[Federal Register Volume 63, Number 244 (Monday, December 21, 1998)]
[Notices]
[Pages 70443-70453]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-33699]


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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

[[Page 70444]]

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]
BILLING CODE 4910-22-P