UPDATES TO THE LRIT SYSTEM. Report of the Drafting Group

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E SUB-COMMITTEE ON NAVIGATION, COMMUNICATIONS AND SEARCH AND RESCUE 5th session Agenda item 4 21 ebruary 2018 Original: ENGLISH DISCLAIMER As at its date of issue, this document, in whole or in part,

Accordingly, its contents are subject to approval and amendment of a substantive and drafting nature, which may be agreed after that date.

1 E SUB-COMMITTEE ON NAVIGATION, COMMUNICATIONS AND SEARCH AND RESCUE 5th session Agenda item 4 21 ebruary 2018 Original: ENGLISH DISCLAIMER As at its date of issue, this document, in whole or in part, is subject to consideration by the IMO organ to which it has been submitted. Accordingly, its contents are subject to approval and amendment of a substantive and drafting nature, which may be agreed after that date. 1 INTRODUCTION UPDATES TO THE LRIT SYSTEM Report of the Drafting Group 1.1 As instructed by the Sub-Committee, the Drafting Group (the Group) met on 21 ebruary 2018, chaired by Mr. P-G Taranti (Brazil). 1.2 The Group was attended by representatives from the following Member States: ANTIGUA AND BARBUDA BRAZIL CHINA GERMANY IRAN (ISLAMIC REPUBLIC O) JAPAN MARSHALL ISLANDS NIGERIA UKRAINE UNITED STATES VIET NAM 1.3 The Group was also attended by observers from the following intergovernmental organization: INTERNATIONAL MOBILE SATELLITE ORGANIZATION (IMSO) 1.4 The session was also attended by observers from the following intergovernmental organization in consultative status: EUROPEAN MARITIME SAETY AGENCY (EMSA)

2 Page 2 2 TERMS O REERENCE 2.1 The Group was instructed, taking into account decisions of, and comments and proposals made in plenary, to review the proposal for a new "Archived SURPIC request message" for coastal States, as contained in document NCSR 5/4/2 and, on the basis of approach B, to:.1 prepare draft amendments to MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5 on LRIT Technical documentation (Parts I and II, respectively), including the XML schemas and additional test cases and procedures for LRIT Data Centres, as required;.2 consider the cost implications and advise, as appropriate;.3 consider if modification testing for LRIT Data Centres is required and, if so, develop the necessary guidance, and submit a report on Thursday, 22 ebruary NEW "ARCHIVED SURPIC REQUEST MESSAGE" OR COASTAL STATES 3.1 As instructed by the Sub-Committee, the Group considered document NCSR 5/4/2 and worked on the proposed amendments to circulars MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5 on LRIT Technical documentation (parts I and II, respectively). The final revised amendments are set out in annexes 1 and 2, which the Sub-Committee is invited to endorse. 3.2 The Group also agreed to invite the Sub-Committee to request the Secretariat to review the proposed amendments to the XML schemas and to implement any necessary corrections that may be identified as a result of the proposed amendments. Cost implications 3.3 The Group discussed the cost implications and agreed that the implementation cost for DCs may not be significant. However, the consequential testing activity and the related administrative burden that follows had to be taken into account. The IDE had expressed similar concerns related to consequential test activities, and IMSO mentioned that the audit software would also be affected. Modification testing 3.4 The Group agreed that the proposed amendments would require a new modification testing phase given that the XML schemas would be affected. The Group also shared the view that there might be significant administrative burdens in connection with the testing-related activities. The Group was of the view that implementation should be postponed so as to be executed together with future proposed amendments. 3.5 The Group was of the view that the test cases and procedures proposed as part of these amendments should be executed in a new modification test phase in order to verify the correct functioning of DCs and IDE. It was noted that the DDP-server was not affected by the current amendments.

3 Page In this context, the Sub-Committee may wish to consider establishing a deadline for implementation if no other amendments are approved within a specific time, e.g. two years. 3.7 The Group was of the opinion that the LRIT testing phase should be coordinated by the Secretariat in consultation with the LRIT Operational Governance Body. The Group suggested instructing the Secretariat to incorporate the amendments to circulars MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5 when the third modification testing is agreed to be conducted and to publish the corresponding revised versions of the circulars after completion of modification testing. 3.8 Accelerated test procedures could be applied for DCs that share the same software and hardware solutions. General comments 3.9 The Group expressed concerns about the possible overload of the system if the new feature of Archived SURPIC is overused in a short period of time. This could cause similar consequences to a DoS (Denial of Service) attack, reducing the level of service of the IDE or even preventing it from working properly. The same scenario could be caused by overusing the current SURPIC requests. The Group recommended that the Sub-Committee considers limiting the number of Archived SURPIC requests to a maximum of three requests per day by an LRIT data user Considering the possible operational usage of this new functionality, the Group was of the view that a timeframe could be established for a new Archived SURPIC requests from the current time to a limit of six months backwards and invited the Sub-Committee to agree with this recommendation. A view was also presented that the limit should be three months The Group was of the opinion that DCs should make careful use of this new feature, considering that it could have financial impact to operators that opt to request the Archived SURPIC over large areas and extended periods of time. Overuse of the functionality could also affect the IDE as cited above. 4 ACTION REQUESTED O THE SUB-COMMITTEE 4.1 The Sub-Committee is invited to:.1 endorse the draft amendments to MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5 on LRIT Technical documentation (Parts I and II, respectively), including the XML schemas and additional test cases and procedures for LRIT Data Centres and the International Data Exchange, as required; and forward them to the Committee for approval (paragraph 3.1 and annexes 1 and 2);.2 request the Secretariat to review the proposed amendments to the XML schemas and to implement any necessary corrections that may be identified as a result of the proposed amendments (paragraph 3.2);.3 note the discussions on cost implications of the implementation of this new Archived SURPIC request message (paragraph 3.3);

4 Page 4.4 note that modification testing would be required, and concur with the view of the Group to postpone implementation to be executed together with future proposed amendments in a new modification test phase (paragraphs 3.4 and 3.5);.5 consider establishing a deadline for implementation of these amendments to circulars MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5, including modification testing if no other amendments are approved within a specific time, e.g. two years (paragraph 3.6);.6 agree that the related revised versions of MSC.1/Circ.1259/Rev.7 and MSC.1/Circ.1294/Rev.5 be published when the third modification testing phase is conducted in future, and instruct the Secretariat accordingly (paragraph 3.7);.7 consider limiting the number of Archived SURPIC requests to a maximum of three requests per day by an LRIT data user (paragraph 3.9);.8 consider limiting the timeframe for the new Archived SURPIC requests from the current time to a limit of six months backwards (paragraph 3.10);.9 note the Group's opinion that DCs should make careful use of this new feature, considering that it could have financial impact to operators (paragraph 3.11); and.10 approve the report in general. ***

5 Annex 1, page 1 ANNEX 1 (English only) PROPOSED AMENDMENTS TO THE LRIT TECHNICAL DOCUMENTATION (PART I) MSC.1/Circ.1259/Rev.7, annex, annex 3 1 In "table 1 Summary of LRIT message" (page 29), the row with entry "6" under column "Type" is amended as follows: Type Name Description/Purpose LRIT request messages 6 SURPIC request Request by a Contracting Government or a SAR service for the provision of the most recent position reports or the archived position reports already in a DC's database, within a specific geographical area. 2 Paragraphs (page 42) and (page 43) of "2.2.4 SURPIC request message (Message 6)" are amended as follows: This message requests the most recent LRIT information and the archived LRIT information from the databases within the DCs. It is intended to provide Coastal and SAR LRIT Data users with the ability to obtain a picture of the ships in a given geographical area. Coastal LRIT Data users have the option to request LRIT information only from certain ships by indicating the type of ship and/or the LRIT ID of the Contracting Government the LRIT information is requested from The NumberOfPositions parameter defines how many of the most recent position reports were received by a DC during the past 24 h from ships within the requested geographical area being requested by the LRIT Data User. The NumberOfPositions is not a valid parameter when AccessType is 1 and RequestType is 7. The NumberOfPositions must be from 1 to 4. Once a DC has received a SURPIC request message, it should check all position reports it has received during the past 24 h from every ship registered to that DC. If the timestamp associated with these position reports are within the past 24 h and the position reports are within the geographical area established by the SURPIC message, then the DC should send the last N position reports associated with the ship that are within the past 24-h window and in the geographical area. Thus all the position reports that are sent to the requesting DC should have timestamps that are within the past 24 h window as well as location coordinates that are within the geographical area. 3 After paragraph (page 43) of "2.2.4 SURPIC request message (Message 6)", two new paragraphs ( and ) are added. 3.1 A new paragraph is added as follows: The Request Duration parameter provides information on the start and stop time for tracking of a ship. If the Request Type is 7, then the Request Duration is a valid parameter. The start and stop time must be specified. The start time should precede the stop time. The Request duration for an archived request should not exceed 72 hours.

6 Annex 1, page A new paragraph is added as follows: The Request Type parameter should indicate whether the request is for: archived data or most recent position report. The Request Type is not a valid parameter when Access Type is 6. 4 In "table 4 Summary of SURPIC request (Message 6)" (page: 44), the row with entry "Number of Positions" under column "Parameter provided by" is amended and two new rows are added as follows: Parameter provided by Parameter Value Description LRIT system communicati on segments (see figure 1) Number of Positions RequestDuration Start time and stop time 1, 2, 3, 4 The number of position reports received from ships within the area during the past 24 h that the LRIT Data User C, D wishes to receive. This parameter is not valid for Request Type "7" with Access Type "1". START refers to the time when LRIT position reports are requested to begin. STOP refers to the end time for receiving LRIT reports. This parameter is only valid for Request Type "7" with Access Type "1". Request Type 7, 9 Request type: 7 Archived LRIT information request 9 Most recent LRIT information request C, D n Processed format (see paragraph ) B, C, D xs:datetime B, C, D n

7 5 MSC.1/Circ.1259/Rev.7, annex, annex 6 (page 145) is amended as follows: Annex 6 XML SCHEMAS LRIT XML Resources ReadMe file ========================= Release version: Release Date: 22 Oct Sep 2017 Annex 1, page 3 6 The section with heading "XSD" (Page 145) is amended as follows: "XSDs ile Version Date SURPICrequest.xsd Oct Sep The following text is added under "Changelog" after the log for "22 Oct 2014 Release Version 2.0": "20 Sep 2017 Release Version *Update to SURPICrequest.xsd to: - Add Request Duration element with start time and end time." 8 The SURPICRequest.xsd file is amended as follows: SURPICRequest.xsd file <!-- ile: SURPICRequest.xsd ile Version: 2.0 Date: 22 Oct > <xs:schema version="2.0" targetnamespace=" xmlns=" xmlns:xs=" xmlns:lrit=" elementormdefault="qualified"> <xs:import namespace=" schemalocation="types.xsd"/> <xs:simpletype name="messagetypetype"> <xs:restriction base="xs:integer"> <xs:enumeration value="6"/> </xs:restriction> </xs:simpletype> <xs:simpletype name="accesstypetype"> <xs:restriction base="xs:integer"> <xs:enumeration value="1"/> <xs:enumeration value="6"/>

8 Annex 1, page 4 </xs:restriction> </xs:simpletype> <xs:simpletype name="requesttypetype"> <xs:restriction base="xs:integer"> <xs:enumeration value="7"/> <xs:enumeration value="9"/> </xs:restriction> </xs:simpletype> <xs:complextype name="requestdurationtype"> <xs:attribute name="starttime" type="xs:datetime" use="optional"/> <xs:attribute name="stoptime" type="xs:datetime" use="optional"/> </xs:complextype> <xs:simpletype name="circularareatype"> <xs:restriction base="xs:string"> <xs:pattern value="() ((([0-8][0-9]\.[0-5][0-9]\.[nNsS]) (90\.00\.[nNsS])):(([0-1][0-7][0-9]\.[0-5][0-9]\.[eEwW]) ([0][8-9][0-9]\.[0-5][0-9]\.[eEwW]) (180\.00\.[eEwW])):([0-9]{3}))"/> </xs:restriction> </xs:simpletype> <xs:simpletype name="rectangularareatype"> <xs:restriction base="xs:string"> <xs:pattern value="() (([0-8][0-9]\.[0-5][0-9]\.[nNsS]) (90\.00\.[nNsS])):(([0-1][0-7][0-9]\.[0-5][0-9]\.[eEwW]) ([0][8-9][0-9]\.[0-5][0-9]\.[eEwW]) (180\.00\.[eEwW])):(([0-8][0-9]\.[0-5][0-9]\.[nN]) (90\.00\.[nN])):(([0-1][0-7][0-9]\.[0-5][0-9]\.[eE]) ([0][8-9][0-9]\.[0-5][0-9]\.[eE]) (180\.00\.[eE]))"/> </xs:restriction> </xs:simpletype> <xs:simpletype name="numberofpositionstype"> <xs:restriction base="xs:integer"> <xs:mininclusive value="1"/> <xs:maxinclusive value="4"/> </xs:restriction> </xs:simpletype> <xs:element name="surpicrequest"> <xs:complextype> <xs:sequence> <xs:element name="messagetype" type="messagetypetype"/> <xs:element name="messageid" type="lrit:msgidtype"/> <xs:element name="accesstype" type="accesstypetype"/> <xs:element name="datauserprovider" type="lrit:lritidtype" minoccurs="0"/> <xs:choice> <xs:element name="circulararea" type="circularareatype"/>

9 type="rectangularareatype"/> minoccurs="0"> Annex 1, page 5 <xs:element name="rectangulararea" </xs:choice> <xs:element name="shiptypes" <xs:simpletype> <xs:list itemtype="lrit:shiptypetype"/> </xs:simpletype> </xs:element> <xs:element name="numberofpositions" type="numberofpositionstype" minoccurs="0"/> <xs:element name="datauserrequestor" type="lrit:lritidtype"/> <xs:element name="requesttype" type="requesttypetype" minoccurs="0"/> <xs:element name="requestduration" type="requestdurationtype" minoccurs="0"/> <xs:element name="timestamp" type="xs:datetime"/> <xs:element name="ddpversionnum" type="lrit:ddpversionnumtype"/> </xs:sequence> <xs:attribute name="test" type="lrit:testtype" use="optional" default="0"/> <xs:attribute name="schemaversion" type="xs:decimal" use="required"/> </xs:complextype> </xs:element> </xs:schema> ***

11 Annex 2, page 1 ANNEX 2 (English only) PROPOSED AMENDMENTS TO THE LRIT TECHNICAL DOCUMENTATION (PART II) MSC.1/Circ.1294/Rev.5, annex Appendix 2-C LRIT DATA CENTRE TEST PROCEDURES AND CASES procedures and cases for the third Modification testing procedures DC-21.0 RE procedure Pass/ail DC-21.0 PS:7.4 TS3:2.2.4 TS3:2.3.5 DC1 receives an Archived Coastal SURPIC request sent by another DC. Communication paths specified in parentheses for each test case. All parameters associated with each message should be valid unless specified otherwise in a given test case. cases DC-21.1 to DC-21.5 RE Case Expect results type DC PS:7.4 TS3:2.2.4 TS3:2.3.5 DC1 receives an Archived Coastal SURPIC Request Message with a specified geographical area and there are positions compliant with coastal entitlement within the specified duration inside the area DC1 sends all archived position reports within the specified duration for all ships that are located within the specified geographical area and compliant with the Coastal entitlement. Environment before entering during Certificati on Internal Pass/ ail

12 Annex 2, page 2 RE Case Expect results type DC DC DC DC PS:7.4 TS3:2.2.4 TS3:2.3.5 PS:7.4 TS3:2.2.4 TS3:2.3.5 PS:7.4 TS3:2.2.4 TS3:2.3.5 PS:7.4 TS3:2.2.4 TS3:2.3.5 DC1 receives an Archived Coastal SURPIC Request message and a specified geographical area outside the Coastal entitlement. DC1 receives an Archived Coastal SURPIC Request Message with a specified geographical area inside the Coastal entitlement and there are no positions within the specified duration inside the area. DC1 receives an Archived Coastal SURPIC Request Message, a specified geographical area part inside and part outside the Coastal entitlement and there are no positions within the specified duration inside the area that is within the Coastal entitlement. DC1 receives an Archived Coastal SURPIC Request Message, filtering set to receive only ShipType=A and lag=z, a specified geographical area inside the Coastal entitlement (lag Z is associated with DC1). Inside the area, there are ship positions of ShipType=A and DC1 sends a Receipt Message (Message Type 7) with Receipt code 13 to the requestor. DC1 sends a Receipt Message (Message Type 7) with Receipt code 13 to the requestor. DC1 sends a Receipt Message (Message Type 7) with Receipt code 13 to the requestor. DC1 sends only the ship position of the ShipType=A and lag=z. These positions must be within the specified duration and all ships should be located within the specified Environment before entering during Certificati on Internal Internal Internal Internal Pass/ ail

13 Annex 2, page 3 RE Case Expect results type ShipType=B of lag=z within the specified duration. geographical area and compliant with the Coastal entitlement. Environment before entering during Certificati on Pass/ ail procedures DC-22.0 RE procedure Pass/ail DC-22.0 PS: 7.4 TS3: TS3:2.3.5 DC1 sends an Archived Coastal SURPIC Request to another DC(s) (D). Communication paths are specified in parentheses for each test case. All parameters associated with each message should be valid unless specified otherwise in a given test case. cases DC-22.1 to DC-22.2 RE Case Expect results type Environment before entering during Certification Pass/ ail DC DC PS: 7.4 TS3: TS3:2.3.5 PS: 7.4 TS3: DC1 sends an Archived Coastal SURPIC Request Message, filtering set to receive only ShipType=A and ShipType=B and DataUserProvider=M (lag M is associated with DC2) for a geographical area inside the Coastal entitlement. DC1 sends an Archived Coastal SURPIC Request DC2 verifies that DC1 has sent an Archived Coastal SURPIC request message with valid parameters. DC2 verifies that DC1 has sent an Archived Internal Internal

14 Annex 2, page 4 TS3:2.3.5 Message, filtering set to receive only ShipType=A with unspecified DataUserProvider for a geographical area inside the Coastal entitlement. Coastal SURPIC request message with valid parameters.

15 Annex 2, page 5 Appendix 3-C INTERNATIONAL LRIT DATA EXCHANGE TEST PROCEDURES AND CASES procedures and cases for the third Modification testing procedures IDE-14.0 RE procedure Pass/ail IDE PS: to PS: PS: to PS: PS: 12.1 TS1: TS1: TS3: TS3: TS3: TS3: IDE receives an Archived Coastal SURPIC request from DC1 and routes the message, as appropriate. Communication paths are specified in parentheses for each test case. All parameters associated with each message should be valid unless specified otherwise in a given test case. cases IDE-14.1 to IDE-14.3 RE Case Expected results type IDE-14.1 PS: to PS: PS: to PS: PS: 12.1 TS1: TS1: TS3: TS3: IDE receives a valid Archived Coastal SURPIC request with DataUserProvider=M (lag M is associated with DC2). Message is stored in Journal, IDE routes position request to DC2. Environment Require d before entering during Certificati on External Pass/ ail

16 Annex 2, page 6 IDE-14.2 IDE-14.3 TS3: TS3: PS: to PS: PS: to PS: PS: 12.1 TS1: TS1: TS3: TS3: TS3: TS3: PS: to PS: PS: to PS: PS: 12.1 TS1: TS1: TS3: TS3: TS3: TS3: IDE receives a valid Archived Coastal SURPIC request and the Data User Provider is unspecified. IDE receives an Archived Coastal SURPIC with invalid Message parameter(s). Message is stored in Journal, IDE routes position request to all DCs. A SOAP ault or Receipt Message with Receipt code 7 is sent with message text indicating the reason for rejection. C External External

LONG-RANGE IDENTIFICATION AND TRACKING SYSTEM TECHNICAL DOCUMENTATION (PART II)

LONG-RANGE IDENTIFICATION AND TRACKING SYSTEM TECHNICAL DOCUMENTATION (PART II) E 4 ALBERT EMBANKMENT LONDON SE1 7SR Telephone: +44 (0)20 7735 7611 ax: +44 (0)20 7587 3210 LONG-RANGE IDENTIICATION AND TRACKING SYSTEM TECHNICAL DOCUMENTATION (PART II) MSC.1/Circ.1294/Rev.5 17 January