**HOV Pooled-Fund Study 2005 Annual Meeting**

**Project Proposal Form**

+-----------------------------------+-----------------------------------+
| **Project Title:** Automated      |                                   |
| Vehicle Occupancy Enforcement     |                                   |
| Study Project Number: 1           |                                   |
+-----------------------------------+-----------------------------------+
| Statement of Problem:             |                                   |
|                                   |                                   |
| Efficiently operated High         |                                   |
| Occupancy Vehicle (HOV) lanes     |                                   |
| increase travel speed,            |                                   |
| reliability, and vehicle and      |                                   |
| person-carrying capacity of       |                                   |
| roadways in urban areas. However, |                                   |
| the success of these facilities   |                                   |
| as a viable transportation        |                                   |
| strategy is dependent upon the    |                                   |
| enforcement of occupancy          |                                   |
| regulations. Monitoring and       |                                   |
| enforcing regulations is          |                                   |
| difficult, expensive and          |                                   |
| potentially hazardous to officers |                                   |
| because on-site presence is       |                                   |
| required. As more and more        |                                   |
| managed lanes emerge that cater   |                                   |
| to a wider array of users through |                                   |
| pricing, enforcement has become   |                                   |
| more complicated in determining   |                                   |
| who is an HOV that receives free  |                                   |
| or reduced pricing for travel     |                                   |
| within a varied traffic stream.   |                                   |
| For priced lanes, persistent      |                                   |
| violation problems can result in  |                                   |
| a significant amount of lost      |                                   |
| revenue.                          |                                   |
|                                   |                                   |
| The principal impediment to more  |                                   |
| efficient HOV lane enforcement is |                                   |
| vehicle occupancy verification.   |                                   |
| Electronic toll collection,       |                                   |
| license plate recognition and a   |                                   |
| myriad of other technologies have |                                   |
| been developed and refined in     |                                   |
| recent decades to ensure the      |                                   |
| integrity of enhanced             |                                   |
| transportation systems. Several   |                                   |
| semi- and fully automated         |                                   |
| techniques for determining the    |                                   |
| number of persons in a moving     |                                   |
| vehicle have undergone limited    |                                   |
| field testing, including          |                                   |
| operator-monitored video cameras  |                                   |
| and infrared composite imaging.   |                                   |
| However, no automated solution    |                                   |
| has yet been developed for field  |                                   |
| implementation, and no system has |                                   |
| been found foolproof enough to    |                                   |
| satisfy traffic courts involving  |                                   |
| in upholding citations issued. As |                                   |
| a result, HOV facility operators  |                                   |
| have traditionally relied on      |                                   |
| field enforcement to manage       |                                   |
| occupancy violations.             |                                   |
|                                   |                                   |
| > Given widespread plans for      |                                   |
| > development of HOV and HOT      |                                   |
| > (High Occupancy Toll) lanes in  |                                   |
| > a number of metropolitan areas, |                                   |
| > improved vehicle occupancy      |                                   |
| > verification techniques         |                                   |
| > urgently need to be explored.   |                                   |
| > The proposed research involves  |                                   |
| > a first step toward identifying |                                   |
| > and implementing improved       |                                   |
| > methods for automating          |                                   |
| > occupancy monitoring,           |                                   |
| > verification and enforcement.   |                                   |
| > The work scope entails a review |                                   |
| > and systematic evaluation of    |                                   |
| > the most successful vehicle     |                                   |
| > occupancy verification          |                                   |
| > concepts, methods, and          |                                   |
| > technologies under development  |                                   |
| > and on the horizon in the       |                                   |
| > United Stated and abroad. The   |                                   |
| > effectiveness of these          |                                   |
| > techniques will be assessed on  |                                   |
| > the basis of safety, physical   |                                   |
| > feasibility, impact on          |                                   |
| > occupancy violations and HOV    |                                   |
| > facility operations, cost and   |                                   |
| > ease of implementation,         |                                   |
| > privacy, effectiveness,         |                                   |
| > reliability, and other          |                                   |
| > criteria. The research will     |                                   |
| > also explore how these          |                                   |
| > techniques can be integrated    |                                   |
| > with automated toll violation   |                                   |
| > operations.                     |                                   |
| >                                 |                                   |
| > This project will build off of  |                                   |
| > previously completed or current |                                   |
| > initiatives that provide        |                                   |
| > insight and examples on         |                                   |
| > automated vehicle enforcement.  |                                   |
| > This study will also seek to    |                                   |
| > lay the groundwork for          |                                   |
| > developing an                   |                                   |
| > electronic/automated process or |                                   |
| > technique to observe vehicle    |                                   |
| > occupancy in support of HOV/HOT |                                   |
| > lane monitoring for compliance. |                                   |
+-----------------------------------+-----------------------------------+
| Suggested Approach:               |                                   |
|                                   |                                   |
| The objective of this research is |                                   |
| to identify and systematically    |                                   |
| evaluate automated vehicle        |                                   |
| occupancy verification concepts,  |                                   |
| methods, and technologies that    |                                   |
| are being researched, under       |                                   |
| development and on the horizon in |                                   |
| the United States and abroad. The |                                   |
| suggested approach to the project |                                   |
| include:                          |                                   |
|                                   |                                   |
| [Literature Review:]{.underline}  |                                   |
| Review and synthesize past and    |                                   |
| recent research.                  |                                   |
|                                   |                                   |
| [Technology Review and            |                                   |
| Evaluation:]{.underline} With     |                                   |
| guidance from the                 |                                   |
| practitioners/HOV PFS members,    |                                   |
| review current demonstrations and |                                   |
| technologies and identify         |                                   |
| potential concepts and technology |                                   |
| that may be considered for        |                                   |
| further research and development, |                                   |
| including strategies and          |                                   |
| technology emerging from the      |                                   |
| Vehicle-Infrastructure            |                                   |
| Integration (VII) initiative and  |                                   |
| other parallel research efforts.  |                                   |
| This task will also include       |                                   |
| evaluation of reviewed and        |                                   |
| potential concepts and            |                                   |
| technology; identification of     |                                   |
| promising technologies that might |                                   |
| be recommended for further        |                                   |
| research, development and         |                                   |
| evaluation; and exploring how     |                                   |
| these techniques can be           |                                   |
| integrated with automated toll    |                                   |
| violation operations              |                                   |
|                                   |                                   |
| [Requirements                     |                                   |
| Definition]{.underline}: Develop  |                                   |
| criteria for improved occupancy   |                                   |
| verification. Specific focus will |                                   |
| be given to defining functional   |                                   |
| requirements for                  |                                   |
| systems/techniques that are       |                                   |
| capable of occupancy verification |                                   |
| with multiple user groups (some   |                                   |
| priced, some free) and complex    |                                   |
| roadway settings with dynamic     |                                   |
| restrictions by time of day and   |                                   |
| day of week.                      |                                   |
|                                   |                                   |
| [Implementation                   |                                   |
| Considerations:]{.underline}      |                                   |
| Research and develop guidance on  |                                   |
| the following areas of major      |                                   |
| concern as it relates to          |                                   |
| implementing automated occupancy  |                                   |
| verification systems:             |                                   |
|                                   |                                   |
| -   Public/political perceptions  |                                   |
|     regarding personal privacy    |                                   |
|                                   |                                   |
| -   Needs and issues associated   |                                   |
|     with the legal system and     |                                   |
|     traffic courts                |                                   |
|                                   |                                   |
| -   Cost and economics            |                                   |
|                                   |                                   |
| [Summary of                       |                                   |
| Findings]{.underline}: Prepare a  |                                   |
| research white paper outlining    |                                   |
| research findings and             |                                   |
| recommendations. Summary will     |                                   |
| also outline further research     |                                   |
| needs and next steps to a more    |                                   |
| comprehensive study to further    |                                   |
| research, development, or testing |                                   |
| with regard to automated vehicle  |                                   |
| occupancy detection and           |                                   |
| verification.                     |                                   |
+-----------------------------------+-----------------------------------+
| Products:                         |                                   |
|                                   |                                   |
| -   A Research White Paper        |                                   |
|                                   |                                   |
| -   Outreach Material             |                                   |
|     (Presentation and Fact Sheet) |                                   |
+-----------------------------------+-----------------------------------+
| End Users (Product Customer):     |                                   |
|                                   |                                   |
| -   Representative state DOTs,    |                                   |
|     Metropolitan Planning         |                                   |
|     Organizations, transit        |                                   |
|     agencies, enforcement         |                                   |
|     agencies and others having a  |                                   |
|     role in the planning,         |                                   |
|     management, operation,        |                                   |
|     enforcement of HOV            |                                   |
|     facilities.                   |                                   |
|                                   |                                   |
| -   Supervisors, technical staff  |                                   |
|     (planners and operators), and |                                   |
|     public safety and enforcement |                                   |
|     agencies involved in the      |                                   |
|     planning, development, and    |                                   |
|     implementation of HOV         |                                   |
|     enforcement policies and      |                                   |
|     programs.                     |                                   |
+-----------------------------------+-----------------------------------+
| Training, Outreach, and           |                                   |
| Distribution Plan:                |                                   |
|                                   |                                   |
| -Outreach and awareness as to the |                                   |
| availability of the product       |                                   |
| through professional              |                                   |
| organizations.                    |                                   |
|                                   |                                   |
| -Publicized through FHWA          |                                   |
| Divisions, Resource Centers and   |                                   |
| related program activities.       |                                   |
|                                   |                                   |
| -The handbook will be available   |                                   |
| via CD as well as the Internet.   |                                   |
+-----------------------------------+-----------------------------------+
| Rough Order of Magnitude Cost:    | Comments:                         |
|                                   |                                   |
| Person Hours:                     | -Direct costs include limited     |
|                                   | funding to accommodate any        |
| Labor Cost: [\$]{.underline}      | interaction and review of         |
|                                   | practitioners on the development  |
| Direct Costs: [\$]{.underline}    | of this product and to obtain any |
|                                   | available information from        |
| Total Cost: [\$                   | agencies via interviews and       |
| 100,000]{.underline}              | on-site visits to support         |
|                                   | development of case studies.      |
|                                   |                                   |
|                                   | -Support initial distribution of  |
|                                   | limited number of copies to each  |
|                                   | State DOT.                        |
+-----------------------------------+-----------------------------------+
| In-Kind Support or Other Funding  |                                   |
| (Beyond SP&R):                    |                                   |
|                                   |                                   |
| -FHWA and pooled fund             |                                   |
| participants technical support    |                                   |
| and project management in the     |                                   |
| development of the project        |                                   |
| proposal, scope and product       |                                   |
| development.                      |                                   |
+-----------------------------------+-----------------------------------+
| Suggested Schedule for Major      |                                   |
| Milestones:                       |                                   |
|                                   |                                   |
| -12 months                        |                                   |
+-----------------------------------+-----------------------------------+
| Benefits:                         |                                   |
|                                   |                                   |
| The findings of this project will |                                   |
| assist in identifying,            |                                   |
| developing, and implementing      |                                   |
| cost-effective, automated         |                                   |
| techniques for verifying vehicle  |                                   |
| occupancy to continue offering    |                                   |
| HOV preference in an effective    |                                   |
| way.                              |                                   |
+-----------------------------------+-----------------------------------+