Document ID: NHTSA-2023-0063-0001
Agency: nhtsa
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Human Interaction with Driving Automation Systems
Posted Date: 2023-12-12T05:00Z

[Federal Register Volume 88, Number 237 (Tuesday, December 12, 2023)]
[Notices]
[Pages 86202-86206]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-27197]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[Docket No. NHTSA-2023-0063]

Agency Information Collection Activities; Notice and Request for 
Comment; Human Interaction With Driving Automation Systems

AGENCY: National Highway Traffic Safety Administration (NHTSA), 
Department of Transportation (DOT).

ACTION: Notice and request for comments on a request for approval of a 
new collection of information.

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SUMMARY: The National Highway Traffic Safety Administration (NHTSA) 
invites public comments about our intention to request approval from 
the Office of Management and Budget (OMB) for a new information 
collection. Before a Federal agency can collect certain information 
from the public, it must receive approval from OMB. Under procedures 
established by the Paperwork Reduction Act of 1995 (the PRA), before 
seeking OMB approval, Federal agencies must solicit public comment on 
proposed collections of information, including extensions and 
reinstatement of previously approved collections. The proposed 
collection of information described below supports research addressing 
safety-related aspects of drivers' interactions with driving automation 
systems.

DATES: Comments must be submitted before February 12, 2024.

ADDRESSES: You may submit comments identified by the docket number 
NHTSA-2023-0063 through any of the following methods:
     Electronic submissions: Go to the Federal eRulemaking 
Portal at http://www.regulations.gov. Follow the online instructions 
for submitting comments.
     Fax: (202) 493-2251.
     Mail or Hand Delivery: Docket Management, U.S. Department 
of Transportation, 1200 New Jersey Avenue SE, West Building, Room W12-
140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through 
Friday, except on Federal holidays. To be sure someone is there to help 
you, please call (202) 366-9322 before coming.
    Instructions: All submissions must include the agency name and 
docket number for this notice. Note that all comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided. Please see the Privacy Act heading 
below.

[[Page 86203]]

    Privacy Act: Anyone is able to search the electronic form of all 
comments received into any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review DOT's 
complete Privacy Act Statement in the Federal Register published on 
April 11, 2000 (65 FR 19477-78) or you may visit http://www.dot.gov/privacy.html.
    Docket: For access to the docket to read comments received, go to 
http://www.regulations.gov, or the street address listed above. Follow 
the online instructions for accessing the dockets.

FOR FURTHER INFORMATION CONTACT: For additional information, contact: 
Eric Traube, Office of Vehicle Safety Research, Human Factors/
Engineering Integration Division, NSR-310, West Building, W46-424, 1200 
New Jersey Ave. SE, Washington, DC 20590; [email protected].

SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501 et seq.), before an agency submits a proposed 
collection of information to OMB for approval, it must first publish a 
document in the Federal Register providing a 60-day comment period and 
otherwise consult with members of the public and affected agencies 
concerning each proposed collection of information. The OMB has 
promulgated regulations describing what must be included in such a 
document. Under OMB's regulation (at 5 CFR 1320.8(d)), an agency must 
ask for public comment on the following: (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the agency, including whether the information will 
have practical utility; (b) the accuracy of the agency's estimate of 
the burden of the proposed collection of information, including the 
validity of the methodology and assumptions used; (c) how to enhance 
the quality, utility, and clarity of the information to be collected; 
and (d) how to minimize the burden of the collection of information on 
those who are to respond, including the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submission of responses. In compliance with these requirements, NHTSA 
asks for public comments on the following proposed collection of 
information for which the agency is seeking approval from OMB.
    Title: Human Interaction with Driving Automation Systems.
    OMB Control Number: New.
    Form Numbers: There are multiple forms for this collection 
including: Eligibility Questionnaire, NHTSA Form 1742; Informed Consent 
Study 1, NHTSA Form 1743; Informed Consent Study 2, NHTSA Form 1744; 
Informed Consent Study 3, NHTSA Form 1745; Pre-Drive Questionnaire, 
NHTSA Form 1746; Wellness Questionnaire, NHTSA Form 1747; In-Drive 
Questionnaire, NHTSA Form 1748; Post-Drive Questionnaire, NHTSA Form 
1749.
    Type of Request: New information collection.
    Type of Review Requested: Regular.
    Requested Expiration Date of Approval: Three years from date of 
approval.

Summary of the Collection of Information

    The National Highway Traffic Safety Administration (NHTSA) has 
proposed to perform research involving the collection of information 
from the public as part of a multi-year effort to learn about how 
humans interact with driving automation systems (DAS). This research 
will support NHTSA in understanding the potential safety challenges 
associated with human-DAS interactions, particularly in the context of 
mixed traffic interactions where some vehicles have DAS and others do 
not. Within mixed traffic environments, vehicles may also have DAS that 
perform more or less of the driving task (i.e., different levels of 
automation) and come with their own sets of expectations and 
limitations.
    The research will involve human subjects testing using a driving 
simulator. The goal is to understand how drivers interact with driving 
automation systems, specifically in situations where the automation 
behaves unlike a human driver. The project will measure interactions 
between humans and driving automation systems by (1) examining driving 
performance measures (such as takeover time and reaction time), (2) 
measuring understanding of the automation through questionnaires, (3) 
measuring trust in automation using questionnaires, and (4) measuring 
risk taking through questionnaires and a simple behavioral task on a 
computer. This research will add to NHTSA's state of knowledge and is 
not immediately intended to inform regulations or policy.
    The research will be conducted in three parts, referred to as Study 
1, Study 2, and Study 3. All study procedures will be approved by the 
University of Iowa Institutional Review Board (IRB). Data collection 
will begin upon receipt of PRA clearance and will involve human-
subjects data collection using the driving simulators at the University 
of Iowa Driving Safety Research Institute (DSRI).
    The data collections will be performed once to obtain the target 
number of valid test participants. Study participants will be members 
of the general public and participation will be voluntary with monetary 
compensation provided. Participants will include licensed drivers aged 
18 to 65 who are healthy and able to drive without assistive devices. 
Participants will be recruited using the DSRI registry and through 
email blasts to University of Iowa community.
    The objective of the first study is to understand how humans 
interact with DAS in mixed traffic environments, driving environments 
where some vehicles have automated capabilities, and some vehicles are 
driven manually. In the first study, participants will participate in 
pairs with each participant driving a separate driving simulator but 
interacting in the same driving environment. Participants will 
experience one of two driving automation systems. Both members of the 
participant pair will provide informed consent, a pre-drive 
questionnaire, a training presentation, a familiarization drive, 
wellness questionnaires to screen for simulator sickness, a study 
drive, in-drive ratings of trust, a post-drive questionnaire, and a 
risk-propensity assessment. During the simulator drives, one member of 
the pair will perform a continuous drive along a specified route. The 
other member of the pair will complete three short drives where they 
interact with the other participant at specific points throughout the 
drive. The simulator will collect vehicle data (e.g., brake inputs, 
steering wheel angle) and data about the surrounding environment (e.g., 
distance to surrounding vehicles and lane markings). After the drives, 
participants will complete a questionnaire to assess their 
understanding of the DAS and their trust in and acceptance of the DAS. 
Data will be analyzed to understand how human drivers interact with DAS 
in mixed traffic situations and to understand how humans understand and 
perceive automation in different situations.
    Study 2 will focus on understanding the impact of different levels 
of automated system capability, defined by how well the automation can 
perform different driving behaviors. In the second study, participants 
will complete a drive in a driving simulator with a driving automation 
system. The study drive will contain situations to which the DAS must 
respond.

[[Page 86204]]

Participants will be randomly assigned to one of three systems with 
different capabilities, defined by how well the automation can navigate 
the set of test situations. The simulator will collect vehicle data 
(e.g., brake inputs, steering wheel angle) and data about the 
surrounding environment (e.g., distance to surrounding vehicles and 
lane markings). After the drives, participants will complete a 
questionnaire to assess their understanding of the DAS and their trust 
in and acceptance of the DAS as well as a risk-propensity assessment. 
Data will be analyzed to understand how human drivers interact with DAS 
in mixed traffic situations and to understand how humans understand and 
perceive automation in different situations.
    Study 3 will be similar to Study 2 but will focus on how the 
decision-making behaviors of the automated driving systems impact user 
experience and driving performance. In the third study, participants 
will complete a drive in a driving simulator with a driving automation 
system. The study drive will contain situations to which the DAS must 
respond. Participants will be randomly assigned to one of three systems 
with different capabilities, defined by how well the automation can 
navigate the set of test situations. Procedures for the three studies 
are identical apart from the study drive experienced.
    These three studies will involve information collection through 
participant screening questions, a pre-drive questionnaire, a wellness 
questionnaire to measure simulator sickness symptoms, assessment of 
driving performance in a driving simulator with a situational trust 
questionnaire administered at points during the study drives, a post-
drive questionnaire, and a behavioral assessment of risk-taking 
propensity called the balloon analogue risk task (BART).
    The National Highway Traffic Safety Administration's (NHTSA) 
mission is to save lives, prevent injuries, and reduce economic costs 
associated with motor vehicle crashes. As new vehicle technologies are 
developed, it is prudent to ensure that they do not create any 
unintended decrease in safety. The safe deployment of driving 
automation systems, particularly when deployed in mixed traffic where 
some vehicles are controlled by automation and some are controlled 
manually, requires an understanding of how humans respond to and 
perceive different automation behavior. This work seeks to examine how 
drivers interact with driving automation systems in a wide sample of 
contexts and different levels of automation.
    The collection of information will consist of:
    1. Eligibility Questionnaire (NHTSA Form 1742).
    2. Informed Consent Study 1 (NHTSA Form 1743).
    3. Informed Consent Study 2 (NHTSA Form 1744).
    4. Informed Consent Study 3 (NHTSA Form 1745).
    5. Pre-Drive Questionnaire (NHTSA Form 1746).
    6. Wellness Questionnaire (NHTSA Form 1747).
    7. Driving Behavior Assessment (Pre-Drive PowerPoint Training, 
Familiarization Drive, Study Drive with In-Drive Questionnaire (NHTSA 
Form 1748).
    8. Post-Drive Questionnaire (NHTSA Form 1749).
    9. Balloon Analogue Risk Task (BART).
    The information to be collected will be used for the following 
purposes:
    1. Eligibility Questionnaire (NHTSA Form 1742)--Necessary for 
determining individuals' suitability for study participation based on 
driving experience and history, general health, and ability to safely 
drive in the simulator without health concerns. The Eligibility 
Questionnaire will solely be used to determine individuals' suitability 
for study participation and will not be analyzed in any way. These 
criteria will remain the same across studies.
    2. Informed Consent Study 1 (NHTSA Form 1743)--Necessary for 
obtaining informed written consent from the participant to participate 
in the study. The form describes all study procedures, data storage and 
use, and potential risks from the study.
    3. Informed Consent Study 2 (NHTSA Form 1744)--Necessary for 
obtaining informed written consent from the participant to participate 
in the study. The form describes all study procedures, data storage and 
use, and potential risks from the study.
    4. Informed Consent Study 3 (NHTSA Form 1745)--Necessary for 
obtaining informed written consent from the participant to participate 
in the study. The form describes all study procedures, data storage and 
use, and potential risks from the study.
    5. Pre-Drive Questionnaire (NHTSA Form 1746)--Necessary for 
collecting data used to measure participants' understanding (i.e., 
mental model) of DAS and their pre-drive trust in the DAS. Collecting 
these data before and after the drives will let us measure how exposure 
to the DAS impacts understanding and trust. Demographic information 
(e.g., age, sex, gender, race, ethnicity) will also be collected. This 
pre-drive questionnaire will remain the same across all three studies.
    6. Wellness Questionnaire (NHTSA Form 1747)--Necessary for 
evaluating simulator sickness symptoms to determine individuals' 
ability to complete the study drive in the driving simulator. This 
questionnaire will be administered pre-drive (to obtain baseline 
ratings), after the familiarization drive, and after the study drive. 
This wellness questionnaire will remain the same across all three 
studies.
    7. Driving Behavior Assessment (Study Drive) with In-Drive 
Questionnaire (NHTSA Form 1748)--Before the study drive, participants 
will complete training via a PowerPoint presentation on a computer in a 
private study room. The presentation will introduce the simulator, the 
familiarization and study drive procedures, the DAS, and the non-
driving email task. The familiarization drive is necessary to acclimate 
the participant to the driving simulator and perform a real-time 
determination for simulator sickness while training the participant on 
how to use the driving automation system. The study drive is necessary 
for gathering driving performance information for the purpose of 
assessing how drivers interact with automated systems and the impact of 
these interactions on safety. The in-drive questionnaire is necessary 
for understanding drivers' trust in the DAS at various points during 
the study drive. In Study 1, this information is collected after the 
events where the pair of research participants interact with one 
another. In Studies 2 & 3, this information is collected after the four 
events where the behavior of the automation varies across the different 
conditions. The information will be used to measure trust in the DAS 
following specific events. These questions will remain the same across 
all three studies.
    8. Post-Drive Questionnaire (NHTSA Form 1749)--Necessary for 
collecting data used to measure participants' understanding (i.e., 
mental model) of DAS and their post-drive trust in the DAS, as well as 
general risk-taking behavior while driving. This post-drive 
questionnaire will remain the same across all three studies.
    9. Balloon Analogue Risk Task (BART)--Necessary for measuring 
objective risk-taking propensity. For this computerized task, 
participants are presented with 20 different balloons (20 trials) and 
told that ``the actual number of pumps for any particular balloon will

[[Page 86205]]

vary.'' Participants are instructed to attempt to earn as many points 
as possible. At the beginning of each trial, the participant decides 
how many pumps they thought the balloon would hold and input this 
number. Each balloon inflates for 3 seconds and then either pops or 
stays intact depending on whether the participant's wager was above or 
below the predetermined explosion point for that balloon. If the 
balloon is pumped past its explosion point, it will pop, and the 
participant earns no points for that balloon. If the balloon is not 
pumped past the explosion point, the participant keeps the number of 
pumps as points. After each outcome, a new deflated balloon appears on 
the screen and points earned will be added to the total. Each balloon 
could earn a maximum of 128 points with an explosion point equally 
likely to occur on any given pump participant to the constraint that 
within each sequence of 10 balloons the average explosion point was on 
pump 64. The task will remain the same across the three studies and is 
a standardized online tool.

Affected Public

    Individuals aged 18+ from Eastern Iowa and the surrounding areas 
who have volunteered to take part in driving studies will be contacted 
for participation. They will be randomized evenly by sex, though some 
imbalance will be permitted to be inclusive of individuals who do not 
identify on the gender spectrum or as a result of differences in how 
sex may be identified on drivers' licenses across States. Efforts will 
be made to enroll a diverse age sample that broadly represents the age 
of the driving population and includes those at greater risk of 
crashing (e.g., less than 25 years of age and greater than 65 years of 
age). Businesses are ineligible for the sample and will not be 
contacted.

Estimated Number of Respondents

    To obtain the target number of 224 valid test participants. 
Assuming typical data loss rates for simulator testing with human 
participants, it is anticipated that 300 participants will need to be 
run in order to obtain 224 valid participant datasets. This will ensure 
sufficient statistical power in each of the three studies to detect 
differences between conditions.
    Information for the three studies will be obtained in an 
incremental fashion to permit the determination of which individuals 
have the necessary characteristics for study participation. All 
interested candidates will complete the Eligibility Questionnaire. From 
the subset of individuals found to meet the criteria in the Eligibility 
Questionnaire, a subset will be chosen with the goal of achieving a 
sample providing a balance of sex to be scheduled for study 
participation. Some imbalance will be allowed to be inclusive of all 
identities since not all individuals will identify on the gender 
spectrum. Participants will complete the Pre-Drive Questionnaire before 
a familiarization drive and the Wellness Questionnaire immediately 
after the drive to screen for simulator sickness. Participants who pass 
the screening will complete the remainder of the study procedures, 
including the In-Drive Questionnaire, the Post-Drive Questionnaire, and 
the Balloon Analogue Risk Task.
    Data collection will involve approximately 700 respondents for the 
Eligibility Questionnaire (with approximately 400 potentially meeting 
eligibility criteria) and 300 respondents for the Pre-Drive 
Questionnaire, Wellness Questionnaire, the Driving Behavior Assessment, 
the Post-Drive Questionnaire, and the Balloon Analogue Risk Task. A 
summary of the estimated numbers of individuals that will complete the 
noted question sets is provided in the following table.

                  Estimated Number of Total Respondents
------------------------------------------------------------------------
                                                    Participants (i.e.,
    Information collection        NHTSA form No.        respondents)
------------------------------------------------------------------------
Eligibility Questionnaire.....               1742  700.
Informed Consent Study 1......               1743  180.
Informed Consent Study 2......               1744  60.
Informed Consent Study 3......               1745  60.
Pre-Drive Questionnaire.......               1746  300 (180 Study 1, 60
                                                    Study 2, 60 Study
                                                    3).
Wellness Questionnaire........               1747  300 (180 Study 1, 60
                                                    Study 2, 60 Study
                                                    3).
Driving Behavior Assessment                  1748  300 (180 Study 1, 60
 (Pre-Drive PowerPoint                              Study 2, 60 Study
 Training, Familiarization                          3).
 Drive, Study Drive with In-
 Drive Questionnaire).
Post-Drive Questionnaire......               1749  300 (180 Study 1, 60
                                                    Study 2, 60 Study
                                                    3).
Balloon Analogue Risk Task....  .................  300 (180 Study 1, 60
                                                    Study 2, 60 Study
                                                    3).
------------------------------------------------------------------------

    Frequency: One-time collection.
    Estimated Total Annual Burden Hours: The total estimated burden for 
the study is 903.3 hours. Averaging that over three years of the 
collection approval is 301.1 hours.
    Eligibility Questionnaire (NHTSA Form 1742) is estimated to take 11 
minutes (averaging those who complete the questionnaire and those who 
do not complete the questionnaire). Informed Consent Study 1 (NHTSA 
Form 1743) is estimated to take 20 minutes. Informed Consent Study 2 
(NHTSA Form 1744) is estimated to take 20 minutes. Informed Consent 
Study 3 (NHTSA Form 1745) is estimated to take 20 minutes. Pre-Drive 
Questionnaire (NHTSA Form 1746) is estimated to take 15 minutes. 
Wellness Questionnaire (NHTSA Form 1747) is estimated to take 5 minutes 
and taken three times. Driving Behavior Assessment (Pre-Drive 
PowerPoint Training, Familiarization Drive, Study Drive with In-Drive 
Questionnaire (NHTSA Form 1748) is estimated to take 80 minutes. Post-
Drive Questionnaire (NHTSA Form 1749) is estimated to take 20 minutes. 
Balloon Analogue Risk Task (BART) is estimated to take 5 minutes.
    The estimated annual time and cost burdens across all three study 
data collections are summarized in the table below. To calculate the 
opportunity cost associated with the forms and other relevant 
activities necessary for this collection of new information, NHTSA 
looked at average hourly earnings for employees on private nonfarm 
payrolls. NHTSA estimated the total opportunity costs associated with 
these burden hours by looking at the average wage for total private 
employees on private nonfarm payrolls. The Bureau of Labor Statistics 
(BLS) estimates that the average hourly wage for this group is $33.82.

[[Page 86206]]

                                   Estimated Time per Response and Total Time
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                                                                                                       Total
 Information collection component     Respondents      Time per response (min)     Total burden     opportunity
                                                                                   time (hours)   cost (dollars)
----------------------------------------------------------------------------------------------------------------
Eligibility questionnaire.........             700  11..........................           128.3        4,340.00
Informed Consent Document (All                 300  20..........................             100        3,382.00
 Studies).
Pre-Drive Questionnaire...........             300  15..........................              75        2,536.50
Wellness Questionnaire............             300  5 x 3 responses.............              75        2,536.50
Driving Behavior Assessment (Pre-              300  80..........................             400       13,528.00
 Drive PowerPoint Training,
 Familiarization Drive, Study
 Drive with In-Drive
 Questionnaire).
Post-Drive Questionnaire..........             300  20..........................             100        3,382.00
Balloon Analogue Risk Task........             300  5...........................              25          846.00
                                   -----------------------------------------------------------------------------
    Total.........................  ..............  ............................           903.3       30,551.00
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    Estimated Total Annual Burden Cost: The respondents will not incur 
any reporting or recordkeeping cost from the information collection. 
Respondents will incur a one-time cost for local travel to and from 
DSRI, which is estimated not to exceed approximately $39.30 (based on 
the standard mileage rate for business-related driving in 2023 and a 
round trip distance of 60 miles). These transportation costs are offset 
by participant compensation.
    Public Comments Invited: You are asked to comment on any aspects of 
this information collection, including (a) whether the proposed 
collection of information is necessary for the proper performance of 
the functions of the Department, including whether the information will 
have practical utility; (b) the accuracy of the Department's estimate 
of the burden of the proposed information collection; (c) ways to 
enhance the quality, utility and clarity of the information to be 
collected; and (d) ways to minimize the burden of the collection of 
information on respondents, including the use of automated collection 
techniques or other forms of information technology.
    Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. chapter 
35, as amended; 49 CFR 1.49; and DOT Order 1351.29A.

Cem Hatipoglu,
Associate Administrator, Vehicle Safety Research.
[FR Doc. 2023-27197 Filed 12-11-23; 8:45 am]
BILLING CODE 4910-59-P