Autonomous Vehicles and the Law: How Each Field is Shaping the Other (Synthesis Lectures on Advances in Automotive Technology) [1 ed.] 3031003772, 9783031003776

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Autonomous Vehicles and the Law How Each Field is Shaping the Other

Synthesis Lectures on Advances in Automotive Technology Editor Amir Khajepour, University of Waterloo The automotive industry has entered a transformational period that will see an unprecedented evolution in the technological capabilities of vehicles. Significant advances in new manufacturing techniques, low-cost sensors, high processing power, and ubiquitous real-time access to information mean that vehicles are rapidly changing and growing in complexity. These new technologies—including the inevitable evolution toward autonomous vehicles—will ultimately deliver substantial benefits to drivers, passengers, and the environment. Synthesis Lectures on Advances in Automotive Technology Series is intended to introduce such new transformational technologies in the automotive industry to its readers.

Autonomous Vehicles and the Law: How Each Field is Shaping the Other Ayse Buke Hiziroglu 2020

Cyber-Physical Vehicle Systems: Methodology and Applications Chen Lv, Yang Xing, Junzhi Zhang, and Dongpu Cao 2020

Reinforcement Learning-Enabled Intelligent Energy Management for Hybrid Electric Vehicles Teng Liu 2019

Deep Learning for Autonomous Vehicle Control: Algorithms, State-of-the-Art, and Future Prospects Sampo Kuuti, Saber Fallah, Richard Bowden, and Phil Barber 2019

Narrow Tilting Vehicles: Mechanism, Dynamics, and Control Chen Tang and Amir Khajepour 2019

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Dynamic Stability and Control of Tripped and Untripped Vehicle Rollover Zhilin Jin, Bin Li, and Jungxuan Li 2019

Real-Time Road Profile Identification and Monitoring: Theory and Application Yechen Qin, Hong Wang, Yanjun Huang, and Xiaolin Tang 2018

Noise and Torsional Vibration Analysis of Hybrid Vehicles Xiaolin Tang, Yanjun Huang, Hong Wang, and Yechen Qin 2018

Smart Charging and Anti-Idling Systems Yanjun Huang, Soheil Mohagheghi Fard, Milad Khazraee, Hong Wang, and Amir Khajepour 2018

Design and Avanced Robust Chassis Dynamics Control for X-by-Wire Unmanned Ground Vehicle Jun Ni, Jibin Hu, and Changle Xiang 2018

Electrification of Heavy-Duty Construction Vehicles Hong Wang, Yanjun Huang, Amir Khajepour, and Chuan Hu 2017

Vehicle Suspension System Technology and Design Avesta Goodarzi and Amir Khajepour 2017

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Autonomous Vehicles and the Law How Each Field is Shaping the Other

Ayse Buke Hiziroglu

SYNTHESIS LECTURES ON ADVANCES IN AUTOMOTIVE TECHNOLOGY #11

ABSTRACT Disciplines can no longer be isolated. Technology has rapidly evolved to the point that driverless vehicles have truly become a reality and are not something out of a futuristic exhibition from the 1950s. However, engineers and researchers working on the development of autonomous vehicles cannot ignore the policy implications and policymakers as well as attorneys cannot ignore the technology. We are at a point where cross-disciplinary collaboration is vital in order to produce a technology that will immensely benefit society. This is the goal of this book: to educate autonomous vehicle developers on legal theory at the most basic level. Both policymakers and lawyers may also find the book helpful in gaining a basic understanding of the technology the developers are working on.

KEYWORDS autonomous vehicle technology, automotive legislation, law, NHTSA, DOT, V2X, dedicated short-range communications, telematics, ethical responsibilities, cybersecurity

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To my parents for always believing in me and encouraging me to strive

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Contents Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

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The Car: A Brief History . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 1.1

2

Automotive Legislation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2.1 2.2

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The Current State of Autonomous Vehicle Technology . . . . . . . . . . . . . . . . . . . 5 1.1.1 V2X Technologies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 1.1.2 Levels of Automation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 1.1.3 Benefits of Automation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Autonomous Vehicle Policy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 Application of Standards and Regulations to Autonomous Vehicle Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Telematics and Communication Fundamentals . . . . . . . . . . . . . . . . . . . . . . . . . 35 3.1 3.2

Dedicated Short-Range Communications . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Wi-Fi Communication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35

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Cybersecurity and Data Protection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

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Liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 5.1

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Ethical Responsibilities and Autonomous Vehicles . . . . . . . . . . . . . . . . . . . . . 42

The Future Direction of Autonomous Vehicle Technology . . . . . . . . . . . . . . . . 47 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49 Author’s Biography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51

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Preface Disciplines can no longer be isolated. Technology has rapidly evolved to the point that driverless vehicles have truly become a reality and are not something out of a futuristic exhibition from the 1950s. However, engineers and researchers working on the development of autonomous vehicles cannot ignore the policy implications and policymakers as well as attorneys cannot ignore the technology. We are at a point where cross-disciplinary collaboration is vital in order to produce a technology that will immensely benefit society. This is the goal of the book: to educate autonomous vehicle developers on legal theory at the most basic level. Both policymakers and lawyers may also find the book helpful in gaining a basic understanding of the technology the developers are working on. This text is designed to provide the reader with a basic understanding of the law and how it impacts autonomous vehicle technology development. Naturally, this is a rapidly evolving area, but some of the legislation has not changed in years so it is important for the developer to have a basic understanding. In this book we will begin our discussion with a brief introduction to automotive technology and learn about the current state of autonomous vehicle systems. From there we will focus our discussion on automotive legislation and the direction it is going in order to adapt to autonomous vehicle systems. We will also study the fundamentals of telematics and communication systems. Additionally, we will discuss the government’s policy for cybersecurity and data protection. Furthermore, we will take time to address where liability stands when driverless cars are released on public roads; in this portion of the book readers will also be able to formulate arguments for legal claims. Lastly, we will end our discussion of autonomous vehicles and the law by reflecting on the future direction autonomous vehicle technologies are heading toward. Ayse Buke Hiziroglu May 2020

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CHAPTER

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The Car: A Brief History When we think of the car, we immediately think of the Big 3 auto industry out of Michigan— the first makers of the car. When you ask any elementary school-age child what was the first car ever made, they will respond with the Ford Model T, first manufactured in 1908. However, automotive technology had started prior to the Model T in 1886 with the Benz Patent-Motorwagen, made by German inventor Karl Benz. The Model T became the first available automobile to the masses (Fig. 1.1). With the rise of automobiles, Michigan became the hub for manufacturing the American car. In addition to Ford in Dearborn, several other manufacturers were formed within the state. These companies included Oldsmobile in Lansing, Cadillac and Chevrolet in Detroit, and Buick in Flint. Eventually, these manufacturers were gathered under the umbrella of General Motors, which was formed as a holding company by William C. Durant and Charles Stewart Mott in 1908 in Flint. Automotive technology has come a long way from its humble beginnings. We have created eco-friendly models, faster cars, and are now shifting toward driverless technologies. However, the concept of developing and deploying autonomous vehicles is not new. The idea is actually almost four centuries old; it even surpasses the invention of the car as we know it. Sometime in the 1500s Leonardo da Vinci designed a cart that could move without being pushed or pulled (Fig. 1.3). There were high tension springs on the cart that provided its power and steering could be set in advance so the cart could move along a predetermined path. Seriously, this was the first prototype for driverless technology, and it has been considered the world’s first robot. Naturally, like most of da Vinci’s inventions the prototype of the self-propelled cart has not survived, but a team of Italian scientists reproduced it many years ago and placed it on display at the Museum of Science History in Florence for a limited period. The first truly autonomous vehicles were revealed in the 1980s with Navlab, a Carnegie Mellon University project. Then in 1987 Mercedes–Benz and Bundeswehr University Munich started the Eureka Prometheus Project. However, the vision for such technologies in the modern era started in the 1920s with some promise showing in the 1950s. The earliest depiction of automated cars was seen in Norman Bel Geddes’s Futurama exhibit at the 1939 World’s Fair (Fig. 1.4). The exhibit, sponsored by General Motors, showed radio-controlled electric vehicles being propelled by electromagnetic fields being generated by the circuits embedded in the road. Following Futurama, in his book, Magic Motorways, Geddes promoted advances in highway design and transportation, even to the extent that he foreshadowed Eisenhower’s Interstate

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Figure 1.1: The Pioneers. (a) Karl Benz, (b) the Benz Patent-Motorwagen, (c) Henry Ford, and (d) a sketch of the first Model T. Sources: Public Domain; Library of Congress, Public Domain.

1. THE CAR: A BRIEF HISTORY

Figure 1.2: Ren Cen. The headquarters of General Motors is now located in downtown Detroit in Renaissance center, which is one of the most iconic buildings in the city and visible from Canada.

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Figure 1.3: The First AV. Leonardo da Vinci designed the first driverless with his self-propelled cart in c. 1500; here is a replica. Source: AM, Public Domain.

1.1. THE CURRENT STATE OF AUTONOMOUS VEHICLE TECHNOLOGY

Figure 1.4: Futurama. Futurama at the 1939 World’s Fair. (a) A bird’s-eye view of the Futurama diorama. (b) A close-up view of a street intersection in diorama. Sources: Norman Bel Geddes, Public Domain; Richard Garrison, Public Domain. Highway System and argued for the removal of humans from driving; he predicted such a system to be implemented in 1960. Throughout the 1950s and 1960s, General Motors rolled out its Firebird cars as a series of experimental vehicles that were described in a World’s Fair Program advertisement as an “electronic guide system [that] can rush it over an automatic highway while the driver relaxes.” These concept cars were unique with their plexiglass domes and the sophisticated guidance system where an electrical wire would be embedded in the road sending signals that would help guide cars in the future. Four of the three versions of these series survive, and they are on display at the Henry Ford Museum in Dearborn, Michigan (Fig. 1.5). The final car, the Firebird IV, debuted in the 1964 World’s Fair, but five years later General Motors repackaged the car as the Buick Century Cruiser and reportedly the car was crushed in the 1980s. It should also be noted that these cars have no relation to the Pontiac Firebird.

1.1

THE CURRENT STATE OF AUTONOMOUS VEHICLE TECHNOLOGY

Autonomous vehicle technology has certainly come a long way since da Vinci’s self-propelled cart and General Motor’s Firebird series. As of March 2013, Google alone has logged more than 500,000 miles of autonomous driving on public roads without an accident. Numerous techno-

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Figure 1.5: The Firebird. (a) 1953 Firebird I, (b) 1956 Firebird II, and (c) 1958 Firebird III. Sources: Karrmann, WikiCommons: Creative Commons Attribution License; Joe deSousa, Flickr Public Domain.

logical advancements have been made possible with the development of advanced sensors designed to gather information about the world and the growth in computer programming that permits for the creation of sophisticated algorithms to process the sensor data and control the vehicle. Most crucially, the computational power to run such a data analysis scheme efficiently in real time has increased rapidly. In 2015, “autopilot” was made accessible by Tesla. The autopilot feature is perhaps one of the most pivotal elements of the Tesla Model S; this feature is no longer available, but at the time it enabled the consumer to have hands-free control on highway and freeway drives. Interestingly, the feature was uniquely revealed to Tesla owners as an overnight software update. Also, starting in 2015 more state-of-the-art testing facilities have emerged, such as the University of Michigan’s MCity, a 32-acre Mobility Transformation Center. This test facility opened for $10 million dollars and the money was “pooled” in by the university and the Michigan DOT. The center is a world-class test facility for driverless technologies; merely a few months after opening, Ford Motor Company became the first automaker to test its autonomous vehicles at MCity. More interestingly, the test happened under the harshest conditions imaginable, a snow blizzard. MCity is truly a unique place, and I am not saying

1.1. THE CURRENT STATE OF AUTONOMOUS VEHICLE TECHNOLOGY

Figure 1.6: MCity. A replica of the colorful two-story buildings lined along the streets of downtown Ann Arbor. this because I graduated from the institution. The facility is located on the outskirts of North Campus, which predominately houses the College of Engineering. The developers created an extremely realistic urban environment and expressway route. The expressway replicates the expressway surrounding the Detroit area and the urban area is an extremely accurate reproduction of a segment of downtown Ann Arbor shops and sidewalk cafes (Fig. 1.6). MCity is a test facility and attraction bundled together. Since it opened, the facility has conducted annual open houses over the summer, which is a great way for the public to be acquainted with autonomous vehicle technology and its test process before it becomes a mainstream mode of transportation.

1.1.1 V2X TECHNOLOGIES V2X is a broad term that has been increasingly used to refer to both vehicle-to-vehicle (V2V) and vehicle-to-infrastructure (V2I) initiatives. The goal of the V2X is to implement a wireless infrastructure that will connect cars to one another and also connect the cars to installed roadside transmitters to exchange data, thus saving lives. Over the past couple of decades, most of the

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0

1

2

3

4

5

No Automation

Driver Assistance

Partial Automation

Conditional Automation

High Automation

Full Automation

Zero autonomy; the driver performs all driving tasks

Vehicle is controlled by the driver; but some driving assist features may be included in the vehicle design

Vehicle has combined automated functions, like acceleration and steering, but the driver must remain engaged with the driving task and monitor the environment at all times

Driver is a necessity, but is not required to monitor the environment. The driver must be ready to take control of the vehicle at all times with notice

Vehicle is capable of performing all driving functions under certain conditions. The driver may have the option to control the vehicle

Vehicle is capable of performing all driving functions under all conditions. The driver may have the option to control the vehicle

Figure 1.7: SAE International Levels of Automation. Five levels determine the level of automation an automobile may have. Level 0 having zero autonomy and level 5 having full automation capability. Source: https://www.nhtsa.gov/technology-innovation/automated-vehicles. research funded by federal transportation agencies have focused on the development of V2V and V2I technologies. Bluetooth is a wireless technology standard used in the exchange of data over short distances by using a shor wavelength radio transmission from fixed and mobile devices. This permits the creation of highly secure personal area networks. We are quite familiar with Bluetooth in our cars. Because of a car’s Bluetooth capabilities, we are able to answer phone calls or listen to our iTunes playlist without ever picking up our phone during our drive. At present, the primary use of Bluetooth in cars is to extend the capabilities of wireless phones, but it could be directed as a way of facilitating communications of the car itself, either by enabling V2I communications or by transmitting data to the wireless phone, within the car, for retransmission. We will discuss the impact of policy implications for V2X technologies later in this text, but it is introduced here because it is important to have a basic understanding of its current importance in autonomous vehicle technology development.

1.1.2 LEVELS OF AUTOMATION Autonomous vehicle technology is easily conceptualized using the five levels of automation developed by the Society of Automotive Engineers (SAE International) (Fig. 1.7); The National Highway Transportation Safety Administration (NHTSA) has also adopted these set of definitions. Levels 0–2 always requires driver interaction; each level differs based on the varying

1.1. THE CURRENT STATE OF AUTONOMOUS VEHICLE TECHNOLOGY

Figure 1.8: Car features relating to levels. Ø Anti-Lock Brakes Level 0

Level 1

Ø Forward Collision Warning Ø Automatic Braking Ø Lane-Keeping Assist System Ø Lane-Keeping System Ø Adaptive Cruise Control Ø Park Assist

Level 2

Ø Semi-Autonomous Driving Features*

Level 3 Level 4

Ø Remote Control Parking Ø Traffic Jam Assist** Ø V2V

* Tesla Autopilot debuted in the Model S; this feature is currently unavailable. Nissan intends to add an “autopilot” feature to its Japanese minivan, Serena. ** A more advanced version of advanced cruise control.

degrees of assistance provided by the car. NHTSA identifies levels 3–5 as highly automated vehicles (HAV) since the car may function autonomously, however, at level 3 the driver must remain attentive and be ready to re-assume control of the vehicle in response to any warning or issue. Unlike level 3, both levels 4 and 5 do not require the driver to re-assume control of the vehicle. At present, we are already familiar with a variety of automated features in our present cars. Unfortunately, levels 3–5 are not commercially available, but they are currently under development or being tested by start-up companies. However, to grasp a better understanding of the levels of automation the Figure 1.8 provides examples of car features relating to each level. Level 5 is not included in the figure because it is unique. At this level vehicles do not require a steering wheel, brake, or gas pedal, thus they may be designed and manufactured without these features and remove the need for a human driver or even an occupant. Google’s self-driving car, now known as the Waymo car, would fall into this level. On November 12, 2015, Google had requested that NHTSA interpret a number of provisions in Federal Motor Vehicle Safety Standards (FMVSSs) as they apply to Google’s level 5 vehicles that were under testing and development. In 2016, NHTSA responded that it addressed each of Google’s requests for interpretation and granted several of them. In summary, the agency interpreted that the term “driver” was meaningless for the purposes of Google’s vehicle since there was no human driver,

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thus NHTSA considered that “driver” was simply inapplicable to Google’s vehicle and instead it recognized the car’s artificial intelligence system acted as the “driver.”

1.1.3 BENEFITS OF AUTOMATION Releasing autonomous vehicles into the mainstream will have several significant benefits such as safety, mobility, efficiency and convenience, and economic as well as societal benefits. The safety benefits that a driverless car will yield are paramount. Unfortunately, 94% of serious automobile accidents are due to human error. NHTSA has reported that more than 36,560 people died in automobile-related accidents in the United States in 2018. Autonomous vehicles can reduce this statistic because they have the potential to save lives and reduce injuries since the human error factor will be eliminated, thus protecting drivers, passengers, pedestrians, and bicyclists. Driverless cars can also extend a new form of freedom to Americans who are unable to drive. The most recent data as of this publication shows that there are slightly over 49 million Americans who are 65 years old or older and over 50 million people have some form of disability, thus when autonomous vehicles become the main form of transportation, they will very likely provide new mobility options to more Americans. In most places around the country it is difficult commuting without a car, a study from the Ruderman Foundation suggests that driverless cars could create new employment opportunities for approximately 2 million people with disabilities. Additionally, roads occupied by autonomous vehicles can create a smoother traffic flow and reduce traffic congestion, thus creating convenience as well as efficiency. According to NHTSA, in 2014 Americans spent approximately 6.9 billion hours in traffic delays; such delays could adversely impact a person both socially as well as economically. A study from McKinsey and Company suggests that autonomous cars could eliminate up to 50 min of time per day dedicated to driving. Lastly, there is also the possibly of autonomous vehicles to deliver added economic as well as societal benefits. A NHTSA study states that automobile-related accidents in 2010 produced slightly over $240 billion in economic activity. There was also $57.6 billion in lost workplace productivity as well as almost $600 billion pertaining to loss of life and decreased quality of life due to injury. However, as stated earlier under safety if driverless cars are adapted then the majority of accidents will cease to exist, thus reducing these costs significantly.

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Automotive Legislation Legislation is developed by Congress and enforced by an agency. The Department of Transportation (DOT) has delegated NHTSA with authority to regulate motor vehicles under the National Traffic and Motor Vehicle Safety Act of 1966 (hereinafter referred to as Act). The Act was the first piece of comprehensive federal auto safety legislation passed by Congress. The development of the automobile gave Americans unprecedented freedom to travel, but since 1929 automobiles have been the leading cause of accidental deaths and injuries in the United States. In the mid-1960s, the number of Americans dying in motor vehicle accidents exceed 50,000 people annually. Thus, in 1966 Congress decided that improving the design and safety features of automobiles may help in reducing the number. Prior to this motor vehicle safety regulation was a hands-off affair by government officials. The first efforts of the government taking an interest in regulating motor vehicle safety began at the state level with Abraham Ribicoff, the Governor of Connecticut between 1955 and 1961. Then the New York State Legislature obligated auto manufacturers to install anchorage units for driver and front passenger seat belts in all the cars sold in New York. By the mid-1960s a number of states enacted laws mandating installation of manual seat belts in all cars sold within their state borders, however, the auto industry rejected the state regulation by claiming that it is difficult and expensive to comply with a patchwork of different rules, which could easily threaten the availability of cars delivered to a state for sale. Auto manufacturers may block state regulatory efforts under the Dormant Commerce Clause (DCC). The DCC is a principle where it is deemed unconstitutional when state and local laws place an undue burden on interstate commerce. There are historical, economic, and political justifications for the Dormant Commerce Clause. Here, automakers will need to incur additional costs in order to satisfy the seat belt requirement adapted by certain number of states. Therefore, a court may rule in the favor of automakers, however, Congress may create legislation to regulate the auto industry. Earlier the term interstate commerce was used. This term arises from the Commerce Clause, which describes an enumerated power listed in Article I, Section 8, Clause 3 of the United States Constitution. The clause grants Congress the power “[t]o regulate Commerce with foreign Nations, and among the several States, and with the Indian Tribes.” There are three broad categories of activity among states, which Congress may regulate; these broad categories include: (1) the channels of interstate commerce, (2) the instrumentalities or persons or things in interstate commerce, and (3) activities that have a substantial relation to interstate commerce. Here, automobiles fall

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Figure 2.1: The Key Players. These men were great supporters of motor vehicle safety regulation in the United States. (a) Abraham Ribicoff, (b) Ralph Nader, and (c) President Lyndon B. Johnson. Sources: U.S. Government, Public Domain; Library of Congress, Public Domain; LBJ Library, Public Domain.

into the second category since the term instrumentalities refers to automobiles, trucks, ships, and airplanes. It was not until 1956 when Congress first held automobile safety hearings, which was a proposal to create brake fluid performance standards. In mid-1965 Ribicoff, who was now a United States Senator and Chair of the Senate Government Operations Committee’s Subcommittee on Executive Reorganization, assembled a new set of hearings regarding motor vehicle safety. Additionally, later in the year Ralph Nader came on to the scene as a “consumer advocate” by publishing Unsafe at Any Speed, a book which, in great detail, exposed the deadly designs that car manufacturers knowingly placed on the roads. Furthermore, President Lyndon B. Johnson made auto safety his cornerstone issue for a centralized transportation policy under the new DOT, which was established by Congress in October of 1966 and began operation on April 1, 1967. Following a deliberation between both houses of Congress and the auto manufacturers ceasing their resistance of government regulation on motor vehicle safety, the Act was passed with overwhelming support in both houses. The Act was signed into law by President Johnson on September 9, 1966 and officially created the federal auto safety regulatory scheme. Additionally, when studying legislation in my Constitutional Law class we learned about Johnson’s remarks as he signed the Act into law. His words are pivotal in that they succinctly summarize the history for enacting such a law. He stated: For years, we have spent millions of dollars to understand polio and fight other childhood diseases. Yet until now we have tolerated a raging epidemic of highway death which has killed more of our youth than all other diseases combined. Through the

2. AUTOMOTIVE LEGISLATION

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Highway Safety Act, we are going to find out more about highway disease—and we aim to cure it. In this age of space, we are getting plenty of information about how to send men into space and how to bring them home. Yet we don’t know for certain whether more auto accidents are caused by faulty brakes, or by soft shoulders, or by drunk drivers, or by deer crossing the highway . . . [Auto safety] is no luxury item, no optional extra: it must be a normal cost of doing business. For years NHTSA has enforced the Act, which has not been changed; however, the rise of autonomous vehicle technology opens the door to new design and safety features, which were most likely not applicable in 1966, therefore, it is crucial to implement certain safety standards to ensure the safety of these cars. On the federal level, in lieu of Congress passing new legislation, NTHSA has released guidelines pertaining to autonomous vehicles. Additionally, several states and the District of Columbia have passed legislation authorizing the testing of autonomous vehicles, but it is not clear whether legislation is even necessary to permit the testing and/or use of these cars. It has been argued by Bryant Walker Smith that most likely current legislation has some leniency permitting their use. However, before moving on to the legality of autonomous vehicle technology it is crucial for automobile designers to understand what Congress had intended by establishing the Act because a judge may very well interpret the statute by acknowledging what Congress had in mind when passing the legislation. Therefore, below is a copy of the Act, which has been reproduced in full, without any editing of the content. THE NATIONAL TRAFFIC AND MOTOR VEHICLE SAFETY ACT OF 1966 Pub. L. No. 89-563, 80 Stat. 718 (Sept. 9, 1966) AN ACT To provide for a coordinated national safety program and establishment of safety standards for motor vehicles in interstate commerce to reduce accidents involving motor vehicles and to reduce the deaths and injuries occurring in such accidents. Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, That Congress hereby declares that the purpose of this Act is to reduce traffic accidents and deaths and injuries to persons resulting from traffic accidents. Therefore, Congress determines that it is necessary to establish motor vehicle safety standards for motor vehicles and equipment in interstate commerce; to undertake and support necessary safety research and development; and to expand the national driver register.

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TITLE I—MOTOR VEHICLE SAFETY STANDARDS SEC. 101. This Act may be cited as the “National Traffic and Motor Vehicle Safety Act of 1966.” SEC. 102. As used in this title — (1) “Motor vehicle safety” means the performance of motor vehicles or motor vehicle equipment in such a manner that the public is protected against unreasonable risk of accidents occurring as a result of the design, construction or performance of motor vehicles and is also protected against unreasonable risk of death or injury to persons in the event accidents do occur, and includes nonoperational safety of such vehicles. (2) “Motor vehicle safety standards” means a minimum standard for motor vehicle performance, or motor vehicle equipment performance, which is practicable, which meets the need for motor vehicle safety and which provides objective criteria. (3) “Motor vehicle” means any vehicle driven or drawn by mechanical power manufactured primarily for use on the public street, roads, and highways, except any vehicle operated exclusively on a rail or rails. (4) “Motor vehicle equipment” means any system, part, or component of a motor vehicle as originally manufactured or any similar part or component manufactured or sold for replacement or improvement of such system, part, or component or as an accessory, or addition to the motor vehicle. (5) “Manufacturer” means any person engaged in the manufacturing or assembling of motor vehicles or motor vehicle equipment, including any person importing motor vehicles or motor vehicle equipment for resale. (6) “Distributor” means any person primarily engaged in the sale and distribution of motor vehicles or motor vehicle equipment for resale. (7) “Dealer” means any person who is engaged in the sale and distribution of new motor vehicles or motor vehicle equipment primarily to purchasers who in good faith purchase any such vehicle or equipment for purposes other than resale. (8) “State” includes each of the several States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal Zone, and American Samoa. (9) “Interstate commerce” means commerce between any place in a State and any place in another State, or between places in the same State through another State. (10) “Secretary” means Secretary of Commerce.

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(11) “Defect” includes any defect in performance, construction, components, or materials in motor vehicles or motor vehicle equipment. (12) “United States district courts” means the Federal district courts of the United States and the United States courts of the Commonwealth of Puerto Rico, Guam, the Virgin Islands, the Canal Zone, and American Samoa. (13) “Vehicle Equipment Safety Commission” means the Commission established pursuant to the joint resolution of the Congress relating to highway traffic safety, approved August 20, 1958 (72 Stat. 635), or as it may be hereafter reconstituted by law. SEC. 103. (a) The Secretary shall establish by order appropriate Federal motor vehicle safety standards. Each such Federal motor vehicle safety standard shall be practicable, shall meet the need for motor vehicle safety, and shall be stated in objective terms. (b) The Administrative Procedure Act shall apply to all orders establishing, amending, or revoking a Federal motor vehicle safety standard under this title. (c) Each order establishing a Federal motor vehicle safety standard shall specify the date such standard is to take effect which shall not be sooner than one hundred and eighty days or later than one year from the date such order is issued, unless the Secretary finds, for good cause shown, that an earlier or later effective date is in the public interest, and publishes his reasons for such finding. (d) Whenever a Federal motor vehicle safety standard established under this title is in effect, no State or political subdivision of a State shall have any authority either to establish, or to continue in effect, with respect to any motor vehicle or item of motor vehicle equipment any safety standard applicable to the same aspect of performance of such vehicle or item of equipment which is not identical to the Federal standard. Nothing in this section shall be construed to prevent the Federal Government or the government of any State or political subdivision thereof from establishing a safety requirement applicable to motor vehicles or motor vehicle equipment procured for its own use if such requirement imposes a higher standard of performance than that required to comply with the other- wise applicable Federal standard. (e) The Secretary may by order amend or revoke any Federal motor vehicle safety standard established under this section. Such order shall specify the date on which such amendment or revocation is to take effect which shall not be sooner than one hundred and eighty days or later than one year from the date the order is issued, unless the Secretary finds, for good cause shown, that an earlier or later effective date is in the public interest, and publishes his reasons for such finding. (f ) In prescribing standards under this section, the Secretary shall —

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(1) consider relevant available motor safety data, including the results of research, development, testing and evaluation activities conducted pursuant to this Act; (2) consult with the Vehicle Equipment Safety Commission, and such other State or interstate agencies (including legislative committees) as he deems appropriate; (3) consider whether any such proposed standard is reasonable, practicable and appropriate for the particular type of motor vehicle or item of motor vehicle equipment for which it is prescribed; and (4) consider the extent to which standards will contribute to carrying out the purposes of this Act. (g) In prescribing safety regulations covering motor vehicles subject to part II of the Interstate Commerce Act, as amended (49 U.S.C. 301 et seq.), or the Transportation of Explosives Act, as amended (18 U.S.C. 831–835), the Interstate Commerce Commission shall not adopt or continue in effect any safety regulation which differs from a motor vehicle safety standard issued by the Secretary under this title, except that nothing in this subsection shall be deemed to prohibit the Interstate Commerce Commission from prescribing for any motor vehicle operated by a carrier subject to regulation under either or both of such Acts, a safety regulation which imposes a higher standard of performance subsequent to its manufacture than that required to comply with the applicable Federal standard at the time of manufacture. (h) The Secretary shall issue initial Federal motor vehicle safety standards based upon existing safety standards on or before January 31, 1967. On or before January 31, 1968, the Secretary shall issue new and revised Federal motor vehicle safety standards under this title. SEC. 104. (a) The Secretary shall establish a National Motor Vehicle Safety Advisory Council, a majority of which shall be representatives of the general public, including representatives of State and local governments, and the remainder shall include representatives of motor vehicle manufacturers, motor vehicle equipment manufacturers, and motor vehicle dealers. (b) The Secretary shall consult with the Advisory Council on motor vehicle safety standards under this Act. (c) Members of the National Motor Vehicle Safety Advisory Council may be compensated at a rate not to exceed $100 per diem (including travel time) when engaged in the actual duties of the Advisory Council. Such members, while away from their homes or regular places of business, may be allowed travel expenses, including per diem in lieu of subsistence as authorized by section 5 of the Administrative Expenses Act of 1946 (5 U.S.C 73b-2), for persons in the Government service employed intermittently. Payments under this section shall not render members of the Advisory Council employees or officials of the United States for any purpose.

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SEC. 105. (a) (1) In a case of actual controversy as to the validity of any order under section 103, any person who will be adversely affected by such order when it is effective may at any time prior to the sixtieth day after such order is issued file a petition with the United States court of appeals for the circuit wherein such person resides or has his principal place of business, for a judicial review of such order. A copy of the petition shall be forthwith transmitted by the clerk of the court to the Secretary or other officer designated by him for that purpose. The Secretary thereupon shall file in the court the record of the proceedings on which the Secretary based his order, as provided in section 2112 of title 28 of the United States Code. (2) If the petitioner applies to the court for leave to adduce additional evidence, and shows to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the proceeding before the Secretary, the court may order such additional evidence (and evidence in rebuttal thereof ) to be taken before the Secretary, and to be adduced upon the hearing, in such manner and upon such terms and conditions as to the court may seem proper. The Secretary may modify his findings as to the facts, or make new findings, by reason of the additional evidence so taken, and he shall file such modified or new findings, and his recommendation, if any, for the modification or setting aside of his original order, with the return of such additional evidence. (3) Upon the filing of the petition referred to in paragraph (1) of this subsection, the court shall have jurisdiction to review the order in accordance with section 10 of the Administrative Procedure Act (5 U.S.C. 1009) and to grant appropriate relief as provided in such section. (4) The judgment of the court affirming or setting aside, in whole or in part, any such order of the Secretary shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in section 1254 of title 28 of the United States Code. (5) Any action instituted under this subsection shall survive, notwithstanding any change in the person occupying the office of Secretary of any vacancy in such office. (6) The remedies provided for in this subsection shall be in addition to and not in substitution for any other remedies provided by law. (b) A certified copy of the transcript of the record and proceedings under this section shall be furnished by the Secretary to any interested party at his request, and payment of the costs thereof, and shall be admissible in any criminal, exclusion of imports, or other proceeding arising under or in respect of this title, irrespective of whether proceedings with respect to the order have previously been initiated or become final under subsection (a). SEC. 106. (a) The Secretary shall conduct research, testing, development, and training necessary to carry out the purposes of this title, including, but not limited to —

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(1) collecting data from any source for the purpose of determining the relationship between motor vehicle or motor vehicle equipment performance characteristics and (A) accidents involving motor vehicles, and (B) the occurrence of death, or personal injury resulting from such accidents; (2) procuring (by negotiation or otherwise) experimental and other motor vehicles or motor vehicle equipment for research and testing purposes; (3) selling or otherwise disposing of test motor vehicles and motor vehicle equipment and reimbursing the proceeds of such sale or disposal into the cur- rent appropriation available for the purpose of carrying out this title. (b) The Secretary is authorized to conduct research, testing, development, and training as authorized to be carried out by subsection (a) of this section by making grants for the conduct of such research, testing, development, and training to States, interstate agencies, and nonprofit institutions. (c) Whenever the Federal contribution for any research or development activity authorized by this Act encouraging motor vehicle safety is more than minimal, the Secretary shall include in any contract, grant, or other arrangement for such research or development activity, provisions effective to insure that all information, uses, processes, patents, and other developments resulting from that activity will be made freely and fully available to the general public. Nothing herein shall be construed to deprive the owner of any background patent or any right which he may have thereunder. SEC. 107. The Secretary is authorized to advise, assist, and cooperate with, other Federal departments and agencies, and State and other interested public and private agencies, in the planning and development of — (1) motor vehicle safety standards; (2) methods for inspecting and testing to determine compliance with motor vehicle safety standards. SEC. 108. (a) No person shall — (1) manufacture for sale, sell, offer for sale, or introduce or deliver for intro- duction in interstate commerce, or import into the United States, any motor vehicle or item of motor vehicle equipment manufactured on or after the date any applicable Federal motor vehicle safety standard takes effect under this title unless it is in conformity with such standard except as provided in subsection (b) of this section; (2) fail or refuse access to or copying of records, or fail to make reports or provide information, or fail or refuse to permit entry or inspection, as required under section 112;

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(3) fail to issue a certificate required by section 114, or issue a certificate to the effect that a motor vehicle or item of motor vehicle equipment conforms to all applicable Federal motor vehicle safety standards, if such person in the exercise of due care has reason to know that such certificate is false or misleading in a material respect; (4) fail to furnish notification of any defect as required by section 113.(b) (1) Paragraph (1) of subsection (a) shall not apply to the sale, the offer for sale, or the introduction or delivery for introduction in interstate commerce of any motor vehicle or motor vehicle equipment after the first purchase of it in good faith for purposes other than resale. In order to assure a continuing and effective national traffic safety program, it is the policy of Congress to encourage and strengthen the enforcement of State inspection of used motor vehicles. Therefore to that end the Secretary shall conduct a thorough study and investigation to determine the adequacy of motor vehicle safety standards and motor vehicle inspection requirements and procedures applicable to used motor vehicles in each State, and the effect of programs authorized by this title upon such standards, requirements, and procedures for used motor vehicles, and as soon as practicable but not later than one year after the date of enactment of this title, the results of such study, and recommendations for such additional legislation as he deems necessary to carry out the purposes of this Act. As soon as practicable after the submission of such report, but no later than one year from the date of submission of such report, the Secretary, after consultation with the Council and such interested public and private agencies and groups as he deems advisable, shall establish uniform Federal motor vehicle safety standards applicable to all used motor vehicles. Such standards shall be expressed in terms of motor vehicle safety performance. The Secretary is authorized to amend or revoke such standards pursuant to this Act. (2) Paragraph (1) of subsection (a) shall not apply to any person who establishes that he did not have reason to know in the exercise of due care that such vehicle or item of motor vehicle equipment is not in conformity with applicable Federal motor vehicle safety standards, or to any person who, prior to such first purchase, holds a certificate issued by the manufacturer or importer of such motor vehicle or motor vehicle equipment, to the effect that such vehicle or equipment conforms to all applicable Federal motor vehicle safety standards, unless such person knows that such vehicle or equipment does not so conform. (3) A motor vehicle or item of motor vehicle equipment offered for importation in violation of paragraph (1) of subsection (a) shall be refused admission into the United States under joint regulations issued by the Secretary of the Treasury and the Secretary; except that the Secretary of the Treasury and the Secretary may, by such regulations, provide for authorizing the importation of such motor vehicle or item of motor vehicle equipment into the United States upon such terms and conditions (including the furnishing of a bond) as may appear to them appropriate to insure that any such motor vehicle or item of motor vehicle equipment will be brought into conformity with any applicable Federal motor vehicle safety standard prescribed under this title, or will be exported or abandoned to the United States.

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(4) The Secretary of the Treasury and the Secretary may, by joint regulations, permit the temporary importation of any motor vehicle or item of motor vehicle equipment after the first purchase of it in good faith for purposes other than resale. (5) Paragraph (1) of subsection (a) shall not apply in the case of a motor vehicle or item of motor vehicle equipment intended solely for export, and so labeled or tagged on the vehicle or item itself and on the outside of the container, if any, which is exported. (c) Compliance with any Federal motor vehicle safety standard issued under this title does not exempt any person from any liability under common law. SEC. 109. (a) Whoever violates any provision of section 108, or any regulation issued thereunder, shall be subject to a civil penalty of not to exceed $1,000 for each such violation. Such violation of a provision of section 108, or regulations issued thereunder, shall constitute a separate violation with respect to each motor vehicle or item of motor vehicle equipment or with respect to each failure or refusal to allow or perform an act required thereby, except that the maximum civil penalty shall not exceed $400,000 for any related series of violations. (b) Any such civil penalty may be compromised by the Secretary. In determining the amount of such penalty, or the amount agreed upon in compromise, the appropriateness of such penalty to the size of the business of the person charged and the gravity of the violation shall be considered. The amount of such penalty, when finally determined, or the amount agreed upon in compromise, may be deducted from any sums owing by the United States to the person charged. SEC. 110. (a) The United States district courts shall have jurisdiction, for cause shown and subject to the provisions of rule 65(a) and (b) of the Federal Rules of Civil Procedure, to restrain violations of this title, or to restrain the sale, offer for sale, or the introduction or delivery for introduction, in interstate commerce, or the importation into the United States, of any motor vehicle or item of motor vehicle equipment which is determined, prior to the first purchase of such vehicle in good faith for purposes other than resale, not to conform to applicable Federal motor vehicle safety standards prescribed pursuant to this title, upon petition by the appropriate United States attorney or the Attorney General on behalf of the United States. Whenever practicable, the Secretary shall give notice to any person against whom an action for injunctive relief is contemplated and afford him an opportunity to present his views, and, except in the case of a knowing and willful violation, shall afford him reasonable opportunity to achieve compliance. The failure to give such notice and afford such opportunity shall not preclude the granting of appropriate relief. (b) In any proceeding for criminal contempt for violation of an injunction or restraining order issued under this section, which violation also constitutes a violation of this title, trial shall be by the court or, upon demand of the accused, by a jury. Such trial shall be conducted in

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accordance with the practice and procedure applicable in the case of proceedings subject to the provisions of rule 42(b) of the Federal Rules of Criminal Procedure. (c) Actions under subsection (a) of this section and section 109(a) of this title may be brought in the district wherein any act or transaction constituting the violation occurred, or in the district wherein the defendant is found or is an inhabitant or transacts business, and process in such cases may be served in any other district of which the defendant is an inhabitant or wherever the defendant may be found. (d) In any actions brought under subsection (a) of this section and section 109(a) of this title, subpoenas for witnesses who are required to attend a United States district court may run into any other district. (e) It shall be the duty of every manufacturer offering a motor vehicle or item of motor vehicle equipment for importation into the United States to designate in writing an agent upon whom service of all administrative and judicial processes, notices, orders, decisions and requirements may be made for and on behalf of said manufacturer, and to file such designation with the Secretary, which designation may from time to time be changed by like writing, similarly filed. Service of all administrative and judicial processes, notices, orders, decisions and requirements may be made upon said manufacturer by service upon such designated agent at his office or usual place of residence with like effect as if made personally upon said manufacturer, and in default of such designation of such agent, service of process, notice, order, requirement or decision in any proceeding before the Secretary or in any judicial proceeding for enforcement of this title or any standards prescribed pursuant to this title may be made by posting such process, notice, order, requirement or decision in the Office of the Secretary. SEC. 111. (a) If any motor vehicle or item of motor vehicle equipment is deter- mined not to conform to applicable Federal motor vehicle safety standards, or contains a defect which relates to motor vehicle safety, after the sale of such vehicle or item of equipment by a manufacturer or a distributor to a distributor or a dealer and prior to the sale of such vehicle or item of equipment by such distributor or dealer: (1) The manufacturer or distributor, as the case may be, shall immediately repurchase such vehicle or item of motor vehicle equipment from such distributor or dealer at the price paid by such distributor or dealer, plus all transportation charges involved and a reasonable reimbursement of not less than 1 per centum per month of such price paid prorated from the date of notice of such nonconformance to the date of repurchase by the manufacturer or distributor; or (2) In the case of motor vehicles, the manufacturer or distributor, as the case may be, at his own expense, shall immediately furnish the purchasing distributor or dealer the required conforming part or parts or equipment for installation by the distributor or dealer on or in such vehicle and for the installation involved the manufacturer shall reimburse such distributor or

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dealer for the reasonable value of such installation plus a reasonable reimbursement of not less than 1 per centum per month of the manufacturer’s or distributor’s selling price prorated from the date of notice of such nonconformance to the date such vehicle is brought into conformance, with applicable Federal standards: Provided, however, that the distributor or dealer proceeds with reasonable diligence with the installation after the required part, parts or equipment are received. (b) In the event any manufacturer or distributor shall refuse to comply with the requirements of paragraphs (1) and (2) of subsection (a), then the distributor or dealer, as the case may be, to whom such nonconforming vehicle or equipment has been sold may bring suit against such manufacturer or distributor in any district court of the United States in the district in which said manufacturer or distributor resides, or is found, or has an agent, without respect to the amount in controversy, and shall recover the damage by him sustained, as well as all court costs plus reasonable attorneys’ fees. Any action brought pursuant to this section shall be forever barred unless commenced within three years after the cause of action shall have accrued. (c) The value of such installations and such reasonable reimbursements as specified in subsection (a) of this section shall be fixed by mutual agreement of the parties, or failing such agreement, by the court pursuant to the provisions of subsection (b) of this section. SEC. 112. (a) The Secretary is authorized to conduct such inspection and investigation as may be necessary to enforce Federal vehicle safety standards established under this title. He shall furnish the Attorney General and, when appropriate, the Secretary of the Treasury any information obtained indicating noncompliance with such standards, for appropriate action. (b) For purposes of enforcement of this title, officers or employees duly designated by the Secretary, upon presenting appropriate credentials and a written notice to the owner, operator, or agent in charge, are authorized (1) to enter, at reasonable times, any factory, warehouse, or establishment in which motor vehicles or items of motor vehicle equipment are manufactured, or held for introduction into interstate commerce or are held for sale after such introduction; and (2) to inspect, at reasonable times and within reasonable limits and in a reasonable manner, such factory, warehouse, or establishment. Each such inspection shall be commenced and completed with reasonable promptness. (c) Every manufacturer of motor vehicles and motor vehicle equipment shall establish and maintain such records, make such reports, and provide such information as the Secretary may reasonably require to enable him to determine whether such manufacturer has acted or is acting in compliance with this title and motor vehicle safety standards prescribed pursuant to this title and shall, upon request of an officer or employee duly designated by the Secretary, permit such officer or employee to inspect appropriate books, papers, records, and documents relevant to determining whether such manufacturer has acted or is acting in compliance with this title and motor vehicle safety standards prescribed pursuant to this title.

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(d) Every manufacturer of motor vehicles and motor vehicle equipment shall provide to the Secretary such performance data and other technical data related to performance and safety as may be required to carry out the purposes of this Act. The Secretary is authorized to require the manufacturer to give such notification of such performance and technical data at the time of original purchase to the first person who purchases a motor vehicle or item of equipment for purposes other than resale, as he determines necessary to carry out the purposes of this Act. (e) All information reported to or otherwise obtained by the Secretary or his representative pursuant to subsection (b) or (c) which information contains or relates to a trade secret or other matter referred to in section 1905 of title 18 of the United States Code, shall be considered confidential for the purpose of that section, except that such information may be disclosed to other officers or employees concerned with carrying out this title or when relevant in any proceeding under this title. Nothing in this section shall authorize the withholding of information by the Secretary or any officer or employee under his control, from the duly authorized committees of the Congress. SEC. 113. (a) Every manufacturer of motor vehicles shall furnish notification of any defect in any motor vehicle or motor vehicle equipment produced by such manufacturer which he determines, in good faith, relates to motor vehicle safety, to the purchaser (where known to the manufacturer) of such motor vehicle or motor vehicle equipment, within a reasonable time after such manufacturer has discovered such defect. (b) The notification required by subsection (a) shall be accomplished — (1) by certified mail to the first purchaser (not including any dealer of such manufacturer) of the motor vehicle or motor vehicle equipment containing such a defect, and to any subsequent purchaser to whom has been transferred any warranty on such motor vehicle or motor vehicle equipment; and (2) by certified mail or other more expeditious means to the dealer or dealers of such manufacturer to whom such motor vehicle or equipment was delivered. (c) The notification required by subsection (a) shall contain a clear description or such defect, an evaluation of the risk to traffic safety reasonably related to such defect, and a statement or the measures to be taken to repair such defect. (d) Every manufacturer of motor vehicles shall furnish to the Secretary a true or representative copy of all notices, bulletins, and other communications to the dealers of such manufacturer or purchasers of motor vehicles or motor vehicle equipment of such manufacturer regarding any defect in such vehicle or equipment sold or serviced by such dealer. The Secretary shall disclose so much of the information contained in such notice or other information obtained under section 112(a) to the public as he deems will assist in carrying out the purposes of this Act, but he shall not disclose any information which contains or relates to a trade secret or other matter

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referred to in section 1905 of title 18 of the United States Code unless he determines that it is necessary to carry out the purposes of this Act. (e) If through testing, inspection, investigation, or research carried out pursuant to this title, or examination of reports pursuant to subsection (d) of this section, or otherwise, the Secretary determines that any motor vehicle or item of motor vehicle equipment — (1) does not comply with an applicable Federal motor vehicle safety standard prescribed pursuant to section 103; or (2) contains a defect which relates to motor vehicle safety; then he shall immediately notify the manufacturer of such motor vehicle or item of motor vehicle equipment of such defect or failure to comply. The notice shall contain the findings of the Secretary and shall include all information upon which the findings are based. The Secretary shall afford such manufacturer an opportunity to present his views and evidence in support thereof, to establish that there is no failure of compliance or that the alleged defect does not affect motor vehicle safety. If after such presentation by the manufacturer the Secretary determines that such vehicle or item of equipment does not comply with applicable Federal motor vehicle safety standards, or contains a defect which relates to motor vehicle safety, the Secretary shall direct the manufacturer to furnish the notification specified in subsection (c) of this section to the purchaser of such motor vehicle or item of motor vehicle equipment as provided in subsections (a) and (b) of this section. SEC. 114. Every manufacturer or distributor of a motor vehicle or motor vehicle equipment shall furnish to the distributor or dealer at the time of delivery of such vehicle or equipment by such manufacturer or distributor the certification that each such vehicle or item of motor vehicle equipment conforms to all applicable Federal motor vehicle safety standards. In the case of an item of motor vehicle equipment such certification may be in the form of a label or tag on such item or on the outside of a container in which such item is delivered. In the case of an item of motor vehicle equipment such certification shall be in the form of a label or tag permanently affixed to such motor vehicle. SEC. 115. The Secretary shall carry out the provisions of this Act through a National Traffic Safety Agency (hereinafter referred to as the “Agency”), which he shall establish in the Department of Commerce. The Agency shall be headed by a Traffic Safety Administrator who shall be appointed by the President, by and with the advice and consent of the Senate, and shall be compensated at the rate prescribed for level V of the Federal Executive Salary Schedule established by the Federal Executive Salary Act of 1964. The Administrator shall be a citizen of the United States, and shall be appointed with due regard for his fitness to discharge efficiently the powers and the duties delegated to him pursuant to this Act. The Administrator shall perform such duties as are delegated to him by the Secretary.

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SEC. 116. Nothing contained herein shall be deemed to exempt from the antitrust laws of the United States any conduct that would otherwise be unlawful under such laws, or to prohibit under the antitrust laws of the United States any conduct that would be lawful under such laws. SEC. 117. (a) The Act entitled “An Act to provide that hydraulic brake fluid sold or shipped in commerce for use in motor vehicles shall meet certain specifications prescribed by the Secretary of Commerce,” approved September 5, 1962 (76 Stat. 437; Public Law 87–637), and the Act entitled “An Act to provide that seat belts sold or shipped in interstate commerce for use in motor vehicles shall meet certain safety standards,” approved December 13, 1963 (77 Stat. 361; Public Law 88–201), are hereby repealed. (b) Whoever, prior to the date of enactment of this section, knowingly and willfully violates any provision of law repealed by subsection (a) of this section, shall be punished in accordance with the provisions of such laws as in effect on the date such violation occurred. (c) All standards issued under authority of the laws repealed by subsection (a) of this section which are in effect at the time this section takes effect, shall continue in effect as if they had been effectively issued under section 103 until amended or revoked by the Secretary, or a court of competent jurisdiction by operation of law. (d) Any proceeding relating to any provision of law repealed by subsection (a) of this section which is pending at the time this section takes effect shall be continued by the Secretary as if this section had not been enacted, and orders issued in any such proceeding shall continue in effect as if they had been effectively issued under section 103 until amended or revoked by the Secretary in accordance with this title, or by operation of law. (e) The repeals made by subsection (a) of this section shall not affect any suit, action, or other proceeding lawfully commenced prior to the date this section takes effect, and all such suits, actions, and proceedings, shall be continued, proceedings therein had, appeals therein taken, and judgments therein rendered, in the same manner and with the same effect as if this section had not been enacted. No suit, action, or other proceeding lawfully commenced by or against any agency or officer of the United States in relation to the discharge of official duties under any provision of law repealed by subsection (a) of this section shall abate by reason of such repeal, but the court, upon motion or supplemental petition filed at any time within 12 months after the date of enactment of this section showing the necessity for the survival of such suit, action, or other proceeding to obtain a settlement of the questions involved, may allow the same to be maintained. SEC. 118. The Secretary, in exercising the authority under this title, shall utilize the services, research and testing facilities of public agencies to the maximum extent practicable in order to avoid duplication.

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SEC. 119. The Secretary is authorized to issue, amend, and revoke such rules and regulations as he deems necessary to carry out this title. SEC. 120. (a) The Secretary shall prepare and submit to the President for transmittal to the Congress on March 1 of each year a comprehensive report on the administration of this Act for the preceding calendar year. Such report shall include but not be restricted to (1) a thorough statistical compilation of the accidents and injuries occurring in such year; (2) a list of Federal motor vehicle safety standards prescribed or in effect in such year; (3) the degree of observance of applicable Federal motor vehicle standards; (4) a summary of all current research grants and contracts together with a description of the problems to be considered by such grants and contracts; (5) an analysis and evaluation, including relevant policy recommendations, of research activities completed and technological progress achieved during such year; and (6) the extent to which technical information was disseminated to the scientific community and consumeroriented information was made available to the motoring public. (b) The report required by subsection (a) of this section shall contain such recommendations for additional legislation as the Secretary deems necessary to promote cooperation among the several States in the improvement of traffic safety and to strengthen the national traffic safety program. SEC. 121. (a) There is authorized to be appropriated for the purpose of carrying out the provisions of this title, other than those related to tire safety, not to exceed $11,000,000 for fiscal year 1967, $17,000,000 for fiscal year 1968, and $23,000,000 for the fiscal year 1969. (b) There is authorized to be appropriated for the purpose of carrying out the provisions of this title related to tire safety and title II, not to exceed $2,900,000 for fiscal year 1967, and $1,450,000 per fiscal year for the fiscal years 1968 and 1969. SEC. 122. The provisions of this title for certification of motor vehicles and items of motor vehicle equipment shall take effect on the effective date of the first standard actually issued under section 103 of this title. TITLE: II—TIRE SAFETY SEC. 201. In all standards for pneumatic tires established under title I of this Act, the Secretary shall require that tires subject thereto be permanently and conspicuously labeled with such safety information as he determines to be necessary to carry out the purposes of this Act. Such labeling shall include — (1) suitable identification of the manufacturer, or in the case of a retreaded tire suitable identification of the retreader, unless the tire contains a brand name other than the name of the manufacturer in which case it shall also contain a code mark which would permit the seller of such tire to identify the manufacturer thereof to the purchaser upon his request.

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(2) the composition of the material used in the ply of the tire. (3) the actual number of piles in the tire. (4) the maximum permissible load for the tire. (5) a recital that the tire conforms to Federal minimum safe performance standards, except that in lieu of such recital the Secretary may prescribe an appropriate mark or symbol for use by those manufacturers or retreaders who comply with such standards. The Secretary may require that additional safety related information be disclosed to the purchaser of a tire at the time of sale of the tire. SEC. 202. In standards established under title I of this Act the Secretary shall require that each motor vehicle be equipped by the manufacturer or by the purchaser thereof at the time of the first purchase thereof in good faith for purposes other than resale with tires which meet the maximum permissible load standards when such vehicle is fully loaded with the maximum number of passengers it is designed to carry and a reasonable amount of luggage. SEC. 203. In order to assist the consumer to make an informed choice in the purchase of motor vehicle tires, within two years after the enactment of this title, the Secretary shall, through standards established under title I of this Act, prescribe by order, and publish in the Federal Register, a uniform quality grading system for motor vehicle tires. Such order shall specify the date such system is to take effect which shall not be sooner than one hundred and eighty days or later than one year from the date such order is issued, unless the Secretary finds, for good cause shown, that an earlier or later effective date is in the public interest, and publishes his reasons for such finding. The Secretary shall also cooperate with industry and the Federal Trade Commission to the maximum extent practicable in efforts to eliminate deceptive and confusing tire nomenclature and marketing practices. SEC. 204. (a) No person shall sell, offer for sale, or introduce for sale or deliver for introduction in interstate commerce, any tire or motor vehicle equipped with any tire which has been regrooved, except that the Secretary may by order permit the sale of regrooved tires and motor vehicles equipped with regrooved tires which he finds are designed and constructed in a manner consistent with the purposes of this Act. (b) Violations of this section shall be subject to civil penalties and injunction in accordance with sections 109 and 110 of this Act. (c) For the purposes of this section the term “regrooved tire” means a tire on which a new tread has been produced by cutting into the tread of a worn tire. SEC. 205. In the event of any conflict between the requirements of orders or regulations issued by the Secretary under this title and title I of this Act applicable to motor vehicle tires and

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orders or administrative interpretations issued by the Federal Trade Commission, the provisions of orders or regulations issued by the Secretary shall prevail. TITLE III—ACCIDENT AND INJURY RESEARCH AND TEST FACILITY SEC. 301. The Secretary of Commerce is hereby authorized to make a complete investigation and study of the need for a facility or facilities to conduct research, development, and testing in traffic safety (including but not limited to motor vehicle and highway safety) authorized by law, and research, development, and testing relating to the safety of machinery used on highways or in connection with the maintenance of highways (with particular emphasis on tractor safety) as he deems appropriate and necessary. SEC. 302. The Secretary shall report the results of his investigation and study to Congress not later than December 31, 1967. Such report shall include but not be limited to (1) an inventory of existing capabilities, equipment, and facilities, either publicly or privately owned or operated, which could be made available for use by the Secretary in carrying out the safety research, development, and testing referred to in section 301, (2) recommendations as to the site or sites for any recommended facility or facilities, (3) preliminary plans, specifications, and drawings for such recommended facility or facilities (including major research, development, and testing equipment), and (4) the estimated cost of the recommended sites, facilities, and equipment. SEC. 303. There is hereby authorized to be appropriated not to exceed $3,000,000 for the investigation, study, and report authorized by this title. Any funds so appropriated shall remain available until expended. TITLE IV—NATIONAL DRIVER REGISTER SEC. 401. The Act entitled “An Act to provide for a register in the Department of Commerce in which shall be listed the names of certain persons who have had their motor vehicle operator’s licenses revoked,” approved July 14, 1960, as amended (74 Stat. 526; 23 U.S.C. 313 note), is hereby amended to read as follows: “That the Secretary of Commerce shall establish and maintain a register identifying each individual reported to him by a State, or political subdivision thereof, as an individual with respect to whom such State or political subdivision has denied, terminated, or temporarily withdrawn (except a withdrawal for less than six months based on a series of nonmoving violations) an individual’s license or privilege to operate a motor vehicle. “SEC. 2. Only at the request of a State, a political subdivision thereof, or a Federal department or agency, shall the Secretary furnish information contained in the register established under the first section of this Act, and such information shall be furnished only to the requesting party and only with respect to an individual applicant for a motor vehicle operator’s license or permit.”

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29

“SEC. 3. As used in this Act, the term ‘State’ includes each of the several States, the Commonwealth of Puerto Rico, the District of Columbia, Guam, the Virgin Islands, the Canal Zone, and American Samoa.” Approved September 9, 1966, 1:10 P.M.

2.1

AUTONOMOUS VEHICLE POLICY

In December 2018, the DOT published Automated Vehicles 3.0, which outlined six principles to clearly and consistently describes the government’s approach to shaping policy for autonomous vehicles. These principles are as follows. 1. Prioritization of Safety Although automation yields the potential for improved safety on the road, it may lead to new safety risks. The DOT is implementing efforts to address potential safety risks and advance the life-saving potential of automation, which will strengthen public confidence in the new technology. 2. Remain Technologically Neutral The DOT is adopting flexible, technology-neutral policies that promote competition and innovation to achieve safety, mobility, and economic goals as a response to the dynamic as well as rapid development of autonomous vehicles. With this principle, the goal of the government is to allow the public to choose the most effective transportation and mobility solutions. 3. Modernize regulations With the evolution of transportation technology, the DOT also plans to modernize or eliminate outdated regulations that impeded the development of autonomous vehicles or that do not address critical safety needs. For example, the DOT has adapted the definitions of “driver” and “operator” to recognize that such terms do not refer exclusively to a human and that these terms mays include an automated system. 4. Encouraging a uniform regulatory and operational environment The DOT plans to promote regulatory consistency to avoid conflict between state and local laws, and regulations surrounding automated vehicles. Such conflict gives way to confusion, introduce barriers, and present challenges with compliance, therefore, such consistency will permit autonomous vehicles to operate smoothly across state borders. 5. Proactively prepare for automation The DOT also has the initiative to provide guidance, pilot programs, and other assistance to aid autonomous vehicle manufacturers.

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Figure 2.2: The Public’s Voice. The public can voice either concern or support to a federal agency rule by commenting on regulations.gov. Source: www.regulations.gov. 6. Protect and enhance the freedoms enjoyed by Americans The DOT envisions an environment in which autonomous vehicles can operate alongside conventional, human-operated vehicles, therefore, the department has the goal to protect the ability of consumers to choose the mode of transportation that best fits their needs. NHTSA is a government agency under the DOT. The Act grants NHTSA the authority to issue and enforce a set of regulations known as FMVSSs, which apply to all new motor vehicles sold in the United States. Through the delegation power granted to NHTSA by Congress it may promulgate rules and establish policies. The V2V and V2I technologies we discussed earlier are an example of this. Although these rules and policies are generally effective immediately at the time of publication and the agency sought the input of various stakeholders during the development of the policy, it recognizes that not all interested people had a full opportunity to provide such input, thus the public may have a say by submitting comments to the website regulations.gov and the agency will take it into consideration. For example, there were 490 comments submitted by the public, on regulations.gov (Fig. 2.2), regarding NHTSA’s rule about the implementation of V2V and V2I technology. Similarly, autonomous vehicle design and safety is a policy. On September 20, 2016, the DOT and NHTSA published a 116-page document known as the Federal Automated Vehicle Policy. In his introductory message Secretary Anthony R. Foxx stated: Technology in transportation is not new. In fact, the airplane, the automobile, the train, and the horse-drawn carriage all introduced new opportunities and new complications to the safe movement of people and goods. As the digital era increasingly reaches deeper into transportation, our task at the U.S. Department of Transportation is not only to keep pace, but to ensure public safety while establishing a strong foundation such that the rules of the road can be known, understood, and responded to by industry and the public. This statement reflects the goal of what Congress set forth to achieve with the Act 50 years earlier. Since the policy is multiple times longer than the Act, only crucial portions of it will be discussed, but a copy is available on the internet, thus it is highly recommended that the reader look at it.

2.1. AUTONOMOUS VEHICLE POLICY

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The policy comprises of four parts: (1) vehicle performance guidance for automated vehicles, (2) model state policy for automated vehicles, (3) NHTSA’s current regulatory tools, and (4) potential new NHTSA regulatory tools. From these four parts the first one is the most crucial because it outlines a safety assessment that manufacturers must abide to prior to testing and/or deploying driverless cars on public roads. The other parts of the policy pertain to the regulatory framework that currently applies to autonomous vehicles and how it may evolve over time. Because the first part focuses greatly on the development stage of autonomous vehicles, our discussion in this text will primarily focus on this section of the policy. The vehicle performance guidance for automated vehicles should be taken into consideration by all individuals and companies planning to design, manufacture, test, and/or plan to sell driverless cars in the United States. These include traditional vehicle manufacturers as well as auto suppliers, testing facilities, automated fleet operators, and autonomous taxi companies, which have sprouted around Palo Alto. The guidance outlined in this section of the policy is intended for vehicles that are tested and deployed for use on public roads. The policy has also illustrated the DOT’s framework that autonomous vehicle developers should follow (Fig. 2.3). The DOT views that it is the company’s responsibility to determine if its system’s level of automation is in conformity with SAE International’s published definitions, NHTSA will review manufacturers’ level designations and advise them if it disagrees with the level assigned by the company. In addition to applying to both test and production vehicles, the framework also applies to the automated systems’ original equipment as well as to its replacement equipment or any applicable updates to the system. Additionally, the system also includes areas that are crosscutting, which pertain to the areas that apply to all of the automation capabilities of the vehicle; these include: data recording and sharing, privacy, system safety, cybersecurity, Human-Machine Interface (HMI), crashworthiness, and consumer education and training. The manufacturer may apply the framework by first ensuring certification of all applicable standards or request an interpretation or exemption from NHTSA, if necessary. The process for this is highlighted in part three of the policy. Furthermore, NHTSA will request the autonomous vehicle developer to voluntarily provide reports about how the guidance has been followed. It should be noted that at any point in the future NHTSA has the right to promulgate a rule that makes reporting mandatory instead of voluntary. This acts as a “Safety Assessment” outlining to NHTSA how the company is meeting the guidance. The “Safety Assessment” must be submitted for each autonomous vehicle system and assist NHTSA as well as the public in evaluating how safety is being addressed by manufacturers and other entities developing and testing driverless cars. The “Safety Assessment” has 15 points that must be addressed, these are:

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Scope and Process Guidance Test/Production Vehicle FMVSS Certification/ Exemption

Guidance Specific to Each HAV System Describe the ODD (Where does it operate?)

HAV Registration

Geographic Location

Guidance Applicable to All HAV Systems on the Vehicle

Roadway Type

Data Recording and Sharing

Object and Event Detection and Response

Fall Back Minimal Risk Condition

Normal Driving Driver

Privacy

Speed

System Safety

Day/Night

System

Crash Avoidance— Hazards

Vehicle Cybersecurity Human-Machine Interface

Weather Conditions

Crashworthiness Consumer Education and Training

Other Domain Constraints

Post-Crash Vehicle Behavior Federal, State, and Local Laws

Testing and Validation Simulation

Track

On-Road

Ethical Considerations

Figure 2.3: The DOT Framework. This illustration identifies the key areas that autonomous vehicle developers are required to address prior to testing or deploying the car on public roads. Source: NHTSA Federal Automated Vehicles Policy. • Data Recording and Sharing • Privacy • System Safety • Vehicle Cybersecurity • Human-Machine Interface • Crashworthiness • Consumer Education and Training • Registration and Certification

2.2. APPLICATION OF STANDARDS AND REGULATIONS

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• Post-Crash Behavior • Federal, State, and Local Laws • Ethical Considerations • Operational Design Domain • Object and Event Detection and Response • Fall Back (Minimal Risk Condition) • Validation Methods This policy recognizes that driverless cars will be operating on public roads that are subject to both federal and state laws, but the federal government through NHTSA regulates the safety of the vehicles, while state governments regulate the use of the vehicles (i.e., vehicle registration, licensing of drivers, etc.). However, with the emergence of autonomous vehicles, there has naturally been some uncertainty regarding the roles of federal and state governments, therefore, we will briefly address the impact of state policy, which is discussed to great detail in part two of the policy. Autonomous vehicle developers are most likely asking whether states have the authority to influence safety standards for automated vehicles. The short answer is no. Article VI of the U.S. Constitution establishes the Supremacy Clause, which states that state law is preempted from issues that have been addressed by federal law. Basically, the federal law will prevail over a state’s law. The same is true for autonomous vehicle regulation. States are preempted from issuing any vehicle safety standard that regulates vehicle performance, with the exception that the standard is the same as an existing NHTSA standard. Although at the time of the policy’s publication there was no specific autonomous vehicle safety standard issued by NHTSA, this section of the policy still expresses that NHTSA holds the exclusive federal role in establishing vehicle safety standards by stating that the agency “strongly encourages states to allow DOT alone to regulate the performance of HAV technology and vehicles.” Therefore, manufacturers and others working on autonomous vehicle technologies should have no issue if they follow the federal guidelines.

2.2

APPLICATION OF STANDARDS AND REGULATIONS TO AUTONOMOUS VEHICLE TECHNOLOGY

Government regulations and industry standards are important policy instruments that address health, safety, environmental, and other vital public concerns. Regulations are mandatory requirements that are developed by legislatures, specifying the law. Regulations can also be enforceable by the government. Standards are industry criteria. In engineering, standards are developed by the technology community and specify how a practice or product should function, be

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designed, and manufactured. Compared to regulations standards have no authority, but an industry or organization may voluntarily adopt them for consistency, exchange of information, and safety. In engineering, following standards can place a consumer’s mind to ease, it demonstrates that products or technologies meet well-accepted standards, such as Institute of Electrical or Electronics Engineers (IEEE) or SAE International, which can provide liability protection for manufacturers. Although standards have no authority they are recognized in the eyes of the law. In general, a person has a standard duty of care granted to a reasonable person, but professionals in an industry are held to a separate standard based on the expectations of that industry. Failing to meet industry standards could be interpreted as a failed duty, and a violation of standards can be viewed by the court as an act of gross negligence. SAE International has developed standards for the fit, comfort, and convenience of seat belts in commercial vehicles like trucks and buses; IEEE has developed standards for wireless networks. These standards are voluntarily met by manufacturers and are not enforced by government regulations, but standards can become enforceable as the law once they are included as part of a regulation. An example of such an enforceable standard are the standards found within the FMVSSs. The FMVSSs pertain to crash avoidance, crashworthiness, and post-crash survivability. Additionally, the standards listed within apply to specific components and/or systems of the motor vehicle, such as controls and displays, braking systems, and seat belts. The FMVSSs may be found in the Code of Federal Regulations (49 CFR Part 571). Although most manufacturers follow SAE International and IEEE to conform to an industry criterion, it is extremely important for autonomous vehicle developers to follow the FMVSSs. Referring to our preceding discussion of autonomous vehicle policy we already saw how NHTSA enforces its regulation of vehicle performance through FMVSSs.

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3

Telematics and Communication Fundamentals Telematics is the transfer of data to and from a moving vehicle. This concept will become increasingly important to autonomous vehicle technologies for a variety of reasons including, but not limited to, the “vision” of the autonomous vehicle, since the car relies on telematics to continuously update the “state of the world;” dedicated short-range communications (DSRC) to support V2X technologies, and commercial wireless services, which require commercial wireless services like 3G or 4G LTE to power systems like General Motors OnStar. At present, all the available autonomous vehicle technologies use radio frequency, but since the goal of this book is to understand the impact of the law on a rapidly emerging technology, we will focus our discussion on policy implications rather than engineering theory.

3.1

DEDICATED SHORT-RANGE COMMUNICATIONS

Our emphasis will be on DSRCs since this short-range (less than 1 km) wireless service has been specifically created to act as the wireless link for V2X initiatives. To reiterate our earlier discussion of the purpose of V2X technologies, the goal of DSRC is intended to enable short-range wireless communication so V2V can communicate between the vehicle and another vehicle, and V2I can communicate between the vehicle and the roadside infrastructure. DSRC can also provide non-safety messages and vehicle diagnostics. DSRC has been a critical actor in the DOT’s efforts to develop connected vehicles, but it is not regulated by NHTSA or any other DOT agency. The DSRC is a federal communication system, therefore, it is regulated by the Federal Communications Commission (FCC). NHTSA can only regulate technologies pertaining to the V2X initiative. Naturally, DSRC has been subject scrutiny. Some driverless technology developers see DSRC as a model example of how not to develop the technology because these developers worry about the risks of government involvement during development. The FCC has also considered permitting unlicensed use of the bandwidth, which has raised debate concerning potential interference issues.

3.2

WI-FI COMMUNICATION

Can you imagine living without Wi-Fi? It seems impossible in our day and age since through our technology we have become cripplingly dependent on it. In basic terms, Wi-Fi is short for

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3. TELEMATICS AND COMMUNICATION FUNDAMENTALS

wifeless fidelity; it allows an electronic device to exchange data wirelessly, using radio frequency, over a computer network, like high-speed internet. In the United States, the primary band for Wi-Fi use is 2.4 GHz, although 5.3 GHz bands have also been allocated. On January 3, 2013, the FCC announced an effort to reduce congestion of Wi-Fi networks and increase the speed by releasing up to 195 MHz of spectrum in the 5 GHz band. This would be the largest block of unlicensed spectrum made available for Wi-Fi expansion since 2003. This has been a concern for autonomous vehicle developers. The developers are concerned that the FCC’s release of the spectrum in the 5 GHz band to unlicensed users will interfere with the licensed use of DSRC and potentially lead to impeding its development.

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4

Cybersecurity and Data Protection Cybersecurity. When we think of the term there is always a group who connects it to hacking. With the ever so rapid evolution of technology and everyone staying connected to the world with their smartphones, smartwatches, and other smart gadgets it is important to consider the security of our data. Now with the rise of autonomous vehicles and “smart cars” it is extremely important that the data in these automobiles are robustly protected. Back in 1966 when the National Traffic and Motor Vehicle Safety Act was passed cybersecurity and data protection were not on anyone’s radar, however, in our present time this is recognized as a crucial safety feature, thus NHTSA has authority. On December 4, 2015, President Obama signed the Fixing America’s Surface Transportation Act (FAST Act). One of the issues this act solved was increasing NHTSA’s funding authorization. However, in addition to the changes that the FAST Act addressed Congress also advanced several other proposals that would extend NHTSA’s authority to regulate motor vehicles; one of these pertained to cybersecurity. In 2017 the Security and Privacy in Your Car Act was passed, and it directed NHTSA and the Federal Trade Commission to establish federal standards to secure connected features and other motor vehicle data from the invasion of hackers and data trackers. The legislation required both agencies to create a “cyber dashboard” rating system that would be visible on a vehicle’s window sticker and state how well each vehicle model protects the security and privacy of its owner. Furthermore, the act would require NHTSA to generate a report to Congress discussing its conclusion for the appropriate cybersecurity standards necessary to protect motor vehicles. The Federal Automated Vehicles Policy requires that autonomous vehicle developers follow a robust product development scheme based on a systems-engineering approach. The goal of such a process is minimize any risks to the vehicles safety, risks including cybersecurity threats, data breaches, and other system vulnerabilities. It is pertinent that this safety risk assessment should be ongoing for the autonomous vehicle technology being developed. In addition to identifying threats and addressing possible risks such an assessment will also create and allow for a quick response to hazardous cybersecurity episodes, and provide an opportunity for developers to learn from these events. Once again this is a rapidly evolving area and more research is necessary before NHTSA can implement a regulatory standard, therefore the policy encourages companies to design their

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autonomous vehicle systems by following the current best practices for cyber physical vehicle systems. More specifically, the policy states that “entities should consider and incorporate guidance, best practices, and design principles published by National Institute for Standards and Technology (NIST), NHTSA, SAE International, the Alliance of Automobile Manufacturers, the Association of Global Automakers, the Automotive Information Sharing and Analysis Center (Auto-ISAC) and other relevant organizations.” Furthermore, Auto-ISAC has the purpose of promoting group learning. The government, at present, finds this quite beneficial thus requests that “entities should report any and all discovered vulnerabilities from field incidents, internal testing, or external security research to the Auto-ISAC as soon as possible, regardless of membership.” The protection of data and cybersecurity is perhaps one of the most important aspects of an effective autonomous vehicle design. In the end, these vehicles are going to be controlled through a computer program, thus the software needs to be robust and not vulnerable to hacking or software glitches.

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5

Liability Liability falls under tort law. Tort is derived from the medieval Latin word tortum, which means wrong and injustice. In modern times, tort law is a civil legal liability and covers wrongful acts or an infringement of a right. Motor vehicle accidents are covered under tort law. Here we will step away from the federal jurisdiction of the law because the jurisdiction governing automobile accidents is a combination of state tort law and state financial responsibility laws, which mandate insurance coverages. Since the goal of autonomous vehicles is to remove the human component of driving, the question of how autonomous vehicle technologies will affect driver liability following an accident needs to be addressed. In a way this relates to the ethical implications of autonomous vehicles, which we will discuss shortly. At present, we will look at the liability of the autonomous vehicle manufacturers. Similar to how a change is required in driver liability for autonomous vehicles, a change is also required for determining the liability of autonomous vehicle manufacturers. Naturally, this may make manufacturers reluctant in introducing a technology that may increase their liability. However, a company may price its vehicle in a way that it recovers its expected liability costs; of course, this may produce higher prices and lower the number of vehicles sold, which would not be optimal. The liability of automobile manufacturers is governed by product-liability law, which has a foundation of tort law. Although these civil cases are under state law rather than a uniform federal law, most states have similar statutes since they adopted portions of the American Law Institute’s (ALI’s) Restatement of the Law, Second: Torts and Restatement of the Law, Third: Torts— Products Liability. The goal of these restatements is to organize the law, they are not automatically binding, but many state supreme courts have followed these restatements to govern parts of the law. Negligence is the most common legal theory of liability and it is also the legal standard most often used in tort law. In negligence a party is held liable for harms it caused by its unreasonable failure to prevent the risk. Although equating negligence with cost-benefit analysis because of the reasonability has been opposed in the past, recently courts and the restatements have been reintroducing the reasonableness of the negligent act into product liability. At present, it is difficult to assess how a cost-benefit analysis defense may pan out for an autonomous vehicle manufacturer, however, by having the basic understanding of the reasonability standard of negligence one can still form the necessary legal arguments.

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BRAINSTORMING EXERCISE #1 A successful litigator should be prepared to argue both sides of the argument. This will help you determine your possible arguments and arguments your opposing counsel may present. This will help you to formulate counterarguments and assess possible weaknesses in your own arguments. Using the area in Figure 5.1, brainstorm all of the possible arguments that an autonomous vehicle manufacturer (the Defendant) may present against a negligence claim and all of the possible arguments that the Plaintiff, who is suing the manufacturer, for negligence, may present. As an alternative theory of liability there is strict product liability. Strict liability is often contrasted to negligence because theoretically it does not require proof of negligence, unreasonableness, or any other kind of fault of the defendant. In its most strict interpretation strict product liability means that the manufacturer insures users against all of the harms that come from their product, regardless of fault. This form of liability is most often used by plaintiffs who sue automobile manufacturers. Thus, it is much more likely to play a role in litigations pertaining to driverless cars. In such cases the most likely argument brought by the victim will be regarding a defect in the autonomous vehicle’s technology. Originally, the law did not recognize different forms of defect, however, over time three categories of defect were formed, therefore, the victim can no longer allege a generic defect claim, the type of product defect being alleged is pertinent. The three categories of defect are as follows. 1. Manufacturing Defects Under the ALI’s Restatement a product has a manufacturing defect if it “departs from its intended design even though all possible care was exercised in the preparation and marketing of the product.” If the plaintiff can prove a manufacturing defect by showing that the product does not meet the manufacturer’s specifications, then the manufacturer is left with very few defenses and is most often found liable. However, with quality process improvements in the automotive industry it is very likely that the amount of conventional manufacturing defects will continue to decrease. Therefore, if the driverless car does not rely on a certain part that is prone to defects, such as a sensor with a high defect rate, then it would be unlikely for the Plaintiff to bring a claim for a manufacturing defect. 2. Design Defects A design defect claim alleges that the design of the product is defective. For example, in automobiles the victim may allege that the vehicle was not “sufficiently crashworthy,” thus it did not adequately protect its occupants during a collision. In assessing the defectiveness of a design courts follow two tests: (1) consumer expectations and (2) risk-utility (costbenefit). Although the consumer expectations test is still followed in some jurisdictions, most have abandoned it because of its unreasonableness. This test determines if a design is defective in design based on the question of “what an ordinary consumer expects in terms of risks posed by the product?” If the consumer expectation test is used for claims against

5. LIABILITY

Arguments for the Manufacturer

Arguments for the Plaintiff

Figure 5.1: Brainstorming Exercise #1 Arguments Worksheet.

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5. LIABILITY

autonomous vehicle manufacturers, then it is quite likely that the liability of manufacturers will increase substantially. A simple reason for the Plaintiff to prevail is because the consumer may have unrealistic expectations about the car’s capabilities. The risk-utility test is used by many courts when determining whether a design is defective. This test attempts to outweigh the benefits (utility) of the design against the costs (risks) associated with the design. However, it should be noted that the factors a court uses in its analysis varies by jurisdiction. This may actually hinder the efficient implementation of autonomous vehicle technology; therefore, it would be ideal if NHTSA structures the liability and the regulatory standards in a fashion that encourages the development of autonomous vehicle technology without undermining the minimal incentives for safety. 3. Warning Defects A Plaintiff may simply bring a lawsuit against a manufacturer because the product lacked the appropriate warning, thus making it a defective product. If the product poses a danger, the manufacturer has an obligation to warn of the danger. If the company fails to warn, thus breaching its duty then the product in question can be found defective and the company would be liable. It is extremely likely that a majority of the litigation pertaining to autonomous vehicles will arise from warning defects. For example, does the car manufacturer have a duty to warn a consumer that if she is driving a level-3 autonomous vehicle, she cannot ignore the road and allocate her focus to reading or watching a movie? The Plaintiff will naturally argue that placing a warning label is not time-consuming and it is low-cost, whereas the manufacturer will focus on the foreseeability of the event. This is a gray area since at present it is open to interpretation whether the company should issue warning labels to every possible danger that its car harbors. At this point the manufacturer’s liability seems quite volatile.

BRAINSTORMING EXERCISE #2 Using the area in Figure 5.2, brainstorm all of the possible arguments that an autonomous vehicle manufacturer (the Defendant) may present against all three possible defect claims and all of the possible arguments that the Plaintiff, who is suing the manufacturer, may present for all three possible defect claims.

5.1

ETHICAL RESPONSIBILITIES AND AUTONOMOUS VEHICLES

Yes, the driverless car has been a concept that has survived through multiple decades, but now it has transformed into a reality and with this reality comes new changes and responsibilities. For example, how will driver liability in automobile crashes be affected by autonomous vehicle technologies? The ultimate goal is to create a driverless car. Naturally, such a vehicle will practically

5.1. ETHICAL RESPONSIBILITIES AND AUTONOMOUS VEHICLES

Arguments for the Manufacturer

Arguments for the Plaintiff

Manufacturing Defects:

Manufacturing Defects:

Design Defects:

Design Defects:

Warning Defects:

Warning Defects:

Figure 5.2: Brainstorming Exercise #2 Arguments Worksheet.

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5. LIABILITY

Figure 5.3: An Ethical Dilemma. Necessity permits human to choose an action that will avoid the occurrence of a greater harm. Should driverless cars have the right to make such a decision?

eliminate human error, thus reducing the incidence of crashes, which will result in a reduction in car insurance prices. Additionally, at present drivers are exclusively responsible for control of the vehicle, but since driverless cars have the capability of alleviating the degree to which the driver is at fault for a crash it is quite likely that the responsibility of the accident will shift from the driver to the manufacturer. Now, any crash that occurs will be the responsibility of the car rather than that of the driver. Unfortunately, some things are not as straightforward to determine. The ethical responsibilities of autonomous vehicles are much more complicated to figure out. It is quite possible for an automobile accident to transition from a tort case to a criminal case when there is death. For example, a driver may be guilty of manslaughter if he collides with a tree, killing his passenger. However, the driver may use the necessity defense in his case. The necessity defense is the choice of the lesser of two evils. In our driving example, the driver may have swerved into the tree attempting to avoid hitting two children who suddenly jumped into the middle of the road. At that instance, hitting the tree and sustaining some injury was a lesser harm than continuing and crashing into both children potentially killing them. What about autonomous vehicles? Can we trust them to make such a decision? What if we are at a stage in time where driverless cars are sharing the road with human-operated cars and the car comes to a sudden, complete stop

5.1. ETHICAL RESPONSIBILITIES AND AUTONOMOUS VEHICLES

45

when it sees an obstruction on the road rather than bypass it, leading to a human-operated car colliding with it from behind. At this point should we just trust autonomous vehicles because they are designed to obey the law and avoid collisions? This is where ethics comes into play. As humans when there is no statute to guide us we turn to our moral compass, this is a gray area since there is no clear cut answer to knowing whether ethics can yield the same solution as the law. In a utopia, ethics, law, and policy would line up. Consider jaywalking, which is illegal, but is not always unethical especially when you do it during a time when there is no traffic, and the policy to ticket violators would be legal, but perhaps extreme. However, since the legal framework for autonomous vehicles is a work in progress it is possible to implement a system that is in line with ethics, but this is a challenge. Autonomous vehicle developers need to ensure that their technology can be morally culpable because continuing to passively program driverless cars to follow the current expectations of traditional cars as well as avoid crashes without acknowledging possible ethical dilemmas the car may encounter, might not be beneficial. Therefore, developers need to add a culpability feature. This way the car will perform as a traditional care, but instead of a human operator it will be the driverless and potentially not harm other human-drivers it is sharing the road with.

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6

The Future Direction of Autonomous Vehicle Technology There are no longer distinct specialties focused on projects pertaining to their own specialty. With the rapid evolution of technology there has been a rapid increase in cross-disciplinary collaboration. This holds true for autonomous vehicle technology development as well. No longer are engineers, programmers, and designers responsible for only understanding the technology, and no longer are lawyers responsible for only grasping the law. Now, the developers must have a fundamental understanding of the policy regulating the technology they are developing, and lawyers need to have a basic understanding of the technology so they can appropriately advise their clients. Additionally, through the development of autonomous vehicles we are also able to witness the unique collaboration between private industry, the government, and academia. In a statement to Wired Magazine, artificial intelligence expert Andrew Ng remarked that autonomous vehicles “cannot be done by any single organization. [They] will require a publicprivate partnership, and a community of legislators and researchers and technology companies and automobile manufacturers.” From a policy standpoint, the DOT has a long-term plan to pursue strategies that will address any regulatory gaps or challenges that impede a safe and reasonable path toward a commercial integration between driverless cars and cars still on the road being operated by humans. Moving forward, the DOT highly encourages stakeholder and public engagement as it executes its long-term plan. Additionally, in Automated Vehicles 3.0 the DOT acknowledged the need to modernize the existing regulations and determine new ways to reach its goal in seamlessly integrating autonomous vehicles into our society. According to Ng, the pace of development is accelerating rapidly so it is quite possible for driverless cars to join human drivers on the road sooner than expected and change the meaning of driving forever.

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6. THE FUTURE DIRECTION OF AUTONOMOUS VEHICLE TECHNOLOGY

Figure 6.1: Source: Peng Liu, Public Domain via Pexels.

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Author’s Biography AYSE BUKE HIZIROGLU Ayse Buke Hiziroglu has a Bachelor of Science degree in electrical engineering from Kettering University and a Master of Science degree in biomedical engineering from the University of Michigan–Ann Arbor. She is currently pursuing her law degree at Michigan State University where she has been named a 2020 Donald Nystrom Best Brief Finalist. Ms. Hiziroglu is also the recipient of the 2020 1L Patent Fellowship at the Seattle Office of Perkins Coie LLP.