Understanding and applying the International Regulations for Preventing Collisions at Sea to autonomous maritime systems.
COLREGs Operator Guidance Framework
This Framework helps operators and other stakeholders to understand how COLREGs applies to specific vessels and operations, the capabilities required by each rule, and the evidence required to demonstrate compliance.
Autonomous and remotely operated vessels need to comply with COLREGs*, which are the “rules of the road” aimed at preventing collisions at sea. It can be hard to work out how COLREGs apply to autonomous and remotely operated vessels, because the rules assume a vessel will have people on board who can perceive their environment and make decisions.
TAS and Frazer-Nash Consultancy (a KBR company) have collaborated to create the COLREGs Operator Guidance Framework, which helps operators and other stakeholders to understand how COLREGs applies to specific vessels and operations, the capabilities required to comply with applicable rules, and the evidence type that should be used to demonstrate compliance.
The COLREGs Operator Guidance Framework is available for standalone use, or as an Annex to the Australian Code of Practice for the Design, Survey, Construction and Operation of Autonomous and Remotely Operated Vessels.
*Convention on the International Regulations for Preventing Collisions at Sea, 1972 (COLREGs)
Understanding COLREGs
Autonomous and remotely operated vessels face unique challenges when it comes to complying with maritime regulations. They must comply with COLREGs, the “rules of the road” for preventing collisions at sea.
The Convention on the International Regulations for Preventing Collisions at Sea 1972 (COLREGs) governs the conduct of vessels on the high seas and connected waters navigable by seagoing vessels. As autonomous vessels become more prevalent, understanding how COLREGs apply is critical for developers, operators and regulators.
The RAS Gateway has developed a framework document that walks through each relevant COLREGs rule and explains its application to autonomous maritime systems, highlighting where compliance is straightforward, where it is ambiguous, and where new guidance is needed.
The COLREGs Operator Guidance Framework was developed by TAS in collaboration with Frazer-Nash Consultancy (a KBR company) to help operators demonstrate compliance with these critical safety regulations.
The COLREGs Operator Guidance Framework translates the stated and unstated capabilities described, and the terminology used, in COLREGs into a vocabulary and format that makes sense for autonomous and remotely operated vessels. It is intended to be an enabling framework to:
- Help vessel designers understand what capabilities COLREGs requires vessels to have;
- Help operators understand what capabilities COLREGs requires and how mission planning can mitigate or remove the need for solving some of the more complex elements of COLREGs; and
- Help regulators apply a consistent methodology for assessing the capability of a vessel with regards to COLREGs.
Using the COLREGs Operator Guidance Framework
The COLREGs Operator Guidance Framework (‘COLREGs Framework’) helps operators and other stakeholders to understand how COLREGs applies to specific vessels and operations, the capabilities required to comply with applicable rules, and the evidence type that should be used to demonstrate compliance.
COLREGs is a collection of rules, many of which will either apply or not apply based on three key factors: core function of the vessel (i.e. hydrographic survey, surveillance etc), vessel features (length, beam, engine power etc), and where the vessel is operating (i.e. open sea, traffic lanes, narrow channels). The combination of vessel function, vessel features, and where the vessel is operating will determine the rules that apply.
Activities
- The vessel core function, such as hydrographic survey, reef monitoring, surveillance, mine detection, mine clearance fishing boats and pipe-laying ships
- Vessel Feature: Physical feature such as: length, beam, draught, rudder side and engine power
- Navigation Scenarios: Where the vessel is operating, such as open sea, traffic lanes or narrow channel
The COLREGs Framework sets out the individual rules, interprets their ‘essence’, being what they mean for autonomous and remotely operated vessels, identifies the applicability, the context, the capabilities required on the vessel and/or control centre to comply with the rule, and then identifies the evidence recommended to be provided to demonstrate compliance with that rule.
Rule – States the rule number and name
Essence – Provides an interpretation of the rule in the context of an autonomous or remotely operated vessel
Applicability – Explains when the specific rule will be applicable
Context – States the context of when the rule is applicable
Capabilities – States the capabilities required to comply with the rule
Mission Constraints – The rule does not apply if you fall within this vessel type and mission constraint
Evidence – Proposes the evidence required to demonstrate compliance with a specific rule
The COLREGs Operator Guidance Framework is recommended for use when you have a specific vessel and proposed operation already in mind. It can either be used manually, or you can use the COLREGs Operator Guidance Tool to generate a personalised version. The information below is written with manual use in mind, but will still be helpful for a person using the Tool. The process to follow is:
- Download and print out the COLREGs Operator Guidance Framework in A3 colour
- Download and fill out the Design Record Template, to ensure you have documented the capabilities of your vessel
- With your vessel particulars and the details of your proposed operation in mind, review the framework document, reading from left to right, and identify:
- a. When each rule in COLREGs applies (i.e. some only apply in specific contexts like when in Narrow Channels)
- b. The capabilities required to comply with each specific rule, broken down into the categories of Sense and Perceive, Decide, and Act (noting that these could be in the vessel, the control centre, or a combination)
- c. Mission constraints that could be implemented if you don’t have the capabilities to comply with a specific rule, to remain in compliance (for example, if you don’t have the capabilities needed to comply with Rule 9 – Narrow Channels, you may plan to avoid narrow channels, and therefore remain in compliance with COLREGs)
- d. The suitable method of compliance for each rule (for example, for Rule 5 – Lookout, the proposed evidence of compliance is Design Checklist and Simulation)
- Review your analysis, and prepare for own records a list of applicable rules for your vessel and proposed operation, corresponding required capabilities, any operational limitations that need to be imposed, and the recommended evidence type. You may then wish to provide your filled out Design Record and your analysis against the COLREGs Operator Guidance Framework to AMSA to support your application for exemption and/or certification. You can also review it when conducting operational planning to ensure you remain COLREGs compliant.
Further guidance materials, examples, and an instructional video will be released to support the use of the COLREGs Operator Guidance Framework in the coming months.
Explore how COLREGs apply to autonomous vessels
RAS Gateway contains two separate features to help you understand COLREGs, how the rules apply to autonomous and remotely operated vessels, and how to use operational planning to steer which COLREGs apply.
The COLREGs Explorer Page lets you explore the COLREGs rules including what they mean for the autonomous and remotely operated vessels and the sort of capabilities they require. This is particularly useful to get a feel for COLREGs, and for when you may not have a specific vessel and proposed operation already in mind.
The COLREGs Operator Guidance Tool enables you to input details of your vessel and proposed operation and then generate a tailored version of the COLREGs Operator Guidance Framework. This is particularly useful for operators with a specific vessel and proposed operation in mind, and will inform your regulatory approach and operational planning. It is also useful for third parties seeking to confirm applicable rules, capability requirements and evidence types.
Using the Framework
The COLREGs framework can be explored by three primary dimensions:
By Activity
Explore how COLREGs rules apply based on what the vessel is doing transiting, surveying, recovering, etc.
By Vessel Features
Explore how COLREGs rules apply based on the vessel type, propulsion, size and lighting configuration.
By Navigation Scenarios
Explore the rules that apply in head-on, crossing and overtaking situations, as well as in restricted visibility.
Framework Overview
Rule Applicability
Understand which COLREGs rules apply to your specific vessel type and operational context.
Capability Requirements
Identify the technical capabilities your vessel needs to comply with each applicable rule.
Evidence Requirements
Learn what evidence is needed to demonstrate compliance to regulators and surveyors.
COLREGs Resources
COLREGs Briefing Note
Overview of COLREGs requirements for autonomous vessels.
Compliance Workbook
Interactive Excel workbook for tracking compliance.
Design Checklist
Design record template