[Federal Register Volume 67, Number 19 (Tuesday, January 29, 2002)]
[Notices]
[Pages 4310-4313]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-2091]


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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration


Participation in the Fiscal Year 2003 Intelligent Transportation 
Systems (ITS) Deployment Program

AGENCY: Federal Highway Administration (FHWA), U.S. DOT.

ACTION: Notice; request for preliminary applications.

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SUMMARY: The FHWA is requesting preliminary applications from public/
public or public/private partnerships to determine qualifications for 
participation in the Fiscal Year (FY) 2003 Intelligent Transportation 
Systems (ITS) Deployment Program. The focus of the FY 2003 ITS 
Deployment Program is to provide incentive monies for the deployment 
and/or integration of ITS to enhance the security of our surface 
transportation systems. Those preliminary applications that demonstrate 
an ability to meet the selection criteria will be considered for 
funding and will be asked to provide a more detailed technical proposal 
and financial plan prior to approval and the receipt of funds.

DATES: Preliminary applications to determine qualifications for 
participation in the ITS Deployment Program must be received before 4 
p.m., e.t., Friday, April 1, 2002.

ADDRESSES: Preliminary applications to participate in either component 
of the ITS Deployment Program should be submitted directly to the FHWA, 
ITS Joint Program Office, HOIT, Department of Transportation, 400 
Seventh St., SW., Room 3404, Washington, DC 20590.

FOR FURTHER INFORMATION CONTACT: For the ITS Integration Program: Mr. 
Michael Freitas, FHWA, ITS Joint Program Office, (202) 366-9292; Mr. 
Ron Boenau, FTA, Office of Mobility Innovation, (202) 366-0195; Mr. 
Mark Kehrli, FHWA, Office of Travel Management, (202) 366-5465; or Ms. 
Gloria Hardiman-Tobin, FHWA, Office of Chief Counsel, (202) 366-0780, 
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.
    For the Commercial Vehicle ITS Deployment Program: Ms. Katherine 
Hartman, FHWA , ITS Joint Program Office, (202) 366-2742; Mr. Jeffrey 
Secrist, FMCSA, Office of Research and Technology, (202) 358-5658; or 
Ms. Gloria Hardiman-Tobin, FHWA, Office of Chief Counsel, (202) 366-
0780, 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:

Electronic Access

    An electronic copy of this document may be downloaded using a modem 
and suitable communications software from the Government Printing 
Office Electronic Bulletin Board Service at (202) 512-1661. Internet 
users may reach the Office of the Federal Register's home page at 
http://www.nara.gov/fedreg and the Government Printing Office's Web 
page at http://www.access.gpo.gov/nara. The document may also be 
downloaded using a modem and suitable communications software from the 
U.S. DOT's ITS page at http://www.its.dot.gov.

Table Of Contents

I. Background
II. Purpose of the ITS Deployment Program
III. Solicitation Intent
IV. Criteria For Participation in the ITS Deployment Program
V. Limitations on Funding for the ITS Deployment Program
VI. Federal Share of Project Costs
VII. Evaluation of Benefits
VIII. Instructions to ITS Deployment Program Applicants
IX. Selection Criteria

I. Background

    The ITS Deployment Program was established by the Transportation 
Equity Act for the 21st Century (TEA-21)(Public Law 105-178, 112 Stat. 
107, (1998)). The ITS Deployment Program described in sections 
5001(a)(6) and (c)(4) of TEA-21 encompasses the ITS Integration Program 
and the Commercial Vehicle Intelligent Transportation System 
Infrastructure Deployment Program (Commercial Vehicle ITS Deployment 
Program). Section 5208 of the TEA-21 establishes the ITS Integration 
Program to accelerate the integration and interoperability of 
intelligent transportation systems in metropolitan and rural areas. 
Section 5209 of the TEA-21 establishes the Commercial Vehicle ITS 
Deployment Program to deploy intelligent transportation systems that 
improve the safety and productivity of commercial vehicles and drivers, 
and to reduce costs associated with commercial vehicle operations and 
Federal and State commercial vehicle regulatory requirements.
    For FY 2003, the ITS Integration Program provides $85,000,000 in 
Federal ITS funding for the integration of multi-modal ITS components 
in metropolitan areas, rural areas, or in statewide, multi-State, or 
multi-city settings. In FY 2003, the Commercial Vehicle ITS Deployment 
Program provides $35,500,000 in Federal ITS funding to improve the 
safety and productivity of commercial vehicles and drivers, and reduce 
costs associated with commercial vehicle operation and regulatory 
requirements.

II. Purpose of the ITS Deployment Program

    Section 5208 establishes the ITS Integration Program to accelerate 
the integration and interoperability of intelligent transportation 
systems in metropolitan and rural areas. (emphasis added)
    Additionally, section 5208(a) states that projects selected for 
funding, through competitive solicitation, will serve as models to 
improve transportation efficiency, promote safety (including safe 
freight movement), increase traffic flow (including the flow of 
intermodal travel at ports of entry), reduce emissions of air 
pollutants, improve traveler information, enhance alternative 
transportation modes, build on existing intelligent transportation 
system projects, or promote tourism.
    Section 5209 of the TEA-21 establishes the Commercial Vehicle ITS 
Deployment Program to improve the safety and productivity of commercial

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motor vehicles and drivers; and reduce the costs associated with 
commercial vehicle operations and Federal and State commercial vehicle 
regulatory requirements.
    According to section 5209(b), the purpose of the Commercial Vehicle 
ITS Deployment Program is to advance the technological capability and 
promote the development of intelligent transportation system 
applications to commercial vehicle operations, including commercial 
vehicle, commercial driver, and carrier-specific information systems.

III. Solicitation Intent

    Recent events have focused attention on the need to ensure the 
security of our nation's transportation system. ITS technologies offer 
the opportunity to significantly improve transportation security in 
several ways. First, innovative surveillance technologies and 
applications offer the potential to monitor critical infrastructure 
elements. These critical elements include critical bridges and tunnels, 
key subway stations or multi-modal facilities, multi-modal freight 
facilities, and highway or transit operations centers. The technology 
monitoring may continuously determine the status of these elements, 
identify potential risks to these critical elements, and immediately 
report any changes in the status of these critical elements. Second, 
these same surveillance systems may be used to better monitor 
operations on the surface transportation systems to improve the ability 
to identify security related incidents and better locate those 
incidents and to assure safe operations during more routing operations. 
Third, ITS technologies may provide for improved coordinated responses 
to these same incidents through improved traffic management, traveler 
information, transit system management, and/or public safety 
coordination. Fourth, ITS technologies may ensure the secure operation 
of commercial motor vehicles, their drivers, and their cargo. Fifth, 
improved communication networks and systems may help to better identify 
high risk commercial vehicles or drivers.
    For these reasons, the FHWA has determined that there is a critical 
need to focus the FY 2003 ITS Deployment Program on the application of 
ITS technologies that enhance the security of surface transportation 
systems. The objective is to provide incentive monies for the 
deployment and/or integration of ITS for the express purpose of 
enhancing the security of our surface transportation systems.

IV. Criteria for Participation in the ITS Deployment Program

    Section 5208 of TEA-21 states that projects selected for ITS 
Integration Program funding shall:
    1. Contribute to national deployment goals and objectives outlined 
in the National ITS Program Plan; (Note that a synopsis of the National 
ITS Program Plan can be downloaded from the ITS Electronic Document 
Library (EDL) at http://www.its.dot.gov. The EDL number is 3845.)
    2. Demonstrate a strong commitment to cooperation among agencies, 
jurisdictions, and the private sector, as evidenced by signed memoranda 
of understanding (MOUs) that clearly define the responsibilities and 
relations of all parties to a partnership arrangement, including 
institutional relationships and financial agreements needed to support 
integrated deployment;
    3. Encourage private sector involvement and financial commitment, 
to the maximum extent practicable, through innovative financial 
arrangements, especially public-private partnerships, including 
arrangements that generate revenue to offset public investment costs;
    4. Demonstrate commitment to a comprehensive plan of fully 
integrated ITS deployment in accordance with the national ITS 
architecture and standards and protocols;
    5. Be part of approved plans and programs developed under 
applicable statewide and metropolitan transportation planning processes 
and applicable State air quality implementation plans, as appropriate, 
at the time at which Federal ITS funds are sought;
    6. Minimize the relative percentage and amount of Federal ITS 
funding to total project costs;
    7. Ensure continued, long-term operations and maintenance without 
continued reliance on Federal ITS funding as evidenced by documented 
evidence of fiscal capacity and commitment from anticipated public and 
private sources;
    8. Demonstrate technical capacity for effective operations and 
maintenance or commitment to acquiring necessary skills;
    9. Mitigate any adverse impacts on bicycle and pedestrian 
transportation and safety;
    10. In the case of a rural area, meet other safety, mobility, 
geographic and regional diversity, or economic development criteria; or
    11. Encourage multi-state cooperation and corridor development.
    Section 5209 of TEA-21 states that projects selected for Commercial 
Vehicle ITS Deployment Program funding shall:
    1. Encourage multistate cooperation on corridor development;
    2. Improve the safety of commercial vehicle operation and increase 
the efficiency of regulatory inspection processes to reduce 
administrative burdens by advancing technology to facilitate 
inspections and generally increase the effectiveness of enforcement 
efforts;
    3. Advance electronic processing of registration information, 
driver licensing information, fuel tax information, inspection and 
crash data, and other safety information and promote communication of 
the information among the States; or
    4. Enhance the safe passage of commercial vehicles across the 
United States and across international borders.

V. Limitations on Funding for the ITS Deployment Program

    Federal funding authority for the ITS Deployment Program comes from 
section 5001(a)(6) of the TEA-21. The preliminary applications 
requested through this solicitation will be for funds that are 
anticipated to be appropriated for FY 2003. Requests for more detailed 
proposals from qualified applicants will depend on, and be shaped by, 
the availability of funds for this program in FY 2003.
    Section 5208 of the TEA-21 requires that for metropolitan area ITS 
Integration Program projects, funding shall be used primarily for 
activities necessary to integrate ITS infrastructure elements that are 
either deployed (legacy systems) or will be deployed with other sources 
of funds. The purchase or construction of hardware is not considered an 
integration activity, and should utilize other sources of funds. For 
projects outside of metropolitan areas (i.e., statewide or rural 
areas), the TEA-21 states that funding may be used for integration 
purposes, as well as for limited deployment of ITS infrastructure 
components to support integration.
    Section 5208 projects of various sizes are eligible. However, the 
TEA-21 directs that awards shall be limited to $15 million in a single 
metropolitan area, and $2 million in a single rural area. No more than 
$35 million shall be awarded within a State. Of the available funding, 
not less than 10 percent will be available for non-metropolitan areas.
    Section 5209 of the TEA-21 does not limit the use of Commercial 
Vehicle ITS Deployment Program funding for integration versus 
deployment nor does

[[Page 4312]]

it limit the amount of funding that can be awarded to any region or 
State. The proposed project should support the goals of the Commercial 
Vehicle ITS Deployment Program, as outlined in section 5209.

VI. Federal Share of Project Costs

    The Federal share of the cost of ITS Deployment Program projects 
shall not exceed 50 percent. Additionally, the total Federal share of 
the cost of a project payable from all eligible sources shall not 
exceed 80 percent. The remaining 20 percent of the project cost must be 
from non-federally derived funding sources. This 20 percent of the 
project cost 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 proposed 
integrated deployment 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.
    Funds provided in addition to the 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 integration 
project. Note that funding identified to support continued operations, 
maintenance, and management of the system will not be considered as 
part of the partnership's cost-share contribution.

VII. Evaluation of Benefits

Independent Evaluations

    The FHWA may conduct with non-project funds, independent 
evaluations of the benefits resulting from specific projects proposed 
for funding under the ITS Deployment Program. The decision to evaluate 
the benefits of a specific project will be made on a case-by-case 
basis, reflecting the information needs of the FHWA. Independent 
evaluations will be conducted in accordance with the guidelines, 
provisions, and evaluation funding levels as directed by the TEA-21 and 
as reflected in the TEA-21 Evaluation Guidelines, which can be found at 
the following Internet site, http://www.its.dot.gov/EVAL/evalguidelines.html. The application shall explicitly state that if 
selected for independent evaluations, the proposed project shall 
cooperate with the independent evaluators and participate in evaluation 
planning and progress review meetings to ensure a mutually acceptable, 
successful implementation of the independent evaluation.

Local Evaluations

    To ensure sound management practice, each project shall perform a 
local evaluation funded from project or other resources. The 
application shall explicitly state that the proposed project will 
develop a Local Evaluation Report. The report shall include a general 
overall assessment of the project, other specific evaluation products, 
or activities as appropriate, and an executive summary.

VIII. Instructions to ITS Deployment Program Applicants

    A preliminary application to participate in the ITS Deployment 
Program shall contain the following information:
    1. An identification of the project partners and other key 
stakeholders in the proposed project. The proposed partnership should 
demonstrate, and provide evidence of, a strong commitment to 
cooperation among agencies, jurisdictions, and, as appropriate, the 
private sector. Partnerships that include a public safety agency (or 
agencies) and/or a transit agency (or agencies) are strongly 
encouraged. For the purposes of this application, MOUs or other formal 
partnership agreements are not required at this time, but copies of 
existing MOUs or other partnership agreements should be included with 
the preliminary application.
    2. A very brief listing of existing and planned ITS deployments, 
and a short description of the project that is proposed for funding to 
support surface transportation security. The description should clearly 
identify and describe the security function(s) that will be provided 
and demonstrate a strong commitment to cooperation among agencies, 
jurisdictions, and as appropriate, the private sector, on both long-
range ITS planning and investment decisions, and short-range operation 
and management issues. Project proposals should also discuss the degree 
to which long-term and or day-to-day safety of the surface 
transportation system will be enhanced, if any. Any other potential 
operational or other benefits of the proposed project should also be 
described.

    Note: The FHWA has determined that deployment of Commercial 
Vehicle Information Systems and Networks (CVISN) in a State would 
enhance transportation security and therefore applications under 
section 5209 that propose to advance the deployment of CVISN will be 
considered.

    3. For each of the TEA-21 selection criteria listed above in 
section IV, Criteria for Participation in the ITS Deployment Program, 
an assessment of how the proposed project addresses the criteria. Any 
criteria that are not applicable to the project should be so 
identified.
    4. A brief financial summary that includes:
    (a). Project cost;
    (b). Matching funds and sources; and
    (c). How long term operations and maintenance will be supported.
    Preliminary applications to determine qualifications for 
participation in the ITS Deployment Program may be submitted by 
partnerships representing large or small metropolitan areas, regional 
areas, rural areas, statewide or multi-State regions. The proposed 
projects should meet documented local or State needs, focus on the 
integration of ITS technologies, and strengthen institutional ties 
across jurisdictions, modes, and operating agencies.
    Because this is a preliminary application, we request that the 
package not exceed 15 pages in length, including the title page, 
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.
    Ten copies, plus an electronic copy, in Microsoft Word format, 
shall be submitted to the FHWA, ITS Joint Program Office, HOIT, 400 
Seventh St., SW., Room 3416, Washington, DC 20590. The cover sheet or 
front page of the preliminary application shall include the name, 
address, and phone number of an individual to whom correspondence and 
questions about the preliminary application package may be directed. 
The application and its contents shall be non-proprietary.

IX. Selection Criteria

    Applicants must submit acceptable preliminary application packages 
that provide sound evidence that the proposed partnership can 
successfully meet the objectives of the ITS Deployment Program.
    The following criteria, in order of importance, will be used in 
selecting areas for participation in the ITS Deployment Program.
    1. Partnerships. The proposed partnership demonstrates and provides 
historic evidence of a strong commitment to cooperation among agencies, 
jurisdictions, and, as appropriate, the private sector.
    2. Technical Approach. The Technical Approach must address how the 
proposed deployment and integration of intelligent transportation 
infrastructure elements into the region's transportation system will 
further the goal of transportation security. For applications under 
section 5208 of the TEA-21, the

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ITS Integration Program, elements to be considered include: traffic 
management, transit management, incident management, emergency 
management services, and regional multi-modal traveler information 
services. For applications under section 5209 of the TEA-21, the 
Commercial Vehicle ITS Deployment Program, elements to be considered 
include: improvements of the safety and productivity of commercial 
vehicles and drivers, the reduction of costs associated with commercial 
vehicle operations, and Federal and State commercial vehicle regulatory 
requirements.
    3. TEA-21 Criteria. The application must address how it meets each 
of the pertinent TEA-21 criteria listed above in section IV, Criteria 
for Participation in the ITS Deployment Program.
    4. Financial Summary. The Financial Summary must demonstrate that 
sufficient funding, including the required matching funds, is available 
to successfully complete all aspects of the proposed deployment or 
integration as described in the Technical Plan. The Financial Summary 
must provide the financial information described under section VIII, 
Instructions to Applicants.
    Those preliminary applications that demonstrate an ability to meet 
the criteria will be considered as potential candidates for funding in 
FY 2003. The number of applicants funded, if any, will depend on the 
availability of funding in FY 2003. A more detailed technical proposal 
and financial plan will be requested prior to approval and receipt of 
funds.

    Authority: 23 U.S.C. 315, secs. 5001(a)(6) and (c)(4), 5208, and 
5209, Pub. L. 105--178, 112 Stat. 107, at 419-421 and 458--461 
(1998); and 49 CFR 1.48.

    Issued on: January 22, 2002.
Mary E. Peters,
FHWA Administrator.
[FR Doc. 02-2091 Filed 1-28-02; 8:45 am]
BILLING CODE 4910-22-P