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Legal Considerations
Dr Alexandros X.M. Ntovas
__________________________________________________________________________________________________________
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Autonomous Ships – What does the future hold? 25–6 September, Bristol
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)
The opinions and views shared in this presentation do not
necessarily reflect those of the Institute of Maritime Law
(Southampton)
2 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
Legal Considerations
source: Rolls-Royce plc
3 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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
4 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
Sea Level
Inte
rnal
wa
ters
,
inc
lud
ing
po
rts
Se
a B
as
eli
ne
TS
12 nm
EEZ
12 nm
CZ
200 nm
High seas
5
EXCLUSIVE ECONOMIC ZONE (EEZ)
LAND
LAND
Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
6 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
Sea Level
Inte
rnal
wa
ters
,
inc
lud
ing
po
rts
Se
a B
as
eli
ne
TS
12 nm
EEZ
12 nm
CZ
200 nm
High seas
Port
-sta
te ju
risd
ictio
n
flag-state jurisdiction
subject to exceptions
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 Co
asta
l-sta
te
jurisd
iction
7 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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
8 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
The principle of flag State jurisdiction • Right of navigation (Art. 90) : “Every State, whether coastal or land-
locked, 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
9 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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
10 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
11 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
12
EXCLUSIVE ECONOMIC ZONE (EEZ)
LAND
LAND
Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
13 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
Sea Level
Inte
rnal
wa
ters
,
inc
lud
ing
po
rts
Se
a B
as
eli
ne
TS
12 nm
EEZ
12 nm
CZ
200 nm
High seas
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
14 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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)
15 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
16
EXCLUSIVE ECONOMIC ZONE (EEZ)
LAND
LAND
Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
17 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
Sea Level
Inte
rnal
wa
ters
,
inc
lud
ing
po
rts
Se
a B
as
eli
ne
TS
12 nm
EEZ
12 nm
CZ
200 nm
High seas
Co
asta
l-sta
te
jurisd
iction
18 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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)
19 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
20 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
21
EXCLUSIVE ECONOMIC ZONE (EEZ)
LAND
LAND
Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
22 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
navigation zones
Sea Level
Inte
rnal
wa
ters
,
inc
lud
ing
po
rts
Se
a B
as
eli
ne
TS
12 nm
EEZ
12 nm
CZ
200 nm
High seas
Port
-sta
te ju
risd
ictio
n
flag-state jurisdiction
subject to exceptions
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 Coa
sta
l-sta
te ju
risdic
tion
23 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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)
24 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
Legal Considerations
source: Rolls-Royce plc
25 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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’.
26 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
Type Definition IMO
instrument
‘passenger ship’ “a ship which carries more than twelve passengers” SOLAS I/2
‘special
purpose ship’ “means a mechanically self-propelled ship which by reason of its function
carries on board more than 12 special personnel”
SPS Code
para 1.3.12
‘general
cargo ship’ “a ship with a multi-deck or single-deck hull designed primarily for the
carriage of general cargo”
MEPC.1/Cir
c.681 Annex
‘nuclear ship’ “a ship provided with a nuclear power plant” SOLAS I/2
‘bulk carrier’
“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”
SOLAS
IX/1.6
“a ship which is intended primarily to carry dry cargo in bulk, including such
types as ore carriers and combination carriers”
SOLAS
XII/1.1
‘oil tanker’
“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”
MARPOL
Annex I reg.
1.5
tailor-made definitions
27 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
Type Definition IMO
instrument
‘fishing vessel’
“a vessel used for catching fish, whales, seals, walrus or other living
resources of the sea”
SOLAS I/2
“any vessel used commercially for catching fish, whales, seals, walrus or
other living resources of the sea”
SFV 1993
article 2
‘high-speed craft’
“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”
SOLAS
X/1.2, HSC
Code 2000
para 1.4.30
‘mobile offshore
drilling unit’
“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
IX/1,
MODU
Code 2009
para 1.3.40
tailor-made definitions (cont.)
28 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
is an ‘unmanned vessel’ a ‘ship’? (cont.) • specialized maritime instruments
- tailor-made definitions
o e.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, air-
cushion vehicles, submersibles, floating craft and fixed or
floating platforms’).
o e.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’.
29 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
is an ‘unmanned vessel’ a ‘ship’? (cont.)
• it will be a matter for the national law of the flag state
30 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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”
31 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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)
is an ‘unmanned vessel’ a ‘ship’? (cont.)
32 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
the human presence on-board (cont.)
33 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
the human presence on-board (cont.)
“in the charge of a master…,”
source: Rolls-Royce plc
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.
34 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
the human presence on-board (cont.)
“in the charge of a master…,”
35 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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
SOLAS
36 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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
COLREGS
37 Dr Alexandros X.M. Ntovas Institute of Maritime Law, Southampton
Autonomous Ships – What does the future hold? 25–6 September, Bristol
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.”
STCW
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