Translated from German to English - www.onlinedoctranslator.com
regulation
of the Federal Ministry for Digital Affairs and Transport
Ordinance regulating the operation of motor vehicles with automated and
autonomous driving functions and amending road traffic regulations1
A. Problem and goal
The development dynamics in the field of automated, autonomous and networked
driving remain high. In order to be able to leverage the potential of these
technologies and enable society to participate in them, further steps must be taken
to introduce corresponding systems into regular operation. Based on the previous
legal requirements of the Eighth Act to Amend the Road Traffic Act for the
operation of motor vehicles with highly and fully automated driving functions, there
is a need to go beyond the testing of autonomous, driverless vehicles that is already
possible on public roads and to initiate their regular operation. First of all,
autonomous vehicles should be able to be used in defined operating areas. In the
absence of international
B. Solution
A suitable legal framework is to be created by supplementing existing road traffic
regulations. Due to this legal framework, autonomous motor vehicles can be
operated in public transport, provided that these vehicles and their respective
1Notified
in accordance with Directive (EU) 2015/1535 of the European Parliament and of the Council of
September 9, 2015 on an information procedure in the field of technical regulations and regulations for
information society services (OJ L 241 of September 17th, 2015, p. 1 ).
-2Operating areas for the respective vehicles have been approved by the responsible
authorities.
So far, there has not been an adequate legal framework for motor vehicles with
autonomous driving functions at European level. Regulation (EU) 2018/858 of the
European Parliament and of the Council of May 30, 2018 on the approval and
market surveillance of motor vehicles and motor vehicle trailers and of systems,
components and separate technical units for these vehicles, amending Regulation
(EC) No 715/2007 and (EC) No. 595/2009 and repealing Directive 2007/46/EC always
requires, according to its scope and the technical specifications, a driver and thus
comprehensive controllability of the vehicle. In contrast, autonomous driving
functions are characterized precisely by the fact that they do not provide for a
person driving the vehicle.
With the law amending the Road Traffic Act and the Compulsory Insurance Act - Act on
Autonomous Driving of July 12, 2021 (Federal Law Gazette Part I, p. 3108, issued on July
27, 2021), the basic requirements have been created for autonomous driving on public
roads in Germany to allow. In addition to the technical requirements, on the basis of
this ordinance, procedural rules on the granting of operating licenses for motor
vehicles with autonomous driving functions, on the approval of defined operating areas
and on the admission to road traffic are to be issued by ordinance, as well as
requirements and due diligence regulations for the operation of motor vehicles with
autonomous driving functions persons involved in the driving function.
C. Alternatives
None, as there are currently no international requirements for the use of autonomous vehicles.
Waiting any longer would endanger the leading position of the Federal Republic of Germany in
the development of automated, autonomous and networked motor vehicles and the potential
that arises in this area would not be able to be leveraged. without regulation
-3If this were to happen, a key opportunity to increase traffic safety, reduce
environmental emissions and strengthen Germany as a location for innovation and
business, as well as social inclusion, would not be used.
Without the enactment of this ordinance, the law amending the Road Traffic Act and
the Compulsory Insurance Act - Act on Autonomous Driving of July 12, 2021 (Federal
Law Gazette Part I, p. 3108, issued on July 27, 2021) cannot have any practical effect, as
it in particular Regulation of the technical specifications and the procedural regulations
by the legislator is mandatory.
D. Non-compliance budget expenditures
From 2022, the federal government, individual plan 12 and individual plan 06, will
incur annual personnel and material expenses totaling 1,222,667 euros. There is an
additional need for two positions in the higher service and four positions in the
higher service at the Federal Motor Transport Authority, as well as two positions in
the higher service at the Federal Office for Information Security. The additional
demand shown should be compensated financially and in terms of positions in the
respective individual plans. The expenses are offset by the Federal Motor Transport
Authority's intention to generate additional revenue from fees of an estimated EUR
892,395, which is due to an increase in fees or to newly created fee items. When
determining the fees charged by the Federal Motor Transport Authority,
E. Compliance Costs
E. 1 Compliance costs for citizens
There are no compliance costs for citizens. This is based on the assumption that in
the foreseeable future, citizens will not be owners of motor vehicles with
autonomous driving functions in defined operating areas.
-4-
E.2 Compliance costs for business
The compliance costs for the economy total around 11,279,930 euros per year and
around 2,086,000 euros once. This results from compliance costs for the various
groups of addressees and is made up as follows:
a) Compliance costs for the manufacturers of motor vehicles with autonomous driving function in the
amount of around 791,050 euros per year.
b) Compliance costs for commercial owners of motor vehicles with autonomous driving function in
the amount of approx. 10,488,880 euros per year and approx. 2,086,000 euros once.
A total of 11 new information obligations will arise with bureaucracy costs of around 5
million. euros annually. These are included in the compliance costs.
E.3 Administrative compliance costs
The compliance costs for the administration total around 6,990,680 euros per year.
This results from compliance costs for the various groups of addressees and is
made up as follows:
a) Compliance costs for the federal government of around EUR 665,880 per year.
b) Compliance costs for the federal states including local authorities amounting to approx. 6,324,800 euros
per year.
F. Other Costs
The other costs for the economy amount to approx. 7,216,800 euros per year in the form of
fees. Up to 446,000 euros of this goes to manufacturers and up to 6,770,800 euros to owners.
-5-
Ordinance of the Federal Ministry for Digital and Transport
Ordinance regulating the operation of motor vehicles with automated and
autonomous driving functions and amending road traffic regulations
From the …
The Federal Ministry for Digital Affairs and Transport decreed, each in conjunction with § 1
paragraph 2 of the Responsibility Adjustment Act of August 16, 2002 (BGBl. I p. 3165) and the
organizational decree of December 8, 2021 (BGBl. I p. 5176), on the basis
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of § 1j paragraph 1 number 1 to 7 of the Road Traffic Act, which was inserted by Article 1
number 1 of the law of July 12, 2021 (Federal Law Gazette I p. 3108),
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of Section 6 paragraph 1 sentence 1 numbers 1, 2, 5 to 7 and 9 letters a and c and numbers
10, 11 and 17 as well as paragraph 3 numbers 1 to 3, 5 and 6 of the Road Traffic Act, by
Article 1 number 6 of the law of July 12, 2021 (Federal Law Gazette I p. 3091) has been
revised,
-
of Section 6a paragraph 2 in conjunction with paragraph 1 number 1 letter a, also in conjunction with
paragraphs 3 and 4, of the Road Traffic Act, of which Section 6a paragraph 1 number 1 and paragraph
2 were last amended by Article 1 number 7 letter a of the Law of 12 July 2021 (Federal Law Gazette I p.
3091) and § 6a paragraph 3 sentence 1 has been reworded by Article 2 paragraph 144 number 2 of the
law of 7 August 2013 (Federal Law Gazette I p. 3154),
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of § 47 number 1 and 3 of the Road Traffic Act, which was last amended by Article 1
number 36 of the law of July 12, 2021 (Federal Law Gazette I p. 3091),
and
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of Section 7 number 2 of the Compulsory Insurance Act, which was last amended by Article
493 number 2 of the ordinance of August 31, 2015 (Federal Law Gazette I p. 1474), in
agreement with the Federal Ministry of Justice and the Federal Ministry of Economics and
Climate Protection:
-6-
article 1
Ordinance on the approval and operation of motor vehicles with autonomous
driving function in specified operating areas (autonomous vehicles approval and
drive regulation – AFGBV)
§ 1 Scope; Subject matter and definitions
(1) This Ordinance shall apply
1. to the operation of motor vehicles with autonomous driving function within the meaning of §§
1d to 1h and with automated or autonomous driving function within the meaning of § 1h of
the Road Traffic Act,
2. on the approval of motor vehicles according to number 1 for traffic on public
roads and
3. to testing automated or autonomous driving functions according to Section 1i of the
Road Traffic Act.
(2) This regulation regulates
1. the granting of operating licenses for motor vehicles with autonomous driving functions
as well as approvals for automated and autonomous driving functions that can be
activated at a later date,
2. the approval of specified operational areas,
3. the admission of motor vehicles with autonomous driving function to road traffic,
4. the market surveillance of motor vehicles with autonomous driving functions, with
operating licenses issued or to be issued on the basis of this Ordinance, as well as of
subsequently activated automated and autonomous driving functions and vehicle parts
and
5. the requirements and obligations for the manufacturer, the owner and the technical
supervisor of motor vehicles with autonomous driving function in defined operating
areas and of motor vehicles with automated or autonomous driving function according
to § 1f of the Road Traffic Act.
-7(3) Unless the competence of the Federal Motor Transport Authority is expressly determined in this
Ordinance, the competent authority within the meaning of this Ordinance is any authority responsible
under state law, any authority responsible under federal law for exercising the road construction
burden on the respective public roads or on federal trunk roads, insofar as the federal government is
responsible for administration, the company under private law within the meaning of the
Infrastructure Company Establishment Act.
(4) The provisions of Regulation (EU) 2018/858 of the European Parliament and of
the Council of May 30, 2018 on the approval and market surveillance of motor
vehicles and motor vehicle trailers and of systems, components and separate
technical units for these vehicles, amending the Regulations (EG)
No. 715/2007 and (EC) No. 595/2009 and repealing Directive 2007/46/EC (OJ L
151 of 14.6.2018, p. 1), which was replaced by Delegated Regulation (EU)
2021/1445 (OJ L 313 of 06.09.2021, p. 4) remain unaffected.
(5) Section 1k of the Road Traffic Act remains unaffected.
Section 2 Operating License; Approval of the subsequent activation of automated
or autonomous driving functions
(1) An operating license from the Federal Motor Transport Authority in accordance with Section
4 (1) is required to operate a motor vehicle with autonomous driving function in defined
operating areas on public roads.
(2) Section 20 paragraphs 1, 3 and 3a of the Road Traffic Licensing Regulations apply
accordingly to the granting of a general operating license for series-produced motor
vehicles with autonomous driving functions.
(3) Approvals according to § 1h paragraph 2 of the Road Traffic Act for the subsequent
activation of automated or autonomous driving functions are granted under the
conditions of § 4 paragraphs 5 and 6.
§ 3 Application for the granting of the operating license by the manufacturer
(1) The manufacturer must apply to the Federal Motor Transport Authority for the operating license for motor
vehicles with autonomous driving functions.
(2) The manufacturer's application must include:
- 8th -
1. the manufacturer's declaration that
a) the motor vehicle with autonomous driving function fulfills the functional requirements
according to Annex I and the requirements according to paragraph 8, whereby this
must also be ensured in the case of aging and wear of the relevant system components
and
b) the safety of the autonomous driving function was checked according to the safety
concept for functional safety according to Article 12 paragraph 1 number 2 and Annex I
number 7.2,
2. the template
a) the operating manual for the motor vehicle with autonomous driving function according
to § 1f paragraph 3 number 4 of the Road Traffic Act and Annex I number 7.1, Annex III
number 2,
b) the safety concept for functional safety according to Article 12 paragraph 1 number
2 and Annex I number 7.2 and Annex III number 3,
c) the concept for security in the field of information technology pursuant to Section 12
subsection 1 number 3 and Annex I number 15 and Annex III number 4,
d) the functional description of the motor vehicle with autonomous driving function pursuant to
Section 12 subsection 1 number 5 and Annex III number 1,
e) the catalog for test scenarios according to § 12 paragraph 1 number 6 and Appendix I
number 10 and
f) evidence according to Annex I Number 12 that environmental conditions that can
occur in the specified operating range of the motor vehicle but cannot be
represented in tests are safely controlled.
(3) The Federal Motor Transport Authority can request further information from the manufacturer in
addition to the documents referred to in paragraph 2, provided this is necessary for the
implementation of the approval procedure.
(4) The Federal Motor Transport Authority checks
1. compliance with the technical requirements for the autonomous driving function in
accordance with the requirements of this ordinance including Annex I,
2. the operating manual according to the requirements of Annex I number 7.1 and Annex IV
number 2,
3. the safety concept for functional safety in accordance with the requirements of Annex I
number 7.2 and Annex III number 3 and
-94. the functional description according to the requirements of Appendix III number 1.
(5) The Federal Motor Transport Authority examines the concept for security in the field of information
technology in accordance with the requirements of Annex I, Number 15 and Annex III, Number 4. The
Federal Motor Transport Authority involves the Federal Office for Information Security in the
examination pursuant to sentence 1. The Checking compliance with the requirements of Articles 24,
25 and 32 of Regulation (EU) 2016/679 of the European Parliament and of the Council of April 27, 2016
on the protection of natural persons with regard to the processing of personal data, on the free
movement of data and on the repeal of Directive 95/ 46/EG (General Data Protection Regulation) (OJ L
119 of 4 May 2016, p. 1; L 314 of 22 November 2016,
p. 72; L 127 of 23.5.2018, p. 2; L 74 of March 4th, 2021, p. 35) as well as other data protection
regulations and the content of the data protection impact assessment is the responsibility of the data
protection supervisory authority responsible for the respective manufacturer of the motor vehicle
with autonomous driving function.
(6) The Federal Motor Transport Authority uses a vehicle provided free of charge by the
manufacturer to check whether the manufacturer has implemented the information
technology security measures it has documented. This can be done in the form of spot
checks. The test result must be documented.
(7) The Federal Motor Transport Authority can commission an officially recognized
expert for motor vehicle traffic, a technical service with overall vehicle
authorizations for the respective vehicle classes or another body with the tests
according to paragraphs 4 to 6 and the findings resulting from these tests within
the scope of the grant use the operating permit.
(8) Taking into account the requirements of Annex I, a motor vehicle with
autonomous driving function must be state-of-the-art to avoid collisions,
1. recognize other road users, uninvolved third parties, animals and objects in the vicinity of the
motor vehicle with autonomous driving function,
2. carry out a risk assessment based on the detection according to number 1 and with
regard to all legal interests concerned and, based on the requirements of Section
1e paragraph 2 number 2 of the Road Traffic Act, evaluate the behavior of the
other road users identified, the uninvolved third parties, the animals and the
movements of the objects and on the basis of this evaluation make a prediction
about the further behavior and the further movements, whereby assumed
- 10 -
is that moving vehicles can decelerate with a maximum of ten meters per
second square and
3. carry out a suitable driving maneuver, in particular braking or evasive maneuvers, in
accordance with the result of the risk assessment according to number 2 and the
requirements of Section 1e paragraph 2 number 2 of the Road Traffic Act.
§ 4 Granting of the operating license; Granting the approval of the subsequent
Activation of automated or autonomous driving functions
(1) The operating license for motor vehicles with autonomous driving function is issued by the Federal
Motor Transport Authority if
1. the declarations by the manufacturer required under Article 3 paragraph 2 number 1 and the
further information, if this has been requested under Article 3 paragraph 3, are available,
2. the documents required under Article 3 paragraph 2 number 2 are available and these
correspond to the respective requirements of Annexes I and III,
3. the requirements according to § 3 paragraph 8 as well as the requirements according to
Appendix I are met and
4. the operation of the motor vehicle with autonomous driving function does
not impair the safety and ease of road traffic or endanger the life and limb
of persons.
(2) The operating license for motor vehicles with autonomous driving function can be
issued or combined with ancillary provisions at any time in order to ensure the safe
operation of the vehicle and compliance with the statutory provisions and this
ordinance.
(3) An operating license issued in accordance with subsection 1 is equivalent to an approval
issued by a competent authority of another member state of the European Union or of
a member state of the Agreement on the European Economic Area for the operation of
a motor vehicle with autonomous driving function if it relates to the technical and
safety-related Requirements according to §§ 1d to 1g of the Road Traffic Act and the
requirements according to § 3 paragraph 8 and Annex I to this regulation are based on
an equivalent assessment and test standard and identify the abstract operating area in
which the motor vehicle with autonomous driving function can independently master
the driving task can.
- 11 (4) The Federal Motor Transport Authority can check at any time with the manufacturer or have it
checked by the bodies named in Section 3 (7) whether the requirements for the operating license
for a motor vehicle with autonomous driving function are met and whether the obligations
associated with the operating license are fulfilled. The test results must be documented. § 20
paragraph 6 of the Road Traffic Licensing Regulations remains unaffected.
(5) Modifications to a motor vehicle with autonomous driving function, which are made after the
operating license has been granted, require the approval of the Federal Motor Transport
Authority before they can be used.
(6) The national approval for the subsequent activation of automated or autonomous driving
functions is granted by the Federal Motor Transport Authority if the technical requirements
specified by the Federal Motor Transport Authority are available.
Section 5 Market Surveillance
(1) The Federal Motor Transport Authority carries out the tasks of market surveillance with regard to
the motor vehicles with autonomous driving function and vehicle parts to be approved and
approved under this Ordinance.
(2) The Federal Motor Transport Authority carries out regular checks to verify
1. whether motor vehicles with autonomous driving functions and vehicle parts made
available on the market or in circulation comply with the requirements of this
regulation, and
2. whether vehicles and vehicle parts made available on the market or in use
pose a risk to health, safety, the environment or other legal interests worthy
of protection in the public interest.
(3) The Federal Motor Transport Authority involves the Federal Office for Information
Security in the assessment of the information security of vehicles and vehicle parts.
(4) The Federal Motor Transport Authority shall take the necessary measures to ensure
road safety, in particular the preparation of a revocation pursuant to Section 6 if it has
reasonable grounds to suspect that a vehicle or vehicle part within the scope of this
Ordinance does not adequately meet the requirements.
(5) The manufacturers and owners of motor vehicles with autonomous driving functions are obliged
to
- 12 1. to support the Federal Motor Transport Authority in carrying out market surveillance
activities and
2. to provide the Federal Motor Transport Authority with the documents and
information required for market surveillance and other technical specifications free
of charge upon request, whereby the manufacturers must also provide access to
software and algorithms upon request.
§ 6 Revocation and suspension of the operating license; Revocation and suspension of the
approval of the subsequent activation of automated or autonomous driving functions
(1) The Federal Motor Transport Authority shall revoke an operating license issued pursuant to
Section 4 (1) if
1. the motor vehicle with autonomous driving function has been modified without approval
and as a result it no longer meets the requirements of the operating license,
2. the manufacturer no longer meets the requirements necessary for granting the
operating license,
3. the manufacturer submits declarations pursuant to Section 3 (2) incorrectly or
incompletely, falsifies the test results or withholds data or technical specifications that
are essential for the decision of the Federal Motor Transport Authority on the granting
of the operating license,
4. the motor vehicles with autonomous driving function or vehicle parts no longer
comply with the requirements of Section 1e Paragraph 2, also in conjunction with
Paragraph 3 of the Road Traffic Act or this Ordinance, or
5. the operation of the motor vehicle with autonomous driving function can
impair the safety and smoothness of road traffic or a specific danger to life
or limb cannot be ruled out.
The Kraftfahrt-Bundesamt has to revoke the approval granted according to § 4 paragraph 5
if
1. the motor vehicle has been modified without authorization and as a result it no
longer meets the requirements for the granting of an authorization for the
subsequent activation of automated or autonomous driving functions, or
- 13 -
2. the activation of the automated or autonomous driving functions can impair
the safety and ease of road traffic or a specific danger to life or limb cannot
be ruled out.
(2) If there is reason to believe that a requirement pursuant to subsection 1 exists, the Federal Motor
Transport Authority may, without prejudice to the powers pursuant to Section 5 subsection 4, order
suitable measures that are useful for further clarification, in particular the provision of documents,
the presentation of the motor vehicle with autonomous driving function at the Federal Motor
Transport Authority or a technical service. Until the situation has been clarified, it may order the
suspension of an operating license granted pursuant to Section 4 (1) or a license granted pursuant to
Section 4 (6).
(3) Sections 48 and 49 of the Administrative Procedures Act remain unaffected.
(4) The Federal Motor Transport Authority shall inform the authority responsible for the approval of the specified
operating area pursuant to Section 7 (2) sentence 2 of the revocation of an operating license if an
application for approval of a specified operating area pursuant to Section 8 has already been submitted for
the corresponding motor vehicle with autonomous driving function has been approved or the competent
authority has approved a specified operational area in accordance with Article 9 Paragraph 1.
(5) The motor vehicle with autonomous driving function may not be operated on public roads if
an operating license has been issued in accordance with Section 4 (1).
1. has been revoked in accordance with paragraph 1 sentence 1 or
2. is suspended due to an order pursuant to paragraph 2 sentence 2.
§ 7 Determination of an operating area through approval
(1) Motor vehicles with autonomous driving function may only be operated on public roads in an
operating area defined and approved in accordance with paragraph 2 within the meaning of
Section 1d paragraph 2 of the Road Traffic Act.
(2) An operating range for a motor vehicle with autonomous driving function is determined by
the keeper of the motor vehicle. The operating area defined according to sentence 1
requires the approval of the competent authority.
(3) The approval of the specified operating area can be issued jointly for several vehicles of the
same construction, provided that a corresponding operating license for motor vehicles with
autonomous driving function according to the above regulations is available.
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§ 8 Application for approval by the keeper
(1) The application for approval of a specified area of operation must contain:
1. A specific description of the defined operating area for the operation of the
motor vehicle with autonomous driving function, in particular by depicting a
cartographically delimited area, the operating purpose and the associated
operating conditions,
2. The declaration of the owner that the autonomous driving function of the motor vehicle with
autonomous driving function within the meaning of Section 1e Paragraph 2 Numbers 4 to 9
of the Road Traffic Act can be deactivated and that driving maneuvers within the meaning
of Section 1e Paragraph 3 of the Road Traffic Act can be released in this operating area are
guaranteed
3. the declaration of the keeper that the personnel and material requirements according to
§§ 13 and 14 are met.
(2) The holder must also submit with the application:
1. the operating license for a motor vehicle with autonomous driving function pursuant to Section 4
subsection 1,
2. in each case by the keeper or by the persons deployed by the keeper in accordance with Section 13 (2)
sentence 2 and the technical supervisor
a. a certificate of good conduct for submission to an authority and
b. information from the driving license register, and
3. Additional information from the technical supervisor about entries in the driving
aptitude register.
(3) In addition, the competent authority may request further information from the
keeper if this is necessary for the procedure for the approval of a specified
operating area.
- 15 Section 9 Granting of Permits; controls
(1) The approval according to § 7 paragraph 2 sentence 2 is granted if
1. an operating license for a motor vehicle with autonomous driving function pursuant to Section
4 (1) is available,
2. the specified operating range is suitable for operating the motor vehicle with autonomous driving
function in accordance with paragraph 2 and
3. the personnel and material requirements according to §§ 13 and 14 are met.
(2) An establishment is suitable if the competent authority determines that
1. the motor vehicle with autonomous driving function can independently manage the driving task in
this defined operating area according to the information in the operating license for a motor
vehicle with autonomous driving function granted in accordance with Section 4 (1),
2. the road infrastructure along the relevant route meets the technical requirements for
the operation of the motor vehicle with autonomous driving function according to
the operating license,
3. the technical supervisor can intervene to deactivate or release driving
maneuvers at any time,
4. the operation of the motor vehicle with autonomous driving function in this
operating area does not impair the safety and ease of road traffic or
endanger life and limb and
5. other public interests, such as immission control, do not conflict with the permit
according to Section 7.
(3) The competent authority may assign an officially recognized expert for motor
vehicle traffic, a technical service with authority for the entire vehicle of the
respective vehicle classes or another suitable body to assess the road
infrastructure within the specified operating area, also taking into account the
operating license for the motor vehicle autonomous driving function resultant
capacity, commission. The competent authority can demand that the keeper
submit an expert opinion that deals with the road infrastructure within the
defined operating area, insofar as this is necessary for the application review.
(4) The competent authority shall decide in agreement with the respective regional authority
concerned, unless this is the competent authority pursuant to Section 7 (2) sentence 2. If an
operating area extends beyond a national border, the decision is made by the
- 16 Authority responsible under state law in agreement with the other authority concerned
under the respective state law. On federal motorways and federal roads in federal
administration, the agreement with the company under private law within the meaning of
the Infrastructure Company Establishment Act takes the place of the agreement with the
local authority concerned.
(5) The approval can be provided with ancillary provisions at any time if this is
necessary to ensure compliance with the requirements specified in paragraph
1. In particular, the permit can be combined with an initial, temporary ban on
the transport of people and goods.
(6) The competent authority can check at any time that the keeper has met the
requirements for the license and compliance with the obligations associated with
the license or have it checked by the bodies specified in subsection 3.
(7) Subsequent changes in relation to the requirements according to Section 8 must be reported by
the keeper to the competent authority without delay. In particular, the subsequent deployment
of additional people or the change of deployed people must be reported immediately; Section 8
paragraphs 2 and 3 apply accordingly.
(8) The competent authority shall inform the Federal Motor Transport Authority of each
granting of a permit for a specified operating area with regard to the respective motor
vehicle with autonomous driving function.
§ 10 Revocation and suspension of the approval of a specified area of operation
(1) The competent authority shall revoke the license granted pursuant to Section 9 if
1. Ancillary provisions according to Article 9 Paragraph 5 are not fulfilled and
this can endanger the safety and ease of traffic or the life or limb of
persons,
2. in a motor vehicle with an autonomous driving function, the autonomous driving
function is used outside the defined operating range,
3. it is no longer guaranteed that driving maneuvers can be deactivated or
enabled during operation of the motor vehicle with autonomous driving
function in its defined operating range,
4. the personnel and material requirements according to §§ 13 and 14 are no
longer met,
- 17 5. the operating license for a motor vehicle with autonomous driving function issued in
accordance with Section 4 (1) has expired, been withdrawn, revoked or otherwise
become ineffective, or
6. the requirements according to Section 9 paragraph 2 number 2 are no longer met and
safe operation of the motor vehicle with autonomous driving function is no longer
guaranteed under these general conditions.
(2) Sections 48 and 49 of the Administrative Procedures Act remain unaffected.
(3) The competent authority shall inform the Federal Motor Transport Authority of the revocation of a
permit granted pursuant to Section 9.
(4) The competent authority may order the suspension of a license granted pursuant to
Section 9 subsection 1 if the requirements pursuant to Section 9 subsection 2 number 2
are temporarily not met and the licensee does not prove that safe operation of the
motor vehicle with autonomous driving function is also possible under the changed
conditions of the road infrastructure along the relevant route is still guaranteed.
(5) The motor vehicle with autonomous driving function may not be operated on public roads if the
approval of the specified operating area granted in accordance with Section 9 (1) has been
granted
1. has been revoked in accordance with paragraph 1 or
2. is suspended due to an order pursuant to paragraph 4.
§ 11 Provisions for the application of the Vehicle Registration Ordinance
(1) For the admission of motor vehicles with autonomous driving function to traffic in defined
operating areas, the Vehicle Registration Ordinance is to be applied in accordance with the
following paragraphs.
(2) The approval according to § 3 paragraph 1 sentence 2 of the Vehicle Registration Ordinance requires:
1. a valid operating license for a motor vehicle with autonomous driving function according to Section 4,
2. a valid permit for a specified operating area according to Section 9 and
3. the existence of a motor vehicle liability insurance corresponding to the
compulsory insurance law.
- 18 With the application according to § 6 of the Vehicle Licensing Ordinance, the operating license for a
motor vehicle with autonomous driving function according to § 4 paragraph 1 as well as the approval
of a defined operating area according to § 9 must be submitted. Section 3 paragraphs 2 and 3 of the
Vehicle Registration Ordinance does not apply.
(3) The use of the autonomous driving function in traffic shall be limited to the approved
specified operating area. This restriction must be entered in Part I of the registration
certificate in accordance with Section 11 of the Vehicle Registration Ordinance by specifying
the permit, the issuing authority and the date of issue. Likewise, the operating license
according to Section 4 Paragraph 1 with the date of issue by the Federal Motor Transport
Authority and other information on the equipment with autonomous driving and additional
functions must be entered in Part I of the registration certificate. Contrary to § 11
Paragraph 6 of the Vehicle Registration Ordinance, it is sufficient if Part I of the registration
certificate is retained and handed over to authorized persons for inspection upon request.
(4) For a transfer to a new keeper according to Section 13 (4) sentence 3 of the Vehicle
Registration Ordinance or for re-registration according to Section 14 (2) of the Vehicle
Registration Ordinance, the keeper must also submit the approval of a specified
operating area according to Section 9.
(5) The procedures according to Section 2a Subsection 3 of the Vehicle Registration Ordinance
are not to be applied.
(6) The registration authority shall immediately notify the authority that issued the
approval for the defined operating area of every registration, re-registration,
transfer and decommissioning of an affected motor vehicle.
(7) If a registered motor vehicle with autonomous driving function is not approved for a
specified operating area in accordance with Section 9, the keeper must immediately dispose
of the vehicle in accordance with Section 14 (1) of the Vehicle Registration Ordinance, also in
conjunction with Section 15g of the Vehicle Registration Ordinance, to put out of operation.
- 19 § 12 Requirements for the manufacturer
(1) The manufacturer of a motor vehicle with autonomous driving function has
1. to create repair and maintenance information for the motor vehicle in accordance with Annex
III Numbers 2.3 and 2.6 of this Ordinance,
2. to draw up a safety concept for functional safety in accordance with Appendix I number 7.2, and in
doing so
a) to carry out a risk analysis based on this safety concept in accordance with
Annex I number 7.2.1,
b) to document the security concept according to Annex III number 3,
c) to check the safety of the autonomous driving function in accordance with this
safety concept and to demonstrate the safety to the Federal Motor Transport
Authority in accordance with the requirements of Annex I number 10,
3. to draw up a concept for security in the field of information technology in accordance with Annex I
number 15 and to document it in accordance with Annex III number 4,
4. to ensure the feasibility of recurring technical vehicle inspections in
accordance with Annex I Number 7.3 to this Ordinance,
5. to create a functional description of the motor vehicle with autonomous driving function according
to Appendix III number 1,
6. to create a catalog for test scenarios according to Appendix I number 10 and
7. to create a security concept according to the requirements for the digital data storage according to
Annex I number 13, which corresponds to the requirements of Articles 24, 25 and 32 of the
Regulation (EU) 2016/679 and includes a data protection impact assessment according to Article
35 of the General Data Protection Regulation.
(2) The manufacturer must make the documents pursuant to paragraph 1 number 2 letter b and number 3
and the operating manual pursuant to Annex I number 7.1 and Annex III number 2 available to the
keeper when the motor vehicle with autonomous driving function is handed over.
(3) The manufacturer of a motor vehicle with autonomous driving function may not place on the
market or sell a motor vehicle without a valid operating license pursuant to Section 2 (1).
- 20 § 13 Requirements for the holder
(1) In order to fulfill the obligations under Section 1f (1) of the Road Traffic Act while the motor
vehicle with autonomous driving function is being operated, the keeper must ensure that
1. the vehicle systems for the active and passive safety of the motor vehicle with
autonomous driving function are regularly checked on the basis of the repair
and maintenance information provided by the manufacturer,
2. an extended departure check pursuant to paragraph 7 is carried out before each journey
begins,
3. On the basis of the repair and maintenance information provided by the
manufacturer, an overall check is carried out every 90 days from the day of
admission to road traffic in accordance with the specifications of the operating
manual for the motor vehicle with autonomous driving function,
4. the results of the overall inspections according to number 3, including a
description of all defects found and repairs carried out, are documented in
a report and sent immediately to the Federal Motor Transport Authority and
the competent authority on request, if this is necessary
a) with regard to the Federal Motor Transport Authority for the fulfillment of its tasks according to § 2
paragraph 1 and § 6 paragraph 1,
b) with regard to the competent authority for the fulfillment of their tasks according to Section 7 paragraph 2
sentence 2 and Section 10 paragraph 1.
(2) The keeper must ensure that only suitable persons are employed when carrying
out measures in accordance with paragraph 1. The persons responsible for
carrying out the technical and organizational measures are suitable if they
1. have successfully passed a master’s examination in the motor vehicle mechanic trade;
this degree is equivalent to the degree as a graduate engineer, graduate engineer (FH),
engineer (graduate), bachelor’s, master’s or state-certified technician in the field of
mechanical engineering, vehicle technology, electrical engineering or aerospace
technology/aircraft technology, provided that the person concerned is verifiably active
in the motor vehicle sector and can demonstrate at least three years of activity,
- 21 2. have successfully completed training related to the motor vehicle with autonomous
driving function at the manufacturer of this motor vehicle, and
3. are reliable in performing the tasks entrusted to them; In order to assess their reliability,
a certificate of good conduct must be submitted for submission to an authority and
information from the driver's license register as part of the procedure pursuant to
Sections 7 and 8 (2); Section 8 paragraph 3 applies accordingly.
If the owner uses responsible persons to carry out journeys in manual driving mode,
these persons must have a valid driver's license. The category of the driving license
must correspond to that of the motor vehicle with autonomous driving function.
(3) The keeper must ensure that instructions are available for the proper execution
of maintenance work, general checks, further investigations and manual driving
and that these instructions are followed. The instructions must be documented.
(4) Reports on the implementation of maintenance work, general inspections and
other investigations must be created immediately in writing or electronically by
the owner or the responsible person. The reports must be signed. The reports
must be documented and kept by the owner or the person responsible for
technical supervision for six months and deleted immediately after this period,
in the case of electronic storage, automatically.
(5) The document management requirements for the instructions according to paragraph 3
and the reports according to paragraph 4 must correspond to the state of the art. The
requirement of the state of the art is presumed if the requirements of ISO 9001:2015
quality management systems - principles and terms are met. In addition, document
management must meet the requirements of Articles 24, 25 and 32 of Regulation (EU)
2016/679.
(6) If the keeper does not perform the tasks of technical supervision himself, he must
appoint a natural person who is suitable for this in accordance with Article 14. The
keeper has to provide the material requirements necessary for performing the
duties of the technical supervisor; In particular, this requires the provision and
installation of premises and information technology systems that are suitable for
performing the duties of technical supervision in accordance with Section 1f (2) of
the Road Traffic Act.
- 22 -
(7) The extended departure check within the meaning of paragraph 1 number 2
begins with a test drive to activate the systems. After the test drive, the following
areas are checked:
1. brake system,
2. steering system,
3. lighting system,
4. tyres/wheels,
5. landing gear,
6. Safety-relevant electronically controlled vehicle systems and the sensors for
recording external and internal parameters and
7. mechanical vehicle systems for active and passive safety.
(8) The keeper must have the motor vehicle with autonomous driving function undergo a
general inspection in accordance with Annex VIII in conjunction with Annex VIIIa of the
Road Traffic Licensing Regulations. The deadline for the main inspection according to
Section 29 of the Road Traffic Licensing Regulations is six months from the time the motor
vehicle with autonomous driving function is registered.
(9) The holder may not subsequently activate automated or autonomous driving functions
without a permit in accordance with Section 4 Paragraph 6.
§ 14 Requirements for Technical Supervision
(1) The natural person employed as a technical supervisor must be suitable for the performance
of their duties in accordance with Section 1f (2) of the Road Traffic Act. She is suitable if she
1. has a degree in the field of mechanical engineering, automotive engineering,
electrical engineering, aerospace engineering or aircraft engineering
a) Graduate engineer, graduate engineer (FH), engineer (graduate),
b) Bachelor's, Master's or
c) state-certified technician,
2. has successfully completed appropriate training in relation to the motor vehicle with
autonomous driving function from the manufacturer of this motor vehicle,
3. Possesses a valid driver's license, whereby the class of the driver's license must correspond to that
of the motor vehicle with autonomous driving function, and
- 23 4. is reliable with regard to the performance of the tasks entrusted to it according to §
1f paragraph 2 of the Road Traffic Act.
To assess reliability within the meaning of sentence 2 number 5, a certificate of good
conduct for submission to an authority, information from the driver's license register and
information about entries from the register of fitness to drive must be submitted as part of
the procedure pursuant to Sections 7 and 8 (2). Section 8 paragraph 3 applies to sentence 3
accordingly.
(2) The natural person employed as technical supervisor may, with the consent of
the keeper, use other suitable natural persons in accordance with Section 13 (2)
to fulfill their duties.
(3) If the motor vehicle with autonomous driving function is in a minimum-risk condition
within the meaning of Section 1d (4) of the Road Traffic Act, the natural person
employed as technical supervisor must carry out an investigation into the triggering
and necessity of the minimum-risk condition before they can initiate its termination.
The result of the examination must be documented. If the minimal-risk condition was
triggered by a defect in the motor vehicle, after the minimal-risk condition has been
reached, the driving task must be taken over manually by the natural person employed
as technical supervisor in compliance with the requirements of Annex I, number 4, until
the triggering defect has been permanently eliminated.
§ 15 Data storage
(1) For the operation of a motor vehicle with autonomous driving function, Annex II
to this Ordinance regulates the exact times of data storage, the parameters of
the data categories and the data formats.
(2) The stored data may only be collected, stored and used by the Federal Motor
Transport Authority and the competent authority and only for the purpose of
verifying compliance with the requirements of the permit and the monitoring
obligations associated with the permit.
- 24 -
Section 16 Test Permission
(1) Motor vehicles that are used to test vehicle systems or parts and their
development stages for the development of automated or autonomous driving
functions may only be operated on public roads if the relevant motor vehicle
has a test permit from the Federal Motor Transport Authority in accordance
with Section 1i of the Road Traffic Act . The test license according to sentence 1
also includes the license to test all parts, systems or units of the motor vehicle.
Section 19 paragraph 6 of the Road Traffic Licensing Regulations does not apply.
(2) The test approval is to be limited and may not normally exceed a period of
validity of four years. It is to be extended for a further two years in each case if
the conditions for the granting of the license continue to apply and the previous
course of the test does not prevent an extension. Should third parties lodge
legal remedies against the test license or its extension, the period of validity of
the test license is extended by the number of days on which the legal remedy
has a suspensive effect.
(3) The granting of a test license presupposes that
1. an individual approval or a type approval is available for the motor vehicle,
2. changes were made to the motor vehicle after the individual approval or type
approval was granted in order to equip it with automated or autonomous
driving functions,
3. the keeper who initiates the development and testing, as well as those involved in the
development and testing, are sufficiently knowledgeable and reliable with regard
to technical developments for motor vehicle traffic,
4. the owner submits a development concept in which
a) the changes that have already been made and those that are still planned, as well as
the driving functions to be tested, are adequately described,
b) compliance with the current state of the art is demonstrated aa)
in the case of automated driving functions, taking into account § 1a
paragraph 2 of the Road Traffic Act and
b)
for autonomous driving functions, taking into account § 1e paragraph 2
of the Road Traffic Act,
c) Ensuring permanent monitoring of operations is demonstrated
- 25 -
aa) in the case of automated driving functions by a driver who is reliable
in relation to technical developments for motor vehicle traffic and
b)
in the case of autonomous driving functions by an on-site technical
supervisor who is reliable with regard to technical developments for
motor vehicle traffic,
d) the provision of non-personal data and events relating to the
technological progress of the development stage to be tested is
included; this includes in particular
aa) the number and periods of use and activation and deactivation of
the automated or autonomous driving function,
b)
the number and periods of release of alternative driving maneuvers, error
memory entries (beginning and end) including software status,
c)
the respective environmental and weather conditions,
dd) the designation of the activated and deactivated passive and active
safety systems, their status and the entity that triggered the safety
system,
ee) the vehicle acceleration in the longitudinal and lateral direction
f)
as well as the speed,
5. the automated or autonomous vehicle system can be deactivated at any time and
overridden on site.
(4) The Federal Motor Transport Authority is entitled to collect, store and use the data
required for the assessment of road safety and technical progress as well as for the
evidence-based development of the regulation of development stages of automated or
autonomous driving functions exclusively as non-personal data. The data must be
deleted at the latest after the evaluation has been completed in accordance with
Section 1l Clause 1 of the Road Traffic Act.
(5) For the purpose of testing vehicle systems or parts and their development stages for the
development of automated or autonomous driving functions, the Federal Motor Transport
Authority can approve exceptions from
1. the provisions of Sections 1a and 1e of the Road Traffic Act,
2. of this regulation with the exception of §§ 15 and 16 and the Road Traffic Licensing
Regulations.
- 26 (6) The test permit must be carried with you when you drive and handed over to the responsible
persons for inspection upon request.
(7) A reference to the test approval, stating the date of issue by the Federal Motor
Transport Authority, must be entered in Part I of the registration certificate.
(8) The procedures according to Section 2a Subsection 3 of the Vehicle Registration Ordinance and
Section 11 are not to be applied.
Section 17 Administrative Offenses
Any person who acts intentionally or negligently is an administrative offense within the meaning of Section 24 (1) of the
Road Traffic Act
1. operates a motor vehicle with autonomous driving function without an operating license pursuant to
Section 2 (1),
2. contrary to Section 5 (5) number 2, fails to provide a document or information, or fails to
do so correctly, completely or in good time,
3. contrary to Section 6 subsection 5 number 2, Section 7 subsection 1 or Section 10 subsection 5 number 2
operates a motor vehicle with autonomous driving function,
4. contrary to Article 12 Paragraph 2, does not provide a document or an operating manual
mentioned there, or does not provide it correctly, incompletely or in good time or
5. contrary to § 13 paragraph 9 carries out an activation.
Section 18 Transitional Provisions
If, as part of the approval procedure in accordance with Section 11 in conjunction with Section 6 (7) of
the Vehicle Registration Ordinance and the granting of the test permit in accordance with Section 16,
the vehicle data to be submitted for approval and the reference to the test permit in accordance with
Section 16 (7) cannot be submitted by the responsible approval authority in are stored in the vehicle
registers or the information pursuant to Section 11 subsection 3 and Section 16 subsection 7 is not
entered in Part I of the registration certificate, the respective storage and entries must be made up
for within six calendar months after [insert: date of entry into force pursuant to Article 4].
- 27 Appendix I
Requirements for motor vehicles with autonomous driving function
Part 1
Functional requirements for motor vehicles with autonomous
driving function
Motor vehicles with autonomous driving function must meet the functional requirements
presented below. The required functions can be proven by the manufacturer or the owner
or both in a possible, so-called test phase of the motor vehicle with autonomous driving
function without passengers in the specified operating area.
1. Dynamic driving task
The motor vehicle must be able to safely perform the driving task in the approved,
specified operating range in all situations by suitably selecting the driving path and
speed, independently and continuously adapting. This includes the orientation of the
driving course to the changing environment of the motor vehicle with autonomous
driving function and ensuring compliance with legal requirements. The safety of all
road users, all uninvolved third parties and all vehicle occupants must be given the
highest priority when performing the driving task. The motor vehicle with autonomous
driving function must react appropriately to unexpected events, even if they occur
suddenly.
Motor vehicles with autonomous driving function, which are used to transport
stationary or not wearing seat belts, may not exceed an acceleration of 2.4 meters
per second square on the level in normal operation. Depending on verifiable factors
influencing the risk to vehicle occupants and other road users and uninvolved third
parties, it may be necessary to exceed this limit. This can be the case, for example, if
the vehicle occupants are buckled but not standing inside the vehicle.
- 28 In order to perform the driving task, the motor vehicle with the autonomous driving
function switched on must at least meet the requirements specified in the following
sections 1.1 to 1.4.
1.1 General collision avoidance
Collisions with other road users and uninvolved third parties must be avoided if this
1. by emergency braking or
2. Other participants in the surrounding traffic, other uninvolved third parties or evasive maneuvers
that do not endanger the occupants of the motor vehicle with autonomous driving function
is possible.
If a collision to avert endangering the lives of the occupants of the motor vehicle with
autonomous driving function can only be avoided by endangering the lives of other
participants in the surrounding traffic or uninvolved third parties (unavoidable alternative
endangerment of human life), the protection of the other participants in the surrounding
traffic and of the uninvolved third parties are not subordinate to the protection of the
occupants of the autonomously driving motor vehicle.
1.2 Interaction with other road users
a) Road users driving ahead on the lane are recognized. An appropriate safety distance
is maintained at all times in every speed range and in every possible driving
situation. The safety distance to be maintained is determined according to Section 4
of the Road Traffic Act.
b) The lane change of preceding or following vehicles, which takes place from an
adjacent lane into one's own lane or out of one's own lane into an adjacent lane,
is recognized and taken into account accordingly in the driving task.
c) Situations that require a lane change (e.g. stationary or slow vehicles on the road,
end of a lane) are recognized and suitable maneuvers to change lanes are carried
out safely.
d) Emergency vehicles are recognized and suitable driving maneuvers are carried out safely.
- 29 -
1.3 Planning of travel paths and speeds
When speed is adjusted, there is no avoidable impairment of occupants, other road
users and uninvolved third parties. The following requirements apply:
a) Speed limits and speed limit changes are detected and the speed is adjusted
accordingly.
b) Special speed requirements are recognized and followed during the speed and
journey process (e.g. in school and construction site areas, at bus stops, railway
crossings, in tight curve radii or on inclines, in bottlenecks where your own lane
must be used by oncoming traffic) .
c) Traffic facilities (e.g. traffic lights, signs, crossings) are recognized and taken into
account in the speed and journey progression.
d) Situations in which the right of way must be given to others (e.g. in front of zebra
crossings, at intersections or junctions) are recognized and dealt with without
endangering or impeding those who have the right of way. A calculated time to
impact of more than three seconds with regard to the right of way must be
observed. Deviations from these values must be adequately justified and
documented on the basis of systematic, state-of-the-art safety assessments. The
state of the art requirement is considered to be met if the requirements of ISO
26262:2018-12 Road vehicles - Functional safety2be fulfilled.
e) Access restrictions and crossings are recognized and taken into account in the speed
and journey history.
f) Construction site areas, temporarily changed lanes or lane markings are recognized
and taken into account in the speed and journey progression.
1.4 Response to Environmental Conditions
Weather, environmental and road infrastructure conditions (e.g. rain, obstructed visibility
due to smoke, potholes) are taken into account in the speed and journey progression.
2Published
by Beuth Verlag GmbH, Burggrafenstraße 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 30 takes. The travel path and speed are to be selected – up to and including the standstill of the vehicle –
in such a way that the points listed in 1.1. until 1.3. requirements are met even when the
environmental conditions change.
2. Minimum risk state
The following applies to motor vehicles with autonomous driving function and without conventional devices for
performing the driving task:
The motor vehicle can only leave the risk-minimum state at the instigation of the
technical supervisor.
3. limp home function
The motor vehicle with autonomous driving function must be equipped with an emergency
driving function. If, in the event of a defect in the motor vehicle, the motor vehicle has to be put
into the minimum-risk state, this must be done with the emergency driving function. Driving
with the emergency driving function may only be carried out at walking speed and the hazard
warning lights are activated. The transition of the autonomous driving function from normal
driving to driving with the emergency driving function is exempt from this speed limit if braking
is necessary.
4. Manual driving mode
In manual driving mode, a person driving the vehicle performs the driving task. The
motor vehicle with autonomous driving function must be equipped with devices that
enable a person driving the vehicle to perform the driving task.
If the control in manual driving mode is not limited to speeds higher than walking
speed, it is not necessary for the person driving the vehicle to be inside the motor
vehicle with autonomous driving function. In this case, the control can be carried
out via a remote control located in the vicinity of the motor vehicle. The maximum
distance over which remote control is possible is six meters, measured
- 31 in straight connection. The manufacturer must ensure compliance with the maximum
distance using suitable technical means.
If the motor vehicle with autonomous driving function is to be driven manually at
speeds higher than walking pace, it must be equipped with a seat for the person
driving the vehicle. The seat must be designed in accordance with the applicable
regulations.
5. Permanent self-monitoring
The functionality of the technical equipment required to perform the driving task must be
continuously monitored independently by the motor vehicle with autonomous driving function.
The monitoring must be carried out in such a way that an impairment of the technical
equipment, which is necessary for the safe participation of the motor vehicle with autonomous
driving function on the road, leads to the minimum-risk state.
5.1 The following applies to motor vehicles with autonomous driving functions and
without conventional devices for dynamic performance of the driving task:
a) For the permanent monitoring of the technical equipment, non-personal
technical data is collected and stored in the vehicle.
b) Any impairment of the technical equipment must be reported to the technical supervisor
immediately.
5.2 The following applies to motor vehicles with autonomous driving functions and
with conventional devices for carrying out the driving task:
The autonomous driving function must not be able to be activated again as long as the
technical equipment is impaired.
- 32 -
6. Transmission of data to the motor vehicle
The data and information from external technical units (e.g. backends or servers of a
provider, external sensors, smartphones) that are required to independently handle the
driving task in autonomous operation must be able to be safely received and used by
the motor vehicle. Data from external units can be used in the motor vehicle to carry
out the autonomous driving functions. In certain applications, for example, data and
information can be transmitted from an external technical unit to the motor vehicle and
from the motor vehicle to a technical unit via a wide area network connection (WAN
connection). In particular, the transmission of such data must comply with the
requirements of Articles 24, 25 and 32 of Regulation (EU) 2016/679 and be secured
according to the current state of the art. The security concept must address the risks
identified in a threat analysis with effective measures and include a data protection
impact assessment in accordance with Article 35 of the General Data Protection
Regulation. A central secure electronic control unit (SECU) should be used for data
transmission. The SECU serves as an information gateway in the motor vehicle. The
SECU communicates internally to the motor vehicle's communication buses and to the
physical On-Board Diagnostic II (OBD II) connector or to a manufacturer's proprietary
interface. Requirements for security in the field of information technology for data
transmission can be found in Part 5. The integrity, authenticity and availability of the
data transmission must be ensured.
The communication of the motor vehicle with autonomous driving function with other vehicles or
with infrastructure components is permitted. On the basis of a data protection impact assessment
according to Article 35 of the General Data Protection Regulation, it must in particular meet the
requirements for information technology according to Part 5 and thus the requirements of Articles
24, 25 and 32 of the General Data Protection Regulation. During operation in an optional test phase,
the communication of the motor vehicle with autonomous driving function with other vehicles and
infrastructure components must be tested and adjusted if necessary.
- 33 -
7. Functional safety and safety of the function
7.1 Operations Manual
The purpose of the operating manual is to ensure the safe operation of the motor
vehicle by means of detailed specifications and to enable technical supervision to react
correctly to faults.
7.2 Security Concept
The safety of the driving function is to be evaluated in the safety concept. With a
systematic approach, the dangerous scenarios and events relevant to the Operational
Design Domain (ODD) must be identified and evaluated in a risk analysis.
In order to prevent hazards or reduce their risk to an acceptable level, a system
behavior must be defined based on identified risks for the corresponding scenarios
and events, or system improvements must be implemented.
The system must correspond to the state of the art. The state of the art requirement
is considered to be met if the specifications of ISO/PAS 21448:2019-01 Road vehicles
- Safety of the intended function3be fulfilled. The sufficient completeness of the
scenarios is verified by statistical analyzes based on validation drives or other data
recordings during driving.
7.2.1 Risk Analysis
The hazard analysis names and classifies safety-critical parts of the autonomous driving
function. The analysis must show how the technical equipment for implementing the
autonomous driving function reacts in possible operating situations in the event of an error and
what influence these reactions have on the safety and controllability of the motor vehicle.
3Published
by Beuth Verlag GmbH, Burggrafenstrasse 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 34 -
The risk analysis always includes the safety of the vehicle occupants and other road
users. The risk analysis also includes identifying situations that are most difficult for
the technical equipment to cope with.
The methods used to create the risk analysis must correspond to the state of the art in
science and technology. This is presumed in relation to the hazard analysis methods
when a hazard and risk analysis according to ISO 26262-3:2018-12 Road vehicles Functional safety - Part 3: Concept phase or "Hazard Identification and Risk Evaluation"
according to ISO/PAS 21448:2019 -01 is performed.4
7.2.2 Security Measures
The manufacturer's safety concept according to Section 7.2. must show how the
state-of-the-art technical equipment recognizes hazards and uses suitable
measures to reduce or avoid them. Possible safety measures are in particular
a) technical measures in the electrical and electronic infrastructure, activation of
fallback levels or external measures (e.g. recourse to the emergency drive mode,
activation of an emergency system, override function, transfer to the minimum-risk
state) and
b) organizational measures (e.g. delimitation of the suitable operating area, specific
instructions to the person driving the vehicle for manual driving, limitation of the
permitted group of passengers, adjustment of the roadway or the signage).
The methods used to develop measures to minimize or circumvent hazards must be
state-of-the-art.
With regard to the state of the art in science and technology, reference is alternatively made to the "Hazard
4
Identification and Risk Evaluation" in accordance with ISO/PAS 21448:2019-01. As soon as this is available in
German, there will be a corresponding note in the traffic bulletin.
- 35 -
The state of the art requirement is considered to be met if the specifications of ISO
26262-4:2018-12 Road vehicles - Functional safety - Part 4: Product development at
system level or ISO/PAS 21448:2019-015be fulfilled.
7.3 Periodic technical vehicle inspection
The feasibility of the periodic technical vehicle inspection is to be ensured through a
suitable functional and structural design of the motor vehicle (e.g. manual driving
operation, accessibility of the brakes). In particular, it must be possible to drive on
brake test benches, light adjustment stations, lifting platforms or pits and to carry
out all prescribed tests.
8. Sensor technology
For the technical implementation of the autonomous driving function, a sensor
system must be used that records all objects, data or people in the vicinity of the
vehicle that are necessary for the safe performance of the driving task and that,
with regard to the processing of personal data, the specifications of the General
Data Protection Regulation, the Federal Data Protection Act and special statutory
data protection regulations observed. In order to fulfill the purpose stated in
sentence 1 and in compliance with the stated specifications, the sensors can be
supported by external systems. If weather, environmental and infrastructure
conditions affect the performance of the sensors, the technical equipment of the
motor vehicle with autonomous driving function initiates measures,
The sensors are integrated into the safety concept of the motor vehicle with autonomous driving function according to
Section 7.2. and to be integrated into the permanent system monitoring according to Section 5.
5Published
by Beuth Verlag GmbH, Burggrafenstrasse 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 36 -
9. Aging and wear of the system
The motor vehicle must also meet the functional requirements when the relevant
system components age and wear out. If signs of aging affect the performance, for
example of the sensors, the technical equipment of the motor vehicle with autonomous
driving function compensates for the risks resulting from the reduced performance of
the sensors by taking appropriate measures.
Part 2
Testing and validation methods for vehicles with autonomous
driving functions
Test and validation methods are defined below, which can be used by the bodies
responsible for issuing the operating license to check compliance with the technical
requirements for the autonomous driving function.
Each requirement can be checked for compliance using tests.
10.Examination and Test Cases
As part of the tests to obtain the operating license and to check compliance with the
requirements associated with this operating license, tests can be carried out as
necessary. The test cases must provide sufficient test coverage for all scenarios, test
parameters and environmental influences. The coverage must be justified to the
Federal Motor Transport Authority or to the bodies commissioned by the Federal Motor
Transport Authority in accordance with Section 3 (7). This justification must include
validation or appropriate evidence based on empirical data collection of non-personal
data. The test cases must be able to prove that the level of safety of the motor vehicle
with autonomous driving function is higher than the level of safety of vehicles that are
driven by people.
- 37 The test cases must be suitable for demonstrating a sufficient robustness of the technical
equipment for environmental perception against the disturbance of input/sensor data and
unfavorable environmental conditions.
10.1 Artificial Errors and Operating Range Limits
To test the requirements
a) faults in the technical equipment may be caused artificially,
b) the motor vehicle may be brought into environments that do not correspond to the
intended operating area.
10.2 Test Scenarios, Deviations and Passing Criteria
According to the intended operating area, the Federal Motor Transport Authority selects
test scenarios as part of the test. The selection is made on the basis of the manufacturer's
catalog of test scenarios in accordance with Section 3 Paragraph 2. In order to check that
the vehicle meets the requirements, driving tests in real road traffic must be carried out as
part of the granting of the operating permit. The test is supplemented by simulations and
the execution of driving maneuvers on a test site.
Depending on the test scenarios specified by the competent authority as part of the
granting of the operating permit, the pass criteria are defined by the following values. If the
manufacturer deviates from these values, he must adequately justify and document this.
Justification and documentation must be carried out according to the state of the art. The
state of the art requirement is considered to be met if the requirements of ISO
26262:2018-12 Road vehicles - Functional safety6be fulfilled.
6Published
by Beuth Verlag GmbH, Burggrafenstrasse 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 38 -
10.2.1 Passing criteria from UN Regulation No. 152
The fulfillment of the requirements set out in Section 1.1 for the motor vehicle with
autonomous driving function with regard to the avoidance of collisions is ensured
by deriving pass criteria from the requirements of UN Regulation No. 152 - Uniform
conditions for the approval of motor vehicles with regard to the emergency braking
assistance system (AEBS) in vehicles of categories M1 and N1 (OJ L 360, 30.10.2020,
p. 66). The following changes to the text of UN Regulation No. 152 apply:
a) Clause 5.1.4. the warning to the driver does not apply.
b) Numbers 5.2.1.2. and 5.2.2.2. the required minimum deceleration requirement of 5
meters per second square must be deviated from, taking into account the
characteristics of the vehicle in autonomous operation and the environmental
conditions. For example, vehicles that are intended to transport standing passengers
during autonomous operation may require a lower minimum deceleration to protect
the vehicle occupants.
c) Clause 5.2.1.4. Letters a to e (restrictions on requirements) do not apply. New
restrictions resulting from the definition of the ODD are conceivable (e.g. the
restriction “in daylight” results from “no automated driving at night”).
d) Clause 5.2.2.4. Letter a is to be applied as amended as follows: "For crossing
pedestrians with a lateral speed component of not more than 7 km/h, for
crossing cyclists with a lateral speed component of not more than 25 km/h". The
letters b to e are not applicable.
e) Clause 5.2.1.4. and paragraph 5.2.2.4., the tables are to be applied based on the
speed limits of the automated driving function in such a way that a relative
collision speed of "0" (no collision) is required over the entire speed range.
f) The numbers relating to override and cut-out of the emergency braking system are not
applicable.
- 39 -
10.2.2 Leaving the lane
The motor vehicle with autonomous driving function may only leave its own lane in
the following cases: during the "lane change" maneuver, for maneuvering at low
speeds (e.g. when parking, in the area of narrow intersections), for avoiding
obstacles and oncoming vehicles, for collision avoidance and to avoid emergency
vehicles.
10.2.3 Safe Distance
Vehicles ahead in the lane are detected. An appropriate safety distance must be
maintained at all times, in every speed range and in every possible driving situation.
10.2.4 Changing lanes of other vehicles
The lane change of preceding or following vehicles, which takes place from a
neighboring lane into one's own lane or out of it into a neighboring lane, is
recognized and taken into account accordingly in the driving task.
10.2.5 Collision avoidance with vehicles traveling in the same direction
Collisions with road users traveling in the same direction and entering one's own
lane are to be avoided within the conditions determined by the following inequality.
The inequality is only valid for traffic cutting in in front of the motor vehicle with
autonomous driving function, and only if the cutting in traffic was visible at least
0.72 seconds before the intrusion:
2
1
2
The parameters of the above inequality are specified below:
- 40 -
Time to impact (TTC) at the time of
entering the lane of the motor vehicle
with autonomous driving function in
seconds. Exceeding the outer edge of
the lane by more than 30 centimeters
is considered an intrusion.
Relative speed in meters per second
[m/s]. Positive for the approach of the
motor vehicle with autonomous
driving function to a traffic participant
cutting in who is moving more slowly.
Time in seconds to reach the delayain
meters per second squared.
Typical values are
0.5 seconds to reach 10
second square. For
lesser
possible delays
of the motor vehicle with
autonomous driving function
the values are to be
scaled accordingly. For
6 seconds square will
therefore assume
gene that this delay is
achieved in 0.3
seconds, 2.4 second
square in 0.12 seconds.
Time in seconds required to initiate a
braking response.
0.1 seconds
Delay in meters per second squared
2.4 second square for motor
vehicles with autonomous
driving function, which are
intended for the transport
of stationary or unbelted
vehicle
sat are designed7,
7http://www.ureko.de/downloads/veroeffentlichungen/152.pdf
- 41 -
6 second square
for
other motor vehicles with
autonomous driving function.
This results in a required collision avoidance when a road user intrudes into their
own lane above the following TTC values (shown as an example for speeds in steps
of 10 kilometers per hour). These requirements must be met regardless of
environmental conditions and should be taken into account when deriving pass
criteria.
[Kilometers per hour]
TTClane change[second] for motor
TTClane change[second] for other
vehicles with autonomous
motor vehicles with
driving function with vehicle
autonomous driving function
occupants transported in a
standing position
10
0.74
0.48
20
1.32
0.71
30
1.9
0.94
40
2.47
1:18
50
3.05
1.41
60
3.63
1.64
If a lane-changing road user cuts into the lane of the motor vehicle with autonomous
driving function when the time to impact (TTC) is less, a collision avoidance can no
longer be assumed. If a collision cannot be avoided, the consequences of a collision
must be minimized by braking and thus reducing the speed as much as possible, taking
into account the risk to the occupants of the motor vehicle with autonomous driving
function due to the braking and the collision. The control strategy of the system may
only change between collision avoidance and collision mitigation insofar as braking is
prioritized over an evasive maneuver that is no longer successful. Evasive maneuvers
may only be carried out in compliance with the specifications in Section 1.1.
- 42 10.2.6 Lane Change Maneuvers
The pass criteria for lane change maneuvers are as per Section 5.6.4.6. UN
Regulation No. 79 of the United Nations Economic Commission for Europe (UNECE)
— Uniform conditions for the approval of vehicles with regard to the steering
system (OJ L 318 of 14.12.2018, p. 1). Requirements of this regulation affecting
functions related to the person driving are not applicable. The driving maneuvers
must be planned in such a way that there is no danger to other road users.
The pass criteria with regard to safe lane changes and how to avoid endangering
other road users when changing lanes are based on the requirements of sections
5.6.4.7. and 5.6.4.8. of UN Regulation No. 79, where for the speed of the
approaching vehicle (vapp) the respective speed limit prevailing in the ODD may be
applied.
10.2.7 Turning and Crossing
With regard to interaction with other traffic participants when turning and crossing,
the following pass criteria must be taken into account (see Figure 1):
b)
- 43 -
c)
a)
Figure 1: Visualization of the distances when turning and crossing. Case letter a: distance to be maintained
from following traffic when turning. Case letter b: Additional distance to oncoming traffic to be maintained
when turning through oncoming traffic. Case letter c: When crossing, the distance to be maintained from
priority crossing traffic.
Passing criteria for safe turning and crossing are from the requirements of sections
5.6.4.7. and 5.6.4.8. of UN Regulation No. 79. For the approach speed (vapp) the
speed limit applicable in the driving situation may be applied. The requirements for
the geometric relationships to the surrounding traffic must be transferred
accordingly from the lane change to the turning maneuver (letter a in Figure 1).
When turning across the oncoming lane, when considering the oncoming traffic it
applies that – in addition to the distance to the following traffic on the target road –
it must be ensured that the TTC of the priority oncoming traffic to the calculated
collision point (intersection of the driving paths) never falls below 3 seconds ( Letter
b in Figure 1).
- 44 -
The same applies when crossing with priority traffic (letter c in Figure 1): The TTC of the
priority traffic to the notional collision point (intersection of the driving paths) must be
more than 3 seconds.
11. Conducting Tests
In addition to real vehicles, state-of-the-art test tools that replace real vehicles and
other traffic participants (e.g. soft targets, pedestrian dummies, mobile platforms)
may be used to carry out the tests. The test tools must correspond to real vehicles
and other traffic participants with regard to the properties relevant for a
performance evaluation of the sensors. Tests may only be carried out in such a way
that the persons involved in the test are not endangered. The relevant occupational
health and safety requirements must be taken into account.
The fulfillment of requirements can also be checked by suitable simulation. The
simulation tools have to be validated. The simulation tools must be validated by
comparing them to a representative selection of real tests; there must be no significant
difference between the characteristic values from the simulation and the driving test.
The performance of the sensors in relation to the detection and classification of objects
depending on different distances and environmental conditions must be determined
for the simulation in real tests. Each series of simulations shall be supplemented by real
tests if deemed necessary by the technical service.
Every requirement described in this ordinance that is relevant in the intended operating area for
autonomous driving in accordance with the operating license applied for and every dangerous
scenario identified according to Section 7.2 must be checked at least by simulation. For this
purpose, the motor vehicle to be tested must be brought into the appropriate situation in
autonomous driving mode by appropriately selecting the traffic environment. It must at least be
checked how the motor vehicle with autonomous driving function behaves in the scenarios
identified as dangerous in Section 7.2. At least three parameter constellations must be selected
for this test.
- 45 -
12.Requirements for the test site and the environmental
conditions
The specified operating area provided for the approval itself can be used for tests within the
framework of the granting of the license in accordance with Section 3, provided that tests can be
carried out there safely for other traffic participants and uninvolved third parties.
Tests are to be carried out under different environmental conditions.
part 3
Digital Data Storage
13. General Data Storage Requirements
A data storage device corresponding to the requirements of Articles 24, 25 and 32 of Regulation
(EU) 2016/679 must be integrated in the motor vehicle with autonomous driving function, which
is event-based and during operation according to Section 9 (5) and Section 15 data of the motor
vehicle with autonomous driving function exclusively collected, stored and used for the purpose
of improving road safety. The data to be recorded are conclusively regulated in § 1g paragraph 1
of the Road Traffic Act in conjunction with Annex II to this ordinance.
The data memory is to be designed in accordance with the data protection regulations
contained in Section 1g of the Road Traffic Act and the data protection regulations
contained in this regulation and the specifications of Articles 24, 25 and 32 of Regulation
(EU) 2016/679 in accordance with the state of the art. A system for access control and
cryptographic protection procedures must be provided in accordance with the relevant
technical guidelines of the Federal Office for Information Security. The Federal Office for
Information Security is to be involved in the specific design of the specifications. Significant
data storage requirements are presented below.
13.1 Events to be saved
The different cases of data recording are presented below.
Case 1: Autonomous driving in the specified operating area
- 46 -
tS
tE
time/s
No data storage
Case 2: Autonomous driving in the specified operating area with an event (such as an accident)
t0
accident
tS
tE
time/s
data storage
Case 3: Autonomous driving in the specified operating area with an event and subsequent
transfer of the motor vehicle to the minimum-risk state
tS
low-risk condition
tR
tOP
tE
time/s
data storage
Legend:
time
description
- 47 -
tS
Start of the journey (starting the motor vehicle)
tE
end of the ride
t0
accident event
t0p
Technical Supervision request or input
tR
Triggering of the minimum risk state
13.2 Technical Specifications for Saving, Reading and Transferring
Data
The data storage system must be non-volatile. The stored data must be retained
when the power is off.
Additional technical requirements for data storage:
a) Access to the data stored in the motor vehicle with autonomous driving function
is via the standardized 16-pin on-board diagnostic interface (16-pin OBD
interface) via a communication module according to ISO 22900-1:2008-038thRoad
vehicles - Modular in-vehicle communication interface (MVCI) - Part 1: Hardware
design requirements using the manufacturer's proprietary software or via the
proprietary interface. In addition, in certain situations or after certain events, the
data must be sent directly to the responsible government agency via a wide area
network connection (WAN connection),
b) Access and downloading of the stored data via the standardized 16-pin OBD interface or
via the proprietary interface may only be carried out by the Federal Motor Transport
Authority and the competent authority, provided this is necessary for their respective
task fulfillment under this Ordinance,
8thPublished
by Beuth Verlag GmbH, Burggrafenstrasse 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 48 c) In the event of repairs, the data memory in the motor vehicle with autonomous driving
function is accessed via the standardized 16-pin OBD interface via a communication
module according to ISO 22900 only using the manufacturer's proprietary software or
via the proprietary interface,
d) Data storage and data transmission to the Federal Motor Transport Authority and the
competent authority must meet the security requirements in the field of information
technology (Part 5). In particular, the data must be protected against manipulation and
misuse in accordance with the state of the art, taking into account the requirements of
Articles 24, 25 and 32 of the General Data Protection Regulation.
Part 4
Human-machine interface requirements
14. Interaction
A motor vehicle with autonomous driving function, which is operated autonomously within
a defined operating area, only requires interaction with technical supervision in exceptional
situations.
In particular, the human-machine interface must be designed taking into account the
following two exceptional situations.
14.1 The Technical Supervisor issues a driving maneuver release to the motor
vehicle with autonomous driving function
The technical equipment puts the motor vehicle in a risk-minimum state, since the
journey cannot be continued due to a traffic situation. Leaving the risk-minimum
state takes place with the support of the technical supervisor. The following should
be noted here:
a) The autonomous driving function can initially suggest possible driving maneuvers to the
Technical Supervisor to continue the journey and provide sufficient data to assess the
situation.
- 49 b) If a driving maneuver is specified by the technical supervisor, this must be validated by
the autonomous driving function.
Irrespective of letters a and b, the driving maneuver must not be carried out if this
would endanger those taking part in traffic and uninvolved third parties. The safe
execution or non-execution of such driving maneuvers is still the responsibility of the
autonomous driving function with system-side evaluation of the current traffic situation
on site.
14.2 Taking over the task of driving by manual control outside the
specified operating range
If the autonomous driving reaches the limits of the defined operating range, the
vehicle must be put into the minimum-risk state by the autonomous function. If a
person driving the vehicle continues to drive outside the limits of the specified
operating area, the person driving the vehicle must be prompted to take action
using a suitable interaction concept. If stopping the motor vehicle with autonomous
driving function would impede the surrounding traffic or third parties, the request
must be supplemented by a corresponding notice. The request is to be continuously
increased in intensity. The request can be made, for example, by signal tones of
increasing volume or by vibrations of increasing intensity.
part 5
Information technology security requirements
15. Information Technology Security
- 50 -
The requirements to be met by the manufacturer with regard to security in the field
of information technology are the requirements of the current version of UN
Regulation No. 155 Uniform conditions for the approval of vehicles with regard to
cyber security and the cyber security management system (OJ L 83 of 09.03.2021, p.
30) subject to the following: The requirements of sections 1, 3, 4, 5.3.1 to 5.3.5 do
not apply. The security concept must meet the requirements of Articles 24, 25 and
32 of Regulation (EU) 2016/679 of the European Parliament and Council of April 27,
2016 on the protection of natural persons when processing personal data,
16. Security of Radio Communications
The connections must be implemented in such a way that protection against unauthorized
access to the connections implements the requirements of Articles 24, 25 and 32 of the
General Data Protection Regulation. The establishment of the connection and the data
transmission must be secured and encrypted according to the state of the art using open
and established standards (e.g. with TLS 1.3 as in the Technical Guideline TR-02102-2
Cryptographic Procedures: Recommendations and Key Lengths, published by the Federal
Office for security in information technology in January 2020 and on the website of the
Federal Office for Information Security9).
9Available
from the Federal Office for Information Security, Postfach 200363, 53133 Bonn; archived there,
also available at the time this regulation came into force: https://www.bsi.bund.de/SharedDocs/
Downloads/DE/BSI/Publikationen/Technische Guidelines/TR02102/BSI-TR-02102-2.pdf;jsessionid
=55C61697617F17382A64C6612D32125B.internet082?__blob=publication-File&v=1.
- 51 Appendix II
data storage
During operation, the following data must be recorded in the motor vehicle with autonomous driving
function on the occasions specified in § 1g paragraph 2 of the Road Traffic Act.
DATA
1. Vehicle Identification Number
EXAMPLE DATA FORMAT
Alphanumeric characters
[AZ; 0-9]
Example: AAAAAA654398GFRDE
latitude and longitude
[±ddd.ddddd,
Specification in ± degrees (°) and decimal
degrees, 5 decimal places]
2. Location Data
3. Number and times of use and
activation/deactivation of the
automated function
4. Number and time of the release of
alternative driving maneuvers
5. System monitoring data (start/
end) including software status
6. Environmental and Weather Conditions
7. Networking
8. Name of activated/deactivated
passive and active safety
systems, state, triggering
entity (system or external)
9. Longitudinal and lateral vehicle
acceleration
Altitude in meters
Global Positioning System output exchange format as a sequence of
points at which there is a change in
direction of travel; Specification of
the (map) reference system.
Date (Year:Month:Day), Time
(Hour:Minute:Second),
Example: 2019-07-16, 05:25:12
Number, individual times
(hour:minute:second)
Alphanumeric characters [AZ;
0-9] including explanation
Example: P0601 engine control unit memory checksum error
Temperature/°C, brightness/
illuminance/lux, wiper position
on/off
Networking parameters such as
transmission latency and available
bandwidth
System Name, State, Instance Example:
Emergency braking system, active,
system health
Numerical values in meters per second
squared
10th speed
Numerical value in meters per second
11. Status of lighting equipment
Example:
Flashing on/off
- 52 Daytime running lights on/off
12. Power supply of the
autonomous motor vehicle
Numerical value in volts
13. Commands and information
sent externally to the vehicle
Format of commands sent, as well as
metadata about information: file size, file
format, source, destination, transmission time
- 53 -
Annex III
Manufacturer's documentation requirements
1. Functional description
The aim of the functional description is to present the technical basis of the functions of the
motor vehicle and the necessary conditions for safe operation as well as the
implementation of data protection and data security requirements. The system of the
functional description must correspond to the state of the art. This is considered to be
fulfilled if the requirements of ISO 26262-3:2018-12 Road vehicles - Functional safety - Part
3: Concept phase10be respected. The functional description must address the following
topics:
1.1 Operating range of the motor vehicle with autonomous driving function (e.g. passenger
transport in traffic between specified stations),
1.2 Technical description (block diagrams, interfaces to other vehicle systems),
1.3 Description of the required functions of the motor vehicle and the system states
(e.g. driving with activated autonomous function, other driving modes, minimumrisk state),
1.4 Environmental conditions necessary for smooth operation (e.g. visibility conditions,
weather conditions, road condition),
1.5 Normative or procedural requirements for operations (e.g. occupational health and
safety, internal approval processes, digital roles and rights concept),
1.6 System of interaction with other road users (e.g. reaction to ambiguous
behavior, warning signs, hand signals),
1.7 Requirements for the traffic infrastructure for smooth operation (e.g. radio
signals from signs or traffic lights) and
10Published
by Beuth Verlag GmbH, Burggrafenstrasse 6, 10787 Berlin. Stored securely in the archives of the
German Patent and Trademark Office in Munich.
- 54 -
1.8 Implementation and guarantee of data protection and data security requirements.
2. Operations Manual
With the aim of ensuring the safe operation of the motor vehicle with autonomous driving
function, the operating manual is intended to describe in detail the operation, maintenance,
overall inspection, diagnosis of the motor vehicle and the parameters serving data protection
and data security. The content of the operating manual includes at least the following points:
2.1 A role-rights-duties concept for the activities required for operation,
2.2 Definition of the competencies required to carry out the activities required for
operation,
2.3 Scope, procedure, times and intervals of maintenance measures,
2.4 Safety instructions in terms of observing limit values for the technical
functions,
2.5 Fault clearance or safety measures to be taken in the event of a disruption to
operations,
2.6 Documents for maintenance and repair measures including the necessary templates,
2.7 Presentation of the functionalities serving data protection and data security.
3. Security concept
The documentation of the safety concept in accordance with Annex I number 7.2 should enable the
functional safety to be checked.
4. Security in the field of information technology
The documentation must enable security testing in the field of information
technology and a detailed description in relation to ensuring data
- 55 protection and data security, in particular with regard to compliance with the provisions of
Articles 24, 25 and 32 of Regulation (EU) 2016/679 of the European Parliament and of the
Council of April 27, 2016 on the protection of natural persons when processing personal
data, on the free movement of data and repealing Directive 95/46/EC (General Data
Protection Regulation) (OJ L 119 of 04/05/2016, p. 1; L 314 of 22/11/2016, p. 72; L 127 of
23/05/2018, p. 2) .
Article 2
Change in the scale of charges for road traffic measures
The scale of charges for road traffic measures from January 25, 2011 (BGBl. I p. 98),
which was last amended by Article 129 of the law from August 10, 2021 (BGBl. I p.
3436), is changed as follows:
1. Section 2 paragraph 1 is amended as follows:
a. In number 11, the period is replaced by a comma.
b. The following number 12 is added:
“12.
the costs of an officially recognized expert for motor vehicle traffic, a
technical service with overall vehicle authorizations for the respective vehicle
classes or another body commissioned by the Federal Motor Transport
Authority for the assessment of a motor vehicle with automated or
autonomous driving function, including the assessment of the information
technology security of vehicles and vehicle parts.
2. The Annex is amended as follows:
a. The following fee numbers 111.3 to 111.7 are inserted after fee number
111.2.1:
"111.3
an operating license for motor vehicles with autonomous driving function
111.4
a test permit for motor vehicles with autonomous driving functions
8 925.00 to
89 240.00
8 925.00 to
89 240.00
- 56 111.5
approval of subsequent activation of an autonomous driving function in
motor vehicles that have already been registered
49.00 to 129.00
according to personnel and material costs per hour and person
approval of subsequent activation of an automated driving function in
motor vehicles that have already been registered
111.6
49.00 to 129.00
according to personnel and material costs per hour and person
a test permit for automated driving functions according to
111.7
49.00 to 129.00"
personnel and material costs per hour and person
b. The following fee numbers 112.4 to 112.8 are inserted after fee number
112.3:
"112.4
on the operating license for motor vehicles with autonomous driving function
4 462.50 bis
44 620.00
112.5
for the test approval of motor vehicles with autonomous driving
function
4 462.50 bis
44 620.00
112.6
approval of subsequent activation of an autonomous driving function in
motor vehicles that have already been registered
49.00 to 129.00
according to personnel and material costs per hour and person
approval of subsequent activation of an automated driving function in
motor vehicles that have already been registered
112.7
49.00 to 129.00
according to personnel and material costs per hour and person
a test permit for automated driving functions according to
112.8
49.00 to 129.00"
personnel and material costs per hour and person
c. The following subsection H is inserted after fee number 400:
"H. Autonomous Vehicles Approval and Operation Ordinance (AFGBV)
400a
Approval of the specified operating area for motor vehicles with
autonomous driving function
400a.1
Examination of an application for approval of a specified operating area for
790.60 to
the use of motor vehicles with autonomous driving function according to § 8 79 060.00
AFGBV including inspection of the operating area, clarification of the facts,
coordination with third parties to be involved, examination of the underlying
operating license of the motor vehicle with autonomous driving function and
decision on the application regarding granting, Modification, extension,
rejection or cancellation, including registration
400a.2
Assessment and review of supplements for a specified area of operation for 49.00 to 129.00"
already approved specified areas of operation as well as verification of the
fulfillment of the requirements of the approval of an approved specified area
of operation
according to personnel and material costs per hour and person
- 57 -
Article 3
Change in the Vehicle Registration Ordinance
The Vehicle Registration Ordinance of February 3, 2011 (BGBl. I p. 139), which was last
amended by Article 9 of the law of July 12, 2021 (BGBl. I p. 3091), is amended as follows:
1. In § 3, the following paragraph 1a is inserted after paragraph 1:
"(1a) The approval of vehicles with autonomous driving function or of vehicles
for testing automated or autonomous driving functions is also based on
the provisions of the Autonomous Vehicles Approval and Operation
Ordinance of [TAG. MONTH.2021] (Federal Law Gazette I p. XXX) in the
applicable version."
2. Section 6 paragraph 7 is amended as follows:
a. In point 7 letter k, the "and" at the end is deleted.
b. In number 7 letter l, the dot at the end is replaced by a comma.
c. The following number 8 is added:
"8th. for vehicles with autonomous or automated driving functions:
a) the number, the issuing authority and the date of the type approval,
b) the number, the issuing authority and the date of the test approval,
c) the number, the issuing authority and the date of the operating area
permit,
d) Information on the equipment with autonomous or automated driving and additional
functions."
Article 4
Come into effect
This ordinance comes into force on the day after its promulgation.
- 58 -
The Federal Council has agreed.
Translated from German to English - www.onlinedoctranslator.com
- 59 -
Reason
A. General
I. Purpose and necessity of the regulations
The use of automated, autonomous, i.e. driverless and networked motor vehicles
on public roads will be an essential part of future mobility. Motor vehicles with
automated and autonomous driving functions can not only increase traffic safety
and efficiency, but also achieve positive environmental effects (reduction of
emissions, reduction of land use) through new mobility concepts and solutions.
Technological progress will also affect the daily life of society and give new impetus
to the economy.
The vast majority of all road accidents in Germany are due to human error. Despite
roadworthy vehicles, serious accidents continue to occur, often involving poorly
protected road users such as pedestrians or cyclists. In addition, demographic
change means that older people are increasingly taking part in road traffic in order
to remain mobile. They often face challenges when using the various means of
transport, for example to find suitable mobility offers in local public transport (lowfloor vehicles, accessibility of stops). The use of motor vehicles with autonomous
driving functions also makes it easier for people with restricted mobility to access
social life.
Motor vehicles with autonomous driving functions can also increase road safety due
to the faster-reacting technology. In addition, they enable new mobility concepts
that, in addition to conventional transport solutions (e.g. in scheduled services), also
offer individual options for picking people up from their front door and bringing
them to the respective destination. Last but not least, this can strengthen social
inclusion, because the use of driverless motor vehicles supports people with
restricted mobility - like all other citizens - in participating in social life. This applies
in particular to structurally weak and rural regions.
- 60 -
The Federal Government has recognized the potential of automated and connected
driving and has already given technological development in Germany a boost in
September 2015 with the creation and implementation of the "Strategy for
automated and connected driving - remain the lead provider, become the lead
market, initiate regular operation". In the course of implementing the strategy,
research was significantly funded and with the construction of various digital test
fields, opportunities were created to test vehicles and infrastructure under real
conditions in different scenarios. It is the goal of the federal government to create
framework conditions for the introduction and regular operation of automated,
networked and now autonomous driving functions.
With the law amending the Road Traffic Act and the Compulsory Insurance Act - Act on
Autonomous Driving of July 12, 2021 (Federal Law Gazette I, p. 3108, issued on July 27,
2021), the basic requirements have been created to make autonomous driving possible
on public roads in Germany close. In addition to the technical requirements for motor
vehicles with autonomous driving function, procedural rules on the granting of
operating licenses for motor vehicles with autonomous driving function, on the
approval of defined operating areas, the admission to road traffic, as well as
requirements and due diligence regulations for the operation of motor vehicles with
persons involved in the autonomous driving function can be enacted by ordinance. The
law on autonomous driving and this ordinance serve to create legal certainty for the
use of autonomous, i.e. driverless systems in road traffic according to level 4 of the
categorization of the SAE (formerly: Society of Automotive Engineers - see: https://
www.sae .org/standards/content/j3016_201806/) or the current classification of
continuous automation by the "Automated Driving" round table (see: https://
www.bmvi.de/DE/Themen/Digitales/Automatisiertes-und-vernetztes -Driving/
automated-and-connected-driving.html). The motor vehicles can drive autonomously
and, if necessary, put themselves in the risk-minimum state when they reach their
system limits. The minimum-risk state is not always equivalent to the vehicle being
stationary; In particular on freeways and motor roads, a vehicle standstill, at least on
the roadway, is generally to be avoided. There always remains the possibility of using
motor vehicles with autonomous driving
- 61 -
function via external access (e.g. from a control center) or to enable driving maneuvers.
The so-called technical supervision is responsible for this. This does not necessarily
have to be the owner of the motor vehicle with autonomous driving function, but it can
be.
II. Compatibility with European Union law and international
treaties
Like the law, this ordinance is also in line with international regulations, in particular
the Vienna Convention on Road Traffic (Vienna Convention on Road Traffic from
1968, BGBl. 1977 II p. 809, 811). This also results from the recommendations
announced in September 2018 by the working party responsible for behavioral law,
the "Global Forum for Road Traffic Safety" WP.1 of the United Nations Economic
Commission for Europe (UNECE). ). According to this, autonomous motor vehicles
are permitted on the road if there is at least one deactivation option by a person inside or exclusively outside the vehicle (regardless of the spatial distance; e.g. by
the technical supervisor).
Furthermore, the European type approval regulations do not conflict with this. The
previously applicable directive 2007/46/EG (framework directive) and the regulation
(EU) 2018/858, which has been mandatory since September 1st, 2020 and has
replaced the framework directive, form a harmonized legal framework for type
approval and the placing on the market of motor vehicles, systems, components
and separate technical units for these vehicles in the European Union. However, the
core of the type approval regulations are the technical requirements for motor
vehicles concentrated in Annex IV of the Framework Directive or Annex II of
Regulation (EU) 2018/858. However, these do not contain any requirements for
driverless motor vehicles.
- 62 ahead of the vehicle (“being driven”). In contrast, autonomous driving functions are
characterized by the fact that they do not provide for human guidance. The so-called
“people movers” or “goods movers” should be mentioned here as examples. Depending on
the end stage developed, they are therefore more likely to be regarded as an aliud (robot)
than as a motor vehicle within the meaning of Regulation (EU) 2018/858, so that a nonharmonised area is left to the national legal structure and national approval for the time
being is accessible with limited validity in Germany.
If, depending on the stage of development, the proximity to a conventional motor vehicle
can be established and the vehicle is thus predominantly amenable to type approval under
applicable law, for example if autonomous driving functions are installed as an alternative
to conventional controllability, national type approval for small series vehicles in accordance
with Articles 42 and 43 of the Ordinance can be granted (EU) 2018/858 allow deviations
from the harmonized technical requirements if alternative technical requirements are
defined at national level. The present law contains such alternative requirements, so that
this possibility of approval is also opened up. This permit is also limited in its validity to
German sovereign territory.
If a type approval with EU-wide validity is sought, Article 39 of Regulation (EU)
2018/858 offers the possibility of exceptional type approval for new technologies or
new concepts, which must be authorized by the European Commission. However,
the prerequisite for this exceptional type approval is incompatibility with one or
more technical legal acts of Annex II. As already explained above, however,
autonomous motor vehicles are not described by those legal acts, so that
depending on the stage of development there is no partial incompatibility, but an
aliud and its authorizability by the European Commission cannot be estimated.
Directive 2006/42/EG of the European Parliament and of the Council of May 17, 2006 on
machines and amending directive 95/16/EG (machine directive) does not apply to
autonomously operating motor vehicles, as they are means of transport. According to
Article 1(2)(e) of the Machinery Directive, various means of transport are excluded from
its scope. For the definition of such means of transport, the Machinery Directive refers,
among other things, to the scope of the harmonized approval legal framework for
motor vehicles of classes M, N and O, for agricultural and forestry vehicles as well as for
two- or three-wheeled and four-wheeled vehicles.
- 63 -
Vehicles intended for use in sporting competitions are also excluded from the scope
of the Machinery Directive. From this specification, the intention of the European
legislator can be derived that all motor vehicles that are intended for the transport
of people or goods and are operated by people should not be covered by the scope
of the Machinery Directive.
As soon as there are sufficient specifications for type approval and for the operation
of automated and autonomous vehicles at European Union level, the current law
and this ordinance will be amended if necessary.
III. Essential content of the draft
Enabling the operation of motor vehicles with autonomous driving functions in
defined operating areas represents the next step towards the introduction of
automated, autonomous and networked vehicles into regular operation on public
roads. Testing of motor vehicles with autonomous driving functions on public roads
is already based on in exceptions granted by the respective federal states are
possible, but up to now it has required that a person ready to intervene as a safety
driver had to be present in the vehicle.
In order to enable the regular operation of these vehicles on public roads in defined
operating areas, no individual technical exemptions from the respective federal
state should now be required. Therefore, with the amendment of the Road Traffic
Act (StVG), a generally applicable three-stage procedure was specified, which is
regulated in detail in this statutory ordinance. The respective subsequent stage
determines the respective preceding stage. Uniform procedural regulations are
thus being created nationwide in order to give the federal states legal certainty in
the implementation of the law on autonomous driving.
- 64 Company under private law within the meaning of the Infrastructure Company Establishment Act, as well
as requirements and due diligence regulations for persons involved in the operation of motor vehicles with
autonomous driving functions.
IV. Legal and administrative simplification
With the designation of the Federal Motor Transport Authority as the central authority for
issuing operating licenses for motor vehicles with autonomous driving functions and for
test approvals, a uniform inspection of motor vehicles with autonomous driving functions is
guaranteed. This leads to a simplification of the administrative procedure and relieves the
individual federal states.
With the approval of the specified operating areas by the authorities responsible
under state law or the authority responsible under federal law for the exercise of
road construction on the respective public roads or on federal trunk roads, insofar
as the federal government is responsible for administration, the company under
private law within the meaning of the Infrastructure Company Establishment Act
comes with a new one Administrative procedures towards the federal states.
However, the administrative effort will be kept within manageable limits, since the
starting point for the assessment of the defined operating areas is always the
operating license for motor vehicles with autonomous driving function issued by
the Federal Motor Transport Authority. On this basis, only the infrastructure of the
local operating area has to be assessed.
When registering motor vehicles with autonomous driving functions, the administrative procedure
before the registration authorities is only extended to include the submission of the previously issued
operating licenses and approvals.
- 65 V. Authorization of the Federal Ministry for Digital Affairs and Transport to issue
ordinances
The authorization of the Federal Ministry for Digital Affairs and Transport to issue
this ordinance follows
- § 1j paragraph 1 numbers 1 to 7 of the Road Traffic Act, which was inserted by Article 1 of
the law of July 12, 2021 (Federal Law Gazette I p. 3108),
- § 6 paragraph 1 sentence 1 numbers 1, 2, 5 to 7, 9 letters a and c, numbers 10, 11 and 17 as well as
paragraph 3 numbers 1 to 3, 5 and 6 of the Road Traffic Act, which was last amended by Article 1
number 6 of the Act of July 12, 2021 (Federal Law Gazette I p. 3091) has been revised,
- Section 6a paragraph 2 in conjunction with paragraph 1 number 1 letter a, also in
conjunction with paragraphs 3 and 4 of the Road Traffic Act, of which Section 6a
paragraph 1 number 1 and paragraph 2 were last replaced by Article 1 number 7 letter
a of the Law of 12 July 2021 (BGBl. I p. 3091) and § 6a paragraph 3 has been amended
by Article 2 paragraph 144 number 2 of the law of August 7, 2013 (BGBl. I p. 3154),
- § 47 numbers 1 and 3 of the Road Traffic Act, which was last amended by Article 1
number 36 of the law of July 12, 2021 (Federal Law Gazette I p. 3091) and
- in agreement with the Federal Ministry of Justice and the Federal Ministry of Economics and
Climate Protection from § 7 2 of the law on compulsory insurance for motor vehicle owners,
which was last amended by Article 493 number 2 of the ordinance of August 31, 2015
(Federal Law Gazette I p. 1474). has been.
VI. Household expenses excluding compliance costs
From 2022, annual personnel and operating expenses of EUR 1,222,667 will be incurred by the
federal government, individual plan 12 and individual plan 06. There is an additional need for
positions in the higher and higher civil service, with a total of six established positions at the Federal
Motor Transport Authority and two positions in the higher civil service at the Federal Office for
Information Security.
- 66 The expenses are distributed as follows:
Federal Motor Transport Authority (KBA)
position
Cost pa in euros
2x higher service (A14)
330 272
4x higher service (A12)
562 123
In total
892 395
Federal Office for Information Security (BSI)
position
Cost pa in euros
2x higher service (A14)
330 272
The expenses at the KBA are subsequently to be compensated for by additional fee income
from the KBA, which in this respect covers the costs of this regulation project. The fees
should be charged to cover costs. Additional income of 892,395 euros is forecast. More
details can be found in the explanations under VII.
The BSI's expenses are taken into account in the actual amount in the fee notice
from the KBA. In this respect, additional income of probably 330,272 euros is
forecast.
The additional requirement should be compensated financially and in terms of positions in the respective individual
plans.
VII. Compliance costs
There is no available statistical data on the application for operating licenses for motor
vehicles with autonomous driving functions or for the application for specified
operating areas for motor vehicles with autonomous driving functions. Qualified
estimates were therefore made for the probable short- and medium-term utilization in
this very dynamically developing area. The addressees for the application for operating
permits for motor vehicles with autonomous driving function at the KBA are the
manufacturers. Based on several expert estimates, approx. ten Her-
- 67 -
It can be assumed that manufacturers will go through the process of applying for
operating licenses for motor vehicles with autonomous driving functions at the KBA.
On average, one application for mass-produced motor vehicles can be assumed
every two years per manufacturer (10 x 0.5 = 5 applications for operating licenses/
year). In principle, an operating permit can also be applied for for one-off products,
but the manufacturers surveyed do not consider this to be a regular occurrence,
which is why series-produced motor vehicles with autonomous driving functions are
assumed. The data situation with regard to the number and localization of defined
operating areas is also not clear. Studies that determine the market-oriented future
need for autonomous driving services, expect high demand in urban areas. The
urban fleet size of autonomous shuttles and taxis could add up to 740,000 vehicles
in 2035, enabling one in three trips in cities to be realized by autonomous driving
services (Deloitte 2019, Urban mobility and autonomous driving in 2035). Forecasts,
which in turn calculate the fleet penetration of various automation systems from a
technical point of view, see long-distance transport as the dominant area of use for
automation functions in the medium term. A Prognos study commissioned by the
Allgemeine Deutscher Automobil-Club eV (ADAC) determined that highly automated
driving (level 4) will primarily only be available on motorways in the coming years,
while significant new registrations of individual vehicles, which also enable Level 4
in built-up areas, are not to be expected before 2030 (Prognos 2018, introduction of
automation functions in the passenger car fleet). According to expert estimates, it
can initially be assumed that there will be demand on public roads, particularly in
the area of local public transport. Other commercial holders would also be
conceivable, in particular manufacturers. However, expert surveys have shown that
manufacturers see themselves here, at least not primarily, in the role of the keeper
and, due to the requirements placed on the keeper, in particular with regard to
technical supervision, use in the public transport sector is likely to begin with. In
principle, citizens would also be conceivable as keepers.
In the following, therefore, a short to medium-term use in the public transport sector is
considered, scenarios of the use of other economic sectors could not be quantified ex-ante.
The estimates of surveyed experts and norm addressees on the number of annual
- 68 -
Various applications for defined operating areas for motor vehicles with autonomous
driving functions varied greatly. One factor for the strongly deviating assessments is
the question of whether high costs will arise in the infrastructure in the corresponding
operational areas to be defined (e.g. at traffic lights, 5G etc.) or whether motor vehicles
with autonomous driving functions will be able to use virtual maps in the short term
and error-free autonomous driving function to operate in them without adapting the
infrastructure. The majority of the experts surveyed consider both investments to be
necessary. Another factor is the question of whether demand will initially primarily arise
in conurbations or in rural regions. Here, too, the assessments varied.
Against the background of the uncertain data situation on the number of annual applications for
operating areas for motor vehicles with autonomous driving function, the following assumption
is made on the basis of expert discussions: In the next five years, a defined operating area per
district/district-free city will be created. Accordingly, 400 defined operating areas will be created
over a period of five years (number: 401 rural districts/district-free towns, source: Federal
Statistical Office [Destatis], 2019, data from the municipal register: district-free towns and rural
districts by area, population and population density). According to the statistics of the
Association of German Transport Companies (VDV), this number corresponds approximately to
the number of publicly owned or mixed-owned transport companies (number 411, source: VDV,
2019, VDV statistics 2018).
Assuming that these 400 defined operating areas arise over a period of five years,
80 applications for defined operating areas for motor vehicles with autonomous
driving functions per year can be assumed (400 / 5 = 80). The number will depend
heavily on the technical development of the vehicles and the respective actions of
the countries. Many respondents made it clear that they assess the state of
research and development in such a way that in the first year after the enactment of
the ordinance, the applications would not be submitted in full immediately due to
the state of the art for autonomous driving. Since there is no valid estimate of how
many applications can be expected in the first year, an equal distribution of 80
applications per year can be assumed.
- 69 -
operates (80 owners x 4 vehicles = 320 vehicles). This is an expert assessment, which
was determined in interviews with potential owners and current test field operators.
The estimate is based on the assumption that at least four vehicles are needed to be
able to operate a service in a meaningful way (it can be assumed that this number will
increase in the medium term). It is assumed that four vehicles are in operation seven
days a week, i.e. 116,800 days of use of the vehicles with autonomous driving functions
can be assumed (365 days x 4 vehicles x 80 owners = 116,800 days of use. The number
refers to the first year. The number will increase continuously with the increasing
number of establishments and keepers).
For all specifications in which the annual number of cases is based on the number of
existing operating areas, the effort of the first year is assumed for mathematical
purposes in the following, i.e. 80 defined operating areas and corresponding 80
keepers with an average of four vehicles with autonomous driving functions. In
principle, however, an increasing number of operational areas (and thus increasing
compliance costs) can be assumed in the future.
The owner applies for a test permit, although in this case the manufacturer could
also be considered as the owner. Estimates of the number of annual trial approvals
vary widely. The number of existing test tracks for automated and autonomous
driving over a period of five years should serve as an approximation. Listings from
various sources (Association of German Transport Companies [VDV], 2020, list of
autonomous shuttle bus projects in Germany; Federal Ministry of Transport and
Digital Infrastructure [BMVI], 2020, selection of approved research projects on
automated and connected driving) show that up to 50 test tracks have been created
over a (funding) period of around five years. It is assumed, that, to a somewhat
lesser extent, there will also be tests for motor vehicles with autonomous driving
functions. It is therefore assumed that there will be five applications for testing per
year.
- 70 -
1.compliance costs economy
The compliance costs for the economy total around 11,279,930 euros per year and
around 2,086,000 euros once. This results from compliance costs for the various
groups of addressees and is made up as follows:
a) Compliance costs for the manufacturers of motor vehicles with autonomous driving function in
the amount of around 791,050 euros per year. According to the current state of knowledge, no
one-off compliance costs could be identified for the manufacturers.
b) Compliance costs for commercial owners of motor vehicles with autonomous driving function in
the amount of approx. 10,488,880 euros per year and approx. 2,086,000 euros once.
In accordance with the "One in one out" rule of the federal government, the additional burden of
11,279,930 euros will be compensated with another proposed regulation.
On the business side, two norm addressees are particularly affected:
- Manufacturers: The obligations for manufacturers contained in this ordinance focus in
particular on the technical requirements to be met by motor vehicles with
autonomous driving functions and the additional concepts and documents to be
submitted with the application.
- Potential commercial owners: According to expert estimates, it can initially be
assumed that there will be demand on public roads, particularly in the public
transport sector (cf. presentation of case numbers above). For this reason, the
following descriptions primarily refer to the estimates and empirical values of
owners in the area of public transport. The obligations for owners contained
in this ordinance focus in particular on applying for a defined operating area,
ensuring that the organisational, material and personnel requirements for
operation are met and on requirements for future testing of motor vehicles
with autonomous driving functions.
The individual norm addressee groups are discussed in detail below.
- 71 Manufacturer
Overall, the annual compliance costs for the manufacturers of motor vehicles with
autonomous driving function amount to approx. 791,050 euros for personnel costs for
obligations in connection with obtaining an operating permit.
The information is based on several interviews conducted with manufacturers and associations,
supplemented by information from discussions conducted with norm addressees in the administration.
The compliance costs shown include costs that can currently be estimated for those surveyed.
A one-off compliance cost could not be identified for the manufacturers.
For the calculation, the wage costs according to the current wage cost tables 2017 for the
measurement of compliance costs and bureaucracy costs of the Federal Statistical Office were
used for ex-ante measurements. Manufacturer obligations were combined with the wage costs
for "C. Manufacturing industry” (simple: 28.50 euros/ medium: 38.50 euros/ high: 68.70 euros).
These are made up as follows:
personnel costs
72 000 euros
Application for operating license according to § 3 paragraph 1 AFGBV Submission
+ 50 euros
of the declaration of fulfillment and guarantee of compliance with the technical
requirements according to § 3 paragraph 2 number 1, paragraph 8 and Annex I
AFGBV as well as submission of the documents according to § 3 paragraph 2
number 2
+ 92 000 euros
Creation of a functional description according to § 12 paragraph 1 number
5, Annex III number 1 AFGBV
+ 63 000 euros
Creation of an operating manual according to § 1f paragraph 3 number 4
StVG, Annex I number 7.1, Annex III number 2 AFGBV Creation and
+ 552 000 euros
documentation of the safety concepts according to § 12 paragraph 1
number 2 and 3, Annex I number 7.2 and 15 Annex III number 3 and 4
AFGBV
+ 12 000 euros
= 791 050 euros
Participation in the event of a review according to § 4 paragraph 4 AFGBV
- 72 Application for operating license according to § 3 paragraph 1 AFGBV (duty to provide information)
The manufacturer must apply to the KBA for an operating permit for motor vehicles with
autonomous driving functions. According to the manufacturers surveyed, a general
operating license for series vehicles or vehicle types for national use can be assumed.
However, from the point of view of the respondents, additional bureaucracy costs can be
assumed for the technical requirements according to Annex I of this ordinance, since the
test procedures in the context of the application are more complex and time-consuming.
This obligation includes the submission of all documents required for the application and
the descriptions to be created, such as the submission of the functional description, the
operating manual or the safety concept. As part of the application for an operating license,
manufacturers therefore incur additional personnel costs of around 72,000 euros. At this
point, it cannot be ruled out that some of the additional expenses incurred are business-asusual costs. However, the proportion could not be quantified ex ante.
Submission of the declaration of fulfillment and guarantee of compliance with the technical requirements
according to § 3 paragraph 2 number 1, paragraph 8 and Annex I AFGBV (duty to provide information)
Manufacturers must enclose a declaration with the application that the motor vehicle with
autonomous driving function meets the functional requirements according to Annex I of this
ordinance and the requirements according to § 3 paragraph 8. There must also be a declaration that
the safety of the autonomous driving function has been checked. The compliance costs incurred for
the creation and submission of the declaration were stated by the manufacturers surveyed to be
around 50 euros in personnel costs.
Creation of a functional description according to § 12 paragraph 1 number 5 ,Appendix III paragraph 1
AFGBV
The manufacturer must create a functional description of the motor vehicle with
autonomous driving function with the aim of presenting the technical basis of the motor
vehicle functions and the necessary conditions for safe operation. It can be assumed that
the submission of the description as part of the application for an operating permit
- 73 follows. According to the manufacturers surveyed, a functional description of the motor vehicle
with autonomous driving function in accordance with Annex III of this ordinance triggers annual
personnel costs of around 92,000 euros.
Creation of an operating manual according to § 1f paragraph 3 number 4 StVG, Annex I number 7.1,
Annex III number 2 AFGBV
The manufacturer must create an operating manual in which the operation, maintenance,
overall testing and diagnosis of the motor vehicle with autonomous driving function is
described in detail. Even if operating manuals for motor vehicles are currently being
prepared, the manufacturers surveyed see compliance costs in this obligation due to the
more extensive preparation. This is justified with the sometimes new prescribed minimum
content of the operating manual to be created. At this point, too, the manufacturers
surveyed assume that there are differences in the effort involved in the initial creation and
in the ongoing creation of each type of operating license. It can be assumed that the first
creation of an operating manual causes a higher effort and can be used as a template in the
further course. The underlying estimated values therefore also take into account a
difference in effort for the initial creation and the ongoing creation and assume a normal
distribution. Overall, personnel costs of around 63,000 euros are to be estimated for the
creation and submission of an operating manual.
Creation and documentation of the security concepts according to § 12 paragraph 1 number 2 and 3,
Annex I number 7.2 and 15, Annex III number 3 and 4 AFGBV
The manufacturers have the concept for functional safety (§ 12 Paragraph 1 Number 2,
Annex I Number 7.2, Annex III Number 3) and the concept for security in the area of
information technology (§ 12 Paragraph 1 Number 3, Annex I Number 15, Annex III
Number 4) to be documented and submitted to the KBA so that functional safety and
security in the area of information technology can be checked. While the obligation to
submit is also taken into account when applying for an operating permit, there were
major differences in the assessment of the estimated effort when creating a safety
concept. Some of the manufacturers surveyed assume that they already create
appropriate safety concepts as part of their vehicle development and assume that that
a larger proportion of the expenses are business-as-usual costs. A final
- 74 -
However, the additional effort can only be assessed when the precise need for
adjustments is known in accordance with the requirements of a security concept. Other
manufacturers generally evaluate the creation of a security concept as a new
requirement that can trigger additional expenditure in the higher seven-digit range.
Overall, it can also be assumed at this point that manufacturers who have been active
in the field of autonomous driving for a long time have a higher degree of
standardization and, presumably for this reason, state that some of the expenses could
be business-as-usual costs . Manufacturers who are still developing vehicles with
autonomous driving functions and have not yet reached the stage of development
ready for series production, seem to be less able to fall back on standardized processes
and empirical values in the creation of security concepts. On this basis, the compliance
costs arising from this obligation could not be finally quantified. The above information
therefore only allows an estimate. In this respect, it is assumed that the manufacturers
will incur additional compliance costs of around 100,000 euros on average by creating a
concept for functional safety and a concept for security in the area of information
technology. Due to the generally prevailing speed of development in the field of
information technology, it can be assumed that a separate security concept in the field
of information technology must be drawn up for each application for an operating
license. Based on the assumption that initially five operating licenses for motor vehicles
with autonomous driving functions per year are applied for, the compliance costs
amount to around 500,000 euros. For the documentation and administration, the
manufacturers have to reckon with additional annual personnel costs of around 52,000
euros. The total compliance costs therefore amount to 552,000 euros.
Participation in the event of a review according to § 4 paragraph 4 AFGBV (duty to provide
information) The manufacturer incurs additional bureaucracy costs due to the mandatory
cooperation in the event of a review by the KBA. According to § 4 paragraph 4 AFGBV, the KBA can
check the fulfillment of the requirements for the operating license and the obligations associated
with the operating license at any time or have them checked by the bodies named according to § 7
paragraph 3. At the moment, however, the manufacturers surveyed have little experience with
regard to a re-test. In the context of autonomous driving, however, there is certainly an increase
- 75 -
of the verifications by the KBA. However, from the point of view of the manufacturers
surveyed, the effort involved in an inspection is largely dependent on the scope of the
inspection and the number of additional verifications or documents to be provided. The
manufacturers incur personnel costs of around 12,000 euros by participating in an
inspection.
According to the current state of knowledge, no one-off compliance costs could be identified for
the manufacturers.
a)Commercial Keepers
For commercial owners of motor vehicles with autonomous driving function and applicants for
defined operating areas, the annual compliance costs amount to around EUR 7,225,880 for
personnel costs and around EUR 3,263,000 for annual material costs.
There are one-time personnel expenses of around 1,306,000 euros and one-time material costs
of around 780,000 euros.
The information is based on several interviews conducted with potential keepers, transport
companies and current operators of test tracks. The compliance costs shown include the
costs that can currently be estimated for those surveyed.
Ongoing compliance costs
For the calculation, the wage costs according to the current wage cost tables 2017 for the
measurement of compliance costs and bureaucracy costs of the Federal Statistical Office were
used for ex-ante measurements. For keepers, the wage cost rate for the economy as a whole (AS
without O) was taken as a basis (simple: 22.10 euros/ medium: 32.20 euros/ high: 56.40 euros).
These are made up as follows:
personnel costs
11 000 euros
material costs
Application for approval of a specified operating area according
to § 8 paragraph 1 AFGBV and submission of an expert opinion
according to § 9 paragraph 3 sentence 2 AFGBV
- 76 + 980 000 euros
1 600 000 euros
Preparation of an expert opinion as part of the examination of the
application for the approval of specified operating areas
according to § 9 paragraph 3 sentence 2 AFGBV
Participation in the case of a review according to § 9
+ 7 200 euros
paragraph 6 AFGBV
Notification of subsequent personnel and technical
+ 7 600 euros
changes according to § 9 paragraph 7 AFGBV
Obligation to submit the operating license and the
+ 1 800 euros
approval of a defined operating area according to § 11
paragraph 2 number 1 and number 2 AFGBV
+ 3 900 000 euros
Implementation of an extended departure check according to §
13 paragraph 1 number 2 and paragraph 7 AFGBV overall test
+ 170 000 euros
+ 1 400 000 euros
according to § 13 paragraph 1 number 3 AFGBV
Carrying out the main inspection according to § 13
+ 51 000 euros
paragraph 8 AFGBV
+ 77 000 euros
+ 100 000 euros
Appointment of a technical supervisor and provision of
the factual requirements according to § 13 paragraph 6
AFGBV
+ 210 000 euros
+ 163 000 euros
Requirements for document management according to §
13 paragraph 5 AFGBV
+ 1 800 000 euros
Execution of the technical supervision - preparation of reports
according to § 13 paragraph 4 AFGBV
+ 450 euros
Application for a test license according to § 16 paragraph 1
AFGBV and § 1i paragraph 1 StVG and submission of a
development concept according to § 16 paragraph 3 number
4 AF-GBV
+ 9 800 euros
Creation of a development concept according to § 16
paragraph 3 number 4 AFGBV
+ 30 euros
Obligation to carry test license and entry in
registration certificate according to § 16
paragraph 6 and 7 AFGBV
= 7 225 880 euros = 3 263 000 euros = 10
488 880 euros
- 77 Application for approval of a specified operating area according to § 8 paragraph 1 AF-GBV and
submission of an expert opinion according to § 9 paragraph 3 sentence 2 AFGBV (information
obligation) The keeper has the approval of a defined operating area from the authority
responsible under state law or the authority responsible under federal law for the exercise of
road construction on the respective public roads or on federal trunk roads, insofar as the federal
government is responsible for administration, the company under private law within the
meaning of the Infrastructure Company Establishment Act apply for. Personnel costs of around
11,000 euros arise for the holder for the application including the submission of all required
documents (e.g. proof of reliability and expertise according to § 14 AFGBV) and the report.
Preparation of an expert opinion as part of the examination of the application for the approval of specified
operating areas according to § 9 paragraph 3 sentence 2 AFGBV (duty to provide information)
The expert report to be submitted as part of the application for the approval of
specified operating areas triggers further compliance costs for the owners. According
to current knowledge, both external experts and in-house employees with a medium
level of qualification are involved in the preparation of the expert opinions to
accompany and appraise various tests. Assuming that an expert opinion is to be
enclosed with each application, the owners incur material costs of around 1,600,000
euros for external experts and personnel costs of around 980,000 euros for the support
of the expert opinion and associated tests.
Participation in the event of a review according to § 9 paragraph 6 AFGBV (duty to provide
information) In addition, the owner incurs additional bureaucracy costs due to the mandatory
cooperation in the event of an inspection by the competent authority. According to § 9
paragraph 6 AF-GBV, the competent authority can check at any time that the prerequisites for
the permit and the obligations associated with the permit have been met. Based on the
information provided by the state authorities surveyed, it is assumed that there is one
inspection per year in 10 percent of the specified operational areas, which means that annual
personnel costs of around 7,200 euros are incurred.
- 78 Notification of subsequent personnel and technical changes according to § 9 paragraph 7
AF-GBV (duty to inform)
The keeper must employ reliable and competent persons to carry out and comply with the technical and organizational requirements. For this purpose, the holder has to provide evidence of
the relevant qualifications for the persons deployed as part of the application for a specified operational area, a certificate of good conduct for submission to an authority and information about
entries from the register of fitness to drive. If there are changes in technical requirements or a change in personnel, this must be reported immediately to the authority responsible under state
law or the authority responsible under federal law for carrying out road construction work on the respective public roads or on federal trunk roads, insofar as the federal government is
responsible for administration, to inform the company under private law within the meaning of the Infrastructure Company Establishment Act. According to the respondents, the effort depends
on the specific definition of reportable changes of a technical nature. Due to the ongoing technical development, the potential owners surveyed assume, based on the current state of
knowledge, that there will be technical changes that require reporting at least once a year. On the basis of past experience with regard to employee fluctuation, it can also be assumed that the
corresponding report will be supplemented by a report on personnel changes every two years. This is based on an annual report of subsequent changes, which results in personnel costs of
around 7,600 euros. According to the respondents, the effort depends on the specific definition of reportable changes of a technical nature. Due to the ongoing technical development, the
potential owners surveyed assume, based on the current state of knowledge, that there will be technical changes that require reporting at least once a year. On the basis of past experience with
regard to employee fluctuation, it can also be assumed that the corresponding report will be supplemented by a report on personnel changes every two years. This is based on an annual report
of subsequent changes, which results in personnel costs of around 7,600 euros. According to the respondents, the effort depends on the specific definition of reportable changes of a technical
nature. Due to the ongoing technical development, the potential owners surveyed assume, based on the current state of knowledge, that there will be technical changes that require reporting
at least once a year. On the basis of past experience with regard to employee fluctuation, it can also be assumed that the corresponding report will be supplemented by a report on personnel
changes every two years. This is based on an annual report of subsequent changes, which results in personnel costs of around 7,600 euros. Due to the ongoing technical development, the
potential owners surveyed assume, based on the current state of knowledge, that there will be technical changes that require notification at least once a year. On the basis of past experience
with regard to employee fluctuation, it can also be assumed that the corresponding report will be supplemented by a report on personnel changes every two years. This is based on an annual
report of subsequent changes, which results in personnel costs of around 7,600 euros. Due to the ongoing technical development, the potential owners surveyed assume, based on the current state of knowledge, that there
Obligation to submit the operating permit and the approval of a defined operating area according to
§ 11 paragraph 2 number 1 and number 2 AFGBV (duty to provide information)
With the application according to Section 6 of the Vehicle Registration Ordinance, the
owners must submit both the operating license for a motor vehicle with autonomous
driving function and the approval of a specified operating area. After a comprehensive
evaluation of the information from the various addressees, it can be assumed at the current
status that there will be no significant changes in terms of process and time values in the
registration offices and, accordingly, only lead to little additional work for owners. Overall,
there are personnel costs of around 1,800 euros.
- 79 Carrying out an extended departure check according to § 13 paragraph 1 number 2 paragraph 7 AFGBV
The owner must carry out a daily inspection of the vehicle before putting it into
service and drive it both before and after the inspection has been completed. From
the point of view of the potential owners interviewed, this results in an enormous
increase in effort compared to the drive-off inspection that is currently to be carried
out. According to those surveyed, the effort required for the planned inspection is
therefore heavily dependent on the required level of detail of the prescribed
inspection and the duration of the planned journeys before and after the
inspection. The estimates were based on the assumption that it is a "visual
inspection" of the functionalities and corresponding areas and that the keeper
documents and maintains the inspection. In addition, the calculation is based on
365 days of use and four vehicles per owner.
Overall test according to § 13 paragraph 1 number 3 AFGBV
As part of ensuring road safety and environmental compatibility, the owner of a motor
vehicle with autonomous driving function must carry out an overall inspection of this
motor vehicle every 90 days (4 times a year) based on the repair and maintenance
information provided by the manufacturer. From the point of view of the interviewees,
external experts should be called in for the overall review, which would result in
material costs of around 1,400,000 euros. In addition, additional time is required for the
organization, transfer of vehicles and waiting times. This results in personnel costs of
around 170,000 euros for the annual compliance costs.
Carrying out the main inspection according to § 13 paragraph 8 AFGBV
In addition to the overall inspection to be carried out quarterly, the owner must carry
out a general inspection every six months. According to the potential owners surveyed,
this requirement leads to a significant increase in the number of main tests and the
time required, since it is assumed that testing motor vehicles with autonomous driving
functions has a significantly higher degree of complexity. According to Appendix VIII in
conjunction with Appendix VIIIa of the Road Traffic Licensing Regulations
- 80 -
Owners of passenger vehicles are currently obliged to carry out a general
inspection every twelve months. Accordingly, the number of main inspections to be
carried out has doubled. The keepers thus incur additional compliance costs of
around 51,000 euros in personnel costs.
Appointment of a technical supervisor and provision of the factual requirements according to §
13 paragraph 6 AFGBV
The owner of a motor vehicle with autonomous driving function must, if he does not
perform these tasks himself, appoint a suitable technical supervisor to ensure road
safety. In addition, the keeper must provide the factual prerequisites necessary to carry
out the duties of the technical supervisor. Based on the information provided by the
respondents, the assumption was made that all potential owners (public transport)
surveyed have a control center or a traffic monitoring center in which they locate the
function of technical supervision. In order to be able to fill the new function and to be
able to anticipate technical developments within the scope of the activity, the
interviewees believe that there are additional compliance costs for ongoing training of
the staff. Respondents assume that at least once a year a three-hour training course is
to be held with employees who assume the function of technical supervision. It is
assumed that ten employees will have to be trained in each operating area, which will
result in additional personnel costs of around 77,000 euros. Material costs of EUR
100,000 can also be expected for external training lecturers.
Requirements for document management according to § 13 paragraph 5 AFGBV
The document management of the holder for instructions, reports or similar must at least
meet the requirements of ISO 9001:2015. From the point of view of those surveyed, this
requirement results in additional compliance costs for the owners, since this quality
standard has not yet been met for the most part. There is an assumption that a large
number of operators have a standard that is based on ISO 9001, but only a few
(assumption: 15 percent) are actually certified accordingly or correspond to it. Based on the
estimates of those surveyed, it can therefore be assumed that 85 percent of owners
anticipate total material costs of around 163,000 euros for licenses in the future
- 81 have to. In addition, further ongoing personnel costs for updating the quality management
system totaling around 210,000 euros are to be expected. Within the scope of this
obligation, the need for a one-off license must also be assumed, for which one-off
compliance costs must be recognized (see one-off compliance costs for owners).
Execution of the technical supervision - preparation of reports according to § 13 paragraph 4 AFGBV
(information obligation)
The technical supervisor has to prepare reports on the supervision immediately after
the end of the supervision. This is based on the assumption that the reports must be
kept. The values used are based on empirical values from current reports on fault
reports in the context of traffic monitoring and on empirical values from individual
pilot projects (automated driving). However, due to the new nature of vehicles with
autonomous driving functions, those surveyed assume that there will be an increased
number of fault reports and, accordingly, that there will be an increased number of
necessary reports. Assuming driving operations 7 days a week, the respondents believe
that at least 25 reports per week per potential owner can be assumed (assumption: 1
operator operates 4 vehicles in a defined operating area). Additional personnel costs of
around 1,800,000 euros are incurred for the preparation of the reports on the
execution of the technical supervision.
Application for a test license according to § 16 paragraph 1 AFGBV and § 1i paragraph 1 StVG and
submission of a development concept according to § 16 paragraph 3 number 4 AFGBV (information
obligation)
The owner must apply for a test permit from the KBA and submit a development
concept with the application. Concrete values could not be determined for this, so
according to the time value table it is assumed that this application for approval and
submission will take 118 minutes per case (Destatis: Guideline for compliance costs,
Table 3: Time value table for business, page 53; assumption: complex). This incurs
personnel costs for the owner of around 450 euros.
- 82 Creation of a development concept according to § 16 paragraph 3 number 4 AFGBV
As part of the application for a test permit, the owner must submit a development
concept for the respective test. According to the respondents, the underlying effort
is heavily dependent on the purpose and scope of the intended tests. For the
estimate, it was assumed that the vehicles have already been tested in advance and
that less extensive testing will be necessary. The creation of a development concept
incurs additional personnel costs of around 9,800 euros.
Obligation to carry test license and entry in registration certificate according to § 16
paragraph 6 and 7 AFGBV (duty to inform)
Holders must carry the test permit they have been granted with them when driving and
enter a reference to the permit in Part I of the registration certificate. As part of the
determination of the compliance costs, it was found that the obligation to carry the test
license does not represent any additional effort for owners. However, the entry in the
registration certificate is to be attributed to the additional bureaucracy costs. The
prerequisite for the granting of the test approval is an existing individual or type
approval and subsequent changes made to the vehicle in order to equip it with
automated or autonomous driving functions. It is therefore assumed that the entry of
the test approval in the registration certificate has to be carried out as a separate
activity with additional effort by the keeper. Additional personnel expenses of around
30 euros must therefore be taken into account.
One-time compliance costs
personnel costs
material costs
206 000 euros
100 000 euros
Appointment of a technical supervisor and provision of the
factual requirements according to § 13 paragraph 6 AF-GBV
+ 1 100 000 euros
+ 680 000 euros
Requirements for document management according to § 13
paragraph 5 AFGBV
= 1 306 000 euros
= 2 086 000 euros
= 780 000 euros
- 83 -
Appointment of a technical supervisor and provision of the factual requirements according to §
13 paragraph 6 AFGBV
A one-off compliance cost arises for holders due to training costs in the course of the
appointment of the technical supervisor. Information from interviewed potential keepers
was used for the assessment. According to potential owners, the time required for training
courses to enable them to meet the requirements of technical supervision is around 480
minutes per employee (10). There are one-time additional personnel costs of around
206,000 euros. Material costs of EUR 100,000 can also be expected for external training
lecturers.
Requirements for document management according to § 13 paragraph 5 AFGBV
The holder's document management for instructions, reports or similar must at least meet
the requirements of ISO 9001: 2015. From the point of view of those surveyed, this
requirement has so far only been met by 15 percent of owners. For this reason, this
requirement results in a one-time compliance expense for a corresponding certification
according to ISO 9001: 2015 for the remaining 85 percent of the keepers. One-time material
costs of around 680,000 euros and additional one-off personnel costs of around 1,100,000
euros for the company-internal preparation of the certification are to be expected for the
licensing.
2.compliance costs administration
The compliance costs for the administration total around 6,990,680 euros per year.
This results from compliance costs for the various groups of addressees and is
made up as follows:
a) Compliance costs for the federal government of around EUR 665,880 per year.
b) Compliance costs for the federal states, including the municipalities, amounting to approx. 6,324,800 euros
per year.
- 84 For the calculation, the wage costs according to the current wage cost tables 2017 for the
measurement of compliance costs and bureaucracy costs of the Federal Statistical Office were
used for ex-ante measurements. For federal obligations, the values for the federal government
(simple service 27.80 euros / middle service 31.70 euros / higher service 43.40 euros / higher
service 65.40 euros) were used as a basis for the calculation. The obligations of the federal states
including municipalities were calculated on the basis of the wage costs for public administration
in general (simple service 27.00 euros / middle service 32.20 euros / higher service 42.40 euros /
higher service 61.90 euros).
The individual norm addressee groups are discussed in detail below.
a)Federal compliance costs
In the case of the authority responsible under federal law for exercising the road
construction burden on the respective public roads or on federal trunk roads, insofar as the
federal government is responsible for administration, the company under private law within
the meaning of the Infrastructure Company Construction Act does not initially incur any
compliance costs in connection with the approval of specified operational areas. Since the
technical development for higher speeds for autonomous vehicles is not yet ready, it is
currently assumed that initially there will only be applications outside of motorways. It is
therefore not yet possible to estimate the concrete costs for these permits.
Regarding the scope of the tests: The draft law expressly provides for direct
intervention by the technical supervisor (e.g. via external access from a control
center) in the autonomous vehicle control. Without appropriate measures to ensure
IT security, there would be a significant potential for damage in the entire area of
autonomous driving. The envisaged measures must therefore be evaluated taking
into account current findings, see Annex I Part 5 and Annex III Number 4 AFGBV,
and the measures aimed at an IT security concept must be checked as part of later
market surveillance, see Section 5 AFGBV. This requires the involvement of the BSI
to ensure an IT security concept.
- 85 The evaluation of safety concepts for autonomous driving, the associated consulting
services for the approval authority and the review of the implementation of the concepts in
motor vehicles requires in-depth special knowledge in the areas of networked vehicle
architectures and a high degree of familiarity with the latest findings in the field of IT
security in the connection with automated driving functions. The technological
development in the areas mentioned is to be observed continuously and the professional
competence is to be maintained at a high level. The BSI estimates the scope of these
services to be around 80 days for each security concept to be checked. With five vehicles (=
five safety concepts according to Appendix I, Item 15, Appendix III, Item 4), there is a total
effort that comes to approx. 400 days is estimated. The tests consist of a visual inspection of
the concepts and an examination of the practical implementation.
aa) Granting of permits
According to § 2 paragraph 1, an operating license from the KBA for a motor vehicle with
autonomous driving function is required for the operation of motor vehicles with autonomous
driving function for traffic on public roads. This operating license applies both to a single vehicle
and to vehicles to be manufactured in series. In the further course of the process, the
requirements made do not differentiate between individual vehicles and production vehicles.
The KBA is the body responsible for carrying out the tests on the motor vehicle with
autonomous driving function, but can also commission suitable bodies to carry out the test in
accordance with Section 3 (7). Corresponding competence must therefore be developed and
maintained at the KBA. The profile of requirements for the personnel required for this is
different than today in the type approval process. Accordingly, new staff to be recruited must
have extensive prior knowledge in the field of autonomous driving, software analysis and data
security. The tests as part of the granting of the operating license will have to be carried out on a
large scale on site in intended or representative operating areas of the motor vehicle with
autonomous driving function as well as on the applicant's test tracks. The KBA expects an
iterative development and approval process in the presence of the applicant, its developers and
experts from suitable technical services or authorities (e.g. BSI). In order to test the safe
functionality of the motor vehicle with autonomous driving function in practical operation, the
presence of the KBA is rated as indispensable.
- 86 -
A mere examination of submitted test reports and the like is not considered
sufficient.
According to § 16, the KBA issues test permits. The test permit is granted for an individual vehicle. The necessary prerequisites contain
requirements for the vehicle as well as for the competence of the applicant and the people involved in the development and testing.
Furthermore, a development concept is named as the basis for the test approval to be granted, whereby not only such functions of the
automation are included, but all the technologies to be tested contained in the vehicle. In particular with regard to the evaluation of the
development concept and the wide range of other technologies to be tested, reference is made to the necessary development of
competences listed above. Furthermore, the involvement of experts, universities, etc. will be necessary in order to be able to check the
compliance with the current state of scientific research and technology for automated driving functions. Furthermore, it must be specified
which assessment standards are to be used for the assessments to be carried out by the KBA and the consequences to be derived from
the results of the assessment (e.g. request for technical optimization, withdrawal of the operating license or test license, disclosure of the
findings for science and research ). In addition, there is the evaluation of any event data. which assessment standards are to be used for
the assessments to be carried out by the KBA and the consequences to be derived from the results of the assessment (e.g. request for
technical optimization, withdrawal of the operating license or test license, disclosure of the findings for science and research). In addition,
there is the evaluation of any event data. which assessment standards are to be used for the assessments to be carried out by the KBA
and the consequences to be derived from the results of the assessment (e.g. request for technical optimization, withdrawal of the
operating license or test license, disclosure of the findings for science and research). In addition, there is the evaluation of any event data.
Overall, the actual scope of an inspection as part of the granting of operating
licenses or test approvals by the KBA could not be conclusively recorded due to the
lack of corresponding empirical values.
It is estimated that there will be a need for more engineers in the higher and higher
service to evaluate the extensive concepts and new technologies and to further
develop regulations on the basis of the findings made during the evaluations and to
examine the further approval requirements.
The scope of testing per license is estimated at up to 300 hours hD and up to 600
hours gD. This takes into account those cases in which little or no support is used,
for example by technical services, and the KBA largely carries out the necessary
tests itself. Discussions between the KBA and manufacturers have shown that there
is a spectrum from less extensive systems, especially in the context of test
approvals, to complete vehicles. Further
- 87 -
there are constellations in which the KBA will carry out tests with a high level of
support from the technical services or technical services could already cover large
parts of the required tests. It is estimated that the smallest scope of an examination
by the KBA requires 30 hours hD and 60 hours gD. The further considerations are
based on those cases in which the KBA carries out the necessary tests itself. In
addition, the scope of possible cooperation in the further development of the
relevant regulations in the field of autonomous driving must be considered.
The expenses for the granting of an operating license for motor vehicles with
autonomous driving function and the granting of test approvals are considered
equivalent due to the requirements for this calculation, which are still undetermined.
With regard to the number of required supplements to already existing permits, no
estimate could be made ex ante. The corresponding compliance costs for the federal
government could therefore not be validly quantified. However, it is estimated that the
compliance costs for an addendum to an operating license are approximately half the
compliance costs for the initial granting of an operating license.
According to § 7, the operation of motor vehicles with autonomous driving function for
traffic on federal trunk roads, insofar as the federal government is responsible for the
administration, requires a permit for a specified operating area of the company under
private law within the meaning of the Infrastructure Company Establishment Act. Since the
technical development for higher speeds for autonomous vehicles is not yet ready, it is
currently assumed that initially there will only be applications outside of motorways. It is
therefore not yet possible to estimate the concrete costs for these permits.
bb) market surveillance
As part of market surveillance, corresponding autonomous driving systems and issued
registration certificates will have to be checked regularly for road traffic. The associated
additional expenses for the KBA responsible according to § 5 AFGBV should be recorded
within the framework of fees to cover costs. Since the above checks affect all vehicles
approved for road traffic, with or without autonomous driving function, the fee law
processing takes place in a separate ordinance procedure. Since the tasks associated
with this activity are reserved for a separate regulatory procedure, within the
framework of the regulation for the implementation of the law amending the
- 88 According to the Road Traffic Act and the Compulsory Insurance Act, no estimate of the
expected compliance costs can be given, since the content of the regulation is not the subject of
this procedure.
b)Compliance costs of the federal states (including municipalities)
The competent state authorities generate annual personnel expenses of approx.
395,300 euros for each state for the obligations associated with the approval of
operating areas and the approval of motor vehicles with autonomous driving
functions, i.e. a total of approx. 6,324,800 Euro. The information is based on several
interviews conducted with authorities in different federal states. The compliance
costs shown include costs that can currently be estimated for those surveyed. The
compliance costs could not be quantified for individual obligations. A one-off
compliance cost can be assumed, which could not be quantified ex-ante.
The following expenses each refer to a federal state. As already explained, there is
no valid estimate of how many applications can be expected in the first year.
Therefore, as already explained above, an equal distribution of eighty applications
per year can be assumed, which will lead to five approvals per federal state spread
over sixteen federal states (in the next five years it is assumed that there will be one
operating area per district. Four hundred districts spread over five years will result
eighty permits per year. These are assumed to be evenly distributed across all
sixteen states, leaving five operating ranges per state per year.).
292 000 euros
Determination of the operating area by approval according to § 7 paragraph 2 AFGBV
+ 73 000 euros
Approval of the defined operating area according to § 9 paragraph 1 AFGBV
+ 20 000 euros
Notification of subsequent changes and changes of persons according to § 9
paragraph 7 AFGBV
+ 7 000 euros
Revocation of a permit according to § 10 AFGBV
+ 1 300 euros
Entry of the defined operating area according to § 11 paragraph 3 AFGBV or
the test license according to § 16 paragraph 7 AFGBV in the registration
certificate part I
+ 2 000 euros
Examination of the proof of the fulfillment of the technical and organizational
requirements according to § 8 paragraph 2 AFGBV
= 395 300 euros
- 89 -
Determination of the operating area by approval according to § 7 paragraph 2 AFGBV
According to the state authorities surveyed, site inspections or route inspections may
be necessary to determine an operating area in order to be able to carry out an
examination of the given infrastructure. The operating range can be defined for specific
routes or more generally, excluding individual road types (such as motor roads). In
order to be able to define an operating range for a motor vehicle with autonomous
driving function, it must also be checked whether the technical requirements of the
vehicle and the autonomous driving functions meet the conditions of the existing
infrastructure, so that safe traffic operation is guaranteed.
For this purpose, the applicant must submit all required documents. The underlying
time values for the examination and determination of the operating area were
estimated on the basis of empirical values with previously granted exemptions for
automated traffic by the higher state authorities. The estimates of the mean processing
time vary greatly, since there may be cases in which only the framework conditions are
checked and in others extensive hearings with several authorities etc. must be carried
out. Altogether, personnel costs of around 292,000 euros are incurred for determining
the operating area of the upper state authority.
Approval of the defined operating area according to § 9 paragraph 1 AFGBV
The specified operating area is approved by the authority responsible under state law,
among other things, if the requirements according to Section 9 Paragraph 1 AFGBV are met.
The estimation of the processing time for the granting of approval for the defined
operating area is based on empirical values of the current exemptions for automated
traffic. This results in personnel costs of around 73,000 euros. It was not possible to
quantify ex ante whether and what effort could arise here for the municipalities and, if
necessary, other authorities to be involved in the consultation process.
Notification of subsequent changes / change of persons according to § 9 paragraph 7
AFGBV Subsequent changes to technical requirements or changes in personnel must be
reported immediately to the authority responsible under state law. From the point of view
of the state authorities surveyed, an inspection can only be an additional file note
- 90 -
or result in a new approval process. As a result, there were major differences in the
estimation of the additional work involved per report. An average of the time values
specified by the state authorities surveyed was taken as a basis. With regard to the
frequency, the potential keepers surveyed assume, based on the current state of
knowledge, that there will be technical changes that require notification at least once a
year due to ongoing technical developments. On the basis of past experience with
regard to employee fluctuation, it can also be assumed that the corresponding report
will be supplemented by a report on personnel changes every two years. This is based
on an annual report of subsequent changes. The notification of subsequent changes
according to § 9 paragraph 7 AFGBV can result in only a file note or a new approval
having to be granted, which is why there was a large spread in the estimation of the
minutes per case. The state authorities therefore incur personnel costs of around
20,000 euros for subsequent changes.
Revocation of a permit according to § 10 AFGBV
The state authorities surveyed see the additional effort to be determined for the
revocation of a license as being strongly dependent on the respective facts, since these
can sometimes generate very different expenses for the evidence. An average of the
estimated fair values was therefore taken as a basis. With regard to the frequency, the
state authorities surveyed assume that a revocation will be necessary in 5 percent of
the annually approved areas of operation. This means that personnel costs of around
7,000 euros arise for the revocation of a permit.
Entry of the defined operating area according to § 11 paragraph 3 AFGBV or the test license
according to § 16 paragraph 7 AFGBV in the registration certificate part I
The approval of the autonomous driving function is limited to the specified
operating range or for testing. Specified operating areas or a reference to the test
approval must be entered in Part I of the approval certificate. According to the
surveyed state authorities and the registration offices, the registration restriction is
entered in the registration certificate in the same way as the current procedure with
a note in line 22 of the registration certificate part I.
- 91 -
require further data on the operating permit, the test permit, the operating area
permit and the type of use of the autonomous driving function to be stored in the
vehicle registers. All in all, a slight additional effort of 1,300 euros in personnel costs
is assumed.
Examination of the proof of the fulfillment of the technical and organizational requirements
according to § 8 paragraph 2 AFGBV
The keeper must use reliable and competent persons to carry out and comply with the
technical and organizational requirements and to provide evidence of this. In order to
assess their reliability, the owner must, for example, provide evidence of a corresponding
qualification for the persons deployed, a certificate of good conduct for submission to an
authority and information about entries from the register of fitness to drive. As part of the
examination of the application for a specified operating area, an examination of the
corresponding evidence is necessary, which is assessed separately at this point. The state
authorities incur additional personnel costs of around 2,000 euros for examining the
evidence submitted.
Existing communication and information procedures in the KBA must be adapted to store the
data specified in Article 3 in the vehicle registers and to provide corresponding information to
authorized bodies. In order to take the data into account in products from the statistics
department, the processes there must also be adapted.
A total of around 800 hours of work is expected in the higher civil service (E11) for the planning
and implementation of the adjustment requirements, of which 320 hours are for development
and 330 hours for modeling and testing the notification and information procedures, 30 hours
for the reference structure and 120 hours Hours for adjustments to the data warehouse in the
area of statistics. With a personnel cost rate of 47 euros/h in the higher civil service, this results
in compliance costs totaling 37,600 euros, which, however, do not affect the budget.
VIII. Additional Costs
When applying for an operating license for a motor vehicle with autonomous driving function
from the KBA, there are additional costs in the form of fees from the manufacturers. Based on
the above assumption, there are about five applications for operating permits per year
- 92 In view of the newly introduced fee number 111.3 for issuing an operating license for motor
vehicles with autonomous driving function for manufacturers, additional annual costs of up
to 446,200 euros:
Operating permits * 89,240 euros = 446,200 euros
Manufacturers may incur additional costs with regard to fee number 112.4 for
issuing a supplement. The fees for a supplement are up to 44,620 euros. However,
it was not possible to quantify ex ante whether and, if so, how many supplements
will be required. Based on the above assumption of five applications for test permits
per year, in view of the newly introduced fee number 111.4 for granting a test
permit for motor vehicles for commercial owners, there are annual compliance
costs of up to 446,200 euros:
Test permits * 89,240 euros = 446,200 euros
In order to apply for a defined operating area, the authority responsible under state law or the
authority responsible under federal law for the exercise of road construction on the respective
public roads or on federal trunk roads, insofar as the federal government is responsible for
administration, must obtain approval from the company under private law within the meaning
of the Infrastructure Company Establishment Act to catch up This incurs additional costs in the
form of fees according to fee number 400a.1 of up to EUR 395,300 per federal state, which the
respective applicants (owners) have to pay, i.e. a total of EUR 6,324,800.
Approvals for a defined operating area of all federal states * 79,060 euros * =
6,324,800 euros
This regulation is not expected to have any impact on the price level, particularly on
the consumer price level.
IX. gender equality issues
The regulations do not have any impact on gender equality. The ordinance offers no
basis for hidden disadvantages, lack of participation or the consolidation of
traditional roles.
- 93 -
X. Sustainability
The management rules and indicators of the national sustainability strategy were
checked. The ordinance on the traffic of motor vehicles with autonomous driving
function in defined operating areas promotes the use of driverless vehicle systems. The
further development of assistance, automated and autonomous driving systems and
their use is expected to increase road safety and efficiency while at the same time
reducing the environmental impact of mobility (above all emissions, land use). In
addition, the mobility of society will be improved and Germany will be strengthened as
a location for business and innovation.
XI. evaluation
This statutory ordinance, which was issued on the basis of the law amending the Road
Traffic Act and the Compulsory Insurance Act - Act on Autonomous Driving, is also an
anticipation of future forms of mobility that are only just being introduced into regular
operation. In view of the further development in this area and the updating of international
regulations, the regulations created with the amending law are to be evaluated after the
end of 2023. For the details, reference is made to the justification for Section 1l of the Road
Traffic Act.
B. Regarding the individual regulations:
I. Re Article 1
Ordinance on the approval and operation of motor vehicles with autonomous driving
function in defined operating areas (Autonomous Vehicles Approval and Operation
Ordinance - AFGBV)
- 94 -
§1
The provision serves to define the scope of this regulation. By linking to §§ 1d to 1i of
the Road Traffic Act (StVG) in paragraph 1, these regulations, in particular the
definitions of terms, are included in the text of the regulation and declared to be
applicable, so that in particular no new definitions of terms are required in the text of
the regulation.
Paragraph 2 clarifies that this ordinance determines the procedural regulations for the
granting of an operating license for motor vehicles with autonomous driving function, for
the definition of an operating area, and for the admission of motor vehicles with
autonomous driving function to road traffic. Another regulatory component of this
ordinance in the first stage of the procedure is, in particular, the technical catalog of
requirements attached in Annex I to this ordinance, on the basis of which the assessment of
motor vehicles with autonomous driving functions is carried out. In addition, the approval
procedure for subsequently activated automated and autonomous driving functions as well
as market surveillance is regulated by the Federal Motor Transport Authority.
Finally, the area of application is expanded to include the requirements and obligations for the
manufacturer, the owner and the technical supervisor of motor vehicles with autonomous
driving functions in defined operating areas.
Paragraph 3 determines the competent authority within the meaning of this ordinance and thus serves to
make the ordinance easier to read.
Paragraph 4 describes the applicability of Regulation (EU) 2018/858 of the European
Parliament and of the Council of May 30, 2018 on the approval and market
surveillance of motor vehicles and motor vehicle trailers as well as systems,
components and separate technical units for these vehicles, amending the
regulations (EC) No. 715/2007 and (EC) No. 595/2009 and repealing Directive
2007/46/EC (OJ L 151 of 14.06.2018, p. 1) in connection with the Regulation.
In practice, the provisions of Regulation (EU) 2018/858 are particularly important if
these provisions do not require the presence of a driver or the technical
requirements cannot be met due to the autonomous driving function. This is due to
the fact that Regulation (EU) 2018/858 does not contain any regulations on
autonomously driving vehicles.
- 95 Paragraph 5, with reference to § 1k StVG, includes motor vehicles of the Federal Armed Forces,
the Federal Police, the Federal Criminal Police Office, the Federal Intelligence Service, the
Customs Criminal Police Office, the Federal Office for the Protection of the Constitution, the
company under private law within the meaning of the Infrastructure Company Establishment
Act, the State Police, the State Criminal Police Offices, the State Offices for the Protection of the
Constitution , civil and disaster protection, fire brigades, rescue services and road construction
authorities from the scope of the regulation, provided that they are intended to fulfill sovereign
tasks and are deployed with due regard to public safety. Motor vehicles in these areas also use
autonomous driving functions. However, they are subject to special operating conditions in their
range of applications and have special equipment. Therefore, for the fulfillment of official
orders, deviations from and subsequent analogous application of the regulations with regard to
technical requirements, regulations for defining operating areas and operating regulations are
necessary.
§2
This regulation regulates the procedure for granting an operating permit for motor vehicles
with autonomous driving functions.
§ 2 paragraph 1 makes it clear that this operating license is the basic requirement for the
operation of motor vehicles with autonomous driving functions in public spaces. It
determines all further process steps. Irrespective of the existing regulations regarding the
testing of corresponding vehicles, there are no exceptions to this and are therefore not
permitted. As a result, the previous practice of the individual federal state issuing a special
permit for a vehicle in question has been abolished in order to meet the requirements for
simplification and comparability as well as the increased demand for the use of such
vehicles in regular operation.
The reference to Section 20 Paragraphs 1, 3 and 3a of the Road Traffic Licensing Regulations
(StVZO) enables the granting of a general operating license for series-produced motor vehicles
with autonomous driving functions, so that an operating license does not have to be applied for
for vehicles of the same construction.
In paragraph 3, the Federal Motor Transport Authority (KBA) is authorized to issue
approvals for the subsequent activation of automated or autonomous driving functions.
- 96 -
§3
The procedure for granting an operating license for motor vehicles with autonomous
driving function is initiated with the submission of a corresponding application by the
manufacturer of this motor vehicle, as § 3 paragraph 1 clarifies. The KBA is intended to be
the central authority in this process. This regulation serves to simplify administration and to
ensure a nationwide uniform standard for the assessment of motor vehicles with
autonomous driving functions.
Paragraphs 2 and 8 define the necessary content of an application. For this purpose, the manufacturer must submit a binding declaration that the motor vehicle
with autonomous driving function meets the functional requirements according to Annex I of this ordinance and that he has checked the safety of the
autonomous driving function in accordance with the safety concept for functional safety. This declaration must guarantee the legality of the installed technical
equipment and parts, which represent an effective solution to previous specifications, for example through further development, but are not yet standardized
and normed. On the basis of this declaration, it is checked whether the motor vehicles with autonomous driving function meet the requirements of the current
regulations of the United Nations Economic Commission for Europe (UNECE). Since such regulations are currently being developed by the UNECE for automated
and autonomous vehicles, they cannot yet be comprehensively checked. Some of these gaps are closed by the new requirements at national level by means of
this ordinance. Insofar as certain technical requirements cannot yet be checked, the manufacturer's declaration should suffice for a transitional period so that
the driving force of automated, autonomous and networked driving is not slowed down. Since such regulations are currently being developed by the UNECE for
automated and autonomous vehicles, they cannot yet be comprehensively checked. Some of these gaps are closed by the new requirements at national level by
means of this ordinance. Insofar as certain technical requirements cannot yet be checked, the manufacturer's declaration should suffice for a transitional period
so that the driving force of automated, autonomous and networked driving is not slowed down. Since such regulations are currently being developed by the
UNECE for automated and autonomous vehicles, they cannot yet be comprehensively checked. Some of these gaps are closed by the new requirements at
national level by means of this ordinance. Insofar as certain technical requirements cannot yet be checked, the manufacturer's declaration should suffice for a
transitional period so that the driving force of automated, autonomous and networked driving is not slowed down.
Furthermore, the operating manual, the safety concept for functional safety, the concept for
safety in information technology and the functional description of the motor vehicle with
autonomous driving function must be submitted to the KBA for examination.
In addition, however, the KBA should be at liberty to request further information from the
manufacturer that is necessary for the approval process, as paragraph 3 clarifies.
Paragraphs 4 to 6 describe the scope of testing by the Federal Motor Transport Authority with regard to
the requirements for the autonomous driving function and the documentation to be submitted by the
manufacturer as part of the approval application.
- 97 With regard to the examination according to paragraph 5, the KBA involves the Federal Office for
Information Security (BSI) in the examination. The data protection supervisory authority responsible for the
respective manufacturer of the motor vehicle with autonomous driving function is responsible for checking
compliance with the requirements of Articles 24, 25 and 32 of the General Data Protection Regulation as
well as other data protection regulations and the content of the data protection impact assessment - even
if the manufacturer demonstrates this compliance when applying for the Operating permit must be
demonstrated to the Federal Motor Transport Authority.
Paragraph 6 concerns the examination of the information technology security measures documented
by the manufacturer and whether these have been implemented. For this purpose, the Federal Motor
Transport Authority uses a vehicle from the manufacturer that is identical in construction to the
vehicles to be approved. On the one hand, this makes it possible to check whether known or typical
weak points have been reliably closed and also includes an attempt to compromise the safety of such
a vehicle. The test can be carried out comprehensively as well as in the form of random samples,
whereby the test result itself must be documented in detail in this respect.
According to paragraph 7, there is the possibility of commissioning officially
recognized experts for motor vehicle traffic, technical services with overall vehicle
authorizations for the respective vehicle classes or other bodies in order to be able
to carry out the tests according to paragraphs 4 to 6 instead of the Federal Motor
Transport Authority. The commissioning of corresponding bodies is common
practice and within the framework of Regulation (EU) 2018/858 of the European
Parliament and of the Council of May 30, 2018 on the approval and market
surveillance of motor vehicles and motor vehicle trailers as well as systems,
components and independent technical units for them Vehicles, intended to amend
Regulations (EC) No. 715/2007 and (EC) No. 595/2009 and to repeal Directive
2007/46/EC.
Paragraph 8 specifies the requirements for collision avoidance in accordance with Section 1e
Paragraph 2 Number 2 StVG and specifies which requirements a motor vehicle with autonomous
driving function must meet.
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§4
The regulation determines the conditions under which the requested operating license for
motor vehicles with autonomous driving function is issued. First of all, it is necessary that all
information according to § 3 is available.
According to paragraph 1, the inspection of the motor vehicle with autonomous driving
function by the KBA must be completed with the result that the motor vehicle meets the
requirements specified in Appendix I of this ordinance. The operating license includes
the determination of the basic technical performance of the vehicle. On the basis of this
determination, in the next procedural stage when approving the defined operating
area, it should be possible to assess whether the motor vehicle with autonomous
driving function can meet the vehicle technology requirements imposed by the
respective operating area. This does not result in a definition of certain operating areas
in advance.
Paragraph 2 gives the KBA the opportunity to combine the operating license with ancillary
provisions.
Paragraph 3 regulates the conditions under which an authorization granted by a competent
authority of another member state of the European Union or a member state of the
Agreement on the European Economic Area to operate a vehicle with autonomous driving
function is equivalent to the operating license pursuant to paragraph 1. This is to ensure
that there are no trade barriers within the meaning of the free movement of goods within
the European Union or the Agreement on the European Economic Area.
Paragraphs 4 and 5 serve to ensure compliance by the KBA with the requirements
specified in the operating permit.
In order to also enable the operating license for automated or autonomous driving functions
that can be activated later, the KBA is authorized in paragraph 6 to issue corresponding
technical requirements for these according to this ordinance.
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§5
According to this provision, the KBA carries out the tasks of market surveillance with
regard to the vehicles and vehicle parts to be approved and approved under this
regulation. In order to ensure that the approved vehicles and vehicle parts are also
adequately monitored for conformity after they have been manufactured on the
market, the KBA is assigned the corresponding verification and market monitoring
tasks and powers. In addition, it is regulated that the KBA involves the BSI in
assessing the IT security of vehicles and vehicle parts. The involvement of the BSI is
necessary to ensure that appropriate measures to ensure IT security are included in
the technical requirements.
§6
The provision determines the conditions under which the operating license granted
pursuant to Section 4 (1) or the license granted pursuant to Section 4 (6) is to be
revoked. Due to the strict requirements for the technical equipment of motor vehicles
with autonomous driving function and the associated special safety relevance, the
revocation is intended as a bound decision if one of these alternative requirements is
met. In this respect, the KBA has no discretionary powers.
In paragraph 2, the KBA is given the opportunity as a preparatory measure to order the
suspension of the operating license for a motor vehicle with autonomous driving function in
accordance with Section 4 (1) or the approval in accordance with Section 4 (6) until it has been
clarified whether the requirements for a revocation are met. Various measures of varying
intensity are conceivable here. For example, the submission of documents or other evidence
could be sufficient, while in other cases an inspection or inspection of the motor vehicle with
autonomous driving function by a technical service could be necessary.
Irrespective of the reasons for revocation mentioned, withdrawal and revocation are still
possible on the basis of §§ 48 and 49 of the Administrative Procedures Act (VwVfG), which is
clarified by paragraph 3.
- 100 Paragraph 4 grants a flow of information between the KBA, the company under private law within the
meaning of the Infrastructure Company Establishment Act and the federal states in the event of
revocation of the operating license. This is essential because both sides are involved in bringing the
motor vehicle with autonomous driving function onto the market or registering it and should inform
each other about changes.
Paragraph 5 clarifies that a motor vehicle with autonomous driving function may not be
operated on public roads if the operating license has been revoked or its suspension has been
ordered. The regulation enables the competent authority to take measures in accordance with
Section 5 of the Vehicle Registration Ordinance (FZV).
§7
Here the procedure for the approval of a specified operating area is regulated.
Section 7 makes it clear that motor vehicles with autonomous driving functions may
only be operated in defined operating areas. The definition of an operating area
requires the approval of the competent authority in accordance with the provisions
of this ordinance. The number of possible defined operating areas is expressly not
limited. In principle, therefore, motor vehicles with autonomous driving functions
can be used in several defined operating areas, provided that the respective
requirements are met. Likewise, several vehicles can be used in the same operating
area.
The definition of certain operating areas is intended to enable the operation of
autonomous vehicles for certain application scenarios in order to take account of the
different mobility needs of the local authorities, such as the transport of people and/or
goods on the last mile or demand-oriented offers in off-peak times. At the same time,
however, the definition of operational areas also means a restriction. Motor vehicles
with autonomous driving functions may not be operated autonomously outside of an
approved, specified operating area. This creates controllable framework conditions for
the use of autonomous vehicles, which is essential as a contribution to greater road
safety and greater acceptance among the population.
- 101 § 8th
The procedure for approving the specified operating area is initiated with the
submission of a corresponding application, as Article 8 Paragraph 1 makes clear. At
this stage of the process, the applicant is the future keeper. The competent
authority in this stage of the procedure is determined according to federal law or
the respective state law. Since the regional and local conditions play an important
role in the determination of operating areas, it is therefore not appropriate at this
stage of the process to determine a nationwide central licensing authority.
The necessary documents to be attached to the application are specified. These must
be cumulative and do not allow any deviations.
The first priority is the specific description of the defined operating range for operating the
motor vehicle with autonomous driving function. It is up to the applicant to outline as precisely
as possible how the operational area specified by him is to be defined. The applicant must
therefore state, among other things, whether he intends to operate the motor vehicle with
autonomous driving function for the purpose of transporting people and/or goods.
Furthermore, any special features regarding the infrastructure relevant to the operation of the
motor vehicle with autonomous driving function must be presented.
Furthermore, the applicant must submit declarations that in this defined operating
area the deactivation of the motor vehicle with autonomous driving function within
the meaning of § 1e paragraph 2 sentence 1 number 4 StVG and the release of
driving maneuvers within the meaning of § 1e paragraph 3 StVG are guaranteed
and the personnel and material requirements according to §§ 13 and 14 are met.
Since the operating license for motor vehicles with autonomous driving function is a
mandatory prerequisite for the fact that a corresponding motor vehicle may be
operated on public roads at all, this operating license must be submitted to the
competent authority with the application for approval of the specified operating
area in accordance with paragraph 2 number 1.
- 102 supervisor a certificate of good conduct for submission to an authority and information from the
driver's license register as well as information about entries from the driver's aptitude register
for the technical supervisor.
These necessary documents are used to check the reliability of the persons concerned
against the background of the high demands that must be made on the safe operation
of a motor vehicle with autonomous driving function, especially in commercial goods or
passenger transport in view of the novelty of the technologies. In addition, the
authorities should be free to request further information from the applicant, as
paragraph 3 clarifies.
§9
The regulation determines the conditions under which the requested approval of the specified
operational area is granted. Accordingly, according to paragraph 1, the defined operating area must
be suitable for the operation of a motor vehicle with autonomous driving function and the personnel
and material requirements according to §§ 13 and 14 must be met.
In this respect, the competent authority must also check whether the requirements of Sections 13
and 14 are met. The basis for this is the declaration of the owner or the future owner according to § 8
paragraph 1 numbers 2 and 3 and the certificates of good conduct for submission to an authority and
information from the central driving license register about the persons named in §§ 13 and 14.
The prerequisites for the suitability of a defined operating area are described in
paragraph 2 and thus specify the scope of testing for the competent authority. Here,
based on the operating license granted in accordance with Section 4 Paragraph 1, it
must be checked whether the corresponding findings regarding the performance of the
motor vehicle with autonomous driving function meet the requirements of the specified
operating area. As a rule, an on-site inspection will be required to assess the
infrastructure. It should be emphasized that a motor vehicle with an autonomous
driving function should in principle be able to be operated on the existing infrastructure
without the infrastructure having to be adapted by the respective construction
authority. In particular, due to the technical requirements according to Annex I of this
ordinance, the vehicles should be able to independently detect traffic signs, lane
markings, road courses, traffic lights, level crossings, etc. and react accordingly. Farther
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the safety and smoothness of road traffic must not be impaired by the operation of
the motor vehicle with autonomous driving function in this operating area. In
particular, the vehicle itself must not impede traffic. For example, if the technical
equipment of the vehicle allows driverless operation only up to a maximum speed
of 30 km/h, it would represent an impairment of safety and ease of traffic to drive
the vehicle on a road on which the maximum permissible speed is 70 km/h km/h. In
addition, other public interests must not stand in the way of approval. This applies
not least to aspects of environmental law (e.g. immission control).
Permitting a specified area of operations will affect the interests and concerns of
local communities due to various local reference points. So it should be important
for the respective regional authorities to be informed that motor vehicles with
autonomous driving functions are to be operated on their roads in the future and to
be able to have a say in this. Therefore, paragraph 4 provides that the decision on
the approval of a specified operating area is made in agreement with the local
authority concerned. The same applies in the event that an operating area extends
beyond a national border, so that authorities in two countries may have to make a
decision.
Paragraph 3 sentence 1 provides that they can also commission an officially recognized
expert for motor vehicle traffic, a technical service with overall vehicle authorizations for the
respective vehicle classes or a comparable body to carry out the inspection. According to
sentence 2, the obligation to submit a corresponding expert opinion can also be imposed
on the applicant. In this way, the administrative procedure can be simplified and
accelerated.
Paragraph 5 gives the competent authority the opportunity to add ancillary provisions to
the permit at any time. Here it will also be crucial to what extent the performance of the
motor vehicle with autonomous driving function is determined by the operating permit. In
particular, it may be necessary to initially keep the motor vehicle for a period of time that is
determined according to the circumstances without passengers, goods or other loads in
order to allow the vehicle to recognize any special features of the road infrastructure
- 104 to teach. In order to ensure effective control of the motor vehicle with autonomous driving
function, data is then processed in accordance with Section 15.
Paragraph 6 ensures that the keeper also fulfills his obligations during operation, or in the
event of violations, the authority responsible under state law or the authority responsible
under federal law for exercising the road construction burden on the respective public
roads or on federal trunk roads, insofar as the federal government is responsible for the
administration is entitled, the company under private law can take the necessary measures
within the meaning of the Infrastructure Company Establishment Act. This makes a
significant contribution to road safety. Finally, account is taken of the fact that the people
involved can change, although the requirements placed on them naturally remain the
same.
Paragraph 7 stipulates that the holder must notify the authorities named there of subsequent
changes in relation to the requirements under Section 8 without delay.
Paragraph 8 grants the flow of information between the Federal Motor Transport Authority, the company
under private law within the meaning of the Infrastructure Company Establishment Act and the federal
states as required in Section 5 Paragraph 4.
§ 10
The provision determines the conditions under which the approval of the defined operating area
granted in accordance with Section 9 is to be revoked.
The enumerated reasons for revocation are of particular security relevance, which is
why revocation is justified as a bound decision if one of these alternative conditions
is met.
According to paragraph 2, however, withdrawal and revocation should continue to be possible on the basis
of Sections 48 and 49 VwVfG, regardless of the reasons for revocation mentioned.
Paragraph 3 grants - corresponding to the regulation under § 6 paragraph 4 - a flow of information
between the federal states and the Federal Motor Transport Authority in the event of revocation of the
approval of the specified operating area.
Paragraph 4 creates the basis for ordering the suspension of the permit if, e.g. B. due
to a job with temporarily changed traffic management, it must be ensured that
- 105 due to the condition of the road infrastructure, which deviates significantly from the properties
on which the approval is based, safe operation of the motor vehicle with autonomous driving
function is no longer possible.
Paragraph 5 clarifies that a motor vehicle with autonomous driving function may not be
operated on public roads if the approval of the specified operating area has been
revoked or its suspension has been ordered. The regulation enables the responsible
authority to take measures according to § 5 FZV.
§ 11
Section 11 deals with the third stage of the procedure, the approval of motor vehicles with
autonomous driving functions for road traffic in accordance with Section 1 (1) StVG. The
provision declares the FZV to be applicable with certain stipulations. In order to avoid further
administrative effort, the existing regulations should be used, since motor vehicles with
autonomous driving function - apart from the previous procedural steps - do not have to be
assessed differently in this procedural step than conventional vehicles. The provisions of this
ordinance are therefore more specific and take precedence over the FZV in this respect.
Otherwise, the FZV is applicable as a supplement.
According to this, the approval according to § 3 paragraph 1 sentence 2 FZV requires a valid
operating license for a motor vehicle with autonomous driving function according to § 4, a valid
approval of a defined operating area according to § 9 and the existence of a motor vehicle liability
insurance corresponding to the compulsory insurance law. This information must be submitted with
the application in accordance with Section 6 FZV. Without these requirements, motor vehicles with
autonomous driving functions may not be allowed on the road. Paragraph 3 sentence 2 provides for
the entry of the approved specified operating area according to § 9 in the registration certificate Part
I according to § 11 of the FZV.
In paragraph 3 sentence 3, the operating license for a motor vehicle with autonomous driving
function according to § 4 and further information on the equipment with autonomous driving
and additional functions must also be entered in Part I of the registration certificate. This is
necessary in order to do justice to the special features of motor vehicles with autonomous
driving functions. These can have additional functions that have to take special requirements
into account and are therefore relevant for road traffic monitoring. These characteristics are
consequently in the registration certificate Part I and by the Article 3 of the
- 106 Change of § 6 paragraph 7 FZV provided for by the regulation to be deposited in the vehicle
registers so that they are accessible for data retrieval by the road traffic monitoring authorities.
All of the data that is required to be entered according to the present ordinance can be accessed by the police and
registration authorities, for example, in accordance with Section 36 StVG in conjunction with Section 39, Section 30
paragraph 1 number 1 FZV.
The law on autonomous driving of July 12, 2021 (Federal Law Gazette I p. 3108) provides for an
amendment to the compulsory insurance law. According to this, the owner of a motor vehicle with
autonomous driving function must also take out and maintain liability insurance for a person in
technical supervision in accordance with Section 1 Clause 1 of the Compulsory Insurance Act.
Since the regulations in this ordinance are to be seen as stipulations for § 3 FZV, it follows
that the registration authority checks the existence of motor vehicle liability insurance in
accordance with the compulsory insurance law. In accordance with Section 6 Paragraph 4
Number 3 FZV, the data on liability insurance must be specified by the owner for storage in
the vehicle registers. This means that the entry of this date in the vehicle register remains
unchanged.
§ 12
This regulation regulates supplementary requirements for manufacturers. In particular,
this ensures that the holder has the necessary documents and basic requirements to
fulfill his obligations. It also regulates which documents the manufacturer has to create
in order to prove and document the safety of the autonomous driving function:
The repair and maintenance information for the motor vehicle should enable the owner to
keep the motor vehicle with autonomous driving function in a safe and functional condition.
The creation of the safety concept for functional safety serves to prove that the safe
operation of the motor vehicle with autonomous driving function is possible. The concept
for security in the field of information technology is intended to demonstrate that security
in information technology is guaranteed. The functional description is intended to explain
the functional and safe operation to the owner and the authorities involved. The feasibility
of periodic technical vehicle monitoring must be ensured in order to enable the motor
vehicle with autonomous driving function to be regularly in the context
- 107 -
vehicle monitoring can be checked. The creation of a catalog for test scenarios
should create a basis for assessing the capabilities of the autonomous driving
function as part of the granting of the operating license and the approval of the
specified operating area. Finally, a digital data memory must be installed in the
motor vehicle to ensure that the authorities involved can carry out their monitoring
duties.
§ 13
The provision serves to specify the obligations of the holder according to § 1f
paragraph 1 StVG. In order to fulfill these obligations while operating the motor vehicle
with autonomous driving function, paragraph 1 provides a catalog with corresponding
obligations to act. These are obligations in connection with the technical maintenance
of the motor vehicle with autonomous driving function. The owner must carry out
inspections of the vehicle at regular intervals in order to ensure road safety,
environmental compatibility and compliance with the applicable regulations. An interval
of 90 days is a compromise between the high traffic safety requirements of these
systems and the organizational and economic effort that is justifiable.
Paragraph 2 imposes further organizational obligations on the holder. He must appoint
further qualified and reliable personnel who can take on the technical and organizational
tasks in accordance with the requirements of paragraph 1. The technical qualification of this
staff is specified directly in paragraph 2 and must be verified by the owner. The verification
of the reliability of this staff serves to monitor the due diligence of the keeper. Especially
against the background of ensuring a high level of safety in motor vehicles with
autonomous driving functions, it is essential to define not only the technical and
organizational requirements for the owner but also their monitoring. As part of the
approval of the specified operating area, the future owner must therefore provide evidence
that that he appointed the aforementioned staff and checked their reliability by submitting
certificates of good conduct and information from the driver's license register. Reference is
made here to the statement in the justification for Section 8. Section 8 paragraph 3 applies
accordingly, so that the authority responsible under state law or the authority responsible
under federal law for carrying out road construction work on the respective public roads
- 108 competent authority or on federal trunk roads, insofar as the federal government is responsible for
administration, the company under private law within the meaning of the Infrastructure Company
Establishment Act may request further information on the persons deployed by the holder, provided this is
necessary for the application review.
Paragraph 3 obliges the owner to provide instructions on how to properly carry out
maintenance work, general inspections, further examinations and manual driving.
This obligation is intended to ensure that the keeper is responsible for providing
appropriate instructions if the execution of these works and journeys is delegated.
The obligation set out in paragraph 4 to document maintenance work, general inspections
and other investigations is intended to ensure that the proper maintenance of motor
vehicles with autonomous driving functions can be checked.
Paragraph 5 stipulates that state-of-the-art management of reports on
maintenance work, general inspections and further investigations must be used to
ensure that the measures can be checked over a longer period of time.
Paragraph 6 clarifies that the holder may be obliged to appoint the technical
supervisor within the meaning of Section 1d Paragraph 3 StVG. In principle,
however, it cannot be ruled out that the holder - if it is a natural person - can take
on the tasks of technical supervision himself. In addition, by providing the
necessary factual prerequisites, he must ensure that the Technical Supervisor can
fulfill its duties. This includes in particular the provision and establishment of
appropriate premises, for example in the form of a control center. Facilities such as
monitors are required to establish visual contact with the surroundings of the
motor vehicle with autonomous driving function, communication systems to be
able to contact passengers and other road users,
The implementation of the extended departure check according to paragraph 7 is
intended to ensure the functionality of the motor vehicle. This is for road safety and is
similar to departure checks for buses.
- 109 Paragraph 8 modifies the period for the main inspection according to § 29 StVZO and sets an
interval of six months starting with the registration of the motor vehicle with autonomous
driving function.
Paragraph 9 stipulates that the holder may not activate a subsequently activated
automated or autonomous driving function without permission.
§ 14
Paragraph 1 describes the requirements for a person with regard to suitability for
technical supervision. The requirements provide for a high and suitable level of
education and training, a driver's license and the reliability of the person. The
requirements are intended to ensure that only persons who are able to fully
understand the high technical complexity of the overall system consisting of motor
vehicle and autonomous driving function as well as the safety-related effects of the
operation of this overall system in dynamic traffic situations are deployed as
technical supervisors. This also includes the ability to use technical analyzes to
identify and correct sources of danger and errors in the autonomous driving
function.
In addition, the technical supervisor must hold a driving license that is determined by the
vehicle type in question. For example, if no more than 16 people are to be transported by
the motor vehicle with autonomous driving function, the technical supervisor requires a
category D1 driving licence, but if goods are to be transported with a permissible total
weight of more than 3500 kg but no more than 7500 kg, a driving license from Class C1.
Even if the Technical Supervisor does not drive the vehicle, it is essential to be qualified to
handle the relevant motor vehicles of this type in order to monitor the duties of the
Technical Supervisor.
The technical supervisor must be reliable, as must the other personnel deployed by the keeper in
accordance with Article 13 Paragraph 2 Sentence 2. The keeper has to provide the evidence
mentioned in § 8 paragraph 2.
If the Technical Supervisor uses additional persons in accordance with paragraph 2 in order to be able to better
meet individual obligations, this must be done at the instigation of the keeper as the person with overall
responsibility and these persons are also subject to the requirement of Article 13 paragraph 2.
- 110 -
Paragraph 3 stipulates that the technical supervisor must determine the reason for
triggering the minimum-risk state before the motor vehicle is allowed to leave this state
again. If the reason for triggering is a technical defect in the motor vehicle, this defect
must be permanently eliminated before the motor vehicle can leave the minimum-risk
state again, or the task of driving must be taken over manually. This specification is
intended to ensure that no defective motor vehicles with autonomous driving functions
are used on the road.
§ 15
In addition to the provisions on data processing according to § 1g StVG, § 15 paragraph
1 regulates how the data is to be stored with reference to Annex II. In this respect, the
system determines the exact times of data storage, the parameters of the data
categories and the data formats.
Paragraph 2 contains the purpose of the data stored in the digital data storage.
These data are provided by the competent authorities only to verify compliance
with the requirements of the permit and compliance with the monitoring
obligations associated with the permit.
§ 16
So far, the testing of automated and autonomous motor vehicles has been approved by the
competent state authorities like any other test content in accordance with Section 19
Paragraph 6 in conjunction with Section 70 Paragraph 1 Numbers 1 and 2 StVZO. The new
regulation intends to regulate the approvals specifically and only for motor vehicles with
automated and autonomous driving functions in order to create legal certainty for
manufacturers and their representatives nationwide and thus to take sufficient account of
the special features of these new technologies. The basic provisions are regulated by § 1i
StVG. Section 16 specifies the requirements for approval by the KBA.
Paragraph 2 describes the regular limitation of corresponding test approvals. The
chosen framework of four years offers the KBA sufficient leeway to do justice to the
special circumstances of each individual case. At the same time, it increases
planning and investment security for innovators and stakeholders. Otherwise
- 111 -
it would be to be feared that overly unspecific regulations, which leave any design
to the discretion of the approval authority, could lead to a high level of uncertainty
among users (and those involved in the approval) and reluctance to use test
regulations.
In addition, the express time limit ensures that the regulations are in fact
experimental and trial regulations, i.e. regulations that serve to gain experience.
The (constitutional) legal requirements for trial clauses require that the temporary
nature of the regulation is preserved.
In addition, however, the special features of tests must also be taken into account,
which can lead to further problems for the testers if the time limits are too rigid. There
is therefore the possibility of obtaining an extension of the test license for a further two
years, provided that the original license conditions continue to apply and the previous
course of the test does not prevent an extension. A reliable extension option also
improves the profitability of the investments and their ability to be planned.
Experience with other trial clauses also shows that the fundamental suspensive effect of a
third-party objection in practice often significantly impedes the trial or even makes the
approval obsolete if this is not expressly regulated within the framework of the trial
regulation, for example because the trial period remaining after the objection has been
clarified is no longer sufficient. The regulation in § 16 paragraph 2 sentence 3 therefore
makes it clear that the trial period affected by the suspensive effect of the legal remedy is
not lost, but is extended by the corresponding number of days.
Paragraph 3 describes the requirements for granting the test license. In particular,
it is advisable to place higher demands on the technical supervision and monitoring
of the test vehicles. Instead of a mere deactivation option, overriding should also be
possible. However, this must not be done remotely, but only on site. The KBA has
the necessary prerequisites to release the manufacturers' concepts for testing. For
reasons of practicability, such an approval should then include all the technologies
to be tested in the vehicle, not just those related to automation.
- 112 -
The regulation on data collection in paragraph 4 serves to obtain empirical values for
assessing road safety and technical progress as well as for the evidence-based
development of the regulation of development stages of automated or autonomous
driving functions in order to be able to draw conclusions for the further development of
the technical and regulatory framework .
In paragraphs 5 to 8, exceptions are described and specifications are made with regard
to ensuring that the specifications can be verified by the authorities. A reference to the
test permit, stating the issuing authority and the date, must be entered in Part I of the
registration certificate and the test permit must be presented on request.
§ 17
The regulation determines facts for administrative offenses within the meaning of § 24
StVG. In terms of safety and ease of road traffic, this is intended to ensure that the
provisions of this ordinance are complied with and that motor vehicles with autonomous
driving functions are operated within the appropriate controlled framework and that their
functions are not misused.
§ 18
The transitional provisions ensure that the AFGBV can come into force on the day after its
promulgation and it is immediately taken into account that the formal procedures for
entries in the vehicle register and in Part I of the registration certificate could not be
implemented immediately.
This takes account of the situation in which the authorities responsible for the vehicle
registration entries and for issuing the Part I registration certificate are not yet able to
fully implement the procedure on the day after the announcement. A transitional
provision should be indicated simply with regard to the establishment of the respective
technical procedures and the implementation of the procedures. As a rule, there is a
delay in the entry into force of a new legal framework. In the present case, this is due to
the special importance and the rapid implementation in favor of the
- 113 -
autonomous driving. Instead, the idea is included in the transitional provisions.
Appendices I to III
The systems serve to specify the technical and organizational requirements for motor
vehicles with autonomous driving functions and their operation. The requirements are
based on the current state of the art and the associated current level of knowledge. The
constant further development of the technology of automated and autonomous systems
makes it necessary to update these systems in the future.
II. On Article 2
Change to the scale of charges for road traffic measures (GebOSt)
Re point 1:
The change in Article 2 with regard to the newly included expenses results from the complex
approval process for automated and autonomous driving functions. In this procedure, for
example, § 1i paragraph 3 StVG provides for the involvement of the BSI on questions of IT
security in the implementation and further development and the evaluation of technical
requirements.
The present ordinance (Article 1: Autonomous Vehicle Licensing and Operating Ordinance AFGBV) expressly provides for the support of the KBA by the BSI in the context of the
granting of the operating license in the assessment of the information technology security
of vehicles and vehicle parts (§ 5 Paragraph 3).
As part of the approval procedure at the KBA, it is also provided that the KBA can
commission an officially recognized expert for motor vehicle traffic or another body
with the assessment of the motor vehicle with autonomous driving function (§ 3
Paragraph 7).
The expenses associated with the approval process, which the KBA as the competent
authority for issuing permits (cf. Section 1e Paragraph 4 StVG: operation of motor vehicles
with autonomous driving function) and for the approvals (cf. Section 1h Paragraph 2 Clause
1 StVG: Subsequent activation of automated and autonomous driving functions;
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cf. § 1i paragraph 2 sentence 1 StVG: Testing of automated and autonomous driving
functions) are to be imposed on the party liable for the fee as part of the application
process.
The new number 12 in § 2 of the GebOSt implements this and allows the competent
authority to charge the party liable for the fee not only with the fee numbers for the
approval process for automated or autonomous driving functions anchored in the
annex (to § 1) but also with the resulting expenses.
The expenses in the new number 12 can also be applied to the performance of
tasks by the KBA in the context of market surveillance (cf. § 5 paragraph 1).
With the inclusion of the expense regulation in number 12 in the standard text of the GebOSt, its
application extends to the entire system (to § 1).
Re point 2
Regarding letter a.
Regarding fee numbers 111.3 and 111.4:
The amount of the fees is based on the requirements of the regulation, here the
explicit mention of the observance of the cost recovery principle when setting the
amount of the fees. It is assumed that the following administrative expenses will be
incurred. On the basis of expert estimates, which were determined in interviews
with potential owners and current test field operators, it is assumed that 10
approvals per year (5 operating licenses and 5 test approvals) are due. This number
is used for the calculations for general and administrative expenses, taking into
account overhead costs.
The calculation of the fees is based on the personnel and material cost rates for
profitability studies and cost calculations (as of June 18th, 2020), taking full cost
accounting into account. These take into account the material and personnel costs as
well as the share of overhead costs. This is followed by the fee calculation below.
In order to cope with the upcoming approval processes, the technical competence of personnel
with the appropriate university education is required, who have an in-depth insight
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in the subject area of autonomous driving and security in information technology.
In the KBA, salary brackets A 12 and A 14 have this required expertise.
The following personnel cost rates are used as a basis for this salary group:
A14: 165 136 euros / year / person
A12: 140 531 euros / year / person
The granting of the permit includes the following activities:
- Basic development / basic work,
- initial assessment of the manufacturer,
- designation of technical service,
- Issuance of operating and testing permits,
- Monitoring in operation.
An essential part of this is the granting of operating and test permits. This includes
the following activities:
- Coordination of the individual projects and the process participants,
- Specification / development of test scenarios and evidence to be provided regarding the degree of
automation, software updates and security of information technology,
- examination of the application documents,
- Checking the approval documents (e.g. manual and safety concept),
- Monitoring / implementation of tests at the test site,
- Examination of all relevant legal acts (e.g. standard regulations that are relevant for
the regulations on autonomous and automated procedures, in particular the law on
autonomous driving or the AFGBV),
- Granting of permits.
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The KBA assumes that an applicant will contact the KBA at an early stage, that tests
will take place both in the operational area and at the applicant's site, and that
document and concept reviews will be carried out in the KBA. The tests as part of
the granting of the operating license will have to be carried out on a large scale on
site in intended or representative operating areas of the vehicle as well as on test
tracks of the applicant. An iterative development and approval process in the
presence of the applicant, its developers and experts from suitable technical
services or authorities (e.g. BSI) can be assumed. In order to test the safe
functionality of the vehicle in practical operation, the presence of the KBA is
assessed as indispensable. An exclusively document-related check is not considered
sufficient. A considerable amount of time and the involvement of not inconsiderable
human resources is assumed for the process flows shown in the approval
procedure.
Overall, the effort per permit is assumed to be up to 300 hours of specialist skills in the
higher civil service and up to 600 hours of specialist skills in the higher civil service. For
the ten accepted approval procedures, this results in an effort of up to 3,000 hours in
the higher service and up to 6,000 hours in the higher service.
It is assumed that 1,500 hours of work per year are worked per full-time staff position. This
means that two positions in the higher service and four positions in the higher service are
required to cover the administrative expenses incurred for the approval procedures that are
due in the year.
This results in the following calculation based on the estimated compliance costs:
(2*A14 + 4*A12)
= ((2 * 165 136 euros) + (4 * 140 531 euros))
= (330 272 euros + 562 123 euros)
= 892 395.00 euros
A total of up to 892,395 euros is incurred for the ten approved approval procedures.
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The costs per approval case therefore amount to up to 89,239.50 euros. This can be
seen from the calculation below.
(2*A14 + 4*A12) / 10
= ((2 * 165 136 euros) + (4 * 140 531 euros)) / 10
= (330,272 euros + 562,123 euros) / 10
= 89,239.50 euros
Taking into account the requirement for a cost-covering fee calculation and the
estimates of the number of permits in connection with the personnel to be kept
available by the KBA, the rounded up fee for a new permit is 89,240 euros. The amount
of the fee is due for the granting of an operating permit for motor vehicles with
autonomous driving function and equally for the granting of test permits for motor
vehicles with autonomous driving function. This is due to the fact that the costs for both
methods are comparable. Because the examination framework in the administrative
procedure is congruent. These are complex test procedures for autonomous driving
functions. Both application situations therefore cause the same amount of work for the
KBA.
The above calculations and explanations take into account those cases in which
little or no support is used, for example by technical services, and the KBA largely
carries out the necessary tests itself. Discussions between the KBA and
manufacturers have shown that there is a spectrum from less extensive systems,
especially in the context of test approvals, to complete vehicles. Furthermore,
constellations are emerging in which the KBA will carry out tests with a high level of
support through the involvement of technical services or technical services could
already cover large parts of the required tests. It is estimated that the smallest
scope of an examination by the KBA requires 30 hours hD and 60 hours gD. This
results in a fee framework. Taking into account the smallest amount and the
assumption that 1,500 hours per year are worked per full-time employee, the
following calculation is used for the lower limit of the fee framework:
- 118 (30 * 110.10 euros) + (60 * 93.70 euros)
= (3 303 euros) + (5 622 euros)
= 8 925 euros
Regarding fee numbers 111.5 to 111.7
In addition to issuing operating licenses for motor vehicles with autonomous driving functions and corresponding test licenses for these
vehicles, approvals for the subsequent activation of autonomous or automated functions in vehicles that have already been registered
are also possible. Furthermore, test approvals are also possible for automated driving functions. In comparison to the granting of
corresponding approvals for an entire vehicle, this approval only covers individual functions in the vehicle. The scope of the necessary
tests and thus the granting of approval is estimated to be lower than for a complete vehicle. Since there is no estimate of the
corresponding number of approvals or empirical values for the time required for approval and a clear difference in the individual
applications with regard to the complexity of the functions to be checked is expected, a fee based on time and effort is considered
expedient here. The fee framework is set per hour per person per case and covers all anticipated personnel cost estimates in the approval
process at EUR 49.00 to EUR 129.00. In addition to the pure personnel costs, the material costs plus overheads are also recorded. This
enables the necessary flexibility when calculating the actual effort involved in issuing the permit. The fee framework is set per hour per
person per case and covers all anticipated personnel cost estimates in the approval process at EUR 49.00 to EUR 129.00. In addition to the
pure personnel costs, the material costs plus overheads are also recorded. This enables the necessary flexibility when calculating the
actual effort involved in issuing the permit. The fee framework is set per hour per person per case and covers all anticipated personnel
cost estimates in the approval process at EUR 49.00 to EUR 129.00. In addition to the pure personnel costs, the material costs plus
overheads are also recorded. This enables the necessary flexibility when calculating the actual effort involved in issuing the permit.
Re letter b.
Regarding fee numbers 112.4 and 112.5
These fee numbers are required in order to charge the administrative costs
incurred for supplements to approvals that have already been granted to those who
request the supplement to an approval. Experience has shown that the facts to be
checked are less extensive for supplements than for a new approval. Experiences
from many years of approval practice show that the effort is usually halved.
Therefore, only half of the fee rate for fee numbers 111.3 and 111.4 is applied. The
fee framework for a supplement is therefore set at EUR 4,462.50 to EUR 44,620.
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Regarding fee numbers 112.6 to 112.8
Supplements for the granting of approval for subsequent activation of an
autonomous or automated driving function in motor vehicles that have already
been registered, as well as supplements for the granting of a test permit for
automated driving functions, are also considered a fee here for the reasons already
given for fee numbers 111.5 to 111.7 provided at cost.
Re letter c.
Re Section H and fee numbers 400a.1 to 400a.2.
The introduction of the fee numbers is necessary in order to be able to impose the
administrative expenses incurred for the approval of the specified operating area
on the applicant through the cost creditor responsible under state law. Since these
are activities to be carried out by the authorities in the state area and there are no
points of contact with existing fee facts and numbers due to the new nature of the
fee facts, a new section H. must be introduced.
The additional fee facts deal with the approval of the specified business area,
namely the examination of the corresponding application together with the
decision (fee number 400a.1) and the assessment and examination of supplements
by the cost creditor for a specified business area for already approved specified
business areas as well as the verification of the fulfillment the requirements for the
approval of an approved specified operating area (fee number 400a.2).
No statistical data is available for the application for defined operating areas for
motor vehicles with autonomous driving functions. Likewise, there are no clear
findings and data with regard to the number and location of defined operational
areas. In addition, no precise conclusions can be drawn ex-ante from previous
experience of test projects with regard to the costs to be expected for the approval
of an area of operation applied for. Here, the different complexity of possible
operating areas must be considered, which makes it considerably more difficult to
calculate concrete costs in advance. Furthermore, the road infrastructure in the
federal states already differs due to actual circumstances,
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Uses are declining, which could lead to further testing requirements. In order to
create an appropriate and at the same time effort-based fee approach, a
corresponding framework fee is used as a basis.
Based on the expectations presented in the compliance costs, five approvals for
regular operation (operating license) per year are assumed. In the case of test
licenses, on the other hand, no defined operating areas according to § 1i paragraph
1 and 2 StVG are to be approved. Due to the non-quantifiable costs that could be
incurred in the course of the application review, a framework fee of at least 790.60
euros to 79,060 euros is assumed for the review and approval, following the costcovering principle. The upper framework limit results from the expected five
approvals for operational areas to be defined, which could be distributed over the
federal states or even in one federal state, so that the compliance costs of the
federal states amounting to 395,300 euros divided by five expected approvals result
in a maximum of 79,060 euros per approval. The lower frame limit is assumed to be
one percent of the maximum fee, i.e. EUR 790.60.
The fee framework seems proportionate to the expected effort involved in the
examination, since this may result in extensive document checks, track inspections
or coordination requirements, which can be more or less intensive depending on
the complexity of the application. At the same time, for approvals that are less
extensive and difficult or are based on already approved areas of operation, it can
be assumed that there will be correspondingly less testing effort, which would also
justify a lower fee rate within the fee framework.
The fee framework for fee 400a.2 is set per hour per person per case and covers all
expected personnel cost estimates in the approval process at EUR 49.00 to EUR
129.00. In addition to the pure personnel costs, the material costs plus overheads
are also recorded. This enables the necessary flexibility when calculating the actual
effort involved in issuing the permit.
III. To Article 3
Change in the Vehicle Registration Ordinance
Due to the exceptional nature of the new regulations for vehicles with autonomous
driving functions, the regulations should be bundled in one place. It
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Special regulations are created, which are initially to remain independent in a set of
regulations (AFGBV) for further testing and evaluation.
On the other hand, in terms of the system, a starting point is to be created in Section 3 FZV and
in Section 6 FZV the necessary vehicle data for storage in the vehicle registers are to be
regulated, with Section 11 AFGBV in particular containing the special procedural steps for the
operation and approval of motor vehicles with autonomous driving functions be laid down in a
comprehensible manner. With the addition of § 6 paragraph 7 FZV, a harmony with the
regulations according to the AFGBV is created.
In order to be able to provide the road traffic authorities with relevant information on
the vehicles regulated in the AFGBV, further data must be stored in the vehicle
registers.
These include the number and date of the operating permit, the number and date of the
test permit, the number and date of the operating area permit as well as information on the
issuing authority and information on the equipment with autonomous driving and
additional functions. The collection of this data by the registration authorities and the
retrieval of this data by authorized bodies is also regulated.
With the storage of the data in the vehicle registers, these are accessible for data retrieval
by the road traffic control authorities, which enables an efficient inspection of these vehicles
on the road. The data is then retrieved, for example, from the central vehicle register on the
basis of Section 36 StVG in conjunction with Section 39, Section 30 paragraph 1 number. 1, §
6 paragraph 7 FZV.
IV. On Article 4
Regulation of entry into force. Contrary to the work program “Better legislation and reducing
bureaucracy 2018” adopted by the Federal Government in 2018, in which it was agreed, among other
things, that the Federal Government would propose entry into force as early as the first day of a
quarter in its draft regulations, this ordinance is intended to come into force immediately after its
promulgation .
The reason for this is that between the entry into force of the Act amending the Road Traffic
Act and the Compulsory Insurance Act - Act on Autonomous Driving (Federal Law Gazette I,
2021, p. 3108; entered into force on July 28th, 2021) and this, the law was specified
- 122 ordinance should be as short as possible so that the regulatory package of law and
ordinance can be implemented in its entirety as quickly as possible. A simultaneous entry
into force of the law amending the Road Traffic Act and the Compulsory Insurance Act
– Law on the autonomous and the regulation was not possible for procedural reasons. In order
to keep the state of legal uncertainty as low as possible, it is therefore important to have the
regulation come into force as soon as possible. Entry into force at a later point in time, for
example only after the start of a certain quarter, would run counter to this aim.
document name
: 04 VO autonomous driving_ID.docx
creator
:
BMDV
was standing
:
02/14/2022, 16:42