Safety Science 47 (2009) 569–577

Contents lists available at ScienceDirect

Safety Science
journal homepage: www.elsevier.com/locate/ssci

Designing of integrated quality and safety management system (IQSMS)

for shipping operations
Metin Celik *
Department of Maritime Transportation and Management Engineering, Istanbul Technical University, Tuzla 34940, Istanbul, Turkey

a r t i c l e i n f o a b s t r a c t

Article history: This paper proposes a systematic approach for exploring the compliance level of the international safety
Received 16 December 2007 management (ISM) code with the ISO 9001:2000 in order to structure an integrated quality and safety
Received in revised form 9 June 2008 management system (IQSMS) for shipping operations. Multi-attribute fuzzy axiomatic design (MA-
Accepted 4 July 2008
FAD) is determined as a suitable research methodology for the focused problem. To illustrate the pro-
posed approach, a casualty onboard oil tanker ship is analysed; moreover, the potential advantages of
the IQSMS in operational level are underlined. The outcomes of this research originally ensure decision
Keywords:
aid for the relevant executives in ship management companies who eagerly insist to implement quality
ISQMS
ISM code
integrated ISM code.
ISO 9001:2000 Ó 2008 Elsevier Ltd. All rights reserved.
Maritime safety regulations
Fuzzy axiomatic design

1. Motivation on safety management in shipping business
As a result of the defining of the merchant shipping as one of the
most dangerous sectors among the world’s greatest industries by
International Maritime Organization (IMO), the relevant sharehold-
ers in the maritime transportation industry need to enhance the
safety culture and climate within their organizations (Hetherington
et al., 2006). Moreover, the existing statistical researches (Rothblum,
2000; O’Neil, 2003; Darbra and Casal, 2004) and the findings of ship-
ping accident investigation reports (Maritime Safety Authority of
New Zealand, 1995–1996; MAIB, 2000; United States Coast Guard,
2004) have confronted the existing concerns especially on the role
of human element in maritime industry (Hee et al., 1999; Hansen
et al., 2002; Er and Celik, 2005; Celik and Er, 2007a). The maritime
catastrophes at the operational level (e.g. M/T Torrey Canyon in
1967, M/T Exxon Valdez in 1989, M/T Erika in 1999, M/T Prestige in
2002), environmental disasters, and economic losses have been sub-
sequently monitored (Höfer, 2003; Ernst et al., 2006; Renner, 2006)
whose influences enforce the maritime community to increase the
level of precautions (Celik and Er, 2006a). In this sense, many of
the international conventions and safety and environment-related
regulations such as International Convention for the Safety of Life
at Sea (SOLAS), International Convention for the Prevention of Pollu-
tion from Ships (MARPOL), Convention on the International Regula-
tions for Preventing Collisions at Sea (COLREG), International
Convention on Loadlines (LOADLINE), and The International Man-
* Tel.: +90 216 395 1064; fax: +90 216 395 4500.
E-mail address: celikmet@itu.edu.tr
agement Code for the Safe Operation of Ships and Pollution Preven-
tion (ISM code), The International Ship and Port Facility Security
Code (ISPS code) have been adopted as guidelines for the maritime
shareholders in global perspective (International Maritime Organi-
zation, 2007). Besides the serious advantages of the international
conventions, integration of the generic standards declared by the
International Organization for Standardization (ISO) such as quality
and environment into maritime business process is expected to in-
crease the reputation of ship management companies in the compet-
itive transportation market. Ideally, managing the requirements of
the international conventions and adaptation of international stan-
dards into business cycle depend upon structuring effective execu-
tion procedures and availability of qualified human resources in
both shore-based organization (Celik and Er, 2006b) and onboard
merchant ships (Celik et al., 2007a). The integrated system should
be established systematically to maintain the requirements of mar-
itime conventions while reducing the excessive bureaucracy in the
execution process due to quality extension. Therefore, the problem
seeks for a methodological approach to manage these constraints
during system redesign process.
This paper proposes an approch on the basis of multi-attribute
fuzzy axiomatic design (MA-FAD) methodology to assess the con-
formity level of ISO 9001:2000 integration into execution process
of ISM code in shipping business. The ISM code which includes
mandatory requirements for the ship management companies, de-
fines an international standard broadly for the safe management
and operation of ships to maintain high standards of safety and
environmental protection. On the other hand, integration of the
generic standards such as quality and environment into the

0925-7535/$ - see front matter Ó 2008 Elsevier Ltd. All rights reserved.
doi:10.1016/j.ssci.2008.07.002
570 M. Celik / Safety Science 47 (2009) 569–577
business cycle increases the competitiveness in the global market.
The implementation processes of the international standards and
regulations require well-designed management styles which di-
rectly influence the operational performance of merchant fleet.
This section enables the required motivation on significance of
ISM code implementation in shipping business. The remainder of
the paper is organized as follows: Section 2 overviews the existing
application procedures of ISO 9001:2000 quality standard and ISM
code in ship management. The fundamentals of FAD as research
methodology and application stages are represented in the con-
tents of model structuring process within Section 3. Moreover,
the expected conformity levels of ISM code’s clauses are computed
via FAD when it is integrated with the ISO 9001:2000 quality sys-
tem in terms of designing integrated quality and safety manage-
ment system (IQSMS). In Section 4, a real case failure scenario on
propeller shaft misalignment onboard oil tanker ship is analyzed
to outline the existing shortfalls of ISM code implementation in
practice. The last section expresses the expected benefits of quality
extension through safety management systems on board merchant
ships.
2. Overview on ISM code and ISO 9001:2000 practices in
shipping industry
This section overviews the current implementation procedures
of the ISM code and ISO standards in shipping industry. Moreover,
the industrial feedbacks about the ongoing efforts of relevant man-
agers in shipping firms to establish ISO 9001:2000 quality stan-
dards are explored.
2.1. Background of maritime regulations and IMO
Shipping industry is one of the key branches of international
business cycle. If each nation published its own safety legislation,
serious conflicts with the national laws would occur. The IMO is
acting on setting internationally approved baseline standards for
the member nations in order to prevent diversity in terms of prac-
ticing the codes, rules, and regulations. It was established by
means of a Convention adopted under the auspices of the United
Nations in Geneva on 17 March 1948. The main technical work is
carried out by the Maritime Safety, Marine Environment Protec-
tion, Legal, Technical Co-operation and a number of relevant sub-
committees. In a broad sense, the IMO principally targets to im-
prove the safety and security of international shipping and to pre-
vent marine pollution from ships via rules and regulations. In
addition, it is also involved in legal matters such as liability, com-
pensation, and the facilitation of international maritime traffic.
2.2. SOLAS convention and ISM code
The main objective of the SOLAS (The International Convention
for the Safety of Life at Sea) Convention is to specify minimum
standards for the construction, equipment, and operation of ships,
which are compatible with their safety (IMO, 2004). The SOLAS
Convention is generally recognized as the most important of all
the international treaties concerning the safety of shipping indus-
try. As a response to the Titanic disaster, the first version was
adopted in 1914. After great revisions, the new version was
adopted in 1974, which included a new amendment procedure
which is designed to ensure that changes could be made within a
specified period of time (Psaraftis, 2006; Urrutia, 2006). In accor-
dance with the requirements of SOLAS Convention, Flag States
are responsible for ensuring that ships under their flag comply
with its requirements, and a number of certificates are prescribed
in the Convention as proof that the requirements of convention
have been fulfilled (IMO, 2000; Vassalos, 2006).
In 1989, IMO adopted guidelines on management for the safe
operation of ships and for pollution prevention. The proposed guide-
lines were revised in 1991, furthermore, the ISM code was adopted
as a recommendation in 1993 (IACS, 1996). Due to the significance
of the code, it was decided that the best way of achieving this was un-
der SOLAS Convention (Traves, 1997). Therefore, the code is adopted
into the convention as amendments, which is entitled ‘‘management
for the safe operation of ships”. In practice, the code requires a Safety
Management System (SMS) to be established by the ship manage-
ment company. The SMS describes the relevant responsibilities for
operating the ship with respect to the following functional require-
ments (Farthing, 2006): (1) safety and environmental protection
policy, (2) procedures to ensure safety and environmental protec-
tion, (3) authorities and communication procedures between
shore-based organization and shipboard personnel, (4) procedures
for reporting accidents, casualties, incidents, (5) response plans to
emergencies and (6) internal audits and management reviews.
During implementation process, the ISM code has a major im-
pact on management styles that requires some shipping companies
to make considerable changes in their organizations. It mainly
emphasizes the role of the management in safety and pollution
prevention to enforce the operators of substandard ships for
improving their technical and operational processes. As it is con-
sidered as the prior requisite to perform trading activities in mar-
itime market, all shipping companies have to establish an
implementation plan to carry out the requirements of ISM code
(Hunter, 1998). These constraints recall the needs for professional
managerial staff and well-founded shore-based organization in
shipping companies (Celik and Er, 2006b).
2.3. Quality management standard (ISO 9001:2000) in shipping
industry
The ISO 9000 series are a set of international quality manage-
ment standards and guidelines. Since the initial publication in
1987, the standards have gained a global reputation and due to
their generic nature have wide ranges of application field in differ-
ent branches of industry. Although the recently revised ISO
9001:2000 is more clearly addressing the quality management sys-
tem requirements for organizations to demonstrate its capability
to meet customer needs and expectations, there are still serious
shortfalls have to be overcome to satisfy the expectations of rele-
vant shareholders in the shipping industry. Fundamentally, the
existing version is based on eight quality management principles
that reflect the best management practices (Kanholm, 2000) with
respect to the following principles: (1) customer-focused
organization, (2) leadership, (3) process approach, (4) system ap-
proach to management (5) continual improvement, (6) factual ap-
proach to decision making, and (7) mutually beneficial supplier
relationship.
The adaptation of ISO quality standards in shipping business
provides invaluable benefits with regard to the technical manage-
ment of merchant fleet, and is also very useful for both improving
the service quality and enhancing customer satisfaction in the
market (Gronroos, 1984; Srdoc et al., 2007). However, problems
have appeared on ensuring the compliances of the ISO quality stan-
dards with the relevant maritime regulations while structuring an
integrated management system (IMS) in practice. Therefore, an
additional effort is required to implement the requirements of
ISO 9001:2000 under acceptable bureaucracy level while main-
taining the ISM code foundation.
2.4. Motivation towards IQSMS
The needs of combining ISM code with ISO 9001:2000 lay to the
serious shortfalls of ISM code practice on board merchant ships.
 M. Celik / Safety Science 47 (2009) 569–577
The motivation behind this idea can be supported with great argu-
ments with regard to the safety aspects of the shipping industry.
Despite the external pressures of maritime regulations and inter-
national maritime authorities, the human-based errors are still
the dominant factor in shipping casualties (Hee et al., 1999; Fot-
land, 2004). Due to the lack of effective communication in ship-
shore interface, the effectiveness of the implementation process
for the maritime regulations is generally not satisfied up to the
industrial expectations. This paper proposes a systematic approach
to eagerly manage these shortfalls in the ship management pro-
cess. At this point, establishing a quality extended SMS can be rec-
ognized as a key stage for managing this gap.
3. Model structuring on conformity assessment
Despite the high level of administrative control on execution
facilities, the ship management processes also require endeavoring
safety aspects on board ships at the operational level. In this case,
the integration of ISO 9001:2000 standard into the ISM code imple-
mentation can be recognized as an opportunity for improving the
safety and reliability of operations up to the desired levels. How-
ever, a decision-making problem on conformity evaluation is ex-
pected to arise during design stages of the integrated system in
the ship management companies. This paper proposes a systematic
approach for investigating conformity level of the ISM code clauses
with the fundamental structure of ISO 9001:2000 standard by uti-
lizing MA-FAD methodology. The sub-sections introduce the the-
ory of MA-FAD methodology initially and propose a model for
measuring conformity degrees of ISM code clauses with the
requirements of ISO 9001:2000.
3.1. Why MA-FAD?
When the nature of the focused problem is analyzed, it seems
that the MA-FAD can be recognized as a suitable methodology in
order to take advantage of the information axioms on system rede-
sign process. For solving this complex managerial problem, the
strength of the MA-FAD comes from identifying the prior expecta-
tions from the targeted system in terms of pre-settled functional
requirements (FRs) under multiple criteria decision environment.
In addition, laying the background of MA-FAD to the axiomatic
principles in design science can be accepted as another advantage
of this technique, which can be utilized within the paper. It means
that besides the synergy of decision-making ability in fuzzy envi-
ronment, this paper enforces the second axiom of theory (informa-
tion axiom) to comply with safety and quality dimensions under a
unique execution scheme for shipping operations. Therefore, it was
decided to utilize this as a research methodology to formulate the
conformity assessment under multiple criteria. On the other hand,
the theory of fuzzy sets is supporting this paper in order to manage
the consistent solutions despite enormous incomplete information.
Also, the fuzzy operations have ensured involving the group con-
sensus into the FRs definition process within decision model.
3.2. Theoretical background of MA-FAD methodology
The principles of axiomatic design methodology were initially
proposed by Suh (1990). The theory of axiomatic design approach
is based on computations of information content that is denoted
with Ii. The terms of FRs, the minimum set of independent require-
ments, identify the design goal. In the final decision process, the
design alternative that has the smallest information content is rec-
ognized as the best opportunity (Suh, 2001). Fig. 1 illustrates the
system range, decision range, and common range to identify the
geometric descriptions of fundamental parameters.
571
For expressing mathematical impressions behind the theory,
the Ii is defined as follows:
 
1
Ii ¼ log ð1Þ
pi
where the pi as the probability distribution function is expressed
with the following formula:
common range
pi ¼ ð2Þ
system range
Finally, the Ii can be expressed broadly as follows (Kulak et al.,
2005):
 
system range
Ii ¼ log2 ð3Þ
common range
Furthermore, the evaluation scale is required as another initial
definition to insert the judgments for defining both FRs and alter-
native comparisons as well. The triangular fuzzy numbers (TFNs)
for the different set of linguistic terms are proposed by Chen and
Hwang (1992), and by Olcer and Odabasi (2005) as well. Table 1
illustrates the modified evaluation scale and relevant linguistic
judgments for performing conformity assessment on ISO
9001:2000 and ISM code integration.
The recent applications of the MA-FAD approach have cited in
literature on various themes such as software design (Chen et al.,
2001), product design (Thielman et al., 2005), system design (Hira-
ni and Suh, 2005), and decision-making (Brunner and Starkl, 2004;
Celik et al., 2007b; Coelho and Moura, 2007; Celik et al., 2008) also.
The proposed papers in the literature aim at enhancing the design
process of the systems and increasing the consistency of solutions
as well. In the further sections of this paper, the MA-FAD method-
ology is applied for enhancing the effectiveness of ISM code prac-
tice in the operational process of merchant ships eagerly.
3.3. Identifying problem environment and control criterion
For motivating on the problem, it is necessary to identify the
multiple criteria problem environment initially. The fundamental
items of the ISO 9001:2000 are determined to be utilized on crite-
rion structuring process in a hierarchical manner. Table 2 illus-
trates the hierarchic structure of attributes on conformity
assessment.
On the other hand, the main clauses of ISM code are determined
as the alternatives within the proposed model on the problem. The
execution process of ISM code can be divided into two sections:
Implementation (Part A) and Certification and Verification (Part
B), respectively. Table 3 illustrates a categorization scheme on
the main clauses of ISM code.
3.4. Defining of FRs for identifying acceptable levels
Defining of FRs is another critical stage that identifies the
acceptable levels for conformity degree on ISO 9001:2000 integra-
tion into ISM Code procedure. For managing this issue consistently,
it is combined with the three expert groups from maritime society:
ship managers, quality experts, and maritime administrative orga-
nizations. Table 4 illustrates the definitions of FRs with respect to
each of the expert group respectively. In addition, the aggregated
values of linguistic terms as TFNs are also added into the last
row of Table 4 as well.
3.5. Judgments on conformity assessment scheme
In this case, the ISM clauses are referred as alternatives while
the main items of ISO 9001:2000 are defined as assessment
572 M. Celik / Safety Science 47 (2009) 569–577

Table 3
µ (x) Main clauses of ISM code

Sections Clauses Clause no

System Decision PART A – General Clause 1
Range Range implementation Safety and environmental protection policy Clause 2
Company responsibilities and authority Clause 3
Designated person(s) Clause 4
1
Master’s responsibility and authority Clause 5
Resources and personnel Clause 6
Development of plans for shipboard Clause 7
operations
Emergency preparedness Clause 8
Reports and analysis of nonconformities, Clause 9
accidents, and hazardous occurrences
Maintenance of the ship and equipment Clause 10
Documentation Clause 11
Company verification, review, and Clause 12
evaluation
x PART B – certification Certification and periodical verification Clause 13
and verification Interim certification Clause 14
Common
Verification Clause 15
Range Forms of certificates Clause 16

Fig. 1. Geometric description of system range and common range.

criterion as well. Table 5 illustrates the expert judgments on con-

Table 1 formity levels of ISM code clauses to make a comprehensive
Evaluation scale for conformity assessment evaluation.
Linguistic terms on conformity Corresponding fuzzy Abbreviation
degree numbers 3.6. Findings on information contents (Ii)
Clauses at least fully conforming 0.8, 1, 1 F
Clauses at least substantially 0.6, 1, 1 S The Ii for each of the ISM code clauses are computed and the
conforming findings are illustrated in Table 6. Using the Eq. (3), the Ii for the
Clauses at least partially conforming 0.4, 1, 1 P
ISM Code – Clause 1 on the attributes of C21 (i.e. System range
Clauses at least low conforming 0.1, 1, 1 L
Closes at least very low conforming 0, 1, 1 VL (0.4, 1, 1); FR (0.8, 1, 1)) can be illustrated as a sample calculation
as follows:
!
ð10:4Þ1
2
IC 21 ¼ log2 ð10:8Þ1
¼ 1:585
2

Table 2 The Ii for the other attributes are computed via following the similar
Hierarchic structure of attributes on conformity assessment procedure. Summation of the Ii for the each attribute gives the total
P
Main attributes Code Sub-attributes Code information contents ( I) for the relevant clauses. At this point, the
priority weights of the main attributes are accepted as the same
Conformity assessment attributes
Quality management system C1 General requirements C11 within criterion hierarchy; hence, the influences of the main attri-
Documentation requirements C12 butes in terms of weighted information contents are neglected.
Management responsibility C2 Management commitment C21 However, the different weights can be assigned on main attributes
Customer focus C22 based on quality management policy of the ship management com-
Quality policy C23 panies, and can be easily integrated into computation process.
Planning C24 In detail, the conformity ranking of ISM code clauses based on
Responsibility, authority and C25 P
communication
I is illustrated in Table 7. The theory of FAD approach defines
Management review C26 the lowest information contents in total as the best design. Hence,
Resource management C3 Provision of resources C31
the ISM code clauses are ranked in ascending order from the small-
Human resources C32 est value of information contents to the greatest one. According to
Infrastructure C33 the results, Clause 9 is selected as the most suitable clause for
Work environment C34 structuring the integrated system with ISO 9001:2000 with the to-
Product realization C4 Planning of product realization C41 tal information contents of 2.69. Moreover, Clauses 3, 5, 4 are the
Customer-related processes C42 other high conforming clauses with the total information contents
Design and development C43
of 3.05, 3.93, and 4.41, respectively. The ranking order of clauses
Purchasing C44
Production and service provision C45 motivates the related managers in shipping firms to route the
Control of monitoring and C46 roadmaps for achieving the infrastructure of integrated manage-
measuring devices ment system. Nevertheless, the high ranges of the information con-
Measurement, analysis and C5 General C51 tents indicate that the integration process would expected to
improvement Monitoring and measurement C52 require great effort to manage the adaptation especially for Clauses
Control of nonconforming C53 16, 14, and 1. At this point, these clauses are generally regarded
product
Analysis of data C54
with the certification and verification process that can be per-
Improvement C55 formed under the unique certificate requirements of the estab-
lished integrated system.
Table 4
Definitions of FRs

Maritime expert groups Evaluation factors

C11 C12 C21 C22 C23 C24 C25 C26 C31 C32 C33 C34 C41 C42 C43 C44 C45 C46 C51 C52 C53 C54 C55
Group I: ship managers L F F S S F S F S F L P F P VL P F S S F F F S
Group II: quality experts S P F F P S S F F S L L S F P P S P F S S F S
Group III: administrative L P F P S P S P S S P P S P P P F S L P F S P
organizations
Aggregated TFNs 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000
1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000 1.000
0.259 0.528 0.800 0.600 0.534 0.600 0.600 0.671 0.666 0.666 0.197 0.303 0.665 0.529 0.271 0.400 0.734 0.534 0.507 0.600 0.734 0.734 0.534

M. Celik / Safety Science 47 (2009) 569–577

Table 5
Judgments on conformity levels of ISM code clauses

Clause no Assessment criterion

C11 C12 C21 C22 C23 C24 C25 C26 C31 C32 C33 C34 C41 C42 C43 C44 C45 C46 C51 C52 C53 C54 C55
Clause 1 S P P S L L L L L P L L VL L L VL L L VL VL L P P
Clause 2 S F F S F P P P S P L S P L P L L L L P P L S
Clause 3 F P F S S F F P S F P L S S S L F P S F F F S
Clause 4 F S F P P F F P P P L L F F S F F P S F F F F
Clause 5 S S F P P F F P P F L P F F S VL F P S F F F F
Clause 6 L P F P S F S S F F F F S P F S F P P P P L S
Clause 7 P F S F F F F S S P S S F F S P S P S F S P P
Clause 8 S F S P S S S P P P S P P S P P P L P F S P S
Clause 9 F F F S F S F S S S P P F P P L F S S F S F P
Clause 10 L F S F S S S P P P S S S S S S S F S S S S S
Clause 11 P F P P F P P L L P L VL L L L VL P L P P P L P
Clause 12 L S P S S S S P S S S L L P P L P S S S P F S
Clause 13 S F P P P P P P P P L P L P L VL P L VL P P S P
Clause 14 VL L P S VL L P VL VL P L L L S VL VL L VL VL VL L VL VL
Clause 15 P S S S P S S P P S P P P S P L P P P P P S P
Clause 16 VL L P L VL L L VL VL VL VL VL VL L L VL L VL VL VL L P VL

573
574 M. Celik / Safety Science 47 (2009) 569–577

12.76
21.38

4.41
3.93

2.69
5.86

25.96
9.15

17.44
8.33

22.97
Table 7

3.05

5.04
6.05

15.10

9.30
I
Ranking of ISM code clauses based on conformity levels
P Rank Clauses
P
I

0.365
0.365

0.365

0.365

0.365

0.365
1.102

1.102
0.000
0.000
0.000
0.000
0.000

0.000
0.000

0.000
C55 1 Clause 9 2.69
2 Clause 3 3.05
3 Clause 5 3.93
1.758
1.174

1.174
1.174

0.589
1.758

1.911

1.174
0.589

0.589
0.000
0.000
0.000
0.000

0.000

0.000
4 Clause 4 4.41
C54

5 Clause 6 5.04
6 Clause 10 5.86
1.174
1.758

0.589

0.589

1.174
1.174
1.758
1.174
1.758
0.589

0.589
1.174
0.000
0.000
0.000
0.000
7 Clause 7 6.05
C53
C5

8 Clause 12 8.33
9 Clause 8 9.15
0.585

0.585

0.585

0.585
1.322

1.322

1.322
0.000
0.000
0.000
0.000
0.000

0.000
0.000

0.000

0.000
10 Clause 15 9.30
C52

11 Clause 2 12.76
12 Clause 13 15.10
0.868

0.283

0.283

0.283
1.020

1.020
1.020

1.020
0.000
0.000
0.000
0.000
0.000

0.000
0.000

0.000
13 Clause 11 17.44
C51

14 Clause 1 21.38
15 Clause 14 22.97
16 Clause 16 25.96
0.365
0.365
0.365
0.365
0.365

0.365
1.102

1.102
0.950
0.950

0.950

0.950

0.950
0.000
0.000

0.000
C46
1.758
1.758

1.174

1.174
1.174
0.589

0.589
1.174

1.758
1.174
1.758
0.000
0.000
0.000
0.000

0.000
C45

3.7. Decision aid to IQSMS

0.737
0.585
0.585

0.737

0.585

0.737
0.585
0.737
0.737
0.585
0.737
0.000

0.000
0.000
0.000

0.000

The quantitative outcomes of the conformity assessment can be

C44
C4

utilized as decision aid for structuring a new implementation plan

on the basis of ISM code in ship management. The assigned rank for
0.456
0.304

0.304

0.304

0.304
0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000

0.000

0.000
C43

the ISM code clauses identify the roadmap for designing a new exe-
cution scheme which combines the safety and quality aspects. It
0.934
0.934

0.349

0.934
0.349
0.349

0.934
0.000
0.000
0.000
0.000
0.000
0.000

0.000

0.000
0.000

means that the clause which has the lowest information content
C42

can easily comply with the ISO, 9001, 2000 requirements. Other-
wise, these is a need to implement the requirements of clauses
0.841
0.256

0.841

0.256

0.841
1.578

1.426
1.426
1.426
1.426

1.578
0.000
0.000
0.000
0.000

0.000

separately from the integrated system. The information flow with-

C41

in the proposed IQSMS can be structured based on the total infor-

0.369

0.369
0.369

0.369

0.521
0.369

0.369

0.521

mation contents for ISM code clauses. Fig. 2 illustrates the general
0.000

0.000

0.000
0.000
0.000
0.000

0.000

0.000
C34

framework of the IQSMS.

0.165
0.165

0.165
0.165
0.165

0.165

0.165
0.165

0.317
0.000

0.000
0.000
0.000
0.000

0.000

0.000
C33

4. Casualty analysis: propeller shaft misalignment failure

C3

0.845
0.845

0.845

0.845
0.845
0.845

0.845
0.845

0.845
0.845

1.582
0.260

0.260

0.260
0.000

0.000

In this section, one of the system-based real case scenarios is

C32

analyzed to outline the existing shortfalls of ISM code implementa-

tion, moreover, the potential advantages of quality system integra-
0.845
0.845
0.845

1.582

1.582
0.845

0.845

0.845

0.845
1.430
0.260
0.260

1.430
0.260

0.260

0.260
C31

tion into ISM code procedures for preventing the ongoing failures
are expressed as a consequence. The casualty analysis, published
1.452
0.867
0.867
0.867
0.867
0.867
0.867
0.867
0.282

1.452
0.867

0.867
0.867

0.867
1.604

1.604

by Det Norske Veritas (DNV) (DNV, 2007), is based on misalignment

C26

of propeller shaft due to the excessive heat transfer from waste oil
tank. The technical diagram of a propeller shaft system in an oil
0.585

0.585

0.585
0.585
1.170

1.170
0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000

0.000

0.000

tanker ship is illustrated in Fig. 3.

C25

The casualty information gives the technical details about the

course of event, damages, probable causes, and lessons to be learnt
0.585

0.585

0.585
1.170

1.170

1.170
0.000
0.000
0.000
0.000
0.000
0.000
0.000
0.000

0.000

0.000
C24

towards further prospects. However, it is of great necessity to iden-

C2

tify the links between the root causes of failure and safety-related
0.365
0.365
0.365

0.365

0.365
0.950

1.102

1.102
0.000
0.000

0.000
0.000
0.000
0.000
0.000
0.000

procedures of ship management companies as well. Table 8 illus-

C23

trates the brief summary of casualty.

Following the brief technical information on failure case, there
0.585
0.585
0.585

0.585

0.585

0.585

1.170
0.000
0.000
0.000

0.000

0.000
0.000

0.000

0.000
0.000

is a requirement to underline the latent links towards shortfalls

C22

of ISM code clauses behind the occurrence of this failure. Then, it

Information contents (Ii)

1.585

1.585
1.585
1.585
1.585

1.585
1.000
1.000

1.000

1.000
0.000
0.000
0.000
0.000
0.000

0.000

is targeted to identify the probable contributions of extended

C21
Distributions of Ii over ISM clauses

framework for ISM code implementation. In detail, the probable

cause of increasing the intermediate shaft bearing temperature
0.348

0.348

0.348

0.933

0.933
0.000

0.000
0.000

0.000
0.000
0.000
0.000
0.000
0.000
0.000

0.000

caused by serious negligence both in design and operation stages.

C12

When the survey is extended to the rule base, it is clearly seen that
responsibility and authority within Clause 3, requirements of
0.281

0.281

0.281

0.433

0.433
0.000
0.000
0.000
0.000
0.000

0.000
0.000
0.000

0.000

0.000

0.000
C11

inspection of machinery and outfitting within Clause 10, and the

C1

requirements for verification within Clause 12 are appear as the ini-

Clause no

11
12
13
14
15
16
10

tiative items of the ISM code practice on board ship. Fig. 4 basically
1
2
3
4
5
6
7
8
9
Table 6

Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause
Clause

illustrates the ISM code-based fault tree analysis on propeller shaft

misalignment.
 M. Celik / Safety Science 47 (2009) 569–577 575

Fig. 2. Framework of the implementation procedures of IQSMS.

Further efforts require identifying the potentials of the pro-
posed IQSMS to reduce the probability of this failure in practice.
As the first step, integration of the following requirements of ISO
90001:2000, such as Clauses 7.3.5 – design and development veri-
fication, Clause 8.2.3 – monitoring and measurement of processes,
Clause 7.5.2 – validation of process for production and service pro-
vision, Clause 7.5.3 – identification and traceability, and Clause 7.6 –
control of monitoring and measuring devices, into the ISM code
implementation procedure can certainly prevent this failure. How-
ever, ensuring the compliance between the clauses in satisfactory
levels is the primary requisite for achieving the execution perfor-
mance of the proposed IQSMS. In this respect, it is essential to
implement IQSMS to reduce the unforeseen expenses of ship oper-
ators due to this kind of failures and to additionally provide ex-
pected service quality to cargo owners. Finally, when we analyze
the lessons to be learnt from the illustrative case as a preventive
and pro-active approach, the proposed IQSMS can take the follow-
ing items into account:
 Propeller shaft bearings should be flexible mounting for the per-
missible temperature increase in the way of heated tanks (con-
forms the Clause 7.3.5 – design and development verification of
ISO 9001:2000).
 If it seems impracticable then automatic temperature control
of heating could be fitted (conforms the Clause 7.5.2 – vali-
dation of process for production and service provision, and
Clause 7.5.3 – identification and traceability of ISO 9001:
2000).
576 M. Celik / Safety Science 47 (2009) 569–577

Fig. 3. Technical diagram of propeller shaft and bearing system in an oil tanker ship.

Table 8
Brief overview on casualty analysis of oil tanker ship

Casualty information and analysis scheme

Technical Ship type Oil tanker ship
specifications Tonnage 80000–90000 GRT
Year of build 1999
System Propeller shaft and
bearing system
Course of events During sea trial of an oil tanker, the temperature of the intermediate shaft bearing increased to an alarming value. The
engine was stopped and investigation was carried out
Probable cause The shaft alignment was checked as the initial part of the investigation. However, the measured results indicated good
conditions of shaft alignment. After completed the detailed investigations, the reason for increased loading of the bearing
was found to be the heating of the underlying waste oil tank. This tank was fitted with the heating coils in order to keep
the temperature around 50-60 °C. For incinerating and transferring purposes, the tank is required to heat around 100 °C.
Then, the thermal expansion of the steel structures had caused lifting of the shaft bearing and the excessive load on the
bearing

Fig. 4. ISM Code-based fault tree analysis on propeller shaft misalignment.

 A temperature sensor can be fitted into the tank which gives an cesses, and Clause 7.6 – control of monitoring and measuring
alarm if the temperature exceeds the normal upper limit (con- devices of ISO 9001:2000).
forms the Clause 8.2.3 – monitoring and measurement of pro-
 M. Celik / Safety Science 47 (2009) 569–577
5. Conclusion and discussion
This paper quantitatively explores the expected conformity lev-
els of ISM clauses when it is integrated with the ISO 9001:2000
standards to implement under the unique scheme of IQSMS. The
application of the MA-FAD methodology has satisfied the problem
solution under fuzzy environment despite the enormous level of
incomplete information. Identifying the conformity levels of ISM
clauses can be recognized as a roadmap for related ship managers
who eagerly motivate to establish an IQSMS to increase the safety
and quality in ship management process as well.
The main philosophy of the suggested idea is based on enforcing
the barriers for improving safety and reliability concept of techni-
cal systems, equipments, and various components onboard mer-
chant ships. As a research methodology towards solution of
critical decision-making problem, the MA-FAD has ensured the
quantitative evaluation under fuzzy environment consistently.
Moreover, the proposed IQSMS is illustrated with the propeller
shaft misalignment problem on board a merchant ship to identify
the latent links between the shortfalls of existing ISM code practice
and root causes of failure dramatically. At this point of research,
the proposed framework is recognized as a satisfactory solution
to prevent this kind of failures on board merchant fleets. Further-
more, the levels of integration can be extended from quality issue
to the occupational health and environmental aspects on the basis
of ISM code. Therefore, the further research direction is forwarded
to investigate the integration process of ISO 14001:2004 and
OHSAS 18001:2007 into existing procedures of ISM code imple-
mentation in ship management process.
References
Brunner, N., Starkl, M., 2004. Decision aid systems for evaluating sustainability: a
critical survey. Environmental Impact Assessment Review 24, 441–469.
Celik, M., Er, I.D., 2006a. Application requirements of catastrophe theory in
maritime transportation industry. In: Third International Conference on
Maritime Transport, 16–19 May, Barcelona-Spain, pp. 879–887.
Celik, M., Er, I.D., 2006b. Methodology of establishing executive maritime business
administration program for maritime transportation industry. In: Third
International Conference on Maritime Transport, Barcelona, Spain, 16–19
May, pp. 953–961.
Celik, M., Er, I.D., 2007. Identifying the potential roles of design-based failures on
human errors in shipboard operations. In: Seventh Navigational Symposium on
Marine Navigation and Safety of Sea Transportation, Springer, Berlin, pp. 617–
621.
Celik, M., Er, I.D., Topcu, Y.I., 2007a. Computer-based systematic execution model on
human resources management in maritime transportation industry: the case of
master selection for embarking on board merchant ships. Expert Systems with
Application. doi:10.1016/j.eswa.2007.11.004.
Celik, M., Kahraman, C., Cebi, S., Er, I.D., 2007b. Fuzzy axiomatic design-based
performance evaluation model for docking facilities in shipbuilding industry:
the case of turkish shipyards. Expert Systems with Applications. doi:10.1016/
j.eswa.2007.09.055.
Celik, M., Cebi, S., Kahraman, C., Er, I.D., 2008. Application of axiomatic design &
TOPSIS methodologies under fuzzy environment for proposing competitive
strategies on Turkish container ports in maritime transportation network.
Expert Systems with Application. doi:10.1016/j.eswa.2008.05.033.
Chen, S.J., Hwang, C.L. (Eds.), 1992. Fuzzy Multiple Attribute Decision-Making:
Methods and Applications. Springer-Verlag, New York.
Chen, S.J., Chen, L.C., Lin, L., 2001. Knowledge-based support for simulation analysis
of manufacturing cells. Computers in Industry 44, 33–49.
Coelho, A.M., Moura, J.F., 2007. Axiomatic design as support for decision-making in
a design for manufacturing context: a case study. International Journal of
Production Economics 109, 81–89.
Darbra, R.M., Casal, J., 2004. Historical analysis of accidents in seaports. Safety
Science 42, 585–598.
DNV, 2007. The website of Det Norske Veritas, <http://www.dnv.it>.
577
Er, Z., Celik, M., 2005. Definitions of human factor analysis for the maritime safety
management process. In: Proceedings of the IAMU Sixth Annual General
Assembly and Conference, 24–26 October, Malmö-Sweden, pp. 235–243.
Ernst, S.R., Morvan, J., Geslin, E., Le Bihan, A., Jorissen, F.J., 2006. Benthic
foraminiferal response to experimentally induced Erika oil pollution. Marine
Micropaleontology 61, 76–93.
Farthing, B., 2006. A leap forward or a return to old standards. Baltic and
International Maritime Council (BIMCO) Review, 93–95.
Fotland, H., 2004. Human error: a fragile chain of contributing elements. The
International Maritime Human Element Bulletin 3, 2–3.
Gronroos, C., 1984. A service quality model and its marketing implications.
European Journal of Marketing 18, 36–44.
Hansen, H.L., Nielsen, D., Frydenberg, M., 2002. Occupational accidents aboard
merchant ships. Occupational & Environmental Medicine 59, 85–91.
Hee, D.D., Pickrell, B.D., Bea, R.G., Roberts, K.H., Williamson, R.B., 1999. Safety
management assessment system (SMAS): a process for identifying and
evaluating human and organization factors in marine system operations with
field test results. Reliability Engineering and System Safety 65, 125–140.
Hetherington, C., Flin, R., Mearns, K., 2006. Safety in shipping: the human element.
Journal of Safety Research 37, 401–411.
Hirani, H., Suh, N.P., 2005. Journal bearing design using multiobjective genetic
algorithm and axiomatic design approaches. Tribology International 38, 481–
491.
Höfer, T., 2003. Tanker safety and coastal environment: prestige, Erika, and what
else? Environmental Science and Pollution Research International 10, 1–5.
Hunter, J.A.D., 1998. Shipowner’s perspective of its development: a success or a
failure? New safety culture conference. Institute of Marine Engineers 1998,
3–7.
IACS, 1996. Interpretation of the International Management Code for the safe
operations of ships and for pollution prevention (ISM Code) adopted by IMO
Resolution A 74 (18), International Association of Classification Societies,
London.
IMO, 2000. The Role of the Human Element and Formal Safety Assessment, Joint
MSC/MEPC Working Group on the Human Element and Formal Safety
Assessment, London, UK.
IMO, 2004. The International Convention of the Safety of Life at Sea, SOLAS-
Consolidated Edition.
International Maritime Organization, 2007. Introduction to IMO MCA 5/2003,
<http://www.imo.org>.
ISO 9001, 2000. Quality Management System Requirements, International Standard
Organisation, Switzerland.
Kanholm, J., 2000. ISO 9000:2000 New Requirements: 28 Requirements Checklist
and Compliance Guide. ASQ Press, Milwaukee, USA.
Kulak, O., Durmusoglu, M.D., Kahraman, C., 2005. Fuzzy multi-attribute equipment
selection based on information axiom. Journal of Materials Processing
Technology 169, 337–345.
MAIB, 2000. Annual Report 1999. Department of the Environment Transport and
Regions, London.
Maritime Safety Authority of New Zealand, 1995–1996. Maritime Accidents.
Olcer, A.I., Odabasi, A.Y., 2005. A new fuzzy multiple attributive group
decision making methodology and its application to propulsion/manoeuvring
system selection problem. European Journal of Operational Research 166, 93–
114.
O’Neil, W.A., 2003. The human element in shipping. World Maritime University
Journal of Maritime Affairs 2, 95–97.
Psaraftis, N.H., 2006. Maritime safety in the post-prestige era. Marine Technology
and SNAME News 43, 85–90. New York (0025-3316).
Renner, R., 2006. Long-term effects of Exxon Valdez. Are there lingering problems
from one of the world’s worst oil spills? Analytical Chemistry 78, 2091–2092.
Rothblum, A.M., 2000. Human error and marine safety. In: Proceedings of the
Maritime Human Factors Conference, Maryland, USA, pp.1–10.
Srdoc, A., Bratko, I., Sluga, A., 2007. Machine learning applied to quality
management-A study in ship repair domain. Computers in Industry 58, 464–
473.
Suh, N.P. (Ed.), 1990. The Principles of Design. Oxford University Press, New York.
Suh, N.P. (Ed.), 2001. Axiomatic Design: Advances and Applications. Oxford
University Press, New York.
Thielman, J., Ge, P., Wu, Q., Parme, L., 2005. Evaluation and optimization of general
atomics’ GT-MHR reactor cavity cooling system using an axiomatic design
approach. Nuclear Engineering and Design 235, 1389–1402.
Traves, M., 1997. Implementing the ISM Code: An Effective Response for Shore
Management and Sea Staff. International Command Seminar, Nautical Institute.
pp. 19–25.
United States Coast Guard, 2004. Fiscal year 2004 Report. Retrieved 08/07/04
Urrutia, B., 2006. The EU regulatory action in the shipping sector: a historical
perspective. Maritime Economics & Logistics 8, 202–221.
Vassalos, D., 2006. Passenger ship safety: containing the risk. Marine Technology
and SNAME News 43, 203–212.