the impact of emerging technologies on the silicon valley

Briefing Paper:

The Impact of Emerging Technologies on the

Silicon Valley Express Lanes

Authors

Nick Wood and Jason Wagner

Texas A&M Transportation Institute

February 2016

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Contents

Executive Summary ...................................................................................................................................... 3

Silicon Valley Express Lanes .......................................................................................................................... 5

Workshop Summary ..................................................................................................................................... 7

Emerging Technologies ................................................................................................................................. 8

Electronic Tolling ....................................................................................................................................... 8

Communication Systems........................................................................................................................... 8

Mass Transit and Other Users ................................................................................................................... 9

Active Traffic Management (ATM) ............................................................................................................ 9

Automated and Connected Vehicles ...................................................................................................... 10

Principles and Best Practices for Adoption ................................................................................................. 11

Additional Assessment ................................................................................................................................ 13

Future Steps ................................................................................................................................................ 14

Acknowledgements ..................................................................................................................................... 14

References .................................................................................................................................................. 14

Appendix A: Workshop Proceedings ....................................................................................................... A-1

Attendee List ............................................................................................................................................. A-2

Appendix B: Expert Panel Briefing Packet ................................................................................................ B-1

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Executive Summary Express lanes are a type of facility that provides preferential treatment for specific users. These lanes can provide special access for transit, carpools, motorcycles, low-emission vehicles, and vehicles that pay a toll. The Silicon Valley Express Lanes, administered by the Santa Clara Valley Transportation Authority (VTA), is the regional vision for express lanes within Santa Clara County. Currently, the SR 237/I-880 Express Lanes have been in operation since March 2012, and future plans call for express lanes to be expanded on SR 237 (western expansion), US 101, and SR 85. In the future, technological advancements are expected to greatly impact the design, operation, and implementation of the Silicon Valley Express Lanes. VTA will encounter a shorter development cycle that places more emphasis on open standards and less on strict contract language. Express Lane travelers will have a greater expectation for performance enabled by rapid feedback from connected devices and shorter media cycles. Successful programs must show that failing to respond to change, or market demand, may cause undue financial strain and public perception problems. VTA may not have a fully developed business and operational process in place to react to fast-paced changes, and assessing what technologies can have the greatest impact is a challenge. However, despite these challenges, opportunities exist for VTA to develop partnerships toward helping to adapt to emerging technologies. VTA staff recognized that technology can significantly influence their Express Lane program. Staff realized that feedback from the technology sector was needed to understand how to better adapt to future changes. A workshop was held on October 9, 2015 to ask experts how VTA can best invest in technology infrastructure amid uncertainty for the Silicon Valley Express Lanes. The attendees for the workshop formed an expert panel that provided guidance for VTA staff. The expert panel consisted of 29 individuals who represented small and large technology companies, government agencies, enforcement personnel, and financial service industries. The seven-person project team presented short plenary presentations that provided a high-level overview of five topic areas. The topics addressed during the workshop were:

Electronic tolling (ISO 18000-6c, satellite, GNSS, switchable transponders).

Communication systems (wireless, 4/5G, LiDAR, fiber-optic capacity).

Active traffic management (dynamic lane use control, variable speed limits).

Mass transit (private on-demand buses, transportation network companies).

Automated and connected vehicles. The expert panel provided guidance throughout the workshop during breakout sessions and a large group discussion. During each interactive exercise, the panel was presented with three key questions that encapsulated the purpose for the workshop. Panelists were divided into three groups of roughly 8–10 attendees, and each group was assigned to respond to a key question. The three key questions presented during the workshop were:

1. How does VTA future-proof technologies that are about to be implemented? 2. What metrics need to be assessed for evaluating future systems? 3. How can VTA minimize throwaway of technologies?

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The large group discussion provided an opportunity to converge on key findings for VTA to take forward when assessing the impact of emerging technologies. The seven key findings derived from the workshop activities were:

1. Start visioning to determine their beliefs, goals, objectives. 2. Assess who is best suited to handle risk within a contract, and allocate risk accordingly. 3. Understand that technology can leapfrog governments if they are insufficiently nimble or too

slow to develop. 4. Collaborate with other agencies to avoid doing the same task. 5. Follow the grandma rule—easily explain how a process or technology works as to one’s

grandmother. 6. Address equity concerns because technologies are not always affordable or available. 7. Understand that innovation comes incrementally, and that lessons learned from pilot projects

can be integrated before scaling into a greater program. Any further analysis or discussion should incorporate the involvement of the expert panel that was present for the October 9, 2015 workshop. Workshop attendees consisted of a very diverse set of backgrounds that provided valuable insight to the VTA. The expert panel had individuals who were better versed and more knowledgeable about specific technologies than VTA staff could readily provide. Incrementally, VTA should reach out to the expert panel to gauge their opinion regarding the current direction of the Silicon Valley Express Lanes program and whether VTA should invest in specific technologies or change any current arrangements. A regular meeting should be held annually, or every few months, to establish a means for recurring conversation and keep updated with advances in technology. A more detailed, in-depth dive into the impact of one or two specific technologies may also be useful for the VTA to pursue. For example, the expert panel could review tech specifications and standards that may be part of the Silicon Valley Express Lanes Program. A probing question asked to the panel might be: What distinguishing criteria would make a technology suitable for the Express Lanes? Criteria may include a cost estimate based on a specific threshold, VTA’s existing knowledge about that technology, and what other attributes of the Express Lane program would have to be swapped out, or changed, to adapt to the new technology. Another task could be the creation of open standards that allow private vendors to participate in a VTA-led program. For example, the panel could help to define specifications for smartphone apps that could verify carpools traveling in the Express Lanes. An open system would allow VTA to partner with many entities and also help to establish a partnership with traditional mass transit services.

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Silicon Valley Express Lanes Managed lanes are designated lanes and roadway facilities located on or adjacent to controlled access urban highways that are actively operated and managed to preserve preferential service over comparable general traffic lanes. The practice of reserving some roadway lanes to actively manage traffic began in the early 1970s as a result of congestion that started to outpace available urban roadway capacity. A lack of space to continue widening freeways, explosive growth in demand, environmental and funding constraints, and lack of public will to continually expand existing urban roadways led to a perspective that some areas could not build their way out of congestion.

Figure 1. Schematic of Express Lane

The Silicon Valley Express Lanes are currently in operation near the interchange of SR 237 and I-880. The lanes extend for 4 miles westward on SR 237 from I-880 (to Lawrence Expressway in the westbound direction) and include direct connect ramps that link SR 237 and I-880 together. The SR 237/I-880 Express Lanes have been in operation since March 2012, and the average driver can save up to 14 minutes per trip during peak periods. Carpools of two or more people (high occupancy vehicles [HOVs]) are allowed to use the lanes toll-free during peak periods, and single-occupant vehicles (SOVs) can use the lanes by paying a toll. The amount of the toll for SOVs varies based on real-time traffic congestion. Usually, the toll varies between $2.00 and $4.50 during a typical stop-and-go commute, going to a high of $7.00 per trip. At times, SOVs are restricted from using the Express Lanes when too many HOVs are in the lane and the HOV Only mode is activated. To use the lanes, travelers look at overhead signs that are placed at both ends of the facility and enter at permissible locations. The signs show the toll rates to travel to specific exits (HOV Only is displayed in place of the toll amount during times of HOV Only operation). Double white striping separates the express lanes from the adjacent general purpose lanes. Drivers can enter the facility at locations where a single dashed white line is indicated on the pavement. Locations where a double white striped line exists indicate places that do not permit crossing into the adjacent lane. Gantries are placed along the Express Lanes that are equipped with tolling and camera equipment that enable users to be charged for use and

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for monitoring and enforcement. A schematic of how toll gantries work for the Express Lanes is shown in Figure 1. VTA has the following goals for the Express Lane program:

More efficient use of existing roadways.

Provides a new, reliable travel option.

Provides a new revenue stream for transportation and corridor improvements. Going forward, plans are being developed to expand the Silicon Valley Express Lanes further westward on SR 237, US 101, and SR 85. Phase 2 of the SR 237 Express Lanes is expected to open for service in late 2018, and the SR 85/US 101 Express Lanes are expected to start operating early 2020. Figure 2 shows a map of the planned Silicon Valley Express Lanes.

Figure 2. Map of the Silicon Valley Express Lanes

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Workshop Summary VTA hosted a workshop on October 9, 2015, that assessed how the agency could better anticipate the impact of future technologies on the Silicon Valley Express Lanes. The workshop started in the morning and extended for five hours. Attendees for the workshop included 20 active participants (who formally were the expert panel), 9 observers, and 7 facilitators. The organizations represented at the workshop included individuals from the following organizations:

Alameda County Transportation Commission

AmigoCloud.

Arada Systems.

Bay Area Toll Authority.

California Department of Transportation.

California Highway Patrol.

Chuck Fuhs, Independent Consultant.

Cisco.

County of Santa Clara.

Federal Highway Administration.

HNTB.

JP Morgan.

McHenry Engineering.

Metropolitan Transportation Commission.

MetroTech.

Microgrid Labs.

Prospect Silicon Valley.

Qualcomm.

San Mateo City/County Association of Governments.

San Mateo County Transportation Authority.

Santa Clara Valley Transportation Authority.

Savari Networks.

Texas A&M Transportation Institute.

Transportation Corridor Agency. Presentations occurred at the beginning of the workshop that provided a general overview of managed lanes, the current status of the Silicon Valley Express Lanes, and the future plans for the network. Short plenary presentations followed that detailed five topical areas focused on different technologies. The topics addressed during the workshop were: electronic tolling, communication systems, active traffic management (ATM), mass transit, and automated and connected vehicles. Breakout sessions immediately followed that provided for facilitated discussion. Small groups attempted to answer three key questions that formed the purpose for the workshop. The three questions were:

1. How does VTA future-proof technologies that are about to be implemented? 2. What metrics need to be assessed for evaluating future systems? 3. How can VTA minimize throwaway of technologies?

Facilitators took notes and guided discussions throughout the workshop. At the end, all the smaller groups formed into a larger group discussion to answer questions about key concepts, what improvements could occur for the Express Lanes, and next steps toward an action plan.

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Emerging Technologies The project team selected the list of technologies before the workshop. The project team developed an informational packet that provided an overview of different technologies and made short presentations during the workshop. This section presents findings from the panelists that include common themes and issues participants raised during the workshop, in response to the specific attributes of each technology presented by the facilitators.

Electronic Tolling Traditionally, agencies can collect tolls through a variety of methods, including: cash; traditional electronic tolling using transponders at fixed locations; and other electronic collection methods using multiprotocol readers, global positioning system (GPS)-based collection, or video collection. California currently relies on traditional electronic collection through transponders, as part of the FasTrak® system. Several participants mentioned the idea of using smartphones as a means of toll collection. However, a few panelists had questions on how to integrate smartphones into existing systems. A common suggestion was that an integrated technology should be simple for users to adopt and understand, no matter which technology or system is used. Several comments focused on payment methods being a source of desirable innovation, either a universal transportation payment method or the utility of having multiple payment methods. An example of a universal payment system is the Clipper Card administered by the Metropolitan Transportation Commission. A payment system that combines, or at least connects the Clipper Card with the FasTrak toll transponder would lessen the need for users to check multiple accounts. Additionally, VTA could establish an awards program that provides for a free SOV trip given a certain number of carpool or transit trips.

Communication Systems Communications systems are the infrastructure and processes that enable field equipment to communicate with a remote data service center. Figure 3 shows a typical design for an electronic toll system that includes components connected through both wired and wireless communications. Many comments were raised during the small group discussions. A panelist stated that existing public sector technologies and services are being supplanted by private services and technologies. For example, 511 information and poll-mounted signs are somewhat redundant to other technologies such as Waze and other apps. That panelist also indicated that users tend to prefer using private services compared to systems principally developed public agencies. The panel agreed that VTA should focus less on developing communications systems technology, since it was not a core business focus and concentrate more on tolling. Many comments and questions focused on methods that VTA could use to leverage the capability and market penetration of smartphones. For example, a smartphone can be used as a means to communicate directly with customers instead of relying on the expensive installation of overhead signage. Similarly, several comments mentioned using on-board infotainment systems as a way to communicate directly with customers. A common sentiment from the panel was that developing custom tools is expensive and risky—why reinvent the wheel? Participants thought VTA should use existing technologies, standards, and systems as much as possible.

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Figure 3. Electronic Toll System Design (Source: Prospect Silicon Valley)

Mass Transit and Other Users Managed lanes are increasingly providing options and services that enhance mass transit for communities, including providing supporting infrastructure, services, and integrating payment systems. VTA should realize the recent emergence of many different ridesharing services and expect other new services introduced in the near-term future. The panel suggested that VTA could develop a broad-based program that allows many rideshare services to participate and receive rewards and discounts. VTA can develop a list of criteria for vendors to participate and help to establish a partnership with traditional mass transit services. The group discussion had a few suggestions relating to transit. When discussing metrics, the group hit on the idea that VTA should focus on: (1) defining its goals and objectives for the managed lanes and (2) measuring activities in relation to their ability to achieve that goal. Any transit or other uses of the lanes should enable VTA to reach goals in a measurable way. Similarly, any uses of new or innovative technologies in mass transit should have metrics measuring their success at enabling VTA to achieve their organizational goals.

Active Traffic Management (ATM) ATM uses a combination of congestion management techniques to dynamically manage traffic based on current and near-term expected conditions. The goal is to maximize the efficiency of a road and the effectiveness of several strategies to delay the onset and intensity of traffic congestion. Leveraging these technologies into existing express lane systems can improve the operation of both the managed lane and other adjacent main lanes. Throughout the workshop, a few comments arose that may apply to the idea of ATM. A few participants felt it possible, and even likely, that the USDOT’s connected vehicle (CV) system could facilitate ATM strategies through CV-based mobility applications. One panelist felt VTA should monitor these

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technologies as they develop, keeping an eye on any potential uses that would help VTA meet its goals. Some participants noted that when evaluating new strategies and technologies for deployment, VTA could learn from other agency’s experiences before purchasing and installing costly equipment.

Automated and Connected Vehicles Two emerging vehicle technologies have great potential to disrupt the vehicle market and transportation system: automated and connected vehicles. These two technologies represent the potential for dramatic improvements in transportation safety, fuel efficiency, environmental outcomes, mobility, and accessibility. These systems are in their infancy, but rapidly developing at an accelerated rate. Panelists raised a few intriguing comments and questions during the workshop relating to automated and connected vehicles. Figure 4 shows and lists that capabilities of autonomous vehicles.

Figure 4. Autonomous Vehicle Capabilities (Source: University of Michigan Transportation Research Institute)

Most of the discussion regarding connected and automated vehicles was limited due to a lack of industry standards that define how autonomous vehicle will react and how connected vehicles will communicate. However, the panel did provide VTA with useful overall insight. One participant asked if automated or connected vehicles would need dedicated lanes. The following discussion addressed topics related to how vehicles could exchange information with infrastructure, enabling integration with existing intelligent transportation systems. Attendees expressed critical concerns about slow response from government and believed the private sector would “leapfrog government regulations and programs if they are insufficiently nimble or too slow to develop.” Other comments suggested the value of automating everything for consumers and noted that consumers do not want to make complex decisions.

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Principles and Best Practices for Adoption Throughout the workshop, panelists gave useful suggestions for how VTA could future-proof technologies. In addition, panelists provided a wide variety of related advice to aid in evaluating, procuring, and using new technologies. The following is a brief synthesis and summary of some of the most salient and frequently mentioned advice. Keep Things Simple… for VTA VTA should focus on its core businesses and spend energy evaluating its performance. The agency should have a clear vision and objective for the express lanes, and then make decisions that will help the organization reach the vision and objectives. User performance measures could be used to assess progress toward meeting the vision and objectives. A frequent piece of advice was to buy new technologies cautiously and only after thorough evaluation. Pilot programs, for example, provide limited risk and quick experience and results, enabling better-informed decision making. The agency could also reduce costs and risk by partnering with the private sector and other public agencies. Keep Things Simple… for Users VTA should focus on making things as simple as possible for users. The agency should attempt to automate functions and processes for the end-user. Decisions about services or options should not require much thinking. Customer relations could be improved by communicating more frequently and clearly with users. Changes should be very simple much like easily explaining the change to your grandmother (known as the grandmother rule). Incremental steps are preferable to rapid change. Customers want information, and VTA should provide it and get feedback about what aspects customers like or dislike. These data can inform agency performance measures and metrics about the suitability and practicality of new technologies. Principles for Evaluating and Adopting New Technologies Several principles were offered for evaluating and adopting new technologies. VTA should attempt partnerships with private entities and seek pilot programs as a way to manage risk, lower costs, and minimize throwaway of existing technologies. New technologies should be evaluated holistically to assess fit within existing agency vision and objectives. Incremental changes are typically viewed as preferable to radical change. Slow and small changes involve less risk and are easier to adapt to. Organizations have to balance the reward of seeking to be first to adapt a new technology, with the risk of requiring more resources toward acquiring and integrating new technologies. If others decide to attempt a new strategy, lessons can be derived and fewer resources can be expended on technologies that may not be appropriate. VTA should ensure the practicality of new technologies before making a purchase. Do not pursue an upgrade if existing technology works well and if customers are satisfied.

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Proposed Metrics for Evaluating New Technologies The panel proposed a variety of performance metrics and measures for evaluating new technologies. These measures are recommended to augment system goals and should be used to establish a baseline given current conditions. The adoption of new technologies can be evaluated over time with the same general metrics to ensure consistency for the public and users of the Express Lanes. Some specific suggested metrics include:

Travel time savings.

Speed.

Adaptability (qualitative ratings).

Simplicity (qualitative ratings).

Implementation costs.

Operational costs.

Maintenance costs.

System reliability (qualitative ratings).

Enforcement effectiveness (violation rates).

Customer satisfaction (qualitative ratings).

Contracting Best Practices for New Technologies The panel recommended several best practices for new technologies. Many panelists identified the importance of having clear contracting language when purchasing or leasing new technologies. For legal agreements, VTA should carefully review how risk is allocated, and ensure the contract clearly establishes who is responsible for what and who is liable for any harms. VTA should also focus on building trust with your partners, both in the public and private sectors. Trust can provide dividends over a long-term period. When possible, VTA should consider using super contracts for extended or lifetime services that transfer risk to the vendor. Comments on Specific Technologies During the workshop, panelists provided insight on the role and impact that specific technologies could have on the implementation and operation of the Express Lanes system. Some panel members expressed that fiber is too expensive to install and may provide limited long-term value. Existing communication systems could be supplanted by advances in wireless telematics, particularly the introduction of 5G. Other panelists noted that connected and autonomous vehicles were poised to revolutionize the transportation industry. However, hypothesizing the impact is unclear given the unknown about specifics for how the vehicles will move with respect to the rest of the transportation system, in addition to wide speculation about future market penetration. Going forward, VTA should monitor these technologies developments and changes that could impact core businesses. Finally, the ubiquity and utility of smartphones should not be underestimated. Mobile devices are a powerful tool with wide market penetration and have great potential toward a variety of purposes. Panelists recommended VTA evaluate the possibility for integrating mobile devices before investing in other, new technologies.

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Additional Assessment The research team identified an evaluation framework, developed as part of another research project that could be useful to VTA staff beyond the workshop discussion. Recent research from NCHRP Report 750, entitled Strategic Issues Facing Transportation – Volume 3: Expediting Future Technologies for Enhancing Transportation System Performance, developed a process for agencies to identify, evaluate, shape, and adopt new and emerging technologies that will help agencies to achieve long-term transportation goals. The framework proposed is called the Systematic Technology Reconnaissance, Evaluation, and Adoption Methodology (STREAM). The process accounts for the evolutionary nature of technology and addresses the problem through an explicit step-based approach. There are five key steps outlined in the report:

1. Frame. 2. Identify. 3. Characterize. 4. Compare. 5. Decide.

Figure 5: The Major Steps in the Stream Process (Popper et al., Pg. 2)

The STREAM process can serve as a qualitative guide for VTA toward assessing the impact of new technologies on the Silicon Valley Express Lanes. Each step within the STREAM framework has a series of assessment questions. Figure 3 shows the questions that are associated with the five steps. These questions help to provide a basis of evidence for agencies and stakeholders toward making decisions about pursuing new technology. The framework characterizes issues in common terms, so a fair evaluation can be done to assess specific technologies on a level field. The main goal of STREAM is for agencies to use it as a best practice guide for addressing the role of technology in the design and operation of transportation facilities.

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Future Steps VTA can apply the key workshop takeaways toward a more comprehensive analysis that details how specific technologies may impact key program functions. An introspective analysis should consider the constraints and possible conflicts between agency, regional, and statewide policies. A high-level characterization may also be beneficial toward defining the appropriate role of partnering government entities and the private sector – especially for handling risk in delivering projects and administering programs. A basic cost-benefit analysis can provide a quantitative estimation of the financial impact and help VTA toward making a decision about which technologies to pursue. Any further analysis or discussion should incorporate the involvement of the expert panel that was present for the October 9, 2015 workshop. Workshop attendees consisted of a very diverse set of backgrounds that provided valuable insight to the VTA. The expert panel had individuals who were better versed and more knowledgeable about specific technologies than VTA staff could readily provide. Incrementally, VTA should reach out to the expert panel to gauge their opinion regarding the current direction of the Silicon Valley Express Lanes program and whether VTA should invest in specific technologies or change any current arrangements. A regular meeting should be held annually, or every few months, to establish a means for recurring conversation and keep updated with advances in technology. A more detailed, in-depth dive into the impact of 1-2 specific technologies may also be useful for the VTA to pursue. For example, the expert panel could review communication specifications and standards that may be part of the Silicon Valley Express Lanes Program. Such questions may include: What distinguishing criteria would make a wireless technology suitable for the Express Lanes? Criteria may include a cost estimate based on a specific threshold, VTA’s existing knowledge about that technology, and what other attributes of the Express Lane program would have to be swapped out, or changed, to adapt to the new technology.

Acknowledgements The authors of this briefing paper would like to thank the additional project team members, who were Murali Ramanujam and Casey Emoto from VTA, Chuck Fuhs (Independent Consultant), and Rajiv Mathur and Doug Davenport from Prospect Silicon Valley. These individuals were necessary to develop the workshop agenda, identify key industry experts, and prepare supplementary material.

References Popper, Steven; Kalra, N; Silberglitt, Richard; Molina-Perez, E; Ryu; Y; Scarpati, M. NCHRP Report 750

Volume 3: Expediting Future Technologies for Enhancing Transportation System Performance. 2013.

National Cooperative Highway Research Program. Washington, D.C.

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Appendix A: Workshop Proceedings

Workshop Proceedings

Anticipating How Future Technologies

Could Impact the Silicon Valley Express Lanes

VTA Auditorium

3331 North First Street

San Jose, CA 95134

October 9, 2015

Rapporteur

Jason Wagner

Texas A&M Transportation Institute

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Attendee List

Panelists Affiliation

John Benson Microgrid Labs

Captain Spencer Boyce California Highway Patrol

Ragi Burham AmigoCloud

Brandi Childress Santa Clara Valley Transportation Authority

Matt Click HNTB

Blake Culberson MetroTech

Jamison Feheley JP Morgan

Edward Fok Federal Highway Administration

Steven Jasmin MetroTech

Samuel Johnson Transportation Corridor Agency

Bruce McHenry McHenry Engineering

Gary Miskell Santa Clara Valley Transportation Authority

Ashok Moghe Cisco

Ananth Prasad County of Santa Clara

Paul Sakamoto Savari Networks

Vinay Thadani Arada Systems

George Wong Qualcomm

Nicholas Yee Metropolitan Transportation Commission

Beth Zelinski Bay Area Toll Authority

A-3

Observers Affiliation

Marshall Ballard Santa Clara Valley Transportation Authority

Valerie Contreras Santa Clara Valley Transportation Authority

Joe Hurley San Mateo County Transportation Authority

Vivien Hoang Federal Highway Administration

Lisa Klein Metropolitan Transportation Commission

Paul Ma California Department of Transportation

Cesar Pujol California Department of Transportation

Jane Shinn Santa Clara Valley Transportation Authority

Sandy Wong San Mateo Congestion Management Agency

Facilitators Affiliation

Nick Wood Texas A&M Transportation Institute

Jason Wagner Texas A&M Transportation Institute

Chuck Fuhs Chuck Fuhs, LLC

Rajiv Mathur Prospect Silicon Valley

Casey Emoto Santa Clara VTA

Murali Ramanujam Santa Clara VTA

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Breakout Session 1

Red Discussion

Question: How do we “future-proof” technologies that are about to be implemented?

The group discussion began with the larger question of defining which technologies that were under consideration.

One panelist stated that “collaborating with the private sector would enable much better data collection”

“When should we adapt existing technologies, and when should we jump ahead to new ones? When should we make the leap?”

A wise investment would be in mapping the infrastructure as precisely as possible, perhaps using Lidar due to its precision.

VTA should work closely on connected vehicle standards, which seem to be a technology that will roll out in the future.

Focusing on standardizing data would help the VTA in the long-term. Before any major investment or a “big leap forward”, VTA should run a pilot program to ensure it

meets their needs and will help them achieve their goals. Should VTA focus more on adapting current technologies or embracing the latest technological

major leap forward? How can the agency get funding to replace existing technologies? Mapping is a new, key technology that VTA should place an emphasis. The next generation of cellular data transmission (5G) would probably be available in the early

2020s, which would have 2 millisecond latency o As a result of this, some participants questioned the wisdom of investing in fiber now. o One asked, “Would fiber just become a redundant technology?”

The discussion then shifted to considering autonomous cars o One participant asked if connected or automated vehicles need dedicated lanes. o Another asked if it would be possible to integrate existing ITS with the rest of the

infrastructure Technologies are moving much more quickly than our institutional network can accommodate.

VTA must be agile enough to move with the rapid changes. VTA should really develop pilot projects and leap out and start trying technologies that are

adaptive.

Blue Discussion

Question: What metric(s) need to be assessed for evaluation of future systems?

This group initially struggled with defining the concept of metrics and penetration of future systems.

The panel started by having a larger conversation about what we are trying to achieve and what we mean by metrics

VTA should adopt metrics that are easy: implementation costs, adaptability, and simplicity. Some things are easy to address and some are not: communications, for example, is easy; tolling is

more complicated. If we go to using smartphones for tolling, that presents enforcement

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challenges. How do you tie these things to actual networks? How do you measure adaptability or simplicity?

Overall, there are two broad types of technologies: communications and tolling o A panelist mentioned that existing public sector technologies and services are being

supplanted by private services and technologies. o For example, 511 information, poll-mounted signs, are somewhat redundant to other

technologies like Waze and other apps, which provide better service. VTA should consider dropping communications and focusing more on tolling, since that is a core

business concept. A difference in costs exists between installing infrastructure versus the operational expenses

related to tolling. The cost of implementing infrastructure is very high. A panelist asked a question related to VTA’s goals: “what are we trying to achieve: penetration,

mobility, and/or revenue?” o They suggested the agency should focus first on mobility and then on revenue

The panel seemed to agree that the agency should focus less on communications, since it was not a core business focus and concentrate more energies on tolling o A participant then argued that metrics for tolling could focus around performance and cost

of on-board unit hardware and tolling infrastructure o Another participant suggested to develop metrics looking at the cost of infrastructure

systems, their adaptability, and user acceptance rate.

Green Group Question: How do we minimize throwaway in technology?

The group struggled initially with the broadness of the question.

They started by discussing whether or not this is limited to infrastructure, or also to end-user devices. o This was not just technology, but also included infrastructure. o Technology is just a piece of the equation, but running fiber down the middle of a road is

very expensive. o “How do you notify the customer about changes in technologies?” o Installing new gantries is a very expensive proposition. o “Future technology could make the new expensive infrastructure obsolete, right?”

Would it be possible to use smart phones as a communication or tolling device? o If the phone were used as a communication device, you might be able to minimize the

amount of signage needed in the future.

“How VTA could increase utilization up front?” o If you need more than just gantries, a diversity of payment options is preferable. o If you collaborate with industry partners, you can decrease costs and share resources.

A member of VTA commented that “we think of ourselves as mobility agencies, and not just a tolling agency”

When you look at it this way, an investment in fiber can become something that serves a core business need, which could change the investment calculus

“How do you partner to deliver fiber, operate and maintain it over the long-run?”

The discussion shifted to the comment about how VTA could focus on its core business needs. o VTA should use or create a standard platform that can be easily extensible.

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o Such a platform makes integration easier and cheaper. o Using open source software to leverage others' investments and sharing costs of developing

new technologies would be helpful.

A panelist queried “If your technology meets your business needs, why throw that away?” o “Just because something better is out there, this doesn't mean you need to get something

better”

“As an agency, do you believe in these emerging technologies enough to impact your capital work program and say that "in year X, we are going to this"? o “How good is your crystal ball?” o Frustrations exist about investments in technology, where agencies are scared of new

technologies coming along that would create waste of our investment.

“From private sector perspective, we work in silos for obvious reasons. Conversations about open source can be problematic. We need to help public sector to minimize their up-front investment while protecting our interests. This can create a shotgun marriage of one firm or another because of proprietary technologies.

The panelists felt that a key takeaway was considering Public-Private Partnerships and Pilot Programs as a means of minimizing throwaway o These are low cost and can enable you to test technologies because we are poor at

predicting the future o It may be best to start with small tests using the current state of the art to see if it meets

your mission objectives o Finally, speak with industry about closing any gaps to meet your objectives

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Breakout Session 2

Green Group

Question: How do we future-proof technology?

A panelist started the discussion by asking if this is about future-proofing, or supporting new tech as it comes out.

“What is Caltrans’ plan for Managed Lanes?” “How should VTA balance the needs of one lane versus the overall network?" What is the overall objective of a managed lane? The question was also asked “How does VTA adopt or adapt to these new technologies?”

o The participant asked “Could you build pieces of it [technologies] now to support its eventual deployment?

A panelist asked “What is the future for the corridor?” o They followed up with “What are your objectives for the corridor?” and, “How can you use

technology to meet those objectives?” “If you're planning on building gantries for the whole road eventually, why not do it now?”

o A participant added that gantry construction on 7 versus 4 lanes can be much more expensive

Acquisition of technologies should be dynamic o They followed up by asking about how communication technologies are changing, and how

VTA can adapt to the new communication technologies. Smartphones are increasingly the central hub, and car companies are designing around it.

However, is it safe to assume that everyone has the technology within their car? A panelist asked if the objective is future-proofing technologies or maximizing benefit-to-cost

ratios. Another panelist argued that you could better show people the value of using the lane in real time

through travel time savings. Should value be placed in providing dynamic re-routing information, since other technologies are

already doing that? The discussion then shifted to autonomous vehicles. o One asked if they could be very highly controlled and travel at higher speeds. o If so, maybe you would dedicate a lane to these vehicles. o Another pointed out that this might be politically difficult.

Would fiber be a good investment since current utilization is already so low? o They pointed out that capacity on fiber networks is around 5%, which does not seem like a

good investment If you use continuous access to the lane, revenue must not be the primary goal

o The benefit, they felt, was that continuous access provides more mobility o Express lanes need to provide a combination of access and mobility.

A panelist asked if it is possible to monetize travel data through aggregation. o Another participant pointed out that Caltrans is already giving the data to Google and Inrix

for free; there wouldn’t be much value in the data. VTA should “know what the long-range plan is for the corridor, and then make decisions based on

that” The private sector should be viewed as partners and less as vendors.

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Red Group

Question: What metric(s) need to be assessed for evaluation of future systems?

The discussion started with participants asking “What information does VTA have that you can use for performance measures?”

VTA should create a baseline of the current situation to help the agency understand the effects of any future changes. o For example, take a good inventory and develop standardized data specifications on your

systems. o They emphasized that VTA should identify the gaps between what they can measure and

what they actually have the data for o One individual added, “Don't reinvent the wheel if you already have the information you

need.” The discussion then shifted to asking “What can VTA actually measure?”

o A few ideas were suggested, including infrastructure, customer satisfaction, and enforcement effectiveness.

o The panel felt VTA should incorporate the driver culture of the US, which might have a lower level of compliance than Germany, for example

Panelists mentioned tolling and enforcement as potential performance measures o A few suggestions for best practices included focusing more on compliance and less on

enforcement, and o Keep it simple when dealing with media and stakeholders

In technical terms, several suggested performance measures arose o A participant felt VTA should keep detailed origin and destination information o Another suggestion included system reliability information o Still another suggested highly detailed mapping data o One participant pointed out that data with this level of detail could raise privacy issues

“Is VTA doing enough to ensure the quality of data from third parties or other data providers?” o An emphasis was made that VTA should talk to end-users about what they are willing to pay

for data The discussion shifted again to the importance of protecting users’ privacy

o One participant mentioned that it is not possible to turn off the on-board unit in a vehicle, which could create data collection concerns if such a method were used

o Another participant pointed out concerns about data specification, that if an individual left the metro area, additional data collection could lead to privacy problems

A panelist suggested using automated license plate readers to collect data from license plates. High-resolution data can produce near-miss data, which is data that increases liability exposure to

public agencies Blue Group

Question: How do we minimize throwaway in technology?

The group began the discussion with the proposition that VTA should never buy anything o The participant stated that waste comes from trying to be first, if you're second, you may

throw away less o The individual felt that the agency can outsource many of their technical issues to the

driver’s cell phone.

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o They felt that VTA probably shouldn't buy a technology if you can get it from a cell phone. The discussion shifted to public-private (and other) partnerships (PPPs) when a participant stated

that the agency should look for partners to decrease costs VTA should make sure that contracts with partners clearly establish liability and who performs

which role. o Another participant stated that the VTA should look for partners in many places, and not

limit itself to the private sector o One individual felt that VTA should talk to other transportation authorities about creating

specifications for technology purchases A good idea is to develop “super-contracts” to guarantee long-term availability of services to shift

risk to vendors o These sorts of contracts would be based on lifetime availability of services

VTA may wish to ask what it is giving up (in addition to costs) when creating a public-private partnership. o They posited that the agency might be giving up data or access to information that is

valuable and marketable A panelist argued that the agency could minimize tech throwaway by sharing the risk with

someone who has a new technology. The group then shifted to discussing the importance of piloting new technologies

o Doing a small low-cost smartphone pilot, for example, is low risk and can have a quick-turnaround. Frequent iterations and a short product life cycle can create additional risk, but also can speed development and build trust between the agency and the client.

The group felt there were four main takeaways: o Buy cautiously o Find partners o Incrementalism is good o Write good contracts

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Large Group Discussion

The afternoon discussion involved the entire group, and started with a broad question: “Has anything

been left out of the discussion thus far?”

The discussion began with the suggestion that VTA should “Start Visioning” to determine its beliefs, goals, and objectives.

What does VTA define as its public role, and how does it fit into the organization’s larger implementation strategy?

“What is it that VTA wants to be, and once that is decided, align technological goals with that objective”

“Does VTA believe in technology”, especially as a good thing in and of itself.

VTA should keep its goals and objectives as simple as possible.

In terms of technologies, simplicity is especially important for users, but less so for the back-end systems. Those often need to be complex and sophisticated.

The discussion then shifted to Contracting with other organizations and Allocating Risk

A panelist pointed out that VTA should be careful to develop good contracts with these entities, and develop trust through incremental projects.

VTA needs to carefully define and decide who will bear what sorts of risk in contracts, but be sure to have the private sector bear part of the risks

Untested technology that does not perform as expected can introduce a large amount of financial risk for VTA.

VTA should focus on which constituents to serve, adding that VTA should follow the “Grandma Rule”. The rule refers to the idea that anything should be easily explainable to one’s grandmother.

In terms of risk, participants emphasized figuring out who is best suited to paying the risk. VTA should assess and define who is best suited to handle risk in a contract, and allocate risk accordingly.

If a new technology is not either a business or operational tool, the risk from the technology should be pushed onto the private sector through leases.

At this point, the discussion shifted to considering System Resiliency and Security.

A panelist asked what pilot opportunities exist in connected and automated vehicles that VTA could consider.

NHTSA has an existing timeline for connected vehicle implementation.

Technology can quickly leapfrog governmental regulations and programs if they are insufficiently nimble or too slow to develop

The USDOT-funded Urban Partnership Agreement (UPA) and Congestion Reduction Demonstration (CRD) programs enabled pilots to test new and innovative applications of pricing technologies. VTA could consider these cases. Opportunities exist for sharing information from other agencies regarding previous pilot tests.

VTA should be prepared for new opportunities for possible future grant applications, considering the time it take to develop new ideas.

One participant asked “How does VTA structure your organization to keep an eye out for new technologies?”

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Another asked if VTA is dedicating staff to systematically identifying and testing new technologies

They recommended that VTA use benefit-cost analyses to aid in selecting new technologies The discussion then shifted to considering Systems and Technological Consistency.

Many agencies are “doing the same thing”, but only sometimes work together o If these agencies could better collaborate, there could be significant savings for the

public sector

A panelist asked if technological and operational consistency need to be broad, that drivers should probably be able to seamlessly transfer from one road network to another with complete understanding of the signing and other operational components.

Users are familiar with the rules on HOV lanes, which were consistent for 20 years. Once changes occurred, drivers were confused and sometimes angry.

Based on the history of express lanes, drivers can adapt to multiple sets of operational rules in a single region.

A panelist mentioned the different naming conventions for the “HOV” / “carpool” concept, which can be confusing to users

Human factors concerns become apparent when drivers operate a cell phone while driving

One individual felt Google Glass could be a missed opportunity to relay such information

A participant asked if connected vehicle systems could be sued to communicate information to drivers.

The infotainment space is rapidly developing, another individual pointed out, which could provide opportunities to relay information to drivers.

Finally, the large group discussion closed with each participant being asked the question, “What one thing could be improved the most for VTA Express Lanes?”

One participant argued that the “holy grail” for express lanes is the ability to use connected vehicle systems to determine vehicle occupancy

o They argued that tiered pricing seems to be the future of pricing, (e.g., differential pricing based on the number of occupants)

o They felt that a connected vehicle system that verified occupancy could enable such a system

VTA should use technology to reduce the cost of enforcement o They felt that current enforcement efforts are inefficient, and automation could greatly

improve the system

Any user-facing technologies need to be “stupid simple”

A panelist stated that “it is easy to change technology, but hard to get buy in from the public”. o They felt that getting public buy in will make decision making much easier

Comments were made that a “universal transportation payment method” would have a huge impact. Such a system would enable seamless payment across transportation modes.

Another participant felt that VTA should move towards greater automation, better communications, and notifications to users of changes.

o They felt the customer could potentially be the ones to pay for service upgrades

The importance of pilot programs was emphasized, that VTA should pursue pilots as a way of trying new technologies.

o They felt that more pilots with shorter times would build trust and result in better technologies

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“Keeping it simple” is an important concept. o They felt that it was important for a grandmother to be able to visit and easily

understand the managed lanes o They wanted signage to be simple and clear for all users

VTA should link commuter lanes across the valley, that a person can go anywhere in the valley and be able to seamlessly travel on express lanes and commuter lanes

A panelist emphasized the importance of “automating everything”. o They added that “People don’t want to think through these issues, you want it to be

automated and simple where the person can easily understand.”

Equity concerns should be addressed – technologies are not always affordable or available to all persons, especially those in low-income communities.

A final comment emphasized that automated and connected vehicles are moving and changing rapidly, that VTA should monitor these for their developments and possible uses on managed lane facilities.

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Appendix B: Expert Panel Briefing Packet

Anticipating How Future Technologies

Could Impact the Silicon Valley Express Lanes

Workshop for the Santa Clara Valley Transportation Authority Friday, October 9th, 2015

Briefing Packet for Panelists

Project Team Nick Wood, Texas A&M Transportation Institute Jason Wagner, Texas A&M Transportation Institute Chuck Fuhs, Independent Consultant Rajiv Mathur, Prospect Silicon Valley Doug Davenport, Prospect Silicon Valley Murali Ramanujam, Santa Clara VTA Casey Emoto, Santa Clara VTA Contact Nick Wood at 512-404-1115, [email protected] or Murali Ramanujam at 408-952-8905, [email protected] for questions.

mailto:[email protected]

mailto:[email protected]

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Workshop Overview

Santa Clara Valley Transportation Authority (VTA) will be hosting a half-day workshop to examine how the Silicon Valley Express Lanes Program could be impacted by emerging technologies. The workshop will delve into how express lanes implementations could become outdated within a few years due to the evolution of technologies. VTA’s managed lanes, branded as express lanes, have grown out of a need to improve the efficiency of existing roadway infrastructure. Another intent of implementing these express lanes is to provide a new mobility option for commuters faced with increasing congestion. Implementing express lanes involves the conversion of existing carpool lanes with pricing to maximize usage and allow solo commuters to use these lanes by way of paying a toll. In California, FasTrak® administers tolling statewide, including the Bay Area bridges. Drivers use the same transponder and access the same toll account for using any of the toll roads in the State. Overhead readers scan transponders and charge the appropriate toll to the motorist’s account. The toll rates for variably priced facilities changes based on the level of demand for the managed lane. Electronic message boards display the prevailing toll rates along the freeway. Lane management is evolving. Initially, California’s managed lanes were restricted to carpools, motorcycles and buses. Pricing now has a role in improved lane management. VTA is interested in gaining a better understanding of how evolving and emerging technologies might affect current and future customer experiences and expectations. Areas of interest include the following: Collecting Electronic Tolls – The existing system relies on the deployment of transponder readers located over the tolled lanes. Drivers of vehicles equipped with transponders are assessed tolls based on the amount of travel. Advancements in technology could lead to the proliferation of above-lane transponder readers. What should VTA anticipate with regard to tolling technologies? When will the existing system of deployed toll readers become antiquated? Will other tolling technologies have more of an impact on the operation of express lanes? For example, can smartphones play a role in toll collection on express lanes, and what timeline might be associated with this option? Communications System – Express lane systems could have a communications network that includes a combination of VTA-owned fiber optics network, a VTA-owned wireless network and leased communications services from private providers. The communications network could have a backbone system, links to a major communications hub and connections to many field devices such as toll readers and cameras. Transmitted data includes tolling records, traffic information and video images. Which technologies, if implemented, can maximize the optimal life of a system? What are the factors and rationale for making decisions on communications network technologies? Mass Transit and Other Users – VTA envisions that express lane bus demand will increase because of greater traffic from transit operated by public agencies (e.g., VTA) and private companies. Transit payment systems have evolved from cash-based fareboxes to stored-value smart cards and mobile devices equipped with near-field communication (NFC) technology. Can these new technologies and others, help integrate bus and express lane programs? What traits exist between mass transit and express lanes?

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Autonomous/Connected Vehicles and Express Lanes – New research is getting underway on autonomous and connected vehicles. Some agencies are suggesting that managed lane facilities can serve as a test bed for new autonomous and connected vehicle technology, given the tolling and operational equipment already installed for the lanes. However, actual research is limited on investigating the connections and tradeoffs. Could connected vehicles lessen the need for on-road price signage by transmitting the cost of the toll to each driver using in-vehicle technology? Could in-vehicle sensors check vehicle occupancy and reduce the need for enforcement? Active Traffic Management and Express Lanes – Active traffic management refers to approaches that increase capacity and smoothing traffic flows on busy major highways. These approaches often include the use of overhead electronic lane control signs, part-time use of shoulders, advisory speed limits, and dynamic merge control. Leveraging these technologies into existing express lane systems can improve the operation of both the managed lane and other, adjacent main lanes. How can active traffic management influence the development of express lanes? The following are additional areas where the impact of future technologies might be of interest:

The relationship between the number of occupants in a vehicle and toll rates.

New technologies that support greater use of data toward improving operational performance of express lanes (and all freeway lanes in general).

New technologies that could assist the enforcement of express lanes.

New technologies and approaches for controlling access into and egress from the express lane.

New technologies and approaches that could aide in gathering input from the public on the development of express lanes.

New technologies to make a seamless public experience on the use of express lanes.

New technologies to provide power to various components of the express lanes toll system.

Future implications on the practices for implementing express lanes.

Future implications on policies for operations and management of express lanes. The workshop will consist of a presentation on VTA’s Silicon Valley Express Lanes, short presentations that detail the major characteristics of each technology, and breakout sessions that discuss the drivers and barriers to adaption. Workshop attendees will consist of academics, practitioners, members from the tech industry, and VTA staff. The workshop is scheduled for Friday, October 9, 2015 from 9am to 2pm.

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Managed Lanes Background

Managed lanes are designated lanes and roadway facilities located on or adjacent to controlled access urban highways that are actively operated and managed to preserve preferential service over comparable general traffic lanes. The practice of reserving some roadway lanes to actively manage traffic began in the early 1970s as a result of congestion that started to outpace available urban roadway capacity. A lack of space to continue widening freeways, explosive growth in demand, environmental and funding constraints, and lack of public will to continually expand existing urban roadways led to a perspective that some areas could not build their way out of congestion. Today, managed lanes can exist as high occupancy vehicle (HOV) lanes, high-occupancy toll (HOT) lanes, express lanes, bus-only lanes, and other facilities that provide preferential access for select user groups. HOV lanes provide access to carpools, motorcycles – and in most cases – transit. Some states, like California, allow alternatively-fueled or low emission vehicles to use the HOV lane, given statewide stature. HOT and Express Lanes commonly provide the same level of access as HOV lanes, but also allow single-occupant vehicles (SOVs) to use the lanes by paying a toll. Carpools, motorcycles, low-emission vehicle, and transit services commonly do not have to pay a toll to travel in a HOT or Express Lane. The Silicon Valley Express Lanes, based in Santa Clara County, CA, is a planned regional network of managed lane facilities that provide travel time and reliability benefits for travelers that use them. The Silicon Valley Express Lanes are currently in operation near the interchange of SR 237 and I-880. The lanes extend for a mile westward on SR 237 from I-880 and include direct connect ramps that link SR 237 and I-880 together. The SR 237/I-880 Express Lanes have been in operation since March 2012 and the average driver can save 14 minutes per trip during peak periods. Carpools of two or more people are allowed to use the lanes toll-free during peak periods, and single-occupant vehicles can use the lanes by paying a toll. The amount of the toll for SOVs varies based on real-time traffic congestion. Usually, the toll varies between $2.00 and $4.50 during a typical stop-and-go commute, going to a high of $6.00 per trip. At times, SOVs are restricted from using the Express Lanes when too many HOVs are in the lane and the “HOV Only” mode is activated.

Figure B-1. Schematic of Express Lane

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To use the lanes, travelers look at overhead signs that are placed at both ends of the facility and enter at permissible locations. The signs show the toll rates to travel to specific exits (“HOV Only” is displayed in place of the toll amount during times of “HOV Only” operation). White striping separates the express lanes from the other adjacent general purpose lanes. Drivers can enter the facility at locations where a single dashed white line is indicated on the pavement. Locations where a double white striped line connote places that do not permit crossing into the lane. Gantries are placed along the Express Lanes that are equipped with tolling and camera equipment that enable users to be charged for use and for monitoring and enforcement. A schematic of how toll gantries work for the Express Lanes is shown in Figure 1. The Santa Clara VTA has the following goals for the Express Lane program:

More efficient use of existing roadways

Provides a new, reliable travel option

Travel times improve in all lanes

Dynamic toll pricing helps limit overcrowding in express lane

Provides a new revenue stream tor transportation and corridor improvements Going forward, plans are being developed to expand the Silicon Valley Express Lanes further westward on SR 237, US 101, and SR 85. Phase 2 of the SR 237 Express Lanes in expected to start opening for service in mid-2017 and the SR 85/US 101 Express Lanes are expected to start operating in late 2018. Figure 2 shows a map of the planned Silicon Valley Express Lanes.

Figure B-2. Map of the Silicon Valley Express Lanes

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Electronic Tolling

Tolling applications that are used in the Express Lanes are emerging and continue to change. There are several types of tolling applications used across the country with several different solutions being developed at various different stages ranging from using transponders, in-built units, satellite and smart phones. The traditional electronic tolling involves automatic vehicle identification through transponders that are mounted within a vehicle and a toll reader that is fixed onto a roadside gantry. While each toll operator could have different platforms for its system, all operators within California have to adhere to a standard communications protocol, Title 21, and a FasTrak® transponder based system. This allows for transfer of data, compilation of toll transactions and payment of tolls by the customer seamlessly across all systems in the state. One can use a FasTrak® transponder anywhere within California to pay a toll electronically without stopping a vehicle at a toll booth. The California Department of Transportation (Caltrans) governs Title 21, the Radio Frequency Identification (RFID) based protocol that which was developed over 20 years. Caltrans is undertaking efforts to transition to a new protocol, ISO 18000-63 (also known as 6C). Using 6C protocol would allow for use of low cost transponders. In parallel, a national toll protocol is also being developed that would not preclude California from using a separate local protocol. Although the transitioning to new protocols both locally and nationally is a step in the right direction, one might argue that such transitional improvements are already outdated on arrival compared to potential future solutions such as the use of global navigation satellite systems (GNSS) or smartphone technology using global positioning systems (GPS) to accomplish electronic tolling. Electronic tolling also requires an enforcement solution in order for express lanes projects to be a success both operationally by preserving the capacity as well as financially by minimizing revenue leakage. Today, to achieve enforcement within express lanes, various tools with limited enforcement ability such as overhead beacon lights at toll reader location, use of striping or median barriers and CCTV using license plate recognition are used. One of the biggest enforcement challenges is the lack of an automated occupancy detection system that is cost effective. Ensuring zero toll violation generally requires the use of physical barriers that would result in limited accessibility. Another important and apparent change in electronic tolling is the ability to toll clean air vehicles (CAV) now and soon autonomous vehicles. Moving forward, it is important that VTA is able to future proof investment in express lanes infrastructure to operate using existing electronic tolling and enforcement tools while being able to plan for future tolling technologies such as the use of technologies like GNSS and GPS and to accommodate new transportation such as autonomous vehicles.

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Communication Systems

Communications infrastructure for Express Lanes connect the in-field sensors with remote centralized service data center. In-field sensors for tolling applications are RFID-based mobile transponders, overhead toll readers, and in the future video cameras. Other potential RF sensors could be DSRC and Bluetooth transceivers. The bandwidth requirements for the non-video transponder-type data can be handled by VTA’s installed communications infrastructure. Data aggregated from multiple sensors can be backhauled to a communications hub via fiber optic cable, and private or leased wireless networks. At the service center, the raw traffic data will be used to generate pricing and performance data that can be updated on the overhead variable toll message signs at the entry points at a regular interval, about every five minutes. Wireless Network: The main components are RFID transmitters embedded in the user transponder and the overhead toll reader antennae. The data stream is 0.3Mbps, relatively modest, and can utilize existing VTA private network or commercial 4G/5G networks. The license plate recognition (LPR) system linked to the wireless network can create a toll transaction matching the user account with the transponder and license plate information. Fiber Optic Network: Raw video stream from overhead cameras should be backhauled to the service center for cross checking and conflict resolution. The number of camera locations will determine the total data bandwidth needed, but fiber optic capacity is huge and often underutilized. At this time, VTA contained within light rail ducts which crosses highways at many locations but not along highways themselves. Future provisioning of fiber will be needed for express lanes, and could be useful for other stakeholders in VTA, and should be considered as part of the Express Lanes project. An inventory of fiber resources is currently underway in VTA. License Plate Recognition (LPR): Although LPR is not available at this time, it will be required for all future Express Lane implementations. What we will need is video stream from cameras with a hi-res imager with fast acquisition time for vehicles traveling at 80+mph. This will require local image processing for extracting license plate number that can be checked against the transponder data. Fiber optic cabling will be needed along the express lanes for raw video backhaul, monitoring and cross checking of transponder transactions. Service Center: This could be located in the cloud, but VTA operates its own data server room located on their premises. A more versatile architecture allowing for redundancy and expandability utilizing virtualized servers hosted by a third-party cloud service will likely be required. Express lanes data must have interagency compatibility where billing is managed across jurisdictional boundaries (MAP-21 directive). Besides account management, usage billing and control, the service center must support a “smart” analytics program. Currently VTA has an agreement with Bay Area Toll Authority (BATA) which serves as the regional customer service for FasTrak® accounts in the Bay Area. Cloud-based data view of traffic flow can be used to generate dynamic pricing updated frequently, about every 5 minutes. This should guarantee a predicted optimum performance such as vehicle speed. Select destination arrival times can be displayed along with pricing to inform potential customers.

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Security: FasTrak RFIDs are not secure. A teardown analysis of the transponder and security issues was published for Black Hat conference in 2008. The old transponders were remotely updateable (JTAG fuse not set) did not use encryption; while newer transponders could read and be altered by removing the chip from the package. For example, a false transmittal can be used to claim presence on a roadway at a certain time, and FasTrak® is routinely subpoenaed for toll records by courts. A mischievous attacker could setup a portable receiver at a shopping mall to record FasTrak® IDs. Rationale: CA 493 passed in 2013, which mandates interoperability for electronic tolling by October 2016, considering provisions from MAP-21 (Moving Ahead for Progress in the 21st Century), the latest surface transportation reauthorization act, passed by the US Congress in 2012. Under this mandate, Caltrans is authorized to investigate and develop compatible tolling systems. Technology wise, the RFID tag and license plate recognition are key technologies which the physical infrastructure will need to support. The VTA program is compatible with this. Communications infrastructure is a key cost that should be future-proof. Sensor technology will continue to evolve as new technologies emerge in the “Internet of Things” rollout. This can be especially true as security solutions emerge with predictive analytics, while improving privacy protection. Multi-modal sensor gateways that include the most widely available wireless communications should be included in the VTA Express Lanes program. This can allow adoption of alternative solutions that may emerge from toll system integrators in the future.

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Mass Transit and Other Users

Increasingly, new mass transit supporting infrastructure, updated forms of mass transit services, both public and private sector, new users of managed lanes, and new payment systems that could involve a wide range of travel modes are emerging that could affect or in some cases are already affecting the implementation and operation of managed lanes. These new developments and stakeholders are in some cases linked to local development efforts and in other cases linked to regional or statewide efforts. Mass Transit Supporting Infrastructure New infrastructure to better accommodate public transit services is being considered in Santa Clara County. Two examples are direct connectors from the managed lanes to provide enhanced ingress and egress for managed lanes traffic and highway-based express bus stops. These concepts could be merged into a single implementation in some instances with the direct connector linking the managed lanes with the highway-based express bus stops. Another approach to providing the highway-based express bus stop could be through an in-line stop on the freeway with passenger access via stairs/elevators similar to how VTA light rail serves stations along SR 87. A lower cost approach might be to have stops on the off-ramp or near the off-ramp. Each of these approaches has its strengths and weaknesses related to cost, travel time, passenger environment and other factors. Are there other considerations that should be kept in mind related to emerging developments in supporting infrastructure for managed lanes customers? Updated Forms of Mass Transit Services VTA is studying new ways to provide express bus service that would operate in managed lanes as alluded to in the previous paragraph. Similarly, private companies (e.g., Google and Apple) are providing similar express mass transit services for their employees providing nearly door-to-door service between home and work. Other private on-demand mass transit service such as Loup and Leap Transit could also become operators in the managed lanes environment. Are there considerations that should be kept in mind related to these forms of public and private mass transit for the development of priced managed lanes systems? Other New Users of Managed Lanes The new users of managed lanes continues to evolve and expand. In the beginning, managed lanes consisted of carpool lanes that served carpoolers, public transit and motorcyclists. Added to the list of users of managed lanes are the clean air vehicles that are registered through the California Department of Motor Vehicles to be able to use managed lanes (decaled vehicles). The full list of vehicles that are now eligible for decals are listed by the California Air Resources Board (eligible vehicles). This program for clean air vehicles is set to run through 2018. Another new category of transportation that are eligible to be in managed lanes is the private on-demand transportation services provided by companies such as Uber, Lyft, Sidecar, Summon, Shuddle and other providers. The number of decaled vehicles on Santa Clara County freeways is starting to affect the flow of traffic on the managed lanes. The number of vehicles during the peak periods has exceeded 20 percent of all the traffic in the SR 237 express lanes. What considerations need to be made to accommodate these new users for the development of priced managed lanes systems?

http://www.loupapp.com/

http://leaptransit.com/

https://www.dmv.ca.gov/portal/dmv/detail/vr/decal/!ut/p/a1/hVBRb4IwEP4te6BvUkBxc0mzdIjgmE4fVOBlqVChDilra0n89QP2tGTLLrnc3XeX77s7mMIYpjXRrCCK8ZpUfZ1O36Pl3LfDwIoC9xVbOArDt72_d4LZGL78NxDDxBErb1XAtCGqHLH6xGGsBYxzmnUKB5gOFNYfhq1eo6j4cVgnwfVx_NCRCXqiggrzKjq4VKqRj4ZlWG3bmgXnRUXNjF8Mq2s_SYIUEJlCZ_CJAJUiQxJIfhUZRS09gixHDtA0R5bn8e3ijJ9JuYv8lmnXDeh0Ei5xuZtXvIjCfFt5sx3oWNGgadhjbNjOovdeOr9oMyPdBrpHGi4Uqfqsw4dAFWEDoMV33b0AXGWB8GJ79tbBZnM_04492a0pkUzcSsYT12exd2p_O77kUsH4582w-UiTUX17pQd89wUSyHsk/#q6

http://www.arb.ca.gov/msprog/carpool/carpool.htm

https://www.uber.com/

https://www.lyft.com/

http://www.side.cr/

https://shuddle.us/safety/

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Active Traffic Management

Active traffic management (ATM) uses a combination of congestion management techniques to dynamically manage traffic based on current and near-term expected conditions. The goal is to maximize the efficiency of a road and the effectiveness of several strategies to delay the onset and intensity of traffic congestion. Leveraging these technologies into existing express lane systems can improve the operation of both the managed lane and other, adjacent main lanes. Some ATM strategies include:

Dynamic Lane Use Control: The dynamic closing or opening of individual traffic lanes as warranted and the providing of advance warning of the closure. This is typically accomplished through overhead lane control signs to safely merge traffic into adjoining lanes.

Figure B-3. Example of Display of Intelligent Lane Control Signals During an Incident

(Source: Federal Highway Administration)

Variable Speed Limits (or Speed Advisories): The adjustment of speed limits based on real-time traffic, roadway, and/or weather conditions. Dynamic speed limits can be either enforceable (regulatory) speed limits or recommended speed advisories, and they can be applied to an entire roadway segment or individual lanes.

Figure B-4. Overhead Lane Control Signs (Source: Washington State DOT)

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Queue Warning: The real-time display of warning messages along a roadway to alert motorists that stopped traffic is ahead. This technology attempts to reduce rear-end crashes and improving safety.

Adaptive Ramp Metering: The deployment of traffic signals on ramps to dynamically control the rate of vehicles entering a freeway facility. This in essence smooths the flow of traffic onto the mainline, allowing efficient use of existing freeway capacity. Adaptive ramp metering utilizes adaptive algorithms that can optimize either local or system-wide conditions.

The two fundamental concepts of ATM are active management of the capacity and direct interaction with drivers to encourage them to make tactical driving decisions (e.g., stopping, slowing down, and changing lanes). The idea is not to simply react to changing conditions but to anticipate them and actively manage the system prior to their occurrence. All agencies and entities operating transportation systems can advance toward a more active management philosophy by making changes that move operations along the active management continuum. This progression on the continuum represents a natural evolution in an agency’s ability to provide and the public’s acceptance of active management.

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Automated and Connected Vehicles

Two emerging vehicle technologies are poised to disrupt the vehicle market and transportation system: automated and connected vehicles. The two technologies represent the potential for dramatic improvements in transportation safety, fuel efficiency, environmental outcomes, mobility, and accessibility. These systems are yet in their infancy, but are rapidly developing in a heated race to market. Watching from the sidelines are transportation agencies, local governments, and other transportation providers who bear the responsibility of maintaining and operating the transportation system. These agencies are eager to reap the benefits of the advanced technologies, but are unsure how to prepare and what changes are needed. Automated Vehicles Automated vehicles (or AVs) function by fusing data from a variety of sensors (radar, ultrasonic, Lidar, GPS) and feeding the data to complex computer hardware and software systems. These computer systems analyze the sensor information, fuse it with high-definition digital maps to understand the environment in which the vehicle is traveling, and send corresponding actions to electronic vehicular control components, which execute the necessary driving tasks like accelerating, steering, and braking.

Table B-1: NHTSA Automation Levels NHTSA Automation Level Description

Zero: None

The driver is “in complete and sole control of the primary vehicle controls (brake, steering, throttle, and motive power) at all times, and is solely responsible for monitoring the roadway and for safe operation of all vehicle controls” (1 p. 4). The vehicle may have the ability to monitor the environment but only for driver support, information, or convenience systems.

One: Function-Specific

The vehicle has “one or more specific control functions are automated,” but the driver still has “overall control” of the vehicle and is responsible for its safe operation (1 p. 4). If multiple control systems are engaged, they operate independently. The vehicle may “assist or augment the driver in operating of one of the primary controls—either steering or braking/throttle controls (but not both),”

Two: Combined-Function

Two or more of the “primary control functions” work in automated unison to monitor the road and control the vehicle (1 p. 5). The driver maintains primary responsibility for safe operation road monitoring and must be available to take over control at any time without advance warning.

Three: Limited Self-Driving

The vehicle controls all “safety-critical functions under certain traffic or environmental conditions” (1 p. 5). The driver need not constantly monitor the roadway and can rely on the vehicle to do so. If the situation changes and the vehicle cannot operate safely, it provides sufficient advanced warning to the driver – who must be available – to take control.

Four: Full Self-Driving

The “vehicle is designed to perform all safety-critical driving functions and monitor roadway conditions for an entire trip” (1 p. 5). The driver may need to provide directions for navigation but does not need to control the vehicle at any point. The vehicle could be unoccupied or occupied, and is solely responsible for safe operation.

B-13

Private companies are primarily developing AVs, although there are two main industry perspectives on developing the technologies. One perspective that many current manufacturers subscribe to is developing automation and implementing new features incrementally; they gradually introduce new and more advanced automation where the vehicle takes more control over many product cycles. An alternative perspective is that partial automation is untenable due to human factors limitations, and as such, only high level or full automation will prove a viable business model. Companies with this perspective are aggressively developing and testing advanced AVs and are trying to build and commercialize a highly automated vehicle without incremental improvements. There are many predictions about when AVs of varying capabilities will be commercially available, but there is so much variation (especially at higher automation levels) that many are not particularly useful. Many partial automation systems are available on production vehicles today, but these systems only intervene in safety-critical situations or have limited self-driving capabilities. Self-driving systems are usually limited to certain highway environments and many have a speed cap. In 2013, NHTSA released a taxonomy for classifying AV functions. The framework functions as a series of five levels, ranging from zero (no automation) to four (fully self-driving). Table 1 has more detail on NHTSA’s automated vehicle levels. Connected Vehicles The second technology, connected vehicles (or CVs), are a communications protocol and set of standards that enable vehicles to send and receive information to each other (known as V2V), to the infrastructure (V2I), to pedestrians (V2P), and other road users like motorcyclists and bicyclists (V2X).

Table B-2: Connected Vehicle Acronyms

Acronym Definition

V2V Vehicle-to-vehicle

V2I Vehicle-to-infrastructure

V2P Vehicle-to-pedestrian

V2X Vehicle-to-other

The vehicles transmit a set of information known as the basic safety message (BSM) through a dedicated short range communications (DSRC) radio on the 5.9 GHz spectrum. The USDOT collaborated with the vehicle industry to develop these technologies, and specifically selected DSRC and reserved the 5.9 GHz spectrum because this combination of attributes make it ideal for safety-critical information transmission. DSRC transmits information at very high speed and the reservation of the 5.9 GHz spectrum enables high availability for message transmission. The BSM includes information like vehicle location and speed, which enables the development and use of applications for safety and non-safety purposes. For example, one safety application known as forward collision warning “warns the driver of an impending rear-end collision with another vehicle ahead in traffic in the same lane and direction of travel” (2 p. 120).

B-14

Non-safety applications include applications to improve fuel efficiency, vehicle throughput, and provides other benefits. As an example, the image below illustrates an application known as Eco-Approach and Departure, which uses information transmitted between vehicles and the infrastructure at intersections to reduce fuel consumption and greenhouse gasses (3). It analyzes an intersection through an information exchange with a roadside unit (through V2I) and any nearby equipped vehicles (through V2V). Based on the information received, the vehicle calculates the optimal approach speed to move through the intersection – either advising the driver how to adjust their speed to move through the intersection or adjust speed while stopping at the signal in the most eco-friendly manner. The application also analyzes a vehicle’s speed as it departs the intersection and enables the driver to make adjustments to improve fuel efficiency.

Figure B-5. Eco-Approach and Departure Application (3)

These applications are enabled by the DSRC radios and other on-board equipment, but the driver is the individual ultimately responsible for acting on the information provided. Importantly, CVs do not take actions independent of the vehicle operator; the operator must both recognize the warning and perform the correct action. CVs are NOT necessarily automated. NHTSA already announced its intention to mandate DSRC hardware and all new light duty vehicles through its 2014 advanced notice of proposed rulemaking (ANPRM), and has stated publically that it intends to move forward on commercial vehicle regulations in 2015. These mandates would require all new road vehicles to be equipped with the enabling technologies (namely the DSRC radio), but USDOT will then depend on vehicle manufacturers to design and implement the user interfaces that relays messages to drivers. Works Cited 1. NHTSA. U.S. Department of Transportation Releases Policy on Automated Vehicle Development. National

Highway Traffic Safety Administration. [Online] May 30, 2013 a. http://www.nhtsa.gov/About+NHTSA/Press+Releases/U.S.+Department+of+Transportation+Releases+Policy+on+Automated+Vehicle+Development.

2. Harding, J, et al. Vehicle-to-Vehicle Communications: Readiness of V2V Technology for Application. Washington D.C. : USDOT, 2014. DOT HS 812 014.

3. USDOT. AERIS Operational Scenarios and Applications. its.dot.gov. [Online] UDOT, 2014. [Cited: August 1, 2015.] http://www.its.dot.gov/aeris/pdf/AERIS_Operational_Scenarios011014.pdf.

http://www.its.dot.gov/aeris/pdf/AERIS_Operational_Scenarios011014.pdf

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