1	IntelliDrive^SM Safety Program Policy Roadmap Safety Program Workshop Northbrook, Illinois July 21, 2010 Suzanne Sloan U.S. DOT / Volpe National Transportation Systems Center
2	Two Approaches Top-Down: Policy Roadmap (version 8), December 2009 Cross-cutting policy constructs focused on deployment Bottom-Up: Specific technical policy issues focused on supporting ongoing research and major research milestones Deconstruct technical research roadmaps
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4	Safety Program Policy Roadmap Purpose: Outline policy and institutional issues in an organized, structured manner. Develop plan for research and analysis that results in options and recommendations in support of V2V and V2I for Safety. Research results and decision points are driven by: Safety Pilot The 2013 NHTSA regulatory decision Deployment Organization: Key policy questions Specific research tasks Stakeholder collaboration Stakeholder outreach/education Outcomes for major program milestones Timeline
5	Critical Policy Areas Identified 8 key policy issue areas in collaboration with technical team and stakeholders: Device and Equipment Certification Certificate Authority for Security Risk Allocation and Data Ownership Benefit-Cost Analysis in Support of Deployment Rules of Operation and Application of Standards Spectrum Analysis and FCC Role Infrastructure and Deployment Governance Structure and Authority
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7	Device and Equipment Certification Definition Certification provides a process that ensures all devices and equipment part of the IntelliDrive system meet specific standards relating to interoperability and performance, security, and privacy. Objectives Define interoperability Identify risks and threats that can be addressed through certification versus those that need to be addressed by a governance authority Develop policies based on certification processes and management structure Evaluate types of impacts the certification process may have on industry or consumers due to access restrictions, costs, or other factors Analyze whether self-certification could be an option
8	Device and Equipment Certification Expected Outcomes Safety Pilot Initial recommendations on ways of identifying misbehavior and options for enforcement Model certification process to be evaluated during Safety Pilot Evaluation of performance, costs, etc. Stakeholder review Analysis of lessons learned and gaps Where is further work needed? How will model process expand to include other elements? NHTSA Regulatory Decision Analysis of industry impact Tested certification process that includes recommendations on certifying entities, roles, and responsibilities Deployment Operational certification and enforcement processes Identified laboratories/facilities able to certify devices and equipment Guidance and training process for agency personnel
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11	Certificate Authority for Security Definition An entity or process for issuing digital certificates that confirm or validate a person, vehicle, organization, and other entity looking to access the system is legitimate. A certificate authority (CA) structure is necessary to provide security and privacy protection. Objectives Assist the technical team in CA design and address questions regarding a “centralized” or “split” CA through a trade-off analysis Engage privacy advocates to understand acceptable levels of privacy and gain their ‘buy-in’ to understand impacts on cost, scalability and deployment Analyze the trade-offs between security and privacy of the system Identify how misbehavior can be addressed and what enforcement mechanisms are feasible
12	Certificate Authority for Security Expected Outcomes Safety Pilot Concept of Operations for a CA Initial CA design for testing during Safety Pilot including processes for certificate management, issuance, updates, identification of misbehavior, enforcement options, revocation, reinstatement Understanding of trade-off issues between security, privacy, and cost Evaluation of impact to existing privacy principles NHTSA Regulatory Decision Feasible CA design and certificate management process with appropriate security and privacy levels Identification of additional authorities needed for a CA entity (if any) Assessment of privacy issues Deployment Operational CA
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15	Risk Allocation and Data Ownership Definition Allocation of legal risk and liability between participants of the IntelliDrive system. Cooperative data systems complicate the existing definitions of risk allocation, liability, and data ownership. Objectives Develop definitions of ‘risk’ and ‘data ownership’ from the perspective of cooperative systems and multi-source data environments Identify risk/liability associated with software failures, driver behavior (failure to heed warnings), or negligence (updates, failure to use) Engage legal expertise to determine current legal precedence and review existing laws on immunity Identify impacts to business and risk models, particularly insurance industry models Engage insurance industry and gain acceptance Engage insurance industry on opportunities for incentives with use of cooperative systems for safety This policy area has overlapping issues with the Data Capture and Management Program.
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19	Benefit-Cost Analysis Definition Analysis examining all associated ‘costs’ and ‘benefits’ for deployment of IntelliDrive in support of decision making. Benefit-cost analysis (BCA) is necessary for making a regulatory decision and is an important tool for understanding the “value” of IntelliDrive to different audiences. Objectives Develop a vehicle fleet model that includes revised assumptions including a retrofit perspective and current sales projections Identify the stakeholder impact/value proposition (e.g. OEMs, State and local transportation agencies, transit agencies, trucking companies……who else?) Perform various analyses on IntelliDrive: Value propositions Safety-benefit estimation Costs identification Cost-effectiveness and alternatives analysis for applications Societal benefits / BCA
20	Benefit-Cost Analysis Expected Outcomes Safety Pilot Identification of data required for all of the various analyses and identification of which data will be generated from Safety Pilot and which data will be gathered from other sources Development of value propositions Analysis plan NHTSA Regulatory Decision: NHTSA safety benefits-estimation, cost-effectiveness and alternatives analysis as inputs for decision Economic / industry / agency impact analysis Deployment Societal benefits evaluation Understanding of potential costs Benefits presented for investment decision-making
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23	Infrastructure and Deployment Definitions IntelliDrive Safety will include certain types of infrastructure for both V2V and V2I. Infrastructure here refers to roadside equipment (RSE), back office systems, and the maintenance and operations activities required to implement them – for safety. From a policy perspective, issues regarding infrastructure can be similar to other ITS infrastructure issues but may be tailored to meet the needs of a multi-jurisdictional IntelliDrivesystem. Objectives Identify minimum level of infrastructure for maximum public benefit and develop deployment guidance: Workforce needs for deployment, operations, and maintenance Procurement guidance Integration with existing systems, upgrade, maintenance, and other procedures Options for financing, deployment, and operations of infrastructure State and local public sector roles versus private sector roles Identify costs and financing/funding incentives for deployment
24	Infrastructure and Deployment Expected Outcomes Safety Pilot: Preliminary configuration of roadside infrastructure for testing certificate authentication Preliminary configuration of roadside infrastructure for testing Safety applications NHTSA Regulatory Decision and for Deployment: Recommendations and input on minimum level of roadside infrastructure necessary to support V2V Synergies with potential FHWA Policy decision Deployment: Guidance on funding, deployment, and maintenance options for roadside infrastructure Training for deployers, operators, and technicians
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27	Rules of Operation & Standards Definition Rules of operation and standards provide the nationwide system of IntelliDrive with consistency and interoperability. They outline common standards by which participants of the system must adhere and identify use and enforcement within the context of federal, state, and local laws. Objectives Assess who the system users are and identify their requirements Identify existing laws and variations in their application around the Nation Define policies and procedures for rules of use, standards, operations, maintenance, and upgrades Identify costs and institutional issues Define enforcement options, decision making processes, and oversight requirements Identify potential entities for decision-making, oversight, dispute resolution, and enforcement
28	Rules of Operation & Standards Expected Outcomes Safety Pilot Using ConOps, develop operational scenarios and define decision-making entities and test preliminary rules of operations – who makes what decisions, when, about what? Develop series of security scenarios for introduction into Safety Pilot to test select enforcement techniques NHTSA Regulatory Decision Recommended rules of operation and standards for input into NHTSA decision Deployment Rules of operations and standards for deployment – guidance documents and training Recommended plan for standards harmonization Recommended enforcement mechanisms and analysis
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31	Spectrum Analysis & FCC Role Definitions The 5.9GHz space of the communications spectrum that would be used by IntelliDrive is subject to regulations and oversight provided by the FCC. It is necessary to understand the current rules of the spectrum, how they impact industry, and whether/how these rules work for the proposed IntelliDrive system. Objectives Understand existing rules and procedures and determine whether changes are needed in support of IntelliDrive. Identify whether V2V and V2I will require the use of a “spectrum manager” and whether this is possible under the current rules. Need to work with the FCC on issues such as interference, enforcement, channel switching, valid use, and other issues. Identify how this area of the spectrum might be leveraged for commercial purposes once Safety is appropriately addressed.
32	Spectrum Analysis & FCC Role Expected Outcomes Safety Pilot Understanding of allowable uses and governance of the 5.9 Ghz spectrum Appropriate licensing for Safety Pilot testing NHTSA Regulatory Decision and for Deployment: Recommendation on potential design of roles and responsibilities for IntelliDrive spectrum management (and whether the IntelliDrive goals could be achieved in the absence of a spectrum manager).
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35	Governance Structure & Authority Definitions A governance structure defines the type and level of authorities needed for deployment, system operations, and enforcement, and defines the roles and responsibilities of the players engaged in the system. Objectives Identify governance structures from other industries and apply lessons learned to IntelliDrive Design a governance framework Define roles and responsibilities Aggregate results of other policy areas into the framework Identify whether new legislation or authorities are needed and by whom Identify impacts
36	Governance Structure & Authority Expected Outcomes Safety Pilot: Concept of Operations for IntelliDrive system and evaluation of what potentially requires governance Preliminary identification of what can be governed through standards versus what requires a governance entity(ies) NHTSA Regulatory Decision: Recommended governance structure in support of safety, outlining suggested roles and responsibilities Deployment: Recommended governance entity with associated operations, roles and responsibilities
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