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T3 Session FTA Policy and Federal Requirements for Regional ITS Architectures

Learn about the FTA policy and federal requirements for regional ITS architecture, including compliance, implementation guidance, and self-certification. Understand the goals and benefits of ITS integration and interoperability.

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T3 Session FTA Policy and Federal Requirements for Regional ITS Architectures

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  1. 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

  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. 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 Transit ITS Project Examples 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 agreementand 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*... • Description of the region • Identification of the participating agencies and stakeholders • 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 • System functional requirements (high-level) • 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*... • Identification of ITS standards supporting regional and national interoperability • 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. Meetingthe 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 ITS 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 the development of the Regional Architecture shall develop and implement procedures and responsibilities for maintaining it, as needs 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. How the Final Policy Relates to Systems Engineering Regional ITS Architecture Reference Concept of Operations Participating agencies Requirements definition Alternatives analysis Procurement options ITS Standards Operations and maintenance High Level Requirements Detailed Requirements High Level Design Detailed Design FTA Policy and Federal Requirements for Regional ITS Architecture

  36. Systems Engineering Life Cycle Assessment Definition and Decomposition Integration, Verification, and Validation Time 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 Stakeholders That 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 • Inventory ITS Systems • Existing and planned ITS systems • Determine Needs and Services • That ITS systems will provide • Develop Operational Concepts • Roles and Responsibilities • Define Functional Requirements • Primary (high-level) functions of the ITS systems FTA Policy and Federal Requirements for Regional ITS Architecture

  41. Regional Architecture DevelopmentStep #3: Define Interfaces Emergency Vehicle SS Traffic Management SS Emergency Management SS State Highway Freeway Management Metro Fire Emergency System Patrol Fleet Center Emergency Management SS Emergency Management SS Traffic Management SS Metro Police Emergency System State Highway Patrol Metro Signal Control System Emergency System Information Service Provider SS Traffic Management SS Traffic Management SS Local Traffic Signal Control System Suburban Traffic State DOT Web Site Signal Control System • Identify Interconnects • Which subsystems, or subsystems and terminators, will talk to each other? • Define Architecture Flows • What types of information will they share? 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 periodically • Aspects of Maintaining the Regional ITS Architecture • Determine who will be responsible • Define the architecture baseline • Define the change management process • Document 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 FTA Policy and Federal Requirements for Regional ITS Architecture

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