SAFETY AND REGULATIONS FOR UNMANNED MARITIME SYSTEMS Prepared for Unmanned Surface Vessel Regulation Conference Southampton October 2016 Magnus Örnfelt FMV SWEDEN Chairman SARUMS work group magnus.ornfelt@fmv.se
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) and supported by European Defence Agency. Objectives To organise and document information on technology, safety, rules and regulations for Unmanned Maritime Systems. Establish a best practice guidance for design and operations for Unmanned Maritime Systems that recognises their operational usage and the needs of maritime users. The SARUMS group has members from Belgium, Finland, France, Germany, Netherlands, Italy and Sweden.
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 and regulations Uncertainties of applicability to conventions such as UNCLOS, COLREGS, Salvage Convention and LLMC and liability issues Any incident would make owner and operator open to legal challenge Technology challenges exist in many areas such as Situational awareness including sense and avoid and in maintaining communication link for UMS reporting and for radio watch SARUMS work covers all issues above
SARUMS Group Highlights of Achievements Discussed terms and scope (2009-2010) Established SARUMS as part of UMS program 2011 Produced first outline Guidance Document: Best practice guide for UMS handling, operations, design and regulations. Held well attended 1:st workshop April 2012 Initiated Sense & Avoid Technologies study *) Held well attended 2:nd workshop March 2014 Initiated UMS Liability & Legislation study *) Produced Final Draft of Best Practice Guidance 2015 Adopted new work assignment on UMS standardisation *) EDA OB funded
Best Practice Guide: Basic UMS definitions 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) 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. Unmanned Underwater Vehicles (UUV) 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 Length [m] Small 1-12 Medium 12-24 Large >24 Category Low end < 100 High end >100 Distance [Nm] Category Man Portable Light Weight Heavy Weight Large Weight [Kg] < 45 (<100 lbs), < 200 (~500 lbs), < 1000 (~3000 lbs) < 10000 (~20,000 lbs) Category Speed [knots] Low end < 30 High end >30 Category Energy [1/2mv 2 ] I 0-100 II 101-1000 III 1001-10000 IV > 10001
Terminology and Definitions UMS structure Platform Seagoing part (or parts) of the system. PLATFORM (UMV) Vehicle Mission Equipment Communication Control station Equipment needed for remote control and monitoring of one or several Platforms. CONTROL STATION Vehicle control Mission Equipment control Communication Support system Maintenance equipment, Documentation, Spares, LARS and other logistics. SUPPORT SYSTEM Launch and recovery equipment Maintenance equipment Logistics Personnel Personnel that are mainly involved with activities within Control Station System and Support System. PERSONNEL Owner Authorised control entities Operators
Terminology and Definitions Method of control (Method 5) Autonomous The UMV will sense environment, define actions, decide and act. On-board system invokes functions without informing the operator. (Method 4) Monitored Alternative description: Reportive (UMV reports action). On-board system invokes functions without waiting for (or expecting) a reaction from the operator. (Method 3) Delegated Alternative description: Declarational (UMV declares intention) or Management by Exception. Authority to invoke functions is transferred to on-board system. The operator has the option to object (veto) intentions declared by the UMV during a certain time. (Method 2) Directed Alternative description: Permissive (UMV suggests/asks for permission) or Management by Consent. UMV has degree of on-board cognitive capability and suggest one or several actions. The authority to make decisions is with the operator. (Method 1) Operated Alternative description: Remote control, Tele-operation or Manual Operation. Cognitive functionality is within the human operator. The operator makes all decisions, directs and controls all vehicle and mission functions. OPERATOR ON BOARD (Function)
Best Practice Guide for Design and Operations Programmatic safety precepts Program management principles and guidance that will help ensure that safety is adequately addressed throughout the lifecycle process. Safety management System safety analysis Hazards and Risks Environmental management Operational safety precepts Safety precept directed at system operation. Operational rules that must be adhered to during system operation. 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 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. General Performance Hazardous situation management Platform considerations UUV specific platform aspects Support system considerations Control Station Platform Control System Communications Link Mission equipment considerations Weapons system considerations
Best Practice Guide for Design and Operations Verification Highlighting and describing significant UMS verification areas: Integration in sea traffic Navigation and manoeuvring Reliable communication including communication loss procedures Adequate situational awareness and collision avoidance Operator interaction with Control station and control functions Safe performance and conduct for human interaction Etc. 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.
UMS Code of conduct Safety ensure that our UMS is as safe as a manned equivalent not operate UMS in a manner that presents undue risk to persons, property or environment ensure operator properly trained and competent ensure UMS is equipped with sufficient sense and avoid system to meet navigational rules and regulations and to avoid collision with other water users Professionalism comply with all international, national and local laws, ordinances, covenants operate our systems as responsible members of the maritime community Respect respect the rights of other water users respect the privacy of individuals respect the concerns of the public as they relate to unmanned vehicle operations. support improving public awareness and education on the operation of UMS
UMS Sense and Avoid Policy AIM Policy to ascertain UMS SA capability will comply with applicable mandates to maintain safety of navigation and protection of life at sea. To achieve an UMS capable of operating as safe as manned vehicles of equivalent class or category. Process defined with influence factors to go through: o Concept: UMS Sense and Avoid System Design & Configuration; Understanding the drivers of UMS SA capability and validation of the capability for the intended mission. o Concept: UMS Sense and Avoid Mission Planning; The role of planning in understanding of the operating environment, collision hazards and the effects of mission upon SA requirements. o Concept: UMS Sense and Avoid Capability in the Operational Environment; Ensuring that the available UMS SA capabilities are sufficient to enact collision avoid against the required mission operating needs, including the effect of environmental influences.
Conclusions with regards to UMS legal status Maritime law Customary international law including State practice, international conventions and decisions of international courts are the main sources of international law. These cannot provide, directly, an answer to the question of UMV* status under international law because they were not developed with UMVs in mind. UMV are not mentioned in International codes and conventions such as: SOLAS, UNCLOS, COLREGS, LLMC, MARPOL, STCW, ISM etc. Ship, vessel, equipment? If UMV not regarded as ship, most codes would not be applicable National law determines if an UMV is a ship Not much uniformity between States as legal definition of ship indicates significant differences *) UMV: Unmanned Maritime Vehicle
Conclusions with regards to UMS legal status Recommendations from the Liability study 1] In international organisations such as the IMO, explore the potential inclusion of UMVs within appropriate and easilyamended shipping regulations 2] Develop, in parallel and until these regulatory amendments are successful, an internationally accepted set of guidelines for UMVs which will work as a prototype for states to provide licencing for UMV operations
Unmanned not just military interest 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
Revised definition Autonomous ship or Unmanned vehicle (UMV) is defined as a maritime craft, vehicle, vessel or ship that has category (A) functions under non-manual control. (B) and (C) functions may be manned. Functions: A) functions related to maritime safety B) functions related to purpose, operation, task or mission C) other functions Definition still under discussion!
Denmark
Finland Collaborative research funding sponsored by Tekes Government priority Longer term aim to facilitate testing in national waters Autonomous ship sailing in the Baltic Sea by 2025 AAWA* project *) Advanced Autonomous Waterborne Application
Norway
Sweden Established forum for Autonomous ship exploration with Industry, Ship owners, Maritime research organisations and Maritime Safety Administration Pre-study and report Autonomous safety on vessels issued July 2016 http://www.lighthouse.nu/sv/node/4051 New project under preparation Sensor to replace manning Bridge automation and decision support Information exchange standard and AIS Regulations and legal aspects Simulation At sea trials Conference 5-6 December 2016 (Gothenburg) Autonomous vessels a higher degree of autonomy for increased safety http://www.lighthouse.nu/sv/node/4051 To include also exploration of synergy between autonomous systems Air, Sea and Land
VOLVO TO START TEST 2017!
Autonomous cars The Vienna Convention is one important legal framework affecting autonomous driving Article 8, Drivers, paragraph 5 states: Every driver shall at all times be able to control his vehicle or to guide his animals. Article 13, (Speed and distance between vehicles), paragraph 8 states: Every driver of a vehicle shall at all times have his vehicle under control so as to be able to exercise due and proper care and to be at all times be in a position to perform all the maneuvers required of him. The interpretation of this varies between different countries: 1. Driver capable of being in control. 2. Driver must be in control at all times.
Autonomous cars Vienna convention For the countries that interpret the VC as the Driver must always be in control : Amendments are needed in order to make highly and fully automated systems legal. Applies to Germany, France, Italy, and other countries For the countries that interpret the VC as the Driver must be capable of being in control : No amendments or changes are needed. Applies to Sweden UK has not ratified the Vienna Convention. Activities are ongoing to update the VC but may take time.
Autonomous cars Liability issues Product Liability: For SAE levels 4 and 5; if the driver has handed over control to the vehicle. The driver has no responsibility for the driving liability rests with the manufacturer. For SAE level 3; shared control. Vehicle responsible for monitoring but driver is fallback liability situation is unclear Criminal Liability: If vehicle is in control and causing harm: In Europe: o Driver may be charged with negligence. In the US: o If no speeding or drunk driving no CL charge
Autonomous ship Unmanned Maritime Systems Maritime Autonoums Systems Status of today in summary
Conclusions with regards to safety and regulation UMS needs regulatory framework in which their design and operation can be assessed Owners needs to understand how to define requirement Industry needs to be able to demonstrate compliance Operator training needs guidelines of what would qualify as properly trained and suitably qualified personnel Positive response to this amongst Maritime community Several EU and worldwide efforts in place to achieve this SARUMS group has become focal point for many of these
Conclusions with regards to safety and regulation International approach would enhance acceptance and interoperability Disorder in terminology and definitions calls for standards In recent years - Explosive interest for merchant ships as autonomous ships - Clearly Civil-military synergy Potential great benefit to co-ordinate autonomous vehicle Problems, Solutions, Technology and Legislation cross transport sector (air-land-sea)
Thank you for the invitation to much warmer climate Stockholm last week
UMS - AS SAFE AS MANNED