Autonomous Ships What does the future hold? 25 6 September, Bristol Legal Considerations Mr. Robert Veal, Professor Michael Tsimplis, Dr Alexandros Ntovas, Professor Andrew Serdy (Institute of Maritime Law, University of Southampton), & Professor Simon Quinn (Faculty of Engineering and the Environment, University of Southampton) Dr Alexandros X.M. Ntovas The opinions and views shared in this presentation do not necessarily reflect those of the Institute of Maritime Law (Southampton)
Legal Considerations source: Rolls-Royce plc 2
Freedom of navigation United Nations Convention on the Law of the Sea (UNCLOS, 1982) not a self-contained regime - an umbrella convention - to be applied without prejudice for any laws or rules which may previously exist or which may be made in future synergies with IMO specialized instruments it establishes where and by whom the provisions of various specialized instruments will be enforced o international standards and rules for pollution control; manning, training and certification; safety at sea, etc 3
Internal waters, including ports Sea Baseline navigation zones High seas 12 nm TS 12 nm CZ 200 nm EEZ Sea Level 4
navigation zones EXCLUSIVE ECONOMIC ZONE (EEZ) LAND LAND 5
Port-state jurisdiction Coastal-state jurisdiction Internal waters, including ports Sea Baseline navigation zones High seas 12 nm TS 12 nm CZ 200 nm EEZ Sea Level c o a s t a l - s t a t e a n d f l a g - s t a t e j u r i s d i c t i o n s u n d e r C h a p t e r V r e g i m e flag-state jurisdiction subject to exceptions 6
Freedom of navigation (cont.) Freedom of the high seas (Art. 87) open to all States to be exercised under the conditions laid down by UNCLOS and by other rules of international law comprises the freedom of navigation shall be exercised with due regard principle of flag-state jurisdiction 7
The principle of flag State jurisdiction Right of navigation (Art. 90) : Every State, whether coastal or landlocked, has the right to sail ships flying its flag on the high seas Nationality of ships (Art. 91) genuine link between the flag State and the ship Status of ships (Art. 92) exclusive flag State jurisdiction on the high seas Duties of the flag State (Art. 94) effective exercise of jurisdiction and control 8
the principle of flag State jurisdiction (cont.) primacy of the national law registration duty of care due regard principle exclusive jurisdiction subject to exceptions state responsibility 9
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navigation zones EXCLUSIVE ECONOMIC ZONE (EEZ) LAND LAND 12
Internal waters, including ports Sea Baseline navigation zones High seas 12 nm TS 12 nm CZ 200 nm EEZ Sea Level c o a s t a l - s t a t e a n d f l a g - s t a t e j u r i s d i c t i o n s u n d e r C h a p t e r V r e g i m e 13
Exclusive Economic Zone UNCLOS (Art. 55) provides that: The exclusive economic zone is an area beyond and adjacent to the territorial sea, subject to the specific legal regime established in this Part, under which the rights and jurisdiction of the coastal State and the rights and freedoms of other States are governed by the relevant provisions of this Convention. Freedom of navigation (Art s 56 & 58) the high seas provisions apply in principle to the EEZ respective rights shall be exercised with due regard specific jurisdiction with regard to the protection and preservation of the marine environment - foreign vessels to abide by coastal State s EEZ-laws provided they are compatible with UNCLOS norms and other rules of international law - applicable international rules and standards for the prevention, reduction and control of pollution from vessels (Art s 211 & 220) Investigation of foreign vessels (Art. 226) 14
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navigation zones EXCLUSIVE ECONOMIC ZONE (EEZ) LAND LAND 16
Coastal-state jurisdiction Internal waters, including ports Sea Baseline navigation zones High seas 12 nm TS 12 nm CZ 200 nm EEZ Sea Level 17
Territorial sea Legal status (UNCLOS Art. 2) provides that: The sovereignty of a coastal State extends, beyond its land territory to an adjacent belt of sea, described as the territorial sea ; to be exercised subject to UNCLOS and other rules of international law Freedom of navigation right to innocent passage through the territorial sea for all foreign ships (Art. 17) - passage (Art. 18) means continuous and expeditious navigation through the territorial sea to/from internal waters or port of the coastal State, or traverse without entering internal waters - it s innocence is defined on the basis of Art. 19 Coastal regulation (Art s 21 26) 18
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navigation zones EXCLUSIVE ECONOMIC ZONE (EEZ) LAND LAND 21
Port-state jurisdiction Coastal-state jurisdiction Internal waters, including ports Sea Baseline navigation zones High seas 12 nm TS 12 nm CZ 200 nm EEZ Sea Level c o a s t a l - s t a t e a n d f l a g - s t a t e j u r i s d i c t i o n s u n d e r C h a p t e r V r e g i m e flag-state jurisdiction subject to exceptions 22
Internal waters Definition (UNCLOS Art. 8(1)): waters on the landward side of the baseline of the territorial sea form part of the internal waters of the State. Legal status (UNCLOS Art. 2(1)) - internal waters are equated to land territory, and thereon the sovereignty of the coastal State is the same as on land. Access to port no general right of foreign vessels to enter internal waters e.g., Convention on Facilitation of International Maritime Traffic (1965, as amended) 23
Legal Considerations source: Rolls-Royce plc 24
Is an unmanned vessel a ship? What is a ship? no established definition in international law not defined in UNCLOS - ship/vessel interchangeable terms varied terminology in specialized maritime instruments - tailor-made definitions a general (but non-binding) definition United Nations Convention on Conditions for Registration of Ships (1986, not yet in force), Art. 2: ship means any self-propelled sea-going vessel used in international seaborne trade for the transport of goods, passengers, or both, with the exception of vessels of less than 500 gross registered tons. 25
Type Definition IMO instrument passenger ship a ship which carries more than twelve passengers SOLAS I/2 special purpose ship general cargo ship tailor-made definitions means a mechanically self-propelled ship which by reason of its function carries on board more than 12 special personnel a ship with a multi-deck or single-deck hull designed primarily for the carriage of general cargo SPS Code para 1.3.12 MEPC.1/Cir c.681 Annex nuclear ship a ship provided with a nuclear power plant SOLAS I/2 bulk carrier oil tanker a ship which is constructed generally with single deck, top-side tanks and hopper side tanks in cargo spaces, and is intended primarily to carry dry cargo in bulk, and includes such types as ore carriers and combination carriers a ship which is intended primarily to carry dry cargo in bulk, including such types as ore carriers and combination carriers means a ship constructed or adapted primarily to carry oil in bulk in its cargo spaces and includes combination carriers, any "NLS tanker" as defined in Annex II of the present Convention and any gas carrier as defined in regulation 3.20 of chapter II-1 of SOLAS 74 (as amended), when carrying a cargo or part cargo of oil in bulk SOLAS IX/1.6 SOLAS XII/1.1 MARPOL Annex I reg. 1.5 26
tailor-made definitions (cont.) Type Definition IMO instrument a vessel used for catching fish, whales, seals, walrus or other living resources of the sea SOLAS I/2 fishing vessel any vessel used commercially for catching fish, whales, seals, walrus or other living resources of the sea SFV 1993 article 2 high-speed craft mobile offshore drilling unit a craft capable of a maximum speed, in metres per second (m/s), equal to or exceeding 3.7 times the one-sixth power of the volume of displacement corresponding to the design waterline (m³), excluding craft the hull of which is supported completely clear above the water surface in non-displacement mode by aerodynamic forces generated by ground effect means a vessel capable of engaging in drilling operations for the exploration for or exploitation of resources beneath the sea-bed such as liquid or gaseous hydrocarbons, sulphur or salt SOLAS X/1.2, HSC Code 2000 para 1.4.30 SOLAS IX/1, MODU Code 2009 para 1.3.40 27
is an unmanned vessel a ship? (cont.) specialized maritime instruments - tailor-made definitions oe.g. International Convention for the Prevention of Pollution from Ships (1973/78 as amended) (Art. 2(4) defines a ship as: a vessel of any type whatsoever operating in the marine environment and includes hydrofoil boats, aircushion vehicles, submersibles, floating craft and fixed or floating platforms ). oe.g. Convention for the Suppression of Unlawful Acts against the Safety of Maritime Navigation (1988 as amended) (Art. 1(1a) defines a ship as: a vessel of any type whatsoever not permanently attached to the sea-bed, including dynamically supported craft, submersibles, or any other floating craft. 28
is an unmanned vessel a ship? (cont.) it will be a matter for the national law of the flag state 29
is an unmanned vessel a ship? (cont.) Belgium (S.1(1) of 21 December 1990 Act ): any floating craft, self-propelled or not, with or without any water displacement, used or fit to be used as means of locomotion in, above or under the water, including the installations not permanently attached to the shore or to the soil. England and Wales (S.313(1) Merchant Shipping Act 1995): unless the context otherwise requires ship includes every description of vessel used in navigation. but, when exactly a vessel is used in navigation? Substantial case-law! France (Ordinance No. 1307 of the Transport Code 2010): Except as indicated to the contrary, for the purposes of the present Code ships are: 1) Any floating craft, built and manned for maritime merchant navigation, or for fishing, or for yachting, and dedicated to it. 2) Any floating craft, built and manned for maritime navigation, dedicated to administrative or industrial and commercial public services 30
is an unmanned vessel a ship? (cont.) Is the human presence on-board a constitutive element? master / crew, or seafarer(s) not defined in UNCLOS no conclusive definitions in specialized maritime instruments a matter for the flag State (i.e., national law) 31
the human presence on-board (cont.) 32
the human presence on-board (cont.) in the charge of a master, for example, US (46 U.S. Code 10101(1)): In this part (1) master means the individual having command of a vessel. (2) owner means the person to whom the vessel belongs. (3) seaman means an individual ( ) engaged or employed in any capacity on board a vessel. source: Rolls-Royce plc 33
the human presence on-board (cont.) in the charge of a master, 34
SOLAS International Convention for the Safety of Life at Sea (SOLAS) (1974 as amended) Art. 2: ships entitled to fly the flag of States the Governments of which are Contracting Governments cargo ships of more than 500 gross tonnage ship is not generally defined Chapter 1 - Regulation 1(b) classes of ships to which each chapter applies are more precisely defined in each chapter possible exemptions from Chapters II-1, II-2, III and IV of SOLAS Subject to Regulation I/4(b) ( novel features ) broad equivalence principle regulation V/24 (Use of heading and/or track control systems) immediate change-over from automatic to manual control in given conditions. requirement for additional helmsperson in such conditions changeover to be supervised by officer testing of manual steering after prolonged period in autopilot 35
COLREGS International Regulations for Preventing Collisions at Sea 1972 as annexed to the Convention on the International Regulations for Preventing Collisions at Sea (COLREGS) (1972 as amended) Rule 3(a) - considers a vessel to be: every description of water craft, including non-displacement craft, WIG craft and seaplanes, used or capable of being used as a means of transportation on water. Rule 1(a) provides: These Rules shall apply to all vessels upon the high seas and in all waters connected therewith navigable by seagoing vessels. Rule 2(a), states: Nothing in these Rules shall exonerate any vessel, or the owner, master, or crew thereof, from the consequences of any neglect to comply with these Rules or of the neglect of any precaution which may be required by the ordinary practice of seamen, or by the circumstances of the case. the duty of good seamanship compliance by shore-based operators 36
STCW The International Convention on Standards of Training, Certification and Watchkeeping for Seafarers (STCW) (1995/2010 as amended) Art. 1(2): The Parties undertake to promulgate all laws, decrees, orders and regulations and to take all other steps which may be necessary to give the Convention full and complete effect, so as to ensure that, from the point of view of safety of life and property at sea and the protection of the marine environment, seafarers on board ships are qualified and fit for their duties also, Art. 3: The Convention shall apply to seafarers serving on board seagoing ships entitled to fly the flag of a Party. 37
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