1 INTRODUCTION
1.1 Aim
These Guidelines have been developed to assist relevant authorities and relevant
stakeholders with ensuring that the trials of Maritime Autonomous Surface Ships
(MASS) related systems and infrastructure are conducted safely, securely and with
due regard for protection of the environment.
1.2 Scope and application
1.2.1 These Guidelines provide guidance to:
1.2.2 These Guidelines should be used when conducting trials of MASS-related systems
and infrastructure. The term "trial" means an experiment or series of experiments,
conducted over a limited period, in order to evaluate alternative methods of
performing specific functions or satisfying regulatory requirements prescribed by
various IMO instruments, which would provide at least the same degree of safety,
security and protection of the environment as provided by those instruments.
1.2.3 The obligations and responsibilities of the relevant authorities with respect
to MASS trials are established by the individual instruments. It is the
responsibility of the flag State Administration to authorize a ship to participate
in a trial. Where necessary, authorization should also be obtained from the coastal
State and/or port State Authority where the trial will be conducted.
2 PRINCIPLES AND MAIN OBJECTIVES
Trials should be conducted in a manner that provides at least the same degree of
safety, security and protection of the environment as provided by the relevant
instruments. The following objectives are provided to guide relevant authorities and
stakeholders when planning, authorizing and conducting trials of MASS-related
systems and infrastructure.
2.1 Risk management
2.1.1 Trials should address the risks to safety, security and protection of the
environment. The risks associated with the trials should be appropriately identified
and measures to reduce the risks to as low as reasonably practicable and acceptable
should be put in place.
2.1.2 Appropriate and effective emergency plans and measures should be established
based on the results of the risk assessment to reduce the impact of any foreseeable
incidents or failure.
2.1.3 Trials safety should be continuously evaluated, and trials should be suspended
or stopped where safety parameters are exceeded.
2.2 Compliance with mandatory instruments
2.2.1 Compliance with the intent of mandatory instruments should be ensured.
2.2.2 The scope of application of mandatory instruments, including provisions for
exemptions and equivalencies, to a ship involved in a MASS trial should be
determined by the flag State Administration in accordance with those instruments.
Such determination should take into account the objectives of the trial, the
anticipated capabilities and limitations of the ship and related systems and
infrastructure during the trial, and the risk control measures adopted for the
trial.
2.3 Manning and qualifications of personnel involved in MASS trials
2.3.1 Appropriate steps should be taken to ensure that the intent of minimum manning
requirements is met.
2.3.2 Onboard or remote operators of MASS should be appropriately qualified for
operating MASS subject to the trial.
2.3.3 Any personnel involved in MASS trials, whether remote or onboard, should be
appropriately qualified and experienced to safely conduct MASS trials.
2.4 Human element (including monitoring infrastructure and human-system interface)
For the safe, secure and environmentally sound conduct of MASS trials, the human
element should be appropriately addressed.footnote The trial should consider the human-system interface
as harmonization between human centred design and automation is a key component of
MASS.
2.5 Infrastructure for safe conduct of trials
2.5.1 Proper infrastructure should be established to provide for the safe, secure and
environmentally sound conduct of MASS trials. In this regard, appropriate strategies
should be implemented to mitigate the effects of incident and/or failure of systems,
technology and testing. These strategies should include the ability to respond to
emergencies.
2.5.2 Information related to the ship's performance and the basis of judgement by
automated systems should be available to any personnel involved in MASS trials,
whether remote or onboard.
2.6 Trial awareness
Reasonable steps should be taken to ensure that potentially impacted third parties
are informed of the trial of MASS systems and infrastructure.
2.7 Communications and data exchange
An appropriate means for communications and data exchange, including redundancy,
should be provided for the safe conduct of the trial.
2.8 Reporting requirements and information sharing
2.8.1 Details of trials should be reported to the relevant authorities, as
appropriate, as early as practicable, so as to enable the dissemination of
information on the trials to all impacted third parties in the specified area.
2.8.2 Reporting requirements as included in IMO instruments should be complied with.
2.8.3 Relevant authorities are encouraged to report the results and lessons learned
from trials to the Organization through appropriate means.
2.8.4 All stakeholders involved in trials are encouraged to share relevant
information, as appropriate.
2.9 Scope and objective for each individual trial
Each individual MASS trial should have its scope and objective specified.
2.10 Cyber risk management
Appropriate steps should be taken to ensure sufficient cyber risk management of the
systems and infrastructure used when conducting MASS trials.