Autonous Ship architecture operation
Autonous Ship architecture operation
1
SINTEF Ocean, Otto Nielsens veg 10, 7052 Trondheim, Norway
2
Corresponding author, e-mail: Lars.Andreas.Wennersberg@sintef.no
Abstract. The Concept of Operations, or ConOps, has become a central document for the
specification, design and approval of autonomous ship systems and operations in the absence of
prescriptive rules and regulations. The flexible structure of the ConOps and the fact that it is
written in prose text makes it very accessible for all involved stakeholders, but also prone to
discrepancies between the descriptions and the actual design. This paper proposes a description
framework, for autonomous ship systems and operations, that covers the information items
requested through the ConOps. The proposed framework has the potential to facilitate
development of a formalized ConOps, which in turn could lead to a standardization of the current
approval procedures for autonomous ship systems and operations.
1. Introduction
The development of autonomous ship systems is to a large degree driven by the need to improve
the sustainability and cost-effectiveness of zero-carbon shipping. The shift from conventional to
autonomous shipping will have a significant impact on how ships interact with their surroundings.
We expect that the autonomous ships will be designed to fit much more effectively into supply
chains and logistics systems [1]. We also expect more automation and increased digital
communication in ports and fairways. New interactions with onshore personnel that take over
functions from the traditional ship crew will also be introduced, and the interaction between ships
with and without crew onboard will need careful considerations. This and other elements in the
automated ship’s surroundings will require new communication principles and mechanisms. We
expect an extensive shift from voice communication to digital information exchanges between
automated entities.
The transition from conventional to autonomous shipping is challenging. The enabling
technologies for autonomous ship systems are largely untested and technology development runs
in parallel with implementation projects [2]. Issues with integration of technical systems has always
been a challenge in the maritime industry, and these issues are not expected to diminish for
autonomous ships. A tighter integration with shore-based systems adds on to the complexity of
both the systems and operations. We expect that few, if any, large autonomous ships will operate
completely without human control in the foreseeable future, but they will have personnel placed
onshore both for supervision and control. Lack of crew onboard the ship will also require us to re-
think how daily maintenance activities shall be carried out [3]. There are several regulatory gaps
both on a national and international level. There are no prescriptive rules and regulations neither
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Published under licence by IOP Publishing Ltd 1
The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
for ships nor for equipment, and the definitions and responsibilities of the master, crew and
responsible person used in conventional shipping are not defined for autonomous shipping [4].
The purpose of this paper is to provide a systematic framework for description of autonomous
ship systems and operations. The target group of the framework are the stakeholders involved in
the design and specification, the approval, and the implementation of autonomous ship systems.
The proposed framework is a result of ongoing work with development of a design standard and a
holistic design methodology for autonomous ship systems and operations in the AUTOSHIP project
[5]. The objective of the framework is to support a structured way of organizing information
throughout the design process and the corresponding approval activities, as well as to lay the
foundation for detailed design activities, system implementation, testing and final approvals.
The framework is needed for several reasons. Development of new technology that supports
crew reductions onboard ships need clear and consistent descriptions of the relationships between
the physical components and the roles of the human actors in the autonomous ship system. The
system context is a critical part of the system design as it will define the system boundary and the
most important communication paths. The definition of the components that are inside or outside
of an autonomous ship system will have a major impact on the context.
The difference between the autonomous ship system and its context needs to be well understood,
and higher degrees of automation and integration of the system into specific supply chains and
logistics systems will require more context awareness during the design process compared to
conventional ship design processes.
In the following sections, we will discuss the expected approval process for autonomous ships
and analyse the information items that the authorities request through the Concept of Operations.
We will explain how the description framework is built up and discuss the advantages of adopting
the framework for design and approval activities.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
Alternatives and Equivalents [12] is thus the current norm for the design, the implementation
and the approval of autonomous ship systems. The Norwegian Maritime Authority (NMA) has as
a response issued a more specific circular [13] that is aligned with the IMO guidelines.
We do not expect that rules and regulations will be developed and made available for the
industry within short time, as the scoping and drafting exercises within IMO are time-consuming
processes. This will lead to many challenges and complications in the approval process of
autonomous ship systems that will be time consuming and costly for the involved stakeholders if
not managed in a structured and systematic way. Type approvals for new technology and equipment
are not possible within the current regime. We expect more testing of both individual systems and
integration testing prior to final approvals at commissioning and sea-trials. It is also likely that the
ship needs to be approved together with the system, at least for those components that are tightly
linked with the control and monitoring strategy. This leads to a case-by-case approval regime,
where the autonomous ships cannot be easily relocated to another operating area without
reapprovals. It also indicates that it probably not will be allowed to generalize the approval process
of a ship, but perhaps parts of it.
Whereas the approval process primarily is concerned with the safety and the security of
autonomous ship systems and operations, we expect that cost-effectiveness and sustainability
aspects will be more closely linked compared to today's conventional ship regime. As cost-effective
and sustainable operations are the primary motivation of the development initiatives, these aspects
will play an increasingly significant role when designing out and mitigating safety and security
hazards. We do not want autonomous ship systems that reduces the cost-effectiveness or worsens
the environmental impact of shipping operations, unless there are special circumstances where a
"higher than normal" safety and security level is desirable.
A key challenge is to precisely communicate all aspects of the autonomous ship system and
operations that are relevant for the approval activities, and understandable for a wide range of
involved stakeholders. For this purpose, the Concept of Operations has become a central document
for the specification of autonomous ship operations in the absence of both international and national
rules for the design, building and operation of autonomous ships.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
document that is maintained throughout the life cycle of the autonomous ship system. It is to be
expected that the detail level will increase as the available information base is improved and the
uncertainties reduced.
Table 1. Summary of information elements requested in the Concept of Operations.
1 Physical characteristics of ship - major system elements and how they are connected and interact,
performance characteristics.
1.1 Size, speed, cargo type and capacity, cargo handling.
1.2 Steering, propulsion, energy storage and capacity, endurance.
1.3 Navigation system, sensors, position fixing systems and accuracy, detection capabilities.
1.4 Hull integrity, stability, hull strength.
1.5 Fire protection, cargo monitoring.
1.6 Communication systems.
2 External supporting systems during normal operations. Performance characteristics.
2.1 External sensor or positioning systems.
2.2 External automation in port for cargo, cold ironing, berthing.
2.3 Planned response services, tugs, escort.
3 Crew, passenger and others on board
3.1 How persons can enter ship.
3.2 How safety of persons is catered for.
3.3 Life support systems, if any.
4 Remote Control Centre.
4.1 Features of RCC if in use, manning levels, location, redundancy.
4.2 Communication systems for safe control.
4.3 Forms of human-machine interfaces where applicable.
4.4 Mechanisms for coordination of ship automation, ship crew and RCC personnel.
5 Communication with other ships, VTS, MRS.
5.1 Responsibilities for communication (RCC, automation, other).
5.2 Procedures and preparedness.
6 Functions and operations.
6.1 Intended area of operation, significant phases in operation and voyage, operational
environment and characteristics, limitations and restrictions.
6.2 Functions to be performed during operations and voyage.
6.3 Operational risk factors, including e.g. traffic density, environmental conditions, geography.
6.4 Division of responsibility between human and automation in the different functions/phases of
operation ("degree of automation/control/autonomy").
6.5 Additional support where applicable, e.g. incidence response, planned response.
6.6 Fallback solutions, minimum risk conditions.
7 Recovery, incident and emergency preparedness.
7.1 Incident or emergency preparedness systems and plans.
7.2 Towage, on board recovery teams.
8 Safety management system.
8.1 Logistics management.
8.2 Operations planning.
8.3 Operational procedures and responsibilities.
8.4 System health monitoring and system maintenance plans and facilities.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
The advantage of the ConOps is that the format is very accessible for all stakeholders. It is normally
written in prose text and the structure is flexible. However, as the objective of the document also
is to facilitate precise communication of a specific design between the involved stakeholders, the
format has some shortcomings.
The use of prose text can be subject to individual interpretations. Information in the document
will be transferred from prose text into other engineering systems and tools, and back again.
Discrepancies between the ConOps description and the actual design could easily occur, causing a
mismatch between the design intention, the approval basis and subsequently the acceptance criteria.
The question whether this can be avoided has led to the question whether it is possible to formalize
the ConOps, and subsequently the identification of the need to have a framework for description
of autonomous ship systems and operations.
The relationship between the four description documents that together constitutes the description
framework for autonomous ship systems and operations proposed in this paper, the scope of the
AUTOSHIP design methodology and the scope of the ConOps is illustrated in Figure 1.
The objective of the autonomous ship system description, the system context description and the
operational envelope description is to provide a general overview of what the proposed design can
do. These three documents have a one-to-one relationship with the ConOps.
The objective of the scenario description is to provide an exact description of what the proposed
design shall do, and this must match the abilities and constraints defined in the descriptions of the
autonomous ship system, the system context, and the operational envelope. Note that the scenario
description is divided into two parts: General operations and supply chain and logistics. The
primary concern for the approval of a system design is related to the general operations part of the
scenario description, which is important for the safety and security analysis.
The supply chain and logistics part will contain specific details of the intended operation,
including more details on cargo flows and the overall logistics model. If the ship is moved to
another operation, it will in many cases be possible to change only the supply chain and logistics
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
part, if this is within the boundaries of the general operation. This would allow reapproval for a
new operation by only checking that these two documents are consistent. It should not be necessary
to go through a full approval process again. The AUTOSHIP design methodology will also evaluate
the sustainability and cost-effectiveness of the autonomous ship system, and for this purpose an
extensive supply chain and logistics description is needed.
The relationship between the description framework, the system objectives and the resulting
design is illustrated in Figure 2. The system objectives are the highest-level objectives for the
design of the autonomous ship system and its operations, and these form the input needed to start
the design and specification process. They are typically linked to the business and societal effects
of the resulting outcome of implementing the design [14]. One example of a system objective is to
reduce the cost per transported unit of goods, and another is to increase the frequency of goods
deliveries to customers from a biweekly to a weekly basis. The collection of the four description
documents is the design that will be subject to approval activities, and it will, if deemed
economically viable, safe and sustainable, be subject to further detailed design activities,
implementation, testing and final approvals. The following subsections will outline the structure of
each of the four description documents.
System objectives
Design
The process of identifying the general operations is supported by a systematic supply chain
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
analysis and a proposal for process subdivision. The systematic supply chain analysis supports
identification of use cases based on semi-structured interviews of stakeholders as well as analysis
of available quantitative data for the specific supply chain and logistics system in question [3]. The
process subdivision provides guidance on relevant operations, functions, and tasks in an
autonomous ship system divided into ship operations, ship management operations, inland
waterways operations, port operations, coastal operations and on-site operations [5].
Identification and categorization of general operations and use-cases into generic voyage phases
is not sufficient to describe the scenarios that the autonomous ship system shall be designed for.
The properties of each operation must also be linked to the actual voyage and the specific sailing
route which is described in the supply chain and logistics document. The general operations will
have to describe each class of voyage phases, e.g. characterized by maximum wave height,
visibility, duration etc.
In the supply chain and logistics document, the voyage is described using directed graphs with
nodes and edges [15]. Each node corresponds to a geographical position and each edge is a voyage
leg between two positions. This is illustrated in Figure 4. In the general operations these can be
described as general use cases with parameters as suggested above.
The voyage contains three main types of nodes. A location describes a factory, quay, or any
equivalence where the ship carries out activities such as loading and offloading of goods. An
obstacle is a location on the route where the ships needs to pass e.g. a water lock or bridge but does
not offload or load any goods. A waypoint separates two voyage legs that have different
characteristics. The objective of this description is to provide an accurate overview of the
operational area and the characteristics of all locations and voyage legs that the ship will be subject
to during operations.
The systematic supply chain analysis is also used to establish the voyage description, and much
of the information that is obtained in this analysis will also be leveraged to create the operational
envelope description.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
The operational envelope description is based on the high-level overview of the operations and
conditions identified in the general operations. Each scenario and operation consist of a set of
functions that can be further subdivided into specific tasks until an adequate level of details is
reached. All functions and tasks are subject to one or more operating conditions.
The conditions of the OE include weather complexity, traffic complexity and geographical
complexity in the temporal and spatial dimension of the operating area. The autonomous ship
system needs to be aware of changes in these conditions, and to be able to act in an appropriate
manner to ensure that it stays within the limits of the operational envelope boundary, or
alternatively fall back into a safe state or minimum risk condition outside the OE. Development of
the operational envelope description will require iterations over the autonomous ship system
description as it includes a description of the distribution of responsibility and transfer of control
between the components and roles defined in the autonomous ship system.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
The definition of the autonomous ship system proposed in the AUTOSHIP project is illustrated
in Figure 7 and a detailed description of the components and roles is given in [5]. The physical
components and roles within this definition has been selected based on the criteria of including the
components that are tightly integrated with the control and monitoring strategy of the autonomous
ship.
It should be noted that it is possible that both the number and types of components, as well as
the number of ships in the autonomous ship system could vary depending on the specific system
objectives.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
The description is divided into two parts. The first part contains a description of the shore-based
components and roles that the autonomous ship system interacts with. The second part of the
document contains a description of other ships that operate within the defined operating area of the
autonomous ship system. The essence of the system context description is to capture the
communication requirements between the autonomous ship system and the context components.
The definition of what is inside or outside the boundaries of the autonomous ship system is
subjective and likely to be influenced by the individual designer or design team. The selection of
the components that belong in the autonomous ship system creates the necessary boundary to define
the system context of the autonomous ship system. The definition of the system context proposed
in the AUTOSHIP project is illustrated in Figure 9.
Figure 9. Examples of components and roles in the context of the autonomous ship system [5].
A detailed description of these components and roles is given in [5], and it should be noted that
the system context only includes components that exchange information with the autonomous ship.
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The 3rd International Conference on Maritime Autonomous Surface Ship (ICMASS 2020) IOP Publishing
IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
Unknown objects in the water are not included as they are mapped through the traffic complexity
conditions in the operational envelope description.
5. Discussion
We believe that it is possible to formalize the ConOps, and the AUTOSHIP framework for
description of autonomous ship systems and operations proposed in this paper is the first step in
this process. The framework facilitates the use of a formal modeling approach, and even though it
might be impossible to avoid prose text descriptions completely, the shift towards a formal
description will most likely reduce discrepancies between the actual design and the design
descriptions. A formal description of the autonomous ship system and operations would also
facilitate effective reuse of information between different designs and allow us to create strong
links between the design description and the approval basis, the acceptance criteria and test results.
The structure of the proposed framework also has some features that lead us to believe that it is
possible to standardize parts of the approval processes. The high-level structure of the autonomous
ship system description, the system context description and the operational envelope description
will probably not change much from design to design. We anticipate that it is possible to create a
maximum template that only needs to be configured according to the contents of the scenario
description. This would allow for a more efficient process. This also has the implication that should
one decide to change the operating area of an already built autonomous ship in the future, then
reapproval would require that an updated scenario description is assessed and analyzed with the
already existing autonomous ship description, the system context description and the operational
envelope description.
The description of the operations in terms of the general operations description would also allow
a much simpler reapproval process, should the ship be moved to another operating area.
The use of a common description framework will allow us to compare designs in cost and
benefit analysis using the same basic structure. This also applies to safety, security, and
cybersecurity analysis that requires a well-defined description of roles and relationships between
the autonomous ship system components and its environment.
In a wider scope, a common framework for description of autonomous ship systems will ease
work on standardisation activities, which are considered as essential for successful implementation
of autonomous shipping. This particularly applies to the communication links between the
autonomous ship system and its context. Furthermore, a common description framework
complemented by a corresponding common terminology that is being developed for autonomous
and automated ships, will enable more consistent communication in the technical and scientific
community researching this area.
6. Conclusions
This paper has introduced a framework for description of autonomous ship systems and operations
that consists of four description documents: The scenario description, the operational environment
description, the autonomous ship system description and the system context description. The
contents of the description framework cover the information items that the authorities request
through the ConOps. The framework has the potential to facilitate development of a formalized
ConOps. This could in turn lead to a standardization of the current approval procedures for
autonomous ship systems and operations. Further research is required to validate the framework
through implementation and testing on specific use-cases.
Acknowledgements
The work presented in this paper is a result of a collaboration between the AUTOSHIP project
funded by EU Horizon 2020 with grant number 815012 and the AEGIS project funded by EU
Horizon 2020 with grant number 859992
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IOP Conf. Series: Materials Science and Engineering 929 (2020) 012004 doi:10.1088/1757-899X/929/1/012004
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