T3 Session FTA Policy and Federal Requirements for Regional ITS Architectures

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


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.


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 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

http://www.its.dot.gov/aconform/aconform.htm



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


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


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

http://www.fta.dot.gov/legal/guidance/dear_colleague/2003/178_1044%20ENG_HTML.htm














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.”


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


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.


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


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


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


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


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



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



7. Identification of ITS standards supporting regional and national interoperability

8. Sequence of projects required for implementation

*AT A MINIMUM


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.


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.


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


Planned FTA Oversight

• Self-Certification in FTA Grants• Triennial Reviews• Requested Assistance


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


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.


Recommended checks for Recommended checks for ITS projectsITS projects

• Be sure as grantee you have certified compliance with the ITS regulations.


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.


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.


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.


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


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


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


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


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


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


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


Systems Engineering Life Cycle

Assessment

DefinitionandDecomposition

Time

Integration,Verification,andValidation


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


Recommended Process for Regional ITS

Architecture Development


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


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


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


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


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


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


Regional ITS Architecture Outputs

What may a Regional ITS Architecture look like?• Document(s)

• Diagrams

• Database(s)

• CD-ROM

• Web Pages

• Turbo Architecture database


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

http://mctrans.ce.ufl.edu/featured/turbo/


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














Documents

T3 Session FTA Policy and Federal Requirements for Regional ITS Architectures