The purpose of the this document is to provide guidance to Congressionally-designated ITS project recipients, as well as to Federal Highway Administration (FHWA) and Federal Transit Administration (FTA) field staff, on the specific requirements the recipients will need to meet in order to receive project funding. The purpose of these requirements is to ensure that Congressionally-designated ITS projects meet the Congressional directives contained in the fiscal year 1997 Appropriations Conference Report:
"The director of the [Department of Transportation Intelligent Transportation System] joint program office shall ensure that the operations of each of the ITS projects...is consistent with the national systems architecture... These projects shall contribute to the implementation of the standards development work and shall promote interoperability of ITS systems among the States."
Because successful implementation of ITS depends on bridging the technical and institutional gaps between numerous transportation agencies and across jurisdictional boundaries, Congress has clearly affirmed the goal of developing integrated intelligent transportation systems that are consistent with the National ITS Architecture and corresponding standards.
Historically, Congressionally-designated ITS projects were primarily geared toward operational testing. However, the projects contained in the 1998 Appropriations legislation are primarily oriented toward ITS deployment. As such, the thrust of this Guidance is aimed at ensuring Federal ITS funds are to be used to create technically and institutionally interoperable transportation systems. Furthermore, it is the DOT's intent to encourage partnerships with the private sector whenever possible and that Federal funds not be used to fund activities where the private sector has a market ability to provide services.
II. Approach to ITS Project Deployments
The Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA) demonstrated how ITS can make the most of existing infrastructure and further the intermodal goals set forth by the tenets of ISTEA. Where the National ITS Program under ISTEA was primarily a research and testing program, under reauthorization it is primarily a research and deployment integration program.
Some of the lessons learned during the ISTEA era helped form the basic shape of the reauthorization ITS Program. For example, there is a strong need to have well informed leaders and decision makers who are aware of the operational benefits ITS offers and who can translate that awareness into transportation investment decisions. There is also a clear need for ITS planning and stakeholder buy-in at the regional level C that is, planning for ITS within the context of larger transportation plans and programs. There is a need for up-front commitment to long-term operations and maintenance of ITS components and their integration. This points to programming future financial resources through traditional or innovative financing mechanisms concurrent with project approvals. Finally, there is a need for a highly trained workforce in order for ITS to become a reality.
The DOT intends that all ITS funding will provide a greater multimodal emphasis in ITS by supporting technical integration and jurisdictional coordination of multimodal ITS infrastructure components that are self-sustaining and meet local needs. Ultimately, the deployment of ITS will help continue the fundamental shift in how the nation approaches mobility C to managing and operating the entire transportation system, with an efficient, multimodal, single-system view of regional mobility and an eye toward getting the most of out of every infrastructure dollar spent.
III. Role of Congressionally-designated projects
The Congressionally-designated ITS projects present an opportunity to ensure that ITS systems are deployed in a manner which fosters integration across modes and jurisdictional boundaries. This opportunity must be seized by making sure these projects support regional, multi-modal system development and do not create barriers to integration that will take years and significant resources to overcome.
Through this Guidance, the DOT plans to ensure these projects are carried out in a manner based on sound regional planning, and designed and implemented with technical integration in mind, and in accordance with the National ITS Architecture. In order to ensure that the requirements for each Congressionally-designated ITS project are appropriate and consistent with the size and scope of the project, the DOT has developed the following program framework under which the various projects fall.
A. Deployment Projects
Deployment projects are primarily focused on the implementation of intelligent transportation systems by the Federal, state and local governments and agencies. These projects are categorized in three ways:
1. Technology Deployment Projects
These projects are usually narrow in scope and involve a single ITS hardware application such as variable message signs, and impact only a single jurisdiction. They do not necessarily facilitate integration on a large scale, but they still serve as an important system deployment function and must be consistent with the National ITS Architecture. These projects have the following general attributes:
2. Regional Deployment Projects
These are projects affecting the larger regional transportation system and which typically cross jurisdictional or modal boundaries. They may be metropolitan-wide, statewide, corridor-wide or multi-state in nature. They generally possess the following attributes:
3. Commercial Vehicle Information Systems and Networks (CVISN) Projects
and Border Crossings
These projects fall under the Commercial Vehicle Information Systems and Networks activity. Since CVISN and Border Crossings are a nationwide and international activity requiring interoperability between state and international projects, and require fairly uniform system design across the nation, this category covers only those projects that are primarily focused on some aspect of CVISN and Border Crossings and not simply projects that happen to involve commercial vehicles generally. Those non-CVISN type commercial vehicle projects fall under the single jurisdiction or regional project types. CVISN and Border Crossing projects possess the following general attributes:
B. Deployment Support
These projects would not directly deploy ITS technologies, but would support deployment through the conduct of research, the development of new ITS products, or the education of the current or future generation ITS workforce. They may be directed to private sector firms, non-profit organizations, or colleges, universities or other institutes of higher learning. These projects should support the ITS program goals and contribute to the interoperability of ITS. They can serve as a catalyst for achieving technical integration and institutional coordination by delivering research products and services that enable future integration.
1. University Projects
These projects are generally university-based and are considered similar to the ITS Research Centers of Excellence program. As such, the project requirements will be geared toward complementing the Research Centers of Excellence in a productive manner. These projects can be identified by the following characteristic:
2. Other Research Projects
These are primarily research and development projects directed at the development of specific products. These projects will be geared toward complementing or enhancing ongoing initiatives within the area of interest. These projects can be characterized by the following characteristic:
This section outlines the specific requirements that ITS project recipients will have to meet and document prior to receiving funding. It discusses general requirements for every project, as well as the additional requirements for each specific project type.
A. Deployment Projects
The following are general requirements applicable to all deployment projects and must be addressed prior to receiving initial project funding approval:
1. Technical Project Development
Once the minimum general requirements defined above have been addressed, funding will be made available from the recipient's account to assist them in meeting the following, more specific technical requirements for final project approval. These requirements are also applicable to all deployment projects:
a. Project Managers shall attend, at project expense, if not they have not previously done so, training courses on both National ITS Architecture consistency, and procurement;
b. Detailed project designs must provide architecture consistency documentation by:
c. Project workplans must be reviewed by the National ITS Program Evaluation Coordinator for determination of unique or nationally significant aspects of the project which might warrant evaluation. Projects deemed to be significant to national evaluation efforts will be required to conduct a formal evaluation under the direction of the ITS Program Evaluation Coordinator;
d. For projects also involving regional or statewide planning issues, the recipient must ensure that proposed project designs are consistent with both the National ITS Architecture, as well as any applicable regional ITS plan; and
e. Project designs must be approved by the FHWA Division office and/or FTA Regional office.
2. Regional Project Planning
In addition to the General and Technical Project Development requirements outlined for all deployment projects, those projects which have regional impacts will also need to meet the following. In general, it is DOT's intent that Technical Project Development funding be tied to and follow the completion of regional ITS planning. Where regional ITS planning has not been completed, funding for project implementation will not be approved until a commitment to regional ITS planning has been demonstrated. Development of regional ITS planning may be carried out in parallel to technical project development, provided that project workplans and actions demonstrate a concerted effort is underway, as determined by the FHWA Division and FTA Regional offices.
a. Project recipients shall use project funds to host an on-site National ITS Architecture training course for delivery to all key stakeholder groups, if not previously done so;
b. Regional ITS planning must:
c. The ITS plan must be approved by the FHWA Division office and FTA Regional office.
3. Commercial Vehicle Information Systems and Networks (CVISN) and
Border Crossing Projects
CVISN projects also affect the larger statewide transportation system. They will also need to meet the General and Technical Project Development requirements outlined above, as well as the following CVISN-specific requirements.
a. Project recipients shall use project funds to host an on-site CVISN training course for delivery to all key stakeholder groups, if not previously done so;
b. An CVISN plan must be developed or in existence that provides for:
d. The project design must include Dedicated Short Range Communications and other applicable standards, and document how the system will be institutionally interoperable with all adjacent state systems; and
e. Final project approval must be obtained form the FHWA State OMC Director and the CVISN Program Manager.
B. Deployment Support1. University Projects
b. Project recipients will be expected to participate in regularly scheduled RCE and/or Professional Capacity Building Program activities at project expense; and
c. Workplans shall be developed in coordination with and approved by the USDOT RCE and Professional Capacity Building Program Coordinators.
2. Other Support Projects
a. A Project Agreement must be developed that:
b. Provision must be made in the workplan and the research activity for an open architecture, and specific provisions for technology transfer to other private and/or non-profit entities for implementation or further research; and
c. Provision must be made in the workplan and the research activity for an open architecture, and specific provisions for technology transfer to other private and/or non-profit entities for implementation or further research; and.