Steven E. Shladover, Sc.D. Ching-Yao Chan, Ph.D. Christopher Nowakowski Wei-Bin Zhang

1. Development of California Regulations for the Testing and Operation of Automated Vehicles on Public Roads Steven E. Shladover, Sc.D. Ching-Yao Chan, Ph.D. Christopher Nowakowski Wei-Bin Zhang Roberto Horowitz, Ph.D. Tom West California PATH Program Institute of Transportation Studies University of California, Berkeley

2. California Automated Vehicle (AV) Legislation • Senate Bill 1298 • Approved by the Governor on Sept. 25, 2012 • Adds Division 16.6, Section 38750 to Vehicle Code • Authorizes the establishment of safety requirements for testing and operation of automated vehicles by the DMV • Defines “Autonomous Technology” as having the capability to drive the vehicle without physical control or monitoring by human operator • Defines what is NOT included in “Autonomous Technology” as: BLIS, Automated Emergency Braking, Park Assist, ACC, Lane Keeping Assist, LDW, Traffic Jam Assist, or similar systems individually or in combination • Defines manufacturer as either the OEM or the person modifying the vehicle by retrofitting automation

3. SAE Definitions of Levels of Automation(J3016 Surface Vehicle Information Report) 0. Non-Automated 1. Assisted (Lane Assist or ACC) 2. Partial Automation • Driver always in-the-loop and responsible for monitoring • System may require immediate driver take-over - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - 3. Conditional Automation • Automation under clearly-delimited conditions • System may require driver take-over with some lead time 4. High Automation • System capable of transitioning to minimal risk state if driver fails to take over • Driverless operation under limited conditions 5. Full Automation • System capable of functioning without a driver

4. Establishing Automated Vehicle Regulations • CA Vehicle Code Section 38750 provides regulation authority to the California DMV • DMV must adopt regulations by Jan 1, 2015 • For testing of automated vehicles by manufacturers on public roadways (although testing is currently still allowed until regulations are adopted) • For operation of automated vehicles by the public on public roadways • Additional regulations may be imposed for automated vehicles capable of operating without a driver in the vehicle • Vehicle Code Section 38750 states that Federal regulations shall supersede if a conflict arises

5. Mfg’s Testing Requirements in VC 38750 • AV test driver shall possess the proper class of license for the vehicle being driven • AV test driver shall be seated in the driver’s seat and capable of taking over immediate manual control • Only employees, contractors, or other persons designated by the manufacturer may operate an AV on public roads • Manufacturer shall complete an application/certification for a testing permit and provide evidence of insurance, surety bond, or proof of self-insurance for $5 M

6. Automated Vehicle Regulations in VC 38750 • Mechanism to engage/disengage easily accessible to the operator • Visual indication that automation is engaged • Alert the operator of failures while automation is engaged • Require the operator to take over • Or bring the vehicle safely to a stop • Operator shall be able to take control with throttle, brakes, steering, and/or other means • Meets FMVSS for vehicle’s model year • AV technology does not disable any FMVSS feature • AV includes a data recording system to capture at least 30 seconds of data before any collision

7. Potential Regulation Topics Stated in VC 38750 The regulations shall include, but not be limited to: • Any Testing, Equipment, and Performance Standards necessary to ensure the safe operation of automated vehicles on public roads • Aggregate number of AVs deployed • Application process for AV testing permit • Special rules for AV registration • New license requirements for AV operators • Rules for revocation, suspension, or denial of AV permits or licenses

8. Topics Under Current Research • How to assess system safety? • Testing and certification requirements for manufacturer testing on public roads • Testing and certification requirements for sale and operation by general public • System-level safety requirements • Additional requirements for driverless operation

9. How to assess system safety? • Certification documentation of design, development and testing process by manufacturer • Third-party safety concept certification • Testing • To satisfy standards (that don’t exist yet)? • Driving competency (like current driver licensing test)? • Specific hazard scenarios?

10. Manufacturer Testing on Public Roads • Application for approval (documentation) • Level of safety to demonstrate before public road tests? • Contents of documentation when vehicle is modified? • Level of prior closed-site testing? • Evidence that safety requirements have been met? • Review and approval criteria? • Self certification vs. third-party? • Testing, data recording and reporting • Minimum DVI requirements? • Test driver training? • Number of test drivers per vehicle? • Data recording and archiving? • External indicators of special vehicle status? • Restrictions on vehicle class or operations? • Criteria for discontinuation of testing approval?

11. Requirements for use by general public • Application for general public use/sale • How much prior on-road testing? • Other minimum requirements for approval? • Protection of privacy of vehicle movement data? • Review and approval criteria • What data should DMV retain about each AV? • Operational requirements • Minimum performance? • Minimum DVI to re-engage driver? • Any external markings? • Minimum maintenance requirements? • Licensing of maintenance/repair shops? • Restrictions on vehicle size or usage? • Minimum driver requirements • Training, licensing, special knowledge?

12. System-level safety requirements • Minimum reliability requirements? • Minimum safety level? • Cyber-security requirements? • Minimal-risk condition capability as a minimum requirement?

13. Additional Requirements for Driverless Operations • What minimum level of safety, and how to demonstrate it? • What level of closed-track testing before testing on public roads? • Restrictions on vehicle sizes or uses? • What level of public-road testing before sale to general public? • Any special hazard conditions to require in testing? • Any special external markings? • Any restrictions on passenger activities?

14. Schedule • DMV to release first draft set of regulations (administrative aspects of on-road testing) for public review and comment this fall, followed by public hearings before adoption in early 2014 • PATH to provide recommendations on second set of regulations (technical issues) by end of this year • DMV to release second draft set of regulations for public review in spring 2014, leading to adoption by end of 2014 to meet legislative deadline • Further DMV updates of regulations likely annually • Useful Links: • http://www.dmv.ca.gov/vr/autonomous/auto.htm • lregulations@dmv.ca.gov