Document ID: FMCSA-2018-0037-0001
Agency: fmcsa
Document Type: Proposed Rule
Title: Federal Motor Carrier Safety Regulations which may be Barrier to Safe Testing and Deployment of Automated Driving Systems-Equipped Commercial Motor Vehicles on Public Roads
Posted Date: 2018-03-26T04:00Z

[Federal Register Volume 83, Number 58 (Monday, March 26, 2018)]
[Proposed Rules]
[Pages 12933-12937]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-05788]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

49 CFR Chapter III, Subchapter B

[Docket No. FMCSA-2018-0037]

Request for Comments Concerning Federal Motor Carrier Safety 
Regulations (FMCSRs) Which May Be a Barrier to the Safe Testing and 
Deployment of Automated Driving Systems-Equipped Commercial Motor 
Vehicles on Public Roads

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Request for comments.

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SUMMARY: FMCSA requests public comments on existing Federal Motor 
Carrier Safety Regulations (FMCSRs) that may need to be updated, 
modified, or eliminated to facilitate the safe introduction of 
automated driving systems (ADS) equipped commercial motor vehicles 
(CMVs) onto our Nation's roadways. To assist in this undertaking, FMCSA 
commissioned the U.S. Department of Transportation's John A. Volpe 
National Transportation Systems Center (Volpe) to conduct a preliminary 
review of the FMCSRs to identify regulations that may relate to the 
development and safe introduction of ADS. The Agency requests comments 
on this report, including whether any of FMCSA's current safety 
regulations may hinder the testing and safe integration of ADS-equipped 
CMVs. Further, FMCSA requests comment on certain specific regulatory 
requirements that are likely to be affected by an increased integration 
of ADS-equipped CMVs. However, the Agency is not seeking comments on 
its financial responsibility requirements because they are not directly 
related to CMV technologies and because future insurance requirements 
will depend in part on the evolution of State tort law with respect to 
liability for the operation of ADS-equipped vehicles. In addition, to 
support FMCSA's effort to understand future impacts on the FMCSR's, 
FMCSA requests information, including from companies engaged in the 
design, development, testing, and integration of ADS-equipped CMVs into 
the fleet. Specifically, the Agency requests information about: The 
scenarios and environments where entities expect that ADS will soon be 
tested and integrated into CMVs operating on public roads or in 
interstate commerce; the operational design domains (ODD) in which 
these systems are being operated or would be tested and eventually 
deployed; and,

[[Page 12934]]

measures they believe are required to ensure the protection of any 
proprietary or confidential business information they intend to share 
with the Agency.

DATES: Public Comments: Comments on this notice must be received on or 
before May 10, 2018.

ADDRESSES: You may submit comments identified by Docket Number FMCSA-
2018-0037 using any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the online instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC 
20590-0001.
     Hand Delivery or Courier: West Building, Ground Floor, 
Room W12-140, 1200 New Jersey Avenue SE, Washington, DC, between 9 a.m. 
and 5 p.m. E.T., Monday through Friday, except Federal holidays.
     Fax: 1-202-493-2251.

FOR FURTHER INFORMATION CONTACT: Mr. Michael Huntley, Division Chief, 
Vehicle and Roadside Operations Division, Office of Carrier, Driver, 
and Vehicle Safety, MC-PSV, (202) 366-9209, [email protected], 
Federal Motor Carrier Safety Administration, 1200 New Jersey Avenue SE, 
Washington, DC 20590-0001.

SUPPLEMENTARY INFORMATION: 

Submitting Comments

    If you submit a comment, please include the docket number for this 
notice (FMCSA-2018-0037), indicate the specific section of this 
document and the Volpe report to which each comment applies, provide a 
reason for each suggestion or recommendation, and identify the source 
of any data informing your comment. You may submit your comments and 
material online or by fax, mail, or hand delivery, but please use only 
one of these means. FMCSA recommends that you include your name and 
mailing address, an email address, or a phone number in the body of 
your document so that FMCSA can contact you if there are questions 
regarding your submission.
    To submit your comment online, go to http://www.regulations.gov, 
put the docket number, FMCSA-2018-0037, in the keyword box, and click 
``Search.'' When the new screen appears, click on the ``Comment Now!'' 
button and type your comment into the text box on the following screen. 
Choose whether you are submitting your comment as an individual or on 
behalf of a third party and then submit.
    If you submit your comments by mail or hand delivery, submit them 
in an unbound format, no larger than 8\1/2\ by 11 inches, suitable for 
copying and electronic filing. If you submit comments by mail and would 
like to know that they reached the facility, please enclose a stamped, 
self-addressed postcard or envelope.

Viewing Comments and Documents

    To view comments, as well as any documents mentioned in this 
preamble as being available in the docket, go to http://www.regulations.gov. Insert the docket number, FMCSA-2018-0037, in the 
keyword box, and click ``Search.'' Next, click the ``Open Docket 
Folder'' button and choose the document to review. If you do not have 
access to the internet, you may view the docket by visiting the Docket 
Management Facility in Room W12-140 on the ground floor of the West 
Building, 1200 New Jersey Avenue SE, Washington, DC 20590, between 9 
a.m. and 5 p.m., E.T., Monday through Friday, except Federal holidays.

Privacy Act

    The Department of Transportation (DOT) solicits comments from the 
public to better inform its decision-making processes. DOT posts these 
comments, without edit, including any personal information the 
commenter provides, to www.regulations.gov, as described in the system 
of records notice (DOT/ALL-14 FDMS), which can be reviewed at 
www.dot.gov/privacy.

I. Background

    On September 12, 2017, the Department published the Automated 
Driving Systems (ADS): A Vision for Safety 2.0. (Publication No. DOT HS 
812 442) (the Voluntary Guidance). The Voluntary Guidance offers a path 
forward for the safe integration of automated vehicles by:
     Encouraging new entrants and ideas that deliver safer 
vehicles;
     Making the Departmental regulatory processes more nimble 
to help match the pace of private sector innovation; and,
     Supporting industry innovation and encouraging open 
communication with the public and with stakeholders.
    The Voluntary Guidance is rooted in the Department's view that ADS-
equipped vehicles hold enormous potential benefits for safety, 
mobility, and the efficiency of our transportation system. The primary 
focus of the Voluntary Guidance is on levels of ADS that can take full 
control of the driving tasks in at least some circumstances. Portions 
of the Voluntary Guidance also apply to lower levels of automation, 
including some of the driver assistance systems already being deployed 
by automakers today. The full document can be found at: https://www.nhtsa.gov/sites/nhtsa.dot.gov/files/documents/13069a-ads2.0_090617_v9a_tag.pdf.
    The Voluntary Guidance adopts the SAE International (SAE) J3016 
standard's definitions for levels of automation. The SAE definitions 
divide vehicles into levels based on ``who does what, when.'' 
Generally:
     SAE Level 0, No Driving Automation; the driver performs 
all driving tasks.
     SAE Level 1, Driver Assistance; the vehicle is controlled 
by the driver, but some driving assist features may be included in the 
vehicle design.
     SAE Level 2, Partial Driving Automation; the 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.
     SAE Level 3, Conditional Driving Automation; the 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.
     SAE Level 4, High Driving Automation; the vehicle is 
capable of performing all driving functions under certain conditions. 
The driver may have the option to control the vehicle.
     SAE Level 5, Full Driving Automation: the vehicle is 
capable of performing all driving functions under all conditions.
    Using the SAE levels described above, the Department draws a 
distinction between Levels 0-2 and 3-5 based on whether the human 
driver or the automated system is primarily responsible for monitoring 
the driving environment. For the purposes of this Federal Register 
notice, the Agency's primary focus is SAE Levels 3-5 ADS.
    FMCSA encourages the development of these advanced safety 
technologies for use on CMVs, and at the same time, recognizes the need 
to work with the States to ensure that, from an operations standpoint, 
all testing and use of these advanced safety systems is conducted in a 
manner that ensures the safe operation of ADS-equipped commercial 
vehicles.
    FMCSA is responsible for the safety oversight of motor carriers 
operating CMVs in interstate commerce, the drivers of CMVs, and the 
vehicles. The Agency works with its State partners to deliver programs 
intended to prevent CMV crashes, and the associated injuries and 
fatalities.
    The FMCSRs provide rules to ensure the safe operation of CMVs, as 
defined

[[Page 12935]]

in 49 CFR 390.5, which includes vehicles with a gross vehicle weight/
gross combination weight or gross vehicle weight rating/gross 
combination weight rating, whichever is greater, of 10,001 pounds or 
more; passenger-carrying vehicles designed or used to transport 9 to 15 
passengers for direct compensation; passenger-carrying vehicles 
designed or used to transport 16 or more passengers; and any size 
vehicle transporting hazardous materials in a quantity requiring 
placards.
    On April 24, 2017, FMCSA held a public listening session to solicit 
information on issues relating to the design, development, testing, and 
integration of ADS-equipped commercial motor vehicles (82 FR 18096, 
April 17, 2017). The listening session provided interested parties an 
opportunity to share their views and any data or analysis on this topic 
with Agency representatives. The Agency also invited interested parties 
to submit written comments by July 17, 2017. A full transcript of the 
listening session and all written comments is available in public 
docket, FMCSA-2017-0114, at www.regulations.gov.

II. Request for Public Comments: The Applications of the FMCSRs to ADS-
Equipped CMVs

    In addition to the public listening session discussed above, FMCSA 
commissioned Volpe to conduct a preliminary review of the FMCSRs to 
identify regulations that relate to the development and safe 
introduction of automated driving systems. FMCSA subsequently received 
from Volpe its final report, ``Review of the Federal Motor Carrier 
Safety Regulations for Automated Commercial Vehicles: Preliminary 
Assessment of Interpretation and Enforcement Challenges, Questions, and 
Gaps,'' report number MCSA-RRT-17-013, August 2017. A copy of the 
report is included in the docket referenced at the beginning of this 
notice.
    Volpe found several provisions in the FMCSRs that might present 
challenges for automated CMVs that continue to require a human driver. 
Additionally, Volpe indicated that automated CMVs either requiring an 
onboard (non-driving) human technician or not requiring an onboard 
human at all may face compliance challenges. Volpe noted, however, that 
the nature and extent of these challenges will depend on how key terms 
and applicability statements are interpreted.
    Notwithstanding the findings of the Volpe analysis, the Policy 
released on September 12, 2017, indicated (see page 2 of the 
publication) that FMCSA believes its regulations require that ``a 
trained commercial driver must be behind the wheel at all times, 
regardless of any automated driving technologies available on the CMV, 
unless a petition for a waiver or exemption has been granted.'' In 
light of the comments the Agency received in response to its April 17, 
2017, request for public comments and the remarks of those in 
attendance at the April 24, 2017, public listening session, the Agency 
is reconsidering its views on this matter. The absence of specific 
regulatory text requiring a driver be behind the wheel may afford the 
Agency the flexibility to allow, under existing regulations, ADS to 
perform the driver's functions in the operational design domain in 
which the system would be relied upon, without the presence of a 
trained commercial driver in the driver's seat.
    FMCSA notes that in the event regulatory relief is necessary to 
allow the operation of a commercial motor vehicle without a person in 
the driver's seat, the Agency has authority to grant waivers for up to 
three months, grant exemptions for up to five years (with the 
possibility of renewals of the exemptions), or allow pilot programs for 
up to three years, provided certain conditions are satisfied [see 49 
CFR part 381].
    To that end, the Agency seeks information concerning the extent to 
which the public, including industry, safety advocates, the motoring 
public, and those engaged in the design, development, testing, and 
integration of ADS for CMVs believe any of FMCSA's current safety 
regulations may hinder the testing and safe deployment of ADS-equipped 
CMVs, including, but not limited to, the regulations preliminarily 
identified by Volpe. In particular, the agency is interested in 
comments concerning how different interpretations of the applicability 
of FMCSRs to ADS-equipped CMVs could represent a barrier, e.g., whether 
the FMCSRs, under certain conditions, could be read to require, or not 
require, the presence of a trained commercial driver in the driver's 
seat. To the extent commenters do identify unnecessary barriers, how 
could FMCSA use its available regulatory relief mechanism to 
appropriately remove or reduce those barriers?
    In addition to the issues in the Volpe Report, the agency also 
requests comment on how ADS-equipped CMVs could interact with certain 
specific regulations.

Inspection, Repair, and Maintenance

    The FMCSRs require all CMVs to be systematically inspected, 
repaired, and maintained. All parts must be in safe and proper 
operating condition at all times. With limited exceptions, motor 
carriers are prohibited from operating a CMV unless there is proof that 
it has passed an annual inspection.
    How should motor carriers ensure the proper functioning of ADS 
prior to operating in an automated mode?
    Should the Agency consider minimum requirements for motor carrier 
personnel responsible for maintaining the equipment used to achieve 
certain levels of automated operations (for example, a requirement that 
technicians be trained by the ADS developers, etc.)?
    What Information Technology (IT) security/safety assurances can be 
provided by maintenance personnel and CMV drivers/operators that the 
ADS systems are functioning properly?
    For State representatives with experience inspecting traditional 
CMVs, what types of malfunctions or damage on an ADS-equipped CMV 
should be considered an imminent hazard? Do you have any additional 
comments regarding inspection, repair, and maintenance?

Roadside and Annual Inspections

    FMCSA and its State partners conduct roadside inspections of CMVs 
to identify and remove from service unsafe drivers and vehicles. The 
inspection criteria represent enforcement tolerances, which are 
thresholds for determining whether the level of noncompliance with the 
applicable safety regulations is severe enough to warrant placing the 
vehicle or driver out-of-service.
    How could an enforcement official identify CMVs capable of various 
levels of automated operation? For example, should CMVs with ADS be 
visibly marked to indicate the level of automated operation they are 
designed to achieve, or would making these vehicles so easily 
identifiable cause other road users to interact unfavorably with CMVs 
with ADS?
    Do you have any additional comments regarding roadside and annual 
inspections?

Distracted Driving (Prohibition Against Texting and Using Handheld 
Wireless Phones) and Driver Monitoring

    This section applies to situations involving a Level 3 human-
monitored ADS. Current regulations prohibit individuals from texting 
and using hand-held wireless phones while driving CMVs in interstate 
commerce.

[[Page 12936]]

    What changes, if any, should be made to the distracted driving 
regulations for human drivers of CMVs with ADS while in automated mode? 
For example, should a human driver in a CMV with ADS be allowed to use 
a hand-held wireless phone while the ADS is in complete control of the 
vehicle?
    Should driver fatigue monitoring be required, and if so, what 
method(s) should be used to conduct such monitoring? For example, the 
Trucking Fatigue Meter [See https://pulsarinformatics.com/products/trucking] samples data throughout the day and alerts fleet managers 
once a human driver exceeds a company-determined fatigue threshold.
    Additionally, should these systems be required to provide 
``alertness assistance'' to human drivers? For example, should these 
systems be required to periodically request input from human drivers, 
or should they be required to request input from human drivers only 
when the driver appears to be losing focus or when the ADS in control 
of the vehicle is confronted with situations outside its parameters?
    What level of human driver inattentiveness (or how long a period of 
inattentiveness) should be allowed in a vehicle controlled by an ADS 
before the vehicle is required to enter its minimal risk condition? How 
long after entering the minimal risk condition must a human driver wait 
to re-engage an ADS (e.g., a minimum 30-minute break may provide the 
driver an opportunity to rest)? What should the requirements be for re-
engaging the CMV with ADS in an automated mode in this scenario?

Medical Qualifications

    FMCSA's regulations include physical qualification standards for 
humans driving CMVs to ensure that they are medically qualified to do 
so. As technology advances, humans may be required only to monitor the 
operation of CMVs with ADS on public roadways, or they may not be 
required at all. Thus, as technology develops, changes to the physical 
qualification rules will be required, and some medical conditions may 
become inapplicable.
    What medical conditions currently precluding issuance of a medical 
card could become inapplicable as ADS technology develops?
    What medical conditions currently precluding issuance of a medical 
card should NOT be considered disqualifying for a human driver who is 
simply monitoring a CMV with ADS?

Hours of Service for Drivers

    FMCSA's regulations include requirements intended to reduce the 
risk of driver fatigue and fatigue-related crashes. Generally, the 
rules for truck drivers allow up to 11 hours driving time in the work 
day, following 10 consecutive hours off-duty. And all driving must be 
completed within 14 hours of the beginning of the work day. The rules 
prohibit driving after a driver has accumulated a certain amount of on-
duty time (which includes the time spent driving and time spent 
performing other work) during the work week. Current regulations 
require that all time spent at the operating controls of the CMV be 
recorded as on-duty, driving time. Given the SAE levels of automation 
discussed above, FMCSA seeks public comments on how drivers' hours of 
service should be recorded if the ADS is relied upon to perform some or 
all of the driving tasks.

Commercial Driver's License (CDL) Endorsements

    FMCSA requires all drivers of CMVs to have the knowledge and skills 
necessary to operate a CMV safely. States are required to include 
specific items in the knowledge and skills tests administered to CDL 
applicants. CDL applicants wishing to obtain specific endorsements must 
satisfy additional knowledge and skill test requirements. Existing 
endorsements include: Double/triple trailers, passenger, tank vehicle, 
hazardous materials, and school bus.
    Due to potential variations in ADS technology across various 
providers, FMCSA seeks to ensure that human drivers and operators of 
CMVs with ADS receive training for the specific technologies present in 
the vehicles they operate.
    Should an endorsement be considered for human drivers and operators 
of CMVs with ADS to ensure they (1) understand the capabilities and 
limitations of the advanced technologies, and (2) know when it is 
appropriate to rely on automatic rather than manual operation? If so, 
what types of tests--knowledge, skills, or both--should be required to 
obtain such an endorsement; and should there be separate endorsements 
for different types of ADS?
    If an ADS-equipped CMV is to be deployed without a human driver 
onboard, should the computer system be required to demonstrate 
autonomous capabilities for the same maneuvers included on the CDL 
skills test?

III. Request for Information: Current Testing and Operation of CMVs 
With ADS

Data Sharing

    FMCSA would like to ensure that the Agency is able to receive and 
review data and information from the private sector to understand a 
driver's experience with ADS technologies in real-world settings.
    If you are a developer or tester of ADS technologies, what types of 
data and/or safety measures are you currently collecting--or do you 
plan to collect--during testing? How often is this data collected?
    How can FMCSA ensure that data and/or safety measures collected are 
presented in a comparable format?
    How can FMCSA assess whether a CMV equipped with an ADS is being 
operated as safely as a traditional CMV operating on a public roadway?
    What pieces of information are entities using to evaluate how a 
driver is using an ADS- equipped commercial vehicle?

Testing and Interstate Operations of CMVs With ADS on Public Roadways

    What type of ADS-equipped CMVs are currently being tested? Are they 
Level 4 ADS-equipped vehicles that can only operate on certain 
roadways, Level 4 vehicles with more extensive ODDs, or full Level 5 
vehicles?
    Do vehicles currently being tested have operational limitations to 
ensure safe operations? Examples of operational limitations might 
include time of day, weather conditions, types of roads, specific 
routes within an ODD, maximum allowable operational speed, markings 
showing that the vehicle is capable of highly automated operations, 
etc.
    In moving forward what actions, if any, should FMCSA consider to 
ensure the safe operation of ADS-equipped CMV's in various ODDs?
    How can FMCSA assess whether a CMV with ADS operating within its 
ODD can perform on certain maneuvers, such as emergency brake 
performance, crash avoidance maneuvers, etc.?
    Should FMCSA consider approaching CMVs that carry persons or 
hazardous materials differently than other CMVs?
    For State representatives, would you consider changing certain 
requirements (for example, higher versus lower levels of insurance) for 
an ADS-equipped CMV? If yes, based on what factors; and how would you 
implement such requirements?

Beyond Compliance Program

    On April 23, 2015, FMCSA issued an initial Federal Register notice 
seeking

[[Page 12937]]

comment on the impacts of a possible ``Beyond Compliance Program'' to 
consider a company's voluntary implementation of state-of-the-art best 
practices and technologies when evaluating a carrier's safety (80 FR 
22770).
    The Fixing America's Surface Transportation (FAST) Act mandated 
that the Agency provide recognition to motor carriers for voluntary use 
of advanced technologies or safety programs (Pub. L. 114-94, 129 Stat. 
1312, Dec. 4, 2012). Per section 5222, FMCSA may authorize qualified 
entities to monitor motor carriers that receive ``Beyond Compliance'' 
recognition (129 Stat. 1540).
    To what extent, if any, should the various levels of automation be 
considered as part of the Beyond Compliance Program?

Regulation of Manufacturing Versus Operation

    The regulation of CMVs is a function shared by the National Highway 
Traffic Safety Administration (NHTSA) and FMCSA, with manufacturing 
regulated by NHTSA and operation regulated by FMCSA (and its State 
partners). Does this separation of functions create unique problems, or 
perhaps offer unique solutions, for operators of ADS-equipped CMVs?

Confidentiality of Shared Information

    FMCSA acknowledges that companies may be reluctant to share certain 
proprietary data or information with the Agency, either as part of the 
waiver, exemption, or pilot program application process, or during the 
pendency of a regulatory relief period. The Agency notes that 49 CFR 
389.3 provides protection for ``confidential business information'' 
which includes trade secrets or commercial or financial information 
that is privileged or confidential, as described in 5 U.S.C. 552(b)(4). 
Commercial or financial information is considered confidential if it is 
voluntarily submitted to the Agency and constitutes the type of 
information not customarily released to the general public. FMCSA has 
established standards and procedures by which the Agency will solicit, 
receive, and protect confidential information from public disclosure. 
The Agency is seeking information from interested parties on how it 
might further protect non-public information necessary to assess 
whether ADS-equipped CMVs meet performance standards and accurately 
document safety-related events during a waiver, temporary exemption, or 
pilot program.
    What measures would original equipment manufacturers and developers 
expect of FMCSA before sharing confidential business information?
    How might the Agency obtain information sufficient to assess the 
safety performance of CMVs with ADS without collecting confidential 
business information?
    Do you have any additional comments regarding the confidentiality 
of shared information?

    Issued under authority delegated in 49 CFR 1.87 on: March 16, 
2018.
Raymond P. Martinez,
Administrator.
[FR Doc. 2018-05788 Filed 3-23-18; 8:45 am]
 BILLING CODE 4910-EX-P