Transportation Equity Act for the 21st Century; Interim Guidance on Conformity With the National Intelligent Transportation Systems (ITS) Architecture and Standards

DEPARTMENT OF TRANSPORTATION

Federal Highway Administration

Federal Transit Administration

Transportation Equity Act for the 21st Century; Interim Guidance

on Conformity With the National Intelligent Transportation Systems

(ITS) Architecture and Standards

AGENCIES: Federal Highway Administration (FHWA), Federal Transit

Administration (FTA), Department of Transportation (DOT).

ACTION: Notice.

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SUMMARY: This document publishes interim implementation guidance on

section 5206(e) of the Transportation Equity Act for the 21st Century

(TEA-21), Pub. L. 105-178, 112 Stat. 107, for conformity with the

national intelligent transportation systems (ITS) architecture and

standards. Included with the interim guidance is a recommended approach

to assist in meeting the legislative intent. Following publication of

this notice, both the FHWA and the FTA plan to develop a

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final policy through the formal rulemaking procedures. The interim

guidance was issued to the FHWA and the FTA region and division offices

on October 2, 1998.

FOR FURTHER INFORMATION CONTACT: For technical information: Ms. Shelley

Row, (202) 366-8028, or Mr. Mac Lister, (202) 366-2128, ITS Joint

Program Office, FHWA, Mr. Bob Rupert, Office of Traffic Operations and

ITS Applications, FHWA; and Mr. Ron Boenau, (202) 366-0195, Advanced

Public Transportation Systems, FTA. For legal information: Ms. Jodi

George, Office of the Chief Counsel (HCC-32), (202) 366-1346, FHWA; and

Ms. Nancy Zaczek, Office of the Chief Counsel (TCC-10), (202) 366-4011,

FTA. All are located at the U.S. Department of Transportation, 400

Seventh Street, SW., Washington, DC 20590. Office hours are from 8 a.m.

to 4:30 p.m., e.t., Monday through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION:

Electronic Access

An electronic copy of the document may be downloaded using a modem

and suitable communications software from the Government Printing

Office's Electronic Bulletin Board Service at (202) 512-1661. Internet

users may reach the Federal Register's home page at: http://

www.nara.gov/fedreg and the Government Printing Office's database at:

http://www.access.gpo.gov/nara. The interim guidance may also be

accessed at the U.S. DOT's ITS home page at http://www.its.dot.gov.

Background

Section 5206(e) of the TEA-21 requires that ITS projects using

funds from the Highway Trust Fund (including the Mass Transit Account)

conform to the national ITS architecture, applicable standards and

protocols. To begin the process of implementing this legislative

requirement, the U.S. DOT has developed interim guidance (which

includes sections on definitions, questions and answers, and statutory

language).

The intent of the interim guidance is to:

1. Foster integration of ITS,

2. Encourage the incorporation of ITS into the transportation

planning process, and

3. Focus on near-term ITS projects with the greatest potential for

affecting regional integration.

The interim guidance is effective as of October 2, 1998, and will

be in effect for approximately one year while a final policy is

developed through the formal rulemaking process. Interim guidance is

the first step of a phased approach for implementing the TEA-21

conformity provision.

The interim guidance published in this Federal Register is provided

for informational purposes on our recommended approach to implementing

the requirements for conformity to the national ITS architecture and

standards. Specific questions on any of the material published in this

notice should be directed to the appropriate contact person named in

the caption FOR FURTHER INFORMATION CONTACT.

(Authority: 23 U.S.C.; sec. 5206(e), Pub. L. 105-178, 112 Stat. 457

(1998); 49 CFR 1.48 and 1.51)

Issued on: December 14, 1998.

Kenneth R. Wykle,

Federal Highway Administration.

Gordon J. Linton,

Federal Transit Administration.

The text of the FHWA and the FTA interim guidance on conformity

with the national ITS architecture and standards, as well as the memo

that was distributed with the interim guidance, are presented as

follows:

Interim Guidance on Conformity With the National ITS Architecture

and Standards

Information: Interim Guidance on Conformity with the National ITS

Architecture and Standards

Federal Highway Administrator HVH-1

Federal Transit Administrator

FHWA Division Administrators

FTA Regional Administrators

FHWA/OMC State Directors

Section 5206(e) of the Transportation Equity Act for the 21st

Century (TEA-21) requires that Intelligent Transportation Systems (ITS)

projects using funds from the Highway Trust Fund (including the Mass

Transit Account) conform to the National ITS Architecture and

standards. To begin the process of implementing this legislative

requirement, the U.S. Department of Transportation (DOT) has developed

the attached Interim Guidance (which includes sections on definitions,

questions and answers, and statutory language).

The Interim Guidance reflects input received from Federal, State,

local, and private sector transportation stakeholders in conjunction

with national transportation association forums and 10 outreach

sessions held across the Nation this spring. The intent of the Interim

Guidance is to:

1. Foster integration,

2. Encourage the incorporation of ITS into the transportation

planning process, and

3. Focus on near-term ITS projects with the greatest potential for

affecting regional integration.

The Interim Guidance is effective immediately, and is expected to

be in effect for approximately 1 year. During this period, it is

anticipated that a final policy will be developed through formal

rulemaking. Therefore, Interim Guidance is the first step of a phased

approach for implementing the TEA-21 conformity provision.

To support U.S. DOT field staff with implementation of the Interim

Guidance, a Resource Guide has been prepared that includes the Interim

Guidance, background material on the National ITS Architecture and

Standards, benefits of using the National ITS Architecture, ITS and

Commercial Vehicle Operations, and additional supplemental information.

The Resource Guide will be distributed to members of your staff. In

addition, the Department's ITS website serves as a helpful source of

current/recently published information: www.its.dot.gov.

Interim Guidance

Consistent with the integration goals supported by the National ITS

Architecture, as you begin the process of implementing the Interim

Guidance, careful consideration of potential Y2K (Year 2000) computer

problems should be a crucial part of your efforts. As you know,

intelligent, integrated transportation systems, like most computer-

based systems, are susceptible to Y2K computer problems. Additional

information on Y2K issues specific to ITS can be found at the following

website: www.fhwa.dot.gov/y2k.

Implementation of the Interim Guidance is an important step toward

regional ITS integration. Your comments and experiences in applying the

Interim Guidance will help to shape the final policy. Your efforts in

support of implementing this Interim Guidance are appreciated.

Signed by Gordon J. Linton and Kenneth R. Wykle.

I. Introduction

The Transportation Equity Act for the 21st Century (TEA-21)

contains a provision requiring Intelligent Transportation System (ITS)

projects implemented with funds from the Highway Trust Fund (including

the Mass Transit Account) to conform to the national architecture

[National ITS Architecture], applicable or provisional standards, and

protocols. This

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document provides Interim Guidance for meeting this section of the law

(Section 5206(e)--Conformity with National Architecture). Included with

the Interim Guidance is a recommended approach to assist in meeting the

legislative intent.

II. Background and Goals

Section 5206 of the legislation aims to accelerate the integrated

deployment of ITS in metropolitan and rural areas and in commercial

vehicle operations through the use of the National ITS Architecture or

locally developed regional architectures. The legislation also aims to

facilitate interoperability through the use of standards and protocols.

The National ITS Architecture is a tool to help agencies identify and

plan for the many functions and information sharing opportunities which

may be desired.

The greatest benefit from ITS accrues when ITS projects are planned

and designed within a broad regional context that supports the

operation and management of the transportation system. Additionally,

the development and use of a regional ITS architecture to guide the

integration of ITS projects and programs and enable information sharing

among stakeholders within an area is good, sound practice. Due to the

variety of ITS services and stakeholders, a ``region'' can be defined

as metropolitan, statewide, multi-state, and, for some applications,

national. Implementation of this legislative provision will foster

sound ITS systems planning and design practices to achieve the

following goals:

1. Involve and unite a wide range of stakeholders in planning for

ITS,

2. Support flexibility in tailoring ITS deployment and operations

to local requirements,

3. Achieve integration of ITS systems and components,

4. Enable information sharing among stakeholders,

5. Facilitate future ITS expansion in a cost-effective way, and

6. Provide for future interoperability of key ITS services at a

national level.

The achievement of these goals will ultimately be manifested in

five ways:

1. The consideration of transportation system operations and

management will be integrated into the transportation planning process

and reflected in regional transportation goals and objectives.

2. ITS strategies that effectively address regional goals and

objectives will be considered and prioritized within regional planning

efforts to promote efficient system management and operation. The

development of a regional ITS architecture will complement this

framework.

3. ITS projects will provide for all applicable information sharing

opportunities.

4. ITS projects will use open standards and protocols in support of

interoperability.

5. The National ITS Architecture will be used as a tool in regional

architecture development and project design, as appropriate.

III. Applicability and Exceptions

The processes and practices being promoted in this document are

sound practices for any project; however, listed below are the factors

that affect whether or not this Interim Guidance should be followed:

Type of Project

For the purposes of the Interim Guidance, projects are classified

into four categories:

1. Projects without ITS,

2. ITS projects that affect regional integration,

3. ITS/Commercial Vehicle Operations (CVO) projects, and

4. Other ITS projects.

Categories (2), (3), and (4) are all considered to be ITS projects.

ITS projects include both stand-alone ITS projects and projects that

contain ITS elements. (See Appendix A for definitions). The Interim

Guidance applies to all ITS projects, with particular attention to

those ITS projects that affect regional integration. In the case of

category (3), ITS/CVO projects, the Interim Guidance references other

procedures that have been developed to support Commercial Vehicle

Information Systems and Networks (CVISN) deployment. The Interim

Guidance does not apply to category (1), projects without ITS.

Funding Source

All ITS projects receiving funding in whole or in part from the

Highway Trust Fund are subject to the Interim Guidance.

Stage of Development

As of the date of issuance of the Interim Guidance, all ITS

projects that are under construction or projects for which final design

is complete are exempt from this Interim Guidance.

Legislative Exceptions

TEA-21 allows the Secretary to authorize exceptions to the

conformity requirement for projects designed to achieve specific

research objectives [as defined in Section 5206(e)(2)(A)] and for

projects to upgrade or expand an ITS in existence as of the date TEA-21

was enacted. Only those projects meeting three specific criteria are

eligible for exception as an upgrade or expansion. These criteria [as

defined in Section 5206(e)(2)(B)] are that the project:

(i) Would not adversely affect the goals or purposes of this

subtitle [Intelligent Transportation Act of 1998 (ITS Act), secs. 5201-

5213, Pub. L. 105-178, 112 Stat. 107, 452];

(ii) Is carried out before the end of the useful life of such

system; and

(iii) Is cost-effective as compared to alternatives that would meet

the conformity requirement.

TEA-21 also includes a general exception on funds used for the

operation or maintenance of an ITS in existence on the date TEA-21 was

enacted. A copy of the ITS Act goals, purposes, and exception language

is provided in Appendix C.

Meeting the intent of the TEA-21 conformity language (and this

Interim Guidance) does not in any way require replacements or

retrofitting of existing systems. Logically planned enhancements take

existing (or legacy) systems into account. Because one of the purposes

of the ITS Act is to improve regional cooperation and operations

planning, ITS projects that affect regional integration would generally

not satisfy exception criteria (i) above. If an exception is granted,

documentation of the determination and rationale should be kept in the

project files.

IV. Interim Guidance

For the period of this Interim Guidance, to ensure conformity with

the National ITS Architecture and applicable standards, the following

applies:

A. ITS Projects

1. Recipients of funds from the Highway Trust Fund for ITS projects

that affect regional integration shall evaluate those projects for

institutional and technical integration with transportation systems and

services within the region, and consistency with the applicable

regional ITS architecture or the National ITS Architecture. Based upon

this evaluation of the project(s), Highway Trust Fund recipients shall

take the appropriate actions to ensure that development of the

project(s): (a) engages a wide range of stakeholders, (b) enables the

appropriate electronic information sharing between stakeholders, (c)

facilitates future ITS expansion, and (d) considers the use of

applicable ITS standards.

2. Recipients of funds from the Highway Trust Fund for ITS/CVO

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projects should follow the ITS/CVO Conformance Assurance Process

Description to guide development of the project(s). These procedures

are provided in the National ITS Architecture and Standards Resource

Guide. Projects having a CVO technology component, but not meeting the

definition of an ITS/CVO Project, should be treated as either ITS

projects that affect regional integration or other ITS projects for the

purposes of this Interim Guidance, and are subject to (IV.A.1) above or

(IV.A.3) below.

3. Recipients of funds from the Highway Trust Fund for other ITS

projects (not deemed to affect regional integration and not defined as

ITS/CVO projects) should consider the same evaluation and actions

described in (IV.A.1) above.

B. ITS Considerations in Transportation Planning

Statewide and metropolitan planning activities should include

consideration of the efficient management and operation of the

transportation system. This should include the regional implementation

and integration of ITS services and development of a regional ITS

architecture(s), as appropriate. Regional consideration of ITS should

address (a) the integration of ITS systems and components, (b)

inclusion of a wide range of stakeholders, (c) flexibility in tailoring

ITS deployment and operations to local needs, (d) electronic

information sharing between stakeholders, and (e) future ITS expansion.

The Interim Guidance is anticipated to be in effect for

approximately one year. The Interim Guidance is the first step in a

phased approach for implementing the TEA-21 conformity provision. The

final implementing policy may contain additional requirements.

V. Recommended Approach

An approach for meeting the Interim Guidance (given in section IV)

is suggested below.

A. Immediate Actions

1. Agencies should cooperatively work with FHWA Division (Federal

Aid and Office of Motor Carriers) and/or FTA Region staff and other

local agencies, including the applicable Metropolitan Planning

Organization (MPO) or planning agency, to categorize projects receiving

funding through the Highway Trust Fund into four categories: (1)

projects without ITS, (2) ITS projects that affect regional

integration, (3) ITS/CVO projects, and (4) other ITS projects. These

categories will help to determine the projects for which the Interim

Guidance applies. As a minimum, this action applies to all projects

included in transportation plans, Statewide Transportation Improvement

Programs (STIPs), Transportation Improvement Programs (TIPs),

Commercial Vehicle Safety Plans (CVSPs), projects in design, and other

projects that are under consideration. If an overall categorization is

not carried out, then determination should be made on a case-by-case

basis by recipient agencies and Federal field staff.

2. In consultation with FHWA Division and/or FTA Region field staff

and the applicable MPO or planning agency, agencies should determine if

a regional ITS architecture exists within which individual ITS projects

and programs should fit (at a metropolitan, statewide, corridor, or

multi-state level). The regional ITS architecture should be defined at

the subsystem and information (architecture) flow level, showing the

type of information exchanges planned between specific agencies.

B. ITS Projects

The suggested approach for meeting the Interim Guidance on ITS

Projects is provided below for the different categories of ITS

projects. It is suggested that these steps be accomplished early in the

planning and/or design process, as there will be greater ease in making

modifications in the scoping and early design stages.

For ITS Projects That Affect Regional Integration and Other ITS

Projects

The suggested approach provided below (or an alternative approach

that meets the intent of the Interim Guidance) should be applied to ITS

projects that affect regional integration. The same approach is also

recommended for other ITS projects, to a degree that is appropriate to

the local situation, integration needs, and the type of project being

implemented. The approach is tailored to accommodate areas both with

and without a regional ITS architecture.

1A. For areas with a regional ITS architecture:

Scope the project to be consistent with the regional ITS

architecture. If the project is under design, determine if that project

fits within (is addressed by) the regional ITS architecture. If the

project does not fit within the regional ITS architecture, consider

whether the regional ITS architecture needs revision or whether the

project scope/design needs modification.

1B. For areas without a regional ITS architecture:

Determine the applicable portions of the National ITS Architecture

within which the project generally fits. As closely as possible, define

the project using the subsystems and information (architecture) flows

from the National ITS Architecture.

2. Early in project design (and periodically throughout the design

process), the following considerations should be addressed:

a. Include all relevant agencies/stakeholders (including agencies

responsible for transportation operations and appropriate planning

agencies) in the project design process and ensure their continuing

participation.

b. Ensure that all applicable subsystems and information

(architecture) flows from the regional ITS architecture [or from the

National ITS Architecture, for areas without a regional ITS

architecture] have been considered in the project design. If not,

consider modifications. It may be helpful to include, in the design

documentation, listings or illustrations of the subsystems and

information flows that are being provided by the project, and any

relevant supporting discussion that indicates why information flows

suggested by the regional ITS architecture [or from step 1B, for areas

without a regional ITS architecture] may not have been included.

c. Consider incorporating additional information flows, as

appropriate to the situation, in anticipation of future needs.

d. Ensure that relevant technology and operating agreements are

reached between the affected parties.

e. Ensure that future expansion and information sharing

opportunities are kept open through the project design strategy.

3. Identify any applicable standards and protocols that are

appropriate for the project. Consider incorporating them into the

project design and specifications. Wherever feasible, open systems

should be considered in lieu of systems with proprietary interfaces. It

may be helpful to clearly identify, in the design documentation and

specifications, the standards which are being used in the project.

Even if a regional ITS architecture exists, the National ITS

Architecture can be used as a valuable resource for many of the above

steps (e.g., for consideration of additional information flows, item

2c).

For ITS/CVO Projects

1. Review the ITS/CVO Architecture Utilization Policy and, at a

minimum, the following two related documents:

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the ITS/CVO Conformance Assurance Process Description and the

Interoperability Testing Strategy. All three documents are included in

the National ITS Architecture and Standards Resource Guide.

2. Follow the recommendations in the ITS/CVO Conformance Assurance

Process Description:

a. Assess commitment to the architecture and operational concepts,

b. Assess project and work plans, reviews, and top-level design,

c. Assess detailed design, and

d. Assess implemented systems through interoperability testing.

The Conformance Assurance Process Description defines evaluation

criteria for ITS/CVO architectural conformity, and establishes a

mechanism for fostering conformance in a deployment or implementation.

Each ITS/CVO project should have a plan which includes an incremental

checkpoint system for assessing architecture conformance. At each

checkpoint, documents should be reviewed against architecture criteria

and issues and potential interoperability problems identified. If

problems are discovered, remedial actions should be developed and

implemented to resolve the problems. Progress toward resolution should

be tracked, and action assignments/resolutions should be documented to

serve as a monitoring and lessons learned tool for future CVO

deployments.

3. Use the standards recommended for ITS/CVO to facilitate

interoperability.

C. ITS Considerations in Transportation Planning

The activities within the suggested approach given below are

intended to encourage sound consideration of the operations and

management of the transportation system, including the development of a

regional ITS architecture and related efforts to advance ITS in a

region.

It should be noted that what constitutes a region is locally

determined based on the needs for sharing information and coordinating

operational strategies. For a metropolitan region, it is recommended

that the size of a region not be smaller than a metropolitan planning

area boundary. For ITS/CVO projects, it is recommended that the size of

the region not be smaller than a State, with consideration for multi-

state, national, and international applications. The size of the region

should promote integration of transportation systems by fostering the

exchange of information on operating conditions across a number of

agencies and jurisdictions. Likewise, the determination of the

leadership or ``champion'' role in carrying out these planning

activities is a local decision.

Engage a Broad Range of Stakeholders

An open and inclusive process for engaging a broad range of

transportation stakeholders in developing ITS activities is key to

achieving integration and information sharing. As appropriate,

stakeholders should include but are not limited to the following: State

transportation agencies, transit providers, metropolitan planning

organizations, local (city/county) transportation agencies, police

departments, fire departments, emergency medical services, toll

authorities, traveler information providers, the media,

telecommunications providers, other private transportation providers,

port authorities, airport authorities, commercial trucking

associations, freight railroad associations, motor carrier regulatory

or enforcement agencies, non-governmental organizations, and the

general public.

Identify Needs That Can be Addressed by ITS

The transportation problems and needs that can potentially be

addressed through operations and management strategies should be

identified. These needs should be developed in the context of the

needs, goals, and objectives already developed as part of the

applicable transportation planning process. Participants should discuss

opportunities for using ITS applications as part of the overall mix of

strategies to meet identified needs and goals.

Describe Existing and Planned ITS Enhancements

A sound understanding of current and committed ITS projects,

operational agreements, and information sharing arrangements is needed

before future plans for ITS developments are discussed. Participants

should (1) identify existing ITS components and integration and (2)

then develop a list of planned ITS enhancements that will address

identified needs and improve the operations and management of the

transportation system. The existing situation and planned ITS

enhancements should be described in terms of the physical system

description and the extent of information sharing. Metropolitan ITS and

CVISN Deployment Tracking Surveys and indicators provide a useful

starting point and approach for describing existing and planned ITS

enhancements.

Define a Regional ITS Architecture

Given the existing and planned ITS enhancements, identified needs,

and using the National ITS Architecture as a tool, a regional ITS

architecture can be developed to serve as a high-level template for ITS

project development and design. The regional ITS architecture should

include subsystems and information flows relevant to the area. The

regional ITS architecture should be periodically revisited and updated

to reflect ongoing discussions and improvements. An existing regional

ITS architecture should be assessed to ensure that it provides an

appropriate level of detail.

Define Operating Requirements

Implementation of the planned ITS enhancements and information

sharing arrangements requires further definition of the operational

agreements between the various agencies and jurisdictions. An operating

concept should be established that identifies the general roles and

responsibilities of the stakeholders in the development and day-to-day

operation of the system. This includes establishing requirements or

agreements on information sharing and traffic device control

responsibilities and authority (e.g., deciding if back-up control

capability is desired given a loss of power or failure condition).

These decisions will be factored into the regional ITS architecture and

will also flow-down through ITS projects as they are phased in. Because

many ITS services and strategies involve communication and

coordination, this step should not be overlooked.

Coordinate With Planned Improvements

As agencies begin to determine ITS projects that can be implemented

in the near to mid-term time frame, potential opportunities should be

explored for leveraging activities with planned capital projects such

as facility reconstruction, capacity expansion, or new bus purchases.

These projects are likely already contained in Transportation

Improvement Programs (TIPs), Statewide Transportation Improvement

Programs (STIPs), Commercial Vehicle Safety Plans (CVSPs), applicable

transportation plans, or specific agency plans. An example of this

coordination would be adding the ITS communications and surveillance

infrastructure (or other components) at the same time as a

reconstruction project, resulting in overall cost savings and minimized

traffic disruption compared to adding

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the ITS infrastructure after the reconstruction project was completed.

Develop Phasing Schedule

The phasing of ITS projects and strategies into the regional

transportation system and planning process will need to be considered.

Phasing considerations include anticipated time frame for

implementation, geographic context (both within and between

jurisdictions), functional capabilities, and funding considerations.

Geographic considerations involve decisions such as the initial and

future system coverage area, which jurisdictions in the region will be

upgraded first, which transit agencies in the region will participate

in the electronic fare media project, etc. Functional considerations

include deciding which basic functions of a system should be

implemented first and which should be deferred. The phasing

considerations and decisions made in the initial stages may be

conceptual, with flexibility for changes and further definition during

future project development and design.

Develop Regional Technology Agreements

As potential ITS actions are advanced, it may become necessary for

stakeholders to reach agreement on some technologies, standards, or

deployment choices that have regional significance. This particularly

applies to the near-term projects that have been identified. For

example, regional choices on technologies or standards may be required

for the telecommunications infrastructure, electronic toll tags, signal

controllers and interfaces, electronic fare media, and specialized

mobile radio systems. For ITS/CVO projects, public and private

stakeholders need to reach agreement on hardware, software,

operational, and programmatic requirements for interoperability to

exist in multi-state and national systems. Standards should be

identified to foster interoperability of systems and interchangeability

of components. When identifying standards, agencies should consider the

current status of ITS standards development activities and determine

how and when these can best be incorporated into the designs of

projects within the region.

Identify ITS Projects for Incorporation Into Transportation

Planning Products

ITS projects utilizing funds from the Highway Trust Fund will be

incorporated, as appropriate, into transportation planning and

programming products (such as the transportation plan, the STIP, TIP,

and the CVSP) and adopted by the metropolitan planning organization or

other applicable planning agency. Ultimately, this can be best achieved

when the consideration of ITS is consistent with the goals and

objectives adopted by regional transportation planning bodies and

carried out in the context of the transportation planning process.

VI. Appendices

Appendices include:

A. Definitions

B. Questions and Answers

C. Applicable Legislation

Appendix A. Definitions

For the purpose of explaining terms used in this Interim Guidance,

the following definitions are provided:

Intelligent transportation systems (ITS)--As defined in TEA-21, the

term ``intelligent transportation system'' means electronics,

communications, or information processing used singly or in combination

to improve the efficiency or safety of a surface transportation system.

ITS Project--Any project that (in whole or in part) involves the

application of ITS.

ITS Project that Affects Regional Integration--An ITS project that

can serve as a catalyst in achieving regional ITS integration.

Generally, those ITS projects with the potential to support electronic

data sharing between transportation stakeholders, projects with

substantial software design, projects involving major upgrades of

central transportation management functions, and projects involving

significant communications would be considered ITS projects that affect

regional integration.

ITS/CVO Projects--A subset of ITS projects which: (1) complete any

component/service incorporated in the Commercial Vehicle Information

Systems and Networks (CVISN) Level 1 deployment, and/or (2) install the

International Border Clearance Safety System (IBCSS).

Other ITS Projects--The remaining ITS projects that are not

characterized as affecting regional integration or being an ITS/CVO

project, as explained above.

CVISN--Commercial Vehicle Information Systems and Networks. A

concept that includes the information systems and communications

networks that support Commercial Vehicle Operations (CVO). CVISN

includes information systems owned and operated by governments,

carriers, and other stakeholders.

CVISN Architecture--The ITS/CVO information systems and networks

portion of the National ITS Architecture. The CVISN Architecture

documentation begins with the National ITS Architecture and adds more

detail in some areas (e.g., the operational scenarios and Electronic

Data Interchange (EDI) message requirements) to facilitate further

development. Documentation is available on the World-Wide Web at http:/

/jhuapl.edu/program/transport/trans.htm or contact the FHWA ITS/CVO

Division Office at phone: 202-366-0950, fax: 202-366-7908.

CVISN Level 1 Deployment--The development and implementation of

basic ITS/CVO information system elements in three capability areas

(safety information exchange, credentials administration, and

electronic screening) in conformance with the CVISN Architecture and

Standards.

International Border Clearance Safety System (IBCSS)--An

information system to identify impending border movements, access

relevant safety and credentials information, and conduct clearance

assessments on motor carriers, commercial motor vehicles, and drivers.

The IBCSS is a portion of the International Border Clearance System,

which provides the communications path between the commercial motor

vehicle (CMV) and the border crossing in support of all border

stakeholders, and an electronic border clearance assessment process for

motor carriers, commercial motor vehicles, and drivers at North

American land borders.

National ITS Architecture (also ``national architecture'')--As

defined in TEA-21, the National ITS Architecture is the common

framework for ITS interoperability that defines

(A) The functions associated with intelligent transportation system

user services;

(B) The physical entities or subsystems within which the functions

reside;

(C) The data interfaces and information flows between physical

subsystems; and

(D) The communications requirements associated with the information

flows.

Documentation is available from the U.S. DOT on the World-Wide Web

at http://www.its.dot.gov or http://www.odetics.com/itsarch/ or contact

the ITS Joint Program Office at phone: 202-366-9536, fax: 202-366-3302.

As of September 20, 1998, Version 2.0 is the official version of the

National ITS Architecture.

Regional ITS Architecture--A regional framework for ITS project

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development and design, which could be specified at a metropolitan,

statewide, multi-state, or interurban corridor level. A regional ITS

architecture is tailored to address specific local needs and, for the

purposes of this Interim Guidance, includes the subsystems, agencies,

and information flows relevant to the area. The National ITS

Architecture may serve as a tool in the development of a regional ITS

architecture.

ITS User Service--A categorization of ITS that represents what the

system will do from the perspective of the user. User services formed

the basis for the National ITS Architecture development. As of July

1998, the National ITS Architecture consists of 30 user services.

Additional user services are planned for incorporation during the next

year or two.

Standard--As defined in TEA-21, the term ``standard'' means a

document that is published by an accredited Standards Development

Organization, and

(A) Contains technical specifications or other precise criteria for

intelligent transportation systems that are to be used consistently as

rules, guidelines, or definitions of characteristics so as to ensure

that materials, products, processes, and services are fit for their

purposes; and

(B) May support the national architecture and promote

(i) The widespread use and adoption of intelligent transportation

system technology as a component of the surface transportation systems

of the United States; and

(ii) Interoperability among intelligent transportation system

technologies implemented throughout the States.

Provisional Standard--As defined in TEA-21, Section 5206 (c), a

provisional standard is a standard that the Secretary may establish if

the Secretary finds that the development or balloting of an ITS

standard jeopardizes the timely achievement of the objectives

identified in Section 5206 (a), after consultation with affected

parties, and using, to the extent practicable, the work product of

appropriate standards development organizations.

Subsystem--A physical entity within the National ITS Architecture

or a regional ITS architecture within which the ITS functions reside.

Subsystems are typically associated with one or more transportation

agencies or stakeholders. Examples of subsystems from the National ITS

Architecture include traffic management, transit management, fleet and

freight management, toll administration, emergency management,

information service provider, roadway, remote traveler support, and

vehicle.

Information (Architecture) Flow--A representation of data that

originates at one subsystem (or external system) and ends at another

within the National ITS Architecture or a regional ITS architecture,

depicting the information exchanges planned between specific agencies.

The National ITS Architecture documentation refers to these information

flows as physical architecture flows.

Appendix B. Questions and Answers

Applicability and Scope

1. Q: Which federally funded projects does this Interim Guidance

apply to?

A: Any ITS project receiving whole or partial funding from the

Highway Trust Fund (including the Mass Transit Account) is subject

to this Interim Guidance. The Highway Trust Fund includes a broad

range of transportation projects and programs, including Federal Aid

Highway Programs, Federal Transit Administration programs, and

safety programs. Examples of subject programs include (but are not

limited to):

1. National Highway System Program,

2. Congestion Mitigation and Air Quality Improvement Program,

3. Surface Transportation Program,

4. Urbanized and Non-Urbanized Areas Formula Grants Programs,

5. Transit Capital Investment Grants and Loans (Section 5309

funding),

6. Motor Carrier Safety Assistance Program Grants,

7. Demonstration projects identified in TEA-21 (including High

Priority Projects, and other earmarks under the ITS subtitle),

8. Federal Lands Highways Program,

9. Interstate Maintenance Program,

10. Highway Bridge Program,

11. Job Access and Reverse Commute Program,

12. Rural Transportation Accessibility Programs,

13. Elderly and Persons with Disabilities Program, and

14. Federal Aid Highway Safety Programs.

2. Q: Are any ITS projects excepted from the conformity

requirement?

A: Yes. Section 5206(e) of TEA-21 excepts the following

projects:

1. Authorized projects designed to achieve specific research

objectives outlined in the National ITS Program Plan or the Surface

Transportation Research and Development Strategic Plan;

2. The upgrade or expansion of an existing ITS, if the expansion

won't adversely affect the goals of conformity, is carried out

before the end of the system's useful life, and is cost-effective as

compared to alternatives that would be consistent; and

3. Projects to operate or maintain an existing ITS.

In addition, the Interim Guidance excepts projects already in

construction and those that have completed the design phase. Note,

however, that ITS projects that affect regional integration likely

will not be excepted by Number 2 above, because to do so would

adversely affect the goals of conformity.

3. Q: Does the Interim Guidance apply to ITS projects that do

not receive funding from the Highway Trust Fund?

A: No. The Interim Guidance only applies to ITS projects that

receive whole or partial funding from the Highway Trust Fund.

However, the Interim Guidance and recommended approach to ITS

projects and planning are considered sound practices for regional

integration of ITS. Therefore, it is recommended that ITS projects

not funded by the Highway Trust Fund also adhere to the Interim

Guidance. Examples of projects which would not need to follow the

Interim Guidance include projects funded entirely by State or local

transportation agencies; projects funded by police, fire, or

emergency medical services; and projects which are privately funded.

4. Q: Does the Interim Guidance apply to demonstration projects

and other earmarks?

A: The Interim Guidance applies to all ITS projects with funding

from the Highway Trust Fund, including demonstration projects (also

referred to as ``High Priority Projects''). The Interim Guidance

also applies to CVO projects as indicated in the ITS/CVO

Architecture Conformance Assurance Process. In addition, for ITS

projects funded under section 5001(a) of TEA-21, refer to the

Guidance for Congressionally-Designated ITS Projects (commonly

referred to as ``earmarked projects'').

5. Q: How does the Interim Guidance differ from the Guidance for

Congressionally-Designated ITS Projects?

A: The applicability differs in that Interim Guidance applies to

all ITS projects funded in part or in whole by the Highway Trust

Fund, whereas the guidance for congressionally-designated ITS

projects (often known as ``earmark'' projects) applies only to

projects being funded with ITS program category funds found under

Section 5001(a) of TEA-21. The principles and intent of the Interim

Guidance and the ITS earmark guidance are the same. However, since

congressionally-designated projects are intended to serve as

examples for meeting the conformity requirement, the ITS earmark

guidance has slightly more detailed and specific documentation

requirements. As an example, for one category of earmarked projects

(regional deployments), states are being asked to commit to the

development of a regional ITS architecture (and other regional ITS

systems planning activities) as part of the partnership agreement.

In addition, under the ITS earmark guidance, project designs must

include specific documentation of architecture conformity, which

will be reviewed by FHWA Division and/or FTA Region offices, as

appropriate. This is in contrast to the Interim Guidance, which does

not require specific documentation, but encourages agencies to

incorporate conformity documentation into normal project and

planning documentation.

6. Q: Which transit projects does the Interim Guidance apply to?

A: Any ITS project receiving whole or partial funding from the

Highway Trust Fund, including the Mass Transit Account, is subject

to the Interim Guidance. This is true for both transit and highway

projects.

[[Page 70450]]

7. Q: Does the Interim Guidance apply to ITS applications that

are part of a larger construction project?

A: Yes. The Interim Guidance applies to all ITS projects that

receive Highway Trust Funds, even when the ITS application is part

of a larger project. However, having an ITS component in a larger

project does not subject the non-ITS portions of your project to the

Interim Guidance; but, you can consider the Interim Guidance as a

framework to look for sensible ways to enhance connectivity in your

region. Looking at it another way, larger projects may provide an

opportunity to include ITS elements that may not have originally

been scoped, such as laying telecommunication cable during

construction.

8. Q: Does the Interim Guidance apply to ITS projects outside

metropolitan areas or in rural areas?

A: Yes, the Interim Guidance applies outside metropolitan areas

and in rural areas. As stated in the Interim Guidance, ITS projects

that affect regional integration must be assessed for integration

opportunities. Furthermore, development of a statewide architecture

which addresses rural and small urban ITS applications is

encouraged. Regardless of whether your area is rural or

metropolitan, the National ITS Architecture can be useful in the

development of the regional architecture.

9. Q: The National ITS Architecture is quite extensive in scope

and lays out a multitude of information sharing possibilities. Do I

have to plan for all of these interfaces and information exchanges

in order to meet the intent of the Interim Guidance?

A: No. It is unlikely that any one region would implement

everything envisioned by the National ITS Architecture. Planning and

project development should continue to focus on meeting local and/or

regional needs. Some of the functionality and information exchanges

in the National ITS Architecture will not apply to your situation

(e.g., your region might not have any toll roads and thus the Toll

Administration and Toll Collection Subsystems of the National ITS

Architecture would not apply). Using the National ITS Architecture

may help you identify opportunities you might not have otherwise

considered in developing your regional ITS architecture and ITS

projects. In all circumstances, however, the regional ITS

architecture and individual ITS projects should be tailored to local

needs and problems.

10. Q: Will National ITS Architecture conformity dictate the

characteristics of the design of my ITS system?

A: No. The National ITS Architecture and ITS standards do not

specify design; rather, they focus on ensuring interface

compatibility and structured information exchange. The National ITS

Architecture supports a variety of detailed designs and is flexible

enough to support both distributed and centralized systems. The

National ITS Architecture does not make technology decisions for

you. For example, collection of traffic data can be performed with a

variety of technologies, including loop detectors, video imaging,

and vehicle probes. Nor are you required to implement interfaces

identified in the National ITS Architecture. The Interim Guidance on

National ITS Architecture conformity does, however, imply that

information sharing opportunities between transportation

stakeholders are explored to the extent possible and appropriate for

your area.

11. Q: Does conformity with the National ITS Architecture ensure

interoperability?

A: No. The vision of ITS integration is a seamless,

interoperable transportation network. Because the National ITS

Architecture does not specify the interfaces or the technologies to

be used in transportation systems and services, conformity does not

ensure interoperability. Only through interjurisdictional agreements

and cooperation can interoperability be assured. The National ITS

Architecture does provide a framework for determining the needs or

desirability of interoperability, and for making the institutional

and technological decisions that are the foundation of an

interoperable network. Interoperability is furthered through the

adoption and widespread use of ITS standards.

12. Q: Will U.S. DOT require interoperability?

A: Where federal funding supports technologies and interfaces

considered critical for national interoperability, U.S. DOT expects

to require interoperability, but only after the standards have

matured to ensure their operational capability. As called for in

TEA-21, U.S. DOT is currently developing a list of critical

standards appropriate for ensuring interoperability.

13. Q: What is the distinction between the use of the terms

``conformity'' and ``consistency''?

A: The TEA-21 language (Section 5206[e]) addressed by the

Interim Guidance calls for ``conformity'' with the National ITS

Architecture and Standards. U.S. DOT's incremental, phased approach

to implementing this provision is better reflected by the use of the

term ``consistency'' with the National ITS Architecture. For the

purposes of the Interim Guidance, these terms are deemed synonymous.

ITS Projects

14. Q: What are some examples of ``ITS projects that affect

regional integration'' as defined in this Interim Guidance?

A: Generally, ITS projects that affect regional integration are

those that can serve as catalysts in achieving ITS integration for a

region. Examples of ITS projects that affect regional integration

include the construction or functional expansion of a transportation

management center, installation or expansion of the functional

capability of a communications system, and the purchase of an AVL-

equipped bus fleet. Another example is a multi-agency project which

aims to integrate transportation systems (e.g., freeway-arterial

system integration, traffic-transit integration).

15. Q: What do I do for ITS projects that do not affect regional

integration?

A: The Interim Guidance is designed to focus attention on ITS

projects that do affect regional integration, but all ITS projects

(receiving Highway Trust Funds) should consider the intent and

approach in the Interim Guidance as a way to ensure conformity with

the National ITS Architecture and permit cost-effective future

expansion should the need arise. Examples of ITS projects that do

not affect regional integration are the installation of an isolated

traffic signal system in a small, rural town; or the purchase of a

limited set of replacement buses.

16. Q: How does the Interim Guidance apply to projects in the

final stage of design?

A: Adherence to the Interim Guidance is not required for

projects in the final stage of design as of the date of Interim

Guidance issuance. However, it is good practice to review projects

for anything that can be done at a reasonable cost to facilitate

future integration. Projects in the final stage of design are not

specifically excepted by the legislation, so the project's lead

agency should work with the FHWA Division or FTA Region office to

determine the appropriate course of action. Projects for which

design has been completed or that are in construction as of the date

this Guidance is issued do not need to revisit the design stage.

17. Q: How will existing (legacy) equipment with proprietary

interfaces be addressed?

A: The Interim Guidance does not require replacement of legacy

systems or equipment having proprietary interfaces. Rather, it is

recommended that you plan with existing systems in mind and

encourage future investments that would facilitate electronic data-

sharing and the use of open interfaces, while minimizing the use of

proprietary interfaces. Existing systems such as traffic signals,

overhead messages, computer-aided dispatch for ambulances, or

automatic vehicle location for buses are an important consideration

in developing an ITS project and your regional ITS architecture. As

new features and system upgrades are planned, the new designs should

provide for open, non-proprietary interfaces identified in the

National ITS Architecture and approved ITS standards as appropriate

for your area and consistent with your regional ITS architecture.

ITS Considerations Within Transportation Planning

18. Q: Are ITS projects excepted from the metropolitan or

statewide planning processes?

A: No. ITS projects should be developed using the same planning

processes as other transportation projects, in accordance with

metropolitan and statewide planning procedures specified in TEA-21

(sections 1203, 1204, 3004, and 3005). In addition, ITS may be

considered as one strategy for addressing the new systems management

and operation planning factor requirement in TEA-21.

19. Q: What are the benefits of integrating ITS into the

planning process?

A: Statewide and metropolitan planning activities should

consider a broad range of actions and investments aimed at improving

the management and operation of the transportation system. ITS is a

powerful tool

[[Page 70451]]

for meeting the system operation and management needs of a region.

Like any tool, it is most effective when it has broad support and is

applied in the proper circumstances. Regional efforts aimed at

identifying appropriate ITS strategies and investments should be

advanced in the context of the goals and objectives adopted by the

planning process. This will ensure that specific ITS deployment

options will address regional transportation goals and objectives in

the most effective possible manner. In addition, there is

considerable overlap between the planning process and ITS systems

planning. The integration of ITS and planning will ensure that these

processes are carried out together in a consistent and efficient

manner.

20. Q: Who should be the lead in developing a regional ITS

architecture?

A: Identifying a lead agency is a local decision; development of

a regional architecture can take place in whatever forum suits the

area. You are encouraged to develop ITS activities within your

existing planning processes. Making use of existing agency

agreements and structures may help you to determine who should be

involved and who may be best suited to take the lead role.

21. Q: Who should be involved as ITS is considered within the

planning process?

A: The range of stakeholder involvement is most appropriately

addressed at the local level. A fundamental goal is to involve and

unite a wide range of stakeholders to ensure consideration of the

broadest range of integration opportunities. It is expected that the

number of stakeholders included in any area will grow over time as

ITS is incorporated into the regional transportation planning

process and the range of ITS activities expands. As a starting

point, agencies or other groups within a region that are typically

involved in transportation planning or ITS development should be

involved. The National ITS Architecture may help you identify

stakeholders that are not normally included in the transportation

planning process but who may be important to ITS systems planning

(e.g., private sector information service providers; police, fire,

and other emergency services; and private sector transportation

service providers).

22. Q: What if certain stakeholders do not want to participate?

A: The intent of gathering a broad range of stakeholders is to

ensure that the consideration and development of potential ITS

actions and investments stems from a collaborative, inclusive

effort. Good faith efforts should be made to include all

stakeholders. Notwithstanding this, the process should begin with

those agencies/parties willing to participate.

23. Q: What is a ``region'' as it relates to the development of

a regional ITS architecture?

A: What constitutes a region is a local determination that

should be based on the needs for sharing information and

coordinating operational strategies in order to address

transportation problems. In this context, a region is not

constrained by political boundaries, and could be specified at a

metropolitan, statewide, multi-state, or inter-urban corridor level.

For a metropolitan region, it is recommended that the size of a

region not be smaller than a metropolitan planning area boundary.

For ITS/CVO projects, it is recommended that the size of the region

not be smaller than a State, with consideration for multi-state,

national, and international applications. The size of the region

should promote integration of transportation systems by fostering

the exchange of information on operating conditions across a number

of agencies and jurisdictions.

24. Q: What is the relationship between the nine core components

of the metropolitan ITS infrastructure and the National ITS

Architecture?

A: The nine core components of the metropolitan ITS

infrastructure (Freeway Management, Incident Management, Traffic

Signal Control, Electronic Toll Collection, Transit Management,

Electronic Fare Payment, Highway Rail Intersections, Emergency

Management, and Regional Multimodal Traveler Information) represent

an initial way of thinking about the potential types of ITS

technologies that could be usefully linked in a metropolitan region.

The National ITS Architecture provides the framework necessary for

more detailed planning about how to structure the communications and

information flows between and among the different subsystems that

characterize a fully integrated regional ITS system.

25. Q: How does the Interim Guidance relate to the deployment

and integration tracking of CVISN and metropolitan ITS

infrastructure that have been ongoing in recent months in some

regions?

A: The definitions of metropolitan ITS infrastructure and the

framework used in the deployment tracking questionnaire provide

excellent starting points for developing and collecting the

information necessary for beginning work on a regional ITS

architecture in your area. If a deployment tracking survey has

already been filled out, it should be very helpful in documenting

the existing level of ITS deployment (including information sharing

arrangements), which is fundamental to future planning efforts.

Further explanation of the metropolitan and CVISN deployment

tracking is included in the Resource Guide.

26. Q: Can a regional ITS architecture, developed from an Early

Deployment Plan, be used to demonstrate conformity with the National

ITS Architecture?

A: Architectures developed under previous early deployment

efforts may be considered for potential applicability to the Interim

Guidance. Some early deployment studies that do not include

architectures, or were not inclusive of a wide range of

stakeholders, do not meet the intent and approach of the Interim

Guidance. In such cases, additional steps may be necessary, such as

identifying/determining information flows between regional

architecture subsystems. Conversely, Early Deployment Plans that

engaged a broad range of stakeholders and included a regional ITS

architecture would likely meet the intent of the Interim Guidance.

Federal Role

27. Q: What is the federal oversight role, specific to

integrating ITS into the planning process?

A: The Interim Guidance does not change federal oversight of the

transportation planning process. Within existing federal oversight

roles and activities, FHWA and FTA staff are encouraged to explore

opportunities with their constituents for integrating ITS into the

transportation planning process. Such opportunities may become

obvious during the development of plan updates to Unified Planning

Work Programs, the STIP or TIP, or triennial certifications. These

reviews should also consider whether a regional ITS architecture

exists, defined at the subsystem and information (architecture) flow

level. For commercial vehicle operations, ITS opportunities should

be considered during updates of the Commercial Vehicle Safety Plan.

28. Q: How will the Interim Guidance affect the STIP/TIP

development cycle?

A: The Interim Guidance is not intended to delay the development

cycle (preparation, review, or approval) of a STIP or TIP. However,

applying the Interim Guidance to the transportation planning process

at the earliest practical convenience will aid in identifying and

capitalizing on potential cost-saving and system-enhancing

opportunities.

29. Q: What constitutes the federal oversight role at the

project stage?

A: The Interim Guidance does not change the federal oversight

role at the project stage. For those ITS projects with federal

oversight, the appropriate federal office will ensure that the

Interim Guidance is followed as part of the regular review process.

For those projects with no federal oversight requirement, recipients

are responsible for ensuring that the Interim Guidance is followed.

Compliance with the Interim Guidance may be a discussion topic in

process or triennial reviews.

30. Q: Are all ITS projects subject to federal oversight?

A: No. Refer to the appropriate oversight procedure for the

project in question. If the state DOT is willing, it is suggested

that FHWA and FTA be involved in all ITS projects on the National

Highway System during the initial implementation period for the

Interim Guidance.

31. Q: What kind of help and support can be expected from U.S.

DOT?

A: Various support mechanisms are under way or being planned at

the present time. A training course on the National ITS Architecture

is available now with more offerings planned in the fall of 1998.

Technical assistance documents on the use of the National ITS

Architecture to facilitate project development and planning for

specific application areas will be available shortly. Technical

assistance is also available through the U.S. DOT peer-to-peer

program. Checklists also will be made available to serve as helpful

guidance and reminders. For more information, contact your local

FHWA or FTA office, and visit the ITS website: www.its.dot.gov.

[[Page 70452]]

ITS Standards

32. Q: What is an ITS standard and which standards have been

adopted?

A: Standards define how system components inter-connect and

interact within an overall framework called an architecture. The

National ITS Architecture identified the need for many ITS standards

to support interface compatibility. U.S. DOT has yet to adopt ITS

standards, and anticipates proceeding cautiously in order to allow

emerging standards to reach a point of acceptability by implementing

agencies. Initial standards are just now beginning to be completed

and approved by Standards Development Organizations. Once approved

by the Standards Development Organizations, it will take some time

for standards to be validated to the satisfaction of implementing

agencies.

33. Q: Should an ITS standard be used if it has not yet been

approved, or adopted by U.S. DOT?

A: If an agency deems that an ITS standard is not yet

sufficiently mature for routine use, it should deploy ITS mindful of

the new standard and in anticipation of an eventual transition. Your

design process may incorporate draft standards, but recognize that

these may change before being finalized. Therefore, work with your

vendors to be sure that they commit to bringing their products into

compliance with the final standard when it is approved.

Documentation

34. Q: What documentation is required for implementation of the

Interim Guidance?

A: No new documentation is required, but additional information

within existing documentation needs to demonstrate that the intent

of the Interim Guidance has been met.

Appendix C. Applicable Legislation

SECTION 5203. GOALS AND PURPOSES [of the Intelligent Transportation

Systems Act of 1998].

(a) Goals.--The goals of the intelligent transportation system

program include--

(1) enhancement of surface transportation efficiency and

facilitation of intermodalism and international trade to enable

existing facilities to meet a significant portion of future

transportation needs, including public access to employment, goods,

and services, and to reduce regulatory, financial, and other

transaction costs to public agencies and system users;

(2) achievement of national transportation safety goals,

including the enhancement of safe operation of motor vehicles and

nonmotorized vehicles, with particular emphasis on decreasing the

number and severity of collisions;

(3) protection and enhancement of the natural environment and

communities affected by surface transportation, with particular

emphasis on assisting State and local governments to achieve

national environmental goals;

(4) accommodation of the needs of all users of surface

transportation systems, including operators of commercial vehicles,

passenger vehicles, and motorcycles, and including individuals with

disabilities; and

(5) improvement of the Nation's ability to respond to

emergencies and natural disasters and enhancement of national

defense mobility.

(b) Purposes.--The Secretary shall implement activities under

the intelligent system transportation program to, at a minimum--

(1) expedite, in both metropolitan and rural areas, deployment

and integration of intelligent transportation systems for consumers

of passenger and freight transportation;

(2) ensure that Federal, State, and local transportation

officials have adequate knowledge of intelligent transportation

systems for full consideration in the transportation planning

process;

(3) improve regional cooperation and operations planning for

effective intelligent transportation system deployment;

(4) promote the innovative use of private resources;

(5) develop a workforce capable of developing, operating, and

maintaining intelligent transportation systems; and

(6) complete deployment of Commercial Vehicle Information

Systems and Networks in a majority of States by September 30, 2003.

SECTION 5206. NATIONAL ARCHITECTURE AND STANDARDS.

(a) IN GENERAL--

(1) DEVELOPMENT, IMPLEMENTATION, AND MAINTENANCE--Consistent

with section 12(d) of the National Technology Transfer and

Advancement Act of 1995 (15 U.S.C. 272 note; 110 Stat. 783), the

Secretary shall develop, implement, and maintain a national

architecture and supporting standards and protocols to promote the

widespread use and evaluation of intelligent transportation system

technology as a component of the surface transportation systems of

the United States.

(2) INTEROPERABILITY AND EFFICIENCY--To the maximum extent

practicable, the national architecture shall promote

interoperability among, and efficiency of, intelligent

transportation system technologies implemented throughout the United

States.

(3) USE OF STANDARDS DEVELOPMENT ORGANIZATIONS--In carrying out

this section, the Secretary may use the services of such standards

development organizations as the Secretary determines to be

appropriate.

(b) REPORT ON CRITICAL STANDARDS--Not later than June 1, 1999,

the Secretary shall submit a report to the Committee on Environment

and Public Works of the Senate and the Committee on Transportation

and Infrastructure and the Committee on Science of the House of

Representatives identifying which standards are critical to ensuring

national interoperability or critical to the development of other

standards and specifying the status of the development of each

standard identified.

(c) PROVISIONAL STANDARDS--

(1) IN GENERAL--If the Secretary finds that the development or

balloting of an intelligent transportation system standard

jeopardizes the timely achievement of the objectives identified in

subsection (a), the Secretary may establish a provisional standard

after consultation with affected parties, and using, to the extent

practicable, the work product of appropriate standards development

organizations.

(2) CRITICAL STANDARDS--If a standard identified as critical in

the report under subsection (b) is not adopted and published by the

appropriate standards development organization by January 1, 2001,

the Secretary shall establish a provisional standard after

consultation with affected parties, and using, to the extent

practicable, the work product of appropriate standards development

organizations.

(3) PERIOD OF EFFECTIVENESS--A provisional standard established

under paragraph (1) or (2) shall be published in the Federal

Register and remain in effect until the appropriate standards

development organization adopts and publishes a standard.

(d) WAIVER OF REQUIREMENT TO ESTABLISH PROVISIONAL STANDARD--(1)

IN GENERAL--The Secretary may waive the requirement under subsection

(c)(2) to establish a provisional standard if the Secretary

determines that additional time would be productive or that

establishment of a provisional standard would be counterproductive

to achieving the timely achievement of the objectives identified in

subsection (a).

(2) NOTICE--The Secretary shall publish in the Federal Register

a notice describing each standard for which a waiver of the

provisional standard requirement has been granted, the reasons for

and effects of granting the waiver, and an estimate as to when the

standard is expected to be adopted through a process consistent with

section 12(d) of the National Technology Transfer and Advancement

Act of 1995 (15 U.S.C. 272 note; 110 Stat. 783).

(3) WITHDRAWAL OF WAIVER--At any time the Secretary may withdraw

a waiver granted under paragraph (1). Upon such withdrawal, the

Secretary shall publish in the Federal Register a notice describing

each standard for which a waiver has been withdrawn and the reasons

for withdrawing the waiver.

(e) CONFORMITY WITH NATIONAL ARCHITECTURE--

(1) IN GENERAL--Except as provided in paragraphs (2) and (3),

the Secretary shall ensure that intelligent transportation system

projects carried out using funds made available from the Highway

Trust Fund, including funds made available under this subtitle to

deploy intelligent transportation system technologies, conform to

the national architecture, applicable standards or provisional

standards, and protocols developed under subsection (a).

(2) SECRETARY'S DISCRETION--The Secretary may authorize

exceptions to paragraph (1) for--

(A) projects designed to achieve specific research objectives

outlined in the National ITS Program Plan under section 5205 or the

Surface Transportation Research and Development Strategic Plan

developed under section 508 of title 23, United States Code; or

(B) the upgrade or expansion of an intelligent transportation

system in existence

[[Page 70453]]

on the date of enactment of this subtitle, if the Secretary

determines that the upgrade or expansion--

(i) would not adversely affect the goals or purposes of this

subtitle;

(ii) is carried out before the end of the useful life of such

system; and

(iii) is cost-effective as compared to alternatives that would

meet the conformity requirement of paragraph (1).

(3) EXCEPTIONS--Paragraph (1) shall not apply to funds used for

operation or maintenance of an intelligent transportation system in

existence on the date of enactment of this subtitle.

(f) SPECTRUM--The Federal Communications Commission shall

consider, in consultation with the Secretary, spectrum needs for the

operation of intelligent transportation systems, including spectrum

for the dedicated short-range vehicle-to-wayside wireless standard.

Not later than January 1, 2000, the Federal Communications

Commission shall have completed a rulemaking considering the

allocation of spectrum for intelligent transportation systems.

[FR Doc. 98-33699 Filed 12-18-98; 8:45 am]

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