Automated Driving Systems: A Vision for Safety




3 INTRODUCTORY MESSAGE Today, our country is on the verge of one of the most exciting and important innovations in transportation history— the development of Automated Driving Systems (ADSs), commonly referred to as automated or self-driving vehicles. The future of this new technology is so full of promise. It’s a future where vehicles increasingly help drivers avoid crashes. It’s a future where the time spent commuting is dramatically reduced, and where millions more—including the elderly and people with disabilities–gain access to the freedom of the open road. And, especially important, it’s a future where highway fatalities and injuries are significantly reduced. Since the Department of Transportation was established in 1966, there have been more than 2.2 million motor- vehicle-related fatalities in the United States. In addition, after decades of decline, motor vehicle fatalities spiked by more than 7.2 percent in 2015, the largest single-year increase since 1966. The major factor in 94 percent of all fatal crashes is human error. So ADSs have the potential to significantly reduce highway fatalities by addressing the root cause of these tragic crashes. The U.S. Department of Transportation has a role to play in building and shaping this future by developing a regulatory framework that encourages, rather than hampers, the safe development, testing and deployment of Secretary Elaine L. Chao automated vehicle technology. U.S. Department of Transportation Accordingly, the Department is releasing A Vision for Safety to promote improvements in safety, mobility, and efficiency through ADSs. A Vision for Safety replaces the Federal Automated Vehicle Policy released in 2016. This updated policy framework offers a path forward for the safe deployment of automated vehicles by: Encouraging new entrants and ideas that deliver safer vehicles; • • Making Department regulatory processes more nimble to help match the pace of private sector innovation; and • Supporting industry innovation and encouraging open communication with the public and with stakeholders. Thanks to a convergence of technological advances, the promise of safer automated driving systems is closer to becoming a reality. From reducing crash-related deaths and injuries, to improving access to transportation, to reducing traffic congestion and vehicle emissions, automated vehicles hold significant potential to increase productivity and improve the quality of life for millions of people. A Vision for Safety seeks to facilitate the integration of ADS technology by helping to ensure its safe testing and deployment, as well as encouraging the development of systems that guard against cyber-attacks and protect consumer privacy. Our goal at the Department of Transportation is to be good stewards of the future by helping to usher in this new era of transportation innovation and safety, and ensuring that our country remains a global leader in autonomous vehicle technology. A VISION FOR SAFETY i AUTOMATED DRIVING SYSTEMS 2.0:

4 EXECUTIVE SUMMARY The world is facing an unprecedented emergence of automation Voluntary Guidance Given the developing state of the technology, this provides a flexible framework for industry to use in choosing how to technologies. In the transportation sector, where 9 out of 10 serious roadway crashes occur due to human behavior, automated vehicle address a given safety design element. In addition, to help support encourages entities Voluntary Guidance public trust and confidence, the technologies possess the potential to save thousands of lives, as well engaged in testing and deployment to publicly disclose Voluntary Safety as reduce congestion, enhance mobility, and improve productivity. Self-Assessments of their systems in order to demonstrate their varied The Federal Government wants to ensure it does not impede progress approaches to achieving safety. with unnecessary or unintended barriers to innovation. Safety remains the number one priority for the U.S. Department of Transportation Vehicles operating on public roads are subject to both Federal and State (DOT) and is the specific focus of the National Highway Traffic Safety jurisdiction, and States are beginning to draft legislation to safely deploy Administration (NHTSA). emerging ADSs. To support the State work, NHTSA offers Section 2: Technical Assistance to States, Best Practices for Legislatures Regarding NHTSA’s mission is to save lives, prevent injuries, and reduce the . The section clarifies and Automated Driving Systems (Best Practices) economic costs of roadway crashes through education, research, safety standards, and enforcement activity. As automated vehicle technologies delineates Federal and State roles in the regulation of ADSs. NHTSA remains responsible for regulating the safety design and performance advance, they have the potential to dramatically reduce the loss of life each day in roadway crashes. To support industry innovators and States aspects of motor vehicles and motor vehicle equipment; States continue to be responsible for regulating the human driver and vehicle operations. in the deployment of this technology, while informing and educating the public, and improving roadway safety through the safe introduction of Best Practices for Legislatures , which The section also provides Automated Driving Systems: A Vision for the technology, NHTSA presents incorporates common safety-related components and significant Safety . It is an important part of DOT’s multimodal efforts to support the elements regarding ADSs that States should consider incorporating safe introduction of automation technologies. Best Practices for State in legislation. In addition, the section provides , which offers a framework for States to develop Highway Safety Officials In this document, NHTSA offers a nonregulatory approach to automated vehicle technology safety. Section 1: Voluntary Guidance for Automated procedures and conditions for ADSs’ safe operation on public roadways. It includes considerations in such areas as applications and permissions supports the automotive industry Driving Systems (Voluntary Guidance) and other key stakeholders as they consider and design best practices to test, registration and titling, working with public safety officials, and for the testing and safe deployment of Automated Driving Systems liability and insurance. (ADSs - SAE Automation Levels 3 through 5 – Conditional, High, and Full Voluntary Guidance Best Practices and Together, the sections serve to Automation Systems). It contains 12 priority safety design elements for support industry, Government officials, safety advocates, and the public. consideration, including vehicle cybersecurity, human machine interface, As our Nation and the world embrace technological advances in motor crashworthiness, consumer education and training, and post-crash ADS vehicle transportation through ADSs, safety must remain the top priority. behavior. A VISION FOR SAFETY ii AUTOMATED DRIVING SYSTEMS 2.0:

5 Over the coming months and years, NHTSA, along with other Federal agencies, where relevant, will continue to take a leadership role in encouraging the safe introduction of automated vehicle technologies into the motor vehicle fleet and on public roadways in the areas of policy, research, safety standards, freight and commercial use, infrastructure, and mass transit. Office of the Under Secretary for Policy (OST-P) is the office is the lead Federal Motor Carrier Safety Administration (FMCSA) The The Federal Government agency responsible for regulating and providing responsible for serving as a principal advisor to the Secretary and operational safety oversight (for instance, hours of service regulations, provides leadership in the development of policies for the Department, drug and alcohol testing, hazardous materials safety, vehicle inspections) generating proposals and providing advice regarding legislative and for motor carriers operating commercial motor vehicles (CMVs), such regulatory initiatives across all modes of transportation. The Under as trucks and buses, and CMV drivers. FMCSA partners with industry, Secretary coordinates the Department’s budget development and policy development functions. The Under Secretary also directs transportation safety advocates, and State and local governments to keep our Nation’s roadways safe and improve CMV safety through financial assistance, policy development and works to ensure that the Nation’s transportation regulation, education, enforcement, research, and technology. resources function as an integrated national system. See . See . The supports State and local The Office of the Assistant Secretary for Research and Technology Federal Highway Administration (FHWA) is the lead office responsible for coordinating DOT’s research governments in the design, construction, and maintenance of the (O S T- R ) Nation’s highway system (Federal Aid Highway Program) and various and for sharing advanced technologies with the transportation system. Technical and policy research on these technologies occurs through the Federal and tribal lands (Federal Lands Highway Program). Through Intelligent Transportation Systems (ITS) Research Program, the University financial and technical assistance to State and local governments, FHWA Transportation Centers, and the Volpe National Transportation Research is responsible for ensuring that America’s roads and highways continue Center, which make investments in technology initiatives, exploratory to be among the safest and most technologically sound in the world. . studies, pilot deployment programs and evaluations in intelligent See vehicles, infrastructure, and multi-modal systems. and . See The Federal Transit Administration (FTA) provides financial and technical assistance to local public transit systems, including buses, subways, light rail, commuter rail, trolleys, and ferries. FTA also oversees safety measures and helps develop next-generation technology research. . See A VISION FOR SAFETY iii AUTOMATED DRIVING SYSTEMS 2.0:

6 TABLE OF CONTENTS Technical Assistance to States Voluntary Guidance Section 2: Section 1: ... Overview 19 Overview ... 1 20 ... Federal and State Regulatory Roles 2 ... Scope and Purpose 5 Best Practices for Legislatures ... ADS Safety Elements ... 21 ... 22 5 System Safety Best Practices for State Highway Safety Officials ... 25 ... Conclusion Operational Design Domain ... 6 ... 26 Object and Event Detection and Response Endnotes 7 ... Fallback (Minimal Risk Condition) ... 8 Validation Methods ... 9 Human Machine Interface ... 10 Vehicle Cybersecurity 11 ... Crashworthiness ... 12 Post-Crash ADS Behavior ... 13 Data Recording ... 14 Consumer Education and Training ... 15 Federal, State, and Local Laws ... 15 16 ... Voluntary Safety Self-Assessment A VISION FOR SAFETY iv AUTOMATED DRIVING SYSTEMS 2.0:

7 VOLUNTARY GUIDANCE SECTION 1: For Automated Driving Systems OVERVIEW The U.S. Department of Transportation (DOT) through the National In addition, to help support public trust and confidence in the safety of ADSs, this Voluntary Guidance encourages entities to disclose Voluntary Highway Traffic Safety Administration (NHTSA) is fully committed to reaching an era of crash-free roadways through deployment of innovative Safety Self-Assessments demonstrating their varied approaches to 2 lifesaving technologies. Recent negative trends in automotive crashes achieving safety in the testing and deployment of ADSs. underscore the urgency to develop and deploy lifesaving technologies Entities are encouraged to begin using this Voluntary Guidance on the that can dramatically decrease the number of fatalities and injuries on date of its publication. NHTSA plans to regularly update the Voluntary our Nation’s roadways. NHTSA believes that Automated Driving Systems Guidance to reflect lessons learned, new data, and stakeholder input as (ADSs), including those contemplating no driver at all, have the potential technology continues to be developed and refined. to significantly improve roadway safety in the United States. For overall awareness and to ensure consistency in taxonomy usage, The purpose of this Voluntary Guidance is to support the automotive NHTSA adopted SAE International’s Levels of Automation and other industry, the States, and other key stakeholders as they consider and 3 applicable terminology. design best practices relative to the testing and deployment of automated vehicle technologies. It updates the Federal Automated Vehicles Policy released in September 2016 and serves as NHTSA’s current operating guidance for ADSs. 1 NHTSA’ S MIS SION The Voluntary Guidance contains 12 priority safety design elements. These elements were selected based on research conducted by the Transportation Research Board (TRB), universities, and NHTSA. Each element contains safety goals and approaches that could be used to Save lives, prevent injuries, and reduce achieve those safety goals. Entities are encouraged to consider each safety element in the design of their systems and have a self-documented economic costs due to road traffic process for assessment, testing, and validation of the various elements. As automated driving technologies evolve at a rapid pace, no single standard crashes, through education, research, exists by which an entity’s methods of considering a safety design element can be measured. Each entity is free to be creative and innovative safety standards, and enforcement activity. when developing the best method for its system to appropriately mitigate the safety risks associated with their approach. A VISION FOR SAFETY 1 AUTOMATED DRIVING SYSTEMS 2.0:

8 SECTION 1: VOLUNTARY GUIDANCE SCOPE AND PURPOSE Through this Voluntary Guidance, NHTSA is supporting entities that This Voluntary Guidance focuses on vehicles that incorporate SAE are designing ADSs for use on public roadways in the United States. Automation Levels 3 through 5 – Automated Driving Systems (ADSs). ADSs may include systems for which there is no human driver or for This includes traditional vehicle manufacturers as well as other entities involved with manufacturing, designing, supplying, testing, selling, which the human driver can give control to the ADS and would not be 5 operating, or deploying ADSs, including equipment designers and It expected to perform any driving-related tasks for a period of time. is an entity’s responsibility to determine its system’s automation level in suppliers; entities that outfit any vehicle with automated capabilities or equipment for testing, for commercial sale, and/or for use on public conformity with SAE International’s published definitions. roadways; transit companies; automated fleet operators; “driverless” taxi The purpose of this Voluntary Guidance is to help designers of ADSs companies; and any other individual or entity that offers services utilizing analyze, identify, and resolve safety considerations prior to deployment ADS technology (referred to collectively as “entities” or “industry”). using their own, industry, and other best practices. It outlines 12 safety This Voluntary Guidance applies to the design aspects of motor vehicles elements, which the Agency believes represent the consensus across and motor vehicle equipment under NHTSA’s jurisdiction, including low- the industry, that are generally considered to be the most salient design speed vehicles, motorcycles, passenger vehicles, medium-duty vehicles, aspects to consider and address when developing, testing, and deploying ADSs on public roadways. Within each safety design element, entities are and heavy-duty CMVs such as large trucks and buses. These entities are 4 subject to NHTSA’s defect, recall, and enforcement authority. encouraged to consider and document their use of industry standards, For entities best practices, company policies, or other methods they have employed seeking to request regulatory action (e.g., petition for exemption or interpretation) from NHTSA, an informational resource is available on the to provide for increased system safety in real-world conditions. The 12 safety design elements apply to both ADS original equipment and Agency’s website at to replacement equipment or updates (including software updates/ vehicles , along with other associated references and resources. upgrades) to ADSs. Interstate motor carrier operations and CMV drivers fall under the This Voluntary Guidance provides recommendations and suggestions jurisdiction of FMCSA and are not within the scope of this Voluntary for industry’s consideration and discussion. This Guidance is entirely Guidance. Currently, per the Federal Motor Carrier Safety Regulations voluntary, with no compliance requirement or enforcement mechanism. (FMCSRs), a trained commercial driver must be behind the wheel at all The sole purpose of this Guidance is to support the industry as it times, regardless of any automated driving technologies available on develops best practices in the design, development, testing, and the CMV, unless a petition for a waiver or exemption has been granted. For more information regarding CMV operations and automated driving deployment of automated vehicle technologies. technologies, including guidance on FMCSA’s petition process, see . A VISION FOR SAFETY 2 AUTOMATED DRIVING SYSTEMS 2.0:

9 NHTSA’S ENFORCEMENT AUTHORITY Several States have sought clarification of NHTSA’s enforcement authority with respect to ADSs. As DOT is asking States to maintain the delineation of Federal and State regulatory authority, NHTSA understands that States are looking for reassurance that the Federal Government has tools to keep their roadways safe. NHTSA has broad enforcement authority to address existing and new automotive technologies and equipment. The Agency is commanded by 6 to protect the safety of the driving public against unreasonable risks Congress of harm that may arise because of the design, construction, or performance of a motor vehicle or motor vehicle equipment, and to mitigate risks of harm, including risks that may arise in connection with ADSs. Specifically, NHTSA’s enforcement authority concerning safety-related defects in motor vehicles and motor vehicle equipment extends and applies equally to current and emerging ADSs. As NHTSA has always done, when evaluating new automotive technologies, it will be guided by its statutory mission, the laws it is obligated to enforce, and the benefits of the technology. A VISION FOR SAFETY 3 AUTOMATED DRIVING SYSTEMS 2.0:

10 SECTION 1: VOLUNTARY GUIDANCE SAE AUTOMATION LEVELS SAE AUTOMATION LEVELS Full Automation 0 2 5 3 1 4 High Conditional No Driver Full Partial Automation Automation Automation Assistance Automation Automation Driver is a necessity, combined Vehicle has Vehicle is controlled The vehicle is capable Zero autonomy; The vehicle is capable but is not required automated functions, by the driver, but of performing all the driver performs of performing all to monitor the like acceleration and some driving assist driving functions all driving tasks. driving functions environment. steering, but the driver features may be under all conditions. under certain The driver must be must remain engaged included in the The driver may conditions. The driver ready to take control with the driving task vehicle design. have the option to may have the option of the vehicle at all and monitor the control the vehicle. to control the vehicle. times with notice. environment at all times. A VISION FOR SAFETY 4 AUTOMATED DRIVING SYSTEMS 2.0:

11 ADS SAFETY ELEMENTS 1. System Safety and safety assessment of artificial intelligence and other relevant Entities are encouraged to follow a robust design and validation software technologies and algorithms to improve the effectiveness process based on a systems-engineering approach with the goal of and safety of ADSs. designing ADSs free of unreasonable safety risks. The overall process should adopt and follow industry standards, such as the functional Design decisions should be linked to the assessed risks that 7 safety process standard for road vehicles, and collectively cover the could impact safety-critical system functionality. Design safety entire operational design domain (i.e., operating parameters and considerations should include design architecture, sensors, limitations) of the system. Entities are encouraged to adopt voluntary actuators, communication failure, potential software errors, reliability, guidance, best practices, design principles, and standards developed potential inadequate control, undesirable control actions, potential by established and accredited standards-developing organizations collisions with environmental objects and other road users, potential (as applicable) such as the International Standards Organization (ISO) collisions that could be caused by actions of an ADS, leaving the and SAE International, as well as standards and processes available roadway, loss of traction or stability, and violation of traffic laws and 8 and from other industries such as aviation, space, and the military deviations from normal (expected) driving practices. other applicable standards or internal company processes as they are All design decisions should be tested, validated, and verified as Assessment relevant and applicable. See NHTSA’s June 2016 report, 9 individual subsystems and as part of the entire vehicle architecture. , of Safety Standards for Automotive Electronic Control Systems Entities are encouraged to document the entire process; all actions, which provides an evaluation of the strengths and limitations of changes, design choices, analyses, associated testing, and data such standards. should be traceable and transparent. The design and validation process should also consider including a hazard analysis and safety risk assessment for ADSs, for the overall vehicle design into which it is being integrated, and when applicable, for the broader transportation ecosystem. Additionally, the process shall describe design redundancies and safety strategies for handling ADS malfunctions. Ideally, the process should place significant emphasis on software development, verification, and validation. The software development process is one that should be well-planned, well-controlled, and well-documented to detect and correct unexpected results from software updates. Thorough and measurable software testing should complement a structured and documented software development and change management process and should be part of each software version release. Industry is encouraged to monitor the evolution, implementation, A VISION FOR SAFETY 5 AUTOMATED DRIVING SYSTEMS 2.0:

12 SECTION 1: VOLUNTARY GUIDANCE Operational Design Domain 2. The ODD would include the following information at a minimum to Entities are encouraged to define and document the Operational Design Domain (ODD) for each ADS available on their vehicle(s) as define each ADS’s capability limits/boundaries: tested or deployed for use on public roadways, as well as document Roadway types (interstate, local, etc.) on which the • the process and procedure for assessment, testing, and validation ADS is intended to operate safely; of ADS functionality with the prescribed ODD. The ODD should describe the specific conditions under which a given ADS or feature • Geographic area (city, mountain, desert, etc.); is intended to function. The ODD is the definition of where (such as • Speed range; what roadway types and speeds) and when (under what conditions, such as day/night, weather limits, etc.) an ADS is designed to operate. • Environmental conditions in which the ADS will operate (weather, daytime/nighttime, etc.); and • Other domain constraints. An ADS should be able to operate safely within the ODD for which it is designed. In situations where the ADS is outside of its defined ODD or in which conditions dynamically change to fall outside of the ADS’s ODD, the vehicle should transition to a minimal 10 risk condition. For a Level 3 ADS, transitioning to a minimal risk condition could entail transitioning control to a receptive, fallback- 11 ready user. In cases the ADS does not have indications that the user is receptive and fallback-ready, the system should continue to mitigate manageable risks, which may include slowing the vehicle down or bringing the vehicle to a safe stop. To support the safe introduction of ADSs on public roadways and to speed deployment, the ODD concept provides the flexibility for entities to initially limit the complexity of broader driving challenges in a confined ODD. A VISION FOR SAFETY 6 AUTOMATED DRIVING SYSTEMS 2.0:

13 Object and Event Detection and Response 3. 12 refers to the the ability of an ADS to operate in the traffic conditions that it will Object and Event Detection and Response (OEDR) detection by the driver or ADS of any circumstance that is relevant regularly encounter, including keeping the vehicle in a lane, obeying to the immediate driving task, as well as the implementation of the traffic laws, following reasonable road etiquette, and responding to 13 While research conducted by California appropriate driver or system response to such circumstance. For other vehicles or hazards. 14 provided a set of minimum behavioral competencies for the purposes of this Guidance, an ADS is responsible for performing PATH 15 ADSs, the full complement of behavioral competencies a particular OEDR while it is engaged and operating in its defined ODD. ADS would be expected to demonstrate and routinely perform Entities are encouraged to have a documented process for will depend upon the individual ADS, its ODD, and the designated assessment, testing, and validation of their ADS’s OEDR capabilities. fallback (minimal risk condition) method. Entities are encouraged to When operating within its ODD, an ADS’s OEDR functions are consider all known behavioral competencies in the design, test, and expected to be able to detect and respond to other vehicles (in and validation of their ADSs. out of its travel path), pedestrians, bicyclists, animals, and objects that could affect safe operation of the vehicle. Crash Avoidance Capability – Hazards An ADS’s OEDR should also include the ability to address a wide variety Entities are encouraged to have a documented process for of foreseeable encounters, including emergency vehicles, temporary assessment, testing, and validation of their crash avoidance work zones, and other unusual conditions (e.g., police manually capabilities and design choices. Based on the ODD, an ADS should 16 directing traffic or other first responders or construction workers be able to address applicable pre-crash scenarios that relate to control loss; crossing-path crashes; lane change/merge; head-on controlling traffic) that may impact the safe operation of an ADS. and opposite-direction travel; and rear-end, road departure, and 17 Normal Driving low-speed situations such as backing and parking maneuvers. Depending on the ODD, an ADS may be expected to handle many Entities are encouraged to have a documented process for the 18 of the pre-crash scenarios that NHTSA has identified previously. assessment, testing, and validation of a variety of behavioral competencies for their ADSs. Behavioral competency refers to The Federal Government wants to ensure it does not impede progress with unnecessary or unintended barriers to innovation. Safety remains the number one priority for U.S. DOT and is the specific focus of NHTSA. A VISION FOR SAFETY 7 AUTOMATED DRIVING SYSTEMS 2.0:

14 SECTION 1: VOLUNTARY GUIDANCE 4. Fallback (Minimal Risk Condition) Fallback actions are encouraged to be administered in a manner Entities are encouraged to have a documented process for transitioning to a minimal risk condition when a problem is that will facilitate safe operation of the vehicle and minimize encountered or the ADS cannot operate safely. ADSs operating erratic driving behavior. Such fallback actions should also consider minimizing the effects of errors in human driver recognition and on the road should be capable of detecting that the ADS has malfunctioned, is operating in a degraded state, or is operating decision-making during and after transition to manual control. outside of the ODD. Furthermore, ADSs should be able to notify the In cases of higher automation in which a human driver may not human driver of such events in a way that enables the driver to regain be available, the ADS must be able to fallback into a minimal risk proper control of the vehicle or allows the ADS to return to a minimal condition without the need for driver intervention. risk condition independently. A minimal risk condition will vary according to the type and extent of Fallback strategies should take into account that, despite laws and a given failure, but may include automatically bringing the vehicle to regulations to the contrary, human drivers may be inattentive, a safe stop, preferably outside of an active lane of traffic. Entities are under the influence of alcohol or other substances, drowsy, or encouraged to have a documented process for assessment, testing, otherwise impaired. and validation of their fallback approaches. The purpose of this Voluntary Guidance is to help designers of ADSs analyze, identify, and resolve safety considerations prior to deployment using their own, industry, and other best practices. It outlines 12 safety elements, which the Agency believes represent the consensus across the industry, that are generally considered to be the most salient design aspects to consider and address when developing, testing, and deploying ADSs on public roadways. A VISION FOR SAFETY 8 AUTOMATED DRIVING SYSTEMS 2.0:

15 Validation Methods 5. Given that the scope, technology, and capabilities vary widely Prior to on-road testing, entities are encouraged to consider the for different automation functions, entities are encouraged to extent to which simulation and track testing may be necessary. develop validation methods to appropriately mitigate the safety risks Testing may be performed by the entities themselves, but could also associated with their ADS approach. Tests should demonstrate the be performed by an independent third party. behavioral competencies an ADS would be expected to perform Entities should continue working with NHTSA and industry standards during normal operation, the ADS’s performance during crash organizations (SAE, International Organization for Standards [ISO], avoidance situations, and the performance of fallback strategies etc.) and others to develop and update tests that use innovative relevant to the ADS’s ODD. methods as well as to develop performance criteria for test facilities that intend to conduct validation tests. To demonstrate the expected performance of an ADS for deployment on public roads, test approaches may include a combination of simulation, test track, and on-road testing. A VISION FOR SAFETY 9 AUTOMATED DRIVING SYSTEMS 2.0:

16 SECTION 1: VOLUNTARY GUIDANCE 6. Human Machine Interface ADSs), motorcyclists, bicyclists, and pedestrians. HMI design should Understanding the interaction between the vehicle and the driver, commonly referred to as “human machine interface” (HMI), has also consider the need to communicate information regarding the ADS’s state of operation relevant to the various interactions it may always played an important role in the automotive design process. encounter and how this information should be communicated. New complexity is introduced to this interaction as ADSs take on driving functions, in part because in some cases the vehicle must In vehicles that are anticipated not to have driver controls, entities be capable of accurately conveying information to the human driver are encouraged to design their HMI to accommodate people with regarding intentions and vehicle performance. This is particularly true 19 disabilities (e.g., through visual, auditory, and haptic displays). for ADSs in which human drivers may be requested to perform any part of the driving task. For example, in a Level 3 vehicle, the driver In vehicles where an ADS may be intended to operate without a always must be receptive to a request by the system to take back human driver or even any human occupant, the remote dispatcher driving responsibilities. However, a driver’s ability to do so is limited or central control authority, if such an entity exists, should be by their capacity to stay alert to the driving task and thus capable of able to know the status of the ADS at all times. Examples of these quickly taking over control, while at the same time not performing may include unoccupied SAE Automation Level 4 or 5 vehicles, the actual driving task until prompted by the vehicle. Entities are automated delivery vehicles, last-mile special purpose ground encouraged to consider whether it is reasonable and appropriate to drones, and automated maintenance vehicles. incorporate driver engagement monitoring in cases where drivers Given the ongoing research and rapidly evolving nature of this field, could be involved in the driving task so as to assess driver awareness entities are encouraged to consider and apply voluntary guidance, and readiness to perform the full driving task. best practices, and design principles published by SAE International, Entities are also encouraged to consider and document a process for ISO, NHTSA, the American National Standards Institute (ANSI), the the assessment, testing, and validation of the vehicle’s HMI design. International Commission on Illumination (CIE), and other relevant Considerations should be made for the human driver, operator, organizations, based upon the level of automation and expected occupant(s), and external actors with whom the ADS may have level of driver engagement. interactions, including other vehicles (both traditional and those with AT MINIMUM An ADS should be capable of informing the human operator or occupant through various indicators that the ADS is: Experiencing a malfunction; and/or • • Functioning properly; • Currently engaged in ADS mode; Requesting control transition from the ADS to the • operator. Currently “unavailable” for use; • A VISION FOR SAFETY 10 AUTOMATED DRIVING SYSTEMS 2.0:

17 7. Vehicle Cybersecurity to report to the Auto-ISAC all discovered incidents, exploits, threats Entities are encouraged to follow a robust product development and vulnerabilities from internal testing, consumer reporting, process based on a systems engineering approach to minimize risks to safety, including those due to cybersecurity threats and or external security research as soon as possible, regardless of vulnerabilities. This process should include a systematic and ongoing membership. Entities are further encouraged to establish robust cyber incident response plans and employ a systems engineering safety risk assessment for each ADS, the overall vehicle design approach that considers vehicle cybersecurity in the design into which it is being integrated, and when applicable, the broader 20 process. Entities involved with ADSs should also consider adopting a transportation ecosystem. coordinated vulnerability reporting/disclosure policy. Entities are encouraged to design their ADSs following established best practices for cyber vehicle physical systems. Entities are encouraged to consider and incorporate voluntary guidance, best practices, and design principles published by National Institute of 21 ), NHTSA, SAE International, the Standards and Technology (NIST Alliance of Automobile Manufacturers, the Association of Global Automakers, the Automotive Information Sharing and Analysis Center 22 (Auto-ISAC), and other relevant organizations, as appropriate. NHTSA encourages entities to document how they incorporated vehicle cybersecurity considerations into ADSs, including all actions, changes, design choices, analyses, and associated testing, and ensure that data is traceable within a robust document version control environment. Industry sharing of information on vehicle cybersecurity facilitates collaborative learning and helps prevent industry members from experiencing the same cyber vulnerabilities. Entities are encouraged A VISION FOR SAFETY 11 AUTOMATED DRIVING SYSTEMS 2.0:

18 SECTION 1: VOLUNTARY GUIDANCE Crashworthiness 8. Occupant Protection Compatibility Given that a mix of vehicles with ADSs and those without will be Unoccupied vehicles equipped with ADSs should provide geometric and energy absorption crash compatibility with existing vehicles on operating on public roadways for an extended period of time, 24 entities still need to consider the possible scenario of another vehicle the road. ADSs intended for product or service delivery or other crashing into an ADS-equipped vehicle and how to best protect unoccupied use scenarios should consider appropriate vehicle crash vehicle occupants in that situation. Regardless of whether the ADS compatibility given the potential for interactions with vulnerable road is operating the vehicle or the vehicle is being driven by a human users and other vehicle types. driver, the occupant protection system should maintain its intended performance level in the event of a crash. Entities should consider incorporating information from the advanced sensing technologies needed for ADS operation into new occupant protection systems that provide enhanced protection to occupants of all ages and sizes. In addition to the seating configurations evaluated in current standards, entities are encouraged to evaluate and consider additional countermeasures that will protect all occupants in any alternative planned seating or 23 interior configurations during use. Entities are not required to submit a Voluntary Safety Self-Assessment, nor is there any mechanism to compel entities to do so. While these assessments are encouraged prior to testing and deployment, NHTSA does not require that entities provide disclosures nor are they required to delay testing or deployment. Assessments are not subject to Federal approval. A VISION FOR SAFETY 12 AUTOMATED DRIVING SYSTEMS 2.0:

19 9. Post-Crash ADS Behavior Additionally, entities are encouraged to have documentation Entities engaging in testing or deployment should consider methods of returning ADSs to a safe state immediately after being involved available that facilitates the maintenance and repair of ADSs before in a crash. Depending upon the severity of the crash, actions such they can be put back in service. Such documentation would likely identify the equipment and the processes necessary to ensure safe as shutting off the fuel pump, removing motive power, moving the vehicle to a safe position off the roadway (or safest place available), operation of the ADSs after repairs. disengaging electrical power, and other actions that would assist the ADSs should be considered. If communications with an operations center, collision notification center, or vehicle communications technology exist, relevant data is encouraged to be communicated and shared to help reduce the harm resulting from the crash. A VISION FOR SAFETY 13 AUTOMATED DRIVING SYSTEMS 2.0:

20 SECTION 1: VOLUNTARY GUIDANCE 10. Data Recording issued by accredited standards developing organizations such as SAE Learning from crash data is a central component to the safety 25 International. Likewise, these organizations are encouraged to be potential of ADSs. For example, the analysis of a crash involving a single ADS could lead to safety developments and subsequent actively engaged in the discussion and regularly update standards as necessary and appropriate. prevention of that crash scenario in other ADSs. Paramount to this type of learning is proper crash reconstruction. Currently, no To promote a continual learning environment, entities engaging in standard data elements exist for law enforcement, researchers, testing or deployment should collect data associated with crashes and others to use in determining why an ADS-enabled vehicle involving: (1) fatal or nonfatal personal injury or (2) damage that crashed. Therefore, entities engaging in testing or deployment requires towing, including damage that prevents a motor vehicle are encouraged to establish a documented process for testing, involved from being driven under its own power in its customary validating, and collecting necessary data related to the occurrence manner or damage that prevents a motor vehicle involved from of malfunctions, degradations, or failures in a way that can be used being driven without resulting in further damage or causing a hazard to establish the cause of any crash. Data should be collected for to itself, other traffic elements, or the roadway. on-road testing and use, and entities are encouraged to adopt voluntary guidance, best practices, design principles, and standards For crash reconstruction purposes (including during testing), it is recommended that ADS data be stored, maintained, and readily available for retrieval as is current practice, including applicable 26 privacy protections, for crash event data recorders. Vehicles should record, at a minimum, all available information relevant to the crash, so that the circumstances of the crash can be reconstructed. These data should also contain the status of the ADS and whether the ADS or the human driver was in control of the vehicle leading up to, during, and immediately following a crash. Entities should have the technical and legal capability to share with government authorities the relevant recorded information as necessary for crash reconstruction purposes. Meanwhile, for consistency and to build public trust and acceptance, NHTSA will continue working with SAE International to begin the work necessary to establish uniform data elements for ADS crash reconstruction. . A VISION FOR SAFETY 14 AUTOMATED DRIVING SYSTEMS 2.0:

21 Federal, State, and Local Laws 12. Consumer Education and Training 11. Entities are also encouraged to document how they intend to Education and training is imperative for increased safety during 27 Therefore, entities are encouraged to the deployment of ADSs. account for all applicable Federal, State, and local laws in the design of their vehicles and ADSs. Based on the operational develop, document, and maintain employee, dealer, distributor, and consumer education and training programs to address the design domain(s), the development of ADSs should account for all anticipated differences in the use and operation of ADSs from those governing traffic laws when operating in automated mode for the 30 region of operation. For testing purposes, an entity may rely on an of the conventional vehicles that the public owns and operates 28 Such programs should consider providing target users ADS test driver or other mechanism to manage compliance with the today. the necessary level of understanding to utilize these technologies applicable laws. properly, efficiently, and in the safest manner possible. In certain safety-critical situations (such as having to cross double Entities, particularly those engaging in testing or deployment, should lines on the roadway to travel safely past a broken-down vehicle on also ensure that their own staff, including their marketing and sales the road) human drivers may temporarily violate certain State motor forces, understand the technology and can educate and train their vehicle driving laws. It is expected that ADSs have the capability of 29 handling such foreseeable events safely; entities are encouraged to dealers, distributors, and consumers. have a documented process for independent assessment, testing, Consumer education programs are encouraged to cover topics and validation of such plausible scenarios. such as ADSs’ functional intent, operational parameters, system Given that laws and regulations will inevitably change over time, capabilities and limitations, engagement/disengagement methods, HMI, emergency fallback scenarios, operational design domain entities should consider developing processes to update and adapt ADSs to address new or revised legal requirements. parameters (i.e., limitations), and mechanisms that could alter ADS behavior while in service. They should also include explicit information on what the ADS is capable and not capable of in an effort to minimize potential risks from user system abuse or misunderstanding. NHTSA encourages collaboration and communication As part of their education and training programs, ADS dealers and between Federal, State, and local governments and distributors should consider including an on-road or on-track the private sector as the technology evolves, and the experience demonstrating ADS operations and HMI functions prior Agency will continue to coordinate dialogue among all to consumer release. Other innovative approaches (e.g., virtual reality stakeholders. Collaboration is essential as our Nation or onboard vehicle systems) may also be considered, tested, and employed. These programs should be continually evaluated for their embraces the many technological developments effectiveness and updated on a routine basis, incorporating feedback affecting our public roadways. from dealers, customers, and other sources. . A VISION FOR SAFETY 15 AUTOMATED DRIVING SYSTEMS 2.0:

22 SECTION 1: VOLUNTARY GUIDANCE VOLUNTARY SAFETY SELF-ASSESSMENT For each safety element laid out by the Voluntary Guidance, entities are Entities engaged in ADS testing and deployment may demonstrate how they address – via industry best practices, their own best practices, encouraged to include an acknowledgment within the Voluntary Safety Self-Assessment that indicates one of the following: or other appropriate methods – the safety elements contained in the Voluntary Guidance by publishing a Voluntary Safety Self-Assessment. This safety element was considered during product development • The Voluntary Safety Self-Assessment is intended to demonstrate to the efforts for the subject feature; or public (particularly States and consumers) that entities are: (1) considering • This safety element is not applicable to the subject product the safety aspects of ADSs; (2) communicating and collaborating with development effort. DOT; (3) encouraging the self-establishment of industry safety norms for ADSs; and (4) building public trust, acceptance, and confidence through NHTSA envisions that the Voluntary Safety Self-Assessments would transparent testing and deployment of ADSs. It also allows companies contain concise information on how entities are utilizing the Voluntary an opportunity to showcase their approach to safety, without needing to Guidance and/or their own processes to address applicable safety reveal proprietary intellectual property. elements identified in the Voluntary Guidance. The Voluntary Safety Self- Assessment should not serve as an exhaustive recount of every action To facilitate this process and as an example of the type of information the entity took to address a particular safety element. an entity might provide as part of its Voluntary Safety Self-Assessment, NHTSA has assembled an illustrative template for one of the safety Entities are not required to submit a Voluntary Safety Self-Assessment, elements within the Voluntary Guidance. This template is available on nor is there any mechanism to compel entities to do so. While these NHTSA’s website. However, the information submitted could vary beyond assessments are encouraged prior to testing and deployment, NHTSA the template when information is limited or unavailable (e.g., testing does not require that entities provide submissions nor are they required activities) or if the entity wishes to provide supplemental information. to delay testing or deployment. Assessments are not subject to Federal approval. Entities should ensure that Voluntary Safety Self-Assessments do not contain confidential business information (CBI), as it would be information available to the public. Entities will presumably wish to update these documents over time. A VISION FOR SAFETY 16 AUTOMATED DRIVING SYSTEMS 2.0:


24 THE FEDERAL AND STATE ROLES NHTSA strongly encourages States not to codify this Voluntary Guidance (that is, incorporate it into State statutes) as a legal requirement for any phases of development, testing, or deployment of ADSs. Allowing NHTSA alone to regulate the safety design and performance aspects of ADS technology will help avoid conflicting Federal and State laws and regulations that could impede deployment. A VISION FOR SAFETY 18 AUTOMATED DRIVING SYSTEMS 2.0:

25 TECHNICAL ASSISTANCE TO STATES SECTION 2: Best Practices for Legislatures Regarding Automated Driving Systems OVERVIEW The National Highway Traffic Safety Administration (NHTSA) of the Vehicle Administrators (AAMVA) under which the Autonomous Vehicle U.S. Department of Transportation (DOT) is prepared to assist with Best Practices Working Group was created. The working group was challenges that States face regarding the safe integration of SAE Level chartered to organize and share information related to the development, design, testing, use, and regulation of ADSs and other emerging vehicle 3 and above Automated Driving Systems (ADSs) on public roads. Given that vehicles operating on public roads are subject to both Federal and technology. Based on the working group’s research, a report is currently being developed to assist jurisdictions in enhancing their current ADS State jurisdictions and States are beginning to regulate ADSs, NHTSA has 31 regulations or considering developing new legislation. The goal of developed this section. It is designed to clarify and delineate the Federal the report is to promote uniformity amongst jurisdictions and provide a and State roles in the regulation of ADSs and lay out a framework that the States can use as they write their laws and regulations surrounding ADSs baseline safety approach to possible challenges to the regulation of ADS to ensure a consistent, unified national framework. sand testing the drivers who operate them. Coinciding with the development of AAMVA’s report, NHTSA has NHTSA is working to bring ADSs safely onto the Nation’s roadways in continued to work with State stakeholders including the National a way that encourages ADS entities (manufacturers, suppliers, transit Conference of State Legislatures (NCSL) and the Governors Highway operators, automated fleet operators, or any entity that offers services utilizing ADSs), consumer advocacy organizations, State legislatures, and Safety Association (GHSA) to identify emerging challenges in the integration of ADSs and conventional motor vehicles. other interested parties to work together in a shared environment. As the technology grows and the horizon of ADS changes rapidly, it is essential Based on public input and the Agency’s ongoing work with partners such for each of these entities and interested parties to exercise due diligence as NCSL, GHSA, and AAMVA, NHTSA offers these Best Practices and in staying ahead of activity in a proactive—rather than reactive—manner. specific legal components States should consider as we all work toward the shared goal of advancing safe ADS integration. The objective is to States have begun to propose and pass legislation concerning ADSs. assist States in developing ADS laws, if desired, and creating consistency Public comments to NHTSA suggest that these proposals present several disparate approaches for adding and amending State authority over in ADS regulation across the country. ADSs. Public comments and some State officials have asked NHTSA to While technology is evolving and new State legislative language is still provide guidance (and eventually regulations) that would support a more being drafted and reviewed, States can proactively evaluate current national approach to testing and deploying ADSs. laws and regulations so as not to unintentionally create barriers to ADS Further, in a prior collaborative effort between States and the Federal operation, such as a requirement that a driver have at least one hand on Government, NHTSA entered a 2-year cooperative agreement the steering wheel at all times. (beginning in September 2014) with the American Association of Motor A VISION FOR SAFETY 19 AUTOMATED DRIVING SYSTEMS 2.0:

26 SECTION 2: TECHNICAL ASSISTANCE TO STATES NHTSA encourages States to review others’ FEDERAL AND STATE REGULATORY ROLES draft ADS policies and legislation and work In consideration of State activity regarding ADSs, as well as NHTSA’s activity at the Federal level, it is toward consistency. The goal of State important to delineate Federal and State regulatory responsibility for motor vehicle operation. policies in this realm need not be uniformity or identical laws and regulations across all These general areas of responsibility should remain largely unchanged for ADSs. NHTSA is States. Rather, the aim should be sufficient responsible for regulating motor vehicles and motor vehicle equipment, and States are responsible consistency of laws and policies to promote for regulating the human driver and most other aspects of motor vehicle operation. innovation and the swift, widespread, safe Further DOT involvement includes safety, evaluation, planning, and maintenance of the Nation’s integration of ADSs. infrastructure through FHWA as well as regulation of the safe operation of interstate motor carriers States are encouraged to maintain a good and commercial vehicle drivers, along with registration and insurance requirements through the state of infrastructure design, operation, and Federal Motor Carrier Safety Administration (FMCSA). maintenance that supports ADS deployment DOT strongly encourages States to allow DOT alone to regulate the safety design and performance and to adhere to the Manual on Uniform aspects of ADS technology. If a State does pursue ADS performance-related regulations, that State Traffic Control Devices (MUTCD), the existing should consult with NHTSA. national standard for traffic control devices as required by law. For example, items that may be considered a low priority now because STATES’ RESPONSIBILITIES NHTSA’S RESPONSIBILITIES of the presence of a human driver may be considered a higher priority as vehicle systems begin to rely more on machine • Licensing human drivers and registering Setting Federal Motor Vehicle Safety • vision and other techniques to detect where motor vehicles in their jurisdictions Standards (FMVSSs) for new motor they are in a given lane. In addition, States vehicles and motor vehicle equipment • Enacting and enforcing traffic laws and are urged to continue to work with the (with which manufacturers must certify regulations Federal Highway Administration (FHWA) and compliance before they sell their 33 the American Association of State Highway vehicles) • Conducting safety inspections, where States 32 and Transportation Officials (AASHTO) choose to do so Enforcing compliance with FMVSSs • to support uniformity and consensus in infrastructure standards setting. This will • Regulating motor vehicle insurance and • Investigating and managing the recall and support the safe operation of ADSs and liability remedy of noncompliances and safety- ensure the safety of human drivers, who will related motor vehicle defects nationwide continue to operate vehicles on the roads for years to come. • Communicating with and educating the public about motor vehicle safety issues AUTOMATED DRIVING SYSTEMS 2.0: 20 A VISION FOR SAFETY

27 BEST PRACTICES FOR LEGISLATURES As States act to ensure the safety of road users in their jurisdictions, NHTSA continually monitors and reviews language to stay informed on State legislation. In reviewing draft State legislation, the Agency has identified common components and has highlighted significant elements regarding ADSs that States should consider including in legislation. As such, NHTSA recommends the following safety-related best practices when crafting legislation for ADSs: Provide a “technology-neutral” environment. • States should not place unnecessary burdens on competition and innovation by limiting ADS testing or deployment to motor vehicle manufacturers only. For example, no data suggests that experience in vehicle manufacturing is an indicator of the ability to safely test or deploy vehicle technology. All entities that meet Federal and State law prerequisites for testing or deployment should have the ability to operate in the State. officials, other road users, and ADS passengers will be improved • Provide licensing and registration procedures. with greater understanding of the technology, capabilities, and States are responsible for driver licensing and vehicle registration functioning environment. States should develop procedures for procedures. To support these efforts, NHTSA recommends defining entities to report crashes and other roadway incidents involving ADSs “motor vehicle” under ADS laws to include any vehicle operating on to law enforcement and first responders. the roads and highways of the State; licensing ADS entities and test Review traffic laws and regulations that may serve as barriers to • operators for ADSs; and registering all vehicles equipped with ADSs operation of ADSs. and establishing proof of financial responsibility requirements in the form of surety bonds or self-insurance. These efforts provide States States should review their vehicle codes, applicable traffic laws, with the same information as that collected for conventional motor and similar items to determine if there are unnecessary regulatory vehicles and improve State recordkeeping for ADS operation. barriers that would prevent the testing and deployment of ADSs on public roads. For example, some States require a human operator to Provide reporting and communications methods for Public Safety • have one hand on the steering wheel at all times – a law that would Officials. pose a barrier to Level 3 through Level 5 ADSs. States can take steps to monitor safe ADS operation through reporting and communications mechanisms so that entities can coordinate with public safety agencies. The safety of public safety A VISION FOR SAFETY 21 AUTOMATED DRIVING SYSTEMS 2.0:

28 SECTION 2: TECHNICAL ASSISTANCE TO STATES BEST PRACTICES FOR STATE HIGHWAY SAFETY OFFICIALS Consider creating a jurisdictional ADS technology committee b. States have a general responsibility to reduce traffic crashes and the that is launched by the designated lead agency and includes resulting deaths, injuries, and property damage for all road users in their representatives from the governor’s office, the motor vehicle jurisdictions. States use this authority to establish and maintain highway administration, the State department of transportation, the State safety programs addressing: driver education and testing; licensing; law enforcement agency, the State Highway Safety Office, State pedestrian safety; law enforcement; vehicle registration and inspection; office of information technology, State insurance regulator, the traffic control; highway design and maintenance; crash prevention, State office(s) representing the aging and disabled communities, investigation, and recordkeeping; and emergency services. This includes toll authorities, trucking and bus authorities, and transit authorities. any legal components States may wish to consider upon drafting legislation on ADSs. c. To encourage open communication, the designated lead agency may choose to inform the State automated safety technology The following sections describe a framework for States looking for committee of the requests from entities to test in their State and assistance in developing procedures and conditions for ADSs’ introduction the status of the designated agency’s response to companies. onto public roadways. NHTSA and AAMVA’s collaborative partnership on a Model State Policy is the foundation of the following discussion; In an effort to implement a framework for policies and regulations, d. however, it has been upgraded to incorporate additional concerns of the designated lead agency could take steps to use or establish statutory authority. This preparation would involve examination of State stakeholders, the clarification of roles, and an emphasis on the laws and regulations in order to address unnecessary barriers to States’ consideration of the information—rather than a directive for action. ADS operation on public roadways. NHTSA does not expect that States will necessarily need to create any new processes or requirements in order to support ADS activities. Instead, Consider developing an internal process to include an application e. the references below are intended as guidance for those States that may for entities to test in their State. be looking to incorporate ADSs into existing processes or requirements or Consider establishing an internal process for issuing test ADS f. States who are considering such processes or requirements. vehicle permits. States may want to consider new oversight activities Administrative: 1. Application for Entities to Test ADSs on Public Roadways: 2. on an administrative level to support States’ roles and activities as they For those States with an existing application process for test vehicles, relate to ADSs. NHTSA does not expect that States will need to create the following are considerations for applications involving testing of any particular new entity in order to support ADS activities, but States an ADS on public roadways. It is recommended that the application may decide to create some of these entities if the State determines for testing remain at the State level; however, if a State chooses to that they will be useful. The references below are intended as request applications at a local level, these considerations would carry examples of those that may be appropriate for participation. to those jurisdictions. a. Consider identifying a lead agency responsible for deliberation of any ADS testing. A VISION FOR SAFETY 22 AUTOMATED DRIVING SYSTEMS 2.0:

29 Permission for Entities to Test ADSs on Public Roadways: a. 3. States could request that an entity submit an application to the designated lead agency in each State in which it plans to test ADSs. For States that grant permission for testing of vehicles, the following are considerations for granting permission for ADS testing on public A process should be considered for application submission in roadways. It is recommended that permission to test remain at the those situations in which multiple entities are involved in the testing of an ADS. State level; however, State and local governments should coordinate. If a State chooses to request applications at a local level, these States could request the following information from entities to b. considerations would carry to those jurisdictions. ensure accurate recordkeeping: a. For greater public safety, it is recommended that a State’s lead Name, corporate physical and mailing addresses, in-State • agency involve law enforcement agencies before responding to physical and mailing addresses (if applicable), and the program the application for testing from the entity. administrator/director’s name and contact information; b. It would be appropriate to suspend permission to test if the entity • Identification of each ADS that will be used on public roadways fails to comply with the State insurance or driver requirements. by VIN, vehicle type, or other unique identifiers such as the year, make, and model; and • Identification of each test operator, the operator’s driver license number, and the State or country in which the operator is licensed. Inclusion of the entity’s safety and compliance plan for the ADS c. could provide increased safety assurance to the State. d. Inclusion of evidence of the entity’s ability to satisfy a judgment or judgments for damages for personal injury, death, or property damage caused by an ADS in the form of an instrument of insurance, a surety bond, or proof of self-insurance could provide 34 increased safety assurance to the State. Inclusion of a summary of the training provided to the e. employees, contractors, or other users designated by the entity as test operators of the ADS could provide increased safety assurance to the State. A VISION FOR SAFETY 23 AUTOMATED DRIVING SYSTEMS 2.0:

30 SECTION 2: TECHNICAL ASSISTANCE TO STATES Consider identification of an ADS on the title and registration. This c. It would be appropriate for the lead agency to request additional a. information or require an entity to modify its application before could apply to all ADSs or only those capable of operating without granting approval. a human driver. d. Consider requiring notification of ADS upgrades if the vehicle has If a State requires an application, it should consider notification to b. the entity indicating permission to test that ADS in the State. A State been significantly upgraded post-sale. Applicable State forms could be adjusted to reflect the upgrade. may choose to request that entity’s test vehicles carry a copy of proof of permission to test that ADS in those vehicles. 6. General considerations as Working With Public Safety Officials: public safety officials begin to understand vehicles and needs. 4. Specific Considerations for ADS Test Drivers and Operations: Considerations for States providing access for test-ADSs as they are a. States could consider training public safety officials in conjunction operated under designated circumstances and with entity-based with ADS deployments in their jurisdictions to improve operators. understanding of ADS operation and potential interactions. a. If a State is concerned about the training of an ADS test driver, the b. Coordination among States would be beneficial for developing State could request a summary of the training provided to the test policies on human operator behaviors, as to monitor behavior driver. changes—if any—in the presence of ADSs when the vehicle is in control. For test vehicles, the test driver should follow all traffic rules and b. report crashes as appropriate for the State. Initial considerations for State relegation of Liability and Insurance: 7. c. States regulate human drivers. Licensed drivers are necessary to liability during an incident and insurance of the driver, entity, and/ perform the driving functions for motor vehicles equipped with or ADS. These considerations may take time and broad discussion automated safety technologies that are less than fully automated of incident scenarios, understanding of technology, and knowledge (SAE Levels 3 and lower). A licensed driver has responsibility to of how the ADSs are being used (personal use, rental, ride share, operate the vehicle, monitor the operation, or be immediately corporate, etc.). Additionally, determination of the operator of an ADS, available to perform the driving task when requested or the lower in a given circumstance, may not necessarily determine liability for level automated system disengages. crashes involving the ADS. Fully automated vehicles are driven entirely by the vehicle itself d. Begin to consider how to allocate liability among ADS owners, a. and require no licensed human driver (SAE levels 4 and 5), at least operators, passengers, manufacturers, and other entities when a 35 The entire in certain environments or under certain conditions. crash occurs. driving operation (under specified conditions) is performed by a b. For insurance purposes, determine who (owner, operator, motor vehicle automated system from origin to destination. passenger, manufacturer, other entity, etc.) must carry motor Considerations for Registration and Titling: Specific considerations 5. vehicle insurance. regarding identification and records for ADS deployed for consumer c. States could begin to consider rules and laws allocating tort use and operation. liability. A VISION FOR SAFETY 24 AUTOMATED DRIVING SYSTEMS 2.0:

31 CONCLUSION Public trust and confidence in the evolution of ADSs has the potential to advance or inhibit the testing and deployment of ADSs on public roadways. NHTSA is committed to supporting the safety of these emerging and evolutionary technological advancements, which have the potential to significantly improve roadway safety. The Voluntary Guidance, highlighting the 12 priority safety elements, and its associated Voluntary Safety Self-Assessment offer public reassurance that safety remains NHTSA’s top priority. The States’ Best Practices section reinforces NHTSA’s willingness to assist States with the challenges they face regarding ADSs now and in the pivotal years ahead. This document will be updated periodically to reflect advances in technology, increased presence of ADSs on public roadways, and any regulatory action or statutory changes that could occur at both the Federal and State levels. In the meantime, the information provided herein serves to aid industry as it moves forward with testing and deploying ADSs and States with drafting legislation and developing plans and policies regarding ADSs. NHTSA encourages collaboration and communication between Federal, State, and local governments and the private sector as the technology evolves, and the Agency will continue to coordinate dialogue among all stakeholders. Collaboration is essential as our Nation embraces the many technological developments affecting our public roadways. Together, we can use lessons learned to make any necessary course corrections, to prevent or mitigate unintended consequences or safety risks, and to positively transform American mobility safely and efficiently. RESOURCES A central repository of associated references to this and other NHTSA ADS resources will be maintained at . This includes an informational resource to support manufacturers and other entities interested in requesting regulatory action from NHTSA. A VISION FOR SAFETY 25 AUTOMATED DRIVING SYSTEMS 2.0:

32 ENDNOTES 1 and Definitions for Terms Related to Driving Automation Systems for On-Road NHTSA acknowledges that Privacy and Ethical Considerations are also important Motor Vehicles (J3016:Sept2016). for elements for entities to deliberate. See NHTSA’s approach on each. “Fallback ready user” means the user of a vehicle equipped with an engaged 11 ADS feature who is able to operate the vehicle and is receptive to ADS-issued 2 NHTSA completed the Paperwork Reduction Act (PRA) process and received requests to intervene and to evident dynamic driving task (DDT) performance- clearance from the Office of Management and Budget (OMB) on the Federal relevant system failures in the vehicle compelling him or her to perform the DDT Automated Vehicles Policy Voluntary Guidance’s information collection through fallback. See SAE International J3016, International Taxonomy and Definitions August 31, 2018, 81 FR 65709. However, pursuant to PRA, NHTSA is again for Terms Related to Driving Automation Systems for On-Road Motor Vehicles seeking public comment on an updated Information Collection Request (ICR) (J3016:Sept2016). that covers the information included in Automated Driving Systems: A Vision for Safety. The ICR identified in this document will not be effective until the ICR 12 See Automated Vehicle Research for Enhanced Safety: Final Report. process is completed. Collision Avoidance Metrics Partnership, Automated Vehicle Research Consortium. June 2016. DTNH22-050H-01277. The report includes detailed SAE International J3016, International Taxonomy and Definitions for Terms 3 functional descriptions for on-road driving automation levels and identifies Related to Driving Automation Systems for On-Road Motor Vehicles (J3016:Sept potential objective test methods that could be used as a framework for 2016). evaluating emerging and future driving automation features. Available at 4 See, e.g., 49 U.S.C. §§ 30102(a)(8), 30116, 30120. 5 Parts of this Voluntary Guidance could be applied to any form of ADS. Safety-Final-Report-fn-459371.aspx . 6 The National Traffic and Motor Vehicle Safety Act, as amended (“Safety Act”), 49 13 See Nowakowski, C., et al., Development of California Regulations to Govern U.S.C. 30101 et seq., provides the basis and framework for NHTSA’s enforcement , California PATH the Testing and Operation of Automated Driving Systems authority over motor vehicle and motor vehicle equipment defects and non- Program, University of California, Berkeley, Nov. 14, 2014, pg. 10. Available at compliances with Federal Motor Vehicle Safety Standards (FMVSS). . Under ISO 26262 (Road Vehicles: Functional Safety), functional safety refers to 7 14 California Partners for Advanced Transit and Highways (PATH) is a the absence of unreasonable safety risks in cases of electrical and electronic multidisciplinary research and development program of the University of failures. California, Berkeley, with staff, faculty, and students from universities worldwide 8 For example, the U.S. Department of Defense standard practice on system and cooperative projects with private industry, State and local agencies, and safety, MIL-STD-882E. 11 May 2012. Available at . nonprofit institutions. See Documents/MIL-STD-882E.pdf . Id., pgs. 10-11. California PATH’s work described minimum behavioral 15 9 See Van Eikema Hommes, Q.D. (2016, June). Assessment of Safety Standards competencies for automated vehicles as “necessary, but by no means sufficient, for Automotive Electronic Control Systems. (Report No. Dot HS 812 285). capabilities for public operation.” Id. The document’s full peer review is available Washington, DC: National Highway Traffic Safety Administration. Available at at . IntgratedV2.pdf . 10 “Minimal risk condition” means low-risk operating condition that an automated See Rau, P., Yanagisawa, M., and Najm, W. G., T arget Crash Population of 16 driving system automatically resorts to either when a system fails or when Automated Vehicles , available at the human driver fails to respond appropriately to a request to take over the Session 21 Written.pdf . dynamic driving task. See SAE International J3016, International Taxonomy A VISION FOR SAFETY 26 AUTOMATED DRIVING SYSTEMS 2.0:

33 17 See Najm, W. G., Smith, J. D., and Yanagisawa, M., “Pre-Crash Scenario Typology 27 Not applicable to ADS testing. for Crash Avoidance Research,” DOT HS 810 767, April 2007. Available at 28 The training and education programs recommended here are intended to . complement and augment driver training and education programs run by States Available at that retain the primary responsibility for training, testing, and licensing human 18 drivers. AVBenefitFrameworkFinalReport082615_Cover1.pdf . 19 29 Entities are encouraged to seek technical and engineering advice from members Such training and education programs for employees, dealers, distributors, and of the disabled community and otherwise engage with that community to consumers may be administered by an entity other than the direct employer, develop designs informed by its needs and experiences. manufacturer, or other applicable entity. 30 Traffic laws vary from State to State (and even city to city); ADSs should be able Entities should insist that their suppliers build into their equipment robust 20 to follow all laws that apply to the applicable operational design domain. This cybersecurity features. Entities should also address cybersecurity, but they includes speed limits, traffic control devices, one-way streets, access restrictions should not wait to receive equipment from a supplier before doing so. (crosswalks, bike lanes), U-turns, right-on-red situations, metering ramps, and 21 . other traffic circumstances and situations. An Information Sharing and Analysis Center (ISAC) is a trusted, sector specific 22 Future updates to AAMVA’s guide may integrate commercial vehicle ADS 31 entity that can provide a 24-hour-per-day 7-day-per-week secure operating operational aspects brought forth by the Commercial Vehicle Safety Alliance capability that establishes the coordination, information sharing, and (CVSA). intelligence requirements for dealing with cybersecurity incidents, threats, and 32 vulnerabilities. See McCarthy, C., Harnett, K., Carter, A., and Hatipoglu, C. (2014, AASHTO is an international leader in setting technical standards for all phases of highway system development. Standards are issued for design, construction of Assessment of the information sharing and analysis center model October). highways and bridges, materials, and many other technical areas. (Report No. DOT HS 812 076). Washington, DC: National Highway Traffic Safety See . Administration. 33 23 The tools to demonstrate such due care need not be limited to physical testing NHTSA does not expressly regulate motor vehicle (or motor vehicle equipment) but also could include virtual tests with vehicle and human body models. in-use performance after first sale. However, because the FMVSSs apply to the vehicle or equipment when first manufactured and because taking a vehicle In 2003, as part of a voluntary agreement on crash compatibility, the Alliance of 24 or piece of equipment out of compliance with an applicable standard can be a Automobile Manufacturers agreed to a geometric compatibility commitment violation of the Safety Act, the influence of the FMVSSs extends throughout the which would provide for alignment of primary energy absorbing structures life of the vehicle even if NHTSA is not directly regulating it. At the same time, among vehicles. The European Union recently introduced a new frontal States have the authority to regulate a vehicle’s in-use performance (through crash test that also requires geometric load distribution similar to the Alliance safety inspection laws), but as the text here states, State regulations cannot voluntary agreement. conflict with applicable FMVSSs. Additionally, NHTSA continues to have broad The collection, recording, storage, auditing, and deconstruction of data 25 enforcement authority to evaluate and address safety risks as they arise. recorded by an entity must be in strict accordance with the entity’s consumer 34 AAMVA experts recommended a minimum insurance requirement of $5 million; privacy and security agreements and notices, as well as any applicable legal however, that is subject to State considerations. requirements. Some vehicles may be capable of being entirely “driven” either by the vehicle 35 See 49 CFR Part 563, Event Data Recorders. Available at 26 itself or by a human driver. For such dual-capable vehicles, the States would . pkg/CFR-2016-title49-vol6/xml/CFR-2016-title49-vol6-part563.xml have jurisdiction to regulate (license, etc.) the human driver. A VISION FOR SAFETY 27 AUTOMATED DRIVING SYSTEMS 2.0:

34 28


36 DOT HS 812 442 September 2017 13069a-090617-v9a

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