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:

27. UMS - AS SAFE AS MANNED