National Academies Press: OpenBook

Multiagency Electronic Fare Payment Systems (2017)

Chapter: Front Matter

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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Multiagency Electronic Fare Payment Systems. Washington, DC: The National Academies Press. doi: 10.17226/24733.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

T R A N S I T C O O P E R A T I V E R E S E A R C H P R O G R A M TCRP SYNTHESIS 125 Subject AreAS Administration and Management • Data and Information Technology • Public Transportation Multiagency Electronic Fare Payment Systems A Synthesis of Transit Practice conSultAnt Paula Okunieff GO Systems and Solutions, LLC Boston, Massachusetts Research Sponsored by the Federal Transit Administration in Cooperation with the Transit Development Corporation 2017

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation’s growth and the need to meet mobility, environmen- tal, and energy objectives place demands on public transit systems. Current systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands. Research is necessary to solve operating problems, adapt appropriate new technologies from other industries, and introduce innovations into the transit industry. The Transit Cooperative Research Program (TCRP) serves as one of the principal means by which the transit industry can develop innovative near-term solutions to meet demands placed on it. The need for TCRP was originally identified in TRB Special Report 213—Research for Public Transit: New Directions, published in 1987 and based on a study sponsored by the Urban Mass Transportation Administration—now the Federal Transit Administration (FTA). A report by the American Public Transportation Association (APTA), Transportation 2000, also recognized the need for local, problem- solving research. TCRP, modeled after the successful National Cooperative Highway Research Program (NCHRP), undertakes research and other technical activities in response to the needs of transit service providers. The scope of TCRP includes various transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Pro- posed by the U.S. Department of Transportation, TCRP was autho- rized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organizations: FTA; the National Academies of Sci- ences, Engineering, and Medicine, acting through the Transportation Research Board (TRB); and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization estab- lished by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Committee. Research problem statements for TCRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the respon- sibility of the TOPS Committee to formulate the research program by identifying the highest priority projects. As part of the evaluation, the TOPS Committee defines funding levels and expected products. Once selected, each project is assigned to an expert panel appointed by TRB. The panels prepare project statements (requests for propos- als), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing cooperative research programs since 1962. As in other TRB activities, TCRP project panels serve voluntarily without compensation. Because research cannot have the desired effect if products fail to reach the intended audience, special emphasis is placed on dissemi- nating TCRP results to the intended users of the research: transit agencies, service providers, and suppliers. TRB provides a series of research reports, syntheses of transit practice, and other support- ing material developed by TCRP research. APTA will arrange for workshops, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. TCRP SYNTHESIS 125 Project J-7, Topic SA-37 ISSN 1073-4880 ISBN 978-0-309-38985-3 Library of Congress Control Number 2016957901 © 2017 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessari- ly those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Transit Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

TOPIC PANEL SA-37 JOHN PLINY AURELIUS, East Haven, CT BRIAN BROOKE, Sound Transit, Seattle, WA TATIANA JANE, Regional Transportation Authority, Chicago, IL GERALD KANE, SEPTA, Philadelphia, PA CAROL KUESTER, Metropolitan Transportation Commission, Oakland, CA JOSHUA C. MARTIESIAN, Metropolitan Transportation Authority, New York, NY JARRETT STOLTZFUS, Foothill Transit, West Covina, CA FAITH HALL, Federal Transit Administration (Liaison) SYNTHESIS STUDIES STAFF STEPHEN R. GODWIN, Director for Studies and Special Programs JON M. WILLIAMS, Program Director, IDEA and Synthesis Studies MARIELA GARCIA-COLBERG, Senior Program Officer JO ALLEN GAUSE, Senior Program Officer GAIL R. STABA, Senior Program Officer TANYA M. ZWAHLEN, Consultant DON TIPPMAN, Senior Editor CHERYL KEITH, Senior Program Assistant DEMISHA WILLIAMS, Senior Program Assistant DEBBIE IRVIN, Program Associate COOPERATIVE RESEARCH PROGRAMS STAFF CHRISTOPHER J. HEDGES, Director, Cooperative Research Programs LORI L. SUNDSTROM, Deputy Director, Cooperative Research Programs GWEN CHISHOLM SMITH, Manager, Transit Cooperative Research Program EILEEN P. DELANEY, Director of Publications TCRP COMMITTEE FOR PROJECT J-7 CHAIR BRAD J. MILLER, Pinellas Suncoast Transit Authority, St. Petersburg, FL MEMBERS DONNA DeMARTINO, San Joaquin Regional Transit District, Stockton, CA MICHAEL FORD, The Regional Transit Authority of Southeast Michigan, Detroit BOBBY J. GRIFFIN, Griffin and Associates, Flower Mound, TX ROBERT H. IRWIN, Consultant, Sooke, BC, Canada JEANNE KRIEG, Eastern Contra Costa Transit Authority, Antioch, CA PAUL J. LARROUSSE, Rutgers, The State University of New Jersey, New Brunswick DAVID A. LEE, Connecticut Transit, Hartford ELIZABETH PRESUTTI, Des Moines Area Regional Transit Authority–DART ROBERT H. PRINCE, JR, AECOM Consulting Transportation Group, Inc., Boston, MA JARRETT STOLTZFUS, Foothill Transit, West Covina, CA FTA LIAISONS FAITH HALL, Federal Transit Administration TRB LIAISON STEPHEN J. ANDRLE, Transportation Research Board Cover figure: Three ORCA Lift users showing their ORCA cards. Credit: King County Metro, Operations Report, Sept. 2016.

FOREWORD Electronic fare payment systems (EFPS), such as smart cards, continue to be implemented in transit systems around the United States. This document synthesizes the current practice and describes the challenges and benefits of utilizing EFPS. This study focused on the use of EFPS for multimodal, multiagency environments. At the time of the study, only 40 agencies had deployed EFPS, and of those, only 27 are considered multiagency or multimodal. A survey was sent to these 27 systems with 23 of them responding (an 85% response rate). The report is supplemented by a literature review of different experiences and informative detailed case examples. This Synthesis will be valuable to transit chief executive officers and all other transit employees involved in fare structure, policy, and technologies. It will help transit agencies share and learn from each other about the experience of dealing and maintaining EFPS. Paula Okunieff, GO Systems and Solutions, LLC, Boston, Massachusetts, collected and synthesized the information and wrote the report, under the guidance of a panel of experts in the subject area. The members of the topic panel are acknowledged on the preceding page. This synthesis is an immediately useful document that records the practices that were acceptable within the limitations of the knowledge available at the time of its preparation. As progress in research and practice continues, new knowledge will be added to that now at hand. Transit administrators, engineers, and researchers often face problems for which infor- mation already exists, either in documented form or as undocumented experience and prac- tice. This information may be fragmented, scattered, and unevaluated. As a consequence, full knowledge of what has been learned about a problem may not be brought to bear on its solution. Costly research findings may go unused, valuable experience may be overlooked, and due consideration may not be given to recommended practices for solving or alleviating the problem. There is information on nearly every subject of concern to the transit industry. Much of it derives from research or from the work of practitioners faced with problems in their day-to- day work. To provide a systematic means for assembling and evaluating such useful informa- tion and to make it available to the entire transit community, the Transit Cooperative Research Program Oversight and Project Selection (TOPS) Committee authorized the Transportation Research Board to undertake a continuing study. This study, TCRP Project J-7, “Synthesis of Information Related to Transit Problems,” searches out and synthesizes useful knowl- edge from all available sources and prepares concise, documented reports on specific topics. Reports from this endeavor constitute a TCRP report series, Synthesis of Transit Practice. This synthesis series reports on current knowledge and practice, in a compact format, without the detailed directions usually found in handbooks or design manuals. Each report in the series provides a compendium of the best knowledge available on those measures found to be the most successful in resolving specific problems. PREFACE By Mariela Garcia-Colberg Senior Program Officer Transportation Research Board

CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Project Objective, 5 Project Methodology, 5 Literature Review, 5 Industry Survey, 6 Case Examples, 6 Report Organization, 6 8 CHAPTER TWO INDUSTRY OVERVIEW History of Multiagency Electronic Fare Payment in the Literature, 8 Multiagency Electronic Fare Payment System Benefits and Business Case, 9 Next Generation Multiagency Electronic Fare Payment Systems, 12 Survey Respondents Multimodal Characteristics, 12 Traditional Transit Modes, 13 Non-Traditional Partners Included in Fare System, 14 16 CHAPTER THREE OVERVIEW OF BUSINESS AND GOVERNANCE MODELS Benefits of Multiagency Electronic Fare Payment Systems, 16 Who Should Lead: Organizational Structure, Roles, and Responsibilities, 16 Business and Governance Model Characteristics, 18 Common Infrastructure and Shared Service Model, 18 Hybrid Infrastructure and Services Model, 20 Common Infrastructure and Independent Services, 20 Independent Infrastructure and Services (Common/Interoperable Media), 20 Governance Leadership, 20 Challenges, Strengths, and Weaknesses, 21 Challenging Issues, 21 Issues Easy to Address, 22 Strengths, 22 Weaknesses, 22 24 CHAPTER FOUR INTEGRATED FARE POLICIES AND SALES IN A MULTIMODAL ENVIRONMENT Fare Policy Survey Responses, 25 Fare Structure, 25 Transfers and Multimodal Coordination Discounts, 28 Fare Rider Categories, 30 Fare Products and Media, 30 Sales and Provisioning Channel Survey Responses, 32

35 CHAPTER FIVE PROCUREMENT AND DEPLOYMENT STRATEGIES Fare Payment Systems and Services, 35 Procurement and Contract Models, 36 Rollout, 36 Survey Responses: Procurement Strategies, 38 Contracting Alternatives, 38 Contract Staging Strategy, 39 Staging Partner Agency Deployment, 40 Reason for Approach, 41 Challenges of Approach, 42 Lessons Learned, 42 44 CHAPTER SIX ACCOUNT-BASED FARE PAYMENT SYSTEMS Historical Overview, 44 Types of Account-Based Systems, 45 Open Design/Technology and Payment Architecture—Open and Mobile Payments, 45 Open Design/Technology and Closed Payment Architecture—Mobile Ticketing, 47 Open Design/Technology and Closed Payment Architecture—Use of Other Credentials, 47 Case Example: Ventra Program—An Account-Based/Open Payment Fare System, 47 Non-Traditional Partners Participating in Common Electronic Payment System, 51 Transportation Service Payment Convergence, 52 Integration Trends with Non-Traditional Partners, 52 Non-Traditional Partner Case Examples, 54 58 CHAPTER SEVEN FARE DATA MANAGEMENT AND REPORTING Literature Review, 58 Published Performance Measures and Open Data, 58 Case Example: WMATA: Data Management, Analysis and Visualization, 62 WMATA Fare Data Management, 62 WMATA Performance Analysis and Visualization, 65 68 CHAPTER EIGHT CONCLUSIONS AND SUGGESTIONS FOR FURTHER RESEARCH 71 ACRONYMS 72 GLOSSARY 74 REFERENCES 76 APPENDIX A SURVEY QUESTIONNAIRE 114 APPENDIX B LIST OF RESPONDING AGENCIES 115 APPENDIX C TABLES FOR THE COMMON ELECTRONIC FARE SYSTEM TIMELINE TABLE C1 Smart Card Timeline, 116 TABLE C2 Mobile Fare App Timeline, 119 120 APPENDIX D PROCUREMENT DIMENSIONS

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TRB's Transit Cooperative Research Program (TCRP) Synthesis 125: Multiagency Electronic Fare Payment Systems describes the current practice, challenges, and benefits of utilizing electronic fare payment systems (EFPS), such as smart cards. This synthesis reviews current systems and identifies their major challenges and benefits; describes the use of electronic fare systems in multimodal, multiagency environments; and reviews next-generation approaches through existing implementation case examples.

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