Initiating the Systems Engineering Process for Rural Connected Vehicle Corridors, Volume 1: Research Overview (2021)

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2021 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 978 Initiating the Systems Engineering Process for Rural Connected Vehicle Corridors Volume 1: Research Overview Noblis, Inc. Reston, VA w i t h ICF International, Inc. Fairfax, VA Neaera Consulting Fort Collins, CO Subscriber Categories Vehicles and Equipment • Highways • Operations and Trafc Management Research sponsored by the American Association of State Highway and Transportation Ofcials in cooperation with the Federal Highway Administration

NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniques—the National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRB’s recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRB’s relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&I’s recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.mytrb.org/MyTRB/Store/default.aspx Printed in the United States of America NCHRP RESEARCH REPORT 978, VOLUME 1 Project 08-120 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-67433-1 Library of Congress Control Number 2021947239 © 2021 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. Cover photo credits: Left to right: Courtesy Wyoming Department of Transportation; U.S. DOT; U.S. DOT; Wyoming Department of Transportation; Kimley-Horn. Cover graphic credit: Vee diagram. Courtesy U.S. DOT. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names or logos appear herein solely because they are considered essential to the object of the report.

e National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. e National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. e National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. e three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. e National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. e Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. e mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. e Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. e program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS is research reported herein was performed under NCHRP Project 08-120 by Noblis, Inc., as the lead contractor with support from two subcontractors: ICF International, Inc., and Neaera Consulting. Barbara Staples, CSEP, PMP, Noblis, Inc., was the Principal Investigator. e other authors of this report are Nayel Urena Serulle, PhD (ICF International, Inc.); Tony English (Neaera Consulting); and James Chang, PhD, and Justin Anderson, CSEP, CISSP (Noblis, Inc.). Other project team members who made signicant contributions to the project are J.D. Schneeberger (formerly of Noblis, Inc.); Deepak Gopalakrishna (ICF International, Inc.); Peiwei Wang, PhD, Kathy ompson, and Linda Nana (Noblis, Inc.); and Robert Etter (ICF International, Inc.). e authors thank the project stakeholders who gave their time to respond to the project survey, partici- pate in interviews, and provide feedback at the conrmation and validation webinars. Without their input, the two research products could not have been developed, nor would they truly reect the rural connected vehicle practitioner community. e project team also acknowledges the tremendous amount of work con- ducted by the three connected vehicle Pilot sites, U.S. DOT Intelligent Transportation Systems (ITS) Joint Program Oce (JPO), and FHWA to advance the state of practice of connected vehicle deployments. is research project drew on this previous research, development, and implementation. CRP STAFF FOR NCHRP RESEARCH REPORT 978, VOLUME 1 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Camille Crichton-Sumners, Senior Program Ocer Tyler Smith, Senior Program Assistant Natalie Barnes, Director of Publications Kami Cabral, Editor NCHRP PROJECT 08-120 PANEL Field of Planning—Area of Planning Methods and Processes David L. Hu, South Dakota Department of Transportation, Pierre, SD (Chair) Ingrid L. Birenbaum, Moat & Nichol, Fort Lauderdale, FL Subasish Das, Texas A&M University, San Antonio, TX Nimish L. Dharmadhikari, Indian Nations Council of Governments, Tulsa, OK Eleheria Kontou, University of Illinois, Urbana-Champaign, Urbana, IL Parker O’Brien, Maine Department of Transportation, Augusta, ME Tim John Peters, Illinois Department of Transportation, Springeld, IL Derek Vollmer, Florida Department of Transportation, Tallahassee, FL Jon T. Obenberger, FHWA Liaison

NCHRP Research Report 978: Initiating the Systems Engineering Process for Rural Connected Vehicle Corridors provides state and local transportation agencies with a systems engineering approach for planning the integration of connected vehicle technologies along roadways in rural corridors. is report includes the nal report, a model concept of operations, a model system requirements specication, and context diagrams. ese documents will be of use to state and local agencies who are responsible for planning, installing, and ultimately maintain- ing connected vehicle technologies along rural corridors. Connected vehicle technology provides a wireless communication network that will allow vehicles to communicate safety and mobility information with other vehicles, personal communication devices, and critical transportation infrastructure appurtenances. State and local agencies recognize the need for long-term planning and the need to identify necessary resources for connected vehicle deployment; however, most pilot studies have focused on urban connected vehicle applications, overlooking the needs within rural corridors. For instance, consideration must be given to the existence of longer incident rerouting detours and the potential to encounter substandard roadway geometry or infrastructure. Under NCHRP Project 08-120, “Initiating the Systems Engineering Process for Rural Con- nected Vehicle Corridors,” Noblis, Inc., identified connected vehicle applications that are suitable for rural corridors and explained how they may be integrated into transporta- tion agencies’ trac operations and management plans. A systems engineering approach was used to develop model concept of operations (ConOps) and model system requirements specication (SyRS) documents that will aid agencies responsible for rural corridors as they begin to assess their needs, operational concepts, scenarios, and requirements for connected vehicle technology deployment. Final deliverables available for immediate use include NCHRP Research Report 978: Initiating the Systems Engineering Process for Rural Connected Vehicle Corridors, Volume 1: Research Overview; Volume 2: Model Concept of Operations; and Volume 3: Model System Requirements Specication as well as an accompanying PowerPoint presenta- tion that contains concept diagrams. ese deliverables can be found on the TRB website (www.trb.org) by searching for “NCHRP Research Report 978”. F O R E W O R D By Camille Crichton-Sumners Staff Ofcer Transportation Research Board 15946-00b_FM-4thPgs.indd 5 10/14/21 1:05 PM

1 Summary 3 Chapter 1 Introduction 3 1.1 Background 4 1.2 Research Objective 6 1.3 Purpose of is Report 6 1.4 Organization of Volume 1 of the Report 7 Chapter 2 Research Approach 7 2.1 Systems Engineering Approach 9 2.2 Literature Review 11 2.3 Stakeholder Engagement 14 Chapter 3 Findings from Literature Review and Stakeholder Engagement 14 3.1 Findings from Literature Review 15 3.2 Key Gaps and Challenges 15 3.3 Interview Findings 15 3.4 Webinar Feedback 22 Chapter 4 Rural Connected Vehicle Needs, Systems, and Applications Findings 22 4.1 Rural Connected Vehicle System 23 4.2 User Needs 24 4.3 Connected Vehicle Applications Relevant to Rural Corridors 25 4.4 Use Cases 32 Chapter 5 Model Documents 32 5.1 Audience and How to Use the Model Documents 33 5.2 Model Concept of Operations 35 5.3 Model System Requirements Specication 39 Chapter 6 Conclusions and Suggested Research 39 6.1 Conclusions 39 6.2 Suggested Research 42 References 43 Glossary 47 Acronyms and Abbreviations C O N T E N T S

A-1 Appendix A Stakeholder Outreach—Survey B-1 Appendix B Stakeholders’ Current Conditions and Critical Gaps and Challenges by Topic Area C-1 Appendix C Crosscutting Gaps and Challenges Note: Photographs, gures, and tables in this report may have been converted from color to grayscale for printing. e electronic version of the report (posted on the web at www.trb.org) retains the color versions.