Posted: January 31st, 2023

A Study on Ship’s routeing and Port zoning Audit Scheme for eradicating or reducing circumstantial factors of marine casualties and incidents

A Study on Ship’s routeing and Port zoning Audit
Scheme for eradicating or reducing circumstantial
factors of marine casualties and incidents

ABSTRACT
Title of Dissertation: A Study on Ship’s routeing and Port zoning Audit Scheme
for eradicating or reducing circumstantial factors of
marine casualties and incidents
Degree: MSc
This dissertation is a study on Ship’s routeing and Port zoning Audit Scheme (SPAS)
for eradicating or reducing risky circumstantial factors of marine casualties and
incidents in coastal waters. It aims to show methods of preventing marine accident
from the human element, and to discuss the further development for the maritime
safety system of the Republic of Korea as the world’s first compulsory scientific
audit scheme on ship’s routeing and port zoning.
At the outset, this study intended to review the statistics of marine accidents to
analyse which causes and places should be focused on to secure maritime safety. It
also attempted to analyse serious marine accidents which occurred in ports and
approaches. This was to demonstrate which tools were applied successfully to reduce
marine accidents caused by the human element. A controversy over a harbour bridge
was introduced to prove the importance of objective ship handling simulation.
The STCW, Navigational Aids, the ISM Code and the User-Centred Design were
studied as methods of reducing human errors in error enforcing circumstances. To
verify that the IMO’s safety measures on the human element are corresponding to all
categories of human errors, the Marine Casualty Investigation Code of the IMO was
referred to. It was found that the IMO could contribute further to preparing any
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appropriate measures to deal with the loose interface between liveware and the
environment, in other words, navigators and the navigational circumstances.
Accordingly, it reviewed the schemes of several maritime States that were relevant to
safety of navigation in ports and approaches. As a successful example, the SPAS of
the Republic of Korea was analysed. The SPAS is evaluated in Korea as an effective
risk finding system in port design and its operation, and a tool for providing the
navigators in coastal waters with a better navigational environment. In addition, from
the shore-based perspectives, the SPAS has reduced social disputes over maritime
safety and accelerated economic construction of infrastructures.
Despite of the successful implementation of the SPAS project, some issues are still
open. Chapter 5.5 provides the future direction of the SPAS system as the world’s
first compulsory scientific audit scheme on ship’s routeing and port zoning. Also it
contains some recommendations to policy planners for achieving efficient port
construction and management taking into account safe navigation. Ultimately, this
dissertation aimed to study how human error as a principal causation factor would
not turn in marine accidents in heavy traffic zones such as coastal waters.
At the end, it is reiterated that the human element and navigator-friendly
circumstances should be considered together in order to reduce marine accidents in
coastal waters, to protect the marine environment and to save human lives at sea.
KEY WORDS: Ship’s routeing and Port zoning Audit Scheme (SPAS), Marine
Casualties and Incidents, Marine Accident Investigation, Statistics of Marine
Accidents, Human Element (HE), Human Error, SHEL Model, Liveware, UserCentred Design (UCD)
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TABLE OF CONTENTS
DECLARATION ……………………………………………………………………………………………. i
ACKNOWLEDGEMENTS …………………………………………………………………………….. ii
ABSTRACT …………………………………………………………………………………………………. iii
TABLE OF CONTENTS ………………………………………………………………………………… v
LIST OF TABLES ………………………………………………………………………………………. viii
LIST OF FIGURES …………………………………………………………………………………….. viii
LIST OF ABBREVIATIONS ………………………………………………………………………….. x
1 INTRODUCTION …………………………………………………………………………………….. 1
1.1 Background ……………………………………………………………………………………….. 1
1.2 Objectives …………………………………………………………………………………………. 4
1.3 Scope of the Study ……………………………………………………………………………… 5
1.4 Methodology and Sources of Information ……………………………………………… 6
2 MARINE ACCIDENT STATISTICS ………………………………………………………….. 7
2.1 Introduction ……………………………………………………………………………………….. 7
2.2 Analysis of Marine Accident Statistics ………………………………………………… 10
2.2.1 Error made by Human Element ……………………………………………………. 10
2.2.2 Areas of Frequent Marine Accidents …………………………………………….. 13
2.3 Facts Learned from Statistics ……………………………………………………………… 15
3 SELECTED APPROACHES TO HUMAN ELEMENTS …………………………….. 16
3.1 General ……………………………………………………………………………………………. 16
3.2 User-Centred Design …………………………………………………………………………. 18
3.2.1 Human-Machine Interface …………………………………………………………… 18
3.2.2 User-Centred Design …………………………………………………………………… 20
3.2.3 Application of the User-Centred Design ……………………………………….. 21
3.2.4 Quality Assurance System …………………………………………………………… 23
3.3 Investigation Tools for Marine Accidents caused by Human Element …….. 24
vi
3.3.1 SHEL and Hybrid Models …………………………………………………………… 24
3.3.2 Measures devised to deal with Human Element ……………………………… 26
3.4 Summary on the Selected Approaches to Human Elements ……………………. 29
4 USER-FRIENDLY NAVIGATIONAL CIRCUMSTANCES ……………………….. 31
4.1 Introduction ……………………………………………………………………………………… 31
4.2 Marine Accident ………………………………………………………………………………. 32
4.2.1 Collision between a Crane Barge with a VLCC ……………………………… 32
4.2.2 Analysis ……………………………………………………………………………………. 40
4.2.3 Summary of Marine Accidents …………………………………………………….. 41
4.3 Near Miss ………………………………………………………………………………………… 42
4.3.1 Allision between a LPG Carrier with a Chemical Pier …………………….. 42
4.3.2 Accident caused by Miscommunication ………………………………………… 44
4.3.3 Analysis ……………………………………………………………………………………. 45
4.3.4 Summary on Near Miss ………………………………………………………………. 45
4.4 CONTROVERSY OVER THE SPAN OF HARBOUR BRIDGES ………… 46
4.4.1 Introduction ……………………………………………………………………………….. 46
4.4.2 Debates between Land Road Party and Sea Road Party …………………… 47
4.4.3 Different Results from Different Conditions ………………………………….. 49
4.4.4 Side Effect of the Harbour Bridge ………………………………………………… 49
4.4.5 Summary on Controversy over the Span of Harbour Bridges …………… 51
4.5 Summary on User-Friendly Navigational Circumstances ………………………. 52
5 SHIP’S ROUTEING AND PORT ZONING AUDIT SCHEME ……………………. 54
5.1 Introduction ……………………………………………………………………………………… 54
5.2 Examples of Safety Measures in Coastal Waters ………………………………….. 55
5.2.1 The United Kingdom and Hong Kong …………………………………………… 56
5.2.2 The United States of America ………………………………………………………. 57
5.2.3 Canada ……………………………………………………………………………………… 58
5.2.4 Japan ………………………………………………………………………………………… 60
5.3 Summary of Examples of Safety Measures in Coastal Waters ……………….. 61
5.4 Overview of the SPAS ………………………………………………………………………. 62
5.4.1 Background ……………………………………………………………………………….. 62
vii
5.4.2 Concept of the SPAS ………………………………………………………………….. 62
5.4.3 Auditing Institutions …………………………………………………………………… 63
5.4.4 Overall Process ………………………………………………………………………….. 64
5.4.5 Auditing Process ………………………………………………………………………… 65
5.4.6 Approval of the Audit Report ………………………………………………………. 67
5.5 Analysis of the SPAS ………………………………………………………………………… 69
5.5.1 Advantages of the SPAS ……………………………………………………………… 69
5.5.2 Shortcomings of the SPAS ………………………………………………………….. 71
5.6 Summary of the SPAS ………………………………………………………………………. 75
6 CONCLUSIONS ……………………………………………………………………………………… 77
REFERENCES ……………………………………………………………………………………………. 82

viii
LIST OF TABLES
Table 1: Marine Accidents per Ship’s Type …………………………………………………………………………… 8
Table 2 Statistics of Marine Accident Causes (2007-2011) …………………………………………………….. 10
Table 3: Analysis of Causes (including HE) for Marine Accidents (1981-1992) ……………………… 12
Table 4: The Number of Marine Accidents regarding Areas ………………………………………………… 13
Table 5: Collision Sites ……………………………………………………………………………………………………….. 14
Table 6: Major Accidents causing International Instruments ……………………………………………….. 17
Table 7: Comparison between MSA (SPAS) and NWRA ……………………………………………………… 59
Table 8: Comparison between Korean and Japanese Audit Systems …………………………………….. 60
Table 9: Assessment Items regarding Business Types …………………………………………………………… 68
LIST OF FIGURES
Figure 1: Analysis by Category of Casualty, 2007-2011 (excluding fishing boat) ……………………… 9
Figure 2: Human Centred Design Process ……………………………………………………………………………. 20
Figure 3: Layout of the enhanced Conning Display of the NACOS Platinum INS ………………….. 22
Figure 4: Brainstorming Board to devise INS screen ……………………………………………………………. 23
Figure 5: Topics to be covered by Investigation ……………………………………………………………………. 24
Figure 6: SHEL Model ……………………………………………………………………………………………………….. 25
Figure 7: SHEL and Reason Hybrid Model …………………………………………………………………………. 26
Figure 8: IMO instruments in Ship System and Human Operator ………………………………………… 27
Figure 9: International Measures in relation to the centred Liveware …………………………………… 28
ix
Figure 10: Ship’s Particulars concerning Collision ………………………………………………………………. 33
Figure 11: Ships’ Main Routes and Collision Site …………………………………………………………………. 33
Figure 12: Towing Fleet ……………………………………………………………………………………………………… 34
Figure 13: Line-up of Towing Fleet ……………………………………………………………………………………… 35
Figure 14: Sketch of the Course based on VTS data …………………………………………………………….. 37
Figure 15: Punctures of M/T Hebei Spirit ……………………………………………………………………………. 38
Figure 16: Polluted Beach in Taean …………………………………………………………………………………….. 39
Figure 17: Risky Area of the Port of Kwangyang (Route No. 2) ……………………………………………. 43
Figure 18: The Incheon Grand Bridge crossing the entrance of the port of Incheon ………………. 46
Figure 19: Outline of the Incheon Grand Bridge ………………………………………………………………….. 47
Figure 20: Administrative Procedure of the SPAS ……………………………………………………………….. 64
Figure 21: Auditing Process ………………………………………………………………………………………………… 65
Figure 22: Phase Model ………………………………………………………………………………………………………. 73
x
LIST OF ABBREVIATIONS
AIS Automatic Identification System
ARPA Automatic Radar Plotting Aid
CFR Code of Federal Regulations
CPA Closest Point of Approach
CPP Controllable Pitch Propeller
C/O Chief Officer
ECR Engine Control Room
EIA Environmental Impact Assessment
EU European Union
ETA Estimated Time of Arrival
EU European Union
FEW Finished With Engine
FPP Fixed Pitch Propeller
GICOMS General Information Centre on Maritime Safety and
Security
IBS Integrated Bridge System
IMO International Maritime Organization
INS Integrated Navigation System
ISC Integrated Ship Control
ITZ Inshore Traffic Zone
LEI Liveware-Environment Interface
LRIT Long Range Identification and Tracking
MARPOL 73/38 International Convention for the Prevention of
Pollution from Ships, 1973, as modified by the
Protocol of 1978 relating thereto, as amended
MARPOL PROT 1997 Protocol of 1997 to amend the International
Convention for the Prevention of Pollution from Ships,
as modified by the Protocol of 1978 relating thereto
xi
MLTM Ministry of Land, Transport and Maritime Affairs
MOMAF Ministry of Maritime Affairs and Fisheries
MOCT Ministry of Construction and Transportation
MSA Maritime Safety Act of Korea
MSC Maritime Safety Committee
NAV Sub-Committee on Safety of Navigation
NUC Not Under Command
NWPA Navigable Water Protection Act of Canada
OOW Officer On Watch
QAS Quality Assurance System
SBE Stan-by Engine
SMS Safety Management System
SOLAS International Convention for the Safety of Life at Sea
SOLAS 1974 International Convention for the Safety of Life at Sea,
1974, as amended
SOPEP Shipboard Oil Pollution Emergency Plan
STCW International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers
TEU Twenty-foot Equivalent Unit
UK United Kingdom of Great Britain and Northern Ireland
UN United Nations
UNCLOS United Nations Convention on the Law of the Sea
US United States
USC United States Code
USCG United States Coast Guard
UTC Coordinated Universal Time
VHF Very High Frequency
VLCC Very Large Crude oil Carrier
VMS Vessel Monitoring System
VTS Vessel Traffic Service
1
1 INTRODUCTION
1.1 Background
Marine accidents are pieces of evidence that prove failure of maritime safety systems.
Therefore, lessons learned from failures could be useful or perfect solutions to reduce
the likelihood of such failures recurring in the future.
Although every system, natural or manufactured, is not relieved of failure (Frankel,
1987), the human element is considered to be a major contributor in terms of cause of
marine accidents. The proportion of human error causing marine accident varies from
65% to 96% according to scholars worldwide (Kim H.T., 2012). Korean statistics of
marine accident agrees that about 80% of accidents are caused by operating errors1
such as deficiency of sailing readiness, negligence of position fixing, violation of
navigation rules and regulations, negligence of watch-keeping, negligence of safety
working rules and so on. Furthermore, 97% of collisions, 92% of contacts2
and 89% of
groundings are caused by operating errors3
. The operating errors could be rewritten as
errors conducted by operators. In other words, operating errors would be equal to
human errors such as slips, lapses, mistakes or violations according to classification by
the International Maritime Organization (IMO, 1997).

1
Marine Accident Statistics Book of the Korea Maritime Safety Tribunal (KMST) indicates that 82.9%
of the marine accidents in the period of 2006-2011 are caused by the operating errors. Detailed
statistics would be mentioned in Chapter 2.
2
Marine Accident Investigation and Judgement Act (MAIAJ) of Korea distinguishes “Contact” from
Collision”. Collision is ship-to-ship accident, and Contact is ship-to-unmovable object accidents
(MAIAJ Ordinance article 13).
3
Marine Accident Statistics Book (2006-2011) of the KMST indicates that 96.9 % of collisions, 91.9%
of contacts and 88.5% of groundings are caused by operational errors. Detailed statistics would be
dealt in Chapter 2.
2
First of all, human error should be primarily focused on to prevent failure of safety
systems because it is a principal causation factor in maritime accidents. Around 70%
of marine accidents occurred in territorial waters4
such as ports, approaching channels
and anchorages. It is the coastal waters that should be interesting for safety purposes.
Moreover, modern ships are getting bigger or faster to achieve economy of scale,
which exerts baleful influence on the fixed or confined navigable waters. In addition,
artificial water facilities including mooring buoys and anchorages beside ship’s routes
could act as obstacles to safe navigation because they limit navigable waters. These
obstacles are generally built in coastal areas, which could be risky factors that are not
easily found in the high seas.
Consequently, facilities in coastal waters as hindrance to safe navigation should be
scientifically surveyed and analysed to root out or mitigate potential hazards as much
as possible before deciding or changing the port design or ship’s routeing such as
Traffic Separation Scheme (TSS), one-way routes and Inshore Traffic Zone (ITZ).
Port zoning is also an important part of port design, which can contribute to
minimizing hazards and to promoting safe working. Safe working in the proper order
lessens the possibility of accidental spillages and consequent pollution (IAPH, 1991).
Supposing that human errors could not be totally eradicated because seafarers on
board might suffer from more fatigue in port and approaches when arriving in,
berthing at, working in, and departing from ports (IMO, 1997a) 5
. Further design

4
Marine Accident Statistics Book (2007-2011) of the KMST indicated that 70.12% accidents occurred
in territorial waters that are not limited to Korean territorial waters.
(unit: %)
Waters＼Year 2007 2008 2009 2010 2011 Average (5 years)
Territorial Waters 75.80 70.21 60.30 68.79 75.48 70.12
Others 24.20 29.79 39.70 31.21 24.52 29.88
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IMO. (1997, November 27). ANNEX: GUIDEL1NES FOR THE INVESTIGATION OF HUMAN FACTORS IN
MARINE CASUALTIES AND INCIDENTS para. 1.2 (Res.A.849(20)). London: Author.
3
deficiencies and erroneous assumptions can lead to failure of systems by the human
element (Frankel, 1987). Safety-friendly navigational circumstances in error enforcing
zones that could give more room for absorbing human errors would be one solution to
reduce or break down the possibility of marine accidents.
This study intends to depict what the IMO should address further on dealing with
human error by using the method of the Casualty Investigation Code6
. In accordance
with the SHEL7
Model of the Code, the interfaces between Liveware and other factors
such as Software, Hardware, Liveware and Environment should be studied to search
for the existence of the IMO solutions in the field of the above four interfaces.
In addition, this dissertation will refer to several failures of safety systems such as
marine accidents and near misses, and it will mention a controversy over the span of a
harbour bridge that ended in blocking the passage of VLCCs in an approaching
channel. Most references will be based on marine accident investigation reports of the
Republic of Korea and journals. However, when it comes to lessons learned from the
above examples, the final report of the investigating authority will be the best but not
the last. The actions taken by related authorities to prevent recurrence of similar
accidents will be consulted as one of the practical lessons learned.
As practical lessons learned to absorb human errors in dense traffic zone, the Ship’s
routeing and Port zoning Audit Scheme (SPAS) of Korea will be mainly analysed
because it might be c compulsory audit scheme for relieving or preventing human
error from evolving into marine accidents in congested areas. Therefore, the related
examples of maritime States would be introduced. Effects and results of the Korean

6
IMO. (2008, May 16). ADOPTION OF THE CODE OF THE INTERNATIONAL STANDARDS AND
RECOMMENDED PRACTICES FOR A SAFETY INVESTIGATION INTO A MARINE CASUALTY
OR MARINE INCIDENT (MSC 84/24/Add.1). London: Author.
7
SHEL: Software, Hardware, Environment, and Liveware.
4
compulsory scheme will be also examined so as to suggest improvements in the
procedures and framework of the scheme.
Under the above studies, this dissertation deals with a newly developed safety system
learned from mishaps in the Republic of Korea. It will provide a model case of how
human error could be prevented from developing into marine accidents based on the
experience from the SPAS. Furthermore, it is expected that this dissertation will be
beneficial to not only Korea but also the coastal States that consider effective
enhancing coastal safety with a view to allocating limited administrative efforts.
1.2 Objectives
The objectives of this dissertation are to analyse the importance of the human element
on marine accidents by illustrating statistics published by the Korea Maritime Safety
Tribunal (KMST). Moreover, as most accidents occur in coastal waters, safetyfriendly navigational circumstances could be one of the serviceable solutions to reduce
or break down the possibility of accident recurrence in coastal waters. As a way to
prevent similar accidents from recurring, the SPAS will be introduced as a method to
hinder the evolution of human errors to marine accidents in busy traffic areas.
In order to achieve the objectives, this dissertation will:
 Examine and review the statistics of marine accidents to understand what
the main causes of marine accidents are, and where the vulnerable sea
areas are;
 Analyse IMO’s approaches to the human element under error enforcing
conditions;
 Introduce the background events of the mandatory Ship’s routeing and
Port zoning Audit Scheme of Korea;
5
 Illustrate the SPAS of Korea with relative examples of other States;
 Review the SPAS taking into account navigator-friendly design; and
 Suggest improving the procedure and framework of the SPAS
1.3 Scope of the Study
This research work consists of 7 chapters. Chapter 1 gives the background, objectives,
scope and methodology of the study.
Chapter 2 analyses marine accident statistics to find out which is the most noticeable
cause of accidents. It reviews the 5 year statistics of the Republic of Korea together
with relevant statistics.
Chapter 3 describes selected approaches of the IMO to the human element. It discusses
the tools to deal with the human element on board such as the ISM Code and UserCentred Design. The tools will be compared with the SHEL Model to find out which
aspects of the Model should be paid more concern.
Chapter 4 investigates the scheme for user-friendly navigational circumstances that
was introduced after serious marine accidents, and debates on design of harbour
bridges in the Republic of Korea. It also discusses the background of the new scheme
for the social agreement on building marine facilities over navigable waters.
Chapter 5 reviews the instruments of maritime States for ensuring safety at port and
approaches. It also describes the differences between the current instruments of
maritime States and the SPAS of Korea. The overview, advantages and shortcomings
of the SPAS will be scrutinized to show its effectiveness and further improvement.
6
Chapter 6 summarizes the conclusion with perspectives and utility of the audit scheme
as a way to block the holes between the human element and marine accidents.
1.4 Methodology and Sources of Information
This research work was conducted aiming to seek the direction of the safe navigation
taking into account navigator-friendly circumstances. To achieve the research
objectives, the methodology was mixed with qualitative and quantitative analysis.
The qualitative analysis mainly focused on the review of the SPAS of Korea and
relevant examples of maritime States on ship’s routeing and port zoning. The
collection and review of relevant reports, documents, legislations and journals
regarding circumstantial factors of navigation and the legal framework of the SPAS
were also undertaken. To investigate the background of the SPAS, investigation
reports of marine accidents were reviewed. To add practical issues in this discussion,
data collecting from conference proceedings, official meeting reports and public
hearings for the last five years were carried out.
On the other hand, the quantitative analysis concentrated on marine accident data to
calculate which sector should be interesting for efficient enforcement of administrative
power. It needs not only typical data such as the distribution of casualties per accident
categories but also detailed statistics which presents causes of accidents. Therefore,
the up-to-date statistics of the KMST were analysed because the KMST provides
detailed data and on-demand statistics for a relatively long time period. Especially, the
statistics of causes and contributing factors regarding accident categories were deeply
assayed. Also, relevant cases of other authorities were referred to in order to find out
each ratio of factors that contributed to marine accidents.

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2 MARINE ACCIDENT STATISTICS
2.1 Introduction
The reason why States investigate a marine accident is to find out the cause of the
accident 8 . The Casualty Investigation Code of the IMO also describes that the
objective of investigation is to prevent marine casualties and marine incidents in the
future. Most member States of the IMO are known to follow the Casualty
Investigation Code9
. As a matter of course, the objective of the KMST, an independent
investigation authority of Korea, is also to prevent recurrences of marine accidents10,
although the role of the KMST does not perfectly coincide with the objective of the
Casualty Investigation Code11.
The investigation authorities publish reports on the investigated marine accidents.
Generally, the final report contains “Lessons Learned” in the form of safety
recommendations. The investigation authorities also publicize the statistics of
accidents on a regular basis.

8
Federal Bureau of Maritime Casualty Investigation (BSU). Website of BSU. Retrieved August 16,
2012 from the World Wide Web: https://monkessays.com/write-my-essay/bsubund.de/cln_030/nn_88782/sid_EB5B93E05F8781AA62C43A92DEB8C671/nsc_true/EN/Home/hom
epage__node.html?__nnn=true
Marine Accident Investigation Branch. About us: What we do. Retrieved August 16, 2012 from the
World Wide Web: https://monkessays.com/write-my-essay/maib.gov.uk/about_us/index.cfm
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The international forum of investigators (MAIIF) pledged to support IMO’s role in advancing
maritime safety and pollution prevention, and contributed to the development of the Casualty
Investigation Code. Retrieved August 16, 2012 from the World Wide Web: https://monkessays.com/write-my-essay/maiif.net
10 Korean Maritime Safety Tribunal (KMST). Function. Retrieved August 16, 2012 from the World
Wide Web: https://monkessays.com/write-my-essay/kmst.go.kr/eng/cms/cms.asp?code=BA
11 The Code recommends not to apportion blame or determine liability, but the KMST determine
liability by request of persons in charge of the accidents. (Source: Maritime Accident Investigation
and Judgment Act amended in 1998, article 4.2)
8
Each individual report could play an important role to enhance maritime safety. For
example, M/V Estonia12 capsized in the Baltic Sea on 28 September 1994 because of
detachment of the bow door13. It is evaluated that the investigation report of the
accident contributed to revision of the SOLAS14 for enhancement of the safety of life
at sea as much as the sinking of the passenger ship Titanic on 15 April 1012. Actually,
there has been no accident caused by detachment of the bow door after the revision of
the SOLAS. It implies that the IMO’s involvement based on the investigation were
successful to avoid recurrence of similar accidents. However, it should be highlighted
that the human element was also one of the major contributing factors of the capsizing.
Table 1: Marine Accidents per Ship’s Type
Year＼Ship Passenger
ship Cargo ship Oil tanker Tug boat Others Fishing boat Total
2007 13 96 31 55 69 495 759
2008 19 63 25 52 42 435 636
2009 7 83 18 35 47 725 915
2010 18 107 17 46 58 672 775
2011 17 96 37 75 84 888 1,197
Total 74 445 153 282 299 3,215 4,468
(Source: KMST, 2012. p.6)
In addition, the statistics of marine accidents are as much important and useful as
individual reports because the statistics can show what the trends of the marine
accidents are, and what the common causes of accidents are. Pursuant to the statistics

12 Ship’s names in this study are italicised just for easy reading.
13 Joint Accident Investigation Commission was set up on 29 September 1994 among Governments of
Estonia, Finland and Sweden, and carried out the investigation (Source: Final report of the accident)
14 SOLAS: International Convention for the Safety of Life at Sea
9
made out for a certain period, safety authorities can sort out the main failures of a
safety system, and concentrate on complementary measures to cure the system failure.
Table 1 is a typical table of marine accident statistics which sketches exemplarily the
distribution of casualties per ship categories for the recent 5 years in Korea. It is
evident that fishing vessels are especially responsible for the recorded casualty number.
Furthermore, it shows the trends of accidents per multiple vessel types.
Figure 1: Analysis by Category of Casualty, 2007-2011 (excluding fishing boat)
(Source: Author edited based on Table 1)
Figure 1 is based on Table 1 by the author, which suggests that the accidents were
decreasing from 2007 to 2009, and increasing from 2009. Oil tankers and tug boats
mainly contributed to the upward move. It could present the need of subdividing the
“Others” category because it is also going up. However, Table 1 could be in no
position to disclose the actual causes that led to the accidents and to come up with
conclusions to set up an affordable safety policy. Thus, other types of statistics are
analysed in Chapter 2.2.
0
50
100
150
200
250
300
350
2007 2008 2009 2010 2011
Others
Tug boat
Oil tanker
Cargo ship
Passenger ship
10
Conclusively, if the cause of an individual accident is found through investigation, the
treatment can be anticipated to avoid similar accidents and to keep future safety. In
addition, when the statistics show the increasing trends of accidents, it is a sign of
requiring more attention of the safety authorities concerned.
2.2 Analysis of Marine Accident Statistics
2.2.1 Error made by Human Element
Table 2 shows a 5 year term statistics on causes of marine accidents in Korea. Viewed
in this light of chapter 2.1, what the statistics indicate should be analysed to find out
which causes of accident need more attention.
Table 2 Statistics of Marine Accident Causes (2007-2011)
Cause＼Type of
Accdt.
Collision Contact Grounding Fire or
Explosion Sinking Machinery
damage Distress Death/
injury Others Total (%)
Operating
Error
Inadequate
pre-sailing
preparation
– 1 – – 3 – – – 4 8 0.5
Insufficient
hydrographic
survey
– 4 5 – – – – – – 9 0.6
Straying of
designated
course
22 1 2 – 1 – – – 2 28 1.9
Negligence of
fixing ship’s
position
3 8 40 – – – – – 2 53 3.5
Unsuitable
maneuvering 53 14 8 – 7 – – 1 6 89 5.9
Negligence of
lookout 576 4 5 – – – – – – 585 38.8
Deficiency of
preparation
for and
response of
bad weather
10 – 8 1 18 – 2 2 20 61 4
Inappropriate
anchoring and
mooring
– – 1 – – – – – 1 2 0.1
Violation of
navigation
rules
221 1 – – – – – – 2 224 14.9
11
Negligence of
service
countrol
– – 1 – – – – – – 1 0.1
Negligence of
watchkeeping 19 2 12 2 – 1 – – 3 39 2.6
Others 59 9 9 1 8 – – 4 5 95 6.3
Failed to
follow safety
working rules
on board
– – 1 5 1 – – 42 6 55 3.6
Sub Total 963 44 92 9 38 1 2 49 51 1,249 82.9
Percentage (%) 96.9 91.7 88.5 9.5 62.3 1.7 33.3 89.1 60.0 82.9 –
Poor
Handing
&
Defects
Poor handling
of machinery,
Poor handling
of fire
– – 3 2 5 1 2 – 2 15 1
Equipment,
short circuit 3 – 1 15 2 56 1 – 4 82 5.4
Defects of hull
or machinery – – – 59 1 – – – – 60 4
Sub Total 3 0 4 76 8 57 3 – 6 157 10.4
Others
Deficiency of
passengers
embarkation
or cargo
stowage
– – – 1 3 – – 1 17 22 1.5
Unfitness of
ship operation
management
1 – – 1 6 – – – 1 9 0.6
Unfitness of
crew manning – – 1 – – – – – – 1 0.1
Unfit navi.
aids – 1 1 – – – – – – 2 0.1
Act of god 5 – – – 2 – – – 1 8 0.5
Others 22 3 6 8 4 1 1 5 9 59 3.9
Sub Total 28 4 8 10 15 1 1 6 28 101 6.7
Total 994 48 104 95 61 59 6 55 85 1,507 100
(Source: KMST, 2012. p.26)
In accordance with Table 2, the highest portion of causes is “Operating Error15” such
as deficiency of sailing readiness, negligence of position fixing, violation of

15 The KMST does not define “operating error”. It might be used just for grouping the individual errors
made by operators.
12
navigation rules and regulations and negligence of watch-keeping. The operating error
is 82.9%. The “Operating Error” could be expressed as “Error made by Operator”. In
other words, it is “Error caused by the Human Element (HE)” because seafarers made
the operating errors. Conclusively, the operating error could be classified as one of
human errors.
Table 3: Analysis of Causes (including HE) for Marine Accidents (1981-1992)
(Source: Oses, 2003)
The percentage of 82.9% is quite the similar number of the preceding study on the
human element affecting marine accidents. First, the IMO reported that more than 80%
of marine accidents and incidents are owing to human error (Albayrak, 2009). Second,
Table 3 shows a percentage of 74%, and relative analyses bring forth percentages from
70% to 95% (with an average value of about 80%) for accidents in the maritime
transport chain (Oses, 2003).
In terms of main causes of accidents, the policy planning to reduce marine accidents
from recurring in the future should concentrate on human elements. As analysed, it
covers the highest percentage of causes of marine accidents.
13
2.2.2 Areas of Frequent Marine Accidents
Table 4 depicts 29.9% of marine accidents16 happening in the high seas, for the time
period 2007-2011. Over 70% of marine accidents occurred in territorial waters
including port and approaches.
Table 4: The Number of Marine Accidents regarding Areas
Area＼Year 2007 2008 2009 2010 2011
Ports &
Approaching
channels
Incheon 10 13 11 16 25
Janghang, Kunsan 5 8 2 6 8
Mokpo 4 2 4 0 3
Yeosu, Kwangyang 5 6 3 1 4
Samcheonpo, Tongyoung 2 7 11 1 2
Masan, Jinhae 2 2 4 3 1
Busan 13 10 25 21 15
Okpo, Jangseungpo 3 4 6 0 0
Ulsan, Pohang 9 4 4 10 4
Donghae, Samcheok, Sokcho 3 4 6 5 0
Cheju, Seoguipo 3 2 3 5 2
Sub Total 59 62 79 68 64
Percentage (%) 10.4 12.9 10.9 9.2 6.8
Territorial
seas
East sea 42 46 69 56 98
West sea 158 110 160 155 286
South sea 158 117 118 192 256
Japanese waters 12 2 10 36 10
Sub Total 370 275 357 439 650
Percentage (%) 65.4 57.3 49.4 59.6 68.7
High seas
East sea 65 78 136 96 79
West sea 22 6 26 12 31
South sea 15 23 68 53 62

16 The accident data is collected according to the reports from Korean flag vessels and Korean SAR area.
14
South East Asian area 24 32 56 38 44
Others 11 4 1 31 16
Sub Total 137 143 287 230 232
Percentage (%) 24.2 29.8 39.7 31.2 24.5
Total 566 480 723 737 946
(Source: Author added percentage lines to the table of the KMST, 2012. p.3)
In case of collision, Table 5 gives 76.5% as the percentages of collisions in coastal
waters. It is evident that the risk of accidents in coastal waters is much higher than that
in the high seas.
In terms of places of concern as shown in Table 5, the likelihood of accidents is
relatively higher in dense traffic areas, such as ports and approaching channels due to
the ratio of traffic volume and confined geographic area. Therefore, geographically the
first target of maritime safety should be coastal areas with a view to allocating limited
administrative efforts. Therefore, from a managerial perspective, marine traffic
management should put most of its emphasis on controlling traffic in the port zone and
its approaches to avoid collisions that are the most common accidents when port
traffic is dense (Yip, 2006).
Table 5: Collision Sites
Year＼Area Domestic Ports Foreign Ports Territorial seas High seas Total
2007 14 0 54 22 90
2008 19 4 43 21 87
2009 24 0 41 22 87
2010 20 0 52 20 92
2011 10 0 58 19 87
Total 87 4 248 104 443
Percentage (%) 19.6 0.9 56.0 23.5 100.0
(Source: Author added percentage lines to the table of the KMST, 2012. p.35)
15
2.3 Facts Learned from Statistics
Human errors such as misjudgement and lack of attention are considered to cover
about 80% of causes of marine accidents, and over 70 % of mishaps occur in coastal
waters.
From the viewpoint of efficient administration, the human element and coastal waters
should be considered together since the vast majority of marine accidents occur in
coastal waters by human errors. This should be viewed as the first target that needs
extreme attention. Detailed designing and obligatory enforcement for maritime safety
policy planners to reduce human errors or hinder human errors from evolving into
accidents in coastal waters are therefore essential.
The other chapters of this study will be unfolded from the analysed facts of the
statistics.

16
3 SELECTED APPROACHES TO HUMAN ELEMENTS
3.1 General
Most of the significant IMO conventions were originated by serious marine accidents.
As shown in Table 6, the SOLAS was established by the sinking of the passenger ship
Titanic. Human element was also considered internationally due to the grounding and
oil spill of the tanker Torrey Canyon.
When it comes to the human element, training and education would be the first step.
Thereupon, the IMO has developed significant conventions, resolutions and circulars
regarding binding human elements with safe navigation. The first development was
the STCW17 for training and education of seafarers on an international level, which
was driven by the IMO resolution18 setting out the vision, principles, and goals for the
human element in 1997 (IMO, 1997b).
It contains manning, qualification, and licensing. However, the STCW was not a new
scheme because most maritime States already had rules and regulations on training
and education of seafarers, and several States regarded it as formalizing a system
closely identical to their systems19.
A highly important resolution on the human element was triggered by the capsizing of
passenger ferry the Herald of Free Enterprise in 1987. It was the International Safety

17 The International Convention on Standards of Training, Certification and Watchkeeping for Seafarers
(STCW), 1978 was adopted in 1978 and entered into force in 1984. Significant amendment was made
in 1995.
18 IMO. (1997, November 27). HUMAN ELEMENT VISION, PRINCIPLES AND GOALS FOR THE
ORGANIZATION (A.850(20)). London: Author
19 Consortium of Maritime Trainers of the U.S.. STCW:Home. Retrieved 9 September 2012 from the
World Wide Web: https://monkessays.com/write-my-essay/stcw.org/big.html
17
Management (ISM) Code 20 which officially put managerial levels (liveware and
software) ashore in the maritime safety system.
Table 6: Major Accidents causing International Instruments
Ship’s Name Year/Place of accident Abstract
International
Instrument
Titanic
1912
North Atlantic
Sinking.
Loss of 1,503 lives
SOLAS
Torrey Canyon
1967
UK Dover Strait
Grounding.
Oil spill of 119,000 tons
MARPOL
STCW
Herald of Free
Enterprise
1987
Begium Zeebrugge
Capsizing.
Loss of 193 lives
ISM Code
Scandinavian Star
1990
North Sea
Fire.
Loss of 158 lives Accelerating ISM Code
(Source: Author)
The cause of the Herald of Free Enterprise was related not to the design of the ship
(hardware) but to fatigue of seafarers (liveware). No matter how the IMO has
continuously improved ship’s hardware, certain marine accidents like the Herald of
Free Enterprise, the Scandinavian Star were not linked to hardware but it was related
to mistakes of human elements. In the case of the Herald of Free Enterprise, the steps
to be taken to avoid a similar capsize in the future were proper procedures (software)
for ensuring that the bow and stern doors are closed before proceeding to sea21.
Accordingly, procedures for preliminary inspections are required to make up for the
loopholes of the safety system, For example (Jun, 2004):

20 International Safety Management Code was adopted by the IMO through an amendment to the
SOLAS Convention, Chapter IX (IMO, 1997) by resolution A.741(18) for the safe operation of ships
and for pollution prevention.
21 MAIB. (1987). FORMAL INVESTIGATION: MV Herald of Free Enterprise REPORT OF COURT
NO. 8074. London: Author
18
 Designated seaman should tick off questions on the pre-sailing checklist
including bow doors; and
 Designated seaman should check the function of the indicator of bow
door whether it is open or shut according to formal procedures.
Within this context, every ship owner should establish a safety policy22 in the first
place, then develop, implement and maintain a safety management system (SMS) for
ensuring adequate management, safe operation for ships and environmental protection.
Moreover, those systems should be approved by States23.
It could be evaluated that the IMO developed conspicuous instruments regarding the
combination of human elements on board and ashore with safe navigation and
management matters.
3.2 User-Centred Design
3.2.1 Human-Machine Interface
The Human-Machine Interface (HMI) aims to design an interactive part with
efficiency between user and machine (Sanders, 1998). So, the user-friendly interactive
part could contribute to reducing mistakes by human elements.
If collision or grounding happened in dense fog by a ship whose radar was off, the
officer of watch (OOW) might be blamed, and the cause of the accident could be
“operating error” such as “violation of navigation rules and regulations”. The OOW

22 Another objective of the ISM Code is for satisfactory protection of marine and coastal environment
but excluded in this study in order to focus on safe operation of ships.
23 In most cases, Recognized Organizations are in charge of approval of the system instead of
administrations.
19
could be blamed twice because of violation of navigation rules and regulations, and
non-conformity with the ISM Code. However, it might have another solution except
blaming the OOW for avoiding further occurrence of accidents when the radar was
switched off by the OOW’s mistake.
If the ship is equipped with old-fashioned radars that have several knobs such as
dimmer dial, power dial, range dial and sea clutter24 dial, they are arranged on a panel
beside the radar screen and the size and shape of the knobs are nearly the same or
similar. When the OOW wants to turn counter-clockwise for more reflection on the
radar screen, experienced navigators do not feel any confusion to find the sea clutter
dial. If the power dial is just beside the sea clutter dial, any navigators could turn the
power dial off instead of turning on the sea clutter dial in error enforcing circumstance.
Supposing that the ship was sailing in the busy Malacca Strait just before One Fathom
Bank in dense fog, the feasibility of a marine accident will be highly increased
because the turned-off radar requires a warming-up period for operation. Actually, the
author once turned off the power of the JRC radar by mistake in Dover Strait. Some
colleagues had also mentioned the same mistake because the JRC radar was popular at
that time.
As a matter of fact, it is not easy to find investigation reports which depict HMI design
failure. The above arrangement of dials could be a bad example in terms of the HMI.
So, it would be a contributing factor to the accident that was caused by human error.
In conclusion, human error might be a potential contributing factor of hardware.
Therefore, the human error might not be a matter of the human itself and maritime
training could not be the only answer while planning preventative measures for
mistake.

24 Wave reflection adjustment
20
3.2.2 User-Centred Design
The way to mitigate the human error explained in Chapter 3.2.1 would not be limited
to the STCW or the ISM Code. The HMI between the radar and operator should be
more considered. Not a few marine accidents could be evaded by the User-Centred
Design (USD) because a poorly designed HMI could be a contributing factor to
accidents.
Figure 2: Human Centred Design Process
(Source: Lindström & Malmsten, 2008)
According to the International Standardization Organization (ISO) standard 13407
(Human-centred design process), human-centred activities are included in the general
process throughout a development life-cycle. As shown in Figure 2, there are four
activities that consist of the main cycle of the UCD25:
 First step, specifying the context of use;

25 User-entred Design (UCD) is an approach to design that grounds the process in information about the
people who will use the product. UCD processes focus on users through the planning, design and
development of a product.(Source: UPA)
21
 Second step, specifying requirements;
 Third step, creating design solutions; and
 Fourth step, evaluating design.
It might not be needed to elaborate on the steps for the maritime community because
the ISO already publicized the detailed guidelines on the UCD that is the ISO standard
of human-centred design for interactive systems (ISO 9241-210:1010)26. Therefore, it
would be beneficial to utilize the open standards in the maritime community
concerning automation design such as integrated bridge system (IBS), Integrated
Navigation System (INS) or e-Navigation.
3.2.3 Application of the User-Centred Design
There are several leading studies on the application of the UCD in the maritime
community. Typical development has been performed by the ATOMOS27 project
since 1992, which was driven by the EU for Integrated Ship Control (ISC). Ten
organizations including European institutes, ship classification societies and
universities joined and introduced the concept of the UCD for advancement of
navigational safety (Kim H.T., 2012).

26 ISO 9241-210:2010 provides requirements and recommendations for human-centred design principles
and activities throughout the life cycle of computer-based interactive systems. It is intended to be used
by those managing design processes, and is concerned with ways in which both hardware and
software components of interactive systems can enhance human–system interaction. (Source: ISO.
Retrieved August 20, 2012 from the World Wide Web:
https://monkessays.com/write-my-essay/iso.org/iso/catalogue_detail.htm?csnumber=52075)
27 ATOMOS (Advanced Technology to Optimize Manpower Onboard Ships, 1992~1994), ATOMOS II
(Advanced Technology to Optimize Maritime Operational Safety, Integration, and Interface,
1996~1998), ATOMOS IV(Advanced Technology to Optimize Manpower Onboard Ships, ~2005)
22
Major maritime States keep studying the HMI as a part of the UCD for navigational
safety. For instance, Chalmers University of Technology in Sweden participated in the
NACOS Platinum Project that was for developing the IBS on basis of the UCD, and
human factors in the engine department have been analysed for enhancement in the
design of the engine control room. The HORIZON28 project was for examining the
fatigue of watch officers (Lützhöft, 2012). THALASSES 29 was a framework
programme of the EU for adopting human element for evaluating the socio-economic
impact of new technology in the maritime transportation system.
Figure 3: Layout of the enhanced Conning Display of the NACOS Platinum INS
(Source: Lützhöft, 2012)
Figure 3 is a recent example of the UCD embodied equipment that was devised by an
expert group including mariners and engineers by taking into account the end-user,
humans on board, through exchanging expertise and experience (see Figure 4).

28 8 institutions participated in the HORIZON project that was supported by the EU. 3.78milion Euro
invested for 2009-2011.

29 New Technology in Maritime Transport Interacting with the Human Element : Assessment of Impacts
23
Figure 4: Brainstorming Board to devise INS screen
(Source: Lützhöft, 2012)
3.2.4 Quality Assurance System
If the IMO or individual States decided to introduce the UCD for the navigational
equipment, the Quality Assurance System (QAS) should be considered to check
compliance of the UCD. When it comes to the QAS to check the adaptation of the ISO
standards concerned, there are already many known tools even in the maritime
community. For instance, the ISM Code is a type of QAS tools. The ISM auditor could
check the document in compliance with the ISO standards for the target equipment or
factories.
As a matter of fact, the e-Navigation system or the Integrated Bridge System (INS)
could be one of the targets of the UCD and the QAS. Then new navigational
equipment to be replaced could be followed.
24
3.3 Investigation Tools for Marine Accidents caused by Human Element
3.3.1 SHEL and Hybrid Models
The human elements dealt with in the IMO are complex and multi-dimensional
matters related to every factor which affects human-system interface including social,
legal, human ability, cultural and health and design factors (Kim H.T., 2012). The left
Figure 5 is the original diagram of the IMO Casualty Investigation Code, and right
diagram is an analysis of the IMO’s work on the human element in maritime safety,
which shows a simplified explanation that presents a number of factors that have a
direct or indirect impact on human conduct and the potential to carry out tasks.
Figure 5: Topics to be covered by Investigation
(Source: IMO, 1999) (Eriksson, 2003)
Therefore, the IMO set up guidelines for providing practical support of the systematic
investigation into human elements in marine accidents and to let the development of
effective analysis and preventive action be achieved (IMO, 1999, 2007). The SHEL
Model was introduced to get assistance in analysing the contribution of human
elements to errors. The author edited Figure 6 by summarizing Appendix 2 of Casualty
25
Investigation Code, and added sub-titles in the boxes so as to present the scope of the
SHEL Model for reviewing at a glance.
Figure 6: SHEL Model
(Source: Author)
As shown in Figure 6, the SHEL Model places the target person or end user at the
centre of the figure because the target person is a central component and interacts with
software, hardware, the environment and other persons who are peripheral components.
The occurrence sequence of accident is illustrated in the Hybrid Model30 of Figure 7.
The aligned cheese holes of each defence wall become the passage of accident
occurrence. So, even a little change of the walls could defend the accident albeit in the

30 The data collected during an investigation can be organized, using multiple components of the
modified SHEL model, into a framework surrounding an occurrence template, based upon the Reason
model. Causal factors, i.e. the unsafe acts/decisions and conditions, are thereby identified. (Source:
IMO A.884(21) Appendix 1)
26
wrong place at the wrong time. Therefore, the system failure occurs though a series of
aligned loopholes of each step. It would be natural that preventative measures be ready
to block the holes as a result of human element investigation.
Figure 7: SHEL and Reason Hybrid Model
(Source: IMO A.884(21) Appendix 1)
3.3.2 Measures devised to deal with Human Element
The maritime community has generally focused on training of seafarers, ship design
and equipment requirements in compliance with the safety standards set in
international regulations. Therefore, remarkable developments in the field of hardware,
software, liveware and its relationships were achieved as shown in Figure 8 albeit
insufficient tools for the UCD.
27
Figure 8: IMO instruments in Ship System and Human Operator
(Source: Author added blue dotted boxes on Kim H.T., 2012. p.55)
Figure 8 might present IMO’s typical point of view. However, it would not be enough
from the viewpoint of marine accident investigators who keep the Investigation Code
of the IMO. The Code requires that the role of human elements be analysed and
suggests recommendations concerning human-oriented relationships for depicting the
broken or loose interface according to the elements of the SHEL Model. The
investigators should address preventive measures to fill in the found loopholes or to
recover the damaged interface.
Hence, Figure 9 based on SHEL Model discloses loose interface between a navigator
as central component and navigational circumstances as environment. The difference
between Figure 9 and Figure 10 is the consideration of circumstantial factors called
“Environment”.
To summarize four interfaces related to the centred human:
 First, Liveware-Liveware Interface could be controlled by the STCW.
28
 Second, Liveware-Software Interface could be adjusted by the
implementation of the ISM Code of the SOLAS.
 Third, Liveware-Hardware Interface could be addressed by the UCD.
This sector needs further discussion for QAS by the IMO approval.
 Last but not least, example instruments of Liveware-Environment
Interface (LEI) are not found in the IMO level.
Figure 9: International Measures in relation to the centred Liveware
(Source: Author)
As it has been strongly insisted on to sketch an instance of LEI measures from the
IMO instruments, the Traffic Separation Scheme (TSS) could be an example of the
LEI. The TSS plays a role in reducing risky conditions between a navigator (Liveware)
and navigational circumstances (Environment) considering the TSS separates head-on
situations of ships in narrow channels or dense traffic routes. However, the drawing of
TSS depends totally on individual States. The IMO has not given any instructions or
guidelines yet for how to draw the TSS, how to audit it or how to maintain it.
29
Conclusively, the LEI would be a new agenda of the IMO and the maritime
community.
3.4 Summary on the Selected Approaches to Human Elements
The IMO has endeavoured to enhance ship’s design, equipment and stability. Often as
one measure among others, adequate training and certification of seafarers have also
been emphasized to address the contribution of the human elements to marine
accidents.
Supplementary systems on shore that give warning to navigators prior to encountering
risk at sea would be complementary treatment considering that human errors are not
totally eradicated by training and certification. The system would be Vessel Traffic
Service (VTS), Vessel Monitoring System (VMS) 31 , and e-Navigation system.
Furthermore, objectives to the amelioration of human interference would be
automation design such as Integrated Bridge System (IBS), Integrated Navigation
System (INS) or e-Navigation through well-designed HMI. The UCD would be one
more solution to suppress marine accidents caused by mistake while operating
shipboard equipment because the UCD is a consideration of end-user friendly design
from the beginning of a system product. In other words, the design should be
performed to reduce human errors by accumulating information about end-users and
reflecting characteristics of end-users (UPA, 2012). Thus, the contemporary maritime
industry could get benefits from the more sophisticated design taking into account the
UCD.

31 Recently, the term of VMS is defined by IMO in “Performance standards and functional requirements
for the long-range identification and tracking (LRIT) of ships” by Resolution MSC.263(84) adopted
on 16 May 2008 as “a system established by a Contracting Government or a group of Contracting
Governments to monitor the movements of the ships entitled to fly its or their flag. A Vessel
Monitoring System may also collect from the ships information specified by the Contracting
Government(s) which has established it.”
30
Marine accidents can be reduced by one of the aforementioned approaches that might
be the seafarer himself or interface between seafarer and ship, seafarer and
management level. The tools were generally originated from the STCW, the ISM Code
or the HMI studies.
However, this study found that it needs to assay to portray a number of human aspects
in marine accidents, relatively to navigational environment. Therefore, the IMO could
stretch more effort to address any appropriate solutions to deal with the LEI, interface
between operators or end-users (Liveware) and operating circumstances
(Environment). The LEI needs to be analysed further, so that it might be
recommended as a new work reference of the IMO and the international shipping
community.

31
4 USER-FRIENDLY NAVIGATIONAL CIRCUMSTANCES
4.1 Introduction
This chapter discusses several marine accidents, and debates on the width of main
pillars of harbour bridges for safe passage of ships in the Republic of Korea. The
above cases became the background of the new scheme for navigator-friendly design
of ship’s routeing and port zoning for safe navigation, which could be an example
measure of dealing with LEI.
Firstly, the collision between a crane barge Samsung No.1 with a motor tanker Hebei
Spirit was recorded as the most serious oil pollution in Korea, which could have been
prevented if there were safe anchorages within harbour limits. It became a direct
motive to introduce the SPAS.
Secondly, the allision between the LPG tanker New Wave II with the pier was a nearmiss in terms of huge gas explosion. In addition, the collision between chemical
tankers Seunghae and Jeongyang will be mentioned. The two accidents were caused
by poor communication among navigators in a narrow channel. These accidents also
demonstrated the importance of the LEI matter.
Lastly, it will mention a controversy between the land road party and the sea road
party over the span of Incheon Grand Bridge that ended in blocking the passage of
VLCCs in an approaching channel to the port of Incheon. It also became a case of the
necessity of scientific and systematic study on ship’s route.
Analyses of marine accidents are based mainly on final reports of marine accident
investigations of the KMST. The aforementioned controversy on the harbour bridge
refers to technical journals and interviews with officials in charge.
32
4.2 Marine Accident
4.2.1 Collision between a Crane Barge with a VLCC
Synopsis
At 07:06 (LT)32 on 7 December 2007, a crane barge Samsung No.1 being towed by
two tug boats collided with the anchored tanker Hebei Spirit, carrying 260,000 tonnes
(290,000 short tons) of crude oil at the position of N36° 52′16″, E126° 03′02″. The
barge was floating free after the cable linking it to the tug snapped short in the heavy
weather. The collision occurred near the port of Daesan on the West Sea coast of
Taean33. It was 252° (T)34, 5.1 miles off from the nearest the lighthouse.
The drifting barge Samsung No.1 hit the motor tanker (M/T) Hebei Spirit nine times at
the port side of the single hull tanker. Three of the five portside tanks aboard the Hebei
Spirit were punctured, and 10,900 tonnes (12,547 ㎘) of crude oil leaked into the sea
(Supreme Court of Korea, 2011).
Course of the Accident
On 6 December 2006, M/T HEBEI SPRIT arrived in the vicinity of discharging port.
The VTS centre informed the VLCC to anchor beyond harbour limits. The VLCC
anchored at the position of N36° 52′29″, E126° 03′14.5″ with 9 shackles on deck, 8
shackles in water. It was 4.8 miles off, 255° from the nearest light house and 7 miles
off from northeast of the TSS. The captain finished with engine (F.W.E) and changed
navigation watch to anchor watch.

32 Local Time = UTC + 9 hrs. If not otherwise stated all times in the chapter 5 are given in Local time.
33 Vicinity of Taean is known as one of the most beautiful and popular beaches of Korea, where
includes a national maritime park, many cultivating farms and one of the largest wetland areas of Asia
34 True Course
33
Figure 10: Ship’s Particulars concerning Collision
(Source: Final Report of the KMST)
The anchor position was beside main routes to three major ports. The blue lines in
Figure 11 show the main routes to the ports of Daesan, Pyeongtaek and Incheon.
Figure 11: Ships’ Main Routes and Collision Site
(Source: Author)
34
The VLCC was scheduled to get a pilot on board at 14:00 the next day in order to
moor to a Single Buoy Mooring (SBM), 20 miles off from the anchored site.
At about 14:50 on 6 December 2007, a lead towing vessel Samsung T-5 and a
subsidiary towing vessel Samho T-3 commenced towing a crane barge Samsung No.1
and an anchor boat Samsung A-1, bound for Samsung Heavy Industry in Geoje Island
from the construction site of the Incheon Grand Bridge.
Figure 12: Towing Fleet
(Source: White Book of M/T Hebei Spirit Oil Spill, 2011)
At 22:40, a wind wave advisory warning was issued by the Meteorological
Administration. However, the towing fleet did not notice the weather report.
At 23:30, the true course over ground of the towing fleet deviated from 206° to 186°
because of westerly winds and waves, but the captain did not notice it and handed over
the watch to the C/O. The speed was 3.5knots.
At 23:55, the chief engineer of the VLCC completed replacement of a discharging
valve of number 3 cylinder of the main engine but did not open the cooling water
valve of number 3 cylinder.
35
At 00:30 on the day of accident, the OOW did not know the deviation of true course,
and changed helm to autopilot. The towing vessel suffered heavy yawing. The speed
dropped to about 2 knots. The crane barge Samsung No.1 was drifted to port side due
to strong winds and waves from starboard side. The true course of the fleet was about
210° while sailing in zigzag.
Figure 13: Line-up of Towing Fleet
(Source: White Book of M/T Hebei Spirit Oil Spill. 2011)
At 04:00, the OOW reported the heavy weather to the captain. The captain came on
bridge and found that the speed was 1.7 knots, and the fleet almost lost the course
keeping ability. The captain decided to return to the port of Incheon. The fleet drifted
1 mile to the east while the captain slowed down the speed so as to return to Incheon.
At 04:44, when the towing vessel turned to starboard, the fleet was pushed to the east.
36
At 05:17, the heading was north but the fleet drifted to the east. So, the captain gave
up returning to Incheon, and changed the course to the west so as to pull the barge.
At about 06:00, the OOW of the VLCC noticed that the towing fleet approached 1
mile off with the speed of 1 knot. The heading of the VLCC was northward.
At 06:05, the towing fleet drew near 0.7 mile off, and the heading of the fleet was
westward but drifted towards the south where the VLCC anchored. The fleet was
approaching slowly to port bow of the VLCC by heavy weather. The captain of the
tanker anticipated that the fleet might pass abeam portside with CPA 0.3 mile.
At 06:10, the captain of the VLCC ordered stand-by engine (S.B.E.) and forecastle
station. At 06:14, while the towing fleet drifted to the south and approached anchored
Hebei Spirit, the distance became 0.5 mile.
At 06:17, main engine was ready to use. The captain used the engine several times
with dead slow astern and stop so as to slack anchor chains for giving more room
ahead.
At 06:27, when the anchor chain of the VLCC was slacked 4 shackles more, the
captain was informed from the VTS centre that the towing fleet had been drifting due
to restriction in ability to manoeuvre by heavy weather.
At 06:32, the towed crane barge Samsung No.1 crossed the bow of the VLCC. At 06:40,
the crane barge passed with the CPA of 0.3 miles off, bearing 340°(T). It was abeam
of portside of the VLCC.
At 06:54, tug boat Samsung T-5 moved forward much faster than before because the
towing line was broken. After a while, the tug boat Samsung T-5 moved back to the
barge Samsung No.1. The captain of the VLCC noticed it, but did not recognize that
the towing line was broken at that time.
37
Figure 14: Sketch of the Course based on VTS data
(Source: Author modified track data of the KMST)
38
At 06:58, the VLCC used slow astern and half astern engine. After a while, the cooling
water high temperature alarm of No.3 cylinder of main engine sounded35, and the
R.P.M of the main engine slowed down automatically. So, the VLCC became Not
Under Command (NUC) condition.
At 07:04, the main engine recovered. The captain used the main engine with dead slow
astern, slow astern, dead slow astern and half astern.
At 07:06, the VLCC was struck by floating free barge Samsung No.1.
At about 07:28, the captain was reported oil pollution from crews and found crude oil
leakage from No. 1, 3, 5 cargo tanks.
Figure 15: Punctures of M/T Hebei Spirit
(Source: White Book of M/T Hebei Spirit Oil Pollution, 2011)

35 M/Eng. #3 Cyl. C.F.W. Outlet. High Temperature Alarm
39
Figure 16: Polluted Beach in Taean
(Source: Korea Coast Guard, 2007)
Lessons Learned
The KMST made 11 recommendations to seafarers, ship owners, insurers and safety
authorities. Most recommendations were about conformity to existing rules and
regulations on safe navigation and emergency response such as SOPEP 36 .
Recommendations about human elements were two items;
 To designate cargo handling officer to alleviate fatigue of navigation
watch officers,
 To apply the ISM Code to towing fleets even engaged in domestic
navigation.

36 Shipboard Oil Pollution Emergency Plan, 73/78 MARPOL Annex 1 Chapter 5 rule 37
40
The MLTM submitted revision of the Maritime Safety Act (MSA) to adapt the ISM
Code to towing the fleet when it sails between domestic ports. However, the fatigue
reduction action has not been taken yet.
4.2.2 Analysis
The KMST publicized the cause and contributing factors of the accident as follows;
This collision was made by a towing fleet that was composed of towing
vessels Samsung T-5, Samho T-3, an anchor boat Samsung A-1 and a crane
barge Samsung No.1. The towing fleet failed to cope early with heavy
weather, and suffered near loss of maneuverability at sea. However, the
towing fleet did not warn nearby vessels of the drifting condition, and no
safety action like anchoring was taken in emergency. The towing wire of
Samsung T-5 was broken by wind and wave when the towing fleet drifted
and got close to anchored tanker Hebei Spirit. So the floating free barge
Samsung No.1 drifted and collided with the anchored tanker HEBEI SPRIT.
Main cause of the accident was supplied by the towing fleet.
In addition, negligence of watchkeeping beside the heavy traffic route,
indolent response of Hebei Spirit led late action for collision avoidance.
Furthermore, main engine was not ready to be started in urgent situation,
which is contributing factor of the accident (KMST, 2008).
Accordingly, human errors intervened in the accident. The captain of the towing vessel
did not pay proper attention to the weather, and the OOW of the tanker neglected
watchkeeping. So, the two parties in charge were late in evaluating the approaching
danger. If the persons in charge performed good seamanship, the accident would not
have occurred. In that case, preventive measures should focus on how to drive the
seafarers to perform good seamanship. Therefore, the KMST suggested the application
of the ISM Code which is a well known preventive measure to human error by
systematic check.
41
However, the focus of the MLTM was more comprehensive and different from the
view of the KMST in counter measures for preventing further accidents. The MLTM
as an authority for safety of maritime traffic, first of all, designated a waiting area far
beyond the fragile area between main routes and harbour limits because vessels
navigating through the main routes could drift to the site of the accident again.
The port of Daesan was constructed beside the main route to the ports of Inchoen and
Pyeongtaek. Before the inauguration of the port of Daesan in 2007, most cargoes of
Daesan petro-chemical complex and nearby industrial complex were transferred to the
port of Incheon or Pyeongtaek for sea transportation (KMOA, 2007). In this context, it
is regrettable that the port designer did not consider the risk of drifting. If the designer
viewed the whole traffic system of the region, the port zoning including inner harbour
anchorage might be differently designed. Therefore, the revision of the MSA included
a compulsory audit scheme for analysing navigational conditions around ship’s routes
and port zones (Kim, 2011).
Nevertheless, the oil pollution of M/T Hebei Spirit was a catalytic initiator rather than
an original creator of the audit scheme.
4.2.3 Summary of Marine Accidents
As determined by the final report of the KMST, even a little drifting could be
devastating in the wrong place at the wrong time. It was proven in chapter 2.2.2 that
the denser the traffic is, the higher the danger of accident is. So, port zones and
confined channels are prone to accidents. The worst oil pollution incident in Korea
also occurred in one of the busiest zones and main routes to three major ports.
The MLTM turned attention from seafarers in charge to the accident site considering
that human errors could not be totally eradicated. Therefore, it would be the case that
had the tanker not dropped anchor at the position, the collision could have been
avoided. As a matter of fact, the fully loaded Hebei Spirit could not anchor in the inner
42
harbour of Daesan because there were not enough anchorages for receiving VLCCs.
Thus the tanker dropped anchor outside of the harbour.
It showed that design deficiencies led to the failure of systems. So, well designed ports,
including port zoning, can reduce the human element contribution to the failure of the
system.
4.3 Near Miss
4.3.1 Allision between a LPG Carrier with a Chemical Pier
At 03:21 on 25 April 2003, the LPG carrier New Wave II (3,244 G/T) struck the LGCaltex pier in the port of Kwangyang37. It could have led to a very serious explosion
because the pier was surrounded by explosive chemical piping, tanks and industry
complex. It could be classified into a near miss in terms of explosion.
There were 4 two-way routes within the harbour limits and one special traffic area38 at
the mouth of the port. As shown in Figure 17, the dotted circle was the most risky area
in the route No.2, and the width of the two-way route was about 200-250 metres
without centre separation buoys (KMST, 2004).
Course of the Allision
The New Wave II sailed through route No.2 from route No.1 with the full speed of 11
knots. The visibility was 200-300 metres in rainy weather. The ship was approaching
the narrow channel of the route No.2 with the course of 270°. The pilot received
detailed traffic information of the route No.2 from the VTS centre.

37 The port of Kwangyang was one of the fastest developing ports in Korea because it was surrounded
by world-class chemical industry complex.
38 Deep draft vessels and dangerous goods carriers have priority for course keeping in the Special
Traffic Area. (Source: MSA article 10)
43
At 03:18, the pilot changed course to 265° and found the LPG carrier Dukyang No.3
that was 0.3 miles off on the port bow side. In addition, the red light of Daemok No.1
was first sighted 0.75 miles off on 10° from the starboard bow.
Figure 17: Risky Area of the Port of Kwangyang (Route No. 2)
(Source: Author)
At 03:20, the approaching Daemok No.1 was about 150 metres apart. The pilot of New
Wave II thought that Daemok No.1 might pass by port side (port to port), and asked the
captain of New Wave II to inform the Daemok No.1. of the pilot’s intention. The pilot
believed that promise was made for port to port passing. However, the navigation
lights of the opposite vessel Daemok No.1 was changed from red light to both lights,
then green light. So, the pilot of New Wave II ordered immediately to steer to hard port.
The collision was evaded. However, the New Wave II approached the LG-Caltex pier
44
that was 150 metres apart. The pilot ordered hard starboard rudder, full astern engine
and dropped a starboard anchor.
At 03:21, the bow of the New Wave II rotated to port side due to the CPP39 and hit the
pier with the speed of 5 knots by forward inertia.
Fortunately, the allision damaged only to the shell plate of the New Wave II and
fenders of the pier. However, if the outbound vessel Dukyang No.3 had left the pier a
little late, the New Wave II would have collided with the loaded LPG carrier Dukyang
No.3. The explosion of the two LPG carriers might have induced more serious
explosion of the LPG piping and the nearby chemical complex.
Lessons Learned
Miscommunication between ships led to misjudgement. Misjudgement in narrow
channels has led to marine accidents. So, unclear communications between ships were
pointed out as a contributing factor by the KMST, and the VTS centre was advised to
perform positive intervention to avoid head-on situations in the narrow channel of the
route No.2 (Mokpo, 2003).
4.3.2 Accident caused by Miscommunication
There was another accident between oil tankers at the same route No.2 on 23
December 2004. The inbound tanker Seunghae suggested that the outbound tanker
Jungyang should pass the narrow channel first, but the outbound tanker asked the
inbound ship to enter the channel without hesitation. So the inbound tanker believed
that the outbound tanker would give way, and the collision occurred in the channel.

39 Most merchant ships are equipped with the Fixed Pitch Propeller (FPP). The bow of the ship rotates
to starboard side when it uses astern engine. However, the New Wave II was equipped with the
Controllable Pitch Propeller (CPP). So it moves port side while using stern engine.
45
The accident caused 623 kl of oil leakage into the sea, but early response by the oil
pollution prevention team stopped the spread of the leakage.
The regional Maritime Safety Tribunal40 advised that the VTS centre should carry out
positive intervention in ample time to avoid danger including head-on situations in the
narrow channel of the route No.2. The seafarers in charge were blamed for human
errors.
Finally, the port authority prohibited the two-way passing at the narrow channel41 to
avoid head-on situations, and the VTS centre commenced designating the order of
passing the channel. No more accidents have been reported yet after the treatment
measures.
4.3.3 Analysis
The direct cause of the two accidents was miscommunication which is a kind of
human errors. However, the successfully applied preventative measure was changing
the two-way route to a one-way route. It could be interpreted that the possibility of
human error was cured by changing navigational circumstances. Therefore, it would
not be wise to stick only to training of seafarers or the VTS system to reduce human
errors.
4.3.4 Summary on Near Miss
Similar marine accidents were repeated although the KMST recommended active
intervention of the VTS. However, the accidents did not happened any more by
designating the two-way routes as one-way route.

40 The KMST has four regional branches.
41 Notification No. 2004-10 of Yeosu Regional Maritime Affairs and Fisheries Office on 5 March 2004.
Vessels longer than 35 metres (including towing fleet) are not allowed to pass by in the narrow
channel of route No.2 day and night without permission of the VTS centre.
46
The treatment measure should be focused on because of the possibility of reducing
human error due to adjusting navigation environment. In this context, the favourable
environment that blocks development of human error to marine accident could be
defined as navigator-friendly circumstances.
4.4 CONTROVERSY OVER THE SPAN OF HARBOUR BRIDGES
4.4.1 Introduction
The day before the oil pollution of the Hebei Spirit, the collided barge Samsung No.1
was engaged in lifting the longest deck of a harbour bridge between the main pillars of
the Incheon Grand Bridge. The lifting work was televised nationwide, but the same
barge was shown again on TV news next day because it struck the VLCC.
Figure 18: The Incheon Grand Bridge crossing the entrance of the port of Incheon
(Source: Author added the width of the bridge on Incheon Bridge, 2009)
The Incheon Grand Bridge was designed to connect the Incheon International Airport
in Youngjong Island with the Incheon superhighway linked to the capital city, Seoul.
It shortened the transit time up to one hour from Seoul to the Incheon International
47
Airport. So, it rendered great services to the cost-down of land logistics. It cost a total
of 1,084 million USD (Incheon Bridge, 2009).
The total length of the bridge is 21.38Km including 12.34km of a two-way 6-lane
expressway on the sea. The longest span between the bridge pillars is 800 metres. It
has a vertical clearance of 74 metres. The bridge can stand ship’s collision of 100,000
DWT with 10 knots (KMU, 2007).
4.4.2 Debates between Land Road Party and Sea Road Party
Construction work was performed from June 2005 to October 2009, although the
construction contract was signed on September 1999. Two years was consumed for
deciding the span of the main pillars before finalizing the blue print. The Ministry of
Construction and Transport (MOCT) 42 was interested in fast construction with an
economic budget. However, the Ministry of Maritime Affairs and Fisheries (MOMAF)
did not agree on the span of the bridge because it could be an obstacle to safe
navigation (Kim, 2009).
Figure 19: Outline of the Incheon Grand Bridge
(Source: Author added the red arrows and remarks on Incheon Bridge, 2009)

42 According to the reform of the governmental organization of the Republic of Korea, former the
Ministry of Maritime Affairs and Fisheries (MOMAF) and the Ministry of Construction and Transport
(MOCT) have unified into the Ministry of Land, Transport and Maritime Affairs (MLTM) in 2008.
(Source: Author)
48
Generally, the construction parties including land traffic authorities and private
companies tend to have an economic view point. They focus more on the commercial
requirements rather than maritime safety, which cause not only risk of maritime traffic,
but also some severe conflicts between the parties concerned (Lee, 2009).
The part C of Figure 19 was a matter of argument. The MOCT asked the opinion of
the MOMAF on two options of the 550 metres and 450 metres’ spans between the
pillars. However, the MOMAF requested that the span between the main pillars should
be 700-1000 metres, and the side span should be over 250 metres. The MOCT
modified the suggestion to 675 metres after ship handling simulations that were
carried out by the Korea Ocean Institution (KOI)43. Then, the MOMAF demanded two
main spans of 550 metres. The demand was based on the ship handling simulations
performed by the maritime universities44 that had been arguing against the study result
of the KOI because their points of view to safe navigation were basically different
from that of KOI. Also, the MOMAF did not give any reliability to the simulation
result of the KOI (Kim, 2009).
Once, the construction company proposed an alternative plan based on other
simulations. The span of the main pillars was 675 metres and the side span beside the
main pillars was 280 metres. However, the MOMAF did not agree on the alternative
plan. Under the intervention of Vice Prime Minister, it was agreed between the two
ministries after several times of ministerial meetings that the span of the main pillars
in the design stage were supposed to be 700 metres taking into account the urgent road
traffic need, and that a reliable third party institution would perform the ship handling
simulations to search for risk assessment and safety enhancement (Kim, 2009).

43 The institution produced and operated full mission ship handling simulators. (Source: Author)
44 The university is equipped with Kongsberg full mission ship handling simulators. (Source: Author)
49
So, a well-known Japanese institution carried out the bridge passing simulation more
than 20 times, and handed in three options with conditions about the span of the main
pillars. Finally, the cable stayed bridge had five span lengths of 80 metres, 260 metres,
800 metres, 260 metres and 80 metres (Incheon Bridge, 2009).
4.4.3 Different Results from Different Conditions
More than three well-known institutions home and abroad were involved in the ship
handling simulations but the results were different from one another.
Regardless of the function of simulators, one of the reasons why the institutions turned
in different results of the studies could be the consideration of different inputs of the
weather conditions into the simulators. If wind speeds were strong, the ship would be
more pushed to the leeward side. When current directions were abeam to the ship’s
side, the ship would easily deviate from the planned course. Considering that
simulators are a kind of calculator which renders output answers based on input data,
the standard input data is as much important as the simulator itself.
Therefore, every input factor of simulation needs scientific verification for the
accuracy and social agreement for the model ship. If that was the case that the standard
of input data should be fixed, the government or any other organization of authority
should present guidelines for data input in order to confirm reliability of the
simulations. Moreover, there should be scientific tools to evaluate the safety margin
for simulation of ship or any other official standards for ship’s routeing (Cho, 2010).
4.4.4 Side Effect of the Harbour Bridge
Incheon is the second largest port city in Korea, and most industries in Incheon are
linked to the port management. The local government of Incheon supported and relied
on the MOMAF because fluent sea traffic was more important for the further
development of Incheon.
50
On 19 October 2009, the Incheon Grand Bridge opened to traffic and became the
landmark of the city of Incheon with the record of the 5th longest bridge among cable
stayed bridge in the world.
As studied, the span of the bridge was decided by agreement between the MOCT and
the MOMAF. The clearance of the bridge did not get any concern. When the bridges
over the approaching channels were completed, it was found that the empty or fully
loaded VLCC could not sail in or out from the inner harbour of Incheon45 because the
model ships chosen for the simulations were 100,000 dead weight tonnage of bulk
carriers (KMU, 2007). The VLCCs have more air draft than that of model bulk carrier
and more impulse to the bridge pillars. Moreover, there was one more harbour bridge
over the northern approaches as shown in Figure 20.
⇧ Northern Bridge / ⇩ Southern Bridge
Figure 20: Two bridges surrounding the port of Incheon
(Source: Author)
According to the interview with the official in charge of port management, an oil
refinery company, SK Energy, tried to hire VLCCs for transporting crude oil to the

45 Author interviewed the official in charge of the port management in 2011.
51
port of Incheon in 2010. However, the port authority could not accept the proposal
because of vertical clearance of the Incheon Grand Bridge and the strength of
protective pillars of the bridge that was designed to stand ship’s collision of 100,000
DWT with 10 knots. The oil refinery company amended its proposal from full loaded
VLCC to half loaded VLCC in 2001. However, no agreement has been made yet.
It might be safe to predict that the inner harbour of Incheon could not be used by big
ships like VLCCs. In addition, recently designed huge ships like 15,000 TEU
container carriers could not enter the inner port of Incheon, which means the
development of the city would be limited forever in case that the bridges exist.
4.4.5 Summary on Controversy over the Span of Harbour Bridges
The Incheon Grand Bridge was built under the negotiation of two ministries which
were in charge of land transportation and sea transportation. It took two years to reach
mutual agreement based on scientific studies, such as ship handling simulations.
However, the results of scientific studies were different from one another, and they
were favourable to clients.
In this regards, the so-called scientific simulations could be fabricated by manipulating
input data. In case of malice, the anticipated results could be created by editing input
data. Even in good faith, the categories of input data should be fixed by scientific
research and social agreement because the two ministries failed to enter the
perspective of the port development. So, the bridge blocked the passage of VLCCS in
view of the results so far achieved.
It could be concluded that the simulation conditions are more crucial points to acquire
scientific and accurate results than mutual agreement. Moreover, the categories of
input data are also crucial points for comprehensive and reliable simulation.
52
Two lessons were learned from the debates over the span of the bridge and port entry
of VLCCs:
 To standardize the condition of ship handling simulation,
 To classify subjects for consideration in accordance with category of
business.
4.5 Summary on User-Friendly Navigational Circumstances
Repeated marine accidents could be, sometimes, irresistible consequences when the
design of ship’s route and port zoning was carried out without scientific consideration
to safe navigation.
If rooms for absorbing human errors are given, not a few marine accidents could be
evaded. In the case of the Hebei Spirit, even a little drifting made devastating result in
port areas and approaches. In other words, the collision could have been avoided
unless the VLCC had dropped anchor at the busy water zone. It proved that design
deficiencies led to the failure of systems considering the Hebei Spirit was not allocated
to safe anchorage. It would be worth noticing the allision of LPG carrier New Wave II.
Though the captain was blamed because of human error, the successful preventative
measure came from modifying navigational circumstance.
This study demonstratively found that human error as the main cause of marine
accident might not be eradicated by warning liveware or enhancing software alone.
The navigational environment could play more practical roles in the matter of human
error.
The span between the main pillars of the Incheon Grand Bridge was calculated on the
basis of scientific simulations. Ship handling simulations had been generally applied to
analyse the risk factors of navigational circumstance. However, the ministries
53
concerned did not agree on the first draft span because the results of simulations were
not independent from clients.
The span of 800 metres between the main pillars of the cable-stayed bridge was finally
agreed between the two ministries after more than 20 simulations by an independent
third party. No matter how agreed and simulated, the bridge became an obstacle in the
near future because VLCCs could not enter the inner port through the bridge. The size
of the model ship was reflective of current biggest vessels. The future ship considering
port receptability was not reflected at the table of mutual agreement.
Especially, taking into account that the same size of ship’s route would be regarded as
shrinking when the traffic volume increased, vessels became bigger or faster. What is
known as human error might be, sometimes, evidence not to blame seafarers but to
urge safety administrations to scrutinize the navigational environment.
In conclusion, carefully designed or modified ship’s routes and water zones can reduce
human element contributions to the failure of safety systems. For this reason, the
design of ship’s routeing and port zoning require scientific research for maritime
safety. Moreover, the research should be protected and guaranteed by independent
standards.

54
5 SHIP’S ROUTEING AND PORT ZONING AUDIT SCHEME
5.1 Introduction
Navigational risk has been increasing significantly in recent years owing to the
growing traffic volume and increasing size of ships. In addition, a variety of marine
facilities such as harbour bridges, SBMs or jetties could be obstacles to safe navigation.
Those installation and busy traffic could symbolize the economic development.
However, the development running ahead of safety could result in accidents. As it was
studied in Chapter 4, one of the best ways to avoid marine accidents caused by human
elements is relieving or eliminating, if possible, the navigational circumstances that
are sensitive to human errors.
Not a few marine investigation reports of the KMST depicted that risky circumstances
had continuously contributed to near misses or marine accidents. However, the port
design and water zoning were dealt with by the land-based concept for pursuing fast
development. Even though maritime safety parties had tried to tackle the construction
of obstacles in navigable waters case by case retroactively, the deciding power was on
the land-based parties (Cho, 2010).
Meanwhile, the oil pollution of M/T Hebei Spirit cast deep impact on the Republic of
Korea. So the maritime safety parties could stand firm for the needs of reforming
retroactive procedures. The maritime safety bureau of the MLTM suggested that the
Marine Safety Act (MSA) be amended to include new maritime safety policies that
were admitted at the Presidential Meeting46.
The SPAS was the most outstanding scheme of the amendment. The SPAS was to
evaluate the maritime traffic safety on port zoning, ship’s routeing and marine facility

46 On February 2008, the Presidential meeting admitted the draft of new safety policy on maritime
traffic that included the SPAS, prohibition of port entry of single hull tankers etc. (Kim, 2011).
55
construction. The ship handling simulation became a compulsory step and detailed
guidelines for the condition of simulation were enacted by the law in order to put the
former controversies on liability to disappear. The amended act47 entered into force on
28 November 2009 (MLTM, 2009).
This chapter aims to introduce the examples of safety measures in port zones and
approaches, comparing the SPAS with existing schemes of major maritime States. The
concept and procedure of the SPAS will be described to research advantages and
shortcomings of the SPAS.
5.2 Examples of Safety Measures in Coastal Waters
The IMO is recognized as the international body responsible for establishing and
recommending measures concerning ships’ routeing in international waters (USCGNC. 2005). On the other hand, the coastal waters are under the control of coastal States
(UNCLOS article 2).
The IMO carries out approval of the Traffic Separation Scheme (TSS) in international
waters, although there are no any international schemes or guidelines for checking the
suitability of ships’ routeing. Some coastal States adapted safety audit systems for the
safety of coastal navigation. There will be briefly explained to compare with the SPAS
of Korea.

47 Korean law is divided into three levels (Act -> Enforcement Decree -> Enforcement Rule). The lower
level laws should have any foundation in the upper level law to be written.
1. Acts should be passed the review under the National Assembly.
2. Enforcement Decree should be reviewed by the President.
3. Enforcement Rule should be screened by the Prime Minister.
4. Ordinance of Minister can be issued by the Ministers under the mandate of the law. (There are
several forms of Ordinances, i.e. Notification for people, Directive for government officers,
Guidelines or Instructions for all.
56
5.2.1 The United Kingdom and Hong Kong
The UK enforced the Port Marine Safety Code of 2009 that applied to all harbour
authorities. Basically it uses the Formal Risk Assessment techniques to identify risks
in harbours and approaches. It aims at maintaining the marine safety management
system being in place to ensure that all risks are controlled – the more severe ones
must either be eliminated or kept as low as reasonably practicable (UKD, 2009). The
Code is generally interested in plans and an assessment of harbour authorities’
performance in meeting their obligations at least once every three years.
Hong Kong kept a similar policy to that of the UK. Hong Kong publicized the risk of
maritime traffic in its sea area after performing a wide range of strategic research that
was to survey maritime traffic on the basis of risk evaluation. The standard for risk
management was ruled by the Hong Kong government (MMU, 2007).
There is a harbour board for taking responsibility of safety audit. The role of the
harbour board in the UK and Hong Kong is as important as the audit institutions in
Korea. However, the Code did not supply any specific technical guidelines for
auditing the safety system of the target waters or approaches.
Owing to the maritime traffic system in Hong Kong, there has been no human loss
casualty in Hong Kong, one of the busiest ports in the world, since 1971 until the crash
between a ferry and an excursion boat happened on 1 October 2012. Thirty-eight
passengers died and six crew members were detained. Some maritime experts of Hong
Kong criticized that increased traffic volume and continued proclamation work along
the piers changed the navigational circumstances, which requires the review of the UK
style maritime traffic system (Hwang, 2012). Therefore, new approaches to the safety
audit system of Hong Kong are expected.
57
5.2.2 The United States of America
The United States Coast Guard (USCG) 48 holds the authority for ship routeing
measures such as designation of fairways and fairways anchorages in U.S. waters. The
USCG operates the Port and Waterways Safety Assessments (PAWSA) under
authorities of 33 USC. 49 1221 – Port and Waterways Safety Act of 1972, as amended
by the Port and Tanker Safety Act of 1978. The PAWSA aims at providing specific
results and measures for optimal routeing of ships to, in and from major ports in
conjunction with all other marine activities occurring in that area. For instance, it is to
confirm that every fairway and anchorage in fairways might be designated or
established to provide unobstructed approaches for ship (USCG, 2012).
Figure 21: Simplified Overview of the PAWSA Process
(Source: USCG-NC, 2005)

48 The United States Code (USC) title 14 and title 33 contain the responsibility of the USCG and
management of the navigation and navigable waters. The first chapter of 33 Code of Federal
Regulations (CFR), Navigation and Navigable Waters, entitles the USCG to manage maritime safety.
49 The USC enacted by Congress enables the CFR. Regulations of the CFR spell out in further detail
how the executive branch will interpret the law. (Source: University of Minnesota. FAQ. Retrieved 9
September 2012 from the World Wide Web:
Book 2:
Risk Factor
Rating
Scales
Provide input
Book 3:
Baseline
Risk Levels
Establish risk
levels and
Book 4:
Mitigation
Effectiveness
Assess
effectiveness
Book 5:
Additional
Mitigations
Assess
effectiveness
Book 1:
Team
Expertise
Establish
weighting
PAWSA Day One PAWSA Day Two
58
As shown in Figure 21, the PAWSA process is a two-day workshop whose members
are composed of waterway users, stakeholders, and the agencies/entities responsible
for implementing selected risk mitigation measures because it is to survey major
waterway safety hazards, estimate the level of risk related to fairways, evaluate
potential mitigation measures, and set the stage for enforcement of selected
preventative measures to decrease risk (USCG, 2012).
To sum up, the PAWSA could be classified into the expanded harbour board of the
UK. Although the PAWSA results are collected by a quantitative method using
spreadsheets for the data collected from each book, the convened group members use a
qualitative method to fill in the books because they depend on their expertise and
experience. Computer simulations are not involved in the process.
5.2.3 Canada
Canada enforced the Navigable Water Protection Act (NWPA) in 1985. It was lastly
amended on 12 March 2009. It is composed of 5 parts 50 and has 5 subsidiary
regulations51 for safe navigation.
The NWPA has something in common with the SPAS in various ways. First of all, the
law only aims at navigational safety at navigable waters. Second, the target of the law
includes most work including construction52 at sea. Third, the minister in charge of
maritime safety holds the power of approval in every case of work at sea.

50 Part 1: Approval of Works, Part 2: Obstacles and Obstructions, Part 3: Ferry Cables and Swing or
Draw Bridges, Part 4: Administration & Enforcement, Part 5: Review
51 1) Ferry Cable Regulations, 2) Navigable Waters Bridges Regulation, 3) Navigable Waters Works
Regulation, 4) Proclamation Exemption the Waters of Sandy Pond from the Operation of Section 22
of the Navigable Waters Protection Act, 5) Proclamation Exemption Tom MacKay Lake from the
Operation of Section 22 of the Act
52 “Navigable water” includes a canal and any other body of water created or altered as a result of the
construction of any work (NWPA article 2)
59
Table 7: Comparison between MSA (SPAS) and NWRA
Categories SPAS of Korea NWRA of Canada
Title of Act
Maritime Safety Act
Enforcement Decree
Enforcement Rule
Ordinance of Minister53
Navigable Water Protection Act
Five sub‐regulations
Enactment 2009 1985
Purpose
Professionally to inspect, measure,
evaluate any risk factors of the
navigation safety which may affect to
maritime traffic safety and be
happened by the designated marine
businesses54 (MSA article 2.16)
No work shall be built or placed in, on,
over, under, through or across any
navigable water without the Minister’s
prior approval of the work, its site and
the plans for it (NWPA 5. (1)).
Character
Specific target business, fixed audit
items and evaluation method
Comprehensive target work,
unspecified audit process
Weighing on independent and
impartial audit reports on the
business according to specific
guidelines
Weighing on navigational safety during
and after the business instead of the
business itself
No works can be begun without the
Minister’s approval
Minister’s decision for work is
imperative
Informing related authorities and
business owners of the audit result
Publicizing the approved business to
local newspapers
(Source: Author)

53 Ordinance of Minister can be issued by the Ministers under the mandate of the law. (There are several
forms of Ordinances, i.e. Notification for people, Directive for government officers, Guidelines or
Instructions for all. (Source: Author)
54 1) Establishment and change of water area; 2) Construction / attachment or repair of structures such
as bridge / tunnel / cable, etc. installed in the water area; 3) Development / redevelopment of harbor or
wharf; and 4) Other business to affect conspicuously to maritime traffic safety as prescribed by
Ordinance of the Ministry of Land, Transport, and Maritime Affairs.
60
The Canadian system is much similar to Korean system. Table 7 shows the similarities
and differences. However, the NWPA of Canada has many common clauses with the
SPAS of the MSA, there are no specific guidelines on the audit process and technical
parts such as simulation standards which Korea and Japan have.
5.2.4 Japan
Japan also has a method to evaluate the risk of maritime traffic in harbour areas.
Table 8: Comparison between Korean and Japanese Audit Systems
Categories KOREA JAPAN
Regulation
Ordinance of the MLTM
(Compulsory)
Guidelines of the Marine Casualty
Prevention Association
(Recommendation)
Aim
To secure navigational safety by removing
risky factors caused by business in
navigable waters
To secure navigational safety by
quantitative analysis of effects
caused by business on vessel traffic
Target
business
Port construction, water zoning. Traffic
Separation Scheme, etc.
Port management plan, Facility
construction, Maritime traffic
system, etc.
Evaluation
Target
Business outline, Environmental elements,
Navigational circumstances, Traffic survey,
Diagnosis of traffic characteristics, Users’
opinion
Environmental elements,
Navigational circumstances,
Existing facilities, Navigational aids,
Model vessel
Evaluation
Method
Simulations of Ship handling,
Berthing/unberthing, Traffic congestion
Simulations of Ship handling, Traffic
congestion
Assessment Assessment Committee Consultative Committee
(Source: Author)
According to the Port Act article 27, all construction and development work in port
and approaches should be authorised by port authorities. In addition, though it is not a
compulsory step, the port authorities ask the opinion of the Japanese Coast Guard.
61
Then the Japanese Coast Guard summons the Marine Accident Prevention Committee
whose members are experts of the maritime community in Japan (KMU, 2007).
The auditing process and simulation guidelines are much similar to the Korean system
as shown in Table 8, but the Japanese guidelines are on a voluntary basis.
5.3 Summary of Examples of Safety Measures in Coastal Waters
In cases of the UK, Hong Kong and the USA, the safety schemes rely on the expertise
and experience of the participants of safety audits, whatever their titles are. In addition,
the stakeholders are invited to the audit meetings so that the impartiality of the audit
result could be controversial because the audit result depends generally on the
participants and they could try to negotiate for mutual agreement. Then, the final
safety measures might be minimized more than expected by navigators. On the other
hand, once the agreement is made, it would be easy to enforce the new safety schemes
according to the result of audit because all parties concerned participated in the audit.
Though the stakeholders participate in the course of audit in Korea and Japan, their
roles are confined to certain steps of the audit process. The stakeholders’ contention
could be checked by computer simulations. Especially, as the simulation standards are
already fixed for how to identify risk factors, estimate, evaluate and finalize for
recommendations. So, scientific research could be used to persuade the stakeholders
who do not agree on certain matters. Moreover, the final decision is made without
stakeholders. So, it would better to induce stronger measures for maritime safety.
Every State must have chosen its best policy for navigational safety in coastal waters
according to their historical background. In terms of independency of auditing, the
Korean system might be one of the most scientific and objective systems because
auditing procedures are already fixed and collected data are processed by quantitative
tools like computer simulations.
62
5.4 Overview of the SPAS
5.4.1 Background
Even though the legalization of the SPAS was expedited by the tragedy of M/T Hebei
Spirit, the scheme had already been studied before the tragedy.
On October 2007, the Mokpo National Maritime University (MMU) completed the
study for a draft framework of safety impact assessment in maritime traffic. The study
was initiated by the maritime safety bureau of the MOMAF because retroactive steps
for ensuring navigational safety in coastal waters were not enough to prevent human
error evolving into accidents in heavy traffic zones. In addition, on December 2007,
the Korea Maritime University (KMU) carried out the study on the draft guidelines for
the bridge construction crossing harbours or harbour entrances. The study was
financially supported by the Port Logistics Bureau of the MOMAF because the bureau
also had been anticipating standard steps against several bridge construction plans
made by local governments and even the construction bureau of the MOMAF.
These two studies aimed at ensuring safe navigation in busy maritime zones from the
view point of navigational safety and port efficiency. The SPAS was reported to the
Presidential meeting of Korea as one of the safety policies following the oil spill of
M/T Hebei Spirit.
5.4.2 Concept of the SPAS
The SPAS is a compulsory formal safety assessment scheme for maritime traffic
safety55. The scheme is a systematic process for estimating and identifying potential
risks associated with marine development, and for providing opportunities to improve

55 The purpose of the SPAS is to prevent marine accident and to promote efficient traffic (MSA article 1,
2).
63
traffic safety. Therefore, the task of SPAS is practically to identify potential hazards
from the early stage of design which might affect safe navigation, and to suggest all
possible measures to eliminate or mitigate those risks (Cho, 2009).
The definition of the audit scheme is in the 2nd article of the MSA. It states that the
audit is a professional survey, measurement and evaluation of the hazards that may
occur at sea by the following type of work:
 Setting up or modification of water zone;
 Construction or maintenance of bridges, tunnels or cables in water;
 Development and redevelopment of harbours and ports; and
 Any projects designated and announced by the Minister of the MLTM as
remarkably sensitive to maritime traffic.
Conclusively, the audit scheme should be applied to almost all the marine type of
work except special cases like emergency restoration service at sea56.
5.4.3 Auditing Institutions
For the purpose of reliable and independent auditing, there are four official auditing
institutions that are equipped with two facilities of a three dimensional full mission
ship handling simulator, and a minimum of eight qualified auditors57. The registered
institutions are, at present, the Mokpo National Maritime University58, the Maritime &
Ocean Engineering Research Institute59, the Korea Maritime University60, and the

56 MSA article 16
57 MSA article 19, Enforcement Rule of the MSA article 15
58 Refer to the World Wide Web: https://monkessays.com/write-my-essay/mmu.ac.kr/
59 Refer to the World Wide Web: https://monkessays.com/write-my-essay/kordi.re.kr/ 60 Refet to the World Wide Web: https://monkessays.com/write-my-essay/hhu.ac.kr/
64
Institute of Maritime and Fisheries Technology 61 . The four institutions are
independent of design or construction companies.
5.4.4 Overall Process
The SPAS is required to commence when a project owner plans to build marine
facilities like bridges over sea routes, or to designate navigable waters as navigation
prohibited zone like anchorage or marine protected area.
Figure 20: Administrative Procedure of the SPAS
(Source: SPAS Guidelines of the MLTM, 2010)
As shown in Figure 20, project owners ought to ask registered audit institutions to
make the audit report on their draft drawings. Then, the audit institution performs
auditing according to guidelines of the MLTM. The audit report should be passed the
Assessment Committee of the MLTM.

61 Refet to the World Wide Web: https://monkessays.com/write-my-essay/seaman.or.kr/
Administrative Organ
Project Owner
MLTM
Submission of Report
MSA Report
Submission of Report
Notice
of Comments
(within 45days)
Notice
of Comments
Audit Institute
Request of Audit
Assessment
Committee
Submission of
Assessment Result
Request of
Assessment
65
It is completely self-governing market system because the auditing institutions
compete with each other to contract with project owners who consider the balance
between quality of the audit result and budget to be invested. Although projects
owners are interested in minimum cost for maximum profit, the quality of audit report
is not negligible because the project cannot be approved by the Minister of the MLTM
when the audit result is decided as “poor” by the Assessment Committee (Cho, 2010).
5.4.5 Auditing Process
When the auditing institutions set to work, they keep track of designated four steps as
illustrated in figure 21.
Figure 21: Auditing Process
(Source: SPAS Guidelines of the MLTM, 2010)
First of all, the audit institution surveys existing maritime traffic in the region of
construction site but not limited to the site. The auditors utilises integrated data of
Survey of Existing
Maritime Traffic State
– Project outline
– Design criteria
– Natural environment
– Navigational condition survey
– Maritime traffic survey
Measurement of
Existing Maritime Traffic State
– Audit on the characteristics of
maritime traffic
– Analysis of mariner’s opinion
– Audit on maritime traffic congestion
– Audit on current maritime traffic flow
Establishment of
Safety Countermeasures
– Expert’s opinion
– Assessment items if need be
alternative
– Countermeasures for safety
Adequacy Assessment of
Maritime Traffic System
– Navigational safety assessment
– Berthing / Unberthing safety
assessment
– Mooring safety assessment
– Maritime traffic flow assessment
– Comprehensive assessment
66
various systems such as VTS, AIS, VMS, LRIT and the data exchange system of
GICOMS62, but they have to visit and check the target region actually by radars or any
other traffic gauging equipment according to the guidelines on the SPAS of the
MLTM.
The auditors analyse the traffic patterns and receive opinion of seafarers who have
sailed in the region. Then, auditors assess the risks using full mission ship handling
simulators with the help of active captains and pilots. The conditions of ship handling
simulation are already standardized by the Guidelines of the SPAS. For example, the
input wind speed should be prevailing wind direction and speed which should be
maximum instantaneous wind, maximum wind, and average wind63.
The audit institution holds minimum 3 meetings to ask the opinions of experts and
stakeholders. The auditor records, classifies and evaluates all the opinions taking into
account navigational safety and the additional burden of development expenditure. In
this course, the SPAS showed an unexpected advantage in harmonizing the opinions
of the stakeholders. For instance, when the new port project is under consideration,
pilots, port managers and construction companies might have different opinions. The
project owner generally might be interested in saving budget. The pilots might want
wider routes, and the port management authority might require wide berths. It took
several years to reach mutual agreement before the SPAS, which led to the
squandering of the social resources. However, it was not easy for the stakeholders
including project owners to argue against the result of independent and scientific

62 General Information Centre on Maritime Safety and Security (GICOMS) is to provides a general
picture for all Korean ships regardless of their location in the world and for all ships in Korean waters
on the basis of Geographic Information System (GIS). Moreover, the GICOMS is to share information
between related governmental agencies. (Ankwang, 2011)
63 Guidelines on the SPAS article 14.1
67
simulations. The total period of the project was short, which decreased the loss of
opportunity cost.
Finally, the audit institution reports the validity of the draft drawing to the project
owner. If needed, the two parties consult with each other to edit original drawings to
reduce risks at sea under minimum additional expenditure.
The final report of audit is supposed to be laid before the MLTM for approval.
5.4.6 Approval of the Audit Report
The Assessment Committee are convened by the Minister of MLTM so as to evaluate
the quality of the submitted audit report64. The Committee is composed of over 20
experts such as delegates from the Marine Officers’ Association, the Pilots’
Association, the Shipowners’ Association and the Ship Classification Societies 65 ,
professors who teach nautical science or port management, government officials in
charge of maritime traffic or port operations, marine accident investigators.
Stakeholders are not permitted to join the Committee, although several participants
come from stakeholders’ organizations, and they are from the safety division of the
organizations.
The evaluation results made by the Committee should be notified to the project owner
with a review opinion. When the assessment result is decided as a poor audit, the audit
institution should replenish the final report of audit to supplement deficiencies with
safety measures for eradicating circumstantial factors of potential maritime accidents66.

64 Guidelines of the SPAS article 28.
65 There are two classification societies in Korea. Korean Register of Shipping (KR) and Korea Ship
Safety Technology Authority (KST). 66 Guidelines of the SPAS articles 23-24.
68
Also, the target business like bridge construction cannot be launched until the final
report passes the Committee67.
Table 9 shows assessment items that have to be performed in detail by auditors. It
means that the Assessment Committee would check whether the audit institution
carried out the assessment items regarding business types in the vertical axis of Table
9. The upright axis presents the target business of audit, and the horizontal axis lists
the scope of the audit. The mark “●” in the table should be performed for each target
business.
Table 9: Assessment Items regarding Business Types
Audit item
Target business
Survey of
traffic
state
Measurement
of traffic
state
Ship handling simulation
Safety
Navigational measures
Safety
Berth/
Unberth Mooring
Traffic
Flow
Water
zone
Designation ● ● ● △ ― △ ●
Change ● ● ● △ ― ― ●
Facility
in water
zone
Construction ● ● ● △ △ ● ●
Repair ● ● ● ― ― ― ●
Harbor
/Port
Development ● ● ● ● ● △ ●
Redevelopment
● ● ● ● ● ― ●
Other business appointed
by the MLTM ● ● ● △ △ △ ●
● : Mandatory, △ : Recommendable on occasion
(Source: Guidelines of the SPAS)

67 MSA article 18.
69
When it comes to technical details, the chief of the Maritime Safety Institution of the
Ship Safety Technology Authority becomes the Secretary of the Assessment
Committee.
The Secretary checks the technical parts of the audit report. For example, the
minimum width of the traffic lane should conform to “Guidelines on Port Design of
Korea”. If needed, the Rules of PIANC68 and USACE69 are referred to. Furthermore,
the validity of the lane width should be verified by ship handling simulations. So, the
Secretary ascertains what kinds of input data are used in simulations. In case of wind,
it should be prevailing wind direction and speed which are maximum instantaneous
wind, maximum wind, and average wind70. The Secretary reports the survey results to
the Assessment Committee to help decision of Committee members.
5.5 Analysis of the SPAS
5.5.1 Advantages of the SPAS
The SPAS might be a turning point in dealing with human elements in heavy traffic
zones because it is a practice of mental switchover to the human element, which
declares that human error could not be evolved to marine accidents by the
enhancement of circumstantial factors.
At the first stage of formulating the scheme, the SPAS was regarded as one more red
tape by the business owners who were afraid of an increase in total budget and
business duration. However, several deadlocked businesses could be commenced by
the audit scheme which induced mutual agreement among stakeholders by scientific

68 Permanent International Association of Navigation Congresses
69 United States Army Corps of Engineers
70 Guidelines on the SPAS article 14.1
70
and objective auditing. Currently, the construction and development parties welcome
the scheme because it heightened the probability of estimation. So, the new scheme is
evaluated as reasonable procedure in the project of marine development of Korea.
Furthermore, it is expected that the new scheme contributes not only to maritime
safety but also to efficient port management and economic port construction, which
may bring great benefits to the whole maritime industry.
Conclusively, it is expected that well designed sea routes, where the emergent cases
are anticipated, could diminish potential risks, and would result in enhancement of
maritime safety. The advantages and potential benefits obtained by the implementation
of the SPAS are as follows.
 Ship’s passage becomes safer, and the efficiency of port management
could be maximized by reducing or eliminating risky factors.
 The overall risks that the safety authority should confront could be
decreased. It would induce savings of administrative burden such as
accident-related efforts and expenditure.
 Port designers will pay active attention to the safety of navigation, and the
design technology considering maritime safety could be improved in selfgoverning market.
 Project owners would not hesitate to accept the new audit system because
the whole duration of business could be pre-estimated and audit
institutions would make alternative proposals to shorten the business
duration and change design with minimum additional expenditure.
71
5.5.2 Shortcomings of the SPAS
The SPAS entered into force on 28 November 2009 and it is one of the most scientific
and objective measures. Even though the SPAS was inaugurated successfully in Korea,
the system is not fully verified yet due to lack of experience through trials and errors.
With a view to the technological advances in ship handling simulation as a crucial
process of the SPAS, it shows that the audit system requires constant research to
develop audit application for devising and verifying technical standards at this initial
phase, so that more objective and scientific improvements can be achieved. To realize
and achieve the ultimate goal of the SPAS, all possible knowledge and techniques
related to auditing should be examined in such audit system.
However, several shortcomings could be analysed in comparison with audit schemes
of other industries.
The first compulsory assessment scheme of Korea was the Environmental Impact
Assessment (EIA) by the Environment Protection Act of 1977. The instrument became
one of the most important measures to maintain sustainable development. However, it
has been criticized that most EIA reports were not easy to understand for stakeholders
and they were perfunctory and written in the same way, which could not prove their
effectiveness because of feeble post-management (National Assembly, 2012). The
Ministry of Environment prepared for amendments of the related law in order to
introduce a port-management scheme and examination of an auditor’s qualifications
(Hwan-Kyung Ilbo, 2012).
Post-Construction Audit
In accordance with the Traffic Safety Act of Korea, there are three types of audits.
Normal audits are basically performed in the design phase, and inauguration and
72
operation phases as well. Furthermore, the special audits could be performed when
traffic accidents frequently occurred71 at the audited area.
The SPAS recognizes a preliminary audit. It does not have the concept of postconstruction audit. The result of the preliminary audit depends generally on
simulations, but the simulations do not perfectly reflect real sites from time to time.
Therefore, it would be helpful to introduce the post-construction audit to verify the
similarities and differences between the simulated virtual environment and constructed
real site, which might enhance the simulation conditions in the long run. In the process
of the post-audit, the navigators’ opinion who participated in the preliminary audit
should be gathered and reflected regularly. The feedback would be helpful for the
enhancement of the SPAS.
In terms of audit expenses, the project owners are in charge of the preliminary auditing
expenses because they need auditing. When it comes to special audits after installation
of facilities, the project owners already completed the projects, so they would not
intend to bear additional burden. It is suggested that the effort to establish new funds
might be desirable in cooperation between the government and the audit institutions,
because audit institutions may bear the results of preliminary audits and primary
beneficiaries in the enforcement of the audit scheme, and the government might hold
ultimate responsibility for safety and another beneficiary of reduced marine accidents.
Starting Point of Audit
The sooner the audit is carried out, the safer the results are taken, and the less it costs
(U.S. Department of Transportation, 2006). Specific outset timing for audits has not
been stated in the MSA72. Therefore, it is not certain when the audit should begin.

71 Traffic Safety Act article 36
72 MSA article 15 (Maritime Traffic Safety Diagnosis) (1) Any person who intends to perform a
diagnosis required business (hereinafter referred to as the “Businessman”) shall execute a maritime
73
It could cost beyond the allotted budget for change of blue print just before the
construction phase. That is, it would be more beneficial to edit blue the print through a
feasibility study in the pre-design or design stage. Also, it would be more
recommendable to edit the blue print through a feasibility study in the pre-design stage,
and the audit contract between audit institution and project owner should be divided
into two parts. The first part will be a feasibility study for auditing at the pre-design
stage. The second part will be the remaining formal risk assessment at the design stage.
Figure 22: Phase Model
(Source: Cho summarized Durth & Bald, 1987)
In particular, as shown in Figure 22, the ideal condition does not need a safety audit.
The second phase of error condition would become a starting point of a safety audit. If
the phase lasts, it would be expected that the frequency of marine incidents would rise
(Cho, 2011).

traffic safety diagnosis in accordance with the diagnosis criteria as prescribed by Ordinance of the
Ministry of Land, Transport, and Maritime Affairs.
74
It should be the principle to perform an audit before detailed design. This is because
the earlier the audit is carried out, the more efficient and economic it can be in terms
of safety and cost.
Expansion of audit institutions
There are four registered audit institutions in Korea. They do not keep the balance
with the number of target businesses because more than 50 bridges connecting main
land and island, or island and island are scheduled to be launched in the near future
according to the official in charge of national road management division of the MLTM.
Furthermore, marine parks, piers for international passenger ships, and port renewal
projects along the coast line are under consideration by local governments.
Furthermore, when a big marine project is announced, bids are invited for the design
and construction. Many companies or consortiums may require the help of audit
institutions. Therefore, the number of audit institutions should be equivalent to project
number.
In detail, the auditing institutions should be equipped with two mock-up bridge
systems for the three dimensional full mission ship handling simulators73 and eight
qualified experts. Most marine institutions and training centres of shipping companies
have qualified simulators. So the equipment requirements do not matter for
registration. However, expert qualification requires quite high standards. There are
three classes of auditors. To be a first class auditor, 4 year audit experience is required
as a holder of 2nd class deck officer certificate or doctor’s degree related to maritime
safety. There are less than 20 first class auditors in Korea. Therefore, the examination
for auditor’s qualification should be considered to cultivate experts in relatively short
time.

73 The institution should have traffic flow gauging and analysis equipment (Enforcement Rule of the
MSA article 15)
75
International Cooperation
Even though the simulation method is a scientific tool, many other skills can be
utilized for identifying risk factors in coastal waters. Japan is a State that uses
simulation skills in the course of port design. First of all, a bilateral meeting between
two neighbouring States would be beneficial to improve auditing skills. In addition,
the ship handling or port design societies of the world could be invited to share their
knowledge and techniques.
Finally, keeping in mind that the international routeing has been dealt with by the SubCommittee on Safety of Navigation (NAV), the Committee might require the audit
result of the proposed routeing for approval. In this case, the technical guidelines of
the SPAS would contribute to devising the IMO guidelines for auditing of ships’ route.
5.6 Summary of the SPAS
Coastal States maintain legal instruments for safe navigation in ports and coastal
waters. Some States operate experts groups to identify risk factors and evaluate
potential mitigation measures, which are managed by the government. Other States
cultivate private audit institutions to be utilized by the business market.
In 2009, the Korean Government enforced an audit scheme for ship’s routeing and
port zoning. The character of the audit scheme compared to the other states’ measures
lies in the fact that it is a mandatory set of rules and regulations according to the
Maritime Safety Act. Furthermore, it presents specific guidelines for audit procedure,
data collecting and data input of ship handling simulators. The stakeholders participate
in the course of audit, but their opinions might be checked by scientific analyses using
simulations. Therefore, the deviation of audit reports might be slight, so the final
report would be objective and reliable.
76
The final audit report should pass through a quality check by the Assessment
Committee that is managed by the government. Therefore, the SPAS has a double
check system. It implies that more objective and stronger safety measures can be
adopted. Conclusively, the characteristics of the SPAS can be summarised as a
scientific and objective audit scheme working in a self-governing market to deal with
human error in heavy traffic zones.

77
6 CONCLUSIONS
Modern vessels have become significantly bigger or faster to achieve economies of
scale, which have been burdens on fairways that had been used for traditional vessels.
Moreover, the feasibility of marine accidents became higher in coastal waters as the
increasing installation of marine structures and continuing port development.
Navigators should pay more attention to the route which held heavy traffic. However,
from the view point of accident prevention, blaming navigators to be the cause of
marine accidents could be inadequate because a navigator-friendly environment might
fill in the risky holes of a safety system.
In this context, the author examined the statistics of marine accidents because statistics
on causes of marine accidents are a key to preventative measures. Also, without the
positions of accidents, it would not be possible to conduct effective enforcement of
limited administrative power. It was confirmed that the human element had played a
significant role in provoking marine accidents. About 80% of the causes of marine
accidents were human errors such as slips, lapses, mistakes and violations. In addition,
over 70 % of mishaps occurred in coastal waters like port zones and approaches. To
sum up, the vast majority of marine accidents occurred in coastal waters by human
errors. The result implied that maritime safety policy for reducing human error or
changing the route from human error to marine accident in coastal waters should be
the main concerns of safety management parties.
The IMO has approached the issue of maritime safety from a predominantly technical
point of view. The conventional solutions have been to apply engineering and
technological answers to promote safety and to minimize the consequences of marine
accidents. Accordingly, safety standards have primarily addressed ship’s strength,
stability and equipment requirements. Despite these technical innovations, very
serious marine accidents have continued to occur. Hence, the IMO has shown interest
in adequate training and certification of seafarers in order to address the contribution
of the human element to marine accident. Considering that human-oriented accidents
78
are not totally eradicated by training and certifications, a supplementary system on
shore such as VTS and VMS that give warning to navigators prior to encountering risk
became a complementary treatment.
In addition, the ISM Code of the IMO became a conspicuous instrument regarding the
combination of human element with safe navigation and management matters because
it required systematic approaches on risky working conditions. Furthermore, the UCD
could be one more solution to suppress marine accidents caused by operators’ mistake
because the UCD is a consideration of an end-user friendly design from the beginning
of the system product. The UCD should be applied in the integrated bridge project of
the IMO and future navigational equipment.
To verify that the aforementioned safety measures are corresponding to all categories
of human errors, the Marine Casualty Investigation Code was referred to because it
was developed to identify the categories of human errors. It was found that the IMO
could contribute further to preparing any appropriate measures to deal with the loose
interface between liveware and the environment, in other words, navigators and
navigational circumstances.
In detail, several marine accidents caused by human errors were examined to look into
the relationship between operator and operating environment. It was analysed that
recurrence of marine accidents could be irresistible consequences when artificial
circumstances of navigation such as ship’s routeing and port zoning were designated
without scientific consideration to safe navigation.
In case of the Hebei Spirit, even a little drifting made a devastating result under a low
tolerance environment to human error. In the case of the LPG carrier New Wave II, the
successful preventative measure came from modifying the navigational circumstances
such as changing the two-way route to the one-way route. Conclusively, the
navigational environment could play a more practical role in the matters of human
error in terms of preventative measures.
79
As a scientific tool of navigational risk detection, ship handling simulation was
utilized in Korea. However, the case of the Incheon Grand Bridge showed that the
input data was imperatively important for reliable results. In addition, taking into
account that the same size of ship’s route would be regarded as shrinking when the
traffic volume increased, as vessels became bigger or faster, the future circumstances
should be anticipated in choosing standards of a model ship and data input.
Additionally, the legal framework of several maritime States on coastal navigation
management was analysed. In cases of the UK, Hong Kong and the USA, the safety
schemes relied on the expert group including stakeholders. Japan maintained computer
simulation methods for risk assessment in addition to the expert group meeting.
Canada is equipped with a powerful law which endowed the minister in charge of
maritime safety with authorities for approval of marine work including constructions
at sea.
The Korean Government has actively introduced various safety measures to enhance
navigational safety in coastal zones since the biggest oil pollution in 2007. As one of
the new measures, the audit scheme on ship’s routeing and port zoning was activated
in 2009 to provide a better environment for navigators in coastal zones. The SPAS
could be a mixture of merits from audit schemes of major maritime States. The
foundation act is as powerful as that of Canada. The audit results are produced through
an independent scientific process like Japanese system. The experts concerned are
invited to the audit meetings like the UK and US cases.
The characteristics of the SPAS lies in the fact that it is a mandatory set of rules and
regulations including specific guidelines for audit procedure, simulation process and
technical details, which enable the system to work independently in a self-governing
market. Hence, the deviation of audit reports might be minimised, and the final report
would be objective and reliable. Additionally, the SPAS was proven that it was not
one more red tape, as it has shorten the time for mutual agreement among stakeholders
80
because the system worked on the basis of its independency and objectivity in a selfgoverning market.
For the enhancement of the mandatory audit scheme of Korea, and attempting to
introduce the SPAS to the international maritime community, the author is of the
opinion that the following issues should be considered.
Firstly, the post-construction audit should be considered with a view to the frequency
of the audit. As reviewed in Chapter 5.5, when traffic accidents frequently occurred,
the additional special audit should be performed. The comparison and survey between
the simulated virtual environment and constructed real site would contribute to the
improvement of the SPAS.
Secondly, the specific outset timing for audit should be designated. It would be more
beneficial to edit the blue print in the pre-design stage, and the audit contract between
audit institutions and project owners should be divided into two parts. The first part
will be a feasibility study for auditing at the pre-design stage. The second part will be
the remaining formal risk assessment at the design stage.
Thirdly, the examination for an auditor’s qualification should be considered to
cultivate experts in relatively short time. At present, the number of audit institutions
does not keep the balance with the quantity of the target business. The qualification of
experts became an admission barrier because it requires quite long experience with
related certificates and academic degrees. Therefore, qualifying examination is
recommendable for securing auditors.
Lastly, international cooperation would accelerate the improvement of the audit skills
including simulation techniques. It is recommendable to start from bilateral meetings
between States that possess similar schemes, and to proceed to multilateral meetings,
and then to reach the IMO level. The NAV of the IMO might deal with the technical
81
guidelines of the SPAS for applying the skills to approving international routeing of
ships.
In conclusion, the SPAS might be a turning point in dealing with the human element in
marine accidents because it does not focus on the ability of seafarers who are not free
from human error, but aims at enhancing safety margins between navigators and the
navigational environment. In addition, the SPAS system should be evaluated and
upgraded continuously in line with the progress of the development of scientific tools
and navigators’ needs. All requirements for auditing adopted by maritime States
should be scrutinized for enhancement and application to the SPAS system to cut links
between human error and marine accidents, or make it flexible enough to compensate
human error in error enforcing zones.
***
82
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