Interoperability Requirements, Standards, or Performance Specifications for Automated Toll Collection Systems, 53736-53742 [E7-18529]

Agencies

• Federal Highway Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 72, Number 182 (Thursday, September 20, 2007)]
[Proposed Rules]
[Pages 53736-53742]
From the Federal Register Online via the Government Printing 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 
https://dmses.dot.gov/submit or fax comments to (202) 493-2251. 
Alternatively, comments may be submitted to the Federal eRulemaking 
portal at https://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 https://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: https://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) https://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: https://
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, https://
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; https://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: https://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