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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Committee on Coast Guard Maritime Domain Awareness A Consensus Study Report of PREPUBLICATION COPY—Uncorrected Proofs

Transportation Research Board Special Report 335 Subscriber Categories: Marine transportation; policy Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www. TRB.org or nationalacademies.org/trb, or by annual subscription through organi- zational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transporta- tion Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax 202-334-2519; or e-mail TRBsales@nas.edu). Copyright 2020 by the National Academy of Sciences. All rights reserved. Printed in the United States of America This publication was reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the National Academy of Medicine. This study was sponsored by the U.S. Coast Guard. International Standard Book Number-13: International Standard Book Number-10: Digital Object Identifier: Library of Congress Control Number: PREPUBLICATION COPY—Uncorrected Proofs

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, nongovernmental institu- tion to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the char- ter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and ad- vice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence- based information exchange, research, and advice regarding all modes of trans- portation. The Board’s varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their exper- tise in the public interest. The program is supported by state departments of transportation, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org. PREPUBLICATION COPY—Uncorrected Proofs

Consensus Study Reports published by the National Academies of Sciences, Engineering, and Medicine document the evidence-based consensus on the study’s statement of task by an authoring committee of experts. Reports typi- cally include findings, conclusions, and recommendations based on information gathered by the committee and the committee’s deliberations. Each report has been subjected to a rigorous and independent peer-review process and it represents the position of the National Academies on the statement of task. Proceedings published by the National Academies of Sciences, Engineering, and Medicine chronicle the presentations and discussions at a workshop, symposium, or other event convened by the National Academies. The statements and opin- ions contained in proceedings are those of the participants and are not endorsed by other participants, the planning committee, or the National Academies. For information about other products and activities of the National Academies, please visit www.nationalacademies.org/about/whatwedo. PREPUBLICATION COPY—Uncorrected Proofs

PREPUBLICATION COPY—Uncorrected Proofs v COMMITTEE ON COAST GUARD MARITIME DOMAIN AWARENESS Heidi C. Perry, MIT Lincoln Laboratory, Lexington, Massachusetts, Chair RADM Thomas J. Eccles (NAE) (U.S. Navy, retired), Trident Maritime Systems, Arlington, Virginia Jaye Falls, U.S. Naval Academy, Annapolis, Maryland Barry M. Horowitz (NAE), University of Virginia, Charlottesville Lauren J. Kessler, Draper Laboratory, Cambridge, Massachusetts Annette J. Krygiel, Independent Consultant, Great Falls, Virginia VADM Fred M. Midgette (U.S. Coast Guard, retired), Westlake, Ohio CDR Matthew Pickett (National Oceanic and Atmospheric Administration, retired), Oceans Unmanned, Santa Barbara, California Sean T. Pribyl, Gard AS, Arendal, Norway Charles E. Thorpe, Clarkson University, Potsdam, New York Transportation Research Board Staff Monica A. Starnes, Study Director, Consensus and Advisory Studies Thomas R. Menzies, Jr., Director, Consensus and Advisory Studies Anusha Jayasinghe, Associate Program Officer, Consensus and Advisory Studies

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PREPUBLICATION COPY—Uncorrected Proofs vii Preface Section 812 of the Frank LoBiondo Coast Guard Authorization Act of 2018 calls on the National Academies of Sciences, Engineering, and Medi- cine (the National Academies) to “prepare an assessment of available un- manned, autonomous, or remotely controlled maritime domain awareness technologies for use by the U.S. Coast Guard.” The full legislative request for the study is provided in Appendix A. To conduct the study, which was undertaken under the auspices of the Transportation Research Board (TRB) and its Marine Board, the National Academies appointed a committee of 10 experts in the fields of automa- tion and control; systems research, acquisitions, and integration; Coast Guard operations and mission support; naval engineering and architecture, cybersecurity, field applications of unmanned systems; and relevant legal, regulatory, and policy issues. This report represents the consensus efforts of these 10 individuals, who served uncompensated in the public interest. Their biographical information is provided in Appendix B. ACKNOWLEDGMENTS The committee met six times from September 2019 to June 2020 to gather information relevant to the study and to deliberate on the report contents, findings, and recommendations. Four of the meetings included briefings and discussions with experts from industry, academia, and numerous govern- ment agencies on existing and planned uses of unmanned systems, opera- tional issues, cybersecurity and mission support requirements, and requisite institutional and organizational structures.

viii PREFACE PREPUBLICATION COPY—Uncorrected Proofs The committee wishes to thank the following individuals for participat- ing in these briefings and making other contributions to the committee’s work. From the U.S. Coast Guard: LCDR Steven Arnwine, Operations Officer, USCGC Munro; Eric Downes, Deputy Chief Information Officer for Intel- ligence; CDR Maria Richardson, UAS Joint Program Office Super visor; RADM Matthew Sibley, Assistant Commandant for Capability; CDR Chad Thompson, Chief, Unmanned Aircraft Systems; and CDR Sara Wallace, Deputy, Office of Requirements and Analysis. The committee also wishes to thank Scott Craig, who served as the principal contact between the Coast Guard and the committee and coordinated information requests from the committee to offices within the Coast Guard, and William Carter, who pro- vided valuable information regarding the Coast Guard response operations for oil spills of national significance. From the U.S. Department of Homeland Security: Timothy Bennett, Science and Technology Directorate, and Joseph Wawro, Joint Require- ments Council. From the U.S. Navy: Donald McCormack, Naval Surface Warfare Center and Naval Undersea Warfare Center; Anthony Schmidt, Naval Air Warfare Center; CAPT Pete Small, Navy Unmanned Maritime Systems Program Office; and Jason Stack, Office of Naval Research. From other federal agencies: Francisco Castillo and Michael Romanowski, Federal Aviation Administration; RADM Tim Gallaudet, National Oceanic and Atmospheric Administration; Michael Ilmanen and Scott Millerand, Federal Bureau of Investigation; Bradley Koeckeritz, U.S. Department of the Interior; and John Sherman, Director of National Intelligence. From academia, research institutions, and industry: Peter Beling, Uni- versity of Virginia; James Bellingham and Glen Gawarkiewicz, Woods Hole Oceanographic Institution; Joseph Bondaryk, Apollo Autonomy; Steve Brodet, Hydroid; VADM Michael Connor, ThayerMahan Inc.; Francesca D’Arcangelo, MIT Lincoln Laboratory; Donald Siebers and Namrata Kolla, Vulcan Inc.; and Michael Smitsky, Association for Unmanned Vehicle Systems International. Monica A. Starnes directed the study and assisted the study committee in the preparation of this report under the guidance of Thomas R. Menzies, Jr. Anusha Jayasinghe provided support to the committee in arranging meetings. This report was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise. The purpose of this indepen- dent review is to provide candid and critical comments that will assist the National Academies in making each published report as sound as pos- sible and to ensure that it meets the institutional standards for quality,

PREFACE ix PREPUBLICATION COPY—Uncorrected Proofs objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The National Academies thanks the following individuals for their review of this report: Craig Allen, University of Washington School of Law, Seattle, Washington; Michael Connor, ThayerMahan, Inc., Groton, Connecticut; Mary Landry, U.S. Coast Guard (retired), Boston, Massachusetts; Thomas McNamara, Raytheon Missiles & Defense, Tewksbury, Massachusetts; John Montgomery, Center for Naval Analysis, Granite Falls, North Carolina; Alan Weigel, Blank Rome LLP, Lisbon, Connecticut; and Steven Wiker, ErgoTek, Inc., Nine Mile Falls, Washington. Although these reviewers provided many constructive comments and suggestions, they were not asked to endorse the committee’s conclusions and recommendations, nor did they see the final version of the report before its release. The review of the report was overseen by National Academy of Engineering members Chris T. Hendrickson, Carnegie Mellon University, Pittsburgh, Pennsylvania, and Chris G. Whipple, Consultant, Lafayette, California. Appointed by the National Academies, they were responsible for mak- ing certain that an independent review of the report was conducted in ac- cordance with institutional procedures and that all review comments were carefully considered by the committee. Responsibility for the final content of the report rests solely with the authoring committee and the institution. Karen Febey, Senior Report Review Officer, TRB, managed the report review process.

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PREPUBLICATION COPY—Uncorrected Proofs xi Contents Acronyms and Abbreviations xiii Executive Summary 1 1 Introduction 7 2 U.S. Coast Guard and Its Vital Missions 13 3 Unmanned Systems Context 29 4 Unmanned System Experience in the U.S. Coast Guard and Other Federal Agencies 43 5 A Vision and Framework for Exploiting Unmanned Systems 83 6 Moving Forward 101 Appendixes A Legislative Request 115 B Study Committee Biographical Information 117 C Invited Speakers at Committee Meetings 123 D Levels of Autonomy 125 E Legal and Policy Issues 135

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PREPUBLICATION COPY—Uncorrected Proofs xiii Acronyms and Abbreviations AEGIS Advanced, Efficient and Green Intermodal Systems ATON Aids to Navigation AUTOSHIP Autonomous Shipping Initiative for European Waters AUV Autonomous Underwater Vehicle BSEE Bureau of Safety and Environmental Enforcement C4&IT Command, Control, Communications, Computers, and IT CBP U.S. Customs and Border Patrol CG Coast Guard CONOPS Concept of Operations CRADA Cooperative Research and Development Agreement CREEL Cold Regions Research and Engineering Laboratory cUUV Counter-Unmanned Underwater Vehicles DARPA Defense Advanced Research Projects Agency DASN (UxS) Deputy Assistant Secretary of the Navy for Unmanned Systems DCMS Deputy Commandant for Mission Support DCO Deputy Commandant for Operations DHS U.S. Department of Homeland Security DOD U.S. Department of Defense DOI U.S. Department of the Interior DOJ U.S. Department of Justice

xiv ACRONYMS AND ABBREVIATIONS PREPUBLICATION COPY—Uncorrected Proofs EEZ Exclusive Economic Zone EPA U.S. Environmental Protection Agency FAA Federal Aviation Administration FBI Federal Bureau of Investigation FORCECOM Force Readiness Command FY Fiscal Year GPS Global Positioning System HQ Headquarters ICAO International Civil Aviation Organization IMO International Maritime Organization IOC Interagency Operations Center ISO International Organization for Standardization ISR Intelligence, Surveillance and Reconnaissance JIATF-S Joint Interagency Task Force South LIDAR Light Detection and Raging MARAD Maritime Administration MASS Maritime Autonomous Surface Ship MDA Maritime Domain Awareness MER Marine Environmental Response MIT Massachusetts Institute of Technology MUST Maritime Unmanned System Technology NAVSAC U.S. Navigation and Safety Advisory Committee NAVSEA Naval Sea Systems Command NIST National Institute of Standards and Technology NOAA National Oceanic and Atmospheric Administration NSC National Security Cutter OAS Office of Aviation Services OSD Office of the Secretary of Defense OTA Other Transaction Authority PATFORSWA Patrol Forces Southwest Asia PC&I Procurement, Construction, and Improvements PWCS Port, Waterways and Coastal Security

ACRONYMS AND ABBREVIATIONS xv PREPUBLICATION COPY—Uncorrected Proofs R&D research and development RAM reliability, availability, and maintainability RDC Research and Development Center RDT&E Research, Development, Test, and Evaluation ROS2 Next Generation Robot Operating Systems S&T Science and Technology SAR Search and Rescue SAROPS Search and Rescue Optimal Planning System sUAS Small Unmanned Aerial System TSA Transportation Security Administration UAS Unmanned Aerial (or Aircraft) System UMS Unmanned System (as per NIST) UMV Unmanned Maritime Vessel (or Vehicle) UNCLOS United Nations Convention for the Law of the Sea USAF U.S. Air Force USN U.S. Navy USV Unmanned Surface Vessel UUV Unmanned Underwater Vehicle (or Unmanned Undersea Vehicle) UxS Unmanned System UxV Unmanned Vehicle VHF Very High Frequency ViDAR Video Detection and Ranging VTOL Vertical Takeoff and Landing

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As unmanned systems (UxS) continue to develop and be used by other military services and federal agencies, the U.S. Coast Guard should proceed more aggressively and deliberately in taking advantage of UxS advancements, says a new congressionally mandated report from the National Academies of Sciences, Engineering, and Medicine.

The Coast Guard should also produce a high-level strategy with critical goals and actionable steps toward fully utilizing UxS technology, according to TRB Special Report 335: Leveraging Unmanned Systems for Coast Guard Missions.

UxS technologies include aerial, surface, and underwater vehicles with no human occupants; vehicles that may have a crew but with some level of remote control; and systems that are not vehicles.

As one of the country’s six military services, the Coast Guard also serves as a first responder, law enforcement agency, maritime regulator, and member of the intelligence community. Despite multiple initiatives to explore and assess the applicability of UxS to these areas, the Coast Guard lacks a formal means for identifying, investigating, and integrating systems. Meanwhile, UxS technological advancements continue to accelerate, driven by both commercial and military demands.

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