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On January 8, 2001, the
U.S. Department of Transportation published two important and related documents
in the Federal Register:
Ø
The Federal Highway
Administration’s Final Rule on the National ITS Architecture
Ø
The Federal Transit
Administration’s Policy on the National ITS Architecture.**
(**These documents are
similar in nature and both became effective on April 8, 2001. Their differences reflect the processes by
which FHWA and FTA administer projects.)
The intention of the new Rule and Policy (hereafter,
Rule/Policy) is to foster integration of the deployment of regional ITS
systems. Regional ITS architectures
help guide the integration of ITS components.
During the development of a regional ITS architecture, agencies that own
and operate transportation systems must together consider current and future
needs to ensure that today's processes and projects are compatible with future
ITS projects.
ITS components that operate together and as part of a system will
enhance safety and mobility and reduce the possibility of costly incompatible
systems in the future.
PAMPHLET OVERVIEW
How does the final Rule/Policy
affect the planning and operations of regional transportation systems? How does it affect transportation
practitioners who are planning or implementing ITS systems? This pamphlet addresses these questions by
presenting guidance and information on the following subjects:
A.
The reason for the Rule/Policy.
B.
The relationship of the National
ITS Architecture to regional ITS architectures.
C.
New requirements and the use of
systems engineering.
D.
The relationship of the regional
ITS architecture to ITS standards.
E.
Tools for the ITS practitioner —
training and technical assistance.
A. REASON
FOR THE RULE/POLICY
In 1997, Congress passed
the Transportation Equity Act for the 21st Century (TEA-21) to
address the need to begin to work toward regionally integrated transportation
systems. With the application of ITS
technologies, different transportation networks run by different agencies can
begin to function cooperatively to achieve greater efficiency and safety.
The Rule/Policy implements section
5206(e) of TEA-21, which requires that all ITS projects funded from the Highway
Trust Fund (which includes transit projects funded from the Mass Transit
Account) be in conformance with the National ITS Architecture and appropriate
standards.
Copies of the complete text of
the regulation can be found on the Internet on the Office of the Federal
Register’s web site at: www.nara.gov/fedreg and the Government Printing Office’s
web site at: www.access. gpo.gov/nara.
The document may also be viewed on the DOT’s ITS website at: www.its.dot.gov and on the FTA’s web site at: www.fta.dot.gov.
B. THE NATIONAL ITS
ARCHITECTURE & REGIONAL ITS ARCHITECTURES
The National ITS Architecture is a useful tool to guide ITS
practitioners in developing regional ITS architectures. It is a common framework that guides
practitioners in establishing ITS interoperability and helps them choose the
most appropriate strategies for processing transportation information. It defines the system components, key
functions, organizations involved in developing an architecture, and the type
of information to be shared between organizations and between parts of the system.
Because it is unlikely that the entire National ITS Architecture would
be fully implemented by any single metropolitan area or state, the Rule/Policy
requires that the National ITS Architecture be used to develop a local
implementation, or a “regional ITS architecture.” A regional ITS architecture is a local
implementation, or subset, of the National ITS Architecture, developed with
local requirements in mind.
A region is defined by local participants and is based on the needs for information sharing and coordination. It can be a metropolitan area, a state, a multi-State area, or a corridor.
The National ITS Architecture is maintained by the United
States Department of Transportation (DOT) and is available on the DOT web site
at http://www.its.dot.gov. As they become available, examples of
regional ITS architectures will be posted on the web at http://www.its.dot.gov/aconform/aconform.htm
to provide guidance. Currently, only a
few regions have attempted to develop their own regional ITS architecture. ITS America hosts these examples at: http://www.itsa.org/architecture.html.
C. NEW
REQUIREMENTS
The Rule/Policy states that if a region is already deploying
ITS projects, then a regional ITS architecture must be developed within four
years of the effective date or by April 8, 2005. If a region has not yet deployed an ITS
project, then a regional ITS architecture must be developed within four years
of the deployment of the initial ITS project in the region. Until a regional ITS architecture is in
place, the Rule/Policy requires that all major ITS projects have a
project level architecture to ensure the proper consideration of regional
integration. All ITS projects must
follow the systems engineering process that is described on the next page.
What is
a Major ITS Project? Any ITS project that implements part of a regional ITS initiative that
is multi-jurisdictional, multi-modal, or otherwise affects regional
integration of ITS systems.
What happens if this deadline is not met? After April 8, 2005, no new ITS
projects can advance without demonstrating compliance with a regional ITS architecture. So, if a region has not developed a regional
ITS architecture, new ITS projects funded with Highway Trust Fund monies cannot
advance until a regional ITS architecture has been developed.
What are the new requirements? The Rule/Policy states that if the
architecture is to fulfill the objective of promoting ITS integration within a
region, a regional ITS architecture must define how agencies, modes, and
systems will interact and operate. At a
minimum, the regional ITS architecture shall include the following (as stated
in the Rule/Policy):
Ø
A description of the region.
Ø
Identification of participating
agencies and other stakeholders.
Ø
An operational concept that
identifies the roles and responsibilities of participating
agencies and stakeholders in the
operation and implementation of the systems included in the regional ITS
architecture.
Ø
Any agreements (existing or new)
required for operations including, at a minimum,
those affecting ITS project
interoperability, utilization of ITS related standards, and the operation of
the projects identified in the regional ITS architecture.
Ø
System functional requirements.
Ø
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).
Ø
Identification of ITS standards
supporting regional and national interoperability.
Ø
The sequence of projects required
for implementation.
It is important to note
that the Final Rule/Policy does not require any changes or modifications to
existing systems to conform to the National ITS Architecture. It is very likely, however, that a regional
ITS architecture developed by local agencies and other stakeholders would call
for the modification of legacy systems over time to support desired
integration.
Using a Systems Engineering
Perspective
The Rule/Policy also
requires all ITS projects be developed using systems engineering. Systems engineering is an approach to
designing projects that employs an iterative process in the design, testing,
and evaluation of the implementation. A
systems engineering approach requires the project team to consider all phases
of a system’s lifecycle from the moment of the system’s conception to its
installation. This means taking into
consideration the stages of planning, design, procurement, deployment,
operations, maintenance, expansion, and retirement of the system or
subsystems. This approach also requires
the team to:
Ø
Identify alternatives at each
step of building the system.
Ø
Evaluate each alternative based
on costs, political and technical considerations, and customer needs.
Ø
Consider what risks exist
throughout the process and plan for their management.
For ITS projects, the systems
engineering analysis shall include, at a minimum (as stated in the
Rule/Policy):
Ø
Identification of portions of the
regional ITS architecture being implemented (or if a regional ITS architecture
does not exist, the applicable portions of the National ITS Architecture).
Ø
Identification of participating
agencies’ roles and responsibilities.
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Requirements definitions.
Ø
Analysis of alternative system
configurations and technology options to meet requirements.
Ø
Procurement options.
Ø
Identification of applicable ITS
standards and testing procedures.
Ø
Procedures and resources
necessary for operations and management of the system.
D. RELATIONSHIP OF THE REGIONAL ITS
ARCHITECTURE TO ITS STANDARDS
The Rule/Policy
requires that federally funded ITS projects use, where appropriate, U.S. DOT
adopted ITS standards. If the National
ITS Architecture defines a common framework for ITS integration, the ITS
standards define how the
system components operate within this framework. By specifying how systems and components interconnect, the
standards allow for interoperability.
To expedite deployment of nationally interoperable ITS systems and
services, the U.S. DOT supports specific ITS standards initiatives, especially
in areas that have significant public benefit.
The U.S. DOT ITS Standards Program
is working toward the widespread use of standards to encourage the
interoperability of ITS systems.
Through cooperative agreements with five standards development
organizations (SDOs), the Standards Program is accelerating development of
non-proprietary, industry and consensus-based ITS standards, and is encouraging
public-sector participation in the development process.
At this time, various SDO's are developing over 80 ITS
standards. Many of these standards are
in the testing phase, though some have been deployed in the real-world. As an SDO-approved standard matures and the
market for a standard expands, the U.S. DOT may decide to adopt an ITS standard through a formal rulemaking process. Only after a rulemaking is completed will an
ITS standard be required for use in federally funded ITS projects. To date, no standards have been adopted by
the U.S. DOT.
When is
an ITS Standard Ready for U.S. DOT Adoption?
To begin, not every ITS standard will be considered for U.S. DOT
adoption. Adoption will be most relevant
for those standards that apply to systems that might be acquired using Highway
Trust Fund dollars. For an ITS standard
to be considered for adoption by the U.S. DOT, the standard must, at a minimum,
meet the following criteria:
Ø
The standard must be approved by
an SDO.
Ø
The standard has been
successfully tested in real world applications as appropriate.
Ø
The standard has received some
degree of acceptance by the community served by the standard.
Ø
Products exist to implement the
standard.
Ø
There is adequate documentation
to support the use of the standard.
Ø
There is training available in
the use of the standard where applicable.
Meeting
these criteria may take a standard one to three years from the time it is
approved by an SDO. Once an ITS
standard passes these criteria, a formal rulemaking process may be initiated by
the U.S. DOT ITS Standards Program. The
process offers the user community the opportunity for discussion and comment on
the standard before it is required for use in federally funded ITS projects.
Encouraging the use of ITS standards
In the
absence of adopted ITS standards, ITS practitioners are encouraged to use
SDO-approved ITS standards when deploying ITS projects in their region. The use of ITS standards is necessary to
provide integrated, fully open systems.
U.S.
DOT will continue to encourage stakeholders to test developing standards, and
where available, use ITS standards products in deployment. In support of early deployment, the ITS
Standards Program offers a set of information and resources to
those ITS project managers
who decide to use ITS standards now. A
new web site located at www.its-standards.net, exists to
provide background information, testing results, and guides to deploying
specific standards. In addition, links
to contacts, training, and technical assistance resources can also be found on
this site.
Early deployers are
frequently the first to try out ITS standards as part of the ITS deployment
program within their area. Their role in the promotion of ITS standards
is to be applauded, as the nation and their local communities benefit from the
installation of open systems. Early
deployers are helping to grow the market for ITS standards products. They are
also reducing the risk of being locked into proprietary products that can only
be maintained by a single vendor over the lifetime of the installation. They are installing systems that will lead
to easier future expansion, compatibility, and interoperability.
E. TOOLS FOR THE ITS
PRACTITIONER — OUTREACH, TRAINING, AND TECHNICAL ASSISTANCE
Questions about conformity
with the final Rule/Policy abound, as ITS practitioners face the prospect of
developing a regional ITS architecture and designing ITS systems based on ITS
standards. To help navigate the maze of
issues and needs, U.S. DOT will continue to provide ITS practitioners with the
necessary guidance through information packets, outreach, training workshops
and courses, and technical assistance.
The ITS Joint Program Office has developed two separate programs, or
tracks of training and technical assistance, to provide the targeted support
ITS practitioners will need. They are an Architecture Development Track and a
Standards Implementation Track
The Architecture Development Track
This
track is designed to support the development of regional ITS
architectures. Areas that would benefit
most from this track are areas that are about to engage in the development of a
regional architecture, or are already in the process of doing so and are
looking for assistance assuring regional integration. Included in this track
will be training, workshops, and technical assistance.
Training will consist of the following courses:
Ø
ITS Architecture Standards
and Conformity: FHWA Rule and FTA Policy: A ½ day, briefing session for State and local officials that is
available through the field offices of FHWA and FTA.
Ø
National ITS Architecture
Course: A 2-day, interactive classroom
course introducing the concepts, terms, and tools. This course is available through the National Highway Institute (www.nhi.fhwa.dot.gov).
Ø
Introduction to Systems
Engineering: An introductory course that will be offered through the classroom or on
the web (check the ITS Professional Capacity Building web site for up-to-date
information at www.pcb.its.dot.gov).
Ø
Complying with the FTA’s
Policy on ITS Architecture Consistency and its Impact on Project Planning and
Implementation: The
purpose of this one-day course is to assist transportation agencies and Federal
field staff with acquiring a working knowledge of FTA's policy on National ITS
Architecture consistency. This includes an understanding of the policy, the
intent behind the policy, the impact of transit ITS planning and development,
practical benefits of conformance, and guidelines for meeting policy
requirements. The course is currently
under development. For an updated
status on the course, please visit our website www.ntionline.com,
or contact Freddie C. Fuller at ffuller@nti.rutgers.edu.
Ø
Turbo Architecture Course: A one day classroom course which provides an understanding of how to use
the Turbo Architecture software to develop a regional ITS architecture. This course will be available in the Fall of
2001 from the National Highway Institute.
Workshops will include:
Ø
Regional Architecture
Process: A two-day workshop designed
to prepare key players, champions, and their consultants for the process of
developing a regional architecture. It
will include presentations from experienced deployers. The workshops will be available in the
Winter of 2001-02.
Technical Assistance will include:
Ø
Direct Technical
Assistance provided by FHWA and FTA field staff.
Additional consultant support from U.S. DOT consultants, including the
National ITS Architecture team and FTA consultant support, will be available.
Ø
Peer Assistance through the Peer- to -Peer
Program, general information and peer assistance related to architecture
development.
The Standards Implementation Track
This track is designed to
support and foster the implementation of SDO approved standards. This track would most benefit jurisdictions
that will soon be procuring and implementing ITS elements for which ITS
standards exists. As with the
Architecture track, the standards implementation track includes training,
workshops, and technical assistance.
Training will consists of the following courses:
Ø
Standards Overview:
A one day course to provide decision makers and transportation
professionals with an overview of ITS standards. This course was developed by the Institute of Transportation Engineers
(ITE) and can be scheduled through their web site at www.ite.org,
or by contacting James Cheeks, Jr., ITE, 202-289-0222 x 131 or jcheeks@ite.org.
Ø
NTCIP Overview Course
(ITE):
A course that gives
transportation professionals engaged in ITS an overview of NTCIP. This course was developed by the Institute
of Transportation Engineers (ITE) and can be scheduled through their web site
at www.ite.org,
or by contacting James Cheeks, Jr., ITE, 202-289-0222 x 131, or jcheeks@ite.org.
Ø
Standards Application
Courses: A series of courses that provide
ITS project managers with specific training in the standards application areas
of Dynamic Message Signs (DMS), Signals (ASC/ATC), Center-to-Center, and others
as they are developed. These courses
will have a mix of public and private sector interests. They are being developed by the Institute of
Transportation Engineers (ITE) and can be scheduled through their web site at www.ite.org,
or by contacting James Cheeks, Jr., ITE, 202-289-0222 x 131, or jcheeks@ite.org.
Ø
Transit Standards
Consortium Courses: Application
courses will be provided by the Consortium to cover the areas of TCIP,
procurement, vehicle area networks, and the challenges of migrating from legacy
systems. For the most up-to-date
information, visit the TSC web site at www.tsconsortium.org.
Workshops will include:
Ø
Applications Workshop: As a follow up to the standards application courses, applications
workshops will be offered in many of the same application areas (DMS,
Center-to-Center/TMDD, ASC/ATC, etc.).
Lessons learned, case studies, and actual exercises will be used
throughout this workshop. The target
audience is key project staff from State and local transportation agencies, and
their consultants, that will be involved in an upcoming procurement of ITS
components in the subject application area.
The initial application workshop will focus on DMS and will be piloted
late in the Summer of 2001.
Technical Assistance will be offered in the form of:
Ø
Direct Technical
Assistance will be provided by U.S. DOT ITS specialists and contracted expert
assistance to those in the process of implementing ITS Standards.
Ø
Peer Assistance through the Peer-to-Peer program will also be provided for general
information and assistance.
OTHER RESOURCES: WEB SITES
Despite a wealth of resources available at your fingertips, questions
still arise that go beyond general information and training and require
specific assistance. The first place to
find technical assistance is at the FHWA Division Office or FTA Regional
Office.
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FHWA
Division Offices |
www.fhwa.dot.gov/fieldoff.htm |
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FTA
Regional Offices |
www.fta.dot.gov/office/regional |
FHWA
Resource Center ITS Specialists are also available to provide training and
locate additional resources for the National ITS Architecture and ITS
standards.
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Eastern
Resource Center |
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Midwestern
Resource Center |
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Southern
Resource Center |
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Western
Resource Center |
Second, the
Peer-to-Peer Program is set up to put people in touch with peers who
have already been through the process and to provide limited technical
assistance. They can be reached at:
Ø Phone at: (888) 700-PEER
Ø Facsimile at: 410-424-2300
Ø Email at: dotpeer@erols.com
Ø The web at: www.its.dot.gov/peer/peer.htm.
The U.S. DOT is committed to helping ITS practitioners understand the
need for the new Rule/Policy, and to provide support for regional teams to meet
their obligations. The following U.S.
DOT contacts can provide more information on policies and programs related to
the National ITS Architecture and ITS standards. Comments on how to improve our support programs are welcomed.
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U.S. DOT Architecture and Standards Conformity
Contacts |
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Ron Boenau
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FTA Policy
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202-366-0195 |
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Mike Freitas |
ITS Architecture
Conformity |
202-366-9292 |
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Mark Kehrli |
Training and Technical
Assistance |
202-366-5465 |
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Bob Rupert |
FHWA Rule |
202-366-2194 |
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Mike Schagrin |
ITS Standards |
202-366-2180 |
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