1. Federal Regional ITS Architecture Requirements 1 T3 Session Federal Requirements for Regional ITS Architectures

2. Federal Regional ITS Architecture Requirements 2 Your Session Leaders HOST: Mac Lister ITS Specialist Operations Technical Service Team FHWA Resource Center (Olympia Fields, IL) PRESENTER: Pamela Kordenbrock Architecture Implementation Program Manager Office of Transportation Management FHWA Office of Operations (Washington, DC)

3. Federal Regional ITS Architecture Requirements 3 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

4. Federal Regional ITS Architecture Requirements 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

5. Federal Regional ITS Architecture Requirements 5 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

6. Federal Regional ITS Architecture Requirements 6 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

7. Federal Regional ITS Architecture Requirements 7 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.”

8. Federal Regional ITS Architecture Requirements 8 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

9. Federal Regional ITS Architecture Requirements 9 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.

10. Federal Regional ITS Architecture Requirements 10 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.

11. Federal Regional ITS Architecture Requirements 11 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

12. Federal Regional ITS Architecture Requirements 12 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

13. Federal Regional ITS Architecture Requirements 13 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

14. Federal Regional ITS Architecture Requirements 14 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

15. Federal Regional ITS Architecture Requirements 15 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

16. Federal Regional ITS Architecture Requirements 16 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

17. Federal Regional ITS Architecture Requirements 17 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

18. Federal Regional ITS Architecture Requirements 18 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

19. Federal Regional ITS Architecture Requirements 19 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

20. Federal Regional ITS Architecture Requirements 20 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

21. Federal Regional ITS Architecture Requirements 21 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

22. Federal Regional ITS Architecture Requirements 22 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

23. Federal Regional ITS Architecture Requirements 23 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. 23 CFR 940.9(f)

24. Federal Regional ITS Architecture Requirements 24 The Regional Architecture and Transportation Planning Development of the regional ITS architecture should be consistent with the transportation planning process for Statewide and Metropolitan Transportation Planning. 23 CFR 940.5

25. Federal Regional ITS Architecture Requirements 25 23 CFR 940.11: Project Implementation

26. Federal Regional ITS Architecture Requirements 26 23 CFR 940.11 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

27. Federal Regional ITS Architecture Requirements 27 23 CFR 940.11 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

28. Federal Regional ITS Architecture Requirements 28 Project Implementation 23 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

29. Federal Regional ITS Architecture Requirements 29 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

30. Federal Regional ITS Architecture Requirements 30 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

31. Federal Regional ITS Architecture Requirements 31 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

32. Federal Regional ITS Architecture Requirements 32 Participating agencies Requirements definition Alternatives analysis Procurement options Standards Operations and maintenance Concept of Operations High Level Requirements Detailed Requirements High Level Design Detailed Design Regional ITS Architecture Mapping How the Final Rule Relates to Systems Engineering 23 CFR 940.11 c.1 c.2 c.3 c.4 c.5 c.6 c.7

33. Federal Regional ITS Architecture Requirements 33 23 CFR 940.11(a-c) Systems Engineering Life Cycle Assessment Definition and Decomposition Time Integration, Verification, and Validation

34. Federal Regional ITS Architecture Requirements 34 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

35. Federal Regional ITS Architecture Requirements 35 Project Implementation 23 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

36. Federal Regional ITS Architecture Requirements 36 Project Implementation 23 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

37. Federal Regional ITS Architecture Requirements 37 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

38. Federal Regional ITS Architecture Requirements 38 Recommended Process for Regional ITS Architecture Development

39. Federal Regional ITS Architecture Requirements 39 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

40. Federal Regional ITS Architecture Requirements 40 Regional Architecture Development Step #1: Get Started Identify Stakeholders That own or operate ITS 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

41. Federal Regional ITS Architecture Requirements 41 Regional Architecture Development Step #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

42. Federal Regional ITS Architecture Requirements 42 Regional Architecture Development Step #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 SS Metro Police Emergency System Traffic Management SS Freeway Management Center Emergency Management SS Metro Fire Emergency System Traffic Management SS Suburban Traffic Signal Control System Emergency Management SS State Highway Patrol Emergency System Traffic Management SS Metro Signal Control System Traffic Management SS Local Traffic Signal Control System Emergency Vehicle SS State Highway Patrol Fleet Information Service Provider SS State DOT Web Site

43. Federal Regional ITS Architecture Requirements 43 Regional Architecture Development Step #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

44. Federal Regional ITS Architecture Requirements 44 Regional Architecture Development Step #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

45. Federal Regional ITS Architecture Requirements 45 Regional Architecture Development Step #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

46. Federal Regional ITS Architecture Requirements 46 Regional ITS Architecture Outputs What may a Regional ITS Architecture look like? Document(s) Diagrams Database(s) CD-ROM Web Pages Turbo Architecture database

47. Federal Regional ITS Architecture Requirements 47 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/

48. Federal Regional ITS Architecture Requirements 48 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

49. Federal Regional ITS Architecture Requirements 49 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