Preparing Transportation Agencies for Connected and Automated Vehicles in Work Zones (2023)

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2023 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 1051 Preparing Transportation Agencies for Connected and Automated Vehicles in Work Zones Luke Neurauter Tammy Trimble Eric Li Alejandra Medina-Flintsch Travis Terry Stephanie Baker Virginia Tech Transportation Institute Virginia Polytechnic Institute and State University Blacksburg, VA Paul Pisano Paul Pisano, LLC Arlington, VA Subscriber Categories Operations and Trafc Management • Safety and Human Factors 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 1051 Project 20-102(28) ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-69880-1 Library of Congress Control Number 2023939308 © 2023 by the National Academy of Sciences. National Academies of Sciences, Engineering, and Medicine and the graphical logo are trade- marks of the 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, APTA, FAA, FHWA, FTA, GHSA, or NHTSA 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. 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 does not develop, issue, or publish standards or spec- ifications. The Transportation Research Board manages applied research projects which provide the scientific foundation that may be used by Transportation Research Board sponsors, industry associations, or other organizations as the basis for revised practices, procedures, or specifications. 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 The research reported herein was performed under NCHRP Project 20-102(28) by the Virginia Tech Transportation Institute (VTTI) with support from Paul Pisano, LLC. Mr. Luke Neurauter, Director of the Division of Vehicle, Driver & System Safety, was the Project Director and Principal Investigator. The other authors of this report are Dr. Tammy Trimble, Co-Principal Investigator and Research Scientist, Division of Data and Analytics; Dr. Eric Li, PhD, PE, Research Scientist, Division of Technology Implementation; Alejandra Medina-Flintsch, Senior Research Associate, Division of Technology Implementation; Travis Terry, previously Senior Research Associate, Division of Technology Implementation; and Stephanie Baker, Senior Research Associate, Division of Data and Analytics. The researchers were supported by Paul Pisano, Principal, Paul Pisano, LLC. CRP STAFF FOR NCHRP RESEARCH REPORT 1051 Waseem Dekelbab, Deputy Director, Cooperative Research Programs, and Manager, National Cooperative Highway Research Program David M. Jared, Senior Program Officer Mazen Alsharif, Senior Program Assistant Natalie Barnes, Director of Publications Heather DiAngelis, Associate Director of Publications Kami Cabral, Editor NCHRP PROJECT 20-102(28) PANEL Field of Special Projects Mark Kopko, Pennsylvania Department of Transportation, Harrisburg, PA (Chair) Chris Ryan Brookes, Michigan Department of Transportation, Lansing, MI Paul J. Carlson, Automated Roads, Greensboro, NC Melissa Lynn Clark, California Department of Transportation (CALTRANS), Sacramento, CA David Durman, Kentucky Transportation Cabinet, Frankfort, KY Niloo Parvinashtiani, Iteris Inc., Fairfax, VA Yi-Chang James Tsai, Georgia Institute of Technology (Georgia Tech), Atlanta, GA Joshua Van Jura, Utah Department of Transportation, Taylorsville, UT Martha C. Kapitanov, FHWA Liaison Patrick B. Zelinski, AASHTO Liaison

NCHRP Research Report 1051 presents guidelines to help state departments of transpor- tation (DOTs) prepare for the impacts that connected and automated vehicle (CAV) tech- nologies will have on work zone environments. The guidelines will be of interest to state DOTs seeking to optimize safety and efficiency as CAV technologies are deployed in various work zone environments. The guidelines are supplemented by educational materials that identify CAV technologies, assess their benefits and challenges, and expedite their implementation in work zones. Connected and automated vehicle (CAV) technologies are advancing rapidly. The extent to which CAVs will successfully assimilate into the driving environment will depend on how well the technologies are able to establish and maintain accurate and timely situational awareness of the roadway environment as the vehicles move from point to point, including timely awareness of temporary changes to that environment. Studies have confirmed that work zones are one of the more difficult environments for CAVs to navigate. Besides rapidly changing conditions, work zone layouts can vary significantly. Efforts are underway on several fronts to address these and other challenges, with the goal of developing CAV capa- bilities for work zones. Considering the various challenges that work zones pose to CAVs and to support national efforts to promote work zone safety, research was needed to help transportation agencies prepare for CAVs in these environments. Under NCHRP Project 20-102(28), “Preparing Transportation Agencies for Connected and Automated Vehicles in Work Zones,” Virginia Tech Transportation Institute was asked to (1) identify technical needs and potential impacts of CAVs in work zones; (2) document deployed and planned practices for CAVs in work zones; (3) evaluate the qualitative and quantitative benefits of these practices; (4) identify research needed for addressing gaps in implementing various CAV practices; and (5) educate stakeholders on research findings through webinars and other materials. The investigation not only considered relevant tech- nologies but also their relative impacts. Gaps in knowledge were supplemented through stakeholder outreach that included state DOTs and industry. In addition to NCHRP Research Report 1051, four deliverables are available on the National Academies Press website (nap.nationalacademies.org) by searching for NCHRP Research Report 1051: Preparing Transportation Agencies for Connected and Automated Vehicles in Work Zones. The deliverables are as follows: • A framework for assessing the benefits and challenges of CAVs in work zones. • An overview of CAV technologies, both vehicle- and infrastructure-based, in work zones. • A resource guide to expedite implementation of CAVs in work zones. • A plan that identifies mechanisms and channels for communicating and implementing this research. F O R E W O R D By David M. Jared Staff Officer Transportation Research Board

1 Summary 6 Chapter 1 Introduction 6 Project Objectives 7 Research Approach 8 Chapter 2 Background and Literature Review 9 CAVs 14 CAV Applications 17 CV Deployments and Readiness 19 CV Testing and Prototypes 22 Intelligent Transportation Systems 23 Advanced Work Zone Technologies 27 Work Zone Data 28 Worker Benefits of CAVs 29 Chapter 3 Stakeholder Outreach 29 Survey Approach 34 Guided Discussion Approach 35 Qualitative Analysis Approach 36 Key Takeaways 36 Educational Outreach 38 Chapter 4 Framework for Conducting BCAs 39 CAV Application Deployment Costs 42 CAV Work Zone Application Benefits 44 CAV Work Zone Application Challenges 46 BCA 49 Summary of BCAs 52 Chapter 5 Conclusions and Suggested Research 52 Conclusions 52 Dissemination of Research Results 53 Issues Affecting Potential Implementation 53 Suggested Research 55 References and Other Resources 62 Acronyms C O N T E N T S

65 Appendix A Online Survey 73 Appendix B Evaluation of BCAs of CAV Work Zone Applications 114 Appendix C Research Problem Statements Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at nap.nationalacademies.org) retains the color versions.