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Prepared for UMS workshop

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1 Prepared for UMS workshop
SARUMS Prepared for UMS workshop Porto, Portugal May 2014 SAFETY AND REGULATIONS FOR UNMANNED MARITIME SYSTEMS Magnus Örnfelt FMV SWEDEN Chairman SARUMS work group

2 Under the umbrella of the UMS (Unmanned Maritime Systems)
SARUMS: Safety and Regulations for European Unmanned Maritime Systems SARUMS Under the umbrella of the UMS (Unmanned Maritime Systems) Research program (EDA Cat. A project) Objectives To organise and document information on technology, safety, rules and regulations for Unmanned Maritime Systems Establish useful guidance for design and operations through a best practice safety framework for Unmanned Maritime Systems that recognises their operational usage and the needs of Navies The SARUMS group has members from Belgium, Finland, France, Germany, Netherlands, Italy and Sweden.

3 Unmanned Maritime Systems – Safety Problem space
Undefined interactions with maritime environment Lack of defined responsibility at many levels Lack of certification of system components makes discharge of duty of care impractical Lack of industry agreed approach to safety and operations does not provide national authorities with any confidence regarding operations in their waters UMS not recognised in international conventions thus probably breaking current conventions such as COLREGS & UNCLOS Salvage Convention would not provide any protection Claims would not have protection of LLMC, thus unlimited liability Any incident would make owner and operator open to legal challenge Assessment, decision and Situational awareness making technology not considered adequate for autonomous operations in foreseeable future Maintaining communication link of particular importance for UMS reporting and for radio watch

4 Unmanned Maritime Systems Handling, Operations, Design
SARUMS Group - Achievements to date Discussed study scope ( ) Produced first outline Guidance Document: EDA MUSV study Established SARUMS as part of UMS program Formal start with kick-off meeting June 2011 Support from EU Political and Security Committee: Conducted UMS Risk analysis September 2011 Held well attended 1:st workshop April 2012 Extended group through SARUMS wider network Developed COLREG amendment proposal Developed Sense & Avoid study specification *) Developed UMS liability study proposal Initiated Sense & Avoid study *) Held well attended 2:nd workshop March 2014 Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations ‘Best practice guide for UMS handling, operations, design and regulations.´ Action 26 Civil Military Synergy *) EDA OB funded

5 Basic UMS definitions Unmanned Maritime Systems (UMS) Category
UMS Description: An electro-mechanical system, with no human operator aboard, that is able to exert its power to perform designed missions and may be mobile or stationary. UMS includes categories of unmanned underwater vehicles (UUV) and unmanned surface vehicles (USV). Unmanned Maritime Systems (UMS) Unmanned Surface Vehicles (USV) Unmanned Underwater Vehicles (UUV) USV Description; An unmanned, self propelled and self powered marine vehicle which is capable of working autonomous or being controlled and commanded remotely, without the use of a physical link. It operates with continuous or near continuous contact with the water surface and, when at rest, displaces water and is buoyant. UUV Description; An unmanned, self propelled and self powered submersible marine vehicle which is capable of working autonomous or being controlled and commanded remotely. It is capable of movement, with a horizontal component, relative to the surrounding water mass. Category Weight [Kg] Man Portable < 45 (<100 lbs), Light Weight < (~500 lbs), Heavy Weight < 1000 (~3000 lbs) Large < (~20,000 lbs) Category Length [m] Small Medium Large >24 Category Distance [Nm] Low end < 100 High end >100 Category Speed [knots] Low end < 30 High end >30 Category Energy [1/2mv2] I 0-100 II III IV > 10001

6 UMS System breakdown PLATFORM (s) Vehicle Mission Equipment
Communication Platform Seagoing part (or parts) of the system. BASE STATION Vehicle control Mission Equipment control Communication Base station Equipment needed for remote control and monitoring of one or several Platforms. SUPPORT SYSTEM Launch and recovery equipment Maintenance equipment Logistics Support system Maintenance equipment, Documentation, Spares, LARS and other logistics. Personnel PERSONNEL Owner Authorised control entities Operators Personnel that are mainly involved with activities within Base Station System and Support System.

7 UMS Naval military applications in EU
European Defence governed by European Security and Defence Policy (ESDP) Mission identified within: Treaty on European Union (TEU) European Security Strategy (ESS) Naval tasks are: 1 Early warning 2 Securing the maritime flank 3 Provision of Strategic Sealift 4 Provision of a sea-base UMS will have its main contribution within mission (1-2) above.

8 UMS contribution to EU Maritime Dimension
ESDP main Naval task; Securing the maritime flank Sanctions/Embargo/Blockade Maritime Interdiction Operations (MIO) by USV Secure sea lines of communication Anti-Surface Warfare (ASUW) by USV Anti Submarine Warfare (ASW) by USV Anti-Submarine Warfare (ASW) by UUV Mine Countermeasures (MCM) by USV Mine Countermeasures (MCM) by UUV Conduct Littoral Operations Riverine Operations by USV Contribute to Ordnance Disposal Mine Countermeasures (MCM) by USV Mine Countermeasures (MCM) by UUV Project Maritime Power Ashore Special Operations Forces (SOF) by USV Time Critical Strike (TCS) by UUV ESDP main Naval task; Early warning Establishment of a Recognised Maritime Picture Maritime Security Operations (MSO) by USV Electronic Warfare (EW) by USV Intelligence, Surveillance and Reconnaissance (ISR) by UUV Inspection / Identification (ID) by UUV Oceanography by UUV Communications/Navigation Network Node by UUV

9 Unmanned – not just military interest: Rolls Royce
Rolls Royce design of unmanned cargo ships Drone ships considered safer cheaper and less polluting for the $375 billion shipping industry that carries 90 percent of world trade

10 Unmanned – not just military interest: MUNIN
Maritime Unmanned Navigation though Intelligence in Networks goal develop and verify a concept of unmanned, autonomous merchant vessels


12 UMS Method of Control Control level Description Operator UMV
Turn to new course 1 Human operated 2 Human directed 3 Human delegated 4 Human monitored 5 Autonomous Remote control (All control by human operator) Permissive (UMV asks for permission) Declarational (UMV declares intention) Reportive (UMV reports action) Autonomous (UMV does not report) Go ahead / No go / <silent> I would like to turn to new course No go / <silent> I will now turn to new course I have now turned to new course

13 Example of Maritime Regulations
International Regulations for Preventing Collisions at Sea (COLREGS) Relevant maritime regulation. Application “all vessels upon the high seas and in all waters connected therewith navigable by seagoing vessels” Responsibility: Precautions – monitoring – responding etc. UNCLOS – United Nations Convention on Law of the Sea Rights and responsibilities of all ships LLMC - Convention on Limitation of Liability for Maritime Claims Fixed liability for loss of life or personal injury. Provided UMS classed as ships and that the LLMC convention does apply MARPOL – International Convention for the Prevention of Pollution from Ships IMO Convention that would apply but in real doesn´t have significant impact to UMS. Naval Ship Code (NATO ANEP 77) Applicable to large extent Salvage Convention Task: Approach IMO and make them aware of the fact that Unmanned systems should be included in their rules.

14 IBA conference : Maritime and Transport Law Committee
New concepts in vessel status: what is a vessel and what does it matter? Presented by the Maritime and Transport Law Committee It has been said and repeated that, ‘there is no watertight definition, even of a ship’. It is perhaps intuitive to associate the concept of a ‘ship’ with a large manned vessel consisting of a traditional single hull lying horizontally in the water, which is capable of navigation under sail or its own power and is used to move goods or passengers between ports. However, it is less Clear to what extent non-traditional ships and other floating structures and objects qualify as ships. The topic of what a ship is, is of current interest because of developing technologies, such as unmanned maritime systems and floating wind turbines, various types of mobile drilling platforms and other floating structures used in the off-shore oil and gas industry and pleasure crafts, such as jet-skis and floating casinos. Whether or not these or other non-traditional floating structures and objects qualify as ships is important for a wide range of legal matters within the areas of maritime, shipping and other law and the provisions of various statutes, regulations, international conventions and case law, including: • Liability, including civil liability for collisions and pollution • Jurisdiction, time limits and enforcement • Contract law • Criminal law • Ownership, title, security, arrest • Salvage • Corporate law, competition law and labour law • Safety, crewing, training and cabotage • Taxes, dues and subsidies • Accounting, finance and insurance The session will involve an interactive, comparative analysis of the extent and legal purposes under which certain selected non-traditional floating structures qualify as ‘ships’ in certain selected jurisdictions, as well as under international maritime law and conventions.

15 Unmanned Maritime Systems Handling, Operations, Design
Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Best Practice Guide for Design and Operations Organised IAW Goal based approach Claims – Argument ´Achieve a safe design if guidance is observed´ Built around three levels of safety precepts Programmatic Operational Design Program management principles and guidance that will help ensure that safety is adequately addressed throughout the lifecycle process. Safety precept directed specifically at system operation. Operational rules that must be adhered to during system operation. General design guidance intended to facilitate safety of the system and minimize hazards. Safety design precepts are intended to influence, but not dictate, specific design solutions.

16 Unmanned Maritime Systems Handling, Operations, Design
Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Best Practice Guide for Design and Operations Programmatic safety precepts Safety management System safety analysis Hazards and Risks Environmental management Operational safety precepts Natural environment considerations Above water aspects Under water aspects Operational environment considerations General Operational envelop Mission oriented considerations Weapons considerations Support system Responsibilities Planning Personnel Design safety precepts General Performance Hazardous situation management Platform considerations UUV specific platform aspects Support system considerations Base Station Platform Control System Communications Link Mission equipment considerations Weapons system considerations

17 Unmanned Maritime Systems Handling, Operations, Design
Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Best Practice Guide for Design and Operations Hazards and risks Collision Third party tampering or theft Change in weather conditions Loss of UMS Maritime wildlife disturbance Socio-political incidents Maritime pollution Damage at sea Failure at sea Failure of equipment Failure of navigation Redundancy Operator Error Personnel Injury While Boarding Dangerous payload release Mission Equipment Hazards Electromagnetic/Magnetic Fields Unintended usage Out-Of-Control Operation Loss of platform Data processing error Control confusion Remotely Activated Operation Communication loss Communication error Communication validity error Communication resonance error Communication information error Launch and recovery Maintenance

18 Unmanned Maritime Systems Handling, Operations, Design
UMS verification Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Significant for UMS verification is to demonstrate: integration in existing sea traffic control (if applicable), secure and reliable communication including communication loss procedures, adequate situational awareness, collision avoidance and manoeuvring ability, Base station platform control functions: ability for an operator to safely perform critical tasks safety critical aspects of the control system Operational limits in terms of environment

19 Significant for UMS verification (cont´d)
Significant for UMS verification is to demonstrate: selected control measures to mitigate hazards ability to achieve safe state for identified emergency situations, safe performance and conduct for human interaction, safe performance and conduct to replenishment at sea, safe performance and conduct of launch and recovery, safe performance and conduct to handle multiple platforms, the system ability of reliable performance as regards to all other, not above mentioned, autonomous and automatic functions.

20 Unmanned Maritime Systems Handling, Operations, Design
Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Training and qualification of UMS operators General qualification precepts UMS operators should preferably have a base qualification attained under an international maritime qualification system equivalent to that undertaken by crew or command of comparable civil or military vehicle/ship operating in similar operating envelope. Major training focus areas: Type specific UMV knowledge. 2) Navigation. 3) Manoeuvring. 4) Emergency procedures. 5) Situational awareness. (Sense and Avoid) 6) Control hand over. 7) Launch and recovery procedure. 8) Maintenance procedures. 9) Mission set up and planning and other Base station functions.

21 Maritime Sense and Avoid Systems and Technologies
Many questions! What is available? For what purpose ? For which type of UMS vehicle? For which type of UMS control ? Does it achieve ”proper lookout” clause?

22 Maritime Sense and Avoid Systems and Technologies
Study deliverables SA system technology stock taking Market survey of available SA system technology. Organised in accordance with logical scheme, taking into account type of technology, sensor type, UMS type, size, mission, Policy and Control etc 2) Draft SA Policy Draft sense and avoid policy to define requirements of SA system against UMS method(s) of control and operational envelop. 3) Standard SA system specifications Outline standard specifications of SA systems 4) Demonstration Final study activity to demonstration of one or more SA systems. Will include real sea trial. Study partners:

23 Final words

24 Unmanned Maritime Systems Handling, Operations, Design
SARUMS scope of work in summary Find information, organise and document: UMS terminology and definitions Maritime regulations Autonomy and control Sense and avoid Risk and hazards Control measures Verification, training Certification Best Practice Guide Unmanned Maritime Systems for Handling, Operations, Design and Regulations Current page count: 130 SARUMS group will: Finalise and deliver best practice guidelines for safe UMS design and operations

25 SARUMS network - contributing organisations
Belgian Navy Belgium Bundeswehr Germany Law Faculty - University Trier Germany Fraunhofer-Institut Germany Germanischer Lloyd Germany Finnish Navy Finland DGA France SIREHNA France DCNS France Italian navy Italy DMO Netherlands Porto University Portugal FMV Sweden TKMS Sweden Saab Sweden ASV UK BMT UK National Oceanography Centre UK QINETIQ UK Frazier-Nash Consultancy UK Seaspeed UK Blue Bear UK US Coastguard USA US Navy USA Bluefin Robotics USA Liquid Robotics USA NATO Seaway Mobility team International Bar Association Maritime and Transport Law Committee EDA OCCAR

26 SARUMS network Anyone who would like to: contribute to the work
receive information attend meetings be a part of the network join the SARUMS group should inform their interest by sending an to:


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