Document ID: NHTSA-2019-0036-0001
Agency: nhtsa
Document Type: Proposed Rule
Title: Removing Regulatory Barriers for Vehicles With Automated Driving Systems
Posted Date: 2019-05-28T04:00Z

[Federal Register Volume 84, Number 102 (Tuesday, May 28, 2019)]
[Proposed Rules]
[Pages 24433-24449]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-11032]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

49 CFR Part 571

[Docket No. NHTSA-2019-0036]
RIN 2127-AM00

Removing Regulatory Barriers for Vehicles With Automated Driving 
Systems

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

ACTION: Advance notice of proposed rulemaking (ANPRM).

-----------------------------------------------------------------------

SUMMARY: NHTSA is seeking public comment on the near- and long-term 
challenges of testing and verifying compliance with existing crash 
avoidance (100-series) Federal Motor Vehicle Safety Standards (FMVSSs) 
for Automated Driving System-Dedicated Vehicles (ADS-DVs) that lack 
traditional manual controls necessary for a human driver to maneuver 
the vehicle and other features intended to facilitate operation of a 
vehicle by a human driver, but that are otherwise traditional vehicles 
with typical seating configurations. This document seeks comments on 
the suitability of various approaches that could be used to address 
compliance verification challenges that exist for crash avoidance 
standards that either require a manual control; or specify the use of 
manual controls in a compliance test procedure. NHTSA's long-term goal 
is to use what the agency learns from this ANPRM, as well as the 
agency's other research efforts, to develop a proposal to amend the 
crash avoidance FMVSSs in ways that address these and other compliance 
challenges with a continued focus on safety. This ANPRM builds on 
NHTSA's efforts to identify and address regulatory barriers to ADS 
technologies, including the request for comments (RFC) on this topic in 
January 2018. NHTSA intends to issue two additional documents to remove 
barriers in the crashworthiness FMVSSs (200-series standards) and 
address issues in the FMVSSs pertaining to telltales, indicators, and 
warnings in ADS-DVs.

[[Page 24434]]

DATES: Comments on this advanced notice of proposed rulemaking are due 
no later than July 29, 2019.

ADDRESSES: Comments must be identified by Docket Number NHTSA-2019-0036 
and may be submitted using any of the following methods:
     Federal eRulemaking Portal: 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.
    Regardless of how you submit your comments, you must include the 
docket number identified in the heading of this document. Note that all 
comments received, including any personal information provided, will be 
posted without change to www.regulations.gov. Please see the ``Privacy 
Act'' heading below.
    You may call the Docket Management Facility at 202-366-9826.
    Docket: For access to the docket to read background documents or 
comments received, go to www.regulations.gov or the street address 
listed above. We will continue to file relevant information in the 
Docket as it becomes available.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits 
comments from the public to better inform its rulemaking process. DOT 
posts these comments, without edit, to www.regulations.gov, as 
described in the system of records notice, DOT/ALL-14 FDMS, accessible 
through www.transportation.gov/privacy. To facilitate comment tracking 
and response, we encourage commenters to provide their name, or the 
name of their organization; however, submission of names is completely 
optional. Whether or not commenters identify themselves, all timely 
comments will be fully considered.

FOR FURTHER INFORMATION CONTACT: For technical issues: David Hines, 
Director, Office of Crash Avoidance Standards (Phone: 202-366-1810; 
Fax: 202-493-0073). For legal issues: Sara R. Bennett, Attorney-
Advisor, Vehicle Rulemaking and Harmonization, Office of Chief Counsel 
(Phone: 202-366-2992; Fax: 202-366-3820).

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Executive Summary
I. Introduction
II. Background
III. NHTSA's Efforts To Provide Guidance and Regulatory Certainty
IV. Stakeholder Feedback
V. Addressing Barriers in the FMVSS
    A. Example #1 (FMVSS No. 135): Manual Control Required
    B. Example #2 (FMVSS No. 126): Existing Test Procedures That 
Cannot Be Executed Absent Manual Controls
    C. Additional Barrier Examples
VI. Possible Approaches To Revising Crash Avoidance Test Procedures
    A. Normal ADS-DV Operation
    B. Test Mode With Pre-Programmed Execution (TMPE)
    C. Test Mode With External Control (TMEC)
    D. Simulation
    E. Technical Documentation for System Design and/or Performance 
Approach
    F. Use of Surrogate Vehicle With Human Controls
VII. Public Participation
VIII. Rulemaking Analyses

I. Executive Summary

    This Advance Notice of Proposed Rulemaking (ANPRM) is a 
continuation of NHTSA's efforts to gather input from stakeholders and 
the public regarding what approaches to propose to address potential 
challenges to the verification of the compliance with the Federal Motor 
Vehicle Safety Standards (FMVSSs) of Automated Driving System-Dedicated 
Vehicles (ADS-DVs) \1\ that lack traditional manual controls, but have 
traditional seating configurations. In this document, the agency first 
discusses the types of barriers posed by the existing crash avoidance 
standards and, second, what types of test methods could be employed to 
test vehicles that lack traditional controls. NHTSA believes that 
safety should be the preeminent consideration when evaluating whether 
and how the test methods discussed in this document could be used to 
address regulatory barriers to ADS-DVs. NHTSA notes that the focus of 
this document is ADS-DVs, and that the agency is not at this time 
considering changing the applicability of current requirements to 
traditional vehicles.
---------------------------------------------------------------------------

    \1\ An ADS is the hardware and software that are collectively 
capable of performing the entire dynamic driving task (DDT) on a 
sustained basis, regardless of whether it is limited to a specific 
operational design domain. The term ``ADS'' specifically refers to 
SAE Level 3, 4, or 5 driving automation systems as described in SAE 
J3016_201806 Taxonomy and Definitions for Terms Related to Driving 
Automation Systems for On-Road Motor Vehicles. However, the focus of 
this document is on ADS-DVs that lack traditional manual controls, 
but have traditional seating configurations. ADS-DVs which are 
defined as vehicles designed to be operated exclusively by a level 4 
or level 5 ADS for all trips within its given ODD limitations (if 
any). Id. For the purposes of this ANPRM, manual controls include 
traditional driving input mechanisms, such as the steering wheel, 
accelerator pedal, brake pedal, and transmission gear selector 
controls. We refer to these vehicles in the balance of the document 
as ``ADS-DVs without traditional manual controls.''
---------------------------------------------------------------------------

    Comments are requested on these approaches and specifically on 
their feasibility and permissibility as additions to relevant crash 
avoidance FMVSSs.
    To address barriers posed by the rest of the FMVSSs, NHTSA intends 
to issue two additional documents, one for the crashworthiness FMVSSs 
(200-series standards) and another for telltales, indicators, and 
warnings.

I. Introduction

    The development of ADSs brings the possibility of associated 
reductions in the number of motor vehicle crashes, deaths, injuries, 
and associated economic costs. This document is one of three documents 
\2\ NHTSA is issuing to begin the development and implementation of a 
comprehensive strategy to update the FMVSSs to maintain the required 
performance levels of existing standards for ADS-DVs without 
traditional manual controls while addressing regulatory barriers to the 
compliance verification of these vehicles. This ANPRM is intended to 
solicit focused feedback on the feasibility and permissibility of a 
number of approaches to addressing the challenges in certifying or 
verifying compliance to certain crash avoidance (100-series) for ADS-
DVs without manual controls.\3\
---------------------------------------------------------------------------

    \2\ See https://www.reginfo.gov/public/do/eAgendaMain. The 
Regulatory Identification Numbers for the two other documents are 
RIN 2127-AM06, RIN 2127-AM07.
    \3\ This document, therefore, does not address the regulation of 
ADS equipment or its performance, but rather focuses on determining 
and specifying in the FMVSS the processes that the agency will use 
in conducting compliance verification for vehicles without manual 
controls. This document is also not intended to address regulatory 
challenges relating to information or visibility requirements in the 
FMVSS (e.g., telltales, indicator lamps), the occupant protection 
requirements in the ``crashworthiness'' (200-series) FMVSS, dual-
mode vehicles (i.e., that can be either driven using manual controls 
or by the ADS), bi-directional vehicles, or vehicles with non-
traditional seating configurations (e.g., ``campfire'' seating 
arrangement). NHTSA intends to address these and other related 
topics in research and future documents.
---------------------------------------------------------------------------

    While some ADS-DVs are equipped with manual controls, and thus 
NHTSA can conduct compliance verification testing of those vehicles 
using current test procedures, this is not the case with all ADS-DVs. 
Specifically, this ANPRM focuses on ADS-DVs without traditional manual 
controls and that may also lack other features intended to facilitate

[[Page 24435]]

operation of a vehicle by a human driver. NHTSA believes that 
modifications of the existing regulatory text, including definitions 
and test methods used to perform some existing 100-series FMVSS 
compliance tests, may be necessary for the agency to assess the 
vehicles' compliance with certain existing FMVSS. The agency intends to 
explore modifications to the standards with a continued focus on 
safety.
    NHTSA notes that some equipment required under the current FMVSSs 
provide safety benefits beyond what the agency had originally 
contemplated at the time each FMVSS was promulgated. For instance, 
while the agency may have established rear visibility mirror 
performance requirements based on the safety need for a driver's 
visibility while driving, outside rearview mirrors have come to serve 
an additional safety function when a vehicle is parked by providing 
occupants information regarding whether it is safe to exit the vehicle. 
Such additional safety benefits must be considered in evaluating their 
continued necessity on an ADS-DV without traditional manual controls.
    In this document, NHTSA discusses two potential types of regulatory 
barriers for ADS-DVs without traditional manual controls, describes a 
FMVSS that exemplifies each challenge, and presents a brief overview of 
comments on the request for comment (RFC). The agency also presents and 
seeks comment regarding the safety impacts of using alternative 
compliance test verification methods to conduct compliance verification 
testing for these types of vehicles, assuming that the standards and 
procedures could be revisited to appropriately ensure the existing 
standard of performance without requiring, directly or indirectly, 
manual controls. NHTSA has initiated work in these areas, including an 
internal evaluation of regulatory requirements as well as an ongoing 
research project with the Virginia Tech Transportation Institute 
(VTTI). The agency anticipates significant overlap between the 
standards identified and discussed in this ANPRM and the provisions and 
requirements identified by VTTI through its research activity and 
analysis. The comments received in response to this document will 
supplement the research to ensure that NHTSA is considering all 
stakeholders' perspectives when developing proposals to modify the 
existing FMVSSs.

II. Background

    NHTSA's primary exercise of its regulatory authority under the 
National Traffic and Motor Vehicle Safety Act, as amended (``Safety 
Act''), involves the development, establishment, and enforcement of the 
FMVSSs.\4\ FMVSSs, including the tests they specify, must be: 
Practicable, both technologically and economically; objective, meaning 
that they must produce identical results when tests are conducted in 
identical conditions and determinations of compliance must be based on 
scientific measurements, not subjective opinion; and meet the need for 
safety.\5\ In addition, in issuing a FMVSS, the agency must consider 
whether the standard is reasonable, practicable, and appropriate for 
the types of motor vehicles or motor vehicle equipment for which it is 
prescribed.\6\ NHTSA possesses broad general rulemaking authority to 
issue regulations to assist in implementing the Safety Act.\7\
---------------------------------------------------------------------------

    \4\ 49 U.S.C. 30111.
    \5\ 49 U.S.C. 30102(a)(9), 30111(a).
    \6\ 49 U.S.C. 30111(b)(3).
    \7\ The National Traffic and Motor Vehicle Safety Act, as 
amended (Pub. L. 89-563, 80 Stat. 730) contained a section that 
authorized the Secretary to issue, amend, and revoke rules and 
regulations that the Secretary deemed necessary to carry out the 
subchapter (i.e., ``general rulemaking authority''). See S. Rep. No. 
91-559, at 3136, 3141 (1969) That section was repealed as surplus 
during codification. See 15 U.S.C.A. Sec.  1406. 49 U.S.C. 322(a) 
separately provides the Secretary with such authority. The Secretary 
has, in turn, delegated that authority to all modal Administrators. 
49 CFR 1.81 (a)(3).
---------------------------------------------------------------------------

    Manufacturers must certify that their motor vehicles comply with 
all applicable standards before the vehicles can be sold, offered for 
sale, introduced or delivered for introduction in interstate commerce, 
or imported into the United States.\8\ Generally speaking, 
certification to a standard means that the manufacturer, in exercising 
reasonable care, certifies that the vehicle meets the requirements of 
that standard, and that if the vehicle were to be tested according to 
the test procedures contained in the FMVSSs, the vehicle would meet or 
exceed the level of performance specified in the standard. That is, 
while NHTSA verifies that vehicles are compliant with the FMVSSs by 
conducting compliance tests as they are set forth in the FMVSSs and 
NHTSA's corresponding compliance test procedures, manufacturers are not 
required to follow the compliance test procedures, and, instead, simply 
may not certify a vehicle as compliant, if ``in exercising reasonable 
care, the [manufacturer] has reason to know the certificate is false or 
misleading in material respect.'' \9\ Absent an exemption or exception, 
ADS-DVs must comply with all applicable FMVSSs.\10\
---------------------------------------------------------------------------

    \8\ 49 U.S.C. 30115(a).
    \9\ Id.
    \10\ 49 U.S.C. 30112.
---------------------------------------------------------------------------

    As the federal agency charged with reducing crashes and deaths and 
injuries resulting from crashes on the nation's roadways,\11\ NHTSA is 
encouraged by the potential for safety improvements through new ADS 
technologies being developed by automobile manufacturers and other 
innovators. NHTSA anticipates that ADS-DVs can serve a vital safety 
role on the Nation's roads, particularly since human error and choice 
are critical factors behind the occurrence of a large number of 
crashes.\12\
---------------------------------------------------------------------------

    \11\ 49 U.S.C. 30101.
    \12\ See Critical Reasons for Crashes Investigated in the 
National Motor Vehicle Crash Causation Survey (February 2015), 
available at https://crashstats.nhtsa.dot.gov/Api/Public/ViewPublication/812115.
---------------------------------------------------------------------------

    However, for ADS technologies to develop fully, technological and 
regulatory barriers must be overcome. NHTSA wants to take this 
opportunity to reaffirm that, despite the use of the term ``regulatory 
barrier'' in this and other future documents, the existing FMVSSs 
neither have any provisions addressing the self-driving capability of 
an ADS nor prohibit inclusion of ADS components on a vehicle. Likewise, 
nothing in those standards poses testing or certification challenges 
for vehicles with ADSs so long as the vehicles have means of manual 
control and conventional seating, and otherwise meet the performance 
requirements of the FMVSSs. Thus, it is a manufacturer's design of a 
motor vehicle without manual driving controls, design of a motor 
vehicle with novel seating configurations or orientations, or a covered 
party's disabling of any part of a device or element of design of a 
motor vehicle or motor vehicle equipment that is currently in 
compliance with applicable FMVSSs, that could complicate the compliance 
of the vehicle to the existing FMVSSs \13\--not solely the inclusion of

[[Page 24436]]

the hardware and software that make up an ADS. For ADS-DVs not designed 
to ever be driven by a human, requiring installation of traditional 
manual controls results in unnecessary design restrictions and 
regulatory expense.
---------------------------------------------------------------------------

    \13\ A covered party is defined as a manufacturer, distributor, 
dealer, rental company, or motor vehicle repair business. 49 U.S.C. 
30122. Covered parties are prohibited from knowingly making 
inoperative any part of a device or element of design installed in a 
new or used motor vehicle or motor vehicle equipment in compliance 
with an applicable FMVSS. Id. The make inoperative prohibition 
contains an exception that applies when the covered party 
``reasonably believes'' the vehicle or equipment with the 
inoperative device or element will only be used ``for testing or a 
similar purpose during maintenance and repair.'' Id. NHTSA has 
additional exemption authority with regard to the ``make 
inoperative'' prohibition and may prescribe regulations to exempt a 
person or a class of persons from this prohibition if the Agency 
decides the exemption is consistent with motor vehicle safety and 
the purposes of the Act. 49 U.S.C. 30122(c). NHTSA has issued 
regulatory exemptions to the make inoperative prohibition for the 
installation of airbag on/off switches and other modifications to 
accommodate people with disabilities. 49 CFR part 595.
---------------------------------------------------------------------------

III. NHTSA's Efforts To Provide Guidance and Regulatory Certainty

    This ANPRM builds on NHTSA's efforts in recent years to identify 
and address regulatory barriers to ADS technologies. NHTSA has already 
taken steps to address technological barriers through the publication 
of agency guidance to ensure the safe development and deployment of ADS 
technologies. In September 2017, the DOT released the guidance document 
Automated Driving Systems 2.0: A Vision for Safety to provide guidance 
to the public, particularly industry stakeholders and the States. A 
Vision for Safety discussed 12 priority safety design elements for 
manufacturers and other innovators involved in ADS development, 
including vehicle cybersecurity, human machine interface, 
crashworthiness, consumer education and training, and post-crash ADS 
behavior. More recently, DOT released Preparing for the Future of 
Transportation: Automated Vehicles 3.0, a complementary document to the 
2017 guidance that introduces guiding principles that will support 
Departmental programs and policies and describes the DOT's multi-modal 
strategy to address existing barriers to safety innovation and 
progress. It also communicates DOT's agenda to the public and 
stakeholders on important policy issues and identifies opportunities 
for cross-modal collaboration. DOT's automation principles are: (1) We 
will prioritize safety; (2) We will remain technology neutral; (3) We 
will modernize regulations; (4) We will encourage a consistent 
regulatory and operational environment; (5) We will prepare proactively 
for automation; and (6) We will protect and enhance the freedoms 
enjoyed by Americans.
    NHTSA has also conducted research activities to help inform its 
decision-making with regard to identifying and resolving regulatory 
barriers. NHTSA, in collaboration with the Volpe National 
Transportation Systems Center, conducted a preliminary report 
identifying barriers to the compliance testing and self-certification 
of ADS-DVs without traditional manual controls. In March 2016, that 
report was published (the ``Volpe Report'').\14\ The report focused on 
FMVSS requirements that present barriers to the compliance testing and 
self-certification of ADS-DVs without traditional manual controls 
because they refer to a human driver.\15\
---------------------------------------------------------------------------

    \14\ Kim, Perlman, Bogard, and Harrington (2016, March) Review 
of Federal Motor Vehicle Safety Standards (FMVSS) for Automated 
Vehicles, Preliminary Report. US DOT Volpe Center, Cambridge, MA. 
Available at: https://rosap.ntl.bts.gov/view/dot/12260.
    \15\ The term `driver' is defined in Sec.  571.3 as follows: 
``Driver means the occupant of the motor vehicle seated immediately 
behind the steering control system.''
---------------------------------------------------------------------------

    Based on the Volpe Report findings, in 2017, NHTSA initiated work 
with VTTI to expand upon the work performed by Volpe by performing 
analysis and industry outreach to identify potential approaches for 
addressing compliance verification barriers.\16\ Through this contract 
with NHTSA, VTTI is going beyond the initial work in the Volpe Report 
and taking a broader look at possible modifications to the current 
FMVSS regulatory text and test procedures that would both maintain 
safety and ensure regulatory certainty for manufacturers of ADS-DVs 
without traditional manual controls. The VTTI project, as currently 
scoped, is separated into two phases. Phase I, which will include the 
technical translation of 30 FMVSSs and associated test procedures, 
concludes by the end of 2019. Phase II, which will focus on the 
remaining FMVSSs and associated test procedures, is expected to start 
in 2019 and conclude in mid-2021. These efforts are anticipated to 
inform NHTSA's decisions on updates to the FMVSSs.
---------------------------------------------------------------------------

    \16\ Contract No. DTNH2214D00328L/DTNH2217F00177, ``Assessment, 
Evaluation, and Approaches to Modification of FMVSS that may Impact 
Compliance of Innovative New Vehicle Designs Associated with 
Automated Driving Systems.'' The task award document states ``[t]he 
overall goal of this Task Order is to provide NHTSA findings and 
results needed to make informed decisions regarding the modification 
of FMVSS in relation to the certification and compliance 
verification of innovative new vehicle designs precipitated by 
automated driving systems.''
---------------------------------------------------------------------------

    In addition to these research efforts, NHTSA has also requested 
input from stakeholders through a January 2018 RFC to identify 
regulatory barriers in the FMVSS to the testing, compliance 
certification, and compliance verification of ADS-DVs without 
traditional manual controls.17 18 This ANPRM continues the 
discussion on topics covered in the January 2018 RFC. NHTSA also 
recently published an ANPRM requesting public input on a possible 
future national pilot program for the safe on-road testing and 
deployment of vehicles with high or full driving 
automation.19 20
---------------------------------------------------------------------------

    \17\ See the table in Appendix A for explanations of these 
terms.
    \18\ 83 FR 2607 (Jan. 18, 2018).
    \19\ 83 FR 50872 (Oct. 10, 2018).
    \20\ Deployment in this context refers to the manufacturing for 
sale, selling, offering for sale, introducing or delivering for 
introduction in interstate commerce, or importing of vehicles in the 
U.S.
---------------------------------------------------------------------------

    Finally, NHTSA has received and evaluated an interpretation request 
and petition for exemption that helped inform this document. The first 
was an interpretation request received from Google, to which the agency 
responded on February 4, 2016.\21\ The response covered a variety of 
Google's concerns relating to how it could certify a vehicle that does 
not include manual controls, such as a steering wheel, accelerator 
pedal, or brake pedal. The response also provided tables listing those 
standards that NHTSA could interpret Google's ADS as the ``driver'' or 
``operator,'' and a table listing those standards that NHTSA could 
interpret the human occupant seated in the left front designated 
seating position as the ``driver.'' \22\ The agency interpreted the 
term ``driver'' as applying to the ADS. Even so, NHTSA's response 
highlighted that interpreting the driver to be the ADS ``does not end 
the inquiry or determine the result''--many of the interpretive 
requests would require rulemaking and/or exemption for resolution.\23\
---------------------------------------------------------------------------

    \21\ Available at https://isearch.nhtsa.gov/files/Google%20-%20compiled%20response%20to%2012%20Nov%20%2015%20interp%20request%20-%204%20Feb%2016%20final.htm.
    \22\ Id.
    \23\ Id.
---------------------------------------------------------------------------

    The second request that helped inform this document is a petition 
for exemption from General Motors (GM), which the agency received on 
January 11, 2018.\24\ In that petition, GM categorized what they 
described as ``human-driver-based requirements'' into three categories: 
(1) Features designed to interface with a human driver, such as manual 
controls; (2) features designed to provide human drivers with 
information, such a telltales and indicator lamps; and (3) features to 
protect human occupants, such as air bags. GM's contention is that its 
ADS-DVs without traditional manual controls require only the third 
category of requirements. GM states that the ADS-DV provides the 
controls and information to the ADS, and that doing so meets the safety 
objectives of the FMVSS. Additionally, the GM petition states that 
their vehicle applies the occupant protection required for the

[[Page 24437]]

right front seating position to the left front seating position.
---------------------------------------------------------------------------

    \24\ Information available at: https://www.nhtsa.gov/laws-regulations/petitions-nhtsa.
---------------------------------------------------------------------------

    Based on these efforts, NHTSA has determined that most of the 
potential regulatory barriers to the certification of ADS-DVs without 
traditional manual controls in the 100-series FMVSSs fall into three 
categories: (1) The standard requires a manual control; (2) the 
standard specifies how the agency will use manual controls in the 
regulatory description of how it will test for compliance; or (3) the 
definition or use of particular terms (e.g., ``driver'') become so 
unclear that clarification is necessary before certification and 
compliance verification testing is possible.
    To address these barriers, NHTSA considered stakeholder input and 
conducted an internal analysis of the translations of the regulatory 
text necessary to remove barriers, and has identified in the ANPRM a 
number of regulatory approaches for how to amend the FMVSSs to 
accommodate compliance verification of ADS-DVs without traditional 
manual controls. Using two primary crash avoidance standards as 
illustrative examples, this ANPRM provides a discussion of the first 
two identified categories of potential regulatory barriers.
    Removal of barriers posed by references to traditional manual 
controls in the standards or test procedures, however, does not resolve 
all issues, as NHTSA itself must still be able to test these vehicles 
to ensure their compliance. This ANPRM, therefore, provides several 
alternative compliance verification test methods that commenters 
briefly mentioned in their comments. NHTSA has made no judgment at this 
time regarding which compliance verification test method would be best 
for addressing the particular regulatory barriers, if any, and expects 
that it may be possible that the feasibility, including meeting the 
requirements of the Safety Act, of a particular compliance strategy 
would depend on the context in which it is used. It is NHTSA's hope 
that the feedback received in response to this ANPRM will support this 
and future rulemaking activities and clarify the compliance methods 
that would best address any crash avoidance regulatory barriers that 
may exist today.

IV. Stakeholder Feedback

    On January 18, 2018, the agency issued an RFC seeking public 
comments to identify regulatory barriers in the existing FMVSS to the 
testing, compliance certification, and compliance verification of motor 
vehicles equipped with ADS and certain unconventional interior designs 
(83 FR 2607). The agency received roughly 100 comment submissions to 
the RFC.\25\ Comments were received from a diverse group of 
stakeholders including safety advocates; trade associations; individual 
vehicle manufacturers; automotive suppliers; state and local government 
agencies; international standards organizations working groups; 
insurance/legal; research institutions; policy centers; consultants; 
workers'/union representatives; and individuals. In addition, to 
support the RFC, NHTSA held a public meeting on March 6, 2018 (83 FR 
6148) in Washington, DC, at which VTTI presented an overview of their 
NHTSA-funded project focused on the development of options for 
potential FMVSSs and compliance test procedure revisions.
---------------------------------------------------------------------------

    \25\ Docket No. NHTSA-2018-0009.
---------------------------------------------------------------------------

    Comments were requested in two main areas: (1) Barriers to testing, 
certification, and compliance verification and (2) research needed to 
address those barriers and NHTSA's role in conducting such research. 
Topics discussed by commenters included, for example, suggestions for 
regulatory strategies for ADS-DVs without traditional manual controls; 
specific barriers; suggestions about the use of interpretations and 
exemptions to remove regulatory barriers; importance of maintaining and 
ensuring safety for all road users; activities being conducted by 
industry standard organizations; potential impacts to the environment 
and the workforce; considerations from local and state government 
organizations; data acquisition, use and protection; research needs; 
among others. Input received from these stakeholders, as it relates to 
the focus of this ANPRM, is included and referenced throughout this 
document. A brief summary of comments follows.
    Vehicle manufacturers and technology companies suggested that NHTSA 
consider all regulatory tools in the near term, including 
interpretations and exemptions, to address regulatory uncertainty 
instead of relying on the notice and comment rulemaking process. While 
NHTSA is utilizing these processes, where appropriate, the agency is 
concurrently pursuing regulatory action to address issues that require 
changes to the regulatory text.
    Some safety advocates stated that, before removing regulatory 
barriers, new FMVSSs are needed for ADSs to avoid unintended safety 
consequences. Vehicle manufacturers and technology companies also 
generally stated that NHTSA should focus on conventional vehicles 
equipped with ADSs first, and that barriers unaffected by the absence 
or presence of traditional manual controls could be addressed later. 
Further, there was some disagreement amongst commenters regarding which 
FMVSSs should be retained, even for ADS-DVs without traditional manual 
controls.
    The agency agrees that the existing FMVSSs neither have provisions 
addressing the capabilities of ADSs nor prohibit ADS hardware or 
software, but believes that unique aspects of ADSs warrant further 
research to assess how to best structure any new regulation in a way 
that appropriately addresses safety issues. Accordingly, the agency's 
focus in this document is on the narrower question of how to amend the 
FMVSS to safely permit ADS-DVs without traditional manual controls . . 
. The agency, therefore, discusses an approach to address challenges 
for crash avoidance standards, with an emphasis on what the agency 
could do to clarify how it will conduct compliance verification testing 
for the two previously identified categories of barriers.
    The agency also received comments on other topics such as data, 
cybersecurity, and impact of ADS-DVs without traditional manual 
controls on traffic congestion, transit, land use, the environment, 
jobs, and training. Although, not the focus of this document, the 
agency has reviewed and appreciates stakeholders' perspectives on these 
topics. Other NHTSA and DOT activities, including the Pilot Program for 
Collaborative Research on Motor Vehicles with High or Full Driving 
Automation ANPRM, Study on the Impacts of Automated Vehicle 
Technologies on the Workforce, and voluntary guidance documents, are 
examining some of these issues and may inform future regulatory 
proposals.

V. Addressing Barriers in the FMVSS

    In the ANPRM, NHTSA furthers the discussion begun in the RFC by 
seeking comment on potential strategies to safely address regulatory 
barriers to the compliance verification of ADS-DVs without traditional 
manual controls. Because the agency believes that safety should be the 
primary focus of its efforts to address barriers to ADS-DVs, we ask 
that commenters explain how the use of the different regulatory 
approaches discussed in this document would affect vehicle safety.
    In this section, the agency describes and provides illustrative 
examples of the two predominant categories of regulatory barriers to 
compliance

[[Page 24438]]

certification that exist in the crash avoidance standards.
    The crash avoidance standards, located in the FMVSS 100-series, are 
designed to reduce the likelihood of a crash occurring or, failing 
that, reduce the severity of a crash by reducing the velocity of 
vehicles involved in a crash. This is in contrast to the agency's 
crashworthiness standards, located in the FMVSS 200-series, which are 
designed to reduce the risk of injury to occupants in a crash. Thus, 
the most prominent historical examples of crash avoidance standards 
concern: Lighting, mirrors and other measures to enhance visibility; 
braking requirements; and measures related to tires. More recently, 
this category of standards includes the agency's requirements that rely 
on advanced safety systems, including electronic stability control 
(ESC), rear visibility systems, and sound alerts for pedestrians, as 
these technologies, like more advanced ADS technologies, are designed 
to decrease the likelihood of a crash.
    The agency has established that most of the barriers within the 
crash avoidance standards fall into one of the following three types:
    1. The standard requires a manual control.
    2. The standard specifies how the agency will use manual controls 
in the regulatory description of how it will test.
    3. The definition or use of terms (e.g., ``driver'') in the FMVSS 
that assume human control of vehicles.
    The following sections discuss these first two types of barriers by 
focusing on a prominent example of each barrier and how the agency 
could address this type of barrier. The third type of barrier has 
impacts on all of NHTSA's standards, and therefore will be addressed in 
the agency's future documents.

A. Example #1 (FMVSS No. 135): Manual Control Required

    The first type of barrier to the compliance verification of an ADS-
DV without traditional manual controls is when a safety standard 
directly requires a manual control be provided in the vehicle.
    FMVSS No. 135, ``Light vehicle brake systems,'' provides an 
illustrative example of a standard that serves as a potential barrier 
because it requires that vehicles be equipped a manual control and 
requires that this manual control be used to test compliance. 
Specifically, per FMVSS No. 135, S5.3, all light vehicles must be 
equipped with service brakes that ``shall be activated by means of a 
foot control.''
    Evaluation and discussion of this barrier is not new--NHTSA's 
interpretation letter to Google stated that the agency would need to 
commence rulemaking to consider an amendment to FMVSS No. 135.\26\ The 
agency is carefully assessing the overall safety impacts of removing 
any potential barriers in FMVSS No. 135.
---------------------------------------------------------------------------

    \26\ https://isearch.nhtsa.gov/files/Google%20-%20compiled%20response%20to%2012%20Nov%20%2015%20interp%20request%20-%204%20Feb%2016%20final.htm.
---------------------------------------------------------------------------

    RFC Comments: A number of commenters to the RFC specifically 
discussed the FMVSS No. 135 ``foot control'' requirement as a potential 
barrier to the design of their ADS-DVs without traditional manual 
controls. Overall, many of the industry commenters requested that NHTSA 
remove the reference to a foot control. However, other commenters, 
including some safety advocates, requested that NHTSA focus its efforts 
on creating additional standards to regulate the ADS rather than 
removing or modifying components of current standards. Some commenters 
also requested that NHTSA examine any risks associated with permitting 
the removal of brake system controls and advocated for a holistic 
assessment of all risks each FMVSS mitigates.
    NHTSA's Preliminary Analysis: To consider how best to address a 
regulatory barrier such as that imposed by the FMVSS No. 135 ``foot 
control'' requirement, NHTSA believes it is important to first consider 
the safety purpose of the standard. For example, the stated purpose of 
FMVSS No. 135 is to ``ensure safe braking performance under normal and 
emergency driving conditions.'' \27\ A foot-controlled brake serves 
several interests. First, it ensures that a driver can decelerate the 
vehicle while maintaining maximum control over the steering input. 
Second, it ensures that a driver will always know that brakes are 
actuated by foot controls. Third, absent power brake technology, a 
driver can apply more force with a foot pedal than by using a hand-
operated control. Some of these interests are less relevant today than 
in the past. For example, power brake technology can substantially 
reduce the force required to actuate the service brakes and is found in 
the vast majority of new vehicles produced today.
---------------------------------------------------------------------------

    \27\ 49 CFR 571.135.
---------------------------------------------------------------------------

    In considering whether to remove a requirement for a manual control 
such as a foot-actuated service brake control, it is critical to 
consider broader impacts on safety. Specifically, in order to assess 
the overall impact of removing the requirement that service brakes be 
operated by foot control, NHTSA must consider the reasoned expectation 
that a human driver will reliably use the service brakes to avoid 
obstacles.
    Thus, NHTSA is considering four possible approaches to address 
requirements for manual controls such as the foot-actuated brake pedal 
requirement in FMVSS No. 135. As these are general approaches to this 
issue, they are not intended to address specific standards, which may 
have underlying statutory mandates that could limit the agency's 
flexibility.
     First, if the required control is necessary for motor 
vehicle safety on all vehicles, NHTSA would retain the requirement for 
all vehicles, even if that requires potentially redundant technologies 
for certain ADS-DVs without traditional manual controls.
     Second, if the required control is no longer necessary for 
motor vehicle safety for any vehicle, NHTSA could remove or otherwise 
modify the requirement, if permitted to by law.
     Third, if the required control is still necessary for 
motor vehicle safety for traditional vehicles, but not necessary for 
the safety of ADS-DVs without traditional manual controls, NHTSA could 
retain the requirement only for traditional vehicles and, if permitted 
by law, exclude ADS-DVs without manual controls.
     Fourth, if the required control is necessary for motor 
vehicle safety, but a different control (i.e., a non-human-actuated 
control) would be necessary for an ADS-DV to perform the same function, 
NHTSA may retain the existing requirement for traditional vehicles, but 
have a separate, different control or equipment requirement for ADS-DVs 
without traditional manual controls.

B. Example #2 (FMVSS No. 126): Existing Test Procedures That Cannot Be 
Executed Absent Traditional Manual Controls

    The second type of barrier is when the test procedure for a 
standard specifies how the agency will use manual controls in the 
regulatory description of how it will test vehicles' compliance with 
the performance requirements of an FMVSS, even though the standard 
itself does not require a manual control. Typically, NHTSA's safety 
standards outline performance requirements that must be met under 
certain test procedures and NHTSA will conduct compliance verification 
tests in accordance with these procedures. Some descriptions of how 
NHTSA will conduct a FMVSS compliance verification test reference 
controls that

[[Page 24439]]

are not present on ADS-DVs without traditional manual controls, or not 
provided in the same capacity as a vehicle with manual controls.
    An example of this type of barrier is in FMVSS No. 126; Electronic 
Stability Control (ESC) Systems for Light Vehicles. The purpose of 
FMVSS No. 126 is to reduce the numbers of deaths and injuries that 
result from crashes in which the driver loses directional control of 
the vehicle, including those resulting in vehicle rollover, by 
requiring that vehicles be installed with an ESC system that meets the 
performance requirements established in the standard.\28\ The FMVSS, 
therefore, is about the performance of the ESC system, not any 
traditional manual control. However, the compliance test included in 
the regulation states that ``a steering machine programmed to execute 
the required steering pattern must be used.'' \29\ This paragraph says 
that the agency will use a steering machine, which mounts to the 
vehicle steering wheel and, through computer programming, is used to 
apply steering inputs at specific magnitudes, rates, and timing, when 
conducting the tests within the ESC standard. This requirement is based 
on the assumption at the time of the standard's promulgation that all 
vehicles subject to FMVSS No. 126 would have steering wheels. However, 
for an ADS-DV without a traditional steering wheel, the manufacturer of 
the vehicle is left without the necessary information as to how the 
agency will conduct a compliance verification test, and therefore, 
lacks the regulatory certainty it would normally have when conducting 
its certification testing for a traditional vehicle. Further, NHTSA 
would also not be able to conduct its own compliance test. Thus, in 
this scenario, it is impossible to determine whether the ESC is 
adequately functioning.
---------------------------------------------------------------------------

    \28\ 49 CFR 571.126.
    \29\ 49 CFR 571.126, S6.3.5.
---------------------------------------------------------------------------

    RFC Comments: Several commenters provided feedback on possible 
alternate test methods to verify compliance with FMVSS No. 126. Many of 
these comments concerned how compliance could be verified once the 
agency has determined how to modify the test procedure to remove the 
reference to the traditional manual control. These issues are addressed 
in the following section. With regard to how the procedures themselves 
could be modified, some commenters suggested that the agency focus on 
identifying alternate performance criteria to address the safety intent 
of the standard using different metrics (i.e., lateral displacement, 
peak yaw rate, and instant yaw rate). Specific to the ESC test, one 
commenter suggested an alternate metric to steering wheel angle 
suggested by commenters was the angle of the front wheels relative to 
the longitudinal axis of the vehicle. Other commenters suggest that, 
instead of making substantial changes to existing standards, NHTSA 
should consider issuing a separate set of standards specifically for 
ADS-DVs.
    NHTSA's Preliminary Analysis: Considering the FMVSS No. 126 example 
above, the purpose of this standard is to ``reduce the number of deaths 
and injuries that result from crashes in which the driver loses 
directional control of the vehicle, including those resulting in 
vehicle rollover.'' That is, the agency did not promulgate the rule for 
the purpose of requiring a steering wheel or regulating the performance 
of the steering wheel, but used the equipment it reasonably anticipated 
at the time would be included in any of the vehicles for which ESC 
would be required. The agency tentatively believes that other standards 
that present similar types of barriers were also intended to address 
the performance of some other part of the vehicle, rather than the 
manual control. Therefore, the agency could modify the test procedure 
in such a way that removes or modifies the reference to the control 
without affecting the performance of the regulated aspect of the 
vehicle.
    There are numerous ways that this could be done. For example, if an 
ADS-DV lacks traditional manual controls but continues to have some way 
to control the vehicle (e.g., through a wireless application), the 
agency could revise the test procedure to reference alternative types 
of controls. Alternatively, it may be that these vehicles will also 
continue to have equipment that the agency can use to test the 
performance of a regulated component. For example, although vehicles 
without traditional manual controls will not have a steering wheel, 
they will have a steering system that controls the directional motion 
of the vehicle based on inputted path or destination information.\30\ 
NHTSA may be able to identify a different point within the steering 
system at which the magnitude of a turn can be measured. If such a 
point can be identified and a means of commanding the translated input 
to the vehicle can be developed, NHTSA could conduct the ESC compliance 
test in the same manner as it is done on vehicles with steering wheels. 
NHTSA requests comment on this analysis and possible approaches for 
addressing test procedures that presume the presence of manual 
controls, such as the steering wheel angle portion of FMVSS No. 126. 
Another approach may be to identify and evaluate other relevant 
performance metrics. For example, replacing the steering wheel angle 
requirements with a wheel angle requirement. Further, the agency could 
more dramatically revise the standard to address the performance of the 
regulated feature or component by considering the safety intent of the 
standard. For example, for ESC, the safety intent is to reduce deaths 
and injuries from crashes in which the driver loses directional control 
of the vehicle. If NHTSA took this type of broad view, it could 
potentially replace the sine-with-dwell maneuver with some type of road 
course that would assess the ADS-DV's ability to steer to avoid 
obstacles, potentially including a variant of the sine-with-dwell 
maneuver, thereby testing the associated lateral accelerations, yaw 
rates, etc. However, to develop an objective, repeatable road course to 
replace the sine-with-dwell maneuver and adequately evaluate a 
vehicle's ESC system would require considerable research, so other 
nearer-term solutions would still need to be considered.
---------------------------------------------------------------------------

    \30\ Separately, FMVSS No. 203; ``Impact protections for the 
driver from the steering control system'' defines a steering control 
system as ``the basic steering mechanism and its associated trim 
hardware, including any portion of a steering column assembly that 
provides energy absorption upon impact. SAE documents refer to 
``lower steering system'', the ``upper steering system'', ``power 
assist systems,'' and ``advanced steering systems.'' The lower 
steering system includes, but is not limited to, the wheel end, 
suspension geometry, linkages, and steering gear. The upper steering 
system includes, but is not limited to, the steering column and 
intermediate shaft. The power assist system includes, but is not 
limited to, any hydraulic, electro-hydraulic, and electric power 
steering functionalities. Finally, the advanced steering systems 
include, but are not limited to, rear wheel steer, active front 
steer, active park assist, and other driver assistance systems. See 
SAE C0716 ``Fundamentals of Steering Systems,'' available at https://www.sae.org/learn/content/c0716/.
---------------------------------------------------------------------------

    The agency seeks comment on the feasibility of these and other 
approaches, including explanation of how any potential changes to the 
regulatory text will affect vehicle safety.\31\
---------------------------------------------------------------------------

    \31\ The agency understands that FMVSS No. 136, Electronic 
Stability Control for Heavy Vehicles, presents similar issues as 
those discussed for FMVSS No. 126.
---------------------------------------------------------------------------

C. Additional Barrier Examples

    The above two examples demonstrate different types of barriers that 
exist for manufacturers interested in certifying ADS-DVs that lack 
traditional manual

[[Page 24440]]

controls to existing requirements in the FMVSSs. These barriers are not 
mutually exclusive, as a particular standard could include both types 
of barriers.
    The agency has tentatively identified the types of barriers in the 
following provisions: In FMVSS No. 108, hazard warning signal flashers 
and operating units, beam switching devices, and turn signal operating 
units; in FMVSS No. 114, depressing the brake pedal and references to 
the parking brake; in FMVSS No. 138, driving the vehicle on the Uniform 
Tire Quality Grading (UTQG) public roadways as part of the compliance 
test procedure; as well as similar provisions in the standards that 
apply specifically for heavy vehicles, including FMVSS No. 105, 121, 
and 136. See the table below categorizing each of these additional 
examples by the type of barrier it represents.

------------------------------------------------------------------------
                                                       Barrier type 2--
                                  Barrier type 1--    specifies the use
                                 requires a manual    of manual controls
                                      control          in  a compliance
                                                        test procedure
------------------------------------------------------------------------
FMVSS No. 108:
    Hazard warning signal                        X                    X
     flasher or operating unit
    Beam switching device.....                   X                    X
    Turn signal operating unit                   X                    X
FMVSS No. 114:
    Reference to parking brake  ...................                   X
    Depressing the brake pedal                   X   ...................
FMVSS No. 138:
    Driving the vehicle on the  ...................                   X
     UTQG public roadways as
     part of the compliance
     test procedure...........
FMVSS No. 105:
    Reference to a specific                      X   ...................
     device that reduces
     operator effort and
     mentions muscular force
     in the definition of
     brake power assist.......
    Manual control to be used   ...................                   X
     during testing of the
     hydraulic and electric
     brake systems............
FMVSS No. 121:
Mention a ``service brake                        X                    X
 control''....................
Mentions ``actuation of the                      X                    X
 parking brake control''......
Parking brake control--trucks                    X                    X
 and buses. The parking brake
 control shall be separate
 from the service brake
 control. It shall be operable
 by a person seated in the
 normal driving position. The
 control shall be identified
 in a manner that specifies
 the method of control
 operation. The parking brake
 control shall control the
 parking brakes of the vehicle
 and of any air braked vehicle
 that it is designed to tow...
FMVSS No. 136:................
Transmission and Brake          ...................                   X
 Controls. The transmission
 selector control is in a
 forward gear during all
 maneuvers. A vehicle equipped
 with an engine braking system
 that is engaged and
 disengaged by the driver is
 tested with the system
 disengaged...................
------------------------------------------------------------------------

    The agency has a series of questions relating to the examples 
listed above in this section and to the next section. Thus, the 
questions will be listed after the following section.

VI. Possible Approaches To Revising Crash Avoidance Test Procedures

    The above discussion concerns how the agency could remove 
references to traditional manual controls in both the standards and 
test procedures. However, that begs the question: once vehicles no long 
have traditional manual controls, how will NHTSA be able to test them 
to ensure that they meet the revised standards? Without traditional 
controls, NHTSA will have to confront such varied issues as: how to get 
a vehicle it purchases for compliance testing from the test facility; 
how it will direct the vehicle to perform the required test procedure; 
how it will deal with a vehicle whose ODD does not include a test 
facility; and so on.
    Below are several general approaches NHTSA could consider in 
developing a document proposing to amend the existing 100-series FMVSS 
requirements and test procedures for ADS-DVs without manual controls in 
a way that allows NHTSA to conducts testing for vehicles that are not 
required to have traditional manual controls. NHTSA developed these 
approaches in response to certain comments \32\ received in response to 
the January 2018 RFC, as well as NHTSA's own internal analysis. NHTSA's 
goal is to ensure that the testing methods it specifies for its use in 
testing ADS-DVs without traditional manual controls are practicable and 
objective, and otherwise meet the requirements of the Safety Act.
---------------------------------------------------------------------------

    \32\ The agency's discussions of those approaches do not include 
a summary of what the commenters said about the approaches. This is 
because the commenters simply identified them; they did not describe 
them or explore of their possible advantages/disadvantages. Where 
possible, the agency does provide a citation to an example of the 
comments that mention one or more of those approaches.
---------------------------------------------------------------------------

    The agency requests comment on the following approaches: (1) Normal 
ADS-DV operation; (2) Test Mode with Pre-Programmed Execution (TMPE); 
(3) Test Mode with External Control (TMEC); (4) Simulation; (5) 
Technical Documentation for System Design and/or Performance Approach; 
and (6) Use of Surrogate Vehicle with Human Controls. The agency also 
requests comment on whether any additional alternatives are possible. 
In addition to answers to the questions that appear after the 
discussion of each approach, NHTSA requests that commenters answer 
these questions for each of the approaches:
    1. What are the possible advantages and disadvantages of each 
approach?
    2. Discuss whether each approach fits the requirements and criteria 
of the Safety Act and enables effective enforcement of the FMVSSs. 
Explain the basis for your answers.
    3. Can more than one of these approaches be specified by the agency 
as alternative ways for the agency to determine compliance with the 
same requirement in the same FMVSS? If so, please describe how this 
could be done consistent with the Vehicle Safety Act, using one or more 
specific FMVSS requirements as illustrative examples. If more than one 
approach could be specified for the same requirement in the same FMVSS, 
do commenters believe that the agency, in assessing

[[Page 24441]]

compliance with the same requirement in the same FMVSS, choose one 
approach for one vehicle model, but another approach for a different 
model? If so, explain why.
    4. If only one of these approaches can be used to enforce a 
particular FMVSS requirement, what factors should be considered in 
selecting that approach? What policy or other considerations should 
guide the agency in choosing one alternative approach versus another 
for determining the compliance of a particular vehicle or item of 
equipment?
    5. With respect to any single approach or combination of 
approaches, could it be ensured that the compliance of all makes and 
models across the industry is measured by the same yard stick, i.e., 
that all vehicles are held to the same standard of performance, in 
meeting the same FMVSS requirement?
    6. What other potential revisions or additions to terms, in 
addition to `driver', are necessary for crash avoidance standards that 
NHTSA should consider defining or modifying to better communicate how 
the agency intends to conduct compliance verification of ADS vehicle.
    7. Should NHTSA consider an approach to establish new definitions 
that apply only to ADS-DVs without traditional manual controls?
    8. For compliance testing methods involving adjusting current test 
procedures to allow alternative methods of controlling the test vehicle 
during the test (normal ADS-DV function, TMPE, TMEC), or to allow the 
use of a surrogate vehicle:
    a. How could NHTSA ensure that the test vehicle's performance using 
the compliance method is an accurate proxy for the ADS-DV's performance 
during normal operation?
    b. If NHTSA were to incorporate the test method into its test 
procedures, would NHTSA need to adjust the performance requirements for 
each standard (in addition to the test procedures) to adequately 
maintain the focus on safety for an ADS-DV?
    9. For compliance testing methods that replace physical tests with 
non-physical requirements (simulation, documentation):
    a. If the test method is used to determine compliance with a real-
world test, how can NHTSA validate the accuracy of a simulation or 
documentation?
    b. If NHTSA must run real-world tests to validate a simulation or 
documentation, what is the advantage of non-physical requirements over 
these other compliance methods?
    10. Would non-physical requirements simply replicate the existing 
physical tests in a virtual world? If not, what would be the nature of 
the non-physical requirements (that is, what performance metrics would 
these requirements use, and how would NHTSA measure them)? Are there 
ways that NHTSA could amend the FMVSSs to remove barriers to ADS-DVs 
that would not require using the compliance test methods described in 
below?
    a. Are there any barriers in the FMVSS or NHTSA's test procedures 
that could be addressed by altering or removing references to manual 
controls in the test procedures without substantively changing the 
FMVSS performance requirement?
    b. Are there any changes that NHTSA could make to the FMVSS test 
procedures that could incorporate basic ADS capabilities to demonstrate 
performance, such as using an ADS-DV's capability to recognize and obey 
a stop sign to test service brake performance?
    11. What research or data exists to show that the compliance test 
method would adequately maintain the focus on ADS-DV safety? What 
modifications of the safety standards would be necessary to enable the 
use of the test method?

A. Normal ADS-DV Operation

    One possible approach for vehicle manufacturers to use for self-
certification, and the agency to use for compliance verification, is 
the ``Normal ADS-DV Operation'' approach. This approach involves 
operating the ADS-DV without traditional manual controls ``as-is'' with 
no extra programming and/or installation of any kind of manual controls 
for test maneuver execution. The ADS would be in control of the vehicle 
during compliance testing with all of its operational restrictions and 
decision-making capabilities in place. In its most basic form, 
compliance verification using Normal ADS-DV Operation would require the 
engineer performing the compliance test to input an appropriate 
destination using the same input method indicated by the ADS-DV's 
manufacturer for real-world operation. Vehicle performance would be 
observed and assessed during the period of normal on-road vehicle 
operation.
Analysis
    The Normal ADS-DV Operation approach may provide the most 
``realistic'' representation of how the vehicle would perform during 
normal use. This approach could allow NHTSA to continue acquiring 
vehicles in the same way that U.S. consumers do, from commercial 
dealerships, and testing actual vehicles to verify they meet the FMVSS 
requirements.\33\ NHTSA is interested in maintaining its policy to buy 
and test new production vehicles from dealership lots, to the extent 
possible. NHTSA believes that there are several test requirements in 
the FMVSSs for which Normal ADS-DV Operation may be a feasible 
compliance option if certain assumptions are correct. For example, the 
FMVSS No. 138 procedure for testing a vehicle's tire pressure 
monitoring system requires that the test vehicle is driven on a 
specific public roadway for a specified distance at the posted roadway 
speeds. During the test, the vehicle is stopped along the way to reduce 
tire inflation pressure and then driven again until a low inflation 
pressure indication is obtained. This test procedure could be modified 
to permit use of the Normal ADS-DV Operation approach for ADS-DVs by 
allowing the driving portion of the test to be performed by the ADS, 
which would be commanded by the test engineer using the ADS-DV's normal 
input method to select a destination.
---------------------------------------------------------------------------

    \33\ This statement assumes that ADS-DVs will be sold or leased 
to individual owners, similarly to how traditional vehicles are 
sold. This assumption may be incorrect if the majority of ADS-DVs 
are used as rideshare vehicles.
---------------------------------------------------------------------------

    The primary drawback to the Normal ADS-DV Operation approach for 
ADS-DVs that lack manual controls is that its application is limited to 
test procedure requirements capable of being performed within the 
Operational Design Domain (ODD) \34\ of the ADS. As such, tests 
involving vehicle maneuvers or operation at speeds, locations, or other 
operating conditions not experienced within the vehicle's ODD could not 
be performed using this method. For example, a vehicle whose ODD does 
not include the specified test track for the above TPMS test, whether 
for geographic or road-type restrictions, could not use this approach 
to conduct the test. Another drawback of this approach, which several 
of the alternatives below attempt to correct, is that, even if a 
vehicle's ODD could allow it to perform a test, the vehicle may not be 
equipped with the controls necessary to allow NHTSA to actually conduct 
the test.
---------------------------------------------------------------------------

    \34\ The ODD is the operating conditions under which a given 
driving automation system or feature thereof is specifically 
designed to function, including, but not limited to, environmental, 
geographical, and time-of-day restrictions, and/or the requisite 
presence or absence of certain traffic or roadway characteristics. 
SAE J3016_201806 Taxonomy and Definitions for Terms Related to 
Driving Automation Systems for On-Road Motor Vehicles.
---------------------------------------------------------------------------

    For NHTSA to evaluate the feasibility of the Normal ADS-DV 
Operation approach for compliance verification,

[[Page 24442]]

the agency would need more information about the extent to which an 
ADS-DV can be controlled under normal operation. In addition, it is 
possible that normal control could be used on some vehicles but not on 
others, since manufacturers may implement different methods for vehicle 
operators to communicate with and command the vehicle to accomplish on-
road driving. To the extent that some but not all ADS-DVs could be 
designed to allow for this type of testing, at least for certain 
standards, it may be challenging for NHTSA to design appropriately 
objective standards to cover all ADS-DVs. To address these issues, 
NHTSA believes it is essential to better understand how operators will 
interface with and operate these ADS-DVs without traditional manual 
controls under normal conditions.
    To better understand the ``Normal ADS-DV Operation'' approach and 
its possible applications, the agency asks the following questions.
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    12. What design concepts are vehicle manufacturers considering 
relating to how an ADS-DV passenger/operator will interface with, or 
command (e.g., via verbal or manual input), the ADS to accomplish any 
driving task within its ODD? Please explain each design concept and 
exactly how each would be commanded to execute on-road trips.
    13. Are there specific challenges that will be encountered with 
this kind of approach for vehicle compliance verification? Please be 
specific and explain each challenge.
    14. Will all ADS-DVs without traditional manual controls be capable 
of receiving and acting upon simple commands not consisting of a street 
address based destination, such as ``drive forward or backwards a 
distance of 10 feet and stop''; ``shift from park to drive and 
accelerate to 25 mph''; ``drive up onto a car hauler truck trailer''; 
etc.? Please explain projected challenges for ADS-DVs without 
traditional manual controls to complete discrete driving commands and 
tasks.
    15. How would NHTSA ensure that the performance of the ADS-DV 
during testing is consistent with how the vehicle would perform during 
actual normal use?

B. Test Mode With Pre-Programmed Execution (TMPE)

    A TMPE is an approach to compliance testing in which the 
manufacturer programs into the ADS-DV a test mode that gives the test 
engineer access to a pre-programmed ``compliance test library'' from 
which pre-programmed testing scenarios can be selected and executed. 
The testing programs in the compliance library would be used to 
automatically perform the driving actions necessary for each applicable 
FMVSS compliance test. Pre-programmed execution is conceptually similar 
to that achieved via use of an external controller, discussed in detail 
below, in that it involves specific commands being sent to the ADS for 
purposes of executing compliance test procedures, with the key 
difference being the source of the commands. TMPE-based tests would be 
performed by using a manufacturer-installed suite of compliance testing 
programs; no external controller interface with the ADS-DV would be 
required to perform specified FMVSS compliance tests. A means of 
maneuvering the vehicle for purposes other than compliance tests may be 
necessary to load it onto or off of a transport vehicle and to move it 
in areas not part of its ODD, such as between a garage and test course 
at a compliance test facility.
Comments
    While GM and ZF Group (ZF) briefly suggested that concepts similar 
to TMPE may be a viable approach, Mercedes and the Alliance of 
Automobile Manufacturers (Alliance), who discussed TMPE in greater 
detail, raised a number of potential problems that NHTSA believes may 
need to be addressed for it to be a viable method for compliance 
testing. Both Mercedes and the Alliance noted that pre-programmed 
execution may not be possible for test procedures that require driving 
maneuvers that are outside of an ADS's ODD. For example, an ADS-DV that 
is designed to be operated by the ADS only at lower speeds, but that 
does not qualify as a low-speed vehicle as defined by 571.3 (allowing 
it to be subject to the limited performance requirements of FMVSS No. 
500), may lack the functionality to perform higher-speed maneuvers 
required for demonstrating compliance with certain standards (e.g., 
FMVSS Nos. 126; Electronic stability control systems and 135; Light 
vehicle brake systems). In addition, both Mercedes and the Alliance 
also raised the concern that the TMPE's test mode present a 
vulnerability for cybersecurity-related issues, and that issues such as 
providing mapping data for the specific proving grounds or other 
facilities at which test procedure is executed would need to be 
addressed.
Analysis
    TMPE may be useful for assessing FMVSS compliance with test track-
based performance requirements because it enables a test engineer to 
directly instruct an ADS-DV to execute the driving maneuvers necessary 
to perform the FMVSS test procedures. Since the ADS-DV would be 
programmed with the compliance library by the manufacturer at the time 
of production, compatibility of the commands within the library and 
vehicle being evaluated should be ensured (i.e., translation of the 
commands defined within the FMVSS test procedures to a format 
understood by the ADS is not required).
    TMPE also has the potential for streamlining the testing process. 
Rather than performing tests intended to characterize the ADS-DV 
without traditional manual controls (i.e., the brake application needed 
to activate ABS during an FMVSS No. 135 evaluation, or the steering 
input needed to achieve 0.3g during an FMVSS No. 126 assessment), the 
ADS-DV would be pre-programmed with testing information that presumably 
would precisely execute the FMVSS test procedures. In addition, NHTSA 
could validate (i.e., confirm that the characterization tests that 
provide the data needed to define the input parameters used to perform 
tests used in standards like FMVSS No. 126 and 135 have been correctly 
performed and have output the expected values) these pre-programmed 
configurations relatively easily by equipping the ADS-DV with 
conventional instrumentation during conduct of the FMVSS assessments in 
a manner consistent with that presently in use. NHTSA also imagines 
TMPE could be implemented at a relatively low cost, because 
manufacturers could simply program the vehicles' TMPE compliance 
library with the same compliance test programs the manufacturer uses 
for its own development testing.
    Notwithstanding these potential benefits, additional information 
regarding the way in which a pre-programmed FMVSS compliance test 
library may be implemented is needed to allow NHTSA to better 
understand the viability of the concept. For example, how would the 
test engineer responsible for performing the tests access the 
compliance library so they may select a specific test to perform? This 
could conceivably be via a ``test menu'' presented on an original 
equipment visual display within the ADS-DV. However, an OEM may not 
want to provide an obvious or visual means of accessing a pre-
programmed

[[Page 24443]]

compliance test library to minimize the opportunity for individuals not 
performing compliance testing to access the test library. If access to 
a test menu is not provided, some means of communicating with the 
vehicle to select and initiate specific tests will be necessary, such 
as through the use of an external controller. However, NHTSA 
understands that granting access to the ADS-DV by means of any external 
controller represents a potential security risk, and would therefore 
like to better understand the way(s) a test engineer may be expected to 
securely access the compliance library and test menu required for 
performing FMVSS evaluations.
    NHTSA also seeks to better understand transportation concerns with 
moving the vehicle to the desired test location and testing the vehicle 
at that location. The test areas used for FMVSS certification on test 
tracks and proving grounds can be very different than public roads and 
potentially outside the ODD of the test vehicle. Even if the ADS-DV is 
transported (i.e., not driven) to, and unloaded at, a designated test 
area, test instrumentation (and potentially the vehicle itself) 
typically requires a sequence of short driving maneuvers be performed 
to initialize vehicle- and instrumentation-based sensors, and for the 
vehicle to be positioned at a staging point that may not necessarily be 
the same day-to-day or even trial-to-trial. Should the vehicle need to 
return to the staging point after completion of a trial, it is expected 
that the return path will need to be made in accordance with test 
facility operating guidelines to safely avoid other traffic, and obey 
any direction of travel and facility use restrictions, etc. The return 
path may not necessarily be the most direct one.
    For the sake of maximizing test safety, it may be desirable to 
terminate a test performed with an ADS-DV if it is not being performed 
correctly, if the vehicle experiences a malfunction, or other traffic 
unexpectedly appears, etc. In some cases, it may be necessary to 
quickly brake the vehicle to a stop. One means of doing so could be 
through use of an emergency stop (E-stop) option within the test menu. 
To maximize the effectiveness of the E-stop, the mechanism would need 
to be quickly and easily accessible by the test engineer responsible 
for performing and/or observing test conduct. NHTSA is interested in 
better understanding the feasibility of incorporating an E-stop 
function into the ADS-DV for use during compliance testing, and what 
potential security risks doing so may introduce.
    While attempting to perform advanced driver assistance system 
(ADAS) and/or Level 2 automation system tests within the confines of a 
test track, NHTSA has observed that certain features of some test 
vehicles are not available due to the location where the tests occurred 
(e.g., GM's Super Cruise cannot be enabled within the confines of most 
test tracks since the roads at these facilities do not reside within 
the system's ODD). For this reason, NHTSA is interested in better 
understanding the feasibility of having vehicle manufacturers remove 
any geofence-based operating restrictions while the ADS-DV is being 
operated in a ``test mode'' intended to assess FMVSS compliance.
    One disadvantage of using an FMVSS compliance library with pre-
programmed tests not modifiable by the test engineer, is that test 
input characteristics would presumably be fixed and not able to be 
adjusted to be suitable for a particular test surface. Therefore, 
variation in test results across test locations in different geographic 
areas may be worse, since pre-programmed test inputs would be based on 
characterization tests (or even simulations) performed using a 
different test surface, etc. Better understanding the likelihood of 
this variability being great enough to affect maneuver severity is of 
interest to the agency. Also of interest is understanding what test 
tolerances an ADS-DV operating with commands from a compliance library 
may be expected to achieve. For example, FMVSS No. 126 requires a test 
maneuver entrance speed of 50  1 mph (80  2 km/
h).
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    16. How could engineers responsible for performing FMVSS compliance 
assessments of an ADS-DV without manual controls be expected to access 
and interface with the compliance test library menu?
    17. Would the FMVSS need to specify the libraries available to 
NHTSA to test the vehicle?
    18. Is it practical to expect that an ADS-DV without any 
traditional manually-operated controls can be safely and efficiently 
operated within the confines of a test track with only a pre-programmed 
test menu (i.e., without some form of external controller or other 
means of vehicle control input)?
    19. Can an ADS-DV be expected to perform within tight tolerance 
levels using the regular on-board sensors?
    20. How much variation in test results across various test 
locations (i.e., proving grounds) is expected to result from testing an 
ADS-DV equipped with the same FMVSS compliance library at different 
locations? Could the ability to satisfy FMVSS performance requirements 
depend on the location the tests are performed?
    21. Is it reasonable to assume any geofence-based operating 
restrictions could be suspended while the ADS-DV is operating in a 
``test mode'' intended to assess FMVSS compliance?
    22. How could vehicle-based electronically accessible libraries for 
conducting FMVSS testing be developed in a way that would allow NHTSA 
to access the system for compliance testing but not allow unauthorized 
access that could present a security or safety risk to an ADS-DV?
    23. Are there other considerations NHTSA should be aware of when 
contemplating the viability of programmed execution-based vehicle 
compliance verification?
    24. When changes or updates are made to the ADS, how will the TMPE 
content be updated to reflect the changes and how often would it be 
updated?

C. Test Mode With External Control (TMEC)

    The TMEC approach suggested by the commenters could largely 
maintain existing 100-series FMVSS test procedures, but allow for test 
procedure steps that require an action by a human driver (e.g., 
instructions relating to the accelerator or brake pedals) to be 
accomplished using an external controller that is not controlled by the 
ADS, but by a test engineer. This option is closely related to the pre-
programmed execution option also discussed in this ANPRM; however, 
rather than requiring the tests defined in FMVSS procedures be pre-
programmed within the vehicle, the commands used to perform the FMVSS 
test procedures (including, but not limited to, those associated with 
the steering wheel, accelerator pedal, brake pedal, and transmission 
shifter) would be sent to the ADS-DV via an external controller 
operated by a test engineer. Under this approach, the external 
controller sending the commands used to perform the FMVSS test 
procedures may be located inside or outside the vehicle and could be 
connected to the vehicle either wirelessly or through a physical 
connection, but would not be part of the vehicle itself. Instead, it 
would be a device either designed and provided to NHTSA by the 
manufacturer or, alternatively, a standard device designed by NHTSA.

[[Page 24444]]

Comments
    The external control approach was discussed by commenters GM and 
ZF, who both suggested that FMVSS compliance could be demonstrated by a 
human remotely piloting the vehicle. GM suggested that NHTSA could 
collaborate with industry to explore using external control devices and 
facilities that interact with the vehicle. ZF commented that ADS-DVs 
without traditional manual controls ``will have alternate methods of 
inputting driving commands for normal situations (e.g., to input an 
initial destination or route), and also for emergency situations (e.g., 
rerouting to a new destination, an emergency stop button for 
occupants), in order to provide its desired functionality and level of 
safety.''
Analysis
    Like a test mode with programmed execution, a test mode with 
external control would preserve an ability to assess FMVSS compliance 
with test track-based performance requirements because it enables a 
test engineer to directly instruct an ADS-DV to execute the driving 
maneuvers necessary to perform the FMVSS test procedures. NHTSA 
recognizes that some vehicle manufacturers may choose to include 
provisions to accept external controller functionality in their ADS-DVs 
so that the vehicle is able to navigate with areas outside of the ADS's 
ODD, such as during maintenance or on dealer lots.
    NHTSA assumes that an external controller for compliance test 
purposes could provide test engineers with control over all vehicle 
functions that are relevant to compliance verification and would 
provide a test engineer with a straight-forward way of selecting the 
desired tests and input parameters associated with the test being 
performed. However, there may be other advantages of an external 
controller. For example, external control capabilities that support 
manual operation (e.g., vehicle speed, steering or braking magnitude, 
transmission gear) could be used to safely facilitate transportation of 
the ADS-DV without manual controls between garages and to test pads or 
courses at compliance test facilities. During the conduct of compliance 
testing, an external controller could be used to command maneuvers used 
to initialize the test vehicle and/or test equipment, facilitate pre-
test staging, and could be configured to provide the test engineer with 
an E-stop function.
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    25. Is it reasonable to assume a common (universal) interface, 
translator, and/or communication protocol between an external 
controller and any ADS-DV will be developed?
    26. What is the most viable method for securely interfacing an 
external controller with the ADS-DV (e.g., wireless or physical 
access)?
    27. Could a means of manual control be developed that would allow 
NHTSA to access the system for compliance testing but not allow 
unauthorized access that could present a security or safety risk to an 
ADS-DV?
    28. Is it reasonable to assume any geofence-based operating 
restrictions could be suspended while an external controller intended 
to assess FMVSS compliance is connected to the ADS-DV?
    29. Are there other considerations NHTSA should be aware of when 
contemplating the viability of using an external controller-based 
vehicle certification?

D. Simulation

    Simulation is an approach for compliance verification by which 
NHTSA could verify that an ADS-DV complies with a FMVSS requirement 
using software or hardware-in-the-loop \35\ based evaluations rather 
than performing on-road or track-based tests with a complete physical 
vehicle. Simulations may be useful for determining how a modeled 
computer system will respond to a given set of inputs. The accuracy of 
a simulation strongly depends on its fidelity to the actual performance 
of the vehicle and validation of the models used to define it.
---------------------------------------------------------------------------

    \35\ Hardware-in-the-loop simulation is a type of simulation in 
which the control loop components are comprised of some real 
hardware parts and some simulated parts. R. Isermann, J. Schaffnit, 
S. Sinsel, Hardware-in-the-Loop Simulation for the Design and 
Testing of Engine-Control Systems, Algorithms and Architectures for 
Real-Time Control, Cancun, Mexico, 1998.
---------------------------------------------------------------------------

Comments
    Commenters to the RFC suggested that simulations could be 
particularly useful for certifying compliance with a performance 
standard like FMVSS No. 126, in which the purpose of the test is to 
ensure that the vehicle interprets sensor inputs properly, and that the 
vehicle translates those sensor inputs into outputs to the vehicle's 
driving functions that meet performance requirements. Mercedes noted 
that FMVSS No. 126 effectively already uses a simulation, since the 
required steering mechanism ensures that the vehicle receives a 
standardized set of steering inputs to limit variability. The Alliance 
also noted simulation as a possible ``short-term'' method of 
demonstrating FVMSS No. 126 compliance (as well as other FMVSS) and 
suggested that NHTSA should collaborate with industry stakeholders to 
develop a simulation ``tool,'' which NHTSA could validate as necessary.
    While some of the comments focused on a manufacturer's own ability 
to use simulation in its certification testing, NHTSA is primarily 
interested in learning more about how NHTSA could potentially use 
simulation to verify compliance, and whether this method is sufficient 
from a legal and technical perspective.
Analysis
    Historically, NHTSA has not used a simulation approach for crash 
avoidance FMVSS compliance verification because the most accurate, 
economical, and feasible means of conducting tests has been to perform 
them on a test track, thereby avoiding any questions of simulation 
accuracy. Furthermore, the agency believes there could be additional 
safety benefits of buying and testing actual production vehicles as 
delivered to the consumer, which in the past has identified test 
failures due to vehicle design changes and equipment malfunctions that 
would not ordinarily have been found during vehicle simulations. For 
simulations, it may not be possible to accurately model proprietary 
control algorithms like those within an ADS electronic control unit 
(ECU). Complex simulation models with many inputs (such as those that 
would be necessary to demonstrate compliance with many of the FMVSS) 
are expensive to develop and difficult to validate without performing 
the actual test that is being simulated.
    However, the agency acknowledges that simulation may play a larger 
role in future performance standards specific to ADS-DVs and other ADS-
equipped vehicles, because simulations could provide a practical and 
cost-effective means for evaluating a wide array of test and real-world 
operating conditions to which these vehicles will be exposed, and for 
which physical testing to a sufficient degree may be infeasible.
    For a simulation to be considered for compliance verification, 
there are a number of considerations that the agency believes must be 
accounted for. The most difficult aspect of using simulation as a 
compliance verification method is the validation of the models used. 
This is because a simulation

[[Page 24445]]

suitable for an accurate and representative assessment of an ADS-
equipped vehicle, whether it be an ADS-DV without traditional manual 
controls or one that could allow for manual control at times, would 
likely need to model both the vehicle (including but not limited to its 
chassis, drivetrain, suspension, brake system, tires, and ADS-relevant 
sensors, and any potential discrepancy between a modeled version of the 
vehicle and real-world production model) and the elements used to 
define the road surface and other characteristics of the environment in 
which the tests are performed. Accurate modelling by NHTSA would likely 
require the agency to incorporate vehicle-specific parameters and 
proprietary control algorithms, which may not be available for use by 
NHTSA and, if not available, would require extensive testing at a 
substantial cost for NHTSA to develop a model.
    As mentioned above, a key part of NHTSA's enforcement 
responsibilities includes buying and testing actual production vehicles 
to verify, ``as-sold'' to the public, that these vehicles meet the 
FMVSS requirements. These actual ``on-track'' tests are important to 
verify compliance but also to help identify a manufacturer's 
certification shortcomings (e.g., suspension design changes that 
inadvertently change the performance of the ESC system, or a part 
replacement that inadvertently changes the performance of a brake 
system) and possible safety-related defects problems that would not 
necessarily be identified through simulation.
    For research purposes, NHTSA is considering the feasibility of 
working with vehicle manufacturers to develop an application 
programming interface (API) designed to allow a common set of operating 
conditions (which could potentially include those associated with FMVSS 
compliance tests), to interface with their (the vehicle manufacturer's) 
ADS. Conceptually, the API would function as a translator; a means of 
ensuring that simulated input conditions are properly interpreted by 
the ADS so that it, and the vehicle it resides in, responds in the same 
way it would in the real world.
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    30. How can simulations be used to assess FMVSS compliance?
    31. Are there objective, practicable ways for the agency to 
validate simulation models to ensure their accuracy and repeatability?
    32. Is it feasible to perform hardware-in-the-loop simulations to 
conduct FMVSS compliance verification testing for current FMVSS?
    33. Is it feasible to perform software-in-the-loop simulations to 
conduct FMVSS compliance verification testing?

E. Technical Documentation for System Design and/or Performance 
Approach

    For the Technical Documentation approach, vehicle-specific 
technical design and/or build documentation (e.g., a system function 
description and logic and/or schematic diagrams) could be provided to 
allow NHTSA to permit an assessment of FMVSS compliance. It should be 
noted that this is different than the technical design documentation 
that is provided to NHTSA today. It is technical design documentation 
used by the manufacturer in the design and construction of the vehicle.
Comments
    Several industry commenters discussed the approach of using 
technical documentation for compliance verification of vehicles for 
specified FMVSS requirements. The commenters noted that documentation 
could be used to address two different kinds of requirements. The first 
kind of requirements include those without performance specifications 
(e.g., the ESC system must have the capability to apply brake torques 
at each wheel and to determine yaw rate). The second kind of 
requirements include those with system performance specifications 
(e.g., during an ESC system sine-with dwell test the yaw rate must not 
exceed 35% of the peak yaw rate 1 second after completion of the 
steering input; or during service brake system tests, with the test 
vehicle operating at 100km/h, the service brake system must be able to 
stop the vehicle within a specified distance).
    For the first kind of requirements, those that do not include 
performance specifications, the Alliance explained that, ``where there 
are no specific performance requirements within a FMVSS, but there is a 
desire to verify the general component and functional capability, NHTSA 
has included provisions for technical documentation to demonstrate 
FMVSS compliance in the appropriate standards.'' GM stated that, 
``[t]echnical documentation is particularly useful for identifying 
components and functions for which no discrete performance requirement 
needs to be measured through testing.'' \36\ Both the Alliance and GM 
mentioned FMVSS No. 126 as an example of a standard that NHTSA could 
request technical documentation for certain functionality portions of 
the standard.
---------------------------------------------------------------------------

    \36\ https://www.regulations.gov/document?D=NHTSA-2018-0009-0079.
---------------------------------------------------------------------------

    Considering ADS-DVs without manual controls, for the second kind of 
requirements that do specify system performance requirements, GM stated 
that, in reference to allowing flexibility to demonstrate performance 
requirements specified in FMVSS No. 126 and FMVSS No. 135, 
manufacturers could be required to provide technical documentation 
explaining the methodology used and associated test results. GM stated 
that ``the performance requirements currently specified in FMVSS Nos. 
126 and 135 should be preserved for self-driving vehicles, with 
`technical documentation' to report how the manufacturer certified to 
those requirements.'' The Alliance stated that there are methods that 
could be used as the basis for technical documentation (e.g., 
simulation, whole vehicle testing, hardware-in-the-loop testing, etc.) 
and believes that research is required to adapt the FMVSS No. 126 
``sine with dwell'' test procedure for ADS-DVs. The Alliance 
recommended that NHTSA consider adopting a technical documentation 
approach to the ``sine with dwell'' test requirements in the near-term. 
Mercedes stated that manufacturers could demonstrate ADS-DV compliance 
with ESC requirements via technical documentation, although in their 
opinion this approach would be more burdensome both for manufactures 
and for NHTSA.
Analysis
    Technical documentation is currently permitted for use in 
demonstrating compliance for a portion of one crash avoidance standard, 
FMVSS No. 126. For this standard, the agency requires manufacturers to 
make available upon request, documentation (i.e., a system diagram, a 
written explanation of how the system works, and a logic diagram) 
demonstrating that a vehicle is equipped with an ESC system that is 
consistent with the definition described in the standard.\37\ During 
the development of the rule, the agency was not able to finalize an 
objective and repeatable performance test to evaluate understeer 
conditions. For this reason, the agency resorted to developing the 
compliance documentation requirements for describing the ESC system's 
capability to address understeer conditions described in S 5.6. FMVSS 
No. 126 S 5.6 states that the manufacturer must make available to

[[Page 24446]]

the agency upon request, documentation that includes a discussion on 
the pertinent inputs to the ESC computer or calculations within the 
computer and how the algorithm uses that information and controls ESC 
system hardware to limit understeer. A system diagram, depicting all 
the ESC system hardware is used as part of the compliance verification 
of the ESC definition to identify the components used for brake torque 
generation at each wheel and yaw rate monitoring. An additional written 
explanation and the logic diagrams are also used, as part of the 
compliance verification, to better describe how all the components work 
together to address vehicle instabilities. While NHTSA has used 
technical documentation for one portion of one standard, the agency did 
so as a measure of last resort because technical documentation does not 
confirm the level of performance for the physical vehicle.
---------------------------------------------------------------------------

    \37\ 49 CFR 571.126, S5.6.
---------------------------------------------------------------------------

    For the second kind of requirements (i.e., requirements that 
include system performance specifications) the commenters discussed 
using various kinds of performance or test data documentation for 
compliance verification. In the regulatory language of many FMVSS, 
NHTSA provides test procedures so vehicle manufacturers know how NHTSA 
will test their vehicles and equipment. In addition to testing, 
occasionally, and typically in the context of an enforcement 
investigation into potential noncompliance with a FMVSS, NHTSA requests 
a manufacturer submit documentation/data that illustrates its basis for 
certification. Upon NHTSA's request, most manufacturers provide test 
reports similar to the reports generated by NHTSA contracted test labs 
(showing the results of the manufacturer's testing, just as NHTSA would 
have reports exhibiting the results of its own testing). For many of 
the crash avoidance FMVSSs, as their basis for compliance, vehicle 
manufacturers conduct testing in a similar manner as NHTSA conducts 
compliance verification, namely, using the same test procedures, test 
equipment and data collecting process. If this process changes and 
manufacturers solely provide NHTSA with the reports that include the 
performance test results without NHTSA testing the vehicle, it is not 
clear how the agency would properly verify compliance and ensure at 
least the same level of performance has been achieved. Furthermore, it 
has always been critical for the agency to establish objective, 
repeatable, and reproducible test procedures for manufacturers and the 
agency to both use ensuring the same test results regardless of who 
executes the test, or when and where the test is executed.
    As mentioned above under the simulation discussion, the agency 
believes it is important to buy and test new vehicles as produced and 
sold. If documentation is used as a tool in the future, NHTSA would 
continue to focus on real-world testing of actual vehicles being 
operated on public roads. These actual ``on-track'' tests conducted by 
the agency are important to verify compliance but also to help identify 
a manufacturer's certification shortcomings (e.g., suspension design 
changes that inadvertently change the performance of the ESC system, or 
a part replacement that inadvertently changes the performance of a 
brake system) and possible safety related defects; problems that would 
not necessarily be identified through documentation.
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    34. How can the documentation-focused approach ensure compliance 
with FMVSS, considering it neither verifies that the vehicles on the 
road match the documentation nor confirms that the vehicles on the road 
comply with the FMVSSs?
    35. If technical documentation were acceptable for compliance 
verification, how would the manufacturer assure the agency that the 
documentation accurately represents the ADS-DV and that the system is 
safe?
    36. Exactly what kind of documentation could be submitted for each 
kind of FMVSS requirement? Provide specific examples with detailed 
explanation of the documentation required.

F. Use of Surrogate Vehicle With Human Controls

    Using the surrogate vehicle with human controls approach, the 
vehicle manufacturer would demonstrate that all relevant aspects of the 
surrogate vehicle are identical to those of the ADS-DV without 
traditional manual controls and then complete compliance verification 
using that surrogate vehicle and apply the results to the ADS-DV 
without traditional manual controls.
Comments
    Several commenters suggested that a short-term solution for 
compliance verification testing of ADS-DVs is to certify a manually-
operated ``sister'' (i.e., surrogate) vehicle that shares the same 
platform, but differs from the ADS-DV because it has manual controls 
included for testing purposes. The Alliance, for example, suggested 
this as an approach to testing FMVSS No. 126. Ford agreed with this 
approach.
Analysis
    Attempting to specify in a FMVSS test procedure that NHTSA will use 
surrogate vehicles in its compliance testing would create several 
challenges. First, if, in lieu of testing an ADS-DV, NHTSA were to test 
a surrogate vehicle, the agency may have difficulty demonstrating that 
such a test establishes the noncompliance of the ADS-DV. Since an ADS-
DV would be equipped with components that provide the means to perform 
automated driving, a task the conventional surrogate vehicle is either 
not expected to perform or can perform while still including manual 
controls, inherent differences would be expected between the two 
vehicles. The implications of these differences must be understood to 
assess the viability of this approach. The agency would need to attempt 
to develop criteria for identifying suitable surrogates. These criteria 
would need to be universal in that they need to demonstrate equivalence 
for any vehicle, not only for a specific vehicle design. Second, even 
if it were possible to establish criteria for reliably identifying 
suitable surrogate vehicles, if it would nevertheless be more difficult 
for the agency to find suitable surrogates for some ADS-DVs than 
others, the agency might find it difficult to ensure that it could 
treat all ADS-DVs in an equitable manner. Third, the suitable surrogate 
vehicles must be available for sale in the United States.
Questions Specific to This Testing Method (General Questions Precede 
This Section)
    37. To what extent could equivalence of the vehicle components used 
for conventional and ADS-DVs be demonstrated to assure that surrogate 
vehicle performance would be indicative of that of a surrogate ADS-DV?
    38. How can the agency confirm that the maneuver severity performed 
by a surrogate manually-drivable vehicle, during FMVSS compliance 
tests, is equal to that of the subject ADS-DV? For example, how can the 
characterization maneuvers and subsequent scaling factors in the FMVSS 
No. 126 ESC test on the surrogate vehicle be confirmed as equivalent on 
the ADS-DV?
    39. If results from FMVSS compliance tests of a conventional 
vehicle performed by its manufacturer differ

[[Page 24447]]

from the results of NHTSA tests of an equivalent ADS-DV (particularly 
if the conventional vehicle complies with the agency's standards, but 
the ADS-DV does not), can the conflicting results be reconciled? If so, 
how?

VII. Public Participation

How can I influence NHTSA's thinking on this subject?
    Your comments will help NHTSA improve this regulatory action. NHTSA 
invites you to provide different views on options NHTSA discusses, new 
approaches the agency has not considered, new data, descriptions of how 
this ANPRM may affect you, or other relevant information.
    NHTSA welcomes public review of on all aspects of this ANPRM. NHTSA 
will consider the comments and information received in developing its 
eventual proposal for how to remove regulatory barriers to ADS-DVs that 
lack manual controls by updating and modifying current FMVSS. As noted 
thorough this document, we are especially interested in comments that 
focus on how the test methods discussed ensure vehicle safety. Your 
comments will be most effective if you follow the suggestions below:
     Explain your views and reasoning as clearly as possible.
     Provide solid evidence and data to support your views.
     If you estimate potential costs, explain how you arrived 
at that estimate.
     Tell NHTSA which parts of the ANPRM you support, as well 
as those with which you disagree.
     Provide specific examples to illustrate your concerns.
     Offer specific alternatives.
     Refer your comments to the specific sections of (or 
questions listed in) the ANPRM.
How do I prepare and submit comments?
    Your primary comments should be written in English. To ensure that 
your comments are filed in the correct docket, please include the 
docket number of this document (NHTSA-2019-0036) in your comments.
    Your primary comments should not be more than 15 pages long (49 CFR 
553.21), however, you may attach additional documents, such as 
supporting data or research, to your primary comments. There is no 
limit on the length of the attachments.
    Please submit one copy (two copies if submitting by mail or hand 
delivery) of your comments, including the attachments, to the docket 
following the instructions given in the ADDRESSES section at the 
beginning of this document. Please note, if you are submitting comments 
electronically as a PDF (Adobe) file, we ask that the documents 
submitted be scanned using the Optical Character Recognition (OCR) 
process, thus allowing NHTSA to search and copy certain portions of 
your submission.
    Please note that pursuant to the Data Quality Act, in order for 
substantive data to be relied upon and used by the agency, it must meet 
the information quality standards set forth in the Office of Management 
and Budget (OMB) and DOT Data Quality Act guidelines. Accordingly, we 
encourage you to consult the guidelines in preparing your comments. 
DOT's guidelines may be accessed at www.transportation.gov/regulations/dot-information-dissemination-quality-guidelines (last accessed May 22, 
2018).
How can I be sure that my comments were received?
    If you submit comments by hard copy and wish Docket Management to 
notify you upon its receipt of your comments, enclose a self-addressed, 
stamped postcard in the envelope containing your comments. Upon 
receiving your comments, Docket Management will return the postcard by 
mail. If you submit comments electronically, your comments should 
appear automatically in Docket No. NHTSA-2019-0036 on 
www.regulations.gov. If they do not appear within two weeks of posting, 
NHTSA suggests that you call the Docket Management Facility at 202-366-
9826.
How do I submit confidential business information?
    If you wish to submit any information under a claim of 
confidentiality, you must submit three copies of your complete 
submission, including the information that you claim to be confidential 
business information, to the Office of the Chief Counsel, NHTSA, U.S. 
Department of Transportation, 1200 New Jersey Avenue SE, Washington, DC 
20590.
    In addition, you should submit a copy (two copies if submitting by 
mail or hand delivery) from which you have deleted the claimed 
confidential business information to the docket by one of the methods 
given above under ADDRESSES. When you submit a comment containing 
information claimed to be confidential business information, you should 
include a cover letter setting forth the information specified in 
NHTSA's confidential business information regulation (49 CFR part 512).
Will the agency consider late comments?
    NHTSA will consider all comments that the docket receives before 
the close of business on the comment closing date indicated in the 
DATES section. To the extent possible, NHTSA will also consider 
comments that the docket receives after that date.
How can I read the comments submitted by other people?
    You may read the comments received by the docket at the address 
given in the ADDRESSES section. The hours of the docket are indicated 
above in the same location. You may also read the comments on the 
internet, identified by the docket number at the heading of this 
document, at www.regulations.gov. Please note that, even after the 
comment closing date, NHTSA will continue to file relevant information 
in the docket as it becomes available. Further, some people may submit 
late comments. Accordingly, NHTSA recommends that you periodically 
check the docket for new material.

VIII. Rulemaking Analyses

a. Executive Orders 12866 and 13563 and DOT Regulatory Policies and 
Procedures

    Executive Order 12866, ``Regulatory Planning and Review'' (58 FR 
51735, Oct. 4, 1993), provides for making determinations whether a 
regulatory action is ``significant'' and therefore subject to OMB 
review and to the requirements of the Executive Order.

b. Executive Order 13771 (Reducing Regulation and Controlling 
Regulatory Costs)

    This action is not subject to the requirements of E.O. 13771 (82 FR 
9339, (Feb. 3, 2017)) because it is an advance notice of proposed 
rulemaking.

c. Regulatory Flexibility Act

    Pursuant to the Regulatory Flexibility Act, 5 U.S.C. 601 et seq., 
no analysis is required for an ANPRM. However, vehicle manufacturers 
and equipment manufacturers are encouraged to comment if they identify 
any aspects of the potential rulemaking that may apply to them.

d. Executive Order 13132 (Federalism)

    NHTSA does not believe that there would be sufficient federalism 
implications to warrant the preparation of a federalism assessment.

[[Page 24448]]

e. Executive Order 12988 (Civil Justice Reform)

    With respect to the review of the promulgation of a new regulation, 
section 3(b) of Executive Order 12988, ``Civil Justice Reform'' (61 FR 
4729, February 7, 1996) requires that Executive agencies make every 
reasonable effort to ensure that the regulation: (1) Clearly specifies 
the preemptive effect; (2) clearly specifies the effect on existing 
Federal law or regulation; (3) provides a clear legal standard for 
affected conduct, while promoting simplification and burden reduction; 
(4) clearly specifies the retroactive effect, if any; (5) adequately 
defines key terms; and (6) addresses other important issues affecting 
clarity and general draftsmanship under any guidelines issues by the 
Attorney General. This document is consistent with that requirement.

f. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995 (PRA), a person is not 
required to respond to a collection of information by a Federal agency 
unless the collection displays a valid OMB control number. There are no 
information collection requirements associated with this ANPRM. Any 
information collection requirements and the associated burdens will be 
discussed in detail once proposed rules have been issued.

g. National Technology Transfer and Advancement Act

    Section 12(d) of the National Technology Transfer and Advancement 
Act (NTTAA) requires NHTSA to evaluate and use existing voluntary 
consensus standards in its regulatory activities unless doing so would 
be inconsistent with applicable law (e.g., the statutory provisions 
regarding NHTSA's vehicle safety authority) or otherwise impractical. 
Voluntary consensus standard (e.g., materials specifications, test 
methods, sampling procedures, and business practices) that are 
developed or adopted by voluntary consensus standards bodies, such as 
SAE International. The NTTAA directs us to provide Congress (through 
OMB) with explanations when we decide not to use available and 
applicable voluntary consensus standards. While NHTSA is considering 
options regarding the modification of various FMVSS, it has not yet 
developed specific regulatory requirements, and thus the NTTAA does not 
apply for purposes of this ANPRM.

h. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 requires agencies to 
prepare a written assessment of the costs, benefits, and other effects 
of proposed or final rules that include a Federal mandate likely to 
result in the expenditure of State, local, or tribal governments, in 
the aggregate, or by the private sector, of more than $100 million 
annually (adjusted for inflation with base year of 1995). NHTSA has 
determined that this rulemaking action would not result in expenditures 
by State, local, or tribal governments, in the aggregate, or by the 
private sector, in excess of $100 million annually.

i. National Environmental Policy Act

    NHTSA has analyzed this rulemaking action for the purposes of the 
National Environmental Policy Act. The agency has preliminarily 
determined that implementation of this rulemaking action would not have 
any significant impact on the quality of the human environment. The 
agency will consider this further in any future proposed rules.

j. Plain Language

    Executive Orders 12866 and 13563 require each agency to write all 
documents in plain language. Application of the principles of plain 
language includes consideration of the following questions:
     Have we organized the material to suit the public's needs?
     Are the requirements in the document clearly stated?
     Does the document contain technical language or jargon 
that is not clear?
     Would a different format (grouping and order of sections, 
use of headings, paragraphing) make the rule easier to understand?
     Would more (but shorter) sections be better?
     Could we improve clarity by adding tables, lists, or 
diagrams?
    If you have any responses to these questions, please include them 
in your comments on this proposal.

k. Regulatory Identifier Number (RIN)

    The Department of Transportation assigns a regulation identifier 
number (RIN) to each regulatory action listed in the Unified Agenda of 
Federal Regulations. The Regulatory Information Service Center 
publishes the Unified Agenda in April and October of each year. You may 
use the RIN contained in the heading at the beginning of this document 
to find this action in the Unified Agenda.

    Issued in Washington, DC, under authority delegated in 49 CFR 
1.95 and 501.5.
Heidi Renate King,
Deputy Administrator.

Appendix A--SAE Levels of Automation

    To explain these levels of driving automation and put them in 
context with the other levels defined by SAE International, content 
from Table 1 of SAE J3016 \38\ describing the full array of driving 
automation levels is provided here:
---------------------------------------------------------------------------

    \38\ See SAE J3016_201806 Taxonomy and Definitions for Terms 
Related to Driving Automation Systems for On-Road Motor Vehicles.

------------------------------------------------------------------------
                              Narrative definition (i.e., What does the
                               vehicle do, what does the human driver/
    Level of automation       occupant do, and when and where do they do
                                                 it?)
------------------------------------------------------------------------
Level 0....................  No Automation of driving task: The
                              performance by the driver of the entire
                              DDT, even when enhanced by active safety
                              systems.
Level 1....................  Driver Assistance: The sustained and ODD-
                              specific execution by a driving automation
                              system of either the lateral or the
                              longitudinal vehicle motion control
                              subtask of the DDT (but not both
                              simultaneously) with the expectation that
                              the driver performs the remainder of the
                              DDT.
Level 2....................  Partial Driving Automation: The sustained
                              and ODD-specific execution by a driving
                              automation system of both the lateral and
                              longitudinal vehicle motion control
                              subtasks of the DDT with the expectation
                              that the driver completes the OEDR subtask
                              and supervises the driving automation
                              system.
Level 3....................  Conditional Driving Automation: The
                              sustained and ODD-specific performance by
                              an ADS of the entire DDT with the
                              expectation that the DDT fallback-ready
                              user is receptive to ADS-issued requests
                              to intervene, as well as to DDT
                              performance-relevant system failures in
                              other vehicle systems, and will respond
                              appropriately.
Level 4....................  High Driving Automation: The sustained and
                              ODD-specific performance by an ADS of the
                              entire DDT and DDT fallback without any
                              expectation that a user will respond to a
                              request to intervene.

[[Page 24449]]

 
Level 5....................  Full Driving Automation: The sustained and
                              unconditional (i.e., not ODD-specific)
                              performance by an ADS of the entire DDT
                              and DDT fallback without any expectation
                              that a user will respond to a request to
                              intervene.
------------------------------------------------------------------------

[FR Doc. 2019-11032 Filed 5-23-19; 4:15 pm]
 BILLING CODE 4910-59-P