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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2017. Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations. Washington, DC: The National Academies Press. doi: 10.17226/24922.
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Impact ACKNOWLED This work was with the Feder which is admin Medicine. COPYRIGHT I Authors herein persons who o Cooperative R purposes. Per FMCSA, FRA, product, metho uses will give a request permis DISCLAIMER The opinions a are not necess or the program The informatio edited by TRB s of La GMENT sponsored by t al Highway Adm istered by the T NFORMATION are responsibl wn the copyrigh esearch Progra mission is give FTA, Office of d, or practice. ppropriate ack sion from CRP nd conclusions arily those of th sponsors. n contained in t . W ws and Introdu he American As inistration, and ransportation R e for the authen t to any previo ms (CRP) gran n with the unde the Assistant Se It is expected th nowledgment o . expressed or im e Transportatio his document w NC eb-Only Regula ction in Doug Ki Ph J. Sam Lott Texas So Ho Tom AICP—Cam Cam C sociation of St was conducted esearch Board ticity of their m usly published o ts permission to rstanding that n cretary for Res at those reprod f the source of a plied in this re n Research Bo as taken direct HR Docume tions o Transit las Gettman mley-Horn oenix, AZ and Gwen G uthern Unive uston, TX Harrington bridge Syste bridge, MA ontractor’s Fina ate Highway an in the Nationa (TRB) of the N aterials and for r copyrighted m reproduce ma one of the mate earch and Tec ucing the mate ny reprinted or port are those o ard; the Nation ly from the subm P nt 239: n CV a Opera oodwin rsity matics l Technical Me d Transportatio l Cooperative H ational Academ obtaining writte aterial used he terial in this pub rial will be used hnology, PHMS rial in this docu reproduced ma f the researche al Academies o ission of the a nd AV T tions morandum for N n Officials (AAS ighway Resea ies of Science n permissions f rein. lication for clas to imply TRB, A, or TDC endo ment for educat terial. For oth rs who perform f Sciences, Eng uthor(s). This m echno CHRP Project Submitted A HTO), in coop rch Program (N s, Engineering, rom publishers sroom and not AASHTO, FAA rsement of a p ional and not-fo er uses of the m ed the researc ineering, and M aterial has not logy 20-102(02) ugust 2017 eration CHRP), and or -for-profit , FHWA, articular r-profit aterial, h. They edicine; been

The 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. The 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. C. D. Mote, Jr., is president. The 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. The 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. The 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.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 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. The 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.

Table of Contents Introduction ................................................................................................................................. 1 Overview of the NCHRP 20-102(02) Study ............................................................................... 2 Technology .................................................................................................................................. 4 State of AV Technology Development ....................................................................................... 5 Definitions of Business Models and Service Types ................................................................... 8 Historical Context of Automated Transit Systems .................................................................... 10 Lessons Learned from 50 Years of Automated Transit Systems ............................................. 16 Implications of Technology Readiness for Transit ................................................................... 18 AV Enabling Technologies and Transit Applications ............................................................... 19 Potential Evolution of New Transit Paradigms ......................................................................... 23 Near- and Medium-Term Operations ....................................................................................... 23 Long-Term Operations ............................................................................................................. 24 Potential Near- and Medium-Term Changes to Fixed Facilities ................................................ 25 Findings on AV Technology Deployment in Transit Service .................................................... 26 Safety ........................................................................................................................................ 29 USDOT Automated Vehicle Safety Initiatives .......................................................................... 30 NHTSA Federal Policy Guidelines for Automated Vehicles ................................................ 30 Federal Motor Vehicle Safety Standards and Regulations ...................................................... 32 FTA National Public Transportation Safety Program ............................................................... 32 Vehicle-Focused Safety Standards and Methodologies .......................................................... 33 Machine Automation Functional Safety Standards .................................................................. 34 ISO 26262 Road Vehicles – Functional Safety ........................................................................ 34 Standards Program of the Society of Automotive Engineers ................................................... 35 Product Orientation of Vehicle-Focused Safety Methodology ................................................. 35 Transit System-Focused Safety Standards and Methodologies .............................................. 36 MIL Standard 882 .................................................................................................................... 36 FTA Rules, Methods, and Guidelines Drawn from MIL Stdandard 882 ................................... 37 Automated Guideway Transit System Safety Standards ......................................................... 38 Process Orientation of System-Focused Safety Methodology ................................................. 42 Considerations of AV Transit Safety Assurance ...................................................................... 42 Nature of Hazards and Risks in the AV Transit Operating Environment.................................. 43

Comprehensive Approach to AV Transit Safety Assurance .................................................... 46 Safety Assurance Process Roles and Responsibilities ............................................................ 47 Findings on AV Transit System Safety .................................................................................... 48 Workforce .................................................................................................................................. 51 Transit Industry Readiness for AV Technology ........................................................................ 52 Employee Roles in Compliance with Federal Regulations ...................................................... 52 Employee Transition and Training ........................................................................................... 53 Unions and Collective Bargaining ............................................................................................ 53 Traditional Bargaining Items ............................................................................................... 53 Employee Training and Retraining ........................................................................................... 54 Resizing the Workforce ............................................................................................................ 55 Section 13c of the Federal Transit Act ..................................................................................... 55 Findings on Workforce Deployment ......................................................................................... 56 Operating Policies …………………………………………………………………………………….58 Planning Policy Considerations ............................................................................................... 59 Long-Range Transit Planning .................................................................................................. 59 Regional Planning and Coordination ....................................................................................... 61 Operating Policy Considerations .............................................................................................. 63 Level of Automation Limits and Boundaries of Deployment .................................................... 63 Policy Implications of Multi-Sourced System Components ...................................................... 64 Operating-Fleet Management Plan .......................................................................................... 64 Safety Policy Considerations ................................................................................................... 65 Local Agency Safety Programs Start with Policy ..................................................................... 65 Contracted AV Taxis and TNC Services Considerations ......................................................... 66 Findings on Operating Agency Policy ...................................................................................... 67 Laws and Regulations .............................................................................................................. 71 Laws Protecting Employees ..................................................................................................... 72 Section 13c Requirements of the Federal Transit Act ........................................................ 72 Occupational Safety and Health Administration (OSHA) Regulations ..................................... 73 Laws Protecting Passengers ................................................................................................... 73 Title VI of the Civil Rights Act – FTA Regulations ............................................................... 73 Americans with Disabilities Act – FTA Regulations ................................................................. 75 FTA Transit System Regulations ............................................................................................. 76 Buy America Requirements .................................................................................................. 76 FTA New Bus Testing Process ............................................................................................. 77

Transit System Safety Program – Safety Management Systems ............................................ 77 NHTSA Vehicle Safety Regulations ......................................................................................... 79 Federal Motor Vehicle Safety Standards .............................................................................. 79 Security and Privacy Laws ....................................................................................................... 80 Security Regulations ............................................................................................................. 80 Privacy Protection Laws ........................................................................................................... 82 Governmental Policy Considerations ....................................................................................... 84 Findings on Governmental Laws and Regulations .................................................................. 84 Implementation of Research Findings and Projects ............................................................ 90 AV Technology Evolution in Transit ......................................................................................... 91 Assessment of Restrictions on Transit Platooning Strategies............................................. 91 Changes to Transit Facilities and Stations .......................................................................... 91 Transit Vehicle Sizing, Entrainment, and Other Innovations ............................................... 92 Platform Door Protection and Automated Entry at AV Berths ............................................. 92 Safety Considerations for AV Transit ....................................................................................... 92 Categories of Hazards and Risks for L3 and L4 AV Transit ............................................... 92 Hazards Analysis Methodology for L3/L4 AV Transit Implementation ................................ 93 Consensus Safety Standard(s) for AV Transit Systems ..................................................... 93 Transit Operational Design Domain Definitions .................................................................. 93 Hazards Assessment and Mitigations for L3 AV Transit ..................................................... 94 Workforce Deployment Issues ................................................................................................. 94 Definition of AV transit Employee Roles and Responsibilities ............................................ 94 Employee Involvement Guidelines ...................................................................................... 94 Union Contracting Guidelines ............................................................................................. 95 Automation of Employee Actions in Compliance with ADA ................................................ 95 Agency Operating Policies .......................................................................................................... 95 Long-Range Planning AV Transit Benefit/Cost Analysis Guidelines .................................. 95 Integration of AV Transit Scenarios in Regional Transit Master Planning .......................... 96 AV Transit Service Types and Operational Parameters ..................................................... 96 Benefit/Cost Analysis of L3 to L4 Conversion ..................................................................... 96 AV Cybersecurity Issues Affecting Transit Agencies .......................................................... 97 Management of “Big Data” in AV Transit Systems ............................................................. 97 AV Operations Control Center Concept of Operations ....................................................... 97 Investigation of Risk, Liability, and Insurance for AV Operations ....................................... 98 Laws and Regulations .............................................................................................................. 98

Scenario Analysis of AV Transit Operations Without Federal Funding ............................... 99 Possible Changes to Section 13c of Federal Transit Act .................................................... 99 Evaluation of Applicability of Transit Regulations on Private Contractors (e.g., “TNCs”) .... 99 Evaluation of OSHA Regulations for Robotic Vehicles in the Workplace ......................... 100 Evaluation of Minority Populations and Environmental Justice in AV Transit ................... 100 Evaluation of Title VI Adjustments and Incentives ............................................................ 100 Evaluation of Boarding Requirements and Exceptions to ADA Compliance .................... 101 Evaluation of Buy America Requirements ........................................................................ 101 Evaluation of Implication of FMVSS for Low-Speed AVs .................................................. 101 Safety Management System Development Guidance ...................................................... 102  Summary of Activities ............................................................................................................ 103  References and Notes ............................................................................................................ 105 Abbreviations, Acronyms, Initialisms, and Symbols........................................................... 108 

List of Figures and Tables Figure 1. Automated Roadway Vehicles Will Be on the Market by 2020s ................................... 6 Figure 2. Parallel AV/CV Development Paths Potentially Coming Together for AV Transit Operations .................................................................................................................................... 8 Figure 3. 50-Year History of Fully Automated Guideway Transit Systems ................................ 12 Figure 4. Robotic Vehicle ATN Systems Currently Operating in the Netherlands and in Masdar City, Abu Dhabi UAE ................................................................................................................ 14 Figure 5. VAA Demonstration Project Source: Caltrans ............................................................ 15 Figure 6. Toyota IMTS Automated Buses .................................................................................. 16 Figure 7. Toyota IMTS Automated Buses Source: Wikimedia ................................................... 24 Figure 8. NHTSA Framework for Guidance of and Safe HAV Design Performance .................. 31 Figure 9. Two International Standards for Fully Automated Guideway Transit Systems ........... 39 Figure 10. Safety Integrity Levels Defined in IEC 61508 with Comparison to the Mean Time Between Hazardous Events for Automated Train Control Systems in ASCE 21 ..................... 40  Table 1. Human/Machine Interface Functionality ....................................................................... 20 Table 2. Applicability of Federal Automated Vehicle Policy Guidance Areas to SAE Level 2-5 Automated Vehicle Systems .................................................................................................... 44 Table 3. Identified Activities and List of Actions ....................................................................... 103

Preface This memorandum uses the following terminology and focus of its content in a manner consistent with all the associated working papers of the NCHRP 20-102(02) project. Definition of Automated Vehicle (AV) Transit – The “system” comprising AV Transit includes: 1. Driving automation system(s) and technology per SAE J30161; a. Other vehicle systems and components which provide driver assistance such as lane departure warning when a human driver is performing the dynamic driving task (DDT) from inside the vehicle or from a remote location; and 2. Other monitoring, supervisory control and passenger safety systems, technologies, and facilities necessary for public transit service, such as precision docking, automated door operation, and dispatch functions. Definition of Transit Vehicle Operator – The typical term used to identify the person operating a transit vehicle is the “vehicle operator”. However, under SAE J3016 definitions and terminology, a human “driver” is the person who manually exercises in-vehicle braking, accelerating, steering, and transmission gear selection input devices to operate a vehicle. Considering the SAE standard’s intent to define terms for driving automation systems only, the term vehicle driver is specified. In the working papers, the terms vehicle driver and vehicle operator may be used interchangeably, depending on the context, and point of emphasis. Likewise, the terms “remote driver” (per SAE J3016) and “remote operator” will likewise be used interchangeably. Definition of Transit Operating Agency — Transit operating agencies can be any type of public, governmental, or non-profit entity, such as transit authorities created with certain governmental responsibilities; municipal, county, and state government public transportation departments; medical/educational institutions; and local management authorities/districts. A transit operating agency can also be “for profit”. Most operators who provide purchased transportation under contract are for-profit companies. 1 SAE J3016 is the Society of Automotive Engineers Standard titled – Taxonomy and Definitions for Terms Related to Driving Automation Systems for On-Road Motor Vehicles; the standard was revised September 30, 2016.

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TRB's National Cooperative Highway Research Program (NCHRP) Web-Only Document 239: Impacts of Laws and Regulations on CV and AV Technology Introduction in Transit Operations explores the potential barriers imposed by operating policies, agency regulations, and governmental laws relative to the transit environment. Without adjustment, the combination of new technology with old rules could result in delays and restrictions to deployment, which may reduce the cumulative societal benefits of automated systems technology. This project presents a roadmap of activities to be performed by industry groups, legislatures, the federal government and others to facilitate automated roadway transit operations.

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