California ITS Architecture and System Plan

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Final Report Prepared by:

For:

October 25, 2004 091783000

091783000 California ITS Architecture and System Plan Final Report 102504 mf Final Report October 25, 2004

The contents of this report reflect the views of the author who is responsible for the facts and accuracy of the data presented herein. The contents do not necessarily reflect the official views or policies of the State of California or the Federal Highway Administration. This report does not constitute a standard, specification, or regulation.

TABLE OF CONTENTS FINAL REPORT

091783000 California ITS Architecture and System Plan Final Report 102504 mf i Final Report October 25, 2004

BACKGROUND AND OVERVIEW .......................................................................................................1 Methodology, Approach, and Resources .....................................................................................1 Stakeholders................................................................................................................................2 Report Organization ...................................................................................................................3

1. INTRODUCTION ........................................................................................................................4 1.1 Project Need .....................................................................................................................4 1.2 Project Scope ....................................................................................................................5 1.3 Project Stakeholders .........................................................................................................6 1.4 Project Championship ......................................................................................................6

2. INVENTORY..............................................................................................................................8 2.1 Introduction/Purpose........................................................................................................8 2.2 Basis of Inventory and Sources .........................................................................................8 2.3 Methodology .....................................................................................................................8

3. NEEDS, DESIRED OUTCOMES, AND SERVICES..........................................................................10 3.1 Introduction/Purpose......................................................................................................10 3.2 Summary of Stakeholder Needs ......................................................................................10 3.3 Desired Outcomes ...........................................................................................................11 3.4 ITS Services in the Statewide Architecture .....................................................................14

4. OPERATIONAL CONCEPT........................................................................................................20

5. FUNCTIONAL REQUIREMENTS ................................................................................................21

6. INTERFACES ...........................................................................................................................22 6.1 Introduction/Purpose......................................................................................................22 6.2 Top-Level California ITS Architecture System Interconnect Diagram ...........................22 6.3 Information Flows...........................................................................................................24

7. IMPLEMENTATION..................................................................................................................27 7.1 Project Sequencing..........................................................................................................27 7.2 Agency Agreements ........................................................................................................38 7.3 ITS Standards .................................................................................................................38

8. PLAN FOR MAINTAINING THE ARCHITECTURE .......................................................................40 8.1 Introduction/Purpose......................................................................................................40 8.2 Key Components of the Maintenance Plan......................................................................40 8.3 Next Steps .......................................................................................................................40

APPENDIX A – TECHNICAL APPENDIX ...........................................................................................45 A-1 Bibliography ..................................................................................................................45 A-2 Architecture Elements (Inventory).................................................................................45

TABLE OF CONTENTS FINAL REPORT

091783000 California ITS Architecture and System Plan Final Report 102504 mf ii Final Report October 25, 2004

A-3 User Services..................................................................................................................45 A-4 Market Packages............................................................................................................45 A-5 Advisory Committee Stakeholder Agencies....................................................................45 A-6 Operational Concepts by Service Category ....................................................................45 A-7 Functional Requirements ...............................................................................................45 A-8 Elements and Interfaces .................................................................................................45 A-9 Maintenance Plan ..........................................................................................................45 A-10 Agency Agreements........................................................................................................45 A-11 ITS Standards ................................................................................................................45

APPENDIX B – INTERIM DELIVERABLES ........................................................................................46 B-1 Inventory ........................................................................................................................46 B-2 Common Needs ...............................................................................................................46 B-3 Vision..............................................................................................................................46 B-4 Common Priority ITS Services .......................................................................................46 B-5 Operational Concept.......................................................................................................46 B-6 Functional Requirements ................................................................................................46 B-7 Interfaces ........................................................................................................................46 B-8 Project Sequencing..........................................................................................................46

LIST OF FIGURES Figure 1 – California ITS Architecture and System Plan Development Process.....................................2 Figure 2 – California System Interconnect Diagram..........................................................................23 Figure 3 – Customized Transit Multimodal Coordination market package..........................................25 Figure 4 – Interface Example ..........................................................................................................26 LIST OF TABLES Table 1 – ITS Inventory Summary.....................................................................................................9 Table 2 – Desired Outcomes ...........................................................................................................12 Table 3 – California ITS Architecture User Services.........................................................................15 Table 4 – California ITS Architecture Market Packages ....................................................................17 Table 5 – Proposed Projects to Implement the California ITS Architecture and System Plan ...............29 Table 6 – Applicable ITS Standards in California .............................................................................38

091783000 California ITS Architecture and System Plan Final Report 102504 mf 1 Final Report October 25, 2004

BACKGROUND AND OVERVIEW Federal regulations require intelligent transportation system (ITS) projects funded with Highway Trust Funds to conform to the National ITS Architecture and approved ITS standards; be guided by a regional architecture of geographic boundaries defined by stakeholder needs; and use a system engineering analysis that considers the total project life cycle. These requirements are documented in Federal Highway Administration (FHWA) Rule 940 and the associated Federal Transit Administration (FTA) Policy 655 and apply to all projects using funds made available from the Highway Trust Fund to ensure conformance with the National ITS Architecture and applicable ITS standards. The California ITS Architecture and System Plan accomplishes two goals in this context:

Development of an ITS architecture focusing on state-level services and identifying potential interregional services (those services that are regionally deployed, but that have a potential for improvement through coordination among regions) in California that supplements the regional ITS Architectures and deployment plans. The intent is to ensure that statewide services are deployed in a coordinated and cost-effective manner, thereby adhering to the “regional architecture” requirement described in the above summary of the Final Rule for those projects developed at this level and to facilitate partnership, coordination and potentially integration among regions where added benefit to the transportation system may be affected by such interregional cooperation.

Development of a 10-year System Plan that describes the blueprint for deployment of specific projects that fall within this category of statewide and interregional services. Based on the Final Rule summarized above, each of these projects will require that a systems engineering approach be taken when it is developed and throughout the project life cycle.

A Regional ITS Architecture is a plan that describes ITS deployment in terms of regional integration and cooperation among stakeholders within that region over a time period of generally ten to twenty years. The region’s geographic boundaries are usually defined by stakeholders, sometimes with the assistance of the Federal Highway Administration, based on how agencies work together (e.g., if there is a group of stakeholders that generally coordinate transportation management efforts within a metropolitan area); based on travel patterns or major routes (e.g., along a primary corridor); or based on commonality of transportation-system issues (e.g., a group of rural Regional Transportation Planning Agencies (RTPAs) that all experience similar weather-related and other rural transportation issues). The key is to plan for technology deployment in a cooperative environment among stakeholders in a sensible manner to promote the efficiency of project deployment and stakeholder resources.

Methodology, Approach, and Resources

The California ITS Architecture and System Plan referenced the existing and developing regional ITS plans and architectures from all over the state (including regional ITS architectures and strategic deployment plans, the statewide Initiatives project, and the Caltrans draft Transportation Management Systems Master Plan1) to develop a framework and baseline for the new California ITS Architecture and System Plan that focuses on the state-level and interregional systems in the state. A full bibliography of resources used as reference for this project is provided in Appendix A-1.

1 The Draft TMS Master Plan has been used as a resource in this project for its critical content for statewide ITS system development. As of October 15, 2004, it is awaiting final approval by the Business, Transportation, and Housing Agency.


The ITS architecture development process is governed by the National ITS Architecture, developed by the USDOT, as a tool to guide the development of regional architectures throughout the country. The process being followed in the development of the California Statewide ITS Architecture is based on the process noted in the USDOT’s Regional ITS Architecture Guidance: Developing, Using, and Maintaining an ITS Architecture for Your Region. Figure 1 illustrates the overall process.

Figure 1 – California ITS Architecture and System Plan Development Process

Components of regional ITS architectures and plans that were currently under development during the course of this project were included where possible as progress was made on those parallel efforts. Efforts were made to incorporate these components at appropriate stages of the project.

Stakeholders

The general approach applied to this project has been one of stakeholder participation and a coalition building process that has been fully integrated into the California ITS Architecture and System Plan development. The approach has been built around extensive interaction with and input by regional ITS stakeholders throughout the process and the end result is an Architecture and System Plan that reflects the California surface transportation network needs and goals from a state-level and an interregional standpoint.


Due to the large number of stakeholders within the State of California, several committees and groups were formed to better capitalize on the available resources provided for this project. An Advisory Committee consisting of public agency representatives led the project’s direction and major decisions. A System Working Group was organized into several subcommittees to allow stakeholders to participate in specific areas of interest that pertain to that stakeholder. Section 1.3 describes the stakeholders in more detail.

Report Organization

This document describes the California ITS Architecture and System Plan from a summary perspective. This document is intended to describe the full process of the Architecture and Plan development and to represent a compilation of the individual steps and tasks into a comprehensive document describing the Architecture and Plan.

This document, combined with Technical Appendix A represents the full documentation of the final report. Appendix A contains the technical material referenced in each section for ease of review. For example, Section 3.4 (ITS Services in the Statewide Architecture) describes the key decisions and resulting short-list of services that are addressed by the Statewide Architecture. The full list of all National Architecture-defined user services and market packages along with the designations of statewide, interregional, local/regional, and private developed in this project are included in Appendix A3 and A4. This comprehensive final report contains the most up-to-date data, decisions, and information for all components.

Interim deliverables were developed throughout the course of this project to document progress, major decisions, and task results. The full set of interim deliverables is available as documentation of this project’s process and methodology. Content represents the current status and decisions as of the date of the latest revision of each document. These interim deliverables can be found in Appendix B.

This final report contains the following sections:

Introduction Inventory Needs, Desired Outcomes, and Services Operational Concept Functional Requirements Interfaces Implementation Plan For Maintaining the Architecture Appendix A – Technical Appendix Appendix B – Interim Deliverables


1. INTRODUCTION This section documents the background of the California ITS Architecture and System Plan, including the need for the project, the definition of the “region” covered by this regional ITS architecture project, and the stakeholders and champions of the effort.

1.1 Project Need

Many regions in California have developed ITS Architectures and Strategic Deployment Plans in order to plan for advanced-technology applications in a regional, integrated context. The figure to the right depicts the State of California and the “ITS Planning Regions” that have independently formed for ITS planning purposes. These regions currently consist of the following:

Bay Area Central Coast COATS (California – Oregon Advanced Transportation Systems) District 2 Imperial County Inland Empire Los Angeles – Arterial Architecture Los Angeles – RIITS (Regional Integration of Intelligent Transportation Systems) National Parks North Valley (includes Butte County and others) Orange County Sacramento Area San Diego San Joaquin Valley Sierra Nevada Southern California Tahoe Basin Tahoe Gateway Ventura County

As shown by the above list, regions overlap in some instances (for example, planning for National Parks will overlap with some of the other regions). Regional plans vary in level of detail and, especially in cases where the plan or architecture was developed prior to the publication of the Final Rule, in content. Each architecture and plan, however, accomplishes the same goal: to define an integrated plan for deployment of ITS within that region, serving the needs and institutional climate of that region. Some plans are being developed now or are being updated currently in order to meet federal requirements.


As regional plans are developed, the focus of those plans is on the operational objectives, stakeholder needs, and roles and responsibilities of the regional and local agencies within that region. State-level agencies are involved in the plans as regional stakeholders, for example a Caltrans District would be a stakeholder in the regional architecture or plan encompassing that District. Districts can be both state-level and regional stakeholders depending on the user service.

While the majority of the State of California is covered by these regional architectures and plans, gaps have been identified stemming from the regional approach to planning for ITS deployment. The state-level needs and objectives are, appropriately, not comprehensively addressed at a regional level in the existing architectures and plans. The region-to-region connections within various services have been addressed in some plans and for some services, but have not been addressed from a comprehensive statewide perspective. The need for a statewide ITS architecture and system plan in California has stemmed from these identified gaps resulting in the following primary objectives for the project:

To develop a comprehensive, federally compliant ITS Architecture for state-level systems and services;

To develop a framework for interregional ITS planning and project development based on regional interaction and coordination as guided by the specific needs of each region;

To develop a statewide system plan that documents a comprehensive approach for implementing the ITS Architecture based on an interregional consensus of the desired outcomes.

1.2 Project Scope

The scope of the California Statewide ITS Architecture and System Plan can be described geographically, temporally, and in terms of ITS services.

Geographic Area: Geographically, the California Statewide ITS Architecture and System Plan encompasses the entire State of California, focusing on input from an interregional and state-level perspective. The boundaries include the connections with adjacent states and with Mexico as necessary for state-level services (and in some cases interregional services) to optimize the services provided to customers.

Timeframe: The California Statewide ITS Architecture and System Plan addresses a 10-year horizon, which is a reasonable projection for a technology-based plan. It is meant to be a living document that is updated on a regular basis (at least every 3 years) to address new needs and changes in project or system status or agency priorities that arise over time. (See Section 8 for details or Appendix A-9 for full documentation of the Architecture Maintenance Plan).

Service Scope: The National ITS Architecture, developed by FHWA, defines terminology and a process for regional ITS architectures to follow. The California Statewide ITS Architecture and System Plan considered the full realm of potential the ITS solutions presented in the National ITS Architecture to guide this planning process. These potential ITS solutions are called user services (general services or solutions to transportation problems) and market packages (those same services or solutions bundled into more market- or project-oriented packages) in the federal terminology. This project was guided by the definitions, user services, and market packages defined in version 5.0 (the current version, published in early 2004) of the National ITS Architecture, including the recent safety and security-related additions to version 5.0 such as the new Disaster Response and Evacuation User Service.


Though the entire State of California is covered geographically, the project addresses only state-level services and potential interregional services. As such, the plan is comprehensive for state-level services (such as those provided by Caltrans) and addresses potential opportunities for interregional services and integration of systems. From the perspective of regional stakeholders, interregional services should be considered in future project development, but are in no way required to be implemented.

The California ITS Architecture addresses state-level and interregional needs and solutions within the following nine service categories. These service categories were selected by the project team under Caltrans’ direction.

Traffic Management; Traveler Information; Goods Movement; Electronic Payment; Public Transportation; Archived Data; Maintenance and Construction Management; Vehicle Safety and Control; and Emergency Management.

1.3 Project Stakeholders

Project stakeholders include representatives of public agencies and private organizations involved in providing intelligent transportation services in the State. The stakeholder pool was the very extensive network developed by the California Alliance for Advanced Transportation Systems (CAATS). The representatives that participated made up the following review groups to guide the process of and provide input to the California Statewide ITS Architecture and System Plan:

Advisory Committee – The Advisory Committee consists of policy-level representatives of key public sector stakeholders. The role of the Advisory Committee is to provide overall policy direction and institutional coordination for the project. A complete list of the agencies represented on the Advisory Committee is included in Appendix A-5.

System Working Group – A System Working Group consisting of public and private professionals with technical expertise, direct experience, and/or interest in each of several key functional areas was organized into subcommittees to provide input and feedback on a technical basis. Subcommittees convened in person on a small number of occasions due primarily to public agency travel restrictions and budget constraints, and were invited to review all project outputs electronically throughout the project process. The following subcommittees were convened:

Transportation Management; Traveler Information; Public Transit;

Vehicle Safety and Control; Electronic Payment; and Goods Movement.

1.4 Project Championship

Given the statewide/state-level focus of the Architecture, Caltrans has taken the initiative to champion and lead the development of the Statewide ITS Architecture and System Plan. There are many agencies that have led ITS planning and deployment in CA, and continue to do so.


Many of these agencies will also be involved in implementing this architecture and plan and in continuing to monitor its timeliness and accuracy over time, assisting in keeping it up to date. A consultant team led by Kimley-Horn and Associates, Inc., and including Consensus Systems Technologies, Advantec, and System Metrics Group was retained to develop the technical details of the Statewide ITS Architecture and System Plan. A separate public relations consultant team including Moore Iacofano and Goltsman and Koegel Associates was retained to spearhead the stakeholder outreach and involvement in order to ensure that the end result is a consensus-based Architecture reflecting the needs of the core stakeholders and built upon the input of the participants.


2. INVENTORY

2.1 Introduction/Purpose

The starting point for developing the California ITS Architecture and System Plan was to establish the baseline of the current status of ITS deployment in California. Specifically, this baseline defines the existing and planned projects and systems related to state-level applications and to potential interregional services. Local and intra-regional projects and plans are not included in this baseline because they are addressed in regional ITS architectures and related plans developed at a regional level. The objective is to establish the starting point for interregional and state-level planning of ITS services in line with the project scope (described above in Section 1).

In addition to the existing and currently planned ITS elements included in the inventory, elements comprising potential future projects, as recommended for implementation of the Statewide ITS Architecture (see Section 7) are included. The final inventory represents all existing, currently planned, and recommended (also noted as planned in the architecture documentation) elements in the California Statewide ITS Architecture and System Plan.

2.2 Basis of Inventory and Sources

The inventory of ITS elements was compiled based on documents, project files, and direct input from various agency representatives. A full bibliography of the resources used to develop this project is provided in Appendix A-1. The initial draft of the inventory was developed primarily based on the inventories documented by the regional ITS architectures and plans available at the time of the statewide inventory compilation (April, 2003) and was subsequently supplemented with updates and status changes as represented by many of the other resources available for this project. Components of regional ITS architectures and plans that were currently under development during the course of this project were included where possible as progress was made on those parallel efforts. Efforts were made to incorporate these components at appropriate stages of the project.

2.3 Methodology

The initial draft of the inventory, documented by the interim project deliverable: “Task 2: Update Inventory of Existing and Planned ITS Systems” defined a wide range of projects, systems, and initiatives and can be found in Appendix B-1. Following the compilation of a draft inventory of existing and planned projects and systems, several iterations were required to cull those projects, systems, and other initiatives that were later deemed to be purely local or intra-regional and as such not applicable to the scope of the California ITS Architecture and System Plan. Future updates of this Architecture and Plan will consider subsequent changes to the related regional ITS architectures to determine whether additional regional projects or systems should be incorporated into the statewide and interregional planning efforts of this project.

The final, complete inventory consists of an inventory of elements, which are components of each project or system (e.g., Agency A Traffic Management System and Agency A Traffic Management Field Elements) translated into the appropriate federal terminology (from the National ITS Architecture). This translation is required to define the Statewide Architecture in terms of interfaces among the inventory elements and is used as a baseline for the Statewide Architecture database development.


The existing and currently planned components of the inventory were also supplemented by recommendations for future projects defined to fill in gaps in the implementation of the Architecture to ultimately achieve the desired outcomes related to transportation system improvements (see Section 3.3). The final inventory, representing the existing, currently planned, and recommended (also noted as planned in the architecture documentation) elements of the California ITS Architecture and System Plan, is presented in Appendix A-2. A summary of the number of ITS inventory components by service category is shown in Table 1 below (note that elements can appear in multiple categories).

Table 1 – ITS Inventory Summary

Service Category Inventory (Number of ITS Elements) Traffic Management 37 Traveler Information 25

Goods Movement 37

Electronic Payment 9 Public Transportation 33

Archived Data 10

Maintenance and Construction Management 13

Vehicle Safety and Control 1 Emergency Management 28


3. NEEDS, DESIRED OUTCOMES, AND SERVICES


The collective needs or challenges that exist in the surface transportation environment are the impetus behind ITS planning and architecture development. These needs guide the development of an architecture and system plan consisting of solutions to those identified challenges, potential integration between new ITS solutions and existing systems, and a framework for implementation of those projects that will ultimately provide the solutions.

Through consultation with stakeholders, the needs, desired outcomes, and resulting services were determined. The needs relate to state-level, statewide, or potential multi-regional transportation system issues or challenges. Desired outcomes stem from the needs applicable to the scope of this planning effort to identify a comprehensive list of end results desired by the project. Desired Services are described in terms of National ITS Architecture terminology (specifically user services and market packages) that describe generic solutions that will satisfy the identified needs to achieve the desired outcomes.

3.2 Summary of Stakeholder Needs

The stakeholder needs were compiled from the regional ITS architecture and strategic plan documents available from the different regions in the State (representing the needs identified within those regions) as well as extensive additional research, stakeholder input, and core knowledge of the consultant team. Additional needs have been identified throughout this project during meetings, workshops, and additional stakeholder input.

Because some of the identified needs were derived from regional ITS architecture plans, not all of them were applicable to state-level and interregional services. As an initial step in deriving the needs that relate to the scope of this project, an analysis was conducted to determine which of the needs had statewide/state-level implication and those that apply to multiple regions, thus implying a potential interregional or multi-regional need. The analysis resulted in an interim project deliverable documenting a list of common needs of statewide and interregional focus. The interim list of “common needs” that led to the outcomes that drove the remainder of this project is shown below. Full documentation of the analysis process including the interim list of “common needs” listed by ITS Planning Area, by Outcome and by Stakeholder and by System, can be found in Appendix B-2.

Additional communications infrastructure Compatible equipment for data collection and sharing Cooperative agreements in place Improved bicycle/ pedestrian safety on roadways Improved collection of data for transportation planning Improved coordination of public safety resources Improved coordination of public safety services Improved driver awareness due to drowsiness Improved efficiency and reliability of transit systems Improved hazardous material movement information management Improved incident response time


Improved inter-agency communications Improved quality and timeliness of information to travelers Improved response to hazardous materials incidents Improved safety and efficiency of maintenance operations Improved security around key transportation infrastructure Improved security in transit system (on board vehicles and at transit facilities) Improved signal coordination Improved tourist or visitor information Improved traffic management around activity centers Improved transit schedule and services information Improved transit service and trip coordination (between modes and between different

providers) Improved transit service information Improved transportation system management during disaster or evacuation Improved traveler/ driver safety under adverse weather conditions Improvements in clearance at weigh stations, inspection stations and borders Increased promotion of alternate modes of transportation Increased sensing capabilities More timely accident and incident identification Parking information Real time traffic information Real time transit information Reduce congestion on access routes for seaport, airport, and intermodal terminal gate

congestion Reduce emissions through reduced congestion Reduce intermodal terminal gate congestion Reduce rail grade crossing delays Reduce rail or light rail transit accidents Reduce recurrent congestion on freeways and arterials Rideshare information Road closure information Safe and secure truck parking near metropolitan areas and intermodal terminals Streamline regulations for commercial vehicles Tailored traveler information for truckers Weather conditions and forecasts

3.3 Desired Outcomes

An extensive outreach process was conducted where stakeholders envision what ITS services will be provided in 10 years and how these services are coordinated across the state or between regions. This visioning process was based on the identified needs as a starting point, which were subsequently refined into specific statements that describe the desired outcomes. The Statewide ITS Architecture and System Plan is built upon these desired outcomes as they represent the


consensus-based vision for the future of ITS in California from a state-level and inter-regional perspective.

The overall vision and methodology used for ITS development can be found in the interim project deliverable in Appendix B-3. This report addresses vision, goals, objectives, and performance measures in addition to the resulting desired outcomes, originally referred to as 10-year vision statements.

The stakeholder outreach process addressed all of the transportation modes and encompassed the nine service categories in the California ITS Architecture and System Plan. The resulting set of outcomes is summarized below. These consensus-based outcomes represent the direction and achievements that may realistically be accomplished within the next 10 years. The outcomes are thus intended to serve as guidelines for ITS deployment throughout the state, not as mandatory milestones that must be achieved within the 10-year timeframe. Not all regions will achieve the same level of deployment at the same time. Each region will therefore only use the desired outcomes as guidance where applicable for achieving its goals.

In Table 2, some of the desired outcomes apply to multiple service categories. In these cases, a parenthetical note is provided at the end of the statement.

Table 2 – Desired Outcomes

SERVICE CATEGORY

DESIRED OUTCOME To have, in ten years…

Traffic Management

Coordinated traffic management operational strategies (including traffic management, incident management, Amber Alert, others) among state, regional, and local agencies resulting in improved interregional mobility

Uniform traffic management software systems in each Caltrans District (where traffic management systems are used/needed) that are consistent and increase efficiency of system maintenance

Availability of the same traffic management data in a variety of accessible formats (for example, visual, audio, large-print) (see also Traveler Information, Public Transportation)

A comprehensive, real-time data collection infrastructure for multiple agencies, multiple levels, and multiple purposes (see also Traveler Information)

Systems that comply with National ITS Standards (see also Traveler Information) Improved mobility on state routes serving Ports (see also Goods Movement)

Traveler Information

Traveler information systems on a region-by-region basis, as desired by each region, with provision for links between regional systems

Public and private opportunities for dissemination for traveler information CVO-tailored real-time traveler information for truckers statewide (see also

Goods Movement) Availability of the same traveler information in a variety of accessible formats

(for example, visual, audio, large-print) (see also Traffic Management, Public Transportation)

A comprehensive, real-time data collection infrastructure for multiple agencies, multiple levels, and multiple purposes (see also Traffic Management)

Systems that comply with National ITS Standards (see also Traffic Management) An inter-regional multi-modal trip planner that serves as a gateway or interface to

other trip planners, and that incorporates real-time transit information (see also Public Transportation)


SERVICE CATEGORY


Traveler Information (continued)

En-route real-time public transportation information available on a statewide basis on key corridors (see also Public Transportation)

Public Transportation

Single e-payment accounts for users for both electronic toll collection and transit fare payment at regional and inter-regional levels with account reconciliation that is seamless to users (see also Electronic Payment)

Universal e-payment devices for users for [each of] electronic toll collection and fare payment, which make(s) the system(s) transparent to the users (see also Electronic Payment)

Ability to expand the e-payment account/media to cover other transactions such as goods movement payments, electronic parking payments, etc. (see also Electronic Payment)

Inter-regional coordination of delays on major transit services to avoid stranding passengers making common connections between regions (this concept is also known as connection protection)

Public Transportation (continued)

An inter-regional multi-modal trip planner that serves as a gateway or interface to other trip planners, and that incorporates real-time transit information (see also Traveler Information)

En-route real-time public transportation information available on a statewide basis on key corridors (see also Traveler Information)

Availability of en-route real-time public transportation traveler information in a variety of accessible formats (for example, visual, audio, large-print) (see also Traffic Management, Traveler Information)

Communications systems accessible by drivers and passengers that notify appropriate agencies (the transit agency itself, or police, fire or ambulance) in emergency situations.

Electronic Payment

Single e-payment accounts for users for both electronic toll collection and transit fare payment at regional and inter-regional levels with account reconciliation that is seamless to users (see also Public Transportation)

Universal e-payment devices for users for [each of] electronic toll collection and fare payment, which make(s) the system(s) transparent to the users (see also Public Transportation)

Ability to expand the e-payment account/media to cover other transactions such as goods movement payments, electronic parking payments, etc. (see also Public Transportation)

Goods Movement One-stop state, interstate, and federal credentialing for all commercial vehicles traveling in California with opportunities for local agencies to be involved on a voluntary basis

Integrated public agency goods and carrier data collection/tracking software for real-time data exchange and coordination of agency efforts

CVO-tailored real-time traveler information to truckers throughout the state Improved mobility on state routes serving Ports

Vehicle Safety and Control

Caltrans leadership at the state level (including resources and recommendations) to ensure that vehicle safety and control initiatives throughout the state are capable of interfacing with federal VII (Vehicle Infrastructure Integration) or other vehicle-infrastructure related initiatives and programs


SERVICE CATEGORY


Data Archiving A statewide archived data service for state-level data that is available for use by regions as a resource as desired by each region

Emergency Management

Coordinated HAZMAT transportation routes and procedures statewide and with adjoining states, with voluntary involvement by local and regional agencies

Coordinated statewide response procedures for disasters and evacuations that are developed in coordination with adjoining states' and national procedures and guidelines, with voluntary involvement by local and regional agencies

Maintenance and Construction Management

A real-time work zone monitoring system for use in Caltrans work zones that is coordinated with District traffic management systems

Roadway condition monitoring that is implemented as needed at a district level for detection of icy bridges and other pavement conditions, that is coordinated with District traffic management and traveler information systems

3.4 ITS Services in the Statewide Architecture

A key decision of the advisory committee and resulting premise of the California ITS Architecture and System Plan is that all interregional services are designed to serve only as guidance for ITS planning among regions and are not intended as mandatory requirements. Since the role and responsibility to fund, deploy, operate, and maintain ITS projects within each region lies in the local and regional agencies, each region shall use the Statewide ITS Architecture as reference while considering the potential for interfaces between regions and the potential benefits of establishing these interfaces to the traveling public and will maintain regional autonomy over final decisions.

User services and market packages, standard terms developed through the National ITS Architecture, are intended to be comprehensive lists of the potential ITS applications or solutions to transportation problems. Each user service or market package is generic in nature (for example the user service “Pre-trip Travel Information” is a generic description of a traveler information service provided to travelers prior to their trips such as web-based applications). They are intended to be used as a starting point for ITS planning to ensure that all potential solutions are considered. In some regional ITS architecture developments, stakeholders develop solutions that are not addressed by the available lists of user services and market packages, in which case a custom definition would be developed.

The California ITS Architecture and System Plan identified a set of user services and market packages that are applicable to the scope of this project by mapping the common needs, vision and desired outcomes , and also through referencing with the ITS inventory to identify which user services and market packages are already in place.

A distinction was made during the development of the Statewide ITS Architecture and System Plan between ITS solutions that are based on responsibilities for there deployment and operations. Each category of service and project-type used in this project (namely user services and market packages) has been labeled as either a state-level, a potential interregional, a purely local, or a purely private service. This architecture focuses on the state-level and potential interregional services. The specific designations are defined as follows:

State-level (S) – services that are, or will be, delivered on a state-level basis, including services that are delivered regionally by Caltrans and are recommended to be delivered in a


standardized manner across the state – these “standardization” recommendations apply only to Caltrans (for example, standardizing the way in which public and private entities access data at each district for traveler information or traffic management uses) with one exception: electronic toll collection is already standardized at a state-level based on Title 21, which is an open standard for Automatic Vehicle Identification (AVI) developed by Caltrans with electronic toll collection as the initial application (State law mandates that electronic toll collection equipment and data formats must comply with Title 21 to ensure interoperability);

Interregional (I) – services that are delivered on a regional basis which have interregional operational potential, including standards for technology deployment, data sharing are interface requirements [note a key decision of the advisory committee and resulting premise of the California ITS Architecture and System Plan is that all interregional services are designed to serve as basis for ITS planning among regions and are explicitly not intended as mandatory requirements];

Local (L) – services that are delivered on a local or regional basis that have no interregional implications (these services are addressed by regional ITS architectures and are not further described in this CA Statewide ITS Architecture and System Plan except required interfaces with these services primarily for provision of data); or

Private (P) – services that are delivered primarily by the private sector but that have interactions with statewide or interregional public sector services (primarily for provision of data) [interfaces between and among private sector only are not addressed in detail in the statewide architecture].

Tables 3 and 4, below, summarize the user services and market packages with State-level and/or Interregional applications. These state-level and interregional user services and market packages are the basis for the California ITS Architecture and System Plan. For a comprehensive list of all the user services and market packages in the National ITS Architecture with associated designations see Appendix A-3 and Appendix A-4 respectively.

Table 3 – California ITS Architecture User Services

User Service Bundle

User Service Scope

1.1 Pre-Trip Travel Information I/S 1.2 En-Route Driver Information I/S 1.3 Route Guidance P 1.4 Ride Matching and Reservation L 1.5 Traveler Services Information P 1.6 Traffic Control I/S/L 1.7 Incident Management I/S/L 1.8 Travel Demand Management L 1.9 Emissions Testing and Mitigation L

Travel and Traffic Management

1.10 Highway-Rail Intersection L 2.1 Public Transportation Management I/S/L 2.2 En-Route Transit Information I/L 2.3 Personalized Public Transit L

Public Transportation Management

2.4 Public Travel Security L


User Service Bundle

User Service Scope

Electronic Payment 3.1 Electronic Payment Services I/S/L 4.1 Commercial Vehicle Electronic Clearance S 4.2 Automated Roadside Safety Inspection S/P 4.3 On-Board Safety and Security Monitoring S/P 4.4 Commercial Vehicle Administrative Processes S/P 4.5 Hazardous Material Security and Incident Response S/P

Commercial Vehicle Operations

4.6 Freight Mobility P 5.1 Emergency Notification and Personal Security I/S/L/P 5.2 Emergency Vehicle Management I/S/L Emergency Management 5.3 Disaster Response and Evacuation I/S 6.1 Longitudinal Collision Avoidance P 6.2 Lateral Collision Avoidance P 6.3 Intersection Collision Avoidance L/P 6.4 Vision Enhancement for Crash Avoidance P 6.5 Safety Readiness P 6.6 Pre-Crash Restraint Deployment P

Advanced Vehicle Safety

6.7 Automated Vehicle Operation P

Information Management 7.1 Archived Data Function I/S

Maintenance and Construction Management 8.1 Maintenance and Construction Operations I/S/L


Table 4 – California ITS Architecture Market Packages

Market Package Bundle

Market Package Scope

AD1 ITS Data Mart S AD2 ITS Data Warehouse S Archived Data AD3 ITS Virtual Data Warehouse S/I APTS1 Transit Vehicle Tracking L APTS2 Transit Fixed-Route Operations L APTS3 Demand Response Transit Operations L APTS4 Transit Passenger and Fare Management S/I APTS5 Transit Security L APTS6 Transit Maintenance L APTS7 Multi-Modal Coordination I

Public Transportation

APTS8 Transit Traveler Information I ATIS1 Broadcast Traveler Information S/I ATIS2 Interactive Traveler Information S/I ATIS3 Autonomous Route Guidance P ATIS4 Dynamic Route Guidance P ATIS5 ISP Based Route Guidance P

ATIS6 Integrated Transportation Management/Route Guidance P

ATIS7 Yellow Pages and Reservation P ATIS8 Dynamic Ridesharing L

Traveler Information

ATIS9 In Vehicle Signing L ATMS01 Network Surveillance S/L ATMS02 Probe Surveillance L ATMS03 Surface Street Control L ATMS04 Freeway Control S/L ATMS05 HOV Lane Management L ATMS06 Traffic Information Dissemination S/L/I ATMS07 Regional Traffic Control S/L/I ATMS08 Traffic Incident Management System S/L/I ATMS09 Traffic Forecast and Demand Management L ATMS10 Electronic Toll Collection S/L/I ATMS11 Emissions Monitoring and Management L ATMS12 Virtual TMC and Smart Probe Data L ATMS13 Standard Railroad Grade Crossing L ATMS14 Advanced Railroad Grade Crossing L ATMS15 Railroad Operations Coordination L ATMS16 Parking Facility Management L ATMS17 Regional Parking Management L ATMS18 Reversible Lane Management L ATMS19 Speed Monitoring L ATMS20 Drawbridge Management L

Traffic Management

ATMS21 Roadway Closure Management S/L


Market Package Bundle


AVSS01 Vehicle Safety Monitoring P AVSS02 Driver Safety Monitoring P AVSS03 Longitudinal Safety Warning P AVSS04 Lateral Safety Warning P AVSS05 Intersection Safety Warning P AVSS06 Pre-Crash Restraint Deployment P AVSS07 Driver Visibility Improvement P AVSS08 Advanced Vehicle Longitudinal Control P AVSS09 Advanced Vehicle Lateral Control P AVSS10 Intersection Collision Avoidance L/P

Vehicle Safety

AVSS11 Automated Highway System P

MC01 Maintenance and Construction Vehicle and Equipment Tracking L

MC02 Maintenance and Construction Vehicle Maintenance L MC03 Road Weather Data Collection S/L MC04 Weather Information Processing and Distribution L/I MC05 Roadway Automated Treatment L MC06 Winter Maintenance I MC07 Roadway Maintenance and Construction S/L MC08 Work Zone Management S/L/I MC09 Work Zone Safety Monitoring L

Maintenance and Construction

MC10 Maintenance and Construction Activity Coordination I CVO01 Fleet Administration P CVO02 Freight Administration P CVO03 Electronic Clearance S/P CVO04 CV Administrative Processes S/P CVO05 International Border Electronic Clearance S/P CVO06 Weigh-In-Motion S/P CVO07 Roadside CVO Safety S/P CVO8 On-board CVO and Freight Safety and Security S/P CVO9 CVO Fleet Maintenance P CVO10 HAZMAT Management S CVO11 Roadside HAZMAT Security Detection and Mitigation S CVO12 CV Driver Security Authentication P

Commercial Vehicle Operations

CVO13 Freight Assignment Tracking P EM01 Emergency Call-Taking and Dispatch S/L/I EM02 Emergency Routing S/L EM03 Mayday Support I/P EM04 Roadway Service Patrols L EM05 Transportation Infrastructure Protection S/L/I EM06 Wider-Area Alert S/I EM07 Early Warning System S/I EM08 Disaster Response and Recover S/I EM09 Evacuation and Reentry Management S/I

Emergency Management

EM10 Disaster Traveler Information S/I


The project team performed several iterations to the list and associated designations, through the course of the project, based on dynamic input by various stakeholders, to arrive at the final list of user services and market packages above. The interim project deliverable from Task 5 (“Common Priority ITS Services”), which analyzed and developed the initial list, can be found in Appendix B-4. Work progress and interim deliverables that were produced following the completion of this report were based on a dynamic version of the list as kept current on the project web site throughout the process.


4. OPERATIONAL CONCEPT The operational concept for the California ITS Architecture and System Plan outlines the roles and responsibilities of participating stakeholders, that is, those stakeholders that are currently or will be involved in the provision of state-level and interregional services. Identification of roles and responsibilities is required by the Final Rule (23 CFR Parts 655 and 940 Intelligent Transportation System Architecture and Standards). By clearly defining the roles and responsibilities of stakeholders in the various service areas of ITS in California, the operational concept establishes the framework for consensus and interagency agreements that may be necessary for deployment or operation and maintenance of ITS projects, and ensures that the appropriate stakeholders are involved in the planning process early on. The operational concept also assists in identifying operational gaps in services from a statewide perspective or areas for improvement.

A concept of operations, though similar in nature to an operational concept, defines in more detail the specifics of how a particular project or system operates in different scenarios. A concept of operations is part of a project-oriented systems engineering approach. Evolving from a project development environment, a concept of operations describes in detail not only the roles and responsibilities, but the information flows among stakeholders, scenarios for how a system operates, and required interactions and data sharing for a project. It enables later validation of the concept of what the system was meant to do (in addition to system testing to ensure that the system meets the specific requirements that were laid out). Concepts of operations for future projects of this ITS Architecture can be developed from the corresponding portion of this operational concept.

The interim project deliverable that defines the full process and summarizes the inputs to the operational concept (such as a summary of existing and planned initiatives2 and a summary of the common needs) can be found in Appendix B-5.

A summary of the operational concepts for each of the nine service categories addressed by this project are provided in Appendix A-6 and are linked to the appropriate location below for each of the nine service categories. For each of these service categories, the operational concept is defined in Appendix A-6 by listing the roles and responsibilities of the relevant organizations for each user service.

Traffic Management Traveler Information Goods Movement Electronic Payment (including Electronic Toll Collection and Electronic Fare Payment) Public Transportation State-Level Archived Data Maintenance and Construction Management Vehicle Safety and Control Emergency Management

2 initiatives in this context is intended to encompass projects, systems, future directions, and other such efforts


5. FUNCTIONAL REQUIREMENTS Functional Requirements for the California ITS Architecture and System Plan are high-level description of the functions or activities of each ITS element. They are developed for two reasons:

To provide input to the identification of interfaces and information flows of the architecture (see Section 6); and

To provide a resource for project deployers in defining activities and functional relationships of the systems that may be developed or upgraded to provide state-level or interregional ITS services. (As stated in Section 3, this serves as optional guidance to regional ITS deployment and is not mandatory).

A list of requirements that describe the functions covered by the architecture is a requisite component of the architecture according to the FHWA Final Rule for Architecture and Standards. This list of requirements describes the functionality of the existing and planned elements of the architecture for providing interregional and state-level services. The architecture does not prescribe that future projects meet any or all of the requirements.

For all projects that are funded with Highway Trust Funds the Final Rule states that the project should be based on a system engineering analysis, and specifically states that the analysis shall include requirements definition. The intent of the statewide architecture functional requirements is to provide a set of requirements that can be used to assist project implementers in the development of functional requirements definition as required by the Final Rule. This does not preclude future projects from identifying different or additional functions, but rather, provides requirements for implementation of the statewide architecture.

Future projects may choose to utilize the lists of requirements as a reference or tool to develop specific requirements that address each individual project’s needs. If a project is developed that has additional functions not documented in the current list, future updates of the Statewide Architecture and System Plan can add those requirements. This update to the architecture would assist in identifying the interconnects and information flows that may also be changed, added, or implemented as a result of future technological developments. The interconnects should also be revised in the process of updating the architecture.

The full list of functional requirements defined for the Statewide Architecture is provided in Appendix A-7. The interim project deliverable that documented the full process for developing the final list of functional requirements can be found in Appendix B-6.


6. INTERFACES


One of the key aspects of the California ITS Architecture and System Plan is the definition of interfaces and information flows that define the connections between ITS systems to support the desired operational concepts and services established in earlier tasks. The interfaces are a detailed view of system interconnections. These interconnections are described in diagram, table, and database formats.

6.2 Top-Level California ITS Architecture System Interconnect Diagram

A high-level system interconnect diagram, nicknamed a ‘sausage diagram’, shows the systems and primary types of interconnections in a region. The National ITS Architecture interconnect diagram has been customized for California based on the information gathered from the stakeholders. Figure 2, on the following page, summarizes the existing and planned ITS elements for the state in the context of a physical interconnect. For full definitions and more detailed explanation of the components of this diagram in the National ITS Architecture terminology, see the interim project deliverable in Appendix B-7.


Figure 2 – California System Interconnect DiagramSeptember 30, 2004

* Elements are planned, not existing.

Private Application Service ProvidersNorthern California Traveler Information Sys*Northern California 511 Systems

*Multi-Agency CVO Web-siteCentral California 511 Systems

California Highway Information Web Page

California Highway Information Network(CHIN)

TravInfo

Private ISPs

Caltrans District Web pages

Southern California Traveler Information Sys

Regional Traveler Information Systems

Information Service Provider Subsystem

Private Application Service ProvidersNorthern California Traveler Information Sys*Northern California 511 Systems

*Multi-Agency CVO Web-siteCentral California 511 Systems

California Highway Information Web Page

California Highway Information Network(CHIN)

TravInfo

Private ISPs

Caltrans District Web pages

Southern California Traveler Information Sys

Regional Traveler Information Systems

Information Service Provider Subsystem

Excise Summary Terminal Activity Reporting System (ExSTARS)

*CVO OS/OW Permitting Processing System

Credentials One Stop Shopping

Commercial Drivers License Information System (CDLIS)

*CA CVIEW

Other States Credentials Admin and Safety Systems

MCMISIRP ClearinghouseIFTA Clearinghouse

Hazmat Permitting System

*US BCBP Customs Product Manifest SystemSingle State Registration System (SSRS)Safetynet 2000

Safety and Fitness Electronic Report (SAFER)Safestat Database

Commercial Vehicle Administration

Excise Summary Terminal Activity Reporting System (ExSTARS)

*CVO OS/OW Permitting Processing System

Credentials One Stop Shopping

Commercial Drivers License Information System (CDLIS)

*CA CVIEW

Other States Credentials Admin and Safety Systems

MCMISIRP ClearinghouseIFTA Clearinghouse

Hazmat Permitting System

*US BCBP Customs Product Manifest SystemSingle State Registration System (SSRS)Safetynet 2000

Safety and Fitness Electronic Report (SAFER)Safestat Database

Commercial Vehicle Administration

Caltrans Satellite TMCsCaltrans District 9 Transportation Mgmt Center

Caltrans District 8 Transportation Mgmt Center

Municipal/County Traffic Operations


Caltrans District 3 Regional Transportation Mgmt Center

Caltrans District 2 Transportation Mgmt CenterCaltrans District 12 Transportation Mgmt Cent

Caltrans District 11 Intermodal Transportation Mgmt Center

Caltrans District 10 Transportation Mgmt Cent


Caltrans District 6 Transportation Mgmt CenterCaltrans District 5 Transportation Mgmt CenterCaltrans District 4 Transportation Mgmt Center

Traffic Management Subsystem

Caltrans Satellite TMCsCaltrans District 9 Transportation Mgmt Center


Municipal/County Traffic Operations


Caltrans District 3 Regional Transportation Mgmt Center

Caltrans District 2 Transportation Mgmt CenterCaltrans District 12 Transportation Mgmt Cent

Caltrans District 11 Intermodal Transportation Mgmt Center

Caltrans District 10 Transportation Mgmt Cent


Caltrans District 6 Transportation Mgmt CenterCaltrans District 5 Transportation Mgmt CenterCaltrans District 4 Transportation Mgmt Center

Traffic Management Subsystem

Telematics Service Provider

Correctional Facility Operations

CHP Dispatch Centers

California Office of Emergency Services Operations Centers

BCBP Offices

Special Police Force DispatchOther County Public Safety Dispatch CentersOther County Emergency Operation Centers

Other CHP Dispatch CentersOperation Respond

Municipal Publc Safety DispatchCounty Public Safety Dispatch Centers

County and Local Emergency Operation Centers

Emergency Management Subsystem

Telematics Service Provider

Correctional Facility Operations

CHP Dispatch Centers

California Office of Emergency Services Operations Centers

BCBP Offices

Special Police Force DispatchOther County Public Safety Dispatch CentersOther County Emergency Operation Centers

Other CHP Dispatch CentersOperation Respond

Municipal Publc Safety DispatchCounty Public Safety Dispatch Centers

County and Local Emergency Operation Centers

Emergency Management Subsystem

Los Angeles County MTA Administration

Central California Transit SystemsCaltrain Operations CenterBay Area Transit Administration

BART Fleet Management System

Metrolink Operations CenterMetro link Administration

Los Angeles County Metro - Rail Dispatch Center

Los Angeles County Metro - Bus Operations

Southern California Transit SystemsSan Francisco MUNI Operations

Regional Transit Information System (RTIS)Regional Integration of ITS (RIITS)

Northern California Transit Systems

Transit Management Subsystem

Los Angeles County MTA Administration

Central California Transit SystemsCaltrain Operations CenterBay Area Transit Administration

BART Fleet Management System

Metrolink Operations CenterMetro link Administration

Los Angeles County Metro - Rail Dispatch Center

Los Angeles County Metro - Bus Operations

Southern California Transit SystemsSan Francisco MUNI Operations

Regional Transit Information System (RTIS)Regional Integration of ITS (RIITS)

Northern California Transit Systems

Transit Management Subsystem

Commercial Vehicle Fleet Management

Operation Respond

Fleet and Freight ManagementCommercial Vehicle Fleet Management

Operation Respond

Fleet and Freight Management

Broadcast and Print Media

MediaBroadcast and Print Media

Media

Amtrak Schedule Operations

Multimodal Transp. Service Provider

Amtrak Schedule Operations

Multimodal Transp. Service Provider

Caltrans Statewide Pavement Management System

Asset ManagementCaltrans Statewide Pavement Management System

Asset Management

CHP Weigh-In-Motion/ Inspection stations

Caltrans Weigh-In-Motion Stations

California Commercial Vehicle Inspection System (CCVIS)

*ASPEN

*CVO Automatic Safety Inspection Devices

*Customs Electronic Clearance Systems for International Borders

CVO Pre-Pass Sites

*US BCBP Electronic Clearance System for International Borders

Commercial Vehicle Check Subsystem

CHP Weigh-In-Motion/ Inspection stations

Caltrans Weigh-In-Motion Stations

California Commercial Vehicle Inspection System (CCVIS)

*ASPEN

*CVO Automatic Safety Inspection Devices

*Customs Electronic Clearance Systems for International Borders

CVO Pre-Pass Sites

*US BCBP Electronic Clearance System for International Borders

Commercial Vehicle Check SubsystemCaltrans Field Equipment

Roadway SubsystemCaltrans Field Equipment

Roadway Subsystem

CA DMV Enforcement Vehicles

Emergency Vehicle Subsystem

CA DMV Enforcement Vehicles

Emergency Vehicle Subsystem

Southern California Transit Vehicles

Northern California Transit VehiclesLAMTA VehiclesCentral California Transit Vehicles

Bay Area Transit VehiclesTransit Vehicle Subsystem

Southern California Transit Vehicles

Northern California Transit VehiclesLAMTA VehiclesCentral California Transit Vehicles

Bay Area Transit VehiclesTransit Vehicle Subsystem

Central California Transit System Stations and Transfer Points

Bay Area Transit Stations and Stops

LAMTA Transit Station Equipment

*CVO ATIS Truckstop Kiosks

Southern California Transit System Station and Transfer Points

Northern California Transit System Stations and Transfer Points

Remote Traveler Support Subsystem

Central California Transit System Stations and Transfer Points

Bay Area Transit Stations and Stops

LAMTA Transit Station Equipment

*CVO ATIS Truckstop Kiosks

Southern California Transit System Station and Transfer Points

Northern California Transit System Stations and Transfer Points

Remote Traveler Support Subsystem

User Personal Computing Devices

Personal Information Access SubsystemUser Personal Computing Devices

Personal Information Access Subsystem

Archive Data User Systems

PeMS UsersTransit Data Users

Archived Data User SystemsArchive Data User Systems

PeMS UsersTransit Data Users

Archived Data User Systems

LEGEND

National ITS Architecture

Entity

National ITSArchitecture

Entity

No Regional Architecture Elements Map To National ITS Architecture

Regional Architecture Elements Map To National ITS Architecture

LEGEND

National ITS Architecture

Entity

National ITSArchitecture

Entity

No Regional Architecture Elements Map To National ITS Architecture

Regional Architecture Elements Map To National ITS Architecture

*Southern California Fare Card

Translink Smartcard

Traveler Card*Southern California Fare Card

Translink Smartcard

Traveler Card

Statewide Integrated Reporting System (SWITRS)

*Regional Transportation Mgmt Info Sys(RTMIS)

Caltrans HQ Traffic Operations DatabasesCaltrans District Pavement Management Sys

California Transit Data ArchiveCalifornia HPMS

Caltrans Performance Monitoring Sys (PeMS)

Caltrans Statewide Pavement Mgmt System

Traffic Accident and Surveillance Analysis System(TASAS)

Archived Data Management Subsystem

Statewide Integrated Reporting System (SWITRS)

*Regional Transportation Mgmt Info Sys(RTMIS)

Caltrans HQ Traffic Operations DatabasesCaltrans District Pavement Management Sys

California Transit Data ArchiveCalifornia HPMS

Caltrans Performance Monitoring Sys (PeMS)

Caltrans Statewide Pavement Mgmt System

Traffic Accident and Surveillance Analysis System(TASAS)

Archived Data Management Subsystem

Commercial Vehicles

Commercial Vehicle SubsystemCommercial Vehicles

Commercial Vehicle Subsystem

Railroad Operations Centers

Rail OperationsRailroad Operations Centers

Rail Operations

National Weather Service

Weather ServiceNational Weather Service

Weather Service

CHP Commercial Vehicle Section

Enforcement AgencyCHP Commercial Vehicle Section

Enforcement Agency

Hazmat Freight Containers

Freight Equipment

Hazmat Freight Containers

Freight Equipment

Caltrans Maintenance Administration

Maintenance and Construction Administrative SystemsCaltrans Maintenance Administration

Maintenance and Construction Administrative Systems

'Intermodal Port Facility Systems

Intermodal Freight Depot'Intermodal Port Facility Systems

Intermodal Freight Depot

Municipal Maintenance Dispatch

County Maintenance DispatchCaltrans HQ Construction Program

Caltrans District Maintenance Dispatch

Other Caltrans District MaintenanceOther States Maintenance Dispatch Centers

Maintenance and Constuction Management Subsystem

Municipal Maintenance Dispatch

County Maintenance DispatchCaltrans HQ Construction Program

Caltrans District Maintenance Dispatch

Other Caltrans District MaintenanceOther States Maintenance Dispatch Centers

Maintenance and Constuction Management Subsystem

*Caltrans Security Monitoring Equipment

Security Monitoring Subsystem*Caltrans Security Monitoring Equipment

Security Monitoring Subsystem

Northern California Electronic Toll Systems

Southern California Electronic Toll Systems

Toll Administration SubsystemNorthern California Electronic Toll Systems

Southern California Electronic Toll Systems

Toll Administration Subsystem

Northern California Electronic Toll Collection Plazas

Southern California Electronic Toll Collection Plazas

Toll Collection SubsystemNorthern California Electronic Toll Collection Plazas

Southern California Electronic Toll Collection Plazas

Toll Collection Subsystem

ODOT Medford TOC

Nevada DOT TMCs*Baja Transportation Management Center

Arizona DOT TMCs

Toll Road Transportation Management Centers

Other Traffic Management

ODOT Medford TOC

Nevada DOT TMCs*Baja Transportation Management Center

Arizona DOT TMCs

Toll Road Transportation Management Centers

Other Traffic Management

Trav

eler

s

Vehicles Field

Cen

ters Commercial

VehicleAdministration

Archived DataManagement

Personal Information

Access

TollAdministration

EmergencyManagement

Fleet and FreightManagement

TransitManagement

CommercialVehicleCheck

EmergencyVehicle

Remote TravelerSupport

Roadway

Dedi

cate

d Sh

ort R

ange

Co

mm

unic

atio

ns

Wide Area Wireless (Mobile) Communications

EmissionsManagement

CommercialVehicle

ParkingManagement

TransitVehicle

Term

inat

ors

Maintenance &Construction

Vehicle

Vehicle

Vehi

cle

to V

ehic

le C

omm

unic

atio

ns

Traffic Management

InformationService

Provider

Maintenance &ConstructionManagement

Security Monitoring

TollCollection

Fixed-Point to Fixed-Point Communications

Trav

eler

s

Vehicles Field

Cen

ters Commercial

VehicleAdministration

Archived DataManagement

Personal Information

Access

TollAdministration

EmergencyManagement

Fleet and FreightManagement

TransitManagement

CommercialVehicleCheck

EmergencyVehicle

Remote TravelerSupport

Roadway

Dedi

cate

d Sh

ort R

ange

Co

mm

unic

atio

ns

Wide Area Wireless (Mobile) Communications

EmissionsManagement

CommercialVehicle

ParkingManagement

TransitVehicle

Term

inat

ors

Maintenance &Construction

Vehicle

Vehicle

Vehi

cle

to V

ehic

le C

omm

unic

atio

ns

Traffic Management

InformationService

Provider

Maintenance &ConstructionManagement

Security Monitoring

TollCollection

Fixed-Point to Fixed-Point Communications

California National Parks and National Forests

State Parks and Recreational Area Information

Yellow Pages Service ProvidersCalifornia National Parks and National Forests

State Parks and Recreational Area Information

Yellow Pages Service Providers

In Vehicle EquipmentIn Vehicle Electronic Toll TagsVehicle Subsystem

In Vehicle EquipmentIn Vehicle Electronic Toll TagsVehicle Subsystem

California Statewide ITS Architecture

“Sausage Diagram”

Caltrans Maintenance Vehicles

Maintenance and Construction Vehicle SubsystemCaltrans Maintenance Vehicles

Maintenance and Construction Vehicle Subsystem


6.3 Information Flows

While it is important to identify the various systems and stakeholders as part of the statewide ITS architecture, a primary purpose of the architecture is to identify the connectivity between transportation systems. The interconnect diagram in the previous section showed the high level relationships of the elements in the California ITS Architecture. The customized market packages represent services that can be deployed, and the market package diagrams show the information flows between the subsystems and terminators (terminators are end points of the architecture, for example an adjoining state’s freeway management system would represent one end point of the California ITS Architecture) that are most important to the operation of the market packages. How these systems interface with each other is an integral part of the overall architecture.

The symbols used in these diagrams are defined below:

Symbols Used in Market Package Diagrams

The colored rectangular box represents one of the 22 subsystems of the National ITS Architecture. The white box inside represents a function (or equipment package) within that subsystem.

The colored box with the rounded edges represents one of the 73 Terminators of the National ITS Architecture. Terminators define the boundary of an architecture. The National ITS Architecture terminators represent the people, systems, and general environment that interface to ITS.

The named lines represent architecture flows from the National ITS Architecture. An architecture flow defines information that is exchanged between two entities.

The large, open X is used to indicate that the entity (e.g. subsystem or terminator from the National ITS Architecture) and/ or its interfaces will not be considered in the service as it applies to the California Statewide ITS Architecture. If the X is over the entity, then all the interfaces to that entity are not considered, if the X is over an interface it means just that particular interface is not considered. In general the text that describes each service will explain why a particular entity or interface is not included.

The information flow with a red circle on it indicates that the information flow is on an interface that is a candidate for state-level standardization. This candidate interface for state-level standardization applies to Caltrans interfaces (generally field device to center interfaces) except as explicitly noted in the text describing the service.

Figure 3 shows an example of this markup for the market package (service) Transit Multimodal Coordination. This figure shows subsystems (e.g. Transit Management), terminators (e.g. Other

RoadwayRoadway Data

Collection

Archived Data User Systems

traffic flow


Transit Management), Equipment Packages (e.g. Transit Center Multimodal Coordination), and architecture flows (e.g. transit service coordination).

Figure 3 – Customized Transit Multimodal Coordination market package

The subsystems and terminators not providing the interregional or statewide aspects of the service are overlaid with the large Xs. In the example, the functions and interfaces associated with transit signal priority (the functions in Traffic Management, Roadway, and Transit Vehicle) are not interregional (they are local in nature). The only functions that are interregional are those in Transit Management associated with coordination with Other Transit Management or Multimodal Transportation Service Providers.

Another category of service, labeled “state-level standards”, was also defined as belonging in the California Statewide ITS Architecture (and hence are shown in the marked up set of market package diagrams). These services contain interfaces (primarily center-to-field equipment interfaces or center-to-vehicle interfaces) that are candidates for standardization throughout the state, because they correspond to interfaces being implemented by a statewide organization (e.g. Caltrans or California Highway Patrol). On the market package diagrams the subject interfaces have small red circles attached to each information flow. These services are usually local in nature, but when implemented throughout the state by a single agency (in most cases Caltrans), could be implemented in a standardized way. Hence a service like Network Surveillance, which defines the interface between a Traffic Management Subsystem and Field devices would be included as a service that is a candidate for state-level standards. It is important to note, however, that this is a statewide architecture for California and not a Caltrans specific project. Caltrans is a major stakeholder and has unique issues regarding standardization of its system interfaces throughout the state.

traffic control priority status +request transit information

Transit Vehicle

MultimodalTransportation

Service provider

Roadway

TrafficManagement

TransitManagement

traffic controlpriority request + transit system data

signal control data

request forright-of-way

local signalpriority request

transit vehicleschedule performance

transit multimodalinformation

multimodal servicedata

transit service coordination

Other TransitManagement

ParkingManagement

parking lot data request

parking information

TMC MultimodalCoordination

Roadway SignalPriority

On-board TransitSignal Priority

Transit Center Multimodal Coordination

signal control statusTMC Signal

ControlCandidate for State-level standardization

Entity/Interface not included

Legend

Candidate for State-level standardization

Entity/Interface not included

Legend


There are 133 different elements identified as part of the California ITS Architecture. Interfaces have been defined for each element in the architecture. For example, the Caltrans District 1 Transportation Management Center has planned interfaces with 21 other elements in the architecture ranging from field equipment to intermodal port systems. Some of the interfaces are far less complex.

Elements and their interfaces are described in Appendix B-7. Architecture flows between the elements define specific information that is exchanged by the elements. Each architecture flow has a direction, name, and definition. Most of the architecture flows match similar ones from the National ITS Architecture (the mapping of elements to National ITS Architecture entities allowed the developers to match the architecture flows to the appropriate interfaces.) In some cases new user defined flows have been created for interfaces or connectivities that are not expressed in the National ITS Architecture. These architecture flows define the interface requirements between the various elements in the statewide architecture.

An example of the information flows between two elements is shown in Figure 4. In this interface the flows that go between the Caltrans District 4 Transportation Management Center and the CHP Dispatch Centers are shown.

California Highway Patrol (CHP)CHP Dispatch Centers

Caltrans, District 4Caltrans District 4 Transportation

Management Center

alert notificationincident response status

resource requestresource deployment status

road network conditionstraffic images

incident informationincident report

threat information coordination

ExistingPlanned

Figure 4 – Interface Example


7. IMPLEMENTATION Stakeholders of the California ITS Architecture and System Plan project, including Caltrans representatives, have shared a focus on the importance of implementing the architecture, and have developed some solutions to transportation challenges that are not yet being addressed by the existing systems in California (on a statewide level and potentially on an interregional level). In addition to new projects and systems that are recommended to bridge gaps or expand services in California, other supporting information is addressed such as agreements and applicable ITS standards. Together, these components will enable the completion of a statewide ITS framework that will contribute to improving safety, mobility, and other priority outcomes desired by travelers, public agencies, and private transportation stakeholders as a result of the California ITS Architecture and System Plan.

7.1 Project Sequencing

The California Statewide ITS Architecture and System Plan will be implemented through a series of projects led by both public sector and private sector agencies. Key foundation systems will need to be implemented in order to support other systems and projects. Project sequencing identifies those foundation systems, projects, or infrastructure that are required to be in place for other projects to move forward. Further discussions among stakeholders regarding these particular projects will need to be held for consensus on project priorities across regions to be achieved. In some cases, studies may be required prior to full project development and implementation and operational agreements may be necessary for interregional projects to effectively work together.

The California Statewide ITS Architecture and System Plan is a plan, or blueprint, to document how systems and projects fit together to improve the integration, coordination, and effectiveness of ITS in California. The architecture is not intended to prescribe that all systems and projects have to be built or are required to be integrated, but rather is meant to be a framework to guide integration and coordination as desired by the local, regional, and state-level agencies responsible for deployment, operations, and maintenance of these technologies.

The deployment of the systems required to implement the architecture will occur over time and may change over time as well. Future updates to the architecture will ensure that the projects outlined are kept up-to-date in terms of the foundation projects and systems being put into place; future changes to stakeholder agency involvement, needs, and priorities; and progress in the ITS standards development. See Section 8 or Appendix A-9 for more information regarding the Architecture Maintenance Plan.

A distinction was made during the development of the Statewide ITS Architecture and System Plan between ITS solutions that are based on responsibilities for there deployment and operations. Each category of service and project-type used in this project (namely user services and market packages) has been labeled as either a state-level, a potential interregional, a purely local, or a purely private service. This architecture focuses on the state-level and potential interregional services. The specific designations are defined as follows:

State-level (S) – services that are, or will be, delivered on a state-level basis, including services that are delivered regionally by Caltrans and are recommended to be delivered in a standardized manner across the state – these “standardization” recommendations apply only to Caltrans (for example, standardizing the way in which public and private entities access data at each district for traveler information or traffic management uses) with one exception:


electronic toll collection is already standardized at a state-level based on Title 21, which is an open standard for Automatic Vehicle Identification (AVI) developed by Caltrans with electronic toll collection as the initial application (State law mandates that electronic toll collection equipment and data formats must comply with Title 21 to ensure interoperability);

Interregional (I) – services that are delivered on a regional basis which have interregional operational potential, including standards for technology deployment, data sharing are interface requirements [note a key decision of the advisory committee and resulting premise of the California ITS Architecture and System Plan is that all interregional services are designed to serve as basis for ITS planning among regions and are explicitly not intended as mandatory requirements];

Local (L) – services that are delivered on a local or regional basis that have no interregional implications (these services are addressed by regional ITS architectures and are not further described in this CA Statewide ITS Architecture and System Plan except required interfaces with these services primarily for provision of data); or

Private (P) – services that are delivered primarily by the private sector but that have interactions with statewide or interregional public sector services (primarily for provision of data) [interfaces between and among private sector only are not addressed in detail in the statewide architecture].

The full list of the resulting proposed projects is provided in Table 5. For full documentation of the process used to define the recommended projects and the full project sequencing report, see the interim project sequencing deliverable in Appendix B-8.


Table 5 – Proposed Projects to Implement the California ITS Architecture and System Plan

Proposed Projects Market Packages Market

Package Scope

Designation

Project Sequencing

Desired Outcome (mapped to milestones)

TRAFFIC MANAGEMENT TM01 – Inter-regional traffic management coordination strategies and procedures. Caltrans traffic management, while programmed at a regional (district) level, would be more coordinated with local/ regional agencies within the districts and across the state (for example, for state arterial routes and freeway facilities interfacing with regional and local facilities). This project is to develop and implement traffic management strategies and procedures for Caltrans districts, involving local and regional traffic management agencies in the strategy development (for example, developing guidelines for operating procedures for incidents).

ATMS04 – Freeway Control ATMS06 – Traffic Information dissemination ATMS07 – Regional Traffic Control

S/L

S/L/I

S/L/I

Prior to implementation of coordination strategies, a list of strategies and procedures will need to be developed in conjunction with local, regional and other stakeholders who will be impacted by the inter-agency coordination. Multiple district representatives should be involved as equal stakeholders. Upon consensus among stakeholders, the strategies and procedures would be reviewed and approved/ adopted by Caltrans headquarters.

Coordinated traffic management operational strategies (including traffic management, incident management, Amber Alert, others) among state, regional, and local agencies resulting in improved interregional mobility

TM02 – Statewide Standardization of Caltrans Data Communication Protocols. Develop common data communication protocols among different traffic management systems in the different districts throughout the state, with a view of automatically sharing important data among neighboring districts and facilitating implementation of suitable traffic management strategies.

ATMS04 – Freeway Control ATMS08 – Traffic Incident Management System

S/L

S/L/I

Another project is proposed (TM03), based on Caltrans’ TMS Master Plan recommendations, that seeks to standardize traffic management system software in all applicable Caltrans Districts. If this TMS Standardization project is approved, it should proceed in parallel with the communication protocol standardization in order to improve efficiency and cost-effectiveness of these two projects.

Uniform traffic management software systems in each Caltrans District (where traffic management systems are used/ needed) that are consistent and increase efficiency of system maintenance


Table 5 – Proposed Projects to Implement the California ITS Architecture and System Plan (continued)

Proposed Projects Market Packages


Designation Project Sequencing


TM03 – Statewide Standardization of Caltrans TMS software in each district. Caltrans has expressed an interest in standardizing TMS software in applicable districts for improved coordination, maintenance, and statewide cost-savings (efficiencies).

ATMS04 – Freeway Control ATMS08 – Traffic Incident Management System

S/L

S/L/I

Another project is proposed (TM02) that seeks to standardize data communication protocols in all applicable Caltrans Districts. If this TMS Standardization project is approved, it should proceed in parallel with the communication protocol standardization in order to improve efficiency and cost-effectiveness of these two projects.

Uniform traffic management software systems in each Caltrans District (where traffic management systems are used/ needed) that are consistent and increase efficiency of system maintenance

TM04 – Study gaps in and implement effective detection infrastructure statewide. Detection infrastructure includes detection of traffic, incidents, weather conditions, and potentially hazardous travel conditions. The study would address physical gaps in coverage (lack of data), inoperable detection or poor data, and options for detection technologies/ strategies that would best suit different gaps. Detection could be accomplished through public agency roadside (or in-pavement) infrastructure, vehicle probes, or other means. The objective of this project is to fill gaps in physical infrastructure needed to support improved traffic management, traveler information, public transit, goods movement, and safety and security of travelers and infrastructure. Gaps in data collection in California relate to inoperable current infrastructure, poor or inaccessible data from existing infrastructure or lack of infrastructure.

ATMS01 – Network Surveillance ATMS02 – Probe Surveillance

S/L L

This project provides a foundation for most other ITS projects, including traffic management, traveler information, public transit, goods movement, and safety and security of travelers and infrastructure. As such, this project should be funded and pursued in the short-term to enable other projects to succeed.

A comprehensive, real-time data collection infrastructure for multiple agencies, multiple levels, and multiple purposes

TM05 – Analyze Port access improvements on a statewide basis, following through on the improvements outlined in the GGDP. While generally a local/ regional issue, accessibility to Ports, given projections for truck traffic growth and security issues, is a major issue to be supported and analyzed by Caltrans on a statewide basis.

ATMS01 – Network Surveillance ATMS04 – Freeway Control

S/L

S/L

The analysis would precede implementation. Project sequencing should be determined for projects or improvements resulting from the analysis.

Improved mobility and security on state routes serving Ports and Border Crossings




Package Scope

Designation

Project Sequencing

Desired Outcome

(mapped to milestones)

TM06 – Statewide Infrastructure security. In partnership with law enforcement agencies, identify gaps in surveillance coverage and ensure data exchange especially at strategic locations such as major bridge support structures.

ATMS01 – Network Surveillance ATMS02 – Probe Surveillance EM05 – Transportation Infrastructure Protection

S/L L

S/L/I

Other projects are proposed to study and fill gaps in data collection infrastructure (TM04) and to standardize data exchange protocols for Caltrans statewide (TM02). Both of these projects would provide a foundation for the efficient delivery of this project. With security as a high priority for California, however, if the timing for the aforementioned projects inhibits the fast completion of this project, it should be noted that this project is not dependent on the others and can move forward independently.

Coordinated, statewide transportation infrastructure security measures that support the State of California Office of Homeland Security’s comprehensive state strategy.

TRAVELER INFORMATION TI01 – Statewide Traveler Information System. Portal for multi-modal traveler information, including Caltrans districts (as identified in the Caltrans Traveler Information Implementation Plan), other state departments (such as CHP), and links to regional/ local ATIS as desired by regional and local agencies. Stakeholders have expressed interest in a statewide ATIS serving as a gateway or portal which consists of links to various traveler information, such as the Bay Area 511 deployment, rural, and interstate links. Project could be provided by private or public sector. This project should address both internet and telephone (511) systems. Per the Caltrans Traveler Information Implementation Plan, the project would involve organization of the current multiple Caltrans District ATIS (phone & internet).

ATIS1 – Broadcast Traveler Information ATIS2 – Interactive Traveler Information APTS7 – Multi-Modal Coordination APTS8 – Transit Traveler Information MC04 – Weather Info. Processing & Dist. CVO04 – CV Administrative Processes

S/I

S/I I I

L/I

S/P

As many ATIS are currently operational in California, this project can proceed without any preface. Additionally, the Caltrans Traveler Information Implementation Plan documents the beginning of a project definition and priorities for the project (for the state-level portion).

Traveler information systems on a region-by-region basis, as desired by each region, with provision for links between regional systems




Package Scope

Designation

Project Sequencing


TI02 – Establish Virtual Private Network (VPN) for Caltrans Data. This project facilitates and supports the widespread dissemination of data to private sector in standard formats (From Caltrans Traveler Information Implementation Plan). Other agencies, including local/ regional agencies, would have the option of joining as desired by the local/ regional agencies.

ATIS1 – Broadcast Traveler Information ATMS06 – Traffic Information Dissemination

S/I

S/L/I

As many ATIS are currently operational in California, this project can proceed without any preface. Additionally, the Caltrans Traveler Information Implementation Plan documents the beginning of a project definition and priorities for the project.

Public and private opportunities for dissemination for traveler information

TI03 – Evaluate and Pursue Caltrans Traveler Information Partnerships (from Caltrans Traveler Information Implementation Plan). This project would evaluate existing partnerships, determine actual benefits, and prepare for and pursue, based on the analysis, valuable and various partnerships (such as partnerships among public sector agencies with adjacent jurisdictions, among public sector agencies with overlapping jurisdictions, or among public and private sector entities) for traveler information. The project would consider Caltrans as a whole, multiple districts, or individual districts as appropriate.

ATIS1 – Broadcast Traveler Information ATMS06 – Traffic Information Dissemination

S/I

S/L/I

Prior to pursuing partnerships, this project would include or be preceded by the development of a formal Department directive on partnerships.

Public and private opportunities for dissemination for traveler information

TI04 – Dissemination of Real-time CVO-tailored Information. Numerous stakeholders and resources have noted a need for specially packaged traveler information for commercial-vehicle operators, such as real-time incident and road closure information packaged with designated truck routes through local jurisdictions. In partnership with private entities, this project would pursue CVISN areas beyond CVISN Level 2, including integration with other ITS services such as traffic management, traveler information, and incident response, especially near ports of entry and California-Mexico border. This may be a private-sector or public-agency provided service or a partnership.

CVO01 – Fleet Administration CVO02 – Freight Administration ATIS1 – Broadcast Traveler Information ATIS2 – Interactive Traveler Information ATMS06 – Traffic Information Dissemination

P

P

S/I

S/I

S/L/I

Several private entities are endeavoring to provide this service. The precursor to this project working effectively (whether provided by the private sector or otherwise), is a solid foundation of data collection and access (this refers to quality and quantity of data as well as standard accessibility) as provided by project TM04.

CVO-tailored real-time traveler information for truckers statewide




Package Scope

Designation

Project Sequencing


ELECTRONIC PAYMENT EP1 – Evaluate and establish interregional/ statewide direction for Electronic Payment coordination. This project would be to establish a committee of appropriate stakeholders from around the state to evaluate and come to consensus on the interregional or statewide application for electronic payment. Following consensus on the direction, appropriate formal agreements, standards, software applications, requirements, or laws (such as Title 21 standard mandated by state law) governing future electronic payment projects and systems. The committee may also address such issues as universal payment media and potential additional services, if any, to be coordinated with electronic fare payment for transit (e.g., electronic toll collection, commercial vehicle clearance and credentialing, parking, etc.)

APTS4 – Transit Passenger and Fare Management ATMS10 – Electronic Toll Collection CVO03 – Electronic Clearance CVO04 – CVO Administrative Processes

S/I

S/L/I

S/P

S/P

No other projects are needed for this project to proceed. As several electronic payment projects are currently in place or in design in the State that will not necessarily operate with one another, it may be desirable to pursue this project in the short term to reduce the impacts of the outcomes to California agencies in the future. Note that coordination with private services would likely be governed by national trends, data exchange and security standards, and potentially payment media options.

Single e-payment accounts for users for both electronic toll collection and transit fare payment at regional and inter-regional levels with account reconciliation that is seamless to users Universal e-payment devices for users for [each of] electronic toll collection and fare payment, which make(s) the system(s) transparent to the users

PUBLIC TRANSPORTATION PT01 – Interregional Transit Service Connection Protection. This project would address coordination of delays/ schedules on major inter-regional transit services to avoid stranding passengers making common connections between regions (this concept is also known as “connection protection”).

APTS7 – Multi-Modal Coordination

I Would require a study to analyze ridership/ transfers (establishing need and scope) and technology options for links (integration) prior to implementation.

Inter-regional coordination of delays on major transit services to avoid stranding passengers making common connections between regions




Package Scope

Designation

Project Sequencing


COMMERCIAL VEHICLE OPERATIONS

CV01 – Expansion of the STARS (State Truck Activities Reporting System) project to provide this automated application capability to all OS/OW permit applicants. The STARS project has thus far been implemented for high-volume permit users only. Coupled with an on-line routing system, this has the capability to become an effective streamlining of the current process, once available to a wider user base. Project benefits include convenience and time savings for private industry applicants.

Could potentially address some CVO market packages: CVO01 – Fleet Administration CVO02 – Freight Administration CVO03 – Electronic Clearance CVO04 – CV Administrative Processes CVO06 – Weigh-In-Motion CVO07 – Roadside CVO Safety

P

P

S/P

S/P

S/P

S/P

No other projects are needed for this project to proceed. The Caltrans Single-Trip Application and Routing System (STARS) is an automated method for customers to obtain single trip oversize/overweight transportation permits.

One-stop state, interstate, and federal credentialing for all commercial vehicles traveling in California with opportunities for local agencies to be involved on a voluntary basis, and integrated public agency goods and carrier data collection/tracking software for real-time data exchange and coordination of agency efforts



Proposed Projects Market Packages


Designation Project Sequencing


VEHICLE SAFETY AND CONTROL VS01 – Caltrans Coordination with National Initiatives. Caltrans leadership at the state level (including resources and recommendations) to ensure that vehicle safety and control initiatives and research throughout the state are capable of interfacing with federal VII (Vehicle Infrastructure Integration) or other vehicle-infrastructure related initiatives and programs. Current USDOT VSC initiatives (such as VII) are still in the early stages. State and Interregional initiatives will follow the federal lead, and any gaps will be addressed once the federal program becomes more clearly defined. Potentially future updates of the California Statewide ITS Architecture would include proposed projects and associated sequencing, agreements, and standards for VSC-related projects.

Could potentially address some or all of the AVS market packages: AVSS01 – Vehicle Safety Monitoring AVSS02 – Driver Safety Monitoring AVSS03 – Longitudinal Safety Warning AVSS04 – Lateral Safety Warning AVSS05 – Intersection Safety Warning AVSS06 – Pre-Crash Restraint Deployment AVSS07 – Driver Visibility Improvement AVSS08 – Advanced Vehicle Longitudinal Control AVSS09 – Advanced Vehicle Lateral Control AVSS10 – Intersection Collision Avoidance AVSS11 – Automated Highway System

P P P P P P

P P

P

L/P

P

No other projects are required for this to proceed.

Caltrans leadership at the state level (including resources and recommendations) to ensure that vehicle safety and control initiatives throughout the state are capable of interfacing with federal VII (Vehicle Infrastructure Integration) or other vehicle-infrastructure related initiatives and programs.

ARCHIVED DATA AD01 – State-level Archived Data Service. A statewide archived data service for state-level data (Caltrans, CHP, others) to be accessible to users through a single portal. Local and regional data archiving will remain a “local” service. The state-level service may be used by regions as a resource for provision of an archived data service as desired by each region.

AD1 – ITS Data Mart AD2 – ITS Data Warehouse AD3 – ITS Virtual Data Warehouse

S S S/I

Several projects and systems are currently in place that are storing this data. This project does not have any precursors, but should evaluate whether one of the existing systems should be expanded to serve this purpose.

A statewide archived data service for state-level data that is available for use by regions as a resource as desired by each region




Package Scope

Designation

Project Sequencing


EMERGENCY MANAGEMENT EM01 – Coordinated HAZMAT Routes and Procedures. Develop and implement coordinated HAZMAT transportation routes and procedures statewide and with adjoining states, with voluntary involvement by local and regional agencies.

CVO10 – HAZMAT Management CVO11 – Roadside HAZMAT Security Detection and Mitigation EM01 – Emergency Call-Taking and Dispatch EM02 – Emergency Routing

S S

S/L/I

S/L

No projects are required for this to proceed.

Coordinated HAZMAT transportation routes and procedures statewide and with adjoining states, with voluntary involvement by local and regional agencies

EM02 – Inter-regional disaster evacuation plan. Develop and implement coordinated statewide and interregional response procedures for disasters and evacuations that are developed in coordination with adjoining states' and national procedures and guidelines, with voluntary involvement by local and regional agencies.

EM01 – Emergency Call-Taking and Dispatch EM02 – Emergency Routing EM03 – Mayday Support EM04 – Roadway Service Patrols EM05 – Transportation Infrastructure Protection EM06 – Wider-Area Alert EM07 – Early Warning System EM08 – Disaster Response and Recover EM09 – Evacuation and Reentry Management EM10 – Disaster Traveler Information

S/L/I

S/L I/P L

S/L/I

S/I S/I S/I

S/I

S/I

No projects are required for this to proceed.

Coordinated statewide response procedures for disasters and evacuations that are developed in coordination with adjoining states' and national procedures and guidelines, with voluntary involvement by local and regional agencies




Package Scope

Designation

Project Sequencing


MAINTENANCE AND CONSTRUCTION MANAGEMENT

MC01 – Coordinate existing Caltrans Real-Time Work Zone Travel Delay Monitoring Systems with District TMS.

MC08 – Work Zone Management MC09 – Work Zone Safety Monitoring MC10 – Maintenance and Construction Activity Coordination

S/L/I L I

Project should include or be preceded by a study to how the coordination would occur (e.g., could be a software integration, data fusion, or manual coordination).

A real-time work zone monitoring system for use in Caltrans work zones that is coordinated with District traffic management systems

MC02 – As-needed Caltrans Roadway Condition Monitoring and Coordination. Project would be implemented as needed for Caltrans at a district level (and coordinated/ standardized statewide) for detection of icy bridges and other pavement conditions, and coordinated with District TMS.

MC03 – Road Weather Data Collection MC04 – Weather Information Processing and Distribution MC05 – Roadway Automated Treatment MC06 – Winter Maintenance MC07 – Roadway Maintenance and Construction

S/L

L/I L

I S/L

Other projects are proposed to standardize Caltrans TMS software statewide (TM03) and to standardize data exchange protocols for Caltrans statewide (TM02). Both of these projects would provide a foundation for the efficient delivery of this project. These projects are not required, however, for this project to proceed.

Roadway condition monitoring that is implemented as needed at a district level for detection of icy bridges and other pavement conditions, that is coordinated with District traffic management and traveler information systems


7.2 Agency Agreements

The Statewide ITS Architecture can be used to derive a set of agreements that may be put into place in order to implement the interconnections described by the architecture. The table in Appendix A-10 identifies agreements that may be needed between stakeholders. It was created by identifying interfaces where the elements are owned, operated, or maintained by different stakeholders. This large list of potential interfaces was then reviewed to distinguish many of the interfaces between different stakeholders of the same agency, and to remove interfaces that do not need agreements (such as the interface between web sites and the private users that access them).

7.3 ITS Standards

Table 6 identifies the ITS standards that are possible for use in California based upon the identified interfaces and information flows. Appendix A-11 explains the various standards groups mentioned below. These groups are consistent with the National ITS Architecture and are in Turbo Architecture.

Table 6 – Applicable ITS Standards in California

SDO Title Document ID NTCIP Center-to-Center Standards Group (See Appendix A-11)

NTCIP Center-to-Field Standards Group (See Appendix A-11)

Global Object Definitions NTCIP 1201

Object Definitions for Dynamic Message Signs NTCIP 1203 Object Definitions for Environmental Sensor Stations and Roadside Weather Information System

NTCIP 1204

Data Dictionary for Closed Circuit Television (CCTV)

NTCIP 1205

Ramp Meter Controller Objects NTCIP 1207

Object Definitions for Video Switches NTCIP 1208

Transportation System Sensor Objects NTCIP 1209 Objects for Signal Systems Master NTCIP 1210

Objects for Signal Control Priority NTCIP 1211

TCIP – Common Public Transportation (CPT) Business Area Standard

NTCIP 1401 (See Note below)

TCIP – Incident Management (IM) Business Area Standard


TCIP – Passenger Information (PI) Business Area Standard


TCIP – Scheduling/Runcutting (SCH) Business Area Standard


TCIP – Onboard (OB) Business Area Standard NTCIP 1406 (See Note below)

TCIP – Control Center (CC) Business Area Standard


AASHTO/ITE/NEMA

TCIP – Fare Collection (FC) Business Area Standard



Table 6 – Applicable ITS Standards in California (continued)

SDO Title Document ID Commercial Vehicle Safety Reports ANSI TS284 Commercial Vehicle Safety and Credentials Information Exchange

ANSI TS285

Commercial Vehicle Credentials ANSI TS286

ANSI

Electronic Filing of Tax Return Data ANSI TS813

Dedicated Short Range Communication at 915 MHz Standards Group

(See Appendix A-11) ASTM

Standard Specification for Archiving ITS Generated Traffic Monitoring Data

ASTM E2259-xx

Incident Management Standards Group (See Appendix A-11) IEEE

Standard for Message Sets for Vehicle/Roadside Communications

IEEE Std 1455-1999

Standard for Functional Level Traffic Management Data Dictionary (TMDD)

ITE TM 1.03 ITE

Message Sets for External TMC Communication (MS/ETMCC)

ITE TM 2.01

Advanced Traveler Information Systems (ATIS) Bandwidth Limited Standards Group

(See Appendix A-11)

Advanced Traveler Information Systems (ATIS) General Use Standards Group

(See Appendix A-11)

SAE

On-board Vehicle Mayday Standards Group (See Appendix A-11) SAE/IEEE Dedicated Short Range Communication at 5.9

GHz Standards Group (See Appendix A-11)

Note: The TCIP Standards previously published by NTCIP are being withdrawn and will be replaced by a new TCIP standard under development by APTA. This new standard is due to be balloted in late 2004.


8. PLAN FOR MAINTAINING THE ARCHITECTURE


The California Statewide ITS Architecture and System Plan is a dynamic set of documents. Following the completion of the Architecture and System Plan, it will need to be updated or maintained on a periodic basis in order to keep the content up-to-date with the current and planned ITS activities (as well as other projects and activities) throughout the state. The Maintenance Plan for keeping the California Statewide ITS Architecture and System Plan up-to-date addresses the following issues:

Roles and Responsibilities for Maintenance; Timetable for Maintenance; Baseline (Components of the Architecture to be updated); and Change Management Process.

Full documentation of the Maintenance Plan, “Maintaining the Architecture (Maintenance Plan)” can be found in Appendix A-9.

8.2 Key Components of the Maintenance Plan

Two key contributing committees will be formed to guide the future upkeep of this architecture and plan. With Caltrans in the lead as the overall responsible agency to fund and manage the ongoing efforts, a Maintenance Working Group will actively collect and resolve suggested changes based on continued input for stakeholders and changes in ITS projects and priorities throughout the state. A Policy Committee will convene to continue the momentum of dialogue started by the advisory committee (for this first version’s development) and achievement of consensus on any changes that have implication on policy, institutional issues, or the core concepts and philosophy that has driven the content of this first version.

The California Statewide ITS Architecture and System Plan addresses ITS on an interregional and state-level. A complexity that California faces in creating and maintaining ITS architectures is the overlap and consistencies with the regional ITS architectures in the state. With nineteen existing “ITS Planning Regions” within the state (including the statewide “region” addressed by this architecture), ITS planning and implementation can become a challenge. For example, timing of regional architecture updates would need to consider or coincide with adjacent and overlapping regions’ architecture updates. In the future, keeping regional ITS architectures in line with adjacent and overlapping architectures may be streamlined through easy-to-use, web-based coordination such as a web site documenting the list of current regional ITS architectures in California, the adjacencies and overlaps, the most recent version of each regional ITS architecture that is currently available, and the next scheduled update.

8.3 Next Steps

Now that the California ITS Architecture and System Plan is complete, it is up to the stakeholders to ensure that the Plan gets implemented. One of the important next steps will be for the Advisory Committee to review the list of recommended services and identify some early winner projects that can be easily implemented and will have immediate benefits. These candidate projects should already have funding in place or the ability to get funding. The Advisory


Committee should assign a champion to each of these early winner projects to facilitate the project’s implementation. For example, a project that is statewide in nature such as a Traveler Information System that connects state-level and regional systems (to provide access to users from a single portal, such as a web site address or 511 phone number) might warrant a person from Caltrans taking the lead on getting the project implemented.

Another important next step will be to begin mainstreaming ITS into planning and programming processes. One of the best ways for agencies to fund ITS projects is to incorporate them in elements of other highway projects. As transportation agencies in California are going through their planning processes and begin programming projects, decision makers should consider the services and projects recommended in the California ITS Architecture and System Plan as they identify transportation solutions.

Many of the interregional and statewide projects in the plan result in systems and interfaces that will require inter-agency agreements, both public and private, to facilitate the exchange of information. These agreements might document the responsibilities for funding the project or its ongoing operation, identify which agency(ies) will perform routine maintenance, or spell-out agreed-to operational procedures that multiple agencies will adhere to. As ITS services and systems are implemented in California, part of the planning and review process for those projects should include a review of potential agreements that would be needed for implementation or operations.

To keep the California Statewide ITS Architecture and System Plan a usable, up-to-date guide that represents the current vision and consensus of affected stakeholders, a Policy Committee will convene. This Policy Committee will consist of representatives from regional agencies throughout the state as well as Caltrans staff. The Committee’s primary charge is to coordinate and approve any future changes to the Statewide ITS Architecture and System Plan as we move forward into the future.

An important aspect of the California Statewide ITS Architecture and System Plan is to continuously and regularly revise it to reflect changes over time. Several issues brought forth by stakeholders that should be considered in the next update of the architecture and plan are listed here. These issues and comments are collected here in order that their resolution and disposition can be properly determined by the Policy Committee to maintain the consensus of the stakeholders.

Application of California Statewide ITS Architecture and System Plan in the area of Homeland Security – Although this version of the architecture does address safety and security-related components of the National ITS Architecture (Version 5.0), including input from some stakeholders, future architecture updates should solicit additional input pertaining to Homeland Security from a wider range of appropriate stakeholders.

Desired Outcomes – “Desired Outcomes” for each of the nine service categories were developed through an iterative process including stakeholder meetings and input, and are summarized in Section 3.3. After consensus was achieved on the list, the following comments for Desired Outcomes were received. As the foundation of the architecture and plan, the overall list of desired outcomes should only be revised with the consensus of the Policy Committee. These comments should be considered in the next formal update of the architecture and plan: − Traffic Management – Real-time statewide traffic data viewing privileges across districts. − Traffic Management – One of the current “Desired Outcomes” is as follows: Uniform

traffic management software systems in each Caltrans District (where traffic management


systems are used/needed) that are consistent and increase efficiency of system maintenance. Caltrans desire is to have a statewide standard that still accommodates all of the regional user needs expressed in the regional plans. One stakeholder pointed out that this would be difficult for arterial management based on current practice. Another comment relates to an assurance that legacy systems and critical existing connections with regional, local, and private systems in each district should be carefully considered. In light of these recent comments, the next update should consider the development of a revised outcome in coordination with other stakeholders on the Maintenance Committee.

Division of Specific Responsibilities between Caltrans and Regions – As details of specific ITS projects are developed, the stakeholders should further discuss the corresponding division of responsibility. For example, as pointed out by one stakeholder, while each region’s full authority is respected in the Statewide Architecture, the Caltrans Districts should not be prevented from being a full participant in regional endeavors. As another example, it should be decided which entity or entities will take over operational responsibilities for ITS architecture components in the long term (for example, if responsibilities will be transitioned from Caltrans to local agencies for freeway components or other Caltrans facilities).

Elements and Interfaces – Future versions of the architecture may outline in more detail the regional and inter-regional network communications. One stakeholder commented that “Communications architectures represent key opportunities for data interfaces to state-level systems and partnered infrastructure development”. Caltrans’ communications networks can typically serve as regional communication system “backbones” since a substantial amount of data is collected from Caltrans systems for regional integration efforts and communicated to local district offices. As such, regional Caltrans networks would facilitate and promote inter-regional systems interfaces in appropriate ITS applications such as 511 automated traveler information systems for regional, inter-regional and state-level benefits.” These communications architectures will be considered inherently as details of the planned and proposed projects are determined; however, these additional details will be documented in future architecture versions as well.

Project Sequencing, Priorities Across Regions – As described in Section 7.1, further discussions among stakeholders regarding the particular projects listed in Section 7.1 will need to be held for consensus on project priorities across regions to be achieved.

Maintenance Plan – Section 8.2, “Maintenance Challenges” – In future iterations of the architecture, this section will be expanded to reflect the complexities of this issue. Alternatively, future versions of the architecture might be packaged in two separate components (state-level and interregional) thus reflecting more clearly Caltrans’ role and responsibilities for architecture maintenance. Currently, stakeholders can refer to Appendix A9 for more details.

Coordination with other states – Update connections with other states (and Mexico) as appropriate by closely analyzing specific system integration opportunities and consistency of IT standards/architecture.

The State-level Architecture – In future updates of the architecture, it could be considered to address one regional stakeholder’s comment to revise the title of the architecture and plan from California Statewide ITS Architecture and System Plan to California State-level ITS Architecture and System Plan. The commenter feels that this change may better reflect the content and spirit of this architecture.


GLOSSARY AASHTO American Association of State Highway Transportation Officials AD Archived Data ANSI American National Standards Institute APTS Advanced Public Transportation Systems ASPEN Software application for CVO (Commercial Vehicle Operations) that a client

uses on a laptop to record and transmit inspections electronically from roadside stations to administrative centers; clients will upload this data on a daily basis to their respective state systems and forward the data to the SAFER (Safety and Fitness Electronic Report) system.

ASTM American Society for Testing and Materials ATIS Advanced Traveler Information Systems ATMS Advanced Transportation Management Systems AVI Automatic Vehicle Identification AVL Automatic Vehicle Location AVSS Automated Vital Statistics System BART Bay Area Rapid Transit BCBP Bureau of Customs and Border Protection CAATS California Alliance for Advanced Transportation Systems CC Control Center CCTV Closed Circuit Television CCVIS California Commercial Vehicle Inspection System (CCVIS) CDLIS Commercial Drivers License Information System CFR Code of federal regulations CHIN California Highway Information Network CHP California Highway Patrol CMA Congestion Management Agency COATS California – Oregon Advanced Transportation Systems CPT Common Public Transportation CVIEW Commercial Vehicle Information Exchange Window CVISN Commercial Vehicle Information Systems and Networks CVO Commercial Vehicle Operations EM Emergency Management EP Electronic Payment ETC Electronic Toll Collection ETMCC External TMC Communication ExSTARS Excise Summary Terminal Activity Reporting System FC Fare Collection FMCSA Federal Motor Carrier and Safety Administration FWHA Federal Highway Administration FTA Federal Transit Administration GGDP Global Gateways Development Program HAZMAT Hazardous Materials HPMS Highway Performance Monitoring System IEEE Institute of Electrical And Electronics Engineers IFTA International Fuel Tax Agreement IM Incident Management IRP International Registration Plan


ITE Institute of Transportation Engineers ITS Intelligent Transportation Systems LAMTA Los Angeles County Metropolitan Transportation Authority (Also

MTA and Metro) MCM Maintenance and Construction Management MCMIS Motor Carrier Management Information System Metro Metropolitan Transportation Authority (Also LAMTA and MTA) MTA Metropolitan Transportation Authority (Also LAMTA and Metro) NEMA National Emergency NTCIP National Transportation Communications for ITS Protocol OB Onboard OS/OW Oversize/Overweight PeMS Performance Monitoring System PI Passenger Information PT Public Transportation RIITS Regional Integration of ITS RTIS Regional Transit Information System RTPA Regional Transportation Planning Agency

The Metropolitan Planning Organization for Shasta County. SAE Society of Automotive Engineers SAFER Safety and Fitness Electronic Report SCH Scheduling/Runcutting SSRS Single State Registration System STARS Single-Trip Application and Routing System SWITRS Statewide Integrated Reporting System TCIP Transit Communications Interface Profiles TI Traveler Information TM Traffic Management TMS Transportation Management Systems TMDD Traffic Management Data Dictionary TOC Traffic Operations Center USDOT United States Department of Transportation VCTC Ventura County Transportation Commission VII Vehicle Infrastructure Integration VPN Virtual Private Network VSC Vehicle Safety and Control


APPENDIX A – TECHNICAL APPENDIX

A-1 Bibliography

A-2 Architecture Elements (Inventory)

A-3 User Services

A-4 Market Packages

A-5 Advisory Committee Stakeholder Agencies

A-6 Operational Concepts by Service Category

A-7 Functional Requirements

A-8 Elements and Interfaces

A-9 Maintenance Plan

A-10 Agency Agreements

A-11 ITS Standards


APPENDIX B – INTERIM DELIVERABLES

B-1 Inventory

B-2 Common Needs

B-3 Vision

B-4 Common Priority ITS Services

B-5 Operational Concept

B-6 Functional Requirements

B-7 Interfaces

B-8 Project Sequencing

Documents

California ITS Architecture and System Plan