CONTRIBUTION OF HUMAN FACTORS TO SHIPPING SAFETY

ARFENA DEAH LESTARI

A thesis submitted in partial fulfillment of the

requirements for the award of the degree of

Master of Mechanical Engineering (Marine Technology)

Faculty of Mechanical Engineering

Universiti Teknologi Malaysia

JANUARY 20

iii

Special dedication to my beloved mother and father ......

iv

ACKNOWLEDGEMENT

First and foremost, all praises and thanks to Allah (S.W.T) to give me

strength and ability to complete this project. A lot of works have been put in this

project until the end of this completing thesis. Without His bless, maybe I may not

have achieved what I got in this thesis.

I would like to take this opportunity to express my highest appreciation to

Prof. Dr. Ir Ab Saman b. Abd Kader and Dr. Eng Jaswar, my respectful thesis

supervisor and co supervisor to provide the best guidance, encouragement,

invaluable ideas, comment, recommendation and advice that to lead me for the

successful completion of this project.

Then i would like to thank to goverment of Riau Archipelago Province that

support my master education in UTM, especially to Mr. Fansuri that help me to

handle everything on administrative and financial.

Finally, I would like to thank to my parents, family, friends and everyone

who involved toward of success of this project. They are not only helping me but

also encourage me to complete this project.

Thank you very much. May Allah S.W.T bless you all here and the day after.

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ABSTRACT

This thesis empirically determines “Contribution of Human Factors to

Shipping Safety”. Human factors can be classified into three categories. They are

organizational factor, group factor, and individual factor Based on its classification,

questionnaire was made. Questionnaire was tested to 30 respondents who are

working at a shipping company (PT. Baruna Jaya) to determine its validity and

reliability by using Ms.Excel program. After the test is done, results shows that 17

organizational factor statements, 11 group factor statements, 12 individual factor

statements, and 10 shipping safety statements are valid with reliability value for each

variables are 0860, 0.767, 0721, and 0.8. By using its valid statements,

questionnaires distributed to 86 respondents who are working as passenger ship‟s

crew at two shipping companies (PT Baruna Jaya and PT. Lestari Indoma Bahari).

After obtained data, analysis requirements test (normality, homogeneity, linearity

and independence test between independent variables) need to be done to determine

statistical method to be used. Correlation and regression method by using SPSS

program was used to determine contribution of human factors to shipping safety,

either carried out independently between independent variable to dependent variable,

or together between three independent variables to dependent variable. Analyzed

data was found that there are 28.8% contribution of human factors to shipping safety

with correlation coefficient is 0.488. This lower contribution of human factors to the

shipping safety is one of the causes of ship accidents frequently happen in case study

area. During the last two years there were 22 cases of ship accidents. With respect to

that all parties which involve in shipping include shipping companies, ship‟s owners,

government, regulatory authorities, classification society and other parties should

take a serious concern about safety in shipping by improving on all aspect of human

factors.

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ABSTRAK

Secara empirikal tesis ini menentukan "Sumbangan faktor manusia terhadap

keselamatan perkapalan". Faktor manusia dikelaskan kepada 3 kategori iaitu faktor

organisasi, faktor kumpulan dan faktor individu. Berdasarkan pengkelasannya, soal

sedilik dibuat. Soal selidik diujikan kepada 30 responden bekerja di syarikat

perkapalan (PT. Baruna Jaya) bagi menentukan kesahihan dan kebolehpercayaan.

Selepas ujian dilakukan, keputusan menunjukkan 17 pernyataan faktor organisasi,

11 pernyataan faktor kumpulan, 12 pernyataan faktor individu, dan 10 pernyataan

keselamatan perkapalan adalah sah dan nilai kebolehpercayaan setiap pembolehubah

0860, 0,767, 0721, dan 0.8. Dengan menggunakan pernyataan yang sah itu, soal

selidik diedarkan kepada 86 responden bekerja sebagai kru kapal penumpang di dua

buah syarikat perkapalan (PT Baruna Jaya dan PT Lestari Indoma Bahari). Selepas

memperolehi data, pengujian keperluan analisis (kenormalan, kesamaan, kelinearan

dan kebebasan di antara pembolehubah bebas) dilakukan bagi menentukan kaedah

statistik yang digunakan. Kaedah korelasi dan regresi dengan program SPSS

digunakan bagi menentukan sumbangan faktor manusia kepada keselamatan

perkapalan, sama ada dijalankan secara bebas, atau bersama antara tiga

pembolehubah bebas dengan pembolehubah bersandar. Analisa data mendapati

bahawa terdapat sumbangan 28.8% faktor manusia kepada keselamatan perkapalan

dengan pekali korelasi 0,488. Sumbangan yang rendah dari faktor manusia kepada

keselamatan perkapalan ini merupakan salah satu punca kemalangan kapal kerap

berlaku di kawasan kajian kes. Dalam tempoh dua tahun lepas, 22 kes kemalangan

kapal berlaku. Berkenaan dengan itu pihak yang terlibat dalam perkapalan termasuk

syarikat perkapalan, pemilik kapal, kerajaan, pihak berkuasa, pertubuhan klasifikasi,

dan pihak lain harus mengambil kebimbangan serius mengenai keselamatan

perkapalan dengan mempertingkatkan semua aspek dari faktor manusia.

vii

TABLE OF CONTENTS

CHAPTER TITLE PAGE

TITLE PAGE i

DECLARATION ii

DEDICATION iii

ACKN OWLEDGEMENT iv

ABSTRACT v ABSTRAK vi

TABLE OF CONTENTS vii

LIST OF TABLES x

LIST OF FIGURES xii

LIST OF ABBREVIATIONS xiii

LIST OF SYMBOLS xiv

LIST OF APPENDICES xvi

1 INTRODUCTION 1

1.1 General 1

1.2 Background 1

1.3 Problem Statements 3

1.4 Objectives 4

1.5 Hypothesis 5

1.6 Scope of Study 5

1.7 Implication of Study 6

1.8 Research Methodology 6

1.9 Flow Chart 8

viii

2 LITERATURE REVIEW 9

2.1 General 9

2.2 Literature Review 9

2.3 Conclusion 14

3 RESEARCH METHODOLOGY 15

3.1 General 15

3.2 Research Design 15

3.3 Study Area 16

3.4 Population 16

3.5 Sample and Sampling Method 18

3.6 Study Instrument 19

3.6.1 Questionnaire Preparation 19

3.6.2 Measurement Scale 21

3.6.3 Questionnaire Test 21

3.7 Data Analysis Method 22

3.6.1 Analysis Requirements Test 22

3.6.2 Hypothesis Test 23

3.8 Conclusion 24

4 FUNDAMENTAL THEORY 25

4.1 Genaral 25

4.2 Human Factors 25

4.2.1 Organizational Factor 26

4.2.2 Group Factor 27

4.2.3 Individual Factor 28

4.3 Shipping Safety 29

4.4 Shipping Accidents 31

4.5 Statistical Analysis 34

4.5.1 Descriptive Statistical Method 35

4.5.1.1 Measurement of Central Tendency 35

4.5.1.2 Measurement of Variability 37

4.5.1.3 Product Moment Correlation or Pierson Correlation 38

ix

4.5.1.4 Regression Analysis 39

4.5.2 Inferential Statistical Method 39

4.6 Conclusion 40

5 RESULT AND DISCUSSION 42

5.1 General 42

5.2 Shipping Accident in Case Study Area 42

5.3 Indicators of Human Factors 45

5.4 Data Description 45

5.4.1 Organizational Factor Variable (X1) 46

5.4.2 Group Factor Variable (X2) 48

5.4.3 Individual Factor Variable (X3) 50

5.4.4 Shipping Safety Variable (Y) 52

5.5 Analysis Requirments Test 54

5.5.1 Normality Test 55

5.5.2 Homogeneity Test 56

5.5.3 Linearity Test 57

5.5.4 Independence Test Between Independent Variables 59

5.6 Hypothesis Test 60

5.6.1 First Hypothesis Test 60

5.6.2 Second Hypothesis Test 63

5.6.3 Third Hypothesis Test 65

5.6.4 Fourth Hypothesis Test 67

5.7 Discussion 70

5.8 Conclusion 72

6 CONCLUSION AND RECCOMENDATION 74

6.1 General 74

6.2 Conclusion 75

6.3 Reccomendation 75

REFFERENCES 77

APPENDIX A- I 81

x

LIST OF TABLES

TABLE NO. TITLE PAGE

3.1 Passenger ship data 17

3.2 Questionnaire indicator 20

3.3 Result of validity and reliability test 22

4.1 Indicator of organizational factor 27

4.2 Indicator of group factor 28

4.3 Indicator of individual factor 29

4.4 Ship accident on case study area 33

5.1 Basic statistical calculation 46

5.2 Frequency distribution table of organizational factor variable 47

5.3 Frequency distribution table of group factor variable 49

5.4 Frequency distribution table of individual factor variable 51

5.5 Frequency distribution table of shipping safety variable 53

5.6 Result of normality test 55

5.7 Result of homogeneity test 56

5.8 Result of linearity test X1 – Y variable 58

5.9 Result of linearity test X2 – Y variable 58

5.10 Result of linearity test X3 – Y variable 58

5.11 Result of independence test between independent variables 59

5.12 Result of correlation analysis between organizational factor (X1) and

shipping safety (Y) 61

xi

5.13 Regression equation coefficient X1 – Y 61

5.14 Regression equation test X1 – Y 62

5.15 Result of correlation analysis between group factor (X2) and shipping

safety (Y) 63

5.16 Regression equation coefficient X2 – Y 64

5.17 Regression equation test X2 – Y 64

5.18 Result of correlation analysis between individual factor (X3) and

shipping safety (Y) 65

5.19 Regression equation coefficient X3 – Y 66

5.20 Regression equation test X3 – Y 67

5.21 Result of correlation analysis between organizational factor (X1),

group factor (X2) and individual factor (X3) and shipping safety (Y)68

5.22 Regression equation coefficient X1, X2, X3 and Y 69

5.23 Regression equation test X1, X2, X3 and Y 70

xii

LIST OF FIGURES

FIGURE NO. TITLE PAGE

1.1 Flowchart 8

3.1 Nomogram Harry King 18

4.1 Percentage type of accident ship accident 32

4.2 Causes factors in shipping accident 32

5.1 Case study area 43

5.2 Shipping accident in case study area 44

5.3 Histogram of organizational factor (X1) 48

5.4 Histogram of group factor (X2) 50

5.5 Histogram of individual factor (X3) 52

5.6 Histogram of shipping safety (Y) 54

xiii

LIST OF ABBREVIATIONS

ANOVA = Analysis of Variance

FAHP = Fuzzy Analitical Hierarchy Process

HFACS = Human Factor Analysis and Classification System

HFIT = Human Factor Investigation Tools

HSOPSC = Hospital Survey on Patient Safety Culture Assestment

IMO = International Maritime Organization

KM = Kapal Motor

MLC = Marine Labour Convention

PT = Perseroan Terbatas

SEM = Structural Equation Modelling

SPSS = Statistical Package for The Social Sciences

SSCS = Short Safety Climate Survey

xiv

LIST OF SYMBOLS

= Standard Deviation

= Variance

= Mean or average

= Deviation

∑x = Sum of all values in a distribution

∑X = Sum score of X variable

∑X2 = Sum score variable X squared

∑XY = Product sum between X dan Y variable

∑Y = Sum score of X variable

a, b, c , ... , z = Regression Coefficient

cfb = Number of cases lying below the LL

F = Ratio of two Variance Estimates

fw = Number of scores in the interval containing the median

i = Width of the score interval

LL = Lower real limit of the score containing the 50th percentile,

M2

b = Between-groups estimate of variance

M2

w = Within-groups estimate of variance

Md = Median

Mo = Mode

xv

N = Number of cases

rXY = Product moment correlation or pierson correlation

rXY = Product moment correlation or pierson correlation

t = t-test

X = Independen Variable

XY2 = Sum score variable Y squared

Y = Dependent Variabel

xvi

LIST OF APPENDICES

APPENDIX TITLE

A Validity and Reliability Test

B Output of Descriptive Statistic Analysis

C Output of Normality Test

D Output of Homogeneity Test

E Output of Linearity Test

F Output of Indendence Test Between Independent Variables

G Output of Hypothesis Test

H Undestanding Level of Respondents Calculation

I Questionnaire Example

CHAPTER 1

INTRODUCTION

1.1 GENERAL

This chapter provides preliminary information about this study. It covers

background of study, problem statement, objectives, scope, implication of study,

research methodology and research flowchart. It is intended to assist readers in

understanding the study and to sparking interest in readers to find out more about the

content of subsequent chapters.

1.2 BACKGROUND

Indonesia is an archipelagic state that have 17,480 islands (Ministry of marine

affairs and fisheries, 2012) with 5.9 million km2 of water area and 1.9 milion km

2 of

land area (more than 2/3 area of Indonesia is water) (Soewedo, 2009). With the wider

water area than land area, Indonesia cannot be separated with the ship as a main

transportation facility.

2

Water transportation in Indonesia has an important role as a bridge of

nationwide and can‟t be replaced with other transportation like land and air

transportation (Ministry of marine affairs and fisheries Republic Indonesia, 2012). It

is used as primary farcilities and strategic on accelerate the economical. By

connecting one island to other islands, the movement of goods and passeengers can

run properly and can make the unity and nation integrity to be strengthen.

The important of Indonesia water transport can be viewed with increasing the

needs of water transport service from time to time for goods and passengers mobility

(Ministry of transportation, 2000). It have some negative impacts like pollution and

accidents.The Oxford English Dictionary defines an accident as anything that

happens without foresight and expectation: an unusual event, which proceeds from

unknown cause, or is an unusual effect of a known cause (Baldick, 2008). At the

same time, Webster‟s Third New International Dictionary gives the similar essence -

but with slightly more explanation, as a usually sudden event or change, occurring

without intent or volition through carelessness, unawareness, ignorance, or

combination of causes and producing an unfortunate result (Gove, 2002). While

Akten (1982) said accident in shipping is a general term which use for any result of

accident in shipping that causes financial prejudice, loss of property, and loss of life.

Although nowadays is the age of precision navigation and satellite era, with

there are very advanced and sophisticated navigation and communication equipment.

Its aim to preventing accident at sea, however in the fact accident still frequently

happen.

There are many types of shipping accident and can effect to the environment

around the ship, ship property itself, and can effect to the people. Collision or contact

(can be ship to ship or ship to other structure), capsize, sinking, breaking up,

breakdown of the ship underway, stranding, and fire or explosion are examples of

shipping accidents commonly (Akten, 2006).

Akten (2006) said there are many factors that make accident happen.

Generally can be classified as several factors :

3

i. Natural conditions could be natural phenomena such as tidal stream, high

wave, strong winds, restricted visibility due to fog, smoke, rain or snow,

storm, etc.

ii. Technical failure such as lack of repair and maintenance, setering failure,

engine failure, and structure failure as a result from lack of accurately ship

design.

iii. Human factors are all of human factors which contribute accident happen

both of organisation, group, or individual factor.

In this study area, ship is become main transportation fasility. Due to in this

area is wider than land area (the ratio is about 1 : 24) (Health Department of Riau

Archipelago province, 2006). Many ship that serve international and national

shipping through Riau Archipelago water. It has negative impact. Ship accident

frequently happen in Riau Archipelago water. Search and Rescue Agency (2012)

recorded over than 25 case ship accidents occurred during the last two years without

analysis. Based on that condition, researcher is trying to discuss shipping accident in

case study area, determine indicators of human factors that influence shipping

safety, to determine how much correlasion and contribution between human factors

and shipping safety and discuss human factors as one element of shipping safety.

1.3 PROBLEM STATEMENT

The human factors found can affect safety (Heinrich et al, 1980; Gordon,

1996; Varonen and Mattila, 2000; Gordon et al, 2005; Hetherington et al, 2006; Chin

and Chaur, 2008; Baysari et al, 2008; Celik and Cebib, 2009; Oslen, 2010; Luria,

2010; Petterson et al, 2010; Chin and Chung, 2011; Nathanael, 2011; and Fugas et al,

2012). It can be classified as 3 categories. They are organizational, group and

individual factors. At the organizational category, various factors may contribute the

incidents and accidents, including company policies, company standard, and system

and procedures. At the group category, management, supervision and work with

4

relationships between members of a work group have the potential factor to influence

the safety. And at the individual category, competence of the individu, perceptual

judgments, stress, motivation, health risks (such as work over-load) and the

contribution of human error can make a probability of accidents happen (Wilpert,

1995)

However, the most significant problem which influence shipping safety that

can cause accident, like collision or contact (can be ship to ship or ship to other

structure), capsize, sinking, breaking up, grounding, breakdown of the ship

underway, stranding, and fire or explosion are mostly caused by human (Heinrich et

al, 1980). Hence, this study is to be undertaken to discuss shipping accident in case

study area, to determine indicators of human factors that influence shipping safet, to

determine how much correlasion and contribution between human factors and

shipping safety and to discuss human factors as one element of shipping safety.

1.3 OBJECTIVES

The objectives of this study are to:

i. To discuss ship accident and types of ship accident which occurred in case

study area.

ii. To determine indicators of human factors that influence shipping safety.

iii. To determine how much correlation and contribution between human factors

and shipping safety if hypothesis test is carried out independently between

independent variable to dependent variable and if hypothesis test is carried

out together between three independent variables to dependent variable.

5

1.4 HYPOTHESIS

Based on this study objectives, hypothesis that be proposed in this study are:

i. Shipping safety (Y) is contributed by organizational factor (X1).

ii. Shipping safety (Y) is contributed by group factor (X2).

iii. Shipping safety (Y) is contributed by individual factor (X3).

iv. Shipping safety (Y) is contributed together by organizational factor (X1),

group factor (X2), and individual factor (X3).

1.5 SCOPE OF STUDY

The scope of this study are:

i. This study was conducted on pasenger ships at Riau Archipelago Province –

Indonesia.

ii. This study just view one factor that can influence shipping safety, it is human

factors.

iii. Hypothesis test is conducted by using correlation method and linear

regression both simple linear regression or multiple linear regression.

6

1.6 IMPLICATION OF STUDY

The implications of this study are:

i. Master Thesis

To complete postgraduate study at University Technology Malaysia as a

graduation requirement.

ii. Potentian Aplication

Can be applied in the shipping company as a basic that contribution of human

factors to shipping safety and to improve shipping safety mainly related to

human factors.

1.7 RESEARCH METHODOLOGY

The study of this thesis is divided into two parts:

i. Semester I

In this part, the research works began with conducting literature review of the

human factors and shipping safety. The main emphasis on this part is the approaches

were taken to understand the indicators of human factors and contribution of human

factors to shipping safety. Then, the concept of data collecting and data analysis was

studied in this semester

ii. Semester II

The second part had been carried out in the second semester. For this part, the

testing of instrument is conducted. After thet direct survey and data analyzing is

conducted in this part. Then, the discussion had been carried out. Finally, the

recommendation for future work has been suggested.

7

1.8 FLOW CHART

This research will be conducted in several processes. Flow chart is used to

make the this process easier to read. The flow chart consist of several process as

shown in a figure 1.1.

8

Analysis Data from Survey

Result and Discussion

Conclusion

Finish

Make Questionnaire

Check

NO

Database Analysis

Identify indicators of human factor in ship

accident

Identification problem

Identify:

Variable of research

Population and Sampling

technique

Start

Discussing with SAR Agency

and Transportation Department

in Riau Archipellago Province

OK

Validity Reliability

Figure 1.1 Flow chart

Conduct Survey

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