SPECIAL REPORT 273

SHIPBOARD AUTOMATIC IDENTIFICATION SYSTEM DISPLAYS

Meeting the Needs of Mariners

Committee for Evaluating Shipboard Display of Automatic Identification Systems

TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES

Transportation Research Board

Washington, D.C.

2003

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 SPECIAL REPORT 273 SHIPBOARD AUTOMATIC IDENTIFICATION SYSTEM DISPLAYS Meeting the Needs of Mariners Committee for Evaluating Shipboard Display of Automatic Identification Systems TRANSPORTATION RESEARCH BOARD OF THE NATIONAL ACADEMIES Transportation Research Board Washington, D.C. 2003 www.TRB.org

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 Transportation Research Board Special Report 273 Subscriber Categories IVB safety and human performance IX marine transportation Transportation Research Board publications are available by ordering individual publications directly from the TRB Business Office, through the Internet at www.TRB.org or national-academies.org/trb, or by annual subscription through organizational or individual affiliation with TRB. Affiliates and library subscribers are eligible for substantial discounts. For further information, contact the Transportation Research Board Business Office, 500 Fifth Street, NW, Washington, DC 20001 (telephone 202-334-3213; fax ; or e-mail TRBsales@nas.edu). Copyright 2003 by the National Academy of Sciences. All rights reserved. Printed in the United States of America. NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This report has been reviewed by a group other than the authors according to the procedures approved by a Report Review Committee consisting of members of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. This report was sponsored by the U.S. Coast Guard. Cover photos courtesy of the following sources (clockwise from top right): Lene Haugerud, Bergesen; Conny Wickberg, Stena Bulk AB; Kirby Corporation; Douglas Grubbs, Crescent River Port Pilots Association; Lene Haugerud, Bergesen; Conny Wickberg, Stena Bulk AB; TRB photo library. Library of Congress Cataloging-in-Publication Data National Research Council (U.S.). Committee for Evaluating Shipboard Display of Automatic Identification Systems. Shipboard automatic identification system displays : meeting the needs of mariners / Committee for Evaluating Shipboard Display of Automatic Identification Systems. p. cm.—(Special report / Transportation Research Board ; 273) ISBN 0-309-08550-0 1. Ships—Automatic identification systems—Evaluation. I. Title. II. Special report (National Research Council (U.S.). Transportation Research Board) ; 273. VM480.N38 2003 387.5′4044—dc21 2003050405

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. William A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both the Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council. The Transportation Research Board is a division of the National Research Council, which serves the National Academy of Sciences and the National Academy of Engineering. The Board’s mission is to promote innovation and progress in transportation through research. In an objective and interdisciplinary setting, the Board facilitates the sharing of information on transportation practice and policy by researchers and practitioners; stimulates research and offers research management services that promote technical excellence; provides expert advice on transportation policy and programs; and disseminates research results broadly and encourages their implementation. The Board’s varied activities annually engage more than 4,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. www.TRB.org www.national-academies.org

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 Committee for Evaluating Shipboard Display of Automatic Identification Systems Martha R. Grabowski, Chair, Director, Information Systems Program, Le Moyne College, Syracuse, and Research Professor, Rensselaer Polytechnic Institute, Troy, New York Carl E. Bowler, San Francisco Bar Pilot, Walnut Creek, California Elizabeth J. Gedney, Victoria Express, Port Angeles, Washington Douglas J. Grubbs, Crescent River Port Pilots Association, Metairie, Louisiana Don K. Kim, UNDS Program Manager, AMSEC LLC, M. Rosenblatt & Son Group, Arlington, Virginia John D. Lee, Associate Professor of Industrial Engineering, University of Iowa, Iowa City Robert G. Moore, President, Coastwatch, Inc., Vashon, Washington Roy L. Murphy, Director of Training, Kirby Corporation, Channelview, Texas Nadine B. Sarter, Department of Industrial, Welding, and Systems Engineering, The Ohio State University, Columbus Transportation Research Board Staff Beverly M. Huey, Senior Program Officer, Transportation Research Board Pete Johnson, Consultant, Transportation Research Board

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 Preface In recent years the marine transportation system has come under increasing attention. Among the concerns are its safety and efficiency, prevention of and response to ship-caused pollution, and the use of vessels for inimical purposes, ranging from simple lawbreaking (such as smuggling) to serving as a vehicle or target for terrorist acts. Over the past two decades, automatic identification systems (AIS) have been developed in response to these concerns, and much work has been done to define AIS technical and communication requirements. These efforts have resulted in worldwide mandatory carriage requirements for AIS aboard vessels that must comply with the International Convention for the Safety of Life at Sea (SOLAS) and in discussions about non-SOLAS vessel carriage requirements in the United States. However, despite these efforts, little has been said about shipboard display of AIS information, a topic addressed in this report. Because of the lack of standards and requirements for shipboard display of AIS information, the United States Coast Guard (USCG) requested that the National Research Council’s (NRC’s) Transportation Research Board (TRB)/Marine Board examine the technical and human factors aspects of shipboard display of AIS information. This effort was to include an assessment of the state of the art in AIS display technologies, an evaluation of current system designs and their capabilities, and a review of the relevant human factors aspects associated with operating these systems. In the course of the study, the committee was to consider The impacts of changing technology, security, economics, operational considerations, and human factors design principles on display of shipboard AIS systems; How a range of tasks to be supported by AIS will drive display requirements; The impacts of different operational environments and qualification and skill requirements on shipboard display of AIS information; How changes in existing and evolving technology, equipment/technical integration, international standards harmonization requirements, manufacturers’ and standards bodies’ requirements, and economics affect shipboard display of AIS information; and

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 Lessons learned and best practices from relevant domestic and international AIS programs. The mariner’s need for better and real-time information about waterway conditions has increased with a number of factors, including the size of ships, traffic density in key areas, and the like. Transmission of such information by voice radio has been repeatedly cited by mariners as burdensome, and during the past decade other mediums have been actively sought. Understanding mariners’ information needs and how they vary, therefore, is an important first step in developing requirements or standards for shipboard display of AIS information. AIS information can be used by mariners in different ways—for vessel identification, navigation, maneuvering and collision avoidance, and tasks required by the practice of good seamanship. AIS information can be presented to mariners in many different ways—visually, aurally, haptically (i.e., through touch), and redundantly, for instance. Processes for understanding what AIS information should be presented to the mariner, and how it should be presented, are the focus of this report. Decades of human factors, systems engineering, and information systems research have focused on how to present task-relevant information to decision makers in various operational settings. That research is summarized in this report, and guidelines to consider in developing requirements for shipboard display of AIS information are suggested. A process that USCG should follow in developing standards and requirements for shipboard display of AIS information is recommended. The process includes research, requirements development, analysis, design, and implementation elements. It is intended to assist regulators with domestic and international carriage requirement responsibilities and members of the international community faced with global mandates for shipboard display of AIS information. ACKNOWLEDGMENTS The work of this committee has been greatly helped by the thoughtful advice and background information provided by the project sponsor, USCG. The committee gratefully acknowledges the contributions of time and information provided by the sponsor liaisons and the many individuals within and outside government who are interested or involved in shipboard display of

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 AIS information and who supported this assessment. The committee particularly thanks the USCG liaison representatives Mike Sollosi and Ed LaRue, as well as Joe Hersey, Jorge Arroyo, and Jeff High also of USCG, who responded promptly and with a generous spirit to the committee’s many requests for information. The committee is also grateful to Diane Jordan of the Port of Tacoma for hosting and handling the logistics for the committee’s August 2002 meeting and to Mike Gehrke, Director of Intermodal Services at the Port of Tacoma, for providing a tour of the port. The committee is especially indebted to the active mariners, pilots, industry representatives, manufacturers, researchers, and scientists who provided input to the committee. In particular, the committee thanks Steve Hung of the St. Lawrence Seaway Development Corporation, who provided AIS background and status information on the St. Lawrence Seaway and Panama Canal AIS projects; and Chris Andreasen, Scientific Advisor for Hydrography at the National Imagery and Mapping Agency, who provided information on the background and status of electronic charting systems as they relate to the use and functions of AIS at the committee’s first meeting. Special thanks are also extended to Lee Alexander, University of New Hampshire; George Burkley, Maritime Institute of Technology and Graduate Studies; Captain Benny Pettersson, Swedish Maritime Administration; Holger Ericsson, Saab Transponder Tech AB; Tom Hill, SeaRiver Maritime; Edwin Hutchins, University of California, San Diego; Jeff McCarthy, San Francisco Marine Exchange; William Nugent, Space and Naval Warfare Systems Command; Allison Ross, Association of Maryland Pilots; Mark Stevens, Ingram Barge; Kim Vicente, University of Toronto; Jorge Viso, Tampa Bay Pilots; and all of the other participants in the committee’s workshop in New Orleans. (See Appendix A for a summary of the workshop.) In addition, the committee is indebted to the AIS manufacturers who displayed their systems at the workshop and willingly answered any questions posed to them: Butch Comeaux, Michael Martinez, Allen Mitchener, Doug Sprunt, and Morne Stamrood, Tideland Signal Corporation; Larry DeGraff, Transas Marine USA, Inc.; Haruki Miyashita, JRC, Japan Radio; Mark Pfeiffer, Avitech Aviation Management Technologies GmbH; and Rudy Peschel, Speschel Interest Group/Saab. The committee is grateful to Captain Norrby Soeren of the MV Mountain Blossom, whose vessel the committee rode in a transit of the lower Mississippi River on April 4, 2002; and to Tony Weeks, general

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 manager of Southport Agencies, Inc., who transported the committee members by launch to and from the MV Mountain Blossom. We are very grateful to Ingram Barge Co., who arranged for John Lee’s transit on the Robert E. Lee in order to conduct the observational task analysis. The committee also wishes to thank the members of the European community who provided advice and insight to the committee during a visit to AIS programs and installations in summer 2002, particularly Jan-Hendrik Oltmann, deputy head of division, and Hendrik Eusterbarkey, engineer, at the Waterways and Shipping Directorate for Baltic and North Sea coastal areas and ports and river entrances; Christoph Felsenstein of the Wismar University of Technology in Warnemunde at the ship training simulator center; Ralf-Dieter Preuss and staff of the German Federal Hydrographic and Maritime Agency; and Mr. Heesch of the vessel traffic center for managing traffic in the Kiel Canal in Brunsbuttel. (See Appendix B for a summary of information gathered during this trip.) The committee was composed of talented individuals who worked tirelessly and thoughtfully together to produce this report. Working with this committee was a distinct pleasure. Bob Moore kept us on track and generously shared his deep knowledge of things maritime. Douglas Grubbs and Carl Bowler helped in providing active mariner and piloting insight to the committee, as well as their store of technical knowledge. Douglas was also our host throughout the committee’s workshop in New Orleans and on the committee’s vessel ride on the lower Mississippi River; we are most grateful to Douglas for his gracious hospitality. Beth Gedney and Roy Murphy provided important passenger vessel and “brown water” insights to the committee. Don Kim helped the committee considerably with its understanding of how commercial maritime systems and practices differ from aerospace and other large systems. John Lee and Nadine Sarter were key contributors to this report. They provided human factors knowledge and background from other domains that were critical to the committee. The committee particularly thanks John for his tutelage in understanding heuristics. This project came together well because we were blessed with exceptional staff support. TRB staff members Beverly Huey and Pete Johnson provided help in drafting, assembling, packaging, and editing the report; in supporting the committee members; and in the committee’s meeting, workshop, and report preparation processes. The study was performed under the overall supervision of Stephen R. Godwin, TRB’s Director of Studies and Infor-

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 mation Services. The committee gratefully acknowledges the work and support of Norman Solomon, who edited the report; Suzanne Schneider, Associate Executive Director of TRB, who managed the review process; and Nancy A. Ackerman, Director of Publications, under whose supervision the report was edited and prepared for publication. The report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the NRC’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making the published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The committee thanks the following individuals for their review of this report: Lee Alexander, University of New Hampshire; William Gray, Gray Maritime, Darien, Connecticut; I. Bernard Jacobson, IBJ Associates, Shelter Island Heights, New York; Raja Parasuraman, Catholic University of America, Washington, D.C.; David Patraiko, The Nautical Institute, London, United Kingdom; and Mark Stevens, Ingram Barge Company, Nashville, Tennessee. Although these reviewers provided many constructive comments and suggestions, they were not asked to endorse the findings and conclusions, nor did they see the final draft before its release. The review of this report was overseen by Lester A. Hoel, University of Virginia, Charlottesville. Appointed by NRC, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. It has been a great privilege to serve with the members of the committee. Many thanks to the members and staff. May we meet again in similarly interesting and engaging tasks. Martha Grabowski, Chair Committee for Evaluating Shipboard Display of Automatic Identification Systems

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273 Contents     Executive Summary   1 1   Introduction   15      Overview of AIS Capabilities and Applications   17      Current Display Designs and Their Capabilities   28      Status of U.S. and International Implementation of AIS   30      Approach   39 2   Variability in Operations   43      Types of Vessels and Operating Parameters   43      Typical Bridge Operational Environments   48      Need for Effective Shipboard AIS Displays   51      Cost Considerations   55      Summary   56 3   Recent Experience with Automatic Identification Systems and Shipboard Displays   59      1371 Standard AIS Programs   61      Non-1371 Standard AIS Programs   64      Summary   75 4   Determining Requirements for Shipboard Display of Automatic Identification System Information   78      Determining Requirements for Shipboard Display of AIS Information   78      Inventory of Existing AIS Requirements   81      Requirements Analysis   83      Summary   100 5   Human Factors Considerations for Automatic Identification System Interface Design   105      Core Elements of the Human Factors Design Process   106      Understanding the Needs of the Operator   108      Human/Automation Performance Issues   120      Skill Requirements   124      Designing the AIS Interface Using Human Factors Principles   125      Evaluation   134

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Shipboard Automatic Identification System Displays: Meeting the Needs of Mariners - Special Report 273      Ensuring Good Interface Design: Design, Process, and Performance Standards   135      Summary   136 6   Conclusions and Recommendations   143      Need for a Systematic Implementation Plan   143      AIS and Its Relationship to Shipboard Displays   144      Development of Domestic and International Standards   148      Human Factors in the Display Design Process   148      System Limitations   150      Need for Ongoing Research on Human Interfaces   152      Need for Continued Operational Testing of AIS Displays   155      Summary   155     Appendices     A   Workshop to Explore Automatic Identification System Display Technology and Human Factors Issues   157 B   Report on Committee Subgroup Trip to Europe, July 25–August 4, 2002   173 C   Shipboard Display of Automatic Identification System Requirements   177     Study Committee Biographical Information   193