Tolling System Architectures

Rupert BrownETTM, ConnectEast

Melbourne, Victoria, Australia

2

Introduction

Changing relationships, changing environment

3

Changing relationships, environment We no longer have tolls – we have “customers”

with accounts – can we leverage value? No lessening in the need to travel Climate change – restricting the car and

emphasising public transport – “blended solution” Convergence of utility – the tolling system and the

mass ticketing system

Charging System for Infrastructure Usage

CSIU

4

Architecture development

What is a CSIU?

5

Use a method – Soft Systems MethodologyProblemsituation

unstructured

Problemsituationexpressed

Root Definitionof relevant systems Conceptual

models

Other systemsthinking

Formal systemsmodel

Real world/Systemsworld comparison

Feasible/DesirableChanges

Actions toImprove

Real World

Systems World

SE Architecture

Rich Picture

CATWOE

6

Streetparking

Car parks

Congestion charging

Bridges

Roads

Tunnels

Railways

Airports

Sea Ports

Tolling

Public TransportTicketing

DSRC Tags

Phones

GNSS Constellation

Smart CardsGPS OBU

Video

Gantries

Picture

Each

in

frast

ruct

ure

typ

e h

as

its

ow

n b

est

way o

f bein

g f

un

ded a

nd g

en

era

ting

reven

ue.

Tech

nolo

gy h

as

to b

e a

pp

ropri

ate

for

the a

pp

licati

on a

nd

cost

.

RFID Tags

Th

e n

atu

re o

f th

e a

sset,

tech

nolo

gy a

nd

th

eb

usi

ness

case

dri

ves

the f

orm

of

the s

olu

tion

.

Get

the p

eop

le w

ho u

se t

he a

sset

but

don’t

pay –

no a

rran

gem

en

t.

?Other infrastructureoperators

Do we have aclearing house?

Our customers accessingall our channels

Our bank

Calculate how muchusers have to pay.

Recover money frombad customers

Interoperabilityagreements.

Shareholders wanttheir cut of money

Charge that to ourcustomer’s account.

Usage

eve

nt in

form

atio

n,

Info

rmat

ion

to id

entif

y th

e us

er,

Evid

ence

of u

se,

Government Authoritieswho control the concessionsand have audit powers.

Who is this?Do they have an arrangement with us,or somebody else?

We send you –

a device, ta

g maybe,

A statement/in

voice, o

n a regular b

asis,

Informatio

n we th

ink you’ll want.

You send us m

oney.

We exchange customer information,Information on our customer’s usage,The money that we owe each other.

Manage all ourmoney.

Money to/fromthe bank.

Payday forshareholders.

Money for theGovernment

Mobilemonitoring

Recover money owed to us.Use the courts if necessary.

Process andconfirm pictures

HOTLANE

Rich Picture of a Charging Systemfor Infrastructure Usage (CSIU)

To show, in an unstructured way, most of the significantelements that come into play when thinking aboutdeveloping a charging system for infrastructure usage.

Rupert Brown 2007

Infrared

[Stage 2 – “Problem situation expressed” from the SSM]

7

CSIU Root Definition

A system that detects when and helps to identify who is using an infrastructure asset, calculates a charge for that usage and enables an operator to maintain a relationship with a customer and a valid arrangement to pay, such that usage charges are paid by the customer to the operator.

The system enables an operator to collect money from users of the asset that do not have valid arrangements to pay.

8

Streetparking

Car parks

Congestion charging

Bridges

Roads

Tunnels

Railways

Airports

Sea Ports

Tolling

Public TransportTicketing

DSRC Tags

Phones

GNSS Constellation

Smart CardsGPS OBU

Video

Gantries

Picture

Each

in

frast

ruct

ure

typ

e h

as

its

ow

n b

est

way o

f bein

g f

un

ded a

nd g

en

era

ting

reven

ue.

Tech

nolo

gy h

as

to b

e a

pp

ropri

ate

for

the a

pp

licati

on a

nd

cost

.

RFID Tags

Th

e n

atu

re o

f th

e a

sset,

tech

nolo

gy a

nd

th

eb

usi

ness

case

dri

ves

the f

orm

of

the s

olu

tion

.

Get

the p

eop

le w

ho u

se t

he a

sset

but

don’t

pay –

no a

rran

gem

en

t.

?Other infrastructureoperators

Do we have aclearing house?

Our customers accessingall our channels

Our bank

Calculate how muchusers have to pay.

Recover money frombad customers

Interoperabilityagreements.

Shareholders wanttheir cut of money

Charge that to ourcustomer’s account.

Usage

eve

nt in

form

atio

n,

Info

rmat

ion

to id

entif

y th

e us

er,

Evid

ence

of u

se,

Government Authoritieswho control the concessionsand have audit powers.

Who is this?Do they have an arrangement with us,or somebody else?

We send you –

a device, ta

g maybe,

A statement/in

voice, o

n a regular b

asis,

Informatio

n we th

ink you’ll want.

You send us m

oney.

We exchange customer information,Information on our customer’s usage,The money that we owe each other.

Manage all ourmoney.

Money to/fromthe bank.

Payday forshareholders.

Money for theGovernment

Mobilemonitoring

Recover money owed to us.Use the courts if necessary.

Process andconfirm pictures

HOTLANE

Rupert Brown 2007

InfraredDetecting usage of the asset

Reconstructing how theasset was used

Calculating a charge forthe asset’s use

Identifying who to chargefor the asset usage

Exchangingdata and money with other

asset operators

Servicing the needsof our customers

Getting money fromour customers

Enforcing the needto pay to use the asset

Collecting money owedManaging the money

Managing theCSIU systems

Using the Rich Picture to draw outthe main functional elements of CSIU

The start of the process to bring structure to themass of unstructured elements within the Rich Picture.

Gatheringevidence of use

9

Streetparking

Car parks

Congestion charging

Bridges

Roads

Tunnels

Railways

Airports

Sea Ports

Tolling

Public TransportTicketing

DSRC Tags

Phones

GNSS Constellation

Smart CardsGPS OBU

Video

Gantries

Picture

Each

in

frast

ruct

ure

typ

e h

as

its

ow

n b

est

way o

f bein

g f

un

ded a

nd g

en

era

ting

reven

ue.

Tech

nolo

gy h

as

to b

e a

pp

ropri

ate

for

the a

pp

licati

on a

nd

cost

.

RFID Tags

Th

e n

atu

re o

f th

e a

sset,

tech

nolo

gy a

nd

th

eb

usi

ness

case

dri

ves

the f

orm

of

the s

olu

tion

.

Get

the p

eop

le w

ho u

se t

he a

sset

but

don’t

pay –

no a

rran

gem

en

t.

?Other infrastructureoperators

Do we have aclearing house?

Our customers accessingall our channels

Our bank

Calculate how muchusers have to pay.

Recover money frombad customers

Interoperabilityagreements.

Shareholders wanttheir cut of money

Charge that to ourcustomer’s account.

Usage

eve

nt in

form

atio

n,

Info

rmat

ion

to id

entif

y th

e us

er,

Evid

ence

of u

se,

Government Authoritieswho control the concessionsand have audit powers.

Who is this?Do they have an arrangement with us,or somebody else?

We send you –

a device, ta

g maybe,

A statement/in

voice, o

n a regular b

asis,

Informatio

n we th

ink you’ll want.

You send us m

oney.

We exchange customer information,Information on our customer’s usage,The money that we owe each other.

Manage all ourmoney.

Money to/fromthe bank.

Payday forshareholders.

Money for theGovernment

Mobilemonitoring

Recover money owed to us.Use the courts if necessary.

Process andconfirm pictures

HOTLANE

Rupert Brown 2007

Infrared

Using the Rich Picture to draw outthe main functional elements of CSIU

The start of the process to bring structure to themass of unstructured elements within the Rich Picture.

Detecting usage of the asset

Reconstructing how theasset was used

Calculating a charge forthe asset’s use

Identifying who to chargefor the asset usage

Exchangingdata and money with other

asset operators

Servicing the needsof our customers

Getting money fromour customers

Enforcing the needto pay to use the asset

Collecting money owedManaging the money

Managing theCSIU systems

Gatheringevidence of use

10

Asset UsageDetection FA

Function: to detectand gatheridentifying tokendata on peopleusing the asset.

Tie

d t

o t

he a

sset.

Manage the CSIUSystem FA

Function: to monitor,manage and maintainthe CSIU System.

ManagementCommands

StatusReports

Asset UsageReconstruction FA

Function: to reconstruct,based on the detectedusage, a complete usageevent.

InteroperableArrangements to Pay

FAFunction: to manage theexchange of informationand money with other assetoperators so as to enablepeople with arrangementsto pay to use our assetand vice versa.

Other asset operators.

Asset UsageRating FA

Function: to determinehow a complete usageevent should be rated,i.e. the charge for use.

Evidence of useGathering FA

Function: to gatherevidence that theasset was used ata determined dateand time.

Usage & TokenCorrelation FA

Function: to associaterated user events withthe tokens that willallow the asset userto be identified.

Pay for UsageEnforcement FA

Function: to manage thecollection of money frompeople who have used theasset but not madearrangements to pay.

Channels to our“would be” customers.

Serving ourCustomers FA

Function: to keep up todate all the informationwe need on people witharrangements to pay andrespond to other queries.

Channels to ourCustomers.

Corporate MoneyManagement FA

Function: to manage allthe money coming in to and going out from theCSIU.

Interface with Banks,Financial Institutions,

Government and individuals.

Debt CollectionFA

Function: to manage thecollection of money frompeople who have used theasset and have madearrangements to pay, butfor whatever reasonhaven’t.

Our Customers.

User ChargingFA

Function: to manage thecollection of money frompeople who have used theasset and have madearrangements to pay, andto hand off for thosethat haven’t.

Identification of CSIU FunctionalAreas (FA) their basic DescriptionsUsing the functional elements drawn out from the analysis ofthe Rich Picture to create a first pass at a system blockdiagram for the CSIU, including basic data flows.

© Rupert Brown 2008

Usagedetections

Complete usageevents

Rated usageevents

Tokenidentificationdata

Evidence of use

Rated usageevents withtokenidentifiers

Details of peoplewith arrangements

to pay.

Details of usageand othernotifications.

Details of people with arrangements to pay with otheroperators, and data on our customers using other assets.

Details of people with arrangements to pay with us,and data on other customers using our assets.

Request for evidence

Œ

Œ

Ž

Ž

Information identifying our customers who are notpaying the money they owe us.

Outcome of a debtrecovery process.

Financial reconciliationinformation.

Financial reconciliationinformation.

[FA – Functional Area]

Usagedetections

Detecting usage of the asset

Reconstructing how theasset was used

Calculating a charge forthe asset’s use

Identifying who to chargefor the asset usage

Exchangingdata and money with other

asset operators

Servicing the needsof our customers

Getting money fromour customers

Enforcing the needto pay to use the asset

Collecting money owedManaging the money

Managing theCSIU systems

Gatheringevidence of use

11

Asset UsageDetection FA

Function: to detectand gatheridentifying tokendata on peopleusing the asset.

Tie

d t

o t

he a

sset.

Manage the CSIUSystem FA

Function: to monitor,manage and maintainthe CSIU System.

ManagementCommands

StatusReports

Asset UsageReconstruction FA

Function: to reconstruct,based on the detectedusage, a complete usageevent.

InteroperableArrangements to Pay

FAFunction: to manage theexchange of informationand money with other assetoperators so as to enablepeople with arrangementsto pay to use our assetand vice versa.

Other asset operators.

Asset UsageRating FA

Function: to determinehow a complete usageevent should be rated,i.e. the charge for use.

Evidence of useGathering FA

Function: to gatherevidence that theasset was used ata determined dateand time.

Usage & TokenCorrelation FA

Function: to associaterated user events withthe tokens that willallow the asset userto be identified.

Pay for UsageEnforcement FA

Function: to manage thecollection of money frompeople who have used theasset but not madearrangements to pay.

Channels to our“would be” customers.

Serving ourCustomers FA

Function: to keep up todate all the informationwe need on people witharrangements to pay andrespond to other queries.

Channels to ourCustomers.

Corporate MoneyManagement FA

Function: to manage allthe money coming in to and going out from theCSIU.

Interface with Banks,Financial Institutions,

Government and individuals.

Debt CollectionFA

Function: to manage thecollection of money frompeople who have used theasset and have madearrangements to pay, butfor whatever reasonhaven’t.

Our Customers.

User ChargingFA

Function: to manage thecollection of money frompeople who have used theasset and have madearrangements to pay, andto hand off for thosethat haven’t.

Identification of CSIU FunctionalAreas (FA) their basic DescriptionsUsing the functional elements drawn out from the analysis ofthe Rich Picture to create a first pass at a system blockdiagram for the CSIU, including basic data flows.

© Rupert Brown 2008

Usagedetections

Complete usageevents

Rated usageevents

Tokenidentificationdata

Evidence of use

Rated usageevents withtokenidentifiers

Details of peoplewith arrangements

to pay.

Details of usageand othernotifications.

Details of people with arrangements to pay with otheroperators, and data on our customers using other assets.

Details of people with arrangements to pay with us,and data on other customers using our assets.

Request for evidence

Œ

Œ

Ž

Ž

Information identifying our customers who are notpaying the money they owe us.

Outcome of a debtrecovery process.

Financial reconciliationinformation.

Financial reconciliationinformation.

[FA – Functional Area]

Usagedetections

Manage the CSIU System FA

Monitor system componenthealth

Report system alerts, alarms andfailures

Maintain service schedules andhistories

Maintain technical information

Maintain warranty, licence andservice organisation details

Asset Usage Detection FA

Manage detection and accesssystems

Manage detection events in timeand space

Capture detection event record(video, TRX, biometrics)

Manage real time authorisation/access request

Evidence of use Gathering FA

Convert detection event recordsinto machine readable form

Identify tokens from event records

Correlate & consolidate multiplerecords into single compound record

Encapsulate and encrypt compoundrecord data in repository

Manage the record repository

Asset Usage Reconstruction FA

Maintain the detection system(asset) topology

Maintain the timeliness of usagedetections

Create usage events based ontoken identifications

Adjust usage events

Determine user class orcharacteristics

Asset Usage Rating FA

Maintain the timeliness of usageevents

Maintain the set of chargingschemes and rate tables

Determine and assign the chargeto the usage event

Adjust charges as the usage eventchanges

Usage & Token Correlation FA

Assess tokens and create a tokenpattern for a usage event

Determine “best fit” tokens toapply to the usage event

Mark usage event with the “bestfit” tokens

Add token pattern to the patternsrepository

Adjust tokens assigned to usageevents

Pay for Usage Enforcement FAManage the identification of

the asset user

Manage the “post use” invoiceprocess

Manage statutory declarations

Produce the “evidence of use”package

Manage the relationship withthe civil courts

Receipt money

User Charging FAMaintain accounts and account

hierarchies (arrangements to pay)

Allocate usage charges to accountsbased on token identification

Calculate and apply fees, chargesand discounts to accounts

Manage adjustments to accounts

Manage exempt and un-chargeableusage events

Prepare statements and invoices andissue across channels

Manage real-time accessauthorisation requests

Manage events with users withoutarrangements to pay

Serving our Customers FAGather intelligence on and profile

our customers

Develop new infrastructure accessand related services products

Sell and cross-sell access andservice products

Maintain customer accountdetails

Manage customer queries, issuesand complaints

Manage payments, refunds andadjustments

Manage information and servicelevels across all channels

Manage ordering of physical tokendevices

Corporate Money Management FA

Manage automatic paymentarrangements across channels

Manage all financial channeltransactions

Manage the General Ledger

Undertake accounts and bankreconciliation

Undertake financial reporting

Manage all financial auditactivities

Debt Collection FA

Identify debts, review and confirm/reject debt based on evidence

Review debt history and existingcollection arrangements

Manage and operate in-housedebt collection processes

Manage outsourceddebt collection processes

Manage legal processes associatedwith debt collection

InteroperableArrangements to Pay FA

Receive and process “Arrangementsto pay” lists

Create and send “Arrangementsto pay” lists

Receive and process rated andidentified home usage events

Create and send rated andidentified FO usage events

Manage disputed usage events

Development of the CSIU’s functionalareas (FA) into a functional architecture

Using the functional areas (FA) as the basis, this diagram developsthe concept to produce a basic functional architecture for theCSIU.

© Rupert Brown 2008

Token Logistics FA

Order token devices and managegood inwards

Manage warehouse inventories

Manage dispatch to customers

Manage returns for reissue, repairand retirement

12

Manage the CSIU System FA

Monitor system componenthealth

Report system alerts, alarms andfailures

Maintain service schedules andhistories

Maintain technical information

Maintain warranty, licence andservice organisation details

Asset Usage Detection FA

Manage detection and accesssystems

Manage detection events in timeand space

Capture detection event record(video, TRX, biometrics)

Manage real time authorisation/access request

Evidence of use Gathering FA

Convert detection event recordsinto machine readable form

Identify tokens from event records

Correlate & consolidate multiplerecords into single compound record

Encapsulate and encrypt compoundrecord data in repository

Manage the record repository

Asset Usage Reconstruction FA

Maintain the detection system(asset) topology

Maintain the timeliness of usagedetections

Create usage events based ontoken identifications

Adjust usage events

Determine user class orcharacteristics

Asset Usage Rating FA

Maintain the timeliness of usageevents

Maintain the set of chargingschemes and rate tables

Determine and assign the chargeto the usage event

Adjust charges as the usage eventchanges

Usage & Token Correlation FA

Assess tokens and create a tokenpattern for a usage event

Determine “best fit” tokens toapply to the usage event

Mark usage event with the “bestfit” tokens

Add token pattern to the patternsrepository

Adjust tokens assigned to usageevents

Pay for Usage Enforcement FAManage the identification of

the asset user

Manage the “post use” invoiceprocess

Manage statutory declarations

Produce the “evidence of use”package

Manage the relationship withthe civil courts

Receipt money

User Charging FAMaintain accounts and account

hierarchies (arrangements to pay)

Allocate usage charges to accountsbased on token identification

Calculate and apply fees, chargesand discounts to accounts

Manage adjustments to accounts

Manage exempt and un-chargeableusage events

Prepare statements and invoices andissue across channels

Manage real-time accessauthorisation requests

Manage events with users withoutarrangements to pay

Serving our Customers FAGather intelligence on and profile

our customers

Develop new infrastructure accessand related services products

Sell and cross-sell access andservice products

Maintain customer accountdetails

Manage customer queries, issuesand complaints

Manage payments, refunds andadjustments

Manage information and servicelevels across all channels

Manage ordering of physical tokendevices

Corporate Money Management FA

Manage automatic paymentarrangements across channels

Manage all financial channeltransactions

Manage the General Ledger

Undertake accounts and bankreconciliation

Undertake financial reporting

Manage all financial auditactivities

Debt Collection FA

Identify debts, review and confirm/reject debt based on evidence

Review debt history and existingcollection arrangements

Manage and operate in-housedebt collection processes

Manage outsourceddebt collection processes

Manage legal processes associatedwith debt collection

InteroperableArrangements to Pay FA

Receive and process “Arrangementsto pay” lists

Create and send “Arrangementsto pay” lists

Receive and process rated andidentified home usage events

Create and send rated andidentified FO usage events

Manage disputed usage events

Development of the CSIU’s functionalareas (FA) into a functional architecture

Using the functional areas (FA) as the basis, this diagram developsthe concept to produce a basic functional architecture for theCSIU.

© Rupert Brown 2008

Token Logistics FA

Order token devices and managegood inwards

Manage warehouse inventories

Manage dispatch to customers

Manage returns for reissue, repairand retirement

Back OfficeSystem

UsageDetection

SystemManagement

Usag

e E

vid

en

ce

Man

ag

em

en

t

UsageReconstruction

& Rating

EnforcementSystemAllocation of the functional architecture

to create the system architectureUsing the functional architecture as the basis, this diagram appliesthe COTS vs “purpose build” test to derive system architecturecomponents.

© Rupert Brown 2008

COTS Purpose built

InteroperabilitySystem

13

Back OfficeSystem

UsageDetection

SystemManagement

Usag

e E

vid

en

ce

Man

ag

em

en

t

UsageReconstruction

& Rating

EnforcementSystem Interoperability

System

UsageDetection

UsageDetection

UsageDetection

UsageDetection

UsageDetection

UsageDetection

Usage detectionis linked to theasset.

SystemManagement

UsageEvidence

Management

UsageReconstruction

& Rating

Back OfficeSystem

EnforcementSystem

InteroperabilitySystem

Web

IVR

SMSCustomerChannels

Bank POS DCA MH

Services

Other assetoperators

Legal system

COTS Product

“Purpose Built” Product

POS – Point of Sale e.g. Post OfficeDCA – Debt Collection AgencyMH – Mailing House

IVR – Interactive Voice RecognitionSMS – Short Message Service (phone)

CSIU Basic System Architecture

© Rupert Brown 2008

External (world) interface TS

TS – Token Supplier(s)

Interface numbering

14

Questions

Is this the right model? Is this the right set of interfaces? Is there value in expending effort to define these

interfaces? Is there benefit for operators in requiring suppliers

to conform to interface standards?

15

Comparisons

Stockholm Congestion Charging System (Trial)Eastlink Tolling System

Queensland Motorways Tolling System

16

17

XCH

CRM

Financials

Data Warehouse

Toll OperatingSystem

TSMC

ALC

IVR

EFTPOS

Web

Post Office

Bank

Enforcement

Look up

DCA

Mail House

Tag distributor

Interoperability

Customer ServiceSystem

SMS/e-mail

ALC

TSMC

ALC

ALC

TSMC

ALC

ALC

Tolling System Architecture for ConnectEast’s new EastLink Road

18

Copyright © Queensland Motorways 2008

19

UsageDetection

UsageDetection

UsageDetection

UsageDetection

UsageDetection

UsageDetection

Usage detectionis linked to theasset.

UsageEvidence

Management

SystemManagement

UsageReconstruction

& Rating

Back OfficeSystem

EnforcementSystem

InteroperabilitySystem

Web

IVR

SMSCustomerChannels

Bank POS DCA MH

Services

Other assetoperators

Legal system

COTS Product

“Purpose Built” Product

POS – Point of Sale e.g. Post OfficeDCA – Debt Collection AgencyMH – Mailing House

IVR – Interactive Voice RecognitionSMS – Short Message Service (phone)

CSIU Basic System Architecture

© Rupert Brown 2008

External (world) interface TS

TS – Token Supplier(s)

Interface numbering

20

Conclusions

Where we’ve been, where to go

21

Conclusion

To develop the Architecture: The development of a Rich Picture, Analysing the Rich Picture to identify Functional Areas, The development of Functional Areas into a Functional Architecture, The translation of the Functional Architecture into system components

based on the availability of COTS or purpose built applications. The development of a System Architecture complete with components

and key interfaces. The system architecture was successfully compared with the

architecture of three real world systems.Future work To validate the CSIU system architecture against other real world

systems especially mass ticketing systems, and to develop in detail the specification of the key interfaces.

22

Rupert Brown, ETTM, ConnectEast

Questions