The goal of transportation planning is to make informed
decisions on the investment of public funds for regional
transportation systems and services. In the Bay Area the
planning process and its outcomes are documented in:
-
The Regional
Transportation Plan (RTP), a 25-year plan that documents the
transportation priorities for future investments in the Bay
Area; and
-
The Transportation Improvement Program (TIP),
an annual program that includes comprehensive listing of all
Bay Area transportation projects that receive federal funds or that
are subject to a federally required action, such as a review for
impacts on air quality.
As a tool to inform the RTP, the
Architecture can be referenced in terms of regional priorities,
objectives, and issues for further discussion that arose in the
site's development. The Architecture can be used by regional
partners to guide the region in setting policy or related direction
for ITS projects and funding. The role of the Architecture in
the RTP process depends on the level of resource commitment to
updating the Architecture and the extent to which the effort delves
into planning and project coordination issues, and not only focused
on the project inventory.
The Bay Area ITS Architecture is a single source summarizing the existing and planned ITS projects in the region. Project sponsors
can also use the project information as a starting point in submitting projects
of interest to the TIP.
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
follow
the procedures documented in FTA's
Updated Guidance on Implementation of ITS Projects Affected by
National ITS Architecture Consistency Policy for Transit Projects,
while other project funding applicants in California should follow the procedures
outlined in
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 a
systems engineering process is followed
in addition to meeting the requirements related to the regional ITS
architecture.
Applicants for Mass Transit Account funds
need to provide the following information in the required FTA
Transportation Electronic Award and Management (TEAM) system:
1)
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.
2)
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. Here is a sample project description statement:
This bus
purchase includes the purchase of automatic vehicle location (AVL)
equipment as part of the grant. XYZ transit agencies'
implementation of an AVL system is part of the Bay Area ITS Architecture.
Detailed information can be found in the
Project Sequencing Table in the architecture website. This
project is consistent with the Bay Area ITS Architecture. A
Systems Engineering process was used in the development of this
project.
3)
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.
FTA funded projects
are required to undergo a Systems Engineering Analysis (SEA) to
achieve compliance with Federal regulation (23 CFR 940). In
California, the SEA requirement can be met by completing an updated
SEA form as part of the project files.
Stakeholders can use information from the Bay Area ITS Architecture
to fill out the FTA SERF form as described above for
non-transit projects. The FTA
assesses compliance by requesting the SEA form during the
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.
As required by the FHWA/Caltrans
guidelines for ITS projects, the local agency must 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. All federally funded ITS
projects must have a Systems Engineering Analysis (SEA) performed to
be in compliance with Federal regulation (23 CFR 940).
In California, the
SEA requirement is met by completing a System Engineering Review
Form (SERF). 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”). ITS projects
that are deemed "High Risk" requires the preparation of a System
Engineering Management Plan (SEMP) and a written Notice to Proceed
(NTP) from FHWA before federal funds could be spent on detailed
component level design. 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 found to assist in writing a SERF.
| SERF Requirement |
Bay Area ITS Architecture Resource |
a) Identification of portions
of RA
being Implemented |
Bay Area ITS Project
Inventory |
b) Identification of
participating
agencies roles and responsibilities |
Stakeholder Roles and
Responsibilities |
| c) Requirements definition |
Functional Requirements |
d) Analysis of alternative
system
configurations and technology
options to meet requirements |
Not Available in Regional ITS
Architecture |
| e) Procurement options |
Not Available in Regional ITS
Architecture |
f) Identification of
applicable ITS
standards and testing procedures |
Standards (Testing Procedures not
available) |
g) Procedures and
resources
necessary for operations and
management of the system |
Not Available in Regional ITS
Architecture |
Refer to the Roadmap section in chapter 13.4
of the LAPG that describe the steps for maintaining ITS compliance
during the planning and implementation of the project. .
The System 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 Bay Area ITS Architecture can provide resources
in each phase.
