ReviewofAutomatedVehicleTechnology:PolicyandImplementationImplications
March14,2016Version1.0
DanielV.McGeheeMarkBrewerChrisSchwarz
BryantWalkerSmith
QuestionsaboutthisreportshouldbedirectedtoDr.DanielV.McGehee,Director,TransportationandVehicleSafetyResearchDivision,UniversityofIowa,PublicPolicyCenter.E-mail:[email protected]
TECHNICAL REPORT DOCUMENTATION PAGE
1. Report No. RB28_015 2. Government Accession No. 3. Recipient’s Catalog No. 4. Title and Subtitle Review of Automated Vehicle Technology: Policy and Implementation Implications
5. Report Date March 14, 2016 6. Performing Organization Code WBS#25-1121-0003-27
7. Author(s) Daniel V. McGehee, Mark Brewer, Chris Schwarz, Bryant Walker Smith
8. Performing Organization Report No. MATC-MU:276
9. Performing Organization Name and Address Transportation and Vehicle Safety Research Division University of Iowa Public Policy Center 209 South Quad Iowa City, Iowa 52242
10. Work Unit No. 11. Contract or Grant No. RB28-015
12. Sponsoring Agency Name and Address Iowa Department of Transportation
13. Type of Report and Period Covered Final Report May, 2015 – March 2016 14. Sponsoring Agency Code RB28-015
15. Supplementary Notes Conducted in cooperation with the U.S. Department of Transportation, Federal Highway Administration. 16. Abstract The goals of this project were to undergo a systematic review of automated vehicle technologies with a focus on policy implications, methods of implementation, regulation by states, and developments occurring on legal fronts, ultimately creating a set of policy recommendations and questions for further research. This report provides recommendations for the state of Iowa over the next five years:
• Encouraging automation by preparing government agencies, infrastructure, leveraging procurement, and advocating for safety mandates
• Adjusting long range planning processes by identifying and incorporating a wide range of new automation scenarios • Beginning to analyze and, as necessary, clarify existing law as it apples to automated driving • Auditing existing law • Enforcing existing laws • Ensuring vehicle owners and operators bear the true cost of driving • Embracing flexibility by giving agencies the statutory authority to achieve regulatory goals through different means,
allowing them to make small-scale exemptions to statutory regimes and clarifying their enforcement discretion • Thinking locally and preparing publically • Sharing the steps being taken to promote (as well as to anticipate and regulate) automated driving • Instituting public education about automated vehicle technologies
17. Key Words Automated vehicles, self-driving car, AV, policy, Iowa DOT
18. Distribution Statement No restrictions. Available through the National Technical Information Service, Springfield, VA 22161. Enter any other agency mandated distribution statements. Remove NTIS statement if it does not apply.
19. Security Classification (of this report) Unclassified
20. Security Classification (of this page) Unclassified
21. No. of Pages 41
22. Price
Form DOT F 1700.7 (8-72) Reproduction of completed page authorized
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ExecutiveSummaryThefieldofautomatedvehicletechnologyisrapidlydeveloping.Whileitwilllikelybemanyyearsbeforeself-drivingcarsarecommerciallyviableandusedbythegeneralpublicinawiderangeofconditions,technologicaladvancementsarespeedingalongtheautomatedtechnologycontinuumtowardthisdestination.Vehicleswithautomatedvehicletechnologiespromisetohavesignificantbenefitsforsociety,includingdramaticdecreasesincarcrashes,injuriesanddeaths,increasedmobility,increasedroadefficiency,andbetterutilizationofparkingandlands.Astestingonpublicroadsisnecessaryforautomatedvehiclestoreachmaturity,itisessentialtoexaminebasicpolicyissuesnowsothatthemosteffectiveplanningcanbedoneinIowaandtoensuresafetyofthegeneralpublic.Thegoalsofthisprojectweretoundergoasystematicreviewofautomatedvehicletechnologieswithafocusonpolicyimplications,methodsofimplementation,regulationbystates,anddevelopmentsoccurringonlegalfronts,ultimatelycreatingasetofpolicyrecommendationsandquestionsforfurtherresearch.Automatedvehiclerequiretheintegrationofsensordataalongwiththecomplexdecisionmakingalgorithmsalongwiththeabilitytoquicklyrespondtochangingroadwayconditions.Tocreateafullyautomatedvehicle,allofthesetechnologiesmustseamlesslyworktogether.Whileautomatedvehicletechnologieshavethepotentialtosubstantiallybenefitmobility,policymakersareonlybeginningtodealwiththetremendouschallengestheyintroduce.Currentlythereisnofederallawspecifictoautomatedvehiclesandonlyafewstateshaveadoptedlegislationexplicitlyaddressingautomateddriving.Whilewellintentioned,theselawshavethepotentialtounintentionallyestablishadditionalhurdlestotestingordeployment,thuscreatingaconfusingandincompatiblepatchworkofregulations.Additionally,sincetechnologyischangingsorapidly,legislationcanbecomeobsoletequickly.Conversely,in2014JohnsonCounty,Iowabecamethefirstmunicipalitytoencouragevehicletestingasaneconomicdevelopmentinitiativebyadvertisingitslackofrestrictivelegislationonthetestingandoperationofautomatedvehiclesonpublicroads.Strongrelationshipswithmunicipalgovernments,theIowaDOTandlawenforcementenhancecommunication.ThisreportprovidesrecommendationsforthestateofIowaoverthenextfiveyearsinregardstoautomatedvehiclepolicydevelopment.Theseadministrative,planning,legal,andcommunitystrategyrecommendationsforgovernmentagenciesinclude:
• Encouragingautomationbypreparinggovernmentagencies,infrastructure,leveragingprocurement,andadvocatingforsafetymandates
• Adjustinglongrangeplanningprocessesbyidentifyingandincorporatingawiderangeofnewautomationscenarios
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• Beginningtoanalyzeand,asnecessary,clarifyexistinglawasitapplestoautomateddriving
• Auditingexistinglaw• Enforcingexistinglaws• Ensuringvehicleownersandoperatorsbearthetruecostofdriving• Embracingflexibilitybygivingagenciesthestatutoryauthoritytoachieveregulatory
goalsthroughdifferentmeans,allowingthemtomakesmall-scaleexemptionstostatutoryregimesandclarifyingtheirenforcementdiscretion
• Thinkinglocallyandpreparingpublically• Sharingthestepsbeingtakentopromote(aswellastoanticipateandregulate)
automateddriving• Institutingpubliceducationaboutautomatedvehicletechnologies
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TableofContents
INTRODUCTION....................................................................................................................................................6
I.LEVELSOFAUTOMATION..............................................................................................................................7
II.AUTOMATEDVEHICLETECHNOLOGIES(AVT).....................................................................................9
III.CURRENTDEVELOPMENTSINAUTOMATEDVEHICLES.................................................................14A.APPLICATIONSOFAVT......................................................................................................................................14B.AUTOMATEDVEHICLEDEVELOPMENTS...........................................................................................................17
IV.LEGISLATIVEREVIEWANDLEGALASPECTS......................................................................................22A.STATELEGISLATION...........................................................................................................................................23B.FEDERALREGULATORYRECOMMENDATIONS..................................................................................................26C.IMPENDINGFEDERALGUIDANCE.......................................................................................................................28D.CIVILLIABILITYANDINSURANCE......................................................................................................................28E.OTHERLEGALISSUES.........................................................................................................................................29
V.POLICYRECOMMENDATIONS...................................................................................................................31A.ADMINISTRATIVESTRATEGYRECOMMENDATIONS.........................................................................................31B.PLANNINGSTRATEGYRECOMMENDATIONS.....................................................................................................32C.LEGALSTRATEGYRECOMMENDATIONS............................................................................................................33D.COMMUNITYSTRATEGYRECOMMENDATIONS.................................................................................................34
VI.CONCLUSIONS...............................................................................................................................................35
REFERENCES........................................................................................................................................................36
APPENDICES........................................................................................................................................................39APPENDIX1.LISTOFACRONYMS..........................................................................................................................40APPENDIX2.SOCIETYOFAUTOMOTIVEENGINEERS(SAE)LEVELSOFAUTOMATIONDESCRIPTIONS...........41
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IntroductionThefieldofautomatedvehicletechnology(AVT)israpidlydeveloping.Whileitwilllikelybemanyyearsbeforeself-drivingcarsarecommerciallyviableandusedbythegeneralpublicinawiderangeofconditions,technologicaladvancementsarespeedingalongtheautomatedtechnologycontinuumtowardthisdestination.AVTpromisestohavesignificantbenefitsforsocietyincluding,mostnotably,dramaticdecreasesincarcrashesandautomobiledeaths.Whilecrasheshavebeengraduallydeclining,in2014morethan32,000peoplewerekilledinmotorvehiclecrashesonU.S.roadways,withanadditional2.3millioninjured(NHTSA,2015a).Thisisinadditiontotheestimated55%ofcrashesthatgounreported(NHTSA,2015b).Humanerroraccountsforthevastmajorityofcrashes--95%oftotalcrashestoday(NHTSA,2008).AVTthereforehasthepotentialtosubstantiallyreducecrashesbyremovingthehumanerrorcomponent.Additionally,automatedvehiclesarealsoexpectedtoincreasemobilityforcertainpopulationssuchastheblindordisabled,decreasefuelconsumptionandemissions,likelyreducecongestion,andimprovelanduse.ThusAVTisexpectedtoprovidebenefitstosafety,mobilityandsustainability,threemajortransportationissues. ThisreportbuildsonpreviousworkcompletedbyTheUniversityofIowa,firstreviewingthelevelsofautomationandprovidingabriefreviewofdevelopmentsinAVT.Casestudiesofanumberofdifferentvehicleseitheronthemarketorunderdevelopmentarepresented,including:GMSuperCruise,theVolvoDriveMeproject,andtheGoogleself-drivingcar.
Figure1.CadillacmodelslaterthisdecadewillincludeSuperCruise,anautomatedsystemthatcontrolsthecarbutrequiresthedrivertomonitortheenvironment.(Photo/GeneralMotors)
Anin-depthlegislativereviewdiscussesthecurrentlegislationadoptedbysixstatesandWashingtonD.C.TherearenofederallawsspecificallyregulatingAVTorautomatedvehicles.However,theNationalHighwayTransportationSafetyAdministration(NHTSA)hascreatedrecommendationsforstatelegislation.Thecurrentstatelegislationiscomparedwiththeserecommendations.
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Duringthisproject,TheUniversityofIowapartneredwithProfessorBryantWalkerSmithfromtheUniversityofSouthCarolina,whoseresearchfocusesonrisk(particularlytortlaw,productliability,andstateandmunicipalliability),technology,andmobility,tocreaterecommendationsthatthestateofIowacantakenowtoencouragethedevelopment,deployment,anduseofAVTsandautomatedvehicles.(ProfessorSmithprovidedpolicyanalysis;hedidnotprovidelegaladvice.ThisreportsummarizestheanalysishepresentedtotheIowaDOTandthathedetailsinaforthcomingpaper.)TheoutcomeofthisreviewisasetofrecommendationsthatwillhelppavethewayforsafeandlegaluseofvehicleswithautomatedtechnologyinthestateofIowaand,ultimately,fullyautomatedvehicles.Additionally,asetofresearchquestionsareproposedthathighlightsomeofthemostimportantunansweredquestionsaboutthedeploymentofautomatedvehiclesonIowaroads.Itisimportanttonotethedifferencebetweentheterms“automated”and“autonomous”inthisreport.NHTSAnowprefersthetermautomatedtoautonomous,asitisinclusiveofarangeofautomationlevels(Schwarz,2013).Thisreportusesthetermautomatedvehicletechnologies(AVTs)torefertothetechnologieswithvaryingdegreesofautomationthatwillonedayresultinafullyautomatedvehicle. I.LevelsofAutomationEverymodernvehiclehassomedegreeofautomation,includingcruisecontrol,electronicstabilitycontrol,andevenautomatedheadlightsandwindshieldwipers.Ascarsbecomemoreadvanced,ithasbecomecommontospecifydistinctlevelsofautomation.BoththeNHTSAandtheSocietyofAutomotiveEngineers(SAE),inseparatebutparalleldevelopmentefforts,havepublisheddefinitionsofthelevelsofvehicleautomationtoprovideabasisforcommunicationofdifferentconcepts.ThelevelsrangefromLevel0,“noautomation”(conventional,fullyhuman-drivenvehicles)toLevels4or5,“fullautomation”(mayrequirenodriveratall)basedonfunctionalaspectsoftechnology.TheSAEdefinessixdistinctlevelswhiletheNHTSAdefinesfive.Fromtheperspectiveofthedriver,thereisakeydistinctioninexperiencebetweenSAELevel2(wherethehumandriverperformspartofthedynamicdrivingtask)andLevel3(wheretheautomateddrivingsystemperformstheentiredynamicdrivingtask).ThefollowingdiscussionwillusetheSAEtaxonomy,andthelevelsshallbedenotedbytheabbreviationsL0,L1,L2,L3,L4andL5.
AbriefoverviewofhowtheresponsibilityforthedrivingprocessisdistributedbetweenthevehicleandthedriverisoutlinedinFigure2.InL0,thedriverisincompleteandsolecontrolwhereas,attheotherendofthespectruminL5,thevehicleisfullyautomatedandtheexperienceofalloccupantsisthatofapassenger.VehicleswithL5automationmayalsobereferredtoasfullyautomated,orself-driving,vehicles.DetaileddescriptionsofSAEAVTlevelscanbefoundinAppendix2(http://www.sae.org/misc/pdfs/automated_driving.pdf).
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Figure2.SAElevelsofautomation(http://www.sae.org/misc/pdfs/automated_driving.pdf)Allmajorautomobilemanufacturershavedemonstratedresearchvehicleswithadvanced(thoughgenerallysupervised)automation,butnotallareactivelyworkingtowardmarketingone.Manytechnicalchallengeshaveyettobesolved;onemodelestimatesitwilltakeanothertento20yearsforthetechnologytoachievethedesiredlevelofconsistencynecessaryforcommercialviabilityandthusmainstreamuseacrossawiderangeofdrivingenvironments(Moore&Lu,2011).Ontheotherhand,gradualimprovementsintechnologyareresultinginL2and,potentially,L3vehiclescomingtomarket.Thenumberofdriver-assistfeatures(outsideAVT)availableoncarscontinuestogrow,includingfeaturessuchasautomatedemergencybrakingandautomatedpedestriancollisionwarningsystems.AVTisalsoexpectedtohaveamajorimpactonmasstransit;andthefirstL4systemsmaybelow-speedurbantransitvehicles.
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II.AutomatedVehicleTechnologies(AVTs)
AVTsareinarapidstateofdevelopment.Low-levelautomatedfeatures(L1,L2)alreadyexistonsomevehicles,withhigher-levelAVTonthehorizonforconsumers.Thissectionincludesashortreviewofthestate-of-the-artAVTs;includinghowconnectedvehicletechnologycooperatesandcomplementsautomation.AVTfallsroughlyintothecategoriesof:perception(achievedthroughvarioussensorsandthefusionoftheirdata),planning(carriedoutusingsomeformofartificialintelligencealgorithm),andexecution(exertedthroughactuators).
RadarRadar-equippedvehiclesemitradiowavesthatbounceoffofobjectsandreturntoareceiver,allowingtheestimationofdistance,andsometimesheading,toanobject.Short-rangeradar(SRR)detectsthedistanceofnearbyobjectswithinarangeofupto20meters.Typicallyimplementedwithasingleantenna,SRRcannotdetectanglesandmustbepairedwithothersensorssuchascamerastoprovidethatinformation.SRRisusedwithsystemssuchasparkassistandcollisionandblindspotwarning.Long-rangeradar(LRR)canmeasurethedistanceofanobjectinthepathofthevehicleupto150meterswithanangularresolutionoftwodegrees.Suchradartechnologyisoftenimplementedtogivedirectionalitytothesensingcapability.LRRisusedinlongrangesensingapplicationslikeACCbymeasuringthedistancetoavehicleinfrontofthecarandthespeedofthatvehicle.
Figure3.Depictionoflongandshortrangeradar,locationonmostvehicles,andareasofdetection.
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UltrasonicSensors Usedinbacking,parkingassist,lanekeeping,andACCfeatures,ultrasonicsensorssendouthighfrequencysoundwavesthatmeasureechoestodeterminethedistanceofanobject.GlobalPositioningSystem(GPS)Inclearweatherandintheabsenceoftallbuildings,civilianGPStechnologyutilizessatellitestoprovidelocationwithinfivemeters(16feet).Functionalitycanbeaffectedbyweatherorlargebuildings.Theresolutionofsuchsystemsisquicklyshrinkingdownforcommercial(non-military)applications.Whilestillexpensive,onecentimeterresolutionwillbewillbegintobecomemorecommoninthecomingyears.DedicatedShortRangeCommunications(DSRC)Usedtocommunicatedirectlywithothervehicles(V2V),aswellaswithstationaryroadsideunits(V2I),DSRCisawirelesscommunicationprotocolusedinconnectedvehicletechnologythatissuitableforsafetysystemslikecollisionwarning.Combinedwithcellularinfrastructure,itprovidescomprehensiveconnectivitytovehiclesforsafety,navigation,andinfotainmentsystems.DSRCcansupplementtraditionalsensorsbyaddingaformofsensingthatisnotlimitedtoline-of-sight.CamerasCrucialtoAVT,camerasdetectcolorandboundaries,enablingtherecognitionoflanelinesonroadsandthereadingofsigns.Pairedwiththerightsoftware,sensors,boundaryclassificationallowsvehiclestoidentifytypesofobjectssuchascars,trucks,motorcycles,pedestrians,emergencylights,etc.Camerascannotmeasuredistancedirectly,unlessusedinpairsforstereovision,andthusmustbepairedwithothersensors.However,camerascaneasilymeasureratesofchangebetweenobjectsahead,likewhetheradriverisgainingonaslowermovingvehicle,pedestrians,orbicycles.ConsideredanessentialpartofAVT,camerascandeliverspatialandcolorinformationthatothersensorscannot(Schwarzet.al,2013).Mostsimply,camerasystemsplaceboxesaroundtargetsandmeasurethechangeinsizeforcollisionwarning/avoidance.
Figure4.Ultrasonicsensors
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LiDARLiDAR(lightdetectionandranging)functionssimilarlytosonarinthatitemitsandmeasureslasersignalsthatbouncebacktocalculatethedistanceofobjectsaroundthevehicle.LiDARistheonlysensorthatcanmeasureaccurateanglesinhorizontalandverticaldimensions,enablingittogenerate3Ddatathatisaccuratewithintwocentimeters.Thisdataisthenintegratedwith2DGPSmapdatatoallowvehiclestonavigatetheirenvironments.LiDARisalsousedforaerialsurveyingandiscrucialinproducinghigh-resolutionmapsnecessaryforautomatedvehiclestofunction.SensorFusionTheintegrationofsensorsanddataareandimportantelementofAVTs.Datafromcameras,radar,LiDAR,andotherspecializedsensors(ininsomeinstancesmapdata)mustbeintegratedinordertounderstandtheroadwayenvironment.MappingtechnologiesHavingbeenusedformanyyearsinnavigationsystems,roadsarenowbeingremappedatahigherresolutionandwithmorevariablesthaneverbefore.Newmapscontainmoreinformationaboutroadslopeandwidth,lanemarkings,andtrafficcontroldevices,allofwhich
Figure5.Cameraimagesareanalyzedbysoftwaretorecognizedistinctfeatures.Integrationwithradarallowsthecartoidentifywhichobjectsaremovingwiththeflowoftrafficornotthreats(blue)andwhicharenot(red).Alanemarkerishighlightedinyellow(fromVolvoXC90).
Figure6.LiDARscanoftheenvironmenttakingmorethanamillionmeasurementspersecondandformingahigh-resolutionmapofthecar’ssurroundings(Google).
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areimportantforthesafeoperationofAVTs.Asatypeofinput,digitalmapsarenotlimitedbyline-of-sightandhavegreaterrangethananyofthetraditionalsensors.Whilepublicattentionfocusesonthedevelopmentoffullyautomatedcars,thedigitalmapsandinfrastructurethatenablethemtofunctionwillhaveawiderimpactthatwillbeseenonallscales,as3DmappingiscentraltoimplementingAVT.HERE,formerlyadivisionofNokia,producesdigitalmapsandnavigationsystemsthatrunonfourofeveryfivevehicleswithin-carnavigationsystemsinEuropeandNorthAmerica.Startinginthesummerof2015,HEREbeganworkingtowardsstandardizationofhowitstechnologycollectsdatasoitcanbeaddedtothecloudforthepurposeofinformingothervehiclesoperatingonthesamenavigationsystems.Updatesnowoccuronaperminutebasis,alertingdriversoftrafficjamsandobstacles.HEREisalsoworkingonhigh-definition3DmappingandhasmappedBerlin,Germany,aswellasseveralofthemajorcitiesinScandinavia.HEREacquiredU.S.basedNavteqin2007andnowprovidesadditionalmapping,tracking,andtrafficinformationservices. Inthelastyear,Tom-Tom,aDutchnavigationcompany,partneredwithBoschtobuildnavigationsystemsandAVTsforautomakersworldwide.Boschstatedthatithasnointentionofcreatingautomatedvehiclesbutwillcreatethetechnologiesthatenablethem.ThisincludesusingLiDARtocreatedigitalmapsoftheSanFranciscoarea,sectionsofI-80,andAutobahnA8inGermany.Beforedeployingitsautomatedvehicleresearchfleet,GooglemanuallydrovethroughoutMountainView,California,tocreatedigitalmapsofthecityandcompletedthesameprocessinAustin,Texasinpreparationfortesting.InSweden,VolvomappedtheRingRoadfreewaythroughGothenburginpreparationfortheir2017DriveMetest-launchtoconsumers.Theride-sharingservice,Uber,hasexpressedinterestinautomatedvehiclesandmaymakeasignificantimpactinthenearfuturebydigitallymappingacitywithLiDARasdriversproviderides. RoutePlanningandNavigationAlgorithmsWhenpairedwithGPSanddigitalmaps,routeplanningalgorithmscanselecttheshortestroutetoadestination,evenaccountingforheavyorblockedtrafficandreroutingquickeralternateroutes.Algorithmstreatintersections,on-ramps,andexitsasdecisionpointsandtheroadsthatconnectthemaslinks.Fullyautomatednavigationismorecomplexthanchoosingwhichroadstotake,asAVTsmustalsoperformlane-keepingandspeed-keeping,theprimarytasksofdriving.Environmentalinformationmustalsobeusedtoplanalanechangeortotakeaturnsmoothlyenoughtobecomfortableandsafeforpassengersandcargo. Localization,ObjectDetection,andMappingVehiclesmustbeabletosimultaneouslyscantheenvironment,identifyallmovingobjects,calculatetheirexactlocation,planroutes,andnavigate.Ifahighresolutiondigitalmapisnotavailablefortheircurrentlocation,theymayhavetoprovidethemappingfunctionalityaswell.Theprocessofthevehicleknowingwhereitisandmappingtheenvironmentinreal-timeis
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referredtoasSimultaneousLocationandMapping(SLAM).SLAMalgorithmscompleteavehicle’spictureoftheenvironment(Schwarzet.al,2013),involvingallsensortechnologyonthevehicle;forautomatedvehiclestofunction,allsensortechnologymustbeintegrated.
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III.CurrentDevelopmentsinAutomatedVehiclesForecastsforthedeploymentofautomatedvehiclespredictmanyyearsyetbeforehumandriversneednotplayareal-timeroleacrossawiderangeofdrivingenvironments.Thefirstapplicationswillbeveryslow-speedvehiclesin(e.g.,5-7mphonnon-publicroads—likeaDisneyproperty).However,AVTsarerapidlydevelopingandagreatdealofresearchisbeingconducted.ThelatestindustrydevelopmentsinAVTsarediscussedwithinthissection.
A.ApplicationsofAVT
PlatooningPlatooning,anenhancementtoACC,utilizesradarandspecializedcomputerhardwareandsoftwaretoallowvehiclestosyncwithoneanotheronthehighway.Oncelinked,theleaddriverperformsatleastaccelerationanddecelerationofthefollowingvehicle(s),greatlyreducinglaginreactiontimeandallowingvehiclestofollowatclosedistancestoeachother.ThisAVTincreasesfuelefficiencyinboththeleadandfollowingvehiclesbyreducingwinddrag.Platooninghasobviousbenefitsforsafety,mobilityandsustainability,andthereisastrongbusinesscasetoimplementitincommercialtruckfleets.IntheU.S.,thetruckingindustrywilllikelybethefirstadopterofthistechnology,dueprimarilytoeconomics.In2014,thetruckingindustrygeneratedrevenuestopping$700billion(AmericanTruckingAssociation,2015).However,althoughprofitabilityhasimprovedinthelastfewyears,privatetruckingcompanieshistoricallyhavethinprofitmarginsrelativetootherindustries;in2013,theindustryoperatedatabouta6%netprofitmargin(Sageworks,2014).Thisisdue,inlargepart,to$100billioninfueland$48billionincrashcosts.
Figure7.Twotrucksdemonstratingsafefollowingdistancewithplatooningtechnology.
In2016,PelotonTechnology,anAmericancompany,willbeginequippingtruckswithplatooningtechnology.Thesystemwillelectronicallycouplepairsoftrucksthroughacombinationofvehicle-to-vehicle(V2V)wirelesscommunications,radar-basedactivebrakingsystems,andproprietaryvehicle-controlalgorithms.ThroughthedirectV2Vlink,thereartruck
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willautomaticallyreacttoaccelerationorbrakingmuchmorequicklythanahumandriver.Peloton’scloud-basedNetworkOperationsCenterwillcontinuouslymonitorindividualtrucksafetyandapprovethelinkingofpairsoftrucksonsuitableroadsandinappropriateweatherandtrafficconditions(Peloton,2015).PelotonhasperformedstudiesdemonstratingthesignificantlyimprovedreactiontimeswithsynchedvehiclesinaplatoonoverbothmanualdrivingandACC.InPeloton’sversionofplatooning,reartruckdriverscontinuesteeringatalltimes,thusmakingitanL1technology.Figure9belowcomparesthelagtimebetweenmanual(human),automated(ACC),andcoordinated(platooned)trucks.Thetoptwobarsshowtheconsiderableamountoftimebetweenthebrakingofafronttruckandtherear(following)ahumantruckdriver’sperception,reaction,andbrakelag.Inthenextsetofbars,onecanseethatwithanACC“automated”system,thoughtheperceptionandreactiontimesarediminished,thereisstillalaginbraking.However,thelastsetofbarsshowstheperceptionandreactionofcoordinated,orplatooned,trucksbeginsimmediately,assoonasthefronttruckbeginstobrake,sothereislittlelag,thusallowingforcloserfollowingdistances.Platooningeliminatesthehumancomponent.
Figure8.Pelotonillustratesthatthefollowingvehiclebeginsbrakingevenbeforetheleadvehiclehassignaledintentthroughbrakelights.Pelotonhasshownthatfuelusageinatwo-truckplatoondropsby4.5%fortheleadtruckand10%forthefollowingtruckbasedontestingconductedbytheNorthAmericanCouncilforFreightEfficiencyandtruckingfleetC.R.England(Peloton,2015).Forlargecommercialfleets,savingsstandtobeworthbillionsofdollarsayear.Peloton’scurrentfocusisontrucks,buttheirpatentcoversthesameapplicationonpersonalvehiclesaswell.
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TheEuropeanUnion(EU)fundedSafeRoadTrainsfortheEnvironment(SARTRE)isapproachingplatooningfromthestandpointofenvironmentalbenefit.WhiletheU.S.willinitiallyfocusontrucks,SARTREispushingtoimplementthetechnologyontrucksandpersonalvehiclesalike.Inthisversion,L3andL4capabilitiesallowdriversofthefollowingvehiclestocompletelydisengagefromperformingthereal-timedrivingtask.
Figure9.ThisslidebyVolvo,demonstratesaroadtraininwhichmultiplecarsfollowaleadtruck.Theiconsbeloweachvehicleindicatewhatapersonbehindthesteeringwheelcandowithduringthistime.
TheL2/L3platooningtechnologyoffersevengreaterpotentialbenefitsintheformoffueleconomy,crashreduction,andenhancementofexperienceforfollowingvehicledrivers.TheadditionalpushfromtheEUtobringthistomarketforenvironmentalreasonsindicatesthatthismaybeakeyautomationtechnologyinEuropeoverthenextfiveyears.
Figure10.ResultsoffueleconomystudyreleasedbySARTRE.Theroadtraininthisstudyconstitutedtwotrucksatthefrontfollowedbythreecars.LVistheleadvehicleandFVisanyfollowingvehicle.
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Itshouldbenotedthatthisparticulartechnologymayeventuallyappearunderavarietyofnames,dependingontheuse,includingtermslike“drafting”,“roadtrain”,“link”,“synchronize”and“coordinatedbraking.”
B.AutomatedVehicleDevelopments
PublicTransit–EuropeSince1999,theEUhastestedfullyautomatedfleetsinmajorEuropeancities.Thecurrentproject,CityMobil2,isdesignedtotest,demonstrate,andhighlightthecapabilitiesofAVTinaugmentingexistingmass-transitsystems.Thevehiclesemployedaresmall,lightweight,andmoveatslowspeeds.Buslinestendtomovealongmajorroadswithincities.SuccessfuldemonstrationsinmultiplecitiesacrossEuropehaveincreasedpublicawarenessandacceptanceoffullyautomatedtransitoptions.FleetssuchasthesearelikelytobepilotedintheU.S.inairportsoronlargecampuses.Thesevehiclesareexamplesoflevel4automation.
GMSuperCruise–HighwayAutomationIn2017,GMwilllaunchaSuperCruisefeatureonthe2018CadillacCTSthatcombinesACCandlanefollowing(centering),utilizingradar,ultrasonicsensors,cameras,andGPSmapdata.ItwillbethefirstpersonalvehiclemarketedintheU.S.withV2Vcommunication.TheSuperCruisefeatureisforhighwaydrivingonlyandcanonlybeactivatedundercertainconditions.TheGMSuperCruisefeatureconstitutesanL2technology;inpressreleases,GMhasstressedtheimportanceofthedrivercontinuingtowatchroadconditionsandtobereadytoresumeactivelysteeringandbrakingatalltimes.TheGMSuperCruisefeaturehasalreadybeentestedonpublicroads.
Figure11.TheCityMobil2busescanholduptoeightpeopleatonceandarenarrowerthanevenmostsmallEuropeancars.
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Figure12.ImagereleasedbyGMillustratingtheuseofcameras,radarandultrasonicsensorstotracklanemarkersandthevehicledirectlyahead.
VolvoDriveMeIn2017,VolvowillbeginapilotprograminGothenburg,SwedentodemonstratethecapabilitiesofL4automationonselect“certified”highways.Theautomationisonlyenabledontheseselectroadsthathavegoodroadwaypaintandhavea3Dmap.TheSwedishgovernmentcanalsosendasignaltothevehiclesinthecaseofweatherorotherconditionstosuspendtheautomation.Thetestinvolves100VolvoXC90modelsdrivenbycustomers(insteadoftestengineers)whowillpurchaseatwo-yearleaseforthepriceofaregularXC90.BlackboxrecorderswilltransmitdatatoVolvoinrealtime.OncetheXC90’sautomatedvehiclemodeisturnedon,driverswillbeabletocompletelydisengagefromactivelydriving.Thecarsusecameras,LiDAR,radar,sonar,anddigitalmapstoenablelanecentering,ACC,andtheabilitytooperateinstop-and-gohighwaytraffic.Volvo’spromotionalvideosstatethatthetechnologyissoreliable,thedrivercanfocusonsomethingelsewithouthavingtopayattentiontotrafficandshowadrivertexting,takingnotes,andreadingapaper.Tofunction,DriveMeprogramvehiclesmustbeabletoaccess3Dcloud-basedmapsof“certified”highwayintheGothenburgarea.Roadcertificationisatwo-stepprocessthatincludes:
Figure13.Volvoisactivelyadvertisingthatdriverscancompletelydisengagefromallaspectsofthedrivingtaskwhenthehighwayautomationfeatureisactivated.
Figure14.About50kmofhighwayaroundGothenburg,SwedenhasbeencertifiedfortheDriveMeprogram.
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1)creationofadigitalmapthatcanbeaccessedviathecloudand2)ensuringthatallmarkers(paintedlines,signs,etc.)arevisibletothevehicle.ThereisconstantV2Icommunicationandconstructionandweatherinformationiscontinuouslyupdated.Duringinclementweather,thecertificationcanbede-activated,disablingtheautomatedhighwayfunctionandrequiringdriverstoremainincontrolofthevehicle.Whennotoncertifiedhighways,driversmustactivelydrivethecar.RedundancyisusedinallXC90systems,ensuringthatasinglesystemfailuredoesnotresultinadangeroussituation.Intheeventthatadriverdoesnottakecontrolofthecarwhenpromptedorifanautomatedvehicle-vitalsystemmalfunctions,thecarwillpullitselfoverandcometoacompletestoponspeciallydesignedturnouts.VolvoplanstobegintestsinotherlocationsoncetheGothenburgtestdrawstoacloseandhasindicateda2020commercialreleaseforthisfeature.OtherOEMslikeTesla,DaimlerandNissanorplanningsimilarimplementation.
Figure15.IllustrationofV2I/V2VcommunicationbenefitsoftheVolvoDriveMeprogram.
GoogleSelf-DrivingCarGooglebegandevelopmentofitsself-drivingcarin2009andcurrentlyhasafleetofmorethan20modifiedLexusRX450hSUVsand30prototypes(vehiclesdesignedfromthegrounduptobefullyself-driving).ThesevehiclesarecurrentlyonpublicroadsinMountainView,California,Austin,Texas,andKirkland,Washington.Duringself-drivingtests,engineershavebeenbehindthewheeltoprovidefeedbackandtointervene,asnecessary.BothfleetsutilizeLiDAR,multiplecameras,LRR,SRR,andGPS.IntheDecember2015Self-DrivingCarProjectMonthlyReport,Googlestatedthattheautomatedfleethaddrivenmorethan1.3millionmilesinautomatedmode,another955,000milesinManualMode,andwere
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averaging10,000to15,000automatedmilesperweekonpublicroads.Toputthisintoperspective,atypicalAmericandrivesapproximately13,000milesperyear,meaningthattheLexusRX450hSUVfleethasaccumulatednearly75yearsoftypicaladultdrivingexperienceinjustthreeyears.Asagreatdealofpresscoveragehasbeengeneratedbythefewcrashes(17inthesixyearsoftheproject)involvingthecars,Googlehasstartedpublishingmonthlyreportscoveringtheprogressoftheprojectandgivingdetailsofallcrashes.Inallbutoneinstance,collisionsinvolvingGooglecarswerethefaultofanothervehicle.Noneofthecrasheshavebeencausedbythecaritself(Google,2015).
Themilestoneofdrivingmorethanmillionmilesinautomated–butsupervised–modeisapositiveindicationofthedevelopmentofAVT.Suchautomationstillrequiresclosesupervisionandsafetydriversintervenewhentheautomationfailstorecognizeacollisioncondition.Newerprototypesareasignificantstepinthisdirectionastheyaredesignedforpassengers,notdrivers,andareonlyequippedwithsteeringwheelsforthesakeoftesting(thesteeringwheelscanberemoved)Figure17.
Figure16.Googleself-drivingLexusRX450hSUV
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Thesemodelsaredesignedtogonofasterthan25mphandwhilethesmallsizeandlowspeedarenotsuitableformostworkcommutes,ahighlyautomatedvehiclecapableofself-navigatingonroadsandwidenedsidewalksoffersagreatdealofsocialandeconomicbenefit.Acarofthistypewouldrepresentasignificantincreaseinqualityoflifeforindividualswhoareunabletodrivethemselves.
Figure17.HighlyautonomousL5cardesignedbyGoogletofunctionsolelyasapassengervehicle.
Figure18.Googlehasbegunanawarenesscampaigndemonstratingself-drivingtechnologytolikelyearlyadopterswhoareunabletodrivethemselves.Themaninthisimageisblind.
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IV.LegislativeReviewandLegalAspectsWitheverymajorcommercialautomakerengagedinAVTresearchandfull-scalecommercialintroductionofautomatedvehiclesestimatedtopotentiallyhitthemarketwithinthenext20years,itisimportantforpolicymakerstounderstandtheeffectsexistingpoliciesandlawsarelikelytohave(Andersonet.al,2014).EveryU.S.statehasdifferentlawsshapedbylegislators,regulators,andjudges.Theselawsevolvebothformallyandinformally.Akeypointisthatsincenochangeoccursinavacuum,tomorrow’svehicleswillface(andaffect)tomorrow’slaws(Smith,2015).Ingeneral,existinglawslikelydonotprohibit(butmaycomplicate)automateddriving(Smith,2014a).ExistinglawsnotspecificallyrelatedtoAVTsareimportanttoconsider,astheymaytreattechnologiesandapplicationsdifferently.Twopointsareparticularlykey.First,detailsmatter:NewYork,forexample,uniquelyrequiresadrivertokeepatleastonehandonthewheelwhenthevehicleisinmotion,anactionthatmaynotbetechnicallynecessarywithcertainAVTs.Second,broadersocialcontextwillshapemanyofthosedetails:Whetheradriveractsrecklesslybyclosinghereyesinafullyautomatedvehicleduringoperationmaydependonwhethertherelevantcommunity,includingpoliceofficers,judges,andjuries,deemsautomationtobe“good”or“bad.”(Smith2015)Newlawsmaylikewisehavearangeofimpacts.Certainlawsalreadyenactedhaveprohibitedsomeformsofautomateddriving,establishedadditionalhurdlestotestingordeployment,orimposedasuperficialstructureonexistinglawthatconfusesasmuchasitclarifies.Themoremeaningfullegalreviewadvocatedinthisreport,however,couldidentifyandthenremedylingeringareasoflegaluncertainty.Historically,DMVstestandregulatethesafetyofdrivers,relyingonvehiclesafetystandardsestablishedbyNHTSA,afederalentity.ButAVTsareblurringthelinebetweendriverandvehicleandDMVsarenowbeginningtotestandlicenseself-drivingvehicles(Andersonet.al,2014).Currently,NHTSAhasnotestablishedsafetystandardsforself-drivingvehiclesbutdidpublishalistofformalrecommendationsforvehicletechnologyonpublicroadsin2013inordertoencouragesafedevelopmentandimplementation.InJanuary2016,theDOTandNHTSApublishedanupdatetothisstatementthatcommittedtheDOTtocreatingautomatedvehicleguidanceandmodelstatepolicywithinsixmonths,whichwouldofferapathtoconsistentnationalpolicy.WhilethestateofIowadoesnotcurrentlyhavelegislationpertainingtoautomatedvehicles,inJuly2014theJohnsonCountyBoardofSupervisorsunanimouslypassedaproclamation
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encouragingautomatedvehicletestingasapublicsafetyandeconomicdevelopmentinitiative(IowaCityAreaDevelopment,2014).Withthisproclamation,Iowaisadvertisingitslackofrestrictivelegislationonthetestingandoperationofautomatedvehiclesonpublicroads(O’LearyandSantana,2014).
A.StateLegislationAsofDecember2015,sixstates(California,Michigan,Florida,Nevada,NorthDakota,Tennessee)andtheDistrictofColumbia(DC)havepassedlegislationaimedatexpresslyregulatingAVTs.InAugust2015,Arizona’sgovernorsignedanexecutiveorderdirectingvariousagenciestotakeanynecessarystepstosupportthetestingandoperationofself-drivingvehiclesonpublicroadsandenablingpilotprograms.ManymorestatesareconsideringAVTlegislation.In2015,sixteenstatesintroducedlegislationrelatedtoAVTs,anincreasefromtwelvein2014,nineandDCin2013,andsixin2012(WeinerandSmith)(NationalConferenceofStateLegislatures,2016).Withintheirlegislation,Nevada,California,andFlorida(andothers)haveexpresslypermitted,undercertainconditions,theoperationofself-driving,automatedvehicles—largelyinthecontextof“testing.”Californiaisthemostadvancedstaterelativetoothersasitgoesfurtherstatutorily,butnotregulatorily.RatherthanrecognizingthevariouslevelsofautomationasdefinedbyNHTSAandSAE,lawsinthesestateseitherconsidervehiclesautomatedornot.Underthisapproach,contextdetermineswhetherthetechnologyisdefinedasautomated,thoughthedividinglinelikelyfallsbetweenSAElevels2and3ThefollowingisabriefreviewnotingthekeyaspectsoflegislationbythesixstatesandDC.Whilethelanguageandideasbetweenthelawsaresimilar,noneareidentical.NevadaIn2011,thestateofNevadawasthefirsttopasslegislationregardingautomatedvehicleswithAssemblyBill511.Nevada’slegislationbroadlydefinesanautonomousvehicleas“amotorvehicleequippedwithautomatedtechnology.”Itrequires‘autonomous’vehiclestohaveahumanoperatorbutalsostates“apersonisnotrequiredtoactivelydrive.”ThelegislationdirectstheDepartmentofMotorVehicles(DMV)toadoptregulationsforlicenseendorsementandoperation,includinginsurance,safetystandards,andtesting(completedin2012).Additionally,thelegislationlimitsoriginalmanufacturerliabilityandrequiresproofofinsurance(NevadaLegislature,2011a).SenateBill313in2013amendsthelegislationtorequirethattheDOTshallestablishadriver’slicenseendorsementfortheoperationofanautomatedvehicleonNevadahighways.Thisendorsementrecognizesthefactthatapersonisnotrequiredtoactivelydriveanautomatedvehicle(NevadaLegislature,2013).Additionallegislationrelatedtoautomatedvehicles,NevadaSenateBill140,enactedandchapteredin2011,prohibitstheuseofcellphonesandcommunicationsdeviceswhiledriving,includingtextingandreadingdata.However,theseactivitiesarenotprohibitedforapersonoperatinganautomatedvehicle(NevadaLegislature,2011b).
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FloridaEnactedin2012,FloridaHouseBill0599andHouseBill1207authorizedthetestingofvehiclesequippedwithautomatedtechnologyanddefined“autonomoustechnology”astechnologyinstalledonavehicleenablingittooperatewithouttheactivecontrolandcontinuousmonitoringofahumanoperator.Thelegislationrequiresalicenseddriver,unlessonaclosedcourse,tomonitortheautomatedmodeandintervene,whennecessary.Driversarelimitedtoemployees,contractors,andotherpersonsdesignatedbythemanufacturerofthetechnology.Driversmustbeabletodisengagefromautomatedmodeandthetechnologymustprovideavisualindicatorinsidethevehiclewheninautomatedmodeandalerttheoperatortoatechnologyfailure.ThelegislationalsodirectstheDepartmentofHighwaySafetyandMotorVehiclestoprepareareportrelatingtothesafeoperationofvehiclesequippedwithautomatedtechnologyonpublicroads(completedin2014).Originalmanufacturerliabilityislimitedandproofofinsuranceisrequired(FloridaHouseofRepresentatives,2012aand2012b).SimilartoNevada,Floridaalsopermitstheuseofcellphonesforthoseinautomatedvehicles.CaliforniaInSeptember2012,CaliforniapassedSenateBill1298creatingVehicleCode38750,establishingdefinitionsandpermittingtheoperationofautomatedvehiclesfortestingpurposesonpublicroadsundercertainconditions(i.e.aproperlylicenseddriverinthedriver’sseatwhowouldbeabletotakeoverinemergencies).An“autonomousvehicle”isdefinedasanyvehicleequippedwithautonomoustechnologythathasbeenintegratedintothevehicle,with“autonomoustechnology”meaningtechnologythathasthecapabilitytodrivethevehiclewithouttheactivephysicalcontrolormonitoringbyahumanoperator(CAvehiclecode,section38750).ThelegislationalsorequiredtheadoptionofsafetystandardsandperformancerequirementsdevelopedbytheDepartmentofMotorVehicles(DMV)(completedfortestingin2015;overayearoverdueforgeneraloperation).Proofofinsuranceisrequired.Additionally,thelegislationstatesthatiftheNHTSAcreatesconflictingregulations,theNHTSAvehicle-basedregulationswillsupersedeCalifornialaw.(CaliforniaLegislature,2012).Generaloperationsregulationwillstaywiththestate.WashingtonD.C.TheAutonomousVehicleActof2012enactedandeffectiveinApril2013,conditionstheoperationofautonomousvehiclesonDCroadwaysonavailabilityofamanualoverridefeatureandthepresenceofadriverseatedinthedriver’sseatwhoisabletointerveneatanytime.Anautonomousvehicleisdefinedas“avehiclecapableofnavigatingDistrictroadwaysandinterpretingtraffic-controldeviceswithoutadriveractivelyoperatinganyofthevehicle’scontrolsystems.”Thelegislationrestrictsconversiontorecentvehiclesandlimitstheoriginalmanufacturer’sliabilityforanyvehicleconvertedforautonomouspurposes.TheDMVwasalsodirectedtodevelopanautonomousvehicledesignationand“safedrivingprotocols”(CounciloftheDistrictofColumbia,2013).Such‘safedrivingprotocols’weredevelopedaspartofimpaireddrivinglaws.
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MichiganMichiganSenateBills169and663,effectivein2014and2013(respectively),expresslypermitthetestingofAVTsbycertainpartiesundercertainconditions.Automatedmotorvehiclesaredefinedasthoseonwhich“automatedtechnologyhasbeeninstalled…thatenablesthemotorvehicletobeoperatedwithoutanycontrolormonitoringbyahumanoperator.”Thelegislationrequiresaqualifiedoperatortobepresentduringoperationandlimitstheliabilityfororiginalmanufacturerandsuppliers.ByFebruary1,2016,thelegislationalsorequiresthestateDOT,withtheSecretaryofState,tosubmitareportrecommendinganyadditionallegislativeorregulatoryactionsthatmaybenecessaryforthecontinuedsafetestingofautomatedvehiclesandtechnology(MichiganLegislature,2013aand2013b).TheMichiganlawalsoexpresslyprohibitsallotheroperationofautomatedvehicles.NorthDakotaThroughHouseBillNo.1065,NorthDakotaenactedlegislationinMarch2015providingforastudyoflawsthatmayneedtobechangedtoaccommodatetheintroductionortestingofautomatedmotorvehicles.ThelegislationdefinesautomatedmotorvehiclesbytheSAEstandardas“theunconditional,full-timeperformancebyanautomateddrivingsystemofallaspectsofthedynamicdrivingtask.”Thestudymayalsoincluderesearchonthedegreethatautomatedvehiclescouldincreasesafety,reducetrafficcongestion,andimprovefueleconomy(NorthDakotaHouseofRepresentatives,2015).TennesseeSenateBill598,enactedbytheStateofTennesseeinApril2015,specificallyprohibitslocalgovernmentsfrombanningtheuseofmotorvehiclesequippedwithautomatedtechnology.Automatedtechnologyisdefinedastechnologyinstalledonavehiclethathasthecapabilitytodriveit“withouttheactivephysicalcontrolormonitoringbyahumanoperator”(TennesseeLegislature,2015).
LicensingNHTSArecommendsstatelegislationensurethatautomatedvehicledriversunderstandhowtooperatethevehiclesafely.Florida,California,andMichiganallrequirethatautomatedvehicleoperatorsbeanemployee,contractor,orotherpersonauthorizedbythemanufacturer.Nevadahasestablishedadriver’slicenseendorsementfortheoperationofanautomatedvehiclethatrecognizesthefactthatapersonisnotrequiredtoactivelydriveanautomatedvehicle.FloridalegislationstatesthattheDepartmentofHighwaySafetyandMotorVehiclesshallproposerulestoestablishadriver’slicenseendorsementforresidentstooperateavehiclewithautomatedtechnology.CaliforniaandMichiganbothgivethelicense-grantingdepartmentthediscretiontoarbitrarilylimitthenumberofpermitsissuedfortestingself-drivingvehiclesonpublicroads.Thepermitstaketheformofadriver’slicenseinCaliforniaoraspeciallicenseplateinMichigan.Bothstatesrequirethatthesecanonlybeissuedtomanufacturersofautomatedtechnologybutneither
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statespecifiesthatthesemanufacturersaretestingtheirowntechnology.Bothstatesspecifythattheissuingdepartmenthaveaprocessformanufacturerstoapplytoberecognizedasamanufacturerofautomatedvehicletechnology,andthatthetechnologybeingtestedmeetasofyetunspecifiedsafetyconditions.TheNevadaDMVhasalsodevelopedregulationsoutliningtheissuanceoftestinglicensesforautomatedvehicletechnology.Testingapplicantsmustprovideproofof10,000hoursofpriorautomatedvehicleoperation,statistics,andexplanationsofhowthevehiclehandlesdifferenttrafficcontroldevices,pedestrians/objects,speedvariations,andvariousenvironmentaltypes.Licenseesarealsorequiredtosubmitasafetyplan.
B.FederalRegulatoryRecommendationsIn2013,NHTSA,thefederalagencyresponsiblefordeveloping,setting,andenforcingFederalmotorvehiclesafetystandards(FMVSSs),publishedadraftpolicystatementfordraftersofstatelegislationandregulationsgoverninglicensing,testing,andoperationofself-drivingvehiclesonpublicroads.Intheabsenceofanyspecificfederallaws,theserecommendationswerecreatedtoencouragethesafedevelopmentandimplementationofvehicleswithhigher-levelautomation.WhileNHTSAbelievesstatesarewellsuitedtoaddressissueslikelicensinganddrivertraining,ithasconsiderableconcernsregardingdetailedstateregulationonsafetyoffullyautomatedvehicles.Therefore,NHTSArecommendedthatstatespermitself-drivingvehiclesfortestingpurposesonly(NHTSA,2016).NHTSA’srecommendations,whichallassumeahumandriverengagedinvehicletesting,areoutlinedbelow,followedwithexamplesofhowtheyareaddressedbylegislationinthesixstatesandDC:
• Licensingdriverstooperateself-drivingvehiclesfortesting:o Ensuredriverunderstandshowtooperateaself-drivingvehiclesafely
• Stateregulationsgoverningtestingofself-drivingvehicles:
o Ensureon-roadtestingofself-drivingvehiclesminimizesrisktootherroaduserso Limittestingoperationstoconditionssuitableforthecapabilitiesofthetested
self-drivingvehicleso Establishreportingrequirementstomonitortesting
• Establishingbasicprinciplesfortestingofself-drivingvehicles:
o Ensureprocessfortransitioningfromself-drivingmodetodrivercontrolissafe,simple,andtimely
o Self-drivingtestvehiclesshouldhavethecapabilityofdetecting,recording,andinformingthedriverthatthesystemofautomatedtechnologieshasmalfunctioned
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o Ensureinstallationandoperationofanyself-drivingvehicletechnologiesdoesnotdisableanyfederallyrequiredsafetyfeaturesorsystems
o Ensureself-drivingtestvehiclesrecordinformationaboutthestatusoftheautomatedcontroltechnologiesintheeventofacrashorlossofvehiclecontrol
• Authorizingtheoperationofself-drivingvehiclesforpurposesotherthantestingisnotrecommendedatthistime
TestingNHTSArecommendslegislationensurethaton-roadtestingofself-drivingvehiclesminimizeriskstootherroadusers.AutomatedvehiclesmaybetestedonpublicroadsinCalifornia,Michigan,Nevada,andDCifthereisanoperatorinthedriver’sseatandthatindividualisabletoactivelydrivethevehicle,ifneeded.Foroperationwithoutthepresenceofahumandriver,theCaliforniaDMVmayimposeadditionalrequirementstoensuresafeoperation.Floridalawstatesthatthevehiclemayoperatewithouttheactivecontrolofahumanoperator,buttheoperationofthetestvehiclemustbecontinuouslymonitoredinamannerthatallowsactivecontroloverthevehicle.Developedbythestate’sDMV,Nevada’stestingguidelinesrequiretwopersonstobephysicallypresentinaself-drivingvehiclewhiletestingandeachpersonmustbetrainedintheoperationoftheautomatedvehicle,includingthecapabilitiesandlimitationsofthetechnology(AutonomousVehicleTestingLicense,2016).Additionally,totestself-drivingvehicles,bothNevadaandMichiganrequirespeciallicenseplates,astheseprovideclearvisualindicatorstootherdriversthatavehiclemaybeoperatinginautonomousmode.Florida,anotherstatewithautomatedvehiclelegislation,isconsideringthisvisualindicatorbutisunsureofthereductioninrisk,asthestatehasmorethantwohundredspecialtylicenseplates(FloridaAutonomousVehicleReport,2014).Therearenolimitationsincludedwithinstatelegislationastowhatpublicroadwaysorgeographicallocationsautonomousvehiclesmaybetestedon,norarespecificpermissionsofgeographicallocationsrequired.However,theNevadaDMVtestingguidelinesrequirethatamanufacturerdesiringtotestautonomoustechnologyonpublicroadwayscompleteanapplicationprocesswhichrequiresalistingofspecificgeographiccategoriesandenvironmentaltypesofroadsdesiredtoteston,withallofNevada’spublicroadsbeingdividedintosixgeographiccategories(i.e.interstatehighways,urbanenvironments,residentialroads,etc.)(AutonomousVehicleTestingLicense,2016).
Figure19.Nevadaautonomousvehiclespecialtylicenseplate
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RecordingInformationNHTSArecommendslegislationensureself-drivingtestvehiclesrecordinformationaboutthestatusoftheautomatedcontroltechnologiesintheeventofacrashorlossofvehiclecontrol.AllsensoryAVTthatallowsforavehicletofunctionautomaticallycollectsdatainreal-time,allowingforeventcaptureinthecaseofacrash.Sofar,onlyCalifornialegislationrequirescollisiondatatobestored.CaliforniaVehicleCode38750statesthatdatafromatleast30secondspriortoacollisionmustbestoredinaread-onlyformatandretaineduntilextracted,withthedatabeingpreservedforthreeyearsafterthecollision.ThesedatacollectedbytheAVTsmustbedisclosedbymanufacturerstovehiclepurchasers.
TransitioningfromSelf-DrivingModetoDriverControlNHTSArecommendslegislationthatensurestheprocessfortransitioningfromself-drivingmodetoactivedrivinginasafe,simple,andtimelymanner.InCalifornia,Florida,andNevadalegislation,automatedvehiclestobetestedoroperatedonahighwaywithinthestatearerequiredtobeequippedwith:
1. Ameanstoengageanddisengagetheautomatedtechnologywhichiseasilyaccessibletothehumanoperator;
2. Avisualindicatorlocatedinsidethevehiclethatindicateswhenautomatedtechnologyisoperating;and
3. Ameanstoalertthehumanoperatortotakemanualcontroloftheautomatedvehicleifafailureoftheautomatedtechnologyhasbeendetectedandsuchfailureaffectstheabilityoftheautomatedtechnologytooperatethevehiclesafely.
Moregenerally,DClegislationrequiresthatautomatedvehicleshaveamanualoverridefeaturethatallowsdriverstoactivelyoperatethevehicleatanytime.Michiganlegislationrequiresthattheindividualpresentwithintheautomatedvehiclehastheabilitytomonitorthevehicle’sperformanceand,ifnecessary,immediatelyactivelyoperateofthevehicle.
C.ImpendingFederalGuidanceInJanuary2016,theDOTandNHTSAreleasedanupdatetothePreliminaryStatementofPolicyConcerningAutomatedVehicles.RecognizingtherapiddevelopmentofAVTsandpotentialimpendingwidespreaddeploymentofautomatedvehicles,NHTSAcommittedtoproposingbest-practiceguidanceforestablishingprinciplesforsafeoperationoffullyautomatedvehicleswithinsixmonths.NHTSAintendstoworkwithstatestocraftandproposethemodelpolicyguidancethatwillofferanationallyconsistentapproachtoautomatedvehicles(DOT/NHTSA,2016).
D.CivilliabilityandInsuranceWithregardtoanyoneinjuredbyanautomatedvehicle,provisionsforinsuranceandliabilityhavebeenincludedwithinsomestatelegislation.Thethreestatesthataddressinsurancerequirementswithinlegislation–California,Florida,andNevada–allrequireaninstrumentofinsuranceinstrument,proofofself-insurance,orasuretybondintheamountof$5million.Michiganrequiresthat,priortoresearchortestingofanautomatedvehicleoranyAVT
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installedonanautomatedvehicle,themanufacturershallsubmitproofthatthevehicleisinsured.InFlorida,afterinsuranceispresentedandtitlefeespaid,thewords“AutonomousVehicle”willprintonthevehicle’sregistrationcertificate.Californiaisalsoproposingtoidentifyself-drivingvehiclesinasimilarwayregistrationcardsandvehicletitles(FloridaAutonomousVehicleReport,2014).Civilliabilityconcernsmay–ormaynot–complicatetheintroductionofAVT(Andersonet.al,2014).Liabilityisnotaneither/orproposition—multiplepeoplecanbesuedandfoundatfault,andeachcrashpresentsauniquesetoffacts(Smith,2015).Justasitistoday,determiningliabilityintheeventofanautomatedvehiclecrashwillbeveryfactspecific(Smith,2014b).Intheeventtwovehiclescrash,weneedtoaskaboutthecircumstances(driverbehavior,environment)todeterminewhoiscivillyliable.Ifanautomatedvehiclecrashes,thesametypesofquestionswilllikelybeasked:Whatwasthehumansupposedtobedoing,ifanything?Wasthevehicleproperlymaintained?Wasthevehicleusedintherightenvironment?Didthemanufacturerproperlyinstructandsupervisethehumanusertotheextentrequired?Didthevehiclemakeamistakeand,ifso,whatcausedthemistake?Florida,Nevada,Michigan,andDCallimmunizeoriginalvehiclemanufacturersfromliabilityinanyactioninvolvinginjurycausedbyAVTequipmentinstalledbyathirdpartyonthatmanufacturer’soriginalvehicle.Eachofthesestateshasminorvariationsinlanguagebuttheoverallliabilityprotectionsaresimilar–andlargelyconsistentwithcurrentcommonlaw.MichiganalsoextendsthisimmunitytoAVTmanufacturers(subcomponentsystems),notjustvehiclemanufacturers.
E.OtherLegalIssuesItisinevitablethatnewtechnologies,especiallythoseascomplexasAVTsandself-drivingcars,willfaceahostoflegalquestions.Asidefrominsuranceandliability,datasecurity,dataownership,privacy,andintellectualpropertyareattheforefrontoflegalconcerns.SecurityforAVTsandself-drivingvehiclesfallsintotwocategories:in-vehiclesecurity(whatexiststoguardagainsttamperingwithavehicle’selectronicandcomputerizedsystems)and“cyber”security(protectionsforV2VandV2Isystems)(Garciaet.al,2015).AutomatedvehiclescouldbevulnerabletodifferenttypesofsecurityattackandallsecurityconcernsthatapplytotheInternetwouldapplytoin-vehiclecommunications(Andersonet.al,2014).HackingandmaliciousbehaviorsareconcernsthathavealreadybeendiscussedandcitedbylawmakerstodefeatlegislationpermittingAVTsandself-drivingvehicles.InthewakeoftheBostonmarathonbombing,abillseekingtoestablishaprocessforallowingtheoperationofautomatedvehiclesdiedincommittee,duetoatleastonerepresentative’sconcernsthatthevehiclescouldbeusedasdronestodeliverbombsforterrorists(LeSage,2013).Dataownershipandprivacyissuespresentanimportantpolicygap(Andersonet.al,2013).VehiclesequippedwithAVTsarerecordingandstoremoredatathaneverbeforeandthatdata,
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aboutboththevehicleandthedriver,hasahighvalue.Forinstance,insurancecompaniesandretailerscouldbeinterestedindrivinghabits.Undercertaincircumstances,lawenforcementcouldhaveconsiderableinterestinlocationdata(Andersonet.al,2013).Dataaboutlocationandhistorycouldbeusedtodiscoverinformationaboutpersonallivesandhabits(Schwarzet.al,2013).Policyquestionsconcerningdatauseandlegalissuesabound,includinghowlongdatafromAVTsshouldbestoredandmaintainedandbywhom(Andersonet.al,2014).Asautomatedvehicletechnologyprogresses,privacyissueswillbeattheforefront.WhoownsthedatageneratedAVTanddoesthisdatafallundercurrentlawsandcourtprecedents,orwillnewlawsandregulationsbeneeded?(Garcia,Hill,andWagner,2015)Dataissuesandprivacyconcernsareanimportantpolicygappolicymakersneedtoaddress.
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V.PolicyRecommendationsThefollowingrecommendationsweredevelopedforIowagovernmentstoencouragethedevelopment,deployment,anduseofautomatedroadvehicles.Thepotentialautomatedvehiclepolicymeasuresaredividedintofourcategories:administrative,planning,legal,andcommunitystrategyrecommendations.Theserecommendationsaresubstantiallysimilartoaforthcomingbookchapter,AutomatedDrivingPolicy[Smith2016]butincludeadditionalmeasuresrelatedtoplanning.Thatchapterinturnsummarizesalongerpolicypaper,HowGovernmentsCanPromoteAutomatedDriving,whichisavailableatnewlypossible.org.
A.AdministrativeStrategyRecommendationsGovernmentagenciesandotheractorsthatconstitutethebulkofthemodernstatecanencourageautomationbypreparingthemselves,preparinginfrastructure,leveragingprocurement,andadvocatingforsafetymeasures.Governmentsshouldprovidetheiragenciestheimpetus,authority,andresourcestoprepareforandevenpromoteautomatedsystems.Thisincludesidentifyingasinglepointpersonforautomateddrivingateachlevelofgovernment,advancingrelevantagencyexpertise,ensuringthatplanningprocessesbegintoaccountforautomateddriving,anddevelopingbreak-the-glassplansforrespondingtoearlypublicincidentsinvolvingautomatedsystems.Thesestepswillrequireresources;preparingforautomatedvehiclesinvolvesissuesthattypicallydonotconfrontexistingbureaucracies.Governmentsshouldlikewisepreparethephysicalanddigitalinfrastructuresthattheymanage.Theyshould:
1. Prioritizetheadequatemaintenanceofroadways(includingpavementconditionsandlanemarkings)toimprovethereal-lifeperformanceofearlyadvanceddriverassistancesystems;
2. Ensurethatpoliciesonthedesignoftransportationinfrastructure(includingtrafficcontroldevices)areclear,consistentacrossjurisdictions,andactuallyfollowedinpracticetoreducethefrequencywithwhichautomatedsystemsmustconfrontunusualroadwayconditions;
3. Verifythatconstructioncrewsandemergencyrespondersfollowrelevantpolicieswhenworkingonornearactiveroadwaystoreduceunanticipatedconflictsbetweenautomatedvehiclesandthesepersonnel;
4. Standardizetheirmanagementofroad-andtraffic-relevantdatatomakethesedatamoreaccessibletodigitalmapmakersandotherpotentialusers;
5. Updateexistingvehicleregistrationdatabaseswithinformationabouttheautomationcapabilitiesofeveryvehiclesothatpolicecanreadilydistinguishbetweenautomatedandconventionalvehicles;
6. CoordinatewithnationalauthoritiesonV2VandV2Icommunicationssothatthisinfrastructureisavailabletothosedevelopersthatwishtouseit;
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7. Encouragethedeploymentofrobustwirelesscommunicationsnetworkssothatdevelopersofautomatedsystemscanmorereliablysharedataandupdateswiththesesystemsaftertheyhavebeendeployed;
8. Makeexistingcongestionmanagementtools(includingmanagedlanes)availableforautomation-relatedapplicationstoencouragetheseapplications;and
9. Emphasizeneighborhooddesignsthatareconsistentwithlowvehiclespeedstoprovideroadwayenvironmentsconducivetoearlydriverlesssystems.
Governmentsshouldalsocooperatewitheachothertoincreasedemandforadvanceddriverassistanceandautomatedemergencyinterventionsystemsbyrequiringorpreferringthesesystemsonvehiclesthattheiragencies,theircontractors,andtheirconcessionairespurchase.Inaddition,stateandlocalgovernmentscanpushthefederalgovernmenttomovemoreaggressivelyinpromotingandultimatelyrequiringmoreofthesesafetysystemsonnewvehicles.
B.PlanningStrategyRecommendationsThesignificantuncertaintysurroundingautomateddriving,particularlythenatureandtimingofitsimpacts,makestransportationplanningextremelydifficult.Automatedvehiclescouldconceivablyleadto:
• Lowercapacities(becauseoflongerinitialheadwaysandlessassertivebehavioratintersections)ortohigherlanecapacities(becauseofreducedheadways,smootherflows,shorterlagtimesatsignals,andfewercrashes)
• Increasedvehiclemilestraveled(becausetravelischeaper,tripsarelonger,othermodesarelesscompetitive,orvehicleshavenooccupantswhatsoever)ordecreasedvehiclemilestraveled(largelybecauseridesharingismoreattractiveandefficient)
• Increasedpavementdistress(asvehiclestravelmorefrequentlyoveraspecificportionofthetravellane)ordecreasedpavementdistress(asvehiclesmovemoresmoothlyandavoidpavementdeficiencies)
• Unexpectedchangesinmorelocalizedtrafficpatternsandbehaviorsasvehiclesqueueatmajororiginsanddestinations,makezero-occupancytripsinthenonpeakdirection,orshiftbottlenecks
Thisuncertaintyhasparticularlysignificantimplicationsforlong-rangeplanning,includingdemandmodels,infrastructureplans,alternativeanalyses,andfinancialprojections.Theseexercisesmayfailtoaccuratelypredictthemagnitudeoreventhedirectionofautomation’simpacts.Moreover,theirtreatmentofautomation,orthelackthereof,mayoccasionincreasedscrutinybyotheractors,includingcourtsreviewingenvironmentalimpactstatementsorprivateinvestorsevaluatinginfrastructurebondofferings.Governmentscannotresolvethisuncertaintybuttheycanbegintoadjusttheirplanningprocessesbyidentifyingandincorporatingawiderangeofnewautomationscenarios.Forexample:
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1. Ametropolitanplanningorganizationmightconsiderthevehiclemilestraveledimpact
ofshiftinghalfoftripsonflightstolessthan500milestosingle-occupancymotorvehicles;
2. Atransitagencymightconsiderthefinancialimpactofshiftinghalfofsuburbanbustripstosharedmotorvehicles;and
3. Amunicipalitymightconsiderthecongestionimpactofshiftingtheoriginsordestinationsofhalfofthetripsfromparkingfacilitiestobuildingentrances.
Ifappropriatelyqualifiedandcontextualized,thesestylizedexamples,amongmanyothers,canfocusdiscussionsofassumptionsaswellasimpacts.Ratherthanrelyingonhighandlowestimates,governmentsmightinsteadspeakintermsofprobabilitiesandmagnitudes.Likelyscenarioswithsignificantimpacts,forexample,mightjustifymorepolicyandplanningattentionthanunlikelyscenarioswithminorimpactsorevenlikelyscenarioswithminorimpacts.
C.LegalStrategyRecommendationsGovernmentsshouldbegintoanalyzeand,asnecessary,clarifyexistinglawasitappliestoautomateddriving.Akeyinitialstepistothoroughlyauditexistinglaw.Thisauditshouldcomplementthelegalanalysesthatestablisheddevelopersofautomatedsystemsshouldalsobeexpectedtoconduct.Incontrasttothesuperficial“autonomousdrivinglaws”passedbysomestates,anauditwouldattempttoidentifyeverystatuteandregulationthatcouldpertaintoautomateddriving,includinganythatmightrestrictnewkindsofvehicles,services,andproducts.Thisauditshouldgiveparticularscrutinytolawsthatdeviatefromactualreasonablepractice,considerhowenforcementdiscretionisandshouldbeusedtoprovidemorepracticalflexibilitythanstatutorylanguagemightsuggest,andevaluateexistinglegaltoolsforregulatingautomateddriving.Ifthelegalauditdoesidentifyaneedtochangeorclarifyexistinglaw,governmentsshouldcarefullypursuethatchangethroughlegislativeact,administrativeregulation,executiveorder,legalinterpretation,orpolicystatement.Policymakersshouldgenerallyseekuniformity,particularlyintheunderlyinglegalframeworksthatgovernvehicles,drivers,driving,insurance,dealerships,andcommercialvehicleoperations.Theuseofstandardizedlevelsofautomation(particularlythosedevelopedbySAEInternational)andtherecognitionofdeterminationsmadebyregulatorsinotherstatescouldprovidesomeofthatuniformity.Specificchangesmightincludedeclaringingoodfaiththatautomateddrivingisconsistentwithrelevantconventionsonroadtraffic,exemptingtheusersofautomatedvehiclesfromprohibitionsontheuseofelectronicdevices,andestablishingaclearlegaldistinctionbetweendriverandpassenger.Inordertoamplifythepotentialadvantagesofautomatedoperation,governmentsshouldalsoenforceexistinglawsrelatedtospeeding,texting,drivingwhileintoxicated,wearingaseatbelt,andmaintainingavehicle.Similarly,governmentsshouldmakevehicleownersandoperators
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bearthetruecostofdrivingbyraisingfueltaxes,reducingparkingsubsidies,raisinginsuranceminimums,andallowingorencouraginginsurerstoimplementpay-as-you-driveandpay-how-you-drivemechanismsforpricingtheirconsumerproducts.Morebroadly,governmentsshouldembraceflexibilitybygivingagenciesthestatutoryauthoritytoachieveregulatorygoalsthroughdifferentmeans,allowingthemtomakesmall-scaleexemptionstostatutoryregimesandclarifyingtheirenforcementdiscretion.(DemonstrationprojectsforautomateddrivingwithintheEUprovideausefulmodelforthesemechanisms.)Manyagenciesalreadyhaveconsiderableauthoritytoencourageorevenregulateautomateddrivingbuttheyneedflexibilityandresourcestoappropriatelyusethatauthority.
D.CommunityStrategyRecommendationsThesuccessofautomateddrivingsystems,particularlytrulydriverlessvehiclesthatareinitiallyrestrictedgeographically,dependsinpartonhowcommunitiesreacttothem.Governmentscanbeginthisconversationbythinkinglocallyandpreparingpublicly.Acommunitythatwantstoattractorimplementatrulydriverlesssystemshoulddemonstratethatitisastrongcandidateforsuchasystembydevelopingalocalplanforautomateddriving.Thisplanshouldidentifyspecificneedsandopportunities,especiallysitessuchasairports,centralbusinessdistricts,retirementcommunities,largeshoppingcenters,andareasdependentonlast-miletransitroutes.Suchaplancouldinformsubsequentproposalstoorevenstimulateinterestfromdevelopersofautomatedsystemsaswellasavarietyofstateandfederalagenciesthatmayhavefundsavailablefortransportation,communitydevelopment,energyefficiency,anddefense.Communitiesshouldalsoidentifybothpublicandprivatenetworksofsupportforautomation.Thepublicnetworkshouldreachfromastate’sgovernordowntolocalchiefsofpolice.Theprivatenetworkshouldinvolvekeyinterestgroups,companies,andevenindividualswhocouldadvocatefor,andpossiblycollaboratewith,developersofdriverlesssystems.Governmentsshouldalsobegintounderstandthebroaderimplicationsofautomation,includingbutnotlimitedtoautomateddriving.Investingnowinstructurestomanagetechnology-inducedunemploymentorunderemployment,shiftsinlanduseincitiesandwithinregions,anddisruptionsinestablishedindustrieswillhelpthepublicandprivatesectorsprepareforpotentiallyhugeeconomicandsocialchanges.Althoughautomatedvehiclesarelikelytobeonlyonesmallpartofthesechanges,thesevehiclesmayalsobeoneofthemoreprominentsymbolsofthenexttechnologicalrevolution.Finally,governmentsshouldsharethestepstheyaretakingtopromote(aswellastoanticipateandregulate)automateddriving.Knowledgeablepointofcontact,accuratewebsites,andongoingcontributionstothebroaderpublicdiscussionwillbeimportantindevelopingsoundpublicpolicy,attractinginitialdeployments,buildinginstitutionalcredibility,andappropriatelymanagingpublicexpectations.
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VI.ConclusionsQuestionsforfurtherresearchare:
• Forplatooningtobeallowed,doadjustmentsinlawsneedtobemadeforplatooningtrucks(i.e.closerfollowingdistances)?
• ArethereanyexistingstateofIowalawsthatcomplicatetheuseofautomatedvehicletechnology?
• Isstatelevellegislationneededtoregulateautomatedvehicletechnology?Ifso,what
typesoflegislationwouldbemostbeneficial?AndhowcanthelegislationbewrittenbroadlyenoughsoasnottohavetoberewritteneachtimenewormoreadvancedAVTisintroduced?
• InJuly2014,JohnsonCounty,Iowabecamethefirstmunicipalitytoofficiallyencourage
automatedvehicletestingasaneconomicdevelopmentinitiative.Incontrasttostatesthathavepassedspecificlegislationonautomatedvehicles,Iowaadvertiseditslackofrestrictivelegislation.Aretherebenefits(economicandbeyond)tocontinuingwiththislessburdensomeregulatoryenvironment?
• Whatkindsofvehiclesshouldbeallowed(ordisallowed)onIowaroadsandwhoshouldbeallowedtooperatethem?
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Appendices
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Appendix1.ListofAcronyms ACC AdaptiveCruiseControl AVT AutomatedVehicleTechnologyDMV DepartmentofMotorVehiclesDOT DepartmentofTransportation DSRC DedicatedShortRangeCommunication GPS GlobalPositioningSystem IR InfraredLRR LongRangeRadarNHTSA NationalHighwayTrafficSafetyAdministration SAE SocietyofAutomatedEngineers SARTRE SafeRoadTrainsfortheEnvironmentSLAM SimultaneousLocationandMappingSRR ShortRangeRadarV2I VehicletoInfrastructureV2V VehicletoVehicle
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Appendix2.SocietyofAutomotiveEngineers(SAE)LevelsofAutomationDescriptionshttp://www.sae.org/misc/pdfs/automated_driving.pdf
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