Notice2023-27197
Agency Information Collection Activities; Notice and Request for Comment; Human Interaction With Driving Automation Systems
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
December 12, 2023
Issuing agencies
Transportation DepartmentNational Highway Traffic Safety Administration
Abstract
The National Highway Traffic Safety Administration (NHTSA) invites public comments about our intention to request approval from the Office of Management and Budget (OMB) for a new information collection. Before a Federal agency can collect certain information from the public, it must receive approval from OMB. Under procedures established by the Paperwork Reduction Act of 1995 (the PRA), before seeking OMB approval, Federal agencies must solicit public comment on proposed collections of information, including extensions and reinstatement of previously approved collections. The proposed collection of information described below supports research addressing safety-related aspects of drivers' interactions with driving automation systems.
Full Text
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<title>Federal Register, Volume 88 Issue 237 (Tuesday, December 12, 2023)</title>
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[Federal Register Volume 88, Number 237 (Tuesday, December 12, 2023)]
[Notices]
[Pages 86202-86206]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-27197]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
[Docket No. NHTSA-2023-0063]
Agency Information Collection Activities; Notice and Request for
Comment; Human Interaction With Driving Automation Systems
AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation (DOT).
ACTION: Notice and request for comments on a request for approval of a
new collection of information.
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SUMMARY: The National Highway Traffic Safety Administration (NHTSA)
invites public comments about our intention to request approval from
the Office of Management and Budget (OMB) for a new information
collection. Before a Federal agency can collect certain information
from the public, it must receive approval from OMB. Under procedures
established by the Paperwork Reduction Act of 1995 (the PRA), before
seeking OMB approval, Federal agencies must solicit public comment on
proposed collections of information, including extensions and
reinstatement of previously approved collections. The proposed
collection of information described below supports research addressing
safety-related aspects of drivers' interactions with driving automation
systems.
DATES: Comments must be submitted before February 12, 2024.
ADDRESSES: You may submit comments identified by the docket number
NHTSA-2023-0063 through any of the following methods:
<bullet> Electronic submissions: Go to the Federal eRulemaking
Portal at <a href="http://www.regulations.gov">http://www.regulations.gov</a>. Follow the online instructions
for submitting comments.
<bullet> Fax: (202) 493-2251.
<bullet> Mail or Hand Delivery: Docket Management, U.S. Department
of Transportation, 1200 New Jersey Avenue SE, West Building, Room W12-
140, Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through
Friday, except on Federal holidays. To be sure someone is there to help
you, please call (202) 366-9322 before coming.
Instructions: All submissions must include the agency name and
docket number for this notice. Note that all comments received will be
posted without change to <a href="http://www.regulations.gov">http://www.regulations.gov</a>, including any
personal information provided. Please see the Privacy Act heading
below.
[[Page 86203]]
Privacy Act: Anyone is able to search the electronic form of all
comments received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78) or you may visit <a href="http://www.dot.gov/privacy.html">http://www.dot.gov/privacy.html</a>.
Docket: For access to the docket to read comments received, go to
<a href="http://www.regulations.gov">http://www.regulations.gov</a>, or the street address listed above. Follow
the online instructions for accessing the dockets.
FOR FURTHER INFORMATION CONTACT: For additional information, contact:
Eric Traube, Office of Vehicle Safety Research, Human Factors/
Engineering Integration Division, NSR-310, West Building, W46-424, 1200
New Jersey Ave. SE, Washington, DC 20590; <a href="/cdn-cgi/l/email-protection#a3c6d1cac08dd7d1c2d6c1c6e3c7ccd78dc4ccd5"><span class="__cf_email__" data-cfemail="debbacb7bdf0aaacbfabbcbb9ebab1aaf0b9b1a8">[email protected]</span></a>.
SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), before an agency submits a proposed
collection of information to OMB for approval, it must first publish a
document in the Federal Register providing a 60-day comment period and
otherwise consult with members of the public and affected agencies
concerning each proposed collection of information. The OMB has
promulgated regulations describing what must be included in such a
document. Under OMB's regulation (at 5 CFR 1320.8(d)), an agency must
ask for public comment on the following: (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the proposed collection of information, including the
validity of the methodology and assumptions used; (c) how to enhance
the quality, utility, and clarity of the information to be collected;
and (d) how to minimize the burden of the collection of information on
those who are to respond, including the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g., permitting electronic
submission of responses. In compliance with these requirements, NHTSA
asks for public comments on the following proposed collection of
information for which the agency is seeking approval from OMB.
Title: Human Interaction with Driving Automation Systems.
OMB Control Number: New.
Form Numbers: There are multiple forms for this collection
including: Eligibility Questionnaire, NHTSA Form 1742; Informed Consent
Study 1, NHTSA Form 1743; Informed Consent Study 2, NHTSA Form 1744;
Informed Consent Study 3, NHTSA Form 1745; Pre-Drive Questionnaire,
NHTSA Form 1746; Wellness Questionnaire, NHTSA Form 1747; In-Drive
Questionnaire, NHTSA Form 1748; Post-Drive Questionnaire, NHTSA Form
1749.
Type of Request: New information collection.
Type of Review Requested: Regular.
Requested Expiration Date of Approval: Three years from date of
approval.
Summary of the Collection of Information
The National Highway Traffic Safety Administration (NHTSA) has
proposed to perform research involving the collection of information
from the public as part of a multi-year effort to learn about how
humans interact with driving automation systems (DAS). This research
will support NHTSA in understanding the potential safety challenges
associated with human-DAS interactions, particularly in the context of
mixed traffic interactions where some vehicles have DAS and others do
not. Within mixed traffic environments, vehicles may also have DAS that
perform more or less of the driving task (i.e., different levels of
automation) and come with their own sets of expectations and
limitations.
The research will involve human subjects testing using a driving
simulator. The goal is to understand how drivers interact with driving
automation systems, specifically in situations where the automation
behaves unlike a human driver. The project will measure interactions
between humans and driving automation systems by (1) examining driving
performance measures (such as takeover time and reaction time), (2)
measuring understanding of the automation through questionnaires, (3)
measuring trust in automation using questionnaires, and (4) measuring
risk taking through questionnaires and a simple behavioral task on a
computer. This research will add to NHTSA's state of knowledge and is
not immediately intended to inform regulations or policy.
The research will be conducted in three parts, referred to as Study
1, Study 2, and Study 3. All study procedures will be approved by the
University of Iowa Institutional Review Board (IRB). Data collection
will begin upon receipt of PRA clearance and will involve human-
subjects data collection using the driving simulators at the University
of Iowa Driving Safety Research Institute (DSRI).
The data collections will be performed once to obtain the target
number of valid test participants. Study participants will be members
of the general public and participation will be voluntary with monetary
compensation provided. Participants will include licensed drivers aged
18 to 65 who are healthy and able to drive without assistive devices.
Participants will be recruited using the DSRI registry and through
email blasts to University of Iowa community.
The objective of the first study is to understand how humans
interact with DAS in mixed traffic environments, driving environments
where some vehicles have automated capabilities, and some vehicles are
driven manually. In the first study, participants will participate in
pairs with each participant driving a separate driving simulator but
interacting in the same driving environment. Participants will
experience one of two driving automation systems. Both members of the
participant pair will provide informed consent, a pre-drive
questionnaire, a training presentation, a familiarization drive,
wellness questionnaires to screen for simulator sickness, a study
drive, in-drive ratings of trust, a post-drive questionnaire, and a
risk-propensity assessment. During the simulator drives, one member of
the pair will perform a continuous drive along a specified route. The
other member of the pair will complete three short drives where they
interact with the other participant at specific points throughout the
drive. The simulator will collect vehicle data (e.g., brake inputs,
steering wheel angle) and data about the surrounding environment (e.g.,
distance to surrounding vehicles and lane markings). After the drives,
participants will complete a questionnaire to assess their
understanding of the DAS and their trust in and acceptance of the DAS.
Data will be analyzed to understand how human drivers interact with DAS
in mixed traffic situations and to understand how humans understand and
perceive automation in different situations.
Study 2 will focus on understanding the impact of different levels
of automated system capability, defined by how well the automation can
perform different driving behaviors. In the second study, participants
will complete a drive in a driving simulator with a driving automation
system. The study drive will contain situations to which the DAS must
respond.
[[Page 86204]]
Participants will be randomly assigned to one of three systems with
different capabilities, defined by how well the automation can navigate
the set of test situations. The simulator will collect vehicle data
(e.g., brake inputs, steering wheel angle) and data about the
surrounding environment (e.g., distance to surrounding vehicles and
lane markings). After the drives, participants will complete a
questionnaire to assess their understanding of the DAS and their trust
in and acceptance of the DAS as well as a risk-propensity assessment.
Data will be analyzed to understand how human drivers interact with DAS
in mixed traffic situations and to understand how humans understand and
perceive automation in different situations.
Study 3 will be similar to Study 2 but will focus on how the
decision-making behaviors of the automated driving systems impact user
experience and driving performance. In the third study, participants
will complete a drive in a driving simulator with a driving automation
system. The study drive will contain situations to which the DAS must
respond. Participants will be randomly assigned to one of three systems
with different capabilities, defined by how well the automation can
navigate the set of test situations. Procedures for the three studies
are identical apart from the study drive experienced.
These three studies will involve information collection through
participant screening questions, a pre-drive questionnaire, a wellness
questionnaire to measure simulator sickness symptoms, assessment of
driving performance in a driving simulator with a situational trust
questionnaire administered at points during the study drives, a post-
drive questionnaire, and a behavioral assessment of risk-taking
propensity called the balloon analogue risk task (BART).
The National Highway Traffic Safety Administration's (NHTSA)
mission is to save lives, prevent injuries, and reduce economic costs
associated with motor vehicle crashes. As new vehicle technologies are
developed, it is prudent to ensure that they do not create any
unintended decrease in safety. The safe deployment of driving
automation systems, particularly when deployed in mixed traffic where
some vehicles are controlled by automation and some are controlled
manually, requires an understanding of how humans respond to and
perceive different automation behavior. This work seeks to examine how
drivers interact with driving automation systems in a wide sample of
contexts and different levels of automation.
The collection of information will consist of:
1. Eligibility Questionnaire (NHTSA Form 1742).
2. Informed Consent Study 1 (NHTSA Form 1743).
3. Informed Consent Study 2 (NHTSA Form 1744).
4. Informed Consent Study 3 (NHTSA Form 1745).
5. Pre-Drive Questionnaire (NHTSA Form 1746).
6. Wellness Questionnaire (NHTSA Form 1747).
7. Driving Behavior Assessment (Pre-Drive PowerPoint Training,
Familiarization Drive, Study Drive with In-Drive Questionnaire (NHTSA
Form 1748).
8. Post-Drive Questionnaire (NHTSA Form 1749).
9. Balloon Analogue Risk Task (BART).
The information to be collected will be used for the following
purposes:
1. Eligibility Questionnaire (NHTSA Form 1742)--Necessary for
determining individuals' suitability for study participation based on
driving experience and history, general health, and ability to safely
drive in the simulator without health concerns. The Eligibility
Questionnaire will solely be used to determine individuals' suitability
for study participation and will not be analyzed in any way. These
criteria will remain the same across studies.
2. Informed Consent Study 1 (NHTSA Form 1743)--Necessary for
obtaining informed written consent from the participant to participate
in the study. The form describes all study procedures, data storage and
use, and potential risks from the study.
3. Informed Consent Study 2 (NHTSA Form 1744)--Necessary for
obtaining informed written consent from the participant to participate
in the study. The form describes all study procedures, data storage and
use, and potential risks from the study.
4. Informed Consent Study 3 (NHTSA Form 1745)--Necessary for
obtaining informed written consent from the participant to participate
in the study. The form describes all study procedures, data storage and
use, and potential risks from the study.
5. Pre-Drive Questionnaire (NHTSA Form 1746)--Necessary for
collecting data used to measure participants' understanding (i.e.,
mental model) of DAS and their pre-drive trust in the DAS. Collecting
these data before and after the drives will let us measure how exposure
to the DAS impacts understanding and trust. Demographic information
(e.g., age, sex, gender, race, ethnicity) will also be collected. This
pre-drive questionnaire will remain the same across all three studies.
6. Wellness Questionnaire (NHTSA Form 1747)--Necessary for
evaluating simulator sickness symptoms to determine individuals'
ability to complete the study drive in the driving simulator. This
questionnaire will be administered pre-drive (to obtain baseline
ratings), after the familiarization drive, and after the study drive.
This wellness questionnaire will remain the same across all three
studies.
7. Driving Behavior Assessment (Study Drive) with In-Drive
Questionnaire (NHTSA Form 1748)--Before the study drive, participants
will complete training via a PowerPoint presentation on a computer in a
private study room. The presentation will introduce the simulator, the
familiarization and study drive procedures, the DAS, and the non-
driving email task. The familiarization drive is necessary to acclimate
the participant to the driving simulator and perform a real-time
determination for simulator sickness while training the participant on
how to use the driving automation system. The study drive is necessary
for gathering driving performance information for the purpose of
assessing how drivers interact with automated systems and the impact of
these interactions on safety. The in-drive questionnaire is necessary
for understanding drivers' trust in the DAS at various points during
the study drive. In Study 1, this information is collected after the
events where the pair of research participants interact with one
another. In Studies 2 & 3, this information is collected after the four
events where the behavior of the automation varies across the different
conditions. The information will be used to measure trust in the DAS
following specific events. These questions will remain the same across
all three studies.
8. Post-Drive Questionnaire (NHTSA Form 1749)--Necessary for
collecting data used to measure participants' understanding (i.e.,
mental model) of DAS and their post-drive trust in the DAS, as well as
general risk-taking behavior while driving. This post-drive
questionnaire will remain the same across all three studies.
9. Balloon Analogue Risk Task (BART)--Necessary for measuring
objective risk-taking propensity. For this computerized task,
participants are presented with 20 different balloons (20 trials) and
told that ``the actual number of pumps for any particular balloon will
[[Page 86205]]
vary.'' Participants are instructed to attempt to earn as many points
as possible. At the beginning of each trial, the participant decides
how many pumps they thought the balloon would hold and input this
number. Each balloon inflates for 3 seconds and then either pops or
stays intact depending on whether the participant's wager was above or
below the predetermined explosion point for that balloon. If the
balloon is pumped past its explosion point, it will pop, and the
participant earns no points for that balloon. If the balloon is not
pumped past the explosion point, the participant keeps the number of
pumps as points. After each outcome, a new deflated balloon appears on
the screen and points earned will be added to the total. Each balloon
could earn a maximum of 128 points with an explosion point equally
likely to occur on any given pump participant to the constraint that
within each sequence of 10 balloons the average explosion point was on
pump 64. The task will remain the same across the three studies and is
a standardized online tool.
Affected Public
Individuals aged 18+ from Eastern Iowa and the surrounding areas
who have volunteered to take part in driving studies will be contacted
for participation. They will be randomized evenly by sex, though some
imbalance will be permitted to be inclusive of individuals who do not
identify on the gender spectrum or as a result of differences in how
sex may be identified on drivers' licenses across States. Efforts will
be made to enroll a diverse age sample that broadly represents the age
of the driving population and includes those at greater risk of
crashing (e.g., less than 25 years of age and greater than 65 years of
age). Businesses are ineligible for the sample and will not be
contacted.
Estimated Number of Respondents
To obtain the target number of 224 valid test participants.
Assuming typical data loss rates for simulator testing with human
participants, it is anticipated that 300 participants will need to be
run in order to obtain 224 valid participant datasets. This will ensure
sufficient statistical power in each of the three studies to detect
differences between conditions.
Information for the three studies will be obtained in an
incremental fashion to permit the determination of which individuals
have the necessary characteristics for study participation. All
interested candidates will complete the Eligibility Questionnaire. From
the subset of individuals found to meet the criteria in the Eligibility
Questionnaire, a subset will be chosen with the goal of achieving a
sample providing a balance of sex to be scheduled for study
participation. Some imbalance will be allowed to be inclusive of all
identities since not all individuals will identify on the gender
spectrum. Participants will complete the Pre-Drive Questionnaire before
a familiarization drive and the Wellness Questionnaire immediately
after the drive to screen for simulator sickness. Participants who pass
the screening will complete the remainder of the study procedures,
including the In-Drive Questionnaire, the Post-Drive Questionnaire, and
the Balloon Analogue Risk Task.
Data collection will involve approximately 700 respondents for the
Eligibility Questionnaire (with approximately 400 potentially meeting
eligibility criteria) and 300 respondents for the Pre-Drive
Questionnaire, Wellness Questionnaire, the Driving Behavior Assessment,
the Post-Drive Questionnaire, and the Balloon Analogue Risk Task. A
summary of the estimated numbers of individuals that will complete the
noted question sets is provided in the following table.
Estimated Number of Total Respondents
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Participants (i.e.,
Information collection NHTSA form No. respondents)
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Eligibility Questionnaire..... 1742 700.
Informed Consent Study 1...... 1743 180.
Informed Consent Study 2...... 1744 60.
Informed Consent Study 3...... 1745 60.
Pre-Drive Questionnaire....... 1746 300 (180 Study 1, 60
Study 2, 60 Study
3).
Wellness Questionnaire........ 1747 300 (180 Study 1, 60
Study 2, 60 Study
3).
Driving Behavior Assessment 1748 300 (180 Study 1, 60
(Pre-Drive PowerPoint Study 2, 60 Study
Training, Familiarization 3).
Drive, Study Drive with In-
Drive Questionnaire).
Post-Drive Questionnaire...... 1749 300 (180 Study 1, 60
Study 2, 60 Study
3).
Balloon Analogue Risk Task.... ................. 300 (180 Study 1, 60
Study 2, 60 Study
3).
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Frequency: One-time collection.
Estimated Total Annual Burden Hours: The total estimated burden for
the study is 903.3 hours. Averaging that over three years of the
collection approval is 301.1 hours.
Eligibility Questionnaire (NHTSA Form 1742) is estimated to take 11
minutes (averaging those who complete the questionnaire and those who
do not complete the questionnaire). Informed Consent Study 1 (NHTSA
Form 1743) is estimated to take 20 minutes. Informed Consent Study 2
(NHTSA Form 1744) is estimated to take 20 minutes. Informed Consent
Study 3 (NHTSA Form 1745) is estimated to take 20 minutes. Pre-Drive
Questionnaire (NHTSA Form 1746) is estimated to take 15 minutes.
Wellness Questionnaire (NHTSA Form 1747) is estimated to take 5 minutes
and taken three times. Driving Behavior Assessment (Pre-Drive
PowerPoint Training, Familiarization Drive, Study Drive with In-Drive
Questionnaire (NHTSA Form 1748) is estimated to take 80 minutes. Post-
Drive Questionnaire (NHTSA Form 1749) is estimated to take 20 minutes.
Balloon Analogue Risk Task (BART) is estimated to take 5 minutes.
The estimated annual time and cost burdens across all three study
data collections are summarized in the table below. To calculate the
opportunity cost associated with the forms and other relevant
activities necessary for this collection of new information, NHTSA
looked at average hourly earnings for employees on private nonfarm
payrolls. NHTSA estimated the total opportunity costs associated with
these burden hours by looking at the average wage for total private
employees on private nonfarm payrolls. The Bureau of Labor Statistics
(BLS) estimates that the average hourly wage for this group is $33.82.
[[Page 86206]]
Estimated Time per Response and Total Time
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Total
Information collection component Respondents Time per response (min) Total burden opportunity
time (hours) cost (dollars)
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Eligibility questionnaire......... 700 11.......................... 128.3 4,340.00
Informed Consent Document (All 300 20.......................... 100 3,382.00
Studies).
Pre-Drive Questionnaire........... 300 15.......................... 75 2,536.50
Wellness Questionnaire............ 300 5 x 3 responses............. 75 2,536.50
Driving Behavior Assessment (Pre- 300 80.......................... 400 13,528.00
Drive PowerPoint Training,
Familiarization Drive, Study
Drive with In-Drive
Questionnaire).
Post-Drive Questionnaire.......... 300 20.......................... 100 3,382.00
Balloon Analogue Risk Task........ 300 5........................... 25 846.00
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Total......................... .............. ............................ 903.3 30,551.00
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Estimated Total Annual Burden Cost: The respondents will not incur
any reporting or recordkeeping cost from the information collection.
Respondents will incur a one-time cost for local travel to and from
DSRI, which is estimated not to exceed approximately $39.30 (based on
the standard mileage rate for business-related driving in 2023 and a
round trip distance of 60 miles). These transportation costs are offset
by participant compensation.
Public Comments Invited: You are asked to comment on any aspects of
this information collection, including (a) whether the proposed
collection of information is necessary for the proper performance of
the functions of the Department, including whether the information will
have practical utility; (b) the accuracy of the Department's estimate
of the burden of the proposed information collection; (c) ways to
enhance the quality, utility and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including the use of automated collection
techniques or other forms of information technology.
Authority: The Paperwork Reduction Act of 1995; 44 U.S.C. chapter
35, as amended; 49 CFR 1.49; and DOT Order 1351.29A.
Cem Hatipoglu,
Associate Administrator, Vehicle Safety Research.
[FR Doc. 2023-27197 Filed 12-11-23; 8:45 am]
BILLING CODE 4910-59-P
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