Infrastructure Owner Operators Guiding Principles for Connected Infrastructure Supporting Cooperative Automated Transportation Supporting Technical Concepts February 2020 AASHTO/ITE/ITSA Joint Task Force for IOO Guiding Principles for Connected Infrastructure for Cooperative Automated Transportation Executive Oversight Jennifer Cohan, Delaware DOT Roger Millar, Washington State DOT Joint Task Force Co-Chairs Collin Castle, Michigan DOT Faisal Saleem, Maricopa County DOT Joint Task Force Members AASHTO Tracy Larkin Thomason, Nevada DOT John Hibbard, Georgia DOT Blaine Leonard, Utah DOT Joseph Sagal, Maryland DOT ITE Steve Kuciemba, WSP Raj Ponnaluri, Florida DOT ITSA John Kenney, Toyota Association Staff AASHTO Gummada Murthy Venkat Nallamothu Matt Hardy Patrick Zelinski ITE Jeff Lindley Siva Narla ITSA Amy Ford Steven Bayless Consultant Support Kyle Garrett, Synesis Partners ii Terminology AAMVA American Association of Motor Vehicle LIDAR Light Detection and Ranging Administrators MaaS Mobility as a Service AASHTO American Association of State Highway MOD Mobility on Demand and Transportation Officials MUTCD Manual on Uniform Traffic Control Devices ADS Automated Driving System NACo National Association of Counties AI Artificial Intelligence NCHRP National Cooperative Highway Research Program ATCMTD Advanced Transportation and Congestion Management Technologies Deployment NCSL National Conference of State Legislatures AV Automated Vehicle NHTSA National Highway Traffic Safety Administration CAMP Collision Avoidance Metrics Partnership NSTC National Science and Technology Council CAT Cooperative Automated Transportation NTCIP National Transportation Communications for ITS Protocol CAV Connected and Automated Vehicles OBU On-Board Unit CTSO (AASHTO) Committee on Transportation System Operations ODD Operational Design Domain CV Connected Vehicle OEM Original Equipment Manufacturer DAVI Data for Automated Vehicle Integration RSU Roadside Unit DOT Department of Transportation RLVW Red Light Violation Warning DSRC Dedicated Short-Range Communication RSZW Reduced Speed Zone Warning FCC Federal Communications Commission SAE Previously, Society of Automotive Engineers FHWA Federal Highway Administration SDO Standards Development Organization GHz Gigahertz SPaT Signal Phase and Timing GNSS Global Navigation Satellite System TMDD Traffic Management Data Dictionary GP Guiding Principle TNC Transportation Network Company GPS Global Positioning System TSMO Transportation System Management and Operations HMI Human Machine Interface UAV Unmanned Aerial Vehicle IHS Interstate Highway System USDOT United States Department of Transportation IOO Infrastructure Owner/Operator V2I Vehicle-to-Infrastructure ISO International Organization for Standardization V2V Vehicle-to-Vehicle ITE Institute of Transportation Engineers V2X Vehicle-to-Everything ITS Intelligent Transportation Systems VSL Variable Speed Limit ITSA Intelligent Transportation Society of America WG Working Group iii iv Table of Contents Executive Summary 1 Introduction and Purpose 2 Overview of CAT 2 Stakeholders and Their Objectives 3 Applicable Modes 4 Vehicle Automation 4 Roadway Automation 5 Technology and Communications 5 Applications 7 IOO Guiding Principles for CAT Infrastructure 8 The Need and Basis for GPs 8 Objectives of the GPs 9 GPs and Concepts 9 Automation 9 Data 12 Telecommunications 15 Operations 17 Collaboration 19 Applying the CAT Infrastructure GPs 20 CAT and IOO Processes 20 Preparing for CAT Infrastructure 22 Future Efforts 23 Resources and References 24 CAT Coalition Activities and Resources 24 National Cooperative Highway Research Program (NCHRP) Studies Related to CAT 24 USDOT/FHWA AV Resources and Projects 24 State Regulatory Perspectives 25 Applicable Standards 25 v Guiding Principles for Connected Infrastructure Supporting Cooperative Automated Transportation GP1—Automation: Support increased ve- hicle automation to improve traveler safety, mobility, equity, and efficiency. GP2—Data: Achieve a connected vehicle ecosystem that enables reliable, secure V2I data exchanges in order to support cooper- ative automated transportation to improve traveler safety, mobility, equity, and efficiency. GP3—Telecommunications: Protect and utilize the 5.9 Gigahertz (GHz) spectrum designated for “operations related to the improvement of traffic flow, traffic safety, and other intelligent transportation service applications.” GP4—Operations: Develop CAT strategies that enhance existing transportation system operational capabilities to improve traveler safety, mobility, equity, and efficiency. GP5—Collaboration: Collaborate and communicate with OEMs and mobility ser- vice providers in the planning, testing, and demonstrations of CAT applications to sup- port eventual interoperability and to achieve positive impacts on safety, mobility, equity, and efficiency. vi Executive Summary Cooperative Automated Transportation (CAT) envisions all stakeholders and elements of the transportation system working together to improve safety, mobility, equity, and operations efficiency through interdependent vehicle, infrastructure, and systems automation enabled by connectivity and information exchange. The con- cept is intentionally expansive, building on work being done among public agencies, industry, and academia to develop connected and automated vehicles and infrastructure systems to support them. It looks beyond exist- ing, developing, and planned transportation concepts to a fully integrated system serving travelers, goods, and services. Automated vehicles and the CAT concept are developing so quickly that the American Association of State Highway and Transportation Officials (AASHTO), Institute of Transportation Engineers (ITE), and the Intel- ligent Transportation Society of America (ITS America)formed a joint Task Force in 2019 to develop guiding principles for infrastructure owner/operators (IOOs) in supporting CAT. The resulting Guiding Principles (GPs) were then reviewed and approved within the three associations, with the final guiding principles being adopted by AASHTO at its Annual Meeting in October 2019. The GPs address five dimensions of IOO development of CAT. The functional core of CAT isAutomation of vehi- cles and the infrastructure that vehicles share with other CAT users. Data enables the automation. The vehicles and infrastructure may be the devices being automated, but data powers the automation. Communications enable the data interactions between the vehicles, infrastructure, and users. Operations capture and enact decisions about how the transportation system is automated. Collaboration creates an environment that values and incorporates the needs and objectives of all CAT participants. These five dimensions will work together to provide a seamless, consistent, and integrated CAT ecosystem across the nation. GPs are likely to change over time as new information and innovations come along. In the near term, the GPs reflect the consensus direction of the IOOs and can support impact assessment of CAV developments in a rap- idly changing CAT ecosystem. The GPs are not intended to constrain CAT deployment. Over the longer term, GPs are intended to give IOOs maximum institutional flexibility while working together to develop and deploy CAT strategy, standards, infra- structure, telecommunications, data exchange, best practices, and public information. This Supporting Technical Concepts document recognizes and acknowledges that agencies, their industry partners, and associations might benefit from additional context to supplement the guiding principles them- selves. It is not intended to be a “final” or “complete” description of technical resources that will be needed to support CAT deployments. It does provide a starting point for what will be a continuous process of assessing and responding to evolving institutional goals, operational objectives, and technological developments for CAT. The joint task force will be monitoring developments and amending these CAT technical concepts as ap- propriate, likely evolving into more formal technical support and exchange efforts. 1 Introduction and Purpose Cooperative Automated Transportation (CAT) envisions all stakeholders and elements of the transportation system working together to improve safety, mobility, equity, and operations efficiency through interdependent vehicle, infrastructure, and systems automation enabled by connectivity and information exchange. The con- cept is intentionally expansive. It looks beyond existing, developing, and planned transportation concepts to a fully integrated system serving travelers, goods, and services. CAT includes all modes, systems, and uses of surface transportation, whether by light or commercial vehicle, mass transit, shared mobility service, or bicycle or scooter. CAT is automated in vehicles, infrastructure, and operations—in traffic management, intersection safety, fare collection, mobility services, trip planning and more. CAT is cooperative across the public and private sectors, policies, modes, and services. It requires reliable, low-latency, high-bandwidth communications and two-way data and information exchange among all users, managers, and operators. While the media have focused on development of automated vehicles, those who work in the transportation industries understand that vehicles need infrastructure, and particularly connected infrastructure, to maximize their potential for enhancing safety, mobility, equity, and operational efficiency. The Infrastructure Owner/Op-