A presentation on how to develop the architecture for a road tolling system. Includes the use of a rich picture and various architectural models. Presented at the RTIC 2008 conference.

1. Tolling System Architectures Rupert Brown ETTM, ConnectEast Melbourne, Victoria, Australia

5. Use a method – Soft Systems Methodology Problem situation unstructured Problem situation expressed Root Definition of relevant systems Conceptual models Other systems thinking Formal systems model Real world/Systems world comparison Feasible/Desirable Changes Actions to Improve Real World Systems World SE Architecture Rich Picture CATWOE

6. Street parking Car parks Congestion charging Bridges Roads Tunnels Railways Airports Sea Ports Types of Infrastructure Tolling Types of Application Public Transport Ticketing DSRC Tags Phones GNSS Constellation Smart Cards GPS OBU Video Gantries Technical Elements Picture Enforcement Each infrastructure type has its own best way of being funded and generating revenue. Technology has to be appropriate for the application and cost. RFID Tags The nature of the asset, technology and the business case drives the form of the solution. Get the people who use the asset but don’t pay – no arrangement. ? Interoperability Other infrastructure operators Do we have a clearing house? Our customers accessing all our channels Our bank Calculate how much users have to pay. Recover money from bad customers Interoperability agreements. Shareholders want their cut of money Charge that to our customer’s account. Usage event information, Information to identify the user, Evidence of use, Government Authorities who control the concessions and have audit powers. Who is this? Do they have an arrangement with us, or somebody else? We send you – a device, tag maybe, A statement/invoice, on a regular basis, Information we think you’ll want. You send us money. Customers We exchange customer information, Information on our customer’s usage, The money that we owe each other. Manage all our money. Money to/from the bank. Payday for shareholders. Money for the Government Mobile monitoring Recover money owed to us. Use the courts if necessary. Process and confirm pictures HOT LANE Rich Picture of a Charging System for Infrastructure Usage (CSIU) To show, in an unstructured way, most of the significant elements that come into play when thinking about developing a charging system for infrastructure usage. Rupert Brown 2007 Infrared [Stage 2 – “Problem situation expressed” from the SSM]

8. Street parking Car parks Congestion charging Bridges Roads Tunnels Railways Airports Sea Ports Types of Infrastructure Tolling Types of Application Public Transport Ticketing DSRC Tags Phones GNSS Constellation Smart Cards GPS OBU Video Gantries Technical Elements Picture Enforcement Each infrastructure type has its own best way of being funded and generating revenue. Technology has to be appropriate for the application and cost. RFID Tags The nature of the asset, technology and the business case drives the form of the solution. Get the people who use the asset but don’t pay – no arrangement. ? Interoperability Other infrastructure operators Do we have a clearing house? Our customers accessing all our channels Our bank Calculate how much users have to pay. Recover money from bad customers Interoperability agreements. Shareholders want their cut of money Charge that to our customer’s account. Usage event information, Information to identify the user, Evidence of use, Government Authorities who control the concessions and have audit powers. Who is this? Do they have an arrangement with us, or somebody else? We send you – a device, tag maybe, A statement/invoice, on a regular basis, Information we think you’ll want. You send us money. Customers We exchange customer information, Information on our customer’s usage, The money that we owe each other. Manage all our money. Money to/from the bank. Payday for shareholders. Money for the Government Mobile monitoring Recover money owed to us. Use the courts if necessary. Process and confirm pictures HOT LANE Rupert Brown 2007 Infrared Detecting usage of the asset Reconstructing how the asset was used Calculating a charge for the asset’s use Identifying who to charge for the asset usage Exchanging data and money with other asset operators Servicing the needs of our customers Getting money from our customers Enforcing the need to pay to use the asset Collecting money owed Managing the money Managing the CSIU systems Using the Rich Picture to draw out the main functional elements of CSIU The start of the process to bring structure to the mass of unstructured elements within the Rich Picture. Gathering evidence of use

9. Detecting usage of the asset Reconstructing how the asset was used Calculating a charge for the asset’s use Identifying who to charge for the asset usage Exchanging data and money with other asset operators Servicing the needs of our customers Getting money from our customers Enforcing the need to pay to use the asset Collecting money owed Managing the money Managing the CSIU systems Gathering evidence of use Street parking Car parks Congestion charging Bridges Roads Tunnels Railways Airports Sea Ports Types of Infrastructure Tolling Types of Application Public Transport Ticketing DSRC Tags Phones GNSS Constellation Smart Cards GPS OBU Video Gantries Technical Elements Picture Enforcement Each infrastructure type has its own best way of being funded and generating revenue. Technology has to be appropriate for the application and cost. RFID Tags The nature of the asset, technology and the business case drives the form of the solution. Get the people who use the asset but don’t pay – no arrangement. ? Interoperability Other infrastructure operators Do we have a clearing house? Our customers accessing all our channels Our bank Calculate how much users have to pay. Recover money from bad customers Interoperability agreements. Shareholders want their cut of money Charge that to our customer’s account. Usage event information, Information to identify the user, Evidence of use, Government Authorities who control the concessions and have audit powers. Who is this? Do they have an arrangement with us, or somebody else? We send you – a device, tag maybe, A statement/invoice, on a regular basis, Information we think you’ll want. You send us money. Customers We exchange customer information, Information on our customer’s usage, The money that we owe each other. Manage all our money. Money to/from the bank. Payday for shareholders. Money for the Government Mobile monitoring Recover money owed to us. Use the courts if necessary. Process and confirm pictures HOT LANE Rupert Brown 2007 Infrared Using the Rich Picture to draw out the main functional elements of CSIU The start of the process to bring structure to the mass of unstructured elements within the Rich Picture.

10. Detecting usage of the asset Reconstructing how the asset was used Calculating a charge for the asset’s use Identifying who to charge for the asset usage Exchanging data and money with other asset operators Servicing the needs of our customers Getting money from our customers Enforcing the need to pay to use the asset Collecting money owed Managing the money Managing the CSIU systems Gathering evidence of use Asset Usage Detection FA Function: to detect and gather identifying token data on people using the asset. Tied to the asset. Manage the CSIU System FA Function: to monitor, manage and maintain the CSIU System. Management Commands Status Reports Asset Usage Reconstruction FA Function: to reconstruct, based on the detected usage, a complete usage event. Interoperable Arrangements to Pay FA Function: to manage the exchange of information and money with other asset operators so as to enable people with arrangements to pay to use our asset and vice versa. Other asset operators. Asset Usage Rating FA Function: to determine how a complete usage event should be rated, i.e. the charge for use. Evidence of use Gathering FA Function: to gather evidence that the asset was used at a determined date and time. Usage & Token Correlation FA Function: to associate rated user events with the tokens that will allow the asset user to be identified. Pay for Usage Enforcement FA Function: to manage the collection of money from people who have used the asset but not made arrangements to pay. Channels to our “ would be” customers. Serving our Customers FA Function: to keep up to date all the information we need on people with arrangements to pay and respond to other queries. Channels to our Customers. Corporate Money Management FA Function: to manage all the money coming in to and going out from the CSIU. Interface with Banks, Financial Institutions, Government and individuals. Debt Collection FA Function: to manage the collection of money from people who have used the asset and have made arrangements to pay, but for whatever reason haven’t. Our Customers. User Charging FA Function: to manage the collection of money from people who have used the asset and have made arrangements to pay, and to hand off for those that haven’t. Identification of CSIU Functional Areas (FA) their basic Descriptions Using the functional elements drawn out from the analysis of the Rich Picture to create a first pass at a system block diagram for the CSIU, including basic data flows. © Rupert Brown 2008 Usage detections Complete usage events Rated usage events Token identification data Evidence of use Rated usage events with token identifiers Details of people with arrangements to pay. Details of usage and other notifications. Details of people with arrangements to pay with other operators, 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 not paying the money they owe us. Outcome of a debt recovery process. Financial reconciliation information. Financial reconciliation information. [FA – Functional Area] Usage detections

11. Asset Usage Detection FA Function: to detect and gather identifying token data on people using the asset. Tied to the asset. Manage the CSIU System FA Function: to monitor, manage and maintain the CSIU System. Management Commands Status Reports Asset Usage Reconstruction FA Function: to reconstruct, based on the detected usage, a complete usage event. Interoperable Arrangements to Pay FA Function: to manage the exchange of information and money with other asset operators so as to enable people with arrangements to pay to use our asset and vice versa. Other asset operators. Asset Usage Rating FA Function: to determine how a complete usage event should be rated, i.e. the charge for use. Evidence of use Gathering FA Function: to gather evidence that the asset was used at a determined date and time. Usage & Token Correlation FA Function: to associate rated user events with the tokens that will allow the asset user to be identified. Pay for Usage Enforcement FA Function: to manage the collection of money from people who have used the asset but not made arrangements to pay. Channels to our “ would be” customers. Serving our Customers FA Function: to keep up to date all the information we need on people with arrangements to pay and respond to other queries. Channels to our Customers. Corporate Money Management FA Function: to manage all the money coming in to and going out from the CSIU. Interface with Banks, Financial Institutions, Government and individuals. Debt Collection FA Function: to manage the collection of money from people who have used the asset and have made arrangements to pay, but for whatever reason haven’t. Our Customers. User Charging FA Function: to manage the collection of money from people who have used the asset and have made arrangements to pay, and to hand off for those that haven’t. Identification of CSIU Functional Areas (FA) their basic Descriptions Using the functional elements drawn out from the analysis of the Rich Picture to create a first pass at a system block diagram for the CSIU, including basic data flows. © Rupert Brown 2008 Usage detections Complete usage events Rated usage events Token identification data Evidence of use Rated usage events with token identifiers Details of people with arrangements to pay. Details of usage and other notifications. Details of people with arrangements to pay with other operators, 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 not paying the money they owe us. Outcome of a debt recovery process. Financial reconciliation information. Financial reconciliation information. [FA – Functional Area] Usage detections Manage the CSIU System FA Monitor system component health Report system alerts, alarms and failures Maintain service schedules and histories Maintain technical information Maintain warranty, licence and service organisation details Asset Usage Detection FA Manage detection and access systems Manage detection events in time and space Capture detection event record (video, TRX, biometrics) Manage real time authorisation/ access request Evidence of use Gathering FA Convert detection event records into machine readable form Identify tokens from event records Correlate & consolidate multiple records into single compound record Encapsulate and encrypt compound record data in repository Manage the record repository Asset Usage Reconstruction FA Maintain the detection system (asset) topology Maintain the timeliness of usage detections Create usage events based on token identifications Adjust usage events Determine user class or characteristics Asset Usage Rating FA Maintain the timeliness of usage events Maintain the set of charging schemes and rate tables Determine and assign the charge to the usage event Adjust charges as the usage event changes Usage & Token Correlation FA Assess tokens and create a token pattern for a usage event Determine “best fit” tokens to apply to the usage event Mark usage event with the “best fit” tokens Add token pattern to the patterns repository Adjust tokens assigned to usage events Pay for Usage Enforcement FA Manage the identification of the asset user Manage the “post use” invoice process Manage statutory declarations Produce the “evidence of use” package Manage the relationship with the civil courts Receipt money User Charging FA Maintain accounts and account hierarchies (arrangements to pay) Allocate usage charges to accounts based on token identification Calculate and apply fees, charges and discounts to accounts Manage adjustments to accounts Manage exempt and un-chargeable usage events Prepare statements and invoices and issue across channels Manage real-time access authorisation requests Manage events with users without arrangements to pay Serving our Customers FA Gather intelligence on and profile our customers Develop new infrastructure access and related services products Sell and cross-sell access and service products Maintain customer account details Manage customer queries, issues and complaints Manage payments, refunds and adjustments Manage information and service levels across all channels Manage ordering of physical token devices Corporate Money Management FA Manage automatic payment arrangements across channels Manage all financial channel transactions Manage the General Ledger Undertake accounts and bank reconciliation Undertake financial reporting Manage all financial audit activities Debt Collection FA Identify debts, review and confirm/ reject debt based on evidence Review debt history and existing collection arrangements Manage and operate in-house debt collection processes Manage outsourced debt collection processes Manage legal processes associated with debt collection Interoperable Arrangements to Pay FA Receive and process “Arrangements to pay” lists Create and send “Arrangements to pay” lists Receive and process rated and identified home usage events Create and send rated and identified FO usage events Manage disputed usage events Development of the CSIU’s functional areas (FA) into a functional architecture Using the functional areas (FA) as the basis, this diagram develops the concept to produce a basic functional architecture for the CSIU. © Rupert Brown 2008 Token Logistics FA Order token devices and manage good inwards Manage warehouse inventories Manage dispatch to customers Manage returns for reissue, repair and retirement

12. Back Office System Usage Detection System Management Usage Evidence Management Usage Reconstruction & Rating Enforcement System Interoperability System Manage the CSIU System FA Monitor system component health Report system alerts, alarms and failures Maintain service schedules and histories Maintain technical information Maintain warranty, licence and service organisation details Asset Usage Detection FA Manage detection and access systems Manage detection events in time and space Capture detection event record (video, TRX, biometrics) Manage real time authorisation/ access request Evidence of use Gathering FA Convert detection event records into machine readable form Identify tokens from event records Correlate & consolidate multiple records into single compound record Encapsulate and encrypt compound record data in repository Manage the record repository Asset Usage Reconstruction FA Maintain the detection system (asset) topology Maintain the timeliness of usage detections Create usage events based on token identifications Adjust usage events Determine user class or characteristics Asset Usage Rating FA Maintain the timeliness of usage events Maintain the set of charging schemes and rate tables Determine and assign the charge to the usage event Adjust charges as the usage event changes Usage & Token Correlation FA Assess tokens and create a token pattern for a usage event Determine “best fit” tokens to apply to the usage event Mark usage event with the “best fit” tokens Add token pattern to the patterns repository Adjust tokens assigned to usage events Pay for Usage Enforcement FA Manage the identification of the asset user Manage the “post use” invoice process Manage statutory declarations Produce the “evidence of use” package Manage the relationship with the civil courts Receipt money User Charging FA Maintain accounts and account hierarchies (arrangements to pay) Allocate usage charges to accounts based on token identification Calculate and apply fees, charges and discounts to accounts Manage adjustments to accounts Manage exempt and un-chargeable usage events Prepare statements and invoices and issue across channels Manage real-time access authorisation requests Manage events with users without arrangements to pay Serving our Customers FA Gather intelligence on and profile our customers Develop new infrastructure access and related services products Sell and cross-sell access and service products Maintain customer account details Manage customer queries, issues and complaints Manage payments, refunds and adjustments Manage information and service levels across all channels Manage ordering of physical token devices Corporate Money Management FA Manage automatic payment arrangements across channels Manage all financial channel transactions Manage the General Ledger Undertake accounts and bank reconciliation Undertake financial reporting Manage all financial audit activities Debt Collection FA Identify debts, review and confirm/ reject debt based on evidence Review debt history and existing collection arrangements Manage and operate in-house debt collection processes Manage outsourced debt collection processes Manage legal processes associated with debt collection Interoperable Arrangements to Pay FA Receive and process “Arrangements to pay” lists Create and send “Arrangements to pay” lists Receive and process rated and identified home usage events Create and send rated and identified FO usage events Manage disputed usage events Development of the CSIU’s functional areas (FA) into a functional architecture Using the functional areas (FA) as the basis, this diagram develops the concept to produce a basic functional architecture for the CSIU. © Rupert Brown 2008 Token Logistics FA Order token devices and manage good inwards Manage warehouse inventories Manage dispatch to customers Manage returns for reissue, repair and retirement Allocation of the functional architecture to create the system architecture Using the functional architecture as the basis, this diagram applies the COTS vs “purpose build” test to derive system architecture components. © Rupert Brown 2008 COTS Purpose built

13. Back Office System Usage Detection System Management Usage Evidence Management Usage Reconstruction & Rating Enforcement System Interoperability System System Management Usage Evidence Management Usage Reconstruction & Rating Back Office System Enforcement System Interoperability System Usage Detection Usage Detection Usage Detection Usage Detection Usage Detection Usage Detection Usage detection is linked to the asset. Web IVR SMS Customer Channels Bank POS DCA MH Services Other asset operators Legal system COTS Product “ Purpose Built” Product POS – Point of Sale e.g. Post Office DCA – Debt Collection Agency MH – Mailing House IVR – Interactive Voice Recognition SMS – Short Message Service (phone) CSIU Basic System Architecture © Rupert Brown 2008 External (world) interface TS TS – Token Supplier(s)         Interface numbering

17. XCH CRM Financials Data Warehouse Toll Operating System TSMC ALC IVR EFTPOS Web Post Office Bank Enforcement Look up DCA Mail House Tag distributor Interoperability Customer Service System 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. Usage Detection Usage Detection Usage Detection Usage Detection Usage Detection Usage Detection Usage detection is linked to the asset. Usage Evidence Management System Management Usage Reconstruction & Rating Back Office System Enforcement System Interoperability System Web IVR SMS Customer Channels Bank POS DCA MH Services Other asset operators Legal system COTS Product “ Purpose Built” Product POS – Point of Sale e.g. Post Office DCA – Debt Collection Agency MH – Mailing House IVR – Interactive Voice Recognition SMS – Short Message Service (phone) CSIU Basic System Architecture © Rupert Brown 2008 External (world) interface TS TS – Token Supplier(s)         Interface numbering