Marine Navigation 1

MARINE NAVIGATIONANDSAFETY OF SEA TRANSPORTATION
MarineNavigationand
Safetyof SeaTransportation
Editor
AdamWeintrit
Gdynia Maritime University, Gdynia, Poland
Taylor & Francis is an imprint of the Taylor & Francis Group, an informa business
2009Taylor & FrancisGroup, London, UK
Typeset byCharonTecLtd(A MacmillanCompany), Chennai, India
PrintedandboundinGreat BritainbyAntonyRowe(A CPI-groupCompany), Chippenham, Wiltshire
All rightsreserved. Nopart of thispublicationor theinformationcontainedhereinmaybereproduced,
storedinaretrieval system, or transmittedinanyformor byanymeans, electronic, mechanical, by
photocopying, recordingor otherwise, without writtenprior permissionfromthepublisher.
Althoughall careistakentoensureintegrityandthequalityof thispublicationandtheinformationherein,
noresponsibilityisassumedbythepublishersnor theauthor for anydamagetothepropertyor
personsasaresult of operationor useof thispublicationand/or theinformationcontainedherein.
Publishedby: CRC Press/Balkema
P.O. Box447, 2300AK Leiden, TheNetherlands
e-mail: Pub.NL@taylorandfrancis.com
www.crcpress.com www.taylorandfrancis.co.uk www.balkema.nl
ISBN: 978-0-415-80479-0(Hbk)
ISBN: 978-0-203-86934-5(eBook)
Marine Navigation and Safety of Sea Transportation Weintrit (ed.)
2009 Taylor & Francis Group, London, ISBN 978-0-415-80479-0
Tableof Contents
TransNav2009 Reviewof scientistsandprofessionalsmeetinginthefieldof safetyof
navigationandseatransportation XV
Foreword to the Monograph
A. Weintrit &T. Neumann
List of reviewers XXI
MessagefromThePresident of TheNautical Institute XXV
Chapter 1. Safety of navigation
1.1 Thepresent andexpectedchangesinmaritimesafety, securityanddefensefunctions 3
J. Urba nski , W. Morga s & M. Mi esikowski
1.2 Studyonshipssafetycontrol system 9
X.-J. Han, X.-Y. Meng & Z.-W. Wang
1.3 Marinenavigationusingexpert system 13
N. Nikitakos & G. Fikaris
1.4 Safetyof navigationandspatial planningat sea 23
J. Hajduk
1.5 e-NavigationandtheHumanElement 29
D. Patraiko, P. Wake &A. Weintrit
1.6 Generationof ElectronicNautical Chart datafor assessment of navigational safety
inharbour andwaterwaydesign 35
K. Guan, C. Shi, S. Wu &T. Xu
1.7 Studyonshippingsafetystrategybasedonaccident forecast model 41
X.Y. Meng, Y.M. Bai & X.J. Han
1.8 Knowledgerepresentationinashipsnavigational decisionsupport system 45
Z. Pietrzykowski & J. Uriasz
Chapter 2. Manouvering and ship-handling simulation
2.1 Manoeuvringsimulationonthebridgefor predictingmotionof real shipsand
astrainingtool inshiphandlingsimulators 53
K. Benedict, M. Kirchhoff, M. Gluch, S. Fischer & M. Baldauf
2.2 CFDbasedhull hydrodynamicforcesfor simulationof shipmanoeuvres 59
T. Tabaczek, T. Grnicz & J. Kulczyk
2.3 Newcapabilitiesof theNTPRO4000full missionshiphandlingsimulator in
theassessment andevaluationprocessesat LithuanianMaritimeAcademy 63
R. Zaeckis, I. Bartusevi cien e & R. Maksimavi cius
2.4 Reconstructingamarinecasualty: Theeffectivenessof thefull-missionsimulator as
acasualtyanalysistool 69
E. Doyle
V
2.5 Fuzzyfast timesimulationmodel of shipsmanoeuvring 75
P. Zalewski
2.6 Shipmanoeuvringperformanceexperimentsusingafreerunningmodel ship 79
N. Im & J.-H. Seo
2.7 Simulationof loaddistributionalongaquayduringunparallel berthingmanoeuvres 85
J. Artyszuk
2.8 Trainingcoursefor personnel involvedinemergencytowingoperations 93
T.E. Berg, G. Gudmundseth & U. Klevstad
Chapter 3. Global navigation satellite system
3.1 Modernizationof maritimeDGPSinPoland 103
M. Dziewicki
3.2 Applicationof 3-Dvelocitymeasurement of vessel byVI-GPSfor STSlightering 107
Y. Yoo, E. Pedersen, K. Tatsumi, N. Kouguchi &Y. Arai
3.3 PositioningusingGPSandGLONASSsystems 113
L. Kujawa, J.B. Rogowski & K. Kopa nska
3.4 Galileointegrityconcept anditsapplicationstothemaritimesector 117
C. Hernndez, C. Cataln & M.A. Martnez
3.5 GalileoAltBOC E5signal characteristicsfor optimal trackingalgorithms 123
F. Vejraka, P. Kov r & P. Ka cma rk
3.6 Theimplementationof theEGNOSsystemtoAPV-I precisionapproachoperations 127
A. Fellner, K. Banaszek & P. Trminski
3.7 GPS-basedvehiclelocalisation 135
A. Janota &V. Kon celk
3.8 Effect of measurement durationontheaccuracyof positiondeterminationin
GPSandGPS/EGNOSsystems 141
R. Bober, T. Szewczuk &A. Wolski
Chapter 4. Marine traffic control and automatic identification systems
4.1 Sustainabilityof motorwaysof theseaandfast ships 149
F.X. Martnez de Oss & M. Castells i Sanabra
4.2 Applyinggraphtheorytermstodescriptionof VTS 153
K. Jackowski
4.3 Simulation-basedriskanalysisof maritimetransit trafficintheStrait of Istanbul 157
B. Ozbas, I. Or, O.S. Uluscu &T. Altok
4.4 TheMarineElectronicHighwayproject inStraitsof MalaccaandSingapore:
Observationonthepresent development 163
M.H. Said &A.H. Saharuddin
4.5 Availabilityof trafficcontrol systembasedonservicingmodel 167
J. Mikulski
VI
4.6 Evaluationof maintrafficcongestiondegreefor restrictedwaterswithAISreports 173
Q. Hu, J. Yong, C. Shi & G. Chen
4.7 Computer visionandshiptrafficanalysis: Inferringmaneuver patternsfrom
theautomaticidentificationsystem 177
K.G. Aarsther &T. Moan
4.8 Possiblemethodof clearing-uptheclose-quarter situationof shipsbymeansof
AutomaticIdentificationSystem 183
V.M. Bukaty & S.U. Morozova
Chapter 5. Navigational tools, systems and equipment
5.1 Development of aconcept for bridgealert management 191
F. Motz, S. Hckel, M. Baldauf & K. Benedict
5.2 Comparisonof traditional andintegratedbridgedesignwithSAGAT 197
F. Motz, E. Dalinger, H. Widdel, S. Hckel & S. MacKinnon
5.3 Theproblemof infant mortality failuresof integratednavigationsystems 203
S. Ahvenjrvi
5.4 CRM-203typeFrequencyModulatedContinuousWave(FM CW) radar 207
S. Plata & R. Wawruch
5.5 Theimpact of windmillsontheoperationof radar systems 211
M. Dunda, V. Hume nansk, D. Draxler, Z. Csefalvay & P. Bajusz
5.6 3DSonar for navigationandobstacleavoidance 215
I. Bowles & Z. Markowski
5.7 Theproblemof magneticcompassdeviationat contemporaryconditions 219
E.M. Lushnikov
5.8 Thebasicresearchfor thenewcompasssystemusinglatest MEMS 221
G. Fukuda & S. Hayashi
5.9 Development of decisionsupportingtoolsfor determiningtidal windowsfor
deep-draftedvessels 227
K. Eloot, M. Vantorre, J. Richter & J. Verwilligen
Chapter 6. Anti-collision
6.1 Behaviour patternsincrossingsituations 237
J. Kemp
6.2 Methodof safereturningof thevessel toplannedrouteafter deviationfromcollision 243
M. Tsymbal & I. Urbansky
6.3 A studyof marineincidentsdatabasesintheBalticSeaRegion 247
A. Mullai, E. Larsson &A. Norrman
6.4 Thedisplaymodefor choosingthemanoeuvrefor collisionavoidance 253
L. Vagushchenko &A. Vagushchenko
6.5 Definingof minimallyadmittedhead-ondistancebeforetheshipsstart maneuvering 257
V.M. Bukaty & E.N. Dimitrieva
6.6 Collisionscenario-basedcognitiveperformanceassessment for marineofficers 261
H. Kim, H.-J. Kim & S. Hong
VII
6.7 Theeffectsof causationprobabilityontheshipcollisionstatisticsintheGulf of Finland 267
M. Hnninen & P. Kujala
6.8 Aninfluenceof theorder tomaintainminimumdistancebetweensuccessivevesselson
thevessel trafficintensityinthenarrowfairways 273
L. Kasyk
6.9 Ondeterminationof thehead-onsituationunder Rule14of COLREG-72 277
V.M. Bukaty & S.U. Morozova
Chapter 7. Communication at sea
7.1 Maritimecommunicationtosupport safenavigation 285
K.E. Fjrtoft, B. Kvamstad & F. Bekkadal
7.2 Someradiocommunicationaspectsof e-Navigation 291
K. Korcz
7.3 On-boardcommunicationchallenges(LAN, SOA andwirelesscommunication) 297
L. Mu & N. Garmann-Johnsen
7.4 Towardsstandardizedmaritimelanguagefor communicationat sea 303
B. Katarzy nska
7.5 Novel maritimecommunicationstechnologies 307
F. Bekkadal
7.6 Advantagesof preservationof obligatoryvoicecommunicationontheVHF
radiochannel 16 313
S. Brzska
7.7 Thetransmissionof theinformationof thesystemof telecommunicational DECT in
thetrans-shippingterminal 317
A. Ku smi nska-Fijakowska & Z. ukasik
Chapter 8. Manouvering and pilot navigation
8.1 Navigational safetyinSPM (SingleMooringPoint) regions 325
V. Paulauskas
8.2 Identificationof shipmaneuveringmodel usingextendedKalmanfilters 329
C. Shi, D. Zhao, J. Peng & C. Shen
8.3 Estimatingmanoeuvressafetylevel of theUnityLinem/f Polonia ferryat thePort of Ystad 335
A. Kowalski
8.4 Conceptual model of port securitysimulatingcomplex(BulgarianStandpoint) 341
B. Mednikarov, N. Stoyanov & K. Kalinov
8.5 Problemof stoppingvessel at thewaypoint for full-missioncontrol autopilot 347
L. Morawski &V. Nguyen Cong
8.6 Onthecontrol of CPP shipsbysteeringduringin-harbour ship-handling 353
H. Yabuki &Y. Yoshimura
8.7 NewBlackSeaTerminal of port Kulevi andit navigatingfeatures 359
A. Gegenava, N. Varshanidze & G. Khaidarov
VIII
8.8 Analysisof theinfluenceof current onthemanoeuvresof theturningof theshipon
theportsturning-basins 365
J. Kornacki
Chapter 9. Sea-river and inland navigation
9.1 Satelliteandterrestrial radionavigationsystemsonEuropeaninlandwaterways 373
J. Januszewski
9.2 Electronicreportingof shipsintheRISsystem 379
A. Lisaj
9.3 Thecriterionof safetynavigationassessment insea-river shipping 383
W. Galor
9.4 Target trackinginRIS 387
A. Stateczny &W. Kazimierski
9.5 Sixinoneor oneinsixvariants. Electronicnavigational chartsfor opensea, coastal,
off-shore, harbour, sea-river andinlandnavigation 393
A. Weintrit
9.6 DatatransmissionininlandAISsystem 405
P. Woejsza
Chapter 10. Route planning and weather navigation
10.1 Multi-objectiveoptimizationof motor vessel route 411
S. Marie & E. Courteille
10.2 Applicationof the1-2-3rulefor calculationsof avesselsrouteusingevolutionaryalgorithms 419
B. Wi sniewski, P. Medyna & J. Chomski
10.3 Multicriteriaoptimisationinweather routing 423
J. Szapczy nska & R.

Smierzchalski
10.4 Onthefuel savingoperationfor coastal merchant shipsusingweather routing 431
K. Takashima, B. Mezaoui & R. Shoji
10.5 Solvingmulti-shipencounter situationsbyevolutionarysetsof cooperatingtrajectories 437
R. Szapczy nski
10.6 Evolutionarysetsof cooperatingtrajectoriesinmulti-shipencounter situations Usecases 443
R. Szapczy nski
Chapter 11. Hydrometeorological aspects
11.1 Contemporaryproblemsof navigationnearlypole 451
E.M. Lushnikov
11.2 A casestudyfromanemergencyoperationintheArcticSeas 455
B. Kvamstad, K.E. Fjrtoft, F. Bekkadal, A.V. Marchenko & J.L. Ervik
11.3 Iceconditionsandhumanfactorsinmarineaccidentsat theArctic 461
N. Marchenko
11.4 SeaiceservicesintheBalticSea 467
M. Sztobryn
IX
11.5 Lowsealevel occurrenceof thesouthernBalticSeacoast 473
I. Stanisawczyk, B. Kowalska & M. Mykita
11.6 Measurement systemfor windandwavescharacteristicsregistrationontheSilmLake 479
L. Morawski, J. Pomirski, P. Sikora & R. Sok
11.7 Simplifiedmethodfor estimatingmaximumshipsdraught whennavigatingin
shallowwater onthesouthof StolpeBankintheaspect of thevesselswith
maximumdimensionsanddraught 483
G. Rutkowski &A. Krlikowski
11.8 Asymptotictheoryof shipmotionsinregular wavesunder shallowwater conditions 493
Y.L. Vorobyov & M.S. Stasenko
Chapter 12. Methods and algorithms
12.1 Stabilizationof fractional positivecontinuous-timelinear systemsinsectors
of left-handhalf complexplanebystate-feedbacks 501
T. Kaczorek
12.2 Thecomparisonof safecontrol methodsinmarinenavigationincongestedwaters 507
J. Lisowski
12.3 A numerical studyof combinednatural andMarangoni convectioninasquarecavity 517
K. Cicek &A. Cihat Baytas
12.4 Anapplicationof mathematical theoryof evidenceinnavigation 523
W. Filipowicz
12.5 TheH
2
androbust H
inf
regulatorsappliedtomultivariableshipsteering 531
W. Gierusz
12.6 Speciationof populationinneuroevolutionaryshiphandling 541
M. acki
12.7 Equalizationof themeasurementsof thealtitude, theazimuthandthetimefrom
observationof passagesof celestial bodies 547
P. Bobkiewicz
12.8 Programmaticcorrectionof errorsof measuringtrackprocessing 551
M. Luft, E. Szychta & R. Cioc
12.9 Alternativefor Kalmanfilter Twodimensionself-learningfilter withmemory 557
A. Fellner, K. Banaszek & P. Trminski
Chapter 13. Safety and reliability of technical systems
13.1 Managingandpredictingmaritimeandoff-shorerisk 563
R.B. Duffey & J.W. Saull
13.2 Transportationsystemarchitecturefor intelligent management 571
J. Szpytko
13.3 Riskanalysisandhumanfactor inpreventionof CRGcasualties 577
L. Kobyli nski
13.4 Estimationof theprobabilityof propulsionlossbyaseagoingshipbased
onexpert opinions 583
A. Brandowski &W. Frackowiak
X
13.5 FinitediscreteMarkovmodel of shipsafety 589
L. Smolarek
13.6 Thepossibilityof applicationof algorithmsindicatingmaximumpathsin
directedgraphsfor modelingof theevacuationprocess 593
D.H. ozowicka
Chapter 14. Marine transportation
14.1 Maritimetransport development intheglobal scale Themainchances,
threatsandchallenges 599
A.S. Grzelakowski
14.2 MaritimesafetyinEuropeanconcept of theinternalizationof external costsof transport 607
M. Matczak
14.3 e-Maritime: Anenablingframeworkfor knowledgetransfer andinnovativeinformation
servicesdevelopment acrossthewaterbornetransport sector 611
J. Graff
14.4 Challengesfor Polishseaports development inthelight of globalisationprocesses
inmaritimetransport 617
A. Przybyowski
14.5 Ananalysisof marinenavigationandsafetyof seatransportationbyIranianwomen
asofficer andmaster mariner 623
H. Yousefi
14.6 Modellingsupport for maritimeterminalsplanningandoperation 627
S. Ricci & C. Marinacci
14.7 Turkishmaritimetransport policy(19602008) 637
M. Kadioglu
14.8 Theinfluenceof organicpolymer onparametersdeterminingabilityto
liquefactionof mineral concentrates 645
M. Popek
14.9 Applicationof thermal analysisandtroughtest for determinationof thefiresafetyof
somefertilizerscontainingnitrates 651
K. Kwiatkowska-Sienkiewicz & P. Kaucka
Chapter 15. Human factors and crew resource management
15.1 Problembehavioursamongchildrenof FilipinoseafarersinIloiloCity, Philippines 659
V.B. Jaleco, M.G. Gayo, Jr., R.L. Pador & R.A. Alimen
15.2 Predictingemotional intelligenceinmaritimemanagement: Imperative, yet elusive 663
E.S. Potoker & J.-A. Corwin
15.3 Officers shortage: Viewpointsfromstakeholders 669
G. Eler, J. Calambuhay, L. Bernas & M. Magramo
15.4 A nobleprofessioncalledseafaring: Themakingof anofficer 673
M. Magramo & L. Gellada
15.5 Officersasprostitutes: Mythor reality? (A studyonpoachingof officers
inthePhilippines) 679
M. Magramo, G. Eler, J. Calambuhay & L. Bernas
XI
15.6 Theeconomical emigrationaspect of East andCentral Europeanseafarers:
Motivationfor employment inforeignfleet 683
V. Sen cila, I. Bartusevi cien e, L. Rupien e & G. Kalvaitien e
15.7 Theroleof themaritimeinstitutionsontheshortageof officers 689
M. Magramo, L. Bernas, J. Calambuhay & G. Eler
15.8 Psychological featuresof seamensactivityinemergencysituations 693
V.A. Bondarev & O.M. Bondareva
Chapter 16. Maritime education and training
16.1 Maritimeeducation puttingintheright emphasis 699
A. Ali
16.2 CorrelationbetweenacademicperformanceinAuxiliaryMachinery2subject and
navigational tripamongmarineengineeringstudentsat maritimeuniversity
inthePhilippines 703
R.A. Alimen, V.B. Jaleco, R.L. Pador & M.G. Gayo, Jr.
16.3 Higher performanceinmaritimeeducationthroughbetter trainedLecturers 707
R. Hanzu-Pazara, P. Arsenie & L. Hanzu-Pazara
16.4 Mentoringandthetransfer of experiential knowledgeintodaysmerchant fleet 713
A.L. Le Goubin
16.5 Stakeholder satisfaction: Researchevaluationof marineengineeringcadets
performanceat MaritimeUniversity, Philippines 719
R.A. Alimen, M. Gayo, Jr. &V.B. Jaleco
16.6 Project PRACNAV for abetter onboardtrainingcurricula 725
E. Barsan & C. Muntean
16.7 A newtool for evaluatingandtrainingof chemical tanker crew: Seafarer
evaluationandtrainingsoftware: DEPEDES(SETS) 731
O. Arslan, O. Gurel & M. Kadioglu
16.8 MET systeminUkraine 735
M.V. Miyusov & D.S. Zhukov
Chapter 17. Maritime policy, proposals and recommendations
17.1 TheSomali piracynewor oldchallengefor international community 743
D. Duda &T. Szubrycht
17.2 Theimportanceof theeducational factor toassurethesafeandsecurityonthesea 751
L.C. Stan & N. Buzbuchi
17.3 Standardfor qualityassurance: Thecaseof PhilippineMaritimeCollege 755
A.C. Doromal
17.4 Noveltiesinthedevelopment of thequalificationstandardsfor
electro-technical officersunder STCWconventionrequirements 761
J. Wyszkowski, J. Mindykowski & R. Wawruch
17.5 Assessment of ISPScodecomplianceat portsusingcognitivemaps 771
M. Celik &Y. Ilker Topcu
XII
17.6 Dynamiccomponent of shipsheelingmoment duetosloshingvs.
IMOIS-coderecommendations 775
P. Krata
17.7 Theinfluenceof thefloodingdamagedcompartment onthemetacentric
height shiptype888 781
W. Mironiuk
17.8 Intelligent evaluationsystemof shipmanagement 787
Q. Xu, X. Meng & N. Wang
RoundTablePanel Session
GNSSandSafetyandSecurityof MarineNavigation 791
Author index 793
XIII
TransNav2009 Reviewof scientistsandprofessionalsmeeting
inthefieldof safetyof navigationandseatransportation
Foreword to the Monograph
A. Weintrit &T. Neumann
ABSTRACT: Thepaper presentsbackgroundandpreparationtothe8thInternational Navigational Symposium
onMarineNavigationandSafety of SeaTransportationTrans-Nav 2009, organizedjointly by theFaculty of
Navigation, GdyniaMaritimeUniversityandtheNautical Institute, tobeheldfrom17to19J une, 2009inGdy-
nia, Poland.TheSymposiumisaddressedtoscientistsandprofessionalsinordertosharetheirexpertknowledge,
experienceandresearchresultsconcerningall aspectsof navigation, safetyat seaandmarinetransportation.
1 INTRODUCTION
Intodaysworld, inadditiontomeetinghighstandards
of safety, environmental protection and efficiency,
the international maritime industry has to meet the
demands of enhanced security. The general theme
of the Navigational Symposium: Marine Naviga-
tion and Safety of SeaTransportation is, therefore,
most timely asit providesparticipatingdistinguished
delegates who represented Maritime Education and
Training (MET) and research institutions, shipping
industry, navy, shipowners, classification societies,
maritimeadministrations, hydrographicoffices, ports,
services, professional institutes, maritimetransporta-
tion agencies, societies and navigational instrument
manufacturers.
WhenSymposiumonNavigationmet for thefirst
time in 1995, one of its highest priorities was to
promotelast researchinthefieldof Navigation.
Whatcouldbemorerelevant, therefore, thanrepre-
sentativesfrom37countriesall overtheworldcoming
together to discuss thebest possibleways of prepar-
ing staff at sea, in shipping companies, ports and
maritime administrations to meet these challenges?
HostedbytheGdyniaMaritimeUniversitytherecould
be no better forum for stimulating interesting and
fruitful contributionstodiscussionof maritimesafety
issuesandfor development strategiestoaddressthem
throughmaritimeeducationandtraining.
If we are to uphold and improve standards and
ensurecontinuedvigilance,nothingcouldbeof greater
importance than the training of the maritime pro-
fessionals of thefuture. Thepapers presented at the
TransNav2009 coverafull rangeof topics,fromoper-
ations, management and organization to engineering
and sciences. This Monograph is a set to become a
sourceof inspirationandreferencefor maritimeinsti-
tutions worldwide and it is of relevance to all who
are involved in the maritime industry, especially in
maritimeTransport andNavigation.
Ourimaginationonpositioningandlocationisnever
ending. Newtechniquesandideasarecoming. There
are so many radio signals and information infras-
tructures for positioning around us. Seamless and
ubiquitouspositioningwill pointandguideyouwher-
ever youareandwherever yougo. It all depends on
our commitment.
2 MAINTOPICS
TheSymposiummaintopicsarethefollowing:
Marinenavigation,
Safetyandsecurityof maritimeshipping,
Seatransport andtransportationtechnology,
Hydrography, geodesyandmarinecartography,
GeomaticsandGISinmaritimeapplications,
Electronicchart systemsECSandECDIS,
Inland, river andpilot navigationsystems,
Presentationof navigation-relatedinformation,
Routeplanningandmonitoring; passageplan,
Integrationof navigational systems, INS/IBS,
E-Navigation,
GPS, Glonass, Galileo, GNSS and radio based
navigational systems,
Telematicsinmarinetransportation,
Automationaspectsinnavigation,
Algorithmsandmethods,
Shipsrouteingandassociatedprotectedmeasures,
Maritimetrafficengineering,
Systems of control, guidance and monitoring of
traffic, VTS,
Manoeuvrabilityandhydrodynamicsof ships,
Colregs, anti-collision, radar equipment, ARPA,
AIS, LRIT, VDR,
DecisionsupportsystemsandArtificial Intelligence
methodsinmaritimetransport,
Datatransmissionandprocessing,
Modelling and numeric methods in maritime
industry,
XV
Maritimesearchandrescueissues,
Humanfactors, marineaccidents, humanerrors,
Crew resource management, safe manning, stress
andfatigue,
Navigational systems theenduser experience,
Marinesimulation;full missionbridge,navigational
simulators,
Meteorologyandnautical oceanography,
Standardizationof navigational terminology,
Maritime education and training; model courses
validation.
3 HONORAY COMMITTEE
It is our pleasure to informthat the following very
important personshavekindly acceptedthehonorary
patronageof theSymposium:
VAdmAlexandros Maratos, President of theInter-
national HydrographicBureau,
Dr. Hisashi Yamamoto, Secretary of the IAMU
(International Association of Maritime Universi-
ties),
Capt. AnnaWypych-Namiotko, Under-Secretaryin
Ministryof Infrastructureof theRepublicof Poland,
Dr. WojciechSzczurek, Mayor of Gdynia,
Capt.RichardCoates,FNI,Presidentof theNautical
Institute,
Prof. Romuald Cwilewicz Rector of theGdynia
MaritimeUniversity.
4 PROGRAMME COMMITTEE
Thereis along list of ProgrammeCommitteemem-
bers, morethanonehundrednames of distinguished
persons inthefieldof MaritimeTransport andNavi-
gationfromPoland, Europeandtherest of theworld
(31different nationalities):
Prof. Sauli Ahvenjarvi FI
Prof. RolandAkselsson SE
Prof. Vidal Ashkenazi, FRIN UK
Prof. Andrzej Banachowicz PL
Prof. Lubomir Wlodzimierz Baran PL
Prof. MarcinBarlik PL
Prof. EugenBarsan, Master Mariner RO
Prof. GennadyP. Belyakov RU
Prof. KnudBenedict DE
Prof. Chister Bergquist, Master Mariner SE
Prof. AlfredBrandowski PL
Prof. ZbigniewBurciu, Master Mariner PL
Prof. DoinaCarp RO
Prof. ShyyWoei Chang TW
Prof. Andrzej Chudzikiewicz PL
Prof. Krzysztof Chwesiuk PL
Prof. DennisCompton US
Prof. RomualdCwilewicz PL
Prof. J erzyCzajkowski PL
Prof. Krzysztof Czaplewski PL
Mr. EricDawicki President of NMI US
Prof. GermandeMelo SP
Prof. EamonnDoyle IE
Prof. Daniel Duda, Master Marines,
PNSPresident PL
Prof. J anusz Dyduch PL
RAdm. Dr. CzeslawDyrcz PL
Prof. Ismail DehaEr TR
Prof. Andrzej Fellner PL
Prof. Andrzej Felski, President of PNF PL
Prof. Wlodzimierz Filipowicz,
Master Mariner PL
Prof. MasaoFurusho J P
Prof. WieslawGalor PL
Prof. Avtandil Gegenava GE
Prof. StanislawGorski, Master Mariner PL
Mr. J erzyGraff, FIMA UK
Prof. MarekGrzegorzewski PL
Prof. Andrzej Grzelakowski PL
Prof. LucjanGucma PL
Prof. StanislawGucma, Master Mariner PL
Prof. CarlosGuedesSoares PT
Prof. RenkuanGuo ZA
Prof. J erzyHajduk, Master Mariner PL
Prof. MieczyslawHann PL
Prof. ShogoHayashi, Master Mariner J P
Prof. Guenter W. Hein DE
Prof.. Michal Holec PL
Prof. KinzoInoue J P
Prof. KajetanJ ackowski PL
Prof. AlesJ anota SK
Prof. J acekJ anuszewski PL
Prof. Tadeusz J astrzebski PL
Prof. Piotr J edrzejowicz PL
Prof.YongxingJ in CN
Prof. MiroslawJ urdzinski,
Master Mariner, FNI PL
Prof. Tadeusz Kaczorek PL
Prof. Wlodzimierz Kaczynski US
Prof. J ohnKemp UK
Prof. Hiroaki Kobayashi J P
Prof. LechKobylinski PL
Prof. Krzysztof Kolowrocki,
President of PSRA PL
Prof. SerdjoKos HR
Prof. StephenKreta US
Prof. Andrzej Krolikowski, Master Mariner PL
Prof. Bogumil Laczynski, Master Mariner PL
Dr. Dariusz Lapucha US
Prof. J ozef Lisowski PL
Prof. ZhengjiangLiu CN
Prof. MiroslawLuft PL
Prof. ZbigniewLukasik PL
Prof. EvgeniyLushnikov RU
VAdm. AlexandrosMaratos, President
of theIHB GR
Prof. Andrzej A. Marsz PL
Prof. BoleslawMazurkiewicz PL
Prof. BoyanMednikarov BG
Prof. J erzyMikulski PL
Prof. MykhayloV. Miyusov UA
Prof. Torgeir Moan NO
Prof. TerryMoor UK
XVI
Prof. LeszekMorawski PL
Prof. WaclawMorgas PL
Prof. ReinhardMueller DE
Prof. StanislawMusielak PL
Prof. Takeshi Nakazawa, WMU J P
Prof. J anusz Narkiewicz PL
Prof. NikitasNikitakos GR
Dr. GerardOffermans NL
Prof. WieslawOstachowicz PL
Prof. StanislawOszczak, FRIN PL
Prof. Gyei-KarkPark KR
Mr. DavidPatraiko, MBA FNI UK
Prof. Egil Pedersen NO
Prof. ZbigniewPietrzykowski PL
Prof. Alexander P. Pimoshenko RU
Prof. MalekPourzanjani AU
Prof. BorisPritchard HR
Prof. J erzyB. Rogowski, MRIN PL
Prof. WladyslawRymarz, Master Mariner PL
Prof. OsmanKamil Sag TR
Prof. AydinSalci TR
Prof. ChaojianShi CN
Prof. ZbigniewSmalko PL
Prof. RomanSmierzchalski PL
Capt. DickSmith, FRIN UK
Prof. HenrykSniegocki, Master
Mariner, MNI PL
Prof. J acSpaans NL
Prof. CezarySpecht PL
Cmdr. Bengt Stahl SE
Prof. Andrzej Stateczny PL
Prof. Andrzej Stepnowski PL
Prof. Tomasz Strzelecki PL
Prof. J anusz Szpytko PL
Prof. ElzbietaSzychta PL
Prof. MarekSzymonski, Master Mariner PL
Prof. MykolaTsymbal UA
Prof. J ozef Urbanski PL
Prof. AleksandrValishin RU
Capt. ReinvanGooswilligen,
Master Mariner NL
Prof. MarcVantorre BE
Prof. DangVanUy VN
Prof. FrantiekVejraka, FRIN,
President of CZIN CZ
Prof.YureyL. Vorobyov RU
Prof. PeterVorsmann DE
Mr. PhilipWake, FNI, CE of the
Nautical Institute UK
Prof. Aleksander Walczak, Master Mariner PL
Prof. J inWang UK
Prof. RyszardWawruch, Master Mariner PL
Prof. WojciechWawrzynski PL
Prof. AdamWeintrit, Master Mariner,
FRIN, FNI PL
Prof. BernardWisniewski PL
Prof. AdamWolski, Master Mariner, MNI PL
Prof. HideoYabuki, Master Mariner J P
Prof. HomayounYousefi, MNI IR
Capt. RicardasZazeckis, Master Mariner LT
Prof. J anusz Zielinski PL
The Organizing Committee would like to express
its gratitudeto theProgrammeCommitteemembers
totallycommittedtopapersreviewprocess.Thankyou
very muchfor your matter-of-fact critical comments,
ingeneral well receivedbytheauthorsandtakeninto
considerationinthelast versionof submittedpapers.
5 ORGANIZINGCOMMITTEE
TheChairmanof theTransNav2009OrganizingCom-
mittee and the editor of Symposium Proceedings
elaboratedasMonographtitledAdvancesinNaviga-
tionandSafety of SeaTransportation isProf. Adam
Weintrit, Dean of the Faculty of Navigation GMU,
Headof Department of NavigationandChairmanof
PolishBranchof theNautical Institute.
TheSecretary of SymposiumisTomasz Neumann
(DN, GMU).
Themembersof theOrganizingCommitteearethe
following:
Andrzej Bomba, Chairmanof Technical Committee
(Technical Matters, Sponsors),
Piotr Kopacz (Transport Logistics),
MariaLozinska(Translator/Interpreter),
HannaPleger (Office, Correspondence, Funds),
DorotaRajmanska(Office, Registration),
MagdalenaZuzelska(Accommodation).
6 TECHNICAL COMMITTEE
TheChairmanof theTechnical CommitteeisAndrzej
Bomba, active member of Organizing Committee,
responsible for advertisements and contact with the
sponsors. There are the following members of the
Technical Committee:
Piotr Bobkiewicz
SzymonBrzoska
Piotr Kabzinski
Dariusz Krucki
TeresaMajer
RyszardMiszke
DorotaRajmanska
J anusz Sawka
WojciechStasiak
AdamUljasz.
MagdalenaZuzelska
7 SYMPOSIUM PROCEEDINGS
Symposium Proceedings is organized thematically
likeaMonograph.
Eachpaper wasreviewedatleastbythreemembers
of theProgrammeCommittee. Qualifiedpapers sub-
mitted on time are published in theTransNav2009
Proceedings. Someof themwill bepresentedat ple-
nary sessions, most onparallel thematic sessionsand
therest onposter session. Theauthorswereinformed
XVII
that theorganizer reserves theright to qualify some
papersfor theposter session.
7.1 Submission procedure
After thereceiptof informationonpaper qualification
by the Programme Committee an electronic version
of the paper in English was submitted at web site
http://transnav.am.gdynia.pl or as an e-mail attach-
ment. It was informed that the above material shall
bewiththeSymposiumOfficebeforethedeadlinefor
submission (15th December). Any material received
toolate(after 15thFebruary) isnot published.
Special softwaredesignedbyTomasz Neumannto
enableon-lineregistration, managetheabstracts and
papers, communicationwithparticipantsandauthors
wasusedintheprocessof selectionof articles.Itassists
tosendtherequeststotheProgramCommitteeMem-
bers to carry out reviews, theinformation about the
resultsof thereviewtotheauthors, informationonthe
current statusof article, etc.
All receivedpaperswereinsertedtothepaper sub-
mission system. The all papers had to be prepared
strictly according to the editor instructions. Before
papershavegonetothenextstageof thearticlesselec-
tion process, format someof themwas corrected by
staff of SymposiumOffice.
Preparedpapersinelectronicallywayweresendto
at least threeindependent reviewers, specialistsinthe
paper main topic. Average time of review the paper
wasabouttwoweeks.After receivingatleasttwopos-
itivereviewsfromProgramCommitteeMembers,their
comments, suggestions andproposals of changes the
paperwassentbacktotheauthors. Mostof theauthors
agreedwhitreviewersopinionsandmademinor alter-
ations to the text. After an authors revision, papers
wereplacedintorelevant chapter of theMonograph.
Duringtheprocessof selectionof articlestheSym-
posiumOfficesent totheProgramCommitteeMem-
bersmorethan450requestsfor enforcement reviews.
Intotal, theSymposiumOfficereceived328reviews.
26reviewershadtocomply withavery heavy task
toreviewreceivedmorethan5articles.
7.2 Chapters of Monograph
The Monograph is divided into seventeen following
chapters:
Introduction
Chapter 1 Safetyof Navigation
Chapter 2 Manoeuvring and Ship-Handling
Simulation
Chapter 3 Global NavigationSatelliteSystem
Chapter 4 Marine Traffic Control and
AutomaticIdentificationSystems
Chapter 5 Navigational Tools, Systems and
Equipment
Chapter 6 Anti-Collision
Chapter 7 Communicationat Sea
Chapter 8 ManoeuvringandPilot Navigation
Chapter 9 Sea-River andInlandNavigation
Table1. Number of articlesineachchapter.
Number of
Chapter title articles
1. Safetyof Navigation 8
2. ManoeuvringandShip-Handling
Simulation 8
3. Global NavigationSatelliteSystem 8
4. MarineTrafficControl andAutomatic
IdentificationSystems 8
5. Navigational Tools, Systemsand
Equipment 9
6. Anti-Collision 9
7. Communicationat Sea 7
8. ManoeuvringandPilot Navigation 9
9. Sea-River andInlandNavigation 6
10. RoutePlanningandWeather Navigation 6
11. Hydrometeorological Aspects 8
12. MethodsandAlgorithms 9
13. SafetyandReliabilityof Technical
Systems 8
14. MarineTransportation 9
15. HumanFactorsandCrewResource
Management 8
16. MaritimeEducationandTraining 8
17. MaritimePolicy, Proposals
andRecommendations 8
Chapter 10 Route Planning and Weather
Navigation
Chapter 11 Hydrometeorological Aspects
Chapter 12 MethodsandAlgorithms
Chapter 13 Safety andReliability of Technical
Systems
Chapter 14 MarineTransportation
Chapter 15 HumanFactorsandCrewResource
Management
Chapter 16 MaritimeEducationandTraining
Chapter 17 Maritime Policy, Proposals and
Recommendations
All papers havebeenevenly dividedamongchap-
ters. Number of articlesfromeachsectionareshown
intablebelow.
7.3 Round Table Panel
On17thof J une(Wednesday) theFirstDayof Sym-
posium theRoundTablePanel Discussion will be
organized under chairmanship of Prof. Vidal Ashke-
nazi, UK. Thetitleof RoundTablePlenarySessionis
GNSS and Safety & Security of Marine Navigation.
8 THE HISTORY OF OUR MEETINGS
TheNavigational Symposiumisorganizedsince1995.
It was initiative of the then Dean of the Faculty of
NavigationProf. Michal Holec.
In the eight previous symposiums more than 500
authorspresentedmorethan500papers:
1st Navigational Symposium: 46papers(45inPol-
ishand1inEnglish) and61authorsrepresenting13
institutions,
XVIII
Table2. RoundTablePanel Session.
Title GNSS and Safety & Security of Marine Navigation
Chair: Prof. Vidal Ashkenazi
Chief Executive Nottingham Scientific Ltd., UK
Panellists:
Prof. Dr. Christoph Guenther
Head of the Institute of Communications and Navigation,
German Aerospace Center, Oberpfaffenhofen, Germany
Stig Erik Christiansen
GNSS Product Manager, Kongsberg Seatex AS, Norway
Sr. Jesus Carbajosa Menendez
President, Spanish Institute of Navigation, Spain
Capt. Edwin Thiedeman
Commanding Officer, US Coast Guard (USGS)
Navigation Centre
Gian-Gherardo Calini
Head of Market Development Department, Galileo
Supervisory Authority (GSA)
Prof. Dr. AdamWeintrit
Dean of the Faculty of Navigation, Gdynia Maritime
University, Poland
Figure 1. The 1st Navigational Symposiumorganized by
theFacultyof NavigationGMU in1995.
2ndNavigational Symposium: 33papers(31inPol-
institutions,
3rdNavigational Symposium: 56papers(53inPol-
institutions,
4thNavigational Symposium: 54papers(46inPol-
ish, 7inEnglishand1inRussian) and75authors
representing16institutions,
5thNavigational SymposiumonMarineNavigation
andSafety of SeaTransportation: 35papers(33in
Polishand2inEnglish) and33authorsrepresenting
5institutions,
6th International Navigational Symposium on
Marine Navigation and Safety of SeaTransporta-
tion: 69papers(18inEnglish, and41inPolish) and
103authorsrepresenting23institutions,
Figure2. The3rd Navigational Symposiumorganized by
theFaculty of NavigationGMU in1999. Inthemeddlethe
thenDeanDrAndrzej Niewiak.
Figure 3. The 4th Navigational Symposiumorganized by
theFacultyof NavigationGMU in2001.
Figure 4. The 5th International Navigational Symposium
organizedbytheFacultyof NavigationGMU in2003.
7th International SymposiumTransNav 2007 on
tion: 133 papers (all in English) and 232 authors
representing66institutions,including51camefrom
abroad,
XIX
Figure5. The6thInternational SymposiumonMarineNav-
igationandSafetyof SeaTransportationorganizedjointlyby
theFacultyof NavigationandtheNautical Institutein2005.
Figure6. The7thInternational SymposiumTransNav 2007
onMarineNavigationandSafetyof SeaTransportation.
8th International SymposiumTransNav 2009 on
tion: 133 papers (all in English) and 245 authors
from31countries aroundtheworld, 86represent-
ingPoland, 18 China, 12 Norway, 11 J apan, 10
Philippines, 9 Turkey, 8 Germany, 7 Roma-
nia, SlovakiaandLithuania, 6 UnitedStates and
Ukraine, 5 Spain, KoreaandUnitedKingdom, 4
BelgiumandSweden, 3 Canada, Finland, Czech
Republic,GeorgiaandBulgaria,2 France,Greece,
Italy andMalaysia, 1 Iran, Ireland, Pakistanand
Vietnam.
Thefirst our international guest wasAdamJ. Kerr,
director of the International Hydrographic Bureau,
Monaco(1997). Till nowthemost activeinternation-
als are: Ismail DehaEr (Turkey), Melchor Magramo
(Philippines) authors of six presented papers and
Prof. ChaojianShi (China), Dr. QinyouHu(China)
authorsof fivepresentedpapers.
9 CONCLUSIONS
Asweall knowthemaritimetransport playsaspecial
roleintheworldeconomy.Itisnotonlyaquestionof its
shareininternational tradebutalsoanecological issue.
Statistical dataindicatethat thisformof transport has
theleast adverseimpact ontheenvironment andis a
minor sourceof environmental pollutionascompared
toland-basedactivity.
It is a great honour and pleasure of the Faculty
of Navigation, Gdynia Maritime University in asso-
ciation with theNautical Instituteto host this years
Symposiumand to invite scientists, theoretical and
practical navigators, manufacturers, serviceproviders,
design engineers and representatives of national and
international organizations, agencies andsocieties to
meet thenavigationcommunityinGdynia, Poland.
The 8th Symposium is accompanied by a small
exhibition, which will display the latest develop-
mentsinon-boardequipment, educationandtraining,
safety and navigation infrastructure, and navigation
technologiesandequipment.
We would like to express our gratitude to dis-
tinguished sessions chairmen, speakers, exhibitors,
sponsors, participants andall members of Honorary,
Programme, OrganizingandTechnical Committeefor
theirgreatcontributionforexpectedsuccessof the8th
International Symposium on Navigation TransNav
2009. Wecongratulatetheauthorsfor their work.
Sevensuchmeetingswerealreadyheld.Thismono-
graphisacollectionof 133variouspapersof the8th
International SymposiumTransNav2009. We hope
that youcanfindsomethingcaptivatingandinspiring
for you. We wish all the participants of our sympo-
siummuchintellectual pleasureandwehopethat the
ideas andsubjects wemay work out today will serve
maritimecompaniesintheir dailypractice.
Dear reader, today wewould liketo inviteyou to
participateinthenexteditionof theInternational Sym-
posiumonNavigationTransNav whichwill beheld
inGdyniainJ une2011.
http://transnav.am.gdynia.pl
XX
List of reviewers
Scientific Committee (rewriters):
Prof. Sauli Ahvenjarvi, SatakuntaPolytechnic, Rauma, Finland
Prof. RolandAkselsson, LundUniversity, Sweden
Prof. Vidal Ashkenazi, FRIN, NottinghamScientificLtd, UK
Prof. Andrzej Banachowicz, GdyniaMaritimeUniversity, Poland
Prof. Lubomir Wlodzimierz Baran, Universityof WarmiaandMazury, Olsztyn, Poland
Prof. MarcinBarlik, WarsawUniversityof Technology, Poland
Prof. EugenBarsan, Master Mariner, ConstantaMaritimeUniversity, Romania
Prof. GennadyP. Belyakov, SiberianStateAerospaceUniversity, Krasnoyarsk, Russia
Prof. KnudBenedict, Universityof Wismar, Universityof Technology, BusinessandDesign, Germany
Prof. Christer Bergquist, Master Mariner, Kalmar MaritimeAcademy, Sweden
Prof. AlfredBrandowski, Gda nskUniversityof Technology, GdyniaMaritimeUniversity, Poland
Prof. ZbigniewBurciu, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. DoinaCarp, ConstantaMaritimeUniversity, Romania
Prof. Shyy-Woei Chang, National KaohsiungMarineUniversity, Taiwan
Prof. Andrzej Chudzikiewicz, WarsawUniversityof Technology, Poland
Prof. Krzysztof Chwesiuk, MaritimeUniversityof Szczecin, Poland
Prof. DennisCompton, UnitedStatesMerchant MarineAcademy, KingsPoint, UnitedStates
Prof. RomualdCwilewicz, President of GdyniaMaritimeUniversity, Poland
Prof. J erzy Czajkowski, GdyniaMaritimeUniversity, Poland
Prof. Krzysztof Czaplewski, PolishNaval Academy, Gdynia, Poland
Mr. EricDawicki, President of theNortheast MaritimeInstitute, USA
Prof. Germande Melo Rodrigues, Technical Universityof Catalonia, Barcelona, Spain
Prof. EamonnDoyle, National MaritimeCollegeof Ireland, CorkInstituteof Technology, Cork, Ireland
Prof. Daniel Duda, Master Mariner, Naval Universityof Gdynia, PolishNautological Society, Poland
Prof. J anusz Dyduch, WarsawUniversityof Technology, Poland
R.Adm. Dr. CzeslawDyrcz, President of PolishNaval Academy, Gdynia, Poland
Prof. Ismail DehaEr, Istanbul Technical University, Turkey
Prof. Andrzej Fellner, TheStateSchool of Higher Education, Chelm, Poland
Prof. Andrzej Felski, President of PolishNavigationForum, PolishNaval Academy, Gdynia, Poland
Prof. Wlodzimierz Filipowicz, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. MasaoFurusho, KobeUniversity, J apan
Prof. WieslawGalor, MaritimeUniversityof Szczecin, Poland
Prof. Avtandil Gegenava, Batumi MaritimeAcademy, Georgia
Prof. StanislawGorski, Master Mariner, GdyniaMaritimeUniversity, Poland
Mr. J erzy Graff, BritishMaritimeTechnologyLtd., UK
Prof. Marek Grzegorzewski, PolishAir ForceAcademy, Deblin, Poland
Prof. Andrzej Grzelakowski, GdyniaMaritimeUniversity, Poland
Prof. LucjanGucma, MaritimeUniversityof Szczecin, Poland
Prof. StanislawGucma, Master Mariner, President of MaritimeUniversityof Szczecin, Poland
Prof. RenkuanGuo, Universityof CapeTown, SouthAfrica
Prof. J erzy Hajduk, Master Mariner, MaritimeUniversityof Szczecin, Poland
Prof. MieczyslawHann, SzczecinUniversityof Technology, Poland
Prof. ShogoHayashi, TokyoUniversityof MarineScienceandTechnology, J apan
Prof. Guenter W. Hein, Instituteof GeodesyandNavigation, UniversityFAF, Munich, Germany
Prof. Michal Holec, GdyniaMaritimeUniversity, Poland
Prof. KinzoInoue, KobeUniversity, J apan
Prof. KajetanJackowski, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. AlesJanota, Universityof ilina, Slovakia
Prof. J acek Januszewski, GdyniaMaritimeUniversity, Poland
Prof. Tadeusz Jastrz ebski, SzczecinUniversityof Technology, Poland
Prof. Piotr J edrzejowicz, GdyniaMaritimeUniversity, Poland
Prof.YongxingJin, Shanghai MaritimeUniversity, China
XXI
Prof. MiroslawJurdzinski, FNI, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. Tadeusz Kaczorek, WarsawUniversityof Technology, Poland
Prof. Wlodzimierz Kaczynski, Collegeof OceanandFisherySciences, Universityof Washington, US
Prof. J ohnKemp, Royal Instituteof Navigation, London, UK
Prof. Hiroaki Kobayashi, TokyoUniversityof MarineScienceandTechnology, J apan
Prof. LechKobyli nski, PolishAcademyof Sciences, Poland
Prof. Krzysztof Kolowrocki, GdyniaMaritimeUniversity, Poland
Prof. SerdjoKos, FRIN, Universityof Rijeka, Croatia
Prof. StephenKreta, CaliforniaMaritimeAcademy, SanFrancisco, UnitedStates
Prof. Andrzej Krolikowski, Master Mariner, MaritimeOfficeinGdynia, Poland
Prof. Bogumil Laczynski, Master Mariner, GdyniaMaritimeUniversity, Poland
Dr. Dariusz Lapucha, FugroFugroChanceInc., Lafayette, Louisiana, UnitedStates
Prof. J ozef Lisowski, GdyniaMaritimeUniversity, Poland
Prof. ZhengjiangLiu, DalianMaritimeUniversity, China
Prof. MiroslawLuft, President of RadomUniversityof Technology, Poland
Prof. ZbigniewLukasik, RadomUniversityof Technology, Poland
Prof. Evgeniy Lushnikov, MaritimeUniversityof Szczecin, Poland
VAdm. AlexandrosMaratos (Greece), President of International HydrographicBureau, Monaco
Prof. Andrzej A. Marsz, GdyniaMaritimeUniversity, Poland
Prof. BoleslawMazurkiewicz, Gda nskUniversityof Technology, Poland
Prof. BoyanMednikarov, NikolaY. VaptsarovNaval Academy,Varna, Bulgaria
Prof. J erzy Mikulski, SilesianUniversityof Technology, Katowice, Poland
Prof. MykhayloV. Miyusov, Rector of OdesaNational MaritimeAcademy, Odesa, Ukraine
Prof. Torgeir Moan, NorwegianUniversityof ScienceandTechnology, Trondheim, Norway
Prof. Terry Moore, TheUniversityof Nottingham, UnitedKingdom
Prof. Leszek Morawski, GdyniaMaritimeUniversity, Poland
Prof. WaclawMorgas, PolishNaval Academy, Gdynia, Poland
Prof. ReinhardMueller, Master Mariner, Chairmanof theDGONMaritimeCommission, Germany
Prof. StanislawMusielak, Universityof Szczecin, Poland
Prof. Takeshi Nakazawa (J apan), WorldMaritimeUniversity, Malmoe, Sweden
Prof. J anusz Narkiewicz, WarsawUniversityof Technology, Poland
Prof. NikitasNikitakos, Universityof theAegean, Greece
Dr. GerardOffermans, (Delft Universityof Technology), Reelektronikab.v., TheNetherlands
Prof. WieslawOstachowicz, GdyniaMaritimeUniversity, Poland
Prof. StanislawOszczak, Universityof WarmiaandMazuryinOlsztyn, Poland
Prof. Gyei-Kark Park, MokpoNational MaritimeUniversity, Mokpo, Korea
Mr. DavidPatraiko, TheNautical Institute, UK
Prof. Egil Pedersen, NorwegianUniversityof ScienceandTechnology, Trondheim, Norway
Prof. ZbigniewPietrzykowski, MaritimeUniversityof Szczecin, Poland
Prof. Alexander P. Pimoshenko, BalticFishingFleet StateAcademy, Kaliningrad, RussianFederation
Prof. Malek Pourzanjani (UK), AustralianMaritimeCollege, Australia
Prof. BorisPritchard, Universityof Rijeka, Croatia
Prof. J erzyB. Rogowski, WarsawUniversityof Technology, Poland
Prof. WladyslawRymarz, Master Mariner , GdyniaMaritimeUniversity, Poland
Prof. OsmanKamil Sag, Piri ReisUniversity, Istanbul, Turkey
Prof. AydinSalci, Istanbul Technical University, MaritimeFaculty, ITUMF, Istanbul, Turkey
Prof. ChaojianShi, Shanghai MaritimeUniversity, China
Prof. ZbigniewSmalko, WarsawUniversityof Technology, Poland
Prof. RomanSmierzchalski, GdyniaMaritimeUniversity, Poland
Capt. Dick Smith, President of theInternational Associationof Institutesof Navigation, UK
Prof. Henryk Sniegocki, MNI, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. CarlosGuedesSoares, InstitutoSuperiorTcnico, Lisboa, Portugal
Prof. J acSpaans, NetherlandsInstituteof Navigation, TheNetherlands
Prof. Cezary Specht, PolishNaval Academy, Gdynia, Poland
Cmdr. Bengt Stahl, NordicInstituteof Navigation, Sweden
Prof. Andrzej Stateczny, MaritimeUniversityof Szczecin, Poland
Prof. Andrzej Stepnowski, Gda nskUniversityof Technology, Poland
Prof. J anusz Szpytko, AGHUniversityof ScienceandTechnology, Krakw, Poland
Prof. El zbietaSzychta, RadomUniversityof Technology, Poland
Prof. Marek Szymonski, Master Mariner, PolishNaval Academy, Gdynia, Poland
Prof. MykolaTsymbal, OdessaNational MaritimeAcademy, Ukraine
XXII
Prof. J ozef Urba nski, PolishNaval Academy, Gdynia, Poland
Prof. Aleksandr Valishin, BalticFishingFleet StateAcademy, Kaliningrad, RussianFederation
Capt. Reinvan Gooswilligen (Netherlands), Chairmanof EUGIN
Prof. DangVanUy, President of VietnamMaritimeUniversity, Haiphong, Vietnam
Prof. MarcVantorre, Ghent University, Gent, Belgium
Prof. FrantisekVejraka, CzechTechnical UniversityinPrague, CzechRepublic
Prof.YuriyL. Vorobyov, OdesaNational MaritimeAcademy, Odesa, Ukraine
Prof. Peter Vorsmann, Instituteof AerospaceSystems, Technical UniversityBraunschweig, Germany
Mr. PhilipWake, Chief ExecutiveTheNautical Institute, London, UK
Prof. Aleksander Walczak, Master Mariner, MaritimeUniversityof Szczecin, Poland
Prof. J inWang, Liverpool J ohnMooresUniversity, UK
Prof. RyszardWawruch, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. WojciechWawrzynski, WarsawUniversityof Technology, Poland
Prof. AdamWeintrit, FRIN, FNI, Master Mariner, GdyniaMaritimeUniversity, Poland
Prof. BernardWisniewski, MaritimeUniversityof Szczecin, Poland
Prof. AdamWolski, MNI, Master Mariner, MaritimeUniversityof Szczecin, Poland
Prof. HideoYabuki, Master Mariner, TokyoUniversityof MarineScienceandTechnology, Tokyo, J apan
Prof. HomayounYousefi, MNI, Chabahar MaritimeUniversity, Iran
Capt. RicardasZazeckis, Master Mariner, KlaipedaUniversity, MaritimeInstituteCollege, Lithuania
Prof. J anusz Zieli nski, SpaceResearchCentreof thePolishAcademyof Sciences, Warsaw, Poland
Honorary Committee:
VAdmAlexandrosMaratos President of theInternational HydrographicBureau
Dr. Hisashi Yamamoto Secretaryof theIAMU (International Associationof MaritimeUniversities)
Capt. AnnaWypych-Namiotko Undersecretaryof StateintheMinistryof Infrastructure, Poland
Dr. WojciechSzczurek Mayor of Gdynia
Capt. RichardCoates, FNI President of theNautical Institute
Prof. RomualdCwilewicz Rector of GdyniaMaritimeUniversity
Symposium Host:
Prof. AdamWeintrit Deanof Facultyof Navigation, GdyniaMaritimeUniversity
Editor:
Prof. AdamWeintrit Deanof Facultyof Navigation, GdyniaMaritimeUniversity
Organizational Committee:
Chairman: Prof. Dr. AdamWeintrit, Master Mariner, FNI, FRIN
Deanof Facultyof Navigation, GdyniaMaritimeUniversity
Headof PolishBranchof theNautical Institute
Secretary: Mr. Tomasz Neumann, MSc
Members: Mr. Piotr Kopacz, MSc
Mr. Andrzej Bomba, MSc, Headof Technical Committee
Mrs. MariaLozi nska, Msc
Mrs. MagdalenaZuzelska, MSc
Ms. HannaPleger, BSc
Mrs. DorotaRajma nska
Conference Co-Organizer:
Facultyof Navigation, GdyniaMaritimeUniversity, Gdynia, Poland
TheNautical Institute, London, UK
Partners:
InfrastructureMinistryof Poland
XXIII
MaritimeOfficeinGdynia
HydrographicOfficeOf ThePolishNavy
PolishAcademyof Science, Committeeof Transport, TrafficControl Section
PolishAcademyof Science, Committeeof Geodesy, Sectionof NavigationandHydrography
PolishNavigationForum
PolishNautological Society
TheMonographwasPartiallyFundbyTheMinistryof Infrastructure, Poland
XXIV
MessagefromThePresident of TheNautical Institute
Opening Address for TransNav09
at Gdynia Maritime University
The Nautical Institute congratulates its Poland Branch members for pro-actively working together with the
GdyniaMaritimeUniversity to organisethis impressiveConference. Theissues facingthemaritimeindustry
todayarecertainlynofewer thanthosethat drovetheFoundingMemberstoformTheNautical Institutebackin
1971sotheneedfor our memberstoworkwithother professionalsfromdiversesectorstoaddressissuesfacing
theindustryisasimportant asever. Indeedthetasksandregulationswithwhichtodaysmarinershavetocope
areevenmorecomplexandextensive. Evidenceof thiscomplexitycanbeseeninmanydifferent ways:
Theincreaseintechnology aboardshipwithintegratedbridgeandnavigationsystems beingfittedinmany
moreshipswhilst otherscontinuetohavetocopewithanarrayof stand-aloneequipment.
Themandatorycarriageof ECDISfrom2012, requiringthetransitionfromtheuseof paper charts.
Theincreaseinalarmsystems, eachof whichisdesignedtohelpthemariner, butwhichmayactuallydistract
andconfusethewatchkeeper.
Theincreaseintheregulatoryburdenwhichcanbeaccuratelymeasuredbythedoublinginsizeandcontent
of the2ndEditionof theInstitutespublicationTheShipmastersBusinessCompanion injustsixyearsand
the3rdEditionisalreadybeingpreparedtokeeppacewithfurther regulatorychange.
Thedevelopment of theE-Navigationconcept aimedat integratingshipandshoresidenavigationsystemsso
astoimproveshippingsafety.
Changesinmanningandmanagement practicesover theyears, somedetrimental tosafetywhilst othershave
hadapositiveeffect.
Theshortageof experienced and competent watchkeeping officers worldwidewhich is forecast to worsen
despitethedeepeningrecessionthat wearesufferingat thistime.
Manyof thesechanges,suchastheISMCode,havehadapositiveeffectonthesafetyandefficiencyof shipping
but all changeneedstobemanagedinathoughtful andproperlyplannedmanner. Thisrequiresleadershipand
ensuringthatthoseaffectedbythechangeunderstanditandhaveaconstructiveinputintoit.Inthisway,thechange
will bemademoreeffective. TheNautical Institutecontinuestoplayanimportantpartinthisprocessof change
and constructively questions particular proposals, practices, or regulations wherewefeel it is professionally
necessary todoso. Thebrancheshaveamajor roleinthisprocessonbothaninternational andlocal level and
workingwiththemaritimeuniversitiesandcollegesisessential inensuringthat futuregenerationsof seafarers
areproperly educatedandtrainedfor their responsibleanddemandingroleof providingasafe, efficient and
environmentallyfriendlyshippingservice.
TheCouncil of TheNautical InstituteandtheSecretariatwill continuetoworkcloselywiththePolandBranch
andGdyniaMaritimeUniversity inhelpingto resolvetheprofessional issues of today andthefutureso as to
promoteanddevelophighstandardsof educationandtraining. Itisindeedimpressivethatover 130Papershave
beenreceivedforthisConferenceonawiderangeof relevantissues, andI amawarethattheyareof ahighquality.
I congratulatetheauthorsfor theworktheyhaveput inandI amdelightedtobeheretohear thebest presented.
ItisalsomypleasuretopresentinpersontheCertificateof Fellowshipof TheNautical InstitutetoProfessor
CaptainAdamWeintrit followinghiselectiontothishighest membershipstatuslast December. HisFellowship
is deserved recognition of the very significant contributions he is making to both nautical science, through
theresearch, teachingandpracticeof navigation, andtheformationanddevelopment of theInstitutes Poland
Branch. Our branchnetwork is fundamentally important interms of recruitment andretentionof members as
well as for input to theprofessional work of theInstitute, and dynamic leadership is essential to sustain this
work. AdamprovidesthishereinPolandandwearehighlyappreciativeof hisefforts.
The President of The Nautical Institute
Captain Richard Coates, FNI
Captain Richard Coates, FNI
President
The Nautical Institute
CaptainCoatesiscurrentlytheOperationsManager of Humber SeaTerminal andisaformer 1st ClassPilot for
theHumber. Hissea-goingcareer sawhimservingfromCadet toMaster inawidevarietyof vesselsincluding
XXV
passenger, general cargo, container, coasters, dry bulk, offshore and chemical tankers. His experience also
includesworkasaconsultant andsurveyor.
Heserved on Council from1990 to 1996 and was elected as aVicePresident in 2002. Healso served on
CouncilsMembershipCommitteefrom1995andhasbeenitsChairmanforthepast6years.ApreviousChairman
of theHumber Branch, RichardisanElder Brother of theNewcastleTrinity House, andisapast Chairmanof
theBritishMaritimePilotsAssociation.
ElectedPresident of TheNautical Instituteon12thJ une2008, CaptainCoatessaid:
I believethatthePresidentof TheNautical Instituteneedstobeabletodevotethetime,andcall uponsufficient
resources, inorder tocontinuetheimplementationof theactivitiesandbusinessplansidentifiedbyCouncil in
the20062010 Strategic Plan. In addition, I would seek to encouragethecontinued internationalisation of
our Institute, andtoencouragetherecruitment of younger membersby suchmeansasensuringthat theShips
OfficersPublicationisrealised, promotingContinuedProfessional Development, andensuringthatall members
areawareof thesuccesswhichtheN.I. enjoyswhenengagingwithdecisionmakingbodies.
XXVI
Chapter 1. Safety of navigation
1.1
Thepresent andexpectedchangesinmaritimesafety, securityand
defensefunctions
J. Urba nski , W. Morga s& M. Mi esikowski
Polish Naval Academy, Gdynia, Poland
ABSTRACT: Inthispaper, anattempthasbeenmadetopresentthesubjectandstateof thethreemainfunctions
of eachmaritimecountry; theseare: themaritimesafety, maritimesecurityandmaritimedefensefunctions.There
havebeenalso discussedthesubjects of thesefunctions as well as thereasons andprocess of theclosest and
closestcooperationbetweenthesefunctions, andeventhemergerof thesefunctionsinonemaritimefunction, i.e.
inthemaritimesafety, security anddefensefunctions. Especially quickly proceedsthemerger of themaritime
securityandmaritimedefensefunctionsinonemaritimefunction, i.e. inmaritimesecurityanddefensefunction
1 INTRODUCTION
Each maritime country have to realize three main
maritimefunctions, theseare:
maritimesafety;
maritimesecurity;
maritimedefence.
Maritimesafetyisthesafetyof lifeandpropertyat
seafromtheenvironmental andoperational threats, as
well asthesafety of maritimeenvironment frompol-
lutionbytheships. Onthenational level themaritime
safety is being achieved as theresult of theexisting
maritimesafetylegal framework; operatingtheglobal
and regional navigational infrastructure, but mainly
as the result of operation of the highly specialized
maritimeoperational services. Eachmaritimecountry
possess not less then 10 different kinds of maritime
operational services. Most important of themarethe
following:
ships classification, survey, certification and
inspectionservices;
aidstonavigationservice;
hydrographyandnavigational informationservice;
searchandrescue(SAR) service;
marineenvironment protectionservice;
combatingtheenvironmental pollutionsservice;
Vessel TrafficServices(VTSs);
ensuringthesecurityof theshipsandportfacilities
service, etc.
Themaritimesecurity is thesecurity fromtheter-
rorism, piracyandsimilar threats, aswell aseffective
interdiction of all theillicit activities on seasuch as
pollutionof themarineenvironment; illegal exploita-
tionof searesources; illegal immigration; smuggling
thedrugs, persons, weaponsandothermattersthatcan
beusedfor terrorist activities. Themaritimesecurity
is achieved mainly as the result of the operation of
theproper national maritimeservices suchas: Coast
Guard, maritimepolice, Customs services, Immigra-
tion services and some other [Dyrcz, 2005], [J ones,
2006], [Walczak, 2004].
It should be added that in this paper the term
Coast Guard means thenational maritimesecurity
service responsible for realization of the maritime
securityfunction. However, theseservicesonlyinthe
UnitedStatesandCanadaarenamedasCoast Guard
[www.uscg.mil.]. In the Member States of the EU,
there exist different names of the national maritime
security services, such as: Border Guard, Maritime
Police, Maritime and Coast Guard Agency (MCA)
[www.mcga.gov.uk.] andmanyothers. Alsothescope
of tasksthat realizetheseservicesdiffer considerably
intheeachparticular Member States of theEU. The
above is the result of the historical tradition of the
development of theseservices. TheEuropean Union
considersthat theabovesituationisnot favorablefor
thecloser cooperationof thesecurity services of the
Member States of the EU. Therefore, the European
Uniontriestounifytheseservices,i.e.tounifynotonly
their namesbut alsothescopesof thecompetencesof
theseservices. [ec.europe.eu/maritime_affairs.]
Themaritimedefenseistheconstitutingpartof the
national military defense. Maritime defense for the
Member States of theEU is thedefenseof national
territorial integrity; defenseof thesealinesof commu-
nicationandothernational maritimeassets; contribute
tothepeaceandsecurityinthedifferentworldsareas;
andassists thenational security services inthecrisis
anddistresssituations. Ensuringthemaritimedefense
is the main objective of naval forces [NSA, 2002].
These forces include the different kinds of combat
shipsandcraft, aircraft, aswell astheAutonomousAir
Vehicles(UAV)andAutonomousUnderwaterVehicles
(UUV), andothers.
3
In thenot distant past theabovementioned func-
tions, i.e. maritime safety, maritime security and
maritimedefensefunctionswererealizedbytheorga-
nizational structures (maritime operational services:
CoastGuardandNavy) thatoperatedabsolutelysepa-
rately. They, of course, assistedeachother but onlyin
theverydifficult situations.
Howevernow,butmoreprecisely,insomelastyears,
theabovementionedsituationbegantochange. These
changesexpressthemselvesinthenewsituationof the
national maritimeservices. Themainnational opera-
tional services, i.e. theCoast Guard and Navy, have
been constrained to cooperatecloser and closer, and
eventhey havebeguntorealizethetasks that consti-
tutednottheirownfunctions.Themostcharacteristics
functioninthisrespect isthemaritimesecurity func-
tionsthatbesidestheCoastGuardor similar services,
has begun to berealized also by thenavy and other
maritimeoperational services.
Themainreason, andat thesametimetheturning
point of the above changes was the outbreak of the
Global War onWorldTerrorism(SEP of 11th, 2001).
Theaboveprocessof closer andcloser cooperation
of themainnational maritimeservices didnot cease
toexist but it continuestodevelopandbecomesmore
andmoreimportant.
Taking the above situation into consideration the
conclusioncanbedrawnthatbesidestheglobal threat
of terrorism, theremust exist alsosomeother impor-
tant reasons that result inthestepwiseintegrationof
themaritimesafety, maritimesecurity and maritime
defence functions in a kind of the new super func-
tion, i.e. intheintegratedfunctionof maritimesafety,
securityanddefence[Kopacz, 2004], [Kopacz, 2005],
[Kopacz, 2006].
Below, therearepresentedthefollowingissues:
reasonsof thepresentchangesinthemainnational
maritimefunctions;
present state of the maritime safety, security and
defencefunctions;
expected changes in themaritimesafety, security
anddefencefunctions.
2 THE REASONSOFTHE PRESENT CHANGES
INTHE MAINNATIONAL MARITIME
FUNCTIONS
Themainchangesinthemaritimesafety, securityand
defense functions express themselves mainly in the
followingsituation:
maritimesecurity tasks that inthepast werereal-
izedbytheCoastGuardorsimilarsecurityservices,
therearebeingnow, inhigher andhigher degree,
realizedalso by thetwo other services, i.e. by the
national operational servicesandbythenavy,
thetasks of themaritimedefencethat in thepast
werealmost exclusively realized by thenavy, are
now being realized, in higher and higher degree,
bytheother maritimeservices, i.e. bythenational
operational services and by the Coast Guard
(or similar security services), however mainly by
thelast ones.
It shouldbealsomentionedthat theissuesof mar-
itimesafetybegintobetheexclusiveissuesof national
operational servicesandbegintobealsotheissuesof
two other main maritime services, i.e. Coast Guard
andNavy. It is theresult of thepermanent growthof
danger of pollution of marine environment by the
ships, andthenecessity of preventionsuchpollution,
as well as combatingtheconsequences of pollutions
if theyoccurred.
Themain reason of theabovementioned changes
inthemaritimesafety, securityanddefensefunctions
is not only theoutbreak of themaritimeterrorismin
the worlds dimension. This factor is of course the
decisive factor of the changes being now underway.
However, the outbreak of worlds terrorismhas also
inhighdegreeintensifiedtheinfluenceof manyother
factors of thepresent changes in themain maritime
functions. Thesefactorshavetheeconomic, political,
militaryandsocial character, andhavecomeintoexis-
tencelongbeforetheoutbreakof Global WaronWorld
Terrorism. Belowwewill try to enumeratethemost
important factors of thepresent changes inmaritime
safety, securityanddefensefunctions.
Collapse of the Soviet Military Block and com-
ingintobeingthemultipolar worldwithitsreligious,
ethnic, national and other conflicts. The collapse of
this military block resultedalso invery considerable
decreasing the probability of the military conflicts
betweenmaritimecountries. Decreasingtheprobabil-
ity of outbreak of themilitary conflicts betweendif-
ferent countriesresultsalsofrommany other reasons
that theywill bediscussedbelow.
Further polarization between the world of the
wealth and the world of the destitution. This
process generates also the very unstable geograph-
ical regions in the respect of maritime security.
In these regions exists very high level of terrorist
attacks threat, piracythreatsaswell asthreat of ships
capturing and their abduction. To theregion of very
high security risk belongs now such region as Per-
sianGulf, ArabianSea, areasof IndianOceanoff the
Hornof Africa(Somalis coast). TheGulf of Guinea
(AfricasWestCoast)[Peterson,2007].Thehighriskof
piracyattacksexistsalsoontheapproachestoMalacca
Strait andontheSouthChinaSea.
Fast growing the new economic, political, mili-
tary andsocial worldsregions, suchastheEuropean
Union, China, IndiaandBrazil, very fast changethe
worldsituationsthatexistedbefore.Thesenewworlds
geographical regionsresult alsointhedecreasingthe
role of the United States not only in the economic
aspect but also in the political and military aspects.
TheUnitedStatesareloosingalsostepwisetheir role
astheworldsmilitaryandseapower.
The further fast process of globalization express
itself also in the very fast growing the international
commerce, and in transportation by sea. The world
economyistightlyinterconnected. Over thepast four
4
decades, total seabornetradehas morethanquadru-
pled. 90% of the world trade and two-thirds of its
petroleumaretransported by sea. Thesea-lanes and
supportingshoreinfrastructurearethelifelinesof the
modernglobal economy.Theyarevisiblebutveryvul-
nerable symbols of the modern distribution strategy
[www.navy.mil/maritime/ Maritime_Strategy].
Process of climatechangeresults also in theeco-
logical and social disasters. Hence, the necessity of
development crisis responsecapabilities to response
tothesekindsof maritimecalamities.
Very fast progress of science and technologies,
especially in such technologies as global position-
ingandglobal communicationtechnologiesandmany
other informationtechnologies, is very favorablefor
ensuring themaritimesafety and security but it also
facilitates theterrorist activities. This progress facil-
itates also proliferationof nuclear weaponas well as
other kinds of weapons of mass destruction (WMD)
that canbecomealsotheweaponsof terrorists.
3 PRESENT STATE OF THE MARITIME
SAFETY, SECURITY ANDDEFENSE
FUNCTIONS
FortheMemberStatesof theEuropeanUnionthemain
criterionof thedistributionof theareasof realization
of themaritimesafety, securityanddefensefunctions
between the main maritime services, constitutes the
geographical locationof therealizationareastowards
theowncoast:
intheareasclosetotheowncoast, thefunctionsof
themaritimesecurity and maritimedefencehave
beenrealizedbytheCoastGuardandothersecurity
services, andNavy;
intheareaslocatedfarfromtheowncoast,thefunc-
tionsof themaritimesecurityandmaritimedefence
have been realized by the naval forces, mainly
in the form of the maritime security operations
(cf. CTF 150) [en.wikipedia.org/wiki/Maritime_
Security_Operations], [en.wikipedia.org/wiki/
Combat_Task_Force_150].
However, as it was already mentioned, the above
principleregardsmainlythemaritimecountriesof EU
andmaritimecountriesbeingthemembersof NATO.
However, it canbealsoassumedthat theaboveprin-
ciple regard also the United States and their main
maritimeforces, i.e. MarineCorps, Navy and Coast
Guard[www.navy.mil/maritime/Maritime_Strategy].
The maritime safety function in European Union
andinitsMember Statesisbeingrealizedonthethree
levelsof maritimesafetymanagement[Kopacz,2001],
[Kopacz, 2006]:
thefirst andthehighest level of management con-
stitutestheInternational MaritimeOrganization. It
createsthelegal andoperational basisfor maritime
safetyandsecurityof thewholeshippingindustry;
the middle level of maritime safety manage-
mentconstitutestheVessel TrafficMonitoringand
Figure 1. Institutions, legal instruments, systems and
servicesof themaritimesafetyfunction.
Information System (VTMIS) of the European
Union. Main objectiveof such Systemis to con-
siderably increasethemaritimeenvironment pro-
tection frompollution by ships and enhance the
level of maritimesecurity on theseaareas of the
EuropeanUnion[Urba nski, 2007];
the lowest, i.e. the national level of maritime
safety management constitutes thenetwork of the
maritimeoperational services.
In Figure1, thereareshown theinstitution, legal
instruments, systems and services that realize the
maritimesafetyfunction.
Themaritimesecurityfunctionisnotthenewmain
maritime function. However, the importance of this
function, i.e. the amount of its tasks and the sig-
nificanceof thesetasks of this function havegrown
incomparableafter the11thof SEP, 2001. This func-
tion, aswasalreadymentioned, isbeingrealizednow
byall thethreemainmaritimeservices, i.e. bythemar-
itimeoperational services, Coast Guard and Navies.
Thereexist two main kinds of geographical areas in
which this function is being realized. First kinds of
areas constitutethemaritimeareas of each Member
State of the EU. The second kinds of areas are the
far-away areas where exist very high risk for mar-
itimesecurity. Inthefirst kindof maritimeareas the
maritime security function is being realized by the
Coast Guards and Navies of the Member States of
theEU. Inthesecondkindof areasthemaritimesecu-
rityfunctionisbeingrealizedmainlybythenaviesof
maritimestatesoperatingintheseareas, mainlyinthe
formof MaritimeSecurity Operations conducted by
themaritimeNATOforcesor theEU forces.
Itshouldbeaddedthatintherelationtotheshipping
industry the maritime security function constitutes
together withmaritimesafetyfunctiononecompound
5
Figure2. Themain means and ways of realization of the
compound maritime safety and security function on the
maritimeareasof theEuropeanUnion.
function, i.e. the maritime safety and security func-
tion of the shipping industry. In Figure 2, there are
shown the main means and ways of the realization
of thecompound maritimesafety and security func-
tionof shippingindustryonthemaritimeareasof the
EuropeanUnion.
The United States National Strategy for Home-
land Security (J uly 2002) [www.whitehouse.gov/
homeland/book] in the following way defines the
Critical MissionAreasof thisfunction:
intelligenceandwarning;
border andtransportationsecurity;
domesticcounterterrorism;
protectingcritical infrastructureandkeyassets;
defendingagainst catastrophicthreats;
emergencypreparednessandresponse.
The above critical mission areas of the maritime
securityfunctionhavethegeneral characterandthere-
fore they fully regard all Member States of the
EuropeanUnion.
TheUnitedStatesNational Strategyfor Maritime
Security (September 2005) [www.dhs.gov/xlibrary/
assets/HSDD13_Maritime_Security_Strategy]defines
thefollowingthreatsfor thissecurity:
national-statethreats;
terrorist threats;
transnational criminal andpiracythreats;
environmental destruction;
illegal seaborneimmigration.
The United States A Cooperative Strategy for
21st Century Seapower (October 2007) is the
common strategy of all the three maritime mili-
tary services, i.e. Maritime Corps, Navy and Coast
Guard [www.navy.mil/maritime/Maritime_Strategy].
Thisstrategydefines6corecapabilities. Twoof these
capabilities, i.e. 5thand6thcanbeconsideredasthe
core capabilities that concern the maritime security,
theyare:
maritimesecurity;
humanitarianassistanceanddisaster response.
Themaritimesecurity capability is definedas the
creationandmaintenanceof securityatseaisessential
to mitigatethethreats short of war, includingpiracy,
terrorism, weaponsproliferation, drugtrafficking, and
other illicit activities. Counteracting these irregular
andtransnational threatsprotectsthehomelandsecu-
rity, enhancesglobal stabilityandsecuresfreedomof
navigationfor thebenefitsof all nations.
Themaritimedefencefunction, aswasstatedabove,
is being now closer and closer integrated with the
maritime security function, but these two functions
penetrate also each other and begin to create one
function, i.e. maritimesecurityanddefencefunction.
The subject of the maritime defence function,
in relation to the maritime Member States of the
European Union and the NATO had been already
presented and discussed above. Therefore, we want
and will try to discuss shortly the subject of, also
alreadymentioned, thenewmaritimestrategy, i.e. A
CooperativeStrategyfor the21st CenturySeapower
[www.navy.mil/maritime/Maritime_Strategy].Itisthe
strategy of all threemaritimemilitary servicesof the
UnitedStates.
Fromthesubstanceandcontentof thisstrategycan
beconcludedthatthisStrategyisnotonlythemaritime
strategy of theUnited States Seapower but also the
strategy of all the political and military partners of
the USA. This Strategy defines, as was mentioned,
6corecapabilitiesthatcomprisetheessenceof theUS
maritimepowerandreflectsanincreaseinemphasison
theseactivitiesthatpreventwarandbuildpartnerships.
Therearedefined6followingcapabilities of theUS
Seapower:
forwardpresence;
deterrence;
seacontrol;
power projection;
maritimesecurity;
humanitarianassistanceanddisaster response.
Thelasttwocorecapabilitieshavebeenalreadydis-
cussed.Thereforebelow, wewill trytodiscussthefirst
4corecapabilitiesof theUSSeapower.
Theabovefirst4corecapabilitiesareinthereality4
maritimemilitary strategies, i.e. thenavy operational
concepts. Two of these strategies existed already in
the past (2nd and 3rd). However, two other strate-
gies(1stand4th) areconsiderablenew. Thestrategies
areforwardpresence(1st) andpower projection(4th)
6
have been formulated and applied by the US Navy
andMarineCorps inthelast 16years. Initially these
strategies werecalled as: . . . FromtheSea (1992)
andForward. . . fromtheSea (1994).
TheDeterrencestrategy(2ndcorecapability)was
formulated and applied during the cold war. It was
especially relevant with regard to theuseof nuclear
weapons. Now, theconcept of Deterrence strategy
expressthetruthbutmainlytheUSmilitarypolicythat
preventingthewarispreferabletofightingwars.The
SeaControl strategy (the3rd corecapability) that
veryoftenisalsocalledCommandof theSea strat-
egyisoneof theoldestmaritimestrategies. Itwasfor-
mulatedandappliedalreadyduringtheageof thesail.
The presented all the 4 core capabilities of the
MarineCorps, Navy andCoast Guard, together with
2other corecapabilities discussedbefore(maritime
security and humanitarian assistance and disaster
response) constitutetheessenceof theUSA Coop-
erativeStrategyfor 21st CenturySeapower.
4 EXPECTEDCHANGESINTHE MARITIME
SAFETY, SECURITY ANDDEFENSE
FUNCTIONS
In the above two sections of this paper there have
beenpresentedtherealizationof themaritimesafety,
security and defense functions in national, regional
and international dimension. Also the threats being
thesubjects of theactivities constituting thesefunc-
tions have had mainly the economic, political, mil-
itary and social character. However, it is evident
that in 21st century, besides of the above threats,
there are more and more frequently expected other
kinds of threats, i.e. natural and other threats that
havetheglobal character. Suchthreats arecalledthe
global calamities. Thenatural calamitiesconstitute
also the component part of the global calamities.
There have been commonly agreed that the follow-
ing calamities are considered as the global calami-
ties [www.unitedcats.worldpress.com/2007/10/11/
ten_global_calamities]:
terrorism;
climatechanges;
emergent diseases (some contentious forms of
incurablevirusdiseases);
wars;
volcaniceruptions;
asteroid/planet deathfromtheabove;
methanerelease(fromthecontinental shelves);
doomsday devices (nuclear, chemical, biological,
etc.);
strangematterexperiments(thatcanresultinglobal
catastrophe);
aliens(creaturesfromtheouter space).
As the natural calamities are considered the
following [http://wiki.answears.com/Q/what_are_the
_natural_calamities]:
earthquakes;
floods;
famine;
volcaniceruptions;
landslides;
fires;
hurricanes;
tornados;
icestorms, etc.
Thenatural calamitiesarenotthenewevents. They
wereknown sinceever. However, thefrequency and
intensityof thesecalamitiesarebecomingnowhigher
and higher. That is theresult of theclimatechange.
Totheglobal calamitiesthat aremanageable, i.e. that
might be prevented or whose results might be miti-
gated, belongthefirstfourglobal calamities; theseare:
terrorism;
climatechange;
emergent diseases;
wars.
Among the global calamities the most dangerous
for our planet Earthandfor humans existenceonit,
istheclimatechange. Theclimatechanges, but espe-
cially thepermanent increaseof thetemperature, i.e.
theglobal warming, result inthefollowing:
melting glaciers and land ice (and therefore, in
thermal expansionof thewater);
sealevel rise;
changesintherainfall andevaporation;
increasingtheintensityof natural processes, espe-
cially geomorphological processes in the coastal
zone, andothers.
Preventing the climate change and other global
and natural calamities but also economic and social
calamities (and mitigating their harmful influence,
are tried to be achieved, in global dimension, in
the following ways [Sachs, 2005], [Sachs, 2008],
[www.un.org/genonto/bp/enviro.html]:
reductionof theemissionof theGreenhouseGases
(GHG), mainlyCO2;
combating the extreme poverty and civilization
backwardness;
protectionof theenvironment (landandmaritime)
frompollution;
protectingthebiodiversity(landandmaritime);
ensuring the sustainable economic, development,
andothers.
Taking the above facts into consideration we can
drawthefollowingconclusionsregardingtheexpected
changes in maritime safety, security and defence
functions:
thereexistsalmostthecertaintytoassumethatsuch
global calamitiesasterrorismandclimatechanges
effectswill begrowingpermanently andwill con-
stitutethemain dangers and threats that must be
prevented, avoidedandmitigatedby themaritime
safety, securityanddefencefunctions;
themaritimesecurityactivitiesandmeasureswill in
higher andhigher degreeconstitutetheessencenot
7
only maritimesecurity functionbut alsomaritime
safetyandmaritimedefencefunctions;
thepermanentlygrowingdangersandthreats,being
the effects of the expected natural and global
calamities will and must result in the situation
thatthecrisis/calamitiesresponsereadinessandits
efficiency will constitutethemaincomponent not
onlyof themaritimesecurityfunctionbut alsothe
maritimesafetyandmaritimedefensefunctions.
5 CONCLUSIONS
This paper has beenpresentedthemainissues of the
functions of maritimesafety, security anddefenseof
today and tomorrow. The authors tried to show the
main issues constituting the subject and contents of
thesefunctions not only today but alsointhenearest
future. They tried also to show the state of realiza-
tion of these functions both in the European Union
andintheUSA. Therehas beenalso undertakenthe
effortstopresent themost probably changes reasons
that couldinfluencetherealizationof thesefunctions
andcouldmodifythesubstanceandmaintasksof the
discussedfunctions.
REFERENCES
Dyrcz, Cz. 2005. Terrorismat the beginning of XXI cen-
turyasthethreattotheinternational andnational security
(inPolish), Gdynia.
J ones, S. 2006. Maritimesecurity.A practical guide. London:
TheNautical Institute.
Kopacz, Z. &Morga s, W. &Urba nski, J. 2001.TheMaritime
SafetySystem;ItsComponentsandElements.TheJ ournal
of NavigationNo2.
Kopacz, Z. & Morga s, W. & Urba nski, J. 2004. Maritime
Safety and Security System and Ways of It Improve-
ment (inPolish). BudownictwoOkre
towe, part 1, Nr 2&

part 2, Nr 4.
Kopacz, Z. & Morga s, W. & Urba nski, J. 2006. TheCoordi-
natedMaritimeSafety, Security andDefenceSystemas
Important Factor intheWar ontheGlobal Terrorism(in
Polish). Warszawa: My sl Wojskowanr 1.
NSA, 2002. Naval CooperationandGuidancefor Shipping
(NCAGS). Studydraft NATO/PIP Unclassified.
Peterson, P. 2007. TakingAfricaSeriously. US NJ Proceed-
ingsNo10.
Sachs,J.2005.TheEndof thePoverty.EconomicPossibilities
for OurTime. PenguinPress.
Sachs, J. 2008. CommonWealth: EconomicsfortheCrowded
Planet. PenguinPress.
Urba nski, J. &Morga s, W. &Kopacz, Z. 2007. TheShipping
Industry andManagement of Its Safety andSecurity (in
Polish). Proceedingsof X MaritimeConference. Gdynia.
Urba nski, J. & Morga s, W. & Kopacz, Z. 2007. The
EuropeanVessel TrafficMonitoringandInformationSys-
tem(VTMIS). PolishJ ournal of Environmental Studies.
Vol. 16, No. 36.
Walczak,A. 2004. PiracyandMaritimeTerrorism(inPolish).
Szczecin.
www.uscg.mil.
www.mcga.gov.uk.
en.wikipedia.org/wiki/Maritime_Security_Operations.
en.wikipedia.org/wiki/Combat_Task_Force_150.
www.whitehouse.gov/homeland/book. . .
en.wikipedia.org/wiki/National_Security_Strategy_of_the_
United_States_of_America
www.dhs.gov/xlibrary/assets/HSDD13_Maritime_Security_
Strategy.
www.navy.mil/maritime/Maritime_Strategy.
www.unitedcats.worldpress.com/2007/10/11/ten_global_
calamities.
http://wiki.answears.com/Q/what_are_the_natural_
calamities
www.un.org/genonto/bp/enviro.html.
ec.europe.eu/maritime_affairs.
8
1.2
Studyonshipssafetycontrol system
X.-J. Han, X.-Y. Meng& Z.-W. Wang
Dalian Maritime University, Dalian, China
ABSTRACT: The proportion of main reasons of ships accidents to the whole reasons is discussed in the
paper. Amongthesereasons, humanfactorsareinthemajority. Soamethodtoprevent wrongorderssent bya
navigator islaidemphasison. Onthebasisof this, ashipssafetycontrol systemisstudied. Theconstructionand
control principleof theshipssafetycontrol system, aswell ascontrol strategy, implementationmethodandkey
technologyareelaboratedinthepaper.
1 PREFACE
Although modern ships have been equipped with
advancedfacilities suchas integratedbridgesystem,
automaticnavigationdevice, unmannedengineroom,
etc, fatal ships accidents still occurred fromtimeto
time.Safetyhasbeenthekeyissuewhichhasrestricted
the development of ships. According to the analysis
of shipsaccidentsstatistical datafromIMOorganiza-
tion, therearethreemainkindsof reasonswhichhave
caused accidents: equipment failure in ship itself
external environment (weather, oceanic condition,
etc) humanfactor.
Theproportionof thesethreereasonstothewhole
isshowninFig. 1. Fromwhichitisobviousthatmore
than eighty percent of ships accidents arecaused by
humanfactor.All theaccidentscausedbyhumanfactor
due to wrong operation or misoperation when navi-
gators havepoor qualities, lack of watch, havepoor
capability in dealing with emergency, do not master
marinetraffic rules enough, etc. Therefore, in order
to ensure safety navigating, eliminating the error of
human factor is themost important issueweshould
deal withfirstly. Except that thequality of navigator
Figure1. Proportionof reasonsinshipsaccident.
shouldbeimproved,shipssafetycontrol systemshould
be set up, which would supervise ships navigating
condition, discoverpotential safetyhazardinadvance,
andestimatethevalidity of operatingorder sent by a
navigator. Especiallyinemergency, thesystemshould
makeestimation rapidly, and then givesomeappro-
priateprompt, alarm, or orders of speeding down or
blockingoperations, sothatsafetycanbeensuredand
accident canbeavoided. Thesafetycontrol systemis
studiedinthis paper. Howto forecast ships accident
and precaution of wrong order fromnavigator is the
focal issuetobesolved.
2 BASICTHOUGHT OF SAFETY CONTROL
SYSTEM
Theshipnavigationsystemiscomprisedof ship, nav-
igationenvironmentandnavigationtechnologywhich
isshowninFig. 2.
Figure2. Constructionof shipnavigationsystem.
9
Ship: a moving carrier which includes entity
attributeof aship(weight, size, draught, etc), running
condition(course,navigational speed,etc),andmotion
characteristics(stowage, stability, heel, trim, swinging
period, etc.).
Navigation environment: refers to exterior cir-
cumstance when ship moves. It contains water area
environment, natural environment and transporta-
tionenvironment. Transportationenvironment covers
obstaclesintheareaof navigation(fixedobjectsand
floating objects), prescriptive lane and traffic rules,
such as avoidanceregulations, marinetransportation
safetylaws, etc.
Navigationtechnologyisreferredtothetechnology
andtechniqueof navigatingaccordingtothemoving
conditionof theship.
Itisobviousthatamongthreefactorsof navigation
system, the factor of ship is basically unchange-
able, thefactor of navigationenvironment constantly
changes. The changes of environment do not lie on
humanbeings. Thefactor of navigationtechnologyis
thedrivetechnologythat anavigator adoptsbasedon
theformer twofactors, whichincludeswatchingcon-
tinuous, collectinginformation, comprehensiveanaly-
sis, andadjustingaccordingtochanges.Thereby, inthe
courseof navigating,navigationtechnologyisthemost
decisivefactor.Ithasbeenprovedthroughthefactsthat
mostshipwrecksandcollisionaccidentsarecausedby
wrongoperationor misoperation.
In recent years, with regard to the constituent
of navigation system, great efforts have been made
to improve safety of ship navigation. They mainly
contain:
1) Improvementof ship: Theshipsizehasbeenbeing
biggerandbigger. Simultaneity,automationof ship
has been being improved greatly. Functions of
automaticnavigation, supervisionandcontrol have
been making perfect constantly. And hence ship
manoeuvrabilityhasbecomingflexibleandconve-
nient, suchasautomaticnavigation, location, turn-
ing, shifting, emergencyshut-down, reversing,etc.
2) Improvement of navigation environment: Navi-
gation environment is involved in transportation
environment, sea area environment and natural
environment. Inwhichmakingtransportationenvi-
ronment better is easy to be achieved. In recent
years, massesof workshavebeendoneinscientific
settingandmanagement of lane, workingout ship
collision regulations, improving and perfecting
transportationrulesonsea, etc.
3) Improvement of navigation technology: For the
sake of raising navigators level of manoeuvre,
IMO organization attaches high importance to
improving the quality of navigators. They regu-
lated WTC convention (compulsory) strictly for
conforming and examining the process of train-
ing for navigators, promotion and going on duty,
sothat navigationtechnologycanbeimproved.
All theeffortshaveplayedagreatroleinimproving
shipssafety, otherwise, if wewanttosolvetheproblem
Figure3. Constructionof shipssafetycontrol system.
of shipssafetyradically, aspecificshipssafetycontrol
systemshouldbeset upto predict accident potential
andaccessthevalidity of orderssent by navigator so
that human error can beeradicated completely. It is
possiblebecausethedevelopmentof informationtech-
nology, computer andnetwork technology, as well as
expert intelligent control technology, etc.
3 CONSTRUCTIONOF THE SYSTEM
Thecorefunctionsof theshipssafety control system
areforecasting accident potential and evaluating the
correctness of each order sent by navigators. On the
basis of equipments on board, a safety information
networkisestablishedwhichcontainsahostcomputer,
a server, the interface of data and network, control
output, etc.Theconstructionof thesystemisshownin
Fig. 3.
Theserver is used for information integration, all
datainvolvedinshipsisstoredinit asadatabaseand
knowledgebase. Theinterfaceof dataandnetwork is
connectedtosensors whichareusedtomeasuredata
relatedtosafetyships, suchasrunningparametersof
mainengine(velocityof aship, etc.), runningparam-
eters of steering engine, information of ARPA, data
of GPS, etc. Somedataaretransferredfromsensors
tohostcomputer directly, otherwisemostinformation
arefromnetwork. Thehostcomputer isthenucleusof
thesystem. All kindsof runningdatarelatedtoships
arecollectedthencommunicatedtothehostcomputer,
andaccordingtorelevantinformationinthedatabase,
running conditions of the ship will be calculated in
real timebasedonamodel. Providedapotential risk
ispredicted, correspondingcontrol will beoutputted.
Thecontrol contains threekinds of outputs: prompt-
ing, alarming, andblockingtheerror operations that
couldcauseseveredangerouseffect.
4 SAFE SPEEDANDACCIDENT
PRECAUTION
Shiptrajectoryisdeterminedbythecourseandveloc-
ityof aship, notedas:
l
i
(V
i
, S
i
). Providedthatinthe
10
areaof aship trajectory at acertain time, encounter
objects varies in accordancewith V
2
n
or V
2
p
. Where,
V isthevelocityof aship, n isthenumber of objects
(ships, fixedobjectsandfloatingobjects), p istheden-
sityof objectsinthespecificarea. Theencounter rate
of theshipwithother objectsis:
It is obvious that encounter rateis inversepropor-
tional tovelocityof theship. Althoughincreasingthe
speed could bring down the encounter rate, but the
captainshouldalsokeeptheshipatasafespeedinthe
trajectoryif hewantstokeeptheshipssafely.Thecon-
cept of safespeedis put forwardinIMOs newrules
in1972. Itisdefinedasthespeedrelativetowaterthat
it candieaway completely beforetheshiparrives at
thecollisionpointfromanywhere.Theconceptof safe
speedisusedasthemainfoundationinthispaper for
forecasting ships accident. That is, if actual velocity
exceeds thesafespeedat any moment inthenaviga-
tion, accidentpotential wouldexist. Basedonthescan-
ninginformationfromARPA radar, theobject which
isclosesttotheshipscourseisregardedasareference
point at eachmoment, safespeedcouldbecomputed.
Theperiodof computingcanbeset, computingevery
1minuteinnormal navigation, orcomputingevery1/2
or 1/4minuteintheareaof narrowwatersor that the
densityof navigationobject isgreater.
Therearemany kindsof methodstocalculatesafe
speed. Inthispaper onemethodisadopted, whichis:
where, D
r
isthedistancefromtheshiptotheclosest
object, D
s
isthesafedistancewhichisnot morethan
1/2of thedistancethat thetarget is insight, t
p
is the
timefromthetargetinsighttothatanorder issent, S
r
istheslidingdistancefromthatanorder issenttothat
theshipstopscompletely.
S
r
isrelatedtomanykindsof factors, suchasnavi-
gationvelocity, brakingforce, etc. Inorder toshorten
calculatingtime, acurveof navigationvelocitywhich
is correspondingto rev of propeller andbrakingdis-
tanceshouldbestoredinthehostcomputer.Thecurve
shows therelationship of ships truespeed V (cable
length/min)andrevof propelleraccordingtotheresult
of speedmeasurementeveryyear onthemeasurement
line, whichisshowninFig. 4. Whenever calculation,
firstly, the value of D
r
/2D
s
(cable length/min) is
got which is shown as point A in Fig. 4. Fromthe
point A, a straight line is drawn parallel to x-axis,
whichcrosseswithstopline(S
P
S
T
) at thepoint B
(S
T
(cablelength) istheslidingdistancefromthat the
targetisinsighttothatanorderissent).ThenFromthe
pointB, aperpendicular linetox-axisisdrawn, which
crosses with(S
P
) at thepoint C, therev of propeller
canbegottenasaresult. Finally, fromthepointof C, a
straight lineisdrawnparallel tox-axis, whichcrosses
Figure4. Theschematicof computingthesafespeed.
withy-axisatpointD. ThespeedinpointDisthesafe
speed.
5 STRATEGIESOF THE SYSTEM
Strategies of safety control systemdesigned in the
paper puts stress oncalculatingsafespeed, thenpre-
dictingaccident accordingtoinformationindatabase
andknowledgebase.Thestrategiescanbedividedinto
several typesasfollows:
(1) Whentheshipisnavigatingatseaor onthebroad
surfaceof awater area, therearefewtargets. The
safe speed calculated based on the closest dis-
tanceof objects(veryfargenerally)will begreater
thantheactual velocity(evengreater thanthetop
speed). Riskrateisverysmall.
(2) When the safe speed calculated is close to the
actual velocity, it means that it is near with the
closest object. Risk rate is becoming greater.
Potential encounteringriskexists.Atthistime, the
systemshould estimate that whether courses of
themhavethepossibilityof crossing. If crossing,
thesystemshouldprompt thenavigators.
(3) When the safe speed calculated is less than the
actual velocity, itmeansthattheshipisveryclose
to theobject, risk rateis muchgreater. Theship
ispossibletocollidewiththeobject. Analarming
signal will besentimmediatelyandslowingdown
or stopping the ship according to the difference
betweenthesafespeedandtheactual velocity.
(4) Foreachordersentbythenavigator(rudderorders
and engine orders), the system will search for
thenew closest object in thenew courseimme-
diately andcalculatethesafespeedaccordingto
thechangeof courseandvelocity after theorder
issent. If thesafespeedcalculatedafter theorder
is muchless thanthespeedof theorder, it inter-
pretsthatdangerwill occur.Thesystemwill block
theorderatoncesothatitcannotbesenttoengine
room.
For estimating the validity of an order, the sys-
temshouldnot onlybaseontherelationshipof actual
velocityandsafespeedafter theorder issent, butalso
11
Figure5. Strategyof safetycontrol.
baseontheexpert prior knowledgestoredindatabase
and knowledgebase. Especially for emergency, it is
important whether the order conforms to the emer-
gency operation rules and collision avoidancerules.
Consequently, it is oneof thefocal works to build a
perfect safetydatabaseandknowledgebase.
6 CONCLUSIONS
Thepredictionandsafety control of shipsaccident is
made a probe in this paper. The method of predict-
inganaccidentaccordingtosafespeedandestimating
anorder inreal timeis introduced. Thekey technol-
ogyisintegratingrulesof safetyrelevant information
andreal-timedataprocessingmethod. For thereason
that therearemany complex factors includinginthe
system, many aspects have not been involve in this
paper, suchasprocessingrulesafter informationinte-
gration, thereliabilityof seascanninginformation, the
influenceof sea visibility, thereal-timerequirement
of calculatingspeed, theestablishmentof expertjudg-
ment system, etc. But it isbelievedthat thesystemof
ships safety control systemmust play agreat rolein
improvingnavigationsafetybyour efforts.
REFERENCES
Cockcroft, A. N. 1992. Guidanceof MarineCollisionAvoid-
anceRules.Dalian:DalianMaritimeUniversityPublisher.
Lewison, R.G. 1997. TheModelingof MarineTraffic Flow
and Potential Encounters. Proceedings of International
conferenceon Mathematical Aspects of MarineTraffic:
139142.
Yahei, F. 1984. Survey onVessel Traffic Management Sys-
tems and Brief Introduction to Marine. Traffic Studies.
ElectronicNavigationResearchInstitute45: 3545.
Yuzhuo, S. & Zhaolin, W. 1991. Ship CollisionAvoidance
Laws. Dalian: DalianMaritimeUniversityPublisher.
12
1.3
Marinenavigationusingexpert system
N. Nikitakos& G. Fikaris
University of the Aegean, Chios, Greece
ABSTRACT: A shipsautopilotadjustmentisamatterof utmostimportancesinceitaffectsitssafety, command
aswell asfuel andtimeefficiency. A number of methodshavebeendevelopedinorder tocopewiththisissue
usuallybasedonmodelsthat simulatetheweather conditionsandadjust thedeviceaccordingly. Someof them
have a considerable degree of success but none dealt with the problemcompletely. The main obstacles are
thedifficulty of simulating theinfiniteweather and loading conditions and to properly represent themwith
mathematical equations or rules. This paper describes amethodof selectingthebest out of apre-existingset
of configurations, takingintoaccount anyweather situation, loadingconditionandtypeof ship. Moreover, the
selectedconfigurationcanimproveitself duringtheentirelifecycleof thevessel, sinceitfinetunesitsproperties
forbetterresults.ThisapproachusesCaseBasedReasoningasitscoretechnologyandisapartof ahybridsystem
that analysesandsolvesprefixedproblemsof maritimeinterest.
1 INTRODUCTION
Anautopilot is definedas amechanical, electrical or
hydraulicsystemusedtoguideavehiclewithoutassis-
tancefromahumanbeing.A shipusesanautopilotfor
steeringduringhervoyagesexceptwhenshenavigates
inconfinedwatersormaneuveringatport(COLREGS
72) [8]. A ships voyage may last several days and
a large proportion of it takes place in the open sea
wheretheautopilot is used almost exclusively. Even
thoughtheshipsbridge, wheretheautopilotislocated,
is always supervisedby theofficer onwatch(STCW
95) [22], it isnecessarytoensurethat theautopilot is
asafeandreliabletool inhis/ her hands.
Keepingashiponcourseisnot aneasy task since
shipsareexposedtosevereweatherconditionsandare
operating in extreme situations. Wind, sea, current,
etc, aresomeof thefactors affecting aships devia-
tionfromthedesiredcourse. Anautopilotstask isto
keeptheshipontrack, not losingcontrol inany case
andsimultaneouslyminimizingthedeviationsregard-
less of cause. To do that, an autopilot must havethe
properconfigurationsothatitwouldbeabletoperform
its best accordingto thesituationat hand. This ideal
situation is not easy to achieve because the weather
combinationsof wind, sea, current, etc, arepractically
infiniteandthesamestandsfortheshipsloadingcon-
ditionswhichalsoaffectthefinal outcome. Moreover,
anautopilot deviceisdesignedtoworkonalmost any
typeof ship,thusitsperformancewouldntbethesame
indifferent hulls.
Theactual performanceof thedeviceis measured
using parameters like loss of steering, vertical and
angular deviation, extra distance, etc, because they
are closely connected to dangerous situations at sea
or significantlossesof fuel andtime. Lossof steering,
combined with a generator failure can cause a seri-
ousaccidenti.e. capsize(Leontopoulos79)[34], while
vertical deviation from course (Cross Track Error)
leadstounwantedapproachestonavigational dangers.
Moreover, extremeangular deviations fromcompass
settings affect the ability to command, especially in
badweather(Bowditch2002) [6]. Finally, anincorrect
adjustmentincreasesthetotal voyagedistance, thefuel
consumption, the time delay and the corresponding
costs(Dutton1958) [11].
Given the above it is very difficult to develop a
method that takes into account all theaffecting fac-
tors andbeingableto maximizetheperformanceon
every ship, under any weather andloadingcondition.
Anideal situationwouldbethedevelopment of acus-
tomizeddeviceableto understand its environment
(weather, loadingconditionandshipsparticulars) and
properlyadjustitself, respondingtoanychanges. Even
thoughsuchadeviceis not developedyet, weclaim
that a pattern able to operate in a similar way is
feasible, provided that aconventional devicewill be
equipped with some additional features mentioned
below.
Thispatternisincorporatedasanapplicationwithin
an AI system named POLARIS (POlicy Leading
ARtificial IntelligenceSystem) (Nikitakos& Fikaris,
2007) [38] abletoanalyzeproblemsof maritimeinter-
est and propose courses of action for them. This
approach has certain advantages compared to others
becauseit doesnt deal directlywiththeidentification
andestimationof theparameter valuesthat constitute
aconfiguration but insteadit presupposes an unlim-
itednumber of themalready installedonthedevice,
withknownpropertiesthatcanbemodifiedaccording
totheuserswishes. Thereisnolimittothenumber or
natureof theparameters.
13
ThesystemscoremethodologyisCBR(CaseBased
Reasoning)whichsolvescurrentsituations problems
with the assistance of similar cases that were dealt
successfullyinthepast.Thesecasesarestoredinacase
library and retrieved by thesystemusing theproper
indexes. Theretrieved cases areranked according to
thecriteriaandthesystemproposesthebest solution
to solvethecurrent problem. If necessary, asolution
may beadaptedtofit anewsituation. Whenthebest
solution is proposed aprocedureof finetuning may
beginandlast till thesolutionmeetstheprespecified
criteria.
Theapplicationdescribedinthispaper includesthe
development of aseries of diagnostics performedby
theautopilot deviceindifferent loadingandweather
situationsinorder tomeasurethecorrespondingper-
formances andcreateacasebaseout of them. Thus,
whentheshipfinds herself inasimilar situation, the
devicewill track thecases characteristics, select the
casewith theconfiguration that performed best and
steer theshipwithituntil itdetectsanother setof con-
ditions. It is important to mention that theuser may
choose to measure the performance of a given situ-
ation again so that thedatabasewould beconstantly
updatedwithimprovedscores.
2 DSSANDCASE BASEDREASONING
The literature defines Decision Support Systems
(Raiffa76) [26] as interactivecomputer based sys-
tems that help decision-makers usedataand models
tosolveill-structured, unstructuredorsemi-structured
problems (Goel 92) [15]. Themost popular defini-
tions belong to Gorry & Scott-Morton (1971) [16],
Keen and Scott-Morton (1978) [25] and Bonczek,
Holsapple& Whinston(1981) [5]. DSS werecatego-
rizedinsevenmajor categorieswhicharefiledrawer
systems, dataanalysis systems, analysis information
systems, accounting and financial models, represen-
tational models, optimizationsystemsandsuggestion
systems(Alter 1980) [1]. A typebasedcategorization
defines datadriven, model driven(Knowles 89) [28]
andknowledgedrivensystems(Dhar&Stein1997[9],
Holsapple&Whinston1996) [20]).
Knowledgedriven DSS -sometimes calledExpert
Systems- incorporate knowledge about a particular
domain, understandingof problemsolvingandexper-
tiseat solvingthoseproblems(Redmond1992) [42].
They arealso related to datamining techniques and
usuallyevolvetohybridsystems(Simpson,1985)[44].
Major components of a DSS are a) the shell b) the
caselibrary c) theknowledgebaseor themodel and
d) thesystemsarchitectureandnetwork(Spragueand
Carlson1982) [46]. Thesesystemsanalyzedatausing
symbolic logic, haveanexplicit knowledgebaseand
have the ability to explain conclusions in an under-
standable way. Web based DSS are referring to a
computerized systemthat delivers decision support
information or decision support tools to a manager
or businessanalyst usingathinclient Webbrowser
(Power 2000) [41].
Reasoning is a procedure that draws conclusions
by chainingtogether generalizedrules, usually start-
ingfromscratch. However inCaseBasedReasoning
new solutions aregenerated not by chaining, but by
retrieving themost relevant cases frommemory and
adaptingthemtofitnewsituations(Leake1996, 2003)
[33][32]. A caseis acontextualized pieceof knowl-
edgerepresentinganexperiencethat teachesalesson
fundamental to achieving the goals of the reasoner.
A case may have different shapes or sizes, various
timehorizons andcanassociatesolutions withprob-
lems, outcomeswithsituationsor both. A casesmain
task is to provideasolution to aproblembut it can
alsoprovidethenecessarycontext toassessor under-
stand a situation (Kolodner 93, Schank 1994) [29]
[45]. A caseiscomprisedfromindexeswhichshould
be predictive, goal oriented, abstract and easily rec-
ognizable(Birnbaum& Collins89[4], Hammond89
[18]).Theseindexesmustdescribetheproblem(goals,
constraints and situation), the solution and the out-
come. Thecasebaseindexingisorganizedaccording
to the problems requirements and can be checklist
based, difference based (Kolodner 93) [29], similar-
ity and explanation based (Hammond 87, 89 [17]),
etc.Theproblem/situationindexesaremainlyusedfor
theretrieval, qualificationandrankingof caseswhile
thesolutionindexes present theway of actionto the
user. Theoutcomeindexesareapart of theevaluation
procedure.
Themainadvantagesof CBR areitssimplicity, its
capability of incorporating uncertainty and its plau-
sibility (Kolodner 1993) [29]. Two major classes of
CBRsystemshavebeendevelopingsincethemethods
introduction. Thesearetheinterpretiveand problem
solving CBR systems (Rissland, Kolodner & Waltz,
1989) [43]. The former use prior cases as reference
pointsfor classifyingnewsituations, whilst thelatter
useprior casestosuggest solutionsthat apply tonew
circumstances. Another major advantage of CBR is
that becauseit usesspecific episodes(cases) for rea-
soningthereisnoneedtodevelopmanyrulesandthus
makes theknowledgeacquisitionprocess whichis
vital toAI systems- verycheap.AspointedbyMark
etal, (1996)[35] therearesomedomainsthatarevery
suitable for CBR, while others are not, especially if
casesareunavailableorinhardtouseformat.Thefunc-
tionsperformedbyatypical CBRsystemarerecall and
interpretationof past experiences (cases), adaptation
of thosecases to fit thenewsituation, evaluation of
proposedsolutionsandrepair of thedefective ones
(Kolodner, 1993) [29].
POLARIS is anAI systemcontainingelements of
aDSS sinceit interacts with theuser and helps him
findthebest out of aseries of alternatives as well as
expert knowledge relevant to the problems domain.
Thesystemusesdatafromoldcasestosolvenewprob-
lems but it also incorporates expert knowledgefrom
theproblemdomain. Thus, its typeis amixtureof a
dataandknowledgedrivensystemstronglydependent
14
onthenatureof theapplication. All thesearesignifi-
cantly affectedby thecomplexity of theproblemand
thedomainknowledgeavailable. Thesystems archi-
tecturefollowstheCBR proceduresandcomprisesof
thefollowingmodules:
User interface: interactswiththeuser
CaseLibrary: containstheoldcases
Knowledgebase: containstheexpertknowledgein
theformof rules
CaseRetriever: retrievesandrankstheuseful cases
Solutionpresentationfacility: presentsthesolution
totheuser
Solutionevaluator: evaluatesthesolutionafter the
implementation
Solution adaptor: adapts the solution to fit the
current situation
Casestoragefacility: storesnewcasestothelibrary
(Moorman& Ram, 1992) [37]
3 ADJ USTMENT METHODSREVIEW
Aquickreviewof themethodsusedinordertoproperly
adjustashipsautopilotshowsthatalmosteverysingle
AI technology was usedby anumber of researchers.
Fuzzylogic(PolkinghorneM.N; BurnsR.S1994[39],
Roberts G.N, Roberts and Sutton 2006 [40]), Neu-
ronNetworks(UnarandMurray-Smith1999[48], J ia,
X.J Yang and X.R Zhao, 2006 [49]), Optimization
techniques (Holzhuter, 1997) [21], Linear program-
ming(GoheenK.R, J effreys E.R, 1990[31]), Model
Based Reasoning (Honderd and Winkelman, 1972
[14], VanAmerongenandUdink tenCate, 1975[23],
VanAmerongen andVan Nauta Lemke, 1986 [24]),
Self tuning regulators (KJ Astromet al, 1977 [27]),
Stochastic models (Ohtsu et al, 1979 [30], Herther
et al, 1971[19]), etc, represent onlyafragment of the
workthat hasbeendoneinthefield.
Most Autopilots are adjusted using the PID con-
troller which calculates aperformancevariablewith
known values and applies the necessary corrective
actionsbasedonthedifferencebetweenthecalculated
andexpectedvalue.Thecontrollerincludesthreeparts:
Thefirst onerespondstotheerror, thesecondapplies
acorrectionfor thesumof all theerrorsandthethird
responds to theerror variation percentage. PID con-
trollershowever cannotperforminnonlinear systems
andtheir accuracyisverylow.
Another interesting work is the one of Unar and
Murray-Smithwhodevelopedanartificial neural net-
work whichcontrolsandcoordinatesaseriesof con-
ventional controllers. Eachcontroller ismanufactured
for aspecificoperational situationof thevessel. Still,
thelevel of detail islowandthesituationcoveragevery
poor. Moreover, thesystemscost andmaintenanceis
relatively high. This approach has some similarities
with CBR since each controller represents a situa-
tion, but it isobviousthat thenumber of controllersis
finiteandcannotcovertheinfiniteweatherandloading
situations.
4 THEAUTOPILOT APPLICATIONTHEORY
TheAutopilot application presupposes afinitenum-
ber of configurations available on the device and a
number of known parameters which are adjustable
and affect the configuration significantly. The sys-
temcreatesacaselibraryperformingaseriesof trials,
assessingeachconfigurationsperformanceforagiven
situation.Thesituationsandthecorrespondingperfor-
mancevaluesarestoredinmemoryandideallysome
timeduring theships lifecycletherewill beacase
for almost every combinationof weather andloading
condition.
When theships devices detect aspecific weather
situation, and given that the loading data as well as
the ships particulars are already stored in memory,
the systemretrieves the cases with the best perfor-
mancevalues fromthebase. Thequalifiedcases are
ranked and the corresponding configuration is pre-
sented to the user. After the implementation of the
selected configuration thesystemrecords theactual
performanceandcompares it withtheexpectedone.
If theactual performanceis not satisfactory thesys-
temeither switches to thesecond best configuration
or it enables a fine tuning procedure where it per-
formsasensitivity analysisof every parameter inthe
selectedconfigurationaimingtoachieveabetter per-
formance. If this is accomplished it stores the new
set of parametersandthecorrespondingperformance
indicators, thus creating anewconfiguration for the
device.
The Autopilots case contains six categories of
indexes which represent the performance criteria
(goals), the weather conditions (situation), the load-
ing condition of the ship (situation), the ships
particulars (user characteristics), the configuration
used (solution) and theapplied performancecriteria
(outcome).
4.1 Performance Indexes
Theperformanceindexes (criteria) mainly cover the
dimensionsof danger,easeof command,costandtime.
Threevariableshavebeenused.Thefirstoneisthedif-
ferenceof thedistancemeasuredbytheshipstrackto
bottomfromthe rhumb line distance between way-
points(d). Thesecondisthemaximum(dmmax) and
meanvertical deviationtocourse(XTE) inmiles(dm)
while the third is the maximum(ddmax) and mean
deviationof theshipsbowtothetruecourseindegrees
(dd). Lossof steeringLS >0, dmmax>threshold1 and
ddmax >threshold2 wereset ashardconstraints. The
system is able to automatically calculate all these
quantities either separately withtheappropriatesen-
sors either using the usual bridge electronic equip-
ment (GPS, ECDIS & ARPA combined) provided
that they are connected to the improved Autopilot
device.
Thefirst criteriond wasselectedbecauseit repre-
sentstheextradistancetraveledbytheshipinagiven
part of the journey, so it can be translated to extra
15
Figure1. Truedistanceof shipstracktobottom
fuel andtimethat ismonetarycost. Thetruedistance
(Figure1)
1
iscalculatedusingtheformula
Therhumblinedistanceisk=() secZwhereas
Z: truecourse, sothefirst criterionequals:
Similarly the second criterions hard constraint is
dmmax=A tan (maxRB) whereas A: ships advance
fromextremevertical XTE point E
i
till thenext point
C
i
whereitmeetsthecourseagainandmaxRB: max-
imumrelative bearing to point E while the mean is
calculatedas:
where p is the number of selected and calculated
XTE points. This criterionexpresses theships mean
XTE from course, thus its an indicator of possi-
ble approaches to navigational dangers like shallow
waters, wrecks, etc. Thethird criterion and thehard
constraint that derivesfromit are:
Theseexpresstheselectionsperformanceinsteer-
ing or the ships swinging on either side (Leon-
topoulos 1979) [34]. Those criteria were combined
to measure the negative performance of each alter-
native. The analysis
2
assigned 5 negative points for
eachextramile, 10pointsfor eachXTE mileand0, 2
for eachdegreeof deviation. Moreover, thetwohard
constraint thresholds were set to 0.02 miles / Beau-
fort for dmmax and2degrees / Beaufort for ddmax.
1
Axisxreferstogeographical longitudeandaxisY tolatitude
2
Thethresholdsarefor a65000DWT Panamaxbulkcarrier.
For other types of ships thenumbers aredifferent, slightly
increasingwiththetonnage
Figure2. Vertical deviation Maxandmean
Dmmaxisincreasedby20%for eachknot of current
witharelativebearing>45
. Thesearedefaultvalues
and are justified after a survey with experts aiming
to assess the severity of each criterion as far as the
autopilotdeviceisconcerned. If theuserdisagreeshe/
shecaninterveneandchangethisbalancebyinserting
valuestothecoefficients, , assignedtoeachcri-
terionduringtheinteractionwiththesystem.Afterthe
normalizationtheselectionsnegativeperformanceis
calculatedasfollows:
4.2 Wheather condition indexes
Theweather conditionindexesdescribethewind, sea
and current. The case includes wind direction and
force, sea direction and force, current direction and
speedaswell asswell directionandheight. All direc-
tions areexpressedindegrees, windandseaforcein
Beauforts, current speedinknots andswell height in
meters. All directions arerelativetobowandcurrent
speedistrue. A situationisconsideredidentical when
theparameterdifferenceswill notexceedhalf of apre-
set allowancein either direction (/). As thecase
librarygrowsbigger theboundariescanbestricter for
better accuracy.
The weather situation is expressed by four major
phenomenawhicharewind, sea, currentandswell. Sea
conditionwill alwaysbeapart of thesituationduring
theretrieval procedure, whilecurrent, swell andwind
canbeomittedif therearenot any exact matches. If
thephenomenonistobeincludedinthecaseretrieval
process, its indexes are analyzed further in order to
determine their actual importance and whether they
shouldbeincludedasretrieval criteria. Table1shows
a strict version of the retrieval process because the
criterion used is the existence of a Mediumimpor-
tance (M) characterization for the relative course or
the sea force. Relative course has three importance
levels(Low, Medium, andHigh) covering30degrees
16
Table1. Combinedimportanceof seadirection andforce
(MediumandHighImportanceThresholdsareset).
frombowandseaforcehassixlevels(VeryLow, Low,
Medium, High, VeryHigh, andExtremelyHigh) each
coveringtwoBeauforts. Asseenintable1, inalmost
all cases the sea indexes should be included in the
retrieval. The lower part presents the same data but
nowthecriterionistheexistenceof aHighimportance
(H) inanyof thetwoindexes.
The influence of the sea condition parameter is
affected by a lot of things, but since the case refers
to thesameship, theonly other factor to beconsid-
eredis theloadingsituation. Seadirectionandforce
hasamuchgreater impact whentheshipisonballast
and less when its fully loaded. Thus, when theves-
sel isonballastconditionmoreweather combinations
shouldbeincluded. Thestrict versionisusedfor bal-
last condition and theless strict for thefully loaded
condition. Further divisioni.e. semi loadedcondition
canbeappliedif needed.
Current, swell and wind arerepresented similarly
in the knowledge base. Importance weights were
assigned to each direction for each one of the three
phenomena. Current wasgivenascaleof 010knots
rangingfromVerylowtoVeryHighimportancewitha
paceof 2knots.Theexistenceof aMediumimportance
is thecriterion when theship is on ballast condition
whileavalueof Highimportanceis necessary when
theshipis loaded. Swell is measuredwithascaleof
05metersrangingfromVeryLowtoVeryhighimpor-
tancewhilewind has thesamescaleas thesea. The
thresholdsareatleastoneMediumimportancefor the
ballast andat least oneHighimportancefor thefully
loadedcondition.
4.3 Loading condition and ship particulars
indexes
The loading condition indexes include information
about thedeadweight, draft, trim, declination, LCG,
VCG,TCG, freesurfaces, hoggingandsagging.Addi-
tional indexes include the capacity used, type of
cargo, fuel, ballast, supplies or alternative ones like
hull coefficient proportions, stowagefactors, etc. The
ships particulars represent the user characteristics
andincludethebasic dimensions, shipscoefficients,
RPM(seaspeed), rudderelements, maneuveringchar-
acteristics, etc. The loading condition and the ship
particularsindexesarepresentedintable2.
Theloadingindexesareidentifiedafter interviews
with merchant ship masters and deck officers with
more than adequate experience in the field. Impor-
tanceweightshavebeenassignedtoeachoneof them
inorder toidentify thosenecessary tobeincludedas
criteriaineachretrieval procedure. Theindexes with
thehighestimportancearetheDW, d, , dec, VCG, Io,
SF andtheBallast percentage. All others arealready
covered by themand exist for accuracy reasons. It
shouldbenotedthatanyof theseindexescanbeomit-
ted if theuser wishes to or if thecaselibrary is not
richenoughandcannot retrieveexact matches. Also,
thevalueboundariescanchangetopermitastricter or
amorelooseretrieval inaccordancewiththeneeds.
The ships particulars indexes describe the user
(ship)characteristics.EventhoughtheAutopilotappli-
cation refers to the same ship the particulars are
inserted in the library in case a possible user com-
panydecidestointegratethefleetslibrariestocreate
aricherone, especiallyif therearevesselswithsimilar
characteristics. Likeeverycategoryof indexesandas
thecaselibrary grows moreindexes canbeaddedor
stricter criteriacanbeset.
4.4 Solution and outcome indexes
Inthisapplicationthesolutionparametersareonlythe
configurationwiththebest performanceandits cor-
respondingcharacteristics. For simplicity reasons we
included two attributes (for demonstration purposes
only) which are the angular velocity of the rudder
(AVR) andtherudderanglepermitted(RA) inorderto
keeptheshiponcourse. Theconfigurationsavailable
canbeanycombinationof thesevalues, thusforAVR
valuesn 2, n andn 2 degreesper secondandRA
values of k 5, k andk 5 degrees wehave9pos-
siblecombinations, plusa(n4, k 10) combination
for very calmsea. Finally, the outcome indexes are
thesameas thecriteriaindexes, but their values will
betheactual performanceof theconfigurationduring
thevoyage.
4.5 Case retrieval
Caseretrieval isoneof themostimportantpartsof the
systemsreasoningsinceit isrequiredtoselect all the
relatedcases, classify themaccordingto their utility
towards thegoals andpromotingthemost promising
of them. As mentioned in the literature the proper
retrieval requires a degree of similarity between the
newand theretrieved situation. Many CBR systems
usevariouslevelsof abstractionsinorder torecognise
similaritiesbetweencasesof differentdomains. There
17
Table2. Loadingconditionandshipparticularsindexes.
Index Description Importance Index Description Importance
C% Cargopercentage High Hog Hogging Low
d Draft High Sag Sagging Low
Trim High SF StowageFactor High
dec Declination Medium U Ullages Medium
LCG Longitudiotal C.G. Medium F% Fuel percentage Low
VCG Vertical C.G. High B% Ballast percentage High
TCG TransverseC.G Medium S% Suppliespercentage Low
Io FreeSurfaces Medium
LOA Lengthoverall High RPM Revolutionper min High
MaxB Maxbreadth High Pitch Propeller pitch Low
Hgt Height Low Prop Propeller turn Low
Cx Hull coefficient High Rud Rudder surface High
Ca Framecoefficient Medium Bulb Bulbousbuoy Medium
Cw Water platecoeff High Stern Sterntype High
Cp Prismaticcoeff High
are numerous algorithms used for the case retrieval
stronglydependent ontheproblemcomplexity. Usual
serial algorithms aretheFlat memory serial search
enhanced with shallow indexing, case library parti-
tioning or synchronous parallel retrieval (Kolodner
93) [29], SharedFeaturedNetworks(Fischer 87[13],
Michalski and Stepp 83 [36], Cheeseman 88 [7],
Quinlan 86), Discrimination Networks (Feigenbaum
63) [12]) and Redundant Discrimination Networks
(Kolodner 93) while parallel algorithms are Flat
Library Parallel search (Stanfild andWaltz 81, 88
[47], Simoudis91, 92, Domeshek 89, 91[10]), Hier-
archical memory Parallel search(Kolodner93) [29].
A serial search is used for theAutopilot application
assisted by a case library partitioning using the sea
conditionindexes. Other situationparameters canbe
usedincasethelibrarygrowsverybig.
When the systemdetects the cases whose values
fall intotherangespermitteditusesthenearestneigh-
bour approach(Dasarathy1991) [3] for eachselected
characteristic in order to assess the degree of situa-
tion similarity. This leads to theretrieval of aset of
caseswhicharerankedaccordingtothecriteria. Inthe
Autopilots knowledge base the priorities are safety,
commandandmonetarycost, sothegoalsareordered
with this logic: Loss of steering, vertical deviation,
angular deviation and finally difference of distance.
Thesystemrejects any casethat violates ahardcon-
straintandthencalculatesthenegativeperformanceof
theremainingcases, proposingtheonewiththelowest
scoretotheuser.
4.6 Evaluation and adaptation
The evaluation procedure is the comparison of the
actual performanceof theconfigurationusedwiththe
one stored (the best) in the case library. If the per-
formanceisnot satisfactorytheuser hastwochoices.
Oneistoselect thesecondbest configurationfor the
specificsituationandstoreit inmemoryandthesec-
ondistoadapttheselectedconfigurationtofitthenew
situation.Thisisdonebyinitiatingafinetuningproce-
dure(orsensitivityanalysis)wherethesystemchanges
theconfigurationparametervaluesandperformsanew
seriesof diagnosticsinorder totracktheadaptedcon-
figurationwiththebestperformance. IntheAutopilot
application the systemassesses the performance of
the adapted configurations relatively easy since the
parameters are only two (AVR & RA) and the pos-
sible combinations no more than ten. Of course the
configurationparameterscanbemuchmore, withthe
systemsprocessingtimeincreasingexponentiallybut
then, fuzzylogicclassificationscanbeusedtoreduce
theprocessingtime. Onewaytoavoidthatistocatego-
rizetheconfigurationsinclassesandfurther examine
themif theperformanceisnot adequate.
There is no adaptation procedure in this particu-
lar applcation because the suggestions outcome is
analready preset configurationwithfixedattributes.
Moreover, instead of trying to modify thereasoning
or reconfiguratethesolution, itisfar morepreferable
to simply usethesecond or third best configuration
proposedbythesystemor rerunthediagnosticswith
lessstrict constraints.
5 CASE STUDY
A 65000DWT bulk carrier wasselectedfor thiscase
study which is presented based on real voyage data
except the values of the performance criteria, since
such a device is not developed yet. The ship sailed
fromLosAngeles (USA) to SanBernardino (Philip-
pines) and performed its diagnostics during a great
circletrip. Theshipisloadedwithcornandtravelsat
usual seaspeed. Wesupposethereis anautopilot on
boardthat has10different selections, sothediagnos-
tictest will beperformed10timesineachpart of the
18
Table3. Initial voyagedata.
Initial data WayPoint Data
DepLat DepLong ArrLat ArrLong
DepartureLat: 34
00
/
N 3400N 12040W 3716N 13000W
DepartureLong: 120
40
/
W 3716N 13000W 3931N 14000W
Arrival Lat: 12
45
/
N 3931N 14000W 4051N 15000W
Arrival Long: 124
20
/
E 4051N 15000W 4119N 16032,7W
Great circledist: 6156,6m 4119N 16032,7W 4051N 17000W
Rhumblinedist: 6446,6m 4051N 17000W 3931N 18000
Great circlediff: 290m 3931N 18000 3716N 17000E
Initial course: 295
3716N 17000E 3356N 16000E

VertexLat: 41
19
/
N 3356N 16000E 2925N 15000E
VertexLong: 160
32,7
/
W 2925N 15000E 2342N 14000E
Vertexdist: 1927m 2342N 14000E 1642N 13000E
1642N 13000E 1245N 12420E
Table4. Theweather conditionsduringthediagnostictest.
Diagnostic Wind Wind Sea Sea Current Current
Selection Rel. Dir. Force Rel Dir Force Rel Dir Speed Swell
1.1 35 6 85 5 85 1,5 No
1.2 40 7 90 6 90 2 No
1.3 30 7 90 6 90 2 No
1.4 35 7 90 7 90 2 No
1.5 45 6 100 6 95 1,5 No
1.6 35 6 100 5 95 1,5 No
1.7 20 7 100 6 95 2 No
1.8 35 6 100 5 95 2 No
1.9 25 6 100 6 95 2 No
1.10 35 6 105 6 100 2 No
greatcirclegiventhateveryparthassignificantlydif-
ferentweatherconditions. If thisideal situationoccurs
acasebaseof 1011=110caseswill beconstructed
in a single trip. The great circle data are shown in
table3. It must benotedthat therest of thecasestudy
is focused to the first way point for simplicity rea-
sons, since the procedure is similar for every other
part of thevoyage. Thedistanceset for eachselection
is10miles, thusthefirsttestwill coveratotal distance
of 100miles.
A general descriptionof thevoyageis as follows:
Theships draught was 13.3 meters, thecargo holds
werefull andthestowagefactor was1.52. Therewas
nohoggingor saggingandthetrimwas1meter bythe
stern.TheenginesRPMwere110andtheshipsinitial
stabilitysatisfactorysincetheGMwas25centimeters.
Theshipsheadingwas295duringthefirstdiagnostic
andthewindwasNW6-7. TheseawasNNE moder-
ateto roughandthecurrent 2knots to thestarboard
beam.
Thesituationwas presentedwithtwo sets of vari-
ables weather and loading parameters- and a third
set which is already inserted in memory represent-
ing theships particulars. Thevariables used for the
weather conditions aretherelativedirections of sea,
current, wind and swell and are listed in table 4.
The weather situation is identical since the heading
and distancetraveled for each test is thesame(295,
10), the wind
3
, sea and current differences do not
exceedtheallowances permittedandthereis not any
swell. Theloadingsituationwasrepresentedusingthe
cargo(/25*TPC
4
%MT), draft(/0, 25m), SF
(/0, 05), %holdcapacity(/10%), RPM(/
2%), VCG(/ 0, 05m) andtrim(/0, 5m) vari-
ables. The parentheses show the allowances for the
loading situation similarity. The loading situation is
shownintable5. Table6showsthecaseasit isstored
inthecaselibrary.
Table7presentsascenarioof possiblecriteriaval-
ues measured during the diagnostics. These include
thecriteriameasuringtheperformanceaswell asthe
hardconstraints withtheir respectivethresholds. The
3
The(-) declaresleft (port) frombow
4
TonsPer Centimeter: theamount of cargorequiredtoalter
theshipsdraft for 1centimeter
19
first hardconstraint eliminates threeselections since
the maximumvertical distance dmmax exceeds the
threshold dmmaxTh. Thus, selections 1.1, 1.2 and
1.3 are no longer considered. Similarly the second
Table5. Theloadingconditionduringthediagnostictest.
Index Description Index Importance
C% 100% Hog Not used
d 13,3 Sag Not used
1 SF 1,52
dec 0 U Not used
LCG Not used F% Not used
VCG 0,25 B% 0%
TCG Not used S% Not used
Io Not used
Table6. Thesituationasit isstoredinthebase.
Diagnostic Wind Wind Sea Sea Current Current
Selection Rel. Dir. Force Rel Dir Force Rel Dir Speed Swell Displ
1.1 35 6 85 5 85 1,5 No No
1.2 40 7 90 6 90 2 No No
1.3 30 7 90 6 90 2 No No
1.4 35 7 90 7 90 2 No No
1.5 45 6 100 6 95 1,5 No No
1.6 35 6 100 5 95 1,5 No No
1.7 20 7 100 6 95 2 No No
1.8 35 6 100 5 95 2 No No
1.9 25 6 100 6 95 2 No No
1.10 35 6 105 6 100 2 No No
Selection Displ Hull C Draft SF Capac. GM Cargo RPM Io Trim Hog Sag
1.1 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.2 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.3 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.4 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.5 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.6 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.7 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.8 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.9 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
1.10 No No 13,3 1,52 100 25 Grain 110 0 1 0 0
Table7. Criteriaandhardconstraints.
Selection d dm dmmax dmmaxTh dd ddmax ddmaxTh SL NP
1.1 0,8 0,1 0,12 0,1 9 11 12 0 6,8
1.2 1,2 0,15 0,18 0,12 13 15 12 1 10,1
1.3 0,9 0,12 0,13 0,12 11 13 12 1 7,9
1.4 0,5 0,05 0,07 0,14 10 12 14 0 5
1.5 0,3 0,02 0,04 0,12 5 7 12 0 2,7
1.6 0,6 0,055 0,07 0,1 8 10 10 1 5,15
1.7 0,7 0,06 0,08 0,12 9 11 12 1 5,9
1.8 0,3 0,02 0,03 0,1 4 6 10 0 2,5
1.9 0,3 0,025 0,04 0,12 5 6 12 0 2,75
1.10 0,8 0,11 0,12 0,12 13 15 12 0 7,7
constraint ddmax eliminates the selections 1.6 and
1.10 since the value must be below the limit and
not equal. The third constraint which requires zero
toleranceto steering losses eliminates selections 1.6
and 1.7 as well as 1.2 and 1.3 which were already
excluded. At this point selections 1.4, 1.5, 1.8 and
1.9 remained active and the systemcalculates their
negative performance NP in order to rank them.
Finally, selection 1.8 is proposed as the best alter-
native since it has less negative points than the
others.
An estimation of the potential benefits resulting
fromaproper selectionis showncomparingthebet-
ter withtheworst alternativenot takinginto account
thehardconstraintsthat excludeit. Thosealternatives
are1.8and1.2. Criteriondshowsthat theshiptravels
20
0, 9 extra miles
5
in every 10 miles of journey. This
means that during this passage the ship will travel
6156, 6* 0, 9/10=554extranautical miles andwill
lose554/15=37hoursintermsof time. Moreover the
shipwill verticallydeviate(mean) fromitscourse278
metersmoreandswingabout10degreesmore(mean)
if 1.2isselected. Thismeansbigger exposuretodan-
ger andgreater difficulty incommandwhichinturn
wears the hull, engine, propeller, etc. One must not
forget theadditional wear andtear of therudder and
engineif afalsesteeringconfigurationis set as well
asthecrewfatigueandother damagesthat mayresult
fromrolling, pitching, etc.
6 CONCLUSION FUTURE RESEARCH
Summarizingtheaboveit is concludedthat away of
selectingthebestalternativefromapreexistingsetof
configurations of anautopilot is possibleusingCBR
asthecoretechnology. Sincesuchadeviceisnot yet
developedthisapplicationisconsideredconceptional
anditsmaintaskwastopresent someinitial thoughts
still requiringverificationandharddata.Thedevelop-
ment of aprototypecould givealot of answers and
test thesystemsperformanceinthereal world.
Apart fromthat westrongly believethat themar-
itimeindustryandespeciallytheshipisaverycompat-
ibleenvironment for CBR andnumerousapplications
couldbedeveloped. Intime, anintegratedsystemable
to deal with anumber of issues could bedeveloped
and with the accumulation of cases its performance
andlearningwill constantlyimprove.
REFERENCES
1. Alter, S. L. (1980), Decision support systems: current
practice and continuing challenges, Reading, Mass.,
Addison-WesleyPub.
2. Bain, W., (1986), Case Based Reasoning: A computer
model of subjective assessment, PhDdiss, Department
of Computer Science,Yale
3. Belur V Dasarathy, (1991), Nearest neighbour, Norms,
Pattern Classification Techniques, IEEE Computer
SocietyPress
4. Birnbaum, L & Collins G, (1989), Reminding and
engineering design themes: A case study in indexing
vocabulary, Pensacola, Florida, MorganKaufman
5. Bonczek R. H, C. W Holsapple & A. B Whinston.
(1981), Foundations of Decision Support Systems,
NewYork, AcademicPress.
6. Bowditch N, (2002), The American practical Naviga-
tor, Maryland, USA, National Imagery and Mapping
Agency
7. CheesemanP, Kelly J, Matthew, Stutz J, Taylor W, and
Freeman, (1988), Autoclass, a Bayesian classification
system. Proceedingsof theFifthInternational Machine
LearningWorkshop, SanMateo, MorganKaufmann
5
Additional miles travelledif insteadof thebest, theworst
performingconfigurationisselectedbythedevice
8. International MaritimeOrganization, (1972), Conven-
tion on the International Regulations for Preventing
Collisions at Sea, Part B, Rule9, NarrowChannels
9. DharV, SteinR. (1997),Seven methods for transforming
corporate data into business intelligence, UpperSandle
river, NJ, PrenticeHall,
10. Domeshek E and Kolodner J., (1991), Toward a case
based aid for conceptual design, International journal
of Expert Systems, pp. 201220
11. DuttonB, (1958), Navigation and Piloting, Annapolis,
Maryland, UnitedStatesNaval Institute
12. E. A. Feigenbaumand J. Feldman, (1963), The simu-
lation of natural learning behaviour. Computers and
thoughts, NewYork, McGraw-Hill
13. FischerD,(1987),KnowledgeAcquisition via incremen-
tal conceptual clustering, Machine Learning J ournal,
Vol II, 139 172, Springer Netherlandspublishers
14. G Honderd, J. E. W Winkelman, (1972), An adap-
tive Autopilot for ships, Proceedings 3rdShipControl
SystemsSymposium, Bath, UK,
15. Goel A, 1992, Representation of design functions in
experience based design, Intelligent Computer Aided
Design, ed. D Brown, M Waldron, H Yoshikawa,
Amsterdam, NorthHolland
16. Gorry and Scott Morton. (1971), A framework for
management information systems, Sloan Management
review, 13, pp5679
17. Hammond K, (1987), Explaining and repairing plans
that fail. Proceedingsof IJ CAI-87, SanMateo, Morgan
Kaufmann
18. Hammond K, (1989), Case Based Planning: Viewing
planning as a memory task, Boston, AcademicPress
19. Herther et al, (1971), A fully Automatic Marine
Radar Data Plotter, J ournal Inst. Navigation vol 24,
pp4349
20. Holsapple C. W & A. B. Whinston. (1996), Deci-
sion Support Systems, A knowledge based approach,
Minneapolis, West publishingcompany
21. Holzhuter T, (1997), LQG Approach for the High pre-
cision Track Control of ship IEE Proc Control Theory
Application, 44, 121127
22. International MaritimeOrganization, (1995), Interna-
tional Convention on Standards of Training, Certi-
fication and Watch keeping for Seafarers (STCW),
ChapterVIII, Watchkeeping
23. J VanAmerongen, A. J. UTenCate, (1975), Model ref-
erence adaptive autopilots for ships, AutomaticaVol 11,
pp441449, Pergamonpress
24. J Van Amerongen, H. R Van Nauta Lemke, (1986)
Recent developments in automatic steering of ships,
Proc.of themeetingof theRoyal Instituteof Navigation,
Amsterdam, TheNetherlands
25. Keen, P. G. W. and Scott Morton M S., (1978), Deci-
sion Support Systems: An Organizational Perspective,
Reading, MA: Addison-Wesley
26. Keeney, Raiffa, (1976), Decisions with multiple objec-
tives, Preferences and value trade offs, Cambridge
UniversityPress
27. KJ Astrom, (1977), Self tuning regulators, NASA Con-
ferencePublication
28. KnowlesT W, (1989), Management Science, Building
and using models, pp. 28, Homewood, Illinois, Irwin
pub.
29. Kolodner. J, (1993), Case Based Reasoning, SanMateo,
California, MorganKaufmannpubl
30. K Ohtsu, M Horigome, G Kitagawa, (1979), A new
ships autopilot design through a stochastic model,
Automatica, 15, pp. 255268
21
31. K. R Goheen, E. R J effreys, (1990), System Identifica-
tion of Remotely Operated Vehicle Dynamics, J ournal
OffshoreMechanicsandArcticEngineering
32. Leake D, Kolodner J, (2003), Learning through case
analysis, Encyclopaedia of cognitive science, Nature
publishinggroup, London
33. LeakeD. (1996), Case-Based Reasoning: Experiences,
Lessons & Future Directions, Menlo Park California,
USA, AmericanAssociationforArtificial Intelligence,
34. LeontopoulosA(1979),PracticalApplications of Ships
Stability, Piraeus, HellenicEducational Center of Mer-
chant MarineExecutives(KESEN)
35. MarkW, E. Simoudis&D. Hinkle, (1996), Case Based
Reasoning, Expectations and results, Menlo Park,
California, AAAI Press
36. Michalski R S and Stepp R E, (1983), Learning from
observation: Conceptual clustering,MachineLearning:
AnArtificial IntelligenceApproach, VOL I, LosAltos,
California, MorganKaufman
37. MoormanK andRamA, (1992),Acase based approach
to reactive control for autonomous robots. Proceedings
of theAAAI Fall Symposiumon AI for Real World
AutonomousRobots, Cambridge, Massachusetts, MIT
Press
38. NikitakosN., G. Fikaris, (2007), POLARIS, A Decision
Support System for maritime policy and management,
Proceedings, IMAM 2007, Varna, Bulgaria
39. PolkinghorneM. N. RobertsG. N, BurnsR. S, (1994)
The implementation of a fuzzy logic marine autopi-
lot, ProceedingsIEE Control International Conference
VOL II, p. 15721577, Warwick, UK
40. Roberts G. N and Sutton R, (2006), Advances in
Unmanned Marine Vehicles, IEE Control series, IEE
Press
41. Power, D. J. (2000). Web-based and model-driven deci-
sion support systems: concepts and issues Proceedings
of theAmericas Conferenceon Information Systems,
LongBeach, California.
42. Redmond M A, (1992), Learning by observing and
understandingexpert problemsolving.GeorgiaInstitute
of technology, Collegeof Computing, Atlanta
43. Rissland E., Kolodner J. & Waltz D., (1989) Case
Based Reasoning from DARPA: Machine learning pro-
gramplan, CBRWorkshop, Pensacola, Florida, Morgan
Kauffman
44. SimpsonR L, (1985), A computer model of case based
reasoning in problem solving: An investigation in the
domain of dispute mediation. GeorgiaInstituteof tech-
nology, School of Information and computer science,
Atlanta
45. Schank, Kass, Riesbeck. (1994), Inside case based
explanation, The Institute of the learning sciences,
North-western University, Lawrence Erlbaum, publ.
Hillsdale, NewJ ersey.
46. Sprague, R. H. andE. D. Carlson(1982), Building effec-
tive decision support systems. Englewood Cliffs, N.J.,
Prentice-Hall
47. Stanfild C W and Waltz D, (1987), The memory
based reasoning paradigm, Proceedings AAAI 87,
pp. 576578
48. Unar M. A andMurray SmithD. J, (1999), Automatic
Steering of Ship using Neural Networks, International
J ournal of Adaptive Control and Signal Process 13,
203218
49. X. J Yang& X. R Zhao, (2006) Self organizing Neural
Net Control of Ships Horizontal Motion, International
Symposiumon Instrumentation ScienceandTechnol-
ogy, Instituteof PhysicsPublishing, J ournal of Physics:
Conferenceseries48, 12841288
22
1.4
Safetyof navigationandspatial planningat sea
J. Hajduk
Maritime University of Szczecin, Szczecin, Poland
ABSTRACT: Until recentlytheconceptof spatial planningconcernedonlylandareas, chaosprevailingatsea
inthisscope.Vessel routeswereselectedbytheMasterontheprincipleof freedomof navigation. Itwassimilar
withthesubmarineroutesof pipelinesandcables, windfarmconstructionzones, excavationof aggregates, or
theconduct of anyhumanactivityat sea.
A systemic approach is introduced and preferred currently, which is to takeinto consideration thenatural
conditionsandhumanachievementsononehand, andlookaheadontheother, systematisingprocedural activities
andminimisingpossibleconflictsof interestsamongpotential usersof thesea.
1 INTRODUCTION
Marinenavigationhasbeenpractisedbymanforages.
Inparticularphasesof civilisationsdevelopmentmore
and more new forms of human activity at sea have
appeared.Fishery,theconductof submarinecablesand
pipelines, excavationof natural resourcesfromunder
theseabottom, last but not least theconstruction of
artificial islands and wind farms are only the chief
activitiesconductedcurrentlybymanat sea.
Theundertakingof newinitiativesatseabymanand
increasingtheirscopemakesitnecessarytoorderthem
inlong-termperspectivelest their mutual interaction
should cause conflicts. This pertains both to marine
shippingandtootherformsof manseconomicactivity
onamicro-scaleunderstoodasacoastal stateandona
macroscaleunderstoodasinfluenceonneighbouring
states andtransit shipping. Thepriority is safety and
marineenvironment protection.
Recently, as part of working out a marine policy,
the European Union has, among other things, laid
stress on spatial planning at sea. According to Blue
Book (EU 2007), increasing competition for marine
spaceandthecumulativeimpact of humanactivities
onmarineecosystems render thecurrent fragmented
decision-making in maritimeaffairs inadequate, and
demandamorecollaborativeandintegratedapproach.
For toolongpolicieson, for instance, maritimetrans-
port, fisheries, energy, surveillance and policing of
theseas, tourism, themarineenvironment, andmarine
research havedeveloped on separatetracks, at times
leadingto inefficiencies, incoherencies andconflicts
of use.
Basedonthisrecognition, theCommissionsvision
is for an integrated maritime policy that covers all
aspects of our relationshipwiththeoceans andseas.
This innovative and holistic approach will provide
a coherent policy framework that will allow for the
optimal development of all sea-relatedactivities ina
sustainablemanner.
Anintegratedgovernanceframework for maritime
affairs requires horizontal planning tools that cut
acrosssea-relatedsectoral policiesandsupportjoined
up policy making. The following three are of major
importance: maritime surveillance which is critical
for thesafeandsecureuseof marinespace; maritime
spatial planningwhichisakey planningtool for sus-
tainable decision-making; and a comprehensive and
accessiblesourceof dataandinformation.
AccordingtotheBlueBook(EU2007) aRoadmap
for Maritime Spatial Planning: Achieving Common
Principles intheEU has recently beenaccepted(EU
2008).Accordingtotherecordsof thisplan: Maritime
Spatial Planningisakeyinstrumentfor theIntegrated
Maritime Policy for the EU. It helps public author-
ities and stakeholders to coordinate their action and
optimises the use of marine space to benefit eco-
nomicdevelopmentandthemarineenvironment.This
Communication aims to facilitate the development
of MaritimeSpatial Planningby Member States and
encourageitsimplementationatnational andEUlevel.
It sets out key principles for MaritimeSpatial Plan-
ning and seeks, by way of debate, to encourage the
development of acommonapproachamongMember
States.
Particular Europeancountries haveso far reached
different degrees of progress in the scope of spa-
tial planningat sea. Neworganisational solutionsare
implementedandtherelateddocumentsaretemporar-
ilyof propositionstatusandarepassingthroughthe
stageof domestic and international agreements (EU
2008).
23
Figure 1. Spatial Plan for the German Exclusive
Economic Zone (Draft) Regulations- North Sea
(http://www.bsh.de/en/The_BSH/Notifications/Draft_map_
North_Sea.pdf).
Figure 2. Spatial Plan for the German Exclusive
Economic Zone (Draft) Regulations- Baltic Sea.
(http://www.bsh.de/en/The_BSH/Notifications/Draft_map_
baltic_sea.pdf).
2 DRAFT SPATIAL PLANNINGINTHE
GERMANEXCLUSIVE ECONOMIC
ZONE (EEZ)
Theproposal put forward by Germany in J une2008
(BSH 2008) takes account of thefollowingforms of
humanactivityat sea:
shipping,
exploitationof non-livingresources,
pipelinesandsubmarinecables,
marinescientificresearch,
energyproduction, windenergyinparticular,
fisheriesandmariculture,
protectionof themarineenvironment
For shipping, ontheother hand, thefollowingchief
objectives and principles have been set down (BSH
2008):
1. Shippingisgrantedpriorityover theother spatially
significant uses in thepriority areas for shipping
as indicated in the map (Figures 1&2). To the
extentspatiallysignificantplanning, measuresand
projectsarenotcompatiblewiththefunctionof the
shipping priority area in these areas they are not
permitted.
2. Special consideration is given to shipping in the
reservation areas for shipping as indicated in the
map. Thisneedstobetakenintoaccount inacom-
parativeevaluationwithother spatiallysignificant
planningtasks, measuresandprojects.
3. Pollution of the marine environment by shipping
shall bereduced.
Besides applicable regulations of IMO, the best
environmental practiceaccordingtotheOSPAR(The
Conventionfor theProtectionof theMarineEnviron-
ment of theNorth-EastAtlantic) andHELCOM (The
ConventionontheProtectionof theMarineEnviron-
ment of the Baltic Sea Area) Conventions and the
respective state-of-the-art technology shall be taken
intoaccount.
Generally, the objectives pertaining to shipping
havebeenset downcorrectly intheproposal. InFig-
ure1thepresentedmainandreserveshippingroutesin
theNorthSeadonotarousecontroversies.Theplanned
mainshippingroutesandreserveshippingareasover-
lapwiththemainroutesof vessel trafficflowandtake
account of the increased number and size of ships,
includingdifficult hydrometeorologic conditionsand
emergencysituations.
Theproblemof EEZzoneintheBalticSeahasbeen
tackledinacompletelydifferentway,ontheotherhand
(Fig.2).Onlythevessel trafficfromtheKiel Canal and
theGreat Belt tothenorth-east inthedirectionof the
Bornholmsgat hasbeenconsidered. Novessel traffic
to and fromthe ports of Swinoujscie and Szczecin
hasbeentakenaccount of, whichmayposeathreat to
navigational safety infutureandcauseseaaccidents.
At present there are two shipping routes leading up
to the ports of Swinouj-scie/Szczecin. The first and
basic oneislocatedeastwardoff thecoastsof Rgen
onGermanysterritorial waters.
The other, an alternative one, runs outside of
Germanysterritorial waters. Thereisalsoashipping
route linking by the shortest distance the ports of
SwinoujscieandYstadinSweden.
Whatismore, whenplanningthefuturenoaccount
has been taken of the shipping route southwards of
BornholmIsland, an outlineof which was presented
in theformof atraffic separation schemas (TSS) in
acommonPolish-Germandocument at ameetingof
IMONAV Subcommittee(Fig. 3).
Theshippingrouteplannedis of highimportance
for vessels in transit towards the ports of the Gulf
of Gdansk and ports in the Kaliningrad District, in
Lithuania, LatviaandEstonia. Thekeylocationlimit-
ingthevessel traffictothesouthof BornholmIsland
is designation of the vessel traffic separation zone
betweentheAdlergrundandOdrzanaBank.Thewreck
of J an Heweliusz ferry is an additional obstacle to
navigationintherather narrowdeep-water strip.
Another problemin the proposed plan of spatial
development isthemarkingof thenorthernapproach
fairway andanchorages of Swinoujscieport as polit-
icallydisputablearea. AccordingtothePolishpartys
knowledge the problem was solved by a bilateral
agreement with the German Democratic Republic
24
Figure 3. Planned Routeing Measures for the Southern
Baltic(IMO2008).
Figure 4. Traffic on the west part of the Baltic Sea
(example).
in 1989 and confirmed by the Federal Republic of
Germany(Dz.U. 1989).
3 VESSEL TRAFFIC INTHE GERMANEEZ
INTHE BALTIC
AspresentedinFigure4, vessel trafficinthewestern
part of theBaltic runs inmany directions. Thebasic
flow of vessel traffic falls into line NE-SW on the
routefromGedser towardsBornholmgast. Additional
routesrunto/fromtheportof Swinoujsciebytwoways,
onealongtheislandof Rgenandanother byvessels
plying toYstad. Vessel traffic can also be observed
belowtheislandof Bornholmonaninter-shoal inlet,
where a vessels TSS is planned (Fig. 3). Traffic of
vesselswithsmaller draft alsorunstothenorthof the
plannedTSS.
Whenplanningvessel traffic theprevailingtrends
andplannedinvestmentsshouldbetakenintoaccount.
Among thelatter in theregion thereis theLNG ter-
minal, tobestartedabout 2012intheexternal port of
Swinoujscie.
Figure5. RoutestoSwinoujsciefrom/toWest(HajdukJ. &
MontewkaJ. 2007).
Thetrafficof gascarrierswithdraft of theorder of
12.5mandabout300mlengthisplannedalternatively
ontwobasicroutes(Fig. 5):
basicrouteC skirtingthecoast of RgenIsland,
alternative route running along the northern
approach fairway outsideof Germanys territorial
seawaters,indicatedinthenorthasalternative,with
inclusioninthetraffic of NorthRgenseparation
zoneor atArkonabuoy.
Theexistingvessel trafficandtrafficgeneratedby
theplannedinvestment intheformof LNG terminal
shouldbetakenintoaccountinthespatial planningof
this water area; otherwise, amenacingsituationmay
needlessly be created in future caused by using tra-
ditional andbasic shippingroutes for other forms of
humanactivityat sea.
4 REMARKSFORTHE PRESENTED
PROPOSAL OF SPATIAL PLANNING
OF THE GERMANEEZ
Figure6presentsasuggestionfor correctingthespa-
tial planningof theGermanEEZ, out of concernfor
navigational safety infuture. Theremarks amount to
thefollowing(Fig. 6):
taking account of and plotting of shipping routes
plannedasalternativefor LNGgascarrierscalling
infutureat theSwinoujscieterminal,
plotting shipping routes traditionally used by sea
ferriesplyingbetweenSwinoujscie Ystad,
takingaccountof theshippingroutesouthwardsof
BornholmIslandwithconsiderationtotheplanned
vesselsTSS,
25
Figure6. Proposal for correctionof theSpatial Planfor the
German Exclusive Economic Zone (Draft) Regulations-
BalticSea.
independentlyof thepolitical status, whichshould
be solved on another plane, the approach fair-
waysandanchoragesof Swinoujscieport must be
markedasareasreservedfor shipping.
5 SPATIAL PLANNINGINPOLISH
SEA AREAS
Atpresent, spatial planningof seaareasisprovidedfor
inPolishlegislature(Dz. U. 2003a, b).
Currently, inaccordancewithdelegationof art. 37b
par. 4of Act of 21st March1991r. onseaareasof the
Polish Republic and maritime administration, quote
theministerproperforconstruction,spatial andhous-
ingeconomyshall determinebywayof ordinancethe
requiredplanningscopeof spatial developmentof inte-
rior seawaters, territorial seaandexclusiveeconomic
zoneinthetextual andgraphicparts, takingparticular
considerationof requirements pertainingto planning
materials, kindof cartographicstudies, appliedmark-
ings, terminology, standardsandwayof documenting
planningwork.
The above-mentioned authorisation was put into
effect on 11th J uly 2003 in connection with theAct
of 27th March 2003 on spatial planning and devel-
opment (Dz. U. 2003 a), which was introduced into
theAct onseaareas of thePolishRepublic andmar-
itime administration in part II, chapter 9, granting
theminister proper for construction, spatial andhous-
ing economy competences to accept plans of spatial
development of interior seawaters, territorial seaand
exclusiveeconomiczone. (Accordingtoart. 37apar. 1
andart. 37bpar. 1of Actof 21stMarch1991r. onsea
areas of the Polish Republic and maritime adminis-
tration, quoteArt.37apar.1.-Theminister proper for
mattersof construction, spatial andhousingeconomy
in cooperation with theministers proper for matters
of sea economy, agriculture, the environment, inter-
nal affairsandnational defencemayaccept andorder
aplanof spatial development of seainternal waters,
territorial sea and exclusive economic zone, taking
Figure 7. Instance of spatial planning in Polish sea areas
(Cie slakA. 2008).
consideration of establishments determined in Pass.
2andissuedvalidpermissions mentionedinArt. 23
andArt. 23a. Art. 37b. par.1. Thedraft of aplan
for spatial developmentof seainternal waters, territo-
rial seaand exclusiveeconomic zoneis prepared by
thedirector of themaritimeboardproper for thearea
coveredbytheplan).
Duetolackof practiceinthescopeof makingsim-
ilar plans in sea areas, it was necessary to solve a
number of problemspertainingtoplanningmaterials,
graphic and letter markings concerning theintended
useof theareas(inparticular theeconomiczonecon-
stitutingapart of international waters), requirements
relatedtothecontentrecordsof plansandmanyothers.
Workundertakenforsolvingthoseproblemscontin-
ueduntil September 2005. InOctober 2005theorder
draft was submitted for social and interdepartmen-
tal coordination. In November 2005 the department
hadremarks reportedby theSociety of PolishTown-
Planners, theNational Town-Planners Chamber and
the Architects Chamber of the Polish Republic,
remarks reported by the departments, and also the
opinion of the Governmental Legislature Centre. In
conclusionof theGLCs opinion, part of therecords
related to procedures of preparation, passing and
accepting plans of sea areas spatial development
should have been legally regulated (Grabarczyk C.
2008).
Afterchangeof governmentandcallingof indepen-
dentMinistries, of Constructionandof SeaEconomy,
work was suspendedfor two years. Legislativework
was resumed latein 2007. In J une2008 an act draft
wassubmittedforpublicagreement, relatedtoamend-
ing building regulations, act on planning and spatial
developmentandsomeotheracts, whereinChapter4a
Spatial PlanninginSeaAreas therequirement was
fulfilled pertaining to the regulation of procedures
of accepting sea areas spatial development plans
(GrabarczykC. 2008).
Inarticle49gof theabove-mentionedact draft an
amended authorisation was included concerning the
scopeof subject plans: Theminister proper for mat-
tersof seaeconomy, incooperationwiththeminister
26
properformattersof construction, spatial andhousing
economy, shall determinebywayof ordertherequired
planning scope for spatial development of sea areas
inthetextual andgraphic parts, withparticular con-
siderationof planningmaterials, sourcedataandother
applied data created in the process of planning, the
standardof metadatafor spatial data, usedandcreated
intheprocessof planningpatterns, appliedmarkings,
symbolsandterminologyandthewayof documenting
planningwork.
Inconnectionwiththeabove, after theparliament
passes theabove-mentionedact draft, theorder draft
determining the planning scope of sea areas spa-
tial development, in accordance with delegation of
article 49g, after conducting the legislative process
will besubmittedfor signingby respectiveministers
(GrabarczykC. 2008).
6 CONCLUSIONS
Theexperiencesofar inthescopeof spatial planning
indicates ageneral needfor preparingsuchplans on
seaareasinanidentical wayasforlandareas.Priorities
shouldbeestablishedandplanningscopedetermined.
Consideringthestateof marineshippinganditsdevel-
opment trends towards increasingthesizeof vessels
andthefrequency of their callings, it is apriority in
therangeof safety to ensureatransparent systemof
basicshippingroutes.
The securing of water areas with shipping routes
should be based on an analysis of vessel traffic so
far, the planned development of ports and assump-
tionsconcerningthesizeof shipshandled. Theeffect
of hydrometeorologicconditionsandemergencysitu-
ationsshouldalsobetakenintoconsideration. Insuf-
ficient planning of shipping routes now may cause
potentially dangerous situations in future or simply
increasetheaccident rate.
Theprocessof agreeingandconsultinginitial pro-
posalsof spatial developmentplanningshouldtakeits
courseinsidethestructuresof thecoastal stateandwith
neighbouringstates. Anexampleof negotiatingsuch
aplan between Germany and Poland does not make
oneoptimistic. Purely political reasonsnot relatedto
thesubject matter arestressedandtheinterestsof the
neighbouringcountryarenottakenintoconsideration.
InaccordancewiththetrendprevalentinEUcoun-
tries, serious thought shouldbegiveninPolandcon-
cerningstructural changesinmaritimeadministration,
aimingatseparationof publicandlegal functionsfrom
economic activity, which might bring out and clear
the matters connected with the spatial management
of seaareas. Anexampleof maritimeadministration
structure has been presented in study (Hajduk J. &
Rajewski P. 2004).
REFERENCES
BSH. 2008. Planfor theGermanExclusiveEconomicZone
(Draft). Bundesamt fr Seeschifffahrt undHydrographie.
J une, 2008.
Cie slak A. 2008. Strategia zagospodarowania obszarw
morskich. Ministerstwo Rozwoju Regionalnego. Semi-
nariumZagospodarowanieobszarwmorskichPolski.
Warszawa, kwiecie n2008. (DevelopmentStrategyforSea
Areas. Seminar Development of Polands Sea Areas.
Warsaw, April, 2008).
Dz. U. 2003a. Ustawazdnia27marca2003r. oplanowaniu
i zagospodarowaniuprzestrzennym(Dz. U. z 2003r. Nr
80, poz. 717, z p zn. zm.). (Act of 27thMarch2003on
Spatial PlanningandDevelopment. LawGazetteof 2003
No. 80Pos. 717withlater amendments).
Dz. U. 2003 b. Ustawa z dnia 21 marca 1991 r. o
obszarach morskich Rzeczpospolitej Polskiej i adminis-
tracji morskiej,(Dz.U. z 2003r. Nr 153poz.1502z p zn.
zm.). (Act of 21st March 1991 on thePolish Republics
SeaAreasandMaritimeAdministration. LawGazetteof
2003No. 153Pos. 1502withlater amendments).
Dz. U. 1989. UMOWA mi edzy Polsk a Rzecz apospolit a
Ludow a a Niemieck a Republik a Demokratyczn a w
sprawie rozgraniczenia obszarw morskich w Zatoce
Pomorskiej, podpisanaw Berliniednia22 maja1989 r.
(Dz. U. z dnia 20 lipca 1989 r.). (Law Gazette 1989.
AGREEMENT betweenthePolishPeoples Republicand
theGermanDemocraticRepublicConcerningtheSepara-
tionof SeaAreasinthePomeranianBay, signedinBerlin
on22ndMay1989. LawGazetteof 20thJ uly1989).
EU. 2008. Roadmapfor MaritimeSpatial Planning: Achiev-
ingCommonPrinciplesintheEU. Communicationfrom
theCommission. Brussels, 25.11.2008. COM(2008) 791
final.
EU. 2007. AnIntegratedMaritimePolicy for theEuropean
Union. Communication from the Commission to the
European Parliament, The Council, The European Eco-
nomic andSocial CommitteeandTheCommitteeof the
Regions. Brussels, 10.10.2007COM(2007) 575final
Furma nczyk K. & Szefler K. 2007. Zagospodarowanie
i przestrzenne aspekty rozwoju strefy przybrze znej
Batyku, zarwnostrefywdterytorialnych(12milowej)
jak i wy acznej strefy ekonomicznej (EEZ). Ekspertyza.
(Spatial Development Aspects of the Baltics Coastal
Area, boththeTerritorial Waters (12-mile) Zoneandthe
ExclusiveEconomicZone(EEZ).AnExpertEvaluation).
Grabarczyk C. 2008. Pismo GB2b-0701/3/08/839746.
Odpowied znainterpelacj eposelsk anrSPS-023-3860/08.
14.07.2008. (Letter GB2b-0701/3/08/839746. A Replyto
Parliamentary Question No. SPS-023-3860/08 of 14th
J uly2008.PismoGB2b-0701/3/08/839746).
Hajduk J. & Rajewski P. 2004. Model strukturalny
administracji morskiej Rzeczypospolitej Polskiej z
uwzgl ednieniem uwarunkowa n i aspektw ekonomic-
znych, merytorycznych, spoecznych i politycznych.
Praca naukowo-badawcza na zlecenie Ministerstwa
Infrastruktury.AMSzczecin2004. (A Structural Model of
thePolishRepublicsMaritimeAdministrationwithCon-
siderationtoEconomic, Factual, Social andPolitical Con-
ditions and Aspects. Scientific Research Work ordered
bytheMinistryof Infrastructure. MaritimeUniversityof
Szczecin2004).
Hajduk J. & Montewka J. 2007. Safety of vessels traffic,
boundfor Polishports. 7thInternational Symposiumon
Navigation, J une20-22, 2007MU, Gdynia, PL
IMO. 2005. Assessment of thetrafficintheBalticSeaWest.
SubmittedbyDenmarkandSweden. NAV 51/INF.3.
IMO. 2008.Information about planned new routeing mea-
suresinthesouthernpart of theBalticSea. Submittedby
GermanyandPoland. NAV 54/INF.5.
27
1.5
e-NavigationandtheHumanElement
D. Patraiko& P. Wake
The Nautical Institute, London, UK
A. Weintrit
Gdynia Maritime University, Gdynia, Poland & Polish Branch of the Nautical Institute
ABSTRACT: e-NavigationisanIMOinitiativedefinedastheharmonisedcollection, integration, exchange,
presentationandanalysisof maritimeinformationonboardandashorebyelectronicmeanstoenhanceberthto
berthnavigationandrelatedservices, for safetyandsecurityat seaandprotectionof themarineenvironment.
IMOhasdictatedthat e-NavigationshouldbeUser Need ledandtakeintoaccount theHumanElement. This
paper will exploresomeof theHumanElement issueswithine-Navigationandstressthat for enhancement of
safety, securityandenvironmental protection, thedecisionmaker mustbesupportednotonlybythetechnology,
but importantlywitheffectiveproceduresandtraining.
1 BACKGROUND
Theconcept of e-Navigation was first introduced to
theIMO in2006at the81st sessionof theMaritime
SafetyCommittee(MSC 81 May06) at whichtime
the committee was requested to adopt this vast new
project as awork programmebasedonacompelling
needwhichremainsas:
There is a clear and compelling need to equip ship-
board users and those ashore responsible for the safety
of shipping with modern, proven tools that are opti-
mized for good decision making in order to make
maritime navigation and communications more reli-
able and user friendly. The overall goal is to improve
safety of navigation and to reduce errors. However,
if current technological advances continue without
proper coordinationthere is arisk that the future devel-
opment of marine navigation systems will be hampered
through a lack of standardization on board and ashore,
incompatibility between vessels and an increased and
unnecessary level of complexity.
At that time, the Secretary General of the IMO,
Efthimios Mitropoulos who has becomeachampion
of the e-Navigation concept warned that the role of
themariner must not berelegatedtothat of amoni-
tor andurgedtheCommitteetotakeintoaccount the
Human Element and all its frailty when developing
thevariousaspectsof e-Navigation.
Tosupportthisexpectation, itwasmadeclear from
thebeginningthate-Navigationshouldbeuser needs
led rather thanledbytechnologistsor regulators.
During the period of 20062008, the IMO
e-NavigationCorrespondenceGroup(CG) supported
by organisations suchas theIALA andTheNautical
Institutecarriedout aninternational exercisetoiden-
tify theseneeds. Potential usersof e-Navigationboth
afloatandashorewerecontactedandaskedtoidentify
what their needswereintermsof harmonisedcollec-
tion, harmonised integration, harmonised exchange,
harmonisedpresentationandharmonisedanalysis of
maritime information onboard and ashore by elec-
tronicmeans.
Itisworthnotingthatthismayhavebeenthelargest
user needs analysis ever conducted in the maritime
industry, and many lessons should be learned from
this experience. Inparticular, most endusers arenot
practicedinarticulatingtheirneedswell, andtendedto
identifywhat theyhadandwhat theyliked. Thisthen
required a good deal of analysis to distil the need
fromthelike.
2 USER NEEDS
TheUser NeedsAnalysis as conductedthroughthe
IMOe-NavigationCGexaminedhundredsof feedback
formsfromaroundtheworldandcategorisedtheseinto
needsof thegeneric SOLAS classshipusersandthe
needsof genericshoreauthorities.
Mucheffort wasput intoanalysingtheneedsfrom
descriptions of what was already in use, and quite
importantly, totakeoutanyreferencetoexistingtech-
nologies. For examplethereis aneedto identify and
trackatargetinordertopreventacollision, ratherthan
therebeinganeed for aRadar withARPA (although
it is recognisedfromapractical point of viewthat in
theshorttermRadarwill certainlybeakeytool within
thee-Navigationconcept).
Fromthesetwoanalysesof shipboardandshoreside
needs,itwasestablishedthattherewerecommonhigh
level needs and these were consolidated, presented,
29
andultimately acceptedby theIMO(MSC 85 Dec
08) asthebasisof ane-Navigationstrategy.
Theseconsolidateduser needsarereproducedhere
withitalic text usedto emphasisesomeof themajor
HumanElement issuesdefinedwithine-Navigation.
2.1 Common maritime information/data structure
Mariners requireinformation pertaining to theplan-
ning and execution of voyages, the assessment of
navigationrisk andcompliancewithregulation. This
information should beaccessiblefromasingleinte-
grated system. Shore users require information per-
tainingtotheir maritimedomain, includingstaticand
dynamic information on vessels and their voyages.
Thisinformationshouldbeprovidedinaninternation-
allyagreedcommondatastructure. Suchadatastruc-
tureisessential forthesharingof informationamongst
shoreauthoritiesonaregional andinternational basis.
2.2 Automated and standardized reporting
functions
E-navigationshouldprovideautomatedandstandard-
ized reporting functions for optimal communication
of shipandvoyageinformation. Thisincludessafety-
related information that is transmitted ashore, sent
fromshore to shipborne users and information per-
tainingtosecurityandenvironmental protectiontobe
communicatedamongst all users. Reportingrequire-
ments should be automated or pre-prepared to the
extent possible both in terms of content and com-
municationstechnology.Informationexchangeshould
be harmonized and simplified to reduce reporting
requirements. It is recognizedthat security, legal and
commercial issues will have to be considered in
addressingcommunicationsneeds.
2.3 Effective and robust communications
A clear needwas expressedfor thereto bean effec-
tive and robust means of communications for ship
and shoreusers. Shore-based users requirean effec-
tivemeansof communicatingwithvesselstofacilitate
safety, security and environmental protection and to
provideoperational information. To be effective, com-
munication with and between vessels should make
best use of audio/visual aids and standard phrases
to minimize linguistic challenges and distractions to
operators.
2.4 Human centred presentation needs
Navigationdisplaysshouldbedesignedtoclearly indi-
cate risk and to optimize support for decision making.
Thereis aneedfor an integratedalert management
system as containedintherevisedrecommendation
on performance standards for Integrated Navigation
Systems (INS) (resolutionMSC 252(83)). Consider-
ation should begiven to theuseof decision support
systems that offer suggested responses to certain
alerts, and the integration of navigation alerts on
board ships within a whole ship alert management
system. Users require uniform and consistent pre-
sentationsandoperationfunctionality toenhance the
effectiveness of internationally standardized train-
ing, certificationandfamiliarization. Theconcept of
S-Mode
1
hasbeenwidelysupportedasanapplication
onboardshipduringtheworkof theCorrespondence
Group. Shoreusersrequiredisplaysthatarefullyflex-
ible supporting both a Common Operating Picture
(COP) andaUser DefinedOperatingPicture(UDOP)
with layered and/or tabulated displays. All displays
should be designed to limit the possibility of confusion
and misinterpretation when sharing safety-related
information. E-navigation systems should be designed
to engage and motivate the user while managing
workload.
2.5 Human machine interface
Aselectronicsystemstakeonagreater role, facilities
needtobedevelopedfor thecaptureandpresentation
of information fromvisual observations, as well as
user knowledgeand experience. Thepresentation of
informationfor all usersshouldbedesigned to reduce
single person errors and enhance team operations.
There is a clear need for the application of ergonomic
principles both in the physical layout of equipment
and in the use of light, colours, symbology and
language.
2.6 Data and system integrity
E-navigation systems should be resilient and take
into account issues of data validity, plausibility and
integrity for the systems to be robust, reliable and
dependable. Requirements for redundancy, particu-
larly inrelationtopositionfixingsystems, shouldbe
considered.
2.7 Analysis
E-navigation systems should support good decision
making, improve performance and prevent single per-
son error. Todoso, shipboardsystemsshouldinclude
analysisfunctionsthat support theuser incomplying
with regulations, voyage planning, risk assessment,
andavoidingcollisionsandgroundingsincludingthe
calculation of Under Keel Clearance(UKC) and air
draughts. Shore-based systems should support envi-
ronmental impactanalysis, forwardplanningof vessel
movements, hazard/riskassessment, reportingindica-
torsandincident prevention.
Consideration should also be given to the use
of analysis for incident response and recovery, risk
assessment andresponseplanning, environment pro-
tection measures, incident detection and prevention,
risk mitigation, preparedness, resource (e.g., asset)
management andcommunication.
1
S-Modeis theproposed functionality for shipbornenavi-
gationdisplaysusingastandard, default presentation, menu
systemandinterface.
30
Figure1. Potential componentsof ane-Navigationimplementationplan[IMONAV 54/WP.62008].
2.8 Implementation issues
Best practices, training and familiarization relating to
aspects of e-navigation for all users should be effective
and established in advance of technical implementa-
tion. Theuseof simulationtoestablishtrainingneeds
andassessitseffectivenessisendorsed. E-navigation
shouldasfar aspractical becompatibleforwardsand
backwards and support integration with equipment
andsystemsmademandatoryunder international and
national carriagerequirementsandperformancestan-
dards. The highest level of interoperability between
e-navigation and external systems should be sought
wherepracticable.
It is clear fromthese user needs that there is a
major emphasis on supporting the decision making
process, not only by better technology, but through
the establishment of best practices for the use of
suchtechnology andthetrainingneeds that apply to
boththetechnologyandtheprocedures.
It should also be noted that needs such as
E-navigation systems should be designed to engage
and motivate the user while managing workload are
easier said than doneand will requireatremendous
amount of researchandtestingtoachieve.
3 S-MODE
In the description of Human Centred Presentation
Needs it is stated that Users require uniformand
consistentpresentationsandoperationfunctionalityto
enhancetheeffectivenessof internationallystandard-
izedtraining, certificationandfamiliarization.
TheNautical Institutethroughconsultationwithits
members has proposed a concept called S-Mode to
addressthisneedfor theshipboardusers.
Theconcept callsfor all navigationsystemsinthe
futuretohaveastandardS-Mode switch, that when
activateddefaults to astandarddisplay (e.g. head-up
display, relative vectors, etc.) that can then be fully
manipulated through astandard menu systemwhere
functions(suchasforchangingrange, aspect, orusing
EBL/VRM, parallel indexing, ) wouldall bestan-
dardised, and the input interface with the systems
31
(perhaps track ball, joystick or keyboard) would be
standard. The concept for S-Mode is to create stan-
dardfeatures. S-Modeisnotenvisagedasasimplified
or restricteddisplay mode, but insteadwouldoffer a
highdegreeof functionality. However, theuseof these
functionswouldall bestandardandanyonetrainedin
theuseof S-Modewouldthereforebecompetent and
confident tomakethebest useof navigationsystems
onanyshipsoequipped.
S-Modemayalsoincorporateprovisionsfortheuse
of personal settingsthat maybestoredwithinthesys-
temoronapersonal memorydevicethatwouldallowa
pilotormarinertorapidlyconfigurethesystemtotheir
preferredsettings, overlay customdisplay featuresor
giveaccesstospecialist information.
S-Modewouldnotprecludetheuseof othernaviga-
tionfeaturesthatcouldbeprovidedbyamanufacturer.
Thesemay bedesigned to takeadvantageof cutting
edgetechnology,advancedprogrammingorinnovative
presentationoptionsthatwouldbeoperatedoutsideof
S-Mode.
Itistheintentionof TheNautical Institutetosecure
funding to implement a phased project approach to
the development of S-Mode. The Nautical Institute
considers it will be necessary for: the user needs
of mariners to be defined; to work with industry to
createmock-upvariations; andthentotest thesevari-
ations using simulation and other techniques with
representative bridge teams. After thorough testing
andevaluation, thesystemandtrainingrequirements
would be put forward to the International Maritime
Organization for consideration. Further information
about S-Mode is contained in (IMO NAV 54/13/1,
2008) which is a copy of the submission of the
S-Mode proposal to the IMO Sub-Committee on
Safetyof NavigationJ uly08(NAV 54).
4 PROFESSIONAL RELATIONSHIPS
Oneof thefundamental premisesof e-Navigationisto
createawiderarea navigationteamthatwill facilitate
better decisionmakingby thesharingof information
between ships navigation team and all the shore-
side support organisations. This is of course a valid
objective, andif managedproperlywill createamore
effective navigation teamthat minimises the risk of
singlepersonerrors.
The maritime industry has of course spent a lot
of effort during the past few decades learning how
to implement effective teams and this has resulted
in much discussion of effective Master/Pilot rela-
tionships; BridgeTeamManagement(BRM) training;
andshipboardresourcetraining. Fromthisexperience
comesrecognitionthatforteamstoworkeffectively, it
isabsolutelyessential thattherebeacommonplatform
for communication(includinglanguageandterminol-
ogy) and that there needs to be mutual professional
respect betweenteammembers.
As e-Navigation develops and greater communi-
cation is established between mariners and shore
authorities, will we have addressed these issues? At
present, within aport that utilises VTS, it is usually
the Pilot who acts as a communicator between the
VTS staff and the shipboard staff. The Pilot has an
established working relationship with theVTS staff,
and while onboard, can make best use of interper-
sonal skillstoestablishaworkingrelationshipwiththe
ships crew(inanideal situation). However howcan
weensurethat without this interpersonal interaction,
thewideareanavigationteamwill workwell together?
Ongoing research by The Nautical Institute indi-
cates that in order to communicate effectively and
foster professional respect, clear proceduresmayhave
to be established possibly based on a far greater
useof theIMOsStandardMaritimeCommunication
Phrases(SMCP) andfor trainingexercisestobecon-
ductedfocusingonthevariousstakeholderswithinthis
evolving relationship. Even without the concept of
e-Navigation, such issues will need to be addressed
astheestablishmentof coastal surveillance becomes
more common and IALA develops the concept of
Vessel Traffic Management (VTM) based on the
management of trafficoutsidetraditional VTSareas.
5 FURTHER RESEARCH
The success of e-Navigation will rely heavily upon
theproperapplicationof theHumanElementthrough-
outitsdevelopmentandimplementation.TheNautical
Institute believes that there are some major Human
Elementaspectsthatdeservefurther developmentand
researchto bedoneonaninternational basis to sup-
port the IMOs e-Navigation concept. These can be
summarisedas:
Proper balanceof informationlevelsandworkload
onmarinersandshorebasedoperators.
Effectivedisplayoptionstosupport gooddecision
making(includingthedevelopment of S-Mode).
Toolsandproceduresforreducingrougebehaviour
or complacency andkeepingtheoperator actively
engagedintheprocessof safenavigation.
Methods andprocedures for reducingsingleper-
sonerrors.
Optimumuseof decisionsupportsystems includ-
ingthebest useof alarmsandalerts.
Effectiveproceduresforship/shorecommunication
andteamwork.
Supportingdecisionmakingcapabilitiesof individ-
ualsthroughself-esteemandconfidencebuilding.
Ensuringthatall technical developmentswithinthe
concept of e-Navigationaresupportedbyeffective
proceduresandtraining.
Developing effective tools for capturing and
analysinguser needswithinthemaritimeindustry.
It is recognised that much of this research and
testingwill best bedonethroughusingscenariosrep-
resentingall appropriatestakeholders, andthattheuse
of simulationmaybeahighlyeffectivetool fortesting,
documentingandultimately trainingfor suchaspects
of e-Navigation.
32
6 CONCLUSION
e-Navigation is a broad concept that is aimed
at enhancing navigation safety, security and the
protection of the marine environment through the
harmonisedcollection, integration, exchange, presen-
tation and analysis of maritimeinformation onboard
andashorebyelectronicmeans.
It isenvisionedthat e-Navigationwill bealiving
concept that will evolve and adapt over a long time
scaletosupport thisobjective. Duringthistimeinfor-
mationwill change,technologieswill change,political
andcommercial objectiveswill change, andtaskswill
change.Howeveritisunlikelythattheneedforsafeand
efficient seabornetransport will changesignificantly.
Itisalsocertainthatthesafeandefficienttransport
will continue to rely on good decisions being made
onanincreasingly constant andreliablebasis. Some
decisionsmaybemadewithincreaseddependenceon
technology, but at some level we will always rely
on good human decisions being madeand therefore
every effort needs to be made to apply an under-
standing of the Human Element at all stages, of
design, development, implementation and operation
of e-Navigation.
TheNautical Instituteas theleading international
body for maritimeprofessionals will continueto use
theresources of its members, branches, officers and
staff topromotetheeffectiveapplicationof theHuman
Element for e-Navigationandother industrydevelop-
ments, andinvitesall maritimeprofessionalstojoinin
thiscritical effort.
REFERENCES
Basker S. 2005. E-Navigation: The way ahead for the
maritimesector. TrinityHouse, London, September.
Bibik L., Krolikowski A., Czaplewski K., Duda D. 2007.
Vision of the Decision Support Model on Board of the
Vessel with Useof theShoreBased IT Tools. Advances
in Marine Navigation and Safety of Sea Transportation,
Chapter 10: E-Navigation. TransNav2007 Monograph
edited by A. Weintrit. Gdynia Maritime University and
theNautical Institute, Gdynia.
Eu Marine Strategy. 2007.AnIntegratedMaritimePolicy
for theEuropean Union. SEC(2007) 1278, COM(2007)
575, October.
Graff J. 2007. The Role of Operational Ocean Forecast-
ingine-Navigation. Advances in Marine Navigation and
Safety of Sea Transportation, Chapter 10: E-Navigation.
TransNav 2007MonographeditedbyA.Weintrit. Gdynia
MaritimeUniversityandtheNautical Institute, Gdynia.
IALA 2007a. The IALA Definition and Vision for
E-Navigation. E-Nav2-output 11, March.
IALA 2007b. E-Navigation, Frequently Asked Questions.
IALA e-NavOPSWGMTGWP1, J uly.
IMOMSC 81/23/102005. Work Programme. Development
of ane-Navigationstrategy. SubmittedbyJ apan, Marshall
Islands, theNetherlands, Norway, Singapore, theUnited
Kingdomand theUnited States, International Maritime
Organization, London, 19December.
IMO NAV 52/17/42006. Any other business. Anapproach
toE-Navigation, submittedbyJ apan. Sub-Committeeon
Safety of Navigation, International Maritime Organiza-
tion, London, 12May.
IMO NAV 53/13 2007. Development of an E-Navigation
Strategy. Report of the Correspondence Group on
e-navigation, submitted by the United Kingdom. Sub-
Committee on Safety of Navigation, International
MaritimeOrganization, London, 20April.
IMO NAV 53/13/12007. Development of an E-Navigation
Strategy. A methodfor identifyingessential functions of
shipboard systemunder the e-Navigation strategy, sub-
mittedbyJ apan. Sub-CommitteeonSafetyof Navigation,
International MaritimeOrganization, London, 18May.
Strategy. Position-Fixingfor E-Navigation, submittedby
theUnitedKingdom. Sub-CommitteeonSafety of Nav-
igation, International Maritime Organization, London,
18May.
Strategy. IALA ande-navigation, submittedby theInter-
national Association of Maritime Aids to Navigation
and LighthouseAuthorities (IALA). Sub-Committeeon
Strategy. Display of Automatic Identification System
(AIS) as anAidto Navigation(AtoN), submittedby the
International Associationof MaritimeAidstoNavigation
IMO NAV 54/13 2008. Development of an E-Navigation
Strategy. Report of the Correspondence Group on
e-navigation, submitted by the United Kingdom. Sub-
Committee on Safety of Navigation, International
MaritimeOrganization, London, 28March.
Strategy. The concept of S-Mode for onboard naviga-
tion displays, submitted by the International Federation
Of Shipmasters Associations (IFSMA). Sub-Committee
onSafety of Navigation, International MaritimeOrgani-
zation, London, 24April.
Strategy. IALA and e-Navigation, submitted by the
International Association of MarineAids to Navigation
tion, London, 25April.
IMONAV 54/WP.62008. Development of anE-Navigation
Strategy. Report of theWorkingGroup. Sub-Committee
onSafety of Navigation, International MaritimeOrgani-
zation, London, 2J uly.
KorczK. 2007. GMDSSasaDataCommunicationNetwork
for e-Navigation. Advances in Marine Navigation and
Safety of Sea Transportation, Chapter 10: E-Navigation.
TransNav2007 Monograph edited by A. Weintrit.
Gdynia Maritime University and the Nautical Institute,
Gdynia.
Mitropoulos E. 2007. E-navigation: aglobal resource. Sea-
ways, TheInternational J ournal of theNautical Institute,
March.
Patraiko D. 2007a. Introducing the e-navigation revolu-
tion. Seaways, TheInternational J ournal of theNautical
Institute, March.
Patraiko D. 2007b. The Development of e-Navigation.
Advances in Marine Navigation and Safety of Sea Trans-
portation, Chapter 10: E-Navigation. TransNav2007
MonographeditedbyA. Weintrit. GdyniaMaritimeUni-
versityandtheNautical Institute, Gdynia.
33
Patraiko D. 2007c. The shipborne E-Navigation System
TheMarinersViewandtheneedforS-Mode. eNavigation
07 Electronic Navigation and the Application of Infor-
mationTechnology to Short Sea Shipping andWaterborne
Commerce. November.
Patraiko D. 2008a. Implementing eNavigation: Defining
User Needs within the context of an overall strategy
for implementation. eNavigation 08 The role of e-
Navigation in waterborne commerce and coastal zone
management. Seattle, November.
PatraikoD.2008b.e-NavigationAUserNeedsLedStrategy.
Human Element Conference. Delhi, December.
Pillich, B. 2007. Developinge-Navigation, theearly stages.
U.S., HydroConference, 2007.
Weintrit A. 2006. Navitronics and Nautomatics. Advances
inTransport SystemsTelematics. SectionIII: Systemsin
Maritime Transport. Monograph edited by J. Mikulski,
Faculty of Transport, Silesian University of Technology,
Katowice.
Weintrit A., WawruchR. 2006. Futureof MaritimeNaviga-
tion, E-Navigation Concept. Proceedings of 10th Inter-
national Conference Computer Systems Aided Science,
Industry and Transport TransComp2006, Zakopane,
Poland, December.
Weintrit A., Wawruch R., Specht C., Gucma L.,
Pietrzykowski Z. 2007a. PolishApproachtoe-Navigation
Concept. Advances in Marine Navigation and Safety
of Sea Transportation, Chapter 10: E-Navigation.
TransNav2007 Monograph edited by A. Weintrit. Gdy-
nia Maritime University and the Nautical Institute,
Gdynia.
34
1.6
Generationof ElectronicNautical Chart datafor assessment of
navigational safetyinharbour andwaterwaydesign
K. Guan, C. Shi, S. Wu&T. Xu
Merchant Marine College, Shanghai Maritime University, Shanghai, China
ABSTRACT: Navigational simulator is widely appliedintheassessment of Navigational Safety inthehar-
bour andwaterway design. Accordingtotheneedsof ENC(Electronic Nautical Chart) datainthenavigational
assessment, thispaperanalyzesthesourceof ENCdata, suchasS-57data, MVCF(MilitaryVectorChartFormat)
dataandCAD(ComputerAidedDesign) data. Aneffectivemethodof ENCdatagenerationhasbeendeveloped.
Special techniquesareinvestigatedfor generatingENC data, suchasENC datastructuredesigning, chart data
conversion, digitizationmethodof rasterimagesof CADdesigndrawing, optimizationapproachesanddatainte-
grationmethods. Softwarehasbeendevelopedtoedit thechart datawithgoodperformance. Thetechnologies
developedinthispaper havebeenappliedtomorethan100practical projectsandsuccessful resultshavebeen
obtained.
1 INSTRUCTION
Withthefast development of water transportation in
recentyears, significantprojectsof harbourandwater-
wayincreaseconstantly,andthetrafficdensityinwater
areas also increases unceasingly. Usually theinvest-
ments of many harbour projects areenormous andit
wascostlyif somedesignmistakescouldnotbeidenti-
fied.Oncetheaccidenthappens,thedirectandindirect
lossesareinestimable. Hence, it isimportant tocarry
out theassessment of Navigational Safety inharbour
and waterway design to ensure safety of navigation
whentheprojectsareimplemented(Guanetal. 2005).
To assess the navigational safety of designing
projectsof harbour andwaterway, ship-handlingsim-
ulator isemployedtocarryout simulatedtestsinreal
time.Resultsretrievedfromanalysisof thetestdataare
benefit not onlyfor thenavigational safetyof theves-
sel, butalsoharbour andwaterwayfacilities. Thetests
help reduce the expenses of the engineering exper-
iment, and optimize the design of the project. The
shiphandling simulator assessment can improve the
economic benefits and competitiveness of the port.
It cancheck out thepotential capacityof theport and
berths, and provideapproaches to makefully useof
theberthingabilityof theport.
Usuallythefastsimulationof navigationisadopted,
usingthesimulationsystemof two-dimensional (2D)
display. The system is composed of the Electronic
Chart Display andInformationSystem(ECDIS) and
Theresearchworkinthispaperispartiallysponsoredbythe
Shanghai LeadingAcademicDisciplineProject (grant num-
ber: S30602), andtheNatural ScienceFoundationof China
(grant number: 40801174).
thenavigational SimulationControllingSystem. The
operator, whoisshowna2Dchartdisplay, usethekey-
board to control theengineand therudder. Multiple
PC systemscanbeusedcarry out simulationtestsof
differentoperationmodeatthesametimetoaccelerate
theassessment procedure.
In order to performthe simulation test described
above, it isaveryimportant steptogeneratetheENC
datafor theplanningharbour andwaterways. Inthis
paper, approaches are studied to use various exist-
ingchart datasourcesanddesigndataof harbour and
waterwayprojects.A rational andfastmethodisdevel-
opedfor thegenerationof ENC dataspecifically for
theassessment of navigational safety of harbour and
waterways.
2 THE NEEDSOF ENC DATA IN
NAVIGATIONAL ASSESSMENT
Thework of theassessment of navigational safety in
theharbour andwaterwaydesignincludemainly:
1) Assessingtheefficiencyof navigationinthechan-
nel. The data, such as the channel width, water
depth, navigational marks, etc. of thedesignwater-
way, arecheckedwhether therequirements could
be met for the navigational safety of the vessel
withdesigntonnageundercertainhydrological and
meteorological conditions. Thisstepisperformed
mainlythroughsimulatoroperations, obtainingthe
widthof thevessels pathsandthetracksof vessels
out of control or drifting.
2) Assessingthecapacityof berthingintheport. The
datatobeassessedincludethesizeandwaterdepth
of manoeuvringareaof thedesignquay. Simulator
35
checks are carried out to make sure the require-
ments aremet for safeberthingoperations of the
vessel withdesigntonnageundercertainhydrology
meteorological conditions. (Qian2003).
Inordertomeettheneedsof thenavigational assess-
ment, theship-handlingsimulator shouldprovidethe
ENCdatawithlargescales.Thosedatashouldbeorga-
nizedwitharational structure. Thegeneral precision
of theENC dataisrequiredtobewithintherangeof
meter. Andit isrequiredthat ENC datamust include
thefollowingdetails,
1) Landsandislands;
2) Quays, docks, bridgesandinshorefacilities;
3) Beaches, depths of water, depth contours and
bottomcharacteristics;
4) Channels, anchorage, security area and sea floor
pipelines;
5) Obstacles;
6) Aidstonavigation;
For theENC databaseusedintheassessment, the
followingdemandsshouldalsobeconsidered,
1) Goodcompatibilityandexpansibility,
2) Adapting of the standard electronic chart data
structure,
3) Adaptingof thedataof thedesigndrawingsof the
project,
4) Efficiencyandcosts,
5) Maintainabilityandportability.
Meanwhile, it must be easy to search and revise,
and in a hierarchical structure to raise the speed of
dataprocessing.
3 ANALYSISOF THE SOURCESOF
ENC DATA
Theassessment of navigational safety intheharbour
andwaterwaydesignusuallyassessestheproject that
is going to be implemented, or in progress of the
designphase. Thereis, therefore, noready-madenau-
tical charttobeused. Wecanonlycombinethedesign
drawingsof theproject andtheexistingnautical chart
of waterareastosetupspecificENCspecificdatabase
to meet theneeds. Thesources of theENC datacan
include the existing paper nautical chart, S-57 elec-
tronic nautical chart data, MVCF electronic nautical
chart data, CADproject designdrawingsandsatellite
remotesensingimage,etc.Astotheexistingelectronic
nautical chart data, corresponding format change is
necessary, changingthestandardS-57formatdatainto
thesystemdefinedformat data. Special processesare
neededfor other sourcessuchaspaper nautical chart,
satelliteimagesandCADdesigndrawings, etc.
3.1 S-57 data
TheStandardIHO(International HydrographicOrga-
nization) S-57 is themost popular ENC dataworld-
wide. It is designed to permit the exchange of data
describingthereal world. Thedataproducedisorgan-
ised into named structures. Usually, more than one
object is involved in an exchange. Therefore, since
an object is structured into arecord, an exchangeis
comprisedof morethanonerecord. Tofacilitatethis,
recordsaregroupedintofiles. Theset of information
whichis finally exchangedis calledanexchangeset
(IHO. 2000).
This standarddefines aset of records fromwhich
anexchangeset canbebuilt.
Theserecordsfall intofivecategories:
1) DataSetDescriptiveRecord: Containinginforma-
tionaboutthecoordinatesystem,theprojection,the
horizontal andvertical datumused, thesourcescale
andtheunitsof heightanddepthmeasurement, and
informationabout theoriginsof thedataset.
2) Catalogue Record: Containing the information
requiredto allowthedecoder to locateandrefer-
encefileswithintheentireexchangeset. Thispart
can becompared with atableof contents. It also
contains information about special relationships
between individual records within the exchange
set.
3) Data Dictionary Record: Containing thedescrip-
tionof objects, attributeandattributevalues used
inanexchangeset.
4) Feature Record: Containing the non-locational
real-worlddata.
5) Spatial Record: Containing the locational data.
They may beof types of vector, raster or matrix.
Anexchangeset maycontainamixtureof thedif-
ferent spatial record types. Among them, vector
records include the information about the coor-
dinate geometry related to the feature records,
including spatial attributes, topological relation-
shipsandupdateinstructions. Vector recordsmay
beof typesnode, edgeor area.
S-57datacanbeobtainedfromthenautical chart
publishingdepartment.
3.2 MVCF Data
MVCF isanabbreviationof theMilitaryVector Chart
Format, whichisthedigital nautical chartinterchange
standardof China. It possesses thecharacteristics of
thefollowing:
1) It is akindof geographical datummodel without
thetopological relation, supportingthefastdisplay
andeasyeditingof thedata;
2) It supportstheindexfile. Thestructureof thedata
issuccinct;
3) It supports point, line, polygon and annotation
notes. Therefore it supports the exchange of the
wholenautical chart dataelements;
4) Attributeis supported. Theattributeof thevector
is stored in dBASE format file, and theattribute
recordistheone-to-onecorrespondencewithvec-
tor record.
MVCF datafileisorganizedby thesheet of paper
chart. It adoptsthecataloguestructure. Thecatalogue
36
nameisthesameastheserial number of digital nau-
tical chart. MVCF datacomposeof four files: basic
file, shapefile, index fileand attributefile. Among
them, theshapefileisavariablelengthrecordfileof
directaccess.Itcontainsthecoordinatepositiondataof
thenautical chart. Indexfilecontainsdescribetheoff-
set of thebeginningrecordcorrespondingshapefile
record. The attribute file is in dBASE format struc-
ture. It contains theattributeof thevector data. The
shapefilerecord is one-to-onecorrespondencewith
theattributefilerecord.
MVCF datacan beobtained fromtheNavigation
Support Department of theNavy Headquarters. The
nautical charts published cover thewholecoast area
of China.
3.3 CAD engineering design drawing
Usually, softwareof AutoCADisemployedinmaking
thedrawingsof designprojectsof harbour andwater-
way. Thesedrawings includedataof water areas and
land-based areas, especially the newly-built objects,
suchasquays, docks, bridges, channelsandnavigation
marks, etc. Thesedesigns arethetarget of thesafety
assessment. Thedatamayalsoincludeharbour build-
ing, shipyardworkshopandcoastline, etc., whichare
notascritical insafetyassessment.Hence,thedatathat
wecareaboutareonlypartof theengineeringdrawings
for therelating water areas, and it is unnecessary to
changethewholeCADfiledirectly. Byretrievingpart
of thedatafromthedrawings, informationredundant
canbeavoided.
InChina, thedomesticcoordinatesystem, BJ -1954,
is generally used in thedesign drawings. Additional
conversions should be made to ensure compatibil-
itywiththecoordinatesystem, WGS-84, that ECDIS
adopts. Inour researchanapproachis developedfor
the processing of the drawings. The CAD data file
is printed to a J PG image. Then, with digitization
technology, vectorization operation of the parts we
needisperformed. Inorder toimprovetheprocessing
efficiency, weonly concern thenewly-built relevant
objects, such as quays, docks, manoeuvring areas,
channelsandnavigationmarks, etc.
3.4 The satellite remote sensing image
Thesatelliteremotesensingisthenewtechnology to
obtaintheinformationsuchasresource, environment
andcalamityinthecoastal areas. Ithassomeconspic-
uousadvantages, suchaslarge-scale, highefficiency,
synchronization, high frequency of dynamic obser-
vation and so on. With the fast development of the
remote sensing and computer technology, the satel-
literemotesensingcanreplacethesurvey artificially
withagreatextent. Itbecomesaimportantdatasource
of the digital chart. It is a kind of very economical
andpractical methodtousethesatelliteremotesens-
ingimageof high-resolution. Bydigitization, Dataof
coastlines, quays, berthsandbuildingscanbeobtained
fromsatelliteimages.
Figure1. Thestructureof HYENC data.
4 THE STRUCTURE OF ENC DATA
To meet the requirement of the navigational assess-
ment, onestructureof reasonableENC datahasbeen
developedandnamedas HYENC (Electronic Nauti-
cal Chart Local Defined). Conciseness and memory
savingareconsidered, andit is convenient for trans-
formation, renewal and maintenance, as well as fast
display.
HYENCdatastructuredefinesthateachfilerepre-
sents onenautical chart. Thefileincludes sheet data
andfiguredata. Thesheet dataontheheadof thefile
contain600bytesfor thecontrol informationof each
chart, andtheyaredividedinto25dataitems.Thefig-
uredataarevariablelength records of direct access,
recordingthedataof layersof eachchart, andperlayer
of data includes the head data of 108 bytes and the
recordsof variablelength. Therecordcountsandtype
arestoredinthesheet data. Thestructureof HYENC
dataisshownasFigure1.
The sheet data includes information such as the
name, range, scale, coordinate systemof the nauti-
cal chart. By this information, chart search can be
performed rapidly, and chart panning and seamless
splicingcanberealized. Thefiguredataissuchstruc-
turedthatithelpsthehierarchical displayof thechart,
as well as convenience for combining, adding and
deletingrelativeinformation.
5 THE METHODOF ENC DATA
GENERATION
5.1 ECDIS coordinate system and conversion
Todisplay thechart onthecomputer screen, it needs
convertingMercator projectioncoordinateinto com-
puter screencoordinate. Whenperformingchartwork
onECDIS, weneedtoconvert computer screencoor-
dinate into geographic coordinate. Conversion and
calculation of all kinds of coordinate in real-time
for the display and operation can influence system
performanceof ECDIS.
For fast display, theENC storesthepoint assemble
datain longitudeand latitudecoordinate. Longitude
data is in the unit of minute, and latitude in merid-
ional parts.Whendisplayingthechartonthecomputer
37
screen, thetimeforconvertinglatitudeintomeridional
partscanbesaved, improvingthespeedof displaying.
InECDIS, thepoint of left bottomis takenas the
originof coordinatewithdisplay format of northup.
We establish coordinate systemthat the OY axis is
upwards, OX axis rightwards. Suppose that a geo-
graphical coordinate point, M
0
(
0
,
0
), corresponds
to screen coordinate point, P
0
(y
0
, x
0
), then any geo-
graphical coordinates andscreencoordinates may be
convertedusingequation(1) and(2):
Longitude convertsintox:
Latitude convertsintoy:
wheref isascale, expressingtheratioof meridional
partsof geographical coordinatetothedisplayscreen
coordinate.
By thesimilar manner, it iseasy toconvert screen
coordinatesintogeographical coordinates.
When performing zoom in, zoom out, drag and
other operations, wecanfast convert coordinates, and
display ENC figure on the computer screen. Mean-
while, weusethescreen clipping algorithmto filter
the ENC data. It filters out the data beyond screen
range, andimprovesthedisplayingspeedof ECDIS.
In the ECDIS, the geographical position is
expressed in longitude and latitude coordinates, i.e.
degree, minute and second. Then the corresponding
algorithmof mutual conversionbetweenlatitudeand
meridianal partsmayrefer thepaper (Zhang2003).
5.2 The procedure of ENC data conversion
For theassessment of navigational safety in thehar-
bour and waterway design, the design department
supplies theproject design drawing in CAD format.
We must use another method to obtain other data
suchasthenearbycoastlineandchannel. Throughthe
analysis describedabove, thesedatacanbeobtained
fromsources such as paper chart, S-57 format data,
MVCF format data, remote sensing satellite images
andCADproject designdrawings, etc. Thesedataare
mainly divided into two kinds, thedigital ENC data
andraster image. For ENCdata, weneedcompilepro-
grams to apply converting of S-57 format data and
MVCF format data, whileadigitalizationisneedfor
paper charts, remotesensingimagesandCADproject
designdrawings. Thenweintegrateall datainto one
ENCdatafilewhichservesthesimulationassessment.
TheconvertingproceduresareillustratedinFigure2.
5.3 Digitization of raster images
Digitizationisaveryimportant stepintheprocedure
described above, i.e. use certain apparatus and soft-
ware to digitize raster image and convert theminto
vector data. Hu (1999) recommended a method of
Figure2. Theprocedureof dataconverting.
using digitizer to convert paper chart. This method
utilizes digitizer and corresponding softwareof col-
lectingENC datatogether, whichconvert raster data
intovector data. Themethodwhichreliesoncircum-
scribed digitizer, a paper chart can only use on one
machineat atime. It is kinds of complicated ineffi-
cient toconvert thedata, andinconvenient tomodify
latterdata.Theapproachiskindsof inefficientandcan
hardlymeet therequirement of project researchinthe
timelimit.
A PC-basedENCdataeditorsystemisdevelopedto
meet our needs. It usesthemouseandinterfacesoft-
waretodigitizerasterimages. Firstly, itisimportantto
determinethekeypoint positioni.e. itslongitudeand
latitude, thecoordinatesof thescreenof southwestand
northeast point. Wecan obtain thecoordinates from
thepaper chart or thesatelliteremotesensingimage.
After determining the key point, we can display the
raster imagein PC-based ENC dataeditors system,
andthenusethemousetocollect manuallythepoint-
line-facedataof thechart. Thesystemautomatically
convertsamousepositionof thescreencoordinateinto
geographical coordinate, andsavethecoordinatedata
intothedatafile.
We adopted layered storing and displaying tech-
nology of ENC data. Wecandigitally compilepaper
chart onseveral PC at thesametime, andcollect all
the data into one file finally. Thus it can improve
the speed of making ENC data, and shorten devel-
opment period. Furthermorewemay add, delete, edit
thedatarandomlyandmaintainthedataconveniently.
Figure 3 illustrates the ENC data editors system
softwareinterface.
If theimageistheCADdesigndrawing, weneedto
convert theformat of theCADfileinto*.J PGimage.
ThenTheENCdataeditorssystemsoftwareinterface
is the image processing software such Photoshop is
used to superimpose the image with the base map.
38
Figure3. ENC dataeditorssystem.
TheJ PG format imageneeds to bezoomedinor out
inthesameproportion. Firstlywematchthebasemap
andtheCAD designdrawing. Thenthelengthof the
quay or size of turning circle area is measured by
usingthedigitizedsystemsoftware. Thesizeiscom-
pared with the dimension of CAD design drawing,
andthedifferenceproportioniscalculated. Secondly,
adjust thesizeof J PG imagein theproportion until
thetwo images areidentical insize. At last thecom-
positeimagecanserveas digitizedbasemap. When
digitizing theimage, weonly need to chooseuseful
information,forexample,quay,dock,newly-increased
coastline, turningarea, channel line, designedanchor-
age, navigation mark, and depth of water and note
information.
5.4 Generation of water depth data
Water depthis animportant parameter intheassess-
ment of navigational safetyintheharbour andwater-
way design. The design water depth of channels or
turningareashouldensureenoughUnder Keel Clear-
ance (UKC) for vessels. The designer supply CAD
designdrawingsthat includessurveydataof depthof
water. We can obtain water depth data according to
thedigitizedmethoddescribedinSection5.3. Butitis
relatively heavy workloadto input alargeamount of
depthof water manually. So weplanto obtainwater
depthdatawithdataconversionmethod. Firstlyexport
the CAD drawing format file (*.DWG) as Drawing
InterchangeFormat file(*.DXF). Thenextract water
depth datafromthefilewith certain algorithm, and
keepaseriesof point, P(x, y, z), wherethecoordinate
x and y express planecoordinate, and z express the
depth of water, into acollection. Finally convert the
point collectionintoENC water depthdata.
If there are no newly surveyed data, water depth
canbeobtainedfromthepresent paper chart. Wecan
convert present S-57 format data or MVCF format
data. Water depthdataof S-57formatdenoteinSG3D
record, whilewater depth dataof MVCF format are
speciallystoredinthesoundinglayer. IntheENCdata
editors system, wecanusethemouseto add, delete,
and edit water depth data. Based on present data of
waterdepth,neural networktechnologyisusedtocarry
out differencecalculation(Shi 2004). Whilenavigat-
inginthesimulationarea, water depthnearbytheship
isdetectedinreal-time, determiningwhetherthewater
depthof thechannel meetsthedemandsor not.
5.5 Data combining and correction
In order to ensure the maintainability of ENC data,
weadopt layeredprocessingtechnology, whichclas-
sifies point object, lineobject and areaobject based
ondifferent characteristic of ENC data. For example
water depth, navigationmark, marks onthebank are
inductedaspoint object; andcoastline, depthcontour
andsubmarinecable, etc areinductedas lineobject;
land, islandandquay, etc. areinductedasareaobject.
Becauseof datathelayeredstructure, wecanintegrate
piecesof ENC dataeasily. Therearetwokindsof sit-
uations. Oneadds dataof additional map directly to
basemapdata, at thesametimeadjust thesheet data
of basemap, thus additional mapwill overlay onthe
base map. Second method is to integrate the index
number of layer dataof additional mapandlayer data
of basemapcorrespondingtotheindexof layers.
In order to maintain ENC dataand develop ENC
editorsystem, whenweeditpoint, lineandareaobject,
onlythemouseisneededtofinishadding, correcting,
deletingof thepoint collection, andtoedit attributes.
Several computers can work simultaneously on one
chat, and thegenerated dataareput together finally,
improvingtheefficiencyof makingENC data.
6 CONCLUSIONS
Navigational simulatoriswidelyappliedtoassessment
of navigationsafetyinharbourandwaterwaydesignat
present, buttheENCdataarethefundamental element
of thesimulation. TheENC dataproduced by above
described method can be applied to two-dimension
shiphandlingsimulationsystem. Meanwhile, it isthe
39
source of the simulation radar echo data and coast-
line, portbuildingandtopographyof three-dimension
visual systeminlargeshipsimulators. Inthisway, we
canmakeall datatotallyidentical, ensuringreliability
of thesimulationresult. Softwarehasbeendeveloped
toeditthechartdatawithgoodperformance.Thetech-
nologiesdevelopedinthispaper havebeenappliedto
morethan100practical projectsandsuccessful results
havebeenobtained.
REFERENCES
Guan, K.P. et al. 2005. Three-dimensional Vision Mod-
ellingfor Assessment of Navigational Safety inHarbour
and Waterway Design. J ournal of System Simulation.
18(Supp2):436440.
Hu, Q.Y. 1999. Application of Least SquareAlgorithmin
Process of DigitizingNautical Chart. J ournal of SSSRI.
22(2):135143.
IHO2000. IHOTransfer StandardFor Digital Hydrographic
Data[Edition3.1]. PublicationS-57. MONACO: Interna-
tional HydrographicBureau.
Qian, H.Z. 2003. A Study of Ship Manoeuvring Simula-
tor to DemonstratetheDesigns of Harbour andFairway.
Navigationof China. 54(1): 1822.
Shi,C.J.2004.ChartedDepthInterpolation:NeuronNetwork
Approaches. International J ournal of NavigationandPort
Research. 28(7):629634.
Zhang, Y.J. 2001. Mathematics and Algorithm basis of
ECDIS.Dalian: DalianMaritimeUniversityPress.
40
1.7
Studyonshippingsafetystrategybasedonaccident forecast model
X.Y. Meng,Y.M. Bai & X.J. Han
Dalian Maritime University, Dalian, China
ABSTRACT: Thefactorswhichwouldcauseshippingaccidentsareanalyzedindetail andamodel whichcan
forecastshippingaccidentsisstudiedinthispaper. Duringnavigation, all thefactorsareintegratedandcalculated
inthismodel whichthenestimateandspeculateontheriskdegreeof collisionfor theownship. Finally, therisk
level andthepossibility of shippingaccidents canbeforecastedinreal-time. Theproposedaccident forecast
model can estimatethepossibility of collision with other ships or objects in aspecific domain. Meanwhile,
theexternal environment suchasweather, stream, etc. istakenintoaccount inthemodel. Besides, thevalidity
of navigators orders can also beevaluated in themodel which consequently can forecast different kinds of
shippingaccidentseffectivelyinthat most of thefactorswhichcauseshippingaccidentshavebeeninvolvedin
theproposedmodel.Withtheaccidentforecastmodel, theshippingsafetywouldbeimprovedgreatly.A practical
exampledemonstratestheeffectivenessandsuperiorityof theproposedstrategy.
1 INTRODUCTION
Although modern watercrafts have been equipped
with advanced facilities, such as satellitenavigators,
anti-collisionradars, electronic charts, andautomatic
cabins, etc., the occurrence of shipping accidents is
still frequent. Therefore, the IMO organization and
many other organizations pay more attention to the
shippingsafety.AccordingtoIMOorganizationsanal-
ysis results, therearethreemainreasons resultingin
shippingaccidentsinrecent years:
thefailureof equipmentsonwatercrafts;
the influence of navigation environments and
conditions;
and, humanfactors.
Theproportionof thesethreefactors to thewhole
is shown in Fig. 1, fromwhich it can be seen that
uptoeightypercent of shippingaccidentsaredirectly
or indirectly causedby humanerror. Under thecom-
plicated circumstance, navigators lacking of watch
havepoor capabilityof dealingwithemergency, poor
Figure1. Theinfluencefactorsof shippingaccident.
qualitiesandlittlesenseof duty, aswell ascannotmas-
ter traffic rules ontheseawell. Hence, misoperation
will occur. In order to guarantee the safety of ship-
ping, weshouldpay moreattentiontohumanfactors
wherenotonlythequalityof navigatorsandtheir abil-
ity of dealing with emergency would be developed,
but also thelatest modern technology for prediction
of shippingaccidentsandblockingthewrongorder or
misoperationwouldbeadopted. Consequently, aship-
pingaccidentforecastmodel isdevelopedinthispaper.
Furthermore, amethodof theshippingaccident pre-
dictionandcontrol is studiedbasedontheproposed
model.
2 ANALYSISOF THE REASONSIN
SHIPPINGACCIDENTS
The shipping system is comprised of watercrafts,
human and the navigation circumstance. Due to the
particularity of carriers and conditions, the charac-
teristic of shipping systems which are complicated
41
systemsismulti-category, multi-layer, multi-attribute
and multi-rule. Shipping accidents can beclassified
intothefollowingtypes,collision,grounding,striking,
heavyweather, fire&explosion, foundering, missing,
andenginefailure, etc. Riskduringnavigationmainly
results from three factors: a) collisions with other
objects (static or moving), b) thechangeof external
environments(suchastyphoons, tidal waves, fogs, and
otherdisasters),andc)wrongorderssentbynavigators
(includingmisoperations). Thesethreefactors of the
systemalsohavemanycomponentswhichareshown
inFig. 1. Inrecent years, newchallengesencountered
inshippingsystemsaremainlyasfollows:
1) Withthetrendthatshipsbecomelarger andlarger,
aswell asmoreandmorerapid, theinertiaof aship
becomeslarger, andthereforeitismoredifficultto
manipulatetheship.
2) Withtheworldeconomyincorporatingandincreas-
ing,thequantityof shipsproliferates.Togetherwith
theprogress of ocean oil field exploring and sea
culture, the navigation density inshore becomes
higher. Hence, high risk would be taken when a
shipnavigatesintheinshoreareaor ondenselane.
3) The abnormal change of the weather such as
fogs and typhoons, etc., critically influences the
navigationcondition.
Inorder tocopewiththeseproblems, thetechnol-
ogy and techniques for shipping safety are required
to bestudiedanddevelopedurgently. Especially, the
human factor should behighlighted. In this paper, a
shippingaccidentforecastmodel isproposedtoavoid
andcontrol variousaccidents.
3 THE SHIPPINGACCIDENT FORECAST
MODEL
3.1 Structure of the model
Nowadays, therearemanykindsof modelsdescribing
theshipmotion.Amongthem,modelscorrelatedtothe
shippingsafety aremainly: 1) ODtraffic flowmodel
(Fuji J. et al. 1971), 2) ship field model (Davis P V.
et al. 1982, GoodwinE.M. 1975), and3) DCPA (dis-
tanceof closepoint of approaching) andTCPA (time
of closepointof approaching) model (ZhengZhongyi
et al. 2000). These models describe various charac-
teristics of the shipping safety fromdifferent points
of view. They havesomeadvantages andareapplied
to largescales of areas. However, they cannot essen-
tiallysolvetheproblemsof theshippingsafety. Inthis
paper, ashippingaccident forecast model whichinte-
grates each kind of factors influencing the shipping
safetyisproposed.Astheoutputof themodel, therisk
degreeis theconcept of thepossibility that accident
will occur.
The shipping accident forecast model can be
expressedasfollows:
where,
W(n) theoutput of theforecast model whichis
definedasriskdegree;
H
n
theevaluatedinfluencedegreeof navigation
environments;
U
T
theriskdegreeof collisionwithencountering
targets;
M
i,j
evaluationresultsof theoperationinstruction
(telegraphordersandrudder orders).
Theoutput of theaccident forecast model isdeter-
minedby threeitems whichcorrelates to threemain
aspects causing shipping accidents respectively. The
first iteminthemodel is U
T
(U
dT
, U
tT
), whichinter-
pretstheencounter probability andtherisk degreeof
collision.Theseconditemistheevaluationtothevalid-
ity of orders sent by navigators. Thethirditemis the
degreeof influenceontheshippingsafetywhileexter-
nal conditionsvary. TheoutputW(n)[0, 1] suggests
that the ship has no danger while W(n)=0 and the
shipisindangerwhileW(n),=0.Thelargertheoutput
W(n) is, thehigher theriskdegreeis.
The inputs of the model mainly come from the
scanning information of the ARPA, other naviga-
tionoperationinstructions, parametersof velocityand
course, and other related information fromsensors
(wind velocity and ship draft, etc.). Integrating this
information, the forecast model evaluates the risk
degreeinreal time.
3.2 Risk degree of collision
Theriskdegreeof collisionwithencounter targetsU
T
involves the space collision risk U
dT
and the time
collision risk U
tT
. The space collision risk mainly
includes the DCPA, ship fields, the fuzziness of
domainboundary, theorientationof encountertargets,
observationerrorsintheDCPA, etc. Accordingtothe
velocity and course of the own ship and encounter
objects, theshortestencounter distancebetweenthem
is DCPA=R
T
sin(
R
T
). After the safety
encounter domaind
1
andthesafety passingdistance
d
2
aredetermined, thefuzzyset U
dT
of thespacecol-
lisionrisk canbeobtained. Themembershipfunction
u
dT
of U
dT
isdefinedasfollows:
Thetimecollision risk mainly expresses therelative
velocity, distance, velocity ratio between two ships,
thelengthof ownship, andmaneuveringperformance,
etc. Accordingto therelationshipbetweenencounter
and movement of ships, theencounter timebetween
theownshipandtargetsisgivenby
42
After theextremetimet
1
for sending arudder order
and the time t
2
for ensuring the relative safety dis-
tancebetweentwoshipsaredetermined, theverifying
domain of TCPA is U
t
and thefuzzy set of thetime
collision risk is U
tT
, of which the corresponding
membershipfunctionu
tT
isdefinedasfollows:
Thecollisionriskbetweenshipsisthesynthesisof the
spacecollisionrisk andthetimecollisionrisk. Inthe
domainU, theshipcollisionrisk is aset of U
T
, and
wehave
Theabove-mentioned synthesis operator means
that,
Solongasu
dT
=0or u
iT
=0, wehaveu
T
=0. Oth-
erwise, if u
dT
,=0andu
iT
,=0, u
T
= max(u
dT
, u
iT
).
3.3 Determination of the impact item of
environment conditions
The navigation environment factors involve the
weather, hydrology andlaneconditions. For thesake
of simple computations, the environment influence
parameter H
n
(influence degree of navigation envi-
ronment) is mainly determined by thewind velocity
andthewinddirectionmeasuredbywindgauges, and
determinedby rockingparameters whicharederived
fromtheships draft of eachshipboard. Thefunction
isgivenby
wheref
n
isthewindvelocity, f
max
isthemaximal wind
power, l
n
is the rocking height, l
max
is the maximal
rockingheight. f
max
andl
max
canbeapproximatelyset
accordingtoactual navigationconditions.
Thevalueof H
n
[0, 1] is themaximumof
f
n
f
max n
and
l
n
l
max n
, whichmeansthattheworsetheenvironment
is, themorethevalueof H
n
iscloseto1. It isobvious
that the environment influence parameter H
n
makes
agreat impact ontheriskdegreeW(n).
3.4 Assessment of navigators orders
Mostshippingaccidentsarecausedbyimproperorders
sent by navigators. Hence, as thetermfor assessing
thevalidity of orders, M
i, j
isincludedintheforecast
model. Theprincipleof howtogetthevalueof M
i, j
is
showninFig. 2.
Figure2. Thechoiceof valueM
i, j
.
Figure3. Thenavigatingconditionof ownship.
Expert systemof the order assessment is stored
in thesystem. Each order sent by navigators will
be analyzed whether it is reasonable according
to basic operationrules andemergency operation
rules. If theorder violatestherules, thenM
i, j
=1.
Fig. 2The choice of the value M
i, j
output W(n)
equalstozero.
If theorder is evaluatedto bevalidby theexpert
system, theoutputW(n 1), whichistheoutputon
thetimeof n 1after theorder issent, shouldbe
calculatedandcomparedwiththeoutput W(n) on
thetimeof n. Thevarietyof W(n) will beobtained
through the function W =W(n 1)W(n).
If W ispositive, it impliesthat theriskdegreeis
increasing, thenM
i, j
=W. Otherwise, M
i, j
=0.
4 PRACTICAL EXAMPLE
A practical exampleof theshippingaccident forecast
model will beillustratedasfollows. A shipisnavigat-
ingwiththecourseof 60
andthevelocity of 14Kn,
asshowninFig. 3.
43
Table1. Themovingconditionof other shipsinthedomain
of theownship.
Object G
1
G
2
G
3
G
4
G
5
Course(C
0
) 120 136 36 24 30
Velocity(V) 16 11 10 14 12
Distance(D) 3.85 2.75 5.60 3.20 4.15
Angleof bow(Q) 335 010 035 065 121
Table2. Collision membership function between theown
shipandother shipsat themoment t
0
.
Object G
1
G
2
G
3
G
4
G
5
DCPA 1.188 1.732 0.947 1.339 1.676
TCPA 0.220 0.184 0.660 0.286 0.359
u
dT
0.018 0.078 0 0.437 0.206
u
tT
0.015 0.071 0.057 0.375 0.146
U
T
0.018 0.078 0 0.437 0.206
Inthedefinitedomain, theownshipmayencounter
withother fiveshipswhicharemarkedasG
1
, G
2
, G
3
,
G
4
andG
5
. Themovingconditionof shipsislistedin
Table1.
Here, DCPA, TCPA andthecollisionmembership
functionbetweentheownshipandother ships at the
moment t0 can be deduced, it is shown in Table 2,
fromwhichitcanbeseenthatthecollisionriskdegree
between the own ship and G
4
is the highest at the
moment t
0
, U
T
=0.437. Provided that H
n
=0 and
M
ij
=0, wehaveW(n)=0.437. Similarly, theoutput
W(n) of theforecastingmodel at thetimeof t
1
, t
2
, t
3
,
t
4
canbecalculatedrespectively.Accordingtotheout-
putof themodel, navigatorscantakeproper actionsto
avoidshippingaccidents.
5 CONCLUSIONS
A shipping accident forecast model is proposed
in this paper, and the method of the predicting
shippingaccident isdevelopedbasedonthecollision
risk degree, environmental influencecoefficient and
instructionassessmentcalculatedinreal-time.Thekey
technologyistheintegrationof relevantinformationof
theshippingsafetyandthecompositionof themodel.
Becausemanycomplicatedfactorsareinvolvedinthe
shippingsystem, therearestill somefactorswhichare
notconsideredinthispaper, tonameafew, evaluation
rulesof instructions, thereliabilityof theseascanning,
andtheinfluenceof visibilityonsea. Itisbelievedthat
withour tirelessly work andcontinuousdevelopment
of informationtechnology thecomplex shippingsys-
temcan bemodeled accurately to predict and avoid
shippingaccidents.
ACKNOWLEDGMENT
Thispaper issupportedby National Basic Research
Programof China (No.2008CB417215). TheProject
nameis Researchonmechanismof shippingsafety
andaccident-forecastingtheory.
REFERENCES
Colnill, R. D. & Wignall, D. & Dand I. 2004. The appli-
cation of marine risk simulation to the Nearcasting
andprentionof collisionincidents[C],vts 2004The 10th
International symposium on Vessel Traffic Services.
Davis, P V. & Dove, M.J. & Stockel C.T. 1982. A com-
puter simulationof multi-ShipEnocounters. The Journal
of navigation 35:347352.
Fuji, J. & TanakaK. 1971. Traffic capacity. The Journal of
navigation 24:543552.
Goodwin, E.M. 1975. A Statistical Study of ShipDomains.
The Journal of navigation 28: 329341.
Lewison, G.R.G. 1997. The Modelling of Marine Traffic
Flow and Potential Encounters. Proceedings of Inter-
national confereuce on Mathematical Aspects of Marine
Traffic pp.139London.
Rafal Szlapczynski 2006. A Unified Measure of Collision
Risk DerivedFromTheConcept of A ShipDomain. The
Journal of navigation 59:477490.
ZhengZhongyi &WuZhaolin2000.Shipcollisionavoidance
decision-making. Dalian: Dalian Maritime University.
44
1.8
Knowledgerepresentationinashipsnavigational decision
support system
Z. Pietrzykowski & J. Uriasz
ABSTRACT: Supporting the navigator in decision making processes may substantially contribute to the
enhancement of thesafety in seatransport. Thenavigational decision support systemsupplements theexist-
ingrangeof equipmentandsystemsintendedfor sea-goingshipconduct. Oneof thebasictasksof suchsystems
isananalysisof anavigational situationandsolvingcollisionsituations. A well functioningnavigational deci-
sionsupportsystemshouldfeatureadecision-makers(navigators) knowledgerepresentation.Thisreferstoboth
explicitknowledge procedural, declarative, heuristic, andtacitknowledge empirical associations.Thearticle
presentsassumptionsof navigational knowledgebaseanditsrealizationinthepresentlydesignednavigational
decisionsupport system.
1 NAVIGATIONAL KNOWLEDGE
1.1 Definitions
Thereis no consistent definition of both knowledge
ingeneral andnavigational knowledge. It isassumed
that knowledgeis thetotal information about reality
andthecapabilitytouseit.
Intuitively, knowledge is understood as the abil-
itytobehaveincompliancewithparticular standards,
norms, regulationsandgoodseapractice.
Navigational knowledge,inturn,istobeunderstood
asasetof data, facts, rules, procedures, strategiesand
theoriescombinedwiththecapabilityof theirinterpre-
tationandreasoning(Uriasz, 2008). This knowledge
allowsthenavigator tofulfill thebasictaskof marine
navigation, namely safe conduct of a ship fromone
pointtoanotherinanysituation.Thisrequirementalso
applieswhenthenavigatorsinformationisincomplete
or unreliable.
1.2 Formal requirements
Navigational knowledgeandassociatedcompetences
arebenchmarkedandformallyconfirmedwithIMO-
approved certificates. The International Maritime
Organization, aiming at the global assurance of the
safety of navigation, sets forth minimumstandards
of professional competencies. Thesearecontainedin
the STCW Convention and the relevant Code and
constitutepreciserequirements for thecompetencies
including the real knowledge and skills of seafarers
andtheir task performance. TheConventionindetail
defines certain areas of knowledge, methods of its
demonstrationandassessment. Theprovisions of the
Conventionareperiodicallyrevisedandupdated.
Thedefinedareasof navigatorscompetenciesmake
upaformal descriptionthat contains informationon
the knowledge and its scope, its practical use and
methods of performingcertaintasks andmethods of
assessment.
1.3 Scope
Navigational knowledgecanbeconsideredfromtwo
perspectives: competenciesandtasks.
The former refers to the range of knowledge for
three levels as specified by the STCW Convention:
management, operational and support. The Conven-
tion itself, defining minimumcompetencestandards
for performing various navigational tasks, specifies
knowledgestandardsfor sevenfunctions.Theseareas
follows:
navigation,
cargohandlingandstowage,
controlling theoperation of theship and carefor
personsonboard),
marineengineering,
electrical, electronicandcontrol engineering,
maintenanceandrepair,
radiocommunication.
Theminimumscopesof knowledgearethusdefined
asnecessaryfor theperformanceof thesefunctions.
Thelatter perspective task-based simplyresults
fromtheoverall transport objective: carriageof cargo
andpeople(voyageplanning, loading, passagetothe
destination,unloading).Toexecutetheabovetasksone
needs formalized i.e. acquired knowledge (defined,
recognizedfacts,relationships,interrelationsetc.)and,
the most important, empirical association, that is
45
knowledgeacquiredthroughpracticeandprofessional
experience.
2 SYSTEM OF NAVIGATIONAL DECISION
SUPPORT
2.1 Assumptions
The determination of navigators competencies is
strictly related with theassuranceof minimumlevel
of safety in shipping. However, satisfaction of these
requirements does not eliminate the most common
cause of marine accidents human error. The con-
structionof decisionsupportsystemsbroadensoppor-
tunitiesfor thereductionof sucherrors. Apart froma
proper situationdisplay, thefunctionof decisionsup-
port systems is to automatically analyze and assess
a situation and to work out (generate) manoeuvres
recommendedto thenavigator for performance. One
such solution comes from the Maritime University
of Szczecin, where a navigational decision support
systemisbeingdeveloped(Pietrzykowski etal. 2007).
The basic tasks for the system being designed
include:
automatic acquisition and distribution of naviga-
tional information,
analysis of anavigational situationandavoidance
of collisionsituations,
interactionwiththenavigator.
Thesystemshouldallowfor thefollowingtasks:
signalingdangeroussituationsandthepresentlevel
of navigational safetybasedonthecriteriausedby
expert navigators,
automatic determinationof oneor moremanoeu-
vresandtrajectoriesof shipmovement incollision
situations,
possibility of explaining (justifying) of the pro-
posedmanoeuvre,
display of a navigational situation clear for the
navigator.
The navigational decision support system is
intended as supplementary to theconventional ship-
boardequipment. Itscorrectoperationdependsonthe
compatibility with ships devices and systems. The
standardshipequipment includes: log, gyrocompass,
radar, echosounder, ARPA (Automatic Radar Plotting
Aids), GNSS (Global Navigational Satellite System),
e.g. GPS(Global Positioning System), DGPS(Differ-
ential Global Positioning System), AIS (Automatic
Identification System), ECDIS(Electronic Chart Dis-
play and Information System), GMDSS (Global
Maritime Distress and Safety System).
Thereshouldbeapossibilityof addingnavigational
information fromother sources, such as the Vessel
TrafficService(VTS).
The idea of constructing a navigational decision
support system goes in line with current direc-
tionsof developmentsinmarinenavigation, including
e-navigation. As put in (IMO, NAV 53/13, 2007)
E-navigation is the harmonized collection, integra-
tion, exchange, presentationandanalysisof maritime
informationonboardandashoreby electronic means
to enhanceberthto berthnavigationandrelatedser-
vices, for safety andsecurity at seaandprotectionof
themarineenvironment.Therefore, navigational sys-
temof decision support will be a component of an
e-navigationsystem.
2.2 System architecture
Thesystemunder designisoneoperatinginreal time.
Itstasksincludeobservationof theshipandtheenvi-
ronment, registrationof navigational information, its
selection, retrieval, verification and processing. The
navigatorwill bepresentedwiththeoutcomeof system
processing informationsuchtheidentificationand
assessment of anavigational situationandsuggested
solutions(decisions) providingfor safenavigation.
Thesystems general architectureis showninFig-
ure1(Pietrzykowski et al. 2008).
For theimplementation of thetasks mentioned in
section2.1. Weneedto usetheknowledgeof expert
navigators.
2.3 Object of implementation
The system prototype is being tested onboard the
research/training vessel Nawigator XXI, operated by
theMaritimeUniversityof Szczecin. Itsbasicparam-
etersareasfollows:
lengthoverall 60.21m,
beam 10.50m,
draft 3.15m,
servicespeed 13knots.
The vessel has the following navigational equip-
ment andsystems:
GPS:
CSI MiniMax(DGPS),
KodenKGP-913D,
TrimbleNT200D(DGPS),
Figure1. Architectureof thenavigational support system
onaseagoingvessel.
46
gyro: Anschutz STD22,
AIS: Nauticast X-PackDS,
radar/ARPA:
J MA 5300,
KelvinHughesNINAS9000,
ECDIS: -AGNeovo,
echosounder: -Skipper GDS101,
log: SperrySRD-421S.
The ships equipment provides navigational data
neededby thenavigator to maketheright decisions.
The data, after integration, make up a basis for the
decision support systemoperation, i.e. analysis and
assessmentof anavigational situationandthesugges-
tion which collision avoiding manoeuvre should be
performed.
3 KNOWLEDGE INTHE NAVIGATIONAL
DECISIONSUPPORT SYSTEM
3.1 Types and scope of knowledge
Therequirementsfor thescopeof navigators knowl-
edge comprise procedural knowledge procedures
formulatedby experts anddeclarativeknowledge
of descriptivenature, coveringsetsof facts, statements
andrules.
Procedural knowledge, referring to the principles
of behaviour, ismainlycontainedinall kindsof rules
andregulations.
Declarativeknowledge, acquired by navigators in
thecourseof studies, training courses and on board
shipservice, isrelatedwithbothanalysisandassess-
ment of situations and the principles of navigators
behavior.
Bothprocedural anddeclarativeknowledgeisbased
ontheoriesof variousfieldsandscientificdisciplines,
navigationinparticular.
Taking thesystemassumptions into account (sec-
tion 2.1) as well as knowledge standards which are
to befulfilledfor various functions to beperformed,
asdefinedunder theSTCWConvention(section1.3),
wedecidedtolimittheknowledgeimplementedinthe
systemtothefunctionof navigation(problem1). This
knowledgeincludestwobasiclayers:
1) planningof avoyageroutebasedonshipowners
shipping-relateddecisions weather routing,
2) shipmovementcontrol accountingforthemonitor-
ingof thesafetyof navigation:
determination of safe course and speed for a
present navigational situation bearing in mind
thegoalsdefinedinlayer 1,
performanceof manoeuvres rudderandengine
settings according to thedetermined values of
thecourseandspeed.
The planning of voyage route is aimed at meet-
ing shipowners goals. Such planning has to take
intoconsiderationthepresent andforecast hydrologi-
cal andmeteorological conditions (access to weather
information) andtheknowledgeinthisrespect. Also,
theplanningprocessistime-consumingasit requires
alotof calculations.Althoughitcanbedoneonboard,
thetaskisoftenorderedtospecializedland-basedcen-
tres. Therefore, we assumed that the planning task
will be taken into consideration in further stages
of development of thenavigational decision support
system.
Safeconduct of avessel followingthedetermined
valuesof courseandspeedinagivennavigational sit-
uationistheprocessthat may bedividedintoseveral
phases:
1) vessel detectionandidentification,
2) analysisandassessment of thesituation,
3) defining the method of solving a collision
situation choice of a preventive manoeuvre
(manoeuvresof courseand/or speedalteration),
4) determinationof manoeuvreparameters, including
themoment tostart,
5) performance of a preventive (collision avoiding)
manoeuvre,
6) monitoringof theshipconduct process.
Theexecutionof thephasesbyanavigator requires
that s/hehasprocedural anddeclarativeknowledgeas
well as theknowledgeresultingfromthetheories of
scientific disciplines and fields making up theprin-
ciples of navigation. The knowledge represented in
thedecision support systemshould assurethat each
stage of safe ship conduct is adequately performed.
The implementation of this knowledge requires that
itssources, methodsof acquisition, representationand
usearedefined.
3.2 Sources of knowledge and methods of its
acquisition
Sources of knowledge for a decision support sys-
temarescientifictheoriesanddeclarativeknowledge
acquiredbynavigatorsduringtheir studies, additional
courses and sea service. These make up a basis for
systematic principles of behaviour developed in the
formof regulations, recommendationsandprocedures
(procedural knowledge).
Procedural knowledge is particularly useful for
suchaimasknowledgeimplementationinthedecision
support system(Pietrzykowski, 2004). Supplemented
with methods, tools and techniques offered by sci-
entific theories covering such areas as navigation,
mechanics, hydrodynamics and control, it enables
making right decisions to assure the safety of nav-
igation. However, the complex character of systems
and real processes and inaccuracies or imprecisions
in their description make it necessary to take into
consideration the knowledge resulting fromnaviga-
torsexperience(declarativeknowledge). Itmostlyhas
adescriptivenatureandisoftenexpressedthroughsets
of facts(premisesandimplications). Inthisapproach
theknowledgecomesfromexpert navigators.
Procedural knowledge, amongothers, iscontained
inofficial regulations, suchas theCollisionRegula-
tionsorlocal regulations inmanycasesthesearevery
general andtheir scopeof interpretationcanbewide
47
indeed.A valuablesourceof thisknowledgearehand-
books onseamanshipor thetheory of shiphandling,
including information, recommendations and proce-
duresaswell asinterpretationof regulationsprepared
onthebasisof longtimeseaserviceof mariners.
Navigators declarativeknowledgeismoredifficult
to be put into a formal framework. Its main source
are facts relating to a specific issue. Such facts are
obtainedbyavarietyof researchmethods:
fieldstudies:
observations(passive)
experiments(active)
model-basedresearch:
physical (basedonmaterial models),
mathematical.
Model-based research is particularly useful when
combined with computer-aided simulation methods.
Theadvantageof suchresearchis dueto difficulties
of real fieldstudies: highcosts, limitedpossibility of
registration of varied situations, whilein thecaseof
newprojectsthereisnosuchpossibilityat all.
In knowledge acquisition, expert studies are an
important option. Expert studiescanbeperformedin
theformof questionnairesor simulationswithexperts
asparticipants.
The above mentioned methods have to be sup-
plemented with analytical, statistical and artificial
intelligencemethodsthat areneededtoidentify rela-
tionships anddependencies in sets of facts collected
by the methods in question. For this reason, artifi-
cial intelligencemethods, toolsandtechniquesareof
particular interest: machinelearning, artificial neural
networks, fuzzy systems or evolutionary algorithms.
Thesetechniquesallowstowork out arepresentation
of knowledgeinthedecisionsupport system: directly
(e.g. machinelearning, artificial neural networks) or
indirectly(fuzzysystems, evolutionaryalgorithms).
Various types of knowledge and the complexity
of problems connected with its acquisition make it
necessarytouseagroupor groupsof methods.
The following sources and/or methods have been
defined for each phase of safe vessel conduct (see
section3.2):
1) detectionandidentificationof avessel (including
parametersof itsmovement):
analytical methods (verification, selection and
integrationof navigational data),
artificial intelligencemethods(estimationof the
statevector of another vessel)
2) situationanalysisandassessment:
analytical methods (algorithmization of COL-
REGs)
analytical methods closest point of approach
(CPA) andtimetoCPA
expert methods questionnaires, andstatistical
methods(situationassessment criteria)
simulation methods with experts participation
and statistical methods (situation assessment
criteria)
3) pointing out the method for collision situation
avoidance choiceof apreventivemanoeuvre;
analytical methods (algorithmization of COL-
REGs, classical optimizationalgorithms)
artificial intelligence methods (fuzzy systems,
geneticalgorithms);
4) determinationof manoeuvreparameters
analytical methods (classical computational
algorithms, includingoptimizationalgorithms)
artificial intelligence methods (fuzzy systems,
geneticalgorithms)
5) performance of a preventive (anti-collision)
manoeuvre
analytical methods (classical control algo-
rithms)
artificial intelligencemethods(fuzzysystems)
6) monitoringof shipconduct process:
analytical methods (prediction of vessel
movement).
The use of the above methods allows to acquire
and implement (representation and use) of naviga-
tors knowledgeinthedecisionsupportsystemforsafe
vessel conduct.
4 REPRESENTATIONANDUSE OF
KNOWLEDGE INTHE DECISION
SUPPORT SYSTEM
4.1 Knowledge representation
Theacquiredknowledgeshouldberecordedinforms
suitable to its purpose or method of utilization. The
followingmethodsof representationcanbeapplied:
Database structures. Databases allow to gather
setsof dataandtorecordtheminaspecifiedmanner
for the adopted model. They enable efficient edi-
tion of data, their updating, archiving and further
processing. Database applications in navigation get
increasingly wider as information technologies are
constantlybeingadvanced. OnesuchexampleisVDR,
voyagedatarecording.Variousfactsof agivenvoyage
may be used in the process of knowledge supple-
menting (situations and manoeuvres performed by
navigators). Another example is the conception of
WEND Worldwide Electronic Navigational Chart
Database(Hecht, 2007).
Theelectronicnavigational chartrepresentsabasic
sourceof knowledgeonagivenwater areaandessen-
tially complements the navigators knowledge. Its
databaseformenablesachoiceof theappropriatelay-
ers of vector data for the execution of navigational
tasks(see3.1)
Rules and decision trees. Rules represent the
knowledgedefiningtheconditionsfor assigningreg-
istered facts to distinguished classes: they define
premises,implicationsandconclusions.Decisiontrees
executeasimilar task. Theyenablesolvingaclassifi-
cationproblemfor twoor moreclasses.
Both rules and decision trees constitute such a
formof knowledgethatiswell implementedinexpert
48
systems. Decisiontreesallowtodescribethedecision
process reasoning.
Decision tables. Another useful formof record-
ingknowledgeisitsrepresentationaslogical decision
tables. Thetablecontains adescriptionof adecision
situation (DS), which is defined as a set of ordered
threes:
where,
U
dz
set of possibleactions,
H set of possibleresultsof actions,
f
u
utilityfunctiondefinedontheCartesianproduct.
Inmarinenavigationitisjustifiedtousethismethod
of knowledge representation, as it enables not only
foreseeingtheresultsof aparticular decisionbutalso,
more importantly, adjusting the right actions to the
plannedresult.
Neural networks. These are mathematical struc-
turesabletoprocesssignals. Their operationisbased
onthereproductionof processestakingplaceinbrains
of livingorganisms. Intheconstructionof aneural net-
work, onehastodefinethenetworkstructure, thento
carryout thelearningprocessresultinginthecorrect
operation of the network, with a maximumadopted
error.Neural networksfindapplicationsinapproxima-
tionproblems, imagerecognition, forecasts, selection,
optimizationetc.
Algorithms. An algorithm is a convenient and
clear-cut method of knowledgerecording. In fact, it
isadetailedprocedurefor solvingaproblem. Recur-
rent algorithmsinparticular arevery closetonatural
behaviour of thehumanbeingby allowingtopresent
part of aprobleminsteadof thewhole. Wheninoper-
ation, thealgorithmrefers toitself until asolutionto
theproblemis reached. Most problems innavigation
are solved in a recurrent method, e.g. voyage plan-
ningandpassage, planningandperformanceof aSAR
operation, vessel detection and identification. Typi-
cal computational algorithms, includingoptimization
algorithms, are an important group. They represent
theoretical knowledge that allows to solve specific
computation problems, e.g. determination of ships
encounter parametersor parametersfor performinga
manoeuvre.
4.2 Utilization of knowledge in the decision
support system
The systemsupporting navigators decisions has to
havetheright scopeof knowledgeindispensablefor
itsfunctioning.Theknowledgerecordedinthesystem
will berepresentedinformsmentionedinsection4.1;
theseareinparticular:
database structures in this form the system
includesnavigational cartographicinformation.The
information,satisfyingIHOstandards,will makeup
abasisfor presentingcurrentnavigational informa-
tion.All manoeuvrerecommendationswill account
for thevicinityof dangerstonavigation.
rules and decision trees thenavigator keeping a
navigational watchdoes anumber of actions: car-
riesout observations, assessespresent navigational
situations, plansandperformsmanoeuvres. During
theseactionsthenavigatorhastoclassifysurround-
ingconditionsandencountersituationsbyassigning
themto various groups, which imply theapplica-
tion of different rules provided by internationally
recognizedcollisionregulations (COLREGs). The
classification rules principles used for this pur-
pose in decision support systems may provide a
relevant classification as well as contributeto the
development of comparablecriteriafor classifica-
tionusedbynavigators. Thisreferstospecial cases
when theclassification is based on incompleteor
inaccurateinformation.
decisiontables suchrecordof knowledgewill con-
taininformationonmanoeuvres their parameters,
startingmoment andeffects. Thenavigator will be
left to decide on which manoeuvre to choose (its
typeandparameters).
neural network this will beused for theassess-
ment of navigational safety in an encounter with
othervessels;suchassessmentwill takeintoaccount
theparametersof vesselsencountered. It allowsto
determine an area around the ship that should be
maintained clear of other objects ship domain
(Pietrzykowski & Uriasz, 2009). Thenetwork will
also be used for the determination of collision
avoiding manoeuvres. As a universal approximat-
ingdevice, it will alsobeutilizedintheprocessof
statevector estimationof other vessels.
algorithms inthedecisionsupportsystem, among
others, theinterpretationof COLREGsispresented
in the formof an algorithm. Based on recurrent
algorithms, suchoperationsasvessel acquisitionor
informationdecodingisexecuted.Complexcompu-
tational algorithmshavebeenusedintheintegration
of navigational datafromvariousshipboarddevices
andsystems. Standardcomputational algorithmsas
well as complex optimization algorithms areused
for selectingmanoeuvresandtheir parameters.
5 CONCLUSIONS
As the types and scopes of navigators knowledge
andthemethodsof itsacquisitionandrepresentation
arevaried, different forms wereused for knowledge
implementationandutilizationinthedecisionsupport
system.
The created knowledge base has a distributed
nature. It includes theknowledgeusedineachstage
of theprocessof navigation, or shipconduct.
Thedecentralizedstructureof theknowledgebase
makepossiblebothsupplementsintermsof scopeand
representation forms. It can be complemented with
navigators knowledgeintheareaof voyageplanning,
49
andsubsequently, it maycover theother sixfunctions
(apart fromnavigation) specified in STCW compe-
tencestandardsfor enhancedperformanceof specific
tasks.
REFERENCES
Hecht H. I, inni: The WEND Concept for a Worldwide
ENC Database Past and Future?, The International
HydrographicReview, Vol 8, No2, 2007.
IMO, NAV 53/13. Developmentof anE-NavigationStrategy.
Reportof theCorrespondenceGrouponenavigation, sub-
mittedbytheUnitedKingdom. Sub-CommitteeonSafety
of Navigation, International Maritime Organization,
London, 20April 2007.
Pietrzykowski Z., Modeling of decision processes in sea-
going ship movement control, Maritime University of
Szczecin, SeriesStudyNo43, Szczecin2004.
Pietrzykowski Z., Chomski J., Magaj J., B ak A., Uriasz J.,
Aims and tasks of the navigational support systemon a sea
going vessel, AdvancedinTransport SystemsTelematics
2, Ed. J. Mikulski, PublisherFacultyof Transport, Silesian
University, Katowice2007.
Pietrzykowski Z., Magaj J., Chomski J., Model of navi-
gational decision support system on a sea-going ves-
sel, ScientificJ ournals, MaritimeUniversityof Szczecin
No13(85), Szczecin, 2008.
Pietrzykowski Z., Uriasz J., The ship domain a criterion
of navigational safety assessment in an open sea area,
J ournal of Navigation, Vol. 62, 2009.
Uriasz J., Navigational knowledge base, ScientificJ ournals,
Maritime University of Szczecin No13(85), Szczecin,
2008.
50
Chapter 2. Manouvering and ship-handling
simulation
2.1
Manoeuvringsimulationonthebridgefor predictingmotionof real ships
andastrainingtool inshiphandlingsimulators
K. Benedict, M. Kirchhoff, M. Gluch& S. Fischer
Hochschule Wismar University of Technology, Warnemnde, Germany
M. Baldauf
World Maritime University, Malm, Sweden
ABSTRACT: International seatransporthasgrowingrapidlyduringtheperiodof thelastdecade. Shipsbecame
larger andwider andits container capacity is still increasingto 12.000TEU andevenmore. To navigatesuch
vessels safely fromport to port and specifically within the ports more and more enhanced computer-based
systems are installed on the ships navigational bridges. Prediction tools are very helpful and already in use
onships for alongtime. However, thesimplificationof existingpredictions allows restricteduseonly anddo
not includetheimmediateresponseonchangesof rudder andengine. Withinthispaper investigationsintothe
feasibilityanduser acceptanceof newlydevelopedlayout of navigationdisplaywill beintroducedandselected
results of simulation studies testingtheinfluenceon manoeuvreperformancedependent on different kindof
predictionfunctionswill bediscussed. Exampleswill begivenfor resultsfromtesttrialsinthefull missionship
handling simulator of theMaritimeSimulation CentreWarnemundeand aconcept for theapplication of the
developedtoolsfor purposesof collisionavoidanceisdescribed.
1 INTRODUCTION
International sea transport has growing rapidly dur-
ingtheperiodof thelast decade. Shipsbecamelarger
andwider anditscontainer capacityisstill increasing
to12.000TEU andevenmore. Tonavigatesuchves-
sels safely fromport to port and specifically within
theports fromandto thededicatedberths moreand
moreenhancedcomputer-basedsystemsareinstalled
ontheships navigational bridgeto support thepilot,
themaster andhisnavigatingofficersaswell.
Investigationsareongoingtointegratefeaturesfor
new manoeuvring and steering equipment such as
azimuth propellers or waterjets and in parallel to
enhance the predictions of the complex own ship
motions taking into account the use of the controls
intime.
Prediction tools are very helpful and are already
in useon ships for along time, beginning with trial
modes in ARPA radars up to curved headline over-
lay in ECDIS. However, the simplification of these
predictionsallowsrestricteduseonly basedeither on
estimated future courses & tracks or on the simple
integration of the current ship motion not including
the immediate response on changes of rudder and
engine.
Newconceptsfor onboarddisplaysandsimulation
toolsweredevelopedinresearchprojectsfundedbythe
GermanFederal Ministry of EducationandResearch
together withpartners frommanufacturers likeSAM
ElectronicsHamburgandINTERSCHALT/AVECS.
A prediction tool was developed to simulate the
ships motion with complex dynamic models in fast
time and to display the ships track immediately for
the intended or actual rudder or engine manoeuvre.
Thesesimulations arebased on input fromtheships
actual sensorsviatheVoyageDataRecorder andfur-
thermore from diagnosis tools analysing the status
of themanoeuvringfacilities andprovidinginforma-
tionincaseof failures, e.g. reducedenginepower or
larger rudder responsetimeduetomalfunctionsof the
equipment.
Thistool canbeusedbothforreal shipsoperationon
boardbut alsofor theeffectivetraininginsimulators
becauseof itsuniqueadvantagethattheconsequences
of manoeuvringcommands canbeseenimmediately
beforetheshiphasevenchangedher motion.
Withinthispaper investigationsintothefeasibility
and user acceptanceof thenewlayout of navigation
displaywill beintroducedandselectedresultsof sim-
ulation studies testing the influence on manoeuvre
performance dependent on different kind of predic-
tion functions will be discussed. Examples will be
given for results fromtest trials in the full mission
ship handling simulator of the Maritime Simulation
CentreWarnemunde.
2 STATE OF THEART ANDNEWAPPROACH
Theroleof computer based simulation is increasing
ontheshipsbridge, especiallyformanoeuvreplanning
53
andfor collisionavoidance. Predictiontoolsarevery
helpful andalreadyinuseonshipsforalongtime.Well
knownisthesocalledTrial ManoeuvremodeinARPA
radarstobeusedinorder toanalysefutureencounter
situationfor selectedrelevant courseandspeedalter-
nativestodeckpotential collisionavoidancestrategies.
WiththeemergingElectronicsChart andInforma-
tion Systems ECDIS new tools were introduced for
supportingvoyageplanningbymeansof manoeuvring
characteristics. For controlling theship on her route
thefuturetrack of theshipwas shownas aso called
curvedheadline overlayinECDIS.
However, theses prediction are very simple only
basedeither onnewconstant courseandspeedvalues
as in theARPA trial function or on estimated future
courses & tracks based on thesimpleintegration of
thecurrent shipmotionparametersasrateof turnand
speedcomponentstobeconsideredasconstant.
The simplification of these predictions allows
restricted use only. That is why new concepts for
on board displays and simulation tools were devel-
opedusinganinnovativeapproachwhichincludesthe
immediateresponseonchangesof rudder andengine
commandsfor thedisplayof thefuturetrack.
Thisapproachwasinvestigatedinresearchprojects,
dedicated on the one hand to the further develop-
ment of user interfaces onships navigational bridges
andtoinvestigations intopotential improvements for
manoeuvringassistanceontheother hand.
A prediction tool was developed to simulate the
ships motion with complex dynamic models in fast
time and to display the ships track immediately for
the intended or actual rudder or engine manoeuvre
(Benedict, Baldauf etal 2007). Generallytherearetwo
areasof applicationof suchapredictiontool. Itcanbe
seenbothastrainingtool for shipmanoeuvresandto
beusedasassistancetool onboardvessels:
TrainingTool:Thepredictionof shipsmotionasan
immediateresponsecouldbeanexcellent method
to demonstrate the results of changes or alter-
natives of using manoeuvring control devices as
for instancepropellers, rudders or thrusters. This
is of increasing importance specifically for the
growing complexity of manoeuvring control sys-
temsstartingfromsimpleone-propellerandmiddle
rudder, viatwinpropellers withdoublerudder up
to new azimuth propellers which can be turned
by 360
(there are ships with even four of these

sophisticatedthrusters).
Assistance Tool: Predictions as elements of on
board displays can beused as in theloop control
elements tosteer theshipmanually but supported
bythefuturetrackorspeedindicationintheECDIS
interface.
Onecrucial problemfor thepredictionistheaccu-
racyof thesimulation.Inthementionedprojectsavery
sophisticatedapproachwasusedtorepresenttheships
dynamic by very extensiveequations very similar to
thoseusedinFull Missionshiphandlingsimulators.
The parameters of the equation of motion will be
Figure 1. Maritime Simulation Centre at Warnemuende
(MSCW) which comprises three interfaced simulator seg-
mentsfor shiphandling, shipengineandVTS.
estimatedbyanextrafasttimesimulationprogramand
adataanalyser already usedfor tuningof thehydro-
dynamicmodelsintheshiphandlingsimulator. These
methods will bedescribed in thefollowing chapters
and examples will begiven for results fromtest tri-
als inthefull missionshiphandlingsimulator of the
MaritimeSimulationCentreWarnemuendeupgraded
in2007/2008.
ThisSimulationCentreaccommodatessixsimula-
torsembracingacommonnetwork andcomprisedof
four ship-handlingbridgesystemswithdifferinglev-
els of equipment, aships enginesystemand aVTS
simulationfacility.
Theinteractionof manyof thesinglesimulatorsis
one of the unique features of the MSCW: they can
be interfaced to forma big scenario comprising all
simulators andconnectinge.g. thebigbridge1with
thefull missionenginesimulator. (Benedict 2000).
3 APPROACHFOR PREDICTIONTOOL
3.1 Ship dynamic model and technological setup
Thefollowing equation of motion was used as math
model for theshipsdynamic:
54
Figure2. In-/Outputconceptforpredictionprocessanddata
flow.
Ontheright sidearetheeffectsof inertiawhereu
andvrepresent thespeedcomponentsinlongitudinal
andtransversedirectionxandy, r istherateof turnof
theship. Theships mass is mandx
G
is thedistance
of centreof gravityfromtheoriginof theco-ordinate
system, I
z
isthemoment of inertiaaroundthez-axis.
Theshipshull forcesX andY aswell astheyawing
momentNaroundthez-axisareontheleftside. Their
dimensionless coefficients are normally represented
by polynomials based on dimensionless parameters,
for instance in the equation for transverse forceY
and yaw moment N given as thesumof terms with
linear components Nr, Nv, Yr andYv and additional
non-linear terms. Other forces as for instancerudder
forcesandwindforcesareexpressedaslookuptables.
Thereareadditional equations for theenginemodel,
where are also look up tables to represent automa-
tion systems characteristics. The solution of this set
of differential equations is calculated every second;
someinternal calculations areevendonewithhigher
frequency.
TheInput output relations areshown in Figure2.
Theinputsconsist of controls, thestatesandthedata
fortheenvironmental conditionsinthethreeblockson
theleft side. ThecoremoduleSimulation/Prediction
is in the centre of the figure. Additionally there is
aninput of theShips conditionparameters. They are
normallyfixedbutincaseof malfunctionstheymight
change, e.g. reducingtherudder turningrateor maxi-
mumangle. TheresultsfromtheSimulationblockare
transferredtobedisplayedinECDISor Radar.
In Figure 3 the more technological setup of the
structureof modulesisdescribed.A commercial IMO-
provenVoyageDataRecorder (VDR) playstheroleof
datacollector for thecontrols, statesandenvironmen-
tal parametersmeasuredbytheshipsensors.
After pre-processing the data will be stored in
SharedMemory1, together withtheconditionparam-
eters which will beprovided by adiagnosis system.
Thissystemcontinuouslycheckstheshipsandengine
conditions. Fromthis memory thedataareavailable
for other modules:
The Simulation Prediction Module uses the data
fromSharedMemory 1to predict theships track
Figure3. Modules& datasourcesandsinks.
Figure 4. Layout concept for manoeuvring prediction in
ECDIS.
andspeedfor acertaintimeperiod. Theresultsare
sent toSharedMemory2.
ThePresentationModuleusesthedatabothtodis-
play theactual positionandfromSharedMemory
2todisplaythefuturetrack.
ThePredictionparametersarecontrolledbyanuser
interfaceintegratedinthePresentationmodulewith
regardtopredictingcycleandlengthof track.
3.2 Presentation of dynamic predictions in ECDIS
environment
For acompact presentationof informationtothecap-
tain, pilot and responsiblenavigating officer respec-
tivelyanewlayout of aconningdisplaywasdesigned
and implemented into theequipment installed on an
integratednavigationsystem. Thedisplaylayout con-
tainsanoverlayof ECDISandCONNINGinformation
together withtheprediction(figure4).
In the centre the ECDIS information in Head up
Modetogetherwithmotionparameterforlongitudinal
speed(10.1.knandtransversespeed(0.1kn) aswell as
acirclesegmentwiththerateof turntoSTB((4.0
/min)
isshown. Theshipspositionisdisplayedinthecentre
55
Figure5. Comparisonof methodsbasedondifferenttracks.
of theECDIS as ships contour wherethetrack pre-
diction can beindicated as curved track or as chain
of contoursfor theselectedpredictiontime. Thepre-
dictionparametersasrangeor interval of presentation
canbeset inthecontrol windowat theright side.
Thepredictedtrack for thesimplifiedpredictionis
shownasredcurve(hereshowninblacktostarboard):
According to theactual rateof turn to starboard the
conventionallypredictedtrackispresentedasacircle
segmenttotherightsideastrackfor thetimerangeof
5minwithaspeedof 10.1kn.
The dynamic prediction with the full simulation
model isshownasbluecurve(hereshowninblackto
port). This dynamic predictionreflects thesettingof
rudder andpropeller parametersshownintheleftbot-
tomwindow: Thetworuddersof theferryusedinthis
examplearesetto14
PortandtheEngineOrderTele-
graphfor thetwocontrollablepitchpropellersareset
to100%representing159.8rpmof thepropeller. The
actual pitchstatusis53and54respectively.Thisinter-
faceallowsfor apresentationof dynamicpredictions
of steeringandstoppingcharacteristicsasanimmedi-
ateresponseaccordingtothecurrent steeringhandle
or engineorder telegraphposition.
3.3 Investigations into the effects of predictions
on ship handling
For thepurposeof testingthepotential effectsof such
enhanced prediction tool it was implemented in the
INS equipment of the large full mission simulator
bridgeof theShiphandlingsimulator of MSCW.
For trials to test the effects of such a tool on the
navigatorsbehaviour asampleof aPanMaxcontainer
vessel withLoa=294m, Boa=32,2m, Draft=12m
and aDisplacement of 74.000 t is used in thesimu-
lation experiment. The container vessel is equipped
with one fixed propeller and one balanced rudder
Figure 6. Sample of a result from experimental trial to
investigateeffectsof predictionstool.
blade. Additionally onebowthrustersisavailablefor
manoeuvringtheship.
A firstbasictestscenariowasdevelopedandimple-
mented. Thetask istosteer avessel fromaberthinto
afairwaytoleaveaharbour area. Thescenarioisused
for trials withparticipants who arenot familiar with
theselectedship. Thetasktobeperformedistosafely
manoeuvretheshipintothefairway. Eachparticipant
startedwithatrial to becomefamiliar withtheships
behaviour andwithout usingthepredictiontool. The
secondrunof thetest containsthesametaskbut were
performedinanotherareaof theport.Anexampleof a
trial usingthepredictiontool isgiveninthefollowing
figure.
After the first series of simulation runs there are
alreadysometendenciesregardingtheeffectsthatcan
clearlybeidentified.
There are successful manoeuvres, when the pre-
dictor was used; even if the test person has no
experiencesfor thespecificshipandthearea.
The execution time for the manoeuvre is smaller
whenthepredictor isused.
The number of orders (for engine, thrusters and
rudder) decreaseswiththeuseof thepredictor.
Toproof thesetendenciesthetrialswill becontin-
uedwithcadetsduringthenext semesters. Thenmore
detailed investigations with more detailed statistical
analysiswill beperformed.
4 APPLICATIONOF THE PREDICTION
MODULESFOR ONBOARDCOLLISION
AVOIDANCE
The prediction algorithmand the technical setup is
planned to support pilots, captains and navigating
officers when manoeuvring aship in narrowwaters,
moreover it alsomay beappliedfor theimprovement
of the on board collision avoidance process. There
are ongoing investigations to enhance the existing
collision warnings by using predicted manoeuvring
characteristic datafor adaptationof alarmthresholds
in contrary to conventional CPA/TCPA calculations
56
andfixedlimitvaluestobeappliedtoeveryencounter
situation without any distinction of the prevailing
circumstancesof theencounters.
Coreelementof thisnewapproachistheriskmodel
for situationassessment (Hilgert, Baldauf 1996) dif-
feringbetweenthethreetypesof encounter situations
and additionally taking into account the two condi-
tions of visibility as laid down in the International
Rules for Preventing Collisions at Sea as well. Fur-
thermoretheconceptisalsoappliedtothenewIMOs
definitiongiveninthenewperformancestandardsfor
INS(IMO, (2007) andallowsforintroducingsituation
dependentcollisionalertcategories"Caution","Warn-
ing" and"Alarm" aswell. Cautionsandwarningsmay
beswitchedoff bytheoperator, but alarmsmaynot.
For self adaptation of thresholds different CPA
limits are foreseen, which will be set automatically
accordingtothehydrodynamic safepassingdistance
related to the dimensions of the involved ships, the
actual seaareaandvisibilityconditionsaswell.
As suggestion for initial basic values CPA limits
weredeterminedby detailedfieldstudy. To ensurea
widerangeof user acceptanceoneemphasiswaslaid
onthenavigators behaviour andtakeninto account.
Fromthepointof viewof well experiencednavigators
itisrathermorepractical todeterminethesafepassing
distancewithrespect to usual data. Under pragmatic
aspectsandaccordingtotheinvestigationsperformed
it canbeassumedthat thenominal safepassingdis-
tance have to be in relation to the ships length of
thelargest vessel L
max
involved in an encounter sit-
uation(L
max
shouldnotbelessthan1cbl).Takinginto
account thedifferent types of encounter situations as
defined in the COLREGs a factor "f
x
" is necessary
whichdependsonthekindof situation"x" andthecan
bedeterminedby
The values, given in Table 1, are derived from
several investigations (see i.a. Baldauf (2004)) and
are suggested for the four main types of encounter
situations.
These values were proved by simulation studies
and are valid under the conditions "open sea" for
good(column2) andrestrictedvisibility (column3).
Table 1. Recommendation for basic values to calculate
situationdependent threshold.
f
x
f
x
Kindof encounter (good (restricted
situation visibility) visibility)
Head-onsituation 2.5 5
Meetingport/port-side
Overtaking 2.5 5
Head-onsituation 5 10
Meetingstb/stb
Crossingsituation 5 10
Thesevalueshavetobeappliedtotheactual encounter
situations.
With respect to the technical setup for predic-
tions described above manoeuvring data, especially
theresponsetimeforapotential coursechangeof 90
,
may betakenfromextractedprocessedVDR record-
ings and used for automatic adaptation of theTCPA
relatedlimitsof thedangeroustargetalarms, either by
taking themdirectly froma database or by calcula-
tions using the fast time simulation algorithms. The
responsetimefor turningmanoeuvreis afundamen-
tal valuetoavoidacollision. Suchresponsetimesare
onlyavailabletocaptainsonboardfor somestandard
manoeuvresunderselectedenvironmental andloading
conditionsaswell andtheyareusuallyneither exactly
knownnor applicabletotheprevailingcircumstances
of aconcretedangeroussituationtobesolved.A sam-
pleof astandardsetof responsetimesforausual sized
5.000TEUscontainer vessel isgiveninTable2.
Asstatedbefore, whenapplyingthedraftedconcept
for situationdependent alarmthresholdsthosevalues
should bedetermined by means of themanoeuvring
prediction module. Theprincipal applications struc-
tureandtherelevantdataflowsaregiveninthefigure
below.
Table2. Responsetimesfor turningmanoeuvredepending
onownshipsspeedandrudder angles.
Own Timefor course Covered
speed Rudder alterationof distancet
90
(kt) angle(
) 90
t
90
(min) d
OS
(nm)
24 Harda- 2:25min 0,97
starboard
24 Starboard 3:51min 1,54
15
20
15
Figure7. Principal applicationstructureanddataflowfor
self-adaptationof thresholdsfor collisionalerts.
57
First studies applying the situation dependent
thresholds for detection of dangerous encounter sit-
uationsinoverall trafficscenariosinseaareasoff the
coast monitoredbyVTSresultedinareductionof the
number of collisionalertsby40%.
5 SUMMARY
A prototypesoftwaremodulefor anOn-lineManoeu-
vringAssistance is developed based on a prediction
tool usingadvancedsimulationtechnologyonboardof
ships.Theresultsof rudderandenginecontrol changes
will beimmediately displayedinanElectronic chart
environment to beused for manual correcting steer-
ingactions. Thesystemwastestedusingtheexcellent
resources for research and development of theMar-
itimeSimulationCentreWarnemundeandcanbeused
alsoas atrainingtool instudent courses. Duringtest
trials several manoeuvring situations were managed
withanincreasedperformancewhenusingthepredic-
tiontool. A conceptfor theapplicationof thetoolsfor
purposesof collisionavoidanceisdevelopedinorder
toreducethenumber of alarms.
ACKNOWLEDGEMENTS
The research results presented in this paper were
partly achieved in the research project Condition-
basednavigational displays(ZUMANZ) belongingto
theMaritimeSafety AssistanceRostock consortia
fundedbytheGermanFederal Ministryof Education
andResearchandsurveyedbyResearchCentreJ lich
aswell asundertheEuropeanMarNISproject, funded
bytheEuropeanCommission, Departmentfor Energy
andTransport.
REFERENCES
Benedict, Kirchhoff, Baldauf, Gluch, Fischer, KO (2007),
ConceptforOn-boardPredictionDisplaysbasedonactual
ShipConditionandManoeuvringSimulationfor Naviga-
tionandShiphandling. Paper at IMSF Conference2007,
August 20242007Busan/Korea
Baldauf, M.; Benedict, K.; Fischer, S.; Gluch, M.;, Kirchhoff,
M.: DE (2007) NavigationDisplaysfor Shipswithsimu-
lationbasedPredictions. (German) inRttingetal (Eds.):
ProspektiveGestaltungvonMensch-Technik-Interaktion.
Fortschr.-Ber. VDI Reihe 22 Nr. 25, Dsseldorf: VDI-
Verlag2007, ISBN978-3-18-302522-0
Baldauf, Benedict, Wilske, Grundevik, Klepsvik, POL
(2007), Combination of Navigational Equipment and
VDR BasedInformationtoEnhanceAlert Management.
inWeintrit, A. (Ed.): AdvancesinMarineNavigationand
Safety of Transportation. Monograph Gdynia Maritime
University (Poland) and The Nautical Institute London
(UK), Gdynia, J une2007, ISBN978-83-7421-018-8
Baldauf, M. (2004), Enhanced Warning Functions for on
boardCollisionAvoidanceusingAIS andVDR informa-
tion,In:R.Dauer,A.delaPena,J.Puig(eds):International
Congress on Maritime Technological Innovations and
Research Proceedings. SCI UPC, Barcelona, ISBN
84-7653-861-8
Oltmann, J P(2003), Identificationof HydrodynamicDamp-
ing Derivatives a Pragmatic Approach, MARSIM
International ConferenceonMarineSimulationandShip
Manoeuvrability, Kanazawa, J apan, August 25th28th
Benedict, Baldauf, Felsenstein, Kirchhoff, J P (2003),
Computer-based support for theevaluation of ship han-
dlingsimulatorexerciseresults, MARSIM International
ConferenceonMarineSimulationandShipManoeuvra-
bility, Kanazawa, J apan, August 25th28th
Benedict, US (2000), Integrated Operation of Bridge-,
Engine Room- and VTS-Simulators in the Maritime
Simulation Centre Warnemnde, Conference on Simu-
lation CAORF/J SACC 2000, NewYork, 37 J uly 2000,
ProceedingsVol. 1
Benedict, K. et al: (2006) CombiningFast-TimeSimulation
andAutomaticAssessment for Tuningof Simulator Ship
Models. MARSIM International ConferenceonMarine
Simulation and Ship Manoeuvrability, Terschelling,
Netherlands, J une 25th30th Proceedings, M-Paper 19
p. 19
Clarke, Horn, UK (1997), Estimation of Hydrodynamic
Derivatives,Proceedingsof the11thShipControl Systems
Symposium, Southampton, Vol. 3, pp. 275289
Hilgert, H.; Baldauf, M. (1996), A commonrisk model for
theassessment of encounter situationsonboardships. in:
MaritimeCollisionandPrevention, Chiavari Publishing,
Surrey, England. 1996, ISBN0952059223
Clarke, Gedling, Hine, UK (1983), The Application of
ManoeuvringCriteriainHull DesignUsingLinear The-
ory, Transactionsof theRINA, London,
IMO 2007. Revised performance standards for integrated
navigationsystems (INS). MSC.252(83). London: Inter-
national MaritimeOrganization.
58
2.2
CFDbasedhull hydrodynamicforcesfor simulationof
shipmanoeuvres
T. Tabaczek, T. Grnicz & J. Kulczyk
Wrocaw University of Technology, Wrocaw, Poland
ABSTRACT: Therehavebeendevelopednumerousmathematical modelsdescribingthemotionof aship. In
opinionof presentauthorstheCFDismatureenoughtodeterminewithconfidencethehydrodynamiccharacter-
isticsnecessarytosimulateshipmanoeuvres. Inthispaper theauthorspresent theattempt todeterminethehull
hydrodynamic forces usingtheresults of CFD computations of shipflow. Results showqualitativeagreement
withreferencedataandreveal shortcomingsduetosimplifyingassumptionsappliedinCFDcomputations.
1 INTRODUCTION
During the process of designing a new ship the
designer has to answer a lot of questions. Some of
themrefertothemanoeuvrabilityof aship. Moreover,
the IMO regulations define precisely the minimum
manoeuvring requirements. The possibility to deter-
mine the manoeuvring properties in early stage of
designresultsinsignificantreductionof costandtime.
There have been developed numerous mathematical
modelsdescribingamotionof aship. Theauthorsof
thosemethods usually report commonproblems like
poor accuracy, limited range of application, or need
of model teststodeterminecharacteristicsandcoeffi-
cients. Recent advancesinIT andCFDarepromising
in solving problems referring to the need of model
tests. Intheopinionof thepresent authorstheCFDis
mature enough to determine most of hydrodynamic
characteristics necessary to simulate ship manoeu-
vres. Thecharacteristicsof hull, propeller andrudder
and interactions between hull, propeller and rudder
canbedeterminedseparatelywithconfidence. Inthis
paper theauthorspresenttheattempttodeterminethe
hull hydrodynamic forces using the results of CFD
computationsof shipflow.
2 EQUATIONSOF SHIP MOTION
Usually the equations of ship motion are written in
the co-ordinate systemwith the origin at the centre
of gravity of aship. Theleft-handsides of equations
describethedynamicsof rigidbody, andtherighthand
sidesrepresent theexternal forces:
m denotesthemassof aship, u, v, r forwardspeed,
transversespeed and yaw rate, u, v and r acceler-
ations in respective directions, I
zz
the moment of
inertia of a ship, X, Y and N the external forces:
surgeforce, swayforceandyawmoment, measuredat
shipscentreof gravity.
Thesameequationscanbewritteninaco-ordinate
systemwiththeoriginat midship:
In this caseu, v, r, X, Y, N denoterates and forces
measuredat midship, andx
G
thedistancefromthe
midshiptothecentreof gravity.
Sometimesitisconvenienttosolveequationswrit-
teninco-ordinatesystemwithoriginat thecentreof
gravitywhenforcesaredeterminedat midship:
Equations (3) are also used in the following for
simulationof shipmotion.
3 EXTERNAL FORCES
Inorder toverify theideaof determinationof hydro-
dynamicforcesusingCFDthepresentauthorschosen
themodular model of MMGtorepresent theexternal
forcesactingonmanoeuvringship:
The subscripts H P and R denote the hull
hydrodynamic forces and forces frompropeller and
59
rudderrespectively.Thismodularmodel issuitablefor
testingtheindividual mathematical modelsonebyone.
3.1 Hull hydrodynamic forces
Themathematical model describedin[1] wasusedto
represent hull hydrodynamic forces for its simplicity
andavailability of referencedata. Model is basedon
thequasi-steady approachandforcesdependonly on
ratesandaccelerations:
u
/
, v
/
, r
/
denote the non-dimensional rates, X
0
=
R
T
(u) shipresistanceinconsideredco-ordinates,
andX
/
vv
,X
/
vr
,. . .,Y
/
v
,Y
/
r
,. . .,N
/
v
,N
/
r
,. . . hydrodynamic
coefficients.
Thenon-dimensional forms of forces aredefined
asfollows:
3.2 Propeller force
The model described in [2] was adopted to repre-
sent the longitudinal force generated by propeller,
includingtheeffectsof propeller-hull interaction:
t
P0
denotes thrust deduction factor in straight ahead
shipmotion,nrotational speedof propeller,D
P
pro-
peller diameter, K
T
thrust coefficient, J
P
advance
coefficient, C
1
, C
2
, C
3
coefficientsfor evaluationof
K
T
fromopen water characteristics, U ship speed,
driftangle, w
P0
effectivewakefractioninstraight
ahead ship motion, x
/
P
non-dimensional x-ordinate
of propeller.
3.3 Rudder forces
Forces from the rudder, including the interaction
between hull, propeller and rudder, are calculated
using the mathematical model described in [2] for
rectangular spaderudder:
t
R
denotesthecoefficient for additional drag, F
N

normal forceactingonrudder, rudder angle(posi-
tivetostarboard), a
H
ratioof additional lateral force,
x
/
R
non-dimensional x-ordinateof applicationpoint
of F
N
, x
/
H
non-dimensional x-ordinateof application
pointof additional lateral force, h
R
heightof rudder,
s propellerslipcoefficient, P propellerpitch, w
R0
effectivewakefractionatlocationof rudder, instraight

aheadshipmotion,
R
effectiverudder inflowangle,
flowstraighteningcoefficient, U
R
effectiverud-
derinflowvelocity, A
R
rudderarea, K
R
aspectratio
of rudder.
4 HYDRODYNAMIC COEFFICIENTS
Theclueof thepresent paper istheapproximationof
hull hydrodynamic forces using the results of CFD
Table1. Datafor simulationof motionof theEsso Osaka
model ship.
L
PP
6.0m
B 0.978m
T 0.402m
C
B
0.83
x
G
0.190m
m
/
=m/L
3
0.01813
I
/
zz
=I
zz
/L
5
0.00110
m
/
x
= m
x
/L
3
0.00138
m
/
x
(computed) 0.00133
m
/
y
= m
y
/L
3
0.01580
m
/
y
(computed) 0.01703
J
/
zz
= J
zz
/L
5
0.00069
D
P
0.168m
P/D
P
0.715
t
P0
0.27
w
P0
0.365
A
R
0.0408m
2
h
R
0.256m
K
R
2.49
U
0
0.699m/s
60
computations. To this endaseries of shipflowcom-
putationswascarriedoutforacoupleof combinations
of drift angleand yawrate. Thescopeof drift angle
and yawratewas predetermined based on results of
freerunningmodel testsof basicmanoeuvres, i.e. the
turningmanoeuvreandthe15/15degzig-zagmanoeu-
vre[1]. It was estimatedthat drift anglevaries inthe
range 10< <20deg and yaw rate in the range
0<r
/
<1.0.
Computationsof shipflowwerecarriedoutwiththe
assumptionof lowFroudenumber(negligibleheel and
effectof freesurface).Thecommercial Fluentsoftware
was used to compute single phase, turbulent steady
flowinmovingreferenceframe.
Same assumptions were applied when computing
theflowaroundtheacceleratingship, inordertodeter-
minethecomponentsof addedmass: m
x
andm
y
.Inthis
case the accelerated flow with constant acceleration
wascomputedaroundshipinrest.
Computed forces, moment and components of
addedmass weresubsequently usedto determineall
hydrodynamiccoefficientsinthemathematical model
(5). The coefficients were estimated using standard
statisticsprocedureof fittingtheuserdefinedfunction
totheset of data.
Reportedcomputations andsimulations described
in next section werecarried out for the Esso Osaka
model ship of length L
PP
=6.0m. Hydrodynamic
forces approximated using coefficients given in [1]
andcoefficientsbasedonCFDcomputationsarecom-
paredinFig.1. If onetakes thehydrodynamic forces
approximatedusingcoefficientsfrom[1] asreference,
surge force X
/
H
seams to be predicted satisfactory.
SwayforceY
/
H
ispredictedwell exceptfordriftangles
above10deg.YawmomentN
/
H
isoverpredictedatdrift
anglesabove10degandathighyawrater
/
>0.4. The
effect of differences in hydrodynamic forces on the
manoeuvringperformanceof model shipisshownin
thenext section.
5 SIMULATIONOF STANDARD
MANOEUVRES
The turning manoeuvre and the 10/10deg zig-zag
manoeuvreof model shipweresimulatedusingequa-
tions (3), nodular model (4) of external forces, and
mathematical models of hull, propeller and rudder
forces described in previous sections. Data for sim-
ulationcollectedfrom[3] and[4] arelistedintable1.
Model shipresistancewasestimatedaccordingtothe
ideaof formfactor:
There were applied the ITTC-57 model-ship cor-
relation line to evaluate frictional resistance C
F0M
,
the assumption of low Froude number (negligi-
ble wave resistance C
RM
=0), and the form factor
k =0.27. Openwater propeller characteristics K
T
(J)
was approximated using thecharacteristics of corre-
spondingpropeller fromB-Wageningenscrewseries.
Thedifferential equationsof motion(3)weresolved
using 4-th order Runge-Kutta method with adaptive
timestep. However, theexaminationsshownthat this
equation can be solved even precisely with simpler
methodsbut withthetimesteprestriction.
Theresultsof simulationof turningmanoeuvrewith
=35deg areshown in figures 2 and theresults of
10/10deg zig-zag manoeuvreareshown in figure3.
Thedifferencesinestimationof hydrodynamicforces
seen in figure1 arereflected also in results of both
simulations.
6 CONCLUSIONS
Theauthorsusedtheresultsof CFDcomputationsof
ship flow to approximate hydrodynamic forces and
momentfor simulationof shipmanoeuvres. Thecom-
parison of hydrodynamic forces approximated using
the reference hydrodynamic coefficients and CFD
basedcoefficients, showninFig. 1, revealedthatsway
force Y
/
H
estimated using CFD based coefficients is
Figure1. SurgeforceX
/
H
, swayforceY
/
H
, andyawmoment
N
/
H
computedwithCFDandapproximatedusingcoefficients
givenin[1] (dashedline) andCFDestimated(solidline).
61
Figure 2. Turning circle of model ship with =35deg
simulated using hydrodynamic coefficients from [1] and
coefficientsbasedonCFDcomputations.
evidentlyunderestimatedatdriftanglesabove10deg.
YawmomentN
/
H
isoverpredictedatdriftanglesabove
10degandathighyawratesr
/
>0.4. Thatdifferences
inestimationof hydrodynamicforcesarereflectedalso
inresultsof simulationsshowninfigures2and3.
Takingintoaccountthatdiscrepanciesinforceesti-
mationandinsimulatedturningcircleappearathigher
valuesof driftangleandyawrate, onemaysuspectthat
Figure3. 10/10degzig-zagmanoeuvreof model shipsim-
ulated using hydrodynamic coefficients from [1] (a) and
coefficientsbasedonCFDcomputations(b).
theassumptionof lowFroudenumber appliedtocom-
putations of shipflowis validonly at lowdrift angle
andyawrate. Thenat higher valuesof drift angleand
yaw ratetheship heel, trim, sinkage, and especially
theeffectof freewater surfacearoundtheshipcannot
beneglectedinCFDcomputations.
ACKNOWLEDGEMENT
The research reported in this paper was financially
supported by the Minister of Science and Higher
Educationunder grant No. N50902932/2113.
REFERENCES
[1] TheSpecialist CommitteeonEssoOsakaFinal Report
andRecommendations, ConferenceProceedingsof the
23rdITTC, VolumeII, Venice, 2002
[2] Kijima, K., Tanaka, S., Furukawa,Y., Hori, T. : Onpre-
diction Method of Ship Maneuvering Characteristics,
MARSIM93, St. J ohns, Newfoundland, Canada, 1993
[3] Crane, C.L. : ManeuveringTrialsof the278000DWT
EssoOsakainShallowandDeepWater,Transactionsof
theSNAME, Vol. 87, 1979
[4] Predictionof manoeuvrabilityof aship, Bulletinof the
SNAJ, No. 668, February1985
62
2.3
Newcapabilitiesof theNTPRO4000full missionshiphandling
simulator intheassessment andevaluationprocessesat
LithuanianMaritimeAcademy
R. Zaeckis, I. Bartusevi cien e& R. Maksimavi cius
Lithuanian Maritime Academy, Klaipeda, Lithuania
ABSTRACT: Nowadays theequipment used on ships is becoming moreand moresophisticated, safety of
shippingdependsheavilynot onlyontrustworthinessof high-techproducts, but alsoonmariners competence.
It isnecessary tofindmethodstoenableseafarerstokeeptrack withtechnical developments. Simulatorsasa
tool combined with aproperly developed coursecurriculumand qualified instructors providean appropriate
methodnot onlyfor training, but alsofor measuring, assessingandevaluatingindividual mariner performance
inorder totest levelsof competency andproficiency. AccordingtoNieri (1995, p. 1/6), Thedevelopment of
performance-based assessment tools would utilizethewidely-recognized advantages of simulators and part-
task trainers togenerateascenarioinwhichthelicensecandidatemust demonstratehis knowledgeof system
relationships, knowledge of operational procedures, monitor systems and situations, respond to unexpected
occurrences, identifyanddiagnoseproblems, andmanagepersonnel, inadynamicworld. Thispaper discusses
theusageof newcapabilities of theNTPRO4000full missionshiphandlingsimulator intheassessment and
evaluationprocessesat LithuanianMaritimeAcademy.
1 INTRODUCTION
Simulators arewidely used for different educational
purposes, suchaslearning, training, research, forma-
tive and summative assessment and evaluation, not
only in maritimeeducation and training, but also in
aviation, nuclear power plants (Ham et al., 2008),
medicine: surgery(Cosmanetal., 2002; Maithel etal,
2006), nursing(Decker et al., 2008). Simulationsare
exampleof technology enabling learning to bedone
more easily and effectively (Biggs & Tang, 2008)
in a safe and controlled environment. As technol-
ogyisdevelopingrapidlythesimulatorsbecomemore
popular educational mean.
Over last fewdecades therewas ahugegrowthof
automated navigation systems. More and more sys-
temsmakingnavigatorsjobeasier cameonthescene.
It has begun with global positioning systems (GPS)
andnowadaysgrownintoelectronicchart displayand
informationsystems(ECDIS). Thereisnodoubt that
new sophisticated systems facilitate navigators job
and ensure safer navigation. For example, the study
of Gould et al. (2009) proved that ECDIS appeared
toimprovenavigationperformancecomparedtocon-
ventional navigationbasedonpaper charts. Although
thisfactwasprovedundernormal conditionsandmore
investigations shouldbeunder high-workloadcondi-
tionsandinthepresenceof otherstressors.Habittouse
sophisticated (automated) systems sometimes have
negativeimpacttothequalificationof thenavigator, as
captaincanlosehisproficiencyinusingusual naviga-
tional meansbecauseof permanentusageof automated
navigationsystems. It is obvious for theexperienced
navigators that modern navigation equipment today
still isnot perfect.
Refusingthetraditional meansof navigation, ques-
tion of navigational safety may arise in case of the
failureor malfunctions of automatednavigationsys-
tem, becauseduringinitial studystageattentiontothe
traditional navigational tasksslacksasstudentcontem-
plates that useof traditional navigational tasks is not
relevant, but this can be designated as lack of nav-
igators qualification, where qualifications are well-
definedinSTCW(StandardsofTraining,Certification
andWatchkeeping) convention.
Improvement of navigational systems tended to
facilitatesafer navigation and load of theadditional
tasks to the navigator increased requirements to the
qualification of seafarers. As a consequence teach-
ingprocessandteachingaidshadtobeimproved. So
navigational simulatorsabletosimulatedifferentnav-
igational situations andto ensurethat student is able
to clarify different solutions of navigational task and
implement the very best solution in certain circum-
stances wereimplemented to education and training
processof navigators.
Usageof simulatorsisthebestsolutionfortheanal-
ysis of the actions taken by the students during the
performedtasksandfortheunderstandingof thecom-
petenceof students. Thediagnostics and analysis of
63
mistakeswill allowavoidingpossiblemistakes, which
mayariseindifferent navigational situations.
During the education and training process most
of themistakes areanalyzed theoretically beforethe
usageof thesimulator. Howevernowadaystheinstruc-
tors are practically able to allow students to make
mistakesusingtechnologiesof themodernsimulators
and showthepossibleconsequences of themistakes
to students without real damageto theenvironment.
Possibilitytoobservemistakesduringperformanceof
special navigational tasks helps to makeappropriate
decisionaboutthecompetenceof thestudentnotonly
inroutine, but alsoinemergencysituations.
NTPRO4000full missionshiphandlingsimulator
is used continuously in the process of education
and training of navigators in Lithuanian Maritime
Academy. Two years ago the new capability in
TRANSAS NTPRO 4000 called the TRANSAS
Evaluation and Assessment System (TEAS) was
implemented. The new capability allows assessing
objectivelythecorrectnessof anexerciseperformance
by a trainee on NTPRO 4000 navigation simulator.
Thisopportunityisusedcontinuouslyduringall learn-
ingprocessfortheformativeassessment.Accordingto
Brown&Glasner(1999), goodassessment(formative
orsummative)hastobevalid,reliable,practical,devel-
opmental, manageable, cost-effective, fit for purpose,
relevant, authentic, closely linked to learning out-
comesandfair.Informativeassessment,theresultsare
usedtoimprovelearning: studentscanmakemistakes:
theerror detectionis thebasis for error correction
(Biggs&Tang, 2007, p. 164). Itscompletelydifferent
in summativeassessment and evaluation: theresults
of suchanassessment areusedtogradeor certificate
studentsat theendof acourseor program. According
to Biggs & Tang (2007), error no longer is there to
instruct, asinformativeassessment: error nowsignals
punishment.Thatswhymuchmoreattentionshouldbe
paidfor thefinal examination, wherecomplexassess-
ment evaluates not only howeachpart of knowledge
is soaked up, but also how all knowledgeand skills
areimplementedinclosetoreal situationinreal time.
TheTEASgivesthispossibility.
For two years the TEAS of NTPRO 4000 full
mission ship handling simulator has been used for
summative assessment and evaluation during final
examination at Lithuanian Maritime Academy. The
authorsarestill searchingthewaystoimproveobjec-
tivity, validity and reliability of the final evaluation
of the students. Some results of this experience are
presentedinthearticle.
2 MANDATORY MINIMUM REQUIREMENTS
FOR CERTIFICATIONOF OFFICERS
It is well-know that mandatory minimum require-
ments for certification of officers in charge of nav-
igational watch are well-defined in STCW code.
The code clearly states the standards of compe-
tence that every candidate for certification shall be
requiredtodemonstrate: thecompetencetoundertake
at operational level, thetasks, dutiesandresponsibili-
tiesarelistedincolumn1of STCWcodetableA-II/1;
the minimumknowledge, understanding and profi-
ciency requiredfor certificationislistedincolumn2
of STCW code tableA-II/1; the level of knowledge
of subjects listed in column 2 of STCW code table
A-II/1shall besufficient for officers of thewatchto
carry out their watchkeepingduties; every candidate
for certificationshall berequiredtoproveevidenceof
havingachievedtherequiredstandardof competence
in accordancewith methods for demonstrating com-
petencetabulatedincolumns3and4of STCWcode
tableA-II/1.
With reference to above mentioned TRANSAS
NTPRO 4000 simulator (especially theTEAS) is an
appropriatesolutionsolvingthestudentscertification
problemsinLMA.
2.1 Possible competency assessment using
NTPRO 4000
Most of theeducational programsduringtheprocess
of education and training of navigators are accom-
plished with reference to STCW code. The same
requirement corresponds to assessment and evalua-
tionprocess.Assessmentandevaluationinaccordance
to STCW coderequirements can beimproved using
theNTPRO 4000TEAS becausethis systemallows
assessingthenavigatorscompetencesstatedinSTCW
code(table1).
Inmostcasesthebasicordinarytrainingandassess-
mentsystemsareapplied.Theprocessof basictraining
andassessment systemispresentedinfig. 1.
Themoredetaileddescriptionof thecertainexercise
usingNTPRO4000will bemorecomplicatedandwill
looklikeinfig. 2.
Several exercisesaccordingtothenumber of com-
petencesintendedtoassesscanbeincludedtooverall
assessment (e.g. final examination). Evaluation of
eachexercisehasitsownparticular weight andinflu-
encesasapartof theoverall assessmentandevaluation
thefinal decisionabout competencyof thetrainee.
The thorough explanation of typical example of
above-mentioned detailed exercise is presented in
fig. 3:
Itisimportanttomentionthatonlyabovementioned
competencies(table1) canbeassessedandevaluated
usingNTPRO 4000TEAS inpresent time, theother
competenciesdefinedinSTCWcodeareevaluatedin
particular trainingduringcommonexaminations.
3 EVALUATIONANDASSESSMENT PROCESS
USINGNTPRO4000TEAS
Taking into consideration all the mentioned above,
final decision for issuing the Certificate of Compe-
tencyismadeusingthecomplexassessment.
Complex assessment involves competences men-
tioned in 2.1 (table 1) and additional competen-
cies which were evaluated in particular training.
64
Table1. Thelist of competences, whichcouldbeassessed
usingNTPRO4000TEAS.
1. Planandconduct apassageanddetermineposition:
1.1. Abilitytodeterminetheshipspositionbyuseof:
1.2. Abilitytousenavigational chartsandpublications,
suchassailingdirections, tidetables, noticesto
mariners, radionavigational warningsandships
routinginformation.(ECDISsystemsareconsidered
tobeincludedunder thetermcharts);
1.3. Abilitytodeterminetheshipspositionbyuseof
electronicnavigational aids;
1.4. Abilitytooperateechosoundersandapplythe
information;
1.5. Abilitytodetermineerror of themagneticandgiro
compassesandtoallowfor sucherrors;
1.6. Knowledgeof steeringcontrol systems, operational
proceduresandchange-overfrommanual toautomatic
control andvice-versa. Adjustment of controlsfor
optimumperformance;
1.7.Abilitytouseandinterpretinformationobtainedfrom
shipbornmeteorological instruments;
1.8. Knowledgeof thecharacteristicsof thevarious
weather systems, reportingproceduresand
recordingsystems;
1.9. Abilitytoapplythemeteorological information
available.
2. Maintainasafenavigational watch:
2.1. Thoroughknowledgeof thecontent, applicationand
intent of theInternational Regulationsfor Preventing
Collisionsat Sea;
2.2.Thoroughknowledgeof thebasicprinciplesof keeping
anavigational watch;
2.3Thoroughknowledgeof effectivebridgeteamwork
procedures;
2.4. Theuseof routeinginaccordancewiththeGeneral
provisionsonShipsRouteing.
3. Useof Radar andARPA tomaintainsafetyof navigation:
3.1. Performanceincluding:
3.1.1. Factorseffectingperformanceandaccuracy;
3.1.2. Settingupandmaintainingdisplays;
3.1.3. Detectionof misrepresentationof information,
falseechoes,seareturn,etc.,raconsandSARTs;
3.2. Useincluding:
3.2.1. Rangeandbearing; courseandspeedof other
ships; timeanddistanceof closest approachof
crossing, meetingovertakingships;
3.2.2. Identificationof critical echoes; detecting
courseandspeedof other ships; effect of
changesinownshipscourseor speedor both;
3.2.3.Applicationof theInternational Regulationsfor
PreventingCollisionsat Sea;
3.2.4. Plottingtechniquesandrelativeandtruemotion
concepts;
3.2.5. Parallel indexing;
3.3. Principal typesof ARPA , theirdisplaycharacteristics,
performancestandardsandthedangersof over
relianceonARPA;
3.4. Abilitytooperateandtointerpret andanalyze
informationobtainedfromARPA, including:
3.4.1. Systemperformanceandaccuracy, tracking
capabilitiesandlimitations, andproceeding
delays;
3.4.2. Useof operational warningsandsystemtest;
(Continued)
Table1. Continued
3.4.3. Methodsof target acquisitionandtheir
limitations;
3.4.4.Trueandrelativevectors,graphicrepresentation
of target informationanddanger areas;
3.4.5. Derivingandanalyzinginformation, critical
echoes, exclusionareasandtrial manoeuvres.
4. Respondtoemergences
4.1. Emergencyprocedures:
4.1.1. Precautionsfor theprotectionandsafetyof
passengersinemergencysituations;
4.1.2. Initial actiontobetakenfollowingacollision
or agrounding; initial damageassessment and
control;
4.1.3. Appreciationtheprocedurestobefollowedfor
rescuingpersonsfromsea, assistingashipin
distress, respondingtoemergencieswhicharise
inport.
5. Respondtoadistresssignal at sea;
5.1. Knowledgeof thecontentsof theIMOMerchantShip
SearchandRescueManual (MERSAR).
6. UsetheIMOStandardMarineCommunicationPhrases
anduseEnglishinwrittenandoral form;
6.1.Adequateknowledgeof theEnglishlanguagetoenable
officer:
6.1.1. Tousechartsandother nautical publications;
6.1.2. Tounderstandmeteorological informationand
messagesconcerningshipssafety
andoperation;
6.1.3. Tocommunicatewithother shipsandcoast
stations;
6.1.4. Toperformtheofficersdutieswitha
multilingual crew;
6.1.5. TouseandunderstandtheIMOStandard
MarineCommunicationPhrases.
7. Transmit andreceiveinformationbyvisual signalling;
7.1.AbilitytotransmitandreceivesignalsbyMorselight;
7.2. Abilitytousetheinternational Codeof Signals.
8. Manoeuvretheship;
8.1. Knowledgeof shipmanoeuvringandhandling:
8.1.1.Theeffectsof dead-weight, draught, trim, speed
andunder keel clearanceonturningcirclesand
stoppingdistances;
8.1.2. Theeffectsof windandcurrent onship
handling;
8.1.3. Manoeuvresandproceduresfor therescueof
personoverboard;
8.1.4. Squat, shallow water and similar effects;
8.1.5. Proper proceduresfor anchoringandmooring
Theadditional competences of thestudents, such as
use of ARPA, ECDIS, usually are evaluated before
thefinal examinationusingNTPRO4000by Lithua-
nian Maritime Safety Administration in accordance
with IMO Model Course 1.07 for ARPA, and IMO
Model Course 1.27 for ECDIS; and the results are
thebasisfor thediplomaof thecompetency.Although
the assessment of mentioned competences is a part
of complex assessment as thestudent must showhis
ability to implement all of competences required by
STCWcode, andespeciallyusenotonlyof automated
65
Figure1. Basictrainingandassessment systeminLMA.
Figure2. Detailedexercise.
Figure3. Exampleof detailedexercise.
navigationsystems,butalsothesolutionsof traditional
navigational tasksinreal timesimulation.
The overall complex assessment and weight of
assessedtaskscanbepresentedinfig. 4.
During all complex assessment process correct
and incorrect actions and responses are electroni-
cally logged additionally and established paper log
book is filled, as not all competences can belogged
electronically.
Figure4. Overall complexassessment.
Figure5. Detailedchart of complexassessment.
ItisimportantthatemployingTEASthepercentage
systemof evaluationshouldbeapplied; it meansthat
studentcomestoassessmentwiththescoreof all com-
petencies100%,andlaterhegetspenaltypointsforany
failednavigational task. Penaltypointsaremultiplied
by weight of the task evaluated, so final evaluation
result E canbeexpressedbyformula:
Where: P
n
penalty point for appropriatetask; w
n

weight of thepenaltypoint.
If there is necessity in more accurate results of
competence evaluation each task can be evaluated
separately withits penalty points (applyingthesame
formula), influencingfinal evaluation.
Detailed assessment chart is presented in fig. 5,
extraction of the competence evaluation in overall
complexassessment ispresentedinfig. 6.
66
Figure 6. Extraction from overall complex assessment
for Plan and conduct a passage and determine position
competence.
During evaluation and assessment process all
mentionedcompetenciesin2.1(table1)arethoroughly
checked, especiallycompetenciesusedtosolvetradi-
tional navigational tasks. AsTEAS systemelectronic
logbook, paper logbook is employed, the subjective
assessors opinionisminimized, andit allowsmaking
theverycorrectandobjectivedecisionaboutthecom-
petencyandsuitabilityfor appropriatepositionof the
student.
Inother wordstheassessment usingNTPRO4000
is basedonthecheck of theexercisefulfilment cor-
rectness with regard to the selected set of criteria.
Thecriteriacheck consistsincomparingtheexercise
assessmentparameterstothesetlimitvaluesaccord-
ingtothesetrule.Ateachmomentof timearelative
errorisrecorded(relativedeviationof theassessment
parameter fromthelimit values) andpenalty points
arecalculated as afunction of therelativeerror and
theerror weight.
Theoverall sumof penaltypointsintheobservation
interval is calculated as a sumof penalties at each
moment of timebyeachassessment parameter.
The trainee competency is assessed in points
(Score %) starting from100%minus penalty score.
The correctness of the exercise fulfilment can be
assessedafter theendof theexerciseduringtheplay-
backof theexerciselog.TheTrainingReportiscreated
automatically at the moment when the log file is
loaded. Competency assessment can be obtained in
theprocess of theexerciseand after its end as well.
For the final assessment of the trainee competency,
thePassingscore isentered.
This process allows making objective judgement
about students competency and enable saving pub-
lishedtheresultsfor longer time.
4 PRACTICAL EXAMPLE
Extraction frompractical evaluation and assessment
of Use of Radar and ARPA to maintain safety of
navigationis presentedbelow. Ability to operateand
to interpret and analyse information obtained from
theradar, includingfactorsaffectingperformanceand
accuracyof thetraineeistested.
Theexerciseissetinadversevisual andradarobser-
vationconditions (fog, roughse, rain). Thetraineeis
assigned with a task to proceed in restricted waters
with narrow passage making a 90 turn round the
buoy (whichbecomes areferencepoint) at aset dis-
tancewithamarginequal tothepossibleradar range
measurement error. PenaltyChargevalueisentered.
Thetraineemust adjust theoptimumradar picture
quality, identify thebuoy echoamongtheclutter and
performtherequiredmanoeuvre.
Evaluation is made through the exercise. Perfor-
mancecriteria actual distancetoreferencepointmust
benearthelimitdefined(if theactual distanceexceeds
definedlimits, penaltychargeareimposed, hereinthis
example-30%if groundingoccurs- 70%).
Calculations of the assessment for this particular
taskwill lookasfollows:
Where: P
l
-penalty for exceeded limit, P
g
-penalty
if the grounding occurs, w-weight of the penalty in
particular exercise.
As seen above, depending on the trainees ability
to accomplish exercise, he gets final evaluation for
the particular task, which is a part of the complex
assessment duringfinal examination.
5 CONCLUSIONS
Duringinitial stageof study attentiontothetradi-
tional navigational tasksslacksasstudent contem-
plates that useof traditional navigational tasks is
not relevant.
Use of navigation simulators enables to test all
competenciesinaccordancewithSTCWcodeespe-
cially solving traditional navigational tasks, final
examination using NTPRO 4000TEAS based on
methods described in the paper may be basis for
certificationof competency.
UsingTEASthepercentagesystemof evaluationis
applied, itispredictedthatstudentgetsthescoreof
100%at thebeginningof theassessment, andlater
pointsforanyfailednavigational taskmultipliedby
weightaresubtractedfrominitial 100%inorder to
get final evaluation.
LithuanianMaritimeAcademyusesnewcapability
of NTPRO 4000 not only during training process
byperformingformativeassessmentbutalsoforthe
summativeassessment andevaluationof students
competencyduringfinal examination.
Assessorsarerepresentativesandpersonsapproved
byLithuanianMaritimeSafetyAdministration; this
enablesgettingtheCertificateof Competenceafter
final complex assessment inLithuanianMaritime
Academy.
67
REFERENCES
Biggs, J., Tang, C. 2007. Teaching for Quality Learning at
University. Berkshire: Society for Research into Higher
Education& OpenUniversitypress.
Brown, S., Glasner, A. 1999. Assessment Matters in Higher
Education: Choosing and Using Diverse Approaches.
Buckingham: OpenUniversityPress.
Cosman, P.H., Cregan, P.C., Martin, C.J., Cartmill, J.A. 2002.
Virtual RealitySimulators: Current StatusinAcquisition
andAssessmentof Surgical Skills.ANZJournal of Surgery
72: 3034.
Decker, S., Sportsman, S., Puetz, L., Billings, L. 2008. The
Evolutionof Simulationandits Contributionto Compe-
tency. The Journal of Continuing Education in Nursing,
39(2): 7480.
Ham, D., Park, J., J ung, W. 2008. Evaluation of Human
Interaction with Complex Systems Using a Full-Scope
Simulator: Lessons LearnedandMethodological Issues.
International Journal of Human-Computer Interaction,
24 (4): 361384.
Gould, K.S., Roed, B.K, Saus, E.R., Koefoed, E.F., Bridger,
R.S., Moen, B.E. 2009. Effects of navigation method
on workload and performance in simulated high-speed
shipnavigation.Applied ergonomics 40 (2009): 103114.
International Maritime Organisation. 2001. International
Convention on Standards of Training, Certification and
Watchkeeping for Seafarers, 1978, as amended in 1995,
(STCW 95). London: Author.
Maithel, S., Sierra, R., Korndorffer, J., Meumann, P.,
Dawson, S., Cellery, M., J ones, D., Scott, D. 2006.
Construct and face validity of MIST-VR, Endotower,
and CELTS. Are we ready for skills assessment using
simulators? Surgical Endoscopy (2006) 20: 104112.
Matveevskii, A.S., Gravenstein, N. 2008. Role of Sim-
ulators, educational programs, and nontechnical skills
in anesthesia resident selection, education and compe-
tency assessment. Journal of Critical Care (2008) 23:
167172.
Nieri, D. S. 1995. Certification and licensing of mariners
basedonperformanceassessment. Proceedings of the sec-
ond international conference on engine room simulators
ICERS 2, 05-09 June 1995: 1-9. Rimouski: Canada.
Transas. 2005. Navi-Trainer 4000 (v.4.5.1) Instructor
manual. TransasLtd.
68
2.4
Reconstructingamarinecasualty: Theeffectivenessof thefull-mission
simulator asacasualtyanalysistool
E. Doyle
Cork, Ireland
ABSTRACT: Theprimarypurposeof amarinecasualtyinvestigationistoseektoestablishthecausal factors
of thecasualtywithaviewtolearningthehardlessonsandavoidingarepetition.
Thebroadquestionsof aninvestigation: who?, what?, when?, where?, why?, andhow?, all helptouncover
thefacts. Theinvestigation sequencewill cover adiverserangeof fact-finding activities, amongst which, as
oftenthecase, maybearequirement for conductingspecialisedstudies. Followingthefact-findingstagethe
typical investigationprogressestoanalysisof thefacts, reachesconclusionsandmakesrecommendations.
Keepinganopenmind, toavoidprematureconclusions, requirestheseparationof thefact-findingandanalysis
phases. But theanalysismaywell helptoidentifymissingpiecesof evidence, or different linesof enquirythat
mayotherwisehavegoneundetected. Asaneffectivereconstructiontool, afull-missionbridgesimulator offers
an opportunity to examinea broad spectrumof environmental conditions and vessel characteristics, as well
as equipment failures, humanfactors andoperatingprocedures. A casualty incident canbereconstructedina
real-timesimulatedenvironment, toaidmoredetailedanalysis.
Withintheusual confinesof thelegal process,comprehensionof nautical blackmagicisgreatlysimplifiedfor
non-mariners, byseeingthesimulatedcasualtyincident unfold, inreal-timeor inselectedshort-timesegments.
1 REGULATIONANDBEST PRACTICE IN
MARINE SAFETY INVESTIGATION
1.1 Casualty investigation code
The global harmonisation of marine casualty inves-
tigation was taken a step further last year with the
approval by theInternational MaritimeOrganization
of the new Code of the International Standards and
Recommended Practices for a Safety Investigation
into aMarineCasualty or MarineIncident (Casualty
InvestigationCode). TheMaritimeSafetyCommittee
adoptedtheCasualtyInvestigationCodebyresolution
MSC.255(84).Andanewregulation6inchapter XI-1
of the SOLAS Convention was also adopted (reso-
lutionMSC.257(84)), givingmandatory status to the
Code, whichtakeseffecton1J anuary2010. However,
theIMOhasinvitedGovernmentstostart implement-
ing the new Code on a voluntary basis prior to the
effectivedateof theCode.
i
1.2 Common approach of 1997
Thismost recent Codeincorporatesandbuildsonthe
best practices in marine casualty investigation that
wereestablished by theIMOs Codefor theInvesti-
gation of Marine Casualties and Incidents, adopted
in November 1997. That Code sought to promote
co-operation and a common approach to marine
casualty and marine incident investigations between
States.WhilethenewCodespecifiessomemandatory
requirements, it does recognize the variations in
national lawsinrelationtotheinvestigationof marine
casualties and incidents. But the broad aim is to
facilitateandpromoteobjectivemarinesafety inves-
tigationsfor thebenefit of flagStates, coastal States,
andtheshippingindustryingeneral.
1.3 Objectives and purpose
The objectives and purpose are well stated in the
Codesopeningchapter:
1.1Theobjectiveof thisCodeistoprovideacom-
monapproachfor Statestoadoptintheconductof
marinesafetyinvestigationsintomarinecasualties
andmarineincidents. Marinesafetyinvestigations
donotseektoapportionblameor determineliabil-
ity.Insteadamarinesafetyinvestigation,asdefined
in this Code, is an investigation conducted with
theobjectiveof preventing marinecasualties and
marineincidentsinthefuture. TheCodeenvisages
that thisaimwill beachievedthroughStates:
1. applying consistent methodology and
approach, to enable and encourage a broad
ranging investigation, where necessary, in the
interests of uncovering the causal factors and
other safetyrisks; and
2. providingreportstotheOrganizationtoenablea
widedisseminationof informationtoassist the
international marineindustry toaddress safety
issues.
69
1.4 Causal factors rather than blame or fault
Aswecansee, theprimarypurposeof acasualtyinves-
tigationistoseektoestablishthecausal factorsof the
casualty withaviewtolearningthehardlessonsand
avoiding arepetition. And whileit is not, and never
should be, the role of a marine safety investigation
teamto attribute blame or fault, that is not to say
the investigating authority should refrain fromfully
reportingthecausesbecausefaultorliabilitymightbe
inferredfromitsfindings.
2 THE FACT-FINDING/ANALYSIS
CONUNDRUM
2.1 Uncovering the facts
Theinvestigationmustattempttouncoverall thefacts,
byseekinganswerstosuchfundamental questionsas:
who?,what?,when?,where?,why?,andhow?Inthis
regard, thefact-findingsequenceof theinvestigation
islikelytoincludesuchactivitiesas:
inspectingthelocation;
gatheringor recordingphysical evidence;
interviewingwitnesses;
reviewingof documents, procedureandrecords;
conductingspecialisedstudies(asrequired);
identifyingconflictsinevidence;
identifyingmissinginformation; and
recordingadditional factors andpossibleunderly-
ingcauses.
2.2 Progression to analysis
Followingthefact-findingstageatypical marinecasu-
altyor incident investigationincludes: analysesof the
facts; conclusions; andrecommendations.
2.3 Fact-finding and analysis
Investigators need to keep an open mind and avoid
reaching conclusions too early. It may appear self-
evidentthatthefact-findingstageof theprocessshould
beseparatefromtheanalysis. But it must always be
borneinmindthat theanalysismaywell helptoiden-
tify missing pieces of evidence, or different lines of
enquirythat mayotherwisehavegoneundetected.
2.4 Simulator as effective reconstruction tool
In thecourseof very many marinesafety investiga-
tions,theavailabilityof afull-missionbridgesimulator
islikely tooffer apowerful andproductiveanalytical
tool. Such atool affords theopportunity to examine
a broad spectrum of environmental conditions and
vessel characteristics, as well as equipment failures,
human factors and operating procedures. A marine
casualty may be reconstructed in a real-time simu-
lated environment, to allow detailed analysis of the
incident. Mariners who havehad thebenefit of full-
missionsimulator trainingwill readily appreciatethe
merits of the debriefing/playback feature, allowing
detailedexaminationof theexerciseorsimulatedinci-
dent, as thereplay unfolds inreal-timeor short-time
segments.
2.5 Investigation and legal proceedings enhanced
Such simulation can be replayed at will, with very
obviousbenefitsforexpeditingtheworkof themarine
safety investigation team. In another forum, such as
thecivil judicial process, it has theaddedbenefit for
non-marinersof aidingthecomprehensionof nautical
terminologywiththeconsequentpotential toexpedite
settlement.
3 COLLISIONCASE STUDY
3.1 Investigation and litigation
A practical exampleof thepotential beneficial anal-
ysis that a simulated examination might generate is
givenfromthefollowingmarinecasualty casestudy.
It centers on a collision off the southeast coast of
Ireland,inJ une2000.Thecollisionwasinvestigatedby
thenewly established MarineCasualty Investigation
Board(MCIB)
ii
, whodidnot haveaccesstoadequate
simulationfacilitiesat that time. Thecasealsogener-
atedHighCourtproceedingswhich, intheevent, were
settledshortlybeforethescheduledhearing.
3.2 Summary of the incident
Onthemorningof 13J une2000, thebeamtrawlermfv
STELIMAR (LOA 19m, 200t) was on passagefrom
her homeport of DunmoreEast, headingtowardsher
usual fishing grounds. Shewas steering acourseof
about 145, andmakingabout 8.5knots. Theweather
wasfair: WindSWlyF 3/4, withgoodvisibility.
At the same time, the tanker mv ALMANAMA
(LOA249m,97,000dwt)wasmakingacourseof 256
,
speed13.8knots, boundfor Cork Harbour. Theves-
sel hadclearedthetrafficseparationschemeatTuskar
Rock and was now on a course that would take her
across thepathof STELIMAR. Infact, thetwo ves-
sels were on converging courses, in circumstances
where the bearing between themwas not changing
significantly acollision seemed inevitableunless
avoidingactionwastakenbyoneor bothvessels.
This was a classic crossing situation for which
there is clear provision in the COLREGS. Rule 15
obligedALMANAMA, asthegive-wayvessel, tokeep
out of thewayandthusavoidcollision, whileRule17
required STELIMAR, the stand-on vessel, to main-
tainher courseandspeed intheearly stageof the
encounter, at anyrate.
Intheevent,acollisiondidoccur,atapositionabout
14 miles SSE of Hook Head. STELIMAR sustained
substantial damage, which necessitated her being
towed back to Dunmore East. Given the enormous
70
disparity in the size and tonnage of the two vessels
it was nothingless than incrediblegoodfortunethat
STELIMAR didnot capsizeandfounder.
InadditiontoherRule15obligation,ALMANAMA
wasalsorequiredbyRule16,to. . . takeearlyandsub-
stantial actiontokeepwell clear. Indischargingher
obligations, ALMANAMA could havemadealarge
alteration of course to starboard so as to make her
intentions very clear to the stand-on vessel, or she
couldhavemadeasubstantial reductiontoher speed
butthisactionwouldnothavebeensoreadilyapparent
tothestand-onvessel.Acceptingthatspeedreductions
arerarelyusedbygive-wayvesselswhentakingavoid-
ingactioninopenseasituations,ALMANAMA could
reasonably havebeenexpectedto makeasubstantial
alterationof courseto starboard. Further, sheshould
havedonesoatanearlystageintheencounter soasto
avoidputtingSTELIMARintheunnecessaryanddif-
ficultpositionof havingtotakeavoidingactionunder
Rule17(a)(ii).
3.3 Factual conflict
The MCIB investigation report noted the Factual
Report of the Collision. . . fromSTELIMARs per-
spective, and a similar Factual Report. . . from
ALMANAMA. Thereshouldbenosurprisethatthese
factual reports wereinconflict.Thereal surprisewas
that theMCIB analysis failed to resolvetheconflict
adequately.
3.4 STELIMARs perspective
STELIMARS skipper first noticedalargemerchant
vessel visually, broadonhisport bowat adistanceof
6 or 7 miles, on ageneral Wly heading, shaping to
cross his path shewould need closer attention as
therangeclosed.
When the radar image of this large ship, soon
to be identified as ALMANAMA, first appeared at
theextremity of his 3-mileradar display, theskipper
begantopaycontinuousattentiontoher progress. He
believedthat shewasmaking14or 15knots, andhis
concernwas heightenedby thedevelopingsituation,
as presentedinFig. 1: hewas inacrossingsituation
withalargevessel, whosebearingappearedtoremain
thesameor nearlyso.
3.5 Imminent collision
When the vessels were about 1.5 miles apart, and
ALMANAMA had still not altered course, STE-
LIMAR came to the conclusion that he would have
totakeavoidingaction.
Hecould havealtered courseto starboard but the
skipper felt this would haveprolonged theperiod of
uncertainty. In the event, he chose to de-clutch the
mainengineandallowSTELIMARSspeedtoquickly
rundown. Heestimatedhedidthis whenthevessels
wereabout0.75to0.5milesapartor about2to2.5
minutesbeforeimpact.
Figure1. A reconstructionof thecrossingencounter.
Intakingthespeedoff hisvessel theskipper antic-
ipated that ALMANAMA would pass safely ahead
of him. However, very shortly afterwards (perhaps
when 0.5 to 0.25 miles apart) he was alarmed to
seeamanonALMANAMAS starboardbridgewing
running into the bridge in an agitated state. He was
deeply concerned at this and, believing that he now
had a full emergency on hand, he put his engine
to Full astern. He estimates the two vessels were
about 0.25 miles apart at this point and that hewas
at Full astern for 30 to 40 seconds until the col-
lision. He believed that ALMANAMA was turning
slowlytostarboard,towardsSTELIMARasshegained
stern-way.
3.6 ALMANAMAs perspective
Meanwhile, the Factual Report. . . fromthe other
vessel hastheOOWonthebridgeof ALMANAMA,
plottingafixfor1115andalteringcourseto256
.The
vesselsspeedwasabout 13.8knots.
At 1120heobservedasmall target (STELIMAR)
some40
to50
onthestarboardbowat adistanceof
5or 6miles. Heclaims heacquired and plotted this
target on theARPA, which predicted a CPA of 1 to
1.5mileswiththetarget crossingahead. Healsotook
a series of visual bearings, which indicated that the
vessel was passing ahead, but did acknowledge that
thebearingswerechangingveryslowly. Heestimated
thatthefishingvessel washeadingonacourseof about
150
at about 10or 11Knots.

When thefishing vessel was between 2.5and 3.5
milesoff andabout 1.5to2.5pointsonthestarboard
bow, theOOWtriedtocall itonVHF Channel 16, but
therewasnoreplyfromSTELIMAR.
3.7 Belated course alteration
Henow altered courseto starboard, to 268
, though
thefishingvessel wasstill finetostarboardandabout
1mileoff. HeclaimedthatSTELIMARalteredcourse
toporttoabout120
andpossiblyreducedspeedalso.
ALMANAMA then applied hard-to-port helm in a
final, and ultimately vain, attempt at trying to avoid
collision.
71
4 CLOSE-QUARTERSANALYSIS
4.1 Course recorder trace
ALMANAMAs courserecorder traceconfirmedher
course alteration from230
to 256
at 1115. It also
showed that her next coursealteration, to 268
, was
made just about two minutes prior to the collision,
and that the hard-to-port manoeuvre had practically
noeffect beforeimpact.
4.2 Hard lesson on failure to take early and
substantial action
Deconstruction of the final phase of this collision
encounter was clear to all; STELIMAR took emer-
gency full astern action when it seemed clear to
her that collision could not otherwise be avoided,
but theaction was unsuccessful becausethebenefi-
cial effect of her stern-way motion was nullified by
thevery belatedturnto starboardbyALMANAMA,
culminatinginthecollision.
4.3 Making relative velocity simple
Themost glaringandunresolvedconflict betweenthe
twopartieswasALMANAMAscontentionthat STE-
LIMAR was expected to cross ahead at a CPA of 1
to1.5miles, thisinformationallegedlypredictedfrom
ARPA. Suchcontentionisreadilyrefutedbymeansof
astandardrelativevelocity plot, thoughnot so read-
ilyunderstoodbynon-mariners. However, theuseof a
bridgesimulator easilyovercomesthosedifficulties.
4.4 Construction of RelVel triangle
The veracity of the relative velocity information is
dependant on the vector accuracy for each ship. In
the case of ALMANAMA, her course and speed
wereestablishedfromlogrecordsandinstrumentation,
whileSTELIMARscourseandspeedwereconsistent
with her recent departure (about 2 hours) fromher
home port. Reversing the vectors fromthe collision
pointallowsconstructionof thebasicrelativevelocity
triangle, asgiveninFig. 2. Becauseof uncertainty in
theprecisetimingof eachvessels movements inthe
final moments of theencounter theplot may contain
aninherenterror, butnothingof anysignificantconse-
quence.Thiswasconfirmedbyrerunningtheincident
asatest exerciseontheNMCI bridgesimulators.
4.5 Critical relative bearings
Given thegeometry of this encounter, as outlined at
Fig. 1, it will beseen that STELIMAR was bearing
280
fromALMANAMA, or 50
on her starboard
bow before she altered course at 1115. The con-
tentionthat STELIMAR wasobservedat 1120, about
40
/50
5/6milesonALMANAMAsstarboardbow,
conflicts with the Fig. 1 plot which shows that the
vessels wereno morethan4.4miles apart then. It is
certainlythecasethatSTELIMARcouldnothavebeen
seen50
onthebowat anytimeafter ALMANAMA

Figure 2. The Relative velocity triangle, from
ALMANAMAsperspective.
Figure3. TheARPAsimulationdisplaysatruevectorfrom
theacquiredtarget onALMANAMAsstarboardbow.
alteredcourseat1115if itwereso, acollisioncould
notpossiblyhavehappened. Theonlyrational conclu-
sionis that STELIMAR was seenbroad(50
) onthe
starboardbowbefore ALMANAMA alteredcourseto
256
.
5 ARPA SIMULATION
5.1 ARPA vectors true or relative?
The change in the relative bearing of STELIMAR
(from50
onthebow, drawingleft to 24
) may well
havemisledtheOOW onALMANAMA into believ-
ingthat STELIMAR was crossingclear aheadof his
own vessel. It is also possible that he confused the
true andrelative vector informationpresentedby
his ARPA radar. In any event, hechoseto disregard
(until too late) thewarningof his owneyes whenhe
observedthatthecompassbearingof STELIMARwas
changingonlyveryslowly.
5.2 ARPA information
The simulated ARPA display in Fig. 3 presents an
early stageof theencounter fromtheALMANAMA
perspective; her courseis256
, andSTELIMAR (the
acquiredtarget) isbearing281
(25
onthestarboard
bow), range5.1NM.Thetargetstrue vectorisclearly
visible, indicatingacrossingcondition.
72
Figure4. Thetargetsrelative vector signalsadeveloping
collisioncondition.
A short timelater, as presentedinFig. 4, thenav-
igational situation remains the same but the ARPA
vector presentationisnowrelative. Onanynormally
functioningandoperatedARPAequipment,thisdevel-
opingclose-quarterssituationwill trigger all theusual
audibleandvisiblealarms.
6 CONCLUSIONS
Asdemonstratedinthiscasestudy, full-missionbridge
simulation lends itself easily andreadily to collision
analysis. The incident was reconstructed in a real-
timesimulatedenvironment, aidingthemoredetailed
analysis than that offered in the MCIB report. The
simulator reconstructionexposedpossibleequipment
failure, humanfactorsandshortcomingsinoperating
procedures. Theseareweaknessesthatfrequentlyflag
missingevidence, whichinturn, prompt investigators
to pursue different lines of enquiry. The complexity
of nautical technology isgreatly simplifiedby asim-
ulatedreconstruction, whichhasclear benefitsfor all
partieswithinthestricturesof thelegal process.
REFERENCES
i
IMO, 2008. TheMaritimeSafety Committee, at its eighty-
fourthsession(7to16May 2008), adoptedtheCasualty
InvestigationCodebyresolutionMSC.255(84) andanew
regulation6inchapterXI-1of theSOLASConventionby
resolutionMSC.257(84)tomaketheCodemandatory.The
Committeeagreed that theCasualty Investigation Code
shouldtakeeffecton1J anuary2010, notingthattheeffec-
tivedateshouldbethesameasthedateof entryintoforce
of thenewSOLASregulationXI-1/6.
ii
MCIB, 2005. Investigation Report by the Marine Casu-
altyInvestigationBoardintoALMANAMA/STELIMAR
collision.
73
2.5
Fuzzyfast timesimulationmodel of shipsmanoeuvring
P. Zalewski
ABSTRACT: Thepaper presents aconcept of fuzzy FTS (Fast TimeSimulation) model of twin-screwship
manoeuvring autonomously (without tugs) in confined waters. Theconceptual model has been based on the
fuzzylogiccontroller withexpertdatabaseformedbymanoeuvresobtainedfromthereal-timenon-autonomous
trials classified in relation to expert manoeuvreimpact on ships advance, lateral and rotation speed and her
position in referenceto thepresent ship status. Exemplary pitch controller for vessels with two propellers at
specifiedhydro-meteorological conditionshasbeenpresented.
1 INTRODUCTION
Fuzzysettheoryhasbeenusedsuccessfullyinvirtually
all thetechnical fieldsincludingcontrol, image/signal
processingandexpert systems. Oneof themost suc-
cessful applicationshoweverseemstobeinthecontrol
field where the theory can utilize the human con-
trol operatorsknowledgeandexperiencetointuitively
constructmodelssothattheycanemulatehumancon-
trol behaviour to acertainextent (Ying2000, Zadeh
1996).
Simulation studies give perfect opportunity to
record the expert knowledge of pilots commanding
vessels in the relevant area. An essential problem
of the acquisition and representation of navigators
knowledge referring the conduct rules (procedural
knowledge) andtheanalysisandevaluationof naviga-
tional situation(declarativeknowledge) canbesolved
bygainingknowledgedirectlyfromelectronicrecords
madeduringsuchresearchandcreationof theexpert
knowledgedatabasecanfinally leadto finally to the
concept of autonomous ship control during FTS in
confinedwaters. Fasttimesimulationcanbeachieved
easily by applying shorter period of state change
than established in the ships hydrodynamic model,
for instance dt =0.01s, which is not a problemfor
contemporary computers (Gucma et al. 2008), but
Figure1. Structureof aMISOfuzzy control systemwhichiscomposedof aMamdani fuzzy logic controller andasystem
under control (basedonYing(2000)).
shipsfuzzycontrol inconfinedwatersrequiresfurther
analysis.
2 FUZZY LOGIC CONTROLLER
InautonomousFTSthemanoeuvringdecisionfinding
canfollowtheproceduredescribedinZalewski (2003).
However if anyof thepresentshipstatevector param-
eterscomesoutsidethescopeof theexpertdatabaseit
is assumedthat theoptimummanoeuvreshouldlead
theshiptoregainsafevalues of statevector parame-
ters.Forthispurposethefuzzydiscrete-timecontroller
canbedesigned. Themajor components of thetypi-
cal fuzzycontroller arefuzzification, fuzzyrulebase,
fuzzy inference, and defuzzification. These compo-
nentswill bedescribedfurther inanexemplaryMISO
(multipleinput singleoutput) controller of pitch for
vesselswithtwopropellers.
2.1 Fuzzification
Fuzzificationisamathematical procedureforconvert-
ing an element in the universe of discourse into the
membershipvalueof thefuzzyset.
In theFigure1 controller output is designated by
u(n) andsystemoutput isdesignatedbyy(n), wheren
75
Figure2. Illustrationof thev
x
input variablefuzzification.
isapositiveintegerrepresentingsamplingtimedt.The
desiredsystemoutput trajectoryisdenotedasS(n).
In case of systembeing a ship, steered in accor-
danceto expert passage, u(n) will bepitches setting,
y(n) will beavector containingsixvariablesdefining
actual motion in 3-degrees of freedom: P
xy
actual
positionof selectedwaterlinepointstoredastwovari-
ables, v
x
actual longitudinal (advance) velocity, v
y

actual transverse (lateral) velocity, actual angu-
lar (rotation) velocity, actual ships heading; and
S(n) will beavector containing six variables defin-
ingrequiredmotionin3-dof: P
xyr
requiredposition
of selected waterline point stored as two variables,
v
xr
required advance velocity, v
yr
required lat-
eral velocity,
r
required rotation velocity,
r

required ships headingAt timen, y(n) and S(n) are
usedtocomputetheinput variablesof thefuzzycon-
troller (effect of pitches setting on motion): P
xy

deviationbetweenrequiredandactual position, v
x

difference or deviation between required and actual
longitudinal (advance) velocity, v
y
difference or
deviationbetweenrequiredandactual transverse(lat-
eral) velocity, differenceor deviation between
requiredandactual angular (rotation) velocity,
difference or deviation between required and actual
shipsheading. Sogenerallytheinputvariablesvector
canbedesignatedby:
Input variable scaling factors are used to conve-
niently manipulate the effective fuzzification on the
scaleduniversesof discourse. Thescaledfactorsused
for e(n) vector in presented research are normaliza-
tionconstants of thefivementioneddeviations, with
their preservedpositiveor negativesign, as accepted
inZalewski (2003). Assumingthescalingfactors for
deviationsasvector K
e
thescaledinput vector is:
The scaled variables are then fuzzified by input
fuzzy sets defined on the scaled universes of
discourse: [0,1]. Figure2showsfiveinput fuzzy sets
for one of the E(n) parameters that are used by the
fuzzy controller. At this conceptual phase of FTS
model development theresearchonthemost suitable
fuzzy sets is still ongoingso themost popular mem-
bershipfunctions types foundinliteraturehavebeen
selected, namelytriangular andtrapezoidal.
Thefuzzificationresultsfor normalizedv
x
value
of E(n), E
2
(n)=K
e2
v
x
, shown in Figure 2, are
membershipvalueof 0.65for fuzzysetPositiveSmall
(PS) and 0.2 for fuzzy set Positive Large (PL). The
linguisticnamesPositiveandNegativearerelated
directly to faster advance speed than required and
slower advancespeedthanrequiredrespectively. The
membership values for Near Zero (NZ), Negative
Small (NS) andNegativeLarge(NL) are0.
Fuzzification can be formulated mathematically
replacing linguistic naming system by a numerical
index system, for instance five fuzzy sets used may
berepresentedby A
i
, i =2(NL), 1(NS), 0(NZ),
1 (PS), 2 (PL). The example fuzzification of e
2
(n)
with K
e2
=0.7s/mat time t: e
2
(n)=v
x
=0.5m/s,
E
2
(n)=0.35canbedescribedas:
No mathematically rigorous formulas or procedures
existtoaccomplishthedesignof inputfuzzysets the
proper determinationof designparameters is strictly
dependent on theexperiencewith systembehaviour,
hencetheexpert datacomingfromshipmanoeuvring
trialsisnecessary.
76
Figure3. Singletonfuzzysetsasoutput fuzzysetsinthedesignedcontroller.
2.2 Fuzzy rules
Fuzzification results are used by fuzzy logic AND
operations in the antecedent of fuzzy rules to make
combinedmembershipvaluesfor fuzzyinference. An
exampleof aMamdani fuzzyruleusedfor control of
simulatedshipadvancespeedis:
wherePL andNSareinput fuzzysetsandSAs(Slow
Astern) isanoutputfuzzyset. Inessencerule(8) states
thatif shipsadvancespeedissignificantlylarger than
the desired advance speed and the ships position is
alittleback of thedesiredone(calculationof vector
connectingbothpositionsmustbedone) thecontroller
output should be the pitch setting corresponding to
SlowAsternfuzzyset.
The quantity, linguistic names, and membership
functions of output fuzzy sets areall designparame-
tersdeterminedbythecontroller developer. Similarly
to input fuzzy sets the most popular membership
functionsof singletontypehavebeenused(Fig. 3).
Theexact number of fuzzy rules is determinedby
thenumberof inputfuzzysets. Fortheconsideredsys-
temof shipcontrol thetotal numberof fuzzyruleswill
bethecombinationof 5inputvariablesand5fuzzysets
(if forall variablesthesamenumberof fuzzyinputsets
isdesigned): 5
5
=3125; quitealargeamount for only
pitches setting. Actually this number of fuzzy rules
can be significantly reduced by treating each input
variableindependentlyandcombiningtheoutputdur-
ingdefuzzification. Thiscanbeachievedbyutilizing
coupledfuzzycontrollers.
2.3 Fuzzy inference
The resultant membership values of input sets pro-
ducedbyfuzzylogicANDoperation(Zadehorproduct
operator can be used (Ying, 2000)) are then related
tothesingletonoutput fuzzy setsby fuzzy inference.
Thefourcommoninferencemethodsproducethesame
inference result if the output fuzzy set is singleton.
AssumingthatforfuzzysetsA
i
membershipvaluesare
givenby(3)(7), andfor fuzzysetsB
i
, corresponding
topositiondeviation, themembershipvaluesare:
if four fuzzy rules similar to (8) will be activated
at time n, using the Zadeh fuzzy logic AND opera-
tor and Mamdani minimuminferencemethod (Ying
2000) yieldsthefollowinginferenceresults:
for u
1
(n)=DSAs(DeadSlowAstern):
for u
2
(n)=STOP:
for u
3
(n)=SAs(SlowAstern):
for u
4
(n)=HAs(Half Astern):
If output fuzzy sets in rules are the same fuzzy
logicOR operationcanbeusedtocombinethemem-
berships. In the presented example all four output
singletonsetsaredifferent (DSAs, STOP, SAs, HAs)
sothecalculationwill continuewithout it.
77
Figure4. MIMOcoupledfuzzycontroller.
2.4 Defuzzification
The membership values computed in fuzzy infer-
ence must be finally converted into one number by
adefuzzifier. Intheongoingresearchthemost preva-
lentdefuzzifier inliterature centroiddefuzzifier has
beenused(Piegat 2003, Ying2000). Inthepresented
examplethedefuzzifier output at timen is:
where:
u
1
=13%of pitch/throttleposition(DSAs),
u
2
=0%of pitch/throttleposition(STOP),
u
3
=25%of pitch/throttleposition(SAs),
u
4
=50%of pitch/throttleposition(HAs),
sou(n)=18%of pitch/throttleposition.
u(n) isthenewoutputof thefuzzycontrollerattime
n whichwill beappliedtotheshipsystemtoachieve
control. Incomparisonwithconventional controllers,
what is lacking is theexplicit structureof thefuzzy
controller behind the presented procedure. On the
otherhandutilizingexpertknowledgeforsuchablack
boxismuchmorestraightforwardandcomprehensive.
3 MIMOSYSTEM
Thecontrollersdesignprocessisfurther complicated
by itsmultidimensional output. Thepossiblesolution
of thisproblemhasbeenpresentedin[6] by utilizing
coupledcontrollers. Alsousageof independent fuzzy
controllersinthecontrol of aMIMOsystem(multiple
input, multipleoutput) cangivegoodresults.
Figure4presentsexemplarystructureof acoupled
fuzzy controller for 5 input variables and 2 output
variables(pitchsettingsof bothpropellers). Eachcon-
trollerutilizesitsownfuzzysetsmembershipfunctions
andfuzzyrulescoveringimpactof pitchessettingson
therotationandlateral speedof thevessel.
4 CONCLUSIONS
Thehumanshiphandlingexpertiseandknowledgecan
becapturedandutilizedintheformof fuzzysets,fuzzy
logic and fuzzy rules. The expertise and knowledge
areactually nonlinear structures of physical systems
whicharerepresentedinanimplicitandlinguisticform
ratherthananexplicitandanalytical form,asdealtwith
by the conventional systemmodeling methodology.
That is why fuzzy controllers can besuitably imple-
mentedintononlinear dynamicmodel of shipcontrol.
Fasttimesimulationbasedonsuchmodel shouldgive
satisfactory results even after logging only one or
few expert passages in relevant areaand conditions.
AfterwardstheFTSmodel canrunautonomouslypro-
vided that theproper ship safety limits areachieved
bydesignedfuzzification(membershipfunctions) and
inference(fuzzyif-thenrulesandoperators)processes.
BIBLIOGRAPHY
Gucma S., Gucma L., Zalewski P., Symulacyjne metody
bada n w in zynierii ruchu morskiego, Wydawnictwo
Naukowe Akademii Morskiej w Szczecinie, Szczecin
2008.
PiegatA., Modelowaniei sterowanierozmyte,Akademicka
OficynaWydawniczaEXIT, Warszawa, 2003.
YingH., Fuzzy Control andModelling Analytical Foun-
dationsandApplications, IEEE Press, NewYork, 2000.
ZadehL. A., Theevolutionof systemsanalysisandcontrol:
apersonal perspective,IEEEControl SystemsMagazine,
16, 9598, 1996.
Zalewski P., Construction of the Knowledge Base for
an Expert System Supporting Navigators Manoeuvre
Decision in Confined Waters, in 9th IEEE MMAR,
Mie
dzyzdroje,Technical Universityof Szczecin, pp. 195

200, 2003.
78
2.6
Shipmanoeuvringperformanceexperimentsusingafreerunning
model ship
N. Im& J.-H. Seo
Mokpo National Maritime University, Mokpo, South Korea
ABSTRACT: In this paper, a 3m-class free running model ship will be introduced with its manoeuvring
performanceexperiments. Theresults of turningcircletest andzig-zagtest will beexplained. Thedeveloped
systemareequippedwithGPS, maincontrol computer, wirelessLAN, IMU (Inertial Measurement Unit), self-
propulsionpropeller anddrivingrudder. ItsmotioncanbecontrolledbyRC(RadioControl) andwirelessLAN
fromlandbasedcenter. Automaticnavigationisalsoavailablebypre-programmedalgorithm. Thetrajectoryof
navigationcanbestoredby GPS andit providesuswithimportant datefor shipsmotioncontrol experiments.
Theresults of manoeuvringperformanceexperiment haveshownthat thedevelopedfreerunningmodel ship
canbeusedtoverifythetest of turningcircleandzig-zag. For next step, other experimental researchessuchas
shipcollisionavoidancesystemandautomaticberthingcanbeconsideredinthefuture.
1 INTRODUCTION
Recently many researches onshipautomatic naviga-
tionsystemhavebeencarriedout. Theoneof system
requiredfor theseresearches is afreerunningmodel
ship. A freerunningmodel shiphasbeenusedinship
model basinareatovalidifyorconfirmshipsmanoeu-
vring/motion or resistance performance before the
shipsbuilding.Whenafreerunningmodel shipisused
inabasin, usually it isknownthat therearelimitsof
basinsizetofully test theshipsperformance. There-
foremany researches havebeen carried out outdoor
suchaspondor river.
When experiment is conducted outdoor using a
free running model ship, a lot of equipments are
required such as IMU (Inertial Measurement Unit),
GPS (Global PositionSystem) andother facilities to
get other ships information. This paper will intro-
duce MMU (Mokpo National Maritime university)
freerunningmodel shipwhichcanbeusedfor ships
manoeuvring/motionperformancetests.Thesystemis
equippedwithGPSandAIStogetshipsreal timeposi-
tionandothershipsinformation. Mainpurposeof this
model shipistocarryout shipsintelligent navigation
test wheretheshipnavigaterecommendsearouteor
shipavoidother shipintheseawithouthumancontrol
automatically. Theresearchinthis paper was carried
out as the first step of these researches. The struc-
tural andfunctional conceptof thefreerunningmodel
will beintroduced. Wecarriedout basicshipsperfor-
mancetestssuchastuningcircleandzig-zagtest asa
firststepof shipintelligentnavigationtests. Wefound
goodperformanceinthemodel shipandthatthemodel
canbeutilizedinshipintelligentnavigationtestsinthe
future.
2 THE STURECTURE OF A FREE RUNNING
MODEL SHIP
TheMMUfreerunningmodel shipconsistsof follow-
ingequipments.
Mainelectricsystem
Devicecontrol system
Signal measurement system
Communicationsystem
Model ship
2.1 Main electric system
A freerunningmodel shipusuallyrequireshighcapac-
ity of power becauseit is operatedopenwaters with
winddisturbances.Theelectricsystemof MMUmodel
supplies its electricity to servo motors andcomputer
power andcommunicationsystem. Twoservomotors
areequippedinthemodel ship, one(700W) for pro-
peller andtheother (100W) for rudder operation. In
operation situations, the servo motors always con-
trolled, so capacity of battery is important to keep
themodel poweredfor longtime. Two of battery are
installed with a 12V deep cycle method and 100ah
class of parallel circuits. Output power frombatter-
ies is sent to a DC/AC inverter and converted into
220V single-phasecurrent for eachelectricity equip-
ments. A current transformers or SMPS (Switching
ModePower Supply) of 24V or 12V oftenisusedfor
small capacitiesequipments.
2.2 Device control system
Control device system consists of access point
(IEEE.80211g),laptopcomputer,PMAC,servodriver
79
Figure1. Batteryandconverter.
Figure2. Systemflowinamodel ship.
and wireless control system. Thefollowing explains
moredetails
Laptopcomputer
It controlsthetotal systemof model ship. Itssignal
translatedintoeachequipment withTCP/IP signal
throughanetworkadopter
PMAC
WhenitreceivesTCP/IPsingal, theoutputof range
0-10Visproducedandsenttoeachservodriversuch
asrudder andpropeller gears.
Servedriver
It controls the rudder and propeller motors with
signalsfromPMAC.
Radiocontrol Receiver
Thereceivergetsignalsfromradiocontrol transmit-
ter tocontrol rudder angleandpropeller revolution.
Thetranslatedsignal issent tolaptopcomputer by
wayof NI USB-DAQ.
2.3 Data acquisition system
Thesignals in afreerunning model can beinto two
typesroughly.Thefirstissignal forashipmotioncon-
trol part andthesecondis for motionmeasurements
suchas6DOF (DegreeOf Freedom).All signalsfrom
shipsmotionandcontrol partistranslatedintolaptop
computer inthemodel whereeachsignal arestoredor
re-translatedaccordingtotheirpurpose.Thefollowing
explainmeasuredsignal at eachequipment.
PMAC
Each phasegenerated in encoders of servo motor
is input into PMAC via servo driver. The input
Figure2a. Dataacquisitionsystem.
phasesareconvertedintomeaningful datafor rud-
der locationandpropeller revolution. Thedataalso
translated into laptop computer viaTCP/IP to be
storedasdatalogor monitoringpurpose.
NI-USB-DAQ
Thedatatranslatedintoradiocontrol receiveriscon-
verted to PWM (pulseWidth Modulation) signal.
TheNI-USB-DAQtranslatethesignal of PWMinto
laptopcomputer inmodel shipviaUSB port.
6AxisIMU (Inertial Measurement Unit)
Thesignal datafromIMU aretranslatedintocom-
puter by serial communication. They areused for
shipsmotionloggingandmonitoring.
GPS(Global PositionSystem)
Thesignal datafromGPS also aretranslated into
computer by serial communication. They areused
for loggingandmonitoringof shipstrajectory.
AIS(AutomaticIdentificationSystem)
Itisequippedtoobtainothershipsinformationsuch
asshipsposition, headingangleandspeed. Itssig-
nal alsotranslatedasserial dataintocomputer.This
systemcanbeusedasoneof intelligent navigation
system. Whenamodel shipavoids collisionsitua-
tions, thedatafromAISisveryessential tocalculate
theriskof collisionbetweentwoships.
2.4 Communication system
A communication systemof the model ship can be
dividedintothreetypesof analoguesignal,TCP/IPand
RS-232.Thefollowingareexplanationsof equipments
andprotocol.
Digital andanaloguesignal
Encoders in servo motor produce several pulse.
Control signal for servo motor ranges from 0V
to 10V. The NI-USB-DAQ adopted in the model
ship has spare channel for signal I/O , therefore
additional hardwareinstallationwill beconvenient
such as wind and current meters and additional
propulsionequipment.
TCP/IP
The access point (IEEE. 802.11g), a close range
wireless communication protocol, enable users to
transmit data with 54Mbps. The communication
between the laptop computer in the model ship
andshorecontrol center ispossiblebyTCP/IP. The
80
Table1. Principal particularsof model ship.
Ship Model
Scaleratio 1 100
Designspeed 15.5(knots) 0.7973(m)
L.B.P(m) 320 3.2
L.W.L(m) 325.5 3.255
B(m) 58.0 0.58
Depth(m) 30.0 0.3
Draft(m) 20.8 0.2080
m
2
WSA() 27320.0 2.7320
m
2
Volume() 312737.5 0.3127
C
B
0.8101 0.8101
F
A
0.142 0.142
Table2. Principal particularsof model ship.
Rudder Propeller
Type Horn Type FP
Sof rudder(m
2
) 273.3 No. of blades 4
Lat area(m
2
) 136.7 D(m) 9,86
Turnrate(deg/sec) 2.34 P/D(0.7R) 0.721
Ae/A0 0.425
Rotation C.W
hubratio 0.155
Figure3. Thepictureof themodel ship.
signal to/fromPMAC istranslatedviaaccesspoint
withformof TCP/IP tocontrol shipsoperation.
RS232
Several equipmentssuchasIMU, AISandGPSuse
serial datatransmission, RS232.All datafromthese
equipmentsarestoredinlaptopcomputersystemfor
loggingandmonitoringof theshipssituations.
PWM (PulseWidthModulation)
Emergencysituationssuchasmodel shippowerfail-
ureor collisionsrequireprompt anddirect control.
Radiocontrol transmitter- receiverdealstheirsignal
withPWM method. WhenNI-USB-DAQ receives
pulsefromradiocontrol receiver anddecideswhat
kinds of control should be done using the pulses
timefromraisingedgetofallingedge.
Table3. OpeatingSystemof Software
Computer OS WidowsXP
Computer Language LabVIEW8.5
devicedriver PMAC
NI-DAQ
Figure4. Mainscreenof operatingprogram.
2.5 Model ship
Themodel shiphas1/100of model scale. Water-proof
wasconsideredineveryhatchtoprevent capsizingof
the model. The table 1 and 2 show the principal of
model ship. Thefigure2explainsthemodel ship.
3 THE MODEL OPERATION
Theoperatingsystemforthemodel shipcanbedivided
into two system of software operating system and
hardwareoperatingsystem.
3.1 Operating system of software
Table3 indicates softwareoperating systemadopted
for themodel ship. As shownthis table, WindowXP
andLabViewareusedfor OSandcomputer program
language.
3.2 Operating system of hardware
Critical control is doneby inner computer on board
which is controlled fromshorecomputer with wire-
less network communication. A priority of control is
set to radio control receiver-transmitter in specified
frequency to cope with emergency situations. This
enablesuserstotakeappropriateandprompt actions.
In caseof radio control receiver failureor networks
signal errors, the inner computer of model ship is
designedtorunprogrammedsequenceorprocess.The
figure 4 indicates the priority of operation system.
Whenlocal control modeis selected, model shipcan
be controlled by shore or inner laptop computer by
manual mode. If local control modeiscancelled, radio
81
Figure5. 10-10zig-zagtest intowingtank.
control is searched at first. When radio control sig-
nal isnotfound, automaticnavigationcontrol modeis
activated.
Users can useadditional safety measurement, the
function of fail safe where radio control system
can be kept specified conditions or stopped if radio
transmitter-receiver failed to get signals or the level
of power inbatteryissolow. Thisenablestheuser to
copewithemergencysituationssuchaspower failure
inmodel shipor critical collisionsituation.
All data of model ship can be obtained from
USB ports. Additional equipmentsinstallationalsois
possiblethroughspareportsof USB.
4 EXPERIMENTS
Inthisresearch, twokindsof experimentsarecarried
out inthecostal seaandinatowingtank. Zig-zagtest
andturningtestwereperformed.Thesetestsareknown
as very essential andimportant methodto evaluatea
shipsmanoeuvringperformances.
4.1 Zig-zag test
Zig-zagtestof 10-10degreeand20-20degreewereper-
formed.Thefigure5showstheresultsof 10-10zig-zag
testcarriedoutintowingtank. Thefigure6showsthe
results of 20-20zig-zagtest carriedout inthecostal
sea side. As shown in these figures, it is found that
themodel shipwell performzig-zagtest without any
errorsandthedataof shipsheadingandrudder angle
alsoareveryclear.
Figure7 shows theships trajectories obtained by
GPSduringshipszig-zagtest.
4.2 Turning circle test
Shipsturningtest alsowascarriedout. A turningcir-
cletestsusuallytobeperformedtobothstarboardand
port with35degreerudder angle. Therudder angleis
executedfollowingasteady approachwithzero yaw
rate. Figure8and9showtheresultsof turningtest.As
showninthesefigure, thetrajectoriesof themodel and
shipsheadingandrudderangleareclearlyobtainedto
Figure6. 20-20zig-zagtest inthesea.
Figure7. Shipstrajectoriesin20-20zig-zagtest.
Figure8. Shipstrajectoriesinturningtest.
evaluateshipsmanoeuvringperformances.Thediam-
eters of tactical and advance are found around 7-8
meters. This experiment was performedinopensea.
Environmental disturbancessuchaswindandcurrent
effectsareincludedintotheresultsof theexperiment.
5 CONCULSIONS
The main points of research can be summarized as
followings.
The main structure and concept of MMU free
runningmodel shipwereintroduced.
Zig-zag tests and turning tests wereperformed to
evaluatethemodel shipsessential usefullness.
82
Figure9. Shipsdatainturningtest.
Figure10. Zig-zagtest intowingtank.
It was found that the model ships software and
hardware systemwere enough to be used further
ships control research in thefuturesuch as ships
intelligent control fields.
REFERENCES
SIMMAN(2008), Geomety of KVLCC1, http://www.siman
2008.KVLCC
H Shin, CrabbingTest of a 3mFerry Model, J ournal of
thesocietyof Naval Architectsof Korea, Vol 41. No.1pp
4046
H Shin, 2mClassfreemodel ship, J ournal of thesociety of
Naval Architectsof Korea, Vol 45. No. 3pp247257
HYoon, Development of Freerunningmodel shipfor evalu-
ationof theperformanceof anti-rollingdevices. J ournal
of Koreannavigationandport, Vol 28. No. 2pp3339
83
2.7
Simulationof loaddistributionalongaquayduring
unparallel berthingmanoeuvres
J. Artyszuk
ABSTRACT: Themarineberthsarenormallysecuredfor safetyreasonswithasystemof fenders.Their roleis
toabsorbanddissipatethekineticenergyof ashipcomingintoacontactwithaberth, sothestructural integrityof
boththeberthandshipshull ispreserved. Normallythecombinationof anumber andthesinglefender strength
indicatetheships maximumallowablelateral speed in parallel berthing conditions (of course, with asafety
marginfrequentlytakenintoaccount). Moreor lessdirectlyand/or approximately, thisisalsoageneral selection
methodfor fender systems. Themainobjectiveof thisconferencecontribution, asinspiredbysomesuggestions
andneedswithinadomesticmarinesocietysincetheauthorsdevelopedandsuccessfullyimplementedfender
effect inshipmanoeuvringsimulation, istoanalysethelocal loadsinaparticular fender aroundtheregionof
contact during an obliqueberthing. Various conditions of ships lateral and angular velocities aretested. The
resultsarecomparedwithsomepractical shiphandlingtips, astobefoundintheliterature, leadingtoanecessity
of revisionof theexistingpractice. Thepresentedinvestigationsarebelievedtobeveryhelpful alsofor fender
systemdesigners.
1 INTRODUCTIONANDOBJ ECTIVES
Deck officers simplify theproblemof shipberthing,
whether made on her own or with tugs assistance,
tomaintainproper local lateral velocitiesfore(at the
bow) andaft (at thestern). Bothmovements areable
tobemeasuredby anonboarddoppler log(withsen-
sorsinthementionedlocations), anonboarddocking
system(as thesatellite-basedonewithtwoantennas,
orwherethelinearvelocityvector, e.g. fromasatellite
system, isintegratedwiththerateof turnfromagyro-
scopic sensor, or inwhichinertial sensors arefinally
applied), or a docking systemashore, if applicable.
Someterminals report amaximumallowablelateral
approach speed for various weather conditions and
shipsizes. Bydefault, theessentiallyparallel approach
isthereinassumed.
Of course, this practice really works when an
attempt is made to restrict these velocities as close
as possible to zero. However, some major or minor
problems can happen if thebowand stern velocities
aresignificantly non-zero, different fromeachother,
or occurringattheshipsnon-zerodirectionangletoa
berth(thusmakingasinglepoint contact).
In the following a closer look into the ship-berth
(or ship-fender) interactionphenomenonis intended,
becausethesituationismorecomplex, asusual, inthe
real-world. The local loads in fenders and absorbed
energies will be studied in detail. The problem is
tackledbythecomprehensiveshipmanoeuvringsim-
ulation with a full control over the fender effects.
According to the authors opinion the existing full-
missionship-handlingbridgesimulatorsdonot allow
any analysis of loads in fenders, except for sending
a broken fender alert. Moreover, the implemented
fender dynamic effect onshipmanoeuvringmotions
isoftennot well modelled.
2 SIMULATIONEXPERIMENTS
The designed simulation experiment consists of a
manoeuvringmathematical model of small chemical
tanker 6000 DWT. The ship data as of direct inter-
est inberthingproblemsarebriefedinTable1. Other
hydrodynamicfeaturesof themodel canbefounde.g.
in(Artyszuk, 2005). Themodel runs withinthefast-
andreal-timeinteractiveshipmanoeuvringsimulation
softwareSMART(all themechanical effectsincluded)
as developed by theAuthor. As to properly evaluate
the fender forces the integration and recording time
step 0.05s is adopted on the basis of some prelimi-
nary convergencesimulation trials with theberthing
manoeuvresinconcern.
For referencepurposes thedeep water conditions
near the berth are selected, since there is a signifi-
cant scatter in the literature concerning the shallow
water correction factors for added masses and hull
hydrodynamic forces. The patterns of local loads in
thefenderingsysteminsuchcircumstancesarehow-
ever believedtobeverysimilar tothoseof deepwater
case, of course except for absolute values. Because
thefenderreactionforcesreallydominatewhenacon-
tactwithfendersisalreadyestablished(evenbeforeor
after that moment thehydrodynamic dampingforces
aretoosmall tochangetheshipveryslowmotionsin
85
Table1. Theshipbasicdata.
Symbol Value Name
m[t] 8948 displacement (mass)
L[m] 97.4 lengthbetweenperpendiculars
B[m] 16.6 breadth
T[m] 7.1 draught
k
11
[-] 0.056 surgeaddedmasscoeff.
k
22
[-] 1.004 swayaddedmasscoeff.
k
66
[-] 0.83 yawaddedinertiacoeff.
r
z
[-] 0.2465 shipsgyrationradius(lengthunits)
arather short timeperiod) themost important for the
shallowwaterberthingsimulationistheaugmentation
of added masses. Nevertheless, some characteristic
shallowwater aspectswill belater raisedinthestudy.
Furthermore, themodel of discretelyspacedlinear
fenders, as describedin(Artyszuk, 2003), is usedin
the research the fender reaction increases propor-
tionally to its compression while for decompression
it practically disappears. Though the SMART envi-
ronment is capable of implementing any nonlinear
load-deflectionchart of thefender (includingtheso-
called hysteresis), the adopted linear characteristics
enablesadirectcomparisonof simulationresultswith
thoseobtainedby theanalytical dynamic methodfor
asinglefender. Thelatter analytical approach, based
onaset of linear ODEs, wasintroducedin(Artyszuk,
2003). In view of the current concern more results
of this analytical method are contained in Table 4.
Theanalytical methodisuniversal insuchaway that
after someminor extensionsit givesshipmovements
after theimpact for any initial condition in terms of
thedirectionangle, linear andangular velocities. This
certainly couldhelpto solveadisputeinthedomes-
tic literature(Magda, 2006) withregardto theVasco
Costa formula (Vasco Costa, 1964) for the berthing
energyabsorption, asbasedontheangularmomentum
conservationtheoryfor non-elasticcollisions.
A berth secured with 20 fenders (each of the
maximum force 100t at the deflection 20cm that
contributestotheenergyabsorptionE
F
=98.1kJ per
singlefender) is set upfromthepractical viewpoint.
Asopposedto(Artyszuk, 2003, 2005), inthepresent
research the linear reaction of a fender during the
decompressionphaseisadditionallyassumed, though
set onlyat thelevel of 1%of thecompression-related
reaction at the same deflection. These fenders are
spacedevery5mthatcorrespondsto1/20of theships
length, since trials with 10 fenders, arranged every
0.1L, havefailedinthissensethatsafeberthingspeed
under such circumstances is relatively low (even in
deep water constituting the most favorable berthing
conditions). It shall beherenamely emphasized that
the usual curvature of the ships waterline contour
(specifically the length of ships parallel body), see
Figure1, leadsinour casetothecompressionof just
11to 13fenders (of thetotal number 20) depending
onthelateral speed. Theseare6(7) aft, 1center, and
4(5) forwardfendersfor thespeed0.3(0.6)kt.
Figure 1. Situational sketch of portside berthing
manoeuvre.
Table2. Summaryof simulationruns.
Modeof Motion
Symbol Heading v
y
(sway) /
z
(yaw)
R0. 090
neg. /
R1. 090
neg. /
A0. 088
neg. /
B0. 085
neg. /
C0. 080
neg. /
D0. 075
neg. /
E0. 070
neg. /
F0. 060
neg. /
B1. 085
/ neg.
B2. 085
pos. / neg.
B3. 085
neg. / pos.
G0. 095
neg. /
G1. 095
/ pos.
G2. 095
pos. / pos.
G3. 095
neg. / neg.
All thefenders arelabeledaccordingtotheir rela-
tivelocationagainsttheshipsmidshipsection(Fig. 1).
There are 15 runs considered in the experiment, in
which the ship after an initial excitation moves by
inertiatowardstheberth seeTable2.
The first two runs (R0, R1) deal with a paral-
lel approachat different lateral velocity (0.3m/s and
0.15m/s correspondingly). The other six in order
(A0E0) constitute an oblique, constant heading
bow-in(bow-first) berthingatadifferentship-to-berth
direction(startingfrom2
upto30
), inwhichthelin-
ear velocity v
xy
=0.15m/s (0.3kt) is kept normal to
theberth. Suchaconditionmeansthevaryingforward
andlateral (negativetoportside) velocities, v
x
andv
y
,
accordingtotheprojectionsof total velocityvector in
ships body axes seethefirst rowof Table4a. The
consecutivethreeruns(B1B3)takeafocusonapos-
sibledifferent combination of thelinear andangular
(positivetostarboard) velocityastoarriveatthesame
local lateral velocity(equal to0.15m/s) for theships
hull point of thefirst contact. Inthebow-inberthing
thelatter lies approximately at theonequarter of the
86
Table3. Motionsandenergyabsorption analytical study.
Fender abscissa(inshipslengthfromamidships)
0.0 +0.1 +0.2 +0.3 +0.4 +0.5
t
max
[s] 3.0 2.8 2.3 1.9 1.5 1.3
v
y1
[m/s] 0.0000 0.0382 0.1047 0.1547 0.1856 0.2046
z1
[
/min] 0.00 13.47 18.48 18.19 16.38 14.44

%E
1
(
z
) 0.00 0.85 0.58 0.38 0.26 0.18
E
1
[kJ ] 0 86 235 347 416 459
dE
1
[kJ ] 560 475 326 214 144 102
%dE
1
1.00 0.85 0.58 0.38 0.26 0.18
dE
1
/E
F
5.7 4.8 3.3 2.2 1.5 1.0
Figure2. Shipspivot point duringtheworkof fender.
shipslength(25m)fromtheamidshipsposition.The
lastfour manoeuvres(G0G3) comprisesomecases
of thestern-inberthingat 5
totheberth. Thevarying
combination of lateral and yaw velocities also con-
tributestothelocal contactvelocityof order 0.15m/s,
whichis however nowconnectedwiththehull point
placed40masternfromtheshipsmidship.
3 ANALYSISOF RESULTS
As aforementioned, of a great assistance in physi-
cal explainingand/or verifyingthesimulationresults
appearsanapplicationof theanalytical method see
thefollowingTable3. If ashipmovingnearlyperpen-
dicularlytotheberthhitsasinglefender, theresulting
after theimpactlateral v
y1
andyaw
z1
velocitiesgen-
erallydependonthefender contactpointinrelationto
theshipsmidship(index1 denotesthefirst impact,
herethebowimpact, 2 refers to thesecondimpact
i.e. bythestern). Tobemorepreciseoneshouldrefer
thefender positiontotheshipsradiusof gyrationr
z

seealsotheearlyworksof VascoCosta(VascoCosta,
1964, 1968). Theinstant pivot point positionx
PP
dur-
ingthefendercompressiondecreasesfromtheinfinity
uptotheconvergencewiththefender positionx
c
at
themomentof maximumdeflectiont
max
.Forthechem-
ical tankerinconcernwithaberthingspeedof 0.25m/s
this is presentedinFigure2, wherebothmagnitudes
areexpressed in units of theships length (thevalue
0.5coincideswiththeshipsbow).
It isevident fromTable3that thehighest contribu-
tionto theresidual total kinetic energy after thefirst
impact, asactuallycomingfromtheshipsrotation, is
gainedfor afender closetothemidshipsection the
parameter%E
1
(
z
) representstheratioof yaw-related
energytothetotal remainingenergyE
1
.Thedifference
betweenE
1
andtheinitial energyE
0
(herearisingfrom
the pure lateral motion) is represented by dE
1
. Fur-
thermore, thequantity %dE
1
means theratio of just
absorbedenergydE
1
totheinitial energyE
0
, whilethe
expression dE
1
/E
F
indicates the absorbed energy as
comparedtothefender specificmaximumenergyE
F
thatcanbesafelyabsorbed(hereE
F
=98.1kJ ).Values
of dE
1
/E
F
inTable3higherthanunity, specificallyfor
fendersclosetothemidship,arerathertheoretical ones
(although of some practical implication), since the
assumedlinear fender wasallowedtobecompressed
outside the limit of 20cm, which was necessary to
completely stoptheshipandtransfer her full kinetic
energy to thefender. It must bewell understoodthat
for the mostly forward fenders the absorbed energy
is essentially lower, but therest of initial energy still
remains ontheshipandincreases therisk of second
impact.
Theships kinematic behaviour duringberthingas
experiencedwithinthescopeof thesimulationexperi-
ment(seeSection2) issummarisedinTable4aand4b,
exceptfortherunR0thatissimilartoR1inoutput.The
subscripts0 and1 relatetotheconditionbeforeand
after thefirst impact, theindices2 and3 deal with
the second impact accordingly (if applicable). Time
t
2
is themoment of beginning thesecond impact as
countedfromthestart of thefirst impact. Theparam-
eter dE
3
storesthereleased(absorbed) energyduring
thesecondimpact.Thoughthefirstimpactinthebow-
inberthingcanaffect uptomaximumthreeparticular
forwardfenders, seethelast rowinTables4aand4b,
thesecondimpact issomehowacontinuouspressing
of all fenders insequence(strictly relatedto thehull
parallel body), asinstalledontheberth, commencing
fromthefendersof thefirst impact. Inthiscontext t
2
indicatesthepoint of timewhentheshipactivatesthe
first aft (negative) fender, seeFigure1. Themeaning
87
Table4a. Motionsandenergyabsorption simulation.
Runno.
R1 A0 B0 C0 D0 E0 F0
v
y0
[m/s] 0.1475 0.1460 0.1433 0.1409 0.1386 0.1313 0.1232
z0
[
/min] 0.00 0.03 0.13 0.33 0.44 0.84 0.83

%E
0
(
z
) 0.00 0.00 0.00 0.00 0.00 0.00 0.00
E
0
[kJ ] 195 191 185 181 179 167 162
v
y1
[m/s] 0.0167 0.0631 0.0693 0.0802 0.0871 0.0883 0.0938
z1
[
/min] 2.43 11.86 11.66 11.11 10.74 10.37 9.54

%E
1
(
z
) 0.49 0.61 0.56 0.46 0.40 0.38 0.29
E
1
[kJ ] 5 92 97 107 114 113 124
dE
1
[kJ ] 190 99 88 74 65 54 39
%dE
1
0.98 0.52 0.47 0.41 0.36 0.32 0.24
dE
1
/E
F
1.94 1.01 0.89 0.76 0.67 0.55 0.39
t
2
[s] 11 28 62 100 146 255
v
y2
[m/s] 0.0505 0.0597 0.0406 0.0366 0.0303 0.0268
z2
[
/min] 11.99 10.06 9.78 8.72 7.61 5.93

%E
2
(
z
) 0.72 0.56 0.72 0.72 0.74 0.69
E
2
[kJ ] 80 72 53 42 31 20
v
y3
[m/s] 0.0287 0.0252 0.0273 0.0241 0.0213 0.0159
z3
[
/min] 2.71 1.69 2.65 2.43 2.08 1.70

%E
3
(
z
) 0.28 0.17 0.30 0.31 0.30 0.34
E
3
[kJ ] 10 7 9 8 6 3
dE
3
[kJ ] 70 66 43 35 26 17
%dE
3
0.87 0.91 0.82 0.82 0.82 0.83
dE
3
/E
F
0.71 0.67 0.44 0.35 0.26 0.17
fendersof from6 3, 4,
1st impact to4 5 4, 5 5, 6 6 6, 7 8
Table4b. Motionsandenergyabsorption simulation.
Runno.
B1 B2 B3 G0 G1 G2 G3
v
y0
[m/s] 0.0000 0.1464 0.2471 0.1475 0.0000 0.1485 0.2486
z0
[
/min] 20.13 39.25 13.53 0.04 12.77 25.30 8.54

%E
0
(
z
) 1.00 0.76 0.12 0.00 1.00 0.56 0.05
E
0
[kJ ] 162 807 621 195 65 453 583
v
y1
[m/s] 0.0671 0.2089 0.1546 0.1077 0.0357 0.1828 0.2010
z1
[
/min] 8.71 24.76 26.28 10.31 3.31 15.21 19.53

%E
1
(
z
) 0.43 0.38 0.56 0.29 0.28 0.24 0.30
E
1
[kJ ] 71 636 490 146 16 392 515
dE
1
[kJ ] 91 171 130 49 49 61 69
%dE
1
0.56 0.21 0.21 0.25 0.76 0.14 0.12
dE
1
/E
F
0.93 1.75 1.33 0.50 0.50 0.63 0.70
t
2
[s] - 11 31 - - 16
v
y2
[m/s] 0.1095 0.0787 0.1546
z2
[
/min] 25.41 11.25 20.60

%E
2
(
z
) 0.71 0.48 0.44
E
2
[kJ ] 365 106 384
v
y3
[m/s] 0.0663 0.0311 0.0584
z3
[
/min] 5.57 5.02 7.75

%E
3
(
z
) 0.24 0.54 0.44
E
3
[kJ ] 52 19 55
dE
3
[kJ ] 314 87 329
%dE
3
0.86 0.82 0.86
dE
3
/E
F
3.20 0.89 3.36
fendersof 1st impact 5 5, 6 4, 5 8 8 8 7, 8
88
of other symbolsinbothTablesisidentical tothat of
Table3.
Thesecondimpact,thoughveryimportantincertain
circumstances, hasreceivedintheliteratureratherless
interest sofar. (VascoCosta, 1964, 1968, 1987) gives
onlysomegeneral shiphandlingconclusions, probably
due to the lack of appropriate simulations tools to
performsucharesearch.
AsshowninTable4a,thehigheranglesof approach-
ing the berth, while maintaining the same normal
velocity, lead to significant drops in theenergy dE
1
absorbedbyfendersandrotation-relatedcontribution
%E
1
(
z
) totheremainingenergy. Alsoproportionally
lowerenergyisabsorbedwithinthesecondimpact, see
dE
3
.Thelatterisalwaysweakerthanthefirstimpact
thehydrodynamic dampingof hull motions duringa
period till the ship is finally reaching the alongside
positionseemstoberesponsiblefor that.
However, whenit comes tofender loads thesitua-
tionissomehowindefinite dependentonthenumber
of fendersincontactwiththeshipshull, themaximum
loads (kN) experiencedinfenders areapproximately
as follows: 790(420), 940(400), 680(350), 800(300),
530(280),620(210)forrunsA0E0correspondingly.
Thefirstvalueregardsforwardfendersduringthefirst
impact, whileavalueinparenthesisreferstoaft fend-
ers in the second impact. Some of the these results
will be supported later with figures. With reference
to theless dangerous secondimpact similar but only
qualitativeissueshavebeenknownintheliterature.
It is worthwhile to report that in all the runs the
ship, thoughkeepingitsalmost parallel positionvery
closetotheberth,isunnoticeablyandslowlylosingthe
contactwithfendersthatcanbecalledaslightrebound.
Italsohappensintheparallel approachR1.Thiseffect,
basically recognizableby thepositivelateral velocity
v
y3
after the second impact (or v
y1
if only the first
impact exists), issurprisinglymostlyproducedbythe
implementationof thedecompressionreaction,though
very small as mentioned before. The ships parallel
bodyoveritsfull lengthnamelycollectsreactionsfrom
anumber of fendersthat givepretty highforceinthe
aggregate.TheinducedyawmotionintheberthingR1
isduetotheasymmetryof fendersaroundthemidship
assimultaneouslyactingontheshipsparallel body.
It is very interestingthat for runs B1andB2, see
Table4b, dealingwiththenegativeyawvelocity (i.e.
turningthebowtowardstheberth), thereisnosecond
impactandtheshipleavestheberthwith45%and80%
of theinitial energy accordingly. Anyhowinthecase
of B3simulation(positiveangular movement i.e. the
bowtends out of berth) thestern impact in terms of
theenergy is almost 2.5times stronger thanthebow
impact. Thisisanessential quantitativeimprovement
over theVascoCostaguidance.
Thestronger secondimpact, ascomparedwiththe
firstone,alsoarisesforthestern-inberthinginvariants
G0(aconstant heading, obliqueapproach) andG3if
weareof courseconsideringtheenergy.
It shall beunderlinedthat thesecondimpact mea-
surement in terms of the absorbed energy is not a
reliable and comprehensive indication of the ship-
berthinteraction,sincethenumberof activatedfenders
is often unknown if they are continuously (close to
eachother)distributedalongtheberth.Thisispartially
showninsubsequentFigures35wherethemaximum
value110
6
Natthescaleof vertical axisF
FND
, rep-
resenting the fender reaction, is nearly the breaking
strength of thefender. Thegeneral pattern of fender
loadsinthetimedomainaspresentedagreeswiththe
investigationsof (Fontijn, 1988).
For the aforementioned run B3 (Fig. 4) the very
highreactionsintheaftfendersarereallyverysimilar
inmagnitudetothoseof thefirst (bow) impact both
takeabout 90%of thebreakingstrength, however the
sternimpact involvesquitealargenumber of fenders
that allows to essentially resist the second impact.
Moreover, thenearlytwicehigher absorbedenergyin
thesecondimpactisevenaccompaniedby50%reduc-
tionof fenderloads.Additionally, thefivetimeshigher
energyof thesecondimpact inrunG3(heremadeby
thebow), Fig. 5, isjust connectedwith50%increase
of thefender load, though in our particular casethe
latter assumesnearlybreakingvalue.
Themaximumlateral speedfor parallel berthingin
deepwater is thespeedof runR0, seealsoTable4a,
thatisequal to0.3m/s(0.6kt). For theassumedfender
arrangement this ensures fender loads nearly at the
level of their breakingstrength. Whensomeonewants
tointroduceshallowwater conditions, thementioned
limit speed is being reduced to 0.52kt, 0.48kt, or
0.42kt if multipliersof order 1.5, 2.0, 3.0areaccord-
ingly applied to the sway added mass. The selected
reference velocity for all the peformed simulation
runs, seeSection2, atthelevel of 0.15m/sjustensures
the safe berthing under any tested circumstance i.e.
without damagetofenders.
4 FINAL REMARKS
The performed research has proved a great poten-
tial of simulating the fender local loads, even in
real-time, anddemonstratedaready-for-usesoftware
environment servingthispurpose.
This study has among others revealed that
some meaningful discrepancy between the impact
(absorbed) energyandlocal loadsinfendersappears.
This shall be taken into account when attempts or
efforts are made to establish the best shiphandling
guidance with reference to the most favorable com-
binationof lateral (linear) andangular velocity for a
givenship, fenderingsystem, depthandweather con-
ditions. Such recommendations, if properly applied,
shouldeaseboththefirst andsecondimpact interms
of local loads. Thoughthelatter isoftenmitigatedby
thewheel order.
To quantify the observed rebound phenomenon,
that is also of practical importance, further investi-
gationshavetobeplanned, wherethefully nonlinear
real-worldfendersareprogrammed.
89
Figure3. Fender local loads for constant heading parallel
andbow-inberthing.
Figure 4. Fender local loads for bow-in berthing with
turningandtheconstant headingstern-inberthing(G0).
90
Figure 5. Fender local loads for stern-in berthing with
turning.
REFERENCES
Artyszuk, J. 2003. Fender Impact Effect uponShipManoeu-
vring Motion a Dynamic Approach. In Proc. of X
International Conference Marine Traffic Engineering,
Maritime University of Szczecin, Scientific Bulletinno.70:
2536.
Artyszuk, J. 2005. Simulationof aSpringLineApplicationto
EnhanceBerthing/UnberthingManoeuvres. InC. Guedes
Soaresetal. (eds), MaritimeTransportation and Exploita-
tion of Ocean and Coastal Resources, vol. 1: 1725;
IMAM 2005. London: Balkema/Taylor&Francis.
Fontijn, H.L. 1988. Fender Forces in Ship Berthing. Part 1
and 2. Ph.D. Thesis, Delft: Universityof Technology.
Magda,W. 2006.Absorbtionof ShipKineticEnergybyBerth
Fenders. In zynieria Morska i Geotechnika 27(5): 306311
(inPolish).
Vasco Costa, F. 1964. The Berthing Ship. The Effect of
Impact on the Design of Fenders and Berthing Structures.
London: FoxlowPublicationsLtd.
VascoCosta, F. 1968. BerthingManoeuvresof LargeShips.
The Dock and Harbour Authority XLVIII(569-March):
351358.
VascoCosta,F.1987.TheProbabilisticApproachintheSelec-
tionof RopesandFenders.InE.Bratteland(ed.),Advances
in Berthing and Mooring of Ships and Offshore Structures:
323327; Proc. of the NATOAdvanced Study Institute on
Advances in Berthing and Mooring of Ships and Offshore
Structures, Trondheim, 717 Sep 1987. Dordrecht: Kluwer
AcademicPublishers.
91
2.8
Trainingcoursefor personnel involvedinemergency
towingoperations
T.E. Berg
MARINTEK Norwegian Marine Technology Research Institute, Trondheim, Norway
G. Gudmundseth
Ship Manoeuvring Simulator Centre, Trondheim, Norway
U. Klevstad
Norwegian Coastal Administration, Troms and Finnmark Region, Honningsvaag, Norway
ABSTRACT: This paper presents development of and experience froma simulator based training course
for personnel in Norwegian emergency responseoperations. As aresponseto governmental whitepapers on
emergency preparedness and safety at seain Norwegian waters, it was decided to develop asimulator based
training coursewith focus on emergency towing operations. Thefirst part of thepaper describes work done
by a group of subject matter experts appointed by Norwegian Coastal Administration. This group assisted
ShipManoeuvringSimulator Centretospecify thecontent of athreedaystrainingcoursefor deck officerson
emergency responsevessels. Two test courses wereruninthesummer of 2006. Feedback fromthesecourses
wasusedtoupdateandextendcoursecontent for thefirst ordinary coursesthat took placelater that year. The
second part of thepaper reviews courseexperienceand feedback fromcourseparticipants. Thefinal part of
thepaper describesthelinksbetweenthesimulator basedcourseandtheresearchanddevelopment activitiesin
theR&Dproject ArcticEmergencyOperation involvingpartnersfromFrance, Germany, J apan, Norwayand
UnitedKingdom.
1 INTRODUCTION
Emergency towing is ahigh-risk operation. In order
to increasethesuccess rateof such operations, spe-
ciallydesignedvesselsandhighlytrainedcrewsought
tobeemployed. However, inmost partsof theworld,
governmentsarenot willingtospendmoneyondedi-
catedvesselsdesignedtohandleworst-casescenarios.
Instead, theyusuallyoptformulti-purposevesselsthat
can performa number of different tasks under nor-
mal operational conditions. For extreme operational
conditionssuchvesselsinsomecasesbecomesmulti-
useless vessels, as they are not equipped to handle
extreme situations. Nor are crews trained to handle
theirvessel inthesesituations, whichmayincreasethe
riskof unsuccessful outcomesof emergencyresponse
operations under the extreme operational conditions
that exist inArcticwaters.
A number of relevant papers were presented at a
conferenceinBrestinJ uly2000. Capt. CharlesCladen
gives agood presentation of lessons learnt fromthe
Erika disaster. During the discussion Capt. Claden
said: Regarding salvage, emphasis should begiven
to improved training through moreexercises and on
better documenting the different emergency towline
systemsinstalledonvessels.
Basedonexperiencefromemergencytowingoper-
ations, theInternational MaritimeOrganisation(IMO)
approved Resolution A535 (13) Recommendation
on Emergency Towing Requirements for Tankers.
According to the IMO regulations tankers above
20,000DWT must beequippedwithonestrongpoint
at thebowandanemergencytowingsystem(ETS) at
thestern. Larger tankersover 150,000DWT will have
2strongpointsandanETS.
At the35thmeetingof theMaritimeSafety Com-
mittee(IMOMSC1994),theguidelinesforemergency
towingarrangement ontankerswereapproved. These
statethatthemajorcomponentsof thetowingarrange-
mentshouldbeaslistedinTable1.Theserequirements
are written in a functional form in order to allow
for different design solutions. One commonly used
designfor thestrongpoint istheSmit Bracket. Differ-
ent manufacturersoffer different designs, whichmay
createproblemsinanemergencysituation, especially
when trying to establish a towing connection for an
abandonedship.
In recent years, theIMO Sub-Committeeon Ship
Design and Equipment has organized a correspon-
dencegroupthat is lookinginto theneedfor similar
requirements for other types of vessels larger then
20,000DWT. Inapaper deliveredat the50thsession
93
Table1. Major componentsof emergencytowingarrange-
mentsfor tanker.
Forward Strength
Component of ship Aft of ship requirements
Pick-upgear Optional Yes No
Towingpennant Optional Yes Yes
Chafinggear Yes Depending Yes
ondesign
Fairlead Yes Yes Yes
Strongpoint Yes Yes Yes
Roller pedestal Yes Depending No
ondesign
of the Sub-Committee in 2006(IMO 2006) it was
requestedthat theSub-Committee:
Agree, inprinciple, tothedraftGuidelinesfor own-
ers/operatorsonthedevelopmentof emergencytow-
ingproceduresasdevelopedbythecorrespondence
group
TheGuidelines havebeendividedinto threemain
topics:
ShipevaluationTheevaluationof thevesselsmain
characteristics(currentcondition) andavailableon-
boardequipment
Emergencytowingbooklet (ETB)
Developingprocedures Guidelinestohelpcreate
a procedure on how to connect and be towed by
another shipinanemergencysituation.
INTERTANKOhasalsorecently beenworkingon
emergency towing, withafocus ontowinglines and
their characteristics.
Thereiswell-establishedcollaborationonsafetyat
sea among the Bonn Agreement (Bonn Agreement
1983) partners, covering shipping activities in the
NorthSea.
Norway and Russia have agreements regarding
cooperation in cases of at-sea incidents in the Bar-
ents Sea. Theinitial agreement on oil pollution was
signedin1994andtheagreementonsearchandrescue
operationsin1995. Since2003, ajointworkinggroup
withrepresentativesof theMinistryofTransportof the
RussianFederationandtheMinistry of Fisheriesand
Coastal AffairsinNorwaymeettwiceayeartodiscuss
howtoimprovesafetyat seaintheBarentsSea.
In1993, theCopenhagenAgreement wasextended
tocover theFaroeIslands, GreenlandandIceland, in
additiontotheoriginal participantsDenmark,Sweden,
Norway and Finland. In 2007, Norway and Iceland
alsoagreedtostart exchangingvessel traffic datafor
vesselsleaving/enteringthesecountries EEZ.
2 NORWEGIANEMERGENCY RESPONSE
ORGANISATION
TheRegional HighCommandNorthernNorway ini-
tially had the responsibility for coastal contingency
planningandresponseinNorthernNorway. Thecom-
mand had direct access to the resources to be used,
Figure 1. Operational regions for emergency response
vessels.
especially Norwegian Coast Guard vessels. In 2005
theNorwegian Coastal Administrations Department
of EmergencyResponsewasset upandtook over the
responsibilityfromtheRegional HighCommand.The
NorwegianCoastal Administrationis responsiblefor
thecharteredemergency responsevessel inNorthern
Norway.
Thecontingency planning for acutepollution has
three layers; private, community and national. The
NorwegianCoastal Administrationis responsiblefor
governmental contingency planning and is theexec-
utive body for handling large acute oil spills and
preventingsuchaccidents. NCA holds responsibility
for thegovernmental towingsupportserviceinNorth-
ernNorway. BasedonastudyledbyDetnorskeVeritas
(DNV 2006), it wasdecidedtousethefollowingdata
when specifying the necessary towing capacity for
governmental emergencyresponsevesselsworkingoff
thecoast of NorthernNorway:
Hold/manoeuvrevesselsupto100,000DWT with-
out ownpower under thefollowingenvironmental
conditions:
Windspeed20m/s
Current speed1m/s
Significant waveheight 5m
At present twoemergency responsevessels areon
dutyduringthesummerandthreeinthewinterseason.
ThesevesselsarelocatedasshowninFigure1.
All vesselsaremultipurposevesselsandtheir per-
formanceasemergencytowingvesselsislimited. Ina
notepreparedby theNorwegianCoastal Administra-
tion (NCA 2007) thefollowingimprovements to the
present contingencysituationhavebeenproposed:
Towingvessel capacityshouldberaised, especially
inthesummer season
94
Oil-spill combating equipment needs to be
improved for cold climateoperation/lowtempera-
tures, icingconditions)
Trainingof personnel to handlesituations indark-
nessandat lowtemperatures
All policy statements made by government agen-
ciesandoil companiesinvolvedinoil explorationand
production off the coast of Finnmark say that The
contingency for shipping and marine operations in
the Barents Sea should be the best in the world.
There is thus a need for government organisations
to develop a common definition of specific objec-
tives andactionplans to implement this contingency
organisation, purchasenecessary equipment (includ-
ingmission-adaptedvessels) andtrainpersonnel who
will be involved in combating maritime emergency
situations.
3 DEVELOPMENT OF SIMULATOR BASED
TRAININGCOURSE
In thecourseof thepast fewyears, anumber of sit-
uations have arisen in which vessels in distress in
harsh weather have needed the assistance of emer-
gency towing vessels. To establish an emergency
towing connection is achallenging operation, in the
course of which the emergency response vessel has
to manoeuvre close to the disabled vessel. A highly
skilledandexperiencedmaster isneededfor suchan
operation. How to train masters for such vessels is
a challenge, as emergency towing in harsh weather
is a rare event for personnel on other vessels than
dedicated emergency towing vessels. Different solu-
tions havebeenselectednationally andby themajor
salvagecompanies for qualification of personnel on
emergency response and towing vessels. Generally
speaking, it isimportant tobuildcrewswithastrong
degree of respect for each others field of exper-
tise. Companies such as Smit Salvage and Abeilles
have their own in-house training program for per-
sonnel onboardtheir emergency towingandsalvage
vessels.
In 2003, the Norwegian Coastal Administration
started a project that had two main objectives. The
first was to prepareaset of functional requirements
for vessels to be used in the authorities emergency
preparednesssystem. Thesecondwastospecifyalist
of competencesneededby senior personnel onemer-
gency responsevessels. With this list in hand, NCA
reviewedexistingtrainingoffers inNorway andcon-
cluded that these were unable to deliver what they
required. They thendecidedtofundthedevelopment
of a specific training course to improve the compe-
tencelevel of personnel involvedintasksspecifiedin
theNational EmergencyTowingContingencyPlan. In
2005, SMSwasinvitedtotakepartinthedevelopment
of a simulator-based training course as one element
of acompetenceenhancement planfor personnel on
emergency responsevessels. TheNorwegianCoastal
AdministrationappointedanexpertgrouptohelpSMS
to develop a simulator-based training course. It had
representativesfrom:
TheNorwegianCoastal Administration
TheRegional HighCommandNorthernNorway
TheNorwegianCoast Guard
Tanker operators
The expert group was asked to specify course
objectives, evaluate the need for necessary exten-
sionsof simulator softwareandhardwareandspecify
the instructor qualifications needed for this highly
specific simulator-based training course. At an early
stageit was decidedthat thetarget groupof trainees
shouldbe
Management and deck operators serving onboard
vessels scheduled to form part of the National
EmergencyTowingService.
Shore-based personnel with tasks in the National
Emergency Response plan relating to handling
disabledvessels.
Thetypesof trainingobjectivesfor thiscoursehave
beendividedintothefollowingcategories:
Basic knowledgeandunderstandingof thephysics
of towingoperations
Towlinecharacteristics
Handling of the tug when preparing the towline
connection
Proceduretraining
TeamworkandBridgeTeamManagement
Ontherecommendationof theexpertgroup,thefol-
lowingitemswereincludedinthecourseprogramme:
National andInternational Regulations
TowingVesselsandTowingEquipment
TowingManual andStandardProcedures
Preparingfor theTowingOperation
TheTowingOperation
ForcesActingonDisabledVessel
TowingConnectionandTowingVessel
Arrival Port of Refuge
Simulator Exercises
Relevant chapters from SOLAS and MARPOL
as well as national regulations fromthe Norwegian
MaritimeDirectorate, theNorwegianCoastal Admin-
istration and theRegional High Command Northern
Norway will be discussed on the course. Parts of
the DNV rules for Marine Operations will also be
highlightedinsomeexercises.
For thetowingoperationthetrainingobjectivesare
relatedto
Arrival at disabledvessel
Pick-upof emergencytowingequipment
High-riskelementsduringmanoeuvringclosetothe
disabledvessel
Connectionof towingequipment
Operationof towingwinch/cable
Tensionintowingcable
High-riskelementsduringtowing
95
Figure2. KV Harstadtowingasimulateddisabledvessel.
Someof theaspectstobereviewedwhenthetowing
connectionhasbeenestablishedwill be:
TowingSpeed
TowingWireLength
Arrival at Coastline/Port of Refuge
TowinginShallowWater
TowinginNarrowWater
TowingwithoutAssistantTug(s)
Tobeabletostarttrainingasearlyaspossibleitwas
decidedtostartcoursesusingexistingsimulator mod-
els for anchor-handlingandplatformsupply vessels.
For these vessels it was necessary to performsome
additional force and visual modelling of the towing
arrangement, towinggear andtowingwinch. Figure2
shows an early visual model of the aft deck of the
Coast Guard vessel KV Harstad and thetowing line
for acalm-water towingoperationinconfinedwaters.
The simulator exercises have been developed to
enablethetraineestolearnmoreabout:
External forces(wind, current, swell andwaves)
Manoeuvringclosetoadisabledvessel
Maintainingdisabledvessel inposition
Turningandstoppingthedrift of adisabledvessel
Arrival at coastline/Port of refuge
Towingwithassistant tug(s)
Locationsfor trainingscenarioswereselectedsoas
torepresenttrafficpatternsandforsiteswherethecon-
sequencesof anoil spill fromagroundingorgrounded
tanker wouldbeserious. Thesimulator instructor has
theoptionof changingweather conditions duringan
exercise. The expert group has prepared a list of
failuresthatcanbeintroducedduringsimulationruns.
Initially, twotestcourseswitheightparticipantson
eachwereheld, oneinMayandtheotherinSeptember
2006. Theobjectiveof thetest courseswastocollect
feedbackfromtraineesoncoursedesign, coursemate-
rial, exercisesandsimulatorfidelity. Participantswere
nominatedbytheNorwegianCoastal Administration.
Courseparticipantsrepresented:
TheNorwegianCoastal Administration
TheNorwegianCoast Guard
TheRegional HighCommandNorthernNorway
Tugoperators
Table2. Evaluationscoresof test courseparticipants.
Activity Topic Good Verygood Excellent
Theory Content 11 5
Presentation
method 11 5
Instructor 6 10
Exercises Traininggoal 6 9 1
Briefing 10 6
Personal
challenge 9 6 1
Debriefing 9 7
The topics of the three-day test courses can be
dividedintothreemainitems:
Introductiontorulesandregulations
Studyof previouscases
Traininginthesimulator.
Inadditiontotheoral debriefingattheendof these
courses, SMS usedaone-pagewrittenquestionnaire.
For mostof thequestionsafive-level scoreformwere
used. Table2showssomeof theresponsesof thepar-
ticipants. Onlythetopthreescorelevelsareshownin
thetableastherewerenoitemswherethetwolowest
levels wereused by thetrainees. As can beseen the
coursewas well received by thetrainees, who made
anumber of suggestionsonwaystoimprovetheout-
comeof thecourse. Thewrittenlearningmaterial was
updatedonthebasisof feedbackfromtheparticipants.
Thebriefinganddebriefingactivities weremodified
toincreasetraineeparticipation.
The results of the evaluation was used to update
coursecontent and written learning material as well
astoimprovesimulator softwareandadapt thevisual
systemtoincludeimportantcuesusedbyexperienced
tug masters. The participants recommended that the
courseshouldbeextendedbyat least oneday.
4 EXPERIENCE FROM ORDINARY COURSES
After thetestcourses, four ordinarycourseswereheld
in 2006. Based on feedback from the test courses
the final course length was increased to four days.
Participants on the ordinary courses have included
representativesof on-boardandon-shoremanagement
involvedinemergency responseoperations innorth-
ernNorway. Table3shows theresults of thewritten
questionnaireforthesecourses. Forall topicsthefeed-
back ismorepositivethanfor thetest coursesshown
inTable2. It canbeseenthat instructor performance
hasbeenimproved, traininggoalsmademorerelevant
toreal-lifeoperationsandthebriefinganddebriefing
sessionsmademoreinteresting.
In2007, 6courseswererunwithatotal number of
42participants.Thetotal scoreshowedthatcoursegot
ameanscoreof 4.0ona1-5scorelist (where5istop
score or excellent).
96
Table3. Evaluationscoresfromcourseparticipants.
Activity Topic Good Verygood Excellent
Theory Content 13 16
Presentation
method 10 18 1
Instructor 1 26 2
Exercises Traininggoal 7 21 1
Briefing 10 19
Personal
challenge 9 19 1
Debriefing 11 16 2
In 2008, 5 courses took place with a total of 45
participants. The mean score on the feedback form
wasslightlyhigher thenfor 2007.
4.1 Improving ship models
Theparticipantsaskedfor updatedmathematical sim-
ulator models representing thethreevessels that are
part of the emergency response systemfor the win-
ter season in northern Norway. This is due to the
important differences in the manoeuvring and sea-
keepingperformanceof thesevessels. Duetolimited
personnel resourcesat SMSthedevelopment of ship-
specific models will be limited to only one of the
emergencyresponsevessels. KV Harstadwasselected
as acasevessel for thedevelopment of anewmath-
ematical model. Part of this work has been done at
MARINTEK using the3degrees of freedom(DOF)
model employed in MARINTEKs SIMAN software
(MARINTEK 2005), whichisbasedon:
Numerical calculationof addedmassusingVERES
Empirical expressionsfor linear dampingterms
Crossflowdragformulationfornon-lineardamping
terms
Empirical formulaeor manufacturers datafor rud-
der forces
Empirical formulaeor manufacturers datafor pro-
pellersandthrusters
Empirical corrections for hull-rudder-propeller
interactions
Empirical modelsof windforces.
To validate the model, MARINTEK has access
to model tests for the UT-512 design, which is the
basic design for KV Harstad, as well as calm-water
manoeuvringtests. As theshipyarddelivery tests are
very sparseon vessel manoeuvrability, it was neces-
sarytorunadditional seatestswiththeactual vessel.
Calm-water standardmanoeuvringtests accordingto
IMO recommendations (IMO 2002) were done late
October 2006. Thesemeasurementswereusedtotune
MARINTEKscalm-water model.
However, emergencyresponseoperationswill usu-
allytakeplaceinaharshweather conditions. Itisthus
necessary to develop a complete 6 DOF model for
emergency responsevessels operatinginroughseas.
Thiswork iscurrently under way at MARINTEK. To
validatethe6DOF model anewset of manoeuvring
testswasdoneinrelatively harshseaslateNovember
2008.
4.2 Other requests for simulator model
improvements
The course participants also asked for more realis-
tic representation of the wave field on the lee side
of a disabled vessel. This improvement will eventu-
ally bemadeby manipulatingthevisual databasefor
theseasurface. Therewill beno calculations of the
actual wavefieldfor amultibodysituation. It will not
bepossibletoimplement thismodificationwithinthe
time-frameof theongoingArctic Emergency Oper-
ations project. It has also been requested that the
visual presentation of the towing line during a tow-
ingoperationinharshweather shouldbemademore
realistic. Experienced masters will be asked to take
part inafacevalidationof possiblesolutionstomake
the visual representation of the towline more realis-
tic. Thesemodifications may bebasedonsimplified
mathematical modelsof thetowingline.
5 FIELDEXERCISES
Inadditiontothesimulatorbasedtrainingcoursedeck
officersonthecharteredemergency responsevessels
inNorthernNorwayareperformingregularfieldtrain-
ing exercises to practice the steps of an emergency
towing operation. When planning such exercises the
Norwegian authorities havepaid special attention to
drifting tankers due to the increased number of oil
tankers operating in or passing close to Norwegian
waters. For disabledtankersthechallengespresented
by an emergency responseoperation can bedivided
intothreemainareas:
Establishingatowlinebetweenthedisabledtanker
andthesupport vessel
Controlling the drifting vessel after towline
connection
Reducing/stoppingor removinganoil spill around
adisabledtanker.
In general NCA runs about 6-8 field exercises
involvingcommercial vesselsannually.Theobjectives
of thesetrainingexercisesarethreefold:
Totraintheemergencyresponsevessel crews
To train the land-based part of the emergency
response organization on co-operation, surveil-
lance, alertingandresponse
To trainthecompleteemergency responseorgani-
zationtopreparetostrandthevessel or assistittoa
port of refuge.
Inadditions totrainingwithmerchant vessels, the
emergency response vessels run a large number of
exercises in which other Coast Guard vessels are
simulatingthevessel indistress.
97
5.1 Special challenges for emergency operations in
Northern regions
For exercises during thewinter, seaspray icing may
introduceadditional challenges. Theaftworkingdeck
maybeslipperyandremovingicefromequipmentmay
beadangeroustaskinaroughsea.Figure3showsdeck
equipment ononeof theemergency responsevessels
prior to starting a field exercise. Low temperatures
combinedwithwindchill restricttheworkingtimefor
personsondeck. Lackof daylightinthewintertimeis
anadditional constraint to beconsideredwhenplan-
ningandperforminganemergencytowingoperation.
Toreducetheworkloadfor deck personnel it iscom-
mon to head thestern into thewaves so that thesea
water washouttheiceondeckprior startingthetrans-
fer of thetowinggear fromtheCoast Guardvessel to
thedisabledvessel.
5.2 Lessons learned from field training exercises
Fieldexerciseshaveillustratedsomeof theproblems
onecanencounter whentryingtoestablishthetowing
connection.Examplesof operational problemsinclude
thedriftingpatternof releasedemergencytowinggear,
largedriftingspeedof thedisabledvessel, mismatchof
connectingshacklesandlackof informationregarding
towlineforce.Thefollowingstatementsaretakenfrom
debriefingdiscussionsafter fieldexercises:
Riggingatowingconnectiontoadriftingvessel isa
complex task evenunder goodweather conditions.
Manoeuvringanemergencyresponsevessel closeto
alargedriftingvessel isacomplex task evenfor a
vessel withhigh-qualitymanoeuvringperformance.
Towing large vessels in heavy weather conditions
requiresgoodmanoeuvringperformanceof thetow-
ingvessel andatowingarrangement designedfor
oceantowing.
Drifting of themessenger linefor areleased ETS
depends on weather and current conditions. Han-
dling of the emergency response vessel to get
in a position to pick up the messenger line can
be difficult, especially at night and with reduced
visibility
Shackles delivered fromthe emergency response
vessel may betoolargetofit bulwark openingson
vessels built before IMO ETS requirements were
approved. Thereareanumber of different arrange-
mentsfor strongpoints, ETSandwaysof arranging
anemergency towingconnection. NCA has there-
fore developed a questionnaire that is forwarded
to all vessels entering the control zone for Vard
VTS. Shipsarerequestedtoforwarddrawingsand
proceduresfor establishingemergencytowingcon-
nections. NCA has developed adatabasefor ETS
and strongpoint arrangements on vessels in reg-
ular oil and gas traffic in Norwegian Exclusive
EconomicZoneareas.
Qualification of personnel on emergency rescue
vesselsmust includetraininginemergency towing
operations.
Figure 3. Removing ice on the aft deck prior to a field
trainingexercise.
6 USINGR&DRESULTSFROM ARCTIC
EMERGENY OPERATIONTOIMPROVE
TRAININGOF DECK OFFICERSON
NORWEGIANEMERGENCY RESPONSE
VESSELS
Since2006, theShipManoeuvringSimulator Centre
has managed an international research and develop-
ment project onArctic emergency operations. More
information on this project can be found on the
project website http://www.arcemop.no. One of the
workpackagesisinvestigatingbest practicefor emer-
gency towing operations. An important activity has
been to arrange workshops for sharing operational
experienceonemergency towingoperations. Experi-
encedtugmastershavebeeninvitedtopresentreal-life
cases inwhichthey havebeeninvolved. Representa-
tivesof emergencyresponseorganizationsinanumber
of EuropeancountriesandJ apanhavetakenpartinthe
sevenworkshopsarrangedbytheproject.
Thefieldtests withKV Harstaddescribedinsec-
tion4havebeenapart of thisproject. TheNorwegian
Coast Guard has madethevessel availablefor field
testingthroughout theproject period. InMay 2008a
special towingtesttookplacewhereKVHarstadestab-
lishedan emergency towingconnection andtoweda
70.000 dwt tanker at low speed in confined waters.
Theoutcomeof this test has been usedin validation
studies of a new version of the J apanese software
tool OptimumTowing Support System developed
byNational MaritimeResearchInstitute(T. Koruda&
S.Hara, 2007).
7 CONCLUSIONS
Basedoninformationfromprojectpartnersandexter-
nal contributors, thefollowingconclusionshavebeen
drawn:
Thereisnointernationallyacceptedfunctional spec-
ificationof anemergencytowingvessel
Most countries specify parameters such as neces-
sarybollardpull, speedincalmwater anddraught.
It is proposed that more effort should be put
into operational characteristics such as speed,
98
manoeuvrability and motion characteristics in
roughseas, towinggear, etc.
Fromaneconomicpointof viewmostnationsprefer
multipurposevesselsasemergencyresponsevessels
Salvage operations will be carried out by profes-
sional salvagecompaniesusingtheir best available
rescuetugs
To handlelargedisabled vessels in harsh weather
situations,dedicatedETVswill haveahigherprobabil-
ityof asuccessful operationthanmultipurposevessels.
Theprofessional skill of theETV crewisacritical suc-
cessfactorinestablishingatowingconnectioninharsh
weather andtopreventthetowingwirefrombreaking
inheavy-weather towing.
On thebasis of theconclusions listed above, it is
recommendedthatapotential follow-upprojectshould
focusonthesetopics:
Specifyingthenecessary equipment onanETV in
order tosimplifydifferent waysof hookinguptoa
driftingvessel
Specifyingarangeof tacticstobeusedwhenhan-
dlingadisabledvessel inaheavy-weather situation
Improvingtheability to positiontheETV closeto
thecasualty
Transnational sharingof emergencytowingexperi-
enceandtrainingof crewmembers onemergency
responsevessels.
ACKNOWLEDGMENTS
Theauthors wouldliketo thank shippingcompanies
for making vessels available for emergency towing
training exercises. TheResearch Council of Norway
is acknowledged for their financial support to the
project Arctic Emergency Operations under their
MAROFF program. Their support has made it pos-
sible to run additional training exercises as well as
a number of international workshops on emergency
towingoperationstoinvestigatefunctional specifica-
tionsof emergency towingvessels, operationof such
vesselsandtrainingof personnel onemergencyrescue
vessels. Finally we will thank participants on SMS
training courses for their valuable input to continu-
ouslyimprovethetrainingcoursefor personnel inthe
northernNorwayemergencyresponseorganization.
REFERENCES
Bonn Agreement 1983. Agreement for cooperation in
dealing with pollution of the North Sea by oil
and other harmful substances, Bonn, Germany, 1983
(http://www.bonnagreement.org/eng/html/welcome.html)
Claden, C. Lessons of the wreckage and of the salvage
attemptsof theErika. WorkshoponFromtheNakhodka
totheErika: Exchangeof experienceinat-searesponseto
offshoreoil spills by passingships, Brest, France, J uly
2000
Copenhagen Agreement 1993. Agreement between Den-
mark, Finland, Iceland, NorwayandSwedenabout Coop-
eration concerning Pollution Control of the Sea after
Contamination by Oil or other Harmful Substances,
Copenghagen, Denmark, 1993(http://www.ust.is/kph/)
IMO 1983. Recommendation on Emergency Towing
Requirementsfor Tankers, Res. A535(13), London, UK,
1983
IMO2006. MandatoryEmergencyTowingSystemsinships
other than tankers of not less than 20,000 DWT. Sub-
CommitteeonShipDesignandEquipment, Paper no. DE
50/6/1, London, November 2006
IMO MSC 1994. Resolution MSC. 35(63) Adoption
of Guidelines for Emergency Towing Arrangements on
Tankers, IMO, London, UK, 1994 (http://www.imo.org/
includes/blastDataOnly.asp/data_id%3D15395/35%2863
%29.pdf)
Koruda, T. & Hara, S. Applicationof optimumtowingsup-
portsysteminemergencytowingoperations,International
ConferenceonTowing& Salvageof DisabledTankers,
EditedbyK. S. Varyani, Glasgow, Scotland, March2007
Norwegian Coastal Administration 2006. National Towing
Preparedness. Reportfromworkinggroup, Oslo, Norway,
J anuary2006(inNorwegian)
NorwegianCoastal Administration2007. Infrastructureand
contingency planning Oil and gas activities in Finn-
mark, NCA Troms and Finnmark Region, J uly 2007,
Honningsvg, Norway(inNorwegian)
99
Chapter 3. Global navigation satellite system
3.1
Modernizationof maritimeDGPSinPoland
M. Dziewicki
Maritime Office, Gdynia, Poland
ABSTRACT: Somenewtechniquesandfunctionalityadoptedformodernizationof national DGPSsystemsby
maritimeadministrationsinEuropearepresented. Anysolutionadoptedmust meet international requirements:
IMOstandardsandIALA e-NAV Committeerecommendations.Theresultsof DGPSRe-capitalizationMeeting
in Gdynia2008 arepresented. Modernization and re-engineering of maritimeDGPS must takeinto account
backwardcompatibilitywithexistingonboardreceiversaswell asfuturetrendstowardse-Navigation.Operational
andlegal statusof thePolishDGPSnetworkisalsomentionedinthiscontext.
1 INTRODUCTION
Most of mariners use Global Navigation Satellite
Systems (GNSS) as a primary means of navigation.
CurrentlyavailableGNSSdoesnot fulfil therequire-
mentsof IMOwithrespect toaccuracy andintegrity.
Theuseof IALA maritimeDGNSS does fulfil these
requirements. International maritime standards exist
for both: onboard receiver and land based DGNSS
service. Thesystemhas been widely adopted as the
international maritimestandard for providing differ-
ential corrections to GNSS. The IALA DGPS bea-
con systems were installed in many countries over
the period 19932000 and now became obsolete.
TheRadio-navigation(presently e-Navigation) Com-
mitteeconcludedthatthereisarequirementtorecapi-
talisenational systems. It ispotentiallyagoodreason
to re-organise the systemfor the benefit of existing
usersandtoenhanceDGNSS capabilitiestakinginto
account technical innovations. At thesametimesome
countriesareconsideringsubmissionof their DGNSS
services to IMO as components of the World Wide
RadioNavigationSystem.
Table1. Alternativetechniquesfor IALA DGNSS
Instant warning Cost
System Accuracy Coverage Integrity/Continuity Provider/user Maritimestandard
IALA DGNSS 13m local/regional Yes/High Moderate/low yes
EGNOS 510m regional/global Yes/High Veryhigh/low no
AIS 120m local Canbe/Moderate Low/low yes
Pseudolites sub-meter local Yes/Moderate High/moderate no
Eurofix 210m regional Yes/High low/moderate no
RTK sub-meter local Canbe/Low Moderate/high no
2 IALA OPTIONS
Thekeysystemof securemarinenavigationandaccu-
rate hydrographic survey is reliable radionavigation
service. TheIALA Radio-navigation Committeehas
assessedthecurrent andpotential useof theDGNSS
system and concluded that there is a requirement
to continue existing service and to modernise the
systemand develop enhanced GNSS capabilities as
well as alternativetechnologies to meet therequire-
mentsof IMOResolutionA.915(22).Thereareseveral
alternativestotheIALA beaconsystemfor thetrans-
mission of differential corrections andsafety related
information.Therearemethodsof providingenhanced
services, like e-Loran, Eurofix, EGNOS, AIS, Real
TimeKinematic (RTK) or pseudolites. Their related
basic features and a subjective cost are listed in
Tab. 1., [ 2].
Thesimplestmodernizationoptionmaybereplace-
ment of existingequipment withnewdedicatedhard-
ware Reference Stations and Local Integrity Moni-
tors (RSIM). This solution could limit the potential
for future development. Additionally modernization
103
of DGNSS should be considered in the context of
position-fixingrequirementsfor e-Navigation.
Thefutureneedcouldbeprovidingadditional mes-
sagesrelatingtoGalileo,GPSL2C/L5andGLONASS
M shouldbetakenintoaccount.
Other possibilitiesinclude:
SoftwareReferenceStationsandIntegrityMonitors
(RSIM)
Virtual ReferenceStation(VRS),
SBAS(EGNOS, WAAS) Integration
Aboveoptions areexploredfurther inIALA Rec-
ommendationR-135, [3].
FinallyIALA membersareencouragedto:
Recapitalize existing DGNSS systems prior to
their obsolescence, noting the advice given in
R-135,
Consider theoptionsfor replacementsystems, with
referencetothedocumentslistedbelow,
Shareinformationregardingstudiescarriedoutand
specificationsof replacement solutions, andreport
progresstoIALA,
Investigate potential future developments com-
patible with the development of shore based
e-Navigationarchitecture,
Investigatetechniquesforaddingvaluetotransmis-
sions, suchas transmissionof safety relatedinfor-
mationand/or backuppositioningcapabilities, [1].
3 DGPSRE-CAPITALIZATIONMEETINGIN
GDYNIA
The meeting DGPS re-capitalization, was hosted
inMay 2008by MaritimeOfficeGdynia, inGdynia.
Thedevelopment of astrategy for futureimplement-
ing of local and regional augmentation systems was
noted. Theresponseof representativesat themeeting
indicatethat most administrationsprovidingDGNSS
servicesareundertakingre-capitalisationor areplan-
ning such activities based also on co-operation with
National GeodeticNetworks.
Sweden is currently studyingoptions for software
RSIM solutionsandtransmissionsof VRSdatavia
MFbeaconsystemtakingintoaccountalsogeodetic
networkSWEPOS.
Germany isplanningtoimplement DGNSS recap-
italizationplanby creatingRAAS andVRS based
onnational network operatedfromnational centre
of control. Thenewconcept of movingcentreof
systemaccuracywaspresented.Alsoanewtypeof
MFtransmittingantenna(NTA)waspresented.Ger-
manyalsoannouncedafeasibilitystudytoinvesti-
gatetheadditionof Rangingsignals (R-Mode) on
MF beaconandAIScarriers, [1].
Scotland referred to thecommon UK and Ireland
studies of DGPS replacement options which con-
cluded that the lowest risk option for the GLAs
wouldbehardwarereplacement, althoughtheflex-
ibilityprovidedbythesoftwareoptionwouldbetter
meetemergingrequirementsandshouldnotberuled
out. TheGLAshavetenderedfor newRSIM equip-
ment, whichmaybefulfilledbyeither hardwareor
softwaresolution, [1].
Russiaistestingbroadcast of DGlonassandDGPS
correctionsviaAISsysteminGolf of Finland.
4 MODERNIZATIONOF POLISH
RADIONAVIGATION
MaritimeOfficeGdynia(MOG) has establishedand
operatesshorebased/costal networktosupportDGPS,
RTK,andAISsystems.Thesewerebuiltandorganized
tofulfill international IMOstandardsandrecommen-
dationsendorsedbyIALA.
Polish DGPS systemhas already been fully mod-
ernized during the period 20078, to meet all the
requirementssetoutinIMOResolutionA.915(22) for
FutureGNSS. ThehardwareRSIM solutionhasbeen
adopted for the re-capitalisation, on grounds of low
cost andmarket availability. Theconceptionis based
onanetworkof referencestationsandremoteintegrity
monitors continuously operated via IT links froma
commoncontrol center.
The DGPS-PL systemis composed of two refer-
encebeaconstationswhichareremotelyoperatedand
controlledviawideareanetworkfromtheControl Sta-
tionlocatedinGdynia.Bothexistingreferencestations
RSDziwnwandRSRozewieareequippedwithtwo
referenceL1, L2receivers, twoMSK modulatorsand
dual LF beacontransmitters. Local integritymonitors
(RSIM model) arebeingunder permanent control via
WAN fromCentral Station in Gdynia. A dedicated
serveratthecontrol centercontinuouslygathersopera-
tional informationfromall sites. Thuslivingdatabase
of Regional Area Corrections can be created in the
future.Therearealsoplanstointegratemarinesystem
withanational geodetic network EUPOS totransmit
VRSdataviaMF beacons.
4.1 Integrity of DGPS-PL
To ensure signal availability at required level of
(99,5%) for singlesitebeacon station, aredundancy
of major hardwareisfundamental, thereforeeachRS
stationisdoubledandoperationwill continueincase
of a hardware failure. The set of RTCM messages
andbroadcast frequenciesfromPolishDGPS beacon
stationsisshowninTable2.
Quality of DGPS broadcast is being checked and
evaluated by local integrity monitors (RSIM). Addi-
tionallytherangeandsignal availabilitywill bemoni-
toredbyremoteLF DGPSmonitors. Dailyreportsand
dataonavailabilityof thesystemaregatheredindata
baseof Central Control server inGdynia.
4.2 Integrity Settings (IM)
Itwasrecognisedthatcertainintegritymonitorthresh-
oldsettingsarevital totheproper performanceof the
104
Table2. PolishDGPSmarinestations
Table of DGNSS Stations Country: POLAND Dateof last amendment: Sept 2008
Identification Geographical Bit
Station Reference Transmitting Position Stationin Integrity Transmitted Freq Rate
name Station(s) beacon Lat/Lon operation Monitoring messagetypes (kHz) (bps)
Dziwnw 741 481 54
01
/
N yes yes 9,3,7,16 283.5 100
742 14
44
/
E
Rozewie 743 482 54
49
/
N yes yes 9,3,7,16 301.0 100
744 18
20
/
E
Table3. Characteristicsof RTK RS-Hel
Name Receiver Corrections Radio-
RS- Hel type output transceiver Options
System Net R-5 RTCM 18, 19,20, 21 Satelline3ASEpic, simplex VRS
Application GPS, Glonass BinarycodeCMR, CMR UHF 2-10Wrange1040km RTK, DGPS
Frequency L1,L2,L5 1Hz 434.25MHz /1MHz
LinkMode Network(LAN) serial, NMEA RScom VPN
RS station. IALA Recommendation R-121 contains
thelist of parametersandrecommendedsettings, [4].
The local integrity monitor continuously checks the
quality of theownDGPS transmissions by receiving
andapplyingowncorrections. Thus theIM software
monitorspositionaccuracy, signal availability(SNR),
trackedsatellites, GPS geometry (DOP), RTCM data
correctnessandquality, aswell asradiatedsignal level
(SS). When alarm condition is detected, an alarm
message is immediately set for local response and
switching to optional equipment (secondary config-
uration) can happen. Any IM message warning will
automaticallybebroadcasttoall users/shipsinthearea
within10s.
5 RTK SERVICE
Permanent reference RTK station was established
on Peninsula Hel to cover Gda nsk, Gdynia ports
andapproachingroutes. Real TimeKinematics solu-
tionusingcarrier-phasecorrectionshastheenhanced
accuracy, but there are constraints imposed by the
bandwidthandspatial de-correlation. For singleRTK
station, therangeisupto1040km(Table3). Thisis
sufficientforhydrographical andengineeringapplica-
tions intheGulf of Gda nsk, canalso beusedduring
dockingphaseintheports. Stationoperationis fully
controlledvianetworkfromRL Gdynia,howeverradio
signal strengthandpositionaccuracy is beingmoni-
toredbyIMreceiversituatedpermanentlyintheportof
Gdynia. It is highly recommended that in the near
futureRS-Hel will beincorporatedintoPolishgeode-
ticRTK networkASG-PL. Inresult thewholesystem
wouldbenefitof bettermarinecoverageandVRStech-
niquewouldbecomeavailablealongthePolishcoastal
zone.
6 CONCLUSIONS
Re-capitalization process of national DGNSS
systemsiswell advanced, however IALA members
are at different stages of developing, concerning
availableoptionsversusbudgetaryconstrains.
All of newsolutionsmustmeettheneedof existing
userstakingintoaccount existingandfutureIMO,
IALA regulations.
Re-capitalization of national DGNSS gives good
opportunity to modernizetechniqueand function-
alitytowardsnewe-Navigationrequirements.
REFERENCES
1. IALAWorkingpaperof e-NAV Committee, e-NAV5-13-
07IALA DGNSS Modernisation, 2008.
2. N. Ward, Paper for ENC GNSS 2006, Options for Re-
engineering Maritime DGNSS.
3. IALA Recommendation R-135, On The Future of
DGNSS, Edition2, December 2008.
4. IALA Recommendation R-121, Recommendation on
the Performance and Monitoring of DGNSS Services
in the Frequency Band 283.5 325 kHz, December
2004.
105
3.2
Applicationof 3-Dvelocitymeasurement of vessel byVI-GPSfor STS
lightering
Y.Yoo& E. Pedersen
Norwegian University of Science and Technology, Trondheim, Norway
K. Tatsumi
Hiroshima National College of Maritime Technology, Hiroshima, Japan
N. Kouguchi
Kobe University, Kobe, Japan
Y. Arai
Marine Technical College, Ashiya, Japan
ABSTRACT: A lighteringoperationisatypeof Ship-To-Ship(STS) operationwheretwoshipsaretogether
inopenwatersandtransfer thecargoe.g. crudeoil, LNG. Highskillsandexperiencearerequiredbythehuman
operatorsasnorelevantequipmentfordeterminingtherelativespeedsanddistanceswithsufficientaccuracieshas
beenimplemented.Theofficerinchargeof anSTSlighteringtakesthedecisiononadequatemaneuveringorders
basedonpredominantlyvisual observationsduringthefinal approach. Landingonall fenderssimultaneouslyis
anobjectiveinordertominimizeship-fendercontactforces, butthisisratherdifficulttoachieveinpracticeeven
incalmseaduetotheeffect of hydrodynamic interactionwhentheshipsareclosingin. Furthermore, currents
that arepresent inthelighteringzoneaddtotheoperational complexity. A fieldmeasurement experiment has
beencarriedout withaVelocityInformationGPS(VI-GPS) systeminstalledonboardaferryapproachingport
for berthing which is similar to an STS lightering. Thepaper proposes to apply VI-GPS as input sensor to a
decision-support andguidancesystemaimingtoprovideaccuratevelocityinformationtotheofficer incharge
of anSTSoperation. It isarguedthat DOP of VI-GPSisrelatedtothevelocityerror.
1 INTRODUCTION
Applicationsof ship-to-shipoperationsforcargotrans-
fer are expected to be increasing. Currently, about
25 percentages of all oil imported to the US comes
through lightering operations. An ongoing research
programonShip-To-Ship(STS) operationswithfocus
on STS lightering has a major objective to develop
a guidance and decision-support systemfor the key
operativepersonnel.Theinitial approachphasecanbe
regardedasacollisionavoidancemaneuverwhichaim
istoobtaintherequiredsafetydistance, whilethefinal
approach is maneuvering towards theother ship and
operationalongsideuntil theshipshavebeenmoored
together after which cargo transfer can commence.
STS operations areindividually different becauseof
variations in the environmental conditions and the
maneuveringcharacteristicsof ships.
Thefinal approachphaseis particularly critical in
order to avoid steel to steel contact. The officer in
chargeof anSTSlightering, theMooringMaster, has
currently no equipment at his disposal for determin-
ing the relative speeds and distances with sufficient
accuraciesandthedecisionof adequatemaneuvering
orders is thus mainly based on visual observations
(Pedersenet al. 2008).
Thevelocityof amovablebodycanbeeasilydeter-
mined by using theGPS receiver generated Doppler
measurement or the carrier-phase derived Doppler
measurement as long as thesatellitevelocity is pre-
cisely known. The kinematic GPS (K-GPS) is well
knowntoprovideaccuratepositions.AlthoughK-GPS
assureshighprecisionmeasurement inacmorder of
magnitude, it isrequiredthat thereferencestationon
landiswithin20kmof themoveablebody(Houet al.
2005).
A methodfor precisevelocity measurement using
Velocity InformationGPS (VI-GPS) is describedfor
STS lighteringship. TheDoppler measurement gen-
eratedby GPS receiver isameasureof instantaneous
velocity that is measured over a very short time
interval, whereas the carrier-phase derived Doppler
measurement is ameasureof meanvelocity between
observation epochs. The velocity integration with
respect to time is the displacement during a period
betweenthetwoepochs(Houet al. 2005).
In this paper, an experiment has been conducted
onboard a ship entering port for berthing where the
107
velocityinformationbyVI-GPSwasusedfor measur-
ingprecise3-Dvelocity(longitudinal, transverseand
vertical). Theresultshasbeencomparedwiththoseof
K-GPS andevaluatedwithrespect to DOP (Dilution
Of Precision) of VI-GPS (Hoffmann-Wellenhof et al.
2004).
2 CONCEPT OF SHIP-TO-SHIP OPERATION
A Ship-To-Ship(STS) transfer operationisanopera-
tionwherecargo(e.g. crudeoil orpetroleumproducts)
is transferredbetweenseagoingships mooredalong-
sideeachother. Suchoperationsmaytakeplacewhen
oneship is at anchor or when both areunderway. In
general, theoperational phasesincludestheapproach
maneuver, berthing, mooring, hose connecting, safe
procedures for cargo transfer, hose disconnection,
unmooringanddeparturemaneuver (ICS & OCIMF,
2005).
Inthecaseof maneuveringalongsidewithtwoships
at forward speed, theship acting as theShip-To-Be-
Lighteredmaintains steeringspeed(approximately 5
knots) andkeepsasteadycourseheading. Itisnormal
that themaneuveringship, alsoreferredtoastheSer-
viceShip, approachesandberthswiththeport sideto
thestarboardsideof theSTBL.
The other case of maneuvering is that the STBL
is at anchor, which is quite common in STS oper-
ations. For such operations, the STBL anchors in a
pre-determinedpositionusingtheanchorontheoppo-
sitesidetowherethemaneuveringshipwill approach.
A berthingoperationshouldonly becarriedout after
theship at anchor is lying on asteady heading with
referencetoprevailingenvironmental conditions.
Figure 1 shows the final stage with both ships
maneuvering alongside with forward speed in calm
seas.
3 VELOCITY INFORMATIONBY GPS
The observation equation for the GPS carrier phase
measurementsisthefollowing(Hou, 2005):
whereisthecarrier-phaseobservation; isthegeo-
metric distance between a satellite and a receiver; c
is thelight speed in vacuum; dt, dT arethereceiver
andsatelliteclockerror; d
ion
, d
trop
aretheionospheric
andthetroposhericdelay;
isthereceiver noiseand
multipatherror.
3.1 Velocity Information GPS (VI-GPS)
The velocity information GPS uses the epoch sin-
gle difference technique and the first order central
differenceapproximationof thecarrier-phaserate.
Timedifferential observationsareobtainedbysub-
tracting the observations at the previous epoch, k-1
from those at the present epoch, k. It is assumed
thatvariationsof propagationerrorsintheionosphere
Figure 1. The two ships have come alongside and com-
menced mooring operation while still underway at slow
forwardspeed. Theships will bebrought deadinthewater
andtheSTBL is to anchor if theoperationtakes placeina
lighteringzonewithshallowwaters.
Figure2. Timedifferential carrier phasemeasurement by
VelocityInformationGPS.
and troposphere are small and negligible when the
interval of observationsisshort. Thetimedifferential
observationisexpressedinthefollowingequationand
temporal differencesremovethephaseambiguities:
Here, thesymbol meansthetimedifferential oper-
ator, and is the phase observation in temporal
difference between two epochs. In discrete expres-
sionof Equation2, thephasedifferencebetweentwo
sequential epochsismeasuredasfollowingequation:
wheresuperscript j represents thesatellite; k andt
are the observation epoch and time interval of the
observation, respectively. Figure 2 shows the time
differential carrier phasemeasurement byVI-GPS.
The observation equation can be written as the
following:
108
whereX isthevector of observations; f (*) isthevec-
tor of knownfunctionmappingXtoL; Xisthevector
of unknown parameters; V is the vector of residu-
als; subscript
N
is satellite number; and
T
is vector
transposition.
The equation must be linearized with respect to
unknownsbeforeperformingtheleast-squaresadjust-
ment.Linearizationof Equation4ismadebyreplacing
thenonlinearfunctionswiththeirTaylorseriesapprox-
imations at thepoint an initial valueof thesolution
vector, X
0
andtakingonlythefirst order terms.
whereWisthemisclosurevector, Lf (X
0
);A isthe
designmatrixof partial derivativesevaluatedusingX
0
;
andthevector of residuals.
Assumingthat thematrixA at thepresent epochk
is identical to theoneat theprevious epoch k-l, the
least-squares solution of Equation 6 is the displace-
ment betweenthetwoepochs. Themisclosurevector
W that is obtainedfromEquation2is distinguished
fromtheobservationequationforpositioningobtained
Equation1.
When the weight of measurement is not equal,
the equation must be weighted with an observation
weight matrix P. If thetechniquewithdoublediffer-
enceobservationisused, themathematical correlation
hastobetakenintoaccount, usingthematrix P. The
normal matrix N, thevector U andtheleast-squares
solutionarederivedfromtheapplicationof theleast-
squares principle (
V
T
P
Vmin.) to Equation 7 as
follows:
Observationataonesecondinterval givesasolution
for unit displacement, i.e. velocity. Usingtheposition
fromabsolutepositioningwithasingleGPS receiver
asaprior position, theleast-squaressolutionprovides
thecorrectiontotheapriori position.
3.2 Kinematic GPS (K-GPS)
Thekinematic GPS usesthedoubledifferencestech-
niqueandthecarrierphaseobservationequationisthe
following(Tatsumi, 2008):
where isthedoubledifferenceoperator. Thedou-
ble differences technique needs two receivers. The
referencestationisset asafixedpoint onland, while
therover stationissetonthemovablebody. Whenthe
distance between the two stations are within 20km,
theorbital andatmosphericerrors,d,d
ion
and
Figure3. Experimental areaoverviewof Sibusi port.
Table1. General specificationof theferry, datadetailsand
experimental conditions.
Grosstonnage 12,418[tons]
Servicespeed 23.0[knots]
Lengthoverall 186.0[m]
Width 25.5[m]
Samplingfrequency 5[Hz]
No. of datasamples 8000
No. of GPSsatellites 7
(satellitesno.) (no. 5, 9, 12, 14, 18, 22, 30)
d
trop
areilluminated. Equation11thenbecomesas
follows:
It is well knownthat over four doubledifferences
carrier phase observations from four satellites can
decideprecisekinematicGPS3-Dpositionof therover
station, P
rover
. The velocity of the movable body is
calculatedfromthetimedifferential operationof this
preciserover 3-Dpositionasfollows:
4 SIMULATEDSTSOPERATION
AsimulatedSTSoperationwascarriedoutwithaferry
on17thof September, 2007whenit wasenteringthe
Sibusi port of Kagoshimaprefecturethat islocatedin
southwest of J apan. Figure 3 shows the experimen-
tal area overview. The ferry was equipped with two
GPS receivers that were located on stern and bow,
respectively.
Thefirst part (800sec) of theapproach was sim-
ilar to aSTS maneuver with theSTBL at anchor. It
shouldbenotedthatduringthetimerangearound800
1300secondstheferry turnedbackwardtotheberth,
whichisamaneuveringthat isnot takingplaceinany
109
Figure4. Theferryandpositionsof GPSreceivers.
Figure5. Longitudinal velocitycomponent of bow.
STS operation. Thereferencestationwasabout 3km
apartfromtheberthwhilethemaximumdistancefrom
theferry(roverstation)was7km.(Itiswell knownthat
K-GPSaccuracyhascmorder if thereferencestation
iswithin20kmfromtherover station.)
Table1showsthegeneral specificationof theferry,
datadetailsandexperimental conditions. Theexperi-
mental periodwasabout 27minutesfromstandbyfor
entering port until stop engine order with 5Hz data
samplingfrequency. Thenumber of datasampleswas
8000recordedbyPDA (Personal Digital Assistance),
andeachGPS receiver processedthesameGPS sig-
nals transmitted by 7GPS satellites. Figure4shows
theferryandthetwoGPSreceiverssetonthebowand
sternside.
K-GPSdatawascalculatedfromthereferencesta-
tion data to rover station while VI-GPS data was
calculatedfromrover stationalone. Inthispaper, the
velocity by K-GPS is definedas astandardvelocity,
andthenthevelocity error subtracts K-GPS velocity
resultsfromVI-GPSresults.
4.1 Experimental results
Figures57showtheresultsof longitudinal,transverse
andvertical velocitycomponentsof bow, respectively.
Figure6. Transversevelocitycomponent of bow.
Figure7. Vertical velocitycomponent of bow.
Figure 5 shows the longitudinal velocity compo-
nents by VI-GPS with black dot line, K-GPS with
bluelineandlongitudinal velocityerror withredline
subtracted the longitudinal velocity component by
K-GPSfromVI-GPSresult.Thevelocityisdecreasing
fromaround11m/stozeroduringtherecordedlogging
time. Thevelocity isoscillatingthefirst 400seconds
whichisduetolowfrequencywaves(swell)outsidethe
breakwater.Asisshown,thetworesultsbyVI-GPSand
K-GPSshowagoodcorrespondence. Figure6shows
the transverse velocity components of bow. VI-GPS
andK-GPSresultsalsoshowagoodcorrespondence,
and similar to the longitudinal velocity results. Fig-
ure7shows thevertical velocity component andthe
velocityerror alsohasasmall difference.
Figures 810 show the results of longitudinal,
transverseandvertical velocity components of stern,
respectively. Figure8showsthelongitudinal velocity
components by VI-GPS with black dot line, K-GPS
with blue line and velocity error with red line sub-
tractedK-GPSresultsfromVI-GPSresults.Theresults
areoscillatingduringthefirst 400secondsduetothe
swell.TworesultsbyVI-GPSandK-GPSshowagood
correspondence, similar to the bow results, and its
velocityerroralsoshowssmallerdifferencecompared
110
Figure8. Longitudinal velocitycomponent of stern.
Figure9. Transversevelocitycomponent of stern.
tothelongitudinal velocity error. Figure9shows the
transversevelocitycomponent of stern. Assamewith
the results of bow, it shows a good correspondence
withVI-GPSandK-GPSresults. Figure10showsthe
result of vertical velocity component of stern. The
resultsshowagoodcorrespondencebetweenVI-GPS
and K-GPS results, and the vertical velocity error
subtractedK-GPSresultsfromVI-GPSresultsshows
small difference.
Table2istheresultsof longitudinal, transverseand
vertical velocityerrorssubtractedK-GPSresultsfrom
VI-GPSresults. Fromtheresults, thevelocityerrorsof
bowsideshowslightlyhigher standarddeviationval-
uesthansternsidevelocityerrors.Amongthevelocity
errors at bow, the vertical velocity error shows the
largest standard deviation valuewith 0.72cm/s. The
vertical velocity error at sternalsoshowslargevalue
with0.70cm/sstandarddeviation.
4.2 Considerations
Fromtheresultsshowingbowvelocityerrorsthestan-
darddeviationsof longitudinal, transverseandvertical
velocity errors havebeenanalyzed. Inorder to iden-
tify the relation between velocity errors and DOP
Figure10. Vertical velocitycomponent of stern.
Table 2. Longitudinal, transverse and vertical velocity
errorsof bowandsternsides.
Longitudinal Transverse Vertical
Bow V-error V-error V-error
Mean(cm/s) 0.03 0.13 0.06
Std(cm/s) 0.24 0.22 0.72
Stern
Mean(cm/s) 0.04 0.13 0.07
Std(cm/s) 0.22 0.21 0.70
0 200 400 600 800 1000 1200 1400 1600
3
3.4
3.8
4.2
4.6
5
time (s)
D
O
P

o
f

b
o
w
VI-GPS DOP of bow
Figure11. VI-GPSDOP of sternside.
(DilutionOf Precision), DOPchangesof VI-GPSwas
alsoexaminedaswell astherelationwithbowvelocity
errors.
Figure 11 shows how the VI-GPS DOP changes
at thebowside. DOP isincreasingaccordingtotime
progressionfrom3.4to4.8. Figure12showstherela-
tion between bow velocity errors and DOP changes
of VI-GPS divided into every 100 seconds. In the
figure, blue , red and blacksymbols show the
standarddeviationof longitudinal, transverseandver-
tical velocity errors with respect to DOP changes,
111
0 0.2 0.4 0.6 0.8 1 1.2
3.4
3.8
4.2
4.6
5
standard deviation (cm/s)
D
O
P

o
f

b
o
w
Relation between bow velocity error and DOP of VI-GPS

longitudinal V-error
transverse V-error
vertical V-error
Figure12. Relationbetweenbowvelocity error andDOP
of VI-GPS.
respectively. According to the increase of DOP, the
standarddeviationof longitudinal andvertical velocity
errorsareincreasing, but thetransversevelocityerror
doesnot showaparticular increaseaccordingtoDOP
changescomparedtoother velocity errors. Asshown
inFigure12, VI-GPS canbeusedwithagoodaccu-
racywithin1cm/sstandarddeviationif DOPcouldbe
obtainedunder 4.8.
Inthefinal approachesof STSlighteringoperation,
the longitudinal and transverse velocity information
is very important for themooringmaster. Therefore,
morepreciserelationbetweenDOP andlongitudinal,
transversevelocity errors has beenshowninTable3
withvertical velocityerror aswell. Table3showsthe
standarddeviationsof longitudinal,transverseandver-
tical velocityerrorswithrespecttoDOPchangesofVI-
GPSatbow.Thevelocityerrorshowsasmall standard
deviationwithin1cm/s whenDOP is under 4.8. The
vertical velocityerror hasincreasedgraduallyaccord-
ing to DOP increase from0.54 to 0.83cm/s. Even
though, it showshighvaluesof 0.83cm/swithmaxi-
mumvelocityerror comparedtoother velocityerrors,
it is consideredthat VI-GPS has anenoughaccuracy
under 1cm/s. Furthermore, becausethelongitudinal
andtransversevelocitiesaremainlyusedasimportant
informationinthefinal approachesof STSlightering
operation, thevertical velocityerrorcanbenegligible.
5 CONCLUSIONS
STS operations represent a challenge to the officer
in charge because currently there is no equipment
implementedthat canprovidetherelativespeedsand
distanceswithsufficient accuracies. Decisionof ade-
quate maneuvering orders is then based on visual
observations. VI-GPS has been applied to measure
precise3-Dvelocity(longitudinal, transverseandver-
tical) forSTSoperations.Theadvantageisthatprecise
accuracyisnotlimitedtodistanceswithin20kmasthe
caseof K-GPS.
Table3. Standarddeviationof longitudinal, transverseand
vertical velocityerrorswithrespect toDOP changesof bow.
Datano. Longitudinal Transverse Vertical
(sec) DOP std(cm/s) std(cm/s) std(cm/s)
1200 3.43.5 0.14 0.18 0.54
101200 3.5 0.17 0.17 0.54
201300 3.53.6 0.19 0.15 0.56
301400 3.63.7 0.23 0.16 0.58
401500 3.73.8 0.22 0.16 0.64
501600 3.84.0 0.24 0.16 0.63
601700 4.04.1 0.21 0.14 0.60
701800 4.14.2 0.17 0.17 0.59
801900 4.24.3 0.16 0.21 0.70
9011000 4.34.4 0.25 0.18 0.72
10011100 4.44.6 0.22 0.16 0.68
11011200 4.64.7 0.27 0.18 0.74
12011300 4.7 0.24 0.17 0.76
13011400 4.74.8 0.27 0.16 0.75
14011500 4.8 0.28 0.22 0.78
15011600 4.8 0.31 0.17 0.83
Anexperiment representingasimulatedSTSoper-
ationwasdoneinSibusi port of westernJ apanduring
entering the port. The results of VI-GPS velocity
showedagoodcorrespondencewithK-GPS velocity
results, i.e. within1cm/s.
Fromthe result of relation between bow velocity
errors andDOP of VI-GPS, 3-D velocity byVI-GPS
has precise accuracy within 1cm/s level compared
to K-GPS if DOP of VI-GPS can beobtained under
4.8. Thelongitudinal and transversevelocity of bow
sideshowedstandarddeviationof 0.24and0.22cm/s,
respectively. It is considered that VI-GPS has suffi-
cient accuracy to serveas sensor input for providing
relativevelocitiesinadecision-makingandguidance
systemtailoredfor STSoperations.
REFERENCES
Hoffmann-Wellenhof, B., Lichtenegger, H. and Collins, J.
2004. Global Positioning System: Theory and Practice,
NewYork: Springer-VerlagWein.
Hou, D., Yoo, Y., Kouguchi, N., Ishida, H., Fujii, H. and
Itani, K. 2005. Experimental Results of Comparison
betweenVelocityIntegrationandOTFPositionontheSea,
Institute of Navigation National Technical Meeting (ION
NTM 2005), San Diego, 2426 January 2005.
ICS & OCIMF, 2005. Ship to Ship Transfer Guide
(Petroleum), International Chamber of Shipping &
Oil Companies International Marine Forum, London:
Witherbys.
Pedersen, E., Shimizu, E. andBerg, T.E. 2008. Navigational
Challengesfor ShipsOperatinginCloseProximity, Inter-
national Conference on Safety and Operations in Canals
andWaterways (SOCW2008), Glasgow, 1516 September
2008.
Tatsumi, K., Kouguchi, N., Yoo, Y., Kubota, T. and Arai,
Y. 2008. Precise 3-D Vessel Velocity Measurement for
DockingandAnchoring,International Offshore and Polar
Engineering Conference (ISOPE 2008), Vancouver, 611
July 2008.
112
3.3
PositioningusingGPSandGLONASSsystems
L. Kujawa, J.B. Rogowski & K. Kopa nska
Warsaw University of Technology, Warsaw, Poland
ABSTRACT: Thispaper presentsanexperiment involvingtheprocessingof observationsusingtheGPSand
GPS/GLONASSsystemsperformedat theBOGO, BOGI, andJ OZ2IGSstations. Duetothesmall number of
GLONASS satellites, theauthors failedto receiveany significant improvement inpositioningaccuracy using
GPSandGLONASSobservationsjointly.
1 INTRODUCTION
ThesloganGPS/GLONASSsatellitemeasurements
has become popular recently. J udging by news pro-
videdby thepress, includingInsideGNSS, onemay
gettheimpressionthattheGLONASSsystemismak-
ingitscomebackandthenumber of activesatellitesin
thesystemissteadilygrowing.Thiswasthereasonfor
anincreaseinourinterestinthejointutilisationof both
navigationsystemsinpractice, especiallyafterthecor-
rectionof theRussianreferencesystemwithrespectto
theITRF systemwithonly acentimetreshift param-
eters(September 2007). What remainsistheproblem
of differencesinthetimescale, but nothingseemsto
demonstrate that this is particularly significant. So,
what is it we did in order to confirmthe impact of
observationsof GLONASS satellitesontheaccuracy
of GNSS positioning? We conducted an experiment
for whichweselectedmonthlydata(September 2007)
fromthe BOGO, BOGI, and J OZ2 stations (BOGO
and BOGI are very close to each other while J OZ2
is at adistanceof approximately 42km). Theobser-
vations were processed using TrimbleTotal Control
softwareasthenetwork of selectedpointsisnot vast.
Thenetworkof vectorsconnectingthespecifiedpoints
was designatedusingtwo alternatives. Thefirst only
usedGPSobservationswhilethesecondappliedboth
systems GPSandGLONASS.Thequantityandcon-
figurationof GLONASS satellites makes impossible
theindependent analysis of observations exclusively
Figure1. ChangesintheBOGI-J OZ2vector componentsina3Dsystem.
fromtheGLONASSsystem. Inspiteof theplacement
of successiveGLONASSsystemsatellitesinorbit, the
number of activeSVShasnot changedasof thisday.
TheRussianseffortsareconcentratedonreplacingthe
oldtypesatelliteswithnewones.
2 THE EXPERIMENT
Whatwasdonewasacomparisonof vectordetermina-
tionsfortheGPSandGPS/GLONASSdata.Twotypes
of vectorswereconsidered: long(forty-twokilometre)
andshort (onehundredmetre) ones. Thevector com-
ponents, long and short, of the determinations from
daily cycles were characterised by a mean error of
2mm, andnothingseemstosuggestanychangeinthe
valuesof thevectorcomponentsortheiraccuracychar-
acteristicsintermsof bothsolutionsconductedusing
dataexclusively fromGPS andutilisingobservations
made using the two systems. Figure no. 1 presents
changes in thelong vector components calculated
for dailyobservationcycles. Theequalisedcoordinate
values for thethreepoints earmarkedfor theexperi-
mentforsolutionsusingonlyGPSdataandthoseusing
bothsystems gaveidentical results withanaccuracy
of result presentation.
Thelackof anydiscernabledifferenceinresultsfor
thedaily solutions inducedus to conduct ananalysis
of DOP coefficients, makingpossibleanassessment
113
of thestrengthof thesolutionsinrelationtosatellite
numbersandconfigurations.
3 GDOP (GEOMETRICAL COEFFICIENT)
Figure2. GDOP for theGLONASSsystem.
Figure3. GDOP for theGPSsystem.
Figure 4. The common GDOP for GPS/ GLONASS sys-
tems.
4 HDOP (2DSOLUTIONS) ANDVDOP
(HEIGHT)
Figure5. HDOP coefficient for theGLONASSsystem.
Figure6. HDOP coefficient for theGPSsystem.
Figure 7. The common HDOP coefficient for the
GLONASSandGPSsystem.
114
Figure8. VDOP coefficient for theGLONASSsystem.
Figure9. VDOP coefficient for theGLONASSsystem.
Figure 10. The common VDOP coefficient for both sys-
tems.
5 PDOP (PRECISIONCOEFFICIENT FOR
DETERMINATIONOF 3DPOSITION)
Figure11. PDOP coefficient for theGLONASSsystem.
Figure12. PDOP coefficient for theGPSsystem.
Figure13. ThecommonPDOPcoefficientforbothsystems.
6 TDOP (TIME DILUTIONOF PRECISION)
Figure14. TDOP coefficient for theGLONASSsystem.
Figure15. TDOP coefficient for theGPSsystem.
115
Figure16. ThecommonTDOPcoefficientforbothsystems.
Figure17. GLONASSsatellitevisibilityinWarsaw.
7 DOPANALYSISSUMMARY
All DOP graphsarestrongly correlated firstly with
thenumber of observedsatellites, andsecondly with
their placement in the horizontal hemisphere. They
confirmthat 3D or even 2D positioning using only
GLONASSsatellitesis, inpractice, senseless. Thisis
confirmedbythesampleFigureno. 16whichpresents
the number of GLONASS satellites visible over a
twenty-four hour periodinthevicinityof Warsaw.
In practice, the use of the GLONASS systemin
addition to the GPS systemgives very poor results.
TheDOPcoefficientsfall insignificantly,whichhasno
major impact onaccuracyachieved. TheGPSsystem
providesDOP coefficientsof avaluebelowthreefor
thedecidedbulkof thetime.
Theonly situation in which theRussian satellites
might have a major impact on accuracy would be a
situationinwhichtheGPS satellitewaslowover the
horizon,whiletheGLONASSsatelliteswouldbehigh.
Themeasurement wouldbeimprovedinsuchacase.
However, analysis of almanacs for GPS shows that
suchsituationsareveryrareandtheir durationisvery
short.
8 CONCLUSIONS
The objective of this experiment was to compare
positiondeterminationintheGPSandGLONASSsys-
tems as well as applying combined solutions. It was
demonstratedthat:
As of today, it is difficult to speak of the deter-
mination of position exclusively on the basis of
GLONASSsatellites.
Thepast year hasseenthereplacement of oldtype
satellites with new ones GLONASS-M rather
than expansion of the space sector as stated by
Inside GNSS (the number of active satellites has
not changedover theyear).
If oneistobelievethepromisesof thePrimeMin-
ister of Russia(dated frombeforethecrisis), one
canhavehopesthat by theendof 2009thesystem
will beexpandedtoanoperational state. However,
nothingseemstosupport thispremise.
Thecompensatoryeffect of thetwosystems(albeit
itisdifficulttounequivocallystateif thisisnottem-
porary) maybeconsideredapromisingpremisefor
thefuture, whenthenumberof GLONASSsatellites
approachesanoperational level.
116
3.4
Galileointegrityconcept anditsapplicationstothemaritimesector
C. Hernndez, C. Cataln& M.A. Martnez
GMV S.A., Madrid, Spain
ABSTRACT: GalileoistheEuropeanGlobal NavigationSatelliteSystem, under civiliancontrol. Galileowill
providetheir userswithhighly accurateglobal positioningservicesandtheir associatedintegrity information.
Themainobjectiveof thisarticleistoexplainthebasisof theGalileointegrity concept, whichisfundamental
for safety-critical applicationssuchasmaritimenavigation. A reviewof theexpectedperformancethat will be
achievedhasbeenalsoincluded.
1 INTRODUCTION
Galileo is the European Global Navigation Satellite
System, under civiliancontrol. Galileowill provideto
their usershighlyaccurateglobal positioningservices
andtheirassociatedintegrityinformation.Theelement
withintheGalileoGroundMissionSegment(GMS) in
chargeof thecomputationof Galileo integrity infor-
mationistheIPF(IntegrityProcessingFacility), being
developedbyGMV (GrupoMecanicadel Vuelo).
Theintegrityalgorithmsof theGMSareresponsible
of providingareal-timemonitoringof thesatellitesta-
tuswithtimelyalarmmessagesincaseof failures.The
accuracyof theintegritymonitoringsystemischarac-
terized by the SISMA (Signal In Space Monitoring
Accuracy), whichisbroadcasttotheusersthroughthe
integrity messagetogether withthesatelliteintegrity
flags(OK, Not Monitored, DoNot Use).
Galileoiscurrentlyinitsdetaileddesignanddevel-
opment phase. Thedesignanddevelopment phasefor
the IPF started in May 2005. The Critical Design
Review (CDR) of the systemhas been successfully
at thebeginning of 2008, whiletheFactory Qualifi-
cation Review(FQR) is expected for 2009. TheSW
prototypes of the integrity algorithms have already
been implemented and theassessment of thecritical
performancefigureshasalreadybeenperformedwith
outstandingresults.
The main objective of this paper is therefore to
explain the basis of the Galileo integrity concept,
which is fundamental for safety-critical applications
suchasmaritimenavigation. It will includethemath-
ematical formulationthat shall bepresent at receiver
level together with the details that are required to
understand it fromthe maritime user point of view.
Areviewof thepotential level of performancebasedon
thepreliminaryresultsavailablefromthedevelopment
phasewill bealsoprovided.
Additionally, informationisprovidedrelatedtothe
potential evolutions of theGalileo integrity concept,
which is currently being defined in theframeof the
GNSS evolutionprogramledby ESA andinthe7th
FrameworkProgramof theEuropeanCommissionled
by theGSA, in which GMV takes an activerole. In
thisenvironment,requirementsfromthemaritimeuser
communityarebeingconsidered.
2 THE GALILEOINTEGRITY CONCEPT
2.1 Overview
Integritycanbedefinedasameasureof thetrust that
can be placed in the correctness of the information
supplied by the system. Integrity includes the abil-
ity of the navigation system to provide users with
timely and valid warnings (alerts) when the system
must not beused for theintended operation (ICAO,
2006). In the current Galileo baseline the integrity
aspects concerning the SIS errors will be achieved
by means of two parameters: Signal-In-SpaceAccu-
racy(SISA) andtheIntegrityFlag(IF). Together with
a new satellite ephemeris and clock models broad-
cast to theusers, it is also sent theSISA, whichis a
predictionof theassociatederrorswithacertaincon-
fidence level for the whole coverage area and valid
for the applicability time of the models. The com-
putation of this parameter is performed in another
element of theGMSnamedOSPF (Orbitographyand
Synchronization Processing Facility) based on off-
line data processing. Additionally, in order to meet
thestringent integrityrequirementssuchasthemaxi-
mumTimeToAlert (TTA), it isbroadcast inreal time
the Integrity flags, which informthe users if SISA
is properly bounding or not the SIS errors in that
moment.
The Signal-In-Space Accuracy (SISA) plays an
important role in the Galileo integrity concept, as
it should cope with the navigation message errors
117
Table1. GalileoOverboundingdefinition.
Thedistributionof arandomvariableA isover-boundedbya
distributionof arandomvariableB, if for all L 0:
P([A[ L) P([B[ L) for all L 0
in fault-freeconditions. Thedescription of thealgo-
rithmsinchargeof theSISA computationisoutof the
scopeof thispaper, whichisdevotedtothereal-time
integrity monitoring systemof Galileo allocated to
theIPF.
2.2 High-level description
In order to validate the navigation message being
broadcast bythesatellites, anindependent estimation
of theSignal-In-SpaceError (SISE) is performed in
real-time. Thisestimation, whichisalsomodeledasa
randomprocesswithanassociateduncertainty, allows
theverificationof theoverboundingof thetrueSISE
distribution by the broadcast SISA. The assumption
made in this case is that the difference between the
true SISE projected at Worst User Location (WUL)
andtheestimatedonecanbeoverboundedbyaGaus-
siandistributionwiththestandarddeviationequal to
SISMA. Inthiscontext, theSISMA canbeconsidered
asaqualitymeasureof theintegritycheck withinthe
IPF. Additional information on the Galileo integrity
concept can be found in (Oehler, 2005). From the
operational pointof view, theIPFdesigndoesnotcon-
sider anyreal-timehumanintervention, sokeyfactors
arethealgorithms robustnessandreliability, directly
derived from the stringent integrity and continuity
requirements.
Beforeenteringmoredeeply intheexplanationof
the Galileo user integrity concept and its potential
applications for themaritimecommunity theGalileo
overbounding concept should beclarified. As stated
in(Hernndez, 2008), it canbedefinedinthefollow-
ingway:
This definition of the Galileo overbounding con-
cept is quite similar to the CDF (Cumulative Den-
sity Function) overbounding definition stated by
(DeCleene, 2000), althoughtherearesomedifferences
asexplainedin(Hernndez, 2008).
The objective of the IPF is to validate the nav-
igation message of the satellites. The validation is
based on IPF estimation of the SISE and its com-
parison with the broadcast SISA and the internally
computed SISMA. According to the assumptions
mentioned earlier, theIPF will assumethat theesti-
mated SISE is overbounded by aGaussian unbiased
distribution:
TrueSISE overboundedbyN (0, SISA);
SISE estimationerror (TrueSISE minusEstimated
SISE) overboundedbyN (0, SISMA);
Estimated SISE overbounded by
N(0,
SISA
2
SISMA
2
);
Under these assumptions, the user considers that
thethreshold applied at IPF level in order to decide
if a navigation message is valid or not is given by
the variance of the distribution characterizing the
estimatedSISE, together withtherequiredfalsealarm
probability:
being k
pfa,u
the point of the normal distribution that
leavesinthetails(two-tail problem)aprobabilityequal
tothespecifiedfalsealarmrate.Thus, if theestimated
SISE projected to the worst user location is higher
thantheallowedthreshold, thesatelliteis flaggedas
DONOT USE inorder toindicatetheuser that its
navigationmessageisnotvalidandthesatelliteshould
not beusedfor positioning.
Thecurrent specificationof theIPF element envis-
agesamaximumfalsealarmprobabilityintheorderof
10
7
in15seconds, whichgivesak
pfa,u
factor approx-
imatelyof 5.212. Consideringthattherequiredvalues
for SISA andSISMA are0.85and0.7meters, respec-
tively, incasenomorebarrierswereimplemented, the
minimumdetectableerrorsbytheIPF wouldbeinthe
order of 6meters.
2.3 User integrity risk computation
Galileo users will compute the Integrity Risk (IR),
which is the probability of having Hazard Mislead-
ingInformation(HMI). Thiswill comeout asaresult
of acombinationof thehorizontal andvertical errors,
consideringboththefault-freesituation(FF) andthe
onewherethereisonefailingsatellite(1F). Thecase
of multiple satellite failures is excluded from the
user integrity risk computation since they are cov-
eredby other mechanisms establishedin theGalileo
systemFault TreeAnalysis (FTA). It is important to
notethat satelliteswithanIF set toDONOT USE
will beexcludedfromtheuser positionandintegrity
computation.
Thebasicunderlyingassumptionsallowingtheuser
todeterminetheintegrityriskof hispositionsolution
at anyglobal locationare:
InaFault-Free-Mode thetrueSISE for asatellite
is overboundedby azero-meanGaussiandistribu-
tionwithastandarddeviationequal toSISA;
In general, theIPF will detect thefaulty satellites
andtheywill beflaggedasdont use;
Onesatelliteof thoseflaggedasOKisconsidered
tobefaultybut not detected(FailureMode). For
thissatellitethetrueSISEisoverboundedbyaGaus-
siandistributionwhosemeanis theIPF rejection
threshold (T) and thestandard deviation is equal
toSISMA, N(T,SISMA);
The probability that more than one satellite at
each instancein timeis faulty but not detected is
negligiblefor theuser equation.
118
Table2. GalileoIntegrityRiskComputation.
IR=Vertical_IRHorizontal_IR=
Vertical_IR_FFVertical_IR_1F
Horizontal_IR_FFHorizontal_IR_1F
Thereforethecomputationof theintegrityriskisas
follows:
3 EXPECTEDPERFORMANCE
The Galileo systemwill provide different services:
the Open Service (OS) providing positioning and
timing, theCommercial Service(CS) thatwill dissem-
inate additional ranging information on a fee-based
scheme, thePublicRegulatedService(PRS)providing
positioning, timingandintegrity for restricted-access
signalsandtheSafetyof Life(SoL),whichwill provide
integritymessagesfor thenavigationdataincludedin
theOSsignals.
Asanyother navigationsystemprovidingintegrity,
the SoL requirements can be expressed in terms of
accuracy, availability, continuity and integrity. The
followingtablesummarises themainGalileo system
requirements.
Inordertobecompliantwiththecurrentlyspecified
requirements, thedesign of theGalileo systemmust
take into account several critical aspects, which are
usually called performance drivers. First of all, it
needs to be clarified that the expected performance
are similar to those of EGNOS, but with a global
coverage instead of a regional one. Therefore the
design of Galileo has been conditioned to a large
extent for the compliance to the requested perfor-
mance. Moreover, performance averaging over time
or geographical locationisnot allowed, whichbrings
additional constraints.
The performance allocation to the different com-
ponents of the systemhas been a very complicated
process (Oehler 2008). Extensive simulations and
Table3. GalileoOS/SoL systemperformancerequirements
(without consideringthereceiver contribution).
Parameter Performance
Positioningaccuracy(95%) 4mhorizontal; 8mvertical
IntegrityRisk 2.0e-7inany150s
ContinuityRisk 8.0e-6inany15s
Availabilityof Service 100%nominal
99.5%degradedatWUL
TimeToAlert 5.2seconds
Horizontal Alert Limit (HAL) 12m
Vertical Alert Limit (VAL) 20m
Coverage Worldwide
Table4. GalileoOS/SoL systemperformanceallocation.
Parameter Performance
NavigationMessageranging 65cm
accuracy(67%)
SISA (67%) 85cm
SISMA 70cmNominal GSS
network
130cmDegradedGSS
network
GSSnetwork 40sensor stations
computations were requested to derive the current
figures.Themostrelevantonesarepresentedhereafter.
In order to meet the availability and continuity
requirements, it was required to consider not only
the nominal configuration of the system but those
degradedones inwhichelements of thesystemwere
missing, givingdegradedperformance.Thisistherea-
sonwhytheSISMA performanceisspecifiedwiththe
nominal anddegradedGSSnetworks.
After thedetailed performanceanalysis and algo-
rithm design, most of the performance figures are
expected to be accomplished, although some areas
needfurther work. For example, theionosphericscin-
tillationshavebeenfoundtobeoneof themajorthreats
affecting the performance, since they may imply a
signal qualitydegradationandevensignal loss, result-
inginvisibilitygapsfor certainsatellites. Thisisalso
presentatuserlevel,anditcannotbemitigatedorcom-
pensatedatsystemlevel, affectingalsotoDGNSSand
SBAS. Thisthreatisneverthelesslocation-dependent,
sinceitaffectstheequatorial andhigh-latituderegions
and they are sufficiently frequent so as to be con-
sidered as an intrinsic part of theenvironment, even
in years of low solar activity. (Schlarmann, 2008)
shows that the current assessment of the expected
level of performanceis inlinewiththerequirements
except for the conditions in which scintillations are
present.
Anotherperformancedriveristhequalityof theraw
dataprovided by theGalileo Sensor Stations (GSS).
Boththepseudorangeandcarrierphasemeasurements
119
arerequestedbythealgorithmsinchargeof computing
the SISA and SISMA. Advanced filtering and data
processing techniques are being used; however the
level of multipath at sensor station level will be a
critical factor for theachievementof theperformance.
4 POTENTIAL EVOLUTIONAND
APPLICABILITY TOMARINE
NAVIGATION
Inprinciple, thereisanimportantaspectintheGalileo
IntegrityConcept comparedwiththeoperational user
requirements established by IMO in its resolution
for futureGlobal Navigation SatelliteSystem(IMO,
2001). IMOestablishedtherequirementsfor integrity
basedontheconceptsof alertlimitsandintegrityrisk.
Whileinprincipletheyarethesameconceptsasthose
specified for Galileo, the implementation at system
level isdifferent fromtheonedoneinSBASsystems
suchasEGNOSandWAAS(RTCA, 2006). InSBAS,
theuser computes aProtectionLevel, definedas the
regionfor whichthemissedalert probabilityrequire-
ment (or integrity risk) can bemet, and compares it
with theAlert Limit. In Galileo, thedesign is in the
other way round, theuser computes theintegrity risk
corresponding to theAlert limit and then compared
with the maximum affordable limit. IMOs resolu-
tion does not preclude one implementation or the
other, althoughitseemstofollowacommonapproach
with ICAO (International Civil Aviation Organisa-
tion),whichintroducedtheconceptof ProtectionLevel
initsSARPS(StandardAndRecommendedPractices
for GNSS).
Another important difference is the definition of
theSignal-In-Spaceintermsof thebroadcastintegrity
information. SBAS systemsrely ontheUDRE (User
Differential RangeError) for satellitedifferential cor-
rectionresidual errors, whichissimilar totheparame-
ter withthesamenameintroducedinDGNSS(IALA,
2004). However, inthecaseof Galileotheconcept of
differential correctionno longer applies andthepre-
dictedaccuracy of thebroadcast navigationmessage
is disseminated as the SISA, while the accuracy of
the integrity monitoring systemis also broadcast as
theSISMA. SISA andSISMA (includingtheintegrity
alerts) playasimilar roletotheUDRE.
AlthoughIMOhasestablishedoperational require-
ments independently of the implementation of the
integrityconcept, attheenditwill beforcedtodefine
astandardfor thesignal definitionfor futureGNSSin
theframeof themaritimepolicy as it didinthepast
withDGNSS. Thesituationis thesameas for ICAO
andtheuseof GalileoSoL (Safetyof Life) servicein
theframeof thecivil aviationcommunity. Becauseof
thesereasons, aneffortiscurrentlybeingdoneinorder
to support theharmonisationof theGalileo integrity
concept andtheexistingstandardsthat may envisage
someevolutionsonthisrespect inthefuture.
However, avery important aspect of Galileo as a
navigationsystemprovidingintegrityisitsworldwide
coverage. With an accuracy in the same order of
magnitude as DGNSS and SBAS, the advantage of
providing seamless integrity performance over the
worldmaybringahugebenefitintermsof areduction
in the investment in the implementation and main-
tenance of coastal DGNSS networks. Similarly the
futureplansfor thethirdgenerationof GPS satellites
includetheprovisionof integrity. Onthis respect, an
assessmentdonebyIMOestablishesthatGalileocould
beconsideredinthefuturefor Oceanic, Coastal, Port
approachandrestrictedwater operations(IMO2003).
Because of the importance of the provision of
integrity in the future, both the European Space
Agency(ESA) andGSA (GNSSSupervisoryAuthor-
ity) have launched several projects to analyse the
potential evolution of the Galileo Integrity concept.
A key factor inthis process is theinteroperability of
Galileoatthelevel of integritywithotherexistingsys-
tem, including SBAS. Some preliminary results on
the application of the concept of transparency to
Galileo can be found in (Cataln, 2008). Addition-
ally, theconceptionof GNSSasasystemof systems
will probably have a significant role in the evolu-
tion of Galileo andits integrity concept. In 10to 20
years, the most probable situation is that users will
haveatleastfourGNSSwithopendual frequencysig-
nals, GPS, Galileo, GLONASS and COMPASS and
more than 20 satellites always in view. With such
level of redundancy, the level of performance that
could beachieved by RAIM (Receiver Autonomous
Integrity Monitoring) algorithms in terms of avail-
ability could be fully comparable to those already
provided by SBAS or in the future by a standalone
useof Galileo. Moreover, it has theclear advantage
thatincludesFDE(FaultDetectionandExclusion)due
to local effects (interference, multipath, etc.) that is
neither present in DGNSS, SBAS or Galileo, com-
bined with aTimeTo Alert (TTA) of just 1 second.
This RAIM applied to the all the systems together
could be even enhanced by the use of the integrity
informationbroadcast by eachsystem. Other options
alternativetoRAIM arealsobeinginvestigated, such
as the RANCO (Range Consensus) algorithm, see
(Schroth 2008), in which several groups of 4 satel-
lites aredefinein order to evaluatethepseudorange
of the satellites that did not enter into the position
solution. Based on theinformation coming fromthe
different solutions somesatellites arerejected. As it
can beseen, thereis aconsensus that in thecaseof
multiconstellationGNSSthehypothesisthattheprob-
abilityof amultiplesatellitefailureisnegligibleisno
longer valid.
Thereforethesituationwouldbethat eachindivid-
ual systemcouldworkinastandalonemode,providing
a certain service level in terms of integrity perfor-
mance, but their combination would yield a better
servicelevel. For this, an effort in thesatellitenavi-
gation community should berequired to standardise
therequirements for thedifferent satellitenavigation
systems in terms of interoperability at the level of
integrity.
120
5 CONCLUSIONS
TheGalileoIntegrityConcepthasbeenpresented, asit
hasbeendefinedandincludingtherequiredprocess-
ingat user level. Themajor differencewithrespect to
SBAS systemspecification is thesubstitution of the
ProtectionLevel by theIntegrity Risk asthevariable
tobecomputedatuser level. Becauseof theintroduc-
tion of terms corresponding to a potential failurein
onesatellite, theconcept cannot bedirectly reversed
intoaProtectionLevel tobecomparedwithanAlarm
Limit. Thisimpliesachangeat implementationlevel,
whichrepresentsadeviationfromthestandarddefined
by ICAOfor civil aviationand, inprinciple, couldbe
adopted also by IMO. However, the systemcan be
compliant with the high-level systemrequirements,
providing asimilar level of performanceto thoseof
SBASandperhapsslightlyworsetothoseof DGNSS,
but withthegreat advantageof aglobal coverageand
thereforenoinvestment at local level.
Additionally, the integrity concept of GNSS will
still evolve in the incoming years motivated by the
appearanceof newsatellitenavigationsystemsandthe
upgradeof theexistingones. GNSSwill beconceived
asaSystemof Systems, eachoneprovidingservice
inastandalonemodeandwithimprovedperformance
whenall combinedtogether.
REFERENCES
CatalnC. & Hernndez C. & MozoA. & Fernndez L. &
AmarilloF. 2008. ImprovedIntegrity Concept for Future
GNSS Evolutions. Proceedings to the 21st ION GNSS
International Technical Meetingof theSatelliteDivision,
September 2008.
DeCleeneB. 2000. Defining pseudorangeintegrity over-
bounding Proceedings to the 13th ION GNSS Inter-
national Technical Meeting of the Satellite Division.,
September 2000.
Hernndez C. & Cataln C. & Fernndez M. A. &
SardnE. 2008. TheGalileo GroundSegment Integrity
Algorithms: Design and Performance. International
J ournal of Navigation and Observation. Volume 2008,
ArticleID178927, doi:10.1155/2008/178927.
IALA 2004. IALA Recommendation R-121 on the Per-
formance and Monitoring of DGNSS Services in the
frequencyBand283.5 325kHz. Edition1.1, December
2004
ICAO, 2006. International Standards And Recommended
PracticesAeronautical Telecommunications.Annex10To
TheConventionOnInternational Civil Aviation. Volume
I Radio NavigationAids ISBN 92-9194-772-5. Sixth
Edition J uly2006.
IMO 2001. RevisedMaritimePolicy andRequirements for
a future Global Navigation Satellite System (GNSS).
Resolution A.915(22) adopted on 29th of November,
2001.
IMO2003. Evaluationof GalileoPerformanceagainst Mar-
itime GNSS Requirements. NAV 49/13. 16th of April
2003.
Oehler V. & Luongo F. & TrautenbergH. & Boyero J. P. &
Krueger J. & RangT. 2005. TheGalileo Integrity Con-
ceptandPerformance. Proceedingstothe18thIONGNSS
International Technical Meetingof theSatelliteDivision.,
September 2005.
Oehler V. & Krueger J. & Trautenberg H. & Daubrawa J.
2008. Galileo System Performance for different Users
and Constellations. Proceedings to the21st ION GNSS
International Technical Meetingof theSatelliteDivision.,
September 2008.
RTCA. 2006. Minimum Operational Performance Stan-
dards for Global Positioning System/Wide Area Aug-
mentationSystemAirborneEquipment.RTCADO-229D.
13-December-2006.
SchlarmannB. K. & Hollreiser M. &AmarilloF. 2008. The
GalileoGroundMissionSegmentArchitectureandPerfor-
mance. Proceedingstothe21st ION GNSSInternational
Technical Meeting of the Satellite Division, September
2008.
SchrothG.&Rippl M.&EneA.&BlanchJ.&BelabbasB.&
WalterT. &EngeP. &Meurer M. 2008. Enhancementsof
theRangeConsensusAlgorithm(RANCO). Proceedings
tothe21stIONGNSSInternational Technical Meetingof
theSatelliteDivision, September 2008.
121
3.5
GalileoAltBOC E5signal characteristicsfor optimal
trackingalgorithms
F. Vejraka, P. Kov r & P. Ka cmark
Czech Technical University in Prague, Czech Republic
ABSTRACT: Thepaperdealswithanoptimal processingof aGalileoE5signal.Aproposedcorrelatorstructure
wasdevelopedonabaseof adeepstudyof anE5signal crosscorrelationfunction. Duetothenonlinearityof
theE5AltBOCmodulationtheproposedcorrelator calculatesthecrosscorrelationfunctionbetweenareceived
signal andasignal replicafor all possiblehypotheses of thenavigationmessagebits. A correct peak tracking
verificationisrealizedby implementationof asinglesidebandcorrelator, whichalsoservesfor coursesignal
acquisition and secondary ranging code synchronization. The signal processing was verified on the Galileo
GioveA andGioveB satelliteswithverypositivepreliminaryresults.
1 INTRODUCTION
TheGalileosystemisacivil satellitenavigationsystem
currentlydevelopedbytheEuropeanUnion. Thesys-
temwill providedifferenttypesof servicesforvarious
missions, froma basic so called open service (OS)
to safety of life service (SoL) and public regulated
service(PRS). TheGalileo signal structureis there-
fore very complicated and utilizes wideband signal
withanAltBOC modulationfor highprecisionrange
measurement.
Thispaperisfocusedonthesignal processingmeth-
ods of completeAltBOC Galileo E5signal, whichis
themost complex Galileosignal withthewidest fre-
quencybandwidth.Theoptimal methodsof theGNSS
signal processingarewell knownandarebasedonthe
correlation reception. Thenavigation receiver calcu-
latescrosscorrelationfunctionof thereceivedsignal
andalocallygeneratedreplicasignal andsynchronized
thereplicaonthereceivedsignal.
Theoptimal correlator structureforAdditiveWhite
GaussNoiseChannel (AWGN) istheclassical Early-
Late correlator. The structure of such correlator for
GPS L1 C/A signal can befound in Kaplan (1996).
Thereplicagenerationfor GPSL1C/A signal isvery
simple, becausetheunknownnavigationdatabitsare
modulatedbythelinear BPSK modulation.
Theproposed signal processing algorithmfor the
GALILEOE5signal is basedonthesameprinciples
like the GPS L1 C/A processing, but the correlator
structureismorecomplex.
2 GALILEOE5SIGNAL CHARACTERISTIC
TheGalileo signals aredefined in ESA (2008). The
crosscorrelationfunctionof thesignal wasderivedin
Ka cmark(2008) andcanbewrittenasfollows
where
and
Thereplicasignal of theGalileoE5signal depends
onfour secondary codebitsandtwonavigationmes-
sage bits. Since the secondary codes of the data
channelsaremultipliedbythenavigationmessagebits,
the cross correlation function generally depends on
four bits. It results in sixteen possibleshapes of the
crosscorrelationfunctionbetweenreceivedsignal and
generatedreplica.All of themaredepictedinFigure1,
where1or 1inachart titleindicatesbitsagreement
or disagreement respectively.
The secondary code bits are known in the
receiver and can begenerated after secondary codes
123
Figure1. Crosscorrelationfunctionof receivedsignal andreplicafor all combinationof secondarycodesbits.
synchronization, but the navigation message bits
remainunknown.
3 E5CORRELATOR
Thestructureof theEarly Latecorrelator for Galileo
E5 signal is complicated sincethecomplex AltBOC
modulationisused. Thereisnolinear dependency of
themodulatedsignal onthenavigationmessagebits
likeintheGPSL1C/Asignal.Thereplicasignal there-
foremust begeneratedfor all possiblehypothesesof
thenavigationunknownparameters.Ingeneral casewe
havetogenerate16replicas.Thenumberof hypotheses
canbereducedonfour hypothesesafter thesecondary
codesynchronization.
Thisapproachgivesrisetothecorrelator structure
showninFigure2. Thefirst four correlator branches
servefor acalculation of thecross correlation func-
tion for all combinations of the navigation message
124
Figure2. GalileoE5correlator structure.
bits.Thefifthbranchsupportsfinal signal acquisition,
secondarycodesynchronizationandalsoverification
of thecorrectcorrelationpeaktracking.Thiscorrelate
branch processes only one signal component of the
GalileoE5signal.
4 CORRELATORVERIFICATION
TheproposedGalileoE5correlatorwasverifiedbythe
liveGioveAandGioveBsignalsandontheGalileoE5
signal generatedby asignal generator. This signal is
processedbytheGNSSsoftwarereceiverEGR2which
hasbeendevelopedat theCzechTechnical University
since2000.
The block diagram of the receiver is drawn on
Figure3. TheGalileo signal is receivedby thewide-
bandGNSSantennaequippedwiththelownoisehigh
dynamic range amplifier. The next receiver block is
a selective amplifier which splits partial GNSS sig-
nalsonL1(E1), L2andE5(L5) frequencies. TheE5
signal is processedby azero intermediatefrequency
receiver. Thebasebandsignal is digitalizedandpro-
cessedinVirtex5FPGA.Themeasureddataissentvia
EthernettothePCworkstationfor further processing.
TheproposedGalileoE5correlator wasdeveloped
in Matlab Simulink using with Xilinx SystemGen-
erator Toolbox. The correlator is controlled by the
embeddedprocessor alsointegratedintotheFPGA.
5 EXPERIMENTAL RESULTS
This paragraph presents preliminary results of the
implementedGalileo E5correlator. Theresults were
obtainedbythereceiver withnotfullyoptimizedDLL
and a PLL tracking loops. The signal was received
by theexperimental antennasystemequippedwitha
125
Figure3. EGR 2.
Figure4. Codetrackingerror ( GioveA, GioveB).
helical RF filter. Thenoisefigureof this antennais
proximately5dB.
The plot of the pseudo range error and the car-
rier phaseerror for theGalileoGioveA andGioveB
satellitesareplottedonFigures4and5. Thestandard
deviationof theseerrorsisinTable1.
We are going to repeat these experiments with
higher performanceGNSSantennabasedonPHEMT
LNA with a noise figure 1dB and a higher perfor-
manceselectiveLNA populatedwiththelowinsertion
loss andlowdistortioncoaxial resonators filters and
withthefullyoptimizedDLL andPLL trackingloops.
Webelievethat wewill reachbetter performance.
6 CONCLUSIONS
ThispaperpresentstheGalileoAltBOCE5signal char-
acteristics and on their base proposes the structure
of the optimal Galileo E5 correlator for theAWGN
Figure5. Phasetrackingerror (- GioveA, GioveB).
Table1. Codeandphasetrackingerror.
Satellite GioveA GioveB
Standarddeviation 0.202 0.204
of codetracking
error [m]
Standarddeviation 2.83 2.81
of phasetracking
error [mm]
channel. The structure of the proposed correlator is
complicated dueto thenon linearity of theAltBOC
modulation of the navigation message bits which
requires to calculate the cross correlation function
between the received signal and the replica for four
hypotheses.
Thedevelopedcorrelator wastestedinthesoftware
receiver ontheliveGalileosignalswiththepromising
preliminary results. Thefinal test isplanedtorealize
with the higher performance reception antenna and
withthefullyoptimizedPLL andDLL trackingloops.
REFERENCES
ESA 2008. GalileoOpenService, Signal InSpaceInterface
Control Document, OSSISICD, Draft1. EuropeanSpace
Agency/EuropeanGNSSSupervisoryAuthority.
Ka cmark,P.&Kovr,P.&Vejraka,F.2008.GalileoAltBOC
E5signal characteristicsfor optimal trackingalgorithms.
[CDROM]. NAV08/ILA08. London: RIN.
Kaplan, D. 1996. Understanding GPS Principles and Appli-
cations. London: ArtechHouseInc.
Kovr, P. & Seidl, L. & pa cek, J. & Vejraka, F. 2006.
Software GNSS Receiver for Signal Experiments. In
IAIN/GNSS 2006. 12-th IAIN World Congress. Proceed-
ings, vol. 2. J eju: KoreanInstituteof NavigationandPort
Research: 391394.
126
3.6
Theimplementationof theEGNOSsystemtoAPV-I precision
approachoperations
A. Fellner
Silesian University of Technology, Gliwice, Poland
K. Banaszek
Polish Air Navigation Services Agency, Warsaw, Poland
P. Trminski
GNSS-Consortium, Poland
ABSTRACT: First inthePolandtests of theEGNOS SIS (Signal inSpace) wereconductedon5thOctober
2007 on theflight inspection with SPAN (TheSynchronized PositionAttitudeNavigation) technology at the
Mielecairfield. Thiswasanintroductiontoatestcampaignof theEGNOS-basedsatellitenavigationsystemfor
air traffic. Theadvancedstudieswill beperformedwithintheframework of theEGNOS-APV project in2009.
Theimplementationof theEGNOS systemtoAPV-I precisionapproachoperations, isconductedaccordingto
ICAOrequirementsinAnnex10. Definitionof usefulnessandcertificationof EGNOSasSBAS(SatelliteBased
AugmentationSystem) inaviationrequiresthoroughanalysesof accuracy, integrity, continuityandavailability
of SIS(Signal inSpace). Also, theproject will trytoexploit theexcellent accuracyperformanceof EGNOSto
analyzetheimplementationof GLS (GNSS LandingSystem) approaches(Cat I-likeapproachedusingSBAS,
with a decision height of 200 ft). Location of the EGNOS monitoring station Chelm, located near Polish-
Ukrainianborder, beingalsoat theeast border of plannedEGNOScoveragefor ECAC statesisveryuseful for
SIStestsinthisarea. Accordingtocurrent EGNOSprogrammedschedule, theproject activitieswill becarried
outwithEGNOSsystemv2.2, whichistheversionreleasedforcivil aviationcertification.Therefore, theproject
will allowdemonstratingthefeasibilityof theEGNOScertifiableversionfor civil applications.
Thefollowingarticleprovides aoverviewof theper-
formanceof EGNOS SIS (PRN 120) as observed at
EGNOS 7 days over aperiod of 168 hours from19
of November 00:00until 26of November 23:59with
a Septentrio PolaRx 2 receiver, during the observed
periodof 168hours at EGNOS CHELM. Smoothing
wasset to100seconds.
This First Glance Report is generated with Pega-
sus 4.2 and presents the following performance
characteristics:
Sample validity: Validsamplesareall thesamples
that arepresent inthedataandarenot considered
to be affected due to logging or processing tool
problems
Accuracy statistics: calculated for horizontal and
vertical positioningerrorsseparately.
For the measured accuracy, the samples are
taken directly from the horizontal and vertical
errorsascomputedbyPEGASUS.
For the scaled accuracy, every sample is scaled
with a ratio of AL/PL(i) before taking the 95th
percentile.
User Availability percentiles for the different PA
operations: determined by dividing thenumber of
samples that areavailablefor an operation by the
total number of validsamples
Number of discontinuity events withintheperiod:
thetotal number of discontinuityeventsfor agiven
operation.
Number of Integrity events within the period:
the total number of integrity events. The Mis-
leading Information (MI) events are determined
based on samples with XPE>XPL. The Haz-
ardous MI (HMI) are counted according to
XPE>XAL >XPL for eachoperation.
All valuesthat exceedacertainrequiredthreshold
arepresentedinred.
FormoreinformationrefertotheFGAPerformance
algorithmsdocument.
127
Table1. SISanalyze.
Table2. PL andAPV-I statistics.
Protection level statistics
99% 95% 50% mean stddeviation
HPL 34.81 22.99 10.24 11.89 5.21
VPL 35.66 24.43 15.40 16.39 4.67
APV-I Position error statistics
Samples Mean RMS 95% stddeviation
HPE 597696 1.10 1.16 1.71 0.35
VPE 597696 0.76 0.92 1.69 0.51
1 SIGNAL INSPACEANALYSIS
Figure1. MessageDistributionbytime.
1.1 Message types distribution
Table3. Messagetypecounter.
PRN120 PRN126
SBASMT Number % Number %
MT 0 150905 24.97 150839 24.97
MT 1 9396 1.55 9393 1.56
MT 2 0 0.00 0 0.00
MT 3 150865 24.97 150806 24.97
MT 4 0 0.00 0 0.00
MT 5 0 0.00 0 0.00
MT 6 590 0.10 585 0.10
MT 7 9397 1.56 9392 1.55
MT 9 9396 1.55 9393 1.56
MT 10 9396 1.55 9393 1.56
MT 12 3764 0.62 3762 0.62
MT 17 3764 0.62 3763 0.62
MT 18 18819 3.11 18814 3.11
MT 24 150869 24.97 150807 24.97
MT 25 550 0.09 550 0.09
MT 26 82811 13.70 82772 13.70
MT 27 3763 0.62 3763 0.62
MT 28 0 0.00 0 0.00
MT 62 0 0.00 0 0.00
MT 63 0 0.00 0 0.00
Total 604285 100.00 604032 100.00
1.2 Message type 6 analysis
This figure shows the number of occurrences for
consecutiveMT6broadcasts (1, 2, 3, 4or morerep-
etitions). A normal alert consists of four consecutive
MT6messages, whilesingleoccurancesindicateCPF
switch-overs.
Table4. Messagetype6repetitions.
MessageType6repetitions
Single Double 3x 4x >5x
PRN120 1 0 1 145 1
PRN126 1 0 1 145 0
2 POSITIONSOLUTIONANALYSIS
2.1 Position errors and protection levels
All plots have fixed scales that represent nominal
behaviour. When theperformancedoes not fit prop-
erlywithinthesescalesfurther detailedinvestigations
areneeded.
128
2.2 Position solution plots
Figure2, 3. Horizontal andvertical Error, ProtectionLevel
andNSV over time.
Figure 4. Scatter plot of horizontal deviation fromrefer-
enceposition.
Figure5, 6. Horizontal andVertical Stanfordgraphs.
2.3 APV-I statistics
Figure 7, 8. Horizontal andVertical position error distri-
butions(epochswhenAPV-I available).
129
Figure7, 8. Continued
Figure9, 10. Horizontal andVertical protectionlevel distri-
Figure11, 12. Horizontal andVertical Safety Index distri-
2.4 Integrity
Incaseof a(potential) MisleadingInformationsitua-
tion, this sectionwill providealist of all theepochs
wheretherewasanxPE/xPL ratioof morethan1(real
MI) or morethan0.75(near MI).
2.4.1 Integrity events
There are no Integrity events in the data. The max-
imum Horizontal PL/PE ratio is 0.397273 and the
maximumVertical PL/PE ratiois0.455981
The following table represents the most extreme
epochs: Highest xPE/xPL ratio, Lowest xPL values
andHighest xPE values.
130
Table5, 6. Highest xPE/xPL ratio, Lowest xPL valuesandHighest xPE values.
Extremes
Epoch HPE HPL HPE/HPL VPE VPL VPE/VPL
maxnormHor 175329 3.59359 9.04564 0.39727 1.51378 10.8631 0.13935
maxnormVer 175331 0.16034 8.86431 0.01809 5.03754 11.0477 0.45598
maxHPE 565906 6.07277 60.2411 0.10081 1.57755 35.1706 0.04485
maxVPE 385129 4.89637 52.9584 0.09246 12.6208 140.124 0.09007
minHPL 78769 1.22757 6.67681 0.18386 0.71793 11.5757 0.06202
minVPL 287957 0.97835 6.78061 0.14429 0.06461 10.0249 0.00645
HPE HPL HPE/HPL VPE VPL VPE/VPL
Extremes 6.07277 6.67681 0.397273 12.6208 10.0249 0.455981
2.5 Cumulative Density Function
TheCumulativeDensityFunction(CDF) givesagood
indicationof thequality of thedatainterms of over-
bounding. Especially thetrend towards lower proba-
bilities becomes clear. Thegraphs should beread as
follows:
TheReddashedlineindicatestheideal trend
The vertical axis indicates the probabilities, the
moredataisavailable, thelowerthegraphscontinue
The horizontal axis indicates the quality of over-
bounding.
Thedatapointsarestrictlynotallowedtoexceedthe
red-dashedline.
However at thestart they normally tendto exceed
it, andthisisacceptableaslongasthisisonlyfor a
small areaat thebeginning
Thesteeper thetrendof thedata-points, thebetter.
A clear downwardtrendgivesconfidencethatthe
over-boundingissufficient.
A clear trend towards exceeding the reference
(red-dashed) line is an indication of non over-
bounding.
Figure13. Horizontal andVertical Positionover-bounding
inCDF.
In case the trend is parallel and close to the
reference, further investigation such as EVT is
recommended.
A change(s) of the trend suggests that multiple
systemmodesarepresentinthedata. For detailed
analysistheseshouldbeseparated.
2.6 Continuity
Thissectionwill providealist of all thediscontinuity
events. In casetherearemorethan 20 discontinuity
eventsthetablesarefilteredtoamaximumtablelength
of 20. Incasetherestill toomanyindependentevents,
thetablewill notbedisplayedandfurtherinvestigation
isrecommended.
Thefollowingtablepresentsthediscontinuity per-
formanceinmoredetail.
All discontinuities regardless of duration(sameas
infirstglance)
Longdiscontinuitieslasting3or moreseconds
Independent discontinuities, lasting3or moresec-
onds andafter continuously availableperiodof 15
or moreseconds
P(disc.):ContinuityRiskdeterminedbymultiplying
thecontinuityriskper epochwith15seconds
P(slide): Continuity Risk determined with sliding
windowof 15seconds
Table7. Discontinuityindetail.
Discontinuityevents
Valid APV-1 APV-2 CAT-1 APV-35m
All 10 345 3120 7838 745
Long 9 40 173 257 49
Independent 7 27 103 67 27
P(disc.) 0.00017 0.00068 0.00303 0.01618 0.00069
P(slide) 0.00021 0.00206 0.01723 9.35643 0.00371
131
2.7 Discontinuity events for position solution
Table 8. The following table presents all Position
discontinuityevents.
Positiondiscontinuityevents
# Epoch Duration Stableperiod
1 379453 34 33493
2 387656 219 8169
3 387879 25 4
4 416940 160 29036
5 484425 171 67325
6 484600 84 4
7 70570 160 28709
8 109514 1 38784
9 201129 44 4466
10 242862 160 41689
3 RANGE DOMAINANALYSIS
3.1 Signal quality and PRN Status
Figure14, 15. Signal toNoiseratio.
Figure16. PRNNoiseandStatus.
3.2 Normalised range error
Figure17, 18. Normalisedrangeerrors.
132
Figure19, 20. NormalisedrangeerrorshistogramandCDF.
4 CONCLUSION
FromaGNSSapplicationspointof view(GPSassisted
inEuropebyEGNOS) special importanceparameters
recorded by the receiver are: availability and conti-
nuity. Carried out measuring session shows that the
EGNOSsysteminthecurrentdevelopmentphaseisnt
meetingrequirementsputforairapplications.Thepre-
liminary assessment of the EGNOS systemdoesnt
let categorizeit as meetingAPV requirements at the
border of theEGNOSservice.
133
3.7
GPS-basedvehiclelocalisation
A. J anota&V. Kon celk
University of ilina, Faculty of Electrical Engineering, Department of Control & Information Systems, ilina,
Slovakia
ABSTRACT: Thepaper describes theprocessor-basedequipment designedfor thepurposeof traffic means
localisation. Data transmission is realised through GSM modemas a standard component of GSM phones.
Control stationgetsadataset fromGPSreceiver basedonthegivencommandandidentificationthroughSIM
module. Datais usedto determineexact time, transactiondate, geographical position, instantaneous velocity
as well as azimuth. After transferringdatainto digital maptheoperator canobserveaplaceof traffic means.
Transactionrequirestransmissionof minimal datavolume(ca80Byte)whichisaminimal loadforcreatedmobile
phoneconnection. Thepaper describesessential technical detailscharacterizingthedevelopedequipment and
obtainedexperience.
1 INTRODUCTION
Data transmission using a small volume of data in
mobilemeansisarelativelysimpleandmasteredtech-
nology today. If themobilemeansisequippedwitha
GSM modemand GPS receiver then the automatic
means placedinavehiclecanrespondto commands
coming fromthe control centre. The paper presents
results of thepossibletechnical solution realized by
theauthors. TheGPSreceiver providesadataset that
canbeappropriatelyselectedbytheuser. If oneneeds
to know geographical position, time, date, velocity,
course, thentheGPSsentencewiththeGPRMCprefix
may beused. Setting of theGPS receiver for recep-
tionof justthegivensentenceonlysimplifiesproblem
solution. Thetransfer speedhasbeensetto19200bps
(fortheM35Siemenscell phone)correspondingtothe
GSM transfer speed(standardlyset to4800bps).
2 OEM GPSRECEIVERANDNMEA
PROTOCOL
Oneof theproblems to besolved results fromexis-
tenceof two sources of datasignal that areswitched
overbytheautomatontoonecontrol center. If wewant
toactivatecorrespondingautomatonplacedinsidethe
vehicle, by default the modemmust be set to GSM
communication.Oncethearrival message(forthesake
of simplicityonlyonerecommendedandknownsym-
bol) has beenevaluatedtheautomatonswitches over
the communication channel to the GPS source. The
GPS receiver works permanently despitedata is not
valid(analyzedbytheuser).
AsmentionedbeforeeachGPSreceivergeneratesa
set of dataorderedintosocalledsentencesaccording
to the NMEA protocol. This protocol provides data
expressed inASCII codethat can beshown directly
atcomputer monitor withoutanyformatting. Theuser
must set theserial link (RS232) tothetransfer rateof
theGPSreceiver. Themaximumspeedof dataupdate
by GPS receiver is 1 second however the user may
choosealonger interval (
Cern& Steiner 2003).

EachGPSreceiver sentencestartswiththe$sym-
bol. This flag helps to identify beginning of the
sentence. Informationcontent of thesentencefollows
theprefix GPRMC (Garmin). Individual datain the
sentence is separated by the , (comma symbol, in
theASCII code the value 2Ch). Particular data can
beevaluatedbasedonthenumber of thesesymbols.
As an example we can choose 80 symbols of the
GPRMC sentenceincluding theflag. Thus apart of
the sentence is stored in the memory of microcom-
puter.After switchingthecommunicationsourceback
tothedefaultstatecontentof thegivenpartof memory
may betransferredto thecontrol centrewheretrans-
actionisbeingfinishedandobtaineddataprocessed.
As a result we can find out if the vehicle goes in a
requireddirection(accordingtotheorientedmap), is
standingor moving, breakingthespeedlimit etc.
TheGPRMCcontainsfollowinginformationatfirst
80positions:
the$flag, followedby
GPRMC, followedbythe1st separator ,
Time(giveninUTC), followedby the2ndsepara-
tor ,
Datavalidity, followedbythe3rdseparator ,
Latitude, followedbythe4thseparator ,
Half-worldsign, followedbythe5thseparator ,
Longitude, followedbythe6thseparator ,
Half-wordsign, followedbythe7thseparator ,
Velocityinknots, followedbythe8thseparator ,
135
Table1. Conversion of ASCII symbols to thedisplayable
dataset of theGPRMC sentenceintheNMEA protocol.
$ G P R M C , 2
ASCII 24 47 50 52 4D 43 2C 32
1 2 1 2 9 2 9 ,
ASCII 31 32 31 32 39 32 39 2C
A , 4 9 1 5 . 6
ASCII 41 2C 34 39 31 35 2E 36
0 7 , N , 1 2 3
ASCII 30 37 2C 4E 2C 31 32 33
1 0 . 5 3 7 , W
ASCII 31 30 2E 35 33 37 2C 57
, 0 0 0 . 0 , 3
ASCII 2C 30 30 30 2E 30 2C 33
6 0 . 0 , 1 1 1
ASCII 36 30 2E 30 2C 31 31 31
1 9 8 , 0 2 0 .
ASCII 31 39 38 2C 30 32 30 2E
3 , E * 6 8
ASCII 33 2C 45 2A 36 38
Movement course (azimuth), followed by the 9th
separator ,
Data, followedbythe10thseparator ,.
Numbersof symbolsof particular dataisnot given
intentionallysincetheymaybedifferent accordingto
thetypeof GPSreceiver.
Theindicatedproceduremakesthetechnical solu-
tionpossiblewithminimumrequirementstoprogram-
mingenvironment of theautomaton. Inany casethe
GPS receiver must beconfiguredaccordingto GSM
communication needs. For the GPS OEM receivers
by Garmin there is a cost-free programme available
that can be used to set individual parameters of the
GPS receiver. As anexampletheGPS18modulecan
bementioned. Running thefileSNSRCFG.EXE the
corresponding serial COM port is being set, inter-
connected to the GPS receiver (COMM preamble).
Thepreamblecontainstwoitems: SETUP andCON-
NECT. Once the communication has been activated
theprogrammeissearchingfor thetransfer rateof the
GPSreceiver whichisindicatedat themonitor show-
inggraduallyall transfer ratestested. Whenchoosing
thepreambleCONFIG, twoitemsareavailable: SEN-
SOR CONFIGURATION and NMEA SENTENCE
SELECTION. The items GET CONFIGURATION
FROM GPSandSENDCONFIGURATIONTOGPS
areactivated as soon as thecommunication link has
beenestablishedusingthecommandCONNECT. All
sentence preambles generated by the receiver and
repeated periodically within adjustable intervals are
transferred to the computer using GET CONFIGU-
RATION command. If all receivedparameters arein
accordancewithuserrequirementstheprogrammerun
maybeterminated(EXIT intheFILE menu).
Morefrequent requirement concernsabout chang-
ing someGPS receiver parameters. If someof them
are different fromintended the preamble SENSOR
CONFIGURATION can be chosen and data pro-
posedaccordingtotheplannedpurpose. Number and
typeof GPS receiver sentences may bet set through
thepreambleSELECT SENTENSES. Dataprepared
in this way can be sent to the GPS receiver using
thepreambleSEND CONFIGURATIONTOGPS as
the last step of the configuration process. The cho-
sen options can bere-called by thepreambleVIEW,
item NMEA TRANSMITTED SENTENCES when
the GPS receiver generates data according to new
conditions. Newly establishedparameters arekept in
theGPS receiver evenafter disconnectingthepower
supply.
If parametersof theGPSreceiver cannot bemodi-
fiedortheGPSreceiverismadebyadifferentproducer
(G symbol intheGPRMC preamblemeans Garmin)
the automation programme must be adapted in the
following way. The transfer rate is standardly set to
4800bps.Theusermustrespectthisfactandadaptthe
communicationtransfer ratetonewconditions. If the
receiverrepeatssendingmoresentencesof theNEMA
protocol theprogrammefor receipt of required data
mustbeadapted. If weinsistoncheckingthesentence
check-sum(alwaysgeneratedbytheGPSreceiver)this
isalsopossibleat theexpenseof receivingthewhole
sentence.If dataistobevalidatedjustatthefirstrecep-
tion, analysis of data following the second symbol
, must beperformed. Theindication A confirms
validityof data, all other combinationsdenoteinvalid
data(mostoftenV). All datafromtheGPSreceiver
areprovidedintheASCII format. All newly defined
parametersbecomevalidafterthereset(switch-off and
and-switch-on) of theGPSreceiver.
SoftwaresimulatingtheNMEA protocol seemsto
be a very effective tool for laboratory tests (with-
out need to have the physically moving means with
the GPS receiver and GSM modem). The program
(GPSsimul) islicensedanditscurrent versionmakes
generation of 50 sentences of the NMEA protocol
possible only. The simulator then continues genera-
tion of chosen protocol sentences but without send-
ing themto the serial port (number as an optional
parameter). Older versionsof theprogrammeworked
withoutthislimitation. Inaddition, theuser canchose
a type of the NMEA protocol sentence, geographi-
cal position, elevationabovesealevel, speed, course,
repeat interval and check sum. The clock and date
is taken over fromthecomputer wherethesoftware
is installed. Theuser defines timeshift to UTC pro-
videdby theGPS. Thesoftwareis also avery useful
aid when solving problems related to dynamics of
elaborated GPS data. Based on the given speed and
course it generates relevant geographic coordinates
that are transmitted via serial link. In this way one
is able to substitute the real GPS receiver that usu-
ally does not work inside buildings and if provides
somedataitisof staticnature. Figure1showsthesoft-
warewindowwithparametersmodifiablebytheuser
(indicated with arrows) or through the itemSETUP
SCREEN.
136
Figure1. Control windowof theGPSsimul programme.
TheFigure1showssymbolicallysimulationof two
types of sentences of theNMEA protocol (GPRMC
andGPVTG) withaseconddatagenerating. Thesim-
ulatedspeedis 5knots withthecourse201degrees.
Geographical dataisgeneratedandshowninthefirst
line. TimedatarepresentstheUTC from14hours09
minutes34secondsto14hours09minutes40seconds
ondate26Nov2008.
3 GSM MODEM
Work with the GSM modem assumes use of AT
commands. Since there a lot of themonly selected
commandsusedintheapplicationarementionedhere.
Certainproblems arisewhenworkingwithGSM ter-
minals. Transfer rate of the computer is 19200 bps
(valid for the used Siemens M35 model). If we use
the GSM modemit is also necessary to set activa-
tion of the SIM module fromcomputer (instruction
ATSCIM=number of SIM card). After a certain
timetheactivationisconfirmedwithOK, or accord-
ing to theprevious commandATV0(ATV1). All this
is realized at thetransfer rate9600 bps viawireless
GSM channels. Some GSM modems do not enable
permanent setting of some parameters. In that case
eachinterruptionof power supply re-call default val-
uesthat donot needcorrespondtoour intention. It is
mostlyamatter of theS0valueof themodemregister,
specifyinganumber of ringsafter whichthereceiver
circuitsof theGSM areautomatically activated. This
Table2. Sampleof datalistedbytheautomaton.
User [ atdtXXXXXXXXX
Modem [ CONNECT
GPS Rec. [ $GPRMC,070436,A,4912.1986,N, 01845.
3541,E, 000.0,207.1,220108,003.3,E*7E
Modem [ OK (basedonthe user-choice)
User [ ath
Modem [ OK
valueisusuallysetto000whichindicatesnoresponse
of thereceiver to ringing. Thetransmitter then(after
a certain time) indicates absence of the carrier fre-
quency (or announces thereis no answer). Thevalue
keptintheS0registercanbefoundusingthepreamble
ATS0?. Theanswer givenby theGSM modemis for
example000. Itmeansthatthemodemwill notanswer
theincomingcall (Kon celk2004a, b).
Table2showsexampleof listingof actual datafrom
theGPSreceiver throughthewiredmodemattherate
19200 bps with requirement fromthecentreto send
dataviaGSMwirelesslink.Table2alsocontainsinfor-
mationaboutwhocreatesthedata, whethertheuseror
themodemor theGPSreceiver.
The first data following the comma (in the GPS
sentence)declaresUTC.Timeshownintheuppertable
givesthevalue7hours, 4minutes, 36seconds.The9th
comma is followed by date declaring 22nd J anuary
2008.
Data following the 2nd comma indicates validity
of receiveddata. Datafollowingthe3rd, 4th, 5thand
137
Figure2. Theschemeof thecircuit for reportingthemobilemeansmovement.
6th comma gives geographical data (latitude, North
sphere, longitude, Easternsphere). The7thcommais
followedbythespeedinknots. Knotisaunitnotused
inEurope(1kn=1.852km/h).Thesampleshowsthat
theGPS receiver is not inmovement. Next datarep-
resentscourse inthiscaseinvalidduetozerospeed.
Datafollowingthedecimal pointhasnosensefor this
purpose. Datafollowingthe symbol giveschecksum
calculatedasmodulo2sumof dataof thewholesen-
tence from$ flag to symbol. Then there are used
twosymbolsCRandLF thatarenotdisplayed(corre-
spondingtotheENTERkey).AT commandsfor GSM
modemcontrol aregeneratedaccordingtothetypeof
modem.
4 CONTROL ALGORITHMANDPROGRAMME
INTERPRETATIONOF THEAUTOMATON
EQUIPMENT
Programme for operation of GSM and GPS mod-
ules is configured by default to monitor serial link
fromtheGSM modemperiodically. If any symbol is
received it is compared with theF symbol (aflag
definedby theauthors). Inthecaseof positiveresult
of comparisonthebuilt-inmultiplexer switchover the
signal to data receive fromthe GPS receiver. Then
dataat theserial link fromtheGPS receiver module
ismonitoredsearchingfor theflag$ thatrepresents
beginning of NMEA protocol sentence. Other sym-
bolsreceivedarebeingstoredinoperationmemoryof
themicrocomputer. Special attentionispaidtoobserv-
ingnumber of commas, separatingindividual dataof
NMEA sentence having a different length. The 2nd
separator is followed by data expressing validity of
data of the sentence in question. If the programme
evaluatesthesymbol A (ASCII symbol 41hex) next
readingiscontinued, followedbystoringdatainoper-
ation memory of the microcomputer. Reading cycle
can be performed in two ways. If we know amount
of data in advance the reading cycle may be pre-
set exactly. Otherwise, theprogrammeis waitingfor
the symbol ending the sentence (0Dh, 0Ah). Then
dataflowis re-directedback to theserial link of the
communicationmodemthat isstill intheCONNECT
state, sendingdatafromtheoperationmemoryof the
microcomputer to the information source that initi-
atedconnection. If datafromtheGPSreceiverappears
at themonitor thenconnectionisterminatedwiththe
sequence(modemresponseisOK) followedby
the commandATH (end of transaction). If we want
to continue with getting new data in dosing inter-
val under existingconnection, thesymbol F issent
again.
138
START
98h=0
yes no
98h=1
A=99h
yes no
A=#$
R0=#30h
R2=#71
R1=#0
yes
98h=1
no
98h=0
A=99h
A=#,
@R0=A
inc R0
r2=r2-1
r2=0
yes
no
inc R1
R1=2
98h=1
yes
yes
yes
no
98h=0
A=99h
A=#A
dptr,#notice2
yes
no
no
clr a
a=20h
a=@a+dptr
99h=a
99h=1
no
yes
99h=0
inc 20h
a=20h
a=#20h
yes no
a=#@
99h=a
99h=1
no
yes
99h=0
a=#0dh
99h=a
99h=0
99h=1
no
yes
STOP
no
Figure3. Flowchartfor readingtheGPRMCGPSsentence
andfor storingdatafromtheaddress30h.
If theGPS receiver provides invalid datait is not
transmitted but the title INVALID DATA is gener-
ated. Solutionof suchasituationdependsontheuser
of stationary equipment. Either transaction may be
START
Running
Hyperterminal
Calling
ATDTyyyyyyyyyy
Receiving RMC
yes
no
Sending F
Preamble
CONNECT
yes
no
Receiving RMC
Another RMC
needed?
yes
no
Sending F
Receiving RMC
Sending +++
Sending ATH
Flag OK
yes
no
yes
no
Flag OK
STOP
Figure 4. Control algorithm applied when received
informationabout vehiclemovement.
terminated or new dataof theNMEA sentencemay
beaskedby sendingtheF symbol. Theproblemof
versatility of theapplication consists in thefact that
eachGSM communicator mayhavedifferentparame-
tersusedtoset itsoperation(what isnot aproblemin
thecontrol centre). Inmobilemeanstherequireddata
mustbepre-setinadvance.Automatonforestablishing
connectiontoaselectedphonenumber hasnochance
tousevariantsolution. Despitethenumber of instruc-
tionsfor establishingof pre-definedGSM connection
139
atdt0904901578
CONNECT 9600/RLP
GPRMC,140700,A,4913.5322,N,01847.0990,E,
023.0,275.9,130408,002.9,E*7A
OK
ath
OK
Figure5. Exampleof applicationof describedprinciple.
isrelativelylowtheindividual parametersmust beset
inadvanceaccordingtotheparticulartypeof theGSM
modem.
Figure3showstheflowchart describingtheproce-
dureof readingtheGPRMCGPSsentenceandstoring
datafromtheaddress 30h. Validity of is checked. In
thecaseof invaliddatathemessageINVALIDDATA
iscommunicated.
Technical solutionisquitesimpleandinadditionto
GSM andGPS modulesit requiresamicrocomputer,
multiplexer,converterofTTL toRS232.Moredetailed
informationisout of scopeof thepaper. Asfar asthe
electronic circuitry is concernedequipment for vehi-
clelocalization is thesameas for monitoring of the
vehiclemovement(Figure2).Theonlydifferencesare
insoftwareof thecontrol unit.
Figure4showsthecontrol algorithmdescribingsit-
uationwheninformationaboutvehiclemovementhas
beenreceived. BothdiagramsshowninFigure3-4cor-
respondtotheusedprocessor Intel 51(Valek1989).
Usage of a different kind of processor may require
changesinpresentedalgorithms.
5 CONCLUSIONS
GettingdatafromGPSreceivermakespossibletoreal-
ize other applications that generate messages in the
eventthatavehicleischangingitsposition(compared
withtheoriginal condition). Nonzerospeedactivates
theGSM modemwhentheautomatonperformscalls
andconnectingtothecentrewithcontinuousservice.
Operator in this centregets information in theform
of actual sentence of the GPRMC and based on its
parametersadequatemeasurescanbetaken.
Figure5 shows theexamplecontaining particular
data that can be used to find out where the mobile
meansislocated, includingitstimeandspeeddata.
ACKNOWLEDGEMENTS
Thepaper was preparedunder support of theSlovak
Grant agencyVEGA, grant No. 1/0023/08Theoreti-
cal apparatus for risk analysis and risk evaluation of
transport telematic systems.
REFERENCES
Cern, J. & Steiner, I. 2003. GPSodA doZ. Prague, eNAV,

s.r.o.
Kon celk, V. 2004a. Nov trendy ve vvoji bezpe cnho
odpojova ce. InProc. of theOK04, Strnice.
Kon celk, V. 2004b. Vyuitiedajov poskytovanch GPS v
mobilnch prostriedkoch. In ELEKTRO 2004, Proc. of
theinternational conference. ilina.
Valek,P.1989.Monolitickmikroprocesoryamikropo cta ce.
Prague: SNTL.
140
3.8
Effect of measurement durationontheaccuracyof positiondeterminationin
GPSandGPS/EGNOSsystems
R. Bober, T. Szewczuk&A.Wolski
ABSTRACT: Theauthorshaveanalyzedtheeffectof measurementdurationontheaccuracyof shipshorizontal
(2D) positionobtainedbyGPSandGPS/EGNOSreceivers. Also, theinfluenceof measurementdurationonthe
meanpositiondeterminationerror inrelationtoareference(geodetic) positionhasbeenexamined.
1 MEASUREMENTS
Inorder to assess howmeasurement timeaffects the
accuracyof horizontal positiondeterminationinGPS
andGPS/EGNOSsystems, morethanthirtymeasure-
ment sessions were performed. Observations during
eachsessionlastedatleast24hours.Thetestswerecar-
riedout withtwoidentical MiniMAX receiversmade
by CSI. The use of two receivers of the same type
(with the same software) was aimed at eliminating
possible errors that otherwise result from measur-
ing instruments of various types. TheGPS antennas
were mounted on the antenna platformof the Mar-
itimeUniversityof Szczecin. Theantennas positions
weredeterminedbygeodeticmethods.
Thereceiverswereoperatedby usingPocketMax_
PC_Ver.2.2. software, which makes it possible to
record data fromMiniMAX receivers by PC com-
puters. The data were recorded at 1 Hz frequency
in NMEA-0183: $GPGGA, $GPGGL, $GPGSA,
$GPGST, $GPGSV and$GPZDA formats. Observa-
tionslastedfromNovember 2007toNovember 2008.
2 MEASUREMENT RESULTSANALYSIS
The assessment of measurement duration effect on
theaccuracy of horizontal positionobtainedby GPS
Table1. Ten24-hour measurement sessionsbyGPSandGPS/EGNOSreceivers.
Measurement Elevation Measurement date M(95%) [m] [m] [m] R [m]
1 GPS 20
18.06.08 2.11 0.73 0.64 0.972

2 GPS/EGNOS 25
19.06.08 29.17 1.12 0.58 1.262

3 GPS 20
18.08.08 20.21 0.58 0.13 0.605

4 GPS 5
19.11.08 1.88 0.55 0.80 0.973

5 GPS/EGNOS 5
20.11.08 2.02 0.66 0.56 0.868

6 GPS/EGNOS 5
21.11.08 2.54 0.54 0.61 0.733

7 GPS/EGNOS 5
22.11.07 2.90 0.48 0.62 0.795

8 GPS 5
25.11.08 2.94 0.41 0.60 0.725

9 GPS 5
26.11.08 3.49 0.33 0.55 0.639

10 GPS 5
27.11.08 3.09 0.67 0.63 0.913

and GPS/EGNOS systems based on registered data
requiredcurrent calculations, i.e. after eachmeasure-
ment, of thefollowingquantities:
meanlatitude,
meanlongitude,
circular error of positionM (for P=0.95),
latitudeshift of meanpositionrelativeto geodetic
position( [m]),
longitudeshiftof meanpositionrelativetogeodetic
position( [m]),
distancebetweenmeanpositionandgeodeticposi-
tion(R [m]).
Table1presentscalculationresultsfor selectedten
24-hour measurement sessions.
Figures 1, 2 and 3, show the data from three
sessions:
changesof thecircular error intimeM (95%),
changes of latitudeshift of mean position in time
relativetogeodeticposition( [m]),
changesof longitudeshift of meanpositionintime
relativetogeodeticposition( [m]),
changesintimeof meanpositiondistancetogeode-
ticposition(R [m]).
141
Figure1. Changesof circular error after nseconds. Timescale5. Measurementsof 22.11.2008.
Figure2. Changes of mean position shift after n seconds relativeto geodetic position. Timescale5. Measurements of
22.11.2008.
142
Figure3. Changesof circular error after nseconds. Timescale5. Measurementsof 23.11.2008.
Figure4. Changes inmeanpositionshifts after nseconds relativeto geodetic position. Timescale5. Measurements of
23.11.2008.
143
Figure5. Changesof circular error after nseconds. Measurementsof 27.11.2008.
Figure6. Changesof meanpositionshiftsafter nsecondsrelativetogeodeticposition. Measurementsof 27.11.2008.
144
3 CONCLUSIONS
1 Inthefirst stageof measurements(onehour) both
thepositionerrordeterminedfromcurrentreadouts
of thereceiverandthemeanpositionshiftrelativeto
thegeodeticpositionshowsignificantfluctuations.
Thepositionshift exceedstwometers.
2 After about 12 hours the mean position relative
to thegeodetic oneseems to bestable. After that
timethedistances betweenthemeanpositionand
thegeodetic positiondo not changemorethan19
centimetres.
3 Evenif thereoccur major disturbances duringthe
measurements (2nd and 3rd measurement series)
the mean position for a long period of mea-
surements does not differ significantly fromthe
meanpositionobtainedfromundisturbedmeasure-
ments. This refers to bothGPS andGPS/EGNOS
measurements.
4 The accuracy of positions determined for long
measurement series is similar for GPS and GPS/
EGNOSsystems.
REFERENCES
Banachowicz, A. 1999. EXPLO-SHIP 99, Parametry
operacyjno-technicznesystemunawigacyjnego.Szczecin:
AkademiaMorska.
Banachowicz, A. Wolski, A. 2004. Iooao:n In|o:u-
fn:uni 'u Ynunainnn. .oinni Huyionnx
Iuni11/2004.TheGeometrical Factorsof aNavigational
System.Huninonuainii niuniinni Ynin ocnfof.
Iooao:n In|o:ufn:uni 'u Ynunainnn. !nn:
Huninonuainii niuniinni Yninocnfof.
Bober, R. Szewczuk,T.Wolski,A. 2007.AdvancedinMarine
Navigation and Safety of SeaTransportation. An effect
of urban development on accuracy of theGPS/EGNOS
system, Gdynia: AkademiaMorska.
Bober, R. Szewczuk, T. Wolski, A. 2007. 12thInternational
Scientific and Technical Conference on MarineTraffic
Engineering. Examination of Parallel Operation of GPS
Receivers. Szczecin: AkademiaMorska.
Frank van Diggelen, 2007. GPS World. GNSS Accuracy:
Lies, DamnLies, andStatistics.
J anuszewski, J. 2004. SystemGPSi innesystemysatelitarne
w nawigacji morskiej. Gdynia: Akademia Morska w
Gdyni.
Lamparski, J. 2001. Navstar GPS. Od teorii do prak-
tyki. Olsztyn: Wydawnictwo Uniwersytetu Warmi nsko-
Mazurskiego.
Specht, C. 2007. SystemGPS. Gda nsk: Bernardinum.
145
Chapter 4. Marine traffic control and
automatic identification systems
4.1
Sustainabilityof motorwaysof theseaandfast ships
F.X. Martnez deOss& M. Castellsi Sanabra
Technical University of Catalonia, Barcelona, Spain
ABSTRACT: TheEuropeantransportpolicyundertakestoenhancesustainabilityintransportinordertoboost
economicactivitiesinthewholeEU. Thereductionof pollutantemissionsandabetter balanceamongmodesof
transportationtocutroadcongestionarethepillarsof theabovepolicy.Thesefactorsareencouragingpublicand
privatestakeholderstousethefreightmaritimealternativemoreextensively. Shortseashippingisconsideredthe
quickest way toreachsustainability. Another advantageof shipsover trucksandtrainsisthat vesselsconsume
lessfuel asaresult of therelativelylowspeedsat whichtheytravel. However, increasinglyfaster shipsareina
positiontocompetewithtrucks, but theformersgreater power demandandconsumptionrateresult inhigher
pollutant emissionlevelswhich, inturn, leadtothelossof their environmental advantageover roadtransport.
Thisproblemisanalyzedbelow.
1 INTRODUCTION
According to the mid-termreview of the EU White
Paper onTransport, ShortSeaShippingisexpectedto
growatarateof 59%(metrictonnes)between2000and
2020. If weconsider thattheoverall expectedincrease
in both freight exchanges and volume is 50%, sea
transportappearsasoneof themostfeasibleoptionsto
reducetrafficcongestiononEuropeanroads.However,
thisalternativehasnotbeendefinitelyadoptedbecause
of technical, administrativeandlegal reasons. More-
over, societystill regardsmaritimetransportasaslow,
inefficientmodesinceshippersdonotyetofferthebest
valueformoney.Infrastructuresneedtobebalancedby
usingtariff principleswhichreflect theexact external
costsincurredbytheseinfrastructures.Alongthisline
of action, in1998theEuropeanUnionpublishedthe
WhitePaper onFair Payment for InfrastructureUse:
A PhasedApproach to a CommonTransport Infras-
tructureChargingFrameworkintheEU COM (1998)
466.Thispaperanalyzesselectedintermodal transport
chains and pollutant emissions fromdifferent power
outputships, andcomparesthemwiththosegenerated
byroadtransport. Theseemissionsarethentranslated
into environmental costs, basedonexistingquantifi-
cation databases. In some cases, maritime transport
provestobeabetteralternative, justifyingthegranting
of somekindof environmental bonusbytheadminis-
trationtopromotetheseaoption.Thepaperconcludes
with a brief discussion on how to best implement
thisbonustoachieveareal balancebetweentransport
modes.
2 SCENARIO
In 1998, the European Union published the White
Paper on Fair Payment for Infrastructure Use: A
PhasedApproachtoaCommonTransport Infrastruc-
tureChargingFrameworkintheEUCOM(1998) 466,
wheretheuser pays andthepolluter pays princi-
ples wereestablished. It was initially suggested that
dueschargedonvehicleshavingamaximumpayload
of over 12metrictonnesshouldbebasedonmarginal
infrastructurecostsper kilometreandmarginal urban
congestion costs. The first tariff scheme for infras-
tructureuseproposedinstudiesconductedinEurope
likeDESIRE (2001) andINFRAS (2004) was meant
to beimplemented in Germany in 2003 with an ini-
tial tariff of 0.17/kmon all vehicleand truck units
withamaximumloadingcapacityexceeding12met-
ric tonnes passing through or delivering goods in
Germany. However, after repeated delays, it was in
2005 that the scheme was launched with a tariff of
0.124/km. In 2007 the average rate increased to
0.135/kmandtariffswerereviewedagaininOctober
2008. As far as waste gas emissions are concerned,
chargesdependontheexactnumberof kilometerstrav-
elled on paid motorway sections, number of vehicle
axesandengineclass. Regardingpollutant emissions,
in 1988 the European Parliament adopted the first
Euro regulation, followed by Euro II, III and IV.
Euro V and VI are increasingly stricter regulations
on vehiclepollutant emissions, in particular particle
emissionsandnitrogenoxides(NOx) limits. Coming
intoforceon1st September 2009, EuroV establishes
an 80% decrease in particle emission limits, which
implies the need for future fitting of particle filters
in vehicles. Euro VI will come into force in 2014
and imposelimits of up to 68%of current levels on
oxides. Maritimetransportemissionsaremainlyregu-
latedbytheMARPOL Conventionandsomespecific
European regulations. The new directives concern-
ing SO
2
and NO
x
maximumemission levels aimto
reducethesechemical compounds, whichwill bethe
149
weak point of maritime transport in the future. Of
all modes of transport, the maritime one is respon-
siblefor thelargest amount of SO
2
emitted into the
atmosphere, onlytobecompensatedbytheuseof low
sulphur contentfuelsor exhaustgascleaningsystems.
However, sulphur emissions frommaritimetransport
account for 6%to 12%of total anthropogenic emis-
sionsonly(Chengfeng2007). Despitethisscenario, in
2000about44%of total NOxemissionsintotheatmo-
spherein Europewereattributableto road transport
and 36%to maritimetransport (TERM 2002). Road
transport is themain sourceof CO
2
emissions, con-
tributing91.7%of total EU transport greenhousegas
emissions. When including sea shipping in a break-
down of transport-related CO
2
emissions, it appears
that in Europe maritime transport accounts for only
about 6% of total greenhouse gas emissions, which
explains the interest in reducing the share of road
transport. AnnexVI totheMARPOL Conventionand
theNOx technical codeamendments wereapproved
attheMaritimeandEnvironmentProtectionCommit-
tee(MEPC) 58th session (October 2008), following
thedraft amendments on prevention of air pollution
fromshipsagreedbytheIMOSub-CommitteeonBulk
and Liquid Gases (BLG) at its 12th session, held in
February, andfurtheragreedattheMEPC57thsession
(April 2008).
2.1 Environmental credentials of sea transport
Maritimetransportisoneof theleastpollutantmodes.
Additionally, it contributes to the reduction of traf-
ficcongestion, accidentsandnoisecostsonEuropean
roadways (European Commission 2001). This justi-
fiessupport actionstointermodal chainswithmarine
sections including short seashipping links as away
to reach more sustainable mobility within Europe.
Nevertheless, atransport policy based solely on tar-
iff measures will not providethedesiredmodal shift
because users must see alternative transport modes
as anefficient andquality choice. All administrative
bodies should work cooperatively to improve inter-
modal infrastructuressuchasportandrail intermodal
linksor tosimplifyor speedupall documentdispatch
processesinmaritimetransport.
3 STUDY OF THE MARINEALTERNATIVE
Due to patent medium-term rail transport limita-
tions generated by the lack of coordination among
all involvedcountries interms of investment, mutual
recognitionof engineeringlicenses, unificationof sig-
nal systems and standardization of electrical power
distribution systems, short sea shipping is consid-
eredthebest short-termoption. Theconcept of short
sea shipping is defined in the COM (1999) 317
TheDevelopment of Short SeaShippinginEurope
final document as thetransport by sea of goods and
passengers, between ports geographically placed in
Europe or between those ports and other ones located
in coastal countries of the closed seas surrounding
Table 1. Routes obtained from the ANTARES study.
Source: owndata.
Origin Destination
Route Origin Port Port Destination
Route1 Madrid Valencia Naples Naples
Route2 Barcelona Barcelona Civitavec. Rome
Route3 Alicante Alicante Genoa Milan
Route4 Burgos Tarragona Genoa Milan
Route5 Zamora Gijon Hamburg Berlin
Table 2. Emission rates for diesel Euro IV road and sea
transport. Source: own, basedonICF model fromREALISE,
2005.
Road Short SeaShipping
Emittedgases EuroIV (g/Kgfuel) Improved(g/Kgfuel)
SO
2
0.114 30
NO
x
28.125 19.36
CO 5.75 8.1
Nm-VOC 2.316 2.466
PM 0.45 6.84
CH
4
0.095 0.099
CO
2
3,323 2,853
S 0.05 15
Europe. This means that this modeof transport inte-
gratesthefollowingaspects:roll onroll off traffic,gen-
eral cargotrafficincludingcontainers, liquidandsolid
bulkandevenneobulktraffic, passengertransportand
feeder services.
In this sense, all selected target routes, i.e. the
fivemostefficientinINECEU(2005) andANTARES
(2007) studies, leave from Iberian Peninsula ports
and have different destinations in Western Europe
(Table1).
Keepinginmindtheaboveintermodal routes, the
followingcriteriawereusedinour study:
1. Costsweredividedintotwomaincategories: exter-
nal environmental costs, derived from local air
pollution, global warmingandnoisepollution, and
external non-environmental costs, derived from
accidentsandtrafficcongestion.
2. Toevaluatetheimpactof theevolutionof transport-
related emissions, the scenario considered is a
future hypothetical improved condition where
futurestricter regulations, likeEuroIV, areapplied
to road (in force as of 2006 for new trucks and
shownintable6) andmaritimetransport, resulting
ina10%decreaseinall current emissions, except
for S, SO2andNOx.
3. Thecargo capacities of theselectedRo/Pax ships
are considered, bearing in mind that they are
real ships serving short sea shipping traffics in
SW Europe. The three ships are an example of
each speed group: conventional Ro/Pax vessels
arerepresentedby shipA, fast Ro/Pax vessels by
ship B and high speed craft by ship C (Table 3)
150
Table3. Main particulars of selected ships. Source: own,
basedonshippingcompanyinformation.
Conventional Fast Conventional. HSC
Particulars ShipA ShipB ShipC
Type RoRo/Pax RoRo/Pax Ro/Pax
DWT (Tm) 13274 5717 1076
GT 25058 23933 8089
Speed(knots) 18 27 40
Capacity(l.m.) 2600 1700 450
Trailers 133 97 23
(19.5m)
Cars(units) 124 100 123
Passengers 500 1400 1291
Power (kW.) 24000 31680 32800
Table 4. Hourly consumption based on engine load and
power. Source: owndata.
Speed Consumption(Tm/hour)
Typeof ship Inknots 80%MCR 20%MCR
Conventional 20 3.84 0.96
Fast conventional 27 8.068 2.017
Highspeedcraft 40 5.25 1.312
(Martnez deOss& Castells2008). Cargocapac-
ity was calculated dividing the ships total linear
capacity by 19.5 meters (European Commission
2002), including the number of trucks (assumed
FEUs) thattheshipiscapableof carrying. Cargois
measuredinFEU(veryclosetotrailer length) asit
isthecommonunit of freight inseaandroadlegs,
assuming thecontainer to befilled to 60%of its
full capacity(Martnez deOss& Castells2008).
4. Themainenginespecificfuel consumptionrateis
strongly affected by the installed propulsion sys-
tems, such as engine, gear, shaft and propulsion
arrangements.Nevertheless,moderndiesel engines
use half the fuel consumed daily by old ineffi-
cient steamengines with thesamepower outtake
(Endresen2007).
Althoughthetotal fuel consumptionratedepends
ontheenginesmaximumoutput,theaveragepower
isassumedtobe85%of MCR(MaximumContin-
uousRate)of installedpower. However, theaverage
mainengineloadandspeedvary dramatically for
different ship types. Some authors have reported
an average load of 80% MCR based on statisti-
cal data. For example, bulk carriers tend to have
slightly lower average values (72% MCR) than
tankers (84%MCR). Accordingly, loadcanrange
fromabout 60% MCR up to 95% MCR for the
analysed ships (Floedstroem1997). For our pur-
poses, engineloadwasfixedto80%of engineload
whensailingand20%for timespent at ports due
tooperations(Endresen2007).
Table 5. Total external costs of the unimodal or sea-only
intermodal solutions, taking the 200 g/h kW consumption
ratefor theRo/PaxshipsA, BandCinroute1(Source: own,
basedonpricingcostsfromREALISE, 2005).
Potential saving Potential saving
Typeof ship /FEU /FEUkm
Conventional 310.9 0.1477
Fast conventional 16.08 0.0076
HighSpeedCraft 1,542.97 0.733
5. The emission factors considered in our study are
taken from the REALISE database. The advan-
tageinCO2emissionfactorsinmaritimetransport
lies in that ships consumeless power than trucks
to carry the same amount of cargo. However, as
ship speed increases, thedifferencecan benegli-
gibleand even negative. Additionally, becauseof
the sulphur content of marine fuels, sulphurous
emissionsarestill theweakpointof maritimetrans-
port. A global average of 2.5% sulphur content
is assumed, ranging from0.5% for distillates to
2.7%for heavyfuel. Wemustemphasizethathigh-
viscosity heavy fuel tends to havehigher sulphur
values than low-viscosity fuels. At this point, the
question arises whether it is still feasible to pro-
poseanenvironmental bonusfor trucksboardinga
shipasshipshavelesser pollutanteffectsper tonne
andkilometretravelledthantrucks.
4 PRELIMINARY RESULTS
Conventional shipsarethemostefficienttypeasfaras
pollutant emissions areconcernedbecausethey have
thelowestconsumptionratesbutalsothelowestdevel-
opedspeed. Table5comparesexternal costsavingsof
eachshiptypeatonly60%of cargocapacitywiththose
of road-onlytransportresultingfromroaddistancenot
beingcovered.
Theseexternal cost savings could justify thepro-
posal of anenvironmental bonustoencouragefreight
transport companies to ship their trucks instead of
travellingthesamerouteby roadonly. Inthecaseof
thefastest ships, their smaller cargo capacity results
innoticeablypoor environmental performances, lead-
ingtoevennegativesavingratescomparedwithtruck
emissions for thesameroute. Keeping in mind only
the scenario where ship A is compared with road
transport as being the only marine option providing
external costs savings, the bonus potentially offered
by theadministrationtothetruck company wouldbe
amaximumof 14.7cents per kilometrenot travelled
by thetruck. Nonetheless, someauthors (e.g. Garca
Menndez,MartnezandPiero2003,andPrez2004)
found that, as far as modal shift is concerned, the
maritimesharewouldgrowinahigher proportionas
result of anincreaseinroadtransport cost rather than
151
adecreaseinthepriceof freight. Crossedelasticityin
thechoiceof maritimetransportover roadtransportis
about1.075%; thatis, theprobabilityof selectingmar-
itimetransport increases by 1.075%for each 1%of
roadtransport cost increase. Animprovement of cus-
tomerserviceorfastercustomsproceduresinmaritime
transport resultsinanelasticityrateof about 0.641%.
This means that areductioninfreight transport costs
of approximately 1%would increasetheprobability
of choosingseatransport by0.641%only.
5 CONCLUSIONS
The intermodal option provides hardly any external
cost savings for the five routes because the differ-
ence between road and sea distances is sometimes
negligible. Inaddition, roadlegsinintermodal chains
are too long, and increasing oil prices pose a threat
to highspeedcrafts, whichareheavily penalizedfor
their high consumption rates, which lead to higher
operational costs. Furthermore, thereisconcernabout
poor environmental performance. Conventional ships
are the most environmentally friendly ones, the dif-
ference between fast conventional and high speed
craftsbeingbiggerthanbetweenconventional andfast
conventional ships. This slight advantageof conven-
tional shipswouldbeeliminatedif stricter regulations
(EuroVI) for roadtransportwereapplied, particularly
if noothermeasureistakenforseatransport. However,
thebetter environmental performanceof ships serv-
ingspecific intermodal transport routes couldjustify
theallocationof public grantsasaneconomic incen-
tiveto convinceusers to choosemaritimetransport.
Anexampleistheenvironmental bonusofferedbythe
Italiangovernmentinseveral routestoendorsetrailers
andtrucks boardingships insteadof coveringroutes
by road only. This action has also been taken by the
Basqueautonomousgovernment inSpain.
REFERENCES
Baird,A.2004.InvestigatingtheFeasibilityof FastSeaTrans-
port Services. Maritime Economics and Logistics, Vol. 6:
252269.
Chengfeng,W. etal. 2007.Thecostsandbenefitsof reducing
SO2emissionsfromshipsintheUSWestCoastal waters.
Transportation Research: Part D12.
Directive2002CE, of 18thFebruary2002, statingthemax-
imumlengthof anarticulatedvehiclein16,5m. The19.5
meters areobtainedadding1.5meters aheadandastern,
fromthetruck.
Endresen, O. etal. 2007.A historical reconstructionof ships
fuel consumptionandemissions. Journal of Geophysical
Research D. Vol. 112, D1230:117.
EuropeanCommission. 2001.TheWhitePaperonTransport:
towards2010. Timetodecide. Brussels
Floedstroem, E. 1997. Energyandemissionfactorsfor ships
in operation. KFB Rep. Swedish Transport and Com-
merceRes. Board. SwedishMaritimeAdministrationand
MaritermAB. Gothenburg. Sweden.
Garca Menndez, et al. Determinants of mode choice
betweenroadandshippingfor freight transport. Journal
of transport economics and policy. Vol. 38, Part 3. 2004.
Martnez deOss, F.X. & Castells, M. 2008. Heavyweather
inEuropeanShortSeaShipping: Itsinfluenceonselected
routes. The Journal of Navigation. Vol. 6: 165176.
Mulligan, R. et al. 2006. Short SeaShipping. Alleviatingthe
environmental impactof economicgrowth.WMUJournal
of Maritime Affaires. Vol. 5, Part 2: 181194.
REALISE Project: Regional Action for Logistical Inte-
gration of Shipping across Europe. 2005. AMRIE.
[http://www.realise-sss.org].
TERM. Transport and Environment Reporting Mechanism.
EuropeanEnvironmentAgency. 2002.
152
4.2
Applyinggraphtheorytermstodescriptionof VTS
K. J ackowski
ABSTRACT: Thepaper presentsanexampleof applyinggraphtheorynotationtodescriptionof aVTS;
it alsocontainssomeremarksonapplicabilityof suchnotationfor marinetrafficsystems
1 INTRODUCTION
Nowadays asVTSesaregrowinginnumberandtheir
areaisstill expanding itmaybeadvisabletotakeinto
accountdescriptionof marinetrafficsystemsinterms
of graphtheory, withthepurposeof findingitsadvan-
tages or disadvantages. A model of aVTS, assumed
toillustrateanapplicationof graphtheoryformalism,
neednot beverycomplex(thoughit istheformalism
invented for depicting and analysing various traffic
systemsof great complexity).
2 EXAMPLE OF DESCRIPTION
Let systemin consideration comprises two fairways
leadingtopilot station, twoanchorages andonefair-
way from pilot station to port entrance. Its graph
representationisshowninFig. 1
Figure1. VTSgraph:
vertex1 port entrance
vertex2 pilot station
vertex3 westernreportingpoint
vertex4 northernreportingpoint
vertex5 westernanchorage
vertex6 north-easternanchorage
arcs(directedbranches) a,b,c,d,e,f,g,i,j,m
standfor trafficlanes
loopsh,k for denotinganchoredvessels.
Grapharcscanalsohaveanumerical notation, for
instance: a(1,2), b(2,1), c(2,4), d(4,2),
e(3,2), f (2,3), g(3,5), i (5,2), j (4,6),
m(6,2).
IncidencematrixJ of thegraphanditsbinarymatrix
of adjacencyA areasfollows:
(In incidence matrix: 1 denotes arc directed
towardsthevertex, 2symbolizestheloop).
The graph has no edges, which means that along
eachtrafficlanevesselsmayproceedinonedirection
only.
Withtheallowancefor theestablisheddirectionof
traffic flow, the adjacency matrix A transforms into
153
matrixB:
At any moment atraffic in thesystemcan gener-
allybecharacterizedbyflowmatrixF determiningthe
number of vessels whichhavedepartedfromapoint
(matrix F
O
of outcomingtraffic, withgraphvertices
asitssources) orvesselsmakingforapoint(matrixF
I
of incomingtraffic, verticesasoutlets).
Let anexampletraffic distribution(for thesystem
inconsideration) begivenbyflowmatrix F inoneof
thefollowingforms:
or
where numerals in brackets (3),(4) denote vessels
awaitingat anchor andsymbol (0) indicatesthat there
isnotrafficinthelane.
(Itiseasytonotice, thatF
T
O
=F
I
, thatiseachmatrix
istranspositionof theother.)
Insteadof matricesF
O
, F
I
(relatedtovertices) there
canbeusedmatrixF
B
for all graphbranches:
Figure2. Graphof traffic.
where algebraic signs mark the direction of an
arc(minus, if directedfromavertex, plus if towards
it); thenumbers of vessels at anchor in brackets (as
above).
Thetraffic network definedby matrices F
O
, F
I
or
F
B
isillustratedinFig. 2, (next page), where:
vertices 1,2,3,4,5,6;
arcs(trafficlanes) a,b,c,d,e,f,g,i,m;
(inbracketsthenumber of shipsunderway);
arc(lane) j (withnotraffic);
loops h & k (in brackets thenumber of vessels at
anchor).
MatricesF
O
, F
I
or F
B
anditsgraphrepresentation
constituteaverygeneral description, however.Togive
moredetailedinformation, eacharc of thegraph(i.e.
eachtrafficlaneinthesystem)shouldhaveitsascribed
vector of statewhich, atanygivenmoment, character-
izes thetraffic flowinthelane. (Andsimilarly, each
vertexcanbedescribedbyitsstatevector aswell.)
Forinstance, statevectorsdescribingportapproach
fairwayat achosenmoment couldbeasfollows:
a (lane1,2):
[0
H
15
M
, 0
H
40
M
, 0
H
55
M
, 1
H
25
M
, 1
H
55
M
, 2
H
10
M
],
b (lane2,1):
[0
H
20
M
, 0
H
45
M
, 1
H
10
M
, 2
H
15
M
], where vector
a (1,2), for 6vesselsproceedingtopilot station, gives
remaining time to go for each of themand vector
b (2,1), for 4 vessels approaching port entrance
remainingtimetoenter theharbour.
Exemplarystatevectorsfor anchorages,
h (5,5):
[3
H
15
M
, 6
H
30
M
, 10
H
00
M
]
andk (6,6):
[0
H
30
M
, 2
H
45
M
, 8
H
00
M
, 12
H
00
M
],
define time to wait at anchor, for each vessel. (For
vertices, whicharejunctionnodes of thetraffic sys-
tem, thenotionstate maymeanwhether thenodeis
accessibleandpassable, or not.)
Of course,theexamplesgivenarethesimplestones.
Thevectors of state, if necessary, may includemany
more particulars, such as next destination point or
allotted berthing place, kind and amount of cargo,
154
someships data, existing restrictions and constrains
etc. (And for such vertex, as p o r t, the state of
thepointmaydepend, inverycomplexandsophisti-
catedway,oninternal porttraffic,cargohandlingoper-
ationsandother technical andeconomical factors.)
Vectors of state of every traffic lane and waiting
area(a, b, c, d, e, f, g, h, i, j, k, m) together withstate
vectorsof vertices(v
1
, v
2
, v
3
, . . ., v
6
) andflowmatrix
F definethestateof thewholesystem.
Transformationof statemaybedeterminedbytwo
setsof functions:
{v
x
(t)}for verticesand{w
u
(t)}for arcs,
where t denotes time; (in considered example
of traffic system, index x: 1,2,3,4,5,6 and u:
a,b,c.d,e,f,g,h,i,j,k,m);
thesefunctionsalsoimplicatetransformationof flow
matrix: F(t) =F({v
x
(t)}, {w
u
(t)}).
Ingeneral, transformationfunctions aredetermin-
istic, but they may includestatistical parameters and
randomvariables as well, or be stochastically mod-
ified. It would be useful to reckon and apply such
transformationoperatorsW, V, T, that:
Findingaffineforms
however, isnot aneasytask, asusuallytheproblemis
non-linear, or theattempts to solveit may entail the
necessityof inversionof asingular matrix.
3 FINAL REMARKS
Graph description of traffic systems is inseparably
associated with matrix algebra formalism. A major
practical difficultywithapplicationof thisdescription,
as it seems now, is the problem of finding linear
(matrix) operators for transformation of state of the
depicted system. Searching for a solution may be
done in the way of decomposing the transformation
intoafewstages, doingindispensablesimplifications
andfinallyintroducingsuchvariablesandparameters
(resulting fromthe intermediate stages of transfor-
mation), which albeit somewhat artificial make
possibletoexpresstransformationof statebyrequired
matrix operators. It is clear, that suchdecomposition
cannot beexcessive(toomany stagesof transforma-
tionmayturnonecomplexproblemintoanother) and
alsothat unduesimplifications may affect negatively
theresult of transformation.
All of these may hinder the application of graph
descriptiontomarinetrafficsystems.
Ontheotherhand, however, itsexpectedadvantages
are obvious. Matrix notation is especially suitable
for real-time automatic data processing and ensure
obtainingrequestedinformationquicklyandeasily.
As to problems with creation of dynamic graph
models of traffic systems, which may arise in case
of very complex and extensive systems they can
beovercomegradually: by proceedingfromsimplest
versionof thedescriptiontowardsmoresophisticated
ones.
Theexistingpossibilitiesof simulationexperiments
andexaminingtheeffectsof theoretical investigations
bysimulator testsshall makeit manageable.
REFERENCES
[1] Chen W.K.: Applied Graph Theory, North-Holland,
Amsterdam1976
[2] Kubale M.: Introduction to Computational Complex-
ityandAlgorithmicGraphColoring, Gda nskScientific
Society, Gda nsk1998
[3] Leszczy nski J.: Modelowanie systemw i procesw
transportowych, Oficyna Wydawnicza Politechniki
Warszawskiej, Warszawa1999
[4] Piszczek W.: Modele miar systemu in zynierii ruchu
morskiego, Studianr 14, Szczecin1990
[5] WilsonR.J.: Introductionto GraphTheory, Oliver and
Boyd, Edinburg1972
155
4.3
Simulation-basedriskanalysisof maritimetransit trafficinthe
Strait of Istanbul
B. Ozbas& I. Or
Bo gazii University, Istanbul, Turkey
O.S. Uluscu&T. Altok
Rutgers, The State University of New Jersey, NJ, USA
ABSTRACT: In this manuscript, development and preliminary results of asimulation based risk modeling
studyfor theStraitof Istanbul ispresented.Thegoal of thisresearchistoanalyzetherisksinvolvedinthetransit
vessel trafficintheStraitof Istanbul. Inthefirststepof thestudy, thetransitvessel trafficsystemintheStraitof
Istanbul hasbeeninvestigatedandasimulationmodel hasbeendeveloped. Themodel givesdueconsideration
tocurrenttrafficrulesandregulations, transitvessel profilesandschedules, pilotageandtugboatservices, local
traffic, meteorological andgeographical conditions.
Regarding risk assessment, two sets of factors are used to evaluate the risk of accident in the Strait: the
probabilityof anaccidentanditspotential consequences, asestimatedandevaluatedatvariouspointsalongthe
Strait. Experiencehasshownthat maritimeaccident occurrencescanbevery dissimilar fromoneanother and
therefore,probabilisticanalysisof accidentsshouldnotbedoneindependentof thefactorsaffectingthem.Thus,in
thisstudy, wehavefocusedontheconditional probabilityof anaccident, underagivensettingof variousaccident
causingfactors. Unfortunately, historical accidentdataisbyfar insufficientfor aproper statistical consideration
of all possible settings of these factors. Therefore, subject-expert opinion is relied upon in estimating these
conditional accident probabilities. Assessment of theconsequences of agivenaccident (interms of its effects
onhumanlife, trafficefficiency, propertyandenvironment) wasalsoaccomplishedusingasimilar approach.
Finally, by integrating theseassessments into thedeveloped simulation model, therisks observed by each
vessel ateachriskslicearecalculatedinregardtothenatural andman-madeconditionssurrounding.A scenario
analysis is performedto evaluatethecharacteristics of theaccident risk as thevessel moves alongtheStrait.
Thisanalysisallowsustoinvestigatehowvariousfactorsimpact risk. Thesefactorsincludevessel arrival rates,
schedulingpolicies, pilotageservice, overtakingandpursuit rules, andlocal traffic density. Policy indications
aremadebasedontheresultsof thesescenarios.
1 INTRODUCTION
The Turkish Straits (the Straits of Istanbul and
Canakkale), which havenarrow and winding shapes
that give themthe semblance of a river, are one of
the most strategically important waterway systems
intheworld. AstheBlack Seassolemaritimelink to
theMediterraneanandtheopenseasbeyond, theyare
avital passagewaynotjustfor tradebutfor theprojec-
tion of military and political power. Also, their hard
to navigate geographical properties, meteorological
conditions, denseand increasing transit/local traffic,
vessel/cargocharacteristics, andphysical hindrances,
suchascrosscontinental bridges,energytransferlines,
maketheStraits trafficconditionsquitecomplexand
risky. Moreover, thisnarrowpassagerunsthroughthe
heart of Istanbul, home to over 12 million people
andsomeof theworldsmost celebratedcultural and
historical heritage.
Geographically, theStrait of Istanbul is oneof the
narrowest waterways in the world. It has length of
31 kilometers with an average depth of 45 meters
(Ozturk, 1995). Itsaveragewidthis1.5km, wherethis
width decreases to 700 meters at its narrowest point
(Tan & Otay, 1999). Additionally, frequent adverse
meteorological conditions,suchasdensefogsandhigh
currents and winds, contribute to the complexity of
navigationintheStrait.
There are also some non-natural factors making
navigation through the Strait of Istanbul hazardous.
Oneof themisthedenselocal traffic, suchasintra-city
passenger boats, fast ferries, fishing boats, pleasure
boats, tugboatsetc. (VTSUser Guide, 2004). Another
important non-natural factor that negatively effects
navigation in the Strait is the frequency and cargo
characteristicsof transit vessels. Over 56,600vessels
(10,050 being dangerous material carriers) traveled
throughtheStrait of Istanbul in2007.
In order to control and mitigate maritime acci-
dent risksandimprovethesafetyof navigationinthe
described dire environment, The Bureau of Turkish
StraitsMaritimeTraffic Services(BMTS) hasset up
157
Figure1. TheStrait of Istanbul.
asophisticatedVessel Traffic Control & Monitoring
System(VTS), (coveringnot only theStrait, but also
20milesintotheBlack SeaandtheSeaof Marmara)
and has established and effected a set of stringent
MaritimeTraffic Rules andRegulations (R&R). The
vesselsarrivingatthenorthernandsouthernentrances
of theStraitof Istanbul enterandthennavigatethrough
the Strait according to the directions of the BMTS,
whicharebasedontheVTSinputsandtheR&R(VTS
User Guide, 2004).
Theobjectiveof this study is to analyzetherisks
involved in the transit vessel traffic in the Strait of
Istanbul. In order to achieve this, a detailed mathe-
matical riskanalysismodel isdevelopedtobeusedin
ariskmitigationprocess(Uluscuet al., 2008). Firstly,
inorder to study andbetter understandthesystem, a
functional simulationmodel of thetransit vessel traf-
ficintheStrait of Istanbul isbuilt. Inthissimulation,
which is based on the mentioned R&R, in addition
tothegeographical/meteorological conditions, transit
andlocal vessel trafficintheStrait, thecurrent vessel
schedulingpracticesarealsomodeledusingaspecially
designedschedulingalgorithm. Thisschedulingalgo-
rithm,whichisdevelopedthroughdiscussionswiththe
BMTS authorities, primarily mimics their decisions
onsequencingvessel entrances, aswell asnorthbound
and southbound traffic flow time windows (Uluscu
etal.,2009).Finally,byintegrating,expertopinionand
historicdatabasedriskassessmentsintothedeveloped
simulationmodel, therisksgeneratedbyeachvessel,
arecalculatedinregardtothenatural andman-made
conditions surrounding it (such as, vessel character-
istics, pilot/tugboat deployment, proximity of other
vessels, current & visibility conditions, location in
theStrait etc.), as thevessel moves along theStrait.
Preliminaryresultsobtainedintheapplicationof this
procedurearepresentedanddiscussedinlatersections.
2 MODELINGRISK
The primary objective of this study is to develop a
realisticmodel toassessandinvestigatemaritimerisk
Figure2. Theframeworkof theriskmodel.
imposed by the transit traffic in the Istanbul Strait;
furthermore, it is expected that such a model and
an accompanying scenario analysis will suggest and
support strategies and operational policies that will
mitigatetheriskof maritimeaccidentsthatwill endan-
ger theenvironment, theinhabitants of Istanbul and
impact theeconomy, whilemaintaininganacceptable
level of vessel throughput.
Regardingthemodelingof risk,firsteventsthatmay
trigger anaccident areidentifiedanddefinedasinsti-
gators(for example, therecanbeamechanical failure
in the vessel or the captain can make a judgmental
error, duringthetransitof thevessel throughtheStrait
of Istanbul). Throughtheexaminationof thehistori-
cal accident dataanddiscussionswithlocal maritime
experts, the occurrences of the following incidents
havebeenidentifiedaspossibleinstigatorsof maritime
accidents in the Strait: human error, rudder failure,
propulsionfailure, communicationand/or navigation
equipment failure, andother mechanical and/or elec-
trical failure. Clearly, theoccurrenceof aninstigator
dependsonthesituation, whichmayberepresentedby
avectorof situational attributes. Giventheoccurrence
of aninstigator, typical accidentsthatmayoccurinthe
Straithavebeenconsideredandclassifiedas,collision,
grounding, ramming, sinking and fire and/or explo-
sion.Itisalsopossibletohaveaccidentsmayoccurring
inchain, so that aprior (1st tier) accident may cause
later (2ndtier) one. 1sttier accidenttypesincludecol-
lision, grounding, rammingandfireand/or explosion,
whilethe2nd tier accident types includegrounding,
ramming, fireand/orexplosion, andsinking. Potential
consequencesof the1stand2ndtier accidentsinclude
human casualty, property and/or infrastructuredam-
age, environmental damageandloss of traffic effec-
tivenessandthroughput. Thisframework ispresented
in Figure 2. Defining situations (factors and their
states) thataffectthelikelihoodand/or impactlevel of
instigatorsandaccidentsiscritical fortheintendedrisk
analysis. SuchfactorsascalledSituational Attributes,
and aredivided into two groups: attributes influenc-
ingaccidentoccurrence(vessel class,vessel reliability,
pilot request, tugboat request, visibility, current, local
trafficdensity, vessel proximity, zoneandtimeof the
day) andattributes influencingconsequences (vessel
cargo, length, zone). Thesetwo groups of situational
attributes(aredisplayedinFigure3and4.
158
Figure 3. Situational attributes influencing accident
occurrence.
Figure 4. Situational attributes influencing the
consequences.
Figure5. Riskslicesat theStrait of Istanbul.
Giventheabovedescribedframework, thefollow-
ingquestionsneedtobeansweredinorder toquantify
risks:
Howoftendothecritical situationsoccur?
For aparticular situation, howoftendoinstigators
occur?
If aninstigator occurs, howlikelyisanaccident?
If an accident occurs, what would thedamageto
humanlife, property, environment andinfrastruc-
turebe?
In this study, answers areprovided to theseques-
tions(andriskquantificationaccomplished) basedon
historical data, expert judgment elicitationandsimu-
lation model generated output regarding thestateof
thesituational attributes. The21slicedivisionof the
Istanbul Strait, depictedinFigure5(eachslicebeing8
cableslong) assumedinthesimulationmodel, isalso
pursuedfor risk analysispurposes. Therisk at aslice
iscalculatedbasedonthesnapshotof thetrafficinthat
sliceeverytimeavessel entersit.
In order to calculaterisk, theproduct of two sets
of factors is sought for associated with each tran-
sit: the probability of an accident and the potential
consequences of this accident, during that particular
transit. Sincetwogroups of accidents areconsidered
(1stand2ndtieraccidents), theexpectedsliceriskcan
becalculatedaccordingly.
Pr(1st tier accident type) is obtained using con-
ditional probabilities of all possible accidents given
situations (e.g. visibility) andinstigators (e.g. human
error); conditional probabilities of instigators given
situations; andfinallyprobabilitiesof situations.
Pr(2nd tier accident type) isobtainedusingcondi-
tional probabilities of all possible2nd tier accidents
given 1st tier accidents and probabilities of 1st tier
accident occurrences.
E[Consequence type|Accident type] is obtained
usingtheconsequenceimpactlevels,conditional prob-
abilitiesof all possibleconsequencesgivenaccidents
andsituationsandfinallyprobabilityof situation.
Tobeabletocalculatetheexpectedrisk,R,asshown
above, most of theaccident andconsequenceproba-
bilities (conditionedontheoccurrenceof instigators
and/or stateof situational attributes) areobtainedvia
elicitation of expert judgments; other probabilities
(e.g. instigatorand2ndtieraccidentsprobabilities) are
obtainedfromthehistorical data. Thespecific states
of the many situational attributes are obtained from
thesimulationmodel (asthevesselsgeneratedinthe
model movethroughtheStrait,intheenvironmentalso
generatedbythemodel).
Experiencehasshownthat maritimeaccidentscan
bequitedifferentfromoneanother intermsof factors
causing them. As introduced above, various condi-
tional probabilities of accidents are sought after in
this study. Unfortunately, historical data has been
insufficient for a proper statistical analysis of these
probabilities.Therefore,expertopinionhasbeenrelied
upon in their estimation. Expert opinion on acci-
dent probabilities is obtained through an elicitation
process using questionnaires focusing on pairwise,
uni-dimensional (oneat atime) comparisons of fac-
tor (situational attribute) settings (whilekeeping the
remainingfactorsat pre-determinedfixedlevels).
Conditional probabilitiesof accidentconsequences
(intermsof low, mediumorhigheffectsonhumanlife,
159
Table1. Consequenceimpact levels.
Impact level Value
Low Uniform(01,000)
Medium Uniform(4,0006,000)
High Uniform(8,00010,000)
trafficefficiency, property, infrastructureandenviron-
ment) arealsodeterminedthroughasimilarelicitation
process. On the other hand, quantification of these
qualitatively defined impact levels is accomplished
throughparameterization. Onesuchset of parameters
assumed(for differentlevelsof consequenceimpacts)
is presented in Table 1. These values do not repre-
sent theactual consequenceof anaccident inspecific
units (e.g. dollars or number of casualties). Instead,
index values representingtheexperts perceptions of
low, mediumandhighconsequencesareutilized. Asa
result, thecalculatedriskvaluesaremeaningful when
comparedtoeachother inagivencontext.
Finally, these assessments are integrated into the
simulation model such that the risks observed by
eachvessel, at eachslicearecalculatedandcompiled
consideringall thenatural andman-madeconditions
surrounding thesliceand thevessel (such as, vessel
characteristics,pilot/tugboatdeployment,proximityof
other vessels, current andvisibility conditions, loca-
tionintheStrait etc.), asthevesselsmovedalongthe
Strait.
3 OBSERVATIONS
Experimentation with the aggregate simulation/risk
model describedabovehasbeenaccomplishedthrough
a scenario analysis. In this regard, first the parame-
ter valuesreflectingthecurrent situationintheStrait,
basedonyear 20052006data(suchas, vessel arrival
rates, overtakeandpursuit distances, vessel entrance
schedules, local trafficdensityetc.) iscompiledintoa
base scenario. The risk profiles of this base sce-
nario (in terms of average slice risks and average
maximumrisks), obtainedusing25replications(sim-
ulationruns) eachof oneyear length, aredisplayed
in Figure6. Theaverageslicerisk profileexhibits a
steady behavior fromthenorth entranceall theway
downtotheBogazici Bridge, wheretheeffectsof the
high local traffic activity in these highly populated
andbusy regionsof theStrait start becomingsignifi-
cant. Interactionof thetransitandlocal trafficpatterns
generatesalargespikeintheaveragerisk inSlice19
(this is theStrait region corresponding to downtown
Istanbul andincludingthemainharborarea)andsome-
whattapersoff aroundthesouthentrance.Theaverage
maximumriskprofilealsoexhibitsasimilar behavior
but featuring200to 850foldincreases fromaverage
riskslevelsobservedatvariouspointsalongtheStrait.
This remarkableobservation indicates howrisky the
maritime traffic in the Strait of Istanbul can get at
Figure6. Current riskprofilesof theStrait of Istanbul.
specificinstances. Thatis, dependingonrandomreal-
izationsof accidentcausingfactors, ordinaryandsafe
appearanceof theStraitmaritimeactivitycouldswiftly
change into a very risky environment. For example,
ararerealizationobservedinSlice1(corresponding
to risk value 12210) involved an excessive level of
fogduringnighttimeandtwoD-classvesselsthat just
entered theslicebeforetheStrait is closed. Another
rarerealization, observedinSlice19(corresponding
to risk value 10710), involved anA-vessel that was
about to leavetheStrait just after thenight schedule
started, aD-vessel andanE-vessel alongwith10local
vessels. Suchpotentially highly dangerous situations
mayberare, but araredisaster isadisaster toomany.
So, highrisksindicatedbythemaximumrisksshould
betakenseriously.
Next, aseriesof scenarioshasbeenconstructedand
comparedagainstthebasescenario(throughtheaggre-
gatemodel), inorder toinvestigatethecharacteristics
of accident risks intheStrait under different settings
andconditions.InScenarios1and2,arrival rateof haz-
ardous cargo vessels areincreasedanddecreased. In
Scenarios 39, vessels arescheduledwithlesser and
greater pursuit distances. In Scenario 10, pilot cap-
tainserviceis turnedoff. Scenario 11represents the
casewhereovertakingisnotallowedwithintheStrait.
Finally, local traffic density intheStrait isdecreased
by 50%in Scenario 12. An average maximumslice
riskprofileisgiveninFigure7. Thisanalysishaspro-
videdus withtheability to observeandpredict how
changes in various policies and practices impact the
risk profile of the Strait. The results and important
observationsaccomplishedaresummarizedbelow.
3.1 Observation 1
Theaccident risks in theStrait and theaverageves-
sel waitingtimesexhibitatightandsensitivebalance.
160
Figure7. Maximumslicerisk inScenarios 10, 11, and12
comparedtothebasescenario.
For instance, a small increase in arrival rates may
result in rather high waiting times at the entrances
(an increase of 60% for some vessel classes). Fur-
thermore, schedulingchanges madeto reducevessel
waitingtimesincreaserisksintheStrait substantially.
Conversely, onehastobevery careful inrevisingthe
scheduling mechanismfor the purpose of risk mit-
igation, since the waiting times are highly sensitive
to entrancerules. Thebenefits obtainedinrisks may
not justify theresulting waiting times. In thefuture,
scheduling changes may be justified, if significant
reductions occur inthetransit vessel traffic, perhaps
duetoalternativeoil transportmodessuchaspipelines
andotherroutes.Thus,schedulingdecisionstobalance
out delays vs. risks should bemadebased on exten-
siveexperimentationwiththemodel developedinthis
study.
3.2 Observation 2
Themodel indicates that pilots areof utmost impor-
tancefor safepassage, andlack of sufficient pilotage
servicesignificantly increases therisks intheStrait.
Currently, vessels longer than 250m. are mandated
to take a pilot, and it is voluntary for the rest. As a
result of our experimentation, wehaverecommended
mandatorypilotageforvesselslongerthan150m.This
will reduce the average risk by 7%, the average of
maximumrisk by 11%in Slice19andtheobserved
maximumrisk is 11114 observed in Slice3 (almost
7,000-foldof its average). Hadpilotagebeenobliga-
toryfor vesselslonger than100m., thiswouldreduce
theaveragerisksby46%andtheaverageof maximum
risksby33%at Slice19.
3.3 Observation 3
Eventhoughcurrent regulations discourageovertak-
inganywhereintheStrait, results indicatethat over-
takingavessel is less riskier as opposedtorequiring
apursuingfaster vessel toslowdownbehindaslower
vessel, where the average slice risk and the average
of maximumrisk areincreased by 28%and 21%in
Slice19, respectively. Inthelatter case, themaximum
observedriskis23030(almost13,000-foldof itsaver-
age) observed in Slice 1. Therefore, in the regions
where the geography of the Strait tolerates it, over-
takingseems to beasafepractice(as also suggested
byexpert opinion).
3.4 Observation 4
The most significant contributor to risk appears to
be the juxtaposition of the transit vessel traffic and
thelocal traffic. Whenthelocal traffic density inthe
Strait is decreasedby 50%duringdaytime, it results
an83%decreaseintheaverageriskand31%decrease
intheaveragemaximumriskof Slice19.Accordingly,
for potential riskmitigation, theschedulingprocedure
mayberevised to enableamoreeffectivenight-time
traffic at which timethereis almost no local traffic.
However, this issuerequires further research regard-
ing the kind of modifications that can be done to
theschedulingpracticetoaccommodatealarger vol-
umeof night-timetraffic,hopefullywithoutincreasing
overall vessel delaysor other risks.
4 CONCLUSION
The nature of the global economy and international
politicsdictatesthat themaritimetransit trafficinthe
Strait of Istanbul cannot begreatlyreducednor elim-
inated. Nonetheless, the economic/political realities
and environmental awareness and risk management
neednot to bemutually exclusivegoals intheStrait.
Therisksregardingthetransittrafficcanbemitigated
by operational policiesandrulesthat adequately reg-
ulateand guidethetransit traffic, whilemaintaining
thefreedomof passage. Until then, theenvironment,
thepricelesshistorical/cultural heritageandthehealth
andsafetyof thecitysresidentswill beat jeopardy.
In this paper, a comprehensive analysis of safety
risks of the maritime transit traffic in the Strait of
Istanbul is discussed. This analysis is carried out
throughthedevelopmentanddeploymentof adetailed
hybrid mathematical/simulation model. This model,
whichis basedonextensiveobjectiveandsubjective
datafromalargenumber of sources, providesareal-
istic and valid representation of themaritimetraffic
operations and their impacts at theStrait of Istanbul
withmanyinterestingresults.
Our primary conclusions are in the direction of
maintaining the current scheduling/sequencing pro-
cedures to let transit vessels enter the Strait, while
enforcingpilotageserviceonalargerscaleandseeking
moreefficient andheavier deployment of night-time
conditions, where the local traffic activity is almost
negligible.
REFERENCES
Ozturk, B. 1995. Turkish Straits. New Problems, New Solu-
tions,Chapter:TheStraitof Istanbul,AClosingBiological
Corridor. ISIS, 145154.
161
Tan, B. & Otay, E. N. 1999. Dynamic Determinationof the
Safest NavigationRoutefor Transit Vessels intheStrait
of
Istanbul. Naval Research Logistics, 46, 871892.

Ulusu S. O., zba s, B., Altok T., Or I. 2008. Risk
Analysis of the Transit Vessel Traffic in the Strait of
Istanbul. LPS-08-1 Technical Report. (Online) Available:
http://dimacs.rutgers.edu/port_security_lab/Reports.html
Ulusu, S. O., zba s, B., Altok, T., Or, I., Ylmaz, T. 2009.
TransitVessel SchedulingintheStraitof Istanbul, Journal
of Navigation. 62, 119.
VTS Users Guide. 2004. TurkishStraitsVessel Traffic Ser-
vice. General Management of Coastal Safety and Salvage
Administrations, 3rdedition, May, Istanbul.
162
4.4
TheMarineElectronicHighwayproject inStraitsof Malaccaand
Singapore: Observationonthepresent development
M. Hafizi Said&A.HSaharuddin
Universiti Malaysia Terengganu, Malaysia
ABSTRACT: Implementation of theMarineElectronic Highway (MEH) project in Straits of Malaccaand
Singaporewill complementtheeffortstakenbyMalaysia, IndonesiaandSingaporeaslittoral statesinenhancing
safety of navigation and the prevention and control of marine pollution in the Straits. The Project Steering
Committeemeetingsof theMEHindicatethat, theprogressintheimplementationof itsactivitiesisinthemidst
of manychallengingconditions. Theeffortsisatestament that thelittoral statesareworkingtogether toensure
theimplementationof thisproject isrunningsmoothly sincethedonor agencies, user Statesandthemaritime
industryhavegreatexpectationsonitssuccess.TheMEHprojectconsistsof four importantcomponentssuchas
HydrographicSurveyandElectronicNavigational Charts(ENCs) production, EnvironmentMarineInformation
Overlays, BaselineSurveyandInformationTechnologyStructure. Thispaper will addressthecurrent statusof
theimplementationof thefour keycomponentshighlightingthedevelopment of ENCsasavital tool tosustain
thesafety of navigation along thestraits. Thediscussion in this paper is based on somepreliminary survey
findingsandfromreportsof theProject SteeringCommitteemeetings.
1 INTRODUCTION
TheMarineElectronic Highway (MEH) inStraits of
MalaccaandSingaporeisaninnovativemarineinfor-
mationandinfrastructuresystemthat integratesenvi-
ronmental management and protection systems and
maritimesafety technologies for enhanced maritime
services, higher navigational safety standards, inte-
gratedmarineenvironmentprotectionandsustainable
development of coastal and marine resources. The
key of the MEH is precision navigation and will
utilize a network of Electronic Navigational Charts
(ENCs) inconjunctionwithElectronicChart Display
andInformationSystem(ECDIS), Differential Global
PositioningSystem(DGPS), Internet Broadbandand
other maritimetechnologies(K.Sekimizu, 2003).
2 PROJ ECT BACKGROUNDANDSTATUS
2.1 Background and objectives
Straits of Malacca and Singapore are a historically
important sea route for international and local mar-
itimetradeaswell asbeingoneof theworldsbusiest
sea lanes, a unique and rich tropical estuarine envi-
ronment, a major shipping route for petroleum oil
tankers, and oneof thehighly vulnerablewaterways
usedforinternational navigationwithahighincidence
of marinecasualtiesandoil spills. Geographically, the
Straits extend more than 900kmbetween Peninsula
of Malaysia, IndonesiaandSingapore. Thenarrowest
pointisthePhilipsChannel whichis1.3nautical miles
wideand23metersdepth.TheStraitshavemanymore
chokepointsparticularlyatOneFathomBankandBatu
Berhenti. These chokepoints are critically important
to the oil and natural gas trade. Consequently, the
largeshipsof 200,000tonandaboveorVLCChaveto
rushfor thechannel duringhightideperiod(Hiroshi
Sekine, 2006).
Since1980s, several initiativesfor theStraitswere
undertaken,whichcoveredvariousaspectsof maritime
activities,safetyof navigationandmarineenvironment
protection. Thefruitionof thoseinitiatives is mainly
through the Co-operative Mechanism on Safety of
NavigationandEnvironmentProtection. Project.Then
in late 1990s, the concept of MEH has been intro-
duced. This new concept having concerned that the
highrisk of shipaccidentsalongthecongestedwater
intheStraits.
Safetyandsecurityof navigationandenvironmen-
tal protection are the main concern. Therefore the
MEHprojectaimstoprovideapractical demonstration
in theStraits of thepotential for digital information
networks that canprovideenvironmental andrelated
informationinreal timetobothmarinerstransitingthe
Straitsaswell asother agenciesandinterestedparties.
The Project includes obtaining high-quality hydro-
graphic surveys of some of the most limiting depth
areas intheStraits, thedevelopment of ECDIS com-
patiblewithMarineInformationOverlays(MIOs), the
establishment of aunifieddatacentretoprovidereal
timeinformationandupdates, andtheestablishment
of a number of environmental monitoring stations
includingtidegaugesandcurrent meters.
163
TheMEHwasdesignedintwomainstagesnamely
demonstration and full scale. Demonstration project
will cover parts of the Straits, mainly the area of
theTraffic Separation Scheme. The second stage or
full-scaleproject, which will followafter this initia-
tive, will cover thewholeStraitsincludingthecoastal
watersof theLittoral States. Thedemonstrationstage
aims to show how environmental datarelated to the
Straits, suchas thenatureandextent of environmen-
tally sensitive areas can be accessed by the relevant
authorities using a common database; how new or
revisedroutinginstructionsor prohibitedareascanbe
broadcast to ships taking part in the demonstration;
and how Mariners can receive other environmen-
tal information such as real-time tidal observations,
tidal streams, sea conditions and wind, in ECDIS
viaMIOs.
2.2 MEH time line
Table1. TheMEHProgress(Hartmut Hesse, 2008).
Important event Date
EstablishedProject Management office May, 2007
at Batam, Indonesia
1st Project SteeringCommitteeMeeting 2931
Batam, Indonesia May2007
Hydrographicsurveybidding October 2007
Bidevaluationreport J anuary2008
1stTechnical CommitteeonSurveyand 1415
ENCsmeetingat Penang, Malaysia. April 2008
2ndProject SteeringCommitteeMeeting 35J une2008
KualaLumpur, Malaysia
Full demonstrationphases ExpectedMid
of 2009
3 MEHKEY COMPONENTS
During the 2nd Project Steering Committee Meet-
ing at Kuala Lumpur, the member considered four
key components, namely the hydrographic survey,
ENCs production, theEnvironment MarineInforma-
tionOverlays (E-MIO) andtheInformationtechnol-
ogy structureanddatacentre. Thecurrent statusesof
thesecomponentsarepresentedintheTable2.
Outcomeof the1st Technical CommitteeMeeting
heldinPenang, Malaysiafrom1415April 2008, the
members had agreed that to reducethescopeof the
survey to the prioritized areas as shown in Table 3.
Having consideredArea 1 of theTraffic Separation
Scheme(TSS) as themost important of the8 prior-
itized areas, theMeeting agreed that Area1 met the
holistic objective of the MEH project and therefore
should be surveyed. This area is fromOne Fathom
Bank toTanjung Piai with an areaof 621.28km
2
or
14.38%of theprioritizedareasasitsfirst priorityfor
survey.
Table2. Thecurrent statusof theMEHmaincomponents.
MEHmain
component Current status Remarks
Hydrographic
surveyand
Electronic
Navigational
Charts(ENCs)
production.
Hydrographic
surveyactivity
hasbeeninthe
pipelinefor over
ayear, including
thetendering
aspect, which
hasrejecteddue
toinsufficiency
funds.
Reductionof scopeof
service(SOS) areas
basedontheeight (8)
prioritizedareas(refer
toTable3), beginning
withArea1. The
additional areaswill
beconsideredoptions
andmaybesurveyed
subject toavailability
of funds. Ongoing
negotiationswith
contractor.
Environment
Marine
Information
Overlays.
(E-MIO)
TheTermsof
References(TOR)
for theE-MIO
consultancyhad
agreedduring
2ndPSC Meeting,
J une2008in
KualaLumpur
ThedynamicE-MIO
datawithintheStraits
agreedasbellow:
1 Dynamictidedata.
2 Real timenotifica-
tionof newrestricted
areasandroutes.
3 Real time envi-
ronmental monitoring
(suchas wind, current
andtemperature.
Information
Technology
structure
anddatabase
centre.
Thefundamental
principleof MEH
DataSystemhad
beenpresentedby
IT consultant
duringTC-SIF
meetingin
September 2007
inSingapore.
TheMEHDatasystem
wasbasedonData
format (openformat
usingxml formatfile),
Securityof data(SSL
protocol), Reliability
(redundancyof all
servers), Scalability
andSustainability.
Table3. TheEstimateCost for 8PrioritizedAreas(Report
of 2ndProjectSteeringCommitteeMeeting KualaLumpur,
Malaysia, 2008).
No#of Estimated
Survey ship cost(bid)/ Estimated
area wrecks KM
2
USD days(ops)
Area1 5 621.28 2,754,719 44.32
Area2 2 140.15 584,548 14.67
Area3 3 127.83 712,155 19.93
Area4 0 10.65 163,966 2.65
Area5 5 85.59 241,569 5.79
Area6 2 33.61 173,315 3.02
Area7 0 47.23 824,155 25.09
Area8 2 279.91 824,155 25.09
Total 19 1,346.2 6,278,582 140.56
4 ENCANDE-NAVIGATION
4.1 ENC production
Electronic Chart Display and Information Systems
(ECDIS) embraced theentirenavigation systemand
164
havemadeitpossibletoconcurrentlyaddressmaritime
safetyandenvironmental protectionmanagementboth
at seaandashore. However, inorder to producepre-
ciseof charts, dataandinformationneedstobemade
available. Themandatory carriageof ECDIS seemto
beenforced, withreportsfromIMOsNAV54subcom-
mitteemeetingconfirmedthatmembershavereached
a consensus in favour of making the technology a
requiredfitforoceangoingvesselsespeciallyinhighly
trafficandcongestedwaterlikeStraitsof Malaccaand
Singapore (Digital Ship, 2008). In view of that, the
development of ENC and the require infrastructure
havetobeexpedited.
According to the report from Singapore repre-
sentatives during 2nd Project Steering Committee
Meeting in Kuala Lumpur (2008), the latest edition
of Singapore ENC consists of 14 cells and is pro-
duced in accordancewith theIHO S-57 Edition 3.1
specifications. TheSingaporeENC coversSingapore
Watersanditsapproaches. It containschart informa-
tionnecessaryfor safenavigationandsupplementary
information in addition to thosein thepaper charts.
Monthly incremental of SingaporeENC updates are
availableovertheInternetaswell asthroughappointed
ENC distributors.
4.2 e-Navigation strategy
Precision navigation shall be the backbone of the
MEH upon which all the technological platforms
would be integrated commencing with the ENCs-
ECDIS. Precisionnavigationconsistsof onshore, sea
based and ship-based facilities fromwhich informa-
tion and data flow into the network. Such facilities
includetransponderssuchasanAutomaticIdentifica-
tionSystem(AIS) andonboardaccesstotheInternet
or broadband (K.Sekimizu, 2004). With AIS, real
timeinformationcanbeautomatically providedtoor
receivedfromappropriately equippedshorefacilities
or other ships. With enhanced AIS, hydrographical
andoceanographicdataincludingweather conditions
can be transmitted or received, thereby facilitating
shipmovement, particularlyinrestrictedor congested
waterways as well as during inclement conditions
(Digital Ship, 2008). Currently,AISismainlyforbasic
shipinformationexchange.
In addition to acquiring, managing and achieving
dataindigital form, it is nowapparent that common
protocols necessary for optimum data transfer and
sharing. Hence, theLittoral StatessVTSandtheMEH
DataCenter inBatam(Indonesia) needtouseidenti-
cal databasesoftwareasadatabaseenginetoachieve
the desires functionality. Currently, Singapore and
MalaysiaVTSuseORACLE10g. However, Indonesia
hasnotyetbuiltitsVTSandcouldeasilyusethesame
platform.
However, future developments may include other
relevant information such as weather data. AIS or
similar facility, information flowcould bereal time,
forecast, archiveddata, andmonitoring/timelagdata.
Thepresenceof anetwork of meteorological centers
suchastheSouthEastAsianCentrefor Atmospheric
and Marine Prediction (SEACAMP) could provide
higherresolutionlocal weatherconditionsorforecasts
that could be transmitted through theAIS allowing
marinerstoevaluatetheweatherconditionsalongtheir
route. All of thesestrategiesandtechnologieswill be
designedinorder toachievetheaimof MEHasstated
below:
Facilitate vessel traffic monitoring and
management,
Facilitatecommunicationanddataexchange,
Improveefficiencyof transport andlogistics,
Effective operation of contingency, response and
SAR,
Providehuman-machineinterface, and
Manage user workload and support decision
making.
5 DISCUSSIONANDCONCLUSION
5.1 Towards a successful end product
Based on thecurrent status of theMEH project it is
obviouslyindicatedthattheprogressintheimplemen-
tation of its activities is in the midst of many chal-
lenging conditions. According to Sally Burningham
(2008) fromWorldBank inJ akarta, theMEH project
has been under implementation with fund available
sinceJ une2006but very littleof thefunds hadbeen
disbursed. Despiteof this, theproject actually needs
morefundandstrategiesinordertoaccomplish.Thus,
someof necessarystepstoensuresuccessandexpedite
theMEHproject shall include:
Ensuringfinancial sustainability.
Financial sustainability will only be achieved
throughanoverall commitmentof thegovernments
of the respected countries, the oil and gas major
transporters, fishingandshippinginterests. There-
fore, theUS $8.68millionwhichprovidedby the
Global Environmental Facility (GEF) is not suf-
ficient enough due to certain escalations in cost
in some elements of the Project (Ahmad, 2008).
In addition, without extra fund from other par-
ties or sponsors the MEH Projects encountering
difficulties in adhering to the original scope and
plan.
Based on the suggestion made by Sasakawa
(2007), he issues an invitation to the Straits user
to agreeto avoluntary payment of US 1cent per
tonfor everyvessel that transit throughtheStraits.
Since annually more than 4 billion tons of cargo
that passes through the Straits, these would raise
40milliondollar ayear. This amount wouldmore
thanenoughto eliminatetheexcessiveburdenby
theLittoral states(B.A Hamzah, 2008).
Cooperativemechanismbetweenlittoral statesand
other straitsuser.
In November 2004, the IMO Council at its 93rd
meetingconsideredthat theStraitsof Malaccaand
Singaporeasspecificandvital shippinglane. Fol-
lowing that decision, in September 2006, three
165
littoral states(Malaysia, IndonesiaandSingapore)
together withJ apanandother industryrepresenta-
tives such as INTERTANKO and ICS had devel-
opedtheCooperativeMechanismfor maintaining
safety of navigationandenvironmental protection
of theStraits.
Subsequently, theindustryandother Straitsuser
are encouraged to participate in the Cooperative
Mechanismsbymakingvoluntarycontributionsto
theAids of Navigation Fund or either participat-
ingintheCooperationForum(R.Beckman, 2008).
Asmajor beneficiariesof safeandsecurepassage
throughtheStraits, fairnessandjusticedictatethat
industry and other users should participatein the
CooperativeMechanisms.
Involving public, private sector and academics
stakeholders.
ReferenceinArticle43of UNCLOStouser States
does not preclude participation by industry or
other privatesectors. ThisArticleavoids thelegal
problems that would arise if the Littoral States
established mandatory tolls or charges. However,
theprivatesector does not need to justify burden
sharingandtoundertakeCorporateSocial Respon-
sibility (CSR) just because the Article 43 omits
mentionof theprivatesector.Thisisbecausecoop-
eration in promoting common good is requiring
under international law. Thus, theCSR roleof the
private sector especially for oil major companies
andshippinginterest shouldgo beyondmonetary
contribution. Theconcept of CSR dictatesthat the
privatesectorshouldrecognisedthesharedrespon-
sibility to ensuresafeandsecurepassagethrough
vital international shippinglanes.
Besidethat, scholars, academia, researchersand
scientist from universities and institutions are
encouragedtoshareidea, researchfindingandcon-
sultationonissuesof commoninterestintheStraits.
Inrecognizingtheroletheycouldplay, theLittoral
States and the MEH Project Steering Committee
(PSC) should facilitatetheconcreteand practical
cooperationmethods. Inthisrespect, thecoopera-
tionforumwill beuseful platformfor theLittoral
states and PSC to gather feedback. In addition,
somefund should beallocated for research grant
in order to make fruition of information through
researchfinding.
5.2 Conclusion
The establishment of MEH Project is significantly
importanttothemaritimeindustry.Theeffortsthrough
Cooperative Mechanism and actively participated
in PSC meeting are the testament that the littoral
states and other stakeholder areworking together to
ensuretheimplementation of this project is running
smoothly since the donor agencies, user States and
themaritimeindustry havegreat expectations on its
accomplishment.
REFERENCES
Ahmad. (2008). Government of Malaysia Report for 2nd
Project Steering Committee Meeting at Kuala Lumpur,
J une2008.
B.A Hamzah. (2008). Straits of Malacca: Burden Sharing,
Transit Passage & Sovereignty od Coastal States. Col-
lectedpapers:VerifyingTheCo-OperativeMechanismOn
TheStrait Of MalaccaAnd Singapore- FromViewpoint
Of User IndustriesAndTheir CorporateSocial Respon-
sibility, J apan International Transport Institute, 2008,
pp. 7783.
Digital Ship. (2008), IMO agrees on Mandatory ECDIS,
August Editionp. 12
Hartmut Hesse, (2008), opening speech for 2nd Project
SteeringCommitteeMeetingatKualaLumpur,J une2008.
Hiroshi Sekine, (2006), Sailing in Malacca Straits as Lifeline
for Oil Transportation: Present Situation and Problems,
AnalysisVol.40, No.6p. 51
K. Sekimizu. (2003). Available at http://www.imo.org/
includes/blastDataOnly.asp/data_id%3D3668/marineelec-
tronichighwayarticle.pdf. Accesseddate12Nov2008
K. Sekimizu. (2004).The Marine Electronic Highway (MEH)
Project As a New Management System for Sea Areas.
Marine Electronic Highway (MEH) Project as a New
Management Systemfor SeaAreas. 20P((JA)1(1), 1(2),
18,(EN)1(2), 917)(2004)
R.Beckman. (2008). The Cooperative Mechanism Between
The Littoral States And User States On Safety Of Nav-
igation And Environmental Protection In The Straits Of
Malacca And Singapore; proceeding paper, J ITI Forum
onCooperationMechanism, Tokyo.
Report of 2ndProject SteeringCommitteeMeeting Kuala
Lumpur, Malaysia, (2008) (MEHPSC2/12). IMO
SallyBurningham(2008).WorldBankReportfor2ndProject
SteeringCommitteeMeetingatKualaLumpur, J une2008
Sasakawa(2007). Opening speech for SymposiumOnThe
Enhancement Of Safety Of Navigation And The Envi-
ronmental Protection Of The Straits Of Malacca And
Singapore, KualaLumpur
166
4.5
Availabilityof trafficcontrol systembasedonservicingmodel
J. Mikulski
Silesian University of Technology, Katowice, Poland
ABSTRACT: Trafficcontrol isacomponent of transport system, onwhichsafetyandefficiencyof meansof
transport movementssubstantiallydepend. It isnot possibletoachieveandmaintainappropriateavailabilityof
trafficcontrol systemunlessissuesof appropriatemaintenanceservicingof trafficcontrol equipmenthavebeen
resolved.Thiswill requireapplyingaspecificservicingpolicy,workedoutonthebasisof suchsystemavailability
model. Theservicingof atechnical object isunderstoodasanytreatment, whichresultsinrestoringtheobjects
stateof availability. Servicingmayconsistinarepairof equipmentorinitsinspection. Classificationof servicing
optimisationmodels,inrespectof usingappropriatemathematical methods,suchasMarkovmodels,ispresented.
Themaingoal of transport consists of movements of
variousmeansof transport, carryingpeopleandcargo.
This process shall becarried out maintaining ahigh
level of safety. To this end movements of means of
transport are based on ordered principles of traffic
organisation, which fromthe point of view of tech-
nical functionalityarefulfilledbysystemsof vehicles
movements control, so-calledtrafficcontrol systems.
These systems enable execution, through equipment
localisedinvariousplacesof thetransportnetwork, of
appropriatecontrol algorithms.
All components and systems of transport traffic
control arerequiredto showoperationcertainty. The
operation certainty is understood as a probability
of defect non-occurrence. A defect consist in at
two-state classification a transition of a piece of
equipment (in defined operating conditions and at
defined time) fromthe state of availability (fitness)
tonon-availability.
Transport traffic control systems work in diversi-
fied, frequently most critical, operating conditions.
Theexperiencefromsuch equipment operation con-
firmsthedependenceof proper systems functioning
onreliabilityof their components.
Intransport traffic control equipment defects may
causeonly traffic disturbances (e.g. delays), but also
occurrenceof dangeroussituations.
Traffic control systemis aset of pieces of equip-
ment, which changetheir states between thestateof
availability(i.e. thestateof fitnesstoexecuteataskor
functioninthesystem) andstatesof non-availabilityat
discretemomentsintime, i.e. theyaredynamicstates.
Theset of suchsystems statesisadiscreteset. Tran-
sitions betweenthefollowingstates arestochastic in
natureandoccuratrandom, inaccordancewithcertain
probabilitydistribution.
Theoperationof traffic control systems to alarge
extent shall focusonachievingappropriateavailabil-
ityof trafficcontrol equipment andonmaintainingit
Figure1. Linksbetweenfeaturesof safesystems.
through a required period. This results in a need to
resolveproblems of appropriatemaintenanceservice
of trafficcontrol equipment (repairsandinspections).
Most important features of safe systems include:
safety, availability, reliability, repairability.
Mutual linksbetweenmainfeaturesof safesystems
arepresentedinFigure1.
Theservicing of atechnical object (equipment)
Figure2isunderstoodasanytreatment,whichresults
in restoring the objects state of availability (opera-
tional). Servicingmayconsistinarepairof equipment
or in its inspection, replacement of theentireequip-
ment with anew oneor in replacement of damaged
componentswithnewones. Parameterscharacterising
theequipment at servicingmust ensurethat it isoper-
ational, although they may differ fromanew object
(inparticular thisreferstodefectsintensity).
Aninspection, maintenanceandconditioncontrol
arecomprised(apart fromarepair) byso-calledtech-
nical serviceof equipment,whichisoppositetoitsuse.
To prevent adverse effects of unpredicted defects
(failures), equipment which is still in the state of
availability(operational) issubject toservicing. Such
167
Figure2. Servicingof atechnical object.
System switching on
(starting)
Availability state
(initial)
Basic state
State
of control
State
of repair
State
of inspection
System switching off
State of effective
control
State
of using
Figure3. Statesof thetransport trafficcontrol system.
servicingisnamedpreventiveanddistinguishedfrom
emergencyservicing.
Properties of any system(in the case considered,
of a transport traffic control system) indicate that
suchsystem, fromthepoint of viewof its servicing,
may bepresented(oncertainlevel of generality) asa
set of states of using, repair and inspection (Fig. 3).
When analysing this diagram, the state of availabil-
ity (initial) andthestateof effectivecontrol (system
transitionbetweenthebasicstateandthecontrol state
under influenceof introduction of control command
andafter executionof thecontrol task) maybedistin-
guishedwithinthestateof using. But inservicingit
ismostimportanttodistinguishthestateof repair and
inspection.
Classification of servicing optimisation models,
bothinrespectof individual devicesandsystems, also
becauseof usingappropriatemathematical methods,
suchasinter alialinear andnon-linear programming,
dynamicprogramming, butfirstof all Markovmodels.
Game theory and stochastic processes theory,
mainly of Markov processes, are used to model the
processof technical objectsoperation(Ko zniewska&
Wodarczyk 1978). Mass servicing theory (referred
toalsoasqueuingtheory) isstrongly relatedtotech-
nology and its development resulted frompractical
demands.
In general form each queuing system may be
presentedusingablockdiagram(Fig. 4).
Requests stream
Intensity of
requests stream
Queue Process of servicing
Employee m
- - - - - - - - -
Employee 2
Employee 1

Intensity of
servicing
stream
Output stream
Figure4. Blockdiagramof aqueuingsystem.
A queuing systemmay be described using three
basiccharacteristics:
Streamof requests thisisastatistical description
of processof requestsarrivingat thesystem,
Process of servicing defines the process of
requestsservicingperformance,
Queueregulation(discipline) definesthemethod
of selectingthenext request tobeserviced, if there
isaqueueinthesystem.
Thecasewhenthesevariablesaresubject toexpo-
nential distributionisof great practical importance.
Thestreamof requestsisastatistical descriptionof
theprocessof requestsarrival attheservicingsystem.
It isusuallydescribedusingdistributionfunctionsfor
intervalsbetweenconsecutiverequests. If thisstream
doesnot showvariability, theseintervalsareconstant
and the streamitself is of deterministic nature. But
if requestsarearrivingat thesystemat random, then
theseintervalsarearandomvariableandthenthefunc-
tionof theirdistributionshouldbedefined(Filipowicz
1997).
Thefollowingdenotationsareused:
t
1
averagelengthof interval betweentwoadjacent
requests,
averageintensity of requests stream(requests
intensity).
Therelationbetweenthesevalueshasthefollowing
form
Variablet
1
standsfor animportant valueintherelia-
bilitytechnique it isso-calledaveragetimebetween
failures. It isameasureof equipment reliability.
In practice it happens very often that the time of
servicing is not constant and is subject to stochastic
fluctuations. Insuchacaseit must bedescribedusing
appropriatedistributionfunction. Thetimeof servic-
ing is an important value characterising the system
of servicing. Whenconsideringthetimeof servicing
asarandomvariable, itsdistributionfunctionmaybe
determined.
Thefollowingdenotationsareused:
t
2
averagetimeof request servicing,
averageintensityof request servicing.
168
Figure5. Visual diagramof transport trafficcontrol equip-
ment servicing.
Therelationbetweenthesevalueshasthefollowing
form
In the reliability technique the average time of
request servicingmay mean, apart fromrepairs, also
servicingof inspections,andtheninspectionsintensity
isaninverseof averagetimebetweeninspections.
A repair serviceof transport traffic control equip-
ment (group of m service employees carrying out
repairsof Npiecesof equipment) isatypical queuing
system.Eachpieceof equipmentisasourceof requests
of intensity , whileintensity of each employeeser-
vicingis equal . Overall requests intensity depends
strictlyonthenumber of damagedequipment, i.e. itis
afunctionof systemstates. Suchsystems arenamed
closequeuingsystems.
A visual diagramof traffic control equipment ser-
vicing, as a mass servicing position, is presented in
Figure5.
The simplest case of closed queuing systemwill
beconsidered. A two-stateconfiguration of element
consideredhasbeenassumed:
in state 0 the element fulfils its function (it is
operational) stateof using,
instate1theelement is damaged(it is not opera-
tional) stateof servicing.
Thesystemconsistsof onepieceof equipment and
oneserviceemployee. For thesakeof considerations
clarity, thedenotationshavebeengivenoncemore:
probability that the equipment is operational at a
givenmoment amountstop
0
,
probabilitythattheequipmentisdamagedatagiven
moment amountstop
1
,
intensity of equipment damageamounts to (the
ratioof thenumber of defectsinagiveninterval to
thefull timeof equipment operation),
intensityof servicing(performingrepairs) amounts
to (ratioof therepairsnumber tothefull timeof
repairsduration).
Thegraphof states andtransitions is presentedin
Figure6.
Figure6. Graph of transitions between thestateof being
operational anddamage.
1pieceof equipment,
1serviceemployee
where:
0 meansthatthesystemisworkingproperly, i.e. theequip-
ment doesnot requirea repair (it isoperational),
1 meansthattheequipmenthasbeendamagedandrequires
arepair.
Figure7. Availabilityof thesystem.
Whenresolvingthissystemwewill obtain
Probability p
0
(t) defines so-calledavailability of the
systemA(t). Availability A(t) isaprobability that the
systemisoperational (usable) inthefuture, assuming
it is operational at theinitial moment. For theexem-
plifysystemthecourseof availabilityispresented
1
in
Figure7.
Thelimit valueof availabilityisinteresting
whichalsodefinessystemfitnessinasteadystate.
Inexampleaboveonly equipment repair was con-
sidered in servicing, while no preventive servicing
(periodicinspections) wastakenintoaccount. Preven-
tiveservicingisaplannedundertaking, carriedouton
anoperational object toincreaseitsreliability.
Inspectionserviceallowsearlier findingof defects
(malfunctions), whatenablespreventingdamagesand
increasingso-calledavailabilityof thesystem.
1
for examplefor transport traffic control equipment, more
specifically, for asignal
169
Figure 8. Graph of transitions between states of fitness
(operational), damageandinspection.
1pieceof equipment,
1serviceemployee.
Introducing a possibility to carry out (fromtime
to time) surveys and inspections of a given piece
of equipment thegraph of transitions (similar to the
graphinFigure6) will look as inFigure8. State00
is thestateof using (availability), and theother two
states servicing: state10 acomponent isdamaged
and under repair, state01 thecomponent is under
inspection.
Intensityof equipmentdamageamountsto, while
intensity of repair request servicing amounts to .
Inspections intensity has been denoted by
1
, while
intensity of inspection request servicing, for each
serviceemployee, amountsto
1
.
Resolvingthissystemweobtain
where:
Probabilityp
0,0
(t)definesalsoso-calledavailability
of thesystemA(t).Fortheexemplifysystemthecourse
of availabilityispresentedinFigure9.
Boundaryavailability, specifyingsystemavailabil-
ityinasteadystate
Figure9. Availabilityof thesystem.
Figure 10. Graph of transitions between states of fitness
(operational), damageandinspection, takingintoaccountthe
inspectiontime.
1pieceof equipment,
1serviceemployee.
The case of systemdiscussed in example above,
whichtaskapartfromrepairof damagedequipment
consisted also of carrying out periodic inspections
of the equipment, did not take into account the fact
that at themoment of switchingtheequipment off for
inspectionthisequipment wasnot working. After all,
anassumptionis made(Zamojski 1980) that objects
reliabilitycharacteristicsarefunctionsof workingtime
that is theobject may bedamagedonly duringwork.
Hencethetimeof defect occurrencegetselongated
andthereby incalculations theshareof inspectionin
total intensityof defectsandinspectionsshall becon-
sidered. Percentageof thisshareisdeterminedbythe
selectioncoefficient
In other words, in the case analysed, the selection
coefficient specifies
Thismodificationresultsinachangeinthetransi-
tionsgraphmodel fromFigure8. Modifiedtransitions
graphispresentedinFigure10.
170
Modifiedequation for probability that thesystem
isoperational insuchacaseis
or after substitutionof coefficient x
andafter expansionof relativeintensities and
1
Theanalysis of thecourseof probability function
of systemavailability(fitness) isinteresting. Wasthis
function monotonously increasing, this would mean
full advisabilityof preventiveactions(bytheway, for
monotonouslydecreasingfunctionpreventiveactions
wouldturnoutharmful). Intheeventthatthisfunc-
tionhas anextremum, theintroductionof preventive
actions affects objects reliability in different ways,
dependingonpreventiveactions frequency (number)
andontheir duration.
Seeking for optimuminspections intensity that is
such inspections frequency for which probability of
correct operation would reach a maximumvalue, a
derivativeof thisexpressionshall bedetermined,hence
Thisderivativeisequal zero, if
hence
Checking, what is theconditionfor probability of
systemavailability (fitness) with inspections service
to be higher than in the case of only repair service,
consistsincomparingappropriateexpressions
Theconditiontosatisfythisinequalityisthat
that is that relative repairs intensity is higher than
relativeinspectionsintensity
Calculations of system fitness in the event of
inspections optimisation consist, having considered
the selection coefficient in calculations with new
defectsintensitycoefficients
andinspectionsinten-
sity
1
.
Sotheequipmentdefectsintensityamountsthento
andtheinspectionsintensityamountsthento
Ontheother hand, theintensity of repair request ser-
vicing amounts, as so far, to , and theintensity of
inspectionrequestservicingforeachserviceemployee
amounts, assofar, to
1
.
Resolvingthissystemweobtain
where
171
Figure11. Thecourseof availability intheevent of appli-
cationof theprincipleof inspectionsoptimisation.
Figure12. Thecourseof availabilityintheeventof carrying
out inspectionswithoptimumintensity.
Probability p
0,0
(t) defines alsoso-calledavailabil-
ity of the systemA(t). The course of availability in
the event of application of the principle of inspec-
tionsoptimisationispresentedinFigure11, whilein
the event of carrying out inspections with optimum
intensity Figure12.
REFERENCES
Ko zniewska I. & Wodarczyk M. 1978. Modele odnowy,
niezawodno sci i masowej obsugi (Modelsof replacement,
reliability and mass servicing), Warszawa: Pa nstwowe
WydawnictwaNaukowe.
FilipowiczB. 1997. Modelowaniei analizasieci kolejkowych
(Queuing networks modelling and analysis), Krakw:
WydawnictwoAkademii GrniczoHutniczej.
Zamojski W.1980.Modeleniezawodno sciowofunkcjonalne
systemw cyfrowych ze szczeglnym uwzgl ednieniem
systemw jednoprocesorowych (Reliability-functional
models of digital systems with particular focus on
one-processor systems), Monografie No 10, Wrocaw:
WydawnictwoPolitechniki Wrocawskiej.
172
4.6
Evaluationof maintrafficcongestiondegreefor restricted
waterswithAISreports
Q. Hu, J.Yong& C. Shi
Shanghai Maritime University, Shanghai, China
G. Chen
Shanghai Maritime Administration, Shanghai, China
ABSTRACT: Traditionally, marinetrafficcongestiondegreeinrestrictedwatersisusuallydeducedfromtraffic
volumeor trafficdensity. Bothof which, however, cannotbeeasilyandaccuratelydeterminedandcannotfully
reflectthetrafficcongestiondegree. Thispaper usestheconceptof maintrafficflowvelocity, whichvarieswith
themaintrafficcongestionfromastatisticsview, todeterminethemaintrafficcongestiondegreeinrestricted
waters. Maintrafficflowvelocity canbecalculatedby averagingthespeedsof all shipsequippedwithanAIS
transponder if thepercentageof theseships over all vessels in themain traffic is great enough and they are
well-distributed, andafuzzyrelationshipisestablishedtodeterminethetrafficcongestiondegreeunder varying
maintrafficflowvelocity.Theconceptof maintrafficflowvelocityprovidesamoreintuitiveandaccuratewayto
evaluatethemaintrafficcongestiondegreeof restrictedwatersthantrafficdensityandtrafficvolumeincertain
situations, andcanbeeasilyimplement.
1 INTRODUCTION
In recent years, shipping is developing rapidly over
the world to meet the growing economic demands.
Ships aregettinggreater, speedier, andmoreprofes-
sional, andthenumberof shipsimprovesdramatically.
Thesefactorsmakeportsandchannelsmoreandmore
crowdedandcomplicated, andtheresultedtrafficcon-
gestionor jammay enhancetherisk of collisionand
decrease the traffic efficiency in a great extent. So
thetrafficcongestiondegreeisbecomingamoreand
moreimportant parameter for traffic monitoringand
management.
Theconceptof marinetrafficcongestiondegreeand
itscalculation, however, havenotbeenwell developed
like in the road transportation domain. One impor-
tantreasonisthedifficultyof collectingmarinetraffic
information. Fortunately, moreandmorevesselshave
been equipped with AIS (Automatic Identification
System), which can frequently broadcast own-ships
position, name, speed, course, size, etc. and so can
facilitate marine traffic information collecting very
much(ZhaolinW. & J unZ. 2004).
With position reports of all ships in restricted
waters, wecantrytoevaluatetrafficcongestiondegree
fromthe aspect of all ships. However, in restricted
waters,theremaybeonlypartial vesselsequippedwith
AIS whileothers may not for its not compulsory for
themaccording to theregulations. So in thecontext
of thispaper, weclassify theshipsintotwocategory,
oneisthelocal small boat withor withoutAISequip-
ment, and the other is the general business ship of
certain tonnage(for example, 500GT) or above, and
shipsbelongtothiscategoryareusuallyequippedwith
AISequipment.Toshipsof differentcategory,thesame
trafficsituationmaymeandifferenttrafficcongestion
degreefor they havedifferent handlingcapacity and
needdifferent sizeof roomfor sailing. Inthis paper,
wefocusontheevaluationof maintrafficcongestion
degreefromtheaspect of general businessvesselsby
consideringtheexistenceof thesmall local boats.
This paper is organized as follows: Section 2
presentsthefeaturesof marinetrafficcongestion, the
traditional methods to determine it and their disad-
vantages. Section3proposesafuzzyreasoningmodel
todeterminethemaintraffic congestiondegreewith
main traffic flow velocity. Section 4 illuminates the
methodtocalculatethemaintrafficflowvelocitywith
AIS reports. Finally, mainconclusionanddiscussion
areofferedinsection5.
2 MARRINETRAFFIC CONGESTION
FEATURESANDTRADITIONAL
DESCRIPTIONOF TRAFFIC CONGESTION
DEGREE
At present, there is no definite definition of traf-
fic congestion degree of restricted waters. In fact,
marine traffic congestion always exists and can be
manifestedas:
1. Withlowsailingvelocityandspeedingupanddown
frequently.
173
2. Withdisorder navigation.
3. With too many vessels blocked in the restricted
waters.
Fromthe domestic and international research of
marinetraffic, itisfoundthatmarinetrafficengineers
prefer tousetrafficdensityor trafficvolumetodeter-
minetraffic congestiondegree(YanL. et al. 2007&
YansongG. & ZhaolinW. 2001).
Traffic density is the instant average quantity of
thevesselsper unit areainthesurveyedwaters, while
trafficvolumeisthenumber of vesselsthroughacer-
tainwatersduringacertaintimeperiod(ZhaolinW. &
J unZ. 2004). Bothtraffic density andtraffic volume
cannotdescribetheabove1) and2) featuresof marine
traffic congestion. Besides that, there are two other
major disadvantageswhentrafficdensityandvolume
areappliedtodeterminethemarinetrafficcongestion
degree.
1. It is not convenient to get the source data for
calculating traffic density or volume. Manual or
semi-automatic traffic survey, radar observation
andaerial photographyaregenerallyneeded.
2. Ships of different sizes need to be unified when
calculatingtraffic density or volume, andtheuni-
ficationcannot bedoneaccurately.
Sotrafficdensityor volumeisnotaperfectparam-
eter todeterminetrafficcongestiondegree.
3 A FUZZY EVALUATIONMODEL OF MAIN
TRAFFIC CONGESTIONDEGREE BASED
ONMAINTRAFFIC FLOWVELOCITY
It is well known that traffic congestion degree can
bedetermined by averagevelocity on road, such as:
smoothtrafficmeansthattheaveragevelocityismore
than30kilometersper hour, normal trafficmeansthat
theaverageisbetween20and30kilometersper hour,
crowed traffic means that theaverageis between 10
and20kilometersperhourandblockingtrafficmeans
thattheaveragevelocityisnotmorethan10kilometers
per hour or maybenearlyzero(HuapuL. &J anwei W.
2003).
Similar toroadtraffic, whenthetrafficinrestricted
waters is not congested, vessels can sail fast to the
upper limit, whilecongested, vessels can only move
slowlyorevenstop. Basedonthissimilarity, thispaper
tries to proposeanewevaluationmethodfor marine
maintrafficcongestiondegreebyusingaverageveloc-
ity of vessels inthemaintraffic or maintraffic flow
velocity. Becausethecongestion is afuzzy concept,
asimplefuzzy inferencesystemtocalculatethecon-
gestiondegreewithtraffic flowvelocity as theinput
isdesigned(KhaledH. & ShinyaK. 2002).
3.1 Fuzzy inference system
Fuzzy inference system, based on fuzzy set theory,
fuzzy rule of If-then and fuzzy inference, contains
Figure1. General structureof fuzzyinferencesystem.
Figure2. Membershipfunctionof trafficflowvelocity.
threeparts: 1) manyfuzzyrulesof If-then; 2) database
for definingmembershipfunction; 3) inferenceengi-
neeringto get fuzzy results by input andfuzzy rules
(JANG J S R. 1997). Figure 1 shows the general
structureof afuzzyinferencesystem.
3.2 Building fuzzy sets of traffic flow velocity and
traffic congestion degree and their membership
function
Consideringpeoples evaluatingscale, thefuzzy sets
can be set as: traffic flow velocity={very fast,
fast, middle, slow, very slow}, traffic con-
gestiondegree={blocking,crowed,notsteady,
normal, smooth}
Figure2showsthemembershipfunctionof thetraf-
fic flow velocity, wherev
e
is theratio of thecurrent
traffic flowspeedandthefreespeedandv
e
[0, 1],
andV
m
is theratio of thedesignedspeedor therec-
ommendedspeedforprevailingweatherconditionand
normal trafficandthefreespeed.
Given v
e
and the membership function of traffic
flowvelocity, wecandeterminethelinguisticvalueof
v
e
byfindingthelinguisticvalueonwhichv
e
getsthe
max membership. For example, if u
very slow
(v
e
)=0.6
and u
slow
(v
e
)=0.4, thelinguistic valueof v
e
is very
slow.
Figure 3 shows the membership of traffic con-
gestion degree (TCD), which is quantified between
0 and 1, where 0 means traffic state is jamand 1
simplifiesthat it isverysmoothinthewaters.
3.3 Fuzzy inference rule of the evaluation
Here the fuzzy inference rule between traffic flow
velocityandtrafficcongestiondegreeshouldbe:
If traffic flow velocity is very fast, then traf-
fic congestion degree is smooth, and given v
e
,
u
very fast
(v
e
)=u
smooth
(v
e
).
174
Figure 3. Membership function of traffic congestion
degree.
Table 1. Fuzzy set mapping between traffic congestion
degreeandtrafficflowvelocity.
Traffic Membershipof traffic
Grade congestiondegree flowvelocity
1 smooth veryfast
2 normal fast
3 not steady middle
4 crowed slow
5 blocking veryslow
If traffic flow velocity is fast, then traffic
congestion degree is normal, and given v
e
,
u
fast
(v
e
)=u
normal
(v
e
).
If traffic flow velocity is middle, then traffic
congestion degree is not steady, and given v
e
,
u
middle
(v
e
)=u
not
steady(v
e
).
If traffic flow velocity is slow, then traffic
congestion degree is crowed, and given v
e
,
u
fast
(v
e
)=u
crowed
(v
e
).
If traffic flow velocity is very slow, then traf-
fic congestiondegreeis blocking, andgivenv
e
,
u
very slow
(v
e
)=u
blocking
(v
e
).
Table 1 shows the mapping relationship between
the fuzzy sets of traffic flow velocity and traffic
congestiondegree.
Herevelocityhasbeendividedintofivegradesand
everygradeismeasuredbydesignedspeedVm, which
hasconsideredinfluential factorsof velocity, suchas,
visibilityandcanchangealotunder differentweather
condition.
3.4 Defuzzification
Astheoutput of fuzzyinferencesystemisfuzzy, it is
necessary to mapthefuzzy congestiondegreeinto a
concretevalue, whichiscalleddefuzzification. There
arefivedefuzzificationtechniquesandthemost typi-
cal oneiscenterof gravity(COG)(JANGJ SR. 1997),
whichisusedinthecontext of thisresearch.
Forexample,if u
very slow
(v
e
)=0.6andu
slow
(v
e
)=0.4,
then u
blocking
(v
e
)=0.6 and u
crowed
(v
e
)=0.4, and
finallythedefuzzificationvaluey* is0.12asfigure3
shows.
Figure4. Schematicdiagramof marinetraffic, whereblack
triangles stand for the ships equipped withAIS and in the
main traffic, gray triangles present the ships without AIS,
whilewhitetrianglessignifylocal trafficshipswithAIS.
4 MAINTRAFFIC FLOWVELOCITY
CALCULATIONWITHSPEED
INFORMATIONPROVIDEDBY AIS
REPORTS
Generally, traffic flow velocity can becalculated by
equation(2), wheren meansthetotal number of ships
in an investigated waters and v
i
means the current
speedof i-thship.
Whenweuseequation(2)tocalculatethemaintraf-
ficflowvelocitywiththeinformationprovidedbyAIS
reports, weshall notethat not all ships inaninvesti-
gatedwatersisequippedwithAIStransponder, sothe
total number of shipscannot beacquired.
In this paper, we regard each ship with AIS
transponder inthemaintraffic as asamplingsensor,
so if the percentage of these ships over all ships in
the main traffic is great enough and they are well-
distributed, the average speed of these ships will be
abletoreflect thetrafficcongestiondegree.
For example, in Figure 4, we regard the average
speedof all blackvesselsasthemaintrafficflowveloc-
ity. All whitevesselsareignoredbecausetheyarenot
inmaintraffic, andtheir speedsarenotcloselyrelated
tothetrafficcongestiondegreefortheymayatanchor,
berthing, etc.
5 CONCLUSIONSANDDICUSSION
This paper proposed to apply the concept of main
trafficflowvelocitytodeterminethemaintrafficcon-
gestiondegreeinrestrictedwaters. Maintraffic flow
175
velocity is calculated by averaging the speed of all
shipsequippedwithAIStranspondersinthemaintraf-
fic. A fuzzy inferencemodel was built to determine
themaintrafficcongestiondegreeundervaryingmain
traffic flowvelocity. Comparingto traffic volumeor
density, theconcept of maintrafficflowvelocitypro-
videsamoreintuitiveandaccuratewaytoevaluatethe
maintraffic congestiondegreeof restrictedwatersin
certainsituation, andcanbeeasilyimplement.
Themorepercentageof ships equipped withAIS
transpondersinthemaintrafficis,themorereasonable
theevaluatingresult givenbythemethodproposedin
this paper is. For therestrictedwaters wheretheper-
centageis not determinable, therearetwoconditions
shall besatisfiedbeforeapplyingthemethodproposed
in this paper: (1) thepercentageof vessels withAIS
transponder over all ships inthemaintraffic is great
enough, and (2) the ships are well-distributed. The
lower limit of the percentage and how to determine
whether theshipsarewell-distributedshall befurther
studied. Besidesthat, trafficvolumeordensitymaybe
combinedwithtrafficflowvelocitytomaketheeval-
uation. Wealsohaveplanstoapplyclusteringmethod
todeterminethelimitsbetweencongestedwatersand
smoothwaters, andto render themarinetraffic con-
gestiondegreeontheWebseamapto facilitateship
owners and marine safety authorities to monitor the
traffic.
ACKNOWLEDGEMENTS
ThisworkwassupportedbyShanghai EducationCom-
mittee under grant No.08YZ107 and by Shanghai
LeadingDisciplineProject under grant No. S30602
REFERENCES
Huapu L. & J anwei W. 2003. Analysis of Urban Traffic
Congestion and Dynamic Distinction Method. Beijing:
Peoples TransportationPress.
J ang J.S.R. 1997. Neuro-fuzzy and soft computing. USA:
International Edition.
Khaled H. & Shinya K. 2002. Developing a Measure of
Traffic Congestion: Fuzzy Inference Approach. Trans-
portationResearchRecord(1802): 7785.
Yan L. et al. 2007. Analysis and evaluation of navigation
safety influenced by navigation environment in port.
J ournal of WaterwayandHarbor 28(5): 342347.
Yansong G. & Zhaolin W. 2001. Analysis and evaluation
on the danger degree of environment in the channel
of Xiamen port. J ournal of Dalian Maritime University
27(1): 58.
ZhaolinW.&J unZ.2004.Marinetrafficengineering.Dalian:
DalianMarinetimeUniversityPress.
176
4.7
Computer visionandshiptrafficanalysis: Inferringmaneuver patterns
fromtheautomaticidentificationsystem
K.G. Aarsther &T. Moan
Norwegian University of Science and Technology, Trondheim, Norway
ABSTRACT: TheAutomatic Identification Systemhas proven itself as a valuable source for ship traffic
information. Itsintroductionhasreversedtheprevioussituationwithscarcity of precisedatafromshiptraffic
and has instead posed the reverse challenge of coping with an overabundance of data. The number of time
seriesavailableforshipmanoeuvringanalysishasincreasedfromtens, orhundreds, toseveral thousands. Sifting
throughthisdatamanually, either tofindthesalient featuresof traffic, or toprovidestatistical distributionsof
decisionvariables is anextremely timeconsumingprocedure. Inthis paper wepresent theresults of applying
computer visiontechniques to this problemandshowhowit is possibleto automatically separateAIS datain
order toobtaintrafficstatisticsandprevailingfeaturesdowntothescaleof individual manoeuvresandhowthis
procedureenablestheproductionof asimplifiedmodel of shiptraffic.
1 INTRODUCTION
Analysisof shiptrafficreceivesfocusastheawareness
of theriskitposestotheenvironmentisincreased.The
analysis is not only motivatedby thedesireto quan-
tify risk, but alsotounderstandtheeffect of changes
tothefairwayandtoproposeimprovementstoharbor
areas and inland waterways. Analysis of ship traffic
has been hindered by a scarcity of data, requiring
specialized installations or equipment for data col-
lection. This scarcity has prompted studies that rely
on synthetic ship maneuvering datafromsimulators
(Hutchinson2003) and(Merrick 2003). Whilesimu-
lator studies provides valuableinsights, throughhigh
samplerates, controlledenvironment andabsenceof
noise, they makecompromises oneither thenumber
of passages withtheuseof humanoperators infull-
missionsimulators, or onaccuracybyeliminatingthe
human element and relying on fast-time simulators
withautopilot algorithms.
Wewill inthispaper showhowtheintroductionof
theAutomatic Identification System(AIS) for ships
can help in both providing a readily available data
source for traffic analysis, and how analysis of this
datacanbeemployedto generatestatistics of traffic
conditions, estimatemaneuver plans and parameters
asinputstofast-timesimulator studies.
TheuseofAISinmarinetrafficanalysisisnotanew
concept. (Gucma2007) usedAISdatatoestimatethe
occurrenceof accidentsintheBalticSeabyidentifying
themajor trafficflowsusingAISrecordsof journeys.
Little work has been done to apply AIS to analysis
onthescaleof maneuversinasmaller or constrained
area to derive the exhibited maneuver patterns. The
area around the harbor of Risavika in southwestern
Figure 1. Risavika harbor with AIS position reports and
navigationmarkersindicated.
Norway was selected as a casestudy. This area was
selected sincethepresenceof island formations and
thecoastlineshouldimposeastructureontheshiptraf-
fic. Information about all thenavigational markings
intheareawasobtainedfromtheNorwegianHydro-
graphic Serviceandcontaineddatafor position, type
andidentifiersforall publiclymaintainednavigational
aidsinthearea.TheareawithAISpositionreportsand
navigational markingsindicatedisshowninFigure1.
Thesmall-scaleanalysisbenefitsfromthelargevol-
ume of data available, but the size of the data sets
involvedmakesanalysismoredemanding.Atthislevel
theanalysis methodmust takeintoaccount thealter-
nate routes through the area and the possibility of
harbors.
177
Theintroductionof AIS has replacedtheprevious
scarcityof shiptrafficandmaneuverdatawithanover-
abundance. Whereas onepreviously hadto construct
limitedshorebasedmeasurementsystemswithlimited
lifespanor rely ondatafromaselectedset of vessels
with logging equipment, AIS provides a continuous
streamof informationof thepositionandspeedall AIS
enabledvesselsinrange.Thesystemprovidesposition
andspeedupdatesonpredefinedintervalsdepending
onvessel speedandmaneuversituationwithasample-
ratevaryingfrom3secondsfor highspeedor turning
vessels to 15 min for ships at anchor. The instanta-
neous information density varies naturally with the
traffic density of the area, but if one considers past
data, theamount of informationtobeshiftedthrough
and analyzed is considerable. Theability to analyze,
andthecapabilities of thetechniques employed, will
determinethequalityof informationaboutshiptraffic
extractedfromthisnewsourceof historicshiptraffic
data.
On this background we present a method based
on computer vision techniques, which is capable of
handlingthisincreaseinavailabledata.
2 METHOD
Analyzingshiptrafficisatwo-stageprocesswherethe
firsttaskistotransformthecollecteddataintoaform
thateasesthefinal analysis.A methodfor transforma-
tionof AIS dataframes to acollectionof maneuvers
presentediscomprisedof followingstages:
Reconstructionof vessel specific time-series from
AISdata
Sortingof time-seriesfromgeometricsimilarityof
thepositiontrace
Subdivision of the geometric similar groups into
groupswiththesamedirectionof travel
This process produces groups of time-series with
similar maneuver patternsanddirectionof travel well
suitedfor generationof statisticsandfurther analysis.
Further analysisof thesegroupscaninclude:
Traffic properties such as distribution of vessel
velocityandspread
Estimation of maneuver sequence and parameter
statistics
Estimationof themostprobablenavigationaidused
for maneuver transitions
2.1 Model for ship maneuvers
The ship maneuvering process is represented as a
sequence of basic maneuvers. The basic maneuvers
areinstantiatedandappear as arecognizablemaneu-
ver pattern. Themost basic subdivisionof maneuver
patternsisthedistinctionbetweenconstantcourseand
course changing maneuvers. While these categories
can contain variations in the strategies employed to
obtainthedesiredresult, thetwogroupsarerepresents
the simplest geometric model is the model ship
maneuvering.
2.2 AIS data collection
Dataframes fromtheNorwegianAIS stations inthe
areaaroundtheharbor of Risavikawerecollectedfor
threemonthsfromApril toJ une2006.AISdataframes
aremarkedwithatimestampandthevessel specific
MMSI number andcontainsthevesselsinstantaneous
positionandspeedif available.
ThedatawasorderedbyMMSI numberandtimeto
recreatethetime-seriesforeachvessel.Thetime-series
wasthensplit at significant discontinuitiesintimeto
handlethecasesof vesselsleavingthestudiedareaor
comingtorestinaharbor.Thenumberof AISposition
reportsintheareawas512,533andthepositionreports
werereducedto2763time-series.
2.3 Grouping of time-series
Applicationof imageregistrationtechniquessolvesthe
laborious task of grouping the time-series formthe
geometricsimilarityof thepositiontrace.
Imageregistrationtechniques(Zitova2003, Brown
1992) is applied in medical imaging and production
control, andcanbeexplainedas theprocess of com-
paringimagesmathematicallytoproduceanobjective
measureof their similarity andtodetect thepresence
of a-priori knownobjects. Thesetechniques arewell
suitedfor sortingvessel trajectoriesfromtheir geom-
etryasthepositiontraceinisolationformsalineinan
otherwiseemptyspace. Thetraceof avesselsposition
can betransformed into theformof adigital image
bydiscretizationof thereportedposition. Thestudied
areawasdividendinto7575mbinsandthenumber
of position in each bin was counted and stored in a
matrixfor eachtimeseries. Thisistherepresentation
usedfor grayscaleimagesinimageanalysis.
Applicationof imageregistrationmust account for
the possible differences in image resolution, rota-
tion and translation of the captured scene. These
parametersarecontrolledduetothetransformationof
remotelysenseddataintoanimagewithcontrolledori-
entationandresolution, butthelocationof theimprint
of theindividual vessel tracesintroducesanunknown
possibletranslation. Anapplicationof imageregistra-
tiontogroupgeometricsimilartracksmustaccountfor
thisdisplacementwithineachgroup, butaglobal com-
pensationwill introduceerrors, asitwill detectsimilar
position traces of similar form, but of very different
location.
To reduceprocessing timethesorting of position
traceswasdividedintoacoarseanddetailedanalysis.
Thecoarseanalysis simply looked at thecorrespon-
denceof trackimageswithoutaccountingfor possible
translations.If twoimagesweredeemedsimilar,future
comparisonwasdonewiththemeantrackof thetwo.
Thecoarseanalysisleftalargenumberof small groups,
whichwereusedasinputstothedetailedanalysis.The
detailedanalysismadeuseof numerical optimization
178
to find the optimumlevel of similarity between the
groups. The cross-correlation between two images,
where one has a translation (u,v) in (x,y) direction
was used as an objective function and is seen in
Equation(1).
where T=reference image matrix and I =the test
image matrix with translation (u,v). The cross-
correlation defined in Equation (1) is only valid for
integer values (u,v) so a 3D interpolation method
from(Vetterling 2007) was implemented to provide
acontinuousformulationof thecross-correlation.The
interpolationroutineallows standardnumerical opti-
mization strategies, such as steepest descend, to be
appliedtofindthemaximumcorrelationbetweentwo
images. Thecross-correlationwas usedto refinethe
groupingobtainedby thecoarsemethodby anitera-
tiveprocesswheregroupswhichshowedamaximum
correlationwherecombined.
Thefinal operationonthesortedtimeserieswasto
split each geometrically similar group into direction
specificgroupsbyconsideringtheanglebetweenthe
start andendpointsof eachtime-series.
2.4 Group maneuver identification
Thetime-series reconstructedfromAIS havehetero-
geneous sample rates, within the geometric similar
group, and even within the individual time-series.
This necessitates a transfer of individual timeseries
datatoacommonrepresentation, whichcompensates
for the variations in sample-rates. The properties of
thetimeseriesgroupwasestimatedfrom100evenly
spaced control points. Thecontrol points werecom-
putedasthemeanpointsof 100evenlyspacedpoints
for each time-series belonging to the group. Mean
perpendicular vectors to the mean path were calcu-
latedinconjunctionwiththecontrol points andused
toestablishmappingof thetime-seriesindicestothe
control pointsbyfindingtheintersectionbetweenthe
time-seriestraceandtheperpendicular vectors.
Thesequenceof maneuversinagroupwastracked
bythecurvatureof thevesselstrajectory.Thecurvature
of thevessel trajectoriesineachtimeserieswascom-
putedbyconsideringthexandycoordinateassignals
inthetime(Aarsther 2007) asseeninEquation2.
Apolynomial wasfittedlocallytothexandysignals
intimetoprovidewell-definedderivativesfor curva-
turecalculation.Thecurvatureof eachtimeserieswas
transferredtothegroupby theindex tocontrol point
mapping. Thegroupcurvatureisthencalculatedfrom
themedianof thegroupcurvatureateachcontrol point.
Theindividual turnandstraight sectionsof thegroup
areidentifiedbyanad-hoctwo-stagefilteringbasedon
statistics. Themeanvalue, , andstandarddeviation,
, arecalculatedandthepointsof thegroupcurvature
curvethat fallsoutsidetheregiondefinedby 2
aredefinedasbelongingtoaturnsection, and are
recalculatedfor theremainingpointsandtheprocess
repeatedoncemore. Contiguousregionsareidentified
asturnandstraight segments.
Theindentified turns in thegroup curvatureonly
provideinformationaboutthemedianstraightandturn
behavior, to extendtheanalysis to theparameters of
themaneuver model andtoprovidestatisticsdemands
datafor theidentifiedsectionsfromeachtime-series.
Thetranslationbetweentheturnsectionsof themedian
pathto theindividual timeseries is not well defined
as themap of positions to control points. Variations
incurvaturecanoccur at different positionsalongthe
path and it is the sequence of maneuvers that is of
interest. The turn sections of the median curvature
were isolated and transferred to an image represen-
tation using the same procedure as for the position
trace.Theimagerepresentationsof theindividual turn
sections werethenmatchedto asectionof thetime-
series by optimization of the similarity between the
turn image fromthe group curvature and the time-
series curvature. This identifies the locations of the
turnsectionsintheindividual time-seriesandenables
theextractionof statisticsbasedonthemaneuver pro-
gressionof theindividual vesselsinsteadof relyingon
geometricareasorindicesfromthegroupcurvatureto
extract data.
2.5 Statistics of time-series groups
Statistics for each time-series group was calculated
at theintersectionbetweenstraight ant turnsections.
Thesectionsof theindividual time-seriessectionswere
transferredtothegroupsectionsbymappingtheturns
inatime-seriestothecorrespondingturnnumbersin
thegroup. Variableswereaccordingtosectiontype
Turn section: extreme, median & mean curvature
andmedianspeedover section
Straight section: average course angle over sec-
tion, offsetfrommedianpathatbothendpointsand
medianspeedover section
2.6 Identification of navigational aids
Theidentificationof themost usednavigational aids
is dependent on the location of the border points
betweenthestraight andcircular sectionsof theships
path in relation to the navigational markings in the
environment.
Theidentificationof themostprobablenavigational
aid is moreerror pronethan processing of AIS data
sincetheresult isdirectlyinfluencedbythechoiceof
criterion used to identify the aid used in each time-
series. The identification criterion used is based on
ship-handlingtheory, wherenavigationreferencesare
preferredif thebearingfromtheturninitiationpointto
thereferenceisclosetoparallel withthefuturecourse.
Theangletoall thenavigational markingsinthearea
179
wascalculatedforeachturninitiation,andthemarking
withabearingclosesttothecourseattheturnexitwas
chosenasthemost navigationmarkinuse.
3 RESULTS
Theentirecollectionof AISdataframeswasstoredin
an SQL database for easy management and extrac-
tion. Data frames was selected according to area
and ordered by timeand MMSI number. Theimage
registration routines and dataprocessing was imple-
mentedinMATLAB.Thetime-serieswasconvertedto
imageswiththehist3 functionof Mathworks statis-
ticstoolboxforMATLAB, andoptimizationof image
similaritywashandledbytheconstrainedoptimization
function fmincon fromoptimization toolbox with
gradient descendsearch.
3.1 Separation of traffic
Traffic clusteredinsevengroups, inadditiongroups
consistingof onetofivetime-serieswasalsopresent,
but thesehavelack thenumbersrequiredtoproclaim
themastraffic-groups. Of thesevenmajor groupsone
groupconsistedof AIS positionreports of vessels at
anchor in theharbor and was excluded fromfurther
analysis. The number of time-series in the other six
groups, aswell asthebreakdownindirectional groups,
isseeninTable1
The geometric group of time-series belonging to
thefivefirstgroupsisseeninFigure26. Time-series
Table1. Distributionof time-seriesintogroupsof geomet-
ricsimilarity.
Group Total Direction1 Direction2
1 1017 443 573
2 809 436 373
3 76 16 60
4 552 240 311
5 17 4 13
6 11 2 9
Figure2. Positiontraceof time-seriesingroup1.
groupsixisexcludedsinceitisonlyasmall component
intersectingwiththeareasnortheast corner.
For further analysis based on statistics, only the
threedensest populated geometric groups should be
considered. This is due to the uncertainty associ-
atedwithstatistical analysisof small populationsand
to avoid drawing conclusions on a weak statistical
base.
180
3.2 Maneuver sequences and statistics
Maneuver sequenceswereidentifiedandstatisticsfor
trafficpropertiesandmaneuver parameterswerepro-
duced. Themeasuredvariableswerefittedbothtothe
normal andskew-normal (Azzalini 1985) probability
distributions.Theskew-normal distributionwasintro-
duced to compensate for expected skewness in the
datathatcouldseverelyinfluencedtheaccuracyof the
Figure7. Mediantrafficpathswithturnsectionsindicated.
Table2. Parametersfor trafficstatisticsfor group4, direction1.
Section Type Variable Location Scale Shape
1* Turn k.ext [1/m] 5.20e-4 2.75e-3 14.6
speed [kn] 5.5 3.42 3.05
2 Straight offset start [m] 19.7 37.3 1.13
offset end [m] 37.5 64.6 0.85
course [rad] 0.90 0.08 1.89
speed [kn] 7.9 3.7 2.51
3 Turn k.ext [1/m] 4.21e-4 7.36e-4 9.34
speed [kn] 8.3 4.15 3.12
4 Straight offset start [m] 100.4 155.0 1.74
offset end [m] 120.6 163.9 2.36
course [rad] 0.012 0.053 1.18
speed [kn] 8.5 4.30 3.48
* Start sectioninsideharbor
normal fit.Statisticcalculationsandfittingof distribu-
tionswasperformedwithR withtheMASS and
SN statistic libraries. The median paths with turn
sectionborder pointsindicatedareshowninFigure7.
Due to space limitations a full treatment is only
possiblefor onedirectioninoneof thesamplegroups.
Thedirectiongroup1of samplegroup4is analyzed
further. Theparameters of fittedskewnormal proba-
bilitydistributionsof thetrafficparametersareshown
inTable2.
FromTable2it is possibletotrack theincreasein
boththevessel speedandspreadfrommedianposition
fromtheharborareatotheedgeof thestudiedarea.The
curvatureof theturnsections shows that thecourse-
changingmaneuver insection3canbemodeledasa
turn-circlemaneuver with aradius of approximately
1.25nautical miles.
The goodness of fit between the data from the
AIS time-series and the skew-normal probability
distribution function can be seen in Figures 810
wheretheempirical densityfunctionisplottedtogether
withthefitteddistributionfunctions.
3.3 Navigational aids
The identification of navigational aids made use of
theinformationof navigational markings inthearea
as providedby theNorwegianhydrographic Service,
but excluded markings consisting of iron poles used
Figure8. Extremevalueof curvatureduringturn.
181
Figure9. Offset frommedianpositionat endof turn(start
of next section).
Figure10. Medianspeedover turnsection.
Figure 11. Relative frequency of identified used naviga-
tional aid.
tomark shallows. Thisleft onlylighthousesandlight
buoys. Identification showed good consistency with
only two to three objects contributing the majority
of observed identifications. For the initiation of the
turn in section three seen in Table 2 the relative
contributionsareshowninFigure11.
FromFigure11it isapparent that thenavigational
markingsatthelocationNesjafluadominatesasthe
most probablenavigational mark. Thedistributionof
course angles between the two most used markings
is seen in Figure 12, the overlapping notches in the
plot indicates that thereis no statistically significant
differencebetweenthemedianapparent angleto the
markings.
Figure12. Distributionof apparent angletolandmark, box
widthindicatessamplesize.
4 CONCLUSION
It hasbeendemonstratedthat imageregistrationtech-
niquescanprovideanefficientandaccuratesolutionto
theproblemof shiftingthroughlargeamountsof posi-
tionreportsfromAISandpreparethemfor analysisin
groups.Imageregistrationalsoovercomestheproblem
of identificationof turnmaneuversinindividual time-
series. Thegroupanalysisof theAISpositionreports
enablestheidentificationof statistical parametersfor
the traffic flow, as well as of probable navigational
marksfor turninitiationsandturnradi.
REFERENCES
Aarsther K. G. & MoanT. 2007. CombinedManeuvering
Simulations, AIS andfull-missionsimulations. InAdam
Weintrit (ed) Advances in marine navigation and safety
of sea transportation; proc 7. intern. symp. on navigation
Gdynia 20-22 June 2007
Azzalini A. 1985. A class of distributions which include
thenormal ones. Scandinavian Journal of Statistics 12:
171178
BrownL. G. 1992.A surveyof imageregistrationtechniques.
ACM computing Surveys 24:325376
GucmaL. & Goryczko E. 2007. Theimplementationof oil
spill cost model inthesouthernBaltic Seaareatoassess
thepossiblelossesduetoshipcollisions. InAdamWein-
trit (ed) Advances in marine navigation and safety of
sea transportation; Proc 7. intern. symp. on navigation
Gdynia 2022 June 2007
Hutchison, B.L.; Gray, D.L. & Mathai, T., 2003. Maneuver-
ingsimulations- anapplicationtowaterwaynavigability.
Transactions of the Society of Naval Architects and Marine
Engineers Vol 111:485516
Merrick J.R.W.; van Dorp J.R.; Blackford J.P.; Shaw G.L.;
Harrald J. & Mazzuchi T.A. 2003. A traffic density
analysisof proposedferryserviceexpansioninSanFran-
ciscoBayusingamaritimesimulationmodel. Reliability
Engineering and System Safety. Vol 81(2): 119132
VetterlingW.T.; Press H. P.; Teukolsky S. A.; Flannery B. P.
2007. Numerical recipes theartof scientificcomputing.
Cambridgeuniversitypress
Zitov B. Flusser J. 2003. Image registration methods: a
survey. Image and vision computing 21(11):9771000
182
4.8
Possiblemethodof clearing-uptheclose-quarter situationof
shipsbymeansof AutomaticIdentificationSystem
V.M. Bukaty& S.U. Morozova
Baltic Fishing Fleet State Academy, Kaliningrad, Russia
ABSTRACT: Thetonicdiscussedisannon-traditional approachtotheearliestpossibleclearingupof thehead-
onsituation, consistingindefiningthetimeof simultaneousapproachtosamelatitudesandlongitudes, bearing
in mind that theinformation about theships movement was received by means of Automatic Identification
System. If thetimetheshipsproceedtotheselatitudesandlongitudesisthesamethecollisionof theshipsis
unavoidableandby thetimeidentifiedthehead-onsituationis immediately indicated. If thetimeis different
theshipswill not beabletoreachthesamepoint andthecollisionwill beavoided. Theattemptshavebeenalso
madetoevaluatetheminimal admittedinequalityof timewhentheships safepassagewithout maneuveringis
consideredpossible.
Thismethodisratherattractivebecauseitdoesnotrequireanyadditional measurementsanditisnotnecessary
toattract theOfficer-in-Chargeawayfromhismainresponsibility tocontrol thesituationroundtheship.
1 INTRODUCTION
Earlier we were discussing non-traditional approach
to the earliest possible clearing up of the head-on
situation the essence of which is in defining the
time of simultaneous approach the same latitudes
and longitudes taking into account the fact that the
information about ships movement was received
by means of Automatic Identification System(AIS)
(Bukaty, V. M. 2005. Research; Bukaty, V. M. 2006.
Non-traditional)
2 FUNDAMENTALSOF METHOD
WhenusingAISat agiveninstant of timet
1
positions
g1
and
g1
speedv
g
andtrack angleTA
g
of agiven
vessel and positions
o1
and
o1
, speed v
o
and track
angleTA
o
of anoncomingvessel (target).Atinstantof
timet
2
positions
g2
and
g2
of thegivenvessel and
positions
o2
and
o2
of theoncomingvessel will be:
Inequations(1), (2), (3) and(4) t =t
2
t
1
,
m
an
averagelatitudebetweenvessels.
If inaperiodof timet thevessels areinthesame
position it will mean that
g2
=
o2
,
g2
=
o2
. Then
takingintoaccount(1), (2) and(2), (4) wecanputitas:
Inequations(5)weprovidedthevaluet withindices
and toindicatethetimeof vessels reachthe
samelatitudeandlongitude.
Equations(5) follows:
If t
=t
, thatisthevesselsreachthesameposition
simultaneously, thecollisionisunavoidable.
Thevalueof t
=t
then helps to obtain thetime

of meeting. If t
,=t
, thevesselsarenot abletoreach
thesamelatitudeandlongitudesimultaneously, thatis
they arenot abletobeinthesamepositionandtheir
meetingisimpossible.
3 INDIVIDUAL CASESOF THE GIVEN
METHOD
Theanalysisof (6) and(7) shows:
1 Inhead-onsituationwhenvesselsrunthelongitude
theywill reachthesamelatitude(meet) inaperiod
183
of timeequal to:
andthey will reachthesamelongitudeinaperiod
of timeequal to:
2 Whenvesselsrunthelongitudethesametrack one
after another they will reachthesamelatitudeina
periodof timeequal to:
and reach the same longitude in a period of time
equal to:
However, if v
g
<v
o
, vessels will reach the same
latitudeinaperiodof timeequal to:
equal to:
Thiswill meanthat thespeedof thegivenvessel is
lower thanthespeedof thetarget vessel.
Or, if v
g
=v
o
, vesselswill reachthesamelatitude
inaperiodof timeequal to:
equal to:
This will mean that that thespeeds of vessels are
equal.
3 In head-on situation when vessels run thelatitude
theywill reachthesamelongitude(meet)inaperiod
of timeequal to:
andreachthesamelatitudeinaperiodof timeequal
to:
4 When vessels run the latitude the same track one
after another they will reachthesamelongitudein
aperiodof timeequal to:
and reach the same latitude in a period of time
equal to:
However, if v
g
<v
o
andtheywill reachthesamelatitudeinaperiodof
timeequal to:
It will mean that thegiven vessel is moving more
slowlythanthetarget vessel.
Or, if v
g
=v
o
of timeequal to:
equal.
5 Whenvesselsrundifferentlongitudesonreciprocal
tracksthey will reachthesamelatitudeinaperiod
of timeequal to
of timeequal to:
6 Whenvesselsrundifferent longitudesonthesame
track they will reachthesamelatitudeinaperiod
of timeequal to:
of timeequal to:
However, if v
g
<v
o
latitudeinaperiodof timeequal to
184
of timeequal to
If v
o
=v
g
, vesselswill reachthesamelatitudein
aperiodof timeequal to:
of timeequal to:
equal.
7 When vessels run different latitudes on reciprocal
trackstheywill reachthesamelongitudeinaperiod
of timeequal to:
timeequal to:
8 When vessels run different latitudes on the same
tracktheywill reachthesamelongitudeinaperiod
of timeequal to:
timeequal to:
However, if v
g
<v
o
longitudeinaperiodof timeequal to:
timeequal to:
If v
g
=v
o
, vesselswill reachthesamelongitude
timeequal to:
equal.
9 When vessels meet head and head on reciprocal
arbitrarytracks, theywill reachthepointof meeting
10 Whenthevesselsrunthesamearbitrarytracksthey
will reachthepoint of meetinginaperiodof time
equal to:
However, if v
g
<v
o
, vesselswill reachthepoint of
meetinginaperiodof timeequal to:
If v
g
=v
o
, vesselswill reachthepointof meeting
equal.
11 When vessels run reciprocal arbitrary parallel
tracks, theywill reachthesamelatitudeinaperiod
of timeequal to:
of timeequal to:
however, thereisalwaysinequalityt
,=t
.
12 Whenvesselsrunthesamearbitraryparallel tracks
the times of their reach to the same latitude and
the same longitude in general case is calculated
by formulas (6) and(7). Herewecanspeak about
different combinations of values t
andt
depend-
ingonrelationof speeds(v
g
<v
o
, v
g
>v
o
, v
g
=v
o
),
185
vessels position at the time instant t
1
(
g1
>
o1
or
g1
<
o1
,
g1
>
o1
or
g1
<
o1
) andvaluesof
trackanglesTA.
Inthiscasenegativityof oneof thetimesandposi-
tivityof anotherornegativityof thebothtimesmean
thatvesselswill never reachthesamelatitude(t
)
or thesamelongitude(t
), or will never reachthe

samelatitudeor thesamelongitude(t
andt
)
13 Whenvesselsrunarbitrary tracksthetimeof their
approachtothesamelatitudeandthesamelongitude
iscalculatedbyformulas(6)and(7).If t
=t
,itwill
meanthat vessels aregoingto meet; but if t
,=t
theywill not meet.

14 Whenvesselsrunarbitrarytrackstherecanbesitu-
ationswhent
=0andt
,=0, or viceversa, t
=0
andt
,=0, thoughvesselscansimultaneouslybeat
thesamepoint. For example, it can happen when
vesselsat startingpositionareonthesamelatitude
or thesamelongitude. Thus, if
g1
=
o1
,
g1
,=
o1
or
g1
,=
o1
,
g1
=
o1
and vessels run crossing
tracks, (6) and(7) follow:
inthefirst case
inthesecondcase
In both cases t
,=t
, but meeting of vessels is

not improbable. For example, if
g1
=
o1
=0
,
v
g
=v
o
, TA
g
=TA
o
90
, it is clear that vessels

will meet despitethefact that t
,=t
. In this case
we can clear up the situation in the following
way. By calculated value t
, if t
=0, or by cal-
culated value t
, if t
=0, are calculated by the

formulas:
Thent
andt
arecalculatedbyformulas:
If calculated values t
(12) or t
(13) areequal to
earlier calculatedvaluest
(8) or t
(9), thevessels
aregoingtomeet. Otherwisetheywill notmeet. For
example, if
g1
=
o1
=0
,
g1
=0
,
g2
=0
10
/
E,
m
=0
, v
g
=v
o
=10kts, TA
g
=45
, TA
o
=315
,
according to (8) t
=0, t
=42min 25.6sec. In
accordance with this value t
according formula
(10)
o2
=0
05
/
N. Thenaccordingto(13) wehave
t
=42min 25.6sec. As t
=t
, thevessels in the
givenexamplearegoingtomeet.
Similar example can be given for the case when
t
,=0, and t
=0. If
g1
=0
05
/
N,
o1
=0
05
/
S,
g1
=
o1
=0
,
m
=0
, v
g
=v
o
=15kts,TA
g
=135
,
TA
o
=45
, accordingto(8) and(9) t
=0, t
=28min
17.1sec. Inaccordancewiththisvaluet
by formula
(11)iscalculated
o2
=0
05
/
E.Thenaccordingto(13)
wehavet
=28min17.1sec.Ast
=t
, thevesselsin
thegivenexamplearealsogoingtomeet.
4 CONCLUSION
It followsfromtheour analysisthat:
1 The sign of the situation when vessels are meet-
ing is the equality of the time of their reach to
thesamelatitudeor thesamelongitudeingeneral
case(t
=t
), or equalityof uncertainty
0
0
of oneof
thetimesof their approachthesamelatitudeor lon-
gitudewhenthevesselsrunthelatitudeorlongitude
respectively
2 Thesignof thesituationwhenvesselsrunreciprocal
parallel tracksingeneral caseisinequalityof times
of their reach to the same latitude and longitude,
bothvaluesof timesbeingpositive. Thesignof the
situationwhenvesselsrunreciprocal parallel tracks
inparticular caseisinfinity of timesof their reach
tothesamelatitudeandlongitudewhenrunningthe
latitudeor longitudethetarget vessel isovertaking.
If theyareequal toinfinity, vesselsaremovingatthe
samespeed.Atthesametimeif t
or t
arepositive,
thevessel is thegivenvessel is overtaking. If t
or
t
are negative, the target vessel is overtaking. If

t
=andt
=, vesselsaremovingat thesame
speed.
3 Thesignof thesituationwhenvesselsrunthesame
parallel tracksingeneral caseisinequalityof times
of their reachtothesamelatitudeandlongitude. If
bothvaluesof thetimesarepositive, thegivenvessel
isovertaking. If they arenegative, thetarget vessel
is overtaking. If they areequal to infinity, vessels
aremovingat thesamespeed. At thesametimeif
t
or t
arepositive, thevessel is thegiven vessel

is overtaking. If t
or t
arenegativ, thetarget ves-

sel isovertaking. If t
=andt
=, vesselsare
movingat thesamespeed.
Realizationof thenon-traditional approachtoclear-
ing up the situation when vessels are meeting is
possiblewiththehelpof automaticcalculatingdevice,
informationtowhichcomesfromAISandresultsare
presented in theformof messages on thedisplay of
ECDISandintheformof warningsoundsignalsabout
thethreat of collision.
Non-traditional approachisinnowayconsideredto
beanalternativefor thetraditional wayof assessment
of head-on situation based on radar or AIS dataand
onmakinguprelativeplottingwhichallowstodefine
a distance and shortest time of vessels meeting. We
consider it tobeanadditiontothetraditional method
allowingtoassesshead-onsituationinduetimeatdis-
tancebetweenshipsequal tooperatingdistanceof AIS
186
(about 20 miles) without measurements and relative
plotting, and consequently without distracting Offi-
cer of Watchfromcontrollingthesituationroundthe
ship.
REFERENCES
Bukaty, V.M. 2005. Research Investigations of Automatic
Information Systems Means for Increasing Ships Safe
Passing. Report on SIW/BSAFF, editedby BukatyV. M.
No.2004-03. Kaliningrad, 2005. 26p.
Bukaty, V.M. 2006. Non-traditional Approach to Clearing-
uptheclose-quarter Situationof theShips. Materials of
the 5th International Conference Safety at Sea Manage-
ment and Training Specialists. 89November, 2005.
p.3740. Kaliningrad: BSAFF.
187
Chapter 5. Navigational tools, systems
and equipment
5.1
Development of aconcept for bridgealert management
F. Motz & S. Hckel
Research Institute for Communication, Information Processing and Ergonomics, FGAN, Wachtberg, Germany
M. Baldauf
World Maritime University, Malm, Sweden
K. Benedict
Hochschule Wismar University of Technology, Business and Design, Warnemnde, Germany
ABSTRACT: Modernshipbridgesarehighly-automatedman-machinesystems. Safeandefficientshipopera-
tionsaredependentonthecommunicationbetweenhumansandmachines.Thispaper isdedicatedtothegeneral
subject of integratednavigationandthespecificfieldof thealert management onashipsnavigational bridge.
It deals with investigations into thepresent situation on board of ships regarding thefrequency and typeof
triggeredalarmsunder real conditions. Theconductionof empirical fieldstudiesisintroducedandsomeof the
gainedresultsarepresentedanddiscussed. Finallythealert management concept of theperformancestandards
for IntegratedNavigationSystems(INS) isintroducedandanapproachfor thereductionof CPA/TCPA alarm
frequencieswithinINS/IBSisdescribed.
1 INTRODUCTION
Modernshipbridges showahighdegreeof automa-
tion. A largeamount of informationconcerningnav-
igation, safety andsecurity aswell asthemonitoring
and control of the technical facilities on board are
integrated in the operational displays on the bridge.
Withrespect tothelevel of integrationof thesensors,
equipment, displaysandassistancesystemsamodern
shipbridgecanbedefinedasahighly-complexman-
machine system. As such the safety and efficiency
of its handling is dependent on the communication
between the human and the machines during the
accomplishment of tasks. Humans can fulfill their
assignedmonitoring, control, anddecisiontasksmost
effectively, if theinformationflowbetweenthemand
machines is adapted to the human skills and abil-
ities (e.g., Ltzhft 2004). To support the mariner
effectively, informationshouldbepresentedtask- and
situation-dependent.
Associated with the high degree of automation
and integration of systems and sensors on board is
aproliferationof alarmsignalsonthebridge. Redun-
dant and superfluous audible and visual alarms are
appearing, without a central position for visualiza-
tionandacknowledgementof alarms.Thatwayalarms
increasetheseafarers workloadandleadtoinforma-
tion overload (Earthy 2006). Alarmsignals coming
fromvarious systems andsensors leadsometimes to
aconfusinganddifficult manageablesituationfor the
mariner,whichisdistractinghimfromhistasktosafely
navigatethevessel.
The majority of marine accidents are associated
withcollisionsandgroundings intermsof numbers
aswell asintermsof costs.Whilesomeaccidentsresult
fromtechnical failures of one kind or another (e.g.
structural, engineorsteeringfailure), manyarecaused
by navigational errors (Wadsworth 2005). Research
indicates that a high percentage of collisions and
groundingsareduetodirecthumanerror(IMO2008).
To enabletheoperator to devotehis full attention
to the safe navigation of the ship and to immedi-
atelyidentifyanyabnormal situationrequiringaction
to maintain thesafenavigation of theship an alarm
management harmonizing the handling, distribution
andpresentationof alarmsonthebridgeisnecessary
(Bainbridge1983, Sheridan1998).
Fornavigational alarmssuchanalarmmanagement
isintroducedwithintherevisedperformancestandards
for integratednavigationsystems(INS), whichneeds
tobeimplementedfor all INS installedafter J anuary
1st 2011. Additionally, the International Maritime
Organization (IMO) decided to develop in the con-
text of therevisionof theperformancestandards for
integratedbridgesystems (IBS) abridgealarmman-
agement systemthat comprises all alarms occurring
on the bridge. A correspondence group coordinated
byGermanywasestablishedtoprogressthiswork.
Theimportanceof an alert management is recog-
nizedaswell withintheframeworkof thee-navigation
strategy of theIMO (IMO 2008). As onehigh-level
user need within the e-navigation strategy an alarm
management systemas accomplished in the revised
performancestandardsfor INSisidentified.
191
To investigate the current situation of the
management and presentation of all alarms appear-
ingonships bridges anumber of fieldstudies were
performed on board of vessels. The results of those
studieswereintroducedintheworkof theIMOcorre-
spondencegroupworkingonthedevelopment of per-
formance standards for BridgeAlarmManagement.
Within this paper selected results of the investiga-
tions arepresentedas well as theconclusions drawn
regardingtheperformancestandardsforBridgeAlarm
Management whichwill befinalizedat the55thses-
sionof theIMOSubcommitteeSafety of Navigation
(NAV) in2009. Anapproachfor thereductionof the
number of alarmsisintroduced.
Thefieldstudieswereperformedunder theframe-
workof anational ResearchandDevelopmentproject
fundedbytheGermanMinistryof Transport, Building
andUrbanAffairs, andunder theEuropeanMarNIS-
project, fundedbytheEuropeanCommission, Depart-
ment for EnergyandTransport.
2 FIELDSTUDIES METHODANDSAMPLE
Fieldstudieswerecarriedout onboardof sixvessels:
twoferriesoperatingintheBalticSea, threecontainer
vessels(withcontainer capacitiesof 6200TEU, 5500
TEU and7500TEU) andacruisevessel operatingin
theMediterranean Sea. Theaimof thefield studies
wastoinvestigatethecurrentoccurrenceof alarmson
ashipsbridgeandtheir handlingby thebridgeteam.
Asthemanagementandpresentationof alarmsisinflu-
encedbythetypeof ship, theyear of construction, the
installedequipment andgradeof integration, thesea
area, the training and education of the crew as well
as by the safety standards of the shipping company
(Baldauf & Motz 2006), thesefactorsweretakeninto
account toobtainaprofounddatabase.
All alarm and warning messages occurring on
thebridgeweremanually recorded. It was registered
what kindof alarmoccurred, whenandwhereit was
announced, how it was presented and how it was
handledbythebridgeteam.
Tocomparethedifferentbridgesoneachvessel the
specificsensorsystemsinusefornavigation(position-
ing,speed,trackcontrol,collisionavoidanceandsoon)
togetherwiththeconfigurationof thealarmthresholds
wereregistered. Simplechanges intheconfiguration
andthesettingsof thealarmlimitsleadtoanincrease
or decreaseof theannouncedalarms.
A special focus was laid on the assumed depen-
dencies of alarmfrequencies fromseaareas. For the
purposesof thestudiesthenavigational situationswere
definedbasedoncollectedexperts opinionsas:
opensea(nonatural constraints/noartificial con-
straints),
coastal (natural constraints/distancetocoast less
than 10nm without harbor, pilotage, anchorage/
artificial constraints e.g. TSS with established
trafficlanesandrecommendedroutes) and
confined (with three different special cases:
harbor, pilotageandanchorage).
Additionally interviews by means of a structured
guidelinewerecarriedouttogather opinions, sugges-
tionsandremarksof navigatorsontheoccurrenceand
presentationof alarms onthebridge, thehandlingof
alarmsandrelatedoperational problems.
Theinvestigatedvesselswerebuiltorreconstructed
withinthetimespanfrom2001until 2007. Theships
navigational bridges were provided with equipment
fromdifferent manufacturers that was integratedand
combinedonamediumor highintegrationlevel.
Thefieldstudieswereconductedondifferenttimes
of the year during voyages in the Baltic Sea, in the
WesternMediterraneanSea, intheNorthSeaandin
the English Channel. Usually good weather condi-
tionswereexperiencedwithlowwindsandcalmsea.
Theaveragetimeof observationwas19hours, witha
minimumof 11hoursandamaximumof 27hours.
3 FIELDSTUDIES RESULTS
3.1 Alarm thresholds and adjustment of alarm
announcement
Intheframework of thefieldstudies it was recorded
whichsettingsthebridgeteamusedfor thetriggering
of alarms and warnings at theinstalled navigational
equipment. It wasassumedthat thenavigatorswould
adjust the alarmthresholds and limit values to the
different navigational situationsandseaareas.
However the contrary was observed. On three of
thesixvesselsnoadjustmentsat all weremadetothe
alarmthresholdsandlimit values neither according
to seaareas nor visibility conditions. Ontheremain-
ing ships a change of the thresholds was rarely the
caseas well. Oneof thenavigators adjustedthelim-
its for CPA/TCPA (Closest Point of Approach/Time
to CPA) inconfinedconditions to 0.5nautical miles
(nm) and0minutes(min) topracticallyswitchoff the
alarms.
Ingeneral thethresholdsforCPA alarmsweresetto
0.5nmonfiveof thevesselswithaTCPAlimitof 6,10,
12or (twice) 15minutes. OnFerry 2theCPA/TCPA
limitsweresetto0.0nm/0minthroughoutthevoyage.
Adjustmentstothedifferentnavigational situations
and sea areas were observed regarding the alarm
announcement. Theaudiblesignalingof radar alarms
wasswitchedoff fromtimetotimeonalmost all ves-
sels. Especially inconfinedconditions duringdepar-
tureandarrival, wherealot of targets appear onthe
radar, alarms (e.g. collisionavoidanceandlost target
alarms) werenot acoustically announced. OnFerry 2
theaudiblealarmannouncement wasswitchedoff on
bothradarsthroughout thevoyage.
3.2 Dependencies on sea area
Onehypothesisof theinvestigationswasthat thefre-
quencyof alarmsisdependentontheseaareainwhich
192
Figure 1. Average frequency of alarms for sea areas per
vessel.
Figure2. Averagefrequencyof alarmsfor seaareasfor all
sixvessels.
thevessel is sailing. Figure1shows theaveragefre-
quency of alarms per hour for thethreeseaareas for
eachvessel investigated.
Except for Ferry 2, on all vessels considerably
more alarms were recorded in coastal and confined
conditions than in open sea areas. Altogether the
analyses indicate a correlation between the traffic
characteristicsof thespecificseaareasandthealarm
occurrence.
Thishypothesisisfurther confirmedwhenanalyz-
ingtheaveragefrequency for all six vessels (Fig. 2).
Most alarms were recorded in confined and coastal
waters. The occurrence of alarms at open sea was
approximately four times lower than in confined
waters.
3.3 Dependencies on equipment
Figure 3 depicts the distribution of alarms depen-
dent onthedeviceonwhichtheyoccurredfor thesix
vessels.
The vast majority of alarms was recorded at the
radar device. OnlyonContainer vessel 3thepercent-
age of radar alarms was lower than the amount of
alarms that occurred at the ECDIS. This is due to
thefact that onthisvessel throughout thevoyageAIS
informationwasnotintegratedintheradar.Altogether
theECDIS aggregates thesecondhighest percentage
of theregisteredalarms.
TheECDIS was theonly systembesides theradar
forwhichoneachof thevesselsalarmswererecorded.
Alarmsonotherdeviceswerenotappearingonall ves-
sels, insomecases only ononevessel. Thesealarms
Figure3. Distribution of alarms dependent on equipment
per vessel.
Figure4. Averagepercentageof alarmcategoriesfor all six
vessels.
reflected specific circumstances on the concerning
vessel.OnContainervessel 2forexamplemanyalarms
wereregisteredontheGNSSandthegyromonitoring
system, causedbythelossof thedifferential signal at
theGNSSdevice.
3.4 Dependencies on alarm category
Thedistributionof thefivealarmcategoriesregistered
most oftenisshowninFigure4.
For the purpose of the analysis the percentages
for off track and off course alarms were summed
up into onecategory. Thecategory collision avoid-
ancealarms includes thevalues for CPA/TCPA and
Bow Crossing alarms. Aggregated into the category
waypointalarmsarethealarms: earlycoursechange
indication, actual coursechangeindicationandwheel
overpoint.Alarmtypessummedupunderthecategory
other partly took percentages of upto 17%onone
vessel but wereregisteredonlyonthat vessel asfor
exampleDGPSfailuresonContainer vessel 2.
For all vesselsinvestigatedthemajoritiesof alarms
arecollisionavoidancealarms andlost target alarms
(51%).
CPA/TCPA as well as lost target alarms werepre-
dominantlytriggeredbyAISinformation, onaverage
72% of the CPA/TCPA alarms and 57% of the lost
target alarms. (Thispercentagecouldhavebeeneven
higher, if thebridgeteamof Container vessel 3 had
193
not chosenaradar settingwithout integrationof AIS
information, whichcausedthatall CPA/TCPA andlost
target alarmswereinitiatedbyradar information.)
These results were expected due to the technical
configurationandtheuseof theautomaticalarmfunc-
tions. ForAIS, accordingtoIMOregulations, thesame
limit values have to be applied as for tracked radar
targetsandtheoptionfor CPA/TCPA calculationwas
switchedontosleepingAIStargetsbydefault. Ontwo
ships it was observedthat CPA/TCPA andlost target
alarms included targets that lay in the harbor basin
behindlandmasses.
3.5 Interview results
During the field studies on board 13 mariners were
interviewed. All of themweremalewith an average
ageof 36. Their averageoverall experienceasmariner
was 14 years, their averageexperienceas an officer
9.5years.Thecurrentpositionof theintervieweesvar-
iedfrommaster tothirdofficer mostof themariners
werefirst or secondofficer.
Generallyofficersandmastersfeel thattherearetoo
manyalarmsoccurringonlyforinformativereasonson
thebridgeor cannot besolvedby theofficer onthe
watch, for exampleVDR record fault or window
wiper oil low. Half of themariners think that espe-
ciallyincertainsituationsforexampletheapproachto
aharbor suchalarmsareamajor problemastheyare
distracting.
Mariners oftenreportedalarms makingannoying,
loudandlonglastingsounds, forexamplealarmsfrom
thenavigationlights, echosounder or gyrocompass.
Otherspointedoutthattheacousticpresentationof an
alarmoften doesnt reflect its relevance. To identify
the priority and the source of an alarmis seen as a
general problem.
Themajorityfavorstohavethepossibilitytoswitch
of theaudibleannouncementof alarmsincertainsitu-
ations.Somemarinerssaythatthisconcernsespecially
noisyalarmsthatareseenaslessimportant. Othersare
referring to situations in which thereis alot of traf-
fic, instrumentsarecloselymonitoredandalarmsare
expected. However it is statedby somemariners that
alarms for safety reasons, likefirealarms or engine
shut downalarms, shouldalwaysbeaudible.
Eightypercentthinkthatacentralizedalarmdisplay
for the centralized presentation of all alarms would
support themwiththeir tasksonthebridge. Thevast
majority feels that it would be a great benefit not
to have to run around the bridge anymore trying
to find out fromwhich equipment an alarmcomes
from. Further expectations regardingacentral alarm
managementdisplayincludeaprioritizationof alarms
andthepossibility toacknowledgeor at least silence
the alarms there. Some mariners worry that safety
related alarms will not be immediately identified at
acentral alarmdisplayfor all alarms.
False alarms are seen as a problem. According
to mariners especially distress alarms areoftenfalse
alarmscausedbyusersthatsendamessagebymistake
(without identificationor position). Another problem
aredistressalarmsfromareaswhicharenotof interest
for theactual navigationsituation.
Regardingthehandlingof alarmsfromtheengine
roompresented e.g. on extension control panels on
the bridge the statements differed. On some ves-
sels theengineroomis manned all or nearly all the
timeandalarms fromtheengineroomarepresented
only for informativereasons without givinganaudi-
ble announcement. On those vessels no difficulties
with engine alarms are experienced. On other ves-
selsalarmsfromtheengineroomgiveasoundonthe
bridgethat stops, whenthealarmisacknowledgedin
theengineroom. Onthebridgethesealarmscannotbe
acknowledged. It isonly possibletosilencetheaudi-
blealarm. Thetoneisretriggered, whenanewalarm
occurs. Thiscanleadtoadistractionof thenavigator,
whoseattentiongetsattractedbythesoundagainand
again. Somemarinersfeel thatthoseenginealarmsare
annoying.
4 DISCUSSIONOF RESULTS
Thefieldstudiesindicatealackof aharmonizedalarm
management. Themajoritiesof alarmsrecordedwere
collision avoidance and lost target alarms occurring
ontheradar, beingtriggeredbyAISinformation. The
peakvaluesof alarmsper hour wereobservedincon-
finedwaters. Under conditionsof hightrafficdensity,
asfor exampleat harbor entrances, alarmswereoften
experienced as superfluous. However alarmthresh-
olds were rarely adjusted. Instead the audible alarm
announcement ontheradar oftenwasswitchedoff in
confinedconditions.Onsomevesselsthebridgeteams
suppressed collision avoidancealarms during depar-
ture and arrival by setting the alarmthresholds to a
minimum. Altogether it can beconcluded that espe-
ciallyinconfinedwatersasharbor approacheswhere
manyAIStargetsappearthenavigatorsareoverloaded
withalarms.
The results showed further, that difficulties are
related to the audible presentation of alarms and
the necessary acknowledgement on various panels
onthebridge,tothelackof indicationof anypriorityof
thealarms, tothelackof aconsistent alarmacknowl-
edgment concept andtodifficultiesindifferentiating
theaudiblealarmsignals.
4.1 Generic approach for reduction of CPA/TCPA
alarms
As collisionwarnings werefoundamajor part of all
alarmsonthebridgethesituationregardinghighnum-
ber of alarmsmaypossiblybeimprovedbyenhanced
triggeringof thesetypeof alarm.
Onereasonfor thehighamount of collisionavoid-
anceandlost target alarmsinconfinedwatersistobe
seeninthetechnical configurationof AISandtheinte-
grationof sleepingAIStargetsfor thepresentationof
collisionavoidanceandlost target alarms. According
194
tothenewdisplay andthenewradar standards(IMO
2004a, IMO 2004b), future radar systems with AIS
integrationwill allowtheselectiveacquisitionof AIS
targets for collisionavoidancealarms andmoreflex-
ibility for thepresentationof lost target alarms. That
way future radar systemwill have the capability to
reducethenumber of alarms. However, further stud-
ies areneeded, to investigateif this really will solve
theproblem.
Further reasons for thehigh amount of alarms in
confined waters areon theonehand themissing of
recommendations for thresholds to beused for CPA
andBowCrossinglimitstakingintoaccount relevant
situationparametersandontheotherhandthemissing
possibilitiestoadjust thealarminitiationinanappro-
priatewaybeyondrangeandtimetoconfinedwaters,
wherecloser passingof vesselsaretobeexpected.
Oneconceptfortheimprovementof collisionwarn-
ings has already been described earlier by Baldauf
(2004). It bases onthedefinitionof situationdepen-
dent thresholds, which take into account the type
of encounter situation, the sea area and the visi-
bility conditions. Core element of this approach is
a risk model for situation assessment defining the
threetypes of encounters meeting, overtaking and
crossing courses and considering the two condi-
tions of good and restricted visibility as laid down
in the International Rules for Preventing Collisions
at Sea. To reduce the number of collision warnings
thesituation-dependentthresholdsfor CPA andTCPA
canbeappliedby analgorithmfor self-adaptationof
thesevaluestotheprevailingcircumstancesof acer-
tain situation and themaneuvering characteristics of
theinvolvedships.Accordingtofirstpreliminarytests
using aset of determined initial situation-dependent
CPA values to recorded open seascenarios asignif-
icant reduction of occurring collision warnings was
reached(Baldauf et al. 2008).
5 PERFORMANCE STANDARDSFOR BRIDGE
ALERT MANAGEMENT
A lot of deficienciesobservedinthefieldstudieswill
besolvedfor INSinstalledafter J anuary1st 2011for
whichanalarmmanagement, accordingtotherevised
INSperformancestandards(IMO2007),ismandatory.
This alarm management system for navigational
alarmsaimstoharmonizetheoperation, handling, dis-
tribution and presentation of alarms. To improvethe
operators situation awareness and his ability to take
effectiveactionaset of prioritiesisintroducedbased
onurgency of therequiredresponse. A newphiloso-
phyisfollowedfortheprioritizationandcategorization
of alarms. Alert (alert management) is defined as
umbrellatermfortheindicationof anyabnormal situa-
tionwiththreedifferentprioritiesof alerts(IMO2007,
Motz & Baldauf 2007):
alarm (highest priority) conditions requiring
immediateattentionandactionby thebridgeteam
to avoid any kind of hazardous situation and to
maintainthesafenavigationof theship;
warning conditions or situations which require
immediate attention for precautionary reasons, to
makethebridgeteamawareof conditionswhichare
notimmediatelyhazardous,butmaybecomeso;and
caution awareness of condition which does not
warrant an alarm or warning condition, but still
requiresattentionout of theordinaryconsideration
of thesituationor of giveninformation.
Thethreepriorities areindicatedvisually andacous-
tically in different ways. Whereas alarms initiate
an audible signal and a flashing visual indication
until acknowledgement, warnings arepresentedwith
a momentarily audible signal and a flashing visual
indicationuntil acknowledgment. After acknowledg-
ment bothalarms andwarnings arepresentedwitha
steady visual indication. Cautions areonly indicated
by a steady visual indication and dont have to be
acknowledged.Itisalsopossibletotemporarilysilence
alarms.
Toensureaconsistent presentationof alertsandto
reducethepresentationof highpriority alerts within
theINS, alertsreleasedbynavigational functions, sen-
sors, sourcesarepresentedasfar aspracticable, after
evaluationwiththesystemknowledgeof theINS, e.g.,
providedbytheintegritymonitoring. Thismeansthat
thepriorityof analert will beassignedandpresented
consistentlyforall partsof theINS,andcanbereduced
for thealert incaseof sufficient redundancy. E.g., in
caseof afailureof oneof threepositionsensorsonly
acautionmaybereleasedfor theINSasstill areliable
systempositioncanbepresented.
AdditionallytheINSperformancestandardsinclude
requirements for a central alert management human
machineinterface(HMI) for navigationrelatedalerts
(IMO 2007). Such a centralized presentation is part
of anINS to support thebridgeteamintheimmedi-
ateidentificationof anyabnormal situation, including
thesourceandreasonfor theabnormal situationand
information for decision support for the necessary
actions.
The central alert management HMI has to ful-
fill threemajor functions: indicatingandidentifying
alerts, allowingto temporarily silenceall alarms and
allowingtheacknowledgementof all alarmsandwarn-
ingsfor whichnoadditional graphical informationis
necessaryasdecisionsupportfor theevaluationof the
alert relatedcondition.
The alert management system within INS was
developed with the intention to be extendable to an
alert management concept for thewholebridge. The
findings of thefield studies showed that theaspects
which were contributing to the development of the
INS alert management are also to be applied to the
alert management systemfor all alertsonthebridge.
Accordingly theperformancestandardsfor Bridge
Alert Management, which is currently developed at
IMO, picks up most of the ideas of the INS alert
management. Indoingso theperformancestandards
consistsof twomajor parts: A general moduleaiming
195
to harmonize the presentation and handling of all
alerts on the bridge (equivalent to the prioritization
introducedwithinINS) andadditionallyrequirements
for acentral alert management HMI.
ACKNOWLEDGEMENTS
Thefieldstudieswerepart of aproject fundedbythe
German Ministry of Transport, Building, and Urban
Affairs, and conducted under the framework of the
European MarNIS-project, funded by the European
Commission, Department for EnergyandTransport.
Theauthorswouldliketothank theshippingcom-
panies Peter Dhle, TT-Lines, Finnlines, Scandlines,
HAPAG-LloydandAIDA CruisesLtdfor their grate-
ful assistance and all mariners who provided their
knowledgeininterviewsonboard.
REFERENCES
Bainbridge, L. 1983. Ironiesof Automation. Automatica 19:
775779.
Baldauf, M. 2004. EnhancedWarningFunctionsforonboard
Collision Avoidance using AIS and VDR information.
In R. Dauer, A. de la Pena, J. Puig (eds), International
Congress on Maritime Technological Innovations and
Research-Proceedings. Barcelona.
Baldauf, M.; Benedict, K. & Motz, F. 2008. Aspects
of Technical Reliability of Navigation Systems and
Human Element in Case of Collision Avoidance. Pro-
ceedings of the Navigation Conference & Exhibition,
London, UK.
Baldauf, M. & Motz, F. 2006. Operational Aspects of
future Alert Management to support ship navigation.
(in German) In Morten Grandt (ed.), Cognitive Systems
Engineering in der Fahrzeug- und Prozessfhrung. Bonn:
DGLR-Bericht 2006-02.
Earthy, J. 2006. Raisingthealarm. Horizons 15: 1011.
IMO 2004a. Performance standards for the presentation
of navigation-related information on ship borne navi-
gational displays. MSC.191(79). London: International
MaritimeOrganization.
IMO2004b. Revised performance standards for radar equip-
ment. MSC.192(79). London: International Maritime
Organization.
navigation systems (INS). MSC.252(83). London: Inter-
IMO 2008. Report of the Subcommittee on Safety of Nav-
igation to the Maritime Safety Committee. NAV 54/25.
London: International MaritimeOrganization.
Lepsoe, A. & Eide, M. 2005. Field Study on Bridge
Alarms. Interim Sub-Task Report MarNIS WP2.4. Oslo:
Det NorskeVeritas.
Ltzhft, M. 2004. Maritime Technology and Human Inte-
gration on the Ships bridge. Dissertation No. 907,
LinkppingStudiesinScienceandTechnology. Sweden.
Motz, F. & Baldauf, M. 2007. InvestigationsintoShipborne
AlarmManagement - Conduction and Results of Field
Studies. Proceedings of the 9th International Conference
onEnterprise InformationSystems,Volume HCI: 136-141.
Funchal, Portugal.
Sherwood J ones, B.M.; Earthy, J.V.; Fort, E.; Gould, D.
2006. Improving the design and management of alarm
systems. Proceedings of the World Maritime Technology
Conference, London, March 2006.
Sheridan, T.B. 1998. Rumination on Automation. In
S. Hishida; K. Inoue (ed.), Analysis, Design and Eval-
uation of Man-Machine-Systems. Reprints of the 7th
IFAC/IFIP/IFORS/IEA Symposium, Kyoto.
Wadsworth, B. 2005. Marine eNavigation: An orienta-
tionpaper. 9th world-wide electronic navigational chart
database committee. WEND 9/INF.4. Monaco: Interna-
tional HydrographicOrganization.
196
5.2
Comparisonof traditional andintegratedbridgedesignwithSAGAT
F. Motz, E. Dalinger, H. Widdel & S. Hckel
Research Institute for Communication, Information Processing and Ergonomics, Wachtberg, Germany
S. MacKinnon
Memorial University of Newfoundland, St. Johns, Canada
ABSTRACT: Modular IntegratedNavigationSystems(INS) accordingtotherevisedIMOperformancestan-
dardsonINScombineandintegratethevalidatedinformationof different sensorsandfunctionsandallowthe
presentationonthevariousdisplaysaccordingtothetasks. Theaimof theinvestigationsdiscussedwithinthis
paper was to assess theadvantages of an INS design compared to atraditional bridgelayout with respect to
theexecutionof collisionavoidanceandroutemonitoringtasks. TheSituationAwareness Global Assessment
Technique(SAGAT) approachwas appliedto assess SituationAwareness (SA) duringtheseoperations while
bridgedesignandout of windowvisibilityweremanipulated. Additionally, workloadwasmeasuredbyNASA-
TLX with its six subscales. Theexperiment was conducted in afull immersivesimulation environment with
26experiencedmariners. Theresultsindicatethat SA issignificantly higher withtheINS bridgedesigninthe
reducedvisibilityconditioncomparedtothetraditional bridgedesign.Also, tendencieswerefoundthatworkload
andsubdimensionsareinfluencedbybridgedesignandvisibilityconditions.
1 INTRODUCTION
Modern ship bridges are highly-automated man-
machine systems. Safety and efficiency of the ship
operationsaredependent upontheabilityof awatch-
keeper to perceive, interpret, and make decisions
upon information acquired from the surrounding
environment. In the last years a strong increase of
moderninformationsystemsonshipbridgescouldbe
observed. Simpledisplays and control systems were
supplementedorreplacedbycomplexcomputer-based
informationsystems. Inorder to support themariner
effectively onboard, a task- and situation-dependent
representationof theinformationisacompellingneed.
ModularIntegratedNavigationSystems(INS)accord-
ingtotherevisedIMOperformancestandardsonINS
(IMO2007)combineandintegratethevalidatedinfor-
mationof differentsensorsandfunctionsandallowthe
presentationonthevarious displays accordingto the
tasks.
Theaimof theinvestigationsdiscussedwithinthis
paper was to assess theadvantages of anINS design
comparedtoatraditional bridgelayoutwithrespectto
theexecutionof collisionavoidanceandroutemonitor-
ingtasks.TheSituationAwarenessGlobal Assessment
Technique (SAGAT) (Endsley 2000) approach was
applied to assess Situation Awareness (SA) during
theseoperations whilebridgedesignandout of win-
dowvisibilityweremanipulated.Themethodtoassess
theSA of watchkeepingofficersonshipbridgeswas
developed based on previous studies (Motz et al.
2008).
Theexperiment wascarriedout inthefull mission
bridge simulator of the Centre for Marine Simula-
tion(CMS) of Memorial Universityof Newfoundland,
St. J ohns, Canada. Theexperimental trialswerecon-
ducted in a full bridge environment and carried out
with four scenarios, to investigate the influence of
bridge design and outside visibility on the SA of
watchkeeping officers. The subjects were tasked to
navigateavessel inscenarioswithvaryingtrafficsitu-
ations. Inthetrialsawatchhandoverwassimulatedso
that after thefirst 10minutesof monitoringandeval-
uating the traffic situation the subject assumed full
control of thevessel.
2 SIMULATORANDBRIDGE DESIGN
The experiment was carried out in a 6 degree of
freedommotionbase, full missionshipsbridgesimu-
lator (seeFig. 1). Thesimulator wasmanufacturedby
KongsbergMaritimeShipSystem.All trialswerecon-
ductedunder arepeatedmotionprofile. Intheexper-
iment two bridge configurations were compared: a
traditional layout employingtheexistingnavigational
equipment and an INS design. Themajor difference
between the two designs is the factor of integration
of the collision avoidance and navigation informa-
tion, including route monitoring and planning. The
197
Figure1. Full missionshipsbridgesimulator.
arrangement, locationanddesignof theequipment of
bothconfigurationswereidentical.
Thefollowing set up was used as traditional con-
figuration:
radar withfacilitiestodisplaytrackedradar targets
electronic ChartingDisplay andInformationSys-
tem(ECDIS) withrouteinformation
minimumkeyboardDisplay(MKD) todisplayAIS
target information
depthsoundinginformation
headinginformation
speedinformation
VHF communication(Navtex, VHF DSC)
propulsionstatusdisplays
steeringandenginecontrol
steeringstatusdisplays
alarm information presented on the individual
equipment
chart tablewithpaper charts.
For the INS configuration the information of the
variousnavigational systemswereintegratedandcom-
binedinthedisplaysonthebridge:
collision avoidance display: radar with tracked
radartargetsandAIStargets,possibilitytounderlay
ENC chart information
routemonitoringdisplay: ECDISwithactiveroute
andAIStargets
conningdisplay: position, propulsioninformation,
rate of turn, relative wind speed and direction,
enginealarmstatus, rudderindicator, gyrorepeater
andspeed
minimumkeyboardDisplay(MKD) todisplayAIS
target information
speedinformation
VHF communication(Navtex, VHF DSC)
propulsionstatusdisplays
steeringandenginecontrol
steeringstatusdisplays
alarm information presented on the individual
equipment
chart tablewithpaper charts.
Table1. Samplesof SA questions.
Level Question
Perception What isthecurrent positionof
your vessel?
What isthecourseof theblue
highlightedvessel?
Comprehension What isthedistancetothenext
waypoint?
What isthedirectionof thecourse
changeof thehighlightedvessel?
Projection What istheCPA of thebluehighlighted
vessel?
Inhowmanyminuteswill youreach
thepilot station?
3 SAGAT
SituationAwarenessisgenerallyunderstoodas"know-
ing what is going around you". Within the research
communitythedefinitionof Endsley(1995) hasbeen
widely accepted in various domains. In acognition-
oriented approach, the model considers three levels
andincludes:
perceptionof elements,
comprehensionof themeaningof theelementsand
thesituation, andthe
projection of the status of the elements and the
situationintotheimmediatefuture.
According to this model, decision making and
performanceisinfluencedbySA.
TheSituationAwarenessGlobal AssessmentTech-
nique(SAGAT)isprobablyoneof themostwell known
SA measuringtechniques(Endsley2000). It provides
anobjectiveexplicit measureof SA by directly com-
paringtheoperatorsSA toanoperational scenario.
With this technique, asimulation is frozen at aspe-
cific time, thesystemdisplays areblankedwhilethe
operator quickly has to answer questions concerning
thescenario.Temporaryfreezesinthesimulationmust
beof ashort duration to minimiseintrusiveness and
memory decay. To get an accurate measure of the
operatorsSA theSAGAT probesmust cover all three
levelsof SA andmust bereflectiveof awiderangeof
theSA requirements. Thesearedelineatedthrougha
goal-directedtaskanalysis.
Themethod originally was developed for theavi-
ation domain (e.g. Endsley 1990, Strater & Endsley
2000) and has been applied in identical or modified
formsinotherdomains.Presently,itwasadaptedtothe
marinedomain(Motzetal.2008).Asampleof SAGAT
probesfor marineapplicationisshowninTable1.
SAGAT can be a useful tool to evaluate system
design.SAGATcanprovideaformof diagnosticinfor-
mationthatindicateshowatechnologysdesigncould
improveor weakenanoperatorsSA whencompared
to a baseline technology. This information can then
198
beusedtorefinedesignconcepts. For theergonomic
evaluation of the task- and situation orientated pre-
sentation of navigational information on INS it was
consideredto usetheconcept of situationawareness
measuredwithSAGAT.
Questionsrelatedtoperception of elements (level 1)
refer to the status of own ship as well as dynamics
of relevant objectsintheenvironment. A mariner has
topossess correct informationof ownship(position,
route, courseetc.) aswell ascorrectinformationabout
targets(speed, distanceetc.).
Questions related to comprehension of meaning
(level 2)gobeyondsimplybeingawareof theelements
that are presented. An understanding of the signifi-
canceof thoseelements inlight of mariners goals is
included. For example, amariner must quickly deter-
minethosetargetswhichposeathreat andeventually
demandoperatoractiontomediateathreatorobstacle.
Questions related to projection of the near future
(level 3) refer to future actions of the elements in
the environment. This is achieved through knowl-
edgeof thestatus and dynamic of theelements and
acomprehensionof thesituation.
4 EXPERIMENT
4.1 Subjects
26 experienced mariners (masters, navigational offi-
cers, pilots)participatedinthetrials.Therequirements
for subject recruitment were:
atleasthalf ayearexperienceasofficerof thewatch
(OOW)
the mariners must have navigated a vessel in the
last four years
or working actively as navigational simulator
instructors.
4.2 Hypotheses
It was hypothesized that navigating with INS bridge
designleadstohigher SA scoresthannavigatingwith
traditional bridge design. This effect might be more
distinctiveunder difficultconditionslikereducedout-
side view when fog prevails than under good view.
In thecaseof bad navigation conditions also mental
workloadmaybeincreased.
4.3 Experimental design
A 22factorial designwithtwo within-subject fac-
tors was used. Thefirst within-subject factor bridge
design variedonthetwolevels:
traditional configuration
INSconfiguration.
Thesecondwithin-subjectfactorvisibility variedon
thetwolevels:
goodvisibility
reducedvisibility(fog).
Figure2. Controllingcomponentsof experiment.
Dependent variables were SA and NASA-TLX
scores(Hart & Staveland1988).
A 22 repeated measures ANOVA (Analysis of
Variance) model withthewithinsubjectfactorsbridge
design andvisibility wereemployedto analysethese
data. Asdependent variablestherelativefrequencyof
correct answers representingtheSA scorewereana-
lyzed. ForworkloadtheNASA-TLX scoreswereused.
All statistical interpretations were considered at the
5%level of significance.
4.4 Experimental control
The experiment was carried out in the ships bridge
simulator with the two bridge designs described in
Section2.
Tocontrol thepresentationof SA questionsonthe
bridge, tologtheanswersof thesubjectsandtomoni-
tor thevesselsinvolvedinascenarioanexperimental
controllingprogramwasdevelopedbyResearchInsti-
tutefor Communication, InformationProcessingand
Ergonomics.Theprogramconsistsof thequestionpre-
sentationmodule,thenautical chartmodulepresenting
thegraphical informationfortheSA questionsandthe
experimental control module (see Fig. 2). The three
different modules werelocated on different comput-
ersinthenetwork. Whereasthenautical chartmodule
and thequestion presentation modulewereinstalled
onthenavigational bridgeof thesimulator, theexper-
imental control modulerunsonaPC inthesimulator
control room.
Theexperimental control modulefulfilledthethree
main tasks processing of simulator output, target
control andcontrol of SA questioning.
The experimental control module read and pro-
cessedthedataof ownships GPS output signal and
theAIS signals of the other vessels provided to the
navigational equipment (e.g., theradar, ECDISor the
MKD) onthebridge.ThisallowedtheSA questionsto
beposedusingreal-timedata. Therefore, thesoftware
offeredthepossibility to showduringthesimulation
themovement of ownshipsandtheother vesselsona
chart backgroundandto offer suggestions to change
thecourseor speedof thevesselsincaseof courseor
speed alterations of theown ship in order to present
199
the SA questions in similar traffic situations for all
participants.
4.5 Presentation of SA questions on the bridge
Whenthescenarioswerefrozen topresent thesub-
jectstheSA questions, thesimulationwassuspended,
all task relevant information was removed fromthe
navigational equipment onthebridgeandtheoutside
viewwasblanked.TheSA questionswerethenadmin-
istered on two displays on the bridge. Whereas on
oneof thedisplays thequestions werepresented, on
theother displayadditional graphical informationfor
certainquestionsweredisplayed(seeFig. 2).
ThisofferedthefourtechniquestoasktheSA ques-
tions, depending on the topic, complexity and the
easiest waytopresent andtoanswer thequestions:
numeric open-end questions: Questions appeared
onthequestiondisplayasnumericopen-endques-
tions, e.g., what is your heading after the next
waypoint. Nographical informationwaspresented
onthegraphical informationdisplay.Toanswer the
questionsthesubjectshadtotypeintherightanswer
andthentoclickonthecontinuebuttontoproceed
withthenext question.
open-end questions with graphical answer: The
questionafterthepositionof thevessel appearedon
thequestiondisplayasopen-endquestion(instruc-
tion) and had to be answered on the graphical
informationdisplaybyclickingonthechart back-
ground.
numeric open-end questions with additional graph-
ical information: Questionsappearedontheques-
tiondisplayasopen-endquestionswithadditional
informationpresentedonthechartof thegraphical
informationdisplay, e.g., thetarget involvedinthe
question. Toanswer thequestionsthesubjectshad
to type in the right answer and then click on the
continuebuttontoproceedwiththenext question.
multiple choice questions with additional graphi-
cal information: Questions appearedontheques-
tion display as multiple choice questions and on
thegraphical informationdisplay questionrelated
information was presented on the chart back-
ground. To answer thequestions thesubjects had
to select theright answer andthento click onthe
continuebuttontoproceedwiththenext question.
A preliminaryquestion-pool of about 70questions
had been developed referring to the navigation of
thevessel focusingonroutemonitoringandcollision
avoidance. Thequestions wereevaluatedin pre-tests
whichhadtheaimof selectingthemostrelevantques-
tions, of testingthecontentandunderstandability, and
toreducethenumber of questionsresultinginaset of
16questionsonthreelevels(seeTable1forexamples).
4.6 Traffic scenarios
The SAGAT approach required the development of
realistic scenarios based on specific criteria, e.g.,
course change of own ship, navigational hazards,
Figure3. Singaporescenarioat thefirst freezing.
traffic density, and interest/danger of targets. The
criteriafor trafficdensityandinterestof targetsare:
total number of targets 20
number of targetswithina3NM range 10
number of targetswithina3NMrange: closequar-
ter targets (CPA: 0.51.5NM); with a collision
course, overtaking own ship or overtaken by own
ship 5
number of targets, whichcauseareactionbecause
of collisioncourse 1.
On the basis of these criteria four traffic scenar-
ioswithdurationof 21.525minutesweredeveloped,
as well as one familiarization/habituation scenario.
To ensurethat theprevious knowledgeof traffic and
of the sea area doesnt influence the results (i.e. a
learningeffect wascontrolledfor), thescenariosrep-
resent different traffic situations for the J uan de
Fuca Strait/Strait of Georgia (familiarization sce-
nario),EnglishChannel andSingapore.Figure3shows
oneSingaporescenarioatthetimeof thefirstfreezing.
Inthepre-trialsthetrafficscenarioswereevaluatedin
respect torealism, relevanceandcomplexity.
4.7 Experimental procedure
Theexperimental procedurehadfivesteps.
Inthefirststeptheexperimentwasintroducedtothe
subjects inabriefingoutsidethesimulator. Subjects
hadtocompleteapersonal datasheet, whichwasused
togather datalikecurrent occupation, yearsof expe-
rience as mariner, and age, and the intention of the
experiment and general description of experimental
set upweredescribedtothesubjects.
In the second step subjects were familiarized in
the simulator with the experimental procedure and
thebridgeequipment. TheINS designandthetradi-
tional layoutwereexplainedindetail andtheprocedure
with thepresentation of scenarios and thefollowing
interruptionsfor SA questioningwereexplained.
In the third step familiarization trials were con-
ducted, onefamiliarizationtrial foreachbridgelayout.
The purpose was to familiarize the subject with the
200
navigationof thevessel withthedifferent bridgelay-
outs, withtheexperimental procedureof thefreezings
andwiththedifferenttypesof SAquestions.Thefamil-
iarizationtrials werecarriedout without motionand
withgoodvisibilityfor all trials.
Inthenext stepthefour scenarios werepresented
to thesubject inarandomizedorder. Thetask of the
subject was to navigate a vessel in traffic situations
of varying density with either good or reduced visi-
bility. In thetrials awatch hand over was simulated
sothat thefirst 10minutes of eachscenariothesub-
ject monitoredandevaluatedthetraffic situation. An
instructor was fulfillingtheroleof theofficer of the
watchfor thefirst10minutes.After thehandover, the
subject wasinfull control of thevessel. Aninstructor
remainedonthebridgeandactedasboththehelmsman
andthemaster. Thus, asthehelmsman, theinstructor
performed any changes in speed and course and as
master, todenyinappropriatedecisionsof thesubject
that might disrupt thewholeexperiment.
During each scenario there happened four freez-
ings inwhichtheoutsideviewandthedisplays were
blanked and the SA questions were asked. The first
freezing was conducted at the watch hand over and
the last at the end of the scenario. Same questions
wereaskedforall treatments,16questionsperscenario
dividedinto4groupsof 4questions.
At the end of each scenario the NASA-TLX rat-
ing scale was completed. Following the collection
of all four scenarios the NASA-TLX rating paired
comparisonsquestionnairewerecompleted.
Thedurationof asimulationtrial (4scenariosand
habituation) per subject wasbetween190to220min-
utes, depending on the time each subject needed to
become familiarize with the bridge equipment. The
trialswerecarriedout withmotion.
After thetrials aSAGAT debriefingquestionnaire
andaINSquestionnairetoevaluatecertainaspectsof
anINS layout wereadministeredto thesubjects ina
separateroom.
5 RESULTS
5.1 Main results
Thecentral questionsof theexperiment werefocused
on the impact of the independent variables, bridge
design and visibility, on situation awareness. The
meansof frequenciesof correctlyansweredSA ques-
tionsareshowninFigure4.Theresultsof theANOVA
for thewithin subject factors bridge design and vis-
ibility show a significant main effect for the factor
bridge design (F
1,25
=4.88,p<0.05)andasignificant
interactioneffect betweenbridge design andvisibility
(F
1,25
=6.94, p<0.05). No significant effect for the
factor visibility (F
1,25
=0.94, p>0.3) couldbefound.
The analysis of variance executed for the over-
all workload, defined by the total score of NASA-
TLX, does not result in significant differences for
thetwomaineffectsvisibility (F
1,25
=3.57, p=0.07)
and bridge design (F
1,25
=1.01, p=0.32) or for the
Figure 4. Dependency of SA from bridge design and
visibility.
Figure 5. Means of frequency for the added value of an
INSbridge.
interaction(F
1,25
=0.13, p=0.72). But astrongten-
dencycanbeseenthattheINSproduceslessworkload
thanatraditionallydesignedbridge, andreducedvis-
ibility is responsiblefor higher workload. Although,
tendencieswerefoundfor thesubscalesperformance
and effort favoring theINS bridgedesign especially
under theconditionof reducedvisibility.
Results from the INS questionnaire support the
empirical datacollectedinthis study. Ingeneral, the
majority of the subjects (93%) preferred the INS
bridgedesigncomparedtotraditional design.Thepar-
ticipantswhopreferredthetraditional bridgegaveas
reasonsthattheyaremoreusedtothetraditional design
andthat theINS designprovides too muchinforma-
tion. Asaddedvalueof anINSalmost all participants
chose the answer the combination of information
(see Fig. 5). Half of the respondents selected the
integrityof data (meaningthepossibilitytocompare
automatically data fromindependent sources). Less
oftenselectedisthehigher qualityof information.
5.2 Post-hoc analysis
Thedefinitionof SA specifiesahierarchical structure
with three levels (see Section 3). Questions for the
firstlevel arepreconditionsforansweringquestionson
level 2and3. Followingthishierarchical organization
leads to theassumption that questions of level 1 are
answered correctly moreoften than questions of the
higher levels.
201
Figure6. Dependencyof SAfrombridgedesignonthethree
SA levels.
Inthepost-hoc analysis thefactor level of SA was
included. A 223ANOVA withthefactorsbridge
design, visibility andlevel of SA aswithinsubjectfac-
torswasperformedtotest theassumptionwhichwas
justifiedbyasignificantmaineffectof thefactorlevel
of SA (F
2,50
=43.47, p<0.001).
A pairwisecomparisonswithBonferroni correction
of thethreeSA level scoresshowasignificant higher
scorefor level 1comparedtolevel 2andlevel 3, but
no differencebetweenthelatter two. InFigure6the
meansof frequenciesof correctanswersforthe3levels
of SA areshownfor conditionreduced visibility.
SA level 1 (perception) had a greater score than
SA levels 2 and 3 (comprehension and projection),
suggesting that the application of SAGAT in this
maritime-related research was a valid approach to
assessglobal SA.
6 CONCLUSIONS
Theresultsindicatethatbridgedesignhasasignificant
impactonthedegreeof situationawareness,ashypoth-
esized. SA issignificantlyhigher withtheINSbridge
designinthereducedvisibilityconditioncomparedto
thetraditional bridgedesign. IngoodvisibilitytheSA
issimilar withbothbridgedesigns. Marinershaveto
relymoreoninformationsystemswhennavigatingin
reduced visibility conditions. It can behypothesized
that not only reducedvisibility but detrimental navi-
gational conditions, ingeneral, may reduceSA when
navigatingwithtraditionallydesignedbridgesbut not
with INS. These considerations also apply to work-
loadinthesensethat stressinducingwork conditions
can influence total workload and subdimensions of
NASA-TLX likeperformanceandeffort whenusing
traditional bridgedesign.
Further experimentsarerequiredcomprisingmore
difficult navigation surroundings, e.g., higher traffic
density, morechallengingnavigationtasks, highstress
inducingwork environment, to confirmandsharpen
theseexperimental findings.
REFERENCES
Endsley, M.R. 1990. A methodology for theobjectivemea-
surementof situationawareness. InSituational Awareness
in Aerospace Operations (AGARD-CP-478): 19. Neuilly
sur Seine, France: NATO- AGARD.
Endsley, M.R. 1995. Towardatheoryof situationawareness
indynamicsystems. Human Factors 37: 3264.
Endsley,M.R.2000.DirectMeasurementof SituationAware-
ness. In M.R. Endsley & D.J. Garland (eds.), Situation
AwarenessAnalysis andMeasurement:147-173.Mahwah,
NJ : LawrenceErlbaumAssociates.
Hart, S.G. & Staveland, L.E. 1988. Development of NASA-
TLX (TaskLoadIndex): Resultsof empirical andtheoret-
ical research. InP. Hancock&N. Meshkati (eds.), Human
Mental Workload: 139183. Amsterdam: NorthHolland.
navigation systems (INS). MSC.252(83). London: Inter-
Motz, F., MacKinnon, S., Dalinger, E., Widdel, H. 2008.
Application of SAGAT for Navigational Tasks on Ship
Bridges. International Maritime Conference/ABCD Sym-
posiumon Human Performance at Sea. Sydney,Australia.
Strater, L. &Endsley, M.R. 2000. SAGAT-A situationaware-
ness measurement tool for commercial airline pilots.
In D.B. Kaber & M.R. Endsley (eds.), Proceedings of
the first human performance, situation awareness, and
automation: User-centered design for the newmillennium
conference: 360. Savannah, GA.
202
5.3
Theproblemof infant mortality failuresof integratednavigationsystems
S. Ahvenjrvi
Satakunta University of Applied Sciences, Rauma, Finland
ABSTRACT: Thispaperdealswiththeproblemof highfailurerateoftenexperiencedonshipsthatareequipped
withanewintegratednavigationsystem. Theseinfant mortality failuresof thenavigationsystemcanforma
significantrisktothesafetyof theship, asthehistoryhasshown. Someaccidentscausedbythistypeof failures
arebriefly discussed. Thepaper highlightssomefactorsthat promotethisproblem. Oneof themost important
factors is thelowdegreeof standardisationof thebridgesystems. Another factor is theincompleteness of the
self diagnosticsof anewsystem. Theroleof theself diagnosticsiscrucial incopingwithfailures, becausethe
redundancyof thenavigationsystemsistypicallybasedonmanual activationof theback-updeviceor function.
Thenecessarycorrectiveactionbytheuser canbedelayedtoomuchif theself diagnosticsof thesystemisnot
abletodetect thefailure. Proper testingof thenewsystemduringtheharbour trialsandtheseatrialsaswell as
utilisationof efficient failureanalysestechniquesisimportant for reducingthesafetyrisk causedbytheinfant
mortalityfailures. Intheendof thepaper, somepractical experiencesof usingFMECA andHAZOP analysisin
thedevelopment of theintegratednavigationsystemof alargecruisevessel arepresented.
1 INTRODUCTION
Thebathtubcurveisawidelyusedfiguretodescribe
the failure rate of a product during its lifetime. The
curveconsists of threephases: theinfant mortality
period, thenormal operating period and thewear
out period, seeFigure1. This kind of failurecurve
is typical for complicatedtechnical systems, suchas
cars, consumer electronics and computer hardware,
for instance. The high failure rate in the beginning
of the lifetime of a complicated automation system
is mainly explained by the existence of latent soft-
wareerrors. Thefrequencyof software-basedfailures
is high in thebeginning, but it decreases throughout
thelifetimeof thesoftwareproduct, as illustratedby
theyellowlineFigure1.Theexplanationisthatapiece
of softwaredoes not wear out or fail, but all failures
or malfunctions arecausedby latent softwareerrors,
Figure1. Thebathtubcurve.
or bugs. Therearemorebugsinanewsoftwareprod-
uct, but astheproduct getsolder, thelatent errorsare
graduallybeingfoundandcorrected. Providedthatthe
softwareupdatesaremadecorrectly, i.e. newerrorsare
not createdwhensoftwarebugsarebeingeliminated,
thefailureratesteadilydecreases.
It canbeassumedthat thefailureratecurveof an
IntegratedNavigationSystem(INS) of ashiphasalso
the shape of a bathtub during its lifetime. There is
someevidenceabouthigher failureratesof newINSs,
althoughextensivestatistical dataseemsnot beavail-
ableabout this matter. After 1994onFinnishwaters,
therehavebeenseveral groundingscausedbyafailure
or amalfunction of thenavigation and steering sys-
temof theship [1]. Almost all thesystems involved
werenewandthefailuresfell inthecategoryof infant
mortalityfailures.
Therearefactors that seemto promotetheinfant
mortality problemof INSs of ships. Thefirst oneis
thelackof standardisation.TheINSsof shipsaretypi-
callytailor-made. Theriskfor unknownfailuremodes
andunknownsoftwareerrorsinsuchsystemsishigher
thaninstandardised, maturesystems. Gradually, asthe
unknownfailuremodesarefoundandeliminated, the
failureratedecreases.Whentheshipanditsnavigation
equipmenthavepassedtheinfantmortalityperiod, the
probabilityof anaccident duetounknowndangerous
faultsdecreases.
2 SOMEACCIDENT CASES
Afaultof acritical componentof thenavigationsystem
of theshipwastheinitial causeof thefollowingfive
203
real accident cases: Groundingof thepassenger ferry
M/SSiljaEuropaintheSwedisharchipelagocloseto
StockholminJ anuary 1995, groundingof thetanker
shipM/T Naturainfrontof SkldvikinOctober1998,
groundingof thero-ropassengerferryM/SFinnfellow
inlandinApril 2000andthegroundingof thepas-
senger ferryM/SIsabellainlandinDecember 2001
andthegroundingof M/SRoyal Majestyclosetothe
eastcoastof theUSAinJ une1995(OTK,1995;NTSB,
1997; OTK, 1998, 2000and2001).
A remarkablefeatureabout thesefivecasesisthat
thefailedequipmentwasrathernew. M/SSiljaEuropa
was constructed less than two years beforetheacci-
dent. M/SRoyal Majestywasconstructedthreeyears
priortotheaccident. M/T Naturawasconstructedfive
years prior to the accident. The compass systemof
M/SFinnfellowwasupgradedonly13monthsbefore
the accident. The INS of M/S Isabella had been
renewedaroundsixyearsprior totheaccident. Sothe
averageageof thefailed equipment was around 3,5
years, whichisnotmuchwhenitiscomparedwiththe
typical lifetimeof aship, 25to30years. Sothecriti-
cal faultsof thefiveaccidentcaseswerenotcausedby
ageingor wear out, but bytheinfant mortality of
theequipment.ThisapplieseventotheRoyal Majesty
case: Althoughtheoriginal fault, i.e. separationof the
signal cablefromtheGPSantenna, canbeconsidered
arandomfailure, theother factorsfall intotheinfant
mortality class.
3 FACTORSTHAT PROMOTETHE PROBLEM
OF INFANT MORTALITY FAILURES
A critical fault in the INS of a ship represents a
highsafety risk especially inrestrictedwaters andin
areaswithhightrafficdensity.Thesouth-westcoastof
Finland, for instance, is surrounded by a wide
archipelago area. Navigationonthesewaters is very
demanding. InFigure2, thereisasamplefromthesea
chartof thearchipelagoareaclosetothecityof Turku.
Thefairways arewindingwiththeminimumfairway
breadthonlyca. 150metres.
In this area, the available time margin to avoid a
grounding after a critical failure can be only a few
seconds. For instance, thegroundingof thero-ropas-
senger shipM/S FinnfellowinApril 2000took place
only 85 seconds after a fatal gyro compass failure.
Even though thedeck officers noticed theabnormal
turningof theship30secondsafter thefailure, it was
toolatetoavoidthegrounding(OTK, 2000). Figure3
shows theposition of theship only 90 seconds after
thefailure!
Therisk of anaccident causedbyunknownfailure
modes is highwhenrecovery of thefailureis depen-
dent on proper corrective action of the user. This is
still the case in most of the new INS installations.
Theuser has to activatetheback-up deviceor func-
tionif theactiveunitfails. Inorder tobeabletodoso,
theuser hastobeawareof theoperational statusand
condition of thesystemand its critical components.
Figure 2. A sample of the archipelago of the south-west
coast of Finland.
Figure3. Positionof M/S Finnfellow90seconds after the
critical compassfailure(OTK, 2000).
The self diagnostics of the systemis crucial for the
user tomaintainthesituationawarenessandtobeable
toreactquicklyandcorrectlytofailures. Itcanbeseen
quiteeasilyfromthepastaccidents, thattheuserof the
INScanhaveseriousdifficultiesinregisteringafail-
ureinthesystem, if thesystemdoesnotgiveanyalarm
about thesituation. Thefailuredetectiondelaycanin
somecasesbeextremelylong, aswasintheM/SRoyal
Majestycase.
Theusersdependencyontheself diagnosticsmakes
unknowninfant mortality failuremodes especially
dangerous, becausetheyhavenot beenanticipatedby
thesoftwareengineer whodesignedtheself diagnos-
ticsof thesystem. Inother words, anunknowninfant
mortality failurewill probablynot causeanimmedi-
atealarm. It is interestingthat actually thedesigners
of thesystemmakeadoubleerror whenthey do not
recogniseadangerousfailuremode: nomeasureswill
betakentoeliminatethefailuremodeinconcernAND
it will not beensuredthat theself diagnostics of the
systemisabletodetect thefailure.
204
Poororincompleteself diagnosticsisatypical prob-
lemof newtechnical systems. Developmentof proper
self diagnosticsisexpensiveandit maybeoneof the
lastthingstobedevelopedtoanewproduct.Theweak-
nesses of the self diagnostics may become apparent
to the user and to the manufacturer years after the
commissioning of thesystem. Nancy Leveson states
that the carefulness in designing and testing is too
oftendirectedtothenormal operationof thesystem,
whiletheunexpected and erroneous states get much
less attention (Leveson1995, p. 400). Thedevelop-
mentof thisimportantareaof systemsafetyneednew
regulationsaboutself diagnostics, forinstancedemon-
strationof thecompletenessof theself diagnosticsas
apart of thetypeapproval procedures.
Thedisability of thesystemto detect failures and
malfunctions, i.e. the deficient self diagnostics, is a
serious weakness of new INSs. Increasing complex-
ity of thesystems andtherelatively short lifetimeof
product generations seemto promotethis weakness.
Anotherfactoristhelackof standardisation.Inorderto
makethedetectionof abnormalitiesquickandreliable,
therehas to bemuch knowledgeabout thestructure
and operation of theindividual parts and devices of
the system, and a lot of practical knowledge about
the use and the operation of the system. Fulfilment
of theserequirements is difficult without better stan-
dardisationof INSsystems. Itisawell knownfactthat
theINSsaretoooftentailor-madeentities. Evensister-
shipsaretoooftenequippedwithdifferentINSsetups.
However, inorder toreducethesafety risk causedby
infantmortalityfailures,thatkindof tailoringshould
bestopped. Fromthispoint of view, it wouldbeideal
if therewereonly very fewalternativesystemsetups
availableonthemarket. Moreover, theINSmanufac-
turersshouldmakethelifetimeof aproductgeneration
aslongaspossible. Unfortunately, duetothecompeti-
tion(obviously), themanufacturers tendtointroduce
new product generations more and more frequently.
That is awrong strategy for reducing thesafety risk
causedbyinfant mortality failures.
4 WHAT CANWE DOABOUT IT?
Alternativemethods to reducethesafety risk caused
byinfant mortality failuresof INSswouldbe
1. toincreasethelifetimeof INSproduct generations
2. toimprovestandardisationof INSs
3. to require better testing of new products from
INSmanufacturers, includingthedemonstrationof
completenessof theself diagnostics
4. tomaketheINSsmorefault tolerant
5. to apply different failureanalysis methods to new
systemsprior commissioning
The first method is difficult to accomplish. The
competitiononthemarketseemstoforcethemanufac-
turerstointroducenewinnovativesystemgenerations
everyotheryear.Ascustomers,arewehappyaboutthis
situation?Wouldweprefer afullytested, reliableINS
insteadof abrandnewsystemwithall latestfeatures
and with all thoseinfant mortality problems? The
customers must realisetheimportanceof this matter
andaskfor reliabilityrather thanfor newarchitecture
or newfunctions. Wouldit beagoodideatoestablish
awww-basedfailureregister for theINSproductson
themarket. Thedatabasecouldbemaintainedby all
users of theINSs. It could givethecustomers some
ideaabout thereliability of different products onthe
marketandhencemakethereliabilitymoreimportant
alsofor themanufacturers.
The second and the third method would require
newregulationsfromtheinternational shippingcom-
munity. The new concept of e-navigation should be
used for this purpose. Thorough failure mode test-
inganddemonstrationof thecompletenessof theself
diagnostics should be included in the type approval
testrequirements. Introductionof newsystemgenera-
tionswouldbecomemoredifficult, whichwouldalso
support theincreaseof product lifetimes.
The fourth method would consist of automatic
recoveryfunctionsinfault situations. Thisisthemost
powerful method to reducetherisk of accidents due
to a single failure in the system no matter if it
was an infant mortality failure or something else.
Automatic redundancy has beensuccessfully applied
in many areas of safety critical automation, such as
dynamicpositioningof offshorevesselsandautomatic
flight management of modernpassenger aircrafts.
Thefifthmethodisalreadyinuse. Thedifficultyin
makingproper failureanalysis for anewINS is that
themanufacturer hasgotthebestandthemostimpor-
tant information about the system. It is well known
that theall failureanalysismethods, suchastheFail-
ureMode, Effect andCriticalityAnalysis (FMECA),
isverymuchdependentonthequalityof thedataabout
thetechnical structureandthesoftwareof theanalysed
system. Inpractise, themanufacturer istheonlyparty
that possesses this information and thus can makea
goodandcomprehensivefailureanalysisfor theprod-
uct. Theauthor of thispaper hascoordinatedrecently
twofailureanalysisprojectsfor largeINSsystemsof
passenger cruiseships(seeAhvenjrvi, 2005). These
projects confirmedthat themanufacturer of thesys-
tem, indeed, plays the key role in analysis of a new
product. It turned out that an FMECA made by the
manufacturer(s) and commented by theshipyard/the
owner of theship, combinedwithaHazardandOper-
abilityAnalysis (HAZOP) cangiveuseful results for
reducingtherisk of anaccident duetounknownfail-
uremodes. Theproblemof thesemethodsisthat you
cannever know, if all failuremodes or evenmost of
them havebeendetectedintheanalysis. Actuallyit
isunrealistictoassumethatall possiblefailuremodes
have been found by using these techniques. Suokas
et al. (1988) studiedthevalidity of different methods
of identifyingaccident contributorsinprocessindus-
try systems. Thestudy showedrelatively lowvalidity
figures for the FMEA, only 17% of contributors of
hazardscouldbeidentifiedbyapplyingFMEA. Other
205
methods werenot better thanFMEA. Thus it canbe
assumedthat eventhecombineduseof FMECA and
HAZOPwouldcoverlessthanhalf of all potential fail-
uremodes, i.e. theother half of theinfant mortality
failureswouldremainunpredicted.
5 CONCLUSIONS
A brandnewINSwithupdatedarchitectureandanew
software with the latest innovations is not necessar-
ily thebest choicefor aship, especially if it will be
sailing in areas with narrow fairways or dense traf-
fic. A newsystemsuffersfromtheinfant mortality
failurephenomenondiscussedinthispaper.Theprob-
lemisacombinationof threefactors: increasedfailure
rate(duetohardwarefailuresandsoftwareerrors) in
thebeginning of theoperational timeof thesystem,
unknownfailuremodesandincompletenessof theself
diagnosticsof thesystem. Astheresult, theuser may
lose the control of the situation, if a failure hits the
systemandit isnot capableof givinganalarmabout
it. Therisk of anaccident is highif thetimemargin
tomakeacorrectiveactionisshort. Several accidents
havetakenplaceduetothiskindof infantmortality
failure.
Obviouslythemostpowerful methodstoreducethe
riskof thiskindof accidentsistomakethelifetimeof
product generationslonger andbyplacingmorestrict
requirements for testing of newsystems beforethey
canbetakeninto use. Standardisationwouldalso be
auseful way tolimit thenumber of different typesof
INSsandhencetoreducetheriskof unknownfailure
modes.Thesemethods, however, requireinternational
cooperationandnewregulations. Perhapsaweb-based
failuredatabasecouldalsobeuseful toencouragethe
systemmanufacturerstoput ahigher priorityonreli-
abilityandsafetythanonintroductionof newfeatures
andnewdesign as frequently as possible. Risk eval-
uationtechniques, suchas FMECA andHAZOP can
alsobeusedtoanalysepotential failuresof anewINS,
butitshouldberealisedthatevenagoodanalysiswill
cover only afractionof all possibleunknownfailure
modes.
REFERENCES
Ahvenjrvi, S. (2005). FailureAnalysis of The Navigation
andSteeringSystemof Freedomof theSeas, paper at the
125th Anniversary Conference of MaritimeTraining in
Rauma, October 67, 2005
Leveson,N.(1995).Safeware,Addison-WesleyPubCo.USA
National TransportationSafetyBoard,NTSB(1997).Ground-
ing of the Panamanian passenger ship Royal Majesty on
Rose and Crown shoal near Nantucket, MA, June 10, 1995
(MarineaccidentreportNTSB/MAR-97/01).Washington
DC: NTSB
Onnettomuustutkintakeskus, OTK (1995): TheGrounding
of the M/S SILJA EUROPA at Furusund in the Stock-
holmArchipelagoon13J anuary1995.ReportN:o1/1995.
Onnettomuustutkintakeskus, Helsinki.
Onnettomuustutkintakeskus, OTK (1998): M/T NATU-
RANkarilleajoEmsalonedustalla13.10.1998. ReportC
8/1998.Onnettomuustutkintakeskus,Helsinki.(inFinnish)
Onnettomuustutkintakeskus, OTK (2000): M/S FINN-
FELLOW, Grounding near ver in Aland, April 2,
2000. Report B 2/2000 M. Onnettomuustutkintakeskus,
Helsinki
Onnettomuustutkintakeskus, OTK (2001): Matkustaja-
autolautta ISABELLA, pohjakosketus Staholmin luona
Ahvenanmaalla 20.12.2001. Report B 1/2001. Onnetto-
muustutkintakeskus, Helsinki. (inFinnish)
Palady, P. (1995). Failure Modes and Effects Analysis, PT
PublicationsInc, West PalmBeach, USA
Suokas, J. & Pyy, P. (1988). Evaluation of the validity of
four hazard identification methods with event descrip-
tions. ValtionTeknillinenTutkimuskeskus(VTT). Espoo,
Finland.
206
5.4
CRM-203typeFrequencyModulatedContinuousWave(FM CW) radar
S. Plata
Telecommunication Research Institute Ltd., Gda nsk, Poland
R. Wawruch
ABSTRACT: Paper presents description of theprincipleof work, structureand basic technical parameters
of theMaritimeCoastal SurveillanceFrequency ModulatedContinuousWave(FMCW) Radar CRM-203type
constructed by Telecommunication Research Institute Ltd. in Gdask. Results of its tests in real conditions
andcomparisonwithpulseshipradars withscanners installedinthesameplacewill bepresentedduringthe
conference.
1 INTRODUCTION
The CRM-203 type Coastal Surveillance Radar is
solid state Frequency Modulated Continuous Wave
(FMCW) sensor withlowtransmissionpower. Oneof
themost significant parameters of this coastal appli-
cation is small targets detection possibility in heavy
seaclutter conditions andhighrangeresolution. The
requirements performFMCW technology, which is
rapidlyadvancingrecently. Fullysolid-statetransmit-
ter design (due to the low radiated power) ensures
excellent Mean Time Between Failure (MTBF) and
practical without servicecontinuousoperation.
FMCW transmitter produces aconstant amplitude
linear frequency modulated signal. The principle of
FMCWradar ispresentedonFigure1.
Radar signal istransmitted, reflectedbythesurface
of thetarget andthenreceivedafter adelaytime:
where: c=speedof light; andR=distance.
transmitter receiver
f
min
f
max
T-
-T/2 T/2 0
f(t)
Figure1. Principleof FMCWradar.

Thedifferencebetweenthetransmittingandreceiv-
ingfrequencyf
R
isdirectlyproportional tothedistance
and is used to further FFT processing (Wawruch &
Stupak2008):
where: f =frequencydeviation; andT=modulation
period.
Frequency Modulated Continuous Wave technol-
ogyofferslowprobabilityof interceptfeaturebecause
of thelowpeakpower andfrequencymodulation.
2 RADAR GENERAL DESCRIPTION
Theprimefunctionof CRM-203isdetectionandesti-
mation of planar co-ordinates for seasurfacetargets
andautomatedtrackingtheselectedones to perform
thecoastal surveillancetasks.Theradar sensor givesa
presentationof thecurrentseasituationandcalculates
thefuturesituationtoaccomplishtheautomatedradar
plottingaids.
Functional diagramof describedradar ispresented
on Figure 2. Radar sensor basically includes the
antennas integrated with FMCW transceiver, anten-
nas motor drive and Signal Processing & Control
Unit (SPCU) also including local interfaceand con-
trol circuitry. Each radar transceiver is controlled
by the SPCU which is connected to the Operations
Centre(OC).
Themainfunctionsperformedbyradar are:
selectionof theoperativemode(local or remote);
receptionfromtheOC of all controls/ commands
andselectionsneededforcompleteoperationcapa-
bility; incaseof control linefailureall thecontrols
are automatically put in a default condition in
order to guaranteetheantennarotation, theradar
207
Figure2. CRM-203functional diagram.
emissionandtheautomaticacquisitionandtracking
of targets;
processing of the radar video; compression and
transmissiontotheOC of thedigitisedvideo;
automatic or on-demand acquisition of targets
falling inside predefined automatic acquisition
zonesor acquiredbytheoperator;
automatic trackingof targets fallinginsideprede-
finedautomatictrackingareas; and
transmission to the OC, once per antenna
revolution, of status and alarms fromthe sensor
(BITE), track data(position, speed/course) of tar-
getsunder tracking.
3 ANTENNAS
CRM-203inthecoastal surveillanceapplicationhas
typical requirements as small target detection in
weather andseaclutters andhighangular resolution.
Toprovidegoodangular resolutionanarrowazimuth
beamisrequired. A narrowazimuthbeamisdesirable
toreduceresolutioncell sizefor threemainreasons:
to provide accurate bearing information on the
target;
to differentiate between targets which are close
together; and
toreduceclutter returns.
The used systemfeatures 12 feet, X-band anten-
nas with horizontal polarisation and the following
electrical parameters:
3dB horizontal beamwidth=0.7
;
3dB vertical beamwidth=22
; and
gain=32dB.
Each antennas group consists of a pedestal sup-
porting the rotating unit. The pedestal contains the
drivemechanism, therotary joint andan4096pulses
encoderfortransmissionof antennapositiondata.The
power ratingfor motor controller is1.5kW. Antennas
Figure3. Functional diagramof transceiver unit.
rotating speed is selectable between 12 and 30rpm.
The antennas group is designed to withstand severe
marine environmental conditions such as salt spray,
sunlight, sand, etc.
4 TRANSCEIVER
Functional diagramof thetransceiverunitisshownon
Figure3. Direct Digital Synthesizer (DDS) produces
a synthesized chirp (linear frequency modulated)
signal. Next this signal is up-converted by multi-
plier. Thelast stageof transmitter circuit issolidstate
power amplifier (PA), which feeds X-band / 10W
FMCW signal to antenna. Thereceiver consists of a
lownoiseamplifier (LNA), imagerejectionmixer and
intermediatefrequencyamplifier (IFA).
The DDS advantages include very fast switching
(typically sub microseconds), excellent phase noise,
transient-free(phasecontinuous) frequency changes,
extraordinaryflexibilityasamodulator,andsmall size,
among others. Frequency changes look likethoseof
aVoltageControlledOscillator (VCO) smoothand
without phase discontinuity sweep across a defined
frequency rangewithsynthesizer accuracy, but with-
out theglitches and transient produced by any other
synthesizer technique. Becauseof thesynthesistech-
niques, this characteristic is unique to the DDS and
enables it to produce a synthesized chirp. It is
very important in FMCW applications because fre-
quency modulation accuracy is directly influencing
onaccuracyof distancemeasurementsandfrequency
modulationnon-linearitydecreasestargetsdetection.
The proposed transceivers have some additional
featureswhichmakethemspeciallysuitedfor coastal
applications:
sector blanking: emission can beinhibited within
anadjustablesector,soastoavoidundesiredreturns
(e.g. landclutter);
208
Figure4. Functional diagramof signal processing.
12dB/okt. frequencycurveslopeof IFA amplifier
ensures equal intermediate frequency (IF) output
signalsfor targetsindifferent ranges; and
digital automatic receiver gain control function
ensures optimal IF signal output level, indepen-
dentlyof under detectiontargetradar crosssection.
5 SIGNAL PROCESSINGAND
CONTROL UNIT
5.1 Functional diagram
Functional diagramof thesignal processingisshown
inFigure4.
The frequency measurement performed to obtain
therangemeasurementismadedigitallyusingtheFast
FourierTransformation(FFT). SotheIF signal isdigi-
tisedandsent tothespectrumanalyser that performs
FFT. Ontheinput of thesignal processingananalog-
to-digital converter samplestheIF signal with8MHz
frequency and 12-bit resolution. Next the spectrum
analysisof thedigitisedIF signal isperformedonthe
baseof 8192-pointFFT. Attheoutputof thespectrum
analyser aperiodogrammpresenting4096rangecells
is obtained. Range cell size is 5.6mfor radar scale
range12NM.
Thesignal after thefrequency analysiscanbebest
referred as the video signal. The signal is indeed
an exact analogue of the video of pulse radar. The
rangedataoutput fromthespectrumanalyser is fur-
ther processed like in pulse radar: CFAR (Constant
FalseAlarmRatio)thresholdingandbinaryintegration
duringthedwell timeonatarget areperformed.
Spectrumanalysis
TheIF signal isanalysedusingFFT transform. The
analysis is carriedout inreal time. Theanalysedsig-
nal canbemodelledasasumof sinusoidsembedded
innoiseandclutter. InFMCW processingscatters at
differentrangesappearasdifferentconstantfrequency
components at theIF output. TheFFT responseto a
sinusoidal input reveals a main lobe and side lobes.
Thewidthof themainlobeindicatesFourier Domain
Resolution, which for CRM-203 application is very
narrowandequal 1kHz. This Fourier DomainReso-
lutionor differentlybandwidthof FFT frequencycell
isveryimportant parameter of FMCWradar, because
of detection performance. Probability of detection
dependsontheratioof thetargetreceivedsignal level
to the sumof clutter and noise. FMCW transceiver
noisepower N
i
is functionof theFFT frequency cell
bandwidth:
where: k=Boltzmans constant; T
e
=effectivenoise
temperature; and B
FFT
=FFT frequency cell band-
width.
ThisrelationshipexplainsexcellentCRM-203radar
noisepropertiesallowinglowtransmitter power.
5.2 CFAR thresholding
The radar must detect a target against a changing
background of clutter and noise. The clutter reflec-
tivityandstatisticswill generallyvarywithrangeand
direction. The problemis how to set a threshold to
provide an acceptable probability of false alarmP
fd
whilst maximising the probability of detection P
d
.
StandarddetectionstrategyistofixtheP
fd
. InCRM-
203applicationanautomatic CFAR detector is used.
Tocontrol of thefalsealarms, thedetectormustbeable
to estimatetheparameters of theprobability density
functionof theclutterandnoisereturns.A well known
methodof estimatingtheclutter meanlevel isthecell-
averaging CFAR circuit. The mean level of the cell
under testisobtainedfromtheaverageof anumber of
surroundingcluttercells.A gapbetweenthecell under
testandthesurroundingcellsismethodtoensurethat
a distant relative strong target does not contaminate
theclutter estimates. InCRM-203radar smallest off
CFAR window is taken to calculate threshold. This
strategy helps to detect small targets in neighbour-
hoodof strongclutterregion. Sizeof CFARwindowis
small soathresholdcanfollowthelocal clutter mean
andcangiveamuchbetter performanceindetection
inour case. After CFAR thebinary integrator isused
withtheM-of-N ruleinaccordancewithformulas
validfor Gaussiannoise.
TheSignal Processing & Control Unit includes a
local display facility, in order to allowlocal mainte-
nance and set-up operations. All radar controls are
available on the local panel. Moreover SPCU feeds
videosignal toRadarDisplayUnit, whichaccomplish:
videoacquisitionandprocessing;
plot extraction; and
tracking.
Track dataaresent to theOC for further process-
ing. Also plot informationcanberoutedthroughthe
samecommunicationschannel. All theradar controls,
includingthoseavailableatthelocal panel, canbealso
209
Table1. Transmitter.
Parameter Value
Output power 1mW-2W(switched)
Carrier frequency 9.39.5GHz
Frequencydeviation switchedaccordingto
therequiredscalerange:
54MHz at 6NM
27MHz at 12NM
13.5MHz at 24NM
Rangescales 0.25NM48NM
Modulation DDSbasedlinear FMCW
Sweeprepetitionperiod 1ms
Table2. Receiver.
Parameter Value
IF bandwidth 4MHz
Noisefactor 2Db
Maximumgain 120Db
Frequencycurveslope 6dB/oct; 12dB/oct; 18dB/oct.
of IF amplifier
Table3. Antennas.
Parameter Value
Antennalength 3.6m
Beamwidth(3dB) horizontal/vertical 0.70
/22
Polarisation Horizontal
Gain 32dBi
Rotationspeedmin/max. 12/30rpm
Drivemotor 1.5kW
Table4. Signal processing.
Parameter Value
FFT signal processing 8192-pointsFFT
Samplingfrequency 8MHz
Number of rangecells 4096
Signal thresholding CFAR
Signal integration binary, number of detections
dependent onantennarotation
speed
Seaclutter reduction signal correlationfrom
2antennarotations.
sent by the OC via the remote interface. The radar
continuously sends thestatus informationto theOC,
together withtarget data.
6 TECHNICAL DATA
Basictechnical arepresentedinTables17.
Table5. Displayunit.
Parameter Value
Displaysize 22inch
Resolution 12801024pixels
Acquisition automaticupto100targets
Tracking automaticof all acquiredtargets
Zones 2guardzones
Target information target number, target rangeandbearing
fromradar position, target course
Options ARPA anti-collisionfunctions
Table6. Rangeandanglemeasurements.
Parameter Value
Scalerange[NM] 12/24/48
Rangecell size[m] 5.6/11/22
Rangemeasurement 1%of selectedrangeor 50m
accuracy (whichever isgreater)
Angleresolution 0.1
Bearingaccuracy 0.7
Table7. Environmental conditions.

Parameter Value
Windoperational 30m/s
Windsurvival 50m/s
Humidity 98%, 25
C
Temperatureoperational from10
C to50
C
(insideoperatingroom) and
from30
C to50
C
(outsideoperatingroom)
Temperaturesurvival from40
C to65
C
7 RECAPITULATION
Describedradarwasinstalledintheradarlaboratoryof
theGdyniaMaritimeUniversitythisyear. Itsantenna
islocatedontheroof of theuniversitybuildingnearby
thesouthentrancetotheGdyniaHarbour. Operational
testsof theradarwill beconductedinDecember2008.
Itsdetectionpossibilities,accuraciesandcluttersresis-
tance will be checked during measurements in real
hydro-meteorological conditions.Resultswill becom-
pared with information about positions, courses and
speeds received fromAutomatic Identification Sys-
tems (AIS) installed on board detected and tracked
objects and data about these objects received at
the same time fromfour different ship pulse radars
installedinthesamelaboratory. Resultsof thesetests
will bepresentedontheconference.
REFERENCES
Wawruch R. & Stupak T. 2008. Charakterystykaradaru na
fale
cia
ga
. Prace Wydziau Nawigacyjnego Akademii

Morskiej wGdyni No. 21, p.120130.
210
5.5
Theimpact of windmillsontheoperationof radar systems
M. Dunda, V. Hume nansk, D. Draxler, Z. Csefalvay& P. Bajusz
Faculty of Aeronautics, TU of Koice, Slovakia
ABSTRACT: Thecontributionprovidessolutionstotheimpact of plannedbuildingof windmillsexertedon
theoperation of radar equipment. Themajor negativefactors involved havebeen determined and considered
as tohowtheplannedbuildingof windpower stations influences theoperationof radar systems developinga
procedureof evaluatingtheir effects.
1 INTRODUCTION
Thesubmitted contribution provides oneof thepos-
sibleapproachesof evaluatingtheimpact of building
windmills(WE)inagivenlocationexertedontheoper-
ational parametersof theradio-locationsystem(RLS).
For thereasonof providingtherequiredcoveragethe
RLS is protectedby aprotectivezoneof determined
bythedistancesandheight of plainsof theprotection
zone band. If, in the protection zone, there are any
obstacles which overlap with thedetermined planes,
thendeformationof theRLS coverageinthevertical
planemay occur resulting in theloss of radar signal
onflyingobjects.
2 LOSSOF RADIO-LOCATIONSIGNALS
RESULTINGFROM SHADOWING
The importance and acuteness of the mechanismof
anyimpactwill dependonthedesignationof RLSand
itsoperatingenvironment. Amongthemostimportant
influencesof Windmill exertedontheRLSistheloss
of signalsasaresult of shadowing.
Thetechnical dataimplytheWE hasagreat cross-
section area. In case when locating the WE in the
vicinity of the RLS results in late in its shadowing.
Figure1. Mechanismof shadowing.
Thisiswhentheradiolocationshadowisgeneratedin
thevicinity of theRLS, seeFigure1. Thedimension
of suchareasdependonthesizeandmutual distances
betweentheWE,theirnumber,distancesfromtheRLS
andthesurroundingterrain.
If the height of the obstacle at small distances
behind theWE exceeds the height of theWE, then
theinfluenceof theWE exerted on thereduction of
thedirect line-ofsight is to beneglected. If thealti-
tude(height aboveseelevel) of theobstaclelocated
beforetheWE exceedstheheight of theWE, thanthe
WE has no effect on the direct lined-of-sight of the
RLS, whichisentirelydeterminedbythedimensions
of theobstacle.
Theimplicationsof theshadowingcanbequitesuc-
cessfullyprognosedapplyingthemethodsof modeling
and simulation. At performing modeling and simu-
lation of the signal loss resulting formshadowing,
a special software can be used which is capable of
simulating the direct line-of-sight between the RLS
antennaandtheplannedWE. Advantages may result
fromthe use of such software which enable access
intothedigital model of terrainandtherebymodeling
obstaclesinit.
Theresults fromthesimulation will reveal which
windmills causeloss of radiolocation signals result-
ingfromshadowing, therebydiscardingthemfromthe
211
Figure2. Shadowingof radar signals.
construction plan. Thesuccess criterion is themini-
mally acceptableshadowingthat must not bepresent
intheareasof interest.
Theinfluenceof shadowingof aWE exertedonthe
RLSispresentedinFig. 2.
3 MEASUREDRADIO-LOCATIONSIGNALS
ASREFLECTIONSFROM WINDMILLS
Everywhere, where, theRLSisusedforlocal airports,
and Terminal control areas (TMA), the reflections
fromtheWEareof thehighestimportance. Itisdueto
thefactthatsuchreflectionsmaydivertthecontrollers
attentionandmakeit difficult for himtomonitor fur-
ther datadisplayedinthesameplaceonthemonitor
(KlimatroughBlint). Suchanimagemay also lead
to the generation of false tracks of the target which
may develop into amoreacuteproblemfor air traf-
ficcontroller.Thereflectionmaycover thetargetsand
theradio-location information on thescreen directly
over or in the close vicinity of a windmill complex
aninsomecasesmay causethelossof reflectionsof
aircraft.
WE, asspecifiedinthebasictechnical datasection,
has agreat areaof thestand, which is manufactured
fromconducting material reflecting electromagnetic
waves strikingit. Thenon-movingWE stands canbe
considered for anon-moving (fixed) target. Modern
radiolocation systems areequipped with circuits for
jamming fixed targets, so we assume that jamming
the reflections and WE stands will no longer pose
problems, provided that the RLS is operating in the
modeof fixedtargetssuppression. Themechanismof
RLS signals is presentedinFig. 3. Theprecondition
of generatingsuchreflectionsisthesufficientamount
of reflectedsignals, receivedbythereceiver antenna.
Wesupposethat falsetargets may result fromthe
reflectionsfromWE whichareindirect line-of-sight
of the radar. The fact that theWE is situated in the
vicinityof theRLSisanother precondition.
More complex problems arise in cases when the
measured signals are reflected from the propeller
Figure3. Mechanismof howreflectionsaregenerated.
Figure4. Reflectionsfromwindmills.
blades, which, inlinewiththetechnical specifications,
aredesigned to havea big area and built formcon-
ducting materials reflecting measured radiolocation
signals. Undercertainconditions, thesignalsreflected
formthepropellerbladesmaybeevaluatedbytheRLS
asmovingtargets.
Thisrateistobeprobablychangedalongtheentire
lengthof theRLS. Oneof thewaysof determiningthe
maximumwayof acceptablereflectionistheuseof so
calledprotectionmaps.
At suchasimplifiedmap, thescalesof reflections
areseeninFig. 4.
When evaluating the reflections, we will proceed
fromtheequation:
whereL arelossesoccurringatpropagationof theelec-
tromagneticenergyintheenvironment, G
P
isthegain
onreceipt, G
V
is thegainintransmission, wave-
length, R distance between theWE and the RLS,
the effective radar cross-section from which the
signal was reflected and P
V
is thetransmitter perfor-
mance.Thesuccesscriterionistermedastheminimum
tolerablerateof reflectionsfromtheWEpersquarekm
inanhour.
212
4 CONCLUSION
Theoperationof RLSisnegativelyinfluencedbyfour
mainfactors.Amongthemarethemistakesinmeasur-
ingthetargetazimuth, generationof falsetargets, loss
of signal duetoshadowinganddegradationof signal as
aresultof multi-waypropagation.Whenevaluatingall
thefour factors, thekey parameter is assignedto the
terrain cross section on theconnecting linebetween
theWE-RLS andthedistancebetweenthewindmill
andtheradiolocationsystem. If thereisnodirectline-
of-sight betweenthem, withthedistances increasing
betweenthem, theeffects of buildingtheWE onthe
RLSaresubstantiallydecreasing.
REFERENCES
Klima, J., Klime, J.:Vpo cetintenzityelektromagnetickho
pola v psmach VKV a UKV (Calculating the inten-
zity of electormagnetic field in bads of VHF, UHF).
Nakladatelstvodopravyaspojov. Prague1988.
Greving, G.: Modern Threats to Precision Approach and
Landing TheA380andWindgeneratorsandtheir Ade-
quateNumerical Analysis. Paper ISPA 2004Intern. Sym-
posium on Precision Approach and Landing, Munich
10/2004.
Dunda, M.: Simulationof measuringdistanceusingaDME
system under conditions of interference. In: Trans &
MOTAUTO 06: 13. international scientific technical
conference: 25. 28. October2006,Varna, Bulgaria.Varna:
N.Y. Vaptsarov. Naval Academy, 2006. 4p.
Blint, J.: Rizikovfaktoryvbezpenosti letovej prevdzky.
(Riskfactorsinair trafficsafety). Zbornkzmedzinrod-
nej konferencieLetectvo2006. UniverzitaobranyBrno,
2006.
Blint, J.,: Monosti vyuitia matematickch modelov v
bezpe cnosti leteckej prevdzky.(Possibilites of using
mathematical modelsinair trafficsafety.) Zbornkmedz-
inrodnhoseminraZniovanienehodovosti vcivilnom
letectve 2003. ilinskuniverzitailina, 2003, pages
3743. ISBN80-8070-070-2.
213
5.6
3DSonar for navigationandobstacleavoidance
I. Bowles
FarSounder, Inc. Warwick, USA
Z. Markowski
Escort Ltd. Szczecin, Poland
1 INTRODUCTION
Inthischangingenvironmental worldof Global Warm-
ing, energy explorationandeco-tourism, new[unex-
ploredanduncharted] watersarebeingopenedupon
aregular basis.
Herewetaketheopportunitytolookathowanexist-
ingtechnology canbeadaptedas auseful, important
andstandardpart of thebridgenavigationinventory.
FarSounder is a developer and manufacturer of
3D Forward Looking Sonar systems for use as ship
Figure1. Victimof anaccident intheice.
Figure2. Victimof thepoor navigation.
bornenavigationdevices as well as shipborne/shore
side security devices. This three dimensional sonar
technology offers a paradigmshift in how mariners
navigateonthewater byeconomically, accuratelyand
efficiently delivering to mariners the critical infor-
mationthey needto safely navigatetheir vessels. By
providingareal-time, 3Dpictureof thedepthsimme-
diately aheadof avessel, this technology canenable
marinevessel operatorstoavoidcostly, dangerousand
environmentallydamagingcollisionsandgroundings.
Theintroduction of anavigation gradesonar system
has an important equivalence to the introduction of
marineradar systemsduringthelater part of the20th
century. With theintroduction of this enabling tech-
nology, these new systems are already changing the
waymarinersnavigatethroughtheoceans.
2 CURRENT NAVIGATIONTECHNOLOGIES
Current navigation technologies, such as GPS,
RADAR and electronic charts, are widely accepted
and are now required equipment on most classes of
vessels. Until now, state-of-the-artnavigationhasbeen
to rely on historical charts, GPS systems, and depth
sounderstodeterminepositionandwater depthunder
theship. Chart dataisofteninexact ascoastlinesand
shipping channels can shift. Transient objects such
as sandbars, lost shipping containers, ship wrecks,
whales, floatinglogs andother debris arenot shown
oncharts. Additionally, many charts canbebasedon
datathatis60yearsoldormoreandpredateGPS.This
meansthatevenchartedobstaclesarenotnecessarily
wherethechart placesthem.
Whileanechosounderwill tell theshiphowdeepthe
water wasthey just passedthrough, it candonothing
towarnof thedangersahead. Theradar canonly tell
the user about objects above the water and give no
indicationof water depth.
The introduction of and use of navigation grade
ForwardLookingSonar isnot meant toreplacethese
valuabledevices, but rather toaugment themariners
boxof navigationtoolsbyofferingareal timepicture
215
Figure3. Full sonar set.
Figure4. Transducer usuallyismountedinthebow.
of thewatersaheadof thevessel. Thisfurther enables
themariner tomakecritical navigationdecisionsgiv-
ing a more complete understanding of the real time
scenario.
3 CURRENT SONARTECHNOLOGIES
Until theadventof thesenew3Dsystems, vessel oper-
ators werelimitedtoone- or two-dimensional views,
withlimiteddistancecapabilities,limitedperformance
inshallowwaters, andanarrowfieldof view. Usually
theseproductsarefromarecreational, fishingspecific
or hydrographic market, and thereforenot suited for
commercial applications or useful navigational pur-
poses; yet theymaystill bemarketedandsoldfor this
purpose. At the other end of the spectrumthere are
militarygradesonar systems, that again, aredesigned
for a specific market capability. They also tend not
to be commercially viable navigation options for a
commercial vessel operator.
Althoughcustomers of theseother systems under-
standtheneed,theseproductsdonotsolvetheproblem.
4 PRINCIPLE OF OPERATION
The3Dsonariscomprisedof aphasedarraytransducer
thatwill usuallybemountedinthebowor stemof the
vessel, facingforward. Thisinturnisconnectedby a
special cableto ajunctionbox andfromthereto the
processor onthebridge.
Figure5. Sonar display2Dview.
Figure6. Sonar display3Dview.
Figure7. Breakwater infront.
Theforward looking horizontal field of viewis a
practical 60
to90
witharangeof nm.Development
iscurrentlyunderwaytointroducenmsystemduring
mid2009. Vertical fieldof viewisapproximately10
uptothesurfaceand50
down. Thewholevolumeis
pingedeverysecondwithanoverall refreshof around
1.5to2secondsgivingavirtual real timepresentation.
Theadvantageof threedimensionsisthattheverti-
cal dimensionof depthisnowaddedtotherangeand
bearinginformation.
Shallowwater operation is also greatly improved.
Withbottommappingcapability of 8 thedepthof
water(inpractice1012), inwatertargetscanstill
bedetectedtothefull rangeof thesystem.
An easy to useman machineinterfaceallows for
easyinterpretationof essential data.
216
Figure8. Barrier echogramin3D.
Figure9. Victimof theshipstrike.
Inacomparisonof thevisual picturevssonar, the
belowexampleshowsabreakwaterasseenthroughthe
bridgewindowsandthesameviewonthe3DForward
LookingSonar.
It is clear onthesonar display that thereareother
obstacles in front of the breakwater but below the
surface.
5 ENVIRONMENTAL CONCERNS
Shipstrikeisthelargestkiller of theendangeredRight
Whaleand theGreat Whale. At certain times of the
yearduringmigrationpatterns, certainoceanareasare
nowrestrictedfor passageor bysignificantlyreduced
speeds.
It isalsocommonly reportedthat sonar isharmful
tomarinemammal life, anditneedstobeclarifiedthat
thisisofteninrelationtolowfrequencyandhighpower
systemsusedpredominantlyfor militaryapplications.
FarSounder sonar systems shouldnot beconfused
withtheseother sonar systems.
NOAAsOceanAcousticsProgram(NMFSOffice
of ScienceandTechnology) hasassessedthetechnical
specificationsof thecurrentversionof theFarSounder
sonar technology and concurs that, based on the
soundsourcelevel, signal duration, directionality, and
operational frequency band, thereareno anticipated
Figure10. Victimof thebowstrike.
Figure11. Quieterthanadolphinandinthesamefrequency
rangeasother acceptedmarineelectronics.
injuriouseffectsonmarinemammalsor other marine
speciesfromitsdeployment.
Brandon Southall, NMFS
TheFarSounder,highfrequency,activesonartech-
nology may provide an effective tool in alerting
mariners to thepresenceof submerged, or surfacing,
animalsinsufficient timetoavoidcollisions.
David Potter, NMFS
6 INTEGRATION
3D sonar datacan nowbeintegrated into todays so
phisticated bridgemanagement systems and was the
nextlogical step.TodaysIBScannowhavesonarover-
lay asanoptiontotheradar overlay ontheelectronic
chart.
With theadvent of VoyageDataRecorders, more
andmorerecordingcapability is oftensought. Sonar
data is no different and can also be archived, either
directlyor inconjunctionwiththeVDR.
7 LIMITATIONSANDEXPECTATIONS
Targets such as containers, whales, rocks, reefs,
ice/icebergs, other vessels, buoys, pilings, etc. (to an
217
Figure12. Catamaranequippedwith3Dsonar.
Figure13. Transducer installedonthebowof ahulk.
8dBtarget),arethebenchmarksforthetypesof targets
that canbeexpectedtobedetected.
Limitations for commercial vessel operators of all
classesareusuallyrelatedtospeedandrange. Larger
vessels and High Speed vessels need sufficient time
to evaluate potential dangers and act accordingly,
althoughfor vesselsatmanoeuvringspeeds, therange
requirement issignificantlyless.
Current vessel speedfor boththeandnmsys-
tems is up to 20 to 25 knots. Future research and
development over thenext 1.5 to 2 years anticipates
rangesof 1to2nmandaspeedupto35knots.
8 CHALLENGES
In regards to the development of a long range/high
speednavigationsonar as discussedabove, thereare
specific physical (scientific) challenges that must be
dealt with that are of minimal effect on the current
shorter rangesystems.
For instance, there is a trade-off in choosing an
appropriate frequency which will still offer enough
signal to noiseratio (SNR) to counter theeffects of
longrangeattenuationof thesystem.
At higher speeds, achallengetoovercomemay be
hull specific in dealing with high speed flow noise
issues. Therefore, the formfactor of theTransducer
Module and how it is mounted must be carefully
chosenfor different highspeedhull types.
At short ranges it may be appropriate to regard
the Sound Speed Profile as a constant (for naviga-
tion grade sonars, not necessarily for security sonar
systems). Atlonger ranges, averticallyvaryingsound
speedprofilemust becompensatedfor.
The resolution of Long Range Targets is also a
challengeandrequiresanaddedlevel of Bathymetric
TestingandGroundTruthingaswell ascompensation
intheFixedFrameof Reference.
9 OTHERAPPLICATIONS
Future Security Applications: One of the greatest
threats to passenger vessels is an attack by swim-
mers, divers, or other underwater threats. Various
technologies enablesurveillanceanddeliver security
against air and land attacks, but there is a lack of
a low-cost practical and effective solution to detect
or deter anunderwater basedattack, particularly one
byswimmers. Underwater securityisoneof themost
technologically challenging. Threats belowthewater
aredifficult toaddress.
Thereisacurrent needintheindustryfor anaccu-
rate, easy to use, low cost systemwith 360-degree
sector coverage. Three dimensional forward-looking
sonar technology can be very effectively applied to
solvethisneedandtocombat thesepossibleattacks.
10 CONCLUSION
Theneedforanavigational solutiontogroundingsand
collisions has been recognized for hundreds, if not
thousands of years. Weexpect that navigation grade
sonar will becomeincreasinglyattractivetooperators
of all largeships.Threedimensional sonar technology
representsanextraordinaryadvanceinsonar technol-
ogy, andrepresentsarevolutionarychangeintheway
vesselsnavigate.
Linktodownloadademoof theoperator software
http://www.farsounder.com/products/demo
218
5.7
Theproblemof magneticcompassdeviationat contemporaryconditions
E.M. Lushnikov
ABSTRACT: The problemof accuracy magnetic compass for contemporary condition is described. The
techniqueof actualization of deviations tableat conditions of voyageis offered. Themethods and means of
actualisationisdescribedalso.
1 INTRODUCTION
According to requirements of Register the table of
deviation is legitimate during 1 year after compen-
sationof deviation, however, at navigationiniceor in
stormconditionsitcanbenotactual alreadyaftersome
days of navigation. It cannot be guarantee for high
accuracycompassduringoneeyear atall conditions.
Theroleof amagneticcompassatthemodernvessel
today is reserving of navigation. This role of mag-
neticcompassisexplainedbymeansof highaccuracy
of gyrocompass and high accuracy of GPS receiver.
Such decrease in a role of a magnetic compass is
involuntarilyreflectedincarefulnessof hisservice.
Atthesametime, normativedocumentsdonotpro-
vide any indulgence to quality of the maintenance
and service of compasses, including to quality of
deviationsservice.
It isknown, that if expensiveservicesdonot raise
efficiencyof worksthemtrytoavoidbyeveryway. It
nowoccursonfleetregardingcarryingoutdeviations
works, that, certainly, does not promote a safety of
navigation.
Todaythenavigator hassuchtechnical andtheoret-
ical base, that hecan possibility to providecarrying
out thedeviations works itself, but heis not accus-
tomedtothisduringall history of fleet development.
Hepreferstopay, especiallynot fromthepocket.
The passive relation of the navigator to monitor-
ingandcompensationof deviationisexplainedbythe
complicationof contemporarymethods.Itisnecessary
for stimulationof navigator tomonitoringof compass
theneweffectiveand simplemethods which arenot
demandingessential timeexpenses.
2 THEANALYSISOF DEVIATIONSFACTORS
AT CONTEMPORARY SHIPS
The analysis of stability of deviations factors [2]
shows, that factorsA andE for contemporaryvessels
practicallydonotexceed0, 6
0
andareverystable. Not
compensatedfactor D for newbuildingshipalwaysis
positiveandisinlimits3
0
5
0
. Thefactor D ishigh
stability.
Asarule, atannual compensationof deviationonly
theleaststablefactorsof deviationBandC iscompen-
satedandunder compensationthetableof deviationis
anewrecalculatedentirely.
Themodernmethodsof deviationsworksarecar-
riedoutusuallyaccordingtothehardalgorithmswhich
are not admitting any variations and the account of
concretecircumstances.
Actuallyonthevessel atpracticallyconstantfactors
A, D andE fromyear toyear areanewdeterminedall
factorsof deviationandthetableof deviationisrecal-
culated. Ithappensevenso, thatfactorsagainaccepted
totheaccountA, D andEhaveaccuracybelow, thanit
wasintheoldtable. Itisexplained, firstof all, thatval-
uesof thesefactorsarecommensurablewithamargin
error their calculations.
Itturnsoutso, thatannual determinationsof factors
A, E andD at their small valueandhighstabilityit is
inefficient expenditureof timeandresources.
At typical procedural deviationsworksthefactors
B and C of half circle deviation are compensated.
Obviously, itisnecessarytouseelasticalgorithmsfor
countingthesechanges.
At suchstatethereis aquestionabout expediency
of compensationof factor Bandfactor Cuptozero. If
thefactor BandCtoreturntoformer tabulatedvalues
position, that thereisnot necessityof recalculationof
deviationstableanew.
3 THEACTUALISATIONOF DEVIATIONS
TABLEAT CONDITIONOF VOUAGE
Atthesamecircumstancesall deviationsworkcanbe
executedfor exampleat thecourseN andE, instead
of twelvecoursesasittakeplaceattypical procedural
works. Thus, thetimeof manoeuvres canbereduced
in6times. Thisprizeisrather essential.
Inadditionfromprocess of deviations works it is
excludedthecultivationof measuringinformationand
219
calculationof thenewtableof deviation.Theoldtable
of deviationisprolongedfor newterm. Insteadof one
andahalf hours of timewithout takinginto account
expensesfortransitionuptospecial aquatoryandback
it isenoughtospend1015minutesof timewithout
anycalculations.
Thesequenceof operationsisaccordingto:
Thedeviationof magneticcompassisdeterminated
atthecompasscourse0
0
. If thevalueof deviationis
differedfromtabulatedvaluelessthan0, 5
0
itisnot
necessityof correction. If thedifferent of deviation
ismorethan0, 5
0
itisnecessarytorecoverthevalue
of deviationfromthetable.
Thedeviationof magneticcompassisdeterminated
atthecompasscourse90
0
.If thevalueof deviationis
differedfromtabulatedvaluelessthan0, 5
0
itisnot
necessityof correction. If thedifferent of deviation
ismorethan0, 5
0
itisnecessarytorecoverthevalue
of deviationfromthetable.
Thetimeof correctionmust bewrittenat thetable.
Thesignatureof executor must beat thetablealso.
Such simplified way for correction of half circle
deviationdemandsenoughsoliddataabout magnetic
declination. Fromthisreasonthechoiceof aplacefor
carrying out of such works it is necessary to avoid
areasof magneticanomalies, etc.
4 THE REQUIREMENT OF ACCURACY AT
ACTUALISATIONOF A TABLE
The deviation of a magnetic compass is determined
fromoneof aformulas:
From these formulas it is visible, that accuracy
of determination of deviation and also accuracy of
restoration of its former value depends, first of all,
fromaccuracyof knowledgeTC or TB andfromaccu-
racy of values of variation V. The standard error of
restoration of deviation up to its tabulared value is
determinedaccordinglyononeof formulas:
Such simplified procedure of deviations works
reminds inherently acomputer optionrestorationof
system.Thisoptionverymuchfrequentlyhelpsusers
of personal computers, allowingtoreturnthelost ele-
mentsof systemWindows,duetoperiodicautomatic
recordsof installationsof system.
If tocarryout thisanalogy, that thevaluesof devi-
ations on thecourseN and E represents thewritten
down(at thetable) values of deviations. This valueis
nominativetorestoration.
Comprehension of such fact allows the navigator
widelyusingacomputer inthedailypractice, tofind
for an offered method acorresponding placein uni-
formphilosophy of maintenanceof navigatingsafety
of navigation.
5 CONCLUSION
Suchsimplifiedmethodof restorationof aurgencyof
theout-of-datetableof deviationcanbemadewithin
45yearsif notitwasmadesignificantrepair work.
Such statement of a question will allow to har-
monizeexpenses for maintenanceof efficiency of a
magneticcompassandfeedbackfromitsparty, bothin
aspecteconomic, andinaspectof safetyof navigation.
LITERATURE
J urdzinski M. Dewiacjai kompensacjamorskichkompasw
magnetycznych. GdyniaWSM 2000, 182str.
Bopohob B.B., pnioion H.H., 1aononio A.B.
Mainnfnio io:naci. CIo.: a:op, 2004. 191c.
!onyxon B.I., Ioonon B.B., Inioion B.B.
Mainnfnio io:nuci M.: Tuncnof, 1981. 212c.
220
5.8
Thebasicresearchfor thenewcompasssystemusinglatest MEMS
G. Fukuda& S. Hayashi
Tokyo University of Science and Technology, Tokyo, Japan
ABSTRACT: This paper demonstrates basic researchfor anewcompass systemusinglatest MEMS (Micro
Electro Mechanical Systems) sensors for small vessels. In 2007, MEMS Electro-statically Gyro (ESG) was
introducedbyTOKYOKEIKI whichis aJ apanesecompany. This sensor accuracy has dramatically improved
comparedtovibrationtypes. For example, instabilityhasbeenimproved10timesmorethanthevibrationtypes.
Thereproducibility wastestedandmaximumdifferencewas0.55[deg/sec] inthefieldtest. TheMEMS-ESG
coulddetect therelativeangles as accurateas GPS compass inshort termuse. Eventhoughsensor accuracy
has been improved, an improvement of another 10times is neededto detect theearths turn rate. Becauseof
this asecond systemis required for acompletecompass system. A celestial navigation systemis oneof the
possibilities to complement this. Traditionally thesextant has beenusedfor measuringthealtitude, but it has
somehumanerrorsanddifficult tomeasurecontinuously. Therefore, it might beuseful toget sunaltitudeand
directionautomatically. Inthisthesis, thesunaltitudeanddirectiondetectingsystemusingcameradevicesare
studied. Using350288resolutioncameraandaradio-controlledclock, thesunmovementwasdetected514
per pixelsand216. per pixelsfor thealtitudeanddirectionrespectively. Althoughthisisabasicresearchfor
anintegratedsystem, thedatashouldhaveanenormousaffect uponfutureresearch.
1 INTRODUCTION
1.1 Background of the research
Small vessels haveachoiceof Gyro compass, mag-
netic compass or GPS compass. They arealso using
theGPSfor calculatingpositions.
EventhoughGPS is very accurate, small andlow
cost, it needs signals fromsatellites. Because GPS
is worked by external signals from satellites, sev-
eral weak points have been discussed, for example,
jamming, maintenancecost, electromagneticwaveby
the sun and etc. Therefore for the purposes of this
research we studied an autonomous systemwithout
usingGPS.
TheInertial Navigation Systemis an autonomous
and overcometheproblems that arecaused GPS. In
therecent technological advancements modern iner-
tial systems have removed most of the mechanical
complexity of platformsystems by having the sen-
sors attachedrigidly to thebody of thehost vehicle.
It is calledthestrapdowninertial navigationsystem.
But to maintainits accuracy, it still needs very accu-
rate systems such as the ring laser gyro (RLG), the
fiber opticgyro(FOG) or moreaccurategyrosuchas
theelectro-staticallysuspendedgyroscope(ESG) and
alsoverycomplexsystems. Thosesystemsareexpen-
siveanduneconomical for small vesselsbut newtype
of MEMS sensorsshouldprovideapossiblesolution
tothisproblem.
Inthis research, thebasic researches werecarried
out for thestatedgoal that is developingasmall and
lowcost autonomous systemwhich is affordablefor
small vessels.
1.2 The integrated compass system
MEMS-ESG is able to detect relative angles which
discussedinthispaper. For thecompasssystem, abso-
luteanglesarenecessary. Thereforeintegratedsystem
wasbeinglookedat. Theconsideringsystemisusing
INS withMEMS-ESGandsundirectionandaltitude
detecting system using camera image. The system
diagramisshowninFigure1.
Figure1. IntegratedCompassSystem.
221
INSusingMEMS-ESGisabletonavigatefor only
2minutes or less, GenF. & Shogo H., 2008. Oneof
theproblemsiscumulativeerrors.Thereforthecamera
systemupdatetimeshouldbewithinthat time.
In this thesis, the MEMS-ESG is introduced in
thesecondparagraph andthen thecamerasystemis
introducedin3rdparagraphas basic researchfor the
integratedcompasssystem.
2 MEMSELECTROSUSPENDEDGYRO
SENSOR
2.1 The basic research of MEMS-ESG
TheESGisintroducedduringthe1950sintheUnited
States. TheESG is very accurateandit has achieved
drifts of the order of 0.0001[deg/h] and navigation
accuraciesof theorder of 0.1nautical milesper hour,
David Titterton and J ohn Weston. 2004. Unfortu-
nately, despitebeingvery simpleconcept, thedesign
iscomplexandthegyroscopeislargeandexpensive.
The MEMS-ESG was introduced by a J apanese
company in J uly 2007. Although theaccuracy is not
thesameasthepreviousESG, itsaccuracy isgreatly
improved as MEMS gyro sensors. Additionally it is
lower pricethanthepreviousESG.
TheMEMS-ESG is measuringtheturnrateusing
theturningsensorrotorwhichissuspendedbyelectro-
staticpower. Whentheturnrateisappliedtotherotor,
a slight tilt angle is occurring between sensor rotor
andsensor case. A feedbacktorqueisappliedinorder
to returntherotor to thenormal position. This feed-
back torqueisproportional toturnrate, sothesensor
candetecttheturnrate. Inaddition, thesensor detects
the3-dimensionaccelerations by thetorquewhichis
Figure2. MEMS-ESGSensor Structure.
Picture1. MEMS-ESGSensor Package.
appliedfor maintainingthesensor rotor inthecenter
of thecase.
TheMEMS-ESGsensor structurehas3layersthat
areglass, siliconandglass.Thesensorstructureimage
isshowninFigure2. Thesensor sizedetailsareshown
in Table1. Picture 1 shows the sensor package. The
package is 4.3[mm] squared and 1[mm] thickness,
ShigeruNakamura. 2008.
2.2 Rate Output
Figure 3 shows 100 data of the angular velocity
output about X and Y axes by MEMS-ESG. The
data was collected in the laboratory in stable con-
ditions. The vibration type gyro sensors output
was collected at the same time. The comparison of
the MEMS-ESG with vibration type is shown in
Fig 4. In this case, the average output of rate sen-
sor by the MEMS-ESG and a vibration gyro are
2.84410
17
[deg/sec] and 0.131[deg/sec] respec-
tively. Instabilitiesare0.260[deg/sec]forMEMS-ESG
and3.125[deg/sec] for avibrationgyro.
Table1. Rotor information.
Rotor diameter 1.5[mm]
Thickness 50[m]
Topandbottomgap 3[m]
Radial dimensiongap 2.5[m]
Figure 3. X and Y axes angular velocity output by
MEMS-ESG.
Figure4. ComparingVibrationwithESGtype.
222
2.3 Reproducibility test
Ten times relative angle reproducibility test was
carriedout. Thesensor was rotatedabout 90degrees
by motor andstoppedmechanically by usingarelay
switch. Figure5showsthetest result. Thedatashows
goodreproducibilityinshorttermuse.Thebiggestdif-
ferenceof thisdatawas0.550[deg/s]aroundthesensor
stoppedpoint whichisshowninFigure6. It wascon-
sidered that that differencewas caused by thesmall
vibration caused by the reaction of the mechanical
stop.
2.4 Acceleration output
It is shown the X-axis acceleration output in the
stable condition in Figure 7. The compared with
the vibration type acceleration sensor was shown in
Figure8. Inthisfigure, theaverageoutput of acceler-
ationsensor output byMEMS-ESGandvibrationare
1.21510
18
[G/sec] and 0.002[G/sec] respec-
tively. Instabilitiesare0.002[deg/sec]forMEMS-ESG
acceleration sensor and 0.053[G/sec] for vibration
accelerationsensor.
2.5 Comparing with GPS compass
ThecomparingtestwasheldusingGPScompass. The
GPScompasswasfixedontheMEMS-ESGandboth
equipments arerotatedsimultaneously by DC motor.
Theequipment wasshowninPicture2.
Figure 9 shows the relative angle by the MEMS-
ESG and GPS compass output. The MEMS-ESG is
ableto measuretheturnrateas accurateas theGPS
Figure5. Tentimesrelativeanglereproducibilitytest.
Figure6. Theenlargedfigureof vibrationpoint.
compassinshorttimeuse. TheGPScompassdatahas
some data blanks since the GPS compass could not
get thesignal fromtheGPSsatellite, whereasMEMS
gyro is ableto get thedatacontinuously. This result
mightsuggestthattheGPS/INSisveryuseful insome
areas.
2.6 Existing problems with MEMS-ESG
TheMEMS accuracy improvement was discussedin
2.2 and 2.4 by comparing the ESG type sensor and
thevibrationtype. ESGtypeisveryuseful concerning
its accuracy but it requires some techniques to pro-
videshockandvibrationprotection.Thevibrationtype
gyro sensor which discussed in this paper has 2000
g-poweredshock survivability, but ESG typehas got
Figure7. X-axisaccelerationoutput.
Figure8. ComparingVibrationwithESGtype.
Picture2. GPS compassandMEMS-ESGfor thecompar-
ingtest.
223
Figure 9. MEMS Gyro and GPS compass Output
comparison.
Figure10. Sensor BoxSurfaceTemperatureTest.
only 15[G] at 1[kHz]. For example, when wecar-
riedoutfieldtestbythecar, thesensorwassometimes
stoppedbecauseof thelight shock by thebrake. This
problemisreportednotonlyMEMS-ESGbutalsothe
normal typeof ESGgyroaswell. Beforeconsidering
usingtheMEMS-ESGonaship, thisproblemmustbe
solved.
Moreover, the sensor box surface temperature is
increased as shown in Figure 10. The test was car-
riedout inthelaboratory wherethetemperaturewas
27.5[
C]. The sensor box surface temperature was

increasingandreached44.8[
C] in110minutes. This
was caused mainly by FPGA (Field Programmable
Gate Array) in the sensor box. This is not directly
causedbysensor itself butconcerningaffordablesen-
sor temperaturewhichis from20[
C] to 55[
C], it
would benecessary to resolvethis problemin some
environments.
3 SUNDIRECTIONANDALTITUDE
DETECTINGSYSTEM USINGCAMERA
IMAGE
3.1 The general outline of the system
MEMS-ESG is capable of detecting relative angles.
But it also needs to knowtheabsoluteangles for the
compasssystem. Thereforesecondsystemisneeded.
Gyrocompasshasnormallybeenusedforthat.Butitis
expensiveandtoobigfor small vessels. Themagnetic
compass, the celestial navigation and the terrestrial
navigationaretraditionallyusedontheship.Themag-
netic compass is oneof practical solutions but it has
got theproblemof deviation. Thecelestial navigation
isalsopowerful tool but it needstodetect thealtitude
usingasextant byhand. Thiswouldcausethehuman
factor errors. It is also difficult to observe continu-
ously. But consideringthecelestial navigationis still
usingonsomeshipsforacomplementof GPS, itisstill
useful if it isautomated. Thereisavailableradiosex-
tantasanautomatedsystemforthisbuttheequipment
cost is too expensive. Thereforethewebcamerawas
consideredtomeasurethesunaltitudesanddirections.
Accordingto recent development of imagingdevice,
theyaregettingcheaper andhigher resolutions. There
is the systemusing CCD cameras, Fabio C. & Erik
K., 1995. But high resolution CCD cameras arestill
expensive.
3.2 Direction and altitude calculation
Thesystemneedstocalculatethesunposition. Itneeds
very complicatedcalculationtoget thereal sunposi-
tion. Thereforethecalculations havebeencompleted
using a polynomial approximation of ephemerides,
whichwasinventedbyHydrographicOfficeof J apan,
J apan Coast Guard. 2008. It would be considered
that there are slight differences between a polyno-
mial approximation and Nautical Almanac. If using
high resolution cameras, thosedifferenceareshould
beconsidered.
3.3 Camera device
Thereisthesystemusingfisheyelens, MatthewC. D.,
DavidW. & Daniel V., 2005. Thefisheyelensisvery
useful becauseitcoulddetectthesunonlyonecamera
withoutanymechanical movingdevices. Butthereare
fewfisheyelenses for web cameras. They also need
manycalibrationworks.
Thereforetwocamerasareusedinthissystem.They
are352288pixelswebcamerasandput onthesex-
tant for evaluation as shown in Picture 3. Camera1
expectedtotakesunimageandcamera2isexpected
totakehorizon. BothcamerasareconnectedwithPC
byusingUSB cables.
3.4 The result
Thecalculation for thealtitudeand direction is pro-
duced by Kenji Hasegawa, 1994. The result of sun
altitudebycalculationandcameraimagefor 22min-
uetsareshowninFigure11. Figure12shows500data
inFigure8. Thesamplingtimeis 0.5[sec]. Thetime
wasgivenby aradio-controlledwatch. Therearetwo
flutterswhichshowinFigure12aroundat14:53:3and
14:54:40. Thiswouldbecausedbytheinterlacescan.
The maximumdifference and standard deviation
withcalculateddataandcameraimagedataare0.0932
degrees and 0.0246 degrees respectively. The calcu-
latedsunaltitudeis movinguniformly, as youwould
seeinFigure12. But thealtitudeby cameraimageis
224
Picture3. CameraDeviceusedtheevaluation.
Figure11. CalculatedSunAltitudeandAltitudebyCamera
Image.
Figure12. The500datainFigure11.
movinglikesteps.Thisiscausedbythecameraresolu-
tion. Inthiscase, it isdetected0.0872[degree/pixel],
whichisequivalent to514.
Theresultsof sundirectionbycalculationandcam-
eraimageareshowninFigure13. Figure14shows500
datainFigure13.Asamplingtimeis0.5[sec].Thetime
wasgivenbyaradio-controlledwatch.
The maximumdifference and standard deviation
between calculated data and camera image data are
0.0647degrees and0.0054degrees respectively. The
resolutionisdetected0.0378[degree/pixel], whichis
equivalent to216.
Thereason of resolution differencebetweenAlti-
tudeand Direction was caused by theinitial camera
attitudeerror. Further more, thecamerafocuserror is
consideredastheerror term.
Figure 13. Calculated Sun Direction and Direction by
CameraImage.
Figure14. The500datainFigure13.
4 FUTURE WORKS
A position data is demanded for the calculation of
sunaltitudeanddirection. TheMEMS INS is possi-
bleway to calculatetheposition. TheMEMS INS is
demandedtokeepitsaccuracy whilethecamerasys-
temis updating thesun position and altitude. Using
thecamerasysteminsection3, morethan2minutes
updatingtimeis demanded. ThereforetheINS using
MEMS-ESGneedsmoreaccuracy, GenF. &ShogoH,
2008. Manybooksarepublishedfor theINScalcula-
tionsuchas DavidTittertonandJ ohnWeston. 2004.
But thosecalculations areconsideringmoreaccurate
sensors. Now, theINSprogramfor theMEMS-ESGis
under researching.
ThereisaccuracydifferencebetweentheX-axisand
Y-axis. Thisdifferencemight becausedbytheCMOS
sensor inthecameraandalsoinitial alignment errors.
Thestudies havebeen undertaking about it. In addi-
tiontothat, theresearchusinghigher resolutionweb
cameraisalsoundertaking.
5 CONCLUSION
Inthispaper, thenewtypeof MEMSsensor, MEMS-
ESG, and the sun altitude and direction detecting
systemwereexplainedas basic researchfor thenew
compasssystemusinglatest MEMS.
225
An accuracy of MEMS-ESG has much improved
comparing previous vibration type of MEMS sen-
sors. The sensors reproducibility was explained.
Furthermore, therelativeangleaccuracy was shown
comparing with GPS compass. The problem of
MEMS-ESG is explained in 2.5. Especially, some
countermeasuresareneededfor theshock survivabil-
ityontheship.Althoughtherearestill someproblems
with MEMS-ESG, it has got much potential. The
vibration typesensors would bedifficult to increase
their accuracy because of their structures. However,
ESGtypehasdifferentstructuresandeasiertoincrease
itsaccuracy. For example, inertial momentumispro-
portional to the square of rotors diameter and also
rotorsrotationrate.Toconsiderthoseandthefactthat
thecompanyhasalreadymadesuccessfullythebigger
diameterrotorsensor, MEMS-ESGaccuracywouldbe
increasedinthefuture.
In 3rd paragraph, the sun altitude and direction
detectingsystemusingcameraimagewas explained.
Using352288resolutionwebcamera, theaccuracy
achieved 0.0872 [degree/pixel] for the altitude and
0.0378[degree/pixel] for thedirections.
REFERENCES
Gen F. & Shogo H., 2008. Basic Research of the
MEMS Inertial Navigation Equipment for the Small
Vessels, The journal of Japan Institute of Navigation,
pp. 213220
J apan Coast Guard. 2008. Celestial Position Calcula-
tion. http://www1.kaiho.mlit.go.jp/KOHO/syoshi/furoku/
na09-data.pdf/
David Titterton & J ohn Weston. 2004. Strapdown Inertial
Navigation Technology, Edition, pp. 103105
ShigeruNakamura. 2008. Development and applications of
ESGGyro Float Turning type MEMS inertial sensor, 4th
Published by the Japanese Committee for Radio Aids to
Navigation
Kenji Hasegawa. 1994. Celestial Navigation. Kaibundou
Fabio C. & Eric K. 1995. Robot Localization using a com-
puter Vision Sextant, Robotics Institute, Carnegie Mellon
University
Matthew C. D. & David W. & Daniel V., 2005. A Sun
Tracker for Planetary Analog Rovers. NASA Ames
Research Center, QSS Group Inc., Carnegie Mellon
University
Kou N., 1999. Computations of Sunrise and Sunset, Tijin
Shokan, P.76
226
5.9
Development of decisionsupportingtoolsfor determining
tidal windowsfor deep-draftedvessels
K. Eloot
Flanders Hydraulics Research, Antwerp, Belgium
Ghent University, Ghent, Belgium
M. Vantorre& J. Richter
Ghent University, Ghent, Belgium
J. Verwilligen
Flanders Hydraulics Research, Antwerp, Belgium
ABSTRACT: Adecisionsupportingtool namedProToel fordeterminingtidal windowsfordeep-draftedvessels
arrivingatordepartingfromtheBelgianharbours, basedonbothdeterministicandprobabilisticcriteria, hasbeen
developed. Theprogramispresently beingevaluatedasashort-termdecisiontool by thepilotsandwaterways
authorities for optimising theshipping traffic to thecoastal harbour of Zeebrugge. Thesoftwarecan also be
appliedfor long-termconsiderations, as is illustratedinthecaseof theport of Antwerp. Somereflections are
madeconsideringtheextensionof thetool toincludeother factorsthat mayaffect thesafetyof shippingtraffic,
suchasinteractionwithbanksandwithother shippingtraffic.
1 INTRODUCTION
Accesschannelstoharboursareoftensubject totide,
sothatarrival anddepartureof shipsmaybelimitedto
acertainwindow. Thiswindowismainly determined
by the variations of the water level and is therefore
of particular importancefor deep-draftedvessels, but
alsoother parameterssuchaslateral andlongitudinal
currentcomponents,orpenetrationof thekeel intosoft
mudlayersmaybelimitingfactors.
In particular, tidal windows have to be imposed
to deep-drafted ships arriving at and departing from
theBelgianseaportsof ZeebruggeandAntwerp. The
Scheur West channel linksthedeeper Wandelaar area
in thesouthern North SeaviathePas van het Zand
to the port of Zeebrugge, and via the Scheur East
andWielingen channelstothemouthof theriverWest
Scheldt, which gives access to the port of Antwerp,
wheredeep-drafted ships can either berth on oneof
the river terminals or the tidal Deurganck Dock, or
enter theZandvliet or Berendrecht Locks.
For theseachannels giving access to theBelgian
harbours, adecisionsupportingsoftwaretool hasbeen
developed. This tool results into an advisable tidal
window, based on a number of criteria that can be
both deterministic and probabilistic. In a determin-
istic mode, the gross under keel clearance (UKC),
relative to both the nautical bottom and the top
of fluid mud layers, and the magnitude of current
components are taken into account. In case proba-
bilistic considerations are accounted for, a positive
advise will only be given if the probability of bot-
tom touch during the voyage due to squat and
responsetowaves doesnot exceedaselectedmax-
imumvalue. Thefollowing input dataaretaken into
consideration: shipcharacteristics, waterway charac-
teristics, trajectory, nautical bottom level, top mud
level, speedover groundandthroughthewater, tidal
elevation, directional wavespectra, current, departure
time.
Thetool, calledProToel, caneitherbeusedforsup-
porting short termdecisions for aparticular ship, or
for longtermestimationsfor themaximumallowable
draft. ProToel is presently inanevaluationphasefor
supporting decisions taken by the Flemish Pilotage
andShippingAssistanceinashort termapproachfor
ships arriving at and departing fromthe harbour of
Zeebrugge. For theharbour of Antwerp, tobereached
byseachannelsandtheriver Scheldt, theprogramcan
alsobeusedasanapproachpolicysupportingtool for
longtermconsiderations; extensionstosupport short
termdecisionsareconsidered.
A descriptionof theProToel softwarewill begiven,
followedbypractical examplesof itsusefordetermin-
ing tidal windows for ships arriving at or departing
fromZeebrugge. Next, someapplicationsfortheship-
pingtraffictoAntwerpwill beconsidered, andfinally
possibleextensionswill becovered.
227
Figure1. ProToelsgraphical user interface.
2 DESCRIPTIONOF THE PROTOEL
SOFTWARE
2.1 General principle
Based on a specified route and departure time, the
ProToel program calculates the UKCs and bottom
touch probabilities for a specific ship following the
route with a chosen speed along the trajectory. The
route is split into several intervals. In each interval,
theUKCs arecalculatedbasedonbottomdepth, up-
to-datecurrent andtidedataandthespeeddependent
squat.Thebottomtouchprobabilityiscalculatedfrom
thedirectional wavespectrumfor that time, location
andthemotioncharacteristicsof theship. Theresults
for eachinterval arestoredandcanbedisplayedafter
computation.
ProToel requires the availability of a number of
databases:
a ship database with dynamic response charac-
teristics and squat data for a large range of ship
dimensionsandtypes, validfor arealistic rangeof
forwardspeeds, draftsandwater depths;
a database of trajectories and trajectory points,
containingrecent soundings(or designdepths);
forecastsormeasurementsof hydro-meteorological
data for a number of locations as a function of
time: tidal elevation, current speed and direction,
directional wavespectra, water density.
The software is developed in an object oriented
programmingenvironment, makinguseof J ava.
2.2 Operational use
The graphical user interface (GUI), see Figure 1,
allows an easy selection of the desired ship, repre-
sented by her beamand length. The user specifies
the loading condition, namely the draft at the fore
andaft perpendicular andoptionally themetacentric
height. Furthermore, thetimeof departure, theroute
tofollowandthespeedof theshipalongthisroute
either through water or over ground are inserted.
Additionally, a number of travels can be specified
beforeandafter thedesiredtimeof departuretocreate
a tidal window, based on a number of deterministic
and/orprobabilisticcriteria.Themenuallowsspecify-
ingthedatasource(locally storeddata, remotedata)
of eachenvironment condition(tidal elevations, cur-
rent, waves, bottom) separately. Recent predictions
andmeasurementsof tide,wavesandcurrentarestored
in a remote database on a server that can be con-
nectedbytheuser, whilealocal databasemaycontain
long-termpredictions, e.g. astronomictidedata.
The output of the computations is stored in xml
format and contains theUKCs and cross currents at
significantlocationsalongtheroute. If aprobabilistic
approachis chosen, thebottomtouchprobability for
theentirerouteisalsogiven.Theresultscanbeviewed
228
Figure2. ProToel output file, showingwaypointsandcriteriaasafunctionof departuretime.
directly in ProToel and exported as a report in pdf
format. AnexampleisshowninFigure2.
2.3 Background information
The ship data bank consists of squat and dynamic
responsedataon alargenumber of slender and full
hull forms, seeFigure3. Thecontent of thisdatabank
isbasedonseakeepingtestscarriedoutwithfiveship
modelsintheTowing tank for manoeuvres in shallow
water (co-operation Flanders Hydraulics Research
Ghent University) inAntwerpandadditional numer-
ical calculations with the 2D strip method Seaway
andthe3DBEMAqua+. Thedatabasecoversalarge
number of draft water depthcombinations, andalso
containsdatafor avariationof metacentricheights.
Squat data can be directly obtained from the
database by interpolation; for container vessels, the
sinkageforeandaft canalsobecalculatedby means
of model test based empiric formulae that also take
accountof thelateral channel dimensions(Elootetal,
2008).
Theprobability of bottomtouchis calculatedina
way that is customary for seakeeping problems, and
Figure3. Combinationsof shiplengthandbeamcoveredby
thedatabase.Thecodereferstoshipmodel (containercarriers
D, F, W; bulkcarriers/tankersE, G) andscalefactor (%).
whichisbasedonaRayleighdistributionof peak-to-
peak valuesof responsesof ashiptoirregular waves.
However, theprobabilitycalculationalsoaccountsfor
anumberof additional uncertainties. Duetotheuncer-
taintyof thebottomlevel, thestill waterdraft, thetidal
level, thesquat estimation, thenet UKCisnot exactly
known; for this reason, a standard deviation on this
valueistakenintoaccount. Other typesof uncertainty
that are taken into consideration concern the qual-
ity of wave climate predictions, errors on response
amplitude operators, effects of unknown parameters
229
Figure 4. Access channels: 1: Scheur West, 2: Pas van
het Zand, 3: Scheur East, 4: West Scheldt. Harbours: A:
Antwerp/Antwerpen (B), G: Ghent/Gent (B), O: Ostend/
Oostende (B), T: Terneuzen (NL), V: Flushing/Vlissingen
(NL), Z: Zeebrugge(www.maritiemetoegang.be).
such as weight distributions and initial stability; the
effect of such deviations is accounted for by intro-
ducing a standard deviation on the significant wave
height.
3 APPLICATIONS
3.1 Use of ProToel as a short term planning tool
for shipping traffic to Zeebrugge
3.1.1 Criteria
Presently deep-drafted ships arriving at or departing
fromZeebruggeneedtotakeaccountof followingtidal
restrictions(seeFigure4):
intheScheur West andPas van het Zand channels,
agross UKC of at least 15%and 12.5%of draft,
respectively, isrequired;
in theouter harbour of Zeebrugge, i.e. within the
breakwaters, theminimumgross UKC is reduced
to10%;
inareassubject tosedimentationwherethebottom
of thenavigationareasiscoveredwithfluidmud, a
penetrationof 7%of draftinthemudlayerisconsid-
eredasacceptableincasesufficient tugassistance
isavailable;
passageof thebreakwaters is subject to acurrent
windowlimitedby avaluefor thecross current of
2knots.
For LNG-carriers, however, stricter criteria are
maintained. The required UKC in the sea channels
Scheur West andPas van het Zand isincreasedto20%
of draft, and to 15% in the harbour area, while the
acceptablecrosscurrent at thebreakwatersisreduced
to1.5knots.
Accordingtoaprobabilisticapproach, atidal win-
dow should be determined in such a way that the
probabilityof undesiredphenomena suchasbottom
touch doesnotexceedaselectedvalue. Moreimpor-
tantthantheprobability,however,istherisk,definedas
theprobabilityof occurrencemultipliedbythefinan-
cial and impact consequences. The latter depend on
the channel bed (rock, sand, mud, . . .), the type of
vessel (tanker, general cargo, container, . . .) andenvi-
ronmental sensitivity of the area. Considerations on
acceptablerisk andprobability havebeenformulated
bySavenije(1996), PIANC (1997) andothers, andis
usually related to an acceptable number of ground-
ings duringthelifetimeof achannel. Theacceptable
overall probability of bottomtouchis of theorder of
magnitudeof 10
4
, while10
2
maybeconsideredas
amaximumvaluefor anyshiptransit.
Examples
Asa(fictitious, butrealistic) example, theresultsof
ProToel aregivenfor acontainer carrier (W100) with
alengthof 397.7m, abeamof 56.4mandadraft of
15.5m departing from and arriving at the harbour
of Zeebruggein favourablewaveconditions (signif-
icant wave height 0.9m). The speed over ground is
assumed to be12 knots in theScheur West channel,
10knotsinthePas van het Zand,and4knotsinthehar-
bour area. Followingadeterministic approachbased
ongrossUKC, thetidal windowforthedepartingship
(Figure5) opens at 11:30 and closes at 17:30; how-
ever, between 13:30 and 15:45 no traffic is possible
due to the tidal currents. Froma probabilistic point
of view, theprobabilityof bottomtouchisacceptable
between9:15and19:30, butthelimitingcriterionwill
bethepenetrationinthemudlayer, whichonly takes
acceptable values between 11:15 and 19:15. While
theeffect ontheopeningtimeof thetidal windowis
onlymarginal, thedeparturetimecanbepostponedby
1.75hoursif areducedgrossUKCwereacceptedand
aprobabilisticapproachwerefollowedinthisparticu-
lar case. For thearrivingship(Figure6), noadvantage
is obtainedby introducingaprobabilistic criterionin
this particular case: theopeningtimeof thewindow
remains unchanged, while the closing time is deter-
minedbytheacceptablepenetrationintothefluidmud
layer.Alsohere, thetidal windowisinterrupteddueto
exceedanceof theallowablecrosscurrent.
3.1.2 Present status
Actually (J anuary 2009) ProToel can beusedwithin
theintranet of theDepartment of Mobility andPub-
lic Works of theFlemish Government. Forecasts for
waves, tidal elevations andtidal currents areupdated
continuously by the Flemish Hydrography on the
server of Flanders Hydraulics Research. In a next
phase, theprogramwill bevalidated and theproba-
bilisticapproachwill beevaluated.
3.2 Use of ProToel for long-term accessibility
predictions
In order to performa long termaccessibility analy-
sis withProToel, theprogramwas extendedto allow
theexecutionof batchcomputations. Inthis way, the
lengthof tidal windowscanbecalculatedfor all tidal
cycles within a longer period, e.g. a year. For such
a long termprediction, only astronomical tide data
canbeused, so that only deterministic criteriabased
on gross UKC can be applied for determining the
tidal windows. For the statistical post-processing of
theresultingtidal windows, additional toolshavebeen
developed.
230
Figure5. ProToel resultsfor acontainer vessel departingfromZeebrugge(fictitiousexample).
Figure6. ProToel resultsfor acontainer vessel arrivingat Zeebrugge(fictitiousexample).
This typeof applicationwas performedfor acon-
tainer carrier arrivingat anddepartingfromthehar-
bour of Antwerp. Anexampleof theoutputisgivenin
Figure7, andcanbeinterpretedas follows: for both
thearriving and departing ships with theconsidered
draft values, atidal windowof at least 60minutes is
expectedinmorethan92%of thecases. It shouldbe
mentionedthat intheexamplethearrivingshiphasa
larger draft thanthedepartingship.
The computations appeared to be in good agree-
ment withanexistinganalysis, but alsorevealedthat
theresultsmaybeverysensitivetothedetaileddepth
profileandtheassumptions usedfor interpolationof
thetidal curvesalongthetrajectory.
231
Figure7. Distributionof lengthof tidal windows for con-
tainer vesselsarrivingat/departingfromAntwerpwithgiven
drafts (different for arrival and departure, values not com-
municated), based on a one-year period. The cumulative
distribution shows thefraction of thetides offering a win-
dow with a length of at least theabscissa value. Notethat
a percentage of tides (especially for arriving vessels) does
not result intoatidal windowfor thegivendraft, yieldinga
nonzerodistributionvaluefor awindowlengthequal tozero.
4 TOWARDSA GENERALISED
PROBABILISTIC METHODOLOGY
4.1 Introduction
Although the present tool can be applied to a wide
rangeof accesschannels, thedevelopmentof ageneral
methodology for a probabilistic approach requires a
number of extensions.
In the first place, squat not only depends on the
ship characteristics and speed through water, but is
also affected by the channel characteristics (water
depth, lateral limitations), theproximityof banksand
interactionwithmeetingandovertakingor overtaken
ships.
Furthermore, theprobabilityof bottomtouchdoes
notonlydependonsquatandtheresponsetothelocal
waveclimate, but other effectsmaybeof importance
aswell (e.g. wind, heel inbends). Insomecases, even
thebasic principlefor determiningtheprobability of
undesiredeventsmight havetobereconsidered. This
is especially thecaseif theresponseto waves is not
themaincauseof bottomtouch.
Finally, it should always beborn in mind that not
only contact withthebottomdueto vertical motions
should be taken into account, but that all undesired
events(groundings, collisionswithfixedstructuresor
withother ships) areof importanceinorder toassess
thetotal safetyof shippingtraffic.
4.2 Practical case: access to Antwerp for large
container vessels
Theimportanceof additional effects onsquat canbe
illustratedby theresultsof real-timesimulationsthat
have been executed on the ship manoeuvring simu-
lators of Flanders Hydraulics Research(SIM225and
SIM360) to evaluate the accessibility of the West
Scheldt for largecontainershipswithalengthover all
of 366 380 400m. Bothsimulators werecoupled
sothat withtwooperatingbridgestheencountersare
asrealisticaspossible.
Duringthesimulationsthesinkageforeandaftwas
calculatedtakingintoaccount shipdependent param-
eters (draft, displacement, block coefficient, midship
sectionarea); environmental parameters(water depth,
distance to banks); operational parameters (forward
andlateral velocities andaccelerations, yawrateand
acceleration, propeller rate) andother shippingtraffic
(draftof targetship, displacementof targetship, block
coefficient of target ship, lateral distance between
ships, longitudinal velocityof targetship) (Elootetal.
2008).
As an example, Figure 8 shows a particular
encounter of a departing containership (366m
48.8m13.1m)withalargership(400m56.4m
14.5m) inthebendof Bathontheriver Scheldt(max-
imumflood current, wind SW 5Bf). The encounter
occurred with a lateral distance equal to 56m and
a relative speed through the water for both ships of
approximate3ly12knots.Thevelocityparametersand
sinkagesof thedownstreamshipcanbestudiedbased
onthegraphs inFigure8. Thelowest obtainedstatic
UKCalongthewholetrajectoryisapproximately50%
whilethemaximumsinkageoccurs at thesternwith
amaximumUKC reductionof approximately10%of
theshipsdraft.
4.3 Requirements
At least the following investigations are required to
developageneralisedprobabilisticadmittancepolicy
for deep-draftedships:
Redefinitionof theprobability of bottomtouchin
navigation channels that are not exposed to wave
action.Thepresentmethodforcalculatingthisprob-
ability is based on a Rayleigh distribution of the
peak-to-peak values for the vertical motion of a
number of critical points. Hence, theoverall prob-
ability during a transit requires the availability of
a value for the average encounter period, which
cannot bedefinedinabsenceof waves. Therefore,
thereisaneedforanalternativemethodologyresult-
inginto aprobability of bottomcontact that is not
merelydependentonthecharacteristicsof thewave
spectrum.
Integration of theinfluenceof wind on net UKC.
This effect may be caused in several ways: the
lateral force and yawing moment caused by non-
longitudinal relativewinddirectionsresult intothe
occurrenceof bothheel, whichdirectlyreducesthe
UKC, anddrift, whichmayleadtoincreasedsquat,
but alsotoreducedspeed.
Integrationof theeffectof crosscurrentsandwaves
ondrift and, eventually, onsquat;
Integration of the effect of bends in the fairway,
whichmaycausespeedreduction, butalsoheel and
increasedsquat duetoyawinganddrift.
232
Figure8. Real-timesimulationof anencounteratthebendof Bathduringfloodtide: trajectoriesof bothshipsduringthetotal
manoeuvreandparametersof theshipsailingdownstreamwiththeencounter positionindicatedwithadashedvertical line.
Integration of the effect of interaction with other
shippingtraffic, particularlyonsquat;
Integrationof theeffect of interactionwithbanks,
particularlyonsquat;
Linkwithoccurrenceof other undesiredeffects.
5 CONCLUSIONS
A softwaretool for supportingoperational andstrate-
gicdecisionsconcerningaccessibilityof harboursfor
(deep-drafted) vessels subject to tidal windows has
beenpresented. For short-termplanningthetool has
beenimplementedfor theapproachtotheharbour of
Zeebrugge, wheremultiplecriteria(grossUKC, prob-
abilityof bottomtouch,keel penetrationintofluidmud
layers, cross currents) are of importance. An exam-
pleis alsogivenof along-termstatistical analysis of
thelengthof tidal windows. Finally, requirementsare
formulatedthathavetobefulfilledtodevelopagener-
alisedprobabilisticadmittancepolicyfordeep-drafted
ships.
REFERENCES
Eloot, K.; Verwilligen, J.; Vantorre, M. 2008. An overview
of squat measurementsfor container vesselsinrestricted
water. International conferenceonsafety andoperations
233
in canals and waterways SOCW 2008, Glasgow, 1920
September 2008.
PIANC.1997.ApproachChannels:AGuideforDesign,Final
Reportof theJ ointPIANC-IAPHWorkingGroupII-30in
cooperationwithIMPA andIALA, SupplementtoPIANC
Bulletin, No. 95.
Savenije, P. 1996. Probabilistic admittance policy deep
draught vessels. PIANC Bulletin, No. 91, J une1996.
Vantorre,M.;Laforce,E.;Eloot,K.;Richter,J.;Verwilligen,J.;
Lataire, E. 2008. Ship motions in shallow water as the
basefor aprobabilistic approach policy. Proceedings of
the ASME 27th International Conference on Offshore
Mechanics andArctic EngineeringOMAE2008, Estoril,
1520J une2008.
234
Chapter 6. Anti-collision
6.1
Behaviour patternsincrossingsituations
J. Kemp
Professor Emeritus, Arundel, UK
ABSTRACT: The J anuary 2009 issue of the Journal of Navigation included a paper (J ohn Wilde Crosbie
2009) entitled, Revisitingthelessonsof theearlysteeringandsailingrulesfor ane-navigationage.Following
adescriptionof thedevelopment of theCOLREGS fromtheearly 19thcentury, heconcludedthat thecurrent
steeringandsailingrulesshouldbereplacedbyasinglerulemoresuitedtomodernconditions. Thismight take
theformof rulestatingthat avessel takingactiontoavoidcollisionshouldnot passaheadof theother vessel.
Sucharulewouldrequirearadical changeinthephilosophy of collisionavoidanceat sea, andevidenceis
requiredthatitwouldbebotheffectiveandacceptablebymariners.Radarsimulatorexperiments,conductedbythe
author someyearsago, inanother context, suggest that thismight bethecase. Ananalysisof theexperimental
results and some conclusions are reported in this paper. The author believes that further trials, specifically
designedtotest theCrosbieproposals, wouldbedesirable.
1 INTRODUCTION
A recent paper (J ohnWildeCrosbie, 2009) contained
anexaminationof thedevelopment of theCOLREGS
fromtheearly19thcenturytothepresentday.Thisled
tohimtoconcludethat thecurrent formof theCOL-
REGS is over-complicated and unsuited to present
day conditions. Also that they shouldbereplacedby
a much simpler convention based on proposals by
Commander, later Vice-Admiral, P.H. Colombof the
UK Royal Navy in the late 1800s (Colomb, 1866,
1885). This is referred to in the following sections
as the Colomb/Crosbie proposal, and some of its
implicationsareconsideredinthispaper.
A general rule to implement the Colomb/Crosbie
proposals might state that a vessel taking action to
avoidcollisionshouldnotpassaheadof theother ves-
sel. Either vessel inanencounter wouldbepermitted
totakeappropriateaction.
Inacasewhereavessel seesanother crossingfrom
her ownstarboardbow, analterationof coursetostar-
boardtopassunder thesternof theapproachingship
would beappropriateaction and similar to theusual
actiontakenunder thecurrent rules. Inthecaseof a
shipwhichsees another crossingfromher port bow,
an alteration of courseto port would beappropriate
actionunder theColomb/Crosbieconventionbut this
wouldbequitedifferenttotherequirementtomaintain
courseandspeedunder thecurrent rules.
Clearly, thereisapossibility ineither of theabove
situationsthat, if eachshipattemptstopassasternof
theother,theiractionsmightcancel andtherewouldbe
arenewedriskof collision.However,forreasonswhich
heexplains in his paper, J ohnWildeCrosbie(J WC)
believes that such conflicting actions would be rare
and, if theyshouldoccur, theycouldeasilyberesolved.
J WC bases his conclusions on an analysis of
COLREG developments and the views of commen-
tators, particularly in the UK during the 19th cen-
tury, when the COLREGS first became properly
formalised. He provides no experimental evidence
to support his arguments, but the present author is
reminded of the results of some radar simulator tri-
alsheconductedsomethirtyyearsago. Theseresults
haveneverbeenpublishedbut, sincetheyshedlighton
thepossibleacceptability of J WCsconclusions, they
arereportedinthefollowingsectionsof thispaper.
2 EXPERIMENTAL DESIGN
In this section, two radar simulator experiments are
described. Inthefirst, eachsubjectwaspresentedwith
asituationinwhichatargetvesselwasapproaching
fromthe port bow of the subjects own ship (see
fig. 1). Thetarget vessels coursewas at right angles
to the own ships course. The own ships full speed
was 15knots, but it was initially set at half speedof
10knots. Collisionwouldoccurafter33minutesif the
subject tooknoaction.
Thesecondexperimentpresentedeachsubjectwith
a similar situation except that the target ship was
approaching fromtheown ships starboard bow(see
fig. 2).
Inbothcases, thecollisionavoidanceactiontaken
bythesubjectscouldbeallocatedtooneof threecate-
gories: Alterationof coursetostarboard, alterationof
courseto port, or changeof speed only. Thesecate-
goriesareabbreviatedtoStbd, Port andSpeed
respectivelyinthetablesof section3.
Most of the subjects were mariners with at least
sixyearsof watchkeepingexperience. Therewasalso
237
Figure1. Experiment 1Port bowapproach.
Figure2. Experiment 2Starboardbowapproach.
a smaller control group of nave subjects with no
seagoing experienceand no knowledgeof theCOL-
REGS. Separateanalyseswereconductedfor thetwo
experimentsandforeachof theexperiencedandnave
groupsof subjects. That is, four analysesinall.
In every case, a
2
test was used to find whether
therewasevidencethat subjectshadsignificant pref-
erencesamongstthethreecategoriesof actiondefined
above. Thenull hypothesis was an equal probability
that thesubjects wouldchooseany of thethreecate-
gories of action. Thealternativehypothesis was that
thiswouldnotbethecase.A 0.05level of significance
wasconsideredsufficienttorejectthenull hypothesis.
Theresultsaresummarisedinsection3, below.
3 ANALYSES
3.1 Port bow approach, nave subjects
Of the15navesubjectswhowerepresentedwiththe
portbowsituation, thenumbersobservedtotakeeach
Table1.
Stbd. Port. Speed Total
Observed(O) 2 10 3 15
Expected(E) 5 5 5 15
(O E)
2
9 25 4 38
Table2.
Expected(E) 4.7 4.7 4.7 14
(O E)
2
18.5 22.1 0.1 40.7
of thethreecategoriesof actionappear inthefirstrow
of table1.
Thisisgreaterthan
2
(2,0.05)=5.99.Wetherefore
rejectthenull hypothesisandconcludethereissignif-
icant evidencethat thesubjectsprefer somemanoeu-
vresrather thanothers. Inthiscase, theyclearlyprefer
alterationsof coursetoport rather thanalterationsof
coursetostarboard, andthis provides somejustifica-
tionfor describinganalterationof coursetoport asa
natural manoeuvreinthegivensituation.
3.2 Starboard bow approach, nave subjects
Of the14navesubjectswhowerepresentedwiththe
starboardbowsituation, thenumbersobservedtotake
eachof thethreecategoriesof actionappearinthefirst
rowof table2.
This is greater than
2
(2, 0.05)=5.99. Wethere-
forereject thenull hypothesisandconcludethat there
is significant evidencethat thesubjects prefer some
manoeuvresratherthanothers. Inthiscase, alterations
of courseto starboard arepreferred to alterations of
courseto port. As before, this provides somejustifi-
cationfor describingalterationsof coursetostarboard
asnatural manoeuvresinthegivensituation.
3.3 Port bow approach, experienced subjects
Of the 23 experienced subjects who were presented
withtheport-bowsituation, thenumbersobservedto
takeeach of thethreecategories of action appear in
thefirst rowof table3.
This is less than
2
(2, 0.05)=5.99. We there-
fore accept the null hypothesis and conclude that
238
Table3.
Expected(E) 7.7 7.7 7.7 23
(O E)
2
0.1 1.7 2.9 4.7
Table4.
Expected(E) 8 8 8 24
(O E)
2
225 64 49 338
experiencedsubjectsdonot haveapreferenceamong
the three categories of action. In particular, there is
no evidenceto suggest that they prefer alterations of
coursetostarboardrather thanalterationsof courseto
port inthegivensituation.
3.4 Starboard bow approach, experienced
subjects
Of the 24 experienced subjects who were pre-
sentedwiththestarboardbowsituation, thenumbers
observedtotakeeachof thethreecategoriesof action
appear inthefirst rowof table4.
Thisisgreaterthan
2
(2,0.05)=5.99.Wetherefore
reject the null hypothesis and conclude that there is
significant evidence to suggest that the experienced
subjectshaveapreferenceamongthethreecategories
of actioninthistypeof encounter. Itisclearlyastrong
preferencefor alterationsof coursetostarboard.
4 INITIAL RESULTS
4.1 Natural manoeuvres
Insections3.1and3.2, navesubjects, withnoknowl-
edge of the COLREGS, altered course to port for a
threatontheirportbowandalteredcoursetostarboard
for athreat fromthestarboardbow. Theseareconsis-
tentresponses, sinceonesituationisthemirror image
of theother.Also, sinceitwastakenbythemajorityof
navesubjects, wemayconsider thesetobenatural
actionsrather thanresponsestoaset of rules.
4.2 COLREGS comparison, port bow threat
In thecaseof avessel approaching fromasubjects
starboardbow, thenatural actionisinaccordancewith
the COLREGS. In the case of a vessel approaching
fromasubjectsportbow, thenatural actionisentirely
differenttothatprescribedbytheCOLREGS. Rule17,
somewhat illogically, requiresthesubjectsvessel, (i)
tokeepher courseandspeedand(ii) if shedoestake
action, not to alter course to port. Rule 19, which
appliesinrestrictedvisibility, statesthat analteration
of coursetoportshouldbeavoidedforanapproaching
vessel forwardof thebeam.
Experienced subjects, faced with a threat from
the port bow, were equally divided between alter-
ations of course to starboard (in accordance with
the COLREGS) and alterations of course to port
(in accordance with natural action and with the
Colomb/Crosbieconvention).
4.3 COLREGS comparison, starboard bow
Moving on to theresults for thesituation wherethe
targetvessel isapproachingfromasubjectsstarboard
bow, wefindthatbothnaveandexperiencedsubjects
take similar action. That is, alterations of course to
starboard.
Inthissituation, analterationof coursetostarboard
wasthenatural actionof thenavesubjectsanditisalso
permittedunder rule15of theCOLREGS andunder
rule19when, inrestrictedvisibility, theapproaching
vessel isdetectedbyradar.Withnoconflictingconsid-
erationsinvolved, all theexperiencedsubjects(except
onewhodecreasedspeed) alteredcoursetostarboard.
Indoingso, they compliedwithboththeCOLREGS
andtheColomb/Crosbierecommendations.
5 THE EFFECT OF EXPERIENCE
5.1 Conflict with the COLREGS
Theexperimentsdescribedinsection3abovewerenot,
originally, designed to test theColomb/Crosbiepro-
posals. However, asdiscussedinsection4, they shed
somelight on how readily thoseproposals might be
acceptedbymariners. Theresultsshowthat aconsid-
erableproportionof experiencedmarinersappearwill-
ingto takeactionas impliedby theColomb/Crosbie
convention, evenincaseswheresuchactionisclearly
opposed to action prescribed by the COLREGS.
Clearly, thisproportioncouldbeexpectedtoincrease
if thepresent COLREGSwererepealed.
5.2 Rapid versus slow disengagement
In many collision encounters, the navigator has a
choice between an action which resolves the situa-
tionquicklybut whichinitiallyinvolvesamorerapid
approachtotheothervessel, andanactionwhichgives
amoreprolongeddisengagement andwhichinitially
decreasestherateof approachtotheother vessel.
In the case of a threat from the starboard bow
(as in fig. 2) a manoeuvre for rapid disengagement
corresponds with both theCOLREGS and natural
action, thatisanalterationof coursetostarboard.As
theresultsreportedinsection3.4show, practicallyall
experiencedmarinerstakethisaction.
In the case of a threat fromthe port bow (as in
fig. 1) amanoeuvretoachieverapiddisengagement,
that is an alteration of courseto port, is contrary to
239
theCOLREGS. Astheresultsreportedinsection3.3
show, experiencedmariners areequally dividedas to
whichwaytheyalter course.
5.3 Rational for a hypothesis
Intheport bowcaseof fig. 1, onechoiceisof asafe
buttimeconsumingactionof analterationof courseto
starboardor areductionof speed. Theother choiceis
anapparentlyriskier, but moreefficient, alterationof
coursetoportoranincreaseinspeed.Abouthalf of the
experiencedsubjectstookthelatter choicealthoughit
wasclearlynotsanctionedbytheCOLREGSsoitisof
interest tospeculateastowhythisshouldbethecase.
The tendency of many experienced subjects to take
risky action may beexplainedin terms of behaviour
theory as developedby B F Skinner (Skinner, 1953).
This suggests that an alteration of course to port,
althoughcontrary totheCOLREGS, leads toarapid
disengagement and relief fromanxiety so it is rein-
forced on every occasion that it is successful. An
alterationof coursetostarboardmay break theinitial
collisionsituationbut it leadstoaprolongationof the
encounter andthereforeacontinuedperiodof anxiety
until disengagement is finally achieved and theown
shipcanresumeitsoriginal course. If thissuggestion
iscorrect, thenalterationsof coursetoportforathreat
on the port bow should be more common amongst
themoreexperienced mariners. This was taken as a
workinghypothesisfor asupplementaryanalysis.
6 A SUPPLEMENTARY ANALYSIS
6.1 Purpose
Thisanalysiswasconductedtotest theabovehypoth-
esis by investigating apossiblerelationship between
the actions taken by mariners and their respective
lengths of experience. For this purpose, their actions
were divided into two groups according to whether
they were in conformity with the restricted visibil-
ityCOLREGS(rulefollowing) or inconflict withthe
COLREGS(ruleaverse).
In the port bow approach, this corresponded to a
choice between a safe manoeuvre that would pro-
long theencounter (alteration of courseto starboard
or reducespeed) andariskier manoeuvrethat would
resolvetheencounter quickly (alterationof courseto
port or an increasein speed). In table5, thetypeof
manoeuvrechosen is tabulated against thelength of
experienceof 23subjects.A Rulefollowingalteration
of coursetostarboardor reductionof speedis coded
as R. A rule-Aversealteration of courseto port or
increaseinspeediscodedasA.
6.2 Analysis
To analysetable5, wenotethat, becauseof wastage
amongstyoungermariners, experienceamongstaran-
domgroup is likely to behighly skewed rather than
normallydistributed. Alsotheeffect of experienceon
amariners behaviour is unlikely to belinear so that
Table5. Experiencev. ManoeuvreClass.
Experience Manoeuvre
Years& months class
1 66 R
2 69 R
3 76 R
4 91 R
5 95 R
6 96 A
7 99 R
8 109 R
9 114 A
10 118 R
11 123 A
12 124 A
13 128 R
14 130 A
15 141 A
16 147 A
17 148 A
18 183 A
19 186 R
20 190 R
21 265 A
22 282 A
23 29-0 A
means andstandarddeviations, calculatedarithmeti-
cally, may not bereliablestatistics in thecontext of
thisanalysis.
Of theavailablenon-parametric methods of anal-
ysis, the Mann-Whitney U test seems appropriate
because the test depends upon ranking but not on
an interval scaleand it does not assumeaparticular
distribution
Fromtable5, wenotethat 11subjectstookactions
of class A and 12 subjects took actions of class
B. The value of the Mann-Whitney U statistic is
calculated as 26. This is less than 28, the value for
a one tailed test at a 1% level of significance. We
therefore reject the null hypothesis and accept the
alternative hypothesis that, as experience increases,
marinersaremorelikelytochooseactionsthatresolve
an encounter quickly. Typically, they aremoreready
toalter coursetoport for athreat fromtheport bow.
7 DISCUSSION
A full investigation of theCrosbie/Colomb proposal
would require consideration of many factors. This
paper simply describes two radar simulator experi-
ments which suggest that an investigation is worth
while.
In the case of a threat approaching froma broad
angle on the starboard bow (fig. 2) an alteration of
courseto starboard was thefavoured manoeuvrefor
both experienced and navesubjects. This was com-
patiblewithboththeColomb/Crosbieproposal andthe
currentCOLREGSinbothclearweatherandrestricted
visibility.
240
In the case of a threat approaching froma broad
angleontheport bow(fig. 1) navesubjectsfavoured
an alteration of courseto port. Experienced subjects
wereequally dividedamongst analterationof course
to port, an alteration of course to starboard and an
alterationof speed.Thismightbethoughtasurprising
result inthat onewouldexpect experiencedmariners
toall complywithrule19orrule17of theCOLREGS
and avoid an alteration of courseto port. This result
gives somesupport to theColomb/Crosbieproposal,
whichwouldallowsuchanaction.
It is also of interest that, in the same situation, a
manoeuvre, such as an alteration of course to port,
whichleads toarapiddisengagement becomes more
acceptableasamarinersexperienceincreases.
Returningtotheaboveobservationthatsomeexpe-
riencedmarinerschosetodisregardRule17or 19we
should not, perhaps, be too surprised since a num-
ber of commentators have, over theyears, notedthat
marinerstakearelaxedattitudetofollowingtheCOL-
REGS. Forexample, Syms(2003) analysedtheresults
of aNautical Institutesurvey intomariners interpre-
tationsof Rule19inahypothetical collisionsituation
andconcludedthat, Fewer than a quarter picked the
correct action for both vessels to alter course to star-
board. And, Salinas (2006) found that, in relation to
Rule19d, . . . .. it has been clearly proved there exists
complete disagreement between what the COLREGS
state and what seafarers really do.
8 CONCLUSIONS
Atthisstage, itshouldbemadeclear thattheauthor is
nottakingapositionfororagainsttheColomb/Crosbie
proposal. Heissimplypresentingsomeevidencethat
suggests that anactiontakeninaccordancewiththat
proposal would be acceptable to mariners in two
particular situations.
The author does recommend that the Colomb/
Crosbie proposal is worth further investigation and
thatfurthertests, usingasimulatorwithadaylightdis-
play, shouldbeconductedwiththespecificpurposeof
investigatingtheColomb/Crosbieproposal.
The author also notes that adoption of the
Colomb/Crosbie proposal would create such radical
changes in the Rules for Avoiding Collisions at Sea
thatitmightbeimpossibleevertoachieveinternational
agreement. That might beshame.
REFERENCES
Colomb, P H & Brent, H W (1866) The Law of Port Helm,
etc. J DPotter, London
Colomb, P H(1885) The Dangers of the Modern Rule of the
Road at Sea. J DPotter, London
Crosbie, J W(2009) Revisitingthelessonsof theearlysteer-
ingandsailingrules for ane-navigationage. Journal of
Navigation, 62,109
Salinas, C F (2005) Restricted visibility: In search of a
solution. Journal of Navigation, 59,349
Skinner, B F (1953) Science and Human Behaviour.
Macmillan, NewYork
Syms, R (2003) Nautical Institute Colregs Survey
Scenario3. Seaways, December 2003.
241
6.2
Methodof safereturningof thevessel toplannedrouteafter deviation
fromcollision
M. Tsymbal & I. Urbansky
Odessa National Maritime Academy, Odessa, Ukraine
ABSTRACT: Flexiblestrategies for collisionavoidance, presentedat TransNav 2007, wereexaminedusing
computer programfor itscorrectnessindifferentsituationsof shipsinteraction. Itwasdetermined, thatonshort
distancetheriskof collisioncanariseagainwhenthevessel returningtotheplannedrouteafter deviationfrom
collision. For controllingshipssafereturning, themathematical model wasdeveloped.Thismodel describesthe
analytical dependenceof therateof changingrelativecoursewithrespect toratesof turningof thevesselsand
itsinitial relativeposition. Thismethodcanbeusedinautomatic systemsfor controllingthesafereturningof
thevessel totheplannedroute.
1 INTRODUCTION
Flexible strategies for collision avoidance, take into
account thepresenceof dangerous andobstacleves-
sels, hazards for navigation and the Colreg require-
ments.Thestrategyof collisionavoidancedependson
therealized rangeof mutual duties, relativeposition
of vessel and target and, correlation of their speeds.
In general strategy of deviation foresees transfer the
current positionof thevessel fromsubset of danger-
ous positions to subset of safepositions, calculation
thedeviationcourseandthenreturningtotheplanned
routebyacoursetangent tothecircleof theassigned
CPA (Tsymbal 2006, 2007, 2008).
During modeling the flexible strategies on com-
puter,itwasdetermined,thatonshortdistancestherisk
of collisioncanariseagainwhenthevessel returning
totheplannedrouteafter deviationfromcollision.
Thepaper presents themethodfor calculatingthe
parameters for ship manoeuvring, when returning to
theplannedrouteafter deviationfromcollision.
2 MATHEMATICAL MODEL
2.1 Three types of returning trajectories
The detailed analysis, shows that for safe returning
of the vessel on the planned route in default of co-
ordinationbetweentheshipandtarget it isnecessary
the initial situation G to identify with one of three
subsets Mn1, Mn2 or Mn3, each of which deter-
minesthetypeof trajectoryfor returningtheshipand
mathematical model for calculationtheparametersof
manoeuvre.
The first subset M
n1
includes safe situations G,
when are assured increase the distance L
t
between
thevessels and target, i.e. dL
t
/dt >0. Second subset
M
n2
includes situations, when distance between the
ship and target reduces, i.e. dL
t
/dt <0. And, finally,
thethirdsubset of situationsM
n3
includesthosesitu-
ations, for whichit ispossibleincreasingor reducing
thedistanceL
t
.
For identification thetypeof initial situation G it
isnecessarytocalculatetheinitial relativecourseK
oto
andrateof itschange
otb
.
2.2 Calculation of relative course and rate of its
change
The initial relative course K
oto
means the relative
courseof theships deviation. Its calculation is pro-
ducedontheparameters of motionof thevessel and
target byexpression:
where K
vo,
V
v
, K
co,
and V
c
, =the values of initial
courseandspeedof thevessel andtargetaccordingly;
V
oto
=initial relativespeed:
For calculationthevalueof relativeangular speed
otb
, it isnecessarytoknowthevaluesof rateof turn
of thevessel
vb
andthetarget
c
.
Calculationof thevaluerelativeangular speed
otb
for a situation, when the vessel and target change
course simultaneously is produced by the following
analytical expression:
243
Figure1. First typeof returningtrajectoryintruemotion.
whereK
vt
=(K
vy
yb
t); K
ct
=(K
vy
yb
t);
b
=
yb
c
;K =K
vy
K
cy
;K
vy
=vesselscourse
deviation; K
cy
=targetscoursedeviation. K
vy
andK
cy
determinedpreviouslybyusingthemethodof flexible
strategiesfor collisionavoidance.
Whentarget keepher course,
c
=0and, only the
vessel changeher course
The sign of the vessels rate of turn depends on
the side of turn
y
, so, that sign(
yb
)=sign(
y
);
y
=1whendeviationtostarboard.
2.3 Identification of initial situation
Belongingof theinitial situationGtothesubset M
n1
isanalyticallyexpressedasfollows:
where
0
=initial bearingfromthevessel tothetarget.
Conditionwhichdescribesbelongingof initial sit-
uation G to the subset M
n2
, expressed by a next
correlation of relativeinitial courseK
oto
and sign of
rateof turn
otb
:
Belonging of initial situation G to subset M
n3
, is
determinedbyanalytical expressions:
The type of returning trajectory depends on the
subset towhichtheinitial situationbelongs.
Figure2. Secondtypeof returningtrajectoryintruemotion.
2.4 First type of returning trajectory
If GbelongingtoMn1, themostpreferableisthefirst
type of vessels returning trajectory to the planned
route. Thistypeof trajectoryrequiresminimumtime.
Thefirst typetrajectoryisshownonFigure1.
Thismanoeuvreincludestheturnof vessel fromthe
courseof deviationK
y
tothereturningcourseK
b
, and,
whenapproachingtotheplannedroutethevessel shall
turnfromthecourseK
b
onaprogrammaticcourseK
0
,
asshownonaFig. 1intruemotion. Thevalueof K
b
dependsonK
0
andK
y
. WeproposedK
y
=40
.
The parameters of this manoeuvre are the values
of: returningcourseK
b
; themomentsof beginningthe
turnt
bn
andendingthefirst turnt
bk
; themomentst
kn
andt
kk
whichdeterminethebeginningendendingof
thesecondturn. Theseparameterscalculatedby next
equations:
whereR
c
=radiusof circulationof thevessel.
2.5 Second type of returning trajectory
IncasewhenG belongingtoM
n2
, thevessel usesec-
ondtypeof returningtrajectorywhichconsistwiththe
first turntothesamesideasdeviationfromcollision
with angular speed
yb
=sign(
y
)
ymax
and, then
returningtotheplannedroutebycourseK
b
. Thesec-
ond type of trajectory is shown on Figure 2 in true
motion.
244
On the first step it is necessary to determine the
coordinatesX
vo
, Y
vo
X
vk
Y
vk
X
vp
Y
vp
:
ThenwecalculatethedistanceL
b
:
The parameters of manoeuvre calculated by next
equations:
2.6 Third type of returning trajectory
If GbelongingtoM
n3
, thevessel shall continuemotion
withrelativecourseof deviationK
oty
till themoment,
when the returning to relative course K
otb
guaran-
tee that CPA will not less then L
d
. This third type
of returningtrajectory shownonFigure3inrelative
motion.
In the beginning it is necessary to calculate the
co-ordinatesof pointsA,B,C:
whereK
otb
=relativecourseof returning.
Figure 3. Third type of returning trajectory in relative
motion.
where
K
oty
=relativecourseof deviation.
Distance L
AC
between points A and C calculated as
follows:
Themoment of timeto turnt
b
is determinedby the
followingformula:
Amendment for shipsdynamict
b
iscalculatedona
formula:
Theparametersof beginningandendingtheturnto
courseK
b
arecalculatedbynext equations:
3 EXPERIMENTSANDRESULTS
For verificationof correctness theoretical results the
imitation software was designed for modeling the
245
Figure4. First typetrajectoryfor safereturning.
Figure5. Secondtypetrajectoryfor safereturning.
manoeuvreof returningthevessel totheprogrammatic
trajectory of motion in different situations and with
different types of returningtrajectory. This computer
programallowsontheset initial situationchoosethe
safemanoeuvreof returningandbuildshistrajectory
onthescreen. Informationappearsinrelativeandtrue
motion.
On Figure 4 a situation is shown, when the safe
manoeuvreof returningispossiblebythetrajectoryof
thefirst type.
Left part of screenshowstherelativetrajectory of
thevessel inrelationtotheimmobiletarget. Rightpart
of thescreencontainsthetrajectoriesof thevessel and
targetintruemotion.Aswecansee,onrelativemotion,
thedistancebetween vessel and target is increasing.
Black squareshows theinitial position of thevessel
after deviationfromcollision.
OnFigure5secondtypeof safereturningtrajectory
shown.
Third type of safe returning trajectory shown on
Figure6.
Figure6. Thirdtypeof safereturningtrajectory.
Morethan100differentinitial situationsweregen-
eratedandtheparametersof manoeuvresof returning
on theprogrammatic trajectory of motion arecalcu-
latedandmodelling. Itappearedthat51%of manoeu-
vreshadthefirst typeof trajectoryof returning, 37%
is the second type and 12% is the third type. All
manoeuvreschosenbytheprogramweresafe.
4 CONCLUSION
This paper presented the method which taking into
account high level of vagueness of targets conduct,
and increase safe returning of the vessel to planned
routeafter deviationfromcollision.
Obviously, that at presence of co-ordination
between a vessel and target on the stage of their
returningtoplannedrouteprovides morehighsafety
returning.
REFERENCES
Tsymbal M., Burmaka I. & Tjupikov E. 2007, Flexible
strategies for preventingcollisions. Monograph, Odessa,
Ukraine, 2007, ISBN978-966-8128-96-7
Tsymbal M.,2007.Methodof Synthesisof FlexibleStrategies
for PreventingCollisions. InWeintrit, A. (Ed.): Advances
inMarineNavigationandSafetyofTransportation.Mono-
graph, Gdynia, J une2007, ISBN978-83-7421-018-8
Tsymbal M. & UrbanskyI. 2008. Development of simulator
systemsfor preventingcollisionof ships. InBenedict K.
(Ed.): 35th Annual General Meeting and International
WorkshopConferenceinInternational MarineSimulator
Forum, Rostok, September 2008, ISBN 978-3-939159-
55-1
246
6.3
A studyof marineincidentsdatabasesintheBalticSeaRegion
A. Mullai, E. Larsson&A. Norrman
Lund University, Lund, Sweden
ABSTRACT: A comprehensiveriskanalysismakesuseof different datasets. Marineincidentsdataareessen-
tially important datasets. Thepurposeof thisstudy istoanalysemarineincident databasesintheBSR (Baltic
SeaRegion). Themarineincident dataintheregionareinhabitedbyawiderageof issues, suchaslimiteddata
accessibilityandavailability, andthediversityindataquality, structure, amount, accuracy, degreeof detail and
languages. Preparingforthedataanalysisisaverycumbersome, labourintensive, timeconsumingandexpensive
process. Mergingdifferent datasets fromdifferent countries into asingledataset is avery difficult process, if
not impossiblefor acompletedatamerging. Thepaper providesexperiencesonhowtoovercomesomeof these
issuesandproposessomesuggestionsfor improvementsinthefuture.
1 INTRODUCTION
1.1 Background
TheBalticSeaistheworldslargest brackishbodyof
water.ItisdesignatedasaPSSA(ParticularlySensitive
SeaArea). Morethan2000largeshipsincludinglarge
oil tankersareatanygiventimeintheBalticSea(HEL-
COM 2005, Rytknen et al. 2002). Maritime trans-
port adversely affects different risk receptors invari-
ous forms and degrees of extents. Increasingly large
amountsof differenttypesof dangerousgoods, includ-
ing oil and oil products, gases and a wide range of
chemicals, transportedandhandledintheBSR(Baltic
Sea Region) (estimated between 3001000million
tons per year) and accidents involving these goods
areconcerning issues for thecountries in theregion
(TSE 2006).Themostrecentmajor oil spillsthathave
occurredintheregionarethecasesof them/vFuShan
Hai(2003) (1200tonsof oil spilt) andthem/vBaltic
Carrier (2001) (2700tons of oil spilt). Thecosts of
oil spillsreportedyearlyandtheworst-casescenarios
in resund are respectively estimated $223,500 and
between$150300million(Mullai &Paulsson2002).
The DaGoRus project (Safe and Reliable Trans-
portof DangerousGoodsintheRussian-EULogistics
Chain) isanEuropeanUnion(EU)/Tacisprojectdeal-
ingwithsafeandreliabletransportchainsof dangerous
goods. The project consists of a number of part-
ners (including Lund University LU, Sweden) and
WorkingPackages(WP). It canbeconsideredascon-
tinuation of the DaGoB project (Safe and Reliable
Transport Chains of Dangerous Goods in the Baltic
SeaRegion) (INTERREG IIIB). Themain objective
of theprojectistoprovideariskanalysisof dangerous
goods transport in the BSR. The project is in many
respectsunique.
1.2 Literature review
An extensive literature review showed that a holis-
tic viewof themaritimerisks in theBSR is limited,
and they deserve a better understanding. Projects
co-financed by the EU, including the BSR INTER-
REGNeighbourhoodprogramme,havecoveredawide
rangeof issuesconcerningsustainabledevelopmentin
theregion. Baltic Master (20052007) andOILECO
(Integrating ecological values in the decision mak-
ingprocess onoil) (20052007) areexamples of the
recent EU projects. None of these projects has par-
ticularly dealt withtherisks of maritimetransport of
dangerousgoodsatawiderBSRcontext, includingthe
Russianpart. Inaddition, afewpeer-reviewedpapers
havebeenconfinedtoalimitednumber of riskissues,
suchasthem/v Estonia case(Soomer et al. 2001),
marinepollutionincoastal waters, oil spillsdetection
and remote surveillance (Loostrm1983) and mon-
itoring by in-service aircraft (Von Viebahn & Gade
2000) andsatellite(Kostianoyet al. 2005).
1.3 Research questions and objective
Marineincidentsdataareessentiallyimportantfor the
risk analysis. Timeand financial resources areoften
limitedfor researchprojects, includingtheDaGoRus
project. While the signing of the partnership agree-
ment for the project was still pending, the relevant
researchquestions for this particular study presented
inthis paper are: What is thecurrent state-of-the-art
marineincidents datain theregion? Is it feasibleto
performacomprehensiverisksanalysisfor theentire
region?Thepurposeof thisstudyistoanalysemarine
incident databases in the BSR and propose sugges-
tionsfor improvementsindataaccessibility, structure
andquality.
247
1.4 Materials, methods and paper outline
After several months of communication with the
responsible authorities of the BSRs countries, the
followingmarineincidentdatabaseswereacquired: 1)
DanishMaritimeAdministrationDatabase(DMADB)
(19972006; inDanish); 2) FinishMaritimeAdminis-
trationDatabase(FMA DB1andDB2) thedatabase
contains two datasets (19901996 and 19972007;
in Finnish); 3) Swedish Maritime Administration
Database (SMA DB) (19852007; in Swedish); and
4) Helsinki Commission Database (HELCOM DB)
(19892006; in English). In section 3 of the paper,
themain results and discussions including problems
encounteredduringdatacollectionarepresented. The
properties of the databases are described and com-
pared. For the purpose of benchmarking with some
of the best technology and practices in the field, in
section 4, the USAs and worlds largest incidents
databasesaredescribed. Conclusionsandsuggestions
for improvements areprovidedinsection5. Initially,
insection2, theconceptsof risksandriskanalysisare
brieflydescribed.
2 RISKSANDRISK ANALYSIS
2.1 Maritime risks
Therisk isdefinedasthelikelihoodof consequences
of undesirableevents (Kaplan& Garrick 1981, HSE
1991). Thetermsmarineaccident andincident and
marinecasualty denoteundesirableevents in con-
nection with ship operations (IMO 1996). The term
marineincidentisusedtodenoteundesirablemarine
events, i.e. marineaccidents, incidentsandnear miss-
ingevents. Thedangerousgoodsriskscanbedefined
asthelikelihoodof consequencesof hazardousrelease
events (HSE 1991). Maritimetransport risks aresta-
tistically verifiabletechnological andhumanactivity
risks. The maritime transport systemand risks con-
sistsof manyelementsthat areclassifiedanddefined
byvariouscodingsystems.
2.2 Risk analysis
Contemporary risk management recognises the fact
that the risk analysis, which is a rigorous scien-
tific process facilitated by standardised frameworks
andtechniques, is prerequisitefor thedecisionmak-
ing process. The main purpose of every risk study
is, to the best abilities of researchers and data and
resources available, to providedecision makers with
valid and reliable information and tools that would
enablethemtomakeinformeddecisions.Theriskanal-
ysisvariesfromsimplescreeningtomajoranalysisthat
requires many years of efforts, substantial resources
andalargeteamof experts usingvarious risk analy-
sistechniquesanddatasets.Themainstagesof therisk
analysisarepreparationsforanalysis, theanalysispro-
cessandconclusionsandrecommendations. Thefirst
stageencompassesawiderangeof activities,including
identification, selection, compilationandpreparation
of therelevantdatasets. Largeamountsof diverserisk-
related datasets arerequired, but themost important
datasetsaremarineincident data.
3 MAINRESULTSANDDISCUSSIONS
3.1 Limited data accessibility and availability
TheBaltic Seaisanuniqueareaintermsof sensitiv-
ity anddiversity of countriessurroundingthearea. It
is surroundedby ninedifferent countries withdiffer-
entbackgrounds, languagesandpractices, whichmay
hamper datacollectionandmergingandperformance
of arobust riskanalysis.
Dataaccessibility may bean issuefor theregion.
Our investigation suggests that marine incidents are
recodedintodatabasesinall BSRscountries.Theweb-
sitesof therelevant authoritiesinseveral countriesof
the BSR were reviewed. None of themhad marine
incidentdatabasesandotherrisk-relateddataavailable
in electronic format for thepublic use. Requests for
dataacquisitionweresent toall countries(Denmark,
Estonia, Finland, Germany, Latvia, Lithuania, Poland
andSweden), except Russia, andHELCOM. Signing
of the partnership agreement with Russian partners
was still (20072008) pending. Further, datacollec-
tionfortheRussianpartwastheresponsibleof another
projectgroup. Contactinformationwasobtainedfrom
the SMA and other sources. Requests were sent to
themaritimeadministrations, coastguards, bureausof
maritime casualty investigation and maritime safety
inspectorates. The mail delivery system confirmed
that request messages were successfully delivered,
receivedanddisplayedontherecipientscomputer.We
wereabletoreceivefour(seeSection1.4) marineinci-
dentdatabases.Twodatabaseswereprimarilyobtained
as the result of our personal contacts with the rele-
vant authorities. Two other databases were obtained
afterconsiderablecommunicationandassistancefrom
our personal contacts. Somerespondentsdidnotreply
or werenot interestedincooperation. Requests were
sent several timestothosewhodidnot reply. Insome
countries, theauthoritiesmaybeunwillingor uncom-
fortable in providing data, in particular to external
parties. Some interrelated reasons were cited incon-
venient databaseformat, limitedhumanandfinancial
resources, anddataconfidentiality.
Inconvenient database format for preparing and
sending data in electronic format was cited by sev-
eral respondents as one of the main issues. In one
country, theincidentdatarecordedupuntil December
2007wereavailableonlyat arelativelyoldcomputer.
According to the respondent fromthat country, the
data were compressed in a way that was practically
impossibleconvertingthedataintoamodernprogram
format, includingExcel format. It was very difficult
andtimeconsumingtoconvertall datamanually. One
respondent from another country replied that their
organisationdidnot work withtheExcel programas
database.Theywerestill waiting(2008) fortheEMSA
(EuropeanMaritimeSafetyAdministration) database
248
for thestatistical analysis of ship incidents. Another
one stated that their database contains personal and
other information that arenot necessary for therisk
analysis. Further, converting their entiredataset into
a convenient data format was time consuming and
impossibletaskfor them.
All respondents stated that preparing and sending
data in electronic format were time consuming and
labour intensiveprocesses. Duetoworkloadandother
inquiriesandincombinationwithlimitedhumanand
financial resources, they wereunabletoprovidedata
at all or in due time. They were too busy to assist
us as their daily work was highontheir priority list.
Onerespondent wrotethat hewill not sendtheentire
database. But, if we needed simple extractions they
wouldbeabletoassistus. Incaseof alargeextraction
requiring special adjustments, they had to chargeus
for that.
Data confidentiality might have been one of the
mainreasonswhysomeauthoritiesdidnot reply. One
respondent statedthat inhis country marineincident
dataareconfidential. Thedataareonly availablefor
the accident investigation in his country and in his
country language. A risk analysis for the BSR as a
whole based on exhaustive data may not be possi-
ble should all the countries share a similar policy.
Two respondents made reference to annual accident
reportsinpdf-formatpublishedontheirorganisations
website for the public use. The review of numerous
accident reports showed that they were comprehen-
siveandwell prepared. However, anumber of issues
areobserved. Thedataaremainly analysedandpre-
sented in formof descriptive or summary statistics,
such as frequency tables and charts. Application of
advancedinferencestatistics andspecific risk analy-
sis methodology werelacking. Reports areprepared
by or for theresponsibleauthorities. Theknowledge
comes fromdifferent corners, frompractitioners and
scientificcommunityalike. However, becauseof sys-
tematicandrigorousprocessesemployed, it iswidely
accepted that theknowledgegenerated by thescien-
tific community has a higher degree of confidence,
validity andreliability thantheother forms. Thesci-
entific literatureonthemaritimerisks for theregion
is, however, verylimited. Studiesconcerningdanger-
ous goods risks are largely confined to oil spills in
theterritorial watersof individual countriesor incer-
tainareasof theBSR. Further, integratinginformation
fromdifferent reportsisanimpossibletask.
3.2 Diverse and incompatible data
In this section, thedataproperties areexplored (see
Tables 16 and Figs 13). The HELCOM DB con-
tainsmarineincidentsreportedbytheBSRscountries.
This dataset may serve, to somedegree, as asample
for studying and drawing conclusions for the mar-
itimerisks intheentireregion. However, thedataset
is a relatively small and biased sample. The review
of other databases showed that incidents are selec-
tively reported to the HELCOM. Thus, during the
period 19892006, a total number of 906 incidents
Table1. Themaincategoriesandexamplesof variablesin
theSMA DB (19852007).
Maincategory: examplesof variables
Time: year, month, day, dayof theweek, time(hours)
Location: latitudeandlongitude, portsof departureand
arrival, country, geographical areas, trafficarea,
fairwayetc.
Ship: call sign, name, type, classsociety, nationality, built,
size(dwt, brt, length), material etc.
Ship activity: shipactivity(en-route, loading/discharging),
activityonboardetc.
Exposure: crew, passengers, visitors, total numbersetc.
Cargo: description, type, amount, dangerousgoodsetc.
Event: type, event grading, description
Cause: categoriescodified, description
Other: pilot presenceonboard
Environment: light, visibility, precipitation, sea, windetc.
Consequence: human(fatality, injury, disappearance crew,
passengers, pilots, others, total), ship(damage
description, location, extent), environment (oil andother
pollutants type, amount)
Table2. Thecategories, types and measurement levels of
variablesintheDMA DB (19972007).
Variable
Type* Measurement level**
Main
category Str. Nrc. Date Other Nom. Ord. Sc. Other
Time 4 4
Location 1 2 3
Ship 6 2 6 2
Event 2 1 1
Cause 2 2
Other 1 1
Consequences 1 1 1 1
Total 13 2 4 3 15 1 2 4
* Variabletype: Str. (String variables whosevalues arenot
numeric and therefore are not used in calculations), Nrc.
(Numeric variables). ** Variablemeasurement level: Nom.
(Nominal variables whosevalues represent categories with
no intrinsic ranking), Ord. (Ordinal variables whosevalues
represent categorieswithsomeintrinsicranking), Sc. (Scale
variables whosevalues represent ordered categories with a
metric) (SPSS16.0for Windows2007)
(50 incidents per year) has been reported, of which
123 (13.6%) and 82 (9.1%) are respectively pollu-
tionincidentsandincidentswithnoinformationabout
pollution. These numbers are smaller than pollution
incidentsandmarineincidentsrecordedintheBSRs
databases (e.g. SMA DB 5778 incidents reported
during19852007). Duringtheperiod20042006, the
SwedishCoast Guardalonehas observedonaverage
308spillsperyear. Inaddition, theHELCOMDBcon-
tains42variables, where17variables(40%) represent
shippropertiesandconsequences(Table6andFig. 1).
Theconsequences areconfined to theoccurrenceof
pollution(yes/no), theamount andtypeof pollutants.
249
Table3. Themaincategories, typesandmeasurementlevels
of variablesintheFMA DB1(19901996).
Variable
Main
Time 5 5
Location 4 2 4 2
Ship 11 2 11 2
Shipactivity 2 2
Exposure 2 2
Cargo 1 1 1 1
Event 3 3
Cause 4 4
Other 1 1
Environment 4 1 3
Consequences 9 6 2 3 6 6 2
Response 1 1
Total 40 11 5 4 36 9 11 4
*, ** Seethefoot noteinTable2
of variablesintheFMA DB2(19972007).
Variable
Main
Time 5 5
Location 3 2 3 2
Ship 10 3 2 12 3
Shipactivity 2 2
Exposure 2 2
Cargo 1 1
Event 3 3
Cause 4 4
Other 1 1
Environment 4 1 1 3 1
Consequence 11 19 4 11 19 4
Total 39 25 7 6 43 3 25 6
Thevariablelabelsarenotproperlydesignedandpartly
or completely missing in somevariables. For exam-
ple, theshiptypedetailsvariablecontainssome126
items.
The risk estimation and presentation require
exhaustive data. The results obtained fromthe risk
estimationmayserveasanempirical groundforestab-
lishing risk criteria in the region. The risk criteria
may serve as benchmarking standard for measuring
and comparing the maritime risks in the individual
countries and theregion as awhole. In Sweden and
othercountriesintheregion, thesecriteriaarelacking.
Further, thereliability andvalidity of risk estimation
of variablesintheSMA DB (19962007).
Variable
Main
Time 3 3
Location 10 2 10 2
Ship 13 3 13 3
Shipactivity 3 3
Exposure 3 3
Cargo 2 2
Event 4 3 1
Cause 1 1
Other 3 3
Environment 5 1 3 2 1
Consequence 8 26 1 5 3 26 1
Total 48 33 3 4 45 6 33 4
of variablesintheHELCOM DB (19892006).
Variable
Main
Time 4 4
Location 1 2 1 2
Ship 10 7 10 7
Cargo 1 1
Event 2 1 2 1
Cause 4 4
Other 3 3
Consequences 6 1 5 1 1
Total 27 8 4 3 30 1 8 3
22
60
77
42
88
0
20
40
60
80
100
DMA DB FMA DB1 FMA DB2 SMA DB HELCOM DB
Database
N
u
m
b
e
r

o
f

v
a
r
i
a
b
l
e
s
Figure1. Thenumber of variablesindatabases.
andpresentationdependsverymuchonthedataqual-
ity, diversity and amount. Therefore, it is important
to performa comprehensive risk analysis based on
all datasetsavailable. Thebest alternativeistomerge
250
0
5
10
15
20
25
30
35
T
i
m
e
L
o
c
a
t
i
o
n
S
h
i
p
S
h
i
p

a
c
t
i
v
i
t
y
E
x
p
o
s
u
r
e
C
a
r
g
o
E
v
e
n
t
C
a
u
s
e
O
t
h
e
r
E
n
v
i
r
o
n
m
e
n
t
C
o
n
s
e
q
u
e
n
c
e
R
e
s
p
o
n
s
e
N
u
m
b
e
r

o
f

v
a
r
i
a
b
l
e
s
Figure2. Comparisonamongthemaincategories of vari-
ablesindatabases.
0
50
100
150
200
250
300
350
400
450
1
9
8
5
1
9
8
6
1
9
8
7
1
9
8
8
1
9
8
9
1
9
9
0
1
9
9
1
1
9
9
2
1
9
9
3
1
9
9
4
1
9
9
5
1
9
9
6
1
9
9
7
1
9
9
8
1
9
9
9
2
0
0
0
2
0
0
1
2
0
0
2
2
0
0
3
2
0
0
4
2
0
0
5
2
0
0
6
2
0
0
7
N
u
m
b
e
r

o
f

i
n
c
i
d
e
n
t
s
Figure 3. Comparison among periods and numbers of
marineincidentsrecordedinthedatabases.
all datasets into a single dataset. A precondition in
thedatamergingprocessisthat all variablesmust be
compatible, i.e. they haveto sharesimilar properties
includingvariabletype, number, label, andvalueand
measurementlevel. Variablesarenotorganizedinany
particular order inthedatabases. BasedontheSMA
DB, variablesarelabelledandorganizedinmaincat-
egories(Table1). A completedatamerging, whichis
mergingall databasesincludingall casesandvariables,
isnot possible. Mergingpartsof datasetsmaybepos-
sible, but considerabletime, resources and expertise
arerequired.Thisprocessincludestranslation, codifi-
cationandde-codificationanddesignandre-designof
variables, conversionof datafromExcel toSPSSdata
format, datamergingandfiltering. Onecasehistory
isoneA4paper text (multipliedbyca8000incidents)
andmanyvariablesarestringor text format variables
written in different languages. Text format variables
containveryimportantinformation.Thedatabasesare
mainlydesignedbasedontheDAMA codingsystem,
whichwas originally agreed(1990) by Scandinavian
countriesfor registrationandanalysisof marineinci-
dents. The FMA DB and SMA DB share more in
commonthanthetwootherdatabases.Deviationsfrom
thecodeandchangesarealsoobservedwithinthesame
database(e.g. FMA DB).Thelabelsof manyvariables
in the FMA DB are coded according to the DAMA
codingsystem. Thesevariables must bede-codified.
Thedatabasesarespeciallydesigneddatabases, which
maybeinconvenientforconvertingdataintoadvanced
statistical programformats. Thedataweresent toLU
inanExcel format. Dataanalyses andresult presen-
tations withthis dataformat arelimited. Thepresent
Excel dataformat of thedatabasesisnot readilycon-
vertible to the statistical programformat. The data
areorganized on thecase and variable bases. It
isunclear whether thecasehistoriesarecompiledon
event or ship bases. In many cases, in a single
incident two or moreships havebeen involved. The
DMA DB is confined to a very limited number of
events such as collision, grounding and fire. In one
database, manycasesweredeleted. TheSMA DBand
FMA DB containincidents that haveoccurredinthe
respectivecountry territorial waters for all nationali-
tiesandshipsflyingtherespectivecountryflagoutside
the territorial waters. Therefore, variables should be
designedfor filteringor samplingpurposes. Interms
of data properties and structure, there are consider-
ablediscrepancies among thedatabases (Tables 26
andFigs13). Onlyaveryfewvariablesarecompati-
ble.Therearesignificantgapsinthenumber, category,
type and measurement level of variables. The string
(Str.) and nominal (Nom.) variables dominate (51
75%) all databases. The second largest numbers of
variables arescale(Sc.) and ordinal (Ord.) variables
(1038%). More analysis methods are applicable to
scaleandordinal variablesthannominal variables.The
variablesfor measuringrisksof maritimetransport of
dangerous goods arevery limited, if not lacking for
certaindatabases.
4 INCIDENT DATABASESINTHE USA
The study of many incident databases (see Mullai
2004) showthat, in terms of thepublic accessibility
and amount, diversity, accuracy, quality of danger-
ous goods risk-related data, the USA is one of the
most advancedcountriesintheworld. Many typesof
dataarefreeof chargeandavailablefor publicusein
the Internet. The USA Freedomof Information Act
(1974) requiresall federal andnational organisations
tomakedataavailableinelectronicformtothepublic.
HazardousMaterial InformationSystem(HMIS) and
National ResponseCenter(NRC) databasesaretwoof
theUSAsandtheworldslargestdatabasesinthefield.
They areavailableto bothscientific andpractitioner
communities. The HMIS database (ca 200,000 case
historiesorganisedinmorethan180variables)records
all dangerousgoodsincidentsoccurringinall modesof
transport. TheNRCdatabase(over ahalf millioncase
historiesorganisedinmorethan230variables)records
all incidentsinvolvingall typesof hazmat discharges
intotheenvironmentanywhereintheUSAanditsterri-
tories.Thedataarereportedbyindividualsandawide
rangeof organisationsandagencies, andcover awide
rangeof systemsof theUSAschemical supplychain.
In contrast to the BSRs databases, both the USAs
databases offer many advantages, includingmassive,
diverse, high quality and very well organised data,
no restriction and easy data access via the Internet,
251
andveryconvenient dataformat. Our experience(see
Mullai & Larsson2008) shows that datapreparation
and analysis are significantly less time consuming,
resourceand labour intensivethan working with the
BSRsdatabases. Theincidentsrecordedtoall BSRs
databases combined areonly asmall fraction of the
HMISandNRC databases.
5 CONCLUSIONSAND
RECOMMENDATIONS
With reference to the research questions, merging
all databases into a single dataset and performing
a detailed risk analysis for the BSR may not be
possible due to issues explored in this study. How-
ever, arisk analysis basedonpartly mergeddatasets
is feasible. Some of the issues are partly attributed
to different practices, priorities and languages. The
marineenvironmentandsafetyissuesaregainingmore
attention in the region. In order to tackle some of
the issues, we suggest the following solutions: (i)
Enhancecooperationamongmaritimeauthoritiesand
other partiesintheregion. ProjectsliketheDaGoRus
projectandconferencesliketheTransNav09cancon-
tributetocooperation.Theycanserveasforumswhere
problems and solutions areidentified and discussed,
stakeholders meet and information is disseminated.
(ii) Improveandharmonisemarineincidentdatabases
in the BSR. Immediate changes cannot be expected
in the near future as several databases are designed
based on the established coding system. Significant
changesmayrender manyyears(twodecades) of data
records incompatible. Therefore, the process should
bewell studiedandperformedinastepwisemanner.
(iii) Marine incident data should be made publicly
availableinelectronicformat viatheInternet, at least
for the research purposes. The USA experience can
serveas an inspirational example. (iv) Upgradedata
compilationsystems.(v)ImprovingtheHELCOMDB
isagoodsolution, whichincludereportingall marine
incidents(accidental anddeliberateevents) occurring
in the BSR, improving the quality of variables and
ensuring a higher degree of data completeness. The
maritime risks, including risks due to the large and
increasing amounts of dangerous goods, deserve a
better understandingandmanagement. Thesecanbe
achievedonlybyunitedefforts.
ACKNOWLEDGEMENT
We wish to thank the DaGoRus project office for
financingthis study, andDanish, Finnish, HELCOM
and Swedish authorities for their assistance in data
collection.
REFERENCES
HELCOM (Helsinki Commission) 2005. Overview of the
ships traffic in the Baltic Sea
HSE (Health and Safety Executive) 1991. Major Hazard
Aspects of Transport of Dangerous Substances. Report
of Advisory Committee on Dangerous Substances, Health
and Safety Commission, HMSO, UK
IMO (International Maritime Organisation) 1996. Reports
onMarineCasualties. HarmonizedReportingProcedures,
Annex3, Draft MSC/MEPC Circular, IMOFSI4/18
KaplanS. andGarrickB.J. 1981. Onthequantitativedefini-
tions of risks. Journal of Risk Analysis, Vol.1, No. 1, pp.
1127
KostianoyA.G., LitovchenkoK.Ts., Lebedev SA Stanichny
S.V., Soloviev D.M., Pichuzhkina O.E. 2005. Opera-
tional Satellite Monitoring of Oil Spill Pollution in the
Southeastern Baltic Sea. Oceans Europe, IEEE, pp.
182183
LoostrmB. 1983. SwedishRemoteSensingSystemsforOil
Spill SurveillanceatSea.Oil and Petrochemical Pollution,
p. 235
Mullai A. 2004. A Risk Analysis Framework for Maritime
Transportof PackagedDangerousGoods(PDG),inBrind-
ley, C (2004) Supply Chain Risk, Ashgate Publishing
Company, UK, Chapter 9, pp. 130159
Mullai A. and Larsson E. 2008. Hazardous Materials Inci-
dents Some Key Results of a Risk Analysis. WMU
Journal of Maritime Affairs, pp. 65108
Mullai A. andPaulssonU. 2002Oil Spillsinresund Haz-
ardous Events, Causes and Claims. Report on the SUN-
DRISK Project, Lund University Centre for Risk Analysis
and Management (LUCRAM), Sweden, pp. 1160
RytknenJ., SiitonenL., Riipi T., Sassi J., andSukselainenJ.
2002. Statistical Analyses of the Baltic Maritime Traf-
fic. ProjectfinancedbyFinnishEnvironmentInstituteand
Ministryof TrafficandCommunications.
Soomer, H. Ranta, H. Penttila,A. 2001. Identificationof vic-
timsfromtheM/SEstonia. International Journal of Legal
Medicine, Vol. 114, Issue45, pp. 259262, Springer
TSE (Turku School of Economics, Finland) 2006. DaGoB
Project(SafeandReliableTransportChainsof Dangerous
GoodsinBalticSeaRegion):http://www.dagob.info/2006
VonViebahnC. andGadeM. 2000A proposal for improved
oil spill monitoring of peripheral marine regions in the
BalticSeabyin-serviceaircraft. Geoscience and Remote
Sensing Symposium Proceedings. IEEE international,
Vol. 1, pp342344
252
6.4
Thedisplaymodefor choosingthemanoeuvrefor collisionavoidance
L. Vagushchenko&A. Vagushchenko
ABSTRACT: Thedisplay modeis intendedfor facilitationof buildingstrategies for collisionavoidanceby
so-calledB-manoeuvres. It canbeusedinECDIS, ARPA andthesimulator systems. B-manoeuvreincludesthe
segment of deviationat acertainanglefromtheinitial courseandat theendof it thesegment parallel to the
initial waysline(plannedroute). Theofferedmodeisbasedontheuseof forbiddendomainsfor B-manoeuvres.
Thesedomainsallowchoosingparametersandbeginningmomentof B-manoeuvrefor collisionavoidancewith
oneor afewvessels. Theaccount of presenceof navigationhazardsat thechoiceof B-manoeuvreisproduced
bysettingthebordersof maximumlateral shiftingfromplannedroute. Theofferedmodeenablesvisual drafting
of strategiesfor collisionavoidancewithvesselsbysuccessiveB-manoeuvres. It ispossibletousethismodeas
basisof computer searchof strategiesfor collisionsavoidancewithafewtargets.
1 INTRODUCTION
Forming of amodel of environment is oneof major
tasks of the control systems. This model must ade-
quately reflect an environment, to provide the high
level of understanding of situations and serve as a
substantial auxiliary meanat thesearchof decisions.
Choosingonesuchmodel of environment for differ-
entsituationsof vesselsinteractionisdifficult,because
belongingof elementsof environment andproperties
of operating ship to the categories _substantial,
unimportant changes inthem. It is also difficult to
get the universal method of decision for preventing
collisions. It is better to determine the environment
model andmethodsof decisionsasitappliestodiffer-
entsituations.Thenthechoiceof strategiesof conduct
will besimpler, andthey moreprecise.Thereforethe
local problemof development modefor presentation
situationof vesselsinteractionandchoosinganeffec-
tiveB-manoeuvrefor collisionavoidanceandpassing
at asafedistanceof targetswasset.
2 FORBIDDENDOMAINFOR
B-MANOEUVRE FORMING
It is accepted, that thealterations of courseof oper-
ating ship are instantaneous. At such condition a
B-manoeuvrelooks likeshownonaFigure1, where
K plannedcourseof operatingship; angleof it
alteration; Y lateral distancefrominitial lineof way
totheoperatingshipattheendof deviation; S length
of deviation segment; C
H
n C
K
points of course
alteration. Coursefor deviationtostarboard(K ) is
designatedK
S
, toport(K ) asK
P
. Anangle for
collisionsavoidancecanundertakefrom20
to150
,
Figure1. Parametersof B-manoeuvre.
Figure2. Principleof constructionof forbiddendomain.
andforreturningtotheinitial lineof wayafterpassing
vessels from10
to45
.
Current positions of operating ship and scanned
vessel (target) is shownbelowonFigure2by points
C andZ. Takingintoaccount presentsof navigational
hazards and necessity to determine only dander tar-
gets within navigable area the zone of manoeuvres
andmotion(ZMM) of operatingshipisset(maximum
253
allowable track margin for current leg). It is deter-
minedbywidth(Y
DS
, Y
DP
) of starboardandportlanes
for shiftingof operatingshipat B-manoeuvres.
Beginning of lane of possible shifting to star-
boardformsasegmentCQ onthecourseK
S
=K
S
(Fig. 2), where
S
=set alterationof initial coursefor
B-manoeuvres to starboard. Thebutt endsegment of
port lane is directed parallel a course K
P
=K
P
(
P
=set alterationof initial coursetoport). Theval-
ues of
S
and
P
canbebothidentical anddifferent.
ThecurrentpositionC of operatingshipisconsidered
astheappointedelement of bothlanes.
Principleof constructionof forbiddendomain(FD)
is characterized in starboard lane on a Figure 2
(Vagushchenko, A.L. 2008), where
K, V =plannedcourseandspeedof operatingship;
K
Z
, V
Z
=courseandspeedof target;
K
/
n V
/
, K
/
S
n V
/
S
=courseandspeedof operating
ship in relation to a target at true courses K, K
S
of
operatingship;
D
Z
=safelimit of distancebetweenships;
A
1
,A
2
=pointsof turnfromacourseK tothecourse
K
S
for passingatarget at distanceD
Z
;
B
1
, B
2
=pointsof returningfromacourseK
S
tothe
former courseK for passingatarget at distanceD
Z
;
mnpqer =forbiddendomain;
O, A
0
, B
0
=theFDcenter andpointsof turnfroma
courseK tothecourseK
S
andreturningfromacourse
K
S
totheformer courseK for CPA=0;
A
/
0
, A
/
1
, A
/
2
andB
/
0
, B
/
1
, B
/
2
=points onthelines of
relativemotionof operatingship, proper tothepoints
A
0
, A
1
, A
2
andB
0
, B
1
, B
2
;
Y
interval of lateral deviationsfromtheplanned
way which provide close-quarters situation with a
target at B-manoeuvres.
DistancesS
AJ
andS
BJ
(J =0, 1, 2) fromacurrent
placeC of operatingshiptothepointsA
0
, A
1
, A
2
and
B
0
, B
1
, B
2
aredeterminedonintervalsof timet
AJ
and
t
BJ
for arrival inthesepoints. Theseintervalsarecal-
culatedbyvaluesof S
/
AJ
andS
/
BJ
(CA
/
0
, CA
/
1
, CA
/
2
and
CB
/
0
, CB
/
1
, CB
/
2
) andV
/
, V
/
S
:
3 USETHE DISPLAY MODE FOR
CHOOSINGMANOEUVRESFOR
COLLISIONAVOIDANCE
Thecategory of targetsisdeterminedonthelocation
FD inrelationto theZMM borders (Fig. 3). If atar-
get bytransponderAISreportedthewaypointsof the
route or informed about the set manoeuvre, then an
operatingshipgetsFDof thistargettakingintoaccount
acceptedinformation(target5, Fig. 3).Theprobability
Figure3. Situationpresentationscheme.
TARGETS: 1, 2 most dangerous and dangerous; 3,
4 limiting; 5, 6 indifferent.
of possiblemaneuveringof danger or obstaclevessels
canbedeterminedbytheexpertsystem(notpresented
inthis paper). Inthis casethemodeof situationcan
beaddedwiththesecondFDfor thistarget, proper to
possiblenewcourse(target 1, Fig. 3). Thesetwo FD
of target 1allowformingtheincorporatedforbidden
domaintakinginto account apossiblemanoeuvreof
target.
TheB-manoeuvrefor collisionavoidanceisdeter-
mined visually on the reflection situation on the
screen. TheB-manoeuvreis set by pointing thecur-
sor, for example, onpointC
K
. Thetrajectoryof future
motionof operatingshipwouldnotcrosstheforbidden
domains. Point C
E
markedtheendof B-manoeuvre,
afterwhichadangerousshipcanbeconsideredfinally
passed. Byacriterionfor thechoiceof B-manoeuvre
itispossibletotakeminimumdistanceof shifting(Y)
fromtheplannedlineonconditionthat thedegreeof
risk of collision with all targets will not exceed the
legitimatevalueat thepoint C
E
andmanoeuvrewill
not conflict withColRegs.
Thenext actionisthenplanned. Dependingonthe
circumstancesoneof threeactionsof operatingvessel
gets out after thefirst B-manoeuvre: motionalonga
newlineparallel totheplannedline(Fig. 4,a); return-
ing on the planned line by B-manoeuvre (Fig. 4,b);
proceedingbythecoursetonext waypoint (Fig. 4,c).
Thebordersof ZMM canbecorrectedaccordingly, if
necessary.
After this thepoint C
E1
is undertaken as appoint-
ted element for new ZMM. In this ZMM forbidden
domains aredetermined on theprognosis of motion
of operating ship and targets. Similar to finding the
firstmanoeuvre, thesecondandthefollowingonesare
planned, if necessary.ThepointC
EJ
determinesZMM
until operatingshipwill notcometothispoint, where-
uponthecurrent positionof operatingshipbecomes
theappointedelement of thiszone.
WhilesearchingB-manoeuvresatthebeginningby
defaultthevalues
S
and
P
areundertakenasthebest
frompointof providingasnoticeableamanoeuvreand
preventionof lossesof underwaytime( 35
).When
254
Figure4. Variantsof conduct after thefirst B-manoeuvre.
returningtotheformer lineafter deviation(Fig. 4,b),
thevalue canbetakenless.
If it appears that at thechosen values of parame-
ters
S
,
P
, D
Z
asafemanoeuvredoes not exist, it is
searchedwithother values valuesof parameters
S
,
P
atthesearchareincreased, andavalueof parameter
D
Z
isdecreasetill theleast allowsvalue.
4 CONCLUSION
Theoffered modefor situations presentation simpli-
fiesthechoiceof manoeuvresbyacoursechangefor
collisionavoidancewithafewvesselsinopenseaand
intheconfinedwaters. Advantagesof thismodeare:
immobilityof thedomainsinrelationtoground,that
allowstodefinemanoeuvresforcollisionavoidance
withmobileobjectsaswithimmobile;
simplicity of account of navigationhazardsby set-
ting the borders of lateral shifting fromplanned
way;
possibility to form a strategy for collisions
avoidance with a few targets by successive
B-manoeuvres;
possibility to use this mode as basis of computer
search of strategies for collision avoidancein any
situations.
REFERENCES
Vagushchenko, A.L. 2008. Perfectionof methodsfor opera-
tivecorrection of ships route. Thecandidates thesis on
special field of study 05.22.13 Navigation and traffic
control. Odessanational maritimeacademy, Odessa.
255
6.5
Definingof minimallyadmittedhead-ondistancebefore
theshipsstart maneuvering
V.M. Bukaty& E.N. Dimitrieva
ABSTRACT: Without stating the very fact of head-on situation, an attempt has been made to define the
minimumadmittedhead-ondistancebetweentheshipsinorder tocarryout safemaneuveringat adetermined
theclosest point of approach, takingintoaccount theships maneuveringcharacteristics.
1 INTRODUCTION
Thepractical useof Rule14 articleof COLREG-72
iscomplicatedbynon-indicationof minimal admitted
distancetill theoncomingvessel forthepurposeof the
maneuver tokeepwell clear. TheCOLREG-72Com-
mentstogetherwithshipsguidetextbooksrecommend
tostart themaneuver toact accordinglytotheexist-
ing situation for this case. But obscure maneuver
start definitionaccompaniedwiththenearest admit-
tedhead-ondistance(i.e. shipsbeamdistance) at the
keepingclear momenttogether withother factorsmay
bethecommoncauseof dangerous gettingcloser of
shipswhichinvolveriskof collisionorendingwithcol-
lision. Unrestrictedmeetingdistancebetweenvessels
beforethemaneuver anduncontrolledbeamdistance
attheclearmomentcausethevesselstotaketheclear-
ing maneuver non-simultaneously. More of this, if
oneof thevesselswatchestheother haveturnedstar-
board, theformeroftensustainsthepresentcourseand
speeduntil thesituationbecomesthreatening. But we
should mind that thevessels head off angles defin-
ing depend upon thehead-on distance. Theseangles
should beas such that at themoment of divergence
the abeamdistance between the vessels has no less
thanprescribedsafevalue. Tofulfil suchrequirement
navigators haveto solvethetask on vessels meeting
at afixeddistance, that istodefinetheir ownvessels
maneuverssoasthedistancebetweenthevesselsatthe
beampassagemoment is no less thantheprescribed
value. Sofar thistask issolvedbynavigatorswithout
any calculationbut basedupontheir ownexperience
andocular estimationtogether withshaky groundof
Rule 14 article of COLREG-72 as quoted acting
accordinglythefactorsof existingsituation.
2 ANALYTIC REVIEW
Takingintoaccountthefactthataconsiderablenumber
of collisionstakeplaceat themeetingvesselscourses
inparticular (Karapuzov, A. I. & Mironov, A. I. 2005.
Figure 1. For calculation of minimal admitted distance
betweenvesselsapproachingonreciprocal courses.
Maneuvering) therewas suggested to bring under
regulationnavigators actionsatmaneuveringfor safe
divergence. Sowemadesomeattemptsinour articles
(Zelenkov,A.I.1999.TheDistance;Karapuzov,A.I.
1986. Determination) definetheminimal admitted
distancebetweenvesselsapproachingeachothermeet-
ing on the almost reciprocal course by the minimal
nearest admitted vessels head-on distance criterion
dependingonrudder angleat themaneuver start. As
the result we have deduced expression for defining
minimal admitteddistanceS
min
betweenthevesselsat
themaneuver start and for defining necessary head-
off (turn) angles C
A
andC
B
for vesselsA andB
respectively to provide the divergence at the closest
point of approachd
cpa
(Fig. 1):
where
A
and
B
the vessels speed at the turn
moment; l
1A
andl
1B
thevessels advanceatmoments
257
Figure2. Center of vesselsgravitypathoncirculation.
of head-offs; S
A
andS
B
thewayspassedbytheves-
sels withinthewheel orders fulfilment; L
A
andL
B

thevessels lengthsoverall.
Theabovegiventask solutionis eventually defec-
tiveasinthisregardthevesselsweresuggestedtoturn
fromtheir courses immediately while proceeding at
rectilinear motion. Astheresult thedistance, between
the vessels fore ends at moment of the O meeting
pointentryalongwithunalteredcourses, takenasd
cpa
,
is not thenearest head-ondistanceas theactual dis-
tanceexceedsit. Suchadeficiencyhasbeencausedby
considerationthevessels motionstraight but through
maneuverablepath, i.e. turningcircle.
3 TASK SOLUTION
But startingfromtherudder displacement (starboard
as required by the COLREG Rule 14 in this case)
the vessel is known to pass first so called dead
interval(that isconsiderablefor heavy-tonnageves-
sels) keeping the present course for a while. Than
after decliningthecoursetoport that is calledas the
reversed bias l
3
, thevessel will proceed to theturn-
ingcircle(Fig. 2). Inthetheory of turningcirclethe
advance l
1
is called a distance for which the center
of gravity is shifted fromputting the wheel to the
vessels exit to the point at the curve of the turning
circle, that corresponds to the course alter through
90
. Meanwhile the forward bias l

2
(Snopkov, W. I.
2004. Ships; Woytkunsky,Y. I. &Perschitz, R.Y. &
Titov, I. A. 1973. The Ships) is the least distance
fromtheprevious courselineto point ontheturning
circlecurve, correspondingtothecoursealterationby
thesamevalue. Thedistancefromthemoment of the
vesselsexittothecirculationstarttill her turnto180
iscalledthetactical diameterD
T
.Theadvancel
1
value,
forwardbias l
2
andthetactical diameter D
T
aregive
inthevesselsmaneuveringfact sheet inevitably.
The following correlations are typical for vessels
of all types (Woytkunsky, Y. I. & Perschitz, R.Y. &
Titov, I.A. 1973. TheShips)
Table 1. Circulation items of the Atlantic full-freezing
trawler (FFT) type.
Rateof FSA HAS LSA
sailing 13kts 10.5kts 7kts
Rudder angle 15
25
35
15
35
15
35
Circulation 2.35 1.73 1.51 2.16 1.40 1.99 1.25

tactical
radius, cab
Advance, cab 2.03 1.51 1.40 1.92 1.29 1.75 1.25
Forward 1.27 0.97 0.93 1.08 0.80 1.02 0.71
bias, cab
Figure3. Schemeof vessels manoeuveringat divergence
asper COLREG-72Rule14attheminimal distanceequal to
advancessum.
Thetactical circulationradiusdependsontherud-
derangleandvesselsrateof sailing.Basedonfield
testingresultsTable1presentsthefollowingdata: tac-
tical circulationradius, theadvance, theforwardbias
of theAtlantic type full-freezing trawler (FFT) at
full steamahead(FSA), athalf steamahead(HSA), at
slowsteamahead(SSA), for rudder deflectionby15
,
25
, 35
(Karapuzov, A. I. 1984. Ships).

As we can see fromthe table in fact the forward
bias l
2
makes 50%of thetactical diameter D
T
onan
average, andtheadvanceisapproximatelyequal tothe
tactical diameter D
T
.
Suggested that theboth vessels navigators having
knownthetactical diameters of his vessel as well as
theoncomingvesselsone(e.g. thesedatacouldhave
been included within theinformation transmitted by
AIS) beganthepassingmaneuver inaccordancewith
COLREGRule14withturningstarboardfor thedis-
tanceS
min
equal to sumof advances l
1A
l
1B
of own
(A) andoncoming(B) vessels(Fig. 3).
Wecantakeadequatelythat vessels turningeffect
centers, before they achieve the course altering by
90
, movealongcurvescoincidingwithcircleswhich
diametersareequal totactical diametersD
TA
andD
TB
of vessels(indicatedwithdashedlinesatFig. 3).Then
as we can see fromfigure 3 D
TB
the closest range
d to which the vessels centers of gravity will get
258
closer,will beplacedatstraightwaycrossingcentersof
circles withdiameters D
TA
andConsequently, taking
intoaccountthegeometrical configurationof thetask
comingfromfigure3wecanwritedownasfollows:
Thenwecalculatethefollowingfromequation(2):
However we have not considered the reduction
of the closest vessels head-on range due to that
while turning circle there will be inevitably leeway
angle which can beestimated on theapproximate
correlation(Karapuzov, A. I. & Mironov, A. I. 2005.
Maneuvering) byreasonof itslowvalues(order of
10
15
):
whereL thevesselslength.
Whilethevessel is sailing with leeway angleshe
will occupy alanewhich width S is found fromthe
expression:
whereB=thevesselsbreadth.
Thus we can draw the following for defining the
closestpointof approachd
cpa
betweenthetwovessels:
whereS
A
and S
B
theA and B vessels motion lane
widthsrespectively.
Otherwisewecanobtainfrom(3)(5) asfollows:
where L
A
and L
B
the vessels A and B lengths
respectively.
The diameter tactical D
T
at the arbitrary rudder
angle is connected with diameter tactical during
rudder deflection full helm(=35
) D
T35
by cor-
relation (Karapuzov, A. I. & Mironov, A. I. 2005.
Maneuvering)
Using this connection between diameter tactical
and rudder angle we can attempt to define the rud-
der anglenecessary for divergenceat theprescribed
nearest distance. However if rudder angles aresmall
sothevesselscirculationdiameterislargerandconse-
quently thenearest distancebetweenvesselsislarger
at thedistanceaccepted by us for divergencethat is
equal to vessels advances sum. In this case we can
agreetolimittherudder anglesto15
onbothvessels.
For instance, we calculate the closest point of
approachbetweenvesselsof FFT theAtlantictype
that proceedat full steaminreciprocal toeachothers
courses. Accordingto thetable1datatheat therud-
der angleof 15
D
T
=436m(2.35cab.). Thevessels
lengthis 82.2m, breadthis 13,6m. Accordingto (7)
weobtaind
cpa
=337.5m1.8cab. Thus if two FFT
theAtlantictypevesselsstartdivergencemaneuver-
ingsimultaneously at thefollowingdistancebetween
them
accordingtoCOLREGRule14, havingdisplacedrud-
derstarboard15
, theywill getcloseratthedivergence
distance no more than 1,8 cab. that corresponds to
mutual vessels position abeam. After this maneuver
the vessels can set their previous courses since the-
oretically the head-on distance is sufficient for safe
divergence, themoresothevesselswill makethesame
course for some time passing the dead interval. At
least the closest point of approach will not exceed
the hydrodynamic coupling distance that amounts
to no more than half of lesser vessels hull width
at parallel reciprocal courses (Snopkov, W.I. 2004.
Ships).
Wedrawtheattentionthat if thedistanceexceeds
S
min
(9) at the divergence maneuver start, the near-
est vessels approachdistancewill not increasereally
provided turning to previous courses arecarried out
atthemomentof mutual abeamvessels position. Itis
determinedby thefact that whiledisplacetherudder
to theprevious courses accounting thedead interval
andreversedbiastheabeamdistancebetweenvessels
will besustainedapproximately thesameasit wasat
the mutual abeamposition of vessels at the circula-
tion curve. To increase the vessels closest of point
approachinany caseit is necessary tomaketurns to
theprevious courses after thevessels mutual abeam
position, forexample, whencoursesarealteredto90
.
Inthiscaseuponthevesselsreturningtotheirprevious
coursestheywill divergeattheabeamdistanceapprox-
imatelyequal toforebiasessum. ForthecasewithFFT
theAtlantictypevesselsthiswouldmeanthat they
divergeattheabeamdistanceamountingaccordingto
thetable1d
cpa
2.5cab.
4 CONCLUSION
Our suggested divergence maneuver regimentation
at approaching of vessels on reciprocal courses we
259
find advantageous as it complies with the common
sense: the more heavy-tonnage the vessels are the
moreis theclosest point of approach between them
during the divergence. For example, at full steam
whilerudder displacementthevessels200mlongand
20mwidewill havethecirculationdiametersof order
0.5 mile (Karapuzov, A. I. & Mironov, A. I. 2005.
Maneuvering)Whilerudderdisplacementto15
the
circulationdiameters will makeup1mileaccording
to (8). Therefore in our opinion the vessels clos-
est point of approach should make up about 1 mile
which is crucially sufficient for safe vessels diver-
gencemaneuveraccordingtooursuggestedmaneuver
regimentation of vessels minimal distance that is
equal to doubled sumof vessels advances, on con-
ditionthat therudder displacement is 15
, turningto
previouslysetcoursesafterthevesselsturnisto90
on
circulationpath.
REFERENCES
Karapuzov, A.I. 1984. Ships Maneuvering Safety Issues
during the J oint Trawling. Moscow: The Light and
FoodIndustry.
KarapuzovA.I. 1986. Determinationof Ships Maneuvering
Stages at Reciprocal Counter-Courses to Provide Safe
Clearance. ProceedingNavigationandFishingSafety,
ed. 81. Leningrad: Transport.
Karapuzov, A. I. & Mironov, A.W. 2005. Maneuvering of
Large-tonnageShips. Novorossiysk, NGMA
Snopkov, W. I. 2004. Ships Navigation: Text-book. Sunct-
Petersburg, Professional.
Voytkunsky, Y.I. & Pershitz, R.Y. & Titov, I.A. 1973. The
ShipsTheoryReference-book. Leningrad: Shipbuilding
Zelenkov,A. I. 1999.TheDistanceDeterminationforManeu-
vering Start while ships Clearing at Sharp Steering
Angles. VO Marine Technical Information Advertise-
ment, MMF EI, series Navigation, ed. 7 (362). VO
MarineTechnical InformationAdvertisement.
260
6.6
Collisionscenario-basedcognitiveperformanceassessment for
marineofficers
H. Kim& H.-J. Kim
Marine Transportation & Pollution Response Research Department, MOERI/KORDI, Daejeon, Korea
S. Hong
Chungju National University, Chungju, Korea
ABSTRACT: The overall aimof this paper is to determine a fatigue factor that can be applied to human
performancedataas apart of asoftwareprogramthat calculates total cognitiveperformance. This program
enablesustoestablishthelevelsof cognitiveperformanceinagroupof marinepilotsinorder totestadecision-
making task based on radar information. This paper addresses one of the factors that may contribute to the
determinationof variousfatiguefactors: theeffectsof different work patternsonthecognitiveperformanceof
amarinepilot.
1 INTRODUCTION
A decreasein crewperformancefor maritimeworks
can be caused by the complex causation related to
physiological, psychological, andexternal sailingfac-
tors (Kim et al., 2004). A procedure in maritime
accidentscausedbythereductionof crewperformance
can be explained as follows. Physiological, psycho-
logical, andexternal sailingfactorsaffecttheworking
processof amarinepilot directly or indirectly. These
factors decreasephysical and psychological abilities
and that ultimately affect decreases in the cognitive
performanceof crewsasultimatefactors.Thedecrease
incognitiveperformancecausesmistakes,suchasneg-
ligenceof lookout, andthat leadto adirect causeof
accidents.
AsshowninFigure1,humancognitiveperformance
represents all abilities of the elements presented in
aninformationprocessingmodel of human(Wickens,
1992). However, it may not benecessary to measure
theall abilitiesof suchcognitiveelementsinaproject
thatinvestigatesthecognitiveperformanceof aworker
who processes given works. In general, there exist
cognitiveelementstoplayadefinitiveroleintheeffec-
tiveperformancefor givencognitiveworks. Because
theseelementsareenoughtoperformsuchgivenworks
exceptfor adecreaseincognitiveperformancecaused
by certaindiseases, it ispossibletoestimatethecog-
nitiveperformanceof aworker ingivenworks using
suchdefinitiveelementsinthecognitiveworks.
Subjectivemethods, physiological monitoring, and
task loading methods are generally used to evaluate
these cognitive performances. Also, these methods
havebeenappliedto somehighrisk industries, such
as national defense, road transportation, railways,
aerospace, process control, and power generation in
Figure1. Model of humaninformationprocessing.
which theselection of amethod usually depends on
specificrequirementsrelatedtoeachindustry.
A representative study in subjective methods is
theModifiedCooper-HarperScale(MCH)(Wierwille
and Casalli, 1983) that complemented the Cooper-
Harper Scale, which was developed to evaluate the
performanceof thehandlingcharacteristicsof military
aircraftsintheendof the1960s. Inaddition, theNASA
TLX (Hart and Staveland, 1988) is a biploar-rating
scale-basedstudyusingself-report scores.
In thecaseof thephysiological monitoring, there
aresomestudies on thevariation of human physiol-
ogyresponses, suchasElectroencephalogram(EEG),
Electrocardiogram (ECG), Electrodermal activity
(EDA), and Electrooculogram(EOG), according to
taskdemands(Andreassi, 2000).
Thetaskloadingmethodsrepresent anengineering
approach that is to measureworkloads based on the
261
estimationof taskdemands. TheTaskAnalysisWork-
load(TAWL) Methodology(Mitchell, 2000) that was
developed by using the US Army Light Helicopter
Experimental Program and the Operator Function
Model-CognitiveTaskAnalysis(OFM-COG)(Leeand
Sanquist, 2000) that wasdevelopedtoevaluatework-
loadsinship-borneautomationsystemsappliedthese
methods.
Marine officers performvarious cognitive works,
such as signal detection, situation recognition, gen-
eral judgment, and other related works, in their ship
operation jobs. For instance, it can beconsidered as
perceptual abilitytorecognizetargetshipsapproached
to their own ship through radars and thenaked eye,
memory ability in a steersman who memories the
commands fromhis captain, andjudgment ability to
determine the scale of the conversion (heading) of
thebowtoavoidthecollisionwithapproachedtarget
ships. It is difficult to guaranteethat such cognitive
works occur intermittently or sequentially. Require-
ments inexcessivecognitiveperformancemay cause
somemistakesinmarineofficersandthatleadtomar-
itimeaccidents (Lee, 2005). However, therearestill
limited studies on the quantitative evaluation of the
cognitiveperformancefor maritimeofficers.
Thus this study developed a maritime collision
scenario-basedcognitiveperformanceevaluationsys-
temfor marine officers. The evaluation criteria was
configured by applying practical experiments for a
groupof marinepilotsandverifiedthesystemthrough
practical applicationsforcadetmarinepilots. Because
this systemis ableto evaluategeneral cognitiveper-
formanceof marineofficers, itisabletoplayarolein
theavoidanceof accidentsbasedontheir ownaware-
ness on such accidents by transferring theresults of
the evaluation of physical and psychological condi-
tionsthroughapplyingatestfor ashortperiodof time
beforegoingondutyor boarding.
2 COLLISIONSCENARIO-BASEDCOGNITIVE
PERFORMANCEASSESSMENT
In this study, we developed a computer programto
evaluatetheabilitiesof signal detectionanddecision-
making task in cognitive performance for marine
officers. Theobjectiveof this programis to measure
theperceptual ability(signal detection) of marineoffi-
cersfor searchingother shipsthroughtheinformation
presented on radars and the judgment ability (situa-
tionrecognitionor decision-making) that determines
thedirectionandspeedof ashiptoavoidthecollision
withotherships.Thecognitiveperformanceevaluation
programfor marineofficers developed in this study
reflectsgeneral cognitiveabilitiesfor operatingaship
and measures the performance through a 10 minute
simpletest beforegoingondutyor boarding.
Also, this systemis a programthat measures the
cognitiveperformanceof amarinepilot whocontrols
theheadingandspeedof ashipusingtheinformation
presentedinashipoperationprocess. Ingeneral, the
Figure2. Screenof anevaluationof cognitiveperformance.
Table1. Typesof scenarios.
Directionof
No. Scenarios Screen
1 Rule14: Head-onSituation Normal
2 Rule15: CrossingSituation Normal
3 Rule14: Head-onSituation Normal
4 Rule13: Overtaking Normal
5 Rule15: CrossingSituation Normal
6 Rule13: Overtaking Normal
7 Rule10: TrafficSeparateSchemes Normal
8 Rule15: CrossingSituation Opposite
9 Rule14: Head-onSituation Opposite
10 Rule13: Overtaking Opposite
information given to marineofficers is thedatapre-
sentedonradars andspeedinformationof their own
ship. Themarineofficers possibly observeaplanned
courseandcontrol theheadingandspeedof their own
ship in order to avoid thecollision with other ships.
After avoidingpossiblecollision, themarineofficers
shouldreturnitsowncourse.
Figure2illustratesascreenimageof thecognitive
performanceevaluation.Theleftsideof thescreenrep-
resentstheinformationof target ships(DCPA, TCPA,
Heading,Speed,Bearing,andRange)andtherightside
shows theinput menu of theinformation for chang-
ingacourse. Whereas, theDCPA (DistanceatClosest
Point of Approach) shows the estimated distance to
therecent closest point andtheTCPA (TimetoClos-
est Point of Approach) demonstrates the estimated
time to the recent closest point. In order to attempt
aproper actionfor collisionavoidance, itisnecessary
toinput theactiontimefor collisionavoidance, head-
ing and speed at thestarting point, termination time
for collisionavoidance, andheadingandspeedat the
terminationpoint.
This systemconfigured 10 collision scenarios as
notedinTable1byvaryingthenumberof targetships,
heading and speed, and bearing based on the four
rules presented in the International Regulations for
PreventingCollisionsat Sea(1972).
262
Table2. Evaluationcriteriafor Rule15.
Scores
Measures 10points 5points 0point
1 Decision Starboard ReduceSpeed Port or Stand-on
2 TimetoChangeof course(CT) 05minutes 510minutes Over 10minutes
3 NewHeading(CH) 040050 020040 0020
050060 >060
4 NewSpeed(CS) Same(18) 018 >18
5 TimetoReturntocourse(RT) 1015minutes 510minutes <5minutes
>15minutes
6 Final Heading(RH) 359001 350359 >001
<350
7 Final Speed(RS) 18 1018 010
>18
8 DCPA 1.02.0 2.03.0 <0.7
0.71.0 >3.0
9 Total Responsetime <1mins 13minutes >3minutes
10Distanceof newtrackasa <1.05 <1.25 >1.25
ratioof original track
Although the Scenarios 1 and 3 show the same
situation, Head-onSituation, target ships represent
different headingsandspeeds. TheScenarios2and5
showthesamesituation,CrossingSituation,butthey
represent different numbers of target ships, such as
oneandtwo ships. Also, theScenarios 4and6show
thesamesituation,Overtaking,buttheydemonstrate
different headingsandspeeds.
This systemconfigured a scoring index to evalu-
ate the cognitive performance of marine officers as
follows.
1. Collisionavoidanceability
2. Decision-makingtime
3. Degreeof deviation
Theevaluationcriteriawereproducedfor eachsce-
nario with advice from professional marine pilots.
Theywerenotparticipatedintheexperiments.Table2
showstheevaluationcriteriafor CrossingSituation.
3 EXPERIMENTS& RESULTS
Threeprofessional marinepilotsandfivecadetmarine
pilotswereparticipatedtoverifytheevaluationof the
cognitiveperformanceassessment systemfor marine
officersdevelopedinthisstudy. ExceptforScenario1,
which was applied as a pretest, experiments were
appliedtoother nineScenarios.
Figure3showsascreenimageof thecollisionsce-
nario of Traffic SeparateSchemes. Anexperiment
basedonthisscenariorepresentstheinputandanalysis
dataasshowninFigure4.
Intheresultsof theseexperiments, theprofessional
pilotsshowedhigher scoresthancadet marinepilots,
average90.2and74.0.
Also, as showninFigure5, thetotal scores of the
professional pilots for scenarios showed high levels
more than 10 points compared to that of the cadet
pilots.
Figure3. Screenof thescenarioof Rule10(TSC).
Figure4. Screenof thetest results.
For acomparison and analysis of this data, a5%
level of significance paired-wised t-test was con-
ducted. According to theanalysis result, therewas a
statistically significant difference in the total scores
263
Figure5. Comparisonof thetotal scoresbyscenarios.
Figure6. Comparisonof theDCPA scoresbyscenarios.
between the professional pilots and the cadet pilots
for eachexperiment subject (p =0.015).
Inaddition, intheresultsof thecomparisonsof the
DistancetotheClosestPointofApproach(DCPA)that
isthemostimportantfactortoachievecollisionavoid-
ance, theprofessional pilotsshowedhigherscoresthan
cadet pilotsfor all scenariosasillustratedinFigure6
intheScoringIndex.
For acomparison and analysis of this data, a5%
level of significance paired-wised t-test was con-
ducted. According to theanalysis result, therewas a
statisticallysignificant differenceintheDCPA scores
betweentheprofessional pilotsandthecadetpilotsfor
eachexperiment subject (p=0.028).
Regardingfuturestudies, it will attempt toguaran-
teetheevaluationdatathroughadditional experiments
in order to complement the cognitive performance
evaluation systemfor marine officers and that will
increasethereliabilityof thissystem.
4 CONCLUSIONS
In recent years, various sailing equipments, such as
GPS, ARPA, ECDIS, AIS, VDR, and hull monitor-
ing system, have been introduced to ship operation
andthedevelopment of suchhardwarestill havebeen
conducted.
However, theimprovement and effort on theship
operator-basedrelatedsoftwarearestill limitedandin
anelementarystep.
The present circumstance is due to the lack of
investment in this filed even though there are some
wordsonthemarineaccidentsthat usuallycausedby
humanfactors. It canbeconsideredthat therearestill
lack of studies on physical, psychological, and cog-
nitiveperformancefor marineofficerswhoguarantee
thesafety of sailingusingadvancedequipments and
consideration.
This study attempted to develop a cognitive per-
formanceassessment systemfor marineofficers that
evaluatesthecognitiveperformanceof marineofficers
throughasimplewaybeforegoingondutyorboarding
andprovides theresults of theevaluationtothepilot
as awarning messagefor avoiding marineaccidents
caused by the decrease in cognitive performance of
marineofficers.
Inaddition,thereexistsomeproblemsforthereflec-
tionof theimportanceindetaileditemsthatconsistof
thereflectionissuesof difficultiesandevaluationcri-
teriaaccordingtocollisionscenariosintheexperiment
andanalysisprocessesinthisstudy.
The result of the analysis in this study includes
someproblemsof thelimitedsubjectsandquantitative
evaluation criteria. Also, the cognitive performance
assessmentsystemdevelopedinthisstudyincludedthe
evaluation of thecognitiveperformanceonly, future
studieswill reflectanevaluationmodel for thefatigue
of marine officers by considering their sleep condi-
tions and workloads and establish a reasonable and
reliable evaluation systemby accumulating various
collisionscenariosandbycomplementingtheexisting
evaluationcriteria.
ACKNOWLEDGEMENTS
The authors would like to special thank Professor
MikeBarnettandtheinstructors/cadetsfromWarsash
MaritimeAcademyfortheirsupportwiththeresearch.
Thecontentsof thispaperaretheresultsof theresearch
project of MOERI/KORDI (Analysis of Tug-Barge
Accident anditsPrevention).
REFERENCES
(1) Andreassi, J.L., 2000. Psychophysiology: Human
behaviour and physiological response (4th edition),
LawrenceErlbaumAssociates.
(2) Kim, H., Yang, C.S., Park, J.H. and Lee, J.K., 2004.
Reduction of maritime risk relating human factors,
Proceedings of the Society of Naval Architecture of
Korea(SpringConference), pp. 816821.
(3) Hart, S.G. andStaveland, L.E., 1988. Development of
NASA-TLX (TaskLoadIndex): resultsof empirical and
theoretical researchin: Hancock, P.A. andMeshkati, N.
264
(eds.), Human Mental Workload. Amsterdam: North-
Holland.
(4) Mitchell, D.K., 2000. Mental Workload and ARL
WorkloadModelingTools, ArmyResearchLaboratory,
Report NoARL-TN-161.
(5) Lee,J.D.,andSanquist,T.F.,2000.Augmentingtheoper-
atorfunctionmodel withcognitiveoperations: assessing
the cognitive demands of technological innovation in
ship navigation, IEEE Transactions on Systems, Man
andCybernetics PartA: SystemsandHumans. 30 (3),
273285.
(6) Lee, J.K., 2005. Development of Fundamental Tech-
nologies for Total Risk Management, KORDI Project
Report, UCE00940-05043.
(7) Wickens, C.D., 1992.Virtual realityandeducation, Pro-
ceedingsof the1992IEEE International Conferenceon
Systems, ManandCybernetics, 1, 842847.
(8) Wierwille, W.W. and Casali, J.G., 1983. A validated
rating scale for global mental workload measurement
application, Proceedings of the Human Factors Soci-
ety 27thAnnual Meeting. SantaMonica, CA: Human
FactorsSociety.
265
6.7
Theeffectsof causationprobabilityontheshipcollisionstatistics
intheGulf of Finland
M. Hnninen& P. Kujala
Helsinki University of Technology, Helsinki, Finland
ABSTRACT: InthisstudythemarinetrafficsafetyintheGulf of Finlandisstudiedbyexaminingthecollision
probabilityestimatesinaheavilyusedcrossingarea. Inacommonlyappliedapproachfor estimatingtheprob-
ability of collisionaccidents, so-callednumber of collisioncandidatesismultipliedwithaso-calledcausation
probability. In this study a Bayesian network model for the causation probability estimation is applied with
different parameter valuesinorder toexaminetheeffectsof weather andhumanfactorsoncollisionprobability
inthecrossingof Helsinki-Tallinntraffic andvesselsnavigatingeast- or westbound. Theresultsshowthat the
probabilityof collisionsisverysensitivetothecausationprobabilityvalueanditshouldbemodelledwithgreat
caretoobtainreliableresults.
1 INTRODUCTION
TheGulf of Finlandis asensitivegeographical area.
The Baltic Sea, including the Gulf of Finland, has
beencategorizedasaParticularly SensitiveSeaArea
(PSSA) by the International Maritime Organization
(IMO, 2005). Maritimetrafficiscontinuouslyincreas-
ing in theGulf of Finland. Especially theincreasing
number of oil tankersisraisingconcerninthecoastal
countries. Russia is building new oil terminals, and
theannual oil transports viatheGulf of Finland are
estimatedtoincreaseevenupto250millionsof tons
by 2015 (Finnish Environment Institute 2007). The
increasingmaritimetrafficincreasestherisksof acci-
dents, which could lead to oil spills. An oil disaster
wouldmost probablyhaveseriouseffectsontheGulf
of Finlandecosystem(Ihaksi et al. 2007).
Basedon maritimeaccident statistics, groundings
andcollisions arethedominant accident types inthe
Gulf of Finland (Kujala et al. 2009). A commonly
appliedapproachforestimatingtheprobabilityof col-
lisionsor groundingsinmaritimetraffic wasdefined
by Fujii et al. (1971, 1974) and Macduff (1974). In
thisapproach, thenumber of shipsthat wouldcollide
or runaground, if noevasivemanoeuvresaremadeis
calculatedfirst. Inthecalculations it is assumedthat
theships aresailing blindly in thewaterway. This
so-callednumber of collisioncandidates depends on
theproperties of ship traffic such as geometric traf-
ficdistributiononthestudiedwaterwayandshipsizes
andspeeds. Inorder toestimatethepotential number
of collisions or groundings, the number of collision
candidatesisthenmultipliedbytheprobabilityof not
makingevasivemanoeuvres,so-calledcausationprob-
ability, which is conditional on the blind navigation
assumption. Thecausationprobabilitythusquantifies
the proportion of cases when an accident candidate
ends up grounding or colliding with another vessel.
Thisapproachfor estimatingthepotential number of
collisionsor groundingscanbeexpressedas
where N
a
=the number of collision or grounding
candidates; and P
C
=causation probability, i.e. the
probabilityof not makingevasivemanoeuvres.
Not makinganevasivemanoeuvrewhilebeingon
a collision or grounding course can be a result of a
technical failure such as failure of steering system
or propulsion machinery, human failure, or environ-
mental factors. Technical failurewas reported as the
primary reason of the accident in 9.4% of collision
andgroundingaccidentsintheGulf of Finland, andin
25%of thecasestheprimary reasonhadbeencondi-
tions outsidethevessel (Kujalaet al. 2009). Human
failure has been commonly stated as the most typi-
cal causegroupof marinetraffic accidents: different
studies have shown that 43%96% of the accidents
hadbeencausedby humans (Grabowski et al. 2000,
Hetherington 2006, Rothblum 2006, Kujala et al.
2009).
Causationprobability values for crossingencoun-
tersintheliteraturehavevariedbetween6.83 10
5
6.00 10
4
(Macduff 1974, Fujii 1983, Fowler &
Srgrd2000, Ottoet al. 2002, Rosqvist et al. 2002).
Thevalues havebeen either general values on some
sea area, or reflecting certain ship types or condi-
tions. In good visibility withinVTS zone, Fowler &
Srgrd (2000) estimated a causation probability of
6.83 10
5
, and in poor visibility the value was
4.64 10
4
. ForcollisionsintheGulf of Finlandwithin
VTS zonewhereat least oneof thecollidingvessels
wasatanker, Rosqvistetal. (2002) estimatedthevalue
tobe5.16.0 10
4
, dependingontheother shiptype.
267
Figure1. ThestudiedcrossingareabetweenHelsinki andTallinnmarkedingreyonthemap.
Intheearliest collisionprobability estimationsthe
causation probability was estimated based on differ-
encebetweentheregisterednumber of accidentsand
the estimated number of collision candidates (Fujii
1971, 1974; Macduff 1974). Applying a causation
probability valuederivedfromastudy inanother sea
areaorestimatingitbasedonthedifferenceinaccident
statistics andgeometrical probability may savesome
effort, but thentheactual elementsinaccident causa-
tionarenotaddressedatall,asopposedtoconstructing
amodel for theestimation. Gettinganumerical value
fortheprobabilityof notmakinganevasivemanoeuvre
is only oneoutcomeof amodel, theacquiredmodel
structureitself andthedependenciesof theparameters
maybeat least equallyimportant.
Risk analysistoolssuchasfault treeanalysishave
beenusedinmodellingthecausationprobability(e.g.,
Pedersen1995). In2006, utilizationof Bayesiannet-
worksinStep3of theFormal SafetyAssessment was
suggested in a document submitted by the J apanese
agencyformaritimesafetytotheIMOMaritimeSafety
Committee (2006). Bayesian networks are directed
acyclicgraphsthatconsistof nodesrepresentingvari-
ablesandarcsrepresentingthedependenciesbetween
variables(e.g. J ensen2007). Eachvariablehasafinite
set of mutually exclusivestates. For each variableA
withparent nodesB
1
,, B
n
thereexist aconditional
probabilitytableP(A [ B
1
, , B
n
). If variableA hasno
parentsit islinkedtounconditional probabilityP(A).
For identifyingtherelevant nodes andthedependen-
ciesbetweennodes, andconstructingthenodeproba-
bilitytables, bothharddataandexpertopinionscanbe
usedandmixed. Bayesiannetworkscanalsobeusedas
anaidindecision-makingunderuncertainty. Bayesian
networks havebeen applied in causation probability
estimationsuchasinthemaritimetrafficrisk assess-
ment softwareGRACAT (Friis-Hansen& Simonsen,
2002)andinresundsoundriskassessment(Rambll,
2006).
The study described in this paper is a part of a
cross-disciplinary approach for minimising therisks
of maritimetransport in theGulf of Finland, where,
based on growth predictions, the maritime traffic
in the Gulf of Finland in the year 2015 is mod-
elled and theaccident risk, thedirect environmental
effects and the risk of environmental accidents are
evaluated, andtheeffectsof national andinternational
legislation and other management actions are mod-
elled (Klemola et al. 2008). In the previous work
ship collision probabilities for two locations in the
Gulf of Finland were estimated by applying causa-
tionprobabilityvaluesderivedfromliterature(Kujala
et al. 2009). Thispaper describestheapplicationof a
Bayesiannetworkmodel for thecausationprobability
modelling as a part of collision probability estima-
tion for the traffic in a crossing area in the Gulf of
Finland.Thenetworkisutilizedforstudyingtheeffects
of weather, humanfactors, andextravigilanceonthe
collisionprobability.
2 STUDIEDAREA: CROSSINGBETWEEN
HELSINKI ANDTALLINN
Thestudiedlocation(Fig. 1) isoneof thehighlytraf-
fickedcrossingsof waterwaysintheGulf of Finland.
In this area the vessel traffic between Helsinki and
Tallinnis crossingthemainrouteof theGulf of Fin-
land, i.e. vessels heading to and from Russia and
easternportsof Finland. BasedonAISrecords, inJ uly
2006therehadbeen2122ships navigatingnorth- or
southbound, majority being fast ferries or passenger
ships, and2303shipsheadingtoandfromeasternpart
of Gulf of FinlandinJ uly 2006(Kujalaet al. 2009).
Accordingtoaccidentstatistics, onecollisionof ships
hadbeenreportedtooccur intheareaduringsixyear
period(Kujalaet al. 2009).
3 MODEL USEDFOR GEOMETRIC
PROBABILITY
The number of collision candidates in the studied
areaduringonesummer monthwasestimatedwitha
268
model presentedby Pedersen(1995), whichfollowed
theconceptintroducedbyFujii (1971).Thenumberof
collisioncandidatesinatimeperiodwascalculatedas
where N
a
=the number of collisions if no evasive
manoeuvres weremade; i andj =shipclasses of the
collidingvessels; Q
1i
=thenumber of class i vessels
atwaterway1intimeunit; Q
2j
=thenumber of classj
vesselsat waterway2intimeunit; V
(1)
i
=theaverage
velocity of class i vessels at waterway 1; V
(2)
j
=the
average velocity of class j vessels at waterway 2;
f
(1)
i
=thelateral distributionof trafficinwaterway1;
f
(2)
j
=thelateral distributionof trafficinwaterway2;
V
ij
=therelativevelocityof shipsdependingonveloc-
ities and meeting angle; D
ij
=so-called geometrical
collisiondiameterdependingonvessel lengths, beams
andvelocities; andt =timeperiodunder review.
The parameters of the collision candidate model
werebasedonanalysisof AIS recordsfromthestud-
ied area in J uly 2006. The lateral distributions were
approximatedwithnormal distributionswhoseparam-
eterswerebasedonAIS records. For thecalculations
thevessels weregroupedinto fiveshipclasses: pas-
senger ships, cargovessels, tankers, highspeedcrafts
(HSCs), andother ships. Eachclasswasdividedinto
four sizegroups: lengthless than100metres, length
at least 100 but less than 200 metres, length at least
200m, andlengthunknownforwhichtheaverageval-
ues of lengthandwidthof theshipclass inquestion
wereused.Theanglebetweencrossingshipshadbeen
varyingat thecrossingpoint, sotheaverageangleof
arrival of eachshipclassfromeachapproachdirection
wasusedinthecalculations.
4 MODEL USEDFOR CAUSATION
PROBABILITY
TheappliedBayesiannetworkmodel forestimatingthe
causationprobability, i.e. theprobability of not mak-
ingevasivemanoeuvres, wasbasedonfragmentsof a
collisionmodel networkintheFormal SafetyAssess-
ment of large passenger ships (Det Norske Veritas
2003) and agrounding model in theFSA of ECDIS
chart system(Det NorskeVeritas2006). Thenetwork
estimatedtheprobabilityof acollisiongiventhat two
shipswereonacollisioncourse, oneshiphadlostcon-
trol andtheother shipdidnot giveway. Thenetwork
includedparametersrelatedtonavigational aids, con-
ditions, safetyculture, personnel factors, management
factors, other vigilance, andtechnical reliability. The
network reflectedthefollowingeventsfor makingan
evasivemanoeuvrewhileoncollisioncourse. At first
theOfficer OnWatch(OOW) hadto detect thedan-
gerous situation either visually or with navigational
aids. Detectionwas influencedby parameters related
to external and internal conditions as well as atten-
tion. After thedetection, OOWhadtomakeacorrect
assessment of thesituation, whichwasinfluencedby
OOWs performancelevel. Situationmight havealso
beenassessedcorrectlyevenwithoutOOWsdetection
if other vigilancesuchasapilot or VTSoperator was
present todetect thedanger. If situationwasassessed
correctly, OOWhadtomakeanavoidingact. If control
waslostbecauseof either wrongor noactionor steer-
ingfailure, thecollisionmight havestill beenavoided
if the other ship gave way. The network was modi-
fiedsothat it wassuitabletobeappliedtoananalysis
includingmultipleshiptypes. Thenetwork structure
canbeseeninFigure2.
Most of the probability values related to the
Bayesian network parameters werederived fromthe
original modelsandhadbeenmostlybasedonexpert
judgment. Ship type distributions in the waterways
of the studied area were obtained from AIS-data.
Theprobabilitydistributionsof Weatherstateswere
based on Finnish Meteorological Institutes statistics
ontheaveragenumberfogdaysatIsosaari inJ ulydur-
ing19612000, theaveragenumber of stormdays at
Finnish sea areas in J uly during 19902008 thinned
by the average portion of stormobservations from
the Gulf of Finland in 20062007, and the average
number of strongwinddaysat Isosaari inJ ulyduring
19612000 (Finnish Meteorological Institute, 2008).
Thedaylightdistributiondescribingtheprobabilityof
ashipnavigatinginthedark, conditional onshipclass,
wasbasedonAISinformationandsunriseandsunset
timesat thestudiedlocationat 15.7.2006. Theproba-
bilityof VTS stateyes wasset to1.0becausethe
studiedareaismonitoredbyVTSstations.
The effects of conditions outside the vessel and
factors related to human performance on collision
probability were studied by constructing scenarios
describingdifferent environmental conditions and/or
factors related to human performance. The states of
thenodes, theprobability of whichwas set to 1.0in
thedifferent environmental and human performance
conditionsareshownintable1. Forexample, theenvi-
ronmental conditionsweredefinedaspoor, if all of
thefollowingprobabilitiesinthenetwork wereequal
to1.0:
P(Weather=storm)
P(Visibility=<1nm)
P(Daylight=night)
Causationprobability was estimatedfor scenarios
where1) therewasnoevidenceonanyof thenetwork
parameters; 2) it was knownthat environmental con-
ditionsweregood andthefactorsrelatedtohuman
performanceweregood; 2) it wasknownthat envi-
ronmental conditions were good and the factors
relatedtohumanperformancewerepoor; 3) it was
knownthatenvironmental conditionsweregoodbut
there was no information on other parameters; 4) it
wasknownthatenvironmental conditionswerepoor
and the factors related to human performance were
269
Figure2. TheappliedBayesiannetworkstructurefor causationprobabilityadaptedfrom(Det NorskeVeritas2003, 2006).
Table1. Causationprobability network nodestates whose
probability wereset to 1.0ingoodandpoor environmental
andhumanperformanceconditions.
Environmental Human
conditions performance
Node good poor good poor
Daylight day night
Visibility >1nm <1nm
Weather good storm
Attention high low
Communication beyond sub-
level standard standard
Communication yes no
withother vessel
Competence high low
Distractionlevel low moderate
Duties normal extreme
Stresslevel low high
Tired no yes
good; 5) it was known that environmental condi-
tions were poor and the factors related to human
performancewerepoor; 6) it was known that that
environmental conditions werepoor but therewas
noinformationonother parameters; 7) it wasknown
that the factors related to human performance were
goodbuttherewasnoinformationonotherparame-
ters; 8) it wasknownthat thefactorsrelatedtohuman
performancewerepoorbuttherewasnoinformation
onotherparameters. Inaddition, causationprobability
was estimated for situations where10) therewas no
extravigilancepresent for detecting thedanger; and
11) dangerwasdetectedbyVTSorotherinternal vigi-
lance. Insituations10and11therewasnoevidenceon
any other parameters thanthenodeVigilance. The
networkwasbuiltandtheprobabilitycalculationswere
performedwithBayesiannetworksoftwareHugin.
5 RESULTSOF THEANALYSIS
General causation probability for the studied loca-
tionandtraffic, meaningthat therewasnoadditional
knowledgeonthenetwork parameters other thanthe
default conditional probabilities of thenetwork, was
estimated to be 2.70 10
4
. When multiplied by the
number of collision candidates, the resulting num-
ber of collisions inonemonthwas 1.64 10
2
which
equalsareturnperiodof 61months. If it wascertain
that thedanger hadbeendetectedby extravigilance,
causationprobabilityestimatewas2.58 10
4
produc-
ingreturnperiodof 64months. Ontheother hand, if
therewasnoextravigilance, causationprobabilitywas
3.74 10
4
andthecollisionreturnperioddecreasedto
44months.
Tables 2 and 3 present causation probability and
the expected number of collisions in a month esti-
mateswithdifferent environmental andhumanfactor
conditions. The lowest collision probability in these
scenarios was acquired in good environmental con-
ditions with good human factors, and the collision
probability washighest whenboththeenvironmental
andhumanfactor conditionswerepoor.
270
Table 2. Results of causation probability estimation with
differentscenariosrelatedtoenvironmental andhumanfactor
conditions.
Humanperformance
Environmental
conditions Good Poor Noevidence
Good 2.56E-04 4.27E-04 2.68E-04
Poor 2.94E-04 1.97E-03 7.01E-04
Noevidence 2.56E-04 4.44E-04 2.70E-04
Table3. Estimates of thenumber of collisions inamonth
withdifferent scenariosrelatedtoenvironmental andhuman
factor conditions.
Humanperformance
Environmental
conditions Good Poor Noevidence
Good 1.55E-02 2.59E-02 1.63E-02
Poor 1.78E-02 1.19E-01 4.25E-02
Noevidence 1.55E-02 2.69E-02 1.64E-02
6 CONCLUSIONS
Theeffects of weather and factors related to human
performance on the collision probability were stud-
ied using a Bayesian network model for estimating
theprobability onnot makinganevasivemanoeuvre
whileshipswereonacollisioncourseincrossingarea
betweenHelsinki andTallinnintheGulf of Finland.
Thegeneral causationprobabilitywasestimatedtobe
2.70 10
4
, which is about the same order than the
values foundinliterature. Withthis causationproba-
bility, the return period of collisions in the crossing
area between Helsinki and Tallinn was estimated to
be5years. Accordingto statistics, onecollisionhad
occurredintheareain6yearssoitcouldbestatedthat
themodel reflectedwell theactual situation. However,
itshouldbenotedthatitishardtocomparetheresults
tostatisticssinceanalyzedtimeinterval shouldbelong
but the traffic would have to remain constant. The
return periods wereestimated based on onesummer
monthtrafficdata.Thetrafficintheareaisverydiffer-
ent duringinwinter period. Thustheeffectsof winter
shouldalsobeincludedinmodellinginthefuture.
According to theapplied model, if human perfor-
mancefactorswerepoor andtheshipwouldbesailing
indifficultconditionsatdark,theprobabilityof acolli-
sioninthestudiedareawouldbealmosteighttimesas
bigasingoodenvironmental andhumanperformance
conditions. If just the difference in human perfor-
manceisexamined, thecollisionprobabilitywithpoor
humanperformancefactorswouldbealmosttwicethe
probability in good human performance conditions.
Thisevaluationshowsthat thevalidityof thenetwork
parameters is important in order to producerealistic
estimatesof collisionprobabilities. Inthefutureexpert
judgmentandshipsimulator studieswill beutilizedin
ordertovalidatethemodel tothetrafficandconditions
intheGulf of Finland. Withavalidmodel theeffects
of possibleriskcontrol optionsoncollisionprobabili-
tiescanbeevaluatedandthemodel canbeusedasan
aidindecision-making.
All theoretical analysiscompletedinthisdocument
is based on dataof only onemonth, J uly 2006. The
amount of traffic is largely dependent on theseason
aswell. Naturallythisalsomeansthatthecomparison
withtheaccidentstatisticsandtheoretical model using
onlydatafromonemonthraisessomeconcerns. This
paper can, however, beconsideredas agoodstart to
moreprofoundanalysisof thecausationprobabilityin
thearea, whichshouldbeconductedonmonthlybasis
coveringthewholeyear andbasedondatafromother
monthsaswell.
REFERENCES
DetNorskeVeritas. 2003. Formal Safety Assessment Large
Passenger Ships, ANNEX II.
DetNorskeVeritas. 2006. Formal Safety Assessment of Elec-
tronic Chart Display and Information System (ECDIS).
Technical Report No. 2005-1565, rev. 01.
FinnishEnvironmentInstitute.2007.Oil transportation in the
Gulf of Finlandthroughmainoil ports Oil transportation
in years 19952005 and estimated development by year
2015.
Finnish Meteorological Institute. (n.d.) Weather statistics.
FMI wwwpages (online) [cited 8.12.2008] Availablein
www-format: <URL:http://www.fmi.fi/>.
Fowler,T. G. &Srgrd, E. 2000. ModelingShipTransporta-
tionRisk. Risk Analysis 20(2): 225244.
Friis-Hansen, P. & Simonsen, B.C. 2002. GRACAT: soft-
ware for grounding and collision risk analysis. Marine
Structures 15(4): 383401.
Fujii, Y. & Shiobara, R. 1971. The Analysis of Traffic
Accidents. Journal of Navigation 24(4): 534543.
Fujii, Y., Yamanouchi, H. & Mizuki, N. 1974. SomeFactors
AffectingtheFrequency of Accidents inMarineTraffic.
II TheProbability of StrandingandIII TheEffect of
Darkness on theProbability of Collision and Stranding.
Journal of Navigation 27(2): 239247.
Fujii,Y. 1983. IntegratedStudyonMarineTrafficAccidents.
IABSE Colloquium on Ship Collision with Bridges and
Offshore Structures, Copenhagen 42: 9198.
Grabowski, M., Merrick, J. R. W., Harrald, J. R.,
Mazzuchi, T. A. & vanDorp, J. R. 2000. Risk Modeling
in Distributed, Large-Scale Systems. IEEE Transaction
on Systems, Man, and Cybernetics Part A: Systems and
Humans. 30(6): 651660.
Hetherington, C., Flin, R. & Mearns, K. 2006. Safety in
shipping:Thehumanelement. Journal of Safety Research
37(4): 401411.
Ihaksi, T., Helle, I., Lecklin, T., Rym, R., Kokkonen, T. &
Kuikka, S. 2007. Using biological knowledgeand deci-
sionsof societyinspatial prioritizationof oil combating,
ICES CM 2007/C:02.
IMO. 2005. Revised Guidelines for the Identification and
Designation of Particularly Sensitive Sea Areas (PSSAs),
ResolutionA.982(24).
IMO. 2006. Formal SafetyAssessment. Consideration on Uti-
lization of Bayesian Network at Step 3 of FSA, Maritime
SafetyCommittee81st Session, MSC 81/18/1.
J ensen, F. V. & Nielsen, T. D. 2007. Bayesian Networks and
Decision Graphs, 2nd Edition. NewYork: Springer.
271
Klemola, E., Kuronen, J., Kalli, J., Arola, T., Hnninen, M.,
Lehikoinen, A., Kuikka, S., Kujala, P. & Tapaninen. U.
2008. A cross-disciplinary approach to minimising the
risks of maritimetransport intheGulf of Finland. World
Review of Intermodal Transportation Research, inPress.
Kujala, P., Hnninen, M., Arola, T. &Ylitalo, J. 2009. Anal-
ysis of themarinetraffic safety in theGulf of Finland.
Submittedmanuscript.
Macduff,T. 1974.Theprobabilityof vessel collisions. Ocean
Industry 9(9): 144148.
Otto, S., Pedersen, P.T., Samuelides, M. &Sames, P. C. 2002.
Elementsof riskanalysisfor collisionandgroundingof a
RoRopassengerferry. Marine Structures 15(4): 461474.
Pedersen, P. T. 1995. Collision and Grounding Mechanics.
Proceedings of WEMT95: 125127. Copenhagen: The
DanishSocietyof Naval ArchitectsandMarineEngineers.
Rambll. 2006. Navigational safety in the Sound between
Denmark and Sweden (resund); Risk and cost-benefit
analysis. Rambll DanmarkA/S.
Rosqvist, T., Nyman, T., Sonninen, S. &Tuominen, R. 2002.
Theimplementationof theVTMISsystemfor theGulf of
Finland a FSA study. RINA International Conference
Formal Safety Assessment, London 18.-19.9.2002. The
Royal Institutionof Naval Architects(RINA): 151164.
Rothblum, A. M. 2006. Human error and marine safety.
Volume 4 in U.S. Coast Guard Risk-Based Decision-
Making Guidelines. U.S. Coast Guard Research and
Development Center, (online) [cited 8.12.2008]. Avail-
able in www-format: <URL:http://www.uscg.mil/hq/
g-m/risk/e-guidelines/RBDM/html/vol1/ContV4.htm>
272
6.8
Aninfluenceof theorder tomaintainminimumdistancebetweensuccessive
vesselsonthevessel trafficintensityinthenarrowfairways
L. Kasyk
ABSTRACT: All vessel traffic regulations disturbtherandomness of thevessel traffic stream. Inthis paper
thedisturbingfactor istheorder tomaintainminimumdistancebetweensuccessivevessels. Theintensityof the
disturbedvessel traffichasbeendetermined. Toachievethisgoal theconvolutionmethodhasbeenused. Next
theconnectionbetweentrafficstreamparametersandthisdisturbedintensityhasbeenanalysed.
1 INTRODUCTION
1.1 Narrow fairways
Thevessel trafficonnarrowfairwaysissubjecttodif-
ferentrestrictions:speedlimit,overtakingban,passing
banandothers. Whenshipsmust gooneby onethey
mustmaintainminimumdistancebetweeneachother.
This distanceis specific for each basin, for example
on the

Swinouj scie Szczecin fairway, the mini-
mumdistancebetweensuccessivevessels is equal to
2cable.
1.2 Vessel traffic intensity
Theintensity of vessel traffic is measuredby anum-
ber of vessels passing in atimeunit (J agniszczak &
Uchacz 2002, Gucma2003). Whenshipsreport indi-
vidually andindependently of oneanother, theinten-
sity canbedescribingby Poissondistribution(Ciletti
1978, Fujii 1977, Montgomery&Runger1994). Inthe
casewhenvessel trafficisdisturbed, thedensitycanbe
determinedby usingtheconvolutionmethod. Inear-
lier works(Kasyk2006) author presentedsolutionsof
differentproblemsusingparticular partsof theconvo-
lutionmethod.Andthispaperisthefirstapplicationof
full convolutionmethodworkedoutbyauthor (Kasyk
2008).
2 DETERMINATIONOF INTENSITY
2.1 Component random variables
Accordingwiththeconvolutionsmethod(Kasyk2008,
Nowak 2002) its necessary to isolateparticular ran-
domvariables. Thetimedifferencebetweenleavings
thefairwaysectionwiththedisturbance, bysuccessive
shipsisequal to:
whereX denotesthewaitingtimefor thereportingof
thesuccessivefairwayunitinnonedisturbancetraffic;
Y denotesthetimenecessarytochangeof vessel traffic
parameters; Wisthetimenecessarytocover thefair-
waysectiononwhichtheorder tomaintainminimum
distancebetweensuccessivevesselsexist.Theindexes
A andB bynamesof randomvariablesdenotesreali-
sationsof particular variablesfor different successive
units.
The variable X has an exponential distribution
(Ciletti 1978, Fujii 1977, Gucma2003, Kasyk 2004,
Nelson1995). InthispaperthevariableY hasanormal
distribution(Kasyk2006). Whentheshipisforcedto
sail after the more slowly unit, she must reduce her
own speed. The longest time necessary to cover the
fairway sectiononwhichtheorder to maintainmin-
imumdistanceexist is equal to d/v
av
, wheredis the
length of this section andv
av
is theaveragevelocity
in this section. While the shortest time of covering
thisfairwaysectionamountsd/v
max
, wherev
max
isthe
highest velocity inthis section. Onnarrowfairways,
usuallytheaveragevelocitydoesnt differ muchfrom
themaximumvelocity. HencethevariableW canbe
described by an uniformdistribution on theinterval
fromd/v
max
tod/v
av
.
2.2 Probability distribution of vessel traffic
intensity
Usingall operationsof theconvolutionmethod(Kasyk
2008), p.d.f. of variable1/T hasbeendetermined.This
variable, as theinverseof thetimebetween leavings
the fairway section by successive ships, denotes the
number of shipsleavingthespecial sectioninthetime
unit. This is acontinuous variableandits probability
density function f(x) is given by theformpresented
below. Inthisformthefunctionerf(z) appears. Itisthe
integral of theGaussiandistribution, givenby:
273
Figure1. Dependenceof functionf(x) onparameter .
Thefunctionerfc(z) isgivenby: erfc(z)=1erf(z).
Integrating thefunction f(x) in corresponding limits
we obtain the probability mass function of the vari-
able I (the vessel traffic intensity after leaving the
fairway sectionwiththeorder to maintainminimum
distance):
3 ANALYSISOF DEPENDENCE DENSITY
FUNCTIONONTRAFFIC PARAMETERS
3.1 Traffic parameters
Functionf(x) depends onthreeparameters: , and
thedifferencer=(b a). 1/ isthemeanof thevari-
ableX. is thestandard deviation of thevariableY
andtheinterval [a, b] is therangeof thevariableW.
Figure 1 presents the dependence of f(x) on the
parameter , withestablished andr.
All parameters havebeenexaminedinranges cor-
responding with real conditions. Hence r is located
between0.1hourand2hours, stayswithintherange
Figure2. Dependenceof functionf(x) onparameter .
Figure3. Dependenceof functionf(x) onparameter r.
from0.01 hour to 1 hour and is fromtheinterval
[0.1/h, 10/h].
Fig. 2presentsthedependenceof thefunctionf(x)
ontheparameter , withestablished andr.
Figure 3 presents the dependence of the function
f(x) ontheparameter r, withestablished and.
Function f(x) changes littlefor different values
and r (a bit more for ). With the change of value
of thefunctionf(x) changes alot. Especially when
closes to0, thecurvef(x) has greater values andit
hasmaximumfor theargument closer 0.
3.2 Comparison between disturbed intensity
and random intensity
The vessel traffic intensity on the exit of the fair-
way section with the order to maintain minimum
distanceisdifferentthanthevessel trafficintensityon
theentranceto this section. Thegreatest differences
appear in thecasewhen theexponential distribution
parameter has valuegreater than 1(thehigher value
of the bigger differences between intensities) and
values of parameters and r are high (Fig. 4). The
closer0,thelessdifferencesbetweenintensities.And
when andr closeto0, thendensityfunctioncurves
of intensitiesalmost coincide(Fig. 5).
Inabovefigurestheprobabilitydensityfunctionof
thevessel traffic intensity ontheentrancetothefair-
waysectiononwhichtheorder tomaintainminimum
274
Figure4. Differencebetweenintensitiesfor large.
Figure5. Differencebetweenintensitiesfor closingto0.
distancebetween successivevessels exist, is marked
bydashedline.
3.3 Extreme case
Inthecase, whentherearesomanyshipsthattheysail
oneby onewiththeminimumdistanced
min
between
eachother, thentheintensityisequal to:
whered
min
isexpressedinmetres; theaveragevessel
speedv
av
isexpressedinmetresper second.
4 CONCLUSIONS
Intensity of thedisturbedvessel traffic, as anumber
of reports in a time unit, has been approximated by
continuousrandomvariable1/T. Applyingtheconvo-
lutionmethodthedensityfunctionof variable1/T has
beendetermined.
If disturbancesinfairwayvessel trafficarebig(val-
uesof parameters andrarehigh), thentherearelarge
differencesbetweenthevessel trafficintensityonthe
exit of thefairway sectionwiththeorder tomaintain
minimumdistanceandthevessel traffic intensity on
theentrancetothissection.
For practical uses, therandomvariables separated
inthis model, shouldbeverifiedwithmeasurements
or simulations.
REFERENCES
Ciletti M. 1978. Traffic Models for use in Vessel Traffic
Systems, The Journal of Navigation 31
Fujii Y. 1977. Developmentof MarineTrafficEngineeringin
J apan, The Journal of Navigation 30
J agniszczakI. &UchaczW. 2002. Model of simulatedbarge
traffic at theLower Odra. Scientific Papers of Maritime
University of Szczecin 65
Gucma L. 2003. Ships Traffic Intensities in Szczecin Port
andontheSzczecin SwinoujscieWaterway(inPolish),
Scientific Papers of Maritime University of Szczecin 70:
95115.
Kasyk L. 2004. Empirical distribution of the number of
shipreportsonthefairwaySzczecin Swinoujscie, XIV-
th International Scientific and Technical Conference The
Part of navigation in Support of Human Activity on the
Sea. Gdynia: Naval Academy.
Kasyk L. 2006. Process of Ship Reports after Covering a
Special Fairway Section, 10th International Conference
TRANSCOMP 2006. Radom:ThePublishingandPrinting
Houseof theInstitutefor SustainableTechnologies
KasykL.2008.Convolutionsof DensityFunctionsasaDeter-
mination Method of Intensity of DisturbedVessel Traf-
ficStream, 12th International Conference TRANSCOMP
2008. Radom: ThePublishingandPrintingHouseof the
Institutefor SustainableTechnologies
Nowak R. 2002. Statystyka dla fizykw. Warszawa:
WydawnictwoNaukowePWN
Montgomery D. C. & Runger G.C. 1994. Applied Statistics
and Probability for Engineers, NewYork: J ohnWiley &
Sons, Inc.
Nelson P. 1995. On deterministic developments of traf-
fic streammodels, Transportation Research Part B 29:
297302
275
6.9
Ondeterminationof thehead-onsituationunder Rule14of COLREG-72
V.M. Bukaty& S.U. Morozova
ABSTRACT: Analyzedonepossiblecriteriaof statingthefact of ships meetingon reciprocal courses and
provedthat noneof themcanbejudgedwithconfidenceof head-onsituation. So, infact Rule14of COLREG-
1972shouldbestrictly adheredto: When a vessel is in any doubt as to whether such a situation exists we
shall assume that it does exist and act accordingly, i. e. alter thecoursetostarboard.
1 INTRODUCTION
Rule 14 of International Regulations for Preventing
Collisionsof Sea-72appliestothenavigationof ships
insightof eachotheronreciprocal courses, whenthey
aremeetinghead-on. Whentwopower-drivenves-
sels are meeting on reciprocal or nearly reciprocal
courses so as to involve risk of collision each shall
alter her course to starboard so that each shall pass
on theport sideof theother this how Rule14
of COLREG states. It seems to besimpleand quite
understandable! Statisticsof shipcollisions, however,
shows that regardless of simplicity and clearness of
theactions accordingto this Rulemorethan50per-
cent of collisions precisely occur when vessels are
meeting on reciprocal courses (Karapuzov, A. I. &
Mironov, A. I. 2005. Maneuvering). Thepointsthat
on practiceapplication of Rule14 becomes compli-
catedasit doesnt giveexact quantitativecriteriaboth
for definition of head-on situation and minimum
permissiblecollisionapproachsituation to execute
maneuvering safepassing clear of each other. As to
thecriteriaof clearinguphead-onsituation, Rule14
contains only the direction that Such a situation
shall bedeemedtoexist whenavessel seestheother
aheador nearly aheadandby night shecouldseethe
mastheadlightsof theother inalineor nearlyinaline
and/orbothsidelightsandbydaysheobservesthecor-
respondingaspectof theother vesselWhenavessel
is inany doubt as to whether suchasituationexists,
sheshall assumethatitdoesexistandactaccordingly.
Theuseof suchinexact notationsasnearly recip-
rocal courses, nearly in a line, nearly
ahead, corresponding aspect of thevessel
aswell astheabsenceof exact quantitativecriteriain
Rule14dont makeit possiblefor navigatorstojudge
thehead-onsituationinauniquemanner. Byvirtueof
navigators subjectiveperceptionof inexactnotations,
laid in Rule14, someof themconsider thehead-on
situation as falling under Rule 14, and the others
under Rule 15 applying crossing situation. The lack
of agreement innavigators actionstodifferent Rules
Figure1. Anexampleof dangeroussituationdevelopment,
whenonnavigator considersthat heactsunder Rule14, and
theother under Rule15.
of COLREGinthesamesituationoftenleadstocol-
lisions. It canbeillustratedbysomesimpleexamples
frompractice(Snopkov, W. I. 2004. Ships). Fig. 1
shows the case in which one of the navigator (nav-
igator C) has determined the situation as head-on
fallingwithinthejurisdictionof Rule14inaccordance
withwhichhechangedthecoursetostarboardandthe
other one(navigator A) has determinedthesituation
ascrossingfallingwithinthejurisdictionof Rule15
andconsideredit necessarytokeepout of thewayof
theshiponher ownstarboardandchangedthecourse
to port. Further development of thesituationdoesnt
requireanycommentaries.
RussiancommentariestoCOLREG-72dont at all
considertheproblemof quantitativecriteriaasapplied
to Rule 14, i.e. of minimum permissible aspect of
oncoming vessel when it is to be considered as the
vessel proceeding on reciprocal course head-on. In
Russian commentaries to COLREG-72, complying
withRule14, it is recommendedinany doubt touse
277
Figure2. Oncalculatingof angular perceptibilityof linear
alignment.
Rule 14 for altering the course ahead of time and
positively tostarboard.
SomeforeigncommentariestoCOLREG-72,based
on the materials of judicial arbitrary documents,
assumethat in thesamecasewhen thedifferencein
coursesdoesnt fall outsidethelimit of 180
half a
point, Rule 14 shall be applied. If the difference in
courses falls outsidethelimit of 180
half apoint,
Rule15isrecommendedtoapply(Karapuzov, A. I. &
Mironov, A. I. 2005. Maneuvering).
2 CLEARINGUPTHE HEAD-ONSITUATION
ACCOUNTINGMAST INLINE
If thevessels areinsight of oneanother, theninday
time a trivial criterion of their meeting on recipro-
cal courses might be an alignment of the oncoming
vessels masts, that can beseen with unaided eyeor
through thebinocular. In this caselets consider this
criterion. Anobserver isknowntothink that heison
a line of alignment (Fig. 2) until he deviates from
it so that theformed anglea between thedirections
to leading beacons will not be larger than an angu-
lar perceptibility of the observers eye. Then, Fig. 2
shows, that deviationW fromthealignment axiswill
be(Kolomijchuck. 1975. Hidrography)
whered thedistancebetweenleadingbeacons; D
thedistanceuptofront leadingbeacons.
This, angle determining an angular accuracy of
theobserver positioninlinewill be:
Table 1. Angular accuracy of defining oncoming masts
alignment, degrees.
Distancebetween Distanceuptofront mast D, miles
masts
d, miles 1 2 3 4 5
20 15.2 28.4 39.0 47.2 53.4
40 7.8 15.2 22.1 28.4 34.0
60 5.3 10.3 15.2 19.8 24.2
80 4.0 7.8 11.5 15.2 18.7
100 3.2 6.3 9.3 12.3 15.2
120 2.7 5.3 7.8 10.3 11.0
140 2.4 4.6 6.7 8.9 9.7
160 2.1 4.0 5.9 7.8 8.6
180 1.9 3.6 5.3 7.0 8.6
200 1.7 3.2 4.8 6.3 7.8
Or inviewof (1) andacceptingfor anunaidedeye
of theobserver that = =1
/
werecordinwriting
Accordingto(2) withtheoncomingvesselsmasts
displacementequals100m, atadistanceD=4miles,
we receive =12.3
. For other values of d and D,

themeanings of angle aregiveninTable1. As the
tableshows, todetectthemovementof oncomingves-
sel proceeding on reciprocal course head-on by its
masts alignment withunaidedeyepractically impos-
sible. Thisistrueevenfor very largevesselsat close
quarterdistanceaswell.Atleasttheaccuracytoestab-
lish such fact will contradict with the accuracy the
modern courseindicatory can provide. Theobserver
will assumethatthevesselsareproceedingonrecipro-
cal courseshead-on, thoughinrealitytheircoursescan
differ bysomedegreesandevenbysometendegrees
(astosmall shipstheycanbeataconsiderabledistance
fromtheobserver). Probably, half apointdifferencein
oppositecourses, consideringas acriterionfor ships
inhead-onsituationintheForeignCommentaries to
Rule14, as it was mentionedabove, whenobserving
withanunaidedeyeis relatedtomeetingdistancein
12miles with masts displacement of theoncoming
shipby afactor of 60120m., asTable1shows. But
theyareclosestpointof approachclosetolastmoment
distancesfor maneuvering.
Usingabinocular or optical findingtubefor obser-
vationcanhelptoimprovethesituationandincrease
the eye resolution (in our case to increase angle )
in numbers equal to multiplicity of a binocular and
findingtubeincrease(Kolomiychuck. 1975. Hidrog-
raphy). But even if angle is reduced by afactor
of 10 it will means according to (2), that the angu-
lar accuracyof definingmastsalignment isincreased
by a factor of 10, as Table 1 shows. But it doesnt
solvetheproblemof small-sizedvesselsneither inthe
maneuveringzone(distanceof 48miles), nor inall
thedistancesof closequarter (distanceof 4miles), to
say nothing of thedistances in thezoneof situation
278
Figure3. A navigator of small shipA seesthemastsalarge
ship C not in line, and he think the ships are proceeding
on reciprocal courses, and anavigator of largeshipC sees
themastsof small shipA inlineandhethinkstheshipsare
proceedinghead-on.
appraisal (812miles). Asaresult, thefollowingsitu-
ationispossible(Fig. 3): thenavigator of alargeship
observingthemastsalignment of theoncomingsmall
shiphascometotheconclusionthatitisproceedingon
areciprocal coursehead-on( <) anddecidedtoact
accordingtoRule14, alteringthecoursetostarboard.
Thenavigator of asmall ship, whohashadthepossi-
bilitytodeterminethemastsalignmentof alargeship,
cometotheconclusionthatthemastsof anoncoming
shiparenot inline( >) and, accordingly, theships
areproceedingonreciprocal coursesandhedecidedto
takehead-onmaneuveringunder Rule15, alteringthe
coursetoport andkeepingout of theway of theship
onhisownstarboard.Asaresult, therewasasituation
schematicallypresentedon(Fig. 1).
ACCOUNTINGMASTHEADLIGHTSAND
SIDELIGHTS
Bynighttimethecriteriaforshipsinhead-onsituation
couldbesimultaneousvisibilityof sidelightsor mast-
headlightsinline. Astothecriterionof determining
head-onsituationbythealignmentof mastheadlights,
it isevidently that it isnot better thanthecriterionof
determininghead-onsituationbythealignmentof the
masts. Bothof themhavethesameshortcomings. As
tothecriterionof clearingupthehead-onsituationby
thevisibility of sidelights, in our opinion, thought it
is not perfect, it has someadvantages incomparison
withthecriteriaof clearingupthehead-onsituation
by alignmentsof mastsor mastheadlights. Thepoint
is that in compliance with Rule 21 to COLREG-72
Each sidelight shows an unbroken light over an
arc of thehorizonof 112.5
andso fixedas to show

the light fromright ahead to 22.5
abaft the beam

on its respectiveside. InAnnex 1to COLREG-72it
is defined more exactly that. In the forward direc-
tion, sidelights as fittedonthevessel shall showthe
minimum required intensities. The intensities must
decreaseto reach practical cut-off between 1 degree
and3degreesoutsidetheprescribedsectors.Itmeans
thathavingdifferenceupto1803
innearlyrecip-
rocal courses approaching vessels can observe the
sidelightsof oneanother: itwill seemtothemthatthey
areproceedingonoppositecourses, i.e. head-on. The
samesituationcanarisewhentwoshipsareapproach-
ingeachother not head-on, but onoppositecourse
(parallel course), inthecase, whenthecourseangleof
observedshipinvisibility of sidelights (3miles) has
themeaningupto3
, i.e. whenthedistancebetween
courselinesisabout1,5cablesandtherewill arisethe
risk of collision becauseof thehydrodynamic inter-
actions of theships. Thesecircumstances couldhave
beentakenasmoreprecisedefinitionof thenotation
nearly reciprocal courses. They aresupposedto be
the courses, the differences of which, is within the
limit of 1803
. However, thesubstantial limitation,

of criterionof thedeterminationof head-onsituation
bythevisibilityof bothsidelightsisthatitcanbeonly
appliedat small distances betweentheships because
of their poor visibility.
Asappliedtoclearingupthequantitativecriteriaof
meetingof theshipsproceedingonreciprocal (nearly
reciprocal) courses head-on, we have put a special
emphasisonthefactthattheabove-mentionedcriteria
couldhavebeenthesame, thatistheycouldhavebeen
implementedonlyunder perfectconditionsof naviga-
tion, when no external factors influenceupon ships
movementandwhentheshipscouldhavebeenableto
proceedwithoutdriftingandsheeringalongthecourse
line(Fig. 1, Fig. 2). But thecaseit not oftenlikethis.
Inpracticeinmost cases of ships navigation, any
shipisexposedtowindsandcurrents, andbecauseof
that, first theship, ismovingwithdrift angle, that is,
notalongthecourselinebutontracklineand, second,
theshiplaboursyawing.Asaresult,theshipscanmove
head-on(moveonreciprocal tracklines), thoughtheir
coursesdifferencecanbeother than180
. Moreover,
due to yawing it can be alternating, either larger or
smaller than 180
. By daytime for the same reason,

mastsalignment of oncomingchipcant beobserved,
theycanbeeither alignedor not aligned, andat night
timeonly onesidelight canbeobserved if theship
ismovingwithconstantdriftangleandbothsidelights
cancasuallyappear if theshipismovingwithyawing
(Fig. 4).
In case, ships are proceeding with drift angle, it
wouldbecorrectlytosay, inour opinionthat theyare
meetingonreciprocal trackangle.
WHENUSINGRADAR
If the ships are proceeding with visual drift angle,
instantaneously received criterion for clearing up
head-on situation is not perceived at all. The only
279
Figure4. Shipsproceedingonreciprocal course.
things to be undertaken in this case is to solve this
probleminclassicway,i.e.byrelativeplotlingmethod,
observingtheoncomingshipsalignmentchangesand
distance to it by the radar. However, it should be
implied that the question is about ships movement
onnearlyreciprocal routeangleswithrelativelysmall
courseanglesof eachother andnearly equalstodrift
angle. Thats why occasional errors of measuring,
especiallyof bearingswill greatlyinfluenceuponthe
results of relative plotting. Really, assume that the
shipsareprecedingat speedof 10knotsonreciprocal
courseswithtrack anglesandat adistanceof 5miles
the navigators, observing with binocular or through
optical finding tube, sight masthead lights suppos-
edly not in line. In fact, it could be true, as under
thecondition of theproblem, theships areproceed-
ing with drift angle. The navigator of A ship thinks
that C shipisonhisstarboardside, andthenavigator
of C shipthink, thatA shipisonhisportside. Never-
theless, thenavigatorof A shipdecidedtodefinemore
exactlyhead-onsituationandhemeasuredthebearing
of C shipanddistanceto it by radar, andthreemin-
uteslater herepeatedhismeasuringagain. Under the
conditionof aproblemtheC ships bearingmust not
change, but duetooccasional errors of gyrocompass
(and with probability of 95% they can reach values
0,5
(Directions on1987) it turned out that at a

distanceD
1
=5miles, bearingB
1
was89,5
inthefirst
measuring, andinthesecondmeasuringat adistance
D
2
=4miles bearingwas B
2
=90,5
. Calculationof
closest point of approachbyaformula:
whereB=B
2
B
1
, D=D
2
D
1
, which gives it
accurate to the component of 2nd order infinitesi-
mal withminor valuesd
cpa
(Luschnikov, E. M. 2007.
Ships), andalso relativeplottingmadesure the
navigator of A shipthat C shipwouldbeonhisrecip-
rocal, but parallel course and pass his starboard at
a closest point of approach (CPA) d
cpa
=3.5 cables
(Fig. 5). Itisnotexcluded, thatthenavigator of Cship
alsoobserveddistanceandbearingschangesof A ship
andhisresultswerethatatadistanceof 5milesAships
bearingwasequal to270,5
andatadistanceof 4miles
it was equal to269
, though, infact A ships bearing

didnotchangeandwasequal to270
.Asaresultof rel-
ativeplottingandtheaboveoccasional errorsintaking
bearing, heclearedup that A shipwas proceeding
Figure5. Possibleresult of relativeplottingaboardA ship,
when ships areproceeding on reciprocal track angles. The
result wascausedbyrandomerror intakingbearing.
Figure6. Possibleresult of relativeplottingaboardB ship,
when ships areproceeding on reciprocal track angles. The
result wascausedby randomerror intakingbearingclosest
point of approach.
Figure7. Possibleresultof theplottingonCshipwhentwo
ships areproceeding on reciprocal track angles. Theresult
wascausedbyrandomerrorsintakingbearings.
reciprocal but parallel courseandit wouldpassonhis
port sideat aclosequarter distanceof 3.5cablessuf-
ficientfor safepassing(Fig. 6). Bothnavigatorscould
regardthatshipswouldpassatasufficientdistance,but
actuallytheywereproceedingreciprocal track angles
head-on.
Wecannot ignoreonemoresituation, under which
radar observationaboardA shiphasshowedthat at a
distanceof 5milesA shipsbearingisequal to269.5
,
andat adistanceof 4milesit haschangedto270.5
.
Inthat casearelativeplottingshowedthatA shipwas
crossingC ships courseandwouldpass it at aclos-
est point of approachof 3.5cables (Fig. 7). A ships
navigatorthinkingthatbothships, evenif theyarepro-
ceedingonreciprocal parallel courses, but at ashort
distance of closest point of approach d
cpa
, and tak-
ingintoconsiderationsmall bearingchangesof Cship
(even1
is asignof risk of collision) has decidedto

actincompliancewithRule14, alteringcoursetostar-
board. ButCshipsnavigator, computingthesituation
of meeting on crossing courses andA ship as being
onhisstarboardhasdecidedtoactincompliancewith
Rule15andkeepingout of thewayof A ship, turned
280
port sideandas aresult thesituationof meetinghas
arisenwhichcouldleadtoships collisionof whichwe
havementionedearlier (Fig. 1).
Thus, we have made sure that neither visual nor
radarobservationpermittodeterminewithconfidence
the fact of ships approaching on reciprocal courses
(withtrack angles). Thats why inthis caseof uncer-
tainty, forwantof somethingbetter, weshouldcomply
withRule14of COLREG: Whenavessel isinany
doubt as to whether such asituation exists sheshall
assumethat it doesexist andactsaccordingly, i.e.
alter courseto starboard in duetime. But thewhole
problemliesinthateverynavigatorhashisowndegree
of doubt
WHENUSINGAUTOMATIC
IDENTIFICATIONSYSTEM
During the past few years many ships are being
equippedwithnewtechnical aidstonavigator, inpar-
ticular, automatic information systems (AIS). They
allow the ships meeting within the range of VHF
coastal station(about 20miles) toexchangeinforma-
tionabout current positions of theships, their speed,
track angles, etc. Thats why it is interestingto clear
up their capabilities in order to determine head-on
situations.
Ships coordinates related to the same time and
received fromAIS allow determining the distance
between ships and an oncoming vessels bearing.
Actually, if atsomeinstantof timet
1
wereceivedcoor-
dinates
o1
and
o1
of our ship and coordinates
b2
and
b2
of theoncomingvessel, distancesD
1
andD
2
betweenshipsandtheoncomingvesselsbearingsB
1
andB
2
at thoseinstantsof timecanbedeterminedby
formulae:
where
m
anaveragelatitudebetweenvessels.
To simplify thesejudgments, assume, that naviga-
tor takes placenear Equator and
m
=0. Inthis case
differenceof distancesanddifferenceof bearingsare:
Knowing the difference of distances and differ-
ence of bearings and taking info account the most
interesting for practice the occurrence of small dis-
tances of closequarter approaching of ships wecan
useformula(3), to findthedistanceof closequarter
approachingor wecandetermineit usingmethodof
relativeplotting.
Root-mean-square errors of distances measuring
m
D
and measuring of bearings m
B
can be found
by formulae, following fromequations (6) and (7)
(Bukaty, V. M. 2005. Research)
where m
a root-mean-square error of determin-

ingships coordinates (theerrors is consideredto be
identical bylatitudeandlongitude).
For larger simplicityof judgment, assume, theship
areapproaching oneanother meridian so that longi-
tudesdifferencewill equal 0
andlatitudesdifference
at the instant of time t
1
, will be 5
/
. Assume, that at
the instant of time t
2
it will be 4
/
, i.e. at the instant
of time t
1
the distances between ships are 5 miles
and at some instant of time t
2
4 miles. Distances
differenceis1mile.TakingintoaccountthatAIStrans-
mits the positions received from receiver-indicator
NSS we calculate root-mean-square errors of deter-
mining distances and bearings by formulae(10) and
(11). AssumeNSS is workingintheusual condition.
Root-mean-square coordinates errors are a factor of
m
=2025m, anddoubleerrors(withprobability
95%) will be a factor of 4050m(IMO Resolu-
tionA.953(23). 2003). Accordingto (10) and(11) at
instant of time t
1
with probability of 95% distance
error between ships is 0.5
, and error of oncom-

ingshipsbearingis0.44
. At instant of timet
2
the
errorof bearingdeterminationis0.55
, andtheerror
of distancedeterminationisjust thesame. Theerrors
of distancedetermination as aboveindicated arenot
great and they may beignored. But thepoint is that
bearings defining within thedistances of maneuver-
ingzoneendpracticallythesamewhether weuseAIS
or radar observation. Therelativeplottingmay show
thesameresultsandthesamesituationsof approach-
ingships as wehaveconsideredabovewhenwriting
about radar observations.
If necessary to consider an example when the
distancedifferencesbetweenshipsatthetimeof mea-
suring is equal to 2 miles (measures arebeing done
every6minutesatthesameships speed), thenfor the
distance of 5 miles (1st measure) the error of bear-
ingmeasuringwouldbethesame0.44
, andfor the
distanceof 3miles(2ndmeasure) it wouldbe0.73
accordingto(11). Itwontimprovethesituation, more

281
than likely; deteriorateit i.e. theseeming approach-
ing situation might happen not to be in accordance
withthetruth. Inthis exampleAIS fails togaineven
toradar observation, wheretheerror of takingbearing
canbeconsideredasindependentof distancesbetween
ships.
Itisof interesttoexamineAISscopefor muchear-
lier ships approachingsituation. Suppose, that under
theconditionsof previousexampleshipsstartedusing
the information of AIS at a distance of 20 miles. It
means the errors of distance determination will not
bechangedandcanas beforebeignoredbecauseof
theirinfinitesimal,anderrorsof bearingdetermination
will reduceto one-quarter, adding afactor of 0.1
according to (11). But, in spite of the above, owing

todistancesincreasingtoone-fourth, closest point of
approach will increase being equal to 6.6 cables as
to (3). Owing to randomerrors of taking bearings
we, as amatter of fact, receivethesamevariants of
approachingsituationfromAIS,aswehaveconsidered
themfromradar observations.
Thus, theuseof AIS, taking positions fromSNS,
funninginoperationconditioninorder toclear upthe
situationwhenshipsaremeetingonnearlyreciprocal
coursescannot solvetheproblem. Andwecanrepeat
againandagaintherecommendationsof Rule14that
when the vessels are meeting on nearly reciprocal
coursesandif thereisanydoubt astowhether sucha
situationexistsweshall assumethatitdoesexistsand
other thecoursetostarboardinduetime.
If the information is entered into AIS fromNSS,
runningindifferential condition, therandomerror of
ships positions witharability of 95%couldbetaken
as equal to 10m(IMOAssembly Resolution. 2003).
Hereaccording to (11) root-mean-squareof bearing
error will equal to 0.1
whenthedistancebetween
ships is 5miles andabout 0.25
whenthedistance
is20miles.
6 CONCLUSION
Correspondingly, closestpointof approachatthesame
distance difference of 1 mile, as in previous exam-
ples, will beequal to 0.7cables inthefirst caseand
3.3 cables in second one according to (3). Such a
small closestpointof approachof 5milesatastarting
distance would indoubtly indicate that the ships are
meeting on reciprocal course(head-on situation). At
astartingdistancewhentheships are20miles apart
and the information about ships position is entered
info AIS fromNSS, operating in differential condi-
tion, aseemingclosest point of approach(3.3cable)
issuchthatitisabletoleadanavigator intoerror asto
theapproachingsituation. Thus, AIS, havingreceived
ships positionsfromNSS, operatinginthedifferential
condition, allowanavigator tomakeproper judgment
abouttheships meetingonreciprocal coursesevenat
suchasmall distancedifferencebetweenthemat the
timeof measuringas1mile.
REFERENCES
Bukaty, V. M. 2005. Research Investigations of Automatic
Information Systems Means for Increasing Ships Safe
Passing. Report on SIW/BSAFF, editedby BukatyV. M.
No.2004-03. Kaliningrad. 26p.
DirectionsonArrangingPilotServiceaboardSta-goingShips
of FishingFleet USSR. 1987. Leningrad, Transport
Karapuzov, A. I. & Mironov, A.W. 2005. Maneuvering of
Large-tonnageShips. Novorossiysk, NGMA.
Kolomiychuck, N. D. 1975. Hidrography. Moskva, GUNIO
MOSSSR
Lushnikow, E. M. 2007. Ships Navigation Safety.
Kaliningrad, BSAFF.
Snopkov, W. I. 2004. Ships Navigation: Text-book Sunct-
Petersburg, Professional.
IMOAssemblyResolutionA.953(23) 5thDec. 2003. World-
wideRadionavigational System.
282
Chapter 7. Communication at Sea
7.1
Maritimecommunicationtosupport safenavigation
K.E. Fjrtoft, B. Kvamstad& F. Bekkadal
MARINTEK e-Maritime, Trondheim, Norway
ABSTRACT: Themainobjectivesof theMarComproject(MaritimeCommunications broadbandatsea)are
toinvestigatethemainuser needsandcommunicationtechnologiesrequirementstoaccommodatethoseneeds
withinthemaritimecommunity.Theprojectwill carryoutseveral pilotstodemonstratetheusabilityof terrestrial
wirelesstechnologiesincombinationwith, andinsomeareasinsteadof satellitecommunication(SatCom). The
major benefit tothemaritimeusersareexpectedtobereducedcosts, increasedbandwidth, Quality-of-Service
(QoS) andimprovedcommunicationsecurityandversatility.
TheMarComapproachischaracterizedbycombiningthoroughinvestigationsof presentandfutureuserneeds
throughninescenarios/user casesalongwithidentificationof cost-effectivecommunicationplatformstomatch
theapplicationrequirementsbeingobtained. TheMarCominvestigationshaverevealedthebandwidthneedsfor
aset of applicationgroups, andidentifiedthedataintegrityrequirementsfor eachgroup.
Furthermorethispaper isaddressingtheMarComworkwiththeIMO/IALA e-Navigationstrategicinitiative
inestablishingthebandwidthrequirementstoobtainthemajor objectivesof thee-Navigationconcept.
1 INTRODUCTION
MarComhasperformedscenariostudiesinatotal of
ninedifferent user casescoveringninedifferent focus
areas. Thecasestudieshaveresultedinatotal of eight
applicationgroupscomprisingemergencymessaging,
reporting, technical maintenance, safetyandmonitor-
ing, infotainmentandspecial purposeapplications, as
illustratedinFigure1.
A summary of thecapacity requirements revealed
intheMarComcaseanalysisispresentedinfigure2.
The figure shows the bandwidth needs along the
ordinate axes and integrity requirements along the
abscissa. Integrity is thereliability of thecommuni-
cationchannel, i.eistheassurancethatthetransferred
datais consistent andcorrect, whichis reflectingthe
Figure 1. Application groups resulting from the case
studies.
QoSrequirementspertainingtotheapplicationgroup.
As can be seen, the requirements vary froma few
bytes to be transmitted for operational management
below10kbps, todatapackagesof sizesof above100
Mbytes for special purposeapplications (suchas e.g
for complexoffshoreoperations).
Oneof theimportant objectivesof e-Navigationis
toimprovethecommunicationbetweenships, aswell
as between ship and shore. The International Mar-
itimeOrganization(IMO) hasdescribede-Navigation
as; the harmonised collection, integration, exchange,
presentation and analysis of maritime information
onboard and ashore by electronic means to enhance
Figure2. Capacityversusintegrityrequirements.
285
berth to berth navigation and related services, for
safety and security at sea and protection of the marine
environment.
In MarComwe have studied these objectives by
introducing them in the scenarios where both user
applicationsandtechnologyhavebeenaddressed.
Inthefollowingchapter someof thefindingsfrom
MarCominrelationtothee-Navigationobjectivesof
IMOaredescribed.
2 MARCOMVERSUSE-NAVIGATION
Thefollowing paragraphs arelisting thecoreobjec-
tivesof thee-NavigationconceptdefinedbytheIMO
i
.
Withineachtopic wehavelistedtheMarComresults
accordinglyalongwithsomeconclusionsbasedonthe
experiencesgainedfromMarCom.
The applications derived from the case studies
havebeenanalysedwithregardstoopportunitiesand
challenges, categorizedas:
Pain: What aretheproblemsandchallengeswithin
theapplicationgroupstoday?
Vision: Howwouldtheapplicationsappear without
theexistenceof theabovementionedpains?
Value: What isthehuman-relatedor cost benefit of
findingasolution?
Power: Whoshouldbeinvolvedtobeabletofinda
solutiontothepains?
As an example the reporting application group
has been studied comprising four different reporting
sub-groupshavingbeenidentifiedasrelevant for the
MarComproject:
1. Operational Reporting, including route informa-
tion,cargoinformation,numberof passengers,cash
register reserves, deviationreports, travel invoices
andHMSreports.
2. Navigational Reporting, includingpositionreports,
aids to navigation (AtoN), meteorological and
hydrological reporting, and status on fairway
objects
3. Technical Reporting, including reports on tank
reserves, status reports on technical equipment,
reportingbetweensystemsandsensors, andcargo
reporting
4. Mandatory Reporting, includingreportingto port
andgovernment, ISPS, classification, andenviron-
mental monitoring
Group1and2, operational andnavigational report-
ingrequireshigher integritythanthetwootherssince
it iscritical tosafeoperations.
Examples on different observations have been
describedindetail, suchasfor examplethecash reg-
ister reserves in group operational reporting, where
they have been studied in accordance with the four
abovementionedissues; apain observationisthatthe
i
IMO Sub-Committee on Safety of Navigation (NAV),
53rdsession: 2327J uly2007
cashregister serviceshavetobeonlinetovalidatethe
differentcardsusedinatransaction.Thevisions isthat
thetherewill benotransactionandverificationdelay
on the different credit cards used as payment. Value
is that better QoS providedby ahigh-speednetwork
gives correct validation of a money transaction and
can thereby validate potential money transfer with-
out account settlement. Finally the power to handle
thesechallengescancomprisetheprovidersof infras-
tructure (data transmission, service providers, LAN
solutions, terrestrial to satellite solutions), the cash
register softwaredevelopers, andtheendusers.
For eachgroupwehaveanalysedtherequirements
fromatechnological andhuman(user) point of view.
Thishasgivenustheunderstandingof futureapplica-
tionsandtechnological needsthat havebeendefining
therequirementsof communicationsolutions.
In the MarCom project we have then analysing
thefindings withreferenceto theIMO e-Navigation
objectivesof beinglistedinthefollowingparagraphs.
2.1 IMO e-Navigation objective: Facilitate
communications, including data exchange,
among ship to ship, ship to shore, shore to ship,
shore to shore and other users
Theneedfortransferof datafromashiptoshoreiscon-
siderable. Previousstudieshaveshownexamplesthat
ashipsailingfromaforeignport hastosendmanda-
toryinformationtogovernmental bodiesmorethan40
timesduringavoyage
ii
. Inadditionisthecommercial
reportingandmonitoring(tocargoownersor system
equipment providers, withinformationabout techni-
cal statusonequipment aswell asonthecargo), and
thecommunicationbetweentheshippingcompanyand
theship.
InMarComwehavemainlyfocusedthecommuni-
cationbetweenshipsandshore, butsomecommunica-
tiononboardtheshiphasalsobeenpaidattentionto.
The upper part of Figure 3 shows some telecom
services and bandwidth requirements for terrestrial
systems that havebeen studied in viewof theappli-
cationsdescribed, whilethematrixinthebottompart
is pertainingto services offeredby different SatCom
systemstoaccommodatethesecapacityrequirements.
However, sinceMarComs foremost technological
objectiveistoextendthecoverageandrangeatseafor
bothin-useandnovel terrestrial wirelesssystemsand
technologies, thesesolutionshavebeengivenpriority
toSatComs.
Oneof theuser cases, relay and mesh networking,
has taken this a step further within the communi-
cation aspect of terrestrial systems, having studied
solutions for mesh networking, i.e. networks where
the available nodes in an area can be used to relay
data, and thus increase the communication range
and area coverage. This case comprises technology
demonstrationsaimingatcoverageareaextensionand
ii
Source;TheEU-projectMarNISandtheNorwegianproject
VITSAR
286
Figure 3. Basic telecom services and bandwidth
requirements.
flexibilityenhancementbyapplyingasystemenabling
mobile stations to communicate with a base station
throughintermediaterelayunits. Thefocusisonhan-
dover challenges, as well as themixtureof fixedand
mobilenodesinterconnectedviawirelesslinkstoform
a multi-hop ad-hoc network amongst ships, marine
beaconsandbuoys.
TheexperiencesgainedinMarComhavebeenthat
wemustutilizedifferentcommunicationchannelsand
weneedtobeabletoswitchbetweenthedifferentchan-
nels. Thehandover mechanismsbetweenthechannels
aswell asbetweenthebasestationsmustbedeveloped
suchthattheuserfeel theyhaveasecuredlinkwithout
needof newidentificationwhenswitchingsourcesor
basestations. It wouldalso bebeneficial to combine
up- anddownlinks fromdifferent systems, anexam-
plebeingthatonechannel canbeusedfor uplink, e.g.
UMTS, andanother for downlink, e.g. WiMAX. It is
also important to prioritise those application groups
that needhighintegritytoensuresafetransmissionof
data. Thisrequirementsleadtotheneedfor anintelli-
gent router ontheshiptopoll andswitchbetweenthe
pertinentsystems, whichispartof theMarComwork.
2.2 IMO e-Navigation objective: Facilitate safe
and secure navigation of vessels having regard
to hydrographic, meteorological and
navigational information and risks
Thesee-Navigationrequirementshavebeenlinkedto
the reporting application group in MarCom. There
aredifferent needs on theupdatefrequency of data,
fromtime-critical datafor navigational purposeslike
updatesonthetrafficsituationintheshipsvicinity, to
data used for a planning purpose that not are time-
critical. Meteorological data is mostly needed on a
planninglevel andcanbeusedwithinalonger time-
frame. However, theinformationtonautical operators,
thestatusonnavigational objectslikelighthousesand
buoysor other navigational marks, hasbeenplacedin
thereportingoperationsandnavigation application
group, wherethedataintegrityishigh.
TheMarComstudieshaveconcludedthattheband-
width needed for meteorological and hydrographic
data is high, but the service required is not time-
critical. Regarding information on dynamic objects
suchasothershipsinafairway,theupdatingfrequency
needstobehigher.Theinformationinthisgroupmust
inany caseberegardedasasubstitutetoasafenavi-
gational operation, andthus merely as asubstituteto
thenavigational personnel.
2.3 IMO e-Navigation objective: Facilitate vessel
traffic observation and management from
shore/coastal facilities, where appropriate
One of the case studies in MarComis pilotage and
maintenance of fairways that has been lead by the
Norwegian Coastal Administration. The focus has
been to provide the sailors with real-time naviga-
tional information, on e.g. thestatus of navigational
objects. Thework has beendoneintwosteps; firstly
collectingthestatusfromtheCoastal Administration
(technical maintenances of the navigation objects),
andsubsequentlysendingtheinformationtotheships
navigators.
Basedonthestudies inMarCom, it canbeshown
that the bandwidth needed for monitoring of a ship
positionbyuseofAISislow.Anotherconclusionisthat
oneof thecommunicationchallengesistotransferdata
frome.g. VTScentreashoretotheship. Theintegrity
classification on thedatais high sinceit is used for
navigational purposes.
2.4 IMO e-Navigation objective: Provide
opportunities for improving the efficiency of
transport and logistics
Oneof themajor challenges in ship operations is to
make the correct decisions at the correct time. It is
a serious problem having to rely on old or maybe
wrong data when an operational planning is done.
Thefocus ontheproblemis highly prioritisedinthe
oil andgasindustrywhereIntegratedOperations(IO)
shouldallegedlybeoneof thebeneficial mechanisms
in providing efficient and controlled logistical plan-
ning processes. It is stated by The Norwegian Oil
IndustryAssociation(OLF)
iii
that thereisapotential
for savingyearly upto300billionNOK if theuseof
iii
OLF TheNorwegianOil IndustryAssociation
287
IntegratedOperations canbefully developed
iv
inthe
Norwegian oil sector. Integrated Operations focuses
on how to share data and information between the
involvedpartnerstobeabletohavethesameoverview,
andtherebybeinginabetter positiontomake, appro-
priatedecisionsfor correct operations.
IntegratedOperationswill beoneof thedemonstra-
tion pilots in MarCom, and weareaiming at testing
out someof theapplicationsthat havebeenidentified
inthecasestudies, wherethefocuswill beonutilizing
different technological communicationsolutions. The
bandwidthsneededfor IntegratedOperationsarevery
highduetotheuseof pictures, soundandvideobeing
essential for itssuccess. Thisrequirescommunication
technologies that canhandledatarates at least upto
around20Mbps.
MarComwill test different communication solu-
tions and performradio channel sounding measure-
ments at appropriate frequencies in some sectors in
ordertoidentifycapacityandrangeperformance. One
of thechallengesregardingmaritimecommunication
istheradiopropagationoversea, lowelevationangles,
andtheroll andpitchmovements of bothabasesta-
tionplacedoffshore, as well as at themobilestation
on e.g. a ship. In MarComwe will performstudies
onthesetopicsandwill real on-sitemeasurementson
the pertinent frequencies for wireless systems. We
expect the availability of higher bandwidths to pro-
videmoreefficient operationsregardingthetransport
segment.
2.5 IMO e-Navigation objective: Support the
effective operation of contingency response,
and search and rescue services
TherearenospecificapplicationsinMarComdirectly
addressingthistopic regardingcontingency planning
andresponse, but somedefinedcaseshaveaddressed
thetopic on safety and monitoring as well as emer-
gency reporting. Oneof thecases has focused upon
therelay andmeshnetworkingtobeusedinasearch
and rescueoperation. Theideais to build an ad-hoc
network aroundtheaccident locationto support data
transmissioninanoperation.Anothercasehasfocused
onpresentingreal status of thefairway objects to be
used both for maintenance planning as well as data
transfer toshipssailinginafairway.
Basedonthecomments andexperiences fromthe
case studies in MarComwe can see that one of the
problems inanemergency situationis theenormous
pressurefrommediaandoutsiderstoget information
fromacatastrophicsituation, likeashipaccident.This
requires alot of bandwidthto transfer data, whichis
insomecasestakenfromtheavailablechannelsused
bytherescueteamor fromthosethatarehandlingthe
accident directly. MarComwill strongly recommend
that applications used in search and rescue (SAR)
iv
http://www.olf.no/aktuelt/muligheter-for-300-milliarder-
kroner-i-oekt-verdiskapning-article1732-223.html
operationsmustbeprioritized, preferablyviaanexclu-
sively dedicated channel, such that the best channel
andbandwidthavailablecanbeusedbythoseneeding
it most.
2.6 IMO e-navigation objectives: Demonstrate
defined levels of accuracy, integrity and
continuity appropriate to safety-critical system
The challenge having been addressed in MarCom
is to define which application groups require high
integritythat must beabsolutelyreliablewithregards
tosafety-critical operations. Ontheoppositewehave
thetrainingandqualificationapplicationsthatarenot
critical to safeoperations, andareclassifiedas nice-
to-have, and hence have low integrity requirements.
Theapplicationgroups definedintheproject will be
further developedanddemonstratedinthepilots.
The e-Navigation objectives described above will
be of high importance to the MarComproject. We
aredemonstratingeffectiveoperationof contingency
response, and efficient SAR services are facilitated
by technological possibilities for communication. In
MarComwehavedefinedthis as most critical appli-
cationgroup, andthussubject toaveryhighintegrity
level.
2.7 IMO e-navigation objectives: Integrate and
present information onboard and ashore
through a human interface which maximizes
navigational safety benefits and minimizes any
risks of confusion or misinterpretation on the
part of the user
Oneof theproblemswithpresentingcritical informa-
tioninanunwantedsituationis that this information
canbeusedjuridical againstthesourceof it. Forexam-
ple if the captain or the safety officer on a ship are
guiding the passengers in a non-optimumdirection
duringanemergencysituation,thiscanbeusedagainst
thematalaterstage. Similarsituationscanalsoarisein
provisionof navigational informationbecausepresen-
tationof wrongdataismorecritical thannodatapro-
vided. Thereforeavalidationof thenavigational data
mustbedonewhichalsomeansatransfer delaydueto
thevalidationtime. Navigational informationcanbe
receivedfrommanysources, suchasonboardsystems,
hydrographical andmeteorological providers, or from
thetraffic stations that provides fairway information
tobeusedfor navigational purposes.
Based on theexperiences fromtheMarComsce-
narioswecanseethat thenavigatorsinsomesettings
havetoomuchinformationandmustthereforebeable
tofilteritsuchthatonlysignificantinformationisdis-
played.Seatransportisglobal andtheprovidersof data
aredissimilar, dependingonthepositionof theship.
This requires international standards to providedata
inaunifiedformat tominimizetheriskof confusions
andavoidmisunderstandings.
288
2.8 IMO e-Navigation objectives: Integrate and
present information onboard and ashore to
manage the workload of the users, while also
motivating and engaging the user and
supporting decision-making
The above issue has been focused in the Integrated
Operationcasestudy, andwill becomeapartof oneof
theMarCompilots.Theideaistosharethesameinfor-
mation between theoperational planning centre, the
vesselsinvolved, theoffshoreinstallations, andeven-
tually thesystemequipment providers. Theobjective
is to convey theinformationas closeto thedecision
makers as possible, in real time, which will result
in an easier decision linebetween thoseinvolved in
the execution of a decision and those planning the
operation. By having better means to monitor the
equipment statusandcondition, it will bepossibleto
avoidunexpectedsituationswithareal-timestatusof
theequipment.
MarComstudies have shown that there might be
several different communicationchannels usedinan
operation. Needsfor asolutionssuchasanintelligent
router that can be used to select proper channels to
transferdatabasedonavailabilityareobvious.Another
observationisthatthepresentationof theinformation
should be done in a standardised way to avoid mis-
understandingbetweentheusers. If all workersbeing
physically involvedinanoperationalso areinvolved
whenthedecisionsaremadeit seemsmost likelythat
correct decisionsarereachedupon.
2.9 IMO e-Navigation objectives: Incorporate
training and familiarization requirements for
the users throughout the development and
implementation process
This issue is very important regarding a successful
implementation of a system. The desired situation
whenintroducinganewsystemisthattheusershavea
goodunderstandingonthepossibilitiesof thesystem,
aswell ashavingafeelingthatthesystemisbeneficial
for them. Thiswill againresult inamorefamiliariza-
tiontothesystemandtheuser thresholdwill belower.
Another observation is that the majority of mar-
itime workers is getting older and will retire in a
fewyearstime. A newgenerationsailorsareabout to
enter thesector, andwiththemalso requirements on
higher bandwidth, since they are used to be surfing
the Internet and being more integrated in the soci-
ety ashore. Onechallengein thechangeof working
generations is to preserve the knowledge fromone
generation to another. This can be done by training
andcoursesofferedtothenewgeneration, butanother
viablesolutionistoestablishanoperational centrethat
bothcanmonitor equipment etc. alongbeingutilized
togiveexpertadvicesabouttheshipanditscondition.
Inorder tomanagesuchasystemanonlineship-shore
communicationchannel providingsatisfactorycapac-
itytotransfer databeingusedinadecisionprocessis
required.
Training applications and video conferences need
highdatarates, likelymorethan2Mbps. InMarCom
we have particularly studied the emerging WiMAX
technologies that provide enough bandwidth to sup-
port transfer of video andpictures betweenshipand
shoresites. Technologiesthatonlyprovidelowcapac-
ity channels supporting but transfer of small data
packagesarenot suitablefor thispurpose.
2.10 IMO e-Navigation objectives: Facilitate
global coverage, consistent standards and
arrangements, and mutual compatibility and
interoperability of equipment, systems,
symbology and operational procedures, so as
to avoid potential conflicts between users; and
be scalable, to facilitate use by all potential
maritime users
Useof standards androutines withaglobal perspec-
tiveisimportant inthemaritimeindustry, sincemany
of the users are sailing long distances and crossing
manyborderswithdifferentjurisdictional responsible
communities. Critical systems used for navigational
purposesshouldthereforebedevelopedtoenableoper-
ationsonaglobal level andpreferablybepresentedin
acommonway independent of thedataproviders. It
is also beneficial to have common operational pro-
cedures to avoid conflicts and misunderstandings,
especiallyinacritical situation.
Regardingdeployment of communicationsystems
therearedifferentaspectsthatdonotmakeall of them
possible to be used on a global basis. The develop-
mentof newmaritimecommunicationtechnologiesis
presentlynotmarket-drivenbecauseof theinitial num-
berof usersbeinglimited. Deployingwirelesssystems
withhighbandwidthtocover awideareaisalsoquite
expensive, and must beperformed not only to reach
everyoneeverywhere, but alsofromneedstosupport
safeoperations inharshenvironments. Theapproach
must thus rather be to state that there is a require-
ment for accesstocommunications, andthat suitable
systems must beimplemented. Based on experience
when thesystems areavailablethetraffic will grow,
likewhentheInmarsat systemwas implementedthe
most important consideration was Safety of Lifeat
Sea andIMOwasanactiveparticipant intheestab-
lishment. Later it appeared that theInmarsat system
becameagoldmineforequipmentmanufacturers,sys-
temoperatorsandtheserviceproviders, anditbecame
anindispensableservicefor theusers.
3 CHALLENGESANDPOSSIBLE SOLUTIONS
ThechallengesinMarComhavebeentoidentifyuser
requirementstobothapplicationsandtechnology.The
development of new maritime communication tech-
nologies is presently not market-driven because of
the initial number of users being limited. The mar-
itimesector hasarelativelylownumber of users, and
thus not sufficiently attractiveto commercial actors.
289
The focus could rather be on some sectors having
the capability to finance deployments of a commu-
nicational infrastructure. Another observation is that
themaritimesector is of global nature, and it is not
easy to harmonize licensing of available communi-
cationfrequencies, sincetherearemany commercial
interests involved. Each country has theauthority to
managetheirfrequencyresources, andtheharmoniza-
tion between countries is not satisfactory regarding
frequencies for maritime use. Solutions like intel-
ligent toolboxes/smart routers and reconfigurable
radiostoswitchbetweenchannelsbasedonavailabil-
ity andbandwidthrequirementsarethereforeof high
importancetomaritimeusersoperatingglobally.Atthe
sametimesafetycritical applicationsmustbeprovided
withdedicatedradiochannelsbeinggloballyapplica-
bleandcapableof supportingapplications withhigh
integrityandavailabilityrequirements.
Another challenge strongly connected to the
requirements regarding a globally harmonized solu-
tionisthepoor developedcommunicationinfrastruc-
ture at high latitudes, i.e. beyond about 70
N. The
maritimetraffic is expected to increasesignificantly
intheseareasinafewyearstimeduetotheicemelt-
down in theArctic waters. Possiblesolutions to this
challengeareinvestigatedintheMarSafeproject
v
.
OneobjectiveintheMarComproject is to enable
provision of high bandwidth to specific areas, and
theMeshnetworkingmethods beinginvestigatedare
attractive to maritime users in areas where a new
networkcanbedeployedtoaccommodatethoseneed-
ingbandwidthfor special operations. Byestablishing
such ad-hoc networks thecoverageareais extended,
sincethesignal canbetransferredbyusingeachother
as relay units in a network with multi-hop capabili-
ties. This is beneficial in parts of North Seaand the
Norwegian Sea, where e.g. offshore oil installations
havefiber connections, andmay thereforebeusedto
accommodatebasestationsinameshnetwork.Prelim-
inary investigations haveindicatedpossiblecoverage
ranging to about 20nm(37km) froman off shore
WiMAX base station operating at 2.3GHz, a rather
encouragingresult.
REFERENCES
[1] MarCom D2.1: Methodology for description of
cases and user requirements, Draft version 0.7,
24.10.2007
[2] Bekkadal, F: MarCom D4.1: Maritime Commu-
nication Technologies, MARINTEK Report, V1.0,
2009-01-05.
[3] MarComD3.1: Casedescriptionsanduser require-
ments, Draft version01, 30.10.2008
[4] Rdseth, rnulf J an & Kvamstad, Beate: The
roleof communicationtechnologyine-Navigation,
Draft MARINTEK Report, V07, 2008-06-20
[5] Grythe, K., Gutteberg, O., J ensen, I.A., Rste,
T., Swendgaard, H.E.: Satellittkommunikasjon til
nordomrdene en behovsunderskelse, SINTEF
Rapport, prosj.nr.: 90F252, 2008-02-28
[6] J aya Shankar s/o Pathmasuntharam: High Speed
Maritime Ship-to-Ship/Shore Mesh Networks,
MarComSummit #1, Trondheim, 8
th
9
th
April 2008
[7] Marchenko, Aleksey V.: A study on icetypes and
movementsanditsinfluenceonships, J anuary2009
[8] A casestudy froman emergency operation in the
Arctic Seas; Beate Kvamstad, Kay E. Fjrtoft,
Fritz Bekkadal, MARINTEK e-Maritime, Trond-
heim, Norway, Aleksey Marchenko, University of
Svalbard, J on Leon Ervik, TheNorwegian Coastal
Administration
[9] Fritz Bekkadal: Novel Maritime Communication
Technologies, J anuary2009
290
7.2
Someradiocommunicationaspectsof e-Navigation
K. Korcz
ABSTRACT: Inthepaper someradiocommunicationissuesconcerningGlobal MaritimeDistressandSafety
System(GMDSS) inrespect of thee-Navigationhavebeendescribed. Someaspects of theexistingtechnical
andregulationconstraints andlimitations referringto GMDSS equipment andsystems havebeengiven. The
issuesrelatingtotheneedof GMDSSmodernizationtakingintoaccount newtechnologyandthediscussionon
thee-Navigationprogramhavebeenpresented.
1 INTRODUCTION
TheMSC (MaritimeSafetyCommittee) at itseighty-
first session agreed to add a high priority itemon
the Development of an e-Navigation strategy to the
work programmeof Safety of Navigation(NAV) and
Radiocommunications, Search and Rescue (COM-
SAR) Sub-Committees. As outlinedinthedocument
MSC81/23/10whichproposesthedevelopmentof an
e-Navigationstrategy, it isenvisagedthat adatacom-
municationnetworkwill beoneof themostimportant
parts of the e-Navigation strategy plan. In order to
realize efficient and effective process of data com-
municationfore-Navigationsystem, existingGMDSS
equipment, aswell asnewradiocommunicationsys-
temscouldbeutilized.
Ten years have passed since the time when
the Global Maritime Distress and Safety System
(GMDSS) became introduced. Planning for the
GMDSS startedmorethan25years ago, whereas its
elementshavebeeninplacefor manyyears.
Therehavebeennumerous advances intheuseof
telecommunications to further maritimesafety, secu-
rityandenvironmental protectionduringtheseperiods.
AlthoughInmarsat hasprovidedsignificant advances
for the collection and dissemination of Maritime
SafetyInformation(MSI), distressalertreceptionand
follow-on Search And Rescue (SAR) coordination
communications, andthechangesandupgrades, such
aspaperlessNAVTEXreceivershavebeenmade,there
is no systematic, planned programme to ensure the
GMDSS remains modernandfully responsiveto the
needsof maritimesafetyandsecurity.
Ontheother handtherearesomeobsoleteGMDSS
equipment and systems which had saldomor never
beenusedinpractice. For exampleNBDP hadnever
beenusedfor distress andsafety purposes. After the
activationof adistressalert onMF/HF DSC, thedis-
tress and safety communication is established on a
MF/HF radiotelephonyfrequencyonly.
Not only in theAuthors opinion, thetimeis ripe
to start thewidediscussion on thereal condition of
themarineradiocommunication, withreferencetothe
current discussion on the e-Navigation strategy. In
the paper the discussion course at COMSAR Sub-
Committeemeetings has been taken into account as
well.
2 GMDSSANDTHE E-NAVIGATION
PROGRAMME
For e-Navigation purposes, the COMSAR Sub-
Committeeconsideredtheimplicationsof developing
acommoninformationdatasource,deliveringresilient
communications, data provision and integrity, based
ontherequirementsandthegeneral conclusionsfrom
thepreliminaryuser needsanalysis.
In theconsideration thefollowing high level user
needshavebeenaddressedasaminimum:
CommonMaritimeInformationDataStructure;
AutomatedandStandardizedReportingFunctions;
HumanCentredPresentationNeeds;
EffectiveandRobust ShipandShorecommunica-
tions;
HumanMachineInterface;
DataandSystemIntegrity;
Analysis.
During the discussion at the COMSAR Sub-
Committee meetings it was agreed that the needs
of seafarers were central in the development of the
e-Navigation strategy. However, authorities also had
valid security, environmental, and search and rescue
responsibilities. Ship and shore needs needed to be
treatedas awhole. Further e-Navigationcanbeused
asawaytoincreaseshorecontrol over shipping. This
shouldnotbeimpliedintheconsiderationof theneeds
of theshorecomponent. Theneed for ships to keep
appropriateautonomouscontrol wastobemaintained.
291
Although it was appropriate to start work on
the technical aspects of communications supporting
e-Navigationnow, thee-Navigationstrategy was still
not complete, so this work had to be considered as
preliminary and would have to be revised at a later
date. Howeverbeforefurtherconsiderationsomebasic
assumptionsshouldbemade:
itshouldconcerndatacommunications; voicecom-
municationswouldalsoformapartof e-Navigation,
but the present emphasis was primarily on data
transfer;
therewouldbedifferentrequirementsfordataavail-
abilitydependinguponthenatureof theinformation
beingtransmitted;forinstance,informationthatwas
timeandsafetycritical neededtobetransmittedand
receivedby theaffectedusersquickly andreliably,
whilst less timecritical information would havea
lower priority;
theship would receivealot of information and it
was important for the crew to be able to manage
thesedataeffectively;
e-Navigationshouldnotbeseenaslimitedtosafety
and security at sea and protection of the marine
environment functions only, as efficiency was an
importantpotential benefitforshipsandtheircrews;
and
datacommunications viasatellite, as well as over
terrestrial links, e.g., Medium Frequency (MF),
High Frequency (HF), and Very High Frequency
(VHF) wouldbeused.
Ingeneral ashipinportcouldreceivee-Navigation
informationthroughawire. For wirelesssystemsthe
expansionof bandwidthneedsinthefutureshouldbe
expected.Thereforeawidevarietyof communications
linkscouldbeforeseen, anditwastooearlytoexclude
anypossibility.
Based on the findings of the Correspondence
Group on e-Navigation strategy, including theabove
mentioned assumptions and discussion during the
COMSAR Sub-Committee meetings the following
recommendationsandguidancecouldbegiven.
2.1 Existing international regulations and
standards relevant to the high level
communications
Withrespect toexistinginternational regulationsand
standards relevant to thehighlevel communications,
it can be agreed that the user needs, as identified
in SOLAS regulation IV/4, were the following data
functions(alsoseeTable1) (IMO. 2004):
1 transmittingship-to-shoredistressalerts;
2 receivingshore-to-shipdistressalerts;
3 transmitting and receiving ship-to-ship distress
alerts;
4 transmittingandreceivingsearchandrescuecoor-
dinatingcommunications;
5 transmitting and receiving on-scene communica-
tions;
Table1. Existinguser needsrelatingtoSOLASReg. IV/4.
User needs
SOLASIV/4 1) 2) 3) 4) 5) 6) 7) 8) 9)
VHF-DSC x x x x x x x
SART x
NAVTEX x
EGC x
EPIRB x x
MF/DSC x x x x x x x x
Inmarsat SES x x x x x x x
HF/DSC x x x x x x
Two-wayVHF x x x
6 transmittingandreceivingsignalsfor locating;
7 transmittingandreceivingmaritimesafetyinforma-
tion;
8 transmittingandreceivinggeneral radiocommuni-
cations to and fromshore-based radio systems or
networks; and
9 transmitting and receiving bridge-to-bridge com-
munications.
WhiletheCOMSARSub-Committeemeetingsalso
noted that the user needs other than the GMDSS
functional requirements and related equipment did
not fall withinits remit, however, it decidedto addi-
tionally consider Automated Identification System
(AIS), Long-RangeIdentification andTrackingSys-
tem(LRIT) and Ship Security Alert System(SSAS)
equipment, as specifiedinSOLAS regulationsV/19,
V/19-1andXI-2/6respectively. Additional user needs
might beincludedat alater occasionas thedevelop-
ment of e-Navigationwasanongoingprocess.
2.2 Existing international regulations and
standards identified which would need to be
addressed, or further developed, to provide a
harmonized resilient system
Thereareabout 130 performancestandards and test
standardsrelatedtoGMDSSequipmentmandatoryor
notmandatoryaccordingtoSOLAS. Asof today, tak-
ing into account present development of the marine
electronicssystems, about10of themshouldbemod-
ifiedor suppressedandabout 40shouldbedefinitely
suppressed as obsolete. But it is difficult to identify
in details which existing regulations and standards
wouldneedtobefurtherdevelopedorrevisedbecause
thee-Navigationsystemwas still at anearly stageof
development.
2.3 Existing technical constraints and limitations,
in terms of bandwidth, frequency and power
consumption
E-navigationshouldnotbelimitedtocommunications
using existing equipment, but thefirst phaseshould
be to make better use of existing technology. Other
technologiescouldcomelater. Ithadtoberecognized
292
thattherewerelimitationsonspectrumavailabilityand
that other typesof technology might havetobeused.
It might also benecessary to pay for datacommuni-
cations. It isalsorecognizedthat thecurrent systems
werenotadequatefor expectedtypesof highratedata
(for exampleInmarsat C hadadatarateof 600bps).
Therearenomandatedrequirement for ahigher data
ratebut other satellitesystems areavailableand can
possiblybeusedfor transfer of e-Navigationdata.
2.4 How should communications and information
systems be developed and coordinated
internationally and within technical standards
for data structure, technology, bandwidth and
frequency allocations?
Thereisaneedtohaveacommondatastructureand
management so that theinformationwouldbeavail-
ableonboardandcouldbeusedbydifferent systems
without theneedtohavetocontinually re-enter data.
Thiswouldreducetheadministrativeloadonshipcrew
as various reportingrequirements couldbeextracted
throughfiltersautomatically.
2.5 Potential regulatory and technical problems
that will need to be overcome considering that
e-Navigation is to be scaleable across small
and large vessels alike
Thequestion of e-Navigation being scaleableacross
small and large vessels alike is of relevance when
small vessels and SOLAS ships needed to access
e-Navigation data. National maritime administra-
tions would need to include smaller vessels in the
e-Navigation system. However, small vessels might
have other means in addition to mandatory com-
munications equipment such as VHF, of obtaining
e-Navigation information such as mobile phones.
Smaller vesselsmightalsohavepower limitationsand
smaller presentation displays. In addition, the level
of training might not beof thesamestandard as for
SOLASships.
2.6 Measures to reduce the number of false
distress alerts
Theconsequencesneedtobeborneinmind.Inorderto
reducetheoccurrenceof falsedistressalertsaunified
writtenoperatingprocedureandmethodininitiating
distress alert had to be in place, a unified high rate
of falsealerts couldbedueto crewnot beingfamil-
iar withtheoperationof DSC devices, not following
IMO guidelines and procedures or usageissues, i.e.
thequestionof humanmachineinterfaceproblems.
ThefalsealertswereoccurringonlyintheGMDSS
system and were an unintended consequence. The
e-Navigationconceptwasstill beingdevelopedbutthe
possibilityof similar unintendedset of specifications
for distress alert buttons shouldbeprovidedtoavoid
confusionamongusersandaunified,effectiveandsafe
test functionshouldbeprovidedontheequipment.
Figure 1. Equipment and systems of GMDSS (Korcz K.
2005).
The false alert problemtouches on almost every
subject of concerntotheCOMSAR Sub-Committee,
including GMDSS, and Search and Rescue proce-
dures. Because of the early and preliminary nature
of the e-Navigation strategy development, there is
no way to find a solution at this time from an
e-Navigation perspective. However, it demonstrates
the importance of standardization, clear procedures
andeffectivetraining(MSC/Circ.1091) inthedevel-
opment of e-Navigation.
3 NEEDOF GMDSSMODIFICATION
In1988, theConferenceof ContractingGovernments
tothe1974SOLAS ConventionontheGlobal Mari-
timeDistress and Safety System(GMDSS) adopted
amendments to the 1974 SOLAS Convention con-
cerningradiocommunicationsfor theGMDSS. These
amendments entered into forceon 1 February 1992.
On1February 1999theGMDSS becameintroduced
for all SOLASships.
The following radio equipment and systems are
providedfor theGMDSS(Figure1):
Digital SelectiveCalling(DSC);
INMARSAT SatelliteSystem;
SATellite Emergency Position Indicating Radio-
Beacon(SATEPIRB);
SearchAndRescueTransponders(SARTs);
NAVTEX System;
NarrowBandDirect Printing(NBDP);
Radiotelephony(RTF);
DistressMessageControl (DMC);
navigational equipment (for support).
Otherelementsof GMDSStobeshowedinFigure1
meanasfollows:
INMARSAT Coast EarthStadion(CES);
293
INMARSAT ShipEarthStation(SES);
COSPAS/SARSAT Local UserTerminal (LUT);
RescueCoordinationCentre(RCC).
Communicationswill beessential toe-Navigation,
inparticular for collectingandintegratingsourcesof
navigationinformationandprovidingtheuserwiththe
optimum, relevant data on a multi-function display.
Themodesof communicationcoveredbytheconcept
arefollowing:
intra-vessel;
ship-to-ship;
ship-to-shoreandshore-to-ship;
shore-to-shore.
A systematic and continuing review is needed to
ensuretheGMDSS remainsresponsive. Belowsome
categoriessuggestedfor reviewhavebeengiven.
3.1 Functional requirements
TheGMDSSwasbuiltuponsatisfactionof functional
requirements (SOLAS Chapter 4, Reg. 4) mentioned
above. Any review of theGMDSS should start with
anexaminationof thefunctional requirements. At the
beginningof theseconsiderationtheanswerstothetwo
followingquestionsshouldbegiven: aredeletionsof
any requirement possible? and do others need to be
added?
Consideration of these questions allows to come
to the conclusion that no functions were candidates
for deletion, but at least twoor moremay needtobe
added forexampleinteroperabilitywithnon-SOLAS
vesselsandcommunicationswithcommercial aircraft.
Also, theremaybeaneedfor highdataratesystemsin
somevesselsforuseduringmassevacuationincidents.
3.2 Carriage requirements and areas of operation
Four areasweredefinedwherecarriagerequirements
differ. It should beconsidered if this concept is still
relevant, takingintoaccount largevariety of theship
typesandthesearoutes.
3.3 Advances in technology
Muchof theGMDSSequipment isbuilt ontechnolo-
gies more than 20 years old. Some of them work
well and others do not. Further, many new and less
expensivetechnologieshaveemergedincluding:
radiosystemswithembeddedpositioninformation;
LowEarthOrbit (LEO) satellitesystemswithhand
held terminals; some provide excellent coverage
in Polar Regions; the Polar Regions are growing
in importance (new NAV/MET Areas have been
definedtocover theseareas);
regional satellite systems have been implemented
withattractivefeatures;
web-based access to non-alert MSI; further data
rates supportedby NAVTEX andSafetyNET may
not besufficient; therelationshipsbetweenthehis-
torical pushof informationandnewtechnologies
that allowpulling it mayneedattention;
inexpensivehand-heldradios for example, small
cheap VHF-AM radios could be placed in some
survival craftfor communicationswithcommercial
aircraft; and
cellular phones.
3.4 Related systems and initiatives have been
or will be put in place
At present aboveincludes:
AutomaticIdentificationSystems(AIS);
ShipSecurityAlert Systems(SSAS);
Long-RangeIdentificationandTracking(LRIT);
commercial HF service systems that are not part
of theGMDSS, but they servethousands of ships.
TheseincludeHF e-mail, whichisusedwidely, but
it isnot part of theGMDSS;
e-Navigationprogrammes.
3.5 In some cases implementation has not
proceeded as planned
Amongother thingsit appliesto:
many HF/MF andVHF commercial stations have
closed, andcommercial useof DSCandNBDP has
diminished;
implementations of areas A1 and A2 have been
slower thananticipated; and
DSC isstill not aswidelyusedasexpected.
4 CONCLUSIONS
One of the three main elements of e-Navigation
is Communications. Taking into account the earlier
consideration, doubtlesslythecommunicationsmedia
for e-Navitation should include both terrestrial and
satellitecommunications.
There is increasing demand for a common com-
municationplatformfortwo-waydatacommunication
between ship and shore. There is also a growing
requirementfor Internetaccessonships, atseaaswell
asinports.
Therearemanydatacommunicationstechnologies
thatarelikelytoplayaroleine-Navigation.Inaddition
tofixedcommunications, themobilecommunications
technologiesthatcouldbeusedincludebutarenotnec-
essarilylimitedtoradio(HF,VHForUHF UltraHigh
Frequency), AIS, WiFI andWiMax, satellitecommu-
nicationsincludingInternet Protocol (IP) broadband.
Communicationscanbeeitherpoint-to-pointorbroad-
cast andcouldbebasedonIP but not necessarily on
theInternet itself.
294
Theselectionof theparticular technologiesusedto
provideservices must bemadecarefully and should
dependonthespecifictasktobeundertaken.
So, theGMDSSequipmentcanbeaneffectiveway
to increasethereliability of e-Navigation datacom-
municationnetwork but must beimproved. Thisgoal
canbeachievedastheresultof theworkontwoitems
(Korcz K. 2007):
technical improvement of GMDSS; and
utilizationof technicallyimprovedGMDSSequip-
ment for e-Navigation.
In addition, it is necessary to ensure that man-
machine-interface and the human element will be
takenintoaccountincludingthetrainingof personnel.
Thelessons learnt fromthedevelopment and opera-
tionof GMDSSandAISshouldbetakenintoaccount
inthedevelopment of e-Navigationaswell.
Taking into account the above mentioned a sys-
tematic process is needed for continuous review of
the GMDSS to ensure it remains modern and fully
responsive to changes in requirements and evolu-
tionsof technology andit will meet thee-Navigation
programmerequirements.
For assuming this process a mechanismfor con-
tinuousevolutionof theGMDSSinasystematicway
shouldbecreated. Someevolutionsarewithinthesole
purview of the IMO (in particular COMSAR Sub-
Committee) while others will require co-operation
fromothers such as the ITU/ICAO, etc. The COM-
SAR Sub-Committeeiscompetent toinitiallydiscuss
theseissuesinpart under several agendaitems. These
agendaitemsinclude:
GMDSS;
Developments in maritime radiocommunications
systemsandtechnology;
Development of ane-Navigationstrategy; and
Developmentof proceduresfor updatingshipborne
navigationandcommunicationequipment.
REFERENCES
International MaritimeOrganization (IMO). 2004. Interna-
tional Conventionfor theSafetyof LifeAtSea(SOLAS),
London
Korcz K. 1995. Przepisy radiokomunikacyjne w morskiej
su zbie ruchomej. Wydawnictwo Uczelniane Wy zszej
SzkoyMorskiej, Gdynia
Sub-Committee on Radiocommunications, Search and
RescueCOMSAR11. 2007. ReporttotheMaritimeSafety
Committee(MSC), International MaritimeOrganization
(IMO), London
RescueCOMSAR12. 2008. ReporttotheMaritimeSafety
Committee(MSC), International MaritimeOrganization
(IMO), London
RescueCOMSAR13. 2009. Input documents, Interna-
tional MaritimeOrganization(IMO), London
Korcz K. 2007. GMDSS as a Data Communication Net-
work for E-Navigation. 7th International Navigational
Symposiumon Marine Navigation and Safety of Sea
TransportationTRANS-NAV 2007, Gdynia
295
7.3
On-boardcommunicationchallenges(LAN, SOA and
wirelesscommunication)
L. Mu
University of Agder
N. Garmann-J ohnsen
Origo MobikomAS, Kristiansand, Norway
ABSTRACT: Themainobjectivesof theMarComproject(MaritimeCommunication, broadbandatsea) areto
investigatethemainuserneedsandrequirementstocommunicationtechnologieswithinthemaritimecommunity.
Animportant part of thisisprovidingonboardservicestothecrew, passengersandshipoperations. Inorder to
facilitatethistheMarComprojectwill proposeaGenericScalableServicePlatformtohandlethenuts-and-bolts
of communication.
Inthis paper wewill indicatewhat challenges andpossibilities this implicates for asolutionfor On-Board
LAN(Local AreaNetwork), SOA (Service-OrientedArchitecture), andwirelesscommunication.
1 INTRODUCTION
The main challenge in the (whole MarCom-project)
will betofindouthowtoadaptexistingandemerging
land based communication technology to thelimita-
tions that maritime use entails: Enormous areas to
cover, poorornoinfrastructureonland, lowdensityof
usersandlimitedwillingnesstopayfor services/small
volumesof demandtoday.
Thesolution lies in integrating thedifferent tech-
nologies, developsolutions for multi hopandadhoc
networksbetweenstableandmobileunits, andanICT
architecture (software and network) that allows for
variationinservicequality.
In addition one must stimulate increased use of
communication services on board in order to get a
broader basefor payment.
This will be done through the development for
several newapplicationsfor useonboard.
We will exploit the synergy between low cost
wireless communication ship to shore and ship to
installationat sea(oil platformsetc) ononehand, and
WLANonboardontheother hand.
Accordingly wehavelaunchedthefollowingthree
R&D priority fields as the most important in the
project: (themesof thispaper inbold)
Communicationshiptoshore
A generic scalable ICT service platform
Optimized maritime mobile and wireless LAN-
solutions
2 MARKET PULL ANDTECHNOLOGY PUSH
User requirements and needs are there which we
will takealook at themin this paper, and thereare
technologieswealreadyhaveandsomewedohaveto
develop. All thosepull or pushuswhenworkingwith
theMarComproject.
2.1 Application groups
Analysisof thecasesinMarComProject Work Pack-
age3(WP3) resultedinfindingsixcommonapplica-
tiongroupsasshowninthefigurebelow
[1]
:
2.1.1 Technical maintenance
These applications deal with reporting condition of
theshipor platform, and(remotely) updatingdataand
software. Thisgroupof applicationsincludes:
State monitoring and analysis: This is technical
monitoring system, detection tools, information
system, remotecontrol systemformonitoringof oil,
gas, water tanksandseweragesystem. Thisupdates
of FDV systems
OnlineSW updates andmaintenance, suchas new
SW versions on applications monitoring e.g. the
propulsionmachinery
Onlinedataupdates,suchasonlineupdatesof ENCs
(both for ECDIS/other chart systems onboard and
for pilot laptops), onlineupdatesof meteorological
297
Figure1. MarComis theresult of user requirements and
communicationtechnologies.
1 Technique Maintenance
2 Reporting
3 Safety & Monitoring
4 Training & Qualification
5 Infotainment
6 Special Purpose Applications
Figure2. Commonapplicationgroups.
and hydrological data, technical drawings, sea
maps/3D seabed topology, updates of documents
andregulationsfollowingavessel
2.1.2 Reporting
Theseapplications arerelated to the(onshore) man-
agements need for tracking and status reports from
their ships. This can includeoperational and techni-
cal informationabout theshipanditscargo, but also
navigational reports and dataneeded by government
regulationsfit withinthisgroup.
2.1.3 Safety and monitoring
Theseapplicationsdeal withautomaticmonitoringof
equipmentandoverall state, for instancesurveillance.
Theeventstomonitor arenot only equipment failure
and accidents, but also terrorismand environmental
threats.
2.1.4 Training and qualification
The Training and qualification application group
consistsof applicationsconcerningtheknowledgeand
expertise of the crew onboard vessels. Examples of
applicationsare:
Inspection for qualification of crew (e.g. sobriety
tests)
Certificationof crew
Enhancetheknowledgeof thecrew
Coursesandtraining
Updatingcertificates
Figure 3. Todays capacity and integrity requirements for
MarComapplicationgroups.
2.1.5 Infotainment
Infotainmentisanexpressionusedforinformationand
entertainment applications. This includes services to
thecrewandpassenger suchas:
TV andmovies
Internet accesstopassengers
E-mail andinternet for crew
Videoconferences
Remoteticketing
Remotemonitoringof transactions(cashregister)
Information to passengers (map, position, adver-
tisements, trafficinformation)
2.1.6 Special purpose applications
This group contains special applications that are
uniqueforasingleorsmall groupof companies.These
applicationsusuallyhavehighdemandsonbothcapac-
ity andintegrity. IntheMarComproject wewill deal
withspecial purposeapplications withintheOil and
Gas IO. Examples onsuchapplications arereal-time
updates of information between all nodes in the IO
infrastructure and real-time monitoring of complex
offshoreoperations.
2.2 Requirements for those applications
2.2.1 Bandwidth and quality of service
The bandwidth and integrity (quality of service and
uplink time) requirements are summarised in the
followingfigure.
2.2.2 Security requirements
The security requirements on the communication
channel differ from application to application. The
mainthreatsonthecommunicationchannel level are
denial of serviceandtraffic analysis attacks. Hence,
protectionof important user datacanbeimplemented
onhigher layers(thenetwork, transportor application
layer).
298
Seenfromauser point of view, adivisioninlow,
medium and high security requirements have been
providedfor eachgroupof applications.
Lowmeansthatlosingsomeof thedatatounautho-
risedpersonsisnot crucial.
Medium means that losing some of the data to
unauthorised persons is not desirable, but still not
crucial.
High means that losing data to unauthorised per-
sons is crucial and one should stress to secure the
communicationchannels.
2.2.3 Protocols and message formats
Themessages andprotocols usedintheapplications
shouldbebasedonopenstandardsasmuchaspossible.
Theexact protocolsandformatstobeusedhavetobe
decided when morework is doneinWP 4, 5 and 6.
Someexamplesof possiblestandardsare:
Protocols
VHF data link (VDL) for transfer of Automatic
IdentificationSystem(AIS) messages.
ShortMessagingService(SMS)fortransferof small
statusmessagesviaGSM.
InternetProtocol (IP)fortransferof largerdatapack-
agessuchaslargereports, documents, experimental
data, imagesandpictures.ThiscanbeTCP/IP(point
topoint communication) or UDP/IP (broadcast).
SMTP for transfer of e-mails
Messages
National MarineElectronicsAssociation (NMEA)
message format for messages transferred on AIS
network and for communication with navigational
onboardequipment.
XML format for reports and services to the
crew/passengers(infotainment)
J PEG, GIF, BMP, PDF, WMF for transfer of images
andpictures
E.g.AVI fortransferof livevideofromwebcameras
2.3 MarCom communication technologies
2.3.1 The ICT-solutions
Hardware-configurations
[2]
:
Figure4. MarComR&Darenaframework.
Focus-areas
[3]
:
Figure5. R&Dfocusareas.
A: CommunicationVesselLand
B:GenericscalableICTserviceplatform supplied
byasmart router
C: OptimizedmaritimemobileandwirelessLAN
During work in the project, we, Work Package 5
(WP5) will focusonBandCandOSPNetworkinthe
figureabove. Wewill alsoexpandthesoftwareengi-
neeringfocustoincludethebasisfor landbasednet-
workstoworkinconjunctionwiththeonesonboard.
2.3.2 Generic on-board architecture
Figure6isaboutthegenericon-boardarchitecture, and
figure7istheCALM stationreferencearchitecture.
Communications,Air-interface, LongandMedium
range (CALM) is an initiative by the ISO TC
204/WorkingGroup16todefineasetof wirelesscom-
municationprotocolsandairinterfacesforavarietyof
communicationscenariosspanningmultiplemodesof
communications and multiple methods of transmis-
sionsinIntelligentTransportationSystem(ITS)
[4]
.
2.3.3 Service-oriented architecture
In computing, Service-oriented architecture (SOA)
provides methods for systems development and
integrationwheresystemsgroupfunctionalityaround
Figure6. Genericon-boardarchitecture.
299
Figure7. ITSstationreferencearchitecture.
Figure8. Elementsof SOA
[6]
.
businessprocessesandpackagetheseasinteroperable
services. SOA also describes IT infrastructurewhich
allows different applications to exchange data with
oneanother astheyparticipateinbusinessprocesses.
Service-orientation aims at a loose coupling of ser-
viceswithoperatingsystems, programminglanguages
and other technologies which underlie applications.
SOAseparatesfunctionsintodistinctunits,orservices,
whichdevelopers makeaccessibleover anetwork in
order that users can combine and reuse themin the
production of business applications. These services
communicate with each other by passing data from
oneservicetoanother, or by coordinatinganactivity
betweentwoor moreservices
[5]
.
3 CHALLENGESANDAPPROACH
3.1 Challenges
As we figured out before: there is a great need for
broadband at sea, applications on-board havediffer-
ent capacity, integrity requirements and the security
requirements, andtheywanttheflowformatsandpro-
tocolsarebasedonopenstandardsasmuchaspossible.
Wedetail thosechallengesbelow:
Network solutions satisfying the vessels needs
for local infrastructureandservices(WiFi/WLAN,
WiMAX, GSM, 3G)
Figure9. SOA metamodel
[7]
Advancedmiddlewareenablinga.o. (IP-based)
Interactive multimedia communications (IP-
phone, Internet)
Sensor networksimplementation
Seamlessandcontinuoushandover androaming
Anarchitecturereflectingdifferent securitylevels:
Intranet for internal communications
Extranet for cargocontrol etc.
Sensornetworksfordatacollection, handlingand
control
Onealsohastothinkof:
Research and innovation; how and where to push
state-of-the-artahead(MarComisausabilitystudy
withintermodal/ maritimetransportandsupplysys-
tems, soitisnotnecessarilywithinICT onewishes
topushthestateof theart further ahead, rather the
useof it.)
3.2 Approach
Thepurposeof thispart of theMarCom-project isto
demonstratethebenefitof broadbandatsea, andland-
to-shipICT-integrationthroughthedevelopment of a
demonstrator for Thegeneric scalableserviceplat-
form (Integratedplatform, GSS). Themainrequire-
ments for this platformareto provideanintegration
platformfor:
Several on-boardapplications
Integration with systems and utilities onshore
(cloudcomputing, SoftwareasaService(SaaS). . .)
Provide seamless roaming of data communica-
tionbetweendifferentcommunicationtechnologies
and infrastructures (Wimax and likes of it-, 3G/
4G mobility, VHF/ UHF, NMT, SatCometc.) and
Multihopnetworks
WLANanddatacapture/sensor networks
Copewith different communication servicelevels
(SLs)
Sort and prioritize communication with different
SLs
300
Figure 10. Overview of the MarCom software
development
[8]
.
Thesolutionmust (onacommercial basis) accom-
modatesharedapplications/cooperationtechnologies;
GIS/planningsystems etc. fromany 3rdparty appli-
cation or content provider, for use in integrated
operationsandcommercial shippingingeneral.
The service platformwill be developed on SOA
architecture, andthecloudcomputingandSaaStech-
nologiescouldbeused.Thentheapplicationson-board
couldtakeadvantageof thosetechnologiestoo.
Todeployanoptimizedmaritimemobileandwire-
lessLANonboard, onemaintheoryistobuildonthe
CALM-standard; andbuildadialect of this(CALM-
SEA). This canbeatopic for anewEuropeanR&D
project (EuroMarCom), tofinancefurther work.
3.3 Service platform
Oneof thegreatest challengesisof coursegettingthe
signal to the ship with high enough bandwidth and
integrity.Thisisthemainfocusof theMarComproject
andis describedinanother TransNav paper. Another
majorchallengeishowtomakeuseof thesignal,main-
tainingtheneedsof all thepartners(crew, captain, ship
owner, government etc) involved. To ascertain this,
there is a need to develop a common platformthat
handlesthenuts-and-boltsof thecommunication.
This service platformcan be described as having
threelayers. First, theMiddlewarereceivesthesignals
and makes it availableto therecipients. Theservice
platformperformscommontasks, likeusagetracking
for billing, decidingbandwidthneedfor eachrequest
andperformingauthorizationandvalidation. Finally,
thereareapplications, asdescribedbefore.
Thefigurebelow shows ahigh level overview of
thesoftwarebeing developed in MarCom. Notethat
thedatastreamwill gobothways.
3.3.1 Signals
Thesearethesignalsreceivedonboardandtransmit-
tedfromtheship. Howthesignal transfer is doneis
the topic for other work packages in MarCom. The
signals could also befromon-board entities such as
sensorsetc.
3.3.2 Middleware
The middleware receives different signals (GPRS,
WiMax, UMTS, AIS etc) andmakes thedatastream
available for the upper layers. This layer will also
translate the data streamfromthe upper layers into
appropriateandavailableformatsfor transport out of
theship.
3.3.3 Service platform
Theserviceplatformwill provideservices(API) tothe
applications for easy useof thebroadbandavailable.
The functions provided by the service platformwill
typicallyberelatedtosecurity, billingandnotification
services.
3.3.4 Applications
This layer represents theactual applications; e-mail,
maintenancesurveillance, videoetc.
4 ABBREVIATIONS
Abbreviations(inorder of appearanceinpaper)
ICT InformationandCommunicationsTechnology
WLAN WirelessLocal AreaNetwork
R&D ResearchandDevelopment
FDV Functional DependencyViolated
SW Software
ENC ElectronicNavigationChart
ECDIS ElectronicChart DisplayInformationSystem
3D three-dimensional
IO IntegratedOperations(here: inthe
Oil andGasoffshoreindustry)
VHF Veryhighfrequency
VDL VHF datalink
AIS AutomaticIdentificationSystem
GSM Global Systemfor Mobile
Communications
IP Internet Protocol
TCP TransmissionControl Protocol
UDP User DatagramProtocol
SMTP SimpleMail Transfer Protocol
XML ExtensibleMarkupLanguage
J PEG J oint PhotographicExpertsGroup
GIF GraphicsInterchangeFormat
BMP Bitmap
PDF PortableDocument Format
WMF WindowsMetafile
AVI AudioVideoInterleaved
OSP OutsidePlant (network)
WiFi WirelessFidelity
WiMAX WorldwideInteroperabilityfor
MicrowaveAccess
3G Thirdgenerationtelecommunication
IP-phone (VoIP) Voiceover Internet Protocol
UHF Ultrahighfrequency
NMT NordicMobileTelephone
301
REFERENCESANDSOURCES
[1] MarCom D3.1: Case Descriptions and User
Requirements, Draft version01, 30.10.2008
[2] G. Matarazzo, P. Karouby, V. Schena, P. Vincent, IP
onthemovefor aircraft, trainsandboats
[3] MarCom D4.1: Maritime Communication Tech-
nologies, Draft version01, 05.01.2009
[4] http://en.wikipedia.org/wiki/Communications,_Air-
interface,_Long_and_Medium_range
[5] http://en.wikipedia.org/wiki/Service-oriented_
architecture
[6] Dirk Krafzig, Karl Banke, Dirk Slama, Enterprise
SOA, PrenticeHall, 2005
[7] http://en.wikipedia.org/wiki/File:SOA_Metamodel.
svg
[8] MarComD5.1: Application- developing an inte-
gratedserviceplatformfor ships, Draft version01,
08.01.2009
302
7.4
Towardsstandardizedmaritimelanguagefor communicationat sea
B. Katarzy nska
ABSTRACT: Thepaper deals withattempts of international community at standardizingthelanguageused
for communicationat sea. KeytermsincludeSeaspeak, Wavelengths, Angloseaproject, International Standard
MarineVocabulary, StandardMarineCommunicationPhrases, MarEngproject materials.
1 INTRODUCTION
For many years there have been numerous efforts
undertakentostandardizethelanguageusedfor com-
municationatseabetweenshipsindifferentsituations,
betweenshipsandVTSshorestationsorbetweenships
andhelicoptersincaseof rescueoperations.
These efforts were considerably speeded up by
variousdisastersatseawherethelackof effectivecom-
municationwasevident likeinthecaseof theScan-
dinavianStar or theEstonia wherecommandsfor
evacuationweregivenindifferentnational languages,
which took a long time and resulted in heavy loss
of life.
The early attempts were made by prof. Peter
StrevensfromWolfsonCollege, CambridgeandCap-
tain Fred Weeks from Plymouth Polytechnic who
developedmessagemarkersandpublishedSeaspeak
andWavelengths. Bothhandbookswereintroduced
andusedinnautical collegesandmaritimeuniversities
indifferent partsof theworld.
AtthesametimetheCanadianCoastGuardCollege
inNovaScotiastartedwork ontheAngloseaproject
and soon three video tapes covering St. Lawrence
Seaway, The English Channel and Ship Repair in
La Spezia were produced. They helped not only in
practical trainingof thestudents by providingexam-
plesof communicationonboardshipindifferentparts
of theworld but also in raising theawareness of the
importanceof clearandunambiguouscommunication
for thesafetyof thevessel, her crewandher cargo.
Waybackin1973, theIMOMaritimeSafetyCom-
mittee,atitstwenty-seventhsession,agreedthatwhere
languagedifficultiesariseacommonlanguageshould
beused for navigational purposes and that language
should be English. As we could see fromnumerous
examplesof disastersatsea, itwasnotalwaysthecase
inpractice.
Inconsequenceof theIMOMaritimeSafetyCom-
mittees decision, the Standard Marine Navigational
Vocabulary was developed. It was adopted in 1977
andafter beingusedinnautical collegesandmaritime
universitiesit wasrevisedandamendedin1985.
Theamendedversionwaswidelyusedbothinmar-
itimeeducationandtraininginstitutionsashoreandon
boardships.
But accidents and disasters at sea have still been
happening so there was a need for a more com-
prehensive version of the Standard Marine Naviga-
tional Vocabulary to improvecommunicationamong
multi-lingual crewsonboarddifferent ships.
In 1992, theIMO MaritimeSafety Committee, at
its sixtieth session, instructed theSub-committeeon
Safetyof Navigationtoworkonamorecomprehensive
standardized safety language than the SMNV 1985,
taking into consideration thechanging conditions of
modern seafaring and covering all major forms of
safety-relatedverbal communication.
In1997, theIMOMaritimeSafetyCommittee, atits
sixty-eighthsessionadoptedtheDraft IMOStandard
Marine Communication Phrases (SMCP) developed
bytheSub-committeeonSafetyof Navigation.
Followingthetrial periodat various maritimeand
traininginstitutions, theDraft IMO StandardMarine
Communication Phrases was amended at the forty-
sixthsessionof that Sub-committee.
Manyof theremarksweretakenintoaccountbythe
organizationandtheIMOStandardMarineCommu-
nicationPhrases weregivenfinal considerationat its
seventy-fourthsession.
InNovember2001theIMOStandardMarineCom-
municationphraseswereadoptedbytheAssemblyas
resolutionA.918/22
Under the international convention on Standards
of Training, CertificationandWatch-keepingfor Sea-
farers, 1978, as revised 1995, the ability to use and
understandtheIMOSMCP isrequiredfor thecertifi-
cationof officersinchargeof thenavigational watch
onboardshipsof 500grosstonnageandmore.
This requirement sparked off the development
of various teaching materials in many parts of the
world. Amongthemisthemulti-mediaproject called
303
MarEng, which is one of the EU projects in the
LeonardodaVinci programme.
Itisamulti-mediateachingandlearningtool aimed
at improving theknowledgeof MaritimeEnglish of
notonlydistancelearnersonboardshipsbutalsoboth
thestudentsandtheteachersat nautical collegesand
maritimeuniversitiesall over theworld.
GdyniaMaritimeUniversityinPolandisoneof the
material-makingpartnerstotheMarEngproject. The
other partnersinclude:
University of Antwerp, Institute of Transport and
MaritimeManagement inBelgium
University of Antwerp, Department of Business
CommunicationinBelgium
University of La Laguna, School of Nautical and
Sea-relatedStudies, EnglishandGermanLinguistic
Studies, SantaCruz deTenerife, Spain
University of Helsinki, Department of Translation
StudiesinFinland
AlandPolytechnic, TheAlandMaritimeInstitutein
Mariehamn, Finland
SydvastPolytechnic, School of MaritimeStudiesin
Turku, Finland
LatvianMaritimeAcademyinRiga, Latvia
Universityof Turku, Finland
Centrefor MaritimeStudiesinTurkuhasbeenthe
co-ordinator of theMarEngproject andtheLingonet
companyOyinTurkuhasbeenresponsibleforthetask
of putting thematerial and theinter-activeexercises
intoamulti-mediaformat.
TheMarEngprojectisaninternational projectaim-
ingatpromotingtheMaritimeEnglishcompetenceof
the people working in various maritime professions
in different parts of the world so the intended users
includethoseactuallyworkingat seaaswell asthose
studying and working in awiderangeof sea-related
areas.
TheMarEngprojectstartedinNovember 2004and
was completed in May 2007. Its final product is a
web-basedMaritimeEnglishlearningtool intheform
of anorganiseddatabaseof variousMaritimeEnglish
teachingandlearningmaterialsandaCD-rom.
The MarEng materials can be used online in the
collegeclassroom, in distancelearning and for self-
studypurposes. Thereareanumber of recordedtexts
andexercisesof differenttypeswhichthestudentsare
encouraged to do. Some parts of the MarEng mate-
rials arealso availableinthePDF format. Theentire
MarEngtool has beenavailableontheInternet since
April 2007, freeof charge. It canalsobedownloaded
fromthewebsitehttp://mareng.utu.fi
TheMarEngmaterialsproducedsofar aresuitable
for different languagelevelsnamely theintermediate
level andadvancedlevel.
Intermediate level materials cover the following
sections:
1. InPort
2. WelcometoaModernPort
3. LoadingtheMSMarina
4. TheShipandher crew
5. Leavingport
6. IntheFairway
7. HeavyWeather
8. MaydayMayday
9. Thecrewanditstasks
10. At Sea changingthewatch
11. Survival inanemergency
12. Helicopter Rescue
13. AnEncounter withtheCoast Guard
TheMarEnglearningmaterial intheintermediate
sectionisbasedontheideaof avirtual shiponavoyage
fromtheportof SantanderinSpaintotheportof Kotka
in Finland, calling at a number of ports on theway.
Duringthevoyage, thecrewof themvMarinafaces
anumberof routinesituationsaswell assomeunusual
onesinwhichMaritimeEnglishisusedbothonboard
shipandinport loadinganddischargingoperations.
Most of the texts have been recorded as well as
numerous vocabulary and grammar exercises have
been provided. There are clear instructions on how
to usetheprogrammeand thestudents can listen to
recordingsasmanytimesastheywishtodoso.
Thereis also asection on maritimeglossary with
explanationsineachof thesections.
Advancedlevel materials correspondto thetopics
coveredintheintermediatelevel sectionsandinclude:
Port Operations
ShippingandMaritimeManagement
CargoHandling
Vessel Types
TheEngineRoom
CargoSpace
Port StateControl
Vessel TrafficServices(VTS)
IceNavigation
Weather
RadioCommunication
RadioMedical
SMCP
The materials have been evaluated and tested by
AdvisoryPartnersincluding:
APEC Antwerp/Flanders Port Training Centre in
Belgium
FinnishShipOfficersUnioninFinland
National Boardof EducationinFinland
LatvianMaritimeAdministrationinRiga, Latvia
BORE OyinFinland
ThoseinterestedinusingtheMarEngprogramme
onlinearewelcometovisitthewebpageof theMarEng
project at http://mareng.utu.fi or visit our computer
laboratory where the MarEng programme has been
downloaded on all the computers and see for them-
selves howtheprogrammeworks and howcan it be
usedinclass.
UsingtheMarEngmaterialsinpracticewill hope-
fully improve the knowledge of Maritime English
among the multi-lingual crews resulting in better
304
communication on board multi-national vessels, in
moreefficient port operationsandsafer navigation.
In conclusion, I would like to say that a follow-
up to the MarEng project is now under way. It is
called theMarEngPlus project and is going to cover
theelementarylevel MaritimeEnglishmaterials.
The MarEngPlus project started on 1st October
2008 and will be completed by the end of 2010. It
is also partly funded by the EU Leonardo daVinci
programme.
BIBLIOGRAPHY
IMOStandardMarineNavigational Vocabulary, IMO1977,
London
IMOStandardMarineCommunicationPhrases, IMO2001,
London
Using the MarEng project in practice a workshop at
theIMEC-20conference, October 2008, publishedinthe
IMEC-20conferenceproceedings
305
7.5
Novel maritimecommunicationstechnologies
F. Bekkadal
ABSTRACT: Current maritimesystemsaretoalargeextent basedonlegacyanalogVHF radiosfor ship-to-
shorecommunicationsnearportwaters, andrelativelylowbandwidthdigital satellitecommunications(SatCom)
for long-rangeship-to-shipandship-to-shorecommunications. Thecost of bandwidthfor SatComnetworksis
expectedtoremainhighduetothecostof launchingsatellitesintoorbitandalsoduetothestabi-lizersrequiredfor
presentlyavailableon-boardantennas.Ontheotherhand,thelegacyVHFsystemcompriseslowbandwidthradios
incapableof supportingapplicationsrequiringhighdatarates. Unliketheterrestrial networks, advancement in
maritimenetworksisseverelylaggingbehinditslandcounterpart.
MARINTEK istheprincipleinvestigator of theMarCom project, ajoint initiativebetweenseveral national
andinternational R&D institutions, Universities andColleges, PublicAuthorities andIndustry, fundedby the
industry itself andTheNorwegian Research Councils MAROFF program, andaimingat developinganovel
digital communicationsystemplatformto ensuretheproliferationof innovativemobilenetwork applications
presentlybeingwidelyimplementedonland-basedwirelesssystems.
1 INTRODUCTION
The infancy and youth of radio technology was
primarily linked to maritimeapplications. Following
his invention of the first operating radio transceiver
in1895, GuglielmoMarconi performedtransmission
experiments between two Italian warships outside
the port of Spezia in 1897, where he managed to
exchangeradiomessagesatadistanceof 22km. Later
he continued his experiments in England, where on
Christmas Evein 1898 heestablished radio telegra-
phycontactbetweentheEastGoodwinlightshipand
South Foreland Lighthouse in South East England.
On 3rd March 1899 the steamship R F Matthews
collidedwiththis lightship, whichalarmedthelight-
houseashoreto obtain assistance. This was thefirst
timeever adistresscall wastransmittedbyradiofrom
ashipat sea.
However, despiteof thetremendousdevelopments
inradiotechnologiessincethattime, advancementsin
maritimenetworksareseverelylaggingbehinditsland
counterpart,andnovel solutionsareneededtomeetthe
imminent user requirements.
2 MARKET PULL VS. TECHNOLOGY PUSH
2.1 The Northern Challenges
Theoverall backdropof themaritimecommunications
market pull is demonstrated by Figure 1, portraying
theNorthernChallenges, exemplifiedby Norways
geographical extension and economic dependabil-
ity of an ocean area about 6 times the size of its
Figure 1. The Northern Challenges exemplified by
Norways geography and economic activity at sea
(Source: ACIA).
mainland. Thevast geographicdistancesandtheeco-
nomic importanceof activitiesat seainremoteareas
demand novel and innovative radio-based solutions.
There are numerous unsolved research challenges
regarding radio communications coverage through-
out the vast region comprising e.g. the Norwegian
Exclusive Economic Zone (EEZ) and the Arctic
waters[1].
307
Figure 2. Speed vs. integrity diagramshowing compiled
user requirementsinapplicationgroups[3].
2.2 MarCom scenarios and strategic initiatives
Thespecificmarket pull issuesanduser requirements
pertaining to the MarCom project are investigated
throughthefollowing9scenarios/user cases:
1 Monitoringof (domestic) ferries
2 Pilotage & maintenance of fairways, lighthouses
andnavigationmarks
3 Integratedoperations(IOs)
4 Passenger informationontrainsandat roads
5 High-speedcraft (HSC) operations
6 Vessel-to-Vessel RelayandMeshnetworking
7 Mobileon-boardLAN-solutions
8 TheHighNorthchallenges
9 International shipping
Furthermoretheissueof novel maritimecommu-
nication technologies will bean important aspect of
theemerginge-Navigationande-Maritimeconcepts
e-Maritime being proposed by the EU Commission
(DGTREN) as an extension to thealready develop-
inge-Navigation concept originatingfromIALA and
IMOstrategicinitiatives.
Bearinginmindthat theoceanwaterscover about
70%of theearthsurface, thatover 90%of theworlds
goods is transported by amerchant fleet comprising
around 46.000 ships, and that there are about 4.000
viablemerchantportsworldwide literallythousands
of shipsareout of sight fromlandor anyother vessel
all the time and thus making the global needs for
reliablemaritimecommunicationsparamount.
2.3 Compiled user requirements versus available
communication capacity
The compiled user requirements derived from the
scenarios referenced in paragraph 2.1 above, along
withsimilar supplementarydatafromtheEU-projects
Flagship andEFFORTS, haveidentifiedtheappli-
cationgroupsgiveninFigure2([2], [3]).
Table1. Presently availabledigital maritimecommunica-
tions.
System Communicationform Datarate
NAVTEX HF, MF 300bps
DSC VHF 1.2kbps
GPS AccessviaNMEA 0183 4.8kbps
AIS VHF 29.6kpbs
EPIRB Short messages(Satellite) 100bits/hour
SSAS Short messages(Satellite) 100bits/day
SafetyNet NAVTEX over Inmarsat 100messages/day
Some shipshavedatalinksviaSatellite(Inmarsat, VSAT. . .)
It is obvious that but a few lower classes of
these application groups may be supported by the
presently available digital maritime communication
means depicted inTable 1, and thus novel maritime
communicationtechnologieshavetobeintroducedto
themaritimemarket.
3 NEWMARITIME COMMUNICATIONS
3.1 MarCom major objectives
MarComsmajor technological objectivesareto:
Extendthecoverageandrangeatseaforbothin-use
andnovel terrestrial wirelesssystems/ technologies
Find appropriate SatCom solutions to com-
plement/supplement the terrestrial ones, mainly
beyondtheir coverage
Obtain seamless and continuous handover and
roamingwithinandbetweenthesystems
3.1.1 Terrestrial systems
The appropriate terrestrial systems being applicable
for maritimeusemaybecategorizedasfollows:
1 Cellular systems
2 WirelessBroadbandAccess(WBA)
3 WirelessNarrowbandAccess(WNA)
The roadmap for Cellular systems evolution
towards an alleged introduction of Next Generation
MobileNetwork (NGMN) is illustratedinFigure3,
the main features being steadily increased capacity
and versatility [4]. A significant milestone on this
path is the 4G-3GPP LTE (Long TermEvolution)
advancement, expected to offer peak data rates of
about 300Mbpsdownlinkand80Mbpsuplink.
Actual WBA systems comprise mainly Wi-Fi/
WLAN and the emerging WiMAX technologies in
accordance with the IEEE 802.11 and 802.16 stan-
dards, respectively.
For maritimeusers Wi-Fi is merely applicablefor
on-boardpurposesandclosetoshore(e.g. inharbors)
duetoitslimitedrange.
However, WiMAX is considered a viable option
for medium- tolong-rangebroadbandmaritimecom-
munications, particularly if sub-GHz frequencies are
applied thus supposed to be capable of providing
datarates>20Mbpsat rangesupto50100km[5].
308
Figure3. Wirelessterrestrial systemsevolutionroadmap.
Relevant WNA systems areDigital VHF (D-VHF)
and (partially) AIS, but the latter is presently offer-
ing only 29.6kbps, and thus of no interest to the
bandwidth-demandingservicesinFigure2.
As the 1st generation of D-VHF systems Telenor
Maritime Radio (TMR) devised a technology pro-
viding a.o. a broadband service of 133kbps by
utilizing 925kHz VHF channels, with a range of
130km. TMR hasdeployedthissystemtocover all
of the 2.400kmlong Norwegian coastline, together
withpartsof theNorthSeaandtheNorwegianSea.
However, asapartof harmonizingthemaritimeD-
VHF services asignificantly morespectral-efficient
solutionhas beenintroduced, indicatingthat the2nd
generationmight increasetheD-VHFscapacity by a
factor of 310[6].
3.1.2 Future trends terrestrial wireless systems
convergence or coexistence?
WiMAX is designed to deliver multiple types and
levels of servicethroughaflexibleIP network archi-
tecture, authentication andQuality-of-Service(QoS)
mechanisms. WiMAX can be implemented as a flat
pure IP network or as a part of a multimode ser-
viceenvironmentthroughapplicationservers,network
gatewaysandIP MultimediaSubsystem(IMS).
LTE isnowheadinginasimilar directionincreat-
ing Orthogonal Frequency Division MultipleAccess
(OFDMA) basednetworks, adaptivetovariouschan-
nelsandsignal conditions, andbasedonstandardsthat
compriseaframeworkallowingsignificantchangeand
extensionwithoutbreaking, anapproachnowlooking
obvious.
However,althoughseveral telecomadvisersarepre-
dicting a convergence towards a NGMN concept as
depicted in Figure 3, there are various reasons to
believethattheir coexistencewill continuefor several
yearstocome.
3.2 SatCom systems
MarComs objective is to find appropriate SatCom
solutions to complement terrestrial technologies,
mainlybeyondtheir coverage andthemost suitable
arehencebeingsoughtamongsystemsutilizingGEO,
LEOandHEOorbits(seeFigure4).
Figure4. Satelliteorbitsandtheir mainfeatures.
A GEOsatelliteappearstobeinafixedpositionto
an earth-basedobserver, sinceit is revolvingaround
theEarthataconstantspeedonceperdayatanaltitude
of about36.000kmovertheequator. 34satellitecon-
stellationsaregenerallyusedtoobtainnearlyglobal
coveragehoweverexcludinga.o.thepolarregions(!).
Inmarsat is internationally recognized as pioneers
in mobile satellite services, being founded 30 years
ago to ensurethat ships couldstay inconstant touch
bytelephoneviaGEOsatellites.
Over theyearsInmarsathascontinuedtointroduce
newtechnologiesandservices, particularlytothemar-
itime community: Inmarsat-A, -B, -C, -M, Mini-M,
GAN, -D/D, MPDS and theFleet family (Fleet77,
55and33), basedonoldertechnologiestermedExist-
ingandEvolved, mostlyprovidingfax/dataservices
withratesupto9.6kbpsandmedium/high speeddata
upto128kbps.
Recently Inmarsat introduced the novel BGAN
concept, which benefits fromthe new I-4 satellites
to offer ashared-channel IP packet-switchedservice
of up to 492kbps, and a streaming-IP service from
32 to 256kbps. The BGAN family includes Fleet
Broadband, aserviceplannedfor ships andthemar-
itimecommunity.
Another GEO-based alternative is represented by
thevariousVSAT systems, utilizingsatellitestations
withtypicallydishantennassmallerthan3mindiame-
ter(mostVSATantennadiametersrangingfrom75cm
to 1.2m) to obtaindatarates generally fromnarrow-
bandupto4Mbps(46Mbpsbeingpresentlythefastest
one[7]).
DVB-RCSrepresentsanovel broadbandVSAT-type
multi-userdesignincludedintheDigital VideoBroad-
casting (DVB) family, and thus being theonly open
international standardfor satellitenetworkswithtwo-
waycommunications, providinghighcapacitytowards
the user (40Mbps downlink) and more moderate
capacity fromtheuser (2Mbpsuplink). DVB-RCS
technology allows for star andmeshtopologies with
10.000sof VSATsper network. Over 100DVB-RCS
309
systemsareoperatingworldwidetoday goingmobile
withhandoverfromsatellitetosatellite, andnumerous
trials including train-, aircraft- and vessel-mounted
terminals.
Theonly seemingly interestingLEO alternativeis
theIridiumconstellation, using66cross-linkedsatel-
lites innear polar orbit inclined86.4
to theequator
at an altitude of 780km and accordingly an orbit
period of about 100 minutes providing allegedly
true global coverage.
The nominal data rate of an Iridium channel
is 4.7kbps, with latency for data connections about
1.8s (round-trip) using small packets [8]. Iridium
is also advertising a Direct Internet at 10 kbps,
but this throughput is seemingly attainableonly with
compressible data subjected to Iridiums proprietary
(remote) compressionsoftware.
Therecent serviceofferedbyIridiumisOpenPort,
claiming IP-based data rates of 9.6128kbps (con-
figurable), featuring allegedly global gap-free, pole-
to-pole coverage, with low-profile omnidirectional
antennasindependent of stabilizationplatforms.
Iridiumisalsoplanninganewgenerationof satel-
lites IridiumNEXT, to be operational by 2016,
and expected to provide date speeds up to 1Mbps
(transportableK
a
-bandupto10Mbps(?)) [9].
Contrary to GEOs and LEOs theHEOs arechar-
acterized by a relatively low-altitude perigee and a
high-altitudeapogee. Theseelongatedorbitshavethe
advantageof longdwell timesnear apoint inthesky
duringtheapproachtoanddescentfromapogeeaphe-
nomenonknownastheapogeedwell inaccordance
with Keplers second law. The orbital eccentricity is
adjustedtotherotationof theEarthinordertomakethe
satellites operatingnear theapogeeandmovingwith
nearlythesamespeedastheEarth, therebymaintain-
ingafixedpositioninrelationtoapointontheground.
During the early 1960s Soviet Union aerospace
engineers devised the Molniya HEO, which is sim-
ulating the convenience of a GEO while simultane-
ouslyservicingtheextremenorthernregions, withan
inclination of (ideally) 63.45
relativeto theEarths
equatorial plane, andanorbital periodof asidereal
day. During this orbital period theEarth makes a
turn, andthus theapogeumwill beat thevery same
position relativeto earth twiceaday. Seen fromthe
EarthaMolniyaorbit satellitewill thusapparentlybe
inzenithabout 39.750kmabovetwopositions(at lat-
itude63.45
seeFigure5) during roughly 8 hours

twice each day, the perigee height being only about
500km. Accordingly 2 satellites would providecon-
tinuous coverage of the northern hemisphere, but a
3-satelliteconstellationispreferable[10].
Apart fromtheevident Russian applications, sev-
eral studiesonutilizingMolniyaorbitsfor quiteafew
applications havebeencarriedout, recognizingtheir
apparent benefitsin:
Providing a quasi-stationary perspective with an
apogee height approximating the GEO, and thus
GEOtechnologiescanbereused(slightlymodified)
toa.o. reducecostsandrisks
Figure5. TheEarth seen fromGEO and HEO (Molniya)
satellites, respectively.
Giving an optimum high-latitude coverage per
satellitewithnoLEO-likelatitudinal coveragegaps,
and little time wasted over lower latitudes ade-
quatelyseenfromGEOs
Simplegroundsegment; real-timecommunications
can be achieved with a single primary ground
station, asfor GEO
More cost-effective than GEO systems for the
delivery of satellite-based mobile multimedia in
Europe[10].
However, aninconveniencewiththeMolniyaorbit
isitssatellitespassagethroughthevanAllenradiation
belt twiceperrevolution, requiringadditional massto
obtainprotectionof e.g. thesolar panels.
Another attractiveHEOavoidingthis hindranceis
themorelow-eccentric24-hoursTundraorbit, which
ismorecomprehensivelydescribedin[1].
4 THE HIGHNORTHCHALLENGES
Thefragileenvironment of theHigh North is decid-
edly dependent on a sustainable ecosystembalance.
Safeguarding this balance calls for a highly devel-
opedcommunicationinfrastructureandsophisticated
surveillance systems, which are presently unavail-
able. Reliablebroadbandradiocommunicationsinthe
Northern and Arctic Region is vital for fast report-
ing of status and evolution of the environment, and
earlywarningof pollutionthreats. Additionally, these
technologies are decisive for efficient handling of
hazards andaccidents intimidatingpeopleand/or the
environment.
Broadband radio communications with data rates
of several Mbps is anticipated to be needed by sev-
eral activitiesinthisvast area, out of whichthemore
important are:
Fisheries, including resource investigations and
protection
Oil andgasoffshoreactivities
Fishfarming, aquaculture installations and associ-
atedactivities
The Coast Guards law enforcement of environ-
mental crimeandother illegal activities
Homelandsecurityanddefenseactivities
310
Figure6. Traditional SatComlimitationsinPolar regions.
Researchactivities(icestudies, meteorological and
hydrological researchandmonitoringetc.)
Coastal water activities (ferries, cruiseships, sup-
port ships, fishing, fishfarmingetc.)
Theterrestrial systemsoutlinedinparagraph3.1.1
needsfurther thoroughinvestigationsregardingfeasi-
bleutilizationintheHighNorth, but thecommercial
aspectsaremost likelytooverridethetechnical chal-
lenges, sincetheinitial number of usersaresupposed
tobefewerthancommercial operatorswouldconsider
satisfactory.
However, our preliminary findings indicate the
coastal areas(includingtheNortheast andNorthwest
passage) to beadequately covered by terrestrial sys-
tems, wheresub-GHzWiMAX andenhancedD-VHF
are considered the most promising alternatives. In
order tocover thepassageNorthof Russiaor Canada,
or theareanear Svalbard, achain of pertinent base
stations with an appropriate backhaul infrastructure
wouldberequired. Thecost andcomplexityof sucha
systemwouldnecessitateadetailedstudy of a.o. the
areas topography. But evenif suchsystems couldbe
favorablydeployed,vastareaswouldstill beleftuncov-
ered, demandingother solutionstocomplement these
coastal areasystems.
Thecrucial limitations of traditional SatComsys-
temsareillustratedinFigure6:
Although Iridiumclaims the OpenPort service to
provide IP-based data rates of 9.6128kbps, fea-
turing allegedly global gap-free, pole-to-polecov-
erage, this systemis judged inadequateas amore
permanent solutiontotheHighNorth
GEO satellites areinvisibleat latitudes exceeding
about 80
N
Even relatively advanced maritime SatCom ter-
minals with stabilized antennas require elevation
anglespreferably >5
, andarethusrenderedinad-
equateat latitudesexceedingabout 76
N.
Stabilized antennas must lock onto the intended
satellite for proper operation, but several condi-
tions,includingthevesselsunpredictablegyrations,
caninstigateastabilizedantennato drift fromthe
intendedsatelliteandcausesignal drop-out and/or
harmful interferenceto adjacent satellites. Dueto
Figure 7. Illustration of the inadequate GEO coverage in
theHighNorth.
rather severe roll, pitch and yaw movements of
a vessel during adverse weather conditions even
largerelevationanglesarerequired, andthuspracti-
cal problemswithstandard SatComterminalsmay
beexpectedtoariseatlatitudesbeyondabout70
N.
Layers of (mixed) saltwater, sleet and ice on the
antenna radome will certainly not diminish such
problems, andthusaddinguptotheunsatisfactory
situationillustratedinFigure7.
Consequentlyitseemsevidentfromourpreliminary
findings that HEOs would provide the only techni-
cally viablealternativefor adequateSatComs in the
northern areas in fact to the northern hemisphere
on thewhole(which accordingly also applies to the
southernhemisphereif theorbitsarereversed).How-
ever, thoroughinvestigationsarerequiredtoreveal the
cost/performancefigures of pertinent systems, along
withtheir successfactors[1].
5 RADIOENGINEERINGCHALLENGESIN
MARITIME ENVIRONMENTS
Inorder tomeetMarComsmajor objectiveof extend-
ingthecoverageandrangeat seafor bothin-useand
novel terrestrial wireless technologies, several radio
engineeringchallengesaretobemet, suchas:
Thecharacteristicsof radiosignal propagationover
theseamust beknown
Appropriate frequency resources must be (made)
available
Improvedantennasystemsneedcareful attention
Investigations of additional means to extend the
coverageandrangearerequired, suchas:
Repeaters; passive, activeandregenerative
MobileMulti-hopRelay(MMR)
Meshnetworking
Theability toaccurately predict radiopropagation
behaviour for wireless services is becoming crucial
tosystemdesign. Numerousstudieshave(unsurpris-
ingly) beenconductedfordenselypopulatedareas, but
veryfewhavebeenfocusingcoastal waters, whichare
exhibiting physical layer structures quite dissimilar
311
to urban surroundings. Consequently reliable radio
channel modelsfor propagationover seaarerequired
to makeappropriaterange/coveragepredictions, and
particularly to enable improvements of systemper-
formanceby applyinge.g. diversity and/or advanced
antennasystems techniques. Boththeoretical studies
andexperimental trialsarerequiredtodeterminesuch
models.
The overcrowded radio frequency spectrum rep-
resents a crucial challenge to wireless services in
general, andtomaritimeapplicationsinparticular.
However, ITUs World Radiocommunication Con-
ference2007(WRC-07)approvedtheidentificationof
the450470MHzand698862MHzfrequencybands
for International MobileTelecommunications (IMT)
services. Thesefrequencybandsarebeingreferredto
asthedigital dividend thefreeingupof spectrum
broughtaboutbytheterrestrial TV distributionswitch
fromanaloguetodigital technology.
These frequencies are also being referred to as a
part of the spectral sirloin, since, in addition to
exhibitingattractivepropagationcharacteristics, they
also facilitate relatively undemanding development
and low-cost production of RX/TX radio equipment
withreasonablesizeandweight.Theupper UHF band
(698862MHz) isthusatarget bandfor theWiMAX
Forum, and the earliest applicable (reconfigurable)
sub-GHzWiMAX productsarealreadycommercially
available[5].
Theutilizationof thesesub-GHzfrequencieswould
facilitatethenovel wirelessterrestrial systemsexten-
sionof coverageandrangeat sea, whichisillustrated
bythefactthate.g. coveringthesamearearequireonly
2basestationsat450MHzcomparedto30at3.5GHz
[5] i.e. alsoaneconomical advantagefactor of about
15 (!), and thus being highly beneficial to maritime
applications.
However, each country has the authority to man-
age their frequency resources, and an international
harmonizationwouldconsequentlybeneededtopro-
videthemaritimecommunitywiththemostfavourable
solution.
Antennas (and RF transceivers) comprise crucial
sub-systemstoanyradiosystem. Numerousantennas
presentlybeingappliedinwirelesssystemsarerather
outdated, andaccordinglysystemperformancecanbe
significantlyenhancedbyutilizingmoresophisticated
antenna designs. Emerging smart antenna technolo-
gies also enabling cost-effectiveshipbornesolutions
representsanareatowhichextensiveR&Dresources
shoulddefinitelybeallocated.
Other means to enhance range/coverage are
Repeaters, MMR andMeshnetworking, all referring
to different concepts for conveying user data, and
possibly controllinginformation, betweenabasesta-
tion and amobilestation through oneor morerelay
units tobeutilizedalongwiththeother appropriate
Figure 8. Illustration of the suggested Wireless Coastal
AreaNetwork (WiCAN) concept.
techniquesandmethodsdiscussedinthispapertoreal-
ize the suggested Wireless Coastal Area Network
(WiCAN) concept illustratedinFigure8[1].
Inorder tofacilitateseamlessandcontinuoushan-
dover androamingwithintheheterogeneousWiCAN
environment, asmart mobilerouter wouldrepresent
a crucial component, having been termed an Agile
MarComCommunication Adapter (AMCA) in the
MarComproject.
REFERENCES
[1] Bekkadal, F.: MarComD4.1: Novel MaritimeTech-
nologies, MARINTEK Report, V1.0, 2009-01-05.
[2] Rdseth, . J. &Kvamstad, B.: Theroleof communi-
cationtechnologyine-Navigation, Draft MARINTEK
Report, V07, 2008-06-20.
[3] MarComD3.1: Casedescriptions and user require-
ments, Draft version01, 30.10.2008
[4] Chang, W.: WiMAX, LTEandthefutureof 4G, Mar-
ket Intelligence Center, DCRDR08121131321, Dec.
2008
[5] Telsima:WiMAXSolutioninSub1GHzBand,2008-
05-21
[6] ITU-R M.1842: Characteristicsof VHF radiosystem
andequipmentfor theexchangeof dataandelectronic
mail inthemaritimemobileserviceAppendix18chan-
nels, Document 5B/TEMP/22(Rev.1)-E, 13 February
2008
[7] Satellite Internet Service Providers in Middle East
andEurope, Satellite Internet and VSAT Information
Centrum
[8] McMahon, M. M. &Rathburn, R.: Measuringlatency
in Iridium satellite constellation data services, US
Naval Academy Report no: A291464, June 2005
[9] Gupta, O. M.: IridiumNEXT Partnership for Earth
Observation, Proceedings of the SPIE, 20th August
2008
[10] Berretta, G.: Highly Elliptical Orbit Satellite Sys-
tems, IEE Colloquium on HEO Satellite Systems,
24 May 1989
312
7.6
Advantagesof preservationof obligatoryvoicecommunication
ontheVHF radiochannel 16
S. Brzska
ABSTRACT: Channel 16of theVHF radiobandisthemost commonlyusedwayof communicationbetween
vessels. Although therearestrict rules not to useit for routinecommunication, many officers neglect them.
WhenDigital SelectiveCallinghadbeenpresentedtotheGMDSSsystem, itwasnolonger obligatorytokeepa
watchonchannel 16, however, onthewatersof theUnitedStatessuchanobligationisstill inforce. Officersfind
DSCsystemquitedifficulttousesotheEuropeancountriesshouldrevisetheir politicsandconsider restoration
of obligatorywatchkeepingonchannel 16.
1 VHF RADIOUSAGEACCORDINGTO
INTERNATIONAL CONVENTIONS
1.1 SOLAS obligations for VHF radio equipment
The SOLAS 74/02 Convention states that each ves-
sel of Gross Tonnage 300500 should carry at least
2VHF radios whileevery passenger ship and every
cargovessel of GrossTonnagemorethen500should
carryat least 3VHF radiosonboard(SOLAS, 2006).
VHF radios shouldnot only bepresent at thebridge,
but also be properly situated. Headset should be in
thevicinityof officershandandthespeaker near his
ears. ShipswingsshouldalsobefittedwithVHFradio
equipmenttobeuseinemergencysituationsorsimply
duringmanoeuvres.
TheSOLAS states that thereshould beat least 2
separate ways to communicate in distress situation.
Oneof themisalwaysVHFradio, sinceitisobligatory
tocarry it whenshipisoperatingintheA1SeaArea
andsoinall other areas(ALRS5, 2007/08).
VHF equipment consists not solely of a speaker
and a headset. It is permanently connected to the
Digital Selective Calling device operating also in
theVHF band. The DSC device is capable of send-
ing and receiving DSC messages. Themessages are
sent with ausageof 156.525MHz frequency (chan-
nel 70). Monitoring on theVHF frequencies should
becontinuous ontheDSC channel 70andbroadcast
channel 16. SOLASrequiresVHF radiostosendand
receivecommunicationonfrequencies156.300MHz
(channel 6), 156.650MHz(channel 13), 156.800MHz
(channel 16) asinTable1(ALRS5, 2007/08).
1.2 STCW obligations for VHF radio users
VHF radio operators should have proper GMDSS
qualifications (Walczak, 1996). At least theGeneral
Operators Certificate (GOC) should be held by the
Table1. VHF radiochannelsrequiredbytheSOLAS.
Frequencies(MHz)
Channel ship shore Special purpose
6 156.300 SAR communication
13 156.650 156.650 Safetyof navigation
16 156.800 156.800 International distress,
safetyandcalling
70 156.525 156.525 DSC
officerwhoiskeepinganavigational watchonabridge
and uses the GMDSS equipment. The STCW Code
(STCWCode, 2001) states, that theradiowatchshall
notbedisturbedbyanycommunicationnotconnected
with safety of ship and navigation so any routineor
privatecommunicationduringwatchisforbidden.
2 ADVANTAGESOF THEVHF BAND
2.1 VHF range
English VHF abbreviation stands for Very High
Frequencyanditdescribesthosewavesof theelectro-
magnetic spectrumwhich length is amultiplicity of
meters. Wecaneasilydescribeelectromagneticwaves
as a self-propagating radiation. The termpropaga-
tionexplainshowtheradiowavesbehaveinavacuum
or in a matter when they are transmitted. The prop-
agation may be affected by many phenomena like
refractionor absorption.
Of all thewaysthat theelectromagneticwavescan
propagate, thosewhichareattachedtotheVHF band
(30MHz to 300MHz) propagatein an accurate, but
somewhat short way with a use of a direct mode
or aline-of-sight mode. Thetermcomes fromthe
fact that aVHF frequency wavepropagates between
313
antennasthatarevisibletoeachother. Itisnotexactly
true,becauseof theairhumidityandaneffectof refrac-
tion,theVHFpropagationissomewhatfartherthenthe
line-of-sightandisassumedtobemoreor less30Nm
(Czajkowski, 2002).
It is rather an advantagethen adisadvantagethat
VHF wavespropagateinacircleof only30Nmfrom
thesendingstation. Thankstothatfactasender might
be sure that his message will be sent only to sta-
tionsinhisline-of-sightandonlythose, whoarereally
concernedabout hismessage, will get it.
2.2 VHF channels
Inmaritimeradiocommunicationthewave-bandsare
markedbytheletters.ThemaritimeVHFbandrangeis
between156MHzand174MHzandismarkedbylet-
ter V. Inthatrangeof frequenciesseparatechannels
havebeen divided. Theseparation between channels
isusually25kHzwithanexceptionfor 12.5kHzdivi-
sionif local authorityfindssuchadivisionnecessary
(ALRS5, 2007/08). Tomaketheusageof VHF chan-
nels easier, they have been marked with 2 digits.
Instead of entering a long numbered and hard-to-
remember frequencies (like in the MF/HF devices)
user cansimplyenter 2digitsandtheVHF radiowill
betunedtotheproper frequency.
2.3 The VHF communication rules
Finding usage of the VHF radio so easy makes it
themost practicabletool for marinecommunication
in the world. VHF radios are user-friendly devices,
similar to cell phones, which are nowadays used by
almost everyone. A well qualifieduser (e.g. aholder
of theGOC certificate) shouldhavenoproblemwith
VHF voicecommunication. Hesimplyneedstoknow
some basic rules, implemented in the Seaspeak,
Standard Marine Communication Phrases (SMCP),
International Codeof Signals andAdmiralty List of
Radio Signals. Basic rules e.g. implemented in the
Seaspeak are:
dont makeunnecessarycalls,
useproper procedures,
useproper channel,
speakslowlyandfluently,
avoiddisturbanceof other calls(Weeks, 1984).
If the officers would fallow these rules there
shouldnt be any problems or mistakes in the VHF
communication. Unfortunately, maritimecourtsoften
findmisusageof theVHF radioasacauseof acolli-
sionoramarineaccident.VHFradioequipmentcannot
beblamedfor that. Its usageis so easy that theonly
onestoblamearetheofficersthemselves. Amongthe
typical mistakestheymakeare:
not applyingtocommunicationrulesof theSMCP
andSeaspeak,
languagemistakes, especiallythosecausedbylittle
Englishknowledge,
wrong identification of vessels, e.g. not using
names, call signs, MMSI numbers,
keeping conversation on channel 16 or channel
restrictedforVTScommunication.
LittleEnglish knowledgeis becoming aproblem.
Sincemanymaritimeschoolsandtrainingcentreslow-
ered their requirements for thecandidates for future
officersthelevel of educationhasalsobeenlowered.
They rarely followSMCP and Seaspeak rules and
whentherulesaredisobeyedit mayleadtoadisaster.
Theweakest chain inthemaritimecommunication
systemisagainthehumanfactor.
As it was already said the VHF radio equip-
ment is easy to handle. However, when it comes to
the DSC VHF system, which is connected to the
voice-broadcast VHF device, it becomes muchmore
complicated.
2.4 Digital Selective Calling on the VHF band and
its disadvantages
Digital Selective Calling was introduced to the
GMDSS systemon MF, HF andVHF bands. It was
intendedtomakeeasy, automaticcommunicationwith
shore stations and other vessels. DSC device can
either sendautomaticmessages, likedistressmessage
(by simply pushingadistress button for 5sec.) or
recentlypreparedmessagesbytheofficer inchargeof
anavigational watch. Thepreparationisdoneonlyby
choosing(Czajkowski, 2002):
format specifier (distress, individual, geographical
area, all ships, groups),
MMSI number of thereceivingstation(not neces-
saryif themessageisaddressedtoall stations),
proper category (from listed: distress, urgency,
safetyandroutine),
special information (e.g. about nature of distress,
fromlisted: piracy, sinking, listing, fireon board,
etc.).
Soit isnot possibletosendatypedmessage, likea
cell phonesSMS.
TheDSCsystemworksperfectlywell whenitcomes
toadistressmessage.Theonlythingtheoperatorneeds
to do is push theright button for afixed amount of
timeandthemessagewill besent automatically. The
userproblemappearswhenitcomestopreparationof a
morecomplicatedmessage.TheDSCequipmentpanel
isnotasuser-friendlyaswastheVHFvoicecommuni-
cationdevice. Infactisrather user-unfriendlysystem.
TheITURegulationsareverycomplicatedanditisdif-
ficultforanofficertorememberwhenhecanandwhen
hecannot sendconfirmationof adistress. Preparing
a message is also quite difficult, especially with a
devices display consisting of two lines of black and
whitetext. PeoplewhonowadaysworkonthePersonal
Computers(PC)whichhasbig,colourful screens,with
widewindowsandeasy-to-chooseoptions, findDSC
equipmentsomehowold-fashioned. Officersareoften
afraidto usetheDSC equipment becausethey dont
comprehendall therulesandthedeviceitself.
314
Inthetimeswhenthereare3.3billionoperatingcell
phonesintheworldandthuseverysecondmanonthe
planet has acell phone(Kobel, 2007), wouldnt it be
easytochangeDSCmessagesintouser-friendlySMS
systemliketheoneintheGSM net?
2.5 DSC watch keeping obligation
TheSOLAS conventionstatesthat monitoringonthe
VHF frequencies should be continuous on the DSC
channel 70andbroadcastchannel 16, however, inspe-
cial areas, likeVTS, local authoritiescanrecommend
their ownbroadcast channelsfor watchkeeping.
DSC was intended to eliminatetheneed of keep-
ingcontinuouswatchonradioreceiversonvoiceradio
channels, includingVHF channel 16.After1February
1999, according to SOLAS, every ship had to keep
continuous watch on channel 70 simply with having
suchadeviceonboard.TheDSCreceiver worksauto-
matically when a message comes a buzz-signal is
sound. Theofficer simply needs to push appropriate
button, readthemessageandtunetheradiototheright
VHF voice channel (recommended in the message
itself) andwait for thecommunicationtocome.
ThankstotheDSCsystemitiscertainthattherecip-
ient will receivethemessagebecausethemessageis
storedinthedeviceandcanbereadinanytime.Thats
the main advantage of the DSC system. With voice
communication, whenofficer is busy andcannot lift
theheadset, themessagebroadcastedby voicemight
notbereceived. DSCmessagecomeswhetherhelikes
itor not itisstoredinthedevice, justlikeSMSmes-
sage is stored in a cell phone. To make the sending
stationsurethat themessagecame, receivingstation
can send a confirmation (however it is forbidden to
sendsuchaDSC confirmationto adistress message
fromaship, becausethenthemessagemight not get
totheappropriateSAR station).
3 VHF COMMUNICATIONONCHANNEL 16
3.1 Legal issues concerning channel 16
Despitetheabovementionedadvantagesof DSC sys-
temitisstill practisedtokeepalisteningwatchonthe
VHF channel 16. Itisagoodseamanshiptodosoand
hereit is wheretherules arenot complyingwiththe
practise. SOLAS convention states in chapter IV/12
that Ships 300 tons and over and passenger ships on
international voyages must maintain, where practica-
ble, a continuous listening watch on VHF channel 16
until 1 February 2005 (SOLAS, 2006). InMay2002,
IMO decidedto postponecessationof aVHF listen-
ingwatchaboardshipsuntil 1February2005. InITU
Regulations there is a statement: All ships should,
where practicable, maintain watch on channel 16 when
within the service area of aVHFmaritime coast station
(ITU, RR 38-16). So there is no longer strict obli-
gation to do so. The statement where practicable
in both SOLAS and ITU Regulations might beread
as an admittancefor not listeningto thechannel 16.
For example, inplaces wherebothVTS andharbour
master are using channels different than 16 (e.g. in
Gdyniaharbour ships arelisteningto channel 71for
VTSZatokaand12forGdyniaharbourmaster), aship
withtwoVHF radiosmaynot listentothe16channel
at all.
The problemcomes with a small pleasure crafts,
fishingvesselsandsailingvessels, withlow-qualified
crew, whoareoftennot listeningtotheVTSchannels
or 16channel or areabsolutelydisobeyingtheRule5
of theCOLREGSLook-out(liketheskipperof Our
SarahJ aynethecaseof whichisdescribedinthenext
chapter of thepaper).
Whenadisaster comes, becauseof not listeningto
16channel andnot respondingtoacall, thecaptains
of such vessels might afterwards explain themselves
thattheywerenotobligedtodoso.Thecommunication
betweenvesselswouldbemucheasierif therewasstill
anobligationto listento the16channel. Not where
it ispracticable but everywhere, e.g. withausageof
thedual watch availabilityof theVHF radio.
Suchaproblemdoesnot exist intheUnitedStates
becausetheUSAuthority Federal Communications
Commission statedthat any vessel equipped with
VHF marine radiotelephone must maintain a watch on
channel 16, whenever the radiotelephone is not being
used to communicate (FCC: Title47). Theusageof
wordmust grantsthat officerswill keepawatchon
channel 16.
3.2 Using dual channel option
Thankstothecommonsenseof theofficersanddual
channel optionsof theVHF radiosthewatchonthe
channel 16 is still kept. Dual channel is an option
included in theVHF radio device which enables to
listen to two channels in thesametime e.g. chan-
nel one for 1 sec. and the other, main, for 9 sec.
When a message comes or any voice signal on one
of thosechannels is receivedthereceiver tunes itself
automaticallytothat channel.
Itsaveryuseful tool touseespeciallyonthoseships
whichareequippedonly with2VHF radios (vessels
of GT less than 300) or vessels which are carrying
radios voluntary because they are too small to take
part in theSOLAS convention. Thosesmall vessels,
most of which arepleasurecrafts, areusually carry-
ing VHF radios and for themit is the only way of
communication.
4 PROBLEMSWITHDISOBEYING
COMMUNICATIONRULES
4.1 Disobeying the Rule 5 Look-out of the
COLREGS
TheRule5statesthatevery vessel shall at all times
maintain a proper look-out by sight and hearing as
well as by all available means appropriate in the pre-
vailing circumstances and conditions so as to make a
315
full appraisal of the situation and of the risk of colli-
sion, VHF radiosareoneof thosementionedasall
availablemeans (Rymarz, 2004).
Sonot onlySOLASandITU-R but alsotheColli-
sionRegulationsdemandskeepingawatchwithusing
VHF radio(evenif it isstatedasall means).
Disobeying therules may lead to acollision. The
officer hadtobefocusedonall aspectsof thenaviga-
tion. Heneeds tohaveawholeviewof thesituation.
Tokeephisfull attentionheneedstomaintainproper
look-out andproper meansfull. If inanycasehe
isnotsureof whatisgoingonhemusthaveanalways
ready-to-usetool tosolvethesituation. VHF radiois
suchatool andits proper usagecanbeas simpleas
keepingwatchonchannel 16.
If the officer neglects usage of that tool he may
cause a marine accident, just like the Our Sarah
J aynes skipper did.
4.2 Collision between Thelisis and Our Sarah
Jayne as a result of disobeying Rule 5
On 20 J une 2001 in the Thames Estuary two ves-
sels collided. One of themwas the 8904gt Greek-
registeredro-rocargovessel Thelisis andtheother
wassmall registeredfishingvessel Our SarahJ ayne
whichwasonly14mlong. Atthetimeof thecollision
Thelisis wasunder pilotageandOur SarahJ ayne
wasengagedinfishing(MAIB, 2002).
ThelisiswasplyingthroughPrincessChannel and
spotted awhitelight in front of her bow. Both pilot
andthemaster werenotsureof thesourceof thelight.
The pilot called VTS to receive information on the
object, but theVTSoperator alsodidnt knowwhat it
was. Whentherangebetweenshipswasaround1Nm
Thelisisrecognisedtheobjectasafishingvessel and
triedtocall himonVHFchannel 12, thechannel which
wasusedby theThamesVTS inthearea. Becauseof
wrongidentificationfirsthecameintocommunication
withother vessel andstartedtoagreemanoeuvre. The
pilot wassurethat thefishingvessel wouldgiveway
andshedidnot.
Our SarahJ aynes skipper was not awareof the
imminent danger until thecollision took place. That
wasbecausehewascompletelydisobeyingtheRule5
and was not keeping any look-out at all. Hehad his
VHF radioonandtunedtoVTS channel 12, but the
volumewasset midway. Heleft thewheelhouseunat-
tendedmanytimesandprobablydidnthearanycalling
andevenif hedidheardthemhewas not awarethat
hewastheonereferredto.
Our SarahJ ayne floodedthenfounderedalmost
immediately after thecollision. Theskipper was res-
cuedbyaThamespilot cutter.
5 CONCLUSIONS
SinceVHF radioissuchauseful tool andneglectingit
might besodangeroustheAuthoritiesshouldencour-
agedeck officerstouseit. Thechannel 16shouldbe
onatall timesandacontinuouswatchshouldbekept.
DSC communicationishelpful but it shouldnt bethe
only recommended way of communication because
of its disadvantages mentioned in thepaper. Mostly
becauseDSC devicesarecomplexandnot at all user-
friendly.If thelocal authoritiesrequirekeepingawatch
on different channels then the dual watch option
should beused or even another VHF radio installed
onboard. The international regulations should again
expect theofficerstokeepachannel 16watch, likeit
ispracticableontheUnitedStateswaters.
REFERENCES
Admiralty List of Radio Signals vol. 5 GMDSS NP285
2007/08.
Czajkowski J. 2002. System GMDSS regulaminy, procedury
i obsuga, Gda nskf, Skryba.
Federal Communications Commission. Title 47: Code of
Federal Regulations, 47CFR 80.148, 80.310.
International TelecommunicationsUnion, Radio Regulations
38-16, N38.
Kobel Przemysaw, 2007. Co druga osoba ma telefon
komrkowy. Money.pl.
Marine Accidents Investigation Branch, 2002, Report on
the investigation of the collision between Thelisis and
Our Sarah Jayne in the Thames Estuary 20 June 2001,
Southampton, UK.
Polski Rejestr Statkw 2006, Safety of life at sea, 1974
SOLAS. 2006 edition, Gda nsk
RymarzW., 2004. Miedzynarodowe Prawo Drogi Morskiej w
zarysie, Gdynia, Trademar.
STCW Code, 2001. IMO, London.
WalczakA. 1996. Konwencja STCW 1978 znowelizowana w
1995 r. jej gwne postanowienia i propozycje wdro ze n w
Polsce, WSM wSzczecinie, Szczecin.
Weeks F. 1984. SEASPEAK Reference Manual, Oxford,
PergamonPress.
316
7.7
Thetransmissionof theinformationof thesystemof
telecommunicational DECT inthetrans-shippingterminal
A. Ku smi nska-Fijakowska& Z. ukasik
Technical University of Radom, Radom, Poland
ABSTRACT: Introducetheconcreteproject of thedistributionof basestationsinthearticleandproposethe
architectureof thesystemDECT of thetrans-shippingterminal. Thesimulationof thesystemof DECT which
was limited only to the broadcasting track fromthe transmitter to receiver set was realized he walks about
examiningthequalityof theradiobroadcast betweenthebasestation, andthestationmovable. It wasaccepted
asthecriterionof thequalitythebit error ratio(BER) duringtheof sendinggivenbroadcasts.
1 INTRODUCTION
Serious difficulties exist solving many questions of
thetheoryof thetelecommunicational movementana-
lyticmethods. Thewayof behaviour canbethesignal
oneof examplesof suchprobleminthebroadcasting
track. Presentedquestionscanreal system, hisphysi-
cal orsimulatingpaternal besolvedbytheobservation.
He complies first method only in the limited range
becauseof highcosts. Heoftenalsowantstobecome
acquaintedthemotiveproprietiesof thesystembeing
just inthebevel of projecting. Youshouldunderstand
thetechniques of solving theproblems consisting in
theobservationduringchanges drawingaheadinthe
dynamicpaternal of thesystembythesimulation.
Thecreationof paternal bringsinmanyadvantages
for theexplorer of thesystem(Filipowicz 1996):
checking the theoretical courts about system,
accomplishment onthemodel of empirical obser-
vationsandextractionfromtheseactionsof logical
conclusionsmakespossible,
theunderstandingof thesystemfacilitates,
hemakes possibletheopinion of themeaning of
thedetails of thesystemand therelationships of
boundarystripthem,
therealizationof theanalysisaccelerates,
he makes up the basis of the opinion of the
advisabilityof themodificationof thesystem,
it is more easily before to manipulate than the
system,
themodel is, inthegeneral case, expensivethethan
systemless.
2 SYSTEM DECT FOR SETSPARAMETERS
Intheaimof designingthesystemof DECT for trans-
shipping terminal, you should execute the suitable
measurements of thefield and theconditions of the
propagation of waves on himand work out on their
basistheproject of thedistributionof thestationbase
RFP so that wheretheranges of thesestations cover
the whole terrain the systemDETC has to function
(J ackowski 2005).Theresultof thisworkingwasintro-
duced on Figure 2.2. Red dots mark points, where
youshouldplacebasestationssothat theytheir range
cover thewholeterrain. For consideredearlier param-
eters andit was affirmedfor thegivenconfiguration
of objects that you should use16 basestations. The
number of thestationprobablyunderwent thechange
after executingspecialist measurements. Theideolog-
ical patternof theproposedsystemwasintroducedon
Figure2.1.
It isthemost suitablesystemtoput earlier param-
eters the multicellular system of the contact radio
Hicom cordless E. The system integrated of wire-
less contact co-operating with central stations ISDN
Hicom300E andHicom300. Thearchitectureof the
systemanddigital broadcast leaningonthestandard
of DECT guaranteethefreecontact inbuildings and
theirsurroundings.StationsbaseRFPareaddedforthe
helpof digital interfacestointegratedwithcentral sta-
tionmodules. Hepossibleisthankstothisprojectsand
carriesout theinstallationof thesystemof theradio,
Figure2.1. Theschemeof thesystemof DECT(ownstudy).
317
Figure2.2. Theplanof thedistributionof basestations andtheir radio ranges inthetrans-shippingterminal (Ku smi nska-
Fijakowska2008).
Figure2.3. BasestationsP-2302HWUDL-P1.
optimumcontact under in relation to costs, area of
rangeandusers(PP) number (Figure2.4). Heassures
apparatus Gigaset 3000 (PP) roaming between vari-
oussystemsandletsusethefunctionof central station
Hicom300/300 E. Systemwill make possible con-
structsconnectionsandreceivingdevelopmentsonthe
wholeterrainthecoveredradiorange.
Base stations create radio mobile phones for the
needsof thewirelesscontactontheareatrans-shipping
terminal. They convert the radio signal on the sig-
nalsof theinterfacesof DECT andWLANintegrated
withcentral stationbaseISDN 300/300E. They can
be reinforced fromher or fromthe external source
of thevoltage. Thelocationof basestationsisdefined
afterexecutingthemeasurementsof thefieldandradio
conditions and worked out on their basis of project
(Figure2.2). (ukasik2007)
Figure2.4. Thewirelessreceiver (PP).
Proposed device (base station) this P-2302
HWUDL-P1(Figure2.3), whichWLAN is equipped
intheinterfaceEthernet 10/100Mbps, workinginthe
standard802.11b/gandtwotheportUSBtheenabling
facilityinthenetof theprinter or memoryof themass
VIPpossessestheintegratedgatewiththebasestation
for thereceiversof DECT (PP).
3 THE SIMULATINGMODEL OF THE
SYSTEM BROADCAST SIGNALSOF
DIGITAL
Thesimulation will beconducted in theprogramme
MatlabSymulink, hewill berealizedonlyfor chosen
hispart.Sheoneself will baseonexaminingthequality
318
Figure3.1. Thepatternof arrangement tothemeasurement of thebit error ratio(ownstudy).
of theradiobroadcastbetweenthebasestation, andthe
movablestation(PP).
The bit error ratio was accepted as the criterion
of thequality duringtheof sendinggivenbroadcasts
(Wesoowski 2003) Thesimulationwill beconducted
for threevariants:
1 Themovablestationisinsidethebuilding.
2 The movable station is beyond the building and
moveswiththemaximumspeedeven5km/h.
3 The movable station is the building outside and
moveswiththeaveragespeedeven20km/h.
Thepatternof themeasuringarrangementof thebit
errorratio(BER) forthechosenpartof thesystemwas
introducedonFigure3.1. Hewill lookfor thevarious
variantsof thesimulation, onlyparametersof theradio
trackwill change.TheeffectDopplerwill notbetaken
into account in first case, and only hums introduced
through channel and phenomenon multiways of the
signal. Thephenomenon Doppler was considered in
thenextcaseforthesetspeed.Thesealonephenomena
will beconsideredinthelastcase, whatinsecondcase
withthis, that thephenomenonDoppler will play the
significant part.
Heis on theentry of thearrangement passed the
randombinary draught fromthegenerator Bernoulli.
Probability of the pronouncement 0 and 1 carries
out 0,5.
The draught crosses from the generator to the
encoder thechannel, which complies to improveor,
what theleast affirmof theexistenceof mistakes in
thebinary sequence. Informativebitsarereplenished
about certain quantity of suitably well-chosen addi-
tional bits 2choseninformativebits beatentheseare
thesumthemodulo. Algebraical dependences come
intobeingamongbitsinthesequenceinsuchwayso
that theerror of someletsonreproducingtheoriginal
sequencebeenuseful fromtheminthisway.Thesignal
issteeredtothemodulator GMSK then. Themodula-
tor isthearrangement generatesthesignal modulate,
whose parameters such as the frequency, amplitude
andbevel arethefunctionpassedonhis entry of the
binary draught. Thanks to what the signal carrying
informationbinaryisplacedintheproperstrandof the
frequency andhas theshapedspectrumsuitably. The
radiosignal afterpassingthroughthechannel grindsin
tothereceiversetwhichconsistsof thesealoneblocks
whatthetransmitter, buteveryblockrealizestheoppo-
sitefunctionthaninthetransmitter.TheblockRician
FadingChannelwasappliedfor firstcaseof thesim-
ulationintheradiochannel.Whitegaussiannoiseadds
blockthisthehumtotheentrancesignal andthemul-
tiways of thesignal takes into account. Onecanskip
thephenomenonDoppler inthebuilding.
The small frequency Doppler was considered in
second pieceof thesimulation in theradio channel.
Simulatingarrangementforthirdcasediffersfromsec-
ondthesethat themaximumshift Doppler carriesout
35Hz (for theof thestationof themovable-cart jacks
evenspeed20km/h), itcarriedoutapprox. 7Hzinthe
previouscasewhere.
3.1 Got results
ChangingthevaluesE
b
/N
0
wasnoteddownthevalue
of the bit error ratio. She was different for various
E
b
/N
0
. Dependenceswhat weregot it wasintroduced
onFigure3.2.
The next stage of the simulation is the measure-
ment of the bit error ratio in dependence fromthe
speedof themobilestation.Thiswasrealizedchanging
thefrequencyDoppler whichanswersthevalueof the
speednear thesolidvalueE
b
/N
0
. Enumeratedspeeds
wereintroducedinTable3.1forthechosenfrequencies
Doppler whichwasusedduringthesimulation.
319
Figure3.2. DependenceBER inthefunctionE
b
/N
0
.
Table 3.1. The counted values of the speed for chosen
frequenciesDoppler.
FrequenciesDoppler Speed
[Hz] [km/h]
0 0,0
5 3,1
10 5,7
15 8,5
20 11,4
25 14,2
30 17,1
35 19,9
43 24,4
47 26,5
48 27,5
60 34,1
4 CONCLUSIONS
Could was the systemof the wireless contact lean-
ingonthisstandarddesign, thehypotheticplanof the
distributionof objectswascreatedontheterraintrans-
shipping terminal. It was considered in thestructure
terminal that thesystemof theexchangeof informa-
tion(DECT) shouldfunctioninsideobjects, inthefree
space(thearticlept. PropagationFEMonareasabout
the folded architectural structure the trans-shipping
terminal) andduringsubscribersmovementmechan-
ical vehicles(GateGantry, Sisu). Wantingapproachto
thedistributionof basestationsontheintroducedplan
trans-shippingterminal analyzepropagationFEMand
qualifytherangesof basestationsinsideobjectshow
andonthefreespace. Introducetheconcreteproject
of the distribution of base stations after qualifying
maximumranges andproposethearchitectureof the
systemof DECT in thetrans-shipping terminal. The
aimof theverificationof thecorrectnessof function-
ing of the proposed system of DECT, the realized
simulationwas introducedintheprogrammeMatlab
Symulink.
Infirstvariantof thesimulationchangingthevalues
E
b
/N
0
wasnoteddownthevalueof thebit error ratio.
She was different for various E
b
/N
0
. Dependences
what were got they are introduced on Figure 3.2.
According to the recommendations of the standard
of DECT the bit error ratio, for E
b
/N
0
=10dB, he
shouldcarryout10
5
, andthesill timberof thereceipt
findsoneself inBER=10
3
(Ku smi nska-Fijakowska
2008). AsonecanreadvaluethisfromFigure3.3for
conditionsinthebuildinghecarriesout approx. 10
5
andtogetherwiththegrowthE
b
/N
0
diminishesquickly.
However for secondcase, i.e. ontheopenspace, the
valueof thebit error ratio grewupconsiderably and
carries out for 10dB 10
4
. This causedtheseis, that
thedistanceof betweenthetransmitter, andheis the
receiver set considerably larger thaninbuildingsand
theworsenedqualityof thereceiptof thedatabecomes.
Third value of the bit error ratio was in the variant
approx. 10
3
.Valuethisinthecomparisonfromprevi-
ousheisconsiderablyworse, but hestill iscomprises
in thefoundations of thestandard. Theresult which
wasgotwascausedthese, thatshewasconsideredthe
maximumfrequency Doppler, whichas youcansee,
thequalityof thebroadcast worsenedconsiderably. It
is also with thephenomenon Doppler connected the
maximumspeedof movablestationsinthesystemof
DECT.
Onecanfindinthefoundationsof thestandardof
DECT, that themaximumspeed of movablestations
320
Figure3.3. DependenceBER inthefunctionof thespeedof themovablestation.
should not cross 20km/h (J ackowski 2005). This
causedtheseis, thatfor suchfluxationhewhichoffers
DECT, shift larger Doppler than35Hz causethat the
bit error ratio is not to theparty by thestandardand
is comprises not in thesill timber of detection. max
the speed of movable stations carries out 10km/h
in the case terminal. On Figure 3.3 was introduced
the dependence of the bit error ratio in the of the
speed of the station movable function. The simula-
tion was conducted for two values E
b
/N
0
=const. In
first casethevalueE
b
/N
0
accept even12dB. As one
cannoticethebit error ratioeven10
3
onFigure3.3
it wasgot for thespeedcarryingout almost 25km/h.
Heis caused this, that therelation of energy falling
onthesinglebit tothespectral thicknessof thepower
of thewhitehumadditiveheisenoughlargeandcan
thankstothisget thelarger speedE
b
/N
0
=10dB was
acceptedincasesecond.Asonecannoticethebiterror
ratioisconsiderablyworseincomparingwiththepre-
vious profilefor every speed. For BER carrying out
10
3
, thespeedof thestationof movablecarries out
approx. 20km/hitwouldbetheOnefromthewaysof
theenlargement of themaximumspeede.g. decrease
of thefluxationof thesystem, likee.g. theenlargement
of E
b
/N
0
. However onecannot dothis, becausestan-
dardthiswascreatedfor theassuranceof thecontact
insidebuildings, andnot for movablestationsmoving
withlargespeeds.
Results what were received, they could insignifi-
cantchangesundergoneartheinvestigationof thereal
system. This wouldbecausedthesethat only several
phenomena what had taken into account during the
simulation they drawahead in real radio tracks. The
receivedresults of measurements fulfil thestandards
of the standard of DECT, he infers fromhere that
thedesigned earlier systemof thecontact will work
accordingtofoundations:
hewill assurethecontinuousunderstandingcontact
ontheareaof thedislocationterminal;
hewill makepossibletherealizationof thedigital
summary contact of the short packets of infor-
mation fromthe any object being on the terrain
terminal;
the sharp the tuning two-way socket will assure
with external users both understanding as and in
thefigureof shorttelegrams, fromtheanyexternal
system;
the information will be exchanged in the system
of the contact protected before the access to her
personsunentitled.
SystemDETC in thetrans-shipping terminal will
bring workers full mobility through shortening the
timeof thereaction, raiseefficiency simultaneously,
reduce costs and enlarging receipts trans-shipping
terminal.
LITERATURE
Filipowicz B.: Stochastic patternel in operating investiga-
tions, WNT, Warsaw1996
J ackowski S.: Telecommunication, cz.1, 2. Technical Uni-
versityof Radom2005
ukasik Z., Ku smi nska A.: Intermodal transportation in
theprocesses of theflowof cargos stageIII, Technical
Universityof Radom2007
Ku smi nska- Fijakowska A.: Modified method of trans-
shippingprocesses of intermodal Units transports inthe
landterminalTechnical Universityof Radom2008
Wesoowski K.: Radiosystemstelecommunicationof mov-
able, WK, Warsaw2003
321
Chapter 8. Manouvering and pilot navigation
8.1
Navigational safetyinSPM (SingleMooringPoint) regions
V. Paulauskas
Klaipeda University, Klaipeda, Lithuania
ABSTRACT: For oil andgastransportationinsomeplacesusedSPM (SingleMooringPoint) system, thisis
locatedintheopenseaandveryoftennotsofar awayfromtheshore. Differencesbetweenthewindloads, waves
andcurrentforcescantakeaplace. Morecomplicateconditionscanbeincaseif FSUisstill inballastandmore
influencehaswindandwavesascurrentandinthesametimetanker inloadedpositionismoreinfluencedbythe
current. Navigational safetyensureinSPMregionsrequestsdeeptheoretical studiesandveryclearunderstanding
of forcesandmoments, whichinfluenceonall thesystem(SPM, FSU, Tanker, tugs), practical implementation
of proper equipment anduseof correct methodsof navigational safety. Inthisarticlethereismadeanalysisof
possiblefailuresandnecessaryactionstoensurenavigational safetyinSPM regions.
1 INTRODUCTION
Navigational safetyinSPM regionsrequest deepthe-
oretical studiesandveryclear understandingof forces
andmoments,whichinfluenceonall thesystem(SPM,
FSU,Tanker, tugs), practical implementationof proper
equipmentanduseof correctmethodsof navigational
safety.
Incaseof FSU or tanker breakout (break towage-
mooring rope) between SPM and FSU or FSU and
tanker, incaseof badweather conditions, wind, waves
and current starts pushing FSU or tanker, or both in
outer forces direction and if this direction will beto
theshoreorothernavigational obstaclesdirection, just
very fast and correct actions must betaken to solve
problematicsituation.
Tugsbollardpull isimportant for theships, which
are using SPM in open sea for the daily operation
andespeciallyfortheemergencyconditions(BS6349,
2003; EAU 2004, 2006). Typical emergency condi-
tions are investigated in cases, when FSU or tanker
has technical problems andis necessary to assist for
theFSU or tanker insafety region. Indifferent situa-
tionsandadditionallyincaseof useof FSUandtanker,
hydrometeorologicallyconditionshasdifferent influ-
ence on FCU and tanker and it requests actions for
preventingaccidentsor other failureproblems.
2 THEORETICAL BASISOF THE
NAVIGATIONAL SHIPSHANDLING
CONDITIONS
Typical emergencyconditionsinSPM regionsmainly
arelinkedwith:
Main engineor rudder failure, weather fromrea-
sonabletogood;
FSU or tanker breakout duringbadweather.
Mentionedconditionsarevery important, because
SPM position is in open seabut very often closeto
navigational obstacles(shoreandshallowwaters) and
it is very important to havecorrect and fast answers
regarding requested bollard pull and time stopping
drift tanker and possibilities towage tanker or FSU
awayfromdangerousplaces.
Theoretical Study was using three the main
methods:
Calculation method on basis Ships Theory
and Ships handling in complicate conditions
(V. Paulauskas, 1999);
Simulation, usedsimulators, suchasSimFlexNav-
igator (SimFlexNavigator Simulator, 2006);
For the checking calculations and simulation
results, to use experimental results fromsimilar
conditions, which take place on other real SPM
places(SPMaccidentsinvestigationresults, 2007).
Calculations were made by methodic, presented
in references (V. Paulauskas, 1994; 1999 and 2004),
andmainly wereorientedonmorecomplicatecondi-
tions, that means acting in one direction with some
angles wind, current and waves, including shallow
water effect.
Simulationswereprovidedwithequalingshipswith
recalculationtoconcreteplanningshipinballast and
loadedandinsamewayonbasismassdifferencescan
madesimulationsandtakentugsforces(bollardpull).
Experimental resultsweretakenfromsimilar con-
ditions, which weremadeby Author or fromknown
references.
Constant wind component, as example, cre-
ate forces, which can be calculate as follows
(V. Paulauskas, 1999, 2004):
325
where:
C
a
aerodynamic coefficient, canbetakenfor such
typecalculationsequal to1orcanbetakenforconcrete
ship, which model was tested in aerodynamic tube,
data;
1
winddensity, for thecalculationscanbetakenas
1,25kg/m
3
;
S
x
windsurfaceareaondiametricdirection;
S
y
windsurfaceareaonmiddledirection;
q
a
windcourseangle;
v
aC
averagewindvelocity.
Periodical forcescanbecalculatedviaacceleration
asfollows:
Finallyperiodical forcecanbeexpressedasfollows:
where:
m shipsmass;
periodof windguess;
a integrationconstant, whichcanbefindas:
Maximumforces, whichcancreateperiodical com-
ponent of thewind, will beincase:
andmaximumperiodical forceswill beincase:
Wavesconstant andperiodical forcescanbecalcu-
latesimilar aswindloadsasfollows:
where:
C
w
waves hydrodynamic coefficient, can betaken
from[1, 2];
water density;
S
w
typical wavesactingsquare;
v
w
wavesspreadingvelocity;
q
w
wavescourseangle.
Waves periodical forces can becalculated similar
aswindperiodical forces, justinformulas(2)(6) itis
necessarytousewavesparameters.
3 PRACTICAL REQUEST FORCES
CALCULATIONS
For the calculations is taken Suez Max tanker with
next main dimensions: DWT 183000 tons; length
max 274m; lengthbetweenperpendiculars 264m;
Figure1. FSU or tanker breakout duringbadweather.
Table1. Wind and waves forces on theSuez Max loaded
tanker, forcesinT.
Windand Windand Windand Windand
waves waves waves waves
Wind course course course course
velocity, direction direction direction direction
m/s 0
30
60
90
5 1 2 3 4
10 4 10 13 15
15 11 26 32 35
20 19 47 61 65
25 30 77 102 115
30 46 120 157 170
width 50m; height (board) 23,1m; draft 17m
(loaded); draft 8m(inballast).
Suez Max shipsother dimensionsinballast: wind
areaS
x
4500m
2
; windareaS
y
1200m
2
; underwater
areaS
/
x
2100m
2
; underwater areaS
/
y
S
/
y 400m
2
.
SuezMaxshipsdimensionsloaded: windareaS
x

2300m
2
; windareaS
y
800m
2
; underwater areaS
/
x

4500m
2
; underwater areaS
/
y
850m
2
.
For the assistance were taken tugs with bollard
pull 450kNand650kNandwereinvestigatedFSUor
tanker breakout duringbadweather andTanker main
engineor rudder failurecases(Fig. 1).
Theoretical calculations results in case of acting
wind and waves on loaded tanker are presented on
table1andfigure2.
In case of FSU or tanker breakout during bad
weather, especiallyFSU, becausenormallytanker can
notbemooredtoFSUduringbadweather, veryimpor-
tant to findweather limitations for theplannedtugs.
ToturnloadedFSUortanker, 65T bollardpull tughas
326
Figure2. Windandwaves forces ontheloadedSuez Max
tankerdependsonwindvelocityandwavesaccordantly(wind
andwavesdirectionsarethesame).
nolimitations, 45T bollardpull tughaslimitationsfor
theFSUor tanker inballast: windupto18m/s, waves
upto3,5m.
Incaseof FSU or tanker breakout (break towage-
mooring rope) between SPM and FSU or FSU and
tanker, incaseof badweather, wind, wavesandcurrent
startpushFSUor tanker inactingforcesdirectionand
if thisdirectionorientedtonavigational obstacles, just
veryfastandcorrectactionsmustbetakentosolvethe
problem. Tugs possibilities incaseof loadedFSU or
tanker areshownonfig. 2(greenlinefor 65T bollard
pull tugandbluelinefor tug45T bollardpull tug).
4 REQUEST FOR NAVIGATIONAL REGION
RECEIVEDBY CALCULATIONSAND
SIMULATORTESTINGS
Requestfornavigational regionforthetankersmaneu-
vering after breakout mooring rope in case tanker
reachsomedrift speedreceivedby theoretical calcu-
lationswerecheckedby simulator andreal datafrom
SPMaccidentsituations.All resultswerereceivedvery
similar.
Simulations were made on visual simulator with
possibility to simulate ship, tugs and sailing condi-
tions. Simulationsmadefortheemergencyconditions,
in case, when mooring rope has broken and tanker
reacheddriftspeedupto4knotsbeforestartingtowage
operation by tug. Simulations results for the loaded
tanker driftinginfirst stagebeforetugstartedtowage
at thespeedabout 4knots, presentedonfigure3by
65T bollardpull tugandfor theloadedtanker by45T
bollardpull tugsimulationresultsinthesamecondi-
tionsareshownonfigure4andtowageparametersfor
45T bollardpull tadareshownonfigure5.
Calculation and simulation results were checked
with availableexperimental (real) results in Butinge
terminal (Lithuania), Petrol BalticSPM(inBalticSea)
and in other places in which used SPM. Correla-
tionbetweencalculation, simulationandexperimental
Figure3. Loadedtanker and65T bollardpull tugway for
thestopping and later towagetanker (beforetowagetanker
driftspeedreached4knots): wind20m/s; waves4m, current
0,5knotsintothesamedirection(toE).
Figure4. Loadedtanker and45T bollardpull tugway for
thestoppingandlatertowagetanker,onfirsttankerdriftspeed
1,5knots: wind20m/s; waves4m, current0,5knotsintothe
samedirection(toE).
results arevery good and it has shown that calcula-
tion methodology, prepared by author and explained
inthis paper, canbeusedonfirst stagefor thefore-
castingsituationtouseSPM, request for navigational
region, minimal tugsbollardpull andother details.
5 CONCLUSIONS
1 Methodology, presented in this paper can beused
for theSPM conditions evaluationandforecasting
327
Figure 5. Loaded tanker and tug movement parameters:
Time00.00 speed1,5knots;Tankerstoppedby45T bollard
pull tugandkeeppracticallyinthesameplace;Towagespeed
at theendof theprocessreaches0,3kn.
requests for navigational region, tugs bollardpull,
dependsontankersor FSU parameters.
2 Combinationof thecalculationmethods, simulation
possibilitiesonnavigational simulatorsandcheck-
ingbyreal data, couldbethemainwayforreceiving
good quality results and for preparation of SPM
workandemergencyprocedures.
3 In caseof failureFSU or tanker engineor rudder
system, strong enough tugs can take precautions
measures in advance, stopping on navigational
regiontankerdriftingorFSUandtowageawayfrom
navigational dangerousplaces.
4 Theoretical methodsareveryimportantduringplan-
ningof SPMandnavigational regionsaroundSPM,
selectionof themainelements intheregion, such
as minimal tug bollard pull, tugs maneuverability,
ways in different conditions for thetowagetanker
or FSU awayfromnavigational dangerousregions.
REFERENCES
1. BS 6349-1: 2000 British Standard Maritime
Structures Part1: Codeof Practicefor General Criteria
(BritishStandardInstitution, J uly2003)
2. EAU 2004: Recommendations of the Committee for
Waterfront Structures Harbours and Waterways
(Ernst & Sohn, 2006)
3. PaulauskasV. 1994. Shipssteering. Klaipedauniversity
publishhouse, Klaipeda, 164p.
4. Paulauskas V. 1999. Ships steering in complicatecon-
ditions. Klaipeda university publish house, Klaipeda,
184p.
5. Paulauskas V. 2004. Port terminals planning. Klaipeda
universitypublishhouse, 382p.
6. SimFlex Navigator Simulator, 2006. ForceTechnology,
Denmark.
7. SPM accidents investigation results, 2007, (Butinge
terminal).
328
8.2
Identificationof shipmaneuveringmodel usingextendedKalmanfilters
C. Shi, D. Zhao, J. Peng& C. Shen
Merchant Marine College, Shanghai Maritime University, Shanghai, China
ABSTRACT: Shipmaneuveringmodels arethekeys totheresearchof shipmaneuverability, designof ship
motioncontrol systemanddevelopment of shiphandlingsimulators. For various frames of shipmaneuvering
models, determiningtheparametersof themodelsisalwaysatedioustask. Systemidentificationtheorycanbe
usedtoestablishsystemmathematical modelsbythesystemsinputdataandoutputdata. Inthispaper, basedon
theanalysisof shiphydrodynamics, anonlinear model frameof shipmaneuveringisestablished. Systemidenti-
ficationtheoryisemployedtoestimatetheparametersof themodel.AnalgorithmbasedontheextendedKalman
filter theoryisproposedtocalculatetheparameters. Inorder togainthesystemsinput andoutput data, which
is necessary for theparameters identificationexperiment, turningcircletests andZig-zagtests areperformed
onshiphandlingsimulator andtheinitial dataiscollected. BasedontheFixedInterval KalmanSmoothingalgo-
rithm, apre-processingalgorithmisproposedtoprocesstherawdataof thetests. Withthisalgorithm, theerrors
introducedduringthemeasurement processareeliminated. Parametersidentificationexperimentsaredesigned
toestimatethemodel parameters, andtheshipmaneuveringmodel parametersestimationalgorithmisextended
to modify theparameters being estimated. Then themodel parameters and theship maneuvering model are
determined. Simulationvalidationwascarriedouttosimulatetheshipmaneuverability. Comparisonshavebeen
madetothesimulateddataandmeasureddata. Theresultsshowthat theshipmaneuveringmodel determined
by our approachcanseasonably reflect theactual motionof ship, andtheparameter estimationprocedureand
algorithmsareeffective.
1 INTRODUCTION
Shipmaneuveringmodelsarethekeystotheresearch
of shipmaneuverability, designof shipmotioncontrol
systemanddevelopment of shiphandlingsimulators
(Shi etal 2006). For variousframesof shipmaneuver-
ingmodels, determiningtheparametersof themodels
isalwaysatedioustask. Theusual approachtodeter-
minetheshipmodel parametersistheshipmodel test.
Shipmodel test isareliableandaccuratemethodfor
thispurpose.Thetestis, however, expensiveandtime-
consuming, and usually dependent on somespecific
model frame, whichlimitstheapplicationof thevalu-
abledata(Li 1999). Systemidentificationtheory can
beusedto establish systemmathematical models by
thesystemsinputdataandoutputdata.Andithasbeen
effectivelyusedinthefieldsof spacetechnology(Lacy
et al 2005), roboticengineeringandunderwater engi-
neering(Liuet al 2002). Variousmethodologieshave
beenemployedfor systemidentificationtasks, which
include neural network (Narendra & Parthasarathy
1990), wavelet analysis (Shi et al 2005), andgenetic
algorithm(Nyarko & Scitovski 2004). Most of the
*Theresearchworkinthispaperispartiallysponsoredbythe
Shanghai LeadingAcademicDisciplineProject (grant num-
ber: S30602), and theHi-Tech Research and Development
Programof China(grant number: 2007AA11Z249).
methodologies prove quite effective with the linear
systemidentification.
To most applications, thelinear shipmaneuvering
modelspresentlimitationsbecauseof lackof accuracy.
TheKalmanfilter is anefficient recursivefilter that
estimatesthestateof adynamicsystemfromaseries
of noisy measurements (Kalman 1960). It is ableto
providesolutions to what probably arethemost fun-
damental problems in control theory. The extended
Kalman filter (EKF) is the nonlinear version of the
Kalman filter and is often considered the de facto
standard in the theory of nonlinear state estimation
(Leondes et al 1970). EKF is widely used in areas
of state estimation, object tracking and navigation
(Beides& Heydt 1991, Farinaet al 2002).
Base on EKF and augmented state equation, this
paper intended to tackle identification of non-linear
shipmaneuveringmodels.
2 EQUATIONSOF SHIP HORIZONTAL
MOTION
Two coordinates are set for the description of ships
horizontal motion, asshowninFigure1. E is
the space coordinate, and the plane E lies on the
water plane. Ox y is the ship coordinate. Plane
Oxy isparallel toE.Theoriginof thecoordinate, O,
329
Figure1. Shipshorizontal motioncoordinates.
isattachedontheshipscenter of gravity. It issoori-
entedthat Ox is alignedwith ships foreandaft line
withforwardas positivedirection, andOy is aligned
abeamand with starboard sideas positivedirection.
Let U beshipsvelocity, and bethedrift angle.
Thenthemotionequationsof shiponwater surface
canbeestablishedas,
Where x(t)=[u(t) v(t) r(t)]
T
, s(t)=[(t) n(t)]
T
,
H =I
33
, f =[f
1
f
2
f
3
]
T
. And u denotes ships lon-
gitudinal velocity, v, thelateral velocity, r, theturning
rateof ships heading, , therudder angleandn, the
propeller RPM.
Basedonthestandardstateof thestraight motion
of ship with constant speed along x axis, the func-
tions f in Equation 1 can be expanded into Taylor
series. Compromisingtheaccuracy of themodesand
thecomplexityof thecomputationof parameter iden-
tification, only arethesecondandlower order series
preserved. Further assumptionsaremadethattheship
is symmetrical with x axis and nearly symmetrical
with y axis, and that the origin of the coordinate of
shipmotionisonthegravity center of theship. With
theseassumptions, someof thepartial derivatives in
theTaylor serieswouldbezerosandtheequationscan
befurther simplified. Becausethelongitudinal resis-
tance is proportional to u
2
, the zero order, the first
order and the second order items of u can be com-
binedandrepresentedas a
1
u(t)
2
(Li 1999). Thenwe
have,
Wherea
i
(i =1, 2, . . . , 9),b
i
(i =1, 2, 3, 4),c
i
(i =1, 2, 3)
aretheparametersof themodel.Theidentificationtask
istodeterminetheseparameters.
3 CALCULATIONOF MODEL PARAMETERS
USINGEKF
In order to identify the parameters, a
i
, b
i
and c
i
, of
shipmaneuveringmodel, theextendedKalmanfilter
(EKF) algorithmis employed. Theparameters of the
model are also taken as the state variables and then
theaugmentedstatespacecontainsthemodel param-
etersaswell astheoriginal statevariables. Hence, the
augmentedstateequationcanbeestablished.Ouralgo-
rithmof parameter identificationisbasedontheEKF
methodandtheaugmentedstateequation.
Taketheparameters, a
i
, b
i
andc
i
, inEquation2as
statevariables andexpandEquation1, thentheaug-
mentedstateequationandtheobservationequationare
establishedas,
where
Equation3canbediscretizedandtransformedintothe
followingdiscretenon-linear statefunction,
Where s
m
(k) denotes the average value of sampled
values of inputs at T(k) andT(k 1). T is thesam-
plingperiod. (k) ande(k) arewhitenoiseserieswith
variancesof Q andR, respectively. And,
Where,
By Equation4, wehavethefollowingEKF recursive
equations,
330
Where:
By the recursive Equation 5, the filtered vector,
x
a
(k), of theaugmented stateequation (Equ. 4) can
becalculated. Thereby theestimated model parame-
ters, a
i
, b
i
andc
i
, aredetermined. Andhencetheship
maneuveringmodel canbeestablished.
4 IDENTIFICATIONPROCEDURESAND
VALIDATIONANALYSIS
Shiphandlingsimulator isusedtoperformtheidenti-
ficationexperiment. Thereareseveral advantages by
usingthedataretrievedfromtheshiphandlingsimula-
torsfor theidentificationpurpose. Firstly, simulators
canprovidethedataof shipmotionwithout interfer-
ence of external factors such as the effect of wind
and current. Secondly, accurateship parameters and
maneuveringcharacteristicareprovided. Andthirdly,
ideal environmental conditions, e.g., uniformwater
depth, canbeset withtheoperational areas.
4.1 Data preprocessing
To get the raw data, Zig-zag test is performed with
ashiphandlingsimulator. Thedataarerecordedwith
sampling period T =2s. Therecorded dataare: ship
position, s
, s
, inspacecoordinate, shipsheading,
rudder angle and propeller RPM n. Other data
needed, such as ships longitudinal speed u, lateral
speedv, andrateof turnr, canbededucedfromthe
recordeddata.
Let s
bethedisplacement of shippositiononE,
andu
, a
bethespeedandaccelerationrespectively,
which can be calculated using s
. The ship motion

along E can be described by the following state
equationandobservationequation,
Where,
And(k) isthewhitenoiseserieswithzeromeanand
varianceQ,
n(k) isthewhitenoiseserieswithzeromeanandvari-
ance
2
R
, a
istheaccelerationof theshipmotionalong
E, and
2
a
isitsvariance. istheoperationparameter
andT isthesamplingperiod(T =2s). ByEquation6,
wehavethefollowingrecursiveequationsof Kalman
filter.
andthesmoothingequationsfor fixedintervals,
Theinitial conditionsfortherecursiveKalmanfilter
are,
Andtheinitial conditionfor fixedinterval smooth-
ingis,
Bytheoptimal smoothedvector x(k[N), theships
velocityalongtheE axis, u
, canbecalculated.
With similar approaches, the ships velocity u
alongtheE axiscanbecalculatedfromthedisplace-
ment, s
, on theE axis. Therateof turn, r, can be

calculatedusingshipsheading, .
Theshipsmotionspeedis,
Andthecoursemadegoodis,
Andthenshipslongitudinal andlateral velocitiesare,
Where isthedriftingangle, = .
Bythepreprocessingof therawdataof shipmaneu-
veringtests, wegetthesmootheddata, , n, u, v andr,
whichcanbeusedfor model parameter identification.
Figures 2 and 3 illustratetherateof turn calculated
fromtherawdataandthesmoothresult, respectively.
331
Figure2. Rateof turncalculatedfromrawdata.
Figure3. Smoothedrateof turn.
Table1. Result of parameter identification.
Param Value Param Value
a
1
1.434710
4
a
2
5.485710
1
a
3
5.070310
2
a
4
7.817410
6
a
5
2.413110
1
a
6
2.096810
4
a
7
1.752110
4
a
8
3.816310
5
a
9
3.853610
6
b
1
1.751110
1
b
2
3.321510
2
b
3
2.150810
4
b
4
3.12510
2
c
1
1.898810
2
c
2
2.255510
2
c
3
1.962710
4
4.2 Parameter identification
Withtheaugmentedstatespace, themodel parameters
in the discrete state equation, Equation 4, are iden-
tified. In our experiment, the initial conditions for
recursiveEquation5areset as,
P(0)=I, where=10
5
andI, 1919identical
matrix
Table1showstheresult of theidentification.
Figure4. Convergenceof theparametersa
1
.
Figure5. Convergenceof theparametersb
2
.
Figure6. Convergenceof theparametersc
1
.
4.3 Convergence and verification of
the parameters
Intheexperiment, theparametersconvergedquitewell
after 200 recursive steps. The convergence status of
someof theparametersareshowninFigures46.
Usingtheidentifiedparameters, a
i
, b
i
, c
i
, thenon-
linear maneuvering model of the target ship can be
established. We verify the identified model by per-
forming standard maneuvering tests such as turning
332
Figure7. Headingcomparisonin20/20Zig-zagtest.
Figure8. Speedcomparisonin20/20Zig-zagtest.
circletest, spiral test, zig-zagtest, etc., andcompare
theresults. Figure3showsthecomparisonof theships
headings of zig-zagtests of theidentifiedmodel and
thetarget ship. Figure3isthespeedcomparison. The
comparisonof theturningcircletestsisillustratedin
Figure4, together withtheerrorsof itselementslisted
inTable2. Fromtheseresults it canbeseenthat the
model output agreesquitewell withthat of thetarget
ship. Simulationtestsshowthattheshipmaneuvering
model establishedby our approachcanrepresent the
shipmaneuveringwithreasonableaccuracy.
5 CONCLUSIONS
Basedontheanalysis of shiphydrodynamics, anon-
linearmodel frameof shipmaneuveringisestablished.
Systemidentificationtheory is employedtoestimate
theparameters of themodel. An algorithmbasedon
theextendedKalmanfilter theory isproposedtocal-
culate the parameters. In order to get data samples
for theparameters identificationexperiment, turning
circletestsandZig-zagtestsareperformedonshiphan-
dlingsimulatorandtherawdataiscollected. Basedon
Figure9. Turningcirclecomparison.
Table2. Errorswithturningcircletest.
Items Measured Simulated Error(%)
Advance 790.0 805.0 1.90
Transfer 500.0 525.0 5.00
Diameter 980.0 978.0 0.20
theFixedInterval KalmanSmoothingalgorithm,apre-
processing algorithmis proposed to process theraw
dataof thetests. Withthisalgorithm, theerrorsintro-
ducedduringthemeasurementprocessareeliminated.
Parametersidentificationexperimentsaredesignedto
estimatethemodel parameters,andtheshipmaneuver-
ingmodel parametersestimationalgorithmisextended
to modify the parameters being estimated. Then the
model parametersandtheshipmaneuveringmodel are
determined. Simulationvalidationwas carriedout to
simulatetheshipmaneuverability. Comparisonshave
beenmadeto thesimulateddataandmeasureddata.
The results show that the ship maneuvering model
determinedbyourapproachcanreasonablyreflectthe
actual motionof ships, andtheparameter estimation
procedureandalgorithmsareeffective.
REFERENCES
Beides, H.M., G.T. Heydt, 1991, Dynamic State Estima-
tion of Power SystemHarmonics Using Kalman Filter
Methodology, IEEETransactionsonPowerDelivery, 6(4):
16631670
FarinaA. et al, 2002, TrackingA BallisticTarget: Compar-
ison of Several Nonlinear Filters. IEEE Transactions on
AerospaceandElectronicSystems, 38(3): 854867.
Kalman, R.E., 1960,A NewApproachtoLinearFilteringand
PredictionProblems. Transactions of theASME-J ournal
of BasicEngineering, 82(D): 3545
333
Lacy, S.L., etal, 2005, SystemIdentificationof SpaceStruc-
tures. 2005AmericanControl Conference, 4:23352340
Leondes,C.T.etal,1970,NonlinearSmoothingTheory.IEEE
TransactionsonSystemsScienceAndCybernetics, 6(1):
6371
Li, D., 1999, Shipmotionandmodeling, HarbinUniversity
Publication, Harbin.
Liu,J.,etal,2002,Applicationof ML toSystemIdentification
for Underwater Vehicle, J ournal of MarineScienceand
Application, 11(1): 2125
Narendra, K.S., K. Parthasarathy,1990, Identification and
Control of Dynamical Systems UsingNeural Networks.
IEEETransactionsonNeural Networks, 1(1):427
Nyarko, E.K., R. Scitovski, 2004, Solving the Parameter
Identification Problem of Mathematical Models Using
Genetic Algorithms. Applied Mathematics and Compu-
tation, 153(3): 651658
Shi, C., et al, 2006, Collaboration to Enhance Develop-
mentandApplicationof ShiphandlingSimulators, in12th
IAINWorldCongress/ 2006Internatioansymposiumon
GPS/GNSS. J eju, Korea: 459464.
Shi, H, etal, 2005. ImprovedSystemIdentificationApproach
UsingWavelet Networks. J ournal of Shanghai University
(EnglishEdition), 9(2): 159163
334
8.3
Estimatingmanoeuvressafetylevel of theUnityLinem/f
Polonia ferryat theport of Ystad
A. Kowalski
Unity Line Ltd., Szczecin, Poland
ABSTRACT: Brieflycharacteristicof m/f Poloniaferryhasbeenpresented. FortheportofYstad, topograph-
ical, hydroandmeteorological conditions havebeendescribed. Moorings of thePolonia ferry at theport of
Ystadhavebeendiscussed. Researchesbasedonexperts questionnaireandstatistical methodsof analyseshave
beenexemplified. Finallytherearesomeconclusionsconcerningimprovementsof ferriesmanoeuvressafety.
1 INTRODUCTION
Estimating moorings manoeuvres safety level is a
basicproblemundertakenintheprocedureof manoeu-
vreplanning. Captainor Pilotmanoeuvringthevessel
needstotakeintoconsiderationthevertical andhori-
zontal restrictionsof thenavigatingarea.Duringvessel
manoeuvre process it is necessary to take also into
consideration other important factors such as hydro
meteorological conditions, equipmentandstandardof
technical maintenanceof thevessel, deck andengine
crewqualifications, theconditionof navigational aids
of thenavigational area, theintensityof vessel traffic
andthequalityof local Vessel TrafficService.
Researchesevaluatingthelevel of safetymoorings
manoeuvres of them/f Polonia ferry at theport of
Ystadbasedonexperts questionnairehavebeencar-
riedout. Researches of manoeuvres only onevessel,
verifiedduringmorethan10years of experience, at
only one port give the chance to reject influence of
factors others thanselectedinhypothetical question-
naire. Researches were conducted for the following
variables: forceand direction of wind, visibility, day
and night manoeuvres. Additional variable has been
introduced: manoeuvres done with or without Ferry
Nautical Anti-collisionSystem(FNAS) specialized
equipment typeof ElectronicNautical Chart. Experts
asked in questionnaire were captains with manoeu-
vringexperienceof m/f Polonia. Everyoneof them
wasaholderof suitablepilotexemptioncertificate. 16
expertscompletedandreturnedthequestionnaire.
Figure1. Viewof m/f Polonia.
2 OBJ ECT ANDPLACE OF RESEARCHES
Unity Linem/f Polonia ferry was built in 1995 at
NorwegianShipyardLangstenSlip&Batbyggeri A/S
inTomfjord. Sheis modern passenger rail car ferry,
especially designedfor

Swinoujscie Ystadservice.
Theferry is berthedat Ystads rail ferry Standno 4.
Belowaresometechnical andmanoeuvredataof m/f
Polonia:
over all length169,9m, breadth28m, GRT 29875;
4 main engines Stork-Wartsila type each 3960, kW
clutched in twos, each pair driveoneof two con-
trollablepitchpropeller;
behind each of propeller double, Becker type flap
rudder issituated;
3 bow thrusters, 1 stern thruster, each 1600 kW
Brunwoll SPA-VP type;
summer draft 6,2 mcorresponding to wind pressure
area3250m
2
;
4navigational radars, first radar aerial is situatedon
thebow, secondonstern, lasttwoareonradar mast
abovewheelhouse.
M/f PoloniaisequippedwithFerryNautical Anti-
collisionSystem(FNAS).FNASisakindof Electronic
Nautical Chart (ENC) with some function specially
designedfor pilotspassagesandmanoeuvres.
Onthebridgeinacentre, mainferry controls are
located. M/f Poloniaalwaysberthsportsidefor this
reason on bridgeport wing additional ferry steering
andmanoeuvringcontrol equipmentarelocated. Main
controls arejoysticks of both controllablepitch pro-
pellers, coupled in one joystick which control three
bow thrusters, another one for stern thruster, hand
wheelsfor eachmainrudderswithpossibilityof syn-
chronizedoperation. OnsteeringconsoleFNASLCD
monitor ismounted. Aboveit isthemonitor of ships
internal TV systemwithaselectedviewof ferryarea.
PortofYstadislocatedonthesouthernBalticcoast
of Sweden. Duetoitslocationtheportiswell sheltered
fromnortherly winds, but is fully exposed to winds
335
Figure2. Viewof m/f Polonia manoeuvringcontrols on
port sidewing.
Figure3. Nautical chart of Ystadandapproaches.
[BA Chart, UKHO].
fromsouthern directions. Force of easterly winds is
only a little reduced due to port location on south-
easterncape.Ystadportisrelativelywell securedfrom
westerly winds. The inner port area has additional
protection fromwest by high grain silos and ports
buildingsalongthewesternquay VastraKajen.
M/f Poloniawasdesignedasmaximumsizeferry
for berthingat rail standno4. Thenfor summer draft
6,2m, the ferry has only 0,5mdraft reserve. At the
port water level is changing according to the same
rulesasall south-westernBaltic. Whenstrongwindis
blowingfromsouthernandsouth-westerndirections,
water level is rapidly falling down to 1 meter below
Figure4. Meanvaluesof windoccurrenceformgivendirec-
tionsfor eachquarter of year.
[dataUKHO, BSH].
mean water level. In this hydro and meteorological
conditions during powerful manoeuvres of own pro-
pellersandthrusterstheshallowwatereffectisof great
importance.
3 MANOEUVRINGOF THE FERRY M/F
POLONIA INYSTAD
Duringmulti year operationof theferry, methods of
manoeuvres werestandardized and optimized. Since
theferrywasproperlydesignedfor the
Swinoujscie
Ystadline, for thechangedhydroandmeteorological
conditionsmanoeuvringstrategywill notbechanged.
Only someadjustmentsof settingsfor propellersand
thrusterswill benecessary.
Based on captains experience, some stages of
manoeuvresof m/f PoloniaatYstadwereseparated.
Criteria of manoeuvres division was the goal done
on each separate stage. 8 stages for entry manoeu-
vres and5for departurewereobtained. Thetableon
figures5.1and5.2showmanoeuvresdivisionplacedat
expertsquestionnaireincludingeventsdiscriminating
thestages.
Scaleof difficultyandcomplicationof manoeuvres
caneasily estimatebasedontheferry speedoneach
stageof mooring.Whenpassingtheouterheads(110m
distancebetweenheads) speedisabout10,5kts, inthe
innerheadsabout7kts.Atthebeginningof slowdown
at themoment of reversingtheenginespeedisabout
5,5kts and at this speed on adistanceof 130m, the
ferrystopsandcontinuesleftsideturning.Inverygood
hydrometeorological conditions at windforce0m/s,
the ferry passes concrete elements of ports infras-
tructureonthedistanceof 2025m. Thedistancesto
piersandbreakwatersarereducedrapidly simultane-
ously with thedeterioration of hydro meteorological
conditions.
336
Figure5.1. Examplesof expertsenteringquestionnaire.
Figure5.2. Examplesof expertsdeparturequestionnaire.
4 EXPERT RESEARCHESOF MOORING
SAFETY
Researches werebased on anonymous questionnaire
revered directly to respondents. Every respondent
received12sheetswithrelevantquestions. Eachques-
tionnaireconsistsof enteringordeparturemanoeuvres
tables, sameas onfigures 5.1and5.2withplacefor
individual answer for every stageof manoeuvresand
for changeableconditionsof manoeuvres.
Scaleof opinionwasinteger number startedfrom1
for veryeasymanoeuvreto10for veryriskymanoeu-
vrebut still feasiblewith acceptablelevel of risk. If
the level of risk exceeded acceptable level experts
wereaskedtousemarkXinsteadof integernumber.
Initial conditions were: day, no wind, goodvisibility
andmanoeuvresdonewithoutsupportof FNAS. Next
theopinionconcerningthefollowingconditions was
estimated:
night manoeuvres;
visibility0,2Nmand50m;
windE 5m/s, E 15m/s, E 25m/s;
windW5m/s, W15m/s, W25m/s;
windS5m/s, S15m/s, S25m/s;
manoeuvresdonewithsupport of FNAS.
Minimized to 3 levels only the wind and visibil-
ityvariableweretakenintoconsideration. Recognized
thatadditional levelswill generatenon-sharpandsub-
jective component to opinions. 4Nmsuggest good
visibility. 0,2Nmmeanbadvisibility onlythenear-
estareaaroundtheferryisvisible, navigational marks
andaidsarenotvisible.Verybadvisibility50m pos-
sibleonlyaviewof thewater belowconningposition.
Sternandamidshipsarenotvisible. Earlier researches
reveal that critical forceof thewindfor m/f Polonia
ferryis27m/s. For thisreasonthefollowinghasbeen
assumed:weakwindforceas5m/s,strongwind15m/s
and very strong wind force 25m/s. 3 directions of
the wind has been selected: W, S, E. Choice of this
directionrespectsnotonlytheoccurrenceof thewind
accordingto fig4but also exposedtheport areafor
windsfromtheselecteddirections.
5 ANALYSISOF SELECTEDRESULTS
OF RESEARCHES
For all conditions covered by 12 questionnaires, as
anticipated, no expert estimated any stage of the
manoeuvreasriskthat will exceedacceptablelevel.
Onceagainwell-calculatedcritical forceof thewind
for m/f Polonia ferry 27m/swasconfirmed.
Selected results of researches are shown on
figures6, 7, 8. For eachresultwascalculatedrangeof
meansafetylevel with0,95probabilityandpassedtest
of normality distribution. For eachstageof manoeu-
vres and for each variable difference of average
estimateof safety level wastestedby t-test pre-test
post-test for astandardsignificant level 0,05. Accep-
tanceof zero hypothesis means no changes insafety
level opinionsdespitechangesof visibility, forceand
directionof wind, night anddaytime, usageof FNAS.
Rejectionof zerohypothesismeanschangesinexperts
opinion.
5.1 Entering and departure daytime manoeuvres
with restricted visibility. No wind
For daytime, at no windconditions, oneachstageof
manoeuvres with variable described as visibility for
every stage, zero hypothesis was rejected. For each
stage of manoeuvres, along with decreasing of vis-
ibility deterioration of experts opinions concerning
safety level was observed. Approaching manoeuvres
337
Figure 6. Results of experts opinions for manoeuvres
duringrestrictedvisibilitywithout theuseof FNAS.
wereestimatedaslesssafethandeparturefromYstad.
Regardless of the kind of manoeuvres at visibility
reduced from4Nmto 50m, 34 time reduction of
estimated safety level was observed. That means
stronginfluenceof restrictedvisibilityonmanoeuvres
safety.
5.2 Entering and departure daytime manoeuvres
with restricted visibility with FNAS in use. No
wind.
At good visibility of 4Nm, the average estimate of
safety level varies from 1 to 2. Except for entry
manoeuvres no 4and5, thezero hypothesis was not
rejected. For 4th and 5th manoeuvres at these con-
ditions a dozen or so improvement of safety was
observed when FNAS was in use. This manoeuvres
wasestimatedasamostdifficult. For thebestpossible
hydrometeorological conditions, usageof FNAS can
alsoimprovesafetyof manoeuvres.
Forbadvisibilityof 0,2Nmformanoeuvreswithout
FNAS, averageexperts opinions do not exceed4.
When FNAS was in use at the same visibility con-
ditions, 50percent increaseinsafety was observed.
Thatwasobservedfor all kindsof manoeuvresexcept
entry no 7 and 8 whereferry directly approaches to
thequay andkeeps contact withfender moves along
standno 4. For thesestages sight distanceof 0,2Nm
enables sufficient level of visibility for execution of
safetymanoeuvres.
At very bad visibility up to 50 m, themost diffi-
cult stages wereestimatedupto7. For all kinds of
enteringanddeparturemanoeuvrestheaveragesafety
level wasimprovedabout50percentwhenFNASwas
Figure 7.1. Results of experts opinions on entering
manoeuvresinrestrictedvisibilitywithout FNAScompared
tomanoeuvreswithFNAS.
inuse. Inthiscircumstancesaveragesafetylevel does
not exceed5.
5.3 Daytime manoeuvres. Easterly wind. Good
visibility
Average experts safety opinions for easterly wind
force0m/s 5m/s, 5m/s 15m/s, 15m/s 25m/s
werecompared. For every stagezerohypotheseswas
rejectedexcept enteringmanoeuvresno6and8when
comparedeasterlywind0m/s 5m/s. Duringstageno
6weakeasterlywindnotdisturbmanoeuvre. Forstage
8whenferry keepscontact withfendersonquay and
movesalongstandno4, theweakoppositewindnever
disturbs theprogress. For all estimated, manoeuvres
at easterly windweredescribedas theleast safe. For
themost difficult entrystagesno4, 5, 6, 7sometimes
levels10appear thelastacceptablesafetylevel. But
taken this into consideration only for entry manoeu-
vresstageno5averagelevel exceeds9attheeasterly
wind25m/s.
338
Figure 7.2. Results of experts opinions on departure
manoeuvresinrestrictedvisibilitywithout FNAScompared
tomanoeuvreswithFNAS.
6 CONCLUSIONS
The paper presents selected results of experts
researchesbasedonquestionnaire.
Bytheexperts researches, itispossibletoestimate
of themooringmanoeuvressafetylevel.Thedifference
averageof safety levels for consecutivemanoeuvres
confirm the correct division entry manoeuvres for
8 stages, and departure manoeuvres for 5 stages.
According to results of researches, themost danger-
ous manoeuvring conditions are during the 25 m/s
windwhensafety level appears 10 thelast accept-
ablesafetylevel. For strongwinds15m/sandduring
50mrestrictedvisibility, experts opinionsaresituated
at thecenter of safetyscale.
Duringanykindof restrictedvisibilitywhenFerry
Nautical Anti-collision System(FNAS) was in use,
improvementonsafetyabout50percentwasobserved.
Manoeuvres done with support of FNAS always
Figure8. Resultsof experts opinionsonmaneuversduring
easterlywinds.
improvesafety level. Researches wereconducted on
theferries,wherepersonsmanoeuvringthevessel have
excellent theoretical and practical knowledge about
sailingareas. Presumably, whenthevessel ismanoeu-
vring on the less known areas, improvement of the
safetylevel shouldbemoreeffective.
Carryingout theexperts questionnaireresearches,
it is possibleto establish objectively hydro meteoro-
logical conditions for selectedandsatisfiedmanoeu-
vres safety level. Researches may be used for risk
management at shipping companies. Additionally
results of researches may beusedfor planningships
operations during extremehydro and meteorological
conditions.
REFERENCES
AyyubB.M. 2001Elicitationof Expert Opinionsfor Uncer-
tanityandRisks, CRC PressLLC, BocaRaton.
Gucma, S. 2001. In zynieriaruchumorskiego. Gda nsk: Okre-
townictwoi

Zegluga.
Gucma S., Kowalski A., Do swiadczalna metoda oceny
zdolnosci manewrowychcumowaniapromwmorskich.
International ConferenceTheRoleof NavigationI Sup-
portof HumanActivityatSea NAVSUP2006, Gdynia
2006.
339
8.4
Conceptual model of port securitysimulatingcomplex
(BulgarianStandpoint)
B. Mednikarov& N. Stoyanov
N.Y. Vaptsarov Naval Academy, Varna, Bulgaria
K. Kalinov
G.S. Rakovski Defence and Staff College, Sofia, Bulgaria
ABSTRACT: Usingmodelingandsimulationshasestablisheditself asthemosteffectiveapproachof preparing
personnel engagedwithcrisismanagement, includingthetrainingof portsecurityresponsiblepersonnel. Onthe
backgroundof presentingtheoverall methodology of transformingBulgarianHarbour ProtectionSystem, the
paper formulates aset of requirements for port security relatededucationandtrainingandproposes ageneral
model of asimulatingcomplexsupportingtheeducationandtrainingprocess.
1 INTRODUCTION
There is no doubt that modeling and simulations
(M&S) has no alternative in the modern education
andtraining(E&T). Theport security E&T is not an
exception.
Theprocess of elaborating aconceptual model of
portsecuritysimulatingcomplexinBulgariacoincides
withtheprocessof transformingtheHarbour Protec-
tion System(HPS). In addition to the concomitant
problems, this coincidence causes a positive oppor-
tunity toavoidadjustment of anexistingsimulating
systemto a new HPS realization and to elaborate a
M&S complex simultaneously with thethat is to be
modelled.
2 BULGARIANPORT SECURITY SYSTEM
When elaborating a variant for optimization of the
Bulgarian HPS, we took into account two types of
considerations.
Thefirstgroup, namedscientific considerations,
isadirectresultof thetheoretical analysisof thesecu-
ritysystemsasaparticular classof organizationsand
the application of the mission approach for func-
tional analysistotheBulgarianMSSperformance.
The second group of considerations, named an
accomplished facts or facts of life, is a result of
studyingtheBulgarianMSScurrent status.
The summary of so called scientific considera-
tions is:
1. TheHPSistopossessgreaterinformational capac-
ity thantheopposingorganizationsdo.
2. TheHPSistofunctionpermanentlyandtobeable
maintainaregime, adequatetothelevel of threats.
Said in other words, to increase or decrease its
functional parametersinthecontext of scaleof the
threat.
3. TheHPSistobepredominantlyobject oriented
thanzonal oriented.
4. The HPS is to be granted a relatively high level
of autonomy, but theautonomyhastobebalanced
withreliablecontrol.
5. TheHPSistobeabletoachieveflexiblesatisfaction
of themanagementprinciplesinadynamicenviron-
ment. Saidinother words, theHPShastomaintain
correct balance between relatively contradictory
principlesinthecontext of thesituation.
Onemorescientific considerationshouldbemen-
tioned. It comes for comprehension that, during the
passageof ashipto/fromtheport area, theresponsi-
bility for her protection will begrantedto theNavy.
On the other hand, the responsibility for protection
of thecargo duringits delivery to/fromtheport will
begrantedto theMinistry of Interior. In both cases,
the responsible institutions will be capable to mini-
mize the risk of terrorist attacks by choosing more
safetyrootsfor passageand/or providingreliablepro-
tectionmeasuresinatypical environmentof operating.
Theproblem, which arises, is relatedto thefact that
thetransfer of theresponsibility for cargo protection
will bedoneinplaceandtimewhenthecargoismost
vulnerable intheareaof theport.
Thefollowingconsiderationistobeadded:
6. TheHPSistocompensatetheshortcomingsof the
existingsystem, by providingadequateprotection
of ships and cargoes in themost vulnerablearea:
littoral approaches to the harbour, port area and
adjacent urbanareaonshore.
On thebaseof theBulgarian MSS current status,
thefollowingconsiderationhasbeenformulated: The
341
optimization of the HPS is to consider the current
organization of the system. In other words, the pro-
cess of optimization should not involve the idea of
dramatic redefinition of theexisting organization of
theHPSoranewsubordinationof resources.Theopti-
mization has to focus mainly on theopportunity for
improvement of theHPSfunctioningbyachievement
of a synergy effect of shared efforts on the base of
correct co-operation. Practical recommendationsare:
7. The HPS is to be in full compliance with the
European, national, andinternational legislation.
8. The HPS is to consider existing status quo of
theorganizations involved(andinterested) inhar-
bourprotection.Theminimal changesof thestatus
quo arerecommended.
9. The optimization of the HPS has to provide cor-
rect solutionof theorganizational command and
control dilemma.
Taking into account that to a great extent the
problems of the Bulgarian MSS current status are
result of a situational approach to problems and the
existence (and establishment) of too many interact-
ingorganizations, onemoreconsideration shouldbe
added:
10. WhenoptimizingtheHPS, weshouldnot estab-
lishonemoreorganization, but unitetheexisting
bodies(or their representatives) inasystem.
Onthebaseof thedefinedconsiderations, weelab-
oratedaconceptfor optimizationof theexistingHPS.
Theleadingideaof theconcept istoachieveaviable
HPS that, on the one hand, possess informational
superiority to the possible threats (especially the
terrorism), andontheother tosatisfy management
principlesinaccordanceof thesituation.
Bothaspects of theconcept arerealizedby estab-
lishment of network-organizedHPS, whichinacon-
flict situation is centralized on a level immediately
abovethescaleof theterrorist threat.
Thesystemis organized on thebaseof theexist-
ingnetwork of Port SecurityCouncils, establishedby
theBulgarian government Ordinance No 53/2005 in
responsetotherequirementsposedbyISPS Code.[3]
TheOrdinance No 53 [7] establishesthreesecurity
levels of readiness of theHPS. Duringthefirst level
of readiness(thelower one) thesystemismaintained
bythePortSecurityCouncilsmentionedabove. When
ahigher degreeof readinessisreported, theCouncils
arestrengthenedwithadditional assets(fromtheMin-
istry of theinterior and theNavy). In thecontext of
the situation and in accordance with a procedure, a
senior personinthecouncil isnominated(achairman
of the council). The nominated chairman is granted
theright toexerciseauthority over theforces(assets)
placedunder command. Theprocessof delegationof
thecommandauthorityandtheextentof thedelegated
authorityaresettledbyaprocedure.
In fact, theprocess described is therealization of
theideaof centralizationof anetworkorganizedHPS
onalevel immediatelyabovethescaleof thethreat.
The technical base of the new-born centralized
systemiscarriedbyanaval unit.
Theareaof responsibilityof thesystemincludes:lit-
toral approachestotheharbour, portareaandadjacent
urbanareaonshore.
Thecomponentsof theHPSareinfact joint forces
belonging to different institutions and organizations.
Aswecanseethey provideobject oriented protec-
tion. Thezonal aspect of theprotections remains a
responsibility of thestateinstitutions. Every institu-
tionexercisesitinitsparticular areaand/or functional
directionof responsibility.
Thecommand and control dilemma issettledby,
ontheonehand, aprocedurefornominatingof asenior
personintheHarbour ProtectionCouncil, andonthe
other a procedure which regulates the transfer of
authority over theHMS (or apart of itscomponents)
amongdifferent bodies.
Theresultsof thenegativefactorslife-cycleanal-
ysisserveasabasefor formulatingtheindicatorsthat
switch thelevelsof thereadinessof thesystemand
thetransfer of theauthorityover thewholeHPS(or a
part of itscomponents).
3 PROBLEMATIC FIELDSOF HARBOUR
PROTECTIONSYSTEM EDUCATIONAND
TRAINING
Thecurrent harbour safety andsecurity relatedE&T
processsuffersthefollowingpractical problems:
ship officers have little knowledge of the whole
maritimesafety and security system, whosefunc-
tioninghasbecomesignificantlymoreimportantin
thelight of theISM [2] and theISPS Code. Very
often, the lack of this knowledge leads to demo-
tivation of themain participants in theprocess of
maritimetransport;
thetrainingpursuanttotheISPSCodereliesonthe
acquisitionof standardtactical andtechnical meth-
odsof protection, whichprovidesgeneral standard
basicknowledgeandskills. Eventhoughthisisnec-
essary, it contradictstheideaof pro-activenessand
creativeproblemsolving;
the increased requirements of the STCW Con-
vention, which already cover all thecategories of
maritime transportation system security officers,
nowdemandanewsystemof trainingandasuitable
learningenvironment;
developing and maintaining such an environment
requires significant expenses andtheemployment
of avery well-preparedteam, whichis beyondthe
affordablefor amaritimetraininginstitution.
Theseproblems arehyperbolized by somecontra-
dictionsinthecomputer-assistedE&T process:
developingandmaintaininganexpensiveandcom-
plexenvironmentfor computer-assistedE&T isnot
affordablefor amaritimetraininginstitution;
thetrainingintheissues of security shouldnot be
closeduponlywithintheframeworkof themerchant
marine;
342
thefuturemaritimeofficer shouldreceiveamuch
broader rangeof trainingintheissuesof safetyand
securitythantheminimumrequiredoneinorder to
bean activeorganizer and an adaptiveparticipant
intheprocessesoccurringintheWorldOcean;
the total time for training of the future maritime
officers is reduced, andbecauseof this theneces-
sary balancemust bestrickenintheir fundamental
training in safety and security, and anewlevel of
knowledgeandskillsmustbeachievedbyapplying
bothtraditional andnewtrainingtechniques.
These issues are practically a direct result of the
lack of commonmethodologyfor preparingandcon-
ducting computerized training related to thegeneral
subject areaof maritimesecurity and harbour safety
inparticular.
4 FORMULATINGREQUIREMENTSFOR
PORT SECURITY SIMULATINGCOMPLEX
This part of thearticledescribes overall logic under-
lyingintheprocessof harbour responsiblepersonnel
E&T. It reflectstwodominant concepts:
1. The E&T process serves the function of system
adaptation(LynchJ. 1937).
2. Despitebeingaprocessof settingandmaintaining
desiredbehavior; themanagementprocessisbased
onreactions.
Notwithstanding that both concepts overlap, they
posesomedistinguishablerequirements. Inthis con-
text, someadditional explanationsarenecessary.
Assumingthateducationisaprocessof adaptation,
wehavetotakeunder considerationthat adaptation
takes place on at least three different levels (Gell
Mann 1994). On this base, we have defined three
levels of the systemadaptiveness: short-termadap-
tiveness, long-term adaptiveness, and evolutionary
adaptiveness.
Theshort-termadaptivenessisaprocessof adapta-
tiontothecurrentsituation. Itisthereforeaprocessof
direct andsituationally-orientedadaptation. It is per-
formedpredominantlybythewayof functional adjust-
ment.Theprocessof functional adjustmentveryoften
is held by selection of a functional model (schema)
that isrelevant tothesituationrecognized.
Thelongtermadaptivenessisaprocessof adapta-
tionto relatively predictablefutureconditions of the
environment. Inadditiontothefunctional adjustment,
it is performed by the elaboration of structural pre-
requisitesfor functional adjustment topossiblefuture
situations.Thepractical executionof thisprocessusu-
ally includes: makingprognoses; analysisof possible
situations; andelaborationof adequatereactions.
The evolutionary adaptiveness is observed in
unpredictablesituations. It is thereforeperformedby
elaboration of structural prerequisites for the neces-
sary systems properties for adaptation in cases of
emergency.
It is a good idea to make a parallel between, on
the one hand, the three levels of adaptation, and on
theother thethreelevels of management (tactical,
operational andstrategic). Goingonestepfurther, we
can stateto agreat extent of certainty that theE&T
processhastoprovideprerequisitesforthethreetypes
of adaptiveness.
Assumingthat theharbour protectionmanagement
process is basedonreactions, thescopes of different
typesof management canbesummarizedasfollows:
1. Strategic management is to achieve better align-
ment of organizational policies in response, in a
long-termtime scale, to changes in the external
environment and in the organization itself (the
internal environment).
2. Operational management istheprocessof design-
ing, executing, and controlling an organizations
operations that convert its resources into desired
end-state, andimplement aselectedstrategy. This
typeof managementrespondsinarelativelyshort-
term time scale to predictable changes in the
external environment.
3. Tactical management is the process of quick and
accurateassessmentof thesituationandelaboration
of anappropriateresponse.
Theparticularityof thethreelevelsof management
advocatesthenecessityof threedistinguishabletypes
of E&T.
Considering on the one hand, the comprehension
thatonesreactionstoaparticularsituationareanorig-
inal cocktail of previousexperienceandtheability
toestimateandrespondtotheparticularityof thesitu-
ation, andontheother theparallel betweenlevelsof
adaptivenessandlevelsof management,wecanformu-
latethefocusesof thedifferentlevelsof E&T process.
Theinitial E&T process (tactical) has to establish
behavioural modelsnecessaryfor quickresponsetoa
familiarsituation.Inotherwords,thepurposeistogive
the trainee an adequate memory. For this reason,
thebasiclevel of theportsecuritysimulatingcomplex
has to providemodels of typical situations intypical
environments.
Thenext stageof E&T process (operational) is to
makethetraineetoovercome theframework of the
behavioural modelslearned, torecognize thespeci-
ficity of thesituation, andtoelaborateproper (which
means specific) response. In order to support this
idea, theport securitysimulatingcomplexhastopro-
videmodels of non-routinesituations in non-routine
environments.
The last level of the E&T process (strategic)
explores the idea to give the trainee the ability to
makelogical relationsinanunrelatedprocessesand
events, torecognizethepatternsthattheyhaveincom-
monandcause effect relations, andonthis base,
to elaboratebasic andwidely applicablebehavioural
models.
Taking into account that computer-assisted E&T
basically provides simulations whichmodel thecon-
ditions of performingsystemfunctioning, obviously,
simulators haveto beflexibleenough in order to be
abletoshift theaccentsof theoverall E&T process.
343
Thisunderstandingof portsecurityE&T processis
thebaseforformulatingthefollowingrequirementsto
theoverall M&Ssystem:
1. The virtual environment for the HPSs E&T pro-
cess has to provide both technical experience
andmanagement practice for thepersonnel. The
sub-recommendations are:
the simulators have, on the one hand, to be in
full compliancewiththeequipment, andonthe
other to reflect theexistingorganizationof
theHPS;
both the simulators and the M&S methodol-
ogy areto beflexibleenoughinorder to shift
the emphasis of the training from predom-
inantly technically oriented to the predomi-
nantly management-oriented.
2. Thevirtual environmentfortheHPSsE&Tprocess
hastomodel agreat varietyof possiblesafetyand
securitysituations.
Any reaction in a particular situation is based on
behavioural models which haveworked in similar
situations. Thelackof real practical experienceof the
HPSleadstotheideatoprovidetheHPSwithanarti-
ficial memory. This means to useanopportunity to
acquiredataof situational games in virtual environ-
ment, toanalyzethedatacollected, toderiveindicators
for recognitiontheparticular situation, andtosuggest
amanagement decision. Therecommendationis:
3. Thesimulators havetoprovideanopportunity for
case management by modeling specific situa-
tions, acquisitionandanalyzingdataandsuggest-
ingparticular courseof action.
Takingintoaccount, ontheonehand, thedynamic
natureof thesecurityenvironment, andontheother
the abstract charge of the social comprehension for
safety, thenext recommendationsare:
4. Thesimulators havetoprovideanopportunity for
upgradingandmodernization.
5. The M&S methodology and the supporting base
(databases, software, workstations, etc.) areto be
flexibleenoughinorder to allowtheir adjustment
tothechangeableorganizationof theHPS.
Thenecessityof thesimulatorsandM&Smethod-
ologyflexibilitycanbedevelopedinonemoredirec-
tion theideatousevirtual environmentforscientific
purposes. The possibility to test different realiza-
tions of the HPSs architecture is to be provided by
specializedsoftware.
The second conclusion suggests that there are
distinctiveaccents of theE&T process.
Preliminarypreparationisperformedonthebasisof
typical scenarios.TheE&Tprocessiscarriedoutincir-
cumstancesposedbyan unidentified risk.Logically,
therecommendationis:
6. The simulators have to support the following
activities:
development of typical scenarios;
development of typical reactions in context of
thetypical scenarios;
examination of the HPSs functioning in the
environment describedbythetypical scenarios.
The simulators support the following activities:
training, planning, andresearch.
Therecognition of thenegativefactor as a risk
finalizes the preliminary preparation on the basis
of typical scenarios and the focus of the E&T pro-
cess shifts to preliminary preparationonthebasis of
concretescenarios. Therecommendationis:
7. ThesimulatorsandtheM&Smethodologyhaveto
beabletoselect scenarios adequatetothecurrent
situationandto providereliableprognosis for the
possibledevelopment of thesituation.
Thelastconclusionof theanalysisledustotheidea,
that theshort-termadaptationprocessbecomesdom-
inant inrelationto any other HPSs function. Infact,
after therecognitionof anegativefactor as a risk,
theother activity, inpractice, stopandmelt intothe
background of the elaboration of a response to the
current situation. Obviously, the paramount role of
the short-termreactions suggests that the E&T pro-
cess first has to provide technical experience for
the operative personnel and management practice
for thelowhierarchical level managingstaff, andonly
after that toputattentiononthepreparationof long-
termoriented adaptivereactions. This motiveled us
totheideatotrytoanswer thequestionif thereisany
relationbetween, ontheonehand, thedifferentaccents
of theE&T process, andontheother thesafetyand
securityconcepts.
Professor DonnaJ. Nincicl providesaninteresting
metaphorexplainingthedifferencebetweenthesafety
and the security concepts: safety is doors open to
allow free access for escape or rescue in a danger-
ous or unsafe situation. Security, on the other hand,
is doors closed to prevent access to those who might
wish to do us harm (Nincicl 2007). Assuming, that
security can be considered protection from active
malicious agents and safety, on the other hand,
can be considered protection from accident, maritime
casualties, wewent onestep further and say that
safety iseffect-oriented countering concept, which
means short-termoriented. Inthecontrary, security
iscause-oriented counteringconceptor long-term
oriented. Logically, theE&T process has to consider
thatsafetyrelatedE&T isthebasicprerequisiteforthe
securityrelatedE&T. Therecommendationis:
8. TheM&Smethodologyhastoprovidecorrect bal-
ancebetween thesafety and security orientations
of theE&T process.
5 CONCEPTUAL MODEL FOR FLEXIBLE
SIMULATORARCHITECTURE
Theconceptual model of thesimulating complex is
presentedinfig. 1.
344
Figure1. Flexiblearchitecturefor PortSecuritySimulating
Complex.
Thesysteminput includes:
stakeholders requirements;
modellingandsimulationtheoryandpractice;
casesfrompractice;
technical equipment description;
descriptionof theorganization.
Theinput servesthefollowingfunctions: elabo-
rationof asimulationsmethodologyanddataacquire-
ment.
Takingintoaccountaparticularpurposeof theE&T
processandrelatedmodelingandsimulationsmethod-
ological procedures, themanaging body (system) of
theE&Tprocessformulatesthedesiredoutputprod-
ucts.Thistaskissupportedbyaspecializedforthecase
software.
Different combinations of the products are uni-
fied by themanaging system(using thesupport of
related managing software) in different E&T forms
and/or formsof providingmodellingandsimulations
support tothedecision-makingprocess.
At tactical level thesimulatingcomplex has to be
aimed to mono-agency task training fire brigade,
police, port securitystaff, navyetc.
In accordance with the operational level of sim-
ulations simulation process has to be aimed to the
representation of wide spectrumof operations. The
requirements that themodel has to followarediffer-
ent than the previous (tactical) level ones. Because
of thenatureof operations, animportant part of this
level isthepossibilitytocreateasimulationof acrisis
management system. The main purpose of the sys-
tem is to shorten the time needed to make up the
optimumcleanupdecision, inorder toreducepopula-
tionlosses, financial andecological damageandother
types of direct and indirect damage. In this way the
simulation systemhas to be a powerful tool for the
support of emergencyresponsedecisionmaking. The
systemshouldcoordinateandcontrol theactivitiesof
theunitsinvolvedandprovideinformationtoall of the
participantsof decisionmakingteam.
The most common tasks for modelling at the
operational level are:
usingelectronic chartswithpossibility toedit, add
anddeleteobjectsandinformation;
portrayingoperational plansonthecharts;
routeandresourceplanning;
monitoringtheresourcemotion;
assessingresponseresources;
comparativeanalysisof different plans, etc.
Thelast but not least istheapplicationof M&S at
thestrategiclevel.Atthislevel, theundertakenactions
aresimilar tooperational level, but generallytheyare
moreglobal andwideranged:
displayingstrategicplansonthecharts;
resourceplanning;
monitoringtheresourcemotion;
assessingresponseresources;
comparativeanalysisof different plans, etc.
6 CONCLUSION
Even a passing glance on the proposed concep-
tual model of thePort Security SimulatingComplex
inspires thesentiment that thesystemproposed is a
kindof perpetuum mobile for themoment.
Beingconsciousabout theutopian chargeof the
concept proposed and keeping in mind that many
things that werefiction inthepast areparts of our
lifenowadays, westatethat thereal problemfor elab-
oration of asimilar M&S systemis not technical,
but it isrelatedtoour willingnesstosolveit.
Itsestablishmentinpracticewill helpustoachieve
themaingoal of educationandtraining preparation
of highlymotivatedandwell educatedandtrainedport
securitypersonnel.
REFERENCES
[1] International Convention for theSafety of Lifeat Sea
(SOLAS), International MaritimeOrganization(IMO),
London, 1974, (http://www.imo.org/Conventions/),
22.05.2008.
[2] International Safety Management Code (ISM Code),
International Maritime Organization (IMO), London,
2002, (http://www.imo.org), 22.05.2008.
[3] International ShipandPortFacilitySecurityCode(ISPS
Code), International Maritime Organization (IMO),
London, 2003.
[4] LynchJ. 1937, TheProblemof ValueinContemporary
Education.Peabody Journal of Education,Vol.15,No.1
(J ul., 1937), pp. 2530.
[5] Gell Mann Murray. 1994 The Quark and the
Jaguar. Adventures in the simple and the complex.
345
A W.H. Freeman/Owl book. HenryHolt andCompany.
NewYorkpp. 292294.
[6] Nincic, D. 2007, Maritime Security Education and
Training: Establishing a Learning Community and
Framework for Program Goals and Outcome. World
MaritimeExcellenceOdessa, p.147.
[7] Ordinance No 53/2004 on the conditions and man-
ner for achievement ship and port security, Issued
by the Minister of Transport and Communications,
promulgated in the State Gazette, issue No. 72 of
17August 2004, effectiveasof 1J anuary2005. (http://
www.port.bg/bg/documents/nar53.pdf), 22.05.2008.
[8] Seafarers, Training, Certification and Watchkeeping
Code(STCWCode), (www.austlii.edu.au) 22.05.2008.
346
8.5
Problemof stoppingvessel at thewaypoint for full-mission
control autopilot
L. Morawski
V. NguyenCong
Vietnam Maritime University, Haiphong, Vietnam
ABSTRACT: The paper presents a controlling method to control vessel of a full mission autopilot at the
transitional phase when vessel reduce speed fromnavigation speed down to manoeuvring speed while she
accesses to themanoeuvring waypoint, wherethevessel is started control in manoeuvring mode. Thevessel
is controlled by threepropellers: thebowthruster, thestern thruster and themain propeller. Theautopilot is
designedwith5fuzzylogiccontrollers. It worksinMatlab-Simulinkandtestedonascaledphysical model of a
tanker inthelakeenvironment.
1 INTRODUCTION
Nowadays, many ships are equipped with thrusters
to support manoeuvring activities. By using these
thrusters, thefull missionautopilot cancontrol vessel
fullyautomaticfromaquaytoother quay.
During a voyage, the controlling vessel can be
dividedinto3phases: sailingphase(whenvessel runs
atopensea); manoeuvringphase(whenvessel runsin
narrowand resisted water); transitional phase(when
vessel changes from sailing mode to manoeuvring
mode).
Inthetransitional phase, thevessel isreducedspeed
fromsailing speed (at which, thevessel can becon-
trolledjust by therudder) to themanoeuvringspeed
(at which, the rudders effect is too small and ves-
sel mainly control by thrusters and main propeller).
Theautopilotstask inthisphaseistoreducetheves-
sel speedto therequiredspeed(manoeuvringspeed)
duringapproachingtothewaypoint andalsokeepthe
vessel movingontheset pathwiththeset heading.
This paper presents thealgorithmand theexperi-
ences results by usingsimulator andscaledmodel of
theautopilot, whichisdesignedandresearchedbythe
authors(Leszeket al. 2008).
2 THE OBJ ECT OF CONTROL
The training ship Blue Lady is the floating,
autonomous scale model of the VLCC tanker. It is
usedby theFoundationfor Safety of Navigationand
EnvironmentProtectionattheSilmLakenearIlawain
Polandfor trainingnavigators. Theshipisbuilt of the
epoxiesresinlaminatein1:24scale.Itisequippedwith
battery-fedelectricdrivesandthecontrol steeringpost
Figure1. Thearrangement of themodel BlueLady.
Table1. Themaincharacteristicdataof themodel.
Lengthover all LOA 13.78[m]
BeamB 2.38[m]
Draft (average) loadconditionTl 0.86[m]
Displacement loadconditionD 22.83[T]
Speed 3.10[kn]
atthestern. Themodel isequippedwiththemainpro-
peller, arudder, twotunnel thrusters, andtwoazimuth
pump thrusters which can be rotated within limited
angleranges.Thecontrollerpresentedinthepaperjust
controlstwotunnel thrustersandthemainpropellerfor
manoeuvringtasks. Thearrangement of themodel is
showninFigure1, whilethemaincharacteristic data
aregivenintheTable1.
3 THE REFERENCE FRAMESANDTHE
DEFINITIONS
Therearetworeferenceframesusedincontrol. They
are Geographic reference frame (x
n
y
n
) and Body
referenceframe(Fig. 2).
347
Figure2. Referenceframes.
R referencepoint, requiredpositionof thevessel
dx positiondeviationinx-axisof b-frame
dy positiondeviationinx-axisof b-frame
s set heading
d coursedeviation.
Geographic Reference Frame (x
n
y
n
or n-frame):
The coordinate system x
n
y
n
is defined relative to
the Earth reference ellipsoid (World Geodetic Sys-
tem1984). Inthiscoordinatesystemthex-axispoints
towards true North, while the y-axis points towards
East (Fosen2002).
Body ReferenceFrame(x
b
y
b
or b-frame): This is
movingcoordinateframewhichisfixedtothevessel.
Theorigin O
b
of thecoordinatesystemis chosen to
coincidewiththecenterof gravity(CG) whenCGisin
theprincipal planeof symmetry. Theaxesaredefined
as x-longitudinal axis, directed fromaft to fore and
y-transversal axis, directed to starboard (see Fig. 2)
(Fosen2002).
Thepositionof vessel is fixedby GPS inn-frame
whilethesignalsforcontrol (deviations) aremeasured
inb-frame. Thetransfer functionsof coordinatesand
velocitiesbetweentheseframesasfollowing:
where
ReferencepointR:Thisisapointonwhichtheves-
sel positionhastobemaintained.Thevessel movement
will becontrolledthroughthispoint (Vinh2007).
4 ALGORITHM OF CONTROL AND
AUTOPILOT DIAGRAM
The diagramof the autopilot is shown in Figure 3.
ThePositioning regulator hastaskof controllingmain
Figure3. Regulator diagram.
engine and thrusters to keep vessel at the reference
point withthesetheading.TheTrajectory regulatorhas
task tosteer theshipalongastrait pathsegment. The
Trajectory controlsrudderandmainengineof theship.
Dependingonthecontrol mode, theSignals selector
block switchesandconnectstheoutput signalsof the
regulatorstothepropulsionsystem.
As mentioned in the section 1, in the transitional
mode, theautopilot has to 1) keep thevessel course
stable in the path segment direction and the vessel
movement stableonthepathsegment; 2) control the
braking force to obtain the speed that is within the
manoeuvring speed range when the vessel arrived
exactlyat thewaypoint.
Thebrakingupof avessel iscarriedout in2steps:
Step 1: Starting braking up at the braking distance
d
braking
. When thedistancefromthevessel to the
waypointislessthanor equal d
braking
, theautopilot
changesthecontrol modefromtrajectory modeto
transitional mode.
Step 2: Adjusting thebraking up force. In this step,
theautopilot controls therudder, thrusters tokeep
thevessel movingontheset pathwiththerequired
heading and it also controls the main engine to
reducethevessel speed.
The algorithmused in each steps is presented in
detail inthenext subsections.
4.1 Calculating a breaking distance d
braking
Thebrakingdistanced
braking
isthedistancetothefirst
waypoint of the manoeuvring segment, at this dis-
tancetheautopilot shouldchangefromthetrajectory
modetothetransitional modetoaccessthewaypoint
correctly(Fig. 4).
In this autopilot, the braking distance d
braking
is
calculatedbyusingthefollowingformula
Intheformula(3), u isthesurgeof thevessel. The
coefficientsof equation(3)aredefinedfromtheresults
of theexperiment. Thecoefficient f isthetimetaken
tochangetheenginemodeof thevessel. Other coef-
ficientsa, b, c, d, e aredefinedby theexperiment as
348
Figure4. Thebrakingdistanced
braking
intransitional phase.
Figure5. Therelationbetweenthebrakingdistanced
braking
andspeedof theBlueLadymodel whentheenginemodeis
set todeadslowastern.
following: Vessel isfull loading, runsaheadatmaxi-
mumspeedinthewindonastraightpath.Atamoment,
changeenginetodeadslowasternthenrecordtheves-
sel speedandthepassingdistanceof vessel until the
vessel completelystops.
ThegraphinFigure5isanexampleof theexperi-
mentresult. Onthebasisof therecordeddata, thecoef-
ficientsof formula(1) aredefinedby usingHorners
method.
Thedeadslowasternenginemodewasusedfortran-
sitional modeafter manyexperimentsonthelakewith
theBlue Lady model. Duringbrakingup, theengine
runs astern while vessel moves forward, the chaotic
water flowincreasesandcausesabnormal movement
of the vessel. If a higher engine mode is used, the
chaotic flow will be stronger then the thrusters and
therudder will benot strong enough to managethe
vessel.
4.2 Adjusting the braking up force
Inthetransitional phase, theProcessing blocksetsand
controls thereference point R movingalongthepath
segment; andsetstheheadingassameasdirectionof
thepathsegment (seeFig. 6).
Whenthevessel speedisenoughfor rudder effect,
theTrajectory regulatorcontrolstherudderstosupport
Figure6. Brakingupavessel.
thrusterskeepingthevessel course. Whenthespeedis
toolow, thesignal fromTrajectory regulator iscutoff.
ThePositioning regulator controlsthevessel head-
ingbythethrustersandbrakingforcebymainpropeller
toobtainvessel speedwithinthemanoeuvringspeed
rangewhenthevessel reachesthewaypoint.
As mentionedinsubsection4.1, thebrakingforce
is fixed by the engine mode dead slow astern. So,
to adjust vessel speed, theautopilot just changes the
enginevessel to deadslowastern, stopor deadslow
aheadmode. Theenginemodeisselectedbycompar-
ing the actual distance fromvessel to the waypoint
withtheexpected passing distance S of thevessel.
The expected passing distance S is calculated by
followingformula:
where
u
1
: actual vessel surge
u
2
: the required speed (surge) at the waypoint, it
shouldbewithinthemanoeuvringspeedrange. Inthis
autopilot, thevalueof u
2
isset at 0
a: average acceleration of a vessel while speed
changesfromu
1
tou
2
S: the distance which vessel passed while speed
changesfromu
1
tou
2
.
As mentioned above, the engine mode for brak-
ingis fixedat deadslowasternso thebrakingforce
maybetreatedasaconstantforce. Hence, theaverage
accelerationa canbetreatedasconstant andit canbe
calculatedas:
The Processing block reads vessel surge every
sampling period and calculates acceleration a as
formula (5). Fromvalues of a, u
1
(actual surge), u
2
(requiredsurge), theProcessing block calculates the
expected distance S.
349
Table2. Set pathof brakingupexperiments.
WaypointA Waypoint B
Experiment Speed[m/s]/
No. X[m] Y[m] X[m] Y[m] enginemode
No. 1 75768 71540 75314 71540 1.31/full ahead
No. 2 75768 71540 75314 71540 1.00/half ahead
No. 3 75768 71540 75314 71540 0.70/
slowahead
No. 4 75768 71540 75314 71540 0.50/
d.slowahead
5 EXPERIMENTSANDRESULTS
5.1 Experiment using simulator
The experiments on braking up a vessel were per-
formedusingcomputersimulationaswell asthemodel
inreal environment. Incomputer simulation, avessel
wastestedbrakingupfromfour different speedswith
respect to four enginemodes: full ahead, half ahead,
slowaheadanddeadslowahead(Table2).
Intheexperiment,thevessel wasrunningfromway-
pointA(75768, 71540) towaypoint B(75314, 71540)
on thecourseof 180
(Table2). Theautopilots task

wastostopthevessel at waypoint B. Whilestopping
vessel,theheadinghadtobekeptat180
andthevessel
trackhadtobekept closetothepathsegmentAB.
Whilethevessel was running steadily along path
segmentAB, theProcessing blockcalculatedbraking
distanced
braking
basingontheactual vessel speedusing
formula(3). Dependingontheinstantspeed, thesedis-
tancesd
braking
were192m,152m,100mand49mwith
respecttothespeedof 1.25m/s, 1.00m/s, 0.74m/sand
0.47m/s(Fig. 7).
When the distance from the vessel to waypoint
B was less than d
braking
, the autopilot changed the
control mode fromthe trajectory mode to the tran-
sitional mode. Fromthis moment t
1
in Figure7, the
mainenginewas controlledby theProcessing block
toadjust brakingforce; twothrusterswerecontrolled
bythePositioning regulatortomaintainvessel course;
therudder was controlledby theTrajectory regulator
until thevessel speedwaslessthan0.1m/s.
When the vessel speed reached the manoeuvring
speed range or the vessel was in manoeuvring area
aroundwaypoint B, theautopilot changedthecontrol
modeto themanoeuvring mode(t
2
). In experiments
1, 2 and 3 (Fig. 7 a, b, c), thevessel speed reached
manoeuvring speed at about 10mbefore the target
waypointB(positionof t
2
inFig. 7). Fromthismoment
t
2
, the vessel was controlled using the manoeuvring
modeand it took about fiveminutes to moveto the
waypoint B.
In the experiment 4, the vessel approached the
maneuvering area of waypoint B but the speed was
higher than the maneuvering speed. In this situa-
tion, theautopilot changed also thecontrol modeto
the manoeuvring mode. After that, the Positioning
Figure 7. Track of the vessel in the braking up experi-
mentusingcomputersimulation. Positionmarkedevery60s;
u surgeof vessel at thestartingof thetransitional mode.
Figure 8. Recorded data of the braking up experiment 1
d
to WP
thedistancefromthevessel tothetarget waypoint.
regulatorimmediatelysetthemainenginetofull astern
modetostopthevessel quickly(seeFig. 11).
TheFigures811showtherecordedparametersof
thefour experiments. Thevessel was stopped at the
waypointBwithpositiondeviationlessthan0.5mand
theheadingdrift intheseslowdownmanoeuvreswas
lessthan2
.
5.2 Experiment using scaled model Blue Lady
The next experiment was performed with the Blue
Lady model onthelake. Inthis experiment, theves-
sel was running fromwaypoint A(75273, 71480) to
waypointB(74952, 71754) withtheenginemodeslow
ahead (r.p.m=240V=0.6m/s). The task of the
autopilotwastoreducethevessel speedtothemanoeu-
vringspeedat waypoint B. At waypoint B, thevessel
wasturnedtotheheadingof 150
andthenmovedto
waypoint C(74978, 71780).
At thespeed of 0.6m/s, thebraking distancewas
72m(usingformula3). When thedistancefromthe
350
Figure 9. Recorded data of the braking up experiment 2
d
to WP
Figure10. Recorded dataof thebraking up experiment 3
d
to WP
vessel towaypointB waslessthan72m, theautopilot
changed the control mode to the transitional mode.
TheProcessing block controlledthebrakingforceby
themainenginer.p.m., whilethePositioning regulator
andTrajectory regulator controlledtheheadingbythe
twothrustersandtherudder.
At themoment t
2
, whenthemodel was withinthe
manoeuvring rangeof thewaypoint B, theautopilot
changedthecontrol modetothemanoeuvringmode.
Fromt
3
tot
4
thevessel turnedtotheheadingof 150
asrequiredintheset path.
Fromt
4
to the end of the experiment, the vessel
movedtranslationallytowaypoint C withtheheading
of 150
.
TherecordeddataisshowninFigure13. Compared
totheresultsobtainedusingcomputer simulation, the
thrusters were working harder. The reason of this is
that thesimulator didnot simulatewell theeffect of
Figure11. Recorded dataof thebraking up experiment 4
d
to WP
Table3. Set pathof experiment No. 5.
Way- X [m] Y [m] Set speed Set heading Control mode
points [m/s] [
]
A 75273 71480
B 74952 71754 AB: 0.6 AB: 130 Trajectory&
at B: 150 Transitional
C 74978 71780 BC: BC: 150 Manoeuvring
not set
Figure12. ExperimentNo.5fromsecond1000thto1825th.
Thepositionsaremarkedevery60s.
a chaotic water flow. In theexperiment on thelake,
thechaoticwater flowhadaverystrongeffect onthe
model. In many experiments, the thrusters were not
powerful enoughtomanagethemodel whilebraking
upitbyfull asternorhalf asternengine.Thatiswhythe
autopilot brakesupavessel only by deadslowastern
engine.
351
Figure13. Recordeddataof experimentNo. 5fromsecond
1000thto1825th.
6 CONCLUSIONS
In simulation experiments, the model was stopped
completelywiththepositiondeviationlessthan0.5m
around the set waypoint. In the experiment on the
lakeinwindy conditions, thefinal positiondeviation
was about 2m. Comparedto thelengthof themodel
(13.75m), the deviations are acceptable in practical
manoeuvrings.Theheadingdeviationsof themodel in
thismanoeuvrewerelessthan5oinall experiments.
Whenvessel runsatfull speed, tostopitthepassing
distanceis192m(about15lengthsof thevessel). Itis
alsocanbeacceptedinthepracticenavigation.
REFERENCES
Rak A., Nguyen Cong V., Pomirski J, Morwaski L. 2005.
Simulation and real-time control of scale ship model
in Matlab-Simulink environment. 16th Conference HYD-
MAN05, Ostroda, Poland
FosenT.I., 2002. Marine Control Systems. MarineCybernet-
ics, Trondheim, Norway.
Gierusz W. 2005. Simulation model of the ship handling
training boat Blue Lady
Morawski L., Nguyen CongV., Rak A. 2008. Full-Mission
Marine Autopilot Based on Fuzzy Logic Techniques.
Gdynia. Poland
NguyenCongV. & Morawski L. 2006Track keeping autopi-
lot with fuzzy logic controller. 6thASIA CONFERENCE.
HaiphongVietnam
Nguyen CongV., 2007. The synthesis of trajectory regula-
tor using fuzzy logic theory in a marine vessel autopilot.
Gdynia. Poland
352
8.6
Onthecontrol of CPP shipsbysteeringduring
in-harbour ship-handling
H.Yabuki
Tokyo University of Marine Science and Technology, Tokyo, Japan
Y.Yoshimura
Hokkaido University, Hakodate, Hokkaido, Japan
ABSTRACT: Thispaper describestheresultsof experimental andsimulationstudiesthataimedatdeveloping
effectivecontrol methods for single-CPP single-rudder ships duringthecoastingmanoeuvreandthestopping
manoeuvre. Inorder toimprovethemanoeuvrability of CPP shipsunder coasting, theauthorsperformedfull-
scaleexperimentsandconfirmedthatCPPshipsunder coastingusingtheMinimumAheadPitch(MHP) of CPP
arecontrollablebysteering.A simulationstudywasalsoconductedtoevaluatetheship-handlingmethodduring
thestoppingmanoeuvrethat appliesaturningmoment totheshipbythemaximumrudder anglesteeringprior
to thereversingoperationof theCPP andit is confirmedthat CPP ships canbecontrolledsufficiently by the
proposedmethod.
1 INTRODUCTION
It is well known that a controllable pitch propeller
(CPP) can provide smooth speed control. On the
other hand, in case of ships with single CPP and
singlerudder, thedifficulties of coastingmanoeuvre
and stopping manoeuvrearereported (Takeda1992,
Yabuki 2006).
Duringcoastingmanoeuvreof CPPshipswithpro-
peller pitchfeatheredtozero, therudder forcereduces
significantly and CPP ships are difficult to control
their headturningmotionbysteeringespeciallyunder
windy condition. Furthermore, during the stopping
manoeuvreof CPP ships, anadditional unstableyaw
moment is often exerted, which introduces a signif-
icant reduction in manoeuvrability, and, under this
condition, it is difficult to control their headturning
motionbysteering.
In order to improve the manoeuvrability of CPP
ships at coasting, theauthors proposetheuseof the
MinimumAhead Pitch (MHP) of CPP. The MHP is
the smallest blade angle of CPP for ahead propul-
sion which ensures adequate steerage. The authors
conducted full-scaleexperiments using a5,884 G.T.
single-CPP, single-rudder trainingshiptoconfirmthe
effectivenessof theMHP operationincoasting.
Figure1shows thegeneral arrangement andprin-
cipal particularsof thetest ship.
A simulationstudyusingtheMMGtypemathemat-
ical model was performedinorder to investigatethe
in-harbour ship-handlingmethodtocontrol theunsta-
blestoppingmotionof CPPships.Thetestshipwasthe
Figure1. Principal particularsof thetest ship.
sameCPPshipasstatedabove. Basedontheresultsof
thesimulationstudy, theauthorsproposeaneffective
ship-handlingmethodthat applies aturningmoment
totheshipbythemaximumrudderanglesteeringprior
tothereversingoperationof theCPP.
353
2 CHARACTERISTICSOF TURNINGMOTION
OF CPP SHIPSDURINGSTOPPING
MANOEUVREANDCOASTING
2.1 Turning motion during stopping manoeuvre
The test ship is equipped with a CPP and can also
reversethemain enginedirectly. This systemmakes
itpossibletoperformacomparativeexperimentusing
thesamehull andengineunder thesameconditionto
investigatethedifferenceof aturningmotionduring
thestoppingmanoeuvrebetweenCPPandFPP(Fixed
PitchPropeller) ships.
Full-scale stopping tests were performed under
almost the same condition in deep water in both
CPP and FPP operation modes. As light breezewas
observedduringtheexperiment, theinitial coursewas
set into the wind for all stopping tests. In Figure 2,
the final head turning angle () when the ship is
stopped is plotted against the initial advancing con-
stant J
S0
(=U
0
/(n P)) both in theCPP modeand in
theFPP mode. In thefigure, theresults of thestop-
pingmanoeuvreinwhichthepropeller was reversed
andthemaximumrudder anglewas appliedsimulta-
neouslyareplottedinadditiontothosewiththerudder
amidships.
In the FPP mode, the test ship exhibits the typi-
cal stoppingmotionof arightturningsinglepropeller
ship, i.e. sheturns her headto thestarboardsteadily
andthedirectionof her turningmotioncanbesuffi-
ciently controlledby steering. Ontheother hand, the
turning motion in the CPP mode proved to be less
stablethanthatintheFPPmodeandtheeffectof steer-
ingtocontrol thedirectionof turningmotionwasnot
observed. Thedirectionof turningmotionintheCPP
modeseems to befixed mainly by therelativewind
directionat theinitial stageof propeller reversing.
Fromthe above-mentioned results, it is assumed
that thedirection of turning motion of CPP ships is
fixedby theheadturningmoment at theinitial stage
of propeller reversing.
2.2 Turning motion during the
coasting manoeuvre
Theauthorsperformedcoursekeepingtestsusingthe
sameCPP shipas mentionedaboveinorder to com-
paretheeffectsof steeringcontrol under thecoasting
manoeuvrebetweenthepropeller pitchzerooperation
and the MHP operation. The time history of head-
ing, rudder angle, CPP bladeangleandshipspeedare
plottedinFigure3.
Inthecoastingmanoeuvreunderthepropellerpitch
zero operation, the test ship turns her head into the
wind even though the wind was very weak (1m/s)
and her head turning motion can not be controlled
by steering with the maximumrudder angle. Since
the obtained results agree with the results of other
experiments (INOUE 1992) qualitatively, thesechar-
acteristics seemto be common among ships with a
singleCPP andasinglerudder.
Figure 2. Comparison of the head turning angle between
FPP andCPP.
Thismanoeuvringdifficultymaybeduetothepitch
distributionof bladesatpropellerpitchzerooperation.
Thoughthepitcharoundthebossismaintainedtothe
advanceside, thepitch around thetip is changed to
thereversesideat propeller pitchzero operationand
the unstable flow which reduces the rudder force is
generatedaroundthestern.
On the other hand, in the case of the coasting
manoeuvrewiththeMHP, thetest shipcankeepher
original courseunder strongwindconditions (6m/s)
by applyingtheappropriatehelm. This experimental
result seems to prove the effectiveness of the MHP
operationunder thecoastingmanoeuvreandthatCPP
ships under coasting using the MHP can keep and
control their headingbysteering.
354
Figure3. Comparisonof thecoursekeepingabilitybetween
pitchzerooperationandMHP operation.
3 CONTROL OF TURNINGMOTIONOF CPP
SHIPSDURINGSTOPPINGMANOEUVRE
3.1 Stopping motion prediction of CPP ships
Thestoppingmotionof CPP ships is predictedusing
theMMGtypemathematical model.Themathematical
model canbedescribedbythefollowingequationsof
motionusingthecoordinatesysteminFigure4.
The hydrodynamic forces can be expressed by the
followingequations.
where, m=mass of ship; I
zz
=moment of inertiaof
ship in yaw motion; u, v, r =axial velocity, lateral
velocity, rateof turnrespectively.
ThetermsX, Y andN represent thehydrodynamic
forces and moment. The subscripts H, P, R and W
refer to the hull, propeller, rudder and wind force
respectively.
The detailed expression of hydrodynamic forces
andmomentonthehull, propeller, rudderandwindare
availableinthereferences(Yabuki 2006,Yabuki 2007).
Figure4. Coordinatesystem.
Thehydrodynamic derivativesandcoefficientsfor
simulationweremeasuredby thecaptivemodel tests
such as CMT, obliquetowing tests, and rudder tests
using 1/24.48 (Lpp =4.29m) model. The hull force
andmoment coefficients aremeasuredby CMT and
oblique towing tests. As for the forces and moment
inducedbypropeller reversing, thethrust coefficients
were estimated using the 4 quadrant POT result on
the reversing blade angle and thrust data on MAU
charts. Thethrust deductioncoefficient wasobtained
bythemodel test. Thelateral forceandmoment were
obtainedfromthecaptivemodel testsonthereversing
bladeangles. Rudder forceand moment coefficients
aremeasuredbyrudder testsandtheinteractivecoef-
ficients between hull and rudder are obtained from
the gradients of these coefficients. The wind force
and moment coefficients were derived froma wind
tunnel testusingthe1.5mlengthmodel.Thehydrody-
namic derivatives andcoefficients for simulationare
availableinthereferences(Yabuki 2006,Yabuki 2007).
The accuracy of the mathematical model of the
test shipwasconfirmedbycomparingthesimulation
resultswiththoseof full-scaleexperimentsasshown
in Figure 5. In the stopping test, turning moment is
applied to the test ship by maximumrudder angle
steeringprior to makingslowasternoperationwhile
proceeding at 4 knots. Although the time history of
shipspeedindicatessomediscrepancybetweensimu-
lationandactual measurement, thepredictedchanges
of headingandtrajectoryareingoodagreement with
themeasuredresults.Thus, itseemsreasonabletocon-
siderthattheproposedsimulationmodel representsthe
stoppingmotionaccurately.
3.2 Steering control of CPP ships during
stopping manoeuvre
As described in section 2.1, thedirection of turning
motion of CPP ships during the stopping manoeu-
vre seems to be determined by the yaw moment at
theinitial stageof propeller reversing. Therefore, the
authorsproposethestoppingmanoeuvretocontrol the
headturningmotionof CPPshipsthatappliesturning
moment by themaximumrudder anglesteeringprior
355
Figure 5. Comparison of the stopping motion between
measuredandsimulated.
to propeller reversing and performed the simulation
test toconfirmtheeffectivenessof proposedmethod.
Figure6shows thesimulationresults of thestop-
pingmanoeuvrewherethepropeller isputslowastern
whileproceedingat3knotsunder 10m/sleftwind. In
thestoppingmanoeuvrewiththerudderamidships,the
testshipdriftsleewardandturnsherheadintothewind.
On the other hand, in the stopping manoeuvre that
appliesthemaximumrudderanglesteeringtoleeward
priortopropellerreversing,althoughthetestshipdrifts
leeward, theyawmoment canbereducedsufficiently
andher original headingiswell maintained.
4 APPLICATIONOF PROPOSEDMETHODS
TOIN-HARBOUR SHIP-HANDLING
4.1 Anchoring under windy condition
Theseries of ship-handlingfor anchoringconsists of
four simplemanoeuvringelements, i.e. approaching,
stopping, laying out anchor and fetching up. When
approaching, itisnecessarytoproceedontheplanned
track and reducethespeed by thecoasting manoeu-
vre.TheproposedMHPoperationisapplicableforthe
coastingmanoeuvrewhileapproachingtheanchorage
especiallyunder windycondition. Whenstoppingfor
Figure6. Exampleof controllingyawmomentbyapplying
leehelmprior toreversing. (Left wind, 10m/s).
laying out anchor, it is essential to control theships
heading into theresultant of all external forces such
as wind and current. The proposed steering control
method can beapplied to themanoeuvreto stop the
shipwhilekeepingher headingintothewind.
The authors applied the above two control meth-
ods totheactual anchoringof thetest shipunder the
7.5m/sbeamwindconditionandtheresultsareshown
in Figure 7. During the approach ship-handling, the
test shipfirst reducedher CPP bladeanglefromdead
slowaheadtotheMHPwhileproceedingat4knotsfor
speedreductionandproceededontheplannedtrackby
applyingleehelmproperlytocontrol theheadturning
moment to windward. Next, when theheadway was
reduced to 3knots, thetest ship used hard-starboard
steeringtoapplythemaximumyawmoment towind-
ward. After the yaw moment increased sufficiently,
thetest ship changed thebladeangleto slow astern
directly, skipping thepropeller pitch zero operation.
Finally, thetestshipstoppedwithher headingintothe
windandthechainwaslaidoutadequatelytoleeward.
Theaboveresultsof thefull-scaleexperimentindicate
that theproposedmethods canbeeffectively applied
toanchoringunder external forces.
4.2 Crash stop astern manoeuvre in
a harbour area
Theproposedsteeringcontrol methodduringthestop-
ping manoeuvre is applicable to the crash astern
356
Figure 7. Effective CPP ship handling for anchoring in
windycondition(Full scaletrial).
manoeuvretoavoidcollisionwithother ships. Inthis
case, it isnecessary tostoptheshipwiththeshortest
distance by the propeller reverse operation and turn
her head to thestarboard as great as possibleby the
steering. Toachievethiscollisionavoidancemanoeu-
vre, theauthorsrecommendtheship-handlingmethod
that putsthepropeller tofull asternafter applyingthe
starboardheadturningmomentbythemaximumrud-
deranglesteeringandconfirmtheeffectivenessof this
methodbysimulation.
The results of the crash astern manoeuvre, while
proceedingat 6knots, that utilizesthemaximumrud-
der anglesteeringtostarboardprior tothefull astern
operation are shown in Figure 8. In the case of the
crash astern manoeuvre with the rudder amidships,
thetest shipstoppedturningher headslightly to the
right of theoriginal track, andboththeheadturning
angleandthesidereacharenotenoughtoavoidcolli-
sion. Ontheother hand, whenthemaximumstarboard
rudder anglewas applied prior to thereverseopera-
tion, bothsufficient starboardheadturningangleand
side reach to avoid collision were obtained. On this
crashasternmanoeuvre, althoughthe15seconddelay
inthereverseoperationis observedcomparedto the
manoeuvrewiththerudder amidships, theheadreach
showsthesamefigure(2.5L).Thisseemstobedueto
theadditional resistancewhichisexertedbythesteer-
ingandtheobliquedrift of thehull inthecaseof the
manoeuvrewiththemaximumrudder anglesteering.
1
0
-1
3 2 0 -1
Midship
Starboard35
4
Y's
X's
1
2
0
-2
[m/s]
U
150 120
90 60 30 0
30
0
-30
[deg]
[sec]
,
15
0
-15
[deg]
U
Figure 8. Example of the crash astern manoeuvre that

applies maximumstarboard rudder angle prior to the pro-
peller reversing(Calmcondition).
Therefore, itcanbeinferredthatthereislittleeffectof
thereverseoperationdelayonthestoppingdistancein
theproposedcrashasternmanoeuvre.
Next the authors performed a simulation study
to confirm the effectiveness of the proposed crash
astern manoeuvre under windy condition. The sim-
ulationwasconductedwith10m/swindsfor various
winddirectionsandtheobtainedresultsareshownin
Figures912.
Inthecaseof thecrashasternmanoeuvrewiththe
rudder amidships, the test ship stops almost on
the original track with slight head turning, however
thehead turning angleis not sufficient for collision
avoidanceinthehead-onsituation. Ontheother hand,
thecrash astern manoeuvrewith themaximumrud-
der anglesteering, bothsufficientsidereachandhead
turninganglefor collisionavoidanceareobservedfor
eachwinddirection.
This simulation study demonstrates that the pro-
posedcrashasternmanoeuvreiseffectiveforcollision
avoidanceunder windycondition.
5 CONCLUSION
The authors performed full-scale experiments and
a simulation study in order to develop an effective
control method for CPP ships during the coasting
357
Figure9. Crashasternmanoeuvrewithmaximumstarboard
rudder angle(Headwind, 10m/s).
Figure 10. Crash astern manoeuvre with maximumstar-
boardrudder angle(Right wind, 10m/s).
manoeuvreandstoppingmanoeuvre. Resultsobtained
inthisstudyaresummarizedasfollows.
(1) CPPshipsunder coastingusingtheMHParecon-
trollablebysteering, makingitpossibletokeepthe
plannedcourse.
(2) For ships withasingleCPP andasinglerudder,
theMHP operationimprovesthemanoeuvrability
incoastingandin-harbour ship-handling.
(3) The unstable head turning motion of CPP ships
duringthestoppingmanoeuvrecanbecontrolled
sufficiently by the ship-handling method that
applies turning motion to the ship by the maxi-
mumrudder anglesteeringprior to thereversing
operationof theCPP.
(4) This ship-handling method is applicable to the
ship-handling for anchoring under windy condi-
tion and the crash astern manoeuvre in a har-
bour area.
(5) Proposedsteeringcontrol techniquesareapplica-
bleandeffectivefor thein-harbour ship-handling
of CPP shipswithforwardaccommodationssuch
as the test ship. It remains to be seen whether
boardrudder angle(Left wind, 10m/s).
boardrudder angle(Tail wind, 10m/s).
thesetechniquesareapplicablefor theshipswith
different configurations.
REFERENCES
Inoue, K. et al. 1992. Unstable yawing motion of a ship
equipped CPP. Journal of Japan institute of navigation,
vol. 87:163170(inJ apanese)
Takeda S. et al. 1992. Coasting manoeuvre of single CPP
equipped ship. Journal of Japan institute of navigation,
vol. 86, 243250(inJ apanese)
Yabuki etal. 2006. Turningmotionof ashipwithsingleCPP
andsinglerudderduringstoppingmanoeuvreunderwindy
condition. Proc. of international conference on marine
simulation and ship manoeuvrability 2006:M6-1-8
Yabuki et al. 2005. A proposal of minimum ahead pitch
manoeuvring for single-CPP, single-rudder ships. Jour-
nal of Japan institute of navigation, vol. 112:331337
(inJ apanese)
Yabuki et al. 2007. On the rudder control during stopping
manoeuvre for single-CPP, single-rudder ships. Jour-
nal of Japan institute of navigation, vol. 116:153160
(inJ apanese)
358
8.7
NewBlackSeaTerminal of port Kulevi andit navigatingfeatures
A. Gegenava, N. Varshanidze& G. Khaidarov
Batumi Maritime Academy, Batumi, Georgia
ABSTRACT: In May, 2007 in Georgia the new Black SeaTerminal (including the complex of a railway
junction, capacitiesforstorageof oil) wasopenedintheportKulevi. Necessityof creationof thenamedterminal
inGeorgiawascausedbyfollowingfactors:
1. Thenecessityof searchandthecreationnewalternativewaysof safetransportationof oil toEurope;
2. A favourablegeographical positionof Georgia Asia, theNear East andEuropecrossroads;
3. Presence of already existed means of communication between Georgia and oil-producing regions
Kazakhstan, TurkmenistanandAzerbaijan.
Choosingtheportandterminal placeitwasnecessarytobeguidedfirstof all bymaintenanceof safetynavigation
andminimumexpensesfromthepointof viewof aneconomicprofit. Thatiswhythespecial attentionwaspaid
tosearchof anatural reservoir withanexit inthesea.
This articledeals with thequestions of construction of theoil terminal, maintenanceof port Kulevi with
meansof thenavigatingaidsandfeaturesof enteringandleavingvessels.
1 INTRODUCTION
Theideaof constructionof theoil terminal cameinto
viewin1998. Thespecial attentionwaspaidtosearch
of a natural reservoir with an exit in the sea. After
longdebatethesettlement Kulevi waschosen. Bythe
end of 1998 survey and a preparatory works began.
Theworkslastedfor oneyear andinDecember 1999
constructionworksof theoil terminal andportKulevi
began.
Thepositionof terminal istheriver Khobi mouth,
settlement Kulevi Latitude42.16N & Longitude
041.38 E, flowing into theseaon distanceof 17km
fromportPoti.Theriver Khobi flowingintoBlacksea
between the rivers Enguri (15kmto the North) and
Rioni (8kmto theSouth) (seefig. 1). Thelowcoast
Figure1. Locationof BlackSeaTerminal & Port Kulevi.
betweentheriversisborderedbyshoal whichisformed
bycarryingoutof theserivers. Thecoastintheregion
of theriver Khobi islowandsandy. Thechoiceof the
givenplacewascausedbythefollowingreasons:
1 Presenceof closely locatedpowerful railway junc-
tion Samtredia;
2 Presenceof thebigareasof freeterritoriessuitable
for construction;
3 Presenceof thedevelopedinfrastructureof ahigh-
waymotorway;
4 Natural bigdepthof amouthof theriver Khobi
69meters;
5 Depths around the mouth of the river Khobi
smoothly increase in process of removing from
coast: 10meters contour linepasses indistanceof
1.3kmfromcoast; 20meterscontour line 2.5km,
and30 meterscontour line 3.2km.
6 Possibilityof anarrangementof mooringsontheleft
bankof theriverKhobi whichinthisareapractically
isnotwashedaway, andalso, possibilityof creation
of theentrancechannel, directionof which, practi-
callywiththeminimumexpenses, coincideswitha
directionof aberthingline.
2 CONSTRUCTIONOF THE OIL TERMINAL
ANDPORT KULEVI
Thebasic criteriaat construction of theoil terminal
and port were: taking into account the natural and
climaticconditionsforcreationprotectedfromexcite-
mentandsedimentsof aquatorywiththeleastvolume
of dredging operations; preservation of the regions
359
Table1. Typesof tankersareprocessedwiththeterminal andport.
Deadweight (t) 100.000 40.000 28.700 17.100 7.600
LengthOverall (m) 250.0 195.0 179.0 151.5 114.6
BreathMounded(m) 42.2 28.0 25.3 22.4 16.5
Max. Draft Loaded(m) 15.0 12.2 11.0 8.7 6.0
ecosystem; construction of the oil terminal on han-
dlingandtostorageof oil; constructionof newport
Kulevi with anavigation channel; maintenancewith
theterminal and port processing of tankers given in
table1.
Constructionof port andtheterminal wassimulta-
neouslycarried.
Territory of port occupied approximately 10 acre,
and the terminal of 173 acre. In this territory the
sea level froma chart datumon long-termsupervi-
sion varies from 0.1 up to 1.0 meters. Because of
a wave mode of the sea and prevention of flooding
fromthemouthof theriver Khobi territoriesof port,
thedecision to raisesafeheight construction froma
chart datumupto 2.5meters it was accepted. In the
beginning of construction approximately 11000 m
3
of the vegetative layer of a ground (sickness of 0.5
meter), was removed. For formationof theconstruc-
tionareasapproximately70000m
3
of asandyground
werecovered. Dredgingoperations at theright coast
of amouthriver Khobi anddirectlyinaquatoryof the
futureport werecarriedout withthehelpof dredgers
and dredges allowing theincreasing of thewidth of
aquatory up to 290 meters. The design of a moor-
ing facility of port was constructed in thefollowing
sequence: creation of an obversewall by immersing
of pilesfrommetal grooves, marksLX-32, alternation
27and25meter piles; immersingof pilesfrommetal
pipesdiameter 820mmondepthupto25metersina
unloadingwall; immersingof piles frommetal pipes
diameter 1020mmondepthupto27metersinanchor
wall; dredgingfrompipes, usinggrabplant; installa-
tionchannel framesinheadsof pilesfrompipeswith
concreting; installationof anobversedistributivebelt;
dredgingunder anchor bar; stackingof woodennoz-
zles under anchor bar; installation anchor bar using
thecranewiththeirtension; concretinganchorbeams;
coveringanchor bar asandy groundwithalayer not
lessthan1meter; concretingheadamooring; dribble
feedbosomsof amooringuptoabottomof afinal cov-
ering with level-by-level condensation; arrangement
of amooringafter theendof dredgingoperationsat a
mooringandinwater areaof port.
As a result of the made construction the new oil
terminal andport Kulevi consistsof:
Theoil terminal on handlingandto storageof oil
distributed in 16 shore tanks, each in volume of
20000m
3
(seefig. 2);
A complex of hydraulic engineering construc-
tions providing unloading of oil fromrailway or
roadtransport toshoretanks, communicationwith
objects of a tank farm, transportation of oil to
mooringsandtheir loadingontankers;
Figure2. Shoretanksof oil terminal.
Figure3. Hydraulicengineeringconstructions.
Figure4. Hydraulicengineeringconstructions.
360
Figure5. Navigationchannel.
Hydraulicengineeringconstructions, whichconsist
of: mooringNo. 1for receptionof vesselsbydead-
weight 100000T., mooring No. 2for reception of
vesselsbydeadweight 40000T. andmooringNo. 3
for vesselsof auxiliaryfleet (seefig. 3, 4);
A navigationchannel, including: theentrancechan-
nel, manoeuvringspace swingingroom(swinging
pool) andoperational spaceatmoorings(seefig. 5).
3 NAVIGATINGPROVISIONOF PORT KULEVI
3.1 ORT Kulevi
Port Kulevi (42
16
/
N, 041
38
/
E) is located in the
mouthof theriver Khobi, thesettlement Kulevi, run-
ning into the sea on distance of 17kmto the North
fromport Poti.
Depths inmouthsites of therivers Enguri, Khobi
and Rioni are changeable because of moving sedi-
mentsandconstantseastreamdirectedfromtheSouth
ontheNorthupto0.40.6knots.
Grounds inacoastal zoneuptocontour line10m
silt withfinesand, inseazone densesilt withfine
sand, clay, abrokenshell.
Fogs inareaof amouthof theriverKhobi 29days
withfogsontheaverageper year.
Visibility ismainlygood.Visibilityrangemorethan
5milesisobservedin90%of cases. In65%of cases
visibility range about 10 miles transmissivity of
atmosphereT=0.74.
The entering channel begins on natural depths
and proceeds up to a mooring No. 1. Length of the
channel 2.3 miles, width in a bottom 210m,
estimateddepth 18,2m.
The manoeuvring space is used for a swinging.
Diameter swinging room(swinging pool) 500m,
which is settled on the distance of 800m from a
mooringNo. 1.
Operational space meets the conditions of safe
manoeuvring of vessels in narrowpools with aone-
way location of moorings. The width of operational
spaceis 230m.
Moorings No. 1for receptionof vesselsbydead-
weight 100000T., No. 2 for reception of vessels by
deadweight40000T. andNo. 3forvesselsof auxiliary.
Anchorages theareaNo. 200is locatedonouter
roadsof port Poti, indistanceof 5milesontheSouth
fromamouthof theriver Khobi.
Thewesternpart of this areawithdepths from20
upto90missuitablefor anchoragetankerswithdraft
upto15m.
Pilot Compulsory.Vesselsexpectpilotageinarea
of No. 200. With thehelp of VTS operator thepilot
meetsavessel at receivingbuoy(OMT2) in2.3miles
to NW fromanextremity of amooringNo. 1. Com-
municationwithoperatorVTSandthepilot iscarried
out onVHF, thechannel 73.
Aids of navigation providenavigationof vesselson
theenteringchannel inthedaytime. Navigatingorien-
tationis carriedout withthehelpof complex useof
coastal and floating aids of navigation. Theentering
channel is equippedwithsector light beacon PEL-
6-10D, fixedonanaxisof thechannel andafloating
protectingbuoy, exposedonouter limit of fairwayon
Lateral System(IALA) RegionA redtoportside.
Swingingpool andthedeepspaceof portareprotected
special buoys.
Navigation regime in the zone of responsibility
of Georgia is performed in accordance with recom-
mendedroutes, whichareindicatedonthechartsand
pilot books. Recommended track from the port of
Kulevi to the port of Poti navigation should be car-
ried out in accordance with two-way recommended
track, the separate line of which is laid through the
recommendedtwo-waytrackNo. 02(seetable2).
3.2 VTS Navi Harbour of port Kulevi
For provision of complex systemof safety of navi-
gation of tankers on thechannel and to moorings of
theterminal, VTS NAVI HARBOURof portKulevi
was created, including the following equipment and
elements(seefig. 6):
Radar station Bridge Master-E with the radar
processor;
TheregistrarVHF VTSAudio;
Server referencedataVTS (VTS InformationSys-
tem);
ServerVTS;
Theequipmentof operatorVTS MonitorTFT24",
thePCof theworkstation, thespecializedkeyboard
of operatorVTS,Softwareoperatorsdisplaymodule
Navi Harbour (seefig. 7);
System of TV observation VTS consisting of
CCTV camcorder VTS of 120 mm, with rotator
andcontrol panel,TVmonitorTFT20", observation
registrar (CCTV) (seefig. 8);
BasestationDGPSTrimbleDCM232;
BasestationTransasRedundant UAIS;
361
VHF VTS ICOM-M602 and ICOM-A110 for
communicationwithaircrafts;
Coastal station GMDSS A1 16/70 channel 2x
RT4160, DSC modemT500.
Table2. Recommendedtwo-waytrackfromtheport of Kulevi totheport of Poti.
Coordinatesof thepoints
Nameof thepoint LatitudeN LongitudeE Directionof thewaybetweenthepoints Nautical miles
K01 =42
18.78
/
N =041
32.97
/
E 186-06 4,2
P01 =42
14.63
/
N =041
32.36
/
E
Figure6. TheblocschemeVTS-Navi Harbour Port Kulevi.
Figure7. Workstationof operatorVTS.
Recommendedtracks pass indistance810miles
fromcoast and thereareno navigating dangers near
them.AccordingtoResolutionIMOA.529theareaof
navigationisrelatedtoavoyagestage approaches
Figure8. Systemof TV observationVTS.
362
to ports. Under the calculations and the analy-
sis of the received indicators carried out for, the
following conclusion was made for recommended
enteringtracks: thevisual navigationaidsdonot pro-
vide necessary accuracy of position fixing during
navigationonthechannel.Necessaryaccuracyof posi-
tion fixing is possible only by using sector leading
light, floatingnavigatingprotectionsandVTS NAVI
HARBOUR.
3.3 Analysis of hydrometeorological conditions
The analysis of hydrometeorological characteristics
showed, that the limiting factor, influencing on
the safety of navigation and effective operation of
hydraulicengineeringconstructionsof port Kulevi, is
theexcitementarisingmainlyatactionof windsof the
westerly.
Thus, ataninitial stagewindconditionsof thegiven
areawerecarefullyanalyzed.
The analysis of wind conditions showed, that the
basic wavecreatingwinds arewinds of thewesterly.
The winds of easterly are coastal and do not render
essential influenceonawavesituation(seefig. 9).
The most dangerous, from the point of view of
safety of navigation, are winds of the western and
southwest directionsduetothebigdispersal of waves
(seetable3).Atmoderateandroughseaonapproaches
toamouthof theriver Khobi thetiedripisformed.At
roughseainamouthof theriver itisobservedtyagun.
Figure9. Annual windrose.
Table3. Winddirections& speedinharbourageof Kulevi port.
Direction
Speedof awindm/s N NE E SE S SW W NW Total
Calm 8.2 8.2
14 1.7 5.0 17.3 4.2 4.6 12.2 10.4 4.5 59.9
59 0.3 1.1 8.7 0.9 1.8 5.3 3.4 1.3 22.8
1015 0.1 3.4 0.1 0.5 1.1 0.9 0.3 6.4
More15 0.1 1.9 0.1 0.2 0.3 0.1 2.7
Total 8.2 2.0 6.3 31.3 5.2 7.0 18.8 15.0 6.2 100
4 FEATURESOF ENTRANCEANDEXIT OF
VESSELSTOPORT KULEVI
In-coming channel of port Kulevi has the following
data: length 2.3miles;
Distancefromreceivingbuoyuptoswingingpool
1.2miles; diameter swingingpool 500meters; dis-
tancefromthecentreswingingpool uptoanentrance
toport 5.7cables.
Forasafeentranceandexitof vesselsatleast3tows
areused.
Theentranceiscarriedout onatechnological card
of enter andmooring(seefig. 10):
Enteringvessel accepts thepilot at receivingbuoy
(OMT2) and under supervision of operator VTS
begins to move on an axis of the channel with
maximumcritical speedof 45knots.
For fast repayment of headway of avessel, during
itsmovetoswingingpool topasssterntowingline
onatug.
Onarrival of avessel totheswingingpool itsinertia
decreases, andturnof avessel begins throughthe
starboard(position1, 2) withthehelpof two tugs
andbowthruster (if thoseareat enteringvessel).
A vessel is swinging180
(position3, 4), thenthe

stern tug starts to tighten a vessel to stern in a
directiontoamooring(aposition5).
Theexit of avessel iscarriedout without any dif-
ficultiesasavessel standsbowoutwardat amooring.
Figure10. Technological cardof enter andmooringtankers
of Kulevi port.
363
Itisnecessarytomakesmall effortsfromthebowand
sterntowithdrawavessel usingtugsfromamooring
andit immediately appears on achannel axis andin
its own power exits outward moving on thechannel
toreceivingbuoy under thedirectionof thepilot and
operatorVTS.
5 CONCLUSIONS
Itispossibleconclude,thatprospectof developmentof
portKulevi fromthepointof viewof safetynavigation,
itseconomicfeasibilityandalsoeffectiveoperationof
hydraulicengineering:
In connection with that buoys, bordering width
of the channel are established on depths of 812
meters, andtheir anchor cableslengthis30meters.
Theydrift under theinfluenceof current, thewidth
of thechannel variesandabasisof safemovement
of avessel in thechannel is orientation with help
VTS NAVI HARBOUR.
Inareaof port Kulevi dynamicsof thesedimentsis
caused, basically, afirmdrainsof theriver
Khobi. Thebasic sedimentationof depositsoccurs
on internal water area, and also on asiteentering
channel in0700meters, thatiswhyitisnecessary
to carry out measurements of depths per 2 weeks
andafter eachstorm.
The most dangerous, from the point of view of
safety of navigation, are a wind of the western
and southwest directions. It is expedient to carry
out the complex analysis of hydrometeorological
characteristics inareaof port Kulevi withthepur-
pose of development of an optimum variant of
theprotectiveconstructions, allowingtoincreasea
degreeof navigatingsafety at navigationonwater
area, andalsotoincreaseefficiencyof itsoperation.
REFERENCES
Georgian Maritime Administration, The Regulations On
establishing thetraffic separation scheme, separation of
seacorridorsandmaritimespecial areasintheterritorial
seaof Georgia. www.maradgeorgia.org
Dzhaoshvili S. Hydrologic-morphological processes in
mouth zone river Rioni and their anthropogenesis
changes. Water resources, w.25, No. 2, 1998.
Varazashvili N. Geological processes and the phenomena
in a zone of construction of sea hydraulic engineering
constructions and actions on improvement of a coastal
situation. Engineering geology (excerpt). Academy of
SciencestheUSSR. Moscow, 1983.
Dzhaoshvili S. New data about beach formed sediments
of acoastal zoneof Georgia. Water resources(excerpt).
Academyof SciencestheUSSR. Moscow, 1984.
Materialsof supervisionoverelementsof ahydrometeorolog-
cal modefor theperiod19711999. (Informationof Poti
mouthstations).
Bettes P. Diffractionandrefractionof surfacewaves using
finiteand infiniteelements. Numerical Meth. London,
1997.
BachH., ChristiansenP. Numerical investigationsof creep-
ingwavesinwater theory. ZAMM. NewYork, 2004.
Black Sea Terminal of Port Kulevi. http://www.
kulevioilterminal.com
364
8.8
Analysisof theinfluenceof current onthemanoeuvresof the
turningof theshipontheportsturning-basins
J. Kornacki
ABSTRACT: Thepaper presentstheproblemof theinfluenceof current onshipduringthemanoeuvreof the
turningandinfluenceonthismanoeuvre. Thetestof thedifferentqualificationof theinfluenceof currentonthe
manoeuvreof theturningof theshipwasundertaken. Theanalysisof theinfluenceof thecurrentwasconducted
onthismanoeuvre.
1 INTRODUCTION
1.1 The turning basins
Canbeunderstoodasatwodifferentmeanings.Firstas
themanoeuvringareaappointedbytheships. Second
as the hydro-technical building artificial or natu-
ral with suitablehorizontal and vertical dimensions,
wheretheconsiderablealterationsof thecourseof the
shipareexecuted.
Themanoeuvreof shipsturningisoneof theoften
port manoeuvres. Theshipsturningisexecutedevery
timeduring theships port call. Simultaneously, it is
comparativelylittleexamined.Weknowthattheinflu-
enceonthesizeof turningbasinduringthemanoeuvre
havethelargequantityof factors.
Theturningsof theshipsarepracticesintheplace.
Thisshouldbeunderstandasthechangeof thecourse
of theshipwhoselinear speeds, duringthemanoeu-
vre, arecloseto zero. Turning theship over is done
on the turning basin as a result of the planned tac-
tics of manoeuvring and can bedoneon itself or in
co-operationwithtugsor useof anchorsor spring.
Turning basins areareas appointed and thereser-
voirs not appointed on which theturn of theship is
executedwiththeconsiderablevalueof thecourseand
theyareapartof channelsorportbasins. Certainlydue
tosafety,theturningbasinasthehydrotechnical build-
ingalwayshastobelarger inall dimensionsthanthe
manoeuvreareatoavoidthecollisionwithbottomor
bank(Kornacki & Galor 2007).
1.2 Designing of turning basins
Two methods of defining their dimensions can be
use.Thoseareanalyticmethodandsimulatingmethod
(Kornacki, 2007).
Analytic method is the very simplified. Turning
basinsaredividedontwogroups. Firstgroupestablish
non-currents turning basins. Second group establish
turning basins on currents waters. It is premised
that theturn of theship is described by thecircular
area and in the case of currents waters, the area is
describedby theshapesimilar to figures definiteby
twosemicircleandtwostraightlinesjoiningthem the
stretchedwheel similar toellipse. Thedepthof water
ontheturningbasins is definedindependencefrom
loading status of turned over ships (Kornacki, 2007;
Dz.U.98.101.645).
The dimension of the turning basin on the non-
current waters defines the equation 1 (Gucma &
J agniszczak, 2006; McCartney, 2005):
The dimensions of turning basins on the cur-
rent waters define the equations 2, 3 (Gucma &
J agniszczak, 2006; McCartney, 2005):
Thesimulatingmethodof designingtheparameters
of turningbasinsarebasedonseriesof testsincom-
parableconditionsonpreparedmodel of reservoir and
themodel of theshipplannedtousetheturningbasin.
Theresultsof testsaresubjectedthestatistical process-
ing.Effectof thatkindof researchisdelimitationof the
areaof manoeuvringontheturningbasinaccordingto
thevariousfoundationsof hydrometeorological con-
ditions, variousparametersof shipsandvariouslevels
of the trust. Characteristic feature of the simulating
methodisthatsimulatingmodelsof theshipmanoeu-
vring are especially designed to the solved problem
(Guziewicz &

Sl aczka, 1997; Theunpublishedreport
1995; Theunpublishedreport 2000).
365
Figure1. Thetendencyof thestoppedshipmovement with
oppositecurrent.
Figure2. Thetendencyof thestoppedshipmovement with
current.
2 CURRENTSINFLUENCE
A featureof anyriver manoeuvresisthecurrent. It is
commonfor ariver berthtolieinthesamedirection
astheprevailingcurrent sothat thecurrent canassist
withturningandberthing. Inthis case, aturningcan
bedonewithacurrent or oppositeacurrent.
Opposite current give the advantage of relatively
high speed through the water with a reduced speed
overtheground. Consequently, steerageatlowground
speed is improved by the good water flow over the
rudder. Theshipwill beeasier tostop.
Certainly, manoeuvring with a current give com-
pletelydifferentsituation. Highspeedover theground
maymeanlowspeedthroughthewater. Itisnecessary
totakecareof groundspeedall thetime.
Belowfigureshowthetendencyof thestoppedship
movement.
Weshouldnotethat currents areusually complex,
with varying rates and directions that can change
hourly. Local knowledge is essential for safe navi-
gation. A ship making headway into a current, but
stopped over the ground, will have a forward pivot
point.
Theinfluenceonmanoeuvringis serious for even
weak currents like knots. It depends of the ship
Figure3. Thelateral andlongitudinal ships areawithwet
surface.
typeand theobjectives of manoeuvring in asmaller
extentthanincaseof strongwind. Onrestrictedwater
areaeverything is fineas long as manoeuvring ship
remainsunder aspeedof afewknotsandthecurrent
isnot sostrong. Thesituationcanbeworst incaseof
dynamic positioning or low speed manoeuvring like
shipsturning.
TheshipoutlineisdemonstratedinFigure2.
The ship manoeuvring motion equations are as
follows(Artyszuk2002):
The influence of current is a part of hull forces,
whichareapart of:
Hull forcescanbeshown:
3 ANALYSISOF CURRENT EFFECT DURING
SHIPSTURNINGTRIALS
Tests of ships turning are based on chemical tanker
model.TheshipdataissummarisedinTab.1(Artyszuk
2005).
Theanalysisof thecurrenteffectduringshipsturn-
ing on the turning basin is based on the series of
turning-tests. Thetestswereexecutedinthewideport
366
Table1. Shipsmodel data.
TYPE: chemical tanker
L
OA
103.6[m]
L
BP
97.4[m]
B
M
16.6[m]
T
M
7.1[m]
H 9.4[m]
H
A
35.2[m]
Figure 4. The turning manoeuvre without current ship
shapesintimeof commands.
Figure 5. The turning manoeuvre without current ship
shapesinevery30s.
channel invariouscurrent conditions. Testswereexe-
cuted apply the model of the ship mentioned above
chemical-tanker, withouttheuseof tugboats, withown
propulsion, standard35degrees rudder andthrusters
(Artyszuk 2005). Port channel had the width of the
quadruple of the length of the ship and had not the
influenceontheareaof manoeuvring. Thetestswere
begun fromthesameplaces and interrupt after turn
over shiptofinal course270
.
3.1 Turning manoeuvres without current
First, for the comparison, the series of tests was
conductedwithoutcurrent.All testswereinsameenvi-
ronmental condition. It means: shallow water, slow
speed, nowind, starboardandport turningandusage
of ruder, main propulsion (ahead/astern) and bow
thruster if necessary. Resultsareintroducedbelow.
Figure 4 and 5 present typical turning manoeu-
vre with starboard turn without current. Below are
present manoeuvring areas on turning basin (Fig. 6)
andcomparisonwithanalyticmethod(Fig. 7).
Figure6. Themanoeuvringareasonturningbasinwithout
current.
Figure7. Themanoeuvringareasonturningbasinwithout
current comparedwithanalyticmethod.
Figure 8. The manoeuvring areas on turning basin with
oppositecurrent.
Resultsbaseonseriesof 30tests.
3.2 Turning manoeuvres with opposite current
All tests were in same environmental condition as
without current (shallowwater, slowspeed, no wind,
starboard and port turning and usageof ruder, main
propulsionandbowthruster).Similarasbefore30tests
were conducted. Current had 2knots and direction
270
. Resultsareintroducedbelow.
Figure 8 presents manoeuvring areas on turning
basin with opposite current. In all cases tests were
conducted as much as possiblearound beginning of
co-ordinates. Figure9presentscomparisonresultsof
analyticmethodandsimulatingmethod.
367
oppositecurrent comparedwithanalyticmethod.
Figure 10. The turning manoeuvre, starboard turn, with
current090
and2knots shipshapesintimeof commands.

Figure 11. The turning manoeuvre, starboard turn, with
current 090
and2knots shipshapesinevery30s.
3.3 Turning manoeuvres with current
Duringtestsof turningmanoeuvreswithcurrent, sim-
ilar likebefore, all environmental conditionsstay the
same. Current had2knotsanddirection090
.
First, theshapesof typical testsarepresented.
Next, manoeuvring areas on turning basin with
current arepresents(Fig. 14).
Comparison of results of analytic method and
simulatingmethodispresentedbelow.
3.4 Comparison of turning manoeuvres in different
current conditions
Itwasinterestingwhatdifferencesarebetweenthevar-
ioustestsgroupsof themanoeuvresof theturningof
theship. Onecanobservedifferencesinmanoeuvring
Figure 12. The turning manoeuvre, portside turn, with
current090
and2knots shipshapesintimeof commands.

Figure 13. The turning manoeuvre, portside turn, with
current 090
and2knots shipshapesinevery30s.
current.
areasappointedfor variouscurrent conditions. But, if
theinfluenceof thecurrent ondifferent elements for
thishides.
Thecomparisonof theprofileof yowvelocitywas
introducedindependencefromthecourseof theship
for threetypical current situationsbelow.
It is easily to noticethat thereareno considerable
differences in the course between individual situa-
tions. Onecanqualify thephaseof thegrowthof the
yow velocity, then the period of changing course in
dependencefromthetacticsof themanoeuvrewiththe
possibletothequalificationmaximum, andfinallythe
phaseof slowingdowntheyowvelocityintheaimof
thepositionof theshiponthenewcourse.
Youcannot alsoseetheconsiderabledifferenceof
periodof executingmanoeuvres.
368
current comparedwithanalyticmethod.
Figure16. Turningrate[deg/min] ondifferenttestsgroups.
Figure17. Averagetimeof manoeuvres on different tests
groups.
Thedifferences what can beobservethey arethe
result of hurryduringtheexecutingof themanoeuvre
rather, intheaimhisof thesaferealization.
3.5 Work of current
Looking on the manoeuvring areas of individual
groups, youcanseethat current hastheinfluencenot
onlyonthegrowthof thedimensionintheaxisof the
workingof thecurrent but healso influences growth
of widthof sucharea. Weobservethedifferences in
width of manoeuvring areas of gradeten percent of
the width of the manoeuvring area without current.
Acceptingthesteadyworkingof thecurrent, itcanbe:
Workingof thecurrentcanbeunderstoodasthekinetic
energycausingpositionoffset.
4 CONCLUSIONS
According to the above examinations some general
pointscouldbeformulated.
The manoeuvring area is not complaint with this
appointedbytheanalyticmethod.
Itwasobserved, largerfromforeseen, theextension
of thesizeof theturningbasinuponthewidth.
It was observed, smaller fromforeseen, theexten-
sionof thesizeof theturningbasinuponthelength.
The current does not have the significant influ-
enceonsteppingout yowvelocityandthetimeof the
manoeuvre. However certaininfluencehas onaccel-
erations, what joinswiththeoccurrenceof additional
strengths on the hull and different moving the ship
causes.
Theshiponthecurrent behaves likethewingand
not as theinert object moving oneself together with
thesurroundingher environment. Itjoinswiththeuse
of ships drivepropulsions obviously, andoccurrence
onthehull of thesuctionsideandthepressureside.
Onecanapply thework of thecurrent onthehulk
to thequalification of thesizes of theturning basin
whilemanoeuvringonthecurrent.
5 SYMBOLSANDUNITS
b
o
widthof theturningbasin[m],
B
M
mouldedbreadth[m],
drift angel [
],
c
fxC
, c
fyC
, c
mzC
hall coefficients[], [], [],
d
o
diameter of theturningbasin[m],
F
x
, F
y
, M
Az
external total surge, swayforcesandyaw
moment [N], [N], [Nm],
h depth[m],
H
A
air draught fromthekeel [m],
L
BP
lengthbetweenperpendiculars[m],
L
OA
lengthover all [m],
l
o
lengthof theturningbasin[m],
m, J
zz
massandinertiamoment [kg], [kgm
2
],
m
11
, m
22
, m
66
virtual masses[kg], [kg], [kgm
2
],
s
C
lengthshiptracktofinal positionoffset [m],
T
M
draught [m],
t
o
timeof theturning[s],
v
c
speedof thecurrent [m/s],
v
d
driftingspeed[m/s],
v
x
, v
y
,
z
surge, swayandyawvelocity[m/s], [m/s],
[1/s],
369
water density[kg/m
3
],
W
C
workof wind[J ],
H, P, R, A subscripts indicating respectively: hull,
propeller, rudder or wind
ACKNOWLEDGEMENTS
I wouldliketothankJ aroslawArtyszukforthefacility
of theapplicationof thesimulationof manoeuvringthe
shiptoscientificof aims.
Some part of tests was executed using the Ship-
handlingSimulator.
REFERENCES
Artyszuk, J. 2002. WindEffectinShipManoeuvringMotion
MM aReviewAnalysis. EXPLOSHIP 2002Maritime
Universityof Szczecin.
Artyszuk, J. 2005. Methodical guideof theshipsmaneuver-
ing simulation with application. MaritimeUniversity of
Szczecin.
Dz.U.98.101.645Minister TransportationandSeaEconomy
decree w sprawie warunkw technicznych, jakim
powinnyodpowiada cmorskiebudowlehydrotechnicznei
ichusytuowanie.
Gucma, S. &J agniszczak, I. 2006. Nawigacjadlakapitanw.
Gda nsk: Fundacja Promocji Przemysu Okr etowego I
Gospodarki Morskiej.
Guziewicz, J. &

Sl aczka, W. 1997. Szczecin: Themethodsof
assigningships manoeuvringareaappliedinsimulation
research, International Scientific andTechnical Confer-
enceonSeaTrafficEngineering, MaritimeUniversityof
Szczecin.
Kornacki, J. &Galor,W. 2007. Gdynia:Analysisof shipsturn
manoeuvresinport water area. TransNav07.
Kornacki J. 2007. The analysis of the methods of ships
turning-basinsdesigning. Szczecin: XII International Sci-
entific andTechnical ConferenceonMarinTraffic Engi-
neering, MaritimeUniversityof Szczecin.
McCartney B. 2005. Ship Channel Design and Operation.
AmericanSocietyof Civil EngineersNo. 107.
The unpublished report 1995. Badania symulacyjne ruchu
statkwwbaziepaliwpynnychw
Swinouj sciu. Maritime

Universityof Szczecin.
Theunpublishedreport 2000. Analizanawigacyjnadlaprze-
budowanego Nabrze za Grnikw w porcie handlowym
Swinouj scie. Naval Universityof Szczecin.

370
Chapter 9. Sea-river and inland navigation
9.1
Satelliteandterrestrial radionavigationsystemsonEuropean
inlandwaterways
J. J anuszewski
ABSTRACT: Theusefulnessfor all seausersof SatelliteNavigationSystems(SNS), SatelliteBasedAugmen-
tationSystems (SBAS) andAutomatic IdentificationSystem(AIS) is well known. Thepossibility, actual and
future, of theutilizationof all thesesystemsonEuropeaninlandwaterways, GPS augmentedby IALA DGPS
referencestations, GPSaugmentedbyEuropeanSBAS EGNOSfromdirect SignalinSpace(SIS) andGPS
augmentedbyEGNOSfromretransmissionoverAIS, ispresentedinthispaper. Theoperational systems, such
astheGermannetworkIALA DGPSandDoRIS, andplannedsystemsuchasGALEWAT, MARGAL, MUTIS
andMARUSE aredescribedalso.
1 INTRODUCTION
The European Union recognises the great potential
of inlandnavigationas analternativetransport mode
for freight transport. Facingtremendouscapacityand
environmental problems inthelandtransport modes,
in particular road transport, the European transport
policyconsequentlyhasagreat interest indeveloping
inland waterway transport to become a real alterna-
tive whilst keeping the environmental burden to a
minimum[www.iris-europe.net].
Thecontinuousinformationof userspositionisone
of themost important factors, which determines the
safety of the user in the transport, on inland water-
waysalso. Therequirementstowardsradionavigation
arewell definedfor themaritimeworld(seanaviga-
tion, coastal navigationetc.) intheIMO(International
MaritimeOrganization) resolutionA.915(22). As the
IMOisnotresponsibleforinlandwaterways, andthese
requirements are not binding, the new performance
requirements must becreated. Themost comprehen-
siveapproachfor theinlandnavigationcommunityis
the project MARUSE. For traffic management and
information the following requirements have been
identified: absoluteaccuracy 3m, alertlimit 7.5m,
time to alarm 10 s, integrity risk (per 3 hours)
10
5
, availability (%per 30days) 99.8, continuity
(%/3hours) 99.97[Amlacher et al. 2007]. Theaccu-
racy requirement of 3mhas been confirmed in real
time operations, e.g. for the matching of the radar
imagewiththeElectronicNavigationChart (ENC).
Moreover thecoordinates of actual position must
be sent to other ships devices and different kind of
landstations. Thatswhytheuserspositiononinland
waterwaysmust befixedcontinuouslybyspecialized
electronic positionfixingsystems satellitenaviga-
tion systems (SNS), the differential mode of these
systems,satellitebasedaugmentationsystems(SBAS)
andterrestrial radionavigationsystems[J anuszewski J.
2007].
2 SATELLITE NAVIGATIONSYSTEMSAND
THEIR DIFFERENTIAL MODE
A presently (December 2008) unique, fully opera-
tional andglobal systemistheAmericanGPS(Global
Positioning System Navstar) and its differential
modeDGPS. Experiencehas shownthat standalone
GPS systemdoes not providesufficient accuracy for
a reliable operation of the system. Many maritime
administrationshaveimplementedaDGPSservicein
their waters to improvesafety andefficiency of nav-
igation[HoppeM. et al. 2005]. At present morethan
300DGPSreferencestationshaveoperational status;
andthisnumberisstill increasing[ALRS2008/09]. In
thispaper thesestationsarecalledIALA DGPS.
Formaritimeusers(channel andcoastal navigation,
harbour approach) theIALA DGPS stationsaresitu-
atedat seashore, for inlandnavigationtheadditional
stations must be installed inland in properly chosen
places.
Theprovisionof DGPScorrectionscanberealized
intwodifferent ways:
IALA DGPSnetworkcoveringall inlandwaterways
of thechosenregionor theterritoryof thecountry,
the distribution of the DGPS corrections viaAIS
basestations.
ThefirstsolutionbecamerealizedinGermany.The
two IALA DGPS stations werelocatedinHelgoland
andinGrossMohrdorf, whichcovertheGermanBight
and theGerman part of theBaltic Sea, respectively.
These stations and the third, planned in Zeven, will
provide good coverage of the harbour entrances of
thegreat threeGermanrivers Elbe, EmsandWeser.
373
Table1. Distribution(inper cent) of satelliteelevationangles(H) inopenareafor Galileosystem(GAL) andGPS system
(GPS) at different observerslatitudes().
ElevationangleH[
]
[
] System 010 1020 2030 3040 4050 5060 6070 7080 8090
4050 GAL 23.0 16.7 14.3 11.8 9.9 8.5 7.6 6.1 2.1
GPS 22.2 16.9 14.9 12.1 10.1 8.7 7.2 5.8 2.1
5060 GAL 23.0 19.7 14.5 11.8 9.3 8.2 6.4 4.8 2.3
GPS 24.1 19.3 14.8 11.3 10.1 7.8 6.1 4.1 2.4
ThisIALA DGPS stationsnetwork becameextended
for four stations BadAbbach (Bavaria), Iffezheim
(Baden-Wrttemberg), Koblenz(Rhinelad-Palatinate)
andMauken(Sachsen-Anhalt), whichpermittedcov-
eragefor all of Germany. Therangeof thesestations
over landis approximately 250km[HoppeM. et al.
2005].
The second solution became realized in Austria,
via the DoRIS (Donau River Information Services)
system. 23 DoRIS base stations are installed along
theDanube, two of themareaugmentedwithDGPS
functionality and distribute the corrections over the
neighbouringbasestationstotheusersonboardships.
The distribution of these two stations, called AIS
DGPS, issuchthat thedistancebetweentheuser and
thenearest DoRIS stationis less than90kmalways.
The AIS DGPS stations produce the AIS message
type17, accordingtotheITUR M.13711standard,
which includes the DGPS correction data. Over the
AISradiodatachannel thismessageisbroadcastevery
10seconds. TheDoRIS systemhas beenoperational
since2006year withnomajor outages.
NowadaystheGLONASS(Russiansystem) cannot
be a continuous position fixing system(the number
of operational satellites is less thannominal 24con-
tinually). Thenewsystem Galileo, sponsoredbythe
European Union, is under construction as the Euro-
pean contribution to the next generation of satellite
navigation [Spaans J. 2008], but these two systems
are already taken into account, in this paper also.
The new navigation satellite system(NSS) actually
built by China, called Compass, was not taken into
account.
Thenumber of satellite(ls) whichcanbeusedfor
to fix ships positionfirst of all depends onmasking
elevation angle H
min
of the receiver and the num-
ber of satellitesfully operational at givenmoment. If
theangleH
min
increases, thenumber lsdecreases. As
themost important Europeaninlandwaterwaysareat
geographical latitudes4060
N,wecanposetheques-
tion what isor what will bethegeometry(elevation
angleand satelliteazimuth, in particular) of two the
most important SNSs GPS andGalileo inthis part
of Europe.
The distribution (in per cent) of satellite eleva-
tion angles (H) in two latitudezones, 4050
N and
5060
N (containing mentioned above waterways)

for both systems is presented in the Table 1. We
recapitulatethat:
thedistributions of angleH values inall zones for
bothsystemsarepracticallythesame,
for both systems in all zones about half of satel-
litesarevisiblebelow30
, whilethepercentageof
satellitesvisibleabove70
islessthan10.
Thedistribution(inper cent) of satelliteazimuths
formaskingangleH
min
=0
,H
min
=5
andH
min
=15
for both systems at different observers latitudes is

shownintheTable2. Wecansay:
distributionsof satelliteazimuthsfor bothsystems
arepracticallythesameat givenangleH
min
,
thenumber of satellitesindifferentazimuthsinter-
vals depends on the observers latitudes for both
systems,
at latitudes 40
to 60
, independently of H
min
,
the number of satellites with azimuth frominter-
val 315045
arefor both systems less than from

intervals045090
and270315
considerably.
Itmeansthatpositionaccuracydependsonriver or
canal orientationandtheformof shoreline.Thedistri-
butionsinthetables1and2aretheresultsof thecal-
culationsmadebyusingauthorssimulatingprogram.
Thedetailedresultswerepresentedamongotherthings
in[J anuszewski J. 2004] and[J anuszewski J. 2005].
Nowadaysoninlandwaterwaysthe3Dpositionnev-
erthelesscanbeobtainedinalmost all cases, because
theGPSspatial segment consistsof 31satellitesfully
operational.
3 SATELLITE BASEDAUGMENTATION
SYSTEMS
The Satellite Based Augmentation Systems (SBAS)
asWideAreaAugmentationSystem(WAAS), Multi-
functional Transport Satellite Based Augmentation
System(MSAS) andEuropeanGeostationaryNaviga-
tionOverlay System(EGNOS) areadequately acces-
sibleinUSA, Canada, J apanandEurope[PrasadR.,
Ruggieri M. 2005]. TheC/A codes usedby all these
systems belongtothesamefamily of 1,023-bit Gold
374
Table2. Distribution (in per cent) of satelliteazimuths for different masking elevation angles (H
min
) for Galileo system
(GAL) andGPSsystem(GPS) at different observerslatitudes().
SatelliteazimuthH[
]
[
] H
min
[
] System 045 4590 90135 135180 180225 225270 270315 315360

0 GAL 8.7 19.5 11.1 10.8 11.1 11.1 19.0 8.7
GPS 7.1 20.3 11.3 11.0 11.0 11.9 20.0 7.4
4050 5 GAL 7.0 20.7 11.4 10.8 11.4 11.4 20.4 6.9
GPS 5.6 21.3 11.6 11.1 11.0 12.4 21.4 5.6
15 GAL 4.6 22.4 11.7 10.7 11.6 11.8 22.2 5.0
GPS 3.4 22.7 12.1 11.2 10.8 12.7 23.6 3.5
0 GAL 10.0 17.4 12.0 10.4 11.1 12.1 17.1 9.9
GPS 8.9 17.6 12.3 11.1 11.1 12.4 17.3 9.3
5060 5 GAL 8.6 18.2 12.3 10.5 11.4 12.6 17.8 8.6
GPS 7.1 18.5 13.0 11.4 11.4 13.0 18.3 7.3
15 GAL 4.0 20.7 13.6 11.4 12.2 14.1 20.3 3.7
GPS 2.7 20.3 14.6 12.2 12.3 14.3 20.9 2.7
codes as the 37 PRN codes reserved by the GPS
system.
TheEGNOSsystemwill providethreeservices:
openservice(freeaccessbut without guarantee),
commercial datadistribution(withguaranteedser-
vice),
safety of life(almost real timeintegrity), and this
servicewill bethemost interestingfor all usersof
Europeaninlandwaterways, certainly.
TheEGNOS user segment is composedof aGPS
and/or GLONASSreceiver andEGNOSreceiver. The
two receivers areusually embeddedinthesameuser
terminal. As thereceiver canprocess themessagein
a 6-second duty cycle the integrity time to alarmis
limitedtothedutycycletime.
EGNOS will befully operational inApril 2009; it
isdesignedfor awidenumber of applications, includ-
ing transport on inland waterways. For the users of
European inland waterways theproblemof thevisi-
bility appears in the EGNOS systemowning to the
threegeostationarysatellites(GEO) twooperational:
Inmarsat3F2AtlanticOceanRegionEast(AORE)
and Inmarsat3F5 Indian Ocean RegionWest
(IORW) locatedat longitudes 015.5
W and025
E,
respectively and one with status industry test
transmissions Artemis at 021.5
E. The 3 current
EGNOSC/A codesare120, 126and124respectively
[Kaplan, E.D.,Hegarty, C.J. 2006].
Dueto theenvironment alongtheshorelineof the
rivers/canals, therisk of losing line-of-sight to GEO
satellites is quite high. Obstacles could be moun-
tainous terrain, high buildings, big bridges, or other
technical structures(e.g. harbour area, locks).
4 TERRESTRIAL RADIONAVIGATION
SYSTEMS
Terrestrial radionavigation system Loran C (Long
Range Navigation) is a low frequency electronic
position fixingsystemusingpulsedtransmissions at
100kHz. Groundwaveranges of from800 to 1200n
miles aretypical, dependingupontransmitter power,
receiver sensitivity, and attenuation over the signal
path.
OnEuropeaninlandwaterwaystwoLoranCchains
(6731and7499) canbeusedwiththreelinesof posi-
tions: 6731X, 6731Z and 7499X in France and
northwest Germany, in particular. As thelocation of
all European Loran C System(ExNELS) transmit-
ters are designed for the sea user (Norway Sea and
North Sea) first of all, this systemcannot be taken
intoaccountinthenavigationongreatEuropeanrivers
suchastheRhineandDanube.
Eurofix is anintegratedradionavigationandcom-
munication system, which combines Loran C and
DGPS by sendingdifferential satellitecorrections to
usersastime,modulatedsignal information.Atpresent
four ExNELS, Boe and Vaerlandet (Norway), Sylt
(Germany), Lessay(France), stationstransmitEurofix
corrections only, additionally the number of users
receiversisverysmall. Thatswhythissystemcannot
beusedoninlandwaterways.
5 AUTOMATIC IDENTIFICATIONSYSTEM
AutomaticIdentificationSystem(AIS) isashipborne
radiodatasystemcontinuouslybroadcastingshipiden-
tificationnumber (ID), itsposition, courseandspeed,
and other data to all nearby ships and to shore side
infrastructureon acommonVHF radio channel. On
inlandwaterways,thedatatransmissionisbasedonthe
Vessel TrackingandTracingStandardforInlandNav-
igation publishedbytheCentral Commissionfor the
NavigationontheRhine(CCNR) andbytheEuropean
Commission in 2007. This standard describes theso
calledInlandAIS whichguarantees100%compat-
ibilitywiththemaritimeAISsystemwhileextending
AIS to the needs of inland waterway transportation
[Amlacher C. et al. 2007].
375
Table3. Theintegratedsystemsandtheir parameters.
GPS Galileo Improved Redundant Redundant SystemFailure Robustnessto
Systems Integrity Integrity RAIM System Augmentation Tolerance Interference
GPS, EGNOSSIS
GPS, EGNOSSIS,
EGNOSthroughAIS
GPS, Galileo
GPS, Galileo, EGNOSSIS
GPS, Galileo, EGNOSSIS,
EGNOSthroughAIS
Inlandships, whichareequippedwithAIS, canuti-
lizetheinformation transmitted fromother ships by
AIStoimprovethetrafficimagesurroundingatraffic
situation.
WecandistinguishtwodifferentapplicationsofAIS
ininlandnavigation:
for navigationsupport onboard,
for traffic information and traffic management
services.
TheAIStransponderasakeyelementforRISneeds
tobeinstalledonboardships, aswell asinbasestations
onshore.A transponderunitgenerallycomprisesthree
main functional elements, of which one is a Global
NavigationSatelliteSystem(GNSS) modulewiththe
capability of applying differential GPS or EGNOS
correctionstothemeasurements[Trgl J. etal. 2004].
BasedonthedataofAISexchange,thevisualization
of traffic information on an ENC, so calledTactical
TrafficImage(TTI) isenabled. ThisTTI supportsthe
skipper inhisnautical maneuvers.
6 INTEGRATEDSYSTEMS
Accuracyof theshipspositionisafunctional require-
ment for inlandwaterwaysoperations. However with-
out integrity informationthedatareceivedfromGPS
systemand/or DGPS systemcan only be used with
restrictions. Integrity is the ability to provide users
withwarnings withinaspecifiedtimewhenthesys-
temshouldnot beusedfor navigation. Althoughthis
maybeacceptablefor someusers, it isnot acceptable
for other users.
Theprovisionof integrity informationby theGPS
constellationishowevernotforeseeninthenearfuture,
becauseonly thenext generationssatellitesblock III
is expected to provide, among other things, a sys-
temintegrity solution. Satellites of thenearest block
IIF will be without integrity. Therefore, the need of
integrityisevident. Nowadaysthiskindof information
canbeobtainedfromEGNOS, andinthefuturefrom
Galileo.Thatswhyinformationaboutthepositionand
integritycanbeassuredbytheintegratedsystemswith
thesetwosystemsmentionedabove.
A discussion of the usefulness of Galileo system
for theinlandwaterwaystwoplannedservices, Open
(OS) andSafetyof Life(Sol), will beveryinteresting
for the users. Galileo will provide increased perfor-
mance through the use of dual (L1E5a) or triple
(L1E5aE5b) frequency observations as well as
improvements in safety through the provision of an
integritymessage.
Thefivepossibleintegratedsystemsandtheir most
importantparametersarepresentedintheTable3. Let
usdiscusseachparameter:
GPS integrity. As this integrity is assured by the
system EGNOS, it takes place for all integrated
systems, except thecombinationGPS/Galileo,
Galileo integrity. It is assured by all integrated
systemsinwhichoneof thesystemsisGalileo,
improved RAIM (Receiver Autonomous Integrity
Monitoring); asabove,
redundant system; asabove,
redundant augmentation. It isassuredbythesesys-
tems, in which the EGNOS corrections reach the
usersreceiver throughAIS,
systemfailure tolerance. It is assured by all inte-
grated systems in which one of the systems is
Galileo,
robustnesstointerference; asabove.
AISDGPSprovisionisfullyoperational inAustria,
Slovakia has a pilot system in operation and Bul-
garia, Croatia, France, Hungary, Romania, Serbiaand
Ukraine are currently preparing implementation of
similar systems[Amlacher C., Trgl J. 2008].
Several projects utilizing NSS, SBAS andAIS in
RIS arealready realizedinEuropewithseveral more
preparedasfollows.
6.1 GALEWAT project
TheGALEWAT (Galileo and EGNOS for Waterway
Transport) project, founded by the European Space
Agency (ESA) Advanced ResearchTelecommunica-
tionsprogramARTE5, aimstherealizationof afirst
steptowards theintroductionof EGNOS andfinally
GalileointotheupcomingRiver InformationServices
(RIS) all acrossEurope.
Among others, thefollowing topics aresubject to
theGALEWAT project [Abwerzger C. et al. 2005]:
identification of user requirements related to AIS
andEGNOS serviceparameters for transport effi-
ciency, waterwaytransport inparticular,
376
replacement of conventional RIS local differential
GPS stations by direct reception of the EGNOS
signal inshipboardtransponders,
bridging outages of the EGNOS SIS by retrans-
mitting the EGNOS differential corrections and
integritydataviaAISbasestationsinareaswithout
direct EGNOSreception,
analysis andvalidationof EGNOS, integratedinto
theAIStransponder concept, beingcapabletomeet
theuser andservicerequirements.
TheGALEWAT iscomposedof fivesegments:
ship, several ships, all equipped with standard
equipment (AIStransponderswithGPSandDGPS
receivers), one additionally with extended equip-
ment which allows the position fixes in different
modes (GPS stand alone, GPSIALA DGPS,
GPSEGNOSSIS, GPSEGNOSAIS),
shore, mainly comprises two AIS base stations
whichmustreceivetheEGNOSsignal (withthedif-
ferential corrections) fromGEOsatellitesandthen
broadcastreformattedEGNOSinformationviathe
AISdatalink,
regional, terminalslocatednearby strategic points,
which are connected to several shore elements to
gather tactical trafficinformationof thearea,
operator, e.g. national control center storing all
traffic information provided by RIS in a large
database,
external,whichconsistsfundamentallyof webinter-
face where external users can retrieve relevant
trafficinformationof thearea.
Thepublicdemonstrationsof thissysteminVienna
(Austria), Lisbon(Portugal) andConstanta(Romania)
havealreadybeensuccessfullyexecuted.
6.2 MARGAL project
TheMARGAL project, preparedby KongsbergSea-
tex (Norway) andeight Europeanconcerns, is based
onAIS technology to monitor vessels and to deliver
EGNOS differential corrections and integrity warn-
ingtoapplicationswheredirectreceptionsignal isnot
possible[KristiansenK. et al. 2005].
This project is a harmonized and seamless solu-
tion for maritimenavigation for European ports and
inlandwaterways. Theproject MARGAL has shown
thatchangestotheactual version(2.3) of RTCMmes-
sageformat and to theAIS handling of message17
(RTCM message) are needed to meet, respectively,
the accuracy requirements for new services and the
timetoalarmrequirements. Thecurrent EGNOSand
the future Galileo integrity services can be utilized
in operational applications like remote pilotage and
queuesystemsfor portsandlocks[www.margal.net].
6.3 MUTIS project
MUTIS (Multimodal Traffic Information Services)
is a project within theARTES (Advanced Research
inTelecommunications Systems) 3programof ESA.
This project is aiming at the study of the feasibility
of theintroduction of satellitebasedcommunication
LEO(LowEarthOrbit) intotheupcomingRISacross
Europe[Trgl J. et al. 2004].
ThedemonstrationwithinMUTISwill focusinthe
Danube waterway fromVienna in Austria to Con-
stantia in Romania on the length of approximately
1700km.Avessel isequippedwithnecessaryfacilities
asEGNOSreceiver,PCandLEO&GSMcommunica-
tion. Inthiswaythevessel transmitsevery15minutes
ownpositionobtainedfromGPSsystemandEGNOS
systemover a LEO service provider to database &
control station. Positioninformationanddatafrom/to
thevessel will betransmittedto/fromthis stationvia
several channels:
GSM asaterrestrial wirelesssystem,
GLOBALSTAR asbigLEO satellitessystem,
IRIDIUM asalonesatellitesystem,
THURAYA asalow-cost GEOsatellitesystem.
6.4 MARUSE project
TheMARUSE project, part of theEU 6thframework
programme, wasrealizedintheyears20052007.The
mainobjectiveof thisprojectistodemonstrateGalileo
differentiators and thebenefits of using Galileo and
EGNOS in maritime and inland waterways applica-
tions. The technology development consists of two
major elements: auser terminal andalocal infrastruc-
ture[www.maruse.org].
One of four demonstrations took place at the
DanubeIronGateI (twolocks) inSerbiainJ une2007.
GPS differential corrections are transmitted via the
AIS datalink (AIS Msg.17). Thevessel is equipped
withaMaritimeUserTerminal utilizingastandardAIS
transponder augmented by a GPS/GLONASS posi-
tioningelementandadigital compassforadetermina-
tionof vessel heading. TheAIStransponder systemis
linkedtoanECDISviewer providingtheskipper with
theTTI andtheintegrityinformation. Inthefuturethe
vesselspositionwill befixedbyathirdNSS Galileo
[ChristiansenS.E. et al. 2007].
7 CONCLUSIONS
themeasurementsrealizedwithintheframeworkof
several European projects showed the full useful-
nessof SNS, SBAS andAIS oninlandwaterways,
particularity the great European rivers Rhine and
Danube,
asthedistributionof satelliteazimuthsof eachSNS
depends on observers latitude, the position accu-
racyof theshipsailingwithhighrivercoastonboth
sidesdependsonitsgeographiclocationalso,
the results obtained from measurements using
EGNOS signals (GALEWAT project) showedthat
GPSaugmentedbyEGNOSfromSIScanbeagood
candidatefor inlandwaterwaysafetycritical appli-
cations with required accuracy below 10m, high
systemavailability,andprotectionlevel below25m,
377
theuseof AIS to broadcast EGNOS data(GALE-
WAT project) is not introducing any significant
degradation of performance compared to the
EGNOSperformancedirectlyobtainedwiththeSIS
(DoRISproject),
IALA DGPS reference stations situated today at
seashorefirstof all canbeinstalledandusedinland,
e.g. four stationsalreadyinstalledinGermany,
the actual projects, e.g. MARGAL, MARUSE,
includetheimplementationof softwaredefinedves-
sels receivers making a smooth transition from
EGNOStoGalileopossible,
integrityof thesystemsbuiltaroundandtheneedsof
inlandnavigationcanbeassuredbytheseintegrated
systems only, oneof whichis thepresent EGNOS
system, andinthefutureGalileosystemalso.
REFERENCES
Admiralty List of Radio Signals. 2008/09. TheUnitedKing-
domHydrographicOffice, vol. 2.
Abwerzger, G. et al. 2005. Galileo and EGNOS for Water-
wayTransport TheGALEWAT Project, The European
Navigation Conference GNSS 2005, Munich.
Amlacher, C. et al. 2007. Evolutionof PositioningServices
for InlandWaterways, European Journal of Navigation,
vol. 5, no4.
Amlacher, C., Trgl J. 2008. ExperienceswithDGNSS pro-
vision for River Information Services, The European
Navigation Conference GNSS 2008, Toulouse.
Christiansen, S.E. etal. 2007. Introductionof GalileoinMar-
itimeand InlandWaterway Applications, The European
Navigation Conference 2007, Geneva.
Hoppe, M., Bober, S. & Rink, W. 2005. DGNSSServicefor
Telematic Applications on Inland Waterways, 18th ION
GNSS, LongBeach.
J anuszewski, J. 2004. Terrestrial andSatelliteRadionaviga-
tionSystemsinMaritimeArea,The European Navigation
Conference GNSS 2004, Rotterdam.
J anuszewski, J. 2005. Geometry and Visibility of Satel-
lite Navigation Systems in Restricted Area, Institute of
Navigation, National Technical Meeting, SanDiego(CA).
J anuszewski, J. 2007. Modernization of satellite naviga-
tion systems and theirs new maritime applications.
TransNav2007, Gdynia.
Kaplan,E.D.&Hegarty,C.J.2006.Understanding GPS Prin-
ciples and Applications, ArtechHouse, Boston/London.
Kristiansen, K. et al. 2005. Introduction of Galileo in
Maritime Applications The MARGAL Project, The
European Navigation Conference GNSS 2005, Munich.
Prasad, R.&Ruggieri, M. 2005.Applied Satellite Navigation
Using GPS, Galileo, and Augmentation Systems. Artech
House, Boston/London.
Spaans, J. ENC-GNSS 2008, The European Navigation
Conference, European Journal of Navigation, vol. 6, no2.
Trgl, J. et al. 2004. EGNOS and LEO for Telematics
Applications in theInlandWaterway Segment Project
MUTIS, The European Navigation Conference GNSS
2004, Rotterdam.
www.iris-europe.net
www.maruse.org
www.margal.net
378
9.2
Electronicreportingof shipsintheRISsystem
A. Lisaj
ABSTRACT: This articlepresents theprinciples of datatransmissionandprocessinginamoduleof duplex
transmissionof messagesasrequiredbyshipreportingintheRIS(RiverInformationServices) system.Technical
specification of messages intended for ship commanders is analyzed. Data standards in harmonized River
InformationServicesoninlandwaterwaysarepresented. Furthermore, theanalysiscoversmessagestructures,
encrypting in XML format for electronic reporting by ships. Finally, theauthor evaluates theadvantages of
introducingtheRISsystemfor thesafetyof inlandvessel trafficandtheeffect of thesystemonenvironmental
protection.
1 INTRODUCTION
RIS (River Information Services) is a systemthat
aims at the implementation of river traffic informa-
tion services co-ordinating planning and logistics of
transport.
RIS consists of advanced functions and services
bringingoperational advantages(e.g. immediatenav-
igational decisions) andstrategicones(e.g. resources
planning) for its potential users inland shipping
administrations captains, terminal managersor lock
operators.
Modern radio-communications and information
technologies are used in inland transport. Ships
are equipped with portable computers which have
access to the Internet via a mobile telephone net-
work.Besides,satellitepositioningsystems,electronic
charts and inlandAIS transponders arebeing devel-
opedandimplemented.
Shoreinstallations includeradar stations withtar-
gettrackingfunctionsandshipreportingsystemswith
interconnecteddatabases.
Several technological innovations connected with
RIS have been introduced in the sector of inland
navigation[1]:
electronicnavigational charts(ENC) for displaying
informationonfairwaysituationandshippositions,
Internet applications and inland ECDIS for mes-
sagesfor captains,
electronic reportingsystems for collectingdataon
voyage-relatedinformation(shipandcargo),
vessel trackingandlocating,suchasautomaticiden-
tificationsystems(AIS) for automaticreportingof
shipsposition.
2 BASIC FUNCTIONSANDOBJ ECTIVESOF
ELECTRONIC SHIP REPORTINGINRIS
Functions andobjectives of electronic shipreporting
ininlandnavigationhavebeendevelopedinlinewith
theprincipleswhichaimto[4]:
facilitateelectronic datainterchangebetweenrele-
vantauthoritiesof theEUmemberstatesandinland
navigationoperators,
use standardized notifications in communications
between a ship and management centre in order
to ensurecompliancewith mandatory rules in the
adoptedstandards,
use recognized international lists of codes and
classifications,
useuniqueEuropeanshipidentificationnumbers.
The tasks of electronic ship reporting in the RIS
systemareasfollows[3]:
1 Facilitationof datastructuretransfer inconformity
with adopted EDI (Electronic Data Interchange)
standards.
2 Exchange of information between inland naviga-
tionpartners.
3 Sending dynamic information on avoyageat the
sametimetomanyparticipants.
4 Consistent use of the UN/EDIFAC standard
(Electronic Data Interchange for Administration,
CommerceandTransport) withintheEU, accord-
ingtoitsdirectiveondatatransmissionprocedures
UNTDID UnitedNationsTradeDataInterchange
Directory).
5 Inlandtrafficmanagement.
379
Table1. RISfunctionandproceduresof themessages
Messagesintheprocedures
RISServiceandFunction Ship-to-authority Authority-to-ship Authority-to-authority
Trafficmanagement ERINOT (VES) ERIRSP ERINOT (PAS)
ERINOT (CAR) Noticestoskippers
Calamityabatement ERINOT (VES) ERIRSP ERINOT (PAS)
ERINOT (CAR) Noticestoskippers PAXLST
PAXLST
Transport management ERINOT (VES) ERIRSP ERINOT (PAS)
ERINOT (CAR) Noticestoskippers CUSCAR, CUSDEC
CUSCAR, CUSDEC
Statistics ERINOT (VES)
ERINOT (CAR)
PAXLST
CUSCAR, CUSDEC
Waterwaycharges ERINOT (VES) ERIRSP
ERINOT (CAR)
Border control PAXLST ERIRSP PAXLST
Customsservices CUSCAR, CUSDEC ERIRSP CUSCAR, CUSDEC
6 Transfer of complete information on locks and
bridgesandcalamitysituation.
7 Loading / unloading management and container
terminal operationmonitoring.
8 Border crossingcontrol.
9 Servicestopassengersof inlandships.
3 PRINCIPLESOF DATA TRANSMISSION
ANDPROCESSINGINTHE RISSYSTEM
Technical specifications defining the principles for
datatransmissionof shipreportingintheRIScomply
withtherelevant EU directive[2].
Thedirectivepreciselycoverssuchissuesas:
introductionof StandardMessageTypes(SMT));
criteria and principles for data transmission
UN/EDIFACT;
specificationsof themessagetypedirectoryEDMD
(Edition98.B, recommendedbyIMO);
specificationof thecodelist (CL);
introduction of data standardization elements
(TradeDataElementsDirectory(TDED)).
3.1 Data transmission standards in the
RIS system
In conformity with the EDIFACT standard, data
processing in the RIS system makes use of
XML format (Extended Mark-up Language) [6] in
which:
EDIFACT andXML utilizethesamedatastructure
andcodelist.
presently theseversions arebeingtested: ebXML,
eDocsandBICS2.0.
3.2 Classifications and code lists in the EDIFACT
messages
Thefollowing classifications shall beused in inland
electronicshipreporting[3,6]:
1 Vessel andconvoytype
2 Official shipnumber (OFS)
3 IMOshipidentificationnumber (IMO)
4 ERI (ElectronicReportingInternational)shipiden-
tificationnumber
5 UNDangerousGoodsnumber (UNDG)
6 International Maritime Dangerous Goods Code
(IMDG)
7 UnitedNationscodesfor therepresentationof the
namesof countries
8 UnitedNations codefor tradeandtransport loca-
tions(UN/LOCODE)
9 Fairwaysectioncode
10 Terminal code
11 Freight container sizeandtypecode(ISO)
12 Container identificationcode(ISO)
13 Packagetypecode
14 Natureof cargo
Thefollowing table(tabl. 1) defines theusageof
themessages:
Thefollowingmessagesshall beusedinelectronic
shipreportingoninlandwaterways[6]:
1 ERINOT, means ERI Notification Message,
messagewiththefollowingtypes:
Transport notification fromvessel to authority
(identifier VES), fromshiptoshore
Transport notificationfromcarrier to authority
(CAR), fromshoretoshore
Passagenotification(PAS), fromauthority to
authority and the following functions to show
what canbeexpected:
380
Figure1. Structureof theNoticestoSkippers.
2 ERIRSP, meansERI ResponseMessage,
PAXLST, meansthePassenger ListMessage,
includingpassengers, crewandserviceperson-
nel.
CUSCAR, means theCustoms Cargo Report
Message,
CUSDEC, means the Customs Declaration
Message.
Thereportingprocedureshall alwaysstart withthe
ERINOT message and send additional data by the
PAXLST, CUSCAR andCUSDEC messages.
3.3 Methods of remote data transmission in
electronic ship reporting
Thefollowingcommunicationsmeanshavebeenpro-
posed for use in message transmission within elec-
tronicshipreporting[5]:
1 VFHradiostation.
2 ATIS (Automatic Transmitter Identification Sys-
tem) identifyingshipscalling, e.g. whileapproach-
ing a lock, in a computer-based systemof traffic
management.
3 inland AIS transponder (Automatic Identification
System).
4 DATA STANDARDSINMESSAGESFOR
SHIP SKIPPERS
Navigationmessages, withnavigationinformationfor
inland skippers (fig.1) about a geographical object,
havethefollowinginformationsections[4]:
1 Identificationof themessage.
2 Fairwayandtrafficrelatedmessage.
3 Water level relatedmessagesas:
Water level messages;
Least soundeddepth messages;
Vertical clearance messages;
Barragestatus messages;
Dischargemessages;
Regimemessages;
Predictedwater level messages;
Least soundedpredicteddepth messages;
Predicteddischarge messages.
4 Icemessages.
5 SUMMARY
Electronic shipreportinginthetransmissionof mes-
sagefor shipskippersandinlandnavigationmanage-
mentcentreenablestheRISsystemachievethreebasic
goals:
1 to enhancethesafety of transport minimizethe
number of:
injuredpersons,
fatal casualties,
untypical situationsinavoyage;
2 tomaketransport efficient:
maximizethecapacityof waterways,
maximizetheuseof shipcargocapacity,
minimizevoyagetime,
reduceworkeffort of RISusers,
reducetransport costs,
reducefuel consumption,
381
ensure efficient and cost-effective connections
for intermodal transport,
makeefficiently operating harbours and termi-
nalsaccessible;
3 tomaketransport environment-friendly:
reducethreatstotheenvironment,
reducepollution.
The development of standardized RIS interfaces
will makeitpossibletogeneratewide-rangetranspar-
ent informationprocessesandsmoothdataexchange
betweenall participantsof inlandnavigation.
LITERATURE
1 Reporting for ships arriving in and/or departing from
portsof theMember Statesof theCommunity, Directive
2002/6/ECof theEuropeanParliamentandof theCouncil
of 18.02.2002.
2 Vessel traffic monitoring and information system on
inlandwaterways. Directive2002/59/ECof theEuropean
Parliament andof theCouncil of 27.06. 2002.
3 Guidelinesforplanning, implementationandoperationof
RiverInformationServices. Official J ournal Commission
Directive(EC) no414/2007of 13.03.2007.
4 Technical specifications for shiptraffic management on
harmonizedRiver InformationServices (RIS) oninland
waterways. Official J ournal CommissionDirective(EC)
no415/2007of 13.032007.
5 Technical specifications including: inland Automatic
IdentificationSystem(AIS) andInternational Standards
for Electronic Ship Reporting in Inland Navigation.
CommissionDirective(EC) no416/2007of 20.03.2007.
6 GuidelinesandRecommendationsfor River Information
Services United NationsTradeDataInterchangeDirec-
tory (UNTDID) for EDIFACT. Official J ournal No.5
CommissionDirectiveTRANS/SC.3.04.2007.
382
9.3
Thecriterionof safetynavigationassessment insea-river shipping
W. Galor
ABSTRACT: Seariver shipscanconnecttheareainsideof landwithoverseaplaceswithoutof indirecttrans-
shipment. Inmanycasesthesea-rivershipsmoveonwaterways(natural andartificial) insideof landforhundreds
kilometres. Navigationininlandwaters has to meet thesamerequirements as thosefor pilot navigation. This
isduetotherelationsbetweentheshipsizeandother objectsonwater area. Theseonescausedthenavigation
morehardthenonopenseas.Thepaper presentsthecriterionof safetyassessmentof navigationduringsea-river
shipsmanoeuvringshipininlandwaters.
1 INTRODUCTION
Process of ships movement in water area should be
safely.Itsestimationisexecutedbymeansof notionsof
safetynavigation. Itmaybequalified(GalorW. 2001)
asset of statesof technical, organizational, operating
and exploitation conditions and set of recommenda-
tions, rules and procedures, which when used and
during leaderships of ship navigation minimizepos-
sibility of events, whoseconsequencemay belossof
lifeor health, material lossesinconsequenceof dam-
ages,orlossesof ship,load,portstructuresorpollution
of environment. Very often, thesea-river ships move
on waterways (natural and artificial) inside of land
forhundredskilometres.Themanoeuvringof shipson
eachwater areaisconnectedwiththeriskof accident,
whichisunwantedevent inresultsof thiscanappear
thelosses. Thereis mainly causedby unwittingcon-
tactof shipshull withotherobjectsbeingonthiswater
area. Thesafetyof shipsmovement canbeidentified
asadmissiblerisk, whichinturncanbedeterminedas:
where: R
adm
=admissible risk, P
A
=probability of
accident andC
min
=acceptablelosseslevel.
Asaresult, anavigational accidentmayoccur asan
unwantedevent, endinginnegativeoutcome, suchas:
lossof humanlifeor health,
lossor damageof theshipandcargo,
environment pollution,
damageof portsstructure;
lossof potential profitsduetotheportblockageor
itsparts,
coast of salvageoperation,
other losses.
The inland waterways are restricted areas those
whereshipmotionislimitedbyareaandshipstraffic
parameters. Restricted areas can besaid to havethe
followingfeatures:
restriction of at least oneof thethreedimensions
characterizing thedistancefromtheship to other
objects(depth, widthandlengthof thearea),
restrictedshipmanoeuvring,
theshiphasnochoiceof awaterway,
necessityof complyingwithsafetyregulations
set for local conditionsandother regulations.
Inafewcases, especially for ports situatedinside
of land, therearethewaterwaysandcanalswithgreat
lengths of hundreds kilometres. Thus thenavigation
on such waterways is different than on approaching
waterways and coastal water areas. The realization
of navigation on limited water areas is consisted on
(Galor W. 2005):
planningof safetymanoeuvre,
shipspositioningwithrequiredaccuracyongiven
area,
steering of craft to obtain the safety planned of
manoeuvre,
avoidingof collisionwithother ships.
Approach channels to port and port water area
are characterised by occurrence of port structures.
These constructions are result of activity of man
and embraceaquatic or under-water structurewhich
togetherwithinstallations,buildersdevicesconnected
with themand other advisable necessary equipment
to realize of its intended function to state whole of
technical using.Fromsightof viewlimitationof move-
mentinwater area, portsstructuresenvelopfollowing
component:
objects arising in result of executing of dredged
workssuchportandshipyardwater, especiallyand
basin, seaandlagoonfairways, approachchannels,
turningbasins,
channels,
383
Figure 1. The lock in Czy zykwko on Wisa Odra
waterway.
wharfsdeterminingof water areacoast andlargely
makingpossibleberthingtothemandmooringof
ships,
constructionsof coastprotectionsuchbreakwaters,
under-water thresholds, strengthening of bottom,
scarpof fairwaysdeepened,
constructions of fixed navigational marks such
lighthouses, situated on shore of sea water area
and aquatic, light lines and navigational marks,
navigational dolphins,
locks(fig.1),
structuressituatedinareaof seaharbour, inpartic-
ular islesof berthingandtrans-shipment, shipping
foot-bridges,
port structures, situated in areaof seaharbour in
particular breakwaters, breakers of waves, wharfs
trans-shipment andberthingandother,
structures connectedwithcommunication, inpar-
ticular road bridges, railway, submarinetunnels,
structures connected with exploitation of sea
bottom (drilling towers, platforms, submarine
pipelines).
Besides to number to themit is necessary: con-
structionsof floatingnavigational marks, inparticular
anchorednavigational buoys.
2 THE CRITERIONOF SHIPSSAFETY
ASSESSMENT
Therestrictedareaischaracterizedbyagreat number
of factorsbeingpresentatthesometime. Itcausedthat
possibility of navigational accident in these areas is
moretheninotherones. Itmeansthenavigationsafety
is lower in restricted areas. Theassessing of naviga-
tionsafety requirestheapplicationof proper criteria,
measuresandfactors. Thecriteriamakeit possibleto
estimate the probability of navigational accident for
certainconditions. Theshipduringprocessof naviga-
tion has to implement the following safety shipping
conditions:
keepingtheunder keel clearance,
keeping the proper distance to navigational
obstruction,
keepingtheproper air drought,
avoidof collisionwithother floatingcraft,
To determineand analysethesafety, especially in
thequantitativemanes, thenecessary toselect values
that canbytreadedasasafetymeasures. It permitsto
determinethesafetylevel byadmissiblerisk(GalorW.
2001a):
where: d(t)
max
=distanceof crafthull toother objects
duringmanoeuvring, d
min
=least admissibledistance
of craft hull to other objects, T
p
=time of ships
manoeuvring, c =losses as result of collision with
object andC
min
=theacceptablelevel of losses.
Becausethelossescanberesultdifferentevents, the
followingcriterionof safetyassessment will beused:
1 Safetyunder keel clearance(SUKC)
2 Safetydistancetostructure(SDS)
3 Safetydistanceof approach(SDA)
4 Safetyair drought (SAD)
Thus, therearemanycategoriesof risk duetoship
movementinwater area. Ineachcasetheaccidentrate
(probability) is determined for each of the accident
categories.Theoverall riskof shipmovementinwater
areainthenthesumof thesesingle,independentsrisks:
where: R
o
=.overall risk of ship movement in water
area, R
g
=risk of grounding, R
n
=risk of collision
with navigations obstructers, R
c
=risk of collision
with other ships and R
ad
=risk of impact theobject
over theship.
3 SAFETY UNDER KEEL CLEARANCE
(SUKC)
Theunderkeel clearanceisavertical distancebetween
the deepest underwater point of the ships hull and
the water area bottom or ground. That clearance
should be sufficient to allow ships floatability in
most unfavourable hydrological and meteorological
conditions. Consequently:
where: H depth, T ships draft and R
B
safe
underkeel clearance(UKC).
Thesafeunderkeel clearanceshouldenabletheship
to manoeuvre within an area so that no damage to
the hull occurs that might happen due to the hull
impact on the ground. A risk of an accident exists
when theunder keel clearanceis insufficient. When
determining the optimized UKC we have to recon-
cilecontradictoryinterestsof maritimeadministration
and port authorities. The former is responsible for
the safety of navigation, so it wants UKC to be as
largeaspossible. Thelatter, wishestohandleshipsas
largeaspossible, thereforetheyprefer toaccept ships
384
drawingtothemaximum,inotherwords,withthemin-
imizedUKC.ThemaximumUKCrequiremententails
restricteduseof thecapacity of someships, whichis
ineffectiveinterms of costs for ports andshipoper-
ators. In theextremecases, certain ships will resign
fromtheservicesof agivenport. Therefore, theUKC
optimizationinsomeportswill beof advantage. It is
possibleif therightmethodsareapplied.Theiranalysis
leadstoaconclusionthat thebest applicablemethods
for UKC optimizationarethecoefficient methodand
themethodof componentssum.
Inthecoefficientmethodonehastodefinethevalue
R
min
aspart of theshipsdraft:
where: =coefficient and T
c
=deepest draft of the
hull. Theappliedcoefficient valuesrangefrom0.04
to0.4(MazurkiewiczB. 2008).Theothermethodcon-
sistsinthedeterminationof R
min
asthealgebraicsum
of component reserves [6] whichaccounts for errors
of eachcomponent determination:
where: R
i
=depth component reserves and
r
=sum
of errorsof componentsdetermination.
TheUKCisassumedtohavethestaticanddynamic
component.Thisisduetothedynamicchangesof par-
ticular reserves. The static component encompasses
corrections that changelittleintime. This refers to a
shiplyingincalmwaters,notproceeding.Thedynamic
component includes the reserve for ships squatting
in motion and thewaveimpact. Oneshould empha-
size that with this division the dynamic component
shouldalsoaccountforthereserveforshipsheel while
alteringcourse(turning).
4 SAFETY DISTANCETOSTRUCTURE (SDS)
The accessible port water area (for given depth)
warrantssafetymanoeuvringfor fulfill condition:
where: =requisiteareaof ships manoeuvringand
=accessiblewater area.
Ships contact with structurecan beintentional or
not. Intentional contact steps out whenshipberthing
to wharf. Duringthis contact energy dependent from
virtual shipmasses andits perpendicular component
speedtothewharf isemitted. Inresultof shippressure
onwharf comesintobeingreactionforce.Bothemitted
energyduringberthingandbulkreactionforcecannot
exceedadmissiblevalue, definitebyreliabilityof ship
andwharfs. Thesevaluescanbedecreasedby means
of fenders, being usually of wharf equipment. Ship
shouldmanoeuvreinsuchkindtonotexceedof admis-
sibleenergyof fender-structuresystem. Unintentional
contact can cause navigational accident. Process of
ship movement in limited water area relies by suit-
ablemanoeuvring. Duringof shipmanoeuvringitcan
happen the navigational accident. Same events can
occur strikeinstructures, whendepthof water areais
greater thandraughtship. Thereareusuallystructures
likewharf, breakwater, etc., and also floated objects
mooredtostructure.
5 SAFETY DISTANCE OF APPROACH(SDA)
Where:
Thefundamental measureof ships passing is dis-
tanceto closest point of approach(DCPA). Its value
shouldbesafety, it means:
where: DCPA=distancetoclosest point of approach
andDCPA
min
=acceptabledistancetoclosestpointof
approach.
Theaccidentcanhappen;whenaboveconditionwill
not beperformance. Knowing thenumber of entries
of shipsinayear (annual intensityof traffic), onecan
determine the probability of ships collision for one
shiptransit:
where: p
A
=probabilityof shipscollisioninonetran-
sit, =accident frequency, I
R
=annual traffic inten-
sityandt =givenperiod.
Determinate the probability of accident for given
number of ship transits it can used the following
formula(Galor W. 2004):
where: P
A(N
)=probability of accident for givenship
transit number andN =number shipof transits.
This relationshipis linear becauseimplies propor-
tional growth of probability to considered of ship
number transit. More adequate manner is use the
statistical models described theaccident probability.
Because accidents are infrequent events thus it can
beusedrecurrent models. Oneof themisgeometrical
distribution:
Figure2presentstheprobabilityof navigationaccident
for linear andgeometrical distributionsinfunctionof
shipstransit numbers.
Itresultsthatforgivenvalueof accidentprobability
(forexample0.95) forlineardistributionitisachieved
up to about three times less than for geometrical
distribution.
6 SAFETY AIR DROUGHT (SAD)
Air drought is distance over ship, when manoeuvre
under construction. Theymainlyconsist:
385
Figure 2. Probability of accident in function of transits
number for linear andgeometrical distributions.
Figure 3. The road bridge over Note c river in Santok
(Poland)-(NadolnyG. 2005).
bridges(road, railway) over waterway(fig. 3),
highvoltagelines,
pipelinesover waterway,
Theconditionof safetyshipmovementisfollowing:
where: H
S
=the height of highest point of ship and
H
C
=theheight of lowest point of construction over
waterway.
In many cases, the sea-river ships superstructure
is regulated. It permits to decrease of ships height.
Also other elements of ships construction can be
disassembled for instance masts of radar antenna,
radioetc.
7 CONCLUSION
Thesea-river ships moveon waterways (natural and
artificial) inside of land in many cases for hun-
dreds kilometres. The ship can pass natural objects
(coast, water bottom) andartificial objects(water port
structures-locks, bridgesetc.). Alsomany other ships
canmanoeuvreonarea. It causedthat thenavigation
ininlandwatersisharder thanonopenseas. Thecri-
terions of safety assessment of ship movement need
more precisely of qualify. The risk can be used as
measureof safety. This risk is asumof independent
components connected with different possibilities of
potential accidents.Theyarearesultof unwantedcon-
tact withobjects oninlandwater area. Thepresented
aboveconsideration can permit to analysis of safety
sea-river shipsininlandshipping.
REFERENCES
Galor W. (2001): The methods of ship are manoeuvring
risk assessment in restricted waters. Proceedings of the
14thInternational ConferenceonHydrodynamicsinShip
Design, Szczecin-Miedzyzdroje, 2729September 2001,
pp. 134143.
Galor W. (2001a): The management of ship safety in water
area. Proceedings of the Marine Technology IV, Edi-
tors CA Brebbia, WIT Press Computational Mechanics
Publications, Southampton, Boston, 2001, pp. 1320.
Galor W. (2004):Kryteria bezpieczenstwa ruchu statku po
akwenie portowym, ZeszytyNaukoweAkademii Morskie
wSzczecinienr 3(75), Szczecin, 2004. str. 4152.
GalorW. (2005):Analiza okreslania zapasu wody pod stepka.
Materialy XI Miedzynarodowej Konferencji Nauk.
Technicznej InzynieriaRuchuMorskiego, Szczecin.
Galor W. (2006): The ships dynamic under keel clearance
as an element of port safety management. Confer. Proc.
The4thInternational ConferenceonSafetyandReliability
(Vol.I), Krakw.
Mazurkiewicz B. (2008): Sea structures. A guide to design.
Edit byARCELOR, Gdansk2006(inPolish).
NadolnyG.,GalorA.(2005):Analiza nawigacyjno- eksploat-
acyjna mozliwosci ruchu jednostek srdladowych na
szlaku wodnym Wisla-Odra, Materialy II Konferencji
Naukowej INLANDSHIPPING. Szczecin.
386
9.4
Target trackinginRIS
A. Stateczny&W. Kazimierski
ABSTRACT: Thearticletreatsof problemsboundwiththetrackingof surfacewater targetsinRIS systems.
A concept of RIS has beenbriefly presented, indicatingtheneedfor locatinginthemthetrackingandtracing
of ships. Themost popular sensors usedfor thepurposehavebeencharacterised, themost important relevant
documentshavebeenpresentedandtherequirementsset for trackingsystemshavebeendescribed.
1 INTRODUCTION
TheRiver InformationSystem(RIS) is apackageof
solutionsfor theneedsof inlandshipping, whichhas
beenworkeduponforadozenyearsbyrepresentatives
of most Europeancountries. Theunderlyingfounda-
tion of this concept is harmonising the activities of
all kinds of enterprises, institutions and other users
of inland waterway networks in Europe. It is high
time Poland too should join the group of countries
involved in this undertaking. Directive 2005/44/WE
of the European Parliament and Council of Europe,
alongwithrespectiveregulations of theCommission
of European Communities (414/2007and415/2007)
obligethemember countriestointroducethistypeof
system. At the same time they specify requirements
pertainingtoitsimplementation, pointingout among
other things, which services should be covered by
it. Among themareTraffic Information service and
TrafficManagement. Accordingtoassumptions, both
should be based on tracking and tracing of vessels
conductingnavigationininlandwaters.
Within the framework of European projects there
was called a Tracking and Tracing Expert Working
Group, whose work effected in guidelines provid-
ing the basis for designing tracking systems in RIS
(TrackingandTracingExpertGroup,2005).Theywere
subsequentlyacceptedbypracticallyall organisations
regulatingRISservicesinEurope.
The present article sets forth the subject matter
relatedtotargettrackinginRISandthedemandsmade
onit.
2 VESSEL TRACKINGANDTRACING
Definingvessel trackinginRISrequiresthetakinginto
considerationof akindof semantic dualism, ushered
inbytheEuropeanLawinforceanditstranslationinto
English, as theEuropeandocuments usetheEnglish
words tracking and tracing, which in both cases
may betranslatedintoPolishassledzenie. Therefore,
in official translations two separate concepts were
introduced. Andso, accordingtoRegulationof Com-
mission of European Communities Nr 414/ 2007 13
March2007thefollowingdefinitionswereintroduced:
Vessel tracking (Polishsledzenie) means thefunc-
tionof maintainingstatusinformationof thevessel,
such as the current position and characteristics,
and if needed combined with information on
cargoandconsignments.
Vessel tracing (Polish namierzanie) means the
retrieving of information concerning the where-
aboutsof thevessel and if needed information
oncargo, consignmentsandequipment.
Bothdefinitionspartlyoverlapeachother, andtheir
differentiationbecomesmorecomplete, whenthevar-
iousapplicationsareknownfor informationobtained
ineffectof trackingandtracingvessels.Theissuehere
isfirstof all divisionintostaticinformation,pertaining
tocharacteristicsof thevessel or thevoyage, andinto
dynamic information, pertaining to the vessels cur-
rentnavigational situation. Nevertheless, inalmostall
RIS-relatedstudies, bothconcepts arelinkedto each
other, beingtwopartsof aconceptual whole.
3 TARGET TRACKINGREGULATING
DOCUMENTSINRIS
The problem of tracking targets in inland waters
appearedautomatically at themoment of introducing
supervisionof bargesandother river vessels. Thetra-
ditional techniqueappliedfor this purposewas radar
tracking backed up by various communication tech-
nologies, startingfromVHF uptocellular telephony.
Thenext stepforwardisincludingtrackingintheRIS
system.
Sincetheemergenceof theconcept of harmonised
services for inland shipping in the scope of RIS
a number of documents have been prepared, which
are mainly the result of international programmes
under theaegisof EuropeanCommunities. Themain
participantsof thoseprogrammeswerecountriesand
firms bound with shipping in west Europes largest
387
rivers. At thesametime, thepreparationof RIS stan-
dards was the activity of Central Commission for
Navigation on the Rhine (CCNR), and Permanent
International Association of Navigation Congresses
(PIANC). The subject matter of target tracking has
alwaysbeenanessential part of RISservices.
In2000theprogrammeInlandNavigationDemon-
strator for River InformationServices(INDRIS) was
completed, organisedwithintheframework of 4. PR
of theDirectorate-General for Transport and Energy
of theEuropeanCommission, whichis thefirst pan-
European attempt at implementing the idea of har-
monised RIS services. Within its scope there were
conducted a few demonstrations of RIS concept on
themaininlandroutes of West Europe. Thepossibil-
itywasindicatedof makinguseof techniquesapplied
in marineVTS centres (Vessel Traffic System), also
for trackinginlandtraffic. It wastobebasedondata
obtainedfromshoreradar, butAISwastakenaccount
of asasourceof additional informationabout targets.
(INDRIS, 2000)
Withinthescopeof 5PRtwolargeRIS-relatedpro-
grammes werestarted. Thefirst of themwasALSO
DANUBE, which lasted from 2002 to 2003, and
the other was COMPRIS, a sort of continuation of
INDRIS,whichlastedfrom2000to2005.Thefirstwas
orientedtoimplementingnewtechnologiesof improv-
ingshippingontheDanube, theother developedthe
concept of pan-EuropeanRIS withinaninternational
consortium(more than 11 member states). In both
projects the significance of AIS was stressed both
for tracking and tracing targets. At the same time,
in COMPRIS programmetheattention was directed
to the inaccuracies of radar tracking, resulting both
fromitscharacteristicandfromthespecificityof traf-
fic ininlandwater areas, withfrequent manoeuvres,
especially by course(COMPRIS, 2004). Theimpor-
tanceof datafusionandinformationwasalsostressed,
acknowledging that radar will be only one of the
sensorswithinthetrackingsystem(COMPRIS, 2005).
Apartfromprogrammesdescribed,withinthescope
of RIS European platformand with the support of
Central Commission for Navigation on theRhineas
also the Danube Commission, expert groups were
calledwiththeobjectiveof workingoutstandardsand
requirements relatedto RIS. Oneof thegroups han-
dledproblemsof target trackingandtracing. Itswork
wasbasedonguidelinesfor RIS systemsworkedout
by PIANC andapprovedby CCNR in2004(CCNR,
2004). It waspointedout inthestudy thatAIS-based
tracking systems supplement radar tracking, which
remains the basic source of information about ves-
sel tracking. Theexperts, without negating this fact,
concentratedalmost exclusively onAIS development
intwovariants InlandAISandAIS-IP. Their activity
effected in standards, worked out in 2005, concern-
ingtrackingandtracingof vesselsininlandshipping
(Tracking and Tracing Expert Group, 2005), which
were further adopted by CCNR (CCNR, 2006), and
also includedinaresolutionby EuropeanEconomic
Commission at the UN (UNECE, 2007). They state
that acomplextrackingsystemshouldbemadeupof
varioustypesof sensors. TheAISsystem, however, is
indicatedastheunquestionableleader. Itmayinaway
seemamusing that in thedocument it is said in one
placethat radar should bethebasis for thetracking
system, followedbyover 100pagesof considerations
pertainingtotheAISsystem. Inthisway, aclear pro-
AIStrendloomsout amongRISdesigners, onascale
surprisingly largein places. For exampletheDoRIS
system, whichregulatesnavigationintheAustrianpart
of theDanubeis basedexclusively onAIS anddoes
not avail itself of aradar station. Thequestionarises
hereabout thesafetyandreliabilityof InlandAIS.
In the writers opinion, two things determine the
popularity of AIS. In the first place, the high accu-
racyof dynamicinformationobtainedconcerningthe
vesselsmovement (assumingthecorrect functioning
of the systemand the ships sensors; in the second
place, thepossibility of wideningthesedataby static
informationaboutthevesselsdimensions, cargo, port
of destinationetc. Inneither respect doesradar stand
comparisonwithAIS.
From2003parallel workwentononintroducingthe
DoRISsystemof river services, coveringtheAustrian
part of theDanube. Inthissystem, too, AISwasindi-
cated as the main source of information concerning
vessel trackingandtracing.
As can be observed, in only a few years there
emerged a lot of institutions and consortiums in
connection with RIS introduction in Europe, which
brought fruit inmany documentsrelatedtoRIS stan-
dardsandrequirementsasawholeandvessel tracking
in particular. For thetimebeing, thekey documents
in this area are the RIS Directive, accepted by the
European Parliament and Council in 2005 (EP and
UE Council, 2005), two Regulations 414and415of
2007 by the Commission of the European Commu-
nities, 2007a& b, as also thepreviously mentioned
Resolution No.63 of the European Economic Com-
missionattheUN(UNECE, 2007).TheRISDirective
isatthemomentthebasiclegal actinEuroperelatedto
RIS. It establishestheframework for distributionand
usingharmonisedriver informationservices(RIS) in
theCommunity.Atthesametime, inmattersconcern-
ingtechnical detailstheDirectivereferstotheworksof
EuropeanCommission, whichissuedtworegulations
onthesubjectof trackinginRIS. Regulation414/2007
contains technical guidelines concerning planning,
implementingandoperational useof riverinformation
services(RIS), whereasRegulation415/2007pertains
totechnical specificationsrelatedtosystemsof vessel
trafficcontrol withinthescopeof RIS.
4 PLACE OF TRACKINGINTHE RIS
CONCEPT SYSTEM
According to the EU Directive, but also to some
earlier works, river information services are a
few kinds of services related to inland shipping,
whoseharmonisationandstandardisationaretoserve
388
Figure1. River informationservicesinRIS.
objectives resulting fromgeneral European needs in
thescopeof surfacetransport. Threebasic objectives
of introducing RIS were defined in Regulation KE
414/2007describinggoalstobeattained:
transport shouldbesafe;
transport shouldbeefficient;
transport shouldbefriendlytotheenvironment.
Therealisationof theabovegeneral goals, andalso
partial objectivesresultingfromthem, shouldbepos-
siblebysupportingparticular tasksboundwithinland
fleet management. They can be divided into three
groups with respect to arenas in which they are
realised(EC, 2007a):
arena of transport logistics, in which parties ini-
tiating transport cooperate with parties organis-
ing transport (e.g. senders, consignees, loaders,
forwarders, freight brokers, shipowners);
arenaof transport, wherethepartiesorganisingthe
transport cooperatewithpartiesrealisingtransport
(e.g. shipowner, terminal operators);
arenaof traffic, inwhichpartiesrealisingtransport
(e.g. vessel mastersandnavigators) cooperatewith
parties managing theresulting vessel traffic (e.g.
respectiveauthoritiesmanagingthetraffic).
Looking for a place for vessel tracking in this
flowchart, it will certainly be found among tasks
realised in the last arena. In order to present the
location even more accurately, in Fig.1 there have
beenpresentedparticular RISservices, dividingthem
accordingtoRegulation414/2007intoservicesrelated
mainlytotrafficandtoservicesrelatedmainlytotrans-
port. It shouldbenoticedthat afewservices may be
usedfor performingRIStasks.
InFig. 1theserviceswheretarget trackingcanbe
usedhavebeenmarkedinblue. Regulation414/2007
divides particular RIS services into RIS subservices,
which are in turn realised by means of respective
RISfunctions. Table1presentsadivisionof tracking-
relatedservices. Specifyingtheremainingservicesis
notnecessaryintheaspectof thestudyssubjectmatter.
Itshouldbenoted, however, thatinformationonvessel
trafficcanbeusedinservicesotherthanthosemarked,
although they arenot directly bound with them. For
example, for calamityabatement support information
onvessel trafficseemstobeessential.
IntheRISphilosophythreeinformationlevelshave
beenintroduced(EC, 2007a):
informationonfairways(FI);
tactical trafficinformation(TTI);
strategictrafficinformation(STI).
Fromthe tracking point of view it is particularly
essential todistinguishbetweenthelast two. Traffic-
related services cover mainly these two information
levels.
Tactical traffic information is information affect-
ing thevessel masters or VTS operators immediate
decisions madeinrelationtonavigationinreal navi-
gational trafficandconcerninglocal traffic. Strategic
trafficinformation(STI) signifiesinformationaffect-
ing medium- and long-termdecisions made by RIS
users(EC, 2007a).
As sources of the tactical image, the radar, elec-
tronicchart andAISarementioned. Thisinformation
can be gathered directly on the ship or provided by
theVTS centre. Thestrategic traffic imageisworked
out at theRIS centreandis deliveredto theusers on
request. Strategic traffic area includes all vessels of
essential significancepresentintheRISareawiththeir
characteristics, determination of cargo and position,
presentedasatableor plottedonanelectronic chart.
Soit seemsthat inacertaingeneralisationthetactical
traffic imagecorresponds to theconcept of tracking,
andthestrategictrafficimageisbasedontheconcept
of tracing.Itshouldberemembered,however,thatboth
trackingandtracingprovidedifferent kinds of infor-
mation, andjoiningthemgivesthefullest tactical and
strategictrafficimage.
It is surprising that in the functional decomposi-
tion of RIS services contained in regulations of the
Commission for European Communities, in thepart
relatedtotraffic, thereisnofunctionrealisingthepre-
sentation of vessel movement parameters, which are
of key significancebothfor solvingcurrent collision
situations and determining, say, the time of vessels
passing each other, or time of reaching the lock. In
thewriters opinion, lack of such information seems
to beagross oversight on thepart of theauthors of
thetask-serviceRISconcept, asitisdifficulttoimag-
ineconstructingTTI or STI withoutsuchinformation.
Only intheserviceTraffic Management thereappear
functionsVTS.2andVTS.3, inwhichuseismadeof
informationpertainingtovessel traffic.
The essence of vessel traffic control within the
scope of RIS was presented in more detail in Reg-
ulation 415/2007(EC, 2007b). It was acknowledged
init that onetask of theVTS systemwas to support
activenavigationof vessels inthearea. Threestages
of navigationwereintroducedthere:
navigation, predictioninmediumtime;
navigation, predictioninshort time;
navigation, predictioninveryshort time.
389
Predictioninmediumtimedenotesobservationand
analysisof watertrafficinadvanceof afewminutesto
anhour.TheMasterconsidersinthattimepossibilities
of approaching, passingandovertakingother vessels.
Therequiredimageexceeds therangeof deck radar,
henceVTSinformationsupport mayprovenecessary.
Thisiscertainly oneof themainareasof makinguse
of tracking.
Prediction in short time is the decision-making
stage in the navigational process. Information con-
cerningtrafficaffectsthenavigational process, includ-
ing undertaking actions aimed at avoiding possible
collision. In this stage, other vessels are observed
present at ashort distance. In particular, it is essen-
tial totrack usingtheshipssensors, but shorecentre
support mayproveequallyessential.
Predictioninveryshorttimeistheoperational stage
of the navigational process that consists in realising
decisions madeearlier and monitoring theresults of
suchactivities. Informationrequiredinthiscasefrom
other vesselsareboundwiththeconditionsof agiven
vessels, such as relative position and relative speed.
Inthisstageit isnecessarytogiveveryaccuratedata
obtainedbymeansof tracking.
As far as makinguseof trackinggoes, theservice
Traffic Organisation is equally essential. It concerns
traffic operational control and the planning of the
vessels movement in order to avoid traffic jams
anddangerous situations. This serviceis particularly
important withhightraffic intensity or insituations,
wherespecial transports may affect normal traffic in
waterways.
Tosumupitcanbestatedthattrackingvesselsfinds
applicationwithinRIS for buildingamainly tactical,
but also strategic traffic image. This in turn is used
byvessel control serviceanddirectlybynavigatorson
inlandshippingvessels.
5 REQUIREMENTSSET FORTRACKING
INRIS
The basic documents presenting the standards and
requirements pertaining to tracking in RIS are the
previously mentioned Resolution of European Com-
mission 414/2007 (EC, 2007a), and also resolution
63of theEuropeanEconomicCommissionat theUN
(UNECE, 2007), being theapproval of CCNR Stan-
dards, whichinturnaretheresultof workof anexpert
groupcalledby theEuropeanRIS platform(CCNR,
2006; Tracking andTracing Expert Group, 2005). It
should be noticed, however, that in all these docu-
mentsreferencescanbefoundtoIALA work related
torequirementsinVTSvessel management systems.
Standardsfor trackingdevicesininlandwaterscan
beconsideredintwoways. Firstly, fromtheshipsside,
thatisasrequirementsfordevicesmountedontheves-
sel, andsecondlyfromtheVTSside, asrequirements
for shoredevices.
In the first case two documents seemto be cru-
cial. Thefirstof themcontainsrequirementsprepared
by CCNR concerningradar devicesmountedonves-
sels navigating on the Rhine (CCNR, 2004). These
requirements in turn became the basis for working
out guidelines by the European Telecommunication
StandardisationInstituterelatedtonavigational radar
devicesininlandwaters(ETSI, 2006). Thestandards
presentedbothrequirementsandtestingmethods.The
fact deserves attention that they do not give guide-
lines for tracking targets, which is why it can be
concluded that it is not required at all in river radar.
Ontheother hand, therearerelatively highdemands
related to measurement accuracy of targets position
anddiscrimination.Thedocumentmentioneddoesnot
exclude, however, thepossibilityof enrichingradar by
additional software, whichis why manufacturers fre-
quentlyapplytrackingoverlays ontheradar, where
the tracking accuracy approximates marine tracking
systems.
Therearedefinitelymorerequirementsfortracking
devices within the scope of VTS systems. Interna-
tional trackingandtracingstandardsrecommendthat
dynamicdataintheVTSshouldbedeliveredwithvar-
ious accuracies for particular services in accordance
withTable1.
At thesametimethesedocumentsindicatethat the
radar remains thebasic sourceof navigational infor-
mation, stressingtheconsiderably risingroleof AIS,
which is ableto improvesignificantly thequality of
data acquired about the targets. As the work of the
expert group was concentrated above all on prepar-
ing new AIS standards for inland waters, however,
it seems justified in theRegulation of theEuropean
Commission to refer to IALA documents, which is
the institution to set down VTS standards. In 2001
there appeared IALA guidelines pertaining to VTS
systemsininland, whichsubsequentlybecametheres-
olutionof theEuropeanEconomic Committeeat the
UN (UNECE, 2005), and were also adapted by the
CCNR (CCNR, 2006). There was included general
information on creating vessel management systems
ininlandwaters, for moredetailedguidelinesit being
referredto, inter alia, IALA requirementsfor devices
usedinVTSsystems, V-128. Thisdocument haslived
to a few editions, the latest of which (3rd version)
appearedin2007(IALA, 2007).
IALA guidelines related to devices in systems of
VTStrafficcontrol weredividedintoafewsections, in
whichvariousappliancesaredescribed.Threevarious
accuracylevelswereintroducedfor all of them(basic,
Table1. Accuracyrequirementsfor dynamicdatainVTS.
Position SOG COG Truecourse
Service (m) (km/h) (
) (
)
Navigationin 10 1 5 5
short time
VTSassistance 10 1 5 5
VTStrafficmanag. 10 1 5 5
Lockoperation 1 0,5 3
Bridgeoperation 1 0,5 3
390
standardandextended) bearinginmindeconomicand
technological indexes.
AccordingtoIALAguidelines,radardevicesarethe
basic sourceof navigational information. Becauseof
thespecificityof eachVTSsystem(surfaceshape,traf-
ficdensity, economicfactors, numberof radarstations
etc.) IALA recommends that the competent author-
ity for agivenVTS shouldlay downindividually the
requirementsfor trackingineachsystem, at thesame
time giving approximate reference values for a sin-
gle coastal radar station (IALA, 2007). They were
dividedintothreeaccuracylevels: basic, standardand
advanced. In the last two, the permissible errors of
courseandspeeddeterminationare2
and1knot, laid
downonthelevel of onestandarddeviation(assuming
Gaussiandistribution), for atarget movingat uniform
motion.
What seems interesting is the status of television
camerasintheRISconcept, andalsoVTS. Analysing
Regulation414/2007it canbenoticedthat theCCTV
camerais mentionedas oneof thesensors providing
informationontraffic onaninlandwaterway; onthe
other hand, asit doesnot appear inanyother placein
theregulation, itsroleremainsactuallyunknown. The
TrackingandTracingExpert Groupdoesnot mention
thecameraat all, concentrating onAIS. Only IALA
devotesintheirrecommendationsalittlemoreroomto
CCTV television, butstill movingaboutonaverygen-
eral level. Thecameraisindicatedthereasapotential
cheaperthanradarsourceof informationabouttargets
intheVTS system. It canfulfil theroleof aseparate
sensor,orsupplementinformationacquiredfromradar
withadditional data, liketheshipsnameor kind. The
cameraispresentedasagoodmethodof supplement-
ing radar coveragein aVTS area. Thepossibility is
admittedthatthecameramaytracktargetsonitsown,
butfirstof all itsidentificationroleishighlighted.The
cameramayshowwhattheradar doesnotsee, e.g. the
kindof vessel or danger. Exactrequirementsaregiven
with regard to the identification function, but there
are none such concerning tracking. The only hint is
thestatement that inthescopeof reliability, accuracy,
rangeandresolutionasystemof industrial television
hastomeettherequirementsofVTSsystemandexpert
organisationsintherealmof graphics. Inthiscase, the
concept of trackingseemstotakeonameaningfrom
computer graphics, strictly speaking fromcomputer
vision,wheretrackingmeansfollowingsomethingand
continuous monitoring something rather than deter-
mining its movement parameters. Nevertheless, the
camera remains oneof thesensors that can beused
in theVTS systemas asourceof information about
movement andtarget.
6 RECAPITULATION
Thearticlecharacterises thesubject matter of track-
ing surface water vessels in RIS systems. This is a
problemmany international organisations havebeen
preoccupied with in recent years and the European
Commission has in some way dotted the is and
crossedthetsbyissuingdirectivesintheRISmatter.
Fortunately, the organisations mentioned cooperated
withoneanotherbymostlyacceptingsolutionsworked
out in common. In their light, as the basic sources
of informationabout vessels intheRIS systemthere
appear Inland AIS, tracking radar and the vision
camera within the framework of CCTV industrial
televisionnetwork.
Anunquestionedleader inthisareaistheAISsys-
tem, whoseintroduction, also into inlandwaters, has
opened a completely new chapter in the history of
watertrafficcontrol. Itsindications, assumingthecor-
rect functioning of the system, are clearly the most
accurate. Theradar system, thoughtheoretically still
thebasis for trackingtargets, ceases to beattractive,
not onlybecauseit givesalessaccuratepositionthan
GPS, but also because it provides significantly less
useful information than AIS. The camera in turn is
a short-range sensor, and its application for vessel
movement vector estimation is practically unusual.
Therefore, only thelinking of both sensors into one
complementary systemgives hopethat it will beup-
to-dateandfacethechallengesof moderntimes.What
ismore, suchasystemwill havebasicadvantageover
theAIS system, namely it will beindependent from
shipsensorsandtherefore, theRISoperator will have
full control over it. AISisbased, after all, oninforma-
tiondeliveredbyother vessels, andso, incaseof their
improper functioning, it gives erroneous values. The
methodof combinedtrackingbasedonradar andthe
cameraseemstobeanatural attempt at unification
of thesetwosensorsinorder tomeettherequirements
set for moderntrackingsystems.
What seems most reasonable is making use
of all mentioned sensors for tracking targets in
RIS, which leads towards multi-sensor fusion of
navigational data.
REFERENCES
EuropeanCommission,2007a.CommissionRegulation(EC)
No414/2007of 13March2007concerningthetechnical
guidelines for the planning, implementation and opera-
tional useof riverinformationservices(RIS)referredtoin
Article5of Directive2005/44/ECof theEuropeanParlia-
mentandof theCouncil onharmonisedriver information
services (RIS) on inland waterways in the Community.
Official Journal of the European Union. 23April 2007
EuropeanCommission,2007b.CommissionRegulation(EC)
No 415/2007 of 13 March 2007 concerning the techni-
cal specificationsfor vessel trackingandtracingsystems
referred to inArticle 5 of Directive 2005/44/EC of the
EuropeanParliament andof theCouncil onharmonised
river informationservices (RIS) oninlandwaterways in
theCommunity. Official Journal of the European Union.
23April 2007
Tracking And Tracing Expert Group, 2005. Vessel Track-
ing and Tracing Standard for Inland Navigation,
www.risexpertgroups.org
INDRIS, 2000. Policy summary report 2000, ftp.cordis.
europa.eu
391
COMPRIS, 2005. Inventory and guide to standards &
recommendations for COMPRIS and RIS, www.euro-
compris.org
CCNR, 2006. Guidelines and criteria for vessel traffic
servicesoninlandwaterways, www.ccr-zkr.org
CCNR, 2004, Guidelines and recommendations for river
informationservices, www.ccr-zkr.org
UNECE,2007,International standardfortrackingandtracing
oninlandwaterways(VTT), www.unece.org
ETSI, 2006, EN302194-1- Navigationradar usedoninland
waterways: Part 1: Technical characteristicsandmethods
of measurement, www.etsi.org
IALA, 2007, IALA Recommendation V-128 - On Opera-
tional andTechnical PerformanceRequirementsfor VTS
Equipment, ed. 3.0, www.iala-aism.org
392
9.5
Sixinoneor oneinsixvariants. Electronicnavigational chartsfor open
sea, coastal, off-shore, harbour, sea-river andinlandnavigation
A. Weintrit
ABSTRACT: Inthepapertheauthortriestoexplainproblemsconnectedwithutilizationof theGIS(Geographic
InformationSystem) technology andmoresensitively speakingitswaterborneimplementation, ie. theECDIS
(ElectronicChart DisplayandInformationSystem) technologyandtheelectronicnavigational charts(ENC) in
thewidelycomprehendedmaritime(opensea, coastal andharbour) andinlandnavigationwhichtheauthor does
not limit exclusivelytoriver-reservoirsonly, but widensalsofor channels, navigablelakesandareaswhichcan
bedefinedgenerallyassea-rivernavigationareas. Inthepaperauthorpresentstheclassificationof theelectronic
navigational charts, primary functions and performancestandards for electronic chart systems for open sea,
coastal, off-shore, harbour, sea-river andinlandnavigation.
1 INTRODUCTION
An electronic chart system, whether an Electronic
ChartDisplayandInformationSystem(ECDIS) or an
ElectronicChartSystem(ECS), isprimarilydesigned
for safenavigation. But itsabilitytodisplayinforma-
tion selectively and relate it spatially is considered
a real-time GIS application in the water environ-
ment. Thispaper describesthepotential of ECDISfor
maritime, coastal, offshoreandinlandapplications.
Information technology has significantly changed
theconceptof navigation, theintroductionof thelatest
computersandcommunicationcapabilitiesfacilitating
communicationwithsea-goingvessels onthebattle-
field. Networking shipowners, vessel traffic service
centres, riverinformationsystems, andindividual ves-
selsinocean, coastal andinlandnavigationiscarried
out withthelatest stateof-the-art technologyincom-
puters andefficient communicationnetwork systems
ande-Navigation.
Most cartographic research relating to the use of
softcopydisplayconsideredthesimplereproduction
of conventional charts, mapsandmappingtechniques
onCRT devices.Althoughtheresolutionof thescreen
is theimmediately noticeabledifferencebetweenthe
paper andthevideodisplaymedium, itisnotthemost
importantfactor influencingthequalityof thedisplay.
Thevalueof theelectronicchartsdevelopment isnot
insimplyimitatingthepapernautical chart, butinpro-
vidingadynamicdisplaywhichsuccessfullycombines
thereal-timelocationof theshipwithradar/ARPA/AIS
returnsandchart information. Tomaintainthevisual
simplicity of thismorecomplex display, thedatafor-
mat,organizationandtypeof chartfeaturesshown,and
thewaytheyappearonthescreen, mustreflecttherel-
ativeimportanceof theinformationtosafenavigation.
Unlikethestatic paper chart, theelectronic chart can
changethedisplayandemphasisof symbols, basedon
actual real-timeeventsandtheviewingscalechosen.
Thecomputer-basedalgorithmsof theelectronicchart
allowittoalwaysincludetheleastnumber of symbols
whicharemostrelevanttoagivensituation.Thispaper
describes thedifferent types of electronic charts and
electronicchart systems.
2 ELECTRONIC CHART SYSTEMANDECDIS
Theelectronic chart systemis arelatively newtech-
nology that provides significant benefits in terms of
navigationsafetyandimprovedoperational efficiency.
More than simply a computer display, an electronic
chartisareal-timenavigationsystemthatintegratesa
varietyof informationthatisdisplayedandinterpreted
bythenavigator. It isanautomateddecisionaidcapa-
bleof continuouslydeterminingavesselspositionin
relation to land, charted objects, aids-to-navigation,
andunseenhazards.Theelectronicchartrepresentsan
entirely newapproachto maritimenavigation. There
aretwobasictypesof electronicchart systems. Those
that comply with theIMO requirements for SOLAS
class vessels, knownas theElectronic Chart Display
andInformationSystem(ECDIS), andall other types
of electronic chart systems, regarded generically as,
ElectronicChart Systems(ECS).
ECS encompasses any electronic systemthat uses
digital chart data. There are standards being devel-
oped for ECS by the ISO and earlier by the Radio
Technical Commissionfor MaritimeServices. ECDIS
is systemthat is certified to meet asuiteof interna-
tional standards: IHO Transfer Standard for Digital
HydrographicDataS-57,IHOSpecificationsforChart
ContentandDisplayaspectsof ECDISS-52,IMORes-
olutionA.817(19) PerformanceStandardsfor ECDIS,
393
Figure1. Twoschoolsof ECDIS/ECSclassification.
Figure2. Classification schemefor electronic charts sys-
tems pretending to internationally standardised name of
ElectronicChart DisplayandInformationSystems(ECDIS)
(Weintrit, 2001, 2009).
and IEC 61174: ECDIS Operational and perfor-
mancerequirements, methodsof testingandrequired
test results. AnECDIS must useofficial ENC data
to meet all of thesestandards andmay useofficial
raster datawhereENC dataisnot yet available.
It is important to lay to rest right at the start the
differencebetweenECSandECDIS. Insimpleterms,
anECDISisanECSbut anECSisnot necessarilyan
ECDIS! Confused? Letstrytoexplain.
AnyECSisanavigationsystemutilisingcomputers
andotherelectronicsystemstoplotandtrackavessels
position. Itwill consistof, atleast, acentral computer,
alibraryof electroniccharts, apositioninput suchas
Global PositioningSystem(GPS)andadisplayscreen.
Theelectronic charts stored in thelibrary may bein
eitherrasterorvectorformatsandtheymaybeofficial
or unofficial charts.
ECScannotbethelegal equivalentof thepapernav-
igational chart (since it does not meet all the IMO,
IHO and IEC standards for ECDIS), is already in
widespreadusearoundtheworld, andischaracterised
bybeingphysicallysmaller,lesssophisticated,andless
expensivethanfullycompliant ECDIS. ECSdisplays
differenttypesof chartdata(vectororraster) provided
by hydrographic office, commercial manufacturer or
user. It is intended for theusein conjunction with a
current, updatedpaper chart. It cannot functionasan
ECDIS systemsinceit does not meet theIMO stan-
dards for equipment which is a legal substitute for
paper charts.
The true ECDIS system displays information
fromelectronic navigational charts (ENC) and inte-
grates position information from the GPS/GNSS
andother navigational sensors, such as radar/ARPA,
echosounder and automatic identification systems
(AIS). It may also display additional navigation-
related information, such as Sailing Directions, Tide
Tables, etc. TheENCsthemselvesareasimportant as
thesystemthatdisplaysthem. Againconfusionsome-
times exists betweenofficial ENCs whichhavetobe
producedbyor onbehalf of agovernment authorised
HydrographicOffice,andothercommercial electronic
chartswhich, whilst theymaybeabletobedisplayed
on an ECDIS system, do not comply with the IMO
regulations for useas theprimary navigational chart
system.
Only when official ENCs are run in a compliant
ECDIS systemcan it becalled an ECDIS. All other
chart dataused immediately downgrades thesystem
toanECS, andnon-compliant, under thetermsof the
SOLAS regulations for useof Electronic Charts as a
primary means of navigation for merchant shipping.
Thisdistinctionisoftenover-lookedbywouldbepur-
chasers, but thoselawyers may not bequiteso ready
toignoretheregulations.
ECDIS equipment isspecifiedintheIMOECDIS
PerformanceStandards (IMO ResolutionA.817(19),
as amended by Resolution MSC.64(67) Adop-
tion of New and Amended Performance Standards
(adopted in 1996), Annex 5 Amendment to Reso-
lutionA.817(19) PerformanceStandards for ECDIS;
asamendedbyResolutionMSC.86(70) Adoptionof
NewandAmended PerformanceStandards for Nav-
igational Equipment (adopted in 1998), Annex 4
AmendmentstotheRecommendationonPerformance
Standardsfor ECDIS; andasamendedbyResolution
MSC. 232(82) Adoptionof theRevisedPerformance
Standardsfor ECDIS(adoptedin2006), RevisedPer-
formanceStandardsforECDISasfollows:Electronic
chart displayandinformationsystem(ECDIS) means
anavigationinformationsystemwhich, withadequate
back uparrangements, canbeacceptedascomplying
withtheup-to-datechart requiredby regulationV/19
andV/27of the1974SOLASConvention,asamended,
bydisplayingselectedinformationfromasystemelec-
tronicnavigational chart(SENC)withpositional infor-
mationfromnavigationsensorstoassistthemarinerin
routeplanningandroutemonitoring,andbydisplaying
additional navigation-relatedinformation.
Within the ECDIS, the ENC database stores the
chart information in the formof geographic objects
represented by point, line and area shapes, carrying
individual attributes, whichmakeanyof theseobjects
unique.Appropriatemechanismsarebuiltintothesys-
temto query the data, and then to use the obtained
informationtoperformcertainnavigational functions
(e.g. theanti-groundingsurveillance).
394
Table1. Electronicnavigational chartsversuspaper charts.
Paper Chart ElectronicChart
fixedscalesheet, fixeddisplaysize,
fixedNorth-uporientation fixedresolution,
(usually), variabledisplayscale,
fixedsymbol definition, variabletypesandamount
fixedsymbol arrangement of information,
andapplicationwith variousorientationwith
respect toNorth, respect toNorth,
limitedpaper size, varioussymbol arrangement
limitedtypesandamount andapplication,
of information, varioussymbol definition,
limitednumber of colours variousnumber anduseof
andcombineduse. colours.
Thepresentationof ENCsonthescreenisspecified
in another IHO standard, the Colours and Sym-
bols Specifications for ECDIS IHO S-52, i.e. inits
Appendix 2, called ECDIS Presentation Library.
Thisstyleof presentationismandatory.
The use of ENCs in a tested approved and cer-
tified ECDIS (according to IEC 61174/2008) and
with appropriate back up arrangements, is the only
paperlesschart optionfor vessel navigation.
3 ELECTRONIC NAVIGATIONAL CHART
An Electronic Navigational Chart (ENC) is a digi-
tal representation of the paper charts, a digital file
that contains all thechart information necessary for
safenavigation, aswell assupplementaryinformation
requiredtoplanvoyagesandavoidgroundings(route
planningandroutemonitoring).
ENC boasts electronic features that paper charts
lack. Forinstance, anavigatorcanintegrateGPSdata
whichtellsanavigator hisor her preciselatitudeand
longitude with ENC data. The navigator can also
integratedatafromGeographic InformationSystems
(GIS), real-timetideandcurrent data, andwinddata
toenhancethecapabilitiesof theENC.
Incorporating these features can create a fuller,
more accurate picture of the marine environment.
A vessel using ENCs can detect an obstruction in
advanceandcheckplannedtravel routestoavoidcross-
inghazardous areas. Theelectronic chartingsystems
used to view ENCs can display warnings and regu-
lationsthat pertaintoareasinwhichavessel transits,
andcansoundanalarmif thevesselsprojectedcourse
veerstooclosetoadangerousfeature.
3.1 Types of electronic charts
3.1.1 Vector charts
Vector chartsarethechart databasesfor ECDIS, with
standardized content, structure and format, issued
for usewith ECDIS on theauthority of government
authorized hydrographic offices. ENCs are vector
chartsthatalsoconformtoInternational Hydrographic
Figure3. Classificationschemefordatabasespretendingto
internationallystandardisednameof electronicnavigational
charts(ENC) andraster navigational charts(RNC) (Weintrit,
2001, 2009).
Figure4. Varioustypesof raster andvector charts.
Organization (IHO) specifications stated in Special
PublicationS-57.
ENCs contain all thechart information necessary
for safe navigation, and may contain supplementary
informationinadditiontothat containedinthepaper
chart. Thesesupplementary informationmay becon-
sidered necessary for safe navigation and can be
displayedtogetherasaseamlesschart. ENCsareintel-
ligent, inthatsystemsusingthemcanbeprogrammed
togivewarningof impendingdanger inrelationtothe
vesselspositionandmovement.
3.1.2 Raster charts
Raster navigational charts areraster charts that con-
form to IHO specifications and are produced by
converting paper charts to digital imageby scanner.
Theimageissimilar todigital camerapictures, which
couldbezoomedinfor moredetailedinformationas
it does in ENCs. IHO Special Publication S-61 pro-
videsguidelinesfortheproductionof rasterdata. IMO
ResolutionMSC.86(70) permitsECDISequipmentto
operate in a Raster Chart Display System(RCDS)
modeintheabsenceof ENC.
Not all electronicchartsareinsameformat; many
different formatsexist for electroniccharts. However,
two major types are now in use on merchant ships,
395
Table2. Thedifferences between raster charts and vector
charts.
Raster Chart (RNC) Vector Chart (ENC)
Chart dataisadigitized Chart dataisorganisedinto
picture of achart. All data manyseparatefiles. It
inonelayer andoneformat. containslayer information
toproducecertainsymbols,
lines, area, colours, and
other elements.
Withraster data, it isdifficult Withvector data, it can
tochangeindividual element changeindividual elements
of thechart sincetheyarenot withadditional data.
separatedinthedatafile.
they arevector chart and raster charts. Raster charts
(RNC), infact, arescannedpaper chartsintothepic-
tureswithadjustmentmadesuitablefor displayonthe
RCDS. ThisRNC isalsoknownasAdmiralty Raster
Chart System(ARCS Charts) which is produced by
theBritishAdmiralty(UKHO).
Vector charts are digitized charts. Countries are
producing uniquedigital charts based on their inter-
pretationof IHOstandards(i.e. S-57standards).
4 CONFUSIONOVERTHE CHARTS
The by far major problemin the use of ECDIS lies
inthecharts tobeused. Theconfusionappears tobe
completeamongst shipping lines and chart distribu-
tors and even among the various authorities around
theworld. You must usean ENC in order to usethe
systemasanECDIS. If nocompleteENCcoverageis
availablefor theships areaof operations youhaveto
useother availablecharts, andthenyour systemturns
intoanECS.
TheENC coveragewas at this point in timevery
limited, and it was difficult to get an overview over
whichpartsof theworldthat arecoveredbyENCs. It
wasmerelystatingthefactthattheavailabilityof ENCs
waslimited, andthusthepossibility touseECDIS in
practicewaslimited. Theconfusionbegins, whenwe
start speakingabout other typesof chartsthanENCs,
inparticular RNCs.
4.1 Non-official charts
There is a number of alternatives to the aforemen-
tioned ARCS charts. E.g. Transas and C-Map have
almostworldwidecoverageof vector chartswherethe
datais basedonexistingpaper charts. Unfortunately
thesecharts havenot obtained thestatus as official,
becauseof thefrequency of theupdates andthelack
of acontrollingauthoritytoapprovethecontents.
Howbigapartof thescalesisweighedbythesefacts
moreor lessdependsontheflagof theshipandthus
theflagstateadministration.Theobviousadvantageby
usingC-Mapchartsisthereforeintheavailablesafety
features, whichareinherent inthevector charts.
Figure5. Summaryof ENCs(Arts, 2003).
4.2 Data from private data providers
Examples of raster navigational chart producers are:
NOAA, Maptech, SoftChart and Laser Plot in the
UnitedStates, NDI inCanadaandBritishAdmiralty
(ARCS) in England. Vector marine charts for chart
plotters are produced by C-Map and Navionics.
Garmins MapSource BlueChart and Magellans
MapSendBlueNavchartsarederivedfromNavionics
vector charts. Other vector marinecharts comefrom
Passport andTransas.
If it is so expensiveto produceandupdateENCs,
howthenhaveprivatecompaniessucceededinbuild-
ingwhat seems to bedecent worldcoverage? Please
lets not get involved in another discussion about
the legality of their products; everyone knows that
SOLAS, ChapterV regulation2.2statesthatNautical
chart or nautical publicationisaspecial-purposemap
or book, or aspeciallycompileddatabasefromwhich
suchamapor bookisderived, that isissuedofficially
by or on the authority of a Government, authorised
Hydrographic Office or other relevant government
institutionandisdesignedtomeettherequirementsof
marinenavigation. Thereforeweknowthat only the
ENCsproducedby HOsmay beusedby commercial
vesselsof morethan500GRT.
4.3 Assessment standard ISO 19379
In order to meet the requirement mentioned above
an (international) standard for privately manufac-
tured data was developed over the past ten years.
Thestandard, ISO19379, was preparedbyTechnical
CommitteeISO/TC8(Ships andMarineTechnology,
subcommitteeSC6, Navigation) andadoptedin2003.
ISO 19379is theinternational standardthat spec-
ifies therequirements for ECS databases, especially
as regards the elements relevant to safety of navi-
gation, such as content, quality and updating. The
standard was developed by ISO (International Orga-
nizationfor Standardization), withthecontributionof
HydrographicOffices, ClassificationAuthorities, and
the Marine Industry, and is being adopted by Mari-
timeAdministrations to regulatetheuseof ECS in
Italy, for example, it is part of the requirements for
396
approvedElectronicChartSystems, whichcanreplace
paper chartsoncertaintypesof craft (Malie, 2003).
ISO 19379 provides guidance on production and
testing of an ECS Database. It does not provide
detailed coverage of the methods and techniques
required for database design and development,
nor does it address specific quality management
procedures.
4.4 Use of the standard
The standard is applicable to both vector and raster
charts. Itisenvisagedthatnational regulatoryauthori-
tiesmaywishtorequirecompliancewiththisstandard
asguidancefor datausedinECS or other systemsof
electronic navigationintheir countries. TheStandard
has been developed to make the ECS chart display
as reliable as the official paper chart and its equiv-
alent ENC. The aimof the working group has been
to developastandardeasy to interpret but withcon-
tent andaccuracy levels at least equal tothoseof the
ENC of the same area, carefully avoiding, however,
anyover-specificationor rigidstructure.
4.4.1 Contents of the standard
Thecontentsof thechartareverymuchinlinewiththe
requirementsasdescribedinIHOS-52(Specifications
forChartContentandDisplayAspectsof ECDIS,Dec.
1996).
4.4.2 Quality
Thiscovers, amongotheritems, productspecification,
process control andcorrectness andcompleteness of
encoding.
4.4.3 Updating
This covers, amongother items, theresponsibility of
thedatabaseproducer toprovideupdates.
4.4.4 Testing
This covers the recommended methods of testing.
Testingproceduresshall ensuretheaccuracyandcom-
pleteness of the entire data production process. The
manufacturer mayberequiredbynational authorities
or similar to haveits testing procedures certified by
an appropriate testing body. The standard does not
prescribe a specific data format for privately man-
ufactured data. Data producers are responsible for
providing updates in their own format. A Perfor-
manceStandardforECS, includingthedisplayof data,
was developed by the Radio Technical Commission
for Maritime Services (RCTM). It should be noted,
however, that someflagstates havealso individually
developedPerformanceStandardsfor ECS.
4.5 Filling the gap?
In areas with no ENC coverage navigators have the
choiceeither of usingofficial raster dataor privately
manufactured vector data. No doubt thefirst option
offers, nexttotheuseof official charts, theadvantage
Figure 6. Relationship between electronic chart systems
ECS/ECDISanddatabases(Weintrit, 2009).
that thenumber of paper charts carriedmay becon-
siderably reduced, whereas thesecondrequires afull
setbutretainsfull ECDISfunctionality(includingthe
alarmfunctions)thatcanonlybeobtainedusingvector
charts.
4.6 Instead of ENC?
This option is at present preferred by several
ship-owners, particularly those operating their ships
globally. Althoughmost ECDIS do support privately
manufactured data produced by themajor manufac-
turers, many users prefer (for cost reasons) ECS,
particularlyasmanyof thesesystemsnowadays(also)
meet the software requirements laid down in IEC
61174(ECDISOperational andPerformanceRequire-
ments) andarelessexpensive. Inthiscase, of course,
paperchartsareusedforprimarynavigation.Thetime
consuming(IMO) mandatory passageplanninghow-
evercanbedoneusingtheECSand, whereapplicable,
copiedtothepaper chart.
4.7 ENC and the private data manufacturer
Asmentionedbefore, thereisnodoubt that thenum-
ber of ENCs will increase with time. Although still
expensivecomparedwithprivatelymanufacturedvec-
tordata, priceshavecomedownconsiderablyrecently.
This may move the market to purchase more ENC.
Mosthelpful will bethesupportof privatemanufactur-
ersinactingasvalue-addedre-sellersandinproviding
ENC inSENC format. Nodoubt they will bekeento
fill thegap withtheir owndataif necessary.
4.8 Replacing paper charts
National authoritiescouldconsideracceptingprivately
manufactureddatameetingISO19379aspaper chart
equivalent for certain(non-SOLAS) vessels. TheUS
and Italian governments have already amended the
law to allow fishing vessels and leisure craft fitted
withECS andelectronic navigational datathat meets
theISOstandard, tosail without paper chartsintheir
waters.
397
Figure 7. Relationship pyramid between electronic chart
systemsECS/ECDISanddatabases(Weintrit, 2001, 2009).
4.9 IMO MSC approved mandatory ECDIS
In J uly 2008, the IMO Safety of Navigation
Sub-Committeeagreed to implement themandatory
carriageof ECDIS;thiswasapprovedbytheIMOMar-
itime Safety Committee at its meeting in December
2008.
A comprehensivephase-inschedulewill beginon
1J uly 2012withmandatory carriageof ECDIS for
newbuildings of passenger ships of 500gt andabove
andfor tankersof 3000gt andabove.
Mandatory carriage for existing ships will be
phasedinfrom1J uly2014to1J uly2018.
5 INLANDECDIS
ECDIS is the basic systemfor generation and pre-
sentationof thedigital maritimecharts. Chartsbased
onthemaritimestandardsareofficially equal toana-
logic charts in equipment duties. Within European
research and development projects, this world-wide
standardwasadoptedtotheneedsof inlandnavigation.
The Inland ECDIS standard has been continuously
revisedandfinallypassedbytheCentral Commission
for theNavigationontheRhine(CCNR) insummer
2001. InlandECDISisalsorecommendedasthestan-
dard for digital navigational charts by the Danube
Commission, the United Nations European Com-
mission for Economy (UN-ECE), theEuropean RIS
platformandINA/PIANC. InlandECDISiscurrently
theonlystandardacceptedbyall relevant inlandnav-
igation platforms. Co-operation between the North-
AmericanInlandENC community, mainly theUS
ArmyCorpsof Engineers, Russiaandthe(European)
InlandECDISExpertGroupleadtoimprovedandhar-
monizedencodingrulesfor uniformlyencodedInland
ENCs, which are written down in the Inland ENC
EncodingGuide.
5.1 European inland waterways
Europeiscriss-crossedbyinlandwaterways, someof
whichhavebeeninusefor thousandsof yearstocarry
Figure8. MainEuropeanwaterways.
goods and people. The most recent addition to this
network, theRhine-Main-DanubeCanal, wasfinished
in1992andopeneda3,500kmlongtrans-European
waterwayfromRotterdamtoSulinaontheBlackSea.
Manypeopledonotrealisethatcargobroughtbyship
toLeHavrecanthenbedeliveredbyaninlandvessel to
Basel or toaportinPolandor inMoldova. Theinland
waterways traffic, almost invisibleto thepopulation,
is themost efficient way to carry heavy goods over
longdistances.
5.2 Electronic chart display and information
system for inland navigation
Reflections and experiments havebeen madein dif-
ferent countries with a view to facilitating inland
navigation through the use of telematics. This aim
was in particular pursued within the scope of the
EUresearchanddevelopmentprojectINDRIS(Inland
Navigation Demonstrator for River Information Ser-
vices).A pilotprojectontheriver Rhinewaslaunched
in Germany in 1998 named ARGO. In ARGO and
INDRISsystems, theradarimageonthedisplayinthe
wheelhouseisoverlaidby anelectronic chart. Thisis
anapproachaimedatimprovingsafetyandefficiency
ininlandnavigation.
Inthecourseof discussions, it turnedout that only
aninternationally-agreedapproachwouldbesuccess-
ful, sinceaboat master cannot beexpectedtoemploy
different equipment in each country. This was the
reason why the internationally-introduced ECDIS
originally developedfor maritimenavigation came
into viewalso for inland navigation. TheIMO, IHO
andIECStandardsforECDISwereintroducedintheir
compatibileversionsin1996(latest versionsbetween
2006 and 2008). The idea was to adopt ECDIS for
inland navigation and to supplement some distinct
inlandfeaturesbut not tochangetheoriginal ECDIS
standard. Inthisway, it will bepossibletohavecom-
patibility between theoriginal Maritime ECDIS
andInlandECDIS. Thisisimportant for theestuaries
of therivers,whereseavesselsaswell asinlandvessels
navigate.
Intheframeworkof theconcertedactiononInland
Navigation of the European Union, an International
Expert Group was requested to prepare the Inland
398
Figure9. Structureof theInlandECDISstandards.
ECDIS Standard intended especially for inland nav-
igation. TheInlandECDIS standardadopts theregu-
lationsof themaritimeECDISandaddsrequirements
to it that arespecific to inland navigation. TheCen-
tral Commission for the Navigation on the Rhine
(CCNR) passed the Inland ECDIS standard in May
2001. Thestandardconsistsof thefollowingSections
(verysimilar toISO19379):
Section1: PerformanceStandard;
Section2: DataStandard;
Section3: PresentationStandard;
Section4: Operational andPerformanceRequire-
ments, Methods of Testing and Required Test
Results;
Section5: Glossaryof Terms.
The Inland ECDIS Standard establishes unified
rules for the use of electronic charts by vessels
navigatingonEuropeaninlandwaterways.
5.3 Primary functions and performance of I-ECDIS
InlandECDISshall contributetosafetyandefficiency
of inlandshippingandtherebytotheenvironmentpro-
tection. It shall reduce the navigational workload as
compared to traditional navigation and information
methods.
InlandECDIS(OperatingSystemSoftware, Appli-
cationSoftwareandHardware) shall haveahighlevel
of reliability and availability at least of the same
level asother meansof navigation, for thenavigation
modeasspecifiedinSection4of thestandard. Inland
ECDIScanbedesignedfor informationmodeonlyor
for both, information modeand navigation mode. It
shall usechart informationasspecifiedbySections2
(DataStandard) and3(PresentationStandard) of the
mentionedStandard.
TheDataStandard for Inland ECDIS is based on
theIHOTransfer Standardfor Digital Hydrographic
Data, Special Publication No. 57, edition 3.1 of
November2000withall AppendicesandAnnexes.The
DataStandarddescribes thenecessary additions and
clarifications to S-57andtheapplicationof S-57for
thepurposeof useinInlandECDISapplications.
Figure 10. Simplified symbols of Sea-River and Inland
ElectronicNavigational Chart.
Figure 11. Display Base, Standard Display, and Full
Displays for two different values of Safety Contour
SeeMyDENC.
The Presentation Standard for Inland ECDIS is
basedonthedocumentS-52, Specificationfor Chart
Content andDisplayAspects of ECDIS of theIHO,
Edition 5.0 of December 1996, with all Appendices
and Annexes. Inland ECDIS shall facilitate simple
andreliableupdatingof theInlandENC. It shall pro-
vide appropriate alarms or indications with respect
to the information displayed or malfunction of the
equipment.
5.4 I-ECDIS related definitions
For theInlandECDIS performancestandardthefol-
lowingdefinitionsshall apply:
Inland ECDIS means an electronic chart display
andinformationsystemfor inlandnavigation, dis-
playing selected information froman Inland Sys-
temElectronic Navigational Chart (InlandSENC)
and, optionally, informationfromother navigation
sensors.
Inland Electronic Navigational Chart (IENC)
means the database, standardized as to content,
structure and format, issued for use with Inland
ECDIS. The Inland ENC complies with the IHO
standards S-57 and S-52, enhanced by the addi-
tions andclarifications of this standardfor Inland
399
Figure12. InlandENCwithradarpictureoverlay; North-up
orientationof ECDIS.
ECDIS.TheInlandENCcontainsall essential chart
information and may also contain supplementary
informationthat may beconsideredas helpful for
navigation.
Inland System Electronic Navigational Chart
(Inland SENC) means a database, resulting from
the transformation of the Inland ENC by Inland
ECDIS, for appropriateuse, updates totheInland
ENC by appropriatemeans and other data added
by theboat master. It is this databasethat is actu-
ally accessedby theInlandECDIS for thedisplay
generation and other navigational functions. The
Inland SENC may also contain information from
other sources.
Minimum Information Density (display base)
meanstheminimumamountof SENCinformation
that is presentedandwhichcannot bereducedby
theoperator, consisting of theinformation that is
required at all times in all geographic areas and
under all circumstances.
Standard Information Density (standard display)
means the default amount of SENC information
thatshall bevisiblewhenthechartisfirstdisplayed
onInlandECDIS.
All Information Density (all display) means the
maximum amount of SENC information. Here,
in addition to the standard display, also all other
objectsaredisplayed, individuallyondemand.
User-defined settings means the possibility to
use and store a profile of display- and operation
controls-settings.
Integrated Display means a head-up, relative-
motion picture consisting of the SENC overlaid
with the radar-image with matching scale, offset
andorientation.
Navigation Mode means the use of the Inland
ECDIS for conningthevessel withoverlaidradar
image.
Information Mode means the use of the Inland
ECDIS for information purposes only without
overlaidradar image.
Figure13. IC-ENCcatalogue Europe22thJ anuary2009.
5.5 Benefits of I-ECDIS
TheinlandnavigationsoftwarebasedontheSevenCs
Kernel is inuseall over theworld. InEuropealone,
some 2,800 inland vessels use it already (Gevers,
2006). Theacceptanceof theelectronic chartsby the
inlandskippersisnotsurprising, evenallowingforthe
fact that electronic charts arenot acarriagerequire-
ment for them. Electronic charts improve the safety
of navigation and the efficiency of operation of the
inlandvesselsleadingtoreducedcostsandimproved
earnings. For instance, theNorthAmerican skippers
who usethecoursepredictor built into theSevenCs
software to prevent oversteering of their enormous
bargetrains, reportfuel savingsof upto10%. Inaddi-
tion, Inland ECDIS is not labouring under thesame
regulatoryrestrictionasitsmaritimesister. Thefunc-
tionalities that arealready providedto inlandbut not
to sea navigation include dynamic depth and over-
headclearanceadjustmentorchangesof channel width
dependingonthewater level; display of theexternal
XML fileswithadditional informationwill followin
thenear future.
On US waterways much morepopular is CARIS
Hydrographic Production Database(HPD). Thepro-
ductioneffort focusedonimportingIENC dataintoa
HPDsourcedatabase, whichwaseasilyaccomplished
due to existing S-57 import tools. Once loaded, the
sourcedatawasmodifiedtocreateaseamlesscoverage
readyfor further production.
5.6 Seamless connection
Inland port authorities have recognised the fact that
electronicchartsimprovetheir efficiencyof operation
aswell andaresupportingtheproductionof theIENCs.
Theimportanceof inlandportslikeDuisburgcanonly
increase,especiallyasmanymajorseaportsareexperi-
encingagrowingneedtocopewithoverflowingports,
Rotterdamwhichisrunningoutof spaceforitsexpan-
sion being oneof them. Seagoing vessels havebeen
sailing up many large rivers for a long time, on all
continents.ThebestexampleistheMississippi, where
BatonRougesome230milesupstream, isamajorsea-
port aswell asaninlandport. Theneedsof theinland
400
navigationarenot thesameasthoseof thesea-going
ships, but therearemany areas whereboth types of
vesselshavetoply. InlandECDISandIENCscreatea
seamlessconnectionbetweenthesetwoworlds.
5.7 Facilitating the use of ENC on us inland
waterways
In2001, theUSArmy Corps of Engineers (USACE)
initiated an electronic chart programto develop and
support newdigital chart productsfor electronicnav-
igationontheinlandwaterways. Theprogrambegan
by transformingexistingdigital river dataanddigital
chart datainto anew product: theInland Electronic
Navigational Chart (IENC).
Updating navigational charts, whether paper or
electronic,isanessential safetyelementforanyvessel.
Numerouschangesregularlyoccurintheriversystem,
includingchannel dredging, construction, navigation
aidmaintenanceandnatural variationsintheriverbot-
tom. Once significant changes occur, a new edition
chart is often published. Currently, the IENC pro-
gramis producing newedition electronic charts and
updatingthemat faster pacethanformer paper chart
program, wherecharteditionscanbe5-to-10yearsold
andupdatesmust beappliedmanually.
A number of potential opportunities and benefits
arepossiblewithCARIS HPDusedbyUSACE. First,
retaining a close link between the source data and
the paper chart products can significantly facilitate
datamaintenanceandtimelyor simultaneousproduct
releases. It can also facilitatecloser synchronization
between IENC and paper chart formats, resulting in
improved consistency and version control across the
entireproduct line.
HPD-driven approach provides improved produc-
tion workflow, many moreadvanced tools for paper
chart production and better support for the carto-
graphic framework. It also allows for a far greater
level of automation,ultimatelyreducingmanual effort.
Consequently, it ismoresuitablefor large, longterm
projects.
5.8 Usace inland ENC encoding guide
IENCs follow the S-57, Version 3.1 data exchange
standard, which is recognized by software vendors
and government hydrographic offices for electronic
chart applications. Since S-57 is intended for deep-
draft,oceanshipping,theUSArmyCorpsof Engineers
(USACE) IENC EncodingCodeprovidesabest fit
in some cases between river information and S-57
structure. Theintent of theEncodingGuideistopro-
videdetailedguidanceonwhat isrequiredtoproduce
a consistent, uniform Inland ENC. This document
providesaframeworkfor IENC specificationsby:
Using existing IHO S-57 Edition 3.1 standard.
Specifically, the:
MaritimeENCProductSpecification(App.B1),
IHOObject Catalogue(AppendixA),
Object Catalogue(AppendixB.1, AnnexA),
Table 3. Inland ENC Encoding Guide. Example of
geographicobject.
Defining the mandatory requirements for safety-
of-navigationoninlandwaterways.
Recommendingobject classes, attributes, andval-
uesfor encodingIENC data.
For all object classes, attributes, andattributeval-
ues that are used in conjunction with an IENC, the
EncodingGuide:
providesabasisfor itscreation,
describesitsrelationshiptothereal-worldentity,
providescriteriafor itsproper use,
givesspecificencodingexamples.
6 DIFFERENT TYPESOF DIGITAL CHARTS
6.1 Electronic Navigational Chart (ENC)
according to IHO format S-57
Anelectronic navigational chart (ENC) is anofficial
databasecreatedbyanational hydrographicofficefor
usewithanElectronicChartDisplayandInformation
System(ECDIS). An electronic chart must conform
tostandards statedintheInternational Hydrographic
Organization (IHO) Special Publication S-57 before
it can be certified as an ENC. Only ENCs can be
usedwithinECDIStomeettheInternational Maritime
Organisation(IMO)performancestandardforECDIS.
It is quite obvious that an official ECDIS ser-
vicecannot beprovidedonanational level only, but
requires co-operation of hydrographic services. The
IHO decided to establish the Worldwide Electronic
Navigational Chart DataBase(WEND).
ENCs are available through Regional Electronic
Navigational Chart Coordinating Centre (RENCs)
and national electronic chart centers: e.g. Primar-
Stavanger (perfect seamless ENC cells), IC-ENC
(British style ENCs). Distributors like the United
KingdomHydrographic Office then distribute these
tochart agents.
401
Figure14. Norwegian(Primar) styleseamlessENC cells.
Figure15& 16. American/BritishstyleENC cells.
IHOSpecial PublicationS-63developedbytheIHO
Data Protection Security Working Group is used to
commercially encrypt and digitally sign ENC data.
ChartdataiscapturedbasedonstandardsstatedinIHO
Special PublicationS-57, andis displayedaccording
toadisplay format statedinIHOSpecial Publication
S-52toensureconsistencyof datarenderingbetween
different systems.
6.2 Vector chart produced by private
manufacturer
Theexistenceof privatelymanufactureddataisafact
of life. It is there, its volumeis still increasingandit
has proved to bemeeting ademand of themaritime
market. It iscost-effective, economicallyviableandit
Figure17. Transaselectronicchartinvector formatTX-97.
Figure18. Additional MilitaryLayers(AML).
will not disappear. Themajor dataprivatemanufac-
turers (e.g. Transas, C-Map by J eppesen, Navionics)
offer a high quality and affordable means of world-
widenavigation, including an easy to access update
service, sold through reliableglobal networks offer-
ingaround-the-clock service. Thereis no doubt that
intheyearstocomethevolumeof ENCwill increase.
However, theproductionrateis still too slowto pro-
videthe(minimum) necessary coverage, particularly
of the major shipping routes, in an acceptable time.
Moreover, it isveryunlikelythat ENC will ever have
a100%global coverage.
6.3 Electronic Navigational Chart (ENC) with
additional military layers (AML) for
WECDIS use
The concept of additional military layers (AML)
was introduced in 1995 with the intent to define a
standardizedformat for non-navigational data. Since
1995, various North Atlantic Treaty Organization
(NATO) standardization agreement documents con-
cerningAML dataandwarshipelectronicchartdisplay
and information systems (WECDIS) have been cre-
ated. NATO has since endorsed six AML product
specifications, and completed sea trials using AML
datasets. However, asmorenationsmovetowardAML
data production, little is known about how the data
will performas overlays withinaWECDIS adhering
toNATOWECDISstandards.
402
Figure19. Raster Navigational Chart (RNC).
Using OSI Navigation Systems electronic chart
preciseintegratednavigationsystem-military(ECPINS-
M), thesophisticatedelectronicchartsystemdesigned
tomeet thespecificnavigational demandsof themil-
itary market, the strengths and weaknesses of how
AML data interacts with other data types, primar-
ily electronic nautical chart (ENC) data, within the
WECDlS wereidentified. As stated in theWECDIS
standard, aWECDISmeansanECDISasdefinedby
theIMO, withadditional functionality for navigation
andconduct of warfareonboardwarships.Wemight
alsoconsider referringtotheconceptof MarineInfor-
mationOverlays (MIO) whichhavebeenusedinthe
MarineElectronicHighwayproject, andwhoseuseare
gatheringsupport withinthee-Navigationdiscussion.
6.4 Raster navigational chart (RNC)
RNCs areraster charts that conformto International
Hydrographic Organization(IHO) specificationsand
areproducedbydigitallyscanningapaperchartimage.
Theimagemay beeither thefinished chart itself or
thestablecolour basesusedinthemulti-colour print-
ing process. The resulting digital file may then be
displayed in an electronic navigation systemwhere
thevesselsposition, generallyderivedfromelectronic
positionfixingsystems, canbeshown. Sincethedis-
played data are merely a digital photocopy of the
original paperchart, theimagehasnointelligenceand,
other thanvisually, cannot beinterrogated.
6.5 Digital Nautical Chart (DNC)
The largest of the non-S-57 format databases is
the Digital Nautical Chart (DNC). The National
ImageryandMappingAgency(NIMA, nowNational
Geospatial-IntelligenceAgency NGA) producedthe
contentandformatfortheDNCaccordingtoamilitary
specification.
TheDNCisavector-baseddigital productthatpor-
trayssignificantmaritimefeaturesinaformatsuitable
for computerised marine navigation. The DNC is a
general purposeglobal databasedesignedto support
Figure20. Coverageof seamlessInlandENCinNEEurope.
marinenavigation and Geographic Information Sys-
tem(GIS) applications. DNC dataisonlyavailableto
theU.S. military andselectedallies. It isdesignedto
conformto theIMO PerformanceStandardandIHO
specificationsfor ECDIS.
6.6 Offshore electronic navigational chart
In offshore industry, such as Offshore Oil & Gas,
Telecommunications, Fishing, Aggregate Extraction,
Diving, sometimes are used three dimensional dig-
ital nautical charts 3DNCs. In Dynamic Positioning
SystemareusedENCs. Fewscreensallowofficersto
switchscreensbetweenradar andchartdisplays, cam-
erasfromtheclosedcircuitTVsystem,andthevessels
Pilot/HarbourApproach display.
6.7 Inland electronic navigational chart (I-ENC)
The goal of the NorthAmerican European Inland
ENC HarmonizationGroup(IEHG), formedin2003,
istoagreeuponspecificationsforInlandENCsthatare
suitablefor all knowninlandENC datarequirements
for safeandefficient navigationfor European, North
and SouthAmerican and Russian inland waterways.
However,itisintendedthatthisstandardmeetthebasic
needs for Sea-River and Inland ENC applications,
worldwide. As such, the Sea-River and Inland ENC
standardisflexibleenoughtoaccommodateadditional
inlandwaterway requirementsinother regionsof the
world.
7 CONCLUSIONS
Electronic Navigational Charts have improved the
safety of navigation and the efficiency of opera-
tions for US andEuropes InlandMariners whohave
welcomeddigital technologywholeheartedly.
Inlandwatertransportisgainingtheattentionof the
policy-makers. SoletsgoforwardwithI-ECDISand
InlandENC (River ENC) andSea-River ENC.
403
Figure 21. Electronic navigational charts general
classification.
Themajoradvantagesof MarineandInlandECDIS
electronicchartsare:
provision of information for all objects in text,
graphical or videoformat,
detailed and concise charts presentation in all
resolutionsandcut-out scales,
simpleandquick updateof data(digital noticesto
skippers),
presentation in various detailedness (e.g. depth)
adaptedtotheneedsof theskippers,
provisionof further informationbeyondshoreand
border zones,
adoptiontotherequirementsof skippers, e.g. cus-
tomizingthechartdisplaybrightnesstothelighting
conditionsinthewheelhouse, dynamicobjectslike
lockingstatus,
possibility of linkingwiththeradar display, route
planningandroutemonitoringapplications, etc.
One issue that can strike is that it seems that
ECS has been adopted far moresuccessfully inland,
without mandatory requirements, but becauseof the
added valueto shipping operations. This is certainly
incontrast towhat wehaveseenonSOLASfleet.
REFERENCES
Arts G. 2003. A Chart Distributor Perspective. The failure
of ECDIS versus the apparent success of ECS. Hydro
International, Vol. 7, No. 2, March.
GeversK.2006.InlandECDISTheUnsungECDISSuccess
Story.AdmiraltyWorldSeries. ECDISToday, IssueThree.
HechtH., BerkingB., BttgenbachG., J onasM. andAlexan-
der L. 2006. The Electronic Chart. Functions, Potential
and Limitations of a New Marine Navigation System,
GITC bv, Lemmer, TheNetherlands.
MalieC. 2003. ENC or Privately Manufactured Data. One
orTheOther or Both?HydroInternational, Vol. 7, No. 2,
March.
Sandler M., KabatekU., GillesE.D. 1992. Applicationof An
ElectronicChart inAnIntegratedNavigationSystemfor
InlandShips. EURNAV92. Digital MappingandNaviga-
tion.TheInternational Conferenceof theRoyal Instituteof
Navigation(RIN) andtheGermanInstituteof Navigation
(DGON), London.
Scheid R.A., Kuwalek E. 2005. Trends for USACE Inland
Electronic Navigational Charts and the Use of CARIS
Hydrographic Production Database. 6th International
Symposiumon Navigation, organized by Gdynia Mar-
itimeUniversity, Faculty of NavigationandtheNautical
Institute, Gdynia, J une/J uly.
Weintrit A. 2001. The Electronic Chart Systems andTheir
Classification. Annual of NavigationNo. 3/2001. Polish
Academyof Sciences, PolishNavigationForum, Gdynia.
Weintrit A., Handbook on Operational Use of ECDIS, A
BalkemaBook, CRSPressTaylor &FrancisGroup, Boca
Raton, London, NewYork, Leiden, 2009.
404
9.6
DatatransmissionininlandAISsystem
P. Woejsza
ABSTRACT: Thearticlepresentsthetechnical aspectsof applyingthemarineAutomaticIdentificationSystem
(AIS) for the purposes of vessel traffic control in inland shipping. Functional properties and requirements
for inlandAIS havebeen discussed as well as protocol alterations in relation to marineAIS, with particular
considerationof messagesenhancingsafetyof navigationandtheflowcapacityof inlandwaterways.
1 INTRODUCTION
The International Maritime Organisation (IMO) has
introducedanAutomaticIdentificationSystem(AIS)
for thepurposes of marinenavigation. All sea-going
vesselsmakinginternational voyagesandcoveredby
Chapter V of SOLAS Convention (Safety of Lifeat
Sea) havehadtobeequippedwithAIS sincetheend
of 2004.
AIS technology is also applied in the automatic
recognition and control of vessel traffic in inland
waterways. Inparticular, resultsreachedbyAISinthe
scopeof recognitioninreal timeandtheaccessibility
of worldwidestandardsandguidelinesarehelpful for
safetyprotectioninwaterways.
Theconformity of inlandAIS with IMO SOLAS
AIS permits the direct exchange of information
betweensea-goingandinlandvesselsmovinginmixed
trafficzones.
2 PROPERTIES
AISsystemappliedforautomaticrecognitionandcon-
trol of inlandvessel traffichasthefollowingproperties
(Article5 of Directive2005/44/EC of theEuropean
Parliament andof theCouncil onHarmonizedRiver
Information Services (RIS) on Inland Waterways in
theCommunity):
it isanIMO-introducedmarinenavigationsystem
thatmustbeatthedisposal of all vesselssubjectto
SOLASconvention,
it permits information transmission directly from
shiptoship, shiptoshoreor shoretoship,
it is a safety systemfulfilling the high require-
ments in the range of availability, continuity and
reliability,
it permits information transmission in real time,
directlybetweenvessels,
itisanautonomoussystem, withoutamainstation,
andassuchdoesnot needacentral for controlling
functioning,
it was prepared based on international standards
andproceduresconformedtoChapterV of SOLAS
convention,
it obtained a certificate as a system enhancing
safetyof navigation,
it isinteroperational.
A universal inland AIS deck station, defined by
IMO, ITU (International Telecommunication Union)
andIEC(International Electrotechnical Commission)
and recommended for inland shipping makes useof
SOTDMAaccessmethod(Self-OrganizingTimeDivi-
sionMultipleAccess) inthemarineVHF range(Very
HighFrequency). AIS receives oninternational VHF
frequencies:AIS1(161.975MHz)andAIS2(162.025
MHz), andcanalsobeswitchedtootherVHF ranges.
AninlandAIS stationis madeupof thefollowing
elements:
sending-receiving VHF terminal (1 transmitter/2
receivers),
GNSS (Global Navigation Satellite System)
receiver,
processor.
Inlandvessel trafficcontrol systemsmust conform
to marineAIS created by IMO. This means that the
messagestransmittedincludethefollowingdata: static
information, dynamic information, voyage-related
informationandinformationcharacteristic for inland
shipping like: number of blue cones/lights accord-
ingtoADN/ADNR(EuropeanAgreementconcerning
the International Carriage of Dangerous Goods by
Inland Waterways) or the Expected Time of Arrival
at lock/bridge/terminal/border (ETA).
3 FUNCTIONAL REQUIREMENTS
InlandAISisusedfor transmittinginformationbound
with vessel traffic control and safety of navigation;
therefore, the messages transmitted should contain
thefollowingdata(CommissionRegulation(EC) No
405
415/2007of 13March2007concerningtheTechnical
SpecificationsforVessel TrafficControl Systems):
3.1 Static information
Staticinformationgivenindependentlybyaparticular
vessel or furnishedat request:
User identifier (MMSI MaritimeMobileService
Identifier)
Vesselsname
Call sign
IMOnumber * (unobtainablefor inlandvessels)
Kindof shipandcargo* (alteredfor inlandAIS)
LOA (Lengthoverall) (withdecimetreaccuracy) *
(alteredfor inlandAIS)
Breadthoverall (withdecimetreaccuracy)* (altered
for inlandAIS)
Kind of vessel or combination (ERI Electronic
ReportingInternational) (for inlandAIS)
Possiblecargo(for inlandAIS)
Positions marked with asterisk * are different
for inland and marine vessels and have been listed
in details in the chapter alterations in inland AIS
protocol.
3.2 Dynamic information
Dynamic information on the ship has, in so far as
possible, thesameparametersandthesamestructure
in thecaseof inland and sea-going vessels. Unused
parametersshouldbemarkedasinaccessible:
Location(WGS84)
SMG(speedmadegood)*(qualitativeinformation)*
CMG(coursemadegood)(qualitativeinformation)*
Truecourse(qualitativeinformation)*
Speedof coursealteration
Accuracyof location(GNSS/DGNSS)
Time of device for electronic determination of
location
Navigational status
Set of bluemarks(for inlandAIS)*
Quality of information on speed (for inland AIS
/fromdecksensor or GNSS)
Quality of information on course(for inlandAIS
/fromdecksensor or GNSS)
Quality of information on truecourse(for inland
AIS /from certified sensor (e.g. gyro) or non-
certifiedsensor)
3.3 Information on the voyage
Informationonthevoyageis givenindependently by
aparticular vessel or furnishedat request:
Port of destination(ERI locationcode)
Dangerouscargocategory
ExpectedTimeof Arrival
Maximumcurrent staticdraft * (alteredfor inland
AIS)
Classificationof dangerouscargo(for inlandAIS)
3.4 Information on traffic management
Information on traffic management concerns exclu-
sivelyinlandshippingandistransmittedasneedarises
or at request, toor frominlandvessels:
Identifierof lock/bridge/terminal (UN/LOCODE
UnitedNationsLocationCode) (for inlandAIS)
ExpectedTime of Arrival at lock/bridge/terminal
(for inlandAIS)
Number of tugs(for inlandAIS)
Vesselsair draft (for inlandAIS)
3.5 Information on the number of persons aboard
It isrecommendedthat informationonthenumber of
persons aboard should be passed on demand in the
caseof theevent happeningintheformof addressed
messagesfromshiptoshore:
Total number of persons
Number of crewmembers(for inlandAIS)
Number of passengers(for inlandAIS)
Number of deckpersonnel (for inlandAIS)
3.6 Information on signal status
Informationonsignal statusistransmittedintheform
of shoretoshipmessage:
Signal location(WGS84) (for inlandAIS)
Signal forma(for inlandAIS)
Light signal status(for inlandAIS)
3.7 EMMA (European Multiservice Meteorological
Awareness) warnings
EMMA warnings, information on water level and
safety messages aretransmittedintheformof shore
to ship messages, in the formof addressed or sent
messages:
Location (WGS 84) Local weather warnings (for
inlandAIS)
Local informationonwater levels(for inlandAIS)
4 ALTERATIONININLANDAISPROTOCOL
AsplatformforinlandAIS, inlandversionsof portable
class A stations are recommended or class B SO
stationswiththeapplicationof SOTDMA techniques.
ClassBCSstationsusingCSTDMA (Carrier Sense
Time Division Multiple Access) techniques, on the
other hand, cannot be used, as they do not secure
the same effects as class A or SO B equipment.
CS devices do not ensure successful data trans-
mission by radio, nor do they make possible the
transmission of messages on thepresented technical
specifications required for inland AIS. As long as
classBSOdevicesareinaccessible, classA versions
areapplied adapted to theneeds of inland shipping,
in accordance with IMO SOLAS regulation (IMO
406
Table 1. FI for inland AIS (Commission Regulation (EC) No 415/2007 of 13 March 2007 concerning the Technical
SpecificationsforVessel TrafficControl Systems).
Message Message
FI Area Messagename Sender sent addressed Description
10 Gen Staticdataon Ship X See: Message
vessel andvoyage FI10: Staticdataonvessel andvoyage
21 VTS VTSExpected Ship X See: Message
Timeof Arrival at lock/ FI21: Expected
bridge/terminal Timeof Arrival at lock/bridge/terminal
22 VTS RTA Shore X See: Message
RequestedTimeof Arrival FI22: RTA RequestedTimeof Arrival
at lock/bridge/terminal at lock/bridge/terminal
23 VTS EMMA weather warning Shore X See: Message
FI23:EMMA weather warning
24 VTS Water levels Shore X See: Message24: Water levels
40 A-to-N Signal status Shore X See: Message40: Signal status
55 SAR Signal status Ship X X (best) See: Message
FI55: Number of personsondeck
MSC.74(69) Annex 3Recommendations onPerfor-
manceStandardsforaUniversal ShipborneAutomatic
IdentificationSystem(AIS)IMO(International Mar-
itimeOrganisation) 1998).
FunctionIdentifiers(FI)forinlandAISareassigned
and applied in accordance with recommendations
ITU-RM.1371-1Table37B(RecommendationITU-R
M.1371-1 Technical Characteristics for aUniver-
sal ShipborneAutomaticIdentificationSystemUsing
TimeDivisionMultipleAccessintheVHF Maritime
MobileBand. ITU(International Telecommunication
Union) 2001).
EachFI withintheframeworkof inlandAISistobe
assignedtooneof thefollowinggroupsof application
areas:
for general use(Gen),
vessel trafficcontrol system(VTS Vessel Traffic
System),
navigationsupport (A-to-N AidtoNavigation),
searchandrescue(SAR SearchAndRescue).
4.1 Message FI 10
Staticdataonvessel andvoyagearepresentedintable
2(onlyinlandvesselsmakeuseof thismessage).
4.2 Message FI 21: Expected Time of Arrival at
lock/bridge/terminal (ETA).
Within15minutesfromsendingthemessage, message
no. 22shouldarrive, confirmingreception. If thereis
nosuchmessage, messageno. 21shouldberepeated.
4.3 Message FI 22: Requested Time of Arrival at
lock/bridge/terminal (RTA).
Messages about RTA for a given ship are transmit-
tedexclusivelybybasestationsinanswer tomessage
no. 21.
Table 2. Message FI 10 (Commission Regulation (EC)
No 415/2007 of 13 March 2007 concerning theTechnical
SpecificationsforVessel TrafficControl Systems).
Parameter Description
UniqueEuropean 8signsin6-bitASCII code
vessel identification
number
Kindof vessel or ERI classificationnumber: 1Type
combination of shipandconvoy, acc. to
ANNEX E:
Typesof shipsacc. toERI
Dangerouscargo Number of bluecones/lights03;
4=flagB,
5=default value=unknown
Possiblecargo 1=loaded, 2=unloaded,
0=inaccessible/default value,
3not applied
Qualityof speeddata 1=high,
0=low/GNSS=default value
Qualityof coursedata 1=high,
0=low/GNSS=default value
Qualityof truecourse 1=high,
data 0=low=default value
4.4 Message FI 55
Informationof numberof personsaboardarepresented
intable5.
4.5 Message FI 23: EMMA weather warning
EMMAweatherwarningissenttovessel usinggraphic
symbols onECDIS screen(Electronic Chart Display
andInformationSystem).Thismessageservesthepur-
poseof sendingEMMAdatabymeansofAISchannel.
Thismessageisdirectedtoall vesselsinagivenzone
andistransmittedexclusivelybybasestations.
407
SpecificationsforVessel TrafficControl Systems)
UNcountrycode 2signs
UNlocationcode 3signs
Fairwaysectionnumber 5signs
Terminal code 5signs
Fairwayhectometre 5signs
ExpectedTimeof Arrival ExpectedTimeof Arrival:
at lock/ bridge/terminal MMDDGGMM UTC
Number of tugs 06, 7=unknown=default
value
Vesselsair draft 04000withaccuracyto
1/100m
UNlocationcode 3signs
Fairwaysectionnumber 5signs
Terminal code 5signs
RequestedTimeof Arrival RequestedTimeof Arrival:
at lock/ bridge/terminal MMDDGGMM UTC
Statusof 0=active
lock/bridge/terminal 1=partlyrestrictedservice
(difficult technical conditions,
onlyonechamber availableetc.)
2=inactive, 3=unavailable
Number of crew 0254crewmembers,
membersaboard 255=unknown=
default value
Number of passengers 08190passengers,
aboard 8191=unknown=
default value
Number of deck 0254deckpersonnel,
personnel aboard 255=unknown=
default value
4.6 Message FI 24: Water levels
Thismessageservesthepurposeof informingmasters
aboutthecurrentwater level inthezonetheyarein. It
isshort-termadditional informationaboutwaterlevels
givenbymeansof messagesfor masters. Thecompe-
tent authority establishes thefrequency of updating.
Datacomingfrommorethan4measuringinstruments
can be transmitted by means of multiple messages,
whicharedirectedto all vessels inagivenzoneand
are sent exclusively by base stations in regular time
intervals.
4.7 Message FI 40: Signal status
This message, directedtoall vessels inagivenzone,
is sent exclusively by base stations. Information on
light signalling is displayed as dynamic symbols on
an external ECDIS display. This message is sent in
regular timeintervals.
5 RECAPITULATION
The main task of aVTS systemis managing vessel
trafficinadesignatedarea, includingsupport of nav-
igation, traffic organisation, optimisingthewaterway
flowcapacity, planningthefunctioningandservicing
of bridges or locks. AIS systemintheinlandversion
will ensureeffectiveinformationexchangebetweenall
participants of inland transport, thereby accelerating
thetransport processandincreasingitssafety.
REFERENCES
Article 5 of Directive 2005/44/EC of the European Parlia-
mentandof theCouncil onHarmonizedRiverInformation
Services(RIS) onInlandWaterwaysintheCommunity.
CommissionRegulation(EC)No415/2007of 13March2007
concerningtheTechnical SpecificationsforVessel Traffic
Control Systems.
IMO MSC.74(69) Annex 3 Recommendations on Perfor-
mance Standards for a Universal ShipborneAutomatic
Identification System (AIS) IMO (International Mar-
itimeOrganisation) 1998.
Recommendation ITU-R M.1371-1 Technical Charac-
teristics for a Universal Shipborne Automatic Identifi-
cation SystemUsingTime Division MultipleAccess in
the VHF Maritime Mobile Band. ITU (International
TelecommunicationUnion) 2001.
408
Chapter 10. Route planning and weather navigation
10.1
Multi-objectiveoptimizationof motor vessel route
S. Marie& E. Courteille
Department of Mechanical Engineering and Automation, Institut National des Sciences Appliques,
Rennes, France
ABSTRACT: Thispaper presentsanoriginal methodthat allowscomputationof theoptimal routeof amotor
vessel by minimizing its fuel consumption. The proposed method is based on a new and efficient meshing
procedurethat isusedtodefineaset of possibleroutes. A consumptionpredictiontool hasbeendevelopedin
order toestimatethefuel consumptionalongagiventrajectory. Theconsumptionmodel involvestheeffectsof
themeteorological conditions, theshapeof thehull andthepower traincharacteristics. Pareto-optimizationwith
aMulti-ObjectiveGeneticAlgorithm(MOGA) is takenas aframework for thedefinitionandthesolutionof
themulti-objectiveoptimizationproblemaddressed. Thefinal goal of thisstudyistoprovideadecisionhelping
tool givingtheroutethat minimizesthefuel consumptioninalimitedor optimumtime.
1 INTRODUCTION
Shipweather routingdevelops anoptimumtrack for
oceanvoyagesbasedonforecastsof weather, seacon-
ditions, and ships characteristics. Within specified
limitsof weatherandseaconditions,thetermoptimum
is used to mean maximumsafety and crewcomfort,
minimumfuel and oil consumption, minimumtime
or distanceunderway, or any desiredcombinationof
thesefactors.
There exists many works dealing with the prob-
lemof optimal shipweather routing, inwhichmotor
or sailing vessels areconsidered. Theapproaches in
the literature may be divided into four categories:
isochrone construction, application of the calculus
of variation, dynamic programmingandevolutionary
algorithms.
J ames (1957) proposedaschemefor non-variable
weather conditions using lines of equal-time, or
isochrones to achieve minimal-time objective. This
method is very efficient for solving the problemof
determinist minimal-timeweather routing but is not
adapted for minimization of the vessels fuel con-
sumption. Numerousvariationof thistypeof method
havebeenpresented. ForexampleHagiwara&Spaans
(1987) presentedanimprovementof isochronedefini-
tionfor sail-assistedmotor vessel routing. Inaddition
totimeobjective,theauthortriedtominimizefuel con-
sumptionbutthemethodisnotveryefficientbecause
thepropeller speediskept constant onthetrack.
Haltiner, Hamilton and rnason (1962) solved
the same problem by using the calculus of varia-
tions. This method is based on parametric curves
obtained by solving the associated Euler differ-
ential equation by relaxation methods. Bleick &
Faulkner (1965) extendedthisapproachtothecaseof
deterministic variations of sea state. This definition
is mathematically elegant but impractical for ship
weather routingbecauseof convergenceproblems.
The third approach was proposed by Zappoli
(1972), who treated the minimal time problemas a
decision process solvable using dynamic program-
ming. The sailing domain is discretized using grid
refinement techniques. Allsopp & al. (2000), modi-
fiedthismethodintegratingbranchingscenariostruc-
tureto model themanner theweather will evolvein
time. Themain advantageof that kind of method is
that theproblemisdividedintoaset of linkedstages
andtheoptimal decisiondependsondecisionsmadein
thepreviousstages. But, for finegrid, thecalculation
timemay bevery high and theamount of datavery
large.
Themost recent approaches useB-splinetechnics
andevolutionaryalgorithmsinorder tominimizefuel
consumptionandmaximizesafety. Harries, Heimann
and Hinnenthal (2003) proposed such a method for
large motor vessels using Multi-Objective Genetic
Algorithms. Hinnethal and Saertra (2005) improved
this method considering the stochastic nature of
weather alongtheroute. Bttner (2007) recentlyused
this work combined with dynamic programming for
costal approachinorder to proposethebest possible
track fromharbor toharbor. Thesemethodsarechar-
acterizedbyalownumberof freevariablestodescribe
boththecourseandthespeedof theboat. Moreover, a
highnumber of routevariantscanbeconsideredfrom
whichParetooptimal solutionsmaybeidentified.
In the four different approaches, the scheme for
optimisationisalmost thesame:
Mathematical modelingof theshiptocomputethe
objectives,
3-Dinterpolation(timeandspace) of weather and
seastatedata,
411
Parametricroutedefinition,
Optimizationof therouteusinganalgorithm.
Our work is based on a new discretization of the
researchspacebasedonfewphysical parameters.This
parametric definition of thegriding makes it under-
standable and easy to tune. Moreover this kind of
meshingmaybeapplicableforall typeof vessels, jour-
neys andall weather conditions areeasily takeninto
account. The gridding of the sail area is systematic
and uniformsinceit is based on spherical geometry
andacceptsconstrainslikebathymetricdata. Ourwork
is related to the method proposed by Harries & al.
becausewekepttheirdefinitionof boththegeography
andspeedsinceit allowsthecompletelocationof the
boatinspaceandtime.Themodelingof motor vessels
isnot thepurposeof thisworkandwill just bebriefly
presented. Futureworksconcerntheidentificationof
thevessel model usingfuzzylogictechniqueinorder
to obtainanaccurateconsumptionmodel. Sincethis
identification is not achieved yet, a model fromthe
literature will be used to present this new gridding
method.
Themeshingof theexploredareaispresentedfirst.
Then, the way of constructing routes is shown and
a sensitivity of the meshing is presented. Next, the
wayof modelingamotor vessel isintroduced. Finally,
results of numerical optimizations are presented in
order to evaluate the limitations and benefits of the
proposedmeshingmethod.
2 MESHINGOF THE EXPLOREDAREA
Thenewautomaticmeshingmethodthatweproposeis
basedonspherical rhombuswheretwoof theopposite
vertexes arethedepartureandthearrival points. The
main advantages of this discretization of the sailing
areaare:
The genericity of its construction taking into
account the sea-beds geography, the time depen-
dant meteorological dataandthecharacteristicsof
thevessel.
Thesystematic griddingof theexploredareawith
fewphysical parameters.
Theautomation of its calculation leading to opti-
mizableroutes.
The possible reactualization of the rhombus to
changetheroutingpolicyduringthesailing.
2.1 Rhombus definition
In this part M denotes the departure point, M
/
the
arrival one and O is the center of Earth considered
spherical. (P
1
) istheplanecontainingthelines(OM)
and(OM
/
)carryingrespectivelyvectorsi andj. isthe
anglebetweenthesetwovectorsandk istheir bisec-
trix. w is onevector normal bothto i and j. Wealso
definethetworelatedunit vectorsk
u
andw
u
. Let be
(P
2
)theplanecontainingk, w, thetworemainvertexes
of therhombus A andB andpoint O. Thelines (OA)
Figure1. Mainplanestodefinethemeshing.
and(OB) aredirectedbyvectorsa andb. Wedefined
(a, b)=2. Thisnotationisrecalledinthefigure1.
Point I denotes theintersectionbetweenthegreat
circles M

M
/
and A
B. (P
3
) is the plane containing i
and a, wehave(i, a)=. This angleis theimageof
the orthodromic distance between M and A. Know-
ing the maximal speed of the vessel V
Max
, imposed
by the design of the hull and the power train char-
acteristics, and the desired time of sailing T
obj
, the
maximal distancethat cancrossthevessel duringthe
timewindowis:
By this meanwecanset themaximal distanceon
thegreat circlerouteMA:
wherer isandimensionlessfactor lower thantheunit
usedtogetsomemargin. Fromthisequation(1), angle
iscalculableasfollow:
withR theEarthmeanradius.Tocomputethevalueof
angle, thefollowingvectorial equationsareused:
Developingthisrelation(5), onecanwrite:
412
Figure2. Definitionof planes.
Usingtheinversespherical transformation(7) and
thedefinitionof a andb vectors(3,4), itispossibleto
computethespherical coordinatesof A andB:
Where
I
isthelongitudeof pointI and
I
denotes
its latitude. The same kind of relations can also be
writtenfor point B.
2.2 Meshings levels calculation
The previous construction is extended in order to
definetheN
l
levelsof themeshing. For that purpose,
i planes P
i
are defined, i [1, N
l
2]. These planes
containthevectorsw andk
i
(Fig. 2).Thecomponents
of vector k
i
arecalculatedaccordingto:
Bysolvingthesystem(10)thecomponentsof k
i
are
computed.Tocompletethespherical pyramid(Fig. 2),
threemoreplanscomparableto(P
3
) aredefined: (P
4
)
containsi andb, (P
5
) containsj anda, (P
6
) contains
j andb.
For eachof theabovementionplanes, their normal
N
3
, N
4
, N
5
, N
6
aredefined, N
i
thenormal to (P
i
) is
also calculated. Theintersections between (P
i
), (P
n
)
and(P
n1
) (n ={3, 5]) arethetwolinescalled(OP
A
i
)
and (OP
B
i
) oriented respectively by vectors k
a
i
and
Figure3. VectorsandnodesinplaneP
i
.
k
b
i
. The components of these vectors are calculated
accordingto:
Therelatedunitvectorsk
a
i
u
andk
b
i
u
aredefined. In
eachlevel of themeshingi.e. planeP
i
(Fig.3),nodesof
thelevel aredefined. Thedistancebetween2nodesis
constantanddefinedbytheparameter D
L
.Asaresult,
inalevel, N
i
nodesP
i,j
aredefinedwith:
Theangle
i
betweenvectorsk
a
i
andk
b
i
isdefined
by:
For eachnodeinthelevel, directingvector P
i,j
of
theline(OP
i,j
) isdefinedbythefollowingsystem:
Sothecartesiancoordinates of thejthnodeof the
ithlevel are:
Using the inverse spherical transformation (7),
thecoordinates of P
i,j
(14) areexpressed within the
spherical coordinatesystem.
413
2.3 Limitation of the possible nodes
Fromvectorial cartographies, the matrix giving the
depthof water accordingtolongitudeandlatitudeof
meshingspointsiscomparedwiththedraught of the
boat. Thenodesat whichthedepthisinsufficient are
removedfromthegrid(14).
A criterionof maximumcoursebetweentwo suc-
cessivenodes is alsodefined. This criterionmakes it
possibletoexcludethenodeswhichmovetheshiptoo
awayfromitsfinal destinationM
/
.
3 ROUTE DEFINITION
3.1 Geographical definition of routes
3.1.1 Definition of routes
Each possible route is defined using a navigable
node of each level of the meshing. The nodes
(M, P
1
, . . . P
N
l
2
, M
/
) definethecontrol pointsof the
associatedBziercurve.WechooseBziercurvesince
it begins at M andendat M
/
inadditionthecurveis
alwaysintheconvex hull of thecontrol polygon. For
recall theBzier curveisdefinedby:
Where B
(N
l
1)
i
(t) stand for the Bernstein basis
polynomials.
3.1.2 Discretization of Bzier curve
Moreover because of its parametric definition the
Bzier curve is discreditable. This discretization is
donerelatively to aparameter N
CC
correspondingto
themaximal number of coursechangesper hour. The
number of segmentsof arouteN
C
isdefinedfromthe
minimal distancei.e. theorthodromic distanceM

M
/
sailedat themaximumspeedof thevessel V
Max
:
As a result, the points P
k
defining the route are
computedaspresentedbelow:
Thediscretizationof Bzier curvesisdonebecause
oneachfacet of theroute, weconsider that boththe
weatherandseastateremainconstant. Italsoallowsto
defineloxodromiccoursesbetweenP
k
andP
k1
which
leadstoaroutedefinedbywaypointsandcourses. N
CC
must beset withgreat carebecauseit correspondsto
acompromisebetweenthenumber of coursechanges
that thecaptainhastoperformandtheapproximation
of theweather fieldalongthecourse.
3.2 Velocity along a route
In order to locatethevessel both in timeand space,
thevelocityonthecourseisset.Asaresultalongeach
facetof theroute, thetimedependantweather dataare
Table1. Parametersof weather andseastate.
V
r
Truewindspeed m.s
1
r
Truewinddirection
V
c
Current speed m.s
1
c
Current direction
H
w
Swell height m
T
w
Swell period s
w
Swell direction
known. Moreover thecrossing timeT
P
k
P
k1
is easily
calculable.
The target speeds of the vessel V
T
are included
betweentwoboundaries: V
T
Max
andV
T
Min
. V
T
Min
hasto
betunedby thecaptain. Thenumber of target speeds
isN
TS
. Eachtarget speedisvalidonseveral segments
of thediscretizedroute. Thenumber of facets N
S
on
whichV
T
isvalidisdefinedby:
3.3 Meteorological conditions along the route
Theweather andtheseastateatthecurrentpositionof
thevessel areextractedfromGRIB filesdefinedwith
a regular 1.25
grid downloaded from NOAA

ftp
1
. Thesefilesgatheredthemeteorological datafor
a180hourstimewindowwitha3hoursstep.
Thedecodingof thesefilesallowstheconstruction
of true wind, current and waves fields for the sail-
ing timewindow. Theparameters of thesefields are
presentedinTable1.
Asthemeteorological gridweather doesnot corre-
spondtotheroutespointsP
k
, aspaceinterpolationof
thedataisdone. For that purpose, weused2D linear
interpolation techniques to estimatetheencountered
conditionsduringthewholetimewindowfor eachP
k
.
Inaddition, thetimedependency of thefieldscanbe
easilytakenintoaccount byinterpolationintime.
4 MESHINGSENSITIVITY TOITS
PARAMETERS
Themain advantageof themethod compared to the
previousapproachesisthat therhombusdefinitionis
basedonphysical parameters(Tab. 2) easilyadjusted
and tuned by thecaptain. Thejourney is defined by
P
Dep
andP
Arr
.Thedesignof theboatimposesV
max
and
thefour other meshingsparametersdefineitsgeome-
try. OnFig. 4, twodifferent valuesof eachadjustable
parametersareshown.Thedotscorrespondstothenav-
igablenodes andthecross to thenonnavigableones
These parameters are left in users hand but a great
attention must be brought to their value since they
define the manner the research space is discretized
andthenthefinenessof thesolution.
Moreover thediscretization of theresearch space
is uniformbecauseof thespherical definition of the
1
ftp://polar.ncep.noaa.gov/pub/waves/latest_run/
414
Table2. Physical parametersdefiningthemeshing.
P
Dep
Departurepoint

,
P
Arr
Arrival point

,
V
max
Maximumspeedof thevessel km.h
1
T
obj
Objectivetime h
N
l
Number of levels
D
L
Distancebetweennodes km
N
CC
Coursechangesper hour h
1
Figure4. Sensitivitytomeshingsparameters.
meshing. Thispropertyisinterestingfor longvoyages
sincetherouteswill beequi-distributedonEarthssur-
face. Of coursefor shorttravels, theEarthsroundness
istoosmall tohaveaninfluenceonthemeshingdef-
initionso aplanar definitionof therhombus is more
convenient.
5 CONSUMPTIONMODELING
Atthispoint,thesetof possiblerouteshasbeendefined
andthephysical magnitudeshavebeencalculated. In
theperspectiveof optimizingtherouteof thevessel,
acost functionhastobedefinedinorder toselect the
best track.
Intheliterature, various approaches areproposed.
For exampleZappoli (1972) chosethesailingtimeas
cost function, Hinnenthal & al. (2003) choseboththe
consumptionandtheestimatetimeof arrival. But to
computethesefunctions, theship performances in a
seawaymust beaccuratelyknownJ ourne& Mejiers
(1980). Most of the works use parametric models
in order to estimatetheboats behavior. Thescheme
of calculation in the recent approaches is often the
sameone:
Estimationof theresistancesactingonthehull:
Still water resistancebasedonregressionanal-
ysisof model testsandfull-scaledata(Haltrop,
VanOomertsen, ),
Wind resistance of the emmerged part of the
vessel (Isherwood),
Added resitance due to waves (Gerristma,
Boese, . . .),
Operating point of the propeller with the ITTC
power predictionmethod,
Operatingpoint of themainenginetoestimatethe
consumption.
These parametric models are well known and
controlled but their identification requires specific
equipments such has wind tunnels or towing tanks,
realizationof instrumental models, instrumentationof
theshipfor full-scalemeasurements. Thecalculation
time may be rather important and the measurement
cost very hightoget anefficient estimator of perfor-
mances soapplications of thesemethods arelimited.
Moreover the parameters are time dependent if we
takeintoaccount thefoulingof thehull leadingtoan
increaseof resistancesfor example. Inaddition, these
models arenot generic, thecalculationmethodmust
beadaptedtoeachhullsshape.
To analyze the efficiency of the proposed mesh-
ingmethod, weintroduceaparametricmodel thatwill
react to the encounter sea conditions. We are aware
that such a raw model could not describefinely the
resistancesthat encounter aboat inareal seaway but
it as to be implanted to test the general approach
wepropose. Theconsumption model will further be
identified on board using fuzzy logic technics. As
the meshing method is uncoupled fromthe model-
ing, any function cost can be used to estimate the
efficiency of a particular route. We used the ship
presented in Hagiwara (1987) since many informa-
tionareavailableandthetimecalculationcost islow
(3ms).Forourroutingscheme,wechosetheconsump-
tion and the sailing time as estimators of the vessel
efficiency.
5.1 Scheme of calculation
Theschemeof consumption calculation is presented
on the figure 5. As presented earlier, both the
415
Figure5. Schemecalculationof theconsumption.
geography and the velocity are defined for a route,
as aresult, theinputs of theconsumptioncalculation
aretheGPSpositionof theboatandthedesiredseabed
velocitiesV
T
.
Classically, thecompositionbetweentruewindand
seabed velocity of the vessel leads to the apparent
wind. Inorder to get thedesiredseabedvelocity, the
current effects must becompensated if theresulting
relative speed does not exceed the limitation due to
thevessel designi.e. themaximal speedof thevessel
V
max
. Thedriftingof thevessel isneglectedhere.
5.2 Resistances computation
In this part the relations used to compute the resis-
tances actingon thehull arepresentedrapidly. They
will allowtoestimatethepowerthathastobedelivered
bythevesselsengine.
Still water resistance R
SW
is the first resistance
actingon thevessel. It corresponds to theenergy
used to overcome the frictional resistance of the
hull plustheoneusedtocreatethebowwave.
Aerodynamic resistance R
A
is the action of the
windontotheemergedpart of thevessel.
Added resistance due to waves R
AW
istheincrease
of resistance due to the encountered waves. It
dependsof theiraverageperiod,significativeheight
andmeandirection.
The total resistance R
T
is the global resistance
actingonthehull. Itsvalueiscalculatedaccordingto:
Thenumerical valuesof themodel parametersand
thevessel design, arepresentedinHagiwara&Spaans
(1987).
5.3 Propulsion characteristics
As theresistances acting on thehull areknown, the
propulsionsystemhastobemodeledinorder toeval-
uatethetorqueand power that must bedelivered by
theengineat thetarget velocity V
T
. For therouting
examplewechosea8mdiameterfixedpitchWagenin-
genB5-75screwseriespropeller, Carlton(2007) and
a10000kW Wrtsilengine(2007).
Propeller thrust, torque, rate of revolution The
propeller thrust T
P
, torqueQ
P
andpower P
P
arecal-
culatedusingtheITTC schemeof calculation(1978).
Their calculation are well known and will not be
discussed here. The propellers rate of revolution is
adjustedtoobtaintheproper thrust T
P
.
Engine power and consumption Foraknownpro-
pellerandengine, afixedpropellerrevolutionrateand
agivenshipspeed, theenginepower canbecalculated
asfollows:
with
H
=
1t
1w
theefficiencyof thehull andt thethrust
deductionfractionduetosuctionof thewater infront
of thepropeller, w thewakefraction,
0
theopenwater
efficiency,
r
therelativerotativeefficiencyand
m
the
mechanical efficiencyof shaft bearing.
Theconsumptionof theengineiscalculatedknow-
ingthedeliveredpower. For that purpose, weusethe
specificconsumptionlawC
s
givenbytheengineman-
ufacturer. For agivenrateof revolutionN
e
andpower
P
e
of theengine, thehourlyconsumptionisgivenby:
Theunit of P
e
isL.h
1
.
6 OPTIMIZATIONSCHEME
6.1 Search method
6.1.1 Performances indices
Thegoal of theoptimizationistominimizetheantag-
onist objectives: the consumption C and the sailing
timeT. A numerical optimizationof arouteoff Corea
ispresentedhereafter (Fig. 6). Thejourneyisdefined
betweenP
Dep
=(133
40
) andP
Arr
=(122.5
32.5
).
Thenumber of level is N
l
=7, thedistancebetween
nodes of a level is D
L
=25km and the number of
coursechangesper hour isN
CC
=1h
1
. Thenumber
of targetspeedsisN
TS
=8.Forthisapplicationweused
themeteorological dataof the23rdApril 2008at0:00
GMT whichwill bethedeparturetime.
6.1.2 Pareto-optimal solutions
Solving this optimization problem with conflicting
objectives across a high-dimensional research space
isadifficult goal. Insteadof asingleoptimum, there
is rather a set of alternative trade-offs, generally
knownasPareto-optimal solutions.Variousevolution-
ary approaches to multi-objective optimization have
416
Figure6. Comparisonbetweenshortest andoptimal routes
inwavefield.
been proposed since 1985, capable of searching for
multiple Pareto-optimal solutions concurrently in a
singlesimulationrun, Valdhuizen& Lamont (2000).
TheoptimizationprogramFRONTIER
2
andthetech-
nical computingsoftwareMATLAB
areusedtoset
uptheframework of themulti-objectivedesignopti-
mizationstudyof weatherrouting.TheMulti-objective
Genetic Algorithm (MOGA), implemented first by
Fonseca & Fleming (1998), is used to performthe
optimizationproblem.
6.1.3 Design parameters
Thenumber of parametersnecessarytodefinearoute
is (N
l
2N
TS
). For each level of themeshing the
associateparameteristheindexj of thenodeP
i,j
. Con-
cerningthetargetspeeds, theparametersarewithinthe
boundarypreviouslypresentedandtheirstepis0.1kn.
6.1.4 Global optimization process
The algorithmwill attempt a number of evaluations
equal tothesizeof theinitial populationfortheMOGA
multiplied by the number of generation. The initial
2
http://www.esteco.com/
Table3. Comparisonof theoptimumrouteto theshortest
one.
Route Distance(km) Time(h) Fuel (t)
Shortest 1337.7 56.8 198.4
Optimal 1342.1 56.8 188.4
populationis generatedby arandomsequenceof 60
designs. The major disadvantage of the MOGA is
mainly related to the number of evaluations neces-
sary to obtain satisfactory solutions. The search for
theoptimal solutionsextendsinall thedirectionsfrom
designspaceandproducesarichdatabaseandthere
is not atruestopcriterion. Thenumerical evaluation
of theperformancescallsuponMATLABcodesisnot
so expensiveinterms of computingtime(about 2s).
Inanattempt tosolvetheoptimizationprobleminan
acceptabletimeframe, thenumberof generationseval-
uatedisalmost70,i.e.4000designsinall.Therequired
computationtimefor theglobal optimizationprocess
is about 2 hours (2.4GHz / 3.0Gb RAM). Integrat-
ing a Response Surface Methodology to reduce the
computationtimecouldbeaninterestingextensionof
our work especially if onewantstoachieveonboard
routing.
6.2 Numerical optimizations
Thetimedependency of theseastateandwindfield
istakenintoaccountwithlinear interpolationintime.
Figure6presents anexampleof weather routing. On
thesemaps, twopositionsof thevessel areshown. For
theanalysisof theoptimization, wecomputetheshort-
estpathandwetunetheconstantvelocityonthispath
sothatthesailingtimeisthesameastheoptimal one.
Thecomparisonbetweenthesetwo routes is donein
Table3.
Thisexampleputsforwardtheinterest of therout-
ing weather for motor vessel. Wehaveshown that a
longer distanceof journey does not imply automati-
callyanincreaseof consumption. Theexampleabove
showsthat asavingof 5%isrealizableonthechosen
journey. Theeconomy arenot very largebecausethe
distancetobetraversedistooshort. Moreover, thesea
isnotrough, themaximumheightof wavesduringthe
journeyisonly2m.Another problemthatmightoccur
is the spatial interpolation of the conditions. In the
NOAAsGRIB, onearth, thefieldsarenotknownsoan
arbitraryvalueisset (for instance0). Thisunknowing
of thefieldsleadstoinconsistentvalueof theadvanc-
ingresistancealongthecoast that might distortedthe
results.
7 CONCLUSION& FUTURE WORK
This paper presents a brief outlook to motor ves-
sel routing using deterministic weather forecasts. A
method for spatial and temporal generation of route
417
variants based on a generic and automatic meshing
method has been presented. The major advantage
of this technic is the physic based definition of the
rhombus and the low number of free variables used
todefinearoute. Theshiproutewasoptimizedusing
multi-objectivealgorithmfor adeterministic weather
case. Thereasonablecomputationtimewill allowthe
useof this methodfor onboardroutingapplications.
Pareto-optimizationmay beconsideredasatool pro-
vidingasetof efficientsolutionsamongdifferentand
conflictingobjectives, underdifferentconstraints.The
final choiceremainsalwayssubjectiveandislettothe
usershands.
Futureworksconcerntheimprovement of thecon-
sumption prediction model usingon boardmeasure-
mentsandfuzzylogicidentificationtechnics. Wewill
alsoinvestigatetheroutingof wail-assistedmotorves-
sels. The use of these technics will allow the quick
establishment of reliablemodelsof different typesof
vesselskeepingthemeasurement cost very lowsince
no tawing tank, wind-tunnel tests or models will be
necessary.Another aspectthathasnotbeendiscussed
in this paper is thestochastic natureof weather and
seaconditionsthatmustbeentakenintoaccount. This
aspectwill alsobeinvestigatedusingrobustoptimiza-
tiontechnics.Thereactualizationof theroutingpolicy
during the journey will also be considered for long
travels. Thus we will be able to integrate the most
recent weather data.
ACKNOWLEDGEMENTS
Theresearchinthispaper issupportedbytheRgion
Bretagne andsomelocal community. Thisworktakes
placeintheGrand Largue project.
REFERENCES
Allsopp, T. 2000. Optimising Yacht Routes Under Uncer-
tainty. Proceedings of the 2000 Fall National Conference
of the Operations Research Society of Japan: 176183.
Bleick,W.&FaulknerF.1965.Minimum-TimeShipRouting.
Journal of Applied Meteorology, 4: 217221.
Braddock, R.D. 1970. OnMeteorological Navigation. Jour-
nal of Applied Meteorology 9(1): 149153.
Bttner, C.U. 2007. Weather Routingfor ShipsinDegraded
Condition. International Symposium on Maritime Safety,
Security and Environmental Protection, Athens, Greece.
Carlton, J. 2007. Marine Propellers and Propulsion.
Butterworth-Heinemann.
Fonseca, C.M. & Fleming, P.J. 1998. Multiobjective Opti-
mization and MultipleConstraint Handling with Evolu-
tionary Algorithms. IEEE Trans. On Systems, Man and
Cybernetics 28: 2637.
Hagiwara,H.&Spaans,J.1987.Practical WeatherRoutingof
Sail-AssistedMotorVessels. J ournal of Navigation40(1):
96119.
Haltiner, G.J., Hamilton, H.D. &rnason, G. 1962. Minimal-
TimeShipRouting. Journal of Applied Meterology 1(1):
17.
Harries, S., Heinmann, J. & Hinnenthal J. 2003. Pareto-
Optimal Routing of Ships. International Conference on
ShipandShippingResearch.
Hinnentham, J. & Saerta, . 2005. Robust Pareto-Optimal
Routingof Ships UtilizingEnsembleWeather Forecasts.
Maritime Transportation and Exploitation of Ocean and
Coastal Resources: 10451050.
ITTC. 1978. 1978 ITTC Performance Prediction Method
for Single Screw Ships. Proceedings of the 15th Inter-
national Towing Tank Conference, 1978, The Hague,
Netherland.
J ames, R.W. 1957. Applicationof WaveForecaststoMarine
Navigation. U.S. Navy Hydrographic Office.
J ourne, J.M.J. & Mejijers, J.H.C. 1980. ShipRouteingfor
OptimumPerformance. IME Transactions: 117.
Wrtsil. 2007. Project GuideWrtsil46.
Valdhizen, D.A.V. & Lamont, G.B. 2000. Multiobjective
EvolutionaryAlgorithms: AnalyzingtheState-of-the-art.
Evolutionary Computation 8: 125147.
Zappoli, R. 1972. Minimum-Time Routing as an N-Stage
DecisionProcess. Journal of Applied Meteorology 11(3):
429435.
418
10.2
Applicationof the1-2-3rulefor calculationsof avesselsrouteusing
evolutionaryalgorithms
B. Wi sniewski, P. Medyna& J. Chomski
ABSTRACT: Anexampleisshownof the1-2-3ruleapplicationfor calculationstodeterminearouteavoiding
tropical cyclones. Thedynamic programming used is based on regularly received weather reports containing
present and forecast data on tropical cyclones. The results were compared with the post factum calculated
route which utilized only weather analyses concerning the relevant moments of the voyage and with routes
calculatedusingthecyclonefuzzy domainasanareadangeroustonavigation. Thecalculationsweremadein
theevolutionaryalgorithmsenvironment.
1 INTRODUCTION
1.1 The 1-2-3 Rule
The1-2-3ruleconsistsinextendingtheforecaststorm
fieldof thecyclonewithanapproximatedvalueof the
forecasterrorbasedon10yearsof therelevantforecast
timeinterval. Theruleisrecommendedfor theNorth
Atlantic waters, but it canbeeasily adoptedfor other
seaareas.Themeanerrorof agivenforecastisaddedto
thelargest forecast radiusof thestormyarea. Consis-
tently, 100Nmdistanceisaddedastheforecast error
to thelongest radius of thestormy area for 24 hour
forecast for all quadrants. Similarly, 200Nmisadded
for 48hour forecast and300Nmfor 72hour forecast.
Themethod does not takeinto consideration effects
of suddenchangeintheintensificationof thecyclone
system, whichconsequently extendsthestormy zone
of winds34knots.Besides,itdoesnotaccountforthe
cyclonechangesintoextra-tropical stages, whichalso
result insuddenchangesof stormforcewinds. Addi-
tionally, it isrecommendedinthemethoddescription
tofurther extendthedangerousareawithout specify-
inganyvalues, particularlywhenforecastsarehighly
unreliable, captain and crews experience is limited,
the vessels seaworthiness is restricted or there are
other limiting factors defined by thecaptain. There-
fore, themethoddoesnotpreciselydeterminethearea
toavoid. If wecombinetheprincipleof avoidingthe
stormareawherewindW34knotswiththeextended
zone where risk is high, we obtain a danger area to
avoidbyapplyingthe1-2-3rule(Fig. 1) [1].
1.2 Calculations
Evolutionary algorithms were used in calculations
of thetime-minimumroutewhich passes by theare
affectedtropical cyclones[4].
The randomly chosen initial population of routes
consistedof 50individuals.Therouteswereprocesses
Figure1. The1-2-3Rule[1].
bytwooperators: crossoverandmutation.Thenumber
of generationsamountedto700.
As timepassedby, theareathreatenedby tropical
cyclone determined by the 1-2-3 rule increased and
wastreatedasprohibitedtonavigation, whichmeans
no computing route point could appear within this
field.
2 ROUTE CALCULATIONS
There were two tropical cyclones in the examined
period over the NorthAtlantic, Gordon and Helene.
The vessel began a voyage from Gibraltar to New
York.Startingat0300UTCon15September2006from
position 36N/007W, the vessel headed for position
40N/073W.
Figure2presentsthesituationof thevoyagebegin-
ning where the 1-2-3 rule was applied. The route is
almostloxodromicone. Itcanbeseenthatonlywaves,
havingnothingtodowithtropical cyclones, affectthe
way it runs (long distanceto thecyclones, forecasts
up to 72 hours are considered as prescribed by the
1-2-3rule).
419
Figure 2. Vessels position and calculated route on 15
September, 0300UTC start of thevoyage.
Figure 3. Vessels position, calculated route and
cyclone-threatened areas to avoid 17 September,
0300UTC.
On 17 September at 0300UTC the vessel
approached the danger area affected by tropical
cyclone Gordon and avoided the stormfield going
south of it. CycloneHelenethen was not dangerous
for thevessel (Fig. 3).
From1500UTC19September theproximityof the
cyclone significantly affected the calculation results
andthedangerareatoavoiddeterminedwiththe1-2-3
method(Fig. 4).
CycloneGordonwasout of thevesselswayat that
time. Theinitial populationof routesavoidingHelen,
asshowninFigure4, indicatestherearetwopossible
groups of routes to avoid the cyclone: northern and
southernones.
Calculationsof thebesttrack(time-minimumroute)
recommendavoidingthecyclonetothenorth(Fig. 5).
Thecalculatedroutehasonlyonepointadjacenttothe
forecastcircleof danger area(T72
h
) definedbythe
1-2-3method. This, however, was not incompliance
withother navigational principles; oneof themsays:
never crossthetrack.
Six hourslater (19Sept at 1200UTC) calculations
dramatically changedtheprevious decisionconcern-
ingwhichroutetochoosetoavoidthecyclone. Now
Figure4. 19September, 1500UTC initial population.
1500UTC.
2100UTC.
the vessels track went to the south of the cyclone
(Fig. 6).
Thisresultsfromsuchfactorsasnoticeableacceler-
ationof cycloneHelenesspeedof movement accord-
ingtothelatestshort-termforecastsandfromtherange
of forecastsconsideredinthe1-2-3method.
420
cyclone-threatenedareastoavoid, 22September 1500UTC.
Figure 8. Final route based on 6-hour tests and the posi-
tionsof cyclonesGordonandHeleneatvoyagestartandtheir
further movements.
Further in the course of the voyage, in tests per-
formedeverysixhours,thevessel consistentlyavoided
cycloneHelenesailingsouthof it, andfrom1500UTC
22 September the vessel headed directly for her
destination(Fig. 7).
Finally, the tested route took 254
h
12 to cover.
Figure8 shows theroutetogether with thelocations
of HeleneandGordonat thestart of thevoyageand
their further routes, workedout fromreal analyses.
3 THE RESULTSDISCUSSION
Thetestresultsconcerningavessel routefromGibral-
tar to NewYork, using the 1-2-3 method and actual
analysis and forecast data real received onboard the
vessel everysixhoursfrom15to25September 2006
will becomparedtoearlier resultspublishedin[5, 6].
Thosestudiestookintoaccountanalysesthatappeared
after thecyclonehadoccurredas well as operational
T+48hforecastsandavailableforecastsfor periodsup
to 120 hours. The calculations using 48h and 120h
forecasts regarded cyclones danger area as a fuzzy
domainaccordingtothemethodologyfoundin[2, 3].
Table1. Durationtimesanddistancesof avesselsroutefor
variousmethodsof calculation.
120h 48h
Route forecast forecast, analysis
calculation fuzzy fuzzy (post
type 1-2-3rule domain domain fatum)
Time 254h12
/
260h12
/
231h48
/
214h
Distance 3128.4Nm 3616.6Nm 3260.8Nm 3071.8Nm
Figure9. RoutecalculatedusingT+120h(C) forecastsand
1-2-3rule(D).
Figure10. A post factumroute, B 48h forecasts and
cyclones fuzzy domain, C 120h forecasts and cyclones
fuzzydomain, D 1-2-3method.
Theoverall resultsaregiveninTable1andFigures9
and10.
Figure9comparestworesultant routes, calculated
using:
the1-2-3method(routeD),
forecasts up to 120h received in uptodatereports
and description of the danger area with a fuzzy
domain, as presentedinauthors previous publica-
tion[5].
Both routes differ to some extent. The route
obtained fromthe 1-2-3 method is shorter in terms
of timebysixhoursandconsiderablyshorter interms
of distance.
Knowingtheresultsof othertests, consideringonly
up to 48h forecasts and using analyses made after
the cyclone operation, we notice significant differ-
encesinthecharacterof routes.Theconsideredvoyage
assumedthesamevessel speedandaccountedfor the
actual weather conditionsandthesamedepartureand
arrival points, etc.
421
Theapplicationof the1-2-3methodyields results
comparabletothoseobtainedfromthemethodusing
long-termT120hforecasts.
Thedanger areageneratedby thismethod, acircle
increasing in time up to 72 hours until the moment
thevessel comesrelatively closetothecyclone, does
not showsubstantial differencesascomparedtoother
methods.
4 CONCLUSIONS
Theconclusion reached in previous publications has
been confirmed. As the time horizon of forecast
increases, its reliability decreases and regardless of
themethod used, theareaof potential danger dueto
tropical cyclonedramaticallyextendsintime. For the
1-2-3method, after 72hoursthisareaisacirclewith
a600Nmdiameter plus theforecast cyclonediame-
ter. Thishinderseffectivedeterminationof routesthat
wouldnotabruptlychangetheactual coursesof vessels
underway.
It seems reasonable to grade the value of unreli-
ability of tropical cyclone area of stormdepending
onthetimetoreachit (distance, vessels speedchar-
acteristics, weather conditions outside the cyclone
area).
The 1-2-3 method should not add the values of
100, 200and300Nmtothelongest radiusof thefour
quadrants of cyclonestormfield. At least, it should
makeadifferencebetweenitstwosemi-circles.
LITERATURE
[1] Carr M., BurkleyG., ChesneauL., 1999, Hurricane
Avoidance Using the 34-Knot Wind Radius and
123 Rules, MarinersWeather Log, August 1999
[2] Wi sniewski B., Medyna P., 2004, Prognozowany
zasi eg pola sztormowego cyklonu jako domena
rozmyta cyklonu., Zeszyt Naukowy AM Szczecin
Nr 2(74), KonferencjaExplo-Ship, str. 419430
[3] ebkowski A.,

Smierzchalski R., TomeraM., Tobi-
asz M., Dziedzicki K., 2005, Modelowaniedomen
orazobszarwpogodowychwprocesiewyznaczania
trasy przej scia statku, VI Mi edzynarodowe Sym-
pozjumNawigacyjne, Gdynia
[4] Wi sniewski B., MedynaP., Chomski J., 2006, Zas-
tosowanie algorytmw ewolucyjnych do wyboru
trasy statku na oceanie z uwzgl ednieniem omi-
jania stref sztormowych cyklonw tropikalnych,
In zynieria Morska i Geotechnika nr4/2006, str.
257262
[5] Wi sniewski B., MedynaP., Chomski J., 2008, Com-
parison of ship routes avoiding tropical cyclones,
TST08, ZNPolitechniki

Sl askiej
[6] Chomski J., Wi sniewski B., MedynaP., 2008, Anal-
ysisof shiproutesavoidingtropical cyclones., Wyd.
AMW, Gdynia
422
10.3
Multicriteriaoptimisationinweather routing
J. Szapczy nska& R.

Smierzchalski
ABSTRACT: Thepaper presents anewweather routingsolutionfully supportingmulticriteriaoptimisation
processof routefinding. Thesolutionincorporatestwomulticriteriaoptimisationmethods, namelymulticriteria
evolutionary algorithm(SPEA) andmulticriteriarankingmethod(FuzzyTOPSIS). Thepaper focuses onpre-
sentingtheproposedmulticriteriaevolutionaryweather routingalgorithm(MEWRA). Furthermore, it includes
someexperiment resultstogether withashort descriptionof theassumedshipmodel.
1 INTRODUCTION
Inweatherroutingoneisabouttofindthemostsuitable
oceansroutefor avessel, takingintoaccountchange-
ableweather conditions andnavigational constraints.
Oneof thefirstapproachestotheproblemwasamin-
imumtimerouteplanningbasedonaweather forecast
called an isochrone method. The method was based
ongeometrically determinedandrecursively defined
timefronts, socalledisochrones. Originallyproposed
by R.W. J ames (J ames 1957), isochronemethodwas
inwideusethroughdecades. Inlateseventies based
ontheoriginal isochronemethodthefirst computer-
aidedweather routingtoolsweredeveloped. However,
alongwithcomputer implementationsomeproblems
arose, i.e. with so called isochroneloops. Numer-
ousimprovementstothemethodwereproposedsince
early eighties, with (Hagiwara 1989, Spaans 1986,
Wi sniewski 1991) among others. Since then several
different approachestotheoptimisationproblemwas
inuse, withdynamicprogramming(Bijlsma2004) or
geneticandevolutionaryalgorithms(Wi sniewski etal.
2005) amongothers.
It isaprimegoal of weather routingtoolstofinda
routebetweengivenoriginanddestinationports that
isthesafest, theshortestandtheleastexpensivepossi-
ble. Unfortunately, thesecriteriaareoftenconflicting,
especially theonesexpressingsafety andeconomics.
A singleroute, time-optimal, cost-optimal andsafety-
optimal atonetime, hardlyexists.Thus, anacceptable
trade-off between the criteria is sought instead. A
mathematical approachtowards solvingsuchaprob-
leminvolves multicriteria (sometimes referred to as
multiobjective) optimisation. Because the currently
available solutions hardly apply such an approach,
thus it is well-founded to propose a new multicrite-
ria weather routing method, presented previously in
(Szapczy nska2007).
Thispaper focusesonpresentingasolution, imple-
menting the multicriteria weather routing method,
together with someexamples of usage. Theremain-
der of the paper is organized as follows: section 2
introduces definition of the optimisation. Section 3
provides description of a model of the researched
ship. Further details on weather modelling, such as
weather data sources, formats, etc., can be found
in (Szapczy nska, in press). Section 4 describes the
MEWRA solution. In section 5 some examples of
usageof thesolutionareprovided. Finally, section6
summarizesthematerial presented.
2 DEFINITIONOF THE OPTIMISATION
PROBLEM INWEATHER ROUTING
The proposed multicriteria set of goal functions in
the weather routing optimisation process, revised
comparing to (Szapczy nska 2007), is presented by
equations13:
where:
t
r
[h] passagetimefor givenrouteandshipmodel,
q
fc
[g] total fuel consumption for given route and
shipmodel,
i
risk
[/] risk coefficient for givenrouteandtheship
model,
k [/] number of routessegmentswithi
j safety
<1,
i
j safety
[/] fractional safetycoefficient for (j1)thand
j-th waypoints and given ship model; values of the
coefficient ranges [0; 1], where1depicts completely
423
safesectionof routeand0 unacceptably dangerous
section.
The assumed set of constraints in the weather
routingoptimisationproblemincludes:
landmasses(land, islands) ongivenroute,
predefinedminimumacceptablelevel of fractional
safetycoefficient i
j safety
for givenroute,
floating icebergs expected on given routeduring
assumedshipspassage,
predefinedmaximumacceptableiceconcentration
ongivenroute.
The next section provides a description of a ship
model and the way of modelling the goal functions
(1)(3).
3 MODEL OF THE RESEARCHEDSHIP
Theresearchedshipmodel (Oleksiewicz, inpress) is
basedonaB-470bulkcarrier. Itsbasicparametersare
showninTable1. Themodel shipis equippedwitha
hybridpropulsionincludingSultzer RTA 48T engine
andapalisadeof sixtextilesails(Figure1). Eachsail
has522m
2
sail surfacearea.Theshipisequippedwith
asemi-adjustableB-Wageningenscrewpropeller.
3.1 Modelling of passage time
Shipspeedforecast is akey element inpassagetime
modelling. Speed characteristic of themodel ship is
based on algorithms presented in (Oleksiewicz, in
press). Speed prognosis for the model ship is based
onwindspeedandwindangleforecasts. Then, speed
reductionfactor duetowaveimpact is appliedtothe
Table1. Basicparametersof themodel.
Parameter name Value
Length 172m
Width 22.8m
Draught 9.5m
Height 14.3m
Servicespeed 15kn
Displacement 30288t
Blockcoefficient (C
b
) 0.786
Figure1. Sail model.
prognosis. Detailed description on the model ships
speedmodellingisgivenby(Szapczy nskaetal.2007).
It is assumed that theship model moves between
two consecutive waypoints with constant velocity
andpropulsiontype(only motor engine or hybrid
propulsion). Thus the passage time for a route is
givenby:
where:
t
r
[h] passagetimefor arouteandgivenshipmodel,
n [/] number of routes waypoints,
v
j
[kn] speedof theshipmodel between(j1)-thand
j-thwaypoints,
d
j
[Nm] distance between (j1)-th and j-th way-
points.
3.2 Modelling of fuel consumption
Forecasted fuel consumption per hour for the ship
model iscalculatedby:
where:
FCPH [g/h] fuel consumptionper hour,
P [kW] enginepower,
BSFC [g/kWh] breakspecificfuel consumption.
Based on the models engine (Sultzer RTA 48T)
catalogue data the BSFC value is assumed to be
171g/kWh. Valuesof enginepower P belongtoadis-
creteset, dependingof currenttelegraphcommand, as
presentedin(Szapczy nskaet al. 2007).
Another aspect of fuel consumption is connected
to starting the engine. Additional portion of fuel is
required to every start of the engine, which might
become significant when it is possible to turn the
engineonandoff duringthevoyage.Thus,thetotal fuel
consumptionof themodel shipfor arouteisgivenby:
where:
q
fc
[g] total fuel consumption for given route and
shipmodel,
t
j
[h] passage time between (j-1)-th and j-th way-
points,
FCPH
j
[g/h] FCPH validbetween(j-1)-thandj-th
waypoints,
m [/] number of enginestarts,
FCPS [g] fuel consumptionper start.
3.3 Modelling of the voyage risk
It is assumed that the wind causes the prime safety
threat during thevoyage. Thus, thedefinition of the
424
Figure2. shapecoefficient(solidlinehybridpropulsion;
dottedline onlymotorengine)asafunctionof windheading
angle.
fractional safety coefficient i
j safety
, utilizedby (4) to
calculatetheriskof avoyagei
risk
, isgivenby:
where:
v
w max
[kn] maximumallowablewindspeed,
v
w j
[kn] windspeedbetween(j-1)-thandj-thway-
points,
v
max def
[kn]thresholdwindspeed, assumedas35kn,
[/] shapecoefficient (Figure2), dependent of the
shippropulsiontypeandwindheadingangle,
v
max def
[kn]possiblethresholdwindspeedmargin,
assumedas10kn.
The main purpose of the shape coefficient is
to differentiate the maximumallowable wind speed
v
w max
dependentof thewindheadingangle.Thecoef-
ficient discriminates(by greater values) mainly the
followingwinds.
Thei
j safety
=0depictsatotallydangerousroutesec-
tor (withv
w j
v
w max
). Incontrary, i
j safety
=1depicts
acompletelysaferoutesector (withv
w j
=0).
4 WEATHER ROUTINGWITH
MULTICRITERIA OPTIMISATION
Theproposed weather routing algorithmis based on
the optimisation criteria set (1) (3), defined in
section 2. The solution utilizes two basic multicri-
teria mechanisms, namely multicriteria evolutionary
algorithm Strength Pareto Evolutionary Algorithm
(SPEA) and multicriteria ranking method Fuzzy
TOPSIS.
4.1 Multicriteria evolutionary weather routing
algorithm (MEWRA)
The SPEA framework in the proposed algorithmis
responsiblefor iterativeprocess of populationdevel-
opment. The result of SPEA is a Pareto-optimal set
of solutions. Themulticriteriarankingmethod(Fuzzy
Figure3. Multicriteriaevolutionary weather routingalgo-
rithm.
TOPSIS)isresponsibleforsortingtheresultingPareto-
optimal solutions accordingto thegivenpreferences
of thedecision-maker.Thepreferencesarerepresented
by linguistic values with fuzzy weights assigned to
the decision criteria. The main algorithms flow is
illustratedinFigure3.
4.2 Chromosome structure
An individual in the evolutionary approach, also
referredtoasasolution, representsaroute. Theroute
includesanarrayof waypointsconstitutingshipstra-
jectory, wherethefirst oneisequal tothepositionof
the origin port and the last one to the destination
port. A singleentryof thewaypointsarrayincludes:
geographical coordinates (longitude, latitude) of
thewaypoint,
motor enginerelativesettingsvalidfromtheprevi-
oustothegivenwaypoint, ranging[0;1],
propulsiontype(therearetwodifferent propulsion
modes distinguishedfor theassumedshipmodel:
motor only andmotor & sails),
timeof reachinggivenwaypoint,
velocity of theship, assumedconstant onasector
betweentwowaypoints, validfromthepreviousto
thegivenwaypoint,
uncertaintyindexfor givenwaypoint (valuerepre-
sentinguncertaintyof thewaypointsdata).
425
Onlythefirst threeelementsof thewaypoint entry
areindirect control of theevolutionary mechanisms:
thecoordinates, motor settings and propulsion type.
All theother valuescanbecalculatedasfunctionsof
theformer andarestoredinthechromosomeinorder
toimproveonefficiencyof thealgorithm.
4.3 Initial population
The first step towards evolutionary computation is
always building an initial population. In the consid-
eredweather routingcase, apreliminary set of basic
routesisgeneratedatfirst. Forgivenpairof originand
destinationportsthesetincludesthefollowingroutes:
anorthodrome,
aloxodrome,
a time-optimized isochrone route (Spaans 1986,
Hagiwara1989, Wi sniewski 1991), referencedfur-
ther asIZO_REF_TIME,
a route given by fuel-optimization applied to the
time-optimizedisochroneroute, referencedfurther
asIZO_REF_FUEL.
Theisochroneroutes(IZO_REF_TIME&IZO_REF_
FUEL) aregeneratedwithtimestep2h.
Theinitial populationisgeneratedbycreatingran-
dommutations of the basic routes. Also pure basic
routesareincludedintheinitial population.
4.4 Specialized operators
There are several specialized genetic operators
required by the evolutionary framework, each cus-
tomized to the established chromosome structure.
The set of specialized operators in the multicriteria
evolutionaryweather routingalgorithmincludes:
one-point crossover,
non-uniformmutation,
routesmoothingbymeansof averageweighting.
4.5 Final ranking of routes
WhenSPEA completesitscomputations, theavailable
resultsetincludesthePareto-optimal setof individuals
(routes) and a corresponding Pareto front. Unfortu-
nately(or fortunately, but fromtheother perspective)
thePareto-optimal set isnumerous. Thusit wouldbe
inconvenient for the user (e.g. a captain) to browse
manuallythroughthecompleteset of resultingroutes
insearchof themost suitableone.
Yet another problemmight beencountered: howto
decidewhichrouteis thebest withingivenmulticri-
teria optimisation environment? To solve this prob-
lemdecision-makers (e.g. captains) preferences to
the given criteria set should be defined. Hence a
tool for sorting the Pareto-optimal set is provided
FuzzyTOPSISmethod. Themethodcreatesaranking
of routes based on the decision-makers preferences
expressed by linguistic values with triangular fuzzy
values assigned (Table2). Thedecision-maker picks
Table 2. Linguistic values and corresponding triangular
fuzzyvalues,utilizedtoexpressdecision-makerspreferences
tothecriteriaset.
Linguisticvalue Triangular fuzzyvalue
veryimportant (0.7; 1.0; 1.0)
important (0.5; 0.7; 1.0)
quiteimportant (0.2; 0.5; 0.8)
lessimportant (0.0; 0.3; 0.5)
unimportant (0.0; 0.0; 0.0)
Table3. Linguisticvaluesassignedtothecriteriaset inthe
multicriteriaevolutionaryweather routingalgorithm.
Route Passage Fuel Voyage
description time consumption risk
MEWRA_TIME very unimportant unimportant
important
MEWRA_FUEL unimportant very unimportant
important
MEWRA_ important less very
COMPROMISE important important
one linguistic variable per criterion. The variable
should describethemost accurately thesignificance
of the criterion and its impact on the decision. The
first routeinthefinal rankingwill bethemost suit-
ableonefromthePareto-optimal set, withreferenceto
thepreviouslydefinedpreferencestothecriteriaset.
5 EXAMPLESOF USAGE
Thissectionpresentstwoexperiment resultswiththe
proposed multicriteria evolutionary weather routing
algorithm. The experiments origin and destination
ports as well as the departure dates vary to present
performanceof thealgorithmforvariousweathercon-
ditions. Inbothcasesoutput of thealgorithmiscom-
paredwiththeroutesfoundbythetime-optimisedand
fuel-optimisedisochronemethodrespectively. Output
routes of themulticriteriaevolutionary weather rout-
ingalgorithm(depictedasMEWRA) wereselectedby
means of linguistic values assignedtothecriteriaset
asgiveninTable3.
5.1 Lisbon Miami, departure 2008-09-02
at 00:00
The initial population generated for the Lisbon-
Miami voyage is presented in Figure 4. The
set of Pareto-optimal solutions (routes), obtained
after 100 of generations during evolutionary opti-
misation, is then presented in Figure 5. The
resulting MEWRA_TIME, MEWRA_FUEL and
MEWRA_COMPROMISE routes arethenpresented
by comparison to the isochrone routes in Figure 6
8 respectively. Basic performance parameters of the
426
Figure 4. Initial population of routes for Lisbon-Miami
voyage, departure2008-09-0200:00.
Figure 5. Set of Pareto-optimal routes for Lisbon-Miami
Figure 6. Output of the algorithmMEWRA_TIME com-
paredtothetime-optimal isochroneroutefor Lisbon-Miami
Figure7. Output of thealgorithmMEWRA_FUEL com-
paredtothefuel-optimal isochroneroutefor Lisbon-Miami
Figure 8. Output of the algorithm MEWRA_
COMPROMISE compared to the time-optimal and
fuel-optimal isochrone routes for Lisbon-Miami voyage,
departure2008-09-0200:00.
MEWRA andreferenceisochroneroutesarecollated
inTable4.
During theperiod of 2008-09-01 and 2008-09-15
theTropical Weather Outlook of National Hurricane
Centrereportedactivitiesof threetropical stormsand
cyclones inAtlantic region, namely Hanna, Ike and
Table4. Comparison of basic performanceparameters of
thereferenceisochroneroutes and output of thealgorithm
(MEWRAroutes)forLisbon-Miami voyage,departure2008-
09-0200:00.
Route Passage Fuel Voyage Avg
description time[h] cons. [t] risk[/] speed[kn]
IZO_REF_TIME 234.29 308.81 0.149 15.37
IZO_REF_FUEL 531.56 48.36 0.124 6.77
MEWRA_TIME 233.30 307.50 0.132 15.49
MEWRA_FUEL 373.54 8.45 0.094 10.24
MEWRA_ 288.91 225.79 0.058 13.51
COMPROMISE
Figure9. Windspeedforecast (NOAA WaveWatchIII) on
2008-09-10for theNorthernAtlantic regionwithindicated
positionof tropical depressionJ osephine.
J osephine.However,theconsideredrouteswerethreat-
eneddirectlywithJ osephineonly.Theoutlookof wind
speedforecast(NOAAWaveWatchIII)on2008-09-10
ispresentedinFigure9.Theremnantlowof J osephine
continuedmovingtothewestforthenextseveral days.
As depicted by the Figure 5, all the Pareto-
optimal routesbypassJ osephine.TheMEWRA_TIME
route compared to the time-optimal isochrone route
(IZO_REF_TIME) isshorter almost 1h, requiresover
1.3t less fuel and is safer (lesser voyagerisk factor)
the same time. The similar tendencies can be found
for theMEWRA_FUEL andIZO_REF_FUEL pair of
routes. But this time passage time saving in almost
30%, fuel saving exceeds 80% and voyage risk is
reduced by almost 25%. TheMEWRA_FUEL route
owesitssupremacytheutilizationof favourablewinds
withpossibilitytoturnoff theengine. Another aspect
of thesupremacyisthat theIZO_REF_FUEL routeis
not afully fuel-optimizedone(it is afuel-optimized
time-optimal isochroneroute).Duetothatitisbetterto
compareMEWRA_FUEL with IZO_REF_TIME. In
suchcasefuel reductionexceeds97%andvoyagerisk
reductionis almost 37%, but for thecost of increas-
ingpassagetimeby almost 60%. Ontheother hand,
theMEWRA_COMPROMISErouteallowsreduction
of the risk factor by 60% (mostly due to bypassing
theremnant of J osephineby meansof 34knot wind
radius rule) comparing with IZO_REF_TIME. The
routeallowsover26%fuel savingforcostof increasing
passagetimebylessthan24%.
427
Figure 10. Initial population of routes for Halifax Ply-
mouthvoyage, departure2008-02-1512:00.
Figure 11. Set of Pareto-optimal for Halifax Plymouth
Figure12. Output of thealgorithmMEWRA_TIME com-
pared to the time-optimal isochrone route for Halifax
Plymouthvoyage, departure2008-02-1512:00.
Figure13. Output of thealgorithmMEWRA_FUEL com-
pared to the fuel-optimal isochrone route for Halifax
Plymouthvoyage, departure2008-02-1512:00.
Figure 14. Output of the algorithm MEWRA_
COMPROMISE compared to the time-optimal and
fuel-optimal isochrone routes for Halifax Plymouth
5.2 Halifax Plymouth, departure 2008-02-15 at
12:00
The initial population generated for the Halifax
Plymouth voyage, is presented in Figure 10. The
set of Pareto-optimal routes, obtained after 100
of generations, is then presented in Figure 11.
TheresultingMEWRA_TIME, MEWRA_FUEL and
MEWRA_COMPROMISE routes are presented by
Figures1214respectively.Basicperformanceparam-
eters of theMEWRA andreferenceisochroneroutes
arecollatedinTable5.
During theperiod of 2008-02-15 and 2008-02-28
neither tropical stormsnor cycloneswerereportedby
Table5. Comparison of basic performanceparameters of
thereferenceisochroneroutes and output of thealgorithm
(MEWRA routes) for Halifax Plymouthvoyage, departure
2008-02-1512:00.
Route Passage Fuel Voyage Avg
description time[h] cons. [t] risk[/] speed[kn]
IZO_REF_TIME 157.89 208.14 0.290 15.58
IZO_REF_FUEL 420.84 14.77 0.312 5.75
MEWRA_TIME 152.99 201.68 0.340 15.62
MEWRA_FUEL 259.66 1.23 0.245 10.25
MEWRA_ 206.34 191.98 0.159 14.03
COMPROMISE
NHC. However, strongwindfieldsoriginatingonUS
Atlanticcoast,headingtowardseasterncoastof Green-
land, were expected repeatedly during the period. A
non-zero ice concentration was observed during the
periodatnortherncoastof NewFunland.Alsorareice-
bergstransportedbyLabrador Current wereexpected
inthearea.
The Pareto-optimal routes (Figure 11) avoid
the strong wind fields as well as the ice threat
zone. TheMEWRA_TIME routecompared with the
IZO_REF_TIME is shorter by almost 5h, requires
over 6t less fuel for a cost of slightly higher voy-
age risk (less than 18%). On the other hand the
MEWRA_FUEL routecomparedtoIZO_REF_FUEL
is significantly shorter (over 38%), allows enormous
reductionof fuel consumptionby over 91%andalso
improves routes safety (voyagerisk reducedby over
21%).Again, whencomparedtoIZO_REF_TIME, the
MEWRA_FUEL achievesalmost99.5%of fuel reduc-
tionand15%voyagerisk reduction, but for thecost
of almost 65%longer passage. Ontheother hand, the
MEWRA_COMPROMISE routeallowsfurther mini-
mizationof therisk factor, with45%reductionof the
factor(duetobypassingstrongwindfieldsonthesouth
fromNewFunland)comparingwithIZO_REF_TIME.
The route allows 7% fuel saving with passage time
increasedbylessthan31%.
6 CONCLUSIONANDFUTURE WORK
Theproposedmulticriteriaevolutionaryweather rout-
ingalgorithm(MEWRA) waspresentedhereinappli-
cation to the hybrid propulsion ship model. With
MEWRA it was possibletoobtainsignificant reduc-
tionsof passagetime,fuel consumptionandriskfactor,
however(timeinmostcases) notall atthesame. Based
on the results presented in the previous section, the
followingtendenciescanbeobserved:
MEWRA_TIME routes, whencomparedwiththe
time-optimal isochroneroutes(IZO_REF_TIME),
slightly shortenpassagetime(0.5%& 3.1%) and
reduce fuel consumption (0.5% & 3.1%), but in
one out of two cases may increase voyage risk
(here: by 18%). The similar percentage values
428
of passage time and fuel consumption reduction
depictthatthefuel savingsarecausedbytheshort-
ened passage only. The average service speed on
MEWRA_TIME is 3.5% 4.1%greater than the
original servicespeed.
MEWRA_FUEL routes, when compared with
the fuel-optimized time-optimal isochrone routes
(IZO_REF_FUEL), significantly shorten passage
time(30%&38%), reducefuel consumption(80%
& 91%) and decreasevoyagerisk (21%& 25%).
ThesurprisinglygoodMEWRA passagetimeper-
formance is caused here by the fact that the
IZO_REF_FUEL route is suboptimal. Fuel con-
sumptionreductions arecausedby thepossibility
of turning the engine off during the voyage. The
averagespeedonMEWRA_FUEL routesis30%
35%lesser fromtheoriginal servicespeed.
MEWRA_FUEL routes, whencomparedwiththe
even more significantly reduce fuel consumption
(97%& 99.5%) anddecreasevoyagerisk (15%&
37%). Thelengthenedpassagetime(60%& 65%)
isthecost of thesavingsinthiscase. Suchagood
MEWRA fuel consumptionperformanceiscaused,
againasinpreviouscomparison, bytheverynature
of thehybridpropulsionmodel. Allowing, during
thevoyage, thepossibilityof turningtheengineoff
andfindingthebest possiblewindconditions, one
(at least theoretically) isabletoachieve100%fuel
reduction. Thequestionis, whether it isacceptable
todrasticallylengthenthepassagetoachievesuch
fuel savings.
MEWRA_COMPROMISE routes try to establish
a practical trade-off between the basic routes
parameters. The routes, when compared with the
significantlyreducevoyagerisk(45%&60%) due
tobypassingthemainencounteredsecuritythreats.
The routes also reduce fuel consumption (7% &
26%), butlengthenthepassagetime(24%&31%).
Actions taken to increase routes safety are the
majorfactorsinducinglongerpassage.Theaverage
speedof MEWRA_COMPROMISE is only 6.4%
10%lesser fromtheoriginal servicespeed.
To conclude, MEWRA is a new weather rout-
ing solution and, as proved by the experiment
results, competitive towards other single-objected
methods, such as e.g. the isochrone method.
The solution expands functionality of typical
weather routing tools by introducing the trade-off
routes (MEWRA_COMPROMISE), yet preserving
the possibility to search for single-objected routes
(MERWA_TIME & MEWRA_FUEL). Inadditionto
that, itispossibletodefineanother setof resultroutes
byassigningsimplelinguisticvalues(suchasimpor-
tant, less important or unimportant) to each of
theoptimisationcriterion.
ItisworthmentioningthatMEWRAexecutiontime
inthebothpresentedcases(Lisbon Miami &Halifax
Plymouth) was shorter than 20min. Theexecution
times seemto beacceptable, takinginto account the
future plans to improve MEWRA towards dynamic
routeupdatemechanisms.Otherplansincludeexpand-
ing MEWRA to support a customship model with
traditional motor engine.
ACKNOWLEDGEMENTS
The authors would like to thank MicroOLAP Tech-
nologies for supporting the research by granting a
free licence for Easy MAP VCL component (a GIS
control).
REFERENCES
Bijlsma, S. J. 2004. On the Applications of the Principle
of Optimal Evolution in Ship Routing. NAVIGATION,
J ournal ofTheInstituteof Navigation,vol.51,pp.93100.
Hagiwara, H. 1989. Weather routingof (sail-assisted) motor
vessels, PhDThesis, Delft: Technical Universityof Delft.
J ames, R.W. 1957. Application of wave forecast to marine
navigation, Washington: USNavyHydrographicOffice.
Oleksiewicz,B.(inpress).Motor-sailerAhybridPropulsion
for Commercial Vessels. Thecasestudy. PolishMaritime
Reseach.
Spaans, J.A., 1986, Windshiprouteing, Technical University
of Delft.
Szapczy nska, J.,

Smierzchalski, R., 2007. Multiobjective
Evolutionary Approach to Weather Routing For Vessels
withHybridPropulsion. PolishJ ournal of Environmental
StudiesVol.16No. 5B, pp.9397.
Szapczy nska, J. 2007. MultiobjectiveApproachtoWeather
Routing. Advances inMarineNavigationandSafety of
Sea Transportation Proceedings of TransNav, Gdynia
2007. GdyniaMaritimeUniversity.
Szapczy nska, J. (inpress). PhD thesis: Applicationof evo-
lutionaryalgorithmsandrankingmethodstotheweather
routing for ships with hybrid propulsion. Zachodniopo-
moski Universityof Technology.
Wi sniewski, B. 1991. Methods of routeselection for asea
goingvessel (inPolish), Gdansk: WydawnictwoMorskie.
Wi sniewski B., Chomski J. 2005. Evolutionary algorithms
and methods of digraphs in the determination of ship
time-optimal route, 2nd International Congress of Seas
andOceans, Szczecin-
Swinouj scie.
429
10.4
Onthefuel savingoperationfor coastal merchant shipsusing
weather routing
K. Takashima& B. Mezaoui
Graduate School, Tokyo University of Marine Science and technology, Tokyo, Japan
R. Shoji
Tokyo University of Marine Science and technology, Tokyo, Japan
ABSTRACT: Itiswell knownthatWeatherRoutingisoneof theeffectiveshipoperationmethodstoreducefuel
consumptionandmanystudieshavebeenconductedtodeveloptheeffectivecalculationmethods. However, most
studieswereperformedfocusingontheoceangoingships, andtherewerefewstudiesmadefor coastal ships.
Theauthorsproposeaminimumfuel routecalculationmethodfor coastal shipsthat usethepreciseforecasted
environmental dataandthepropulsionperformancedataof theshiponactual seas. Intheproposedmethod, we
usetheDijkstrasalgorithmtocalculateanoptimumminimumfuel routesuitablefor coastal ships. Simulation
studywascarriedouttoevaluatetheeffectivenessof theproposedmethodusingtwocoastal ships. Astheresult
of study, theauthorsconfirmedthattheproposedcalculationmethodiseffectivefor fuel consumptionreduction
andisapplicablefor theoperationof coastal merchant ships.
1 INTRODUCTION
Inthelateyears, theshipoperationcostincreaseddue
to the raise of oil prices and the reduction of CO
2
and NO
x
gas emission havebecomeaurgent matter
toprotect theenvironment.
Uptonow, variousresearchesontheweather rout-
ing(hereafter WR) hadbeenconductedandvarious
calculationmethods weredevelopedinorder to find
the safest route, shortest time route, minimumfuel
route. But until now WR researches are performed
focusingontheoperationof oceangoingships. Being
mainlydevelopedforlongvoyageswithawidechoice
of routes, WR cannot be directly applied for ships
sailingonconfinedcoastal water (Haibo2005).
In the recent years there have been tremendous
advances in weather forecasting techniques, forecast
of current alsogreatlyprogressed. Takingadvantages
of these progresses we developed a routing method
withminimumfuel consumptionfor coastal ships.
Inthispaperwepresentamethodforcalculatingthe
minimumfuel consumptionroute(hereafterMFR)for
aspecifiedvoyagetimefor coastal shipsusingprecise
weather forecast dataandships performancemodel,
theresultsof thesimulationstudywiththiscalculation
methodwill alsobediscussed.
2 CALCULATIONOF MINIMUM FUEL ROUTE
USINGDJ IKSTRASALGORITHM
For calculating the minimumfuel route, Djisktra s
algorithmwasused. Thisalgorithmwasdevelopedby
Edsger W. Dijkstrain1959; it isoneof themost com-
monalgorithmsfor solvingtheshortestpathproblem,
it finds the shortest path froma single source ver-
tex to other vertices inagraphthat is weighted(non
negativelyweighted), directedandconnected.
SettingthedeparturepointasP
0
andthedestination
point as Ps, thestandardroutefromP
0
to Ps is con-
structed. A set of vertex(nodes) isconstructedonthe
perpendicular tothestandardroute(hereafter wecall
all thenodeslyingonthesameperpendicularfromthe
standardroutevertexline) (Takashima2008).
Thedistancebetweenthevertexlinesisafunction
of theships typeandaveragespeedandcanbeeas-
ily changedto accommodatethetypeof voyage; the
distancebetweeneachvertexonavertexlineisset to
2milesinthisworkbut it canalsobechanged.
Inthemethod, weproposethepropeller revolution
number is kept constant during thevoyageand only
thecoursecanbecontrolled, whichismoreinaccor-
dancewiththepracticeonboardshipwherepropeller
revolutionnumberisnotconstantlybeingchangedbut
kept constant andthecourseisgraduallyadjusted.
Thepropeller revolutionnumber is determinedso
astoreachthedestinationpoint at thedesiredtimeof
arrival.Wewill lookfortheminimumpropellerrevolu-
tionnumber thatwill allowustoreachthedestination
at thedesiredtimeof arrival, bydoingsowewill find
themost practical minimumfuel routefor thedesired
voyagetime.
Ships position can bedescribed by thefollowing
equation:
431
Figure 1. Grid points of DP to calculate minimum fuel
route.
Wheret is thetime, x thepositionof theship, S the
speedandC thecontrol parameter, whichinour case
isdependent onlyonrudder anglesincethepropeller
revolutionnumber inkept constant.
Thespeedof theshipat any instant is functionof
ships heading and response to the external weather
elements, suchaswave, windandcurrent.
Knowingtheweather elementswecandeterminethe
speedof theship, andknowingthislater allowsusto
computethetimeneeded to travel fromonenodeto
another.
Let thei-th nodeon thek-th vertex linefromP
0
beG(k, i). TheshipstartsfromG(k, i) at timet
k
and
reachesthenodeG(k 1, j) onthek 1-thvertexline
at timet
k1
(seefig.1for moredetails).
Theminimumtimeroutefromthedeparturepoint
P
0
to the destination Ps is obtained by solving the
followingiterativeequation:
WhereT
min
(G(k, i)) representstheminimumpassage
timefromthedepartureP
0
to thenodeG(k, i), and
T(G(k-1, j), G(k, i)) representsthepassagetimefrom
thepreviousnodeG(k 1, j) tothenodeG(k, i).
Eq.3means thantheminimumpassagetimefrom
departurepoint P
0
to any point G(k, i) canbedeter-
minedbyfindingtheminimumof thesumof passage
timefromG(k 1, j) toG(k, i) andtheminimumpas-
sagetimefromdeparturepointP
0
toG(k 1, j) (when
kreachesN 1, G(N 1) isPs).
If theT
min
obtainedbysolving(3) isnotequal tothe
desiredvoyagetimethepropeller revolutionnumber
is changedand(3) resolved, wewill gradually adjust
thepropeller revolutionnumber until weget aT
min
as
closeaspossibletothedesiredvoyagetime.
Theroutethus obtained can beconsidered as the
minimumfuel route for the specified voyage time.
Hereafter wewill refer tothisrouteasMFR.
TheMFR obtained by this method is not thetrue
minimumfuel routefromthemathematical point of
view, but it canberegardedas thesub-optimal route
that will allowus to reach destination at thedesired
timewith aminimumconsumption and afixed pro-
pellerrevolutionnumber. Inthismethodsincetheonly
control parameter is theships coursetheamount of
calculationislargelyreduced
3 ENVIRONMENTAL DATA
Theenvironmental datausedfor carryingsimulation
withthiscalculationmethodareforecasteddataof sur-
facewinds, waves, oceanandtidal currents, thesedata
wereusedtocalculatetheshipsspeedtroughthewater
and over theground. Theforecast dataareavailable
foreach1hour, extendingforaperiodof 72hours, the
forecast dataareupdated8timesaday(i.e. basetime
of forecast: 00,03,06,09,12,15,18,21UTC).
3.1 Wind and wave data
The wind data comprises mean wind direction and
mean wind speed; the wave data comprises the sig-
nificantwaveheight, predominantwavedirectionand
significant waveperiod.
For the forecast period up to 15 hours ahead the
forecasteddataaretheresultof theinputof thesurface
windsfromthemesoscalenumerical forecastmodel of
theJ apanMeteorological Agencyintothe3rdgenera-
tionwaveforecastmodel WAMof theJ apanWeather
Association,thedataaregivenforgridsof 2by2miles.
For theforecast periodfrom16to72hoursahead,
thedataarefromtheoutputof thewaveforecastmodel
of theJ apanMeteorological Agency, thedataaregiven
for gridsof 6by6miles.
3.2 Ocean and tidal current data
Theoceancurrent forecasteddataaretheoutput from
theJ apanCoastal PredictabilityExperiment operated
by Frontier Research Center for Global Change; the
dataaregivenfor gridsof 5by5miles.
TheTidal current forecasteddataarefromtheout-
put of thetidal calculationprogramdevelopedby the
National Astronomical Observatoryof J apan.Thedata
aregivenfor gridsof 2by2miles. Thedataaregiven
for gridsof 2by2miles
4 SPEEDANDENGINE PERFORMANCE
INSEAWAY
Two ships, A roll-on/roll-off container ship plying
betweenTokyoandTomakomai/KushiroinHokkaido
432
Table1. Principal particularsof themodel ship-A.
Lengthover all 161.13m
Lengthbetweenperpendiculars 150.00m
Breadth 24.00m
Full loaddraught 6.424m
Grosstonnage 7,323ton
Enginetype Diesel engine1
Maxenginepower 16,920kW
Normal enginepower 14,380kW
Seaspeed 23.00kn
Carryingcapacity 50trailers(12m)
200containers(12feet)
Table2. Principal particularsof themodel ship-B.
Lengthover all 159.7m
Lengthbetweenperpendiculars 152.5m
Breadth 24.2m
Full loaddraught 9.016m
Grosstonnage 13,787ton
Enginetype Diesel engine1
Maxenginepower 6,960kW
Seaspeed 13.0kn
Figure 2. Speed performance curve of model ship-A at
142RPM.
(northof J apan) andacement career plyingbetween
Ube inYamaguchi (south-east of J apan) and Tokyo
wereusedfor thesimulationto investigatetheeffec-
tivenessof theproposedminimumfuel routecalcula-
tionmethod, hereafter werefer totheRo/Rocontainer
shipasmodel ship-A andtothecement carrier ship
asModel ship-B.Theprincipal characteristicsof the
twoshipsareshowninTable1andTable2.
The speed through the water of the two ships
wascalculatedbynumericallysolvingtheequilibrium
equationbetweentotal resistance(sumof thestill water
resistance, the wind resistance and the added resis-
tance due to waves) and the propeller thrust (Kano
2008). For various rpm, wind conditions and wave
conditionweget thecorrespondingspeedthroughthe
water. In figure 2 and 3, speed performance curve
142rpm(for model ship-A) and157rpm(for model
ship-B) for various waveheights and wavedirection
fromthebowareshown. Whendrawingthesecurves,
Figure 3. Speed performance curve of model ship-B at
157RPM.
thewind speed (m/s) was taken to befour times the
significant wave height (m), the wind direction was
assumedto beequal to four times thesquareroot of
thesignificant waveheight. It canbeclearlyseenthat
thespeedreductionincreasewiththedecreaseof the
wave direction fromthe bow. In the elaboration of
these performance curves, operational limits due to
excessiveshipsmotionandaccompanyingdangerous
phenomenaarenotconsideredwhenelaboratingthese
curves.
Thefuel consumptionF inkgperhourof themodel
shipiscalculatedusingthefollowingequation
Where K is the specific fuel consumption of the
ship(formodel ship-A, K =0.180kg/kWh, formodel
ship-B, K =0.182kg/kWh) andP istheenginepower
inBHP (kW) of themodel ship.
5 RESULTSOF MFR SIMULATION
We conducted MFR simulation for the two ships
(model ship-A andmodel ship-B) usingtheproposed
calculation method. For demonstrating theeffective-
nessof theproposedcalculationmethod, wealsosim-
ulatedthefuel consumptionfor therouteusuallyused
bytheship(hereafterUR).A suitablepropellerrevolu-
tionnumber isset, thepropeller revolutionnumber is
set tobeconstant duringthevoyage, accordingtothis
and using theenvironmental data, speed and engine
performancedata, thevoyagetimeiscalculated.
If thevoyagetimeisnotclosetothedesiredvoyage
time, thepropeller revolutionnumber ischangedand
thevoyagetimerecalculated, thecalculation will be
stopped when the difference between the calculated
voyage time and desired voyage time reaches 0.1
hour. Thefuel consumptionthusobtainedisassumed
tobetheUR fuel consumption.
Thesimulationhasbeenconductedforthecondition
shownasfollows.
Model ship-A
Route: FromKushirotoTokyo(Southbound)
Termof simulation: November 2008
Departuretime: at 15:00(UTC) oneachday
433
Figure 4. Fuel consumption and fuel saving amount for
model ship-A.
Figure 5. Fuel consumption and fuel saving amount for
model ship-B.
desiredvoyagetime: 26hours
Model ship-B
Route: FromUbetoTokyo(East bound)
Termof simulation: November 2008
Departuretime: at 15:00(UTC) oneachday
desiredvoyagetime: 29hours
5.1 Comparison of fuel consumption in MFR
and UR
For achieving agood comparison between theMFR
and UR fuel consumption it would be better to use
weather data with as small error as possible. For
achievingthis, weuseonlythefirstthreehourforecast
dataof eachweatherforecastreport, hereafterwerefer
tothisdataasAnalyzedWxandtotheoriginal dataas
ForecastWx.
UsingtheAnalyzedWx,wesimulatedMFRandUR
fuel consumptionfor 1month(November 2008). The
resultsfor shipmodel-A andshipmodel-B areshown
infigure4and5respectively.
TheOmarkedcurveshowsMFRfuel consumption,
the markedcurveshowstheUR fuel consumption
andthebargraphrepresentsthesavingof fuel between
thetworoutes.
Forbothmodel ships, thereisanevidentfuel saving
between MFR and UR; for model ship-A the aver-
age saving is 2.4%, the largest is 6.9%; for model
Figure6. ComparisonbetweenMFR adUR for November
2008for model ship-A.
Figure7. ComparisonbetweenMFR adUR for November
2008for model ship-B.
ships-B the average saving is 18.4%and the largest
savingamount is22.1%.
TheMFRroutesobtainedareshownonfigure6for
ship model-A and figure7 for ship model-B, wean
noticethattheMFRtendstobefarther fromthecoast
linethantheUR.
Figure 8 and 9 show the sea current data for the
voyages with the largest amount of fuel saving. We
cannoticethat theMFR avoidsregionswithopposite
current andtakesadvantageof theregionswherecur-
rent flows in the same direction as the ships route.
Wealso compared thedifferencebetween thespeed
over groundandspeedthroughthewater for theMFR
andtheUR, for theMFR, nearlyall alongthevoyage
the speed over ground is higher that speed through
the water, which demonstrates that the MFR is the
routethattakesadvantageof theoceanandthatforthe
J apanesecoasts,theoceancurrenthasalargeinfluence
onfuel saving.
5.2 Recalculation of MFR using updated
environmental forecast
Practically usingAnalyzedWx for thecalculation is
impossible; Infactthereisatimelagof about9hours
434
Figure8. Oceancurrent datafor 20/12/2008.
Figure9. Oceancurrent datafor 27/12/2008.
betweentheforecastanditspublication, soatanytime
onlytheforecastWxdataisavailable,theAnalyzedWx
datawill notbeavailableuntil thetimelaghaspassed,
whichmeansit cannot bereallyusedfor calculation.
UsingthelatestavailableForecastWxdata, wecal-
culatedtheMFRfor model ship-A, thedeparturetime
is17/12/2008at15:00UTCfromKushiroinHokkaido
tooff Tokyo.
Hereafterwecall theMFRobtainedusingtheFore-
cast Wx dataasMFR-F andtheMFR obtainedusing
AnalyzedWxdataasMFR-A.
Wecannoticefromfigure10thatshowsbothroutes,
that theMFR-F tendsbefarer fromthecoast thanthe
MFR-A and this dueto theerror in theforecast; we
checked the accuracy of weather forecast data and
found that the Forecast Wx wind data tends to be
smaller thantheAnalyzedWxwinddata.
Topalliatetheerrorontheroutegeneratedthiserror
ontheforecast, weusererouting; reroutingconsistson
recalculatinganewroutefromthepresent positionto
thedestination point every timethereis achangein
the weather data, the ship starts fromthe departure
Figure10. ComparisonbetweenMFR obtainedusingonly
AnalyzedWxdataandusingForecastWxdata.
Figure 11. MFR obtained using Forecast Wx data with
recalculationevery3hours.
pointandsailsontheMFRcalculatedusingtheavail-
ableForecast Wx data, whenanewweather forecast
is availabletheMFR is recalculated fromtheactual
positionof theshiptothedestinationpoint usingthe
newlyavailabledata.
Figure11showsthesimulationof theMFRobtained
usingforecasteddataupdatedevery threehours. The
reroutingpointsareshownwithOmarks, thererouting
hasbeendone9timesinthisvoyage.
435
Figure12. Error of arrival timewithregardstothenumber
of recalculation.
Wealsocalculatedthedifferenceonarrival between
theMFR-A andtheMFR-F calculatedoneachrerout-
ing. If theship arrives ahead of thedesired timethe
error isdeemedpositiveandit arriveslatetheerror is
negative.
Figure 12 shows the error on arrival time with
regardstothenumberof reroutingcalculation, without
any reroutingtheerror onarrival timeisaround28
minutes, with one rerouting recalculation the error
decreasesto9minutesandwithamaximumnumber
of recalculationtheerror isaround3minutes.
Usingreroutingcalculationtheerroronarrival time
canbereducedtoanacceptablevalue.
6 CONCLUSIONS
In this paper, a method for achieving energy saving
for coastal merchant shipsusingweather routingwas
proposed.AnoptimizationmethodbasedonDijkstras
algorithmusingweather forecast datawas proposed.
Two ships, one is a RO/RO container ship plying
between Kushiro in north J apan andTokyo, another
isacement carrier plyingbetweenUbeinwest J apan
andTokyoweretakenasmodels, thespeedandengine
performancesinwavesof bothshipsweredetermined,
simulationswerealsoconducted.
Theresultsof onemonthsimulationshowsthat the
MFRobtainedusingtheproposedcalculationmethod
allows to save a large amount of fuel, the average
saving for two model ships is 2.4% and 18.4%, the
maximumsavingis6.9%and22.1%respectively.
ThereisastrongoceaniccurrentalongtheJ apanese
coast, the proposed MFR calculation method, takes
advantageof thiscurrent andachievesagoodenergy
saving.
Recalculation of the MFR based on the updated
weather forecast data during the voyage allows to
reducetheeffect of theforecast error.
For the further development of this research, a
conceptof riskof delaywill beintroducedtothecalcu-
lationalgorithm,usingtheinformationontheaccuracy
of wind/waveforecast, thepossibleerroronthearrival
timeisdeterminedandaminimumfuel routearriving
at thedestinationpoint withaspecific probability of
theriskof delaycanbecalculated.
This study was done as a part of the Research
andDevelopmentof Environment-HarmonizedOper-
ationPlanningSupport Systemfor coastal ships by
NewEnergy andIndustrial Technology Development
Organization(NEDO).
REFERENCES
Haibo, X. & et al. 2005. A Study of Weather andOceanfor
Sailing Ship in Coastal SeaArea Basic Simulation of
Ship Positioning by Ship Maneuvering and Experiment
byaReal Ship-. J. Kansai Soc. N. A., Japan, No.243. 159
166(inJ apanese)
Kano. K. & et al. 2008. Energy SavingNavigationSupport
Systemfor Coastal Vessels. Papers of National Maritime
Research Institute. vol.4. 3572(inJ apanese)
Takashima, K. & et al. 2008. Energy Saving Operation for
Coastal ShipsBasedonPreciseEnvironmental Forecast.
The Journal of Japan Institute of Navigation vol. 118: 99
106(inJ apanese)
Dijkstra, E. W. 1959. A NoteonTwoProblemsinConnexion
withGraphs. Numerische Mathematik 1: 269271
Makishima, T. & et al. 1983; 1984; 1985. Report of the
Basic Research on ShipWeather Routing 1, 2, 3. Tokyo
University of mercantile marine(inJ apanese)
436
10.5
Solvingmulti-shipencounter situationsbyevolutionarysetsof
cooperatingtrajectories
R. Szapczy nski
Gda nsk University of Technology, Gda nsk, Poland
ABSTRACT: Thepaper introducesanewapproachtosolvingmulti-shipencounter situationsby combining
someof theassumptionsof gametheorywithevolutionaryprogrammingtechniques. A multi-shipencounter is
heremodelledasagameplayedbythinkingplayers theshipsof different andpossiblychangingstrategies.
Thesolution anoptimal set of cooperating(non-colliding) trajectoriesisthenfoundbymeansof evolutionary
algorithms.Thepapercontainsthedescriptionof theproblemformulationaswell asthedetailsof theevolutionary
program. Themethodcanbeusedfor bothopenwatersandrestrictedwater regions.
1 INTRODUCTION
Thetwomainapproachestotheproblemof determin-
ing optimal ship trajectories in encounter situations
arethemethodsbasedoneither differential gamesor
evolutionary method. The methods based on differ-
ential gameswereintroducedbyLisowski (Lisowski,
2005). Theyassumethattheprocessof steeringaship
in multi-ship encounter situations can be modelled
as a differential game, played by all ships involved,
eachhavingtheir strategies. Thegameisdifferential,
sinceit describes thedynamics andkinematics of all
ships. Themethodsmainlimitationsincludethehigh
computational complexityanddifficultiesinhandling
thestationaryobstaclesandshipdomainsother thana
circle(itsradiusbeingthesafedistance).
Thesecondapproach theevolutionarymethodof
findingthetrajectoryof theownshiphasbeendevel-
oped by

Smierzchalski (
Smierzchalski, 1998). It has

been among the first methods that utilized the con-
ceptof ashipdomaininsteadof safedistancebetween
ships. Themethodassumesthekinematical model of
the own ship and aims to find an optimal balanced
trajectory (the balance being between the costs of
deviation froma given trajectory and the safety of
avoidingstaticanddynamicobstacles). Foragivenset
of pre-determinedtrajectoriesthemethodfindsasafe
trajectory, which is optimal according to the fitness
function the optimal safe trajectory. The methods
main limitation is that it assumes the target motion
parameters not to changeand if they do change, the
owntrajectoryhastoberecomputed.
Theapproachproposedherecombinessomeof the
advantages of both methods: the low computational
time, supportingall domainmodelsandhandlingsta-
tionaryobstacles(all typical forevolutionarymethod),
withtakingintoaccountthechangesof motionparam-
eters(changingstrategiesof theplayersinvolvedina
game). Therefore, insteadof findingtheoptimal own
trajectoryfortheunchangedcoursesandspeedsof the
targets, aset of optimal cooperatingtrajectoriesof all
shipsissearchedfor.
The next section presents a formulation of an
optimisationproblem. Thenthestructureof anevolu-
tionarypopulationmember anditsevaluationmethod
aredescribedincludingadiscussionof theconstraints
andfitnessfunction. Somedetailsonthemechanisms
of evolution(includingspecialisedfunctionsandoper-
ators) arefurtherprovided. Finallythepapersummary
ispresented.
2 OPTIMISATIONPROBLEM
It isassumedthat wearegiventhefollowingdata:
stationary constraints (obstacles and other con-
straintsmodelledaspolygons),
positions, coursesandspeedsof all shipsinvolved,
shipdomains,
times necessary for accepting and executing the
proposedmanoeuvres.
Obstacles, shippositionsandshipmotionparame-
tersareprovidedbyARPA (AutomaticRadar Plotting
Aid) systems. Shipdomainmay bedeterminedbeing
givenaparticular shipmotionparametersandlength.
By default, Coldwell (Coldwell, 1982) domain (an
off-centredellipse) is applied. Thenecessary timeis
computed on thebasis of navigational decision time
and the ships manoeuvring abilities. By default a
6-minutevalueisusedhere.
Knowingtheseparameters,thegoal istofindtheset
of trajectories, whichminimizestheaveragewayloss
spent onmanoeuvring, whilefulfillingthefollowing
conditions:
noneof thestationaryconstraintsareviolated,
noneof theshipdomainsareviolated,
437
Figure 1. An obstacle (black colour) surrounded by its
automaticallygenerateddomain(greycolour).
the minimal acceptable course alteration is not
lesser than15degrees,
themaximal acceptablecoursealterationis not be
larger than60degrees,
speedalterationarenotbeappliedunlessnecessary
(collisioncannotbeavoidedbycoursealterationup
to60degrees),
ashiponlymanoeuvres, whenit isobligedto,
manoeuvrestostarboardarefavouredovermanoeu-
vrestoport board.
Thefirst two conditions areobvious: all obstacles
havetobeavoidedandtheshipdomainisanareathat
shouldnotbeviolatedbydefinition.All theothercon-
ditions areeither imposed by COLREGS (Cockroft,
1993) (International Regulations for PreventingCol-
lisionsat Sea) or by theeconomics. Inparticular, the
coursealterationslesserthan15degreesarenotalways
detectedbytheARPA systems(andthereforemaylead
to collisions) and the course alterations larger than
60 degrees are highly inefficient. Ships should only
manoeuvrewhennecessary, sinceeachmanoeuvreof
ashipmakes it harder totrack its motionparameters
for theother shipsARPA systems.
2.1 Ship domains and obstacle domains
Each stationary constraint is defined as a polygon
given as a sequence of the coordinates of its ver-
tices. Eachsuchpolygonisthensurroundedby addi-
tional domain, whose dimensions are computed by
themethod. A domain sizeis specified by theuser;
by default a 0.25 nautical mile distance is used. An
example of an obstacle and its domain is shown in
Figure1.
As for theship domains, themethod supports the
followingshipdomainmodels:
acircle-shapeddomain(traditional domainshape),
an off-centred circle (domain shape according to
Davis)
Table 1. The dimensions of a circle-shaped domain and
Davisdomain.
Domaincenter movedfrom
theshipsposition
Domain Towards Towards
radius starboard bow
[n.m.] [n.m.] [n.m.]
A circle 0.5 0 0
Davisdomain 0.5 0.1 0.2
Table 2. The dimensions of a Fuji domain and Coldwell
domain.
Domaincenter moved
fromtheshipsposition
Ellipses Towards Towards
semi axes starboard bow
[n.m.] [n.m.] [n.m.]
Fuji Domain 0.77, 0.33 0 0
Coldwell domain 0.77, 0.33 0.1 0.2
Table3. Thedimensionsof ahexagonal domain.
Distance Distance Distance Distance
towards towards towards towards
bow stern starboard port board
[n.m.] [n.m.] [n.m.] [n.m.]
1 0.25 0.6 0.25
anellipse(domainshapeaccordingtoFuji)
an off-centred ellipse(domain shapeaccording to
Coldwell)
a hexagon (domain shape according to
Smierzchalski)
auser defineddomain (apolygon of user-defined
vertices)
Thedimensionsof thosedomainsaresetbytheuser;
thedefault dimensionvaluesaregiveninTables1-3.
3 POPULATIONMEMBERSANDTHEIR
EVALUATION
3.1 The structure of an individual
Each individual (a population member) is a set of
trajectories (each trajectory corresponding to oneof
theships involvedinanencounter). A trajectory is a
sequenceof nodes, eachnodecontainingthefollowing
data:
geographical coordinatesxandy,
thespeedbetweenthecurrent andthenext node.
438
3.2 The evaluation of an individual
The basic piece of data used during the evaluation
phaseof theevolutionary process is theaverageway
loss computedfor eachindividual (aset of cooperat-
ingtrajectories). Someof theconstraintsalsomust be
takenintoaccountduringtheevaluation.Thisincludes
violations of ship domains and violations of station-
ary constraints: both must be penalized and those
penalties must bereflected in thefitness function.
However, as for the other constraints, there are two
possibleapproaches:
1 Theseconstraintscanbeincorporatedinthefitness
function.
2 Meetingtheseconstraintscanbeachievedbyapply-
ingcertainrulesonvariousstepsof theevolutionary
processsimultaneously:
whengeneratingtheinitial population,
duringmutation,
handling the constraints violations by fixing
functions operatingonindividuals prior to their
evaluation
Thesecondapproachhasbeenchosenhere, because
of itsfaster convergencedueto:
itssimpler fitnessfunction,
avoidingtheproductionof individuals (duringthe
mutationphase), whoselowfitness functionvalue
canbepredicted.
Violations of the first two constraints (stationary
onesandshipdomains) arepenalizedasfollows. For
eachshipanditssetof stationaryconstraintviolations,
anobstaclecollisionfactoriscomputedasgivenby(4).
Foreachshipanditssetof prioritisedtargetsashipcol-
lisionfactor iscomputedasgivenby(3). Thereason,
why only collisionswithprioritisedtargetsarerepre-
sentedinevaluationis becausethemanoeuvres must
becompliantwithCOLREGS. If ashipissupposedto
stayonitscourseaccordingtotherules, thecollisionis
ignoredsoasnottoencourageanunlawful manoeuvre.
Incaseof collisionwithprioritisedtarget, theauthors
measure approachfactor f
min
(Szlapczynski, 2006b)
is used to assess the risk of a crash. Approach fac-
tor hasbeendefinedasthescalefactor of thelargest
domain-shapedareathatispredictedtoremainfreeof
other shipsthroughout thewholeencounter situation.
Each individual (a set of trajectories) is being
assignedavalueof thefollowingfitnessfunction(1):
where:
sf
i
shipcollisionfactorof thei-thshipcomputedover
all prioritisedtargets:
of
i
obstaclecollisionfactorof thei-thshipcomputed
over all stationaryconstraints:
n thenumber of ships[/],
m thenumber of stationaryconstraints[/],
i theindexof thecurrent ship[/],
j theindexof atarget ship[/],
k theindexof astationaryconstraint [/],
fmin
i,j
theapproachfactor valuefor anencounter of
shipsi andj [/],
collision_course_range
j
the range of forbidden
courses of the ship i computed for the station-
ary constraint j in the node directly preceding the
collision. [/].
Todetect thestationary constraint violationsof an
individual, all of thetrajectories arecheckedagainst
all of the constraints (which are modelled as poly-
gons) andthecollisionpointsarefound. Analogically,
to detect the domain violations of an individual, all
of its trajectories are checked against each other to
find potential collision points. Unfortunately, apply-
ing ship domains instead of safedistances results in
higher computational complexity and theprocess of
evaluation consumes the majority of the evolution-
ary algorithms computational time. Thereforeit has
been decided to invest some computational time in
specialisedfunctions(validationsandfixing) andspe-
cialised operators, which speed up the convergence
to optimal solution, thus decreasing the number of
thegenerations and consequently decreasing the
number of evaluations.
4 EVOLUTIONARY PROCESS
4.1 Generating the initial population
The initial population contains three types of
individuals:
asetof original shiptrajectories segmentsjoining
thestart anddestinationpoints
sets of safe trajectories determined by other
methods,
randomlymodifiedversionsof thefirsttwotypes
sets of trajectories with additional nodes, or with
somenodesmovedfromtheiroriginal geographical
positions.
Thefirsttypeof individualsresultsinanimmediate
solutionincaseof no collisions, or infaster conver-
genceincaseof onlyconstraintviolations.Thesecond
type provides sets of safe (though usually not opti-
mal) trajectories. Theyaregeneratedbymeansof two
methods: oneoperatingonraster grids(Szlapczynski,
2006a) andtheotherplanningasequenceof necessary
manoeuvres (Szlapczynski, 2008). Finally, the third
typeof individuals(randomlymodifiedindividualsof
theprevioustwotypes)isusedtogeneratethemajority
439
of adiverseinitial populationandthus to ensurethe
vast searchingspace.
4.2 Trajectory validations and fixing
Representingall of theconstraintsinthefitnessfunc-
tion would result in a very slow progress of the
evolutionary algorithm. A good example here is the
rule, accordingtowhichacoursealterationshouldnot
be lesser than 15 degrees. Had this constraint been
takenintoaccountbythefitnessfunction,slightcourse
alterations, (for example about 5 degrees) would be
penalizedseverely. Ontheotherhand, individualswith
no coursealterations or withlargecoursealterations
wouldnotbepenalized.Theindividualswithnocourse
alterationsaswell asthosewithlargecoursealterations
wouldlikelybechosenfor crossingandwouldspawn
offspring, whichagain wouldprobablybepenalized
for slight course alterations. Therefore some of the
constraints areappliedas validatingandfixingfunc-
tions. Eachtrajectoryof anindividual isanalysedand
in case of unacceptable manoeuvres (such as slight
course alterations), the nodes being responsible are
movedsoas toroundamanoeuvreupor downtoan
acceptablevalue.
4.3 Specialised operators
Theevolutionary operators, whichhavebeenusedin
thecurrent versionof themethod, canbedividedinto
thefollowinggroups.
1 Crossingoperators:twotypesof crossinghavebeen
used, both operating on pairs of individuals and
usedtogenerateoffspring:
an offspring inherits whole trajectories from
bothparents.
each of the trajectories of the offspring is a
crossing of the appropriate trajectories of the
parents.
2 Operators avoiding collisions with prioritised
ships: three types of these operators have been
used, all operatingonsingletrajectories. If acol-
lision with a prioritised ship has been registered,
dependingonthecircumstances(coordinatesof the
collision point, way loss, number of target ships
andnumberof nodeswithinatrajectory) oneof the
followingoperatorsischosen:
nodemoving: thenodeclosest to thecollision
point ismovedawayfromit,
segment moving: two nodes, which areclosest
tothecollisionpoint aremovedawayfromit,
nodeinsertion: anewnodeis insertedbetween
the two nodes closest to the collision point in
such a way that the collision will probably be
avoided,
Noneof theseoperations guarantees avoiding the
collisionwithagiventarget but they arelikely to
dosoandthereforehighlyeffectivestatisticallyand
suitablefor theevolutionarypurposes.
3 An operator avoiding collisions with obstacles. a
coursealterationmanoeuvreis made(anewnode
is inserted) insuchaway, that thenewtrajectory
segmentdoesnotcrossagivenedgeof anobstacle
(polygon).
4 Randomoperators: threetypes of theseoperators
have been used, all operating on single trajecto-
ries. Theyaremostlyusedwhenagiventrajectory
does not collide with any prioritised trajectories;
otherwise one of the abovementioned collision
avoidanceoperatorsismorelikelytobeused.These
randomoperatorsinclude:
nodeinsertion: anodeisinsertedrandomlyinto
thetrajectory,
node deletion: a randomly selected node is
deleted,
nodes joining: two neighbouring nodes are
joined, thenewnodebeingthemiddlepoint of
thesegment joiningthem,
node mutation: a randomly selected node is
moved(itspolar coordinatesarealtered).
A trajectory mutation probability decreases with
theincreaseof thetrajectory fitness value(2), so as
to mutate the worst trajectories of each individual
first, without spoilingitsbest trajectories. Intheearly
phaseof theevolutionall randomoperators: thenode
insertion, deletion, joining and mutation areequally
probable. Inthelater phasenodemutationdominates
withitscoursealterationchangesanddistancechanges
decreasingwiththenumber of generations. For node
insertionandnodemutationinsteadof Cartesiancoor-
dinatesxandy,thepolarcoordinates(coursealteration
anddistance) aremutatedinsuchaway that thenew
manoeuvresarebetween15and60degrees.Asaresult,
fruitlessmutations(theonesleavingtoinvalidtrajec-
tories) areavoidedfor thesetwooperators. Operating
onpolar coordinates(courseanddistance) insteadof
Cartesianxandycoordinatesalsomakesitmorelikely
to escape the local optimums because manoeuvres
bothvalidandlargelydifferingfromthepast onesare
morelikelytobegenerated.
4.4 Selection
In the currently developed version of the method
the truncation selection has been applied with the
truncation threshold of 50%. Although this kind of
selectionmeans aloss of diversity, it has thebenefit
of afast convergenceto asolution. When combined
with abovementioned, specialised operators (espe-
ciallymutationusingpolar coordinatesandoperators
aimingatcollisionavoidance), thesolution, whichthe
processconvergesto, isusuallytheoptimal one.
4.5 Stop condition
The evolutionary process is stopped if one of the
followinghappens:
themaximumnumber of generationsisreached,
thetimelimit isreached,
further evolution does not bring significant
improvement.
440
Figure2. A final set of cooperatingevolutionarytrajectorieswithFuji domainapplied.
Figure3. A final set of cooperatingevolutionarytrajectorieswithColdwell domainapplied.
441
5 SIMULATIONEXAMPLES
Two examples simulationresults areshowninFig-
ure2 and Figure3. In both cases thesamescenario
hasbeenused, onlywithdifferent shipdomainmodel
applied. Fuji domainhasbeenappliedinthesituation
depicted in Figure 2 and Coldwell domain in the
situationdepictedinFigure3. As aresult, slight dif-
ferencesinsizesandshapesof thedomainsusedhave
causeddifferencesinthetrajectories.Mostnotableone
is that the ship starting in the upper right corner of
thepictureshadtoperformanextramanoeuvretothe
starboard in Figure 3, to avoid a collision with one
of the other ships. The general tendencies of move-
mentof othershipshaveremainedunchangedhowever.
All of theshipschosemanoeuvrestostarboard, unless
coursealterationtoportboardwasforcedbystationary
constraints.
6 SUMMARY
Inthepaperanevolutionaryapproachtosolvingmulti-
ship encounter situations has been proposed. This
approachisageneralizationof evolutionarytrajectory
determining: aset of trajectoriesof all shipsinvolved,
instead of just the own trajectory, is determined. A
method implementing this new approach has been
developed.Themethodavoidsviolatingthetargetship
domains and the given stationary constraints, while
minimizingway loss andobeyingtheCOLREGS. It
also benefits fromanumber of author-designedspe-
cialized functions and operators, resulting in faster
convergencetotheoptimal solution.
REFERENCES
Cockroft A.N., Lameijer J.N.F 1993: A Guideto Collision
AvoidanceRules, Butterworth-HeinemannLtd.
Coldwell T.G. 1982. MarineTraffic Behaviour inrestricted
Waters, The Journal of Navigation vol. 36: pp. 431444.
Lisowski J.2005Dynamicgamesmethodsinnavigator deci-
sionsupportsystemfor safetynavigation, Proceedingsof
theEuropeanSafetyandReliabilityConferencevol. 2, pp
12851292.
Szlapczynski R. 2006a. A new method of ship routing on
raster grids, withturnpenalties andcollisionavoidance,
The Journal of Navigation vol. 59, issue1: pp. 2742.
Szlapczynski R. 2006b. A unifiedmeasureof collisionrisk
derivedfromtheconcept of ashipdomain, The Journal
of Navigation vol. 59, issue3: pp. 477490.
Szlapczynski R 2008. A new method of planning colli-
sion avoidance manoeuvres for multi target encounter
situations,J ournal of Navigation,61,issue2,pp.307321.
Smierzchalski R. 1998Syntezametodi algorytmwwspo-

magania decyzji nawigatora w sytuacji kolizyjnej na
morzu. Prace Naukowe Wy zszej Szkoy Morskiej w
Gdyni.
442
10.6
Evolutionarysetsof cooperatingtrajectoriesinmulti-shipencounter
situations usecases
R. Szapczy nski
Gda nsk University of Technology, Gda nsk, Poland
ABSTRACT: Thepaper discusses theadvantages of anewapproachtosolvingshipencounter situations by
combiningsomeof theassumptionsof gametheory withevolutionary programmingtechniques. A multi-ship
encounter isheremodeledasagameplayedbythinkingplayers theshipsof differentandpossiblychanging
strategies. Thesolution anoptimal set of cooperating(non-colliding) trajectories is thenfoundby means of
evolutionaryalgorithms. Thepaper containstheresultsobtainedfor different casesof situationsincludingopen
waters and restricted water regions and thediscussion of theseresults. Thealready developed version of the
methodisfast enoughtobeappliedinthereal timeon-boardcollisionavoidancesystemsorVTSsystems.
1 INTRODUCTION
Themainapproachestotheproblemof planningopti-
mal ship trajectories in encounter situations are the
methods basedoneither differential games andevo-
lutionary method. Themethods basedondifferential
gameswereintroducedbyLisowski (Lisowski, 2005).
They assume that the process of steering a ship in
multi-shipencounter situations canbemodelledas a
differential game, played by all ships involved, each
havingtheir strategies.
Thesecondapproach theevolutionarymethodof
findingthetrajectoryof theownshiphasbeendevel-
oped by

Smierzchalski (
Smierzchalski, 1998). For a

given set of pre-determined trajectories the method
finds asafetrajectory, whichis optimal accordingto
thefitnessfunction theoptimal safetrajectory. The
methods mainlimitationis that it assumes thetarget
motionparametersnottochangeandif theydochange,
theowntrajectoryhastoberecomputed.
Theapproachproposedherecombinessomeof the
advantages of both methods: the low computational
time, supportingall domainmodelsandhandlingsta-
tionaryobstacles(all typical forevolutionarymethod),
withtakingintoaccountthechangesof motionparam-
eters (changing strategies of the players involved in
a game). Therefore, instead of finding the optimal
owntrajectory for theunchangedcoursesandspeeds
of the targets, a set of optimal cooperating trajecto-
ries of all ships is searched for. The early version
of this method has already been described by the
author in (Szlapczynski, in press). The method had
been successfully implemented and tested and the
paper presentssomerepresentativesimulationresults
coveringdifferent usecases.
Therestof thepaperisorganizedasfollows.Section
2 contains simulation parameters and is followed by
several typesof scenarios, wheretheproposedmethod
Table1. Thedimensions of Coldwell domain used in the
simulationscenarios.
Domaincentremoved
fromtheshipsposition
Ellipses Towards Towards
semi axes starboard bow
[n.m.] [n.m.] [n.m.]
Coldwell domain 0.77 0.1 0.2
0.33
is able to predict the behaviour of targets and plan
owncollisionavoidancemanoeuvreinadvance, even
thoughsometimesthereisseemingly noneedtoper-
forma manoeuvre at the moment. These scenarios
includethefollowingsituations: atarget changingits
coursebecauseof landmass (Section3), aprioritised
target changing its course because of another target
(Section4) andfinallymulti-shipencounterswithall
shipsmanoeuvringtoavoidcollisionsonopenwaters
(Section 5) and restricted area (Section 6). The last
sectioncontainsthepaperssummaryandconclusions.
2 SIMULATIONPARAMETERS
In the scenarios below each stationary constraint is
surroundedby adomain of thesizespecifiedby the
user; thedefaultsafedistanceof 0.25nautical milehas
beenused. Asfor shipdomains aColdwell domain
(Coldwell, 1982) has been assumed for all ships. Its
defaultdimensions(usedinall scenarios) aregivenin
Table1.
The evolutionary parameters values are listed in
Table2.
443
Table 2. The evolutionary parameters values used in the
simulationscenarios.
Number of generations 100
Populationsize 100
Selectionmethod Truncationselectionwith
thetruncationthresholdof 50%
Mutationprobability Dependsonthetrajectory
(for asingletrajectory) fitnessvalue(from0%for
perfect trajectoriesto100%
for unacceptableones)
Table3. Themotionparametersof bothships.
Position Coordinates
coordinatesat of the
thestart destination
time[n.m.] point [n.m.]
Speed Course
[knots] [degrees] x y x y
Ownship 12 90 0 2 10 2
Target 1 12 270 10 3 0 3
Figure 1. The own ships current course does not collide
withthelandmass(black) or itsdomain(grey).
3 SCENARIO1: A TARGET MANOEUVRING
TOAVOIDCOLLISIONWITHLANDMASS
The positions, destination points and speeds of the
shipsaregiveninTable3.
Thecurrentcourseof theownshipdoesnotcollide
withneitherthelandmass(Figure1) northetargetship
(Figure2).
However, thetargetscoursecollideswiththeland-
massandthetargetwill performacollisionavoidance
manoeuvre(Figure3).
The method predicts the targets manoeuvre and
planstheownshipsmanoeuvreinadvance. Thefinal
evolutionarysetof twocooperatingtrajectoriesof both
shipsisshowninFigure4.
Figure2. Theownship(left)coursedoesnotcollidewiththe
current courseof thetarget (right). Landmassisnot shown.
Figure 3. The targets current course collides with the
landmass so the target will performa collision avoidance
manoeuvre.
4 SCENARIO2: A TARGET MANOEUVRING
TOAVOIDCOLLISIONWITHANOTHER
TARGET
Thecurrent courseof theown ship does not col-
lidewithneither of thetwoprioritisedships. Thesafe
trajectories for encounters with either target 1 only
or target 2 only are shown in Figure 5 and Figure
6 respectively. As can beseen no manoeuvres are
needed.
However, thefirst targetscoursecollideswithtar-
get 2andthetarget 2isastand-onvessel according
toCOLREGS(Cockcroft, 1993). Asaresult, thefirst
target will performacollision avoidancemanoeuvre
(Figure7).
Themethodpredictsthemanoeuvreof target 2and
planstheownshipsmanoeuvreinadvance. Thefinal
evolutionary set of three cooperating trajectories is
showninFigure8.
444
Figure4. Theevolutionaryset of thetwoships cooperatingtrajectories, whichavoidcollisionswiththelandmassandeach
other.
Table4. Themotionparametersof all ships.
Speed Course
Ownship 12 45 0 0 10 5
Target 1 8 0 5 0 5 5
Target 2 17 270 10 2.5 0 2.5
Figure 5. The own ships current course (left) does not
collidewithtarget 1(right).
Figure 6. The own ships current course (left) does not
collidewithtarget 2(right).
5 SCENARIO3: A GROUP OF SHIPS
MANOEUVRINGTOAVOIDCOLLISIONS
WITHEACHOTHER ONOPENWATERS
Thecurrent courses of theships aresuch that all
of theships wouldcollideinthecentral point of the
area.Thefinal evolutionarysetof thesafecooperating
trajectories, whichavoidcollisionswitheachother, is
showninFigure9.
445
6 SCENARIO4: A GROUP OF SHIPS
MANOEUVRINGTOAVOIDCOLLISIONS
WITHEACHOTHERANDOBSTACLES
Thecurrent courses of all four ships collidewith
each other or the landmass. The final evolutionary
set of four cooperating safe trajectories is shown in
Figure10.
Figure7. Thefirsttargetscurrentcourse(left)collideswith
target 2 (right) and target 1 performs collision avoidance
manoeuvre.
Figure8. Theevolutionaryset of thethreeshipscooperatingtrajectories, whichavoidcollisionswitheachother.
Speed Course
Ship1 5 0 5 0 5 5
Ship2 14 45 0 0 10 10
Ship3 10 90 0 2.5 10 2.5
Ship4 14 135 0 5 10 0
Ship5 5 180 5 5 5 0
Ship6 14 225 10 5 0 0
Ship7 10 270 10 2.5 0 2.5
Ship8 14 315 0 10 0 5
Speed Course
Ship3 10 90 0 2.5 10 2.5
Ship4 14 135 0 5 10 0
Ship6 14 225 10 5 0 0
Ship7 10 270 10 3 0 3
446
Figure9. Theevolutionaryset of theeight ships cooperatingtrajectories, whichavoidcollisionswitheachother.
Figure10. Theevolutionary set of thefour ships cooperatingtrajectories, whichavoidcollisions witheachother andthe
landmass(landmassinblack, landmassdomainingrey).
447
7 SUMMARY ANDCONCLUSIONS
In the paper some examples of use of evolutionary
approach to solving ship encounter situations have
been proposed. This approach is a generalization of
evolutionary trajectory determining: a set of trajec-
tories of all ships involved, instead of just the own
trajectory, is determined. The method avoids violat-
ing thetarget ship domains and thegiven stationary
constraints, whileminimizing way loss and obeying
theCOLREGS. Ashasbeenshownincaseof simple
scenarios (whereshippriorities areclearly described
by COLREGS), the method is able to predict the
probable manoeuvre of a target and plan own ship
manoeuvrein advance. Becauseof its lowcomputa-
tional timethemethodcanbeappliedtobothon-board
collision-avoidancesystemsandVTS systems. Inthe
former it couldbeusedfor solvingsimplescenarios
andassessment of morecomplex ones, inthelatter it
couldsuccessfullysolveanygivenscenarioinvolving
multipleshipsandstationaryconstraints.
REFERENCES
Cockcroft A.N., Lameijer J.N.F 1993: A Guideto Collision
AvoidanceRules, Butterworth-HeinemannLtd.
Coldwell T.G. 1982. MarineTraffic Behaviour inrestricted
Waters, The Journal of Navigation vol. 36: pp. 431-444.
Lisowski J.2005Dynamicgamesmethodsinnavigator deci-
sionsupportsystemfor safetynavigation, Proceedingsof
the European Safety and Reliability Conference vol. 2,
pp1285 1292.
Szlapczynski R (in press). Evolutionary approach to solv-
ing multi-ship encounter situations, Polish Journal of
Environmental Studies.
Smierzchalski R. 1998Syntezametodi algorytmwwspo-

magania decyzji nawigatora w sytuacji kolizyjnej na
morzu. Prace Naukowe Wy zszej Szkoy Morskiej w
Gdyni.
448
Chapter 11. Hydrometeorological aspects
11.1
Contemporaryproblemsof navigationnearlypole
E.M. Lushnikov
Maritime Academy, Szczecin, Poland
ABSTRACT: Theproblemof navigationatgeographical polesisconsidered. Meansandmethodsof itsrealiza-
tionareofferedwithintheframeworkof classical navigation. Bringsanattentiontothequestiononproduction
of pseudomercatorsnavigational charts.
1 INTRODUCTION
TheArctic Oceanrepresents anenormous reserveof
mankindfor themost variousaspects.
At first theArctic Ocean is extremely favourable
seawaythroughall east hemisphere.
At secondtheArcticOceanisanenormoussource
of natural resources, whichuseelsebegins.
Themost activein part of development of Arctic
regionsdemonstratesRussia.Theactivityof Russiain
ArcticOceanspeaksparametersof loadtransportation
by Northernseaway. Russiaistheuniquecountry in
theworldwhichhasthenuclear ice-breakingfleet of
tenunits.
2 NUCLEARSICE-BREAKERSFLEET
OF RUSSIA
Firstnuclearice-breakerLeninhasbeenconstructed
at the Admiralty factory in 1959 years. The next
nuclear ice-breakers should be were building at the
Baltic factory of Saint Petersburg. The nuclear ice-
breakers Tajmyr and Vaigach have been con-
structedinFinland,andanuclearstuffingwasinstalled
at theBalticfactoryof Saint-Petersburg.
At time of industrial depression in Russia the
nuclear ice-breaking fleet has been compelled to
search for sources of financing. For this purpose
nuclear ice-breakerstwentyyearsmaketourist flights
toNorthPole.
Ice-breakersof aclassArctic makeabasisof the
Russian nuclear ice-breaking fleet. Six ice breakers
from10concerntothisclass. Thisseriesof avessels
wasunder constructionduring30years, thereforethe
last of vessels haveessential differences. Thevessels
of thistypehavecharacteristics:
Length 150m. cancel fullstop(136onawater-
line);
Width 30m(28onawaterline);
Thedraft 11,08m.;
Theheight 55m. cancel fullstop(fromkeel) up
totopof mast;
Themaximal speed 23,8knots;
Crew 150person
Passengers 100person(in50cabins)
Power installation tworeactorsOK-900capacity
on171MWevery.
Theseice-breakershavethedoublebody.Thickness
of theexternal bodyinplacesicecontactis48mm, and
inother places25mm.
At normal operating mode it is enough one of
tworeactors, but duringnavigationareinvolvedboth
(at lessthan50%of capacity).
3 EXPANSIONTONORTHPOLE OF RUSSIA
ANDOTHER COUNTRY
From1989. nuclear ice-breakers go to North Pole
withtourists. Cost of cruisemakesabout 25000$.
Ice breaker Yamal (see fig. 1) in july august
specializesontourism,havingmadealreadymorethan
50campaignstoapole.
In1998years thenuclear ice-breaker Arctic for
the first time has carried out nearly pole ice post-
ing of German scientifically research ice breaker
Polarstern. At 2004 years the ice-breaker Soviet
Union together with Swedish diesel ice breaker
Oden providedicesafety of chisel worksonNorth
Polefromavessel Vidar Viking.
Recently Russiaand theUSA havesubmitted for
considerationtheUnitedNationsaquestiononexpan-
sionof theshelf territoriesinareaof Arcticocean.
For asubstantiationof theclaimsRussiahasmade
researchesinareaof NorthPole. Itwasimmersedona
bottomthedeep-water deviceinapointof NorthPole.
It wasestablishedat thebottomamemorablesignof
Russiafromthetitan.
Claims of a similar sort on expansion of territo-
ries of shelf zones are possible as on the part of
Canada,Iceland,DenmarkandNorway.Similarclaims
451
Figure1. Nuclear ice-breakerJamal.
isexplainedbypresenceintheArcticzoneof thebig
stocksof oil andgas.
Already practical development of Arctic oceanby
Russiainareaof Shtokmanoil fieldbegins. All this
will inevitably lead to wider useof theArctic water
areasfor navigationandeconomicactivities.
4 THE PROBLEMSOF EXOTICAL
NAVIGATIONTONORTHPOLE
The navigation nearly of geographical poles has a
general differencetotraditional navigation.
For thepoles it is losesensesuch major classical
concepts of navigation, as ameridian of observer, a
parallel of observer, acourseof vessel, abearing of
subject, rhumblinebearing, great circlebearing.
Forsingle(exotic)expeditionsthereislongprepare,
all beforehandisthoughtover andrehearsed, involved
scientificforcesandmeans.
Inconditionsof massactions(development of sea
andbottomsresources) thereisaquestiononthemax-
imal simplificationof process of navigationinthese
areas. Itisnecessarytomakeanavigationinthemax-
imal degreesimilar toconditions of usual navigation
withuseof standardmeansandmethods.
Thegreatestconvenienceforplottinggivesthemap
of Mercatorprojection.Thisprojectionisequiangular.
Thelineof aconstant course rhumb lineis repre-
sented on amap by adirect line. This circumstance
doesaworkof plottingof awayextremelysimpleand
convenient.
The main lack of such projection is so, that with
change of geographical latitude the scale of a map
changes proportionally to sec , in this connection,
in latitude more 85
use of mercator projections is

inexpedient basically.
Difficultiesof theArcticnavigationarenot limited
toproblemsof usehabitual mercator maps.
In these latitude there is practically unsuitable a
gyrocompass. Onapole, agyrocompassweshall fail
basically, and the concept of a course degenerates
owingtoabsenceof ameridianof theobserver.
At navigation nearly magnetic poles which are
locatedfar enoughfromgeographical poles for nav-
igation there is completely not suitable a magnetic
compass. Thedirecting moment of amagnetic com-
pass on a magnetic pole is equal to zero. Fromthis
reason a magnetic compass is disabled. Here it is
necessary to notice, that by definition the magnetic
compass is a device for the indication of a mag-
neticmeridian. However inapoint of amagneticpole
all magnetic meridians is crossed. The concept for
meridianof observer fromthisreasonisdegenerates.
The position of northern magnetic pole for 1st
J anuary of 2005 year is situated at =82
0
07
/
N,
=114
0
04
/
W. The coordinates of a southern mag-
neticpolefor 1stjanuaryof 2004year is =63
0
05
/
S,
=138
0
00
/
E.
Nearly of magnetic poles the gyrocompass has a
admissible accuracy, and the map of Mercator quite
providesarequirementsof navigation.
Apparently, usual navigation will be completely
paralysedonlyat geographical poles.
Classical navigation near to geographical poles it
ispossibletoprovidebymagneticcompassandpseu-
domercatorsmap. Pseudomercatorsmapdiffersfrom
mercatorsmapbythewayof construction.
Theaxisof Mercatorscylinder passesthroughthe
centreof theEarthandgeographical poles. Theaxis
pseudomercators cylinder passes through thecentre
of thegroundandacorrespondingmagnetic poleof
theground(northernor southern).
Thus, the angle between axes of Mercators and
pseudomercators cylinder is equal to the polar dis-
tance measuredfromageographical poleuptothe
correspondingmagneticpole(fig. 2).
Theturn of theprojectivecylinder at pseudomer-
cators projection leads to respective alterations of
the habitual image of a ground surface which was
observedat mercatorsmap. Thesechanges, however,
do not render aspecial influenceon perception of a
mapthroughnavigator, soashabitual mercatorspro-
jectionalsodeformstheformof terrestrial objectsand
themorestrongly, thantheyarecloser topoles.
Thepolar capatageographical polefromaparallel
85
andaboveexcludes useof Mercator maps anda

gyrocompass.
At thepseudomercators projections this polar cap
issituatedoutsidethenewrestrictivecircle.
Itwill allowatnavigationneartogeographical poles
to use a pseudomercators map in aggregate with a
magneticcompassandtocontinuenavigationasusual.
452
Figure 2. The projection cylinder for Mercators and
Pseudomercators maps a Mercators projection, b
Pseudomercators.
Table 1. Means of classical navigation at navigation in
subpolar areas.
Kindof water area
Near toamagneticpole Near toageographical pole
1. NavigatingMercators 1. Navigatingpseudomercators
chart chart
2. Gyrocompass 2. Magneticcompass
Thus, means allowing to carry out classical nav-
igation at subpolar areas look how it is shown in
table1.
Realization of classical navigation near to geo-
graphical polesdemandsnewtypeof amap, namely,
mapsinpseudomercatorsprojection.
Thegrid of such pseudomercators projections by
theformwill differ nothingfromagridof mercators
projections, but coordinatesof all pointsof asurface
of thegroundshouldbeinappropriatewaycounted.
The coordinates of magnetic poles on surface of
earth changes position. For example, the point of
northern magnetic pole recently will annually get
mixeduponaterrestrial surfaceapproximately40km.
Inthis connection, it is requiredto traceperiodically
thesechangesandtobringcorrespondingcorrections
for recalculationof amapsgrid. For electronicmaps
thisproceduredoesnot represent anycomplexities.
Hereit is necessary to notice, that magnetic poles
are located far frombeing in opposite points of the
Earth. This circumstancecompels to makeagrid of
pseudomercatorsmapfor northerngeographical pole
andsouthernpoleinseparateexecution.
Theroleof atruemeridianatpseudomercatorsmap
will becarried out alinedirected on magnetic pole.
Aswell asinmercatorsmap, vertical linesof acarto-
graphical gridareconsideredas truemeridians from
whichtruecoursesandbearingsareconsidered.
A sizes of variations V for pseudomercators map
should berendered in viewof achanged coordinate
grid. The formula for finding of the amendment to
recalculationof variationV entersthenameas:
where:
polar distanceof amagneticpole;
geographical latitudeof theship;
thedifferenceof geographical longitudes of
amagneticpoleandtheship.
5 CONCLUSION
Unification of plotting at use of pseudemercators
maps allows to avoid navigating discomfort at nav-
igation in areas of geographical poles, to remove
unnecessary stressful situations and by that to raise
safetyof navigation.
LITERATURE
www.travel.rn/news/2003/05/21/23003html
http://www.luxe.ru
453
11.2
A casestudyfromanemergencyoperationintheArcticSeas
B. Kvamstad, K.E. Fjrtoft & F. Bekkadal
A.V. Marchenko
The University Centre in Svalbard, Norway
J.L. Ervik
The Norwegian Coastal Administration, Oslo, Norway
ABSTRACT: Theobjectiveof thispaper istohighlighttheneedsfor improvedaccesstohighqualitymaritime
dataandinformationintheArctic, andtheneedtodevelopmaritimecommunicationinfrastructurewithatleast
thesamequality, intermsof availabilityandintegrity, asinother morecentralizedareas.TheforeseenArcticice
meltdownisexpectedtoprovidenewmaritimetransport corridorswithinrelatively short time, andthereisan
urgentneedtopreparefor this, toensuresafeoperationsatseaandtoprotectthevulnerableArcticenvironment.
Thispaper pointsout someof theseneedsbypresentingacasefromaformer accident intheArcticsea. The
caseshowshowthelack of proper informationanddatacomplicatestheemergency operation. Somepossible
solutionstothechallengesareproposed, andfinallythepaper brieflydiscussestheIMOe-Navigationconcept
inlight of theArcticchallenges.
1 INTRODUCTION
Emergency operations arealways critical, regardless
of the position on earth. The need for high quality
dataat theright timeisessential, andtheneediscru-
cial inall phasesof anemergencyoperation. Insome
placesonearthitis, however, moredifficulttomanage
emergencyoperationsduetoharshenvironmentsand
longdistances, lackof suitablecommunicationmeans
andpoorlydevelopedsearchandrescue(SAR) facili-
tiesandservices, whichismostdefinitelythecasefor
Arcticareas.
It isforeseenthat withinthiscenturytheNortheast
andNorthwest passagesmaywell becomealternative
transport corridors betweentheEasternandWestern
parts of theworld, and that themaritimetraffic will
increasesignificantlyintheseareas(Orheim, 2008).A
consequenceof thiswill mostcertainlybeanincreased
number of accidents that could havefatal impact on
peopleandthevulnerableArctic environments. Also,
newrequirementstomeet thenavigational challenges
will appear, such as e.g. requirements for real-time
meteorological dataupdatesandprognosestobeused
intheplanningof avoyage.
To illustrate some of the challenges pertaining to
emergency operations in the Arctic waters, a case
fromanearlier accident isdescribed. Thefocusison
theavailability of information, dataandcommunica-
tion means, and it includes all elements in an emer-
gency operation (emergency team, SAR vessel, ship
indistress, passengers, operationcentreashoreetc.).
Figure1. TheNortheast andNorthwest passages.
1.1 MS Maxim Gorkij
At 00.40 on the 17th of September 1989, the Cap-
tainonboardtheNorwegianCoast Guardvessel KV
SenjareceivedamessagefromSvalbardradio that a
vessel positioned 60 nmWest of Isfjorden required
assistance. Theshipindistress was aRussianvessel
charteredbyaGermantour operator; having953peo-
pleon board, whereof 575 passengers and 378 crew
members. It wasonitswaytotheMagdalenafjordat
Svalbard when thecrewdiscovered iceand took the
vessel closer toittoshowthepassengers.Theweather
455
Figure2. MSMaximGorkij passengers.
Photo: OddMydland.
conditionsweregood, abithazy, butnowindandonly
23mswell.At23.05MaximGorkij collidedwiththe
ice. A crucial maneuver resultedina10mlongripin
thehull in addition to somesmaller rips in thebow.
At 00.05MaximGorkijs Captainsent anemergency
messageonthedistressfrequency500kHzrequesting
assistance.
WhenKV SenjareceivedthemessagefromSval-
bard radio the vessel finished its inspections in the
areaaroundIsfjordradioandwent by22knotstothe
position of MaximGorkij. Estimated timeof arrival
was04.00, 5hoursafter thetimeof theaccident. KV
Senjadidnot haveanyinformationonwhat hadhap-
pened, whattypevessel ortheextentof theemergency.
Theonly availableinformationwas that avessel was
indistressandthepositionof thisvessel.
At 01.00KV Senjareceivedamessageviaapoor
VHF link fromMaximGorkij that thevessel took in
water,butremainedstable.At01.30KVSenjareceived
a message that passengers and crew went into the
lifeboats. On basis of this information the crew on
KV Senja started to plan the rescue operation. The
resourcestheyhadonboardwere53people, amedical
treatment capacity of 110 persons, medical person-
nel, diversandvariousequipmentssuchascranesand
smallerboats. However, whentheyarrivedatthescene
of theaccident,almostnothingwaspossibletoperform
asplanned, since:
A 1.5nautical mile(nm) deepice-belt of about 1m
thickness was separating KV Senja fromMaxim
Gorkij.
Thecultural andlanguagedifferencesbetweenRus-
sian and Norwegian crew made communication
difficult, including the communication with the
Master onboardtheMaximGorkij.
The passengers were mostly elderly people that
neededrapidandextraassistanceto get out of the
lifeboatsandonboardKV Senja.
Another complicatingissuewasthat therequested
rescuehelicoptershadtorefuel intheair, andtheyhad
to land on KV Senja with passengers, even though
Figure3. MSMaximGorkij passengersinlifeboat.
Photo: OddMydland.
thehelicopters weretoolargetobeusingtheshipas
landingplace.
At thebridgeof KV Senjasomeof themainchal-
lenges weretoaccommodaterequests fromthepress
andworriedrelatives, copingwithpoor support from
decision makers on the mainland and few available
resources.
After somecritical momentsandhugeeffortsfrom
theemergencyteam, KV Senjacouldfinallyleavefor
Longyearbyen(atSvalbard) withthecrewandpassen-
gers fromMaximGorkij. TheRussians wereableto
savetheirshipwithassistancefromKV Senjasdivers.
Luckily no onedied or was seriously injured. There
wereonlyafewminor injuriesamongtheemergency
team.
The MaximGorkij incident is not the only of its
kind. A more recent accident happened to the MS
Explorer, whichwastragicallylost in2007. Although
takingplaceinAntarctica, thescenariowasgenerally
thesame: Thevessel collided with ice, rescueassis-
tancewasfar away, thevessel MSNordNorgejust by
coincidencehappenedtobeintheareaandwereable
toassist MSExplorer.
Also, in 2008 there were 4 ship incidents in the
watersnear Svalbard, andinJ anuary2009therewere
twoaccidentswithfishingvesselsinthisarea, where
theCaptainonboardoneof themtragicallylosthislife.
(Svalbardposten, 2009a) (Svalbardposten, 2009b).
2 CHALLENGES
The case study of Maxim Gorkij reveals several
deficiencies in information availability, both for the
planning- andtheexecutionphasesof therescueoper-
ation.Inthefollowingsectionsthemainchallengesare
identifiedandcategorizedtoinformationanddata,and
communications.
2.1 Information and data
Intheplanningphase, whichstartedatthemomentKV
SenjareceivedamessagefromSvalbardradio that a
vessel neededassistanceat 60nmWest of Isfjorden,
456
thelack of informationanddataisstriking. Theonly
informationavailablewas: A vessel wasindistressat
thisposition, makingitvirtuallyimpossibletoplanthe
rescueoperation. Information that should havebeen
availableat KV Senjawas:
Whattypeof vessel wasindistress?Wasitasmaller
fishingvessel withbutafewpersonsonboard, was
it atanker that couldleakoil or wasit acruiseship
withlotsof crewandpassengers?
How was the weather and ice conditions? Was
thevessel trapped in ice? Was it windy? Difficult
waves?
Wereother vessels in theareathat could possibly
assist?
Onthewaytotheemergencyscene, twomessages
were received fromMaximGorkij, via a poor VHF
channel. Oneof themessages containedinformation
that thevessel wasstable, andthenext informedthat
passengers weretransferredto thelifeboats. A ques-
tiontoberaisediswhether MaximGorkij hadtriedto
contactothervesselsatanearliertime,butwasnotable
toreachanyoneduetothepoor communicationlink?
Theinitial operationphasestartedwhenKV Senja
finally arrived at theemergency scene. Therescuers
recognisedthat almost nothingof theinitial planning
could be used; they were not prepared at all on the
real situation. Thefirst surprisewas theicebelt, the
second was the condition of the passengers having
left the lifeboats and stood on ice floes, waiting to
berescued. They weremostly elderly people, intheir
nightwear andcoats. Thenewgoal of therescuerson
KVSenjawasthereforeimmediatelychangedto:Res-
cueasmanypeopleaspossible. It iseasytoimagine
what benefit better access to informationcouldhave
addedtotheemergencyoperation:
An overview of the emergency scene in terms of
ice and weather conditions would assist themin
planning an alternative route to the emergency
scene.
Bygettinginformationonthetypeof vessel,number
of passengers and thecondition of thepassengers
theycouldhavepreparedfor areceptionadjustedto
thisinformation.
Inthenext stageof theoperationphase, oneof the
challenges was the lack of information and support
fromoperation centres and decision makers ashore.
Oneexampleistheuseof helicopters. Thehelicopters
were, accordingto laws andregulations, too largeto
landonKV Senja. However, if they didnot landthe
helicopters, they would usemoretimeto rescuethe
passengers. Having in mind that they wereout there
inrelatively thinclothinginharshenvironments, the
rescuershadtomakefast decisions. Thedecisionand
responsibility onoverrulingthelaws andregulations
was put on the shoulders of the Captain on board
KV Senja and the helicopter pilot. If they had had
onlinecontact withanoperationcentreashore, which
again had continuously contact with necessary deci-
sion makers, they could have received a temporary
allowancetoperformtheoperation. Insuchwaythey
wouldnot havehadtowastetimeworryingabout the
personal consequences of breaking the rules. Luck-
ily theCaptain and thehelicopter pilot werewilling
to takepersonal risks to savethelives of theMaxim
Gorkij passengers. What if theyhadnot?
Another issue, whichprobably hadtodowithcul-
tural differences in addition to lack of information,
wastheRussianhelicoptersthatsuddenlyappearedat
theemergency scene, droppingpackagesonthedeck
of MaximGorkij. ThepeopleonboardtheKV Senja
hadnoinformationonhowmanyRussianhelicopters
toexpect or what theyweredoing. Anoperationcen-
treashorecouldmostprobablyhaveassistedinfinding
outwhattheyweredoingbymakingcontactwithRus-
siancolleagues, andthenprovidingKV Senjawiththis
information.
2.2 Communications
Therelationbetweengettingaccesstohighqualitydata
andinformationandtheavailabilityof communication
channelsisobvious. Withoutaproper communication
linkitisimpossibletodistributetheinformation. Dif-
ferent potential communicationtechnology solutions
arediscussedinthenext section. Thecommunication
challenges pertaining to the MaximGorkij accident
were:
Limitedor almost nopossibilitiestocommunicate
withthevessel indistress.
Noon-linecommunicationlink betweenanopera-
tioncentreandtheemergencyoperationteam(KV
Senjaandthehelicopters).
Nocommunicationlinkforweatherandiceupdates,
and other information to enhance situational
awareness.
The communication link (Isfjord radio) was also
occupiedbyworriedrelativesandthepress
Even if the MaximGorkij accident happened 20
years ago, theabovechallenges regardingcommuni-
cation infrastructure and access to high quality data
and information has remained almost unchanged in
theArctic areas. This accident endedwithout loss of
livesandhazardousconsequencesfortheenvironment
thanks todedicatedrescuers andniceweather condi-
tions. Thequestiontoberaisedis: What will happen
when thetraffic increases and hencetheemergency
rateincreases?Arewewillingtotakeachanceonthe
weather conditionsandrescuersthatareintheareaby
coincidence? Thereis an immediateneed to address
theissues of communications, informationanddata,
and in the following sections possible solutions are
proposedandassessed.
3 POSSIBLE SOLUTIONS
3.1 Information and data
On basis of the challenges described in the above
sections the following information and data is
457
considereduseful andnecessaryduringanemergency
operation:
Meteorological- and hydrological ocean data
(weather-, wave- andicedata)
Informationtoincreasesituational awareness(type
of ship, number of passengers, conditionof passen-
gers, conditionof ship, surroundingtraffic)
ImprovedElectronicNavigationCharts(ENCs)
Improvedemergencypreparednesstools
Status on and fromfairway objects (lighthouses,
buoys, sensors to monitor stream, temperature,
wind, etc.)
Some of this information and data sources are
further describedinthefollowingsub-sections.
3.1.1 Meteorological- and hydrological
ocean data
Today several maritime services are broadcasting
information on weather and seaconditions viaradio
channels and on theInternet. To offer such services
in theArctic areas, sufficient observation and mea-
surement sites are required, along with an adequate
communication link for data distribution. This chal-
lengeis dueto thelongdistances over open seaand
harsh weather conditions. Another challenge is the
information on ice conditions. The solutions avail-
ableforsuchinformationarepresentlysatelliteimages
fromSyntheticApertureRadars(SAR) andnear ship
icemonitoring by theuseof cameras on thebowof
icebreakers. Investigations havebeen and arebeing
conductedtotest out howthesatelliteimages canbe
usedbyvesselssailingthroughicecoveredwaters. One
of thechallengesistounderstandandreadtheimages
without having enough knowledge or experience of
readingicesurfacesfromsatellitepictures.
This type of information can be particularly use-
ful for voyage planning. By using this type of data
the planners are able to set up routes outside ice-
covered waters, or possibly through openings in the
ice. However, thesesatelliteimagescannotbeusedfor
real-timemonitoringof iceconditionsnear theship. It
cannot provideany informationonrapidchanges in
iceconditionsandthickness.
A studyperformedattheUniversityCentreinSval-
bard(Marchenko, 2009) shows that it is possible, by
advancedtechniques, tocalculatevelocitiesonice, ice
compactness and the effect on ships sailing in this
ice compactness meaning theconcentration of ice
on the sea surface. For example, if half of sea sur-
faceiscoveredbyiceandanother half isice-free, the
compactnessisequal to0.5. Thesecalculatedparam-
eters canbeusedto showicecompactness onmaps,
and it is one of parameters characterizing ice struc-
tureinnumerousnumerical modelsof seaicecoverage
dynamics. Theconclusionsfromthestudyare:
1 Spatial evolution velocities of compacted ice
regions depend on the compactness of surround-
ing rare ice, with typical values reaching a few
meters per second when rare ice compactness is
larger than0.6.
Figure4. Combinationof satelliteimagesandAISdata.
Photo: KongsbergSatelliteServices(KSAT).
2 Theshipresistancecausedbyrareicecanbeinthe
order of the water resistance when rare ice com-
pactness is larger than 0.5 and floediameters are
about theshipwidth.
3 Whenicecompactnessisclosetothecritical value
of 0.78, theperformanceof small shipswithmax-
imumspeed of about 10 knots in open waters, is
very poor. Practically they will becapturedby the
iceinthiscase.
By combiningandusingtheseparametersit could
bepossibletodevelopanadvancedandaccuratereal-
timedecision tool for voyages in ice-covered waters
infested.Thiscouldalsobeusedinanemergencyoper-
ationasadecisionsupport tool. IntheMaximGorkij
case, such tools could have been used to assist the
CaptainonboardKV Senjatodecidewhetherornotto
movetroughtheicebelt.
3.1.2 Situational awareness
Informationthatwouldincreasethesituational aware-
ness both in the planning- and execution phase of
anemergency operation, is informationpertainingto
the ship in distress. Examples of such information
arevessel type, size, condition of vessel, number of
passengers, condition of passengers, information on
surroundingtrafficandavailableresources.
One possible solution to this is to combine data
fromseveral sources, e.g. images fromsurveillance
satellites and ship information fromAIS or LRIT,
as exemplified by the picture in Figure 3. The Nor-
wegian Coastal Administration has utilized satellite
imagesfromsurveillancesatellitestodetect oil spills
in Norwegian waters. Fromthese satellite images it
is impossible to see which ship is responsible for
this. However, if a layer of AIS data is put on top
of the images, the ship can be identified. In areas
beyond coveragefromland-basedAIS basestations,
futurespace-basedAIS or other sources canbeused
toidentifytheship, e.g. theevolvingLRIT system.
Thiswayof combiningdatacouldalsobeusedfor
surveillanceof emergencyoperations. Todaythetime
delayof datafromsatelliteistolarge, butfuturedevel-
opments of the communication infrastructure might
solvethat problem.
458
3.1.3 ENCs and preparedness tools
TheexistingElectronicNavigationCharts(ENCs) for
theArctic seasarefar frommature, sinceit hasbeen
difficulttodevelopthesechartsduetotheicecovering
seaandland. Thisworkneedstobestartedassoonas
thelandscapeisvisible. Satisfactory chartsrepresent
acrucial factor toincreasethesafetyof navigation.
Preparednesstoolsarealsosomethingthat needto
bedeveloped. InNorway work isongoingtodevelop
such tools and also work is started to investigate
possibleareastobeusedasport of refuge.
3.2 Maritime communication technologies
The previous sections clearly illustrate the need for
high quality maritimecommunication technology in
Arctic areas. Highquality means primarily sufficient
bandwidth and adequate reliability. Shut-downs of
the communication link fromtime to time can not
be accepted. To be able to implement the possible
solutions depicted in section 3 of this paper, stable
communicationchannelsareneededbetweenlandand
sea, andalso adhoc networks at theemergency site.
Thepertinent maritimecommunication technologies
canroughlybedividedintothreedomains:
Satellitecommunications(SatCom), comprisingso
called Low Earth Orbit (LEO) satellites, Geosta-
tionary (GEO) satellites and High Elliptical Orbit
(HEO) satellites
Terrestrial wirelesscommunications
Adhoccommunicationnetworks
AscanbeseenfromtheFigure6thepresent situa-
tionfor satellitecommunicationinArctic areasisfar
fromsatisfactory. Only the LEO-based Iridiumsys-
temhas allegedly true global coverage. The newly
launched Iridiumservice OpenPort can offer up to
128kbpscapacity, whichmightbesufficientfortrans-
mitting operational messages during and emergency
operation. However, if videoandimagesshall becon-
veyedtolandstationsfor real-timemonitoringof the
operation, thisserviceisalsorendereduseless.
AnotherproblemwithIridiumisitsdubiouslatency
(the time delay due to data relay), and hence being
doubtful for time-critical applications.
Thelimitationsof GEOsatellitesinArcticareasare:
They areinvisibleat latitudes beyond80
N (graz-
ing incidence), and it is challenging to achieve a
stablecommunicationlink beyondabout 76
N (5
elevation).
Complex (and expensive) antenna platforms are
requiredat theselatitudes, so inpracticetheGEO
satellites are usable only up to about 70 N for
movingvessels.
A preliminary study performed in the MarCom
project states that the only adequate SatComalter-
nativefor theHighNorthisapparentlytobebasedon
HEO satellites (Bekkadal, 2009). This is dueto the
convenient satelliteorbitsof theHEOs, coveringthe
northernhemispherefor alargetimeof theday, anda
Figure5. Maritimecommunicationsystemscoverageareas.
3-satelliteconstellationwouldbesufficienttoprovide
this areawitha24/7service. However, this needs to
befurther analysed both in terms of technology and
cost/performance. Suchadevelopment wouldrequire
cooperationwithother countriesborderingtheArctic
areas, suchasRussia, Canada, Finland, Iceland, Den-
mark(Greenland), SwedenandtheUSA, whichcould
verywell beorganisedundertheauspicesof theArctic
Council.
The coastal areas (including the Northeast and
Northwest passages) arejudgedtobeadequatelycov-
eredbydeployingterrestrial systemsalongthecoast
WiMAX andenhancedDigital VHF beingconsidered
themost promisingfuturealternatives. However, the
cost andcomplexity of suchsystemswouldrequirea
detailedstudyof a.o. theareastopography(Bekkadal,
unpublished).
AdhocnetworksareinusetodaybybothSARteams
and in military operations. Ad hoc networks do not
reallydependonthepositiononearthbecausethenet-
work comprisesonly thenodeswithinalimitedarea.
However, it would be very convenient if the ad hoc
network couldbemonitoredfromoperational centres
ashore, which would require a satellite or terrestrial
link with sufficient bandwidth and high integrity
integritymeaningthelinkbeingtrustworthy.
3.3 Application software (SW) tools
The Wikipedia definition of an application SW is:
Application software is any tool that functions and
is operatedby means of acomputer. Someapplica-
tionscouldbedevelopedtomeetthechallengesposed
byemergencyoperationsinArcticareas. Theseappli-
cationscouldbeusedbothinplanningandexecution
phases of the operation. An example of a planning
tool is thecontingency plan, includingfeatures such
as optimumselection of rescueresources. Examples
of suchresourcesaretugsandoil recoveryequipment
speciallydesignedfor operationsinArcticareas.
Theneedfor enhancedequipment andapplications
on board vessels should also beconsidered in facil-
itating improvements to the process of emergency
459
operations. Oftenit is anormal vessel that reaches
the emergency scene first, obviously not having the
sameon-boardequipment andapplicationsasaSAR
vessel. Newrequirements for aminimumset of Arc-
ticSAR applicationsandequipment onboardvessels
shouldbeconsidered,whichneedsof coursetobecom-
bined with classification of vessels. By introducing
suchrequirementsall vesselscouldamplyassistother
vesselsindistressuntil theSAR teamarrives.
Another issuethat shouldbeinvestigatedispriori-
tisingmechanismsoncommunicationchannelsusage.
Thisisespeciallyimportantinthetimetocomebefore
the communication infrastructure is fully developed
intheArctic areas, whichmay takesomeyears. The
prioritisingmechanismsshouldautomaticallyprovide
exclusiveaccesstosufficientcommunicationcapacity
to ensure high availability and integrity of chan-
nels used by all partners involved in the emergency
operation.
Ice related applications are of course also very
important in theArctic areas. This is the case both
duringnormal sailingintheArctic areas, andduring
emergencyoperations. Possibleapplicationsare:
Calculationsandvisualisationof shipperformance
in different ice conditions, which could be used
both to avoid dangerous situations during nor-
mal seafaring, and for analysis during emergency
operations.
Recognition of sea ice characteristics (compact-
ness, thickness, icebergs) by satelliteimages. This
isalreadytoacertainextent usedbynavigatorson
vesselssailinginice-coveredwaters.
Featuresof rareicedriftarounde.g. Svalbardandin
fjords.Thiscouldalsobeusedtoenhancethesafety
of avoyagesinice-coveredwaters, andfor analysis
duringemergencyoperations.
4 E-NAVIGATIONINTHE HIGHNORTH
Some of the solutions on applications and com-
munications proposed in the above sections should
also be considered during the development of the
IMOe-Navigationconcept. TheIMOhasadoptedthe
IALA definition of e-Navigation, and it says (NAV
sub-committee, 53rdsession, 2007):
e-Navigation is the harmonised collection, inte-
gration, exchange, presentation and analysis of
maritime information on board and ashore by
electronic means to enhance berth to berth naviga-
tion and related services, for safety and security at sea
and protection of the marine environment.
In remote areas, and especially in Arctic waters,
this concept faces extraordinary challenges. It is e.g.
difficult to collect, integrateand exchangemaritime
information if there are no available communica-
tion channels. Also, the need for special purpose
e-NavigationservicesinArcticareasshouldbeconsid-
ered. Theextremenavigational challengesduetolow
temperatures, iceandharshweatherconditionsrequire
morespecialisedservicesthaninother morecentral-
izedareas. E-navigationcanbecomeanimportantpart
inafuturesafetyandsecurityconceptforArcticareas
if theserequirementsarefulfilled.
5 CONCLUSIONS
It is important not to forget the experiences from
the MaximGorkij and other similar accidents hav-
ing occurred in theArctic andAntarctic areas. They
can help in providing a clear view on what type of
information, data, communication infrastructureand
SAR resources required to be developed. The main
lessons to be learned fromthe MaximGorkij acci-
dent is that in order to be able to conduct efficient
and safe emergency operations, more crucial infor-
mation needs to be available to all parties involved.
Thiscouldbeintermsof supportingdecisiontoolsand
informationfromoperationcentresashore. However,
nothingof thisispossiblewithoutamaritimecommu-
nicationinfrastructurewithsufficient bandwidthand
adequateintegrity. Thisimportant task shouldconse-
quentlybeimmediatelyaddressedwithinthemaritime
community.
REFERENCES
NAV sub-committee, 53rd session, 2007. Agenda item13,
Development of ane-Navigationstrategy.
Orheim, O. 2008. Risks by sailinginPolar areas. Safety at
SeaConference. Norway: Haugesund.
Svalbardposten, 2009a. http://www.svalbardposten.no/
nyheter/kaptein-omkom-i-tr%C3%A5lerforlis
Svalbardposten, 2009b. http://www.svalbardposten.no/
nyheter/hjulpet-ut-av-metertykk
Bekkadal,F.2009:MaritimeCommunicationTechnologies,
MarComD4.1, MARINTEK report, Project no. 280131,
V1.0, 05.01.2009
460
11.3
Iceconditionsandhumanfactorsinmarineaccidentsat theArctic
N. Marchenko
The University Centre in Svalbard, Longyearbyen, Norway
The Norwegian University of Science and Technology, Trondheim, Norway
State Oceanographic Institute, Moscow, Russia
ABSTRACT: All activitiesintheArcticareconductednearthelimitof technological opportunitiesandhuman
abilities. Butthedrainof resourcesintheareasconvenientfordevelopmentobligesustolookatthisseverepolar
region.Themainobjectivesof thePetroArcticproject(offshoreandcoastal technologyforpetroleumproduction
andtransport fromarctic water) as apart of PETROMAX andMarSafeproject (MarineSafety Management)
are to obtain and provide information for safety of Arctic operation such as hydrocarbons production and
transportfromPolar seas. Oneof thetasksisacollectionof icepilotexperiencesfromthepeopleinvolvedinthe
Arcticactivitiestolearnhowtheyfelt intheseconditions, howtheysolveddifficult tasksandmanagedtheice.
Itemsof special interestareconnectedtolostvesselsandother marineaccidents.Appreciableamountof written
documentationandinterviewshavebeenprocessedandorganizedintoadatabaseof marineaccidentsinRussian
Arcticsince1900. It includesaset of mapswherethelocationsof theaccidentsareshownwithadescriptionof
theaccidents(date, geographical environment, vessel type, what happenedandhowthepeopleacted, etc). This
paperincludesthemapforKaraSeaanddescriptionsof several accidentsintheeasternpartof Arcticasexample
of different situations, aswell astheprinciplesof thedatabaseconstructionandaccidentsclassification.
1 INTRODUCTION
For a modern development of the operation in the
northern seas it is very important to learn fromthe
previous ice pilot experiences. Russian sailors have
for many centuries experiencedthenavigationinthe
ice conditions. As seafarers the pomors (inhabitants
of RussianNorth) dominatedanenormouszonefrom
theshoreareasof White, BarentsandKaraseastothe
archipelagos of NewLandandSpitsbergensincethe
16thcentury.Themajorfactorswhichallowedpomors
toovercomethedifficultandchallengingArcticroutes
weretheusageof specializedships, calledkoch, and
inheritableskillsandcustoms.
ThroughthecenturiesRussiansailorsaccumulated
extremely impressiveskills for theoperations in the
Arctic waters. The experiences of the Russian ice
pilots were summarized in the special textbooks for
thefuturecaptains. Thereareatleast9suchtextbooks
written by captains who took part in the Northern
SeaRoutecruises(forexample,Arikaynen, Chubakov,
1987, Gotskiy, 1957). The first such textbook was
published in 1940. Key points of theRussianArctic
history and specifics of the seas are well known to
theforeign society and researchers as well as it was
presentedinarticlesbyTerenceArmstrong(1952) and
WilliamBarrwithco-author(Barr,19741985),work-
ing papers of INSROP (International Northern Sea
RouteProgramme, J une1993 March1999), CRREL
(ColdRegionResearchandEngineeringLaboratory)
reportsandothers.Thetranslationsintroducedwestern
audiencetothemost important anddramaticpagesof
theNSR history, such as, for example, thecruiseof
Sv. Anna andAlbanovssledgejourney (Barr, 1975),
theRusanovsGerkules expeditionintheKaraSeain
1913(Barr, 1984) andtheshippingcrisisintheeast-
ernArctic at thecloseof the1983 navigation (Barr,
Wilson, 1985).
However, some pages of this heroic epic are not
knowneveninRussia.Theinvestigationof theRussian
icepilot experiencehas becomevery relevant nowa-
daysinthelightof newactivitiesinoil-gasexploration
spreadingoutintheArcticandthenewtransportation
possibilitiesappearingduetotheglobal warming.
InformationaboutRussianactivitiesintheArcticis
gatheredintheframeof thePetroArcticandMarSafe
projects. Thedataabout extremesituations (icedrift
andicejet,icingandhummocking,ridgingiceopening
andclosing,etc)andspecial weatherandiceconditions
arecollected. Items of special interest areconnected
totheshipwrecksandotheraccidents. Dataaboutves-
sel type, location and time of wrecks and damages,
weather andiceconditions, descriptionof events has
beenorganizedintoadatabase. Toprevent thefuture
lossesweneedtoknowwhereandwhenaccidentsused
totakeplace, under what weather andiceconditions,
what happenedandhowdidthecrewreact. For many
accidents the information on distinguished features
andthebehavior of humansintheArcticwaters(reac-
tionsinstressful situationsandreasonsfor deaths) has
461
beencollected.Themostoriginal partof thepresented
investigation is a set of maps showing the accident
locationsandthewaysof icedrifts.
Only accidents connected with the ice conditions
thatreveal theroleof humanfactorsaretakenintocon-
siderationinthispaper.Analyzingmarineaccidentsin
theArctic enablesustofindawholeseriesof events
whenthewreckswerenot avoidableduetoextremely
difficult circumstances. But there are also accidents
whentheiceconditionslookedrather goodandnoth-
ing denoted on theapproaching disaster. Therest of
theeventsfall inbetweenthetwoextremes.
2 EXPLORINGOF MARINEACCIDENTSIN
THEARCTIC
2.1 The objectives and sources of information
The objective of this investigation is to increase the
knowledgeabout iceconditionsandhumanreactions
for safety in the Arctic region. The main aim is a
sustainabledevelopment andexploitationof theArc-
tic region. Thecollectionof theicepilot experiences
is a mixture of history, geography, technology and
sometimespsychology, becausewehavetoknowhow
peopleoperatedintheArcticandhowtheysolveddif-
ficulttasks, howmanwouldfeel andactintheextreme
conditions. The investigation presented in this arti-
cleisdevotedmainly totheaccidentsinducedby the
natural causes intheArctic since1900. Thedetailed
descriptions of such accidents can give us not only
great examplesof aheroic behavior, but alsoprovide
informationonnatural, weatherandiceconditionsand
showspecial techniquesusedbycrewtosurvive.
Among the different sources of information are
museumexhibits and written documentation, books
andjournals, newspapersandinternet articlesaswell
as oral evidences of thepersons involved. Themost
thrillingpart of thework isinterviewingicemasters,
mates andpilots. They canbefoundinspecial com-
munities and on real vessels. Several organizations
affiliatepeoplelikethat,suchasRussianGeographical
Society withDepartment of Polar RegionGeography
andAssociationof polar researchersandpolar work-
ers, integratingremarkablepeoplewithextraordinary
fates, connectedto seaice. Conversations withthem
are newsworthy and entertaining. The same applies
tointerviewingthepeopleonboardthevessels, who
braveiceout almost every day and can demonstrate
actual techniquesandprovidereal lifedocumentation
suchascheck-lists.
2.2 Marine accidents classification
For our purposeswecandivideall theaccidentsinto
twomaingroups: withiceandwithout ice. Thereare
four maingroupsamongtheaccidentsintheicecon-
ditions. Theseareforceddrift, forcedoverwintering,
shipwrecks and serious ice damage when the crew
hasmanagedtorescuetheshipwiththehelpof other
vessels.Bothforceddriftandforcedoverwinteringcan
havelethal outcome(LookforexampleX3themap
figure1).Amongtheaccidentswithouttheicewecan
distinguishshipwrecksandseriousdamage.
All thesetypesof accidentsarequitereceivedand
understandable. But thereis aspecial caseof forced
drift deserving of particular attention, as this is not
very common in the international science literature.
This is so called ice jet, the forced drift with con-
siderable speed. Ice flow in ice jet is so powerful
that even the modern icebreakers can not resist it.
ThisphenomenonhasbeendescribedbyV. Kupetskii
(Kupetskii, 1983) and modeled and mathematically
presentedbyV.Benzeman(1989).V.Benzeman(1989)
determinedicejet as non-stationary jet streamof
compacticecake, sometimeswithcompressing, drift-
ing with high velocity near theboundary of thefast
ice or motionless ice massif in a strait, bay or open
regionof freezingsea. Icejetdisplaysitself asadrift
with hugespeed and has lead to shipwrecks several
times. The shipwreck of freighter Nina Sagaidak in
Chukchi Sea, October1983isagreatexample. Before
shesank, shewasslammedtothefreighterKamenesk-
Uralskii, whiletheydriftedhelplesslyapart(seealso,
Barr, 1985). (seefather).
3 ACCIDENT DATA BASE
It might nobecompletelyaccuratetocall our collec-
tion of accidents a data base, because not all of the
accidentsinit arepresentedwithequal accuracy and
underthesamecircumstances.Therearesetsof books,
movies and other information availablefor themost
famousshipwreckssuchasSv. Anna (19121914) and
Cheluskin (1934). Other vessels are represented by
pagesof several reminiscenceandsetsof photos, but
haveonly mentions about theessential parts of acci-
dents. The main task remaining is to accumulate as
much information as possible and organize it in an
appropriableway.
Massiveamountof dataisorganizedbothgeograph-
ically and chronologically. It includes aset of maps,
tables and connected files. The maps for each Rus-
sianArctic seashowaccident locations. Explanation
of the maps lists the dates, names and types of the
shipswithaccidentsitemizedaccordingtotheir types
(seeabove). Moredetailedmapsreflect explicit acci-
dent location, lines of shipdrift andiceconditions if
available. Thenumbersonthemapcorrespondtothe
numbers inthetable1withashort descriptionanda
destinationof thefolder withdetaileddescription.
3.1 The Kara Sea example
As an illustration of the Accidents data base con-
struction the short extraction for the Kara Sea is
presented here. Theexampleincludes only onemap
(figure 1) for accidents which had been induced by
hard ice condition, explanation to the map and the
beginningof thetable1withshort descriptionof the
accidents. Itshouldbestatedthattheicedrifthasusu-
ally very complicated and chaotic configuration and
462
Figure1. AccidentsinKaraSeasince1900, inducedbyice
conditions.
ExplanationtothemapAccidentsinKaraSeasince1900,
inducedbyiceconditions(figure1)
Forced drift with ice 14
1 1900. SeptemberOctober. Woodenyacht Mechta
2 1907. J ulyAugust. Researchvessel Belgica
3 19121914. Woodenschooner SvyatayaAnna
4 1920. J anuaryJ une. Steamer SoloveyBudimirovich
(later recalledtoMalygin).
5 1930. August (7days). Icebreakingsteamer (IS) Sedov.
6 1934. (23days). ISSadko.
7 1936. (28days) ISSibiryakov.
8 1937. August. ISSadko.
9 1937. September. Thewholecaravanof vesselswith
ISYermak.
10 1937. Summer. Several weeks. Researchvessel
ProfessorVize.
11 1963. October. Caravanof vesselswithicebreaker
Lenin
12 1963. October. Steamer Novovoronezh.
13 1977. November. Icebreaker CaptainSorokin.
14 1980. MarchApril. 2nuclear icebreakersSibir,
Arktikaandicebreaker Kiev.
Forced overwintering 7
15 26. September 190030. August 1901. Schooner Zarya
16 12. September191411.August1915. SchoonerEklips
17 9. September 19142. August 1915. ISTaymyr.
18 9. September 19142. August 1915. ISVaygach.
19 Autumn1936summer 1937. Surveyvessel Toros.
20 October 1937J une1938. Almost half of thetransport
vessels(26ships) andtheentireicebreaker fleet
(7icebreakers) overwinteredintheArctic. Litke,
Mossovet, Uriskiy, Pravda, Krestyanka, Molokovwere
beset at thesouth-east cost of BolshevikIsland.
21 October 1937J une1938. 6cargoships
Shipwreck5
22 19121913?. SealingshipGerkules
23 1921. 17. September. Steamer Enisey.
24 1921. 20. September. Steamer Ob.
25 1924. SchoonerAgnessa.
26 1985. J une. Freighter NinaKuroverova.
Damage by ice3
27 1933. August. Steamer Cheluskin.
28 1937. August. Icebreakingsteamer Sedov.
29 1937. August. Freighter Sura.
onlythemaindirectionwithoutanyloopsandzigzags
ispresentedonthismap. Referencesinthetable1are
givenononly theessential sourcesinRussianandin
English.
3.2 The accident examples
Thetwoeventsineasternsector of theArctic will be
describedbelowas anexampleof theaccidents. The
firstoneisaboutahumanfactor, thesecondoneillus-
trates theinvinciblenatural forces action. Seephoto
andlocationonfig. 2,3.
3.3 Example 1. 1955. East-Siberian Sea. Motor
vessel Kamenets-Podolsk
Accident with motor vessel Kamenets-Podolsk have
beendescribedinthereminiscences of captainPacel
Kuyantsev(1998). At theendof September 1955she
sailedfromtheUgolnayabaytothecapeof Shmidta
(MysShmidta) withafull loadof coal. Shewascon-
voyedbyanicebreaker. But northernwindsbrought a
lot of heavyiceandmadefurther movement impossi-
bleat thedistanceof 50kmbeforetheaim. Theships
waitedthewholeearth-dayandafterthatgavetheorder
togoback toPevek. Theiceconditionwasvery hard
till Mys Billingsaandthespeedwas extremely slow.
Thecasedemandedskilleduseof energyandconcen-
tration of everybodys attention. To thewest of Mys
Shalaurovatheconditionsimprovedandthecompact-
ness of icedecreasedto 5balls. Theexhaustedcrew
respired, captainwasabletoaffordashortcoffeebreak
andwent downtohiscabin. Hehadleft thebridgefor
only 10 minutes, but when he returned, he immedi-
atelyrealizedthatanunavoidableaccidentwasalready
unfolding. Anice-freeclearingspreadbeforethebow
hadbeenleftbyanicebreakersailinghalf amileahead.
Piecesof icedriftedhereandthere. Their positionrel-
ativeto theicefieldwas changing. Thesecondmate
noticed asmall pieceof iceand thought it was also
floatingseparatelyfromtheicefield. Whenheputthe
helmto port to avoidit, Captainnoticedat oncethat
this pieceof icewas not moving and realized it was
the top of a submerged ice ledge. It was too late to
turn starboard. At the vessels speed of about seven
knots, asubmergediceledge, if collidedwiththefore
holds, couldripthevessel fromthebowtothebridge.
The only decision at this point was to stop the ves-
sel. Back_Full command was given and it worked
at onceasforwardmotionwasreduced. However, the
propeller operationasterncausedthemovingvessels
bow to swing to starboard at the speed of 4 knots,
brushingtheforwardport quarter against theice. The
terribleracket of tearingmetal washeardandtheves-
sel listedsharplytostarboard. Captainturnedthekey
for general alarmandimmediately heardasplashing
sound of awaterfall as water rushed into thehull to
thefirst hold, maybetothesecondhold, andthefore-
peak.Theholewas1meter1meterinthesizeandan
openingof 10cmwidealsoappearedinthesternafter
collision.Theshipwassettlingdownquicklybowson,
463
Table1. Short descriptionof accidentsinKaraSeasince1900, inducedbyiceconditions.
X Short description References Links
Forced drift with ice 14
1 1900. SeptemberOctober. Wooden yacht Mechta (ledbyA.A. Borisov). Vize, 1948 http://www.solovki.ca/
Forceddrift withicealongtheeast coast of SouthIslandNovayaZemlya art/borisov.php
sincetheendof September. Thecrewleft her at 10. October 1900and
walkedandswamthroughtheice, reachedthelandnear themouthof
SavinaRiver, crossedNovayaZemlyaandarrivedtoPomorskayaGuba
at 12. November 1900.
2 1907. JulyAugust. Research vessel Belgica (ledbyPhilippeduke Vize, 1948
dOrlans). NippedbytheiceinMatochkinShar at theendof J uly.
Current carriedher withtheicetothesouthanddroveuponBarentsSea
throughKaraGate(16. August 1907), savedbyherself.
3 19121914. Wooden schooner Svyataya Anna (captainBrusilov). Albanov, http://www.kapustin.boom.ru/
Theshipbecamebeset just west toYamal PeninsulainOctober 1912and 19171978, journal/albanov01.htm
driftedsteadilynorthwardintheice. ByApril 1914shewasstill drifting Barr, 1978 http://www.rusk.ru/
100kmnorthof Franz J osef Landandfurther tothenorth Evidently st.php?idar=708035
wrecked Crewdead, except for 2men(V. Albanov, Konrad) who
managedtoreachFranz J osef Land.
TheseaccidentshadbeendescribedbyYu. Vize(1948), M. Belov(1959), Pinkhenson(1962), V. Kupetskiy(1983), Benzeman
(1989) andother. ThereisalsoinformationinEnglish(Barr, 1974, 1984, etc).
thestern was lifting dangerously. Captain was ready
togivetheorder toleavetheshipandgodowntothe
ice. But inaminutethedressedsleepingstaff wason
theplaceandrescueoperationbegan.
In seven minutes patch was placed and the bow
stoppedsubmerging. Thefirst andsecondholdswere
opened. Thefirst hold was filled up to thesealevel
and over a half of twin deck. The bow submerged
under water upto theanchors. Fortunately thescrew
andthehelmwereinthewater as shemovedby the
sternbeforecollision(trimwas near 1meter). It was
impossibletopumpthewater away, becausethepipes
wereblockedbythecoal. But water lever intheholds
roseupveryslowly.Afterdiscussionsitwasdecidedto
continuethevoyageandsail tothecapebehindtheice-
breaker withlowspeedwhilemonitoringwater inthe
holds. Kamenets-Podolsk reachedtheportof Pevekat
aspeedof 10knots.
Twojokesspreadtoicepilotsocietyafter thatacci-
dent.ThefirstlessonwasthatduringArcticNavigation
the captain should drink coffee on the bridge, not
downstairs. WhencaptainKuyantsevreportedthat it
was his mistake due to inexperience in his first ice
navigation, the chief of the headquarters M.V. Got-
skii (very famous and revered captain) replayed that
according to Russian tradition, arriving of ship with
crushed stemis not a dishonor for captain, it is the
signof hissurenessandcourage. But if thescrewand
thehelmwerebroken, captainhastofeel theshame.
3.4 Example 2. 1983. Chukchi Sea. Freighter Nina
Sagaidak (figure 2,3)
The second accident to be described here is a well-
known shipwreck of freighter Nina Sagaidak in
Chukchi Seaduringterribleendingof navigationsea-
son(?) in 1983. An unusually early freeze-up and
Figure2. Locationof accidents.
Figure3. NinaSagaydaksinkinghttp://www.yaplakal.com/
uploads/post-3-12340193324991.jpg.
persistentnorthwesterlywindsthatdroveheavymulti-
year iceintoProlivLongaandagainst thenorthcoast
of Chukotka resulted in a critical situation. During
September several ports wereprematurely closed by
464
ice, leavingPevek astheonlyfunctioningport inthis
part of theArctic. Dozensof shipswerebeset. Practi-
cally all availableicebreakers weretransferredfrom
thewestern to theeasternArctic to freethejammed
ships.ManyshipswereforcedtoheadwestfromPevek
totheAtlantic, rather thanattempt tobattletheir way
through the heavy ice in Proliv Longa in order to
return to their Pacific home ports. One early report
put thenumber of damagedships as beinginexcess
of 30 (Bratchikov, 1983). Fortunately, therewereno
liveslost.
Lets remember this event in English presentation
byW. Barr andE. Wilson(Barr, Wilson, 1985)
EarlyinOctober thefreighter Nina Sagaydak one
of a convoy of ships westward bound to Pevek that
wascaughtbytheicenear KosaDvukhPilotov, alittle
to theeast of Mys Shmidta, foundherself in serious
difficulties. Built at Rostock, East Germany, by the
Schiffswerft Neptunin1970, Nina Sagaydak wasone
of a class of 31 almost identical small freighters of
between3411and3684grosstons; shewas105.7m
long, withabeamof 15.65mandenginesof 3250bhp,
givingher atopspeedo1f 3.75knots. On6 October
1983thefreighterNina Sagaydak wascaughtinmulti-
year ice 3-mthick being driven against the edge of
thefast ice, andsoonirresistibleicepressures began
tobuildup. Massivepressureridges piledupagainst
her sides, with enormous ice blocks tumbling over
her rails. Her stern was forced against the fast ice
andher rudder andpropeller werejammed. To com-
poundthedifficultiesthefreighter next collidedwith
thetanker Kamensk-Urulskiy, alsodriftinghelplessly
intheice.Foroverhalf anhourtheshipsgroundagainst
eachother, anddespitefranticeffortstoplacefenders
betweenthetwohulls, bothshipsreceivedsomedam-
age; Nina Sagaydak came off worst. Her crew was
rather startledto see thetankers crewpouringwater
down thesides of their ship at thepoints of contact
betweenthehullsincasesparkscausedby thegrind-
ingandpoundingmightignitefumesfromthetankers
cargo. Thetwoshipsultimatelydriftedapart, buteven
worsewasinstorefor Nina Sagaydak. Astheicepres-
sures continued, her hull plates began to crack and
thewater begantoriseinexorablyintheengineroom.
Despiteevery effort her pumps wereunableto cope
withtheenormousinfluxof waterandtheshipbeganto
listheavilytostarboard. Whenthelisthadreachedthe
alarmingangleof 40
thechief engineerbroughtall his

menondeckandthecaptaingaveordersforthecrewof
45, andafurther6menaccompanyingtheshipscargo,
to be lifted off by helicopters fromthe icebreakers
Kapitan Sorokin andVladivostok, whichwerestanding
by, unableto savethesinking vessel. Theship stub-
bornlyremainedafloat, heldupbytheiceandwithher
enginesandpumpsstill runningunattendedforalmost
aday. Finally, earlyontheeveningof 8October, while
her crew watched helplessly fromKapitan Sorokin
barelyashipslengthaway, Nina Sagaydak sankbythe
head. Her crewwas flownsouthtoVladivostok, and
acommissionof enquiryintothelossof theshipwas
convenedatPevek.Itconcludedthatnoblameattached
to any of the officers or crew members and that
everythingpossiblehadbeendonetosavetheship.
OnthedayafterNina Sagaydak sank, hersistership
Kolya Myagotin wascaught betweentwomassiveice
floes andbadly holed(seefigure2). As aprecaution
mostof hercrewwasevacuatedbyhelicopterandonly
fiveof thecrewbattledtokeeptheshipafloatandthey
managedtorescueher. But it isanother story.
4 CONCLUSIONSAND
ACKNOWLEDGEMENTS
Creation of Accident Data Base is not finished yet
becauseof thenewcircumstancesanddetailsthathave
beenandcanbefound. It seemstobeanendlesspro-
cess. But even now this set of accident descriptions
canbeuseful for understandingtheice, weather and
human conditions in theArctic and for planning the
futureactivitiesinthissevereregion.A morethorough
reviewof thedatabase is, however, inpreparation
(Marchenko, 2009).
This study is founded by the PetroArctic project
and the author acknowledges The Research Council
of Norway for thefinancial support which was pro-
videdbythePETROMAKSprogramandPetroArctic
asapartof thePETROMAKS.Theauthorappreciates
Prof. OveT. Gudmestad and Prof. Sv. Lset for the
original ideaand helpful discussions and thanks the
staff of thelibraries at StateOceanographic Institute
andArcticandAntarcticResearchInstitute.
REFERENCES
Albanov B.I. 19171953. Podvig shturmana Albanova
[TheFeat of pilotAlbanov] M.,
Arikaynen,A.I. andChubakov, K.N., 1987.Azbukaledovogo
plavaniya[Alphabet of icenavigation]. Moscow. Trans-
port, 224pp.
Armstrong, T. E., 1952. The Northern Sea Route: Soviet
exploitationof theNortheast Passage. Cambridge: Scott
Polar Research Institute. Cambridge University Press.
Special publicationNo. 1.
Barr, W., 1974. Otto Sverdrupto therescueof theRussian
Imperial Navy. Arctic, 27(1): 214
Barr, W., 1975. South to Zemlya Frantsa Iosifa! The
cruiseof Sv. AnnaandAlbanovssledgejourney, 1912
14. CanadianSlavonicPapers, 17(4):567595
Barr, W., 1984. Thefateof Rusanovs Gerkules expedition
in the Kara Sea, 1913; some further details and recent
developments. Polar Record, 22(138): 287304
Barr,W.,Wilson, E.A., etal, 1985. Theshippingcrisisinthe
Soviet easternArctic at thecloseof the1983navigation
season. Arctic, 38(1): 117
Belov, M.I., 1959. Istoriia otkrytyia i osveniia Severnogo
Morskogo Puti [The history of discovering and master-
ing of Northern Sea Route], Vol. 3 SovetskoeArctich-
eskoe moreplavanie 19171933. [Soviet Arctic Naviga-
tion] Leningrad, Morskoi transport, 510pp.
Benzeman, V.U., 1989. Ledovayareka[Icejet]. Proceedings
of Arctic-AntarcticInstitute. V.417: 9198.
Gotskiy, M.V., 1957. Opyt ledovogo plavaniya[Experience
of icenavigation]. Moscow. Morskoi transport, 224pp.
465
Kupetskii V.N., 2004. V Arktiku my esh vernmsya [We
will comeback to theArctic]. Magadan. OOO Novaya
poligrafiya, 299pp.
Kuyantsev P., 1998. Yaby snovavybral [I wouldchoosethe
sea]. Vladivostok
Marchenko, N., 2009. RussianArcticNavigation, Booktobe
published2009.
Pinkhenson, D.M., 1962. Istoriia otkrytyia i osveniia Sev-
ernogo Morskogo Puti. Vol. 2 Problemy severnogo
morskogo puti v epohu kapitalizma [The problem of
theNorthernSeaRouteincapitalismepoch]. Leningrad,
Morskoi transport, 766pp.
Vize V.Yu., 1948. Morya sovetskoy Arktiki [The Seas of
the Soviet Arctic]. Moscow Leningrad. Izdatelstvo
Glavsevmorputi, 414pp.
466
11.4
SeaIceServicesintheBalticSea
M. Sztobryn
Institute of Meteorology and Water Management, Maritime Branch, Gdynia, Poland
ABSTRACT: TheBaltic winter navigationdependedalwaysvery muchontheiceconditionsinthesea. The
seaiceoccursdifferent informandamount, dependingontheseaareaandthewinter season. Asthemaritime
traffic on theBaltic Seaconstitutes asubstantial amount in thewholeof theBaltic countries transport, Sea
IceServices(SISs) havecomeintobeing. TheyconstitutedtheBalticSeaIceMeeting(BSIM) abody, which
assemblestheparties, whichareinterestedinwarningsagainstbadiceconditions, andinprotectionof navigation
iniceintheBalticSea.Anindispensableco-operator tothisbodywasalwaysthecompanyBalticIcebreakers.
To-daywithintheBSIM operatebytheSISsof Denmark, Sweden, Finland, Russia, Estonia, Latvia, Lithuania,
PolandandGermany, Netherlands, NorwayandtheBalticIcebreakers. Themainstatutorydutiesof theSISsis
theacquisition, processinganddisseminationof actual informationonseaiceconditions andonobstructions
tonavigationduetoseaice. Thisisdoneby maintainingobservingpostsalongthecoast of thosecountries, in
their ports andapproaches tothem, by gatheringinformationfromships, fromicebeakers, if possible from
reconnaissanceflightsor satelliteimages. Routineproductsof SISsaretheicereports, icebulletins, icecharts,
forecastsandwarningsandother informationbroadcast bymassmedia, e.g. radio, internet, Navtexandonthe
national andBalticSISs websitesetc.
1 ICE CONDITIONSINTHE BALTIC SEA
Baltic Sea is a semi-closed, tide less and compara-
tively dismembered sea. Its low salinity varies from
about 20in the Belts waters to about 1to 4
in the north-eastern basins. The differentiation of
salinity, bathymetry, the latitudinal and continental
(climatic) influences generates significant inhomo-
geneity of freezing conditions in different basins of
the sea. Some of the basins freeze each winter, the
other onlyrarely, duringexceptionallyseverewinters.
Inorder tobeabletocomparethewinter conditionsin
different years or indifferent basins of thesea, some
scalesof winter severity areinuse. Accordingtoone
of them(seaiceseverity index S
reg
, after Sztobrynet
al., 2008) three types of winters were distinguished
(mild, normal andsevere) andaclassificationof win-
ters between 1955 and 2005 in the Baltic Sea was
made, asinTable1.
Highest values of seaiceindex S
reg
werecharac-
teristic for theBay of Bothnia, wherethey oscillated
between 9,32 in 1980/81 and 5,34 in 1991/92. The
Table1. Number of wintersof givenseverity inparticular basinsof theBaltic Seainthewinter seasons1955/562004/05
(Sztobrynet. al. 2008).
Typeof sea Western Southern Gulf of Aland& Sea Norra Bayof
iceseverity Baltic Baltic Baltic Finland Arch Bothnia Kvarken Bothnia
Mild 17 43 36 16 33 14 2 0
Normal 17 1 8 11 9 11 4 0
Severe 16 6 6 23 8 25 44 50
lowestvaluesof S
reg
weregainedintheWesternBaltic,
withtheminimumequal to0,0,whatoccurredforeight
timesintheinvestigated50winter seasons, whilethe
maximumvalue there was as high as S
reg
=5,72 in
1995/96. Quitecloseto thevalues representativefor
theWesternBalticweretheextremeconditionsinthe
Aland Sea and theArchipelago: maximumvalue of
S
reg
reachedthere5,89in1969/70andtheminimum
valuewas0,0(for four times).
The values of basic S
reg
statistics, when com-
pared, allowedto distinguishthreegroups of regions
consideredhere, whichweresimilartoeachotherwith
regardtotheseaiceconditions.
Thefirst group, themildwinterszone, consisted
of theWestern Baltic Sea, Southern Baltic Sea and
theAland Sea; the second group, the normal win-
ters zone madethewesternGulf of Finlandandthe
Seaof Bothnia. Intothethirdgroup, theseverewin-
terszone, wereincludedtheNorraKvarkenandthe
Bayof Bothnia, wherethestatistical parametersof S
reg
werepositively higher, thanintheremainingconsid-
eredregionsof theBalticSea. It must bestressedthat
467
Figure 1. Long term icebreakers activity variation (in
annual numberof assistancecases)comparedtowintersever-
ity (represented by the sea ice severity indices) during the
winters1955/562004/2005.
thoughverycharacteristic, theabovecitedindicesdid
not involveall areasof theBalticSea, asfor instance,
thesouth-easterncoastsof thecentral seaparts.
Thereexistsahighproportionalitybetweentheval-
ues of theindices S
reg
andthenumber of icebreaker
assistances, requested by all kind of vessels plying
betweenthecoastsof theBaltic Sea. Theicebreakers
arereadytoassistanyshipontheiceobstructedroutes
of theBaltic Sea, fromtheBelts to thefarthest ends
of theBothniaBay or theGulf of Finland. Variedice
conditionsintheBalticSeacausemuchgreater navi-
gational difficulties inthenorthernandeasternparts
of thesea. Oneof theindicators of thosedifficulties
isthenumber of cases, inwhichtheassistanceof ice-
breakersisindispensable. For instance, inthe50years
consideredhere, thenumber of assistancesof onlythe
Swedish and Finnish icebreakers varied from121 in
thewinter season1991/92toasmanyas4107during
thewinter 1986/87(Grafstrom&Kiggren, 2007).The
relationshipbetweentheiceseverity (by theseverity
indices for Baltic SeaandAland Sea) and icebreak-
ersactivities(number of cases, inwhichtheSwedish
andFinnishicebreakersassistedtheships)ispresented
by thecomparison, of howthesetwo winter features
variedduringthe50wintersof 1956 2005(Figure1).
Theseasonal seaiceseverityispresentedbytheice
severity index S averaged over thewholeBaltic Sea
and regional, and the ice breakers activity is shown
innumber of cases, inwhichicebreakersassistedthe
ships. ItmustbestressedherethattheBSISarealways
supportedbyboththeicebreakersandtheshipmasters
ingainingactual informationoniceconditionsontheir
searoutes.
2 THE SCOPE OF ACTIVITIESAND
ORGANISATIONOF THE BALTIC SEA ICE
SERVICES
The Baltic winter navigation depended always very
much on the ice conditions in the sea. The sea ice
occursdifferentinformandamount, dependingonthe
Figure2. SeaIceServicesintheBalticSeaIceMeeting.
seaareaandthewinter season.Asthemaritimetraffic
ontheBaltic Seaconstitutes asubstantial amount in
thewholeof theBalticcountriestransport,SeaIceSer-
vices (SISs) havecomeinto being. They constituted
theBaltic SeaIceMeeting (BSIM) abody, which
assembles the parties, which are interested in warn-
ings against bad iceconditions, and in protection of
navigationiniceintheBalticSea.Anindispensableco-
operator tothisbodywasalwaysthecompanyBaltic
Icebreakers. To-day withintheBSIM operateby the
SISs of Denmark, Sweden, Finland, Russia, Estonia,
Latvia, Lithuania, PolandandGermany, Netherlands,
NorwayandtheBalticIcebreakers(Fig. 2). Themain
statutorydutiesof theSISsistheacquisition, process-
inganddisseminationof actual informationonseaice
conditionsandonobstructionstonavigationduetosea
ice. Theexistenceof BSIM andcooperationbetween
SISsguaranteestheuseof standardisedicemessages,
codes, graphic symbols, formats, etc in the ice data
exchangenotonlybetweenall thesecountriesbutalso
for navigators.
BSIMaswell asSISsisworkingontwolevels the
national oneandtheinternational.
Thenational level involves:
networkof coastal observingposts,
datacollectingcentre,
SeaIceServiceNational Centre
The Sea Ice Service National Centre is responsi-
blefor:
acquisition of all possible ice information (from
beyondtheroutineiceobservingnetwork data) as
icebreaker data, satellite data, air reconnaissance
dataetc,
datacontrol andinterpretation,
editionanddisseminationof iceinformationinform
of icereports, icebulletins, icechartsetc,
forecastsof iceconditionsdevelopment,
exchange of ice information locally, and in the
region internationally,
co-operationwithicebreakers.
Theinternational level demandsfor:
dailyroutineexchangeof iceinformationproducts
betweentheSeaIceServices,
international co-operationwithIceBreakerService,
participationinBSIM conferencesinorder toasses
the activities of the National Sea Ice Services, to
468
implement the developing technologies into these
activities and to adapt theseactivities to changing
economicandpolitical conditions,
co-operation with the WMO, J CCOM as well as
with International Ice Charting Working Group
(IICWG).
Between the BSIM conferences, the activities of
theSeaIceServicesareco-ordinatedbytherepresen-
tatives of theNational SISs, under theleadership of
theactingBSIM Chairman.
3 SHORT HISTORY OF THE BALTIC SEA ICE
SERVICES
Importanceof thewinter navigationintheBalticSea
ononesideandontheother serious sea-iceborne
difficulties, forced in the regions of severe winters
regular seaiceobservations already inthemiddleof
19-thcentury. This, however, wasinitiatedbyindivid-
ual countries(theeconomyof whichmostlydepended
onseatraffic, alsoinwinter).Thereforethefirstobser-
vationswerecarriedout onlyinthosecountries, with
nointegrationonlarger scale.
The tragedy of Titanic powered to create the
first intheworld, acompletelyorganised, worldwide
seaiceservice(International IcePatrol). Inthis time
Europebegan also to develop theprotection of win-
ter traffic in sea ice conditions. However theWorld
War 1 and the following formation of new political
systems on the continent did not allow to meet the
Balticiceexpertsearlierthanin1925(Strubing2003).
That ensemble of experts on protection against sea
ice discussed the in that time available instruments
of informationexchange; amongotherstheyproposed
the use of the Baltic Sea Ice Code (BSIC). Already
in 1926, on the1st Conferenceof theBaltic Hydro-
graphers(CBO) inRigatheframesof dataexchange
standardisationhadbeensettled, andoneyearlater, on
the2ndCBO, thefirst BSIC was accepted. Therec-
ommendationsof thisConferencewereimplemented
verysoon,andalreadyintheseverewinter1928/29the
majority of information, among themtheicecharts,
wasusedaccordingtotheuniformBSIC rules. Inthe
year 1936, onthe5thCBOinHelsinki thestatusquo
of theSISs was discussed, includingreports ontheir
organisationandactivities. Alsotheseaiceterminol-
ogy was completed and accepted, together with the
multilingual terminologyof theBSIC.
The World War 2 interrupted the co-operation
within the BSIM. The National SISs, however,
resumedtheir iceinformationexchangeby thesame
rulesasbefore, straightawayafter thewar ended. Not
earlier, however, thanintheyear 1954theiceexperts
of Denmark, Finland, Federal Republic of Germany,
the Netherlands and Sweden activated the BSIM to
compiletheInternational SeaIceTerminologyandto
actualisetheBSICbyenrichingitscontent. Shortafter
1956 also theformer German Democratic Republic,
Poland and the former USSR sent their representa-
tives to resume the co-operation within the BSIM.
Further meetingsof thisbodyconsistedinimproving
theinformationexchangetechnologies, intherevision
andactualisationof BSIC andicechart (amongthem
the Sea Ice Egg Code), in completing the multilin-
gual vocabulary of seaiceterminology, digitalisation
of icechartsbyintroducingtheSIGRIDcodeandlast,
butnotleast, inimplementingthemathematical prog-
nostic modelsof iceconditionsdevelopment intothe
operational routine. Successive years brought enor-
mous development in both observation technologies
(remote sensing, aircraft reconnaissance, radar and
satelliteimagery) and in datatransmission (internet,
Navtex,othermassetc).SuccessiveBSIMshadtocope
withthatabundanceof potentialitytobeimplemented
intotheSeaIceServiceobservingpractices, intodata
transmissionandforecasting. Seaicecodeshadtobe
repeatedlyrevisedandcompleted, alsoduetopolitical
changesinthelast decadeof the20thcentury. Inthe
year 2005, on21stBSIMinRigatheMemorandumof
Understandingof theSeaIceServiceshasbeensigned
bythemajorityof thenational services.
4 BALTIC SEA ICE CODE
This code is a set of conventional numeral symbols
used in transmitting messages on iceconditions and
obstructionto navigationdueto seaiceinparticular
areas of the Baltic Sea, in ports and approaches to
themandonother searouter (about500observational
posts). After having collected all the ice messages
fromitsregionof responsibility, eachindividual SISs
prepares national icereport/icebulletins (Fig. 3) and
transmits it to be broadcast by the Global Telecom-
municationSystem(GTS). Thefirst edition(usedas
national codefrom1920/21) of Baltic SeaIceCode
(from1928/29) containedonly twogroups, specified
asjandk. Underjdescribedweretheicecondi-
tions, under k theobstructiontonavigationdueto
theice.ThesecondBSICestablishedin1954/55(used
inPolandfrom1963) andrevisedin1969, was mod-
ified by adding another group on ice development.
Now by i weremeant theiceconditions, by j
icedevelopment, andby k impact onnavigation
by ice. Thethird BSIC has been introduced in 1981
andistill to-dayinuse. Itdescribedtheiceconditions
inports, fairwaysandsignificantnavigationchannels.
BSIC(inicebulletinsandreports) withicechartsgive
thedetailed information for ships officers of actual
iceandnavigationconditions. Theseaandnavigation
areasof eachcountryaredesignatedbycapital letters
AA, BB, CC ets. Each area is subdivided into parts
numberedfrom1to9. Baltic SeaIceCode(Figure3)
consistsof four groups:
A
B
amount andarrangementsof seaice,
S
B
stageof icedevelopment,
T
B
topographyor formof ice,
K
B
navigationconditionsinice
Thereceiversof theicereportsfromthewholesea
regionusethem, after havingdecodedthem, tocom-
piletheirroutineproducts: icebulletins, icechartsand
469
Figure3. Anexampleof PolishSeaIceReport from12of
Feb. 2001.
whereCC18353after decoding:
CC 1=observational post; hereSwinoujscie, Pomerania
Bay,
8 fast ice,
3 grey-whiteice,
5 raftedice,
3 navigationwithout icebreaker assistancepossibleonly
highpoweredvessels of strongconstructionandsuitablefor
navigationinice.
other information, e.g. the forecasts. Ice report/ ice
bulletin is edited daily or weekly, depending on the
severityof seaicesituation. Alsoicebulletins, which
givedetailedicesituationinthewholeBalticSeaarea
areissued routinely, in national languages and addi-
tionally inEnglish. Bulletins canbemailedinpaper
formor e-mailedtotheusers.
5 ICE CHARTS
Ice charts were one of the oldest methods to dis-
tributetheinformation on seaiceconditions and on
theobstructions, whichtheicecouldbetonavigation.
Thefirst icecharts, whichnowarestoredinarchived
form, weredrawnalready intheendof 19thcentury.
As aroutineproduct of theSISs, however, they were
issuednot earlier thanabout thenineteenthirties. The
main aimof an IceChart is to project on amap the
actual iceconditionsinthegivenseabasinor route.
Thus, anicechartisagraphicsupplementof theice
information contained in theIceReport/IceBulletin
andisissueddaily, wheniceconditionsaresevere, or
twiceaweek, whenthewinter iscalm.
The form, in which the ice conditions were pre-
sented on the ice charts, depended on the contem-
porarilyavailablepresentationtechnologiesandonthe
accepted graphic symbols. Important also were the
ways by means of which the maps were distributed
totheusers, especiallyshipmasters, icebreakers, port
officers.
The oldest Polish archived Ice Chart is dated on
winter 1929andisreproducedinFigure4.
ThechartwasissuedbytheWydzia Morski inGdy-
niaof thecontemporary Pa nstwowy Instytut Meteo-
rologiczny(PolishNational Meteorological Institute).
Iceconditionswerepresentedby numbersof codein
due chart places and the degree of obstructed navi-
gation by different colours. Beside of the graphic
presentation a general description of ice conditions
was given in plain language in Polish, English and
German. Additionally, amoredetaileddescriptionof
Figure4. PolishIceChartfrom8of March1929, issuedby
theMaritimeBranchof thePastwowyInstytutMeteorolog-
icznyinGdynia.
icesituationinthePolishwaterswasgiven, including
informationonair temperatureandwind. This, how-
ever, wasahand-madechart, deliveredbymessengers
or mailed.
In the post-war decades, along with the telecom-
munication and other technical means development,
theappearanceof icecharts changed. Whenthefac-
similetransmissiongot possible, ready icecharts, in
order to be transmitted to the addressees, had to be
monochrome.Therefore,since1981,newprinciplesof
one-colour drawingof icechartswereset. ThePolish
Icechart hadaconformconicprojectionandcovered
theareaof thewholeBaltic Sea, includingKattegat.
Further, it gaveall indispensableinformation on the
iceconditionsinthesea, thebaysandlagoons.
Additionally, thicknessof icewasaddedandnames
of icebreakersoperatinginparticular seaareascould
be inserted. However, preparation of an ice chart in
that waywaslaboriousenough(Fig. 5).
Further enormousdevelopment of thetelecommu-
nication facilities, as satellitelinks, internet, simpli-
fied both the transmission and preparation of ice
chartsandallowedfor acome-backof colouredcharts
(Fig. 6).
Similaricechartsareeditedbythemajorityof SISs,
excluding Lithuania and Latvia. Russia reduces the
areaof itsIceCharttotheGulf of Finlandonly, Estonia
totheGulf of FinlandandtheGulf of Riga.
470
Figure5. PolishIceChart from13of March1987, edited
byOddzia Morski IMGWinGdynia(MarineBranchof the
Instituteof MeteorologyandWater Management).
Figure6. Icechartof 12of March2004, issuedbyOddzia
Morski IMGWinGdynia.
6 SUMMARY
Theabovediscussed Baltic SISs products (icemes-
sages, reports, bulletins, icecharts andforecasts) do
not involvethefull list of seaiceinformationwhich
iscollected, processedanddisseminatedbythesebod-
ies. Merely mentionedweretheicedevelopment and
movementforecasts.Alsotheuserswerescarcelymen-
tioned, as the circle of users depends on individual
needsof givencountrysnational economy. Oncemore
theroleof telecommunicationmustbestressed. Inpre-
vious iceseasons seaiceinformation was broadcast
byradio, routinelywithweather forecasts. Sincenine-
teen nineties it is available by NAVTEX. Beside of
this, theSISSs products arepublished by internet
bothonthewebpagesof theparticular SISSs aswell
as on the web of the BSISs. The investigation was
made under the IMGW projects DS-H7 and project
PL0103Strengtheningof theadministrativecapac-
itytoimprovemanagement of thePolishcoastal zone
environment- Seaman financed by the Norwegian
Financial Mechanism.
REFERENCES
J evrejevaS., DrabkinV.V., KostjukovJ., LebedevA.A., Lep-
pranta M., Mironov Y.U., Schmelzer N., Sztobryn M.,
2002: IceTimeSeriesof theBalticSea, Report Seriesin
GeophysicsNo. 44, Helsinki,.
GrafstromT.&KiggrenD.2007:Asummaryof theiceseason
andicebreakingactivieties2006/2007, pp.54.
WMO574, 2004: Sea-IceInformationServicesintheWorld
Schmelzer N., SeinaA., Lundqvist J.E., SztobrynM., 2008,
Ice, in: StateandEvolutionof theBalticSea, 19522005,
Wiley& Sons, 199240,
StrubingK. 2004Therootsof BSIM, www.bsh.de,
Sztobryn, M., 2006, Zlodzeniepolskiej strefy przybrze znej
wlatach19552005, IMGWReport of DS.-H7project
471
11.5
Lowsealevel occurrenceof thesouthernBalticSeacoast
I. Stanisawczyk, B. Kowalska& M. Mykita
Instytut Meteorologii i Gospodarki Wodnej, Oddzia Morski, Gdynia, Poland
ABSTRACT: Thelevel of 440cmis definedas theupper limit of lowsealevel. This valueis also accepted
as thewarninglevel for navigation, accordingto theNAVTEX. Thelowsealevels alongthesouthernBaltic
Seacoast wereanalyzed in theyears 19552005. Lowest values recorded ranged from309cminWismar to
370cminKoobrzeg. Thephenomenonwaschieflygeneratedbyhurricanelikeoffshorewinds. Extremelylow
levels werenot frequent, their occurrencedid not exceed morethan 0,3%in

Swinouj scieand not morethan
1%inWarnemnde. Insummer monthsthesephenomenaoccurredextremelyseldom, theyweremorefrequent
inthewestern, thanintheeasternpart of thecoast. Long-termvariationandstatistical analysiswaspresented.
Probability of lowsealevels occurrencewas calculated by Gumbel method and percentiledistribution for 4
gaugestationswasanalyzed. Thecalculationsrevealedthat, for instance, inWarnemndeoncein20yearsthe
minimumsealevel canbeaslowas358cm.
1 INTRODUCTION
The mean sea level in the Baltic Sea has visibly
increased during the last century. The global gener-
atorsof thisincreasemaybesupportedor reducedby
local influences. Routinely measuredlevel valuesare
theresult of all theaffectingcauses. Assomeof these
impacts appear irregularly in time, the resulting sea
level changes areirregular, too. Daily oscillations of
thelevelsatthesoutherncoastmayreacheven2,53m
inextremecases.
Verylowwater levelsmaycausesmall harboursto
fall dry andmay causeobstructionstonavigation. To
ensurethesafetyof navigationinthedifficultwatersof
theSouthernBalticSea, reliabledataonwater levels,
particularlylowwater levels, arehighlyimportant.
Lowsealevels areoneof themost important fac-
torsof thenavigationsafety. Thepractical importance
of water level for shipping and harbour engineering
wasrecognizedearly. Representativesof shippingare
alwaysdeeplyinterestedinsafepassagesof their ves-
selsthroughtheBalticSea, whereat particular coasts
significant differences in the water level are known
tooccur, inspiteof negligibletides, nearlylackingin
thissea.
Analyzedwerethelowsealevel eventsatthesouth-
ern Baltic Seacoast, basing on 50 years long series
of sea level data from 1955 2005. The mareo-
graphicrecordswereobtainedfromthewater gauges
in Wismar, Warnemnde, Sassnitz,

Swinouj scie and
Koobrzeg. TheinvestigationwasrealizedbyInstytut
Meteorologii i Gospodarki Wodnej Oddzia Morski
(IMGW OM) from the Polish side and by Bunde-
samt fr Seeschiffahrt undHydrographie(BSH) from
the German side. Used were the hydrological and
meteorological datastoredintheBSHandtheIMGW
archives.
Thisstudyonlowsealevelsoccurringatthesouth-
ernBalticSeacoastswasrealizedasaninternal IMGW
andSEAMANprojects.
2 NATURAL CONDITIONS
The here considered section of the South-western
BalticSeacoast comprises, goingeast, threeGerman
water gauges, Wismar, Warnemnde and Sassnitz,
andtwoPolishones,

Swinouj scieandKoobrzeg. The
westernmostpartof thesouthernBalticcoastbetween
Wismar, on theMecklenburg Bay, and CapeArkona
on the island of Rugia extends roughly fromsouth-
west to northeast. This part of thecoast has ahighly
variabletopography: it is shallowandrichincreeks,
shoals,andsandbanks.Alsothecoastal sectionextend-
ingfromthehighcliffsof CapeArkonato
Swinouj scie
andtheOdraestuary,orientedfromnorthwesttosouth-
east, has an intricate topography: it is rich in small
sandy coastal islets, narrows, and sandbanks. In the
adjacent Pomeranian Bay, the seabed also is highly
variable, withshallowdepths below10mprevailing.
Aparticularlywidebeltof shoalsexistsoff theislandof
Uznaminthewaterscloseto
Swinouj scieandaround
theislandof Wolin. Farther totheeast, betweenWolin
andKoobrzeg, the10-misobathrunsascloseasone
nautical mile fromthe shore. The coastline in this
area, running fromwest-southwest to east-northeast,
is rather smooth, and the isobath 50mis not more
distant thanabout 15NM off theshore.
473
3 DEFINITIONOF LOWSEA LEVEL
Noobligatorydefinitionof lowsealevel isinforce
in the hydrological forecasting and warning service
andnoobligatorywarningsonexpectedoccurrenceof
thisphenomenonareissued. For thisinvestigationthe
level 440cmhasbeenacceptedfor thesoutherncoast
of theBaltic Seaas thewarninglevel for navigation,
accordingtotheNAVTEX.
4 LOWSEA LEVELSGENERATORS
Sealevel changes along thecoasts aregenerated by
several factors, mainlybythewindimpact onthesea
surfaceand, tosomeextent, bytheactual watervolume
of thesea. Most spectacular deformationof thewater
surfaceat theBaltic Seashores canoccur dueto the
alreadymentionedoff- oron-shore,stormy,sometimes
hurricane-likewinds, veeringor backing, accordingly
totheweather systemactuallypassingalongor across
thecoast. Theforceof thewindagainst thewater sur-
facecauses deformations which becomethegreater,
theshallower istheareaof thesea.
Of essential influencearehowever, thelocal condi-
tions. Inshallowareas, suchastheBalticSea, thewind
exerts dominating influence on the water level. The
magnitudeandthecharacter of thesealevel changes
depends thus on thecoast lineconfiguration, on the
expositionof particularcoastparttotheactual wind,on
thebathymetryof theadjacentseabasin, thecurrents,
etc. Sometimes, even in the same time the opposed
water level tendencies canbeobservedalongacom-
parativelyshortsectionof thesamecoast.Thegrounds
for thisdifferencesliemainly inthemorphology and
in the peculiar hydrographic character of this coast.
Insomecases, however, theseopposedtendenciesare
duetoarapidchangesof thestormdirectionwithina
limitedareaof thewindfield.
5 METEOROLOGICAL INFLUENCES
Strongwindis thedominant factor, whichforces the
water surface oscillations in the Baltic Sea. An off-
shorewinddepressingthewater surfaceat theshore
isusuallylessvehementover thelandthanonthesea,
and, dependingonthecharacter of thecoast line, can
havemoreor less deflecteddirection. Muchstronger
effect thanthewindmeasuredat theshores exert the
storms, which accompany the low pressure systems
moving across theBaltic Sea, affecting considerable
areas of water. A rather seldom, though noteworthy
cause of low levels is a long lasting gale connected
withananticycloneover ScandinaviaandRussiaand
influencingavastareaof thewholeBalticbasin. Each
of thementionedwindsystems, thoughtransforming
and very much influenced on their way, develops in
accordance with the actual specific pressure pattern
over EuropeandtheadjacentAtlanticOcean.
The Norwegian and North Seas, the Scandinavia
andtheBalticSea, aresituatedinthewest windzone.
They are an area over which the atmospheric dis-
turbances, mostly active depressions with the fronts
systems,moveeastwardsfromovertheAtlanticOcean.
In the fore field of a depression winds of a strong
southerncomponentprevail, behindthefrontsusually
veering.Thewindsintheforefieldof adepressionare
offshoreinrelationtothesoutherncoastsof theNorth
andBalticSeas. Thedepressionsarecommonhere.
Some depressions, on their way eastwards, when
enteringScandinavia, slowdown, thoughcontinueto
deepen. The pressure gradient gets very steep and
the initially stormy wind grows to hurricane force.
Atthesoutherncoaststheoffshore-wind-driven-level-
decreasebeginsandholdson, until thewindcalms, or
veers. Typical reactionof thelevelstosuchwindforc-
ingis, atfirst, agradual decreasealongabigpartof the
coast, then, prettyoften, asharplyacceleratedsinking
whenthestormgrowstomaximumforceandfinally
aprolongedminimumwhichlastsaslongasthehur-
ricaneforceholdon, without changingthedirection.
Whenthewindveers, thelevelsbeginamoreor less
rapid increase(often supported by thenowalong or
onshorewind).
Another type of low sea level variation can be
observedwhenastrong, stationaryanticyclonecovers,
or oscillates over the Fennoscandia and the north-
westernpartsof Russia. Insuchatmosphericsituation
two main factors striveto diminish thewater levels.
Thefirstoneistheconsiderablyincreasedhydrostatic
pressureinthepowerful high.Theotheroneisthewind
system, whichdevelopsatthesouth-westernoutskirts
of thehigh: over thenorthernmost areasof theBaltic
Seaprevail light to moderatewinds of ahigh north-
erncomponent; goingsouththewindsveer toeasterly
and south-easterly and grow in force, sometimes to
storminplaces. Inthewesternmost part of theBaltic
Sea, intheSoundandinthesouth-east of theNorth
Seadominatethesouth-easterlyandsoutherlywinds.
If suchconfigurationof pressuresystemspersistsfor
longenough aweek, twoor evenmore, thesurface
water not onlyispushedawayfromtheshores, but is
alsoforcedout of theseabasinthroughtheBeltsand
theSound. All thecoastal water gauges intheBaltic
Sea(except, perhaps, thoseintheSounds) shouldthen
recorddecreasedlevels.
6 SOME PARAMETERSOF THE
DECREASINGLEVELS
Theprocess of sealevel decreasebegins, as already
said, forcedby theimpact of astrongwind. Depend-
ingon thewindcharacter, thedecreasecan berapid
andshortlasting, or smoothandneedalonger timeto
develope.Theactingforce(wind) cancover thewhole
areainthesametimeor, what is morefrequent, can
progress fromwest to east, only inrarecases from
easttowest. Sometimesitcaninfluenceonlyapartof
thecoast. It must bealsokept inmindthat adecrease
sealevel isonlyaphaseof theseasurfaceoscillation,
followed(orpreceded) byariseof sealevel theother
474
Figure1. Fragment of sealevel decreaseduringthestorm
on1719thOct, 1967.
phaseof this wind driven oscillation. An illustration
of asealevel decreasecangivethevariationcurvesof
thefallingseasurfaceatthesouthwesterncoastof the
BalticSea.
In the afternoon and night of 17 October, a deep
meteorological depressionwasalmost stationaryover
theKattegatandsouthernSweden.A verystrongwest-
erly tosouthwesterly stormof 89Bft, andof 10Bft
in places, developed over theeastern North Seaand
thesouthwesternbasinsof theBalticSea. Behindthe
occludedfront, thestormveerednorthwestintheearly
hoursof 18October, without calmingduringthenext
several hours.
On17October 1967, sealevels onthesouthwest-
ernBalticSeacoastoscillatedslightlyabovethemean
value. Aroundnoon, theydroppedfirst intheWismar
Bay, whichistheareamost sensitivetotheimpact of
gale-forceoffshorewinds. Water levels beganto fall
steadily, initially at arateof about 10cm/hour, later
1015cm/hour. A less regular rate of decrease was
recorded at theother water level gauges. Koobrzeg,
theeasternmost of theconsideredwater gauges, was
thelaststationtorecordfallingwaterlevelsonthispart
of thecoast. Thevaluesthereremainedabove500cm
until thewesterly(alongshore) windshadbackedSW,
partlyS, at about 21UTC. Thisforcedarapiddropof
sealevelsinthisarea. Minimumlevelswererecorded
just after midnight on18October, between01and04
UTC. The stormhowever, still came fromsoutherly
directions, causing water levels to drop particularly
rapidly(Fig. 1).
Rates of decrease were as high as about 40cm/h
in Sassnitz, and about 50cm/h in Koobrzeg and
Swinouj scie. The lowest minima were as follows:

Warnemnde 332cm, Wismar 334cm,

Swinouj scie
362cm, Sassnitz381cm, andKoobrzeg435cm. Dur-
ing that storm levels below 440cm remained for
17hour in Wismar, while in Koobrzeg only for
2hours. Theseverityof thestorm, whichveeredNW
N, causedthesealevelstostartriseagain, immediately
athighrates,tocompensatethedifferenceof morethan
1.5min57hours.
Duringaseriesof another threesuccessivestorms,
between29November and7December 1999, oneof
themcausedaparticulardeepsinkingof thesealevels,
Figure 2. Frequency distribution of sea level values,
Swinouj scie, 19552005.

particularlyon4December.Theintensityof thestorm
raginginthewholesouthwesternareaof theBalticSea,
fromtheSounds to thecoasts of Koobrzeg, reached
andat times exceeded9to 10Bft. Thehighest rates
of decreaseoscillatedabout2515cm/hour, whilethe
absoluteminimawereaslowas309cminWismarand
333cminWarnemnde. InWismar thewater stayed
below440cmfor 19hours.
7 FREQUENCIES
Extremely low sea level values recorded along
the southern coast of the Baltic were as high
as 370cm in Koobrzeg (1979-11-04), 366cm in
Swinouj scie(1967-10-18), 357cminSassnitz (1939-

12-22), 332cm in Warnemnde (1967-10-18) and
309cminWismar (1999-12-04).
In

Swinouj scie, for example, most frequent values
of thelevels wereclosest to themean sealevel, that
meanstoH=500cm(Fig. 2). About90%of themea-
sured levels were included in the intervals between
520cmto480cmonly about 0,3%of thelevelswere
lower than 440cmand in the months fromMay to
Augustsuchlowvalueswerenotrecordedatall. Inthe
sameyearsinWarnemndethefrequenciesof partic-
ular sealevel valueswereasfollows: between520cm
and 480cmincluded wereabout 70%of thevalues.
Only scarcely smaller than1%werethelevelsbelow
440cm.
Inonemonthof theyear namely inJ unenolevels
lower than440cmoccurred.
8 LONG-TERMVARIATIONOF LOWSEA
LEVEL OCCURRENCES
Thelong-termvariation of low sealevel occurrence
andannual frequencydistributionprovidesimportant
informationonthishydrological effect.
Very low sea levels in the Baltic Sea occur very
irregularly andareextremely rareinsummer. At the
declaredlowlevel limitof 440cmtheyareamarginal
phenomenon. At the southern coast their frequency
475
Figure 3. Long termvariation of absolute annual sea level minima in Warnemnde, Wismar Sassnitz,

Swinouj scie and
Koobrzeg, 19552005.
Figure4a. Longtermvariationof lowsealevel eventsH440cminWarnemnde, Sassnitz andWismar, 19552005.
Figure4b. Longtermvariationof lowsealevel eventsH440cmin
Swinouj scie, Koobrzeg, 19552005.

and deviation of magnitude decrease, when moving
east. For instance, whileinWismar andWarnemnde,
ineachof theyears between1955and2005theval-
ues of absolute minima fell lower than 440 cmor
even lower than 420cm, so already in Sassnitz and
Swinouj scietheyremainedabovethethresholdvalue
inthreeof theseyears(1989, 1998and2000), andin
Koobrzeg ten of theabsoluteannual minimain this
50yearsstayedabove440cm.
The range of variability of the absolute annual
minima reached to about 1min those 50 years: in
Wismar from420cmto309cm, inWarnemndefrom
431 to 331cm, in Sassnitz from444 to 364cm, in
Swinouj sciefrom445to366cmandin.
The5extremelydeepminimaof thetimeconsidered
(1956, 1967, 1981, 1989, 1999) weretheeffect of the
samehurricanelikestorms. So was also thecasein
theyear 1979, when thedecreasewas exceptionally
deepinKoobrzeg, wherethewater fell nearlyaslow
as in Wismar and Warnemnde, what usually is not
thecase(Fig. 3). Thoseeventswereduetovery deep
depressionswithaccompanyinghurricanelikewinds,
passingacrosstheBalticSea.
Thelongtermvariabilityof lowsealevel (H440)
showsmuchmorelowlevelsoccurrencesinthewest-
ernpartof thecoastthanintheeast. However, insome
yearslowlevelswerenot recordedat all, e.g. in1989,
1998inSassnitz,

Swinouj scie, Koobrzeg(Figs4a, b).
476
Maximumnumber of lowsealevel events (H440)
hadtheyear1993inthewholesoutherncost,fromWis-
martoKoobrzeg, similarlywasin1979and1959.The
number of lowlevel events varies fromyear to year,
changingbyasmuchastwoor threetimes. Ingeneral
anincreaseof lowlevel eventswasobservedattheturn
of nineteenfifties to sixties, intheseventies to mid-
eightiesandalsointhenineteennineties.Thebehavior
of thegeneral lowsealevel variationisgiveninFigures
4aand 4b, by bars and by curves of 8years moving
averages, calculatedfor Wismar and
Swinouj scie.
9 PROBABILITY
The Gumbel method is well suitable for evaluating
the probability of low sea levels. In Gumbel dis-
tribution, the extreme-value events are distributed
asymmetrically.
Thefollowingprobabilityof non-exceedanceW(x)
hasbeenusedasdesignbasisfor theoccurrenceof a
lowseawater event withthevaluex:
and: y =a (x b)
where:W(x)=probabilityof non-exceedance;x =annual
water level minima
fromwhereit follows:
Probabilities accordingto theGumbel methodare
computedbymeansof theaboveconditional equations
usingannual extremewater levels.
Theyareupdatedannually.
The recurrence intervals were calculated using
the absolute annual sea level minima in Wismar,
Warnemnde,

Swinouj scie and Koobrzeg fromthe
years 19552005 and the above mentioned Gumbel
probability method. Fromthecalculations it follows
that, for instance every 50 years a sea level slightly
below 330cm would occur in Wismar, which in
Koobrzega50yearsvalueisaslowas390cm.
A 20 years value in Wismar is as low as about
335cm, while in Koobrzeg is scarcely falls below
400cm(Fig. 5). Theprobabilityof occurrenceof low
sealevel onthesoutherncoastdecreasesfromwestto
east.
Thepercentileisameasurewhichgivesinformation
ontheper centof observationsfoundbelowadefinite
value. Figure 6 shows the percentile distribution of
monthlyminimumsealevelsfor thesoutherncoastof
theBalticSea.
25thpercentile(lower quartile) isthevalue, below
which 25 percent of all observed water levels fall.
In Wismar 25% of all values was below 367cm, in
Warnemnde below 392cm, in

Swinouj scie below
407cmandinKoobrzegbelow414cm. Upper quar-
tile(75thpercentile), oftenusedinstatistical charac-
teristics, isthevalueof variablebelowwhichthereis
Figure5. Lowsealevel asafunctionof statistical recurrence
from4gaugestations, 19552005.
Figure6. Percentiledistributionof monthlylowestsealevel
at the4gaugestations.
75%of all analyzedvalues. Inthecaseof all herecon-
sideredstations,themaximumvalueof 75thpercentile
was439cminKoobrzegand427cmin
Swinouj scie.
Thismeansthatin
Swinouj scie75%of observations

was below427cm. InWarnemnde75%of observa-
tions of monthly lowest sealevel was below414cm
and below399cminWismar. The50th percentileis
an equivalent of themedian. In caseof theanalysed
stationsthemedianamountsto: 431cminKoobrzeg,
419cmin

Swinouj scie, 403cmin Warnemndeand
389cminWismar.
10 CONCLUSIONS
Consideredwasthelowsealevel atthesoutherncoast
of theBalticSeaasafactor influencingthenavigation
safety, the off shore engineering and in general the
maritimemanagement. Therangeof theactually met
sealevel oscillationsmaygrowinfaceof theexpected
global warming.
Extremevalues of thelowest sealevel met in the
presentedpaper, rangefrom309cminWismar, inthe
westernarea, to370cminKoobrzeg central part of
thesoutherncoast(thatmeans191cmbelowthemean
sea level and 131cmbelow the NAVTEX warning
level). Extremeratesof decreasecanreach50cm/hour
(or more).
477
Such conclusions point at the importance of the
warningsagainst verylowlevel. Thiswouldbeasig-
nificant information when the under keel clearance
couldbecritical.
REFERENCES
Baerens,C.,Hupfer,P.,Nthel,R.H.&Stigge,H.-J.1994.Zur
Hufigkeit von Extremwasserstnden an der deutschen
Ostseekste Teil I Sturmhochwasser. Spezialarbeiten
ausderAGKlimaforschungNr. 8, Humboldt-Universitt,
Berlin.
Hupfer, P., Baerens, C., Kolax, M. & Tinz, B. 1994. Zur
Auswirkung von Klimaschwankungen auf die deutsche
Ostseekste. Spez. arb. a.d. Arb.gr. Klimaforschung
des Meteor. Inst. der Humboldt-Universitt zu Berlin:
12, 202S.
Lisitzin, E. 1974. Sea-level changes, Elsevier Scientific
PublishingCompany, Amsterdam Oxford NewYork.
Majewski, A. 1961. General characteristic of sea level
changes on the Southern Baltic Sea, Bull. PIHM 4,
Warszawa.
Majewski, A. 1974. Hydrological characteristic of the
Pomorska Bay (inPolish).Warszawa:Wyd. Kom. i aczn.
Majewski, A., Dziadziuszko, Z., Wi sniewska, A. 1983. The
catalogue of stormsurges on the Polish coasts in the years
19511975 (inPolish). Warszawa: Wyd. Kom. i aczn.
Majewski. A., Dziadziuszko, Z. 1985. Low Sea Levels on the
Southern Baltic Sea, Monogr. (inPolish), IMGW.
Neemann, V. 1994. Beschreibung des Sommerhochwasser-
ereignissesander westlichenOstseekstevonSchleswig-
Holstein am 28.08. 1989. im Vergleich anderer
Hochwasser, Dt. Gewsserkdl. J ahrbuch Kstengebiet
der Nord und Ostsee, Abflujahr 1989(1994),
135149.
Stanisawczyk, I. 2001.VeryLowSeaLevelsin
Swinouj scie,
V Symp. Maritime Safety and Protect of Natural Environ-
ment (inPolish), NOT Koszalin, pp301309.
Stanisawczyk, I. 2001. LowSeaLevelsinKoobrzeg, IV Int.
Conf. Human Protect in Maritime Environment, Maritime
University Szczecin (inPolish), 213220.
Stanisawczyk, I. 2001. Water changes onthePolishBaltic
Coast during heavy storm on Dec. 1999, Wiadomo sci
IMGW XXIV: 1925, Warszawa.
Stanisawczyk, I. 2002. Meteorological conditions of
storm surges on the southern Baltic Coast in period
19762000, Conf. NT Maritime Safety and Protect of
Natural Environment, NOT Koszalin, pp95102.
Stigge, H-J. 1994. Die Wasserstnde an der Kste
Mecklenburg-Vorpommerns. DieKsteH56, 124.
Sztobryn, M. 2001. Assessment of probability of low sea
level occurrencein
Swinouj sciearea, IVInt. Conf. Human

Protect in Maritime Environment, Maritime University
Szczecin (inPolish), pp221228.
Sztobryn, M. 2001. Low Sea Level Forecasting Neural
Network Model, V Symp. Maritime Safety and Protect
of Natural Environment, NOT Koobrzeg (in Polish),
pp293300.
Sztobryn, M., Stigge, H-J., Wielbi nska, D., Weidig, B. &
Stanisawczyk, I. et al. 2005. StormSurgesintheSouth-
ern Baltic Sea (Western and Central Parts), Monogr.,
Bundesamtes fr Seeschifffart und Hydrographie: 39,
51, 3, 51.
Thiel, G. 1953. DieWirkungendes Luft- undWinddruckes
auf den Wassersntand in der Ostsee. Deutsche Hydro-
graphische Zeitschrift 6.
Wielbi nska, D. 1964. Influenceof atmospheric situationon
sealevel. Bull. PIHM 2.
Wrblewski, A. 1970. Occurrenceof annual minimumsea
level SouthernBaltic, Przegl ad Geofizyczny (inPolish)
XV/XXIII.
478
11.6
Measurement systemfor windandwavescharacteristicsregistration
ontheSilmLake
L. Morawski, J. Pomirski, P. Sikora& R. Sok
ABSTRACT: This paper describes the systemfor registration of waves and wind disturbance. Ultrasonic
anemometer measures windparameters. Capacitor sensor is usedfor measurement of waveheight. Thewave
sensor changes its capacitanceaccording to theimmersion of thesensor in water. Themeasurement system
is controlled by themicroprocessor system, which collects datafromthesensors and retransmit themto the
computer viaradiomodem.Thesystemisusedfor designandsimulationof control systemsfor isomorphicship
modelsontheSilmLakenear Ilawa, Poland.
1 INTRODUCTION
During precise control of ship movements at small
velocities andwhendynamic positioningtask is per-
formed, disturbance has considerable impact at the
control accuracy.Particularinfluencetotheshipmove-
ments are during trials on isomorphic ship models
whichareusedfor captainstrainingandalsofor con-
trol systems researchintheShipHandlingResearch
andTrainingCentreat SilmLakenear Ilawa, Poland.
Mostof isomorphicshipmodelshavebeenbuiltinthe
1:24linear scale.Accordingtothelawsof mechanical
similarity duringtrials onthelaketimerun
245
times faster than during operations on thereal ship.
Thesamescale1:
241:5mustbeusedforcompar-
isonof velocitiesinthereal worldandonisomorphic
ship models. Thereforeeven small wind disturbance
duringtestsaffectsshipmodel likequitestrongwind
andwavedisturbanceactsthereal ship(Szalangiewicz
1996; Morawski 2007).
Totakeintoconsiderationtheexternal disturbance
in the control process the appropriate mathematical
model of wind and wave disturbance is required.
Themodel enables adesign of moreprecisecontrol
systems andalso moresophisticatedcomputer simu-
lations can be done. This paper describes design of
the measurement system, which is used for collect-
ing wind and wave parameters on the Silm Lake.
Theregistered data will bebasefor development of
mathematical modelsof disturbanceonthelake.
2 MEASUREMENT SYSTEM DESIGN
The wind and waves measurement systemdiagram
is giveninfigure1. It consists of measurement sen-
sors, whichareinstalledonadolphinfixedinthelake
bottominsomedistanceformalakeshore. Themea-
surementsarecollectedbyaremotecomputer, which
canbeinstalledonashoreor ontheshipmodel.
Figure1. Windandwavesmeasurement system.
2.1 Anemometer
Theultrasonic anemometer measures thetimetaken
for anultrasonicpulsetotravel fromonetransducer to
theoppositetransducer andthencomparesit withthe
timetakenfor another pulseto travel intheopposite
direction(Fig. 2).
The speed c
12
of the pulse travelling in the same
direction as wind and opposite direction c
21
are
givenby:
479
Figure2. Ultrasonicwindspeedmeasurement.
Figure3. Electroniccircuit of windandwavesmeter.
where:
V
w
is awindspeedcomponent, whichis parallel to
the12line,
c is aspeedof thesoundintheair (it depends on
air temperature),
L isadistancebetweenbothtransducers.
If bothtimesT
1
andT
2
areknown, it ispossibleto
calculatewindspeedV
w
andspeedof thesoundinthe
air c:
Gill Instruments WindObserver II has been used
for thewindmeasurements. It has twopairs of ultra-
sonic transducers, which are used for calculation of
two perpendicular components of the wind speed.
Bothcomponents canbeeasy convertedto thepolar
co-ordinates i.e. wind speed and direction. Both co-
ordinates arecalculated with 2%accuracy. Thedata
aretransmitted10timespersecondintheNMEA0183
formatthroughRS422interfacetothemicroprocessor
system(WindObserverII User Manual).
Figure4. Wavesensor capacitorpartiallyimmersedinthe
water.
2.2 Wave height measurer
Electronic part of the wave measurer (Fig. 3) con-
sistsof:
asensor, whichcapacitancechangesduetoimmer-
sionof thesensor inawater
amonostableoscillator, whichformspulsesaccord-
ingtothecapacitanceof thesensor,
a transmission module which receives data from
anemometer andsendsdatatothePC onashore,
amicrocontrollerwhichcontrolsanoperationof the
measurer.
Capacitor sensor isusedfor measurement of wave
height. It is formed by two electrodes (Fig. 4). The
flat bar is oneof electrodes. Thebar is also theele-
ment of mechanical structure of the sensor. Second
electrodeiscomposedby thethincopper wirewitha
teflon isolation coat. The wire is parallel to the bar.
Thepermittivityof theair andthewater aredifferent,
480
sothecapacitanceof thewavesensor dependsonthe
wavelevel asitcauseswhatpartof thesensor isunder
thewater.
Thesensor immersionintherange0500mmcor-
responds to the capacitance variance from40pF to
400pF.Thecapacitorisapartof themonostableoscil-
lator composed by a popular LM555 chip (LM555
Datasheet). Inthis chipthetimepulsewidthstrictly
depends on the connected capacitance. Pulse gener-
ation is strobbed by themicrocontroller. Themicro-
controller also measures the pulse time width. The
32 partial measurements approximate final result.
Measurement is available10times per second. Rela-
tionshipbetweenthepulsetimewidthandthesensor
immersion(thewaveheight)wasdeterminedbyexper-
iment. Thedampingof theelectrodesbywater mainly
influences themeasurement accuracy. Static error of
waveheightmeasurementislessthen1mm, butmax-
imumdynamic error is bigger it was estimated to
5mm.
Additional microcontroller tasks are collecting of
thedatafromtheanemometer andthenretransmittion
of boththewaveandwindparameters toacomputer
throughradio modem. Transmissionbaudrateof the
radio modemis limited to the 4800B. Because the
measurementsareavailableevery100ms(10Hz), and
theNMEA format of datareceivedfromanemometer
causes longtimeof transmission(70ms), andmore-
over 32measurements of waveheight areperformed
inparallel, thereforethemicrocontroller programhas
beenquitedifficulttowrite.Transmissionof thedatato
theshorereducespowerrequirementsforthemeasure-
mentsystem, sotheweightof theequipmentinstalled
onthelakeislower, thereforeeventhindolphins, far
away froma shore could be used for the measurer
fixing.
3 CONCLUSION
Examples of the wind and waves parameters was
recordedonthelakeandgiveninthefigure5.
Thedescribedmeasurement systemenables regis-
tration of wind and waves parameters and finally it
will be possible to construct of appropriate mathe-
matical modelsof windandwavesdisturbancewhich
appearsontheSilmLakeduringtrialsonisomorphic
shipmodels.
Figure5. Direction and speed of wind and level of wave
recordedonSilmlake.
Dataaretransmittedby radio modem, so thesen-
sorsarelight enoughtobemountedevenonthethin
beaconfixedtothelakebed. Another advantageof the
measurer is small power consumption, thereforebat-
terysupplycanbeusedtoregisterdataformanyhours.
Theslowbaudratehasbeenselectedfor transmission,
itcausedsomeproblemsinsoftwaredesign,butfinally
thecheapradiomodemcanbeused,moreoveraninflu-
enceof thedisturbances is reduced and thedistance
rangecoversnearlywholelake.
REFERENCES
LM555Timer. 2006. Data Sheet, National Semiconductor.
Morawski, L. 2007. Charakterystyki probabilistyczne i
widmowe wiatru w badaniach modelowych jednostek
pywaj acych na jeziorze Silm. IV Oglnopolska kon-
ferencja Problemy naukowo-techniczne w wyczynowym
sporcie zeglarskim. Proc. symp., Warszawa-Gdynia.
Szelangiewicz, T. 1996. A simulation model for amooring
positioningsystemof avessel inpresenceof wind, current
andwaves, Polish Maritime Research, Gda nsk.
WindObserverII UltrasonicAnemometer, User Manual, Doc
No. 1390-PS-0004, LymingtonUK,
481
11.7
Simplifiedmethodfor estimatingmaximumshipsdraught whennavigating
inshallowwater onthesouthof StolpeBankintheaspect of thevesselswith
maximumdimensionsanddraught
G. Rutkowski &A. Krlikowski
ABSTRACT: This paper considers analysis of maximumdraught of amerchant vessel, whichcanmaintain
safetyof navigationindifferent exterior condition(averageandextreme) onshallowwater inStolpegutter and
keeprequiredunderkeel clearance, i.e. navigational reserveof depth.Todepictmaximumdraughtof avessel we
usepractical methodwhichincorporatesriskof navigational andmodel of shipsdomain. Resultsarecompared
withguidelines publishedby Decreeof Minister of Transport andMaritimeEconomy from01.06.1998about
technical conditions, whichshouldbemet by hydro mechanical seastructure, whichoperatevessels withthe
givenparticulars.
1 SAFETY OF NAVIGATIONINSTOLPE
GUTTER
1.1 Introduction
This paper considers analysis of maximumdraught
of a merchant vessel, which can maintain safety of
navigationinaverageandextremeexterior (weather)
conditions in Stolpe gutter and keep required under
keel clearance, i.e. navigational reserveof depth.
Analysis of navigational reserve of depth (under
keel clearance) ismadeindifferent exterior condition
(averageandextreme) for merchant vesselssuchas:
VLCC vessel or bulk carrier whose particu-
lars are: LOA (length over all) L =350,0m,
beam B=60,0m, draught in the Baltic Sea
1
T
D
=T
R
=15,00m, blockcoefficient C
B
=0,85.
Container shipwhoseparticularsare: LOA (length
over all) L =250,0m, beamB=32,0m, draught
T
D
=T
R
B
=0,70.
Passengerferrywhoseparticularsare: LOA (length
over all) L =140,0m, beamB=16,0m, draught
T
D
=T
R
B
=0,65.
Fishing boat whose particulars are: LOA (length
over all) LOA=40,0m, beamB=8,5m, draught
T
D
=T
R
B
=0,63.
Results are compared with guidelines published
by Decree of Minister of Transport and Maritime
1
Limitationof draughtT=15,0mwasacceptedinBalticSea
such as maximumfor thevessel wanted to sail safeacross
Danishstraits(Great Belt withHn=17,0m). SinceNovem-
ber 2007 according to the Notice to Marines limitation of
ships draught has been reduced to 14,50mdueto shallow
water inGreat Belt withdepthHn=16,50m.
Economy from 01.06.1998 about technical condi-
tions, which should be met by hydro mechanical
sea structure, which operate vessels with the given
particulars.
2 GUIDELINESOF POLISHMINISTER OF
TRANSPORT ANDMARITIME ECONOMY
CONCERNINGUNDER KEEL CLEARANCE
Let usconsider thetheoretical establishingof Separa-
tion Zonein theareaof Stolpegutter in accordance
with guidelines published in the Decree of Polish
Minister of Transport and Maritime Economy from
01.06.1998(Dz.U.98.101.645) about technical condi-
tions, whichshouldbemet by hydro mechanical sea
structureandthelocation SectionII, Chapter 3, 25
to 35.
Every sea structure situated within Polish area
descriptionthreedepthsof water:
DesigneddepthH
p
,
AcceptabledepthH
dop.
Technical depthH
t
,
DesigneddepthH
p
isspecifiedbyformula:
where: H
p
designeddepth, [m]; H
t
technical depth,
[m]; t
b
dredgereservetolerance, [m].
A valueof tolerancefor dredgereserve, accepted
to estimateseastructures anddesigndrawingworks,
withrespect tothelocationof drawingworks, is:
t
b
=0,25m for drawingworksmadeinport and
harbours,
483
t
b
=0,35m for drawing works carried out out-
sidelimitsof harbours, especially ontheroads, in
the approaching channels, for placing cables and
pipelinesinterritorial seaandinteriorseawatersas
well asprofilingseabedfor seasstructures.
Every designedproject includes specific widthof
seabedlanealongseastructure, inwhichoneshould
keep acceptabledepth (H
dop.
). If thetechnical docu-
mentation, suchas navigational chart, describes only
onedepthof thearea, weassumethat thisdepthcon-
stitutesacceptabledepth(H
dop.
). Inthiswaytechnical
depth(H
t
) canbepresentedinmetersonthebasisof
thefollowingformula:
where: H
t
technical depth, [m]; H
dop
acceptable
depth, [m]; t
b
full tolerancefor dredgereserve, [m].
When we use navigational depth (H
n
) we think
aboutdifferencebetweenhorizontal planes, measured
fromaveragesealevel SWtohorizontal plane, which
is adjoinedwiththehighest bedsituatedinthegiven
area, whichisdesignedfor vessel traffic.
Actual navigational depth (H
na
) is navigational
depth(H
n
), whichreferstoactual water level.
Acceptable depth (draught) of the ship (T
a
) in
traffic areasdescribesdifferencebetweenactual nav-
igational depth(H
naa
) andtotal under keel clearance
(R
t
) requiredinsailingcondition:
where: T
a
acceptableships depth (draught), [m];
H
na
actual navigational depth, [m]; R
t
total under
keel clearancedepth, whichenablesthevessel tofloat
intheplacewhereseastructureislocated, evenfor the
unfavourablehydrometeorological conditions, [m].
The next link (4) shows relationship between the
highest acceptable ships depth (draught) (T
c
) and
technical depth(H
t
):
where: T
C
is thehighest ships depth (draught) on
evenkeel, [m]; R
t
total under keel clearancedepth,
whichenablesthevessel tofloatintheplacewheresea
structureis located, even for theunfavourablehydro
meteorological conditions[m].
Total underkeel clearance, whichisincludedinfor-
mulae(3) and(4), cannotbesmaller thanminimumof
total reserveof waterdepth(R
min
t
), describedinmeters
bythefollowingformula:
where: T
C
is maximum acceptable ships depth
(draught) on even keel, [m]; not dimensional
coefficient, dependent onthetypeof areaor fairway,
describedinTable1.
Inthis casetheminimumvalueof total reserveof
waterdepthR
min
t
establishedfordifferenttypeof ships
(unit) isdescribedinTable2.
Table1. Valuesof notdimensional coefficient, withrespect
totypeof areaor fairway. Dz.U.98.101.645.
No Typeof areaor fairway
1. Harbour areascoveredfromwaves 0,05
2. Interior fairways, shipsrotaryarea, basin 0,05
andport channel inwhichfloatingunits
usetugs
3. Exterior approachinglanefromseatoport 0,10
andmarina
4. Openseaareas 0,15
Table2. Minimumvalueof total reserveof waterdepthR
min
t
establishedfordifferenttypeof ships(units) inshallowwater
inStolpegutter.
Tc R
min
t
No Typeof units(L,B,T, CB) [m] [m]
1. VLCC (350m; 60m; 15m; 0,85) 15,0 2,25
2. Container ship(250m; 32m; 12m; 0,70) 12,0 1,80
3. Passengersferry(140m; 16m; 7,5m; 7,50 1,13
0,65)
4. Fishingboat (40m; 8,5m; 4m; 0,63) 4,00 0,60
Assuming actual navigational depth area in aver-
agenavigational conditionsH
na
=17,00mandships
particulars of the biggest units which could enter
to the Baltic Sea through the Danish Strait (Great
Belt, H
na
=17,00m, T=15,0m) minimumof under
keel clearanceshouldbenot lessthan2,25m. Inthis
casecriterion of safety navigational depth cannot be
used, because: H
t
=17,0m2,25m=14,75mand is
smaller thanmaximumunitsdraughtT
a
=15,0m.
In extreme conditions, such as huge wave, situa-
tioncanbeworse, as oneshouldreducenavigational
depth of the area to H
n1
=16,50mand increase the
maximumof ships draught T
a
due to wave effect:
yawing, pitching, rollingetc. For examplemerelistof
about 5
of therollingvessel whosebeamB=60m
anddeparturedraughtT
a0
=15,0m, canincreasemax-
imumof shipsdraught for 2,56mtoT
a1
=17,56m.
Theincreaseof theshipsdraught, whichiscaused
bythelist, canbedepictedbymeansof thefollowing
formula:
where: T
II
7
changeof draught incaseof shipslist
[m]; T
M
average ships draught [m]; angle of
shipslist [
]; B shipsbeam[m].
Theincreaseintheshipsdraught, whichiscaused
byyawing, canbecalculatedbymeansof theformula:
where: T
I
7
change of draught in case of yawing
[m]; L
W
shipslengthonseasurface[m]; L
pp
ships
484
lengthbetweenperpendiculars[m]; angleof trim
duetoyawing[ ].
Inbadweatherconditionsonecanobserveheaving,
yawing, pitching, rolling, swayingandsurgingdueto
hugeinfluenceof seawaveto ships hull. Inpractice
in order to definemaximumships draught oneuses
onlybigger valueof correctionsT
I
7
or T
II
7
defined
bytheformulas(6) and(7).
For this reason, on the basis of formulas (4) and
(5) onecandefinesimplifiedformulafor maximum
acceptableshipsdraughtTc, whichcouldindicatesafe
navigationinareawithtechnical depthH
t
:
where: T
C
is maximumacceptable ships draught,
on the even keel, [m]; not dimensional coeffi-
cient, dependent ontypeof areaor fairway, described
intable1; H
t.
technical depth, [m].
Accordingtoformula(8) inordertonavigatesafely
near theStolpegutter (openarea) thehighest accept-
able ships draught T
c
, should not be higher than
T
c1
=14,78m for H
t
=17,0m (average conditions)
andT
c1
=14,35mfor H
t
=16,5m(roughsea).
Whenplanningseparationzoneareaonthesouthof
theStolpeBank, minimumof water depthreadfrom
navigational chart (chart 252, INT1219) is18mesti-
mated with referenceto chart datumwith respect to
MSL (MeanSeaLevel). Accordingtotheformula(2)
thisdepthshouldbetreatedasacceptabledepthof area
(H
dop
) witherror for so-calledacceptableunevenness
of seabottom.Foropenseaareas,suchasStolpegutter,
inwhichseabedisntdurablystrengthened, acceptable
seadepthH
dop
couldbedescribedbyformula:
where: H
dop
acceptable draught of sea structures,
[m]; H
t
technical depthof seastructures, described
with accordanceto therules mentioned above; R
p

reserveforacceptableunevennessof seabottominthe
area, where sea bed isnt durably strengthen, during
thewholeperiodwhentheseastructureisused.
According to theDecreeof Minister of Transport
and MaritimeEconomy valueof reservefor accept-
ableunevennessof seabottomshouldnt belessthan
R
p
=1,0m. For the sea structures without durable
strengthening and for sea structures located in the
followingareas:
onbendandoutlet of river andstrait tothesea,
onnarrowingriver bed,
withhugewaveor significantstreamof water near
theseabed, thevalueof reserveR
p
cannot beless
than1,5m.
Hence, with respect to the formulae (3), (4) and
(6) we assume the value of navigational depth of
areaasH
n1
=17,0minnormal navigational conditions
(18,0m1,0m=17,0m), andH
n2
=16,5m(18,0m
1,5m=17,0m)forextremeconditions, i.e. hugewave
or strongstreamof water near seabottom.
The research about the real value of navigational
depth of thegiven areais confirmed by theopinion
fromemployers of Maritime Office in Gdynia. The
depth of thediscussed areadepth was controlled by
employersof MaritimeOfficeinGdyniain2007.They
confirmedthelocalizationof thenavigational dangers
suchasrock, sand, wreckswithinshallowwateronthe
depthfrom17,00mwithrespecttoactual sealevel, the
possibleinaccuracybeing0,50m.
Polish sea areas are treated as sea without tides.
Water depth is measured on these areas fromchart
datum, which is defined fromaveragesealevel SW
(0,50m). Accordingtolongtermobservationmade
by Instituteof Meteorology andWater Management
in Gdynia in the area which we discuss one can
expectsignificantchangesof sealevel intheaspectof
meansealevel (MSL =500). Thosechangescrossthe
valueHn=Rp=1m. They areespecially visible
in autumnwinter term. For examplein 2001 differ-
encebetweenextremevalues of highseawater level
(HHW) andlowwater (LLW) onthePolishcoast var-
iedfrom146cminUstka, 150cminebato206cm
in

Swinouj scie (Institute of Meteorology and Water
Management, 2004).
In long-termscale (between 19712000) one can
observehigh water (HW) 130 higher than mean sea
level (MSL) in Ustka and 140cmin eba and low
water (LW) about 54cmlower than mean sea level
(MSL) inebaand60cminUstka.
Total reserveof shipsdraughtR
t
shouldbeanalyzed
for every vessel navigatinginthisarea. Inevery case
total reserveof shipsdraughtR
t
shouldnotbelessthan
minimumof total reserveof seadepth R
min
t
defined
earlier. Additionally, thereserveof ships draught R
t
shouldenablenavigationandmanoeuvringof aship
intheworsthydro-meteorological conditions, possible
inthisarea.
According to theDecreeof Minister of Transport
andMaritimeEconomyfrom1998inordertoestablish
thetotal reservedraughtR
t
onemustconsiderthetotal
of followingcomponents:
2.1 Reserve R
1
for inaccurate hydrographical
measurement of water depth.
Thevalueof reserveR
1
depends ontheareas depth.
Depthinnavigational charts is presentedwithaccor-
dance to the defined standard of accuracy. Interna-
tional HydrographicOrganizationIHO(J oseph, 1991)
acceptedthefollowingstandard(P=95,4%) in1987:
0,52m for H=(030)m;
1,72%h for H>30m.
SinceJ anuary1991intheBritishAdmiraltycharts
(BA) the accuracy of data has been defined with
measurement depth error (P=95,4%) and has the
value:
Hence, theerror equalsabout0,53mfor theareaof
Stolpegutter whoseaveragedepthisabout 20m.
485
Table3. ReserveR
1
for hydrographical measurement error
of water depth(sounderror). Gucma, J agniszczak, 1997.
AreasDepthH[m] Water ReserveR1[m]
1. do4 0.10
2. 410 1015
3. 1020 0.20
4. 20100 0.01H
Charts published by local maritime administra-
tion (other than British) may havedifferent standard
accuracy due to local legal regulations. According
to S.Gucma and I.J agniszczak (1997) navigational
reserve R
1
for area whose depth is 20mshould be
about 0,20minpractice.
We do not make mistake if we accept for further
research 0.35mas average value of reserve R
1
for
hydrographical error of measurement of water depth.
2.2 Navigational reserve R
2
, is minimum of under
keel clearance units, which is sufficient to
floating, and depends on type of sea bed or
method of sea bed fortification near sea
structure
NavigationreserveR
2
resultsfromthefactthatwedo
notknowtheexactseadepth, seabedclearance, inter-
polationerror betweensoundingor result of thehull
contact withseabed. Inpractice, thevalueof reserve
R
2
rangesfrom1,00mto1,50mfor notcoastal areas,
whichareexposedtohugewaveandcurrentsnear the
sandyandrockyseabedwithlowdensityof sounding.
Intheareaof Stolpegutter seabedistoughandsandy
withmanyrocksandstones.
2.3 Reserve R
3
for low level of sea waters, defined
on the basis of: a) curve of total time of stay
water level, with respect to the measurements
on sea water level patch, which are based on
long term research, when the water level
remained on the higher level during about 99%
of time during research period or b) differences
between sea level SW and sea level SNW,
Navigational reserveR
3
istheresultof observationof
differenceof sealevel withreferenceto chart datum
whichiscausedbyspecifichydro-meteorological con-
ditions. Longlastingandstrongwindwhichblowsin
landdirectionaswell asfloodingontheriver increase
thewater level. Strong winds blowing fromtheland
andlowwater stateontheriver decreasethislevel.
Inpractice, navigational reserveR
3
insuchareasas
intheStolpegutter without tidesonSouthBalticSea,
navigational reserveR
3
canreach0,30m.Anyway, we
must remember that longtermobservations of water
stateinthisareacarriedout by measurement stations
inUstkaandebaconfirmhigher, thatisabout0,60m
reductionof water statefrommeansealevel (MSL).
Thoseobservationsarealsokeptthewholeyear(Insti-
tuteof Meteorology andWater Management, 2004).
Inextremeweather(hydro-meteorological) conditions
valueof navigational reserveR
3
shouldbeincreased
to0,60m.
2.4 Reserve R
4
for shallow water in the area, which
enables full exploitation of area in period
between dredging and bottom cleaning
operation
Intheareawhichwediscuss thereis no dredgingor
bottomcleaning operation. SeaBed is formed natu-
rally, sowecanomit thevalueof navigational reserve
R
4
for futureconsiderations.
2.5 Reserve R
5
for wave and swell,
Inorder toestimatevalueof parameter R
5
concerning
seawaveweusethemethodswhichareapproximated,
andshowusonlyoutlineof thereal situation.
Inorder todescribedifferenceof draught T
5
for
sluggish vessel on waveweoften useempirical for-
mula prepared by Dand and Ferguson (1973) and
recommendedbyNowicki (1999) Method1:
where: k coefficient depending on the relation
betweenbeamandlengthof shipwithrespecttolength
and courseangleof thewave, thecoefficient ranges
from0,33to0,66; h
f
height of wave[m].
Coefficient k depends on relation between beam
and length of ship with respect to length and course
angleof wave. In caseof theship, which is situated
board to waveand whosebeamconstitutes less than
half lengthof wave, thecoefficient isthebiggest one.
For hugevesselsinrelationtosizeof wavethiscoef-
ficienthasminimumvalue. Thefollowingrulesapply
tothehugevessels:
Sea wavedirection is equal to theships heading
line(q000
or 180
) andlengthof thevessel is
bigger thanlengthof thewave(L );
Seawavedirectionisperpendicular toshipshead-
ingline(q090
) andshipswidthisbigger than
half lengthof seawave(B0,5);
where: wavelength[m]; B shipsbeam[m]; L
shipslength[m].
Whenthevessel isonthewaythevalueof reserve
must beincreased(J urdzinski, 1998) withrespect to
thevessel speed:
12,5% whenspeed v 10knots;
25,0% whenspeed v >10knots.
Thenext methodwhichenables us to count verti-
cal parameter of navigational reservefor thevessel on
thewaveisthemethodof L.E. vanHouten(Nowicki,
1999) Method 2. However, this method is limited
to thevessels whosesizeranges from15000DWT to
65000 DWT. In case of vessels smaller than 15000
DWT this method can bemisleading and inaccurate
due to mistakes concerning amplitude of waves for
vesselsontheway.
486
Table4. Numerical valueof coefficientmdependentonthe
shipsparticulars(v, B, L, C
B
) andwaveparameters(, h
f
, q).
For thewavefrombowor For thewavefrom
m aft (q000
or 180
) board(q090
)
0,500 When: v =0, and When: v =0, and
L > B>
1,000 When:v 10w, and When:v 10w, and
L B0,5
1,125 When: v <10w, and When: v <10w, and
L <0,5 B<0, 5
1, 250 When:v 10w, and When: v 10w, and
L <0,5 B<0,5
Fromthepoint of viewof safety of navigationwe
couldconsider theadditional element withrespect to
formula(11).Thecaseof navigatingobliquelytowave
direction is presented in table as the value of total
difference under keel clearance on the bow and aft,
amidshipsandheightof bowandaftpartof thevessel.
ParameterR
5
is: either
p
(Z)
5
, thatistheerrorwhich
resultsfromdefiningthechange, orchangeindraught
Z
5
=T
5
increasedbyerror
In real conditions vessel on thewavemakes very
complicatedmovement, whichiscombinationof sim-
plemovement in onedirection. Usually onetypeof
movementresultsinanother.Thesetwotypesmutually
interact, asitisinthecaseof scentingwhichisinfact
combinationof heavingandrolling. Incaseof ships
movement on the wave the prognosis of changes in
complexmovementisbasedonusual accumulationof
results. Ontheother side, additional increaseof safety
contour, especiallyinverybadweather condition, has
positiveinfluenceonreducingrisk of navigation, and
increasingsafetyof navigation. For example, accord-
ing to Report of Working Group IV of the Pianc
International CommissionforTheReceptionof Large
Ships, for trafficlaneexposedtohugeswellingmini-
mumof theunder keel clearancemust constitute15%
of maximumshipsdraught (Method3).
Similar solution is described by Gucma and J ag-
niszczak, (1997), inwhichminimumreservefor wave
in the open sea area on the straightforward traffic
lanewithout dredgering, with seawaveheight up to
3,0misassumedas40%of maximumshipsdraught
(Method4).
Rutkowski (2000) gives us another solution for
reserveR
5
(Method5):
where: R
5
reserveforwave[m]; h
f
- heightwave[m];
m numeral coefficient (factor), dependent onships
particulars (v, B, L, C
B
) and parameters of wave(,
h
f
, q).
Exemplaryvaluesof navigational depthreserveR
5
for waveestimatedbymeansof theabovemethodsfor
Table5. Hypothetical valueof navigationdepthreserveR
5
for wave calculated with the above described methods for
different typeof shipsfor shallowwater inStolpegutter. In
calculationweassumethat everyunit sailsalongtrafficlane
with10knots speedstraight to wavewhoseheight is 3,0m
andlength150m.
Valueof reserveR
5
[m] for wave
calculatedwithdifferent methods
Typeof Vessel
(L; B; T; C
B
) 1 2 3 4 5
VLCC
(350m; 60m; 15m; 1,00 3,15 2,25 6,00 1,98
0,85)
Container ship
(250m; 32m; 12m; 1,50 2,52 1,80 4,80 1,98
0,70)
Passenger ferry
(140m; 16m; 7,5m; 2,00 1,58 1,13 3,00 2,23
0,65)
Fishingboat
(40m; 8,5m; 4m; 2,00 0,84 0,60 1,60 2,48
0,63)
different typeof shipsonshallowwater inStolpegut-
ter arepresentedinTable5. Thecalculationconsiders
various methods for thevehicles proceedingwith10
knots speed along traffic lane straight to wave with
height 3,0mand length 150min theopen seaarea,
exposed to seawaves and current, with no dredging
requirement.
Dueto big discrepancy of results weusethedata
from method 5 for further research. This method
assumes that the reserve R
5
depends on the wave
parameters and gives us result similar to methods
1,3and4. Methods 2and4arevery general anddo
not includeinteractionbetweenshipsparticularsand
wavesparameters.
Longtermobservationof waves near Polishcoast
inareaof Stolpegutterinsouthpartof BalticSeacon-
firmsthatperiodwithhighfrequencyof stormandgale
appearsinwinter timebetweenNovember andFebru-
ary. In this period one can observe sea waves with
height of about 3m. Seaappears to becalminsum-
mer timefromMaytoSeptember. Maximumof wind
speedinthegivenareaisupto32m/s. Themaximum
valuesof waveheightareobservedinwinter timeand
theyareupto7minwesternpartof Polishcoastandup
to8mineasternpartof Polishcoast. Maximumwaves
areobservedduringthestrongandlong-lastingwinds
fromW, N andNE. Themaximumwaves amount to
160mof lengthineasterncoastandabout120mlength
inwesterncoast.Predominantlythefrequentwavesare
upto3,0mhighand40mlong. Morethan90,85%of
all wavesintheareanear theeasterncoast andabout
96,53% of all waves in area near the western coast
arethewaveswhoseheight H
5%
equalsor islessthan
1,5m. MaximumseawaveswhoseheightsH
5%
reach
morethan3,00marehardlyever observed. Theprob-
ability that wecanexpect extremeweather condition
487
Table6. Thefrequency of waveheight in%ontheSouth
BalticSea. Paszkiewicz, 1989.
Wavesheight Easternpart of Westernpart of
H
5%
[m] coast coast
H
5%
<1,0m 75,26 88,64
1,0m 1,5m 15,59 7,89
1,5m 3,0m 8,85 3,46
H
5%
>3,0m 0,30 0,01
Table 7. The value of reserve R
6
for increasing ships
draught inbreakingseawater near Polishcoast ontheBaltic
Seaestablishedbymeansof theformula14fordifferenttypes
of vessel.
No. Typeof ship(L; B; T; C
B
) R
6
[m]
1. VLCC (350m; 60m; 15m; 0,85) 0,38
2. Container Ship(250m;32m;12m;0,70) 0,30
3. Passenger Ferry(140m;16m;7,5m;0,65) 0,19
4. FishingBoat (40m;B=8,5m;4m; 0,63) 0,10
(H
5%
>3,00m) inresearchedareaislessthan0,3%in
easterncoast andlessthan0,01%inwesterncoast.
2.6 Reserve R
6
for the increasing ship draught
when manoeuvring in breaking waters near the
Polish coast on Baltic Sea established by means
of the formula:
where:T
C
themaximumdraughtof thevessel loaded
onevenkeen, [m].
The reserve R
6
applies to all vessels proceeding
to the Baltic Sea fromthe North Sea. This reserve
concerns the increase off the ships draught when
manoeuvringinwaternearPolishcoast.Thedensityof
seawaterinBalticseaequalsfrom
1
=1,00525g/cm
3
to
2
=1,00250g/cm
3
what with relation to density
of seawater intheNorthSea(
3
=1,025g/cm
3
) can
increasethedraught of each vessel which enters the
BalticSeafromtheNorthSea.
For theexamplethevalueof reserveR
6
estimated
bymeansof theformula(14) for different typeof the
vessel arepresentedinTable7.
2.7 Reserve R
7
, depicted in meters, for trim (pitch)
up to 2
and list (roll) up to 5
established for
all floating units by means of the following
formulas:
1 reservefor trimduetopitchupto2
:
where: L
c
shipsoverall length, [m].
2 reservefor list (roll) upto5
:
where: B
c
maximumshipsbeam, [m].
Inorder toexaminethedepthof water weassume
that thebiggest valueof reserveR
7
isbigger thantwo
valuesa) andb) but not smaller thanR
7
=0,15m.
Thevalueof reserveR
7
can beestimated also by
meansof theformulas(6) and(7).
2.8 Reserve R
8
for trim to aft for all vessels
proceeding with speed over ground when
dredging channels, approaching fairways,
proceeding in interior fairways and channels,
basin and port waters
Inthiscaseastheareawhichwearediscussingisthe
openseawithnatural seabottomthevalueof reserve
R
8
canbeignored.
2.9 Reserve R
9
for ships squat when proceeding in
restricted sea area across the shallow water
When studying professional publications there are
many methods for estimating reserve R
9
for ships
squat when proceeding in restricted sea area across
theshallowwater. Inpracticewecanuseonly oneof
thefollowingmethods:
1 C.B.Barrass precise method for estimating ships
squat in sea area (Method 1) (with limitation:
0,5C
B
0,9; 0t/L 0,005; 1,1h/T1,4):
2 C.B.Barrass simplified method (Method 2) for
estimatingshipssquat in:
shallowwater(withlimitation:1,1 h/T1,2):
narrowchannel (withlimitation:
3 N.E.EryuzluandR.Hausser methodfor estimating
shipssquat inseaarea(Method3)
4 G.I.Soukhomela and V.M.Zass method for esti-
mating ships squat in shallow unrestricted water
(Method4):
where: B,L,T
max
, C
B
ships particulars: beam
B[m], lengthL[m], maximumdraughtT[m], block
coefficient C
B
[-]; v- speedover groundinknots,
[kn]; b,H,h
f
- areacharacteristics: depthH[m],wide
488
Table 8. Relation between numeral coefficient (factor) l
fromformula(21), shipslengthL andshipsbeamB.
Valueof numeral coefficient (factor) l dependent onships
lengthL andshipsbeamB
Table9. Thevalueof shipssquat(reserveR
9
) estimatedby
means of formula17to 21(Method1,2,3and4) for differ-
ent typesof vessel proceedingwith5knand10knspeedin
shallowwater withdepthHn=17,0mandwideb=1000m.
Method1 Method2 Method2 Method4
Method
Speed[kn] 5 10 5 10 5 10 5 10
Shipstype Thevalueof shipssquat (reserveR
9
) [m]
VLCC 0,12 0,50 0,21 0,85 0,36 1,25 0,20 0,81
Container 0,05 0,23 0,18 0,63 0,12 0,46
Passenger 0,08 0,32
Fishing 0,16 0,64
Boat
b[m], waves height (swell) [m]; l- numeral coef-
ficient (factor) (1,1l 1,5) dependent onships
lengthL andshipsbeamB, [-].
Shipssquat (reserveR
9
), estimatedfor vessel pro-
ceeding with 5knots speed and 10 knots speed in
shallowwaterwhosedepthHn=17,0mandminimum
widthb=1000mispresentedinTable9.
To sum up, navigational reserve of depth R
t
describedasasumoff all partsfromR
1
toR
9
estimated
forshallowwaterinStolpeguttershouldbedependent
onsizeandtypeof ashipandactual weathercondition;
inStolpeareathevalueshouldrangefrom4,61mto
5,57m.
In this case the highest acceptable ships draught
T
c
(seeTable 10), which could guarantee safe nav-
igation near the Stolpe gutter with maximumswell
and waves height about h
f
=3mand length about
=150m, shouldnotexceedthevalueT
c1
=12,43m
in bad weather condition for VLCC when proceed-
ing with 5 knots speed andT
c2
=13,39min normal
weather conditionfor Passenger Ferrywhenproceed-
ing with 10 knots speed. Otherwise, the Decree of
Minister of Transport andMaritimeEconomywill be
not accepted.
What ismore, inextremeweather conditions, such
as winter time, wave (swell) which equals about
h
f
=5mandwhoselengthisabout =160m)onecan
expecthighervalueof navigational reserveof depthRt,
that istosayabout 1,32m.
Probabilitythatwecanexpectextremeweathercon-
dition (H
5%
>3,00m) in this area, i.e. S of Stolpe
Bankislessthan0,3%(SeeTables6and11). Extreme
Table10. MaximumshipsdraughtTcinshallowwateresti-
matedby means of formula(4) andnavigational reserveof
depthRt as asumof all parts fromR
1
toR
9
innormal and
badweather condition(h
f
=3m, =150m, H
N
=18,00m)
estimatedfor different typeof vessel proceedingwithspeed
10knand5kn.
Goodweather condition, Shipsspeed10knots
R
14
R
5
R
6
R
7
R
89
R
t
Tc
Shipstype [m] [m] [m] [m] [m] [m] [m]
VLCC 1,75 1,98 0,38 0,56 0,81 5,38 12,62
Container 1,75 1,98 0,30 0,40 0,46 4,79 13,21
vessel
Passenger 1,75 2,23 0,19 0,22 0,32 4,61 13,39
Ferry
FishingBoat 1,75 2,48 0,10 0,15 0,64 5,02 12,98
Badweather condition, Shipsspeed5knots
R
14
R
5
R
6
R
7
R
89
R
t
Tc
VLCC 2,45 1,98 0,38 0,56 0,20 5,57 12,43
Container 2,45 1,98 0,30 0,40 0,12 5,25 12,75
vessel
Passenger 2,45 2,23 0,19 0,22 0,08 5,17 12,83
Ferry
FishingBoat 2,45 2,48 0,10 0,15 0,16 5,34 12,66
Table 11. Maximum ships draught Tc in shallow water
estimated by means of a sum of all parts of the naviga-
tional reserveof depthRt fromR
1
toR
9
inextremeweather
conditions(h
f
=5m, =160m, H
N
=18,00m.
Extremeweather conditions. Shipsspeed5knots
R
14
R
5
R
6
R
7
R
89
R
t
Tc
VLCC 2,45 3,30 0,38 0,56 0,20 6,89 11,11
Container 2,45 3,30 0,30 0,40 0,12 6,57 11,43
vessel
Passenger 2,45 3,71 0,19 0,22 0,08 6,65 11,35
Ferry
FishingBoat 2,45 4,13 0,10 0,15 0,16 6,99 11,01
weather conditionscanbeexpectedonly duringwin-
ter from November to February with strong and
long-lastingwindsfromWandNE.
3 SIMPLIFIEDMETHODFOR ESTIMATING
MAXIMUM SHIPSDRAUGHT WHEN
NAVIGATINGINSHALLOWWATER BY
MEANSOF THE MODEL OF THE SHIPS
DOMAIN.
In this chapter wepresent methods that can beused
forestimatingmaximumshipdraughtof avessel. One
489
Figure1. Presentationof navigational riskfor shippassing
shallowwater andbridge.
must takeintoconsiderationsafety of navigation, i.e.
navigational risk intherestrictedseaareas by means
of themodel of theshipsdomain.
Accordingtotheshipsdomain(Rutkowski, 2002)
definition, every ship will be safe (in navigational
meaning) aslongassheistheexclusiveobject which
cangeneratedanger withinher domain.
Withreferencetovertical planeof thethreedimen-
sional co-ordinatesestablisheddownfromthecentral
pointof thelocal shipsreferencesystemwecanaffirm
unambiguously, that every ship will remain safe as
long the value of G
D
is smaller than the real value
of theseadepthH. Therefore, component R
NG
of R
N
can be referred to as vertical component of naviga-
tional riskthatconcernskeepingunderkeel clearance,
or risk concerningunder keel clearance. Thecompo-
nentmentionedabovecanbedepictedbymeansof the
followingformulas:
Accordingtotheformula(22), assumptionH G
D
canbedefinedas theguaranteeof thesafeshipping
(navigation) withreferenceto all underwater objects
orobstructionsimmersedonthedepthsmallerthanH.
If seadepthH issmaller or equal totheshipsdraught
T, that isH T
max
, accordingtotheformula(22) sea
passagecanbeunfeasible
2
or highlyrisky. Inthat sit-
uation the value of navigational risk R
NG
will equal
one, andinall probability it will signify unquestion-
able (100%) risk of collision with some underwater
objects immersedonthedepthless thanH. Further-
more, wecan also say that thevalueof navigational
risk R
NG
for the sea depth h limited between T
max
andG
D
(T
max
<H G
D
) will belimitedbetweenzero
andone(R
NG
[0,1]) (seeformula(22) middleline).
General formula, whichcanbeusedtoestimatenav-
igational risk R
NG
, depending on H factor fromthe
range(T
max
<H G
D
), ispresentedbelow:
2
Inour analysesweexcludethesituation, whentheshipcan
changeherdraughtduetoforexampledeballastingoperation.
Additionally when we not only accept Barrass
method, recommendedbyshipyardsandshipsowners
for estimating ships squat, but also take into con-
sideration ships particulars, Pilot Cards (manoeuvre
characteristic) andother information(meteorological,
navigational warningsandetc.) freelyavailableduring
normal seapassage, simpleformulafor depthof the
ships domainaccordingto Rutkowski (2002) canbe
presentedasfollows:
Using precisely Barrass method for estimat-
ing ships squat: (with limitation: 0,5C
B
0,9;
0t/L 0,005; 1,1h/T1,4):
Using simplified Barrass method for estimating
ships squat in shallow water (with limitation:
1,1h/T1,2):
where: G
D
depth of ships domain calculated ver-
tically down from water line (line showing actual
ships draft) [m]; B,L,T
max
, C
B
ships particulars:
beamB[m], length L[m], maximumdraught T[m],
block coefficient C
B
[-]; v speedover ground, [kn];
b, H, h
f
area characteristics: depth H[m], wide b
[m], waves height (swell) [m]; n numeral coeffi-
cient (factor) (1,1n,1,3) dependent on type of
sea areas and sea bottoms, which determines ships
static vertical navigational reserve. In this paper
n=1,2(seetable17); m numeral coefficient (fac-
tor) (0,5m1,5) dependent on ships particulars:
v, B, L, C
B
andwavescharacteristics: ,h
f
andq. See
table13;k- numeral coefficient(factor)(1,0k2,0)
dependent onshipsparticulars, typeof seaareasand
navigational situation(overtaking, crossing, sailingin
ice, navigatinginrestrictedseaareasorshallowwaters
andetc.).Thefactthatinnormal seapassagewecannot
exactly estimateall ships or areas parameters, such
as for exampleships squat, depthetc. results inthis
factor. Inthispaper k=1,0.
Additionallywhenweaccept that navigational risk
R
NG
will equal zero whenG
D
=H
N
thenafter trans-
formationof theformula(24) or(25) comparativelyto
unknownT, wecanestimatemaximumshipsdraught
inrestrictedseaarea. Asanexampleusingsimplified
formula(25)withlimitation:1,1h/T1,2,themax-
imumshipsdraughtinshallowwatercanbepresented
asbelow:
where: T
max
maximum draught of the vessel T
[m]; H
N
- navigational depth of theseaH [m]; C
B

block coefficient C
B
[-]; v speedover ground, [kn];
h
f
waves height (swell) [m]; n numeral coef-
ficient (factor) (1,1n1,3) dependent on type of
sea areas and sea bottoms, which determines ships
490
Table12. Numeral coefficient (factor) dependent on type
of seaareasandseabottoms, whichdeterminesshipsstatic
vertical navigational reserve.
Typeof the
n Typeof theseaarea seabottom
1,1 Port area, internal andinshorechannels Mud
1,15 Road, Approachingchannelstothe Sand
port, inshorearea
>1,2 Opensea Rock, Stone
Table13. Numeral coefficient (factor) dependent onships
particulars: v,B,L,C
B
andwavescharacteristics: ,h
f
andq.
Seawavedirection Seawavedirection
equal withships perpendicular toships
headingline(waves heading(wavesfrom
fromaheador astern theport or starboard
of thevessel q000
beamof thevessel,
m or 180
) q090
)
0,500 When: v =0and When: v =0and
L > B>0,5
1,000 When: v 10knand When: v 10wand
L > B>0,5
1,125 When: v <10knand When: v <10wand
L <0,5 B<0,5
1,25 0 When: v 10knand When: v 10wand
L <0,5 B<0,5
static vertical navigational reserve. In this paper
n=1,2(seetable12); m numeral coefficient (fac-
tor) (0,5m1,5) dependent on ships particulars:
v, B, L, C
B
and waves characteristics: , h
f
and
q. See table 13; k numeral coefficient (factor)
(1,0k2,0) dependentonshipsparticulars, typeof
seaareasandnavigational situation(overtaking, cross-
ing, sailinginice, navigatinginrestrictedseaareasor
shallowwaters andetc.). Thefact that innormal sea
passagewecannot exactlyestimateall shipsor areas
parameters, such as for example ships squat, depth
etc. resultsinthisfactor. Inthispaper k=1,0.
CONCLUSIONS
To depict maximumdraught of a vessel we can use
practical method which incorporates risk of naviga-
tional andthree-dimensional model of shipsdomain.
Maximum ships draught in shallow water esti-
mated by means of formulae (26), with limitation:
1,1h/T1,2, arepresentedintable14. Maximum
ships draught is estimated in shallow water (S of
Stolpe Bank) with navigational depth no less than
H
N
=G
D
=18,0mestimated with referenceto chart
datumrelatedtoMSL (MeanSeaLevel).
Additionally, maximumshipsdraught isestimated
for average (waves height (swell) no more than
h
f
=3mand length no more than =150m, maxi-
mumfluctuation of the sea water level observed in
Table 14. Maximum ships draught in shallow water
estimatedby meansof formulae(26) for average(h
f
=3m,
=150m, h=0,30m, H
N1
=17,70m) and extreme
(h
f
=5m, =160m, h=0,60m, H
N2
=17,40m)
weather condition, with limitation: 1,1h/T1,2, for
different shipstype(her block coefficient C
B
) anddifferent
shipsspeedv. (n=1,20; m=1andk=1,0).
4kn 6kn 8kn
Speed
C
B
Average Extreme Average Extreme Average Extreme
0,5 13,03 11,68 12,95 11,60 12,83 11,48
0,6 13,02 11,67 12,92 11,57 12,78 11,43
0,7 13,01 11,66 12,89 11,54 12,73 11,38
0,8 12,99 11,64 12,86 11,51 12,67 11,32
0,9 12,98 11,63 12,83 11,48 12,62 11,27
1,0 12,97 11,62 12,80 11,45 12,57 11,22
10kn 12kn 14kn
Speed
C
B
Average Extreme Average Extreme Average Extreme
0,5 12,68 11,33 12,50 11,15 12,28 10,93
0,6 12,60 11,25 12,38 11,03 12,12 10,77
0,7 12,52 11,17 12,26 10,91 11,96 10,61
0,8 12,43 11,08 12,14 10,79 11,79 10,44
0,9 12,35 11,00 12,02 10,67 11,63 10,28
1,0 12,27 10,92 11,90 10,55 11,47 10,12
theareah=0,30m, H
N1
=17,70m) andextreme
weather condition (winter time, maximum waves
height (swell) about h
f
=5m and length about
=160m, maximumfluctuationof theseawaterlevel
observed in theareah=0,60m, H
N2
=17,40m)
for different ships type (her block coefficient C
B
)
anddifferent shipsspeed. Numeral coefficients(fac-
tors): n=1,20(seetable12), m=1(seetable13) and
k=1,0.
Theprobabilitythatwecanexpectextremeweather
condition(H
5%
>3,00m) intheresearchedarea(Sof
StolpeBank) islessthan0,3%(Seetable6). Extreme
weather condition can be expected only during the
winter fromNovember to February with strong and
long-lastingwindsfromWandNE.
REFERENCES
Czesaw Paszkiewicz,., Waves on the Baltic Sea, Pol-
ish Academy of Science, Morza, Wydawnictwo PAN,
Warszawa1989.
Ed. byJ.Sundermann, Dynamicsof Coastal Watersandtheir
modelling, Institut fur Meereskunde, Hamburg2005.
Environmental conditions of Polish Southern Baltic Sea
Zonein2001, Instituteof MeteorologyandWater Man-
agement, Gdynia2004.
GucmaS., J agniszczak I., SeaNavigation for captains, (In
Polish) WydawnictwoFoka, Szczecin1997.
J oseph M., Assesing the Precision of Depth Data, Inter-
national Hydrographic Reviev, Monaco, LXVII (2) J uly
1991.
491
J urdzi nski M., PlanningnavigationIncoastal areas, Fundacja
RozwojuWSM wGdyni, 1998.
Nowicki A., Knowledge about manoeuvring vessels,
WydawnictwoTrademar Gdynia1999.
Rutkowski G.Modelingof shipsdomainwhenmaneuvering
in restricted areas, Warsaw Polytechnic Department of
Transport, Warszawa2000.
Rutkowski G. Modelling of ships domain when manoeu-
vringinrestrictedareas, WarsawPolytechnicDepartment
ofTransport,ScientistWorkbookT,Book47,Warszawa
2001.
Rutkowski G., Practical Useof theShipsDomainModel for
EstimatingSafetyof NavigationinRestrictedSeaAreas,
(in Polish), Warsaw Polytechnical University, Transport
Department, Prace Naukowe T, Publication No 47,
Warszawa2002.
Sten Blomgren, Magnus Larson, Hans Hanson: Numer-
ical Modeling of the Wave Climate In the Southern
Baltic Sea, J ournal of Coastal Research, CERF, Spring
2001.
492
11.8
Asymptotictheoryof shipmotionsinregular wavesunder shallow
water conditions
Y.L. Vorobyov
Marine Engineering Bureau, Ukraine
M.S. Stasenko
Odessa National Maritime University, Odessa, Ukraine
ABSTRACT: Thehydrodynamictheoryof shipmotionsinshallowwater under theactionof regular wavesis
discussed.Theboundaryvalueproblemforvelocitypotential issolvedusingtheMatchedAsymptoticExpansion
Method(MAEM). ThesolutionisbasedonFourier Michell integral transformationtechniqueandcharacter-
istics of Helmholtz and Klein Gordon equations. Using the obtained results formulae for hydrodynamic
characteristicsarederived. Theapplicationof theseformulaedemonstratedgoodcoincidenceof theresultsof
calculationsandmodel experimentscarriedout intowingtankof OdessaNational MaritimeUniversity.
1 INTRODUCTION
Theintensificationof shippinggaverisetocomplica-
tionof navigatingconditionsatsearootsandinrecent
years over 75% of navigation accidents occurred in
restrictedwatersandboundedwaterways. Thegrowth
of merchant shipdimensions duringthelast decades
ledtothesituationinwhichvastregionsof oceansand
seasbecomecomparativelyshallow.
Thewrecksof modernlargevesselsgettingstranded
or collided are accompanied by serious economical
lossesandnegativeecological consequences.
The estimation of ship motion characteristics in
restrictedwaterwaysisnecessarynotonlyforeliminat-
ingthepossibilitiesorminimizingthenumberof acci-
dents, but for substantiationof searoutesdimensions
intheproximityof portsaswell.
Moderntheoretical andexperimental hydrodynam-
icsprovidesuswithagreatamountof informationfor
predictingseakeepingqualitiesof shipsinopendeep
sea. Onthecontrary suchaninformationfor avessel
sailinginshallowwater iscomparativelypoor andthe
propermethodsarenotwidelydeveloped. Suchasitu-
ationmaybeexplainedbyvirtueof theadditional dif-
ficultiesarisinginthetheoretical investigationof the
potential boundaryvalueproblemsforashippropagat-
inginshallowwaterconditions. Firstof all thecompli-
cacyof thesingularitiesmethodistentimeshigherfor
shallowwater potential problemsincomparisonwith
theunboundedseaones.Thenthestripmethodwidely
used in practical calculations is inconsistent with
thephysical reality and often causes insolubleprob-
lems whenusinginshallowwater cases withclearly
expressedthreedimensional water flowphenomena.
Thusanewapproachfor investigatingshiphydro-
dynamic problems freefromdifficulties of classical
method of singularities and shortcomings of strip
methodisvital. Suchapproachisdemonstratedinthis
paper.
2 BOUNDARY VALUE PROBLEM FOR
VELOCITY POTENTIAL
If the water around a ship is considered as invis-
cidincompressiblefluidtheimportant hydrodynamic
information is derived fromthe solutions of bound-
aryvalueproblemsforthevelocitypotential. Founded
on basic physical principles the nonlinear problems
with apriori unknown boundaries are simplified by
linearizationandthesolutionsof correspondinglinear
problemsarepracticallyused. Consider avessel float-
ingwithazeroforwardspeedinshallowwaterwiththe
depthH under theactionof regular waves
v
=r
v
e
it
,
r
v
and beingwaveamplitudeandcircular frequency
accordingly.
The longitudinal x and transverse y axes of the
Cartesian coordinate system are taken on the free
surface of water and the vertical axe z is pointed
downward.
The potential function (x, y, z, t) can be divided
intocosine
n
andsine
s
parts
It is systematically demonstrated in investigations
of Y.L. Vorobyov (Vorobyov, 2002), that estimation
of addedinertia, damping, couplingcoefficients and
excitingforcescanbedoneusingasymptoticvaluesof
radiationpotential. So wecanavoidthenecessity of
treating thewavescattering problemand difficulties
of integrationinthehull proximity.
493
Consider the ship performing longitudinal har-
monic oscillations with circular frequency . The
potential functions
n,s
j
(x, y, z), j =1, 3, 5mustsatisfy
thefollowingdifferential systems
If theshipisperformingtransverseharmonicoscil-
lation with circular frequency , the potential func-
tions
c,s
j
(x, y, z), j =2, 6must satisfy thedifferential
systems(2), (3), (5) andhull conditions
Both systems must satisfy radiation conditions in
theinfinity.
If thevelocity of oscillations is taken to beunity,
u
j
(x, z) and v
j
(x, z) are for longitudinal oscillations
j =1, 3, 5
andfor transverseoscillationsj =2,6
Nowletusconsidershipasslenderbody, supposing
thatB/L =O(), T/L =O(), L, B, T beingherlength,
beamanddraft, _1andthehull variesslowlyalong
thelongitudinal axe. Under this assumptionmatched
asymptotic expansion method (MAEM) is used for
solvingthepotential problems.
AccordingtoMAEM theflowfieldisdividedinto
twozones: far fieldzonewherey/L =O(1) andnear
fieldzoneinwhichy/L =O(). Theconditionalong
the boundary between the zones are not formulated
andsatisfiedintheprocessof matchingthesolutions
infar andnear fieldsalongthetheir boundary.
3 FAR FIELDSOLUTIONS
If the observation point is located in the far
field as 0 the hull degenerates into a cut
=L/2x L/2 of free surface plane z =0. The
potential functions
c,s
j
areharmonic (2) inthelayer
0z H withshipcenterplaney =0excluded,satisfy
freesurface(??) andradiationconditions.Thebound-
aryconditionsonthecenterplaney =0, thatisonthe
inner boundary of theouter zonearenot formulated
as soon as thehull (with its centerplane) belongs to
innerzone.Theonlyidentitiescomefromthephysical
considerations
In accordance with (9), (10) the boundary con-
ditions on the centerplane y =0 are taken in the
form
whereunknownfunctionsf
j
(x, z) andg
j
(x, z) aretaken
asknownonesfor amoment.
Letusfindthesolutionof theouterproblem(2), (3),
(11),(12),(5)forcosineamplitude
c
j
(x, y, z)of veloc-
itypotential
j
(x, y, z, t). UsingtheFouriermethodfor
theouter differential problemwefindtheexpansions
for
c
j
(x, y, z)
The eigen functions Z
0
(z), Z
m
(z) form a complete
orthogonal set in[0, H] withmeansquarevalueof 1:
where
0
=,real positiveroot of theequation
494
and
1
<
2
<
3
< =subsequence of real positive
rootsof theequation
Assoonas
c
j
(x, y, z)isharmonicandtheeignfunc-
tionsystemisorthogonal, F
0
j
(x, y) andF
m
j
(x, y) satisfy
theHelmholtz andKlein-Gordonequations
Takinginmind, that for j =1, 3, 5
c
j
(x, 0, z)=
f
j
(x, z), theboundary conditions for equations (18)
accordingto(14) aretobetakenintheform
where
According to Green theoremand conditions (19),
(20), after using radiation conditions we find for
j =1,3,5
whereJ
0
(
0
R), N
0
(
0
R), K
0
(
m
R)=Bessel functions,
R=
_
(x )
2
y
2
.
Thelast formulaisbasedonGreentheorem, equa-
tions(18), boundarycondition

y
s
j
(x, 0, z) 0and
radiationconditions.
Now returning to (18) we find that for j =2, 6
c
j
(x, 0, z)= g
j
(x, z), the boundary condition
for equation(18) must betakenintheform
where
Nowtakingsolutionsof (18) that satisfyboundary
conditions(23),(24)alongthecut[x[ L/2afterusing
radiationconditionswehave
4 NEAR FIELDSOLUTIONSMATCHING
To study flowphenomenainthenear fieldthetrans-
verse coordinates are stretched =y/, =z/ and
as 0omittingtermsof O(
2
) weobtainthetotal-
ity of two dimensional boundary value problems in
x =const planesfor
c
j
(, )
Here e(x)=a fluid domain in a form of strip
{< <, 0 h] with framecontour L
(x)
excluded, b(x)=thewidthof thiscontour.
The problem for
s
j
(, ) is uniform and has
a trivial zero solution. The boundary value prob-
lem (27) has to be discussed keeping in mind
that for matching procedure the asymptotics of
solutions when tends to infinity are needed.
Theseasymptotics arefound using specially worked
out procedure. In addition to harmonic potential
c
j
(, ) let us introduce the conjugate harmonic
streamfunction
c
j
(, ) and multi-valued analytical
functionU
j
(= iy, )=
c
j
(, )i
c
j
(, ) being
495
determined outside the close contour L
(x)UL
(x).
Variousbranchesof U
j
() differ onefromanother by
function
where A=P
j
(x,
0
)cos
0
, B=Q
j
(x,
0
)sin
0
,
0
=real positiveroot of theequation
We notice that outer boundaries of inner zone
areat thesametimetheinner boundaries
of theouter zoney = 0. Wehavefrom(28) and(29)
Functional coefficients Q
j
(x,
0
) and P
j
(x,
0
) are
determinedintheform
where A
(t)=values of potential function under

determination on the contour with the equation
z =Z
0
(t) andS(t)=
_
1
_
dZ
0
(t)
dt
_
2
.
AssoonasA
(t) isunknown, itisproposedtotake

its approximatevaluewhenthefrequency of oscilla-
tions tends to infinity. Values of B
(t) arevalues of
normal derivative of potential function according to
thehull boundary conditions. Thevalueof A
(t) can
beeasily found using thestandard integral equation
procedure.
For f
5
(x,
0
) andf
6
(x,
0
) wefind
Inserting (30)(34) into (21), (22) and (25), (26)
we actually performed matching of solutions in far
and near field zones upon their boundary and get
anapproximatesolutionsfor fiveradiationpotentials
uniformallyvalidinthewholewater domain.
5 HYDRODYNAMIC COEFFICIENTSOF
SHIP MOTIONS
It is convenient to find damping and exciting forces
according to Haskind-Newman approaches where
asymptoticexpansionsof radiationpotentialsareused.
Thusweavoidthenecessityof solvingthediffraction
problemandsimplifycalculationsbecauseof thesim-
plicitythatasymptoticsof potential functionshavefar
fromship hull. According to (Haskind, 1973, New-
man, 1961) waveexcitingforcesandmomentsacting
onavessel maybecalculatedusingsuchexpressions
Functions F
c,s
() are determined by (36), but
for j =2, 6 instead of f
j
(x, z)g
j
(x, z) is taken. Func-
tionsf
j
(x, z)j =1, 3, 5andg
j
(x, zt)j =2, 6aregivenby
(30)(34).
Inexpressions(35)(37)r
0
incomingwaveampli-
tude, anglebetweenlongitudinal axeof shiphull
andvector of wavecrestspropagation.
Thereal partsof (35) and(37) musttobetakeninto
account.
Damping forces and moments arecalculated ana-
lyzingtheenergyflowcarriedof toinfinityfromship
hull byoutgoingwaves.Accordingto(Haskind, 1973,
Newman, 1959) dampingcoefficients
ij
aregivenby
formulae
_
i3
2
_
,
_
j3
2
_
aretakenequal tozerofor i =j =1.
where q =2 if i =j, otherwise q =1, (
0
)=
1
0
H
ch
2
0
H
th
0
H
, functions P
i
(x,
0
) and Q
i
(x,
0
) are
givenby(32)(34), J
0
andJ
2
areBessel functions.
496
Figure1. Longitudinal excitingforces. Figure2. Transverseexcitingforces.
Figure3. Longitudinal damping.
Figure4. Swayaddedmass. Figure5. Transversedamping.
For calculationof inertiaforcesactingonanoscil-
latingvessel potential functionsinthenear fieldmust
be used. To avoid the difficulties of integration the
source-like functions in the vicinity of ship hull an
alternative method is used. The method is based on
thefact provedin(Landau, Lifshits, 1964), discussed
andusedin(Kotic, Mangulis, 1962).
Itwasdemonstratedthataddedmassesanddamping
coefficientsareproportional tointegral sineandcosine
transformationsof identical functions. It isenoughto
findacoupleof transformations
where
ij
(),
ij
(),
ij
(),
ij
()=added mass
anddampingcoefficientsfor frequency andinfinite
frequencyconsequently.
Integrals in (40), (41) areintroduced us principle
valueintegrals. It is knownthat mostly
ij
() 0.
The value of
ij
() for a ship can easily be calcu-
latedusingstripmethodandsolvingstandardintegral
equationinthelayer 0z H.
Thehydrodynamiccharacteristicsof 200000DWT
tanker (Oortmerssen, 1976) for motions in shal-
low water conditions
H
T
=1.2 are demonstrated in
Fig. 15. The values calculated using the results
497
of paper are given by solid lines, while the results
of experiments conducted in towing tank Odessa
National MaritimeUniversity arepresented by dots.
The coincidence of theoretical and experimental
resultsissatisfactoryfor practical uses.
Coefficients of added mass, exciting forces and
dampingareplottedagainstundimensional frequency
=
_
L
g
.
6 CONCLUSION
Theresultsderivedonthebaseof MAEMwereusedfor
systematic calculationsof hydrodynamic characteris-
ticsfor ashipfloatinginregular wavesunder shallow
water conditions.
The calculated values demonstrated good agree-
ment with the results of model experiments con-
ducted in towing tank of Odessa National Maritime
University.
REFERENCES
Vorobyov,Y.L., 2002. Shiphydrodynamics inrestrictedwaters.
St.P., Shipbuilding, 224 p. (in Russian)
Haskind, M.D., 1973. Hydrodynamic theory of ship motions,
M.Science, 327 p. (in Russian)
Newman, J.N., 1959. The damping and wave resistance of
pitching and heaving ships// Journal of Ship Research.
Vol.3, N1, p.p. 119.
Landau, L.D . & Lifshits , E.M., 1964. Theoretical physics,
v.5, Statistical physics, M., Science, 567 p. (in Russian)
Kotic, G. & Mangulis, V. 1962. On the Kramers-Kronig
relations for ship motions// International Shipbuilding
Progress. Vol.9. N97, pp.361368.
Oortmerssen, G.M, 1976. The motions of a ship in shallow
water// Ocean Engineering. Vol.3. N4, pp.221255.
498
Chapter 12. Methods and algorithms
12.1
Stabilizationof fractional positivecontinuous-timelinear systemsinsectors
of left-handhalf complexplanebystate-feedbacks
T. Kaczorek
Faculty of Electrical Engineering, Biaystok Technical University, Poland
ABSTRACT: Thestabilizationproblemof fractional positivelinear continuous-timelinear systemsby state-
feedbacks is addressed. Thegain matrix of thestatefeedback is chosen so that thezeros of theclosed-loop
polynomial arelocatedinasectorof theleft-handhalf of complexplane. Necessaryandsufficientconditionsfor
thesolvabilityof theproblemareestablishedandaprocedurefor computationof againmatrixof thefeedback
isproposed. Theconsiderationsareillustratedbynumerical examples.
1 INTRODUCTION
In positive systems inputs, state variables and out-
puts take only non-negative values. Examples of
positive systems are industrial processes involving
chemical reactors, heat exchangers and distillation
columns, storage systems, compartmental systems,
water andatmosphericpollutionmodels. A varietyof
models havingpositivelinear systems behaviour can
be found in engineering, management science, eco-
nomics, social sciences, biology and medicine, etc.
Positivelinearsystemsaredefinedonconesandnoton
linearspaces.Therefore,thetheoryof positivesystems
ismorecomplicatedandlessadvanced. Anoverview
of stateof theart in positivesystems is given in the
monographs[3, 5].
Thefirst definitionof thefractional derivativewas
introducedbyLiouvilleandRiemannattheendof the
19thcentury [13, 20, 22]. Thisideahasbeenusedby
engineers for modelling different process in thelate
1960s [1327]. Mathematical fundamentals of frac-
tional calculus aregiven in themonographs [13, 14,
19, 20]. The fractional order controllers have been
developedin[20, 24]. A generalizationof theKalman
filter for fractional order systems has beenproposed
in [26]. Someothers applications of fractional order
systems can be found in [1518, 2327]. Fractional
polynomials and nD systems havebeen investigated
in [4] and the stability of the fractional continuous-
timesystemwithdelayin[1]. Theconcept of positive
fractional discrete-timelinear systemshasbeenintro-
ducedin[7] andthereachabilityandcontrollabilityto
zeroof positivefractional systemhasbeeninvestigated
in[8]. Theconcept of fractional positivecontinuous-
time linear systems has been introduced in [9]. and
the reachability and controllability to zero of posi-
tivefractional systemhasbeeninvestigatedin[8].The
stabilizationproblemof fractional discrete-timelinear
systemsbystate-feedbackhasbeenconsideredin[10].
Theproblemof positivity andstabilizationof 2Dlin-
ear systemsbystate-feedbackshavebeenanalysedin
[11, 12].
In this paper the stabilization problem of frac-
tional positivelinear continuous-timelinear systems
bystate-feedbackswill beaddressed. Thegainmatrix
of thestatefeedbackwill bechosensothatthezerosof
theclosed-looppolynomial arelocatedinasector of
theleft-handhalf of complexplane.
Thepaper isorganizedasfollows. Insection2the
basicdefinitionsandtheoremsconcerningthepositive
fractional systemsarerecalled.Themainresultsof the
paper are presented in section 3 and 4. In section 3
thestabilityof thepositivefractional continuous-time
linear systemsisdiscussedandtheequilibriumpoint
of thesystemsisintroduced.Thestabilizationproblem
bystate-feedbacksisformulatedandsolvedinsection
4. Concludingremarksaregiveninsection5.
The following notation will be used in the paper.
Theset of n m real matriceswill bedenoted+
n m
and +
n
: =+
n 1
. The set of mn real matrices
withnonnegativeentrieswill bedenotedby+
mn
and
+
n
: =+
n 1
. A matrix A (a vector x) withpositive

entries(positivecomponents)will bedenotedbyA>0
(x >0). Thesetof nonnegativeintegerswill bedenoted
byZ
andthen n identitymatrixbyI
n
.
2 POSITIVE FRACTIONAL
CONTINUOUS-TIME LINEAR SYSTEMS
In this paper the following Caputo definition of the
fractional derivativewill beused[19, 22, 27]
501
where+ istheorder of fractional derivativeand
Consider thefractional continuous-timelinear sys-
temdescribedbythestateequations
where x(t)+
n
, u(t)+
m
, y(t)+
p
are the state,
input and output vectors and A+
nn
, B+
Nm
,
C +
pn
, D+
pm
.
Theorem 1. Thesolutionof equation(2a) isgiven
by
where
and E
(At
) is the Mittage-Leffler matrix function,

(x)=
_
0
e
t
x1
dt isthegammafunction.
Proof isgivenin[9].
Remark 1. From(4) and(5) for =1wehave
Definition 1. The fractional system(2) is called
(internally) positive if and only if x(t)+
n
and
y(t)+
p
for t 0for any initial conditions x

0
+
n
andall inputsu(t)+
m
, t 0.
A squarereal matrixA=[a
ij
] iscalledtheMetzler
matrix if its off-diagonal entries arenonnegative, i.e.
a
ij
0fori ,=j [3,5].Thesetof n n Metzlermatrices
will bedenotedbyM
n
.
Lemma 1. [9] Let A+
nn
and0<1. Then
and
if andonlyif A isaMetzler matrix, i.e. AM
n
.
Theorem 2. Thefractional continuous-timesystem
(2) isinternallypositiveif andonlyif
Proof isgivenin[9].
3 STABILITY OF THE POSITIVE
FRACTIONAL SYSTEMS
Definition 2. Thepositivefractional system
is called asymptotically stable(shortly stable) if and
onlyif
for all x
0
+
n
.
Thecharacteristicpolynomial of (9) hastheform
Substitutionof
into(11) yields
Let usdenoteargs = andarg =. Thenfrom(12)
wehave
From(11), (13) and (14) for =

2
we have the
followingcorollary.
Corollary. If thezerosof thecharacteristicpolyno-
mial (13) arelocatedintheleft-handhalf of complex
planethenthezeros of thecharacteristic polynomial
(11) arelocatedinthesector definedby =

2
inthe
left-handhalf complexplane(Fig).
Theorem 3. Thezerosof thecharacteristicpolyno-
mial (11) arelocatedinthesector =

2
if andonlyif
oneof thefollowingequivalentconditionsissatisfied:
1)All coefficientof thecharacteristicpolynomial (13)
arepositive, i.e. a
i
0for i =0, 1, . . . , n 1.
2) All leadingprincipleminor of thematrix
arepositive, i.e.
3)Thereexistsastrictlypositivevector >0( +
n
)
suchthat
502
Figure1.
Proof. For positivefractional systemAM
n
andit
iswell-known[5p. 64] thatthesystemisstableif and
only if thepolynomial (13) has positivecoefficients
a
i
, i =0, 1, . . . , n 1.
In[6] itwasalsoshownthatthecondition1) and2)
areequivalent. Itisalsowell-known[6] thatif AM
n
thentheconditions2) and3) arealsoequivalent.
Definition 3. Thevector x
e
+
n
iscalledtheequi-
libriumpoint of the stable positive system(2a) for
constant input u +
m
(u(t)=u) if andonlyif
If Bu =1
n
=[1 . . . 1]
T
+
n
(Tdenotesthetranspose)
thenfrom(17) wehave
sincefor stablesystemA
1
+
nn
[5].
Remark 2. Asstrictlypositivevector in(17) the
equilibriumpoint (19) canbechosensince
4 STABILIZATIONOF THE FRACTIONAL
LINEAR SYSTEMSBY STATE-FEEDBACKS
Considerthefractional linearsystem(2)withthestate-
feedback
whereK +
mn
isagainmatrix.
Substituting(21) in(2a) weobtaintheclosed-loop
system
where
Wearelookingfor againmatrix K +
mn
suchthat
the closed-loop system(22) is positive, i.e. A
c
M
n
andthezerosof thepolynomial (11) arelocatedinthe
sector =

2
.
Theorem 4. Theclosed-loopfractional system(22)
is positive and the zeros of the polynomial (??) are
locatedinthe =

2
sector if andonlyif thereexists
adiagonal matrix
withpositivediagonal entries
k
>0k =1, . . . , n anda
real matrixD+
mn
suchthatthefollowingcondition
aresatisfied
ThegainmatrixK isgivenbytheformula
Proof. Firstweshall showthattheclosed-loopsys-
tem(22) is positiveif and only if (25) holds. Using
(27) and(23) weobtain
if andonlyif thecondition(25) issatisfied.
Takingintoaccount that
andusing(17) weobtain
Therefore, byTheorem3thezerosof thecharacter-
istic polynomial (11) arelocatedinthesector =

2
if andonlyif thecondition(26) issatisfied.
503
If theconditionsof Theorem4aresatisfiedthenthe
problemof stabilizationcanbesolvedbytheuseof the
followingprocedure.
Procedure
Step1. Choose a diagonal matrix (24) with
k
>0
k =1, . . . , n andareal matrixD+
mn
satisfyingthe
condition(25) and(26).
Step2. Using the formula (27) compute the gain
matrixK.
Example 1. Giventhefractional system(2a) with
=0.8andthematrices
Findagainmatrix K +
23
suchthat theclosed-
loopsystemispositiveandall zerosof itscharacteristic
polynomial arelocatedinthesector =
5
6
.
It is easy to check that thefractional systemwith
(30) isnot positivesincethematrixA isnot aMetzler
matrix.
UsingProcedureweobtainthefollowing
Step1. Inthiscasewechoose
andwecheckthecondition(25)
andthecondition(26)
Therefore, theconditionsaresatisfied.
Step2. Using(27) weobtainthegainmatrix
Theclosed-loopsystemispositivesincethematrix
isaMetzler matrix.
Thecharacteristicpolynomial
haspositivecoefficient. Therefore, zerosof thechar-
acteristicpolynomial of theclosedsystemarelocated
inthedesiredsector =
5
6
.
5 CONCLUDINGREMARKS
Thestabilizationproblemof fractional positivelinear
continuous-timesystemsbystate-feedbackssothatthe
zerosof theclosed-looppolynomial arelocatedinsec-
tor of the left-hand half of complex plane has been
addressed. Necessaryandsufficientconditionsforthe
solvability of the problemhave been established. A
procedureforcomputationof againmatrixof thefeed-
back has beenproposedandillustratedby numerical
examples.Theseconsiderationscanbeeasilyextended
for fractional positivecontinuous-timelinear systems
with delays. Extensions of these approach for frac-
tional positive2Dhybridlinear systemsandfractional
positive2D continuous-timelinear systems areopen
problems.
ACKNOWLEDGMENT
Thiswork wassupportedby Ministry of Scienceand
Higher Education in Poland under work No NN514
193933.
REFERENCES
Buslowicz M.: Stabilityof linear continuous-timefractional
order systemswithdelaysof theretardedtype. Bull. Pol.
Acad. Sci. Techn., vol. 56, no. 4, 2008, pp. 319324.
Buslowicz M.: Frequencydomainmethodfor stabilityanal-
ysis of linear continuous-timefractional systems. In. K.
Malinowski, L. Rutkowski (eds.), Recent Advances in
Control and Automation, p. 8392, Acad. Publ. House
EXIT, Warsaw2008.
FarinaL., Rinaldi S.: PositiveLinear Systems; Theory and
Applications. J. Wiley, NewYork, 2000.
Galkowski K., KummertA.: Fractional polynomialsandnD
systems. Proc IEEE Int. Symp. Circuits and Systems,
ISCAS2005, Kobe, J apan, CD-ROM.
KaczorekT.: Positive1Dand2DSystems. Springer-Verlag,
London, 2002.
KaczorekT.: Asymptoticstabilityof positive1Dand2Dlin-
earsystems. RecentAdvancesinControl andAutomation,
Acad. Publ. HouseEXIT, pp. 4152, 2008.
KaczorekT.: Practical stabilityof positivefractional discrete-
timesystems. Bull. Pol. Acad. Sci. Techn., vol. 56, no. 4,
2008, pp. 313318.
Kaczorek T.: Reachability and controllability to zero of
positivefractional discrete-timesystems. MachineIntel-
ligence and Robotic Control, vol. 6, no. 4, 2008, pp.
139143.
504
KaczorekT.: Fractional positivecontinuous-timelinear sys-
tems and their reachability. Int. J. Appl. Math. Comput.
Sci., vol. 18, no. 2, 2008, pp223228.
Kaczorek T.: Stabilization of fractional discrete-timelinear
systemsusingstate-feedback. Proc. Conf. LOGITRANS,
April 1517, Szczyrk2009.
KaczorekT.: Positivityandstabilizationof 2Dlinearsystems.
DiscussionesMathematicae, 2009(submitted).
KaczorekT.: Positivityandstabilizationof 2Dlinearsystems
withdelays. MMAR, 2009(submitted).
Nishimoto K.: Fractional Calculus. Koriama: Decartess
Press, 1984.
OldhamK. B., SpanierJ.:TheFractional Calculus. NewYork:
AcademmicPress, 1974.
Ortigueira M. D.: Fractional discrete-time linear systems.
Proc. of theIEE-ICASSP 97, Munich, Germany, IEEE,
NewYork, vol. 3, pp. 22412244.
Ostalczyk P.: The non-integer difference of the discrete-
time function and its application to the control system
synthesis. Int. J. Syst, Sci. vol. 31, no. 12, 2000, pp.
15511561.
Ostalczyk P.: Fractional-Order BackwardDifferenceEquiv-
alent Forms Part I Horners Form. Proc. 1-st IFAC
WorkshopFractional DifferentationanditsApplications,
FDA04, Enseirb, Bordeaux, France, 2004, pp. 342347.
Ostalczyk P.: Fractional-Order BackwardDifferenceEquiv-
alent Forms Part II Polynomial Form. Proc. 1-st IFAC
WorkshopFractional DifferentationanditsApplications,
FDA04, Enseirb, Bordeaux, France, 2004, pp. 348353.
Ostalczyk P.: Epitomeof theFractional Calculus. Publisher
Technical UniversityLodz, 2008(inPolish).
OustalupA.: CommandeCRONE. Paris, Herms, 1993.
OustalupA.: Ladrivationnonentire. Paris: Herms, 1995.
Podlubny I.: Fractional Differential Equations. San Diego:
AcademicPress, 1999.
Podlubny I.: Geometric andphysical interpretation of frac-
tional i9ntegration and fractional differentation. Fract.
Calc. Appl. Anal. Vol. 5, no. 4, 2002, pp. 367386.
PodlubnyI., Dorcak L., Kostial I.: Onfractional derivatives,
fractional ordersystemsandPI
-controllers. Proc. 36
th
IEEE Conf. DecisionandControl, SanDiego, CA, 1999,
pp. 49854990.
Sierociuk D.: Estimation and control of discrete-timefrac-
tional systems described by ststeequations. PhD thesis,
WarsawUniversityof Technology, 2007(inPolish).
Sierociuk D., Dzielinski D.: Fractional Kalman filter algo-
rithmfor the states, parameters and order of fractional
systemestimation. Int. J. Appl. Math. Comp. Sci., 2006,
vol. 16, no. 1, pp. 129140.
VinagreB. M., MonjeC. A., CalderonA.J.: Fractional order
systems and fractional order control actions. Lecture 3
IEEE CDC02TW#2: Fractional calculusApplicationsin
AutomaticControl andRobotics.
505
12.2
Thecomparisonof safecontrol methodsinmarinenavigationin
congestedwaters
J. Lisowski
ABSTRACT: The paper introduces comparison of five methods of safe ship control in collision situation:
multi-stagepositional non-cooperativeandcooperativegame, multi-stepmatrixgame, dynamicandkinematics
optimisationwithneural constrainsof statecontrol process. Thesynthesisof computer navigator decisionsup-
portingalgorithmswithusingdual linear programminganddynamicprogrammingmethodshasbeenpresented.
Theconsiderationshavebeenillustratedanexamplesof acomputer simulationthealgorithmstodeterminethe
safeownshipstrajectoryinsituationof passingamanyof theshipsencounteredat sea.
1 MATHEMATICAL MODELSOF SAFE SHIP
CONTROL PROCESS
1.1 Base model
As theprocess of steeringtheshipincollisionsitua-
tions,whenagreaternumberof objectsisencountered,
oftenoccursundertheconditionsof indefinitenessand
conflict,accompaniedbyaninaccurateco-operationof
theobjectswithinthecontextof COLREGRegulations
thenthemostadequatemodel of theprocesswhichhas
beenadoptedisamodel of adynamicgame, ingeneral
of j trackedshipsasobjectsof steering(Cahill 2002,
Lisowski 2004b, 2005d, 2007b, Sandom2004).
The diversity of selection of possible models
directly affects the synthesis of the ships handling
algorithmswhichareafterwardseffectedbytheships
handling devicedirectly linked to theARPA system
anddeterminestheeffectsof thesafeandoptimal con-
trol.Thepropertiesof theprocessaredescribedbythe
stateequation(Isaacs1965):
where x
0
0
(t)
0
dimensional vector of theprocess
state of the own ship determined in a time span
t [t
0
, t
k
]; x
j
j
(t)
j
dimensional vector of thepro-
cessstateforthej-th metship; u
0
o
(t)
0
dimensional
control vector of theownship; u
j
j
(t)
j
dimensional
control vector of thej-th met ship.
Theconstraints of thecontrol and thestateof the
processareconnectedwiththebasicconditionfor the
safepassingof theshipsatasafedistanceD
s
incompli-
ancewithCOLREGRules, generallyinthefollowing
form(Engwerda2005):
Goal function has form of the payments the
integral payment andthefinal one:
Theintegral payment representslossof waybythe
ownshipwhilepassingtheencounteredshipsandthe
final payment determines the final risk of collision
r
j
(t
k
) relativeto thej-th shipandthefinal deflection
of the own ship d(t
k
) fromthe reference trajectory
(Lisowski 2000a, 2002, 2005a,c, 2008b, Nisan2007,
Nowak2005, Osborna2004).
1.2 Approximate models
Havingregardtoahighcomplexityof thebasemodel
in the formof a model of a dynamic game for the
practical synthesisof safesteeringalgorithmsvarious
simplifiedmodelsareformulated,suchasforexample:
multi-stagepositional game
non-cooperativegame
cooperativegame
multi-stepmatrixgame
dynamicmodel withneural constraints
kinematicmodel
classical model
fuzzymodel
staticmodel
speedtrianglemodel.
Thedegreeof simplification is dependent on acon-
trol method applied (Lavalle2006, Lisowski 2005b,
2006b, 2007a,c, 2008d, Straffin2001).
2 ALGORITHMSOF SAFE SHIP CONTROL
Each particular approximated model of process may
beassignedrespectivemethodsof safecontrol of ship
(Table1).
507
Table1. Algorithmsof determiningshipstrategies.
Computer
Process Control supporting Type
models methods algorithms of decision
Multi-stage Dual linear NPG Positional
positional programming CPG game
game trajectory
Multi-step Dual linear MG Riskgame
matrix programming trajectory
game
Dynamic Dynamic DO Dynamic
programming, optimal
Artificial trajectory
neural network
Kinematic Linear KO Kinematic
programming optimal
Fuzzy trajectory
Control
Static Linear OM Optimal
programming manoeuvre
Fuzzy
control
Figure 1. The system structure of computer support of
navigator decisionincollisionsituation.
In practice, methods of selecting a manoeuvre
assumeaformof appropriatesteeringalgorithmssup-
porting navigator decision in a collision situation.
Algorithms are programmed into the memory of a
ProgrammableLogicController PLC.
This generates an option within the ARPA anti-
collisionsystemor atrainingsimulator (Fig. 1).
2.1 Algorithm of non-cooperative positional
game NPG
Theoptimal steeringof theownshipu
0
(t), equivalent
for thecurrent positionp(t) totheoptimal positional
steeringu
0
(p), isdetermined:
forthemeasuredpositionp(t
k
) of thesteeringstatus
at the moment t
k
sets of the acceptable strate-
gies U
0
j
[p(t
k
)] aredeterminedfor theencountered
objects inrelationto theownship, andtheoutput
sets U
jw
0
[p(t
k
)] of the acceptable strategies of the
ownshipinrelationtoeachoneof theencountered
objects,
apairof vectorsu
m
j
andu
j
0
, isdeterminedinrelation
to eachj-th object andthentheoptimal positional
strategyof theownshipu
0
(p) fromthecondition:
where S
0
refers to the continuous function of the
manoeuvringgoal of theownship, characterisingthe
distanceof theshipattheinitial momentt
0
tothenear-
estturningpointL
k
onthereferencep
r
(t
k
) routeof the
voyage.
Theoptimal steeringof theownshipiscalculatedat
eachdiscretestageof theships movement by apply-
ingtheSIMPLEX methodtosolvetheproblemof the
linear programming, assumingtherelationship(4) as
thegoal functionandthecontrol constraints(2).
Using the function of lp linear programming
fromtheOptimisationToolboxMatlab, thepositional
multi-stagegamenon-cooperativemanoeuvringNPG
program has been designed for the determination
of the own ship safe trajectory in a collision situa-
tion(Lebkowski 2001, Lisowski 2001a, 2008b, Segal
1998).
2.2 Algorithm of cooperative positional game CPG
Goal function(4) for cooperativegamehastheform:
2.3 Algorithm of matrix game MG
Thedynamic gameis reducedto amulti-stepmatrix
gameof aj number of participants(Lisowski 2001b,
2004a, 2006a, Radzik 2000). The matrix game
R=[r
j
(
j
,
0
)] includes thevalues determinedprevi-
ouslyonthebasisof datatakenfromananti-collision
systemARPAthevalueacollisionriskr
j
withregardto
thedeterminedstrategies
0
of theownshipandthose
j
of thej-th encounteredobjects.Thematrixriskcon-
tains thesamenumber of columns as thenumber of
participant I (ownship) strategies andthenumber of
lineswhichcorrespondtoajointnumberof participant
II (j objects) strategies(Fig. 2).
Thevalueof theriskof thecollisionr
j
isdefinedas
thereferenceof thecurrent situationof theapproach
described by the parameters D
j
min
and T
j
min
, to the
assumed assessment of thesituation defined as safe
and determined by thesafedistanceof approach D
s
andthesafetimeT
s
whicharenecessarytoexecute
amanoeuvreavoidingacollision with consideration
actual distanceD
j
betweenownshipandencountered
j-th ship:
wheretheweight coefficients (w
1
, w
2
) aredepended
on the state visibility at sea, dynamic length and
dynamicbeamof theship, kindof water region.
508
Figure2. Navigational situationrepresentingthepassingof
theownshipwiththej-th object.
The constraints affecting the choice of strategies
(
0
,
j
) arearesult of COLREGrecommendations.
Player I may use
0
of various pure strategies in
a matrix game and player II has
j
of various pure
strategies.
As thegame, most frequently, does not havesad-
dle point the state of balance is not guaranteed
there is a lack of pure strategies for both players in
the game. The problem of determining an optimal
strategy may be reduced to the task of solving dual
linear programmingproblem. Mixedstrategycompo-
nentsexpressthedistributionof probability p
j
(
j
,
0
)
of usingpurestrategies by theplayers. As aresult of
usingthefollowingformfor thesteeringcriterion:
theprobabilitymatrix P =[p
j
(
j
,
0
)] of usingpartic-
ular purestrategiesmaybeobtained.
Thesolutionfor thesteeringgoal isthestrategyof
thehighest probability:
Using the function of lp linear programming
from the Optimisation Toolbox Matlab, the matrix
multi-stepgamemanoeuvringMGprogramhasbeen
designed for thedetermination of theown ship safe
trajectoryinacollisionsituation(Cichuta2000).
2.4 Algorithm of dynamic optimisation DO
Thedescription of theown ship dynamic allows for
thefollowingrepresentationof thestateequations in
adiscreteform:
where x
1
=X
0
, x
2
=Y
0
, x
3
=, x
4
=

max
, x
5
=V,
x
6
=

V, x
7
=t, u
1
=
r
/
max
, u
2
=n
r
/n
max
Thebasiccriterionfortheshipscontrol istoensure
safepassingof theobjects, whichisconsideredinthe
stateconstraints:
This dependenceis determined by thearea ships
domain of thecollisionhazardandwhichassumesthe
formof a circle, parable, ellipse or hexagon (Baba
2001, Lisowski 2000b).
Theships domains may haveapermanent or vari-
ableshapesgenerated,forexample,byNeural Network
ToolboxMatlab. Moreover, acriterionof optimisation
istakenintoconsiderationintheformof smallestpos-
sibleway loss for safepassingof theobjects, which,
at a constant speed of the own ship, leads to the
time-optimal control:
Determination of the optimal control of the ship
in terms of an adoptedcontrol quality index may be
performedbyapplyingBellmansprincipleof optimi-
sation. Theoptimal timefor theshiptogothroughk
stagesisasfollows:
Theoptimal timefor theshipto go throughthek
stages is afunction of thesystemstateat theendof
thek 1stageandcontrol (u
1,k2
, u
2,k2
) atthek 2
stage(Levine1996).
By going from the first stage to the last one
theformula(13) determinestheBellmansfunctional
equation for theprocess of theships control by the
alterationof therudder angleandtherotational speed
of thescrewpropeller (Nise2008).
Theconstraintsfor thestatevariablesandthecon-
trol valuesgeneratetheNEUROCONSTRprocedurein
thedynamicoptimal control DOprogramforthedeter-
minationof theownshipsafetrajectoryinacollision
situation(Skogestad2005).
2.5 Algorithm of kinematics optimisation KO
Goal function(4) for kinematicsoptimisationhasthe
form:
3 COMPUTER SIMULATION
Computer simulationof NPG, CPG, MG, DOandKO
algorithms was carried out in Matlab/Simulink soft-
wareonanexamplesof areal navigational situations
at sea of passing j encountered objects (Pachciarek
2007, Lisowski 2008c).
509
3.1 Situation for j =4 encountered ships
Figure 3. The 6 minute speed vectors of own and 4
encounteredshipsinsituationinKattegat Strait.
Figure 4. The safe trajectory of own ship for NPG algo-
rithmingoodvisibilityD
s
=1nminsituationof passingj =4
encounteredships, r(t
k
)=0, d(t
k
)=2.99nm.
Figure 5. The safe trajectory of own ship for CPG algo-
s
k
)=0, d(t
k
)=1.10nm.
Figure 6. The safe trajectory of own ship for MG algo-
s
k
)=0, d(t
k
)=0.83nm.
Figure 7. The safe trajectory of own ship for DO algo-
s
encounteredships, t
K
=1.16h.
Figure 8. The safe trajectory of own ship for KO algo-
s
k
)=0, d(t
k
)=0.38nm.
510
Figure 9. The comparison of own ship safe trajectories
in good visibility D
s
=1nm in situation of passing j =4
encounteredships.
encounteredshipsinsituationinKattegat Strait.
Figure11. Thesafetrajectory of ownshipfor NPG algo-
s
k
)=0, d(t
k
)=2.10nm.
Figure12. Thesafetrajectory of own shipfor CPG algo-
s
k
)=0, d(t
k
)=0.68nm.
Figure 13. The safe trajectory of own ship for MG algo-
s
k
)=0, d(t
k
)=2.74nm.
Figure 14. The safe trajectory of own ship for DO algo-
s
encounteredships, t
K
=0.93h.
511
Figure 15. The safe trajectory of own ship for KO algo-
s
k
)=0, d(t
k
)=0.26nm.
s
encounteredships.
encounteredshipsinsituationontheNorthSea.
rithmin good visibility D
s
=1nmin situation of passing
j =19 encounteredships, r(t
k
)=0, d(t
k
)=2.92nm.
s
k
)=0, d(t
k
)=1.95nm.
Figure20. Thesafetrajectoryof ownshipforMGalgorithm
s
k
)=0, d(t
k
)=3.81nm.
512
Figure21. Thesafetrajectoryof ownshipforDOalgorithm
s
encounteredships, t
K
=1.10h.
Figure22. Thesafetrajectoryof ownshipforKOalgorithm
s
k
)=0, d(t
k
)=0.84nm.
s
encounteredships.
encounteredshipsinsituationintheEnglishChannel.
s
k
)=0, d(t
k
)=0.11nm.
s
k
)=0, d(t
k
)=1.17nm.
513
Figure27. Thesafetrajectoryof ownshipforMGalgorithm
s
k
) = 0, d(t
k
)=3.83nm.
Figure28. Thesafetrajectoryof ownshipforDOalgorithm
s
encounteredships, t
K
=3.03 h.
Figure29. Thesafetrajectoryof ownshipforKOalgorithm
s
k
)=0, d(t
k
)=0.11nm.
s
encounteredships.
4 CONCLUSION
Inordertoensuresafenavigationtheshipsareobliged
to observelegal requirements containedintheCOL-
REG Rules. However, these Rules refer exclusively
totwoshipsunder goodvisibility conditions, incase
of restrictedvisibility theRules provideonly recom-
mendations of general natureand they areunableto
consider all necessaryconditionsof thereal process.
Thereforethereal processof theshipspassingexer-
cisesoccursundertheconditionsof indefinitenessand
conflict accompanied by an imprecise co-operation
amongtheshipsinthelight of thelegal regulations.
A necessity to consider simultaneously thestrate-
giesof theencounteredshipsandthedynamicproper-
tiesof theshipsascontrol objectsisagoodreasonfor
theapplicationof thedifferential gamemodel often
calledthedynamicgame.
Thecontrol methods consideredinthis paper are,
inacertainsense, formal modelsfor thethinkingpro-
cesses of anavigating officer steering of own ships.
Thereforethey may beappliedintheconstructionof
both appropriate training simulators at the maritime
trainingcentreandalsoforvariousoptionsof thebasic
moduleof theARPA anti-collisionsystem.
The application of approximate models of the
dynamic gametosynthesisof optimal control allows
the determination of safe trajectory in situations of
passingagreater number of met objects as sequence
of courseandspeedmanoeuvres.
ThealgorithmsNPGandCPGdeterminegameand
safetrajectoryof theshipwithrelationtoof all objects
and permits to take into account the degree of their
cooperation.
ThealgorithmMG determines gameandsafetra-
jectoryof theshipwithrelationtoof theobjectof most
dangerous.
ThealgorithmsDOandKOdeterminetheoptimal
and safe trajectory of the ship most nearing to the
receivedtrajectoryfromthetrainingsimulatorARPA.
514
The developed algorithms takes also into consid-
eration the Rules of the COLREG Rules and the
advance time of the manoeuvre approximating the
ships dynamic properties and evaluates the final
deviation of the real trajectory from the reference
value.
These algorithms can be used for computer sup-
porting of navigator safe manoeuvring decision in
a collision situations using information fromARPA
anti-collisionradar system.
Thesensitivityof thefinal gamepayment:
is least relative to the sampling period of the
trajectoryandadvancetimemanoeuvre,
mostisrelativetochangesof theownandmetships
speedandcourse,
it growswiththedegreeof playingcharacter of the
control processandwiththequantityof admissible
strategies.
REFERENCES
Baba, N. & J ain, L.C. 2001. Computational Intelligence in
Games. NewYork: Physica-Verlag.
Cahill, R.A. 2002. Collisions and thair Causes. London:The
Nautical Institute.
Cichuta, M. &Dalecki, M. 2000. Study of computer program
determiningsafe ships game trajectory withconsideration
risk of collision. M.Sc. thesis, GdyniaMaritimeAcademy,
(inPolish).
Engwerda, J.C. 2005. LQ Dynamic Optimization and Differ-
ential Games. West Sussex: J ohnWileyandSons.
Isaacs, R. 1965. Differential games. NewYork: J ohnWiley
andSons.
Lavalle, S.M. 2006. Planning algorithm. New York:
Camridge.
Lebkowski,A. 2001. Study and computer simulation of game
positional control algorithm with consideration ships
speed changes in Matlab. M.Sc. thesis, GdyniaMaritime
Academy, (inPolish).
Levine, W.S. 1996. The Control Handbook. Florida: CRC
Press.
Lisowski, J. 2006a. The dynamic game theory methods
applied to ship control with minimum risk of collision.
Risk Analysis V: Simulation and Hazard Mitigation.
Southampton, Boston: WIT Press: 293302.
Lisowski, J. 2006b. Game theory methods in control syn-
thesis of marinemovingobjects mathematical models
andcomputer support algorithms. Proc. of the 10th IEEE
International Conference on Methods and Models in
Automation and Robotics, Miedzyzdroje: 2139.
Lisowski, J. 2007a. Intelligent safeshipcontrol methods in
collision avoidance. Proc. of European Control Confer-
ence, Kos: 16.
Lisowski, J. 2007b.The dynamic game models of safe naviga-
tion. Chapter inMonographTransNav2007:Advancesin
marinenavigationandsafety of seatransportation. Gdy-
nia: GdyniaMaritimeUniversity-TheNautical Institutein
London: 2330.
Lisowski, J. 2007c. Applicationof dynamicgameandneural
network insafeshipcontrol. Polish Journal of Environ-
mental Studies. Vol. 16: 114120.
Lisowski, J. 2008a. Optimal and game ship control algo-
rithms avoiding collisions at sea. RiskAnalysisVI: Com-
puter Simulation Risk Analysis and Hazard Mitigation.
Southampton, Boston: WIT Press: 110.
Lisowski, J. 2008b. Game and optimal safe ship control.
Chapter in monograph Recent Advances in Control and
Automation. Warszawa: Exit: 302312.
Lisowski, J. 2008c. Sensitivity of safe game ship control.
Proc. of 16th IEEE Mediterranean Conference on Control
and Automation, Corsica: 220225.
Lisowski, J. & Mohamed-Seghir, M. 2008d. Safeshipcon-
trol methodsbasedonfuzzyset theory. Polish Journal of
Environmental Studies. Vol. 17, No3C: 5558.
Nisan, N., Roughgarden, T., Tardos, E. & Vazirani, V.V.
2007. Algorithmic Game Theory. NewYork: Cambridge
UniversityPress: 717733.
Nise, N.S. 2008. Control systems engineering. NewYork:
J ohnWiley& Sons.
Nowak, A.S. & Szajowski, K. 2005Advances in Dynamic
Games Applications to Economics, Finance, Opti-
mization and Stochastic Control. Boston, Basel, Berlin:
Birkhauser.
Osborne, M.J, 2004. An Introduction to Game Theory. New
York: OxfordUniversityPress.
Pachciarek, A. 2007. Comparative analysis of safe ship tra-
jectory determining on computer simulation. B.Sc. thesis,
GdyniaMaritimeUniversity, (inPolish).
Radzik, T. 2000. Characterization of optimal strategies in
matrix games with convexity properties. International
Journal of Game Theory. Vol. 29: 211228.
Sandom, C. & Harvey, R.S. 2004. Human factors for engi-
neers. London: TheInstitutionof Electrical Engineers.
Segal, A. & Miloh, T. 1998. A new three dimensional
differential game of pursuit and evasion. Proc. of the
8th International Symposium on Dynamic Games and
Applications. Maastricht.
Skogestad, S. & Postlethwaite, I. 2005. Multivariable feed-
back control. NewYork: J ohnWiley& Sons.
Straffin, P.D. 2001. Game Theory and Strategy. Warszawa:
Scholar (inPolish).
515
12.3
A numerical studyof combinednatural andMarangoni convection
inasquarecavity
K. Cicek&A. Cihat Baytas
Istanbul Technical University, Tuzla, Istanbul, Turkey
ABSTRACT: Throughtheaimof thisstudy, theeffectsof combinedbuoyancy-drivenflowsandthermocap-
illary flows, which are emerged fromtemperature differences, on fluid flow and heat transfer numerically
investigated with differentially heated sidewalls in afreesurfacesquarecavity. Thestudy has been accom-
plishedwiththreemilestonestoachievetheright solutions. For everymilestoneNavier-Stokes, continuityand
energyequationsarediscretizedbyusingfinitevolumemethodandgridswith5252control volumes. Results
arepresentedPr=1, Pr=7andPr=100. Theeffect of positiveandnegativeMarangoni number onfluidflow
andheat transfer at different Rayleighnumber areconsideredanddiscussed.
NOMENCLATURE
cp: specificheat at aconstant pressureJ /(kg-K)
D: height of cavity, m
g: gravitational acceleration, m
2
/s
h: convectionheat transfer coefficient, W/(m
2
-K)
k: thermal conductivity, W/(m-K)
p: pressure, N/m
2
q
//
: heat flux, W/m
2
t: time, s
T: temperature, K
u: horizontal velocity, m/s
U: dimensionlesshorizontal velocity
v: vertical velocity, m/s
V: dimensionlessvertical velocity
x,y: coordinates, m
X: dimensionlesshorizontal coordinate
Y: dimensionlessvertical coordinate
T: temperaturedifference(T
H
-T
C
)
: thermal diffusivity, m
2
/s
: thermal expansioncoefficient, 1/K
: dimensionlesstemperature
: dynamicviscosity, kg/(m-s)
: kinematicsviscosity, m
2
/s
: density, kg/m
3
: surfacetension, N/m
T: temperature coefficient of surface tension,
N/(m-K)
: dimensionlesstime
: streamfunction, m
2
/s
: dimensionlessstreamfunction
: vorticity, 1/s
: dimensionlessvorticity
Dimensionless Numbers
Pr: Prandtl number
Ra: Rayleighnumber
Ma: Marangoni number
Nu: Nusselt number
Nu: AverageNusselt number
Pe: Peclet number
Subscripts
H: hot
C: cold
l: local
1 INTRODUCTION
Fromits modest origins, maritimetransportationhas
always been the dominant support of global trade.
Therewithal, the importance of maritime transporta-
tionincreasesinparallel withtechnologicevolutions,
technical improvements and economic development
of countries. High level of economic growth, indus-
trialization, technological evolutionsandurbanization
for developedcountriesresultinanincreaseinenergy
demand. It was determined that in 2005, 86% of
primary energy demand in the world supplied from
petroleumandderivatives. Therefore, maritimetrans-
portation is the most important transportation mode
fortransferringof petroleumanditsderivativestopro-
cureenergydemand. Withthecurrent dataillustrated
that transportation of fossil fuels by seaway reached
approximately twenty seven billion tons in the year
2007(UNCTAD, 2007).
Increase in the volume of carriage of petroleum
andits derivatives withmaritimetransportationhave
increased therisk of themaritimeaccidents such as
oil spill, collision, groundingof shipsthat threatento
environment, ecosystems, and aquatic life. For this
reason many academic researches and studies are
directly focused out on prevention of pollution of
marine environment with exploring fluid mechanics
andheattransfereventsincargotanksof shipssuchas
517
Grauet al. 2004, Oroet al. 2006, Pallareset al. 2004,
Segerre-Perez et al. 2007.
Themainaimof present study is to shedlight on
fluid flow and heat transfer in cargo tank of ships.
The present work is a numerical study natural con-
vectionduetothetemperaturedifferencebetweenleft
and right wall and Marangoni convection dueto the
freesurfaceeffectinatwo-dimensional squarecavity.
Natural convectionisinducedbythedifferenceintem-
peraturebetweenvertical walls,anditisrepresentedby
theRayleighnumber(Ra).Marangoni convectionflow
directly related to the surface tension gradient with
respect to temperaturewhich acts as aforceapplied
to thefreesurfaceof thecavity, andit is represented
bytheMarangoni number (Ma). Thepresenceof free
surfacecannotonlyaltertheflowfieldandheattrans-
fer but also prove to have an impact on the process
becauseof surfacetensionvariations(Behnia, Stella,
Guj 1995; Bergman & Ramadhyani 1986; Smith &
Davis1983).
The study is conducted numerically under the
assumption of steady laminar flow with three mile-
stones. Inthefirst milestone, natural convectionina
two-dimensional squarecavity has been investigated
with the left vertical wall is a constant tempera-
ture T
h
, the right wall is constant T
c
and all other
wallsareassumedadiabatic. Inthesecondmilestone,
combinednatural andMarangoni convectioninatwo-
dimensional squarecavitywithatopfreesurfacehas
beeninvestigatedwiththeleft vertical wall is acon-
stanttemperatureT
h
, therightwall isconstantT
c
, and
all other wallsareadiabatic. Inthethirdandlastmile-
stonecombinednatural andMarangoni convectionin
atwo-dimensional squarecavity with atop freesur-
facehasbeeninvestigatedwiththeleftvertical wall is
aconstanttemperatureT
c
, therightandbottomwall is
constant T
c
, whilst top surface is adiabatic. For the
second and third milestones, the top surface defor-
mation and interactions with the gaseous phase are
neglected.Ineverythreesteps,theNavier-Stokes,con-
tinuity and energy equations are solved using finite
volume method and grids with 5252 control vol-
umes. ResultsarepresentedPr=7forfirstandsecond
milestones, Pr=100for thirdmilestone. Theeffectof
positiveandnegativeMarangoni number onthefluid
flowandheat transfer at different Rayleighnumbers
areconsideredanddiscussed.
2 MATHEMATICAL MODEL
A schematic diagram of every milestone shows in
Figure1, Figure2andFigure3respectively.
InFigure1, itisassumedthattheleftvertical wall of
thecavityisaconstantvalueT
H
.Therightvertical wall
isheldataconstanttemperatureT
C
, whilethehorizon-
tal wallsareadiabatic. InFigure2, it isassumedthat
theleftvertical wall of thecavityisaconstantvalueT
H
.
Therightvertical wall isheldataconstanttemperature
T
C
, tophorizontal wall isafreesurfaceandadiabatic
and bottomhorizontal wall is adiabatic. In Figure3,
Figure 1. Schematic diagramof the physical model and
coordinatesystemof first milestone.
coordinatesystemof secondmilestone.
coordinatesystemof thirdmilestone.
cargotank ismodeledtoinvestigatefluidmotionand
heattransfer intank. InFigure3, itisassumedthatthe
left vertical wall of thecavity isaconstant valueT
H
.
The right vertical wall and bottomhorizontal walls
areheld at aconstant temperatureT
C
, whilethetop
horizontal wall isafreesurfaceandadiabatic.
518
Tomodel theliquidmotionincavity,weusethecon-
servation equation for mass, momentumand energy
for two-dimensional, steadyandlaminar flow. All the
physical properties of fluid, , k and c
p
are consid-
eredconstantexceptdensity, inbuoyancyterm, which
obeys Boussinesqapproximation. Intheenergy con-
servation, we neglect the effect of compressibility
and viscous dissipation. With these assumptions the
continuity, momentumand energy equations can be
writtenas;
Introducingthevorticitywas;
to get vorticity transport equation by taking thecurl
of momentumequationtoeliminatestheP term, the
momentumequationcanberewritteninterms of the
vorticitydefinedaboveas;
Thestreamfunction() for twodimensional problem
isdefinedsuchthat;
thevorticity transport equationcanbeobtainedfrom
Eqs. (5) and(6), whichfurther gives;
Thegoverningequations areconvertedinto thenon-
dimensional formby defining the non-dimensional
variables:
Basedonthesenon-dimensional variables, thegovern-
ingequationsareobtainedasfollow;
Other physical quantities of interest inthepresent
study aretheaverageand local Nusselt numbers for
the hot and cold walls; these variables are defined
respectivelyas;
3 INITIAL & BOUNDARY CONDITIONS
Inordertoobtainresultsof theconservationequations
wedefineinitial and boundary conditions. For each
milestoneinitial conditionsareat =0;
But it is necessary to define boundary conditions
of each milestone separately. In first milestone the
boundaryconditionsareat 0;
Alsoitisnecessarytodefinenon-dimensional vor-
ticityboundaryconditionsandwiththehelpof Eqs.(4)
theboundaryconditionscanbeobtainedasforvertical
walls;
andfor horizontal walls;
Inthesecondandthirdmilestonesfreesurfacecon-
ditionmustbetakeninconsideration. Thepresenceof
thistypeof boundaryconditioncannot onlyalter the
flow field and heat transfer characteristics but may
also proveto haveanimpact ontheprocess because
of surfacetension variations. (Smith & Davis 1983;
Bergman& Ramadhyani 1986). Ingeneral, for most
liquids there is a variation of surface tension with
temperature. As a result, the interface between air
and liquid which is subjected to a temperature gra-
dient can initiateabulk flow dueto surfacetension
variations.Thisflowwhichisduetoatemperaturegra-
dient appliednormallytothefreesurfaceisknownas
Marangoni convection(Behniaet al 1995). After that
519
explanation, theboundary conditionat afreesurface
canbewrittenas,
Based on non-dimensional variables expressed in
Eqs(8), Eqs17areobtainedasfollow;
Eqs. (18) canberearrangedwiththehelpof
andobtainedasfollow;
Thisboundaryconditionappliedtoavorticitybound-
aryconditionfor tophorizontal wall asfollow;
Inthesecondmilestoneinitial andboundary con-
ditions are same with the first milestone except top
horizontal wall (freesurfacecondition).
In the third milestone initial and boundary con-
ditions are same with the second milestone except
bottomhorizontal wall. In this milestonethebottom
wall isheldtoaconstant temperatureT
c
. For thisrea-
sontheboundaryconditionfor bottomwall isdefined
asfollow,
4 SOLUTIONPROCEDURE
The differential equations, represented by equations
(9) to(11), together withrespect boundaryconditions
for everymilestone, equationsare(16), (20) and(21),
are solved using the fine volume method described
in Patankar (1980). In this method solution domain
is dividedinto small finitecontrol volumes. Thedif-
ferential equations are integrated into each of those
control volumes.Fromthisintegrationtherewerealge-
braicequationswhich, whensolvedsimultaneouslyor
separately, suppliedvelocity, streamfunction, vortic-
ityandtemperaturecomponents.A power-lawscheme
is adopted for the convection-diffusion formulation
(Patankar 1980).
Thediscretizationequations aresolvediteratively,
using the line by line method known as Thomas
algorithmor TDMA (tridiagonal matrix algorithm).
An over relaxation parameter of 1.85 was used in
order toobtainstableconvergencefor thesolutionof
vorticitytransport andenergyequations.
In order to assess the accuracy of our numerical
procedure for every milestone, we have tested our
algorithm based on the grid size (4242) for the
first milestonewiththeworkof Davis(1983a), Davis
(1983b) andHortmanandPeric(1990), for thesecond
milestonewehavetestedour algorithmbasedonthe
grid sizes (5252) with the work of Behnia et al
(1995).
Gridindependencetestswereconductedfor all the
configurations studied in this work. Three different
grid size(4242, 5252, 6262) wereused and
averageNusselt numbers arecompared for different
grid size. Because of the small differences between
5252 and 6262 grids, 5252 grid was chosen
forsecondandthirdmilestones. Forthefirstmilestone
4242 grid was chosen because of achieve effec-
tivebenchmarkwiththeworkof Davis(1983a), Davis
(1983b) and Hortman and Peric (1990). Thenumer-
ical solutionis consideredto beconvergedwhenthe
maximumconvergencecriteriawassmaller than10
7
5 NUMERICAL RESULTSANDDISCUSSION
InFigure4illustratethestreamfunctionandisotherm
contours of first milestonenumerical results for var-
ious Ra=10
3
and 10
5
and Pr=1. In general, fluid
circulation is strongly dependent on Rayleigh num-
ber as wehaveseen in Figure4aand 4b. Changein
thevaluesof Rahasitsinfluenceonthestreamlines
andisotherms.Thecentreof circulationpatternmoved
towardstohot(left) wall of thecavity. Streamlinespat-
ternshowsthat thereisastrongupwardflownear the
hot wall sideanddownwardflownear thecoldwall.
In Figure 57 illustrate the stream function and
isotherm contours of second milestone numerical
resultsfor Ra=0and10
4
, Ma=10
3
andPr=7.
In general, fluid circulation is strongly dependent
onbothRayleighnumber andMarangoni number as
wehaveseeninFigure57. Changeinthevalues of
Ra and Ma have influence on the streamlines and
isotherms. InFigure5onlytheeffectsof surfaceten-
sionarepresent,theRayleighnumberbeingsettozero.
Theflowis drivendueto effect of velocity gradients
onthetopsurface. InFigure6it isseenthat theeffect
of buoyancyontheflowfieldisaddedtothepositive
Marangoni one. So theflow structureis still consti-
tuted by a single large main circulation. Due to the
effect of buoyancy forces that are distributed in the
bulk of the cavity the main vortex is stronger than
in Figure 5 and encompasses almost completely the
entireflowdomain. For positiveMathereis astrong
thermal boundarylayerlocatedclosetotheupper-right
corner dueto theeffect of Marangoni convection in
thevicinityof thefreesurface. InFigure7, duetothe
520
Figure 4. Stream lines and isotherm contours for
(a) Ra=10
3
, (b) Ra=10
5
.
Figure5. Streamlines and isothermcontours for Ra=0,
Ma=10
3
.
Figure6. Streamlinesandisothermcontoursfor Ra=10
4
,
Ma=10
3
.
negativevalueof Marangoni number, thereisanoppo-
sitionof effectsbetweenbuoyancyandsurfacetension.
For thisreason, it ispossibletoclearlydistinguishthe
effect of thetwo different contributions. Inthis case,
it is clearly evident howtheflowis strongly divided
into two regions; theupper onewherethemotion is
inducedby surfacetensionandthelower onedriven
bybuoyancy.AlsoinFigure7isothermcontoursshows
thatthenegativeMacausesastrongpenetrationof hot
4
,
Ma=10
3
.
Figure8. Streamlines and isothermcontours for Ra=0,
Ma=10
3
.
4
,
Ma=10
3
.
Figure10. StreamlinesandisothermcontoursforRa=10
4
,
Ma=10
3
.
fluidinthecentreof thecavity dueto thecombined
effect of thetwocounter-rotatingrecirculation.
In Figure 810 illustrate the streamfunction and
isothermcontours of thirdandlast milestonenumer-
ical results for Ra=0 and 10
4
, Ma=10
3
and
Pr=100.
Thebottomwall which is held at aconstant tem-
peratureT
C
doesnt makeanychangesonstreamline
contours but have influence on the isotherm con-
tours. As a result there is a strong boundary layer
located close to lower-left corner. In Figure 810
streamlines contours dont show any differencebut
521
isothermcontours with theinfluenceof bottomwall
showsignificancevarieties.
6 CONCLUSION
This study try to shed light on fluid flow and heat
transfer in cargo tank of ships with investigating of
combined natural and Marangoni convection in a
liquid.
Forthecaseof positiveMarangoni numberthefluid
structureismainlyconstitutedbyadominantcorevor-
tex structurewhichbecomesstronger aseither of the
RayleighandMarangoni numbersareincreased.
More complex and interesting is the flow struc-
turefornegativevaluesof Marangoni numbers. Inthis
case, the fluid is stratified and flow filed is clearly
divided into two separate regions where the motion
is drivenby Marangoni (upper region) andbuoyancy
(lower region) respectively.
Alsofor thebottomwall at aconstant temperature
T
c
, it isshownthat thereisastrongthermal boundary
layer is formed at the lower-left corner. It is clearly
evidentof lower-leftcorner isastrongheatlosspoint.
Consequently, Marangoni number is as important
parameter as Rayleigh number for fluid motion and
dispersionof temperatureincavity withfreesurface
and for positiveand negativevalues it changes both
streamlinesandisothermscontoursdispersioninthe
cavity.
REFERENCES
Behnia, M., Stella, F., & Guj, G. 1995. A numerical study
of three dimensional combined buoyancy and thermo-
capillaryconvection, International Journal of Multiphase
Flow, 21(3): 529542.
Bergman,T.L. &Ramadhyani, S. 1986. Combinedbuoyancy
and thermocapillary driven convection in open square
cavities. Journal of Numerical Heat Transfer, 9: 441451.
Bergman, T.L. andKeller, J.R., 1988. CombinedBuoyancy,
SurfaceTensionFlowinLiquidMetals, Numerical Heat
Transfer, 13, 4963.
Davis, G.D.V., 1983a, Natural Convectionof Air inaSquare
Cavity: A BenchMarkNumerical Solution, International
J ournal for Numerical MethodsinFluids, 3, 249264.
Davis, G.D.V., 1983b, Natural Convectionof Air inaSquare
Cavity: A ComprasionExercise, International J ournal for
Numerical MethodsinFluids, 3, 227248.
Faghri, A. and Zhang, Y., 2006. Transport phenomena in
multiphasesystems. AcademicPress, London.
Grau, F.X., Valencia, L., Fabregat, A., Pallares, J. and
CuestaI., 2005. Modelizationandsimulationof thefluid
dynamicsof thefuel insunkentankersandof thedisper-
sion of thefuel spill, Symposium on Marine Accidental
Oil Spills, Vigo, Spain, J uly1316.
Hortman, M. and Peric, M., 1990. Finite volume multi-
gridpredictionof laminarnarutal convection: bench-mark
solution, International J ournal for Numerical Methodsin
Fluids, 11, 189207.
Oro,J.M.F.,Morros,C.S.andDiaz,K.M.A.,2006.Numerical
simulation of the fuel oil cooling process in a wrecked
ship, Journal of Fluid Engineering, 128, 13901393.
Pallares J., CuestaI. andGrauF.X., 2004. Numerical simu-
lationof thefuel oil coolinginthesunkenprestigetanker.
TheASME-ZSISInternational Thermal Science Seminar
II, Bled, Slovenia, J une1316, 439445.
Patankar, S.V., 1980. Numerical Heat Transfer and
Fluid Flow, Hemissphere Publishing Corporation,
WashingtonD.C.
Segerra-Perez, C.D., Olivia, A., Trias, X., Lehmkuhl, O. and
Capdevila, A., 2007. Numerical simulation of thermal
and fluid dynamic behavior of fuel oil in sunken ships,
Symposium on Marine Accidental Oil Spills, Vigo, Spain,
J une58, 31.
Smith, M.K. & Davis, S.H. 1983. Instabilities of dynamic
thermocapillaryliquidlayers, part 1. Convectiveinstabil-
ities. Journal of Fluid Mechanics, 132: 119144.
522
12.4
Anapplicationof mathematical theoryof evidenceinnavigation
W. Filipowicz
ABSTRACT: Plentyof variousqualitydataareavailabletotheofficer of watch. Thedataof variousqualities
comesfromdifferentnavigational aids.Thiskindof datacreatesnewchallengeregardinginformationassociation.
Thechallengeismet byMathematical Theoryof Evidence. Thetheorydeliversmethodsenablingcombination
of varioussourcesof data. Resultsof associationhaveinformativecontextincreased. Associateddataenablethe
navigator torefinehispositionandhisstatusregardingdangerousplaces. Theprocedureinvolvesuncertainty,
ambiguityandvagueevidence. ImpreciseandincompleteevidencecanbecombinedusingextendedDempster-
Shafer reasoningscheme.
1 INTRODUCTION
Therearestochastic and epistemic uncertainties dis-
tinguished. Stochasticalsocalledaleatoryuncertainty
reflectsunknown,usuallyunpredictablebehaviourof a
system.Thesystembehavesinstochasticwaywhenits
statesarerandomones. They canbeidentifiedbased
on traditional probability theory. In maritime traffic
engineering attempt to find deviation fromintended
trackisrelatedtothealeatoryuncertainty.
Shortage of knowledge or incomplete evidence
createsanother kindof uncertainty. Epistemicor sub-
jectiveuncertainty results frominsufficient or vague
evidence. Questionof identity of newspottedobject
referstothissort of uncertainty. It isquiteoftenwhen
observer at monitoringstationspots newradar mark
andtriestofindoutwhatvessel thiscouldbe. Usually
there is some evidence available, for example radar
echo signature and estimate of speed can be help-
ful. ModernAIS technology transfers data useful in
identification. Problemwas discussed by the author
in his previous papers (Filipowicz 2007 & Filipow-
icz 2008).). Navigational aids deliver plenty of data
usedfor positionfixing. Thequality of dataisdiffer-
ent anddependsonmanyfactors. Suchimpreciseand
sometimes incompletedataarefurther combinedfor
position refinement. Quantifying navigational status
regardinganobstacleiscrucial fromsafetystandards
point of view.
In classical probability theory the knowledge of
probability of anevent canbeusedto calculatelike-
lihood of thecontrary statement. In this approach if
onenavigational aidindicatespositionwithincertain
areawithprobability of 0.6, that meanthat navigator
believesthatheisoutsidetheareawiththeprobability
of 0.4. The theory also requires that data regarding
probability of all considered events is at disposal.
Thetheory is limitedinits ability whendealingwith
epistemicuncertainty.
Mathematical Theoryof Evidence(MTE for short)
is more flexible in this respect. MTE is a theory
(initiated by Dempster & Shafer) based on belief
and plausibility functions and scheme of reasoning
in order to combine separate pieces of evidence to
calculatetheprobabilityof anevent. Contrarytoprob-
ability theory it enables modelling knowledge and
ignorance. Evidencecanbecombinedthereforeeven
partial knowledge associated with less meaningful
factsmayendupinvaluableconclusions. Combining
evidenceleadstodataenrichmentandimprovedprob-
abilityjudgmentscanbeobtainedfor eachconsidered
hypothesis. Fundamental forMTEisDempster-Shafer
schemeof reasoning initially intended for crisp val-
ues. Newextensionstocopewithimprecisionarealso
availablesinceitisoftenthattoobtainprecisefigures
isinfeasible. Imprecisionisexpressedasinterval val-
uesor fuzzyfigures. Inthepaper andelsewherefuzzy
values are considered as a set of intervals given for
selectedpossibilitylevels.
Problemof positionrefinement that involvesepis-
temicuncertaintycouldbedefinedasbelow.
Given:
navigationaids indicatingdifferent positions, dif-
ferent distancesfromanobstacle
eachaidhasreliabilityandaccuracycharacteristic
assignedtoit
linguistic terms referring to close, sufficient and
safe distances are available as membership func-
tions
Question:
what is credibility that the real distance to the
obstacleissafeone?
523
Firstpartof thepaperisdevotedtobasicprobability
assignment. Then necessity to deal with imprecision
is depicted. Further on interval values are intro-
ducedandbelief structuredefined. Short description
of Dempster-Shafer method is also included. Last
part of thepaper deals withidentificationof naviga-
tional statusreferringtoanobstacle.Twonavigational
aids are considered. Their indications are combined
in order to quantify distance from certain shallow
water area.
2 PROBABILITY ASSIGNMENT
Frame of discernment in Mathematical Theory of
Evidenceconsistsof possibleevents.Eventsareunder-
stood very widely. Examples of events that are of
interest innavigationcouldbe: routetakenbyaspot-
tedvessel, positionfixingbasedonanelectronic aid,
attempt to refineunidentified object etc. Events are
considered as atomic or structured ones. Consider-
ing limited set of objects as a single entity means
dealingwithmolecular or structuredevent. For exam-
ple new spotted object must be large container car-
rier or mediumbulk vessel because no other traffic
is expected within the area. It is assumed that in
case of structured event all constituents are equally
possible.
Letusconsiderexampleonreasoningwhichof pos-
sibleandtreatedas equivalent routes r
1
or r
2
will be
taken by thevessel shown at figure1. Theframeof
discernment embraces three events =({r
1
}, {r
2
},
{r
1
, r
2
}). First event is related to route r
1
as pos-
sibly taken by the vessel, selecting route r2 means
occurrenceof thesecondevent.Thirdmolecular event
expresses uncertainty, it constituents r
1
or r
2
are
assumedtobeequallypossible.
Some evidence supporting reasoning on intended
shipsitineraryisassumed.Recordedcaseswithsouth-
westboundvesselsof similar tonnagewereexamined.
For all n storedcasesx outof theall havechosenroute
r
1
. Appropriatemasses related to each of theevents
can be calculated according to formula (1). Assum-
ing that data stored in traffic related database gives
Figure 1. Intended route forecast probleminvolves three
events: takingrouter
1
, takingr
2
andjoint r
1
or r
2
.
x=24andn=39massesof likelihoodthat thistime
particular routeistakenshouldbeassignedasshown
informula(1)
It iseasytofindout that all massessumuptoone
soprobabilityrequirementissatisfied.Thetheoryalso
requires that: m({r
1
, r
2
})=1m({r
1
})m({r
2
}).
Note that set {r
1
, r
2
} expresses some sort of uncer-
taintysinceitreflectsthatbothavailableroutescanbe
takenwiththesamecredibilitylevel.
Let us againconsider exampleonguessingwhich
of routesr
1
or r
2
will betakenbythevessel. Thistime
weassumedifferentevidencesupportingreasoningon
intendedshipsitinerary. Weassumethatvarioussam-
plesof recordedcasesareavailable. Registeredroutes
for similar ships referredto different weather condi-
tions. Number of recordsinthesamplesvariedwithin
rangeof [20, 50]. Dataanalysesdiscoveredthat num-
ber of southwest boundships that havechosenroute
r
1
wasaround70%of all storedcases. Thepercentage
never fell below60%anddidnot exceed80%of the
total number. Under theseassumptionsoneisnotable
tocalculatemassesof evidenceusingbeforepresented
wayof reasoning. Thetaskisseeminglyunsolveddue
tolimitationimposedby crispvalues. Interval values
are to be used instead. Counting all pros and cons
andnumbersof recordsinthesamplesinterval-valued
massespresentsformula(2).
In this case all masses cannot sumup to one so
basicprobabilityrequirementcannotbesatisfied. The
approach stipulates that exists a set of sub ranges
within defined intervals within which summation to
one is observed. More formally conditions 1 and 2
in definition (1) areto betrue. Definition (1) refers
to interval-valuedprobability assignment that is also
calledasinterval-valuedbelief structure.
Definition(1):
Interval-valuedmassesattributedtorespectiveele-
mentsof theframeof discernment, namely: [m
1
, m
1
],
[m
2
, m
2
], . . . , [m
n
, m
n
] define adequate probability
524
assignment if there is a set m such that for mm
followingaresatisfied:
within each interval thereis avalue: m
i
m
i

m
i
, for eachi {1, . . . , n]
for all suchvalues:
n
i=1
m
i
=1
For examplethreeinterval-valuedmassesthesetof
legal probability assignment is shownas two dimen-
sional shapeinfigure2.Procedureof establishingsuch
shapecanalsoleadtotighteninginterval boundssince
somevaluesmayappear asunreachable.
We again consider above example on guessing
which of routes r
1
or r
2
will be taken by the vessel
using fuzzy approach. We assume that it is experi-
encedradar observer who reasons onintendedships
itinerary. His subjectiveway of thinking is likethis:
thevessel is amediumone, visibility is rather good,
windmoderatesotohisbest knowledgeit islikely
thevessel will takerouter
1
. Healso observed quite
manysimilar vesselshavetakenrouter
2
soitisfairly
likelythatthisroutewill bechosenthistime. J udging
fromhisexperienceuncertaintyof hisopinionisvery
low. Formal expressionof theabovestatementrequires
introductionof meaningterms: likely, fairlylikely
andverylow. All of themarelinguistictermsrefer-
ringtofuzzyreasoning. Suchtermsarecharacterized
bymembershipfunctions.
2.1 Theoretical membership functions
Set with elements like: very unlikely, unlikely,
fairly likely, likely, very likely and certain
consists of linguistic terms which human beings use
for estimated reasoning. To evaluateuncertainty one
canusevery low, low, medium, high, very
Figure2. Graphical presentationof theset of validproba-
bilityassignment ininterval-valuedbelief structure.
high and totally uncertain as the highest term.
Bothsetscontainsixelementsandmembershipfunc-
tions can be used interchangeably depending on the
context.
Countingelementsfrom0upton
c
1onecanuse
formula(3) tocalculatenormalizedandregular fuzzy
membershipfunctions. Trapezoidshapesobtainedfor
w
T
=0.8arepresentedinfigure3andtriangular ones
for w
T
=0infigure4.
where:
w=
1
n
c
1
n
c
isanumber of selectedterms
w
T
[0, 1] istheshapeparameter, w
T
=0means
that membership function is atriangular oneand
w
T
=1meansrectangular shape.
Formula(4) definestrapezoidfuzzy-valuedmasses
assignment for the third discussed case of probabil-
ityassignment onexpectedroutetakenbythespotted
Figure3. Trapezoidmembershipfunctions(w
T
=0.8).
Figure4. Triangular membershipfunctions expressingsix
linguisticterms(w
T
=0).
525
Table1. Combinationof twosourcesof crispdata.
SourceI
m
1
({s
1
}) m
1
({s
2
}) m
1
({s
1
, s
2
})
[0.571, 0.784] [0.196, 0.381] [0.020, 0.048]
m
2
({s
1
}) m
12
({s
1
}) m
12
({}) m
12
({s
1
})
[0.488, 0.639] [0.488, 0.639] [0.096, 0.243] [0.010, 0.031]
m
2
({s
2
}) m
12
({}) m
12
({s
2
}) m
12
({s
2
})
[0.341, 0.492] [0.195, 0.386] [0.067, 0.187] [0.007, 0.024]
m
2
({s
1
, s
2
}) m
12
({s
1
}) m
12
({s
2
}) m
12
({s
1
, s
2
})
[0.016, 0.024] [0.009, 0.019] [0.003, 0.009] [0.000, 0.001]
craft. The formula contains membership functions
for termsrespectively likely (k=3), fairly likely
(k=2) and very low (k=0). Functions arequads
calculatedwithformula(1) for listedabovek value.
Membershipfunctionsarealsopresentedasintervals
for threeselected possibility levels =0, 0.5and 1.
Possibility equal to zero denotes support of a fuzzy
value. Possibility equal to one refers to the core of
imprecisevalue.
3 COMBINATIONOF TWOBELIEF
STRUCTURES
Probability assignments that examples are showed
abovecanbecombinedinordertoincreaseresultinfor-
mationcontext. Probabilityassignmenttoeventsfrom
frameof discernment at handiscalledasbelief struc-
ture. Belief structures aresupposed to verify certain
constraints(seefor exampledefinition(1)). Depend-
ingontypeof assignedmassesbasic, interval-valued
and fuzzy-valued structures are distinguished. It is
saidthat combinationof belief structurescreatesnew
assignment characterized by enrichment of engaged
data. Totakebenefit of thisenrichment other sources
of dataaretobeavailable. Intheaboveinterval-valued
exampleonguessingwhichof routesr
1
or r
2
will be
takenbythevessel singlesourceof datawasassumed.
Letusconsideryetanotherarchivethatcontainsdiffer-
entsetsof recordedcases.Registeredroutesforsimilar
shipsreferredtosimilar weather conditionswereana-
lyzed. Number of recordsinthesamplesvariedwithin
range of [40, 60]. Data analyses revealed that num-
ber of southwest boundships that havechosenroute
r
1
never fell below50%and did not exceed 65%of
thetotal number. Masses attributedtoeachevent are
showninformula(5).
Combination procedurefor ranges and fuzzy val-
uesextendsoriginal Dempster-Shafermethodinitially
proposed for crisp masses in basic belief structures.
Comprehensive way of two sources combinations is
summarizedbelow. Theschemewas further usedfor
example combination of the two discussed sources
resultsareshownintable1.
Dempster-Shafer rulesof combination:
1. Createtablewithrowsthatrefertoeventsembraced
insecondsource.
Columnsrefer totheeventsof first source.
Eacheventhasmassof evidence(fuzzyorinterval-
valued) that isassignedtoit
2. Foreachintersectionof arowandacolumnproduct
of massesinvolvediscalculateandattributedtoa
common, for thetwosets, event.
Incaseof crispevents inconsistency occurs if the
twosetshaveemptyintersection.Therefore,forpar-
ticular cell, the product of masses of evidence is
assignedtoanemptyset
In case of fuzzy events conjunctive operator is
appliedandsearchfor minimumvalues onmem-
bershipfunctionsinvolvedcarriedout
3. Calculatemassesfor eachresultingset of events
4. Calculatebelief functions (andif requiredplausi-
bility) values
Definition(2):
There are two sets of interval-valued masses
attributed to elements of thesameframeof discern-
ment, namely: m
1
, m
2
. Eachof themembracescertain
set of eventsreferredtoas: (m
1
) and (m
2
). Their
combinationdefinesprobabilityassignmentasasetm
suchthatformmappropriatelimits(Denoeux1999)
aregivenbyformula(6).
526
Table2. J oint masses, belief functionvaluesandtightenbounds.
Interval-valued Tighten
Event J oint masses beliefs intervals
{s
1
} [0.298, 0.551] [0.298, 0.551] [0.313, 0.529]
{s
2
} [0.077, 0.220] [0.077, 0.220] [0.078, 0.219]
{s
1
, s
2
} [0.0003, 0.0012] [0.471, 0.709] [0.0003, 0.0012]
Using formula (6) one can obtain limits of joint
massesthat areasfollows:
m
12
({s
1
})=0.2790.0090.01=0.298
m
12
({s
1
})=0.5010.0190.031=0.551
m
12
({s
2
})=0.0670.0030.007=0.077
m
12
({s
2
})=0.1870.009 0.024=0.220
m
12
({s
1
, s
2
})=0.0003
m
12
({s
1
, s
2
})=0.0012
Sinceintwo cases therewereempty intersections
thereforeinconsistencyoccurred. Limitsof theempty
set areasbelow:
m
()=0.0960.195=0.291
m
()=0.3860.2430.529
Resultbelief structurewithitsinterval-valuedprob-
abilityassignmentenablesdeterminationof evidential
functions. Lower and upper limits of belief function
canbecalculatedwithformula(7).
Taking into account limits of empty sets obtained
duringcombinationrangesof believesfor eachof the
eventsareasshownintable2.
MTEdefinesbelief functionintermsof themassof
evidenceassignedto eachevent andits constituents,
if available. Thus inorder to obtaintotal belief com-
mittedtotheset, masses of evidenceassociatedwith
all thesets that aresubsets of thegiven set must be
added. Consequently beliefs of atomic event remain
unchangedandequal tocombinedvalues. J ointevents
increasetheir belief values accordingto constituents
masses(seelast rowintable2).
3.1 Evidence combination as optimization
problem
Presentedprocedureis anextensionof initial Demp-
ster proposal intendedfor structureswithcrispevents
aswell ascrispmassesassignedtotheevents. Exten-
sion of the approach substitute crisp values with
interval-valuedprobabilities. Subsequentlyprinciples
of adequatemathematicsaretobeapplied.
Unfortunatelysuchdirect modificationcanleadto
results that aretoo broad. Thenewapproach toward
dataassociationistobeconsideredsinceitsresultsare
to betightened. Problemof combinationof interval-
valued structures can be introduced as following
optimizationtask(Denoeux1999).
Search for lower and upper limits of combined
structure:
Under constraints:
Adequate optimization problemwas solved using
availablesoftwareandresults areshownintheright-
mostpartof table2. Itisseenthatoptimizationleadsto
resultsfallingwithinlimitsestablishedwithprevious
method. All further results of combinationpresented
inthepaper wereobtainedusingsoftwareavailableat
website:
http://www.hds.utc.fr/tdenoeux/.
Thesoftwareimplementsproceduressolvingabove
definedoptimizationproblem.
4 BELIEF STRUCTURESINMARITIME
NAVIGATION
Previouslypresentedcaseof guessingwhichroutewill
betakenby unknownvessel, althoughinteresting, is
notverymuchrepresentativefor maritimenavigation.
Itstypical problemsarerelatedtopositionfixing. The
aimof thepositioninterpretationis to findout what
thedistancefromnearest obstaclecouldbe. Thedis-
tancegivenascrispvalueisnotof primaryimportance
insteaditsubjectiveassessmentreallymatters. Subjec-
tivityshouldembracelocal condition. Confinedwater
distanceof 4Nmmustbedifferentlyperceivedthanthe
samedistanceintheopensea.Neverthelesssafeorsuf-
ficient distancevalueistobemaintainedeverywhere
andall thetime. Exampleof theset of fuzzy-valued
subjectivedistancesisshowninfigure5.
Fixing can be directly transferred into appropri-
ate state referring to the obstacle. Being within the
527
Figure 5. Distances froman obstacle expressed as fuzzy
values.
Table3. Meaningof 4Nmoff safewater buoyinthegiven
area
veryclose sufficient verysafe
close safe
Expert 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
1 ++ +
2 +++ +
3 ++++
4 +++
5 ++
frequency 0.2 0.8 0.6
0.2 1.0 0.4
statecanbetreatedas anevent inMTE terminology.
Fromfigure 5 it is also clear that limits of a state
areimprecisevalues thereforeevent is not crisp any
longer. Infigure5circlearoundpositioncrossreflects
error, standard deviation attributed to particular sys-
tem.Markedspotissomewhereinbetweencloseand
sufficient distanceif proposedlimits areassumed.
Instead of establishing borders one can ask experts
whattheythinkabout, forexample, 4Nmoff thebuoy.
Theyaretousescalethatcoversfivetermsfromvery
close to very safe. Table3contains results of the
inquiry with 16 unity intervals scale. Each linguis-
tictermcoversfour adjacent unityintervals. Extreme
interval isassumedtobesharedwithneighbour term.
Last two rows of thetable3embracerelativefre-
quencies of answers for non-zero unity intervals. Set
of thesefigurescreatesirregularmembershipfunction
that will bewrittenas:
d1
(x
i
) = {0.2/6, 0.2/7, 0.8/8, 1/9, 0.6/10, 0.4/11]
Unliketheoretical membershipfunctionsthesesim-
ilar to presented in table 3 are called empirical
membershipfunctions.
Accuracyof distancemeasuredbyanavigational aid
dependsonmethodandapplianceinvolved. Different
credibility is attributed to various aids. To conclude
reasoning regarding measured distance one has to
attribute mass of credibility to engaged system. Let
usassumethatexamplesystemscredibilityishigh. In
thiscaseusingsuggested6-gradescaleandformula3
factor k will beassumedasequal to4(trapezoidreg-
ular membership function with w
T
=0.8 are further
used). Doubtfulnessregardingproper functionalityof
theaidandoutcomeof expert opinions is rather low
(k=1).
Abovestatementsdefinefollowingbelief structure.
Measured distanceto theobstacleexpressed sub-
jectively:
d1
(x
i
) = (0.2/6, 0.2/7, 0.8/8, 1/9, 0.6/10, 0.4/11)
Mass of credibility attributed to navigational aid
andqualityof expert opinions:
m
1
(d
1
) = (0.8, 0.84, 0.96, 1)
Thelast canbeapproximatelyexpressedas:
Mass of uncertainty attributed to navigational aid
andtoqualityof expert opinions:
m
1
(any) = (0, 0.04, 0.36, 0.4)
Thiscanbeequivalent to:
Thelatest reflectsstatement that contradictsmem-
bership function shown in table5. It expresses con-
clusionthat engagedsystemmight not work properly
andindicateswrongdata.Consequentlyeverydistance
is equally possible. Membershipfunctionattachedto
suchuncertaintyconsistsof all one:
any
(x
i
) = (1/1, 1/2, 1/3, 1/4, 1/5, 1/6, 1/7, 1/8,
1/9, 1/10, 1/11, 1/12, 1/13, 1/14, 1/15, 1/16).
Assumingapproximationof fuzzy valuesby inter-
val values at selectedpossibility levels conditions of
definition1areobservedfor all levelsthustheabove
assignment isappropriatebelief structure.
Inordertoenrichknowledgeandreduceuncertainty
regardingdistancefromtheobstacleweassumethat
thereisanothernavigational aidthatindicatesdifferent
distanceand theaid is also reputed in different way.
Another belief structureisasfollows.
Measured distance to the obstacle expressed in
subjectiveway:
d2
(x
i
) = (0.2/5, 0.4/6, 0.6/7, 1/8, 0.6/9, 0.2/10)
528
Table4. Combinationof twonavigational aids.
m
1
(
d1
) m
1
(any)
=1[0.84, 0.96] [0.04, 0.36]
=0.5[0.82, 0.98] [0.02, 0.38]
=0.0[0.80, 1] [0, 0.40]
m
12
(
d1

d2
) m
12
(
d2
)
=1[0.44, 0.76] [0.37, 0.73] [0.018, 0.27]
m
2
(
d2
) =0.5[0.42, 0.78] [0.34, 0.76] [0.0080.30]
=0.0[0.40, 0.80] [0.32, 0.80] [0.0, 0.32]
m
12
(
d1
) m
12
(any)
=1[0.24, 0.56] [0.20, 0.54] [0.01, 0.20]
m
2
(any) =0.5[0.22, 0.58] [0.18, 0.57] [0.0040.22]
=0.0[0.20, 0.60] [0.16, 0.60] [0.00.24]
Mass of credibility attributed to another naviga-
tional aidandqualityof newexpertopinionsassumed
astrapezoidfuzzyvalue(k=3andw
T
=0.8):
Mass of uncertainty attributed to this positioning
systemandqualityof other expertopinionsexpressed
astrapezoidfuzzyvaluewithk=3andw
T
=0.8):
Sameasbeforefuzzyvalueswereapproximatedby
interval valuesatthreeselectedpossibilitylevels.Con-
ditions of definition 1 are observed for each of the
levelsthusthesecondassignmentisalsocorrectbelief
structure.
Indications coming fromtwo sources were asso-
ciated using extended Dempster-Shafer scheme and
optimizationapproach. Obtainedresultsareshownin
table4.
Intable4thereisexpressionm
12
(
d1
d2
) that
remains to be explained. It is at the intersection of
m
2
(
d2
) row and m
1
(
d1
) column and mean joint
confidenceregarding distances to thesameobstacle
measuredbydifferentnavigational aid. Incaseof crisp
eventsthemasswouldbeassignedtoemptyset(). In
casewhenevents arefuzzy theexpressionshouldbe
writtenasm
12
(
d1
(x
i
)
d2
(x
i
)) andinterpretedas
amassof confidenceattributedtoconjunctionof two
fuzzy valuesrespectively
d1
(x
i
) and
d2
(x
i
). Inthis
case
d1
(x
i
)
d2
(x
i
) =(0/5, 0.2/6, 0.2/7, 0.8/8, 1/9,
0.6/10, 0.4/11)(0.2/5, 0.4/6, 0.6/7, 1/8, 0.6/9, 0.2/10,
0/11) =(0/5, 0.2/6, 0.2/7, 0.8/8, 0.6/9, 0.2/10, 0/11).
Notethatconjunction meansminimumoperationin
thetwosets.Asaresultof combinationof fuzzyevents
Figure6. Bundleof benchmarkmembershipfunctions.
Figure 7. Belief intervals for close, sufficient and safe
distances.
apart frominitial setsappear yet another membership
functions. Themoresources arecombined themore
numerous count of suchextraevents. Notethat such
eventsbringsomesupportfor certainclassesof fuzzy
events.
Seemingly this phenomenon makes the approach
vague. To some extent the statement is true. At the
otherhandresultof combinationcouldbetreatedasan
encodedknowledgebase. Havingsuchdatabaseoneis
supposedtoaskquestionsandgetanswers.Asamatter
of fact thisismainadvantageof theapproach.
Kind of questions that can be submitted to the
knowledge base depend on the problemat hand. In
discussedcaseit couldbeinterestingtoknowsupport
for astatement that thedistancefromtheobstacleis
safeor sufficientone. Table5containsinterval values
of belief functionsfordifferentregularfuzzyfunctions
relatedtoconsideredscaleof distances.
Benchmark membershipfunctions usedintable5
areregular trapezoidonespresentedinfigure6. They
arebasedonsixteenunity interval scaleaspresented
intable3. First of thefunctions reflects termsafe,
secondoneisshiftedleft (closer totheobstacle) by1
unitandsoon. Inthiswayfourthfunctionisrelatedto
sufficient distanceandseventhtoclosecondition.
Fuzzy belief functions values are given as -cuts
for =1, 0.5and0intoptobottomorder.
Figure 7 shows diagrams of three belief val-
ues marked with asterisk in table 5. They represent
interval-valuedbeliefs that thedistanceis close, suf-
ficient andsafe, for thehighest possibility level. The
highest credibility withupper limit approaching0.74
receivessufficient distance.
529
Table5. Fuzzybeliefsfor obtainedcombinationresultsandselectedfuzzydistances.
Patternfuzzyvalue Belief function
=1 [0.074, 0.146]*
1(0.5/10, 1/11, 1/12, 0.5/13) safe =0.5 [0.069, 0.153]
=0.0 [0.064, 0.160]
=1 [0.114, 0.195]
2(0.5/9, 1/10, 1/11, 0.5/12) =0.5 [0.105, 0.197]
=0.0 [0.096, 0.200]
=1 [0.376, 0.493]
3(0.5/8, 1/9, 1/10, 0.5/11) =0.5 [0.364, 0.497]
=0.0 [0.352, 0.500]
=1 [0.510, 0.714]*
4(0.5/7, 1/8, 1/9, 0.5/10) sufficient =0.5 [0.493, 0.727]
=0.0 [0.476, 0.740]
=1 [0.358, 0.475]
5(0.5/6, 1/7, 1/8, 0.5/9) =0.5 [0.347, 0.480]
=0.0 [0.336, 0.484]
=1 [0.155, 0.315]
6(0.5/5, 1/6, 1/7, 0.5/8) =0.5 [0.141, 0.326]
=0.0 [0.128, 0.336]
=1 [0.074, 0.146]*
7(0.5/4, 1/5, 1/6, 0.5/7) close =0.5 [0.069, 0.153]
=0.0 [0.064, 0.160]
5 CONCLUSIONS
Bridge officer has to use different navigational aids
inorder to refinepositionof thevessel. To combine
various sources he uses his common sense or relies
ontraditional wayof dataassociation. Sofar Kalman
filterprovedtobemostfamousmethodof dataintegra-
tion. Mathematical Theory of Evidencedelivers new
ability. Itcanbeusedfor datacombinationthatresults
intheir enrichment. Dempster-Shafer schemeinitially
designedfor crispdataassociationnowiswidelyused
tocopewithimprecision, whichisexpressedbyinter-
valsorfuzzyvalues.Assignmentof massesof evidence
toeachof eventsathandcreatesbelief structure. Crisp,
interval-valuedandfuzzy-valuedbelief structuresare
distinguished.
In the paper interval-valued belief structure is
defined. Itisalsoshownthattransitionfrominterval to
fuzzy-valuedstructureisstraightforward. Exampleof
suchstructuresfor positionfixingwaspresented. The
structureswerethencombinedandresultsdiscussed.
Themostimportantconclusionthatcanbedrawnfrom
included example is that with help of MTE quan-
tification of imprecisestatement is possible. With at
leasttwonavigational aidsengagedcredibilitythatthe
distancefromanobstacleis safereceives its unique,
althoughinterval or fuzzy-valuedbelief.
REFERENCES
Denoeux,T. Fuzzy Sets and Systems, Modellingvaguebeliefs
usingfuzzyvaluedbelief structures, 1999
Filipowicz, W. Intelligent VTS. Weintrit, A. (ed.) 2007
Advances in Marine Navigation and Safety of Sea Trans-
portation.: 151159, Gdynia
Filipowicz W., Mikulski J. (ed.), 2008Advances in Trans-
port Systems Telematics, Wydawnictwo Komunikacji i
aczno sci, Mathematical TheoryOf EvidenceAndNavi-
gational SituationEvaluation: 8192, Warszawa
530
12.5
TheH
2
androbust H
inf
regulatorsappliedtomultivariableshipsteering
W. Gierusz
ABSTRACT: The main goal of this task was a calculation of the two multivariable regulators for precise
steeringof areal, floating, trainingship. Thefirst oneminimizedtheH
2
normof theclosed-loopsystem. The
secondonewas relatedto theH
inf
norm. Therobust control approachwas appliedinthis controller withthe
usageof thestructuredsingularvalueconcept. Bothcontrollersaredescribedinthefirstpartof thepaper. Details
of thetrainingvessel anditssimulationmodel thenarepresented. Thestatemodel of thecontrol objectobtained
viaidentificationprocess is describedinthenext section. This model withmatrices weightingfunctions was
thebasefor creationof theaugmentedstatemodel for theopen-loopsystem. Thecalculationresults of the
multivariablecontrollersisalsoshowninthissection. Several simulationswereperformedinorder toverifythe
control quality of bothregulators. Exemplary results arepresentedat theendof this paper together withfinal
remarks.
1 INTRODUCTION
The process of the ship movement steering can be
dividedintoseveral control subsystems, e.g. theships
course and/or speed stabilization, damping of roll
angle, dynamic ship positioning (DSP), guidance
alongtrajectoryetc. Oneof themisthecontrol system
forprecisesteeringof theshipmovingwiththelowand
verylowspeed. Suchkindof thevessel motionisalso
known as a crab movement. This regulation process
meansthefull control of velocitiesduringtranslation
of the ship with any drift angle, e.g. motion ahead,
astern and askewor rotation in place. No other help
(tugs, anchorsetc.) isrequiredfor thisprocess.
Inthebeginning, theprecisesteeringsystemswere
installedasextensionsof DSPunitsonresearchships,
drillingvessels, cableandpipelayingshipsandsimilar
ones. Nowadaysthesesystemsaremountedonferries,
passenger ships, shuttle tankers, FSO and dredging
vessels(Fossen2002).
Theexemplary manoeuvres under such asteering
are presented in Fig. 1. It gives, among others, the
followingadvantages:
the increasing safety of the vessel, especially on
constrainedwater with intensivetraffic (harbours,
navigation channels, closed or inner roads etc.),
owingtoability toperforme.g. afast anticollision
manoeuvreonverysmall area,
thepossibilityof resignationof tugscooperationfor
e.g. berthingor mooringmanoeuvres,
the ability to pass along very shallow and tortu-
ousnavigationchannels, inaccessibleforshipswith
conventional drivers e.g. near attractive touristic
places(islands, gulfs, fiords, etc.).
Figure1. Theexemplary situationswhenprecisemanoeu-
vresduringberthingareneededandexpected.
For thispurposetheshiphastobeequippedwithat
leastafewdrivingdeviceslike:mainpropellers,tunnel
thrusters, jet-pumpthrusters, or azipods(abladerud-
der isuselessinsuchoperations). Theyallowtosteer
theshipinthemanual manner, butitrarelyleadstosat-
isfyingresults thereforethemultivariablecontroller
seemstobeareasonablesolution.
The regulation of three ships velocities: surge,
sway and yaw often needs the usage of only one
velocity at a time (see Fig. 1), therefore the control
systemshould ensure complete or almost complete
de-couplingsteeringof theship.
531
Figure2. Theblockdiagramof themultivariableshipcontrol system.
Thewholedescribedsystem(seeFig. 2) consistsof
threeelements:
themeasuringsubsystem,
themultivariableregulator,
thethrust allocationunit.
Asitwaspointedouttheprecisesteeringof thevessel
is performedwithvery slowvelocities. Thestandard
navigation devices for measuring of motion param-
eters have poor accuracy in these work conditions.
Thereforeshipsvelocitieshavetobeestimated(recon-
structed) frompositioncoordinatesandavalueof the
heading. TheKalman filters arecommonly used for
thispurpose(Anderson& Moore2005).
Theship as acontrol object has very disadvanta-
geousfeatures:
the characteristics of the ship strongly and in the
nonlinear manner depend on operating conditions
e.g. theshipsvelocity, thedirectionof themotion,
ship load, water depth, proximity of other ships,
wharfs, etc.
theallowancefor all thesefactors in themodel is
very difficult and even after it has been done it
leads to abadly complicated structureuseless for
synthesis,
the linearization of the model in many working
points gives a family of the models and the fam-
ilyof regulators. Next it generatesanother problem
withtheprocessof proper controllersshockingless
switching.
A control systemdesigner has two main ways to
overcome these problems. One of themis matching
regulator to thereal plant duringthecontrol process
i.e. adaptationof thecontrol system seefor exam-
pleAstromand Wittenmark books or (Niederlinski,
Moscinski & Ogonowski 1995). The second way is
evaluation of thebounds of theplant (ship) changes
and including theminto theregulator synthesis pro-
cess(Skogestad& Postlethwaite2003), (Zhou1998).
Thelast approachis oftennamedH
inf
robust control
andrequiresaminimizationof aprocessmatrixnorm
called H
inf
(Doyle, Glover, Khargonekar & Francis
1989).
The matrix norms are very convenient ways for
formulation of performance criterions, especially in
Figure3. Theblockdiagramof theclosed-loopsystemwith
weightingfunctionsfor selectedsignals. Themeaningof the
particular signals is as follows: r =references vector, p
vectorof disturbances, nnoisesvector, e
y
weightedcontrol
errors, e
u
weightedcontrol signals.
multivariablesystems. Onecan usetwo norms: H
inf
and H
2
. Controllers related to each normare com-
monlynamedH
inf
regulator andH
2
regulator. The
synthesisof bothcontrollersfor ashipistheobjective
of thispaper.
2 THE H
inf
ANDH
2
REGULATORS
2.1 Problemformulation
Thefeedback controller designcanbeformulatedfor
thegeneral configurationof theMIMOsystemshown
in Fig. 3 (noteoppositedirections of signals from
right to left hand side, more convenient for matrix
operationsusedinmultivariablesystems).
Theconcept of weightingfunctionsisaconvenient
wayof introducingdifferentsignal specificationsinto
aMIMOprocess:
thesignalsscalingoperationiseasy toperformby
meansof thisfunctions,
onecandistinguishbetweenmoreandless impor-
tantcomponentsof thesignalsvectors(e.g. inerrors
vector) byproper gaincoefficients, introducedinto
thesefunctions,
thedesigner requirements relatedto theparticular
signals can beformulated for specified frequency
rangesinanatural way.
Notethedifferentsenseof functionsW
u
, W
s
onthe
onehandandW
p
, W
n
, W
z
ontheotherone. Functions
matricesW
s
andW
u
definedesignerrequirementsfor
532
Figure 4. The generalized closed-loop systemconfigura-
tion.
steeringquality inthesystemwhilefunctions matri-
cesW
p
, W
n
andW
z
forminput signalsinfrequency
domain. Onecanwritethefollowingequationsbased
ontheFig. 3:
Above equations can be rewritten in more compact
form:
wherematrixP hastheform:
Matrix P iscalledtheaugmentedplant (model plant)
due to weighting functions vectors included in it.
Introducing the input vector d = [ r p n]
T
and the
weightingerror vector e = [e
y
e
u
]
T
onecanwrite:
The last equations enable to build the generalized
configurationexposedinFig. 4.
Nowtheweightingerror vector canbeexpressedin
theform:
where matrix T
ed
can be obtained by means of the
Lower Linear Fractional Transformation (Redheffer
1960).
Thecontrol systemdesigncanbetreatedasapro-
cessof calculatingacontrollerKsuchwhichmaintain
small certain weighted signals (e.g. control errors).
Oneof thepossibleway to definethesmallness of
signals (or transfer matrices) are matrix norms H
inf
and H
2
(Skogestad & Postlethwaite2003) expressed
bythefollowingequations:
2.2 The H
2
regulator
TheH
2
optimal control problemistofindacontroller
K whichstabilizestheclosed-loopsystem(presented
inFig. 4) andminimizestheH
2
normof thissystem.
Theminimizationof theH
2
normisperformableonly
forstrictlypropersystems.WhentheplantP iswritten
instatemodel form:
thepart D
11
andD
22
must beamatrices of zeros for
suchasystem.
Thewell-knownLQG controller canbetreatedas
aspecial caseof theH
2
regulator, whenaweighting
factor inLQG performancecriterionis includedinto
weightingfunctionW
u
(Zhou1998).
Theregulator whichminimizestheH
2
normof the
systemensuresthepropersteeringqualityrepresented
bythematrixweightingfunctionsW
s
and/or W
u
(see
Fig. 3), but under assumptionthat theplant model is
adequateandaccurate.
2.3 The H
inf
regulator
Thegoal of H
inf
regulator issimilar tothat of theH
2
one, but now one wants to minimize the H
inf
norm
withthecondition:
The value has the sense of the energy ratio
between error vector e and exogenous input vector
d. When the tends to its minimal valuetheabove
formulation is often named the optimal H
control
problem(Skogestad& Postlethwaite2003).
TheregulatorwhichminimizestheH
inf
normof the
systemensuressimilar qualityof thesteeringfor any
combinations of exogenous input signals formedby
matrixweightingfunctionsW
p
, W
n
andW
z
(notethat
thisisnot warrantedbyH
2
regulator).
2.4 The robust regulator
However this steeringquality is only achievedunder
thesameassumptionthat theplant model isaccurate.
If thereal plant differs (e.g. dueto operating condi-
tions) fromthemodel usedduringcontrollersynthesis
533
Figure5. Thegeneralizedclosed-loopsystemconfiguration
withuncertainties.
thisqualitycanbesignificantlypoor. Thedifferences
betweentheobject andthemodel areusually named
thesystemuncertainties(Doyle1982).
Thereareseveral sourcesof uncertaintieswhichcan
beintroducedintotheshipmodel:
changes thephysical parameters of thevessel due
to different work conditions (e.g. load, trim, depth
of water, etc.),
errorsinestimationprocessfor model coefficients
values,
neglected nonlinearities inside the object (e.g.
relatedtohydrodynamicsphenomena),
measurement and filtration process errors (e.g.
biases),
unmodelled dynamics, especially in the high fre-
quencyrange,
accepted(chosen) limitationof themodel order.
All uncertainties can be divided into two classes:
parametricones, relatedtotheparticular model coef-
ficientsandothers nonparametricones. Introduction
of theconceptof uncertaintiesintothemodellingpro-
cessmeansthatoneconsidersnotonlytheonenominal
model of theobjectG
n
(j), butafamilyof modelsG
D
spreadaroundthisnominal model.
Theuncertaintiescanbeintroducedintothesystem
model indifferentways, dependingontheir typesand
locations, but all of themarerepresentedbymeansof
twocomponents:
thefirst oneis thepure uncertainty , bounded
intheH
inf
normsensei.e. ||
1
thesecondoneitistheweightingfunctionmodeling
themagnitudeandshapeof theuncertainty in the
frequencydomain.
Consequently, any closed-loopsystemwithuncer-
tainties contains three basic components: the gener-
alized(augmented) plant P, thecontroller K that has
to beobtainedandtheset of pure uncertainties ,
collectedinthematrixform(seeFig. 5).
The augmented plant P consists of the nominal
objectmodel G
n
andof all matricesof weightingfunc-
tions(modelingtheperformancerequirements, form-
ing input signals and describing the uncertainties).
Note that the augmented plant P for H
inf
controller
synthesisslightlydifferent fromthisplant for H
2
one.
Figure6. Theblockdiagramof control object.
2.5 The ship subsystems as a control object
The control object denoted G
n
(see Fig. 3) in the
consideredsystemconsistsof four elements: theallo-
cationunit, thrustersset, theshipandthefilterssystem
(Gierusz 2006). It has three inputs: two demanded
forces
x
and
y
for longitudinal andlateral directions
of movement and onemoment
p
for turning (in the
ship-fixedframe) andthreeoutputs: estimatedvalues
of velocitiessurge u, sway v andyaw r (seeFig. 6).
3 CASE STUDY
3.1 The training ship
TheH
2
andH
inf
robustcontrollerswasappliedtosteer
afloatingtrainingship.Thevessel namedBlueLady
isusedbytheFoundationforSafetyof Navigationand
Environment Protectionat theSilmlakenear Ilawain
Polandfor trainingof navigators. Itisoneof theseries
of 7varioustrainingshipsexploitedonthelake.
TheshipBlueLady is anisomorphous model of
aVLCC tanker, built of the epoxide resin laminate
in1:24scale. It is equippedwithbattery-fedelectric
drivesandthetwopersonscontrol steeringpost at the
stern. Thesilhouetteof theshipispresentedinFig. 7.
Themainparametersof theshipareasfollows:
Lengthover all L
OA
=13.78[m]
Beam B=2.38[m]
Draft (average) loadcondition T
l
=0.86[m]
Displacement loadcondition
l
=22.83[t]
Speed V =3.10[kn]
The high-fidelity, fully coupled, nonlinear simu-
lation model of this ship was built for controllers
synthesis. Special attention was paid to the proper
modeling of the ships behaviour during movement
with any drift angle (e.g. astern or askew). The
block diagramof the model is presented in Fig. 8
(see (Gierusz 2001) for detailed description of this
model).
3.2 The linear model identification
Thesynthesisprocessesof bothcontrollersdescribed
inthispaper needalinear model of theobject. There
aretwo ways to createit: alinearizationof anonlin-
ear (e.g. simulation) model of thevessel dynamicsor
identificationway. Thesecondapproachwas usedin
presentedwork.
Every identificationexperiment wasperformedas
asimulationruninSimulinkenvironment. Morethan
onehundredof experiments wereperformedfor this
purpose(Gierusz 2006).
534
Figure7. Theoutlineof thetrainingshipBlueLady .
Figure8. Theblock diagramof theBlue Lady simulationmodel. Input signals for themodel areas follows (fromtopto
bottom): meanwindvelocity V
w
, meanwinddirection
w
, revolutionsof themainpropeller ng
c
, bladerudder angle
c
, relativethrust of thebow(stern) tunnel thruster sstd
c
(sstr
c
), relativethrust of thebowpumpthruster ssod
c
, turnangle
of thebowpumpthruster
dc
, relativethrust of thesternpumpthruster ssor
c
, turnangleof thesternpumpthruster
rc
.
Theoutput signalsof themodel are: surge u, sway v, yaw r, positioncoordinates x,yandtheheading .
During identification process, it turned out, that
three subsystems demonstrated weak correlation
between output and input signals (
x
v,
y
u,
p
u), therefore these subsystems were canceled
fromthewholemodel (seeFig. 9).
Finally, the third order state model was obtained.
The average values of coefficients, obtained in
all identification experiments were chosen as
the values of parameters of the nominal model
G
n
. Note values of coefficients equal 0 in the
535
Figure9. Control object pathstobeidentified.
channels cancelled during identification process
(seeFig. 9).
Theresultantmodel isstatecontrollableandobserv-
able see(Gierusz &Tomera2006) for details.
Thismodel wasusedfor H
2
controller synthesis.
For synthesisof therobust regulator fiveparamet-
ric uncertainties (denoted
i
, i = 1, . . . , 5) were
introducedintothestatemodel duetothewiderange
of variations of parameter values acquiredinvarious
experiments. Thismodel hadtheform:
Thecoefficientsvaluesof thestatemodel of theship
dynamicswithvaluesof uncertaintiesarecollectedin
thetable1below.
3.3 The controllers synthesis
3.3.1 H
2
regulator
Thestatemodel, presentedviaequations(13)and(14),
couldbearrangedintoaugmentedstatemodel of the
open-loopprocess (Balas, Doyle, Glover, Packard&
Smith 2001), which was necessary to compute the
multivariablecontroller whichminimizedH
2
norm.
Thethreetrackingvelocityerrorse
u
, e
v
ande
r
were
chosenasaperformancecriterion. Itwasassumedthat
Table1. Thevaluesof model coefficients.
Real Relative
Nominal uncertainty uncertainty
Wsp. value value value[%]
a
uu
3.36 10
3
2.64 10
3
78
a
vv
9.00 10
3
5.00 10
3
64
a
vr
2.00 10
4

a
ru
3.00 10
3

a
rv
1.00 10
3

a
rr
7.75 10
3
4.05 10
3
52
b
uu
3.62 10
3
1.51 10
3
42
b
vv
2.06 10
3

b
vr
1.61 10
5
2.89 10
5
179
b
ru
3.00 10
5

b
rv
1.15 10
5

b
rr
8.00 10
3

Figure10. Theblockdiagramof theaugmentedopen-loop
process for H
2
controller synthesis. Symbols denote:
BL3_nom statemodel of thecontrol object; Dop adap-
tation matrix; Wzad filters for reference signals; Ws
weighting functions for control performance. Numbers in
parenthesesdenotesizesof thesignal vectors.
theseexpectederrors woulddependonfrequency of
thereferencesignals. Theserequirementsweretrans-
ferredinto thematrix of theweightingfunctionsWs
for each velocity. Thematrix of theweighting func-
tion Wzad was introduced instead, to moderate the
reference signals rate and consequently to constrain
thepossiblylargeamplitudeof thesteeringsignals.
The block diagram of model for this process is
presentedinFig. 10.
Thesynthesisof theregulator wasmadeby means
of thealgorithmnamedh2syn fromAnalysisand
Synthesis Toolbox(see (Balas et al. 2001) for more
details).
Thecomputedregulator isof order 15:
Thevalueof theclosed-loopsystemH
2
normwas
12.14 and the value of the H
normwas between
23.9365and23.9604.ThislastvaluemeansthattheH
2
controller isnotarobustonefor thedescribedsystem.
536
Figure11. Theblockdiagramof theaugmentedopen-loop
process. Symbols denote:
1
structured uncertainties
block;
2
input uncertainty with weighting functions
Wwyk;
3
measuring and filtering uncertainty with
weightingfunctionsWpom; BL3_nom statemodel of the
control object; Dop adaptationmatrix; Wzad filters for
referencesignals; Ws weightingfunctions for robust per-
formance. Numbersinparenthesesdenotesizesof thesignal
vectors.
3.3.2 H
inf
regulator
Apart from uncertainties related to changing prop-
erties of the plant, (see equations (15) and (16))
two multiplicative, nonparametric uncertainties were
introducedto thepresentedshipcontrol system. The
firstonemodelledinaccuracyininputsignals(related
to transmission errors) with thematrix of weighting
functionWwyk, and thesecond onemodelled mea-
suringandfilteringerrorsintheoutput plant withthe
matrixof weightingfunctionWpom. Thestatemodel
of thecontrol object withall weightingfunctionswas
rebuilt intoaugmentedstatemodel of theopen-loop
process muchmorecomplicatedthenonepresented
inFig. 10:
The algorithmnamed D-K iteration frommen-
tionedMatlabtoolboxwasusedtocomputetherobust
H
inf
controllerforthesystempresentedinFig. 11.The
obtained regulator in state model formwas of high
order equal to41 thesameastheopen-loopsystem
(withthescalingmatricesD see(Balaset al. 2001)
for themeaningof suchmatrices).
Thevalueof H
inf
normwas0.56<1whichensures
therobust propertyof thecontroller.
Thereforetheorder reductionprocedureswereper-
formed. Finally the controller of the order 21 was
obtained.
Theregulator order seems to bequitehigh, but it
is worth to remember what theintroduction of para-
metric uncertainties to the plant model is. It means
that theobtainedcontroller shouldsteer properly (in
weighingfunctionssense)theobjectwhichcanchange
itscharacteristic inavery widerange. Therefore, the
controller for suchobject shouldnot besosimple.
4 RESULTSANALYSISANDFINAL REMARKS
The examination of both control systems was per-
formed during simulation runs with the ships non-
linear simulationmodel.
Figure12. Thetrajectory of theship in thefirst example
drawnbysilhouettesevery60[s].Initial heading
0
=0[deg],
the trial period t =1000[s]. An arrow indicate the average
winddirection
.
Every Figure is divided into two parts. The left-
handsidepresentstheresultsof thesteeringwiththe
H
2
controllerandtheright-handsidepresentsthesame
trialsperformedwiththerobust regulator.
Thisexampleisillustratedbymeansof 3Figures:
the trajectory, drawn by ships silhouettes every
60[s],
shipsvelocities(referencesignalsandreal values),
supplementedby windvelocity runs (presentedin
Beaufort scale)
commandsignalsfromtheregulators.
Theresultswererecalculatedtostart bothtrajecto-
riesfrompoint(0,0)andtheinitial headingwaschosen
as0[deg].
Onecancomparethetrackingerrorsfor all veloci-
tiesinall presentedexamples. Thefollowingformula
wasusedfor thispurpose:
where: q
c
referencesignal for particular
velocity,
q estimatedvaluefrom
Kalmanfilter,
T= 1000, 1400, 2800
successivelyfor first, second
andthirdexample.
The comparisons are presented in the tables
(values10
6
):
Example1
Controller J
u
J
v
J
r
H
2
35 127 191
H
inf
1 73 29
Example2
Controller J
u
J
v
J
r
H
2
369 3 660
H
inf
37 1 230
537
Figure13. Thevelocities of theship in thefirst example
fromthe top: surge, sway and yaw. The bottomfigures
present thewindspeedinBeaufort scale(recalculatedinthe
shipmodel scale1:24). Solidlinesdenotereal values, dashed
lines commands.
Figure14. Thecommandsfromcontrollers fromthetop:
for surge
x
, for sway
y
andfor yaw
p
.
Example3
Controller J
u
J
v
J
r
H
2
2650 205 3280
H
inf
920 109 2270
Thesimilarcalculationsonecanperformforcontrol
effort for bothregulatorsusingtheformula:
where:
s
control signal fromregulator
intheparticular channel,
T = 1000, 1400, 2800
successivelyfor first, second
andthirdexample.
Figure15. Thetrajectoryof theshipinthesecondexample
0
=0[deg],
winddirection
.
Figure16. Thevelocitiesof theshipinthesecondexample
lines commands.
Theresultsarepresentedinthetables:
Example1
Controller J
x
J
y
J
p
H
2
30 805 34
H
inf
6 728 1
Example2
Controller J
x
J
y
J
p
H
2
393 7 225
H
inf
180 5 132
538
for surge
x
, for sway
y
andfor yaw
p
.
Figure18. Thetrajectory of theshipinthethirdexample
0
=0[deg],
winddirection
.
Example3
Controller J
x
J
y
J
p
H
2
7220 723 1104
H
inf
5120 444 633
Remarks
The fully coupled, simulation model of the ship
withacceptableaccuracygivespossibilitiestoper-
formthe identification trials instead of costs and
time consuming full-scale experiments. One can
the build the multidimensional linear model and
estimatethesystemuncertainties: their rangesand
sources, basedontheresultsfromsimulationruns.
Theintroductionof parametricuncertaintiesintothe
plant model enablestocover thechangesof object
characteristics (even nonlinear) in theall rangeof
assumed work conditions. On the other hand it
Figure19. Thevelocities of theshipin thethirdexample
lines commands.
for surge
x
, for sway
y
andfor yaw
p
.
causes the increasing difficulty in the controller
synthesis.
Veryimportantadvantage(or attribute) of bothreg-
ulatorsisitsfixedstructureandconstant valuesof
coefficients. Itmeansthatnavigatorsdonotneedto
adjust anycoefficientsof thesecontrollers.
TheH
2
controller worksworsethantherobust one.
One can compare tables with results for control
quality and steering effort. One of the main rea-
sonsforsuchasteeringcanbethelackof therobust
propertiesof theregulator(seetheH
inf
normof this
regulator).
Both systems were tested in the presence of a
mediumlevel of wind, in spite of fact that exter-
nal disturbanceswerenottakenintoaccountduring
controllerssynthesisprocesses.Therobustregulator
still seemstobeabetteroneinsuchworkconditions.
Theexternal disturbances onecantry to introduce
into the controller synthesis process but often no
539
enoughadequateregulator isobtained(eg. without
robust properties).
As onecanseeinFig. 12 Fig. 19, thesteeringis
almost de-coupling despite the full matrices B, C
andDinthecontrollers.
Theboth closed-loop systems arestableunder all
testedworkconditions.
The most important problems are related to yaw
steering (especially for H
2
controller). Oneof the
possible sources was the gyrocompass (with its
accuracy 0.2[deg]) and one was the fact that the
trainingshipishighweatherly.
Ingeneral regulator calculatedfor oneshipcannot
betransferableto another onedueto linear object
model specifiedforparticularship.Itisasimilarsit-
uationlikewithPIDcontrollersinmany industrial
processes. But thepossibilityof usingasimulation
model of theshipsdynamicsinsteadareal shipfor
experiments for H
2
or H
inf
robust controller syn-
thesis seems to beagreat advantageof described
approach.
REFERENCES
Anderson, B. Moore, J. 2005, Optimal Filtering, Dover
Publications, UK.
Balas, G., Doyle, J., Glover, K., Packard, A. Smith, R. 2001,
-Analysis and Sythesis Toolbox. Ver.4, The Mathworks
Inc., Natick, USA.
Doyle, J. 1982, Analysisof feedbacksystemswithstructural
uncertainties, IEE Proc., Part D 129(6), 242250.
Doyle,J.,Glover,K.,Khargonekar,P.Francis,B.1989,State-
spacesolutionstostandardH
2
andH
control problems,
IEEE Trans. on Automatic Control 34(8), 831847.
Fossen, T. 2002, Marine Control Systems, MarineCybernet-
ics, Trondheim, Norway.
Gierusz, W. 2001, Simulation model of the shiphandling
trainingboatBlueLady, in Int. IFACConferenceCon-
trol ApplicationsinMarineSystemsCAMS01,Glasgow,
Scotland.
Gierusz, W. 2006, Thesteering of theship motion a-
synthesis approach, Archives of Control Sciences 16/1,
527.
Gierusz,W.Tomera,M.2006,Logicthrustallocationapplied
to multivariable control of the training ship, Control
Engineering Practice 14, 511524.
Niederlinski,A., Moscinski, J. Ogonowski, Z. 1995,Adaptive
control (in polish), PWN, Warszawa, Poland.
Redheffer, R. 1960, Onacertainlinear fractional transfor-
mation, Journal of Mathematical Physics 39, 269286.
Skogestad, S. Postlethwaite, I. 2003, Multivariable Feedback
Control Analysis and Design, J ohn Wiley and Sons,
Chichester, UK.
Zhou, K. 1998, Essentials of Robust Control, PrenticeHall,
Upper SaddleRiver, USA.
540
12.6
Speciationof populationinneuroevolutionaryshiphandling
M. acki
ABSTRACT: Thispaper presentstheideaof usingmachinelearningtechniquestosimulateanddemonstrate
learningbehavior inshipmaneuvering. Simulatedhelmsmanis treatedas anindividual inpopulation, which
throughenvironmental sensinglearns itself tonavigatethroughrestrictedwaters selectinganoptimumtrajec-
tory. Learning phaseof thetask is to observecurrent situation and chooseoneof theavailableactions. The
individual improveshisfitnessfunctionwithreachingdestinationanddecreasesitsvaluefor hittinganobstacle.
Neuroevolutionaryapproachisusedtosolvethistask. Speciationof populationisproposedasamethodtosecure
innovativesolutions.
1 ARTIFICIAL INTELIGENCE INDECISSION
MAKINGSUPPORT
1.1 Introduction
InArtificial Intelligence(AI)oneof themaintasksisto
createintelligentagentsthatadapttocurrentsituation,
i.e. changetheir behavior basedon interactions with
theenvironment(Fig1.),becomingmoreefficientover
time, andadaptingtonewsituationsastheyoccur.
Suchabilityisimportant for simulatinghelmsman
behavior inshipmaneuveringonrestrictedwaters.
Learning process for simpler layouts can be per-
formed using classic approach, i.e. Temporal Dif-
ference Reinforcement Learning (Tesauro 1995) or
Artificial Neural Networks with fixed structures
(Braun & Weisbrod 1993). Dealing with high-
dimensional spacesisaknownchallengeinReinforce-
mentLearningapproachwhichpredictsthelong-term
Figure1. General model of agent-basedsystems.
rewardfor takingactionsindifferent states(Sutton&
Barto1998).
1.2 Reinforcement Learning approach
Reinforcement Learning algorithms were taken into
consideration in previous research studies by the
author ( acki 2007). In this approach the agent
receives description of current situation from the
environment and chooses one of available actions.
Environmental situation, whichshouldfundamentally
affectagents behavior, isdescribedbyactual stateand
signal calledreward. Theagents goal istomaximize
total amountof rewardcollectedover time. Insimpler
case total accumulated reward is a sumof immedi-
aterewardsreceivedineverytimestep. Unfortunately
theresults of extensivesimulations wereinsufficient
inhigh-dimensional environment, suchas helmsman
behavior in ship maneuvering on restricted waters.
Since simulated model of environment consist only
oneactiveagent at atime, theoverall learningspeed
was rather slow. It has occurred that the state space
was too hugeto allow theagent to learn effectively.
Coarsecodingof states(Sutton1996) andsimplifica-
tionof statevector has speededuplearningprocess.
At the same time inaccuracy in model of restricted
waters environment increases. In the long run the
agent wasabletotaketheproper actiontoactual task
but had to learn correct behavior for slightly differ-
ent task by searching whole state space again. Due
tolimitedcomputer resources thestatespacebound-
ariesmust bedefinedat thebeginningof simulation.
Furthermoretoimprovestate-actionpair valueback-
ups inepisodic learningprocess theeligibility traces
where used, which also requires additional memory
resources.
In advanced tasks, particularly those with con-
tinuous hidden states and high-dimensional spaces,
541
Figure2. Model of restrictedwatersenvironment.
evolutionary approach to artificial neural networks,
hasproventobemoreefficient.
1.3 Neuroevolutionary approach
Neuroevolution is evolving neural networks, both
connection weights andstructure, with genetic algo-
rithms. The main idea of using evolutionary neural
networks(ENNs) inshiphandlingisbasedontraining
populationof helmsmen( acki 2008).
Theneural network isthehelmsmansmindallow-
inghimtomakedecisionsbasedonactual navigational
situationwhichisrepresentedbyinputsignalsreceived
fromenvironment. Ineachstepthenetworkcalculates
itsoutputfromsignalsreceived.Theseinputsignalsare
calculatedfromcurrent situationof theenvironment,
inthiscase: vessel inaconfinedarea.
Neural networkoutputvalueistherudder angle. In
actual evaluationthereisonlysingleoutput. Itsvalue,
whichiscalculatedthroughevolutionprocessof indi-
viduals in population, is normalized to rudder angle
range from35 degrees (port) to 35 degrees (star-
board). There are plans to introduce several neural
network outputs withnormalizationinorder tobring
theapproachclosetoneural networkdecisionsupport
systems.
Classic artificial neural networksarenot adequate
in dynamic environment. Ship handling in restricted
waters requires efficient network topology of helms-
mansmind. Tocreatesuchstructureappearedtobea
difficult task. Themaincauseof thisdifficultycomes
from unknown hidden states and abundant variety
of input signals. Furthermoreevolutionary approach
to neural networks is multi-agent system. It means
that thereareautonomousunitssearchingfor optimal
solutionsimultaneously(Fig. 3).
Inagent-basedsystemsmostimportantistodefine
proper statevector fromavailabledatasignalsderived
from environment. It is also crucial to determine
Figure3. Multi-agent simulationsystem. Helmsmencom-
petewitheachothersimultaneouslytofindtheoptimumroute
togoal.
fitness function values received by theagent ( acki
2008). Fitnesscalculationisof primarymeaningwhen
determining the quality of each individual. Subse-
quentlyitdefineshelmsmansabilitytoavoidobstacles
whilesailingtowarddesignatedgoal.
Thefitnessvalueof anindividual isadjustedintwo
ways: fromarbitrarysetactionvaluesandfromcalcu-
latedvalues, i.e.: distancetogoal, relativeheadingto
goal, distancetoclosest obstacle, etc.
Subjectivelyassignedactionvaluesareasfollows:
1if actionleadstoincreaseof thedistancetogoal in
everytimestep, 10whentheshipisonthecollision
course(withanobstacleorshallowwaters), 10when
shesheadingtogoal withoutanyobstaclesoncourse,
100whenshehitsanobstacleor runaground, 100
whenshipreaches agoal and100whenshedepart
fromtheareainanyother way, etc;
To simplify calculations ships dynamic was
reduced. For example speed of the ship remains
constant despitesignificant radar deflection.
1.4 Multi-criteria input signals
Evaluationof qualityof astateistobetreatedasmulti-
criteriaproblem. Itsaimistoestimatearisk factor of
gettingstranded,gettingtooclosetotheshore,encoun-
tering a vessel with dangerous cargo, etc. It can be
estimated by function of ships position, course and
angular velocity and information gained fromother
vessels(if consideredinthemodel) andcoastal oper-
ators. Oneof theefficient methods to estimatevalue
of risk factor is FuzzyTOPSIS (Filipowicz, acki &
Szapczy nska2005).
TOPSISstandsforTechniquefor Order Preference
by Similarity to an Ideal Solution. Was originated
by Hwang and Yoon as a new multi-attribute deci-
sion making (MADM) method in 1981. Initially the
approachwasintendedfor crispvaluesthenextended
for fuzzyparameters(Chu& Lin2003).
The main concept of this method is based on
distance calculation. The best alternative among the
available set is the closest to the best possible solu-
tionandthefarthest fromtheworst possiblesolution
542
simultaneously. Thebestpossiblesolution, referredto
asanideal one, isdefinedasaset of thebest attribute
values, whereastheworstpossibleone, referredtoasa
negative-ideal solution, isaset of theworst at-tribute
values. In this method every criteriais of benefit or
costtype. Inthediscussedproblemdistancetoclosest
obstacleis benefit criteria(shouldbekept as highas
possible), whileprobability of encountering avessel
withdangerouscargoisacost one(thereforeistobe
aslowasjustified).
Thefinal TOPSISrankingiscreatedbysortingthe
coefficient valuesassignedtoeachof thealternatives
indescendingorder. Thealternativewiththehighest
rankingvalueclaimstobethebest one.
When vessels hits an obstacle or depart fromthe
areainforbiddenway thenitspositionisreset toini-
tial valuesandthehelmsmanreceivesnegativepoints
tohisfitnessvalue. Theonesthat reachthegoal reset
their positionstoinitial onesandincreaseshelmsmen
fitness values respectively. Therefore, after several
dozenof episodestherewill besomeof theindividuals
distinguishedbytheir highfitnessvalues.
Themain goal of theindividuals in population is
tomaximizetheir fitness values. This valueis calcu-
lated fromhelmsman behavior during simulation as
described above. The best-fitted individuals become
parentsfor next generation.
Offspring genome is calculated from parents
genomesusingevolutionaryoperations.
2 EVOLUTIONARY OPERATIONSINNEAT
NETWORKS
Neuroevolutionary systems are based on Topology
and Weight Evolving Artificial Neural Networks
(TWEANNs). Theseneural networks havethedisad-
vantagethat thecorrect althoughsimplifiedtopology
need not beknown at thebeginning it will evolve
throughevolutionaryoperations.
Among TWEANNs there is Neuro Evolution of
AugmentingTopologies (NEAT). It is uniquein that
it beginsevolutionwithapopulationof minimal net-
works and adds nodes and connections to themover
generations, allowingcomplexproblemstobesolved
gradually based on simpleones (Stanley & Miikku-
lainen 2002). This way, NEAT searches through a
minimal number of weight dimensions andfinds the
appropriate complexity level of network topology
adjustedto theproblem. This process of complexifi-
cationhasimportant implicationsonsearchpatterns.
It may not be practical to find a solution in a high-
dimensional spacebysearchinginthat spacedirectly.
Butitmaybepossibletofindsolutionbysearchingin
lower dimensional spaces and further transfer of the
best solutionsintothehigh-dimensional space.
The NEAT network delivers solutions to three
fundamental problems in evolving artificial neural
networktopologies:
Innovation numbers line up genes with the same
origintoallowdisparatetopologiestocrossover in
Figure4. Evolutioninpopulationwithout species.
ameaningful way (innovation number is aunique
valueassignedtoanewgene).
Separation of each innovation into a different
species protects its disappearing fromthepopula-
tionprematurely.
Start from a minimal structure, add nodes and
connections, incrementallydiscoversmostefficient
networktopologiesthroughout evolution.
2.1 Selection
Therearemany waystoselect individualstobecome
potential parents for next generation. Replacing the
entirepopulation on each generation may causefast
convergence to local extremes since there is strong
selection method causing that everyones genome
wouldlikely beinheritedfrombest fittedindividual.
Inaddition, behaviorswouldremainstatic duringthe
largegapsof timebetweengenerations.
Thealternativeistoreplaceasingleindividual every
fewtimeintervalsasitisdoneinevolutionarystrategy
algorithms(Beyer & Schwefel 2002).
The worst individual, the one with lowest fit-
ness value, is removed and replaced with an off-
spring of parents chosen fromamong the best. This
cycleof removal andreplacementhappenscontinually
throughout thesimulation(Fig. 4).
2.2 Crossover
Everytimeanewconnectiongeneappearsingenome,
what canonly happenwithmutation, auniquevalue
is assigned to this gene called innovation num-
ber. Through innovation numbers, thesystemknows
exactly which genes match up with another. The
numbers areinherited and during crossover remain?
unchanged, and allow algorithm to perform evolu-
tionary operations without the need for expensive
topological analysis. Genes that do not match are
either disjoint or excess, depending on whether they
occur withinor outsidetherangeof theother parents
innovationnumbers.
543
Duringcrossover thegenes withthesameinnova-
tionnumbersarelinedup. Theconnectionweightsof
matchinggenesareaveraged.
The disjoint and excess genes are inherited from
themorefitparentor, if theyareequallyfit, fromboth
parents. Disabled genes have a chance of being re-
enabledduringcrossover, allowingnetworkstomake
useof older genesonceagain.
2.3 Mutation
Mutation is themain evolving mechanismin evolu-
tionary neural networks. It can changeboth network
topologyandconnectionweights.
Connection weights mutate as in any neuroevo-
lutionary systems, with each existing connection
betweennodeseither affectedor not.
Structural mutations, whichformthebasis of net-
work complexity, occur inthreeways. Eachmutation
expands thesizeof thegenomeby adding genes. In
theaddconnectionmutation, asinglenewconnection
geneisaddedconnectingtwopreviouslyunconnected
nodes. Intheaddnodemutation, anexistingconnec-
tion is split and the new node placed where the old
connectionusedtobe. Theoldconnectionisdisabled
and two new connections are added to the genome.
In the add layer mutation, a new layer is created, if
themaximumlayer number hasnot beenreachedyet.
After that thereis possibility to evolvenewnodes in
that newlayer byaddnodemutation.
There are also mutations removing connections,
nodes andlayers andspecial mutationdisablingpar-
ticular node. This node can be re-enabled in future
mutations.Probabilityof eachtypeof mutationisobvi-
ously different but itsvalueisof primary meaningin
efficient evolution.
3 SPECIATION
Speciation can be seen as a result from the same
process as adaptation: natural selection exerted by
interaction among organisms, and between organ-
isms and their environment. Divergent adaptation of
different populationswouldleadtospeciation.
In the course of the modern synthesis in the
20thcenturyasomewhat different viewemergedthat
considered speciation and divergent adaptation, the
two separate processes required for the origin of
species diversity, mainly as resulting fromdifferent
andunrelatedmechanisms. Speciationof thepopula-
tionassuresthatindividualscompeteprimarilywithin
their own niches instead of competition within the
wholepopulation(Stanley & Miikkulainen2005). In
thiswaytopological innovationsareprotectedandhave
time to optimize their structure before they have to
competewithother nichesinthepopulation.
3.1 Algorithm
When new individual appears in population, it must
be assigned to one of the existing species or, if it
is too innovativecomparingto any other individuals,
new species is created. Thewholespecies assigning
algorithmispresentedbelow.
Beginof theGenomeLoop:
Takethenext genomeg frompopulationP;
Beginof theSpeciesLoop:
If all speciesinS havebeenchecked:
createnewspeciess
new
andplaceg init;
Else
Get thenext speciess fromS;
If g iscompatiblewiths, addg tos;
If g hasnot beenplaced:
continuetheSpeciesLoop;
Elseexit theSpeciesLoop;
If not all genomesinG havebeenplaced:
continuetheGenomeLoop;
Elseexit theGenomeLoop;
Compatibility of genomeg with species s is esti-
matedaccordinglytovalueof distance betweentwo
individualswhichiscalculatedwithformula1:
where: c
1
, c
2
, c
3
weight (importance) coefficients;
E number of excesses; D number of disjoints; W
averageweight differences of matchinggenes; N
thenumber of genesinthelarger genome.
If
t
, acompatibility threshold, thengenomeg
isplacedintothisspecies.
One can avoid the problemof choosing the best
valueof by making
t
dynamic. Thealgorithmcan
raise
t
if therearetoomanyspeciesinpopulation, and
lower
t
if therearetoofew.
3.2 Fitness sharing
Fitness sharing means that organisms in the same
species must sharethefitness of their niche. Thus, a
speciescannot affordtobecometoobigevenif many
of itsindividualsperformwell.
Therefore, any onespeciesisunlikely totakeover
the entire population, which is crucial for speci-
ated evolution to maintain topological diversity. The
adjustedfitnessf
/
i
forindividual i iscalculatedaccord-
ingtoitsdistance fromeveryotherindividual j inthe
population:
Thesharing function sh is set to 0 when distance
(i,j) is above the threshold
t
; otherwise, sh((i,j))
is set to 1(Spears 1995). Thus, sumof sh calculates
thenumber of organismsinthesamespeciesasindi-
vidual i. This reduction is natural since species are
already clustered by compatibility using the thresh-
oldt. A potentially different number of offspringis
assignedtoeveryspecies.Thisnumberisproportional
544
Figure 5. Evolution within one species in speciated
population.
to thecalculatedsumof adjustedfitness values f
/
i
of
itsmembers.
Species reproduce by first eliminating the lowest
performingmembersfromthepopulation. Inthenext
steptheentirepopulationisreplacedbytheoffspring
of theremaining organisms in each species (Fig. 5).
Theother selection methods in speciated population
arealsoconsideredinfutureresearch, i.e. islandselec-
tionor permanent isolationof best fittedindividuals
of everyspecieswithparticular task.
Thefinal effect of speciatingthepopulationisthat
structural innovationsareprotected.
4 REMARKS
Speciationof populationinneuroevolutionarymachine
learningcaneffectivelyimprovelearningprocessand
decision making support in ship handling. Artificial
neural networks withevolvingtopology andweights
basedonmodifiedNEATnetworkscanincreaselearn-
ing speed of helmsmen. Complexity of considered
model of shipmaneuveringinrestrictedwaters envi-
ronment does not affect learningprocess very much.
Itispossibletousesimulationmodelswithmuchlarger
statespacethanitwaspossibleinclassicstatemachine
learning algorithms without neural network function
approximations(Kaelbling, Littman& Moore1996).
Issues like different selection methods of best fit-
ted individuals, input signals encoding, splitting one
outputtoseveral neural networkoutputswithnormal-
izationof signal valuesarealsoworthtoberevisedin
futureresearchinareaof artificial intelligencesupport
towardsshiphandling.
REFERENCES
Beyer, H.-G. & Paul Schwefel, H. 2002. Evolution strate-
gies A comprehensive introduction. Natural Computing,
1(1):352.
Braun, H. & Weisbrod, J. 1993. Evolving feedforward neu-
ral networks. Proceedings of ANNGA93, International
Conference on Artificial Neural Networks and Genetic
Algorithms. Berlin: Springer.
Chu T. C., Lin Y. C. 2003. A Fuzzy TOPSIS Method for
Robot Selection, the International J ournal of Advanced
ManufacturingTechnology: 284290,
Filipowicz, W., acki, M. &Szapczy nska, J. 2005, Multicri-
teria decision support for vessels routing, Proceedingsof
ESREL05Conference.
Kaelbling, L. P., Littman & Moore. 1996. Reinforcement
Learning: A Survey.
acki M., 2007 Machine Learning Algorithms in Decision
Making Support in Ship Handling, Proceedings of TST
Conference, Katowice-Ustro n, WK.
acki, M. 2008, Neuroevolutionary approach towards ship
handling, Proceedings of TST Conference, Katowice-
Ustro n, WK.
Spears,W. 1995. Speciation using tag bits. Handbookof Evo-
lutionary Computation. IOP PublishingLtd. andOxford
UniversityPress.
Stanley, K. O. & Miikkulainen, R. 2002. Efficient reinforce-
ment learning through evolving neural network topolo-
gies. Proceedingsof theGenetic andEvolutionary Com-
putation. Conference (GECCO-2002). San Francisco,
CA: MorganKaufmann.
Stanley, K. O. & Miikkulainen, R. 2005. Real-Time Neu-
roevolution in the NERO Video Game, Proceedings of
theIEEE2005SymposiumonComputational Intelligence
andGames, Piscataway
Sutton, R. 1996. Generalization in Reinforcement Learn-
ing: Successful Examples Using Sparse Coarse Coding.
Touretzky, D., Mozer, M., &Hasselmo, M. (Eds.), Neural
InformationProcessingSystems8.
Sutton, R. & Barto, A. 1998. Reinforcement Learning: An
Introduction.
Tesauro, G. 1995. Temporal Difference Learning and
TD-Gammon, Communications of the Association for
ComputingMachinery, vol. 38, No. 3.
545
12.7
Equalizationof themeasurementsof thealtitude, theazimuthand
thetimefromobservationof passagesof celestial bodies
P. Bobkiewicz
ABSTRACT: The article is describing the computational model serving equalization of the astronomical
measurementsaccomplishedtonavigational andgeodetic purposes. Seriesof measuringdata: thealtitude, the
azimuthandthetimefromobservationof passingof celestial bodiesinthefieldof viewof theobservingdevice
areinputparameterstocalculations. Thisdataisburdenedwithrandomerror of themeasurement. Theequation
of themovement of celestial body in thehorizontal systemis theresult of theequalization. It is possibleto
calculatetheazimuth and thealtitudefor thechosen moment or to fix thetimeof thegiven azimuth or the
altitudefromthisequation.
1 INTRODUCTION
Assuming, that themovement of celestial bodies on
celestial sphere results only fromrotary motion of
theearth, thenthesebodiesaremovingalongcircles,
whichcenter isinthevicinityof closer poleandtheir
radius is equal to thecomplement of thedeclination
to theright angle. This assumption is correct during
navigational or geodetic measurements due to short
timeof their duration. Whenthelowaccuracyof mea-
surement isallowed(for examplefor thepurposesof
celestial navigation accuracy of altitude of 0.1
/
and
accuracy of timeof 1secondis required), thenmea-
suring series compound of several measurements of
thealtitudeor theazimuthandthetimecanbeequal-
izedwithstraight line. Thecorrectionfor thecurveof
celestial latitudeis taken into account in such series
inmethodsof theastronomical geodesy, andthanksto
thisitispossibletotreattheseseriesaslinearinrelation
to thecenter thread. Bothmentionedmethods of the
processingof measuringdataresultsfromthetendency
of reductionof theamount of calculationsconnected
with their processing. In the case, when measuring
data is processed automatically, for the equalization
onecanaccept thepathof celestial body alongcircle
and deriveequation of themovement of thebody in
horizontal coordinates system(approximating equa-
tion). And then choose any location of the body on
the circle, which data will be put to the reduction
father.
2 APPROXIMATINGEQUATIONIN
THE FIELDOF VIEW
Celestial bodies intheir daily movement shouldthe-
oretically formthe arcs of the small circles on the
celestial spherewithradiusesequal tothecomplement
of thedeclination to theright angleand with cen-
tersinthecloser celestial pole. Intheparticular case,
whenthebody liesonthecelestial equator it isgreat
circleandthepathof thebodyformstraight line. The
real pathis influencedadditionally by: thechangeof
refraction with the altitude of the body and oscilla-
tions of its image, and at themeasurements random
errors of the measurements. One uses series n of
the measurements of the position of celestial body:
zenithdistancez
i
, theazimutha
i
andthetimeof reg-
istration t
i
appropriatefor point P
i
, for derivation of
equation of the movement. Zenith distances z
i
have
to be corrected for the refraction r(z
r
i
) appropriate
for z
r
i
The variable z
r
i
is measured and burdened with
refraction, and z
i
already corrected for the value of
refraction.
The approximating equation is described by hor-
izontal coordinates z
P
(zenith distance) and a
P
(azimuth) of thecenter P of circlealongwhichbody
moves, withits radius r equal infirst approximation
of itspolar distance
andby horizontal coordinates z
G
anda
G
andtimet
G
of indicatedpoint P
G
onthiscircle(Fig. 1). Thepoint
P should theoretically agree with the pole which is
nearest tothecelestial body. Additional parametersof
which values areknown theseareadeclination of
celestial body andananglespeedof changeof right
ascensionv
max
equal 7,29212E-05radianfor asecond
result fromrotationof theEarth.
547
Figure1. Parameters of theequation of themovement of
celestial body inthehorizontal system: circlewithradius r
and with centrein thepoint P as well as point P
G
on this
circleandtimet
G
appropriatetothispoint.
Figure2. Theshortest great circledistances
i
betweenthe
point P
i
andthecirclewithcentreinthepoint P.
2.1 Determination of the centre of
the circle P(z
P
, a
P
)
By themeans of least squareroots method, oneseek
suchpoint P onthespherical surface, sothat thesum
of squarerootsof theshortestgreatcircledistances
i
between respectivepoint P
i
(z
i
, a
i
) and circlewith
thecentreinthepoint P isminimal
Thefunctionof distance
i
isdifferenceof radiusr
anddistancer
i
of givenpoint P
i
fromcentreof circle
P (Fig. 2)
Thecondition(3) ismet if derivativesof variables
z
P
anda
P
areequal 0
Figure3. Reductionof pointsP
i
totimet
G
bytherotationof
pointsaroundP fortheangleof thechangeof rightascension
i
.
Differentiating (4) through variables z
P
and a
P
,
substituting to (5) and summing up for all points
we receive a pair of non-linear equations with two
unknownquantities z
P
anda
P
. It is possibleto solve
thepair of equationswithiterationmethodtakinghor-
izontal coordinatesof thepolenearesttocelestial body
asfirstapproximationof thecentre. Wereceivevalues
indemandz
P
anda
P
intheresultof thesolutionof the
pair of equations.
2.2 Reducing measurements to time t
G
Eachpoint P
i
is reducedto any chosentimet
G
. This
reductionismadeby therotationof thepoint around
determined centreof thecirclefor theangle
i
of
thechangeof theright ascensionfor thedifferenceof
timet
i
betweentimest
G
andt
i
(Fig. 3)
It isnecessarytocalculateangle
i
anddistancer
i
shownonfigure3todeterminecoordinatesof reduced
point P
/
i
(z
/
i
, a
/
i
). Definingtheanglea
i
as
andkeepingitsvalueintherange(0, 2), then
i
and
r
i
arecalculatedfromformulae
inadditionfor a
i
<
Definingtheangle as
548
Figure 4. Point P
G
calculated as the average of reduced
pointsP
/
i
(z
/
i
, a
/
i
).
whereb isequal 1for P lyingnear northpoleand1
for southpole, andthenkeepingitsvalueintherange
(0, 2), z
/
i
and a
/
i
of reduced point P
/
i
arecalculated
fromformulae
inadditionfor
i
<
andthen
2.3 Determination of the point P
G
(z
G
, a
G
) on
the circle for the time t
G
PointP
G
ismadebyaveragingcoordinatesof reduced
pointsP
/
i
(z
/
i
, a
/
i
) (Fig. 4).
Assuming that P
G
is in the considerable distance
fromthe Zenith and fromthe Nadir compared with
theerror of positionof P
/
i
, thenthemeanzenithdis-
tanceandmeanazimutharecalculatedfromformulae
The standard deviation of position of the mea-
surement point along the vertical circle
z
, along
almucantar
l
andontheplanem
i
arecalculatedfrom
and the standard deviation of position of P
G
on the
plane
Function(3) of determiningof thecentreP of the
circleis sensitivein thesquareroots of thedistance
between the point P
i
and the arc of the circle but
the point P
G
is calculated as the average (14), it is
proportionallytothedistancefrommeanpoint, sothe
point P
G
doesnt lie on the circle (Fig. 4). One can
move this point onto the circle, by projection along
radiusr. Or onecandeterminenewradiusr
/
andnew
angle
/
from(17), assumingthatthearithmeticmean
is abetter estimator for themeasurement of passage
of celestial bodiesthenthesquarerootsaverage.
For a < from(17) (valuea kept intherange
(0, 2))
3 DETERMINATIONOF TIMEAND
COORDINATESFROMTHE EQUATION
OF THE MOVEMENT
3.1 Calculation of coordinates on the circle for
the given time t
i
Havingthepoint P
G
withcoordinates z
G
anda
G
and
its timet
G
on thecirclewith thecentrein thepoint
P(z
P
i a
P
) and with radius r
/
, it is possibleto deter-
minecoordinatesz
i
anda
i
of theother pointP
i
onthis
circlefor anygiventimet
i
, thesamewayasmeasure-
ment points werereducedto timet
G
formulae(6),
(10)(13). Appropriateformulaehavetheform
inadditionfor
i
<
549
3.2 Calculation of the time t
i
of reaching
the zenith distance z
i
Converting (21) with taking into consideration (20)
and(19), itispossibletocalculatetheappropriatetime
t
i
foranygivenzenithdistancez
i
.valuefromformula
correspondswithtwovaluesof theangle
i
fromthe
formula(20)
sosubstitutingeachof themto
we receive two values t
i
. There is no solution of
theequation (24) for z
i
<[z
P
r
/
[ and z
i
>[z
P
r
/
[.
Exchanging inequalities for equalities above formu-
laedescribeconditions, by which (24) has only one
solution.
3.3 Calculation of the time t
i
of reaching
the azimuth a
i
Inorder tocalculatet
i
appropriatetoany givenvalue
a
i
, it isnecessarytodeterminefromformula
involvedvaluez
i
, wherea
i
iscalculatedas(7).There
is one (for the equality) or two solutions (for the
inequality) of z
i
inthecase, when
or thereisnosolutioninremainingcases. Thefarther
proceedingscomesdowntothecalculationof thetime
of reachingtheobtainedzenithdistancez
i
, whichwas
descriedhigher.Totheformula(26) oneshouldsubsti-
tuteonlyonevaluecalculatedfromtheequation(25),
that is
i2
for a
i
<, and
i1
intheoppositecase.
Timet
i
andcoordinatesz
i
, a
i
serveasdatacorrected
for refractionfor thereductioninvariousmethodsof
makingastronomical fix.
4 CONCLUSIONS
Thedescribedmethodof theequalizationof measure-
ments assumes that celestial bodies rotateon circles
withconstant speedandonly randomerrors of mea-
surementarefoundinmeasurementdata. Itispossible
to determinedatafor thereductionfor theany given
point on thecircle. If this point is in vicinity of the
arc containing measuring data, then the accuracy of
this point results directly fromthe accuracy of the
measurement andthenumber of measurements.
REFERENCES
Opalski, W. & Cichowicz, L. 1977. Astronomia geodezyjna.
Warszawa: PPWK.
J urdzi nski, M. & Szczepanek, Z. 1975. Astronawigacja.
Gda nsk: WydawnictwoMorskie.
550
12.8
Programmaticcorrectionof errorsof measuringtrackprocessing
M. Luft, E. Szychta& R. Cioc
Technical University of Radom, Radom, Poland
ABSTRACT: A programmatic methodof correctingerrors of themeasuringtrack is presented. Methods of
determiningtransfer functionof themeasuringtrack areintroducedandmeasurement resultswithandwithout
thecorrectionarecompared.
1 INTRODUCTION
Elements of atypical measuringtrack include: mea-
suring transducers, elements adapting the measure-
ment signal to elements of themeasurement system,
analogue-digital transducers,filters,andelementspro-
cessingandanalysingmeasurement signals. A typical
measuringtrackisshowninFig. 1.
Vibrationtransducersaretheinitial trackelements.
Accelerometersaremostcommonlyemployedindiag-
nostics. A conditioningandamplifyingsystemadapts
theelectrical signalsfromthetransducer (reducingits
greatinternal impedance) totheinputof theanalogue-
digital transducer.A signal usuallyneedstobefiltered
toachieveitsgoodquality,necessaryfordetermination
of vibrationparameters(Szychta2006). Dataarethen
processedandanalysed, comparedwithavailablestan-
dards, and theresultant output signal is displayed in
the form of, for instance, a characteristic curve or
tabulatedresults.
The output signal of a measuring track may be a
signal used to control equipment, e.g. abrupt brak-
ing system, vehiclesuspension, etc. In such circum-
stances, thebasiccriterionfor real timecontrollingof
thisdeviceisthecorrectprocessingof theinputsignal
bythemeasuringtransducerandsendingof thissignal
to a control device over a time-span that allows the
devicetorespondtothegivensituation. Thisimplies
Measuring signal
Measuring results
Measuring
transducer
Conditioner A/D
Filters Signal analyze
Figure1. Typical measuringtrack.
correct choice of a transducer adapted to the input
signal (therangeof frequenciesandsensitivitiesmea-
sured). It must be borne in mind that each element
in ameasuring track introduces errors and delays in
processingof themeasuringsignal, oftenamplifying
theerrorsintroducedbythefunctionof upstreamele-
mentsof themeasurement track. Theprocessingtime
of ameasurement signal by thetrack is important in
applicationsthatrequirerapidmeasurements.Withthe
number of elementsprocessingasignal, thetimemay
beextended till a point when correct operation of a
control systemwill nolonger bepossible.
2 TESTINGOF THE MEASURINGTRACK IN
LABORATORY CONDITIONS
Figure2illustratesadiagrammaticmeasurement sys-
tem used to test characteristics of measuring track
processing. An accelerometer including an inbuilt
DeltaTronpreamplifier of sensitivity10.18mV/ms
2
(A2) and the range of measured frequencies 0.3Hz
to 6kHz, and a conditioner of the operating range
from 1Hz to 20kHz is the sensor under testing.
Figure2. Flowdiagramof ameasuringtracktestingsystem.
551
Figure 3. The courses of signals fromthe reference and
measurement accelerometer.
Figure4. Theattenuationdiagramof themeasuringsensor.
Thereferencevalueof accelerationis obtainedfrom
theaccelerometer, whosesensitivity is much greater
than that of the tested accelerometer and whose
measuring signal can be read without the need for
additional equipment. To this end, a piezoelectric
accelerometer of sensitivity 317mV/ms
2
(A1) and
therangeof measuredfrequenciesfrom50to200Hz
isused.
Figure 3 shows courses of signals from the
accelerometersA1andA2for sinusoidal input func-
tionof frequency 100Hz andaccelerationamplitude
of 3.15m/s
2
, as read fromthe course of the refer-
enceaccelerometer A1. Thedelay betweenthesignal
fromtheaccelerometer includingthepreamplifierA2
and the signal fromthe piezoelectric accelerometer
A1 is 8.9ms. Thedetermined relativeerror between
values of computed acceleration amplitudes is 40%.
Measuringof theaccelerationwiththecomputer, mea-
surementcard(of samplingfrequency40kHz),andthe
software cause a further delay of 1.1ms between
the measurements. The delay between measurement
of the signal from the transducer A2 and A1 total
10ms.
Figure4illustrates theattenuationdiagramof the
acceleration of thevibration transducer A2 as deter-
minedintesting. Toenhancereliabilityof theresults,
themeasurements weremadeinthefrequency range
of thecorrectoperationof thereferencetransducerA1:
50Hz200Hz.Technical specificationsof A1indicate
that, inthisrange, theamplificationof theoutput sig-
nals amplitude in relation to the transducers input
signal is within 1dB. This is usually the accept-
able value for purposes of measurements. Technical
specificationsof A2statethat, inthefrequencyrange
0.3Hz6kHz, the same value is 10% and corre-
spondsto0.91dB. ItwasassumedthatA1relaysthe
amplitudesclosertotheactual values, asitisdesigned
tooperateinanarrower frequencyrange, atmorethan
30timesgreatersensitivity,andwithoutadditional ele-
mentsthatwouldprocess, andaffect, themeasurement
signal.
Accepting the amplification of 1dB in the fre-
quency range50Hz200Hz, declaredinthespecifi-
cationof A1, theresultingcharacteristic curveshows
thatthevalueof amplificationof A2isachievedinthe
rangeof frequencies above125Hz. This is different
thanthemanufacturersbottomvalueof 0.3Hz.
Toavoidproblemsof correct readingof thevalues
measured by the transducers, particularly the refer-
ence transducer, assume the amplification range of
correctly measured accelerations 2dB. The char-
acteristic curve presented in figure 4 indicates this
frequencyisintherange125Hz200Hz.
3 CORRECTIONALGORITHM
Determination of adynamic correction algorithmof
areal measuringtransducer requiresknowledgeof its
dynamicsintheformof differential equationsandof
thedynamicsof theentiremeasurementsystem. Man-
ufacturers attempts at maintenance of transducers
reproductionpropertiesinthemanufacturingprocess
have been a failure. Depending on the transducer
class, theparticular pieces andproductionlots suffer
fromsomeerrorsof reproduction, sensitivity, andpro-
cessingrange. Therefore, correctionalgorithms must
always be determined for specific measuring trans-
ducers and measurement systems, and the resultant
equationsmustonlybeappliedtotheparticularsensors
(Cioc2006).
Inmeasurementsrequiringhighlyaccurateresults,
other measuring track elements (amplifiers, measur-
ingcards, signal processingelements, etc.) shouldbe
takenintoaccount whendefiningdynamiccorrection
algorithms.
Theneedto consider elements other thanthesen-
sor itself when describing system dynamics is an
initial difficulty with attempts to determinethecor-
rectionalgorithm.Thesignal fromthereferencetrans-
ducer and fromthemeasurement systemneed to be
compared to describe the systems dynamics. ARX
(AutoRegressive with eXternal input) method (Luft
2005) was employedto identify dynamic parameters
of themeasuringtrack.Thevoltagesignal fromtheend
of A2s measuring track is theidentified signal, and
voltage(S1), whichistheresponseof theaccelerome-
terA1tosinusoidal inputof 200Hz, isthecomparative
(reference) signal.Accelerationvaluesaredetermined
on thebasis of voltagesignals fromthesensors and
552
Figure 5. Frequency characteristic curves of a measuring
trackincludinganaccelerometer.
thelatterssensitivity.Tolimitthecalculationsandthe
processingtime,thecorrectionalgorithmwasassumed
to estimate the voltage signal from the measuring
transducer according to thealgorithmparameters as
determinedbycomparisonof signalsof thereference
andmeasuringtransducers.
Application of ARX produces the transfer func-
tion G(s) which describes processing dynamics of
thesystem: accelerometer conditioner measuring
card dataacquisitionsoftware:
Magnitude and phase characteristic curves of the
transmittancesystem(1)areshowninFigure5.Agreat
amplification can be seen in the magnitude charac-
teristic curve as sensors of varying sensitivities are
applied to testing of the voltage signals. The refer-
enceamplificationlevel is expressedas arelationof
themeasuringtransducerssensitivitytothesensitivity
of thereferencetransducer on thelogarithmic scale:
W
r
=29.87dB. Given this value, the relation of
accelerationdeterminedonthebasisof themeasuring
sensorsvoltagesignal totheaccelerationdetermined
usingthereferencesensor isa
A1
/a
A2
=1. Themagni-
tudecharacteristiccurveattheadoptedboundaryvalue
of the amplification 2dB W
r
is in the frequency
rangeover 117Hz.
Thedynamic correctionalgorithmfor thetransfer
function(1) isexpressedinadifferential equation:
wherex =input quantity; y =output quantity.
The correction algorithm (J akubiec 2000) for
the measuring tracks transfer function (2) and
receiveddigitisationtimeTd =0.05ms becomesaset
Figure6. Theflowdiagramof thecorrectionalgorithmof
themeasuringaccelerometer.
of equations:
where x(k 1)=estimateof inputquantityatmoment
k 1; y(k 1)=measurement result at moment
k 1;
1
(k),
2
(k)=variableat moment k.
The flow diagram of the correction algorithm
describedwith(3) andillustratedinFigure6suggests
that its correct functiondepends oncorrect determi-
nationof thefactorsof thediscretetransducer model
and. Theseareconstant for aspecificdigitisation
time.
In the first step of the algorithm, it is necessary
to adopt an initial valueof thevariable
1
(k 1). It
was assumedto equal 0. Ineffect, thealgorithmwill
operatecorrectlyonlyafteracorrectvariable
1
(k 1)
isautomaticallydetermined. Thistakesseveral digiti-
sationsteps. Giventheaccelerometer manufacturers
recommendations to take measurements for several
dozen seconds to several minutes after the system
start-up, determinationof aninitial optimumvalueof
1
(k 1) isnot necessary.
4 CORRECTIONRESULTS
Figure 7 shows the waveforms of voltages and the
resultant accelerations from the accelerometers in
the measurement systemillustrated in Fig. 4.2. The
measurements wereconductedat sinusoidal input of
frequency200Hz whichiswithinthereadingrange
of boththetransducers(accordingtocalibrationcards
of their manufacturers) andfor whichtheinput error,
according to the magnitude characteristic curve in
Fig. 4.4, becomesthelowest.
In this case, the delay between the waveforms
obtainedfromthemeasuring(A2) andreference(A1)
accelerometersis5.3ms.Theaccelerationmagnitude,
553
Figure7. Voltageandaccelerationwaveformsfor therefer-
enceandmeasuringaccelerometer.
Figure8. Voltageandaccelerationwaveformsfor therefer-
enceandmeasuringaccelerometer post thecorrection.
calculatedasthemeanvalueof absolutemagnitudesin
2000measurement samples, equals 7.01m/s
2
for A1
and 9.05m/s
2
for A2. This corresponds to arelative
errorinmeasurementof accelerationmagnitudeequal
to29.1%.
Thecorrection algorithmestimates voltages from
the measurement accelerometer and attempts to
approximatetheirtimewaveformtotheformobtained
fromthereferenceaccelerometer. Correctionof volt-
age characteristic curves of the measurement trans-
ducer in Figure 7 according to the algorithm (3),
compared to thereferencevalues obtained fromA1,
isshowninFigure8.Thedelaybetweenthewaveform
produced after estimation of thedatafromthemea-
surement accelerometer A2 and the waveformfrom
thereferenceaccelerometer is 0.05ms. This thetime
of signal sampling. This implies that the correction
algorithmreduced the5.3ms delay between theref-
erenceandmeasurement transducer to theminimum
possiblevalue.
Thedelays resultingfromcomputer mathematical
calculations are negligible. They are not significant
giventhecurrentcomputer capacitiesandthecalcula-
tionsimplicityof analgorithmwhichconsistsof five
Figure9. Characteristic curves of relativeerrors of accel-
erationsmeasuredusinganaccelerometer without andwith
acorrection.
Table1. Relativeerror valuesof anaccelerometer without
andwiththecorrection.
Time[s] 0.002 0.0025 0.003 0.0035
Relativeerror 102.13 98.74 97,37 96.37
of accelerometer
A2[%]
Relativeerror 66.09 18.61 2.61 9,03
of accelerometer
withthecorrection
algorithm[%]
Time[s] 0.0040 0.0045 0.0050 0.006
Relativeerror 95.40 93.86 86.98 100.08
of accelerometer
A2[%]
Relativeerror 17.24 32.06 111.86 35.81
of accelerometer
withthecorrection
algorithm[%]
additionsandsevenmultiplicationsonly.Anattempted
measurement of thetimetakenfor thealgorithmcal-
culations in MATLAB environment, Windows XP,
theprocessor Intel Celeron 1.5Ghz, and 512MB of
memory, producedresultsbelow0.1s.
Themean magnitudeof estimated acceleration of
A2 for 2000 samples is 7.59m/s
2
. Compared to the
magnitude of the reference accelerometer, the mea-
surement relativeerror is 8.3% whichconstitutes a
threeandhalf times reductioncomparedto thesame
error without applyingthecorrectionalgorithm. Fig-
ure9illustrates thecourseof relativeerror values in
respect of A2 accelerations using and not using the
correctionalgorithm. Thepeak values inthecharac-
teristic curvesresult fromthereferencesignal values
approximatingzero.Table1presentsvaluesof therela-
tiveerror for anaccelerometer employingandwithout
employing the dynamic correction algorithm for a
selectedtimerange.
554
Figure 10. Characteristic curves of acceleration absolute
errorsasmeasuredusinganaccelerometer withandwithout
thecorrection.
Figure 11. Relative error of the acceleration magnitude
prior toandpost thecorrectionasdependent onfrequency.
Themean relativeerrors at thewaveformmagni-
tudesare: 96.4%for thesignal fromthemeasuring
transducer, and23.1%for theestimatedsignal.
Figure10presentsthecharacteristic curveof A2s
absoluteerrors with and without thecorrection. The
mean absolute error of A2s magnitude, determined
as the absolute mean value of the magnitudes in
2000samples, is5.11m/s
2
. Thesameerror inrespect
of measurements including the dynamic correction
algorithm diminishes to 1.94m/s
2
. The great value
of the absolute error, in the case of measurements
both with and without the correction, is a result of
thetransducersdynamic properties, i.e. aphaseshift
of measurands. The successive measurement values
changetoofastforthetransducerscapabilityof repro-
ducingtheinputmagnitude.Whentheabsoluteerroris
determined, ameasurandswaveformisshiftedinrela-
tionto theactual valueby avaluedeterminedby the
transducers frequency characteristic curve. Thecor-
rection reduced theresultant absoluteerror by more
thantwoandahalf times.
Figure11plots thecourseof theabsoluteerror of
A2saccelerationmagnitudespriortoandpostthecor-
rectionrelativetothefrequencyof thesinusoidal input
signal. At 200Hz, whereparametersof thecorrection
algorithmwere defined, the post-correction relative
error of the acceleration reduces to a minimum, to
riseasitdivergesfromthisvalue. Theminimumpost-
correction relativeerror of theacceleration is 1.2%,
comparedto4.7%without thecorrection.
5 CONCLUSION
Accurateandfastmeasurementsrequirecorrectionsto
beapplied to themeasuring track in order to reduce
themeasurement error. Theprogrammatic correction
methodproposedbytheauthorssignificantlyreduces
errorsandenablesthemeasurementsystemtooperate
on-line.
REFERENCES
Cio cR., LuftM.:Valuationof softwaremethodof increaseof
accuracymeasurementdataonexampleof accelerometer,
Advances inTransport Systems Telematics, Monograph
(Ed. J. Mikulski), Faculty of Transport, Silesian
Universityof Technology, Katowice, 2006.
J akubiec J., Roj J.: Pomiarowe przetwarzanie prbkuja
ce
(Measurement sampling processing), Gliwice, Silesian
Universityof Technology2000.
Luft M., Cio c R.: Increase of accuracy of measurement
signalsreadingfromanalogmeasuringtransducers, Sile-
sian University of Technology Scientific Publications
2005,Transport vol. 59(1691), Gliwice2005.
Szychta E.: Multiresonant bridge converter for application
in telematics equipment, Advances in Transport Sys-
temsTelematics, Monograph(Ed. J. Mikulski), Facultyof
Transport, Silesian University of Technology, Katowice,
2006.
555
12.9
Alternativefor Kalmanfilter Twodimensionself-learningfilter
withmemory
A. Fellner
Silesian University of Technology, Gliwice, Poland
K. Banaszek
Polish Air Navigation Services Agency, Warsaw, Poland
P. Trminski
GNSS-Consortium, Poland
ABSTRACT: Weproposenewsolutionfor ideaProf. VanicekandProf. Inzinga. Thisfilter reliesbasicallyon
theinformationcontainedinmeasurementsonthevehicle: positionfixes, velocitiesandtheir error statistics.
Thebasic ideabehindthis newnavigationfilter is
twofold:
1 A cluster of the observed position fixes contains
true kinematic information about the vehicle in
motion,
2 A motionmodel of thevehicleassociatedwiththe
error statisticsof thepositionfixesshouldbeable
toget, toalargeextent, theinformationout of the
measurementsfor use.
Webasethefilter onananalogy. Weconsider the
statistical confidenceregion of every position fix as
source tendingtoattract" theundeterminedtrajec-
tory to pass through this region. With theseposition
fixesandtheir error statistics, avirtual potential field
is constructed in which an imaginary mass particle
moves. To makethefilter flexibleand responsiveto
a changing navigation environment, we leave some
parameters freeandlet thefilter determinetheir val-
ues, usingasequenceof observationsandthecriterion
of least squares of the observation errors. We show
that thetrajectory of theimaginary particlecanwell
represent thereal trackof thevehicle.
Inour poster wepresentsbasic ideathisfilter and
numerical method for calculate best position using
thisfilter alsoweshowexperiment (withRTK/SPAN
technology)thatwedoforverificationpresentedfilter.
Filter function:
WhereC isamatrixof covariance
Thebasisfor estimationpositionispotential U
i
Next step is conversion U
i
when we know n
positionbeforetimet
Innext stepwehave:
557
where
Final solutionis:
Our purposeis best estimationG and fromthis
equation
1 TODAYSNAVIGATIONSYSTEMSANDTHE
REQUIREMENTSPLACEDONTHEM
Modernnavigationaredominatedbysatellitesystems
and assist systems mainly including GPS NAVS-
TAR GPS (called the Global Positioning System
Navigation Signal Timing and Ranging), in Europe
EGNOS (called European Geostationary Navigation
OverlayService), whichdefactoisaservicefor GPS
systemandRussianGLONASS (calledGlobal Navi-
gationSatelliteSystem,orinRussianGlobalnajaNaw-
igacjonnaja Satelitarnaja Sistemma). Each of these
Figure1. Visualizationfilter idea.
Figure2. Alternativefilter vsKalmanfilter.
Figure3. Powell Algorithm.
systems offers similar functionality. Let focus on
requirements that modernnavigationsystems should
met withreferencetoexistingsystems.
Satellitesystemwhichcanbeconsideredfor navi-
gationmust ensure:
Accuracy; GPSdoesnotmeetexpectationsinterms
of itsaccuracy, whichisrequiredinaviation- dur-
inglandingapproach. EGNOSisasystemthatuses
GPSpositionandcorrectionsfromgroundstations,
offeringgreater level of accuracythanGPSanditis
558
tobeusedincivil aviationstarting2008,butitsaccu-
racy isstill between23meters, whichisnot fully
satisfactoryfromAirNavigationorevenWaterways
Navigation (rivers) point of view. GLONASS is a
systemwhich is right now exchanging its satel-
lites constellation, but to dateno civilian usageis
possible.
The ability of immediately alert users about sys-
temmalfunction. A seriousissueof GPSislack of
any communication containing information about
its credibility (canweuseit). Advancedusers can
view information fromthevarious types of satel-
lites,includinghealthy/un-healthystatusbutdespite
this, userscantobtaindataonthestateof theentire
system. EGNOS in his assumption, as aGPS ser-
vice was intended to correct its deficiencies, and
so is about its ability to provide warnings about
improper functioningof thesystem. EGNOSarchi-
tecture based on the network of ground stations
collecting errors which GPS generates can also
determinethequality of theGPS informationand
instantlysendnoticetoitsthreegeostationarysatel-
lites, whichwill informtheenduser aboutinability
tousetheEGNOSandinresult GPSsystem.
Continuity of service. GPS andso as theEGNOS
aresystems/serviceswhichdonot meet thedesired
functionality even becauseof thefact that GPS is
an U.S. property and in any threat situation it can
bedisabled. EGNOS isinthetestingphaseandits
functionalityisnot yet complete
Availability is a factor expressed in percentage
representing the time within the system may be
used. TheU.S. FAA (Federal AviationAdministra-
tion) organizationdemandsavailabilityforair-route
navigation, whileapproachingandlandingairports
andduringaerial surveillancenolessthan99,999%.
AspreviouslyfoundGPSisdisqualifiedbylack of
informationabout itscredibility andavailability at
lessthan99,999%, whiletheEuropeanEGNOS at
themoment isintestingphase.
Unfortunately, noneof thesesystems/servicesoffer
thelevel of accuracyof 1meter withouttheuseof dif-
ferential techniques. Possiblesolutionfor thisisusage
anddevelopmentof alreadyexistingfiltersordevelop-
ingnewonesorusageof mathematicsandinformation
based on assumptions which will allow individuals
toincreasethedataaccuracyregardlessof expanding
spaceinstallations(GPSIII andGalileo).
2 EXISTINGNAVIGATIONFILTERS
Part of theproblemis usually solvedthroughacom-
binationof twodifferent typesof information, obser-
vation and vehicletraffic by creating amodel based
on the basic rights of physics represented by dif-
ferent equations. Existing filters in navigation have
beendominatedbytheKalmanfilterinvariousforms.
Kalmanfilter will bethoroughlydiscussedinchapter
II. On the basis of experience and many publica-
tions relatedto navigation, especially inareas where
thenavigationisperformedmanymaneuversKalman
filter does not meet the requirements of accuracy
(positional error has repeatedly been growing in the
performance of maneuvers). The basis for conduct-
ing further research traffic is a working hypothesis
thattheexistingmodel navigationfilter doesnotmeet
theaccuracy requirements for themovableobject, it
isassumedthattheacquisitionof improvementinthis
regardwill bedevelopedwhensubmissiontothenew
model navigationobject memory.
BIBLIOGRAPHY
1. Xu, B. 1996. A newnavigationfilter.
2. Vancek, P. & Omerbaic, M. 1999. Doesanaviga-
tion algorithmhaveto useKalman filter? Depart-
ment of Geodesy and Geomatics Engineering Uni-
versityof NewBrunswick
559
Chapter 13. Safety and reliability of technical systems
13.1
Managingandpredictingmaritimeandoff-shorerisk
R.B. Duffey
Atomic Energy of Canada Limited, Chalk River, Canada
J.W. Saull
International Federation of Airworthiness, East Grinstead, W. Sussex, United Kingdom
ABSTRACT: Wewishtopredictwhenanaccidentortragedywill occur, andreducetheprobabilityof itsoccur-
rence. Maritimeaccidents, justlikeall theother crashesandfailures, arestochasticintheir occurrence.Theycan
seeminglyoccur asobservedoutcomesatanyinstant, withoutwarning.Theyareduetoacombinationof human
andtechnological systemfailures, workingtogether intotallyunexpectedand/or undetectedways, occurringat
somerandommoment. Massiveshowthecauseisduetoanunexpectedcombinationorsequenceof human, man-
agement, operational, designandtrainingmistakes. Onceweknowwhathappened, wecanfixtheengineeringor
designfailures, andtrytoobviatethehumanones. Weutilizereliabilitytheoryappliedtohumans, andshowhow
theeventsratesandprobabilityinshippingisrelatedtoother industriesandeventsthroughthehumaninvolve-
ment.Weexamineandapplythelearninghypothesistoshippinglossesandothereventsatsea, includingexample
CaseStudiesstretchingover some200yearsof: (a) merchant andfishingvessels; (b) oil spillsandinjuriesin
off-shorefacilities; and(c) insuranceclaims, inspectionrules andpremiums. Theseincludemajor losses and
sinkingsaswell asthemoreeverydayeventsandinjuries. Byusinggoodpracticesandachievingatruelearning
environment, wecaneffectivelydefer thechanceof anaccident, butnotindefinitely. Moreover, bywatchingour
experienceandmonitoringour rate, understandandpredict whenweareclimbingupthecurve. Comparisons
of thetheory toall availablehumanerror datashowareasonablelevel of accordwiththelearninghypothesis.
Theresultsclearlydemonstratethat theloss(humanerror) probabilityisdynamic, andmaybepredictedusing
thelearninghypothesis. Thefutureprobability estimateis derivablefromits unchangedprior value, basedon
learning, andthusthepast frequencypredictsthefutureprobability. Theimplicationsfor maritimeactivitiesis
discussedandrelatedtothelatest workonmanagingrisk, andtheanalysisof trendsandsafetyindicators.
1 INTRODUCTION
1.1 The Universal Learning Curve
Wehavedevelopedageneral accidenttheory, sointhis
paper weemphasizeandextract therelevant applica-
tiontomarineshipping. For anytechnological system
with human involvement, like ships and shipping,
the basic and sole assumption that we make is the
LearningHypothesisasaphysical model forhuman
behavior when coupled to a technology (Duffey &
Saull 2002, 2008).
Simply and directly, we postulate that humans
learn fromtheir mistakes (outcomes) as experience
isgained.
Althoughwemakeerrorsall thetime, aswemove
frombeingnovicestoacquiringexpertise, weshould
expect to reduceour errors, or at least not makethe
sameones.Thus,hopefully,weshoulddescendaUni-
versal Learning Curve (ULC) like that shown in
Figure1, whereourrateof makingmistakesdecreases
aswelearnfromexperienceandisexponential inform.
Thepast rateof learningdeterminesour trajectory
onthelearningpathandthus:
howfast wecandescendthecurve;
Figure 1. The Learning Hypothesis as we learn we
descendthecurve.
therateat whicherrorsoccur determineswherewe
areonthecurve;
changesinrateareduetoour actionsandfeedback
fromlearningfromour mistakes;
563
Figure2. Thelearningcurvefor shippingaccidents.
no reduction in error or outcomeratecould mean
wehavereachedthelowestweareabletoor thatwe
havenot sustainedalearningenvironment; and
anincreaseinratesignifiesforgetting.
In our book that established the existence of the
learningcurve(Duffey & Saull 2002), weexamined
manycasestudies.
We highlight in this paper the data and informa-
tion for marineevents and their learning trends. We
havealso founddatafor oil spills at sea. Sincespills
arejustanother accidentinahomo-technological sys-
tem(HTS), namely ashipoperatedby people, it was
interestingtoshowif theusual everydaymarineacci-
dents do exhibit learning. Marineaccident outcomes
include groundings, collisions, fires and all manner
of mishaps. The most recent data we found were
on the web in the Annual Report for 2004 of the
UK MarineAccident InvestigationBoard(MAIB, for
short, at www.maib.gov.uk). The MAIB responsibil-
ity is to examinereportedaccidents andincidents in
detail.TheMAIBbrokedowntheaccidentsbytypeof
ship, beingthetwobroadcategoriesof merchantships
that carrycargo, or fishingvesselsthat plytheir trade
inthetreacherouswatersoff theUK islands.
Inbothtypesof ship, thenumber of accidentswere
given as the usual uninformative list of tabulations
by year from1994 to 2004, together with the total
number of ships in that merchant or fishing vessel
category, some1000and10,000vesselsrespectively.
Instinctivelywethink of fishingasamoredangerous
occupation, withmanual net handlinganddeck-work
sometimesinroughseasandstorms, but surprisingly
it turnsout not tobethecase.
Weanalyzed theseaccidents by simply replotting
the data as the accident rate per vessel versus the
thousands of accumulated shippingyears of experi-
ence, kSy. By adopting this measurefor experience,
not only can we plot the data for the two types on
thesamegraph, wealsoseeif wehaveaclear learning
trendemerging.TheresultisshownbyFigure2, where
thelineor curvedrawnshownisour usual theoretical
MERE learningform.
We see immediately that, at least in the UK, the
(outcome) accidentrateishigher for merchantvessels
thanfishingboats, but alsothat learningisevident in
thedatathat fit together onthisoneplot onlyif using
experienceafloat as abasis. Theother observationis
that thefishing vessels areat theminimumrateper
vessel that themerchant vesselsarejust approaching.
Perhaps thepast fewcenturies of fishing experience
has lead to that low rate so that, in fact, fishermen
andfisherwomenarehighlyskilledat their craft. The
lowestattainedrateof 0.05accidentspervessel cor-
respondstoanhourlyrateif afloatall dayandworking
all thetime, of:
Thatisoneaccidentpervessel every175,000hours,
whichisabouttheleastachievedbyanyHTSorindus-
try anywhere in the world, including the very safe
ones likeaircraft, nuclear andchemical industries of
100,000 to 200,000 hours. Even allowing for aduty
factor afloat for thevessel or crewof 50%or so, or
working at sea half the time, it is still of the same
order. That last result is by itself simply amazing,
andreflectsthecommonfactor of thehumaninvolve-
mentinHTS.Wenowexaminethelearninghypothesis
analysisagain, but insomemoredetail.
2 THE RISK OF LOSINGA SHIP
Wecanusedatafromshipping, asitisatechnological
systemwithhumaninvolvement that isobservedand
includesbothoutcomesandameasureof experience.
Shippinglossesareanhistoricdatasource, asinsurers
andmarinerstrackedsinkings; andthehumanelement
is themain causeof ship loss, rather than structural
defectsintheshipsthemselves.
A largedataset exists for ship losses in theUSA,
(Berman1972). Weanalysedtheseextraordinarydata
files, whichcoversome10,000losses(outcomes) over
anObservationRangeof nearly200yearsfrom1800
to1971.WeexcludedActsof Warsoastoavoiduncon-
trolledexternal influencesandnonhumanerrors. Itis
not knownhowmany ships wereafloat intotal, only
whichonessank, andthusbecamerecordedoutcomes.
A ship is built in a given year, sails for a while
accumulatingexperienceinship-yearsafloat, Sy, and
may or may not sink. Fromsome 10,000 ships that
werelost, wetook asampleof thedataonlyfor ships
over 500 tons, chosen so that we can compare with
modernlargecommercial losses. Inour sampleof the
datatherewereatotal (N) of 510lossesof theships.
Fromthe entire set, we show one sample Obser-
vation Range in Table 1 for 1850 to 1860, selected
arbitrarilyfromtheentiredataset. For theseloss(out-
come) datafor 1850to1860, 17shipswerelostwhich
hadaccumulated265shipping-years(accSy) of depth
of experiencebeforebeinglost. Thelosses, N
i
=17,
aresparselydistributedandapparentlyrandom, aswe
might expect. The entire observation set of 1800 to
1971 can be formed by stacking these incremental
observationsrangestogetherforall theobservedrange
and number of outcomes. But this again is only one
subset of anarraythat couldstretchover all recorded
history, andall humanexperience wejust happento
not haveall that data.
564
Table1. Actual ShipLossDatamatrix: A sampleoutcomeobservationinterval.
Theusual timehistory is given by thesumof the
losses for any givenyear. Thus, for any year, y, there
isalossrategivenbysummingover all theexperience
rangeof lossesforthatparticularobservation,jthrange
year:
Meanwhile, foragivenexperience, , thetotal num-
berof losses,N,isgivenbysummingall thelossesover
therangeat aparticular experience, as:
The sumof the number of Sy at any experience
interval issimplygivenbyaddingupoutcomes:
Hence, theaccumulatedexperienceinaccSysisas
shownfromaddingtheSysfor all losses:
Nowwecancalculatetheoutcomesforall theentire
ObservationRangefor 18001971. Wefindthetotal
losses of >500tonnes arenowof courseas summed
asall outcomes:
and theaccumulated experienceis summed over the
depthof experience:
So we have confirmed the postulate that we may
represent outcomes by a distribution of errors as a
function of experience, and where all outcomes are
equallylikely.
On average, therefore, ships spent an average of
11,706/510=23yearsafloat beforesinking.
3 SHIPPINGLOSSDISTRIBUTION
FUNCTIONS
If thelossesweretrulyrandomintime,thenonaverage
thechanceisequal thatashipwouldbelosteitherside
565
Figure3. Lossratefittedwithanormal distribution.
of themiddleof theObservationRange, or centered
onthedate:
andthelossratedistributionshouldfollowabinomial
(normal) distribution. The actual distribution of the
loss rate data does just that, and data for the entire
Observation Range is shown in Figure 3, including
the95%confidencebounds.
Thefittedlossratedistributionactually centerson
1900, andisgivenby:
where1kSy=1000Sy.
Sincethedatahaveanormal distribution, theout-
comes are indeed randomly distributed throughout
theentire18001971Range. Thestandarddeviation
of 19Sy and the 95% confidence limits do actually
encompass the predicted date of 1885, within the
errorsof thedatasamplingandfitting.Themostprob-
ableloss(outcome) rateis0.86per 1000Sy, which
isclosetothat observedtoday(1per kSy) bymajor
lossinsurers. Themost probableratehasnot changed
for over 200years, andtherangeat 95%confidence
is0.7 1per kSy.
Astothesystematiceffectsof ship-age, ithasbeen
characteristic practice to have higher insurance for
older ships, implyingthererisk of lossisgreater, and
that theoutcomes (vessel sinkings, groundings, col-
lisions, etc.) are not random. Older vessels are then
classified ashigher or greater risk. Theactual dataare
showninFigure4forlossesinexcessof 500tonnesfor
two outcomesets spreadover two centuries. Clearly,
there is little difference between them; and the out-
comesarealmost normallydistributedover thelifeof
theshipswithabout4050yearsmaximum.Themax-
imumloss fraction peak is at about 1520 years of
ship-life.
Nowintermsof theinfluenceof accumulatedexpe-
rience, wemay plot thelossrateper ship-year versus
the accumulated experience in accSy as shown in
Figure5.
Figure4. Comparisonof shoplossesasafunctionof age.
Figure5. Thelearningcurvefor shipping.
Thelossrateasafunctionof theaccumulatedexpe-
rienceinaccSy is thengivenby abest-fit lineof the
exponential formderived for the distribution of the
total number of microstates:
or
This result implies an initial loss ratemany times
higherthantheequilibriumvalue, andaminimumrate
of 0.08perSy for thosethat sank. This is of course
tellingusthatonaveragetheshipsthatsanklastedfora
depthof experienceafloatof about(1/0.08) or13Sy,
startingoff lastingsome10timesless(1Sy). Itdoes
not tell ushowlongtheaverageshiplasted, including
thosethat werenot lost, andindeedthis is irrelevant
for themoment. Wejust want to predict therelation
betweensinkingratesandshiplifetimes. Onanaccu-
mulatedratebasisthepredictedlossrateisnow1per
1000Sy, illustratingtheimportanceof thedatasample
sizeObservationRangeforapparentlyrandomevents.
Thuswehaveconfirmedthepostulatesthat:
asystematiclearningcurveexistssuperimposedon
theapparently randomlosseswhichweobserveas
outcomes;
arelevant measurefor accumulatedexperienceand
depthof experiencecanbefound(inthiscaseyears-
afloat); and
566
a minimum asymptotic rate does exist, and is
derivablefromthelearningcurve.
4 OIL SPILLSAT SEA: TRACKING
LEARNINGTRENDS
Wehaveprovidedaninitial analysisof importanceto
thesafetyandenvironmental impactof theoil storage
andtransportationindustry, usingpublicallyavailable
USA dataon oil spills, shipping losses and pipeline
accidents, not havingaccesstotheoil andgasindus-
trysprivatelyheldspill database(Duffeyet al 2004).
Spillsandaccidentscanariseinmanywayse.g.:
whilefilling;
instorage;
duringtransport;
at processandtransfer facilities; plus
failureof vesselsandpipelines.
We would expect significant human involvement
inthedesign, management andoperationof all these
technological activities, inthepiping, pumping, tanks,
valves and operations. For handling and storage of
(petro) chemicals, therisk of aspill or aloss is also
dependent onthehumanerror rateinthetransport or
storagemodeandtheaccumulatedexperiencewiththe
transport or storagesystem.
TheUSCoast Guarddatabasefor oil spillswasthe
mostcomprehensivewefound, butisgivenintheusual
annual format of tables. For shippingspills, intheoil
spill databasefor theobservationinterval from1973
to2000, wefoundinformationfor231,000spill events
for theUSA, whiletransportingatotal of oil of nearly
68 Btoe, of which 8,700 events were spills of more
than 1000 gallons. Assuming there is pressure from
theEPA, industry, owners andothers toreducespills
rates, then there is a nominally large HTS learning
opportunity. Wecaneasilyextractthenumberof spills
fromsuchtablesandtransformittoanexperiencebasis
(Duffey & Saull 2008), replacingthelist of numbers
of outcomesonapurelycalendar year reportingbasis.
Themeasurefor theaccumulatedexperiencewetook
was thetotal amount of oil beingshippedinandout
of the USA, which is not given in or by the USGS
rawdatatables.TheUSDOEtracktheoil consumption
informationandwhereitcomesfromforpurelyenergy
analysis purposes. The datatables for crude oil and
petroleumproductsweregivenintheDOE Petroleum
Overview, for19492001, andthedetailsof thecalcu-
lationswehavegivenelsewhere(Duffey&Saull 2008
inChapter 8).
ThesummaryresultisshowninFigure6,andfollow
aclear learning curve, which is also shown fitted to
thedata.
5 INSURINGMODERNLOSSES: THE MOST
PROBABLEANDMINIMUM ERROR RATE
Nowhavingestablishedthelearningcurves andloss
ratesfromhistorical data, wehavealsoconfirmedthe
Figure6. Theoil spill learningcurve.
Figure7. ModernShipLosses.
results by testing the analysis against other data for
modern fleets, where losses for all ships over 500
tonnes were tracked. These include data for mod-
ern vessels (Instituteof London Underwriters 1988)
for losses greater than 500 tonnes for 19721998,
and for the latest (UK Protection and Indemnity
Mutual InsuranceClub2000) MajorClaimsdatafrom
19761999.
Inthesemoderndatasets, wealsoknowhowmany
ships were afloat, but the years afloat for each ship
werenot known(theconversetotheBermandataset).
The Observation Ranges were smaller (25 years),
but covered the world-wide total losses which are
comparableinnumber.
Thedatais showninFigure7, wherewehavethe
loss rate for the ILU dataset for 19721998 world-
wideisgivenby, for some30,000shipsafloat inany
Sy, accumulatingnearlyamillionSyintotal, andsome
3,000outcomes(losses) over the26year Range:
or,
This result shows anasymptotic or minimumloss
rate of 0.95perkS/y for losses>500 tonnes in
567
19721998(despiteobservingnearly2/kSynow). We
haveasimilar estimatefor theMajor Loss data, that
is greatest in terms of financial cost, which shows a
lossrateof 1/kSy(Pomeroy2001), whichisavalue
consistent withtheaboveanalyses.
Thislowest predictedminimumrateof 0.95/kSy
is consistent with the most probable rate indepen-
dently derived from the data for losses only (i.e.,
0.860.1perkSy) for 18001971. Since the two
datasetsdonotoverlap, meetingin1970, andoneisfor
lossesonly intheUSA andoneisfor all shipsafloat
world-wide, wehaveshownthat:
theminimumerror ratepredictedfor modernships
iscloseor equivalent tothemost probablelossrate
forthelast200years, whichif correctalsoconfirms
thepostulateof themostprobabledistributionused
inderivingthemicrostatesdistributionformula;
thedistributionof microstates(manifestedasanout-
comerate) isapparentlyindependentof technology
or date, andisduetothedominant contributionof
thehumanelement; and
thelearningcurveapproachis consistent withthe
statistical distributionof error states.
6 LEARNINGRATESANDEXPERIENCE
INTERVALS: THE UNIVERSAL LEARNING
CURVE
Thetwodatasetswehavestudiedareatfirstsightquite
distinct, eventhoughbothareobservedandrecorded
only for lossesgreater than500tonnes. Theobserva-
tional intervals, theaccumulated experienceand the
number of outcomesaredrasticallydifferent.
One set (set A) is from1800 to 1971, and gives
a distribution of microstates for only losses for the
USA with an experience base of about 10kSy. The
other (set B) extends that set A from1971 to 1996,
but is for thedistributionof microstates for losses of
all shipsworld-widewithanexperiencebaseof nearly
1000kSy. Therefore, thedepthof experienceis quite
different. Theaccumulatedexperience, n
i
i
, isthen
quitedifferent for eachset, bythesamefactor of 100.
Above, we have shown the learning curve rate con-
stantsarealsodifferent, being200Syfor setA, and
600kSyfor set B, whichisafactor of 3000.
So, for theseRanges, thepredicted learning rate
ratiobetweenexperienceintervalsfor thelossesonly
intheUSA andfor thewholeworldfleet afloat is:
Recall againthat datasetA wasfor all shipsafloat
world-wide, while dataset B was just for those that
sank in the USA. The ratio above suggests that the
experienceinterval ratioof theUSAlossestotheworld
fleet afloat is(
A
/
B
)1/30(i.e., 3%), particularlyif
B
.
To test that ratio prediction, recall also that
for the ILU data in 25 years we had 3000
losses of 30,000 ships afloat at any time. That
is a loss rate percentage for the whole fleet of
order (3000/25)(100/30000)=0.4% world-wide.
But only afraction of theworld fleet actually sailed
and sank near the USA. To determine that fraction,
wesoughtanother randomsampleObservationRange
of losses andfoundanexcellent oneintheAtlas of
ShipWrecksandTreasure (Pickford1994). Nowthe
Atlaslistsabout184shipssunkoff theEast, Westand
Caribbeancoastsof theUSA between1540and1956
outof alistedsampleworld-wideof 1400losses. That
is only a fraction of (184/1400)100=13%of the
worlds ship losses were in the waters off the USA.
Weassumethat fractionholdsfor themuchlater ILU
dataset, whichwasfor all ships>500tons.
Soif just 13%of theshipsworld-widesankoff the
coastsof USA, andonly0.4%of thefleetsankintotal
aroundtheworld, wewouldhave0.4%/0.133%as
theexperienceinterval ratio of only theUSA losses
tothetotal worldtotal fleetafloat. Therefore, wehave
nearperfectagreementversusthepredictedratiofrom
thetheoryof 3%(or afactor of 30).
Given the uncertainties in the calculations, and
the vast differences in the datasets, this degree of
agreement with the prediction seems almost seems
fortuitousandbetter thanmight beexpected. But the
comparison does confirmthe general approach and
indicate how to compare datasets that possess very
different experiencebases.
Let us try to test another prediction: if thetheory,
postulates andanalogies arecorrect thetwo datasets
shouldbothfollowthetrendpredictedbytheULC.We
candirectlycomparethetwolearningratesfor set(A)
andset (B) withtheir very different experiencebases
byusingthenon-dimensional formulationof theULC
for correlatingdata, i.e.,
Wecorrect thelearningrateconstant for theUSA
losses only for the ratio of 30 derived above. The
actual learning curves give all the needed estimates
fromthe data for A
0
andA
m
, which is sufficient to
calculateE* foreachmicrostate.Wealsohavethetotal
experience, , necessarytoderivethenon-dimensional
valueof N*. Strictly speakingN* shouldbetakenas
theratioof experience,,totheexperience,
M
,needed
or observedtoreachtheminimumerror rate,
m
, or at
least themaximumexperiencealready achievedwith
thesystem.
Thecomparisonsof theULCssuggestedbythethe-
ory are shown in Figure 8. We have also shown the
best-fit correlationtoworlddata, i.e., withK 3,
Thevalueof K 3wasderivedfromanalyzingvast
datasetscoveringmillionsof error statesthatincluded
amongstotherthings(Duffey&Saull 2002, seeFigure
1.7inChapter 1): USA datafor deathsinrecreational
boating 19601998; automobilecrashes 19661998;
railway accidents 19751999; coal miningfor 1938
1998; plusSouthAfricangoldandcoal mininginjuries
1969-1999; UK cardiac surgeries19841999; US oil
spills19692001; Frenchlatenterrordata19981999;
568
Figure8. Comparisonof trendswiththeULC.
US commercial aircraft near misses 19871997; and
alsoworldpulmonarydeathsfor 18401970.
The two other lines, for the US (Berman) losses
only and ILU world shipping datasets, are given by
theMERE predictionscalculatedfrom:
whence
andthevalues for k, A
m
andA
0
arederiveddirectly
fromthosegivenbythetheoryandthedata.The213Sy
intheexponentisadjustedfor theobservational expe-
rienceinterval ratioandbecomesk=21330=6390
Sy=6.4kSy.
Hence,theonlyadjustmentwehavemadeorneeded
was to correct thelearning rateconstant for thedif-
fering depths of experience. Wejustify thefactor of
30 simply to bring the experience interval for the
lossesintheUSonlydataconsistentlyintolinewiththe
worldexperienceinterval. Theremainingdifferences
betweenthepredictionsarewell withintheoverall data
scatter.
Thismethodthusallowsapparentlyquitedisparate
datasets to be renormalized and intercompared. The
universal learningtrendsareessentiallythesame, and
wehavevalidated theoverall theoretically predicted
trend.
Thus, wehavesucceededinnotonlygettingthetwo
verydifferentdatasetsonthesameplot, butinobtain-
ing agreement with the world trend derived froma
widerangeof totallyindependentdata. Usingthenon-
dimensional variables derived fromtheory, we have
shown that thetrends arecorrect. This agreement is
despitethenumerical changes beingvery large, by a
factor of 100inthelearningrateratio andafactor
of 1000 in the accumulated experience, as we have
discussedabove.
7 PRACTICAL APPLICATION: PREDICTING
LOSSESANDMANAGINGRISK
Data are essential to measuring performance. Note
that theshippingerror/lossrateisnot affectedby the
massivetechnologychangesinshipping(fromsail to
steam, fromwood to steel) occurring over the last
two hundred years. Losses aredominated by human
(crew) performance. Theoverall loss rate( oneper
thousandshipyears afloat) enables theprediction of
lossprobability,whichaffectsbothinsurancecostsand
classification. Inaddition, thelearningcurveprovides
theprobability of operational error, whichis afunc-
tionof theshippingmaneuver or coursetransient. In
principle, theanalysisthenprovidesthelikelihoodof
collision, groundingor near misses.
As for other industries and technologies, it would
be useful and necessary to have further data mar-
itimecontinuously collectedonactual events, andto
developnautical performanceindicators, that can be
updatedcontinually for lossandrisk assessment pur-
poses. Such an activity is underway for offshore oil
and gas fields in theNorth Seafor both mobileand
fixedfacilities(Duffey& Skjerve2008). Suchobjec-
tive measures and indicators enable the presence or
absenceof learningtrendstobediscerned, enhancing
the management of risk exposure and prediction of
losses, andhencewouldhelpguideimprovements in
maritimetraining, safetyandlosscontrol.
8 CONCLUSIONS
Wehavedescribedageneral andconsistenttheoretical
model, however simplifieditmaybe, whichdescribes
the rate of outcomes (losses) based on the classic
concept of learning fromexperience. The approach
is quantifiable and testable versus the existing data
and potentially able to make predictions. We recon-
cile the apparently randomoccurrence of outcomes
(accidents and errors) with the observed systematic
trend fromhaving a learning environment. We can
now explain and predict outcomes, like ship losses,
collisions andsinkings, andtheir apparently random
occurrencesbecausethehumanelementcomponentis
persistent andlarge.
We infer that risk reduction (learning) is propor-
tional to the rate of errors being made, which is derived
from the total number of distributions of errors. We
havevalidatedthenewtheory, andinthispaper sum-
marizetheuseof marineloss and oil spill dataas a
working example. Weanalyzed shipping losses over
thelast two hundredyears, whichareanexampleof
onesuchsystemandarichdatasourcebecauseinsur-
ers and mariners tracked sinkings. Human error is
and was the pervasive and main cause of ship loss,
rather thanstructural defectsintheshipsthemselves.
Thevalidationresultssupportthebasicpostulates, and
confirmthemacroscopicULC behavior observedfor
technological systems.
Our new theory offers the prediction and the
promiseof determiningandquantifyingtheinfluence
of management, regulatory, liability, insurance, legal
andother decisions.
REFERENCES
Berman, B.D. 1972. EncyclopaediaofAmericanShipwrecks,
Boston, MarinersPress.
569
Duffey, R.B. and Saull, J.W. 2002. Know the Risk, First
Edition, Boston, ButterworthandHeinemann.
Duffey, R.B., Saull, J.W. andMyers, P. 2004Learningfrom
Experience: Application to theAnalysis of Pipelineand
StorageTank Safety DataandPotential Spill Reduction,
Presentationgivenat National Institutefor StorageTank
Managements 7th Annual International Conference in
Orlando, Florida, May1214.
Duffey, R.B. and Saull, J.W. 2008. Managing Risk: The
Human Element, West Sussex, UK, J ohnWiley & Sons
Ltd.
Duffey, R.B and Skjerve, A.B., 2008, Risk Trends, Indica-
tors and Learning Rates: A New Case Study of North
Sea Oil and Gas, Proceedings ESREL 2008, 17th SRA
Conference, Valencia, Spain.
Institute of London Underwriters (ILU) 1988 et seq.
Hull Casualty Statistics, data for 19871997, Interna-
tional Unionof MarineInsuranceConferences (seealso
http://www.iua.co.uk).
Pickford, N. 1994. TheAtlas of Ship Wrecks & Treasure,
NewYork, DorlingKindershegPublishing.
Pomeroy, V. 2001. Classification Adapting and Evolving
toMeet ChallengesintheNewSafetyCulture, Safetyof
Modern Technical Systems, TUV, Saarland Foundation,
Germany, p. 281.
UK ProtectionandIndemnity Mutual InsuranceClub2000.
Analysis of Major Claims, London (see http://www.
ukpandi.com).
570
13.2
Transportationsystemarchitecturefor intelligent management
J. Szpytko
AGH University of Science and Technology, Krakow, Poland
ABSTRACT: Thepaper is focusingontransportationsystemarchitecturefor intelligent management, espe-
cially in sea transport and transportation technology. Moreover control models of large-scale distributed
enterprisessystemsandtransport activeknowledgebasemanagement model havebeenpresented.
1 INTRODUCTION
Today thetransportation organization systems, espe-
ciallyseetransportation, aremuchcomplexandmust
be more safety and robustness for any internal and
external disturbances resistance for any errors and
humanmistakes. Criticalityfactors, whichhaveinflu-
enceoneachdedicatedactivity, areincluding: safety,
technology, exploitation(operationandmaintenance),
revenues, availability, reliability, maintainability, and
costs.
Themarket globalization placenewchallenges in
management of peculiar man activities in particular
intransportationactivities. It isgrowingrequirement
onso-calledintelligent transportationtechnologyand
transport serviceITS type(Intelligent Transport Ser-
vices), as well as dynamical type management of
transportation devices DTM type (Dynamic Traffic
Management), both on large distances and at inte-
grated automated transportation worldwide industry
(manufacture). Transport industry today is a large-
scaledistributedsystem.
Market globalization and an increasein customer
demandshaveforcedcompaniestoproducemorecom-
plexandindividualizedproductsinashorterlead-time
[Le Duigou et al, 2009]. The increasing needs for
flexibility, reactivity andefficiency result inagrow-
ing complexity of any systems including transport
industry andother manufacturing, andanecessity of
integration of their control based on numerous and
highly versatiledynamic data[Blanc et al, 2008]. To
solve this paradox (refocus on the primary business
andneedof multiplespecificskills), companieshave
adapted by regrouping in order to pool their mutual
skills. When this is doneover ashort period and on
aspecific project, it is called virtual enterprise, and
extended enterprise when it is done over a longer
period. Companiesisnot structuredenoughtoenable
efficient cooperation.
Knowledgeis nowamajor drivingforcefor orga-
nizational change and wealth creation, and effective
knowledge management is an increasingly impor-
tant source of competitive advantage and a key to
the success of modern organizations [Irma & Rajiv,
2001; Malhotra, 2002; Savvas & Bassiliades, 2009].
Thecoretechnological areas for thesuccess of next
generationmanufacturingrelatedto informationand
communication technologies havebeen expressed in
paper [Nof et al, 2008]. As a result, companies
arenow implementing knowledgemanagement pro-
cesses and its supporting technologies. Knowledge
management systems (KMS) are a class of intelli-
gent systems (IS) developed to support and enhance
the organizational processes of knowledge creation,
storage/retrieval, transfer and application [Alavi, &
Leidner, 2001; Chang et al, 2005]. Recent advances
ininformationandcommunicationtechnologieshave
allowed both transportation and manufacturing sys-
tems to movefromhighly data-driven environments
to amorecooperativeinformation/knowledge-driven
environment [Panetto & Molina, 2008]. For many
years, software has been developed to pool all this
information. Fromthe EDM (Electronic Document
Management) in the 1980s to the PDM (Product
DataManagement) andthePLM (Product LifeCycle
Management) in the late 1990s, the companies and
particularly thecontractors understandthebenefit of
suchsoftware. Todaytogenerateacommonlanguage
forcommunicationbetweenpeople[Studeretal,1998]
or interoperability betweensystems[Uschold, 1996],
more and more researcher are looking for ontolo-
gies types ranging in their formality, structure and
intendeduse. Thetermontologycomesfromphiloso-
phy and signifies a systematic account of existence
[Gruber, 1993] and defines a common vocabulary
for researchers who need to share information in a
domain[Noy & McGuinness, 2001]. BuildingInfor-
mationModeling(BIM)[Penttila,2006; Succar,2009]
of any today transportation and manufacturing sys-
tems is a set of interacting policies, processes and
technologiesgeneratingamethodologytomanagethe
essential building design and project data in digital
format throughout thesystemlife-cyclephases.
Duetothegeographical andinstitutional separation
between the different systems involved in the prod-
uct (system) lifecycle, it is today difficult to query,
571
to exchange and to maintain consistency of product
informationinsidetheextendedenterprise.Byanalogy
withthedefinitionof interoperability astheabilityof
twoormoresystemstoexchangeinformationandhave
themeaningof that informationaccurately andauto-
maticallyinterpretedbythereceivingsystem[Wegner,
1996; Panetto, 2007], theproduct oriented interoper-
ability astheabilityof different enterprisesystemsto
manage, exchangeandshareproduct informationina
completetransparencytotheuser andutilizeessential
humanlabour only has beenintroduced[Bainaet al,
2009].
Transportmodes(road,rail,water,air,manufacture)
integrationandinteroperability intransportationsys-
tems is akey concept to facethechallenges of new
transportationenvironment.Theintegrationandinter-
operabilityconceptsneedundertakeunder theconsid-
erationthefollowingproblems: miscellaneous trans-
port enterpriseintegrationandinteroperability, trans-
portsystemasdistributedlocallyandgloballyorgani-
zationthat canbereadily reconfigured, methodology
for systemsynthesisandsimulationfor all transporta-
tionoperations, possibletransportationactivities and
devices monitor and control with useproper model-
basedmethodology, possibleheterogeneous environ-
ments of transportationactivities, openanddynamic
structure of transport system, internal and external
cooperation between transport modes and devices,
technologiesthatcanconvertinformationintoknowl-
edgefor effectivedecisionmaking, enhancedhuman
- machineinterfaces basedonintegrationof humans
with software and hardware involved in transporta-
tionactivitieswithusein-buildintelligence, continu-
ouseducational andtrainingmethodologythat would
enable the rapid assimilation of existing and future
knowledgeandpractice, transportationsystemsafety
and availability keeping with usepreventivemainte-
nancemethodology, processes that minimizeenergy
consumptionresultingnewinnovative-basedsolutions
intransportationsystemdesignandexploitation.
The paper is focusing on transportation system
architecturefor intelligent management, especiallyin
seatransport andtransportationtechnology.
2 CONTROL MODELSOF LARGE-SCALE
DISTRIBUTEDSYSTEMS
Themaintarget of any complex systemisatransport
executionsystem(TES). TheTES aimis controlling
thetransport system: what andwhento replace, how
and when to use the available resources, which and
whentolaunchorders. Theproposal of executionsys-
tembased on manufacturing execution systemMES
usingtheholonic manufacturingsystem(HMS) con-
cepts is presentedinpublication[Blanc et al, 2008].
An HMS is a highly decentralized manufacturing
systemconcept, consistingof autonomousandcoop-
eratingagentscalledholons(proposedbyKoestler in
1969) that respects someflexiblecontrol rules form-
ing aholarchy. Holonic architectures arebased on a
typology of manufacturingelements, whereeachone
correspondingtoatypeof holons:
products, product holonsownreferencemodelsof
products, for manufacturingexecutionandquality
control,
resources, resources holons arecomponents used
as bricks with local intelligent decision-making
systemembedded and based on characteristics of
thetaskstheyperformaspecializationof resource
holons; resourceholons corresponds to thephysi-
cal devicesof themanufacturingsystem(machine,
workforce, transport device, etc.); they allocate,
organizeandcontrol theproductionresources; each
physical deviceof themanufacturing systemis a
part of aresourceholon,
orders, order holonsarerelatedtoproduct demand
intime, manufacturingtaskandproductitem; order
holons correspond to atask in themanufacturing
system; theycontrol thelogisticsaspectsof thepro-
ductionasmuchasthenegotiationswithotherorder
holonsor withresourceholonsinorder for thetask
towhichit corresponds tobeperformedcorrectly
andontime.
In paper [Zachman, 1987] author propose two-
dimensional classification complex system model
based around thesix basic communication interrog-
atives: what(basedondata), how(basedonfunction),
where (based on locations), who (based on people
and devices), when (expressed via time), and why
(expressed on motivation base), intersecting six dis-
tinct model typeswhichrelatetostakeholder groups:
visionary, owner, designer, builder, implementer and
worker, to giveaholistic viewof theenterprise. The
proposed view of theenterprisecan beextended on
product drivencontrol concept.
Product-driven control is a way to exchange the
hierarchical integrated vision of plant-wide control
for amoreinteroperable/intelligent one[Morel et al,
2007; Pannequinetal, 2009] bydealingwithproducts
whose information content is permanently bound to
their material content andwhichareabletoinfluence
decisions madeabout them[McFarlaneet al, 2003].
This approachis applicableat thesupply chaindeci-
sionsystems,suchasMRP2(ManufacturingResource
Planning II) [Vollmann et al, 1997] with newer dis-
tributed control approaches. Product-driven control
may enable manufacturing companies to meet busi-
nessdemandsmorequicklyandeffectively. But akey
point in making this concept acceptable by indus-
tryistoprovidebenchmarkingenvironmentsinorder
to compareandanalyzetheir efficiency onemulated
large-scale industry-led case studies with regard to
current technologiesandapproaches.
Over thelast decade, agent technology has shown
great potential for solving problems in large-scale
distributedsystems. Bydefinition, inmulti-agentsys-
tems, several agents work together and share their
knowledgeforachievingcertainmanufacturingobjec-
tives. Oneof theimportant features of thesesystems
is that they facilitateintegrationandautomationand
572
provide benefits with several advantages, especially
tothedistributedmanufacturingsystems[Oztemel &
Tekez, 2009]. However, theintegrationandcoordina-
tion, as well as communication of these agents still
needmoreattentionandresearch.
Thereasonfor thegrowingsuccessof multi-agent
technologyinthisareaisthattheinherentdistribution
allowsfor anatural decompositionof thesysteminto
multipleagentsthatinteractwitheachothertoachieve
a desired global goal [Hernandez et al, 2002]. The
multi-agent technology cansignificantly enhancethe
designandanalysisof problemdomainsunderfollow-
ingthreeconditions[Adler&Blue,2002]:theproblem
domainisgeographicallydistributed, thesub-systems
exist inadynamic environment, sub-systemsneedto
interact witheachother moreflexibly.
A dynamicanddemandingenvironment character-
izesthemodernsociety. Intelligentproductsnormally
needtoprovideservicesthat requiredecision-making
andgoal-orientedbehavior. Thishumanasanintelli-
gent beingmirrors its products, reflects correspond-
ing reality while delegating all decision making to
the intelligent agent Intelligent systems (IS) can be
definedassystemswhichprocessinputsignalstoactu-
atean output action, theformof which will depend
on rules based on previous experiences where the
systemlearnedwhichactionsbestletitreachitsobjec-
tives[Barton&Thomas, 2009].Artificiallyintelligent
systems (AIS) incorporate additional functionality,
oftenthroughintermediaryagents, tosimulate, decide
andcontrol theoutput signal or action. AIS must be
interoperable with other components, such as com-
monsenseknowledgebases, inorder tocreatelarger,
broader andmorecapableAI systems. Newtechnolo-
gies suchas RFID (Radio Frequency Identification),
Auto-ID(Identification), UPnP(Universal Plug and
Play) enableidentificationandinformationembed-
ding on the product itself. Moreover, technologies
related to multi-agent systems make it possible to
involve the product in decision making protocols at
theshopfloor level.
The concept of dynamic hierarchical control sys-
temarchitectureispresentedinpaper [Brennanet al,
1997].Thisconceptorganizesmultipleagentsdynam-
ically basedontask decompositionof thesystem. To
achieve dynamic organization, a number of hetero-
geneous agents aredynamically groupedinto virtual
clustersasneeded.
Increasing flexibility and the ability of the trans-
portation systems deal with the uncertainty in a
dynamic environment. A stationary type agent exe-
cutes only on the systemwhere it begins execution,
and the code of stationary agents, including control
algorithmsandprovidedservices, cannot bechanged
during execution. The above inconvenience can be
replacedby theintroducingtothetransportationsys-
temmobile type agents. Mobile type agent has the
uniqueability to replaceitself fromonesystemin a
network toanother andtomovetoasystemthat con-
tainsanobject withwhichtheagent wantstointeract
andthentotakeadvantageof beinginthesamehost
or network as theobject. Sincemobileagents canbe
generateddynamicallyduringtheexecution, newsoft-
ware components (control algorithms or operations)
can be deployed as mobile agents and be executed
on any sub-systems in a network [Hernandez et al,
2002]. Thestrengthof mobileagents has great value
for theapplicationintraffic management systems. A
traffic information systemis usually distributed and
theintegrationof datafromdistributeddetectionsta-
tionstakesalongtime. If amobileagent canmigrate
to detectionstations near incident sceneandprocess
datalocally, it will significantly reducethedelay of
incident response. Mobiletypeagent technology has
been discussed by several researches [for example:
LangeandOshima, 1999; Grayet al., 2002; Szpytko,
2004; Szpytko & Kocerba, 2008]. The mobile type
agents for examplehavestronginfluenceonwork in
heterogeneousenvironmentsanddisconnectedopera-
tion supporting, network load reducing and network
latencyovercoming, aswell asareabletodeploynew
decisionmakingalgorithmsdynamically.
3 TRANSPORT ACTIVE KNOWLEDGE BASE
MANAGEMENT MODEL
The transport system is mostly composed from
three categories of agents: device, man-operator
(device, service/maintenance, general coordinator/
management), surrounding. Betweeneachagent exist
specifiedrelation/controls, forexamplebetweenoper-
ator anddeviceattributes existsseveral correlations:
perception information visualization, knowledge
monitoring, skills operationrealizationability, deci-
sionmakingability correctiveauto-activity, reaction
onexternal stimulus safetydeviceandstrength.
Eachagentisanobjectof supplyandcontrols(IN).
Man-operatorsareequipmentwithmodulesof knowl-
edge and skills (with use of own in-build sensors),
which make possible auto-correction of done con-
trols as the results of undertaken activities [Smalko
&Szpytko, 2008]. Moreoverthedevice, dependingon
automationlevel, maybeequippedinauto-corrective
module (self-acting). The output products (OU) of
activitiesundertakenbyindividual agentsareshaping
for decision-makingneedsinqualitymodule.
Thearchitectureof proposedintegrateddistributed
agent-basedtransportationsystemhasmultiplelevels
as showninfigure1: real enterprisebasedonnature
type resources (RE), virtual enterprise (VE), super-
visor (SU).
Legend:
ACC Agent CommunicationChannel
ADB Agent DataBase
ADS activitiesdetectionsubsystems
ADS-N activity detectionsubsystem, N-thtype,
(ST stationary, MO mobiletype)
AES-M activityexecutionsubsystemM-thtype,
onparticular geographical scope(ST stationary,
MO mobiletype)
573
Figure1. Integrateddistributedagent-baseddynamic type
transportationmanagement system(TMS).
AME Agent Management/ ExecutionEngine
AMM Agent MaintenanceManager
ASM Agent SecurityManager
Ax activitysupportedbythextypeagent, x={R
real, V virtual}
Axny n-thactivityof x-thtypeagentiscomposed
fromthefollowingpossiblebasicactivities: y={S
storage, D displacement, P processing, C
control}; to control oneat least activity of S or D
or P typemust occur
ID identificationagent codID=1.n
IDn.midentificationactivitycoden.mmeansthat
theactivity is composedbaseonthetwodifferent
activitieswithID=nandID=m
INn input, whichis composedby thefollowing
suppliers: ENIN-n energy, KN-IN-n knowledge
andexperience,IFIN-n information/data,FI-IN-n
finance; IN={ENIN,KN-IN, IF-IN, FI-IN}
MR agent real, types: ST stationary, MO
mobiletype
MRS senor typeagent of anyoperationparame-
tersof real world
MRx agent x type, x={M devices, E
environment, H human}
MV virtual typeagent
OUn input, which is composed by the following
suppliers: ENOU-n energy, KN-OU-n knowl-
edge and experience, IFn information/data, FI-
OU-n- finance; OU={ENOU, KN-OU, IF-OU,
FI-OU}
RE resources (devices, environment, human,
sensors/detectors, energy, knowledge and experi-
ence, information, finance)
TSS transport supervisory subsystem (ST
stationarytype), systemsupervisor (SU)
VE virtual enterprisesubsystem(ST stationary,
MO mobiletype)
Thecontrol architectureof transport management
system(TMS) has three layers: real devices operat-
inginreal enterprisetypeagent (lower layer level A),
e-devices operating in virtual enterprise type agent
(middlelayerlevel B, electronictypeplatform), super-
visor agent (highest layer C, with human support).
Undercertainscenarios, anumberof variousagentson
A-thlevel aredynamically groupedandinteract with
eachothertoperformagiventask.Theperformedtask
isbasedonpossibledefinedactivities: S-storage, D-
displacement, P -processing, C -control. Theactivity
executionsubsystem(AES) agent coordinates agents
operating onA-th level in asub-network. Thetrans-
port supervisorysubsystemTSStypeagent operation
on C-th level can assign tasks to either AES agents
on B-th level or to the lowest agents directly onA-
th level. The communication between agents on all
levelsandinsideeachlevel isbasedonagentcommu-
nication languageand messageexchangeinteraction
protocols.
At theagent-level, theconformanceincludesagent
communication language (ACL), message exchange
interaction protocols, communicative acts, and con-
tent language representations. At the platform-level,
Mobile-C provides an agent management systemto
managethelifecycleof theagents, agent communi-
cationchannel toallowagentcommunicationover the
network, and directory facilitator to serve as yellow
pageservices.
The lowest level is composed of various activity
detection subsystems (ADS), which enclose various
MR typeagents stationary and/or mobiletypes (e.g.
transport devices) responding for particular activi-
ties AR types (e.g.: S storage, D displacement,
P processing, C control types). Sensors (MRS)
detect real agents activity parameters that can be a
subject of monitoring for decision-making process.
For exampletheuseful informationfor theoperation
management is travel time, transport device speed,
incident verification, and traffic volumeand for the
transport devicetechnical stateassessment selected
operation parameters of agents. MR typeagents can
dynamically group (taken under consideration over-
looked necessary activities type) into any cluster
according to the task assigned by the systemsuper-
visor. Integrating stationary typeagents with mobile
agenttechnologyisleadingtomulti-agentsubsystems
for distributedtransport management system. Mobile
agents(operationbaseondynamicadaptivetypealgo-
rithm) enhancetheabilitytodeal withtheuncertainty
in a dynamic environment and helps to achieve the
cooperation between distributed agents response for
variousactivities.
Thesecondlevel so-calledactivity executionsub-
system(AES) agent, either stationary and/or mobile
types, isacoordinator of lower level agentsADStype
inasub-network. All of thelower level agentsregister
574
themselvesandtheir serviceswithanAESagent. The
AES type agent has the knowledge of geographical
distributionof lowerlevel agentsandtheircapabilities.
Theselectedtasksof activityexecutionsubsystemare:
decompose tasks assigned by theAES to sub-tasks,
multi-operation with other AES agents activities to
solveinter-networkproblems(interoperability), serve
as agent nameserver andmaintaintheavailableser-
vices of agents inasub-network, dynamically group
lower level agents activities into a cluster according
to the task assigned, coordinate agents activities to
accomplish the task resulting of planning, schedul-
ingandtracking, integratetheinformationflowfrom
lower level agents and report to the supervisor SU
agent.
The transport supervisory subsystem TSS type
agent (stationary) is designed to performfollowing
tasks: generatetransportation tasks dynamically and
assign these tasks to lower level agents, analyze the
information from lower level agents and generate
reports or control proposals, create both stationary
andmobiletypeagents anddispatchthemto various
activitiesundertakenviaonpurposeestablishedcom-
panies, interface the transport management system
(TMS) composedviabothvirtual andreal enterprises
toaccepthumancommands.Thestructureof transport
supervisory subsystemTSS type agent is composed
on: Agent Communication Channel (ACC, to route
messagesbetweenlocal andremoteagentsandrealizes
messages using an agent communication language),
Agent Security Manager (ASM, to maintainsecurity
policiesfore-platformandwholetransportinfrastruc-
ture),AgentMaintenanceManager (AMM, toprovide
preventivetypemaintenancebaseonagents condition
monitoring), Agent Management/ Execution Engine
(AME, tomanagethelifecycleof agentsandtoserve
the execution environment for the mobile agents),
Agent Data Base (ADB, to store the data/ informa-
tionandknowledgeinelectronic format) andhuman
operator (H, to makethecritical typedecision). The
samecounterpartswecanfindintheactivityexecution
subsystem(AES) agents.
4 FINAL REMARKS
Thepresentedtransportmanagementsystem(TMS) is
dedicatednot only tomanagethedefinedtransporta-
tiontargetbaseonowndistributedresourcesbasedon
dedicatedagents, but alsotomanagethelife-cycleof
theagents fromoperation and maintenancepoint of
view.
Using the described system is possible to
conduct the transportation system optimization
taken under consideration the safety, availabil-
ity, reliability, finance, time and others important
aspects.
Proposed transport active knowledge agent base
managementmodel ispossibletousetodifferenttrans-
port systems (e.g. see, air, road, rail, manufacture)
separately, but alsoindedicatedclusters.
ACKNOWLEDGEMENT
The research project is financed from the Polish
Sciencebudget.
REFERENCES
AdlerJ.L., BlueV.J.:Acooperativemulti-agenttransportation
management and routeguidancesystem. Transportation
Research, Part C, v. 10(56), p. 433454, 2002.
Alavi M., Leidner D. E.: Review: Knowledgemanagement
and knowledgemanagement systems: Conceptual foun-
dations and research issues. MIS Quarterly, v.25 (3),
p.107136, 2001.
BainaS., PanettoH., Morel G.: Newparadigmsfor aproduct
orientedmodeling: Casestudyfortraceability. Computers
inIndustry, J anuary2009.
Barton R., Thomas A.: Implementation of intelligent sys-
tems, enablingintegrationof SMEstohigh-valuesupply
chain networks. Engineering Applications of Artificial
Intelligence, J anuary2009.
Blanc P., Demongodin I., CastagnaP.: A holonic approach
for manufacturing execution systemdesign: An indus-
trial application. Engineering Applications of Artificial
Intelligence, v. 21(3), p. 315330, April 2008.
BrennanR.W., BalasubramanianS., NorrieD.H.:A dynamic
control architecturefor metamorphiccontrol of advanced
manufacturing systems. Proceedings of International
Conference on Intelligent Systems for Advanced Man-
ufacturing, Pittsburgh, 1997.
ChangL. K., LeeS., KangI. W.: KMPI: Measuringknowl-
edge management performance. Information and Man-
agement, v. 42(3), p. 469482, 2005
Gray R., Kotz D., Cybenko G., Rus D.: Mobile agents:
motivations andstate-of-the-art systems. InBradshawJ.
(Ed.), Handbookof AgentTechnology.AAAI/ MIT Press,
Boston, 2002.
Gruber T.R.: A translation approach to portable ontology
specifications. KnowledgeAcquisition, v.5 (2), p. 199
220, 1993.
HernandezJ.Z., Ossowski S., Garcia-SerranoA.: Multiagent
architecturesfor intelligent traffic management systems.
TransportationResearch, Part C, v. 10(56), p. 473506,
2002.
Herve P., Molina A.: Enterprise integration and interop-
erability in manufacturing systems: trends and issues.
ComputersinIndustry, v. 59(7), p. 641646, September
2008.
Nof S.Y., Morel G., Monostori L., MolinaA., FilipF.: From
plant andlogistics control to multi-enterprisecollabora-
tion. MilestoneReport of theManufacturing& Logistics
Systems,IFACCoordinatingCommittee,Annual Reviews
of Control 30, 2008.
IrmaB., RajivS.: Organizational knowledgemanagement:A
contingency perspective. J ournal of Management Infor-
mationSystems, v.18(1), p. 2355, 2001.
Lange D.B., Oshima M.: Seven good reasons for mobile
agents. Communicationsof theACM, v. 42(3), p. 8889,
1999.
Le Duigou J., BernardA., Perry N., Delplace J.C.: Global
approachfor technical datamanagement. Applicationto
ship equipment part families. CIRP J ournal of Manu-
facturing ScienceandTechnology, v. 1 (3), p. 185190,
2009.
MalhotraY.: Enablingknowledgeexchanges for e-business
communities. Information Strategy, v.18 (3), p.2631,
2002.
575
McFarlaneD., SarmaS., ChirnJ.L., WongC.Y., AshtonK.:
Auto ID systems and intelligent manufacturing control.
EngineeringApplicationsof Artificial Intelligence, v. 16
(4), p. 365376, 2003.
Morel G., Valckenaers P., FaureJ.M., PereiraC.E., Dietrich
C.: ManufacturingPlant Control Challenges andIssues.
ComputersinIndustry, v.15(11), p. 13211331, 2007.
Noy N.F., McGuinness D.L.: Ontology Development 101:
A Guide to Creating Your First Ontology, 2001, Last
accessed 15 April, 2007 from http://www.lsi.upc.edu/
bejar/aia/aiaweb/ontology101.pdf
Oztemel E., Tekez E.K.: A general framework of a Refer-
enceModel for IntelligentIntegratedManufacturingSys-
tems (REMIMS). EngineeringApplications of Artificial
Intelligence, J anuary2009.
PanettoH.: Towards aclassificationframework for interop-
erability of enterpriseapplications. International J ournal
of CIM, v. 20, p. 727740, December 2007.
Pannequin R., Morel G., Thomas A.: The performance
of product-drivenmanufacturingcontrol: Anemulation-
based benchmarking study. Computers in Industry, J an-
uary2009.
Penttila H.: Describing the changes in architectural infor-
mationtechnology to understanddesigncomplexity and
free-formarchitectural expression. ITCON 11, Special
IssuetheEffects of CAD onBuildingFormandDesign
Quality, p. 395408, 2006.
SavvasI., BassiliadesN.:A process-orientedontology-based
knowledge management system for facilitating opera-
tional procedures in public administration. Expert Sys-
tems withApplications, v. 36(3), Part 1, p. 44674478,
April 2009.
Smalko Z., Szpytko J.: The Man -Machine Type Systems
ModelingApproach. J ournal of KONBIN, 5(8), p. 175
192, 2008.
Studer R., Benjamins V.R., Fensel D.: Knowledge engi-
neering: principles and methods. Data & Knowledge
Engineering, v. 25(12), p. 161197, 1998.
Succar B.: Building information modeling framework: A
researchanddelivery foundationfor industry stakehold-
ers. Automation in Construction, v.18 (3), p. 357375,
May2009.
Szpytko J., KocerbaA.: Safety and reliability of dispersed
transport devices -selectedproblems. ITE -PIB, Krakw
Radom, 2008.
Szpytko J.: Integrated decision-making supporting the
exploitationandcontrol of transport devices. AGH UST,
Krakow, 2004.
UscholdM.: Buildingontologies: towardsaunifiedmethod-
ology. Expertsystems96, the16thAnnual Conferenceof
theBritishComputer SocietySpecialist GrouponExpert
Systems, Cambridge, 1996.
VollmannT.E., Berry W.L., Whybark C.D.: Manufacturing
PlanningandControl Systems. McGraw-Hill, 1997.
Wegner P.: Interoperability. ACM Computing Survey, v. 28
(1), p. 285287, 1996.
ZachmanJ.A.: A framework for informationsystems archi-
tecture. IBM Systems J ournal, v.26 (3), p. 276292,
1987.
576
13.3
Riskanalysisandhumanfactor inpreventionof CRGcasualties
L. Kobyli nski
Foundation for Safety of Navigation and Environment Protection, Iawa, Poland
ABSTRACT: CRGcasualtiescreateoneof themajortypecasualtiesinshipping. Preventionof CRGcasualties
is animportant issue, especially becauseof thenumber of CRG casualties has increasedalmost twiceduring
recent years. For thegreat majorityof all CRGcasualtieshumanfactor responsible, andtheincreasingnumber
of thesecasualtiesmight beattributedtopoorer qualificationsof shipmasterswhohavenot enoughexperience
inhandlingvery largeships put into operationpresently. Risk analysis is amodernmethodfor assessment of
safety level of technical systems. This tool may betheusedtoinvestigatecauses of casualties andtofindout
most effectivepreventionmeasures. Riskanalysisiswidelyusedinmanyareas; incaseof marinetechnologyit
isusedroutinelyinoff-shoretechnology.
Theauthorinvestigatespossibilitiestoapplyriskanalysisintheareaof shiphandlingwiththefocusonhuman
factor. Thisispreliminarystudywherepossiblemethodologyfor hazardsidentificationandrisk assessment in
respectof CRGcasualtiesareinvestigatedandriskcontrol optionsaresuggested.Variousaspectsof theinfluence
of humanfactor incollisionavoidancearelistedandinparticular theeffect of trainingisstressed.
1 INTRODUCTION
During last three decades attention of the maritime
worldhasbeenfocusedonsafetyof shipping.Amongst
other causes of accidents at sea casualties related
to manoeuvrability happen quite often and analysis
of casualties shows that CRG casualties (Collisions-
Ramming-Groundings) constitute about 53% of all
serious accidents leading to ship loss (Payer 1994).
Data on CRG casualties for the year 1982 analysed
on the basis of sources provided by LRS and DnV
revealed that their frequency was rather high as it is
seenfromtheTable1.
Thedatashowedthat1shipin22tookpartinCRG
casualtythisyear (Samuelides1984). CRGcasualties
occur more often with increasing speed and size of
vessels and such casualties may cause more serious
consequences. Collisionsmayalsohappenmoreoften
inrestrictedwaterwaysandcanalsandinparticular in
areaswhereadditional external factors, ase.g. current,
makehandlingof shipsmoredifficult.
Statisticsof CRGcasualtiesinthefollowingyears
showedconsiderabledecreaseinpercentage, however
it revealed quitealarming increaseof thenumber of
accidentduringlastfewyears.AsitisseenfromFig.1
Table1. DataonCRGcasualties.
Meannumber
of shipsduring Number of Frequencyof
Source theyear CRGcasualties casualties[%]
DnV 2816 120 4.3
LRS 3391 170 5.0
Figure 1. Percentage of CRG casualties during years
19882006.
the number of such casualties has increased almost
twice fromthe year 2000. The reason of this effect
is not clear it may be, however, to beattributed to
increase of the size of ships, in particular container
shipsoperated, totheincreaseof thedensityof traffic,
but most probably to thelower level of performance
of crew members which were recruited frommany
different countries.
This situation requires serious attention and pre-
vention of CRG casualties must be treated as a
priority.
2 SAFETY SYSTEM OF PREVENTIONOF
CRGCASUALTIES
In order to achieve safe operation of ships and pre-
venting casualties holistic and system approach is
577
Table2. Five-tier systemfor goal-basedrequirements.
Tier I: Goals
Tier II: Functional requirements
Tier III: Verificationcriteriaof compliance
Tier IV Technical proceduresandguidelines, classification
rulesandindustrystandards
TierV Codesof practiceandsafetyandqualitysystems
for shipbuilding, shipoperation, maintenance,
trainingetc
necessary. Systemapproachconsistsof lookingat the
problemasassembledof thenumber of sub-problems
mutually interrelated. Inthisapproachtheprocessof
achievingmaingoal isexactly definedandrelatedto
sub-problemsinaccordancetotheadoptedplan.
The system of safety against CRG casualties is
rather complex, because of numerous interrelations
betweenvarious sub-systems andbecauseof that, its
analysisisdifficult. Itwouldbe, however, necessaryto
takeintoaccount inthissystemat least thefollowing
sub-systems:
Trafficpattern
Environment
Humanfactor
Equipment
Legislation
3 GOAL ORIENTEDAPPROACH
The weak point of the present legislative status of
safety requirement in general was duly noticed by
highest IMO (International Maritime Organization)
bodies and quite recently the Marine Safety Com-
mittee(MSC) recommendedadoptionof theconcept
of goal-based approach to safety requirements. The
goal-basedapproachdoesnotincludeprescriptivereg-
ulationsor standardsthat must becompliedwith, but
sets goals that allow alternative ways of achieving
safety (Hoppe 2006). Goal-based standards are for
sometimeconsideredat IMOandappraisedbysome
authors (Vassalos 2002), and they were introduced
in some areas, albeit not in the systematic manner.
MarineSafetyCommitteecommencedin2004(IMO
2004) its work ongoal-basedstandards inrelationto
shipconstructionadoptingfive-tier system(Table2).
IMO MSC committee agreed in principle on the
following Tier I goals to be met in order to build
andoperatesafeandenvironmentally friendly ships:
Shipsaretobedesignedandconstructedforaspecific
design life to be safe and environmentally friendly,
whenproperly operatedandmaintainedunder speci-
fiedoperatingandenvironmental conditions, inintact
and specified damage conditions, throughout their
life (IMO2004).
Intheopinionof theauthor goal orientedholistic
approach appears to bethebest solution in prevent-
ing the increase of the number of CRG casualties.
Goal orientedapproachinvolvesapart of prescriptive
requirements, alsoriskanalysisandsystemapproach.
Thereforetoinvestigatethepossibilitiesof application
of riskanalysistosafetyagainstCRGcasualtiesandto
investigatepossibleriskcontrol optionsandassociated
requirementsisanimportant issue.
4 PRESCRIPTIVEVERSUSRISK-BASED
APPROACH
The basic dichotomy in the conception of safety
requirements consists of prescriptive approach and
risk-basedapproach(Kobyli nski 2007).
Traditional regulations wereof prescriptivenature
and they are formulated in the way where a certain
standards related to ship construction or operation
mustbecompliedwith. Prescriptiveregulationscould
be developed on the basis of experience (experts
opinions)statistics,analytical methods,computersim-
ulation, model tests and full-scale trials. Determin-
istic or probabilistic calculations may be employed
when developing the criteria, although, as a rule,
deterministicapproachisusedinmost cases.
Prescriptive regulations have many advantages.
They are formulated in a simple language, which
is easily understood by everybody, they are easy in
application, theyalsomakecheckingadherencetothe
requirementseasy.Themainshortcomingof prescrip-
tiveregulationsisthat theyareboundingdesignersor
operatorsandthey donot allowintroductionof alter-
nativesolutions. Theyarebasedonexperiencegained
withexistingobjectsandtheyarenotsuitablefornovel
types of ships or uncommon operational and emer-
gency situations. Usually they were amended after
seriouscasualtieshappened.Theriskinvolvedwiththe
applicationof prescriptiveregulationsisnot known.
Attheoppositeof theprescriptiveregulations, there
is risk-based requirements. The risk-based require-
ments arebasedonrisk analysis whereandthemain
object is to assess eventually accept the risk. The
advantagesof risk-basedrequirementsisthat theyare
not binding designers or operators requesting to sat-
isfyingor obeyingadoptedfixedrulesandstandards,
but offering the possibility of applying a variety of
solutions providedthey ultimately allowto keeprisk
withinacceptablelimits. Humanfactor couldbetaken
into account, which is extremely important because
themajority of CRG casualties may beattributed to
humanfault.
Risk is definedas aproduct of hazardprobability
andhazardseverity(consequences):
R = PxC
To facilitatetherankingandvalidationof ranking
IMOrecommendeddefiningconsequenceandproba-
bilityindicesonalogarithmicscale(IMO2002). The
risk indexmaythereforebeestablishedbyaddingthe
probability (frequency) andconsequenceindices. We
havethen:
Log(risk) = Log (frequency) Log(consequence)
578
Table3. Riskassessment matrix.
Risk-basedapproachaccordingtoIMOrecommen-
dationisformalized(FSA methodology) andincludes
thefollowingsteps(IMO2002):
1 Identificationof hazards
2 Riskassessment
3 Riskcontrol options
4 Cost-benefit assessment, and
5 Recommendationsfor decisionmaking
FSA methodology was recommendedby IMO for
general evaluation of safety requirements; in partic-
ular cases strict adherenceto this methodology may
not be possible. However, in all cases risk analysis
must leadtorisk assessment andacceptance. For this
purpose,andtakingintoaccountspecificsof shipoper-
ationatsea, riskassessmentmatrix(Table3) mayhelp
toevaluaterisk andtotakeappropriateaction. Inthis
matrixhazardprobabilitiesaredividedinfivegroups,
asbelow:
A. Frequent alwaysoccurring, onceormoreyearly
(greater than10
3
10
4
)
B. Probable few times during ships lifetime
(10
4
10
5
)
C. Occasional onceduringthelifetimeof theship,
fewtimesinthelifetimeof thefleet (10
5
10
7
)
D. Remote littleprobable, but possibleduringthe
lifetimeof theship, onceduringthelifetimeof the
fleet (lessthan10
7
)
E. Extremely improbable suchasmall probability
that it maynot betakenintoaccount (10
9
10
10
)
andhazardseverities(consequences) intofour groups
(Halebsky):
1 Catastrophic lossof vessel, fatalities
2 Critical hazardous effect dangerous degradation
inhandling, needoutsiderescueoperation
3 Marginal major effect significant degradation
inhandlingbut not preventingto completesafely
journey
4 Negligible minor effect slightdegradationinhan-
dling, need for slight modification of operating
procedures
Inthetable3: Z- actiontoreducehazardif econom-
ically feasible. Y-actionto reducehazardprobability,
X actiontoeliminatehazard
5 RISK ANALYSISANDSAFETY AGAINST
CRGCASUALTIES
At present therearenumerousrequirementsincluded
intovariouslegislativeinstrumentsthatwere,however,
developedatdifferenttimesbydifferentbodies, some
of thembeingcompulsory, someothershaveonlysta-
tus of recommendations and in general, they arenot
consistent inmany points. Most of themweredevel-
opedbytheInternational MaritimeOrganization, but
inspiteof that, holisticsystemapproachwasnotused
in their development. Thelist of different legislative
instruments whererequirements applicableto safety
against CRGcasualtiesareincludedisshownbelow:
IMOmanoeuvringstandards,
SOLASconventionrequirementsrelatedtosteering
gear, andmachinery
COLREGconventionrequirements
Pilotagerequirements
Separatetrafficroutes
STCWConvention(Personnel qualifications)
SOLAS Equipment Chapter Port authorities
requirements.
Theabovelist isnot exhaustiveandisprovidedas
anexampleonly. Requirementsincludedinall of the
aboveinstrumentsareof prescriptivecharacter.
Becauseof thecomplicityof thesystemof legisla-
tive instruments and requirements included therein,
direct application of risk analysis to thesystemas a
wholeatthisstageseemstobeextremelydifficultand
requiringthoroughstudy that is beyondthescopeof
thispaper.Riskanalysismightbe,however,appliedfor
exampleto therequirements relatedto thefollowing
subsystems:
Shipdesign (manoeuvringcharacteristics)
Harbour andtrafficlanesdesign
Effect of humanfactor.
Navigational aids
Performingsafemanoeuvers
Theabovesubsystemsarestronglyinterconnected,
but inorder tobringpracticablesolutiontheymaybe
separatedat thefirst step.
6 APPLICATIONOF RISK ANALYSISTO
PERFORMINGSAFE MANOEUVRES
Thefirst stepof therisk analysis is identificationof
hazardsandassessmentof theirprobabilities.Analysis
of CRG casualties reveals that thecauses of casualty
maybeattributedto:
functional aspectsresultingfromreliabilitycharac-
teristicsof thetechnical system, thereforemanoeu-
vringcharacteristicsof theship,
579
operational aspectsresultingfromthewaytheship
is operatedintraffic routes, fromharbour lay-outs
andfacilities, cargohandlingetc,
human factor, i.e. aspects resulting from action
of the personnel handling the system, therefore
crew members but also ship management, marine
administrationandownerscompanyorganization
external causesresultingfromfactorsindependent
fromdesigners builders andoperators of thetech-
nical systemthereforefromshipenvironment and
climatology
decision support systems helping the master or
pilottotakeappropriatedecisions, inter allia radar.
ARPA, electronic maps, computer programs for
manoeuvresprediction, etc.
IMO resolution included general guidanceon the
methodology of hazard identification. With respect
to manoeuvrability, hazard identification could be
achieved using standard methods involving evalua-
tionof availabledatainthecontext of functions and
systems relevant to thetypeof ship and modeof its
operation.
Hazard identification is carried-out using hazard
identification and ranking procedure (HAZID).
Accordingto general recommendationthemethod
of hazardidentificationcomprisedmixtureof cre-
ative and analytical techniques. Creative element
wasnecessaryinorder toascertainthat theprocess
is proactiveandis not limitedtohazards that hap-
penedinthepast. Analytical techniquesareusedin
order toevaluate, separatelyor incombination:
statistical dataconcerningcausesof accidents
historical data including detailed description of
accidents
conclusions resulting frommodel tests and com-
puter simulations
event andfault treesmethod
opinionsof experts
In particular thelast method is much of use, pro-
vided that collation and analysis of expert opinions
isproperlyorganized for examplebyusingDelphic
method(IMO2002a).
USCoastGuard(USGC1981) providedsomeindi-
cationontheposiblecauses of CRG casualties. This
isshowninthetable4.
TheclassificationshowninTable4is, however, not
particularly useful for thepurposeof risk assessment
becauselargepercentageof casualtiedwasclassified
asunavoidable. Thisiscertainlywrong, becausethere
is always some cause behind the casualty and it is
probably that human and organisation errors (HOE)
or heavy weather andperhaps other causes qualified
bymarinecourtsasforce majeurearehiddeninthis
category.
As anexampleof applicationof this methodology
the list of hazards in respect to CRG casualties is
shown in Fig. 2. In this exampleranking of hazards
is not shown, moreover the sketch could be consid-
eredasthefirst level of thefault treeleadingtoCRG.
Table 4. Causes of CRG casualties (according to USGC
1981).
Cause Percentage[%]
Insufficient Wind& current 9
ship Turningability 7
controllability Tugs 4
Stopping 4
Banksuction 3
Sterringfailure 2
Control whilestopping 2
Control whilebacking 2
Direct humanerror 33
Unavoidable 34
Figure2. First level fault treefor CRGcasualties.
Hazards identifiedas relevant to safety against CRG
areall stronglyinterconnected, moreover, humanfac-
tor understood as performance of an individual (in
most cases the master) plays important part in each
case. Hazards identified should be further decom-
posedpreferably usingfault trees and/or events trees
reproducing various scenarios of CRG casualty. The
set andcombination of fault trees andevent trees as
developedfor all hazardsidentifiedandall scenarios
(defined as risk contribution trees RCT) is abasis
for HAZOP (hazardandoperabilitystudy) procedure
that allows alsoassessment of frequencies (probabil-
ities) of hazards required for risk assessment. This
is rather tedious task bearing in mind the multitude
of possible scenarios. This problem, however, is not
discussedhere.
7 EFFECT OF HUMANFACTOR
As human and organization errors (HOE) are major
causesof CRGcasualtiestheyrequireaspecial atten-
tion. HOEmaybetheresultof designandconstruction
faults(badmanoeuvringcharacteristicsof ships) and
force majeure, that are responsible for about 20%
580
Figure3. Effect of safetycultureonaccidentsrate.
of all HOE casualties (Payer,1994), the rest may
be attributed to operational factors that include the
following:
societyandsafetyculture
organization
system
individual
Society and its culture has important effect on
safety. Economic factors tendtolimit safety require-
ment, becauseenhancementof safetycostmore; from
theother handlower safetylevel resultsinhigher cost
of increased number of accidents. There exists cer-
tainoptimumfromthepurelyeconomicpointof view,
but if fatalities areresulting fromaccidents thepure
economic point of view is no more valid and cru-
cial point is howhighrisk may beacceptableby the
society. The risk is much lover in developed coun-
triesincomparisonwiththecountriesthat arenot yet
developed.
Thesociety cultureis strongly related with safety
culture. High safety culture helps to avoid a large
percentage of accidents. The enquiry by the RINA
amongst anumber of naval architects did show, that
themajority of themrecognizedsafety cultureas the
most important factor insafety (TheNaval Architect
1999).
Organization. Agreatnumberof accidentsiscaused
by bad management or bad organization. Bad orga-
nization could mean lack of supervision, lack of
procedures, lack of instructions, lack of activity by
marineadministration, lack of policy for safety man-
agement or lack of motivation. Oneimportant factor
isalsocultureof shippingcompany. For examplethe
dominant culture of company might be tendency to
achieve gain without considering risk (flirting with
risk) orforcingexcessivestrainleadingtoover-fatigue
andinconsequencemayappeartobeoppositewiththe
aimof thecompany.
System. Thefollowingsystemfaultsinfluenceoper-
ator behaviour: complexity, faultysignalization, small
tolerances, difficult operation, inaccessibility, high
Table5. Humanerror factors(Bea1994).
Fatigue Wishful thinking Badjudgement
Negligence Mischief Carelessness
Ignorance Laziness Physical limitations
Panic Violations Boredom
Greed Drugs Inadequatetraining
folly Inadequate Inadequateeducation
communication
Ego Alcoholism Hiddenillness
Figure4. Simplifiedfault treefor HOE.
demands in operation, wrong alarms, bad visibility,
incompletesoftware, etc.
Individual. Operators error is the most common
causeof accident. However itisverydifficulttoiden-
tify thereal reasonof theoperator action. Thereis a
longlist of possiblecausesasshownintable5.
It is really impossibleto attachprobabilities to all
factorslistedinTable5, becausetherelevant statisti-
cal datadonot exist andthereisnochancethat such
statisticswill beever available. However all theabove
factorsmaybedividedinthreegroups:
1 individual character of theoperator- integrity, reli-
ability, morale
2 physical predispositions health, endurance,
immunity
3 knowledge education, training, experience
Limitingtotheabovethreegroupsitwouldbepos-
sibletoconstruct theriskcontributiontree(fault tree)
for HOE asshowninfig4.
For therisk analysisit isnecessary toattachprob-
abilities to every group at thefirst stage. This could
bedoneon thebasis of statistics or expert opinions.
Currentlypublishedstatisticsisnotavailable,although
major shippingcompaniescertainlyhavesuchdata. If
probabilitiesattachedtoeachof theabovegroupsare
581
knownthenconclusionswithregardtorisk omay be
drawn.
Riskcontrol optionsconstituteanimportantstepin
therisk analysis. If weassumethat probabilities are
equally distributed between three groups, then con-
centratingongroupthreefor example, oneriskoption
would bestressing importanceof training. Amongst
othereffects, itiswell known, thattrainingaffectscon-
siderably theability tohandlecritical situations(Bea
1984).
8 CONCLUSIONS
Risk analysis is an excellent method for analyzing
safety of complex systems towhichsystemof safety
against CRG casualties at sea also belongs. How-
ever application of risk analysis to CRG casualties
posesseriousdifficultiesbecauseof thecomplexityof
thesystemandstronginterrelationsbetweendifferent
subsystems.
In particular, human factor, playing predominant
part in a great majority of CRG accidents, requires
special attentionintheriskanalysis. Thisis, however,
difficult becauseof lack of reliablestatistical dataon
theinfluenceof various individual characteristics of
themanatcontrol onsafeperformanceof manoeuvres.
Thereareintuitiveconclusionsthattraining, forexam-
pleaffects ability of themanat control considerably,
but respectivestatistical dataarenot available.
Nothwithstandingthedifficulties,evenatthisstage,
riskanalysiscouldprovideuseful resultswhenapplied
tovarioussubsystemsof safetyagainstCRGcasualties
andinparticular it may allowtoassesstheimpact of
variousriskcontrol options.Thismaybe, inparticular,
relevant to human and organization errors (HOE) as
showninthepaper.
REFERENCES
Bea,G.R.(1994).Theroleof humanerrorindesign,construc-
tion and reliability of marine structures. Ship Structure
Report SSC-378
Hoppe H. (2006). Goal based standards a new approach
totheinternational regulationsof shipconstruction. IMO
News Issue1
IMO(2002).GuidelinesforFormal SafetyAssessment(FSA)
for useintheIMOrule-makingprocess. Doc. MSC/Circ.
1023;
IMO(2002a). Guidanceontheuseof humanelementanalyz-
ingprocess(HEAP) andformal safetyassessment (FSA)
intheIMOrulemakingprocess. Doc. MSC/Circ. 1022;
Kobyli nski, L. (2006).Appraisal of riskassessmentapproach
to stability of ships. 8th International Ship Stability
Workshop, Istambul
Kobyli nski, L. (2007). Goalbased standards. 9th Interna-
tional Ship Stability Workshop. Hamburg
Payer,H.(1994).SchffssicherheitundmenschlicheVersagen.
Hansa-Schiffahrt-Schiffbau-Hafen 131J ahrgang, No.10
Samuelides, E., Frieze, P. (1984). Experimental andnumer-
ical sikulation of ship collisions. Proc 3rd Congress on
Marine Technology (IMAEM. Athens
TheNaval Architect (1999) Marchissue.
US Coast Guard(1995) Preventingthroughpeople. Quality
action team report
USCoast Guard(1981). Report M-8-81
Vassalos, D. (2002).Total shipsafety alife-cyclerisk-based
DOR for safety. The Stability Research Centre NAME.
Universities of Glasgow and Strathclyde. Report.
582
13.4
Estimationof theprobabilityof propulsionlossbyaseagoing
shipbasedonexpert opinions
A. Brandowski &W. Fr ackowiak
ABSTRACT: Theevent of thelossof propulsionfunctionhasbeendefinedashazardousevent toaseagoing
ship. Ithasbeenformalized.Theprocedureof acquisitionof expertopinionsonfrequencyof theeventoccurrence
hasbeendescribed. It may beconsideredtobeof anumerical-fuzzy character. Thefuzzy part wastransferred
to thenumerical formby thepair comparisonmethod. Anexampleof theshippropulsionsystemcomprising
alowspeedinternal combustionengineandasolidpropeller illustrates themethodpresented. It may beused
wherever ahazardanalysishastobeperformedof asysteminvolvinghumanandtechnical aspectsandthereis
ashortageof objectivedataontheinvestigatedobject.
1 INTRODUCTION
Loss of the propulsion function by a ship is one of
the most serious categories of hazardous events
in
shipping. In specific external conditions it may lead
toalossof shiptogether withpeopleaboard. Theloss
of propulsivepower may bean effect of thepropul-
sion system(PS) failures or of errors committed by
thecrewinthesystemoperationprocess. Inthesafety
engineeringlanguagewesay that thepropulsion loss
probability dependsonthereliabilityof thePSandof
its operators. Determination of that probability is in
practice confronted with difficulties connected with
shortageof dataonthat reliability. This pertains par-
ticularlytothecasesof estimationinconnectionwith
decisionstakenintheshipoperation. Insuchcaseswe
have to rely on subjective estimations made by per-
sonswithpractical knowledgeinthefieldof interest,
i.e. experts. Theexperts, ontheother hand, prefer to
formulatetheiropinionsinthelinguisticcategories, in
other wordsinthelanguageof fuzzy sets. Theauthors
experiencetells also that intheexpert investigations
it is difficult to maintain proper correlation between
thesystemdataandthesystemcomponent data. The
paper presents amethodof thesubjectiveestimation
of propulsionlossprobability by aship, basedonthe
numerical-fuzzyexpertjudgments.Themethodissup-
posedtoensurethatpropercorrelation. Itisadjustedto
theknowledgeof expertsfromships machinerycrews
andtotheir capabilityof expressingthat knowledge.
Themethodpresentedhasbeendevelopedwithan
intentionof usingit inthedecisiontakingprocedures
inrisk predictionduringtheseagoingshipoperation,
intheshortageof objectivereliabilitydatasituations.
Hazardous event isdefinedasaneventbringingaboutdam-

agetohumanbeingsaswell astothenatural and/ortechnical
environment. Itisalsocalledaccidentorinitiatingevent.
2 DEFINITIONOF THE SHIP PROPULSION
LOSSASA HAZARDOUSEVENT
Thepropulsion hazard is connected with theloss by
the PS system of its capability of performing the
assignedfunction, i.e. generatingthedrivingforceof
adefinedvalueanddirection. It appears as aneffect
of acatastrophic failure
of thePS. Suchfailuremay
cause immediate (ICF) or delayed (DCF) stoppageof
a ship. In the latter case the stoppage is connected
withrenewal, whichmaybecarriedoutatanyselected
moment. It isobviousthat onlytheformer caseof the
forcedstoppagecreatesarisk of damageor evenloss
of ship it isahazardousevent.
Wewill relatetheprobabilityof ICF toanarbitrary
timeinterval determinedbytheanalyst. Forinstance, it
maybedurationof onetrip, timeinterval betweenthe
shipclassrenewal surveysor oneyear, asit isusually
assumedinrisk analyses. Suchanapproachisuseful
intheshipoperationriskmanagement process.
TheICF typefailureconsequencesmaybedivided
intocasualtiesandincidents(IMO1997). Ingeneral,
theshipcasualtiesarenon-repairableat seabymeans
of theshipownresourcesandmay havevery serious
consequences, withtheshiptowingatthebestandthe
lossof shipattheworst.Theproblemof consequences
isnot thesubject of thispaper.
TheICF typefailurefrequencydependsmainlyon
thetypeof PSandtheshipoperationmode(linertrade,
trampingetc.).Ontheotherhand,theconsequencesare
strongly dependent ontheshipsizeandtypeandthe
environmental conditions, firstof all thewater region,
season, timeof day, atmospheric andseaconditions.
Theyarealsodependentonthenavigational decisions
andonthetypeandfasteningof cargointheholdsand
Catastrophic failure isdefinedaslossof thecapabilityof

performingbytheobject of itsassignedfunction.
583
on deck. In general, these are the factors connected
withthetypeof shippingcarriedout andtheshipping
routestheshipoperateson.
3 FORMAL MODEL OF ICF EVENT
Weassumethefollowing:
Weareinterestedonlyinthe"active" phaseof ship
operation, when it is in the shipping traffic. We
shall excludefromthemodel theperiodsof staysin
shiprepair yardsor inother placesconnectedwith
renewalsof theshipequipment.
The investigated PS system may be only in the
activeusageor stand-byusagestate. TheICF type
PSfailuresmayoccur onlyintheformer state.
A formal model of the ICF type PS failures is
the homogeneous Poisson process (HPP). This
assumptionisjustifiedby theexpert eliciteddata,
which indicate that this type of failures occur
fairly often, several times a year, but their con-
sequences in general mean only a certain loss
of operation time. More serious consequences,
causing longer breaks in the normal PS system
operation, occur seldom. The exponential distri-
bution of time between failures, taken place in
theHPP streammodel, is characteristic of anor-
mal operation of many system classes, includ-
ing also the ship systems (Gniedienko B.W. &
BielajewJ.K.&SolowiewA.D.1965,ModarresM.,
KaminskiyM.&KrivtsovV.1999).Itisappropriate
inthecasewhenthemodeledobjectfailuresandthe
operatorerrorsarefullyrandomabruptfailuresand
notgradual failurescausedbytheageingprocesses
and/or wear of elements.Thiscorrespondswiththe
situationwhenscrupulouslyperformedinspections
andrenewalspreventthelatter typeof failurefrom
occurring.
Experts are asked only about two numerical val-
ues: number of ICF typefailuresN(t) duringtime
periodt=1year (8760hours), andthetimeat sea
percentageshare 100%duringtheir seamanship
period thisiswithintheircapabilityof answering.
Theopinionsonthefailuresof PS systemcompo-
nentsareelicitedinthelinguisticform.
Theseagoingshipsystemactiveusagetimet(a) is
strongly correlatedwiththespecific shipoperational
statetimes, mainly with theat sea stateincluding
sailing, maneuvers andanchoring. Thefollow-
ingapproximationmaybeadoptedforthesystem, also
for thePS:
wheret
(a)
=activeusagetime; t
(m)
=timeat sea; t =
calendar timeof thesystemobservation; =t
(m)
/t =
timeat seafactor ( 0, 1)).
Inviewof theseassumptions, theICF typePSfail-
uresmay occur only inthesystemactiveusagestate,
i.e. for thePS systeminthet
(m)
time, althoughtheir
observed yearly numbers are determined by experts
in relation to the calendar time t. The model ICF
probabilityhasthevector form:
where P{t
(a)
}=the vector of probabilities of ICF
type event occurrence within time interval 0, t);
(a)
J
j=1
N
j
(t)/
j
t
j
=intensity function of HPP
(ROCOF) (and at the same time the failure rate of
theexponential distributionsof timebetweenfailures
inthat process, [1/h]; N
j
=annual number of theICF
type events elicited by j-th expert, [1/y];
j
=time
at sea factor elicited by j-th expert; t
j
=calendar
timeof observationby j-th expert [h]; J =number of
experts; K =the maximumnumber of possible ICF
typefailuresinthetimeinterval 0, t); t =thetimeof
probabilityprediction.
The
(a)
formula is based on the theorem on
the asymptotic behaviour of the renewal process
(Gniedienko B.V., Bielajev J.K. & Soloviev A.D.
1965):
whereT
o
=meantimebetweenfailures.
Thenumber of ICF typeeventsinthe0, t) period
may be0,1,2,or K withwell-definedprobabilities.
The maximumof these probabilities is the assumed
measureof theprobability of ICF typeevent occur-
rence:
Theand parametersdeterminedfromtheelicited
opinions may be adjusted as new operation process
dataarriveontheinvestigatedsystemfailures.
Expressions(2) and(4) allowtoestimatetheproba-
bilitiesof ICFtypehazardouseventsinthedetermined
timeinterval t. Another problemis estimationof the
riskof consequencesof theseevents, i.e. damagetoor
total loss of theshipandconnectedhuman, environ-
mental andfinancial losses.Thisisaseparateproblem
not discussedinthispaper.
4 DATA ACQUISITION
ThePSwill befurthertreatedasasystemconsistingof
subsystemsandthoseconsistingof thesetsof devices.
Expertsareaskedtotreat theobjectsof their opin-
ions as anthrop-technical systems, i.e. composed of
technical andhuman(operators functions) elements.
They elicit their opinions in three layers in such a
way that proper correlation is maintained between
data of the systemand data of the systemcompo-
nents. In layer 0 opinions areexpressed in numbers,
in layers I and II in linguistic terms. For layers I
andII separatelinguistic variables (LV) andlinguistic
term-sets (LT-S) havebeendefined(PiegatA. 1999).
584
Layer 0 includesPSasawhole.
Estimated are the annual numbers of type ICF type
failuresof PSN(t) andthepercentageshareof timeat
sea 100%inthetimeof expertsobservation.
Layer I includesdecompositionof PStoasubsystem
level.
LV=shareof thenumber of subsystemfailuresin
thenumber of typeICF failuresof PS.
LT-S=A1-verysmall/none,B1-small,C1-medium,
D1-large, E1-verylarge.
Layer II includes the decomposition of subsys-
temstothesetsof devices(set of devicesisapart of
subsystemformingacertainfunctional entity whose
catastrophic failurecauses catastrophic failureof the
subsystem e.g.itmaybeasetof pumpsof thecooling
freshwater subsystem).
LV=share of the number of failures of the sets of
devices in the number of catastrophic failures of the
respective PS subsystem.
LT-S=A2-very small/none, B2-small, C2-medium,
D2-large, E2-very large.
The structure of data acquisition procedure pre-
sented here implies a series formof the reliability
structures of subsystems (layer I) andsets of devices
(layer II). Elements of thosestructures should beso
defined that their catastrophic failures causeequally
catastrophic failuresof thePS systemandsubsystem
respectively. Thedivisionintosubsystemsandsetsof
devicesshouldbecompleteanddisjunctive.
Thedataacquisitionprocedurepresentedheretakes
intoaccounttheexpertpotential abilities. Itseemsthat
their knowledgeshouldbemorepreciseinthecaseof
alargeoperationally important system, as thePS is,
andless preciseas regards individual components of
thesystem.
5 ALGORITHM OF EXPERT OPINION
PROCESSING
In layer 0 the experts elicit annual numbers of the
ICF typefailures, which, intheir opinion, might have
occurredduring1year intheinvestigatedPStype:
andshares of thetimeat seain thecalendar timeof
shipoperation:
wherej =expertsindex; J =number of experts.
Thesesetsof valuesaresubjectedtoselectiondue
to possibleerrors madeby theexperts. Inthis casea
statistical testof thedistancefromthemeanvaluemay
beuseful, asingeneral wedonot haveat our disposal
anyobjectivefielddatatobetreatedasareferenceset.
If thedatalot sizeafter selection appears insuffi-
cient, it may be increased by the bootstrap method
(Efron&Tibshirani 1993).
Fromthe data (5) and (6), parameters
(a)
and
of expression(2) and(4) aredetermined. Number of
opinionsJ maybechangedafter theselection.
Inlayer I expertselicit thelinguisticvaluesof sub-
systemsharesinthenumberof ICFtypefailuresof the
investigatedPS type(they chooseLV valuefromthe
{A1, B1, C1, D1, E1}set). Thedataaresubjected to
selection.
The elicited data with linguistic values are com-
pared in pairs estimation of each subsystem is
compared with estimation of each subsystem. The
linguistic estimationsaretransformedintonumerical
estimationsaccordingtothefollowingpattern:
Numerical estimates of each subsystemare sub-
tractedfromestimatesof eachsubsystem. Inthisway
thedifferencevaluesareobtained, whichmayhavethe
followingvalues: 4, 3, 2, 1, 0, 1, 2, 3, 4. Those
differences are transferred into preference estimates
(asgiveninTable1) inaccordancewiththefollowing
pattern:
Table1. Expert preferenceestimatesacc. toSaaty(1980).
Estimate Preference
1 Equivalence
3 Weakpreference
5 Significant preference
7 Strongpreference
9 Absolutepreference
Inverseof Inverseof theabovedescribed
theabovenumbers preference
585
From these differences, by the pair comparison
method, a matrix of estimates is constructed. The
estimates depend on the distance of the linguistic
valuesLT-Sof agivenvariableLV. For instance, pref-
erenceA1inrelationto E1has thevalue9assigned,
inrelationtoD1avalue7, inrelationtoC1avalue5.
in relation to B1 a value 3 and in relation to A1 a
value 1. The inverses of those preferences have the
values, respectively: 1/9, 1/7, 1/5, 1/3 and 1. The
matrix of estimates is approximatedby thematrix of
weight quotientsof thesought arrangement. Therec-
ommendedprocessingmethodisthelogarithmicleast
squares method. Theresult is avector of normalized
arrangements of the subsystemshares (Saaty 1980,
Kwiesielewicz 2002)
:
wherep
i
=shareof thei-th subsystemasacauseof an
ICF typePSfailure; I =number of subsystems.
Nowwecandetermineinasimpleway theinten-
sity functions of individual subsystems arising from
catastrophicfailures:
Inlayer II expertselicitthelinguisticvaluesof sub-
setsharesinthenumberof catastrophicsubsystemfail-
ures(theychooseLV valuefromthe{A2, B2, C2, D2,
E2}set).Asinthecaseof subsystems, theexpertopin-
ions areprocessedtotheformof normalizedvectors
of thearrangementsof set shares:
wherep
i
=vectorof thesharesof i-thsubsystemsetsas
causesof catastrophicfailuresof thatsubsystem;p
ik
=
shareof thek-th setof i-th subsystem; K =number of
setsinagivensubsystem.
Then, the intensity functions of sets contained
in individual subsystems arising from catastrophic
failuresaredetermined:
6 EXAMPLE
Theexamplediscussesinvestigationof aPSconsisting
of a low speed piston combustion engine driving a
solid propeller, installed in a container carrier ship.
Experts weremarineengineers withlongexperience
(50persons). Special questionnairewas preparedfor
themcontainingdefinitionof theinvestigatedobject,
schematicdiagramsof subsystemsandsets, precisely
formulated questions and tables for answers. It was
TheSaatymethod,criticisedinscientificcircles,iswidely
appliedinthedecision-takingproblems.
Figure1. Boxandwhiskersplot of ICF yearlynumbers.
Figure2. Boxandwhiskersplot of timeat seashare.
clearly stated in the questionnaire that an ICF type
failuremaybecausedbyadevicefailuresorbyacrew
actions. Outof 50opinionselicitedbyexperts, 3were
estimatedas very unlikely (2elicitednumbers of the
ICF events in ayear wereextremely underestimated
andonewasoverestimated).Theywereeliminatedand
theremaining47opinionswerefurther processed.
Figs. 1 and 2 present statistical estimates of the
expert opiniondata(5) and(6).
Table2containsaveragedbasicdataelicitedby47
expertsinrelationtothePSasawholeandthemodel
parametersof ICFtypeeventprobability(equation(2))
determinedfromthesedata.
FromtheTable 2 data the probabilities of deter-
mined numbers of ICF type event occurrences in
1year werecalculated. Fig. 3diagrampresentsresults
of those calculations. The numbers of probable ICF
events in1year areequal 1, 2, , 5. Themaximum
probability is 0.2565, which stands for 2 ICF type
eventsduring1year,andtheprobabilitythatsuchevent
will not occur amountsto0.0821.
586
Table2. Basicresultsof propulsionsysteminvestigation.
Averaged N(1y)=2, 5
expert elicited [N(1y)]=1, 1325
data 100=83,95745%
[ 100]=7,24406%
Riskmodel

47
1
t =411720h
Parameters
(a)
=3, 39922E 041/h
=0,83957
Figure3. Distributionof ICF event numbers probability.
Table3. Intensityfunctionsof thesubsystems.
No Subsystem p
i

(a)
10
5
1 Fuel oil subsystem 0,1330 4,5203
2 Seawater coolingsubsystem 0,0437 1,4852
3 Lowtemperaturefreshwater 0,0395 1,3426
coolingsubsystem
4 Hightemperaturefreshwater 0,0620 2,1074
coolingsubsystem
5 Startingair subsystem 0,0853 2,9006
6 Lubricationoil subsystem 0,0687 2,3352
7 Cylinder lubricationoil 0,0446 1,5147
subsystem
8 Electrical subsystem 0,1876 6,3770
9 Mainengine 0,1987 6,7536
10 Remotecontrol subsystem 0,1122 3,8146
11 Propellershaft line 0,0247 0,8410
Table 3 contains the subsystem intensity func-
tion(ROCOF) datacalculatedfromequation(8). The
main PS risk participants aremain engineandthe
electrical subsystemand the least meaningful is the
propeller withshaftline.Thisisinagreementwiththe
experienceof eachshipbuilder andmarineengineer.
Table4containsthefuel supplysubsystemintensity
function(ROCOF)datacalculatedfromequation(10).
7 SUMMARY
Thepaper presentsamethodof subjectiveestimation
of thehazardconnectedwithlosingbyaseagoingship
of thepropulsionfunctioncapability. Theestimation
Table4. Intensityfunctionsof thefuel oil subsystemsets.
No Set p
ik

(a)
ik
10
6
1 Fuel oil servicetanks 0,0488 2,2062
2 Fuel oil supplypumps 0,1672 7,5572
3 Fuel oil circulatingpumps 0,1833 8,2840
4 Fuel oil heaters 0,0944 4,2666
5 Filters 0,1540 6,9599
6 Viscositycontrol arrangement 0,2352 10,6323
7 Piping+heatingupsteam 0,1172 5,2965
Arrangement
is based on opinions elicited by experts experi-
encedmarineengineers. Themethodisillustratedby
anexampleof suchestimationinthecaseof apropul-
sionsystemwithalowspeedpistoncombustionengine
andasolidpropeller installedinacontainer carrier.
Thegiveninsection6donot raiseany objections.
Theauthorsdonothaveathisdisposal sufficientobjec-
tivedatato evaluateprecisely theadequacy of those
data. It has to betakeninto account that results of a
subjective character may, by virtue of the fact, bear
greater errorsthantheobjectiveresultsachievedfrom
investigationsinreal operational conditions.
The presented method may be used in the proce-
duresof theshippropulsionrisk prediction. It allows
toinvestigatetheimpact of thePSsystemcomponent
reliabilityontheprobabilityvaluesof ICF typeevent.
It may also beusedwithother types of shipsystems
andnot onlytoshipsystems, particularlyinthesitua-
tionsof hazardousevent probability estimationswith
insufficient objectivedataat hand.
In this place the authors thank Prof. Antoni
Podsiadlo and Dr. Hoang Nguyen for their cooper-
ation, particularly in the scope of the acquisition of
expert opinionsandtheir processing.
REFERENCES
Gniedienko, B.V. & Bielajev, J.K. & Soloviev, A.D. 1965.
Mathematical Methods in Reliability Theory (inPolish).
Warszawa: WydawnictwaNaukowo-Techniczne.
Saaty,T.L.1980.TheAnalytical HierarchyProcess.NewYork
et al: McGraw-Hill.
Kwiesielewicz, M. 2002.Analytical Hierarchy Decision Pro-
cess. Fuzzy and Non-fuzzy Paired Comparison (inPolish).
Warszawa: Instytut Bada nSystemowychPAN.
Modarres, M. &Kaminskiy, M. &Krivtsov. 1999. Reliability
Engineering and Risk Analysis. NewYork, Basel: Marcel
Dekker, Inc.
Piegat, A. 1999. Fuzzy Modeling and Control (in Polish).
Warszawa: AkademickaOficynaWydawniczaEXIT.
IMO. ResolutionA.849(20). 1997. Code for the investigation
of marine casualties and incidents. London.
Roland,H.E.&Moriarty,B.1990.SystemSafety Engineering
and Management. J ohn Wiley & Sons, Inc. NewYork,
Chichester, Brisbane, Toronto, Singapore.
587
13.5
FinitediscreteMarkovmodel of shipsafety
L. Smolarek
ABSTRACT: Theshipsafety modelingistheprocessusedtoconvert informationfrommany sourcesabout
theshipasanantropotechnical systemintoaformsothat it canbeanalyzedeffectively. Thefirst stepistofix
thesystem(ship, human, environment) boundaries to clearly identify thescopeof theanalysis. Theshipcan
begenerally defined by conceptual sketches, schematics drawings or flowdiagrams to establish theelement
hierarchy which evolves fromthephysical and functional relationships. Theman could begenerally defined
by theoperational procedures. Theenvironment couldbegenerally definedby themissionplaceandtimeof
theyear. Theinformationis neededconsideringthat theaccidents arecausedby factors associatedwithship
(failure, design defect), man (human error, workload), and environment. Safety is asystemproperty that we
intuitivelyrelatetoasystemsdesign, accident ratesandrisk. ThisworkproposesfinitediscreteMarkovmodel
asanexampleof systematicapproachtotheanalysisof shipsafety.
1 INTRODUCTION
Thesafety of theshipsystemcouldbeconsideredas
aseriesof barriersor against thepotential for failure.
These barriers may include hardware, software, and
thehumanelement andthepresenceof oneor more
of thebarrierswill preventaccidentsfromhappening.
But it happens that thesafety barriers arepenetrated
andanaccident occurs.
Very often when an incident has occurred, once
tends to interpret thepast, prior to theevent, only in
terms of its bearing on that event which means that
thetotal contemporaneouscontextismissing. Soonce
concentrateonlyonsignificant eventschains.
2 THE SYSTEM
2.1 The ship system
Theshipsafetymodel shouldcovertheshipgeographi-
callyandall theinstalledsystemsincludingpropulsion
and electric power production, energy production,
emergency power, bridge systems, safety systems,
humanfactor andpassenger relatedsystems.
Figure 1. Ships accident statistic, American Bureau of
Shipping, 2004.
Thenecessary methodology consists of following
stages, (Soares, Teixeira, 2001):
1 GenericShipModel
2 Topographical SafetyBlockDiagram
3 ShipSafetyModel
Generic ShipModel describes howall theshipfunc-
tions, subsystems and systems, influence the ship
safety. Importance of each component should be
clearly defined. Generic Ship Model could be fur-
ther utilizedasabasisfor comprehensiveShipSafety
model.
Specificcriteriashouldbedevelopedtoenableeffi-
cientestimationof thecrewinfluenceontheshipsafe
factor.
2.2 Navigational system
Sincehalf ontwenty century rulesconcerningvessel
technical condition, crewknowledgeandoperational
actionprovingvessel safetyarehavebeendefinedby
Figure 2. Generic model of some ships subsystems and
systems.
589
Figure3. Vessel reliabilityconditionsaccordingtonaviga-
tional systemandnavigational situation.
Figure 4. Model of ship encounter situations
(Pietrzykowski 2007).
International MaritimeOrganization. Themeasureof
vessel safety isarisk definedasafunctionof threats
and consequences relating to theoretical and actual
risk, (Soliwoda2008).
2.3 Human error
Humanreliability isoneof mainfactorswhichinflu-
ence safety at maritime transport. Generally we can
select the sources of human error into intended and
unintended.
Unintendederrorscanbeclassifiedas:
1 Errorsof Omission
Involvefailuretodosomething.
2 Errorsof Commission
Involveperforminganact incorrectly.
3 SequenceError
Involveperformssomestepinataskortasksout
of sequence.
4 TimingError
Involve fails to perform an action within an
allottedtimeor performingtoofast or toslow.
Figure5. Sourcesof humanerror.
Table 1. Human errors sources statistic, ABS REVIEW
AND ANALYSIS OF ACCIDENT DATABASES: 1991
2002.
Sources %
Situationassessment andawareness 15,2
Taskomission 10,4
Management 10,1
Knowledge, skills, andabilities 7,3
Mechanical / material failure 6,6
Weather 6,6
Complacency 5,6
Risktolerance 4,8
Businessmanagement 4,8
Navigationvigilance 4,6
Lookout failures 4,3
Maintenancerelatedhumanerror 4,1
Fatigue 3,5
Unknowncause 3,3
Procedures 2,8
Manning 2,0
Commission 1,5
Unchartedhazardtonavigation 1,3
Substanceabuse 1,3
FactorsContributingtoAccidents, (Clemens2002)
Management
Physical Environment
Equipment Design
WorkItself
Social/Psychological Environment
Worker/Co-worker
UnsafeBehavior/Chance(Risk)
Exposure to Hazardous Situation, (Lawton, Miller,
Campbell 2005)
Perceptionof Hazard
Cognitionof Hazard
DecisiontoAvoid
AbilitytoAvoid
SafeBehavior
Probabilityof operator error (Clemens2002)
590
Figure6. Probability of operator error for different skills
andknowledgeparameters, (Smolarek& Soliwoda, 2008).
where:
a
1
, a
2
, a
3
are parameters connected with factors
suchasskills, knowledge, regulations;
T
m
isanaveragetimefor analyzedoperation;
t istimewhichoperator hasfor thisoperation.
Also theHumanCognitiveSafety Model (HCSR)
can be used as a method for computing factor of
humanssafety degreefor thewholesafety degreeof
HMESE, (Wang Wuhong, et al 1997). If the uncer-
tainties of humans conduct operation aretaken into
consideration, theerror probability of human cogni-
tiveactivitiescanbere-writtenas(WangWuhong, etal
1997):
where:

T
1
/
2
themost suitableestimatedmedianof time
requiredtocompletethebehavior;

u
logarithmic standard deviation of response
timeabout operator;

1
x ( ) reverse standard normal accumulation
distributionfunction;
x ratio between defined probability and non-
response.
3 SAFETY MODEL
Shipisthehuman-machinesysteminwhichthefunc-
tions of ahumanoperator (or agroupof operators
crew) andamachineareintegrated. Insafeanalysisit
isnecessarytoemphasestheviewof suchasystemas
asingleentitythatinteractswithexternal environment
so its obvious to take into consideration, (Gucma,
2005). Fromthethreeaspectsof human, machine,
environment, inthispaper qualitativelyanalysesthe
influenceof twoaspects,humanandmachineonsafety
of Human-Machine-Environment Systemintheship
Figure7. Graf of systemstatechanges.
Figure8. Graf of tendency of stationary statechanges for
increasingp.
transportationprocess. Thesafety degreeof ashipis
the function of the three sub-systems about human,
machine and environment and can be regarded as
thefunctional systemaccording to human error and
technical failure. Thehumanerror andtechnical fail-
ure are express interaction human-environment and
ship-environment, (Smolarek, 2008):.
Thegraph of ship systemsafety states changes is
presentedat figure8. Wetakeinto considerationthe
shipsafety model whichis discreet instateandtime
domain.
Where state 2 is partially unsafe state according
to human error and state 3 is partially unsafe state
according to technical failure of the ship or its any
subsystem.
Correspondingtransitionmatrixof one-steptransi-
tionprobabilities
Accordingtomatrix(4) wehave
591
Usingthetotal probability andmemoryless property
of MarkovchainsweobtaintheChapmanKolmogorov
equations
If it is an irreducible non periodic Markov chain
consisting of positive recurrent states then a unique
stationarystateprobabilityvector exists
where:

k
isasteadystateprobability, k=1,2,3,4;
andthematrixequationfor vector isgivenby
where:
p
jk
isatransitionprobabilityfromstatej tostate
k,j,k=1,2,3,4.
If thecondition
issatisfied, thenthesolutionisgivenby
If transitionprobabilitiesareequal top, then
4 CONCLUSIONS
Vessel safety assessment carriedout uponIMOstan-
dards allows theoretical estimating of safety with-
out actual vessel conditions details and condition of
crew. For more sophisticated cognitive modeling is
necessarytomodel numerousfailuremodesor repre-
sentcomplexinterdependenciesbetweenhumanerror
sources, ship route, ship technical and exploitations
parameters. Analternativetorepresentingtheseaman
as anelement of ashipsystemis torepresent himas
asubsysteminandof itself. It meansthat theseaman
shouldbemodeledautonomously.
REFERENCES
SoaresC.G.;TeixeiraA.P. 2001, Riskassessmentinmaritime
transportation,ReliabilityEngineeringandSystemSafety,
Volume74, Number 3, December 2001, pp. 299309(11)
Elsevier
Clemens P. L. 2002. Human Factors and Operator Errors,
JACOBSSVERDRUP, February2002.
Lawton C. R., Miller D. P., Campbell J. E., 2005 Human
Performance Modeling for Systemof Systems Analyt-
ics: SoldierFatigue, SAND REPORT, SAND2005-6569,
UnlimitedRelease,PrintedOctober 2005.
GucmaL., 2005. Modelowanieryzykazderzeniajednostek
pywaja
cychzkonstrukcjami portowymi i penomorskimi,

Studia nr.44 AkademiaMorska w Szczecinie, Szczecin
2005.
Pietrzykowski Z. 2007. Assessment of navigational safetyin
vessel trafficinanopenarea, Proc. TransNav2007.
Smolarek L. & SoliwodaJ., 2008, HumanFatigueModel at
MaritimeTransport, Proceedingsof ESREL 2008Confer-
ence.
Smolarek L., 2008. HumanReliability at ShipSafety Con-
sideration, J ournal of KONBiN2(5)2008, pp191206.
SoliwodaJ., 2008. FactorsDeterminingVessel SafetyAssess-
ment in Operation, J ournal of KONBiN 2(5)2008, pp.
239254.
WangWuhong, ZhangDianye, Cao Qi. Reliability analysis
of human error identification in man-machine systems.
SystemEngineering and Electronical Technology, 1997,
(3):7679
592
13.6
Thepossibilityof applicationof algorithmsindicatingmaximumpaths
indirectedgraphsfor modelingof theevacuationprocess
D.H. ozowicka
ABSTRACT: In theintroduction, ways of accounting geometrical, population, environment and procedure
parametersinthecomputer evacuationsimulatingprogramshavebeenshown. Inthepart tofollowthemethod
for graphtheory basedrepresentationof thegeometry of escaperouteshasbeendescribed. Besides, meansof
indicatingthelongest timeof emergencyevacuationisproposedusingamodifiedWarshallsalgorithmtofind
themaximumweightsinthedirectedgraph. Theuseof thealgorithmtoindicatemaximumescaperoutesmakes
it possibletoverifythearrangement of escaperoutesinnewlydesignedor existingships.
1 INTRODUCTION
The trend in building very large passenger ships
imposes a necessity for the safety systems of those
vessels to beconstantly improved. Seavoyages offer
an attractive way of spending free time, therefore
ensuring safety of people on board should consti-
tute an ultimate goal to be pursued, also in case of
emergency evacuation fromavessel. An analysis of
factors affecting the evacuation process should pre-
cedetheactual stageof designingavessel sothat the
risks canbe, at least partially, eliminatedduringship
operation.Forbuildingsashoretheactual timeof evac-
uatingcountstill themoment thebuildingisleft. For
ships, thisprocessshouldbedividedintothefollowing
stages: proceedingtomusterstations, abandoningves-
sel (embarkation on lifesaving appliances and their
launchingorthesamecombinedwithevacuationslide
system).Thetimeincaseof possibleemergencyevac-
uationof peopleshouldnot exceedthetimeavailable
tocarryout theevacuation.
The analysis of evacuating people froma ship is
very complex becauseit involves alargenumber of
factors influencing the evacuation process and spe-
cificconditionsrelatedwiththemarineenvironment.
Modelsaccountingfor potentiallygreatest number of
factors affectingtheevacuationprocess makeit pos-
sibleto obtainresults closeto reality. However, they
areextremelydifficulttoverify.Whileconductingfull
scaleevacuationtrialswecannot hurt thevolunteers,
let thembeaffectedby smoke, etc. whichmakes the
resultsof thosetrialsdifferent fromwhat canhappen
duringtheactual evacuation.
Theoretical analysis andactual trials of passenger
ship evacuation (in order to verify the models) are
carried out by research centres in collaboration with
maritimeadministration, industry and transport. The
development of evacuationanalysisiscoordinatedby
theInternational MaritimeOrganization(IMO).
Fromthe point of view of population of people
taking part in the evacuation, two approaches can
be distinguished. In the first one, referred to as the
global approach, people in motion are treated as a
liquid(hydraulic) medium. Theprocessof movement
is describedby asimpleequationof flowkinematics
(e.g. models: EVACNET4(Kisco&Francis&Nobel,
1998), WAYOUT (Shestopal &Grubits, 1994)). Inthe
individual approachthemovementisanalysed,oftenin
associationwithadefinedpatternof behaviour, sepa-
ratelyforeachparticipantof theevacuation(e.g. mod-
els: Simulex ( Thompson& Marchant, 1995), PedGo
(Meyer- Knig& Klupfel & Schreckenberg, 2001)).
The decision making process of people who take
part in the evacuation is presented in the model on
the basis of a relevant method for the simulation of
humanbehaviour.Theclassificationof modelsaccord-
ing to behavioural systems is as follows (Erica &
Kuligowski & Peacock, 2005):
without behavioural principles (only theaspect of
movement istakenintoconsideration) e.g. models:
EVACNET4, PathFinder (Cappuccio, 2000),
alleged behaviour (models do not declare princi-
plesof behaviour, insteadtheyassumethemonthe
basis of alleged behaviour), e. g. models: PedGo,
Simulex,
behavioural system based on principles (system
if, then), e.g. models: EXITT (Levin, 1998),
E-SCAPE (Reisser-Weston, 1996),
probabilisticbehavioural system(principlesincluded
in themodel arestochastic), e. g. CRISP (Fraser-
Mitchell, 2001), ASERI models (Schneider &
Konnecke, 2001),
behavioural systembasedonartificial intelligence,
e.g. models: Legion(Williams, 2005) Vegas (Still,
1994).
Evacuationmodelsdiffer accordingtotheway the
movement of people is presented. In most types of
593
modelspeoplehavetheir specifictravel speed(actual
data). However, in the instances of a greater den-
sity leadingto queuingtherearevarious methods of
describingthemovementsof people. Inthesituationof
arestrictedflow,thefollowingapproachestomodeling
canbedistinguished:
determiningthespeedandflowof people(individ-
ualsor populations) onthebasisof thegeometryof
theanalyzedspace(density), e.g.WAYOUT, STEPS
(Hoffman& Henson, 1998) models,
establishingindividual distances betweenevacuat-
ingpeopleandpossibleobstacles, e.g. SIMULEX,
VEGASmodels,
calculating the undisturbed flow, then accounting
for disturbances using various coefficients, e.g.
ALLSAFE model (Heskestad& Meland, 1998).
Inall modelsthesurroundingsof evacuationmust
be presented, i.e. the geometry of the interior (cor-
ridors, spaces layout). The space is divided into
subspacesandeachsubspaceisattachedtotheneigh-
bouringones. Usuallytwomethodsareemployed:
space is substituted for a network of polarized
spacesof different shapesandsizes, dependingon
themodel (e.g. PedGo, EGRESSmodels(Ketchell
& Cole & Webber, 1994)), making it possible to
locatean individual evacuated as well as possible
obstaclesbythedeterminationof theexactposition
inthespace(room),
spaceisshownby meansof fieldswhichstandfor
spaces (rooms) or corridors andarenot consistent
with actual dimensions, giving the exact position
of anevacuatedpersoninagivenspace(room) is
not possible; there is only a possibility to move
between the components of the analyzed struc-
ture (e.g. EXODUS model (Gwynne & Galea &
Lawrence& Filippidis, 1998)).
2 THE REPRESENTATIONOF THE
GEOMETRY OF SHIPSESCAPE ROUTES
BASEDONTHE GRAPHTHEORY
Onthebasis of shipevacuationplanit is possibleto
presentthelayoutof evacuationroutesontheship(cor-
ridors, stairwaysandspaces) intheformof ahydraulic
network. In the next stage, utilizing the graph the-
ory and accounting for themovement of passengers
alongescaperoutes, thelayout of theescaperoutesis
broughtdowntotheformatallowingfor further usein
thedesignedmodel of evacuation.
Particular stagesof encodingtheescaperouteslay-
out in the form of the directed graph is shown in
Figure1.
When using this kind of record, it is suggested
that one of the ways of looking for the maximum
evacuationpathbeemployedtoformthemost disad-
vantageousscenarioof evacuation, thatis, tocalculate
the maximumweights of the graph. To this end the
modifiedWarshallsalgorithmwasused(Ross, 2005).
Figure 1. Algorithm of encoding the emergency escape
routesarrangement intotheformof thedirectedgraph.
Figure 2. Escape routes arrangement together with the
directionof theevacuation.
Figure3. Theescaperoutesarrangement isrepresentedas
adigraph.
The devised method will be presented using a
chosenvessel asanexample.
In room PP there are 180 people, who split up
themoment theevacuation commences and proceed
through three exits: towards the staircase b and the
doors a and c. Figure 2 shows the escape routes
arrangement together with thedirection of theevac-
uation.
The escape routes arrangement is represented as
a digraph in which a set of vertices represents the
particular sections of escaperoutes, whiletheedges
represent theconnectionsamongthem(Fig3). Inthe
digraphwhichrepresentsescaperoutes, theweight of
theedgecanbeinterpretedas thewalkingtimeof a
givenevacuationgroupalongthiskindof path.
Tocalculatethetimeof evacuationT
c
, themethod
of calculating theflow of peoplethrough respective
nodesof thearrangement wasused.
594
Thetimeof thetransitof x passengersalongagiven
arc(passageway, space) is:
where: S
Ksr
meanspeedof peoplealongtheescape
routes can beassumed as ca. 0.5 m/s when theship
is listing (Yoshida& Murayama & Itakaki, 2001),
(Ando& Ota& Oki, 1988),
L thelengthof passageways
W
c
thebreadth, measuredbetwenthehandrails, for
thepassageways andstairways, andthedoor breadth
whenfullyopen,
F
s
specific flowis assumedtobe0.43(person/ms)
(acc. SFPE Fire Protection Engineering Handbook,
2ndedition, NFPA 1995),
The time obtained should be increased by coef-
ficients accounting for: passenger age, passageways
inaccessibility, restrictedvisibility, flowof peoplein
the opposite direction and other factors which may
hinder theevacuation.
Theincreasingcoefficients areassumedto be2.3
(IMO, Circular MSC/Circ.1033).
Thetableof theweights of theanalyzed example
hasthefollowingform:
Thesymbol indicates that inthegraphthereis
nopathbetweengivenvertices.
3 WARSHALL ALGORITHM FOR FINDING
THE MAXIMUM PATHS
In connection with the intended adaptation of the
Warshall algorithmfor finding the maximumpaths
all cases of werereplaced by values , whilst
x ==x () for agivenxand-<a
for all real numbersa.
Themaximumweightiscalledthelargestweightof
pathleadingfromonevertixtotheotherandisdenoted
asM.
Thegeneral formulaof theWarshall algorithmto
formthetableof themaximumweights of thegraph
isasfollows(Ross, 2005):
{Data: matrixW
0
of non-negativeedgeweightsof the
directedgraphwithout loopsandmultipleedges}
{Results: matrix M theweight of maximums of this
graph}
{Auxiliaryvariables: matrixW}
W:=W
0
for k=1nperform
for i=1uptonperform
for j=1uptonperform
if W[i,j]<W[i,k]W[k,j], then
replaceW[i,j] withthesumW[i,k]W[k,j]
M:=W
Thecalculationsof themaximumweightsfunctions
tableof theanalysedexampleareasfollows:
Duetothefactthatwedeal withasequenceof events,
thealgorithmistobesimplifiedbecausewefocusonly
onthemaximumpathscomingoutof thevertixPP,that
is, weassumethat i =1.
etc.
As aresult, thefollowingmaximumweights from
thevertixPP areobtained.
Intheanalyzedexampleof escaperoutesarrange-
ment thelongest timeof evacuationamountsto2055
s(ca. 34minutes). Thelongest evacuationtimethere
isfor thefollowingpaths:
PP-a-e-g-h-i-MZ
PP-c-d-g-h-i-MZ
We assume that each of those paths is passed by
60persons. Thosegroupsof peopleachievefollowing
timeof movingbyanalyzededgesof graph:
PP-a(PP-c) -343seconds
c-d(a-e) 357seconds
d-g(e-g) 147seconds
g-h 556seconds
h-i 204seconds
i-MZ 428seconds
595
Alternativepaths (PP-b-f-j-MZ) is definitely shorter
thanabovementioned.
4 CONCLUSION
Thepurposeof thepaperwastopresentanapplication
of theWarshall algorithmtocalculatethelongesttime
of evacuationontheship.
The ship evacuation plan can be presented in the
formof a digraph with assigned weighted edges of
the graph. Then, by applying one of the algorithms
determining maximumpaths, thelongest evacuation
timecanbeset for assumedevacuationscenarios.
The analysed example was simplified by an
assumption that the evacuees would split up pro-
portionally to head for theavailableexits. However,
it is not seldom that everyone chooses one partic-
ular egress (so called herd instinct), leaving the
remaining ones unused. This can ultimately lead to
congestionsor deceleratingtheevacuation. Therefore
thisphenomenonistobetakenintoaccountinfurther
studies.
Themethod of representing theevacuation routes
arrangement as adigraph and theapplication of the
algorithmto determine the maximumpaths enables
the design solutions of escape routes to be verified
bothfor newbuildingsandshipsinoperation.
Atpresentitismandatorytocarryoutanevacuation
analysis for passenger vessels of the ro-ro and high
speedcraft type. However, inthefutureit isintended
to include all passenger vessels carrying more than
1000people. Itshowsthatfurtherstudiesonmodeling
theevacuationprocess areneeded, whichis justified
bythefactthatevacuationscenariosrecommendedby
theIMOareinaccurateandhaveprovedinadequateto
real-lifesituations.
REFERENCES
Ando K.& Ota H. & Oki T. 1988. Forecasting the
flow of people, Railway Research Review, vol. 45,
pp. 814.
Cappuccio J., 2000. Pathfinder: A Computer-BasedTimed
EgressSimulation,Fire Protection Engineering,8,pp.11
12.
Erica D.& Kuligowski R. D. & Peacock A.,2005. Review
of Building Evacuation Models, National Institute of
Standards and Technology Technical Note 1471, U.S.
Government PrintingOfficeWashington.
Fraser-Mitchell J., 2001. Simulated Evacuations of anAir-
port Terminal Building, usingtheCRISP Model, In 2nd
International Symposiumin Human Behaviour in Fire,pp.
89100, Boston, MA.
Gwynne S. & Galea E. R.& Lawrence P.& Filippidis L.,
1998. A Systematic Comparison of Model Predictions
Produced by the buildingEXODUS Evacuation Model
andtheTsukubaPavilionEvacuationData, Applied Fire
Science, 7, pp. 235266.
Heskestad A. W. & Meland O. J., 1998. Determination of
EvacuationTimesasaFunctionof OccupantandBuilding
CharacteristicsandPerformanceof EvacuationMeasures,
In Human Behaviour in Fire - Proceedings of the 1st
International Sympodium, pp. 673680.
Hoffman N. A. & Henson D. A., 1998 Analysis of the
Evacuation of a Crush LoadedTrain in aTunel, In 3rd
International Conference on Safety in Road and Rail
Tunnels, Nice, France.
International Maritime Organisation (IMO), 2002. Sub-
commiteeeonFireProtection, RecommendationonEvac-
uationAnalysisfor NewandExistingPassenger ships, FP
46/WP.10, FP 46/3, FP 46/3/1, FP 46/3/2, FP 46/INF.3,
FP46/UP2, 46-thsession.
International Maritime Organisation (IMO), 2002. Interim
Guidelines for evacuation analysis for newand existing
passenger ships, MSC Circular n. MSC/Circ.1033, 26-th
J une.
Ketchell N. &ColeS. S. &WebberD. M., 1996.TheEGRESS
Code for Human Movement and Behaviour in Emer-
gency Evacuation, In R.A.Smith & J. F. Dickie (Eds.),
Engineering for Crowd Safety, pp. 361-370, London:
Elsevier.
KiskoT.M.&FrancisR.L.&Nobel C.R.,1998.EVACNET4
UsersGuide,Version10/29/98, Universityof Floryda.
Levin B. M., 1998. EXITT: A Simulation Model of Occu-
pantDecisionsandActionsInResidential Fires, (Rep. No.
NBSIR 88-3753), Natl. Inst. Stand. Techno.
Meyer- KnigT.& Klupfel H.& SchreckenbergM., 2001. A
microscopic model for simulatingmusteringandevacu-
ation process onboard passenger ships. In Proceedings
of the International Emergency Management Society
Conference.
Reisser-Weston E. 1996. Simulating Human Behaviour in
EmergencySituations, In RINA, International Conference
of Escape, Fire, and Rescue.
Ross K.A,2005. Matematyka dyskretna. Wydawnictwo
naukowe PWN, Warszawa.
Schneider V. & Konnecke R., 2001. Simulating Evacua-
tionProcesseswithASERI, InTagungsband International
Conference on Pedestrian Evacuation Dynamics (PED),
Duisburg.
Shestopal V. O. & GrubitsS. J.,1994. EvacuationModel for
MergingTraffic Flows In Multi-Roomand Multi-Story
Buildings, In Fire Safety Science, Proceedings of the 4th
International Sympodium, pp. 625632.
Still G. K., 1994. SimulatingEgress usingVirtual Reality -
aperspectiveviewof simulation anddesign, IMAS Fire
Safety on Ships sympodium.
Thompson P. A.& Marchant E., 1995., Testing and Appli-
cationof theKomputer Model SIMULEX, Fire Safety
Journal, 24, pp.149166.
YoshidaK.&MurayamaM.&Itakaki T.,2001.Studyoneval-
uation of escaperoutein passenger ships by evacuation
simulationandfull-scaletrails, INTERFLAME.
WilliamsA., 2005. GowiththeFlow,TheArchitects Journal.
596
Chapter 14. Marine transportation
14.1
Maritimetransport development intheglobal scale Themainchances,
threatsandchallenges
A.S. Grzelakowski
ABSTRACT: International transport is asubject to many regulatory measures workedout by governments,
international organisations (e.g. IMO, ILO, EU), regional institutions and public entities. As a result, such
regulatory mechanism, whichis gettingthroughout international, strongly affects thereal sphereof maritime
transport as well as its productivity and efficiency. Maritimetransport operators haveto apply to many new
standardsandrulesset byinternational publicregulatorsaimedmainlyat improvingandenhancingsafetyand
security at sea. It issometimesvery painful processintermsof costsandtimebut inevitabletosurviveinthe
highlycompetitiveenvironment. Theauthor analysesthenowadaysexistingregulatorymechanisminmaritime
transport andtriestoevaluateit intermsof itsimpact oneffectivenessof maritimetransport processes.
1 INTERNATIONAL MARITIMETRANSPORT
ANDITSGROWINGROLE INTHE GLOBAL
ECONOMY
1.1 The international seaborne trade and world
maritime transport in the global supply chains
Maritime transport remains the backbone of inter-
national trade and the global economy, supporting
stronglytheongoingprocessesof globalization. Ithas
strong position in global supply chains, determining
to great extent their effectiveness and elasticity (see
fig. 1). In2007, thevolumeof international seaborne
trade reached 8.02 billion tons. It means that over
80 per cent of world merchandise trade by volume
isbeingcarriedbysea.
1
Therecent growthintrading
commoditiesvolumetransportedbyseaa4.8percent
increaseyear-on-year washigherthanrecordedinthe
lastdecades. Indeed, duringthepastthreedecades, the
annual average growth rate of world seaborne trade
is estimated at 3.1 per cent.
2
Still relatively strong
demandfor maritimetransport services is fuelledby
growthintheworldeconomy andinternational mer-
chandisetradebeingstimulatedby dynamic increase
inproductionandconsumptioninthemainworldcen-
ters (see fig. 1). In 2007, the world gross domestic
product (GDP) grewat 3.8per cent whileworldmer-
chandise exports expanded by 5.5 per cent over the
previousyear.
3
1
2008. Review of Maritime Transport 2008. Report by the
UNCTAD secretariat. UNCTAD/RMT/2008, NewYork and
Geneva2008, p. 14.
2
Ibidem, p. 1718.
3
Ibidem, p. 21
Figure 1. International maritime transport in the global
logisticssupplychains.
In the recent years economic growth was driven
primarilybyemergingdevelopingcountriesandtran-
sition economies. It has proceeded, despite rising
energy prices with their potential implications for
transport costs andtradeanddespitegrowingglobal
risksanduncertainties.Thereweremanyother factors
determiningincreaseineconomicactivityworldwide.
Amongthemfactorssuchassoaringnon-oil commod-
ity prices, theglobal credit crunch, adepreciationof
the US dollar, and an unfolding food crisis should
becount. Theworldeconomy andtradehave, so far,
599
sustainedall thesenegativetendencieswithsufficient
resilience.
As aresult of growingworldeconomy andconse-
quently international seabornetrade, theworld mer-
chant fleet expanded by 7.2 per cent during 2007 to
1.12 billion deadweight tons (dwt) at the beginning
of 2008. It means that the world tonnage grew 1.5
times faster thanthewordmerchandisetradeinvol-
ume terms carried by sea. In 2007 historically high
demandfor shippingcapacitywasreached. Theship-
pingindustryrespondedtogrowingneedsof theglobal
supplychainsbyorderingnewtonnage. Itappliedpre-
dominantlytothedrybulkvessels. All typesof vessel
orders wereat their highest level ever, reachingover
10,000shipswithatotal tonnageof almost500million
dwt, including222milliondwt of dry bulk carriers.
4
Such a huge influx of new tonnage into the world
fleet over recent yearshascontributedtothedecrease
in the average age of the world fleet to 11.8 years.
Thistendency,despitetheongoingglobal financial and
economiccrisiswill becontinuedinthenext years.
It is to someextent aresult of very highdynamic
of growth in container shipping. Theworld contain-
ership fleet reached in mid of 2008 approximately
13.5millionTEUs, of which11.5millionTEUswere
onfullycellular containerships. Thisfleetincludes54
containerships of 9,000 TEU and above, which are
operatedby fivecompanies: CMA CGM , COSCON
andCSCL, MaerskandMSC.
5
1.2 The main tendencies and occurrences in the
development of maritime transport in the
global scale
Characteristic featureof thecontemporary maritime
transport, asfar asvessels ownershipisconcerned, is
veryhighconcentrationof theworldtonnageinarel-
ativelysmall groupof countries. Asof J anuary2008,
nationalsof thetop35shipowningcountriestogether
controlled 95.35 per cent of the world fleet. It is a
slightincreaseoverthepreviousyearfigure.All exter-
nal factorsunequivocally indicatethat suchtendency
will gradually go ahead in the next years, partially
asaneffect of still growinginternational competition
and already achieved position of the main shipping
countries (economies of scale). Greece continues to
maintainitspredominantposition, followedbyJ apan,
Germany, China, and Norway; together, these five
countriesholdamarket shareof 54.2per cent.
Dueto thestill ongoing flagging out practices in
the world scale, the controlled by nationals of the
4
Thetonnageof dry bulk shipsonorder at theendof 2007
was12timeshigherthanitwasinJ une2002; sincemid-2007,
drybulkordersoutstripthosefor anyother vessel type. See:
Review of Maritime Transport 2008. Op. cit., p. 45,
5
Twelveof themhaveacapacityof morethan10,000TEU;
theseincludeeight12,508TEUshipsownedandoperatedby
Maersk,andfourvesselsof 10,000to10,062TEU,ownedand
operatedbyCOSCON. Comp. Reviewof MaritimeTransport.
Op. cit., p. 45,
ship-owningcountriestonnageis, however, spreadin
secondandmanyopenandinternational registersrun
by foreign countries, so called flag of convenience.
Duetothat, 32per cent of theGreek controlledfleet
use the national flag, versus 68 per cent using for-
eign flags. The J apanese-controlled fleet is 93 per
centforeignflagged.TheGerman-controlledfleetuses
a foreign flag for 85 per cent of it tonnage. More
thanhalf of theGermancontrolledfleet iscomprised
of containerships (50.7 million dwt). As regards the
Norwegian-controlled fleet with 46.9 million dwt,
which still maintaining its fifth- placeranking. 69.7
per cent of thistonnage, isregisteredunder aforeign
flag, and the remaining 30.3 per cent mostly under
theNorwegianInternational ShipRegister (NIS). The
Chinese-controlled fleet is 40 per cent registered in
China, versus60per cent that usesaforeignflag.
The35economieswiththelargest fleetsregistered
under their flag account for 1,033 million dwt, cor-
responding to 92.42 per cent of theworld fleet. The
top5registriestogether accountfor 49.3per cent, and
thetop10registries account for 69.5per cent of the
worlds dwt. It means that thelevel of concentration
of worldwideflaggedout tonnageandreregisteredin
thecountries runningopen, international ships regis-
tersisalmostsimilartothegroupof mainship-owning
(controlling) countries.
The10largestopenandinternational registriesthat
cateralmostexclusivelytoforeign-controlledshipsare
Panama, Liberia, theBahamas, theMarshall Islands,
Malta, Cyprus, theIsleof Man, AntiguaandBarbuda,
Bermuda, and Saint Vincent and the Grenadines.
Although they are in principle open to vessels from
practically any country, most of theminfact special-
izeinsomecountriesof ownership, orincertainvessel
types.
6
Among thetop 35registries, 15cater almost
exclusively for nationals of their own country. They
aree.g. Greece, China, theRepublic of Korea, India,
Germany,J apan,ItalyandtheUnitedStates.Alowpar-
ticipationof foreign-controlledtonnagemaybedueto
two reasons. First, thecountrys laws may not allow
for theuseof its national flagif thereis noadequate
genuinelink betweenflagandownership. Second,
althoughthecountrysregistrymightintheorybeopen
to foreigners, its tax or employment regimeor other
regulationsmaymaketheregistryunattractivetofor-
eignshipowners. Finally, amongthetop35flags of
registration,therearethreesecondorinternational
registries, i.e. registries that allow for theuseof the
national flag, albeit under conditions that arediffer-
entfromthoseapplicableforthefirstnational registry.
6
E.g. morethanhalf thetonnageregisteredinAntiguaand
Barbuda is on containerships, mostly fromGerman own-
ers. Theregistriesthat cater mostly for dry bulk carriersare
Bermuda, Cyprus, Malta, PanamaandSaintVincent andthe
Grenadines; Panamaaloneaccountsfor 33.3per cent of the
worlddry bulk tonnage, mostly fromJ apaneseowners. Oil
tankersaccountfor thelargesttonnageintheregistriesof the
Bahamas, theIsleof Man, LiberiaandtheMarshall Islands.
Comp. Review of Maritime Transport 2008. Op. cit., p. 62,
600
Table1. Operational productivityof thetotal worldfleet in
theperiod19702007(selectedyears).
Year Tonscarried Thousandsof ton-miles
per dwt performedper dwt
1970 7.9 32.7
1980 5.4 24.6
1990 6.1 26.0
2000 7.5 29.7
2006 8.0 32.8
2007 7.7 31.6
Source: Calculations onLloyds Register-Fairplay, Fernleys
Review and Review of Maritime Transport 2008, p. 61.
TheyincludenotablytheNorwegianInternational Ship
Register (NIS), the Danish International Register of
Shipping(DIS), andtheFrenchInternational Register
(RIF). WhiletheDIS isalmost only usedby Danish-
controlledships, boththeNIS andtheRIF alsocater
tosomeforeign-controlledtonnage.
Theaboveindicatedtendenciesnoticedintheinter-
national maritimetransportonitssupply- anddemand
side as well as in its contemporary existing regula-
torymechanism, especiallyrelatingtomerchant fleet
distribution on the basis of tonnage ownership (real
control) andvessels registration(fleet management),
have great impact on world fleet operational pro-
ductivity andits effectiveness. As maritimetransport
constitutesveryimportantlinkinglobal supplychains,
servicingtheprimarymarkets(seefig. 1), suchtrends
and tendencies have to influence significantly effi-
ciency and elasticity of logistics supply chains and
theinternational seabornetrade.Toexaminethescope
and intensity of their impact on secondary and pri-
mary marketsuseby global supply chains, indicesof
operational productivityfor theworldfleet needtobe
analyzed.
Themain indexes of this kind aredefined in tons
andton-miles per deadweight ton(dwt).
7
They show
thestill changingrelationsbetweenthegrowthinthe
supply of tonnage and the growth in total seaborne
tradeas well as inton-miles performedby theworld
fleet, whichcorrespondswithadistanceonetonwas
carriedover. Consequently, as thegrowthinthesup-
ply of thefleet outstrips thegrowthintotal seaborne
trade(it befell e.g. in2007) thetons of cargocarried
perdeadweightton(dwt) decreases. In2007theglobal
averageof tonsof cargocarriedper dwt of cargocar-
rying capacity was 7.7 (see tab. 1); in other words,
the average ship was fully loaded 7.7 times during
that year. During the same year, the ton-miles per-
formedperdeadweightreached31.6; thus, theaverage
dwt of cargocarryingcapacitytransportedonetonof
cargooveradistanceof 31,600nautical milesin2007,
i.e. 87milesper day.
7
Grzelakowski A. S., Transport morski w gospodarce
swiatowej.Przegl

ad Komunikacyjny 2008No. 12, p. 67
Table 2. Tonnage oversupply in the world shipping in
selectedyears(percentages).
Year 1990 2000 2004 2005 2006 2007
9,7 2,3 0,7 0,7 1,0 1,1
Source: Elaboratedondatapresentedby Lloyds Register
Fairplay andLloyds Shipping Economics aswell Review of
Maritime Transport 2008. p. 65.
Theindicesof operational productivityof theworld
fleet presentedintab. 1indicatethat it varies signif-
icantly on the yearly basis. It is a result of freight
marketsdynamic whichreflectstheperpetual chang-
inginsupplyanddemandforshippingservices(fig. 1)
andindirectlyisconnectedwiththelevel of overcapac-
ity generated by shipping operators accomplishing a
strategy of flexibleand efficient demand fulfillment
on thehighly competitivefreight markets. Thelevel
of world tonnage overcapacity (tonnage oversupply)
presentstab. 2.
Explainingthechangingoperational productivityin
theworldtonnage, it is worthy to notetoo, that ship
operators usually in response to high oil prices, are
interestedinreductiontheservicespeedsof their ves-
sels, thussavingfuel. Suchastrategy wastypical for
shippingoperators, e.g. especiallyinliner shippingin
2007. However, withlower servicespeeds, moreves-
selsarerequiredonagivenroute, whichononehand
helps to reduceovercapacity, whileat thesametime
leadingtoareducedoperational productivity.Capacity
constraints andcongestionat ports also haveanega-
tiveimpactonthefleetsproductivity, asshipcapacity
is tiedupwhilequeuing. All thesefactors stemming
fromprimary and secondary markets (fig. 1) their
dynamicandformsof existingconnectionshaveinflu-
encedthelevel of operational productivityof theworld
merchant fleet.
Eventually, as regards world maritime transport
developmentandglobal tendenciesviewedinthatsec-
tor of theworldeconomy, itisnecessarytoemphasise
that it generates costs to shippers, i.e. exporters and
importers of goods carried by sea, hence determin-
ing to someextend thefinal commodities prices in
overseas consumption centers. Total transport costs
implicatingcostsof carriagegoodsonsearoutes, con-
tributesignificantly to shapingthevolume, structure
and patterns of trade as well countries comparative
advantagesandtradecompetitiveness(seefig. 1).
8
Theshareof global freightpaymentsinimportvalue
has reachedontheaverage5.7per cent intheworld
8
Ports and International Transport Costs. UNCTAD Trans-
port Newsletter No. 31, March 2006 and Recent Trends in
Liner Shipping Freight Rates.Transport Newsletter No. 24,
J une2004, Hummels D., TransportationCosts andInterna-
tional Trade in the Second Era of Globalization, Journal
of Economic Perspectives. Volume 21, Number 3, 2007,
p. 131154;
601
scale in the recent five years.
9
It was higher than it
the previous years due to the fact that the rate of
increaseintheworldtotal valueof imports(c.i.f ) was
morethan two times lower over theforegoing years
than the growth rate of total freight paid for trans-
port services. Developing countries and economies
in transition haverecorded thehighest freight costs.
Freightcostsexpressedasapercentageof thevalueof
importsfor bothcountrygroups, havereachedalmost
8.0percent, whiledevelopedcountrieshavethelowest
freight costs, whichareestimatedat ca. 5.1per cent
of thevalueof importsinlast twoyears. It isaresult
of still existingsignificant diversificationinthecom-
modity structure of external trade between well and
lessdevelopedcountries.
While bulk trade, including tanker and dry cargo
dominates worldseabornetrade, containerizedtrade,
as afast growing market segment, is at theheart of
globalizedproductionandtrade. Containerizedgoods
are mostly manufactured goods, which tend to have
higher value per volume ratios than bulk cargoes
likeoil andother commodities andtravel longer dis-
tances,astheyaresourcedmoreglobally.
10
Giventheir
higher value, onaverage, transport costs onvalorem
basismatter lessfor highvaluegoodsthanlowvalue
rawmaterials. Therefore, if higher transportcostwere
to lead to regionalization, lower valuemanufactured
goods (clothing, textile) would likely bemuch more
affected than higher value goods or goods, the pro-
ductionof whichinvolves significant capital or start
upcosts.
11
Higher transport costs are of more relevance for
bulk cargo. To minimize the incidence of transport
costs on low-value/high-volumegoods, importers of
bulk cargo are more likely to source from nearby
providers. For example, oil requirementsintheAmer-
icas are more likely to be sourced from locations
such as SouthAmerica or Mexico or, inAsia, from
neighbouringAsianoil exportingcountries.
12
Futuredevelopmentsintransport costs, production
and tradepatterns will depend, inter alia, on: a) the
riseinoil prices andother relevant factors including
thepotential for substitutionof oil bymoreaffordable
alternative sources of energy; b) the share of trans-
port costs intheoverall productioncosts; c) whether
shifting production closer to themarket is cost effi-
cient, i.e. whether transport cost savingsoutweighthe
potential riseinproductioncosts (wagedifferentials,
9
See: Review of Maritime Transport 2007. UNCTAD. New
YorkandGeneva2007, p. 11.
10
In2006,theshareof manufacturedgoodsexportedglobally
amountedto over 70per cent of thevalueof worldexports
($8.2 trillion out of atotal of $11.5 trillion). Comp. World
TradeOrganization(WTO),StatisticsDatabase,Merchandise
TradebyCommodity, 2006(www.wto.org).
11
Korinek J., ClarifyingTradeCostsinMaritimeTransport,
Working Party of the Trade Committee, OECD, 25 April
2008.
12
SeeRohter, L, ShippingCosts Start to CrimpGlobaliza-
tion, International Herald Tribune, 2August 2008:
cost of energyusedinproduction, environmental reg-
ulation) and, importantly, d/ thetypeof goodstraded/
transported (e.g. bulk or manufactured), their value,
weight, handlingrequirements.
13
2 REGULATORY MECHANISM OF THE
INTERNATIONAL MARITIMETRANSPORT
2.1 The main forms, mechanisms and instruments
of maritime transport regulation in the
global scale
Theaboveindicatedtendenciesandoccurrencestypi-
cal forthislinkof international maritimesupplychains
stemfrommanyfactorsinfluencingthissector of the
worldeconomy. Amongthemthemost important one
isaregulatorysystemof themaritimetransport, thatin
short, midandlongtermplaysasteeringroleof itsreal
sphere. Inillustrativeformitsstructureandcharacter
presentsfig. 2.
Theregulatory sphere(system) of maritimetrans-
port consists of two subsystems, i.e. public, cen-
tral subsystem and autonomous, market subsystem
(fig. 2). The first one, basing on public regulatory
mechanism, comprisesinfact maritimetransport pol-
icy, being regarded as domestic (national) and inter-
national regulatory instrument of the real sphere in
maritime transport sector. The role of international
maritime transport policy formed by international
organizations(IMO, ILO, WTO, ISO) aswell asmany
regional and sub-regional organizations, institutions,
associations, entitiesetc., suchasEU, ESCA, EASA,
EMSA, etc.) hasbeenabsolutelydominantinthepub-
lic regulatory mechanisminrecent years. It is dueto
the fact, that maritime transport is one of the most
internationally oriented transport modes. It operates
in the global scale and generates global challenges
and threats (maritime accidents, oil spillage, waste
disposal atsea, etc.) whichcanbesolvedonlybyinter-
national organizationslaunchingbindinginternational
standards andnormwithrespect towidely perceived
safetyat seaandsecurityissues.
Theregulatory sphere(system) of maritimetrans-
port consists of two subsystems, i.e. public, cen-
tral subsystem and autonomous, market subsystem
(fig. 2). The first one, basing on public regulatory
mechanism, comprisesinfact maritimetransport pol-
icy, being regarded as domestic (national) and inter-
national regulatory instrument of the real sphere in
maritime transport sector. The role of international
maritime transport policy formed by international
organizations(IMO, ILO, WTO, ISO) aswell asmany
regional and sub-regional organizations, institutions,
associations, entitiesetc., suchasEU, ESCA, EASA,
EMSA, etc.) hasbeenabsolutelydominantinthepub-
lic regulatory mechanisminrecent years. It is dueto
the fact, that maritime transport is one of the most
13
UNCTAD/TC/WP(2008)10, LimoN. andVenablesA J.,
Infrastructure, Geographical Disadvantage, Transport Costs
andTrade, Journal of Economic Literature,
602
Figure 2. The regulatory mechanismof the international
maritimetransport.
internationally oriented transport modes. It operates
in the global scale and generates global challenges
and threats (maritime accidents, oil spillage, waste
disposal atsea, etc.) whichcanbesolvedonlybyinter-
national organizationslaunchingbindinginternational
standards andnormwithrespect towidely perceived
safetyat seaandsecurityissues.
Beside international maritime policy, the real
sphereinthistransportsector, beingadomainof thou-
sandsshippingoperators, actinginglobal scaleonthe
one hand but on the other being nationals of many
shippingcountrieswiththeir owneconomic interests
inmaritimetransportdevelopment, hastoberegulated
bydomesticpublicbody(governments) inlinewithits
national objectives. However, theseobjectivesneedto
respect international maritime standards applying to
technical, social, economic and environmental stan-
dards inshippingindustry. Hence, nowadays thereal
magnitude of national transport policy is peripheral
and in practice limited to those areas of regulatory
mechanismwhich are actually outside international
interests(taxation, registrationfees, etc.).
Irrespective of public regulation, the real sphere
of maritime transport is a subject of autonomous
regulatory mechanism, i.e. mainly market mecha-
nism(fig. 2). It is key driving force for supply and
demandside, influencingshort andlongtermbehav-
ior of shipownersandshippersintermsof operational
andstrategic decisionmaking. Market mechanismis
regarded as a dominant resources allocation instru-
ment inmaritimetransport, whichinfact determines
demand distribution and its allotments to particular
shippingoperators andintheenddefines their com-
petitive position (competitive advantage), economic
effectivenessandfinallytheir financial yields.
Dueto thesignificant demandfluctuations result-
ingfromprimarymarkets, thefreightshippingmarket
mechanismisverydynamic, influencingconsiderable
demandandsupplypriceelasticity. It isgenerallyrel-
atively low (lower in liner shipping sector than in
irregular tramp shipping), being in fact partially
determinedbythepriceelasticityof demandfor com-
modities transportedby sea. Primary markets their
dynamic onthesupply anddemandside beingser-
viced by maritimetransport to great extent assign
demandfluctuationonsecondaryfreight marketsand
inthatwaydeterminetheirdynamic. Itappliestoother
markets as well, that usually have great impact on
freight marketsandcansignificantly indirectly influ-
encethestrategiesof shippingoperatorsintheglobal
scale, changingtheircostsandincomesaswell astheir
competitiveadvantages.
2.2 Freight markets as an autonomous regulatory
mechanism in the international maritime
transport
Asit wasearlier mentioned, market mechanismregu-
latesthereal processesinthemaritimetransportsector
inshort- mid- andalongrun,influencingsubsequently
the behavior of shipowners and their decision mak-
ingprocesses(market choices). Itsimpact onthereal
sphereintheglobal maritimetransportwasespecially
pronouncedinrecent two years, inthat period, when
bunker prices exploded, changing the previous cost
structure dramatically to shipowners disadvantage.
These market changes and the forms of ship opera-
tors reactions against suchglobal market events, are
presentedbelow.
Fuel costsdetermineindirectlytradecosts, asdirect
transport costsintheformof freight ratesconstitute,
asearlier indicated, afractionof theentiretradetrans-
action costs. Maritime freight rates themselves are
determinedbymanyotherfactors, suchastradeimbal-
ances, economiesof scale, levelsof competition, port
infrastructure, typeandvalueof thegoodstradedetc.
WhenshipbunkeringpricesinRotterdamwere83per
cent higher in J une2008than in J une2007, and the
bunkeringbillsof major shippinglineswereonaver-
age67per centhigher inthefirstquarter of 2008than
in the first quarter of 2007, fuel costs grew signifi-
cantly, beingestimatedtoaccount for morethanhalf
of theoverall operatingcosts of ashippingcompany
at that time.
14
Accordingto Germanischer Lloyd, by
November 2007, fuel accountedfor 63per cent of the
operating costs of an 8,000-twenty-foot-equivalent-
unit(TEU)containership. Itshouldbenoted, however,
that, becauseof theabundanceof fuel oil intheworlds
major bunkeringports, shipbunker pricesluckilydid
not hit therecordlevelsof crudeoil prices.
14
BenamaraH., ValentineV., FugezaM., Fuel prices, trans-
port costs and thegeography of trade. UNCTAD Transport
Newsletter. TradeLogisticsBranch. No. 39, SecondQuarter
2008, p. 56.
603
At suchconjunctureshippersweretryingtoensure
that containers are fully loaded, and they are using
more cross-docking and intermodal rail.
15
These
strategies are not only offsetting high energy costs,
but arealsousedtoobtainmoreefficiency andlong-
termsustainability fromtheir distribution networks.
As a result, no mechanismis in placeto deflect the
full effectof risingpricesfrommaritimetransportend
users.
Themaritimeindustrycan, however, takeactionto
avoidspiralingfreight rates. Theindustryhasalready
reactedtorisingoil pricesbyreducingsailingspeeds
and by reorganizing services. It is estimated that a
10 per cent reduction in speed can lead to a 25 per
cent reduction in fuel consumption.
16
According to
Hapag-Lloyd, althoughalower speedimpliedlonger
voyages, extraoperatingcosts, charter costs, interest
costs and other monetary losses, slowing down still
paidoff handsomely.
Additionally, theshippingindustryhasbeeninvest-
ing in more fuel-efficient technologies (hull design,
propulsion, engines) and alternative energy sources.
Morerecently, windenergyisattractingattentionwith
giant kites beingtestedonsomefreighters (e.g. MV
Beluga SkySails). By using the SkySails system, a
ships fuel costs can be reduced by 10 per cent to
anannual averageof 35per cent, dependingonwind
conditions. Under optimal windconditions, fuel con-
sumptioncantemporarily bereducedby upto50per
cent.
17
Whiletheshippingindustrymayinsomecases
beableto absorbraisingcosts without passingthem
ontoshippers, ingeneral, cost- recoverymeasuresin
theformof bunker adjustment factor (BAF) charges
areintroduced.
Moreover, newopportunities to realizesavings in
transport costs may emerge in the context of global
warming. Theeffect of risingoil pricesandtransport
costs may beoffset by savings that couldbederived
fromfull-year operation of the Northern Sea Route
andtheopeningof theNorthwest Passage.
The shortcuts offered by the new shipping lanes
wouldcut transport costs andthereforebenefit glob-
alizationandcreatefurther competitionwithexisting
routessuchasthePanamaandSuezcanals.TheNorth-
westPassagewouldoffer anewroutebetweenEurope
and Asia that is 9,000 kmshorter than the Panama
Canal routeand17,000kmshorterthantheCapeHorn
route. Takinginto account canal fees, fuel costs, and
other relevant factorsthat determinefreight rates, the
newtradelanescouldcutthecostof asinglevoyageby
15
See: Weak dollar helpspushbunker pricesback torecord
levels. Lloyds Ship Manager, May 2008 and DiBenedetto
B. Fuel burn: Risingenergycostsarespurringcompaniesto
reevaluatesupplychains. TheJ ournal of CommerceOnline.
18J une2008.
16
KirschbaumE. Harnessingkitepower to aship. Interna-
tional HeraldTribune. 20J anuary2008.
17
Additional information on SkySails systems and MV
Beluga SkySails can be found at http://www.skysails.info/
index.php?L=1.
alargecontainer shipbyasmuchas20per cent, from
approximatelyUS$17.5milliontoUS$14millionand
would save the shipping industry billions of dollars
ayear.
18
Thesavings wouldbeevengreater for very
largevesselsthatareunabletofitthroughthePanama
andSuezcanalsandsocurrentlysail aroundtheCape
of GoodHopeandCapeHorn.
19
All above presented shipowners strategies and
forms of conducts and behaviors undertaken in
responseto market pressure, aimed at better supply-
side applying to the new demand-side constellation,
clearlyreflectthereal regulatorypowerof freightmar-
kets and their impact on maritime transport sector.
Hence, inspiteof growingglobalizationandinterna-
tionalizationof shippingindustry, market mechanism
appears to be still dominant regulatory power in
maritimetransport sector.
2.3 International maritime transport policy and its
regulatory role of global shipping industry
International maritime transport policy, created
directly or indirectly by international organizations
(i.e. IMO, ILO, HELCOM, EMSA) andinternational
(regional)groupingsof countries(EU,NAFTA,BSSC,
etc.), constitutes incontemporary worldvery impor-
tant andpowerful regulatorymechanismof thewhole
shipping sector. It completes the still functioning,
typical for this open, international transport sector,
autonomous regulatory mechanism. Thelatter, how-
ever, dueto commonly knownweaknesses, is infact
unable to solve many nowadays emerging serious
threats caused by shipping activity in global scale
andproblemsaffectingmaritimetransport(safetyand
security, social andenvironmental problemsandmany
others). Consequently, it has to be supplemented by
additional, public regulatory regime worked out by
strongandinfluential international bodies.
Tothat groupbelongsprimarily IMO, whichplays
themostimportantroleincomposingsuchregulatory
subsystemin the world scale. The majority of con-
ventions adopted under the auspices of IMO or for
whichthis organizationis otherwiseresponsible, fall
intothreemaincategories.Thefirstgroupisconcerned
withmaritimesafety; thesecondwiththeprevention
of marine pollution; and the third with liability and
compensation, especiallyinrelationtodamagecaused
by pollution.
20
Outside these major groupings are a
number of other conventionsdealingwithfacilitation,
tonnagemeasurement, unlawful actsagainst shipping
18
BenamaraH., ValentineV., FugezaM., Fuel prices, trans-
port costsandthegeographyof trade. Op.cit., p. 8
19
Begerson S. G., Arctic Meltdown The Economic and
Security Implications of Global Warming. Foreign Affairs.
March/April 2008.
20
The full compilation of all IMO conventions and pro-
tocols amending the conventions along with their status
indicating the date of entry into force, number of con-
tracting states as well a tonnage percentage covered by
each of thoselawful instruments is listed on IMO website:
www.imo.org/Dynamic/Search/Index.asp
604
and salvage, etc. Taking into account thenumber of
the IMO regulatory instruments existing in formof
conventionsandprotocolsamendingthefirst ones, as
well asnumber of contractingparties(countries) and
thepercentageof world tonnagecovered by each of
those legal instruments, it may be claimed that this
organizationcreatesareal global shippingpolicycon-
stitutingthebackboneof theworldmaritimetransport
regulatorymechanism.
InadditiontoIMO, informationthewidelyunder-
stood economic, social, technical and environmental
order intheworldshippingindustryparticipatesILO,
too. It prepares conventions and recommendations
concerningregulationof social standardsinmaritime
sector. Theorganization has set out many minimum
requirementsfordecentworkinthemaritimeindustry.
Recently, in2006, ILOhasadoptedanewconsolidated
Convention (C 186) that provides a comprehensive
labor charter for theworlds1.2millionor evenmore
seafarers, addressingtheevolvingrealitiesandneeds
of a sector that handles 90 per cent of the worlds
trade.
21
ThenewILOs MaritimeLabor Convention, 2006
clearly sets out a seafarers bill of rights. Its pro-
visions will help to meet the demand for quality
shipping, whichiscrucial totheglobal economy. The
conventionwill applytoall shipsengagedincommer-
cial activitieswiththeexceptionof fishingvessels.The
new Convention consolidates and updates 68 exist-
ingILOmaritimeconventions andrecommendations
adopted since1920, among themconvention 147 of
1976/Merchant Shipping (Minimum Standards) Con-
vention, conventionC165(1987), C178andC180of
1996, simultaneously enforcing revision of 37 other
ILOsconventions.
22
The new convention is designed to encourage
compliance by operators and owners of ships and
strengthen enforcement of standards at all levels,
including provisions for onboard and onshore com-
plaintproceduresfor seafarersregardingtheshipown-
ersandshipmasterssupervisionof conditionsontheir
ships,theflagStatesjurisdictionandcontrol overtheir
ships.
The Convention sets minimum requirements for
seafarers to work on a ship and contains provisions
onconditionsof employment, hoursof workandrest,
accommodation,recreational facilities,foodandcater-
ing, healthprotection, medical care, welfareandsocial
securityprotection.
Under the new convention, ships that are larger
than 500 GT and engaged in international voyages
or voyages betweenforeignports will berequiredto
carryaMaritimeLabor Certificate andaDeclara-
tionof MaritimeLaborCompliance.TheDeclaration
setsoutshipowners plansfor ensuringthatapplicable
21
www.namma.org/resources/iloNewCharter2006.htm
22
Countries that do not ratify the new Convention will
remain bound by the previous Conventions that they have
ratified, althoughthoseinstrumentswill beclosedtofurther
ratification.
national laws, regulationsor other measuresrequired
to implement the Convention are complied with on
anongoingbasis. Shipmasters will thenberesponsi-
blefor carryingout theship-owners statedplansand
keepingproperrecordstoprovideevidenceof compli-
ancewiththeconvention.TheflagStatewill reviewthe
shipowners plansandverifyandcertifythat theyare
inplaceandbeingimplemented.Thiswill putpressure
onshipownersthat disregardthelaw, but will remove
pressurefromthosethat comply.
Discussinginternational maritimetransport policy,
it shouldbenoticedthat EU isstronglycommittedin
setting-up such regulatory mechanismand not only
within theCommunity. TheEuropean Commissions
transport policy aimsat theharmoniousperformance
of theEuropeanmaritimetransportsystemasawhole.
It hasperformedat oncetwostrategicgoals. Over the
years, theCommission has built aquitecomprehen-
siveregulatoryframeworkencouragingtheefficiency
of ports and maritime transport services, inter alia
reinforcingmarketpositionof EUfleetflyingmember
states flagsandstrengtheningcompetitiveadvantages
forEUshipownersinbenefitof all othereconomicsec-
torsandof thefinal consumersononehandandsafety
aswell assecurity inshippingactivitiesontheother.
TheCommission supports actively theefforts of the
EU member states to promoteaEuropean merchant
fleetofferingqualityshippingservicesinEuropeand,
what is important, all over the world. The Commis-
sionisalsopromotingshort seaconnectionsbetween
all themaritimeregionsof theEuropeancontinent, as
thistransportmoderepresentsanopportunitytosolve
roadcongestionproblemswhilereducingsignificantly
theenvironmental impact of theoverall transport and
supply chains. Thanks to theCommissions decisive
action,Europeisprotectedtodaywithverystrictsafety
rules preventing sub-standard shipping and reduc-
ingtherisk of environmental catastrophes (i.e. strict
requirements for double hull tankers, accelerating
phasing-out single-hull tankers, etc). The recent EU
actions and regulations concerning maritime safety
will, hopefullylimit thenumber of themaritimeacci-
dents. The packages Erika I, Erika II or the newest
third package of maritime safety measures should
yieldgradual butsignificantimprovementof maritime
safety
23
. TheCommissionalsoworksactivelyagainst
piracy andterrorismthreats. Other important fieldof
activityof theECconcernsthesocial dimension, look-
ingafter workingconditions, healthandsafetyissues
and professional qualifications of seafarers. Finally,
theECworksfor theprotectionof citizensasusersof
maritimetransport services, ensuringsafeandsecure
conditions, looking after their passengers rights and
examiningtheadequacyof thepublicservicemaritime
transportconnectionsproposedbyEUmember states.
Last but not least, dueto thegrowingenvironmental
constraints, maritimetransport isalsoregardedinthe
EUasthepotential areaof theinternalizationof exter-
nal costsitsgeneratesintheglobal scale. Admittedly,
23
2006. Maritime Transport Policy. EuropeanCommission.
605
itparticipateintotal sumof external costsatrelatively
lowlevel, but somecost categoriesrelatingtoair pol-
lution (SO
x
, NO
x
, etc.) and ships accidents (mainly
oil spills) regarding as typical maritimeexternalities
amount toquitesignificant sumsinglobal scale. Due
to that, in close cooperation with IMO, EC intends
withintheEUssustainablemaritimetransport policy
to include this sector into its regulatory framework
concerninginternalizationof external costs.
24
Incase
of accomplishingthatobjective, itwouldbethedeeper
everyknownformof publicinterventionintothereal
sphereof international maritimetransport.
3 CONCLUSIONS
Currently functioning maritime transport regulatory
systemwith its typical dual mechanisminteracting
international shippings real sphere, strongly affects
both operational sphere and development of mar-
itimetransport inglobal scale. Therearewidely seen
numerous global effects of its regulatory activity,
suchas:
1. creation of international order in this transport
sector basedoncommon, widelyacceptedinterna-
tional standards relatingto technical, operational,
economic, social andenvironmental aspects,
2. growingsafetyandsecurityatseaaswell assecurity
of maritimesupply chains; it means, that shipping
isgettinglessriskyandmorereliableasamodeof
transport, strongly supportingthedevelopment of
seabornetrade,
3. enhancingintermodal competitivenessof maritime
transportoperators, especiallyagainstroadhaulage
carriersbypromotingshort seashipping, develop-
ment of intermodal transport andnewconceptsof
logisticssupplychainmanagement. Consequently,
maritime transport will be stronger committed
in accomplishment widely promoted strategy of
sustainable development (EC concept of Greener
Transport),
4. increaseinmaritimetransport operational produc-
tivitywhichshouldbringaboutitshigherefficiency
and effectiveness in term of time and costs of
handlingseabornetrade,
5. encouraging technical and technological progress
in shipping industry as well as widely perceived
innovation; among others in the area of the fleet
operationandmanagement (logisticsconcepts),
6. reductionof vessels lifecyclesinpurelytechnical
andeconomic terms, speedingupimplementation
of digressivemethodsof shipsdepreciation,
7. growingpurchasingcosts of newtonnageas well
as exploitation costs of the existing fleet (results
of necessary technical conformity), which will
undoubtedly strengthen the competitiveness in
maritimetransport and subsequently thepressure
24
Greening Transport. COM(2008)433 final. Brussels.
8.7.2008
towardsfurther capital concentrationbothvertical
andhorizontal inthistransport sector.
Theexisting(dual) regulatory mechanisminship-
pingsector, consistingof twointheir naturedifferent
subsystems, needs to be internally coherent and not
self-contradictory.Asaresultof growinginternational
public regulation (safety and security reasons), mar-
itime transport sector is getting more international
eveninthat sensethat its globally dispersedmarkets
becomemoreinternational andunified. Consequently,
autonomous regulatory subsysteminmaritimetrans-
portbecomesmorehomogenousandcoherentaswell.
Theprocess of relatively extensivepervading public
regulatorymechanismintoautonomousonewill have
tolastaslongasfreightmarketsbeingunderthegrow-
ingpressureof international maritimetransportpolicy
wholly accumulate and in the end incorporate main
objectivesof publicregulation. Itmayabideverylong,
beingdeterminedtosomeextent by thedevelopment
of commoditymarkets(primaryones).
REFERENCES
BegersonS. G,. 2008.ArcticMeltdown TheEconomicand
SecurityImplicationsof Global Warming.ForeignAffairs.
March/April.
Benamara H., ValentineV., Fugeza M., 2008. Fuel prices,
transport costs and the geography of trade. UNCTAD
Transport Newsletter. Trade Logistics Branch. No. 39,
SecondQuarter, DiBenedettoB. 2008. Fuel burn: Rising
energycostsarespurringcompaniestoreevaluatereeval-
uatesupplychains. The Journal of Commerce Online. 18
J une.
Grzelakowski A. S., 2008. Transport morski wgospodarce
swiatowej. Przegl ad Komunikacyjny. No. 12
Hummels D., Transportation Costs and International Trade
ithe Second Era of Globalization, Journal of Economic
Perspectives. Volume21, Number 3.
Kirschbaum E. 2008. Harnessing kite power to a ship.
International Herald Tribune. 20J anuary
Korinek J., ClarifyingTrade Costs in MaritimeTransport,.
2008. WorkingPartyof theTradeCommittee, OECD, 25
April.
LimoN. andVenablesA J., 2007. Infrastructure, Geograph-
ical Disadvantage, Transport CostsandTrade, Journal of
Economic Literature.
MerchandiseTradebyCommodity.StatisticsDatabase.2006.
WorldTradeOrganization(WTO) (www.wto.org).
Ports and International Transport Costs. 2006. UNCTAD
Transport Newsletter No. 31, March.
RecentTrendsinLiner ShippingFreight Rates. 2004. Trans-
port Newsletter No. 24, J une.
Review of Maritime Transport 2007. 2007. NewYork and
Geneva. UNCTAD. p. 11-6.
Reviewof MaritimeTransport 2008. ReportbytheUNCTAD
secretariat. NewYorkandGeneva. UNCTAD.
Rohter, L, 2008. Shipping Costs Start to Crimp Global-
ization. International Herald Tribune, 2 August UNC-
TAD/TC/WP(2008)10.
Weak dollar helpspushbunker pricesback torecordlevels.
2008. Lloyds Ship Manager, May.
http://www.skysails.info/index.php?L=1.
www.imo.org/Dynamic/Search/Index.asp
www.namma.org/resources/iloNewCharter2006.htm
606
14.2
MaritimesafetyinEuropeanconcept of theinternalizationof
external costsof transport
M. Matczak
ABSTRACT: Efficientandeffectivetransportsystemisthekeyelementforthefuturedevelopmentof European
economy. Simultaneously, theprocessof transport development isconnectedalsowiththenegativeeffectsfor
environment and society. For that reason, the concept of internalization of all external costs of transport is
developinginEuropeanUnion. Theconceptcharacteristicsandspecificityinthemaritimetransportisthemain
issueof thefollowinganalysis. Thespecial interest is focusedonthemaritimesafety, oneof thekey external
cost category.
1 CONCEPT OF THETRANSPORT EXTERNAL
COSTSINTERNALIZATION
1.1 Definition and characteristic of the external
costs of transport
Thetransport sector havetoday asignificant impor-
tanceinglobal economy anddevelopment. Bringthe
people closer together, help in the production and
service activity. Simultaneously, is itself the crucial
part of economy. In Europe, is responsible for 10%
of European gross domestic product and employs
about10millionpeople(2001.White Paper. European
transport Policy for 2010: time to decide. European
Commission). Despitethewholepositiveinfluenceon
theglobal economy andsociety, transport is also the
sourceof unwelcomeeffects. Unfortunately, only the
part of that negativeinfluenceisborebythetransport
providers (private costs). Huge amount that effects,
calledexternal isburdeningof society, environment
of national budgets. Thecurrent methodology of cal-
culation is making possible a financial expression
of these effects external costs of transport. What
is more, these costs are not borne by the transport
users and hence not taken into account when they
makeatransport decision (2008. Handbook on esti-
mation of external costs In the transport sector. Delft,
Netherlands).
Themostimportantcategoriesof theexternal costs
of transport are:
transport congestion(infrastructurescarcity);
accidents;
air pollution;
noise;
impactsonclimatechange;
natureandlandscape;
water andsoil pollution;
costsinsensitiveareas;
up- anddownstream;
urbaneffects;
costsof energydependency.
Thecostsof congestion couldbereflectedby: travel
timeincreases, vehicleprovisionandoperatingcosts,
disamenitiesincrowdedsystem, additional fuel costs
reliability, scarcityof slots. Incaseof accidents costs
theexternal partisconnectedwiththepartof costsare
notcoveredbyriskorientedinsurancepremiums, like:
material damages, administrativecosts, medical costs,
production losses and the so called risk-value as a
proxytoestimatepain, grief andsufferinginmonetary
values.Air pollution isthenextkindof costs, reflected
mostlybyhealthcosts, buildingandmaterial damages,
croplossesinagricultureandimpactsonthebiosphere
or impact on biodiversity and ecosystems. Noise is
also important negative effect of transport activity.
Its level could beestimated on thebasis of costs of
annoyance or health costs (hearing damages or ner-
vousstressreaction). Thekeyareasof climate change
costsassessment aresealevel rise(additional protec-
tion), energyuse(heating), agricultureimpacts(crops
changes), water supply, health impact (heat or cold
stress), ecosystemsandbiodiversity(extinctionof vul-
nerablespecies). Thefollowingsortsof external costs
areregardedasthelessimportantandmoredifficultto
estimate. Nature and landscape effectsinfluencingon
habitat loss, habitat fragmentation or habitat quality
loss. Thewater and soil pollution areconnectedwith
therepair costsor healthcostsfor humanbeings. The
indicationof sensitive areas external costsiscausedby
higher environmental pressureinthat placesandtak-
ingintoconsiderationtheall kindsandtypesof costs.
The up- and downstream costs are generated in the
otherareasof economybytherearecausedbytransport
development (energy production, vehicleproduction,
infrastructureconstruction). Thenext sort of external
costs urban effects aremadeby other participants
of motorized traffic on theurban areas (pedestrians,
607
Table1. Total external costs(excludingcongestion) bycost
categoryandtransportmodein2000(millionEuroperyear).
In.
Road Rail Air navig. Total
Accidents 155,588 262 590 0 156,439
Noise 40,410 2,136 3,098 0 45,644
Air pollution 164,282 4,447 4,235 1,652 174,617
Climatechange 112,383 2,894 79,931 506 195,714
Nature& 18,359 266 1,298 91 20,014
landscape
Up/Downstream 43,483 1,748 1,762 383 47,376
Urbaneffects 9,909 563 0 0 10,472
Total (EU 17) 544,415 12,315 90,914 2,632 650,275
% 83.7% 1.9% 14.0% 0.4% 100%
Source: 2004. External costs of transport. Update study.
Summary. INFRAS, Zurich/Karlsruhe, October.
cyclists, etc.). Theyaremostlyregardedastimelosses
or scarcity problems. The last sort of external costs
is the energy dependency resulted fromthe unequal
distribution of energy sources. For that reason, the
costsduetotransferof wealth, potential GDPlossesor
macroeconomicadjustmentscostscouldbeforeseen.
AccordingtotheestimationtheEUfinancial losses
connectedwiththeenvironmental or congestionprob-
lems are indicated on the level of 1% of EU gross
domestic product each (2006. Keep Europe moving
Sustainable mobility for our continent. European
Commission). Theimportant issueis also themodal
andstructureof thetransport external costs category
(Table1).
Themostimportantsortof external costs, responsi-
blefor about30%of total sumisclimatechanges.The
followingpositionareoccupiedbyairpollution(27%)
andaccidentscosts(24%). Thenext kindsof external
costs haveonly about 7-5%of total share. Two third
of total cost isconnectedwiththepassenger transport
(privatepassenger cars). Themodal comparing indi-
cates on the leading role of road transport (83.7%).
For that reasontheroadtrafficisthebest reconnoiter
modeof transport intheaspect of external costs.
1.2 The concept of internalization of the external
costs of transport
Theinternalization concept is based on theassump-
tion, that, external effects should also be taken into
considerationinthedecisionmakingprocess. Itiscon-
nectedwiththerapidgrowthof global transport and
increasingroleof external, negativeeffectswhichare
produced.
TheseinitiativehasbeenpresentedintheEuropean
Uniondocumentsfor years(e.g. GreenBook (1995),
WhitePapers(1998, 2001, 2006)).
Theaims of implementation of theexternal costs
internalizationaredefinedlike, thefollowing:
Improvementof transportefficiency, botheconom-
ical and environmental (use of infrastructure and
rollingstock);
Guarantee fairness between transport modes (fair
priceconsidering);
Improvesafetyandreduceenvironmental nuisances
of transport.
AccordingtotheEuropeanconcept, themost effi-
cient way of internalization is the proper regulation
of the transport activity. The market - based instru-
ments, liketaxes, charges, emissiontradingshouldbe
used. In accordancewith thetheory assumption, the
calculationshouldbebasedonthemarginal costs.
Themost important challengeis thedetailedesti-
mationof theregulation(financial burden) level. The
two main approaches to the marginal external costs
estimation are indicated in the literature: bottom-up
or top-down approach. In first case, the calculation
isbasedonthespecific casestudies. Theseapproach
couldbringthedetailedoutcomesbut it iscostly and
difficult to generate. On the other hand (top-down
approach), thetotal valueof external costsisdivided
betweenparticular modes. Thedifferentiationof traf-
ficconditionorstockcategoriesmakethemethodvery
imprecise(2008. M. B ak, B. Pawowska: kalkulacja
kosztw zewn
etrznych transportu krok naprzd w

polityce Unii Europejskiej. Materiay konferencyjne,
EuroLog2008, Warszawa).
Despitetheadvancedworksonthemethodologyof
external costs calculation, it is difficult to recapitu-
latethat thesystem is ready for implementation. It
is still very complicated and difficult for the trans-
port practice. What is moreimportant, thereno exist
theproper political climate for implementation. On
theonehand, thetransport companies andusers will
protest against theincreasingburdenof serviceactiv-
ity(especiallyroadhaulers), ontheother thefinancial
crisis is additionally postponingthepotential dateof
start. It iscrucial, that therenoexistsreliableanalysis
of theinfluenceof internalizationonthefunctioning
of theEuropeantransport market.
2 THE EXTERNAL COSTSOF MARITIME
TRANSPORT
2.1 Crucial aspects of maritime transport external
costs calculation
The external costs of maritime transport are the
most poorlyrecognizedcategoryamongthetransport
modes. Thereexist several reasonsof that situation.
First is the international character of maritime
traffic, separated fromthe land areas. Thanks that,
maritimetraffichavelimitedinfluenceonsocietyand
its activities (spatial separation). The next reason is
restricted scope of maritime infrastructure problems
anditsrelativelyhighcapacity(observedonlyincase
of particular seaports, straits or canals). The other
incentiveof lowimportanceof maritimetrafficinthe
internalization concept is the relatively low level of
generated costs. The crucial aspect of the maritime
traffic analysis is also discrepancy between infras-
tructure and shipping in the light of external costs
characteristics.
608
Table2. Accidents costs in maritimeshipping in selected
Europeancountriesin1998(million).
External accidents Internal accidents
costs costs
Finland 0.5 91
Greek 30 37
Italy 0.5 5
Sweden 6 75
Spain 15 236
Netherlands 1 4
Source: 2003. UNITE. Deliverable8&12.
Simultaneously, theessential problemintheanal-
ysis process is thelimitedaccess to thedetailedand
proper dataconcernthemaritimetraffic.
Despite the problems indicated above, all costs
categories in maritime transport could be indicated
andcalculated. For thesimplificationof theanalysis
thescopeof interest is limitedto theaccidents costs
resultedfrommaritimeshippingactivity.
2.2 Maritime accident external costs in the
internalization process
Theestimationof themaritimeaccidentcostsneedsthe
detailedindicationof themostimportantcategoriesof
theeffects. Itiscausedbythemuchmorecomplicated
natureof seaaccidentsthaninothermodeof transport.
Themaindifferenceistheappearanceof coupleof cost
categories caused by the occurrence. The following
cost categoriescouldbeobserved:
Costsof damagetoships;
Costsof damagetoinfrastructure;
Costsresultingfromhumaninjuryanddeath;
Environmental damages(e.g. pollutions, natureand
landscapecosts);
Operational damages(e.g. sunkenvesselsblocking
thewaterway);
Administrativecosts (2001. UNITE. P. vanDonse-
laar, H. Carmighelt. Workpackage5/8/9., s. 40).
It is extremely difficult to present completeanal-
ysis of the external accidents cost of maritime traf-
fic. However, thereis somedata reflected this issue
(Table2).
Itcouldbestatedthatthepartof about10.6%isthe
external costsof maritimeaccidents.Thatismeanthey
arecovered byenvironmentorsociety.Thefollowing
partaretheprivateone.Themostimportantarehuman
injuryor deathandof courseenvironmental damages.
Theproblemof thevalueof human health or life
is oneof thebasic intheexternal costs concept. It is
extremelydifficult toexpressthelifesvalueinfinan-
cial category, thereforethetheory call thesekind of
costs like value of casualties avoided. The table 3
presenttheaccessibleoutcomesof thestudyingissue.
Theaveragevalueof fatality avoidanceiscounted
on 1.3mEuro, severe injury 177.1 thou. Euro and
slight injury13.1thou. Euro.
Table3. Estimatedvaluesforcasualtiesavoidedintransport
(thou. 2002).
Country Fatality Severeinjury Slight injury
Austria 1760,0 240,3 19,0
Belgium 1639,0 249,0 16,0
Cyprus 704,0 92,9 6,8
Czechrepublic 495,0 67,1 4,8
Denmark 2200,0 272,3 21,3
Estonia 352,0 46,5 3,4
Finland 1738,0 230,6 17,3
France 1617,0 225,8 17,0
Germany 1661,0 229,4 18,6
Greece 836,0 109,5 8,4
Hungary 440,0 59,0 4,3
Ireland 2134,0 270,1 20,7
Italy 1430,0 183,7 14,1
Latvia 275,0 36,7 2,7
Lithuania 275,0 38,0 2,7
Luxembourg 2332,0 363,7 21,9
Malta 1001,0 127,8 9,5
Netherlands 1782,0 236,6 19,0
Norway 2893,0 406,0 29,1
Poland 341,0 46,5 3,3
Portugal 803,0 107,4 7,4
Slovakia 308,0 42,1 3,0
Slovenia 759,0 99,0 7,3
Spain 1122,0 138,9 10,5
Sweden 1870,0 273,3 19,7
Switzerland 2574,0 353,8 27,1
UnitedKingdom 1815,0 235,1 18,6
Ave. 1302,1 177,1 13,1
Source: 2008. Handbook onestimationof external costs In
thetransport sector. Delft, Netherlands.
The analysis of these costs structure indicates
that thetotal premiumpaid by insurancecompanies
amountsto50%of theinjuryanddeathcostsfor vic-
tims(Calculationforinlandnavigation. 2001. UNITE.
P. vanDonselaar, H. Carmighelt. Workpackage5/8/9.,
s. 42). Therefore, thehalf of thecost could beindi-
catedlikeexternal. Lookingintomaritimestatistics,
theaverageannual numberof fatalitiesatseaaccounts
for 608 (based on the period 1989 2004) (2005.
Casualty statistics and investigations. Annex2. IMO,
London 23 February). It could be resumed, that the
annual external accidentscost referringtohumanlife
inthemaritimetransport isabout 3.95billionEuro.
The second type of external effects caused by
maritime accidents are environmental damages. The
various categories of costs could be indicated with
correspondencetoenvironment.Thereare: pollutions,
natureandlandscapecosts, costsinsensitivearea, etc.
Inmaritimepractice, thefollowingkindsof costsare
defined:
Natural Resource Damage Costs (NRDA), which
arebased on estimated costs to restoreequivalent
resourcesand/or ecological services.
Socioeconomiccostsincludingdamagestoreal and
personal property, loss of useof natural resources
(parksandrecreationareas), andlossof incomeand
609
Table4. Selectedmajor oil spillsInEurope.
Nameof ship Year Location Oil lost (t)
AmocoCadiz 1978 Off Brittany, France 223000
Haven 1991 Genoa, Italy 144000
TorreyCanyon 1967 ScillyIsles, UK 119900
IrenesSerenade 1980 NavarinoBay, Greece 100000
Urquiola 1976 LaCoruna, Spain 100000
Independienta 1979 Bosphorus, Turkey 95000
J akobMaersk 1975 Oporto, Portugal 88000
Braer 1993 ShetlandIslands, UK 85000
Prestige 2002 CapeFinistere, Spain 77000
AegeanSea 1992 LaCoruna, Spain 74000
SeaEmpress 1996 MilfordHaven, UK 72000
Erika 1999 Brittany, France 20000
Source: 2007. Panorama of Transport. Edition2007. Euro-
peanCommission.
Table5. Oil spill cleanupcostsinEuro.
Continent Euro1999/ton
NorthAmerica 19,815
LatinAmerica 3,056
Africa 3,164
Europe 10,808
SouthPacific 5,699
MiddleEast 1,058
Asia 27,496
World Wide Average 8,073
Source: Bickel P., Sieber N., Kummer U.. 2006. Marginal
environmental costs case studies for air and water transport.
GRACE, IER, UniversityStuttgart., s. 34.
expenses(fishing, tourism, recreation, shippingand
other commerce).
Responsecostscompriseappropriatespill response
operations based on procedures outlined in local
contingency plans and historical case studies for
mechanical-recovery operations (Bickel P., Sieber
N., Kummer U.. 2006. Marginal environmental
costs case studies for air and water transport.
GRACE, IER, UniversityStuttgart., s. 34).
Theoil spillsarethemostimportanttypeof seaacci-
dent. They effects influencesignificantly themarine
environment. Unfortunately, thesekind of periodical
occurrenceshasbeennoticedfor years(Table4).
Incaseof oil spills, thenegativeeffect ontheenvi-
ronment is unquestionable. The part of the effects
could be limited by cleanup activity (table 5), con-
stitutingtheprivatepart of social costs.
Theother losses connected with theaccidents are
covered bytheenvironment andcitizens.
Thepresentedelements of themaritimeaccidents
external costscalculationdonotfulfill thewholeabun-
danceof issue. Unfortunately, therenoexiststheexact
andcompletecalculationof theexternal environmen-
tal costs of maritimeaccidents. Simultaneously, it is
hardtodefinetheproper wayof theinternalizationof
thesenegativeeffects.
3 CONCLUSIONS
The concept of internalization of external costs of
transport is today the crucial element of European
transport policy. So far, the theory and the method-
ological base for the concept implication have been
done. Unfortunately, thefinancial andeconomiccrisis
ontheglobal marketshaslimitedthetempoof further
steps.
Maritime transport is also regarded as the poten-
tial areaof theinternalization. Fortunately, theshare
of maritimetransport intotal sumof external costsis
marginal. Thecrucial costcategoryof maritimeexter-
nalities are costs of accidents. In case of these kind
of disaster themajorityof external costsareborneby
environment.
The current EU action and regulation concerning
maritimesafetywill, hopefully, limitedthenumber of
themaritimeaccidents. Thepackages ErikaI, Erika
II or the newest third package of measures should
bring the gradual improvement of maritime safety
(2006. Maritime Transport Policy. EuropeanCommis-
sion). Ontheother hand, theinternalizationcouldbe
regarded as the positive action for maritime trans-
port. Theheavy increaseof financial burdenfor road
transport shouldenablethepractical implementation
of the old EU challenge, expressed in formfrom
road to sea, stimulating, at the same time, demand
for maritimetransport services.
REFERENCES
2001.UNITE. P.vanDonselaar,H.Carmighelt.Workpackage
5/8/9.
2001.White Paper. European transport Policy for 2010: time
to decide. EuropeanCommission.
2003. UNITE. Deliverable8&12.
2004. External costs of transport. Update study. Summary.
INFRAS, Zurich/Karlsruhe, October.
2005. Casualty statistics and investigations. Annex 2. IMO,
London23February.
2006. Keep Europe moving Sustainable mobility for our
continent. EuropeanCommission.
2006. Maritime Transport Policy. EuropeanCommission.
2007. Panorama of Transport. Edition2007. EuropeanCom-
mission.
2008. Handbook on estimation of external costs In the
transport sector. Delft, Netherlands.
B akM.,PawowskaB2008..:kalkulacjakosztwzewntrznych
transportu krok naprzd w polityce Unii Europejskiej.
Materiaykonferencyjne, EuroLog2008, Warszawa.
Bickel P., Sieber N., Kummer U.. 2006. Marginal environ-
mental costs case studies for air and water transport.
GRACE, IER, UniversityStuttgart., s. 34.
610
14.3
e-Maritime: Anenablingframeworkfor knowledgetransfer and
innovativeinformationservicesdevelopment acrossthewaterborne
transport sector
J. Graff
BMT Group Ltd., Teddington, England, UK
ABSTRACT: The economic and social impact of the waterborne sectors in Europe cannot be overstated,
employing directly morethan 3 million peopleand generating aturnover of about 250 billion representing
more than 1% of the EUs GDP. In order to maintain its leadership and competitiveness, Europe must take
advantageof newmarketopportunitiesandaddressthesechallengesbymeansof focusedresearch, development
and innovation. In recent years theimpact of digital technology and relevanceof geospatial information has
been increasingly felt across thewholemaritimecommunity bridging waterborneand coastal activities. The
challengefor themaritimeandmarinesciencecommunitiesistoacceleratethetransformationof themaritime
sector into onethat is ableto exploit market-ledopportunities andcreatehighvalueaddedoutputs that fully
embracestechnological andscientificadvances. e-Maritimeoffersitself astheenablingframework.
1 INTRODUCTION
In the last few years, advances in digital commu-
nication, ocean climate modelling and earth obser-
vation systems have began to have an increasing
impactacrossthewholemaritimecommunitybridging
waterborneandcoastal activities.
1.1 Environment and security
In the waterborne sector the demands for improved
navigation safety and security have introduced new
ship monitoring technologies such asAIS and LRIT
and stimulated demand for increased coverage and
accuracyof satelliteobservations. Concernaboutpol-
lution impact and consequence of oil spills, ballast
waters and ship emissions have introduced policy
driveninformationrequirementsassociatedwitharaft
of new compliance legislation arising from; MAR-
POL (Annexes I, VI), Ballast Waters Management
Convention 2004, UK MarineBill (UK MarineBill
2008) andthenewIntegratedMaritimePolicyfor the
EuropeanUnion(EU2007) whichcoverscoastal pro-
tection and maritime transportation. In the context
of climate change there is a growing need to have
access to accurate weather and sea state (tides, cur-
rents, waves) forecastsasinputtodata-drivenservices
suchasoil spill monitoring, ballast watersdispersion
andglobal shiprouting. Thesestrategic baselinedata
havebeenidentifiedasmarinecoreservices under
the European FP7 development programme GMES
(Global Monitoring of Environment and Security)
whichhasbeenongoingsince2000.
1.2 Marine Stewardship
In response to the need for increasing levels of
informationaddressingstateandsustainability of the
marine environment to support local, regional and
national policy the concept of Marine Stewardship
has in recent years started to take on an important
newmeaninganddimension(Graff 2006). Although
Marine Stewardship has a country by country inter-
pretation there is common emphasis on importance
of thespatial datadomainandagrowingrecognition
that governance, interoperabilityandinformationser-
vicesarekeyunderpinningfeatures. At theEuropean
scalethedevelopmentof anewdigitallybasedgeospa-
tial informationphilosophy is beingsupportedunder
the European Commission INSPIRE (Infrastructure
for Spatial Information in Europe) Directive which
in turn is part of a global effort to build common-
alityacrossnational Spatial DataInfrastructures or
SDIs (Labonteet al 1998, ESDP 1999). TheGMES
programmeaddressestheprovisionof enduser infor-
mationservices throughintegrationof measurement,
modellingandpredictionwithinageospatial systems
environment. Many of these emerging services are
marine policy driven providinginformationtosupport
coastal zonegovernancerelatingto fisheries, quality
of waters, extractionof gravels, protectionof marine
species and flood protection. In view of the emerg-
ingrequirement toextendlandenvironment mapping
intocoastal waters(Land-MarineWorkshop2007)and
provide access to these data, efforts to define and
developtheprotocol andstandards for amarinespe-
cific SDI areunderway (Nganga2004, Sutherland
2005, Sutherland&Nicholas2006).TheInternational
611
Hydrographic Organisation(IHO) hasacknowledged
thepotential importanceof amarinespatial datainfra-
structureandaspecial IHOworkshoponMarine SDI
wasconvenedduringtheGeomatica 2007, todiscuss
relatedissues. Thefirst of fiveresolutions agreedat
theIHOWorkshopstates;
IHB to communicate with IOC to cooperate on
the development of the spatial data standard S-100,
with a view to facilitate marine/hydrographic data
exchange.
This is an important statement that recognizes
the need for knowledge exchange and collaboration
betweenthemaritimetechnology andmarinescience
communities to address emerginginformationneeds
increasingly relevant to development and welfare of
thewaterborneindustry. Thestatementreflectsearlier
callsforsuchcrosssectordialoguemadebytheauthor
(Graff 2006, 2007).
This has led to formation of a new IHO Work-
ing Group on Marine Spatial Data Infrastructure
(MSDIWG)whichtogetherwiththestrategicWorking
GrouponTransfer StandardMaintenanceandAppli-
cationsDevelopment(TSMAD-responsiblefor S-100
development) will provideanimportant contribution
toevolutionof theIMOe-Navigation vision.
1.3 Marine transportation
Motorways of the Sea (DGTREN 2005) is a grow-
ingconcept that aims at introducingnewintermodal
maritime-basedlogisticschainswhichwill bringabout
astructural changeinour transport organisationthat
will bemoresustainableandcommerciallymoreeffi-
cient. At European scale there are four proposed
marine motorway systems linking regional states
whichareillustratedinFigure1andatglobal scalethe
Marine Electronic Highway pilot project (Sekimizu
etal 2001, Gillespie2005) intheMalaccaStraitbeing
progressedbyIMOrepresentsanother important first
stepinprototypingsomeof theseideas.
Inadditiontoconventional navigationaidsgovern-
ing weather and bathymetric charts the evolution of
marinemotorwayswill demandincreasinglysophisti-
catedproductsandservicestomonitortraffic, mitigate
accidents and pollution impact and to optimise and
improve commercial efficiency of routing and port
turn-around. For example, AIS andLRIT arealready
beingadoptedas key datacarriers to improvemoni-
toringandsafety of regional andglobal vessel traffic
and improvements in marine broadband are leading
to new types of remote monitoring and informa-
tion exchange. A service offering that is receiving
much attention fromseveral developers is the con-
ceptof shipperformancemonitoringwhichintegrates
onboard vessel behavior parameters with prevailing
seastateandweather tocomputecontinuousupdates
of optimal routing advice delivered remotely to the
bridge. TheIMOe-navigationstrategyoffersavision
for a web services infrastructure that lends itself to
delivery of a wide range of such new added-value
marineinformationservicesinadditiontomandatory
ECDISinformation.
Figure 1. The four proposed European Motorways of the
Seainterconnectingregional seaStatesinEurope.
Theseinitiativesalsohighlightaparticularlyimpor-
tantfeaturenamely; theneedforconvergencebetween
maritimetechnology and marinesciencein order to
realisethedegreeof knowledgeintegrationneededto
providethetypes of sophisticatedmaritimeinforma-
tionservicesrequiredtoday.
2 E-NAVIGATION
TheIMO e-Navigation Strategy wasinitiatedin2005
with intent on embracing new digital technologies
to provide the framework for new digital services
adoption across the maritime transport community
to support navigation. IALA (International Associ-
ation of MarineAids to Navigation and Lighthouse
Authorities) was charged by IMO with developing
thee-Navigation vision and standards (IALA 2007).
A definition for e-Navigation was agreed at the
IALA e-NavigationCommitteemeeting(e-NAV2) in
SouthamptoninMarch2007; It reads:
E-Navigation is the harmonised collection, integra-
tion, exchange and presentation of maritime infor-
mation onboard and ashore by electronic means to
enhance berth to berth navigation and related ser-
vices, for safety and security at sea and protection of
the marine environment
e-Navigationis underpinnedby 7points that have
tobeconsideredinanintegratedfashion.
1 Electronicchartsandweather information
2 Electronicpositioningsignals
3 Electronic information on vessel route, course,
manoeuvringetc.
4 Transmission of positional and navigational
information
612
5 Displayof information
6 Information reporting, prioritisation and alert
capability
7 Transmissionof distressalertsandmaritimesafety
information
In order to have the functionality demanded for
delivery and display of mandatory navigation data,
e-NavigationhastobesupportedbyanECDIS.
2.1 ECDIS
A keyfeatureinprogressinge-Navigationliesinuni-
versal adoptionof Electronic Nautical Charts (ENC)
andtheavailability of acommonapproachtotheuse
anddisplay of ENCs andrelatednavigationaiddata
onboard vessels namely, the Electronic Chart Data
Information SystemorECDIS. InJ uly2008draftregu-
lationswerepresentedbyIMOtomakethecarriageof
ECDISamandatoryrequirementunderSOLASChap-
ter V Safety of Navigation. It is anticipated that this
will be adopted and thus trigger the universality of
ENC adoptionandusage.
Theroleof ECDIS isespecially important inview
thatanewversion(S-100)forthedigital codestructure
of ENCs(commonlyknownasS-57) hasbeendevel-
oped (Alexander et al 2008) and is currently being
releasedundertestwithadoptionenvisagedinthenext
fewyears.Thenewcodeisopenstandardscompliant
whichenablesthehandlingof manyother datatypes,
for example, S-100 will support gridded and time
series (x, y, z, t) datainsupport of dynamic ECDIS,
marine GIS and web based services. This paves the
way for anewgenerationof ECDIS systemsthat can
exchangedatawith coastal GIS databases and oper-
ational forecastingcentres andprovideagateway for
other decision-support informationservices.
However, it also raises questions regarding scope
and definition of ECDIS and what influence IHO
might have on commercial services development
throughWorkingGroupsTSMADandMDSIWG.
3 E-MARITIME
Althoughconceivedtoimprovethesafetyandsecurity,
e-Navigationalsohasapotential toincreaseefficiency
andperformanceof shipoperations, whichisthemain
considerationfor ship-owners, operatorsandtheir ser-
vice providers e.g., minimise fuel consumption and
mitigateemissions.
In 2006 the EC started considering e-Navigation
in parallel with IALA and tasked the FP6 MarNIS
(Maritime Navigation Information Services) project
withdevelopingane-Navigationvision. TheMarNIS
e-NavigationTask Forcemeeting(Oslo, 18.09.2006)
revised the concept of e-Navigation to embrace the
followingcriteria:
to minimise navigational errors, incidents and
accidents;
to protect people, the marine environment and
resources;
Figure 2. e-Maritime and e-Navigation shown in the
broader context of e-Transport information services
provision.
toimprovesecurity;
toreducecostsfor shippingandcoastal states; and
to deliver benefits for the commercial shipping
industry
Thelast twopointsextende-Navigation intoasys-
temtermede-Maritime.Thisisimportantandprovides
aclear distinctionbetweenthetwonamely.
e-Navigation (protocol oriented) istoensureprovi-
sionof navigational dataandinformation, alsofrom/to
AidstoNavigationetc., inastandardised/harmonised
way tofacilitatecommoninterpretationof saidnavi-
gational dataandinformation.
e-Maritime (systemoriented) is thepromotion of
the use of all maritime data and information, and
the distribution thereof, to facilitate maritime trans-
port andprovidevalueaddedservicestoimprovethe
profitabilityof shipping.
Theaimof e-Maritime istodeliver benefitstothe
public, transportconsumers, publicauthoritiesandthe
maritimecommunity, by meansof ICT andtooffer a
framework for commercial services.
A schematic of the e-Transport overview show-
ingbothe-Navigationande-Maritimecomponentsis
presented as Figure 2 adapted fromwork by one of
e-NavigationspioneersDanPillich(Pillich2007).
The diagramhighlights the role and the compli-
mentarity of e-Maritimeas animportant overarching
frameworkthatbringstogetheradiversityof technolo-
giestoenableMotorwaysof theSeas, namely water-
bornetransport, withthebenefit of latest advancesin
ICT andmarinescienceknowledge.
However,ashasalreadybeennotedunder2.1above,
it isnot yet clear what theIMOvisionframework for
e-Navigation will embraceand whereconflicts with
commerciallydrivene-Maritimeserviceswill arise.
4 INTEGRATIONANDINNOVATION
The EurOcean 2007 conference produced the
Aberdeen Declaration, calling for an integrated
European Marine and Maritime Science, Research,
Technology and Innovation Strategy which should
enable:
foresight activities to identify new and emerging
scientificchallengesandopportunities;
613
cross-sectoral, multinational and interdisciplinary
researchpartnerships;
co-operationbetweenresearch, industry andother
stakeholderstoenhanceknowledgeandtechnology
transfer andinnovation;
development of scientific andtechnology capacity
tostrengthentheknowledgeeconomy;
shared use, planning and investment of critical
infrastructureonaEurope-widebasis.
This stirred considerable interest and support at
European level and aPost Aberdeen Task Force was
established madeup of representatives fromMarine
ScienceandMaritimeIndustryinterestgroupsinclud-
ing ICES, ESF Marine Board, ETP Waterborne and
EuroGOOS.Thiswasdeemedrelevantasavehiclefor
providing a representative response fromthe Euro-
pean marine and maritime communities to the EC
actions calling for initiatives to demonstratescience
andtechnologycrossover andinnovation.
Fromapersonal perspective, I wouldarguethatthe
representation on the Task Force is far too heavily
marine science research biased with the WATER-
BORNE consortia representing industry, having a
shipbuildingfocus. Consequently, thereisagapinthe
key new crossover area that is framed in e-Science
(Hey&Trefethen2003, Enve-Science2008) andICT
technology applications, namely e-Maritime, that are
enablingadramatically newdata-drivenapproachto
marinescienceandtechnology.
Curiously, thereislittleornorecognitioninthecur-
rent EC discourseon European maritimestrategy of
theemergenceof e-Maritime, or indeede-Science, as
animportant enabler of newinformationservicesand
driver for innovation and integration across marine
science and maritime technology research outputs.
Why?
Perhaps the answer lies in some of the prophetic
key recommendations identifiedmorethanadecade
agointheseminal UK MarineForesight Panel study
199497report (UK MarineForesight 1997) chaired
under thelateDavidGoodrichnamely;
4.1 High priority areas for wealth generation
Information Technology: For acquisition and pro-
cessing of increasingly large volumes of data, the
development of intelligent information systems and
GIS-baseddatamanagement systemsisneeded, link-
ing satellite remote sensing, GPS navigation, moni-
toringnetworks(databuoys, commercial vessels) and
hazard databases. Also required is development of a
marineinformationservicebackedbydataacquisition.
4.2 Actions for implementation
The opportunities to apply Digital Information
Technology to the marine environment are many
and varied. Industry should lead this initiative in
consultation with academia and government. The
Panel recommendthesettingupof auserledinterest
groupandaLINK programmefor theapplication
of Digital Information Technology to the marine
environment.
5 CONCLUSION
It is eminently clear that digital informationtechnol-
ogy is drivingawholenewagendafor changeinthe
waterborne sector and we are at the onset of see-
ing anew industry emergedesigning and delivering
innovativemarineinformationproductsandservices.
Thisofferschallengeandopportunitybut demands
integrationandinnovationacrossmarinescienceand
marinetechnologysectorsanduptakeof newenabling
technologies such as e-Science. The new enabling
framework for marine informatics is proposed as
e-Maritime.
Awarenessof theunderpinningtechnologiesdefin-
inge-Scienceande-Maritimeandunderstandingtheir
innovative integration potential seems to be lacking
acrossmarineandmaritimecommunities. Thishasto
beremediedurgently if Europeistobecomeaplayer
in theemerging global information services market.
Europehasthepotential tolead.
Finally, I wouldreiterate, nowtenyearson, asingle
recommendation adapted fromthe1997 UK Marine
Foresight Panel report namely;
The opportunities to apply Digital Information
Technology to the marine environment are many
and varied. Industry should lead this initiative in
consultationwithacademiaandgovernment. I rec-
ommendthesettingupof auser ledinterest group
for theapplicationof Digital InformationTechnol-
ogy to themarineenvironment under theaegis of
e-Maritime.
REFERENCES
Alexander, L., Greenslade, B., Pharoh, A., Ward, R. 2008.
ThenewIHOgeospatial standardfor hydrographic data.
IHO, Informationpaper, April 2008, 10pp.
DG TREN. 2005. Trans-European Transport Network:
TEN-T Priority axes and projects 2005. ISBN 92-894-
9837-4, EuropeanCommunities2005.
Environmental e-Science, 2008. The environmental
e-Sciencerevolution. Special meeting of Royal Society,
78April 2008, Special Issue, Phil. Trans. R. Soc. Lond.,
(inpress).
EUMarineStrategy. 2007.AnIntegratedMaritimePolicyfor
theEuropeanUnion. SEC(2007) 1278, COM(2007)575,
October 2007.
Esdp. 1999. European Spatial Development Perspective:
Towardsbalancedandsustainabledevelopmentof theter-
ritory of theEU. Prepared by theCommitteeon Spatial
Development, Postdam, May1999.
Gillespie, R. 2005. Global Marine Electronic Highway:
proposed vision and architecture. Canadian GeoProject
Centre, 2005.
Graff, J. 2006. Stewardship of coastal waters the infor-
mation systems perspective. Keynote, OceanSAR2006,
St J ohns, Newfoundland, Canada, October 2325, 2006.
614
Graff, J. 2007. The role of operational forecasting in
e-navigation. Proceedings, TRANSNAV 2007, 2022 June
2007, Gdynia, pp339342.
Hey, A., Trefethen., A. 2003. E-Scienceanditsimplications.
Phil. Trans. R. Soc. Lond. A (2003), 18pp.
IALA. 2007. The IALA Definition and Vision for
E-Navigation. e-NAV2-output 11, 2007.
Labonte, J., Corey, M., andEvangelatos, T. 1998. Canadian
Geospatial DataInfrastructure(CGDI) Geospatial infor-
mation for the knowledge economy. Geomatica 52, pp.
214222.
Land-MarineWorkshop. 2007. Land& Marineinformation
integration Workshop, Malahide, Dublin, 2123 March
2007, Final Report, 27J uly2007, 15pp.
Nganga, S.M., Sutherland, M., Cockburn, S., and
Nichols, S. 2004. Toward a 3D marine cadastre in sup-
port of goodoceangovernance: A reviewof thetechnical
framework requirements. In: Computer, Environment
and Urban Systems, 28, 2004, pp. 443470.
Pillich, B. 2007. Developinge-Navigation, theearly stages.
U.S., HydroConference, 2007.
Sekimizu, K., Sainlos, J C. & PAW, J N. 2001. The Marine
Electronic Highway intheStraitsof MalaccaandSinga-
poreAninnovativeprojectforthemanagementof highly
congestedandconfinedwaters. IMO, J uly2001.
Sutherland, M. 2005. The Marine Cadastre: Legal and
Spatial Data Contribution to Economic, Environmental
and Social Development. FIG Working Week 2005 and
GSDI-8, Cairo, Egypt, April 1621, 2005.
Sutherland, M., and Nichols, S. 2006. Issues in the gov-
ernance of marine spaces. In: FIG Publication No 36,
Administering Marine Spaces: International issues, 2006,
pp. 620.
UK MarineBill. 2008. Draft MarineBill: UK Government.
The Stationary Office, April 2008, 686pp.
UK MarineForesight. 1997. Progress through Partnership.
Report No. 16, Marine; London, Office of Science &
Technology, 55p.
615
14.4
Challengesfor Polishseaports development inthelight of globalisation
processesinmaritimetransport
A. Przybyowski
ABSTRACT: Ports operations becomemorecapital intensive, labour saving and spaceconsuming. Dueto
globalizationprocessesandliberalizationof theEUtransportmarketstheseaportsareunderthehugecompetitive
pressureput mainlybycontainer transport operatorscommittedinthelogistictransport chains. Polishseaports
havedifficultiesinfacingsuchacompetitiveenvironment.
1 INTRODUCTION
Polishseaports, likeall ports intheworld, arebeing
confrontedbyforcesof changeanduncertaintythatare
reducingtheir abilitiestocontrol their owndestinies.
Sinceseveral years, other actorsinthetransportation
industry (the shipping lines in particular) are shap-
ingport development. They havebeenput at mercy
of theshippingalliances dominatingworldtradenot
only on water, but also on land. Moreover, the pro-
cessof deregulationinthecommontransportpolicyin
theEU enables shapingequity mergers andalliances
on land. For instance, the rationalisation of rail ser-
vicesraisesthepotential of differential accesstoports.
Most port authorities play only a secondary role in
theglobal game. Morethanever before, as interme-
diatepointsintransport chains, linkingshippingwith
roadandrail modes, portsarevulnerabletodevelop-
ments on both land and water. These developments
have brought about uncertainty and change that has
madeport planningextremelydifficult.
2 GLOBALISATIONANDINTEGRATIONIN
THE MARITIMETRANSPORT
Seaports development isinfluencedbymanyfactors.
Especially, theglobalisationandintegrationprocesses
affect theevolutionof their management systemsand
models. Vertically integrating transport chains make
seaportsvulnerabletorapidlychangingcontemporary
environment.
The coastline of the European Union is many
thousands of kilometres in length and contains well
over 600individual ports. Thesehandlearound90%
of EU external trade and more than 35% of trade
betweenEU countries. Thisinvolveshandling3.5bil-
liontonnesof goodsand350millionpassengersbeing
transported on millions of ship journeys each year
(www.emsa.europa.eu/end, 25.02.2007). Theongoing
process of cargo flows concentration benefits to the
biggest EU ports, mostly in thenorthern part of the
continent.A bigpartof theincreaseover theyearscan
beattributed to theincreaseof import of oil and oil
products(http://epp.eurostat.cec.eu.int, 25.02.2007).
European ports, like all ports in the world, are
beingconfrontedbyforcesof changeanduncertainty
that are reducing their abilities to control their own
destinies. Sinceseveral years, otheractorsinthetrans-
portationindustry(theshippinglinesinparticular) are
shapingport development. Morethanever before, as
intermediatepoints intransport chains, linkingship-
ping with road and rail modes, ports are vulnerable
todevelopmentsonbothlandandwater. Thesedevel-
opments havebrought about uncertainty and change
thathasmadeportplanningextremelydifficult. Inter-
portcompetitionhasbeenheightenedinunanticipated
ways(Slack2001).
Shipping, beingthemost important modeof trans-
port in terms of volume, gets an important support
fromthe EU. In fact, the common transport policy
favours the development of environmental friendly
modes of transport in compliance with the idea of
sustainabledevelopment(LisbonandGoeteborgStrat-
egy). TheEU, throughaset of political actions, legal
andfinancial instruments, promotesintermodal trans-
port(MarcoPoloProgram) andcreationof motorways
of theseas, for instance.
Furthermore, asaresultof itsgeography, itshistory
andtheeffectsof globalisation,maritimetransportwill
continueto bethemost important transport modein
developingEU tradefor theforeseeablefuture(Mari-
time transport 2006). The Green Paper on a Future
Maritime Policy for the European Union launched
a broad debate on the development of an overall
maritimepolicywhichcombinesanintegrated, cross-
sector analysis with effective policy co-ordination
and common action. According to the Commission,
such a policy should combine the competitiveness
andemploymentobjectivesof theLisbonagendawith
improvingthehealthof themarineenvironment (EC
Commission2006).
617
TheBluePaper reflectstheoutcomeof aoneyear
consultationperiodlaunchedwiththeadoptionof the
GreenPaper.Theresultsof thatconsultationhavebeen
brought together inaseparatecommunicationwhich
wasalsopublished.TheMaritimePolicyBluePaper
setsoutacomprehensiveactionplanincludingthePort
Policy Communication which was published on 18
October 2007. The Commission identified the Blue
Paper as acrucial first step for Europes oceans and
seastowardsunlockingitspotential andtowardsfac-
ingthechallengesof aMaritimeEurope. Itshouldalso
allowtheEU tomakethemost of itsmaritimeassets
andit will helpEuropefacesomeof themajor chal-
lengesbeforeit.TheBluePaperidentifiesfiveareasof
actionnecessarytolaunchanintegratedMaritimePol-
icyfor theEuropeanUnion: sustainableuseof oceans
and seas, knowledge and innovation, quality life in
coastal regions, Europeanleadershipininternational
maritime affairs and, finally, visibility of maritime
Europeanditsheritage.
These areas are translated in a concrete action
planwhichaccompaniestheBluePaper. Key actions
include the development of a European Maritime
Transport Space without barriers, aWhite Paper on
maritimetransport strategy, aroadmaptowards mar-
itimespatial planning, astrategytomitigatetheeffects
of climatechangeoncoastal regions, reductionof CO
2
emissionsandpollutionbyshipping(includingpromo-
tionof shore-sideelectricityinEU ports), sustainable
maritimetourismandaEuropeannetworkof maritime
clusters(http://www.espo.be, 2008).
Theongoinggrowthof theworldeconomyinterms
of GDPandindustrial outputacceleratesthegrowthof
theinternational tradeandasaconsequencebooststhe
increaseof theworldseabornetrade(UNCTAD2005).
AccordingtoWTOcalculations, it accountsfor more
than 80%of the world total trade in tonnage terms.
Thegrowthratesof theseabornetradewereespecially
highintherecent twentyyearsof the20thcentury. In
2004itreached6,76billiontonesof loadedgoods.The
annual growthratereached4.3%overthatof 2003,and
theincreaseof theworldmerchandiseexportsvolume
was13%higher atthattime.Theworldmerchantfleet
grewindeadweighttons(dwt)uptoca900millionthat
represents4.5%increase. Thistendency isstill going
onandespecially thenumber of containerships grew
by15.5%(seetab. 1). Therapidincreaseof theworld
seabornetradebooststhedevelopmentof themaritime
transport. As aresult, it accounts nowadays ca. 90%
of theworldtransport inton-miles. Asaconsequence
thetotal throughput of theworld seaports has been
growingconsiderably, reaching(accordingtothepro-
visional data) morethan14billiontones(loadedand
unloaded) (Grzelakowski & Przybylowski 2006).
Containerisation that has given shipping lines
greater freedomtoservemarketsfromawider choice
of ports, thanks to so-called transferability (Fleming
etal. 1994), deepenedtheglobalisationprocess. Ports
havenolongercontrol overinlandmarketsandcannot
besureof thetradeevenintheir ownlocal areas.They
haveto invest hugesums of money insuperstructure
Table1. Worldfleet structurebytypevessel in20052007
(DWT100).
Source: CompliedbyUNCADsecretariatonthebasisof data
suppliedbyLloydsRegister Fairplay2008.
andinfrastructuretoparticipateinthecontainerindus-
try. However, it is not a guarantee to take profits
fromthis business as some of them, despite having
a container terminal, may be bypassed because of
thereasons linkedto thewholetransportationchain,
likehinterlandconnections. Theshippinglines, being
the most important players in the logistics chains,
widentheir maritimeservicesandextendcontrol over
landwardmovements. Theycertainlydonot takeinto
considerationthespecific merits of aparticular port,
buttheeconomiesof scaleandconditionsof theentire
chain.Forinstance,servicesintheMediterraneanhave
concentratedinsouthernentirelynewpivotports, such
asGioiaTauroandAlgeciras,bypassingdirectservices
withnorthernreputedportsasLivornoandMarseilles.
Thus, port operations can be compared to a lottery
(Slack 1993). Actually, themost dynamic increaseof
thehandledvolumeof thebiggest EU portsconcerns
thecontainertraffic.Thereisahighlevel of correlation
betweentheEUportsdevelopmentandtheircontainer
handlingvolume. Onthelist of top20container ter-
minalsonlythreeEUportsarenamed, i.e. Rotterdam,
Hamburg andAntwerp, ranked 7, 9, 11 respectively.
However, thepercentagechangeof containerthrough-
put intheEU container terminals is abovetheworld
average level. In the Baltic Sea Region the level of
containerizationisunfortunatelythelowest inPoland
618
Figure1. Level of containerisationinexternal tradeof the
BalticSeaRegioncountries.
Source: M. Matczak, The Baltic Container Outlook 2007,
ActiaForum, p. 26.
(seefig. 1). However thelatestinvestmentsinthesea-
ports of Gdansk and Gdynia should increases their
competitiveness.
Thechanges inthemaritimetransport sector con-
cern not only the growing volume of commodity
flowsandthestructure, butalsoships size, specialisa-
tion,containerisationandtransportchainorganisation.
Thegrowing ships sizeinvolvehugecapital expen-
ditures in ports. They refer to extensive dredging,
muchmoredocksideandhandlingcapacity, for exam-
ple. However, such an anticipation may be a risky
undertaking, as thereis an uncertainty over theulti-
mate vessels size. As far as the organization of the
maritimetransportisconcerned, someformsof coop-
eration such as strategic alliances (SAs) and equity
merger and acquisition activities (M&As) havebeen
developed. They refer mainly to the international
container transport Hanjin/Senator, P&ONedlloyd,
Hamburg-South-Group, etc.
Themainresult of thecapital integrationandother
forms of cooperation is enhancing the competitive
position by improving learning capabilities and the
timely access to technological knowledge and also
vertical integration, control of intermodal and logis-
ticcyclesandlogisticsoutsourcing, aswell. Thus, the
transport of goodsby seacostshavebeendecreasing
and the effectiveness of the international combined
transport chains is steadily growing. This process is
still goingon, despitehugeunavoidableports invest-
ments(Grzelakowski & Przybylowski 2006).
Major shipping lines formed strategic alliances
becauseof thepressuresof globalisationrequiringto
bepresent in all themajor markets of theworld. As
a result, formerly separate services of members are
beingintegratedandcreatenewserviceconfigurations
that ports are unable to predict the outcome. Mean-
while, portsoperationsbecomemorecapital intensive,
labour saving and space consuming. Due to liberal-
ization of theEU transport markets theseaports are
under the huge competitive pressure put mainly by
containertransportoperatorscommittedinthelogistic
transport chains. Not all of themareabletofacesuch
acompetitiveenvironment.
Theadjustment to theabovementionedglobaliza-
tionprocessesneedshugeadditional publicinvestment
inport infrastructureandloweringof theoperational
handling costs. Only the biggest terminals and port
handling operators can meet those challenges and
requirementsset bythegrowingcompetitiveenviron-
ment(pressuresfromcontaineroperators, liners). Due
to the relatively low port tariffs ports are unable to
increasetheir income. Therefore, they need to apply
for ahugepublic money andtheaccesstothecapital
of partiesinvolvedinthemultimodal transport chain.
However, suchastrategyisveryoftenconnectedwith
thechangeof their contemporary rolein atransport
chainandtheevolutionof their model of administra-
tionandmanagement, inparticular. ThePolishports
shouldconsider specificapproachesdependingonthe
environment theyareoperatingintofacetheongoing
challenges.
3 STRATEGIESFOR POLISHSEAPORTS
DEVELOPMENT
In 2005, one of the Polish Gdynia Port container
terminalshasbeentakenoverbyHutchisonPortHold-
ings Group (HPH). HPH handled that year 51,8mln
TEU on 251 quays in 43 ports. This global opera-
tor has shares on the terminals in 21 countries all
over the world: in Asia, Africa, both Americas and
Europe. InEurope, theyarepresent inBelgium, Ger-
many, Spain, theNetherlandsandGreat Britain. This
example reflects the abovementioned globalisation
andintegrationprocesses.
Theexistingtraditional seaport administrationand
managementsystemsaswell asportpolicyobjectives
andrequirements, basedprincipallyontheconcept of
exclusivelyport-orientedmanagementformsinPolish
ports, do not comply any more with the new logis-
tic management challenges andgrowingcompetitive
transport environment. The traditional concepts and
models of national seaport policy arebeing steadily
evolved, gettingmuchmoreglobal andtransportchain
oriented. Polish seaport authorities, confronted with
the abovementioned processes, must adopt efficient
survival strategiesinordertoresistglobal andintegra-
tionpressures. Slack mentionstwopossiblereactions
that couldbeadoptedby seaports: keepingpacewith
market demands or pursuing customer-driven strate-
gies. Porter and Robinson studies suggest providing
superior value-deliverytotargetedcustomersatacost
that providesacceptableprofit levels.
Thefirst strategy consists on carrying out expen-
siveinvestments in superstructureand infrastructure
in order to keep pace with shipping lines expenses
on larger vessels. The second one is a response to
concretedemandscomingfromshippinglineclients.
Certainly, investing huge money is not a guarantee
of success and may not be even economically and
economicallysustainable.Thethirdapproachrequires
important adjustments inports functions to fit better
intolocal, regional andglobal markets(concentration
619
on passenger business or container feeder port role,
f. ex.). This solutioncouldbeagoodideafor Polish
ports as their participationinthecontainer market is
relativelylow.
A port authority may be not only a port operator
but also aland developer. Sites that haveno morea
port-usecharacter canservefor urbanredevelopment.
Suchanalternateuseof port sites may bringalot of
income, because waterfront land is of a great value
(Slack2001). Asmentionedabove, thenecessarystep
is a full integration of those entities into the trans-
port chains. Such aprocess has already started. It is
performedbyhorizontal andvertical formsof integra-
tion. Thefirstoneiscausedbytheongoingprocessof
privatisationof theports terminals, mainly container
ones. Theglobal container operators, likeHPH, take
over container terminalsbecomingtheir ownersinthe
worldscale.Thereasonof thisisanincreasingrentabil-
ityof portcontainerterminal companies.Accordingto
Drewry Shipping Consultants, the leading container
operatorslikeHPH, CSX WT, PSA Corp., ICTSI and
P&O Ports reach turnover rentability of 33%, 29%,
25%, 18,8%and17,4%respectively.Thevertical inte-
gration is based on capital concentration among the
portsterminal companiesandother logistic transport
operatorssuchasglobal container alliances(Maersk).
Till now, theports behaved passively being taken
over byother operatorsplayers/ carriers.Thus, despite
thegrowingconcentrationof thecommodityflowsin
the main EU ports which strengthen their competi-
tive position on the open European seaport market,
themajority of themseemto beunableto resist the
enormous global challenges. However, sincethemid
90. some European seaports are getting much more
pro-activeontheglobal transport market whichisnot
thecaseof Polishones yet. Thesimplest formis the
EU biggest container terminal operators (Eurogate)
settogetherwiththestrongestrailwaycompaniescon-
tainerrailwayserviceswhichoperateasaglobal player
ontheEuropeantransport market. Suchservicescon-
nectthemainEuropeanterminals(Bremen, Hamburg)
with the main consumer and production centers in
Europe.Consequently,Europeanportsbindshugearea
of thehinterlandandthemaininitiativeis overtaken
bythecontainer terminals.
Thewider concept, based on stronger position of
container terminal operator inlandtransport relations
is aimed at strengthening its position in relation to
thecontainer transport operator (container alliances).
Nevertheless, theport container operators arepartly
overtaken by still stronger maritimetransport opera-
tors. In fact, the shipping lines become multimodal
logisticsproviderscontrollingtheroutingof theflows
inconjunctionwiththeoceanservicesof theconsor-
tia. Thus, aport is an incidental entity in this global
networksystem. Containerisationhasreducedtheeco-
nomic impact of ports oncities, becauseships crews
aresmaller thanthey usedto be, spendlittletimein
portanddocklabourconsiderablydiminished.Aslocal
economic benefits (employment) are declining, it is
nolonger justifiedtoinvest hugepublicmoneyinthe
port area. TheEuropean Commission wants to min-
imisesubsidesinaccordancewithproper competition
policyandarestrictionsonpublicstateaid.
Theincreased competitiveness of thePolish ports
canbeachievedbyestablishingportclusterseithervia
their port authorities or via municipal governments.
Theport cluster may bedefined as theset of inter-
dependent firms engaged in port related activities,
locatedwithinthesameport regionandpossiblywith
similarstrategiesleadingtocompetitiveadvantageand
characterizedbyajoint competitivepositionvis--vis
theenvironmentexternal tothecluster(Hong-Seung-
ROH 2004). Thereis an urgent need to enhancethe
relationships between the port and associated com-
panies in the port area in order to create an added
value(NotteboomT. E. 2005). Moreover, thestrate-
gies for port competitiveness must takeinto account
local impact in order to strengthen thelink between
theport anditscity/region(PandoJ. et al.2005).
Port management systems should also meet the
criteria of sustainability, i.e. combining economical,
ecological andsocial factors.Thesustainablecomposi-
tionwill bereachedif all stakeholdershavingdifferent
goals are taken into account (Musso E. 2006). It is
not an easy task, as ports authorities may be often
inconflict withlegislation, environmentalistsandthe
general publicwhiletryingtoaccommodatetheirsites
to growing economic needs (f. ex. access to water
depthsrequiringafrequent dredging). Thereisaneed
for more partnership solutions as regards port man-
agement, implementingecological systemspreventing
pollutionandexcessiveemissions. Thisrequirespay-
ing more attention to local labour markets in order
to avoid social protests (EU service directive pro-
posal, for example). Thepossiblereactionleadingto
raising ports competitiveness could be also a hori-
zontal integrationandportnetworkingandcombining
competitionandcooperation.
SothePolishseaportsneedtobemuchmoreeffi-
cientinmicroandmacroeconomicterms.Theyshould
become an integral part of the vertically integrating
logistictransportchain.Thesimplestformof perform-
ingthesestrategyisthedevelopmentontheirareasthe
distributionandlogisticscentres, for example. Thisis
thecaseof threemajor seaports in Poland: Gdansk,
GdyniaandSzczecin-Swinoujscie(fig. 2) wheresuch
investmentsaretakingplace.Theyalsoneedtoenforce
muchmoreintegrated,logistictransportchainoriented
seaportactivitiesbecauseof thestill growingcompet-
itiverequirements frommaritimeand land transport
operators, as well as exporters and importers. Such
kind of seaport reorientation can not be efficiently
carried out without atransformation of their admin-
istrationandmanagement systems, i.e. goingtowards
morepartnershipsolutions,forinstance.Someof them
will havetofindothersolutionsandcultivatenichesas
secondaryports. Othersmaybeforcedtobepro-active
andworkcloser withlogisticsproviders, railroadsand
truckersraisingtheserviceattractivenessof theport.
However, the abovementioned strategies would
requiremorepartnershipsolutions, goingfar beyond
620
Figure2. Transshipmentturnover inPolishseaports(2007)
Source: Portymorskie, www.start.gov.pl, 19.10.2008.
the port area. Ports could also allocate births to a
singleuser in exchangefor along-termcommitment
which would integrate and even completely attach
shippinglinestotheparticular port. Thedevelopment
of logistics features: inventory control, datamanage-
ment, packing and processing could also enhance
economic benefits of port operations, likein Port of
Rotterdam. Thehorizontal port alliancesseemtobea
goodsolutionfor survival, aswell. A groupof north-
ern European ports already gather together to solve
common problems. However, this process is quite a
challengebecauseof thedifferences concerningport
management models andsystems. Finally, thePolish
seaports positioninrelationtoglobal carrierscanbe
upgradedthanks to theprivatisationprocesses (diffi-
cult to undertake, becausecontestedby tradeunions
inPort of Gdynia, f. ex.) andemergenceof grouping
of terminal owner/operators(Przybylowski A. 2007).
4 CONCLUSION
1. Polish seaports areunder avery strong influence
of theglobalisationandintegrationprocesses. Ver-
tically integrating transport chains make them,
especiallysuchseaportsasPolishones, vulnerable
torapidlychangingcontemporaryenvironment.
2. TheEuropeanCommissionacknowledgesthat the
growthintradeandshippingisdependentonhaving
adequateportcapacityandrecognisesthatthisneed
is under competition from environmental objec-
tives. It is not clear yet whether theEU wants to
support bigger (Rotterdam, f. ex.) or less devel-
opedEuropeanports(likePolishones). Infact, this
dilemmais achoicebetweenthehighest compet-
itiveness and the sustainable development of the
Europeanterritory.
3. Traditional port management modelsandthestate
of the transport infrastructure decrease the com-
petitivepositionof Polishseaports. Thus, thereis
aneed for novel organisation solutions and more
investment intheinfrastructureandsuperstructure
alsoinorder toenhancetheir competitiveness.
4. Theappraisal of theseaports positioninPolandis
possiblethroughcapital integratedtransport chain
orientedmodelsof management.Actually, theeffi-
cientseaportpolicyneedstotakeintoaccountsuch
strategies as vertical and horizontal integration,
port networkingandport clustering.
5. Some Polish seaports will have to find other
solutions andcultivateniches as secondary ports.
Others may be forced to be pro-active and work
closer withlogisticsproviders, railroadsandtruck-
ers raising the service attractiveness of the port.
However, thiswouldrequiremorepartnershipsolu-
tions, goingfar beyondtheport area. Ports could
alsoallocatebirthstoasingleuser inexchangefor
along-termcommitmentwhichwouldintegrateand
even completely attach shipping lines to the par-
ticular port. Thedevelopment of logisticsfeatures:
inventory control, datamanagement, packingand
processingcouldalso enhanceeconomic benefits
of port operations, likeinPort of Rotterdam. The
horizontal portalliancesseemtobeagoodsolution
for survival, aswell.
REFERENCES
EMSA, Monitoring of Port State Control, http://www.emsa.
europa.eu/end, 25.02.2007.
Fleming, D.K and Hayuth, Y. (1994), Spatial Characteris-
tics of Transportation Hubs: centrality and intermediacy,
J ournal of Transport Geography2.
Grzelakowski A. S., Przybylowski A. (2006), The logis-
tics supply chain management concepts and their impact
on the development of the seaports in the global scale,
INTLOGproceedings.
Grzelakowski A. S., Przybylowski A. (2006), The seaport
policy and port management systems in the EUcountries
do they comply with contemporary global challenges?,
MaritimeTransport, Barcelona.
Hong-Seung-ROH (2004), A conceptual model of port clus-
ters and related assemblage, IAME IZMIR proceedings,
vol. II.
Maritime Policy Blue Paper, Communication from
the Commission. . . , http://www.espo.be/Active_
Policy_Issues/Future_Maritime_Policy_for_the_Union.
aspx, 2008-01-04.
Maritime transport, http://europa.eu.int/comm/transport/
maritime/index_en.htm, 20.02.2006.
Maritime greenpaper proposes spatial planningfor legal cer-
tainty port investments; http://www.espo.be/pages/ezine.
Matczak M., The Baltic Container Outlook 2007. Actia
Consulting, Gdynia2007.
MussoE., La nueva dimension de los puertos en el siglo XXI,
http://enricomusso.it/VigoSlides3.ppt, 14.02.2006.
NotteboomT. E. (2005), Port regionalisation: towards a
new phase in port development, Maritime Policy &
Management, vol. 32, no. 3.
PandoJ. & al. (2005), Marketing management at the worlds
major ports, MaritimePolicy& Management.
Przybylowski A., Impact of globalisation and integra-
tion processes on the development of the EU seaports,
IAMU Global MaritimeExcellenceproceedings, Odessa
2007.
Review of Maritime Transport 2005. UNCTAD/RMT/2005.
NewYorkandGeneva.
Sea transport of goods, http://epp.eurostat.cec.eu.int/portal/
page, 10.03.2007.
621
Slack B. (2001), Globalisation in Maritime Transporta-
tion: competition, uncertainty and implications for port
development strategy, FondazioneEni EnricoMattei.
Slack, B. (1993), Pawns in the Game: ports in a global
transport system. GrowthandChange24.
The Green Paper: Towards a Future Maritime Policy for the
Union, a EuropeanVision for the Oceans and Seas, Com-
mission of the European Communities, Brussels COM
(2006)275(final), 07.06.2006.
622
14.5
Ananalysisof marinenavigationandsafetyof seatransportationby
Iranianwomenasofficer andmaster mariner
H.Yousefi
Chabahar Maritime University, Chabahar, Iran
ABSTRACT: Theauthor attemptstodescribethesafetyfactorswhichshouldbeconsideredfor theseatrans-
portationthroughcoastal waters andtheInternational waterways. First segment of this paper is designatedto
investigatetheroleof femalesascrewandofficer onboardships. BasedonSTCW95Conventionandfromthe
professional pointof viewtheauthor believesthattheIranianfemalescanbeabletotakeresponsibilityonboard
shipasofficer or evenmaster mariner. Boysandgirlscanlearntherequiredtheoriesat thecollegewhenthey
areCadet andimprovetheir skill onboardship; therefore, operationof theadvancedequipment onboardship
canbedoneby bothsides easily. A sectionof this paper is devotedtoelucidatethevarious aspects of Iranian
culturefor theseajobs which aregoing to becarried out by Iranian women on board ships. Sometechnical
suggestions will bedescribed in this paper in order to betaken into account thecultural factors by theIMO
representativeandfinallytheParliamentof IslamicRepublicof Iran. Theexistenceof womenespeciallyIranian
womenor themixtureof menandwomenofficersonboardIranianshipsinorder toimprovethesafetyfactors
of seatransportationwill bediscussedindepth.
1 THE HISTORY OF J OININGWOMENON
BOARDSHIPASSTEWARDESSAND
OFFICER
Oneradiooperator met afemaleradiooperator while
beingbriefedoncommunicationsproceduresduringa
convoyconferenceinPortSaid,Egyptin1944.Shewas
theonlyoperator onboardtheNorwegianflagtanker.
Astheoperator statedthatWe were both headed for
the Persian Gulfwe, with a load of Russian bound
materiel, and her, to load oil. Womenhavebravely
servedtheU.S.Navyfornearlyacentury,buttheyhave
only been allowed in positions aboard non-hospital
shipsforthelast25years.InOctober1978,inthewake
of acourt rulingthat overturnedstatutesthat forbade
womenfromservingat sea, theNavy launchedtheir
Women in Naval Ships programand announced that
theywouldassign55womenofficersand375female
enlisted personnel to 21 ships during the next year.
Womenwerefinally allowedtoserveassurfacewar-
fareofficersandinnumerousenlistedratings(below
therankof officer)onsuchauxiliaryvesselsassubma-
rineanddestroyertendersandoceanographicresearch
ships. In1977, thefirstwomancadetinIrishshipping
Ltd. wasMs.AnnParry. IrishShippingLtd. (194184)
hadanumber of womencrewmembersincludingthe
firstwomenofficeronanIrishshipMarilynStockwell
fromTuam, Co. Galway. Marilyn sailed on theIrish
Maple in 1973 as the junior radio officer. In 1974
thefirstwomendeckhandonIrishShippingLtd. Miss
RosemaryDaltonjoinedtheIrishOak. DuringFiscal
Year 1979, 55 officers and 375 enlisted women will
be assigned to 21 US. On November 1 1978, naval
ships inboththeAtlantic andPacific fleets, withthe
first officers reporting aboard their respectiveships.
The first enlisted women will report in December.
Mrs. Linda Hayes (Linda Purdy) of theIrish ferries
vessel M.V. Ulysses. She was in 1987, along with
Ms. Rosemary Docherty the first woman purser in
the 150 year history of the BI Line. Also in 1987
thefirst women officer on aBI ship Ms. Caroline
Meaney, joinedtheM.V. Tipperary. In1987, women
startedtowork at seaaspurser andstewardesswhich
lead the management teamon the Irish ferries and
passenger ships. Nowadays, therearemorewomenon
boardshipsasRadio, Deck andevenEngineofficers
inshippingcompaniesbelongtoEuropean,American,
AustraliaandFarEastcountries. Duringtheeighteenth
century, the BritishAdmiralty did not allow women
to beon board, but records showthat captains often
let thewives of officers jointheshipandsharetheir
husbands cabins or hammocks and food rations in
theBritishnavy. Asaresultof technological improve-
ment inshippinginthelast coupleof years; thenew
ships aredesigned and equipped with thecomputer-
ized systems. Theauthor has to draw your attention
to thesafety factors which should beconsidered for
theseatransportationthroughcoastal waters andthe
International waterways inthis article. Although, US
womenwereinterestedinjoiningonboardwarships
evenduringwartime, neverthelesstheUSgovernment
limitedtheir contributiononboardnaval ships. When
passenger ships were taken over by the government
after the U.S. entered World War II, many women
whohadservedasstewardesses, hairdressers, etc. lost
theirjobs.Theywererequiredtoleaveaftertheirships
623
returnedtoportafter December 7, 1941. Oneof these
women, BettyJ ackson, wrotetoPresident Roosevelt:
We are not afraid of the dangers and we are will-
ing to put up with any inconvenience as long as we
can be reinstated and go back to sea.Admiral Land,
head of the U.S. Maritime Commission replied that
therewerenoprovisionsonwartimeshipsfor women
crewmembers.
2 A SURVEY FROMTHE ILOABOUT
WOMENAT SEA
InanOctober 3press release, theU.N. International
LabourOrganization(ILO)saidanewstudyof women
at seapaints agrimpictureof thestrugglefacedby
womentogainemploymentandadvancementbutsays
women represent a potential resource for the indus-
try. The study highlights a need for policies that
addressissuesrelatedtosexual harassment, menstru-
ation, pregnancy, contraception, maternity, andsexual
and general medical health, the release said. While
someship owners, managers and trainers of women
arepositiveabouttheirperformance, womenoftenstill
face intolerance and harassment, the release added.
Researchers examined regional variations of women
at sea such as the fact that in some Scandinavian
countries women make up more than 10 percent of
theseafaringworkforce, whiletheir numbersinother
Europeancountriesarenegligible. AstheILOsaid
that CountriesbelongingtotheOrganizationfor Eco-
nomicCooperationandDevelopment(OECD)provide
thelargest proportionof womenemployedoncruise
ships, 51.2percent; followedbyEasternEurope, 23.6
percent; theFar East, 13.7percent; LatinAmericaand
Africa, 9.8 percent; and SouthAsia and the Middle
East 1.7 percent. Thelabour agency stated that only
7 percent of women seafarers areofficers compared
to 42percent of their malecounterparts. However, it
said, womenstudents at theWorldMaritimeUniver-
sity(WMU) haverisento21percentof theuniversitys
populationcomparedto8percent in1995.
On amorepositivenote, thestudy reveals signif-
icant progress in training policies over recent years.
By 2001 the total number of female students at
theWorld MaritimeUniversity (WMU) had risen to
21percent of thetotal university populationincom-
parisonto8percent in1995. TheILOstudy isbased
onasurvey commissionedby theILO followingthe
resolutionconcerningwomenseafarersadoptedbythe
29thSessionof theILO/IMOJ ointMaritimeCommis-
sion, 2226J anuary2001, inGeneva. TheResolution
calledfor amoreactiveroletobetakeninpromoting
theintegrationof womenintheindustry. Asafollow-
uptotheResolution, thestudyidentifiesgoodpractice
andrecommends measures that may further helpthe
integrationof womenintoshipboardcommunities.
Outside Europe figures also vary: women make
up 1.1 percent Brazils seafarers, and 5 percent of
Indonesias. According to Fairplay in 1998, India
reported only three women out of 43,000 registered
seafarers; by the end of 2002 there were twelve. In
thePhilippines, thelargest supplier of seafarerstothe
worldmerchantfleet, only225womenoutof 230,000
seafarersappearontheinternational seafarers register
for 198390. Thebulk of women seafarers arecon-
centrated in thehotel personnel of cruiseships, and
thesearemostly in rating grades. Only 7 percent of
womenseafarersareofficersandtherest(93percent)
areratings. Bycomparison, 42percentof maleseafar-
ers areofficers and58percent areratings. Andthere
arefurther anomaliesinseafarers employment. Cur-
rently, OECD countries recruit thelargest proportion
of womenemployedoncruiseships(51.2percent),fol-
lowedby EasternEurope(23.6percent), theFar East
(13.7percent), LatinAmericaandAfrica(9.8percent)
andSouthAsiaandtheMiddleEast (1.7percent). On
theother hand, mostmaleseafarersarerecruitedfrom
theFar East (29.1percent), followedby 23.3percent
fromOECDcountries, 17.8percentfromLatinAmer-
ica and Africa, 12.3 percent from Eastern Europe,
7.5percent fromSouthAsiaandtheMiddleEast.
3 IRANIANWOMENASOFFICERAND
MASTER MARINER ONBOARDSHIP
This segment of the paper is designated to investi-
gatetheroleof Iranianfemalesasofficer andmaster
mariner onboardships. Of course, theIranianwomen
canwork onboardcoastal water craft asanofficer or
Captainat thePersianGulf or evenfurther routes. It
isdifficulttooffer seajobstotheIranianwomen; itis
becauseof theIranianculture! Nevertheless, fromthe
religious point of view, man and woman haveequal
right to live; therefore the only problemis the long
voyages at seafor theIranianfemales. It means that
Iranianfemales canbeableto takeresponsibility on
boardHighSpeedCraft or passenger shipsasofficer
ormastermarinerinshortvoyagesatthePersianGulf.
Theother alternativetosolvethisproblemisthat the
Iranianwomencanjoinonboardoceangoingvessels
asofficersaccompanywiththeir husbandinpeaceof
mind.Asresultof thattheycanstayonboardshipmore
thanusual periodandtheirefficiencyfordoingthejob
will beimprovedgreatly.ItshouldbenotedthatIranian
females canbeofficer andfinally master mariner on
boardcoastal andoceangoingvessels, becausethesit-
uationonmerchant shipshasbeenchangedandgreat
number of Iranianwomenareinterestedintravelling
by passenger ships; therefore, it is necessary to have
womenofficersonboardIranianshipsinordertolook
after thefemalepassengers especially in emergency
situation. Nowadays, as aresult of thetechnological
improvement inshippingandincreasingthepriceof
airplaneticket, etc; useof ferries, highspeedcraftand
passenger shipsbecamemorecommonfor short voy-
agesatthePersianGulf. ItshouldbenotedthatIranian
passengers are interested in using ships for pilgrim
journeys in order to go to Saudi Arabia and Syria.
Iranian shipping companies allow thewives of offi-
cersjointhemerchantshipsandsharetheir husbands
624
cabins, food, etc; althoughthelifeatseaisawful, nev-
erthelessmajority of Iranianwomenareinterestedin
joiningtheoceangoingshipsasofficer inorder tobe
withtheir husband. Oneof theproblemsof joiningthe
Iranianfemalesonboardshipscanberelatedtotheir
uniformwhichshouldbeIslamic dressingwithacap
and scarf or even auseful cap similar to theIranian
Airlineuniform.
4 CONTRIBUTIONOF WOMENAS
STEWARDESSONBOARDWARSHIPS
Whywouldawomanleavehometotravel byashipof
war? Of course, many hadno homeor money while
their husbandswereat sea. Theshipprovidedahome
andachanceto sharelife, however harsh, withtheir
husbands. Thewivesworkedontheship, mendingor
cleaningclothesor servingascaptains maids. Inbat-
tle, theyattendedthewoundedor carriedgunpowder;
afewwerewoundedthemselves. Childbirthatseawas
notuncommon,andsometimesashipsgunswerefired
tospeedupadifficult birthapracticethat gaverise
tothesaying, asonof agun.
Women played only a small role in the Canadian
merchant navy, thereweresomepioneersworkingas
stewardesses, andafewCanadianwomenwereradio
officersonshipsof theNorwegianmerchantnavy(the
onlyAlliedmerchant fleet at that timethat permitted
women to serveaboard ships as wireless operators).
Hannah Baird was the first Canadian female who
casualty of the Second World War. J ust hours after
Britain declared war on Germany on September 3,
1939, thepassenger liner Baird was working aboard
wastorpedoedbyaGermansubmarine.Youwontfind
StewardessHannahBairdsnameinthehistorybooks,
or the names of the other seven Canadian women
whodiedwhileservinginmerchantshipsduringboth
WorldWars. MaudeElizabeth Steane, aships radio
operator duringWorldWar II, hadtoleaveCanadato
findashipbecausewomenwerenot allowedto join
anyshipinCanada. J usttenweeksafterleavinghome,
MaudeSteanewaskilled. It isoftenreportedthat she
diedby enemy gunfirewhileher shipwas dockedin
Naples, Italy.
ClaraGordonMain, astewardessontheSS Presi-
dentHarrisonwasamongthefirstAmericanPrisoners
of War. The ship was captured by the J apanese on
December 7, 1941, whilerescuingU.S. Marinesfrom
China. Thevessel wasfirstbombedandthencaptured
bytheJ apanesewhoorderedall handstoabandonship.
InsodoingtheChief Stewardsufferedseveral broken
ribs. Mrs. Main, theonlywomanmember of thelarge
crew, conductedherself in such acool andcollected
manner that shehadadecidedly steadyinginfluence
ontheseamen. Shealsohadtheforesight totakewith
her, asshelefttheshipinthelastboat, certainmedici-
nal restoratives and first aid material, which proved
invaluable. During six weeks subsequent treatment,
shenursed theChief Steward so effectively that she
undoubtedlysavedhislife.
5 CONTRIBUTIONOF IRANIANWOMENIN
SPORTSANDDIFFERENT ACTIVITIES
Inthelast coupleof decades, theIranianwomencon-
tributedindifferentfieldof sportsthatcouldgetmedal
andgoodscoreat theinternational games. Climbing
a mountain is a good, safe and interesting sport for
Iranian females, especially for those who are living
near mountainousareas. Iranianfemalefootball team
with Islamic dressing plays well; theteamcould get
thehighest gradeinAsiarankingteams. Boatwomen
isanexcitinggroupsportwhichisquiteinterestingby
Iranianfemales; it is becauseof their convenient for
dressingandteamworkactivities.
Iranian women working as police officers at the
maincitiesof Iran, thosewholikesuchactivityshould
bebraveandenergeticinorder toshowtheir capabil-
itieswhicharemoreor lesssimilar tothepolicemen.
Infact, contributionof Iranianfemalesasfirefighter
teamsprovesthat theyarebravetoperformsuchhard
anddangerousactivities. Itshouldbenotedthatthejob
of firefighter incomparisontotheseafarers career is
morehazardous, becausethey should beas quick as
possible.
Themagnificentactivityof Iranianfemalehasbeen
done by Mrs. AnoushAnsari. She was the first pri-
vatespaceexplorer womenwho travelledaroundthe
earth up to theInternational SpaceStation. Shealso
earnedaplaceinhistoryasthefourthprivateexplorer
September 18, 2006;AnoushehAnsari capturedhead-
lines to visit spaceas thefirst Iranian astronaut. On
5thJ anuary2008,GuardianNewspaperannouncedthe
list of 50persons who couldsavetheearthfromthe
environmental hazardous; as result of that name of
Mrs. Dr. Masomeh Ebtekar, Iranian environmental
minister, asSurvivor of theearthenvironment wasin
thelist.
6 SAFETY OF NAVIGATIONBY J OINING
IRANINANWOMENONBOARDSHIPS
Iranianwomenseafarers canjoinonboardtheships
according to their speciality; it seems that the ship-
pingcompanycanemploythemasofficerforcatering,
radioanddeckdepartmentof aship. Shipvoyageatthe
PersianGulf isshort; thereforethefemaleofficersmay
takeonly oneseawatchduringthevoyage. By refer-
ringtothepreviousexperiencesof somany shipping
companies inall over theworld, 3out of 54percent-
agesof womenweredeckofficers.Itmeansthatasfirst
experience, it isbetter that theIranianfemalejoinon
boardtheshipasstewardesses, cooks, assistantdoctor,
chief stewards,radioofficer,etc.afterthatasdeckoffi-
cer inorder tobecomeashipCaptain. So, thisprocess
shouldbestartedinshort voyagesat thePersianGulf.
Thefollowingpiecharthasbeenacquiredthrougha
surveyfromIranianwomenwhoworkatmarineorga-
nizations in Chabahar port andsomeof thestudents
fromChabahar MaritimeUniversity. Although those
whocontributedtoanswer thequestioner of this sur-
vey, knewthatworkatseaishard, neverthelesshalf of
625
Figure1. SealifesurveyfromIranianwomen.
themselectedGood point andtheminorityof them
selectedBadpoint. Thissurveyshowsthatmajority
of the Iranian student girls fromthe University like
tobeat seaandarekeentojoinonboardtheshipas
officer.
A student girl in oceanography should travel by
researchshipat thePersianGulf for about acoupleof
daysinordertodothespecificresearchaboutaquatic,
seaanimals, waveheight, etc. Therefore, referringto
theIraniancultureit is moresafeandconvenient for
thegirl totravel andtocollectdatabythefemalecrew
onboardtheship. Shipmanoeuvringandthesafetyof
navigationat thePersianGulf arenot dependonthe
sex(femaleor male) of theseafarers; it isrelatedtoa
qualifyofficerwhoshouldcomplywiththeIMOregu-
lations. SincetherequiredtrainingbasedonSTCW95
Convention and thewritten and oral examination of
theCertificateof Competency havebeen passedout
by the candidate (boy or girl); after that he/she will
be qualify to run a ship. All watch keepers shall be
qualifiedandholdcertificationprescribedfor naviga-
tional watch to thestandards prescribed inA-II/4 of
STCW95accordingtothedutiestheyarerequiredto
perform.Asconsequenceof theaboveexplanation, the
mainissueis theknowledgeandskill of theseafarer
to support thesafety of lifeat sea; so, bridgesafety
equipment can beoperated either by man or woman
officer andbotharesafeandsound.
7 CONCLUSION
Iranianpeoplesareinterestedintravellingbyshipfor
leisureand pilgrimjourneys, becausethey arequite
cheap, comfortableand safefor short journey at the
PersianGulf andevenlongvoyageuptoSaudi Arabia
andSyria. Byincreasingnumberof passengershipsin
Iran and theestablishment of passenger terminals in
SouthandNorthportsof Iran, thereforetheexistence
of Iranianwomencrewonboardshipinorder tolook
after thefemalepassengersisnecessaryandessential.
Referring to theSTCW95, theimportant factors for
improvingthesafetyof seatransportationareskill and
qualificationof theseafarersandarenotrelatedtothe
sexof theshipofficers.
REFERENCES
Cap. Middleton.C, 2003.Trainingforaleadershiproleatsea,
TheInternational J ournal of Nautical Institute, Seaways.
London.
Wake. P. 2003, Leadershipandteamwork, TheInternational
J ournal of Nautical Institute, Seaways. London.
Cap. Swift, J.A. 2004, Bridgeteammanagement, TheInter-
national J ournal of Nautical Institute, Seaways. London.
Vedadi.H. 2008. Investigationontheexistenceof womenat
sea, Chabahar MaritmeUniversity, Iran.
David. J. Saders, The management of safety in shipping:
operations and quality assurance, the Nautical Institute
publications.
Bounds, et al, 1994; Beyondtotal qualitymanagement, New
York, McGrawhill.
Lee. R.G. 2002. Future bridge navigation, IMO initiative
takes shape, TheInternational J ournal of Nautical Insti-
tute, Seaways. London.
www.womenatsea.com
www.mariner.org
www.maritimeaccident.worldpress.com
www.parstimes.com
www.navyandmarine.org
www.seafarers.org
www.fessoilanka.org
www.imo.org
626
14.6
Modellingsupport for maritimeterminalsplanningandoperation
S. Ricci & C. Marinacci
Sapienza University of Rome, Rome, Italy
ABSTRACT: Themaritimeterminal designprocessisacomplexstepwiseseriesof strategicdecisionsinvolving
theengagement of arelevant amount of resources. In fact operating conditions near themaximumcapacity
causecongestioneffects withnegativeconsequences onregularity andquality service. Therefore, inorder to
maximise its effectiveness, a strong need of methodological support is required. With this aimthe authors
developeddifferentmethodsandmodelscapableof supportingsomeof thesedecisions: aregressivemethodfor
preliminarydimensioningof harbour terminalsandasea-sideoperationcombinatorial model for trafficanalysis
andcapacityestimation. Theyareabletobeintegratedinachainof modelstakingintoaccount dimensionsand
manoeuvrabilityof ships, terminal morphology, handlingequipment, storageareas, etc., withtheaimtosupport
theplanningprocessandoperational management.
1 INTRODUCTION
The design process is a complex stepwise series
of strategic decision involving the engagement of a
relevant amount of resources.
Therefore, inorder tomaximiseitseffectiveness, a
strongneedof methodological support isrequired.
With this aimthe research group of the authors
developed different methods and models capable to
support someof thesedecisions:
regressivemethodfor preliminarydimensioningof
container terminals;
sea-sideoperationcombinatorial model;
syntheticmethodcapableof validatingtheestimates
of thecapacitycombinatorial model.
It is possible to integrate the models in a chain
taking into account, within a stepwisemethodologi-
cal approach, dimensionsandmanoeuvrability of the
ships, positions of terminals, accessibility, handling
equipment, storageareas, etc.
2 PRELIMINARY DIMENSIONINGMETHOD
Thepreliminarydimensioningmethodallowstoselect
theparametersmost suitabletodescribeterminals, to
determinetheirdimensional andequipmentcharacter-
isticsandtoverifytheir production, aswell astopro-
videinputs, definedintermsof productionor number
of ships, forthecombinatorial model capableof evalu-
atingsea-sideportcapacity(Florio&Malavasi, 1995).
2.1 Definition of key parameters
Maritimecontainer terminals areinfrastructures pro-
vided with equipment for the transfer of containers
fromshiptodocksandback.
Theyareintegratedintologisticstructuresof most
commercial ports.
In any terminal fundamental and complementary
activitiesareidentifiable:
1 container loadingandunloading;
2 sea-sideandland-side(railwayandroad) stocking
operations;
3 trafficmanagement andcontrol;
4 container clearancefor international traffic;
5 storageandreorganisationof freightintocontainers.
Structures and performances of terminals, deduced
fromafirstanalysis, maybesyntheticallyrepresented
inthreemainclustersof parameters(Noli &al. 1984)
respectively representingdimensions, equipment and
production:
A. Dimensional parameters:
1) Quaylength,
2) Total stackingarea,
3) Coveredstackingarea,
4) Uncoveredstackingarea;
B. Equipment parameters:
5) Number of gantrycranes,
6) Number of other cranes,
7) Number of storagecranes,
8) Number of variousloaders;
C. Productionparameters:
9) Number of handledcontainers.
10) Number of handledTEU,
11) Number of handledcontainer tonnage.
For theseparametersanextensiveinvestigationon
portterminalsfordataacquisitionhasbeencarriedout.
2.2 Definition of the area of analysis
The ports analysed are located in Northern Europe
(Atlantic Ocean, Baltic Sea and North Sea) and in
Mediterraneanarea(Ricci & al. 2008b).
627
Table1. Observationsavailablefor analysedparameters.
Observation
Parameters N
Quaylength 93
Total stockingarea 91
Coveredstockingarea 91
Uncoveredstockingarea 29
Gantrycranes 85
Other cranes 37
Storagecranes 59
Variousloaders 57
Containers 19
TEU 72
Tonnage 30
Figure1. Availableobservationsbycouplesof parameters.
Inthisarea73ports, dealingwithrelevantcontainer
traffic, havebeenidentified.
For 93 container terminals located in 49 of these
portsuseful datahavebeencollectedandelaborated.
InTable1theamount of observationsavailablefor
theanalysedparameter isshown.
2.3 Application of methodology
In the proposed regressive approach an analysis
has been performed on the relationships between
parameters:
1. belongingof thesamecluster (asdefinedabove);
2. belongingof different cluster.
Theamountsof datauseful for thecorrelationsare
summarisedinamatrix(Fig. 1).
Thecollectedandhomogeniseddatahasbeencor-
relatedby means of alinear regressionobtainingthe
correlationcoefficientsR.
All thevalues havebeen filtered with different R
thresholdvalues(0.7and0.8).
InFigures2and3thevaluesof coefficientRof the
regressionlinesarepresentedinmatrices.
Onthisbasisitispossibletorepresenttherelation-
ships between parameters corresponding to shortest
pathsongraphsof Figure4.
2.4 Direct and indirect correlations between
parameters
Themainfeatureof theproposedmethodology isthe
possibilitytocalculateonaprobabilisticbasisthemain
design parameters (dimensions, equipment, etc.) by
meansof thecorrelationswithflowparametersandto
calculateflowandequipmentparametersbymeansof
thecorrelationswithdimensional parameters.
For this purposeit is necessary to determinealso
thedirectrelationshipsandtheindirectonesrequiring
intermediateparameterstolinkinputsandoutputs.
For theselection of shortest paths (highest global
correlation) theDijkstraalgorithmhasbeenapplied.
Startingfromtheinputs correspondingto produc-
tionparameters (containers, TEU andtonnage) or to
dimensional ones it is possible to define the tree of
shortest pathswiththeparameterslinkeddirectlyand
indirectly.
Different scenarios havebeenobtainedby combi-
nationof thresholdvalue(0.7and0.8) of correlation
parameters with possible input parameters (Figures
511).
2.5 Case study
Theregressivemethod(Ricci & al. 2008b) has been
applied to thepilot caserepresented by theDarsena
Toscana container terminal in the port of Livorno
(Table2).
On the basis of arrivals and departures of con-
tainer shipto/fromCalataMassa, relatingtoTerminal
DarsenaToscanaquay, it has been possibleto deter-
minethecapacitymarginin2007expressedinnumber
of shipsper daythat arecanbemooredalongsidethe
above-mentionedquay.
The comparison between values of dimension,
equipment and production parameters estimated by
themodel andreal values aresummarisedinFigures
1215.
2.6 Remarks
The values of parameters estimated by means of R
threshold(0,7or 0,8) arecomparable, thereforetheir
choicemaybeconsiderednot relevant.
The most reliable results are obtained by means
of production parameters as input data, in particular
thenumberof handledcontainerforthedetermination
of quay length, total stockingareaandgantry cranes.
Indeed the other parameters are strongly influenced
by local organizational issuesandfor thisreasonless
suitabletobedealt withinageneral approach.
628
Figure2. Correlationsbetweencouplesof parameter with0.7asthresholdof relevance.
Figure3. Correlationsbetweencouplesof parameter with0.8asthresholdof relevance.
Figure4. Graphsof therelevant correlationswithR>0.7andR>0.8.
Figure5. Shortest pathsstartingfromthenumber of containers(thresholdR>0,7andR>0,8).
Figure6. Shortest pathsstartingfromTEU (thresholdR>0,7andR>0,8).
629
Figure7. Shortest pathsstartingfromcontainerstonnage(thresholdR>0,7andR>0,8).
Figure8. Shortest pathsstartingfromquaylength(thresholdR>0,7andR>0,8).
Figure9. Shortest pathsstartingfromtotal stockingarea(thresholdR>0,7andR>0,8).
Figure10. Shortest pathsstartingfromcoveredstockingarea(thresholdR>0,7andR>0,8).
Figure11. Shortest pathsstartingfromuncoveredstockingarea(thresholdR>0,7andR>0,8).
Table 2. Leghorn Darsena Toscana container terminal
(2007).
Parameters Data
Quaylength [m] 1.430
Total stockingarea [m
2
] 412.000
Containers [n] 323.708
TEU [n] 500.000
Tonnage [t] 6.677.350
3 SEA SIDE OPERATIONCOMBINATORIAL
MODEL
Sea-side port operation, characterised by the over-
lapof thetraffic of many different shipstraffic often
causescongestioneffectswithnegativeconsequences
ontransport serviceregularity.
Inthisframework models(Potthoff, 1979) capable
of simulatingtheoperationof sea-sideportterminals,
of evaluating their capacity and of calculating the
630
Figure12. Comparisonbetweenestimatedandreal valuesof quaylengthandtotal storagearea.
Figure13. Comparisonbetweenestimatedandreal values
of gantrycranes.
occupation time of the terminal by ships and its
utilisation degree both in regular and perturbed
(becauseof external causes or thecongestion itself)
conditions and of relating it with the quality of the
transportservicesareveryeffectiveandallowtoreach
specificobjectives:
operational timesaving;
rational land-use(better planningof seafront);
preventionof losses dueto possibleaccidents and
incidents;
sensitivity of performances to variations in port
terminal lay-out.
3.1 Specific research objectives
Fromtheaboveariseconsiderationsthespecificobjec-
tivesof thepresent researchesthat isbuildupmodels
capableof:
1) simulatingtheterminal operation;
2) evaluatingtheterminal carryingcapacity;
3) relatingtheutilisationdegreeof theterminal with
itsservicequality.
Theapplicationof combinatorial synthetic modelsto
seaterminals(Ricci &al. 2007) requirestheintroduc-
tionof thefactorscharacterisingtheships(dimensions
and maneuvering with related kinematic and geo-
metricconstraintsregulatedmovements), theterminal
itself (different typeof basinmorphologyor layout as
shownonFigure16).
Inordertodeterminetimeinterdictionbetweenship
movementsentering/exitingmaneuveringmovements
aredividedin5phases:
1 Approachtomouth,
2 Accesstothechannel,
3 Rotational movement,
4 Approachtothequay,
5 Anchorage.
Thecarryingcapacity of theterminal corresponds
to themaximumnumber of movements alloweddur-
ingthereferencetimeandit dependsmainlyuponthe
followingfactors:
timedistributionof enteringandexitingmovements
to/fromtheportandrelatedassignmenttothedocks;
terminal topologydefinedbythelocationof docks
andthemouths.
Themodel approachisbasedonaconstant proba-
bilityforthearrivalsi.e. afixednumberof movements
for eachrouteinthereferencetime.
Thisconditionwell representsboth:
highfrequencyof arrivalsinpeakperiods;
usual dataavailabilityintheplanningphase,without
detailedinformationonshipscheduling.
This condition is formally defined by an array P,
withdimensions correspondingto thenumber of the
routes in the terminal and single elements p
i
defin-
ing the number of movements on each route in the
referencetimeT.
Theanalysisof theterminal morphologyallowsto
define the whole set of routes and their reciprocal
compatibility/incompatibility representedinasquare
matrix (compatibility matrix) C =P P, with each
element c
ij
representingtheconditionof compatibil-
ity/incompatibilitybetweenroutesi andj.
Thepossiblerelationshipsare:
incompatibilitybetweentworouteswith:
a. commonfinal/initial sections,
b. commonmiddlesections,
c. samepathbut oppositedirection;
compatibilitybetweentworouteswithout common
sections, allowedtoberuncontemporarily.
Theproposedapproachallowstocalculatethemean
numberof possiblesimultaneousmovementsn bytak-
ing into account the compatibility of the routes and
their frequencyof utilisation:
631
Figure14. Comparisonbetweenestimatedandreal valuesof container Lo-LoandtonnageLo-Lo.
Figure15. Comparisonbetweenestimatedandreal valuesof TEU andgantrycranes.
Figure16. Typical port layoutssubjectedtoanalysis.
where:
m
ij
=p
i
p
j
if i andj areincompatible;
m
ij
=0if i andj arecompatible.
N isthetotal numberof movementsduringreference
timeT.
Inasimilar waythemeanterminal utilisationtime
canbedefinedas:
wheret
ij
isthetimeduringwhichtheroutej maynotbe
runbecauseashipismovingontheroutei (interdiction
time).
Thetotal occupationtimecanbecalculatedas:
Inorder totakeintoaccount thewaitingsituations
due to simultaneous arrivals on incompatible routes
it is possible to calculate the delay imposed by the
p
i
movements on the p
j
movements because of the
interdictiontimet
ij
:
These parameters allow the comparison between
thetotal utilisationtimeof theterminal, includingthe
delays, andthereferencetime.
Theutilisation degreecan becalculated with ref-
erence only to the situation of regular running on
routes, as:
Or referencetothetotal time, includingthedelays,
as:
where:
3.2 Applications and remarks
The model has been applied to five Italian ports
(Ancona, Bari, Brindisi, Gioia Tauro and Livorno)
characterisedby threedifferent morphologies (circu-
lar, channel andtreelayout).
Theresultsof themodel applicationaresummarised
inTable3.
The port with a circular morphology normally
showsahigher capacitylimit thantheother ones, due
toshorterroutesandshorterinterdictiontimesbetween
movements.
Thechannel portsshowalower capacitythanports
withtreelayout, duetoalower number of basinsthat
are able to let an early release of common sections
betweenentering/exitingroute.
632
Table3. Capacitylimitfor analysedport[movements/day].
Port Ancona Bari Brindisi GioiaT. Livorno
Observed 33 23 27 18 41
movement
Maximum 61 70 49 40 53
capacity
Figure 17. Port schematisation for channel capacity
method.
For theseportslargest capacityarerelatedtonum-
ber of quay basins andconsequently to their rotation
basins as well as to the assignment of docks to
ships characterisedby less manoeuvrability (e.g. liq-
uid/solidbulk andcontainer ships) inspecificpart of
ports.
4 COMPARATIVE MODELS
Inordertovalidateonacomparativebasistheprevious
model and its results, two alternativemodels for the
evaluationof port capacityhavebeenidentified; they
arebasedon:
Channel capacity,
Minimumspacing.
Thesemodelsarecharacterisedbyafewerinputdata
andabletoanalysetheparticular basinchannel mor-
phologyoraspecifiedpartof aportterminal referable
tothisspecificcharacteristic(Ricci & al. 2008a).
4.1 Models based on channel capacity
Theport systemisschematicallystructuredintothree
parts(Fig. 17):
the waiting basin, where ships arrive and wait to
enter thechannel;
theenteringarea, whereonly theshipapproaching
thechannel isadmitted;
thechannel itself.
As soon as theship in theentering areaapproach
thechannel, thefollowingoneenters this areaat the
minimumseparationdistance.
The following hypotheses are considered for the
calculations:
shiparrivalsaccordingtothePoissondistribution;
infinitecapacityof thewaitingbasin;
fixedspeedfor eachshipinthechannel;
deterministicseparationdistancebetweenships;
Figure18. Channel capacitymethodology.
fixedfleet composition;
permanentcommunicationbetweenshipandtraffic
controller;
ship characteristics known in advance by traffic
controller;
irrelevant windeffects;
permanent availabilityof pilotsandtugboats;
24hours/dayoperation;
balancedenteringandexitingflows.
By adoptingthePermanent International Associa-
tionof NavigationCongress(PIANC) expressionfor
thestoppingdistanceis:
This distance is increased to take into account
adverseweatherconditions(50%), approximationin
speedmeasurement(40%) andadditional safetyrate
(20%):
TheminimumseparationtimeS
IJ
betweenacou-
pleof ships I andJ further depends upon thespeed
strategyadoptedinthechannel (singlespeedor multi-
speed) and is calculated at the generic ship I dock,
whosedistancefromthechannel enteringisLC
I
:
The probability P
IJ
that the generic arriving ship
hasaseparationtimeS
IJ
fromthefollowingoneisthe
product P
I
P
J
of thecorresponding probability of
arrival of shipsI andJ.
Thereforethemeanservicetimeis:
and the maximumarrival rate, corresponding to the
capacityof thesystem, accordingtothismethod, may
becalculatedas:
ThewholemethodologyisrepresentedinFigure18
flowchart.
633
Figure19. Minimumspacinglocation.
4.2 Models based on minimum spacing
The capacity corresponds to the maximumamount
of movements possible within defined time interval
under continuous demand service, corresponding to
saturationconditions.
Theinputrequiredbythismodel islimitedtoarrival
delays, whichcanbeeasilycalculatedor estimatedfor
anyport.
Moreover the definition of operational rules, fol-
lowed by the ships under saturation conditions, is
required taking into account that port basin and
approachingzonesareconsideredasawhole.
Arrivalsalwayshavepriority ondepartures, more-
over anexitingshipmay beauthorisedto moveonly
theminimumspacingfromthepreviousmovementsis
reached.
Twopossibilitiesexist (Fig. 19):
if the second ship is faster than the first one the
minimum spacing d will be located at the port
mouth;
if the first ship is faster than the second one the
minimumspacingd will belocatedatthepilotpoint
(wheretheshipis manoeuvredby personal of The
PortAuthority).
The perfect coordination of arrivals is obviously
impossible, thereforethespacingisnormallyhigher:
where B is a buffer depending upon the traffic reg-
ularity level, which is normally possible to define
accordingtoastandardnormal distribution.
Moreover adeparturemay beallowed only if the
crossing with the first arriving ship is located at a
spacingD.
Therefore, if a departure (ship 1) is followed by
an arrival (ship 2) the time interval between two
departures(ships1and3) isdefinedas:
where:
V
1
and V
2
arethespeeds of theships outsidethe
port mouth;
Figure20. Minimumspacingmethodology.
Table4. Comparisonof model results[movements/day].
Model GioiaTauro Livorno
Channel 35 64
capacity
Minimum 29 29
spacing
Meannumber 40 53
of movements
t
u1
andt
e2
arethemeanexitingandenteringtimes
fortheships, calculatedaccordingtotrafficmixand
docklocation;
Thewholemethodologyisrepresentedinflowchart
Figure20.
4.3 Applications of the two models and remarks
Thecapacityvalueshavebeenestimated:
fortheportof GioiaTauroonthebasisof theoverall
number of entering/exitingdailymovements(19);
For theport of Livorno on thebasis of theenter-
ing/exitingnumber dailymovementsinthesection
beforeDarsenan1, CanaleIndustrialeandCalata
Gondar basins that is possible to assimilate to a
channel.
The key results of the comparison between the
model basedonthemeannumber of movementsand
thealternativemodelsarereportedinTable4.
For thechannel port of GioiaTaurotheresultsare
similar.
634
Inthecasestudyof theportof Livorno(treelay-out)
relevant differences exist, particularly for the mini-
mumspacing model, which seemunsuitable for the
applicationtotreelay-out ports.
Theoriginal model basedonthecalculationof mean
number of movements seems well reproducing the
averagecapacityvolumesfortheanalysedtypical port
lay-outs.
5 CONCLUSIONS
A stepwiseapproachispresentedallowing:
to dimension aharbour terminal (container termi-
nal) interms of optimal storagecapacity, geomet-
rical and operational characteristics, starting from
freight handledinareferencetimeinterval;
toestimateterminal capacityexpressedbythenum-
ber of ships able to use the port equipments in
additiontoregular anddaily traffic insidetheport
indefinedserviceregularity conditions (under the
influenceof consideredadditional movements);
to identify a qualitative correspondence between
analysed different port lay-outs and respective
manoeuvringcapacity.
REFERENCES
FlorioL., Malavasi G., 1995. Introduzione allanalisi strut-
turale degli impianti portuali di trasbordo container,
IngegneriaFerroviaria, August, 454.
Malavasi G., Marinacci C., Ricci S., 2007. Capacit portuale
lato mare: un modello di valutazione sintetica Binari sul
mare.Scenari di integrazionedel trasportomerci,Officina
edizioni, Roma.
Malavasi G., Marinacci C., Ricci S., 2008. Performances and
application fields of sea side port capacity modelsAATT
2008, Athens.
Malavasi G., Ricci S., 2002. Generalized model for the per-
formance evaluation of different railway freight terminals.
9thInternational Symposium, RailwaysontheEdgeof the
3rdMillennium, Zilina.
Marinacci C., Quattrini A., Ricci S., 2008. Integrated design
process of maritime terminals assisted by simulation
models MMS2008TheInternational WorkshoponHar-
bour, Maritime & Multimodal Logistics Modelling and
Simulation, Briatico.
Noli A. andothers, 1984. Calate portuali e terminali marit-
timi. Criteri generali di pianificazione e costruzione,
Roma, ESA.
Park C.S., Noh Y.D., 1987. An interactive port capacity
expansion simulation model Engineering Costs and
ProductionEconomics, Volume11, Issue1(109124).
Potthoff G., 1979. Verkehrsstrmungslehre, Vol. 15
Transveb, Berlin.
635
14.7
Turkishmaritimetransport policy(19602008)
M. Kadioglu
Istanbul Technical University Maritime Faculty, Tuzla, Istanbul, Turkey
ABSTRACT: Aninward-orientedstrategywasadoptedfor theTurkishmaritimesector from1923 thefoun-
dationdateof theRepublicof Turkey to1952.A partiallyliberal policywasexperiencedbeginningfrom1952,
andaplanneddevelopment periodhasstartedsince1962.
Thisstudyisaimedatinvestigatingtheprinciplesandtargetsfor themaritimesector beginningfromthefirst
five-year development plantothecurrent planincluding2013, andevaluatingwhether thestatedtargets have
beenachievedor not. Moreover it isalsoplannedtoinvestigatethemaritimetransportationandtostatethenew
opportunitiesandcurrent issuesaboutTurkeybriefly.
1 INTRODUCTION
Activities concerning the Turkish shipping industry
and shipyard management in Black Sea, Mediter-
ranean and MarmaraSeacoasts werefirst seen dur-
ing the Seljuk Empire. Earliest Turkish shipyards
founded at Sinop in the Black Sea in 1214 and at
Alanya in the Mediterranean in 1227 built the 80
or 100ton boats which wereimportant at that time.
ThentheIzmir ShipyardbelongedtotheAydinPrinci-
pality wasfoundedin1326(Kadioglu, 1997). At the
beginningof theOttomanEmpireIzmit, Karamursel,
Gemlik, Aydincik and Gelibolu shipyards, and then
Istanbul, Suveys, Sinopandshipyards werefounded.
Theshipsbuiltintheseshipyardswereveryimportant
for thecommerceintheMediterranean.
ThepublicbodiesconcerningtheTurkishmaritime
transportationwerefirstfoundedwhenthesteamboats
arrivedinTurkey. Forthereasonthatthetransportation
previously werecarriedout by therowboatsandsail-
boats, thehistoryof themaritimetransportationstarts
earlier.
The maritime policies of the Modern Turkey are
as following: theperiodbetween1923and1952, the
Maritime Bank period between 1952 and 1984, and
theperiodbeginningfromtheTurkishMaritimeOrga-
nizations and the other maritime attempts become
independent, anduptonow.
The maritime policy of the Turks during the
OttomanEmpireperiodhascompletelybeenchanged
sincethefoundationof theRepublicin1923.Although
Atatrkthefounderof theRepublicwantedthemar-
itimeissuetobeadoptedasanational ideal, itisseen
that Turkey didnt make almost any investments on
themaritimeissue.Thepassengerandloadtransporta-
tionwerecarriedoutbytheclassically-builtpassenger
shipsbetween1923and1952inTurkeydamagedinthe
FirstWorldWar toomuch.
From1923 theyear of theTurkishRepublic was
founded to 1950 mostly the railway and maritime
line-oriented policies were adopted. As a result of
thesepoliciestherailwaytransportationratiowas55%
and the maritime transportation ratio was 27,8% in
1950. Theroadtransportationratiowasonly17,1%in
1950.Themaritimelineshareatpassengertransporta-
tionwasabout7,5%between1923and1952inTurkey
(SPO, 1962).
When the multi-party systemhas been started in
Turkey since 1952, the liberal policies were par-
tially adopted. A planneddevelopment planhasbeen
adopted and five-year development plans have been
arrangedsince1962inTurkey.
WhenTurkey arranged and carried out thedevel-
opment plans, therehaveseenmanyimprovementsin
themaritimesector asthesameintheother sectors.
When the maritime bodies became independent
accordingtothelawenteredinforcein1984, theTurk-
ishMaritimeOrganizations(TD
I) tosolvetheadmin-
istrativeissuesconcerningthemaritimesector andto
control it under unique structure, theTurkish Ship-
ping Industry (TGS) to undertaketheship building,
Denizbank especially tosolvethefinancial problems
of themaritimesector, andfinallytheMaritimeTrans-
portationCompanyfirstlytomakethetransportations
of thepublic sector werefounded. Soontheemploy-
mentincreasedinthesebodies, theexpectationsabout
theautonomy andeffectivenesscouldnt bemet. And
thenall thesebodieswereprivatized.
2 FIRST FIVE-YEARSDEVELOPMENT PLAN
(19631967)
For thereasonthat Turkisheconomical structurewas
not strong enough, main principles and general tar-
gets of the First Five-Year Development Plan were
637
to benefit best from the current capacity without
investing more, and thus to supply passenger and
load transportation, and to make services better by
decreasingthecost.
Moreover themanagement targetssuchastocol-
lect theharborsunder oneumbrella andtobuildfree
zones or harbors which will mostly work for transit
tradeweredetermined(SPO, 1962).
TheTurkish-flagships to carry at least half of the
exportgoodsof Turkeywasincludedintheshort-term
targets, andtocreateanewer andmodernmerchant
marinewhichwill competewiththeforeign-flagship
intheinternational waters wasincludedinthelong-
termtargets.
3 SECONDFIVE-YEARSDEVELOPMENT
PLAN(19681972)
In the Second Five-Year Development Plan period
(19681972) it was aimed at coordinating all the
transportationareasononehand anddisplayingthe
general policyof thetransportation (SPO, 1967).
It was thefirst timeit was included to decidefor
renewing themaritimesector and competing under
thesameconditionswiththecompetitors,andalsothe
supportintheplan.Howeveritisaconflictthatitwas
both included the support and adopting the ones
usingsysteminthetransportationsector shouldmake
contributionforbuildingandmaintenancecosttomeet
theamortization, maintenanceandsustainment cost.
Inthesecondplanitwasstatedthatforthemaritime
sector to have a progressive, dynamic and keeping
abreast of theconditions, thecompletemoderniza-
tion including management, administration, organi-
zation, planning and search subjects in addition to
the technical features in the maritime sector was
necessary.
4 THIRDFIVE-YEARSDEVELOPMENT
PLAN(19731977)
For thereasonthatduringtheearlier twodevelopment
planperiodsthemaintargetsconcerningtheadminis-
trativeregulationsabout themaritimesector couldnt
becarried out, mostly it was again focused on mak-
ing planning and project studies, and collecting the
services under one umbrella at the Third Five-Year
Development Planperiod(19731977).
Andso, thetargetsaboutbalancingthedistribution
of thetransportationbetweenthesubsystems, detect-
ing the correlations in issues such as site selection,
industrializationandgrounduse, preparingaproject
study in order to expandthecapacity of at least one
harbor ineachregionintheMediterranean, theBlack
SeaandtheWest regions of Turkey for theindustrial
transportationsweredetermined.
During theplan period especially in parallel with
theincreaseinfuel prices, it waspointedout that the
taxation at transportation, tariff, cost andsubvention
issueshadtobehandledandsolvedinaccordancewith
thenewconditionsof Turkey.
The Third Five-Year Development Plan period
(19731977) was the period at which the first con-
crete target concerning the Turkish maritime sector
wasseen. Inconformitywiththistarget, it wasaimed
at operating the totally 5.000-capacity 4 ships and
2trailersin1975(SPO, 1972).
5 FOURTHFIVE-YEARSDEVELOPMENT
PLAN(19791983)
Asaresultof thepetrol pricesincreasedrapidlyinthe
world, carrying out the transportation services with
less fuel consumption and the most suitable trans-
portation systems for Turkey, and thus minimizing
theforeign-sourcedependency at thesector werethe
mostimportanttargetintheFourthFive-YearDevelop-
mentPlan(19791983). Inordertoachievethistarget,
therequired measures would becarried out to focus
onthemasstransportationbydirectingloadtransports
of theindustrytorailwayandmaritimetransportation,
and themaritimetransportation sharewith the9,5%
ratio in 1977 would be increased to 10,7% in 1983
(SPO, 1978).
Strengthening the infrastructure of the maritime
transportation and pipeline transportation, and also
theintegrationwas first expressedinthefourthplan
period.
In the plan it is emphasized that while preparing
thetransportationpolicies, thereal cost of thetrans-
port inthetransportationsystems shouldbedetected
in order to arrangethetariffs by takinginto account
thereal cost aswell asthecorrelationsandeffectsof
thetransportationinfrastructuresystems.
During the Fourth Five-Year Development Plan
period (19791983) Turkey has understood that the
maritimesectorwouldbeeffectiveonpayingtheexter-
nal debts of Turkey. During the plan period it was
claimed that the facilities arisen from the Turkish
geographical positionshouldbeevaluatedandthemar-
itimepoliciesshouldbedetermined.Thusitwasaimed
the importance of being the international causeway
to be evaluated for increasing the development and
makingcontributioninorder topaytheexternal debts
(Guner & Kadioglu & Coban, 1997).
During the Fourth Five-Year Development Plan
(19791983) it was aimed theincentivelaws, which
wouldencouragethehigh-capacityloadandpassenger
transportsystems, tobeenteredintoforce, thebigand
integratedproject concept to bedeveloped, thetrain-
ing, control andengineeringservicesrequiredfor the
transportationsecuritytobeimprovedfirstly, andthe
zonecomplexes including thetransit circulation and
ship maintenance shipyards if necessary to be built
whilecarryingout thenewharbor capacities.
The concrete targets about the Turkish merchant
marinehavebeendeterminedalso inthefourthplan
period. Since the targets of plan were initially to
decrease the freight and external debts of Turkey,
638
it was aimed that the Turkish merchant marine to
beincreased as 800.000 DWT morein thefive-year
periodduringtheFourthFive-Year DevelopmentPlan
(19791983) and to be reached 2.600.000 DWT in
1983.
Also in the fourth plan period it was emphasized
that theimportanceof pipelinetransportationshould
beevaluatedcarefully.
6 FIFTHFIVE-YEARSDEVELOPMENT
PLAN(19851989)
Thetargetsonthemaritimesector tobestrengthened,
theeffectivenesstobeincreased, thecurrent capacity
tobeusedinthemosteffectiveway, theservicecapac-
itytobeimproved, andtomakesafer wereincludedin
theFifthFive-Year Development Plan(19851989).
The road transportation was mostly preferred for
the long distance load transport between 1952 and
1985 in Turkey. Since the fuel prices increased and
environmental conscious improved, the studies for
directing the domestic transports to the maritime
transportation of theunit pricewas cheaper was
alsoincludedinthefifthplan.
According to theconcerned target theroad trans-
portationshareinthedomestictransportationswould
be decreased from 80,9% to 65,7% at the end of
theFifthFive-Year Development Planperiod(1985
1989), on the contrary the maritime transportation
share would reach 11,5% at the end of 1989 and
pipelinetransportationsharewouldreach4,4%(SPO,
1984).
Theprojectsmakingthetrafficsafer wouldbepri-
oritizedandthecompanies workingfor themaritime
transportation would have the lions share fromthe
international transportation.
Moreover thecurrentharbor investswouldbecom-
pletedduringtheperiod, it wouldbemadeinvestment
foranewharborintheMarmaraRegionof Turkeyand
theprojects wouldbepreparedfor buildingthecon-
tainer terminals at someof themost important Turk-
ishharbors at theinternational transportation. Firstly
important harbors at the international transportation
would beimproved technically and administratively,
andmodernized. Thus it was aimedat increasingthe
harbor capacitiesandadvancingtheservicelevel.
It was aimed at making the Turkish Merchant
Marinesuitablefor theinternational maritimetrans-
portation and modern management concept, and the
tonnageof TurkishMerchantMarinetobereached6,2
million tons at the end of Fifth plan. In conformity
withthosetargetsit waspointedout improving the
passenger shipswhichwouldmaketransportationfor
touristicpurposeandlocal passenger transport.
7 SIXTHFIVE-YEARSDEVELOPMENT PLAN
(19891994)
DuringtheSixthFive-Year DevelopmentPlan(1989
1994) themaritimesector hasalsobeenconsideredas
atransportationsystemsupportingthedevelopmentof
thecountrywithoutcausinganybottleneckbecauseof
thegrowingexternal debtof Turkey, makingtheinter-
national commerceeasierandmakingcontributionfor
thepayment balanceof Turkeymost.
During the Fifth Five-Year Development Plan
period (19851989) 22% of the total public invest-
mentsweresharedfor thetransportationsystem, and
thus it was aimedat spendingalmost thetotal of the
investments for the current projects and so making
contributionfor theeconomyrapidly (SPO, 1988).
DuringtheSixthplanperiodit wasfirst expressed
integrationwiththeEUandaimedatconformingto
theEuropeanUniononthetransportationpolicies.
It was adopted to prioritize the staff training at
infrastructure and management issues in order
to followtheinternational developments closely and
to make services concerning the maritime sector in
Turkeyasrequired.
It was also pointed out at this plan period that
in order to benefit from the Turkish harbors more
at transit transportations carried out over Turkey,
it was necessary to make arrangements encourag-
ing this transit at harbor superstructures and tariff
systems.
Attheendof sixthplanperioditwasaimedtheTurk-
ishMerchant Marinetobereached6,5millionDWT
viaconstruction and import of theships appropriate
for theinternational technological developments.
During theplan period it was predicted theTurk-
ish Merchant Marine share to be increased 8,1% at
domesticloadtransportationand4,8%atinternational
loadtransportation.Besides,itwasexpectedtheinflow
of foreign currency fromthetransportation between
thethirdcountriestobesuppliedandtheshareof the
Turkish-flagshipsfromthetransittransportationtobe
reached3milliontons.
Sixth Five-Year Development Plan period (1989
1994) has beenaperiodespecially emphasizingship
buildingindustrycapacityof Turkey. Itwasexpressed
that thenecessary financial facilities should besup-
pliedforevaluatingtheshipbuildingindustrycapacity
of Turkey, renewingthemerchantmarineandmeeting
theadditional shiprequirement.
Duringthesixthplanperioditwasexpressedastudy
wouldbepreparedwhichwoulddetectthesocial, eco-
nomicandenvironmental featuresof theTurkishcoasts
at industrial, commercial andtouristicpoints, thecur-
rent harbor capacities, andthepotential coasts of the
sector suitablefor developing.
The Sixth Five-Year Development Plan period
(19891994) was the period when the privatization
studies for harbors started. In this plan period it
was aimed at starting for the autonomic harbor
management application in order to make some of
the important foreign trade harbors of Turkey more
effective.
Inthis context it was aimedat makingtheadmin-
istrativearrangements inorder to privatizetheactiv-
ities at public harbors accordingto their subject, and
applyingwiththepilot projects.
639
8 SEVENTHFIVE-YEARSDEVELOPMENT
PLAN(19962000)
During the Seventh Five-Year Development Plan
period (19962000) it was initially expressed an
environment-friendly transportation infrastructure
andalsocarryingout thetransportationinfrastructure
requiredfor theeconomic andinternational relations
with the Independent Turkish States for the states
benefitsinconformitywiththecurrent facilities.
In the plan it was again aimed at as in ear-
lier plans increasing the effectiveness, using the
currentcapacitieseffectively,makingthelegal andcor-
porate arrangements and infrastructure to direct the
domestic transportsgenerally carriedout by theroad
transportationtothemaritimetransportation.
ForthereasonthataTransportationPolicy, which
was in conformity with the economic and social
progress of the state in addition to the integrated
and stable structure for the transportation systems,
couldnt be determined, it was decided to prepare a
MasterTransportationPlanintheSeventhFive-Year
Development Plan(19962000).
Theprivatizationatthemaritimesector wasclearly
expressed in the 6th plan period. In the plan it was
adoptedtheprivatizationprogramsandcontrol mecha-
nismssuitableforthemaritimesectortobecarriedout.
It was aimedat makinginvestments for themaritime
sector to bewithBuild-Operate-Transfer model as
alsointheother investments. Moreover itwasdecided
to improve the programmed investments in the har-
borsandtocarryoutnewcapacitiesif required(SPO,
1995).
Inorder to comply withtheglobal maritimetrade
conditionstotallyitwaspointedoutconformingtothe
maritimepoliciesof theEUandmakingarrangements
forthenational regulationaboutthemarineinsurance,
environment, financial rent, shipping agency regula-
tion and constituting themaritimespecialized court.
Andthusit wasaimedat constitutingadynamicpol-
icy which would follow the global maritime sector
closely and make arrangements complying with the
growingnational andinternational conditions.
The idea as the harbor management, which has
notbeentotallycompleted, tobeunder theautonomic
structureor elseto beprepared for theinternational
competencebyprivatizingwasincludedintheSeventh
Five-Year Development Plan(19962000).
9 EIGHTHFIVE-YEARSDEVELOPMENT
PLAN(20012005)
Itwaspredictedthatthecombinetransportation one
of themostimportationtransportationinthe21stcen-
tury would affect also Turkey, which is a transit
country,forharborsandtheothertransportationinfras-
tructures during the Eighth Five-Year Development
Plan(20012005).
It was aimed at improving, modernizing and
increasingthecapacitiesof Turkishharborsaccording
to theNational Harbors Master Plan completed in
2000 in order to attributeTurkey as atransit laneof
thetransit transportation(SPO, 2000).
During the Eighth Five-Year Development Plan
(20012005) it was especially emphasized that the
requiredpoliciesshouldbefollowedinorder tomake
transportationserviceseconomicandsafe, tobalance
thetransportationtypesinconformitywiththerequire-
ments of Turkey, to provide the security of life and
property during the transportation, to minimize the
damagestotheenvironment, tobenefit best fromthe
informationandtechnologies.
For thereasonthat thecoastal shippingmonopoly
hastobeexpiredif Turkeybecomesamember of the
EU, it wasdecidedthat necessarymeasuresshouldbe
followed to support the load and passenger ships
carryingoutthecoastal shipping for harbor services
andfuel inordertodirecttheloadandpassengertrans-
portationinTurkey tothemaritimetransportation. In
order to beready for apossibletheEuropeanUnion
competitionit wasaimedat strengtheningthecoaster
fleet.
It was aimed at making the necessary legal reg-
ulationchangestoarrangethemaritimeregulationin
accordancewiththeinternational regulation, toenable
the entrepreneur to acquire and manage the ship by
thefinancial renting, toapplytheindirectsupports-in
forceintheinternational area- forbuildinganewship.
It was again aimed theharbor management to be
under anautonomic structureandto bepreparedfor
theinternational competition.
It wasaimedTurkey-abridgebetweenEuropeand
Asia- tobecomeacombinetransportationterminal for
thetransittransportationbetweenthesetwocontinents.
It was pointed out theinternational crudeoil and
natural gaspipelineinvestments, whichisveryimpor-
tant for themaritimesector andwill attributeTurkey
oneof themost important energy distributioncenter,
shouldbepaidattention.Andso, Baku-Tbilisi-Ceyhan
Pipeline projects, which will transfer the crude oil
manufacturedinKazakhstan, TurkmenistanandAzer-
baijaninCaspianBasin, totheMediterraneanandthan
totheworldmarketsbypipeline, wascompletedinthe
8thPlanperiod.
10 NINETHDEVELOPMENT PLAN
(20072013)
Itisseenthatanyconcretetargetsconcerningspecifi-
callythemaritimesectorhavebeendeterminedforthe
NinethDevelopment Plan(20072013).
ThelandlockedTurkishRepublicsincludingAzer-
baijan, Kazakhstan, Turkmenistan, Uzbekistan and
Kyrgzistan couldnt reach the Persian Gulf or the
MediterraneanbecauseIranblocks. If Iranstill carries
onthesamepolicy, itisaimedattransportingtheprod-
uctsof thelandlockedTurkishRepublicsoverCaspian
SeatoBakuandthentotheMediterraneanortheBlack
SeabytheRO-RO.
Inorder toachievethistarget, thementionedcoun-
tries will be able to reach to Trabzon and Mersin
640
Figure 1. Change of Turkish Merchant Marine Fleet
(19802007).
inTurkey following theTrans-Asiaroad and railway
projects arecompleted. So it is aimedat completing
theTrans-Asia road and railway projects as soon as
possible(SPO, 2006).
ThetransportationbetweentheTurkishRepublicsas
well astheotherMiddleEastcountriesandthemember
statesof theEuropeanUnioniscarriedoutmostlyover
theRen-Main-DanubeCanal and theBlack Sea, the
MarmaraandtheTurkishStraits. Moreover, inorder
tomeet therequirements concerningthecommercial
transportationstobecarriedoutwiththecountriesnext
totheBlackSea, it ispointedout that;
Theequipment needsof theTurkishharborsinthe
BlackSeashouldbesupplied,
Because of the probable circulation at Turkish
straits, a computer-aided radar control system
shouldbeestablishedtomakethecirculationsafe,
It should be made investments for affecting the
salvageservices.
In order to use the Danube-Rhine Canal -opened
for circulationin1992- moreeffective, thenavigation
treaties between the Danube States should be com-
pletedandtheconstructionscarriedout over theriver
shouldbeended. Inthefuture, itisexpectedtheTurk-
ishharborstohavesharefromthegreattransportation
carriedout over Danube-RhineCanal.
11 CONCLUSIONANDPROPOSALS
Thedwt-basedsharesof theTurkishMerchantMarine
with7,2millionareas46,92%for theBulk Carriers,
20,30% for the Dry Cargo Vessels and 15,51% the
Petrol Tankers, respectively. The dwt-based share of
theother typesof shipsis17,27%.
Thedivisionof thetonnageandagegroups of the
TurkishMerchant Marineasfollowing;
In the fleet with totally 1473 ships and
7.244.062Dwt; 374 ships with 2.700.763Dwt areat
agegroupof 0to9years, 275shipswith601.925Dwt
are at age group of 10 to 19 years, 412 ships with
2.858.223Dwt are at age group of 20 to 29 years
and 412 ships with 1.083.151Dwt are at age group
of 30yearsandover.
There have been increases and decreases at dwt
shareof theTurkishMerchantMarineat5,7%in1998
and1999, at 8,1%in1999and2000, at 1,9%in
Table1. Changeof TurkishPortActivities(MillionTon).
Year Shipment Emptying
2000 16,480,210 20,847,595
2001 13,647,620 12,633,778
2002 13,044,511 12,213,078
2003 13,511,217 12,833,551
2004 14,539,714 14,678,638
2005 14,238,305 13,858,655
2006 13,595,664 14,682,817
2007 16,364,074 18,741,552
2000and2001,at6,9%in2001and2002,at12,0%
in2002and2003, at7,5%in2003and2004, at7,8%
2004and2005,at4,3%2005and2006andat0,2%
in2006and2007(Fig. 1).
37% of the Turkish Merchant Marine are at age
group of 0 to 9 years, 8%of areat agegroup of 10
to19years, 40%of areat agegroupof 20to29years
and15%of areat agegroup30yearsandover.
In 2007 the Turkish Merchant Marine was com-
posed of 1473 ships, 47% of (693 ships) were reg-
isteredintheNational Registrationand53%of (780
ships) wereregisteredintheInternational ShipRegis-
trationof Turkey(TUGS).
The 10% of dwt share of the Turkish Merchant
Marine was registered in the National Registry and
the90%of dwt sharewasregisteredintheTUGS; the
14,7%of grtsharewasregisteredintheNational Reg-
istry andthe85,3%of grt sharewasregisteredinthe
International ShipRegistrationof Turkey(TUGS).
Sharesof themost important export itemsof mar-
itimelines 67,5milliontonsin2007 were10,6%
for theConstructionIron, 5,7%for theFeldspar and
4,3%for theFuel Oil. Andsharesof themost impor-
tant import items of maritime lines 152,3 million
tonsin2007 were15,6%for theCoal, 14,5%for the
CrudeOil and10,9%for theJ unk.
Theforeigntradetransportationof Turkey in2004
wastotally173,6milliontons. The151,8-millionton-
part of those loads i.e. 87,4% was carried out by
maritimetransportation(COS, 2006).
Although it was aimed at transporting at least
50% of theTurkish foreign trade goods in the First
5-YearDevelopmentPlanperiod, thisaimhasnotbeen
achievedyet (COS, 2008).
OntheTheforeigntradetransportationsharewith
theTurkish-Flagships of Turkey in2005was 25,3%
for import and 18%for export (Table, 1). Contrary
foreign-flag ships share was 74,7% for import and
82%forexport(Table, 2).Theshareof national marine
was just 23% for the foreign trade transportation in
2005, and the freight paid to the foreign-flag ships
went beyond3BillionDollarsper year.
For thereasonTurkey is too latefor acquiringthe
Turkish-flagcruise, ferry andpassenger ship, Turkey
couldnt benefit from the growing cruise tourisme
sufficiently (Ucisik&Kadioglu, 2001).
Sincetheguidenessandtugservicesareprivatized,
theservicequality increasedandprices arebalanced
inaccordancewiththecompetition.
641
Table 2. Change of Turkish Merchant Marine Fleet for
TurkishForeignTrade(MillionTon).
Year TurkishFlag ForeignFlag
1998 33,6 66,4
1999 31,2 68,8
2000 32,1 67,9
2001 34,6 65,4
2002 36,1 63,9
2003 30,3 69,6
2004 25,3 74,7
2005 25,1 74,9
2006 23,2 76,8
2007 17,7 82,3
The target about renewing the Turkish Merchant
Marine expressed in the Second, Third, Fifth and
EighthPlanperiodshasnot beenachievedyet.
Thestudies about renewingandstrengtheningthe
Turkishmerchant marinestill continue.
Although there are vast opportunities in Turkey,
the coastal shipping is not carried out enough. Old
and small coaster fleet is less important for theload
transportation.
It is aimed at renewing and strengthening the
shipscarryingouttheinternational transportationand
especiallythecoaster fleet.
Thetargetabouttheharbormanagementtobeunder
theautonomicstructureortobepreparedfortheinter-
national competition by privatization has not been
achievedcompletely.
ThecontainertransportsintheTurkishharborswere
expressedmostlyintheFifthPlanperiod. Howeverthe
targetaboutmakinginvestmentsforthenewcontainer
terminalswasincludedjustintheSeventhPlanperiod.
Until the2008global crisis,itwasthegoldenagefor
TurkeyandtheWorldatshipbuilding.Therearefull of
ordersinthewholeprivate-sector shipyardsinTurkey
till 2010.Turkeystartedtobuildchemical tanker, con-
tainer ship, tugandsimilar shipsatabout30000DWT
for Germany, Italy, Spain, France, Denmark, Sweden,
Norway, Holland, RussiaandEngland. Becauseof the
global crisis in2008Turkishshipyards wereaffected
inanegativeway.
InTurkey thenumber of thetraining institutes to
educateaseafarer andthegraduatedstudentsof those
institutes has substantially increased. And also first
privatemaritimeuniversityof Turkeywasfounded.
Theimportantpartof thestructural problemsof the
maritimesectorblockingtheinternational competition
hasbeensolved.
A safeanddetaileddatabasehas beenestablished
for themaritimesector.
In 1987 therewere21 harbors handling domestic
andforeigntradegoods at thepublic administration.
Moreover totally69harbors-6of themwereoperated
bytheindustrial bodiesand32small harborsandsea-
portswereoperatedbythemunicipalitiesandtheother
bodies- wereactive.
There are 160 harbors and seaports in Turkey in
2008that 6of themareoperatedbytheTD
I (Turkish
MaritimeOrganizations) and6of themareoperated
by theTCDD/TurkishStateRailways. If weexamine
interms of operatedbodies, thereare25public har-
bors, 27municipalityharborsand108privateharbors
(Kadioglu & Bas, 2008).
For the reason that the Turkish harbors couldnt
follow thetechnologic developments, theinfrastruc-
ture is not adequate and the railway connections
whichwill integrateintotheharborsarenotsufficient,
Turkeycouldntbenefitfromthetransittransportation
enough.
In 2007 it is observed that the transit transporta-
tion becamemoreimportant when theBaku-Tbilisi-
Ceyhan (BTC) pipelinewhich has been entered into
servicesinceJ uly 2006andhastransferredtheAzer-
baijani petrol first toCeyhanbythepipelineandthen
especiallytoEuropeandtheMiddleEasternStatesby
themaritimelines. 210.352.000barrelsof petrol were
transferredbytheBTC pipelinein2007.
288.083.916tonloadswerehandledinharborsand
seaportsof Turkeyin2007. Divisionasfollowing:
67.597.739tonsof export including23,4%
152.313.601tonsof import including52,9%
35.105.626tonsof freight including12,2%
33.066.950tonsof transit including11,5%.
The Turkish ship building industry is one of the
sectorsimprovingquickly.
InTurkeytheshipbuildingcapacitiesin1987were
25.000DWT the largest one in one-piece for
military purpose, 75.000DWT for Turkish Shipping
Industry of public and 30.000DWT for the private
sector. Theironworkingcapacitiesof thoseshipyards
were 117.380 tons per year and the ship building
capacitieswere306.060DWT per year.
Thenumber of theshipyards was 27 in 1982 and
todaythereare84activeshipyardsfromtheMediter-
ranean to the Black Sea by detecting new building
areasandmodernizingthefacilities. In2013thenum-
ber of shipyardswill be140together withthecurrent
projects(SPO, 2006).
TheTurkishshipbuildingindustryhasthepossibil-
ityandcapacityas10MillionDWTsformaintenance,
1 Million 800 thousand DWTs for new ship build-
ing, 600 thousand tons for steel working and up to
80thousandDWTsfor newshipbuilding.
The Turkish shipyards having the capacity and
employmentincreaseespeciallyforthelast3yearswas
ranked23rdin2002, reachedtothe8thrankin2006by
the1,8million-DWT shipandyachtorderandreached
to 6th rank by the 239 ship and yacht order with
3.05MillionDWT.Thesector breakingrecordsonthe
amount andtonnageof ships built inexport in2008
wasattop5atshipbuildingordermarket(COS, 2007).
NowTurkish shipyards areat number 1 at small-
tonnagechemical tanker buildingandat number 3at
mega yacht building. Mediumand small-sized ship
projects have been sent to Turkey especially since
2002.
The studies about conforming to the European
Unionstill continue(Kadioglu & Deniz 1997).
642
REFERENCES
COS (Chamber Of Shipping) (2008) Report on Shipping
Sector 2007. Istanbul, Turkiye.
Sector 2006. Istanbul, Turkiye.
Sector-2005. Istanbul, Turkiye.
Guner, S., Kadioglu, M., Coban, S. (1997) Turkeys Mar-
itimePolicyDuringThePlannedEconomy Proceedings
of the Eighth Congress of the International Maritime
Associationof MediterraneanVolumeII., Page., 10.1-12.,
Istanbul, Turkiye.
Kadioglu M., Bas M. (2008)., Port management strategy
of Turkiye(Turkey), 11th International Conference on
Transport Science, 28th and 29th May 2008, Portoro,
Slovenia.
Kadioglu, M., Deniz, C. (2006) Turkish Maritime Policy
And Adaptation Issues To The European Union Mar-
itimePolicy, MaritimeTransport2006, 1619May2006,
Barcelona, Spain.
Kadioglu, M. (1997) MaritimeTransportationandManage-
ment inTurkiye. MarmaraUniversity, Instituteof Social
Sciences, UnpublishedDoctoral Thesis, Istanbul,Turkiye.
SPO(StatePlanningOrganization) (2006) TheNinthDevel-
opment Plan(20072013)., Ankara, Turkiye.
SPO(State Planning Organization) (2000) The Eighth Five
YearsDevelopment Plan(20012005)., Ankara, Turkiye.
SPO(StatePlanningOrganization) (1995) TheSeventhFive
SPO(State Planning Organization) (1988) The Sixth Five
SPO(State Planning Organization) (1984) The Fifth Five
SPO(State Planning Organization) (1978) The Fourth Five
SPO(State Planning Organization) (1972) The Third Five
SPO(StatePlanningOrganization) (1967) TheSecondFive
SPO(State Planning Organization) (1962) The First Five
Ucisik, S., Kadioglu, M. (2001) Turkish CruiseTourism
Studies of Turkish World Magazine, J an 2001, Number
129, Page3538, Istanbul, Turkiye.
643
14.8
Theinfluenceof organicpolymer onparametersdeterminingabilityto
liquefactionof mineral concentrates
M. Popek
ABSTRACT: Whenthewetgranularmaterialslosetheirshearstrengththeyflowlikefluids.Thisphenomenon
iscalledliquefaction. Theliquefactioncanbepreventedbymeansof limitingthemoisturecontent of cargoby
introducingthesafety margin. Cargoes, whichmay liquefy shall only beacceptedfor loadingwhentheactual
moisturecontent of thecargoislessthanitsTransportableMoistureLimit (TML). It hasbeenrecognizedthat
insomecargoes, moisturecangravitydraintowardsthebottomof thehold. Theresultingmuchwetter bottom
layer maythereforebepronetoliquefactionandprovokeinstabilityof theentirecargo.
To prevent sliding and shifting of ore concentrates in storage a biodegradable materials are added to the
ore. Thepolymer materials absorbwater fromtheoreparticles pores andthemoisturecontent goes down. In
consequencepolymer materialsmayprevent drainageof thewater fromtheoreparticlespore.
1 INTRODUCTION
Bulkshippinghasbeenusedfor manyyearstoreduce
thecost of seatransport andthetransport of bulkcar-
goesisavital component of international trade. Such
trades require a sufficient volume of cargo suitable
for bulk handling and hence justify a tailored ship-
ping operation. Thefivemajor dry bulk cargoes are
coal, mineral concentrates, grain, bauxite and phos-
phaterock, andeachyear thetradeinbulk increases
(RobertsM. & MarlowP. 2004).
Inrecent years, bulk carriers havebeenidentified
with the high risk of catastrophic structural failure
and foundering, and with heavy loss of human life.
Several risk factors have been identified that had
significant, independent effect upon the likelihood
of a bulk carrier foundering. Ore concentrates and
othersimilarfine-grainedmaterialstransportedbysea
belongtohazardousmaterialswhenareconsideredas
bulkcargoes(materialsMHB).Thistypeof cargoesis
transportedinawet state.
Excessively wet cargocanpassintoliquidstatein
sea transport conditions (Zhan M. 2005, Shitharam
T. G. 2003). According to the Code of Safe Prac-
ticefor SolidBulk Cargoes(BC Code) (International
MaritimeOrganization2004), deteriorationor lossof
shipsstabilityisoneof threebasichazards, whichare
boundwithseashipmentof oreconcentratesandother
fine-grainedcargoes.Toohighhumidityof cargolead-
ingtoitsliquefactionmaycauseshiftof thecargoand
inconsequenceshipsheel andevenitscapsizingand
sinking.
The International Maritime Organization (IMO),
recognising that some losses had occurred due to
improper loading, issuedacodeof practicefor these
operations. The probability of a hazard developing
into an undesirable consequence is focus of safety
managementandsafetyregulation.Therecentpublica-
tionof recommendationguidelinesforcargohandling
operations and the amendments to the International
Conventionfor theSafetyof Lifeat Seacontributeto
thedecreasethepossibilityof occurrencetheliquefac-
tionduringseatransportation(International Chamber
of Shipping1999, BLU CodeLondon, (2004)).
To better illustrate liquefaction mechanismthree-
phasestructureof oreconcentratesandsimilar mate-
rials is considered, which consist of solids (mineral
grains), water andair.
Mineral grains are very small; they are from
0,001mmtoseveral millimeters large. Disintegration
level and percentage of particular size fraction may
differ dependingonconcentratetype.
In three phase structure air and water fill the
pores between mineral grains. The inter-grain pores
arecontractedinseatransport conditionsduetoship
rollingandvibration.Theair, permeabilitycoefficient
of whichisabout500timesgreater thanthatof water,
first escapes, thus full water saturation of pores is
affected.
Full compressivestressisthusappliedtotheincom-
pressible water in the pores between mineral grains
whichcauses dropof inter-grainfriction, i.e. oreliq-
uefactionandinconsequencepossibleshift of cargo
(Michaowski & others1995).
The possibility of instability because of liquefac-
tionof bulk cargoessuchasmineral concentrateshas
beenrecognizedforsometime. BCCodeincludessev-
eral provisionsaimedtopreventthemovementof bulk
cargoeseither byslidingor liquefaction.
Moisturecontentallowingtopassingof abulkcargo
fromsolidinto liquidstateis calledcritical moisture
content. Oneof itspossiblemeasuresisFlowMoisture
645
Point (FMP). Onitsbasispermissiblemoisturelimits
forshipmentconditionsaredetermined.Transportable
MoistureLimit (TML) issuchmoisturecontent at or
belowwhichaloosecargocanbetransportedinbulk
onships without danger of passingof thecargo into
liquid state. Its usually calculated as 90% of FMP.
Thepossibility of instability becauseof liquefaction
of bulkcargoessuchasmineral concentrateshasbeen
recognizedfor sometime. Manycasesarereportedof
largeheel of ashipor evenher sinkingdueto cargo
liquefaction. A cargo, whichis liableto liquefaction,
must besufficiently finegrained(so that permeabil-
ity issufficiently low) andhaveahighenoughinitial
moisturecontent:
For cargoeswithpermeabilitysolowthat virtually
no moistureredistributionoccurs duringvoyage, the
initial moisturecontent needs to bebelowthetrans-
portablemoisturelimit so that thewholecargo does
notliquefyasaresultof theshipsmotionduringheavy
weather.
For cargoesthat arerelatively freedraining, redis-
tributionoccurswithmoisturefromtheupperlevelsof
thecargodrainingtowardsthebase. Unlessefficiently
drainedthebilges, thiswater saturatesthebottomlev-
elsof thecargoandliquefactioncouldoccurwithcargo
shifting during heavy rolling motions (Eckerley J.D.
1997).
Thesecargoes, pronetoliquefaction, shouldnever
becarriedwithoutcheckingthemoisturecontent. The
Code of Safe Practice for Solid Bulk Cargoes lays
downthatacertificatestatingtherelevantcharacteris-
ticsof thematerial tobeloadedshouldbeprovidedat
theloadingport, incorporatingalsothetransportable
moisturelimit. Thecargoes which may liquefy shall
onlybeacceptedfor loadingwhentheactual moisture
contentof thecargoislessthenitsTransportableMois-
tureContentandrefusedif theanalysisrevealsthatits
moisturecontentistoohigh.TheCodeprovidesinfor-
mationhowthemoisturecontent of oresconcentrates
canbetestedandassessed.
For liquefactionthecargoneedstohavepermeabil-
itylowenoughthatexcessporepressurescannotdissi-
patebeforeslidingoccurs.Thisconditioniscontrolled
by the materials grain size distribution, and Kirby
expressedthisinrequirement that 95percent or more
of thecargoshouldbecoarserthan1mmtopreventliq-
uefaction. Insoil mechanicsliteraturetherequirement
isusuallyexpressedas0,006mm<d10<0,3mmfor
liquefactiontobelikely, whered10representsthepar-
ticlesizefor which only ten percent by mass of the
material isfiner (EckerleyJ.D. 1987).
A largegroupof organicpolymersfineduseinthe
mineral industrywiththespecificfunction[Bulatovic
1997]. Particularly attractive are the new materi-
als basedonnatural renewableresources, preventing
further impact ontheenvironment.
Starchisnon-expensivebiopolymer availablefrom
annually renewableresource. It is totally biodegrad-
able in a wide variety of environments and allows
the development of totally degradable products.
Starch can be found in plants as a mixture of two
polysaccharides: amylase, the nearly linear polymer
consisting of (1, 4)-anhydroglucose units, and
amylopectin, a group which is able to undergo sub-
stitutionreactionsandC-O-C linkageresponsiblefor
the molecular chain braking. The OH group has a
nucleophilic character andby reactionwithdifferent
reagentsitispossibletoobtainaseriesof compounds
of modifiedproperties. Chemical andphysical prop-
erties of starch have been widely investigated due
to its easy to be converted into a thermoplastic and
thenbeusedindifferentapplications(Tudorachi N. &
others 2006). Starch based blends present enormous
potential to be widely used in environmental fields,
as they aretotally biodegradable, inexpensive(when
comparedtootherbiodegradablepolymers).Themate-
rial containingstarchgetsdestroyedwhenexposedto
environmental factors, sincedueto starchhydrolysis
its structure becomes weaker, and after some time,
undercertainconditions,syntheticpolymerscontained
intheproduct alsoundergodecomposition.
Thepurposeof thisworkwasinvestigationonpos-
sibilityof usingbiodegradablethermoplasticmaterials
asabsorbersmoisture. Toprevent slidingandshifting
of oreconcentratesinstoragematerialscomposedof
starch, celluloseandpolycaprolactoneareaddedtothe
concentrates. Theproperties and theprocessing pro-
ceduresof biodegradablestarch basedthermoplastic
blends, likestarch/polycaprolactone, starch/cellulose
have been already reported (Demirgoz & others,
2000).
2 EXPERIMENTAL PROCEDURES
2.1 Material
Theironconcentratewasusedfor thetests.
It is aproduct of agravimetric separationof large
mineral particles. Theironconcentrateisafinemate-
rial whichisempiricallyjudgedaswhichmayliquefy
if shippedabovetheTML.
Followingpolymer materialsweretested: polymer
material Y (madeof thermoplasticstarchandcellulose
derivativesfromnatural origin) andpolymer material
Z(madeof starchandpolicaprolactone).
Theusedpolymer materialsareclassifiedasalow
environmental impact product.
Based on the results of estimation the ability to
absorbof water by polymers materials it canbesaid
that polymer material Y absorbs more water then
polymer material Z. The equilibriumabsorption of
polymer Y is reached in 48 hours. The time taken
to reach equilibriumwater content in polymer Z is
shorter about 18hours.
Water uptake is affected by the type of polymer.
Thetimerequiredto reachequilibriumwater uptake
is lower for blend containing starch and polycapro-
lactonethenfor blendcontainingstarchandcellulose
(PopekM. 2005).
Thesamplesof polymer materialswereingranular
form. The experiments were conducted for samples
of concentrate: without polymer materials and for
646
mixturescontain98%concentrateand2%of polymer
materials.
The course of grain size distribution curves indi-
cates that all the tested samples are susceptible to
liquefactioninseatransportationconditionsasineach
case the content of grains smaller then 0,3mm is
greater then 10%. The content percentage values of
thegrains (of thesizebelow0,3mm) in concentrate
without polymer is76,9%. Inmixturesof concentrate
and polymer materials thecontents of particles with
adiameter smaller than0,3mmarenegligiblesmaller
and amount 76,0%for mixture with polymer Y and
76,1%formixturewithpolymerZ. theresultsof grain
size analysis indicate that polymers do not signifi-
cantlychangegrainsizedistribution.Thisisthereason
whyall testedsamplesmayliquefy.
2.2 Methods
Followingtestshavebeencarriedout:
Estimationof TML:
TheInternational MaritimeOrganizationapproved,
in the Code of Safe Practice for Solid Bulk
Cargoes the following assessment methods of
safe moisture content in the cargoes: Flow
Table Method, J apanese Penetration Method and
proctor/FagerbergMethod. Theevaluationof FMP
was performed with the use of the Proctor
FagerbergTest. Proctor/Fagerberg Method is rec-
ommended for evaluation of some fine-grained
bulk cargoes. Thesamplewas consolidatedby 25
dropsof rammer from0,2mheight inthemeasur-
ingcylinder, layerbylayer, repeatingtheprocedure
5timesandfinally weighingthecylinder withthe
moist sample. Thenvolumetric density of thewet
concentrate
0b
andof thedryconsolidatedconcen-
trate
0bjs
werecalculatedandaconsolidationcurve
0bjs
f(w) drawn, wherew standsfor moisture
contentpercentageinrelationeithertowetconcen-
trate weight. TML was determined froma cross
point of the void ratio curve and a line of 70%
degreeof saturation, theoreticallycalculated.
Permeabilityof concentrates:
Thepermeability is therateat whichwater under
pressurecandiffusethroughthevoidsinthemin-
eral concentrates. These materials are permeable
to water because the voids between the particles
areinterconnected. Thedegreeof permeability is
characterizedbythepermeabilitycoefficientk,also
referredtoashydraulicconductivity.
According to the classification of soils, based
on their coefficient of permeability, mineral con-
centrates arethematerials withthelowdegreeof
permeability. Thepermeabilityof mineral concen-
trates depends primarily on thesizeand shapeof
grains, shapeandarrangementof voids, voidratio,
degreeof saturation, andtemperature.
Measurement of thecohesionandinternal friction
angle:
The estimation of cohesion and internal friction
anglewereperformedinthedirect shear apparatus
bycarryingtheshearingwiththehelpof lower and
upper part of displacingbox containingthetested
concentrate. In the experiment the samples were
compactedinadrystate.Themoisturecontentcor-
respondstotheTML valueestimatedinFlowTable
Test.
Intheexperiments(estimationof thepermeabil-
ity and the cohesion and internal friction angle)
the samples were compacted. The consolidation
conditions (intheholds) weresimulatedby using
vertical loads: 0N, 98N, 196N, 294Nand490N,
what corresponds to thenormal stresses: 0, 1,532
*104N/m
2
, 3, 0645*104N/m
2
, 4,589*104N/m
2
,
7,659*104N/m
2
respectively.Thetestwithoutany
stress corresponds to thestress intheholdduring
the loading. Increasing values of normal stresses
represents thechanges inthebulk cargoes during
theseatransportation.
3 RESULTSANDDISCUSSION
3.1 Estimation of TML
Theresults obtained by using Proctor/Fagerberg test
areshowninFigures12.ThefiguresshowVoidRatio
as a function of net moisturecontent by volume. In
eachfigure, theordinateandabscissadenotevoidratio
andnetmoisturecontentbyvolume, respectively. The
black circlesindicatethemeasureddata. Thestraight
linecorrespondstodegreeof saturation70%theoreti-
cally calculated. TML was determined froma cross
point of the experimental curve and a line of 70%
degreeof saturation.
TheobtainedresultsarepresentedinTable1.
Despitethepresenceof polymer intestedconcen-
trate, thevaluesof estimatedTML aresimilar, because
liquefactionistightlyrelatedtothegrainsizecontents.
3.2 Permeability
The results of permeability test are presented in
Table2.
Thecompactionmodifiespermeability of samples
bydecreasingthevoidsavailableforflowandreorient-
ingparticles.Basedontheresultstheeffectof different
Figure 1. Compaction curve for iron concentrate2%
polymerY.
647
Figure 2. Compaction curve for iron concentrate2%
polymer Z.
Table 1. Transportable Moisture Limit determined by
Proctor Fagerbergtest.
Transportable
Limit of Net
Specific Moisture
gravityof Content
Sample solid byVolume TML
Ironconcentrate 49% 9,02
2%polymerY 4,98
Ironconcentrate 47,5% 8,7
2%polymer Z
Table2. Resultsof permeabilitytest.
Permeabilitycoefficient k
[m/s]
Normal stress Ironconcentrate Ironconcentrate
[N/m
2
] 2%polymerY 2%polymer Z
0 14,0*10
3
15,2*10
3
1,532*10
4
8,5*10
3
9,2*10
3
3,064*10
4
7,1*10
3
8,8*10
3
4,589*10
4
5,2*10
3
7,5*10
3
7,659*10
4
3,5*10
3
5,15*10
3
compaction of the samples on the permeability was
observed. Themaximumvaluesof permeabilitycoef-
ficientkwereachievedforsampleswithoutanystress.
Theincreaseof consolidationforcecauseddecreases
thevalueof thepermeability coefficient. Theability
to permeability of mixtures is related to the com-
position of the polymer material. In all cases, for
sampleswithpolymer material Y, thehigher decrease
of permeabilitywasobtained.
3.3 Cohesion and internal friction angle
Thechangesof internal frictionangleasafunctionof
moisturecontent arepresentedinFigures34.
As a result of performed test it can be said that
internal friction anglereaches minimumvaluewhen
Figure3. Internal frictionanglefor ironconcentrate2%
polymerY.
Figure4. Internal frictionanglefor ironconcentrate2%
polymer Z.
Figure5. Cohesionfor ironconcentrate2%polymerY.
moisturecontent is chosentoTML. Thepresenceof
polymer material in tested sampleinfluences on the
valueof internal frictionangle. Ineachcasetheval-
uesarehigher thanthosefor samplewithout polymer
material.
Thecohesionasafunctionof moisturecontent are
presentedinFigures56.
Theapparent cohesiondoesnot occur indrymate-
rials with pores entirely filled with air nor in moist
materialshavingporesentirelyfilledwithwater. Inall
samples cohesion increases with theincreasing con-
tent of water and it reaches a maximumvalue with
moistureapproachingtheTML andthenitgoesdown.
The presence of polymer material in tested sample
648
Figure6. Cohesionfor ironconcentrate2%polymer Z.
significantly changes values of cohesion. Decreas-
ingvalues of cohesion, for eachmoisturecontent, is
observed.
4 CONCLUSIONS
The conclusion is based on the measurement of the
TML, cohesionandpermeabilityof thematerials.
Thecomparison of theTML values confirms that
the correlation between the grain content and TML
valuesoccurs.
Thepresenceof polymer material intestedsample
influencesonthevaluesof cohesionandinternal fric-
tion anglebut theextremevalues arereached at the
samemoisturecontent.
The nature and magnitude of compaction in
fine grainedmaterialssuchasmineral concentrates
significantly influences their mechanical behavior.
Increasingvaluesof normal stressestendstoreduction
thedegreeof permeability.
Inconsequence,polymermaterialspreventdrainage
of thewater fromtheparticlepore, slidingandshift-
ing of ore concentrates in storage. These polymer
materialscanbeusedasabsorbersof water frommin-
eral concentrates, before the transportation by sea.
Thesematerialsareparticularlyattractivebecausethey
arebased on natural renewableresources, which are
environmentallyfriendly.
REFERENCES
Bulativic, S. M. (1999): Use of organic polymers in the flota-
tion of polymetallic ores: A Review. Mineralsengineering
12(4): 341354.
Demirgoz D., E. &, ManoJ. (2000): Chemical modification
of starch based biodegradable polymeric blends: effects
on water uptake, degradation behavior and mechani-
cal properties, Polymer Degradation and Stability, 70,
pp. 161170.
Eckersley J. D(1987): Flow slides susceptibility and con-
sequence, TheInstitutionof EngineersAustQldDivTech
Papers, 28(18).
Eckersley J.D. (1997): Coal cargo stability, TheAusIMM
Proceedings, No1.
International Chamber of Shipping. (1999) Ship shore safety
checklist for loading and unloading dry bulk cargo car-
ries. London.
International Maritime Organization (2004): Code of Safe
Practice for Solid Bulk Cargoes. London.
International MaritimeOrganization(2004): Code of Prac-
tice for the safe loading and unloading of bulk carries
BLU CodeLondon.
Michaowski Z. & Popek M. & Sobiecki A. (1995): Deter-
mination of Critical and permissible moisture content in
coarse-grained plombous galena concentrates and coal
samples, PolishMaritimeResearch, No2.
Popek M. (2005) Investigation of influence of organic poly-
mer on TML value of the mineral concentrates, Proceed-
ingsof ESREL, K. Koowrocki (ed.), London, Taylor and
FrancisGroup, pp. 15931596.
Roberts S., Marlow P., Casualties in dry bulk shipping,
MarinePolicy, (2004), pp. 437450.
SitharamT. G., (2003): Discrete element modeling of cyclic
behavior of granular materials, Geotechnical and Geo-
logical Engineering21, pp. 297329.
Tudorachi N. & Lipsa R., (2006): Comparative study on
starch modification with lactic acid and polylactic acid,
Polimery, 51, nr 6, pp. 425430.
ZhangM., (2005): Modeling liquefaction of water saturated
granular material under undrained cyclic shearing, Act.
Mech. Sinica21, pp. 169175.
649
14.9
Applicationof thermal analysisandtroughtest for determinationof
thefiresafetyof somefertilizerscontainingnitrates
K. Kwiatkowska-Sienkiewicz & P. Kaucka
Gdynia Maritime University, Department of Chemistry and Industrial Commodity Science, Poland
ABSTRACT: Thestudiesonhowafireonboardaccidentsmaybepreventedhavebeenactivelycarriedoutat
boththenational andinternational levels. Thispaper providesanoutlook onfiresafetyassessment concerning
nitratesfertilizersinseatransport.Theinvestigationwasaimedatcomparisontwomethodsof classificationand
assignmenttoapackinggroupof solidfertilizersof class5.1of International MaritimeDangerGoodsCode. First
researchwasconductedinaccordancewiththetestmethoddescribedintheUnitedNationsRecommendationson
theTransportof DangerousGoods, Manual of TestandCriteria, PartIII, 34.4.1Testfor oxidizingsolids. The
secondmethodwasthedifferential thermal analysis(DTA)wherethebasiswasthedeterminationthetemperature
changerateduringthermal reaction. Accordingtotwousedtests, theinvestigatedfertilizersbelongto5.1class
andrequiretopackaginggroupIII of theInternational MaritimeDanger GoodsCode. TheDTA methodgives
morequantitativeinformationabout firerisk ontheshipthanmethodrecommendedinInternational Maritime
Danger GoodsCode.
1 INTRODUCTION
The range of materials, which must be transported
by seaand stored, is gradually increasing. Today we
needobservemoreconsiderationof aspects of trans-
portation of large quantity of dangerous goods. The
termdangerous is limited to substances which have
thepotential to causemajor accident risk fromfire,
explosion or toxic release. Including also oxidizing
andexplosivesmaterials,whichduringtransportmight
be initiated by fire, impact, resulting from badly
packedor was out of specificationexplosives. Inthe
International Maritime Dangerous Goods Code the
information concerning various aspects of sea han-
dling of hazardous materials is contained. Official
regulations andsupplementary documentationof the
hazardouspropertiesof materialscanbefoundinthis
code. It is an important sourceof basic information
andaguidetoshippingof hazardousgoodsfor aship
staff.
Oxidizers are dangerous goods in accordance
with International MaritimeDangerous Goods Code
(IMDG Code), belongto 5.1class, they arenot nec-
essarily flammable, but able to intensify the fire by
emission oxygen. Oxidizers may beelements, acids,
or solidsubstances (e.g. nitrates salts). Someoxidiz-
ing substances havetoxic or corrosiveproperties, or
have been identified as harmful to the marine envi-
ronment. They will react in contact with reducing
reagents. Henceoxidizingagent will invariablyaccel-
eratetherateof burningof combustiblematerial. The
National FireProtectionAssociationinUnitedStated
classifiedoxidizingsubstancesaccordingthestability
[Burke, 2004]:
Class1 Solidor liquidthat readilyyieldsoxygen
or oxidizing gas or that readily reacts to oxidizer
combustiblematerials.
Class2 Oxidizingmaterial cancausespontaneous
ignitionwhencontact withcombustiblematerials.
Class 3 Oxidizing substances that can undergo
vigorousself sustaineddecompositionwhencatalyzed
or exposedtoheat.
Class 4 Oxidizing articles that can undergo an
explosivereactionwhencatalyzedor exposedtoheat,
shockor friction.
AmongthefertilizersmentionedintheIMDGCode
themost dangerousarenitrates(V), belongtooxidiz-
ersof class5.1of danger goodsandammoniumsalts
[IMDG Code]. Pure ammoniumnitrate, the base of
fertilizers, belongtocompoundstransportedinlimited
quantities(UN 0222 ammoniumnitrate, withmore
than0,2%combustiblesubstance)Ammoniumnitrate
UN 1942withnot morethan0,2%total combustible
substancesincludinganyorganicsubstancecalculated
as carbon during transport the temperature of mate-
rial should not beabove40
C. Do not ventilatethis
cargo.
AmmoniumnitratebasedfertilizersUN 2067, UN
2071,UN 2067 may transported in bulk. Fertilizers:
potassiumnitrate UN1486, sodiumnitrateUN1498
andsodiumandpotassiumnitratemixturesUN1499,
calciumnitrateUN 1454 may bealso transported in
651
bulk [BC Code]. Nitratesfertilizersarehighlyhygro-
scopicandwill cakeif wet.Theybelongtocargogroup
A and B (Group A consists of cargoes which may
liquefy if shipped at amoisturecontent in excess of
their transportablelimit. GroupB consistsof cargoes
whichpossesschemical hazardwhichcouldgiverise
to dangerous situationontheship) [AppendixA and
B BC Code, 2001].
A major fireaboard aship carrying thesemateri-
als may involve a risk of explosion in the event of
contaminationbycombustiblematerialsorstrongcon-
finement. Anadjacent detonationmay also involvea
risk of explosion. Duringthermal decomposenitrate
fertilizersgivingtoxicgasesandgaseswhichsupport
to combustion. Dust of fertilizers might beirritating
toskinandmucousmembranes.
Classificationof oxidizingsubstances to class 5.1
is based on test described in the IMDG Code and
Manual of Tests andCriteria[UN Recommendations
Part III]. Inthistest, theinvestigatedsubstanceswere
mixed with cellulose, which is a combustible mate-
rial, inratiosof 1:1and4:1, bymass, of substanceto
cellulose. Themixtures wereignitedandtheburning
time was noted and compared to a reference mix-
ture, inratio3:7, bymass, of potassiumbromate(V) to
cellulose.
Theassignationcriteriatothepackaginggroupsare
based on a physical or chemical property of goods.
Thereareat present no established good criteriafor
determiningpackaginggroups. (TopackaginggroupI
belongssubstancesgreat danger, II mediumdanger,
or III, minor danger).
If amixtureof test substanceand celluloseburns
equal to or less thanthereferencemixture, this indi-
catesthat thecombustionof thecombustiblematerial
(cellulose) is enhancedby thetest substanceandthe
test substancehas oxidizing(fireenhancing) proper-
tiesandisclassifiedinclass5.1. Thisalsomeansthat
oxidizingsubstanceisassignedtoapackinggroupIII
(if thecriteriaof packinggroupI andII arenot met).
Next theburning timeis compared with thosefrom
the packing group I or II reference standards, 3:2
and2:3ratios, bymass, of potassiumbromate(V) and
cellulose. Any substancewhich, in both the4:1 and
1:1 sample-to-cellulose ratio (by mass) tested, does
not igniteand burn, or exhibits mean burning times
greater thanthat of a3:7mixture(by mass) of potas-
siumbromate(V) and cellulose, is not classified as
class5.1.
Using these criteria we test a big mass sample
of component whichinvolvelarger volumes of toxic
gases, as opposed to a differential thermal analysis,
wherethebasis is thedeterminationthetemperature
changerateduringthermal decomposition.
Using differential thermal analysis (DTA) we
can registration quality and quantity changes during
dynamicheatingof investigatedmaterialsintime.
The self-heating or thermally explosive behav-
ior of individual chemicals is closely related to the
appearanceof thermogravimetry-differential thermal
analysis(TG-DTA) curvewithitscourse.
In previous examinations of mixtures of oxidiz-
ers with cellulose and flour wood [Michaowski,
Barcewicz 1997, Michaowski Barcewaicz 1998,
Michaowski, Rutkowska, Barcewicz 2000,
Kwiatkowska-Sienkiewicz et al 2006, Kwiatkowska-
Sienkiewicz2008]thetemperaturechangerates[
C/s]
were calculated into 1 milimole of an oxidizer and
tested oxidizing substances wereblended with com-
bustiblesubstanceinmassratio5:1.
According to later experiments not classified to
class 5.1 any substances which temperature change
ratearelower than0,2[
C/s].
To packaging group III should be assigned sub-
stances, whichduringthermal analysis mixtures oxi-
dants with cellulose, the temperature change rate
valuesarebetween0,2to1,4[
C/s].
To packaging group II should be assigned sub-
stancesblendedwithcelluloseof withthetemperature
changeratevaluesarebetween1,4to5,0[
C/s].
To packaginggroupI belongof mixtures oxidizes
with cellulosewhich temperaturechangeratevalues
exceed5,0[
C/s].
Later and now in experiments used cellulose as
combustible material. Cellulose belongs to polysac-
charides, develop free radicals on heating. The free
radicalsincellulosethermolysatesiscellulosevariety
dependent.Thegenerationof freeradicalsonheatingis
timeandtemperaturedependentwhereasintermoana-
litical studies exposureto heat is for relatively short
time. All polysaccharides (e.g. starch) during heat-
inggeneratedfreeradicals[Ciesielski, Tomasik1998,
Ciesielski, Tomasik, Baczkowicz 1998].
In practice, during long transport combustible
materials and commodities containing polysaccha-
rides wecanobserveself-heatingeffect, specially, if
polysaccharidesareblendedwithoxidizers. Freerad-
ical exposedduringthermal reactionpolysaccharides
mixed with nitrates (V) (nitrates(V) belongs to 5.1
classdangersgoods),givespossibilityself-heatingand
self-ignitionchemical reaction.
Inthesepaperfertilizers, containingsodium, potas-
sium, calciumandammoniumnitrates, blendedwith
cellulosewasinvestigated.
This examinations whereas basing on potassium
bromated(V) blendswithcellulose(inmassratio2:3
and 7:7) as astandard shows that class 5.1 includes
substanceswhichtemperaturechangeratewasgreater
thantemperaturechangerateof mixtureof potassium
bromated(V) withcellulose, inmassratio3:7 0,96
[
C/s].
To the III packaging group should be assigned
substances, which during thermal analysis mixtures
oxidants with cellulose, thetemperaturechangerate
valuesarebetween0,961,82[
C/s].
II packaginggroupinvolves crossingvalueof the
temperaturechangerateunder 1,82[
C/s].
In this paper we concerned on comparison two
methodsof assignationtoclass5.1andclassification
to packinggroups. Thefirst oneis recommendedby
United Nations [UN Recommendations] and second
one, differential thermal analyzeisusinginchemistry.
652
Table 1. Determination risk of fire oxidizers/fertilizers
accordingtoManual Test andCriteriaIMDGCode.
Burnrate
[cm/min.] Proposed
Sampleto Class Pacaging
Oxidizer cellulose. Sample Standard IMDG group
Ammonium 1:1 1,38
nitrate 0,83 5.1 III
fertilizer
(30%N) 4:1 1,08
Nitro-chalk 1:1 0,93
fertilizer 0,83 5.1 III
(27,5%N) 4:1 0,20
Calcium 1:1 0,92
nitrate
based
fertilizer 0,83 5.1 III
(15%N) 4:1 0
Potassium 1:1 2,18
nitrate
based 0,83 5.1 III
fertilizer
(14%N) 4:1 0
Sodium 1:1 2,71
nitrate 0,83 5.1 III
(V) (p.a.) 4:1 0
Potassium 2:3 10 10 5.1 II
bromate
(V) (p.a.) 3:7 0,83 0,83 5.1 III
(standard)
2 EXPERIMENTAL
DeterminationaccordingtoIMDGCodeandUNRec-
ommendationstest andDTA methodwerecarriedout
usingthesameblendsoxidants/fertilizerandcellulose.
Thefollowingsubstanceswereblendedwithcellu-
loseinmassratio1:1or 1:4
sodiumnitrate(V) purefor analysis,
ammonium nitrate based fertilizer with 30%
nitrogen,
nitro-chalkwith27,5%nitrogen,
calciumnitratebasedfertilizer with15%nitrogen,
potassium nitrate based fertilizer with 14%
nitrogen,
asreferencematerial potassiumbromate(V) pure
foranalysisblendedwithcelluloseinmassratio3:7
and2:3.
In experiments used microcrystalline cellulose,
gradeVivapur type 101, particle size >250m(60
mesh), bulkdensity0.260.31g/ml.
Mean burn time of trials mixtures fertilizes and
cellulosearepresentedinTable1.
Chemical reaction course during the heating can
beinvestigatedbymeansof differential thermal anal-
ysis (DTA) method. Using thermal analysis (DTA),
Figure1. Self ignitioneffect monitoredby DTA method
[Kwiatkowska-Sienkiewicz, Barcewicz 2001].
thechangesof mass, temperatureandheatingeffects
curvesarerecorded.
Thermal decompositionwithself-ignitioneffect is
demonstratedinFig. 1.
Thefollowingoutputs wererecordedduringmea-
surementsusingDTA method.
T thetemperaturechangecurvewhichisastraight
linetill themixtureflash point is reached, with a
district peak intheself-ignitionregion, especially
duringreactionof veryactiveoxidizers,
DTA curve givesinformationabout heat effects,
TG curve of mass change during the reaction,
beginningof self-ignitionprocess T
1
, maximum
of self-ignition reaction T
2
, maximumtemper-
atureincrease: T
2
T
1
=T, temperaturechange
time(fromT
1
toT
2
) t,
The temperature increase value was determined
fromthetemperaturechangecurveTonthebasisof its
deflectionout of thestraight line, inthepeak region.
On the ground of the above mentioned data follow-
ingparameters couldbecalculated. Thetemperature
change rates [
C/s] were calculated by dividing the

temperatureincrease(T) bythetimeof self-ignition
effect (t), countedinto1gof afertilizers/oxidizers.
Atfirstpureoxidantsandfertilizersweretested. Then
mixtures of fertilizers with cellulose and oxidizers
substance with cellulose were tested. Thermal treat-
mentof pureoxidizersor theblendswereheatedfrom
roomtemperatureto 500
C. Theprocedurewas run
intheair under dynamic condition. Theratetemper-
atureincreasewas10
C/min. Ceramiccrucibleswere
taken. Paulik-Paulik-Erdley 1500 Q Derivatograph
(Hungary) wasused. Themeasurementswerecarried
outthreetimes.Decompositioninitiatingtemperatures
653
Table 2. Thermal decomposition oxidizers/fertilizers and
hisblendswithcelluloseusingDTA method.
Ignition Temperature
temperature change
[
C] rate[
C/s]
Sample Egzo
to Ox. Ox. Endo-
Oxidizers cellulose Oxidizer cell. Ox. cell. reaction
Ammonium 1:1
nitrate 205,4 1.68
based 335 1,67
fertilizer 4:1
(30%N) 211,7 1,68
Nitro-chalk 1:1
fertilizer 197,3 1,7
(27,5%N) 4:1 338 0,5
218,3 1,74
Potassium 1:1
nitrate *
based _ _
fertilizer 4:1
(14%N) * 315,3 0,95 _
Sodium 1:1
nitrate _ 320 1,16
(V) (p.a.) 4:1 * 326 1,44

Potassium 3:7 0,96
bromate 329,3
(V) (p.a.) 2:3 455 190 2,6 1.82
(Standard)
* (not observedignitronuntil 500
C)
Ox. oxidizer/fertilizer
cell. cellulose
of thecompounds, andhisblendswithcellulosewere
readfromtherecordedcurves.
Thetemperaturechangerates[
C/s]werecalculated
fromthecurvesDTAandTbydividingthetemperature
increasebythetimeof self-ignitioneffect, calculated
into1gof anoxidizer or multicompoundfertilizer.
3 RESULTS
Theresultsof performedthermal reactionsof oxidiz-
ers/fertilizers andcellulosearepresentedinTables 1
and2.
On the basis of results of the test described in
Manual of Test and Criteria all examinated fertiliz-
ers, accordingtoIMDG Code, belongtoclass 5.1of
DangerousGoodsandrequirepackaginggroupIII.
The results of second method of performed ther-
mal reactionsbetweencelluloseandselectedfertilizers
arepresentedinTables 2and3. Blends of potassium
bromate(V) andcelluloseinmassratio3:7and2:3are
thestandards inclassificationusingdifferential ther-
mal analysestests(weusedthesamestandardslikein
Manual Test recommendedbyIMDGCode).
The ignition temperature and temperature change
rate make it possible to assess packaging group of
Table 3. Assignment of the fertilizers to the packaging
groupbasedontemperaturechangerate.
Temperature Assigned Proposed
Nameof the changerate packaging classof
fertilizer [
C/s] group IMDGCode

Ammonium 1,68 III 5.1
nitratebased
fertilizer
(30%N)
Nitro-chalk 1,74 III 5.1
fertilizer
(27,5%N)
Potassium 0,96 III 5.1
nitrate
based
fertilizer
(14%N)
Sodium 1,44 III 5.1
nitrate(V)
Potassium 0,961,81 III 5.1
bromate(V)
(Standard)
investigatedfertilizers, belongto class 5.1of danger
goods.
The blends of fertilizers and cellulose had lower
ignitiontemperaturethenpureoxidizers. Hencethose
fertilizers will invariably acceleratetherateof burn-
ing with combustible materials. Pure potassiumand
sodiumnitrates, high ionic compounds, had thermal
decompose in higher temperatures than 500
C, but
the mixtures with combustible material cellulose
were decomposed in temperature about 320
C. All
blends fertilizers andcellulosedecomposedinlower
temperaturesthanpureoxidizes.
During reactions observed generally exothermic
processes and weight losses. Its very dangerous in
shipping, especiallyof bulkcargo. Fertilizerscontain-
ing nitrates and ammoniumsalts, during fireon the
boat, lost stowagemassabout 1/3to.
The results differential thermal analyze suggest
similareffectslikeinthetestsrecommendedbyIMDG
Code; all investigatedfertilizersbelongto5.1. classof
dangerousgoodsandrequiretopackaginggroupIII.
After comparison these two methods of assigna-
tionto class 5.1andpackaginggroups datathermal
analyzegives quantitativeinformationabout thermal
effects (melting, self-heating, self-ignition) and loss
mass duringheating. DuringManual Test (according
IMDG Code) we have only qualitative data burning
time of blends oxidizers with cellulose. In Manual
Test was usebigprobe 30gblends of oxidizer and
cellulose, inDTA methodonly 300500mg.
Differential thermal analyzeis objectivechemical
method which could make it possible to determine
the criteria of assignment of oxidizers to packaging
groups, requiredfor seatransport. DataDTA method
givesmoreinformationaboutfireriskassessmentthat
Manual Test recommendedbyIMDGCode.
654
4 CONCLUSION
Manual Test recommended in IMDG Code informs
only qualitativeabout burningtimespecial trial form
of oxidizer celluloseblends.
Thecomparisontwomethodsof classificationand
assignment to a packing group of solid substances
of class 5.1 of IMDG Code indicate, that differen-
tial thermal analyze (DTA method) gives objective,
quantitativeinformationabout fireriskontheboat.
Using this method, during heating we can reg-
istration changes of temperature, loss mass, melt-
ing point temperatures mixtures before self-heating,
self-ignitionandexplosiveeffects.
Data based on the differential thermal analysis
givesmoreinformationaboutfireriskassessmentthat
Manual Test recommendedbyIMDGCode.
REFERENCES
Appendix A in the BC Code 2001: London, Printed by
International MaritimeOrganization.
Appendix B in the BC Code 2001: London, Printed by
International MaritimeOrganization.
Bruke R., Hazardous Materials Chemistry for Emergency
Responders. 2003, Bocca Ratton-London-New York-
Washington.: LewisPublishersCRC PressCompany.
Ciesielski W., TomasikP. Starchradicals. Part III: Semiartif-
ical complexes. 1998. Z. Lebensm. Untes. Forsch.A. 207:
pp. 292298.
Ciesielski W., Tomasik P. Baczkowicz M. Starch radicals.
Part IV: Thermoanalitical studies. 1998. Z. Lebensm.
Untes. Forsch. A. 207: pp. 299303.
Code of Safe Practice for Solid Bulk Cargoes (BC Code),
2004: London, PrintedbyInternational MaritimeOrgani-
zation.
International Maritime Dangerous Goods Code (IMDG
Code) 2004: London, Printed by International Maritime
Organization.
Kwiatkowska-Sienkiewicz K., Barcewicz K., Rojewski L.,
2006; Application of thermal analyze in studies on sea
transport safetyof oxidizers(3). Proc. The15thSympo-
siumof IGWT, Kyiv, Ukraine, pp. 11821186.
Kwiatkowska-Sienkiewicz K., 2008; Applicationof thermal
analyzeinstudiesonlevelsof separationof oxidizersfrom
ammoniumchlorate(VII). Proc. The16thSymposiumof
IGWT, Suwon, Korea, pp. 737739.
Kwiatkowska-Sienkiewicz K., Barcewicz K.: 2001; The
newcriteriaof separation of oxidizers fromammonium
salts. Proc. European Safety & Reliability Conference,
ESREL, Turyn, Italy, Ed. Technical University inTuryn,
pp. 959963.
Manual of TestsandCriteriaPart III, 34.4.1.: 2001: London,
United Nations Recommendations on the Transport of
DangerousGoods.
Michaowski Z., Barcewicz K., 1997. A new proposal for
assignment criteria fo the oxidizers into 5.1 class and
packaging categories of IMDG Code. Polish Maritime
Research, 3(13) 425.
Michaowski Z., Barcewicz K. 1998. Derywatograficzne
badania przebiegu reakcji niektrych utleniaczy
zaliczanychdodoklasy 5.1z solami amonowymi. Proc.
Problemyadunkoznawczewobrociemorskim,Gdynia,
Poland. pp. 105108.
655
Chapter 15. Human factors and crew resource management
15.1
Problembehavioursamongchildrenof Filipinoseafarers
inIloiloCity, Philippines
V.B. J aleco, M.G. Gayo, J r., R.L. Pador & R.A. Alimen
John B. Lacson Foundation Maritime University-Molo, Iloilo City, Philippines
ABSTRACT: Thepurposeof thisstudy wastoascertaintheproblembehavioursamongchildrenof Filipino
seafarers in Iloilo City, Philippines. The researchers used randomsampling technique to determine the 200
respondentsof thestudy. Thisresearchemployedthedescriptivemethodof analysis. Thestatistical toolswere
frequency andrank todescribethechildrenproblembehaviours. Whentakenas anentiregroup, datashowed
thattheproblembehaviourswereself-centeredness, substanceuse, delinquency, andphysical aggression. When
groupedaccordingtoprogram,theproblembehaviourswereself-centeredness,delinquency,physical aggression,
andsubstanceuseasreferencetohighschool program, whilethosewhowereincollege, theproblembehaviours
wereself-centeredness, substanceuse, delinquency, physical aggression. When grouped according to sibling
rank, the results showed that out of the 76 eldest children, the problembehaviours were self-centeredness,
substance use, delinquency, and physical aggression. While, the problembehaviours of the 66 middle chil-
drenof Filipinoseafarerswereself-centeredness, substanceuse, physical aggression, anddelinquency. The58
youngest children of Filipino seafarers problembehaviours were self-centeredness, substance use, physical
aggression, anddelinquency. Whengroupedaccordingtogender, malechildrenproblembehaviourswereself-
centeredness, delinquency, substanceuse, andphysical aggression.And, 86femalechildrenproblembehaviours
were self-centeredness, delinquency, substance use, and physical aggression. As to the marital status, chil-
drenwhoseparentswereliving, theproblembehaviour wereself-centeredness, substanceuse, delinquency, and
physical aggression. Children of Filipino seafarers who had separated parents, theproblembehaviours were
self-centeredness, substanceuse, physical aggression, anddelinquency
1 BACKGROUNDANDTHEORETICAL
FRAMEWORK OF THE STUDY
Ontheoccasionof theWorldDayof Immigrantsand
Refugeesin1993, celebratedastheInternational Year
of the family, Pope J ohn Paul II sounded out this
appeal: I wouldliketoask all thosewhoat all levels
areconcernedwithpromotingtheauthenticwell-being
of the family, to consider carefully the problems of
theimmigrants, precisely in thelight of theparticu-
lar difficulties which they face today. Also, Castro
(1993) mentionedthat difficultiesinmarriedlifecan
beasourcewhysomecouplesexperienceproblemsin
lifeand may put their lives in danger, as well as the
plightof thefamiliesof migrantworkers; thefamilies
of thoseobligedtobeaway for longperiods, suchas
sailorsandall kindsof itinerantpeople. Inthesecases,
the effect of prolonged separation is that the wife,
left behindwiththechildren, hastoassumeunaccus-
tomedroles, likebecomingtheheadof thehousehold.
Here, several problems may arise especially in the
children who grew up without the presence of their
fathers.
Thechildrenof Filipinoseafarersshouldtherefore
beresponsibleandwell motivatedtowardstheir stud-
iesfor their parentswork abroadfor thesakeof their
future.
According to Xin, Zhou, Bray and Kehle (2003),
behavioural dysfunction in children and adolescents
hasbeenanimportant fieldinresearch. Inthestudies
conducted by Donovan and J essor (1985), they have
found that problem behaviours, such as substance,
aggression, delinquency, andevenearlysexuality, are
positivelycorrelatedwiththeiracademicperformance.
Furthermore, J essor, Donovan, and Costa (1991)
theorizeaframework for understandingtherelation-
ship between problembehaviours, that is, thestrong
positiveassociationbetweenproblembehaviourscan
be attributed to a single common factor, namely,
unconventionality.
Moreover, the work of Achenbach and his col-
leagues (1991), has beennotedto haveanimportant
contribution to the research on problembehaviour.
Their work has led to the distinction between inter-
nalizingproblembehaviours(i.e. withdrawn, somatic
complaints, anxiety and depression) and externaliz-
ing problem behaviours (i.e. defiance, impulsivity,
disruptiveness, aggression, antisocial features and
over-activity).
The rationale of this study thus, was to ascertain
thecommon problembehaviours among children of
seafarers.
Theconceptual framework of thestudy issumma-
rizedinFigure1.
659
Figure1. Conceptual frameworkof thestudy.
2 STATEMENT OF THE PROBLEM
This study was to ascertain the problembehaviours
among children of Filipino seafarers in Iloilo City,
Philippines.
Specifically, thisstudysoughttoanswerthefollow-
ingquestions:
1 What aretheproblembehaviours amongchildren
of FilipinoseafarersinIloiloCity,Philippineswhen
takenasanentiregroup?
2 What aretheproblembehaviours amongchildren
of FilipinoseafarersinIloiloCity,Philippineswhen
groupedaccordingto(a) gender, (b) program, and
(c) siblingrank?
3 Whataretheproblembehavioursamongchildrenof
FilipinoSeafarers inIloiloCity, Philippines when
parentsaregroupedaccordingtomarital status?
3 METHOD
The researchers employed the descriptive method
in this study based on Travers (in Sevilla, 2002;
J esser, 1985) andBest andKhan(1998). Themethod
employedwastodescribeproblembehavioursamong
children of seafarers in relation to their academic
performance.
4 RESPONDENTS
Thedistributionof childrenof seafarersaccordingto
certaincategoriesispresentedinTable1.
5 DATA-GATHERINGINSTRUMENTSAND
PROCEDURES
The investigators distributed the validated instru-
ments to gather data on child and parent related-
factors, and problembehaviours among children of
seafarers in Iloilo City. To determine the problem
behaviours, theinvestigatorsusedtheinstrumententi-
tledProblemBehavioursEvaluationQuestionnaire
adapted fromDonnovan and J essor (1991) entitled
ProblemBehaviours Evaluation Rating Scale. The
Table1. Profileof Respondents.
Category f %
Entiregroup 200 100
Child-related factors
A. Program
College 100 50
Highschool 100 50
B. Siblingrank
Eldest 76 38
Middle 66 33
Youngest 58 29
C. Gender
Male 114 57
Female 86 43
D. ParentsMarital Status
LivingTogether 140 70
Separated 60 30
Table 2. Problembehaviours or respondents as an entire
group.
Problembehaviour f % Rank
Self-centeredbehaviour 174 87.0 1
Substanceuse 15 7.5 2
Delinquent behaviour 8 4.0 3
Physical aggression 3 1.5 4
researchinstrumentswerepersonallyadministeredby
the researchers to the children of Filipino seafarers
inIloilo City, Philippines. Thedatagatheredfor this
study weretabulated, analysed and interpreted using
appropriatestatistical tools.
6 RESULTS
When taken as an entire group, Table 2 shows
that of the 200 children of Filipino seafarers the
problem behaviours were self-centered behaviour
(f =174, 87%), substance use (f =15, 7.5%), delin-
quent behaviour (f =8, 4.0%), and the least was
physical aggression(f =3, 1.5%).
ThedataaresummarisedinTable2.
When grouped according to program, Table 3
revealsthatoutof 100highschool childrenof Filipino
seafarers, theproblembehaviours wereself-centered
behaviour (f =92, 92%), delinquent behaviour (f =4,
4%), physical aggression(f =3, 3%), andtheleastwas
substance use (f =2, 2%). While, 100 college level
childrenof Filipinoseafarersrevealedthat their prob-
lembehaviourswereself-centeredbehaviour (f =86,
86%), substanceuse(f =6, 6%), delinquentbehaviour
(f =5, 5%), and the least was physical aggression
(f =3, 3%).
ThedataaresummarizedinTable3.
When grouped according to sibling rank, Table 4
shows that out of 76 eldest children of Filipino
660
Table3. ProblemBehavioursamongChildrenof Seafarers
whenGroupedAccordingtoProgram.
Category Problembehaviour f % Rank
Highschool
Self-centeredbehaviour 92 92 1
Delinquent behaviour 4 4 2
Physical aggression 3 3 3
Substanceuse 2 2 4
College
Self-centeredbehaviour 86 86 1
Substanceuse 6 6 2
Delinquent behaviour 5 5 3
Physical aggression 3 3 4
whengroupedaccordingtoSiblingRank.
Eldest
Middle
Youngest
seafarers the problembehaviours were self-centered
behaviour (f =27, 35.54%), substance use (f =26,
34.21%), delinquent behaviour (f =17, 22.37%), and
the least was physical aggression (f =6, 7.89%).
While, the 66 middle children of Filipino sea-
farers, the problem behaviours were self-centered
behaviour (f =28, 42.42%), substance use (f =16,
24.24%), physical aggression (f =12, 18.19%), the
least was delinquent behaviour (f =10, 15.15%).
And 58 youngest children of Filipino seafarers the
problem behaviours were self-centered behaviour
(f =27, 46.75%), substanceuse(f =23, 23%), phys-
ical aggression (f =6, 10.34%), and the least was
delinquent behaviour (f =2, 3.45%).
Whengroupedaccordingtogender, Table5shows
that of the 114 male children of Filipino sea-
farers the problem behaviours were self-centered
behaviour (f =50, 43.86%), delinquent behaviour
(f =36, 31.58%), substanceuse(f =18, 15.79%), and
theleastwasphysical aggression(f =10,8.77%).And,
86 female children of Filipino seafarers the prob-
43.02%), delinquent behaviour (f =21, 24.42%),
whenGroupedAccordingtoGender.
Male
Female
whengroupedaccordingtoParents Marital Status.
Livingtogether
Separated
substance use (f =16, 18.61%), and the least was
physical aggression(f =12, 13.95%).
When grouped according to parents marital sta-
tus, Table6showsthat of the140childrenof Filipino
seafarerswhoseparentsarelivingtogether, theprob-
40.72%), substanceuse(f =36, 25.72%), delinquent
behaviour (f =27, 19.28%), andtheleast was physi-
cal aggression(f =20, 14.28%).Whilethe60children
of Filipino seafarers whose parents are separated
theproblembehaviourswereself-centeredbehaviour
(f =21, 35.00%), substanceuse(f =18, 30%), phys-
ical aggression (f =16, 26.67%), and the least was
delinquent behaviour (f =5, 8.33%).
ThedataaresummarisedinTable6.
7 CONCLUSIONS
Inviewof thefindings,thefollowingconclusionswere
drawn:
Generally, the problem behaviours exhibited by
children of seafarers were self-centered behaviour,
substanceuse, delinquentbehaviour, andtheleastwas
physical aggression. It isalsonoteworthythat respon-
dents who areyoungest haveahigher percentagein
physical aggression, aswell asthehighschool group,
andthosewhoseparentsareseparated.
661
8 RECOMMENDATIONS
Basedonthefindingsandconclusionsof thisstudy,the
researchersarrivedatthefollowingrecommendations:
1 To address the problems of the children of
Filipinoseafarers, seminars, trainings, andperson-
alitydevelopment includingpsychological aspects
shouldbegivenmoreattentionbythepersonnel of
theguidanceoffice.
2 Family life and marriages shall be included in
thepsychology subjects of thestudents incollege
level thiscouldbedonebyInstructorsGuide(IG)
revision.
3 Counselling program shall be conducted among
childrenof Filipinoseafarersespeciallythosewho
posegreater behavioural problems.
4 Furtherstudiesshouldbeconductedtoascertainthe
problembehavioursamongchildrenof seafarers.
REFERENCES
Donovan, J. E., J essor, R. (1985). Structure of problem
behavioursinadolescenceandyoungadulthood.J Consult
Clinical Psychology. ncbi.nlm.nih.gov. InJ.E. Donovan&
R. J essor, Structureof problembehaviour inadolescence
andyoungadulthood.
http://cecp.air.org/fba/problembehavior/main.htm
http://www.focusas.com/BehavioralDisorders.html
http://www.wrightslaw.com/info/discipl.index.htm
Leigh, B.C., Morrison, D.M. (1991). Alcohol consumption
and sexual risk taking adolescents. Alcohol Health and
ResearchWorld.
662
15.2
Predictingemotional intelligenceinmaritimemanagement:
Imperative, yet elusive
E.S. Potoker & J.-A. Corwin
Maine Maritime Academy, Castine, Maine, USA
ABSTRACT: There is extensive literature addressing the subject of emotional intelligence (EI) and its
importancetotheprofileof leadersandmodelsof leadership. Despitewhat somehavearguedasthesinequa
non of leadership, there are arguably few, if any, valid instruments available to predict demonstration of EI
competencies. Thispaper focusesonEI andchallengestomeasurement asit relatestoleadershipdevelopment
inmaritimemanagement whereEI competencies aredeemedcritical to effectiveperformance. Theauthors
reviewandevaluatecurrentinstrumentsthatclaimtomeasureEI, surveyhiringpracticesinselectedcompanies
intheshippingindustry, andmakerecommendationsfor further research.
1 INTRODUCTION
Thereisextensiveliteratureaddressingthesubject of
emotional intelligence(EI) anditsimportancetothe
profileof leadersandmodelsof leadership.Yet,despite
what someclaimto bethesinequanon of leader-
ship (Goleman 1998, p. 93), therearearguably few,
if any, valid instruments availableto predict demon-
stration of EI competencies in the workplace. This
paper focuses on EI and challenges to measurement
astheyrelatestoleadershipdevelopment inmaritime
management whereEI competencies aregenerally
acknowledgedascritical toeffectivejobperformance.
Thepaper proceedsasfollows:
1 definitionof EI;
2 review and evaluation of current instruments that
claimtomeasureEI;
3 rationalefor study;
4 survey results of hiringpractices inselectedcom-
paniesintheshippingindustry; implicationstothe
imperativefor testingandmeasurement of EI;
5 and, recommendationsfor further research.
2 DEFININGEMOTIONAL INTELLIGENCE
The term emotional intelligence, while popular in
manyacademicandpractitioner forums, continuesto
generatesignificant controversy regarding its mean-
ing, itsmeasurement, anditspredictabilityor validity
(Livingston & Day 2005, p. 757). Although defini-
tional groundingisimportant tothispaper, acompre-
hensive review of the literature devoted to defining
EI lies beyondthescopeof this study. Sufficeto say
thatwe theauthors frametheunderstandingof EI,
inpart, aroundthefivecompetenciesandpersonality
attributespositedbyDaniel Goleman(1998, p. 95):
self-awareness: Theabilitytorecognizeandunder-
standonesmoods, emotions, anddrivesaswell as
their effect onothers.
Demonstrated: self-confidence; realistic self-
assessment; self-deprecatingsenseof humor;
self-regulation: The ability to control or redirect
disruptiveimpulses and moods; thepropensity to
suspendjudgment tothinkbeforeacting.
Demonstrated: trustworthiness and integrity;
comfort withambiguity; opennesstochange;
motivation: A passionto work for reasons that go
beyond money and status; apropensity to pursue
goalswithenergyandpersistence.
Demonstrated: strong drive to achieve opti-
mism, even in the face of failure; organizational
commitment
empathy: Theability to understand theemotional
makeup of other people; skill in treating people
accordingtotheir emotional reactions.
Demonstrated: expertiseinbuildingandretain-
ing talent; cross-cultural sensitivity; service to
clientsandcustomers
Proficiencyinmanagingrelationshipsandbuilding
networks; an ability to find common ground and
buildrapport
Demonstrated: effectiveness inleadingchange;
persuasiveness; expertise in building and leading
teams.
ReuvenBar-Ons definition(1997) is another that
informs this paper as headdresses, . . .noncognitive
capabilities, competencies, and skills that influ-
ence ones ability to succeed in with environmen-
tal demands and pressures (p. 14). Non-cognitive
663
referstotheemotional, personal, andsocial compo-
nents of intelligent behavior (Bar-On 1998, p. vii).
Thesecapabilitiesappear tobeparticularlyimportant
giventheenvironmental variablesinherentinmaritime
management, andsoareincludedasaconsideration.
3 MEASURINGANDPREDICTINGEI
Consensusisalsoclearlylackingregardingavailability
of instruments that accurately predict demonstration
of EI competencies. Three tests that are currently
used with arguable claims of some success areThe
Mayer-Salovey-Caruso Emotional Intelligence Test
(MSCEITMHS Multi-Health Systems), the BarOn
EQ-i (Bar-On1997) andtheEmotional Competence
Inventory e.g., ECI360 (Hay Group 1999-2005).
Becauseeachtest definesemotional intelligencedif-
ferently e.g. focusing in part or not on personality
traits, cognitiveabilities, and/or other arrays users
might not necessarily have just the one test to meet
their needs. Additionally, makingcomparisonsof dif-
ferent test results is not feasible as comparability is
simply not possible: Sometests results arebased on
self-reporting models (e.g., theBarOn EQ-i); others
incorporateobserverinputandself-reporting(e.g., the
ECI360), andsoon.
Another concern, aswithany instrument, involves
that of reliability and validity. Reliability does the
instrument consistently measure over time what it
purports to measure? Construct validity is there
evidence that the instrument measures what it
claims to measure? Construct validity claims are
frequently supported through triangulation, where
multipleinstruments/observers corroboratefindings.
Thisisproblematic, however, inthecaseof EI instru-
mentsforreasonsdiscussedearlier. Predictivevalidity,
or thedegreetowhichthetest isaccurateinforecast-
ingon-the-jobperformance, isparticularly important
to this paper. Nevertheless, it is one thing to hypo-
thetically score high (or low) in a test setting for
EI particularly if by self-reportingmethods(versus
impartial observers). It isquiteanother whenonefac-
tors in the work environment such as weather, fear,
terrorism, and a multitude of other variables such
as crew diversity all of which have the potential
toaffect operationalizationof predictedperformance.
Crewdiversity isafactor of lifeonoceangoingves-
sels, many of which bear foreign flags andcount on
crewsrepresentingmanynations, bothdevelopedand
developing. Therefore, if we add cross-cultural and
national dimensions to measuring and predicting EI
as defined earlier, the challenges loomeven larger.
Alternatively stated, history has proven that results
obtainedinanantiseptic or closedsystemwill not
necessarilytranslateinreal worldsituationswherethe
environment intervenesregularly.
AnInternet searchof theimportanceof EI todeci-
sion making reveals over 26,000 cites illustrating its
valueacrossindustries. Therefore, if itwereavailable,
predictivevalidityforEI wouldnotbeuniquelyimpor-
tanttomaritimemanagement.Yet,therationaletomeet
theseneedsinthisparticular industry appearspartic-
ularly impelling in a global post 9/11 environment,
whichbringsustothesectionthat follows.
4 RATIONALE FOR STUDY: A MARITIME
PERSPECTIVE
. . . the prospect of a relationship between EI, lead-
ership and individual, group and organizational
outcomes is sufficiently compelling to attract the
attention of researchers who will resolve the ques-
tion and move leadership theory and understand-
ing of social influence to its next stage (Brown and
Moshavi 2005, p. 870).
In March of 2006, PamelaTurner, Assistant Sec-
retary for Legislative and Governmental Affairs of
theU.S. Department of Homeland Security, directed
aletter toCongress regardingtheresults of aproject
that implemented theCrew EnduranceManagement
System(CEMS) on towingvessels. Crewendurance
is theability to maintainperformancewithinsafety
limitswhileenduringjob-relatedphysical, psycholog-
ical andenvironmental challenges (CrewEndurance
Management2006). Managementof theelementsthat
heighten risk that leads to poor performance and/or
human failures is a goal of CEMS. The report also
includedadescriptionof theresourcesthat wouldbe
neededtoimplementtheCEMSonall U.S.flag-towing
vessels(CEMSDemonstrationProjectReport, 2006).
Whilethereports main concern is to reducemarine
casualties as aresult of stress andfatigue, theopen-
ingstatementsof thereportpointtotheimperativenot
only to findpredictiveindicators for EI, but also for
themaintenanceanddevelopmentof EI competencies:
Numerous studies indicate that human factors con-
tribute to the vast majority of marine casualties.
Most of these human factors relate to cogni-
tive abilities such as situational awareness and
situational assessment (p. 1).
Thisimperativepromptedtheauthorsof thispaper
to determine if and how EI competencies were cur-
rentlybeingassessedintheshippingindustry. Discus-
sionof that survey anditscomponentsareaddressed
inthesectiontofollow.
5 METHODOLOGY
ThroughtheCareers/CooperativeEducationOfficeof
MaineMaritimeAcademyinCastine, ME., weidenti-
fied100individualsinmanagementpositionsinawide
rangeof maritime-relatedcompanies. Theseincluded,
but werenot limitedtomajor U.S. shipping, offshore
drilling, tug boat service, marina management, and
logistics and related transportation companies, and
pilots associations. A survey, including Golemans
definition(1998), was mailedto all withtherequest
that they rank order theimportanceof EI competen-
cies. They further were asked to note whether their
664
companyorif theythemselvesscreenedforthesecom-
petenciesthroughrecruitment, hiring, selectionand/or
their performance appraisal process. Appendix A of
completepaper includessurveydetails.
6 FINDINGSANDDISCUSSION
Thirty individuals surveyed responded over a four
monthperiodfromJ ulytoOctober of 2006. Eight of
thosewho did not respond weredueto mail returns
becauseof outdatedaddresses or personnel changes.
We feel that this response rate is a respectable one
giventhenatureof theindustryparticularly asmany
of theseindividualsfrequently shipout for monthsat
atimemakingsurveyingachallengeat best. Results
areasfollows:
Category 1. Please read the definition of EI com-
petencies. Do you feel that these competencies are
important to effective management in the shipping
industry?
100% of the respondents voted affirmatively
(Yes). Several addedcommentsthat areillustrative
of theimportanceof EI:
Regardingtheir relativeimportancespecifictothe
maritimeindustry:
Especially onboard the vessel when they are
together 24/7.
Withintheboundaries of thecommandstructure
aboardaship.
Duetotheclosequartersandstrenuousworkcon-
ditions our crewmembers experience, it is imper-
ativewetakeeachcompetency intoaccount when
crewingandmanagingour vessels.
One individual found these competencies to be
uncommoninashipboardenvironment andadded:
These sophisticated touchy/feely concepts are
difficult to teach or impart to thosewho manage
others. . . .
AsaC/M[Chief Mate], adepartmenthead, direct-
ing/leading/working w/others has many different
requirements that vary from managing another
officer, with skills and a permanent job aboard,
unlicensedcrew, skilled/semi-skilledwithaperma-
nent job aboard, to unlicensed, semi-skilled with-
out permanent job status/one trippers, all require
somewhat different approaches.
Regardingtheirrelativeimportanceinanyindustry:
TheEI competencies appear important to leada
productive& fulfillinglife.
Its difficult to quantify which are most impor-
tant, but theyareall ingredientsfor most effective
management.
Inanyindustry, for that matter. (2responses)
Absolutely. I feel theseconceptsarekeytonearly
anythingoneattemptsinlife.
Category 2. In order of importance from 16, with
1 being the most important, pls. rank order the EI
competencies that you consider to be important to
effective management in the shipping industry.
It wasobviousthat respondentshaddifficultyrank
orderingthesixEI componentslistedinAppendixA.
In fact, three individual comments suggested that it
was difficult to pull themapart in importance. One
individual ratedall 6as#1;othersratedseveral equally,
making it very challenging to attempt to represent
the data in Figure form. For those who provided
comments, it could be argued that they viewed the
competenciesfromtheir specificjobresponsibilityor
personal vantage point understandably. As exam-
ple, a marine personnel administrator favored e
as#1inimportance, commentingthat vessel masters
who promote teamwork appeared more effective in
her viewthanothers. Anowner of aU.S. based, but
Mid-Eastaffiliatedmaritimecompanyemphasizedthe
importanceof dwhichincludescross-cultural sen-
sitivity. Hestates, Anychumpcanturnawrenchor
steer a course. Only a human relations expert can
motivateateam. A personnel administrator com-
mented that all were important when deciding if an
individual wouldreceiveapermanentjobaboardaship
or apromotiontoapositionof higher responsibility.
Despitethechallengeof representingthedatafrom
Category 2infigureformdueto double-countingof
several items, it is displayed in theformof ascatter
graminFigure1.Asexplanation,if bwasconsidered
#1 in importanceand c was also considered #1 in
importanceby thesameindividual, thosechoicesare
bothrepresentedonthescattergram.
For Category2only, four individualsarenotrepre-
sentedduetothefactthattheyobviouslydidnoteither
followor understandtheinstructions.
Themostinterestingfindings(totheauthorsof this
paper) werethehighs andlows. Choiceb or self-
regulation clearly rated #1, with e, proficiency
in managing relationships clearly in second place.
Self-awareness wastopchoiceinthe#2ranking. A
total surprisetotheauthorswasthefact that f was
rankedoverwhelminglyleastinimportance. However,
that may beexplainedby aqualitativecomment that
wasofferedbyonerespondent whostated, f istoo
Figure1. Category2 RankOrderingof EI Competencies.
665
general adefinition.Perhapstherewasaneedforfur-
therexplanationthatmighthaveinfluencedtheresults.
Whilethedataresults areinteresting, theauthors are
unwilling to jump to generalizations without further
research, discussedlater inthepaper.
Category 3. To the best of your knowledge, does
your Company or do you screen for these EI compe-
tencies in recruitment, hiring, selection, and/or in the
performance appraisal process?
Twenty-twoorseventy-threepercent: Yes many
withqualifiers, tobediscussed.
2individuals: didnotknow, butdidoffer opinions.
Six: No.
Regarding the yes choices, comments clearly
indicatedthatmanyof thecomponentsof EI aretaken
into consideration for after-hire decisions: e.g., for
retention, promotionstomanagementorseniorofficer
positionssuchasCaptainor Chief Engineer aspartof
theperformanceappraisal process,andindecisionsfor
grantingpart-timehirespermanentjobstatus. Several
commentsillustratedthataformal processformeasur-
ingthesecompetenciesisnotinplace. Representative
examplesof suchqualifyingcommentsareasfollows:
Informally wedonot useaformal tool.
Notdoneinaformal wayyet; ispartof evaluation
anddiscussionsbypeoplemakingselections.
Partly, difficult to evaluate empathy and self-
awarenessinanemployment candidate. [italicized
byauthorsof paper].
More so in the performance appraisal process;
most hiring is done based on professional quali-
fications& experience.
Theoreticallyyes; inpracticality, somewhattonot
atall; itoftenisbasedonsenioritymorethanthese
qualificationsor doggeddetermination.
Wetry, butitsdifficultinaninterviewtoseehow
peoplereallyare.
[Onerespondent, whocheckedno, indicatedthat
but thefactorsbecomeevident veryquickly.]
Only one individual claimed to screen for these
competencieswheninterviewingpotential candidates.
Threeothers, while attesting to the importance of EI
competencies on Question 1, pointedtotheinfluence
of unionsinhiringdecisions. First-level decisionsfor
hireof unlicensedpositionsoftenrelatedtobasicper-
formanceissuessuchasshowinguptowork ontime
and getting work done in a timely matter. As indi-
catedearlier, forpromotions, thesethreealsoindicated
that many of theEI components wouldbetakeninto
consideration, although they did not offer how. One
individual makesthisillustrativestatement regarding
theroleandinfluenceof unionsinthehiringprocess
which, inturn, indicateswhyEI componentsaregen-
erally considerations after the fact (i.e., the hire)
decisions:
Personnel are only screened for these compe-
tencies with regards to retention. Initial hires are
appointed to employment with a company by a
union, andtheunionsrecognizetheir roleasbeing
oneof protectionforall members,versustheculling
or development of individuals.
7 CONCLUSIONSAND
RECOMMENDATIONS
While EI competencies were deemed important by
all whoweresurveyed, andconsiderationsintheper-
formanceappraisal (PA) process for varyingreasons
such as retention and rehirefor permanent positions
andpromotions, it was unclear as tohowthesecom-
petencies wereevaluated. Inpart, this is alimitation
to thesurvey itself as that question was not specifi-
callyasked. Nevertheless, withEI onlyasaninformal
considerationfor many intheperformanceappraisal
process, andaminimal tonon-considerationinhiring
dueto union/and or other variables involving full or
part-timehiring, onemight questionhowtheroadto
leadershipcouldbeoptimizedif predictiveindicators
for EI inthis industry couldbeidentified. Addition-
ally, how might training and career development be
optimizedif buildaroundanEI model?Another con-
cern relating to the informality of the EI screening
processinvolvesthepossibilityof rater biasandlegal
repercussions that might ensuedueto perceptions of
informality (aka, unfairness) in promotion and
retentiondecisions.
Researchresultspointtonumerousandworthwhile
areasforfurtherresearch, including, butnotlimitedto:
1 surveyingfurtherhowEI ispresentlybeingassessed
inthisindustry;
2 developing a formal, performance-based Perfor-
manceAppraisal model/instrumentthatisgrounded
inEI competenciesforpurposesof training teach-
ing of specific EI-related skills, development
career improvement and organizational effective-
ness;
3 continued effort to identify tests for predictive
validityof EI;
4 studiesusingpersonnel samplestoassesstherela-
tionship between EI components and promotions
withinthemaritimeindustry; and,
5 assessment to discern if the importance and the
respective value of each of the EI competencies
(Goleman, 1998) issharedacrosscultures.Thislast
areaof researchisstill anun-charteredoneforEI in
general, andappears important giventhediversity
of crewsandforeign-flaggedvessel ownershipthat
ischaracteristicof thisindustry.
In short, we are still a long way from identify-
ingandmeasuringaquality (EI) that appears crucial
to any industry. Nevertheless, in a post 9/11 world
where teamwork, cross-cultural sensitivity, and self-
regulation and awareness (and more) in uncertain
surroundingsareof paramountimportance, continued
research in this area appears as imperative as ever.
Weinviteinterested faculty and others to contact us
if there is interest in collaborating regarding further
666
cross-cultural survey research that needs to bedone
onthisissue.
elaine.potoker@mma.edu
REFERENCES
Bar-On, R. 1997. Emotional Quotient Inventory: Technical
manual. Toronto: Multi-HealthSystems, Inc.
Bar-On, R. 1998. EQ-I BarOnEmotional QuotientInventory:
A measureof emotional intelligence(facilitatorsresource
manual). Multi-HealthSystems.
Brown, F. W., & Moshavi, D. 2005. Transformational lead-
ership and emotional intelligence: A potential pathway
foranincreasedunderstandingof interpersonal influence.
J ournal of Organizational Behavior, 26(7), 86787l.
CEMS Demonstration Project Report to Congress. (2006,
Mar. 29). RetrievedJ une14, 2006, fromhttp://www.uscg.
mil/hq/g-m/cems/index.htm.
CrewEnduranceManagement. U.S. Coast Guard/Homeland
Security (2006) Retrieved J une 14, 2006, from
http://www.uscg.mil/hq/g-m/cems/index.htm.
Goleman, D. 1995. Emotional intelligence:Whyitcanmatter
morethanIQ. NewYork: BantamBooks.
1998. What makesaleader? HarvardBusinessReview,
76(6), 93103.
Hay Group. 19992005. Emotional intelligence services.
Retrieved J une 13, 2006 from, http://ei.haygroup.com/
default.asp.
Livingstone, H., & Day A. 2005. Comparing theconstruct
andcriterion-relatedvalidityof ability-basedandmixed-
model measures of emotional intelligence. Educational
andPsychological Measurement, 65(5), 757779.
MHSMulti-HealthSystems, Inc. (2004). RetrievedJ une13,
2006, fromhttp://www.mhs.com.
667
15.3
Officers shortage: Viewpointsfromstakeholders
G. Eler, J. Calambuhay, L. Bernas& M. Magramo
John B. Lacson Foundation Maritime University, Iloilo City, Philippines
ABSTRACT: Thisqualitativeresearchlookedintotheviewsandopinionsof thedifferent stakeholdersinthe
shipping/manningontheshortageof qualifiedandcompetent officers to handlemodernships of today. This
shortage poses the biggest challenge shipping companies are currently facing. An in-depth interview of the
participants was utilizedinthedatagatheringfor this study. It alsolookedintowhat maritimeschools cando
to helpsolvethis problem. Findings showedthat therearemany sectors involvedandhavecontributedto the
present shortageof officers, namely: theshippingcompanies, themanningcompanies, themaritimeschools,
governmentagenciesandtheattitudeof theseafarersthemselves, nottomentionthecontinuingdemandfor new
vesselsbrought about byglobalizationof tradeandindustry.
1 INTRODUCTION
Ninetypercent (90%) of theworldtradeiscarriedby
theinternational shippingindustry. Without shipping
theimportandexportof goodsnecessaryforthemod-
ernworldwouldnot bepossible(Shippingandworld
trade, 2007). Seabornecontinuestoexpand, bringing
benefits for consumers across theworldthroughlow
anddecreasingfreight costs. Thegrowingefficiency
of shippingasamodeof transport andincreasedeco-
nomic liberalization, andtheprospectsfor theindus-
trys further growth continueto bestrong. Thereare
around50,000merchant shipstradinginternationally
andtransportingalmost everykindof cargo.
Theworldwidepopulationof seafarers servingon
internationally tradingmerchant shipsisestimatedto
beintheorderof 466,000officersand721,000ratings.
The OECD countries (North America, Western
Europe, J apan, etc.) remain an important source for
officers, but growing numbers of officers are now
recruitedfromdevelopingcountries, especiallytheFar
East andSouthEastAsia.
ThePhilippinesandIndiaareverysignificantmar-
itimelabor supply nations, withmany seafarersfrom
thesecountriesenjoyingemploymentopportunitieson
foreignflagships operatedby international shipping
companies. Chinahasalsoseenalargenumberof sea-
farers, but at themoment most of themwork on the
Chinesefleet, meetingdomesticrequirements.
Demand for skilled workers is escalating brought
about by new ships built and delivered since 2004
andmoreshipsscheduledtobedeliveredevenbeyond
2012accordingtoSuri,(2007).Hefurtherstressedthat
theworldeconomyisforecast tocontinueitsbull run
into thenext decade, pulling theworld tonnageinto
newhighs. Accordingly, major crewsupplyingcoun-
tries are unable to cope with increased demand for
officers.
As of 2006, the current shortage corresponds to
4 percent of the total workforce (16,000 officers)
andpredicts a12percent shortfall (46,000) by 2010
according to a study conducted by Belcher, et al.
(2003).
With the current growth in new ships being built
and scheduled for delivery until 2012, the shortage
is estimatedto be67,800officers (OddMagneSkei,
2007).
With this demand for officers in thenext 5 to 10
years, theFilipinoseafarerswill continuetobeingreat
demandintheworldmanningindustry.
It isinthiscontext that thisstudywasconducted.
2 THE PROBLEM
Thisstudyaimedtodeterminethefollowing:
1 Thefactorsthat ledtotheshortageof officers;
2 Theroleof theshippingandmanningcompaniesin
solvingthisproblem;
3 The intervention that the maritime schools could
initiatetohelpalleviatetheshortage;
4 Theroleof thePhilippinegovernment agenciesin
solvingtheshortage.
3 METHOD
This research employed the interview and focused
groupdiscussionsindata-gathering. Theparticipants
of this study were the different manning company
managers and the seafarers. It utilized an in-depth
interviewof theparticipants.
Theparticipantsof thestudywerethedifferentship
ownersandpresidentsof variousshippingcompanies.
The interviews took place on the basis of informed
669
consent. Focused group discussion took placeat the
respectiveofficesof theshipmanagers. All theinter-
views andfocusedgroupdiscussionwerevide-taped
recordedandtranscribedverbatim.
3.1 Modes of analyses
Therearealot of factors that led to theshortageof
officers, basedontheinterviewconductedamongthe
keyinformants. Thefollowingarenoted:
3.1.1 The role of the shipping companies
and ship owners
Theshippingcompaniesthemselvesortheshipowners
werereluctantor hesitantinpromotingFilipinojunior
officerstosenior officersbecausetheshipownersare
afraidthiswoulddisplacetheir ownofficers. Thiswas
stressedbyMr.VicenteAldanese(2007).Thiswasalso
affirmedbyMrs.CarlaS.Limcaoco(PhilippineTrans-
marineCarriers) whosaid: Theseareglassof ceiling
andglass walls duringthosetime; Filipinos canonly
assumepositionsinbulkcarriers, general cargoesand
tankers. According to Mrs. VirginiaLinesis (K-Line
MaritimeTrainingCenter, President) thesamesitua-
tionishappeningonJ apanesevesselsbecauseitisonly
nowthat Filipinosenior officersaregiventheoppor-
tunity to takeacommandor giventheresponsibility
of master or captain on board. In thepast, Filipinos
were not given the opportunity to be in command
of J apanesevessels. Thesameobservationwas men-
tionedby Mrs. BrendaPanganiban(Bouvet Shipping
Management Corporation); who said: thecompany
is having difficulty in hiring the top 4 or senior
officers (management level). Based on statistics, the
manning industry is really experiencing shortage of
qualified and competent officers because the indus-
try was not ableto foreseethat this would happen.
According to Capt. Martinez, the foreign principals
or owners had greatly contributed to this problem
because they were not willing to give chances to
those who are capable of being promoted for the
position.
3.1.2 New ships being built
Statistics show that from2006 new vessels into the
global fleet of 5,650within2010will requireanesti-
mated67,800officersincluding22,600seniorofficers
(Skei, 2007). This further aggravates theshortageof
officers intheworldmanningindustry. Accordingto
Mrs. CarlaS. Limcaoco, thepeoplewhoorderedships
are the board of directors, owners of the shipping
companies have not seen this problemon shortage
coming because they have not invested in people.
Theowners presumed that therewill always bepeo-
ple who will be available to handle or man their
ships.
A shiptakes six months to build, but it takes four
years to produce a junior officer and then six years
morefor himto attain senior ranks. Whileship pro-
ductionhas shot throughtheroof, officer production
hasbeentotallyneglected.
3.1.3 Training infrastructure in the Asia-Pacific
has not been developed for increased
production of officers
ThiswasstressedbySuri (2007) duringthe8thAsia-
Pacific Manning Conferencein Manilalast Novem-
ber 1415, 2007. The production of officers in the
Philippines-the largest supplying country dropped
fromabove12,000annually to below5,000after the
crackdownonsub-standardtraininginstitutes.
Likewise, production in India has not seen any
increase in many years, although India has tremen-
douspotential todoso.Othercrewsupplyingcountries
intheIndiansub-continent- Bangladesh, Pakistanand
Sri Lankalacks thepolitical recognitionof maritime
training as an important national issueor theinabil-
ities of the academies to attract potential sponsors
andinvestors, continueto restrict growth. According
to Mr. Ajoy Chaterbee (Kumar, 2007) the shortfall
of seafarers negatively impacts theshippingindustry
as awholewhereas boththeon-boardandon- shore
maritimerelated work posts facemanning problems
thatmaydirectlythreatentheexistenceof theshipping
activityandthesustenanceof maritimeknow-how.
ProductioninChinahasseensomegrowth, but the
growth is dwarfed by thegrowth in Chinesedomes-
tic fleet, givingnorelief totheinternational demand.
Inany case, muchmoreneedstobedonetoimprove
thestandards of trainingas well as Englishlanguage
proficiency. Apart from this reality, China is short
of 13,000 high-level maritime workers as the ship-
pingindustry continues to developaccordingto Xen
Dingding(2006). Today, Chinaranks9thinthetop20
largestshippingflags(ShippingandWorldTrade, J an-
uary 2007) andranks 6th amongthetopcontracting
countriesbynumber of vesselsonorder.
3.1.4 The attitudes towards the seafaring
profession
Theinductionof newentrantsintotheseafaringprofes-
sionhasnot increasedinproportiontotheattritionof
experiencedseafarers. Many alternatecareer options
thatarelucrative, comfortableandsociallyrecognized
havepushed seafaring down as acareer choice. The
best of the youth today look for honorable careers
with social status, perks, five- day/week work, clear
pathandequal or higher wage/benefits packagethan
seafaring can offer. The incentives that the indus-
try offers to theofficers arelimited to thematching
what other professions offer and lack a comprehen-
sivepackagingasanindustrystandard.Seafaringisnot
thepreferredprofessionfor youngsters indeveloped
nationsaccordingtoGrover (inKumar, 2007).
3.1.5 The competencies of the new graduates from
maritime schools are always questioned
ThisideawasdisclosedbyMrs.VirginiaLinesis, Pres-
ident of K-Line, oneof therespondents of thestudy.
Along with it is the issue of the competence of the
teachers. Theseteachersarenot recentlydisembarked
fromthevessel, meaningtheyhavebeenteachinglong
enough and havenot undergoneupgrading on board
670
vessels. Theschool, accordingtooneof theintervie-
wee: Theschool shouldalsolookintoitscurriculum;
look at the issue of its relevance in todays world.
Therearecertainsubjectsthat arenon-negotiablethat
studentshavetostudy. But aretheyrelevant?
3.1.6 There are government agencies that hamper
the growth of our officers, like the PRC Reg.
Act 3544
After passing the board examinations, they are sup-
posed to begiven certificateof competency (COC),
howevertheyhavetoattendvariousupgradingcourses
likethemanagement level course(MLC) requiredby
theagency whichfurther delays theissuanceof said
certificates.
4 FINDINGS
1 The shipping companies themselves or the ship
owners were reluctant or hesitant in promoting
Filipino junior officers to senior officers because
theshipownersareafraidthiswoulddisplacetheir
ownofficers. Theforeignprincipalsor ownershad
greatly contributedto this problembecausethey
werenot willingto givechances to thosewho are
capableof beingpromotedfor theposition.
2 Construction of new ships brought about by the
growth in the world economy further aggravates
the problemof shortage of officers in the world
manning industry. Statistics showthat from2006
to2010, newvesselsintotheglobal fleet of 5,650
will requireanestimated67,800officersincluding
22,600senior officers(Skei, 2007).
3 TraininginfrastructureintheAsia-Pacific has not
been developed for increased production of offi-
cers.Theproductionof officersinthePhilippines
thelargestsupplyingcountry droppedfromabove
12,000annuallytobelow5,000afterthecrackdown
onsub-standardtraininginstitutions.
4 Theinductionof newentrantsintotheseafaringpro-
fessionhasnot increasedinproportiontotheattri-
tionof experiencedseafarers. Seafaringis not the
preferred profession for youngsters in developed
nations.
5 Themaritimeschoolsshouldreviewitscurriculum
astoitsrelevanceintodaysindustrydemands.
6 The additional requirements of the Professional
RegulationsCommissioncontributetothedelayin
the acquisition of the certificates of competency
amongtheofficerspassingtheboardexams.
5 RECOMMENDATIONS
1 The need to improve the image of the maritime
career andtoattract youngpeopletotheseafaring
professionisof utmostimportancetodayinorderto
sustainthegrowthininternational shippingactivi-
ties.Humanresourcedevelopmentismorecomplex
andtimeconsumingthandevelopmentof tradeand
technology. Human resource, unlikemachineries,
cannot be drafted on drawing boards, nor pro-
grammedoncomputers. A shiptakes6monthsto
build, butittakes4yearstoproduceajuniorofficer,
6yearsmorefor himtoattainasenior rank.
2 Thereisaneedtopromoteofficerswhoarealready
holdinghigherlicensesandqualifiedtoassumethe
nexthigherpositionespeciallyChief Matesand2nd
Engineers.
3 The career path of officers and crew should be
mappedoutinorder topromoteloyaltytothecom-
pany. This has been practiced by some J apanese
companiesliketheK-Linewhoseretentionrateof
itsofficersis96%.
4 The shipping companies should invest in people.
Asmuchaspossible, theyneedtoestablishtie-ups
or linkageswithmaritimeschoolswhoarethepro-
ducersof competent graduates. Scholarshipgrants
todeservingstudentsshouldbeenhanced.
5 Improvethequalityof deckandenginegraduatesof
themaritimeschools.WhilemostFilipinosareable
tospeakEnglish, thereisstill aneedtoimprovethe
speakingcompetenciesof thegraduatesof themar-
itimeschools.Thereisalsoaneedtofocusattention
inmathematics, scienceandphysics.
6 The Professional Regulation Commission (PRC)
shouldimplement thewalk-inexamination(WES)
systemassoonaspossible.
REFERENCES
Aldanese, V. F. (TheImpact of increasingchallengeswithin
manningandtraining, A paper deliveredat the8thAsia-
PacificManningandTrainingConference, November14
15, 2007, Manila: Philippines).
http:www.marisec.org/shippingfacts/worldtrade/top-20-largest-
shippingflags
Kumar, S. V. (Shortageof seafarerstakeswindoff maritime
activitiesTheHinduBusinessLine, April 5, 2007).
Marques, E. M. (J oining Hands to Meet Global Demand
for FilipinoSeafarersthroughaCommittedPartnership,
A paper delivered at the 8thAsia-Pacific Manning and
Training Conference, November 1415, 2007, Manila:
Philippines).
Skei, O. M., (TheGrowingShortageof QualifiedOfficers,
Philippines).
Suri, S. (A synopsisof current manningsituation, strategic
directionsandemergingmarketsasasolutiontoworsen-
ingofficersshortage, A paper deliveredat the8thAsia-
Pacific Manning and Training Conference, November
Xin D., Sailor Shortagein Growing Industry; ChinaDaily,
Apr. 20, 2006
671
15.4
A nobleprofessioncalledseafaring: Themakingof anofficer
M. Magramo& L. Gellada
ABSTRACT: This study aimed to determinetheperceptions of themanagers in theshipping and manning
companiesinthePhilippinesandtheseafarersregardingthenobilityof theseafaringprofessioninthelight of
theshortageof competent officers. It utilizedtheinterviewapproachingatheringdata. It wasfoundout that in
other countriesespeciallyinOECDor highlyindustrializedcountries, theyouthtodayarenolonger interested
intheseafaringprofession. Workingonboardshipsisbecominglessattractivefor studentscomingout of the
schoolsandcolleges. Inthepast, seafarerswerepaidbetterthantheirpeersonshore, andtheyhadtheopportunity
totravel acrosstheworld. InthePhilippines, it isstill preferredbysomestudentswhosefathersor relativesare
seafarers. They haveseenthat theprofessionisfinancially rewardingandit isperhapsthebest, if not theonly
waytoimprovetheir qualityof life.Thisstudyalsolookedintotheperceptionsandopinionsof thepractitioners,
themaster marinersthemselveswhooncealsostruggledinorder torealizetheir dreamsandaspirationsinlife.
Mostof theofficersinterviewedbelievedthatittakesdeterminationandfocusinthejobinordertobesuccessful.
Thus, studentsaspiringtobecomeofficersandultimatelycaptainsormastermarinersmuststudyhard, persevere
andbedisciplinedtobeabletoovercomeanyproblemalongtheway.
1 INTRODUCTION
Workingonboardshipsisbecominglessattractivefor
students coming out of the schools and colleges. In
thepast, seafarerswerepaidbetter thantheir peerson
shore, and they had the opportunity to travel across
theworld. However, bothof thesehavechanged. The
salary gap between seafarers and those working on
shore is minimal. With ports and terminals located
awayfromthecity, andshipsnotstayingattheportfor
alonger period, seafarersdonot haveanopportunity
toexplorevariouscountriesaccordingtoMr. S. Hajara
(http:www.businessline.in/).
Several studies indicate that there is currently a
world-wide shortage of officers, corresponding to
4 percent of the total officers (16,000) and the pre-
diction is that by 2012, the shortfall will rise to
46,000(Kumar, 2007).
Theshortfall of seafarers has negativeimpacts on
the shipping industry as a whole whereas both the
on- boardandon- shoremaritimerelatedwork posts
facemanningproblemsthat maydirectlythreatenthe
existence of shipping activity and the sustenance of
maritimeknow- how(Chaterjee, inKumar, 2007).
J apanese shipping companies plan to hire 10,000
seafarersfromthePhilippinesbetween2008and2010.
(http://www.gma.news.tv/). This was stated by the
president of thePhilippine-J apanManningConsulta-
tive Council, Mr. /Eduardo Manese. He further said
that J apanwill increaseitsmerchant fleet of 2,223as
of 2006 to 3,000 by theend of 2010, and further to
4,000by2015.
ThesameopinionwassharedbyAmbassador Stale
TorsteinRisaof Norway duringthetwo-day Interna-
tional Maritime Conference hosted by J BLFMU on
J anuary29, 2008. Heencouragedmaritimeschoolsin
thecountry togiveimportancetoquality-basedmar-
itimeeducationandtrainingtomeetthedemandsof the
global shippingindustry. Risanotedthat most of the
worldsglobal tradeisbyseaandthatglobalizationhas
entirelychangedtheworldstradingpatternswithnew
emerging markets requiring more transport services
thanever before. Asidefromtheexpandingoff-shore
explorationsof petroleumresources, thecruiseindus-
try also continues to grow. This entails a growing
demand for maritime workers. He further stressed:
I believe schools should even seek to follow up
andevaluatetheirgraduatesemploymentexperiences.
They shouldkeeptrack of their graduates andto get
feedbacksafterspendingsometimeatseaanditwould
be a valuable input in determining if the level of
training is adequate, and even offer advice on job
satisfaction.
Given theshortageof maritimeofficers for inter-
national vessels, the manning industry is turning to
re-packagingwhat itsplayerssayisawimpy image
of theFilipinoseafaringcareer accordingtoStene(in
Alzona, 2008). Itisonthispremisethatthisstudywas
conducted.
2 THE PROBLEM
This study aimed to determinetheactions and mea-
sures taken by the different stakeholders in order to
673
enticetheyouthof today inpursuingacareer at sea.
Theperceptions of thevarious managers of theship-
ping and manning companies in thePhilippines and
other stakeholders, especiallytheseafarers, regarding
thenobility of theseafaringprofessioninthelight of
theshortageof seafarerswasalsolookedinto.
3 METHOD
Thisstudy utilizedthedescriptive-qualitativemethod
of research. It utilized the phenomenological
approach, usinganin-depthinterviewof thekeyinfor-
mants.Theparticipantsinthisstudywerethemanagers
of the manning companies and the various repre-
sentatives of the owners of the shipping companies
in the Philippines, deck cadets who recently disem-
barkedafter completingaone-year trainingprogram
onboardandactiveseafarersoccupyingmanagement
level positionsonboard.
3.1 Modes of analysis
3.1.1 Filipinos are excellent seafarers
ThePhilippinesisnumber one(1) intheworldasfar
as seafaringis concerned. Thereis no other industry
or professionthecountrythatcanboastof beingnum-
ber one. Therearesomepersonalitieswhoarenumber
oneintheworldlikeMannyPacquiaoor LeaSalonga,
butinanindustryor profession, nooneindividual can
claimbeing number one in the world. Thus, in the
office, the seafarers wear necktie because they feel
that they arereal professionals. So therearereasons
to promote seafaring profession as a better paying
professional job. It is better than most of the pro-
fessions weknow. Theseweretheinspiringwords of
Mr. EricksonMarquez, president of several manning
companiesownedbyhisfamilyandalegacylefttohim
by hisfather, thefounder of thecompany. Hisappeal
to thestudents: Study! Haveanambition! Dont be
satisfiedtobeabletogoonboardshipsonly. Aimto
be a captain or chief engineer; your life will not be
fulfilledif youdont becomeone. Andyoucanonly
do that if you study. And lets get rid of the notion:
pagmahina, mag-seamankanalang; pagmagaling
ibangprofession(if theintelligenceisbelowaverage,
gofortheseafaringprofession, if aboveaveragegofor
other professions).
Headded: Sohowcomewearenotdoingour best
toimprovethequalityof ourstudents?Withoutthesea-
farers our economy wouldprobably suffer morethan
what we are suffering now. Seafarers are not given
attention, despite the fact that this is the profession
thattheFilipinoswill dominateintheyearstocome.
Letusthereforechangeorre-directourmindset, let
ustreatseafaringasaveryoldandanobleprofession.
3.1.2 A very old but noble profession
ThestatementsbyMr. EricsonMarquez arethesame
words shared by Mrs. Carla S. Limcaoco, Vice-
Chairmanof thePhilippineTransmarineCarriers, Inc.
She said: to enter this career is a special calling.
Seafarersshouldnot just doit toseetheworldfreeor
justearndollars. Theymustdoitbecausetheybelieve
inthevalueof thecourse. Theyshouldremember that
without ships where would the world economy be?
Whenyoufindsomethingimportedinthesupermar-
ket, dont you start to think how it got there? It got
therebecauseof ships. Howdothecarsof J apangoto
Europe?HowdidthegoldfromChinagettotheUnited
States?Without ships, theworldeconomywouldcol-
lapse. Sowhensomebody(sic) decidestobeamariner
youbecomepartof averyoldbutnobleprofession.Itis
muchmoresophisticatednowbecausethelevel of edu-
cationrequiredisamazing. I sit hereandlistentothe
competencerequirementsandberthingrequirements;
port statecontrol and flag staterequirements. And I
sit there and tell my senior officer (she is referring
tosenior deck officersintheir company), youcannot
imaginehowproudI amof youbecauseoneday, if you
decidetoworkashoreyoucanprobablysitanddowhat
I amdoing. I cannever dowhat youaredoing, I have
agreat respect for what is it they haveto (sic) know.
Andsotome, itsaprofessionthatrequiresahighlevel
of educationandit isaprofessionthat if youconduct
yourself properlywill giveyouaveryfruitful life.
AccordingtoCapt. J essieMartinez, thepresidentof
Global TrainingSystemsPhils., Inc. Studentsshould
do everything, includingmotivatingthemselves. He
furtheradds:Theyhavetogiveittheirbestshot.Dont
settlefor thesecondbest. Trytobethebest always. If
youwill do all thesethings, this professionbecomes
easy. Inthis profession, thereis no glorious moment
thanthefirst day that youassumethepositionof the
master.
Capt. Rainier Salcedo, 1986graduateof J BLFMU-
Arevalo saidthat his profession as aseafarer earned
himthe respect of people both at sea and on land.
People in his community appreciated a lot his little
contributionsthat hesharedtothem.
3.1.3 A lonely but a challenging job
Any seafarer will find it difficult to work on board.
First of all we are far fromour family. The feeling
of beingawayfromyour familyandlovedonesisthe
hardestpartaccordingtoCapt.Lopez,evenharderthan
theworkonboardships.Butlifeisinitself asacrifice.
Soinorder for metoprovidefor myfamily. . . . I have
towork onboardbut I havenochoicebecauseI love
myfamily.Capt. Lopezadded: Beingawayfrommy
loved ones is thebiggest challengethat I havebeen
confronted with. It is achallengeto meas ahuman
beingfor I havebiological needsandmusthaveabio-
logical fulfillment.Thus,whenI aminportsurrounded
bybeautiful women, sometimesI cansurpassit but at
timesI cannot.
This was also shared by Capt. Genona who con-
siders that being away fromfamily requires a large
amount of patienceto work efficiently. It was diffi-
cultbutbecauseof trainingandmotivation, I wasable
tosurpasssuchdifficulties. Heovercomeshomesick-
nessbyconcentratinginhiswork.
674
Capt. Rainier Salcedo, feelsthesameway. It isnot
theworkonboardthatheconsidersdifficultbutrather,
itisthefeelingof beingawayfromhisfamily. For him
work becomesroutineonboardthemoment that you
(sic)havemasteredit. Helooksathisworkasapassion
oranart.Itisfunworkingonboardbecauseheenjoysit
andhedoesntfinditboring. Healwayslooksforward
thateachdayisadifferentdayfromthepreviousdays.
Thechallengesthatheencountersonboardmakeshim
astronger andbetter person.
Difficultyisastateof mind.Physicallyitisdifficult;
mentally it is very difficult, if you arenot prepared.
But if you arephysically and mentally prepared and
you know how to sort things out, then everything is
easy, andfunaccordingtoC/MArsenal. Thisissome-
thing that a deck cadet must endure and must fully
understand in this profession. He must carry on his
shoulderabigresponsibilitywhenheisonboardespe-
ciallywhenhebecomesanofficer.Thereareinstances
whenhedoesnotgetenoughsleepina24-hourperiod
because of emergencies on board requiring every-
body to bealert all thetime. Hehas to deal withthe
indifference of his senior officers, and if he is not
emotionally prepared he will end up crying. But all
thesearepartof beingacadetaspiringtobeanofficer
someday.
3.1.4 Adjustment with other nationalities
Mostof thekeyinformantsinterviewedadmittedthey
findit difficult to adjust withother nationalities pri-
marilybecauseof languagebarrier, nottomentionthe
cultural differences. As aChief Officer, Capt. Lopez
hastoadjusttothecultureof theIndonesianswhoare
Muslims. Hefounditdifficultatfirstbecause, insome
instances, Muslimcrewmembersdisappearedonthe
deck inthemiddleof thework for theymust goback
totheir cabintopray.
Despitethefactthathewasaseniorofficeronboard,
Capt. PhilipGenonastill feltacertainlevel of discrim-
ination, because Europeans are feeling and thinking
superior. But hewasnot intimidatedat all. Hesimply
toldthemthat they wereonboardto work, that their
responsibility, whichwastokeeptheshipboardorga-
nizationwork, andbeingtheofficer onboard, it was
hisjobtoimplement companyregulations.
For Capt. Rainier Salcedo, henever foundit diffi-
culttoadjustwithJ apaneseofficersevenwhenhewas
still adeck cadet. J apanesearejust likeFilipinos or
other nationalities; somearearrogant, somearegood.
J apanesepeoplearepolitepeople. It paystobecour-
teousandrespectful toeverybodyonboard, especially
totheofficers.
Whatthehell isthiscompanyinthePhilippinesIt
sends mea51year oldordinary sailor anda20year
old third officer. What is this? A joke! Thesewere
thewordsthat C/M Arsenal hadtobear whenhewas
first assignedasaThirdOfficer. Sohetoldthechief
officer thatitissomethingthatisnotwithinhishands
and added: I will do my job as much as I can and
I will prove to you I can do it. Little did he know
then, that hewas to facethebiggest challengeinhis
career whenthecaptaintoldhimwhilethey wereon
thebridge: Youknow, sonI askedfromthecompany
to sendmeaman; they sendmeaboy. What do you
think about this? C/M Arsenal who was third mate
thenreplied: Sir, I will provetoyouthat thisboycan
do amans job. Andif this boy cando thejobbetter,
then shame for the man. And then his captain said:
Yeah, yeah I haveathird officer. Theboy was able
tomeet thechallengeof hischief officer andcaptain
becausehewasmentally andemotionally ready even
at averyyoungage.
Capt. DerwinLimpiadonever findsitdifficultsail-
ing with other nationalities because he can always
adjust. Whileit is truethat Europeanofficers think
superior over theirAsiancounterparts, theycannotdo
otherwise(sic). If youareaFilipino officer andyou
haveEuropeansasjunior officersor if youareaMas-
ter andyouhaveaEuropeanChief officer, thereisno
problemdealingwiththem. All that youhavetodois
provetothemyourtrueworthandthatyoucompletely
know your job, then thereis no problem. J ust stand
your ground, andlater ontheywill just saysorry. And
that is what is goodwithEuropeans, they knowhow
toapologizewhenthey knowthey arewrong. Some-
timesthereareFilipinoswhowill notevenadmittheir
mistakes. Theywill never saysorry.
3.1.5 What does it take to be a cadet on board?
Any ship officer before assuming the position of a
thirdmatemust beadeckcadet first. Asadeckcadet
aspiring to become an officer someday, he must be
mentallyandspirituallymature. Mentally, becausehe
hastocopeupwithhisstudiesandphysicallybecause
he must be prepared for any challenges that would
requirehis physical strengthandalso thespirituality
toalwayshavefaithinGODthat HE will never leave
himbehindandwill support himinwhatever hedoes
that is right. These were the words of Deck Cadet
Lamasanwhenasked: what doesit taketobeadeck
cadet onboard?
AccordingtoCadetLamasan,thereweremanychal-
lengesthat hehadtofacewhilehewasonboard- one
of them, the environment. The first time I experi-
encedbigwaves at seaandtheswayingof thevessel
wheneverweencounteredstormsatseaaresomeexpe-
riencesI will never forget(sic). Itisdifficulttogetup
and do my work. . . so thats one factor that makes
the life of cadet difficult. Another difficulty that a
cadet will likelyexperienceonboardisthechallenge
that theother crewmember posesagainst youngdeck
cadetslikeus. But thetrainingthat wehadinthedor-
mitory hadreally preparedus for shipboardpractice.
In the dormitory we were trained how to get along
with other peoplebecauseanywherewego later on,
wewill beencounteringpeoplewithdifferent person-
alities, attitudes, character, culture, beliefsandvalues.
Thetrainingwehadpreparedus physically, mentally
andemotionally. Hewantsstudentstostudyhard, per-
severebecausethereisnothingeasy. Thereisnogoal
that iseasytoreach. A student must believethat heis
capableof doingit, of becominganofficer, hecould
675
do anything including the impossible if he has the
determination.
For deck cadet Borja, acadet, especially ascholar
of theNorwegianShipownersAssociation,mustsacri-
ficealot. Towhommuchisgiven, muchisexpected
hefurther stressed. Thecompanyisgivingascholar-
shipgrant andit isalsoexpectingagoodoutput from
the scholars. To be an NSA cadet aspiring to be an
officer, youreally havetosacrificeandlovethepro-
fessionbecauseif youlovewhatyouaredoing, thenit
will beeasyasthoughyouarenotworkingatall.There
arealot of challengesonboardthat I havetohurdle;
for instance, thecompany pressure, second is trying
to overcome fatigue because there is this big issue
about commercial challengewhereby thecompany is
expectingmoresothepeopleonboardarepressured.
However, thesearenormal activities on board. As a
cadet, I havetowork for 12hoursandit ispart of the
commercial pressureimposed upon by thecompany
onthecrewthatstheleastthatI havetoworksome-
timeseven16hoursto24hours. (sic) Therearealot
of pressures andI was thinkingabout givingup, but
thenif I amgoingtoletmyself becarriedawaybymy
way of thinking, but thenit ismindover matter. (sic)
Itshowyouconditionyour mind. Althoughthereare
alotof challengesyouwill still beabletoovercomeit
withprayersandasmuchaspossible, findsomebody
totalkto. Andafter that, theproblemisgone.
According to Capt. Derwin Limpiado, a master
mariner in command of one of the many vessels of
theNorwegianGas Company, acadet must havethe
mind-set or focus of really becoming an officer, not
justbecausehewanttobeanofficer buttoknowwhat
the job is of a rating. How can a cadet become an
officer if hehasnever beenexposedtothejobof arat-
ing?heask?Howcanonesupervisetheratingslater
on?A cadetaspiringtobecomeanofficermustknow
therudimentsof thejob, theroutinejobondeck, not
just howto navigate. Thesethings areeasily learned
withtheadvent of computer technologytoday. It will
bedifficult for achief officer tosuperviselater onif
hehimself does not knowhowtotieknots or howto
splicearope.
Anable-bodiedseamanmustbeagoodsteeringman
or helmsman, andagoodlook-out. It is not amatter
of memorizingtherulesof theroad, it will alwaysbe
there. (sic)Therearebooksonboardthathecanreview
fromtimetotime. Thereareofficers whoarealways
on the radar. They have become technology depen-
dent. Thebest waytonavigateavessel isnot through
theradar or any other electronic gadgets onboard; it
isdonethroughvisual observationthroughlook-outs.
Seefor yourself thesituation, go to thebridgewin-
dow, or if necessary, the bridge wings to assess the
situation.Therearenewandyoungofficerstodaywho
cannotevenidentifythecharacteristicsof lighthouses,
bouys, etc.Thebasicsof pilotingarestill veryhelpful.
A goodsteeringmandoes not only look at thecom-
pass; heshouldlook at theships headandthenlook
at thecompass only to check theheadingof theves-
sel. Itmustberememberedthatthecompassreadingis
dependent upontheshipsheading. Soagoodhelms-
man looks at the ships head and then looks at the
compass to check thedirection that theOOW or the
Master orderstobesteered.
3.1.6 What does it take to be an officer on
board a vessel?
As the bars on your shoulder board increase, the
responsibilityalsoincreasesaccordingtoCapt.Angelo
Lopez. Sincetheposition is already amanagement
level, thechief officer isin-chargeof thedeckdepart-
ment, and all the work in this department is his
responsibility. It is difficult to handle people- more
difficult thananytask assignedtoachief officer. You
haveto consider peoples moods and deal with their
problems at homebecauseit affects theperformance
onboard.Youstill havetodeal withindividual differ-
ences. Notwopersonshavethesameprinciplesinlife,
thesameworkethics, andasaChief Officer I haveto
understand all this. It is really amatter of accepting
peopleasthey areandmakingthemost of what they
cancontributetotheorganizationonboardthevessel.
To be an officer, you must have the courage, the
knowledge, intelligenceandtheskillsandmost of all
youmusthavefaithinGODaccordingtoCapt. Rainier
Salcedo. Thethreestripesonmyshoulder boardrep-
resentingmy positionas Chief Officer really is (sic)
abigloador responsibility that anofficer (sic) must
carry. As thecargoof thevessel is thechief officers
responsibility, stabilityandtrimof thevessel must be
properly attended to. The life of everyone on board
isdependent uponthehandsof thecargoofficer, that
of thechief officer.(sic) Anofficer, 2ndofficer or 3rd
officeronboardmustalwaysbealertespeciallyduring
thetimeof his watch. Rainier alsobelievedthat the
knowledge, virtues andvalues that hehadlearnedin
school is abig part of his being acaptain today. He
further stressedthat astudent aspiringto becomean
officer must havethecourageanddetermination. He
shouldaimtobecomeanofficer,notjustanordinaryor
able-bodiedseaman. WhenI tookcommandasmas-
terof thevessel,myfearwaswhenI gavetheorderLet
goall lines. It wasacontrolledfear withinmeanda
temporaryone.Itwasthesignal thatI aminfull control
of thevessel. Thereis no turningback, theshipwill
beat my completedisposition. It wastemporary fear
becauseI knowI haveenoughtrainingandeverything
went smoothly after that. I was able to conquer my
fear. Capt. Limpiadoconsidersitashismostfrighten-
ingexperienceinhiscareer asamaster mariner. After
that brief moment of fear, everythingwasnormal and
thefeelingjust subsided. Hehadworkedinagascar-
rier since he was a second officer until he assumed
theposition as chief officer at age32, and amaster
mariner at age39.
3.1.7 The profession is financially rewarding
Youwill earnwell. Thehigher yougo up, themore
money youwill earn. Why? This is becausecaptains
are paid 7,000 or even 8,000 US dollars according
to Mrs. CarlaS. Limcaoco. Whilethey areonleave,
676
they are paid and the pay is more when they return
onboard. Sheadds: I meanmoneyisbeingthrown
tothemlikeit isgrownontrees. Andif youaredone
withyour workat sea, youcancomeashoreandthere
will be 10,000 jobs waiting for you, here or abroad
assuperintendent, port captains, fleet managers, gen-
eral operationsmanagers,crewingmanagers,takeyour
pick. Soit issomethingthat will start fromyour posi-
tion as adeck cadet to thebeing acaptain on board
or ashore. It is a very special career in that sense,
butverynoble. Itisenduring(sic) butveryfinancially
rewarding.
The profession is indeed financially rewarding,
enablingtheseafarers to helptheir families. Accord-
ing to one master mariner who had been to sea for
13 years in this profession, he was able to help his
familyfinancially, andhealsoprovidedsomerevenue
forthecountry.Capt.AngeloLopezalsosaidthatitis
alsohisambitiontoseetheworldand, beingagraduate
of agovernmentmaritimeschool, hehasanobligation
to returnsomethingto his country. Hedisclosedthat
hisfamilywasfinanciallyhard-upandwhenhestarted
sailingonanoverseasvessel; hewasabletohelphis
mother whowasraisingthefamilyalonefor hisfather
hadlongbeendeceased.
Capt. PhilipG. Genona, whojust passedtheboard
examinations for master belongs to the new breed
of officers. He belongs to the 2nd batch of the NIS
ClassProject sponsoredbytheNorwegianShipown-
ers Association. Hechosethisprofessionbecauseof
thebackgroundorhisenvironmenttellshimto. Living
inatownwithmanyseafarerswhoarefinanciallysta-
ble, hefoundhimself drawntotheseafaringcareer. Of
courseheconsidersthat besidesthefinancial rewards
theprofessionis givinghimpersonally, hesees him-
self asacontributor totheworldwideprogressof the
trade.
C/MArsenal believesthat thejobof ashipofficer
is fulfilling and also financially rewarding. Filipino
seafarers today arewell compensated especially at a
timewhenthereisaworld-wideshortageof competent
officers.
3.1.8 On what students should do in order to
realize their dreams
Noinfluencefromother people, your parentsor any-
body else, could help you but yourself. You need
to have the determination, the focus if you want to
becomeanofficer, andeventually acaptainlikeme.
You haveto becomean officer by takingonestepat
atime. This is what astudent must keepinmindin
choosingthisprofessionaccordingtoCapt. Limpiado.
Capt. Lopez said: If youbelievethat youcansur-
vivethedifficultiesinthisprofession, byall meansgo
for it. Theseafaringprofessionisanobleprofession,
and if you decideto takethis course, you must take
pridetopreservetheintegrityof theprofession, of the
Ilonggoinparticular andasaFilipinoingeneral.
Capt. Philip Genona strongly advises students to
enhancetheir knowledgeand skill in computers and
in both spoken and written English. They have to
know whereto sourcetheprevailing maritimeregu-
lations fromand to get updates especially fromthe
internetbecausetheyhavetheresponsibilitytobewell
informed.Theyhavetobedisciplinedandtotaketheir
studiesseriouslyandmust dowell inclass.
Cadet Lamasanbelievedthat thereisnothingeasy
inthisprofession. Thereisnogoal that iseasy (sic)
to reachbut it is on(sic) oneself to do includingthe
impossible. Onecanmaketheimpossiblepossibleif
onehasthedetermination.
Cadet Borjasaysthat thereisabright futureinthe
maritimeprofession. I knowthat therearemanystu-
dents out there who dreamof becoming captains in
the future or perhaps presidents of a shipping com-
pany and I want to tell themthis: Yesterday is just
but adream; and tomorrow avision, but today well
livedmakesyesterdayadreamof happinessandevery
tomorrowavisionof hope. Solooktothisday. If you
want to haveabright futurelater on, you must start
rightnow. Anythingthatisstartedrightwill endright.
If youdogoodwhileyouareinschool, youwill also
landagoodjoblateron.If youdogoodinacademics,in
reactingor inter-actingwithpeople, makeyourselves
readytofacethechallenges, I amsureyoucanachieve
alot intheseafaringprofessionwhichhas becomea
verylucrativeprofession.
4 FINDINGS
Fromthediscussion, thefollowingarethefindingsof
thisinvestigation:
1. There is indeed a need to build the image of the
professionamongtheyouthof today.
2. Someshippingcompanies arealready doingtheir
part tobuildtheimageof theprofessionbyrequir-
ingtheir seafarerstobeaspresentableaspossible
when reporting to the office. They go through a
process of orientation wherethey areencouraged
tobecomecaptainsorchief engineersnotjustmere
crewmembers.
3. ThisisaprofessionwhereFilipinosexcel inandthe
chancesaregoodfor thecountry toitspositionin
theworldasthenumber onesupplier of competent
andqualifiedofficersandcrew.
4. Theseafaring career is anobleand achallenging
profession.
5. It is a lonely profession having to be away from
loved ones, but it is at the same time a very
challengingprofession.
6. Theprofessionisfinancially morerewardingthan
anyother profession.
REFERENCES
Aldanese, V. F. (The Impact of increasing challenges within
manning and training,A paper deliveredatthe8thAsia-
677
http:www.marisec.org/shippingfacts/worldtrade/top-20-
largest-shippingflags
Kumar, S. V. (Shortage of seafarers takes wind off maritime
activitiesTheHinduBusinessLine, April 5, 2007).
Marques, E. M. (Joining Hands to Meet Global Demand
for Filipino Seafarers through a Committed Partnership,
Philippines).
Skei, O. M., (The Growing Shortage of Qualified Officers,
Philippines).
Suri, S. (A synopsis of current manning situation, strategic
directions and emerging markets as a solution to worsen-
ing officers shortage, A paper deliveredat the8thAsia-
Xin D., Sailor Shortage in Growing Industry; ChinaDaily,
Apr. 20, 2006
678
15.5
Officersasprostitutes: Mythor reality? (A studyonpoaching
of officersinthePhilippines)
M. Magramo, G. Eler, J. Calambuhay& L. Bernas
ABSTRACT: Thisdescriptive-qualitativeresearchlookedintothereasonswhyaseafarer islikenedtoapros-
tituteandinwhat aspectsthey arealike. It alsoaimedtodeterminefromthekey informantsthepracticesand
or procedures employedby shippingandmanningcompanies inorder to fill inthemuchneededpositionon
boardthathasbecomeascarcityinthelastyears. Likewiseitaimedtodeterminehowthesemanningcompanies
keeptheir present pool of officers intheir rooster. What arethestrategies employedby thedifferent manning
companiesinkeepingtheir officersandcrewloyal totheir respectivecompanies?
1 INTRODUCTION
The current shortage of officers in the world man-
ningindustryhasbecomealarmingwiththeestimated
shortageof about16,000officersasof 2006, andpre-
dictedtorisetoabout 46,000by 2010accordingtoa
studyconductedbyBelcher, et al. (2003).
About 1/3 of the worlds seafarers today are
Filipinos (Amante, 2003). It is observed that agreat
numberof Filipinoofficerstransferfromonecompany
toanother inconsiderationof ahigher salary.
While it is true to some seafarers that salary is
importanttokeepthemfromtheirjobs, tosomeseafar-
ers, security of thejobismoreimportant thansalary.
Thus, the questions is, Is the amount of salary an
assurancefor amanningor shippingcompanytokeep
their officersandcrew?
During the8thAsia-Pacific Conferencefor Man-
ningandTrainingheldinManilalastNovember1415,
2007, oneof thespeakersmentionedthatseafarersare
just likeprostitutes.
Butwhyisaseafarerlikenedorcomparedtoapros-
titute?A prostituteinaclubgoesfor theguywiththe
most money, or thehighest bidder. Likewise, Filipino
seafarers today, also go to thecompany whichoffers
themost moneyfor theposition.
DorisMagsaysay-Ho,chairmanof MagsaysayMar-
itime Corporation and president of the Philippine
Seafarers Promotion Council, said that ship owners
who refuse to spend money on training are spread-
inghavocbypoachingqualifiedcrewfromcompanies
thathaveinvestedwisely(LloydsList, 2006). Shefur-
ther claimedthat other shipownershavenot prepared
for theshortagesof manpower andhavebeencausing
havoctothemarket bypiratingpeople.
Thesameopinion was aired by Wang (2006) and
hewarnedthat despitetheshipownerseffortstotrain
qualityofficersandratings,theyareundertheconstant
threatof losingtheirskilledpeopletocompanieswhich
donotinvestinthetraining, anddonotbuildupquality
seafarers. Thecombination of this poaching and the
scarcityof skilledseafarershaddriventhesalariesof
somemastersto$16,000per month.
According to Chee How (2007) ship owners and
shipmanagersmust invest inthetrainingandupgrad-
ingof theskillsof theseafarerssailingonboardships
togrowthepool of skilledmanpower.
It isinthiscontext that thestudywasstudied.
2 THE PROBLEM
Thisinquiryaimedtodeterminethefollowing:
1 What are the practices of the different crewing
andmanningcompanies intherecruitment of the
officersandcrew?
2 How many of the companies practice poaching?
Aresalariesdeterminantsinkeepingtheir officers
andcrew?
3 What other programs do companies have for the
seafarers and their family in order to be able to
wiselymanagetheallotment or evenincreasetheir
monthlysalary?
3 METHOD
Thisdescriptive-qualitativephenomenological research
delved into the investigation of the different hiring
practicesemployedbythemanningandshippingcom-
paniesamidsttheshortageof qualifiedandcompetent
officersintheglobal manningindustry. It alsoaimed
todetermineif salaryisadeterminingfactor inkeep-
ingtheir officersandcrew. Likewise, it aimedtofind
outwhatmeasuresaretakenbythemanningandship-
pingcompaniesfor their officersandcrewtobeloyal
totheir company.
679
This study utilized in-depth interviews with key
informantsinthisresearch. Therespondentswerethe
different manning and shipping company managers,
officersandsomecrewmembers.
3.1.1 Career development plan
Keepingtheir officers andcrewonecompany which
does not join the game of poaching is K-Line. As
of September 2007, thecompany hasaretentionrate
of 96%of their officers. It has acareer development
programfor their scholars. Theyfrequentlyvisit their
scholarsinthedifferentmaritimeschoolsinthecoun-
try, makingthemfeel thattheyarepartof thecompany.
Trueenough, this researcher personally attests to the
fact that it is K-Line who is among the very few
companiesthat recruit their potential officersthrough
scholarshipprograms. Thismanner of trainingpoten-
tial officers was stressed by the company president,
Mrs.VirginiaLinesisduringtheinterview. Shefurther
mentionedthat thecompany alwayslooksforwardto
thedevelopmentof itsofficersandcrew, whichmeans
that theofficers arenot only trainedtobecompetent
for thepresent positionbut alsofor thenext position.
Inthiscompany, all theofficersandcrewhaveacareer
development program. If youarea2ndOfficer now,
youshouldtakecoursesrequiredfor aChief Officer,
We even advise 2nd officers to study the job of the
chief officerduringtheirbreaktimes,saidMrs. Line-
sis. Theseresearchers werehappy to notethat of the
six (6) scholars who have become captains in their
company, four (4) arefromthisuniversity.
At K-Line, the career path is strictly followed.
Opportunitiesaregiven, but it isreallyuptothecrew
to grabit. Someof thesecourses arecareer develop-
ment,emotional quotient,psychological testandanger
management.
At PhilippineTransmarine Carriers, the turn-over
rateis85%. Theylostsomeof their officerstopoach-
ersdespitethefact theyaregivingother benefitslike
healthandinsuranceplans. Aspart of theprogramon
social responsibility, PTChasdevelopedthePTCVil-
lages,ahousingdevelopmentprograminImus,Cavite.
Presently, there are 300 houses through PAG-IBIG
Fund, payablein20years. J ustlikeK-Line, PTClike-
wisehasacareerdevelopmentprogramforitsofficers
andcrew.
3.1.2 The practice of poaching
Ontheissueof poachingor prostitutionof seafarers,
majority(12of the14respondents)of theinterviewees
practice poaching. They usually assign an employee
to do thehiring at theSeafarers Center near Luneta
in Manila. According to a general operations man-
ager we have interviewed: If other companies are
doing that in order to attract the seafarers, they, too
are doing the same thing. Poaching is the name of
the game right now according to Mrs. Linesis. This
was also aptly mentionedby Surish(2007) that right
now, thereisawagewarinthePhilippines. Wagewars
areinevitablewhendemandoutstripssupply, butwage
wars do not buy loyalty. Onthecontrary, wagewars
encouragemercenary attitudeamongofficers, which
results in company hopping. These also discourage
professionalismandcareer development throughloy-
alty to a single employer. According to Mrs. Carla
Limcaoco, Vice-chairman of PhilippineTransmarine
Carriers, thewordprostitutesbeinglikenedtoseafar-
ers is true. It seems weareall scary andweareall
concerned becauseit removes professionalism. The
money according to her is so tempting. Its hard to
resist. If this practicecontinues andyounger genera-
tionwill usethisasworkethics, thenitisindeedscary
for theprofession.
3.1.3 The offers are too tempting to resist
Onthepartof theseafarer, theseresearcherswereable
tointerviewtwocaptainswhohavejust disembarked
their vessels. Theyareforcedtoaccept thegoodoffer
becausethey haveto bepractical. Thegoodcaptains
toldus that aseafarer is only as goodas his contract
lasts. What does hemeanby this? If somethinghap-
pens to the seaman while he is taking his vacation,
hewill not beableto claimanything fromhis latest
companybecausehiscontracthasalreadyterminated.
After four monthsof theterminationof thecontract, a
seamancannot avail of hismedical benefitsanymore,
unlesshesignsanewcontract.
On other programs the companies have for their
officersandcrew. ThePhilippineTransmarineCarri-
ers, not only has a career development programfor
its officers andcrew, but also has afamily andcrew
servicedepartment that focusesonthefamily. It con-
ducts monthly seminar on different topics especially
financial management for thewives of theseafarers.
Thisisalsopracticedat K-Line. AtWallemMaritime
Services, afamily center whichcoordinates withthe
familiesof theseafarersisoneof itsprograms. Thus,
thefamilyisalwayswelcometoentertainanyinquiries
regardingallotment, procedures andvacancies inthe
company. This company also considers health care
insurances, seniority bonus and re-joining bonus for
itsofficersandcrew.
4 FINDINGS
1 Most of themanningcompaniespracticepoaching
in order to lureofficers to theprofession. This is
thepresentnameof thegame. Demandhasdictated
thisgameduetotheshort supply of qualifiedand
competent officers.
2 Theprostitutionof theseafarers was also dictated
bytheshippingindustryespeciallytheshipowners
whodidnot invest for thetrainingof seafarersare
the ones who are now openly offering exorbitant
salariesnot withinthereachof someshipowners.
Withthispracticeprofessionalismisalreadylostin
theprofession.
3 Thecompaniesthat investedonthetrainingof the
seafarersaretheonesnowreapingthefruitsof their
680
investment. they havevery highretentionrates of
itsofficersandcrewbecausetheyhaveeffectively
inculcatedinthemindsof theseseafarersthevalue
of loyalty.
5 RECOMMENDATIONS
The following are the recommendation of the
researchers to the different shipping and manning
companies:
1 Designawell-definedcareerdevelopmentprogram
fortheofficersandcrew. Seetoitthatthecompany
takes care of the career path of each officer and
crew.
2 Provideaprogramfor thepromotionof thewelfare
of theseafarers familiessuchashousingprogram.
3 Assist thefamilies of theseafarers to beself suf-
ficient through skills training programs such as
entrepreneurship, etc.
REFERENCES
Chee How, H. Seafarers training and advisory committee,
wavelink: September 7, 2007.
Magsaysay, D. H. (crewpoachers spreading havoc, Lloyds
list: September 20, 2006).
Salinas, CarlosC. (Corporateresponsibility andobligations
to theseafarer, apaper deliveredat the8thAsia-Pacific
manningandtrainingconference,November1415,2007,
Manila: Philippines).
Suri, S. (A synopsisof current manningsituation, strategic
directions and emerging markets as a solution to wors-
ening officers shortage, a paper delivered at the 8th
Asia-pacificmanningandtrainingconference, November
Wang, M. (Shipownersandgoodcrew. buddgroup, ivory
coast: December 14, 2006).
681
15.6
Theeconomical emigrationaspect of East andCentral European
seafarers: Motivationfor employment inforeignfleet
V. Sen cila& I. Bartusevi cien e
Lithuanian Maritime Academy, Klaip eda, Lithuania
L. Rupien e
Klaip eda University, Klaip eda, Lithuania
G. Kalvaitien e
Vytautas Magnus University, Kaunas, Lithuania
ABSTRACT: East andCentral Europecountriespracticallyexperienceadvantagesanddisadvantagesof sea-
farers employmentinforeignshippingcompanies. Thereisaneedtoinvestigatethisphenomenonintheaspect
of economical emigration. Shortageof marineofficersworldwideexaggeratestheshortageof seafarersinthe
mentionedregionbecauseof theeconomical emigrationof national seafarers to foreignfleet, whichprovides
morefavorableconditions. Thesefactsencouragedinvestigatingseveral questionsusingcasestudy methodin
onecountry (Lithuania), whichsocial-economic conditions aresimilar to other countries of theregion: What
shippingcompanies(national or foreign) marineofficersgiveprioritytobeemployedto?Whatisthemotivation
of suchadecision?What personal characteristicsmostly determinethisdecision?Thestudy resultsshowvery
strongseafarers attitudetowardseconomical emigration, reveal thereasonsof thisphenomenonandrelations
withthepersonal characteristicsof marineofficers. Keywords: economical emigration, seafarers, motivation.
1 INTRODUCTION
Thedevelopment of global economyiscloselylinked
to the development of maritime transport. Maritime
transportisvitallyimportantforEuropeanUnion(EU)
as well becausemorethan90percent of EU foreign
tradeand40percentof tradeinsideEUisperformedby
seatransport (Green Paper, 2006). Thedevelopment
of every business depends on working professionals
availableinlabor market: inmaritimetransport on
seafarers, thenumber of marineofficersworldwideis
not sufficient 466thousands(BIMCO, 2005).
Shippingisintheforefront of global employment,
becauseshippingcompaniescanrecruitseafarersfrom
wherever the best value for money is available.
(Short, 2004) Incontrast tonational seafarers dom-
inatedinthepast theemergenceof global seafarers
could be noticed in seafarers labor market recently
(Wu& Sampson, 2005).
What isthestatusof seafarer employedinthefor-
eign company? He cannot be treated as being on a
businesstrip; heusuallyisemployedbyforeigncom-
panytemporarilyandcomesback tohiscountryafter
contract is finished. This status is called economi-
cal emigration (Ekonomin es. . . , 2007). Economical
migration is determined by economical factors: dif-
ferences in wage and welfare in country of origin
andforeigncountry. It iswidely recognizedthat eco-
nomical migrationwiththeemployment purpose(not
living) isbeneficial for theworldeconomy, especially
for the developing countries (World Economic. . . ,
2004), because of the reduced unemployment and
demandforsocial supportandincreasedcash-flowand
experience of returned people in country of origin.
Short-termemigration is less harmful for the coun-
tryof originthanlong-term. (Lietuvi uemigracija. . . ,
2005), althoughit hasnegativeaspectsaswell: when
morepeoplearegoingabroadthancomingtothecoun-
try; when investments to people education are lost;
demographicsituationbecomesworse,becausemostly
young people emigrate; financing of social wel-
fare declines, because tax payers went abroad, etc.
(Lietuvi uemigracija. . . , 2005), families suffer, chil-
drenexperiencepsychological, social andeducational
difficulties (DeSilva, 2003, naiiehe, Pynmehe,
2008;Malinauskas,2006;Nosseir,2003;Quah,2003).
What aretheconsequencesof seafarers economi-
cal emigration?Formerresearchesprovedeconomical
benefit of seafarers economical emigrationfor coun-
tryof origin: e.g., Latvianseafarer workingif foreign
company gets salary above Latvian average and in
45yearsreturnshiseducational investments(Gulans,
1999); Lithuanian seafarers employed in theforeign
fleet createabout 60mil. Euro addedvalueper year
while consuming and investing in Lithuania (Policy
ResearchCorporation, 2004).
Economical emigration of seafarers is beneficial
for thecountry-recipient; it partly helps to solvethe
683
problemof seafarers shortage. Thereisashortageof
seafarersworldwideespeciallyineconomicallydevel-
oped countries (BIMCO, 2005); the shortage will
increase in the nearest future because of high com-
petitioninmaritimesector shippingcompanies are
reducing costs and salaries accordingly (Yamamoto,
2000; Lopez, 1989), it can be mentioned, that sea-
farers salaries for West Europeanpeoplearealready
unattractivenowadays(Greenpaper, 2006). Thenum-
ber of qualifiedseafarersandcadetsisreducing, this
negatively affects maritimesector (Brownrigg et al.,
2001; Gardner andPettit, 1996, 1999; Leggate, 2004;
Pettit et al., 2004; SelkouandRoe, 2002).
Meanwhile the salary offered by West European
shippingcompaniesisattractiveforseafarersfromless
developed countries, such as East and Central Euro-
peanseafarers.Itispredictedthatinfuturethemajority
of marineofficers worldwidewill beemployedfrom
thelessdevelopedcountries(Glen, 2008).
TheEast and Central European national shipping
companies will face the dual problem: on one hand
thereisashortageof marineofficersoverall andonthe
over handsomemarineofficers will beemployedby
foreignshippingcompaniesbecauseof better salaries
andwelfare.Thatisathreatforexistenceandcompeti-
tivenessof themaritimeindustryof mentionedregion.
2 THE RESEARCHPROBLEM
Inorder to understandbetter thementionedproblem
and find practical solutions the seafarers migra-
tionphenomenonneedsthoroughinvestigation. Some
aspect of theproblemalready havebeenanalyzedin
China: recently thetendency towards employment in
foreign companies in Chinais growing(Wu, 2004b;
Wu, 2003); onethirdof Chineseseafarersprefer tobe
employedbyforeigncompanies, especially Western;
30 percent do not have any preferences, the attrac-
tive salary and welfare onboard the ship are the
most important factors determining selection of the
company (Wu, 2005). Thediscrimination in salaries
comparing to other nationalities and communication
problemswerementionedasnegativefactorsof Chi-
neseseafarersemploymentinforeigncompanies(Wu,
2005).
Unfortunately, the researches about attitude of
East andCentral Europeanseafarerstowardsemploy-
ment inforeigncompanies werenot found. This fact
causedinvestigatingseveral questionsusingcasestudy
methodinonecountry(Lithuania)in2008:Whatship-
pingcompanies (national or foreign) marineofficers
giveprioritytobeemployedto?Whatarethereasonsof
suchadecision?Whatpersonal characteristicsmostly
determinethisdecision?
3 THE RESEARCHMETHODOLOGY
3.1 The sample size
Lithuanian marine officers were under investiga-
tion. The sample selection was based on the notion
that seafarer is a person holding seafarers book
(Lietuvos. . . , 2006). Intheperiodof 20032007there
were10982suchapersons inLithuania(20032007
metais. . . , 2008): 7337 of them had Certificate of
Competence, and2927weremarineofficers (1552
navigators, 1375 engineers). It wasdecidedtomake
arandomsamplingandexamineall themarineoffi-
cersattendingqualificationupgradingcoursesatLMA
(LithuanianMaritimeAcademy) andvisitingshipping
andcrewingcompanies inLithuaniainthreemonths
period. Finally, therepresentative(inviewof ageand
qualifications, with5percent bias) sampleconsisting
of 355marineofficerswasformed(42percentof them
workif Lithuaniancompanies; 58 inforeign).
3.2 The research instrument
The research data were collected in written form
using originally designed questionnaire. Two major
components matching the research aims can be dis-
tinguished in the questionnaire structure: in order
to get data related to the first aimof the research,
the close question with dichotomous answers (what
shipping companies (national or foreign) theperson
givepriority tobeemployedto?) andopenquestions
about advantages and disadvantages of employment
in foreign company were presented; in order to get
data related to the second aim several questions
hypothetically treatedas personal characteristics and
influencingfactorsof theselectionof theforeigncom-
panyfor employmentwerepresented(marineofficers
wereaskedabouttheir qualification, age, yearsatsea,
salaryssatisfaction, countryof employmentcompany,
managementlevel,abouttheiropinionontheseafarers
professionperspectivesinLithuaniaandworldwide).
Using factor analysis method 47 scales of motives
of selectionof seafarers professionweregroupedas
personal characteristics influencing selection of the
companytobeemployedto.
3.3 The data analysis
Theobtainedresearchdatawereanalyzedusingquali-
tativeandquantitativemethods. Qualitativedatawere
analyzedusingstatistical analysismethods(SPSSfor
Windows): factor analysis of seafarers profession
selectionmotives; independent variablesdiscriminant
analysis of respondents attitudetowards preferences
in selection of the company; Chi-square test for
evaluating differences among groups; Pearsons cor-
relationcoefficient for relations strengthevaluation,
descriptivestatistics (frequencies). Qualitative(open
questions answers) datawereanalyzedusingcontent
analysismethod.
4 THE RESEARCHRESULTS
4.1 What shipping companies (national or foreign)
marine officers give priority to be employed to?
and why?
Despite the fact that 40 percent of respondents
mentioned that they never mind in which countrys
684
Figure1. Thereasonsof prioritizingemploymentinforeign
companiesrevealedbycontent analysismethod.
company they prefer to work, answers the other
question showed that the majority (68 percent)
would choose the foreign company. Students opin-
iontowardsemploymentinforeigncompaniesiseven
stronger: according to similar research performed in
2008 with students (who are potential seafarers) 82
percentof studentsof marinespecialtieshavestronger
will tobeemployedinforeigncompany.
Investigation of thereasons for selecting employ-
mentinforeignornational companiesbyusingcontent
analysis method allowed revealing four categories
(Fig. 1): salary, work and living conditions, physio-
logical environmentandcareer perspectives. Asitcan
beseeninfigure1, notonlyeconomical factorsdeter-
mineattractivenessof foreigncompaniesforseafarers.
Workingandlivingconditions onboardforeignships
aremoreattractive: newer, moretechnicallyadvanced
and safer ships; modern and better ship equipment;
shorter timeat sea; moreconvenient work schedule;
better nourishment.
Better psychological environment inforeigncom-
panies is also mentionedby seafarers. It is described
asmorerespectful communicationwithseafarers, bet-
ter disciplineandorderlinessonboardtheships, more
honest andbetter interrelationships amongseafarers,
better workingandlivingenvironment.
Theopinionabout better career perspectivesinthe
foreigncompaniesnotedaswell, suchasmorepossi-
bilities: toselect appropriateshippingcompanyinthe
international market; to obtain higher rank faster; to
learnEnglishlanguage; toupgradequalification.
4.2 What personal seafarers characteristics mostly
determine the decision to be employed in
foreign company?
Using discriminant analysis of marineofficers data
the canonic function was developed, this function
describes 100 percent of variable dispersion. Wilks
Lambda statistics 0.407 and p=0.000 show that
means of canonic functionvalues indifferent groups
statistically significantly differ, that indicates possi-
bilityfordiscrimination.Analyzingthecoefficientsof
canonic functionandstructural coefficients (table1)
canbenoticedthatonlyonevariablehavethebestdis-
criminantfeatureandinfluencesmagnitudeof canonic
function: themarineofficers employment company.
Thestrongcorrelationshows that majority of seafar-
ers working in Lithuanian fleet prioritizeLithuanian
shippingcompaniesandseafarersworkinginforeign
fleet prioritizeforeignshippingcompanies.
Indication of discriminant power is rather low
(table1), butconclusionsaboutmarineofficerstendto
chooseforeigncompaniescanbeformulated: theyare
employedbyforeigncompaniesnow; theyaremarine
engineers; theyaresatisfiedbytheirsalaries; theyhave
chosenseafarersprofessionpurposefully.
5 DISCUSSIONANDCONCLUSIONS
Theresearchrevealedthattheattitudetowardsemploy-
ment in foreign company prevails among marine
officers(68percentof respondentsgiveprioritytofor-
eign company). This indicator exceeds thecountrys
average, as it is pointed in Strategy of regulation of
economical emigrationinLithuania(Ekonomin es. . . ,
2007), thenumber of Lithuanianswillingtoemigrate
becauseof economical reasonsdeclines: in2001there
were63 percent of respondents wanted to emigrate,
in 2005 16,2 percent. Additionally it was discov-
eredthatstudentscomparingtoworkingseafarershave
strongerdesiretobeemployedbyforeigncompany(82
percent). Thisfactmatchesthegeneral Lithuaniansit-
uation:youngerpeoplecomparingtoolderonestendto
goabroadfor makingmoney(Ekonomin es. . . , 2007).
Theresearchrevealedthereasonsof prioritizingfor-
eigncompanies. Themainreasonof beingemployed
inforeigncompanylikewiseinChina(Wu, 2005) was
mentioned bigger salary. In economically developed
countriesseafarersprofessionlosesitsattractiveness
becauseof thespecific natureof seafarers work and
isolation(StudyontheSupply. . . , 2005). Meanwhile
forthepeoplefromlesseconomicallydevelopedcoun-
tries the bigger salarys issue is important (Lopez,
1989). That explains the importance of economical
factor for LithuanianseafarersselectingEmployment
Company.
However rising living standards reduces peoples
will towork inforeigncompanies thisisillustrated
by Chinaexample: it is difficult to hireseafarers in
Chinasshoreregions, whereeconomical boomcanbe
noticed(Short, 2004), thenumber of peoplewillingto
685
Table1. Theresultsof discriminant andcorrelationanalysisof seafarers data.
Coefficient
Discrimination Wilks of canonic Structural
variables Lambda F p r function coefficient
Personal characteristics (I)
Management level 1.000 .051 .822 .027 .105 .014
(management/operational)
Qualification(navigator/engineer) .943 10.062 .002 .210 .388 .204
Age .986 2.357 .127 .184 .235 .099
Yearsat sea .991 1.489 .224 .154 .004 .078
Present employment company .498 168.638 .000 .688 .991 .833
Salarysatisfaction .977 3.998 .047 .145 .040 .128
Opinionabout seafarersprofession .984 2.685 .105 .033 .269 .105
perspectivesinLithuania
Opinionabout seafarersprofession 1.000 .020 .886 .096 .109 .009
perspectivesworldwide
Personal characteristics (II) motives of choosing profession
Emotional attractiveness .994 .980 .324 .053 .090 .064
Coincidence .974 4.384 .038 .137 .002 .134
Economical benefit .996 .692 .407 .086 .157 .053
Newopportunities .983 2.819 .095 .145 .123 .108
Prestige .988 2.045 .155 .176 .245 .092
Privileges .999 .101 .751 .013 .114 .020
Influenceof intimates .999 .195 .659 .027 .252 .028
studymaritimeprofessionsisdecliningbecauseof ris-
inglivingstandards.Thiscanbeillustratedalsobythe
Lithuanianexample: thecountryhasbeendeveloping
rapidlylast decade, thenumber of studentsof marine
specialties was not big: in2005therewereonly 550
peoplestudyingmarinespecialties, althoughLithua-
nianMETinstitutions(LMAandKUMI)werecapable
to provide education for 1250 students (Sen cila &
Bartusevi cien e, 2005). Inadditionthereisnoguaran-
teethatgraduateswill gotosea, accordingtoresearch
in2006only65percent of studentsaregoingtowork
asseafarers, 21- havenot decided, 14 decidednoto
gotosea(Sen cilaet al., 2006a).
Hypothetically can be noticed that economical
development of East andCentral Europewill reduce
attractiveness of seafarers profession because of
salary andless youngpeoplewill enter MET institu-
tions. However if thesalariesof seafarersof East and
Central Europeandtraditional maritimecountrieswill
besimilar will theseafarerschoosenational shipping
companies?If thereasonfor selectionof foreigncom-
pany was only economical wecouldpredict positive
answer.
Seafarers responseshighlighttheother advantages
of employmentinforeigncompanies, e.g. significance
of psychological microclimate. Naturally psycholog-
ical microclimate is important for seafarers being
physicallyandpsychologicallyisolatedfromtheworld
(Lamvik, 2002). It was mentioned in the researches
that seafarers working in foreign companies experi-
ence psychological difficulties (Dyer-Smith, 1993);
sincethecrewsarebecomingmultinational, multicul-
tural and multilingual (Squire, 2006), the feeling of
isolationincreasesbecauseof differencesinseafarers
languages, culture, education(Knudsen, 2008). Prob-
ably these psychological difficulties are lesser com-
paringtodifficultiesinnational shippingcompanies,
becausetherespondentsmentionedthatpsychological
microclimateisbetter inforeigncompanies.
The importance of working and living conditions
was emphasizedby Lithuanianresearchparticipants:
foreign companies are prioritized because of better
workingandlivingconditions.Itcanbenotedthatgen-
erally seafarers working and living conditions have
been changed significantly. For example, Kahveci
(2007a) investigationsrevealedseveral recentchanges
in seafarers life at sea: difficulties for seafarers to
comeashore(becauseof ISPSCodeimplementation);
lesstimespent ashore(becauseof lesstimeinports);
diminished usage of the facilities ashore (libraries,
sport halls, excursions, cultural events), less social
contacts with colleagues (smaller crews). Kahveci
(2007b) hasanalyzed4000responsesanddetermined
that64percentof respondentsduringlast8weekswas
not ashore, 32percent wereashorefor 2hours; the
majoritycouldreachonlythenearest phone-box. The
possibilitiesof relaxationashorereducedandaccord-
ingly the requirements to have alternatives aboard
increased. In order to attract young people and sus-
tainqualifiedseafarers at sea, foreigncompanies are
trying to improve working and living conditions on
board, theyestablishcinemas, sport facilities, saunas,
libraries, etc. onships(Sampson, 2008).
Theemployment inforeigncompaniesfor Lithua-
nianseafarersismoreattractivebecauseof thecareer
possibilities. This fact is also proved by Swedish
research(Study ontheSupply. . . , 2005): becauseof
theshortageof marineofficersthecompaniesstarted
686
tohireyoungerandlessexperiencedseafarersandhelp
proposecareer mappingfor them.
Theresearch revealed thepersonal characteristics
of seafarerstendtobeemployedbyforeigncompany:
seafarersarealreadyemployedbyforeigncompanies;
they aremarineengineers; they aresatisfiedby their
salaries; they have chosen seafarers profession pur-
posefully. That means that seafarers will not change
foreign company to Lithuanian one. However it was
discoveredthat seafarersworkinginLithuaniancom-
panies prioritize to work in Lithuanian companies
andwill not changeLithuaniancompany for foreign
one. That means that theshortageof marineofficers
in Lithuania will not increase because of crossover
of working seafarers fromLithuanian companies to
foreignonesandviseversa.
Itcanbementionthatthenumberof workingmarine
officersinLithuaniawill bereducedinnearestfuture:
they are achieving pension age, some of them are
changing work profile. According to Sen cila et al.
(2006b) research, onlyonethirdof workingseafarers
areyoungerthan40years, twothirdsareolderandwill
not gotoseain1015years. So, thenumber of work-
ingplacesinLithuanianfleetisincreasing.Thatswhy
theopinionof potential seafarers(studentsof marine
specialties) towards employment in foreign compa-
nies is vitally important, because they will replace
experiencedmarineofficers innear future. Thesim-
ilar research with students revealed that majority of
studentstendstoselectforeigncompaniesforemploy-
ment; it will negatively affect thecompetitiveness of
Lithuanianshippingcompaniesinfuture.
It is clear that investigations in several East and
Central counties would allow making more reliable
conclusions about marine officers attitude towards
economic emigration; however case study analysis
performed in onecountry (Lithuania), which social-
economic conditionsaresimilar toother countriesof
theregion, is significant, becauseit reveals essential
inferencesabout theimportant issuefor entireregion.
REFERENCES
BIMCO/ISF. 2005. BIMCO/ISF2005ManpowerUpdate: the
WorldwideDemandof andSupplyfor Seafarers. Institute
for Employment Research, Universityof Warwick.
Brownrigg, M., Dawe, G., Mann, M., andWeston, P. 2001.
Developments in UK Shipping: theTonnageTax. Mar-
itimePolicyandManagement 28(3): 213223.
De Silva, I. 2003. Demographic and Social Trends Affect-
ing Families in the South and Central Asian Region.
Major Trends Affecting Families: A Background Doc-
ument. Report for United Nations, Department of Eco-
nomic andSocial Affairs, Divisionfor Social Policy and
Development, ProgramontheFamily. http://www.un.org/
esa/socdev/family/Publications/mtdesilva.pdf. [Retrieved
11092008].
Dyer-Smith, M.B.A. 1992. Shipboard Organisation the
Choices for International Shipping. J ournal of Naviga-
tion45(3): 414424.
Ekonomin es migracijos reguliavimo strategija. 2007. LR
vyriausyb es20070425nutarimasNr. 416.
Gardner, B. andPettit, S. 1996. UK Requirement for People
withExperienceof WorkingatSea.TheCardiff University
Study. http://www.britishshipping.org/british/index.htm.
[Retrieved19092008].
Gardner, B., Pettit, S. 1999.TheLand-BasedJ obsMarketfor
Seafarers; consequencesof market imbalanceandpolicy
implications. MarinePolicy, 23(2): 161175.
Glen., D. 2008. What do weknowabout thelabour market
for seafarers?A viewfromtheUK. MarinePolicy32(6):
845855.
GreenPaper:TowardsafutureMaritimePolicyfortheUnion;
A Europeanvisionfor theoceans andSeas. 2006. Brus-
sels: Commission of the European communities. http://
ec.europa.eu/maritimeaffairs/pdf/com_2006_0275_en_
part2.pdf. [Retrieved20112007].
Gulans, P. 1999. Kuguvirsniekusagatavoanasekonomiska
efektivitate. Riga: LatvijasJ urasakademija.
Kahveci, E. 2007a. Portbasedwelfareservicesfor seafarers.
SIRC Symposium, Cardiff University. http://www.sirc.
cf.ac.uk/pdf/Symposium%20 Proceedings%202007.pdf.
Kahveci, E. 2007b. Reviewingseafarers welfareat seaand
ashore. TheSea 186: 4.
Knudsen F. 2008. Paperwork at the service of safety?
Workers reluctanceagainst writtenprocedures exempli-
fied by the concept of seamanship. Safety Science,
InPress.
Lamvik, G.M. 2002. TheFilipinoSeafarer A Lifebetween
sacrificeandshopping.Trondheim:NorwegianUniversity
of ScienceandTechnology.
Leggate, H. 2004. The Future Shortage of Seafarers: Will
it becomeaReality? MaritimePolicy and Management
31(1): 113.
Lietuvi u emigracija: problema ir galimi sprendimo b udai
2005.Vilnius: Pilietin esvisuomen esinstitutas, LRSeimo
informacin es analiz es skyrius. www.lgitic.lt. [Retrieved
16092008].
LietuvosRespublikosdarbokodeksas. 2002. LRvyriausyb es
20020604nutarimasNr. IX-926.
Lopez, N. 1989. Seafarers career expectations for thenext
decade: an academics perspective. International Man-
ningandTrainingConferenceProceedings(pp. 175196).
Singapore: Lloyds of LondonPress(Far East)Ltd.
Malinauskas, G. 2006. Researching the Impact of Partial
Labour Migration on a Child: Failure of Attachment
Theory. Social Work& Society4(2).
Nosseir, N. 2003. Family in the New Millennium: Major
TrendsAffectingFamiliesinNorthAfrica. Major Trends
AffectingFamilies: A BackgroundDocument. Report for
United Nations, Department of Economic and Social
Affairs, Division for Social Policy and Development,
Programon the Family, pp. 1415. http://www.un.org/
esa/socdev/family/Publications/mtnosseir.pdf. [Retrieved
10092008].
Pettit, S. J., Gardner, B. M., Marlow, P. B., Naim, M. M.,
Nair, R. 2004. Ex-Seafarers Shore Based Employment:
TheCurrent UK Situation. MarinePolicy29: 521531.
PolicyResearchCorporation. 2004. Developmentandimple-
mentation of a new shipping policy in Lithuania. Final
report. PolicyResearchCorporation.
Selkou, E., Roe, M. 2002. UK Tonnage Tax: Subsidy or
Special Case? MaritimePolicy andManagement 29(4):
393404.
Sampson, H. 2008. Speakingupfor better on-boardwelfare.
TheSea 191: 4.
Sen cila,V., Bartusevi cien e, I. 2005. J urinink urengimoLietu-
voje ir Europos Sjungoje derinimas ir perspektyvos.
Tiltai 3(32): 6576.
687
Sen cila, V., Bartusevi cien e, I., Kalvaitien e, G. 2006a.
Lietuvos j urinink u sud eties kiekybinis ir kokybinis ver-
tinimas. J urair aplinka1: 212.
Sen cila, V., Bartusevi cien e, I., Kalvaitien e, G. 2006b.
The evaluation of the factors motivating young
people to choose the seafarers profession in
Lithuania. IMLA 14th Proceedings, 0306 October
2006. Marseille: ENMM. http://www.maritimelecturers.
org/forum/uploads/Ponnert/files/2007-12-11_085609_27-
sencila_bartuseviciene_kalvaitiene_OK.pdf. [Retrieved
18092008].
Short, R. 2004. Global trends, ChallengesandOpportunities.
Paper presented at AMETIAP Seminar MET: What is
wrong?What todo?.
20032007 metais iduot u j urini u dokument u statis-
tika. 2008. LSLA. http://www.msa.lt/index.php/lt/41803/.
Squire, D. 2006. The Human Element in shipping.
Alert! The International Maritime Human Element
Bulletin. London: The Nautical Institute. http://www.
he-alert.org/documents/newsletter/centrespreads/centre
spread_4.pdf. [Retrieved19092008].
StudyontheSupplyandDemandof EUOfficers/Ratingsand
ManningLevels:Projectreport2.3.2005.WorldMaritime
University. Malmo: WorldMaritimeUniversity.
Quah, S. 2003. Major Trends Affecting Families in East
and Southeast Asia. Major Trends Affecting Families:
A Background Document, Report for United Nations,
Departmentof EconomicandSocial Affairs, Divisionfor
Social Policy and Development, Programon theFamily
(March2003),p.22.http://www.un.org/esa/socdev/family/
Publications/mtquah.pdf. [Retrieved11092008].
Yamamoto, H. 2000. Onthereasonandsignificanceof the
coreconcept of IAMU. IAMU J ournal 1(2): 3239.
World Economic and Social Survey. 2004. International
MigrationTheUnitedNations Department of Economic
and Social Affairs. http://www.un.org/esa/policy/wess/
wess2004files/part2web/part2web.pdf. [Retrieved 13 09
2008].
Wu, B. 2003. Chineseseafarersandtheglobal labourmarket.
Seaways: October: 2324.
Wu, B. 2004a. Participationintheglobal labor market: expe-
rienceandresponsesof ChineseseafarersMaritimePolicy
andManagement, 31(1): 6972.
Wu, B. 2004b. Transgration of Chineseseafarers in eco-
nomic transition: an institutional perspective on labour
mobility. School of Social Sciences Working Paper
Series64.
Wu, B. 2005. Chinese seafarers in transition: trends and
evidence. SIRC Symposium, Cardiff University. http://
www.sirc.cf.ac.uk/pdf/Symposium%20Proceedings%20
2005.pdf . [Retrieved19092008].
Wu, B., Sampson, H. 2005. Reconsideringthecargo sector
andseafarer labor market: a21stcenturyprofileof global
seafarers. OceanYearbook19: 357380.
naiiehe, I.I., Pynmehe, .A. 2008. Bannhne
tpyoboi mnipannn ponteaei ha
connaan:anni nopoctkob. Connoaoinueckne
nccaeobahnn, 1, p. 6975.
688
15.7
Theroleof themaritimeinstitutionsontheshortageof officers
M. Magramo, L. Bernas, J. Calambuhay& G. Eler
ABSTRACT: Thisstudyaimedtodeterminetheroleof themaritimeinstitutionsinthemidst of theshortage
of officers in theworld manning industry. Thequality of instruction and thecompetency of theprofessional
instructorsareseenasanimportant factor inproducingqualitygraduateswhowill eventuallybecomeofficers
tomanmodernshipsof today.
1 INTRODUCTION
Several studiesindicatethatthereiscurrentlyaworld-
wideshortageof officers, correspondingto4percent
of the total officers (16,000) and the prediction is
that by2012, theshortfall will riseto46,000(Kumar,
2007).
The shortfall of seafarers has a negative impacts
ontheshippingindustryasawhole; whereasboththe
on-board and on-shore maritime related work posts
facemanningproblemsthat maydirectlythreatenthe
existence of shipping activity and the sustenance of
maritimeknow-how(Chaterjee, inKumar, 2007).
J apanese shipping companies plan to hire 10,000
seafarersfromthePhilippinesbetween2008and2010.
(http://www.gma.news.tv/). This was stated by the
president of thePhilippine-J apanManningConsulta-
tive Council, Mr. Eduardo Manese. He further said
that J apanwill increaseitsmerchant fleet of 2,223as
of 2006 to 3,000 by theend of 2010, and further to
4,000by2015.
ThesameopinionwassharedbyAmbassador Stale
TorsteinRisaof Norway duringthetwo-day Interna-
tional MaritimeConferencehostedby J BLFMU last
J anuary29, 2008. Heencouragedmaritimeschoolsin
thecountry togiveimportancetoquality-basedmar-
itimeeducationandtrainingtomeetthedemandsof the
global shippingindustry. Risanotedthat most of the
worldsglobal tradeisbyseaandthatglobalizationhas
entirelychangedtheworldstradingpatternswithnew
emerging markets requiring more transport services
thanever before. Asidefromtheexpandingoff shore
explorationof petroleumresourcesthecruiseindustry
alsocontinuestogrow.Thisentailsagrowingdemand
for maritimeworkers. Hefurther stressed: I believe
schools should even seek to follow-up and evaluate
theirgraduates employmentexperiences.Theyshould
keeptrackof theirgraduatesandtogetfeedbacksafter
spending [SIC] some time at sea and it would be a
valuableinputindeterminingif thelevel of trainingis
adequate, andevenoffer adviceonissuessuchasjob
satisfaction.
Indeed the maritime schools today play a very
important role in the production of quality of grad-
uates, thusthisresearch.
2 THE PROBLEM
Thisstudyaimedtodeterminetheroleof themaritime
schools inhelpingto solvetheproblemof seafarers
shortage.
3 METHOD
Thisstudy utilizedthedescriptive-qualitativemethod
of research. It employed a historical narrative
approach, usinganin-depthinterviewof thekeyinfor-
mants.Theparticipantsinthisstudywerethemanagers
of themanningcompanies andthevarious represen-
tativesof theownersof theshippingcompaniesinthe
Philippines.
The schools are the producers of seafarers. These
are the words coming from the lady president of
K-LineMaritimeTrainingCenter, Mrs.VirginiaLine-
sis. She also stated further: The competencies of
thenewgraduates arealways questioned. Oneof the
issuesisthecompetencyof theteachers. Theseteach-
ershavenotrecentlydisembarkedfromthevessel. So,
their knowledgeand skills as far as new vessels are
concerned are not adequate to teach these students.
Teachersarenot updated. Thecompetencyof thesup-
ply at theendof thethree(3) academic years of the
students is always questioned by the industry. For a
company likeK-Linewithatrainingcenter, weaug-
mentwhatever inadequacyintheskillsof thestudents
bygivingthemthetrainingnecessarilyrequiredinthe
typeof vessel theywill bejoining. Asfar asthiscom-
pany is concerned, we dont assign any anybody on
689
boardunlessheistrainedandreadyforthejobbecause
theconfidenceof theseafarersevenif heisjustacadet
is important when he goes on board. He should be
able to know the job required of him. And to those
with no training center, that would be a very great
factor.
She added: The problembefore was always the
engine shortage on the engine department. At this
point, thisisgraduallyaddressedbytheschool. There
mustbeabalance. Thereasonfor thisisthatthereisa
needof abridgingprogram, inorder toaugment the
shortageof thesupplyintheenginedepartment espe-
ciallytheengineofficers. K-Lineisthefirstcompany
toinitiateorintroducethebridgingprogram(mechan-
ical engineeringtomarineengineering) because[SIC]
wearenowinthethirdyear. In2005, wehadthefirst
batchof 18marineofficers.
Beforeputtingupthetrainingcenter, Global Train-
ingSystems, Inc., of whichheispresident, Capt. J ose
Martinez, aresearchmaster mariner, hadthistosay:
Theinstructorsarethesoleinstrumentsontheedu-
cationof thestudents. Itisfromthemthatthestudents
hear everyday. In [SIC] everything that they do they
must doit well andlearntoloveit. If they lovewhat
theyaredoing, everybodytheysharedwith[SIC] will
also love what you are doing. They have to inspire
thestudents; always givetheir best in teaching. The
English language is very important because this is
neededintheprofession. Evenwhenstudentsaregood
indoingthejobitisnecessarytoexplainthewhat, how
and why it needs to be done. If you cannot express
yourself inEnglish, thenit might leadtoseriouscon-
sequences. But if youareconversant inthelanguage
thenyouhaveanedge.
Mrs. BrendaPanganibanhadthistosay: I believe
that your school has some qualifying examination.
I think that your school should also administer an
aptitude test for the marine profession so that you
will beabletodeterminewhoamongthecurrent stu-
dents arefit to continuein thecourse. Maybeit can
bedoneafter oneyear, after taking ageneral course
just likein thenursing or medical profession. [SIC]
The minds of the students in the higher level now
whopassedtheaptitudetest must beconditionedthat
they are educated and trained to become officers.
[SIC] They should be guided in the way they talk;
act, andinteract withpeople. Thecharacter, theatti-
tude and the whole personality must be developed.
In school it must be emphasized that to become an
officer you maintain humility regardless of how far
you have gone or become. It is also important to
developthespirituality of thestudentsbecausewhen
yourspiritisstrong, yourmindandbodywill bestrong
aswell.
Mr. EricsonMarquez, Presidentof PilipinasCrown
Maritimesaid: Thesourceof knowledgewill bethe
schools. But if youcontinueto produceless andless
competent graduates, then 20% are only qualified.
Then, walatayongpupuntahantalaga (wearegoing
nowhere). What is our response? Last year, we did
anassessment (MSAP-MaritimeSchoolsAssessment
Program). Weknowwhichschools canproducehow
much. We know some school cannot even produce
a single applicant to pass our standard. Our stan-
dard is not very high. We use criterion reference in
establishing the standard. Last year we had a pilot
test on this activity. This [SIC] February1 and 2, we
expect that CHED will issueamemorandumfor all
theschoolstoparticipate. Last year J BLFMU didnot
participateforyouhadanactivityonthatday.[SIC]We
hopethisyear youwill participate, not that wedoubt
thequality of your studentsbut weareusingthebet-
ter schools as thebenchmark for other schools. Last
timeweusedMAAPasourbenchmark, MAAPpartic-
ipated. [SIC]Theninety-four studentsof MAAPwere
all ontop, only1or 2werenotinthetop100.Youcan
imaginehowmanypercent it isasagainst 56scholars
whoparticipated.
He also narrated: Last year, we did not promise
any incentivefor thosewho performedwell, but this
year wewill. Wehavealready obtained200scholar-
ships fromOWWA at Php 30,000 each scholar. So,
its [SIC] 30,000 each for 100 deck cadets and 100
enginecadets. Thegrant will begiven on their third
year. Thismoney will not bepaidtothem. They can-
not beagranteeif theyarenot arelativeof aseaman
or they havecontributedto thefund. Our agreement
istoget the200scholarsandwill [SIC] pay thecon-
tribution. Later, the OWWA will refund us. This is
open to everybody except for MAAP, PMMA and
NSA cadets.ThisPhp30,000grantwill beaddedwith
incentivesbecausewewereabletoconvinceJ apanese
shipowners. Wearetellingtheschools, onthebasis
of the assessment as endorsed by the Commission
on Higher Education (CHED); they can prepare a
programtopreparethemasratingsinsteadof anoffi-
cer. They must betaught cooking, shippainting, ship
maintenanceandweldingandmakethemthebestrat-
ings that we can produce because we need ratings.
[SIC]
HealsosaidWearenotcriticizingtheschools; the
problemisnotonlyinthecollegiatelevel.Itstartsfrom
theelementaryschoolsandhighschools. If somebody
fromhighschool cannot addfractions, theremust be
somethingwrong. But someof theseschoolswill still
accept themas freshmen in college. Now, how can
theyrunshipsif theydontknowhowtoaddfractions
or solve for the volume of an object? This is what
wearepushing, but certainly someschools may not
likeit. Thisiswhat ishappeningandeverybodymust
wakeup. Wearetryingtounifyour effortsinthefour
organizations in the manning and crewing industry.
Maybe its now time that the maritime schools join
[SIC] handsinsolvingtheproblemof thedeficiencies
of thegraduatesinorder tohelpsolvetheproblemon
seafarer shortage.
Mrs. Carla S. Limcaoco, the vice-chairman of
PhilippineTransmarineCarriershadthistosaytothe
maritimeschools: Look at thecurriculum. Look at
theissueof its relevancein todays world. Thereare
certainsubjects that arenon-negotiablethat students
havetostudy. But aretheyrelevant?
690
4 FINDINGS
1 There are schools which produce graduates that
do not necessarily meet the requirements of the
industry. Hence, thereisaneedtoimproveonthe
qualityof instructionespeciallyontheprofessional
subjects. Most of the professional instructors are
not updatedonthelatest technology onboardand
assuch, theinstructors deliveryisshort-changed.
2 Thereareaspects of thecurriculumwhicharenot
relevant tothepresent needs of theindustry espe-
cially with thefast changingphaseof technology
development.
3 There are youngsters today who prefer other
courses that are equally financially rewarding as
seafaring.
4 theschool shouldmotivatethestudentstobecome
officersnot just becontentedasratings.
5 RECOMMENDATIONS
1 The schools should intensify the supervision of
instructionamongtheprofessional instructors.
2 Theschoolsneedtoreviewtheir curriculumespe-
cially its relevance to the current needs of the
industry.
3 Theschoolsshouldbemoreselectivewiththenew
entrantsinthecourseor program.
4 Anaptitudetestmustbeimplementedtothesecond
year level todetermineif thestudentsarefittedto
beseafarers.
5 A continuing evaluation program should be ini-
tiated among the students to ensure that quality
learningisachieved.
REFERENCES
Aldanese, VicenteF. TheImpact of increasing challenges
withinmanningandtraining,A paperdeliveredatthe8th
Asia-Pacific Manning andTraining Conference, November
14-15,2007,Manila:Philippines).http:www.marisec.org/
shippingfacts/worldtrade/top-20-largest-shippingflags
Kumar, Sajeev V. (Shortage of seafarers takes wind off
maritime activities The Hindu Business Line, April 5,
2007).
Marques, Ericson M. (J oining Hands to Meet Global
Demand for Filipino Seafarers through a Committed
Partnership, A paper delivered at the 8th Asia-Pacific
Manning and Training Conference, November 1415,
2007, Manila: Philippines).
Skei, Odd Magne, (The Growing Shortage of Qualified
Officers, A paper deliveredat the8thAsia-PacificMan-
ning andTraining Conference, November 1415, 2007,
Manila: Philippines).
Suri, Satish (A synopsis of current manning situation,
strategic directions and emerging markets as a solution
to worsening officers shortage, A paper delivered at
the8thAsia-Pacific Manning andTraining Conference,
November 1415, 2007, Manila: Philippines).
XinDingding, Sailor ShortageinGrowingIndustry; China
Daily, Apr.20, 2006.
691
15.8
Psychological featuresof seamensactivityinemergencysituations
V.A. Bondarev& O.M. Bondareva
Baltic Fishing Fleet State Academy, Kaliningrad, Russian Federation
ABSTRACT: Therenderedmaterial will helptoformaclear viewof psychological featuresof humanactivity
insituationsconcerningincreaseddanger toapersonsexistence.
Emergencysituationcausesveryhighpsychical over-
loads, special emotional conditionsof psychical men-
tal tensionwhichcanbedeterminedinsuchtermsas
stress, affect, andpanic.
In an emergency situation the crews activity
becomesmorecomplicatedduetosuchpsychological
factor asfear of makingmistakes. Under thedevel-
opingemergency conditions legal andmoral respon-
sibility for prompt and correct actions is increasing.
Untrained senior officers and crew members might
havethefear of makingmistakes. Theymight think
that their wrong actions and decisions could cause
material lossandcasualties. Thefear of makingmis-
takes doesnt allow themto make right, informed
decisions and efficient countermeasures in case of
emergency.
Fearlimits, obstructs, immobilizes. Itisnotablethat
HonordeBalzac who was themaster of thehuman
soul wroteinoneof hisnovels:Undertheinfluenceof
fearall humanabilitieseitherachieveextremeexertion
or fall todecay.
What is fear? It is an emotion (feeling) arising in
danger to biological andsocial humanwell-being. It
doesnt matter howreal thedanger is. It couldbean
imaginary danger. Themain point is that theperson
whoisfrightenedwouldtakeit for real.
Passingthroughfear variesinwiderangeof grada-
tions: diffidence, apprehension, fright, panic, terror. It
depends onthesituationandontheindividual pecu-
liarities of a personality. In cases when feeling the
fear achieves its affect it imposes some stereotypes
formed in theprocess of biological evolution of so-
calledemergency behavior uponaperson. Inother
words themindswitches off at that moment andthe
personactsasbeingbesidehim(her)selfintheexact
meaningof thewords. But unfortunately, theactions
themselvesnearlyalwaysturnouttobeirrational, very
oftentheyleadtodeplorableconsequences.
Thebehavior andinternal sensationsof thefright-
enedpeoplearedifferent. Fear makespeopletremble,
squeal, scream, cry, laughIt butterfliesinthestom-
ach, handsandlegstremble, it dingsintheears, there
is alump in thethroat, thefacebecomes pale, heart
pounds, youhaveheavybreathing, your hair standson
end, pupilsof theeyesenlarge, youfeel tinglesdown
the spine. Fear makes you run no one knows where
at breakneck speed, stand motionless staring fixedly
andblankly infront of yourself, or, excusethenatu-
ralism, defecate... Itisnecessarytoclassifythegistof
apersonsreactionstounderstandthem.
People feeling fear have the following mental
states: agitation(expressivesymbol isescape), stupor
(expressivesymbol istorpor), clouded(twilight) state
(expressivesymbol isuncontrollableaggression). J ust
escape, torpor or aggression arestereotypic ways of
theemergencyexitinsuchsituationswhenaperson
cannot findtheacceptablewayout.
Agitationisthemost commonly encountered. It is
expressedintryingtoescape, hide, nottoseeandhear
of what isfrightening. Inmotionsagitationmotivates
people take some automatic defensive actions. For
example, hecloseshiseyes, humpsshoulders, covers
hisfaceandbodywithhishands, leanstotheground,
springs back fromthe source of danger, runs away.
Seriouschangestakeplaceintheorganismatthattime.
Undertheinfluenceof suchhormoneasadrenalinebig
volumeof bloodmovestotheorgansensuringhuman
movements, generally to the legs. Blood leaves the
other organs at that time, especially the brain. That
is why cerebration becomes worse and a frightened
persondoesnot oftenknowwheretorun.
Increasing of the adrenaline level in the blood of
mentally unstable people has a feedback action: it
paralyses their muscles. It is also anatural reaction,
developedevolutionary: pretendtobedeadnot tobe
hurt sincenocarnivorewouldeat carrion. Andinthe
battlepeopleusuallydont hurt thefallen.
Stupor isexpressedinfreezingor inveryslowand
awkwardhumanmovementsandevenapersoncanfall
unconscious. It happenssincethemusclescontracted
convulsively and their blood supply shortly became
worse, humanphysical coordinationchanged.
Clouded (twilight) state is expressed in lapses of
memory (a person does not remember what he has
just done), alogismof cogitation, emotional overex-
citement. Externally, cloudedstatelooks likeamad-
nessattack, inconsequentor insaneaggressiveactions
towardsthefear source.
693
Figure1. Thescaleof emotions.
But it should be mentioned that full-featured
aggression as afear expression is less common. On
theotherhanditsattributesarewell-known: malicious
faceexpression, threateninggesturesandpose, scream
or squeal. They are based on an instinctive inten-
tion to frighten the rival; sometimes it is successive
sometimesnot.
Sofear makesapersonweaker, paralysesor, figu-
ratively speaking, makes apersonget into hot water,
but it is well-knownto beuseless. That is why there
isnousetohopefor thevictoryintheconflict witha
stronger enemyunlessyouarenotabletocontrol your
emotional state.
Inmodernpsychologythereisaconceptionaccord-
ingto whichtheendless variety of humanemotional
life is determined by some basic emotions. Each of
themhas its own valence. According to the valence
index therearefour pairs of basic emotions opposed
to each other: pleasure- disgust, joy-grief, triumph-
anger, assurance- fear. The scale of emotions is not
linearbutcircular.Schematicallyitisasfollows(fig.1)
This scheme vividly confirms the rightfulness of
thetraditional emotions distinguishing into positive
(sthenic) andnegative(asthenic). Theformer encour-
age inspiration, provide some energy for a person
and increase his will activity. The latter weaken the
will, decrease activity, predispose to passive defen-
siveactionsandworsentheorganizationof behavior.
Therefore, apsychologicallytrainedseamanspositive
emotions should always dominate over the negative
ones.
In accordance with the same conception emo-
tional statescouldbedistinguishedintoshort-termand
long-term. Theformer aredirect reactions to certain
situations. The latter (they are often called feelings)
aredeterminednot onlybytheexact moment but also
bythepastandfutureof thehumanslife. Forexample,
envenomingsomebodys lifefeelingof fear couldbe
associatedwithaby-past danger or withthethoughts
of thecomingdeath. Situational emotionsof fear and
fear itself asanessential featureof apersonalityhave
onebasis. It is very important for seamens psycho-
logical training. Thisbasisisafeelingof impendence
of death, theendof existence. That iswhyeverything
whichcoulddirectlyorindirectlyleadtodeath(evenif
itisonlyintheimaginationof aperson) isthecauseof
thefear emotion. It shouldbealsonotedthat aperson
withdominatingasthenicemotionsstronger andmore
often feels fear than an individual with dominating
positivestates.
Any danger or aggression should stir up positive
(sthenic) emotions but not the feeling of fear at a
well-trainedseaman. Toputitintopracticeitisneces-
sarytosolvetwomainproblemsduringtheprocessof
seamanspsychological training:
Disposeof adeathfeeling.
Learn to act unconsciously with your brain on
autopilot inemergencysituations.
Then in any situation even in theteeth of death a
personwill beabletoact freely, without any tension,
usingthemost effectiveway for hisabilities. Evenat
thelimit of hisabilities.
To cut thelong story short, thefirst problemcan
be solved by personality programming (including
self-programming);thesecond- byvisualization(med-
itation) andautohypnosis. Let us study bothways in
greater detail.
Todisposeof adeathfeelingforever itisnecessary
to changeyour ownpersonal scaleof values. If your
lifeis considered to bethemost valuablething then
whiplashof fear inemergencysituationswill beprac-
tically unavoidable. Inother words, it is necessary to
have an idea which could dominate over the animal
self-preservation instinct. People understood it long
timeago. It isnomerechancethat J apanesesamurais
hadanauthenticdeathcult.
Eternal samurais enemies (ninja) practiced the
techniques of psychological training focused on the
realization and experienceof futuredeath. Thereal-
izationandexperienceof futuredeathinparticular are
connectedwithritual admissionsinreligioussectsand
organizationsof different timesandcountries. Tofeel
thedeath, fathomits mystery it is necessary to stop
beingafraid. Not to makesomeother peoplebelieve
that youhavenofear, but disposethisemotionout of
your psyche.
Stoppeddepressingthehumanconsciousness, the
thought about death gives the possibility to feel
strongzest for life, it enablestoenjoy every moment
delicately.
Beinginchimewithnatural development andwith
him/herself, a person could get the ability to live
tranquilly. To live when it is rightfully to live and
undauntedly die when the moment comes. Differ-
ent ideas allow not fearing death. Such concepts as
familyshonor andpersonal dutyat hislordplayedan
important part for samurais. ModernEuropeanshave
some other key concepts. For example, self-respect,
familysduty, servicetoapolitical organizationetc.
A personadoptsdifferent normsandvaluesduring
his life (badly- well, beautifully-ugly, right- wrong,
decently- humiliatingly etc.) That is programming
giving common direction to humans ambitions and
certainlifeperspectives. It is clear that environment:
parents and neighbors, teachers and tutors, friends
and acquaintances, colleagues and occasional fel-
low travelers play the main part in programming.
And of course books and magazines, films and
694
television, rumors andfashion. Tomakealongstory
short, we are spontaneously programmed by a giant
information channel which passes through our psy-
che during our life especially in the childhood and
adolescence.
Speaking about self-programming we mean the
attempt toregulatethisprocess, makeit moreor less
goal-oriented, successive, andsystematic. Thatiswhy
weneedadoctrine(political, religious, moral- it does
not matter). It givesapersonsomesupport inhis/her
thoughts, enables to judge and choose, shows the
way, andlights theway withthehighest meaning. In
thecontext of thediscussed problemit is extremely
important that such doctrine should admit and jus-
tifyself-sacrificeinthenameof thevaluesandnorms
acceptedbytheperson.
A personshouldnot onlyknow that he/shemust
notbeafraidof deathandtherearesomethingswhich
cost morethanalifebut he/sheshouldmakethisidea
apartof him/herself. Itisessential totransfer thisidea
fromthesphereof consciousness into thesphereof
unconsciousness. For this purpose it is necessary to
makeupalist(aprogrammepack) of certainorders
toour biocomputer. Suchordersmust beshort, clear,
intheformof positivestatements.
Inother words theprogrammepack is aspecial
codeof courage. (Wecouldrecollecthonor codes
of the traditional schools here.) It is necessary not
just to learn it by heart but insert it into the uncon-
scioussphereof ourpsyche.Thereisaveryinteresting
phenomenon: thisprogrammestartsworkingindepen-
dentlyof ourconsciousnessif itwasinsertedcorrectly.
That is, programmed behavior is implemented in an
emergency situationby itself, without any vividwill
interferenceandwithoutanyviolenceagainstaperson.
Generallyspeaking, fear canbedisposedusingtwo
ways.Thefirstone, whichwasmentionedaboveisthe
depressionof theanimal self-preservationinstinct by
means of minds logic. The second way of fear dis-
posingistoswitchoff theconsciousnessandact with
your brainonautopilot. Inthiscaseaproperlytrained
unconscioussphereof our psychecompletelyignores
dangeranditisnotafraidof itforthatreason.Theoreti-
cally, bothwaysshouldmakeajunction.Thenaperson
even being in adesperatesituation would act freely,
easily, self-confidently. Moreover he/shewouldhave
suchpossibilitiesof whichhe/shecouldonlydreamin
his/her real life. However, super possibilitiesenabling
tomovemountainsdonotjustcomeatwill. A long,
persistent, very hard training is necessary. In con-
nectionwiththeabovementionedwewill look upon
a simple but very important scheme (figure 2). The
meaningof theschemeisthefollowingit showshow
to learnto evolvefromahumanbeinginto someone
else: abeast,arobot,asuperman,anAngel of Death-
intoanybody. Assimilatingwithanimage, fittinginto
it you will act with your brain on autopilot, without
anyfear, usingself-programmingandmeditation.
Atfirstitwill takemuchtime,butachievingahigher
training level the stage of fitting into an image will
reducefromseveral hourstosomeseconds.
Figure2. Psychotrainingscheme.
Butwhyshouldweswitchofftheconsciousness?
Let us seetheother sideof thediscussedproblemin
themental spherefor better understanding. Illiterate
people often confuse mind and consciousness (they
perceive themselves as creatures separated fromthe
environment), theymixmindandintelligence(which
is only a structure of mental abilities). Animals and
moronshavemindasdistinctfromconsciousness.The
point iswhat kindof mindit is.
So mind is an operation of information process-
ing, comingintothebrainthroughthesensoryorgans
(sense of sight, sense of hearing, kinesthetic sensa-
tion, senseof smell), andalso fromtheinsideof the
organism. As aresult of theprocessing our biocom-
puter(central nervoussystem) givesordersintheform
of impulses, passingthroughtheneural network and
regulatingall our motions, actionsandconduct.
Threemindtypesaredistinguished.
Visuallyoperative- basedontheintensiveandvaried
manipulation of your own body and surrounding
objects.
Visually creative- basedontheemotional andsen-
sual apperceptionof theobjectsandeventsinside
andoutside theorganism.
Abstractedly logical, conceptual, sign-oriented
mindbasedonthereflectionof thecause-effect rela-
tions, associated with the recollection of the past,
knowledgeof thefutureandself-awareness.
It is clear that visually operativeandvisually cre-
ative mind types comprise an animal stage of the
human psycho development. But at the same time
bothmindtypesthemostsignificantfor close-handed
fight. Abstractedly logical typeis rather anobstacle.
Inconnectionwiththesaidlet usconsider aquestion
of encephalicasymmetryindetail.
Itisidentifiedthatpsychological functionsaredis-
tributedbetweentheright andtheleft cerebrums. The
function of the left one is to operate the verbal and
sign-orientedinformationandalsoreadingandcount-
ing.Thefunctionof therightoneistooperateimages,
space orientation, coordination of movements, iden-
tification of compound objects (for example, faces,
figures, colors etc.) In view of the fact the differ-
encebetweenthecerebrumsisnot determinedbythe
material they get from the sensory organs, but by
the way they use (process) it. The left cerebrumis
responsiblefor theabstractedly logical ways of pro-
cessing; theright oneis responsiblefor thevisually
creativeandvisuallyoperativeways.Theleftcerebrum
695
operatesbothdiscontinuously(discretely)andsequen-
tially(gradually). Therightcerebrumprocessesinfor-
mation synchronously (simultaneously) and synthet-
ically, immediately grasping numerous features of
phenomenatakenasawhole, undifferentiated.
Tounderstandthepossibilitiesof thegoal-oriented
training(alsopsychotraining) it isnecessarytoknow
that anencephalic asymmetry isput inapersononly
asaprecondition, itisfinallyformedandcorrectedby
real livingconditions, education, upbringing.
From the said above (about mind types and
encephalic asymmetry) wecan clearly concludethat
for surviving in an emergency situation a person
should activate (enhance) the functions of the right
cerebrumandweaken(inhibit) theactivityof theleft.
Wewill remindyouonemoretimethat theright cere-
brumis responsiblefor thepositionof thebody and
space orientation, speed and coordination of move-
ments. Theexperienceof anysituationwithitsspace-
temporal characteristicsisalsocarriedoutbytheright
cerebrumtheoperationof whichenablesapersonfeel
him(her)self here andnow, inacertainentity at
thegivenmoment.
Thatiswhyenhancedactivityof therightcerebrum,
itsdominationovertheleft, sotosay, expandstheinner
senselimits, prolongs themoment. Externally it is
expressed in speeding-up bodys response reactions.
Thething is that on theabstractedly logical (verbal)
level themindmanagestoprocessnot morethan100
bits asecondbut onthevisually creativeandsenso-
motor (operative) levels up to ten million bits! By
means of it the bodys mind free fromthe intel-
ligenceschains startsthemotor responsepractically
inseconds.Thereforeawell-trainedseamanreallyacts
earlier thanhemanagestothinkabout it.
However, our biocomputer isabletomakeacertain
choiceof thoseactionswhichareencodedinthepsy-
che. Frequent repetitionandtraining(i.e. exercisein
similar butdifferentindetail situations) arenecessary
toinsertthemthere. Inotherwordsautomaticbehavior
inemergencysituationsdemandspreliminarypractice
of somedefiniteclichs (matrixes). A trainedper-
son can giveaway such clichs just right after the
general identificationof thesituationnature.
It isknownthat it takestheright cerebrumonly60
milliseconds to recognize the situation; meanwhile,
pixel-by-pixel analysis (theleft cerebrumoperation)
takes320milliseconds. Butif, forexample, twoevents
followeachother withaninterval, whichislessthan
thisfigurethenapersonisphysically unabletoreact
adequately to the second one. Therefore a delayed
response is unavoidable every time he (she) tries to
understand the situation in detail. And vice versa a
seaman is able to give away a response action in
the shortest time period recognizing the situation in
general (without thinking) on the basis of the pre-
liminary practiced and coded schemes (clichs,
matrixes) inserted in thesubconscious mind. That is
anon-conceptual, automatic, intuitivecogitationof a
professional.
And it is necessary to add that the dominance of
therightcerebrumreducessensitivitytopain,weakens
criticismintheanalysisof thereality.Evidentresponse
toareal danger decreasesaccordingly, uptoabsolute
defiance. If suchastateoverlapsthenoninvolvement
to death, readiness to fight to the last (it should be
guaranteedbyself-programming), thenextraordinary
fearlessness comes up. At that time a person pays
attentiontonothingexcept thethingwhichisdirectly
relevant to the developing situation. But everything
comingfromthedangerevenpoorsignalsisconceived
highlysharp.
REFERENCES
CoonD. Essentialsof psychology: Explorationandapplica-
tion. SPb.: Prime-EVROZNAK, 2003. 864p.
Freid Z. Introduction into psychoanalysis: Lections.- SPb.:
Piter, 2006. 384p.
KorolenkoTs. Humanpsychophysiologyinemergencysitu-
ations. L., 1978, p. 91102, 109114.
LebedevV. Personalityinemergencysituations. M., 1989,
p. 4148, 296302.
Selie G. When stress does not cause grief. M., 1992,
p. 104109, 116135.
Taras A. Fighting machine: Self-defense instruction. Mn;
1997, p. 2531, 521569.
696
Chapter 16. Maritime education and training
16.1
Maritimeeducation puttingintheright emphasis
A. Ali
Bahria University, Karachi, Pakistan
ABSTRACT: Educationisthefirststeptowardstheeffectiveandefficientutilizationof theavailableresources.
Sameis thecasewith maritimesector and industry. Our maritimecluster is handicapped with respect to the
educational needs and their fulfillment. Weneed to comeup with institutions of world ranking for maritime
education. Whether it isport sector or shippingindustry, coastal zonedevelopment or environment protection,
whatweneedistohavemeanstoeducateour peoplefor all tiersandtypesof organizationsinmaritimedomain.
1 INTRODUCTION
When judged with respect to available economic
resources and opportunities, it will be justifiable to
call our planet oceaninplaceof earth. Access to sea
andhavingacoastal zoneenrichesanationtosuchan
extent which is beyondthegraspof so many littoral
nations. Wehaveto literally educateour masses and
policymakerstohavetherightdirectionintheirfuture
planningandnationbuildingandattractinvestmentin
themaritimesector.
Educationandawarenessisthefirststeptowardsthe
effectiveand efficient utilization of any opportunity
youmayhavewithinyourreach. Sameisthecasewith
maritimesector andindustry. Our maritimecluster, to
muchextent, ishandicappedwithrespecttotheeduca-
tional needs andtheir fulfillment. Wehaveremained
dependent for toolongonseafarers practical knowl-
edge and expertise for employment in shore sector.
Likeother areas, weneedtocomeupwithinstitutions
of higher educationfor maritimeindustry. Whether it
isportsector or shippingindustry, coastal zonedevel-
opment or environment protection, what we need is
to havemeans to educateour peoplefor all tiers and
typesof organizationsinmaritimedomain.
Purpose of this paper is to discuss, and critically
analyzehow important it is for acountry with mar-
itimepotentialsandopportunitiestopromotemaritime
education for thedevelopment of national economy;
what arethevariousfactorsandlimitationsthat ham-
per thepromotionof maritimeeducationvisavisthe
other faculties; andfinally, what shouldbethemodus
operandforgivingimpetustoexistingeffortsformuch
desiredpromotionof maritimeeducation.
2 BACKGROUND
Pakistanisalargeanddiversecountryhavingall types
of topography with jurisdiction over largeExclusive
EconomicZone(EEZ), proudlycalledthefifthandthe
largest provinceof thecountry. Theeconomic activ-
ities that relate to this fifth province are numerous
in existence and much more in pipeline. The coun-
trys economy is dependent upon sea transport for
itskey exports rawmaterialsandagricultural com-
modities andimports, mostly manufacturedgoods.
Almost wholeof thePakistans tradeingoods is car-
ried by ships. Coastal shipping is also going to rise
in importance with the planned development of the
Gwadar Port andCoastal Belt of thecountry.
The marine space also provides a wealth of
resources: mineralssuchasoil andgas, livingmarine
resources and tourism/recreational resources. It is
increasinglyrecognizedthat thedevelopment anduse
of marineresourcesneedstobeundertakeninaneco-
logicallysustainablemannertoensurethattheyremain
availablefor futuregenerations. It is also critical for
theindustriesthat operateinthemarineenvironment
todosoinawaythat minimizestheir impact uponit.
Oceansandcoastsarealsoimportantincultural and
social context.Pakistanhasarichmaritimehistoryand
heritage. Largest cityof thecountry, namelyKarachi,
isonthecoastlinehousinglargestportstructure, ship-
pingactivitiesandrelatedindustrial complex. A large
portion of our population livebesideor closeto the
seaor travel totheseasidetorelax, andpercentageof
such peopleis going to risein near futurewith new
port structureandcoastal development intheplans.
The industries that operate in, or are dependent
upon, themarineenvironment arecritical tothewell-
being of coastal or maritime communities. These
industriesalsomakeasignificant contributiontoour
national prosperityandgrowth.
3 CAPACITY BUILDING
Success of the maritime sector is totally dependent
on a skilled, highly qualified and motivated human
699
resource at all levels. There is an acute shortage of
trainedandqualifiedworkforceandmanagersformar-
itimesector andindustry withrelianceonsources of
expertisefromother industries.
3.1 Maritime Cluster
First of all weneedto identify what wemeanby the
MaritimeSector (Cluster). Varioussectorsof themar-
itimeindustry, whichcollectivelyformwhatisknown
insomecountriesastheMaritimeCluster,areprobably
themost diverseandvariedwithinindustrial sectors.
These include but are not limited to port authori-
ties, stevedorecompanies, labour suppliers, maritime
insurance, maritimeadministrations, shippingcompa-
nies, classificationsocieties, ship-building, maritime
legal consultancies, maritime security agencies and
coast guardofficials.
Most of these sectors benefited in the past from
aninflowof well educated, disciplinedpractitioners,
namelyseafarers,whoafterservingatseaforanumber
of years, wouldcomeandtakeshore-basedpositions.
3.2 Expansions and needs
Useof oceanshasexpandedmuchaheadof shipping
andnewareasof studyhaveevolvedlikeenvironment,
sea-bed resources, fisheries, marine biology, coastal
zonemanagementetc.Associatedprofessionslikeport
management, shippingmanagementandinternational
lawrequirededicatedexpertsandscholars. Newworld
order demands new emphasis on issues like marine
security,terrorism,piracyandmaritimefraudtoensure
worldpeacein21st century.
In Europe, research studies funded by the EC
indicated that in addition to technical subjects that
employers identified as essential for their sector,
they also identified a number of core skills that
they regarded as important for their staff to be
employed in shore based industry. These included
organizational/analytical skills; customer awareness;
communicationandinterpersonal skills; environmen-
tal awareness; safety and security; leadership and
teamwork; andadvancedIT ande-commerce.
It is widely recognizedthat most of thesea-going
officers leavetheseaat acertain point in their lives
to take up employment ashore in a marine related
job. This is thetimewhen they need certain typeof
education and training so that building upon their
sea experience, they can make themselves suitably
qualifiedfor theshorebasedmaritimeindustry.
Shore based maritime sector benefited from the
experienceandexpertiseof theex-seafarersemployed
invariouscapacities. Employersinsomeof thesemar-
itimesectors feel that their futureis threatened by a
skill shortage. Concernabout thenumber of available
formerofficerssuitablyqualifiedhavesparkedaseries
of researchprojectswhichhaveculminatedintomulti-
plegovernmental actionsandindustrial ledinitiatives
aimedat buoyingupthenumber of seafarersworking
intheindustry.
3.3 Problem in hand
Measurestosupport theskillsbasehavebeeninextri-
cably linked to research into the state of the labour
market for marine skills. This market is chiefly
composed of former deck and engineering officers,
predominantlyfromthemerchant marine.
3.3.1 British experience
Shortageof experiencedandsuitablyqualifiedofficers
canbeseenasstartingwiththefirstempirical research
into the problemby Moreby and Springetts (1990)
Critical Levels study. Closetofollowwasthework
carriedoutattheUniversityof Warwick, onbehalf of,
amongotherstheISF andBIMCO.
TheBritishChamberof ShippingReport, Britains
MaritimeSkills madesomeprojected estimates for
thefutureof thenumbersof officers,bothashoreandat
sea.ThishasbeenrecentlyupdatedbyareportUnited
KingdomSeafarersAnalysis2006 conductedfor the
Department of Transport, which has alarming indi-
cations for availability of maritime skill base in the
future.
In UK, the Report of Proceedings of the Com-
mittee investigating The future of maritime skills
and employment in theUK, and British Shipping:
ChallengesandOpportunitiescontainevidenceindi-
cating the decline trends in maritime sector and the
implicationsof suchdevelopments. TheEmployment
CommitteeReport (1993) containssubmissionsfrom
peopleintheindustry voicingtheir fears concerning
the shortage of people to work in the UK shore-
side industries. In particular, evidence can be seen
beingsubmittedby various shippingindustry related
organizations andbodies toagovernment committee
insistingthat it isessential that certainkeyjobsinthe
shorebasedmaritimeindustry arecarriedout by for-
mer seafarersfor variousreasons, andtheyneedtobe
suitablyqualifiedtoundertakethesejobs.
3.3.2 Australian experience
Numerous studies over the past decade have been
conductedindicatingasimilar patterninAustraliato
that of the United Kingdom. Two publications can
bereferred; firstly thereport by Capt Denis Parson,
Maintaining Manpower and skills requirements for
AustralianPorts andsecondisadocument reporting
theSenateenquiry intoWorkforcechallengesinthe
transport industry.
The first report has examined the skill shortages
and their causes. Report indicates skill areas which
will make seafarers more transferable to maritime
shore based sectors and that included logistics and
supply chainmanagement; InformationTechnologies
(IT), and E-business skills; organizational, HR, and
management skills; port and terminal management
skills; maritime policy and strategic development
skills; marketing, commercial, contract and negotia-
tionskills;andfinallyhealth,safetyandenvironmental
management skills.
700
Of interest here are extract fromvarious submis-
sionstotheSenateenquiryonWorkforcechallenges
inthetransport industry asfollows:
AustralianShip-ownersAssociation(ASA) submit-
ted that it is clear that the maritime industry faces
a number of challenges and issues with regard to
employment and training. These included lack of
awarenessandindustryprofilewithexistinginitiatives
having a negligible impact in the maritime indus-
try. ASA also said that while the industry is taking
pro-activestepstoaddresstheskillsshortage, oppor-
tunities do exist for other stakeholders, including
Governments, totakeamoreactiverole.
AustralianMaritimeCollege(AMC) submittedthat
future of Australian economy, national security, and
defenceis dependent on well trained and high qual-
itymaritimehumanresource, tosupportboththesea
going andshore-based maritimeindustries. Based
on this, AMC recommended in her submission that
the Australian government needs to consider offer-
ingadditional feesupportor feewaiverstoencourage
youngAustralians to undertake Maritime Education
and Training (MET); and develop well focused ini-
tiatives to maximize training within the maritime
industries.
Maritime Unions of Australia (MUA) submitted
that Australias maritimeindustries arecontinuingto
expandinresponsetogrowingcontainer tradepartic-
ularlyimports; growthintheexportof bulkcommodi-
ties; and growth in offshoreoil and gas exploration,
construction, productionandtransportation.
3.3.2.1 Remedial measures
Thetwelfthreport of theEnvironment, Transport and
Regional Affairs Committee, Thefutureof theUK
shippingindustry publishedasummary of thecom-
mittees findings and was also based upon British
Shipping: Charting a New Course. The committee
agreedamongother thingstoestablishtheimportance
of shore-based shipping services in UK. After con-
sideringthesubmissionsmadebyvariousbodies, the
committeefound that asuccessful shipping industry
would bring many benefits to the UK in terms of
incomeandemployment, as well as for strategic and
political reasons. Theyconcludedthereforethat there
isastrongcasefor supportingtheindustry.
The strategy adopted in UK was two pronged: a
marketing strategy aimed at increasing awareness of
maritimecareersandtomakeinformationmoreread-
ily available; secondly to widen access to training
opportunitiesandincreasethevalueof officersquali-
ficationstoincreasetheir suitabilityfor absorptionin
shorebasedindustry.
Better career marketing approach has crystallized
into marketing campaigns aimed at promoting ship-
pingto thepublic as well as to decisionmakers. The
Chamberof Shipping,seamensunionsandsomeother
similar organizationshavepromotedanumber of ini-
tiativestoincreasetheprofileof shippingintheUK.
One such initiative is the Fighting Sea Blindness
campaign, whichaimstohelppromoteco-ordination
of variousgroups effortsinrelationtomaritimeissues
andemployment.
Morespecificmeasuresincludedtheproductionof
careersvideos, postersandinformationpacksfor dis-
tributionat schools andco-ordinationof several web
sites, which feature information and links concern-
ingmaritimecareersandmaritimeindustry. Thisalso
included planned attendanceof theMNTB at career
exhibitions and fairs. These events have also been
supportedbymaritimetrainingcolleges.
Project SeaVisionwas launchedinJ anuary 2003,
promotedbytheUK Chamberof Shipping.Thisinitia-
tiveaimstoraisefirstof all awarenessof themaritime
sectorinUK, anditsimportanceinthecountrysecon-
omy; and secondly to generate interest in a range
of marine careers. Sea Vision does not specifically
relate to shipping and shipping related industries. It
encompasses other marine sectors such as ship and
boat building, marineleisure, defence, fishing, envi-
ronment, commerce and so on. The initiative draws
together regional andspecific centers of expertisein
promotionandeducation. Theseaimto generateand
disseminatecareermaterialstorelevanttargetedareas,
andto provideapublic relationvehicleby attending
specificpublicevents.
As part of anumber of measures takenby theUK
Government to support an increase in cadet num-
bers, it has supported the creation of the Maritime
Training Trust by the industry. The trust provides a
central point for the receipt and administration of
theindustrysfinancial contributionstowardssupport-
ingfurther seafarer training. Theconcept of thetrust
wasthatcompaniescouldvoluntarilycontributetothe
costsof trainingseafarersthroughdonatingmoneytoa
pool,ratherthanmakinganydirecttraininginvestment
themselves. This scheme was also aimed at shore-
basedmaritimecompanieswhoemployformer ships
officers.
4 DISCUSSIONSANDCONCLUSIONS
Maritimesectorhasitsownsetof problemsandindus-
try should be aware of skill shortages in the sector
andtheneedfor capacitybuilding. Theseissueshave
been raised and discussed at different forums; how-
ever, there is a lack of a coherent policy, and work
programtoaddresstheseissues.
Thereareanumberof groupsandnetworksactively
working on addressing these issues. These activities
however,arenotcoordinatedandinisolationfromeach
other, at times creatingconfusionandduplicationof
efforts. Perhapsthebest wayforwardwouldbeeither
anetwork of networks or recognitionof oneof the
groupsastheleader.
Theturningpoint for theUnitedKingdomwasthe
realization of the situation by the UK government,
whichfollowedbearaftpoliciesandactionsinvolving
thewholeof industry,governmentandotherstakehold-
ers. That iswhat needstohappenat other placesalso
toput thethingsat right trackinmaritimeindustry.
701
Pakistan needs to learn fromthe experiences of
other countries like United Kingdomand Australia
and has to realize the importance of new emerg-
ing study areas linked with maritime industry. We
needto educateour younggenerationinprofessions
likeenvironment, insurance, law, security andfinan-
cial management linked with maritime sector. Only
through thesemeasures, wewill beableto maintain
our pace of progress and expand our operations in
maritimeindustry.
REFERENCES
Ali,A.(2008,March).NewTrends inMaritime Educationand
Training. Paper presented at 2nd International Maritime
Conference(IMC208) heldonMarch5to 7at National
Centrefor MaritimePolicy Research (NCMPR), Bahria
University, Karachi.
Anyon, J. (1980). Social ClassandtheHiddenCurriculumof
Work. Journal of Education, 162, 6792.
Apple, M. (1983). Education and Power, London:
Routledge& KeganPaul.
Butter, R. (2000). Performance Evaluation in Mar-
itime Organisations. International Multi-Conference on
Instructional Technology Proceedings, heldonJ uly 3to
7,2000, at US Merchant Marine Academy (USMMA),
KingsPoint, NewYork.
Cotton, J. (1995). The Theory of Learning. An Introduction.
KoganPage.
Fisher, D. and Muirhead, P.M.P. (2006). Practical Teaching
Skills for Maritime Instructors. WorldMaritimeUniver-
sity(WMU), Malmo, Sweden.
Fisher, D. (2006). Unpublished lectures and notes. World
MaritimeUniversity(WMU), Malmo, Sweden.
Gagne, R. M. (1970). The Condition of Learning. NewYork:
Holt, Rineholt &Winston.
International MaritimeOrganization (IMO). Model Course
6.09 Training Course for Instructors (IMO Sales No.
TA609E).
International MaritimeOrganization(IMO).Train theTrainer
Course. Held in J uly, 2004, at Integrated Simulation
Centre(ISC), Singapore.
J ackson, P. (1968). Life in Classrooms. New York: Holt,
Rineholt &Winston.
Cotton, J. (1995). The Theory of Learning . An Introduction.
KoganPage.
MET 405 TeachingPedagogics IV. Unpublishednotes by
Prof. PeterMuirhead,WorldMaritimeUniversity, Malmo,
Sweden.
Mouton, J. S. (1984). Synergogy A New Strategy for
Education, Training and Development.
Muirhead, P. M. P. (2006). Unpublished notes on training
workshop, Curriculum development and Design. World
MaritimeUniversity(WMU), Malmo, Sweden.
Print, M (Murray). (1993). Curriculum Development and
Design. 2ndEdition. Allen& Unwin.
Skinner B.F. (1968). The Technology of Teaching. Harvard
University.
Smith, R. M. (1983). Learning How to Listen Applied The-
ory for Adults. Open University Press, Milton Keynes,
UK.
702
16.2
CorrelationbetweenacademicperformanceinAuxiliaryMachinery2
subject andnavigational tripamongmarineengineeringstudentsat
maritimeuniversityinthePhilippines
R.A. Alimen, V.B. J aleco, R. L. Pador, & M.G. Gayo, J r.
ABSTRACT: The purpose of this study was to ascertain the level of academic performance in Auxiliary
Machinery2subjectandnavigational tripamongmarineengineeringstudentsatmaritimeuniversity, specifically
J BLFMU-Molo, IloiloCity, Philippines. Itfurther aimedalsotodeterminetherelationshipof thetwovariables.
Theresearchersusedthequantitativeresearchmethodandemployedthedescriptivestatisticsfor theanalysisof
dataamongtherandomlyselectedparticipantsof thepresentstudy.Thestatistical toolswerefrequency,mean,and
Pearsonsr. Tocomeupwiththedataneededfor thisstudy, thequestionnaire checklist onNavigational trip
wasdevelopedby theresearchers. Resultsrevealedthat asanentiregroup, thelevel of academic performance
was excellent and thenavigational trip was moderately satisfactory among marineengineering students.
The correlation between navigational trip and auxiliary machinery 2 subject was positive and significantly
correlated.
1 BACKGROUNDANDTHEORETICAL
FRAMEWORK OF THE STUDY
Navigational trip is asubject in marineengineering,
whichthestudentsundergoinpartial fulfillmentof the
requirementsforthecourse.Theorientationandexpo-
sure to, observation of, and familiarization with the
ship engineroom, wheretheir futureprofession will
greatly apply, are the objectives of this navigational
trip and the basis of the capacity of each individual
student, to completehis degreein maritimefield of
professionasamarineengineer(DeLeon, 2000).
Atmaritimeuniversity, specificallyJ ohnB. Lacson
Foundation Maritime University-Molo, Iloilo City,
Philippines, the on-the-job training and apprentice-
ship programhad been launched in line with their
philosophy and objectives to produce better quality
midshipmen by exposing these potential officers to
actual experienceonboardvessel inthedomesticand
or foreigntrade(J BLF Manual 1999).
Specially, the navigational trip has an equivalent
approachtoapprenticeship, whichisconducted, onthe
seagoingvessel.Thenavigational tripisarequirement
for marineengineeringstudentsontheir thirdyear. It
isbeingguidedbyqualifiedinstructorsfor themtobe
moreacquaintedwithandhaveathoroughknowledge
of theengineroomset-up.
The apprenticeship is a requirement after com-
pleting the basic courses and after which one can
be qualified as graduate fromthe bachelors degree
in Marine Engineering. A two-year apprenticeship
onboard the vessel is required of each student. The
school closely monitors this before they are issued
a special order as basis of their completion of the
bachelorsdegree.
Thefactorsinvolvedinthisstudyaretheorientation
and exposure to, observation of, and familiarization
withtheengineroom, whichwill yieldfeelingsof sat-
isfactionor no satisfaction. They areto betheunder
lyingfactors inthis study, becausethey arethebasis
for yieldingaqualifiedpotential officer andanexcel-
lent graduateof aMarineEngineeringSchool. Also,
thisstudywill ascertainfactorsthat influencethestu-
dent performance and navigational trip. Finally, this
studywill ascertainwhether or not thereisarelation-
shipbetweennavigational tripandtheperformanceof
studentsinAuxiliaryMachinery2subject.
As marine engineering students of maritime
university in Iloilo City, have strived hard to meet
thestandards required for international and national
(local) employment.Also, themarineengineeringstu-
dentstriedhardthatthenameof thisprestigiousinsti-
tution(J BLFMU-Molo) will notbetarnishedbecause
of themediocreperformanceasfutureseafarers.Also,
theschool must providethemarineengineering stu-
dentstheopportunitytohavehands-onandon-the-job
training programs so that they can equip themselves
inthecognitiveandskill-basedtrainingnecessaryfor
thefutureemployment asseafarers.
Thisstudy wasintendedtoidentify alsothecorre-
lationbetweenacademicperformanceintheAuxiliary
Machinery2subject andnavigational trip. Inorder to
understand the present study, the conceptual frame-
workisshowninFigure. 1.
703
Figure1. Correlationbetweennavigational tripandperfor-
manceinAuxiliaryMachinery2subject.
The present study aimed to ascertain the level of
academic performanceinauxiliary machinery 2sub-
ject andnavigational tripamongmarineengineering
students and the relationship of the two variables.
Specificallythisstudysought toanswer thefollowing
questions:
1. What is the level of academic performance in
AuxiliaryMachinery2amongmarineengineering
students whentakenas anentiregroupandwhen
classifiedaccordingtodifferent categories?
2. What is the level of Navigational Trip among
marineengineeringstudentsasanentiregroupand
classifiedaccordingtodifferent categories?
3. Isthereasignificantrelationshipbetweenacademic
performanceinauxiliary machinery 2subject and
navigational trip among marine engineering stu-
dents?
3 SIGNIFICANCE OF THE STUDY
Administration. Theywill begiveninsightsintheper-
ception of students in the gains obtained by the
thirdyearmarineengineeringstudentswhoundergone
navigational trip.
By this, it couldserveas abasis inimprovingthe
navigational tripprogram.
Students. They could be able to appreciate the
purposeof holdingnavigational trip.
4 RESEARCHDESIGN
The researchers employed the quantitative research
design in this investigation. Descriptive research
according to Gay (1992), involves collecting data
in order to test hypothesis, to test answer question
concerning the current status of the subject under
study.
The independent variable of this study was the
student-relatedfactors suchas classification, typeof
residence, andmonthly family income. Whiledepen-
dent variables were the students performance in
AuxiliaryMachinery2subject andnavigational trip.
Table1. Distributionof participants.
Category f %
A. Entiregroup 99 100
B. Familyincome
P12,001& below 72 72
P12,00130,000 24 24
P30,001andabove 3 3
C. Typeof residence
Rural 78 78
Urban 22 22
D. Classification
ClassA 33 33
ClassB 33 33
ClassC 33 33
5 THE PARTICIPANTS
The participants were the ninety nine (99) marine
engineeringstudents of theregular classes randomly
selectedfor thepurposeof thisstudy.
Thedistributionof participantsisshowninTable1.
6 DATA-GATHERINGINSTRUMENT AND
STATISTICAL TOOLS
To comeup with thedata needed for this study, the
questionnaire checklist on Navigational trip was
developed by theresearchers. Frequency counts was
usedtodescribetheprofileof therespondentsinterms
of type of residence, family income and classifica-
tion, meanwasemployedtodescribethenavigational
trip and students performance as perceived by the
secondyear marineengineeringstudents at maritime
university, specifically J ohn B. Lacson Foundation
Maritime University-Molo, Iloilo City, Philippines.
To determinethecorrelation between academic per-
formanceinauxiliary machinery 2subject andnavi-
gational tripamongthemarineengineeringstudents,
Pearsonr Coefficient of Correlationwasused.
7 RESULTSOF THE STUDY
Theresultsrevealedthat:
As an entire group, the level of academic per-
formancewas excellent (M=4.32) amongmarine
engineering students of J BLFMU-Molo, Iloilo City,
Philippines.
Marineengineeringstudents who stayedor resied
inrural andurbanareashadvery good andexcel-
lent academicperformance(M=4.12; M=4.50) in
AuxiliaryMachinery2respectively. Therespondents
academic performance was excellent (M=4.27;
M=4.28) whosefamily incomebelong to high and
low income groups and very good for middle
incomegroup(M=4.13). Interms of classification,
704
Table2. Level of theacademic performanceinAuxiliary
Machine2subject amongMarineEngineeringstudents.
Category M Description
A. Entiregroup 4.32 Excellent
B. Typeof residence
Rural 4.12 Verygood
Urban 4.50 Excellent
C. Familyincome
P12,000andbelow 4.27 Excellent
P12,001 P30,000 4.13 Verygood
P30,001andabove 4.28 Excellent
D. Classification
ClassA 4.47 Excellent
ClassB 4.61 Excellent
ClassC 3.45 Verygood
Legend:
4.21-5.00 Excellent
3.41-4.20 Verygood
2.61-3.40 Good
1.81-2.60 Fair
1.00-1.80 Poor
the marine engineering students posted an excel-
lent for class A and B (M=4.47; M=4.61) and
verygoodforClassC((M=3.45)ontheiracademic
performanceinAuxiliaryMachinery2subject.
Asanentiregroup, thenavigational tripwasmod-
erately satisfactory(M=4.02) among marine engi-
neering students. Marine engineering students who
stayed or resided in rural and urban areas found
satisfactory andmoderately satisfactory thenav-
igational trip(M=3.34; M=4.15) respectively. The
respondents navigational tripwas moderately satis-
factory thosefamily incomebelongtohighandlow
incomegroups ((M=4.18; M=4.12) and satisfac-
toryformiddleincomegroup(M=3.22). Intermsof
classification, thestudentspostedamoderatelysatis-
factory for classA andB ((M=4.16; M=4.13) and
satisfactoryforClassC((M=3.32) onnavigational
trip.
Thecorrelationbetweennavigational tripandauxil-
iarymachinery2subjectof thepresentstudyrevealed
asignificant correlation.
Again, theresult of correlation between auxiliary
machinery 2 subject and navigational trip revealed
a positive and significant correlation employing
Pearsonsr (r =.735, p <.05).
8 CONCLUSIONS
The level of navigational trip was perceived to be
very satisfactory when taken as an entire group.
Thismeansthat navigational tripisnecessary among
marineengineering students in developing their per-
sonal and technical skills, as well as to social rela-
tionships. Thisfindingwasinagreement inthestudy
of Casco (2003) stating that attending navigational
trip, thestudentsareexposedtoactual seaexperience.
Table3. Level of navigational tripamongMarineEngineer-
ingstudentsof J BLFMU-Molo.
Category M Description
A. Entiregroup 4.02 Moderatelysatisfactory
B. Typeof residence
Rural 3.34 Satisfactory
Urban 4.15 Moderatelysatisfactory
C. Familyincome
P12,000andbelow 4.18 Moderatelysatisfactory
P12,001 P30,000 3.22 Satisfactory
P30,001andabove 4.12 Moderatelysatisfactory
D. Classification
ClassA 4.16 Moderatelysatisfactory
ClassB 4.13 Moderatelysatisfactory
ClassC 3.32 Satisfactory
Legend:
4.21-5.00 Highlysatisfactory
3.41-4.20 Moderatelysatisfactory
2.61-3.40 Satisfactory
1.81-2.60 Unsatisfactory
1.00-1.80 Veryunsatisfactory
Table 4. Correlation between navigation trip and
academicperformanceinAuxiliaryMachinery2.
AcademicPerformance
AuxiliaryMachinery2
Variable r r-prob
Navigational Trip .735* .024
*p <0.5
Marine engineering students were observed to have
developedthesenseof cooperationwithco-seafarers,
learnedtofollowthecommandof their superiorsand
learned to apply theories in their classes to actual
situation. That is one of the reasons that the result
revealed a significant correlation between academic
performance in Auxiliary Machinery 2 subject and
navigational tripamongmarineengineeringstudents.
9 IMPLICATIONSFORTHEORY AND
PRACTICE
Navigational trip gives the marine engineering stu-
dents a chance to meet and talk with people in the
fieldthat couldprovidethemwithinformationabout
their profession(J BLF SPSManual).
The findings of this study are supported by
the objectives formulated by maritime university,
specifically J ohn B. Lacson Foundation-Maritime
University-Molo, IloiloCity, Philippinesregardingthe
navigational triporOn-the-jobTraining(OJ T) empha-
sizing that actual sea experience and exposure to
the field of marine engineering is productive in the
development of students.
705
10 RECOMMENDATIONS
Based on the findings of this study, the researchers
arrivedat thefollowingrecommendations:
1. Navigational trip program should be conducted
effectivelytoensurethatstudentsmaydeveloptheir
personal, technical andalsosocial skillsespecially
thosemarineengineeringstudentsbelongtoClass
C category.
2. Personnel in-chargeof theprogramshouldseetoit
thattheimplementationof thenavigational trippro-
gramwill bestrictly observedsothat thestudents
will beorientednot onlyassimplyanexcursionor
vacation.
3. Further studiesbeconductedtoascertaintheeffect
of navigational trip in the teaching-learning pro-
cess of marine engineering students at maritime
university, specificallyJ BLFMU-Molo, IloiloCity,
Philippines.
REFERENCES
Student Manual revised edition (1999). J ohn B. Lacson
CollegesFoundation: Molo, IloiloCity.
Apoli, C.R., Elfa, R.E., Escanlar, N.E., Halili, B.R., Ilus-
trisimo, K.G., andTejado, G.N. (2004). Navigational Trip:
Its Correlation in the Students Performance in Auxil-
iary Machinery 1 Subject. Unpublished Thesis, Marine
EngineeringDepartment, J BLFMU-Molo, IloiloCity.
American Psychological Association. (1994). Publication
Manual of the American Psychological Association. (4th
edition). WashingtonDC: Author
Catalan, R. D. (1999). Teachers perceptionof themanage-
mentstyleandmanagementperformanceof theacademic
supervisorsof IloiloDoctorsCollege: Their relationship
to teaching performance. Unpublished masters thesis.
Universityof SanAgustin, IloiloCity.
Francisco, S. (2000). Factors related to perception of and
performance in elective 2 (Computer-Aided Design) sub-
ject among marine engineering students at John B. Lacson
Colleges Foundation-Molo. MarineEngineeringDepart-
ment, ResearchOffice, J BLCF-Molo, IloiloCity.
Freund J. E. and Simon, G. A. (1992). Modern elementary
statistics. USA: PrenticeHall.
GageandBerlinger (1998). Educational Psychology.
Guasin, R. M. (1998). Scholastic Attitude and Academic
Performance as Influenced by Home-Related problems
amongHighschool students. Unpublished maters thesis,
WestVisayasStateUniversity, IloiloCity.
J ohnB. LacsoncollegesFoundation, Inc. Student Manual.
Magtira, R.R. (1958). CertainStudentAttitudesthat Related
to Scholastic Performance. Unpublished Master Thesis,
PhilippineWomenUniversity, Manila.
Montehermoso, J. F. (2001). Correlatesof LicensureExami-
nationPerformanceamongMarineEngineeringGraduate.
Unpublished masters thesis, J ohnB. LacsonFoundation,
Inc., IloiloCity.
Ortizo, C. D. (2001). Correlates to Scholastic Performance
amongMarineEngineeringStudents. Unpublished Mas-
ters thesis, J ohn B. Lacson Colleges Foundation, Inc.,
IloiloCity.
Taylor, D. A. (1990). Introduction to Marine Engineering.
Manila: TTC andWPrinting.
Taylor, Frederick (1990). IntroductiontoMarine Engineering.
706
16.3
Higher performanceinmaritimeeducationthroughbetter
trainedLecturers
R. Hanzu-Pazara& P. Arsenie
Constanta Maritime University, Constanta, Romania
L. Hanzu-Pazara
Ovidius University, Constanta, Romania
ABSTRACT: Thenecessitytohavegoodtrainedofficersonboardshipstodaycomesincompleteaccordance
withthepresent development of theshippingindustry, materializedthroughpresenceof hightechnology and
computerizedequipment. This is not just anIMOrequest, but is animperativeinorder tohavesafer seas and
oceansandacleaner marineenvironment.
Thetraininglevel of presentandfutureofficersisdirectlyconnectedwiththelevel of trainingandknowledge
of trainersandteachers. Forthisreasonweconsiderascompulsorytoreachhigherperformanceforthepersonnel
involvedinmaritimeeducation, especiallyintheacademicfield.
In this way, in thepresent, ConstantaMaritimeUniversity is developing aproject dedicated to initial and
continuous training of younger lecturers, who arefor thefirst timein contact with themaritimeeducational
system. Also, thisprojecthavepartsdedicatedtoexperiencedlecturerswithmanyyearsinthesystem, targeting
the goal of maintaining the level of knowledge already acquired, and bringing new training procedures and
techniquesinaccordancewiththepresent necessity.
Inthepresent paper wewill describetheconcept of this project, its principal goals andcourses developed
insideinorder tohavebetter trainedtrainersfromtheir beginningactivity.
1 INTRODUCTION
Interactionbetweenhumanandoceansaremoreinten-
sive in the present than the past. Oceans and seas
makepossibleconnectionsbetweenworldstates, with
a great value for economical changes and transport
activities. Themaritimetransport takesthefirst place
if weconsider thetransportedquantityover theworld.
Thedevelopmentof themaritimetransportationandits
connectedactivities imposedthenecessity of having
moretrainedpeopleinvolvedinoperation, abletoact
in different situation. This ability can not beconsid-
eredasanativeone, anditmustbedevelopedthrough
specifictraining.
For this reason the training process, especially
relatedknowledgeandskills inoperation, safety and
security fields, must behighly qualified. Takinginto
account thefact that this trainingis coveredinmany
casesthroughacademicstudies, iscompulsorytohave
an academic staff able to assure a training process
at high level. This training includes both theoret-
ical knowledge and also practical skills. In order
to persuade the trainees about necessity to be bet-
ter trained for an expandable work market and in
continuous development, is necessary to prove, as
teacherortrainer, thatyouhaveinpossessionthelatest
knowledgeandequipment.
This ability is a difficult task for the younger
teachers, comingdirectlyfromtheschool, withagood
theoretical luggage, butwithgapsinthepractical area.
On theother side, in themaritimeacademic system
is really difficult to bring people with a wide prac-
tical experience in the background, due to different
knowledgegainbetweenonboardandontable.
Inorder tocover themissingexperienceof alonger
practiceonsea,ouruniversitydevelopedaprojectded-
icatedtoinitial andcontinuoustrainingof theyounger
lecturers, and not only, to make easier reaching a
teacher positionandto fill upthegas relatedto new
technologiesusedinthetrainingprocess.
2 THE MARITIME INDUSTRY AND
MARITIMEACADEMIC
2.1 The maritime industry
From the beginning of times, people have been
attractedbythesea, bythepossibilitiestointeractwith
other peoples, especially for tradeandalsofor social
andcultural development. Themainway of transport
usedintradingrelationsisrepresentedbythemaritime
transport, first because of the quantity transported,
secondduetotheprice. Onceeconomical relationsgot
707
wider, themaritimeindustryhadtoadjustthecapacity
to satisfy these requests. The growth of the ships
capacities becomes obvious starting from the 70s
andcontinuesduringpresent time. Thisdevelopment
requests increasing quality of operability, bringing
onboard the ship the newest technology and people
abletoworkinthesenewconditions.Theimprovement
of technology and this presence of high technology
onboardships, ischangingtheconceptof classical sea
transport andinconsequencerequires peopletrained
for this.
Notonlyonepartof maritimeindustryhaschanged,
theships, alsotheyhavechangedtheconnectingactiv-
ities during last decades. So, the port operations,
shippingcompany activitiesandothershavesuffered
changes andrequestedpersonnel trainedfor thenew
conditions.
Evenif technologyevolved, thebasicactivitiesand
theoperationof equipmentsarestill humanduties.The
maritimeindustry isbasedonhumanelement and, in
thisway, thenecessitytoinvest inhumanfactor must
beahighpriority.Tohavepersonnel qualifiedaccord-
ing to technological standards, is a request that can
provedifficult if it doesnt exist adequatebackground
training. A solutioncanberepresentedbythetraining
onboardships, directly ontheworkingelements, but
canhavetheinconvenienceof missingknowledgesin
caseof changes.
Also, the technological changes impose continu-
ousupdatingof older employees, peoplefamiliarized
with theprevious equipments, which havealso gaps
into theoretical field related, not only into practical
experience. Here, thedifficulty consistsintheageof
theemployees, their position facing newtechnology
and, not intheend, theability of achievingsufficient
knowledgetoassureagoodandsafetyoperability.
With the younger personnel, problems related to
accessibilitytothenewareless; theyarelivinginthe
technological eraandhavemoreresourcestocomply
theseonboardships.Also, if theyarecorrectlytrained
and are open to latest techniques, they will be able
tohelptheir older colleaguesinachievingknowledge
andskillsinoperatingcomputerizedequipments.
Now, after theshipshavebeenmodernized, armed
withcomputerizedequipmentsandhightechnologyin
order toprovideasafetyoperation, toincreaseprotec-
tionof thehumanlifeandof theenvironment, is the
timetoimprovepeoplecapabilities.
Theserequestscanbesolvedthroughabetterlearn-
ingandatrainingperiodbeforetakingresponsibilities
onboard. Duringthisperiod, theymust beteachabout
newshiptypes, their characteristicoperations, thedif-
ferences between different types, about technology
already onboard, configuration and operation, situa-
tionswhichcanbemetduringavoyage,organizingand
managingof onboardactivities andduties andabout
everythingisnecessary toprovidearightful andsafe
activity.
Thisisinourduties, asacademicstaff, tosatisfythe
presentrequestsandnecessitiesof themaritimeindus-
try, to providepeople, bothdeck andengineofficers
able to work and react in different conditions and
situationsencounteredduringactivity.
2.2 Maritime academic role in maritime
industry
Asstatedbeforethemaritimeuniversitieshaveimpor-
tant duties and responsibilities near the maritime
activities. Themaritimeacademics do not haveonly
onerole, thatof training, theyarealsoformativeinsti-
tutions for maritime officers, including personality
modeling and developing a responsible behavior of
their actions. Isinhumannaturetoborrowfromother
peoplespersonalities, fromteachersor trainersinthis
case. Beingexamples, theteachershavetoshowonly
the better part of their personality, oriented on their
professional knowledgeand skills and to correct the
intentionof thetraineestobecomeacopy, tohelpthem
developtheir ownpersonality, basedonamodel.
For this, is important for teachers to use in the
trainingprocesstheir experienceinworkingwithpeo-
ple, tocompletetheoretical knowledgewithpractical
examples and advices, based, if is possible, on own
experienceonsea, if not, onstudiedcases.Todothese
isnecessarythatteacherstopossessanadequatelevel
of training and to have knowledges fromdomains
complementarytotheir teachingarea.
Doingthis, trainerstrainingfromthebeginningof
their academiccarrier, isamoreacceptablesituation,
becauseof freshtheoretical knowledgeacquireddur-
ingstudiesperiod.Itwill benecessaryjusttointroduce
themintheteachingtechniques, tousedifferentteach-
ingmaterialsandtoteachthemtotarget themaximal
goal, inorder tohaveattheendgoodpreparedpeople
for their futureprofessional life. For teachersinvolved
in training process frommany years, thescopeis to
keeptheminlinewithtechnological development, to
convincethemtopassfromclassical teachingmethods
tothenewones, toincludeintheir activitytheuseof
computerizedandsimulatedapplication, also distant
openlearningande-learningconcepts.
Startingfromtheseideas, ConstantaMaritimeUni-
versity developed a project addressed mainly to the
youngerlecturers,butalsotoall lecturers;insideof it,it
hasbeencreatedacurriculaof coursesbasedonactual
requestsfortraininglevel of trainers. Ithavebeencov-
eredknowledgeandskillsrelatedbyusingthetraining
technologies, as simulators, the development of an
e-learning course, management of knowledge, class
courses curriculadevelopments, various pedagogical
methods, how to create good relations with your
trainees and other objectives used for becoming a
better trainer or for updatingwithtechnical advance.
3 THE MARCON PROJ ECT
3.1 The international context of the project
TheMARCON (Improvement of MaritimeLectur-
ers Competencies) project is based on politics and
708
strategies fated to support the European maritime
academicsystempositionintotheworldwidecontext.
The project is develop according with Lisbon
EuropeanstrategieswithscopetomakefromEuropean
Unionadynamicandcompetitivecommunitywithan
economy based on knowledge, with much and bet-
terworkingplaces, increasinginvestmentineducation
and research activities. For these, the Commission
in relation with member states and universities will
put in practice concrete actions related to continue
professional formationineducational field.
Starting from 2001, once the eEurope plan has
launch, through e-Learning initiative, the commu-
nication and computerized technology became an
important element of educational system.
All of thesestrategiesopenednewpossibilitiesfor
universitiesandtheir staff, asincreasingof quality in
academic level, professional promotion to easement
theeconomical growanddevelopof societybasedon
knowledge.
European Commission considers the maritime
transportdevelopmentasanimportantelementingen-
eral economical growing. Inthiscontext, themaritime
trainingsystemisthepart whichoffer qualifiedwork
forceonEuropeanmarket.
Also International Maritime Organization put
accent on the level of training in the maritime edu-
cational system. With thelatest intentions of chang-
ing of the levels of training, in order to improve
the STCW Convention, has appear as necessary to
be known the actual equipments and technologies
meet onboardships. Theserequirementsneedpeople
trainedandfamiliarizedwithequipments, abletotrain
others.
3.2 Project objectives
The general objective of the MARCON project is
representedby multidisciplinary researches concern-
ing initial and continuous formative of the lecturers
frommaritimeuniversitiesandprovidingof advance-
ment programsaccordingwiththemaritimeindustry
requirements.
Achievingof this objectivewill leadto increasing
of maritimelecturerscompetenciesandalsowill make
attractivefor graduatestocomeinthesystem.
The results of this project, the initial and con-
tinueformativecourses, areaddressedtoall debutants
lecturersandalsotoolder lecturers.
According with equal chances concept, can be
observed, that inanactivitydomaindominatedbythe
male, attendanceof femalesisnottreatasabnormality.
Aslongwomenarepresentedonboardships, inmany
cases in managerial position, their presence in the
maritimeuniversitiesisnot treatedwithskepticism.
Thedevelopmentof themaritimeindustryimposes
theimplementation of aframework for providing of
advancingprogramsduetocontinuechangingof this
activitydomain.
Besidegeneral objectiveof theproject, thespecif-
icallyobjectivesare:
1 Increasing of lecturers competencies through pro-
motion of knowledges and technologies in the
academicmaritimefield.
2 Creation of a development, update and on-line
management framework for initial and continue
formativeof thehumanresources.
3 Realizingof studiesandanalyzetodefineformative
programsdedicatedandanoptimumcorrelationof
thesewithmaritimeindustrynecessities.
4 Increasing of access and participation of lectur-
ers to formative programs and to obtain a double
qualification.
5 Encouraging of lecturers to maintain a high qual-
ification level through participation at specialized
courses.
6 Introductionof carrier advancingopportunities for
younger lecturers.
7 Elaboration of 6 pilot courses and analyze of the
feedback.
8 Verifying of the process and teaching activities
throughinitial andcontinueformativeprogramsin
scopeof improvement of TIC usinglevel.
All theseobjectivesarebasedonpremisethancon-
tinuelearningis themainconditionfor restructuring
and development of educational and formative sys-
tems, forassuringof decisivecompetenciesduringlife
andtorealizethecoherencybetweenpersonsinvolved
inmaritimeacademicsystem.
A highlevel of qualificationhastobeguaranteedby
thetraininginstitutionsthroughmodular andflexible
educational structures, completedwithhighstandard
personnel.
Theproject squareup many horizontal objectives
asdurabledevelopment, innovationneedsandtransna-
tional approach.
Durabledevelopment has as scopethegiveup of
traditional methodsforlecturersformative.Will befol-
lowedthealignmenttoactual andfuturerequirements
of the international maritime market, the expected
result beingrepresentedbyanext generationof com-
petitive seagoing officers. The formative objectives
will be not state just in theory, it will be extend to
objectives focused on knowledge, action, cohabita-
tion, personal andsocial innovation. Inthisscopewill
be taken in consideration economical aspects, prob-
lemsregardingenvironment protection, right manage
of humanresources, all of theseresultinginpromotion
of adurableglobal development.
Thetransnational approachof theproject isgiveit
bythemaritimesectorcharacteristics, aninternational
oneandduetoteachingactresults, thegraduates, who
will workonboardshipsunder different nationsflags.
This project tries to involvemaritimelecturers in
international maritime transport framework, to put
them in direct contact with the end users of their
work, thecompaniesfrommaritimeindustriesandto
knowexactly their needs. Theinternational maritime
companies arethenecessary sourceof informations
709
regardingworldwiderequestsfor employof maritime
personnel.
Collaborationwithpartnersfrommaritimefield, as
projectobjective, will befoundoncommunicationand
informationchangestoidentifyandimplementof ade-
quatemodalitiestoincreasethenumberof workplaces
andtooptimizethese.
After completedrealizationof thisobjectivehasas
results theextension of integration opportunities for
futureRomanianmaritimeofficersintheinternational
market. For this reason will belookingfor solutions
tocastawaytheimpedimentsandtohaveanobjective
andequal appreciation.
Withthesedesiderates thetransnational andinter-
regional approach will have as scope achieving of
a common denominator between national and inter-
national requests in maritimetransport, ableto offer
to thefutureofficers thechanceto integratewithout
problemsinnational, alsointernational workmarket.
3.3 The target group
As is stated in the project name and objectives, the
target group is represented by the maritime lectur-
ers, mainly younger lecturers, beginners in themar-
itime academic. In this category we are including
all lecturers, staff of the university, with ages under
35yearsold.
Also, older lecturers, are included in the target
groupof theproject, especiallyincontinueformative
part.
Theattendancetotheproject coursescanbemade
atthebeginningof activityinthemaritimeacademicor
after atime, buttonotexceed35yearsold, for theini-
tial formativepart.Bettersolutionwill betoattendance
in thefirst year of thelecturer carrier, when knowl-
edgesreceivedduringclassesisfreshandcapacityto
catchnewknowledgeishigher.
Accordingwiththiscriterias,inthepresent,inCon-
stantaMaritimeUniversity, theteachingstaff onage
levelsisformedby:
under 35 years: 22 persons, with positions as
assistant professor andlecturer;
between35to 40years old: 7persons, withposi-
tionsasassistant professor, lecturersandassociate
professor;
40yearsoldandafter: 51persons, withpositionas
lecturer, associateprofessor andprofessor.
This statistic show that 40 percent of the present
teaching staff of the university is mark as principal
targetgroup,abletopassthroughall stepsof theforma-
tiveprogram. Inthisstatisticwetakeinconsideration
as target on younger lecturers group staff with ages
between35to40yearsconsideringthat thesepersons
arelecturers with experienceon sea, who start their
carrier onboardshipsatfinishingof studyperiodand
after theyhasbecometeachersor trainers.
3.4 Project development
Initial andcontinueformativeactivitiesfor academic
staff supposedtraininginmodernteachingtechniques,
IT domain, simulation applications and in human
resourcesmanagement.
Inthisdirectionwill becreatecoursesfor lecturers,
with topics as Teaching curricula development,
Using of simulation techniques during training
process, Advanced concepts in virtual learning
method, Humanresourcesmanagementinmaritime
academic, Maritimeacademicsystemdevelopment
in knowledge management context, Use of new
technologiesfor researchpurpose.
These courses has importance in the context of
changesinthemaritimetrainingsystem, whereinthe
present it seenthetendenciestopassfromtheoretical
basetotheory-practicecombination.
Teachingcurriculadevelopment isacourseded-
icated to familiarize younger lecturers with actual
premiserequestedby maritimefieldcurriculawhich
must containIMOrequirements, ascompulsory, also
new elements imposed by technical development in
the sector. Here are explains modalities of curric-
ulaconception, contents, compulsoryelements, hours
repartition on course and practice, detailing of each
courseandpracticeclass, trainer andtraineemanual
elements, use of electronic course development and
waystobedeliveredtothetraineesandother aspects
characteristictoeachcurricula.
The second course developed, is one of the prin-
cipals, here is describes the actual simulators used
in the training process and present in the university
possession.Thereareincludedsimulatorsof shiphan-
dling and navigation, liquid cargo operation, engine
operationandcrisissituations.
Using of simulators during training process, in a
correctlyway, canreducethemissingof practiceexpe-
rienceof thefirst yearsstudents, theyareabletofind
andbefamiliarizedwiththefutureequipmentsusein
thedailyactivitiesonboard.
But, for a right use is necessary trainers trained
accordingly with scopeof training. Is obviously that
not all courses need simulation application. But,
coursesrelatedmainactivitiesonboard, asnavigation,
shiphandling, engineoperationandcargo operation,
dependbytheuseof simulatorsduringtraining.
Simulatorsarenewteachingtechniquesintroduced
in the process. Once appear these request persons
trainedfor their use. Theincreasednecessity of sim-
ulator training asks for more persons able to use it.
For this, younger lecturers can be the ideal solution
to becomesimulator trainers and thepresent project
course let themto enter in this area of training and
provideknowledgesandpracticeinsimulation.
Advancedconceptsinvirtual learningmethod is
acoursecreatedaccordingwiththeEuropeaninitia-
tivetoimprovetheeducationsystemthroughabetter
communication between actors usingtheadvantages
offer bythelatest technologies, thevirtual world. The
concept developinthiscourseisover thepresent idea
710
of virtual learning, treatasawebbasedsystems, where
arepostedmaterials withscopeto bedownloadedor
accessedtobereadontheweb. Thenext level inthis
trend is to createthevirtual teacher, atechnology
basedoninteractionbetweenteachersandstudentson
avirtual platform.
To realize this concept is necessary as teacher to
knowto control thevirtual platform, to createmod-
ules on this and to keep it up to datewith thelatest
researchesinthedomain.Interactivityofferpossibility
totransfer dataoninterestedsubjectsbetweenteach-
ersandstudents, helpbothparticipanttoimprovetheir
knowledges. Here, teachersbringlatestresearches, as
scientificandstudentscanexplainthepractical expe-
rience, ownlivedandhowispossibletoaccomplished
thetrainingprocesstothereal applicability.
Humanresources concept inthepresent project is
built on actual strategies in the maritime academic
regardingmanagementprincipalsof humanelements.
Thesystemchangesmadeinthelastperiodaffectalso
the human resources manage, dividing personnel in
sectors of activities, as teaching and research areas.
Management of resources in teaching areasupposed
capabilities to organizeacademic staff on university
curricula, tonominateright trainedpersontoaccord-
ing course, to lead activities during course period,
includingstudentmanagementoncurriculaactivities.
Intheresearcharea, humanresourcesmanagement
has maingoal thepeopleselectioninorder to create
agoodanddevotedteams insideprojects developby
theuniversityor incollaborationwithother educative
institutionsor withpartnersfromeconomical field.
Knowledge management represented a creation,
maintain and consolidation process of knowledges
inside of an organization, for their use in the most
adequatemodalities to createvalues and to generate
competitiveadvantages.
In the new approach, users are producers and
knowledgemanagers, notonlyconsumers, knowledge
management beingseenasacyclicprocess, implicat-
ingthreecorrelativeactivitiesascreation, integration
anddisseminationof knowledges.
Organization flexibility, adaptation capacity, real-
ized through newknowledges accumulation haveto
beorganizationbasiccharacteristicfor it evolution.
Knowledgemanagement systemisaspecifictech-
nological system designed for the management of
functional bringinginof distributedelementsof hard-
ware, software and network compounds in a single
functional unit, whichsustainsknowledgeproduction,
acquisitionandtransfer processes insideoneorgani-
zation. In order to realize this design of knowledge
management systeminavirtual communityisimper-
ativetohaveaprofoundunderstandingof cooperation
inside groups or organizations, this implying both
artifacts and social conventions. This field consists
beside computer sciences (knowledge engineering,
distributed artificial intelligence, user interfaces) of
someother disciplines: psychology, ergonomics, lin-
guistics, sociology, organizational and management
sciences.
At theend, but not in thelast, theresearch activ-
ities arevery important in lecturer formation and to
thistheproject includeselementstohelpour younger
colleaguestobecomegoodresearchers.Thescientific
activitiesarebasedonthetechnological advanceand
theuseof theseisessential inmanyresearchfields.To
beabletoinitiateandcompletearesearchprojectsup-
posetoknownecessarytechnologiesforitscope.Also
areincludedtechniquesof research, waystorealizeit
and how to evaluate results in order to disseminate
realizationstothescientificworld.
Wethingthatall thesecourseswill beprofitablefor
personswhocomeforthefirsttimeincontactwiththe
maritime educational systemand it processes, help-
ing themto integrate easily and to reach necessary
competences to push forward the maritime educa-
tional process. For already involved person in the
systemthesecanupdatesomeaspects relatedtonew
approaches, technologiesandcurrentsinthemaritime
academic.
Beside of courses developed by our university in
theproject, theattendant persons havepossibility to
participatetocoursesdevelopedbyOvidiusUniver-
sity fromConstanta, as psycho-pedagogical training
for lecturers, WorldMaritimeUniversity, intheMar-
itime English field or provided by other institutions
withdutiesintrainingof lecturerscompetencies.
3.5 Project complementary
Theproject isindirect consonancewiththeEU poli-
cies for maritimeuniversity level, expresses through
documentsasAnIntegratedMaritimePolicy for the
European Union, issued in 2007 and Green Paper
onafutureMaritimePolicyfor theEU, 2006. Inthis
way,theprojectobjectivesandactivitiesareelaborated
accordingwiththeEuropeanpoliciesfordevelopment
of humanresourcesineducational field.
Inside of MARCON project objectives can be
seencomplementaryelementswithdifferentLeonardo
daVinci projects, as Developing the competencies
of maritimelecturers, whichobjectivesaretheiden-
tification, analyzeand description of thebetter edu-
cational systemfor teaching personnel in academic
level and to consider the formative and informative
educational systemasprofessional experience.
Anothercomplementaryprojectise-Marinefrom
Leonardo daVinci program, axedoncreationof two
learningcenters, real andvirtual, dedicatetomaritime
andport operationtraining. Insideof thisproject has
beenidentifiedandelaboratednational standards for
sevenprofessions, alsohasbeencreatedtwotraining
centers, one virtual, for online training, in maritime
field with topics in pollution prevention, increasing
of safetyof navigationandmaritimesecurity, another,
as formativecenter for professions in port operation
field.
The MARCON project is also in consonance
cu the Waterborne Technology Platform program
strategy, which objectives are: safety, support and
operations efficiency; European maritime industry
711
competitiveinorder to facilitateincreasingandeven
tochangethepatternof actual maritimecommerce.
3.6 Expected results
Throughthis project is expectedto createcompeten-
ciesforyoungermaritimelecturersandtoimprovethe
competenciesof theolder lecturers.
The creation of courses bilingual, Romanian and
English, permit other lecturer fromnational andfor-
eign universities, maritimeparticular, to takepart to
thesewithimpact inthenumber of personsincluded
intheprogram.
Taking acknowledge of materials contained dedi-
cated to initial and continue formative of maritime
lecturersandafter toreply withownevaluation, con-
siderationandproposals for improvement of courses
will leadtoabetter correlationof lecturerscompeten-
cieswithmaritimeindustryneeds.
4 CONCLUSIONS
Theworldeconomyischanging,themaritimeindustry,
aspart of it, ischangingtooandtherequirementsand
necessitiesareremodeled. Toachievethesenewchal-
lengesisnecessarytoredesignthetrainingsystem, the
approachprinciplesandpeopleinvolved.
It will not beeasy to changetheactual format of
maritime training system, mentalities or main top-
icsapproach. Thetransitionmust bestartedfromthe
new lecturers generation and completed with older
lecturers through programs for initial and continue
formation.
This programs idea has the advantage of mobil-
ity, the ability to reach to different generations, to
shapeupthecontentaccordingtopresentrequirements
and to apply that parallel with the daily activities.
Being based on printed and virtual components, it
canbeaccessedby ownpersonnel andby theoutside
personnel, fromother universities or fromeconomic
fieldoninterestingfields.
ThecoursesdevelopedintheMARCON project
arecreatedintheactual trendof maritimeeducation
andcometohelplecturerstoimprovetheir competen-
cies or to createnewones, particularly thoserelated
to the use of latest technologies, computerized and
simulationprocedures.
Thecompetenciesandqualificationachievedatthe
endof theteachingprocessescontainedbytheproject,
will makethemaritimeacademicsystemmoreattrac-
tive, withcompetent personnel andabletoprovideto
themaritimeindustry, well trainedofficerstofacethe
newrealitiesinthefield.
The collaboration relationships developed in the
project context betweenthetrainingsystemandmar-
itimecompanieswill helptherightful deductionof the
maritimeindustrynecessities.
According with its structure and concepts, the
MARCON project canbeincludedintheEuropean
project ideasdedicatedtothemaritimetraining.
REFERENCES
DecisionNo1145/2002/EC of theEuropeanParliament and
of theCouncil of 10J une2002onCommunity incentive
measuresinthefieldof employment, Official Journal of
European Union, 2002
DecisionNo. 1720/2006/ECofTheEuropeanParliamentand
of TheCouncil, Establishinganactionprogrammeinthe
field of lifelong learning, Official Journal of European
Union, 2006
Niculescu, C. 2003. Mananagementul decunostiinte: abor-
dari si tendinte, Integrating Distance Learning in Knowl-
edge Management, Proc. intern. symp., Bucharest, May
2003
Anechitoaie, C. & Surugiu F. 2008. International Maritime
OrganizationsandConventions, J uridica, Bucharest
712
16.4
Mentoringandthetransfer of experiential knowledgeintodays
merchant fleet
A.L. LeGoubin
London Offshore Consultants, Houston, Texas, USA;
The Nautical Institute, London, UK
ABSTRACT: Accordingtovariousstatistics, thenumber of marineaccidentsisrising, andrecentincreasesin
thecost of P & I insurancecover providesfurther evidencethat thecost of theseaccidentsisalsosoaring. This
paperestablishesthatacontributoryfactortotheincreaseinaccidentsisthatexperiential knowledge(knowledge
gainedfromprofessional, onthejob experiencesandreflectedupon) isnot beingpassedfromsenior tojunior
officers onboard many merchant vessels, in the traditional way that it used to be, by mentoring. Following
worldwideresearch throughout themaritimecommunity by questionnaire, and ethnographic research by the
author, thepaper will showwhatisconsideredtobethemostsignificantlackof knowledgeandcausationof this
lack of knowledge. It will offer somepractical suggestionsthat maybreak downthesebarriersandre-establish
theflowof experiential knowledgeinthemulti-national, multi-cultural merchant fleet of today.
1 INTRODUCTION
Thispaperisprimarilybasedonresearchrecentlycon-
ductedin partnershipwith theNautical Instituteand
Middlesex University inLondon. Thepurposeof my
research is to show that a contributory factor to the
occurrenceof marineaccidents, isexperiential knowl-
edge (knowledge gained from professional on the
job experiences andreflectedupon) not beingtrans-
ferredfromsenior tojunior officersonboardmodern
merchant navy vessels by mentoring; to identify the
barriersthatarepreventingthistransferof knowledge,
andthentoprovidepractical suggestionsthatwill help
re-establishtheflowof knowledge.
In addition, it is my aimto engage the maritime
communityinaconversationaboutmentoringandthe
transfer of experiential knowledge, for although one
may not agreewithwhat I amsaying, thevery act of
disagreeingisengagingandisraisingtheconceptual
profile.
Duringthispaper I will brieflydiscuss:
What is considered the most significant lack of
knowledgeat seatoday
Thecausationof thislackof knowledge, and
What can be done to re-establish the flow of
knowledge.
Throughout this paper youwill noteun-citedquo-
tations. These are taken directly from my research
questionnaires and, whilst due to agreed confi-
dentiality I cant name the responder, I gratefully
acknowledge their contribution by engaging in this
conversation.
2 DEFINITIONS
Inthispaper I haveusedthefollowingdefinitions:
1 Candidate Anyonereceivingexperiential knowl-
edgebymentoring.
2 Experiential Knowledge I havedefinedthis as
knowledge gained fromprofessional on the job
experiences and reflected upon. This knowledge
cancomefromawidevariety of sources or expe-
riences but, in my opinion, it often has the most
impact when it comes froman accident, incident
or near miss; however it does needtobereflected
upon before it can become experiential learning.
I will saymoreonthisfurtherintomypresentation.
3 Mentor TheOxfordEnglishDictionarydescribes
aMentor asan experienced and trusted adviser
andsourcestheoriginof thewordasfromthe name
of Mentor, the adviser of the young Telemachus in
Homers Odyssey. Inthecontext of my researchI
simplydefineit asthepossessor anddistributor of
experiential knowledge.
4 Mentoring Mentoring is a form of knowledge
transfer based in part on altruism DavenportT. &
Prusak L. (1998). I likethis definitionas, for me,
it sumsuptheunselfishact of knowledgetransfer
thatI myself benefitedfrominmyearlydaysatsea.
Forthepurposeof myresearch, I havefollowedthis
themeand defined mentoring asthe act of shar-
ing knowledge without a designated reward, which
definitioninitself has causedacertainamount of
debate, but I believeit suffices.
5 Reflection A thoughtful (in the sense of delib-
erative) consideration of your experiences, which
713
leads you to decide what the experience means to
you. Instituteof WorkBasedLearning. (2008).
3 STATISTICS& SUPPORTINGEVIDENCE
AccordingtoDNVupdated figures for 2007 showthat
losses fromnavigational accidents within the shipping
industry are continuing to increase. SomaT. (2007).
Inthispaper I havenot incorporatedstatistical datato
supportmyfindingsas,lackof experiential knowledge
is not generally citedas acontributory root causeof
accidents, andthereforeitsuserequiresinterpretation
of accidentreports. Instead, I haveconcentratedonthe
supportingevidencegainedfrommyresearch.
4 MOST SIGNIFICANT LACK OF
KNOWLEDGE
Up to 70%of skill is learnt fromexperience Trautman
S. (2007). It is this maritimeskill pool that I believe
isnot beingpassedonintheway it usedto, by men-
toring. Withthis inmind, andhavingdetermined, by
questionnairethatinsufficientexperiential knowledge
transfer is consideredto becontributingto accidents
andincidents, I went ontofindwhat isconsideredto
bethemost significant elements contributingto this
lack of professional knowledge in todays Merchant
Navy.
I must be honest; when I began this research I
expectedtoseethenowcommonthemesof, applica-
tionof collisionregulations, standardof certification
trainingandrelianceonelectronics, tonameafew, to
bethemostprominentresponsetothequestionI posed;
what, in your experience, is the most significant lack
of knowledge, that leads to accidents and incidents?
Theseexpectedresponsesdidoccur, but not asasig-
nificantnumber, approximately53%of myresponders
citedelementsthatI havecollectivelygroupedas, lack
of feel, seamanship, intuition, practical knowledge
andexperience.
But what aretheseresponsesactuallyreferringto?
Whilst much can be taught at college about seafar-
ingit has to be complemented by practical advice from
senior personnel, however for the advice to be under-
stood the recipient needs to have (for want of a better
word) a feel for seafaring.
Inthesensetheverbtofeel issynonymouswithto
experience, I believethat theseresponders areartic-
ulatingthesamelack of experiential knowledgethat
I amreferringtointhispaper. Let megiveyouafew
moreexamples:
Ships officers have ceased to be trained to think
and act independently, make decisions based on
their own judgments and be accountable for them
Modern seafarers lack a feel for the sea
Inability to act intuitively, and
The inability of modern officers to use their own
senses, such as sight and sound and their brains to
make decisions.
It isnot somethingtangible, nor isit asubject that
canbetaught incollege, althoughtheconcept should
beaddressedandthecandidatesencouragedtopartic-
ipateinexperiential knowledgetransfer. Itis, asoneof
myconsultantcolleaguessosagelyputsitthose gems
of wisdomthat are passed on during an operation, and
that consolidate theoretical knowledge.
5 CAUSATIONOF THE LACK OF
KNOWLEDGE
My next question then is what is the causation of
this lack of knowledge? Thisquestionprovidedmuch
morebalancedresultsandI list theeight topanswers:
1 DemandsonMasters/Senior Officerstime
2 Rapidpromotion
3 Multi national / cultural crews
4 Poor training/ lackof basicknowledge
5 Attitude/ lackof interest
6 Employinganyonewhohasaticket
7 Inexperience, and
8 Noformal systemof trainingfor Senior Officers.
ItisthefirstfourresponsesI wanttoconcentrateon,
astheyrepresent approximately54%of theresponses
tothisquestionandagain, I believetheyindicateinad-
equate experiential knowledge transfer. Taking each
inturn, I will discusshowI believeeachcausationis
affectingthetransfer of experiential knowledge.
5.1 Demands on Masters/Senior Officers time
Officers are struggling to keep their heads over the
growing responsibilities and additional paperwork
that has come about due to the additional requirements
that have come about in the last decade.
Machines have many qualities but common sense
isnt one of them. And common sense is lacking in too
many seafarers today. The Master has a vital super-
visory role of support of the OOW and this role is
being neglected by the demands of the office on the
Masters time.
I think we can all agree that the Senior Officers
onboard todays ships are far busier than they were
in say the80s when I was deep sea. I amat times
bothshockedanddejectedtoseethechangesthathave
occurredtothemerchantfleet, or morespecificallyto
themarinersonboardtodaysships, astheystruggleto
comply withtheeveryday requirements of runninga
modernmerchant vessel.
Lack of time onboard due to fatigue of Officers.
Much has been written about the effects of fatigue
includingsomeverygoodpapersSeafarer Fatigue
The Cardiff Research Programme. Smith A. et al
(2006). Thereis littledoubt that fatigueis aprimary
causeof accidentsbutconsiderforamomenttheeffect
itishavingonmentoring; howmanyof usduetowork
commitments havetimeas fathers for our own chil-
dren?At times duringavoyageweareoftenso tired
that wecanbarelystandup, let alonetaketimeout to
714
showthethirdmateagainhowtodoarelativelysim-
pleoperation. Do it yourself, do it properly, thereis
alwaystomorrowtoshowher again. Butthatopportu-
nityfor knowledgetransfer haspassedandmaynotbe
re-createdprior totheincident!
Masters, Officers are so busy with paperwork that
they have no time to observe the crew during their
work. If I spend the day on deck when am I going to
complete my other jobs, when am I going to sleep and
what about STCW?
This is an interesting comment, although I know
thatthisresponder wasreferringmoretohoursof rest
thanwhenwashegoingtofindthetimetobeamentor.
Sowhat about STCWandthetransfer of experiential
knowledge are there any provisions for the inclu-
sionof thisconcept? I cannot findany referencethat
specifically looksat theknowledgesharingthat I am
referringto but that does not comeas asurprise
however, much is said about training and the mini-
mumstandards required for certification. Keep this
in mind, as I will mention more about a structured
trainingschemefurther intothispaper.
5.2 Rapid promotion
I havelookedatthenewfoundationdegreeofferedby
theUK for trainingof candidatesfor their first OOW
Certificateanditlooksveryfamiliar. Itisathreeyear,
fivephasecourse, verysimilar totheoneI embarked
onin1980althoughI achievedanHNDandnowthe
newofficer will achieveanhonorsdegree, inkeeping
with many of the other maritime training establish-
ments around the world. Further, the UK Maritime
CoastguardAgency (MCA) reminds us; Master and
Officers need to know that the standards expected of
the candidate (when competence is reached) is that
of a person about to take up the job for which the
award is made. Cadets are expected at the end of their
training to be competent to start to undertake the job
of watchkeeping officer, but they will clearly be lack-
ing in experience. MCA (2008). Nothinghaschanged
there!Sowhatistheproblemthatsomanyatseatoday
arereferringto?Let uslookat afewof thecomments
I received:
The manning agents get one or two good reports
about someones performance, and they are fast
tracked for promotion often beyond their capabil-
ities. On the reverse side, I have seen some junior
officers demanding promotion after one or two con-
tracts in a particular rank or threatening to leave
regardless of whether the senior officers believe they
are suitable.
Lack of time in the long term meaning of the word.
Promotions are happening very quickly, people do not
have time to experience their knowledge and are being
moved one rung up the career ladder. Thisisaninter-
estingconceptualizationof thelearningprocesswhere
peoplearenot in arank long enough toexperience
their knowledgeorperhapstoexpandtheirknowledge
basesufficientlywithexperiential learningtomoveon
tothenext rank.
Many officers today are promoted quickly and
as a consequence, lack the foundation of a proper
knowledge base.
The lack of skilled seafarers has also resulted in a
need to employ people who would previously have not
been considered as being suitably experienced for a
particular rank.
In answer to this question the respondents who
referred to rapid promotion spoke of promotion
betweenranksandnotthelengthof timethatittakesa
seafarer toachievehis/her first watchkeepingqualifi-
cation. ThereforeI believewecanassumethat initial
trainingis still adequateandthat thereis further evi-
dencethatitistheexperiential knowledgetraditionally
gainedbetweenranksthat ismissing.
5.3 Multi national/cultural crews
This is always a difficult subject to approach and
articulate but I believe that it does affect the trans-
fer of experiential knowledgeand thereforemust be
addressed in an ethical manner, supportive of the
current regime.
Much can be traced back to the huge changes that
took place in the industry in the early 1980s. Initially
the ship owners continued to employ senior offi-
cers from traditional maritime nations but employed
cheaper junior officers and crew. This resulted in an
almost complete break in the flow of knowledge to
seafarers who they believed would take their jobs.
This responder goes on to comment as things have
progressed and the number of experienced officers
and crew has diminished, there has been a tendency
for crewing agencies to hire a crew of many different
nationalities. On individual ships this has sometimes
resulted in an almost complete breakdown in the
inter-personnel communication.
InsomewaysI amgladtosaythatthe80sarenow
well behindusand, inmost cases, wehavemovedon
fromtheattitudedescribedabove. I spendasignificant
amount of mytimeonboardmerchant vesselscrewed
by astaff of mixed nationalities and, with respect to
thedifficulties sometimes observed, believethat the
problemsactuallyliefar morewithalanguagebarrier
thanwithacultural barrier. AsI haveundertakenthis
ethnographicstyleof researchI havealsonotedthatthe
problemsseemtobefarmoreprevalentonvesselswith
twonationalitiesrather thanthosewithmany. Thisis,
inmyopinion, duetothenecessitytocommunicatein
acommonlanguageonamulti-national crewedship,
whereaswiththoseof just twodifferent nationalities,
there is a tendency for each nationality to commu-
nicate in their mother tongue and to only converse
between the two in a common language when nec-
essary, inessence, de-voidingthevessel of anysocial
communicationbetweenthenationalities.
Consider for a moment how much experiential
knowledgecan begained by just listening to people
talkingabout aproblem, if they aretalkingin alan-
guageyou understand, and conversely, how much is
lost if theyarenot.
715
5.4 Poor training/lack of basic knowledge
Lack of time for informal training Undermanned
ships and over worked staff prevents mentors to take
time off their busy schedule and take personal interest
in training of juniors.
Fromtheprevious quotes discussedearlier it does
notappeartobetheinitial collegetrainingthatrespon-
dentsarereferringto, butthetrainingthattheyreceive
onboard ships. This, I believe, further evidences the
need for all of us to have this conversation and to
determine how we are going to share experiential
knowledgeagain.
6 SHARINGOF EXPERIENTIAL
KNOWLEDGE
Sowhat canwedo? Howcanexperiential knowledge
beshared in todays merchant fleets? Thefirst thing
istoacknowledgethat thereisaproblemandthento
ask who is affected? Amongst others, I believe this
list would include seafarers, ship owners, managers
andcharterers, portsandcoastal states, flagadminis-
trations, underwritersandenvironmentalists, although
not necessarily inthat order of precedence. If weare
all affectedby theproblemweshouldall beinvolved
insearchingfor asolution.
Timeandbrevitypermitmetoonlygiveafewexam-
plesof thewaywecanre-starttheflowof information.
I wouldcautionthatnoneof thesesuggestionsmustbe
allowedtoincreasetheseafarers workload.Theymust
be incorporated within the current daily operations
as cultural andprocedural changes or developments,
introducedethicallyandquietlyateveryorganisational
level.
6.1 The 10 minute challenge
ThisissomethingI wouldlikeeveryonetoundertake
who believe they may be affected by the problem.
Sit quietly for just 10 minutes and reflect on what
your greatest concerns are regarding lack of knowl-
edge. For myself as ashipmaster, it wouldstart with
if any one is looking out of the bridge window, or
is there total reliance on technology to keep a look
out. Havingdeterminedyour greatest concern(s), do
somethingaboutit. Inmyexample, I wouldtalktomy
OOWs anecdotally, with examples of clear weather
collisionsthathavehappenedrecentlyonmodernships
and hence why it was important to keep a visual
lookout.
I often wonder howmany masters who havecon-
cernsregardingcompliancewiththeir standingorders
havetakenthetimetoactually explaintotheir junior
officers the relevance of these instructions and the
potential consequences of non-compliance, for both
parties. Or is asignatureof understandingsufficient
becausethereis no timefor more, or perhaps afear
that it could invoke a response? 10 minutes is all it
wouldtake.
6.2 On the job opportunity
To gain the maximum amount of synergy from on-the-
job experience, cognitive apprenticeships or a trans-
formational learning event requires teacher/facilitator
support. Mentoring, guiding, debriefing or teaching
is required to maximize the learning opportunities.
Gray I.S. (2007). To achieve this gain I believe we
need an adaptive, structured approach to mentoring.
Most established shipping companies had a formal
systemin place ten or twenty years ago and in my
early career it was expectedthat I wouldunderstudy
the next rank above. This structured systemshould
permeatethroughall onboardactivitiesandshouldbe
utilizedthroughall stagesincluding:
1 Preparation ThiscouldbeaslargeasaJ obSafety
Analysis (J SA), perhaps a toolbox talk or quite
simplyjustthemaster,mateorchief engineertaking
acoupleof minutestoexplainwhat isexpectedto
happen.
2 Execution While the job or task is under-
way the mentor should try and point out impor-
tant/interesting moments and facts and explain
themtocandidatesorbetterstill,letthemundertake
thetaskunder supervision.
3 De-briefing After the job or task has been
completed, timeshould beallowed for questions,
commentsor opinion.
Onecanimaginethedifferencethismight maketo
akeenyoungofficeronthebridgewhoisusedtostay-
inginthechartroomplottingpositionsbyGPS, when
approachingaportor anchorageandisallowedtocon
thevessel under supervisionthroughtheabovetasked
stages. Evennow, I still remembertheprideI feltwhen
asthirdmate; I wasallowed, under themasterssuper-
vision, tokeeptheconof alargeroro/container vessel
aswetransitedabusyDover Strait.
I believethateveryoneshouldberoutinelytraining
his or her successor. Evenonsmall tasks not requir-
ing formal preparation, every opportunity should be
takentopassonexperiential knowledge. If thisethos
is followed it should soon becomeembedded within
thecultureof thevessel witharesultant improvement
inoperational standards.
6.3 External learning facility
Withaccesstotheinternet nowavailabletoshipsit is
possiblefor companies to build awebsitethat gives
themariner real timeinformationonavarietyof sub-
jects perhaps relatingto vessels withinthecompany,
ports visited, cargos carried etc. This is a good way
of sharing information within the company and of
transferring experiential knowledge remotely. Some
companieshavetakenthisfurther andemployknowl-
edgebrokerstofacilitatethis, but it doesnot needto
be that elaborate. I know of one company that used
to havearadio conferencecall with all their vessels
eachmorning; whatagreatwayof transferringexperi-
ential knowledgeinformally. Thisconcept couldalso
716
bedevelopedat institutionlevel withaccesstoonline
mentors. I knowfrommyresearchthattherearemany
professional, experiencedpeoplewillingtosharetheir
knowledgeif wecanjust facilitatethetransfer.
Onboard a more structured approach may be
necessary juniors setting down their questions, com-
ments and areas of bewilderment at the actions taken,
in an electronic format which could then either be
passed on to the senior officers on board or to spe-
cific mentors elsewhere. The second option provides
some anonymity for the questioner but the first option
could/should elicit a response from the senior officer
involved in the situation in question. I haverecently
seenasimilarconceptinplaceforsafetyissues. When
a potentially unsafe act or occurrence takes place it
is dealt with immediately and then a card is filled
in detailing the instance. This card is reviewed at
thenext daily management meetingandany required
action taken. The card becomes part of a closed
loopsystemensuringfeedback. Perhaps this styleof
approachcouldbeusedtogainexperiential knowledge
froman action, when the heat of the moment has
passed.
6.4 Distribution of accident investigations
I thinkthatitissafetosaythatweall liketoreadagood
accident report. I know that whenSeaways arrives
each month the MARS reports are usually where I
start reading and, as I said right at thebeginning of
this paper (experiential) knowledge can come from a
wide variety of sources or experiences but, in my opin-
ion, it often has the most impact when it comes from
an accident, incident or near miss; however it does
need to be reflected upon before it can become expe-
riential learning. Many countries produceexcellent
reports but how many of themactually get to ships
wheretheycanbereadandreflecteduponbythesea-
farers? Onesuggestion, whichcamefromoneof my
consultant colleagues, is toincludeanewsletter with
lessons learned fromincidents and accidents in the
weeklyNoticetoMarinersthatissenttoeveryvessel.
Not only wouldtheseafarers beableto readthis but
also it would provide an excellent source of discus-
sion between mentors and candidates. J ust recently,
IMO has adopted thecodeto makemarineaccident
investigations by Flag/Coastal States mandatory and
thesereportswill bemadeavailabletotheindustry, so
thisisanideal opportunitytoensurethattheyreachas
wideareadershipaspossible.
Inthiscontext, thought must alsobegiventopro-
ducingthesereportsindifferentlanguagesasI believe
somuchvalueislostif theyareonlyinEnglish. What
useis an accident report highlightingthedangers of
(say) operating a winch if the winch operator only
speaks Chinese? Here, I believe P & I Clubs could
playasignificantroleandmutuallybenefit, byhelping
to ensure that the experiential knowledge is trans-
ferredto their members staff inalanguagethey can
understand.
6.5 Structured training scheme
Frommy research to dateI can find littleindication
that officers gaining their first certificateof compe-
tency are any less trained or experienced than they
used to be, in fact in some fields such as the use
of electronics they are very often experts! It is the
next step that is causing concern as theofficer pro-
gressesthroughtheranks. For thoseseafarersaspiring
to, orrecentlyhavingtakenupcommand,TheNautical
InstituteCommandDiplomaSchemeprovidesanopen
learningschemebasedonthepublicationThe Nauti-
cal Institute onCommandwiththediplomaawardedto
thosewhosuccessfullycompleteinter alia all therele-
vanttasksinalogbook. Butwhataboutthoseofficers
who arebetweentheir first andlast certificate, what
istherefor themtoensuretheyaregainingsufficient
knowledge?
Thereareschemesavailablefor thisandI amaware
of at least two companies that incorporatetheminto
theirtrainingandcareerdevelopmentprogrammesbut,
inmy experience, this is not common. I recommend
thatwedevelopandadoptauniversal, formalizedsys-
temof continuous professional development through
theranks possibly by extendingtheCadet Record
Book system this is atask book system all the
way upto chief officer/2ndengineer whereit should
meet upwiththeNI scheme. Thesuccessful comple-
tion of the training programme would then become
pre-requisitetothepromotionof theofficer.
6.6 Increase in staff
Wehavealready determinedthat fatigueis aserious
issueonboardof merchant vesselsandanundisputed
cause of accidents and incidents. I amalso a realist
andrealizethatmostshipownerswill notincreasethe
staffinglevelsonboardshipsunlessforcedtoby leg-
islation. I wouldurgetheresponsibleadministrations
tore-visit theissueof safemanningcertificatesinthe
context of not only operatingtheshipsafely but also
ensuringthat theoperators workloadis manageable,
leavingsufficienttimeforotheractivitiessuchasmen-
toring. Consider for amoment thenumber of shipsin
your regionthat havejust twowatchkeepingofficers,
what chanceis therefor oneto understudy theother
whentheyareworking6onand(theoretically) 6off?
InthiscontextI ampleasedtoreportthatsomeship
ownershaveconsideredthisandprovidedanextraoffi-
cer onboardtheir vesselstoassist withtheworkload.
On onetanker I was aboard recently themaster had
ayoung, newly qualifiedthirdmatetoact ashissec-
retary. This officer was also able to relieve another
officer as necessary on the bridge or on deck. The
systemworked admirably and what wonderful expe-
riential knowledgethat youngofficer was gainingin
preparationfor whenhebecameMaster.
Another suggestion comes fromRik F. van Hem-
men in his paper The Need for Additional Human
Factors Considerations in Ship Operations wherehe
suggests that an additional officer be carried as an
environmental officer. Thisadditional seafarer would
717
beachief officer or secondengineer nearingpromo-
tionandhe/shewoulddeal withall theenvironmental
requirements of the vessel whilst understudying the
master or chief engineer. I believe that this position
wouldalsolenditself well totheconceptof mentoring
andthetransfer of experiential knowledge.
7 CONCLUSIONS
The fundamentals of seafaring (for deck officers in
particular) have not changed over time. To put it
simply to get from A to B without hitting anything,
running aground or sinking! For various reasons it
appears that many do not understand the basics now
at sea and that this lack of understanding is not caused
only by a lack of training.
Thereis no doubt in my mind that theloss of the
transfer of experiential knowledgeby mentoringis a
problemwithin todays merchant fleet. My research
providesevidence, butI havealsoseenitwithmyown
eyes, particularlyover thelasttenyears, asapilotand
nowasamarineconsultant. Itisnotaheadline prob-
lemlikefatigueandtothebest of my knowledgehas
yettobecitedduringarootcauseanalysis. Butitexists
andit needstobeaddressed.
Isit toolate? It certainly isachallenge, especially
whenitisthemostsenior officersthatlacktheexperi-
ential knowledge. But ontheplussideit isaproblem
thatcanbesolved, whereanyonecaninstigatechange,
whatevertheirposition.I respectfullychallengeevery-
onetoengageinthisconversation,toreflectonthevast
amount of knowledgethat youhaveandtotakeafew
minutes out of your busy schedules to pass a piece
of it on. It does not haveto bemuch, but it may just
bethat gem of wisdom that makes thedifferencein
somebodyslife.
Consider alsotheexperiencesthat youhavehadin
your life to date, some are good and some are bad,
but theknowledgethat comesfromthoseexperiences
can only ever be good. I personally believe that, as
masters of our various trades, we have a traditional
dutytopassonour knowledgethroughmentoring(or
whatever you want to call it) and to put something
backintoour communityof practicethat hasgivenus
somuch.
For, whilstthisisbuta drop in the ocean oceans
are made of drops.
REFERENCES& BIBLIOGRAPHY
Davenport T. & Prusak L. Working Knowledge. (1998).
Boston, USA. HarvardBusinessSchool.
Gray. I S. Experience, learning and change, acomponent
of a coursework Master of Education (Adult) Program.
(2007). Universityof TechnologySydney.
Instituteof Work Based Learning. Reflecting on Learning
Handbook. (2008). London. MiddlesexUniversity.
J effreyR.LeadershipThroughout. (2007). LondonUK.The
Nautical Institute.
Marine Coastguard Authority (MCA). A Masters Guide
to the UK Flag. (2008). Availableat www.mcga.gov.uk
Accessed22ndNovember 2008.
Oxford. Oxford English Dictionary. (2008). Available at
www.askoxford.comAccessed19thNovember 2008.
Smith A., Allen P. & Wadsworth E. Seafarer Fatigue
The Cardiff Research Programme. (2006). Available at
www.socp.org/Cardiff%20research_report.pdf Accessed
21st November 2008.
SomaT. It takes management commitment to reduce acci-
dents. (2007). Availableat www.dnv.comAccessed01st
November 2008.
TrautmanS. Teach What You Know. (2007). USA. Prentice
Hall.
Van Hemmen H. The Need for Additional Human Factors
Considerations in Ship Operations. (2008).
718
16.5
Stakeholder satisfaction: Researchevaluationof marineengineeringcadets
performanceat MaritimeUniversity, Philippines
R.A. Alimen, M. Gayo, J r. &V.B. J aleco
ABSTRACT: Thisstudywasconductedtodeterminethelevel of stakeholder satisfactionandgather qualita-
tiveviewsandideasamongtwentyfive(25) companypartners crewmanagers, personnel managers, training
directorsof thedifferentshippingcompaniesbasedinManila, Philippines. Thesecompany-partnersaredirectly
involvedintheevaluationof performanceof marineengineeringcadets, specificallyof theMarineEngineering
Department, J ohnB. LacsonFoundationMaritimeUniversity-Molo, Iloilo City. ThePerformancePrism(PP)
Theory was usedinthis study as theoretical framework to measurestakeholder satisfactionof different com-
panypartners. Thisisaninnovativeperformancemeasurementandperformancemanagementframeworkof the
secondgeneration. Employingquantitative-qualitativemethodof analyzingtheobtaineddata, thestudyentailed
threephases, namely: (1) survey personally administered by theresearchers, (2) thepersonal interviewwith
thestakeholders, and(3) analysis of theresults of thesurvey usingdescriptivestatistical methods suchas the
mean, frequency count, andpercentage. Theinformationgatheredthroughtheinterviewswasusedtovalidate
theresultsby quantitativedataanalysis. Thedata-gatheringinstrument wastheStakeholder SatisfactionSur-
vey. Quantitativeresultsrevealedthat thestakeholder satisfactionlevel wasmoderatelyhigh amongmarine
engineeringcadetsintermsof communication, professionalismandtrustworthiness, communication, discipline,
loyalty, consistencyof performance, leadershipskills, honesty, industry, social responsibility, andinitiativetobe
satisfactory.Thedifferentcomments, remarks, suggestions, andresponsesderivedfromtheinterviewswereused
alsointhestudy as qualitativedatatoenhanceandvalidatethequantitativedata. Furthermore, thequalitative
views of therespondents wereusedto suggest someimprovements andinnovations inthelearningprocess at
MarineEngineeringDepartment of MaritimeUniversity(J BLFMU-Molo, IloiloCity), Philippines.
1 INTRODUCTION
Thestakeholders satisfactionisconsideredasthecrit-
ical investigationof theexperiencesandviewsof sets
of peoplewhohavevestedinterestsintheproductsand
servicesdeliveredbyanorganization(Brooks, Milne,
and J ohansson, 2002). Furthermore, it was asserted
that stakeholder research provides oneimportant set
of measuresof organizational performance. Itencom-
passes theexperiences and perceptions of groups of
peoplewhohavevestedinterestsintheservicesdeliv-
ered by the organization customers, employees,
strategicpartners, andspecial-interestgroups. Stake-
holdersatisfaction isoftenusedtorepresenttheviews
of thesegroups, andacommonapproachto its mea-
surement is to focus on theconcept of satisfaction
eitherasanexogenousvariableorasaconstructbased
onvariousattributesof satisfaction.Itisinthispremise
that stakeholders satisfactionwas consideredas one
of the processes of assessing/feedbacking regarding
theextentof skillsandcompetenciesdemonstratedby
themarineengineeringcadetsof MaritimeUniversity
(J BLFMU-Molo, IloiloCity), Philippines. Hence, this
researchwasconducted.
This investigation aimed to determine the level of
satisfaction among stakeholders crew managers,
personnel managers, training directors based in the
different placesof Manila, Philippines.
Specifically,thefollowingquestionswereadvanced:
1 What is the stakeholders level of satisfaction
of the performance of marine engineering cadets
employed in the different shipping companies in
termsof thefollowingareas:
a) communication,
b) professionalismandtrustworthiness,
c) discipline,
d) loyalty,
e) consistencyof performance,
f) leadershipskills,
g) honesty,
h) industry,
i) social responsibility,
j) initiative?
2 What suggestionsdostakeholdershavefor perfor-
manceimprovements?
719
Figure 1. The performance prism (Cranfield University,
http://www.12mange.com/methods_performance_prism.
html).
3 THEORETICAL ANDCONCEPTUAL
FRAMEWORKS
Thepresent investigationwasanchoredonthetheory
entitled Stakeholder in the Evaluation of Organiza-
tional Performance (Chennell, 2000; Bayle, 2001;
Brooks, Milne, and J ohansson, 2002). It was further
anchored on the theory known as the Performance
Prism(PP). Cranfield University originated the uti-
lization of the Performance Prism(PP) as an inno-
vative performance measurement and performance
management framework of the second generation
(http://www.12manage.com/methods_performance_
prism.html). As such, reciprocity is practicedby this
strategy. In addition, this theoretical framework has
fiveimportant facets: stakeholder satisfaction, stake-
holder contribution, strategies, processes, and capa-
bilities. It must be noted that these five facets are
interlinkedbut may bedistinct. Figure1belowisthe
PerformancePrism (PP).
Moreover, theunderlyingtheoretical frameworkof
theworkability of thePerformancePrism(PP) is the
belief that for organizationsaspiringtobesuccessful
inthelongtermmusthaveaclear pictureof whotheir
stakeholders areandwhat they want (Brooks, Milne,
andJ ohansson, 2002; Fletcher, Guthrie, Steane, Roos,
andPike, 2003). Consider theexpandedmodel of the
PerformancePrisminFigure2. Thisfigurewasused
leadingtothedesignof conceptual frameworkof this
study.
Figure 2 clearly indicates in essence the inter-
relationships among the facets in the Performance
Prism(PP). The proponents of this framework sug-
gest that for a performance to possess quality, the
process shouldstart not fromthestrategies but from
thestakeholdersandbasicallyonwhat theywant.
Figure 2. The expanded performance prism (Cranfield
University).
Figure3. Theconceptual frameworkof thepresent study.
Inasimilarmanner,thetheoretical frameworkof the
PerformancePrism(PP) hasfounditswayonhowthis
studyhasbeenconceptualized.Figure3showsthecon-
ceptual framework for this present investigation. The
researchframework was modifiedfromtheFigure1
PerformancePrism(PP) andFigure2(TheExpanded
PerformancePrism)asdeemedbytheresearcherswith
threephases.
The conceptual framework shows the different
phasesinvolvedinorder todeterminestakeholder sat-
isfaction.Thedifferentphasesarefurther explainedin
themethodology.
4 METHOD
This study employed the quantitative-qualitative
method of analysing the obtained data from the
720
differentcompany-partnersof J BLFMU.Thethree(3)
phaseswerethefollowing:
1 survey personally administeredby theresearchers,
thestakeholderswereaskedtoratethelevel of sat-
isfactionusingthescales of onetotenonrequired
competencies exhibitedby themarineengineering
cadets.
2 personal interviews with the stakeholders (crew
and personnel managers, training officers, and
HRD heads of different company-partners) were
conducted, the researchers believed that through
the interviews, several suggestions were gener-
ated leading to the data that needed in estab-
lishing stakeholder satisfaction. In this regard
the interview was utilised as one of the quali-
tative methods to further explain the stakehold-
ers satisfaction and suggestions. Interviews are
highly appropriate in studying process because
depicting process requires detailed description
(Patton, 1990).
3 analysing the results of the survey using descrip-
tive statistical method such as mean, frequency
count, and percentage. The mean, frequency, and
percentagewereusedtodeterminethelevel of stake-
holders satisfactionandgroupingof eachcategory.
The information gathered through the interviews
was used to validate the results of quantitative
data.
5 DATA-GATHERINGINSTRUMENT
Thedata-gatheringinstrumentinthisresearchwasthe
Stakeholder SatisfactionSurvey whichconsistedof
thefollowingareasof competencies:
a) communication,
b) professionalismandtrustworthiness,
c) discipline,
d) loyalty,
e) consistencyof performance,
f) leadershipskills,
g) honesty,
h) industry,
i) social responsibility,
j) initiative.
These areas were applied to the different levels
of seafarers suchas: engineratings (electricians, fit-
ters, oilers, andwipers) andenginecadets. Thedata-
gatheringinstrumenthadratingscalesof 1to10,which
werearrangedinascendingmannerbytheresearchers.
Thisdata-gatheringinstrument wasadoptedfromthe
Stakeholders Satisfaction Survey Scale used by
the Research Department of J BLFMU-Molo, Iloilo
City, Philippines. Theinstrumentwasmodifiedbythe
researchersfor thepurposeof thisstudy, pilot-tested,
andvalidatedbytheMembersof ResearchCommittee
of MarineEngineeringDepartment who wereexpert
inmaritimeeducation, research, instrumentation, psy-
chology, andstatistics.
Thefollowingwerethescales anddescriptions of
thedata-gatheringinstrument usedinthisstudy:
Scale Description
8.2110.0 High
6.418.20 ModeratelyHigh
4.616.40 Neutral
2.814.60 ModeratelyLow
1.002.80 Low
6 PROCDEDCURE
Theresearchteamdeterminedthelevel of stakeholder
satisfaction. Upontheapproval of theadministrator of
J BLFMU-Molo, IloiloCity, Philippines, themembers
of the teamadministered the validated instruments
to the respondents of the different shipping compa-
niesat Manila, Philippineslast summer of 2008. The
researchers stayed in Manila during the distribution
andgatheringof data. Thedifferent placesof Manila,
Philippinesthattheresearchersidentifiedthathadthe
shippingcompanieswere:
1 TaftAvenue, Malate, Manila,
2 ErmitaCenter, Manila,
3 RoxasBoulevard, Malate, Manila,
4 U.N. Avenue, Ermita, Manila, and
5 Makati City, MetroManila
Thesewerethevenueswherethesecompaniessit-
uated. The researchers collected the necessary data
withtheuseof theinstrument Stakeholder Satisfac-
tionSurvey.Thequalitativedataweregatheredusing
interviewprocessthroughopen-endedquestions.
Theresearcherswenttothedifferentshippingcom-
panies and requested the crew managers, personnel
managers, training directors, and training officers to
determine the level of stakeholder satisfaction by
encirclingtheappropriatescalesreflectedinthedata-
gathering instruments. The respondents also listed
down the comments and suggestions necessary to
improve the education and training of the students
while at the university as suggested by Kaplan and
Norton(1996).Theserespondentsweresubjectedalso
tointerviewstogather thequalitativedataneededfor
thisstudy(Patton, 1990; Savage, Nix, Whitehead, and
Blair, 1991). After collecting, retrieving, andgather-
ingtheaccomplisheddata-gatheringinstruments, the
researchers used appropriate statistical tools to ana-
lyze the quantitative data, while the qualitative data
wereseparatedandanalyzedbydeterminingthecom-
monthoughts, ideas, andcommentsof therespondents
towardsthegoalsof stakeholdersatisfaction(Mitchell,
angle, and Wood, 1997). The ideas, comments, and
suggestionsof therespondentsweregroupedandpre-
sentedintablesasshownintheresults sectionof this
study.
7 RESPONDENTSOF THE STUDY
Therespondents of this study wereGreek, J apanese,
Norwegian, Singaporean, Italian, German, and
721
American. There were 25 respondents interviewed
for this study. The distribution of the respondents
was 1 president, 4 general managers, 2 directors,
1deputygeneral manager, 1juniorexecutiveassistant,
1 OIC, 7 crewing/manning managers, 1 administra-
tiveofficer, 3trainingmanagers/officers, 1operation
manager, 2 recruitment managers/officers, 1 cadet
programmanager.
8 RESULTS
The results of this study were presented into two
sections. The first section dealt with the level of
stakeholdersatisfactionandthenextsectiondiscussed
thesuggestions givenby thestakeholders inorder to
improvetheperformanceof marineengineeringcadets
intermsof knowledge, skills, andattitudes(KSA).
Theresults of stakeholder satisfactionweremod-
eratelyhigh ontheperformanceoutput of themarine
engineering cadets when classified according to dif-
ferent areas. Theinterpretationanddataanalysis are
based on the scales and descriptions of this study
which previously discussed fromthe data-gathering
instrument section. The following are the results of
thestudy:
a) communicationskillswasmoderatelyhigh with
themeanscoreof 7.1,
b) trustworthiness was moderately high with the
meanscoreof 7.1,
c) discipline was moderately high with the mean
scoreof 7.2,
d) loyaltywasmoderatelyhigh withmeanscoreof
7.3,
e) consistencyof performancewasmoderatelyhigh
withmeanscoreof 7.0,
f) leadership skills was moderately high with the
meanscoreof 7.0,
g) honestywasmoderatelyhighwithmeanscoreof
7.2,
h) industry was moderately high with mean score
of 7.3,
i) social responsibility was moderately high with
meanscoreof 7.1, and
j) initiative was finally moderately high with the
meanscoreof 7.1.
Based on thedifferent areas of competencies, the
stakeholders indicated that the graduates employed
in their companies performed to their satisfaction.
The results employed the scale levels of 1.0 to 11.0
withthedescriptionsrangingfromlow tohigh, the
stakeholder satisfactionlevel ismoderatelyhigh.
The moderately high level of stakeholder satis-
factionindicatesthequalityof trainingimpactedfrom
theeducational institution. Theresultsalsoimply the
realization of thethrust of theUniversity to provide
competent andqualifiedgraduatestotheglobal mar-
itimeworld. Undoubtedly, theUniversity shouldalso
consider the availability of alternates or substitutes
fromother countries likeChina, India, and Pakistan
Table1. AnswerstotheInterviewQuestionswithReference
toStakeholder Satisfaction.
J BLFMU-MoloGraduates asI personallyobservedand
aswhat peoplehavesaid havestrongdetermination, hard
working, never surrender for whatever difficultiesthey
werefacingonboard.
Theyknowhowtodeal andcaneasilyadopt withthe
attitudeof their shipmateor evenof foreignnationalities.
We, at themanningagencyappreciatetheir good
performance, theyexert moreeffort inorder tosurvive, and
theyshowthat theyarecapableof theworkgiventothem.
J BLFMU-MoloGraduates, Mabuhay.
Keepupthegoodwork, wearelookingforwardtovisiting
J BLFMU-Molointhefuture.
Lastlywearegladtohear about theunstoppableand
continuousdevelopment intermsof education/trainingsas
well asthehighqualityof facultyandstaff. Wearealso
exertingour effort topromoteJ BLFMU-Molotobecome
well knownaroundtheglobe.
Theeducationandtrainingof J BLFMU-Molograduates
whoareemployedinour companyareoutstanding, they
havethenecessaryknowledgeandskillsneeded, especially
thefreshgraduates. Theyaredisciplined, whichreflect the
kindof trainingtheyreceivedinschool. Weevenemploy
J BLFMU-Molograduateswhoarewalk-inapplicantsinour
Manpower Development andCadetshipPrograms.
Wetrust theeducational systemof J BLFMU-Molo.
Thegraduatesof J BLFMU-Moloarecompetent todothe
tasksthat havebeengiventothem.
Theeducationandtrainingof J BLFMU-Molograduates
aretobeproudof, weareverysatisfiedwiththeir
performance.
Put tothemindof your men, that educationistheir wealth.
Aboveall, alwayspraiseGod.
Morepower tothefoundationyoucreated
Keepupthegoodwork
Becausehadworkedfor 7yearsinAncoraCompany, I
havemet manyengineersandcadets. I havetosaythat the
majorityof themaresatisfactory. Theyhavegood
characters, willingnesstoworkwithothers, andhard
workers.
Never haveaproblemwithsomeof them. Thecadetsthat
I havemet areclever, goodeducated, andwillingtodothe
workassignedtothem.
J BLFMU graduatehasgoodcharacter, hardworker,
willingtolearn.
incasetheshipping/manningcompaniesarenot well
satisfiedwiththeperformanceof thegraduates. The
University needs to monitor their competitiveness in
order to further improve the stakeholders level of
satisfaction as well as to remain competitive as a
major supplier of seafarers in the global maritime
market. Interview results were processed and the
moderately high level of satisfaction was further
reinforcedbythestatementsderivedfromit. Basedon
the responses derived fromthe interview questions,
the stakeholders view the cadets performance of
MarineEngineering Department of J BLFMU-Molo,
Iloilo City, Philippines was perceived to besatisfac-
tory. Table1 includes theresponses to theinterview
questions. Notethat theresponseswereeditedfor the
purposeof thisstudy.
722
Figure 4. Stakeholders suggestions for performance
improvement.
Basedontheresponsestothesecondproblemposed
bythisinvestigation, whatsuggestionsdostakehold-
ershavefor performanceimprovements?Threecom-
monsuggestions/recommendationsemerged: thereis
a need to enhance the three areas: Value formation,
general educationcourseslikeMathandEnglish, and
SkillsandTrainings. Figure4showstheresults.
This figure shows the three areas that have to be
looked into by the institution. Fromthe responses,
Skills and Trainings ranked first priority with 43%
of the total responses; Value formation ranked sec-
ond with 36% of the total responses, and General
Education subjects with 21%of thetotal responses.
University has to reconsider certain measures and
reformstoimprovetheseareas.
The Table 2 reflects the different answers of the
marineengineeringcadetsduringtheinterviewscon-
ducted by the researchers. These were presented in
thisstudy asqualitativedataandusedtoenhancethe
quantitativeresultsof thisstudy.
The present study also discovered that, despite
stakeholders satisfactionof theJ BLFMU graduates
performanceonboard, theyhaveadvancedsomecom-
ments, remarks, suggestions, and recommendations
on the kind of training that the Marine Engineering
Department, J BLFMU-Molo, Iloilo City, Philippines
has for the students with special emphasis on the
improvementof valueformation, enhancementof gen-
eral educationcourses, aswell asskillsandtrainings.
Notethat theinterviewees responseswereeditedfor
the purpose of this research but the contexts of the
responseswereretained.
9 CONCLUSIONSANDRECOMMENDATIONS
Thestudyyieldedafavorablelevel of stakeholder sat-
isfactionof educational performance,although,amore
careful lookatthesuggestions/recommendationsfrom
thestakeholders reveal anequally difficult challenge
totheinstitutionthat hasgainedagoodreputationin
Table2. Answerstotheinterviewquestionswithreference
to stakeholder suggestions on theinstitutions performance
improvement.
Thegraduatesloyaltyisobservedtobeadecliningtrend.
Somehaveademandingattitudeproblem.
Theattitudeisnot showingrespect, (walangpoat opo).
Althoughwebelievethat J BLFMU-Molostrivestogive
excellent educationandtrainingtotheir graduates, still
therearesomeareaswhichneedconcern. Obviously, ontop
istheir poor knowledgeinMath. Latelywehavebeen
hearingof poor disciplineamongcadets. Therewere
complaintsof arrogancewhileonboardandevenwhen
dealingwithofficestaff duringvacationwhilereporting
totheoffice: Thus, thesegraduates(1) needtoimproveon
their discipline, (2) ensureclear understandingof the
principleof internal combustionengine, (3) improvetheir
mathematics, (4) teachandgiveexercisesontrainingactual
shipspipingdiagramandelectrical schematicdiagram, and
(5) ensuretheir clear understandingof theoryandprinciple
of separationof fluids.
Graduatesneedtostudyhardandhavepatience.
Giveall responsibilitiestoall graduatesof J BLFMU-Molo
for givingtakinglicensureexam
I havenothingtosuggest onlysomeof themneedmore
experience. Mathematicsdifficultyneedstobe
addressed.
Englishdifficultymust belookedinto.
thefieldof seafaringindustry.Themaritimeuniversity
has to look into thecurriculumandreviewofferings
that turnout better resultsasfar ascontent andallied
coursesareconcerned.Thisway,stakeholders sugges-
tionscanbeaddressed. Researchdesignlikethisone
must becontinuouslydonetoelicit issuesandqueries
aboutaneducational performanceandthusfeedbacks
can be taken as challenges for more improved edu-
cational andinstitutional reforms. Direct andspecific
feedbackschememaybedonetostimulateadministra-
tors andother stakeholders concernedtoact, address
lapses, anddefinitelyimproveinstitutional output.
REFERENCES
Australian Quality Council. (2002). Australian Business,
Excellence Framework 2002, AQC, Sydney.
Bayley, S. (2001). Measuring customer satisfaction: com-
paring traditional and latent trait approaches using the
Auditor-Generals client survey, Evaluation Journal of
Australasia, vol. 1, no. 1, March2001, pp. 818.
Brooks, M., Milne, C., and J ohansson, K. (2002). Using
Stakeholder ResearchintheEvaluationof Organizational
Performance.
CranfieldUniversity. (http://www.12manage.com/methods_
performance_prism.html).
Chennell, A.F. et al. (2000). OPM: a system for orga-
nizational performance measurement, Proceedings of
Performance Measurement: Past, Present and Future,
Universityof Cambridge, Cambridge, 1921J uly.
CommonwealthDepartment of FinanceandAdministration
(2000). The Outcomes & Outputs Framework: Guidance
Document, Canberra, November.
723
Fletcher, A., J. Guthrie, P. Steane, G. Roos and S Pike.
(2003). Mappingstakeholder perceptionsfor athirdsec-
tor organization. Journal of Intellectual Capital 4(4):
505527.
Kaplan, R. & Norton, D. ( 1996). The Balanced Scorecard:
translating strategy into action, HarvardBusinessSchool,
Boston, Massachusetts.
Mitchell, R. K., B. R. Agle, andD.J. Wood. (1997). Toward
a Theory of Stakeholder Identification and Salience:
DefiningthePrincipleof WhoandWhat really Counts.
Academyof Management Review22(4): 853888.
Patton, M.Q. (1990). Qualitative evaluation and research
methods. NewburyPark, CA: Sage.
Savage, G. T., T. W. Nix, Whitehead and Blair. (1991).
Strategies for assessing and managing organizational
stakeholders. Academy of Management Executive 5(2):
6175.
724
16.6
Project PRACNAV for abetter onboardtrainingcurricula
E. Barsan& C. Muntean
Constantza Maritime University, Romania
ABSTRACT: During 2008, Constantza Maritime University has developed a project financed with
European funds that aims for an increase in the quality of training and the practical skills of the students
that will beworkinginthemaritimeindustry, byorganizingandundergoingonboardtrainingstagesat higher
standards. It is expected that oncethis objectiveis achieved, therewill bea40%increasein thechances of
employment intheshippingcompanies for theRomanianstudents. A coherent, modernapplicationof sucha
programwithfully integratedonboardtrainingsessions, wouldensureabetter chanceof employment for our
students in theEuropean fleet. If theequality of chances principleis considered, theincreaseof theoretical
knowledgeby acquiring specific practical skills for thosestudents that undergo PRACNAV, for graduates of
femalegender anincreaseof upto60%intheir employment chancesisexpectedasmaritimeofficersonboard
Europeanships.
1 INTRODUCTION
Oneof theforemostproblemsinthemaritimetransport
industry is thelack of qualifiedwell-trainedofficers
particularlyinmanagement positions. Suchadanger-
ous situationcouldincreasethenumber of accidents
causedbyhumanerrorandlong-termsolutionsareyet
tobedeveloped.
At ConstantaMaritimeUniversity, webelievethat
suchalong-termsolutionisincreasingthenumber of
studentswhilemaintainingahighstandardof training
andeducation. During2008, aproject financedwith
Europeanfundshasbeenproposedaimingtoincrease
thequality of trainingandthelevel of practical skill
of thestudents who will beworkinginthemaritime
industry. Themainaimof thePRACNAV projectisto
reorganizetheonboardtrainingstages of thecadets
inorder tooptimizetheir professional achievements.
Intheyearspriorto2006thestudentsof ouruniver-
sityhadtosurpassgreatdifficultiesinordertoacquire
the12/6monthsperiodof seatraining. Inthoseyears
oneof themostdifficulttasksforthedeansandrectors
wastoconvinceRomanianandforeignshipownersto
accept cadets onboardtheir ships. Despitetheir best
effortsonly6065%of our studentsfoundplacement,
theresthadtoresolvethisproblemthebesttheycould,
relyingonownpersonal relationsortheirluckinorder
tofindanownerwillingtoembarkthemascadets.This
situationchangedhowever in2006, whencrewingand
shippingcompaniescametoour universityaskingfor
cadets. Thischangeintheir attitudewasadirect con-
sequence of a prognosis confirming the shortage of
well-trainedofficersfor themerchant fleet duringthe
next 10years.
Weconsider theinterest showedby shippingcom-
panies in themaritimeeducation process to bemost
welcomed. If they would involvein all thestages of
theeducational programrather then act only as pas-
sivebeneficiariesof themaritimetraininginstitutions
outputs, theresultscouldprovemostbeneficial (Sears
D.F. 2003). They haveakey rolefor implementinga
good on board training programand for monitoring
thewaythisprogramrunsonboardtheir ships.
According to the provisions of the STCW95
Convention adopted by the International Maritime
Organization, and of the European Maritime Safety
Agency(EMSA) that havefoundanexpressioninthe
2001/25/ECand2003/103/ECdirectivesregardingthe
required level of training for a maritime officer, an
important aspect of that training is thelevel of skill
acquiredbythat officer.
Taking into account theabovestatement, wecon-
sider the PRACNAV project as a necessary step,
facilitatingthetransitionfromthetheoretical accumu-
lationof knowledgeto anactiveeducational process
withahigher level of practical skills that wouldgive
to theyoungRomanianofficer amuchhigher rating
ontheEuropeanlabor market.
2 REMOTE MONITORINGOF ONBOARD
TRAININGSTAGES
During the last few years, Constanta Maritime Uni-
versitystudentsreturningfromtheir onboardtraining
periodwereaskedtofill aquestionnairecontaining20
questions. Inorder toencouragethemtoanswer with
the outmost sincerity, we did not ask themto write
theirnames.Theywererequiredtowriteonlythename
of thevessel/vessels they havebeen assigned to, the
nameof thecrewingcompanyand/ortheownerof that
vessel.
725
Figure1. Answerstoquestion: Giveascorefor theoverall
feelingontheonboardtrainingperiod.
The most important conclusions of this enquiry
were:
There are great differences between the quality
andcomplexity of theonboardtrainingprograms
performedonboarddifferent ships;
The number of shipping companies that have a
modernandsystematiconboardtrainingsystemis
verylow;
Duringtheironboardtrainingperiod, cadetsarenot
usually guidedandmonitoredby adedicatedSTO.
They receiveguidancefromany of thewatchoffi-
cers, including Chief Officer/First Engineer. Any
availableofficer was allowed to undertakeassess-
mentandtosignanddeclarethecadetasproficient
inthetasksmentionedinthetrainingrecordbook.
In most of the cases, the cadets have to learn by
themselves, looking and copying the actions and
workstyleof theshipsofficers;
Thequality of lifeon board is very important for
theprofessional progress of cadets and what they
feel inthefirst 23voyages coulddeterminetheir
optionsfor their future;
40%of thestudents werenot very satisfiedabout
theironboardexperienceanditispossiblethatmany
of themwill not embraceaseacarrier prefer from
thestart tofindojobashoreinstead(Fig.1).
Almost 35%of thevoyages undertakenour cadets
werenot guidedandmonitoredbyadedicatedship
trainingofficer (Fig. 2). Theyhadtolearnbythem-
selves, looking and copying theactions and work
styleof theshipsofficers.Asthestudentsexplained,
in most of thecases, they receivedguidancefrom
any of the watch officers and any available offi-
cer was allowed to undertake assessment and to
signanddeclarethecadet asproficient inthetasks
mentionedinthetrainingrecordbook.
It will bebest only to work withshippingcompa-
nies, without thebrokerageof crewingcompanies,
because the university will know fromthe begin-
ningwherethecadetswill goandcouldavoidsome
unpleasant experience;
ThePRACNAV project aimistoimprovethequal-
ityof professional trainingandskillslevel acquiredby
students, duringtheir onboardtrainingtime. Because
theUniversity has not thepossibility to monitor the
Figure2. Answerstoquestion: Howwouldyouappreciate
theactivityof theDesignatedTrainingOfficer?.
students activity onboardships, weneedinthefirst
place to have a very good feedback regarding these
periodsof training. Until now, ourfeedbackwasbased
onlyontheseaservicequalificative, thegradesmen-
tionedintheTrainingRecordBook andthestudents
answerstoour questionnaire.
Our intention is to provide to the shipping com-
panies a standardized form that should be used to
summarizetheperformancesandattitudesof thecadet
duringtheonboardstage. Thisformwill increasethe
shipping companies responsibilities for monitoring
thecadets activity andwill allowus to haveabetter
pictureof theproblemsflaggedbytheowners.
This continuous adaptation to the shipping com-
panies requirements would ensure that the students
aremuchbetter trainedandpreparedfor therealities
onboardashipat graduation.
If this objective is achieved we expect that the
chancesof Romanianstudentsof beingemployedon
board ships that have U.E. owners would increase
with 40%. At this moment students graduating from
RomanianMaritimeinstitutionscompetedirectlywith
graduates fromBulgaria, UkraineandPolandonthe
European labor marketplace. Theapplication of this
programwould give themthe edge they need, their
experienceandskill, enablingthemto makeabetter
useof their theoretical knowledge.
Theequalityof chances principleisalsoconsid-
ered and due to higher theoretical knowledge and a
higher level of practical skills acquiredby thosestu-
dentsthatundergoPRACNAV, thegraduatesof female
gender will have significantly higher chances (an
increaseof upto60%intheir employment chancesis
expected)of beingemployedasmaritime/riverofficers
onboardEuropeanships(Belcher P et al.
3 NEWTRAININGGUIDELINES
Animportantaspectof thisprogramisthatwehavenot
designedit only for students graduatingfromRoma-
nianuniversities. All thematerials, thecurricula, the
training record book, the training handbook for the
Company Training Officer (CTO) and for the Ship
TrainingOfficer (STO), all thedocuments andman-
uals used for individual and group training during
seatime, will bepreparedinEnglish. A standardized
726
format will beused, inorder tofacilitatetheir useby
anystudent of anyother maritimeuniversity.
Accordingto theSTCW Conventiontheonboard
training period must be documented in a training
recordbook(TRB)
The importance of this document cannot be dis-
puted. Apart formbeing an imperative requirement
of theSTCW Convention it is avery important tool
of educationespecially inthecases of poor manage-
mentof theonboardtraining.Wehavefoundthatinthe
absenceof awrittenplanprioritizingthetrainingsteps
andstagesfor theonboardtrainingof cadetsthisdoc-
ument istheonlyonethat givestheSTOaclueabout
what istobedone(Hanzu-PazaraR., et al. 2008).
At thismoment, theRomanianMaritimeAuthority
(RMA) publishes a training record book that Con-
stantza Maritime University has the obligation to
providetoall of our students. Inorder toavoiddupli-
cationof projectsandtaskscompletionconfirmation,
CMU agreedwithRMA that anyTRB issuedor used
byashippingcompanythatmeetsthestandardsof the
RomanianTRB will beacceptedasvalid.
However, wearenot verypleasedwiththecontent
of this record book, because it does not present the
tasksthelogical andorder establishedby STCWand
theguidelinesestablishedbyIMO. Wehaveaskedour
cadetsif they hadworkedwithother types, copiesof
thestandardTRBmodel publishedbyICS/ISForother
recordbooksissuedinaccordancewiththeprovisions
of other national maritimeauthorities.
For thepurposesof thisproject weareconsidering
thedevelopment andpublication of anewTRB, one
thatsatisfiesall ourneeds.Wethinkthatmarks(scores)
mustbegiventothecadetsbytheSTOforthedifferent
tasksthatareregisteredandmustbeperformedbythe
cadet. If theSTOmustscoretheactivityof thecadets,
hewill bemoreresponsibleintrainingandmonitoring
theonboardstudents.
Also, the long list of task that must be per-
formedconfirmedonlybydone/undoneremarksmust
be replaced with more complex tasks, projects that
will combine several competencies that will be
demonstrated.
Because for deck cadets, the mandatory training
period of 12 month can not be achieved in only
one stage, using marks for evaluation of cadets
achievements in different stages will reflect also the
professional evolutionof thetrainee.
Theinstructorsarethesecondmostimportanttarget
groupof thisprogram. Fortheonboardtrainingperiod
our studentswill findadedicatedtrainedpersonthat
isresponsiblefor their educationanddevelopment of
practical skills.
I order to ensurean equal level of training for all
our cadets, no matter theshipping company and the
shipitself, atrainingguidedesignedfor theSTOisa
must.Weassumethatareveryfewcompaniesthathave
somesort of guidelines or at least recommendations
for their officers regarding themodeof undertaking
theonboardtrainingof youngcadets(BarsanE., etal.
2007).
Consequently, in most of thecases theSTO is on
his own judgment, interest and talent regarding the
organizationof theonboardtrainingfor cadets. Some
pedagogical skillsareneededforall trainersif wewant
toobtainapositivetrainingresult.
DuringthePRACNAV project wewill try toelab-
orate a concise guide of how the on board training
stages must beorganizedandhowthestudents must
becoached, monitoredandevaluate.
Any how, the main point of the guideline consist
intheprioritizingtheonboardtrainingobjectives, in
accordancewiththetheoretical level of knowledgeof
thestudent.
The training materials for PRACNAV instructors
(theCTO CompanyTrainingOfficer, andtheSTO
ShipTrainingOfficer) will bedistributedwithinthose
shipping companies taking part to this program. We
will undertake short courses for the CTOs in order
to makethemmoreawareabout thereal potential of
our cadetsandabout therealitiesof thepresent MET
systemachievementsandminuses.
All shippingcompaniesaretryingtoselectthebest
of thestudentsapplyingforacadetposition. Inreality,
only25%of thesestudentscanfulfill all theexpecta-
tionof theowner.Therestof theapplicantsarestudents
withaverageorunderaveragelevel of theoretical train-
ing(BarsanE. & MunteanC. 2008). If thesestudents
will havetheopportunitytoparticipateonagoodqual-
ityonboardtrainingprocess, theycanbeconverted
invaluablemaritimeofficersandtheir interest for the
theoretical trainingwill increasealso.
If onlythetop2530%of theMETgraduateswill be
employedonboardships, it isobviousthat thedeficit
of officersintheworldfleet will bemaintained.
4 OTHER PRACNAV PROJ ECT OBJ ECTIVES
Thespecificobjectivesof PRACNAV project are:
1. The familiarization of students to the reality on
board a ship, and to the ways a multicultural
andmultinational crewmember interact withone
another.
The quality of life on board is very important
for the professional progress of cadets and what
they feel inthefirst 23voyagescoulddetermine
their options for their future. We expect that for
many of themthe shock of being part of a mul-
ticultural crew, away fromtheir homes for along
periodof time, possiblyfor thefirsttime, mightbe
anoverwhelmingexperience.
Although many students aremotivated only by
themoney that they will earnascadetswhenthey
chooseacompany, anunpleasantexperiencecould
meanmanywill not embraceaseacarrier andwill
preferfromthestarttofindojobonshore(J unzhong
B., MingqiangX. 2007).
Thisiswhyacoherentapplicationof thismodern
programincollaborationwiththeshippingcompa-
nies, without thebrokerageof crewingcompanies,
727
wouldenableouruniversitytomonitortheprogress
of itsstudents, preventingsuchdisagreeablesitua-
tionsfromhappening. Weconsider that thiswould
greatlyreducethenumberof studentsthatabandon
thecareer of maritimeofficer.
2. Ensuringthat thestudentscanusetheir theoretical
knowledgeonboardashipinapractical situation,
byusingcomplexsimulator trainingprogramsthat
arespecifictothemaritimetransport industry.
According to the 724/2004/EC directive of
EMSA animportantcharacteristicsof afuturemar-
itimeofficer istheknowledgeandskill withwitch
heoperatesmodernelectronicallyequipment. This
level of proficiencycanbeachievedbyourstudents
duringtheir trainingwiththecomplex simulators.
These training sessions under the supervisor of
instructorswill helpthemgainthenecessaryinfor-
mation, andwill allowthemtoquicklyadapttothe
shipsequipment particularitiesbeforearrivingon
boardareal ship(BarsanE. 2007a).
Usually trainingwiththehelpof simulator fol-
lowsthetheoretical curriculaof thecoursesdirectly
relatedto theseafarers professionandmentioned
inSTCW. Duetothelimitednumber of hoursthat
canbeallottedtosimulatortrainingandtakingalso
intoaccountthehigher costsof suchatraining, the
scenariousedfor simulationaretryingtoconcen-
trateasmuchaspossibleeventsinashortperiodof
time9RaicuG., et al. 2007).
Consequently, thestudent istheentiretimealert
and prepared to respond to thechallenges impost
by the scenario. A more realistic approach will
be tested, meaning that in that pre-sailing train-
ing using simulators, we will run scenarios were
themain task is to performthenavigation watch
in almost routine conditions. Exercise will take
minimum22.5hours, andduringthat timethere
will be only one or two events that will require
attention and application of the normal watch
practice.
For theskillsacquiredbystudentsinthesimula-
tor room, theexercises/scenariosusedfor training
will be designed in such a way that they can be
used by any maritime university, having similar
simulatingequipment.
3. Engaginginpartnershiprelationwithaminimumof
12Europeanshippingcompaniesthat will employ
at least 70%of the students that have undergone
their onboardtrainingontheshipsownedbythose
companies(BarsanE. 2007b).
We consider the partnership with at least 12
Europeanshippingcompaniestobeaminimal con-
dition for the smooth running of the PRACNAV
project. The finality of this project is that our
students should become maritime officers with a
recognizedhigher level of skill. Becauseof thiswe
expectthatthecompanieswouldwanttoemployat
least part of them. Thisinturnwouldleadtocom-
petitionbetweenstudentsthat wouldonlyimprove
theirlevel of proficiency,astheytrytoproveworthy
for employment.
4. Toensurethat all studentsbenefit fromaonboard
training on maritime ships, that have European
owners, for aperiodat least 5months.
TheSTCW95Conventionimposesaperiodfor
on board training for all maritime students. With
this inmindwemust realizethefact that because
of thelargenumber of our studentsnot all of them
will havethebenefitof beingcadetsonboardtrain-
ingonshipswithEuropeanownersfor thiswhole
period.
5. Monitoringtheprofessional careerof thegraduates
for aperiod of at least 2 years sincethemoment
of their graduation, withthepurposeof determin-
ing the international companies with the higher
percentageof employmentfor Romanianmaritime
officers.
This objective is crucial for determining the
effectivenessof thisprogram. Whatwehopeisthat
major shippingcompanieswill showagreat inter-
est in PRACNAV and in the students graduating
fromour university.
We hope that the international crisis that will
affectalsothemaritimetransportwill havealimited
impact ontheseafarers employment.
5 CONCLUSIONS
In conclusion the shipping companies are the bene-
ficiaries of the maritime educational process. Those
companies that show a real interest in this process
demand that within thecurriculaparticular attention
shouldbegivento theonboardtrainingof students.
ThePRACNAV project is envisioned to bean mod-
ern, integratedsystemof training, for senior maritime
students, that respects all thelegal requirements and
conventions recognized at European or international
level. At the center of this project lies the on board
training period, with the participation of shipping
companies.
Thisapproachisunique, becauseit strivestocover
all theaspectsof apractical trainingprocessinit key
phases: at theuniversity, andonboardaship. At the
sametimeemphasisisput onfeedback, withtheaim
of ensuringthequalityof thetrainingprocess.
All thedocumentsandmanualsusedfor individual
andgrouptrainingduringseatimeandmanuals, the
traininghandbook for theCompanyTrainingOfficer
(CTO)andfortheShipTrainingOfficer(STO),all will
beavailablefor useby other maritimeuniversities in
theUE that haveaeducational programthat respects
heprovisionsof theBolognaConvention.
There is a single major concern at this moment
regardingthepositiveimplementationof PRACNAV
andthetangibleresults of this project after finaliza-
tion. Theworldeconomiccrisesseamstoaffect from
theearlybeginningtheshippingindustry.Weareafraid
that in order to reduce costs, owners will lower the
numberof cadetstakenonboardandalsowill decrease
thefoundsfor trainingof their crews.
728
REFERENCES
Barsan E. & Muntean C. 2008 E-navigation requires new
methodsof trainingfordeckofficers, 9thGeneral Assem-
blyof International Associationof MaritimeUniversities
SanFrancisco, USA, inWorld Maritime Excellence, ISBN
978-0-615-25465-4, , Pub. CALMAR, US
BarsanE. 2007aFull shiphandlingsimulationscenariosfor
safety assessment in Port of Constantza, in Maritime
Industry, Ocean Engineering and Coastal Resources,
ISBN 978-0-415-45520-0, Pub. Taylor & FrancisGroup,
London, UK
BarsanE. 2007bKeyrolesplayedbyshippingcompaniesin
theMET process, 8thGeneral Assemblyof International
Associationof MaritimeUniversities Odessa, Ucraina,
inWorld Maritime Excellence, ISBN978-966-8783-11-1,
Pub. AOBahva, Ukraine
BarsanE., Hanzu-PazaraR. &ArsenieP. 2007Newnaviga-
tion competencies required for an updated STCW Con-
vention, Journal of Maritime Studies, vol. 21, nr.2/2007,
ISSN13320718, Croatia
Belcher P., Sampson H., Thomas M., Veiga J., Zhao M.
2004WomenSeafarers: Global employment policiesand
practices.. ILO, ISBN92-2-113491-1, UK
European Parliament and The Council (EP&C) 2001,
DIRECTIVE2001/25/EC, On the minimumlevel of train-
ing of seafarers, Bruxelles
European Parliament and The Council (EP&C) 2003,
DIRECTIVE 2003/103/EC AMENDING DIRECTIVE
2001/25/ECOn the minimumlevel of training of seafarers,
Bruxelles
Hanzu-PazaraR., BarsanE. &ArsenieP. 2008Reducingof
maritimeaccidentscausedbyhumanfactorsusingsimu-
latorsintrainingprocess, Journal of Maritime Research,
Volume5, No1, 2008, ISSN 16974840, SpanishSociety
of MaritimeResearch, Santander, Spain
J unzhongB., MingqiangX. 2007ExaminingandPromoting
ChineseSeafarer Education andTraining, 7thTransNav
2007Conference Gdynia,Polnad,publishedinAdvances
in marine navigation and safety of sea transportation,
ISBN978-83-7421-018-8, Pub. GdyniaMaritimeUniver-
sityPress, Poland, 2007
Raicu G., Barsan E., Arsenie P. & Hanzu R. 2007 Real-
istic environments for online maritime simulators, 8th
EUROSIM 2007 Ljublijana, Slovenia, in Proceedings
of the 6th EUROSIM Congress on Modeling & Simula-
tion, ISBN 978-3-901608-32-2, Pub. ARGE Simulation
News, Vienna, Austria
Sears D.F. 2003 A Perspective of Seafarers Training, 4th
General Assembly of International Association of Mar-
itime Universities Proceedings of the IAMU AGA 4,
Alexandria, Egypt, 2003
729
16.7
A newtool for evaluatingandtrainingof chemical tanker crew:
Seafarer evaluationandtrainingsoftware: DEPEDES(SETS)
O. Arslan, O. Gurel & M. Kadioglu
Istanbul Technical University Maritime Faculty, Tuzla, Istanbul, Turkey
ABSTRACT: Shippingindustryisgrowingregularlyandregulativebodiesof theindustryputmoreemphasis
onsafetyandenvironmental managementof shipsandshipmanagementcompanies. Withregardtotheshortage
of humanresourceofficers, whichwill becontinuedby followingyears accordingto latest surveys, shipping
industry has hard times to employ qualified officers in their fleets. Especially for chemical tanker ships, it
is neededmorequalifiedseafarers regardingto theenvironmental andsafety concernof public andindustry.
Therefore, training of seafarers has becomemoreimportant then ever before. Training of seafarers in office
environmentbeforeseaperiodisasimportantastrainingattraininginstitutionsandon-the-jobtraining.Therefore,
measuringof seafarers performanceandplanningof individual trainingprogramsfor eachseafarer hasbecome
moreimportant thanever.
Inorder to developthequality of seafarer trainingandconsequently maintainingsafeandprofitableship-
ping, thefactors whichareimportant for evaluatingthechemical tanker crewaredeterminedandclusteredin
hierarchical manner; theweightingof factors for eachrank areobservedby utilizingAnalytic Hierarchy Pro-
cess(AHP) Method; thetrainingswhichshouldbegiventoseafarersrelatedtoscoresof evaluationfactorsare
determinedthentheSeafarer EvaluationandTrainingSoftwareDEPEDES(SETS) iscreatedbyutilizingVisual
Basic Software. Inthis study, thecontent of SETS softwareis evaluatedwithdetails. Consequently, themain
aimof thisstudyistomaintainsafechemical tanker shippingbyutilizingSETSsoftware.
1 INTRODUCTION
Accordingto thelatest surveys, officer shortagewill
becontinuedincreasingly (BIMCO, 2005). Chemical
tankers are complex ships that they are designed to
carrymanydifferenttypeanddangerouschemical sub-
stances; so this typeof ships requires well educated
andtrainedseafarers (Arslan& Er 2008). Especially
for chemical tanker ships, it isneededmorequalified
seafarers regarding to the environmental and safety
concern of public and industry. Therefore, training
of seafarers has become more important than ever
before(Arslan& Turker 2008). Trainingof seafarers
in officeenvironment beforeseaperiodis as impor-
tant astrainingat traininginstitutionsandon-the-job
training. Therefore, measuring of seafarers perfor-
manceand planning of individual training programs
for each seafarer has become more important than
ever. Inordertodevelopthequalityof seafarertraining
andconsequentlymaintainingsafeandprofitableship-
ping,thefactorswhichareimportantforevaluatingthe
chemical tanker crewaredeterminedandclusteredin
hierarchical manner; theweightingof factorsfor each
rankareobservedbyutilizingAnalyticHierarchyPro-
cess (AHP) Method; the trainings which should be
giventoseafarersrelatedtoscoresof evaluationfac-
tors aredeterminedthentheSeafarer Evaluationand
TrainingSoftwareDEPEDES(SETS)iscreatedbyuti-
lizingVisual BasicSoftware. Inthisstudy, thecontent
of SETS software is evaluated with details. Conse-
quently, themainaimof thisstudyistomaintainsafe
chemical tanker shippingbyutilizingSETSsoftware.
2 METHODSUSEDINTHISSTUDY
After the observing of evaluation factors, the eval-
uation factors are clustered in hierarchical structure
andtheweightingof factorsarecalculatedbyutilizing
AnalyticHierarchyProcess(AHP) Method.
AHP is a mathematical tool that is developed by
Saaty (Saaty, 1980). It isusedfor analyzingcomplex
decision problems with multiple criteria (Vaidya &
Kumar, 2006). Generally it is widely usedinseveral
areassuchassolvingdecisionproblemsandstrategic
planning etc. AHP is based on pair-wise compar-
isonsthat enablesdecisionmakerstoassignarelative
prioritytoeachfactor. Inthisstudy, thepair-wisecom-
parisonsamongevaluationfactorshasdonebycrewing
managersandoperationmanagersof achemical tanker
company. Seafarer EvaluationandTrainingSoftware
(SETS) iscreatedbyusingVisual BasicProgramming
Software.
731
3 SEAFARER EVALUATION
3.1 Seafarer groups
Four different seafarer groups are observed for dif-
ferent criteriaor weight of criteria. Thesegroups are
Senior officer group (Master, Chief Officer, Chief
Engineer andSecondEngineer); J unior officer group
(2nd, 3rd and other deck officers, 3rd, 4th and other
engineofficers; electricianandother officers), Rating
Group (Boatswain, A/B, O/S, deck boy, donkeyman,
oiler, wiper, fitter, pump man and other deck and
enginedepartment ratings) andServicegroup(Cook
and Steward). 34 evaluation criteria for Senior offi-
cer evaluationand31criteriafor junior officer group,
rating group and cook & steward group evaluation
observed and theevaluation criteriagrouped in four
mainclusters:
Professional Knowledge& Skill andAdaptationto
SafetyRules
Professional Behavior
LeadershipandSocial Behavior
AdaptationtoSeaandShipLife
3.2 Senior officer evaluation criteria
The Following Evaluation factors are observed for
senior officer evaluation:
SafetyRulesgroupcriteria:
Professionknowledge(General)
Professionexperience
Englishlevel
Understandingtalent
Workplanning
Workingcarefulness
Knowledgeof equipment
Evaluationandtimingof requisitions
ISM knowledgeandadaptation
Operational knowledge and adaptation (cargo,
bunkering)
ISPSknowledgeandadaptation
MARPOL/Environmental knowledge and adapta-
tion
Reporting
Knowledgeandadaptationonsafetyrules(General)
Carefulness(General)
ImplementationtheCompanyinstructions/ timing
Teamculture
Professional Behavior evaluationcriteria:
Cooperationandsharingknowledge
Behavior, relationshipswithinferiors/ superiors
Adaptationof marineusageandcustoms
Takinglessonsfrommistakes
LoyaltytotheJ ob& Company
Computer knowledge& skill
LeadershipandSocial Behaviorevaluationcriteria:
AdaptationtoSeaandShipLife
Reliability
Figure1. Priorityof criteriagroupsfor senior officers.
Motivation ability and follow events, peoples and
judgment
SharingResponsibility
Tosharehis/her knowledgeandinstructiveness
Couldhe/sheshortlyexplainhis/herrequest.Speech
ability
Individual improvement / Haseffort toimprovethe
System
Personnel cleanness
Apparel/presentableandkeepscleanhis/her cabin/
associate
Adaptationtosea/shiplifegroupcriteria:
Suitabilitytojobbasishealth/physics
AdaptationonDrugandAlcohol policy
Adaptationonsealife
Theprioritiesof evaluationgroupsfor senior offi-
cersareshowninfigure1.
3.3 Officer and other crew evaluation criteria
The Following Evaluation factors are observed for
junior officer group; ratinggroupandcook&steward
groupsevaluation:
SafetyRulesgroupcriteria:
Professionknowledge(General)
Professionexperience
Englishlevel
Handskill anduseof equipment
Understandingtalent andapplication
Workplanning& timing
Knowledgeof equipmentsandmaintenance
ISM knowledgeandadaptation
Operational knowledgeandadaptation
ISPSknowledgeandadaptation
MARPOL/Environmental knowledge and adapta-
tion
Knowledge andAdaptation on safety rules (Gen-
eral)
Carefulness
Participationtodrillsandachievement
Safety&Teamculture
Computer knowledge& skill
Professional Behavior evaluationcriteria:
Cooperationandsharinghis/her knowledge
Behavior, relationstohis/her inferiors
732
Figure2. Prioritiesof criteriagroups.
Adaptationtosea& shiptradition
Takinglessonsfrommistakes
LoyaltytotheCompany
Leadershipandsocial behavior evaluationcriteria:
Reliability
Individual relationships
Capabilityof explainhis/herrequest. Speechability
Motivationabilityandfollowevents
SharingResponsibility
Personnel cleanness
Apparel/presentableandkeepscleanhis/her cabin/
associateareas
Adaptationtosea/shiplifegroupcriteria:
Suitabilitytojobbasishealth/physics
AdaptationonDrugandAlcohol policy
Adaptationonsealife
The weighting of evaluation groups is different
for all seafarer groups. The priorities of evaluation
groups for junior officer group, rating group and
cook&stewardgroupareshowninfigure2.
3.4 Trainings
26 different trainings that can be given in a chem-
ical tanker management company observed. These
trainingsandtrainingcodesare:
1 Environmental OfficerTrainingCourse
2 Incident Investigation
3 SafetyOfficerTraining
4 ShipboardFamiliarization
5 RescueTechniquesfromConfinedSpaces
6 Lifeboats
7 KeepingUpStandards
8 ShipVettingInspection
9 Chemical Tanker Operation
10 SafetyandPollutionPrevention
11 MARPOL andEnvironmental Protection
12 Chemical TankCleaning& Inspection
13 SearchTechniques
14 CrisisManagement
15 MarineRiskAssessment
Table1. Scoresandtrainingstobegiven.
16 Permit toWorkSystems
17 RecognizingSuspiciousBehavior
18 IdentifyingExplosivesandWeapons
19 Watchkeeping
20 Maintenance
21 NitrogenGenerator andInerting
22 Bunkering
23 DrugandAlcohol Policy
24 Requisition
25 HygieneonBoard
26 CompanyPoliciesandProcedures
4 MAINCHARACTERISTICSOF DEPEDES
(SETS) SOFTWARE
The main idea of Seafarer Evaluation and Training
Software(SETS) isfirstlytomeasuretheperformance
of seafarersquantitativelythentogivenecessarytrain-
ings according to their scores. The programrecom-
mends different trainings for each rank and scores.
Theweightingof factors whicharecomputedby uti-
lizingAHP is enlarged to meaningful marks. Likert
scalewasusedfor marking. Thescoresof criteriaand
trainingstobegivenaccordingtoevaluationisshown
inTable-1.
Accordingtothecolumns, marksareshowninVG
Very Good; GGood; M Moderate; P Poor and
VPVeryPoor columns. Thenumbersshowninmark
columnsaretheweightingsof eachscore. Theyellow
marks shows training needs and the red ones show
dismissal suggestionthat shouldbediscussedby the
management. The column Training No shows the
training numbers which aredescribed section 3.4 of
this paper. SETS software is developed by utilizing
Visual Basic programminglanguage. Theprogramis
usingif-then-else rulecodessuchas:
k13Knowledge
If q61.ValueThen
Knowledge.Fields("k13") =15
ElseIf q62.ValueThenKnowledge.Fields("k13")=12
EndIf
The Seafarer Evaluation and Training Software
(SETS) canalsolistsandgraphicallyshowsseafarers
scoresaccordingtotheirrankgroupsandscores,work-
ingdatesandetc. EvaluationandTrainingModuleof
SETSisshowninfigure3.
733
Figure3. SETSsoftware.
5 CONCLUSION
The main aimof this study is to improve the sea-
farer evaluation during sea period and consequently
enhancement of safety andshipmanagement perfor-
mancetopreventaccidentsandcasualtiesinmaritime
transportation by utilizing SETS software. It should
beconsidered that theevaluation criteria; priority of
criteria; trainings that can be given by the company
and training needs can vary among different ship
management companies. This software is prepared
consideringthecapacityandneedsof chemical tanker
Management Company
ACKNOWLEDGEMENTS
Theauthorsgratefullyacknowledgesupportsanddata
thataregivenbySenerShippingCompanyandEdmar
MarineSoftwareCompanyduringpreparationof this
study.
REFERENCES
Arslan, O., Er, I. D., 2008. A SWOT Analysisfor Successful
BridgeTeamOrganizationandSafer MarineOperations,
ProcessSaf. Prog. 271, 2128.
Arslan, O.,Turker F., 2008.Analytical Comparisonof Differ-
ent Tanker Simulators By UtilizingAHP Method, Inter-
national MaritimeLecturersAssociation16
th
Conference
onMET (IMLA-2008), 1417October 2008Izmir
BIMCO, 2005, BIMCO/ISFManpowerUpdate2005, Report
J ohnson, H.L. 1965.
Saaty, T. L., 1980TheAnalyticHierarchyProcess. McGraw-
Hill, NewYork
Vaidya, S. O., Kumar, S., 2006. Analytic hierarchy process:
Anoverviewof applications, Eur. J. Oper. Res. 169, 129.
www.edmar.com.tr
734
16.8
MET systeminUkraine
M.V. Miyusov& D.S. Zhukov
ABSTRACT: It isbelievedthat Ukraineisoneof thelargest seafarers supplierstotheworldmaritimefleet.
Thevastanddiversesystemof waterwaysandlakesinadditiontothetraditionof seafaringandmaritimehistory
whichdates back morethan200years createthenecessary basis for thegovernment whichconsiders it more
important to providegraduates with thefull education rather than merely to producevocational specialists.
Moreover Ukrainehas already madesomemajor steps on theroad to Euro integration having taken part in
theBolognaprocess. Thereforeits not surprisingthat on15J anuary 2005anewresolutionof theCabinet of
Ministersof Ukrainewasapproved. TheOdessaNational MaritimeAcademy(ONMA) wasthefirsttovisualize
it bymeansof thenew-presentedsystemof MET.
1 THE OBJ ECTIVESOF MARITIME
EDUCATIONESTABLISHMENTS
Thelicensedofficers staff iseducatedandtrainedby
maritimecolleges, academiesanduniversities.
The training and education are effected for both
operational andmanagementlevels. TheInternational
Convention on Standards of Training Certification
andWatch-keepingfor Seafarers (STCW-78/95) and
STCW-95 Code established uniform international
requirements to the training of ship watch-keeping
officers and ratings Chapters II, III and IV of the
STCW-95 Code present the mandatory minimum
requirementstothecompetenceof everycandidatefor
theacquisitionof Certificateof Competenceenabling
apersontooccupyofficers positionsonboard.
Theprocedurestoprovetheofficersachievements
of therequiredcompetencestandardaredefinedand
thecriteriafor evaluatingthecompetencearelistedin
thecorrespondingtablesof STCW-95Code.
Incombinationwithon-boardpractical trainingthe
aboveknowledgeandproficiency enableacandidate
tooccupycorrespondingofficers positionsonboard.
Thecurriculaof themaritimeeducational establish-
mentswereadjustedinaccordancewithSTCW-78/95
Convention requirements and since 1998 applied in
moststates. IMOdevelopedmodel coursesof training
masters, deck and engineer officers (Model courses
7,01, 7.02. 7.03and7.04.) facilitatedthetransitionto
thisorder of training.
At thesametimetheopinion of theinternational
maritimecommunity, expressedattheconferenceson
maritimeeducation in Sweden 2000[4], in Belgium
2002[5], andetc., showsthattheminimumknowledge
andproficiencyrequirementslistedinSTCW-95Code
arecompulsorybut not sufficient tosatisfytheneeds
of themodernmerchant marine.
The rapid development of fleet, specialization
of ships, fitting themwith complicated equipment,
automation and electronics require the presence of
specialists fundamentally competent in natural and
technical sciences on board a ship. An educational
establishment shouldnt beaimed at giving acertain
fixedscopeof knowledgefortheoperationof amodern
vessel.
This knowledge will get outdated still before a
prospective officer graduates. A maritime specialist
shouldbepreparedforbeingcapableof understanding
all theinnovationsandlearntooperatethemby him-
self. That is why thecurriculaof advancedmaritime
highereducational establishmentsincludenotonlythe
minimumscopeof knowledgeandskills, whichcould
have been covered in two years, but also two addi-
tional years of studies (bachelors level) ensuring a
broadgeneral education.
Still anotheradditional courseof studiesisrequired
for theoccupationof shipboardpositionsat theman-
agement level.
Its worthy to note, that the specific character of
work onboard longperiods at sea, reducedcrews,
hardwork, sometimesdrivingthoseonboardtostress
situations and fatigue accumulation requires froma
ship officer for the successful work with people to
be well prepared in humanitarian aspects, that is to
have a high cultural level, knowledge of psychol-
ogy, the laws of a persons behavior in a group,
abilitytopredictandeliminateconflictsituations,opti-
mize the relations among the seafarers united into
onecrew.
Themajorityof maritimehigher educational estab-
lishments, especially those in European countries
adopted the above educational system for training
marine officers. A wide scope of education is nec-
essarytoensuresafenavigationinmodernconditions.
735
Weunderstandthat tofit hisfuturework onboard,
a seaman should not only have a high level of spir-
itual development, but also be well hardened physi-
cally.Thatiswhymaritimeeducational establishments
devotemuchattentionto thephysical trainingof the
futureseafarers.
Besides regular general physical training and
achieving thecompulsory standards provided for by
curricula, favorableconditionsareprovidedfor train-
ingindifferentsportsuptothechoiceof ayoungman.
All sortsof sportscompetitionsat different levelsare
greatlyencouragedbytheadministration.
Thequality of preparationof theseamenfor their
futureworkonboardshipslargelydependsonthelec-
turersandinstructors; incompliancewiththeSTCW
Convention those are to have the proper qualifica-
tion for different types and levels of education and
training.
Lecturers and instructors specialized in profes-
sional disciplinesshouldhavenot onlyanappropriate
maritime education but also a sufficient sea experi-
ence. That is thematter of especial importance, as it
enablesthembesidesdeliveringatheoretical course,to
sharetheir acquiredexperiencefor trainingthecadets
(students) to solve routine operational problems in
practical way, fostering proper care and attention to
their everydaywork, responsibilityfor thefulfillment
of their dutiesonboard.
Unfortunatelythepaymentof lecturersandinstruc-
torsismuchlower thanthat of seafarersonboard.
That is why it is very difficult to attract properly
qualified experienced maritime industry practicians
still not of oldagetotheacademic work inmaritime
educational establishments.
Besidesnoteveryexperiencedpracticianiscapable
of resultativelecturingor practical training.
Taking into account theaboveproblems IMO has
developedspecial methodsof preparingmaritimeoffi-
cers to academic career which help them to learn
methods of trainingtheyoungpeoplebothonboard
andshore.
One of the ways of attracting experienced prac-
ticians, first of all masters and chief engineers to
academicactivitymaybetheirinvitationtotheengage-
ment in the educational establishments during the
periods of their stay on shore between the contracts
concludedfor theworkat sea. A solutionof theprob-
lem would also be the arrangement of a temporal
refresher employment of thelecturers intheposition
of dubbingofficers or their temporal employment to
the crew staff positions on board commercial ships,
but that requires certain funding, which an educa-
tional establishment is mostly short of as well as
understanding and support on the part of shipping
companies.
2 MET INTHE UKRAINE
Thetwoprincipal factors thealarmingsituationwith
theemploymentof populationandlowratesof payfor
labor ontheonehandandthehighstandardsof edu-
cation and training of marineofficers in Ukraineon
the other hand predetermine favorable opportunities
of trainingcompetitivespecialistsfortheinternational
labor market inthemaritimeeducational institutions
of Ukraine. Mostlypartof thegraduatesfromONMA
wereemployedfor serviceonboardships under for-
eign flags. However, many specialists after gaining
invaluablepractical experiencein Ukrainian compa-
niesseekemploymentbyforeignshipowners.Thelaws
ontheemployment andonthehigher educationcur-
rentlymforceinUkraineenableagraduateof ahigher
educational establishment to effect a free choice of
theemployment place. Thelatter fact gives thegrad-
uates of the Maritime educational establishment the
opportunity for theemployment by foreign shipping
companies.
Ukraine, as a maritime power, being a party to
theSTCW-78.95International Conventionhasunder-
taken to constantly maintain the quality of training
seafarersat thelevel of international standards.
The achievement of these standards has only
become possible as a result of creation of a proper
national systemof education and training, refresher
andupgradingcourses andcourses of additional rel-
evant education and training for officers. This sys-
temcomprisestoday 10Maritimehigher educational
establishments(academies, universities, institutesand
colleges) andabout40maritimetrainingcenters, most
of thembeingfittedwithadvancedsimulatorbaseand
moderntrainingtechnologies.
Odessa National Maritime Academy is the basic
educational establishment of Ukraine. It educates
and trains wideprofilemaritimespecialists for both
national andinternational labor market.All thecondi-
tionsarecreatedintheAcademyfortrainingspecialists
meeting the requirements of the international stan-
dards of shipping industry, requests of national and
foreignshippingcompanies.
ONMA amounts about 11000 undergraduates of
seafaringspecializationwithyearly graduationmore
then 1000 people. The Academy comprises facul-
ties, institute, colleges and training center, not only
inOdessabut inother citiesof Ukraine.
Enrollmentbasedonthecompetitivechoiceof can-
didates having completesecondary education 1011
years).
Term of studies of a specialist having complete
higher education-5.5years;
Provision of on-board training not less than 812
monthsdependingonthespecial field;
Fundamental general engineeringtraining;
Highlevel of educational technologyprovision;
Highratingof theacademicstuff;
Combination of studies and research work of the
cadets, development of creativeskills;
Arrangementof studiesandeven daylifeof cadets
intheconditionsresemblingshipboardenvironments
androutines;
Compliance with the requirements of the
international conventions;
736
Figure1. TheUnlimitedCertificatesof Competency(Deck) ReferringtotheSTCW78/95andResolutionof theCabinet
of Ministersof UkraineNo38, 15thof J anuary2005 RegulationontheConferringtherankupontheUkrainianSeafarers.
Systemof continuouspost-graduationeducationfor
marineofficersformaintainingahighlevel of compe-
tence, familiarizationwithnewtechnologiesandnew
control methods.
Thelastdecadereformsof educationinUkraineini-
tiatedthetransitiontothesteppedsystemof training
specialists, providing for four qualification educa-
tional levels:juniorspecialists,bachelor,specialistand
737
0.5-year
Academy or University
Master of Science
Complete Higher
Education
Specialist
Complete Higher
Education

Bachelor of Science
General Higher
Education
Junior
Specialist
Incomplete Higher
Education
11 years
Complete Secondary
Education
(Secondary School)
9 years
Basic Secondary Education,
(Secondary School)
1.5 year
Academy or University 1.5 year
Academy or University
4 year
Academy orUniversity
2 years
Academy, University or College
2 years
Secondary Education School
3 years
4 years
College or Marine School
Figure2. TheSystemof EducationinUkraine.
master. Accordingtotheconceptionof educationand
professional trainingof shipcrewmembers, approved
bytheMinistryof EducationandScienceof Ukraine,
thegraduatesof theeducational establishmentsat the
level of juniorspecialistsandbachelorshall occupyon
boardthepositionsof officersinchargeof awatchat
theoperational level andthoseat thelevel of special-
istsandmastersatthemanagementlevel incompliance
withSTCW-95.
3 PRACTICAL TRAININGOF CADETS
STCW-78/95 Convention (Section B-II/1) notes that
the mandatory periods of seagoing service are of
primeimportanceinlearningthejobof beingaships
officer andinachievingtheoverall standardsof com-
petencerequired.Theprogrammeof on-boardtraining
shouldbeanintegral part of theoverall trainingplan,
Theimprovement of quality andsystematiccharacter
of practical training are facilitated by an individual
Training Record Book proposed by IMO. It will
provideuniqueevidencethat astructuredprogramme
of on-board training has been completed, which can
be taken into account in the process of evaluating
competence for the issue of a certificate. The Con-
ventionprovidesfor twoidentifiableindividualswho
are immediately responsible for the management of
theprogrammeof on-boardtraining.Thefirstof these
isaqualifiedseagoingofficer, who, under theauthor-
ity of themaster, should organizeand supervisethe
programme of training on board, the second should
beapersonnominatedbythecompany, referredtoas
thecompanytrainingofficer. Heshouldhaveanover-
all responsibility for thetrainingprogrammeandfor
coordinationwithcollegesandtraininginstitutions.
Thecompany shouldensurethat appropriateperi-
odsareset asidefor completionof theprogrammeof
on-boardtrainingandbear thewholeof theexpenses
for practical training of the prospective maritime
officerstobefurther employedbythecompany.
A certain part of the shipping companies act in
the compliance with the requirements of the Con-
vention, taking an active part in training maritime
specialists, place cadets on their ships for on-board
training, nominate officers responsible for the man-
agement of theprogrammeof on-boardtraining, bear
theburdenof expensesfor theprovisionandtransport
738
toembarkationplaceand(for repatriation) of cadets.
Itsnecessarytonotethatsuchactivitynotonlyfacili-
tatesgoodpractical trainingof theprospectiveofficers
but alsoacurrent operationof ships withthehelpof
thecadetswhichperformanyfeasibleworksonboard
andformpart of awatch. At thesametimethecom-
panyhasachancetoevaluateprospectiveofficersthey
intendtoemployafter thegraduation.
Unfortunatelyfar not all companiesfindvacancies
for cadets, andareengagedintheir trainingonboard.
It wouldbedesirabletowork out anagreement at the
international level recommending the shipowners to
placecadetsoneveryship.
It is worthy to notethat theEuropeanConference
on Employment and Training 2001 held in Tallinn
by LSM Company(Lloyd Ship Management) insis-
tentlyrecommendedshipownerstoreserveminimum
two vacancies per ship for cadets and also to invest
moneyineducationandtrainingof seameninvest in
people [3].
ONMA hasgainedanexperienceof direct contact
andcooperationwiththeshippingcompanies, which
makeachoiceof last-yearcadetsof theAcademy, sup-
port theminthefinal stageof their educationandin
thiswayformareliablemanningreserveof deck and
engineer officers, tobeemployedbytheseshipowners
after their graduation.
Theresults of theactiveposition of theAcademy
intheinternational co-operationarenot limitedtothe
provisionof our cadetswiththevacanciesfor practi-
cal trainingonboardforeignvessels withsubstantial
remunerationfor their labor andsocial guaranties: but
they extendto concludingdirect contracts withship-
pingcompaniesprovidingfor thefinancial aidtothe
Academy.
In 2008 above 3500 cadets of the Academy
completed the programs of their on-board training
including 2000 on board ships belonging to foreign
shipowners.
Thepolicyof thecompanyprovidesfortheeventual
employmentof thecadetsaftertheirgraduationincase
of successful completion of two terms of shipboard
practical trainingonboardtheshipsbelongingtothe
Company. Morethen 100 contracts on theon-board
training have been signed with different shipowner
Company.
4 CONCLUSION
A comparativelyshort periodof timeisnecessaryfor
building a fleet, but a longer period is required for
bringing qualified officers to maturity. A common
concernof crewingcompanies,maritimeinstitutesand
training centers is theassuranceof thehigh level of
seafarers competence.
Theshortageof qualifiedofficersalsorequiresthe
revisionof thepolicyof shippingcompanies. Compar-
ativelyinsignificantinvestmentsineducation, training
and upgrading of seamen within the framework of
appropriateprogramsof personnel formationandcon-
trol wouldgivepriorityinprovisionwithstaff tothose
companies which assure their future and invest in
people.
REFERENCES
ONeil W. IMO GlobalizationandtheRoleof theRoleof
theSeafarer IMONews. no. 3, 2001, p. 45.
Yamamoto II. On the reason and Significance of the Core
Concept of I AMU
LloydShipManagement, J uly/August, 2001, p. 3,35,36,38.
SolvingMET issuescharteringthecourseinto21century./
Eleventh Conferenceon MaritimeEducation andTrain-
ing (IMLA 11). 2125 August 2000, World Maritime
University, Malmo. Sweden.
STCW95: evaluation of the implementation by maritime
trainingcentres/TheInternational MaritimeEducational
Conference.1415March2002,WorldMaritimeInstitute,
Ostend. Belgium.
Thelawof higher educationof Ukraine/ www.rada.gov.ua
BolognaDeclaration/
http://ec.europa.eu/education/policies/educ/bologna/
bologna.pdf
Standards and Guidelines for Quality Assurance in the
EuropeanHigher EducationArea/ http://ec.europa.eu/
739
Chapter 17. Maritime policy, proposals and recommendations
17.1
TheSomali piracynewor oldchallengefor international community
D. Duda&T. Szubrycht
ABSTRACT: Nowadays it is obvious that maritimetransport is thecoreelement of wordeconomy so each
disturbanceintheworldshippingcancreatemoreor lessseriousproblemsfor worldeconomy, especiallynow
whentheworldcrisesappeared.ThepiracyactivitiesshowedthatshippingsafetyintheGulf of Adenandwaters
aroundtheSomaliashouldbeconsideredasaninternational problem. TheSomali piracyhascomplexreasons,
soit isnot easy toprovidesafety of shippinginthisregionwithout widespectrumof actionandinternational
cooperation.Thepaper presentsanalyzeof piracyrootinSomalia, thedevelopmentof piracyactivitiesandsteps
of international communitywhichshouldbetakentoprovidesafetyandsecureshippinginthisregion.
1 INTRODUCTION
Somalia acountry inEasternAfricahasastrategic
locationonHornof Africa, alongsouthernapproaches
toBab-el-MandebandshippingroutethroughRedSea
andSuez Canal. Somaliais boundedto thenorthby
theGulf of Aden, to thesouthandeast by Kenya, to
thewestbyEthiopia, tothenorthwestbyDjibouti and
finallytotheeastbytheIndianOcean.Thecountryhas
2,340kmlandboundaries (Djibouti 58km, Ethiopia
1,600km, Kenya682km) and3,025kmof coastline.
The total area of Somalia is 637,700sqkm; the
country has a population (2005 estimate) of 8,6
million. Population counting in Somalia is compli-
catedby thelargenumber of nomads andby refugee
movements in response to clan warfare. The main
ethnicgroupsare: Somali 85%, Bantuandother non-
Somali 15% (including Arabs 30,000). Islamis the
state religion in Somalia, and most of the people
(90%)areSunni Muslims,aChristians(mostlyRoman
Catholic) are less than 1% percent of ethnic Soma-
lis. Mogadishu (the capital of Somalia), Hargeysa,
Kismaayo and Marka are the principal cities of the
country(CIA wordfactbook).
Uraniumand largely unexploited reserves of iron
ore, tin, gypsum, bauxite, copper, salt, natural gasand
oil reservesaremainnatural resourcesof theSomalia
(CIA wordfactbook).
It is said that Somalia was an example of fallen
country, becausethelegal governmentwasnotableto
effectively executethepower over theterritory of the
country.
2 ROOTSOF THE PIRACY INSOMALIA
Of course the piracy problemshould not be limited
only towatersaroundSomalia, becauseit isaworld-
wide problem, but now the Somali piracy problem
Figure 1. Somalia and the political fragmentation of the
countryinthebeginningof XXI century.
Source: http://geography.about.com/library/cia/blcsomalia.
htm, http://www.globalsecurity.org/military/world/war/
somalia.htm
is the most popular in world media, so the authors
decidedtofocustheanalyzeonlyinthewatersaround
Somalia. The maritime area around the Somalia is
veryimportantfor worldeconomy.Almost11%of the
worlds seabornepetroleumpasses through theGulf
of AdenandwatersaroundtheSomalia. It showsthe
importanceof Somali watersfor worldeconomy.
Thecountryhasbeenwithout astrongcentral gov-
ernmentsince1991, whentheMohammadSiadBarre
wasoustedafter 22yearsinpower. Sincethattimethe
political situationinthecountry is similar to puzzle.
Thestatecollapsedintochaosandcriminality,Somalia
hadbeenafieldof fightfor power betweennumerous
clans, subclans and religious fractions. The country
has been suffering fromwar, instability and natural
andhumanitariandisasters.
Weshouldnot seepiracy off thecoast of Somalia
only as aresult of thecontinuingpolitical instability
andlawlessnessinthiscountry.
743
It must be said, that the Somali piracy was also
closelyconnectedwitheconomical situationof Somali
peopleandproblemswithoverfishingandtoxicwaste
disposal aroundSomalia.
Therearethehighest concentrations of fishinthe
waters around coast of Somalia. Somali fishermen
used to catch a wide variety of seafood (tuna, sar-
dines, dorado, perch, sharkandlobster).Attheturnof
themillennium, Somaliawas homefor about 30,000
professional and60,000occasional fishermen. Fishes
were traditionally export products of Somalia. Now
(becauseof instability and permanent war in Soma-
lia) about 700shipsfromother countries, arecasting
local fishermen nets along Somalias coastline, and
they show a little consideration for the fish stocks,
local fishermenor over fishing. Noneof theforeign
trawlers has a license for fishing around Somalia.
Today trawlers fromfaraway places continue to ply
thewatersoff thelongcoastline. Thereareshipsfrom
J apan, India, Italy and Spain and others countries
(http://news.bbc.co.uk/2/hi/africa).
This fishing activity is named by J eylani Shaykh
Abdi, aSomali fisherman, asaneconomic terrorism.
HesaidTheyarenotjustrobbingusof ourfish.They
arerammingour boatsandtakingour nets including
thecatch.AccordingtheSomali people,theintruders,
usednetswithverysmall meshsizesandfishedwith
banned dragnets, and with dynamite in some cases.
The Somali fishermen outcry to the United Nations
andtheinternational communitywasloudandclear
but without any results. The Spanish fishing cutter
thatpirateshijackedinMay2008andtheThai trawler
whichwassunkbyIndianwarshipinearlyNovember
providedevidenceof howattractivetheSomali fishing
areaisworldwide.
Somali fishermen have also problem with toxic
waste. Thehugeamount of toxic wastewas dumped
at seaafter thecollapseof theregimeof former Pres-
ident SiadBarrein1991. Becausethecountryhasno
coast guard, the Somali coastline has no protection
against European ships dumping dangerous wasteat
sea. Proper wastedisposal inEuropecostsabout 400
times more than illegal waste dumping in Somalia.
That toxic waste has been dumped in Somalia for a
longtime, andtheinternational communityislooking
onanddoingnothingabout it. Sotheinternational
community gives thepirates aconvenient excuseto
legitimizetheir actions.
TheSomali pirateshaverepeatedlyarguedthatthey
wereforcedinto piracy by thedemiseof fishingand
thepracticeof dumpingtoxicwasteatsea. Butitisnot
themain reason, only a small fraction of traditional
fishermenhaveswitchedtopiracy.
Nevertheless, toxic wasteandillegal foreignfish-
ingareconvenient arguments for thepirates. J anuna
Ali J ama, aspokesmanfor thepirategroupsaidthat
Wearestill waitingfor itsransomfor theMV Faina
(pictures2),aUkrainianvessel carryingtanks,weapon
andmilitaryequipment. All wedoisask ransomsfor
theshipswehijackedbecausewebelievearansomrep-
resentsalegal taxthat agovernment mayhavetaken.
Figure 2. Somali pirates in small boats hijacked the
arms-ladenUkrainianfreighter Faina.
Source: UnitedStatesNavy, viaAgencyFrance-Press Getty
Images.
Wearedefendingourwatersfromforeignersdumping
toxic wasteandplunderingour searesources. I hope
theworldcanunderstandthatthisistheresponsibility
of Somalisandweshall oneday berewardedfor our
efforts. TheSomali coastlinehasbeendestroyed, and
webelievethismoneyisnothingcomparedtothedev-
astationthatwehaveseenontheseas(Somali pirates:
Seabanditsor coastguards).
TheSomali piracy activity issimilar toavalanche.
Back in 2005, therewerealmost 100 gunmen. Now
(in 2008) therearebetween 1,100 and 1,200 pirates
(http://news.bbc.co.uk/2/hi/africa).
Without naval or coastguard forces patrolling its
EEZ, local fishermenturnedto piracy to stopillegal
fishingandtoxicdumpinginSomali waters.
Butthereisanotherpointpiratelifeisattractivefor
manyyoungmeninthisoneof thepoorestcountrieson
theplanet. Theprofitsfrompiracy areimmense. The
mencarryingoutthehijackingskeepabout30percent
of theransommoney (20percent goes to thebosses,
30 percent is paid in bribes to government officials
and 20 percent is set aside for future actions). He
used to be a poor fisherman a year ago but now he
isrich. Hebought threebeautiful housesinthesame
neighborhood. Hehadawifebutmarriedasecondone
recently. Thereweremaybe150 cars in thewedding
convoy. Heispiratenow(http://news.bbc.co.uk).
If youask around, everybody will tell youpirates
arebad. But thatsjust intheconversation, saidHaji
Abdi Warsame, anelder fromthecoastal townof Eyl,
amajor piracy hubonSomalias IndianOceancoast
(Somali pirates: Seabanditsor coastguards).
Corruptionis alsoimportant factor of piracy. His-
torical analyzeof piracyshowsthatcorruptionwasthe
keyelement(bothinancienttimeandmodernhistory).
Presumably, all key political figures inSomaliaare
profitingfrompiracy saidRoger Middleton, anana-
lyst with the Royal Institute of International Affairs
inLondon. This is just likeany business for us. We
careabout it just likeanyonewould careabout their
job. I havebeenontheoceanfor alongtime, not to
fish but to hunt down ships in our territorial waters,
whichnobodywill guardif I dontdoit,heexplained
(http://news.bbc.co.uk/2/hi/africa). All those reason
shows howcomplex is theproblemof piracy in this
part of theworld.
744
So if we (international community) want to stop
piracy, weshouldnotonlyfightwithpirates. Weneed
tostopall illegal activitiesaswell.
3 SPREADINGTHEAREA OF PIRACY
ACTIVITIES
Fewyears ago themain targets for piracy wereboth
fishingboat whichaccordingthelocal Somali popu-
lationprovidesillegal fishingintheSomali Economic
ExclusiveZone(EEZ) and vessels, which weresus-
pectedof illegal toxicwastedisposal. At that timethe
pirates attackedvessels nofarther than50miles way
of thecoast.
Thefirst reactionof shipownersfor piracyattacks
wastoincreasethedistanceof shippinglinefromthe
coast. Butthepirateschangedtheirtactics; theystarted
to usethemother ship. They attackedvessels farther
andfartherfromthecoast.Whilepreviousattackstook
placewithin200nautical milesaway fromland, now
even the ships sailing 400, 500 or event 600 miles
away fromthe coast of Somalia are not safe. Also
thesizeof thevessel doesnt matter. TheSirius Star
supertanker(332meters),ownedbySaudi oil company
Aramco, washijackedroughly450milessoutheast of
Mogadishu(pictures3).
Thereis aninterestingquestionwhy thehijacking
actof theSirius Star hadsogreatimpactontheworld
massmedia. Whywasthisaccident sofamous?
Last year tookplacemanyother important but less
spectacular piracyactions, for exampleinSeptember,
Somali piratescapturedintheGulf ofAdenaMVFaina
Ukrainianvessel with33tanks (T-72) andother mil-
itaryequipment. Accordingtothelatest International
MaritimeBureau(endof theNovember 2008) datain
the 2008 more than 110 vessels have been attacked
around Somalia. The pirates captured 42 ships, 286
crewmembersremainashostagesfollowingattacksin
theGulf of AdenandwatersaroundtheSomali coast.
Negotiationstofree14shipsareon-going. Thepiracy
accidentsinGulf of AdenandwatersaroundSomalia
arepresented in thetable1. It is easy to noticethat
inother regionthepiracy threat is bigger thaninthe
watersaroundSomalia.
Thereisasimpleanswerforthisquestion.The1,800
feet longSirius Star tanker, cancarryabout 2million
barrels of oil and is one of the largest ships in the
world. The ships cargo is worth about 100 million
USD. Thepirates showed that now global sea-borne
tradeof strategicresourcescouldbethreatened.Thisis
themainreasonwhy Somali piratesandtheir actions
are present in headlines of international media. The
case of Sirius Star showed that these new piracy
eventsareasignal about thesecurity situationhere
if the piracy can go 400 miles out to sea, they can
go 600 miles, and they can go anywhere. To find
a solution to the escalating security situation, first
of all we need to established cooperation between
all contributing navies more efficient. [] we also
needtomakesurethat all naviescanact withsimilar
Table1. Piracyandarmedrobberyagainst ships.
2003 2004 2005 2006 2007
Gulf of Aden 18 8 10 10 13
andRedSea
Watersaround 3 2 35 10 31
Somalia
Nigeria 39 28 16 12 42
Indonesia 121 94 79 50 43
Total intheworld 445 329 276 239 263
Source:ICCInternational MaritimeBureaupiracyandarmed
robberyagainst shipsannual report 2007.
Figure 3. Tanker Sirius Star and satellite imagery of the
tanker anchorednear GaanontheSomali coast.
Source: http://bbs.keyhole.com/ubb/showflat.php/Cat/0/
Number /1242871/an/0/page/0.
rules of engagement (Zoro J anes DefenceWeekly,
26November 2008).
4 INTERNATIONAL ACTIONTAKENTO
DECREASETHE SOMALI PIRACY THREAT
Theproblemof Somali piracy is complex and there
are different proposals how to increase the ship-
ping security in the Gulf of Aden and water around
Somali coast. The international community tries to
take wide spectrumof actions against piracy in this
area. Someof theactionsareobvioussomearerather
controversial. Nowadayswecansaythat international
maritimecommunity took such actions for shipping
protectionas:
multinational (CTF 150), NATO(StandingNATO
MaritimeGroup 2) and EU NAVFOR (Operation
ATLANTA) naval taskforces;
protectionof vesselsbyprivatemilitarycontractors
andarmedguardonmerchant vessels;
non-lethal self-protectionmethods;
reflagof thevessels;
changetheshippinglines.
Combined Task Force 150 (CTF 150) has been
established in 2003 to monitor, inspect, board, and
stop suspect shipping in the Gulf of Oman, Gulf of
Aden, ArabianandRedSeaandfinallyIndianOcean
(picture4).
745
Figure4. Theareaof responsibilitiesof CTF 150.
The CTF 150 area of responsibility is 6,2 mil-
lionsqkmandincludesthecrossingof mainworldoil
and gas shipping lines. Therearethreechokepoints
of worldoil andgas transport: Sues Channel, Badel-
Mandab and Hormuz. The eastern and northeastern
Somali coastarehigh riskareasforpiracyattacksand
hijackingsfor ransom. Accordingwesternanalysesit
is alsoareaof drugsmugglingandimportant areaof
counterterrorismmission. CommodoreBobDavidson
(CanadianNavy) Commander of CTF 150identified
thethreehighest prioritiesfor CTF 150:
maritime security operation, which he calls the
classiccounterterrorismmission;
counter-piracyoperation;
counter drugmissions (drugmoney is goingback
toeither theTalibanorAl-Qaeda).
Headded that thereareno restrictions to taking
actiononcepiratesgetonboardandthereisahostage
situation. Another challengeis if thevessel that has
been taken has gone into Somali waters. Under the
lawof theseaprior totheUNresolution, actof piracy
insideterritorial waters is not apiracy act but armed
robbery and therefore it is a local law-enforcement
issue (Newell J anesDefenceWeekly, 17September
2008).
The task forces usually consist of several ships
(destroyers, frigates and auxiliary ships, helicopters
andmaritimepatrol aircrafts) fromsuchNATOcoun-
tries as: Canada, France, Germany, Greece, Italy,
Netherlands, Portugal, Spain, Turkey, United King-
dom and the United States. Ships from such non
NATOcountriesas: Pakistan,Australia, NewZealand,
Sweden, India, Malaysia, RussiaandChinaalso par-
ticipateincounter-piracyoperation. Thecommandof
thetaskforcerotatesbetweenthedifferent participat-
ingnavies, andusuallylastbetweenfourtosixmonths.
It is easy tonoticethat for eachparticipant countries
theareaof CTF 150responsibilitiesisvital for eco-
nomical prosperity. Commodore Davidson said that
Wewant toshowCanadianinterest intheregionnot
just inAfghanistanbut inthemaritimeworldaswell
(Newell J anesDefenceWeekly, 17September 2008).
Thehead of Chinas National DefenceUniversity
major-general J inYinansaidI believedtheChinese
navy should send naval vessels to the Gulf of Aden
to carry out counter-piracy duties. With China as a
major world economy, its very difficult to say that
securityproblemsacrosstheworldhavenothingtodo
with us. If we dont take effective action, how will
theyseeusabroad, andhowwill Chinesepeopleview
their government? (Frank, LloydsList, 5December
2008).
Also the Council of the European Union (EU)
announced on 10 November its intention to proceed
with the first deployment EU naval task force for
counter-piracyoperationsoff Somalia. Themissionis
alsoopenedtonon-EUparticipation. Uptosixvessels
includingthreefrigates andsupply shipplus threeor
moremaritimesurveillanceaircrafts areexpected to
join EU NAVFOR Somaliafor OperationAtlantain
December 2008. This year-longmissionwill provide
escortprotectionforcivilianvesselsdeliveringfoodto
displacedpeopleinthewar-torncountry as apart of
theUNWorldFoodProgram.
OnemonthaftertheCouncil of theEuropeanUnion
decision the German government decided to con-
tributeinthecounter-piracymissionAtlantawith1400
soldiersandfrigates. Thenavywouldalsobeallowed
toarrests pirates andbringthemtotrail inGermany,
saidhomesecretaryWolfgangSchuble. (Fish, J anes
NavyInternational, December 2008).
TheEU NAVFORcounter-piracytaskforcewill in
somecircumstancesprovidefreearmedguardstopro-
tect vulnerablemerchant vesselsintheGulf of Aden,
as a part of its response to the explosion in piracy
closetoSomalia. Butthereisimportantquestionwhat
does vulnerable merchant vessels mean? NAVFOR
officials stressed that World Food Program (WFP)
shipswouldhavefirst call onmilitaryresources. The
Royal Netherlands Navy had deployed in theend of
November frigate HrMs De Ruyter, which escorted
twoWFP vesselsonitsmissionsfromKenyanport of
Mombasa.
Also NATO joined to counter-piracy operation in
theareaaroundSomalia. ThreewarshipsfromStand-
ing NATO Maritime Group 2 have begun escorting
WFPvesselscarryingaidtoSomalia.TheNATOgroup
consistof theHellenicNavysfrigateHSThemistocles,
theItaliandestroyer ITS Luigi Durand De La Penne,
andRNsfrigateHMSCumberland.
TheNATO ships sinceearly November havebeen
operatedunder newly adoptedjoint rules of engage-
ment(ROE). ThenewNATOROE andoperatingplan
are addressing to counter-piracy efforts and escort
responsibilities for shipcarryinghumanitarianassis-
tanceorganizedbyWFPtothemorethanthreemillion
Somalis. Thenew ROE is sensitiveto their national
commands, whichallownavies to boardvessels sus-
pectedof illegal actsandconfiscatedillegal weapons.
Accordingto NATO spokeswomanCarmenRomero,
it meanstheability toarrest, detainpeoplesuspected
746
of being pirates (Zoro, J anes Defence Weekly,
26 November 2008). There are many examples that
useof forcemaycreateseriouspolitical problems.
Below there are examples of different military
action, whichweretakenby shipsinlast twomonths
of 2008.
The Indian Navy ship INS Tabor sank a pirate
mother ship on November 18, after coming under
heavyfirefrompirates.Buttwospeedboatsladenwith
suspected pirates escaped. The mother ship was a
formerThai trawler, boardedbypirates.TheThai crew
memberswerekilledduringthefight betweenpirates
andIndianship. Thisaccident hascausedembarrass-
menttotheIndianNavy, andmayhaveseriousimpact
onfuturenaval responsestoSomali piracy.
On 25 December the German frigate Karlsruhe
receiveddistressedsignal fromcrewof Egyptianves-
sel Wadi al-Arab. Thevessel was under piracy attack
50milesoff Yemeni coast. TheGermanshipsent the
helicopter to support thecrew of Wadi al-Arab. The
pirates escaped when they saw the helicopter. After
fewhourstheKarlsruhe stoppedthepiracymotorboat
andcapturedsixpirates. But theGermangovernment
orderedtofreepirateswhowerecapturedbyGerman
sailors. The spokesman of EU NAVFOR captain
AchimWinkler saidthat thepirates couldby arrest
andsent toGermany only if they attack Germanves-
sel or theGermancitizenwouldbeinjuredduringthe
piracyattack(Ku zmicz,GazetaWyborcza18grudnia
2008).
On 2 December Danish ship Absalon rescued a
group of suspected pirates in theGulf of Aden after
receiving a distress signal fromtheir vessels, which
had technical problemin heavy seas. According the
international law Absalon had to help the vessel.
TheDanish sailors discovered anumber of weapons
onboard thevessel, similar to thosewhich areoften
used in pirate attacks on merchant ships. Due to
weather, it wasimpossibletotaketheshipintowand
vessel was sunken in theinterest of shipping safety.
Thepirateswerelater handedtoauthoritiesinYemen.
The military actions, which were taken by ships
fromdifferent countries, showthedifferent aspectsof
militaryactioninthemaritimeareaaroundSomalia.
CommodoreBobDavidsonsaidthatItisamission
that ispart operational, part diplomacy, but it reallyis
about building co-operation in the region (Newell,
J anesDefenceWeekly, 17September 2008).
Thegovernmentof theautonomousPuntlandregion
onthewestbankof theGulf of Adenhasalsomovedto
respondtothepiracyactivity. Puntlandtroopsboarded
and recapturean Indian cargo vessel on 21 October
2008.
5 USINGARMEDGUARDONMERCHANT
VESSELSANDENGAGINGPRIVATE
SECURITY COMPANIES
Thereis another solutionfor increasingtheshipping
security using armed guard on merchant vessels
andengagingprivatesecuritycompanies. A small but
growingnumber of ship-ownersareexploringtheuse
of armedpersonnel toguardshipssailingthroughthe
waters of theGulf of Aden. Privatesecurity contrac-
tors said that they were getting more queries from
companies interested in their services, including the
use of weapon. While the most maritime executives
flatly refuseto even consider thepresenceof armed
guardsontheir vessels, othersseemtobeseducedby
the idea. Some owners have a fascination with the
concept of armed guards sailing on ships transiting
the Gulf of Aden, but many ship-owners abhor the
ideaand, generallythereisfar moretalk thanaction
(http://www.abc.). Using armed guard and engaging
privatesecurity companies onmerchant vessels raise
manynumbersof issues, fromlegal pointstomorality
matter.
Thereisanopinionthat we(international commu-
nity) cannotblametheshipownersfortakingsecurity
measureintotheir ownhands, but thisisnot thebest
answer for piracy threat. Wewill never haveenough
warships to protect the whole area so we need to
findalong-termsolutionthat involvesmoreefficient
co-operation,designatedescortlanesandgettingtothe
mothershipif possible(Zoro, J anesDefenceWeekly,
3December 2008). Therearearound20ships inthe
wateraroundSomalia,soeachshipshouldtakerespon-
sibilities for almost 300 thousands sqkm. Company
spokeswomenAnneTyrrell saidWeabsolutelythink
it would be a good idea to employ such companies
[privatesecurity companies]. US basedBlackwater
Worldwidehasalreadyoffereditsserviceintheform
of its own vessel. There have been initial conversa-
tionswith15shippingcompaniesbut therehavebeen
no contracts signed (Zoro, J anes Defence Weekly,
26November 2008).
TosupporttheideapresentedbyAnneTyrrell wecan
givemanyexamples. Onevessel wasboardedwhileit
wassailinginaFrenchNavyconvoywiththreeBritish
unarmed security guards onboard, who were forced
tojumpoverboardwhenthey cameunder heavy fire.
Andy MacDonagh, adirector of privatemilitary con-
tractorRavenSpecial Projectsaidthatformostpeople,
contemplatingtheuseof forearmswasdistasteful. But
hesaidthat non-lethal alternativeswerenot working.
Howdopiratesinasmall boat canstopa30000tone
ship?Itisforearms, thatall itis. Butassoonasyoufire
back, theyaregoingtoturnroundandgotheotherway
becausethey aresovulnerable(Zoro, J anesDefence
Weekly, 26November 2008).
Butontheotherhandtherearequitedifferentopin-
ions in this matter. There is opinion that The risk
of engagingprivatesecurity companiesmay increase
theprobabilityof potential casualtiesaboard(Reyes,
LloydsList, 4December 2008). Hiringarmedguards
is a controversial step that goes against the advice
of international shippingbodies, includingtheRound
Table of industry associations and the International
MaritimeBureau. Bothorganizationsstronglyoppose
thisoption. Thereisafear beingexpressedthatitmay
not tobepossibletocontrol theactionsof thearmed
747
contractors. We should stress that seafarers are not
trained professionals in the use of weaponry. There
arenot regulations whichbanweaponry onboardof
thevessels. Many countries havenoexpress prohibi-
tionagainst armingthecrewmembers. Althoughwe
shouldsaythatsomecountryrecommendationarefor
someareagainst. For example:
Registrar general of J amaica Ship Registry Eric
Deans said that We do not have any explicit rules
regarding thearming of ships. Weleavethesecurity
of avessel tothediscretionof itsowner.
Liberia our policy is to discouragearmingmer-
chant ships, but Liberianlawdoesnot prohibit it and
wewill not domorethantrytodiscourageit.
Theuseof armedguardswasnotofficiallyencour-
aged, itwasnotprohibitedeithersaidspokesmenUK
ShipRegister.
Isle of Man Manx flag neither encourages nor
prohibit weapon.
Barbados Maritime Ship Registry principal reg-
istrar said We have not got a position formulated,
becauseit hasnot comeupwithanyof our ships. It is
abit difficult; wewouldhavetosit back andthink it
through (Osler, LloydsList, 12December 2008).
Headof securityat theChamber of ShippingPeter
Hinchliffe said that France has informally offered
armedguards for several months, as part of its loose
escorting arrangements for group of ships (Reyes,
LloydsList, 4December 2008).
Blackwater private military contractors are ready
to provide armed protection to vessels sailing close
to coast of Somalia. British Concern Maritime and
Underwater Security Consultants is understood to
offer armed personnel, while stressing that such a
policy should only be adopted in very specific cir-
cumstances, where vessels are judged particularly
vulnerable, or thecargocarriedisof highvalue.
But there is also another aspect of the problem.
PuttingEUmilitaryguard(orguardfromprivatesecu-
rity companies) onvulnerablevesselsinthecounter-
piracyoperationintheGulf of Adenmayraiseserious
problems from an insurance viewpoint
1
. War risk
insurerscovercrewmemberskilledorinjuredinpirate
incidents but armed guards are not considered as a
crew. The armed guards onboard may increase the
insurersfeefor vesselssailinginthisregion.
6 CHANGETHE SHIPPINGLINESOF
THEVESSELS
More and more ship-owners consider the change
of shipping lines to avoid this dangerous region.
For example German cruise operator Hapag-Lloyd
Kreuzfahrtenwill no longer operatevessels carrying
passengers through the Gulf of Aden. Hapag-Lloyd
Columbus had to passes through the Gulf of Aden
onitsround-the-worldvoyage. Butall 246passengers
1
Shipownershavetopay10timesmoreinsurancepremiums
for coverageof passagethroughtheStraitsof Aden.
andmost of thecrewflewfromYemento Dubai and
stayedthreedaysinfive-star hotel inDubai, whilethe
Columbus passedthroughthepiracy riddenregion
withskeletoncrewonboard.Theshipkeptadistanceof
400milesawayfromtheSomali coast, aswasadvised
bylocal authorities.
A largescalereroutingof vesselstoavoidthethreat
of piracyintheGulf of Adenbesidestheraiseof cost
couldalsoleadtoproblemswithfuel supply. Theves-
selssailingaroundtheCapeof GoodHopecanbunker
the fuel in two places: South Africa or the Canary
Islands. However, there is a difficulty to supply the
vesselsinSouthAfrica, particularlyafter thefirethat
closed Durbans Engen Refinery in November. The
refinerycouldbeoutforthreemonths.DurbansEngen
Refineryisoneof themainsuppliersof marinefuel in
SouthAfricaandothersuppliersarealsofacingpoten-
tial supplyshortage.ThebunkerinstallationinCanary
Islandsisnot developedfor fuel supplyfor increasing
vesselstraffic. Thislimitationandeconomical aspect
(raiseof thecost) canthemainobstaclefor rerouting
of vessels to avoidthethreat of piracy intheGulf of
Aden.
7 NON-LETHAL SELF-PROTECTION
METHODS
Therearemany different types of non-lethal weapon
whichcanbeinstalledonboardof vessels. According
the Chamber of Shipping operators should continue
toexplorenon-lethal self-protectionmethods. First of
all thereisnolegal restrictionfor usingsuchweapons
on the board of shipping vessels. There are several
different types of such weapon, for example: long-
rangeacousticdevices(LRAD),ActiveDenial System
(ADS), Non-Lethal SlipperyFoamandDazzleGun.
InearlyNovember 2005about160kmoff thecoast
of Somaliapirates with RPGs andfirearms attacked
luxury cruiseship Seabourn Spirit but they not suc-
ceed. ThecrewusedtheLRAD toprotect thevessel.
Theeffectiveness of LRAD duringtheattack onwas
notcompletelyclear, butthepiratesdidnotsucceedin
boardingthevessel.
But there are also examples when the LRAD
was non effective during the piracy attack. On 28
November the long-range acoustic devices LRAD
which is the most popular and widely used as non-
lethal weaponwasineffectiveduringthepiracyattack
onthechemitankerBiscaglia.AccordingtheAmerican
TechnologyCorp(ATC)themainreasonof theineffec-
tivenesswasthenumber of LRADsanditslocations
on theship. Mr. Stuckey vice-president of ATC said
Youcannot just strapanLRADtothesternof aship
andexpectingit towork throughout thevessel. What
if I strappeda50caliber machineguntothesternof
theship?Howeffectiveisthatgoingtobeatthebow?
Youhavegot superstructureintheway, andit isasig-
nificantdistanceforward. Thereisalotblockingyour
path. But is it fair to say a machine gun is an inef-
fectiveweapon, or isit beingineffectively employed.
748
OneLRADdeviceonthechemitanker Biscaglia was
placedinthestern. AccordingtheATCbecauseof his
size the ship should have two LRAD (one on each
board) and it should be place at the midships not
stern. Most attacks do not seepirates approachfrom
thestern, but midships, wherethebowwavesarenot
suchanissue(Osler, LloydsList, 9December2008).
8 REFLAGOF THEVESSELS
Some ship-owners consider a possible switch away
fromflag of conveniencetowards national registries
with credible naval assets. For example if a British
flaggedvessel is under attack, any Britishnaval ves-
sel in theareawould haveto respond. But it is also
not aperfect solution, becausemilitaryactionagainst
pirates on board of the vessel can be dangerous for
crew.Thenaval specialistspointedoutthatsuchaction
fromlegal pointof viewcanbecomplicated. Itcanbea
seriousdilemmaforcommandingofficertotakeornot
military action. Thenationality of theowner (vessels
or cargo) andnationalityof thecrewmemberswill be
alsoaveryimportantissue.Analyzeof militaryaction
of naval shipshowsthatfirstof all naval shipprovides
protectionfor their national flagvessels. Thesecurity
of thecrewwill bealsoaveryimportant factor of the
militaryactivities.
9 CONCLUSION
Therearemanyregionswhenthepiracyactivitieshave
impactonworldshipping.Themodernpiracyanalyzes
showthat rootsandpiracyactionsaswell ascounter-
piracyoperationsall overtheworldinmanyaspectsare
similar but not thesame. Of coursetherearegeneral
conclusionsfor piracyproblemsall over theworld:
rootsof piracy;
social, political andeconomical aspectsof piracy;
impact (especially economical) on world or
regional shipping;
typesof counter-piracyactivities;
tacticsof piracyattacks.
But becauseof political, military, social, economi-
cal, geographical factorstheproblemof Somali piracy
hasanindividual andcomplexcharacter.
Accordingtheauthorsitisnotpossibletosolvethe
Somali piracy problemonly by military means. The
coreelementincounter-piracyoperationinthisregion
ispolitical stabilizationinSomalia. Theinternational
communityandSomali governmentshouldtakeatthe
sametimepolitical, economical andmilitary actions
againstpiracy.Theactionagainstpiracyshouldinclude
suchelementsas:
the political stability must be established in
Somalia;
the Somali government must received the mili-
tary support from international community, but
militarycooperationshouldrespectthesovereignty
of Somalia;
theinternational lawof theseashould beobeyed
byother countries;
thecountry should received effectiveeconomical
support for rebuildingthestateeconomy;
acomprehensiveoperationtoeliminatearmedrob-
bery and other criminal acts against ships at sea
shouldincludetherelevant operationsonland;
it should be a close cooperation between nation
participatingincounter-piracyoperation;
the ship owners should take the whole spectrum
of activities which can increase the safety of the
vessels.
It should be emphasized that the main goal of
Somali piratesisransom, sotheriskfor crewisrather
limited. So far only very few sailors were killed or
injuredbypiratesinthewater aroundSomalia. Com-
pare to the other region of the world it is a main
differencebetween Somali pirates and pirates in the
rest of theworld.
There is another point, which can be a key ele-
ment of Somali piracyproblem. SheikhHassanDahir
Aweys(Somali Islamist leader of Alliancefor theRe-
Liberationof Somalia) toldthatWearecallingforthe
immediate release of all international vessels under
thecommand of Somali pirates, who areundermin-
inginternational peaceandtrade. Hepointedoutthat
piracywasalmosteliminatedduringthesixmonthsin
2006whentheUnionof IslamicCourt, ruledmost of
southernandcentral Somalia. Wearetheonly force
that couldeliminatepiracyintheSomaliawaters, but
theworld rejected to giveus theopportunity to rule
Somalia, despitethewill of thevast majority of the
peopleof Somalia. If wearegiventheopportunityto
fight piracy and general lawlessness we can do that
comfortably. Piracy is part of lawlessness, and dur-
ing our months of Islamic leadership, pirates were
underground (Blackwater in London, Lloyds List,
3December 2008).
AfricaExpert at ExclusiveAnalysis toldthat We
expect the Islamist groups to increase their internal
competition for power, leading to intensified fight-
ing around the capital Mogadishu however piracy
attacks launched off the southeastern coast would
probablybesignificantlyreduced(FrankLloydsList,
4December 2008).
Butontheother handsitcanbeevenworstsolution
if weconsider theglobal war withterrorism.
BIBLIOGRAPHY
Blackwater in London to woo ship-owner clients, Lloyds
List, 3December 2008
CIA worldfactbook
Fish T., EU prepares to deploy first naval talk force to
Somalia, J anesNavyInternational December 2008
FrankJ.,Chinaadvisedtojoinanti-piracynaval force,Lloyds
List, 5December 2008
Frank J., Ethiopian army withdrawal set to weaken pirates,
LloydsList 4December 2008
749
ICC International MaritimeBureau, Piracy andarmedrob-
beryagainst shipsannual report 2007
Ku zmicz M., ONZ kontra piraci, Gazeta Wyborcza, 18
grudnia2008
Newell C., InterviewwithCommodoreBobDavidsonCom-
manderof CTF150,J anesDefenceWeekly,17September
2008
Osler D., Owners may reflag to ensure naval protections,
LloydsList 3December 2008
Osler D., Manufacturer hits back at sonic failure claims,
LloydsList, 9December 2008
OslerD., Flagsundecidedoverarmedguards. LloydsList12
December 2008
Reyes B., Are armed guards the silver bullet solutions to
piracy?, LloydsList, 4December 2008
Somali pirates: Seabanditsor coastguards,
http://www.alarabiya.net/articles/2008/12/14/61990.
ZoroC., Naval cooperationkeytoSomali anti-piracyeffort,
J anesDefenceWeekly, 26November 2008
Zoro C., More patrol aircraft needed to counter Somali
piracythreats, J anesDefenceWeekly, 3December 2008
http://bbs.keyhole.com/ubb/showflat.php/Cat/0/Number/
1242871/an/0/page/0
http://geography.about.com/library/cia/blcsomalia.htm
http://news.bbc.co.uk/2/hi/africa/7650415.stm
http://www.globalsecurity.org/military/world/war/
somalia.htm
750
17.2
Theimportanceof theeducational factor toassurethesafeand
securityonthesea
L.C. Stan& N. Buzbuchi
Constanta Maritime University, Constanta, Romania
ABSTRACT: Ourpaperdealswiththemethodsandtechniquesusedintheeducational processintheMaritime
Universityof Constantatodevelopthepractical abilitiesandprinciplesinapplyingtheoperational procedures
and theutilization of thespecific safeand rescueequipments at sea, by thestudents and maritimeofficers.
The educational process has an outstanding role in the career of a maritime officer and the problemof the
safety andsecurity is essential inorder to avoidcatastrophes andfor savinghumanlives. Thepaper presents
theimplementation, theroleandfunctionof thenewsimulatorsaspart of theteachingprocess. Qualitycannot
beobtainedwithoutnewteachingmethodsandtrainingprocedures, whereITandsimulatorsoccupyanoutstand-
ingplace. Thesenewmethods andtechniques havebeenintroducedintheMaritimeUniversity of Constanta
(MUC) stepbystep, fromthemultimediatoolstocomputerswithdedicatedcomplexsoftware.
1 INTRODUCTION
MaritimeUniversityof Constanta-MUChasaunique
profileintheRomanianhigher education, offeringits
graduates licenses for maritimeofficer andfor engi-
neer too. There are two faculties in the MUC: the
NavigationFaculty andtheNaval Electromechanical
EngineeringFaculty.
TheUniversityprovidesadditional trainingfor sea-
farer and ashore personal, many of which are our
(MUC) graduates. The MUC provides training and
education for students and officer in accordance to
theStateeducational standards,withMaritimeAuthor-
ity requirements and in compliancewith theSTCW
standards.
With the introduction of the International Safety
Management(ISM) Codetheresponsibilityof seafar-
ers competency now also lies with the ship owner.
Section6.5of theISMCodestatesthattheshipowner
shouldestablishandmaintainproceduresforassessing
competenceandidentifyinganytrainingwhichmaybe
requiredinsupportof theSafetyManagementSystem
(SMS) andensurethatsuchtrainingisprovidedfor all
personnel concerned.
Over the last decade the world vessel fleets have
becomehighlysophisticatedandtechnicallyadvanced.
However, due to human error, disasters still occur.
Operational failuresamiss-communicationcaneasily
causemajor accidentsor expensivebreakdownswith
severeeconomical consequencesfor acompany.
The new challenge for shipping companies, mar-
itimecollegeandtrainingcenterswill betofindtools
for suchtrainingandevaluation.
Once the educational systemregistered a reform,
due to the major impact of the technical revolution
duringthelasttwentyyears, theteachingmethodshad
toundergomajor changes.
The faculties provides by the latest achievements
of the information technology, not only as regards
computing speed and storing capacity, but also, and
especially through the unprecedented development
of software packages, which offer the possibility
of commissioning such resources, imposed them-
selves in the last years as an essential and out-
standingsupport intheeducational process. Thenew
approaches of the training methods include the fol-
lowing: improved links between on-the-job and off-
the-jobsactivities; self-learninganddistancelearning
trainingpackages (computer, video andaudio teach-
ingaids); trainer training; modular training; simulator
training.
Themainobjectives of thenewapproachfor edu-
cational methods and techniques are as follows: to
makeaknowledgetransfer fromthetraditional sup-
port; toorganizetheinter-activedatabasesforstoring,
updating and transfer of knowledge to the trainees;
to develop someprotection, supervising and admin-
istrationsystemsfor theaccesstosuchdatabases; to
implementtheintranetandinternetaccessinformation
systems.
Oneof principal goal of our maritimeeducational
processistoallow, keyproblemsof fleet suchassafe
navigationandsafety of lifeat sea. MUC developed
a number of educational and training programs for
maritime specialists and other personal engaged in
use and maintenance of the equipment for safety of
navigation.
Inthispaper, wepresentsomeof themainmethods
and techniques applied in MUC for the continuous
trainingandimprovement of officers.
751
2 TRAININGPROCESSINMARITIME
UNIVERSITY OF CONSTANTA
In the last decade, the educational systemin MUC
has suffered major transformation, which caused an
essential progressinlearningandtrainingprocess.The
trainingprocesswasdevelopedbydifferent periods:
19901994 practice training in the universitys
technical labs(Radiolocation, Electrical navigation
equipment, Electrical engines, Internal combustion
engines, Naval mechanical, Hydraulically, cooling
system, FluidMechanics andhydraulic Machines,
Naval steamsgeneratorsandstudenttrainingonthe
Neptunschool ship;
19942000 theoretical training and evaluation
control using a network computers and multime-
diatools. E-learningisusedbothinthetheoretical
andpractical processfordifferentpurposes: testing,
evaluation, self-evaluation, creatingvirtual labora-
tories,simulations.Specializedsoftwareareusedby
studentsaccordingtothedifferentspecialties(elec-
tro technical, mechanical, navigation). Soft wares
forcontrollingandautocontrollingstudents;knowl-
edgehavebeendonefor different moments: initial
tests, dailytests, final evaluationtests. Usingdiffer-
enttestsindifferentmomentsof theeducational pro-
cess, thiscanaffordthecontinuousimprovementof
students traininglevel. Audio-videomethods, sim-
ulation, computeranimationprovedtobeextremely
attractivefor our students, withgoodresultsasboth
their technical andpractical knowledge.
Thesemethodsdeterminedthestudentstobemore
activeusingtheInternet, for growingtheir scientific
and professional information and in finishing their
license.
E-learningisusedinMUCforon-linecourses,mas-
ters courses andfor obtainingtheofficers maritime
license.
From2001,ithasbeenappliedcomputerknowledge
testingfor obtainingtheofficersIII license.
2004 future using the simulator for training
andevaluationcontrol. Thisnewchoiceistheperfect
solutionforachievingtheperfectsimulationonboard:
regardingoperatingships, maritimeequipments, prac-
ticingproceduresestablishedbyISM, themainplants
andmalfunctionsbyplantsandmachines.
Thispaperwill bepresentedthetypesof controlling
tests, also theprocedureof testingandevaluationof
thegraduates.
3 THE SIMULATORS, MEANSOF
IMPROVEMENT THE EDUCATIONAL
EFFICIENCY FOR SAFE NAVIGATION
SAFETY ONTHE SEA
Simulator traininghasover thelast yearsprovedtobe
aneffectivetrainingmethodwhentrainingengineers,
especially wherean error of judgment can endanger
life, environmentsandproperty. A dynamicreal-time
computerized simulator can, when it comes to cer-
tain situations, compress years of experience, into a
fewweeksandgivecompetencetohandlethesesitu-
ationsandknowledgeof thedynamicandinteractive
processestypical for areal engineroom.
Propersimulatortrainingwill reduceaccidents;will
prevent the maritime disaster and marine pollution
too, besides its educational training seamanship in
navigationandmaneuvering. Thesimulatorsimprove
efficiency, andgivetheengineersthenecessaryexpe-
rienceandconfidenceintheir job-situation.
Starting with 2002 year, MUC installed and put
inoperationthreeKongsbergNorcontrol simulators:
GMDSS andSAR simulator, Engineroomsimulator
and Navigation simulator. The MUC installed these
simulators to organize practical training for its stu-
dentsandgraduates, for shipandshoreusers, aswell
asforsystemserviceengineeringtraining. Simulators,
used for thepractical training, proved to betheper-
fect solution to createappropriateconditions similar
to thereal situationonboardship- regardingoperat-
ingships, maritimeequipments, practicingprocedures
established by the International Safety and Rescue
Rules.
Theuseon ship theGMDSS equipment widened
itspossibilitiesfor safetypurposes. TheGMDSSsim-
ulator includes one GMDSS console equipped with
different GMDSSreplicainstruments.
Theequipment of aconsoleconsistsof thefollow-
ingcomponents:
RadiotelephoneVHF simplex/duplex/semi duplex
channel
RadiotelephoneSSB MF andHF
DSC Controller andreceiver MF andHF
Navtex
Inmarsat C complete
Radiotelex(NBDP)
EPIRB andSart
All theshipsGMDSS/SARradioequipment,SART
(SearchandRescueTransponder),EPIRB(Emergency
Position Indicating Radio Beacon), Radar display,
Navtex, Communicationsystems(VHF, DSC, NBDP)
aregraphicallysimulatedonthestudent PC station.
The GMDSS and SAR simulator is used both,
by the students of Navigation Faculty and those of
Naval Electromechanically, but withdifferent targets
in accordance with their competences on the ship
board.
TheGMDSSandSAR simulator consistsnowof a
main instructor station and four student stations and
it is to befittedwithtwo morestudents stations this
year. The simulator includes all radio communica-
tionequipments for seaareaA1toA4inaccordance
withinternational regulationsIMO/SOLAS/GMDSS.
Theinstructor stationisconnectedtothestudent sta-
tions by acomputer network. Thesimulator provides
a training interactive package combining computer-
basedtrainingwithPC simulation. Theinstructor has
thepossibilityof creatingalot of exercisesandmod-
ifying different parameters, such as: sea area, types
752
Figure1. Enginecontrol room.
of equipment, ships geographical position, heading
and speed, identification number and name, etc. By
meansof computertheinstructorcanconfigureall the
instrumentswhichareavailabletothestudentforeach
SAR-missionexercise.
All theshipsGMDSS/SARradioequipment,SART
(Search and Rescue Transponder), EPIRB (Emer-
gency PositionIndicatingRadio Beacon), Radar dis-
play, NAVTEX communicationsystems (VHF, DSC,
NBDP) aregraphically simulated on thestudent PC
station.
In Maritime University of Constanta exists a
KONGSBERG NORCONTROL ERS-MC 90-III
engineroomsimulator whichhas:
1 instructor station;
2 control roomequipment;
3 engineroomequipment;
4 internal telephone;
5 synthesizedsoundsystem;
6 documentation;
7 installationstart-up;
8 training.
The concept of training and evaluation control
(TEC) isaninstructor systemwhichgivestheinstruc-
tor/student a tool for an efficient handling of the
trainingandevaluationof thepredefinedtaskandthe
student aneasyoperatedsystem. Thissystemisbuild
up of scenarios and all scenarios can be edited and
changed on-line, while the simulator is running, or
createdoff-line. Theon-linefacility isnormally used
duringasession, whenthetrainingprogresshastobe
justified. Thestudentsruntheir trainingfromTEC in
theoperator mode.
Inthefollowingpictures,Figures13,arepresented
thesolutionof our engineroomsimulator.
For thetrainingof students of NavigationFaculty
was installed a Transas simulator. The Transas full
mission bridge configuration consists of the entire
spectrumof navigational controls to beexpected on
abridge, includingradar displays, ECDIS, vessel con-
trols andnavigational sensors, all of whicharebuild
into consoles. All related visual and sound effects
Figure2. Mainswitchboard.
Figure 3. Local Control Room with 4 Local Operating
Stations(LOS).
are also incorporated into the simulator to create a
realistic, professional simulated environment. Main
components of the Full Mission bridge simulator
includeConningstation, ECDISdisplay, NavAidsand
Instrumentationdisplay, Bearing/CCTV/2ndConning
station, Visual channel(s), Real shipcontrols, Mathe-
matical model, Databases. It will beexemplifiedthe
exercises created by theinstructors and themood of
evaluationfor eachtypeof simulator.
4 CONCLUSIONS
Varioussimulatorsandsimulationssoftwaretogether
with other hands-on training including labs training
ship haveplayed an important rolein providing and
assessingtheskills that thestudents needto acquire.
MUCdevelopedanumber of educational andtraining
programsfor maritimespecialistsandother personnel
engagedinuseandmaintenanceof theequipment for
safetyof navigation.
Simulators are powerful means in the maritime
educational systems as they developed multipurpose
753
skills.Theyrenderstudentsthepossibilitytoknowthe
processesintheir dynamicsandinteraction, facilitate
aneasyandfastunderstandingof thebasictheoretical
notions,whichcanbedemonstratedbyusingprograms
thatinitiatedifferentdrillsthatsimulatereal on-board
situations.
As aresult of introducingthesemoderntechnolo-
giesinmaritimeeducation, theresultsarepositiveand
stimulativefor pursuingthisactivity. Thestudentsare
guidedtowardsindependent study andtoself evalua-
tion. Thesemethodsmakelearningandtrainingmore
effective and attractive, and have increased the stu-
dents interest in attending the courses, laboratories
and simulators. Theuseof simulators has proved to
benot onlyamodernandfast methodof learningand
developingpractical skillsforthefuturemaritimeoffi-
cers, butalsoveryprofitablefromtheeconomicpoint
of view.
Maritime University of Constanta, and implicitly
the Engine RoomSimulator, drew and got accred-
itedfromtheNaval AuthorityRomaniaforthecourses
EngineTeamandResourceManagement andBridge
TeamandResourceManagement, coursesdirectedto
all thestudentsandmaritimeofficers.
REFERENCES
Dyrvik, H. 2003. Training And Evaluation Control (TEC)
Instructors Manual. For Neptune, Kongsberg Maritime
ShipSystemsAS. Norway.
Uchida, M., Kusoglu, A., Cicek, I., Bayulken, A., Nakazawa,
T. 2002. ERSAs AField Reaseach On Safety Management,
International maritimelecturesassociation12(INLA 12),
Shanghai.
IMOModel Course2.07. 2002, Engine RoomSimulator, UK.
IntypelibraLtd.
754
17.3
Standardfor qualityassurance: Thecaseof PhilippineMaritimeCollege
A.C. Doromal
John B. Lacson Colleges Foundation-Bacolod, Inc., Bacolod City, Philippines
ABSTRACT: Higher education is challenged to beresponsiveto thecurrent demands of quality education
throughthetranslationof knowledge, skills, andattitudes that conformto internationally acceptedstandards.
SCTW 95 mandates that maritime academies should ensure the development of competent manpower for
maritimeindustry. J ohnB. LacsonFoundationMaritimeCollegehasarticulatedadherenceandcompliancewith
ISOseriesof standardsforMaritimeAcademiesinthePhilippines.Thisstudyevaluatedtheextentof deployment
of QSS in eight key areas and its implication to the International Shipping Industry. Findings revealed that
J BLFMC hasavery highextent of deployment inall areasof QSS that indicatesanextensiveimplementation
of its processes, procedures and services. A remarkable implication signifies the global competitiveness of
thegraduates and an assuranceof aworld-class workforcetrained in theacademewith total quality system,
committedtomeet thechallengesof themaritimeindustry.
1 INTRODUCTION
Seafarersarethecoreelementsof theshippingindus-
tryandthedemandforskillful andcompetentseafarers
has been growing. Dueto theglobal natureof ship-
pingindustry,anecessityforaqualitystandardsgeared
towardstheassuranceof attainingthemandatedcom-
petenciesby(STCWConvention78, 95) hasgained
dueimportance.
ThisresearchwasanchoredwithQualityAssurance
asaphilosophyandaprocessinwhichall thefunctions
andactivitiesof aninstitutionshall betreatedequally,
planned, controlledandimplementedinasystematic
andscientificmanner (Venkaiah, 1995:159).
Among the various maritime academies in the
Philippines, J ohn B. Lacson Foundation Maritime
Collegeisimperativeintheattainmentof qualityassur-
ance, as it indicates astrongworkforceintheglobal
shipping market. The J BLMC is recognized as one
of thebearers of maritimeeducation and training of
excellence in the Philippines and in the world. As
aneducational institution, it has its quality standards
gearedtowardthequest for excellence.
Guidedby thequality policy whichis to comply
withnational andinternational standardsandstriveto
exceedstakeholdersexpectations, theschool asserts
the full implementation of quality standard system
whichwill leadtotheattainment of qualityassurance
intheeducationandtrainingof cadets.
Among the various maritime schools in the
Philippines,J ohnB.LacsonFoundationMaritimeCol-
lege is imperative to realize the importance of the
establishment of aqualitymanagement system.
Since, its establishment in 1948 as Maritime
Academy, the first in the coastal region of the
Visayas and Mindanao, it has turned out competent,
disciplinedandvalues-orientedmarinedeck officers
andengineersfor bothdomesticandforeignshipping
companies.
In 1997, J BLFMC in its intense propensity to
be internationally competitive in maritime educa-
tion started to seek registration of its Quality Man-
agement System(QMS) to the ISO 9000 series of
standards/Rules for MaritimeAcademies andTrain-
ing Center under a reputable international assessor
theDet NoskeVeritas (DNV), hence, theschool was
thefirstaccreditedmaritimelearninginstitutioninthe
Philippines(ReviewJ ournal, 1998).
2 THE PROBLEM
Thepurposeof this study was to evaluatetheextent
of deployment of qualitystandardssystemof J ohnB.
LacsonFoundationMaritimeCollegeandestablishits
implicationtotheInternational ShippingIndustry.
Specifically, thisstudysoughttoanswerthefollow-
ingquestions:
1 What is the extent of deployment of the Quality
Standards System (QSS) by J BLFMC according
to the following areas: (1) Mission, Goals and
Objectives, (2) Corporate Plans, (3) Organization
andManagement, (4) Internal Control, (5) Human
ResourceAdministration, (6) Plant and Facilities,
(7) AcademicAffairs, (8) AccountingandFinance
2 What are the implications of the findings to the
ShippingIndustry?
2.1 Theoretical and conceptual framework
In todays climate of intensely competitive interna-
tional trade, companies must identify and put into
755
placemechanismsthat will facilitatesuccessinworld
markets. Foremost amongsuchmechanisms is Inter-
national Organizationfor Standardization(ISO) certi-
fication. ISOhasagreedonaset of qualityassurance
and quality management standards and will certify
companiesthat meet thequalitystandardsworldwide
(Anschutz, 1996).
In Malcolm Baldridge National Quality Award,
Anthony C. Fletcher (2004), discussedthat hundreds
of thousands of organizations aroundtheworldhave
pursued the development and registration of their
Quality Management System(QMS) to the Interna-
tional Organization for Standardization (ISO) 9000
seriesof standardswiththeperceptionthat thisisthe
first stepintheir pursuit of world-classperformance.
In the words of Drystad (1994), by sharing and
working together through the total quality systems
approach, theschoolscanimproveandprovidebetter
learning options to students, thus ensuring a world-
classworkforce.
Theimplementationof theQuality StandardsSys-
teminmaritimeschoolsinaccordancewiththeRules
for QualityStandardSystemisavital tool inensuring
that all the requirements of the Standards of Train-
ing, Certification andWatchkeeping (STCW 78; as
amended 95) are complied with, thus assuring that
the Filipino Seafarers shall continue to be globally
competitive(CHEDMemorandum, 1998).
Section 35 of Commission on Higher Education
(CHED) Memorandum#51 dated 1997 (Article 13)
(QualityStandardsSystem),providesthatEverymar-
itime school shall develop and implement a quality
standard system in accordance with the provisions
of the policies, standards and guidelines (CHED
Memorandum, 1997).
Moreover, Section 36 of the same memorandum
informsthatRecognizingthatFilipinoseafarersshall
be globally competitive in compliance with 1995
amendmentstoSTCW78asamended95andother
international laws and conventions, theschool facil-
ities, equipment and teaching competencies shall be
upgradedtomeet thequalitystandards.
Owing to the fact that the countrys economy
depends heavily on seafarers and thequality of sea-
farers depends on the quality of graduates that the
maritimeschoolsproduce,theonlywayof ensuringthe
qualityof graduatesinmaritimeschools, specifically
inJ BLFMC, istofullyimplement theQSS.
The J BLFMC took the lead and got certi-
fied in 1997, way ahead of the CHED mandate.
J BLFMC was the first in the Philippines and
third in the world to get certified under the Det
NorskeVeritas(DNV) Rulesfor MaritimeAcademies
(http://jblcfbac.lasaltech.com/jblcf%20system.htm).
It isaguidelineprovidingasystematicstructureto
assessthequalitystandardssystemof J ohnB. Lacson
FoundationMaritimeCollege.
Thecontext determines that J BLFMC formulated
the Quality Standards Systemin order to establish
quality management system. Included in thecontext
istheDet NorskeVeritasandCommissiononHigher
Education (CHED) that ensures thedeployment and
compliancewithqualitystandards.
Moreover, Input evaluation which is based in the
eight (8) areas of Quality Standards System needs
lookinginto.
Processincludestheassessmentof theQualityStan-
dards Systemand the identification of the strengths
andweaknesses, whichwasmadethebasesfor impli-
cationstotheshippingindustry.
3 METHODOLOGY
Theparticipants of this study werethetotal popula-
tionof 175whichincludes thefaculty members and
administrativestaff of J BLFMC inthePhilippines. A
descriptive quantitative and qualitative research was
employedtoconduct thisstudy.
This investigation utilized a modified research
instrument adopted from the study of Magramo
(2003). It wasbasedontheQualityStandardswritten
intheQualityManagement Manual of J BLFMC.
The data-gathering instrument was interpreted by
the use of rubrics. Heidi Goodrich (2008) defines
rubricsasascoringtool thatliststhecriteriaandspec-
ifythelevel orextentof performanceforseveral levels
of quality.
To determinetheextent of deployment of QSS as
indicated by the compliance of the respondents, the
weightedmeanwasused, duetothevariednumber of
respondents.
Analysisof documentsgatheredfrommanagement
reviewreflectiveof internal auditandacademicaudit,
wasusedasresearchmethod.
Moreover, personal observations were conducted
by the researcher in several classes, to observe the
teachersteachingandstudentslearning.
It further lookedinto theimplications of thefind-
ingstotheshippingindustry.
4 RESULTS
OntheExtentof DeploymentwiththeQSSinJ BLCF
accordingtoEight (8) Areas.
Table1, demonstrates theextent of deployment of
Quality Standards System(QSS) in eight (8) areas
in J BLFMC. It is apparent that all eight (8) areas
show great extent of deployment as experienced by
respondents. Mission, Goals andObjectives, showed
the interpretation that 90.94% of the respondents
wereconvincedprocessandproceduresmandatedby
theQuality Management Manual (QMM) relativeto
Mission, Goals and Objectives were deployed, thus
attainingVeryHighextent.
Moreover, 94.86%of therespondentsindicatedthat
Corporate Plans and Strategies were implemented.
Likewise, in Organization and Management, Inter-
nal Control, HumanResourceManagement, Plantand
Facilities, AcademicAffairsandAccounting/Finance,
obtained a corresponding respondents percentage
of 92.65, 92.40, 93.10, 92.50, 97.28 and 100.00
756
respectively. As awhole, 94.84%of therespondents
manifested that J BLFMC is full deployment of its
QSS. Consequently theschool organizationis infull
conformitywithQSS.
A qualitativeanalysisispresentedhereunder:
Theresultshowedthattherewasaveryhighextent
of implementation in all areas of the quality stan-
dardsystem,whichindicatesthatawell-integratedand
innovativeapproachisdeployedtoall functional areas
or workunits.
4.1 Vision, mission and objectives
The appropriate and clearly defined mission, vision
and objectives are most important in the college.
The schools quality assurance systemis articulated
through the active integration of teaching, research,
extension and engagement, which creates an inno-
vativelearning environment that stresses mastery of
fundamentals, intellectual, discipline, creativity, prob-
lem solving and responsibility. Core values of the
collegeisintegratedintheclassroominstruction, and
Table1. Deployment withtheQSSinJ BLCF onEight (8)
areas.
Extent of
deployment
Areas inpercentage Interpretation
Mission, Goals, 94.90% VeryHigh
Objectives
CorporatePlans 94.86% VeryHigh
andStrategies
Organizationand 92.65% VeryHigh
Management
Internal Control 92.40% VeryHigh
HumanResource 93.10% VeryHigh
Management
Plant andFacilities 92.50% VeryHigh
AcademicAffairs 97.28% VeryHigh
Accounting/Finance 100.00% VeryHigh
AsaWhole 94.84% VeryHigh
Figure1. Graphical PresentationontheExtent of CompliancewiththeQSSinJ BLCF onEight (8) Areas.
theharmonizationof school objectives andactivities
was established. Enhancing its historic strengths in
Maritimeeducation, afull commitment toexcellence
isdemonstratedintheacademicdisciplinesthatensure
leadershipfor intellectual, cultural, social, economic
andtechnological development inthenationandthe
world.
4.2 Corporate plans
To ensureaquality planthat addresses thefunctions
andoperationof theschool, aperiodical environmen-
tal scanningis conductedthroughneeds assessment,
continuousimprovementreports, internal andexternal
audit.All concernsarereviewed, analyzedandusedas
springboardfor institutional plan. All personnel were
involvedintheformulationof developmentplan, thus,
giving sensein theimplementation wherein synergy
was apparent rather than competition. Coherence in
every task was prevailing in the organizational cli-
mate. Resistancein theimplementation of corporate
planwasnotremarkable. Institutional planisanchored
withvision, missionandobjectives.
4.3 Organization and management
Indicating an assurance of the full-commitment of
faculty and administrative staff, a total involvement
was explicitly demonstratedinquality relatedactivi-
tiessuchasgoal setting, planning, implementationand
output utilization. This gaveasenseof self-worth to
every member of theorganization, thus, realizingthe
valueof commitment.
Variousapproachesandstrategiesweredeployedto
ensurethat employees(faculty andstaff) areempow-
ered thru enhancing their competencies and skills
in-line with their specialization, thus responsibility
andinitiativefor innovationsareevidentlyarticulated.
4.4 Internal control
Various departments of the college is interrelat-
edly functioning following a systemic approach.
757
Appropriate documentation is strictly observed, to
ensuretheauthenticity of information, activities and
other relatedoperationsof theschool.
Quality assurance of academic programs is done
throughregular reviewandassessment of degreepro-
grams andinstructionandthroughassessment of the
quality of and student access to academic resources
and services and student support services that pro-
motestudent development, retentionandgraduation.
Ensure appropriate and adequate library resources.
Effective assessment is vital to quality assurance of
higher education. Thecollegehasestablishedthecen-
ter for review and competency assessment (CRCA)
and the academic audit office (AAO) that conduct
competency based assessment mandated by STCW
95. Results serves as baseline for remediation or
intervention.
4.5 Human resource management
Asustainablefacultyandstaff developmentprogramis
fullydeployedtoprovidetherightdirectionforthepro-
fessional advancementof theteachersandpersonnel as
pillarsof qualityinstruction.Cognizanttotheneedof a
highlyqualifiedandcompetentteachers, thisprogram
ensuresthecontinuousandwholistic development of
theschool personnel.
A structuredperformanceevaluationsystemiscon-
ductedtoensureobjectivefeedbackingonworkperfor-
mance. Evaluation systemincludes, self-evaluation,
peerevaluation,students evaluation,classroomobser-
vationandheadsevaluation.
A reward systemwas designed and fully imple-
mented. Deservingemployeesarerecognizedthruan
exemplaryawardwithanequivalentof cashgiftanda
promotionwithastepincrement insalary.
Workforceis enrichedthroughactiveinvolvement
of all facultymembersandschool personnel asmem-
bersof variousworkcommitteesonaccreditation, and
other key areas of the college. These allow faculty
members and personnel to synergized their efforts
alongwiththeschool continuousdevelopment.
Open communication in a 360
model allows an
assurancethatall grayareasintheschool organization
isaddressedappropriately.
4.6 Plant and facilities
Adequate facilities were provided to ensure a qual-
ity delivery of services. Conditions of thework and
class environment were checked regularly, making
it sure that positive influence on teaching-learning,
motivation, satisfactionandperformanceof peoplein
the school community are readily attained. There is
aperiodic audit of theclassrooms, laboratory areas,
toilets, library and other strategic areas, to secure
accountabilityinutilizationof theseareas.
Qualityassuranceinthecollegeisthesufficiencyof
laboratoryfacilitiesandequipmentanditscompliance
tosafetyandcontingencymeasures.
Ratioandproportionandfunctionality of required
facilities is fully complied with, as Certified by
Technical Working Group of the Commission on
Higher Education (CHED). Regular orientation on
safetymeasuresisconductedamongtheusersof these
facilities. Buildingsandotherphysical structureswere
in full-compliance with the government regulatory
standard, strictly implementedby theCity Engineers
Office.
4.7 Academic affairs
Quality assurance in J BLFMC was evident in the
followingfeatures:
Firstly, the academic curricular programs include
courses that are systematically sequenced and
designed to meet theneeds of diversesectors in the
maritime industry. They are in accordance with the
enriched competency-based curriculumas per IMO
andgovernmentguidelines.Thecurriculumprovidesa
balancebetweenacademicexcellence(withemphases
on science, mathematics and English) and applied
skills.
Secondly, highly qualifiedandcompetent instruc-
tors were maintained by the college. Professional
upgradingin-lineof specializationwasacompulsory
taskamongtheinstructors.
Thirdly, Quality instruction was articulated in the
InstructorsGuidebasedonhigherorderthinkingskills
andindicatedthroughadministeringavalidandreli-
abletest instrument. Theuseof instructorsguidewas
anassurancethatthemaincontentof thesubjectwere
thoroughlycovered.
Finally,documentsshowedthatrecordinthemarine
and deck licensure examination provided by the
Professional Regulation Commission (PRC) had a
remarkableincreaseover theyears.
Employment opportunities and scholarship grants
wascontinuouslyincreasing,duetothestronglinkages
of theschool toshippingcompanies.Theseareindica-
tionsforcycleof improvementintheacademictraining
of thestudentswhobecamecompetent graduates.
By maintainingtheacademic standards onadmis-
sionandretentionof students, thecollegeis assured
that thestatus and reputation of theacademic train-
ing of the students, was indeed a benchmark for
national andinternational qualificationintheshipping
industry.
4.8 Accounting and finance
Governedbythrust of thefinanceoffice, internal and
external control wasstrictlydeployed, inordertoattain
the 100% stability in the financial status that will
support thewholeoperationof thecollege.
A triangular financial audit reviewsareconducted
periodically to assess thefinancial operations of the
school: (1) auditconductedbytheAccountingOffice;
(2) verification of the school internal auditor; and
(3) external audit byaprivateauditingfirm.
758
Table2. OnImplicationsfor theShippingIndustry.
Areas Interpretation Strength Implications
Mission, Goals,
Objectives
VeryHigh Persistentmonitoringof graduatesin
their performanceonboardandPRC
boardexam.
Anassurancethat competenceonboardship
andqualificationisthemainthrust of the
school
CorporatePlans
Strategies
VeryHigh Membersof theschool organization
keepabreast of theschool policy.
National andinternational standardsinthe
shippingindustryarereadilycomplied.
Organizationand
Management
VeryHigh Dynamicintheimplementation,
empowerment andinnovationsof
QualityPolicy.
Product realizationisof highregard.
Internal Control VeryHigh Documentationisstrictlyobserved. QualityEducationandtrainingof cadetsas
mandatedbySTCW1978asamendedin1995
isguaranteed.
HumanResource
Administration
VeryHigh Competent andqualifiedinstruction
inbothGeneral Educationand
Professional subjectsisensured
throughFacultyDevelopment
ProgramandShipboardupgrading.
Transfer of technologyfromtheshiptothe
academeisacontinuousprocess, thusupdates
for requiredcompetenciesisattained.
Plant and
Facilities
VeryHigh Adequatelaboratoryfacilities/
simulator isfullycompliedwith.
Technical trainingsareextensivelydelivered.
Academic
Affairs
VeryHigh Curriculumisinfull compliancewith
national andinternational standards.
Settingthereadinessof cadetsincompetencies
asrequisiteson-boardshipthroughlearning
experiencesprovidedbycurriculum.
Accounting/
Finance
VeryHigh Providessenseof securityfor
financial logistics
Support systemiscontinuouslyimplemented.
Asawhole VeryHigh J BLCF isinfull compliancewithits
QualityStandardsSystem(QSS).
CompliancewithSTCW78asamendedin
95Registrationof QMStotheISO9000.
4.9 Beyond the college
Besides thecollegeendeavor onassuranceof quality
of teachingandgovernmentandtheindustryalsoplay
important roles.
As a formal educational institution, theJ BLFMC
is governed by government laws, policies, rules and
regulationsaswell astherequirementof international
andevaluatinggroupsof organizationsintheindustry.
Thishasbroughtbeneficial resultstotheinstitutionas
anaccreditedandISOcertifiedmaritimeschool.
4.10 Conclusion
The success of quality assurance in an organization
dependsonthetotal commitment of themanagement
and all the members of its staff. Quality Assurance
practicesareimportantforthefutureexistenceof Mar-
itimeEducationproviders.Qualityassurancepractices
are here to say especially in the fierce competition
facedintheinternational shippingindustry. Inorder
to compete in the 21st century, maritime education
providers must examinetheir quality assurancemea-
sures and conduct studies on ways to improve it,
inordertocopewiththedemandof theshippingindus-
try. Continuousimprovement, whichisthekey tothe
quest for excellenceshouldbeadopted. Anapproach
of full deployment of standards, may serve to pro-
videevidencethataninstitutionhassoundlygrounded
approach to the assurance of quality (Yorke, 1999).
Qualityassuranceispossiblethroughcommitmentand
synergismof themanagement andall thestaff of an
institution.
REFERENCES
Anschutz, Eric E. (1996). TQM America: How Americas
most successful companies profit from Total Quality
Management. Malaysia: SynergyBooksInternational.
Goldberg, J. S. (2000). Winning the Texas Quality Award
in Education: A Self-Assessment of Quality Manage-
ment and Achievement in Brazosport, Texas. Unpub-
lished Doctor of Education Dissertation. Texas A & M
University.
Harper, J.R. (1999). The Role of Teams in Quality Assur-
anceand Improvement Planning inTwo Illinois Middle
School. Unpublished Doctor of Education Dissertation.
IllinoisStateUniversity.
Idris, K. (1999). Organizational Learning Experiences in
MalaysianFirmsMovingTowardGlobalization.Unpub-
lished Doctor of Philosophy Dissertation, University of
Georgia.
Khoo, H. et al. (2004). A Study of QualityAssurancePrac-
tices intheUniversiti Sains Malaysia(USM), Malaysia.
TurkishOnlineJ ournal of Distance. vol.5(1).
Maravillas, N. C. (2001). ThePerception of theExtent of
Implementationof theJ BLF QualityStandardSystems.
Unpublished Masters Thesis, J ohn B. Lacson Colleges
Foundation GraduateSchool, IloiloCity.
Nolledo, J. N. (1991).TheConstitutionof theRepublicof the
Philippinesexplained.MetroManila:National Bookstore.
Packard, T. (1995). Total Quality Management intheSocial
Services: TheoryandPractice. Albany, NewYork: Rock-
efeller CollegePress.
Perez, M. P. (1999). Exploratory Study on the Extent of
Implementationof QualityStandardsSysteminMaritime
Schoolsof RegionVI andVII: BasisforaProposedGuide
for QualityAssuranceManagers. UnpublishedDoctoral
Dissertation. University of Southern Philippines, Cebu
City.
759
17.4
Noveltiesinthedevelopment of thequalificationstandardsfor
electro-technical officersunder STCWconventionrequirements
J. Wyszkowski, J. Mindykowski & R. Wawruch
ABSTRACT: Paper presentspreparedbyBulgaria, France, IslamicRepublicof Iran, IFSMA, ITF, Malaysia,
Poland, UkraineandtheUnitedKingdomproposal of amendments[1] totheSTCWConventionanditsCodepart
A andB[2] establishinginternational qualificationstandardfor electro-technical officers. Itisproposedthatthe
certificatesof competency for electro-technical officer andsenior electro-technical officersshall beplacedin
Chapter III EngineDepartmentof theSTCWConvention, under newRegulationsIII/6, III/7andnewsections
A-III/6, A-III/7andB-III/6, B-III/7of theSTCWCode. Thisamendedconcept it isalogical continuationand
further development of thepaper [3] whichconcernedthesameissueandwas presentedat theMarCon2008
proceedings.
1 INTRODUCTION
Dueto thecontinuous technological development as
well asnewrequiredqualificationsandskillsformain-
tenance of electrical/electronic systems, equipment
and installations, there is a significant increase in
applicationfor properlyqualifiedelectricofficers. At
the moment, such people are being employed espe-
cially oncruisevessels, largeferries andall kinds of
special purpose vessels, though their qualifications
and competence have not been standardised on the
international level [4] It is worth to note the rapid
progress in marineelectrical and electronic technol-
ogy, includingamongothers, mainelectrical propul-
sion and high voltage systems. The latter solutions
are generally accepted in cruise ships construction,
it means in the shipbuilding branch which is devel-
opedveryquickly.Thistrendmaybeillustratedbythe
datapublishedinCruiseIndustryNewsQuarterly[5],
dealingwithbuildingof 49newpassenger shipsfor a
bill of 25,8billionUSdollarsintheyears20082012.
Thosecontractsarenotonlyatechnological challenge,
but first of all, anewimpact to develop theelectro-
technical officers labour market. No doubt that they
shouldbe, ahighly qualifiedstaff, appropriately pre-
paredtoundertakethetasks,dutiesandresponsibilities
correspondingtoup-to-datetechnological challenges.
In this context it is worthy to mention an opinion
expressed in the paper titled Are engineers getting
the electrical training they need? [4], where it was
describedfrequently met inpracticesituation: None
of theseniorengineersonboardhadtheoretical orprac-
tical educationin6,6kV generation, distribution, and
troubleshooting[4].Toavoidthosesituationsandtheir
dangerous and cost consequences, a new approach
concerning the necessity to establish and put into
forcethequalificationstandardsfor electro-technical
officers seems to beobvious [1]. Facts andstatistics
showthat suchqualifiedpeopleareindispensableto
work onlargevessels. Over 2200of themhavebeen
trained in Poland. It is significant that majority of
themworkunder other thanPolishflag. Hence, inthe
event of accident thereisaquestionof alegal respon-
sibility of suchqualifiedpeople, whoseprofessional
qualificationswereachievedinPolandandarerecog-
nisedonPolishterritoryonly.Thereforethereisaneed
for aninternational qualificationstandardfor electro-
technical officers. It is proposed that the certificate
of competency for electro-technical officers shall be
placed in Chapter III Engine Department of the
STCWConvention, under newRegulationsIII/6, III/7
andnewsectionsA-III/6, A-III/7andB-III/6, B-III/7
of theSTCW Code. Paper presents qualificationand
competency standards for Electro-Technical Officers
(ETO) andSenior Electro-Technical Officers(SETO)
developed by Bulgaria, France, Islamic Republic of
Iran, IFSMA, ITF, Malaysia, Poland, Ukraineandthe
UnitedKingdomduringad hoc intersessional meeting
of the STW working group relating to the compre-
hensive review of the STCW Convention and Code
inorder topresent duringnearest 40thsessionof the
IMO Sub-Committee on Standards of Training and
Watchkeeping STW.
2 PROPOSEDCHANGESTOTHE STCW
CONVENTION
Co-authors suggest to insert in the STCW Conven-
tion[1]:
1. InRegulationI/1paragraph31, thefollowingnew
definition(STW40/7/4): Electro-technical officer
means anofficer qualifiedinaccordancewiththe
provisionsof chapter III of theconvention;
761
2. InRegulationI/1paragraph32, thefollowingnew
definition(STW 40/7/4): Senior electro-technical
officer means an officer qualified for the opera-
tion, maintenance and repairs of electrical, elec-
tronic, computersystemsandequipment, including
electrical propulsion;
3. ThefollowingnewRegulationIII/6 Mandatory
minimum requirements for certification of electro-
technical officer (STW40/7/6):
1. Everyelectro-technical officerservingonasea-
goingshippoweredbymainpropulsionmachin-
eryof 750kWpropulsionpower or more, shall
holdanappropriatecertificate.
2. Everycandidatefor certificationshall:
1. benot lessthan18yearsof age;
2. havecompletednotlessthan12monthscom-
binedworkshopskillstrainingandseagoing
serviceof whichnot lessthan6monthswill
beseagoingserviceas part of anapproved
training which meets the requirements of
sectionA-III/6of theSTCWCodeandisdoc-
umentedinanapprovedtrainingrecordbook,
or otherwisenot less than 36 months com-
binedworkshopskillstrainingandseagoing
serviceof whichnotlessthan30monthswill
beseagoing servicein enginedepartment;
and
3. have completed approved education and
training and meet the standards of com-
petence specified in section A-III/6 of the
STCWCode.
3. EveryPartyshall comparethestandardsof com-
petence which it required of electro-technical
officersforcertificatesissuedbefore[date]with
those specified for the certificate in section
A-III/6of theSTCWCode, andshall determine
theneedfor requiringthosepersonnel toupdate
their qualifications.
4. Seafarers may be considered by theAdminis-
tration to have met the requirements of this
regulationif theyhaveservedinrelevantcapac-
ity on board seagoing ship powered by main
propulsion machinery of 750 kW propulsion
power or morefor aperiodof not less than12
monthswithinthelast 60monthsandmeet the
competencespecified in sectionA-III/6 of the
STCWCode.
4. ThefollowingnewRegulationIII/6 Mandatory
minimum requirements for certification of senior
electro-technical officer (STW40/7/6):
1. Every senior electro-technical officer serving
on a seagoing ship powered by main propul-
sionmachineryof morethan750kWpropulsion
power shall holdanappropriatecertificate.
2. Everycandidatefor certificationshall:
1. meet the requirements for certification as
electro-technical officer and shall have
not less than 12 months approved seago-
ing service as electro-technical officer
whilst holding electro-technical officer
certificate;
2. have completed approved education and
trainingandmeetthestandardof competence
specified in section A-III/7 of the STCW
code.
3. Every Party shall compare the standards of
competencewhichit requiredof senior electro-
technical officers for certificates issuedbefore
[date] withthosespecifiedfor thecertificatein
section A-III/7 of the STCW Code, and shall
determinetheneedforrequiringthosepersonnel
toupdatetheir qualifications.
Seafarers may be considered by theAdminis-
tration to have met the requirements of this
regulationif theyhaveservedinrelevantcapac-
ity on board seagoing ship powered by main
propulsion machinery of 750 kW propulsion
power or morefor aperiodof not less than12
monthswithinthelast 60monthsandmeet the
competencespecified in sectionA-III/7 of the
STCWCode.
3 SUGGESTEDAMENDMENTSTOTHE
CODES
A newsectionsA-III/6Mandatory minimum require-
ments for certificationof electro-technical officerand
B-III/6Guidance regarding the training and certifi-
cation for electro-technical officers shall beinserted
after sectionsA-III/5andB-III/5. ThenewsectionA-
III/6shall containfollowingrequirementsforon-board
trainingandstandardof competencefor ETO[1]:
Training
1. Theeducationandtrainingrequiredby paragraph
2.3of regulationIII/6shall includetraininginelec-
tronicandelectrical workshopskillsrelevanttothe
dutiesof electro-technical officer.
Onboard training
2. Every candidate for certification as electro-
technical officer shall followanapprovedprogram
of onboardtrainingwhich:
1. ensuresthat duringrequiredperiodof seagoing
servicethecandidatereceives systematic prac-
tical trainingandexperienceinthetasks, duties
andresponsibilitiesof anelectro-technical offi-
cer;
2. is closely supervised and monitored by quali-
fied and certificated officers aboard the ships
inwhichtheapprovedseagoingserviceis per-
formed; and
3. is adequately documented in training record
book.
Standard of competence
3. Every candidate for certification as electro-
technical officer shall berequired to demonstrate
abilitytoundertakethetasks, dutiesandresponsi-
bilitieslistedincolumn1of tableA-III/6.
762
T
a
b
l
e
A
-
I
I
I
/
6
.
S
p
e
c
i
f
i
c
a
t
i
o
n
o
f
m
i
n
i
m
u
m
s
t
a
n
d
a
r
d
s
o
f
c
o
m
p
e
t
e
n
c
y
f
o
r
E
T
O
[
1
]
.
C
o
l
u
m
n
1
C
o
l
u
m
n
2
C
o
l
u
m
n
3
C
o
l
u
m
n
4
C
o
m
p
e
t
e
n
c
e
K
n
o
w
l
e
d
g
e
,
u
n
d
e
r
s
t
a
n
d
i
n
g
a
n
d
p
r
o
f
i
c
i
e
n
c
y
M
e
t
h
o
d
s
f
o
r
d
e
m
o
n
s
t
r
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
C
r
i
t
e
r
i
a
f
o
r
e
v
a
l
u
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
F
u
n
c
t
i
o
n
:
e
l
e
c
t
r
i
c
a
l
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
e
n
g
i
n
e
e
r
i
n
g
a
t
o
p
e
r
a
t
i
o
n
a
l
l
e
v
e
l
M
o
n
i
t
o
r
t
h
e
o
p
e
r
a
t
i
o
n
o
f
e
l
e
c
t
r
i
c
a
l
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
B
a
s
i
c
u
n
d
e
r
s
t
a
n
d
i
n
g
o
f
t
h
e
o
p
e
r
a
t
i
o
n
o
f
m
e
c
h
a
n
i
c
a
l
e
n
g
i
n
e
e
r
i
n
g
s
y
s
t
e
m
s
i
n
c
l
u
d
i
n
g
:
1
.
P
r
i
m
e
m
o
v
e
r
s
i
n
c
l
u
d
i
n
g
m
a
i
n
p
r
o
p
u
l
s
i
o
n
p
l
a
n
t
2
.
E
n
g
i
n
e
r
o
o
m
a
u
x
i
l
i
a
r
y
m
a
c
h
i
n
e
r
i
e
s
3
.
S
t
e
e
r
i
n
g
s
y
s
t
e
m
s
4
.
C
a
r
g
o
h
a
n
d
l
i
n
g
s
y
s
t
e
m
s
5
.
D
e
c
k
m
a
c
h
i
n
e
r
i
e
s
6
.
H
o
t
e
l
s
y
s
t
e
m
s
B
a
s
i
c
k
n
o
w
l
e
d
g
e
o
f
h
e
a
t
t
r
a
n
s
m
i
s
s
i
o
n
,
m
e
c
h
a
n
i
c
s
a
n
d
h
y
d
r
o
m
e
c
h
a
n
i
c
s
K
n
o
w
l
e
d
g
e
o
f
:
E
l
e
c
t
r
o
-
t
e
c
h
n
o
l
o
g
y
a
n
d
e
l
e
c
t
r
i
c
a
l
m
a
c
h
i
n
e
s
t
h
e
o
r
y
F
u
n
d
a
m
e
n
t
a
l
s
o
f
e
l
e
c
t
r
o
n
i
c
s
a
n
d
p
o
w
e
r
e
l
e
c
t
r
o
n
i
c
s
E
l
e
c
t
r
i
c
a
l
p
o
w
e
r
d
i
s
t
r
i
b
u
t
i
o
n
b
o
a
r
d
s
a
n
d
e
l
e
c
t
r
i
c
a
l
e
q
u
i
p
m
e
n
t
F
u
n
d
a
m
e
n
t
a
l
s
o
f
a
u
t
o
m
a
t
i
o
n
,
a
u
t
o
m
a
t
i
c
c
o
n
t
r
o
l
s
y
s
t
e
m
s
a
n
d
t
e
c
h
n
o
l
o
g
y
I
n
s
t
r
u
m
e
n
t
a
t
i
o
n
,
a
l
a
r
m
a
n
d
m
o
n
i
t
o
r
i
n
g
s
y
s
t
e
m
s
E
l
e
c
t
r
i
c
a
l
d
r
i
v
e
s
T
e
c
h
n
o
l
o
g
y
o
f
e
l
e
c
t
r
i
c
a
l
m
a
t
e
r
i
a
l
s
E
l
e
c
t
r
o
-
h
y
d
r
a
u
l
i
c
a
n
d
e
l
e
c
t
r
o
-
p
n
e
u
m
a
t
i
c
c
o
n
t
r
o
l
s
y
s
t
e
m
s
A
p
p
r
e
c
i
a
t
i
o
n
o
f
t
h
e
h
a
z
a
r
d
s
a
n
d
p
r
e
c
a
u
t
i
o
n
s
r
e
q
u
i
r
e
d
f
o
r
t
h
e
o
p
e
r
a
t
i
o
n
o
f
p
o
w
e
r
s
y
s
t
e
m
s
a
b
o
v
e
1
0
0
0
V
o
l
t
s
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
O
p
e
r
a
t
i
o
n
o
f
e
q
u
i
p
m
e
n
t
a
n
d
s
y
s
t
e
m
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
o
p
e
r
a
t
i
n
g
m
a
n
u
a
l
s
P
e
r
f
o
r
m
a
n
c
e
l
e
v
e
l
s
a
r
e
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
t
e
c
h
n
i
c
a
l
s
p
e
c
i
f
i
c
a
t
i
o
n
s
M
o
n
i
t
o
r
t
h
e
o
p
e
r
a
t
i
o
n
o
f
A
u
t
o
m
a
t
i
c
c
o
n
t
r
o
l
s
y
s
t
e
m
s
o
f
p
r
o
p
u
l
s
i
o
n
a
n
d
a
u
x
i
l
i
a
r
y
m
a
c
h
i
n
e
r
y
P
r
e
p
a
r
a
t
i
o
n
o
f
c
o
n
t
r
o
l
s
y
s
t
e
m
s
o
f
p
r
o
p
u
l
s
i
o
n
a
n
d
a
u
x
i
l
i
a
r
y
m
a
c
h
i
n
e
r
y
f
o
r
o
p
e
r
a
t
i
o
n
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
S
u
r
v
e
i
l
l
a
n
c
e
o
f
m
a
i
n
p
r
o
p
u
l
s
i
o
n
p
l
a
n
t
a
n
d
a
u
x
i
l
i
a
r
y
s
y
s
t
e
m
s
i
s
s
u
f
f
i
c
i
e
n
t
t
o
m
a
i
n
t
a
i
n
s
a
f
e
o
p
e
r
a
t
i
o
n
c
o
n
d
i
t
i
o
n
(
C
o
n
t
i
n
u
e
d
)
763
T
a
b
l
e
A
-
I
I
I
/
6
.
C
o
n
t
i
n
u
e
d
C
o
l
u
m
n
1
C
o
l
u
m
n
2
C
o
l
u
m
n
3
C
o
l
u
m
n
4
C
o
m
p
e
t
e
n
c
e
K
n
o
w
l
e
d
g
e
,
u
n
d
e
r
s
t
a
n
d
i
n
g
a
n
d
p
r
o
f
i
c
i
e
n
c
y
M
e
t
h
o
d
s
f
o
r
d
e
m
o
n
s
t
r
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
C
r
i
t
e
r
i
a
f
o
r
e
v
a
l
u
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
O
p
e
r
a
t
e
g
e
n
e
r
a
t
o
r
s
C
o
u
p
l
i
n
g
,
l
o
a
d
s
h
a
r
i
n
g
a
n
d
c
h
a
n
g
i
n
g
o
v
e
r
g
e
n
e
r
a
t
o
r
s
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
O
p
e
r
a
t
i
o
n
s
a
r
e
p
l
a
n
n
e
d
a
n
d
c
a
r
r
i
e
d
o
u
t
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
e
s
t
a
b
l
i
s
h
e
d
r
u
l
e
s
a
n
d
p
r
o
c
e
d
u
r
e
s
t
o
e
n
s
u
r
e
s
a
f
e
t
y
o
f
o
p
e
r
a
t
i
o
n
s
O
p
e
r
a
t
e
c
o
m
p
u
t
e
r
s
a
n
d
c
o
m
p
u
t
e
r
n
e
t
w
o
r
k
s
o
n
s
h
i
p
s
U
n
d
e
r
s
t
a
n
d
i
n
g
o
f
:
1
.
m
a
i
n
f
e
a
t
u
r
e
s
o
f
d
a
t
a
p
r
o
c
e
s
s
i
n
g
2
.
c
o
n
s
t
r
u
c
t
i
o
n
a
n
d
u
s
e
o
f
c
o
m
p
u
t
e
r
n
e
t
w
o
r
k
s
o
n
s
h
i
p
s
3
.
b
r
i
d
g
e
b
a
s
e
d
,
e
n
g
i
n
e
r
o
o
m
b
a
s
e
d
a
n
d
c
o
m
m
e
r
c
i
a
l
c
o
m
p
u
t
e
r
u
s
e
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
C
o
m
p
u
t
e
r
n
e
t
w
o
r
k
s
a
n
d
c
o
m
p
u
t
e
r
s
a
r
e
c
o
r
r
e
c
t
l
y
c
h
e
c
k
e
d
a
n
d
h
a
n
d
l
e
d
U
s
e
h
a
n
d
t
o
o
l
s
,
e
l
e
c
t
r
i
c
a
l
a
n
d
e
l
e
c
t
r
o
n
i
c
m
e
a
s
u
r
e
m
e
n
t
e
q
u
i
p
m
e
n
t
f
o
r
f
a
u
l
t
f
i
n
d
i
n
g
,
m
a
i
n
t
e
n
a
n
c
e
a
n
d
r
e
p
a
i
r
o
p
e
r
a
t
i
o
n
s
S
a
f
e
t
y
r
e
q
u
i
r
e
m
e
n
t
s
f
o
r
w
o
r
k
i
n
g
o
n
s
h
i
p
b
o
a
r
d
e
l
e
c
t
r
i
c
a
l
s
y
s
t
e
m
s
.
K
n
o
w
l
e
d
g
e
o
f
t
h
e
c
a
u
s
e
s
o
f
e
l
e
c
t
r
i
c
s
h
o
c
k
a
n
d
p
r
e
c
a
u
t
i
o
n
s
t
o
b
e
o
b
s
e
r
v
e
d
t
o
p
r
e
v
e
n
t
s
h
o
c
k
.
C
o
n
s
t
r
u
c
t
i
o
n
a
n
d
o
p
e
r
a
t
i
o
n
a
l
c
h
a
r
a
c
t
e
r
i
s
t
i
c
s
o
f
s
h
i
p
b
o
a
r
d
A
C
a
n
d
D
C
s
y
s
t
e
m
s
a
n
d
e
q
u
i
p
m
e
n
t
C
o
n
s
t
r
u
c
t
i
o
n
a
n
d
o
p
e
r
a
t
i
o
n
o
f
e
l
e
c
t
r
i
c
a
l
t
e
s
t
a
n
d
m
e
a
s
u
r
i
n
g
e
q
u
i
p
m
e
n
t
A
p
p
l
i
c
a
t
i
o
n
o
f
s
a
f
e
w
o
r
k
i
n
g
p
r
a
c
t
i
c
e
s
A
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
w
o
r
k
s
h
o
p
s
k
i
l
l
s
t
r
a
i
n
i
n
g
2
.
a
p
p
r
o
v
e
d
p
r
a
c
t
i
c
a
l
e
x
p
e
r
i
e
n
c
e
a
n
d
t
e
s
t
s
I
m
p
l
e
m
e
n
t
a
t
i
o
n
o
f
s
a
f
e
t
y
p
r
o
c
e
d
u
r
e
s
i
s
s
a
t
i
s
f
a
c
t
o
r
y
R
e
c
o
g
n
i
z
e
s
a
n
d
r
e
p
o
r
t
s
e
l
e
c
t
r
i
c
a
l
h
a
z
a
r
d
s
a
n
d
u
n
s
a
f
e
e
q
u
i
p
m
e
n
t
S
e
l
e
c
t
i
o
n
a
n
d
u
s
e
o
f
t
e
s
t
e
q
u
i
p
m
e
n
t
i
s
a
p
p
r
o
p
r
i
a
t
e
a
n
d
i
n
t
e
r
p
r
e
t
a
t
i
o
n
o
f
r
e
s
u
l
t
s
i
s
a
c
c
u
r
a
t
e
S
e
l
e
c
t
i
o
n
o
f
p
r
o
c
e
d
u
r
e
s
f
o
r
t
h
e
c
o
n
d
u
c
t
o
f
r
e
p
a
i
r
a
n
d
m
a
i
n
t
e
n
a
n
c
e
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
a
l
s
a
n
d
g
o
o
d
p
r
a
c
t
i
c
e
C
o
m
m
i
s
s
i
o
n
i
n
g
a
n
d
p
e
r
f
o
r
m
a
n
c
e
t
e
s
t
i
n
g
o
f
e
q
u
i
p
m
e
n
t
a
n
d
s
y
s
t
e
m
s
b
r
o
u
g
h
t
b
a
c
k
t
o
s
e
r
v
i
c
e
a
f
t
e
r
r
e
p
a
i
r
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
a
l
s
a
n
d
g
o
o
d
p
r
a
c
t
i
c
e
U
s
e
E
n
g
l
i
s
h
i
n
w
r
i
t
t
e
n
a
n
d
o
r
a
l
f
o
r
m
A
d
e
q
u
a
t
e
k
n
o
w
l
e
d
g
e
o
f
t
h
e
E
n
g
l
i
s
h
l
a
n
g
u
a
g
e
t
o
e
n
a
b
l
e
t
h
e
o
f
f
i
c
e
r
t
o
u
s
e
e
n
g
i
n
e
e
r
i
n
g
p
u
b
l
i
c
a
t
i
o
n
s
a
n
d
t
o
p
e
r
f
o
r
m
t
h
e
o
f
f
i
c
e
r
s
d
u
t
i
e
s
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
p
r
a
c
t
i
c
a
l
i
n
s
t
r
u
c
t
i
o
n
s
E
n
g
l
i
s
h
l
a
n
g
u
a
g
e
p
u
b
l
i
c
a
t
i
o
n
s
r
e
l
e
v
a
n
t
t
o
t
h
e
o
f
f
i
c
e
r
s
d
u
t
i
e
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
C
o
m
m
u
n
i
c
a
t
i
o
n
s
a
r
e
c
l
e
a
r
a
n
d
u
n
d
e
r
s
t
o
o
d
(
C
o
n
t
i
n
u
e
d
)
764
F
u
n
c
t
i
o
n
:
M
a
i
n
t
e
n
a
n
c
e
a
n
d
r
e
p
a
i
r
a
t
o
p
e
r
a
t
i
o
n
a
l
l
e
v
e
l
M
a
i
n
t
a
i
n
a
n
d
r
e
p
a
i
r
a
u
t
o
m
a
t
i
o
n
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
o
f
m
a
i
n
p
r
o
p
u
l
s
i
o
n
a
n
d
a
u
x
i
l
i
a
r
y
m
a
c
h
i
n
e
r
y
A
p
p
r
o
p
r
i
a
t
e
e
l
e
c
t
r
i
c
a
l
a
n
d
m
e
c
h
a
n
i
c
a
l
k
n
o
w
l
e
d
g
e
a
n
d
s
k
i
l
l
s
S
a
f
e
t
y
a
n
d
e
m
e
r
g
e
n
c
y
p
r
o
c
e
d
u
r
e
s
S
a
f
e
i
s
o
l
a
t
i
o
n
o
f
e
q
u
i
p
m
e
n
t
a
n
d
a
s
s
o
c
i
a
t
e
d
s
y
s
t
e
m
s
r
e
q
u
i
r
e
d
b
e
f
o
r
e
p
e
r
s
o
n
n
e
l
a
r
e
p
e
r
m
i
t
t
e
d
t
o
w
o
r
k
o
n
s
u
c
h
p
l
a
n
t
o
r
e
q
u
i
p
m
e
n
t
P
r
a
c
t
i
c
a
l
k
n
o
w
l
e
d
g
e
f
o
r
t
h
e
t
e
s
t
,
m
a
i
n
t
e
n
a
n
c
e
,
f
a
u
l
t
f
i
n
d
i
n
g
a
n
d
r
e
p
a
i
r
T
e
s
t
,
d
e
t
e
c
t
f
a
u
l
t
s
a
n
d
m
a
i
n
t
a
i
n
a
n
d
r
e
s
t
o
r
e
e
l
e
c
t
r
i
c
a
l
a
n
d
e
l
e
c
t
r
o
n
i
c
c
o
n
t
r
o
l
e
q
u
i
p
m
e
n
t
t
o
o
p
e
r
a
t
i
n
g
c
o
n
d
i
t
i
o
n
K
n
o
w
l
e
d
g
e
o
f
t
h
e
p
r
i
n
c
i
p
l
e
s
a
n
d
m
a
i
n
t
e
n
a
n
c
e
p
r
o
c
e
d
u
r
e
s
o
f
n
a
v
i
g
a
t
i
o
n
e
q
u
i
p
m
e
n
t
,
i
n
t
e
r
n
a
l
a
n
d
e
x
t
e
r
n
a
l
c
o
m
m
u
n
i
c
a
t
i
o
n
s
y
s
t
e
m
.
T
h
e
o
r
e
t
i
c
a
l
k
n
o
w
l
e
d
g
e
:
E
l
e
c
t
r
i
c
a
l
a
n
d
e
l
e
c
t
r
o
n
i
c
s
y
s
t
e
m
s
o
p
e
r
a
t
i
n
g
i
n
f
l
a
m
m
a
b
l
e
a
r
e
a
s
P
r
a
c
t
i
c
a
l
k
n
o
w
l
e
d
g
e
:
C
a
r
r
y
i
n
g
o
u
t
s
a
f
e
m
a
i
n
t
e
n
a
n
c
e
a
n
d
r
e
p
a
i
r
p
r
o
c
e
d
u
r
e
s
D
e
t
e
c
t
i
o
n
o
f
m
a
c
h
i
n
e
r
y
m
a
l
f
u
n
c
t
i
o
n
,
l
o
c
a
t
i
o
n
o
f
f
a
u
l
t
s
a
n
d
a
c
t
i
o
n
t
o
p
r
e
v
e
n
t
d
a
m
a
g
e
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
T
h
e
e
f
f
e
c
t
o
f
m
a
l
f
u
n
c
t
i
o
n
s
o
n
a
s
s
o
c
i
a
t
e
d
p
l
a
n
t
a
n
d
s
y
s
t
e
m
s
i
s
a
c
c
u
r
a
t
e
l
y
i
d
e
n
t
i
f
i
e
d
,
s
h
i
p
s
t
e
c
h
n
i
c
a
l
d
r
a
w
i
n
g
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
,
m
e
a
s
u
r
i
n
g
a
n
d
c
a
l
i
b
r
a
t
i
n
g
i
n
s
t
r
u
m
e
n
t
s
a
r
e
c
o
r
r
e
c
t
l
y
u
s
e
d
a
n
d
a
c
t
i
o
n
s
t
a
k
e
n
a
r
e
j
u
s
t
i
f
i
e
d
I
s
o
l
a
t
i
o
n
,
d
i
s
m
a
n
t
l
i
n
g
a
n
d
r
e
a
s
s
e
m
b
l
y
o
f
p
l
a
n
t
a
n
d
e
q
u
i
p
m
e
n
t
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
f
a
c
t
u
r
e
r
s
s
a
f
e
t
y
g
u
i
d
e
l
i
n
e
s
a
n
d
s
h
i
p
b
o
a
r
d
i
n
s
t
r
u
c
t
i
o
n
s
a
n
d
l
e
g
i
s
l
a
t
i
v
e
a
n
d
s
a
f
e
t
y
s
p
e
c
i
f
i
c
a
t
i
o
n
s
.
A
c
t
i
o
n
t
a
k
e
n
l
e
a
d
s
t
o
t
h
e
r
e
s
t
o
r
a
t
i
o
n
o
f
a
u
t
o
m
a
t
i
o
n
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
b
y
t
h
e
m
e
t
h
o
d
m
o
s
t
s
u
i
t
a
b
l
e
a
n
d
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
p
r
e
v
a
i
l
i
n
g
c
i
r
c
u
m
s
t
a
n
c
e
s
a
n
d
c
o
n
d
i
t
i
o
n
s
M
a
i
n
t
a
i
n
a
n
d
r
e
p
a
i
r
b
r
i
d
g
e
n
a
v
i
g
a
t
i
o
n
e
q
u
i
p
m
e
n
t
a
n
d
s
h
i
p
c
o
m
m
u
n
i
c
a
t
i
o
n
s
y
s
t
e
m
s
T
h
e
e
f
f
e
c
t
o
f
m
a
l
f
u
n
c
t
i
o
n
s
o
n
a
s
s
o
c
i
a
t
e
d
p
l
a
n
t
a
n
d
s
y
s
t
e
m
s
i
s
a
c
c
u
r
a
t
e
l
y
i
d
e
n
t
i
f
i
e
d
,
s
h
i
p
s
t
e
c
h
n
i
c
a
l
d
r
a
w
i
n
g
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
,
m
e
a
s
u
r
i
n
g
a
n
d
c
a
l
i
b
r
a
t
i
n
g
i
n
s
t
r
u
m
e
n
t
s
a
r
e
c
o
r
r
e
c
t
l
y
u
s
e
d
a
n
d
a
c
t
i
o
n
s
t
a
k
e
n
a
r
e
j
u
s
t
i
f
i
e
d
I
s
o
l
a
t
i
o
n
,
d
i
s
m
a
n
t
l
i
n
g
a
n
d
r
e
a
s
s
e
m
b
l
y
o
f
p
l
a
n
t
a
n
d
e
q
u
i
p
m
e
n
t
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
f
a
c
t
u
r
e
r
s
s
a
f
e
t
y
g
u
i
d
e
l
i
n
e
s
a
n
d
s
h
i
p
b
o
a
r
d
i
n
s
t
r
u
c
t
i
o
n
s
,
l
e
g
i
s
l
a
t
i
v
e
a
n
d
s
a
f
e
t
y
s
p
e
c
i
f
i
c
a
t
i
o
n
s
.
A
c
t
i
o
n
t
a
k
e
n
l
e
a
d
s
t
o
t
h
e
r
e
s
t
o
r
a
t
i
o
n
o
f
b
r
i
d
g
e
n
a
v
i
g
a
t
i
o
n
e
q
u
i
p
m
e
n
t
a
n
d
s
h
i
p
c
o
m
m
u
n
i
c
a
t
i
o
n
s
y
s
t
e
m
s
b
y
t
h
e
m
e
t
h
o
d
m
o
s
t
s
u
i
t
a
b
l
e
a
n
d
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
p
r
e
v
a
i
l
i
n
g
c
i
r
c
u
m
s
t
a
n
c
e
s
a
n
d
c
o
n
d
i
t
i
o
n
s
(
C
o
n
t
i
n
u
e
d
)
765
T
a
b
l
e
A
-
I
I
I
/
6
.
C
o
n
t
i
n
u
e
d
C
o
l
u
m
n
1
C
o
l
u
m
n
2
C
o
l
u
m
n
3
C
o
l
u
m
n
4
C
o
m
p
e
t
e
n
c
e
K
n
o
w
l
e
d
g
e
,
u
n
d
e
r
s
t
a
n
d
i
n
g
a
n
d
p
r
o
f
i
c
i
e
n
c
y
M
e
t
h
o
d
s
f
o
r
d
e
m
o
n
s
t
r
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
C
r
i
t
e
r
i
a
f
o
r
e
v
a
l
u
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
M
a
i
n
t
a
i
n
a
n
d
r
e
p
a
i
r
e
l
e
c
t
r
i
c
a
l
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
o
f
d
e
c
k
m
a
c
h
i
n
e
r
y
a
n
d
c
a
r
g
o
h
a
n
d
l
i
n
g
e
q
u
i
p
m
e
n
t
T
h
e
e
f
f
e
c
t
o
f
m
a
l
f
u
n
c
t
i
o
n
s
o
n
a
s
s
o
c
i
a
t
e
d
p
l
a
n
t
a
n
d
s
y
s
t
e
m
s
i
s
a
c
c
u
r
a
t
e
l
y
i
d
e
n
t
i
f
i
e
d
,
s
h
i
p
s
t
e
c
h
n
i
c
a
l
d
r
a
w
i
n
g
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
,
m
e
a
s
u
r
i
n
g
a
n
d
c
a
l
i
b
r
a
t
i
n
g
i
n
s
t
r
u
m
e
n
t
s
a
r
e
c
o
r
r
e
c
t
l
y
u
s
e
d
a
n
d
a
c
t
i
o
n
s
t
a
k
e
n
a
r
e
j
u
s
t
i
f
i
e
d
I
s
o
l
a
t
i
o
n
,
d
i
s
m
a
n
t
l
i
n
g
a
n
d
r
e
a
s
s
e
m
b
l
y
o
f
p
l
a
n
t
a
n
d
e
q
u
i
p
m
e
n
t
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
f
a
c
t
u
r
e
r
s
s
a
f
e
t
y
g
u
i
d
e
l
i
n
e
s
a
n
d
s
h
i
p
b
o
a
r
d
i
n
s
t
r
u
c
t
i
o
n
s
,
l
e
g
i
s
l
a
t
i
v
e
a
n
d
s
a
f
e
t
y
s
p
e
c
i
f
i
c
a
t
i
o
n
s
.
A
c
t
i
o
n
t
a
k
e
n
l
e
a
d
s
t
o
t
h
e
r
e
s
t
o
r
a
t
i
o
n
o
f
d
e
c
k
m
a
c
h
i
n
e
r
y
a
n
d
c
a
r
g
o
h
a
n
d
l
i
n
g
e
q
u
i
p
m
e
n
t
b
y
t
h
e
m
e
t
h
o
d
m
o
s
t
s
u
i
t
a
b
l
e
a
n
d
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
p
r
e
v
a
i
l
i
n
g
c
i
r
c
u
m
s
t
a
n
c
e
s
a
n
d
c
o
n
d
i
t
i
o
n
s
M
a
i
n
t
a
i
n
a
n
d
r
e
p
a
i
r
c
o
n
t
r
o
l
a
n
d
s
a
f
e
t
y
s
y
s
t
e
m
s
o
f
h
o
t
e
l
e
q
u
i
p
m
e
n
t
T
h
e
e
f
f
e
c
t
o
f
m
a
l
f
u
n
c
t
i
o
n
s
o
n
a
s
s
o
c
i
a
t
e
d
p
l
a
n
t
a
n
d
s
y
s
t
e
m
s
i
s
a
c
c
u
r
a
t
e
l
y
i
d
e
n
t
i
f
i
e
d
,
s
h
i
p
s
t
e
c
h
n
i
c
a
l
d
r
a
w
i
n
g
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
,
m
e
a
s
u
r
i
n
g
a
n
d
c
a
l
i
b
r
a
t
i
n
g
i
n
s
t
r
u
m
e
n
t
s
a
r
e
c
o
r
r
e
c
t
l
y
u
s
e
d
a
n
d
a
c
t
i
o
n
s
t
a
k
e
n
a
r
e
j
u
s
t
i
f
i
e
d
I
s
o
l
a
t
i
o
n
,
d
i
s
m
a
n
t
l
i
n
g
a
n
d
r
e
a
s
s
e
m
b
l
y
o
f
p
l
a
n
t
a
n
d
e
q
u
i
p
m
e
n
t
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
f
a
c
t
u
r
e
r
s
s
a
f
e
t
y
g
u
i
d
e
l
i
n
e
s
a
n
d
s
h
i
p
b
o
a
r
d
i
n
s
t
r
u
c
t
i
o
n
s
,
l
e
g
i
s
l
a
t
i
v
e
a
n
d
s
a
f
e
t
y
s
p
e
c
i
f
i
c
a
t
i
o
n
s
.
A
c
t
i
o
n
t
a
k
e
n
l
e
a
d
s
t
o
t
h
e
r
e
s
t
o
r
a
t
i
o
n
o
f
c
o
n
t
r
o
l
a
n
d
s
a
f
e
t
y
s
y
s
t
e
m
s
o
f
h
o
t
e
l
e
q
u
i
p
m
e
n
t
b
y
t
h
e
m
e
t
h
o
d
m
o
s
t
s
u
i
t
a
b
l
e
a
n
d
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
p
r
e
v
a
i
l
i
n
g
c
i
r
c
u
m
s
t
a
n
c
e
s
a
n
d
c
o
n
d
i
t
i
o
n
s
F
u
n
c
t
i
o
n
:
C
o
n
t
r
o
l
l
i
n
g
t
h
e
o
p
e
r
a
t
i
o
n
o
f
t
h
e
s
h
i
p
a
n
d
c
a
r
e
f
o
r
p
e
r
s
o
n
s
o
n
b
o
a
r
d
a
t
o
p
e
r
a
t
i
o
n
a
l
l
e
v
e
l
O
r
g
a
n
i
z
e
a
n
d
m
a
n
a
g
e
r
s
u
b
o
r
d
i
n
a
t
e
c
r
e
w
A
k
n
o
w
l
e
d
g
e
o
f
p
e
r
s
o
n
n
e
l
m
a
n
a
g
e
m
e
n
t
,
o
r
g
a
n
i
z
a
t
i
o
n
a
n
d
t
r
a
i
n
i
n
g
o
n
b
o
a
r
d
s
h
i
p
s
A
k
n
o
w
l
e
d
g
e
o
f
i
n
t
e
r
n
a
t
i
o
n
a
l
m
a
r
i
t
i
m
e
c
o
n
v
e
n
t
i
o
n
s
a
n
d
r
e
c
o
m
m
e
n
d
a
t
i
o
n
s
,
a
n
d
r
e
l
a
t
e
d
n
a
t
i
o
n
a
l
l
e
g
i
s
l
a
t
i
o
n
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
a
p
p
r
o
v
e
d
i
n
s
e
r
v
i
c
e
t
r
a
i
n
i
n
g
a
n
d
e
x
p
e
r
i
e
n
c
e
T
h
e
c
r
e
w
a
r
e
a
l
l
o
c
a
t
e
d
d
u
t
i
e
s
a
n
d
i
n
f
o
r
m
e
d
o
f
e
x
p
e
c
t
e
d
s
t
a
n
d
a
r
d
s
o
f
w
o
r
k
a
n
d
b
e
h
a
v
i
o
u
r
i
n
a
m
a
n
n
e
r
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
i
n
d
i
v
i
d
u
a
l
s
c
o
n
c
e
r
n
e
d
T
r
a
i
n
i
n
g
o
b
j
e
c
t
i
v
e
s
a
n
d
a
c
t
i
v
i
t
i
e
s
a
r
e
b
a
s
e
d
o
n
a
n
a
s
s
e
s
s
m
e
n
t
o
f
c
u
r
r
e
n
t
c
o
m
p
e
t
e
n
c
e
a
n
d
c
a
p
a
b
i
l
i
t
i
e
s
a
n
d
o
p
e
r
a
t
i
o
n
a
l
r
e
q
u
i
r
e
m
e
n
t
s
(
C
o
n
t
i
n
u
e
d
)
766
E
n
s
u
r
e
c
o
m
p
l
i
a
n
c
e
w
i
t
h
p
o
l
l
u
t
i
o
n
p
r
e
v
e
n
t
i
o
n
r
e
q
u
i
r
e
m
e
n
t
s
P
r
e
v
e
n
t
i
o
n
o
f
p
o
l
l
u
t
i
o
n
o
f
t
h
e
m
a
r
i
n
e
e
n
v
i
r
o
n
m
e
n
t
K
n
o
w
l
e
d
g
e
o
f
t
h
e
p
r
e
c
a
u
t
i
o
n
s
t
o
b
e
t
a
k
e
n
t
o
p
r
e
v
e
n
t
p
o
l
l
u
t
i
o
n
o
f
t
h
e
m
a
r
i
n
e
e
n
v
i
r
o
n
m
e
n
t
A
n
t
i
-
p
o
l
l
u
t
i
o
n
p
r
o
c
e
d
u
r
e
s
a
n
d
a
l
l
a
s
s
o
c
i
a
t
e
d
e
q
u
i
p
m
e
n
t
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
P
r
o
c
e
d
u
r
e
s
f
o
r
m
o
n
i
t
o
r
i
n
g
s
h
i
p
b
o
a
r
d
o
p
e
r
a
t
i
o
n
s
a
n
d
e
n
s
u
r
i
n
g
c
o
m
p
l
i
a
n
c
e
w
i
t
h
M
A
R
P
O
L
r
e
q
u
i
r
e
m
e
n
t
s
a
r
e
f
u
l
l
y
o
b
s
e
r
v
e
d
P
r
e
v
e
n
t
,
c
o
n
t
r
o
l
a
n
d
f
i
g
h
t
f
i
r
e
o
n
b
o
a
r
d
F
i
r
e
p
r
e
v
e
n
t
i
o
n
a
n
d
f
i
r
e
-
f
i
g
h
t
i
n
g
a
p
p
l
i
a
n
c
e
s
K
n
o
w
l
e
d
g
e
o
f
f
i
r
e
p
r
e
v
e
n
t
i
o
n
A
b
i
l
i
t
y
t
o
o
r
g
a
n
i
z
e
f
i
r
e
d
r
i
l
l
s
K
n
o
w
l
e
d
g
e
o
f
f
i
r
e
-
f
i
g
h
t
i
n
g
s
y
s
t
e
m
s
A
c
t
i
o
n
t
o
b
e
t
a
k
e
n
i
n
t
h
e
e
v
e
n
t
o
f
f
i
r
e
,
i
n
c
l
u
d
i
n
g
f
i
r
e
s
i
n
v
o
l
v
i
n
g
o
i
l
s
y
s
t
e
m
s
A
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
a
p
p
r
o
v
e
d
f
i
r
e
-
f
i
g
h
t
i
n
g
t
r
a
i
n
i
n
g
a
n
d
e
x
p
e
r
i
e
n
c
e
a
s
s
e
t
o
u
t
i
n
s
e
c
t
i
o
n
A
-
V
I
/
3
T
h
e
t
y
p
e
a
n
d
s
c
a
l
e
o
f
t
h
e
p
r
o
b
l
e
m
i
s
p
r
o
m
p
t
l
y
i
d
e
n
t
i
f
i
e
d
a
n
d
i
n
i
t
i
a
l
a
c
t
i
o
n
s
c
o
n
f
o
r
m
w
i
t
h
t
h
e
e
m
e
r
g
e
n
c
y
p
r
o
c
e
d
u
r
e
a
n
d
c
o
n
t
i
n
g
e
n
c
y
p
l
a
n
s
f
o
r
t
h
e
s
h
i
p
E
v
a
c
u
a
t
i
o
n
,
e
m
e
r
g
e
n
c
y
s
h
u
t
d
o
w
n
a
n
d
i
s
o
l
a
t
i
o
n
p
r
o
c
e
d
u
r
e
s
a
r
e
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
n
a
t
u
r
e
o
f
t
h
e
e
m
e
r
g
e
n
c
y
a
n
d
a
r
e
i
m
p
l
e
m
e
n
t
e
d
p
r
o
m
p
t
l
y
T
h
e
o
r
d
e
r
o
f
p
r
i
o
r
i
t
y
,
a
n
d
t
h
e
l
e
v
e
l
s
a
n
d
t
i
m
e
-
s
c
a
l
e
s
o
f
m
a
k
i
n
g
r
e
p
o
r
t
s
a
n
d
i
n
f
o
r
m
i
n
g
p
e
r
s
o
n
n
e
l
o
n
b
o
a
r
d
,
a
r
e
r
e
l
e
v
a
n
t
t
o
t
h
e
n
a
t
u
r
e
o
f
t
h
e
e
m
e
r
g
e
n
c
y
a
n
d
r
e
f
l
e
c
t
t
h
e
u
r
g
e
n
c
y
o
f
t
h
e
p
r
o
b
l
e
m
O
p
e
r
a
t
e
l
i
f
e
-
s
a
v
i
n
g
a
p
p
l
i
a
n
c
e
A
b
i
l
i
t
y
t
o
o
r
g
a
n
i
z
e
a
b
a
n
d
o
n
s
h
i
p
d
r
i
l
l
s
a
n
d
k
n
o
w
l
e
d
g
e
o
f
t
h
e
o
p
e
r
a
t
i
o
n
o
f
s
u
r
v
i
v
a
l
c
r
a
f
t
a
n
d
r
e
s
c
u
e
b
o
a
t
s
,
t
h
e
i
r
l
a
u
n
c
h
i
n
g
a
p
p
l
i
a
n
c
e
s
a
n
d
a
r
r
a
n
g
e
m
e
n
t
s
,
a
n
d
t
h
e
i
r
e
q
u
i
p
m
e
n
t
,
i
n
c
l
u
d
i
n
g
r
a
d
i
o
l
i
f
e
-
s
a
v
i
n
g
a
p
p
l
i
a
n
c
e
s
,
s
a
t
e
l
l
i
t
e
E
P
I
R
B
s
,
S
A
R
T
s
,
i
m
m
e
r
s
i
o
n
s
u
i
t
s
a
n
d
t
h
e
r
m
a
l
p
r
o
t
e
c
t
i
v
e
a
i
d
s
.
K
n
o
w
l
e
d
g
e
o
f
s
u
r
v
i
v
a
l
a
t
s
e
a
t
e
c
h
n
i
q
u
e
s
A
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
a
n
d
e
x
p
e
r
i
e
n
c
e
a
s
s
e
t
o
u
t
i
n
s
e
c
t
i
o
n
A
-
V
I
/
2
,
p
a
r
a
g
r
a
p
h
s
1
t
o
4
A
c
t
i
o
n
s
i
n
r
e
s
p
o
n
d
i
n
g
t
o
a
b
a
n
d
o
n
s
h
i
p
a
n
d
s
u
r
v
i
v
a
l
s
i
t
u
a
t
i
o
n
s
a
r
e
a
p
p
r
o
p
r
i
a
t
e
t
o
t
h
e
p
r
e
v
a
i
l
i
n
g
c
i
r
c
u
m
s
t
a
n
c
e
s
a
n
d
c
o
n
d
i
t
i
o
n
s
a
n
d
c
o
m
p
l
y
w
i
t
h
a
c
c
e
p
t
e
d
s
a
f
e
t
y
p
r
a
c
t
i
c
e
s
a
n
d
s
t
a
n
d
a
r
d
s
A
p
p
l
y
m
e
d
i
c
a
l
f
i
r
s
t
a
i
d
o
n
b
o
a
r
d
s
h
i
p
P
r
a
c
t
i
c
a
l
a
p
p
l
i
c
a
t
i
o
n
o
f
m
e
d
i
c
a
l
g
u
i
d
e
s
a
n
d
a
d
v
i
c
e
b
y
r
a
d
i
o
,
i
n
c
l
u
d
i
n
g
t
h
e
a
b
i
l
i
t
y
t
o
t
a
k
e
e
f
f
e
c
t
i
v
e
a
c
t
i
o
n
b
a
s
e
d
o
n
s
u
c
h
k
n
o
w
l
e
d
g
e
i
n
t
h
e
c
a
s
e
o
f
a
c
c
i
d
e
n
t
s
o
r
i
l
l
n
e
s
s
e
s
t
h
a
t
a
r
e
l
i
k
e
l
y
t
o
o
c
c
u
r
o
n
b
o
a
r
d
s
h
i
p
A
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
a
s
s
e
t
o
u
t
i
n
s
e
c
t
i
o
n
A
-
V
I
/
4
,
p
a
r
a
g
r
a
p
h
s
1
t
o
3
I
d
e
n
t
i
f
i
c
a
t
i
o
n
o
f
p
r
o
b
a
b
l
e
c
a
u
s
e
,
n
a
t
u
r
e
a
n
d
e
x
t
e
n
t
o
f
i
n
j
u
r
i
e
s
o
r
c
o
n
d
i
t
i
o
n
s
i
s
p
r
o
m
p
t
a
n
d
t
r
e
a
t
m
e
n
t
m
i
n
i
m
i
z
e
s
i
m
m
e
d
i
a
t
e
t
h
r
e
a
t
t
o
l
i
f
e
(
C
o
n
t
i
n
u
e
d
)
767
T
a
b
l
e
A
-
I
I
I
/
7
.
S
p
e
c
i
f
i
c
a
t
i
o
n
o
f
m
i
n
i
m
u
m
s
t
a
n
d
a
r
d
s
o
f
c
o
m
p
e
t
e
n
c
y
f
o
r
S
E
T
O
[
1
]
.
C
o
l
u
m
n
1
C
o
l
u
m
n
2
C
o
l
u
m
n
3
C
o
l
u
m
n
4
C
o
m
p
e
t
e
n
c
e
K
n
o
w
l
e
d
g
e
,
u
n
d
e
r
s
t
a
n
d
i
n
g
a
n
d
p
r
o
f
i
c
i
e
n
c
y
M
e
t
h
o
d
s
f
o
r
d
e
m
o
n
s
t
r
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
C
r
i
t
e
r
i
a
f
o
r
e
v
a
l
u
a
t
i
n
g
c
o
m
p
e
t
e
n
c
e
F
u
n
c
t
i
o
n
:
e
l
e
c
t
r
i
c
a
l
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
e
n
g
i
n
e
e
r
i
n
g
a
t
o
p
e
r
a
t
i
o
n
a
l
l
e
v
e
l
M
o
n
i
t
o
r
a
n
d
e
v
a
l
u
a
t
e
e
l
e
c
t
r
i
c
a
l
p
o
w
e
r
g
e
n
e
r
a
t
i
o
n
a
n
d
c
o
n
s
u
m
p
t
i
o
n
E
x
p
a
n
d
e
d
t
h
e
o
r
e
t
i
c
a
l
k
n
o
w
l
e
d
g
e
E
l
e
c
t
r
o
-
t
e
c
h
n
o
l
o
g
y
a
n
d
e
l
e
c
t
r
i
c
a
l
m
a
c
h
i
n
e
s
t
h
e
o
r
y
E
l
e
c
t
r
o
n
i
c
s
a
n
d
p
o
w
e
r
e
l
e
c
t
r
o
n
i
c
s
E
l
e
c
t
r
i
c
a
l
p
o
w
e
r
d
i
s
t
r
i
b
u
t
i
o
n
b
o
a
r
d
s
a
n
d
e
l
e
c
t
r
i
c
a
l
e
q
u
i
p
m
e
n
t
A
u
t
o
m
a
t
i
o
n
,
c
o
n
t
r
o
l
s
y
s
t
e
m
s
a
n
d
i
n
s
t
r
u
m
e
n
t
a
t
i
o
n
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
T
h
e
m
e
t
h
o
d
s
o
f
m
e
a
s
u
r
i
n
g
t
h
e
l
o
a
d
c
a
p
a
c
i
t
y
o
f
t
h
e
g
e
n
e
r
a
t
o
r
s
a
n
d
m
o
t
o
r
s
a
r
e
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
t
e
c
h
n
i
c
a
l
s
p
e
c
i
f
i
c
a
t
i
o
n
s
P
e
r
f
o
r
m
a
n
c
e
l
e
v
e
l
s
a
r
e
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
t
e
c
h
-
n
i
c
a
l
s
p
e
c
i
f
i
c
a
t
i
o
n
s
M
a
i
n
t
a
i
n
s
a
f
e
t
y
o
f
e
q
u
i
p
m
e
n
t
,
s
y
s
t
e
m
s
a
n
d
s
e
r
v
i
c
e
s
P
r
a
c
t
i
c
a
l
k
n
o
w
l
e
d
g
e
O
p
e
r
a
t
i
o
n
a
n
d
m
a
i
n
t
e
n
a
n
c
e
o
f
:
1
.
E
l
e
c
t
r
i
c
a
l
g
e
n
e
r
a
t
i
o
n
a
n
d
d
i
s
t
r
i
b
u
t
i
o
n
s
y
s
t
e
m
s
2
.
E
l
e
c
t
r
i
c
a
l
p
r
o
p
u
l
s
i
o
n
p
l
a
n
t
3
.
A
u
x
i
l
i
a
r
y
m
a
c
h
i
n
e
r
y
,
i
n
c
l
u
d
i
n
g
p
u
m
p
i
n
g
,
a
u
x
i
l
i
a
r
y
b
o
i
l
e
r
p
l
a
n
t
a
n
d
s
t
e
e
r
i
n
g
-
g
e
a
r
c
o
n
t
r
o
l
s
y
s
t
e
m
s
4
.
I
n
t
e
g
r
a
t
e
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
5
.
E
l
e
c
t
r
i
c
a
l
l
y
o
p
e
r
a
t
e
d
c
a
r
g
o
-
h
a
n
d
l
i
n
g
e
q
u
i
p
m
e
n
t
a
n
d
d
e
c
k
m
a
c
h
i
n
e
r
y
S
a
f
e
t
y
o
f
e
q
u
i
p
m
e
n
t
,
s
y
s
t
e
m
s
a
n
d
s
e
r
v
i
c
e
s
i
s
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
m
a
n
u
f
a
c
t
u
r
e
r
s
s
a
f
e
t
y
g
u
i
d
e
l
i
n
e
s
a
n
d
s
h
i
p
b
o
a
r
d
i
n
s
t
r
u
c
t
i
o
n
s
,
l
e
g
i
s
l
a
t
i
v
e
a
n
d
s
a
f
e
t
y
s
p
e
c
i
f
i
c
a
t
i
o
n
s
.
D
i
a
g
n
o
s
e
f
a
u
l
t
s
,
m
a
i
n
t
a
i
n
a
n
d
r
e
s
t
o
r
e
e
l
e
c
t
r
i
c
a
l
p
o
w
e
r
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
e
q
u
i
p
m
e
n
t
t
o
o
p
e
r
a
t
i
n
g
c
o
n
d
i
t
i
o
n
U
n
d
e
r
s
t
a
n
d
a
n
d
d
i
a
g
n
o
s
e
t
h
e
u
n
d
e
r
l
a
y
i
n
g
c
a
u
s
e
o
f
m
a
l
f
u
n
c
t
i
o
n
s
i
n
e
l
e
c
t
r
i
c
a
l
p
o
w
e
r
,
e
l
e
c
t
r
o
n
i
c
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
a
n
d
e
q
u
i
p
m
e
n
t
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
M
a
i
n
t
e
n
a
n
c
e
a
c
t
i
v
i
t
i
e
s
a
r
e
c
o
r
r
e
c
t
l
y
p
l
a
n
n
e
d
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
t
e
c
h
n
i
c
a
l
,
l
e
g
i
s
l
a
t
i
v
e
,
s
a
f
e
t
y
a
n
d
p
r
o
c
e
d
u
r
a
l
s
p
e
c
i
f
i
c
a
t
i
o
n
s
T
h
e
e
f
f
e
c
t
o
f
m
a
l
f
u
n
c
t
i
o
n
s
o
n
a
s
s
o
c
i
a
t
e
d
p
l
a
n
t
a
n
d
s
y
s
t
e
m
s
i
s
a
c
c
u
r
a
t
e
l
y
i
d
e
n
t
i
f
i
e
d
,
s
h
i
p
s
t
e
c
h
n
i
c
a
l
d
r
a
w
i
n
g
s
a
r
e
c
o
r
r
e
c
t
l
y
i
n
t
e
r
p
r
e
t
e
d
,
m
e
a
s
u
r
i
n
g
a
n
d
c
a
l
i
b
r
a
t
i
n
g
i
n
s
t
r
u
m
e
n
t
s
a
r
e
c
o
r
r
e
c
t
l
y
u
s
e
d
a
n
d
a
c
t
i
o
n
s
t
a
k
e
n
a
r
e
j
u
s
t
i
f
i
e
d
D
i
a
g
n
o
s
e
f
a
u
l
t
s
,
m
a
i
n
t
a
i
n
a
n
d
r
e
s
t
o
r
e
n
a
v
i
g
a
t
i
o
n
a
n
d
c
o
m
m
u
n
i
c
a
t
i
o
n
e
q
u
i
p
m
e
n
t
t
o
o
p
e
r
a
t
i
n
g
c
o
n
d
i
t
i
o
n
U
n
d
e
r
s
t
a
n
d
a
n
d
d
i
a
g
n
o
s
e
t
h
e
u
n
d
e
r
l
a
y
i
n
g
c
a
u
s
e
o
f
m
a
l
f
u
n
c
t
i
o
n
s
i
n
n
a
v
i
g
a
t
i
o
n
a
n
d
c
o
m
m
u
n
i
c
a
t
i
o
n
s
y
s
t
e
m
s
a
n
d
e
q
u
i
p
m
e
n
t
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
T
h
e
m
e
t
h
o
d
s
o
f
c
o
m
p
a
r
i
n
g
a
c
t
u
a
l
o
p
e
r
a
t
i
n
g
c
o
n
d
i
t
i
o
n
s
a
r
e
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
r
e
c
o
m
m
e
n
d
e
d
p
r
a
c
t
i
c
e
s
a
n
d
p
r
o
c
e
d
u
r
e
s
A
c
t
i
o
n
s
a
n
d
d
e
c
i
s
i
o
n
s
a
r
e
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
r
e
c
o
m
m
e
n
d
e
d
o
p
e
r
a
t
i
n
g
s
p
e
c
i
f
i
c
a
t
i
o
n
s
a
n
d
l
i
m
i
t
a
t
i
o
n
s
(
C
o
n
t
i
n
u
e
d
)
768
O
p
e
r
a
t
e
,
m
a
i
n
t
a
i
n
a
n
d
m
a
n
a
g
e
p
o
w
e
r
s
y
s
t
e
m
s
i
n
e
x
c
e
s
s
o
f
1
0
0
0
V
o
l
t
s
T
h
e
o
r
e
t
i
c
a
l
k
n
o
w
l
e
d
g
e
:
H
i
g
h
v
o
l
t
a
g
e
t
e
c
h
n
o
l
o
g
y
S
a
f
e
t
y
p
r
e
c
a
u
t
i
o
n
s
a
n
d
p
r
o
c
e
d
u
r
e
s
E
l
e
c
t
r
i
c
a
l
p
r
o
p
u
l
s
i
o
n
o
f
t
h
e
s
h
i
p
s
,
e
l
e
c
t
r
i
c
a
l
m
o
t
o
r
s
a
n
d
c
o
n
t
r
o
l
s
y
s
t
e
m
s
P
r
a
c
t
i
c
a
l
k
n
o
w
l
e
d
g
e
:
S
a
f
e
o
p
e
r
a
t
i
o
n
a
n
d
m
a
i
n
t
e
n
a
n
c
e
o
f
h
i
g
h
v
o
l
t
a
g
e
s
y
s
t
e
m
s
i
n
c
l
u
d
i
n
g
k
n
o
w
l
e
d
g
e
o
f
t
h
e
s
p
e
c
i
a
l
t
e
c
h
n
i
c
a
l
t
y
p
e
o
f
h
i
g
h
v
o
l
t
a
g
e
s
y
s
t
e
m
s
a
n
d
t
h
e
d
a
n
g
e
r
r
e
s
u
l
t
i
n
g
f
r
o
m
o
p
e
r
a
t
i
o
n
a
l
v
o
l
t
a
g
e
o
f
m
o
r
e
t
h
a
n
1
0
0
0
V
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
4
.
a
p
p
r
o
v
e
d
l
a
b
o
r
a
t
o
r
y
e
q
u
i
p
m
e
n
t
t
r
a
i
n
i
n
g
O
p
e
r
a
t
i
o
n
s
a
r
e
p
l
a
n
n
e
d
a
n
d
c
a
r
r
i
e
d
o
u
t
i
n
a
c
c
o
r
d
a
n
c
e
w
i
t
h
e
s
t
a
b
l
i
s
h
e
d
r
u
l
e
s
a
n
d
p
r
o
c
e
d
u
r
e
s
t
o
e
n
s
u
r
e
s
a
f
e
t
y
o
f
o
p
e
r
a
t
i
o
n
s
F
u
n
c
t
i
o
n
:
c
o
n
t
r
o
l
l
i
n
g
t
h
e
o
p
e
r
a
t
i
o
n
o
f
t
h
e
s
h
i
p
a
n
d
c
a
r
e
f
o
r
p
e
r
s
o
n
s
o
n
b
o
a
r
d
a
t
t
h
e
m
a
n
a
g
e
m
e
n
t
l
e
v
e
l
P
l
a
n
a
n
d
s
c
h
e
d
u
l
e
o
p
e
r
a
t
i
o
n
s
K
n
o
w
l
e
d
g
e
o
f
:
1
.
c
o
m
p
u
t
e
r
-
b
a
s
e
d
m
a
n
a
g
e
m
e
n
t
s
y
s
t
e
m
s
o
f
p
e
r
i
o
d
i
c
a
l
m
a
i
n
t
e
n
a
n
c
e
a
n
d
r
e
p
a
i
r
s
2
.
p
r
e
p
a
r
a
t
i
o
n
s
f
o
r
d
r
y
d
o
c
k
i
n
g
a
n
d
s
h
i
p
y
a
r
d
r
e
p
a
i
r
s
a
n
d
m
a
i
n
t
e
n
a
n
c
e
3
.
c
l
a
s
s
r
e
q
u
i
r
e
m
e
n
t
s
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
T
h
e
p
l
a
n
n
i
n
g
a
n
d
p
r
e
p
a
r
a
t
i
o
n
o
f
o
p
e
r
a
t
i
o
n
s
i
s
s
u
i
t
e
d
t
o
t
h
e
d
e
s
i
g
n
p
a
r
a
m
e
t
e
r
s
o
f
t
h
e
p
o
w
e
r
i
n
s
t
a
l
l
a
t
i
o
n
a
n
d
t
o
t
h
e
r
e
q
u
i
r
e
m
e
n
t
s
o
f
t
h
e
v
o
y
a
g
e
M
o
n
i
t
o
r
a
n
d
c
o
n
t
r
o
l
c
o
m
p
l
i
a
n
c
e
w
i
t
h
l
e
g
i
s
l
a
t
i
v
e
r
e
q
u
i
r
e
m
e
n
t
s
a
n
d
m
e
a
s
u
r
e
s
r
e
l
a
t
i
n
g
t
o
e
l
e
c
t
r
i
c
a
l
a
n
d
e
l
e
c
t
r
o
n
i
c
e
q
u
i
p
m
e
n
t
a
n
d
s
y
s
t
e
m
s
t
o
e
n
s
u
r
e
s
a
f
e
t
y
o
f
l
i
f
e
a
t
s
e
a
a
n
d
p
r
o
t
e
c
t
i
o
n
o
f
t
h
e
m
a
r
i
n
e
e
n
v
i
r
o
n
m
e
n
t
K
n
o
w
l
e
d
g
e
o
f
r
e
l
e
v
a
n
t
i
n
t
e
r
n
a
t
i
o
n
a
l
m
a
r
i
t
i
m
e
l
a
w
e
m
b
o
d
i
e
d
i
n
i
n
t
e
r
n
a
t
i
o
n
a
l
a
g
r
e
e
m
e
n
t
s
a
n
d
c
o
n
v
e
n
t
i
o
n
s
R
e
g
a
r
d
s
h
a
l
l
b
e
p
a
i
d
e
s
p
e
c
i
a
l
l
y
t
o
t
h
e
f
o
l
l
o
w
i
n
g
s
u
b
j
e
c
t
s
:
1
.
c
e
r
t
i
f
i
c
a
t
e
s
a
n
d
o
t
h
e
r
d
o
c
u
m
e
n
t
s
r
e
q
u
i
r
e
d
t
o
b
e
c
a
r
r
i
e
d
o
n
b
o
a
r
d
s
h
i
p
s
b
y
i
n
t
e
r
n
a
t
i
o
n
a
l
c
o
n
v
e
n
t
i
o
n
s
,
h
o
w
t
h
e
y
m
a
y
b
e
o
b
t
a
i
n
e
d
a
n
d
t
h
e
p
e
r
i
o
d
o
f
t
h
e
i
r
l
e
g
a
l
v
a
l
i
d
i
t
y
2
.
r
e
s
p
o
n
s
i
b
i
l
i
t
i
e
s
u
n
d
e
r
t
h
e
r
e
l
e
v
a
n
t
r
e
q
u
i
r
e
m
e
n
t
s
o
f
t
h
e
I
n
t
e
r
n
a
t
i
o
n
a
l
C
o
n
v
e
n
t
i
o
n
f
o
r
t
h
e
S
a
f
e
t
y
o
f
L
i
f
e
a
t
S
e
a
3
.
r
e
s
p
o
n
s
i
b
i
l
i
t
i
e
s
u
n
d
e
r
t
h
e
I
n
t
e
r
n
a
t
i
o
n
a
l
C
o
n
v
e
n
t
i
o
n
f
o
r
t
h
e
P
r
e
v
e
n
t
i
o
n
o
f
P
o
l
l
u
t
i
o
n
f
r
o
m
S
h
i
p
s
4
.
m
a
r
i
t
i
m
e
d
e
c
l
a
r
a
t
i
o
n
s
o
f
h
e
a
l
t
h
a
n
d
t
h
e
r
e
q
u
i
r
e
m
e
n
t
s
o
f
t
h
e
I
n
t
e
r
n
a
t
i
o
n
a
l
H
e
a
l
t
h
R
e
g
u
l
a
t
i
o
n
s
5
.
r
e
s
p
o
n
s
i
b
i
l
i
t
i
e
s
u
n
d
e
r
i
n
t
e
r
n
a
t
i
o
n
a
l
i
n
s
t
r
u
m
e
n
t
s
a
f
f
e
c
t
i
n
g
t
h
e
s
a
f
e
t
y
o
f
t
h
e
s
h
i
p
s
,
p
a
s
s
e
n
g
e
r
s
,
c
r
e
w
o
r
c
a
r
g
o
6
.
m
e
t
h
o
d
s
a
n
d
a
i
d
s
t
o
p
r
e
v
e
n
t
p
o
l
l
u
t
i
o
n
o
f
t
h
e
e
n
v
i
r
o
n
m
e
n
t
b
y
s
h
i
p
s
7
.
k
n
o
w
l
e
d
g
e
o
f
n
a
t
i
o
n
a
l
l
e
g
i
s
l
a
t
i
o
n
f
o
r
i
m
p
l
e
m
e
n
t
i
n
g
i
n
t
e
r
n
a
t
i
o
n
a
l
a
g
r
e
e
m
e
n
t
s
a
n
d
c
o
n
v
e
n
t
i
o
n
s
E
x
a
m
i
n
a
t
i
o
n
a
n
d
a
s
s
e
s
s
m
e
n
t
o
f
e
v
i
d
e
n
c
e
o
b
t
a
i
n
e
d
f
r
o
m
o
n
e
o
r
m
o
r
e
o
f
t
h
e
f
o
l
l
o
w
i
n
g
:
1
.
a
p
p
r
o
v
e
d
i
n
-
s
e
r
v
i
c
e
e
x
p
e
r
i
e
n
c
e
2
.
a
p
p
r
o
v
e
d
t
r
a
i
n
i
n
g
s
h
i
p
e
x
p
e
r
i
e
n
c
e
3
.
a
p
p
r
o
v
e
d
s
i
m
u
l
a
t
o
r
t
r
a
i
n
i
n
g
,
w
h
e
r
e
a
p
p
r
o
p
r
i
a
t
e
P
r
o
c
e
d
u
r
e
s
f
o
r
m
o
n
i
t
o
r
i
n
g
o
p
e
r
a
t
i
o
n
s
a
n
d
m
a
i
n
t
e
n
a
n
c
e
c
o
m
p
l
y
w
i
t
h
l
e
g
i
s
l
a
t
i
v
e
r
e
q
u
i
r
e
m
e
n
t
s
P
o
t
e
n
t
i
a
l
n
o
n
-
c
o
m
p
l
i
a
n
c
e
i
s
p
r
o
m
p
t
l
y
a
n
d
f
u
l
l
y
i
d
e
n
t
i
f
i
e
d
R
e
q
u
i
r
e
m
e
n
t
s
f
o
r
r
e
n
e
w
a
l
a
n
d
e
x
t
e
n
s
i
o
n
o
f
c
e
r
t
i
f
i
c
a
t
e
s
e
n
s
u
r
e
c
o
n
t
i
n
u
e
d
v
a
l
i
d
i
t
y
o
f
s
u
r
v
e
y
i
t
e
m
s
a
n
d
e
q
u
i
p
m
e
n
t
769
4. Theminimumknowledge, understandingandpro-
ficiency requiredfor certification is listedin col-
umn2of tableA-III/6anditshall takeintoaccount
theguidancegiveninpart B of thisCode.
5. Every candidatefor certificationshall berequired
toprovideevidenceof havingachievedtherequired
standard of competence tabulated in columns 3
and4of tableA-III/6.
InnewSectionB-III/6shall beinsertedthefollow-
ingrecommendations:
In addition to the requirements stated in tableA-
III/6of thisCode, Partiesareencouragedtotakeinto
account resolutionA.702(17) concerningradiomain-
tenanceguidelinesfortheglobal maritimedistressand
safetysystemwithintheir trainingprogrammes.
A new section A-III/7 Mandatory minimum
requirements for certification of senior electro-
technical officer shall be inserted after sections
A-III/6. ThenewsectionA-III/7shall containfollow-
ingrequirementsforon-boardtrainingandstandardof
competencefor SETO:
Standard of competence
1. Everycandidatefor certificationassenior electro-
technical officerof seagoingshipspoweredbymain
propulsionmachinery of morethan750kW shall
berequiredtodemonstrateabilitytoundertakethe
tasks, dutiesandresponsibilitieslistedincolumn1
of tableA-III/7.
2. Theminimumknowledge, understandingandpro-
ficiency requiredfor certification is listedin col-
umn2of tableA-III/7. Thisincorporates, expands
andextendsindepththesubjectslistedincolumn
2of thetableA-III/6for electro-technical officer.
3. Training and experienceto achievethenecessary
level of theoretical knowledge, understandingand
proficiency shall take into account the relevant
requirementsof thispart.
4. Every candidatefor certificationshall berequired
toprovideevidenceof havingachievedtherequired
standard of competence in accordance with the
methods for demonstrating competence and the
criteria for evaluating competence tabulated in
columns3and4of tableA-III/7.
4 MINIMUM STANDARDOF COMPETENCY
FOR ETOANDSETO
TableA-III/6 presents thespecification of minimum
standardsof competenceforelectro-technical officers.
TableA-III/7presentsthespecificationof minimum
standards of competencefor senior electro-technical
officers.
5 FINAL REMARKS
Proposal of amendmentstotheSTCWConventionand
itsCodeestablishinginternational qualificationstan-
dards for electro-technical officers described in this
paperwasaresultof theIntersessional WorkingGroup
meetinginSeptember 2008, nextpresentedduringthe
40thsessionof theIMOSTWSub-Committee,regard-
ingthecomprehensivereviewof theSTCWConven-
tion and Code, scheduled from 02 to 06 February
2009.
Inthemeantime, betweentheIntersessional Work-
ing Group meeting on the STW issues some new
documents related to thediscussed matter appeared,
likeSTW 40/7/54submittedby J apan, STW 40/7/56
submitted by Denmark and STW 40/7/17 submitted
byGermany.
Finally, threeoptionsfor further considerationsare
atthetable: thefirstoneconcerningtwo-level electro-
technical officersstandards, includingETOandSETO
levels, thesecond option presented by theGermany,
supported by USA, consisting of two-level electric /
electronic staff understood as electro-technical offi-
cerandableseafarerelectro-engineering, andthethird
option - all electric / electronic duties belong to and
arerealizedbymarineengineers(DenmarkandJ apan).
Thefurther stepsof theprocedurewill beorientedfor
lookingforthebestsolutionandcompromiseproposal
possible to accept by the majority of IMO member
states.
REFERENCES
[1] STW40/7/3, STW40/7/4, STW40/7/6- Workingdoc-
uments at the 40th session of the Sub-Committee on
Standards andWatchkeeping, which support theETO
andSETOconcept, IMO, London, 2009
[2] STCW95,STCWConvention,Resolutionof theSTCW
ConferenceandSTCWCode, IMO, London, 1996
[3] Wyszkowski J.,Mindykowski J.,WawruchR.,Develop-
ment of thequalificationstandardsfor electrotechnical
officers (ETO) Proc. of theXI MaritimeConference,
Gdynia, 2008(MarCon2008), CD-ROM, pp. 19
[4] Areengineersgettingtheelectrical trainingtheyneed?
MarineEngineeringReview, March2006, p. 3536
[5] Orderbook: NewShips andCounting, CruiseIndustry
NewsQuarterly: Fall 2008
[6] STW 40/7/17, STW 40/7/54, STW 40/7/56 Working
documents at the 40th session of the Sub-Committee
onStandardsandWatchkeeping, whichdonot support
two-levelsETOconcept, IMO, London, 2009
770
17.5
Assessment of ISPScodecomplianceat portsusingcognitivemaps
M. Celik&Y. IlkerTopcu
Istanbul Technical University, Istanbul, Turkey
ABSTRACT: International shipandportfacilitysecurity(ISPS) CodewasdevelopedbytheInternational Mar-
itimeOrganization(IMO)asanexecutionframeworktoensurehighlevel of securitymeasuresapplicabletoships
andport facilities. Besides contributions of ISPS Codetowards security improvement, additional bureaucracy
(i.e. documentation, certification, training, expensesetc.) andseriousshortfallshaveappearedduringimplemen-
tationprocess. Thispaper explorestheISPS Codepracticeat portsbasedoncognitivemappingapproach. The
outcomesof thisresearchcanbeproposedtointernational maritimeauthoritiesinorder toenhancetheexisting
concept andregulatorycompliancesof theISPSCodeinrespect toindustrial feedback.
1 INTRODUCTION
Securityinmaritimetransportationisoneof thefocal
issues of maritime interests. This dilemma requires
settingcritical measuresandinitiatives, whichshould
effectivelybedesignedandimplemented. Inthiscase,
theconsequences of security improvements arealso
beneficial toservicequalityandbusinessperformance
ininternational shipping(Thai, 2007).
To provide a standardized framework for imple-
mentingsecurityprecautionsandtocontrol thepoten-
tial risks for ships and port facilities, practicing of
aninternational shipandport facility security (ISPS)
codewasinitiatedbytheInternational MaritimeOrga-
nization(IMO) (Hesse& Charalambous, 2004; King,
2005).TheISPScodeestablishescooperationbetween
governmentagenciesandtheshippingandportindus-
tries in perception of security threats andpreventing
security incidents affecting ships in ports (Mensah,
2004). Theimplementationof theISPScodenecessi-
tates following well-designed procedures to capture
most of the probable risky situations in a quick
response.Thus, itrequiresbothflexibleandconsistent
planstoovercomeall thoseunexpectedcircumstances
(Tzannatos, 2003).
The aim of this paper is to delineate the cur-
rent implementation procedure of the ISPS Code at
container terminals. Specifically, cognitive mapping
approachisutilizedtomodel theindustrial feedbacks
about the shortcomings of the ISPS Code. Conse-
quently, asimplerepresentationof theraisedproblems
inISPSCodepracticeisgraphicallydemonstrated.
2 COGNITIVE MAPS
2.1 Cognitive mapping
Cognitive mapping is the task of delineation a per-
sons thinking about a problem or issue. Initially,
Tolman(1948) introducedthefundamental principles,
which have been referred as guidelines for cogni-
tivepsychology research. A cognitivemap approach
ensuresparticipationsof thedecisionmakers motiva-
tionthroughcreativedecision-making.Inaddition,itis
anactivetool, whichallowsmodificationof dynamic
attributesinproblemenvironment inaccordancewith
theprior settingsandgoal.
The structure of a cognitive map mainly cap-
turescausal dependencies(Srinivas& Shekar, 1997),
thereto; it alsoprovides agraphical representationof
different problemcases(Axelrod, 1976; Eden, 1990).
Inproblemconstructionstage, anoderepresents the
concepts whileanumber of arcs schematizeexisting
directional relationshipsamongthesenodes. Symbol-
ical representationof linksissettledusingaunidirec-
tional arrow.A statementatthetail of anarrowistaken
tocause, or influence, thestatementatthearrowhead.
Accordingtothecasual relationtypeamongconcepts
(representedbynodes), aminus/plussignislocatedon
thearrows.
Sinceitprovidessatisfactorysolutionstomanycase
studies, cognitivemapshavebeenappliedseveral eras
inliterature(Kitchin& Freundschuh, 2000).
2.2 Linking up with ISPS Code practice at Ports
Theprevious subchapter was intended to providean
introduction to cognitive mapping. Whereupon, it is
anonerous task to comply adecisionanalysis model
withseriousshortfallsinISPSCodeimplementations.
In detailed model construction, the mostly encoun-
teredproblemsregardingwithregulatorycompliances
of ISPS Code requirements onboard ships are rep-
resented via nodes. The decision analysis aims at
achieving two points: (1) Clarifying thecasual rela-
tionsandeffectsamongshortfallsfromshipoperators
perspective,(2)Formulatingfurtherstrategiestorevise
ISPSCode.
771
Table1. Mandatoryrequirementsof ISPSCode.
Requirements
Section1 General
1.1 Introduction
1.2 Objectives
1.3 Functional requirements
Section2 Definitions
Section3 Application
Section4 Responsibilitiesof Contracting
Governments
Section5 Declarationof Security
Section6 Obligationsof theCompany
Section7 ShipSecurity
Section8 ShipSecurityAssessment (SSA)
Section9 ShipSecurityPlan(SSP)
Section10 Records
Section11 CompanySecurityOfficer (CSO)
Section12 ShipSecurityOfficer (SSO)
Section13 Training, DrillsandExerciseson
ShipSecurity
Section14 Port FacilitySecurity
Section15 Port FacilitySecurityAssessment
Section16 Port FacilitySecurityPlan
Section17 Port FacilitySecurityOfficer
Section18 TrainingandDrillsonPort
FacilitySecurity
Section19 VerificationandCertification
19.1 Verifications
19.2 Issueor endorsement of certificate
19.3 Durationandvalidityof certificate
19.4 Interimcertification
3 PROPOSEDAPPROACH
3.1 ISPS Code
TheISPSCodeconsistsof twoparts. PartA ismanda-
tory. Itcontainsdetailedsecurityrelatedrequirements
for governments, port authorities, andshippingcom-
panies. Part B contains aserious of guidelines about
howtomeettheserequirements.Furthermore,thecon-
ferenceadoptedanumber of resolutions, in order to
facilitate the implementation and the application of
those security measures to ships and port facilities.
Table 1 outlines the mandatory requirements of the
ISPSCode.
3.2 Feedbacks from Maritime Industry
Industrial feedbacks and technical reports on ISPS
Code-relatedconcernsaffectingshipsareessential to
identifyandaddresstheprobableproblems,whichmay
arise. At this insight, the common idea focuses on
excessivepressureof expectationsregardingwiththe
ISPSCode. Sometimes, thoselimitationscreatesome
tradingdisadvantages andoperational constraints for
merchant ships. Especially, the following items are
highlighted about security related matters, which
affect theoperationsof merchant ships(ICS, 2008):
Additional information demands fromport state
inspector suchassecurityplan, disclosure, etc.
Availability of ongoingproblems inrespect of the
continuoussynopsisrecord,recordsof training,and
drills.
Excessiveattitudesof portstatecontrol (PSC) offi-
cerssuchasuse/display of firearms, crewinterro-
gation, aggressiveattitudes, placingarmedguards,
refusal of accesstoshorefacilities/shoreleave.
Maritimesecurity (MARSEC) level incompatibil-
itybetweenshipandport facility.
Problemsover agreement onadeclarationof secu-
rity.
Excessive information demands before entering
port, current andhistorical information(e.g. port,
customs, andimmigration).
Problemscausedbytradinghistory(previouscalls
at non-compliant port facilities, previous owner-
shipor flag).
Limitationsonaccesscontrol issuessuchasiden-
tification (requested/provided), manning access
points, searching visitors, accompanying visitors,
securing waterside access, access to ships for
essential visitors.
Establishment of restricted areas on board and
ashore and securing access to them(e.g. bridge,
engineroom, accommodation).
Monitoringof deck patrols, landwardandseaward
monitoring.
Useof additional securityequipmentssuchasauto-
maticidentificationsystem(AIS) andshipsecurity
alert system.
Considering security measures for storing of any
deliveredsparesandprovisions.
Additional supervisionrequirements andintegrity
incargorelatedoperations.
Commercial consequences of delay, detention,
refusal of entryordeparture, andadditional inspec-
tions.
Time constraints to correct the perceived ship
securitydeficiencies.
3.3 Cognitive map construction on shortfalls of
ISPS Code implementation
Followingtheindustrial feedbacks, representationof
theimplementationshortfallsof theISM Codebased
onacognitivemapstructureisconstructedinrespect
to thefollowing dimensions: (i) Goal, (ii) Variables,
(iii)Casual relationshipsamongthevariables.Thegoal
ispredefinedasHowcanweachievetheregulatory
compliancesof theISPSCodeinrespect toindustrial
feedback? On the other hand, the variables, which
includebothshortfallsandkeyimplementationitems
of ISPSCode, aregivenasfollows:
V
1
: Additional informationdemand
V
2
: Excessiveworkloadonboard
V
3
: Immigrationbureaucracy
V
4
: Port customfacilities
V
5
: Securityplan
V
6
: Drill andtrainingrecords
V
7
: Useof securityequipment
772
Table2. Squarematrixof concepts.
V
8
: Manningof accesspoints
V
9
: Securingwatersideaccess
V
10
: Essential visitors control
V
11
: Securingrestrictedareas
V
12
: Excessiveattitudesof PSC officers
V
13
: Crewfatigueandstress
V
14
: Commercial consequencesof detentions
V
15
: Refusal of entryor departure
V
16
: Timeconstraintsat port period
V
17
: MARSEC level incompatibility
Itisthenextissuetodefineexistingcasual relation-
shipsinthreedifferent forms:
(i) Positive()
(ii) Negative()
(iii) Norelationships(0)
At this insight, thecasual relationships amongthe
variablescanbebeneficial toformulateenhancement
strategiesthroughISPSCodeimplementationatports.
Those strategies might include an integrated action
plan, combined execution of excessive procedures
basedonauniquescheme, eliminationof unnecessary
issues, andother countermeasures. Table2addressed
the construction of a square matrix including all
conceptsrelatedtoISPSCodeimplementation.
Furthermore, inFigure1schematizes thefocused
problemin accordance with the cognitive mapping
principals. Broadly, twokindsof concept aredefined:
implementationshortfalls(V
1
, V
2
, V
3
, V
12
, V
13
, V
14
,
V
15
, V
16
, V
17
) andregular items(V
4
, V
5
, V
6
, V
7
, V
8
,
V
9
, V
10
, V
11
). Thebluelinesshowthepositivecasual
relation () whilethelines with red colour indicate
thenegativecasual relation().
It is thefinal stageof this approach to transform
thoserelationsintouseful informationtoenhanceISPS
Codeimplementation. In this progress, all thenega-
tiveeffects against routineimplementation items, in
addition, positiverelationsthat increasethedegreeof
implementationshortfallsshouldbeeliminated.
Figure1. Cognitivemappingof ISPSCodeimplementation.
Table3. Centralityvaluesfor concepts.
Concepts Centralityvalue
V
16
11
V
5
, V
10
, V
13
, V
17
10
V
8
, V
1
9
V
2
8
V
11
7
V
7
, V
9
6
V
12
5
V
3
, V
4
, V
15
4
V
6
2
V
14
1
Toquantitativelysupportthisstage, centralityvalue
for eachconcept canbeguided. Centrality of acon-
cept isameasureinapplicationof cognitivemapping
approach. Centrality meansareferencepoint toindi-
catetheimportanceof aconceptinamap(Edenetal.,
1992).Tocomputethecentrality,therow/columnsums
of theabsolutevalues(meansthedirectionof thelinks
isignored) of existingrelationsareprincipallyconsid-
ered. Table3givesthecomputedcentralityvaluesfor
eachconcept of theproblemat hand.
Accordingtotheinitial findings, timeconstraintsat
portperiodareappearedasthemostsignificantmatter
inISPSpracticeatports. Hence, therelevantmaritime
authorities need to reduce time-consuming require-
ments of ISPS Code. To do so, thecentrality values
andtheproposednetwork inFigure1cancollabora-
tivelybeutilized. J usttonameafewunderlinedissues
indetail, thecurrent proceduresfor securityplanand
essential visitors control canberevised. Relevanceto
ensurecollaborationbetweenmaritimeshareholders,
the compliances between MARSEC levels for ships
andportauthoritiesneedtoberearranged. Inaddition,
theinfluencesof expectationsfromshipboardperson-
nel, whichincreasethecrewfatigueandstress, should
clearly beeliminated. Inrespect tothecentrality val-
ues of concepts, anumber of enhancement strategies
773
withprioritiestowardsISPSCodepracticeatportscan
besuggestedtomaritimeauthorities.
4 CONCLUSION
Ensuring regulatory compliances with participations
of different shareholders inmaritimeindustry is one
the focal issue. An effective maritime legislation
extremely depends upon the consensus among the
market players andrelevant international authorities.
Specifically, this paper mainly deals with exploring
thepotential influences of theISPS codepracticeat
marine ports. Hereto, a number of industrial feed-
backs on ISPS practice at ports, which pictures a
socio-technical phenomenon, are gathered. To solve
thiskindof dilemmas, analytical techniquesaregen-
erallyinadequatefordealingwithinterrelationshipsor
causalities amongaset of individual andsocial con-
cepts. Instead, thispaper usedcognitivemapstocope
withthistypeof causalities.Itunderlinedsomehintsto
support probablerevisioneffortsonISPS Codefrom
an interdisciplinary viewpoint. The proposed deci-
sionanalysisbasedonacognitivemappingapproach
ensured an invaluable findings and straightforward
roadmap for the further studies on enhancement of
maritimesecurity.
REFERENCES
Axelrod, R., 1976. Structure of Decision. University of
PrincetonPress, Princeton.
Eden, C., 1988. Cognitive mapping: A review. European
J ournal of Operational Research36, pp.113.
Eden, C., Ackerman, F., Cropper, S. 1992. Theanalysis of
causemaps, J ournal of Management Studies29, pp.309
24.
Hesse, H. & Charalambous, N.L. 2004. Newsecurity mea-
sures for the international shipping community, WMU
J ournal of MaritimeAffairs, Vol. 3, No.2, pp. 123138.
ICS, 2008. ISPS Code Implementation J oint Indus-
try Feedback Report Summary of security issues
raised/problems/consequences, International Chamber of
Shipping, (www.marisec.org/isps/index.htm).
King, J. 2005. The security of merchant shipping, Marine
Policy, Volume29, Issue3, pp. 235245.
Kitchin, R. & S. Freundschuh. 2000. Cognitive mapping:
past, present andfuture. London, Routledge.
Mensah, T.A.2004. ThePlaceof theISPSCodeintheLegal
International Regime For theSecurity of International
Shipping, WMU J ournal of MaritimeAffairs, Volume3,
Number 1, pp. 1730.
SrinivasV. & Shekar B., 1997. Applications of uncertainty-
based mental models in organizational learning: A case
studyintheIndianautomobileindustry.Accounting,Man-
agement andInformationTechnologies, 7(2), pp.87112.
Thai, V. 2007. Impacts of Security Improvements on Ser-
viceQuality inMaritimeTransport: AnEmpirical Study
of Vietnam, MaritimeEconomics& Logistics, Volume9,
Number 4, pp. 335356.
Tolman E. C., 1948. Cognitive Maps in Rats and Man.
Psychological Review55, pp. 189208.
Tzannatos, E.S. 2003.A decisionsupportsystemfor thepro-
motion of security in shipping, Disaster Prevention and
Management, Volume12, No. 3, pp.222230.
774
17.6
Dynamiccomponent of shipsheelingmoment duetosloshingvs. IMO
IS-coderecommendations
P. Krata
ABSTRACT: Thecomparativestudyof thedynamiccomponent of heelingmoment duetosloshinginships
partlyfilledtanksispresentedinthepaper. Thecharacteristicsof heelingmoment areobtainedinthecourseof
experimental testsandnumerical simulations. Theheelingmoment isdecomposedandtheresearchisfocused
on thedynamic component resulting fromliquid movement. Theresults of theresearch arecompared to the
computationsperformedinaccordancewiththeIMOIS-Coderecommendations. Theneedfor amendingof the
intact shipstabilityassessment procedureissuggested.
1 INTRODUCTION
1.1 Sloshing phenomenon as one of factors
influencing safety of a vessel at seaway
Thedynamicbehavior of avessel at theseaisgreatly
affected by thedynamics of moving masses existing
onboard.Thecargosecuringproceduresensureavoid-
ingmovingof aloosecargo, but theliquidscontained
inpartlyfilledtankscannotbeavoidedatall. Regard-
less the strength calculation the effects of sloshing
shouldbealso takeninto considerationinthecourse
of vessels seakeeping prediction and her transverse
stabilityassessment.
Liquid sloshing phenomenon is a result of partly
filledtank motions. As atank moves, it supplies the
energytoinduceandsustainthefluidmotion(Akyildiz
& Unal 2005). Boththeliquidmotionandits effects
arecalledsloshing. Theinteractionbetweentheships
andtanksstructureandthewater sloshinginsidethe
tankconsistsintheconstanttransmissionof energy.As
theshiprolls, thewalls of apartly filledtank induce
themovement of water.
In such an attitude ships seakeeping behavior
whichcomprises thenotionof her stability is oneof
the researched key issues leading to the increase in
understandingof thesafetyqualifyingfactors.
1.2 Intact ship stability assessment
Theaccuracyof shipstransversestabilityassessment
is the important factor in the vessels exploitation
process. The ships loading condition of insufficient
stability may inducealist, astrong heel and even a
capsizing. Contrary to such state, the excessive sta-
bility causes high values of mass forces acting on
cargoesandmachineriesduetoastrongaccelerations.
Therefore, any scientific efforts towards the better
shipsstabilityevaluationareworthytobeundertaken.
Theinfluenceof sloshing phenomenon on theships
stabilityisoneof theissuestobeconsidered.
The vessels stability calculation and evaluation,
made on-board nowadays, is based on the stability
criteria published by the ships classification soci-
eties. ThesecriteriaaremainlybasedontheA749(18)
Resolution of International Maritime Organization.
Theresolutionandtheir later amendmentsareknown
astheIntact StabilityCode.
Thecriteriaqualify theshapeof therighting arm
curve. Inaddition, theweathercriterionistoensurethe
sufficient stability of theshiptowithstandthesevere
windguestsduringrolling.Althoughtheweathercrite-
rionisaverysimplemodel of dynamicshipsbehavior,
thestaticstabilitycurveisused. Anyway, theweather
criterionistheonly, whichispartlybasedonthemodel
of heelingphenomenonnot only onthestatistic data,
whiletherest of criteriaarebasedonthestatisticsof
historical disastersonly(Francescutto2002).
AccordingtotheIMOrecommendationstheright-
ing lever curveshould becorrected for theeffect of
freesurfaces of liquids intanks. Thecorrectionmay
bedonebyanyof threeacceptedmethods(IMO2002):
correction based on the actual moment of fluid
transfer calculatedfor eachangleof heel;
correctionbasedonthemoment of inertiaof tanks
horizontal projection(simplependulummodel);
correction obtained form the simplified formula
givenintheIntact StabilityCode.
All of thethreementioned abovemethods of free
surfacecorrectioncalculationconsider thestatic atti-
tudetowardsthesloshingphenomenononly.Theyalso
donot consider thelocalizationof thetankwithinthe
hull of theshipandthelocalizationof therollingaxis.
Theonlyadvantageof currentcompulsorycorrections
isthesimplicityof their calculation.
775
2 RESEARCHINTOTHE PRESSURE
DISTRIBUTIONINA MOVINGTANK
2.1 Research assumptions
Theschemeof undertakenresearchcomprisesphysical
model tests and numerical simulations as well. The
admittedassumptionsrefer tobothandthey describe
dimensionsof themodel tank, itsmovementgeometry
andcharacteristics, tanksfillinglevel.
Theoscillatingmovement, whichinducestheslosh-
ing phenomenon, is described fair enough by the
harmonic function. The research into the pressure
distribution due to the sloshing was performed for
a variety of the external excitation parameters. The
period of the oscillation varied from T =2,6s to
T =6,5s. The lever os, as the distance between the
center of the tank and the rotary motion axis, was
changed from os =0,718m to os =0,718m. The
positivevalueof os describes thetanks localization
beneaththerollingaxis andthenegativevalueof os
describes thetanks localizationaboveit. Theampli-
tudeof tanksrotarymotionduringthemodel testsand
numerical simulations, assumedto be40
. It reflects
theheavyseasconditionsandenablestomakethecon-
clusions for worst possiblecondition at thesea. The
tankfillinglevel assumedtobe30%, 60%and90%.
2.2 Experimental investigation
The experimental research into the sloshing phe-
nomenon was performed in Ship Operation Depart-
ment of Gdynia Maritime University. It enabled to
measurethedynamicpressuredistributionontheside-
wall of themodel tank andinitsupper corner (Krata
2006). The experimental investigation on the pres-
suredistributionduetosloshingrequiredthearousing
of thesloshingphenomenon. After that, thedynamic
pressuretimehistoryinselectedspotsweremeasured
andrecorded. To achievethis, thetest apparatus was
designedandbuilt (Krata2006).
The main part of the apparatus is the tank. It is
equippedwithpressuretransducersandaninclinome-
ter. The tank is forced to oscillating movement that
excitesthewater movement insideit. Thedimensions
of the model tank are: breath 1,040m, length
0,380m, depth 0,505m.
Theassumptionof planetanks oscillationandthe
neglectedwater viscosity, resultsthetwo-dimensional
character of water flowinsidethetank (Warmowska,
J ankowski 2005). It allowedequippingthetank with
oneset of pressuretransducers, fixed in themiddle
lineof thetank.Thepressuretransducerswereinstalled
evenly alongsidethevertical wall of thetank and in
the roof of the tank close to the upper corner. The
experimental setupisshowninFigure1.Theschematic
planof theapparatusisshowninFigure2.
Thelocationof pressuretransducersinstalledinthe
frontwall of thetankandinitsuppercornerisspecified
in theTable 1. Any further details are described in
(Krata2006).
Figure1. Theexperimental setup(thetankplacedabovethe
shaft oneof possiblecases).
Figure2. Theschemeof thetestingapparatusandthelocal-
izationof dynamicpressuregaugesnamedP1toP6andthe
inclinometer L.
Table1. Geometryof pressuregaugesinstallation.
Vertical
Horizontal distance
No. of Elevationabove distancefrom between
pressure tanksbottom thetankswall gauges
gauge [mm] [mm] [mm]
P1 505 60
70
P2 435 0
95
P3 340 0
95
P4 245 0
95
P5 150 0
95
P6 55 0
Theanalogsignalsreceivedfromthesensorswere
sampledandtransformedintodiscretedigital signals
by the12-bit A/D cardandthenthey wererecorded.
The maximumworking frequency of the measuring
776
devicewas1000Hz. Thus, thealiasingdistortionsof
themeasured signal wereavoided, becausethemea-
suringinstrumentsweremuchfaster thantherequired
Nyquist ratefor thesloshingphenomenon.
The further digital signal processing was carried
out. The main operation was low pass filtering for
highfrequencynoisereduction. Thefilteringenabled
todecomposetherecordeddigital signal andemerged
thenon-impulsivedynamicpressurecomponent.
2.3 Numerical simulation
The pressure distributions obtained in the course of
theexperimental investigationwerecompletedbythe
results of numerical simulations. Thesimulations of
sloshing phenomenon were performed by the com-
puterprogramTankbyM.Warmowska, usedforthe
estimation of thedynamic pressuredistribution. The
sloshing problemwas described by two-dimensional
model. It was also assumed that the liquid is non-
viscid, incompressible, of constantdensity.Astheflow
of the liquid assumed to be irrotational, the poten-
tial theory was used to solve the sloshing problem
(J ankowski, Warmowska1997).
Thenumerical simulationof sloshingphenomenon
wasperformedfor theoscillationandtanksgeometry
correspondingwiththesuitablegeometricparameters
of theexperimental investigation.Theprogramallows
computingtimehistoryof dynamicpressuresinninety
points around the tanks model. The control points
aresituated along vertical walls, thebottomand the
tanks roof. Thecorrectness of thesimulationresults
wasverifiedexperimentally(Krata2006).
3 HEELINGMOMENT DUETOSLOSHING
3.1 Computation of heeling moment
The pressure distribution on the walls of the tank
was obtained in thecourseof theexperimental tests
andnumerical simulation. Theresultsof theresearch
enableto computeaheeling moment dueto theliq-
uidssloshing. Theheelingmoment M wascalculated
accordingtothefollowingformula:
where: S thesurfaceof thetankswalls; r theposi-
tionvector of theconsideredpoint onthetankswall;
n thenormal vector; p thelocal pressureon the
tankswall.
Dueto thetwo-dimensional character of thecon-
sidered flow in the tank, the heeling moment is a
vector of adirectionperpendicular totheplaneof the
tanksmovement. Asthetransversestabilityof aship
isassumedtobeconsidered, theheelingmoment has
onespatial component only, asfollows:
Figure 3. The time-domain presentation of the computed
heelingmoment duetosloshing.
where: M
x
, M
y
, M
z
spatial componentsof M vector,
determinedabout thex, y andz axis inthereference
systemfixedtothevessel.
Asthedirectionof theheelingmomentisfixedand
steadyinthetimedomain, theheelingmoment dueto
sloshingmay bedescribedby thevalueof M
x
spatial
component. Theresultant moment obtainedfromthe
formula(1) representsonetime-steponly.Thecompu-
tationof heelingmoment shouldbeperformedfor at
least oneperiodof roll. Thus, thepressureshavetobe
investigatedforatleastoneperiodof shipsroll aswell,
but actually they were obtained for the longer time
comprising few rolling periods. The example of the
heelingmomenthistorygraphispresentedinFigure3.
Thetimedomain presentation of thecomputation
results can beuseful when theships rolling is to be
computedonthebasisof movementequations. Insuch
case, theheelingmomentduetosloshingisoneof the
componentsof total heelingmoment rockingavessel
at seaway.
3.2 Linearization
Thetime-domainmanner of presentationof theheel-
ingmomentduetosloshingwhichisshowninFigure3
asamomenthistorygraphisnotconvenientinrespect
of traditional shipsstabilityassessment(Krata2008).
Such stability assessment is not based on themove-
ment equations, but onthestaticstabilitycurve(IMO
2002). ThecurvepresentstherightingarmGZ inthe
angleof heel domainandtherightingarmisreducedby
thestaticallycalculatedfreesurfacecorrection.There-
fore, themostconvenientwaytopresenttheresultsof
theheelingmoment calculationduetothesloshingof
liquidinapartlyfilledtankistheangleof heel domain
graph.
Theinterpretationof theresultsof heelingmoment
computation is much more convenient in angle of
heel domain. Themaindisadvantageof suchpresen-
tation is the hysteresis, which is the effect of wave
typephenomenatakingplaceinsidethemovingtank.
777
Figure4. Theexampleof thelinearheelingmoment, forthe
fillinglevel 30%andos =0,718m.
Thedisadvantagecanberemovedbythelinearization
process(Krata2008).
As the main task of the research is more reli-
ablestability assessment with regard to thesloshing
phenomenon, the linearization should refer to the
ships stability criteria, especially the weather crite-
rion. Theareaunder theGZ curveisqualifiedwithin
the weather criterion, which represents the work of
heelingmoment duetowindguestswhenashiprolls,
sothelinearizationof theresearchedheelingmoment
shouldbebasedontheworkof themomentaswell.The
linearization method applied to the heeling moment
duetothesloshingof liquidsisbasedontheformula:
where: M heeling moment due to sloshing; M
l

resultant linear heelingmoment dueto sloshing;
angleof shipsheel;
40
angleof heel equal 40
(given
inradians).
The formula (3) ensures equality of works done
by the researched heeling moment and linear heel-
ing moment due to sloshing. Thus, the method may
becalledtheequivalentworkmethod.Theexampleof
linear heelingmoment duetosloshingispresentedin
Figure4.
Thelinearfunctionof heelingmomentcanbedeter-
mined by thefixing of two in-linepoints having the
coordinates (, M). One of themis the point (0, 0)
and thesecond onethepoint (40
, M
l40
). Therefore,
thecompletedescriptionof thelinear heelingmoment
obtainedinthecourseof theresearchmaybedoneby
one scalar only, which is convenient for any further
analysis.
3.3 Extraction of dynamical component of the
heeling moment due to liquid sloshing
Themoment M heelingashipinconsequenceof liq-
uidexistencecarriedinanypartlyfilledtank, maybe
decomposedintotwocomponents. Oneof themisthe
momentM
m
of liquidweightandthesecondistheheel-
ingmoment M
RB
duetothemovement of fluidinside
thetank. Theheelingmoment dueto liquidsloshing
invessels tanks canbedescribedinevery time-step
bytheformula:
where: M
m
heeling moment due to the weight of
frozen liquidintank; M
RB
heelingmoment dueto
themovement of fluidinsidepartlyfilledtanks.
Thesimplesumof moment componentsanalogous
to the formula (4) was applied to the linear heeling
moment M
l
calculated according to the formula (3)
for all consideredcases. Thus, thecomponent M
RB
of
theheelingmomentduetosloshingabstractsthestatic
effect of liquid weight in ships tanks. Such abstrac-
tioncapacitatestobear comparisonof theperformed
researchresultswiththequasi-staticheelingmoment
computedaccordingIMOIS-Coderecommendations.
4 RESULTSOF THE RESEARCH
4.1 Comparison of the research results and IMO
IS-Code recommended computation
Theresearch is focused on thecomparativeanalysis
of theheeling moment components arising fromthe
liquidmovement insideshipspartlyfilledtanks. One
of themis obtainedinthecourseof theresearchand
it reflects the dynamic attitude towards the sloshing
phenomenon. The other is calculated according the
IMO IS-Code recommendations and it is of quasi-
static type. Thecomputation formulas resulted from
IS-Codeprescriptions.
TheheelingmomentM
IMO
duetoliquidsexistence
insideanypartlyfilledtank maybedecomposedinto
twocomponentsaccordingtotheformula:
where: M
m
heeling moment due to the weight of
frozenliquidintank; M
IMO
heelingmomentof the
transfer of theliquidscenter of gravity.
The moment M
m
is taken into consideration in
courseof thecalculationof theshipscenter of gravity
andit assumes theliquidto befrozen at theangle
of heel equal 0
. It isimportant tonotice, that theM

m
componentisequal informulas(4) and(5).Therefore,
theremainingcomponentsM
RB
andM
IMO
of theheel-
ingmoment maybecompared. Thecomponent M
IMO
of theheelingmoment canbecalculatedat anyof the
threeacceptedmethod. Thesimplependulummodel
is consideredas safest for theshipthereforethefree
surfacecorrectionbasedonthemoment of inertiaof
tankshorizontal projectionwasappliedinthecourse
of thefurther comparison.
The quasi-static component M
IMO
of heeling
moment is a function of sine of the angle of heel.
Anyway, it couldbecomparedto theresearchedlin-
ear componentof theheelingmomentduetosloshing
778
Figure5. Linear approximationof sinefunction.
Figure6. Non-dimensional component of heelingmoment
duetoliquidmovement inpartlyfilledtanks.
for therangeof anglesof heel wherethesinefunction
may be approximate by linear function fair enough.
Thereasonablerangeof suchlinear approximationis
about 40
, whichshowsFigure5.
Asthesinefunctionisalmostlinear uptotheangel
of heel 40
, the components M
RB
and M
IMO
of the
heeling moment may be compared. They both have
the zero values for the zero angle of heel, so their
comparison may bedoneas thecomparison of their
valuesfortheangleof heel equal 40
.Thus, thevalues
M
RB40
andM
IMO40
areanalyzedinsteadof themoment
graphs. Thecomparisonof theM
RB40
valuesobtained
inthecourseof theresearchandtheM
IMO40
computed
according to theIMO recommendations is shown in
Figure6.
The graphs showing analyzed values of the com-
ponent of heeling moments are prepared as non-
dimensional referredtothevalueM
IMO40
of staticfree
surfacecorrection. TheexcitationperiodT isreferred
tothefirstharmonicnatural sloshingperiodof aliquid
inmodel tankT
w
.Thescopeof T/T
w
ratiosreflectsthe
widevariety of characteristicsthey cantakeplaceon
boardof shipsatdifferentloadingconditions.Thedis-
tanceos betweenthecenterof themovingtankandthe
rotarymotionaxisisreferredtothebreathof thetank
b
z
. Thethreegraphs marked30%, 60%and90%are
plottedfor thecorrespondingthreelevelsof tankfill-
ing. ThereferencesurfacemarkedIMOisplottedfor
M
IMO40
valuescalculatedaccordingtheIMOIS-Code
requirements.
4.2 Analysis of the obtained results
The quasi-static heeling moment component repre-
sentedbythefreesurfacecorrectiondescribedinIMO
IS-Codedepends ontheshapeof apartly filledtank
only. Presentedresults of theresearch provethesig-
nificant influence of other factors. One of the most
important is the localization of the tank referred to
the vessels rolling axis os/b
z
. The excitation period
referredtothefirstharmonicnatural sloshingperiodof
aliquidinmodel tankseemstobelessimportant. The
lowestinvestigatedvaluesof T/T
w
ratioscanoccur for
very short ships rollingperiodtypical for extremely
stableships. In any other cases, theT/T
w
ratio does
not playtheimportant role.
ThegraphpresentedinFigure6enables theiden-
tification of potential danger to a vessel caused by
the movement of liquid in partly filled tanks. Any
valueof analyzedheelingmoment component higher
than the reference level IMO should be considered
as potentially perilous to avessel becauseher trans-
versestabilitycanbeworsethancalculatedaccording
toIS-Coderecommendations.
Thesurfaceplottedfor 30%of tankfillingdemon-
strates that such alowlevel of filling does not need
to be considered as risky one. The influence of liq-
uidsloshingisweaker thanthat takenintoaccount in
thecourseof standardstability assessment. Theonly
trespassof thereferenceIMOlevel isnoticedfor the
shortestrollingperiod, whichcantakeplaceinthecase
of largeGM only.
Thesurfaceplottedfor60%tankfillinglevel reveals
thefair conformabilityof theresearchresultsandIS-
Coderecommendationsfor partlyfilledtankssituated
abovetheshipsrollingaxisandtheconsiderabletrans-
gressionfor tanks placedbelowtherollingaxis. The
potentially dangerous underestimation of the liquid
sloshing influence on the ships transverse stability
occursfor all researchedrollingperiods.
Thesurfaceplottedfor90%of tankfillingprovethe
potentiallyperiloussituation, whichcantakeplacefor
highlevels of tank filling. Theeffect of liquidslosh-
ingisslightlyoverratedfor partlyfilledtankssituated
abovetheships rollingaxis whencomputedaccord-
ing to IS-Code. Such an effect may beconsiderably
underestimatedfor tankssitedbelowtherollingaxis,
for instancedoublebottomtanks.
5 CONCLUSIONS
Themovement of liquids inpartly filledships tanks
affects her stability and thereforeit is considered in
courseof thestability assessment procedureaccord-
ingto theIMO recommendations. Theresults of the
research presented in the paper points that the very
simplified methods recommended by IMO could be
improvedandreachbetteraccuracytomeetthemodern
requirementsof shipsexploitation.
779
The presented comparative analysis of the com-
ponents of heeling moment reveals some weak-
nesses of IS-Code. The use of current IS-Code
recommendations may leadto considerableunderes-
timation of freesurfaceeffect. This results fromthe
quasi-staticattitudetowardsthesloshingphenomenon.
Theanalysisprovesthatthedynamicmovementof liq-
uids in partly filled tanks should not be neglected.
The results of the research can contribute to the
further investigation of thenewformulaof freesur-
facecorrectioncomprisingthedynamics of sloshing
phenomenon.
REFERENCES
Akyildiz H., Unal E., 2005, Experimental investigation of
pressuredistributiononarectangulartankduetotheliquid
sloshing, Ocean Engineering, 32, 15031516
Francescutto A., 2002, Intact Ship Stability the Way
Ahead, Proc. 6th International Ship Stability Workshop,
Washington
Intact Stability Code 2002, IMO, London
J ankowski J., WarmowskaM., 1997, Development of com-
puter program describing the flow in partly filled tank,
Technical Report No.27/97, PRS, Gda nsk
KrataP., 2006, The comparative study of numerical simula-
tion and experimental research into the areas of maximum
dynamic pressure due to sloshing in ships double bottom
tank, Proc. XV-th International Scientific and Technical
Conference Nav-Support 06, Gdynia
Krata, P. 2008. Linear characteristics of sloshing phe-
nomenon for the purpose of on-board ships stabil-
ity assessment, XVIII Krajowa Konferencja Mechaniki
Pynw, J astrze
biaGra.
Warmowska M., J ankowski J., 2005, Simulation of water
movement in partly filled ship tanks, Proc. HYDRONAV
2005, Ostrda
780
17.7
Theinfluenceof thefloodingdamagedcompartment onthemetacentric
height shiptype888
W. Mironiuk
ABSTRACT: Researchondamagestabilityandunsinkabilityisavaluablesourceof knowledgeof behaving
ashipwhilefloodingits compartments. Inthepaper, ashort descriptionof accidents anddamages of Polish
warships takingplacein19852004is presented. Thetimewhencompartments areflooded(t
f
) andstability
parameters areoneof thekey elements whichhaveinfluenceonarescueaction. Theknowledgeof thetime
mentionedandametacentricheight(GM) areveryimportantfor acommandingofficer makingdecisionswhile
fightingfor unsinkability andsurvival of theship. Toprovidetheinformationabout thetimet
f
anewmethod
wasdesigned. Themethodwastestedexperimentally andresultsof thetestsarepresentedinthepaper. Inthe
experiments, thefloodingprocessof compartmentsinashipof thetype888wassimulated. Theresultsof the
experimentscanbeabasetodefinegeneral rulestomakeproperdecisionsduringtheprocessof damagecontrol.
1 INTRODUCTION
Even highly organizedfleets strugglewith accidents
andtechnical breakdownswhichcannotbecompletely
eliminated. Thebreakdowns can beclassified based
on their causes. Thebasic causes of thebreakdowns
are: warfare, defects of materials and defects within
theproductionprocess,constructional defects,techno-
logical defectsintheprocessof renovation, materials
wear andtear, not meetingtherequirements inoper-
atingandservicinganequipment, not takingsecurity
measureswhilestoringdangerouscargoes, e.g. explo-
sivematerials, petroleumproductsandother chemical
componentsof seriousfirehazard.
Apartial ortotal lossinfunctionalityof mechanisms
and installations can occur both during warfare and
duringdailyoperatingaship.
Failurescausedbynavigational mistakesor wrong
maneuverability represent a group of ship accidents
andbreakdowns whichcanleadto dangerous lost of
floatingof ashipduetofloodingitscompartments.
The statistical data prepared by the Polish Navy
Commission of WarshipAccidents and Breakdowns
reveal 156warshipaccidentsandbreakdownsbetween
1985and2004year.Thedatamentionedarepresented
inFigure1. (Korczewski &Wrbel, 2005).
Inasituationof abreakdowncrewactivitiesdecid-
ing about ability of a warship to fight should be
directed to take a proper actions during the process
of damagecontrol andtoprotect stability, sinkability
andmaneuverabilityof theship.
Exercises within the confines of the process of
damage control, apart from construction solutions,
increase the safety of both a ship and crew. Train-
ing is carried out in well prepared training centres.
Thecenters areequippedwithshipmodels designed
Figure1. Theoverall structureof accidentsandbreakdowns
between19852004.
for simulating failure states which most frequently
occur whileoperatingaship. Thesamemodels were
also used in the experiments reported in the paper.
Oneof thegoalsof theexperimentsmentionedwasto
determinethefollowingparameters: t
f
andGM.
Theinformationaboutt
f
andstabilityparametersis
very important for acommanding officer. It enables
himto makeaproper decisionduringtheprocess of
damagecontrol.Theofficer, basedontheinformation
shoulddeterminethepointintime, whenfurtherfight-
ingfor unsinkability is senseless andwhenall effort
should be directed to save the crew and documents
(Miller, 1994).
2 CALCULATINGTHETIME OF FLOODING
SHIPSCOMPARTMENT
When calculating t
f
, first, thevelocity of water run-
ningthroughthedamagedhull hastobedetermined.
Thewater flowingthroughaholecanbecomparedto
781
liquidflowingfromatank of asurfaceA. Thewater
velocity canbeobtainedfromthefollowingformula
(Troskolanski 1961):
where A
0
= cross section of a hole; A=horizontal
crosssectionof atank; g=accelerationduetogravity,
andh
z
=height of aliquidinsidethetank.
Because the surface of a hole is much smaller
thanaseasurface, thewater velocitycanbeobtained
accordingtoTorricellisformula(Troskolanski 1961):
whereh =depthof ahole.
For thereal liquidtheformula(2) canbepresented
asfollows(Troskolanski 1961):
where =0, 970, 98 the velocity coefficient
dependant onthekindof liquid.
Theequation(3) isappliedwhenthewater surface
insideahull isbelowalower edgeof ahole, i.e. for a
constant pressureof thewater. Whenthewater pres-
sure is changeable (the water surface inside a hull
is above an edge of a hole and still grows up) the
velocityof thewater flowingtothecompartment can
be obtained according to the formula (Troskolanski
1961):
whereh
0
=heightof liquidinsideatankaboveanedge
of ahole.
Theholeinthebodycanhaveadifferentshapeand
dimension dependant on the reason of damage. The
shapeof theholeinfluencesaquantityQof thewater
flowingtothecompartment. Thequantity Qdepends
on, whichinturnis aproduct of coefficient and
narrowingcoefficient =0, 610,64(Troskolanski
1961). Therefore, thequantity of water Q floodedto
the interior compartment can be obtained fromthe
formula(Troskolanski 1961):
When the pressure of the water is changeable
the quantity of water Q inside the compartment is
calculatedfromtheformula(Troskolanski 1961):
Thetimet
f
isasfollows(Troskolanski 1961):
whereV=thevolumeof thewater insideacompart-
ment.
Figure 2. Compartment being flooded: a) with constant
water pressure, b) withvariablewater pressure.
3 CALCULATINGTHEVOLUME OF
DAMAGEDCOMPARTMENTS
The calculation of t
f
was conducted for a damaged
engineroomandauxiliarypowerplantof theshiptype
888.Toenablethecalculationsabovesimulatingcom-
puterprogramwasbuilt.Theprogrammadeitpossible
tofixbasicandnecessaryparameterstomakeacorrect
evaluationof thestateof aship. Inturn, theinforma-
tion about theparameters mentioned abovemakes it
possibletotakeproper decisionsduringtheprocessof
thedamagecontrol.
3.1 Computing the volume of damaged
compartments
Thevolumeof adamagedcompartmentisnecessaryto
calculatethetimet
f
. Thelines planof theships hull
is used to computethetheoretical volumev
t
. More-
over, theplanwasalsousedtomakeextractedsections
on ribs number 25, 30, 35, 40, 45, 50 of the dam-
agedcompartment.ThesectionsareshowninFigure3
(Tarnowski 2008, Kowalke2006).
Theareaof thesectionswascalculatedtoestimate
the accurate volume of the damaged compartment.
Integral curvesof sectional areas, obtainedinthisway,
arepresentedingraphicformasamultinomial degree
7inFigure4.
Using section areas and a distance between
them, the theoretical compartment volume v
t
can
be calculated, by the formula (Deret 2003, Dudziak
2006):
wherel
w
=thedistancebetweensectional areas, and
F
i
, F
i1
=sectionareas.
3.2 The permeabilities calculation
The volume of the empty compartment was calcu-
lated by means of the computer program. The real
quantity of the water, flooding the compartment, is
less than thetheoretical volumeof thecompartment
782
Figure 3. Sections of compartments: a) auxiliary power
plant, b) engineroom.
Figure4. Integral curvesectional areas: a) auxiliarypower
plan; b) engineroom.
due to the volume of all mechanisms and devices
inside the compartment. Usually, to calculate a real
quantity of the water, the permeability of flooding
compartment is used. Thevalues of permeabilities
Figure5. Graphof thepermeability
v
: a) auxiliarypower
for two compartments arecalculated by theformula
(Deret 2003):
wherev
t
=theoretical compartment volume; v real
quantityof thewater insidethecompartment.
Thenumerical valueof thepermeabilitiesdepends
onboth, akindanddestinationof damagedcompart-
ment.Thepermeabilityof thecompartment,whichis
announcedintheSOLASConvention, isusuallyused
to calculate the real volume of the compartment. In
preliminaryresearch, permeabilitiesof both, theaux-
iliarypowerplantandtheengineroomwereestimated.
Their valuedependsontheheight of thewater inside
thecompartment. Thegraph of thepermeabilities is
showninFigure5(Tarnowski 2008, Kowalke2006).
Theaveragevalueof thepermeability for chosen
compartments, obtainedasaresult of experiments, is
comparablewiththevalueof theSOLASConvention
andequals0,85.
3.3 The model of simulation for damaged
compartment
Thesimulationmodel of theauxiliarypower plantand
theengineroom, equippedwithall mainmechanisms
anddevices, wasmadeinthenextpartof theresearch.
Theviewof thecompartmentsbeingfloodedisshown
inFigure6(Tarnowski 2008, Kowalke2006).
783
Figure6. Compartmentsbeingflooded: a) auxiliarypower
Figure7. t
f
for auxiliarypower plant.
4 THEANALYSISOF THE INFLUENCE OF
DAMAGE PARAMETERSONTHETIME t
f
FORTHE COMPARTMENTSSHIPTYPE 888
Theexperimental researchont
f
fortheauxiliarypower
plant and the engine roomship type 888 was car-
ried out for different parameters of damages. In the
research, theplaceandthedimensionof damagewere
takenintoconsideration.
In thefirst stageof theresearch, t
f
for theauxil-
iarypowerplantwasfixed.Thecalculationsof t
f
were
made for the following example conditions: ships
draughtT=4m, thedimensionof damagesR=0,1m
and R=0,2m (R denotes radius). The holes were
placed from0,1mto 3,0mbelowthesurfaceof the
sea. Theresultsof theresearchareshowninFigure6.
Figure8. t
f
for engineroom.
Figure9. Metacentricheight
GM- initial metacentricheight (beforedemage);
GuMu- metacentricheight whilefloodingengineroom;
GupMu- metacentricheightwhilefloodingengineroomwith
freesurface.
In the next step, t
f
for the engine roomwas cal-
culated. The results of the research are shown in
Figure8.
Figure8presentsthat t
f
for thecompartment with
dimensionof damageR=0,4m, placed3mbelowthe
surfaceof thesea, equals3,4minutes. Thistimeistoo
shorttoseal thedamage. Consequently, further activi-
tiesof crewshouldbedirectedtoprotectspreadingthe
watercoveringinteriorof theshipandtostrengthenthe
constructionof thewatertight bulkhead.
5 THE METACENTRIC HEIGHT
CALCULATION
Thenext part of theresearchwasdevotedtoestimate
ametacentric height whilefloodingadamagedcom-
partment. Tocalculatethisparameter theaddedmass
methodwasused. Theresult of calculationsisshown
inFigure9.
Tocalculatethemetacentricheight thefreesurface
effect wastakenintoconsideration. Figure10implies
that in theearly stageof flooding thecompartment,
themetacentricheightGupMu, islessthanGM. Inthe
later stages, GupMuincreases andimproves stability
784
of aship. This situation takes placedueto adding a
massinthelower part of theship.
6 CONCLUSIONS
Themethodof determiningthepermeabilitypresented
inthepaper enablesustomakecalculatingthetimet
f
moreaccurate.
Thetimet
f
dependsonboththedimensionandthe
placeof adamage.
Theknowledgeof thetimet
f
andmetacentricheight
allowsacommandingofficer tomakedecisionswhile
fighting for unsinkability and for thesurvival of the
ship.
Themodifiedmethodcanbeusedtocalculatethe
timet
f
for shiptype888withdifferent types of hull
damages.Themethodcanbeadoptedfordifferenttype
of warships.
REFERENCES
Derett. D. R. 2003. ShipstabilityforMastersandMates. BH.
Oxford.
Dudziak, J. 2006. Teoriaokre
tu. WM: Gda nsk

J akus, B., Korczewski, Z., Mironiuk, W., Szyszka, J., and
Wrbel, R. 2001. Obronaprzeciwawaryjnaokre
tu. Naval
Academ:, Gdynia.
Kobyli nski, L.K. 2001. Podstawyi filozofiabezpiecze nstwa
w zegludze. Summer School Safety at Sea:. Technical
Universityof Gda nsk.
Korczewski, Z., Pawle
dzio, A. andWrbel, R. 2005. Anal-

izailo sciowawypadkwi awarii naokre
tachMarynarki
Wojennej RP w latach 19852004. Przegla
d Morski nr.
Gdynia.
Kowalke, O. 2006. Komputerowa symulacja zatapiania
przedziausiowni okre
tutypu888. AMW: Gdynia.

Miller, D. 1994. Damage control an insurance policy.
International DefenceReviewnr 5.
Mironiuk, W., Pawle
dzio, A., andWrbel, R. 2004. Trena zer

dowalki z woda
. Gdynia, pp1430.
Mironiuk, W. 2006. Preliminary research on stability of
warshipmodels. COPPE Brazil: RiodeJ aneiro.
Pawowski, M. 2004. Subdivision and damage stability of
shipsGda nsk.
Tarnowski, K. 2008. Badania modelowe stateczno sci
awaryjnej okre
tutypu888pozatopieniusiowni pomoc-
niczej. AMW: Gdynia.
Troskolanski,A.1961.HydromechanikaTechniczna.Warszawa
785
17.8
Intelligent evaluationsystemof shipmanagement
Q. Xu& X. Meng
Information Science and Technology College, Dalian Maritime University, Dalian, China
N. Wang
Marine Engineering College, Dalian Maritime University, Dalian, China
ABSTRACT: Thesecurityof maritimetrafficisasignificantpartof intelligentmaritimetraffic. Itcanreduce
to ship maneuvering and collision avoidanceby macroscopic. Eighty percents of marineaccident induceby
humanfactor fromresearchdata. So someresearches about intelligent computer evaluationsystemto reduce
theaccident of humancausedhaveemerged. Intelligent evaluationsystemof shipmaneuveringcancalculate
thestatus of shipandgettingthedataof shiparound, andthenadopt fuzzy comprehensiveevaluationmethod
to calculatethecollisionrisk andevaluatetheoperationof navigator. If it has danger of collisionrisk or the
navigator adopts irrational operation scheme by calculating, the systemwill send message to the navigator.
Thenavigator must affirmthemessages, if thereis not affirmance, thesystemwill adopt collisionavoidance
measuresor other rational operationsautomaticallyat thecritical moment.
1 INSTRUCTION
The environment of navigation has great change in
recent years. This make the maneuvering of ship
be more difficult. At the same time, ARPA (Auto-
maticRadarPlottingAids),GMDSS(Global Maritime
Distress & Safety System), GPS (Global Position-
ing System) and ECDIS (Electronic Chart Display
and information System) etc. have applied in navi-
gation, thenumber of crewis decreasing. This make
moreseriousfor manipulator. Eight percentsof ship-
wreck accident werecausedby humanfactor accord-
ingtoinvestigation. (GuedesSoares&Teixeira2001,
Gaarder et al. 1997) To decrease the accident, and
increase the safety of navigation, researchers bring
inautomatic maneuveringto insteadof humans job.
This method makes up for some humans shortage,
andincreasesworkefficiency. However, theyfindthat
some accidents related to automatic equipment late
years. Some person research the strand accident of
Royal Majesty find that automation changed the
style of working, and formed a new way to making
mistake. Sothispaper proposesanintelligent evalua-
tionsystemof shipmaneuvering, humanisthemajor
insystem, thesystemcancalculatethestatusof ship
andcollisionrisk, thendisplay it functionality. If the
vessel gets intothecritical areaandtime, thesystem
will adoptscorrespondingstrategywhenthenavigator
doesnot adopt anymeasures.
2 HUMANFACTOR
Accordingdataof J apaneseShipSafeSeminarin1998,
84% shipwreck accident caused by human factor.
Othercountryandregionalsohavesimilarconclusion.
Thehumansfactor attachesimportancetonavigation
safety, whichhasturnintopeoplesconsensus. Human
haveresearchedintohumansfactor indefatigably for
ages, andformanacademicdomainHumanFactor
(Gaarder et al. 1997). With the purpose of enhanc-
ingsecurityandefficiency, itisanextremelypractical
integrated subject. Human factor can bring positive
impact ontraffic at sea, for examplehumans cogni-
tiveandperceivecapacityisstronger thaninstrument
andequipment. Itcanbringnegativeimpactreversely,
forexamplemakingamistakeeasily,forgettingmemo-
rial affair, limitedanalysisprecision. Humansfault is
oneof major reason in shipwreck, and comes in for
humanshighlyrespect.
Fault istheproperty of human, removingthefault
completely is an unpractical. Therefore, we should
adopt measures to reduce the harmful consequence
brought byman. Toachieveajob, divisionof labor is
anefficaciouspractice. BRM (BridgeResourceMan-
agement) andBTM(BridgeTeamManagement) atsea
arediscussed moreby researchers of last year. VTS
is a systemof construct with vessels taking part in
VTSandVTSorganization. It hascorrectioncapabil-
ity on thepart of wholesystem. VTS attendant will
correct it when ship has breach of regulation phe-
nomenon. Another method to reduce fault is using
alertingequipment. Theequipment sendout warning
to causehumans attentionwhenmistakeoccurs. For
example, ARPA cansendoutsoundandlightwarning
whentheDCPA andTCPA aresmaller thanasetting
value. Britain, Germany andJ apandevelopBNWAS
used to monitor steering and sailing on duty. This
systemused to monitor thealert of navigator, if the
787
equipment detects that navigator cannot performthe
dutyof his, it will sendout gradatedoutspreadwarn-
ing. At first, it will beincage, if thereisnoresponse
it will extendtocaptionandother sailorsroom.
3 INTELLIGENT EVALUATIONSYSTEM
Traditional collision avoidance is that the sailor
adopts empirical collision avoidance according to
self-experience. It depends on navigators individual
intuitionto makedecision, if therisk is large, it will
beeasy to makemistake. Collisionavoidanceexpert
systemanddecision-makingsupportsystemspringup
rapidly of lateyears. They havegreat auxiliary effect
tovessel collisionavoidance.
Humanistheprincipal partintheevaluationsystem
of shipmaneuvering. Wemakeuseof computer and
developintelligent evaluationsystemof shipmaneu-
vering. The systemcan gather dynamic information
of vessel byAIS, ARPA, infraredandphoto electric-
ityequipments(Thomasetal. 2008). Theinformation
will besenttotheintelligentevaluationsystemfinally,
thesystemwill enterintodifferentmodel accordingto
encounter situation and environment condition. The
result of evaluationisthecurrent situationof ship.
3.1 The structure of intelligent evaluation system
Theevaluationsystemconsistof manymodels, includ-
ingtarget shipidentification, speculationandpredic-
tionof encounter status, real evaluationof operation,
auto-collision avoidance strategy and risk warning
model etc. WecanseefromFig. 1, theevaluationsys-
temand operation of navigator forma closed-loop
control system. The system will evaluate the per-
formance of operation, and send out corresponding
signals. Inthis way it canmakeupthedisadvantage
of noneprecisioncalculationof human, cut downthe
probability of humanfault occurrence, andsecondly
makeuseof humanshighadaptabilitysufficiently.
3.2 Collision risk calculation
Shipcollisionriskcalculationisoneof themostimpor-
tantpartsinthesystem.Thequantificationof collision
risk experienceseveral stagesbasically(WU Zhao-lin
& ZHENG Zhong-yi 2001). The first one is traffic
flow theory which useship collision rate, encounter
rate, collisionprobabilitytoevaluatethecollisionrisk
for special water area. Thesecondisshipdomainand
arenawhich is based on human praxiology and psy-
chology. (Fuji & Tanaka1971), (Goodwin1975) etc.
who use this to calculate collision risk. In the third
stage, peoplehaveconsidered thedCPA(Distanceat
Closest Point of Approach) and tCPA(Timeat Clos-
est Point of Approach) in calculation, like (Davis
et al. 1980). In thefourth stage, combinedCPA and
tCPA, adopt weighting method to calculatecollision
risk at thebeginning(Kearon1979, Imazu& koyama
1984). This method exist obvious disadvantage that
dCPA andtCPA aretwodifferent variable. Thenpeo-
pleadopt fuzzy theory to combinedCPA and tCPA.
At present mostly researcharebasedontheartificial
intelligent technologyasfuzzytheory, expert system,
neural networktocalculatethecollisionrisk(LI Li-na
2006).
This paper adopt fuzzy compressiveevaluation to
calculateCR(collisionrisk). Thecomprehensiveeval-
uationresultcanbeusedassubjectiveevaluation, and
also can be as objective one. Furthermore, system
security is a progressively process. We can get per-
fect result throughassessingthesubordinationof the
factors. So wedont usetheweighting of dCPA and
tCPA to calculate collision risk, they applied fuzzy
comprehensiveevaluation in it. Therearemany fac-
torseffectingCR. Weonlyconsider themajor factors
here, thedistancebetweentargetshipandlocal shipd,
thepositionof targetship, dCPA, tCPA. Sothetarget
factors discoursedomainis:
Theallocationof target factorsweight is:
Expert recommend:
Target evaluationmatrixis:
r
d
, r
, r
dCPA
, r
tCPA
aretarget riskmembership.
Distanceriskmembershipfunctionis:
d
l
distanceof thelast minuteavoidance
d
m
distanceof adopt avoidanceaction
d
l
=K
1
K
2
K
3
DLA
d
m
=K
1
K
2
K
3
R
K
1
decidedbyvisibility,
K
2
decidedbywater areastatus,
K
3
decidedbyhumanfactor,
DLA distanceof thelast minuteaction,
788
Figure1. Thediagramof evaluationsystemof shipmaneuvering.
R istheradiusof arena.
Positionof target shipmembershipfunction:
0
isaccordingtothevelocityratioK of local shipand
target ship
dCPA riskmembershipfunction:
dCPA
0
=1nmile,
=2(L
0
L
t
), L
0
, L
t
are the length of local and
target ship.
tCPA riskmembershipfunction:
According to thefuzzy comprehensiveevaluation
method.
Collisionriskis:
4 RESULTS
In a water area, local ship: course 000
, velocity
15kn, length 75m, the visibility is better (K1=1,
K2=1, K3=1), adopt DLA=1n mile. Get the
data from ARPA, target ship: position =29.5
,
distance d=3n mile, relative velocity vs=26.2kn,
dCPA=0.4nmile, tCPA=7min, lengthof targetship
110m. calculatethecollisionriskof targetshipagainst
local ship.
Accordingtothedataandassociativeformula, we
canobtain:
u(dCPA)=0.8500,
u(tCPA)=0.3633,
u()=0.6477,
u(d)=0.1624.
Dividethecollisionriskinto5level:
I 1.000.91
II 0.900.81
III 0.800.71
IV 0.700.61
V 0.600.51
789
Accordingtothisdivision, 0.56belongtoIV level,
middle danger. At this moment, the evaluation sys-
tem will display this for navigator. Navigator will
adopt suitablemeasuresaccordingtotheinformation
and self judgment. Theevaluation will calculatethe
encounter statusof twoshipsinreal time. Thesystem
will sendanalarmtonavigator for correctingit when
navigator adopts irrational operation. If there is not
anyresponseat thepoint of last helm, thesystemwill
adopt automaticcollisionavoidancestrategy.
5 CONCLUSION
Navigation is humans job, human factor havefinal-
ityaffecttonavigationsafety, especiallyhumansfault,
anditisoneof themajorreasonof shipwreck.Humans
fault isunforeseenandunconquerablecompletely, so
wemust adopt additional precautionstoimproveand
make up the affect of humans fault to navigation
safety. Withthedevelopment of informationtechnol-
ogy, computer is an advantageous auxiliary facility.
Human coordinate with computer by constructing
intelligent evaluation system of ship maneuvering
whichmakesuphumanweaknessandalsosolvesthe
problemthat computer is not adaptable to environ-
ment. Itmakesuseof theadvantageof humansadapt-
abilityandcomputerscalculationcapacity.Therefore,
this is a man-machine associative method, and it is
advantageousinstrument innavigation.
ACKNOWLEDGEMENT
Thispaper issupportedby National Basic Research
Programof China(No.2008CB417215). TheProject
nameis Researchonmechanismof shippingsafety
andaccident-forecastingtheory.
REFERENCES
Davis P. V. et al. 1980. A Computer Simulation of Marine
Traffic UsingDomains andAreas, The Journal of Navi-
gation 33(2): 215222.
GoodwinE. M. 1975. Statistical Studyof ShipDomains,The
Journal of Navigation 28: 329341.
Guedes Soares C. & Teixeira A.P. 2001. Risk assessment
in maritime transportation, Reliability Engineering and
System Safety, 74: 299309.
Gaarder S. et al. 1997. Impact of humanelement inmarine
risk management, Advances in safety and reliability pp.
857868.
Fuji J. & TanakaK. 1971. Traffic Capacity, The Journal of
Navigation 24(4): 543552.
LI Li-naetal.2006.ASummaryof StudiesontheAutomation
of ShipCollisionAvoidanceIntelligence, Journal of Jimei
University (Natural Science), 11(2): 188192.
Imazu H. & koyama T. 1984. Determination of times of
collision avoidance, The Journal of Japan Institute of
Navigation 70: 3037
KearonJ.1979.Computerprogramsformcollisionavoidance
andtraffickeeping, Conference on mathematical aspects
of marine traffic. London, pp. 229242
Thomas Statheros 2008. Gareth Howells and Klaus
McDonald-Maier,AutonomousShipCollisionAvoidance
NavigationConcepts, Technologies andTechniques, The
Journal of Navigation, 61: 129142.
WUZhao-lin&ZHENGZhong-yi 2001. Timecollisionrisk
and its model, Journal of Dalian Maritime University,
27(2): 15.
790
RoundTablePanel Session
GNSSandSafetyandSecurityof MarineNavigation
Chairman of the session:
Vidal Ashkenazi
Chief Executive, Nottingham Scientific Ltd, United Kingdom
Panelists:
Christoph Guenther
Head of the Institute of Communications and Navigation, German Aerospace Center,
Oberpfaffenhofen, Germany
Stig Erik Christiansen
GNSS Product Manager, Kongsberg Seatex AS, Norway
Jesus Carbajosa Menendez
President, Spanish Institute of Navigation, Spain
Capt. Edwin Thiedeman
Commanding Officer, US Coast Guard (USGS) Navigation Centre
Gian-Gherardo Calini
Head of Market Development Department, Galileo Supervisory Authority (GSA)
AdamWeintrit
Dean of The Faculty of Navigation, Gdynia Maritime University, Poland
791
Author index
Aarsther, K.G. 177
Ahvenjrvi, S. 203
Ali, A. 699
Alimen, R.A. 659, 703, 719
Altok, T. 157
Arai,Y. 107
Arsenie, P. 707
Arslan, O. 731
Artyszuk, J. 85
Bai,Y.M. 41
Bajusz, P. 211
Baldauf, M. 53, 191
Banaszek, K. 127, 557
Barsan, E. 725
Bartusevi cien e, I. 63, 683
Bekkadal, F. 285, 307, 455
Benedict, K. 53, 191
Berg, T.E. 93
Bernas, L. 669, 679, 689
Bober, R. 141
Bobkiewicz, P. 547
Bondarev, V.A. 693
Bondareva, O.M. 693
Bowles, I. 215
Brandowski, A. 583
Brzska, S. 313
Bukaty, V.M. 183, 257, 277
Buzbuchi, N. 751
Calambuhay, J.R. 669, 679, 689
Castellsi Sanabra, M. 149
Cataln, C. 117
Celik, M. 771
Chen, G. 173
Chomski, J. 419
Cicek, K. 517
Cihat Baytas, A. 517
Cioc, R. 551
Corwin, J.-A. 663
Courteille, E. 411
Csefalvay, Z. 211
Dalinger, E. 197
Dimitrieva, E.N. 257
Doromal, A.C. 755
Doyle, E. 69
Draxler, D. 211
Duda, D. 743
Duffey, R.B. 561
Dziewicki, M. 103
Dunda, M. 211
Eler, G. 689
Eler, G.M. 669, 679
Eloot, K. 227
Ervik, J.L. 455
Fellner, A. 127, 557
Fikaris, G. 13
Filipowicz, W. 523
Fischer, S. 53
Fj artoft, K.E. 285, 455
Fr ackowiak, W. 583
Fukuda, G. 221
Galor, W. 383
Garmann-J ohnsen, N. 297
Gayo, M., J r. 719
Gayo, M.G., J r. 659, 703
Gegenava, A. 359
Gellada, L. 673
Gierusz, W. 531
Gluch, M. 53
Graff, J. 611
Grzelakowski, A.S. 599
Guan, K. 35
Gudmundseth, G. 93
Gurel, O. 731
Grnicz, T. 59
Hajduk, J. 23
Han, X.-J. 9
Han, X.J. 41
Hanzu-Pazara, L. 707
Hanzu-Pazara, R. 707
Hayashi, S. 221
Hernndez, C. 117
Hong, S. 261
Hu, Q. 173
Hume nansk, V. 211
Hnninen, M. 267
Hckel, S. 191, 197
IlkerTopcu,Y. 771
Im, N. 79
J ackowski, K. 153
J aleco, V.B. 659, 703, 719
J anota, A. 135
J anuszewski, J. 373
Ka cmark, P. 123
Kaczorek, T. 501
Kadioglu, M. 637, 731
Kalininov, K. 341
Kaucka, P. 651
Kalvaitien e, G. 683
Kasyk, L. 273
Katarzy nska, B. 303
Kazimierski, W. 387
Kemp, J. 237
Khaidarov, G. 359
Kim, H. 261
Kim, H.-J. 261
Kirchhoff, M. 53
Klevstad, U. 93
Kobyli nski, L. 577
Kon celk, V. 135
Kopa nska, K. 113
Korcz, K. 291
Kornacki, J. 365
Kouguchi, N. 107
Kovr, P. 123
Kowalska, B. 473
Kowalski, A. 335
Krata, P. 775
Krlikowski, A. 483
Kujala, P. 267
Kujawa, L. 113
Kulczyk, J. 59
Ku smi nska-Fijakowska, A. 317
Kvamstad, B. 285, 455
Kwiatkowska-Sienkiewicz, K.
651
acki, M. 541
Larsson, E. 247
LeGoubin, A.L. 713
Lisaj, A. 379
Lisowski, J. 507
ozowicka, D. 593
Luft, M. 551
ukasik, Z. 317
Lushnikov, E. 219
Lushnikov, E.M. 451
MacKinnon, S. 197
Magramo, M. 669, 673, 679, 689
Maksimavi cius, R. 63
Marchenko, A.V. 455
Marchenko, N. 461
Marie, S. 411
Marinacci, C. 627
Markowski, Z. 215
Martnez deOss, F.X. 149
Martnez, M.A. 117
Matczak, M. 607
Mednikarov, B. 341
793
Medyna, P. 419
Meng, X. 787
Meng, X.-Y. 9
Meng, X.Y. 41
Mezaoui, B. 431
Mikulski, J. 167
Mindykowski, J. 761
Mironiuk, W. 781
Miyusov, M.V. 735
Mi esikowski, M. 3
Moan, T. 177
Morawski, L. 347, 479
Morga s, W. 3
Morozova, S.U. 183, 277
Motz, F. 191, 197
Mu, L. 297
Mullai, A. 247
Muntean, C. 725
Mykita, M. 473
Neumann, T. XV
NguyenCong, V. 347
Nikitakos, N. 13
Norrman, A. 247
Or, I. 157
Ozbas, B. 157
Pador, R.L. 659, 703
Patraiko, D. 29
Paulauskas, V. 325
Pedersen, E. 107
Peng, J. 329
Pietrzykowski, Z. 45
Plata, S. 207
Pomirski, J. 479
Popek, M. 645
Potoker, E.S. 663
Przybyowski, A. 617
Ricci, S. 627
Richter, J. 227
Rogowski, J.B. 113
Rupien e, L. 683
Rutkowski, G. 483
Saharuddin, A.H. 163
Said, M.H. 163
Saull, J.W. 563
Sen cila, V. 683
Seo, J.-H. 79
Shen, C. 329
Shi, C. 35, 173, 329
Shoji, R. 431
Sikora, P. 479
Smierzchalski, R. 423
Smolarek, L. 589
Sok, R. 479
Stan, L.C. 751
Stanisawczyk, I. 473
Stasenko, M.S. 493
Stateczny, A. 387
Stoyanov, N. 341
Szewczuk, T. 141
Szapczy nska, J. 423
Szapczy nski, R. 437, 443
Szpytko, J. 571
Sztobryn, M. 467
Szubrycht, T. 743
Szychta, E. 551
Tabaczek, T. 59
Takashima, K. 431
Tatsumi, K. 107
Trminski, P. 127, 557
Tsymbal, M. 243
Uluscu, O.S. 157
Urbansky, I. 243
Urba nski , J. 3
Uriasz, J. 45
Vagushchenko, A. 253
Vagushchenko, L. 253
Vantorre, M. 227
Varshanidze, N. 359
Vejraka, F. 123
Verwilligen, J. 227
Vorobyov,Y.L. 493
Wake, P. 29
Wang, N. 787
Wang, Z.-W. 9
Wawruch, R. 207, 761
Weintrit, A. XV, 29, 393
Widdel, H. 197
Wi sniewski, B. 419
Woejsza, P. 405
Wolski, A. 141
Wu, S. 35
Wyszkowski, J. 761
Xu, Q. 787
Xu, T. 35
Yabuki, H. 353
Yong, J. 173
Yoo,Y. 107
Yoshimura,Y. 353
Yousefi, H. 623
Zalewski, P. 75
Zaeckis, R. 63
Zhao, D. 329
Zhukov, D.S. 735
794

Marine Navigation 1

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Marine Navigation 1

Uploaded by

Copyright:

Available Formats

MARINE NAVIGATIONANDSAFETY OF SEA TRANSPORTATION

towe, part 1, Nr 2&

3716N 17000E 3356N 16000E

(there are ships with even four of these

effectivewakefractionatlocationof rudder, instraight

at about 10or 11Knots.

onthebowat anytimeafter ALMANAMA

dzyzdroje,Technical Universityof Szczecin, pp. 195

/min] 0.00 13.47 18.48 18.19 16.38 14.44

/min] 0.00 0.03 0.13 0.33 0.44 0.84 0.83

/min] 2.43 11.86 11.66 11.11 10.74 10.37 9.54

/min] 11.99 10.06 9.78 8.72 7.61 5.93

/min] 2.71 1.69 2.65 2.43 2.08 1.70

/min] 20.13 39.25 13.53 0.04 12.77 25.30 8.54

/min] 8.71 24.76 26.28 10.31 3.31 15.21 19.53

/min] 25.41 11.25 20.60

/min] 5.57 5.02 7.75

Cern& Steiner 2003).

Cern, J. & Steiner, I. 2003. GPSodA doZ. Prague, eNAV,

18.06.08 2.11 0.73 0.64 0.972

19.06.08 29.17 1.12 0.58 1.262

18.08.08 20.21 0.58 0.13 0.605

19.11.08 1.88 0.55 0.80 0.973

20.11.08 2.02 0.66 0.56 0.868

21.11.08 2.54 0.54 0.61 0.733

22.11.07 2.90 0.48 0.62 0.795

25.11.08 2.94 0.41 0.60 0.725

26.11.08 3.49 0.33 0.55 0.639

27.11.08 3.09 0.67 0.63 0.913

Istanbul. Naval Research Logistics, 46, 871892.

then helps to obtain thetime

), or will never reachthe

theywill not meet.

, but meeting of vessels is

, it is clear that vessels

=0, are calculated by the

are negative, the target vessel is overtaking. If

arepositive, thevessel is thegiven vessel

arenegativ, thetarget ves-

Figure1. Principleof FMCWradar.

Table7. Environmental conditions.

. Prace Wydziau Nawigacyjnego Akademii

C]. The sensor box surface temperature was

. Meanwhile the forward bias l

Circulation 2.35 1.73 1.51 2.16 1.40 1.99 1.25

(Karapuzov, A. I. 1984. Ships).

. For other values of d and D,

andso fixedas to show

abaft the beam

. However, thesubstantial limitation,

. By daytime for the same reason,

(Directions on1987) it turned out that at a

, though, infact A ships bearing

is asignof risk of collision) has decidedto

a root-mean-square error of determin-

, and error of oncom-

accordingto(11). Itwontimprovethesituation, more

according to (11). But, in spite of the above, owing

seeFigure5) during roughly 8 hours

. The ship motion

, on theE axis. Therateof turn, r, can be

(Table2). Theautopilots task

Figure 8. Example of the crash astern manoeuvre that