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Case Studies on Transport Policy 8 (2020) 700–710

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Case Studies on Transport Policy


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Innovation and maritime transport: A systematic review T


b a,b,⁎
Theodora Koukaki , Alessio Tei
a
Department of Economics and Business, University of Genoa, Italy
b
School of Engineering, Newcastle University, UK

ARTICLE INFO ABSTRACT

Keywords: Innovation is often defined as the introduction of a new concept aiming at improving a certain situation, either
Innovation process using new solutions or a novel combination of already existing resources. In the shipping industry, innovation is
Shipping innovation a determining factor of shipping evolution and company success. Despite the important role that innovation
Port technology plays for the shipping industry, academic research is quite fragmented as it usually focuses on specific cases with
Shipping advancements
few attempts for generalisation. Thus, despite a growing interest from scholars, the shipping industry is still often
defined as conservative and it is often not easy to highlight innovative trends and common methodologies to
investigate innovation in the maritime sector. The current study applies a systematic review approach in order to
discuss main trends in current innovation studies as well as for understanding if published researches are aligned
with the industry plans. The research finds out that industry is often leading the research agenda while scholars
are often more focused in discussing the innovation implementation phase rather than looking for novel ap-
plications or developments.

1. Introduction existing resources brought about by changes in technology and/or organi-


zation’. Furthermore, Schumpeter (1949) describes innovation as an
The maritime sector has been often considered conservative (e.g. effort that produces gain by reducing costs or increasing incomes, high-
Acciaro et al., 2018; Stopford, 2009) when it comes to deploying new lighting that innovation is a historic and irreversible change in the way of
technologies or developing new market solutions. This assumption is doing things. Similar definitions can be found in the literature (e.g.
often underlined by related policy papers [e.g. the port industry ranked Arduino et al., 2013). Despite a general understanding on what in-
as one of lesser innovative sectors in the research promoted by Inter- novation could be, several authors (e.g. Jenssen and Randoy, 2002)
national Transport Forum on innovation (ITF, 2010)] and academic translate this concept in different ways – depending on their field of
researches (e.g. Acciaro et al., 2014). Despite this, some authors (e.g. studies (e.g. engineering, business, social studies, economics) and the
Acciaro et al., 2018; Arduino et al., 2013) argue that innovation in the different markets – producing a variety of specific definitions of “in-
port and shipping sectors is developing fast but there is an issue be- novation”. On the top of this issue, it is important to underline that
tween attempts to innovate and capability of achieving the intended sometime there is confusion on the difference between innovation and
goals. The presence of such frictions might affect the perspective in innovation process, with the former one being the innovative element
judging the capability of the sector on achieving a certain innovation and the latter one being the process (including effects and con-
level. Moreover, the use of the term innovation can be often mis- sequences) leading to the application of the innovation (e.g. Galanakis,
interpreted, in terms of both analytical approach (e.g. technological vs 2006). Thus, often innovation studies are focused not on the former but
cost) and expected “innovative element” (e.g. can a reorganisation be on the latter, without clearly stating it.
considered an innovation?). These various definitions that are found in the literature are proof
In modern economics a first definition of innovation can be traced that innovation is in fact a complex concept and can be viewed dif-
back to the beginning of the 20th century and the work of economist ferently depending on the background and the point of view of each
and political scientist J.A. Schumpeter. In relation to shipping researcher. In relation to the maritime industry, while innovation
Thanopoulou et al. (2010) stated that innovation includes both orga- should be considered a fundamental element for successfully compete
nizational and technological factors and in accordance with Schump- in the market – as demonstrated by the cases of slow steaming, mega-
eter’s work is defined as ‘the new uses and/or combinations of already ships, and recently by the possible introduction of autonomous vessels


Corresponding author.
E-mail address: alessio.tei@unige.it (A. Tei).

https://doi.org/10.1016/j.cstp.2020.07.009
Received 10 October 2018; Received in revised form 10 April 2020; Accepted 15 July 2020
Available online 21 July 2020
2213-624X/ © 2020 World Conference on Transport Research Society. Published by Elsevier Ltd. All rights reserved.
T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

and blockchain systems – most of the research in this direction is Concerning the methodological strategy, according to several pa-
fragmented as it usually focuses on specific case studies or in assessing pers (e.g. Calatayud et al., 2016; Gligor & Holcomb, 2012; Denyer &
specific innovation cases. Only a few contributions considered multiple Tranfield, 2009) an optimal approach to assess and compare different
innovations (e.g. Arduino et al., 2013; Vanelslander et al., 2016) or sources is through a systematic literature review method. This approach
their effects in changing a specific maritime service (e.g. Lau et al., allows the researchers to gather the needed information collecting,
2013) but even in these cases the research is normally focused in comparing, and assessing several sources through an unbiased ap-
comparing different case studies, without an overall consideration on proach. The systematic literature review is normally based on 5 main
how innovation could be defined within the maritime industry as whole steps (Denyer & Tranfield, 2009):
and where the research is mainly headed to.
Thus, while some research areas are often focusing on technical a) Problem definition and formulation
advancements (e.g. use of AIS data, ship design, carbon emission, au- b) Literature research
tomation) others are more focused in organisational (e.g. routings, new c) Literature assessment
financial solutions) “innovations” with recent studies discussing po- d) Analysis and Interpretation
tential future macro-trends (e.g. blockchain). Moreover, research pa- e) Discussion of results
pers are quite often focused in case studies that apply innovations only
for specific market sub-sectors (e.g. Ferrari et al. (2015) and Cariou At the end of the analysis the review will allow to summarize main
(2011) focused on slow steaming in container shipping as an innovative assessed literature in a comprehensive and unbiased manner, devel-
strategic behaviour) not considering similar applications of the same oping a structured aggregation of definitions and knowledge otherwise
innovation in other shipping markets (e.g. Bausch et al. (1998) dis- contained in a disperse series of studies that will allow us to fill the
cussed the application of slow steaming for optimizing bulk related current gap in the assessment of innovation in shipping.
services). At the best of our knowledge, there is no attempt to under-
stand the main trends of the entire maritime industry, causing a scat-
2.1. Problem definition and formulation
tered discussion arena that sometime is incapable of developing solu-
tions for the whole maritime industry.
As mentioned above the aim of the paper is threefold and it focuses
Thus, in an attempt of providing an improved framework for
on understanding how innovation is studied and defined in the mar-
studying innovation in the maritime industry, this paper will perform a
itime industry from both an academic and industry perspective.
systematic review aiming at understanding main trends in the innova-
In order to achieve these goals, the identification of keywords
tion studies performed in the maritime sector as whole. The proposed
capable of defining the assessed problem represents a fundamental step.
research will then contribute to current knowledge in three different
Given the aim of the research, the keyword “Innovation” is used as
ways. Developing a systematic literature review will possibly define
primary element of research. The maritime industry is often separated
how innovation is normally studied in the shipping sector and what
between the sea-side of the business (e.g. ship design, propulsion) and
researchers consider as “innovation”. Moreover, through a comparison
the land-side activities (e.g. terminals, port authorities, and infra-
of different sources (i.e. Scopus for the scientific papers and Tradewinds
structure related innovations). Hence the literature research includes
for industry related news) it will be assessed if academic research is
two specific keywords (i.e. “ports” and “shipping”) in order to consider
normally in line with industry perspectives or if different trends can be
the potential double nature of the maritime industry. Moreover, this
highlighted. Eventually, an overall maritime innovation framework will
differentiation allowed us to consider differences in terms of technology
be developed, in order to better understand which of the innovation
evolution and applied market solutions, taking into consideration a
typologies are attracting most of the interest and if there is a path that
wider range of elements.
affects the research on innovations in the maritime industry.
Once defined the main elements of the problem, the database
The paper is structured as follows. After this brief introduction,
Scopus has been primarily used for assessing main academic researches.
Section 2 discussed the methodological approach, including some pre-
Two sets of general keywords have been selected in the search engine:
liminary statistics on the paper included in this review. Section 3 is
“Innovation AND shipping” and “Innovation AND ports”. The first sets
dedicated to the discussion of the findings and the main aspects that can
were able to identify 460 and 1037 papers, for shipping and ports re-
be extrapolated be the analysis. Section 4 addresses the concluding
spectively. After a first screening, most of the papers seemed to include
remarks and the potential insights for both researchers and practi-
shipping and port related papers that were not dealing with innovations
tioners.
directly affecting the maritime industry but they were also including,
for instance, general transportation studies or innovation studies with
2. Methodological approach marine related business cases (e.g. bioengineering, fishery). For this
reason, a further selection has been made, adding the filter “Maritime”
The research has been developed through a collection of different to the previous selections2. This last step allowed us to reduce the se-
papers, available on the database Scopus until the spring 2018. Further lection to 172 and 189 papers, respectively3. The filter is consistent
readings have been also included in the analysis but only with the aim with the fact that often the term “maritime” in linked to a more
of increasing the robustness of the literature review. Since the database
Scopus (2018) only includes academic research, Tradewinds (2018) has
(footnote continued)
been also used to collect news on industry and market announcements, industry and academia and given that it is used as a term of reference for the
with the aim of better understanding if industry and academia are industrial trends, it is reasonable to use it alone (also for avoiding “double
aligned in the definition and study of innovation in shipping. Trade- counting” if associated with other news media).
winds is a specialised shipping online newspaper commonly used by 2
The papers selected are therefore focusing on the maritime industry as core
relevant maritime companies and consultants and represents one of the of their research. Nevertheless, some of these papers include some considera-
main information sources on the maritime industry1. tions on wider logistic elements that could affect the maritime industry, such as
inland ports. These aspects are normally not the primary focus of the related
research.
1 3
While Scopus database is generally accepted as the main provider of sci- Given the potential issues in replicating results (e.g. due to the changing
entific literature, authors acknowledge the presence of several alternative samples over time and the continuous publishing activities on different business
providers of industry related news (e.g. Lloyds List). Despite this, TradeWinds is innovations), the full list of the assessed papers is available from the authors,
considered a reliable source of information for market trends by both the upon request.

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T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

industrial, business, and economic perspectives. A further screening trend. Fig. 1 shows then the process followed in the analysis.
exercise slightly reduced the number of papers, since some double From the original wider selection of papers (outcome of step 1),
counted papers (e.g. conference papers that were later published in subsequent refinements (i.e. use of the filter “Maritime” [step 2]; as-
journals) were excluded. The final number of papers assessed was then sessment of the scope of the research and potential impact on the
down to 322 manuscripts (i.e., 152 and 134 papers for ports and overall maritime industry, and the exclusion of researches that deals
shipping, respectively). These papers have been published over the last only with historical or educational elements and [Step 3]) led to the
four decades, with the first assessed paper (related to innovations in final paper selection that has been discussed in relation with alternative
shipping) published in 1982. Nevertheless, less than 15 and 10 papers, sources (e.g. industry news, citations, and references [Step 4]). This
for the shipping and port selections respectively, are older than process leads to the outcome of the proposed research. The detailed
20 years. methodological process is discussed in the following subsections.
Among these selected papers, 36 items appear on both selections,
representing papers that discuss innovative solutions that might affect
the maritime sector as whole. In assessing the 36 papers, some further 2.2. Literature research
reductions needed to be developed, eliminating two further papers from
the original selection given their focus on either historical issues or Concerning the literature research, it has already been noticed how
learning exercises rather than developing an analysis on innovation in only 11% of the 322 analysed papers focused on innovations on the
maritime industry. All other papers - even if some might be focused on maritime industry as whole. Despite this, all the papers have been
political interventions (e.g. US Department, 2013) – remained included considered for the preliminary literature research. In order to select the
in the sample since they – at least partially – discuss innovations in the papers to focus on, two main criteria have been used, following the
maritime industry. Most of the analysis that follows focuses on the Critical Appraisal Skills Program checklist often used in review assess-
common 34 papers while the others have been used only for quanti- ments (e.g. Calatayud et al., 2016; Wang and Notteboom, 2014): i)
tative assessment (e.g. topics covered) as described in the following relevance of the study in respect to the research question; ii) quality of
subsections. Nevertheless, the small amount of papers included in this the study. The two criteria guarantee that the subset of analysed sources
selection underlines how only a small percentage of the papers labelled can be representative of the main research streams as well as of the
under “shipping” or “port” innovations is actually covering the overall highest quality. For instance, conference papers, book chapters, and
maritime industry, demonstrating a scattered framework in studying published articles were considered differently in the literature assess-
innovations within the maritime sector. ment, given the different reviewing process that normally accompanies
Eventually, starting from the findings of the scientific literature their selection process.
analysis, the specialised source Tradewinds has been used in order to Moreover, in studying the selected papers, references and citations
collect industry view on innovations issues. Same keywords have been have also been considered in order to better understand if it was pos-
used in the research engine of the Tradewinds website in order to sible to enlarge the discussed sample. Nevertheless – apart from theo-
gather a similar set of inputs for the analysis. The main difference be- retical works (e.g. innovation theory), industry reports, and papers used
tween the two databases is the fact the Tradewinds publishes news as examples for specific aspects of the transport industries (e.g. market
daily, generating a more frequent discussion arena. 685 and 244 articles organisation, industry trends) – almost all the cited papers were either
were then been exported, discussing shipping and port innovation already included in the first paper selection or just focusing on the
news, respectively. These articles have been assessed only in terms of technical assessment of the studied innovations (e.g. how a certain
the discussed topic in order to identify if there was an alignment be- propulsion system works). Despite this, some of the references and
tween the industry innovation discussion and the scientific publishing citing papers have been used in the next sections to better discuss the
main trends of the industry.

Fig. 1. Structure of the performed analysis.

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T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

Fig. 2. Manuscripts sources. Source: Own Elaboration from Scopus, 2018.

Concerning the overall general statistics of the analysed papers, the Maritime University (2.6%), and Australian Maritime College (1.5%),
sample includes papers published in 129 and 118 different editorial while ports related researches have been mainly developed by scholars
“sources” (e.g. journal series, books, conference proceedings, etc.), for from the University of Antwerp (4%), Delft University (3.2%), and
shipping and ports respectively. Interestingly, only 39 of these re- Shanghai Maritime University (3.2%). Despite this, a scattered situation
present a common publication source for researches on both ports and can be highlighted, as shown in Table 2, showing a generalised interest
shipping, highlighting a certain specialisation in their editorial strategy. in the “maritime innovation” topic worldwide.
Considering the overall assessed papers (i.e. 361 papers of step 2), Looking at the content of the papers, most of the researches are
the distribution of sources is shown in Fig. 2. Given the need for ad- either belonging to the Business (i.e. logistics studies) or the
dressing quality issues, journal articles – that represents about 60% of Engineering (i.e. technological development) areas. Moreover, most of
the total – have been used to better understand the main research lines them are focusing on the generalities of studied innovations in either
that are currently discussed in the scientific studies while other sources the shipping or the port sector with case studies (either on specific
have been used to either check latest interests and developments (e.g. regional contexts, mainly in the port field, or on technologies, mainly in
often included in conference proceedings) or validated knowledge (that the shipping field) that are often used as way to strengthen the focus. It
is normally published in books). is important to highlight that most of the “innovations” studied are
Concerning the wider sample (i.e. the 322 studies), Table 1 lists the often recurring (e.g. slow steaming, first applied to bulk shipping and
top 10 publishing sources. As it is possible to see, some of them re- then to container; first studies on the reduction of air emission started
presents either specialised series or conference proceedings (e.g. Mar- in ‘80 s but still debated; wind assisted propulsion studied in the ‘70 s;
itime by Holland, Holland Shipbuilding, Conference on Information scrubber identified by a report in the ‘90 s as potential solution for the
Management), showing an ongoing discussion on “maritime” innova- air pollution) but with few possibilities to highlight clear relevant so-
tion and the interest of practitioners. lutions that the author(s) foresee as future standard (as most of the
It is important to highlight that most of the specialised series (and innovations highlighted above confirm).
conference proceedings) include the majority of the technical assess- While it is not possible to identify trends in the discussion of specific
ments (e.g. propulsion system, novel bunkering solutions) and they are innovations, the studies above are often linked to specific clustered
often specialised in specific industry aspects (e.g. either the ship or the trends, for instance, one of the recent one (started in last ten years) is
port) while journals generally include more generalised assessments. connected to the application of new computing technologies in shipping
Considering authors’ affiliations, shipping related studies have been and ports, such as cyber-security, automation, and, Internet of Things
published mainly by authors from Delft University (3.1%), Dalian (IoT), in which several studies have been published in journals

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T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

Table 1
Top 10 sources publishing studies on innovation cases in maritime industry.
“Shipping” “Port”

# Source Number of published Source Number of published


papers papers

1 Maritime By Holland 21 Maritime By Holland 14


2 Maritime Policy And Management 13 Maritime Policy And Management 9
3 Holland Shipbuilding 4 International Conference On Information Management 5
Innovation Management And Industrial Engineering 2009
4 Transactions Society Of Naval Architects And Marine 4 Journal Of Transport Geography 4
Engineers
5 Marine Policy 3 Maritime Economics And Logistics 4
6 Proceedings of the Annual General Assembly International 2 Journal Of Maritime Research 3
Association Of Maritime Universities 2014
7 Proceedings 2011 International Summer Conference Of Asia 2 Ocean And Coastal Management 3
Pacific Business Innovation And Technology Management
8 Applied Mechanics And Materials 2 Ports And Networks Strategies Operations And Perspectives 3
9 Asian Journal Of Shipping And Logistics 2 Research In Transportation Business And Management 3
10 Business History 2 Research In Transportation Economics 3

Source: Own Elaboration from Scopus, 2018.

Table 2 alternative fuels, new routing systems) that generated specific groups of
Top 5 institutions and countries publishing studies on innovation cases in studies.
maritime industry. Interestingly, within these “clustered trends”, researchers normally
Ports Shipping look at the single point of view of either the ports or the shipping sides
of the business, with only few studies that try to understand the overall
Rank Affilitation % Rank Affilitation % system. Thus, papers that study automation are normally focused on
either the port or the ship technologies but they do not assess the in-
1 Universiteit Antwerpen 4.0% 1 Delft University of 3.1%
Technology tegration in both systems, despite the obvious need for it. Similarly,
2 Delft University of 3.2% 2 Dalian Maritime 2.6% green policies are normally assessed at either land-side (e.g. cold-ir-
Technology University oning as a problem for the terminals) or at sea-side (e.g. alternative
3 Shanghai Maritime 3.2% 3 Australian Maritime 1.5%
fuels as a problem for shipowners), generating asymmetric trends in the
University College
4 Universita degli Studi di 2.8% 4 Hogskolen i Agder 1.5%
research, depending on either the port or the ship point of view.
Genova From these preliminary insights, it is therefore possible to highlight
5 Erasmus University 2.4% 5 University of Liverpool 1.5% that i) innovation studies in the maritime industry comes into “waves”
Rotterdam of research, with specific topics clustered in specific time periods (e.g.
Dalian Maritime 2.4% Cardiff University 1.5%
Environmental vs Containerisation) and ii) while innovations drag quite
University
Others 81.9% Others 88.1% attention, overall they have been studied from a quite general and
heterogenic point of view, with no possibility to determine specific
Ports Shipping
innovations that polarise the attention of researchers more than others
Rank Country % Rank Country % or that are identified as surely successful in achieving the planned
goals. This latter point seems to be in line with Acciaro et al. (2018) for
1 United Kingdom 3.1% 1 China 11.3% the port innovation sector as well as with other authors (e.g. Arduino
2 United States 2.6% 2 United States 10.1%
3 China 1.5% 3 Italy 6.5%
et al., 2013) for specific transport and technology related innovations.
4 Netherlands 1.5% 4 Netherlands 6.5% As mentioned earlier, only 34 papers assessed innovation as an in-
5 Germany 1.5% 5 Belgium 5.2% tegrated aspect, linking both the sea- and the land-side of the sector. For
Others 89.7% Others 60.5% this reason, these papers are the focus of the current study.
Source: Own Elaboration from Scopus, 2018.
2.3. Literature assessment
belonging to all main disciplines (e.g. Computer Science, Engineering,
Business, Politics, and Environment) somehow connected to the mar- Concerning the 34 papers included in the main studied sample,
itime sector. Nevertheless, it is the Environmental aspect that is now Table 3 summarizes their main bibliographical information. Within the
“monopolising” the discussion in the maritime innovation field: alter- studied papers, most of them assess specific case studies, either in terms
native fuels, green port policies, new technologies (e.g. mooring sys- of market development (e.g. Notteboom and Rodrigue (2008) focus on
tems, propulsion, ship design, ship and port emission control systems) general container market integrations, assessing innovation as new
as well as new informatics and organisational systems, able to reduce organizational paradigm) or in terms of specific innovations (e.g.
the impact of shipping on environment, represent the majority of the Lešinskis and Pavlovičs (2011) discuss the potential introduction of
studies published under the “innovation” label in the past few years. specific technology to increase port and ship productivity in certain
Fig. 3 provides an example of different “clustered studies” and trends, weather conditions). Despite this, a few of the highlighted studies focus
highlighting the cumulative percentage of studies included in three on general innovation trends (e.g. Vanelslander et al., 2016; Van Den
tentative categories (i.e., “Environment” and “Containerisation”) in Hanenberg, 2012) that might change the future of the industry. Inter-
which – for instance - it is possible to underline how almost 70% of the estingly, most of these studies belong to different fields of research (e.g.
studies looking at the Environment have been published after 2010, engineering for technology and ship design related studies; economics
while the Containerisation topic have seen different “waves” of interest and business for industry assessments; social sciences and law for some
due to specific innovative solutions (e.g. transhipment, mega-ships, of the general studies) generating a variety of methods that are not
normally acknowledged by the different selected researches while the

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T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

Fig. 3. Cumulative percentage of studies focusing on specific aspects. Source: Own Elaboration from Scopus, 2018.

only common approach used is the development of ad-hoc assessments fact has been also highlighted in Acciaro et al. (2018) where the authors
in relation to the discussed case studies. This approach, even if useful to underline how environmental solutions have often success as incidental
achieve the researched aim, does not normally allow generalisations of effect of innovations that were planned to achieve other kinds of goals
the research outcomes or comparison among the different results. This (e.g. efficiency, cost cutting), defining environment as “incidental goals
latter aspect is also confirmed by the relevant references cited in the for many innovations”.
sampled papers, with relative high percentage of general references Considering the publication trends, only one of the selected papers
(e.g. on market development studies, on innovation studies developed was published before 1990, and only three others have been published
for other markets) but with only a few attracted citations from other in the ‘90s. Concerning environmental aspects – similarly to the main
fields of study. This “loop” of citations potentially creates a closed circle trends highlighted above − 80% of the papers have been published
of readership that might reduce the capability of the research to achieve after 2011, demonstrating a rediscovered importance of the green is-
a wider impact in the academic community. sues in the maritime industry. All other topics are generally evenly
Concerning the abovementioned papers, 14% of them were pub- spread over the studied timeline with the only exception of “Technical
lished in the Maritime by Holland series while 13% were published by and Technological aspects”: for these 5 studies, all the papers have been
either Maritime Policy and management or Maritime Economics and published within the last decade. This latter aspect is not confirmed in
Logistics. Thus, almost one third of the “maritime innovation” items the wider selection of papers: in the wider group of 322 papers tech-
were published in specialised sources. On the other hand, the other nical and technological issues are again evenly spread over the time.
papers were either published by conferences or as part of general This discrepancy is quite important: technical and technological de-
transportation and logistics journals (e.g. Journal of Transport velopments (e.g. ship systems, ship propulsion, port infrastructure, Port
Geography, International Journal of Transport Economics, Transport) Community System) have been historically studied separating shipping
with the only exception of the Asian Journal of Shipping and Logistics. from ports while recent researches seem to include a more systemic
Thus, most of the studies on innovation in the maritime sector as whole approach as well, given the integrated systems that most of the com-
are normally presented to a more generalised audience that is normally panies are now interested to develop. On the opposite, only few sys-
not only linked to the shipping business. temic studies have recently published on Automation and IoT devel-
Despite this latter consideration, all the assessed studies are in- opments that include both the sea and land side of the industry (e.g.
cluded in transport related publications, with the recorded citations Collier et al., 2018) while most of the published studies focus on either
mostly present within this field. This fact underlines an unbalanced the development from a port (e.g. Mileski et al., 2017) or ship per-
situations: most of the maritime innovation studies are based on general spective (e.g. Fischer, 2017) without discussing the modifications of the
innovation theory and reference different fields (e.g. informatics, fi- industry as whole. Similar issues might be highlighted in terms of in-
nance, general engineering) in respect to the studied innovation, novations that should have an impact on the wider logistics (e.g. dec-
nevertheless similar spillovers do not normally happen in favour of arbonisation) due to their link to both port infrastructure (e.g. bunker
maritime innovation studies, generating the closed audience mentioned station, cold ironing) and ship technology (e.g. new fuels, propulsion
above. systems) but that they are currently studied with no systemic approach.
The areas of study assessed by the papers are similar to the main Thus, within the 34 assessed papers (and related references and
sample, with the Environmental solutions that represent the relative citations) it is possible to highlight some specific trends. All the cited
majority of the papers published. Table 4 shows a classification of the papers, even utilizing different angles, seem to be interested in under-
papers, aggregating them in 6 main categories in respect to the main standing how a certain solution (or group of solutions) is developed and
discussed topics: “Environmental Innovation”, “Routing and Organisa- deployed within the maritime industry rather than investigating future
tion”, “Technical systems and Technological aspects”, “Logistics”, developments or advancements of the solution itself. The discussion,
“General Innovation”, and “IoT and Automation”, as also summarised even within technical papers, is therefore focused on effects and con-
in Table 3. Interestingly, some of the technical (e.g. on a specific sequences and rarely on the novelty of the innovation (e.g. Portella
technology), logistics (e.g. development of new train services), and et al., 2011). The innovation process (and then the application of the
organisation related (e.g. new routing systems) papers do often have innovation) is therefore the focus of the academic studies in the mar-
environmental implications, increasing the importance of that parti- itime industry and as it was for most of the 322 overall selected papers –
cular aspect (e.g. in Table 3 some papers have been listed as both the studies rarely focus on understanding if the specific innovation will
“Environment” related and “Routing and Organisation” related). This become the standard to solve a certain issue. Simple examples of this

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T. Koukaki and A. Tei Case Studies on Transport Policy 8 (2020) 700–710

Table 3
Selected papers.
Year Paper Main focus Main area of study

1988 Wright (1988) - Potential port responses to new information systems on ships Information Technology Technical systems and Technological
aspects
1994 Rissoan (1994) - River-sea navigation in Europe Ship design and routing systems Environment & Routing and
Organisation
1994 Slack (1994) - Domestic containerization and the load centre concept Logistics and Intermodal transport Logistics
1996 Nuhn (1996) - The ports between Hamburg and Le Havre Logistics and Intermodal transport Logistics
2004 Theis et al. (2014) - Role of technology in achieving environmental policy goals in Technological solutions for improving Environment & Technical systems and
the maritime transportation system environmental performance Technological aspects
2004 Hansen (2004) - Automated shunting of rail container wagons in ports and terminal Logistics and Intermodal transport Logistics
areas
2005 Pando et al. (2005) - Marketing management at the world's major ports Innovation and marketing tools General
2008 Notteboom and Rodrigue (2008) - Containerisation box logistics and global supply Logistics and Intermodal transport Logistics
chains: The integration of ports and liner shipping networks
2010 Corbett et al. (2010) - International maritime shipping: The impact of globalisation Service patterns and industry organisation Routing and Organisation
on activity levels
2011 Cho and Yang (2011) - Identifying country environments to increase container Country environment to improve Environment
traffic volumes shippping performance
2011 Portella et al. (2011) - Single-pour / single pass loading an innovative concept for a Ship design Technical systems and Technological
new generation of ore carriers aspects
2011 Lešinskis and Pavlovičs (2011) - The aspects of implementation of Unmanned Technological solutions for improving Technical systems and Technological
Aerial Vehicles for ice situation awareness in Maritime Traffic shipping and port performance aspects
2012 Shin et al. (2012) - Gyeong-in Waterway puts Seoul back on the maritime map Port investment General
2012 Van Den Hanenberg (2012) - Dutch maritime innovations honoured Policy intervention to promote innovation General
2012 Buitelaar (2012) - Global holland BigLift: Rather be smarter New industry trends Technical systems and Technological
aspects
2013 Utama and Jamaluddin (2014) - Development of mono and multihull resistance Ship design for boosting environment Technical systems and Technological
sustainable marine technology development and green innovation performance aspects
2013 de Langen et al. (2013) - Business models and network design in hinterland Industry organisation and Logistics Logistics
transport
2013 Van Den Hanenberg (2013) - The Dutch inland shipping industry: Rising to the Logistics and Intermodal transport Logistics
challenges
2013 US Department for Transportation* (2013) - America's marine highway: Report to Service patterns and industry organisation General
congress
2015 Huang (2015) - A comparative study on pollutant emissions and hub-port selection Maritime missions in context of Routing and Organisation
in Panama Canal expansion infrastructure modifications
2015 Hermann et al. (2015). - Innovation in product and services in the shipping retrofit Ballast water systems Environment
industry: A case study of ballast water treatment systems
2015 Van Den Hanenberg (2015) - It's time for 'green ships' Green shipping Environment
2015 Yannoulis (2015) - Fostering sustainable maritime transport within the EU-work New service patterns to increase Environment
status at the european sustainable shipping forum sustainability
2016 Vanelslander et al. (2016) - Innovation among seaport operators: A QCA approach Evaluation of innovation patterns General
for determining success conditions
2016 Da Costa and Goncalves (2016) - Routing problem with pendular and cyclic service Service patterns and industry organisation Routing and Organisation
in a hierarchical structure of hub and spoke with multiple allocation of sub-hubs
2016 Wang and Hong (2016) - Spatial structure of container port systems across the Service patterns and industry organisation Routing and Organisation
Taiwan Straits under the direct shipping policy: A complex network system
approach
2016 Morrissey and Cummins (2016) - Measuring relatedness in a multisectoral cluster: Economic assessment of a maritime related General
an input–output approach cluster and its trends
2017 Myles (2017) - Maritime clusters and the ocean economy: An integrated approach Coastal management tools Environment
to managing coastal and marine space
2017 Heilig and Voß (2017) - Port-centric information management in smart ports: A Logistics and Intermodal transport Routing and Organisation
framework and categorisation
2017 Geerlings and Wiegmans (2017) - Technological innovations Technological solutions for improving Technical systems and Technological
shipping and port performance aspects
2018 Collier et al. (2018) - Scenario Analysis and PERT/CPM Applied to Strategic Automation in ports IoT and Automation
Investment at an Automated Container Port
2018 Maritime by Holland* (2018) - Port related start-ups gather in Rotterdam Information Technology IoT and Automation
2018 Tran and Haasis (2018) - A research on operational patterns in container liner Service patterns and industry organisation Routing and Organisation
shipping
2018 Villa-Caro et al. (2018) - A review of ship mooring systems Technical systems (i.e. mooring) and its Technical systems and Technological
impact aspects

* represents papers in which the author(s) is not directly acknowledged.

ongoing focus are represented by the general papers (e.g. Morrissey and actual studies on the specific innovation to other fields of research (e.g.
Cummins, 2016) or the business-oriented ones (e.g. Tran and Haasis, scholars only interested in the development of fuels but not specifically
2018). Concerning this aspect, the knowledge transfer from other in- in shipping).
dustries is emblematic: most of the discussed solutions (e.g. automa- The focus on the “process” that lead to an innovation rather than on
tion, new fuels) are often either pushed by political decision makers the study of the “innovation” itself obviously affects the methodologies
(e.g. IMO regulation on pollution [Traut et al., 2018]) or studied for used. As already mentioned, most of the papers address case studies, in
other sectors and then adapted to the maritime industry (e.g. in the case most cases adapting general methodologies (e.g. qualitative methods,
of automation [Lešinskis and Pavlovičs, 2011]), leaving most of the statistical tools, econometric analysis, simulation theory) to the specific

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Table 4
Area of studies of the selected papers.
Main area of study Example of Innovation # of papers % of papers

Environment Ballast Water management system 8 23.5%


Routing and Organisation Network Optimisation 7 20.6%
Technical Systems and Technological aspects All Weather Cranes 5 14.7%
Logistics PCS 6 17.6%
General Decision Support System 5 14.7%
IoT and Automation Automated terminals 3 8.8%

Table 5
Main Innovations discussed in specialised new sources.
Innovation Typology Main Area of Study Implemented

Alternative Fuels: Liquefied Natural gas (LNG) Fuel Environment Yes


Exhaust Gas Cleaning Systems (Scrubbers) Fuel Environment Yes
Alternative Fuels: Distillates Fuel Environment Yes
Alternative Fuels: Liquefied Petroleum Gas (LPG) Fuel Environment Yes
Alternative Fuels: Methanol Fuel Environment No
Alternative Fuels: Biofuels Fuel Environment No
Alternative Fuels: Hydrogen Fuel Environment No
E-market platforms ICT IoT and Automation Yes
Blockchain ICT IoT and Automation No
Cybersecurity ICT IoT and Automation Partially
All weather terminals Ports Environment Yes
Port community systems Ports Technical Systems and Technological aspects Yes
Cold ironing Ports Environment Yes
Ballast Water Management Systems Ship Technology Environment Yes
Slow Steaming Strategy Routing and Organisation /
Ship Size Ship Technology Technical Systems and Technological aspects /
Advanced materials Ship Technology Technical Systems and Technological aspects /
Flettner rotor Ship Technology Technical Systems and Technological aspects No
Big data analytics ICT IoT and Automation Partially
Robotics Ship Technology IoT and Automation No
Sensors Ship Technology Environment Partially
Smart Shipping Strategy IoT and Automation No
Autonomous vessels Ship Technology IoT and Automation No

Source: Own Elaboration from TradeWinds, 2018.

case, with many descriptive approaches aiming at addressing the pos- studies on the technical side (e.g. ship design, propulsion systems) that
sibility to achieve the specific goal of the paper rather than developing do not take into consideration the effect of such innovation on the
further the studied solution (e.g. proposing improvements related to the overall maritime industry. These latter studies are not included in the
discussed innovations, individuating novel applications, assessing the closed sample and do refer on publications on specific industrial chal-
possibility of further benefits). This makes most of the conclusions lenges (e.g. Coraddu et al. (2016) assess the maintenance of propulsion
difficult to generalise or to have an immediate impact in developing system through a simple ship perspective with no consideration of the
further the studied “innovation”. overall system). Despite the presence of such body of research, most of
them acknowledge the role of industrial research in driving new ad-
vancements in the maritime sector, either through specific funding or
3. Analysis and Interpretation through collaborative projects: while in most of the industrial sectors
innovation is led by academic research (e.g. Mansfield, 1991; Perkmann
As mentioned earlier, the 34 assessed papers generate doubts on the et al., 2013; Giannopoulou et al., 2019) this seems not to be the case
study of innovation in the maritime industry, often focusing more on when it comes to the maritime sector.
the implementation phases of certain innovative solutions rather than
on studying (or developing) the innovation concept itself. The discus-
sion of the innovation process is equally important but often creates a 3.1. Innovation debate within the maritime industry
misunderstanding in the critical debate of innovation in shipping.
Extant evaluations of groups of innovations (e.g. Acciaro et al., 2018; Considering the potential role of the industry in promoting novel
Vanelslander et al., 2016) have the stated aim of achieving a better solutions, the database of TradeWinds has been used to check the dis-
understanding of the effects of certain innovative solutions on the cussed topics on new innovations in the maritime industry. The analysis
market. Similar situations could be found in cases in which the papers has been developed using a similar approach in respect to the academic
are not explicitly discussing innovations, but the topic is strictly related literature: the same keywords have been searched in the database,
to them (e.g. de Langen et al., 2013; Notteboom and Rodrigue, 2008). highlighting 685 papers for the port and 244 for the shipping innova-
Nevertheless, several researches state their aim as the study of in- tion categories. This new set of news has then been investigated in
novation cases in shipping (e.g. Makkonen and Inkinen, 2018; Fanelis, terms of discussed innovations and general discussion. Given the nature
2013) but they do become descriptive and focus only on the effects of of the debate, industry discussion is normally more specific in assessing
the discussed innovation deployment with only limited advancements new trends, being more interested in the benefits of implementing
in the knowledge of the innovation itself. This potential inconsistency certain solutions rather than discussing general characteristics or case
between the stated aim and the achieved goal is partially reducing the studies.
impact of academic research in the field, only mitigated by specific Table 5 sums up the main technological solutions discussed within

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the TradeWinds database. The time range for the research was given the different market conditions that could lead operators in
2000–2018 given that most of the discussed scientific papers were choosing alternative solutions. Thus, it is possible to highlight that
published in that period. All the discussed innovations have been while academic research is mainly focused in assessing either the effects
classified per typology (in relation to the main aspect discussed) and of certain innovations or to retrospectively understand success and
main area of study (following the classification used in Tables 3 and 4 failure of them, industry is more focused in discussing pros and cons of
for the scientific literature). A specific link to news is not provided in potential new applications and solutions. This difference seems to
the table given that most of the issues have been discussed in several generate a “pulling” role of the industrial interest with a “pushed” re-
articles, sometimes as part of either wider industry stakeholders’ in- search activity developed within the traditional academic debate.
terviews or as part of the assessment of wider company strategies. An interesting example is given by the comparison among
Moreover, Table 5 includes an indication of the implementation stage of TradeWinds articles and Scopus papers on automation in the maritime
the discussed solutions, highlighting if at least the most recent articles industry (and until a few years ago on Port Community Systems or
were discussing an implemented solution. On this latter aspect, it is Blockchain). While, starting from the 2000, automation has been dis-
important to highlight that while most scientific papers discuss in- cussed at industry level, this was almost missing in the scientific lit-
novations that are only partially developed – or still in their develop- erature. Interestingly, industry developed first automation systems (and
ment phase – for the industry related articles is the opposite: most of the similarly the information system) through knowledge transfer from
industry concerns focus on either the effect of the implementation of a other sectors with only a few specialised academic researches on the
certain solution or about the possibility to further improve a certain topics. Maritime literature came then later, assessing more the con-
existing innovation. Similarly, while the “typology” of innovation is sequences (e.g. Arduino et al., 2013) of the innovation rather than
quite relevant for the academic debate (i.e., forming “clustered “leading” its development or suggesting improvements capable of im-
trends”), different maritime stakeholders seem more focused on the proving the applied solutions. Thus, often academic works seem more
specific innovation that can bring more advantages to their businesses. interested in acting as an “observer” rather than being involved in the
Once again this does not mean that it is possible to identify clear future development of innovative concepts.
perspectives for certain innovation - or areas in which they can bring This important finding seems in contrast with major general studies
clear advantages – since it appears strongly dependent on the stake- on innovation whenever applied to other industrial sectors (e.g.
holders’ point of view. For instance, blockchain has been seen as Mansfield, 1991; Perkmann et al., 2013; Giannopoulou et al., 2019) but
bringing clear advantages by most of the shipping companies but au- it is in line with the concept of a maritime industry quite reluctant to
thorities are struggling in acknowledging it (e.g. Tradewinds, 2018; invest in new solutions (e.g. ITF, 2010; Stopford, 2009). This well-
Bavassano et al., 2020); LNG seems to be an effective choice for cruise known conservatism – as well as the difficulty in testing effects of in-
shipping but it is often rejected by bulk companies; etc. novative solutions in a market that is highly capital intensive as well as
dependent on networks – is often making easier to apply solutions al-
3.1.1. Industry vs academia ready established in other markets – or highly envisaged by relevant
As highlighted in Table 5, a common interest between Academia industrial partners - rather than investigating new ideas with high risk
and Industry is linked to environmental related innovations but in of not being deployed. Hence, the pulling effect the industry is currently
contrast with the scientific literature, the industry seems more inter- generating on the academic debate.
ested in the development of specific technologies to reduce the pollu-
tion rather than on the effects of specific policies or strategies (e.g. 3.1.2. Trends and patterns
integrated transport). Some of the papers included in the sample (e.g. As stated above, it is possible to identify some trends and patterns
fuel [Wang and Notteboom, 2014], ballast water systems [e.g. Hermann within the academic and industrial debate. A first element is connected
et al., 2015]) do address specific innovations including technical issues to the shift of the debate within academic papers: most of the papers
but they are generally more related to the implementation rather than experienced a shift in the discussed area of studies (i.e. categories in
to the development of such innovation. In this regard, Table 5 shows Table 3). For instance, almost 50% of the environmental researches are
how specific is the debate within the industry (e.g. Sensors, flettner concentrated in the year 2015, creating a critical mass of knowledge
rotors, specific fuels) while the academic debate is often quite generic capable of affecting subsequent analyses.
(e.g. pollutants, emission policies) with the only overlaps that happen Before the environmental aspect became a priority, most of the
on systemic approaches (e.g. blockchain, automation). Thus, while it is papers discussed diversified instances but – within the main analysis – a
possible to segment the debate into areas of study, it is not possible to common aspect was the identification of a link between the im-
highlight symmetries in the debate (e.g. a good example is the “dec- plemented innovation and diversified performance indicators (e.g. ef-
arbonisation” of shipping that is often cited in the academic literature ficiency, cost, etc.). From 2015, even if the primary focus of the study
but it is seldom in the industry debate due to the need of more precise was not on environmental issues, most of the papers started including a
solutions, e.g. alternative fuels). discussion on environmental effects (e.g. Heilig and Voß, 2017; Villa-
Moreover, some discussions seem to enjoy a cyclical pattern: this is Caro et al., 2018). This situation highlights the possibility to form a
the case of certain strategic or technological solutions (e.g. cold-ir- bundle of studies capable of shifting the point of view of several ana-
oning, flettner rotors, slow steaming) that are often considered viable lyses, promoting a wider discussion and a “multi-objective” debate.
solutions but only when certain market or technical conditions are met. Interestingly only few technology papers have been found in the
Thus, whenever these conditions are not met, the related “innovations” assessed sample: within the maritime innovation studies IoT, automa-
are not discussed, being “re-discovered” after a few years from different tion, and advanced technologies seem to be normally linked to a
market players. This cyclicality is often affecting the scientific debate as technological transfer from other sectors, limiting the academic interest
well: the case of slow steaming is emblematic with many authors (e.g. of maritime scholars, at least if the overall “maritime industry” concept
Ferrari et al., 2015) discussing it as novelty after the 2006 (mainly in is taken into consideration. On the other hand, within the wider sample
connection with container shipping) even if it has been in place several (i.e. the 322 papers), some technical innovations are analysed, but they
times in the past (mainly in the bulk market), as shown by Bausch et al., normally relate to specific aspects of a certain innovation or on a case
1998, among others. study. This latter aspect is linked to the focus of most of the innovation
Moreover, while scientific papers are often focused on some main studies that prefer to address the innovation process rather than
dominant technologies (e.g. studying the LNG fuel market as replace- studying the innovation itself.
ment of traditional bunker [e.g. Kok, 2013; Wang and Notteboom, Thus, most of the analysis were “descriptive”, focusing on the ob-
2014]), industry debate seems more open to assess alternative options, servation on the achievement of a certain goal rather than on the

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critical discussion on how to improve such situation. This seems to possibility to use academic literature to address future innovation
appear as a common element of both “performance related” and “en- perspectives while the related industry debate is often linked to the
vironmental driven” studies. specific stakeholders’ strategy. The presence of several case studies
From an industry point of view, similar “discussion patterns” can be among the academic papers reduces the possibility to generalise the
observed, with specific technical solutions that address issues related to research outcomes, impacting on the feasibility of producing actual
either cost/efficiency problems or regulatory elements (e.g. environ- results directly applicable to the market. This is also highlighted by a
ment). Nevertheless, at industry level, specific trends are more difficult delay in the academic debate of certain topics in respect to the industry
to observe, with all general categories present over the whole time (e.g. automation, blockchain). The specificity of the research developed
period and with discussions that cover both the implementation of an by the academia is also demonstrated by the fact that while the studied
innovation and the innovation itself. Eventually, it is interesting to papers are normally published in transport related journals, none of
highlight how the cyclicality of the discussion is mainly related to the them is published in more generic journals, reducing the potential
maritime industry characteristics (e.g. overcapacity always leads to a impact of the studied outcomes.
stress on innovative solutions focused on better managing the ship, such Both the industry and the academia recently turned their interest on
as slow steaming). developing an integrated approach, mainly connected to environmental
innovations. Thus, the debate is today more focused on innovative so-
3.2. Consequences of a pushed debate lutions aiming at dealing with multiple issues (e.g. fuels that can
guarantee both economic and environmental advantages, routing sys-
The issue of having a scientific debate often pushed by the industry tems optimize both deployed capacity and fuel consumption). Despite
practices might be explained by the difficulty for academics to access this common trend, it is interesting noticing how this is pursued in
high quality information that would allow scholars to effectively debate different ways, with an ongoing discussion on alternative solutions for
on alternative (and improved) applications of innovations, currently the industry (e.g. alternative fuels, propulsion systems, ballast water
under development. A good example might be related to the novel systems) and on a polarized debate for the academia (mainly on fuels
development of the blockchain technology: while articles on blockchain and some technical or organisational alternatives). Similarly, trends
on Tradewinds started to be widely discussed in 2016, with specific and hot topics seem to be promoted by the industry – often through
articles related to the IBM – Maersk agreement, research papers on the knowledge transfer by other sectors – and then further investigated by
topic are still seldom in 2019. Despite this, industry has moved fast, the academia. The main weakness of such approach might be a reduced
with several consortia (and all main port and shipping market players) possibility to maximise the benefits of the developed innovations, given
being involved in the development of competing blockchain solutions that it will be mainly tailored on the promoter perspective (e.g. not
(e.g. Bavassano et al., 2019, 2020). Similarly, in the automation of ei- necessarily achieving its full potential for either the industry or the
ther vessels or ports register the first papers in early 2000 (e.g. Hansen, public community). This is partially reflected in the development of the
2004) while industry have started discussing such solutions in early academic research as well: the research on specific case studies or in-
‘90s, with the first articles – included in Tradewinds – discussing pio- novation specific elements might in fact be connected to the presence of
neering automated vessels dated 1992. a main industrial innovation champion (as also highlighted in Acciaro
This ongoing delay is partially caused by the publication lag that et al., 2018; Vanelslander et al., 2016) that often lead the innovation
occurs from the time for a research to be developed until the publica- process and therefore the main debate on the innovation concept while
tion year: this appears as of particular importance for the soft tech- academic research can only address the implementation of such in-
nology-based innovations (e.g. blockchain, IoT) for which this lag novative concept. This fact seems to be quite relevant in relation to the
makes potential studies at risk of ageing rapidly. Thus, in this situation, misleading concept of a maritime industry resilient to innovation: while
descriptive studies or general assessments have a wider effect in respect this concept might be true if based on simple academic research, it
to analyses that might have a much-reduced impact. seems incorrect if based on industry led analyses.
The consequence of such situation is an academic research not al- Authors are aware of the many limitations of the current research,
ways capable of driving the innovation development debate, with the among which the possibility to further expand the sample of studies
industry leading the main advancement efforts. While this has a clear (e.g. through the use of multiple search engines), segmenting innova-
advantage in terms of implementation, it might turn to be inefficient in tions of different nature (e.g. soft and hard innovation) that might lead
terms of resource allocations (e.g. multiple innovations that struggle to to differentiated processes, comparing industry led innovations through
become market-ready) or being accessible to all the market (e.g. de- their actual development rather than proxying such research through a
velopment of multiple blockchain networks with potential access bar- news portal, and the difficulties in replicating results (e.g. due to the
riers or delays in the technology development). rapid publication of new papers, the dynamics of the debate on in-
novation). Despite this, the presented paper achieved its aim of pre-
4. Concluding remarks senting main critical issues related to the innovation debate in the
maritime sector as whole, underlining current characteristics of the
The paper addresses a critical issue for the future of the maritime related field of studies as well as trying to differentiate innovations
industry, defining how innovation studies are normally developed, applicable to just one side of the industry (e.g. port vs ship) or devel-
which are the hot topics under investigation, and if the academic debate oped to benefit the whole maritime business. The research results can
is in line with the industry discussion. easily use by both scholars and practitioners to further expand the field,
The systematic literature review showed a fragmented situation trying to generalise the outcomes in the attempt to develop solutions for
with several studies focusing on specific aspects, with few general- the benefit of the whole maritime sector.
isation attempts. Among the selected papers, only 12% were discussing
innovations in the maritime field as whole while the remaining group of
papers were dealing with either case studies or specific innovation Acknowledgement
details. Moreover, most of the studies were just focused on the discus-
sion of the implementation of the innovations (and related con- Authors would like to thank the two anonymous reviewers whose
sequences) rather than on the development of the innovation concept comments and suggestions helped improve and clarify this manuscript.
itself. This latter fact is often causing a discrepancy with the industry The present research has been developed through the generous support
debate that is often leading the innovation discussion, promoting novel of the Prime Funding scheme (Newcastle University).
thinking and new applications. Moreover, this element often affects the

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