In proc.

of the 3rd International Conference on Collision and Groundings of Ships (ICCGS 2004)
pp.118-122, Izu, Japan, October 25-27 2004.
An Extension of m-SHEL Model for Analysis of Human Factors at Ship Operation
Hiroko Itoh
National Maritime Research Institute, Maritime Safety Assessment Group

Nobuo Mitomo
National Maritime Research Institute, Maritime Safety Assessment Group

Takeshi Matsuoka
National Maritime Research Institute, Maritime Safety Department

Youji Murohara
Captain; National Maritime Research Institute, Maritime Safety Department

ABSTRACT:

In order to understand how people respond to different circumstances, a classification system is required that specifies the
knowledge and attitude of people and the effect of circumstances. In this paper, we propose a human factors classification
framework to classify the seafarer’s safety-related factors. The m-SHEL (Software-Hardware-Environment-Liveware with their
management) model was adopted as a conceptual base of generic human factors, and extended to accommodate ship navigation
domain. According to navigation practices, especially pertaining to collision and grounding avoidance, our model defines a
detailed category for each of the m-SHEL interfaces. By counting the original m-SHEL interfaces as level 1, and by considering
human factors that relate to the two types of circumstances, we have defined 13 specific categories descending from them as level 2
classification and 38 more specific subcategories as level 3.
It is common to the navigational operations that ships are often involved in a circumstance of meeting other ships in traffic.
However there are rather scanty direct communications among them, existence of approaching ships causes considerable influence
on the operator. The framework therefore is intended to be applicable to the circumstances of being in traffic.
To gain experimental data on critical situations related to collision and grounding, questionnaire surveys were carried out, and from
the answers, operators' opinions about safe navigations and human factors are profiled according to the proposed classification
framework. This paper provides an overview for human factors in two types of critical circumstances, i.e. collision and grounding
avoidance, and an in-depth exploration of collision factors. Some statistical analysis and discussion on the profiles show that the
relations between seafarer’s attributes and safety attitudes are reasonable, and thus the proposed classification framework
contributes to the understanding of human factors in ship operation.

1. INTRODUCTION communications among them, existence of approaching ships causes

considerable influence on the operator. The framework therefore is
The increasing use of modern technology improves the capabilities intended to be applicable to the circumstances of being in traffic.
to maneuver, but also increases the technical complexity, which is Considering navigation practices, especially pertaining to the
regarded as a major risk factor behind marine accidents. Many situations of collision and grounding avoidance, our model defines a
reported collision and grounding accidents are due to human detailed category for each of the m-SHEL interfaces. By counting the
erroneous actions in the complex navigational systems. To reduce original m-SHEL interfaces as level 1, and considering the human
accidents associated with human erroneous actions, and enhance factors that relate to the two kinds of circumstances, i.e. collision and
safety in navigational operations, it is necessary to increase grounding, we have defined 13 specific categories descending from
understanding of human factors aspects of operators in charge of it. them as level 2 classification and 38 more specific subcategories as
In our past research, we have investigated operator's awareness of level 3.
critical situations by comparing and contrasting the difference
between reports of casualty and incident during navigational To gain an overview on the public opinion about the human factors,
operations(Itoh, 2002). However, there is a gap between the a questionnaire survey was carried out. From the answers, operators'
operators' cognition and actual hazard, each experimental data on opinions about safe navigations and human factors are profiled
critical situations expresses the operator's human factor very well. In according to the proposed classification framework. Then some
order to understand the human factors from the opinions, a method to statistical analysis on the profile that discusses the relations between
elicit and express the factors that relate to knowledge and attitude of seafarer’s attributes and safety attitudes will be provided.
an individual and interactions between an individual and surrounding
environment is required. 2. THE M-SHEL MODEL
2.1 The m-SHEL Model
In this paper, we propose a human factors classification framework
to specify the seafarer’s safety-related characteristics. The m-SHEL The m-SHEL model is a variation of the SHEL model(Kawano,
(Software-Hardware-Environment-Liveware with their management) 2002). The SHEL model was originally proposed by Edwards in
model was adopted as a conceptual base of generic human factors, 1972, and modified by Hawkins(Hawkins, 1987). It is now formally
and extended to accommodate ship navigation domain. It is common introduced as a human factor framework by IMO (International
to the navigational operations that, not to mention while collision Maritime Organization). The SHEL model is a conceptual model that
evasive maneuvers, ships are often involved in a circumstance of attempts to indicate the interactions between the various components
meeting other ships in traffic. However there are rather scanty direct of system and the operator. It comprises four components: Software

ICCGS2004
(rules, manuals, and regulations) – S, Hardware (equipment) – H, questionnaire and some instructions, respondent information part that
Environment (physical factors) – E, and Liveware – L. The m-SHEL asks questions such as occupational category and age, and
model added "m- (management)" to the SHEL model. questionnaire items part. The questionnaire items part includes fixed-
alternative (with space for "other" or "comments") questions on the
Software represents any components such as polices, rules, respondents' experiments, i.e., frequency and types of critical
computational codes and practices that define the way in which the incidents. The numbers of the fixed-alternative questions are 7 in
different components of the system interact with each other and with collision avoidance survey and 16 in grounding avoidance survey. At
the external environment. the end of the questionnaire items part there are two open-ended
Hardware represents any physical and non-human component of the questions to ask operators principal concerns. The questions are:
system, such as equipment, vehicles, tools, manuals and signs.
Environment represents the socio-political and economic ♦ What do you regard as the most important thing to avoid ships
environment in which the different component interaction. collide[go aground]? The frequency you get into a situation
Liveware represents the operational personnel themselves in the that makes you regard so should be added if possible.
center. Role and communicational aspects are mainly focused. ♦ What do you regard as the most effective action to secure the
Management represents the control of whole system. safety of navigation? Any new instruments to be developed
may be included.

3.2 The Sample: Respondents for Collision Avoidance

The questionnaire was mailed to ship operators through coastal

shipping companies, passenger boat companies, and National
Institute for Sea Training. The response numbers were 345 for
collision avoidance survey and 455 for aground avoidance survey.

Figure 2 and 3 show breakdown of respondents' attributes. Age of

fifties has the largest number of respondents and sixties has the
smallest. Ratio of captain is highest in sixties group and lowest in
Figure 1. The m-SHEL model (adopted from Kawano) twenties group. Ship types are classified into six categories:
passenger ships, cargo carriers, training ships, tug boats, fishing
2.2 The m-SHEL Model for ship operation boats, and others/unknown.
160
We have extended the m-SHEL model for ship operation to analyze
human factors that contributes marine accidents and incidents. By 140 26
counting the original m-SHEL interfaces as level 1, we have defined
specific categories descending from them as level 2. It requires more 5
120 8
concrete circumstances to be assumed as the definition goes into Others / Unknown
detail. Thus we decided to target the two types of circumstances Other officer
100 Chief officer
(collision and grounding), and had discussions among experts in 19 Captain
Number

order to define level 2 categories. In the domain of ship operation,

80
many interactions reside in interfaces between an operator and 13

physical or nonphysical elements that adjacent to the operator; such

60 16
as navigation instruments, regulations, ambient environment 115

conditions, and those who are involved in the operation. Determining 9

to which category these communications and interactions should be 40

24
belonged was controversial because they have complex structures 54
and relations with multiple interfaces. For example, the human factor 20
3 6 2
2
aspects in a problem of meeting with other ships in a narrow 12 0 14 0
1 9 7
waterway may be related to L-L, L-E, and L-S interfaces. A tentative 0 0
20s 30s 40s 50s 60s Unknown
set of categories were created after the discussions. Then it has been Age
revised through a grouping work of the comments to the
questionnaire (described in the following section). Finally, 13 Figure 2. Attributes of the respondents.
specific categories are defined as level 2. For example, Liveware is
partitioned into two categories: L-1 and L-2. 120
108
103 102
Number of Respondents

100
L-1 Operators' basic qualifications as a seaman
L-2 Operators' technical qualifications as a seaman 80

60
In the same way, L-L, L-H L-E, L-S, and L-m interfaces have level 2
categories. Descending from level 2 categories, we have defined 38 40

more specific categories as level 3 categories. Categories defined are 15

20
listed in Table 1. 8 9

0
passenger cargo carriers training ships tug boats fishing boats others /
3. QUESTIONNAIRE SURVEY ships unknown

3.1 The Survey Ship Type Category

Figure 3. Ship types of the respondents.

In order to gain experimental data on critical situations related to
collision and grounding, questionnaire surveys were carried out on
2001 and 2002, respectively. The questionnaires are composed of
three parts: introduction part that explains the objective of the

ICCGS2004
 Number of Answers per Respondent
1.80
4. ANALYSIS
1.60
In this section, we first provide a view of collision and grounding Lm: 0.25
Lm: 0.00
surveys, and then look into further details in collision survey. 1.40 Lm: 0.10
LL: 0.00
LL: 0.00 LH: 0.11
LE: 0.00
LL: 0.01 LE: 0.13
LE: 0.03 Lm: 0.14
4.1 Collision vs. Grounding 1.20 LH: 0.19 LL: 0.01
Lm: 0.07 LH: 0.13

Number per Respondent

LE: 0.05 LL: 0.00
Lm: 0.12
LE: 0.00 LL: 0.00
LH: 0.13
LH: 0.19 LE: 0.01
1.00 LS: 0.25 LS: 0.67
Figure 4 shows the results of the respondents to two questionnaire LH: 0.24
LS: 0.45
surveys classified according to the classification of Table 1. The 0.80
results were categorized from the perspective of m-SHEL level 2. LS: 0.45 LS: 0.53
LS: 0.37
The numbers in the graph indicate the number of answer per 0.60

respondent.
L: 0.88
0.40
L: 0.65 L: 0.67
Despite the differences in survey item, participant population, and L: 0.49 L: 0.47 L: 0.45
0.20
conducted timing between the two surveys, characteristics of
distribution have common features. A large part of the result 0.00
concentrates in LS-2, L-2, and L-1 interfaces. On the other hand LS- passenger ships cargo carriers training ships tug boats fishing boats others/unknown
1, LH-1, LE-1, LE-2, and Lm-2 obtained only few opinions. The Ship Type Category
largest difference between the results is that whilst grounding Figure 5. The m-SHEL profile of "collision avoidance" by ship type.
avoidance obtained lower values in most items, the opinion belongs
to L-m interface reached twice the number of collision avoidance and
0.70
comes in third. The possible cause of this is that groundings are
assumed to be caused by doze at the wheel, and for this reason they L-2-5: 0.04
regard preventing such situation by keeping operators' condition as 0.60
L-2-4: 0.08
an important issue in management.
0.50
L-2-3: 0.09 L-2-5: 0.03
Number per Respondent

1.50 L-2-4: 0.04

L-2-2: 0.00
0.40
Lm-2: 0.00 L-2-1: 0.11
Lm-2: 0.00 L-2-3: 0.09

Lm-1: 0.25 Lm-1: 0.11 L-2-2: 0.01

1.20 0.30 L-1-3: 0.03
LE-1: 0.02 LL-1: 0.01
LH-4: 0.03 LE-2: 0.01
LL-1: 0.07 L-2-1: 0.12
LE-2: 0.02 LH-3: 0.10
LE-1: 0.02 L-1-2: 0.15
Number per Respondent

LH-4: 0.10 LH-2: 0.06 0.20

LH-1: 0.01 L-1-3: 0.02
0.90 LH-3: 0.06
LH-2: 0.03 L-1-2: 0.12
LH-1: 0.01
0.10
LS-2: 0.43 L-1-1: 0.15

LS-2: 0.36 L-1-1: 0.07

0.60 0.00
LS-1: 0.00
passenger ships cargo carriers
LS-1: 0.01 Ship Type Category
L-2: 0.30

0.30
L-2: 0.28 Figure 6. A breakdown of "L" aspects by ship type.

L-1: 0.24
L-1: 0.19
A breakdown of L answers of passenger ships and cargo carriers
0.00 categories is shown in Figure 6. Training ships, tugboats, and fishing
Grounding avoidance Collision avoidance
boat categories were not broken down due to very small number of
Navigational Phase
the answer. As seen in the figure, passenger ships category has
Figure 4. Number of respondent by navigational phase. higher values especially in the elements that relate to mental attitude
with rules and manners, and skill acquisition aspects. The possible
cause of this is that in many instances passenger ships are faster and
4.2 Collision Avoidance Profiles more maneuverable than cargo carriers and thus they consciously lay
themselves under the obligation of encountering collision avoidance
In this section we closely examine answers to collision avoidance in more cases.
survey. A comparison among operators grouped by ship types is
shown in Figure 5. Whilst L and LS makes relatively high values
across the board, the number of answers for LE and LL are only
between 0 and 0.05 per person, except for 0.13 per person of
tugboats' LE category. High values for L and LS reflect that the
operators pointing out the importance of internal aspects and contact
with software elements for collision avoidance situations. Passenger
ships and cargo carriers categories, which include more than 100
respondents, are coincide with each other in LS and LH. The values
in Lm, LL, and LE for fishing boats indicate that most of the
operators work solitary on their own ships.

ICCGS2004
 0.50 1.60

0.45
1.40
Lm: 0.10 Lm: 0.23
LL: 0.00
0.40 LS-2-9: 0.08 Lm: 0.15 Lm: 0.12
LE: 0.02
LL: 0.01 LL: 0.00
1.20 LL: 0.02 LH: 0.19
LS-2-9: 0.18 LS-2-8: 0.01 LE: 0.06 LE: 0.03 LE: 0.08
0.35 LS-2-7: 0.01
Number per Respondent

LS-2-6: 0.02 LH: 0.20

Number per Respondent

LS-2-5: 0.02 LH: 0.19
1.00 LH: 0.31
0.30
LS: 0.46
0.25 LS-2-8: 0.06 0.80 LS: 0.44
LS-2-4: 0.15
Lm: 0.00 LS: 0.23
LS-2-7: 0.02 LS: 0.51
0.20 LL: 0.00
LS-2-6: 0.04 0.60
LH: 0.25 LE: 0.00
LS-2-5: 0.02 LS-2-3: 0.01
0.15

LS-2-4: 0.06 LS-2-2: 0.07 0.40

0.10 LS: 0.25 L: 0.65 L: 0.62
LS-2-3: 0.02 L: 0.56
LS-2-2: 0.00 L: 0.43
0.20
0.05 LS-2-1: 0.09
LS-2-1: 0.06
L: 0.19
LS-1-1: 0.01 LS-1-1: 0.00
0.00 0.00
passenger ships cargo carriers 20s 30s 40s 50s 60s
Age
Ship Type Category
Figure 8. The m-SHEL profile of "collision avoidance" by age.
Figure 7. A breakdown of "LS" interface by ship type.

Figure 7 represents a breakdown of LS answer into level 3. It is 5. CONCLUSIONS

obvious that passenger ships category thinks instruments on the
water is more important than other elements in the navigational In this paper, we proposed a human factors classification framework
environment. However cargo carrier category thinks the same to specify the seafarer's safety-related characteristics. The m-SHEL
element as important, they place more importance on legal model was adopted as a conceptual base of generic human factors,
regulations related to fishing boats, to navigational rules, and to and extended to accommodate ship navigation domain. Operators'
foreign vessels. The importance of procedures and manuals was not opinions about safe navigations, gained from questionnaire surveys,
pointed out by either of them in this survey. are profiled according to the proposed classification framework. An
overview for human factors in two types of critical circumstances, i.e.
Figure 8 shows a breakdown of collision avoidance survey into m- collision and grounding avoidance, and an in-depth exploration of
SHEL level 1 by age of respondent. The graph shows that collision factors are provided. Relations between seafarer's attributes
respondents in their twenties pointed smaller numbers of important and safety attitudes are examined and explained reasonably. To
matter than any other group, especially in L-m and L-E interfaces. improve the proposed categories, other types of critical
By looking into each answer, we could see that they place knowledge circumstances should be considered as a future work.
about navigation, improvement in quality and performance of
nautical instruments, and consolidation of legal system on ACKNOWLEDGEMENTS
navigational instruments on the sea (L-1-2, LH-2-1, and LS-2-9).
Respondents in their thirties pointed larger numbers of important This work has been conducted in part as an activity of the research
matter in L and L-S interface by double than that of twenties, while Panel No.49 of the Shipbuilding Research Association of Japan. The
they pointed smaller number in L-H interface. Among elements in Japan Foundation has supported this research Panel. The authors
LS interface, consolidation of legal system on fishing boats and would like to express their gratitude to Professor Hiroyuki Yamato,
navigational instruments on the sea (LS-2-4 and LS-2-9) are the University of Tokyo, for his variable guidance as a chair of the
highlighted. Respondents in their forties have a characteristic that panel. The authors would like to thank the Ministry of Land,
they have the largest number in L. Especially rules, knowledge about Infrastructure and Transport of Japan, District Transport Bureau,
navigation, and technical aspects for collision avoidance and lookout Japan Passenger Boats Association, Japan Coastal Tanker
(L-1-1, L-1-2, L-2-1, and L-2-3) are focused. Respondents in their Association, Japan Federation of Coastal Shipping Associations, and
fifties have similar characteristics to that of forties, however, they all the participants to the questionnaire surveys.
have larger values in L-L, L-E, and L-m interfaces. Respondents in
their sixties compared with any other ages have larger value in L-H REFERENCES
interface. Especially maintenance of instruments, and design and
installation of systems (LH-1-1 and LH-4-1) are focused. Itoh, H., Murohara, Y., and Numano, M., October 2002.
Characteristics of Reported Navigational Errors. In proc. of
International Conference on human factors in Ship Design and
Operation, 109-115, London, UK.
Hawkins, H. F., 1987. Human Factors in Flight. Gower Technical
Press Ltd.
Kawano, R., 2002. Medical Human Factor Topics. http://
www .medicalsaga.ne.jp/tepsys/MHFT_topics0103.html

ICCGS2004
Table 1 A Classified Table for Ship Operation m-SHEL Model.
Lv.1 Level.2 Level.3
L-1-1 rules and manners
L-1 basic qualifications as a seaman L-1-2 knowledge about navigation
L-1-3 basic qualification
L-2-1 techniques for collision avoidance
L
L-2-2 techniques for position measuring
L-2 technical qualifications as a seaman L-2-3 techniques for lookout
L-2-4 skills acquisition and training
L-2-5 knowledge about sea area
LL-1-1 team performance within bridge
L-L LL-1 human relationship within bridge
LL-1-2 communication within bridge
LH-1 instrument reliability LH-1-1 maintenance of instruments
improvement in quality and performance of LH-2-1 nautical instrument
LH-2
instruments LH-2-2 facilities and equipment
LH-3-1 watch support for collision avoidance
LH-3-2 watch support for aground avoidance
L-H LH-3 development of instruments
LH-3-3 watch support for position measuring
LH-3-4 other support systems
LH-4-1 design and installation of systems
role sharing between operators and
LH-4 LH-4-2 instrument functions
instruments
LH-4-3 others (e.g. facilities on land)
LE-1 labour environment LE-1-1 mariner's labour
LE-2-1 waiting space
L-E
LE-2 maintenance of sea lanes and water LE-2-2 making sure of water depth
LE-2-3 sufficient information of the area
LS-1 improvement of procedure manuals LS-1-1 instruction manuals and harbour guides
LS-2-1 in common
LS-2-2 foreign vessels
LS-2-3 domestic vessels
LS-2-4 fishing boats and leisure fishing boats
L-S
LS-2 legal regulations on navigational environment LS-2-5 small crafts
LS-2-6 boats without a light
LS-2-7 waterway
LS-2-8 identification of other ships and fairways
LS-2-9 install required instruments
Lm-1-1 duties of employers and captains
Lm-1 lighten workload of deck officer
Lm-1-2 duties of politics
L-m
Lm-2-1 hand skills on to the next generation
Lm-2 enhancement of technical capabilities
Lm-2-2 accumulation, analysis, and sharing of experiences

ICCGS2004