Committee on Maritime Advanced Information Systems

Marine Board

Commission on Engineering and Technical Systems

National Research Council

Washington, D.C.

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--> APPLYING ADVANCED INFORMATION SYSTEMS TO PORTS AND WATERWAYS MANAGEMENT Committee on Maritime Advanced Information Systems Marine Board Commission on Engineering and Technical Systems National Research Council NATIONAL ACADEMY PRESS Washington, D.C. 1999

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--> NATIONAL ACADEMY PRESS 2101 Constitution Avenue, N.W. Washington, DC 20418 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 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. 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. Kenneth I. Shine 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 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. This study was supported by Contract DTMA91-94-G-00003 between the National Academy of Sciences and the Maritime Administration of the U.S. Department of Transportation. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-06380-9 Limited copies are available from Marine Board, Commission on Engineering and Technical Systems, National Research Council, 2101 Constitution Avenue, N.W., Washington, D.C. 20418. Additional Copies are available from National Academy Press, 2101 Constitution Avenue, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, Copyright 1999 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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--> COMMITTEE ON MARITIME ADVANCED INFORMATION SYSTEMS H. THOMAS KORNEGAY (chair), Port of Houston Authority, Houston, Texas WILLIAM A. WALLACE (vice chair), Rensselaer Polytechnic Institute, Troy, New York ANNE D. AYLWARD, Volpe Center, Cambridge, Massachusetts WILLIAM O. GRAY, Gray Maritime Company, Darien, Connecticut JERROL LARRIEU, Port of New Orleans, Louisiana ROBERT G. MOORE, Coastwatch, Inc., Vashon, Washington JOHN S. NIEDERHAUSER, Puget Sound Pilots, Seattle, Washington F.D.R. POSTHUMUS, Sea-Land Service, Inc., Elizabeth, New Jersey STEVE VALERIUS, Hollywood Marine, Inc., Houston, Texas E. CAMERON WILLIAMS, Massachusetts Maritime Academy, Buzzard's Bay RUSSELL WOODILL, Council of American Master Mariners, Inc., Charleston, South Carolina Liaisons of Sponsoring Agencies WILLIAM A. BERGEN, U.S. Army Corps of Engineers, Washington, D.C. MILLINGTON LOCKWOOD, U.S. Department of Commerce, Washington, D.C. MICHAEL ONDER, U.S. Department of Transportation, Washington, D.C. JOHN PISANI, U.S. Department of Transportation, Washington, D.C. J. MICHAEL SOLLOSI, U.S. Coast Guard, Washington, D.C. Marine Board Liaison BERNHARD J. ABRAHAMSSON, independent consultant, Superior, Wisconsin Marine Board Staff PETER A. JOHNSON, director, Marine Board CARLA MOORE, administrative assistant (until July 1996) DELPHINE GLAZE, administrative assistant (July 1996 to May 1997) THERESA M. FISHER, administrative assistant (from May 1997) GARY BAHAM, consultant LAURA OST, consultant

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--> MARINE BOARD JAMES M. COLEMAN (chair), NAE, Louisiana State University, Baton Rouge JERRY A. ASPLAND (vice chair), The California Maritime Academy, Vallejo BERNHARD J. ABRAHAMSSON, consultant, Superior, Wisconsin LARRY P. ATKINSON, Old Dominion University, Norfolk, Virginia PETER F. BONTADELLI, California Department of Fish and Game, Sacramento LILLIAN C. BORRONE, NAE, Port Authority of New York and New Jersey BILIANA CICIN-SAIN, University of Delaware, Newark SYLVIA A. EARLE, Deep Ocean Exploration and Research, Oakland, California BILLY L. EDGE, Texas A&M University, College Station JOHN W. FARRINGTON, Woods Hole Oceanographic Institution, Woods Hole, Massachusetts MARTHA GRABOWSKI, LeMoyne College and Rensselaer Polytechnic Institute, Troy, New York R. KEITH MICHEL, Herbert Engineering, San Francisco, California JEROME H. MILGRAM, Massachusetts Institute of Technology, Cambridge JAMES D. MURFF, Exxon Production Research Company, Houston, Texas STEVEN T. SCALZO, Foss Maritime Company, Seattle, Washington MALCOLM L. SPAULDING, University of Rhode Island, Narragansett ROD VULOVIC, Sea-Land Service, Inc., Charlotte, North Carolina E. G. "SKIP" WARD, Texas A&M University, College Station Staff PETER A. JOHNSON, director DANA CAINES, financial associate SUSAN GARBINI, senior staff officer THERESA M. FISHER, administrative assistant DONNA HENRY, project assistant

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--> Preface Recent advances in information technology could greatly improve the safety and efficiency of the U.S. maritime industry and the daily operations of ports and waterways. Advanced maritime information systems, singly or in combination, could ameliorate many problems faced by mariners if economic and other barriers to their implementation could be overcome. Improvements are already evident in other nations that have invested heavily in ports, advanced maritime information systems, and supporting infrastructures, leaving the United States at a growing disadvantage. The Committee on Maritime Advanced Information Systems was established under the auspices of the Marine Board of the National Research Council to identify systems and their infrastructures that could promote safe and effective vessel transits through U.S. ports. In 1996, the committee released an interim report on a variety of issues related to the U.S. Coast Guard's Vessel Traffic Services Program that set the stage for studies of additional safety and waterways management systems, as well as issues related to the efficiency of maritime commerce and the movement of cargo through U.S. ports. In this final report, the committee has attempted to accomplish the following tasks: identify ways that advanced maritime information systems could ameliorate current shortfalls and maintain or improve environmental protection and waterway safety describe how those systems could minimize the costs and problems of adapting to changes in transportation and contribute to maintaining the nation's competitive position provide a vision of the future showing how advanced information management systems could enhance vessel safety and waterway efficiency After collecting a substantial amount of background information from the literature and stakeholders,1 the committee, with sponsor concurrence, decided to focus on information systems that promote navigation safety and improve vessel traffic management. Improvements in the systems offer the greatest benefits for improving U.S. port operations. The committee recognized that information systems that promote transportation efficiency are also important, but many effective systems are already in use or are under development, primarily in the private sector, to meet rigorous commercial demands for efficiency and customer service. The committee assessed these systems only insofar as they contribute to maritime safety. The committee also understands the critical role of information systems and information mapping in the context of intermodal transportation even though limitations of time and resources prevented the committee from focusing on this area. Eleven of the original 15 committee members carried out this second phase of the study. Members were selected for their scientific, technical, economic, policy, and practical expertise. Committee members include users of maritime information systems, developers of technologies and systems, specialists in information architecture, individuals with expertise in key sectors of the maritime industry, and other stakeholders in port operations. Biographies of committee members are provided in Appendix A. The committee's work was facilitated by liaisons from the sponsoring agencies and the Marine Board. The committee met eight times during the two-year period of this study. Individual committee members or subgroups visited 10 U.S. ports and several foreign ports where advanced information technology is used to enhance the movement and safety of vessel traffic and cargo handling operations. Since the publication of its interim report, the committee has held three meetings and two meetings of a subgroup, one in Charleston, South Carolina, and one in Seattle, Washington, to investigate existing information systems and identify critical needs for improvements or changes. The information collected by the subgroup and 1   In this context, a stakeholder is a person or group with a vested interest in a project, proposal, or venture.

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--> other background material are presented in the appendices to the report. The committee received substantial assistance from a number of federal, state, and local agencies, as well as from private companies. The committee would particularly like to thank the following federal liaisons for providing essential data and advice: Michael Sollosi, U.S. Coast Guard; Frederick Ganjon and Millington Lockwood, National Oceanic and Atmospheric Administration; John Pisani, Maritime Administration; and Michael Onder, U.S. Department of Transportation. In addition, the following experts made valuable presentations to the committee: Gordon Fink, ITS America; John Allen, Sealand Corp.; William Habeck, Tie Logistics, Inc.; Roger Nortillo, Maher Terminals; Brian FitzGibbon, Atlantic Tonnage Center; Timothy Huckbody, Maersk, Inc.; Capt. Richard Softe, Puget Sound Marine Exchange; Mark Walker, Microsoft, Inc.; CDR David McKenzie, U.S. Coast Guard, Puget Sound; Robert Pavia, National Oceanic and Atmospheric Administration, Seattle; Stan Norman, Washington Office of Marine Safety; Joseph Nortz, Washington State Ferries; Douglas Ward, American President Lines; and Janice Granberg, Port of Seattle. These individuals and many others contributed to the completeness and quality of this report. This report has been reviewed in draft form by individuals chosen for their diverse perspective 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. We wish to thank the following individuals for their participation in the review of this report: Bernhard J. Abrahamsson, consultant; Larry P. Atkinson, Old Dominion University; John P. Basilotto, Texas Transportation Institute; Peter F. Bontadelli, California Department of Fish and Game; Martha Grabowski, LeMoyne College and Rensselaer Polytechnic Institute; Donald G. Iselin, U.S. Navy, retired; Warren G. Leback, consultant; and James G. Wenzel, Marine Development Associates, Inc. While the individuals listed above have provided constructive comments and suggestions, it must be emphasized that responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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--> Contents     Acronyms   ix     Executive Summary   1 1   Need for Improved Navigation Information Systems   4     Barriers to Expanding Information Systems   5     Historical Perspective on U.S. Ports   6     Trends in Maritime Transportation   10     Summary   11     References   11 2   Federal, State, and Private Roles   13     Relationship Between Safety and Efficiency   13     Growing Importance of Nonfederal Stakeholders   14     Evolution of Public-Private Role Sharing   16     Need for Strong Federal Leadership   16     Summary   17     References   17 3   Enhancing Navigation Safety Information Systems   19     Waterways Management   19     Nautical Charting   20     PORTS And "PORTS Lite"   20     Automatic Identification Systems   22     New Perspective on Vessel Traffic Services Systems   23     Summary   29     References   29 4   Vision of the Future and How to Achieve It   30     The Vision   30     Realizing the Vision   31     References   33 5   Conclusions and Recommendations   34     Providing an Information Infrastructure   34     Tracking Hazardous Cargo   34     Improving Vessel Traffic Management   35     Universal Carriage Requirements   35

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-->     Appendices         ABiographies of Committee Members   39     BExcerpt From the National Dialog on Vessel Traffic Services April 1997   41     CMaritime Advanced Information Systems, Puget Sound Region   45     DMaritime Information Systems, Port of Charleston, South Carolina   49     EArrival-To-Departure Information Exchange   54 Figures and Boxes Figures 1-1   History and forecast of waterborne foreign trade through U.S. ports   7 3-1   Status of PORTS implementation (October 1998)   21 3-2   PWASS project concept-VTS system based on automatic identification system (AIS)   25 3-3   U.S. Coast Guard risk-based port selection process   27 3-4   Vessel traffic management hierarchy   27 Boxes 1-1   Nautical Charts Provide the Sole Means of "Seeing" Underwater and Dead Ahead   8 1-2   Definition of VTS   9 2-1   Tracking Hazardous Materials   14 2-2   Listening to Stakeholders   15 3-1   How AIS Works   22 3-2   Information Systems and Partners in San Francisco Bay   24

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--> Acronyms AIS automatic identification system APA American Pilots Association COPT captain of the port DGPS differential global positioning system DWT deadweight tons ECDIS electronic chart display and information system FCC Federal Communications Commission GMDSS global maritime distress and safety system GPS global positioning system IALA International Association of Lighthouse Authorities ICWM Interagency Committee on Waterways Management IMO International Maritime Organization ISM International Safety Management ITOS international tug of opportunity system LA/LB Los Angeles/Long Beach MARAD Maritime Administration NDS national distress system NIMA National Imagery and Mapping Agency NOAA National Oceanographic and Atmospheric Administration PAWSS ports and waterways safety system PORTS physical oceanographic real-time system RNA regulated navigation area TEU twenty-foot equivalent unit USACE U.S. Army Corps of Engineers USCG U.S. Coast Guard VTC vessel traffic center VTIS vessel traffic information services VTS vessel traffic services

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