Executive Summary
Project Overview
In 1998, ITS America (ITSA) established a Blue Ribbon Panel (BRP) on electronic commerce (e-commerce) to study the convergence of transportation and electronic payment systems.1 Panel members included senior managers from government, toll agencies, motor carrier industry, and service providers. The panel's goal was to achieve national interoperability of Electronic Toll Collection (ETC), electronic screening (E-screening), and other dedicated short-range communication standards (DSRC) applications. The panel was successful in providing a forum for this diverse group to discuss issues and ideas, while moving toward a solution to the national interoperability problem.2
In March 2001, the I-95 Corridor Coalition approved funding for an ETC/E-Screening Interoperability Pilot Project. The primary goal of the Pilot Project was to establish regional interoperability between ETC and E-screening, with the long-term goal of providing a model for national interoperability of DSRC applications. The project combined testing a single dual-mode DSRC transponder (the Mark IV Fusion Transponder) for both ETC and E-screening, and developing administrative and organizational structures that would support interoperability beyond the Pilot Project. The intent of the Pilot Project was to coordinate the Northeast's interoperable ETC program, E-ZPass, with the Commercial Vehicle Information Systems and Networks (CVISN) E-screening deployments planned by Maryland and Connecticut.
The Pilot Project was designed as a series of incremental builds designed to incrementally establish functionality and address institutional and technical challenges that could potentially impact interoperability:
- Build 1: Pilot ETC/E-Screening Interoperability - In collaboration with the I-95 Corridor Coalition, the State of Maryland implemented a limited scale interoperability proof-of-concept project between ETC and E-screening applications at the Perryville Weigh Station on southbound I-95 by distributing 50 Mark IV Fusion transponders to Maryland-based interstate vehicles.
- Build 2: Operational ETC/E-Screening Interoperability - The initial project plan was for approximately 10,000 of New York State Thruway Authority's (NYSTA's) 250,000 E-ZPass commercial vehicles to be recruited to further test ETC/E-screening interoperability. Build 2 also was to the State of Connecticut's planned deployment of E-screening through the CVISN Pilot Project to test interoperability of E-screening between Maryland and Connecticut.
- Build 3: Enroll "Foreign" Transponders - This build was designed for implementation in conjunction with Build 2. The objective was to expand the program along the I-95 Corridor to allow non-Inter-Agency Group (IAG) government agencies to issue the Mark IV Fusion transponders for enrollment in E-ZPass and to participate in E-screening as well. An additional 10,000 transponders were to be issued by Maryland under Build 3.
- Build 4: Motor Carrier Service Bureau - This build anticipated the establishment of Private Motor Carrier Service Bureaus to perform transponder administration functions for carriers simultaneously participating in E-ZPass and E-screening programs.
- Build 5: Multi-Application Interoperability - This build anticipated North American multi-application interoperability to enable program expansion throughout North America.
To encourage motor carrier participation in Builds 2 and 3, the proposed plan offered Mark IV Fusion transponders at the same cost as the E-ZPass flat pack transponders, approximately $22 per transponder, through a project-funded subsidy of approximately $16 per transponder.
A Project Team, comprised of various stakeholder representatives from Connecticut, Maryland, and New York, provided oversight to various aspects of the project. After 2 years of implementation experience, in 2003, the Project Team conducted an assessment of Builds 2 and 3 to determine if changes in the national interoperability environment as well as institutional and technical challenges encountered during the course of the project warranted any change in project scope.
The most significant market change that occurred was the new policy established by the participating toll agencies to allow third parties to establish "super accounts" and take on transponder administrator functions. Under these "super accounts", third parties established "master" accounts with a toll agency to enable procurements of a large number of transponders. The third parties were then able to market these transponders to the motor carrier industry, and handle all associated administrative functions such as billing and payments. In addition, third party providers were also entitled to receive any available volume discount offered by a state.
Both the Maryland Motor Truck Association (MMTA) and NYSTA established "super accounts" to market transponders to their members. The NYSTA also established a program known as "Best Pass". The "Best Pass" program is designed to match a motor carrier with the combination of ETC and E-screening programs that best meets the particular carrier's needs. The New York State Motor Truck Association (NYSMTA) reviews a carrier's International Registration Plan (IRP) records to determine which programs best match where a carrier runs on a regular basis and then selects the appropriate programs that best match the carrier's area of operations.
A second significant change in the market involved an agreement between the PrePass Program and the NYSTA to allow interoperability between PrePass-enrolled motor carriers and E-ZPass. The program, known as PrePass Plus,3 enabled motor carriers to use transponders obtained for the PrePass electronic pre-clearance program for E-ZPass. Affiliated Computer Services, Inc. (ACS), the vendor for E-ZPass, is also the venture capitalist supporting the HELP, Inc., public-private partnership that supports PrePass. This cooperative working relationship enabled ACS to modify the PrePass and E-ZPass systems so that each system would be able to identify a Commercial Motor Vehicle (CMV) transponder in the other ACS program, thus providing in-program interoperability.
As a result of these changes in the market structure, the Project Team determined that several mid-course adjustments in project scope were warranted:
- Widespread distribution of transponders with a subsidy provided by the project, as initially planned under Build 2, was not required as a component of the interoperability Pilot Project. Since the project was first initiated, the Mark IV Fusion transponder has become readily available on the market. The Project Team determined that the issue of converting to the Fusion transponder would be a business decision on the part of motor carriers and that the proposed subsidy of the cost difference between the two tags was no longer needed as part of the Pilot Project.
- Build 3 would best promote the project's objectives by making the enrollment process easier for motor carriers and sharing enrollment information with other jurisdictions as designated by the motor carrier. The scope of Build 3 was redefined to be two concurrent efforts:
- Make improvements to and expand Maryland's motor carrier Web portal to make the screening enrollment process easier for motor carriers by accepting and sharing enrollment information with other jurisdictions.
- Conduct a feasibility study to determine if it would be practical to interface ETC and E-screening systems. If this did prove feasible, the second part of this effort was to move forward in developing and deploying the interfaces.
The NYSTA also made a business decision to withdraw from transponder distribution activities after the 2,000 units procured were distributed and to rely on market forces, in particular, the super accounts, to encourage industry participation in the program.
Project Deployment
The initial project activities included installing electronic screening infrastructure at the Maryland Transportation Authority's (MdTA's) I-95 southbound weigh station located at Perryville, Maryland, and expanding the E-ZPass system to include motor carriers at all MdTA toll facilities. This expansion, including the facility located on I-95 northbound opposite the weigh station. Johns Hopkins University's Applied Physics Laboratory was selected to oversee the electronic screening system installation, which included:
- Installing a mainline Weigh-in-Motion (WIM) station on I-95 approximately one-half mile before the weigh station. The WIM system selected was the Piezzo Strip system.
- Installing electronic readers at the WIM location and at the weigh station to enable the identification of trucks approaching the weigh station and the verification that a driver had responded appropriately to a "green light/red light" signal as the truck in question passed by the weigh station.
- Developing electronic screening software by the Johns Hopkins University Applied Physics Laboratory.
- Programming and installing two computers at the Perryville Weigh Station - the roadside Operations Computer (ROC) that controlled the electronic screening system components and that operated the E-screening software.
The MdTA authorized its E-ZPass vendor ACS to both enroll motor carriers in the E-ZPass program and to install E-ZPass readers and cameras (used to identify violators who do not pay tolls either through the E-ZPass program or manually) at the "truck only" lanes at the I-95 northbound Perryville, Maryland toll plaza. While this activity was not done as part of the Pilot Project, the equipment deployment and the E-ZPass implementation for commercial motor vehicles did support project objectives.
At the time the project was implemented, MdTA policy stated that all trucks are required to pass through truck-only lanes at the toll plaza, which separates passenger and commercial vehicle traffic. In addition, in 2004 signage was installed along southbound I-95 advising motor carriers of the E-screening capability at the Perryville Weigh Station. Concurrent with the Maryland installations, the State of Connecticut began installing E-screening equipment at the Union Weigh Station located along the Massachusetts - Connecticut border on I-84.
While the physical infrastructure necessary to support ETC and electronic screening was being installed, the project agencies established the following procedures to enable motor carriers to enroll in both the ETC and E-screening programs:
- Motor carriers enrolling in ETC programs in New York and Maryland were offered the option of obtaining either an E-ZPass flat pack transponder or a Mark IV Fusion transponder capable of interoperability between the ETC and E-screening programs. The Mark IV Fusion transponders offered for the dual-mode application contained two separate unique identifiers built in by the manufacturer - one each for the ETC and E-screening applications.
- Motor carriers interested in the Maryland Electronic Screening Program submitted their E-screening enrollment information through the MDOT Motor Carrier Web Portal.4 Connecticut joined the North American Preclearance and Safety System (NORPASS) electronic screening program and will use NORPASS to enroll motor carriers for E-screening.
The key to the success of the interoperability Pilot Project is the manufacturer's installation of two unique identifier numbers. The AVI readers currently used for ETC and E-screening are not compatible - the readers used for each system are unique for that system. Both systems, however, are able to read the Mark IV Fusion transponder; thus, assigning two unique identifier numbers to a motor carrier for use on a single transponder enables the interoperability between the two systems.
The Coalition developed a brochure describing the Pilot Project, which was distributed by MdTA and NYSTA to all commercial vehicle E-ZPass accounts. In addition, the MMTA, the NYSTA, and the Connecticut Trucking Association (CTA) provided information about the Pilot Project to all their members.
The initial deployment of transponders is still ongoing. A total of 12,000 transponders were initially procured: 2,000 by NYSTA and 10,000 by MDOT, respectively.
Implementation Experience
To date, implementation results have been mixed. One success is the resulting development of the Maryland Motor Carrier Portal, a Web-based portal enabling motor carriers to submit an application to join the Maryland Electronic Screening Program electronically.5 Motor carriers have successfully used this portal to enroll in the program.
The Maryland Electronic Screening Program tested in the Pilot Project incorporated two significant elements. First, the Maryland Electronic Screening Program did not require that a motor carrier be pre-qualified in order to enroll in the program. Any motor carrier submitting an application, providing that the motor carrier was a legitimate operation meeting State requirements, was eligible to enroll in the program. If the motor carrier had an outstanding issue or issues that would result in the carrier not meeting the E-screening bypass criteria, the State, to the extent feasible, advised the motor carrier of this so that the motor carrier could address the problem in question. However, motor carriers were not required to meet specific criteria in order to receive a transponder, participate in the program, and be eligible for a weigh station bypass, provided the motor carrier satisfied the bypass criteria.
The Maryland Electronic Screening Program was the first in the United States to test the CVISN concept of E-screening, which is electronic screening on a real-time basis. As snapshot information on motor carriers participating in the Maryland Electronic Screening Program was updated, it was downloaded to the ROC at the Perryville facility using the Maryland Commercial Vehicle Information Exchange Window (CVIEW). Snapshot information was obtained from Safety and Fitness Electronic Records (SAFER) system and from Maryland legacy systems utilizing interfaces developed as part of Maryland's CVISN program. Bypass/no bypass messages were issued to motor carriers based on snapshot information. Though the weigh station personnel maintained the option to signal drivers for a pull-in, the bypass decision was usually based on the most recent information available contained in the snapshot.
The second key element of the Maryland Electronic Screening Program was in establishing an interoperability working relationship with NORPASS6 partners to work together to deploy mainline screening systems at weigh stations. This partnership allows safe and legal trucks to proceed unimpeded while enforcement resources are focused on high-risk motor carriers.
Through the interoperability working relationship, Maryland and NORPASS exchange data files containing motor carrier enrollment information, transponder identifiers, and other relevant information on each program's members. Members are then able to participate in both programs and receive E-screening benefits. No fee is required to register in either program.
Motor carriers participating in the Maryland program were also able to enroll in the ACS PrePass program and use the Mark IV Fusion transponder obtained from the Maryland program. The Maryland program, however, did not read PrePass transponders or issue bypass/no-bypass messages to motor carriers only enrolled in PrePass but not in Maryland and/or NORPASS. In addition, carriers enrolled in PrePass are not able to use PrePass transponders for other programs and must enroll in those programs separately.
As of June 2004, a total of 281 companies had enrolled in the Maryland Electronic Screening Program and a total of 2,181 transponders had been distributed.
As of December 2004, the NYSMTA Super Account had enrolled 360 companies in New York with a total of 30,000 transponders distributed (Mark IV Fusion and standard E-ZPass flat packs). Similar numbers for Pennsylvania and Maryland were 150 companies/10,000 transponders and 110 companies/2,500 transponders, respectively.
Evaluation Methodology
The ETC/E-Screening Interoperability Pilot Project evaluation structure is based on standard evaluation practices originally developed by USDOT. The following five evaluation goals were identified:
- Assess the impact of interoperability on motor carrier mobility.
- Assess the impact of electronic screening on motor carrier safety.
- Identify industry and government efficiency gains from ETC/E-screening. Assess the impact of electronic screening on the environment, in particular, reduction in diesel emissions.
- Assess overall customer satisfaction, both government and industry.
For each evaluation goal, hypotheses were formulated to identify anticipated impacts to the system. One or more measures of effectiveness (MOEs) are associated with each hypothesis to assess the accuracy of the hypothesis. Required data and data sources are identified for each MOE. The goals, hypotheses, MOEs, and data sources identified for each study for the evaluation of the ETC/E-Screening Interoperability Pilot Project are summarized in Table ES-1.
| Goal | Hypothesis | MOE | Data Sources or Requirements |
|---|---|---|---|
| Improve mobility at weigh stations and toll collection facilities. | ETC and E-screening will improve the mobility of transponder-equipped commercial vehicles at weigh stations and toll collection facilities. | Travel time through facilities. Travel time variability through facilities. Number of commercial vehicles passing through weigh stations per day. |
Field measurement of travel times and travel time variability
through facilities. Field counts of commercial vehicles. Weigh station records. |
| Improve safety. | Carriers with transponders will maintain compliance with
safety standards. Enforcement personnel will be better able to identify non-compliant or unsafe carriers. Crash rates involving commercial vehicles will be reduced at both weigh stations and toll facilities. Station closings due to ramp backups onto the mainline when station is operating at capacity based on traffic volume will be reduced. |
Number of compliant carriers with transponder inspected
per day. Out-of-service rates for transponder-equipped and non-transponder-equipped vehicles. Crash rates. Number of times stations must close per day due to ramp backups when stations are operating at capacity based on traffic volume, and duration of closures. |
Enforcement records/ out-of-service reports. Weigh station records. |
| Improve efficiency of motor carrier operations for government and industry. | Data sharing will improve inter-agency coordination,
thereby improving efficiency of motor carrier operations. Enforcement agencies will establish standardized criteria for bypass, inspection selection, and other enforcement activities to improve identification of non-compliant carriers. |
Costs associated with reduced fuel consumption and travel
time. Costs associated with enforcement activities (number of enforcement officials, hours of operation). Number of inspections on one trip. Agency procedures and policies. |
Calculations of yearly fuel and travel time savings for
industry. Enforcement agency records. Agency documents on enforcement policies and procedures. |
| Reduce fuel consumption and emissions at toll facilities. | The use of one transponder for both ETC and E-screening
will help promote industry acceptance and use. Drivers will perceive a time savings association with use of the technology. Enforcement officials will benefit from the carriers’ use of the technology. |
Industry acceptance/ endorsement of technology. Incentives offered by state agencies to encourage use of transponders. Drivers’ perceived time savings. Enforcement officials’ assessment of technology and perception of benefits. |
Surveys/interviews/Focus groups with motor carriers, drivers, and enforcement officials. |
Detailed test plans were developed for each of the evaluation components proposed for the evaluation of the ETC/E-Screening Interoperability Pilot Project.7 Each test plan defined the objective, approach, and work steps for each evaluation component, as summarized below:
- Mobility Test Plan. Investigate mobility improvements in terms of travel time through facilities and the volume of trucks processed per day at the weigh stations.
- Safety Test Plan. Document the improvements in safety enforcement and carrier compliance with safety standards.
- Operational Efficiency Test Plan. Examine the impacts of interagency coordination on motor carrier operational efficiency.
- Environmental Test Plan. Examine the environmental impacts from reduced waiting times at toll and weigh station facilities.
- Customer Satisfaction Test Plan. Investigate the level of improved customer satisfaction resulting from more convenient payment of tolls and screening process improvements.
- Institutional and Technical Challenges/Lesson Learned Test Plan. Identify the lessons learned from both institutional and technical challenges.
Data collection for the evaluation included two components: quantitative data on CMV travel times at toll facilities and weigh stations, and qualitative data on project impressions and experiences from the state transportation and enforcement personnel, motor carriers, and drivers involved with the project. Table ES-2 presents a summary of field data collection activities.
| State | Location | Facility | Collection Dates |
|---|---|---|---|
NY |
Albany: I-90 at Exits 23 and 24 | Toll |
October 16-17, 2002 |
| NYC: I-95 George Washington Bridge | Toll |
Archived data from Port Authority of NY-NJ for 2002
through 2003 inclusive; also from January - August 2004 |
|
| NYC: I-87/I-287 Tappan Zee Bridge | Toll |
December 14, 2004 | |
MD |
Perryville: I-95 near Exit 93 | Toll |
October 23 - 24, 2002 |
| Perryville: I-95 near Exit 93 | Weigh Station |
October 22 - 23, 2002 | |
| Hyattstown: I-270 near Exit 22 | Weigh Station |
December 2 - 3, 2002 | |
| West Friendship: I-70 near Exit 80 | Weigh Station |
December 9 - 10, 2002 | |
| New Market: I-70 near Exit 62 | Weigh Station |
January 21 - 22, 2003 | |
CT |
Union: I-84 near Exit 73 | Weigh Station |
May 19, 2003 |
| Greenwich: I-95 near Exit 2 | Weigh Station |
May 21, 2003 |
Before project qualitative data was collected through industry focus groups conducted in New York and Maryland. A total of four focus groups were conducted, with separate focus groups in each state for drivers and motor carrier company representatives. The results of the focus groups were used to develop industry survey instruments for after project qualitative data collection.
A before project focus group was conducted with enforcement personnel in Maryland, and a before project survey was conducted with Connecticut enforcement personnel. An after project focus group was conducted with the Maryland Transportation Authority Police (MTA). No other after project data was collected from the enforcement community due to the fact that no other weigh stations outside of the Maryland Transportation Authority (MdTA) Perryville facility had deployed E-screening capabilities.
Evaluation Findings
Following are the summary findings resulting from this Pilot Project:
- Finding #1: The Pilot Project successfully demonstrated that interoperable applications using a single transponder are both technically and institutionally feasible. Motor carriers have been able to use the Mark IV Fusion transponder for both ETC in New York and Maryland and E-screening in Maryland. In addition, the working relationship established between the Maryland Electronic Screening Program and NORPASS has enabled motor carriers to successfully participate in two separate E-screening programs.
- Finding #2: The Pilot Project successfully demonstrated that the CVISN model of electronic screening, where motor carriers are issued a transponder but not given a guarantee that simply having the transponder will result in a weigh station bypass, is both technically and operationally feasible. The Maryland Electronic Screening Program does not pre-screen carriers to determine bypass eligibility, and instead relies on information contained in a motor carrier snapshot downloaded to the electronic screening computer at Perryville. Bypass determinations are made based on the information contained in these snapshots, and these determinations are made on a real-time basis using this data. Both motor carriers and the MdTA enforcement personnel stationed at Perryville confirmed that trucks were being issued electronic bypass messages (green lights) during E-screening operational periods.
- Finding #3: The results of the mobility and efficiency tests demonstrate that interoperable applications do result in quantifiable benefits to the motor carrier industry. These results also demonstrate that the greater the number of interoperable applications incorporated into a single transponder, the greater the benefit to industry and the greater the potential incentives for industry to obtain transponders and participate in these programs. The estimated benefits realized by industry through participation in ETC and E-screening, when combined through interoperability, double in value.
- Finding #4: The application of ITS/CVO technologies and systems produces significant environmental benefits through reduced truck idling and emissions. The environmental benefits obtained through the deployment of ITS in general, and ITS/CVO in particular, increase the potential sources of funding that a state is eligible to use and also expands the stakeholder community beyond Departments of Transportation (DOTs) and enforcement agencies. This is particularly true for states with significant non-attainment areas - an ITS/CVO deployment that also produces an environmental benefit will be of interest to Metropolitan Planning Organizations (MPOs) and state environmental agencies, and may enable a state to use sources of funding such as from the Congestion Mitigation and Air Quality (CMAQ) Improvement Program.
Lessons Learned
Following are the summary lessons learned:
- Lesson Learned #1: Flexible Approach to Project Management. Without question, one of the key successes of the project has been the flexible approach to project management adopted by the project team. This approach supported the mid-term project review that resulted in the re-scoping of the project to eliminate the transponder subsidy for the motor carrier industry and to reallocate funds to support the development of on-line program enrollment capabilities. This flexible approach also enabled the project team to leverage the policy changes that enabled the creation of super accounts, thus enabling the creation of Best Pass, PrePass Plus, and the extensive outreach efforts by MMTA and NYSMTA to promote their super accounts.
- Lesson Learned #2: Need for Process Re-Engineering. The ETC/E-screening project has demonstrated the importance of process re-engineering to support the deployment of new technologies and systems. With respect to E-screening, the process re-engineering issues include:
- Integrating that the new system into existing agency planning, budget, and Information Technology (IT) support processes.
- Ensuring that the new system is integrated into agency business processes and is not deployed as a stand-alone system.
- Use established State IT methodologies and project management to support system development. This will also help ensure that the system is integrated with existing systems.
- Include a human factors assessment that integrates the new system into the daily work processes of staff that will be using the system.
Recommendations
Following are the recommendations suggested for further study:
- Recommendation #1: Expand the Environmental Impact Assessment. It is recommended that consideration be given to conducting a more comprehensive environmental impact analysis using actual emissions data. If implemented, this test would be conducted by outfitting commercial vehicles (CV) with equipment that measures actual emissions, and then having these CV pass by weigh stations and toll plazas. The test would measure the difference in emissions from a bypass at a weigh station as compared to entering a weigh station and passing through a sorter ramp or the static scale. The test for ETC would be done in a similar manner by capturing the emissions difference from using ETC as compared to stopping at a plaza and paying cash.
- Recommendation #2: Conduct Expanded Safety Analysis. As discussed in the text of the report, the data needed to conduct the Safety Test was not available during the period of performance for the evaluation. It is further recommended that consideration be given to conducting the Safety Test when the degree of market penetration transponders being used for E-screening applications has reached the point where statistically valid data can be obtained. As an alternative, consideration may be given to obtaining data from an existing program to conduct the test.
- Recommendation #3: Expand Interoperability Applications. The results of the Efficiency Test indicate that the best way to promote the use of transponders in commercial vehicles is to expand interoperable applications. The economies of scale generated by interoperability offer a strong potential value added service to motor carriers, and it is this added value that will attract industry.
- Recommendation #4: Identify Additional Opportunities for Expanding Interoperability. It is recommended that consideration be given to identifying additional opportunities for expanding interoperability. The Eastern Seaboard is home to some of the more congested regions of the country. As freight movement increases, it is vital to identify additional opportunities for using transponders to assist with congestion mitigation and management at seaports, airports, and intermodal facilities. Increased transponder usage, in addition to applications such as ETC and E-screening, offers one option available to the I-95 Corridor Coalition member states to expand interoperability within the region.
1Accessed from ITS America online newsletter published May 19, 2005: http://www.itsa.org/ITSNEWS.NSF/0/9fa7d2b984e1bd1a852567760049af0b?OpenDocument.
2CVO Committee Meeting Minutes, San Antonio, Texas, March 2 - 3, 2000. Accessed from: http://www.itsa.org/committe.nsf/0/91ec1f28b28ceba2852568cc0051d8ec?OpenDocument.
3PrePass Update online newsletter published July 2002, accessed from: http://www.prepass.com/monthly_updates/jul2002.htm.
4Maryland Motor Carrier Portal, accessed from: http://170.93.140.16/mdot/mmcp/escreening/index.html.
5Ibid.
6NORPASS members include Connecticut, Georgia, Idaho, Washington, Oregon, Alaska, North Carolina, and the Canadian province of British Columbia.
7ETC/E-Screening Interoperability Pilot Project: Detailed Test Plans, July 2002.