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Intelligent Transportation Systems
In Southern California, there are several Intelligent Transportation Systems (ITS) architectures that may be applicable to an ITS project. SCAG has developed a Southern California Regional ITS Architecture that addresses multi-county issues: those projects, programs, and services that require connectivity across county boundaries or are deployed at a multi-county level. Secondly, each County has developed a Regional ITS Architecture to provide a framework for local deployment of ITS applications. A third “layer” is also in place at the state level: the California ITS Architecture and System Plan addresses those services that are rolled out or managed at a state level or are interregional in nature.
SCAG’s Southern California Regional ITS Architecture provides a framework for ITS planning that promotes interoperability and communication across jurisdictional boundaries. Projects developed under a regional framework extend the usefulness of any single project by making information easily accessible for operators and users of the system. The Southern California Regional ITS Architecture is intended to provide a resource for project sponsors and transportation providers that coordinates cross-county planning efforts in the SCAG region and facilitates project development (planning, design, implementation, etc.).
Regional ITS projects, or transportation projects (both highway and transit) with ITS elements, that want to be eligible for Federal transportation funding are required to be consistent with the Southern California Regional ITS Architecture pursuant to 23 CFR 940.9 and 940.11. In addition, such projects must comply with system engineering requirements and applicable Federal standards that have been adopted for the implementation of ITS.
There have been several changes since the Southern California Regional ITS Architecture was first developed in 2005. The National ITS Architecture has been updated to reflect new user services, Southern California has continued as a national leader in ITS deployment with extensive ITS investments, and new technology applications have emerged. The 2011 update to the Southern California Regional ITS Architecture reflects changes since 2005 and positions the architecture to guide future ITS deployments as new technologies emerge.
Topics covered in the 2011 update include express lanes, positive train control, technologies in support of non-motorized transport, and goods movement in addition to the updates for other cross-county services such as to address traveler information, regional data exchange and archiving of regional data. Additionally, recommendations are made to subregional (county-level) ITS Architecture champions for their consideration in the event that changes are desired to be made at the county level for the associated topic. The Southern California Regional ITS Architecture leverages long standing investments in ITS by fostering coordination and cooperation among public agency stakeholders.
As the Metropolitan Planning Organization (MPO), SCAG is responsible for preparing the Regional transportation Plan (RTP) that establishes the region’s long-range transportation goals, objectives and policies. Regional outcomes are achieved over a period of many years through a culmination of projects that build upon other individual ITS projects. The Southern California Regional ITS Architecture supports the RTP update process by documenting existing and planned ITS projects, including how ITS projects are sequenced.
Stakeholders that follow the Southern California Regional ITS Architecture ensure that their projects maintain consistency with the National ITS Architecture, which is a requirement for federally funded projects. Furthermore, in California, ITS projects that receive federal funding are required to follow the systems engineering planning process. Information and steps required in the systems engineering process are found or addressed throughout the Regional ITS Architecture.
For projects receiving Federal transportation funding from the Highway Trust Fund and Mass Transit Account, there are certain planning criteria that must be followed. Mass Transit Account funding applicants should review the procedures documented in National ITS Architecture Consistency Policy for Transit Projects, while other project funding applicants in California should take the procedures as outlined in or Chapter 13 of the Caltrans Local Assistance Program Guidelines (LAPG). These procedures are briefly explained for transit projects and non-transit projects in the following sections. ITS projects in California receiving federal funds have to ensure that systems engineering process is followed in addition to meeting the requirements related to the regional ITS architecture.
Non-Transit Projects
One requirement of the Local Assistance Program Guidelines (LAPG) is that the local agency must follow the process to determine the level of risk for the ITS project. There are three types of project risk (Exempt, Low-Risk and High Risk) which determine the process for project funding and development. Local agencies first submit a Field Review Form that includes the ITS Systems Engineering Review Form (SERF) to the Caltrans District Local Assistance Engineer (DLAE) as part of their E-76 Package. By answering the seven questions of the SERF, the local agency can determine if the ITS project is Low Risk (formerly “Minor”) or High Risk (formerly “Major”). The SERF is meant to be high-level project information and can be completed by public agency staff.
The list below shows where in this regional ITS architecture documentation information can be fund to assist in writing a SERF.
SERF REQUIREMENT | ITS ARCHITECTURE RESOURCE |
|---|---|
Identification of portions of regional architecture being implemented | ITS Inventory |
Requirements definition | Functional Requirements |
Analysis of alternative system configurations and technology options to meet requirements | Not Available in Regional ITS Architecture |
Procurement options | Not Available in Regional ITS Architecture |
Identification of applicable ITS standards and testing procedures | Standards |
Procedures and resources necessary for operations and management of the system | Not Available in Regional ITS Architecture |
Transit Projects
One requirement of the Local Assistance Program Guidelines (LAPG) is that the local agency must follow the process to determine the level of risk for the ITS project. There are three types of project risk (Exempt, Low-Risk and High Risk) which determine the process for project funding and development. Local agencies first submit a Field Review Form that includes the ITS Systems Engineering Review Form (SERF) to the Caltrans District Local Assistance Engineer (DLAE) as part of their E-76 Package. By answering the seven questions of the SERF, the local agency can determine if the ITS project is Low Risk (formerly “Minor”) or High Risk (formerly “Major”). The SERF is meant to be high-level project information and can be completed by public agency staff. The list below shows where in this regional ITS architecture documentation information can be fund to assist in writing a SERF
Applicants for Mass Transit Account funds need to provide the following information in the required FTA Transportation Electronic Award and Management (TEAM) system:
- The applicant needs to check the Self-Certification in the TEAM system, certifying compliance with the FTA National ITS Architecture Consistency Policy for Transit Projects.
- In the project description field, the applicant needs to make a statement that an applicable regional ITS architecture exists and that the ITS components in the project are part of the ITS architecture. The statement should also include that a Systems Engineering process was used to develop the ITS components of the project.
- The applicant should use the Non-Add Scope Codes in the project budget field to identify the ITS components of the project. Here are a few examples of the Non-Add Scope Codes for ITS component:
- 99300 – ITS Fleet Management
- 99400 – ITS Electronic Fare Management
- 99500 – ITS Traveler Information
Applicants can prepare itemized budgets with the ITS components separated out. Taking the three self-certification steps in TEAM is sufficient evidence of compliance with the FTA requirement at the time of grant award. FTA will use its oversight procedures to monitor compliance with the policy.
Though not required, FTA has a similar SERF form with the seven steps allowing grantees to document their use of a Systems Engineering process. Stakeholders can use information from the Regional ITS Architecture to fill out the FTA SERF form as described above for non-transit projects. The form will be made available on the FTA website at the time of grant award and prior to project triennial review. In most cases, the completed form would be requested during the triennial review; however, the FTA regional program manager can request earlier submission of the form. Applicants may use other means to document their use of the Systems Engineering process as long as it shows that the seven-step process has been followed.
Systems Engineering Process
The Systems Engineering process is a type of project planning process used for ITS projects. This process is required for major federally-funded ITS projects. The Systems Engineering Guidebook for ITS, co-sponsored by FHWA and Caltrans, is one resource for the Systems Engineering process. The following table outlines the basic System Engineering Process phases and how the Southern California Regional ITS Architecture can provide resources in each phase.
SYSTEMS ENGINEERING PHASE | ITS ARCHITECTURE RESOURCE |
|---|---|
Phase -1: Interfacing with Planning and the Regional Architecture | Regional Description, ITS Inventory |
Phase 0: Concept Exploration and Benefits Analysis | Regional Stakeholders, ITS Needs |
Phase 1: Project Planning and Concept of Operations Development (includes Systems Engineering Management Plan (SEMP)) | Regional Stakeholders, Operational Concepts |
Phase 2: System Definition and Design | Functional Requirements, Required Standards, Information Flows and Interface Requirements |
Phase 3: System Development and Implementation | Project Sequencing, Regional Stakeholders, Agency Agreements |
Phase 4: Validation, Operation & Maintenance, Changes & Upgrades | Regional Stakeholders, Agency Agreements, Architecture Maintenance |
Phase 5: System Retirement/Replacement | Not Available in Regional ITS Architecture |
Non-Transit Projects
One requirement of the Local Assistance Program Guidelines (LAPG) is that the local agency must follow the process to determine the level of risk for the ITS project. There are three types of project risk (Exempt, Low-Risk and High Risk) which determine the process for project funding and development. Local agencies first submit a Field Review Form that includes the ITS Systems Engineering Review Form (SERF) to the Caltrans District Local Assistance Engineer (DLAE) as part of their E-76 Package. By answering the seven questions of the SERF, the local agency can determine if the ITS project is Low Risk (formerly “Minor”) or High Risk (formerly “Major”). The SERF is meant to be high-level project information and can be completed by public agency staff.
The list below shows where in this regional ITS architecture documentation information can be fund to assist in writing a SERF.
SERF REQUIREMENT | ITS ARCHITECTURE RESOURCE |
|---|---|
Identification of portions of regional architecture being implemented | ITS Inventory |
Requirements definition | Functional Requirements |
Analysis of alternative system configurations and technology options to meet requirements | Not Available in Regional ITS Architecture |
Procurement options | Not Available in Regional ITS Architecture |
Identification of applicable ITS standards and testing procedures | Standards |
Procedures and resources necessary for operations and management of the system | Not Available in Regional ITS Architecture |
Transit Projects
One requirement of the Local Assistance Program Guidelines (LAPG) is that the local agency must follow the process to determine the level of risk for the ITS project. There are three types of project risk (Exempt, Low-Risk and High Risk) which determine the process for project funding and development. Local agencies first submit a Field Review Form that includes the ITS Systems Engineering Review Form (SERF) to the Caltrans District Local Assistance Engineer (DLAE) as part of their E-76 Package. By answering the seven questions of the SERF, the local agency can determine if the ITS project is Low Risk (formerly “Minor”) or High Risk (formerly “Major”). The SERF is meant to be high-level project information and can be completed by public agency staff. The list below shows where in this regional ITS architecture documentation information can be fund to assist in writing a SERF
Applicants for Mass Transit Account funds need to provide the following information in the required FTA Transportation Electronic Award and Management (TEAM) system:
- The applicant needs to check the Self-Certification in the TEAM system, certifying compliance with the FTA National ITS Architecture Consistency Policy for Transit Projects.
- In the project description field, the applicant needs to make a statement that an applicable regional ITS architecture exists and that the ITS components in the project are part of the ITS architecture. The statement should also include that a Systems Engineering process was used to develop the ITS components of the project.
- The applicant should use the Non-Add Scope Codes in the project budget field to identify the ITS components of the project. Here are a few examples of the Non-Add Scope Codes for ITS component:
- 99300 – ITS Fleet Management
- 99400 – ITS Electronic Fare Management
- 99500 – ITS Traveler Information
Applicants can prepare itemized budgets with the ITS components separated out. Taking the three self-certification steps in TEAM is sufficient evidence of compliance with the FTA requirement at the time of grant award. FTA will use its oversight procedures to monitor compliance with the policy.
Though not required, FTA has a similar SERF form with the seven steps allowing grantees to document their use of a Systems Engineering process. Stakeholders can use information from the Regional ITS Architecture to fill out the FTA SERF form as described above for non-transit projects. The form will be made available on the FTA website at the time of grant award and prior to project triennial review. In most cases, the completed form would be requested during the triennial review; however, the FTA regional program manager can request earlier submission of the form. Applicants may use other means to document their use of the Systems Engineering process as long as it shows that the seven-step process has been followed.
Systems Engineering Process
The Systems Engineering process is a type of project planning process used for ITS projects. This process is required for major federally-funded ITS projects. The Systems Engineering Guidebook for ITS, co-sponsored by FHWA and Caltrans, is one resource for the Systems Engineering process. The following table outlines the basic System Engineering Process phases and how the Southern California Regional ITS Architecture can provide resources in each phase.
SYSTEMS ENGINEERING PHASE | ITS ARCHITECTURE RESOURCE |
|---|---|
Phase -1: Interfacing with Planning and the Regional Architecture | Regional Description, ITS Inventory |
Phase 0: Concept Exploration and Benefits Analysis | Regional Stakeholders, ITS Needs |
Phase 1: Project Planning and Concept of Operations Development (includes Systems Engineering Management Plan (SEMP)) | Regional Stakeholders, Operational Concepts |
Phase 2: System Definition and Design | Functional Requirements, Required Standards, Information Flows and Interface Requirements |
Phase 3: System Development and Implementation | Project Sequencing, Regional Stakeholders, Agency Agreements |
Phase 4: Validation, Operation & Maintenance, Changes & Upgrades | Regional Stakeholders, Agency Agreements, Architecture Maintenance |
Phase 5: System Retirement/Replacement | Not Available in Regional ITS Architecture |
The Southern California Regional ITS Architecture assists in defining high-level requirements in ITS design for specific project development. During project development, stakeholders should incorporate elements of the Southern California Regional ITS Architecture, such as roles and responsibilities, standards, and functional requirements in their detailed design documents. This method of defining ITS projects for future deployment is consistent with the National ITS Architecture, it lends credibility to new projects, it limits duplicate efforts by transportation stakeholders, and it supports a uniform regional approach to both the planning and the deployment process.
If an agency wanted to build a transportation management center (TMC) or incorporate ITS elements such as CCTV cameras or changeable message signs in their project, the process for using the Southern California Regional ITS Architecture is described as follows:
- 1. Consult The Southern California Regional ITS Architecture Inventories
The county-level architectures include inventories of existing and planned ITS projects in each county. The ITS Architecture at the multi-county level focuses on center-center integration and regional services such as commuter rail and 511 that functions beyond a county-level architecture. Reviewing the inventory is an initial step in identifying partnerships with neighboring stakeholders that could lead to opportunities for integration and information exchanges.
- 2. Find Related Stakeholder Roles & Responsibilities
The Southern California Regional ITS Architecture includes a listing of stakeholders, their activities and a description of their responsibilities concerning the types of service delivered and the information produced or distributed. The operational concepts in the Southern California Regional ITS Architecture relate the market packages pertinent to the stakeholder and describe their roles and responsibilities. The purpose is to reduce duplication, promote coordination and avoid gaps in service and responsibilities.
- 3. Find Related Functional Requirements
The needs, desired services and the market packages reflect the high-level goals and objectives for the region provided through the category of ITS project types. The functions described for each project type allow stakeholders to further define their project to ensure that the project lends itself to meeting both specific user needs and advancement towards the needs of the region.
- 4. Review Information Flows & Interface Requirements
Context diagrams in the Southern California Regional ITS Architecture describe how systems are integrated for sharing data. Using this information, the agency decides which connections and data exchanges that the project must accommodate. At this point, the agency can contact the stakeholders referenced in the diagram and coordinate data to be exchanged and the standards to be used.
- 5. Identify Appropriate Standards
Using common standards that are agreed upon by the stakeholders help facilitate the exchange of information among ITS deployments. The standards deployed in the Southern California Regional ITS Architecture are focused on supporting center-to-center communications throughout the region. The agency can consult a common data dictionary, to ensure that standard interfaces that are agreed upon are used in the project to allow information to be shared between systems.
- 6. Determine if Agency Agreements are Needed
Agreements might be needed among the stakeholders to fully integrate the projects at a region-wide level. The agreements help enforce the roles and responsibilities of each stakeholder and are based on the types of existing and planning projects in the county. The architecture describes the data interfaces needed for information exchanges and operational requirements needed to operate and implement those projects.
There have been several changes since the Southern California Regional ITS Architecture was first developed in 2005. The National ITS Architecture has been updated to reflect new user services, Southern California has continued as a national leader in ITS deployment with extensive ITS investments, and new technology applications have emerged. The 2011 update to the Southern California Regional ITS Architecture reflects changes since 2005 and positions the architecture to guide future ITS deployments as new technologies emerge.
As the Metropolitan Planning Organization (MPO), SCAG is responsible for preparing the Regional transportation Plan (RTP) that establishes the region’s long-range transportation goals, objectives and policies. Regional outcomes are achieved over a period of many years through a culmination of projects that build upon other individual ITS projects. The Southern California Regional ITS Architecture supports the RTP update process by documenting existing and planned ITS projects, including how ITS projects are sequenced.
The Southern California Regional ITS Architecture assists in defining high-level requirements in ITS design for specific project development. During project development, stakeholders should incorporate elements of the Southern California Regional ITS Architecture, such as roles and responsibilities, standards, and functional requirements in their detailed design documents.