Infrastructure Owner Operators Guiding Principles for Connected Infrastructure Supporting Cooperative Automated TransportationSupporting Technical Concepts February 2020

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AASHTO/ITE/ITSA Joint Task Force for IOO Guiding Principles for Connected Infrastructure for Cooperative Automated Transportation

Executive OversightJennifer Cohan, Delaware DOT

Roger Millar, Washington State DOT

Joint Task Force Co-ChairsCollin Castle, Michigan DOT

Faisal Saleem, Maricopa County DOT

Joint Task Force MembersAASHTO

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 SupportKyle Garrett, Synesis Partners

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AAMVA American Association of Motor Vehicle Administrators

AASHTO American Association of State Highway and Transportation Officials

ADS Automated Driving System

AI Artificial Intelligence

ATCMTD Advanced Transportation and Congestion Management Technologies Deployment

AV Automated Vehicle

CAMP Collision Avoidance Metrics Partnership

CAT Cooperative Automated Transportation

CAV Connected and Automated Vehicles

CTSO (AASHTO) Committee on Transportation System Operations

CV Connected Vehicle

DAVI Data for Automated Vehicle Integration

DOT Department of Transportation

DSRC Dedicated Short-Range Communication

FCC Federal Communications Commission

FHWA Federal Highway Administration

GHz Gigahertz

GNSS Global Navigation Satellite System

GP Guiding Principle

GPS Global Positioning System

HMI Human Machine Interface

IHS Interstate Highway System

IOO Infrastructure Owner/Operator

ISO International Organization for Standardization

ITE Institute of Transportation Engineers

ITS Intelligent Transportation Systems

ITSA Intelligent Transportation Society of America

LIDAR Light Detection and Ranging

MaaS Mobility as a Service

MOD Mobility on Demand

MUTCD Manual on Uniform Traffic Control Devices

NACo National Association of Counties

NCHRP National Cooperative Highway Research Program

NCSL National Conference of State Legislatures

NHTSA National Highway Traffic Safety Administration

NSTC National Science and Technology Council

NTCIP National Transportation Communications for ITS Protocol

OBU On-Board Unit

ODD Operational Design Domain

OEM Original Equipment Manufacturer

RSU Roadside Unit

RLVW Red Light Violation Warning

RSZW Reduced Speed Zone Warning

SAE Previously, Society of Automotive Engineers

SDO Standards Development Organization

SPaT Signal Phase and Timing

TMDD Traffic Management Data Dictionary

TNC Transportation Network Company

TSMO Transportation System Management and Operations

UAV Unmanned Aerial Vehicle

USDOT United States Department of Transportation

V2I Vehicle-to-Infrastructure

V2V Vehicle-to-Vehicle

V2X Vehicle-to-Everything

VSL Variable Speed Limit

WG Working Group

Terminology

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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

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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.

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Executive SummaryCooperative 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 is Automation 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.

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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-erators (IOOs) have the complementary opportunity and bear the responsibility to enable the benefits of CAT through connected infrastructure deployment.

The purpose of Guiding Principles for CAT Connected Infrastructure is to establish criteria for IOOs to advance connected infrastructure, data, management, and operations supporting CAT solutions. Through collabora-tion among the American Association of State Highway and Transportation Officials (AASHTO), the Institute of Transportation Engineers (ITE), and the Intelligent Transportation Society of America (ITSA), these principles will encourage interoperability and consistency in CAT deployments and enable IOOs to consolidate and com-municate their intentions and the value this represents in effectively managing mobility and safely operating our transportation system. The GPs will enable IOOs to facilitate collaboration, educate the workforce, support interoperable deployments, and inform the public.

The GPs themselves 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 develop-ments in a rapidly 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.

Overview of CAT A case for and description of connected infrastructure for CAT first needs to lay out a vision for the CAT ecosys-tem. In many ways, CAT represents simply the next stage in the long arc of surface transportation innovations,-from local and intercity roads, to a national highway network, to the Interstate Highway System (IHS),from no controls, to the first traffic signals, to Intelligent Transportation Systems (ITS).

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CAT is also however an inflection point in surface transportation. Traffic fatalities across the country are un-conscionably high despite decades of new safety technologies and public awareness. Demand for transporta-tion increases faster than infrastructure deployment alone can satisfy. Mobility suffers as congestion exceeds design capacity and operational controls. Societal costs of crashes, lost mobility, and system maintenance increase faster than system capacity and resources. In the midst of these challenges, CAT recognizes that vehicles and users can evolve from demand producers to become part of the solution to surface transportation challenges.

With these concepts in mind, following is a sketch of the CAT ecosystem—its stakeholders, modes, levels of automation, technologies, and applications.

Stakeholders and Their ObjectivesVirtually everyone who lives, works, and moves through the world is a CAT stakeholder. But that needs to be broken down to get a necessary set of perspectives on what a CAT ecosystem would look like. Categories are not necessarily exclusive; an agency may act in multiple roles.

Infrastructure Owners and Operators (IOOs) manage the roadways on which people, goods, and services move. They typically also have planned, designed, and built those roadways. IOOs are generally, but not al-ways, public agencies working for a state, local, or tribal government. They are responsible for providing safe and efficient transportation services for their citizens and constituents.

Motor Vehicle Regulators and Administrators license the drivers and vehicles operating on the roadways on behalf of state, local, and tribal governments. They assure that the system drivers and vehicles meet a mini-mum set of requirements for safe operations and behaviors.

Law Enforcement Agencies monitor vehicles and drivers on the roadways to assure that they comply with traf-fic controls put in place by the government and IOOs. Law Enforcement also works with Emergency Services and IOOs to respond to and restore safe operations following crashes and other incidents.

Vehicle Operators are primarily the drivers of the vehicles, but may indirectly include fleet operators and dispatch services for Freight Operations, Transit, and Mobility Service Providers.1 These stakeholders are primarily concerned with safely and efficiently getting from one point to another across the road network. Their aggregate behaviors are also the primary contributors with the IOOs in determining the relative safety and effi-ciency of the network as a whole.

Pedestrians and Non-Motorized Vehicle Operators are the most vulnerable users of the roadways. Their safe-ty is the most at-risk in any conflict with vehicles, and they typically have the least control over their circum-stances interacting with the infrastructure. Their safety and mobility are key indicators of the relative equity of CAT.

Vehicle Manufacturers (or, Original Equipment Manufacturers, OEMs) and Automated Driving System (ADS) Developers provide vehicles and automation software for moving people, goods, and services across the road-way network. They have been working with IOOs and communications and technology providers to develop CAT applications and implement standards.

1 Mobility Service Providers are alternatively referred to as Transportation Network Companies (TNCs). The former term is used throughout this document to recognize that not all mobility service providers might be companies and to reduce potential confusion with the transportation (or roadway) network itself.

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Communications and Technology Providers supply IOOs and vehicle manufacturers with equipment and services supporting CAT applications. In this role, they are primary implementers of communications and data standards.

Transportation Information Service Providers collect data from both vehicles and infrastructure to synthe-size new data sets supporting safe and efficient transportation. Their clients may be any combination of other stakeholders.

Applicable ModesA fully deployed CAT ecosystem will include all the types of vehicles and modes that operate on the infrastruc-ture, with varying degrees of cooperation, automation, and integration.

Light passenger vehicles, including light trucks, will likely continue to be the majority of vehicles in most U.S. settings. Vehicle configurations may become more diverse over time, but vehicles on the road today will still be part of the light vehicle fleet in 20, or even 30 years.

Freight vehicles have seen some of the earliest automation technology demonstrations and are likely to adopt full automation in some operational design domains (ODDs) before light passenger vehicles.

Transit vehicles benefit from having relatively predictable routes and limited ODDs, to the extent of seeing full automation in some settings like campus and downtown shuttles.

Emergency services vehicles and roadway maintenance vehicles face ODDs and operational requirements beyond other light and large vehicles, and may be later to achieve full automation. They are nonetheless a crit-ical part of the CAT roadway ecosystem that will be early significant contributors of roadway and event data to be shared with other vehicles, and will enable much safer and efficient emergency response.

Micromobility vehicles—scooters, ebikes, and such—are an important emerging category that is seeing sig-nificant innovation and growth of use. It is not clear how much automation will be available to micromobility vehicles, but the category could include automated package delivery devices, low-altitude unmanned aerial vehicles (UAVs), and other non-traditional vehicles.

Vehicle AutomationThe concept of vehicle automation intends to eventually enable an automated driving system (ADS) to perform “all aspects of the dynamic driving task under all roadway and environmental conditions that can be managed by a human driver”.2 The concept is extensible across vehicle classifications, powertrains, and modes, even to micromobiles.

SAE International has developed descriptions of levels of automation from 0 (no automation) to 5 (full auto-mation). Full vehicle automation will develop over time in functional increments as the ADS take on increas-ingly complex tasks and ODDs. A fully cooperative automated transportation system will leverage widespread deployment of automated vehicles and enabling roadway automation. In the meantime, vehicle automation will develop in a mixed environment of varying levels of automation and cooperative capability.

2 SAE International. J3016_201806: Taxonomy and Definitions for Terms Related to Driving Automation Systems for On-Road Motor Vehicles (Warrendale: SAE International, 15 June 2018). https://www.sae.org/standards/content/j3016_201806/, accessed January 27, 2020.

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Roadway AutomationAlthough the focus of popular media is on automated vehicles, roadway automation has been developing since at least the first traffic signal systems were deployed in the early 20th century to address intersection safety and congestion. Intelligent Transportation Systems (ITS) in the late 20th century developed alongside the enabling computing and communications technologies to inform and support operational decision making. ITS greatly expanded capabilities for transportation systems man-agement and operations (TSMO), providing IOOs with an ability to influence traffic conditions beyond the deploy-ment of new hard infrastructure.

The advent of connected and automated vehicles pro-vides new channels for roadway automation concepts to develop. CAVs will empower new capabilities in their capacity to provide very granular data—down to the level of individual vehicle experience—for seeing traffic and roadway conditions. The aggregation and processing of these data will provide a much broader and more detailed view of conditions across the transportation network than has previously been available to IOOs. This more accu-rate view of conditions enables better decision making at a system level, with more precise traveler information and traffic controls deployed on the roadways. Human drivers and ADS will then be able to make better decisions at a finer level of control than has previously been possible.

Technology and CommunicationsBuilding a CAT ecosystem involves the same concepts and components as are needed in ITS and CV applica-tions, with the addition of automation components on vehicles and across the infrastructure. The components are distributed among and across vehicles, the roadside, infrastructure services, and external information services as described below.

Communications are the essential means of cooperation in CAT. All of the components within any of the four component domains operate within their own networks. Interactions between the domains may, however, use media and protocols particular to those interactions.

Vehicular components supporting CAT include the automated driving system, operating alongside or in lieu of the human driver, the vehicle sensors, and the human–machine interface. Vehicle sensors could include positioning and detection systems using a global navigation satellite system (GNSS) such as the U.S. Global Positioning System (GPS), optical cameras, and light detection and ranging (LIDAR). An on-board unit (OBU) provides the interface for communications with other vehicles and the network. Traveler information and entertainment applications (whether built-in or on personal mobile devices) in the vehicle will use cellular net-work services or Wi-Fi (where available).

SAE International Levels of Automation

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Interactions between vehicles and roadside devices will use specific vehicle-to-everything (V2X) wireless communications and protocols. Dedicated Short-Range Communications (DSRC) was developed specifically for this purpose and has been used in CV application development and deployment since 2003. An alternative technology, cellular V2X, or C-V2X, has been developed to be deployed as part of a cellular environment.

The roadside is the IOOs’ domain, and devices needed there for CAT are extensions of those used in ITS and CV applications. Broadly categorized, these would include sensors for traffic and weather, controls for signals and gates, and displays for traveler information, speed limits, and other local traffic control signs. A CAT ecosystem might deploy new application-specific automation services—perhaps variable speed limits based on conges-tion—to a roadside field controller. A roadside unit (RSU) using V2X communications provides connections to vehicles, and a backhaul interface connects the roadside to other IOO systems, such as a traffic management center.

Components within the IOO network for CAT will build off existing traffic, maintenance, and other management systems to provide real-time network status awareness and automated response to incidents, weather, and other events. Responses will be based on and similar to TSMO strategies deployed in non-automated contexts, and will likely use machine learning, artificial intelligence (AI), and real-time and predictive analytics to identi-fy network states and mitigations. These algorithms may also use third-party, cloud-based services to supple-ment the IOO’s own data and methods.

Vehicles and IOO systems in a CAT ecosystem will also depend on third-party data and services. Much of the security framework, for example, will depend on certification and credentialing services that are, by necessity, provided by trusted third-party authorities. Communications, device, vehicle, and driving system vendors will use those services in providing updates to their devices. Cloud-based services with which IOOs may interact are likely to include map providers, weather data, and public and commercial data aggregators. Vehicles may be interacting with other traffic data, entertainment, and advertising services.

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ApplicationsApplication use cases provide a view into how the needs, concepts, technology and operations would come together in a CAT ecosystem. Most CAT applications will build on ITS and TSMO experience, and on the early connected vehicle (CV) applications. From an IOO perspective, it should be noted that even CAT applications that appear to be dependent solely on vehicle-to-vehicle (V2V) communications—merging onto a highway, for example—will depend on infrastructure information in the form of maps and controls.

The (non-automated) vehicle-to-infrastructure (V2I) safety use cases will carry forward into a CAT context. As this transition occurs, the ADS, rather than a human driver, will consume and use the safety message. The ini-tial priority V2I cases, like Red Light Violation Warning (RLVW) or Reduced Speed Zone Warning (RSZW), will in the automated case be providing notification of changing traffic control data, rather than the more general warning.

Identification of potential cooperative automation applications is an ongoing process. The Automated Vehicles 4.0 3 (AV 4.0) document prepared by the National Science and Technology Council (NSTC) and the United States Department of Transportation (USDOT) identifies current research across transportation,

3 National Science and Technology Council (NSTC) and USDOT. Assuring American Leadership in Automated Vehicle Technologies: Automated Vehicles 4.0, https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/360956/ensuringamericanleadershipav4.pdf, accessed January 21, 2020.

The CAT Ecosystem

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agricultural, military and other sectors. The USDOT AV 3.04 summary more specifically addresses potential AV applications on the nation’s roadways. Those applications could include for example vehicle platooning at reduced headway to increase capacity, speed harmonization to reduce potential congestion bottlenecks, coop-erative lane change and merge to reduce flow disruption at interchanges, and signalized intersection approach and departure with signal phase and timing (SPaT) data. The initial application use cases being developed to demonstrate cooperative automation in the USDOT’s CARMASM program5 include merging onto highways, speed reduction for localized road weather conditions, automated path clearance for emergency vehicles, and navigating a signal-controlled, single-lane work zone.

IOO Guiding Principles for CAT Infrastructure

The Need and Basis for GPsMost of the information and discussion around the advent of connected and automated vehicles has been focused on the operations and benefits of the vehicles themselves. The roadways and associated infrastruc-ture have been a backdrop or, at best, enablers for the new vehicle technologies. The information currently available on these vehicles and the cooperative environment in which they operate tends to explore the appli-cations, technologies, or stakeholder perspectives while deferring discussion of the infrastructure and system operations.

In this context, IOOs have direct control of and responsibility for the transportation infrastructure and its in-teraction with users and vehicles. Vehicle automation affects those interactions in new systemic ways. Just as IOOs work now with human drivers to enhance safety and mobility with roadway design, traffic controls, and education, IOOs will have new opportunities to adapt those strategies to automated driving systems.

IOOs need a more comprehensive framework for understanding and dealing with the systemic effects of au-tomated vehicles being deployed across the transportation infrastructure. They need to understand the role of communications and data in enabling cooperative automation. They need to have a broader view of the CAT ecosystem and its development, deployment, and operations. They need to see the potential benefits and op-portunities, as well as the risks and costs.

The guiding principles for CAT infrastructure are intended to help bridge these gaps.

4 USDOT. Preparing for the Future of Transportation: Automated Vehicles 3.0. https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/320711/preparing-future-transportation-automated-vehicle-30.pdf, accessed Janu-ary 21, 2020.

5 https://cms7.fhwa.dot.gov/research/research-programs/operations/carma-overview, accessed January 21, 2020.

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Objectives of the GPsThe objectives of the GPs are to:

H Promote safety, mobility, equity, and operations efficiency in CAT

H Facilitate collaboration

H Support legislative and regulatory frameworks

H Support interoperable deployments through standards, application development, deployment guidance, experience reporting

H Educate the workforce

H Provide context on CAT to better inform the public

GPs and ConceptsThe GPs address five dimensions of IOO development of CAT. The functional core of CAT is Automation of vehicles and the infrastructure that vehicles share with other CAT users. Data enables the automation operates. The vehicles and infrastructure may be the devices being automated, but data powers the automation. Communications enable the data interactions between the vehicles, infrastruc-ture, 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 partici-pants. These five dimensions will work together to provide a seamless, consistent, and integrated CAT ecosys-tem across the nation.

The guiding principles were formally adopted by the AASHTO Board of Directors at its 2019 Annual Meeting.

Automation

As described by the SAE model for levels of automation, vehicle automation is an ongoing incremental process. Vehicles already contain many automated functions that improve the safety and convenience of the driving tasks (for example, anti-lock brakes, adaptive cruise control, or parking assist). These systems to date are localized to the vehicle and its independent operation.

Automation could proceed down a continuing path of autonomous operations, but this is inherently limiting. It leaves the vehicle operating according to its own sensors, to its own purposes. But vehicles share the infrastructure with

other vehicles and users, many of which are significantly vulnerable to decisions that might be made inde-pendently by those autonomous systems.

A more comprehensive view of the transportation system and its operations demands that automation be co-operative. CAT views transportation as a set of interactions between all the system users—passenger vehicles, commercial vehicles, transit, motorcycles, bicycles, micromobiles, pedestrians—supported by an infrastructure that facilitates safety, mobility, equity, and efficiency in their interactions. IOOs have a unique perspective and responsibility for automation of the transportation system as a whole.

GP 1—AutomationSupport increased vehicle

automation to improve traveler safety, mobility,

equity, and efficiency.

Guiding Principles for CAT

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As such, collaboration among stakeholders will be needed to establish frame-works for CAT that can address the needs and interests of all users. First steps toward a general framework have been undertaken by several stakeholder groups. The Federal government has provided its view of vehicle automation and its system interfaces in its AV 2.0,6 3.0,7 and 4.08 visions. The American As-sociation of Motor Vehicle Administrators (AAMVA) Autonomous Vehicle Infor-mation Sharing Group has developed several resources on AV, including guides for testing and deployment of autonomous vehicles9 and for testing drivers in vehicles with driver assistance systems.10 The National Association of Counties (NACo) provides and introduction and guidance in an on-line toolkit.11 A more overarching view is needed and is being addressed in and among IOOs and USDOT in efforts such as the AASHTO National Strategy for Highway Automation and the USDOT Highway Automation Concept of Operations.

Participation of IOOs in defining and establishing this CAT framework is essential to assuring a system-wide infrastructure-based perspective. IOOs should seek to become involved in and support industry initiatives such as the CAT Coalition, and to participate with AASHTO, ITSA, ITE, and other associations in their respective CAT working groups.

A “framework,” as such, represents a set of concepts for CAT. It needs a layer of mechanisms within the framework to provide tools and structures to be used in development and deployment. Building these tools is an emergent process, where CAT stakeholders begin to see where their needs and inter-ests attach themselves to the framework. The tool kit will include, at a min-imum, standards for component systems and their interactions, regulations for development and operations, training, and education.

This is a far-reaching effort with implications for fundamental transportation standards and resources. AASHTO’s A Policy on Geometric Design of Highways and Streets (the “Green Book”)12 for example may need in future editions to consider the provisions for dedicated AV facilities, or for mixed human-driven and automat-ed vehicle traffic. Previous revisions of the Manual on Uniform Traffic Control Devices (MUTCD)13 have made impressive provisions for non-vehicular and vulnerable users, and may in the future need to further consider the emerging aspects of automated vehicles. state and local governments will need to review and potentially revise their engineering standards, specifications, and vehicle codes for automated vehicles and CAT.

6 NHTSA. Automated Driving Systems (ADS): A Vision for Safety 2.0. https://www.transportation.gov/av/2.0, accessed January 21, 2020.

7 USDOT. Preparing for the Future of Transportation: Automated Vehicles 3.0. https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/320711/preparing-future-transportation-automated-vehicle-30.pdf, accessed Janu-ary 21, 2020.

8 National Science and Technology Council (NSTC) and USDOT. Assuring American Leadership in Automated Vehicle Technologies: Automated Vehicles 4.0. https://www.transportation.gov/sites/dot.gov/files/docs/policy-initiatives/automated-vehicles/360956/ensuringamericanleadershipav4.pdf, accessed January 21, 2020.

9 AAMVA. Jurisdictional Guidelines for the Safe Testing and Deployment of Highly Automated Vehicles, May 2018.10 AAMVA. Guidelines for Testing Drivers in Vehicles with Advanced Driver Assistance Systems, August 2019.11 https://www.naco.org/resources/featured/connected-autonomous-vehicles-toolkit, accessed November 30, 2019.12 AASHTO. Policy on Geometric Design of Highways and Streets, 7th Edition.13 FHWA. Manual on Uniform Traffic Control Devices, 2009 Edition.

GP 1A—Collaborate with CAT stakeholders to define and establish national CAT

frameworks.

GP 1B—Support the development and

implementation of standards, regulations, training, and education efforts for CAT.

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IOOs should work together, with other CAT stakeholders, with their related state and local agencies, and within their organizations to develop these tools. It will be to the IOOs advantage to monitor and participate in CAT standards development, support development of regulations within their states and local governments, and adapt workforce development resources to address CAT.

Agencies recognize that infrastructure deployments are by definition local. As the tools for working within a CAT context become available, IOOs will need strategies for planning, developing, deploying, and operating an infra-structure supporting CAT and its users. Strategies will need to leave oppor-tunities for stakeholder involvement in localization to community needs and objectives. Many states and local governments have started this process with strategies for engaging with AV development and deployment. This will need to be expanded to a full consideration of the agencies’ own automation efforts and engagement with CAT stakeholders. This will be a long process that evolves with the increasing levels of automation and more widespread deployments. Lessons learned in the development and deployment of V2I capabilities will be valuable in both planning and execution of CAT capabilities.

IOOs can and should be planning for CAT readiness, even as the frameworks and tools are developing. They can include CAT concepts in long-range planning. They can look for opportunities to engage in prototype CAT projects to build awareness, understanding, and experience. And they can pursue AV and CAT funding opportu-nities with USDOT and with private development partners.

From a practical perspective, CAT infrastructure developments build on prior generations of ITS and connected vehicle technologies, systems, and applications. In particular, the cooperative aspects of CAT involve two-way message exchange between vehicles, users, and infrastructure, just as in connected vehicle applications. This will require data and communications infrastructure among all modes and at all levels of vehicle automation.

IOOs can accelerate CAT-readiness by looking for opportunities to lever-age and expand their ongoing ITS and CV deployments, especially in communications. They can acquire and/or deploy very fast, high-bandwidth backhaul communications networks that are extensible and expandable. They can build CAT perspectives with respect to siting, bandwidth, and cybersecurity into planned communica-tions deployments. They can look for opportunities to leverage communications investments with other public agencies and private partners.

CAT application needs and objectives can also be used to inform early in-frastructure developments. The initial AV applications are growing out of autonomous and V2V applications. Infrastructure requirements for these applications may be more related to uniformity and maintenance, and less to technological complexity. At a minimum, AV applications want to have clear, consistent, and well-maintained pavement markings and signage.

Applications over the longer term will grow to reflect fully cooperative TSMO strategies. IOOs will have increasing opportunities to affect system performance in real time using dynamic traffic controls. Existing variable speed limit zones, for example, could expand to become real-time dynamic limits along entire corridors or across regions to mitigate flow breakdown and preserve mobility in congested conditions.

GP 1D—Deploy or accommodate communications infrastructure

to support CAT data and messaging among vehicles,

users, and infrastructure components.

GP 1E—Collaborate with OEMs and other CAT stakeholders to identify priority applications

and infrastructure development.

GP 1C—Plan and execute readiness strategies for

CAT planning, development, infrastructure deployment, and

operations.

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Data

The cooperative aspect of CAT requires reliable secure data exchanges between vehicles and the transportation infrastructure. These data ex-changes will also require cooperation across and among CAT stakehold-ers to assure seamless data exchange capabilities, standards, security, permissions, deployment, and operations.

For IOOs, this means planning for de-ployment of an information infrastruc-ture to support automation. This will be similar to and an extension of the work already undertaken for ITS and for CV, with this key distinction: data

for vehicle automation will ultimately be intended for and consumed by ADS rather than human drivers. Although artificial intelligence and machine learn-ing methods are very powerful, they need high quality data on which to operate. Data will generally need to be of consistent high quality, availability, and timeliness from reliable sources. Data will also need to be precise and detailed to support ADS operations. Driving regulations and traffic controls applicable within an agency’s jurisdiction will need to be codified in a form accessible to ADS. Work zone data sets, for example, may need to describe the location of drivable lanes within a few centimeters of precision.

Agencies can begin working toward a CAT ecosystem by planning for the digital infrastructure that enables co-operation. They can review and amend data policies and procedures for the exchange of data between vehicles and agency systems. As described for GP 1D, they can plan for roadside and backhaul communications cover-age consistent with application deployment, growing over time to complete coverage of their transportation networks. They can work with agency IT support to plan for developing and acquiring computing infrastructure for CAT applications. And they can review and plan for transportation systems and operations data to be made available to CAT applications.

The ability to cooperate implies that communications are mutually under-stood. Cooperation depends on development of and commitment to stan-dards for communications and data exchanges among the stakeholders, and on consistent interpretation and implementation of those standards. Prior development of standards for ITS and for CV applications has provided a solid foundation for further CAT developments. In particular, the SAE standards developed for DSRC V2V and V2I messaging describe many of the fundamen-tal exchanges needed.

Standards will nonetheless need to be extended and supplemented to support automation across the CAT eco-system. ADS, for example, use high-definition maps working with their sensors to plan routes and maneuvers. Current standards for CV applications are not explicitly designed for high-definition maps and messages, and may need revision or extension to fully enable AV-ready applications. The current human-directed traveler in-formation messages based on the Traffic Management Data Dictionary (TMDD)14 will similarly need to become more precise for ADS interactions in their description of incidents, work zones, and other events.

14 ITE. https://www.ite.org/technical-resources/standards/tmdd/, accessed January 27, 2020.

GP 2—DataAchieve a connected vehicle

ecosystem that enables reliable, secure V2I data exchanges in order to support cooperative automated transportation to improve traveler

safety, mobility, equity, and efficiency.

GP 2A—Make plans for connected infrastructure

deployments supporting V2I applications available to CAT

stakeholders.

GP 2B—Build consensus among CAT stakeholders on standards and guidance for

V2I communications and data exchanges.

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Standards furthermore need consensus among their users to be effective. Perspectives of data providers and users are needed to assure that data definitions, quality standards, latencies, and other performance require-ments are useful and achievable. IOOs can and should seek to be involved in standards development, whether as originators of data about the infrastructure and its operations, or as users of data from vehicles.

A complex ecosystem with numerous points of interaction, and risks to life and property needs a high level of trust in the information being exchanged. IOOs generally have experience with information security challenges as part of their ITS infrastructure deployments. Developing a trusted CAT ecosys-tem, however, introduces new sets of attack vectors both at the edges of and within the networks, across multiple communications media. It is essential that the communications between vehicles and infrastructure demonstrate secure and reliable data exchange. To that end, all stakeholders in the CAT data supply chains will need to work together to establish security performance requirement and standards to build that trusted ecosystem.

IOOs can plan for secure data exchange by first looking within their own systems and operations to provide a high level of security and reliability. Data security at the infrastructure interface to vehicle systems needs high assurance of quality and reliability as a basis for preserving quality and reliability in the exchange. Infrastruc-ture virtual points of presence will then also need to be secured as in any other network.

CAT systems and applications may bring new complexities, but will depend on strategies and plans similar to and expanding those that would already have been put into place for ITS networks. Just as in those ITS ap-plications, IOOs will need to work with the network and communications system providers and with the data exchange partners (vehicle system and ADS developers) to build end-to-end secure data exchanges.

Having agreed on standards and provided for security, the CAT ecosystem is prepared for the actual exchange of information between vehicles and infrastructure. This is however not just an exchange of data, but a coopera-tive exchange of value. ADS-equipped vehicles need information from IOOs about roadway configurations, speed limits, the status of signal controls, lane realignments around work zones and incidents, and hazardous roadway conditions. In exchange, IOOs can receive data from vehicles about intended routes, current paths, and sensed local conditions. The value to the ADS-equipped vehicle is being able to reduce travel time and the risk of conflicts. The value to IOOs is in aggregating the data to get views of network conditions and in being able to manage traffic controls to reduce safety risks and preserve mobility.

Adding automation increases the potential value of V2I data exchanges and provides incentives for deployment that are less obvious in a merely connected ecosystem. Human operators may not choose or be able to act on information outside their experience or context. The volume of and speed with which data will be available are likely to exceed a typical human driver’s capacity to take in the data. Automation will increase the reliability, accuracy, and efficacy of applications that would otherwise depend on human interaction and response. The perception and reality of return on infrastructure investment should be higher and more direct than without the automated components.

GP 2C—Coordinate with CAT stakeholders to establish a nationwide approach for securing data exchanges between vehicles and the

infrastructure.

GP 2D—Utilize all existing and future V2I standards in order

to achieve two-way data exchanges between connected infrastructure and production

OEM vehicles.

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IOOs should be investigating the opportunities for using data provided by vehicles as a means to improving their own performance measures through automation. For example, how might access to individual and aggre-gated vehicle trajectories provide faster awareness and response to incidents? What mobility improvements might be available if speed harmonization and smoothing could mitigate flow disruptions before flow break-down? Could higher resolution road condition awareness from data reported by vehicles be used to better respond to weather events, improving safety while making more efficient use of agency resources?

While value can be demonstrated by enabling data exchange for automation in particular locations and vehicles, societal value is unlocked only when that grows into a national deployment. Manufacturers and developers want to know that the data will be reliably available across ODDs. IOOs benefit when costs of development are shared across a larger set of deployers. Individuals purchasing vehicles and using automated services become more confident in the technologies and applications when they see widespread access and acceptance among other users.

A national roadmap, even if not prescriptive, provides a unifying vision and template for deployment and public adoption. The Eisenhower Administration’s vision for the Interstate Highway System engaged the public and in-dustry in such a way that the initial demonstrations grew to a national network over 40 years. Roughly the same timeframe will be needed from initial deployments to a mature CAT ecosystem, considering both the extent of the infrastructure needs and turnover of the vehicle fleet. A similar vision may be needed to initiate the time-line.

It is important that the communications and roadmap furthermore emphasize the security and standards compliance of the connected infrastructure deployment. The safety of the infrastructure, communications, and automation applications require that they be secured from misbehaviors and bad actors, and made resilient to natural and external system events. Infrastructure deployments will need to adhere to consistent implementa-tions of standards.

IOOs can jumpstart this process by participating in national and regional dialogs on roadway automation and CAT. There are ample opportunities to participate in broad industry interest groups and conferences working on cooperative automation and standards. Agencies can leverage progress made in regional cooperation on ITS and connected vehicle applications through corridor coalitions, AASHTO regions, and technical commit-tees toward CAT readiness. They can be aware of and participate when appropriate in teams and focus groups working to develop CAT research and deployment planning.

Opportunities for and benefits of systemic automation will emerge from the CAT ecosystem as connected infrastructure, vehicle deployments, and data exchanges expand. A maturing CAT ecosystem will, for example, extend individual awareness of traffic conditions so as to both reduce imminent risk and enhance mobility for optimal travel times. It will expand traffic, user, and service provider data models for Mobility on Demand (MOD) and Mobility as a Service (MaaS). It will enable fleet operators—whether in freight, transit, emergency, or maintenance services—to better preposition and respond to user demand and external events. It will enable IOOs to respond to network conditions with more specific and timely operations strategies to pre-serve safety and mobility. The interests of stakeholders in a fully connected CAT ecosystem will work together to enhance and reinforce the safety, mobility, equity, and efficiency of system operations as a whole.

GP 2E—Work together to develop and communicate a national roadmap for deployment of a

secure and standards-compliant connected infrastructure.

GP 2F—Work together with OEMs and mobility service providers

to ensure seamless operations, mindful of the appropriate

mobility strategies, based on two-way data exchange.

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Telecommunications

Telecommunications are the essential means of cooperation in the CAT ecosystem. The Federal Communications Commission (FCC) allocated spectrum in the 5.9 Gigahertz (GHz) band (the “Safety Band”) in 1999 for ITS applications enhancing safety and mobility. That allocation specified using DSRC technology in the 5.9 GHz band to assure interoperability among devices and applications.

Societal demand for communications technology has expanded signifi-cantly since then, creating competitive interest in the spectrum allocated to the transportation Safety Band. As such, telecommunications tech-nology providers are pursuing new technologies and opportunities to

further leverage the 5.9 GHz band for transportation safety and other applications. The FCC is reviewing these technologies and applications and revisiting the dedicated allocation.

IOOs can protect the public interests first by using the 5.9 GHz spectrum for its intended applications, and then also by monitoring developments with the FCC and defending its allocation exclusively for transportation safety.

Some of the interest in other uses and technologies for the 5.9 GHz band is based on a perception that the pace of deployment has not been sufficient to merit continued exclusive use for DSRC-based transportation safety and mobility applications. In practice, the rate of deployments has accelerated tremendously over the last ten years. The 2012 Ann Arbor Safety Pilot Model Deployment “utilized connected vehicle technology in over 2,800 vehicles and at 29 infrastructure sites at a total cost of over $50 million dollars in order to test the effectiveness of the connected vehicle technology.”15The USDOT Connected Vehicle Pilot Deployment Program16 sponsored extensive pilot projects in three states with thousands of equipped vehicles and dozens of roadside units. The CAT Coalition’s SPaT Challenge17 has championed deployments of infrastructure for criti-cal safety and mobility messaging applications such as SPaT for RLVW and to improve first response and transit schedule adherence. The Coalition is also challenging IOOs to deploy in-vehicle technology in the Connected Fleet Challenge.18

IOOs can and should continue to deploy applications and demonstrate the value of the 5.9 GHz spectrum for transportation safety and mobility. Applications using the proven and FCC-licensed DSRC technology are supported by 20 years of USDOT and state research and practical experience across the IOO community. More recent deployments are demonstrating application in the 5.9 GHz band based on C-V2X technology for similar

15 Amendment of Parts 2 and 90 of the Commission’s Rules to Allocate the 5.850-5.925 GHz Band to the Mobile Service for Dedicated Short Range Communications of Intelligent Transportation Services, ET Docket No. 98-95, Report and Order, 14 FCC Rcd 18221 (1999) (DSRC Report and Order).

16 USDOT. “Connected Vehicle—Safety ITS Benefits, Costs, and Lessons Learned: 2018 Update Report,” accessed January 3, 2020 at https://www.itsknowledgeresources.its.dot.gov/its/bcllupdate/pdf/BCLL%20CV%20Safety%202018%20v2.pdf.

17 https://www.its.dot.gov/pilots/, accessed January 27, 2020.18 https://transportationops.org/spatchallenge, accessed January 3, 2020.19 https://transportationops.org/connected-fleet-challenge, accessed January 3, 2020.

GP 3A—Continue to use the 5.9 GHz spectrum in deploying

connected infrastructure systems including but not

limited to the FCC-licensed Dedicated Short-Range

Communications (DSRC) technology.

GP 3—TelecommunicationsProtect 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.” 15

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applications. Deploying connected applications in spite of technological uncertainty sends a message that transportation safety and mobility continue to warrant a national dedication of communications spectrum for those purposes.

Given that the Safety Band is secured for transportation applications, it is important to continue to invest in technologies providing the best return on that investment. Each new such technology needs to be subjected to rigorous testing and evaluation. Each such technology will have to support interop-erability and compatibility with the existing applications and comply with the relevant performance standards in order to protect past investments of both public and private capital. Encouraging technological innovation should assure a focus on the objective—enhanced safety, mobility, equity, and effi-ciency—rather than on the particular means of implementation.

IOOs are demonstrating commitment to ongoing innovation, for example, in testing and evaluation of DSRC and C-V2X in similar applications. This approach should be supported and extended by the IOO community as even newer technologies are proposed and introduced.

Any such new technologies are nonetheless subject to the established FCC technical and service rules. IOOs are unlikely to pursue or develop new com-munications technologies within their own organizations, but are frequently approached by developers with new concepts. Any such engagement should work within the existing rules, or be subject to appropriate license exception. It would not be appropriate to pursue or deploy solutions that intentionally operate outside of or counter to the intent of rules and guidance.

Development and deployment of Safety Band technology is, of course, a mutual commitment of IOOs and automotive OEMs. AASHTO has worked with OEM representatives on connected vehicle initiatives for over fifteen years to plan for effective utilization of the 5.9 GHz spectrum and deploy-ment of connected vehicle applications. That effort should continue. A mutual understanding of the objectives, opportunities, and challenges will go a long way toward visionary and rational long-term investments.

A further clarifying point: technological innovation must acknowledge the need to assure that applications remain interoperable across US and North American jurisdictions and OEM fleets. The very premise of CAT and con-nected vehicles is that vehicles be able to communicate with each other and the infrastructure as they move throughout the road network. Social and economic ties necessitate that such vehicles and communications be able to operate seamlessly across the continent.

GP 3D— Continue coordination with OEMs to support long-term investment decisions regarding

the deployment of communications technologies utilizing the 5.9 GHz

spectrum.

GP 3E— Work with new 5.9 GHz technologies within the established

FCC technical and service rules.

GP 3B—Encourage the introduction, rigorous testing, and evaluation of new 5.9 GHz communications technologies that support interoperability

and that comply with performance standards.

GP 3C— Work with new 5.9 GHz technologies within the

established FCC technical and service rules.

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Operations

From an IOO perspective, automation, data systems, and telecommuni-cations are only the means to the development of operational strategies that improve traveler safety, mobility, equity, and efficiency in a CAT ecosystem. Facilitating vehicle automation with standardized messag-ing and communications is a valuable technical and economic objective, but it falls well short of the potential of a fully realized CAT ecosystem. Individual vehicle safety and mobility are important, but IOOs will have an opportunity with CAT to implement strategies with network-wide effects. Connectivity and automation applied to operations will improve

safety and relieve traffic congestion. Imagine traffic operations optimized to reduce the risk of crashes before they happen, or to mitigate flow disruptions and breakdown. Connectivity and automation may not result in zero deaths and zero congestion, but those goals are not achievable without them.

CAT strategies are likely in many cases to be extensions of traditional and ITS solutions to longstanding transportation challenges, enhanced by expansive data analytics. For example, deployment of traffic controls as markings, signs, and signals to preserve safety could become a set of just-in-time traffic control messages. Or demand management strategies might use dynamic routing, access control, and metering. Capacity enhancement might take the form of reduced headway for AVs rather than additional lanes. Traffic smoothing using demand-aware speed control might help avoid flow breakdowns entirely. All of these strategies envision leveraging the ability to communicate dynamically with vehicles, and the higher degrees of compliance implicit with algorithmic data-driven vehicles, to capture the margin currently used in accommodating variable skill and awareness among human drivers.

IOOs can and should investigate appropriate opportunities to improve transportation system performance through automation. CAT is not just about supporting vehicle automation through provision of maps and safety messages. IOOs should be looking at network-centric strategies to improve system performance as well as at the needs of vehicles operating on the network.

Significant and complementary national efforts toward articulating CAT strategies have been convened and will be continuing to build frameworks for CAT. USDOT convened and sponsored workshops in a National Dialog on Highway Automation in 2018. Summaries of the workshop dialogues provide expansive perspectives on automation and cooperative strategies.19 A Na-tional Strategy for Highway Automation (NHSA) is being developed by AASHTO’s Committee on Transportation System Operations (CTSO) Highway Automation Task Force working with contributions from IOOs, USDOT, and trade associations.20 USDOT will be building on the success of the National Dialog with development of a Highway Automation Concept of Operations. While each effort has its own ar-eas of focus and perspectives, they share similar objectives, in that they all envision a cooperative automated future.

20 https://ops.fhwa.dot.gov/automationdialogue/, accessed January 21, 2020.21 https://systemoperations.transportation.org/wp-content/uploads/sites/22/2019/09/National-Strategy-on-Highway-Automa-

tion-CTSO-Update-8_26_19.pdf, accessed January 21, 2020

GP 4—OperationsDevelop CAT strategies that

enhance existing transportation system operational capabilities to improve traveler safety, mobility,

equity, and efficiency.

GP 4B—Adopt the outcomes of national efforts to develop

new strategic operational deployment initiatives that

utilize emerging connected, automated vehicle technologies,

and mobility services.

GP 4A—Identify operational capabilities that can be

leveraged to improve the effectiveness and/or cost

effectiveness of existing and future operational investments.

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for transportation on the nation’s roadways. They have been and will continue to be informed by the collective experience with connected vehicles, state and local development and deployment of CV and AV projects, smart city initiatives, and other programs like the Advanced Transportation and Congestion Management Technology Deployment (ATCMTD) and ADS Demonstration grants.

IOOs can leverage these efforts initially by being aware of and participating wherever possible in their pro-ceedings. As they continue to develop, IOOs can consider application of the strategies to their particular agency circumstances and opportunities, eventually building them into planning for CAT development and deploy-ment.

New strategies, models, and technologies present risks as well as oppor-tunities. The challenge is to balance the potential upsides with reasoned attention to risk. This may require review of and consideration for regulatory barriers that might unnecessarily hinder innovation while protecting the pub-lic interests. The automation of driving tasks, for example, changes the deci-sion maker and actor from a human driver to algorithms and control systems. State vehicle and traffic codes are written to license drivers and vehicles, but AVs are a hybrid of both. Capturing the benefits of automation for operations strategies may require changes to certain rules within those codes.

IOOs can and should work with their related government agencies and legislative bodies to identify and evalu-ate existing codes. AASHTO, AAMVA, and other agency associations can serve as collectors and repositories of other agencies’ perspectives, experiences, and findings, facilitating the process.

The potential benefits of operations in a CAT ecosystem will drive expansive innovation as the technologies develop. Entrepreneurs and early-adopting agencies will create virtuous circles of new technologies feeding develop-ment of new strategies to address particular ODDs and operational issues. Over time, these will likely converge into recognized standard products, services, and strategies. As they develop, however, it will be in all parties’ best interest to work to a common understanding of the interfaces between the components. Interoperability and uniformity among strategies will facilitate development, de-ployment, and user acceptance. IOOs have used this pattern extensively in their V2I application deployments working with DSRC providers and with each other through the Deployment Coalition. A speculative example for CAT applications: automated variable speed limits (VSL) might be used to assure continuity of flow under congested and variable weather conditions. The VSL strategies would need to operate similarly across juris-dictions to assure that developers have a common set of expectations as vehicles move from one city or state to another. This consistency in data sets and interfaces could also contribute to revenue opportunities with tolling, congestion pricing, and mileage-based user fees.

IOOs will at some level be partners in CAT strategy development even if driven by commercial technology and service innovation. They may actively sponsor or passively enable those developments on their roadways, but should in any case assure interoperability of the resulting applications with their existing systems and com-munications, and monitor system performance to assure agency standards are maintained. They can become more integral parts of strategy development by participating in interagency and industry groups working on concepts and standards. As the core practitioners for TSMO, IOOs have the best understanding of the opportu-nities and challenges that might emerge from development of the CAT ecosystem.

GP 4C—Identify any regulatory barriers to enable the safe

deployment of new capabilities as a result of emerging

technologies and mobility service models.

GP 4D—Embrace CAT strategy interoperability and uniformity.

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Collaboration

The cooperative emphasis within CAT makes it essential that the tech-nology and application developers and deployers collaborate in plan-ning, testing, and demonstration of applications. All parties to develop-ment and deployment will have their own particular interests, but a fully interoperable CAT ecosystem will need them to acknowledge common interests and the overarching safety, mobility, equity, and efficiency goals for CAT.

The IOO community as represented by AASHTO, ITE, and ITSA has set up and been working through CAV policy, technology, communications, and

operations committees for many years. The automotive OEMs, individually and through groups such as the Collision Avoidance Metrics Partnership (CAMP), have been frequent and valuable discussion partners. Mobility service providers have become more involved as their marketplace presence has grown and business models are refined.

These interactions need to continue. The commercial partners are looking for IOO input as a means of assuring that their development plans will be congruent with IOO intentions. IOOs can benefit from hearing perspectives from vehicle, technology, and service developers. Using IOO and trade associations as forums for discussion provides breadth of engagement and exposure.

These engagements can be made even more valuable when IOO representatives are actively engaged in asso-ciation committees and working groups. AASHTO, ITE, and ITSA each have their respective committee struc-tures and have jointly convened the CAT Coalition as a way of pooling inter-ests and perspectives to provide non-competitive input to OEMs, mobility service providers, and other commercial interests.

IOO management can further these opportunities by identifying individu-als and enabling participation from agency staff within their administrative and budget constraints. Participation then becomes a two-way conduit for providing each agency’s perspectives while bringing back news and oppor-tunities for further influence.

Opportunities for public agency and commercial party engagement may further extend to collaboration on technology development and applica-tion demonstrations. Agency coalitions and pooled funds have previously provided these types of engagements in ITS and connected vehicle devel-opment and might serve as models for emerging CAV opportunities. These selective contractual arrangements have the advantage of accelerating development by enabling the commercial parties to negotiate terms that protect their commercial interests while advancing the IOOs’ broader goals.

GP 5B—Support activities within IOO associations’ committees and working groups to collaborate on

creating non-competitive input to OEMs and mobility service

providers on CAT-related topics.

GP 5—CollaborationCollaborate and communicate

with OEMs and mobility service providers in the planning, testing,

and demonstrations of CAT applications to support eventual interoperability and to achieve

positive impacts on safety, mobility, equity, and efficiency

GP 5A—Encourage OEMs and mobility service providers

to interact with established IOO associations’ existing

and evolving committees and working group structures

when pursuing feedback and/or involvement regarding applications intended for

positive impacts to the infrastructure system.

GP 5C—Be open to individual IOOs (or groups of IOOs)

collaborating competitively with one or more OEMs in situations where innovation, exploration

of products, or funding opportunities benefit from such

collaboration.

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The results of these competitive efforts are nonetheless valuable to the IOO community as a whole. Wherever possible, IOOs can advance the develop-ment of an interoperable CAT ecosystem by sharing their experiences and outcomes with other agencies. IOO association committees, work groups, and other meetings provide opportunities for presentations, focus groups, and panels that can communicate the findings in an open forum while reserving control over the depth and particulars of disclosure. Other IOO parties are then encouraged and informed, moving all parties closer to the CAT goals of improving safety, mobility, equity, and efficiency.

Applying the CAT Infrastructure GPsThe development of the CAT ecosystem is in its early phases. In the United States, this will be a distinctly emergent process based on cooperation among a diverse set of public agencies, commercial developers, and academia. It will not be developing under the presumption of a top-down plan. As noted in AV 4.0,

The U.S. Government will be proactive about AVs and will provide guidance, best practices, conduct research and pilot programs, and other assistance to help stakeholders plan and make the investments needed for a dynam-ic and flexible future for all Americans. We will also prepare for complementary technologies that enhance the benefits of AVs, such as communications between vehicles and the surrounding environment, but will not assume universal implementation of any particular approach.—AV 4.0

As such, the Guiding Principles have implicitly assumed that IOOs have common interests in CAT development, but may nonetheless differ in the specifics of their deployment processes. The GP applications described here are intended as starting points for further consideration. AASHTO, ITE, and ITSA, on behalf of the IOOs, will monitor and initiate new activities as the CAT ecosystem develops.

CAT and IOO ProcessesAlthough the eventual operational capabilities of a CAT ecosystem may change the way vehicles and infra-structure work together, the deployment of infrastructure in support of CAT has to work through familiar IOO processes.

This reality implies two gaps in perspective that may challenge an IOO’s ability to plan for CAT. First, it is not yet clear in what circumstances vehicles and infrastructure will need to operate cooperatively. This makes it difficult to foresee where to prioritize infrastructure investment for CAT. Second, new technology development and typical infrastructure deployment move at significantly different paces. New AV technological concepts are being announced and redirected on cycles as short as a few months. Infrastructure projects at State DOTs may be in planning and development for 20 years, even when the technology is up to date as it is being deployed.

The perceived gaps may however be an issue of perspective more than reality. Technological change appears to move quickly because it is focused on how things are done. Infrastructure appears to need a longer view because it is focused on what needs to be done, according to strict priorities. When the technology is viewed for what it might do (its use cases) and infrastructure for how it contributes to what needs to be done (its use cases), the two can come together.

GP 5D—IOOs participating in competitive collaboration

with OEMs shall seek to share outcomes of the activities, as allowed by their agreements,

to encourage and support a collaborative CAT environment.

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As a practical example, AVs intended to operate on public roadways today have to obey traffic signals just as non-AVs do. No infrastructure change needs to be made for that use case. There are advantages, however, in providing SPaT data to the AVs so that they can anticipate signal operations (another use case) and operate where visual sensors may not be able to see the signals (another use case). A far-off cooperative future with only AVs, or the ability to provide human drivers with other ways of safely navigating intersections, might re-move the physical signals (yet another use case). Planning for the signal infrastructure gets broken down into a stream of incremental changes rather than a single question of how to deploy signal systems that support AVs.

This perspective suggests that IOOs may benefit most from looking at specific infrastructure projects that sup-port AV deployment use cases, rather than investing too heavily in top-down infrastructure plans. The broad high-level view looks further into the future, but still can only deploy for specific use cases and technologies. This is precisely the approach that worked for the first connected V2I deployments, and before that for suc-cessful ITS deployments.

Each phase of an IOO’s development and deployment processes may then need to use those views in looking at infrastructure supporting CAT.

The context for CAT infrastructure deployments is played out in industry and regulatory initiatives like those that were instrumental in CV and ITS deployments. AASHTO, ITE, ITSA, and other associations, USDOT and its constituent agencies, and TRB with the research community can facilitate monitoring and reviewing those high-level movements. IOOs participating in the CAT Coalition both support and have direct access to these processes in both executive sessions and technical working groups. Their activities include:

H Offering platforms to discuss and integrate CAT needs of local transportation agencies in consideration of policy developing initia-tives with ongoing AV efforts;

H Collecting and documenting member viewpoints on potential future policies, rulemakings, cooperative agreements, or guidance that may affect CAT efforts;

H Collecting and documenting IOO experiences with and viewpoints on CAT efforts and projects (for example, perspectives on Na-tional Highway Transportation Safety Administration (NHTSA) rule-making, security systems, and telecommunications);

H Offering insights into high-level decision-making processes within the industry as related to technology and communications;

H Assessing the potential benefits and risks associated with CAT deployment;

H Providing strategic deployment guidance (like this document);

H Recommending policies and national CAT deployment approaches to association members; and

H Providing input to technology developers, vehicle manufacturers, and the private sector about how they can work with IOOs on CAT deployments.

Within the larger CAT context, individual agencies can use those association and Federal initiatives to inform their own planning processes. Project identification will depend on factors much like any ITS deployment, from operational needs to available agency funding and grant opportunities. Partnerships with technology devel-opers and vehicle manufacturers, and association with other agencies may inspire or kickstart state and local efforts. Aspects of CAT deployment projects supporting interoperability, security, and future research will like-ly follow the developing industry standards. The objective and scope of particular projects, on the other hand, will derive from the agency’s own strategic research and operational needs.

The particulars of IOO CAT infrastructure application development, deployment, testing, and operations are likely to work out similarly to previous generations of CV and ITS projects. The vision for the CAT ecosystem is

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still developing, and it would be premature to identify particular issues and guidance on those processes. It is clear, however, that any of these activities with CAT will depend more directly on partnerships and cooperation with the automation systems technology providers and vehicle manufacturers.

Preparing for CAT InfrastructureEnough is known about the emerging CAT ecosystem to provide some guidance on preparing for CAT infra-structure for AVs even without specific use cases. These activities might be integrated into an agency’s ongoing system development, maintenance, and operations to the extent they can be supported by available agency resources.

Agencies can and should stay connected to ongoing CAT development and deployment initiatives. Participating in the CAT Coalition, for example, extends an awareness of emerging issues, opportunities, and developments within the industry. Agencies can take an active role in issues that directly affect CAT infrastructure, like pres-ervation of the 5.9 GHz band for transportation safety.

CAT applications from an infrastructure perspective are built on a foundation of prior TSMO strategies and applications in CV and ITS. Industry participation, training, workforce development, and capability building in TSMO will create advantages for CAT projects at all levels of cooperation and automation.

Much of the initial vehicle automation efforts presume that traditional infrastructure features for traffic control will continue to be available for AV navigation and maneuvers. Improving and maintaining the state of repair of signage and pavement markings will facilitate AV development and the expansion of ODDs.

Upgrading traffic signal and ITS equipment to the latest standards will enable CAT applications to build off their data and interfaces without project-specific additions or replacements. These upgrades should include de-ployment of fiber backhaul where applicable.

Developing a CAT ecosystem will greatly expand the need for high-quality systems configuration and opera-tions data. Agencies can start laying down a CAT information infrastructure by building and interfacing road-way design, asset management, signage, operations, and control data bases. Although OEMs, ADS developers, and map service providers are working on high-resolution maps for their own purposes, agencies may also consider upgrading their road network maps to centimeter-level precision with lane-level attributes (for ex-ample, width and pavement type), height restrictions, lane markings, and signage location data. Network and operations data exchanges with other agencies can anticipate similar opportunities with information services that will interact directly with AVs and fleets.

The cooperative aspects of a CAT ecosystem demand reliable and consistent communications between ve-hicles and infrastructure. Agencies can facilitate their own operational needs and anticipate this demand by deploying digital network communications capabilities for I2I and I2V as far across the road network as is achievable.

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Future EffortsThe Guiding Principles and Supporting Technical Concepts have been developed by a joint three-party AASHTO/ITE/ITSA Joint Task Force. Beginning in early 2019, a series of meetings resulted in the drafting of the core principles and reviews by committees and working groups within the three associations, from which the guiding principles were revised in response to the comments received. The final guiding principles were approved and adopted by AASHTO at its Annual Meeting in October 2019.

This Supporting Technical Concepts document has been developed in recognizing that agencies, their industry partners, and associations would benefit from additional context and application description to supplement the guiding principles themselves. 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. Priority initiatives and topics building on the Guiding Principles in the near term could include:

H Expanding partner engagement to include CAT stakeholders from among other public agencies, vehicle manufacturers, ADS developers, technology providers, mobility service providers, and user groups;

H Cooperation among public and private sectors in data governance and sharing, including identification of needs, privacy, and security;

H AV, ADS, and infrastructure testing and evaluation; and

H Planning and developing institutional, human, and financial resources toward deployment readiness.

The Joint Task Force will be monitoring developments and amending these CAT Technical Concepts as appropriate, likely evolving into more formal technical support and exchange efforts.

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Resources and ReferencesAll links provided in this section were accessed and current as of January 24, 2020.

CAT Coalition Activities and Resources

The CAT Coalition website is the essential first point of reference for information for IOOs related to CAT. It provides summaries of and links to CAT Coalition Working Group activities and resources, particularly for IOO experience in developing and deploying infrastructure in support of V2X communications and messaging.

https://transportationops.org/CATCoalition/

National Cooperative Highway Research Program (NCHRP) Studies Related to CAT

The NCHRP, funded by the state departments of transportation and managed by the Transportation Research Board, started work in December 2014 under Project 20-102 to investigate CV and AV issues pertinent to CAT. The effort is being coordinated with the USDOT, private sector, and other efforts. The program summary docu-ment provides links to both completed project reports and descriptions of work in progress.

http://onlinepubs.trb.org/onlinepubs/nchrp/docs/NCHRP20-102_CV-AV-Summary.pdf

USDOT/FHWA AV Resources and Projects

The USDOT provides a consolidated gateway to their AV programs and resources from which to navigate to program and project summaries.

https://www.transportation.gov/AV

The USDOT AV 4.0 activities, developed by USDOT working with the White House Office of Science and Tech-nology Policy, are a recent addition to the site. The AV 4.0 document contains an exhaustive list of Federal AV programs in its Appendix A.

https://www.transportation.gov/av/4

USDOT’s prior AV program summary, AV 3.0, is focused on efforts within USDOT and its modal agencies. Ap-pendix C of the AV 3.0 document includes extensive lists of relevant AV/CV standards and standards develop-ment activities as of its 2019 date of publication.

https://www.transportation.gov/av/3

The 2018 USDOT AV summary, AV 2.0, was developed by NHTSA to offer “a non-regulatory approach to auto-mated vehicle technology safety”. While Section 1: Voluntary Guidance discusses AV concepts primarily direct-ed to developers, Section 2: Technical Assistance to States provides foundational perspective on the role of States and IOOs in planning for AVs and CAT.

https://www.transportation.gov/av/2.0

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The USDOT in 2019 awarded $60 million in ADS Demonstration Grants to assess the deployment of AVs on the nation’s roadways. The resulting projects are generally underway and will provide perspective on the diverse opportunities and challenges of deployment.

https://www.transportation.gov/av/grants

The USDOT Data for Automated Vehicle Integration (DAVI) initiative is assessing the needs for and supporting data exchange for AV development and deployment.

https://www.transportation.gov/av/data

The Work Zone Data Exchange (WZDx) project is a foundational effort in facilitating and establishing voluntary data exchange under the DAVI framework.

https://www.transportation.gov/av/data/wzdx

The FHWA CARMA Program is developing and encouraging collaboration around an open source CARMASM Platform for investigation of interactions between AVs and transportation infrastructure. Documentation and code are available in its GitHub repository.

https://cms7.fhwa.dot.gov/research/research-programs/operations/carma-overview

State Regulatory Perspectives

Many States have passed legislation or issued executive orders regarding the deployment, testing, or opera-tions of autonomous vehicles within their jurisdictions. The National Conference of State Legislatures (NCSL) maintains a database of this legislation.

https://www.ncsl.org/research/transportation/autonomous-vehicles-self-driving-vehicles-enacted-legisla-tion.aspx

Applicable Standards

As indicated above, the USDOT AV 3.0 document provides an extensive list of standards and standards develop-ment efforts relevant to AVs and CAT. Published standards may be obtained directly from the particular stan-dards development organization (SDO).

H IEEE: https://www.ieee.org/standards/index.html

H SAE International: https://www.sae.org/standards/

H ISO: https://www.iso.org/standards.html

H AASHTO: http://www.aashtoresource.org/standards

H NTCIP: https://www.ntcip.org/document-numbers-and-status/