[Federal Register Volume 72, Number 182 (Thursday, September 20, 2007)]
[Proposed Rules]
[Pages 53736-53742]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E7-18529]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
23 CFR Part 950
[FHWA Docket No. FHWA-06-23597]
RIN 2125-AF07
Interoperability Requirements, Standards, or Performance
Specifications for Automated Toll Collection Systems
AGENCY: Federal Highway Administration (FHWA); DOT.
ACTION: Notice of proposed rulemaking (NPRM); request for comments.
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SUMMARY: As required under section 1604(b)(6) of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU), this proposed rule specifies the interoperability
requirements for automated toll collection systems for the facilities
that are tolled under any of the tolling programs contained in section
1604 of SAFETEA-LU. Specifically, this notice proposes to require
facilities operating with authority under section 1604 of SAFETEA-LU to
use electronic toll collection systems and for these systems to address
their interoperability with other toll facilities. Although a
nationwide interoperability standard has not yet been established, this
proposed rule seeks to accelerate progress toward achieving nationwide
interoperability by requiring these facilities to upgrade their
electronic toll collection systems to the national standards whenever
adopted. This document also provides notice of public meetings on this
proposed regulation.
DATES: The public meeting will be held on Thursday, October 11, 2007,
from 1:30 p.m. to 5 p.m., at the U.S. Department of Transportation
headquarters conference center. Comments must be received on or before
November 19, 2007. Late-filed comments will be considered to the extent
practicable, but the FHWA may issue a final rule at any time after the
close of the comment period.
ADDRESSES: The October 11, 2007, public meeting will be held at the
U.S. Department of Transportation headquarters conference center, 1200
New Jersey Avenue, SE., Washington, DC 20590.
Mail or hand deliver comments to the U.S. Department of
Transportation, Dockets Management Facility, Room PL-401, 1200 New
Jersey Avenue, SE., Washington, DC 20590, or submit electronically at
http://dmses.dot.gov/submit or fax comments to (202) 493-2251.
Alternatively, comments may be submitted to the Federal eRulemaking
portal at http://www.regulations.gov.
All comments should include the docket number that appears in the
heading of this document. All comments received will be available for
examination and copying at the above address from 9 a.m. to 5 p.m.,
e.t., Monday through Friday, except Federal holidays. Those desiring
notification of receipt of comments must include a self-addressed,
stamped postcard or you may print the acknowledgment page that appears
after submitting comments electronically. Anyone is able to search the
electronic form of all comments in any one of our dockets by the name
of the individual submitting the comment (or signing the comment, if
submitted on behalf of an association, business, or labor union). You
may review the DOT's complete Privacy Act Statement in the Federal
Register published on April 11, 2000 (Volume 65, Number 70, Pages
19477-78) or you may visit http://dms.dot.gov.
FOR FURTHER INFORMATION CONTACT: For technical questions or information
about this notice of proposed rulemaking, contact Mr. Robert Rupert,
FHWA Office of Operations, (202) 366-2194. For legal questions, please
contact Mr. Michael Harkins, Attorney Advisor, FHWA Office of the Chief
Counsel, (202) 366-4928, Federal Highway Administration, 1200 New
Jersey Avenue, SE., Washington, DC 20590. Office hours for the FHWA are
from 7:45 a.m. to 4:15 p.m., e.t., Monday through Friday, except
Federal holidays.
SUPPLEMENTARY INFORMATION:
Electronic Access and Filing
You may submit or retrieve comments online through the Document
Management System (DMS) at: http://dmses.dot.gov/submit. Electronic
submission and retrieval help and guidelines are available under the
help section of the Web site. Alternatively, internet users may access
all comments received by the DOT Docket Facility by using the universal
resource locator (URL) http://dms.dot.gov. It is available 24 hours
each day, 365 days each year. Please follow the instructions. An
electronic copy of this document may also be downloaded by accessing
the Office of the Federal Register's home page at: http://www.archives.gov or the Government Printing Office's Web page at http://www.gpoaccess.gov/nara.
Introduction
Section 1604 of SAFETEA-LU (Pub. L. 109-59, 119 Stat. 1144)
includes provisions related to tolling of highways
[[Page 53737]]
and facilities. Specifically, section 1604 establishes or amends three
tolling programs: (1) The Value Pricing Pilot Program; (2) the Express
Lanes Demonstration Program; and (3) the Interstate System Construction
Toll Pilot Program. For each toll program under this section, section
1604(b)(6) requires the Secretary of Transportation to promulgate a
final rule specifying requirements, standards, or performance
specifications for automated toll collection systems.
Section 1604(b)(6) also requires that in developing the final rule
to maximize the interoperability of electronic collection systems, the
Secretary shall maximize to the extent practicable three other areas:
(1) Accelerate progress toward the national goal of achieving a
nationwide interoperable electronic toll collection system;
(2) Take into account the use of noncash electronic technology
currently deployed within an appropriate geographical area of travel
and the noncash electronic technology likely to be in use within the
next five years; and
(3) Minimize additional costs and maximize convenience to users of
toll facility and to the toll facility owner or operator.
Background
States are increasingly turning to tolling as a means of
supplementing traditional methods of roadway financing and enhancing
transportation mobility. The electronic collection of these tolls,
which began in the mid 1980s, has grown dramatically over the past 25
years and is expected to grow even more over the next decade. The
percentage of toll lanes capable of using electronic toll collection
has grown from 36% in 1997 to nearly 80% in 2005.\1\ According to a
June 2006 report from the United States Government Accountability
Office, 23 States have plans to build toll road facilities, including 7
States that are planning their first toll roads.\2\
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\1\ U.S. DOT Intelligent Transportation Systems Joint Program
Office, ITS Deployment Statistics Web site, http://www.itsdeployment.its.dot.gov/Trendsgraph.asp?comp=ETC; 2006.
\2\ U.S. Government Accountability Office, Report number GAO-06-
554, ``Highway Finance: States' Expanding Use of Tolling Illustrates
Diverse Challenges and Strategies'' June 2006; http://www.gao.gov/new.items/d06554.pdf.
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As the toll industry has grown, toll agencies have used a variety
of toll devices manufactured by various competitive companies. This
resulted in islands of unique proprietary toll devices throughout the
country. The early electronic toll collection systems used a variety of
electronic and radio communications technologies to identify
accountholders as they traveled through toll collection lanes and then
charge the appropriate toll against the appropriate account. There was
little interoperability among the systems, and users had to establish
multiple accounts and obtain multiple radio devices in order to use
electronic toll collection on different toll facilities.
The various toll agencies in the New York City area recognized the
need to allow their users to move among their facilities with a common
electronic toll collection technology and formed the Inter Agency Group
(IAG). The IAG established a common accounting system that would enable
users to set up an account with one toll collection agency that would
be useable across multiple toll facilities. In the early 1990s, the IAG
coined the term ``E-ZPass'' as a service mark for its common electronic
toll collection system, and selected a vendor that all participating
agencies would use for electronic tolling applications. The IAG and E-
ZPass have grown to include 21 agencies in the mid-Atlantic, northeast,
and Illinois. Similar efforts to regionalize electronic toll collection
took place in Florida and California, resulting in common toll
collection technologies for those areas.
As of 2005, there were about 20 million electronic toll customers
across the country. The largest concentrations of electronic toll
customers are on the east coast, with about 17 million users, and on
the west coast, with over 2 million users.
Existing Noncash Electronic Toll Collection Technologies
Currently, the electronic toll collection systems in any given
geographic region typically use similar techniques, but are not
interoperable from region to region. These existing toll facilities use
a communications technology known as Dedicated Short Range
Communications (DSRC). DSRC is a short range microwave radio that is
capable of communication with the roadside while a vehicle is moving at
highway speeds. Currently, all DSRC devices used for electronic toll
collection operate in the unlicensed 902 Megahertz (MHz) to 928 MHz
band of the radio frequency spectrum. Tolls can be collected from
motorists through a device called a ``transponder,'' which is about the
size of a compact disk or a pocket calculator and is installed in a
motorist's car or truck. The transponder communicates via DSRC with a
``reader'' installed over or near the lane of travel. The reader
communicates with the appropriate financial accounting system and the
motorist's toll account is debited for the proper toll amount without
the need for stopping at a toll plaza.
Although the future will bring new entrants and new innovation, the
electronic toll collection market has evolved in recent years such that
there are essentially three de-facto ``standards'' employed in large
numbers.
(1) The E-ZPass toll device is employed on virtually all of the
toll roads in the mid-Atlantic, northeast coast, and Illinois with
approximately 14 million users. This is a proprietary device whose
intellectual property rights are owned by Mark IV Industries of
Toronto, Canada. There are also other proprietary toll collection
technologies used by smaller numbers of systems and users in Texas,
Georgia, and Florida.
(2) The California Title 21 Electronic Toll Collection standard is
used on the west coast with approximately 2 million users. This
California specification is an ``open'' standard and currently there
are two manufacturers, Transcore and Sirit.
(3) The American Society of Testing Materials (ASTM) V6 standard is
used by the trucking industry for the electronic clearance of
commercial vehicles by both Help Inc.'s Prepass system and by the I-75
Coalition NorPass system. This is an open standard currently
manufactured by Raytheon and Mark IV.
National Interoperability
None of these de-facto standards are interoperable with one
another. In an attempt to achieve interoperability in 1996 and 1997,
the DOT encouraged and supported the development of a single standard
for electronic toll collection. The ASTM established a standards
committee; however, the companies in the toll market at that time could
not agree on a single standard that would allow national
interoperability.
During that same time frame, the DOT pursued the examination of a
new frequency for DSRC devices that could be licensed and thus used for
a variety of transportation applications including electronic toll
collection. In 1997, the Intelligent Transportation Society of America
(ITS America), acting on behalf of the transportation industry, filed a
petition with the Federal Communications Commission (FCC) requesting
the allocation of 75 MHz of spectrum at 5.85 Gigahertz (GHz) to 5.925
GHz. This allocation was granted by the FCC in late 1999, and is
licensed for public safety and private applications.
As a result of the FCC's action, the DOT initiated the support of
the
[[Page 53738]]
development of a new set of standards for DSRC at 5.9 GHz. (``5.9 GHz''
is the term used to refer to the spectrum between 5.85 GHz and 5.925
GHz.) The standards are being developed under the auspices of the
Institute of Electrical and Electronic Engineers (IEEE). All of the
current toll device manufacturers in the United States are
participating in the development of these open standards and have
agreed upon the electronic communications technology to be employed. In
addition, the DOT is sponsoring the development of prototype DSRC
equipment to implement the standards under development. The four
manufacturers of electronic toll collection equipment in the United
States as of 2005--Mark IV, Raytheon, Sirit, and Transcore--united to
form the DSRC Industry Consortium to conduct this development. The
current DSRC program is conducting tests of prototype equipment and
these open standards for technical feasibility.
However, even if the technical communications standards are
interoperable technologically, more must be done to ensure
interoperability for electronic toll collection. Specifically,
interoperability also requires ``back-office'' interoperability, i.e.,
properly identifying and accounting for electronic toll collection
tags. The IAG provides this integrated accounting service for its
members through its E-ZPass application. True national interoperability
will require greater exchange of accounting and fiscal information
among toll authorities and their financial agents. OmniAir, an
independent, not-for-profit trade association created as a result of
the International Bridge, Tunnel and Turnpike Association's (IBTTA) 5.9
GHz DSRC Next Generation Task Force, has developed a draft electronic
toll collection requirements document and is developing a national
interoperability specification for electronic payment services. Toll
agencies that adopt the OmniAir specifications will be positioned to
provide interoperable services for all toll users.
Development and approval of an open technical communications
standard will be a significant step toward nationally interoperable
electronic toll collection services. The adoption of an approved open
standard by the DOT for use on all Federal-aid projects and other
projects receiving tolling authority from the DOT will help to
accelerate progress toward national interoperability. Any
interoperability test for electronic toll collection would need to
include not only the electronic communications, but also the accounting
compatibility necessary to allow motorists to use various toll
facilities without requiring multiple accounts.
Toll plazas and barriers reduce a facility's throughput of
vehicles, resulting in traffic congestion and its associated hazards as
the demand and volume of vehicles increases. Electronic tolling helps
to mitigate congestion by eliminating the bottlenecks caused by toll
plazas and barriers. For example, in 1995, researchers compared vehicle
throughput on lanes with manual toll collections versus electronic toll
collection on the Tappan Zee Bridge in New York. The manual collection
lane accommodated up to 400-450 vehicles per hour while an electronic
lane peaked at 1000 vehicles per hour.\3\ Also, in another example, the
E-ZPass electronic toll collection system saved commuters approximately
2.1 million hours of delay on the New Jersey Turnpike in 2000.\4\
Electronic tolling may also address vehicle safety and property damage
concerns associated with toll barriers. The FHWA solicits comments from
States, toll authorities, or other groups that may have conducted
studies to analyze the effects of electronic tolling on safety and
property damage.
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\3\ Lennon, L. ``Tappan Zee Bridge E-ZPass System Traffic and
Environmental Studies,'' Paper presented at the 64th ITE Annual
Meeting: 1995. ITS Benefits Database Link:
http:www.itsbenefits.its.dot.gov/its/benecost.nsf/0/BFFD6D277991A8C385269610051E2BE.
\4\ Operational and Traffic Benefits of E-ZPass to the New
Jersey Turnpike, Prepared by the Wilbur Smith Associates for the New
Jersey Turnpike Authority, New Jersey: August 2001. ITS Benefits
Database Link: http://www.itsbenefits.its.dot.gov/its/benecost.nsf/0/78B2ACEBB79ED67785256AC0006E29ED.
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DOT Outreach Efforts
In preparing this NPRM, the FHWA met with representatives of the
IBTTA to gather technical information and insight on its members'
current state-of-practice for electronic toll collection. In addition,
IBTTA shared information about activities it has been conducting
related to interoperability, including establishing OmniAir as an
independent, not-for-profit trade association addressing 5.9 GHz and
interoperability.
General Discussion of the Proposal
This proposal is intended to comply with the mandate of section
1604(b)(6) of SAFETEA-LU to promulgate a final rule specifying the
requirements, standards, or performance specifications for automated
toll collection systems implemented under section 1604. Although the
ultimate goal of 1604(b)(6) of SAFETEA-LU is to achieve a nationwide
interoperable electronic toll collection system, the Department does
not believe that it can effectively establish a national standard at
this time. As explained above, the DSRC program is conducting tests of
prototype equipment and open standards for technical feasibility. These
new standards, when published, may form the basis of a future
rulemaking that would establish the standards for a nationwide
interoperable electronic toll collection system. However, with respect
to this proposal, the Department believes that requiring toll agencies
to take interoperability issues into consideration in developing its
toll collections systems will address the objective of the statute to
accelerate progress toward the goal of nationwide interoperability in
the best way possible at the present time. As such, the FHWA proposes
to require that the toll collection agency for any facility operating
pursuant to authority under section 1604 of SAFETEA-LU consult with the
FHWA regarding its proposed method for electronic toll collection, and
explain how the toll collection technique achieves the highest
reasonable degree of interoperability possible with other facilities.
The selection and explanation should consider not only current toll
collection technologies but also emerging technologies and standards
that may come into use.
Additionally, this proposal would require toll agencies to develop
reasonable methods to enable vehicle operators that are not enrolled in
an interoperable toll collection program to use the toll facility.
Agencies that operate tolling facilities that rely exclusively on
electronic toll collection must address how they would accommodate
users that have not enrolled in a compatible accounting system that
provides for the collection of toll fees for use of the facility.
Lastly, the FHWA recognizes that privacy issues may arise in
connection with the implementation, operation, and enforcement of
electronic toll collection systems, largely as a result of toll tags
being linked to an individual's account with a toll agency or
transportation authority or through alternative accommodations. In
order to mitigate this concern, this rulemaking proposes to require
toll agencies to develop, implement, and make publicly available
privacy policies designed to protect against the inappropriate,
unnecessary, or unauthorized disclosure of any data that may be
collected regarding a user's use of an electronic toll collection
system. These policies would not be subject to Departmental approval,
however. The Department solicits
[[Page 53739]]
comments related to the methods or means by which privacy concerns can
be balanced with the environmental and congestion reducing advantages
of electronic tolling.
This NPRM applies only to the tolling programs authorized under
section 1604 of SAFETEA-LU. The authority to toll under a section 1604
program will be granted on a case-by-case basis and in accordance with
the criteria listed in statute and this regulation.
In consideration of the above discussion, the FHWA requests
comments on the following questions:
(1) How should a national electronic toll collection standard be
pursued?
(2) What aspects of electronic toll collection should be
standardized?
(3) How critical is the timing for establishing a national
electronic toll collection standard?
(4) How should the national standard incorporate current
technologies and functions?
(5) How should the national standard allow for changes in
technologies over time?
(6) What are the personal privacy aspects of a national electronic
toll collection standard and the technologies that may be used to
achieve it?
Section-by-Section Discussion of the Proposal
Section 950.1 Purpose
This section states that the proposed regulations establish
interoperability requirements, standards, and performance
specifications for facilities that are granted tolling authority by any
program authorized under section 1604 of SAFETEA-LU.
Section 950.3 Definitions
The specific terms that have special significance to agencies or
facilities that are subject to these proposed regulations are defined
in this section.
Section 950.5 Requirement To Use Electronic Toll Collection Technology
This section establishes the proposed requirement that all
facilities that are granted tolling authority by any program under
section 1604 of SAFETEA-LU must use electronic toll collection systems
as the method for collecting tolls from vehicle operators unless the
toll agency can demonstrate to the FHWA that some other method is
either more economically efficient or will result in a safer operating
conditions for the facility. However, since section 1604(b)(5) of
SAFETEA-LU requires exclusive electronic toll collection for the
Express Lanes Demonstration Program, the FHWA is not authorized to
grant an exception to the electronic toll collection requirement for
facilities granted toll authority under section 1604(b) of SAFETEA-LU.
This rule further requires toll agencies to make reasonable
accommodations to allow potential users who may not be enrolled in the
applicable toll collection program to use the facility. Since
subsection 1604(b)(6)(A) states that the interoperability rule be
applied for ``automated toll collection systems implemented under this
section,'' which includes subsections 1604(a), 1604(b), and 1604(c),
this proposed interoperability requirement would apply the mandatory
use of electronic toll collection to all the programs authorized under
section 1604. Additionally, this section clarifies that a toll agency
may use cash payment methods, such as toll booths, in areas that are
not located in the toll facility's lanes of travel if the location and
use of such methods do not create unsafe operating conditions on the
toll facility.
Additionally, this rule would require toll agencies to develop and
implement privacy policies to safeguard the disclosure of any data that
may be collected concerning any user of a toll facility operating
pursuant to authority under a 1604 toll program. The FHWA specifically
requests comments on the privacy implications of this rule and
potential measures that could be taken to ensure that these privacy
interests are protected.
Section 950.7 Interoperability Requirements
This section establishes the proposed requirements for
interoperability among electronic tolling systems for agencies or
facilities that are granted tolling authority by any program authorized
under section 1604 of SAFETEA-LU. Because of the differences that may
arise in defining the potential users of a facility while maintaining
interoperability, the FHWA requests comments on whether these proposed
regulations allow for toll agencies to use different technologies.
In section 950.7(a), we propose to require the toll agency having
jurisdiction over a facility that is tolled pursuant to any of the
tolling programs under section 1604 of SAFETEA-LU to: identify the
projected users of the facility; and identify the predominant
electronic toll collection systems likely utilized by the users of the
facility.
In section 950.7(b), we propose to require the toll agency to
receive the FHWA's concurrence on its selection of the facility's
electronic toll collection system. In section 950.7(c), we propose to
require, in order to receive the FHWA's concurrence, the toll agency to
demonstrate to the FHWA how the selected toll collection system
achieves the highest reasonable degree of interoperability possible
with other toll facilities. Additionally, the toll agency must explain,
as provided at section 1604(b)(6)(B)(ii) of SAFETEA-LU, how the toll
collection system takes into account the use of noncash electronic
technology currently deployed within an appropriate geographic area of
travel, as defined by the toll agency, and identify the noncash
electronic technology likely to be in use within the next five years in
that area. The facility's electronic toll collection system's design
must include the communications requirements between roadside equipment
and electronic toll transponders, as well as accounting compatibility
requirements in order to ensure that users of the toll facilities are
properly identified and tolls are charged to the appropriate account of
the user.
In section 950.7(d), we propose to require all electronic toll
collection systems on any facility that is tolled pursuant to any of
the tolling programs under section 1604 of SAFETEA-LU to upgrade to the
nationwide interoperability standards if established in a future
rulemaking by the FHWA. As explained above, this proposed rule seeks to
accelerate progress toward nationwide interoperability by requiring any
facility that is tolled pursuant to authority from any of the toll
programs at section 1604 of SAFETEA-LU to upgrade its electronic toll
collection system to operate under any nationwide standard subsequently
established.
In section 950.7(e), we propose to exempt all toll facilities that
are currently being tolled under the Value Pricing Pilot Program from
this proposed rule. The value pricing program was originally
established in the section 1012(b) of the Intermodal Surface
Transportation Efficiency Act of 1991 (Pub. L. 102-240). Thus, applying
this rule to electronic toll collection systems that are already
operational may be burdensome. However, any change to the facility's
toll collection system after the effective date of the final rule would
be subject to the regulations proposed in this rule.
Section 950.9 Enforcement
This section discusses remedial actions for agencies or facilities
that fail to comply with the proposed requirements in section 950.7.
We propose to suspend the tolling authority of any facility that
does not comply with the requirements of this rule. However, we would
be able to extend the tolling authority for any such
[[Page 53740]]
facility if the applicable toll agency demonstrates that it is taking
the necessary steps to come into compliance with the regulations.
Public Meeting
The public meeting will be held on Thursday, October 11, 2007, at
the U.S. Department of Transportation headquarters conference center.
The meeting will be held from 1:30 p.m. to 5 p.m.
Rulemaking Analyses and Notices
All comments received before the close of business on the comment
closing date indicated above will be considered and will be available
for examination in the docket at the above address. Comments received
before, during, and after the comment closing date will be filed in the
docket and will be considered to the extent practicable. In addition to
late comments, the FHWA will also continue to file relevant information
in the docket as it becomes available, and interested persons should
continue to examine the docket for new material. A final rule may be
published at any time after close of the comment period.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The FHWA has determined preliminarily that this action would be a
significant regulatory action within the meaning of Executive Order
12866 and would be significant within the meaning of Department of
Transportation regulatory policies and procedures. This action is
considered significant because of the substantial State and local
government and public interest in the requirements for automated toll
collection systems. This rulemaking proposes interoperability
requirements, standards, and performance specifications for toll
projects initiated under section 1604 of SAFETEA-LU that use electronic
toll collection. Section 1604 of SAFETEA-LU establishes or amends three
tolling programs: (1) The Value Pricing Pilot Program, which has a
maximum of 15 cooperative agreements; (2) the Express Lanes
Demonstration Program, which has a maximum of 15 tolling projects; and
(3) the Interstate System Construction Toll Pilot Program, which has a
maximum of 3 tolling projects. This rulemaking only establishes
conditions on a Federal grant of authority for toll programs under
section 1604 and does not require a State to impose tolls on any
particular facility nor mandate how a State or toll authority operates,
maintains or enforces its tolling program.
It is anticipated that the economic costs of this rulemaking would
be minimal while the benefits could be significant. These proposed
changes are not anticipated to adversely affect, in a material way, any
sector of the economy. Since this proposed rule only applies to new
projects initiated under section 1604 of SAFETEA-LU, no significant
encumbrances are added to the project's design or implementation.
Interoperability will afford potential reductions in implementation
and operating costs in several ways for both the implementing agencies
and the public. First, it will allow the leveraging of existing
resources, specifically the toll transponders that are being used by
vehicle operators. By designing for interoperability, the new
electronic toll collection project will not need to distribute as many
toll transponders as it would if it designed a unique toll collection
system. The public users will not need to purchase or fund additional
devices and accounts. Second, the operating cost for an electronic toll
lane is less than one-tenth that of a standard lane. A 1997 report
indicated that the Oklahoma Turnpike Authority spent approximately
$16,000 per year on the operational cost of an electronic toll
collection lane. In contrast, the Authority spent approximately
$176,000 per year to operate a manual toll collection lane. Third,
there are also environmental savings as noted above. Finally,
increasing access to electronic toll lanes will decrease time spent
waiting to pay tolls. For example, attended toll collection facilities
can process approximately 300 vehicles per hour, or 12 seconds per
vehicle. Dedicated electronic toll collection facilities can process
approximately 1,200 vehicles per hour, or 3 seconds per vehicle.\5\
Using a conservative estimate for a queue of 4 vehicles for processing
per lane, the delay for not using electronic toll collection equals 36
seconds. During peak periods, queues would be longer and delays
increased. When multiplied by the number of transactions, these time
savings can be considerable based on the value of $15+ per hour that an
average person in the United States earns. While the total savings are
dependant on how many new systems are built, they could be
considerable. Costs would be dependent on the methods that are
instituted to collect payments. For example, it may take longer to pay
using a lane that allows for multiple types of payment as opposed to
lanes dedicated to electronic toll collection or barrier-free
collection techniques. However, the Department believes that these
differences would be minimal or more than offset by the delays caused
by current systems. The Department seeks comments on these issues from
both government entities and the public.
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\5\ Tollways Volume 2, Number 3, by IBTTA, 2005; The Path to
Open Road Tolling, by Timothy O. Gallagher and Harold W. Worrall,
pgs. 11-21.
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Therefore, this proposed rulemaking will result in only minimal
costs to those affected. In addition, these changes would not interfere
with any action taken or planned by another agency and would not
materially alter the budgetary impact of any entitlements, grants, user
fees, or loan programs. Consequently, a full regulatory evaluation is
not required.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (Pub. L. 96-354,
5 U.S.C. 601-612) the FHWA has evaluated the effects of this proposed
action on small entities and has determined that the proposed action
would not have a significant economic impact on a substantial number of
small entities.
This rulemaking does not change the roles or responsibilities of
small entities in electronic toll collection projects. The rulemaking
neither improves nor worsens small entities opportunities to
participate in electronic toll collection projects, so results in no
economic affect on the small entities. For these reasons, the FHWA
certifies that this action would not have a significant economic impact
on a substantial number of small entities.
Unfunded Mandates Reform Act of 1995
This proposed rule would not impose unfunded mandates as defined by
the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4, 109 Stat. 48).
This proposed rule will not result in the expenditure by State, local,
and tribal governments, in the aggregate, or by the private sector, of
$128.1 million or more in any one year (2 U.S.C. 1532). Further, in
compliance with the Unfunded Mandates Reform Act of 1995, the FHWA will
evaluate any regulatory action that might be proposed in subsequent
stages of the proceeding to assess the effects on State, local, and
tribal governments and the private sector. Additionally, the definition
of ``Federal Mandate'' in the Unfunded Mandates Reform Act excludes
financial assistance of the type in which State, local, or tribal
governments have authority to adjust their participation in the program
in accordance with changes made to the program by the Federal
[[Page 53741]]
Government. The Federal-aid highway program permits this type of
flexibility. This rulemaking only establishes conditions on a Federal
grant of authority for toll programs under section 1604 and does not
require a State, public authority, or private entity designated by a
State, to impose tolls on any particular facility nor mandates how a
State or toll authority operates, maintains or enforces its tolling
program.
Executive Order 13132 (Federalism Assessment)
This proposed action has been analyzed in accordance with the
principles and criteria contained in Executive Order 13132, and the
FHWA has determined that this proposed action would not have sufficient
federalism implications to warrant consultation with the States. The
FHWA has also determined that this proposed action would not preempt
any State law or State regulation or affect the States' ability to
discharge traditional State governmental functions.
Executive Order 12372 (Intergovernmental Review)
Catalog of Federal Domestic Assistance Program Number 20.205,
Highway Planning and Construction. The regulations implementing
Executive Order 12372 regarding intergovernmental consultation on
Federal programs and activities do not apply to this program.
Accordingly, the FHWA solicits comments on this issue.
Paperwork Reduction Act
Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501, et
seq.), Federal agencies must obtain approval from the Office of
Management and Budget (OMB) for each collection of information they
conduct, sponsor, or require through regulations. The FHWA has
determined that this proposal does not contain collection of
information requirements for the purposes of the PRA.
National Environmental Policy Act
The agency has analyzed this proposed action for the purpose of the
National Environmental Policy Act of 1969 (42 U.S.C. 4321) and has
determined that this proposed action would not have any effect on the
quality of the environment.
Executive Order 12630 (Taking of Private Property)
The FHWA has analyzed this proposed rule under Executive Order
12630, Governmental Actions and Interface with Constitutionally
Protected Property Rights. The FHWA does not anticipate that this
proposed action would affect a taking of private property or otherwise
have taking implications under Executive Order 12630.
Executive Order 12988 (Civil Justice Reform)
This action meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. The FHWA
certifies that this proposed action would not cause any environmental
risk to health or safety that might disproportionately affect children.
Executive Order 13175 (Tribal Consultation)
The FHWA has analyzed this action under Executive Order 13175,
dated November 6, 2000, and believes that the proposed action would not
have substantial direct effects on one or more Indian tribes; would not
impose substantial direct compliance costs on Indian tribal
governments; and would not preempt tribal laws. The proposed rulemaking
addresses interoperability requirements, standards, or performance
specifications for toll projects initiated under section 1604 of
SAFETEA-LU that use electronic toll collection and would not impose any
direct compliance requirements on Indian tribal governments.
Executive Order 13211 (Energy Effects)
We have analyzed this action under Executive Order 13211, Actions
Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use dated May 18, 2001. We have determined that this
is not a significant energy action under that order since it is not
likely to have a significant adverse effect on the supply,
distribution, or use of energy. Therefore, a Statement of Energy
Effects is not required.
Regulation Identification Number
A regulation identification number (RIN) is assigned to each
regulatory action listed in the Unified Agenda of Federal Regulations.
The Regulatory Information Service Center publishes the Unified Agenda
in April and October of each year. The RIN contained in the heading of
this document can be used to cross reference this action with the
Unified Agenda.
List of Subjects in 23 CFR Part 950
Communications equipment, Electronic products, Highways and roads,
Motor vehicles, Radio, Telecommunication, Transportation.
Issued on: September 12, 2007.
J. Richard Capka,
Federal Highway Administrator.
In consideration of the foregoing, the FHWA proposes to add a new
part 950 to title 23, Code of Federal Regulations, to read as follows:
PART 950--ELECTRONIC TOLL COLLECTION
Sec.
950.1 Purpose.
950.3 Definitions.
950.5 Requirement to use electronic toll collection technology.
950.7 Interoperability requirements.
950.9 Enforcement.
Authority: 23 U.S.C. 109, 315; sec. 1604(b)(5) and (b)(6), Pub.
L. 109-59, 119 Stat. 1144; 49 CFR 1.48.
Sec. 950.1 Purpose.
The purpose of this part is to establish interoperability
requirements, standards, and performance specifications for toll
facilities that are tolled under section 1604 of the Safe, Accountable,
Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA-LU) (Pub. L. 109-59; 119 Stat. 1144) that use electronic toll
collection.
Sec. 950.3 Definitions.
1604 toll program refers to any of the tolling programs authorized
under section 1604 of SAFETEA-LU. These programs include the Value
Pricing Pilot Program, the Express Lanes Demonstration Program, and the
Interstate System Construction Toll Pilot Program.
Dedicated short-range communications means a microwave radio that
is capable of short-range communication with the roadside while a
vehicle is moving at highway speeds.
Electronic toll collection means the ability for vehicle operators
to pay tolls without stopping their vehicles through the use of
dedicated short-range communications between onboard vehicle and
roadside devices.
Toll agency means the relevant public or private entity or entities
to which toll authority has been granted for a facility under a 1604
toll program.
[[Page 53742]]
Sec. 950.5 Requirement to use electronic toll collection technology.
(a) Any toll agency operating a toll facility pursuant to authority
under a 1604 toll program shall use an electronic toll collection
system as the method for collecting tolls from vehicle operators for
the use of the facility unless the toll agency can demonstrate to the
FHWA that some other method is either more economically efficient or
will make the facility operate more safely. If a facility is collecting
tolls pursuant to section 1604(b) of SAFETEA-LU, the toll agency shall
only use electronic toll collection systems. Nothing in this subsection
shall prevent a toll agency from using cash payment methods, such as
toll booths, in areas that are not located in the toll facility's lanes
of travel if the location and use of such methods do not create unsafe
operating conditions on the toll facility.
(b) A toll agency using electronic toll collection technology must
develop and implement reasonable methods to enable vehicle operators
that are not enrolled in a toll collection program that is
interoperable with the toll collection system of the relevant toll
facility to use the facility.
(c) A toll agency using electronic toll collection technology must
develop, implement, and make publicly available privacy policies to
safeguard the disclosure of any data that may be collected through such
technology concerning any user of a toll facility operating pursuant to
authority under a 1604 toll program, but is not required to submit such
policies to FHWA for approval.
Sec. 950.7 Interoperability requirements.
(a) For any toll facility operating pursuant to authority under a
1604 toll program, the toll agency shall--
(1) Identify the projected users of the facility; and
(2) Identify the predominant toll collection systems likely
utilized by the users of the facility.
(b) Based on the identification conducted under subsection (a), the
toll agency shall receive the FHWA's concurrence on the proposal for
the facility's toll collection system's standards and design.
(c) In requesting the FHWA's concurrence, the toll agency shall
demonstrate to the FHWA that the selected toll collection system and
technology achieves the highest reasonable degree of interoperability
possible with other toll facilities. The toll agency shall also explain
to the FHWA how the toll collection system takes into account the use
of noncash electronic technology currently deployed within an
appropriate geographic area of travel (as defined by the toll agency)
and identify the noncash electronic technology likely to be in use
within the next five years in that area. The facility's toll collection
system's design shall include the communications requirements between
roadside equipment and toll transponders, as well as accounting
compatibility requirements in order to ensure that users of the toll
facilities are properly identified and tolls are charged to the
appropriate account of the user.
(d) A toll agency that operates any toll facility pursuant to
authority under a 1604 toll program must upgrade its toll collection
system to meet any applicable standards and interoperability tests that
have been officially adopted through rulemaking by the FHWA.
(e) With respect to facilities that are tolled pursuant to the
Value Pricing Pilot Program, this part only applies if tolls are
imposed on a facility after the effective date of this rule. However,
such facility is subject to this part if the facility's toll collection
system is changed or upgraded after the effective date of the
regulations in this part.
Sec. 950.9 Enforcement.
(a) The tolling authority of any facility operating pursuant to
authority under a 1604 toll program shall be suspended in the event the
relevant toll agency is not in compliance with this part within six (6)
months of receiving a written notice of non-compliance from FHWA. If
the toll agency demonstrates that it is taking the necessary steps to
come into compliance within a reasonable period of time, FHWA shall
extend such tolling authority.
(b) The FHWA may take other action as may be appropriate, including
action pursuant to Sec. 1.36 of this title.
[FR Doc. E7-18529 Filed 9-19-07; 8:45 am]
BILLING CODE 4910-22-P