1. Introduction
Berthing risk has long been a core concern for maritime authorities, ports, shipowners, and shipping companies. With the prosperity of international trade, the number of ships has been steadily increasing, and the navigation environment of ports is becoming increasingly complex. Additionally, during the berthing process, ships may pass through aquaculture zones, fishing activity areas, and restricted waterways, further increasing the risk of collisions, groundings, reef strikes, and other accidents. This will result in casualties and property damage, and it will also have a negative impact on ports and governing authorities. Therefore, accurately assessing berthing risks is key to ensuring the safety of both ships and ports [
1].
The core of establishing a scientific evaluation model lies in constructing a reasonable evaluation index system and objectively and accurately setting the indicator weights. During the berthing process of a ship, personnel operations play a crucial role. The safety and smoothness of the berthing process are determined by the operator’s skill level, management experience, and ability to respond. Operators need to be proficient in handling ship equipment, possess extensive practical experience, and be capable of making critical decisions in various complex berthing situations. For example, decisions such as how to adjust the berthing angle and direction and when to activate the rudder and thrusters are crucial. Good decision-making skills can help the ship make timely and correct adjustments, ensuring safe berthing. In addition, the condition of the vessel also significantly affects the berthing process. The performance of the ship’s control system directly impacts its maneuverability and flexibility. A well-functioning control system can help the ship operate flexibly in complex port environments, thereby reducing berthing risks. The condition of the ship and the equipment directly influence the safety and efficiency of the berthing operation. A ship in good condition and well-maintained equipment can reduce operational risks and improve the efficiency of the berthing process [
2]. At the same time, environmental factors also have a significant impact on berthing operations. Water depth, wind, waves, and tides can affect the ship’s navigation and maneuvering, which require operators to adjust and respond according to actual conditions. Additionally, the terrain and facilities of the dock also influence berthing operations [
3]. Therefore, during the ship berthing operation, the three key factors of ‘human,’ ‘ship,’ and ‘environment’ complement and integrate with each other, collectively influencing the safety of the berthing process.
This paper conducts an in-depth analysis of these three major influencing factors, decoupling ‘human,’ ‘ship,’ and ‘environment’ for separate examination, and establishes a ship berthing risk assessment methodology based on the collaborative integration of ‘human-ship-environment’. First, an analysis is conducted from the three aspects of ‘human,’ ‘ship,’ and ‘environment’ to extract the key factors influencing berthing operations, and a ‘human-ship-environment’ integrated risk assessment index system for ship berthing is established. Second, given that some risk indicators are difficult to quantify, this paper employs a combination of the analytic hierarchy process (AHP) and fuzzy comprehensive evaluation (FCE) methods to assess ship berthing risks. The AHP method is used to determine the weights of the influencing factors, while the FCE method is applied for the final evaluation of berthing risks. Finally, the proposed method was applied to comprehensively evaluate a berthing operation involving two vessels, namely the KCS ship type and the S-175 large passenger ship type, at the Qingdao Intelligent Ship Testing Field, which validated the practicality and effectiveness of the assessment method.
2. Establishment of a Ship Berthing Risk Assessment Index System
Berthing is a crucial step in the process of docking a ship at a port or pier. It plays a vital role in ensuring the smooth operation of maritime transportation, improving port efficiency, and ensuring the safety of both personnel and ships.
During the ship berthing process, factors such as the crew’s operational skills, the ship’s own conditions, and environmental factors like wind, waves, and tides, as well as the port facilities, all significantly affect the reliability and safety of the berthing operation. These factors interact, dynamically overlap, and couple with each other, collectively influencing the entire berthing process. The crew’s operational skills play a crucial role in the safety and efficiency of berthing, while the condition of the ship’s equipment is directly related to the smooth execution of the berthing process. At the same time, environmental factors, such as weather and sea conditions, also significantly impact the safety of the berthing process. The combined effects of these factors form the main sources of risk in the berthing process, which requires precise analysis, proper management, and evaluation to ensure the safety of ship berthing.
To effectively assess and quantify the various risk factors in the ship berthing process, this paper first analyzes the three main aspects that influence berthing operations, namely “human, ship, and environment,” and establishes a comprehensive and systematic berthing risk assessment index system. This index system scientifically breaks down the human factors, ship factors, and environmental factors in the ship berthing process, allowing for a comprehensive assessment of the risk levels involved. It provides a more accurate evaluation and prediction of the potential risks and safety hazards during berthing. This system offers a scientific basis for shipping companies and port management authorities to take appropriate measures to reduce berthing risks and ensure the safety of ships and port facilities.
2.1. Human Operational Factors
“Human operational factors” refer to the impact of crew actions on the berthing process. As the main controllers of the ship, humans play a crucial role in its operation. During the ship berthing process, human operations are a key factor affecting the safety of the ship and the risk of accidents. To accurately assess the impact of human factors on the berthing process, this paper breaks down the human operational factors into several indicators, including safety operation compliance, lateral distance upon approach, berthing angle, distance to the berth, distance to other ships, braking distance, approach angle, and approach orientation.
(1) For safety operation compliance, safety operation compliance is mainly used to assess the extent to which ship operators adhere to safety management measures and operational regulations during berthing operations. By monitoring and evaluating this indicator, management can take effective measures to enhance the personnel’s safety awareness and operational compliance;
(2) For lateral distance upon approach, the lateral distance upon approach refers to the horizontal distance between the ship’s centerline and the dock when the ship is approaching the dock in parallel. During berthing operations, the lateral distance upon approach is one of the key parameters. It determines the accuracy of the ship’s final docking position and plays an important role in a berthing risk assessment;
(3) For berthing angle, the berthing angle refers to the relative angle of the ship as it finally approaches the dock or berth. This paper primarily studies the angle between the centerline of the ship’s bow and the direction of the berth during berthing;
(4) For distance to the berth, the distance to the berth refers to the safe distance that a ship should maintain from its intended berth. Throughout the entire berthing operation, understanding the real-time distance between the ship and the berth is crucial to ensuring a smooth and safe berthing process. This distance affects the potential risk of collisions and damage during berthing;
(5) For distance to other ships, the distance to other ships is a key factor in ensuring a safe berthing process. This distance refers to the space between the ship and other vessels that are already moored or operating while the ship is approaching, maneuvering, or docking at the berth. This indicator in berthing risk assessment is crucial for preventing collisions and ensuring the safety of ships, cargo, and personnel;
(6) For braking distance, the braking distance refers to the minimum distance between the ship and the berth’s edge when the ship transitions from full speed to a complete stop. Assessing the braking distance is crucial to ensuring that the ship can safely and smoothly complete the berthing operation, especially in restricted waters or crowded port environments;
(7) For approach angle, the approach angle refers to the angle at which the ship approaches the dock or berth, and it is an important consideration. A correct approach angle is crucial for ensuring the safety and efficiency of the berthing operation. This paper primarily studies the angle between the ship’s bow direction and the shoreline of the berth during berthing;
(8) For approach orientation, the approach orientation refers to the ship’s heading when approaching the berth, also known as the approach course or approach heading. A correct approach orientation is crucial for conducting a safe and efficient berthing operation, as it affects the ship’s final docking position and whether it may come into contact with the dock, other vessels, or obstacles. This paper primarily studies whether the ship’s orientation upon reaching the braking zone aligns with the planned berthing orientation [
4].
2.2. Ship Factors
“Ship factors” refer to the characteristics or conditions of the ship itself that affect the safety and risk level during the berthing process. Ship factors are a critical aspect affecting the safe navigation of vessels and require continuous attention and management to ensure the safety of the berthing process. Shipowners typically manage these factors through inspections, maintenance, and upkeep, ensuring that the vessel possesses good characteristics during berthing and reducing the risk associated with the berthing process.
This paper breaks down the ship factors into the age of the ship, the loading condition, the condition of mooring lines and mooring equipment, the condition of berthing assistance equipment, and the condition of hull structure maintenance.
(1) For age of the ship, the age of the ship can lead to wear and aging of its structure and equipment, which may increase the risk of accidents or malfunctions during berthing;
(2) For loading condition, the loading condition refers to the ship’s loading status, including but not limited to the type, quantity, and distribution of cargo, as well as the ship’s stability and stress conditions. It can affect the ship’s maneuverability, stability, draft depth, and the safety risk assessment under different loading conditions;
(3) For the condition of mooring lines and mooring equipment, the condition of mooring lines and mooring equipment is used to assess the status and reliability of the mooring lines and equipment used during the berthing process. At the same time, this indicator provides an important basis for ship management and emergency planning, ensuring reliable operations under different environmental conditions;
(4) For the condition of berthing assistance equipment, the condition of berthing assistance equipment is used to assess the completeness and functional effectiveness of the auxiliary equipment relied upon during the berthing process. By regularly assessing and improving the relevant equipment, berthing risks can be effectively reduced, and overall operational safety can be enhanced;
(5) For the condition of hull structure maintenance, the condition of hull structure maintenance refers to whether the hull remains in good condition during regular use and maintenance. The maintenance condition of the hull structure directly affects the ship’s stability, resistance to wind and waves, and overall safety. This is particularly crucial during berthing, as it impacts the ship’s ability to withstand impacts and resist external forces.
2.3. Environmental Factors
The environmental factors in berthing risk refer to the natural environment and the operational limitations of port infrastructure that affect the safety and risk level during berthing operations. For example, strong winds, severe weather, high waves, and tides affect the stability of the vessel and increase the difficulty of operations. Dock conditions, such as ship traffic and water depth, along with infrastructure and operational limitations, can also increase the difficulty of berthing under adverse environmental factors. When conducting berthing operations, ship operators need to fully understand and consider the impact of environmental factors, and promptly take appropriate countermeasures to ensure the safe berthing of the ship under complex environmental conditions. This paper systematically analyzes the key environmental factors affecting berthing operations, breaking down the environmental factors into tides, wind and waves, dock vessel traffic, navigable water width at the dock, and navigable water depth at the dock.
(1) For tides, during the berthing process, changes in tides can cause variations in water depth, thereby affecting the ship’s berthing capability and strategy. Ship operators need to choose an appropriate berthing time and water depth conditions based on the tidal situation;
(2) For wind and waves, strong winds and high waves increase the risks during ship berthing operations. They can cause the ship to lose stability, increasing the risk of collisions and groundings. Ship operators need to adjust berthing strategies and operational methods based on wind and wave conditions [
5];
(3) For dock vessel traffic, dock vessel traffic refers to the number and frequency of ships entering and leaving the port. High-density vessel traffic may lead to congestion and conflicts during the berthing process, increasing the risk of accidents. Ship operators need to schedule the appropriate berthing time based on vessel traffic conditions to ensure a safe berthing operation;
(4) For navigable water width at the dock, navigable water width at the dock refers to the width of the water area that is available for ship navigation at the port dock. During the berthing process, the ship needs sufficient space to enter and leave the berth while maintaining safe maneuverability. If the water width is insufficient, ship operators may face difficulties in maneuvering and increased risks of collisions or groundings;
(5) For navigable water depth at the dock, the navigable water depth at the dock refers to the water depth in the port dock area. The ship requires sufficient water depth to safely enter and leave the dock. If the water depth is insufficient, the ship may run aground or collide with the bottom, leading to a berthing accident. Ship operators need to be aware of the water depth conditions and ensure that the ship’s draft is suitable for the depth requirements of the dock.
Through systematic research and analysis, this paper has constructed a comprehensive “Human-Ship-Environment” synergy-based ship berthing risk assessment index system, as shown in
Figure 1.
4. Case Study
An evaluation of the actual berthing operations of two ships, namely the KCS ship type and the S-175 large passenger ship type, at the Qingdao Intelligent Ship Testing Field was conducted to verify the validity of the ship berthing risk assessment method proposed in this paper.
4.1. Test Plan
The case study involves two ships of different types. One is the KCS ship type, and the other is the S-175 large passenger ship type. The ship parameters are shown in
Table 15. The hulls are primarily made of steel and corrosion-resistant materials that are capable of withstanding complex marine environments and heavy load conditions. The ships are equipped with propulsion systems, such as propellers and rudder systems, as well as navigation systems including GPS, radar, and sonar, ensuring accurate real-time monitoring and data collection of the hull.
The experiment was conducted at the Qingdao Intelligent Ship Testing Field, selecting a berth that meets the experimental environment requirements for the berthing risk assessment test. To ensure the authenticity and reliability of the data collected during the experiment, sensors and instruments were calibrated before the test. The ship’s hull sailed from the sea towards the dock, and once it reached a distance of more than five times the ship’s length from the target berth, the ship berthing risk test commenced.
4.2. Weight Determination
The weight of the evaluation indicators is a crucial component in the assessment model. Weights reflect the relative importance of each indicator within the evaluation system, helping decision-makers better understand and utilize the evaluation results. To ensure the credibility and validity of the evaluation results, a group of 25 researchers was invited to form the evaluation team. Questionnaires were distributed to the experts, and the Delphi method was used to analyze the correlation of each indicator and calculate the weights. The first-level indicator scoring table is shown in
Table 16.
As in this case study evaluating ship berthing risks, the first-level indicators are ‘human operational factors, ship factors, and environmental factors.’ Based on the first-level indicator scoring table (
Table 16), the judgment matrix is obtained as follows:
Using Equations (5) to (7), the following results can be obtained:
= 3.0092, CI = 0.00460, RI = 0.58, and CR = 0.0079 < 0.1. Thus, the above matrix (B) passes the consistency check, and the normalized weight vector corresponding to (
= 3.0092) is (
). Similarly, using the above method, the second-level indicator weight vectors can be obtained. The ship berthing risk assessment weight table is shown in
Table 17.
4.3. Fuzzy Factor Evaluation
In the ship berthing risk assessment model, due to the involvement of subjective judgment, uncertainty in natural conditions, and complex interactive environments for the five indicators, namely ’the condition of mooring lines and mooring equipment,’ ‘the condition of berthing assistance equipment,’ ‘the condition of hull structure maintenance,’ ‘tides,’ and ‘dock vessel traffic’, it is difficult to fully characterize them with precise data. Therefore, for these five second-level fuzzy indicators, after obtaining the indicator weights using the analytic hierarchy process (AHP), the fuzzy comprehensive evaluation (FCE) method is used to evaluate the ship berthing risk. Twenty-five experts were invited to judge the membership levels of these five evaluation objects based on the corresponding evaluation indicators, and the frequencies of the levels for these five evaluation objects were obtained accordingly.
Table 18 below shows the partial fuzzy indicator comprehensive evaluation table for the KCS ship type (where (M) represents the membership level score, (W) represents the indicator weight, and (R(k)) represents the relationship between the indicator and the level. The levels are divided into three categories: high, average, and low.
Then, using Equation (22), the comprehensive evaluation value (
) is calculated.
Based on the comprehensive evaluation value (), the specific evaluation score can be obtained by referring to the evaluation score table. Similarly, a partial fuzzy indicator comprehensive evaluation can be conducted for the S-175 ship type.
4.4. Test Results
The test data from the two ships mentioned above were selected for validation. The test data collected include lateral distance upon approach, distance to berth, distance to other ships, braking distance, approach angle, and approach orientation, among other data, with other necessary data calculable. Based on the constructed membership functions and evaluation scores for each indicator, the membership degrees and evaluation scores were obtained for each indicator, completing the ship berthing risk assessment. The assessment results are shown in
Table 19.
For the KCS ship type test, the comprehensive evaluation score was 87.86, determining that the ship berthing risk is at a ‘relatively low’ risk level. For the S-175 ship type test, the comprehensive evaluation score was 89.66, also determining that the ship berthing risk is at a ‘relatively low’ risk level. The evaluation results are consistent with the findings from expert surveys and interviews.
To validate the effectiveness of the method proposed in this paper, a hypothetical experiment using a KCS-type ship is conducted. In order to form a clear contrast between the results of the hypothetical experiment and the actual experiment, the weights of each indicator in the hypothetical experiment are kept consistent with those in the aforementioned experiment. Only the experimental data for the indicators ‘safety operation compliance’ and ‘approach angle’ are modified to reflect high-risk conditions (the original data can be found in the
Supplementary Materials). After the modification, the membership levels of these two evaluation indicators are reassessed, and the frequency of the evaluation object’s level concerning these indicators, as well as the comprehensive evaluation results, are obtained accordingly. The results of the hypothetical experiment are shown in
Table 20.
Explanation: In the hypothetical experiments of KCS-Type ship, the experimental data collected for the indicators of “safe operation compliance” and “berthing angle” were modified, and the results obtained after the modification were 65 and 64.17, respectively. The risk level of “safe operation compliance” is “relatively high”, and the overall evaluation result is 79.47.
It can be observed that, in the hypothetical experiment for the KCS-type ship, the comprehensive evaluation score is 79.47, determining that the ship’s berthing risk is at a ‘moderate’ risk level, having risen by one risk level. This proves that the modifications to the ‘safety operation compliance’ and ‘approach angle’ indicators have a significant impact on the evaluation results. It also reflects that, during the process of determining the weights using the AHP method, experts have subjectively considered the ‘safety operation compliance’ and ‘approach angle’ indicators to be the most important factors influencing ship berthing. Therefore, the method proposed in this paper can objectively reflect the key factors influencing berthing risk, verifying the rationality of the ‘human-ship-environment’ integrated berthing risk evaluation indicator system. It can also reflect the risk level of the berthing process based on actual data from the operation, contributing to reducing berthing risks and improving safety for port and ship managers.
5. Conclusions
This paper thoroughly discusses the three key factors influencing ship berthing, namely human, ship, and environment. Through the study and analysis of these factors, a berthing risk assessment system based on the ‘Human-Ship-Environment’ synergy was established. First, through the decoupled analysis of human, ship, and environmental factors, key berthing influence factors were identified, and a ‘Human-Ship-Environment’ synergy-based ship berthing risk assessment index system was established.
Second, the analytic hierarchy process (AHP) and fuzzy comprehensive evaluation (FCE) were combined to assess ship berthing risks, addressing the issues of ambiguity and uncertainty in the evaluation of various indicators. Finally, an evaluation experiment was conducted on a berthing operation involving two ships, namely a KCS-type ship and an S-175 large passenger ship, at the Qingdao Intelligent Ship Testing Field. A comparison was also made with the hypothetical experiment for the KCS-type ship, verifying the rationality of the ship berthing risk evaluation method proposed in this paper.
The research results indicate that human operational factors and their second-level indicators, namely ‘berthing angle’ and ‘safety operation compliance,’ have a relatively large weight. These should be prioritized during actual operations to reduce ship berthing risks.