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FTA Policy and Federal Requirements for Regional ITS Architecture
FTA Policy and Federal Requirements for Regional ITS Architectures
1
T3 Session
FTA Policy and Federal
Requirements for Regional ITS Architectures
FTA Policy and Federal Requirements for Regional ITS Architecture 2
Your Session Leaders
HOST:
Jeffrey Davis, ITS Specialist, FTA Region 9
PRESENTER:
Brian Cronin, Team Leader, APTS Division, FTA
FTA Policy and Federal Requirements for Regional ITS Architecture 3
Session Learning Objectives
You will be able to:
• Understand what compliance with the FTA policy means for a transit agency, including FTA implementation guidance, TEAM input and self-certification, and how to address the seven items on the systems engineering form.
FTA Policy and Federal Requirements for Regional ITS Architecture 4
US DOT’s Broad Policy Goals For ITS
• Foster integration of Intelligent Transportation Systems
• Provide for future interoperability of key ITS services at a national level
• Engage a wide range of stakeholders
• Facilitate cost-effective ITS expansion
• Enable electronic information sharing
FTA Policy and Federal Requirements for Regional ITS Architecture 5
FTA ITS Architecture Policy in a Nutshell(http://www.its.dot.gov/aconform/aconform.htm)
• Implements Section 5206(e) of TEA-21 –Parallel FHWA rule published concurrently
• Regional architecture must be in place by April 8, 2005 for regions now implementing/operating ITS projects (or w/in 4 yrs of 1st ITS project)
• ITS projects funded by Hwy Trust Fund(HTF) and the Mass Transit Account (MTA) must conform
• Major ITS Projects implemented after April 8, 2001 must have project level architecture if regional architecture is not in place
• All ITS projects must be based on a systems engineering analysis and use USDOT adopted ITS standards
• Regional ITS architecture development must be consistent with the area’s transportation planning process
• FTA grantees will self-certify compliance
FTA Policy and Federal Requirements for Regional ITS Architecture 6
Background: FTA Policy/FHWA Rule
• US DOT issued interim guidance in October 1998 on consistency with the National ITS Architecture
• FTA and FHWA worked together to establish common policies on ITS architecture conformity
FTA Policy and Federal Requirements for Regional ITS Architecture 7
Regional ITS Architecture Completion Deadlines
• If region is deploying ITS projects, must have regional ITS architecture by April 8, 2005
• If no ITS projects deployed yet, regional ITS architecture must be developed within 4 years after its first ITS project reaches final design
FTA Policy and Federal Requirements for Regional ITS Architecture 8
Federal ITS Requirements
FTA 2003 Guidance is posted at:
http://www.fta.dot.gov/legal/guidance/dear_colleague/2003/178_1044 ENG_HTML.htm
FR January 2001 as Final FTA Policy and Final FHWA Rule :
http://www.ops.fhwa.dot.gov/its_arch_imp/policy.htm
FTA Policy and Federal Requirements for Regional ITS Architecture 9
Policy
“ITS projects shall conform to the National ITS Architecture and standards...”
Meaning: • Projects must adhere to a regional ITS architecture. • A regional architecture is developed using the
National ITS Architecture and identifies appropriate ITS standards.
“Development of the regional ITS architecture should be consistent with the transportation planning process for Statewide and Metropolitan Transportation Planning.”
FTA Policy and Federal Requirements for Regional ITS Architecture 10
Policy Applies To Any ITS Projects Funded by the
HTF/MTA• FTA Grants Programs funded from HTF that may
include ITS are:– USC 5313 & 5314 – State & National Planning and
Research– USC 5307 and 5311– Urbanized & Non-urbanized
Area Formula– USC 5312 – Research Development and
Demonstration– USC 5309 – Capital Program
• New Starts• Fixed Guideway Modernization • Bus and Bus-related Facilities
• There were some grandfathered exceptions
FTA Policy and Federal Requirements for Regional ITS Architecture 11
What is ITS?
ITS improves transportation safety and mobility and enhances productivity through the use of advanced communications technologies.
ITS Technology Overview Web Site: http://itsdeployment2.ed.ornl.gov/technology_overview.
FTA Policy and Federal Requirements for Regional ITS Architecture 12
Transit ITS Project Examples
• Traveler Information• Transit Management
Systems• Automatic Vehicle
Location Systems• Automatic
Passenger Counters• Ride Matching• Vehicle Monitoring
Systems• Signal Priority
• Electronic Fare Payment
• Communications links
• Video surveillance systems
• Collision Avoidance• Archived data
management• Traffic/Transit
Management Centers• Highway/Rail
Inspection equipment
FTA Policy and Federal Requirements for Regional ITS Architecture 13
Is It An ITS Project or Not?
• New computers for transit agency management staff
• Fare collection equipment• Real-time passenger information• Data management software to
assist in third-party billing• Voice communication system
FTA Policy and Federal Requirements for Regional ITS Architecture 14
Is It An ITS Project or Not? (continued)
• Maintenance management software
• Software to monitor drug and alcohol testing program
• Computed-assisted scheduling and dispatching software
If in doubt, go to the ITS website at:http://www.its.dot.gov/index.htm
If still in doubt, contact the FTA Regional Office ITS specialist
FTA Policy and Federal Requirements for Regional ITS Architecture 15
What Is a Regional ITS Architecture?
A regional framework for ensuring institutional agreement and technical integration for the
implementation of ITS projects, or groups of projects
FTA Policy and Federal Requirements for Regional ITS Architecture 16
A Regional Architecture Shall Contain*...
1. Description of the region
2. Identification of the participating agencies and stakeholders
3. An operational concept that identifies the roles and responsibilities of the stakeholders
*AT A MINIMUM
FTA Policy and Federal Requirements for Regional ITS Architecture 17
A Regional Architecture Shall Contain*...
4. Any agreements required for operations
5. System functional requirements (high-level)
6. Interface requirements and information exchanges with existing and planned systems and subsystems
*AT A MINIMUM
FTA Policy and Federal Requirements for Regional ITS Architecture 18
A Regional Architecture Shall Contain*...
7. Identification of ITS standards supporting regional and national interoperability
8. Sequence of projects required for implementation
*AT A MINIMUM
FTA Policy and Federal Requirements for Regional ITS Architecture 19
Why is it important to be part of a Regional
Architecture?• Encourage the inclusion of all transit ITS
components (once a regional architecture is adopted, all ITS projects must be consistent with it);
• Help define ITS regional boundaries (some transit agencies operate in a larger area than the locally defined region);
• Participate in inter-agency agreements to support the regional ITS architecture and…
The FTA requires it to obtain funding for ITS projects.
FTA Policy and Federal Requirements for Regional ITS Architecture 20
Regional Architecture
• A regional ITS architecture shall be developed to guide the development of ITS projects and programs and be consistent with ITS strategies and projects contained in the applicable transportation plans.
• The National ITS Architecture shall be used as a resource in developing the regional ITS architecture.
• The regional ITS architecture shall be on a scale commensurate with ITS investment in the region.
• The regional ITS architecture shall be maintained as regional needs evolve.
FTA Policy and Federal Requirements for Regional ITS Architecture 21
Determining if there is a Regional Architecture in
Place• Contact these organizations:
– FTA Region; FHWA Resource Center– Metropolitan Planning Organization (MPO)– State (State DOT)– Interurban Corridor (Corridor Coalition)– Rural Development Area (RDA Office)– Other regional agencies (e.g. RTAs)
There may be more than one architecture
FTA Policy and Federal Requirements for Regional ITS Architecture 22
Planned FTA Oversight
• Self-Certification in FTA Grants• Triennial Reviews• Requested Assistance
FTA Policy and Federal Requirements for Regional ITS Architecture 23
Meeting the Policy Requirements In TEAM
• Recipient Self-Certification– Certify compliance with all requirements
for ITS conformity.
• Architecture Compliance– Specify if grant includes ITS projects. Also
specify if ITS Regional Architecture exists or is in development.
• ITS Tracking– Identify ITS type: Fleet
Management,Electronic Payment, Traveler Information
FTA Policy and Federal Requirements for Regional ITS Architecture 24
Recommended Approach: ITS projects in TEAM For
Grantees
• Self-Certify compliance to FTA ITS Policy.• Identify ITS projects in Project Description.
Include statement about how it complies with the FTA Architecture Policy.
• If possible, prepare itemized budgets with the ITS components separated out. Each ITS project should be assigned to its major ITS category using NON-ADD SCOPE CODES.
• Each ITS component in a project should have a corresponding ALI code in both the Overall Budget and the NON-ADD SCOPE.
• Enter specific elements of an ALI code/ITS component in the “details” screen.
FTA Policy and Federal Requirements for Regional ITS Architecture 25
Recommended checks for Recommended checks for ITS projectsITS projects
• Be sure as grantee you have certified compliance with the ITS regulations.
FTA Policy and Federal Requirements for Regional ITS Architecture 26
Review Project Description
• Identify ITS projects in Project Description. • Include statement about how it complies with the FTA
Architecture Policy.
Sample Language:
This bus purchase includes the purchase of automatic vehicle location equipment as part of the grant. XYZ transit agencies' implementation of an automatic vehicle location system is part of the regional ITS architecture. Detailed information can be found in Section X of the architecture. This project is consistent with the regional ITS architecture. A systems engineering process was used in the development of this project.
FTA Policy and Federal Requirements for Regional ITS Architecture 27
Recommended checks for ITS projects
• Verify the budget details for the project.
• Check to make sure the ITS NON-ADD SCOPE CODES were used
• 99300 – ITS Fleet Management• 99400 – ITS Electronic Fare Management• 99500 – ITS Traveler Information• Check the Overall Project Budget
elements to match ALI codes under each NON-ADD SCOPE. Verify the amounts specified as ITS in the NON-ADD SCOPE.
FTA Policy and Federal Requirements for Regional ITS Architecture 28
Maintaining The Regional ITS Architecture
A Living Document:
Agencies and stakeholders participating in Agencies and stakeholders participating in the development of the Regional Architecture the development of the Regional Architecture shall develop and implement procedures and shall develop and implement procedures and responsibilities for maintaining it, as needs responsibilities for maintaining it, as needs evolve within the region. evolve within the region.
FTA Policy and Federal Requirements for Regional ITS Architecture 29
Project Implementation: Provisions
(a) Use of systems engineering analysis
(b) SE analysis on a scale commensurate with project scope
(c) SE analysis elements (minimum)
(d) Final project design accommodation of interfaces/info exchanges specified in regional architecture
FTA Policy and Federal Requirements for Regional ITS Architecture 30
Project Implementation: Provisions
(e) Conditions requiring development of project architecture
(f) Use of standards when adopted
(g) Exemption: Projects in final design stage by April 8, 2001
FTA Policy and Federal Requirements for Regional ITS Architecture 31
Project Implementation
“All ITS projects funded with highway trust funds shall be based on a systems engineering analysis ... commensurate with the project scope.”
Does not apply to:– Research projects– Projects in existence before TEA-21– O&M on projects existing before 6/9/98
FTA Policy and Federal Requirements for Regional ITS Architecture 32
What is “a Systems Engineering Analysis”?
A structured process for arriving at a final system design
• Considers the total project life cycle
• Final design is selected from a range of alternatives that accomplish same objectives
• Considers both technical merits and the costs and relative value of the alternatives
FTA Policy and Federal Requirements for Regional ITS Architecture 33
SE Analysis Requirements
At a MINIMUM, the SE analysis shall include seven elements:
1. Reference to Regional ITS Architecture and Required Update
2. Each participating agency and their roles and responsibilities
3. Requirements Definition
FTA Policy and Federal Requirements for Regional ITS Architecture 34
SE Analysis Requirements
4. Alternatives Analysis
5. Analysis of Financing & Procurement
6. ITS Standards and Testing Procedures
7. Procedures for Operations and Management of the system
FTA Policy and Federal Requirements for Regional ITS Architecture 35
Participating agencies
Requirements definition
Alternatives analysis
Procurement options
ITS Standards
Operations and maintenance
Conceptof Operations
High LevelRequirements
DetailedRequirements
High LevelDesign
DetailedDesign
Regional ITS Architecture Reference
How the Final Policy Relates to Systems Engineering
FTA Policy and Federal Requirements for Regional ITS Architecture 36
Systems Engineering Life Cycle
Assessment
DefinitionandDecomposition
Time
Integration,Verification,andValidation
FTA Policy and Federal Requirements for Regional ITS Architecture 37
Why Use Systems Engineering?
• Design and implementation of ITS projects requires consistency, orderliness, and discipline
• SE ensures the development of a system that reflects the needs of stakeholders and users
• Leads to improved system reliability and stability
• Improves the chances of developing a system on time and within budget
FTA Policy and Federal Requirements for Regional ITS Architecture 38
Recommended Process for Regional ITS
Architecture Development
FTA Policy and Federal Requirements for Regional ITS Architecture 39
Regional Architecture DevelopmentStep #1: Get Started
• Identify StakeholdersThat own or operate ITSThat own or operate ITS systems and other
agencies that have an interest in regional transportation issues
• Identify ITS Champion(s)To lead and manage architecture development
effort
•Identify Need– ITS projects planned?
•Define Region– Geographic boundary, timeframe, and scope of services
FTA Policy and Federal Requirements for Regional ITS Architecture 40
Regional Architecture DevelopmentStep #2: Gather Data
• Develop Operational Concepts – Roles and
Responsibilities
• Define Functional Requirements – Primary (high-level)
functions of the ITS systems
•Inventory ITS Systems–Existing and planned ITS systems
•Determine Needs and Services
–That ITS systems will provide
FTA Policy and Federal Requirements for Regional ITS Architecture 41
Regional Architecture DevelopmentStep #3: Define Interfaces
• Identify Interconnects– Which subsystems, or subsystems and
terminators, will talk to each other?
• Define Architecture Flows– What types of information will they share?
Emergency Management SSMetro Police
Emergency System
Traffic Management SS
Freeway ManagementCenter
Emergency Management SS
Metro Fire Emergency System
Traffic Management SSSuburban Traffic
Signal Control System
Emergency Management SS
State Highway Patrol Emergency System
Traffic Management SS
Metro Signal Control System
Traffic Management SSLocal Traffic
Signal Control System
Emergency Vehicle SS
State Highway Patrol Fleet
Information Service Provider SS
State DOT Web Site
FTA Policy and Federal Requirements for Regional ITS Architecture 42
Regional Architecture DevelopmentStep #4: Get Ready to
Implement• Define Project Sequencing
– Evaluate projects – Identify project dependencies
• Develop List of Agency Agreements– Consider existing agreements– Identify where new ones are needed (and
type of agreement)
• Identify ITS Standards– Based on interconnects and information
flows chosen– Identify regional standards in use
FTA Policy and Federal Requirements for Regional ITS Architecture 43
Regional Architecture DevelopmentStep #5: Use the Regional
ITS Architecture• In the Transportation Planning
Process– Regional Transportation Plan– Transportation Improvement
Program (TIP)– State Transportation
Improvement Program (STIP)– ITS Strategic Plan
• To Support Project Implementation– Project definition– Request for Proposal (RFP)
generation– Project implementation
FTA Policy and Federal Requirements for Regional ITS Architecture 44
Regional Architecture DevelopmentStep #6: Maintain the
Regional ITS Architecture
• Architecture is a “living” document– Need to update periodicallyNeed to update periodically
• Aspects of Maintaining the Regional ITS Architecture– Determine who will be responsibleDetermine who will be responsible– Define the architecture baselineDefine the architecture baseline– Define the change management processDefine the change management process– Document all in a Maintenance PlanDocument all in a Maintenance Plan
FTA Policy and Federal Requirements for Regional ITS Architecture 45
Regional ITS Architecture Outputs
What may a Regional ITS Architecture look like?• Document(s)
• Diagrams
• Database(s)
• CD-ROM
• Web Pages
• Turbo Architecture database
FTA Policy and Federal Requirements for Regional ITS Architecture 46
Training/Technical Assistance
• Training through NTI, NHI, ITE• Sample Courses
• Complying with the FTA’s Policy on ITS Arch. Consistency
• ITS Arch. Standards and Conformity• Turbo Architecture (
http://mctrans.ce.ufl.edu/featured/turbo/ )
• Technical Assistance• ITS Peer-to-Peer program• USDOT ITS Service Plan• FTA Architecture Oversight and Technical
Assistance
• National ITS Architecture, Version 5.0:- http://www.its.dot.gov/arch/arch.htm
FTA Policy and Federal Requirements for Regional ITS Architecture 47
Key Websites Again
• http://www.its.dot.gov/aconform/aconform.htm
• http://www.fta.dot.gov/legal/guidance/dear_colleague/2003/178_1044 ENG_HTML.htm
• http://www.ops.fhwa.dot.gov/its_arch_imp/policy.htm