Regional Project Planning

One requirement of the Local Assistance Program Guidelines (LAPG) is that the local agency must follow the process to determine the level of risk for the ITS project. There are three types of project risk (Exempt, Low-Risk and High Risk) which determine the process for project funding and development. Local agencies first submit a Field Review Form that includes the ITS Systems Engineering Review Form (SERF) to the Caltrans District Local Assistance Engineer (DLAE) as part of their E-76 Package. By answering the seven questions of the SERF, the local agency can determine if the ITS project is Low Risk (formerly “Minor”) or High Risk (formerly “Major”). The SERF is meant to be high-level project information and can be completed by public agency staff. The list below shows where in this regional ITS architecture documentation information can be fund to assist in writing a SERF

Applicants for Mass Transit Account funds need to provide the following information in the required FTA Transportation Electronic Award and Management (TEAM) system:

1. The applicant needs to check the Self-Certification in the TEAM system, certifying compliance with the FTA National ITS Architecture Consistency Policy for Transit Projects.

2. In the project description field, the applicant needs to make a statement that an applicable regional ITS architecture exists and that the ITS components in the project are part of the ITS architecture. The statement should also include that a Systems Engineering process was used to develop the ITS components of the project.

3. The applicant should use the Non-Add Scope Codes in the project budget field to identify the ITS components of the project. Here are a few examples of the Non-Add Scope Codes for ITS component:

• 99300 – ITS Fleet Management
• 99400 – ITS Electronic Fare Management
• 99500 – ITS Traveler Information

Applicants can prepare itemized budgets with the ITS components separated out. Taking the three self-certification steps in TEAM is sufficient evidence of compliance with the FTA requirement at the time of grant award. FTA will use its oversight procedures to monitor compliance with the policy.

Though not required, FTA has a similar SERF form with the seven steps allowing grantees to document their use of a Systems Engineering process. Stakeholders can use information from the Regional ITS Architecture to fill out the FTA SERF form as described above for non-transit projects. The form will be made available on the FTA website at the time of grant award and prior to project triennial review. In most cases, the completed form would be requested during the triennial review; however, the FTA regional program manager can request earlier submission of the form. Applicants may use other means to document their use of the Systems Engineering process as long as it shows that the seven-step process has been followed.