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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2018. Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan. Washington, DC: The National Academies Press. doi: 10.17226/25291.
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NCHRP Web-Only Document 253: Implications of Connected and Automated Driving Systems Vol. 5: Developing the Autonomous Vehicle Action Plan Tammy E. Trimble Stephanie Baker Jason Wagner Virginia Tech Transportation Institute Blacksburg, VA Betty Serian Brad Mallory Betty Serian and Associates Camp Hill, PA Richard Bishop Pete Gould Bishop Consulting Highland, MD Wendy Wagner Lisa Loftus-Otway University of Texas at Austin Austin, TX Sam Morrissey Glenn Havinoviski Iteris Fairfax, VA Contractor’s Final Report for NCHRP Project 20-102(07) Submitted July 2018 ACKNOWLEDGMENT This work was sponsored by the American Association of State Highway and Transportation Officials (AASHTO), in cooperation with the Federal Highway Administration, and was conducted in the National Cooperative Highway Research Program (NCHRP), which is administered by the Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. DISCLAIMER The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research. They are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The information contained in this document was taken directly from the submission of the author(s). This material has not been edited by TRB.

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.

C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP WEB-ONLY DOCUMENT 253 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Manager, Transit Cooperative Research Program Keyara Dorn, Program Coordinator Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Jennifer Correro, Senior Editorial Assistant NCHRP PROJECT 20-102(07) PANEL AREA TWENTY: SPECIAL PROJECTS Robert G. Mikell, IDEMIA, Snellville, GA (Chair) Joseph Chapman, California DMV, Sacramento, CA Samer Dessouky, University of Texas–San Antonio, San Antonio, TX Yoassry M. Elzohairy, Ontario Ministry of Transportation, Downsview, ON Patty A. Morneault, Maine Bureau of Motor Vehicles, Augusta, ME David M. Neitz, CDM Smith, Boston, MA James S. Thiel, Thiel, Vu & Associates, LLC, Madison, WI Kirk Zeringue, Louisiana DOTD, Baton Rouge, LA Carl K. Andersen, FHWA Liaison Cathie Curtis, American Association of Motor Vehicle Administrators Liaison Bernardo Kleiner, TRB Liaison

iv T A B L E O F C O N T E N T S PROJECT OVERVIEW .......................................................................................................... 1 1.1 Background and Objectives ....................................................................................................................... 1 1.2 Project Activities ....................................................................................................................................... 2 1.3 Document Overview ................................................................................................................................. 3 DEFINITIONS AND ASSUMPTIONS ..................................................................................... 5 2.1 Terminology and Definitions ..................................................................................................................... 5 Levels of Automation .......................................................................................................................................... 5 Definitions of C/ADS Commercial Applications .................................................................................................. 6 Definition of Harmonization ............................................................................................................................... 7 2.2 Assumptions ............................................................................................................................................. 7 Assumption 1 ...................................................................................................................................................... 7 Assumption 2 ...................................................................................................................................................... 8 Assumption 3 ...................................................................................................................................................... 8 Assumption 4 ...................................................................................................................................................... 8 LEGAL AND REGULATORY REVIEW .................................................................................. 11 3.1 Overview ................................................................................................................................................. 11 3.2 Key Findings ............................................................................................................................................. 13 LEGAL AND REGULATORY NEEDS ASSESSMENT ............................................................... 14 4.1 Overview ................................................................................................................................................. 14 4.2 Methods .................................................................................................................................................. 14 4.3 Key Findings ............................................................................................................................................. 15 STATE LEGAL AND REGULATORY AUDIT .......................................................................... 16 5.1 Overview ................................................................................................................................................. 16 5.2 Methods .................................................................................................................................................. 16 General Methodological Choices ...................................................................................................................... 17 Legislative and Regulatory Inventory Audit Method ........................................................................................ 19 5.3 Limitations ............................................................................................................................................... 22 5.4 Key Findings ............................................................................................................................................. 23

v PRIORITIZATION AND HARMONIZATION ANALYSIS ......................................................... 29 6.1 Overview ................................................................................................................................................. 29 Understanding Opportunities for Legal and Regulatory Modifications ............................................................ 29 6.2 Overarching Considerations Regarding Harmonization ............................................................................. 30 Potential Benefits Associated with Harmonization .......................................................................................... 30 Potential Drawbacks of Harmonization ............................................................................................................ 31 Upward Versus Downward Harmonization ...................................................................................................... 32 Implications of Not Harmonizing ...................................................................................................................... 33 Alternatives to Harmonization .......................................................................................................................... 33 6.3 Prioritization and Harmonization Recommendations ................................................................................ 35 Consumer C/ADS Application Harmonization Considerations .......................................................................... 36 C/ADS-Equipped Passenger Vehicle Harmonization Needs .............................................................................. 36 Platooning C/ADS-Equipped CMV Harmonization Needs ................................................................................. 36 A-MaaS Harmonization Needs .......................................................................................................................... 36 Short-Term (2018–2020) Priorities ................................................................................................................... 37 Mid-Term (2021–2025) Priorities ..................................................................................................................... 49 Long-Term (2026 and beyond) Priorities .......................................................................................................... 59 6.4 Complex Interplay of Deployment Transition and Interoperability ............................................................ 61 6.5 Prioritization and Harmonization Conclusions .......................................................................................... 62 C/ADS-EQUIPPED VEHICLE ACTION PLAN ........................................................................ 64 7.1 Overview ................................................................................................................................................. 64 7.2 Final Guidance Document ........................................................................................................................ 64 CONCLUSIONS AND NEXT STEPS...................................................................................... 66 8.1 Conclusions .............................................................................................................................................. 66 8.2 Dissemination of Research Results ........................................................................................................... 66 8.3 Implementation Support .......................................................................................................................... 67 Legal Audit Workshop ....................................................................................................................................... 67 8.4 Further Research/Other Follow-On Activities ........................................................................................... 68 REFERENCES ....................................................................................................................................... 69

vi ABBREVIATIONS AND ACRONYMS ..................................................................................................... 71 APPENDIX A. LEGAL AND REGULATORY LANDSCAPE SUMMARY ........................................................ 73 APPENDIX B. AVAP HANDOUTS AND CHECKLISTS ............................................................................... 74

vii L I S T O F F I G U R E S Figure 1. Process used to develop the C/ADS guidance documents. ..................................................... 4 Figure 2. SAE J3016 levels of automation. ............................................................................................ 5 Figure 3. Anticipated timeline for C/ADS deployment. ......................................................................... 9 Figure 4. Map of state automated vehicle-related activities as of June 2018. ..................................... 12 Figure 5. Visual depiction of the centric approach to prioritization efforts. ........................................ 30 L I S T O F T A B L E S Table 1. Broader View of Task 3 Adopted in this Study ....................................................................... 17 Table 2. States Included in the Legal and Regulatory Audit ................................................................. 20 Table 3. Critical Checklist for Modification (Wagner et al., 2018) ........................................................ 25 Table 4. Triggers Used to Identify Problematic State Provisions – Core Questions .............................. 27 Table 5. Triggers Used to Identify Problematic State Provisions – Supplemental Triggers ................... 28 Table 6. Short-term Prioritization and Harmonization Modification Recommendations ..................... 47 Table 7. Mid-term (2021–2025) Prioritization and Harmonization Modification Summary .................. 57 Table 8. Long-term (2026 and Beyond) Prioritization and Harmonization Modification Summary....... 61

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TRB's National Cooperative Highway Research Program (NCHRP) Web-Only Document 253: Implications of Connected and Automated Driving Systems, Vol. 5: Developing the Autonomous Vehicle Action Plan provides technical background on developing Volumes 1 through 4 of NCHRP Web-Only Document 253. It includes further background on terminology and definitions used in the suite of reports; legal and regulatory reviews and needs assessment; state legal and regulatory audit; a prioritization and harmonization analysis; and a Connected and Automated Driving Systems (C/ADSs) analysis.

Appendix A accompanies Vol. 5. The appendix serves as a standalone, sort-able spreadsheet delineating activities at the federal level and in each state, with links to legislation or policy materials.

View all volumes of NCHRP Web-Only Document 253:

  • Vol. 1: Legal Landscape
  • Vol. 2: State Legal and Regulatory Audit
  • Vol. 3: Legal Modification Prioritization and Harmonization Analysis
  • Vol. 4: Autonomous Vehicle Action Plan
  • Vol. 5: Developing the Autonomous Vehicle Action Plan
  • Vol. 6: Implementation Plan
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