[Federal Register Volume 61, Number 38 (Monday, February 26, 1996)]
[Notices]
[Pages 7146-7153]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-4184]



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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 Araw@ 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 

[[Page 7150]]
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 

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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 

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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