T3 Session Federal Requirements for Regional ITS Architectures

Federal Regional ITS Architecture Requirements1

T3 Session

Federal Requirements for Regional ITS Architectures


Your Session Leaders

HOST: Mac ListerITS Specialist

Operations Technical Service TeamFHWA Resource Center

(Olympia Fields, IL)

PRESENTER: Pamela KordenbrockArchitecture Implementation Program Manager

Office of Transportation ManagementFHWA Office of Operations

(Washington, DC)


Session Learning Objectives

You will be able to:• Explain the Federal regulatory

requirements for a regional ITS Architecture

• Discuss the implications of the upcoming April 8, 2005 deadline for regional ITS architectures

• Give a high-level overview of the recommended six-step process for developing a regional ITS architecture


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


Background: FHWA Rule/FTA Policy

• 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


Federal ITS Requirements

FR January 2001 as Final FHWA Rule and Final FTA Policy:

• 23 CFR 940.5 (Policy)

• 23 CFR 940.7 (Applicability)

• 23 CFR 940.9 (Regional ITS architecture)

• 23 CFR 940.11 (Project implementation)

• 23 CFR 940.13 (Project administration)

http://www.ops.fhwa.dot.gov/its_arch_imp/policy.htm


23 CFR 940.5: 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.”


23 CFR 940.7: Applicability

• Policy applies to all ITS projects funded in whole or in part with the Highway Trust Fund

• There were some grandfathered exceptions


23 CFR 940.3: ITS Project

• Any project that in whole or in part funds the acquisitions of technologies, or systems of technologies, that provide or significantly contribute to the provision of one or more ITS user services as defined the National ITS Architecture.

• A MAJOR ITS project is any ITS project that implements part of a regional ITS initiative that is multi-jurisdictional, multimodal, or otherwise affects regional integration of ITS systems.


23 CFR 940.9 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.


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


Regional ITS Architecture Completion Deadlines

• If region is deploying ITS projects, must have regional ITS architecture by April 2005

• If no ITS projects deployed yet, regional ITS architecture must be developed within 4 years after its first ITS project reaches final design


23 CFR 940.9: 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

4. Any agreements required for operations

*AT A MINIMUM


A Regional Architecture Shall Contain*...

5. System functional requirements (high-level)

6. Interface requirements and information exchanges with existing and planned systems and subsystems

7. Identification of ITS standards supporting regional and national interoperability

8. Sequence of projects required for implementation

*AT A MINIMUM


1. Description of the Region

REGION: A geographical area that identifies the boundaries of the

Regional Architecture

– Locally determined by those developing the architecture

– Based on operational needs for integration and information sharing

– Metropolitan areas should consider the boundaries of the metropolitan planning area as a minimum


2. Identification of the Participating Stakeholders

Will vary from region to region:• Transit operators• Highway agencies (state, county, city)• Metropolitan Planning Organizations (MPOs)• Regional Councils• Tribal governments• Public safety (police, fire, EMS ...)• Federal lands agencies• State motor carrier agencies• Private sector service providers• Others as appropriate


3. Operational Concept

A “big picture” view of the:– Goals, objectives, and desired

capabilities of each system (existing or planned) in a region, without indicating how the systems will or can be implemented

AND– Roles and responsibilities of

participating agencies and stakeholders in the implementation and operation of the systems included in the Regional ITS Architecture


4. Agreements Required for Operations

• Any agreements, existing or new, required for operations, including – at a minimum – those affecting:– ITS project interoperability– Utilization of ITS-related standards– Operation of the projects identified in the

Regional ITS Architecture

• Formality and level of detail are at stakeholder discretion


5. System Functional Requirements

• High-level functions, tasks, activities, or services to be performed by systems to address the needs or problems of the region

• Stakeholders define level of detail


6. Interface Requirements and Information Exchanges

• Identifies the types of information to be exchanged between systems and subsystems (planned and existing)

• Needs to be tailored for the region


7. Identification of ITS Standards

• The Rule/Policy states that ITS projects shall use ITS standards adopted by US DOT as appropriate

• A standard is not required unless it is adopted through US DOT rulemaking

• Level of detail should be similar to that of the subsystems and architecture flows in the National ITS Architecture


8. Sequence of Projects

• The scheduling of projects necessary to implement the Regional Architecture

• Recognizes that in order to initiate some projects, other projects may have to be completed first

• Understanding project sequencing helps stakeholders...

oVisualize how the region’s ITS projects will fit together over time

oVisualize their interdependencies


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.

23 CFR 940.9(f)


The Regional Architecture and Transportation

Planning

Development of the regional ITS Development of the regional ITS architecture should be consistent architecture should be consistent with the transportation planning with the transportation planning process for Statewide and process for Statewide and Metropolitan Transportation Metropolitan Transportation Planning.Planning.

23 CFR 940.5


23 CFR 940.11: Project Implementation


23 CFR 940.11Project 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


23 CFR 940.11Project 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 Implementation23 CFR 940.11(a-c)

“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


23 CFR 940.11(a-c)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


23 CFR 940.11(c)SE Analysis Requirements

At a MINIMUM, the SE analysis shall include seven elements:

1. What part of the regional architecture is being implemented

2. Participating agencies and their responsibilities

3. Definition of systems requirements


23 CFR 940.11(c)SE Analysis Requirements

4. Analysis of alternative system configurations and tech options to meet the requirements

5. Procurement options

6. Identification of project-applicable standards and testing procedures

7. Procedures and resources needed for operations and management of the system


Participating agencies

Requirements definition

Alternatives analysis

Procurement options

Standards

Operations and maintenance

Conceptof Operations

High LevelRequirements

DetailedRequirements

High LevelDesign

DetailedDesign

Regional ITS Architecture Mapping

How the Final Rule Relates to Systems Engineering23 CFR 940.11

c.1

c.2

c.3

c.4

c.5

c.6

c.7


23 CFR 940.11(a-c)Systems Engineering Life Cycle

Assessment

DefinitionandDecomposition

Time

Integration,Verification,andValidation


23 CFR 940.11(a-c)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


Project Implementation23 CFR 940.11(d)

“Upon completion of the regional ITS architecture ... The final design of all ITS projects funded with highway trust funds shall accommodate the interface requirements and information exchanges as specified in the regional ITS architecture.”*

HOWEVER:

If the final ITS project design is inconsistent with the regional architecture, the regional architecture should be updated.

*Exception: Projects that had advanced to final design by April 8, 2001


Project Implementation23 CFR 940.11(f)

“All ITS projects funded with highway trust funds* shall use applicable ITS standards and interoperability tests that have been officially adopted through rulemaking by the DOT.”

*including transit projects


23 CFR 940.13: Project Administration

• “Prior to authorization of highway trust funds for construction or implementation of ITS projects, compliance with §940.11 shall be demonstrated.”

• Federal-aid oversight monitoring


Recommended Process for Regional ITS

Architecture Development


Relation of the Regional Architecture Process to the Architecture Rule & Policy

The process (and suggested outputs): – Address all requirements for

Regional ITS Architectures in the Rule & Policy

– Do not guarantee compliance with the Rule & Policy


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


Information

• ITS Architecture Implementation Program:– http://www.ops.fhwa.dot.gov/its_arch_imp/index.htm– Guidance and White Papers– Sample Documents– Training– Contact Names and Numbers

• Regional ITS Architecture Guidance Document (Oct 2001): – www.itsdocs.fhwa.dot.gov//JPODOCS/REPTS_TE //13598.pdf

• National ITS Architecture, Version 5.0:- http://www.its.dot.gov/arch/arch.htm

• Turbo Architecture 3.0:– http://mctrans.ce.ufl.edu/featured/turbo/


Training

• FHWA: Regional ITS Architecture Process Seminar (1-day)

• FHWA: Regional ITS Architecture Process Seminar (2-day)

• NHI: Deploying the National ITS Architecture

• NHI: Turbo Architecture Software Training

• NTI: Complying with Federal Transit Administration's Policy on ITS Architecture Consistency


Review: Session Learning Objectives

Explain the Federal regulatory requirements for a regional ITS Architecture

Discuss the implications of the upcoming April 8, 2005 deadline for regional ITS architectures

Give a high-level overview of the recommended six-step process for developing a regional ITS architecture

T3 Session Federal Requirements for Regional ITS Architectures

Documents

Transcript of T3 Session Federal Requirements for Regional ITS Architectures