International Journal

on Marine Navigation

and Safety of Sea Transportation

Volume 6

Number 1

March 2012

1 INTRODUCTION

In comparison with other modes, shipping is the

most economical means of transportation and over

90% of world’s trade is being routed through ships.

Ships use various oils in their machineries and also

transport oils. This gives scope for oil pollution of

the oceans. Controlling pollution lies in the compe-

tency of the professionals operating the ships. Train-

ing provides the skills and knowledge to carry out

the ship operations efficiently.

The STCW regulates the maritime training in

substance as also in conduct of pre-sea training,

post-sea training and assessment of competencies.

The aspects of environmental pollution by oil, chem-

icals, garbage, sewage, emissions et al., are ad-

dressed in these standards. MARPOL (Marpol

73/78) lays down regulations for constructional and

operational aspects with regards to environmental

protection. Various bodies like Port State Control

etc. ensure compliance of the regulations. Non com-

pliance will result in various control measures. To-

wards the later half of the last century, regulations

and control measures have become stricter, especial-

ly on the environmental front.

Because of these stern measures, oil spills have

reduced significantly as shown in Table 1. In the re-

cent years, violations on these types of oil pollutions

have resulted in heavy monetary fines and incarcera-

tion punishments, often leading to criminalisation of

Human Factors as Causes for Shipboard Oil

Pollution Violations

A.H. Saharuddin & A. Osnin

Faculty of Maritime Studies and Marine Science, Universiti Malaysia Terengganu

R. Balaji

Akademi Laut Malaysia (ALAM)

ABSTRACT: Shipping is a crucial transportation mode for world trade. Operation of ships has become a spe-

cialisation. Maritime training addresses the needs and in doing so is heavily regulated. STCW lays down the

requirements for such training and all training patterns in the world follow these. An important aspect of the

training is the environmental factor. Ships use and carry large quantities of oils. This increases the potential

for pollution. The laws and penalties on this front have increased and become stricter. This has decreased the

operational pollution yet, there are violations occurring. The natures of violations are not only physical but al-

so in documentation such as falsification of Oil Record Book entries etc.

A study was undertaken to understand the effect of factors such as training, experience, attitude and fatigue on

the oil pollution violations. The adequacy and effectiveness of current maritime training has been verified

with reference to STCW and the recommended Lesson Plans of the IMO. Training apart, hypotheses on other

human factors have been framed and tested by statistical methods. In this paper the human factors of experi-

ence, attitude and fatigue are projected and the results are discussed. The various statistical methods such as

ANOVA, Chi-square and correlation analyses have been applied as appropriate to the nature of the data ob-

tained from the survey results. The survey conducted amongst seafaring officers formed the basis for the hy-

potheses and the tests.

Whereas training is found to be adequate, attitude and fatigue are shown to be the primary factors affecting oil

pollution violations. Negligent attitude appears to diminish with increased experience but good attitude to-

wards pollution prevention practices remain irrespective of the variation in experience or training. The factor

of fatigue has a mention in many studies and the study validates the same. The concerns on this front are

highlighted and recommendations for further probing into attitude-behaviour and fatigue are suggested.

Mind-set behaviour training at management levels and pro-activeness of companies in overcoming some rea-

sons for fatigue such as long working hours etc. are suggested. It is observed that attitude and fatigue could be

the main causal factors which are resulting in pollution violations.

the seafarer. Defences to liability are limited, as

proof of the offence does not require evidence of in-

tent or negligence (Hebden, 1995). A trend of crimi-

nalising pollution violations can be seen from the in-

crease in the number of environmental laws like the

recent European Union directive on pollution viola-

tions.

Table 1: Reduction in Oil spills (Global Scenario)

(Source: International Tanker Owners Pollution Federation

Ltd., 2006)

In spite of these measures, pollution violations

continue to occur. BIMCO (Baltic International

Maritime Council) conducted a study (2006) and

Table 2 displays the number of analysed cases where

sanctions were taken against the seafarers for pollu-

tion violations, after a deliberate act or negligence

had been admitted or proven in court. The noticeable

feature of the report is that all of them were oil pol-

lution related offences.

Table 2: Pollution related violations; Findings in cases

(Source: BIMCO Report, March 2006)

___________________________________________________

Pre-2000 2000 2001 02 03 04 05

___________________________________________________

Malta 1

France (1)

Greece 1

Singapore 1

USA (25) 1 2 4 5 5 8

Total (29) 1 3 4 6 5 10

___________________________________________________

Note: In the French case, though the Master was fined, “it is

unclear whether or not there was an intent to break the law or if

negligence was involved”

Training of the officers imparts the knowledge of

regulations and the serious consequences of viola-

tions. In a grosser sense, the shipboard officer is giv-

en the responsibility of shipboard functions having

an environmental impact. He is termed as a “public

interest” officer (Hendrik, 2006) and therefore it is

recognised as a social responsibility not to violate.

Yet the incidence of violations indicates that there

could be other reasons for pollution violations being

committed by the officer. The Paper has highlighted

the results of a study undertaken under this perspec-

tive.

2 LITERATURE REVIEW

The classic Theory of reasoned action (Fishbein &

Ajzen, 1975) is based on the premise that intention

of a person predicts and influences the attitude of a

person. Attitude towards behaviour and subjective

norms are what could influence the intention itself.

Attitude towards behaviour is based on what people

think about the outcomes of their decision. Subjec-

tive norms are what people believe as acceptable be-

haviour or otherwise.

Oil pollution acts and falsification may be as-

sumed as the intended actions (attitude-behaviour).

A serious outcome will be the penalisation. With re-

gard to norms, it is unacceptable. Based on the theo-

ry, the outcome and the norms have to be considered

before any action. The action would constitute the

attitude-behaviour. The most important aspect is that

the seafarer must be aware of this. Awareness comes

from the knowledge. Knowledge in a profession is

gained from training and experience.

A traditional assumption in this regard is that in-

creases in knowledge (knowledge quantum) are as-

sociated with greater influence of attitudes on behav-

iour (Fabrigar et al, 2006). A study, using an open-

ended knowledge listing task, assessed attitudes to-

ward protecting the environment. The study found

that attitudes based on high amounts of knowledge

were more predictive of environment-related behav-

iour than were attitudes based on low amounts of

knowledge. It was also established with their exper-

iments that attitudes predicted behaviour, regardless

of complexity. Simply put, it may be assumed that

knowledge affected the attitude of a person’s profes-

sion related actions.

In an argumentative sense, with better knowledge

it can be expected that a person will exhibit a better

attitude while discharging his duties. Traditional

knowledge dissemination formats are curriculum

based training and on-the-job training. Development

of operational practices is the outcome of such train-

ing. For example, if it is known that oil pollution

causes harm to environment and also the person, it

will lead to a concerned attitude and the work prac-

tices will follow suit. On the other hand, a person

may still commit the violation being fully aware of

the knowledge. This may be presumed to be the neg-

ligent attitude. In reference to context, it may be said

that attitude-behaviour towards pollution prevention,

therefore, might have a relationship with knowledge

(training and experience). The comparative approach

of the study is then justified.

Additionally, some deliberations on maritime ed-

ucation and training are also reviewed to substantiate

the orientation of the study and its composition.

Feelings and beliefs of the learner are two compo-

nents of attitude identified in discussing concepts of

learning. It is observed that the learner feels anxious

about things he cannot do and confident about things

which are achieved (Baillie, 1997). It is further ob-

served that attitudes are closely associated with per-

sonal experiences. Knowledge, attitude and experi-

ence have a determining effect on behaviour of a

person in an ambience where professional skills are

put into use.

Further, a P&I Club report (UK P & I Club,

2005) on manning clearly identifies the human fac-

tors affecting the performance of the ship’s staff. An

analysis of the claims in Figure 1 indicates that hu-

man errors have been the causes for almost 42% of

the claims.

Figure 1: Main Causes of Major P&I Claims

The Report also identifies the factors which are

listed in Table 3. Morale, motivation, loyalty, condi-

tions of service and management policies can affect

the attitude. It is perceived that fatigue, training and

experience will have a greater influence on attitude-

behaviour resulting in violations. Training may be

assumed to be equal to all the officers but the inten-

sity and effect will require verification. On the other

hand, training itself can affect attitude.

Table 3: Human Factors Affecting Performance of Ship’s Staff

___________________________________________________

Factors Remarks

___________________________________________________

Fatigue Long working hours etc.,

Morale

Motivation

Loyalty

Training Adequacy or intensity of training

lacking

Language Multinational crew

Conditions of service

Experience Lack of work exposure

Standards of Certification STCW

Environment Multi-cultural ambience

Management Policies Companies’ pro-activeness

___________________________________________________

The factor of motivation could affect the attitude

towards work practices. In an analysis of human fac-

tors affecting the performance of OWS (Oily Water

Separators), Hendrik (2006) makes some relevant

observations. It is observed that OWS and associated

systems exist for the benefit of the public rather than

for the owners and the crew. From the human factors

point of view, these systems are not automatically

functional and additional motivational procedures

are required. Two motivational procedures are men-

tioned, one, the threat of random and severe penal-

ties and secondly, the incentives for whistle blowers

(Hendrik, 2006). In analysing the root causes for

non-compliance with pollution procedures, it is ob-

served that behavioural causes contribute (Kumar &

Loney, 2008). The most significant predictor was the

‘expectation’ that a procedure or a regulation must

be violated because of the combined reasons of time

pressure, no alternative methods and poorly con-

structed procedures. The other predictors are a feel-

ing of control, opportunity for short cut and faulty

planning. The study focussed with the assumption

that these factors of training, attitude, experience and

fatigue have affecting relationships with oil pollu-

tion violations.

The factor of training was given an exclusive

treatment in the study such that the other factors

were tested with relevance to training. This paper

focuses on these factors alone with temporal shifts

on the factor of training.

3 FRAMEWORK OF THE STUDY AND

METHODOLOGY

The conceptual framework was shaped with two ap-

proaches as shown in Figure 2. The next step was to

find if any relationship exists between training, the

other human factors and oil pollution violations. Ad-

equacy of training was checked first and then the ex-

amination of relationships between the human fac-

tors followed. The study relied on data obtained

from a survey conducted amongst shipboard offic-

ers. The composition of the sample population was

largely Malaysian but a section of Indian officers

were included for better representation of the global

officers. While a miniscule percentage comprised of

other nationalities, in total, 522 officers were sur-

veyed. The officer sample contained engineers pre-

dominantly as the scope for oil pollution was greater

with the engineers.

Figure 2: Skeletal Framework of the Study

Table 4. Training: Measurement Methodology

__________________________________________________________________________________________________________

Independent Variable Measurement Methodology Criteria Tested Hypotheses Decision adequate

__________________________________________________________________________________________________________

1.Learning content: Syllabus. Content analysis of STCW’95, Content & training Adequacy of Training

IMO Lesson Plans & STCW’95 IMO Lesson Plans, training hours = or > prescribed Training

requirements hours & Syllabi

2. Analyses based on test scores ANOVA If Sig.F < 0.05 H

& H

Since

for groups with varying amount then Reject H

Sig.F > 0.05

of training exposure (Awareness) then Accept H

3. Analyses based on acceptance ANOVA If Sig.F < 0.05 H

& H

Since

and non- acceptance to violations then Reject H

Sig.F > 0.05

for groups with varying amount of then Accept H

training exposure (Attitude)

4. Analyses based on acceptance CHI SQUARE If Sig.Ψ

< 0.05 H

& H

Since

to involvements in pollution then Reject H

Sig.Ψ

> 0.05

violations for groups with varying then Accept H

amount of training exposure

__________________________________________________________________________________________________________

Table 5: Human Factors: Measurement Methodology

__________________________________________________________________________________________________________

Independent Variable Measurement Methodology Criteria Tested Hypotheses Decision adequate

__________________________________________________________________________________________________________

1. Analyses based on test scores ANOVA If Sig.F < 0.05 H

& H

Since

for groups with varying amount then Reject H

Sig.F > 0.05

of experience (Awareness) then Accept H

2. Analysis based on acceptance ANOVA If Sig.F < 0.05 H

& H

Since

and non-acceptance to violations then Reject H

Sig.F > 0.05

for groups with varying amount then Accept H

of experience (Attitude)

3. Analyses based on correlation Correlation Analysis If Spearman’s H

& H

Since

between citing fatigue as a reason Coefficient, Spearman’s

to acceptance and non-acceptance ρ < 0.05, Coefficient ρ>0.05

for violations then Reject H

then Accept H

__________________________________________________________________________________________________________

Table 6: Summary of Results-Hypotheses

__________________________________________________________________________________________________________

Hypotheses Result

__________________________________________________________________________________________________________

Training could be inadequate Training is adequate

__________________________________________________________________________________________________________

: There is no significant difference in levels of oil pollution prevention awareness between officers Accept H

with varied hours of training

: There is significant difference in levels of oil pollution prevention awareness between officers with

varied hours of training

: There is no significant difference in attitude towards pollution prevention practices between officers Reject H

with varied hours of training

: There is significant difference in attitude towards pollution prevention practices between officers with

varied hours of training

: There is no significant relationship between number of hours of training and involvement in oil pollution Accept H

violation incidents

: There is significant relationship between number of hours of training and involvement in oil pollution

violation incidents

: There is no significant difference in levels of oil pollution prevention awareness between officers Reject H

with varied years of experience

: There is significant difference in levels of oil pollution prevention awareness between officers with

varied years of experience

: There is no significant difference in attitude towards pollution prevention practices between officers with Reject H

varied years of experience

: There is significant difference in attitude towards pollution prevention practices between officers with

varied years of experience

: There is no significant relationship between fatigue and pollution prevention practices Reject H

: There is significant relationship between fatigue and pollution prevention practices

__________________________________________________________________________________________________________

Six hypotheses were framed of which, 5 were

based on the human factors of attitude, experience

and fatigue. The adequacy of training was checked

by content analysis of maritime training (engineer-

ing stream) syllabi with reference to STCW (Stand-

ards of Training, Certification and Watchkeeping)

and IMO Lesson Plans. The statistical tests were

chosen according to the nature of the data and the

type of hypothesis. Appropriate criteria were estab-

lished for acceptance or rejection of the hypotheses.

The tests and criteria for validating the assumptions

of the study are projected in Table 4 and Table 5.

Further inputs were obtained from trainers attached

to maritime institutes.

4 RESULTS AND DISCUSSION

The content analysis of the training syllabi and IMO

Lesson Plans showed no apparent lack of training.

The quantitative training appears to be sufficient

with 17 hours, which is well above the 15 hours in-

dicated in the IMO Lesson Plans in the post-sea sce-

nario. The hours of exposure to training on pollution

get enhanced if pre-sea quantum and the modular

courses were also considered. The other hypotheses

were verified by statistical tests, the results of which

are summarised in Table 6.

Tests of bad (negligent) attitude and good attitude

were conducted. While a deviation from normal, le-

gal oil pollution prevention practice was considered

as a bad attitude, conformance to rules was consid-

ered as good attitude. The sample population was

divided into 5 groups based on the levels of training

exposure and it was assumed that attitude differed

with the training exposure. Based on the ANOVA,

the next hypothesis, H

is rejected with Sig. levels

being equal (0.05). Also, the post-hoc tests indicate a

decline of test scores for bad attitude with an in-

crease in number of training hours. However, tests

on good attitude showed no difference

(Sig.0.611>0.05) and post-hoc tests showed no vari-

ation in average scores. It may be well assumed that

existent good attitude does not enhance or diminish

with increase in training hours. Good attitude is

prevalent irrespective of the amount of training,

while bad attitude reduces with increased amount of

training. A parallel may be drawn with the attitude-

behaviour patterns being affected by knowledge

(Fabrigar et al, 2006). Increase in knowledge (train-

ing) does influence the attitude-behaviour.

The next hypothesis to be tested was to see if

training made a difference to the officers’ involve-

ment in pollution incidents. A similar test was done

for the human factor of experience assuming that in-

creased experience will reduce involvement. Assum-

ing increased training would mean increased experi-

ence, the involvements were tested with groups with

varying experience. With Sig. Ψ

= 1.00 > 0.05, it is

seen that increase in experience does not affect

(bring down) pollution violations. Though this vali-

dates the acceptance of H

where training was the

factor, the relationship with experience was not test-

ed by framing a hypothesis. It was seen that a hy-

pothesis relating experience and involvements might

fall into Type I error (Rejection of the Null when

True). This is because an inference showing that in-

creased experience increases number of violations

might not be true, as the scope for pollution viola-

tion increases with increase in experience (work pe-

riod).

The next test was on experience and awareness.

Training on pollution matters is enhanced even after

the shipboard officer reaches high ranks. An in-

crease in experience exposes the officer to increased

training hours and hence the knowledge. Officer

sample was grouped into 7 varying levels of experi-

ence and it was assumed that experience would in-

crease knowledge of pollution awareness. Results of

confirm this. With Sig. 0.576 > 0.05 but HOV

Sig. 0.013 < 0.05, H

is rejected, leading to the in-

ference that increase in experience increases aware-

ness. This outcome is not similar to that of H

O1,

where groups of varying training hours were tested

for awareness. This syllogism leads to a conclusion

that quantitative training has the same intensity to all

the officers who undergo training, whereas, with

gain in experience the quality of the training gained

(knowledge) improves.

Experience and attitude measures were tested

next. Proceeding to next hypothesis, with Sig. 0.187

> 0.05, but HOV 0.037 < 0.05, H

is rejected. The

scores for bad attitude tests show a decline with in-

crease in years of experience. Increase in experience

is seen to diminish bad attitude towards pollution

practices. Further tests of experience with good atti-

tude test scores showed no relationship (Sig.0.157 >

0.05) between them.

This is similar to the outcome of H

O2,

where in-

creased training diminished bad attitude but did not

affect good attitude. It may be inferred that increased

experience and training hours lessens the bad (negli-

gent) attitude towards pollution prevention practices

though existent good attitude does not enhance or

diminish with increased training and experience.

The last of the hypothesis, H

was tested and the

factor of fatigue showed significant relationship to-

wards pollution prevention practices at α = 0.01 it-

self. With this, H

is rejected. Here, it was assumed

that fatigue affected the shipboard operational prac-

tices particularly those pertaining to oil pollution

prevention. This is further supported by the survey

opinion shown in Figure 3, where a maximum num-

ber of respondents have identified fatigue as the ma-

jor factor causing difficulties in MARPOL (pollution

prevention) practices. Also, fatigue is the primary

factor affecting performance of shipboard staff as

identified in the P&I Report on manning (2005). The

IMO guidelines on fatigue (2001) and measures for

mitigation prevail with the assumption that fatigue is

a major factor affecting performance. The results of

the study validate the same.

Figure 3: Reasons for Facing Difficulties in MARPOL Practic-

Other tests of correlationship between experience,

awareness test scores and attitude test scores showed no

significant relationship. Amongst these tests, good atti-

tude test scores comparatively showed a higher relation-

ship with experience. But ANOVA scores were given

more credibility as ANOVA tests are statistically more

reliable for data being scalar.

5 CONCLUSION

The study recommended realistic approaches to en-

hance training by development of simulator exercis-

es, increasing case studies, upgradation of the train-

ers’ knowledge, treatment of environmental

protection as an independent subject etc. Focussing

on the other human factors, the study highlights few

issues of concern. The recommendations are appar-

ently based on the over-all results summarised in

Figure 4.

The basic factor of training may be assumed to

have been imparted effectively. Experience, on the

other hand is a factor where strategic control is not

possible. Attitude-behaviour is a major causal factor

as much is fatigue considering the oil pollution vio-

lations. In the first place, further studies in these are-

as must be undertaken. Many factors may be cited

which could be affecting attitude-behaviour and fa-

tigue. Multi-cultural ambience, long working hours,

absence of mate, extended shipboard stays, pressure

from superiors and principals etc. are a few worth a

mention. With projected shortages in ship manning,

these issues will adversely contribute to the deviant

behaviour causing pollution violations.

Figure 4: Effect of Training and Human Factors on Oil Pollu-

tion Violations

As a paradigm approach, training on mindset-

behaviour at early stages of an officer’s career (less

experience) may be included in the training formats.

Many maritime training programmes around the

globe follow regimentation systems. The systems

apart from preparing the officers for the hardships of

sea life also aim to inculcate ethical behaviour.

With regards to fatigue, the industry must find

some creative solutions. It is observed that because

of fatigue, reaction times when faced with a problem

are greater and since concentration is also affected,

the probability of an accident increases (Gonzales,

2000). Rearrangement of watch hours ensuring

proper rest periods are being tried out which differ

from the traditional four on-eight off patterns. A

Finnish study in fatigue (2008) identifies specific

factors such as sleep apnea, lack of fresh air and

time of the day in the watch-keeping schemes as

some of the factors influencing fatigue. Timely re-

lief and healthy work ambience are other issues for

123

295

152

112

129

119

181

0 50 100 150 200 250 300

No of Responses

Reasons

Marpol Difficulties-Reasons

Lack of Training

Ignorant of Laws

Ignorant of Penalties

Machinery Design

Negligence

Fatigue

Lack of Experience

Other Reasons

shipping companies to be pro-active about. In the

broader scheme of things, attitude of the shipboard

officer and the overbearing effect of fatigue might

remain as ever present issues for the industry to con-

tend with.

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