T3 Session

1

• T3 Session
• 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

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.

4
US DOTs 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

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 areas transportation
  planning process
• FTA grantees will self-certify compliance

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

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

8
Federal ITS Requirements

• FTA 2003 Guidance is posted at
• http//www.fta.dot.gov/legal/guidance/dear_colleag
  ue/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.ht
  m

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.

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

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_overv
  iew.

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

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

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

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

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

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

18
A Regional Architecture Shall Contain...

• Identification of ITS standards supporting
  regional and national interoperability
• Sequence of projects required for implementation
• AT A MINIMUM

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.

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.

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

22
Planned FTA Oversight

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

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

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.

25
Recommended checks for ITS projects

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

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.
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.

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.

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

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

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
• OM on projects existing before 6/9/98

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

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

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

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
36
Systems Engineering Life Cycle
Assessment
Definition and Decomposition
Integration, Verification, and Validation
Time
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

38
Recommended Process for Regional ITS Architecture
Development
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

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

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?

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

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

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

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

46
Training/Technical Assistance

• Training through NTI, NHI, ITE
• Sample Courses
• Complying with the FTAs Policy on ITS Arch.
  Consistency
• ITS Arch. Standards and Conformity
• Turbo Architecture (http//mctrans.ce.ufl.edu/feat
  ured/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

47
Key Websites Again

• http//www.its.dot.gov/aconform/aconform.htm
• http//www.fta.dot.gov/legal/guidance/dear_colleag
  ue/2003/178_1044 ENG_HTML.htm
• http//www.ops.fhwa.dot.gov/its_arch_imp/policy.ht
  m