, contains language
specific to ITS projects pertaining to implementation of section
5206(e)--Secs. 1410.104 (Definition of ITS Integration Strategy),
1410.310(g) (Agreements), 1410.322(b)(11) (Plan and Integration
Strategy Content), 1410.214 (a)(3), and 1410.216(c)(8) (State
Transportation Improvement Program Content). The second NPRM concerning
the ITS Architecture would add part 940 to subchapter K to implement
section 5206(e) of TEA-21. The FHWA believes the proposed rules, 23 CFR
parts 1410 and 940, would implement the legislative requirement for
conforming to the national architecture and standards.
Background
Intelligent transportation systems represent the application of
information processing, communications technologies, advanced control
strategies, and electronics to the field of transportation. Information
technology in general is most effective and cost beneficial when
systems are integrated and interoperable. The greatest benefits in
terms of safety, efficiency, and costs are realized when electronic
systems are systematically integrated to form a whole in which
information is shared with all and systems are interoperable.
In the transportation sector, successful ITS integration and
interoperability require addressing two different and yet fundamental
issues; that of technical and institutional integration. ``Technical
integration'' of electronic systems is a complex issue that requires
considerable up-front planning and meticulous execution for electronic
information to be stored and accessed by various parts of a system.
``Institutional integration'' involves coordination between various
agencies and jurisdictions to achieve seamless operations and/or
interoperability. In order to achieve effective institutional
integration of systems, agencies and jurisdictions must agree on the
benefits of ITS and the value of being part of an integrated system.
They must agree on roles, responsibilities, and shared operational
strategies. Finally, they must agree on standards and, in some cases,
technologies and operating procedures to ensure interoperability. In
some instances, there may be multiple standards that could be
implemented for a single interface. In this case, agencies will need to
agree on a common standard or agree to implement a technical translator
that will allow dissimilar standards to interoperate. This coordination
effort is a considerable task that will happen over time, not all at
once. Transportation organizations, such as, transit properties, State
and local transportation agencies, and metropolitan planning
organizations must be fully committed to achieving institutional
integration in order for integration to be successful. The
transportation agencies must also coordinate with agencies for which
transportation is a key, but not a primary part of their business, such
as, emergency management and law enforcement agencies.
Successfully dealing with both the technical and institutional
issues requires a high-level conceptual view of the future system and
careful, comprehensive planning. The framework for the system is
referred to as the ``architecture.'' The architecture defines the
system components, key functions, the organizations involved, and the
type of information shared between organizations and parts of the
system. The architecture is, therefore, fundamental to successful
system implementation, integration, and interoperability.
The National ITS Architecture
The Intermodal Surface Transportation Efficiency Act of 1991,
Public Law 102-240, 105 Stat. 1914, initiated Federal funding for the
ITS program. The program at that time was largely focused on research
and development and operational tests of technologies. A key part of
the program was the development of the ``National ITS Architecture.''
The National ITS Architecture provides a common structure for the
design of ITS systems. The architecture defines the functions that
could be performed to satisfy user requirements and how the various
elements of the system might connect to share information. It is not a
system design, nor is it a design concept. However, it does define the
framework around which multiple design approaches can be developed,
each one specifically tailored to meet the needs of the user, while
maintaining the benefits of a common approach. The National ITS
Architecture, Version 3.0 can be obtained from the ITS Joint Program
Office of the DOT in CD-ROM format and on the ITS web site http://www.its.dot.gov. The effort to develop a common national system
architecture to guide the evolution of ITS in the United States over
the next 20 years and beyond has been managed since September 1993 by
the FHWA. The National ITS Architecture describes in detail what types
of interfaces should exist between ITS components and how they will
exchange information and work together to deliver the given ITS user
service requirements. The National ITS Architecture and standards can
be used to guide multi-level government and private-sector business
planners in developing and deploying nationally compatible systems. By
ensuring system compatibility, the DOT hopes to accelerate ITS
integration nationwide and develop a strong, diverse marketplace for
related products and services.
It is highly unlikely that the entire National ITS Architecture
will be fully implemented by any single metropolitan area or State. For
example, the National ITS Architecture contains information flows for
an Automated Highway System that is unlikely to be part of most
regional implementations. However, the architecture has considerable
value as a framework for local governments in the development of
regional architectures by identifying the many functions and
information sharing opportunities that may be desired. It can assist
local governments with both of the key elements--technical
interoperability and institutional coordination.
The National ITS Architecture, because it aids in the development
of a high-level conceptual view of a future system, can assist local
governments in identifying applications that will support their future
transportation needs. From an institutional coordination perspective,
the National ITS Architecture helps local transportation planners to
identify other stakeholders who may need to be involved and to identify
potential integration opportunities. From a technical interoperability
perspective, the National ITS Architecture provides a logical and
physical architecture and
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process specifications to guide the design of a system. The National
ITS Architecture also identifies interfaces where standards may apply,
further supporting interoperability.
Transportation Equity Act for the 21st Century
As noted above, section 5206(e) of the TEA-21 requires ITS projects
funded from the highway trust fund to conform to the National ITS
Architecture, applicable or provisional standards, and protocols. The
purpose of the statute is to accelerate the deployment of interoperable
ITS systems. Use of the National ITS Architecture provides significant
benefits to local transportation planners and deployers as follows:
1. The National ITS Architecture provides assistance with technical
design. It saves considerable design time because physical and logical
architectures are already defined.
2. Information flows and process specifications are defined in the
National ITS Architecture, allowing local governments to accelerate the
process of defining system functionality.
3. The architecture identifies standards that will support
interoperability now and into the future, but it leaves selection of
technologies to local decisionmakers.
4. The architecture provides a sound engineering framework for
integrating multiple applications and services in a region.
Transportation Planning Process
The existing transportation planning processes under titles 23 and
49, U.S.C., require a continuing, comprehensive, and coordinated
approach to assessing transportation needs, evaluating a range of
solutions, and providing a coordinated response through transportation
investments. The TEA-21 further emphasizes operations and management of
the transportation network as a key consideration in transportation
planning. The transportation planning process is currently
institutionalized through statewide and metropolitan planning.
Effective implementation of ITS requires careful and comprehensive
planning. This notice of proposed rulemaking and the accompanying NPRM
on Statewide and Metropolitan Transportation Planning, published
separately in today's Federal Register, propose changes to 23 CFR part
1410 and explains how ITS would be integrated into the planning
process. The ITS would become part of the transportation planning
process through the locally defined ITS Integration Strategy. This ITS
integration strategy would guide future investment decisions and foster
integration and interoperability. Developing the strategy as part of
the overall transportation planning process would ensure that ITS is
given appropriate consideration as a solution for future transportation
needs and services.
Consequently, the DOT is issuing an NPRM (23 CFR part 1410),
published separately in today's Federal Register, that proposes to
incorporate ITS into the transportation planning process for both
metropolitan and statewide planning (in addition to other changes
needed to implement the TEA-21). The proposed provisions specific to
ITS are set forth in 23 CFR 1410.104, 1410.214(a)(3), 1410.310(g), and
1410.322(b)(11). A summary of the proposed revisions follows:
During the development of the metropolitan and/or statewide
transportation plan, if ITS applications are envisioned, the
transportation plan shall address an ITS integration strategy.
Provision shall be made to include participation of key operating
agencies in the development of the integration strategy. The ITS
integration strategy shall clearly assess existing and future ITS
systems, including their functions and information sharing
expectations. Planning for ITS shall produce an agreement among the
Metropolitan Planning Organizations (MPOs), State DOTs, transit
operators and other agencies which addresses policy and operational
issues affecting the successful implementation of the ITS integration
strategy. The policy statement shall address provisions to ensure ITS
project interoperability, utilization of ITS related standards, and the
routine operation of the projects. Further, as provided in proposed 23
CFR 1410.322 (b)(11), the transportation plan shall identify:
(1) Major regional ITS initiatives (a program of related projects
that are multi-jurisdictional and/or multi-modal),
(2) ITS projects of a scale to affect regional integration of ITS
systems, and
(3) ITS projects that directly support national interoperability.
Project Development Process
The ITS integration strategy that is part of the transportation
plan would be general in content, articulating key policies and a
vision for the planning area. More detailed conceptual designs and
operational procedures, as agreed upon by key stakeholders, are
necessary to support project development. This proposed rule seeks to
implement this approach as part of the project development process.
There are two distinct sections to the proposal. The first deals with
development of an ITS regional architecture that lays the foundation
for integration in a metropolitan planning area or State. The second
deals with final project design and ensuring conformance to both the
ITS integration strategy and the ITS regional architecture.
Summary of Proposed Requirements
I. The ITS Regional Architecture
This NPRM on the ITS Architecture and Standards would require
development of a local implementation of the National ITS Architecture
referred to as an ITS regional architecture that is consistent with the
ITS integration strategy. The ITS regional architecture would be
tailored to meet local needs, meaning that it may not address the
entire National ITS Architecture and may also address services not
included by the National ITS Architecture. The ITS regional
architecture may be developed either through an initial regional
development effort or incrementally as major ITS investments are
anticipated. In either case, the ITS regional architecture should
contain a concept of operations and a conceptual design that addresses
the integration of new ITS projects as they are advanced. In this
context, a ``region'' is a geographical area that is based on local
needs for sharing information and coordinating operational strategies
among multiple projects. A region can be specified at a metropolitan,
statewide, multi-State, or corridor level. While ``regions'' for ITS
development may be at any geographic scale, responsibility for planning
rests with either the MPO or State planning process. For ITS purposes,
a region is any geographic area designated by the planning process. The
responsible planning entity (MPO or State) will address the ITS region
and ITS planning. Where ITS regions cross planning boundaries, they
should be coordinated by the appropriate planning entities (MPOs or
States). For ITS Commercial Vehicle Operation projects, the size of the
region should not be smaller than a State, with consideration for
multi-State, national, and international applications. A regional
approach promotes integration of transportation systems. The size of
the region should reflect the breadth of the integration of
transportation systems and may be at a metropolitan, statewide, multi-
State or corridor level.
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II. Project Development
Additionally, the proposed regulations would require that all ITS
projects be developed using a system engineering process, again
recommending the use of the National ITS Architecture as a resource.
Project development would be based on the relevant portions of the ITS
integration strategy and the ITS regional architecture which the
project implements. ITS projects would be required to use applicable
ITS standards that have been officially adopted by the DOT and
applicable interoperability tests officially adopted by the DOT. Where
multiple standards exist, it will be the responsibility of the
stakeholders to determine how best to achieve the interoperability they
desire.
III. FHWA Project Oversight Procedures
The FHWA project oversight procedures would remain consistent with
routine Federal-aid project oversight. Documentation of the proposed
ITS requirements would be required to be included in project documents.
Any changes made in project design that impact either the ITS
integration strategy or the ITS regional architecture would be
documented and the appropriate revisions made and agreed to in the ITS
integration strategy and/or the ITS regional architecture. All ITS
projects that advance to design or preliminary engineering would be
required to conform to the system engineering and conformity
requirements immediately upon the effective date of a final rule on the
National ITS Architecture and Standards. In the event that an
applicable ITS regional architecture or ITS integration strategy does
not exist, the applicable portions of the National ITS Architecture
would be identified and used as the basis for analysis. All
requirements of this proposal would apply for two years from the
effective date of a final rule. Replacement of existing systems would
not be required.
IV. Outreach Process
In the spring of 1998, the FHWA held ten nationwide outreach
meetings on a proposed conceptual approach for ensuring consistency
with the National ITS Architecture. These meetings were intended to
generate discussion and solicit input from the perspective of many
different transportation stakeholders on the feasibility of the
proposed FHWA approach. Meetings were attended by representatives of
Federal, State, local and regional transportation agencies, public
sector agencies that rely on Federal-aid funds for projects with ITS
components, and interested parties from universities and the private
sector. In general, stakeholders expressed the opinion that the interim
guidance and the use of system engineering principles represent good
practice. Stakeholders expressed a requirement for straightforward,
unambiguous guidance that could be implemented with a minimum of
additional paperwork, and largely agreed that the interim guidance met
this requirement. For more information please see ``National ITS
Architecture Consistency Outreach Meetings: Summary Findings (1998)''
which is included as part of this docket.
Rulemaking Analyses and Notices
All comments received before the close of business on the comment
closing date shown above will be considered and will be available for
examination in the docket at the above address. Comments received after
the comment closing date will be filed in the FHWA docket identified
above and will be considered to the extent practicable, but the FHWA
may issue a final rule at any time after the close of the comment
closing period. In addition to late comments, the FHWA will also
continue to file in the docket relevant information that becomes
available after the comment closing date, and interested persons should
continue to examine the docket for new material.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The FHWA has preliminarily determined that this proposed action is
not a significant regulatory action under Executive Order 12866 and
within the meaning of the Department of Transportation regulatory
policies and procedures. This determination is based upon the
regulatory assessment of the proposed rule that indicates that the
annual impact of the rule would not exceed $100 million nor would it
adversely affect the economy, a sector of the economy, productivity,
jobs, the environment, public health, safety, or State, local, or
tribal governments.
The FHWA has prepared a preliminary regulatory evaluation (PRE) to
accompany the NPRM. A copy of the PRE is included in the docket. The
FHWA believes that this proposed action would implement the
requirements of section 5206(e) of the TEA-21. Although this law
requires ITS projects funded through the highway trust fund to conform
to the National ITS Architecture, the FHWA would require development of
a regional architecture consisting of a concept of operations and a
conceptual design, and would require use of the system engineering
process, applicable or provisional standards, and protocols, and
interoperability tests developed by the DOT. In developing the proposed
rule, the FHWA has sought to allow broad discretion to those entities
impacted by the rule, in levels of response and approach, that are
appropriate to particular plans and projects while conforming to the
requirements of TEA-21. The FHWA has considered the costs and benefits
of effective implementation of ITS through careful and comprehensive
planning. ITS becomes part of the transportation planning process
through the locally defined ITS Integration Strategy. This ITS strategy
would guide future investment decisions and foster the benefits of
integration and interoperability. Developing the strategy as part of
the overall transportation planning process would ensure that ITS is
given appropriate consideration as a solution for future transportation
needs and services.
Costs
The total costs of this NPRM over 10 years is estimated between
$38.1 million and $44.4 million (the net present value over 10 years is
between $22.3 million and $31.2 million). The annual constant dollar
impact is estimated to range between $3.2 million and $4.4 million.
These 10-year cost estimates include transportation planning cost
increases, to MPOs ranging from $10.8 million to $13.5 million, and to
States from $5.2 million to $7.8 million. Estimated costs to
implementing agencies for the development of regional architectures
range between $15.8 million and $23.2 million.
These costs do not include additional implementation costs for
individual projects as commenters found the additional cost extremely
difficult to estimate. Those who responded suggested that the increased
cost of project implementation over current good practice would be
minimal. However, because of the limited amount of data available on
the additional implementation costs for individual projects, the FHWA
is seeking additional data on this issue from commenters to this NPRM.
Benefits
The anticipated non-monetary benefits derived include savings from
the avoidance of duplicative development, reduced overall development
time, and earlier detection of potential incompatibilities. As with
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project implementation impacts, the benefits of the NPRM are very
difficult to quantify in monetary terms. It is estimated that the
coordination guidance provided through implementation of the NPRM can
provide savings of approximately $150,000 to any potential entity
seeking to comply with the requirements of section 5206(e) of the TEA-
21 as compared with an entity having to undertake compliance
individually. The costs may be offset by benefits derived from the
reduction of duplicative deployments, reduced overall development time,
and earlier detection of potential incompatibilities.
In order to assist the FHWA's analysis of costs and benefits for
the final rule stage, the FHWA requests that commenters provide
additional information on the following questions:
(1) Are there implementation costs to project designers and
operators not properly represented in the present data?
(2) Are there updating and maintenance costs to any of the impacted
entities not properly reflected in the present data?
A detailed discussion of how the FHWA prepared its estimates is
provided in this NPRM for interested parties that are not able to
review the PRE.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (5 U.S.C. 601-
612), the FHWA has evaluated, through the regulatory assessment, the
effects of this action on small entities (small businesses, small
organizations, and local governments) and determined that this action
will not have a significant impact on small entities. Small businesses
and small organizations are not subject to this NPRM, which applies to
government entities only. The rule accommodates small governmental
entities in two significant ways. First, the planning component of the
NPRM would apply to MPOs and States. An MPO is the required
transportation planning organization for an urbanized area (23 CFR part
1410). An urbanized area, as defined in 23 U.S.C. 101, has a population
of 50,000 or more. Therefore small government agencies for areas having
populations of less than 50,000 would not be affected. Secondly, the
self-scaling aspect of the ITS Architecture NPRM would permit the
compliance requirements to vary with the magnitude of the ITS
requirements of the entity (small ITS projects have correspondingly
small compliance documentation requirements). Small entities, primarily
transit agencies, coming within the project implementation component of
the proposed rule would be accommodated through this self-scaling
feature that imposes only limited requirements on small ITS activities.
This same feature would also provide accommodation to MPOs that, while
larger than the small entity definition of the Regulatory Flexibility
Act, have only small ITS planning requirements. Accordingly, the FHWA
preliminarily certifies that this proposed action would not have a
significant impact on a substantial number of small entities. A copy of
the analysis on the small entity impact is provided in the docket file.
Unfunded Mandates Reform Act of 1995
This rule would not impose a Federal mandate resulting in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100 million or more in any one year. (2
U.S.C. 1531 et seq.).
Executive Order 13132 (Federalism)
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 13132, dated August 4, 1999, and
it has been determined that this action does not have a substantial
direct effect or sufficient federalism implications on States that
would limit the policymaking discretion of the States. Nothing in this
document directly preempts any State law or regulation.
Executive Order 12372 (Intergovernmental Review)
Catalog of Federal Domestic Assistance Program Number 20.205,
Highway planning and construction. The regulations implementing
Executive Order 12372 regarding intergovernmental consultation on
Federal programs and activities apply to this program.
Executive Order 12988 (Civil Justice Reform)
This proposed action would meet applicable standards in sections
3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to
minimize litigation, eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
We have analyzed this action under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This proposed rule is not economically significant and does not
concern an environmental risk to health or safety that may
disproportionately affect children.
Executive Order 12630 (Taking of Private Property)
This proposed rule would not effect a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.
Paperwork Reduction Act
This proposed action does not contain information collection
requirements for the purposes of the Paperwork Reduction Act of 1995,
44 U.S.C. 3501-3520.
National Environmental Policy Act
The agency has analyzed this proposed action for the purposes of
the National Environmental Policy Act of 1969, as amended (42 U.S.C.
4321), and has preliminarily determined that this proposed action would
not have any effect on the quality of the environment.
Regulation Identification Number
A regulation identification number (RIN) is assigned to each
regulatory action listed in the Unified Agenda of Federal Regulations.
The Regulatory Information Service Center publishes the Unified Agenda
in April and October of each year. The RIN contained in the heading of
this document can be used to cross reference this proposed action with
the Unified Agenda.
List of Subjects
23 CFR Part 655
Design standards, Grant programs-transportation, Highways and
roads, Incorporation by reference, Signs and symbols, Traffic
regulations.
23 CFR Part 940
Design standards, Grant programs-transportation, Highways and
roads, Intelligent transportation systems.
Issued on: May 18, 2000.
Vincent F. Schimmoller,
Acting Executive Director, Federal Highway Administration.
In consideration of the foregoing, the FHWA proposes to amend
Chapter I of title 23, Code of Federal Regulations, as set forth below:
PART 655--[AMENDED]
1. Revise the authority citation for part 655 to read as follows:
Authority: 23 U.S.C. 101(a), 104, 105, 109, 114, 135, 217, 315,
and 402; and 49 CFR 1.48.
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Subpart D--[Removed]
2. Remove subpart D of part 655, consisting of Secs. 655.401,
655.403, 655.407, 655.409, 655.411.
3. Add a new subchapter K, consisting of part 940, to read as
follows:
SUBCHAPTER K--INTELLIGENT TRANSPORTATION SYSTEMS
PART 940--INTELLIGENT TRANSPORTATION SYSTEM ARCHITECTURE AND
STANDARDS
Sec.
940.1 Purpose.
940.3 Definitions.
940.5 Policy.
940.7 Applicability.
940.9 ITS regional architecture.
940.11 Systems engineering analysis.
940.13 Project implementation.
940.15 Project administration.
Authority: 23 U.S.C. 101, 109, 315, and 508; sec 5206(e), Pub.
L. 105-178, 112 Stat. 457 (23 U.S.C. 502 note); and 49 CFR 1.48.
Sec. 940.1 Purpose.
The purpose of this regulation is to provide policies and
procedures relating to the Federal-aid requirements for intelligent
transportation systems (ITS) projects funded through the highway trust
fund.
Sec. 940.3 Definitions.
ITS integration strategy means a systematic plan for coordinating
and implementing ITS investments funded with highway trust funds to
achieve an integrated regional transportation system.
ITS project means any project that in whole or in part funds the
acquisition of technologies or systems of technologies (e.g. computer
hardware or software, traffic control devices, communications link,
fare payment system, automatic vehicle location system, etc.) that
provide or contribute to the provision of one or more ITS user services
as defined in the National ITS Architecture.
ITS regional architecture means a regional framework for ensuring
institutional agreement and technical integration for the
implementation of projects or groups of projects under an ITS
integration strategy.
National ITS Architecture (also ``national architecture'') means a
common framework for ITS interoperability. The National ITS
Architecture comprises the logical architecture and physical
architecture which satisfy a defined set of user services. All of these
documents are controlled by the FHWA, and are updated on an as-needed
basis. New versions of the documents, when they are issued, will be
available from the FHWA in hard copy and electronic format on the DOT
web site at http://www.its.dot.gov.
Region is the geographical area that is based on local needs for
sharing information and coordinating operational strategies in order to
address transportation problems. The size of the region should be
chosen to optimize integration of transportation systems by fostering
the exchange of information on operating conditions across ITS systems
and across a number of agencies and jurisdictions.
Systems engineering is the process to arrive at a final design of a
system which is selected from a number of alternatives that would
accomplish the same objectives. As in most disciplines, there are
usually a number of technical solutions to a set of requirements. This
process considers the total life cycle of the project in the evaluation
of alternatives including not only the technical merit of potential
solutions, but also the costs and relative value of the alternatives
that are responsive to the needs of the customer.
Sec. 940.5 Policy.
The ITS projects shall conform to the National ITS Architecture and
standards in accordance with the regulations contained in 23 CFR part
1410. Conformance with the National ITS Architecture is interpreted to
mean the use of the National ITS Architecture in developing a local
implementation of the National ITS Architecture, referred to as an ITS
regional architecture, and the subsequent adherence of all ITS projects
to that ITS regional architecture. Development of the ITS regional
architecture begins with the transportation planning process and the
development of an ITS integration strategy for Statewide and
Metropolitan Transportation Planning.
Sec. 940.7 Applicability.
All ITS projects that are funded in whole or in part with the
highway trust fund are subject to these provisions.
Sec. 940.9 ITS regional architecture.
(a) An ITS regional architecture shall be developed for
implementing the ITS integration strategy as provided in 23 CFR 1410.
214(a)(3) and 1410.322(b)(11) to guide the development of specific
projects and programs. The ITS regional architecture shall conform with
the applicable ITS integration strategy. The National ITS Architecture
shall be used as a resource in the development of the ITS regional
architecture.
(b) The ITS regional architecture may be developed either as an
initial project development effort and updated as projects are
initiated, or the ITS regional architecture may be developed
incrementally as major ITS investments are initiated and updated with
subsequent projects. In either case, provision shall be made to include
participation from all agencies with which information-sharing is
planned as specified in the ITS integration strategy.
(c) The ITS regional architecture shall include, at a minimum, the
following:
(1) A ``concept of operations'' that addresses the roles and
responsibilities of participating agencies, existing or required
agreements for operations, and resources required to support the
project, in order to implement the ITS integration strategy;
(2) A ``conceptual design'' sufficient to support subsequent
project design regarding the following:
(i) System functional requirements;
(ii) Interface requirements and information exchanges with planned
and existing systems and subsystems (for example, subsystems and
architecture flows as defined in the National ITS Architecture);
(iii) Identification of key standards supporting regional and
national interoperability, including uniformity and compatibility of
equipment, practices and procedures to deliver ITS services; and
(iv) A prioritization of phases or steps required in
implementation.
(d) The ITS regional architecture may be developed either as an
initial project development effort and updated as projects are
initiated, or the ITS regional architecture may be developed
incrementally as major ITS investment s are initiated and updated with
subsequent projects. If the ITS regional architecture is developed
incrementally, the ITS projects meeting the criteria specified in 23
CFR 1410.322(b)(11) shall have an ITS architecture at the project level
in order to advance to design or preliminary engineering. The ITS
architectures developed for specific individual projects or initiatives
that meet these criteria shall be coordinated with each other to form
an ITS regional architecture.
Sec. 940.11 Systems engineering analysis.
(a) All ITS projects shall be based on a systems engineering
analysis. The National ITS Architecture is a resource that should be
used in the development of ITS projects.
(b) The analysis should be on a scale commensurate with the project
scope. The basic elements of the analysis are as follows:
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(1) Identification of applicable parts of the ITS regional
architecture or ITS integration strategy;
(2) Preliminary analysis, including project objectives, existing
systems resources, existing and future personnel and budget resources
for operations, management and maintenance of systems;
(3) Analysis of alternative system configurations and technology
options;
(4) Analysis of procurement options; and
(5) Identification of applicable standards and testing procedures,
particularly those that support national interoperability.
Sec. 940.13 Project implementation.
(a) The project specifications shall ensure that the project
accommodates the sharing of electronic information and provides for the
functionality and operation (both at the time of project implementation
and in the future) between the agencies and jurisdictions as indicated
in the ITS integration strategy and/or the ITS regional architecture.
(b) All ITS projects funded with highway trust funds shall use
applicable ITS standards that have been officially adopted by the
United States Department of Transportation (US DOT).
(c) The ITS standards that are pertinent to the project should be
used as they become available, prior to adoption by the US DOT.
(d) All ITS projects funded with highway trust funds shall conduct
the applicable interoperability tests that have been officially adopted
by the US DOT.
(e) Interoperability tests that are pertinent to the project should
be used as they become available, prior to adoption by the US DOT.
Sec. 940.15 Project administration.
(a) Prior to authorization of highway trust funds for construction
or implementation, there shall be a demonstrated linkage to the ITS
regional architecture or to the ITS integration strategy, and a
commitment to the operations, management and maintenance of the overall
system.
(b) Documentation of compliance with the provisions of Secs. 940.11
and 940.13 shall be developed by project sponsors. The documentation
shall include identification of the portions of the ITS regional
architecture and/or ITS integration strategy which are implemented
through the project, and the identification of applicable ITS standards
and/or interoperability tests that were considered or are specified in
the project. Documentation of the rationale and interagency
coordination strategies that were carried out to agree upon certain
changes shall be provided in the event that any changes are made in the
implementation of projects contrary to the ITS regional architecture
and/or the ITS integration strategy. In addition, the ITS regional
architecture and/or ITS integration strategy shall be updated to
reflect the changes.
(c) ITS projects shall be monitored for compliance with this part
under normal Federal-aid project oversight procedures.
(d) Prior to (two years after date of final rule publication in the
Federal Register), the ITS architectures are not required for projects
that meet any of the criteria as specified in 23 CFR 1410.322(b)(11).
The criteria identify major regional ITS initiatives, ITS projects that
affect regional integration of ITS systems, and projects which directly
support national interoperability.
(e) In order to ensure that each project identified in 23 CFR
1410.322(b)(11) is coordinated with the evolving regional architecture
provided in Sec. 940.9(b), these projects shall be evaluated for
institutional and technical integration with transportation systems and
services within the region. Based upon this evaluation of the
project(s), highway trust fund recipients shall immediately take the
appropriate actions to ensure that the project(s) perform the following
functions:
(1) Engages a wide range of stakeholders;
(2) Enables the appropriate electronic information sharing between
stakeholders;
(3) Facilitates future ITS expansion; and
(4) Uses the applicable ITS standards provided in Sec. 940.13(b).
(f) All ITS projects that advance to design or preliminary
engineering must conform with the system engineering and conformity
requirements provided in Secs. 940.11 on or before (Insert effective
date of final rule). In the event that an applicable ITS regional
architecture or ITS integration strategy does not exist, the applicable
portions of the National ITS Architecture shall be identified and used
as the basis for analysis.
[FR Doc. 00-13023 Filed 5-19-00; 1:15 pm]
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