Systems Engineering for Ethical Autonomous Systems
- Length: 512 pages
- Edition: 1
- Language: English
- Publisher: SciTech Publishing
- Publication Date: 2019-06-11
- ISBN-10: 1785613723
- ISBN-13: 9781785613722
- Sales Rank: #12801214 (See Top 100 Books)
The transfer of responsibility for decisions and actions from humans to machines presents difficult problems for all those concerned with new concepts, their development and use. This book gives practical help by discussing the issues in the context of product design, and gives a methodology to solve them.
The design cycle for autonomous systems is described, set in the context of human decision-making and the evolving ethical and legal environment. These are explained in separate chapters that will be invaluable to engineers and all the professions associated with autonomous systems.
Systems engineering methods, used for weapon systems, are described. These are developed for both military and civil applications. A detailed worked example demonstrates the legal limits imposed on Lethal Autonomous Weapon Systems (LAWS) by current international law.
Cover Title Copyright Contents List of figures List of tables Foreword List of acronyms 1 The art of the acceptable, not the art of the possible 1.1 Introduction 1.2 Technologies and their acceptance 1.3 Machines that think 1.4 What is autonomy? 1.5 Maintaining control 1.6 Responsibilities 1.7 Autonomous Weapon Systems (AWS) 1.8 Concept to product 1.9 Future regulations 1.10 Principles applicable to non-military systems References 2 Decision-making 2.1 Freedom of action 2.2 Skills, behaviours and automation 2.3 Situational awareness 2.4 Human workload 2.5 Decision-making 2.6 Multiple humans and autonomous systems 2.7 The Observe Orient, Decide and Act (OODA) loop 2.8 Authority to act 2.8.1 Authority and responsibility 2.8.2 Military Command and Control (C2) References 3 Automated control and autonomy 3.1 Introduction 3.2 Automatic or autonomy – does the choice of word matter? 3.3 Definitions of autonomy and automatic 3.4 Automated and Autonomous Weapon Systems (AWS) 3.5 Autonomy levels 3.5.1 The need for autonomy levels 3.5.2 Autonomy levels for non-military systems 3.5.3 Autonomy levels for military systems 3.6 Autonomy, trust and work-sharing 3.7 Control system developments 3.7.1 Intelligently designed mechanisms 3.7.2 Intelligently designed control systems 3.7.3 Intelligent control systems 3.8 Models and control systems 3.8.1 Models of the process under control 3.8.2 Models of the control system 3.9 Control and the targeting process Appendix to Chapter 3 A3 Definitions of autonomy and autonomy levels A3.1 Autonomy-related definitions from published civilian standards A3.2 Military definitions of autonomy A3.3 Non-military definitions of autonomy levels A3.4 Military definitions of autonomy level References 4 Operational analysis to systems engineering 4.1 Introduction 4.2 Terms and tools 4.2.1 Systems of systems 4.2.2 Emergent behaviours and wicked problems 4.2.3 Architectures 4.2.4 Architecture frameworks 4.2.5 UML and SysML 4.3 Contradictions in technology developments for military use 4.4 Defining and delivering military requirements 4.5 Capability-based planning 4.6 The capability-based Vee diagram 4.7 Establishing solutions by operational analysis 4.8 Operational analysis for autonomous systems 4.9 New types of engineering for military systems 4.10 Capability engineering 4.11 Wider capabilities 4.12 Systems engineering 4.12.1 Overview 4.12.2 Inputs to the systems engineering process 4.12.3 The systems engineering process 4.12.4 Spiral development 4.13 Validation of the system design 4.14 Post-contract award changes 4.14.1 Pre-delivery changes 4.14.2 Setting-to-work changes for military systems Appendix to Chapter 4 A4 Through-life-capability-management terminology References 5 Engineering design process 5.1 Introduction and overview 5.2 Management control 5.2.1 General principles 5.2.2 Project management 5.2.3 Technical management 5.2.4 Technology Readiness Levels (TRLs) 5.2.5 Initial critical review 5.2.6 Make-or-buy decisions 5.2.7 Risk registers 5.3 Project organisation 5.3.1 Work breakdown structure 5.3.2 Project monitoring 5.4 Autonomous (sub)system design 5.4.1 General principles for weapon systems 5.4.2 The CADMID cycle 5.4.3 Design validation and verification (V&V) 5.4.4 V&V of autonomous systems 5.4.5 Integration and test 5.5 Module design 5.5.1 Setting the requirements 5.5.2 Detailed design 5.5.3 Fitted for, but not with Appendix to Chapter 4 A5 Technology, integration and system readiness levels from different sources References 6 Ethics, civil law and engineering 6.1 Introduction 6.2 Ethical background 6.3 Regulations, standards and certification 6.3.1 Regulations 6.3.2 Standards 6.3.3 Drones – an illustration of the extremes of regulatory problems 6.3.4 Certification 6.4 Current standards for autonomous systems 6.5 Future regulations and standards for autonomous systems 6.6 Safety 6.7 Liabilities 6.8 Risks, benefits and ALARP 6.9 Safety cases for autonomous systems References 7 Introduction to military legal context and its relevance to engineering 7.1 Introduction 7.2 The need for laws of war 7.3 Legality and legitimacy 7.4 International Humanitarian Law 7.5 The Geneva Conventions, their protocols and subsequent agreements 7.6 Customary principles and rules 7.7 Judicial decisions 7.8 Expert opinions 7.9 Military manuals 7.10 Engineering requirements from selected conventions in Section 7.5 7.10.1 General 7.10.2 1949 Geneva Convention 1. For the amelioration of the condition of the wounded and sick in armed forces in the field 7.10.3 1949 Geneva Convention II. For the amelioration of the condition of wounded, sick and shipwrecked members of armed forces at sea 7.10.4 1949 Geneva Convention III. Relative to the treatment of prisoners of war 7.10.5 1949 Geneva Convention IV. Relative to the protection of civilian persons in time of war 7.10.6 1976 Convention and 1994 Guidance on environmental modification techniques 7.10.7 1980 UN convention on prohibitions or restrictions on the use of certain conventional weapons which may be deemed to be excessively injurious or to have indiscriminate effects 7.10.8 2008 Convention on cluster munitions 7.11 The additional protocols to the 1949 Geneva conventions 7.11.1 Introduction 7.11.2 General requirements from API and APII 7.11.3 More specific requirements from API and APII 7.12 The law at sea 7.13 Rules-of-engagement 7.14 An example – design changes to move Phalanx from sea to land Appendix to Chapter 7 A7 Extracts from Additional Protocol I (API) References 8 Targeting 8.1 Introduction to targeting 8.2 Types of weapon used in attack 8.2.1 Classes of attack 8.2.2 Ballistic projectiles 8.2.3 Externally guided projectiles 8.2.4 Self-guided projectiles 8.3 Targeting law 8.4 Targeting processes and cycles 8.4.1 A range of targeting processes 8.4.2 The F2T2EA phases 8.5 Automating targeting processes 8.5.1 General considerations 8.5.2 Assumptions 8.5.3 Observe 8.5.4 Orient 8.5.5 Decide 8.5.6 Act 8.6 Issues for autonomous targeting and Article 36 reviews 8.6.1 The general problem 8.6.2 A projectile as an Autonomous Weapon System (AWS) 8.6.3 Capability restrictions on the AWS 8.6.4 Article 36 reviews of projectile AWSs References 9 Influences on future military autonomous systems 9.1 Introduction 9.2 Recent and current campaigns 9.3 The military operating environment 9.3.1 The three Ds 9.3.2 The five Cs 9.4 Societal changes 9.4.1 Political changes 9.4.2 Economic changes 9.5 Technology changes 9.5.1 Connectivity 9.5.2 Artificial Intelligence 9.5.3 Exploiting commercial technologies 9.5.4 Commercial autonomous systems 9.5.5 Decision aids or decision-makers? 9.6 Urgent requirements for operations 9.7 Countering autonomous systems 9.7.1 Physical attack 9.7.2 Cyber-attack 9.8 Non-kinetic AWS 9.9 Future operational analysis 9.9.1 Problems for traditional operational analysis 9.9.2 Operational analysis and system concepts with COTS modules 9.10 Future changes in International Humanitarian Law (IHL) 9.10.1 Introduction 9.10.2 The Martens Clause 9.10.3 Potential new treaties References 10 Systems engineering applied to International Humanitarian Law (IHL) 10.1 Introduction 10.2 Context 10.2.1 Bespoke solutions 10.2.2 Automate each function 10.3 Requirements derived from the four IHL principles 10.3.1 General principles 10.3.2 Military necessity 10.3.3 Humanity 10.3.4 Proportionality 10.3.5 Distinction 10.4 Developing the architecture framework 10.5 Generic weapon system architecture 10.5.1 Architecture requirements 10.5.2 The 4D/RCS reference model (NSTIR 6910) 10.5.3 Approach and definitions 10.6 Architecture requirements 10.6.1 Roles and functions during each phase 10.6.2 Surveillance 10.6.3 Monitor localised scene 10.6.4 Confirm authority to act 10.6.5 Release and guide weapon 10.6.6 Knowledge database contents 10.7 Cognitive function requirements 10.8 Issues in moving from automation to autonomy 10.8.1 Approach 10.8.2 Automating Observe 10.8.3 Automating Orient 10.8.4 Automating Decide and Act 10.9 Authorised power for a Level 1 node 10.10 Learning systems References 11 Systems engineering for a new military system 11.1 Introduction 11.2 Analysis of the problem using Chapter 4 11.2.1 The state’s problem 11.2.2 Required capability 11.2.3 Initial operational analysis 11.2.4 Refining the operational analysis 11.2.5 Unmanned air system capabilities 11.2.6 Architectural analysis 11.2.7 System-of-systems effectiveness 11.2.8 Pre-competition activities by the procurement agency 11.3 The system-of-systems delivering the capability 11.3.1 The C2 infrastructure 11.3.2 Changes to UAV ground stations 11.3.3 Changes to UAVs 11.3.4 Development of tactics 11.4 Delivering the capability 11.4.1 The procurement problem 11.4.2 System-of-systems requirements 11.4.3 The procurement process 11.4.4 Integration plans 11.4.5 Work packages and contract award 11.4.6 Work Packages 1 and 2, integration into C2 structure 11.4.7 Radar work packages 11.4.8 WP3 (Part), upgrade surveillance UAV autopilot 11.5 Legal review and guidance 11.5.1 Is a review needed? 11.5.2 Testing assumptions 11.5.3 The Article 36 Review of the initial capability References 12 Making military capabilities autonomous 12.1 Approach 12.2 Introducing autonomy into systems 12.3 Article 36 review questions for the system of systems 12.4 An example capability with upgrades for autonomous operation 12.4.1 Top-down approach 12.4.2 Functionality in the top-down approach 12.4.3 Incremental approach to autonomy 12.5 Configuration and control during the OODA process 12.5.1 Configurations during OODA 12.5.2 Command and control (C2) 12.6 Technical evidence required for top-down approach 12.6.1 Sensory processing 12.6.2 Value judgement, world modelling and behaviour generator 12.6.3 Knowledge database 12.7 Article 36 reviews for incremental upgrades 12.7.1 A possible architecture 12.7.2 Sensory processing 12.7.3 World modelling 12.7.4 Value judgement 12.7.5 Behaviour generator 12.7.6 Knowledge database 12.8 Wider implications – limits to autonomy References 13 Design of civilian autonomous systems using military methodologies 13.1 Introduction 13.2 Autonomous systems and design methodologies 13.2.1 Design methodologies 13.2.2 Technology push or demand pull? 13.3 General principles for autonomous systems 13.3.1 Ethical principles in design 13.3.2 Value-based design 13.3.3 United Nations Declaration of Human Rights 13.3.4 The five ‘EPSRC’ rules 13.3.5 Principles from assertions 13.3.6 Asimov’s laws of robotics 13.4 A physical system that works with humans 13.4.1 Assumptions 13.4.2 How an autonomous system operates in a complex environment 13.4.3 Legal issues for the autonomous system 13.4.4 Insurance and litigation issues for the autonomous system 13.4.5 Functional requirements and architecture 13.5 Completing the task 13.5.1 Identifying the legal framework 13.5.2 The autonomous system is given an instruction 13.5.3 The autonomous system plans how to complete the task 13.5.4 The autonomous system completes its tasks 13.5.5 Post-goal actions 13.6 Functions for complex environments 13.6.1 Need for identifying legal functions 13.6.2 The necessary functions for legal operation 13.7 System architecture 13.7.1 Node architecture 13.7.2 Task management activities 13.8 Requirements for functional elements in a generic autonomous system 13.8.1 Overarching requirements 13.8.2 Operator interface requirements 13.8.3 Knowledge database requirements 13.8.4 Sensor and sensory-processing requirements 13.8.5 World model requirements 13.8.6 Value judgement requirements 13.8.7 Behaviour generator requirements 13.8.8 Legal criteria 13.8.9 Test, Validation and Verification (V&V) 13.9 Transferable methods References 14 Final considerations for ethical autonomous systems 14.1 Timescales for acceptability of autonomous systems 14.2 Identifying ethical guidelines 14.3 Authority and responsibility 14.4 Cyber threats 14.5 Misuse of autonomous system 14.6 Future regulations 14.7 Intelligent swarms 14.8 Human–machine interface 14.9 How issues in this book may help solve future problems References Appendix 1 Red Cross Guide to Article 36 Reviews Introduction Structure 1 Material scope of application of the review mechanism 2 Functional aspects of the review mechanism Contacts Annexes Index
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