Participation in the Intelligent Transportation Systems Model Deployment Initiative

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration, Federal Transit Administration

Participation in the Intelligent Transportation Systems Model

Deployment Initiative

AGENCY: Federal Highway Administration (FHWA) and Federal Transit

Administration (FTA), DOT.

ACTION: Notice; request for participation.

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SUMMARY: On January 10, 1996 Secretary of Transportation Federico Pena

announced a major Intelligent Transportation Systems (ITS) deployment

goal, called Operation TimeSaver, to reduce the travel time of

Americans by at least 15 percent through deployment of a complete

Intelligent Transportation Infrastructure in 75 of the Nation's largest

metropolitan areas. To support this goal, the DOT is seeking

applications from public and private sector partnerships to demonstrate

and showcase model deployments of a fully integrated, metropolitan-area

Intelligent Transportation Infrastructure. These model deployments will

demonstrate the benefits of integrated transportation management

systems that feature a strong regional, multimodal traveler information

services component.

Applications in response to this notice will be assessed, using the

selection criteria set forth below, to determine (1) the proposed model

deployment's potential for showcasing the benefits of an integrated

Intelligent Transportation Infrastructure in metropolitan areas; (2)

the proposed partnership's ability to achieve the goals of the model

deployment within the required time frame; (3) the responsiveness of

the proposed technical and management approaches for the model

deployment; and (4) the appropriateness of the Federal role proposed

for the project.

A Request for Information (RFI), published in the Commerce Business

Daily on July 31, 1995, requested public comment on the proposed model

deployment initiative, along with other issues potentially impacting

ITS deployment. Responses to the RFI have been incorporated into this

notice, which was developed jointly by the FHWA, the FTA, and the DOT

ITS Joint Program Office.

DATES: Applications to participate in the model deployment initiative

must be received by 4:00 p.m., e.t. on April 30, 1996.

ADDRESSES: Applications to participate in the model deployment

initiative should be submitted directly to the Federal Highway

Administration, Office of Traffic Management and ITS Applications,

Model Deployment Team, HTV-3, 400 Seventh St. SW., Room 3400,

Washington, D.C. 20590.

FOR FURTHER INFORMATION CONTACT: Ms. Toni Wilbur, FHWA, Office of

Traffic Management and ITS Applications, Model Deployment Team, (202)

366-2199; or Mr. Walter Kulyk, FTA, Office of Mobility Innovation,

(202) 366-4991; or Mr. Michael Halladay, ITS Joint Program Office,

(202) 366-6503; or Mr. Robert Robel, FHWA Office of Contracts and

Procurement, (202) 366-4227; or Ms. Beverly Russell, FHWA, Office of

the Chief Counsel, (202) 366-1355, Department of Transportation, 400

Seventh Street, SW., Washington, DC 20590. Office hours are from 7:45

a.m. to 4:15 p.m., e.t., Monday through Friday, except Federal

holidays.

SUPPLEMENTARY INFORMATION: The DOT has a strong interest in improving

the performance of the Nation's surface transportation system. Thus,

the Department has taken the lead in conducting ITS research,

development, and operational testing activities to lay the foundation

for the application of existing and emerging communications,

surveillance, control strategies, and position location technologies to

improve the efficiency of the surface transportation system. In

addition, four locations were designated as ITS Priority Corridors by

the DOT in March 1993 using the specific criteria contained in Section

6056(b) of the Intermodal Surface Transportation Efficiency Act of 1991

(ISTEA) Public Law 102-240, 105 Stat. 1914 (1991), as amended. These

corridors are--the Northeast Corridor centered along I-95 and

stretching through six states from Maryland to Connecticut; a Midwest

Corridor centered around the Chicago metropolitan area and stretching

from Gary, Indiana, to Milwaukee, Wisconsin; the Houston, Texas,

metropolitan area; and a southern California Corridor centered around

I-5/I-10 from Los Angeles to San Diego. The ITS Priority Corridors are

intended to provide national test beds for ITS systems and

technologies, and, over the long term, establish an ITS infrastructure

in the Nation's most congested areas that will support continuing

deployment of ITS user services.

The DOT will continue to support ITS research, operational testing,

and Priority Corridor activities to obtain the performance and

technical data needed to support local investment decisions. Early

results from this phase of the program have laid the foundation to

begin deployment of a range of ITS products and services.

As a next step toward ITS deployment, the DOT is soliciting

applications to establish two or three metropolitan area ``model

deployments'' of an Intelligent Transportation Infrastructure that

supports integrated transportation management systems and features a

strong, regional, multimodal traveler information services component.

These model deployments are to be demonstrations and showcases of the

measurable benefits resulting from the application of an integrated,

region-wide approach to transportation management and the provision of

traveler information services. The model deployments will provide

improved transportation management and increased levels of service to

the traveling public through the integration of the traditional

functions of traffic signal control; transit, freeway, and incident

management; emergency services management; and regional, multimodal

traveler information services. Where appropriate based on local needs,

electronic fare payment and electronic toll collection functions should

also be included.

It is recognized that interest in participating in the metropolitan

area model deployment initiative is high. Due to funding limitations,

only two or three sites can be selected, and the metropolitan area

model deployment initiative will not be repeated in future years.

However, preparation of a well thought-out model deployment

application, whether selected for

[[Page 7147]]

participation in the DOT initiative or not, lays an important

foundation of inter-jurisdictional, inter-agency and public/private

cooperation that will greatly facilitate the deployment of an

Intelligent Transportation Infrastructure in the metropolitan area.

Thus, the preparation of applications, and the necessary underlying

dialogue among relevant public and private entities, is encouraged.

Since metropolitan areas are the venues for much of the Nation's

economic activity and offer the potential for early demonstration of

ITS benefits, this first model deployment initiative is focused on

metropolitan locations. A future model deployment initiative focusing

on commercial vehicle operations is planned. Initiatives that focus on

rural applications of ITS systems and technologies are also planned.

I. Objective

The objective of this initiative is to demonstrate two or three

model deployments of a metropolitan area Intelligent Transportation

Infrastructure that feature fully integrated transportation management

systems and strong regional, multimodal traveler information services

component. In addition to introducing the public to the benefits of ITS

products and services, the sites would serve as ``showcases'' for key

local decision makers across the U.S. and would support tours and

seminars focused on the benefits of Intelligent Transportation

Infrastructure investments by both the public and private sectors.

The model deployment sites will also provide a setting for

conducting rigorous evaluations of the benefits of an integrated,

metropolitan area Intelligent Transportation Infrastructure. Thus, the

design of the model deployment must facilitate access to the data

needed to conduct an evaluation. A separate initiative will fund one or

more independent evaluation contractors to evaluate the effectiveness

of the model deployments in meeting national ITS program goals as set

forth in the National ITS Program Plan, dated March, 1995. These goals

include--improving the safety and operational efficiency of the

Nation's surface transportation system; reducing energy and

environmental costs associated with traffic congestion; enhancing

present and future productivity; enhancing the personal mobility,

convenience and comfort of the surface transportation system; and

creating an environment in which the development and deployment of ITS

can flourish.

II. Approach

The DOT will select approximately two or three metropolitan areas

for model deployments of an Intelligent Transportation Infrastructure

that would support integrated operation and management of roadway and

transit resources, and the provision of regional, multimodal traveler

information services. The proposed model deployments should focus on

the use of currently available technologies and strengthened

institutional ties. Federal ITS funding will be used to promote

partnerships with the private sector, particularly the

telecommunications industry, and to integrate existing communications,

traffic surveillance, and information management functions to support a

regional transportation management system that features dissemination

of current, multimodal traveler information.

Funding

The model deployment sites selected through this solicitation will

be supported with some of the Federal funds appropriated for ITS in

fiscal years (FYs) 1996 and possibly 1997. Federal ITS funding in FY

1996 for support of the model deployment initiative is expected not to

exceed $20 million. The amount of available Federal ITS funding in FY

1997 is currently unknown. Thus, applications should be modular and

discuss how the model deployment could be effectively implemented with

only FY 96 funding, and expanded with additional funding in FY 97.

It is anticipated that available Federal ITS funding will support

two, or possibly three, model deployment sites. Applications that offer

the greatest potential for demonstrating all aspects of an integrated

Intelligent Transportation Infrastructure (including both the

institutional and technological aspects) for the least Federal ITS

dollars will be considered the most desirable.

Federal ITS funding for the model deployment initiative would

support--

1. System design and integration of the data collection elements of

the existing transportation management functions (e.g., freeway

management, traffic adaptive signal control, incident management,

transit management and electronic fare collection, traveler information

services, and electronic toll collection where applicable);

2. Creation of a regional multimodal transportation information

system that would support public sector transportation management

needs;

3. Creation of a data repository of current, multimodal traveler

information for dissemination through a variety of delivery mechanisms;

4. Public relations and outreach activities to highlight the

availability and benefits of the integrated transportation management

system to local consumers, public transportation agencies, and other

public and private organizations;

5. Project partners' activities in working with the independent

evaluation contractor(s) during the system design, implementation, and

operational phases to ensure that the system will provide the

capabilities and data access needed to measure benefits.

Total Federal ITS funding is not to exceed 50% of the total cost of

the model deployment initiative. The remaining 50% would be provided by

a combination of non-ITS Federal-aid, State, local, and private

funding. Specifics on funding requirements for the model deployment

program are contained in Section III of this document under the

heading, Financial Plan.

Eligibility

Participants in the model deployment program will be selected based

upon the evaluation criteria contained in Section IV of this document.

Partnerships representing any metropolitan area are eligible to apply,

including metropolitan areas within one of the ITS Priority Corridors

designated by the DOT under the criteria established by the ISTEA. If

an ITS Priority Corridor location is selected, it is expected that any

additional Federal ITS funding provided under the model deployment

initiative would be used in conjunction with State, local, private, and

previously authorized ISTEA Priority Corridor funds to achieve the

objectives of the model deployment program.

Partnership Arrangements

The DOT will generally work with the lead public agency

participating in the partnership (State, city or regional agency,

depending on the site) to ensure an up front commitment to providing

the needed Intelligent Transportation Infrastructure within the

parameters of the emerging National ITS Architecture. The DOT will also

ensure that needed institutional and partnership arrangements are in

place and required funding is available, that the project can be

completed within the required time frame, and that the private sector

is involved as an infrastructure provider (e.g., communications), as a

franchisee (e.g., for information dissemination), or in another

capacity contributing significant resources to the project.

[[Page 7148]]

Schedule

It is the intent of the DOT that all proposed project agreements

and institutional and partnership arrangements are in place by the

conclusion of the National ITS Architecture development in July 1996 so

that design and construction could begin immediately. The goal is for

the sites to have an Intelligent Transportation Infrastructure that

supports integrated transportation management systems and regional

traveler information services, operational by the end of calendar year

1997.

Project Evaluation

The DOT will conduct a rigorous, independent evaluation of the

consumer acceptance of traveler information services and products

supported by the model deployments, and the impact and cost

effectiveness of an integrated, metropolitan area Intelligent

Transportation Infrastructure on achieving local and National ITS

program goals. The independent evaluation may be conducted using

existing DOT resources, or, as part of another solicitation, the DOT

may contract with one or more independent evaluation contractor(s) to

evaluate the model deployments.

Note: Successful respondents to the model deployment

solicitation are not precluded from bidding on the independent

evaluation contract, if such a solicitation is issued, but would not

be allowed to participate in the evaluation of their own model

deployment effort.

III. Instructions to Applicants

An application to participate in the model deployment initiative

shall not exceed 75 pages in length including title, index, tables,

maps, appendices, abstracts, and other supporting materials. A page is

defined as one side of an 8\1/2\ by 11 inch paper, with a type font no

smaller than 12 point. Applications greater than 75 pages will not be

accepted. Twenty-five copies plus an unbound reproducible copy of the

application shall be submitted. The cover sheet or front page of the

application shall include the name, address, and phone number of an

individual to whom correspondence and questions about the application

may be directed.

Applications shall include both a Technical Plan and a Financial

Plan that describe how the proposed initiative will meet the objectives

of the model deployment program within the specified time frame and

budget. Both the Technical and Financial Plans should describe a

phased, modular approach that would effectively achieve the basic

objectives of the model deployment initiative with only FY 1996 Federal

ITS funding, and that could be expanded with additional FY 1997 Federal

ITS funding to include other features or capabilities that would more

effectively demonstrate and showcase a comprehensive, metropolitan area

Intelligent Transportation Infrastructure.

Respondents are expected to provide the following information, to

the extent applicable and appropriate:

Technical Plan

1. Inter-agency, Inter-jurisdictional, and Public/Private Cooperation

and Partnership Arrangements

Applications should describe the existing institutional and

partnership arrangements that will be integral to the performance of

the functions required by the model deployment. The description should

include multi- jurisdictional and multi-agency public sector

partnerships, public/private sector partnerships, and private sector

partnerships.

The application should also describe new institutional and

partnership arrangements established to support full deployment of

regional transportation management and travel information services.

Emphasis should be placed on the anticipated impact of new

institutional arrangements on the integration of existing

transportation management systems and on the respondents ability to

acquire, share, and use data across multi-modal and multi-

jurisdictional boundaries. The application should describe the means to

be used for converting [email protected] data into useful travel information, and

the institutional arrangement for implementing these means.

All needed partnership arrangements and institutional agreements to

support the proposed model deployment should be documented with signed

Memorandums of Understanding (MOUs) that clearly define

responsibilities and relationships. Copies of the MOUs should be

included in the application.

Business relationships with the private sector, for example as

infrastructure providers, or as providers of traveler information

services or products, are strongly encouraged. The role of the private

sector, and the financial and institutional arrangement(s) under which

they are integrated into the project, must be clearly described and

documented with signed MOUs.

Partners are also strongly encouraged to seek participation from

certified Minority Business Enterprise firms, Women Business Enterprise

firms, Disadvantaged Business Enterprise firms, Historically Black

Colleges and Universities, Hispanic Serving Institutions, and other

minority colleges.

2. Technical Approach for the Metropolitan Area ITS Model Deployment

Applications should provide a concise description of the proposed

operational concept for the metropolitan area model deployment that

will build on existing infrastructure and institutional arrangements to

provide an Intelligent Transportation Infrastructure that supports

integrated transportation management systems and the delivery of

regional, multimodal traveler information services. Applications should

describe the methods and capabilities included in the design of the

model deployment that will allow for the measurement of expected

benefits.

Applications should also specifically describe the transportation

management functions, capabilities, and infrastructure that are

currently planned and funded, or must be added, upgraded, or enhanced

to support the model deployment, in the following areas: Traffic signal

control, freeway management, transit management, incident management,

regional, multimodal traveler information services, electronic fare

payments (if applicable), and electronic toll collection (if

applicable).

Systems integration and enhanced data/information

interconnectedness supporting improved transportation management and

the generation of traveler information services are crucial elements of

the model deployment program. Applications should provide a

comprehensive but concise description of the enhanced systems

integration and data fusion/integration capabilities that will be used

to interconnect existing or proposed communication channels to support

improved performance of ITS transportation management functions and the

provision of regional multimodal traveler information services.

The proposed system should include provisions for adherence to the

privacy principles developed by, and available from, ITS AMERICA, 400

Virginia Avenue SW, Suite 800, Washington, D.C. 20024, telephone (202)

484-4847. The document is also available on the Internet at http://

weber.ucsd.edu/ pagre/its-privacy.html. Where the

[[Page 7149]]

privacy principles conflict with applicable Federal and state law, the

latter shall prevail.

3. Management and Staffing Plan

Applications should include a management and staffing plan that

focuses on successfully addressing the following:

(a) Timing--A key goal of the metropolitan area ITS model

deployment program is to have an operational system in place supporting

improved transportation management and regional traveler information

services by the end of calendar year 1997. Thus, the application should

provide a management plan, schedule, and evidence of a commitment to

have the system operational within 18 months of the award of funds.

(b) Compatibility with the local transportation planning and

environmental clearance processes--Activities required to implement the

proposed model deployment within the specified time frame should be

compatible with existing transportation plans and programs. Endorsement

by the Metropolitan Planning Organization (MPO) that the proposed

project(s) is consistent with the adopted plan and Transportation

Improvement Program (TIP) for the region is required prior to the award

of federal funds.

(c) Staffing--The application should include a commitment to hire

or assign a full-time program manager and adequate full-time staff to

the project to ensure timely deployment and operation of an integrated

system. Qualifications of proposed staff should be included in the

application.

(d) Partnership arrangements--The management plan should include a

clear description of the lines of responsibility, authority, and

communication among the participants in the model deployment.

(e) Operations and maintenance--The application should include a

commitment and operational plan to provide long-term operations and

maintenance of the model deployment for at least 5 years after

completion of the Federal initiative.

4. Description and Estimate of the Transportation Impacts of the

Existing Metropolitan Area ITS Functions

Applications should describe the existing ITS travel information

services and transportation management functions, as appropriate, in

the metropolitan area, and their estimated impacts on transportation

service and performance. Applications should focus on descriptions of

the existing data and information integration schemes which allow

interaction, if any, among these various functions:

(a) Traffic Signal Control: The description of the metropolitan

area's existing traffic signal control functions should address

capabilities that might include, but need not be limited to--

1. Adjusting ``green'' time for each approach to respond to demand,

and coordinating signal operations to maximize person and vehicular

throughput;

2. Implementing ``time of day'' signal timing patterns to optimize

operations along major arterial routes throughout signalized networks;

3. Operational (or currently funded plans for Transitioning to)

traffic signal systems with adaptive, ``real-time'' response

capabilities;

4. Using advanced technologies to increase safety at railroad and

light rail transit grade crossings;

5. Providing priority routing for emergency services vehicles;

6. Coordinated/integrated operation of arterial and freeway control

systems;

7. Demonstrated inter-jurisdictional and inter-agency cooperation

and the sharing of traffic flow data to expand signal coordination on a

regional basis.

(b) Freeway Management: The description of the metropolitan area's

existing freeway management functions should address capabilities that

might include, but need not be limited to--

1. Monitoring traffic conditions on the freeway system;

2. Identifying recurring and non-recurring flow impediments;

3. Implementing control and management strategies, such as ramp

metering or lane control;

4. Providing travelers with timely, critical information through

infrastructure-based dissemination means currently in use in the area

(e.g., changeable message signs, highway advisory radio, etc.);

5. Providing other transportation agencies and adjoining

jurisdictions with traffic flow information that has the potential for

impacting on their operations.

(c) Transit Management: The description of the metropolitan area's

existing transit management functions should address capabilities that

might include, but need not be limited to--

1. Managing transit vehicle fleets through the use of hardware/

software systems, both on-board and dispatching center-based;

2. Application of automatic vehicle location, advanced

communication, passenger counting, computer-aided dispatching,

electronic vehicle diagnostic and security management technologies;

3. Providing real-time transit information to the traveling public

and other agencies performing related transportation management

functions;

4. Providing paratransit services and flexible schedule services.

(d) Incident Management: The description of the metropolitan area's

existing resources and operational concept for proactively managing

incident response should address capabilities that might include, but

need not be limited to--

1. Accurately detecting and verifying the location of incidents

occurring on freeways and major arterial routes;

2. Assisting emergency vehicles to the incident location;

3. Clearing incidents and restoring normal traffic flows while

concurrently ensuring safety and optimal emergency unit access;

4. Maintaining effective and commonly accepted policies governing

the roles of emergency response, law enforcement, incident clearance

and traffic control entities both within the metropolitan area and the

region.

(e) Electronic Fare Payments (if applicable): The description of

the metropolitan area's existing electronic fare payment functions

should address capabilities that might include, but need not be limited

to--

1. Use (or planned and funded implementation) of payment systems

not requiring exact change;

2. Use (or planned and funded implementation) of a single fare

payment medium for public transportation services, perhaps including

paratransit operations, publicly subsidized parking (park and ride),

publicly or privately operated parking facilities, or toll facilities.

(f) Electronic Toll Collection (if applicable): The description of

the metropolitan area's existing electronic toll collection functions

should address capabilities that might include, but need not be limited

to--

1. Use of electronic toll collection systems that enable toll

payment without requiring a vehicle to stop;

2. Implementation of systems that provide vehicle classification

and data collection/storage for billing;

3. Regional coordination of toll collection enabling cross

jurisdictional electronic payment;

4. Use of data provided by transponder-equipped vehicles to provide

travel times or other data to support transportation management

functions.

(g) Multimodal Traveler Information Services: The description of

the metropolitan area's regional, multimodal traveler information

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services should address all aspects of this activity to the extent that

they currently exist or are funded and planned for the near future.

There is special interest in gaining a clear understanding of inter-

jurisdictional arrangements and private sector roles, if any, in

providing traveler information. The nature of institutional

arrangements resulting in the provision of travel-related data streams,

and/or processed information, from public sources to private sector

entities is of particular interest.

5. Evaluation Plan

Applications should include a draft evaluation plan that

demonstrates an understanding of the importance of ensuring that the

proposed system provides the capabilities and data access needed to

measure the expected benefits of the model deployment. Applications

should describe low-risk methods to work with the independent

evaluation contractor(s) to ensure that benefits are measurable. A

demonstrated understanding of the role of the evaluation should be

evident in the organizational and management approach of the

application.

Applications should identify the goals of the proposed model

deployment concept in terms as explicit as possible (e.g., reduce

congestion by 10 percent when measured against a baseline of current

levels of service). If available, applications should provide

information on demonstrated benefits of existing transportation

management functions already in place (e.g., favorable benefit/cost

ratios, reduced congestion, increased safety, etc.).

In the absence of existing baseline data to support a rigorous

evaluation of the model deployment, applications should provide a draft

plan for collecting these data. Refinement of the draft plan and actual

data collection will be the responsibility of the independent

evaluation contractor.

6. National ITS System Architecture

Applications should provide a statement of intent to implement and

demonstrate a system that is consistent with the National ITS

Architecture, including any national ITS standards, protocols, or

standards requirements as these emerge from the final stages of the

National ITS Architecture Development Program. Paper copies of the

Architecture Definition Documents, the draft Standards Requirements

Document, and the Standards Development Plan from the Architecture

Development Program are available from ITS AMERICA, 400 Virginia Avenue

SW, Suite 800, Washington, D.C. 20024, telephone (202) 484-4847.

Electronic copies are available on the ITS AMERICA Internet Home Page,

http://www.itsa.org. These documents provide insight into the

definition of the National Architecture, and the emerging approaches

being taken towards standardizing interfaces that would support the

integration of transportation management components.

Financial Plan

The application shall provide an in-depth description and

assessment of the total cost of achieving the objectives of the model

deployment initiative, and the partnership's plans for raising the

matching funds required by this solicitation. The Financial Plan should

describe a phased approach that delineates what will be accomplished

with only FY 96 Federal ITS funding, and what additional features or

capabilities will be added with additional Federal ITS funding in FY

97.

The application shall provide a statement of commitment from the

proposed project partners that required funding levels will be

available. All financial commitments, from both the public and private

sectors, should be documented in signed MOUs and included in the

application.

Based on the assumption that adequate funding, comprised of no more

that 50 percent Federal ITS funds, plus locally matched amounts is

available to support the model deployment, applications should provide

a comprehensive but concise plan for design, acquisition (including

innovative contracting procedures such as design-build), construction,

and/or other procurement actions to improve the systems integration of

the functions needed to support a regional, metropolitan area

Intelligent Transportation Infrastructure. These functions include

traffic signal control, freeway management, transit management,

incident management, emergency response, railroad grade crossing

safety, traveler information services for users in the metropolitan

area and the surrounding region, and, if applicable, electronic toll

collection, and electronic fare payment.

The application shall provide a sound financial plan for continued

long-term operations and maintenance of the system for at least 5 years

following completion of the Federal ITS model deployment initiative in

December 1997.

The budget should show the requested Federal ITS funding and

proposed partnership match funding by fiscal year for the activities

shown on the tables below. The matching funds should be further divided

into public and private contribution amounts in the tables, as well as

the source and type of contribution described in the application.

Total Model Deployment Funding

----------------------------------------------------------------------------------------------------------------

Total amount Source and description

-------------------------- of matching funds

Activities Federal ITS Matching -------------------------

funds funds Public Private

----------------------------------------------------------------------------------------------------------------

Design

Procurement/Deployment

Operation/Maintenance

Evaluation Support

Project Management

Outreach/Showcasing

---------------------------------------------------

Total

----------------------------------------------------------------------------------------------------------------

[[Page 7151]]

FY 96 Model Deployment Funding

----------------------------------------------------------------------------------------------------------------

FY 96 funding Source and description

-------------------------- of matching funds

Activities Federal ITS Matching -------------------------

funds funds Public Private

----------------------------------------------------------------------------------------------------------------

Design

Procurement/Deployment

Operation/Maintenance

Evaluation Support

Project Management

Outreach/Showcasing

---------------------------------------------------

Total

----------------------------------------------------------------------------------------------------------------

FY 97 Model Deployment Funding

----------------------------------------------------------------------------------------------------------------

FY 97 funding Source and description

-------------------------- of matching funds

Activities Federal ITS Matching -------------------------

funds funds Public Private

----------------------------------------------------------------------------------------------------------------

Design

Procurement/Deployment

Operation/Maintenance

Evaluation Support

Project Management

Outreach/Showcasing

---------------------------------------------------

Total

----------------------------------------------------------------------------------------------------------------

Non-Federal ITS Funding for Continued Operations and Maintenance, FY 1998 Thru FY 2002 by Fiscal Year

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

FY 98 FY 99 FY 00 FY 01 FY 02

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Amount Source Amount Source Amount Source Amount Source Amount Source

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

Note to applicants: In accordance with Sec. 6058 of the ISTEA

(105 Stat. 1914, 2194), the maximum share of a project funded from

Federal funds, including ITS funds, cannot exceed 80 percent. In

order to maximize available Federal ITS dollars and be consistent

with agency policy, prospective partners in a model deployment must

increase their cost share to 50 percent. Additional funds provided

over the statutorily required 20 percent minimum may come from a

variety of funding sources and may include the value of federally-

supported projects directly associated with the model deployment.

Note that funding identified to support operations and maintenance

of the system beyond the components supporting the model deployment,

or following completion of the Federal ITS model deployment

initiative in FY 97, will not be considered as part of the

partnership's cost share contribution.

The statutorily required 20 percent cost share must be from non-

federally derived funding sources and must consist of either cash,

substantial equipment contributions that are wholly utilized as an

integral part of the project, or personnel services dedicated full-time

to the model deployment project for a substantial period, as long as

such personnel are not otherwise supported with Federal funds. The non-

federally derived funding may come from State, local government, or

private sector partners. In an ITS partnership, as with other DOT cost-

share contracts, it is inappropriate for a fee to be included in the

proposed budget as part of a partners' contribution to the project.

This does not prohibit appropriate fee payments to vendors or others

who may provide goods or services to the partnership. It also does not

prohibit business relationships with the private sector which result in

revenues from the sale or provision of ITS products or services.

The DOT, the Comptroller General of the U.S., and, if appropriate,

the States have the right to access all documents pertaining to the use

of Federal ITS funds and non-Federal contributions. Non-Federal

partners must submit sufficient documentation during final negotiations

and on a regular basis during the life of the model deployment project

to substantiate these costs. Such items as direct labor, fringe

benefits, material costs, consultant costs, subcontractor costs, and

travel costs should be included in that documentation.

IV. Evaluation Criteria

Applicants must submit an acceptable Technical Plan and Financial

Plan that both provide sound evidence that the proposed partnership can

successfully meet the objectives of the model deployment initiative.

The following criteria, listed in decreasing order of relative

importance, will be used in selecting metropolitan areas for the model

deployment program. Note that criteria numbers 3, 4 and 5 have equal

importance in the evaluation.

Technical Plan

1. Institutional Integration and Partnership Arrangements (25 Percent)

Applications will be evaluated on the following criteria:

(a) Demonstration of a strong commitment by the State, local

operating agencies, Metropolitan Planning Organization, and relevant

public transportation agencies to the deployment and operation of an

integrated multimodal transportation

[[Page 7152]]

management system that takes advantage of private resources as much as

possible. In addition to the State and Metropolitan Planning

Organizations, additional points will be awarded to those applications

demonstrating strong commitment by those entities responsible for

freeway management, arterial street management, public transportation

services, incident management, and emergency management services as

appropriate.

(b) Demonstration of a high degree of existing cooperation and

information sharing among State and local traffic, transit, emergency

management, and other relevant public agencies.

(c) Demonstration of established working relationships among city,

county, and State transit and traffic agencies for management of

transportation and the dissemination of travel information services.

(d) Demonstration of a public/private partnership committed to the

development of a comprehensive, regional transportation management

system that supports the collection and dissemination of current,

intermodal traveler information from a variety of sources and through a

variety of delivery mechanisms.

(e) Partnerships that involve the commitment and participation of

the telecommunications industry and private-sector information service

providers, as appropriate, will receive additional points. Examples of

such cooperation might include the provision of privately-owned

communications capacity to transportation operating agencies,

partnerships involving radio or television traffic information

services, or integration of traveler information applications with

other privately-provided information delivery systems such as cable TV,

interactive video, America Online, CompuServe, Prodigy, etc. An

estimate of the number (or percentage) of homes, businesses and/or

vehicles reached with such services should be provided. Private sector

information delivery mechanisms or products at the participating site

should be innovative and state-of-the-art, but not require additional

development or extensive modification to support the traveler

information system.

(f) Demonstration of participation by certified Minority Business

Enterprise firms, Women Business Enterprise firms, Disadvantaged

Business Enterprise firms, Historically Black Colleges and

Universities, Hispanic Serving Institutions, or other minority

colleges.

2. Technical Approach To Achieve Deployment of a Full Complement of

Metropolitan Area ITS Functions: (20 Percent)

Applications will be evaluated on the following criteria:

(a) A technical approach that responds to demonstrated congestion,

safety, and mobility needs deemed critical to the metropolitan area,

and as documented in studies performed through the local transportation

planning process, as part of an FHWA sponsored ITS Early Deployment

Planning study, or equivalent.

(b) An operational concept and technical approach that will

maximize the integration and information sharing among existing

transportation management functions to achieve the goal of providing

the traveling public with improved transportation management and

regional, multimodal traveler information services.

3. Management and Staffing Plan: (15 Percent)

Applications will be evaluated based on the following criteria:

(a) A sound management plan and organizational approach that will

ensure that an integrated transportation management system, featuring

regional, multimodal traveler information services, is operational by

December 1997.

(b) Applications should demonstrate that projects to support the

model deployment initiative have been, or can be, included in the local

transportation planning process as needed to ensure that the system is

operational by December, 1997. Examples include demonstration that

needed major capital improvement projects are included in a conforming

Transportation Plan and listed within the annual element of the TIP for

the region. Applications should also demonstrate that initiatives key

to the model deployment have been, or can be, advanced through both

systems and project-level environmental review processes as

appropriate.

(c) A commitment to hire or assign a full-time program manager and

adequate full-time staff to the project to ensure timely deployment of

the project. Proposed staff should have expertise in relevant technical

areas such as systems engineering and integration; telecommunications;

traffic, freeway and transit management; computer science; and

information management.

4. Level of Sophistication and Degree of Integration of Existing

Metropolitan Area ITS Functions: (15 Percent)

Applications will be evaluated based on the degree to which both

public and privately-provided communications, traffic surveillance,

information management, and other components are already in place to

support as many of the following ITS functions as appropriate to the

specific metropolitan area: traffic signal control, freeway management,

transit management, incident management, regional, multimodal traveler

information services, electronic fare payment, and electronic toll

collection.

Examples of specific indicators of the level of sophistication of

the existing transportation management functions might include--

(a) Proactive, coordinated freeway and traffic management to

respond to recurring and non-recurring congestion;

(b) The use of ITS technologies to improve safety at railroad grade

crossings;

(c) Electronic sharing of traffic flow data with the general public

and among adjoining jurisdictions and agencies within a metropolitan

area to provide regional traffic signal coordination;

(d) A repository of current, comprehensive roadway and transit

performance data that supports pre-trip and en-route traveler

information services;

(e) A regional policy and operations agreement that defines

specific responsibilities for all aspects of incident management and

emergency response;

(f) The use of ITS technologies to improve transit fleet management

and performance;

(g) Electronic sharing of real time transit information with the

general public (e.g., scheduling information, on-time performance,

etc.);

(h) The use of electronic toll collection systems to reduce

congestion at toll facilities, and perhaps to monitor traffic flow;

(i) The use of electronic fare payment systems to increase customer

convenience.

5. Draft Plan for Evaluation of the Benefits of the Model Deployment:

(15 Percent)

Applications will be evaluated based upon the respondents' draft

evaluation plan and the importance placed by the respondents on the

ability to measure the benefits expected from the model deployment.

Specific indications of the importance of measurable benefits are--

(a) Organizational and management approach for ensuring the

proposed system provides the capabilities needed to measure the

expected benefits of the model deployment;

(b) A draft plan for collecting baseline data from the existing

system before

[[Page 7153]]

implementation of the model deployment. (Note that actual data

collection will be the responsibility of the independent evaluation

contractor);

(c) Organizational and management approach for conducting their

part of evaluation activities;

(d) Demonstrated understanding of the role of evaluation in the

model deployment initiative;

(e) Respondent's proposed methods for interfacing the system design

process with the system evaluation process.

6. National ITS Systems Architecture: (10 Percent)

Applications will be evaluated based on a demonstrated

understanding of the on-going National ITS Systems Architecture

development effort, and a commitment to showcasing the architecture,

especially focussing on how an integrated transportation management

system will be designed with appropriate communications and interfaces

consistent with the national architecture.

Financial Plan

Applications will be evaluated based on the following criteria:

(a) A sound financial plan to support timely deployment of the

project and continued, long-term operations and maintenance of the

system. Applications which provide a strong element of innovative

financing, and/or a strong commitment by the private sector to share in

funding project development and operations, will receive additional

points in the scoring.

(b) A realistic identification of needed improvements or extensions

to the communications, surveillance, data collection capabilities, and/

or transportation management functions needed to support a fully

integrated transportation management system as required by the model

deployment program. Applications should identify already designated or

available Federal-aid, State, local and/or private funding to provide

these needed improvements or extensions.

(c) A clear identification of the proposed funding for the project,

and a commitment that no more than 50% of the total project cost will

be supported by Federal ITS funds.

Authority: 23 U.S.C. 315; 49 CFR 1.48; Pub. L. 102-240, Secs.

6051-6059.

Issued on: February 7, 1996.

Rodney E. Slater,

Federal Highway Administration.

Gordon J. Linton,

Federal Transit Administration.

[FR Doc. 96-4184 Filed 2-23-96; 8:45 am]

BILLING CODE 4910-13-P