https://orcid.org/0000-0002-1218-6872
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ABSTRACT
A barrier to the deployment of autonomous vessels in Australia's commercial and defence context is the gap in understanding how existing regulatory frameworks apply and identifying a best-practice regulatory approach. This Systematic Quantitative Literature Review (SQLR) identifies and assesses relevant available literature from domestic and international resources concerning current and future regulation of domestic autonomous vessels in Australia and other nations. A standard methodology is used combining a traditional narrative review and a meta-analysis tailored for peer-reviewed literature. Only twenty research articles of varying origin, type and content were identified, highlighting a significant literature gap regarding domestic regulation of autonomous vessels in Australia and other nations. Filling the domestic literature gap is critical for further domestic regulatory development, particularly because of the growing range and functions of such vessels. The literature review undertaken supports the development of future best practice regulation, which will facilitate the ongoing development and use of autonomous vessels.
Acknowledgments
The first named author would like to acknowledge the support of her supervisory team in preparing this SQLR and thank her family for their ongoing patience and support.
Disclosure statement
No potential conflict of interest was reported by the author(s).
Notes
1 A list of resources identified by the SQLR is at Annexure 1.
2 For example, Dean and Clack (Citation2019, 73), identify that ‘The terms “ships” and “vessels” are used interchangeably in UNCLOS; however, neither term is explicitly defined. However, UNCLOS provides that each state shall fix the conditions for the grant of its nationality to ships (Article 91). The implication therefore is that the national laws of each flag state will be critical for the definitions used’. As each nation determines its own approach to autonomous vessels, it will inform the use of the relevant terms in international conventions, thereby assisting to build collective understanding and practice. This progress occurs separately to the formal law reform process being undertaken by the International Maritime Organization.
3 Examples of literature relevant to the research question but not identified using the SQLR methodology includes: Veal and Tsimplis (Citation2017); Ringbom (Citation2019); Choi and Lee (Citation2022).
4 Adding ASV and USV into the search term was trialled to test if it would provide additional resources. For Google Scholar it increased the search result to 841 but did not yield any additional useful resources. For HeinOnline it increased the search result to 39 but did not yield any additional useful resources. For Scopus it increased the result to 102.
5 For example, if ‘autonomous shipping’ was included, it may have resulted in this article being included which discusses the regulatory impact of autonomous vessels: Kim et al. (Citation2020).
6 Various countries have been developing autonomous vessels since the 1960s, for example the USA build of the SPURV, or Special Purpose Underwater Research Vehicle in 1957 [Gafurov and Klochkov (Citation2015)] Other general examples of research projects include the EU project Maritime Unmanned Navigation Through Intelligence in Networks (MUNIN) 2012 to 2015, the Norwegian project Autonomous Unmanned Vehicle Systems (AMOS) 2013 and the Korean project Autonomous Unmanned Surface Vessels For Maritime Survey and Surveillance 2011–2018.
7 Annexure 2 contains a literature map showing the distribution of topics in relation to each research question.
8 Note there are two other resources identified outside of the SQLR process that contribute to the literature on this topic; neither are peer reviewed, and one was published after the SQLR search process occurred. These are: Judson and Horne Citation2019; Horne (Citation2021a).
9 The International Maritime Organization in leading reform to better accommodate emerging technology within the international law framework. The IMO have published a suite of documents relevant to this topic including: IMO Doc. MSC 99/22, 5 June 2018, Regulatory Scoping Exercise for The Use of Maritime Autonomous Surface Ships (MASS); IMO Doc. MSC 100/20/Add.1, 3 December 2018, Framework for The Regulatory Scoping Exercise for the Use of Maritime Autonomous Surface Ships (MASS); IMO Doc. MSC 99/INF.3, 18 January 2018, Analysis of Regulatory Barriers to the Use of Autonomous Ships Submitted by Denmark; IMO Doc. MSC 101/INF.17, 2 April 2019, Draft Interim Guidelines for MASS Trials; IMO Doc. MSC.1/Circ.1604, 4 June 2019, Interim Guidelines for MASS Trials; IMO Doc. MSC.1/Circ.1638, 3 June 2021, Outcome of the Regulatory Scoping Exercise for the Use of Maritime Autonomous Surface Ships (MASS).
10 For example, Judson and Horne (Citation2019) state ‘Until the IMO has progressed its work on addressing MASS through IMO/ instruments, there is little that safety regulators can do regarding MASS technology on internationally trading ships’.
11 For example: Judson and Horne Citation2019, state ‘To a degree, for RAVs, AMSA is reliant on the IMO making changes to the international framework so that they can then be implemented in the domestic framework. In the meantime, AMSA would be looking for appropriate safety assurance and risk management processes to be in place, and for support from a recognised organisation, before it could consider using a flexibility arrangement to allow the vessel to operate, for example through an exemption, equivalent means of compliance, or alternative design arrangements’. and ‘Until the IMO has progressed its work on addressing MASS through IMO instruments, there is little that safety regulators can do regarding MASS technology on internationally trading ships’.
12 For example, The University of Queensland's Law and the Future of War team, working as part of the Trusted Autonomous Systems ‘Ethics and Law of Trusted Autonomous Systems’ common good activity, have published a number of papers seeking to identify and address key international law issues for autonomous systems, including: McKenzie (Citation2020); McKenzie (Citation2021, 146). Other examples of Australian literature include: Klein et al. (Citation2020, 719); McLaughlin (Citation2011, 100). In contrast, the only domestic exploration published when the searches were conducted for this SQLR are Judson and Horne (Citation2019), and Devitt et al. (Citation2021). One more domestically focused paper was released after that search date: Horne (Citation2021a).
13 Convention on the International Regulations for Preventing Collisions at Sea, 1972 (COLREGs) (https://www.imo.org/en/About/Conventions/Pages/COLREG.aspx).
14 The United Nations Convention on the Law of the Sea, adopted 10 December 1982, entered into force 16 November 1994, 1833 UNTS 397; International Convention for the Safety of Life at Sea, adopted 1 November 1974, entered into force 25 May 1980, 1184 UNTS 3. Both conventions apply to all ships, but neither not define ‘ship’.
15 For example, there is uncertainty regarding the way specific international conventions such as COLREGs apply to autonomous vessels, for both definitional and technical reasons, including how ‘ship’ is defined.
16 A list of sources identified by the SQLR is at Annexure 1.
Additional information
Notes on contributors
Rachel Horne
Rachel Horne is the Assurance of Autonomy Activity Lead at Trusted Autonomous Systems (TAS), Australia's first Defence Cooperative Research Centre. Rachel is also a PhD candidate and Industry Fellow with the Faculty of Law, Queensland University of Technology.
Felicity Deane
Felicity Deane is from the Faculty of Business and Law at Queensland University of Technology. Her research is focused on trade, environmental regulation and emerging technologies.
Keith Joiner
Keith Joiner is a Senior Lecturer in Test, Evaluation & Aircraft Systems at the University of New South Wales College at Australian Defence Force Academy.
Kieran Tranter
Kieran Tranter is the Chair of Law, Technology and Future, and the Director of the Humans Technology Law Centre, at the Faculty of Law, Queensland University of Technology.