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OCR for page 311
10
Conclusions and Recommendations
Maneuvering ships safely through narrow, shallow, and often congested
channels is a challenging task for even the most skillful shiphandler. The marine
operating environment is a complex, highly interdependent system. It encom-
passes waterways, vessels, human operators, navigational aids, and a supporting
infrastructure for pilotage, vessel and port management, policy and regulation,
and professional development. When the system performs well, the regional and
national economies, the vessels and their crews, populations near ports and wa-
terways, and the natural environment all benefit. But over the past decade, the
safety, effectiveness, and efficiency of navigation and piloting have become ma-
jor concerns. Although by many measures safety has improved over the past
several decades, in the eyes of the public, major shipping-disasters resulting in
extensive pollution have brought into question the merchant mariners' profes-
sional capabilities to operate safely.
Clearly, major marine accidents deserve attention, particularly in terms of
prevention or mitigation measures. Public attention has opened a window for
reasonable and positive changes in the marine navigation and piloting system.
System improvements need to be carefully crafted and implemented to avoid
unintended side effects. A steady hand at the helm is needed to steer implemen-
tation through the changes projected in Chapter 9. The following recommenda-
tions are intended to help chart a well-informed, prudent course.
The Committee on Advances in Navigation and Piloting accepts and endors-
es the traditional concept that pilots are local experts in whom special trust and
confidence are placed for the safe navigation of the vessels they serve. Those
whom society officially recognizes as pilots have a long history of dedicated and
311
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312
MINDING THE HELM
expert service to uphold. By longstanding maritime tradition, they are held to
high standards of professional competence and official accountability. This tra-
dition should continue. The conclusions and recommendations expand on this
fundamental view by prescribing a strategy for reducing operational and envi-
ronmental risk and for improving safety performance, thereby enhancing public
confidence in the marine navigation and piloting system and its pilotage compo-
nent. Whether or not pilotage as practiced in the United Estates satisfies this
fundamental view of the pilot is a central focus of this chapter. Recommenda-
tions are numbered for convenience of reference; no priority order is implied.
System organization, operation, and overall performance could be substan-
tially improved to reduce operational risk by a more systematic accounting of
interactions among system components. The marine navigation and piloting sys-
tem is characterized by large disparities in its administration and standards of
performance and by limitations in safety data that constrain intorrned oversight.
The system is also characterized by considerable polarization over safety, eco-
nomic, and jurisdictional issues that have prevented resolution of conflicts over
marine pilotage and inhibited system-wide regulation of vessel traffic. Specific
improvements can be made in system organization and integration, human sys-
tems, marine pilotage, waterways management, navigation and piloting technol-
ogy, and marine research and development, as described in following sections.
MARINE NAVIGATION AND PILOTING:
INTEGRATING THE SYSTEM
The organizational structures within the marine navigation and piloting sys-
tem range from a well-established hierarchy for decision making on a traditional
ship's bridge to the more common, informal structure that prevails for system-
wide decision making, including the organizational structure used for vessel
traffic management. The loose nature of organizational structures contributes to
lapses in human performance. These varying organizational structures, and the
decision making that results from them, are proximate or contributing causes in
many marine accidents.
Little attention has been paid to marine navigation and piloting as a system;
instead, previous assessments and investigations have focused principally on
performance of specific vessels in specific circumstances. The systemic ele-
ments navigation and piloting tasks, technology, human systems, governance,
and the organizational environment in which they operate- have been assessed
in varying degrees, but their interactions and relative importance in reducing
operational and environmental risk are not well understood. Little organizational
research has been conducted by the federal government and the marine industry
that would improve the marine community's understanding of the system, its
elements, and their interactions. This lack of understanding, together with the
informal integration of the marine navigation and piloting system, inhibits re
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CONCLUSIONS AND RECOMMENDATIONS
313
auction in risk with respect to modern expectations for safety and environmental
protection.
Understanding Risk in the Marine Navigation and Piloting System
Because of the interdependent nature of maritime navigation and piloting
operations, these operations must be understood as a system. The understanding
of risk in navigation and piloting can be improved by assessing system elements,
their interactions, and their interactions with the environment in which they op-
erate. Planning, management, administration, research activities, and recommen-
dations for improvement must recognize the interdependence of system elements
and take their interactions into account.
RECOMMENDATION l: The Department of Transportation, in consulta-
tion with the Department of Commerce and the Department of the Army,
should sponsor a cooperative program of continuing risk assessment involv-
ing the U.S. Coast Guard, Maritime Administration, National Oceanic and
Atmospheric Administration, and U.S. Army Corps of Engineers. The pro-
gram should include development of a standard methodology for assessing
risk and safety performance (at the vessel, individual mariner, fleet, port,
and regional levels) in order to improve understanding of risk in navigation
and piloting. This methodology should include standard methods for data
collection and normalization of data across port, waterway, and river sys-
tems. (See also recommendation 37.J
RECOMMENDATION 2: The Department of Transportation, in consulta-
tion with the Department of Commerce and Department of the Army, should
undertake a cooperative, multidisciplinary research program involving the
U.S. Coast Guard, Maritime Administration, National Oceanic and Atmo-
spheric Administration, and the U.S. Army Corps of Engineers, in order to
better understand risk relationships. The research program should investi-
gate the interaction of the essential elements of a highly reliable, complete,
and safe marine navigation and piloting system. This research should in-
volve subject matter experts from the marine community. (See also recom-
mendation 37.)
Casualty Reports and Safety Records
Although marine accident investigations by the National Transportation
Safety Board, the Coast Guard, and state boards and commissions often provide
valuable information about particular accidents, available safety data are inade-
quate for valid statistical evaluation and comparisons of pilotage systems, even
those covering the same routes. This is a longstanding problem in marine-safety
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314
MINDING THE HELM
analysis and should be corrected. An accepted methodology needs to be devel-
oped for comparing safety records across pilot routes and piloting functions.
RECOMMENDATION 3: The U.S. Coast Guard should review and im-
prove its existing programs and capabilities for collecting and analyzing
marine accident, incident, and near miss data; investigating groundings,
collisions, and other marine accidents and incidents; and reporting these
investigations and safety trends so that comprehensive safety-performance
information becomes readily available. The U.S. Coast Guard should assign
a high priority to data compatibility and sharing across existing and future
marine safety data bases and should develop a sound methodology to enable
comparison of safety data currently maintained in incompatible data bases.
HUMAN SYSTEMS
Professional Development
Professional development programs for mariners and marine pilots need to
be improved, and each individual's navigation and piloting knowledge and skills
need to be periodically refreshed, upgraded, and confirmed. Professional weak-
nesses and problems need to be identified and corrected before they become
causal factors in marine accidents. After-the-fact official discipline, while an
important tool, is only effective if it also leads to remedial action.
Marine professional development programs are not generally assessed for
their effectiveness. There is no official oversight in the development and valida-
tion of practical skills in federal marine licensing for masters, mates, and pilots,
except for radar observer certification. For state-licensed marine pilots, the de-
velopment process varies among pilot systems but is primarily supervised by
licensed pilots. There are no certification programs for navigation and piloting
instructors or for marine licensing examiners to establish their professional and
educational capabilities for guiding pilot development. Continuing professional
development has not been guided by specific requirements or standards, not-
withstanding growing efforts by some marine pilot organizations and shipping
and towing companies to provide refresher and advanced training.
The rapid evolution and introduction of advanced electronic navigation and
piloting technology creates new knowledge and skill requirements, expanding
the range of expertise required for effective operator performance. But the pro-
fessional training base for mariners is not keeping pace with these changes.
From a technical perspective, it is premature for U.S. training facilities to make
major investments in advanced navigation aids until International Maritime Or-
ganization (IMO) standards for Electronic Chart Display and Information Sys-
tems (ECDIS) are finalized, other IMO equipment standards updated, and equip
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CONCLUSIONS AND RECOMMENDATIONS
315
ment is manufactured to them. Selective investment in advanced electronic chart-
ing systems meeting the IMO's provisional ECDIS standards may, however, be
appropriate and necessary to aid in familiarizing mariners with these new sys-
tems. Near-term changes made in training facility resources will also need to be
capable of incorporating revisions in IMO's Standards for Training, Certifica-
tion, and Watchkeeping (STCW) when these revisions are finalized and imple-
mented.
Approaches to development of theoretical knowledge and entry-level navi-
gation and piloting skills range from accredited undergraduate programs at mar-
itime academies to on-thejob training in the shipping and towing industries, in
ferry operation, and often in marine piloting. To build expert qualifications,
marine pilots need a basic knowledge of nautical theory, practical navigation
skills, local-area knowledge, broad-based shiphandling skills, and progressive
advancement on routes and categories of ships. Shipboard responsibilities often
do not allow masters and bridge teams to develop proficiency in piloting skills,
shiphandling, and local knowledge.
There are few checks and balances within the marine navigation and pilot-
ing system, either human- or technology-based, for advance detection and cor-
rection of problems in the professional competence or performance of mariners,
including marine pilots. Few masters, mates, or pilots have been formally trained,
such as through simulation exercises, to process information and make decisions
in extreme situations that require spontaneous emergency shiphandling and com-
munications. However, marine pilots may develop sufficient experience to react
correctly through their apprenticeships and service.
A consistent and thorough approach to professional development is needed.
The core of a complete professional development program should involve:
· training and performance standards for professional mariners;
· accreditation of curricula and certification of instructors;
· development and validation of professional knowledge (theoretical and
applied) and practical skills;
· development of special skills such as emergency decision making and
shiphandling;
· continuing professional development; and
· periodic requalification.
The committee's conclusions and recommendations concerning the profes-
sional development of individuals piloting ships and towing vessels and barges
are consolidated in the section entitled Marine Pilotage. Recommendations re-
garding the professional development of mariners other than those piloting ves-
sels involve economic, marine training, and education issues which were beyond
the scope of this assessment. Training needs with respect to advances in technol-
ogy are presented below.
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MINDING THE HELM
RECOMMENDATION 4: Training programs should be developed concur-
rently with the voluntary or mandatory introduction of new navigation and
piloting technologies. Bridge personnel should be trained in the use of these
new technologies, and associated changes should be made in organizational
relationships before the equipment is applied to operations; these efforts are
essential to ensure the effective and prudent use of this equipment consis-
tent with safety needs and requirements. Continuing training should be
available thereafter, as necessary, to maintain mariner proficiency and to
train new operators. To aid in the use of new navigation and piloting tech-
nologies in pilotage waters, provisions should also be made to familiarize
marine pilots with the capabilities and general use of these technologies.
The U.S. Coast Guard should encourage the International Maritime Orga-
nization to adopt standard training procedures for the use of new naviga-
tion and piloting technology. (See also recommendations 7-8, 10-11, 15-18,
21, and 24.)
Marine Simulation
Decade-old marine simulation research expanded fundamental knowledge
about human factors. But this information base is incomplete and did not fully
verify how well training results transfer to actual operations. Meanwhile, train-
ing needs have expanded because of the ongoing rapid evolution of navigation
and piloting technology, ship's systems, and operating practices. The simulation
research literature needs to be updated to reflect current conditions within the
marine industry and piloting profession. However, there is a sufficient basis to
believe that computer-based and manned-model simulations can, in varying de-
grees
· help individuals understand the limits of their knowledge and skills be-
fore these factors become an issue in actual performance;
· demonstrate ship maneuvering theory; and
· assist in developing or refining basic, advanced, and emergency shiphan-
dling and bridge team management skills.
Marine simulation potentially can provide a general capability for validating
skills and operational decisions without the risk that would be associated with
similar efforts aboard real vessels. However, there are unresolved questions
about:
· the accuracy of simulations for vessel operations in shallow and confined
waters, especially where there are small under-keel clearances;
· how well simulation training experience transfers to actual operations;
· cost-effectiveness;
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CONCLUSIONS AND RECOMMENDATIONS
317
· the basis for establishing the equivalency or relevance of marine simula-
tion to sea service for licensing purposes;
· the relative value of computer-based and married physical scale-model
simulations for various functions. and operations;
· validation of simulations;
· accreditation of simulators and simulations;
· training and certification of instructors;
· evaluation of trainee performance; and
· the high cost of the technology per individual trained (these costs could
be especially burdensome if borne by individuals rather than operating compa-
nies or licensing agencies, which is a major issue in the use of simulation in
licensing).
These issues, which are vital to improving the value of marine simulation in
professional development, need to be resolved before simulation is broadly ap-
plied in marine licensing or required for the licensing of marine pilots. Still,
there is growing acceptance of marine simulation to selectively supplement, but
not replace, more traditional means for the initial and continuing professional
development of marine pilots. Simulations designed to improve shiphandling
skills and to expose pilots to situations or vessels not routinely encountered can
be especially useful if limitations in the simulation are clearly understood and
conveyed to those trained. In this regard, marine pilots generally seem capable of
making effective use of computer-based and manned-model simulations to re-
fine generic and vessel-specific shiphandling skills.
RECOMMENDATION 5: The U.S. Coast Guard and Maritime Adminis-
trat~on should update and build on their earlier assessments of marine sim-
ulation to determine the technology's capability and suitability for use in
the initial training and qudlfflcation of pilots, in the continuing development
of pilot skills in handling large vessels or complex operations, and for ma-
rine licensing purposes.
RECOMMENDATION 6: Marme pilot licensing authorities and marine
pilot associations should encourage the selective use of marine simulation as
one approach for meeting continuing professional development needs.
MARINE PILOTAGE
Debates over the safety performance of federally-licensed or state-l~censed
pilots, especially over which of these categories of pilots has a better safety
record, have generated considerable public attention but miss the mark. The
pilotage services provided by independent state-licensed and federally-licensed
pilots routinely exhibit professionalism and competence. The real issue is that
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MINDING THE HELM
the national structure of marine pilotage and its administration, both federal and
state, do not consistently ensure the completeness of professional development
and adequate safety performance. Measures need to be improved to ensure the
completeness of professional qualification and to identify for correction any train-
ing deficits and degradations in knowledge and skills that may occur after train-
ing or receipt of a license prior to any performance-related weaknesses becom-
ing causal factors in marine accidents. The conclusions and recommendations
that follow are designed to preserve and build on the strengths of key features
found in the existing marine pilotage systems. The division of pilotage responsi-
bilities between federal and state pilotage authorities would continue to be the
centerpiece of pilotage nationwide, with certain refinements to achieve systemic
Improvements.
Safety Performance
The Committee on Advances in Navigation and Piloting found no statistical
evidence that professional competence varies according to the methodology used
to train independent marine pilots nor was any statistical evidence found that the
performance of pilots varies by the level or type of maritime expertise acquired
prior to entering the pilot profession. There is some anecdotal evidence from
experts that differences in professional backgrounds can affect the time required
for pilot candidates to adapt to various aspects of marine pilotage. While the
length of time required to qualify as a pilot may vary as a result, comparable
levels of professional skill can be achieved, provided that individual strengths
and weaknesses are accommodated in professional development.
It is difficult to determine whether system-wide problems exist in marine
pilotage, primarily because there is no standardized method for normalizing and
ranking casualty data to support such determinations. The existing casualty data
do not completely reflect the overall nature of safety problems in any one port
area. There is also a general lack of understanding of the complexity of the port,
waterway, and river operating environments; the nature and variability of risk
factors that are present; and vessel behavior in shallow water and confined,
asymmetrical channels.
Careful and statistically valid assessments of safety performance will be
important and should reflect substantial differences in marine safety, risk, and
exposure, even within the same port and waterway complex. The committee
reviewed and assessed available studies and research that examined the safety
records of pilots. This literature provided general background, but because of
questions regarding the data utilized, how it was manipulated, and how measures
of safety and performance were constructed, no sound inferences could be drawn.
The committee found no empirical evidence that safety performance varied
by licensing authority. Nor was there evidence proving any difference in naviga-
tional safety between marine pilots and docking masters or between the pilotage
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CONCLUSIONS AND RECOMMENDATIONS
319
of ships and of towing industry vessels. This is not to say that studies supporting
particular points of view on these subjects could not be found; on the contrary,
the committee reviewed several studies on each subject (Appendix D). However,
the committee found no statistically sound basis that would indicate differences
in performance among the various categories of federally- and state-licensed
mariners who are providing pilotage services. At the same time, the committee
heard considerable anecdotal testimony from representatives of all segments of
the marine community offering ample evidence of a loosely integrated system
with opportunities for error and incomplete measures for error detection and
correction.
Pilotage Administration and System Standards
Pilotage regimes in the United States exhibit large differences in their ad-
ministration. Considerable professional attention is given to pilotage administra-
tion in most systems to satisfy user needs, although performance guidelines and
standards to meet official requirements are often informal.
Depending on the vessel's flag and the trade in which it is engaged, it might
be piloted by an individual holding a state license, a federal pilot's license, or a
federal pilot's endorsement to a master or mate's license. In each of these situa-
tions, the pilot is subject to different qualifications and to either federal or state
authorities. For some intraport movements, there is no official pilotage require-
ment for foreign trade vessels, although the Coast Guard has proposed rules to
begin closing these pilotage gaps.
Pilotage administration in the United States needs to be improved, with the
objective of providing a consistent approach to ensuring marine safety and envi-
ronmental protection. The core of an improved system would involve:
lion;
1es;
· professional standards for all aspects of piloting and pilotage administra
· administration of standards through existing licensing/administrative bod
.
consolidation of pilotage administration at the port or regional level; and
· accreditation of local programs.
The recommendations that follow are related to features that the committee
concludes are essential for a complete pilotage system (see Appendix E). Some
of these features are already embedded in the professional development pro-
grams or approaches used by most marine pilot and docking master associations
and major U.S.-operating companies. Because the recommended systemic im-
provements are based on the strengths found in many existing port-level pilotage
systems, it is anticipated that such systems would be able to satisfy the guide-
lines and standards that are envisioned by publishing existing processes and
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MINDING THE HELM
procedures and by implementing selective improvements in features that may
not have previously received complete attention.
RECOMMENDATION 7: Nationally accepted baseline standards and
guidelines should be established without delay in the following critical areas
for state and federal pilot development, licensing, and administration, and
to enhance pilot proficiency:
.
PILOT TRAINING
Standards should be developed for training both state-licensed and federally-li-
censed pilots, including any individuals that may be authorized to act as pilots under
local, state, or federal regulations.
Professional development should be supervised by pilot instructors qualified for
this purpose. Qualification criteria or programs for pilot instructors should also be
established.
Training for decision making in emergency conditions should be a required ele-
ment of pilot training.
Programs should be developed for continuing professional development and for
periodic evaluation of all those who perform under pilot licenses, endorsements, or
other off cial credentials.
Adequate requirements for recency of service or training should be established as
prerequisites for the exercise and renewal of pilot licenses, endorsements, or other
official credentials.
.
QUALIFICATION
Standards should be developed to qualify individuals to pilot particular types of
vessels and routes.
Professional competence of prospective pilots should be determined through an
assessment program involving qualified assessors, and should be based on observed
performance as well as examinations. Qualif cation programs for pilot assessors should
also be established.
· PILOTAGE BOARDS
The provisions of state and local laws relating to pilotage boards should be re-
viewed and strengthened, if necessary, as it relates to their staffs, proceedings, composi-
tzon, and accountability.
Members of pilot boards and commissions should be appointed by and account-
able to state or local governing authorities.
Membership should be balanced, with adequate representation of state pilot groups,
vessel operators, others in the maritime industries, and the public.
Boards should meet regularly and frequently. They should have adequate staff
and other resources to administer pilotage and to conduct investigations. Their pro-
ceedings should be recorded and open, and they should publish their reports.
· INVESTIGATION OF CASUALTIES INVOLVING PILOT PERFORMANCE.
Issues of pilot performance as contributing or causal factors in marine casualties and
incidents should be investigated promptly and completely by pilot boards and other
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CONCLUSIONS AND RECOMMENDATIONS
321
responsible authorities following standards and procedures developed for this purpose
to guide individual and systemic corrective measures. Investigations should be objec-
t7ve, effective, and timely. The results should be made available in a public report. (See
also recommendation 3.J
· GAPS IN COVERAGE
Standards of coverage are needed to ensure that all ships, regardless offlag, trade,
or service, unless specifically exempted, are directed and controlled by an individual
holding a valid state-issued marine pilot's license or a Federal First Class Pilot's Li-
cense or Endorsement.
The standards should be specifically designed to fill existing gaps in state and
federal pilotage requirements to ensure that there is of ficial accountability for docking
and moonng masters and for persons who direct in-port vessel movements. (See also
recommendation 19.)
Pilotage System Development and Oversight
The following recommendations offer an approach for pilotage that the Com-
mittee on Advances in Navigation and Piloting believes would enhance safety as
well as the national-level credibility and accountability of local pilotage systems.
The objective is to establish, for each port, a consolidated pilotage system that is
subject to nationally acceptable and applicable standards and guidelines and
which satisfies federal and state marine safety interests. At the same time, the
recommendations are intended to preserve, enhance, and rely on strong local
control of port-level pilotage systems.
Under the supervisory and administrative umbrella of state authorities, pro-
fessions in the United States generally have been allowed to regulate themselves
to some degree. State regulation of pilotage for vessels in foreign trade generally
follows this model. Another characteristic of state pilotage is a large measure of
port-level control. The federal system, which has filled important needs for coast-
wise vessels, has not ensured quality control for the professional development of
federal pilots or docking masters, nor has it routinely monitored the provision of
pilotage services, leaving this aspect of federal pilotage largely self-regulated.
Port-region control is exercised by a regional Coast Guard official, but this offi-
cial has little flexibility to modify pilot qualification requirements to address
experience or skills necessitated by unique local operating conditions.
The committee reached a consensus on the need for standards of the profes-
sion, system accountability, and for a national commission to guide systemic
improvements. There are, however, alternate views on the path to implement the
national commission concept. One view is that safety performance in the marine
community is substantially better than suggested by spectacular marine acci-
dents, and that the piloting profession, leading shipping and towing companies,
and unions are already responding vigorously and positively to public calls for
improvements in the piloting performance of members and employees. This
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MINDING THE HELM
RECOMMENDATION 23: The U.S. Coast Guard should operate VTS sys-
tems where federal authorities employ these systems to govern or influence
vessel movements or maneuvering. loins federal-private operation or cost
sharing should also be considered for expanded VTS coverage, provided
that suitable arrangements can be made for exercising federal authority
where it is used in conducting VTS functions, such as in managing use of
federal anchorages. All private operation of VTS-like services should be
authorized by the Department of Transportation.
RECOMMENDATION 24: The U.S. Coast Guard should establish or au-
thorize a national training course that meets national criteria for local VTS
instructors, and an entry-level course for VTS operators, to improve the
quality and consistency of VTS systems and VTS-like operations, and to
facilitate implementation of national VTS standards.
Special Operational Considerations
Access to channels by vessels that exceed channel design parameters and
special operating criteria guiding their transit should be decided by port safety
authorities based on consideration of operational risk, in consultation with af-
fected and interested parties, marine pilots, and local advisory bodies (recom-
mendation 91. Use of marine simulation should be considered when resolving
uncertainties about the safety of such transits or for building a consensus con
. . . . .
cern~ng special operating criteria.
RECOMMENDATION 25: When operations are proposed that present sig-
nificant operational, environmental, or public health risk, they should be
analyzed objectively to ensure that they can be performed safely. Special
operational criteria should be set if needed to achieve levels of safety equiv-
alent to that of routine vessel transits. These determinations should involve
the U.S. Coast Guard, U.S. Army Corps of Engineers, and local advisory
bodies. (See recommendation 9.)
NAVIGATION AND PILOTING TECHNOLOGY
Technology, along with training programs (recommendations 4 through 6,
and recommendation 24) and organizational changes (recommendations 8
through 10, and 21 through 23), can be applied to mitigate human error and
reduce operational risk in marine navigation and piloting. Emerging electronic,
real-time positioning and charting technologies can offer several significant ben-
efits: they can add precision to navigation, improve the clarity of information
provided for decision making, allow the user additional time to consider infor
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CONCLUSIONS AND RECOMMENDATIONS
335
mation and alternatives, and may improve decision making and the safety of
navigation and piloting overall.
The emerging technologies require a shift from traditional human-intensive
methods of navigation and piloting to new approaches incorporating both human
and electronic elements, with the human assisted by the technology. However,
the full prospective benefits of the new technologies, especially ECDIS, will not
be gained in the near term unless measures are taken to:
· provide technical and operating standards for the new technologies;
.
develop organizational strategies for introducing new technology, includ-
ing user training and changes in operating practices designed to enhance the
technology's contribution to safety (see also recommendation 41; and
· update laws, regulations, and policies that are based on the use of tradi-
tional methods and older technologies as standard practice.
The introduction of new technology may result in incompatibility among
systems that combine old and new technology. Thus, the development and pro-
liferation of new technology must be handled carefully; requirements may be
warranted for modular or compatible development and retrofit of existing ves-
sels, and they may need to be addressed. Policies and procedures based on older
systems and traditional navigation and piloting practices also will need to be
modified to facilitate the introduction of new technology without compromising
the levels of safety and accountability inherent in existing practice.
The real-time, position-keeping benefits of advanced electronic navigation
systems can be obtained through near-term installation of emerging and innova-
tive electronic charting and precision navigation systems even though technical
and operating standards need to be developed and implemented, legal issues
resolved, and institutional impediments to their use removed. A concerted effort
by vessel owners and operators and strong encouragement by marine safety au-
thorities will probably be needed to accelerate the rapid introduction of advanced
navigation technologies so that experience can be gained and mariner trust and
confidence built in system capabilities through prudent use. Otherwise, it is like-
ly that the integration of new technologies into routine operations and the poten-
tial benefits they offer to improve operational safety will proceed at a less rapid
pace.
RECOMMENDATION 26: The U.S. Coast Guard should strongly encour-
age the development and updating of international technical and perfor-
mance criteria for advanced navigation systems with the objective of pro-
viding a solid foundation for the systematic introduction of advanced
navigation technologies and as a benchmark for national technical and per-
formance criteria.
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MINDING THE HELM
RECOMMENDATION 27: The U.S. Coast Guard and Maritime Adminis-
tration should continue research directed at developing technical and oper-
ating standards for new technologies. Research and development for ad-
vanced marine navigation and piloting technology should be funded to a
much greater extent than it is now. Furthermore, to obtain the maximum
return on this investment, the U.S. Coast Guard, Maritime Administration,
National Oceanic and Atmospheric Administration, and the U.S. Army
Corps of Engineers should jointly develop research and development prior-
ities based on risk assessments.
RECOMMENDATION 28: Laws and regulations addressing operational
requirements for navigation and piloting technology should be based on
performance objectives rather than equip~nent-based criteria so that effec-
tive use (and maximum benefit) of advanced navigation technologies and
innovative research and development are not inadvertently constrained. The
U.S. Coast Guard, Maritime Administration, National Oceanic and Atmo-
spheric Administration, and U.S. Army Corps of Engineers should review
existing laws, regulations, and policies to identify impediments to the devel-
opment and introduction of promising navigation and piloting technologies.
These agencies should recommend to Congress any changes to enabling leg-
islation that may be indicated, and they should modify policies and regula-
tions under their jurisdictions to the extent necessary.
RECOMMENDATION 29: The following steps should be taken to acceler-
ate the introduction of advanced navigation technologies into marine opera-
tions:
t
· The introduction of advanced technology should occur as soon as practical,
consistent with the development of a supporting infrastructure that permits its effective
use. Training should be provided concurrently with the introduction of the technology
(See also recommendation 4.)
· Owners and operators of oceangoing vessels trading to U.S. ports, U.S. coast-
wise vessels, any other vessel subject to federal or state pilotage requirements should
take the initiative to install electronic charting and precision navigation devices that
are suitable for their applications andfor navigation safety of their vessels. Owners and
operators of inland towing vessels that operate in pilot waters should make a concerted
effort to install equal or equivalent navigation devices as practical for each vessel's
conf gyration and operation.
· Mariners and pilots aboard vessels with new technologies should take the ini-
tiatzve to become familiar with these technologies and to learn how to use system capa-
bilities. These technologies should be used carefully in conjunction with traditional
navigation methods to ascertain the new technology's suitability and reliability for
application in pilotage waters.
· The U.S. Coast Guard should encourage the introduction,field evaluation, and
use of advanced navigation technologies by owners, operators, and mariners through
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CONCLUSIONS AND RECOMMENDATIONS
337
International Maritime Organization, national and local Department of Transporta-
t~on-chartered advisory committees, and other media to which the agency has access
(See also recommendation 9.J
Traditional Aids to Navigation
Mariners continue to rely heavily on traditional short-range aids to naviga-
tion, especially buoys and ranges. These traditional aids often lose their benefit
when most needed, that is, during heavy sea conditions and low visibility. Con-
tinued efforts by the Coast Guard to improve the visibility of these aids are
having positive effects, as are Coast Guard initiatives to advance the develop-
ment and use of the Differential Global Positioning System (DGPS). But little
effort is being made to develop improved voice radio communications capabili-
ties, electronic data links, or electronic ranges such as localizer beams.
Navigational information needs are not satisfied by existing waterways man-
agement systems, including VTS systems. The reasons include inefficient com-
munications and the uncertainty of VTS users about VTS operator capabilities,
especially where operators lack merchant marine or pilot licenses and provide
maneuvering guidance. To meet information needs, locally operated navigation
systems will appear in some locations that will likely include the use of interac-
tive, portable communications, navigation, and surveillance systems (PCNS).
When mature, these systems have the potential to provide essential information
on navigation and instantaneous position data for direct interpretation by marine
pilots regardless of the equipment installed aboard a vessel, with or without
secondary safety oversight by shore-based personnel.
RECOMMENDATION 30: The U.S. Coast Guard should maintain, and
when appropriate, enhance existing short-range aids to navigation that will
support evolving technologies as well as traditional navigation technologies.
In particular, the U.S. Coast Guard should continue efforts to improve visi-
bility and electronic acquisition of buoys during adverse sea and weather
conditions. The U.S. Coast Guard should also examine the feasibility of
electronic ranges and distance-measuring equipment for specialized local
use, which could be in the form of a local Differential Global Positioning
System.
Navigation Systems
The Differential Global Positioning System (DGPS), when combined with
ECDIS and when fully operational, will provide a substantial technological ca-
pability for enhancing operational safety. Such a system will provide nearly
instantaneous, accurate positioning information; steering guidance; and automat-
ic hazard warnings. This technology has the potential to provide a more accurate
and reliable automatic radar plotting aid function if it is integrated into periodic
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MINDING THE HELM
broadcasts (automated dependent surveillance) of individual vessel position and
velocity.
An electronic charting system is the central feature of emerging onboard
navigation systems. The effective use of electronic charting systems for real-
time precision navigation depends on the completion and proper operation of
DGPS. Completion of DGPS and development of a long-term commitment to
maintain and operate it are critical to obtaining the potential benefits. Immediate
and long-term measures must be taken by the Department of Defense and the
Department of Transportation (through the Coast Guard) to achieve this objec-
tive.
Electronic charting systems, consisting of at least an electronic chart and
real-time position data, and which meet legal requirements for navigation, will
be the next type of navigation technology that has the potential to achieve uni-
versal commercial use, following the example of radar and very high frequency
radio. The capability to obtain instantaneous precision positioning information
and display it on an electronic chart without loss of geographic detail due to
weather and sea conditions, will constitute a great advance in navigation systems
and will significantly improve navigational safety.
RECOMMENDATION 31: The Department of Defense should fully estab-
lish the Global Positioning System at the earliest opportunity, and the De-
partment of Transportation, through the U.S. Coast Guard, should acceler-
ate establishment of Differential Global Positioning System for marine
navigation in U.S. navigable waters and the seaward approaches. The De-
partment of Defense and the Department of Transportation should develop
a plan and make a long-term commitment for the continued maintenance
and operation of these systems.
Modern hydrographic data coverage is inadequate for much of the nation's
coastal waters. Mariners are notified of critical corrections to charts through
weekly Coast Guard publications; required changes to charts aboard ship are
done manually, if at all. New editions of charts with these corrections are not
published by the National Oceanic and Atmospheric Administration until a sub-
stantial number of critical corrections are accumulated. Publication of updated
charts is constrained by a substantial backlog of reported but unsubstantiated
discrepancies, and there are no operational risk analyses to guide prioritization
of discrepancy correction. The result is chart data that are substantially less
precise than what is technologically achievable. Legal issues concerning the
electronic charting data and the legal standing of electronic charting systems are
unresolved.
RECOMMENDATION 32: The National Ocean Survey of the National Oce-
anic and Atmospheric Administration should conduct modern and updated
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CONCLUSIONS AND RECOMMENDATIONS
339
surveys of all U.S. ports, waterways, and port approaches. Specifically, the
Department of Commerce should obtain and allocate the necessary resourc-
es to assure the timely collection of hydrographic data that are essential to
enhancing the effectiveness of passage planning and the safety of vessel op-
erations.
RECOMMENDATION 33: The National Oceanic and Atmospheric Admin-
istration should accelerate digitization of hydrographic and topographic
data essential for producing nautical charts electronically. The agency also
should lead an effort to resolve the legal status of electronic charts, includ-
ing those provided by other vendors using agency-digitized hydrographic
data. The Department of Commerce should obtain and allocate the neces-
sary resources to facilitate the introduction and use of electronic charting
systems.
The integrated bridge concept may have potential to reduce operational risk
through the consolidation of navigation, steering, planning, and communications
functions at one workstation (as is done in aviation). Effective and reliable use of
integrated bridge systems (IBS) has been demonstrated under very select condi-
tions on set routes where repeat transits are frequent and piloting is accom-
plished by permanently assigned mariners with expert piloting skills. These sys-
tems have not yet been proven effective for universal use in piloting although
locally specific successes have been reported. Pilot uncertainty about the maneu-
vering behavior of unfamiliar ships and the pilot's general lack of familiarity
with integrated bridge technology means that vessel- and route-specific valida-
tion will be necessary to establish IBS reliability for even regular routes. How an
independent marine pilot would interact with IBS is not certain; full use of
system capabilities seems to require either integration of independent marine
pilots into the bridge team, a nontraditional role, or redefined working relation-
ships between the pilot and the individual operating the IBS. Physical data rele-
vant to maneuvering that are needed to support decision aids in integrated sys-
tems are limited. Real-time tide, current, and weather information is not available
except in very select locations. Tide and current prediction tables, often derived
from surveys conducted decades ago, need to be updated in the near term.
The integrated ship control system (ISCS) may provide a means to reduce
crew size and reduce human error in the performance of some navigational tasks.
Piloting expert systems and other decision aids may be needed to enhance or
facilitate operator use of automated systems. As hands-on experience is reduced
through automation, additional professional training may be required to prepare
vessel operators to determine when integrated systems are not performing within
tolerances and to build skills for taking corrective action. While ISCS may be
satisfactory for at-sea operations, reduction of bridge team size because of ISCS
installation would reduce the onboard resources for traditional navigation meth
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oafs, including hand steering. These traditional methods may be needed at times,
especially during operating conditions for which use of rudder angles to control
the vessel is more effective than for steering courses.
Because it is difficult to obtain international standardization of navigation
and communications systems, local electronic navigation systems may be need-
ed to extend the benefit of DGPS positioning accuracy to the piloting of all ships
in U.S. waters. A PCNS system may be needed for use aboard unequipped ves-
sels that are required to have this capability. The PCNS also might be used as a
primary navigational aid in lieu of, or to supplement, ship's equipment. For
implementation of such a system as well as installed electronic charting systems
· DGPS coverage will need to be fully operational;
· electronic chart data bases will be needed for waters where portable sys-
tems are used;
.
and
chart updating and electronic chart correction capabilities will be needed;
· the legal status of electronic charts will need to be resolved.
RECOMMENDATION 34: The U.S. Coast Guard and the Maritime Ad-
ministration should leverage earlier and existing research and should em-
pirically evaluate the impact of advanced electronic positioning systems,
automated steering systems, and integrated bridge and ship-control systems
(including artificial intelligence and neural networks) on:
· the safety of piloting and navigation;
.
the future;
the future.
the practice of piloting, particularly by ship's pilots and bridge watch teams of
· use of traditional aids to navigation; and
· organizational forms and practices that may be required for safe navigation in
RECOMMENDATION 35: The Maritime Administration and the U.S.
Coast Guard should encourage the development and enhancement of inte-
grated navigation systems (including portable and hand-held units3. The
U.S. Coast Guard, National Oceanic and Atmospheric Administration, and
the U.S. Army Corps of Engineers should examine and encourage develop-
ment of real-time environmental data systems as well as chart-updating and
correction systems.
Communications
Effective exchange of information between vessels and with shore-based
navigational support units is essential to navigation safety. Voice communica
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CONCLUSIONS AND RECOMMENDATIONS
341
lion is especially important for passing important and perishable information.
However, use of voice communication
· is inefficient for passing general navigational information;
· introduces the potential for additional human error in acquiring, screen
~ . . . . . .
sing, and interpreting navigational information;
~ can result in information overload of bridge teams and pilots;
· can interfere with onboard actions to resolve "close quarters" and "in
extremis" situations; and
· is prone to interference from unauthorized or inappropriate use.
VTS operations use voice radio communications intensively. The amount of
information transmitted to a vessel represents a shore-based operator's estimate
of that vessel's information needs. Reliance on overheard transmissions and gen-
eral traffic broadcasts to provide a complete traffic picture leaves the acquisition
of information to chance and introduces opportunities for human error. Adverse
operating conditions, which increase the use of voice radio, further stress the
capability for effective information exchange.
Electronic data links and installed or portable communications systems inte-
grated with electronic charts and DGPS positioning capabilities are feasible;
prototypes are being introduced in marine navigation. Although not mature tech-
nologies, these systems can potentially be used to provide substantially more
data instantaneously to bridge teams and pilots than is now possible; moreover,
it will be in a form that permits onboard interpretation. There are no technical or
operating standards for marine data transmission systems, and changes to operat-
ing practices would necessitate special training in system use (see recommenda-
tion 43. The utility of electronic systems for information transfer and interpreta-
tion has not been demonstrated in maneuvering situations that require the pilot's
constant attention or where br~dge-team support is minimal.
Improvements are needed in communications to enhance essenha1 voice
communications and to provide a more efficient and effective means for dissem-
inating essential operational information.
RECOMMENDATION 36: The U.S. Coast Guard, in coordination with the
Maritime Administration, the Federal Communications Commission, Na-
tional Oceanic and Atmospheric Administration, Army Corps of Engineers,
and the Radio Technical Commission for Maritime Services, should assess
electronic data links as a primary means for transmitting and receiving
information needed for safe and efficient navigation and piloting of com-
mercial vessels. In particular, measures to reduce dependency on voice ra-
dio communications in VTS operations should be assessed. The U.S. Coast
Guard and Federal Communications Commission should also investigate
and assess alleged unauthorized use of bridge-to-bridge voice radio frequen-
cies and take such enforcement action as may be indicated.
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MARINE NAVIGATION AND PILOTING RESEARCH NEEDS
The extensive and rapid changes occurring in ship and navigation technolo-
gies, manning and operating practices, and the nation's status as a port state and
flag state, have created substantial uncertainties about the performance of virtu-
ally all marine transportation systems. The limited research literature that is
available focuses primarily on ships and technology. Coast Guard-sponsored
research and development programs supporting the application of advanced elec-
tronic navigation aids, while not addressing all application issues, are generally
keeping pace with the development of these technologies.
Past recommendations to improve safety data have had little effect except to
motivate Coast Guard efforts to make its existing marine data bases compatible
and to improve data collection on human systems. Available research on human
systems and safety performance is often based on data that were not designed to
answer questions about human performance. Also, the pioneering work in hu-
man systems sponsored by the Mantime Administration and the Coast Guard has
become dated, because of the absence of dedicated, continuing research to iden-
tify trends and assess their effects and implications. These problems have coin-
cided with the privatization of operations at the Mantime Administration's Com-
puter Aided Operations Research Facility, a change in the facility's focus from
fundamental to applied research and training, the closing of the National Man-
time Research Center, and severe reductions in the Mantime Administration's
research funds. Organizational research pertaining to marine transportation is
virtually nonexistent. The Coast Guard's establishment of a human systems re-
search staff is an important step in addressing the human dimension in marine
accidents.
Marine safety and economic efficiency would benefit from the program of
dedicated fundamental research identified in Chapter 8. Research needs are sub-
stantial and cross the missions of the Coast Guard, Mantime Administration,
National Oceanic and Atmosphenc Administration, Army Corps of Engineers,
and the National Transportation Safety Board. Therefore, a comprehensive co-
operative research program is indicated. The Department of Transportation is an
appropriate choice to coordinate the cooperative research program in marine
transportation.
RECOMMENDATION 37: The Department of Transportation, in consul-
tation with the Department of Commerce and the Department of the Army,
should establish a comprehensive, cooperative research program focusing
on navigation safety and piloting. The program should be led by a Depart-
ment of Transportation agency designated by the Secretary of Transporta-
tion and should include participation by the U.S. Coast Guard, Maritime
Administration, National Oceanic and Atmospheric Administration, U.S.
Army Corps of Engineers, and National Transportation Safety Board. The
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CONCLUSIONS AND RECOMMENDATIONS
343
program should be designed to address the existing, substantial research
needs in marine-systems safety, waterways management, navigation and pi-
loting technology, port-state versus flag-state policy, navigation and piloting
practices, and human systems. Research sponsored by the Department of
Defense, especially the U.S. Navy, should be examined for relevance; insofar
as practical, lessons from this research should be leveraged into the Depart-
ment of Transportation cooperative research program. Research needs
should be prioritized in each area according to their prospective contribu-
tion to marine safety and economic efficiency. Congress should authorize
the research program and appropriate funding for its execution.
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Representative terms from entire chapter:
professional development
