Risk influencing factors analysis of Arctic maritime transportation systems: a Chinese perspective

Recently, the melting of Arctic sea ice and development of maritime technology are enabling the regular voyages in Arctic waters. However, the Arctic maritime transportation system (AMTS) is a complex and dynamic system with respect to human, technical, environmental and organizational issues. For example, ships operating in Arctic waters suffer severe weather conditions, fully and partially ice-covered waters, and are also difficult to search and rescue in ice-covered Arctic waters due to remoteness from lands. These risk factors will influence the safety and security of ships operating in Arctic waters. For this, this paper identifies potential risk influencing factors (RIFs) for the AMTS from human, technical (ship), environmental and organizational aspects. An analytical hierarchy process (AHP) method is used to analyze the hierarchical relationships and calculate the relative importance of the selected RIFs. Due to the complexity and uncertainty involved in the comprehensive analysis of RIFs for the AMTS, fuzzy sets are incorporated into AHP analysis to represent and treat the epistemic uncertainty. The identified critical RIFs in this study can be used to propose specific guidance for the operations of crews on board, ship owners, and ship managers.     

A fuzzy failure mode and effects approach to analyse concentrated inspection campaigns on board ships

ABSTRACT

Maritime actions against substandard operations of ships are a great deal of memorandum of understanding (MoUs) under regional basis agreements among port state control (PSC) organisations. Herein, concentrated inspection campaigns (CIC), performed by the different members of MoUs in certain periods, are a monitoring strategy to effectively control the core operational matters encountered in fire-safety systems, propulsion and auxiliary machinery system, lifesaving appliances, working conditions on board ships, etc. This paper proposes a quantified maritime safety analysis based on fuzzy failure mode and effects analysis (FMEA) to evaluate CIC database of MoUs in order to achieve advance creative solutions. Demonstration studies are performed on the special database on fire-safety system deficiencies. Since the fuzzy FMEA outcomes point out the risk prioritisation numbers and relevant control options, the paper attempts to transform CIC feedback into useful information in terms of enhancing the ship PSC inspection concept (e-PSC inspection). The paper theoretically contributes to safety analysis methods in literature while demonstration of e-PSC inspections offers an insight into maritime industry in safety improvement.     

Economic feasibility of an NSR/SCR-combined container service on the Asia-Europe lane: a new approach dynamically considering sea ice extent

The trend towards global warming and the rapid decline in the extent of summer Arctic sea ice over recent years has increased the feasibility of international Arctic shipping. In this study we propose a seasonal NSR (North Sea Route)/SCR (Suez Canal Route)-combined shipping service linking Shanghai and Rotterdam, using the Northern Sea Route during the economical navigable window but using the traditional Suez Canal Route at other times. Different from the previous literatures, this paper dynamically considers the sea ice extent in the model, which is more reasonable for the assessment of Arctic container shipping, because fuel consumption is highly related to ship speed, while ship speed is determined by the relative distances of ice-covered and ice-free route stages. A new approach is developed to predict the time points at which the ship enters and exits the ice-covered stage, given that both the ship position and the extent of sea ice are constantly changing. The results show that the NSR/SCR-combined Arctic container service can be more economical than the SCR, given lower NSR tariffs.     

Ports in Proximity – Competition and Coordination among Adjacent Seaports,edited by Theo Notteboom,Cesar Ducruet,and Peter de Langen

The summer minimum extent of Arctic sea ice shrank drastically in these years, and the opportunity on Arctic international shipping emerged. The Northern Sea Route (NSR), formerly blocked by permanent ice, was completely ice-free in September in the past 3 years. Because this route is much shorter than conventional Asia–Europe shipping lane, many maritime countries have paid attention to exploit the enormous potential of the Arctic Ocean from economical consideration. This study measured the economical advantage of the seasonal NSR by calculating the shipping cost saved.     

Shipping operations support in the “High North”: examining availability of icebreakers along the Northern Sea Route

A rather significant number of business entities already operate within (or, have considered to exploit) the Arctic region, focusing upon previously untapped resources such as precious minerals and large quantities of oil and gas; touristic and fishing activities are clearly on the rise, with various endeavors of maritime transport also being put forward. Up until recently, harsh year-long environmental conditions have significantly hindered the necessary access and transport connections in the Arctic. Even in the case that weather conditions did permit vessels’ passage, unreliable navigational aids and lack of infrastructure/support provided obstacles difficult to overcome. However, environmental data recorded during the last couple of decades clearly indicates that there is a continuous decline of ice coverage in the “High North.” Given this steady decline, the Arctic has now been viewed as a promising field for economic activities and is considered as a potential connecting corridor between Asia and Europe/America (and vice-versa). As human presence and operations are expected to intensify there, it is of utmost importance to evaluate the current level of support towards ships that will be crossing the region; capabilities in relation to search and rescue (SAR) operations and oil spill response are also important. The analysis in hand will first deliver a discussion of the so-called Arctic Passages. While various different maritime routes have been proposed in relation to the Arctic, the most promising one, the Northern Sea Route (NSR), will provide the epicenter of discussion. Through an extensive literature review that includes numerous internet resources, the current analysis will identify the numbers of icebreakers already operating in the NSR, as well as those that will be commissioned into service in the near future. The choice to research the specific type of vessels is supported by a simple argument: icebreakers currently are and will continue to be in the foreseeable future the main “tool” to support shipping activities in the Arctic. Furthermore, emergency management capabilities in the Russian Arctic will be examined to include the current state of rescue coordination centres along with the availability of SAR assets. Additionally, the efforts thus far by the Arctic Council to increase coordination and interaction among the States involved in Arctic affairs will be summarized; the latter will be achieved via a brief review of a very important legally binding agreement: the “search and rescue” instrument. In conclusion, the Russian State has already heavily invested in icebreakers’ building and their current number is fully capable to handle the present level of limited traffic. On the other hand, ships are currently faced with long distances to cross (often without adequate support) adverse environmental conditions, unpredictable hurdles, and slow response times in case of an emergency. Therefore, in case ships operating in the region are increased, it will be difficult to deal with all the additional demands for support. Of particular interest is the fact that considering the vast area of the NSR, the overall available response capabilities in the region under discussion are rather thin; any further increase of maritime traffic in the “High North” must be balanced with additional strengthening of emergency management capabilities. In any case, should the NSR become fully integrated in the global maritime transport system, Russia’s geopolitical status will be clearly improved and further research is needed to discuss the implications both at the regional and global levels.     

A quantitative risk analysis by using interval type-2 fuzzy FMEA approach: the case of oil spill

ABSTRACT

Risk assessment in maritime domain is one of the most cited topics since maritime transportation poses potential hazard for human life, marine environment and property. To mitigate risk and enhance safety awareness in maritime transportation, safety researchers have been seeking proactive solutions. This article prompts a quantitative risk-based approach combining interval type-2 fuzzy sets (IT2FSs) with failure mode and effect analysis (FMEA) to perform a comprehensive risk analysis. Thus, potential failure modes and their effects are revealed by calculating risk prioritisation numbers (RPNs). Whilst the FMEA method provides a robust risk analysing tool with relevant control options, the IT2FSs deals with ambiguity and vagueness of linguistic assessment of decision-makers through the FMEA. Hence, expert’s linguistic assessment in risk assessment can be transformed into useful information in terms of enhancing safety and pollution prevention in maritime industry. To demonstrate the proposed approach, potential failures and effects of a real shipboard oil spill case are handled. The findings show that incomplete information exchanged with local maritime authorities, malfunction of oil skimmer and poor organization of shoreline clean-up team are the most important failures during case of oil spill. The proposed approach provides not only theoretical insight into the maritime transportation industry but also practical contributions to chemical/oil tanker safety and environmental protection by mitigating risk in terms of technical or operational aspects.     

Risk assessment framework for exposure of cargo and ports to natural hazards and climate extremes

There is an increase in risks and catastrophic losses in maritime transport including ports and cargo. Significant losses have been associated with large scale natural hazards, such as earthquakes, tsunami, cyclones, and other extreme weather events. This paper identifies the main gaps in understanding maritime risks in transportation research. The gaps are attributed to insufficient empirical work available from the maritime transport and logistics research community to guide multi-risk and natural hazards impact assessment on seaport and cargo. In addition, disaster studies communities have barely made adequate efforts to understand and assess port and cargo risks arising from multi-hazards and disaster events. This paper examines existing conceptual frameworks concerning exposure and risk assessments of natural catastrophe’s impacts. Furthermore, the paper identifies trends and gaps in risk assessment frameworks in the field of disaster studies that can be beneficial for maritime risk research. The authors propose a new risk assessment framework that can guide future research and multi-hazard risk assessment processes at different scales of maritime risks.     

Risk analysis of maritime accidents along the main route of the Maritime Silk Road: a Bayesian network approach

ABSTRACT

The safety of maritime transportation along the twenty-first century Maritime Silk Road (MSR) is important to ensure its development and sustainability. Maritime transportation poses risks of accidents that can cause the death or injury of crew members and damage to ships and the environment. This paper proposes a Bayesian network (BN) based risk analysis approach that is newly applied in the main route of the MSR to analyse its relevant maritime accidents. The risk data are manually collected from the reports of the accident that occurred along the MSR. Next, the risk factors are identified and the results from the modelling method can provide useful insights for accident prevention. Historical data collected from accident reports are used to estimate the prior probabilities of the identified risk factors influencing the occurrence of maritime accidents. The results show that the main influencing factors are the type and location of an accident and the type, speed, and age of the involved ship(s). In addition, scenario analysis is conducted to analyse the risks of different ships in various navigational environments. The findings can be used to analyse the probability of each possible maritime accident along MSR and to provide useful insights for shipowners’ accident prevention.     

Arctic shipping scenarios and coastal state challenges

The Arctic Council, an intergovernmental forum of the eight Arctic states, is currently embarked on a comprehensive assessment of Arctic marine activity in the 21^st century — the Arctic Marine Shipping Assessment (AMSA). One of the challenges for theAMSA study team has been to identify the major uncertainties that will be central to shaping the future of Arctic marine use in 2020 and 2050. Using scenario planning, AMSA has identified two primary drivers and uncertainties: (A) Resources and trade; and, (B) Governance. Four scenario narratives have been developed with these two, key uncertainties as the framework elements. The main arguments focus on the fact the Arctic has experienced globalization early in the century and that the global maritime industry has already ventured into the Arctic Ocean. Marine access in the Arctic Ocean is also changing in unprecedented ways and the extraordinary transformation Arctic sea ice is undergoing — thinning, extent reduction, and a reduction in the area of multiyear ice in the central ocean — has significant implications for longer seasons of navigation. However, the high prices of global commodities such as oil, gas, and hard minerals (for example, copper, nickel and zinc) have generated high levels of demand for Arctic natural resources. The Arctic states are challenged by an overall lack of maritime infrastructure to adequately support current and future levels of Arctic marine operations; ports, communications, environmental monitoring, search & rescue, incident response, aids to navigation, and coastal charting, to name a few, require substantial and timely investment by the coastal states and marine operators. A second challenge is the ongoing development of an integrated system of rules and regulations governing Arctic navigation that will enhance marine safety and ensure marine environmental protection throughout the basin. These challenges will require historic levels of cooperation among the Arctic states and broad engagement with the many, non-Arctic stakeholders and actors within the global maritime industry.     

Old laws for new risks at sea: mineral resources, climate change, sea lanes, and cables

Maritime security in a broad sense means more than piracy and terrorism. This paper concentrates on the risk potential of current and future resource-related activities on the seabed. The seabed mining of hard mineral resources??in addition to hydrocarbons??leads to new controversial maritime boundary claims of states in their effort to expand national access rights to raw materials. Outer continental shelf claims in the Arctic Ocean are today's test bench for law of the sea conflicts. Fiber-optic cables running through regional seas, straits, and land bridges may become another risky issue, while the pattern of maritime transport routes is moving from Northern to Southern waters. Under a medium-term perspective, the sea level rise will endanger ports and coasts. Borderlines of maritime zones will move and thus generate more injustice and conflicts among states. The tools to solve borderline conflicts and options for dispute settlement are available in UNCLOS. Some other legal gaps are covered by the 2005 SUA Convention and by bilateral agreements, while resolutions by the UN Security Council begin to broaden rights of intervention and interdiction. The need for new laws remains.     

船舶机舱安全评估分析与展望

把安全评估理论应用到船舶机舱设备中,是海事界较为前沿的课题。借鉴其他行业较为成熟的安全评估模式,对当前海事界可以采用的评估模式进行了综合和比较,并指出基于风险分析的综合安全评价模式较适合对船舶机舱设备进行安全评估,最后指出了基于风险分析的综合安全评价模式所面临的问题,为其发展指明了方向。     

Effective maritime security: conceptual model and empirical evidence

In recent years, the issue of maritime security has become a major concern on the international maritime agenda. One of the issues in this respect is how to enhance security while not jeopardizing organizational efficiency and effectiveness, or to manage security effectively, e.g. facilitating the smooth flows of materials while enhancing supply chain security at the same time. In addressing this issue, we place three cornerstones for the effective management of security in maritime transport: quality management (QM), risk management (RM) and business continuity management (BCM). A conceptual model of effective maritime security, including 13 dimensions and 24 associated critical success factors, is devised following this reasoning. The model was tested through a survey of 119 maritime transport organizations and 25 interviews conducted in Vietnam. Findings support that all proposed 24 factors are valid and should be used as critical factors for success in effectively managing security in maritime transport, in that those involving security incident handling and response are rated as the most important in magnitude, along with security risk assessment, risk-based security mitigation strategies and plans, and senior management commitment and leadership. Managers can use the model designed and tested in this research to develop a checklist of essential components for their company's security management policies, strategies and plans. The use of a universal checklist to evaluate maritime security management would also greatly facilitate benchmarking across organizations in the industry.     

沪通铁路长江大桥水域通航环境综合风险评价研究

通过对影响桥梁水域通航环境的因素综合分析,构建出桥梁水域通航风险评价指标体系,以模糊理论为基础,采用层次分析法(AHP)建立了桥梁水域通航环境综合风险评价模型,并利用该方法对沪通铁路长江大桥水域通航环境进行综合风险评价。通过综合风险评价的结果,可以充分掌握沪通铁路长江大桥水域通航环境的危险程度以及各项指标因素的危险状况,为海事管理部门改善桥梁水域的通航环境及通航管理提供科学的决策依据和参考。     

The impact of the Polar Code on risk mitigation in Arctic waters: a “toolbox” for underwriters?

The existing risk weighing on vessel, crew and ecosystem in the Arctic and more globally in Polar waters promoted the adoption of the Polar Code (PC) early 2017, a mandatory international legal framework intended for enhanced safety and environmental protection. While the substance of the PC has been extensively analyzed, few studies have focused on the underlying relationships between the PC and underwriters. Based on an extensive literature review, documentary materials and interviews with insurance companies, this article conceptualizes the PC as a “toolbox” and analyzes how underwriters can exploit it in their work within the emerging Arctic market. The PC does not only regulate the navigation in Arctic waters in legal terms, but is also aimed at mitigating risks in the Polar areas through the identification of hazard sources and proceduralization of risk assessment. As a result we observe a certain “Polar Code paradox”. Even though the PC is a risk-based instrument and constitutes a key step for improving ship insurability, it has only limited capacity to assist underwriters in assessing risks and insuring vessels. Marine insurers still face a lack of data and high pending uncertainties leading them to exercise extreme caution with Arctic risks appraisal.     

Predictive power of inspection outcomes for future shipping accidents – an empirical appraisal with special attention for human factor aspects

This paper investigates whether deficiencies detected during port state control (PSC) inspections have predictive power for future accident risk, in addition to other vessel-specific risk factors like ship type, age, size, flag, and owner. The empirical analysis links accidents to past inspection outcomes and is based on data from all around the globe of PSC regimes using harmonized deficiency codes. These codes are aggregated into eight groups related to human factor aspects like crew qualifications, working and living conditions, and fatigue and safety management. This information is integrated by principal components into a single overall deficiency index, which is related to future accident risk by means of logit models. The factor by which accident risk increases for vessels with above average compared to below average deficiency scores is about 6 for total loss, 2 for very serious, 1.5 for serious, and 1.3 for less-serious accidents. Relations between deficiency scores and accident risk are presented in graphical format. The results may be of interest to PSC authorities for targeting inspection areas, to maritime administrations for improving asset allocation based on prediction scenarios connected with vessel traffic data, and to maritime insurers for refining their premium strategies.     

海事执法责任风险评估建模研究

开展海事执法责任风险评估建模研究,对降低、规避海事执法的责任风险,确保海事执法人员全面、安全履职具有重大的理论意义和现实意义。文中通过研究借鉴其他专业领域的风险控制理论,并对以往海事执法责任案例进行归纳统计,推导出计算海事执法风险的数学模型,为海事系统识别、评估、预控各项执法风险提供数理依据。     

Risk assessment of inland waterborne transportation using data mining

ABSTRACT

China has constructed a relatively complete inland waterborne transportation system. However, the frequent occurrence of inland water accidents with serious consequences, like the catastrophic Orient Star shipwreck, is an urgent unsolved problem. To reduce such accidents in the future and improve inland waterborne transportation safety, this study uses data mining, mainly containing text mining and association rule mining to risk assess China’s inland waterborne transportation, rather than the traditional quantitative risk assessment model. Text mining enables the risk factors to be objectively identified and distilled from accident reports. The potential relationships between risk variables are explored using association rule mining, based on the FP-Growth algorithm. The results reveal the essential problem facing China’s inland waterborne transportation system: frequent and varied ship accidents; key risk factors include overloading or improper loading, poor navigation visibility, inadequate sailor competence, and insufficient government supervision of shipowners and shipping companies. Combining the actual circumstances of inland waterborne transportation operations, this study proposes relevant recommendations for governments and relevant supervisory departments. The integrated application of text mining and association rule mining serves to avoid uncertainty and subjectivity, and achieve good results proving their scientific nature as a feasible method in water transportation risk research.     

考虑船位预测不确定性的船舶碰撞危险度计算方法

[目的]船舶碰撞是威胁智能船舶航行安全的主要因素。船舶碰撞危险度计算模型应及时发现船舶航行中潜在的碰撞风险,为智能船舶的自主避让决策提供依据。[方法]首先,根据船舶领域侵入程度与侵入时间等参数,分析基于领域的碰撞危险参数计算模型,将航行场景划分为单船会遇局面和本船与船舶群组的会遇局面,给出一种新的多船会遇情况下的碰撞危险参数计算模型;其次,基于维纳过程对船位预测不确定性进行建模,根据卡方分布获取船位预测不确定性椭圆;最后,给出考虑船位预测不确定性的碰撞危险参数计算方法。[结果]该计算模型能够考虑船位预测不确定性对船舶碰撞危险的影响。[结论]可以进一步保障智能船舶的海上航行安全。     

北极东北航道沿途关键海区及冰情变化研究

文中分析了东北航道沿途各海域的特点,并通过收集、整理国内外专家对北极东北航道海冰变化规律的研究成果,给出了北极东北航道关键海区及冰情变化趋势。