Jmse 09 01113 v2
Jmse 09 01113 v2
Marine Science
and Engineering
Article
The Development of a Transdisciplinary Framework to
Overcome Energy Efficiency Barriers in Shipbuilding:
A Case Study for an Iranian Shipyard
Seyed Vahid Vakili * , Aykut I. Ölçer and Alessandro Schönborn
Maritime Energy Management (MEM), World Maritime University (WMU), 211 18 Malmö, Sweden;
aio@wmu.se (A.I.Ö.); as@wmu.se (A.S.)
* Correspondence: svv@wmu.se
Abstract: Through a systematic literature review and a holistic perspective, the study proposes a
conceptual transdisciplinary framework to overcome energy efficiency barriers during the ship-
building phase. The process of the proposed transdisciplinary framework consists of five steps
of “goal formation”, “system analyzing”, “scenario construction”, “multi-criteria decision making
assessment” and “strategy building” to identify and rank the energy efficiency barriers during ship
construction based on decision makers’ priorities. The framework categorizes the barriers into five
disciplines—operations, policies and regulations, technology and innovation, the human elements,
and economics—and the framework is applied to an Iranian shipyard. The results show that the
economic barriers have the greatest impact, while the human barriers have the least impact on the
shipyard’s energy performance. Due to the generalized structure of the framework, it categorizes
Citation: Vakili, S.V.; Ölçer, A.I.;
not only energy efficiency barriers according to the importance and priorities of stakeholders in the
Schönborn, A. The Development of a
shipbuilding industry, but can also be applied to other phases of the ship life cycle and even to other
Transdisciplinary Framework to
Overcome Energy Efficiency Barriers
industries. By applying the framework, decision-makers can make rational and optimal decisions to
in Shipbuilding: A Case Study for an be able to invest in energy efficiency measures based on their priorities.
Iranian Shipyard. J. Mar. Sci. Eng.
2021, 9, 1113. https://doi.org/ Keywords: air emissions; energy efficiency barriers; energy policy; life cycle management; sustainable
10.3390/jmse9101113 energy management system; transdisciplinary
studies are focused on the operation cycle of the ships, and less attention is paid to im-
proving energy efficiency in the other cycles of ships’ life-cycles, which are construction,
maintenance and dismantling. Shipbuilding, as one of the vital global industries, is a
significant energy-consuming and polluting industry that produces a substantial CO2
emissions (4% of ships’ life cycle emission), as well as air pollutants such as CO (29% of
ships’ life-cycle emission) [9]. This means that the total amount of the ships’ life cycle
CO2 emissions that occur in the building, maintenance and dismantling stages is higher
than the ports’ contribution, being responsible for approximately 2% [10] of operational
CO2 emissions. Due to motivation in using zero-carbon fuels, electricity and sail and
solar power, the fraction of shipyard operations in a ship’s life cycle might become larger
than their operational phase, e.g., if a car ferry is being propelled by batteries and using
electricity from the Norwegian electricity grid, its construction will have a more significant
life-cycle climate impact than its operation cycle [11].
Currently, the problem is that energy efficiency measures are not always implemented,
as there are a number of barriers that prevent implementation. Most commonly, economic
researchers consider market failures (imperfections), such as incomplete information,
client-contractor relationships, adverse selection and split incentives [12–14], to be barriers
to improving energy efficiency. However, non-economic researchers strive to identify
other types of barriers by considering different perspectives. Based on these perspectives,
different solutions have been proposed. To improve energy efficiency in the shipping
cluster, more attention is paid to technology [15] and operational measures [16]. Therefore,
safety and reliability, technical uncertainty, behavior, market constraints, financial and
economic constraints and complexity [17] are identified as types of barriers in the ship
operation cycle. However, to the authors’ knowledge, there are no studies that identify
the barriers to energy efficiency in shipping in the context of the ship construction and
maintenance phases of the life cycle.
In addition to the lack of studies that consider energy efficiency during the operational
and manufacturing cycles of the vessel, barriers are treated as solitary and, if they are part
of a group, their relationship and interaction is ignored. In order to support sustainable
shipping and sustainable energy efficiency improvement in the shipping cluster, a holistic,
systematic and transdisciplinary approach from a life cycle perspective must be consid-
ered. This approach identifies the relationship and interaction of barriers with each other,
different stakeholders and policy measures [18,19].
This contributes to the development of a holistic, systematic and interdisciplinary
conceptual framework to address barriers to energy efficiency in shipping clusters and
within manufacturing cycles. To design and develop such a framework, it is important to
review related papers on energy efficiency barriers in different industries and maritime
operations. In the absence of attention to the relationship and interplay between barriers to
energy efficiency and the life cycle perspective within the shipping cluster, this study has
paid particular attention to how barriers interact across disciplines in the manufacturing
life cycle.
In light of the above, this study aims to provide a framework for identifying barriers
to energy efficiency in the shipbuilding industry and overcoming them from a life-cycle
perspective within the maritime cluster. The framework is holistic, systematic and trans-
disciplinary and takes into account the interrelationship and interaction between different
types of barriers. Developing such a framework and implementing it during the construc-
tion phase has the potential to improve energy efficiency and reduce the carbon footprint
of the shipbuilding industry, and also has the same effect on reducing emissions in the life
cycle perspective of offshore and subsea projects. Offshore and subsea projects play a key
role in countries’ blue economic growth. However, deepwater projects are a challenging
activity and such projects require appropriate logistical support from onshore facilities [20].
Specialized vessel types, such as diving vessels, DP vessels, jack-up barges, cable and pipe-
laying vessels and PSVs, improve the efficiency and effectiveness of offshore operations,
J. Mar. Sci. Eng. 2021, 9, 1113 3 of 25
and these specialized vessels, as well as offshore platforms and infrastructure, are built at
shipyards, which have an important role in supporting the projects [21].
By implementing the framework within the organization, decision makers (DMs) will
be able to have a transparent view of the energy barriers in their organization. In this
way, managers and DMs can adopt appropriate energy strategies and policies to overcome
these barriers. The flexibility of the framework means that it is generic and can be applied
to all other sectors and organizations. To validate the proposed framework, a case study
was conducted at an Iranian shipyard which is active in ship repair and conversion and
offshore infrastructure construction.
In light of the above, Section 2 discusses, through a systematic literature review, vari-
ous barriers to energy efficiency with different categorizations in both different industries
and the ship construction cycle. Section 3 explains the methods and methodology, i.e., a
systematic literature review and systematic and transdisciplinary approaches. Section 4
presents the results of the case studies and the related discussion. Finally, Section 5 draws
the conclusion.
2. Literature Review
Since the oil crisis, energy efficiency and the related gap between potential energy
efficiency and actual energy efficiency has become an important topic for both policy
makers and end-users. Although industry considers energy as a vital resource, the demand
for energy efficiency measures and technologies depends on the marginal cost of both
energy and energy efficiency measures due to its inelasticity [22,23]. Removing these
barriers will reduce the discount rate and the risk of energy efficiency [24,25] and increase
the enthusiasm for energy efficiency investments.
The gap in energy efficiency is due to the existence of barriers, and one of the most
important factors is the cost-effectiveness of the technology [26–28]. Barriers are mech-
anisms that prevent investment in technologies that are both energy and economically
efficient [12,29]. Barriers prevent cost-effective energy measures from always being used,
and the inconsistency between optimal implementation and real-time implementation is
called the “energy efficiency gap” [30,31].
Blumstein et al. [32] conducted one of the first studies to systematically classify bar-
riers to energy efficiency into six categories: misplaced incentives, lack of information,
regulation, market structure, financing and adaptation. According to Hirst and Brown [33],
barriers are divided into structural barriers (beyond the control of the individual) and be-
havioral barriers (dependent on end-user decision-making). Fuel price distortion, fuel price
uncertainty, limited access to capital, government fiscal and regulatory policies, codes and
standards, and infrastructure provision are classified as structural barriers, and attitudes
towards energy efficiency, perceived risk of energy efficiency in investment, information
gaps and misplaced incentives are classified as behavioral barriers [33]. Howarth and
Andersson [34] examined the theory of the energy-using equipment market to show that
incomplete information and transaction costs can affect rational consumers and they noted
a lack of information, principal-agent problems, consumer uncertainty, and lack of access
to credit to be barriers in the energy-using equipment market. Eyre [35] conducted psy-
chological, social and institutional analyses and classified barriers as information barriers,
cost-benefit separation problems, barriers to accessing capital, tariff barriers, externalities
and limited rationality.
In addition, in the Third Assessment Report (2001), the Intergovernmental Panel
on Climate Change (IPCC) classified the sectors and technological barriers to reducing
greenhouse gas emissions into eight categories, namely technological innovation, prices,
finance, trade and environment, market structure, institutional framework, information
provision, and social, cultural and behavioral norms and standards. While Weber [36]
categorized the barriers into institutional, market, organizational and behavioral barriers,
Fleiter et al. [37] introduced twelve different characteristics of energy efficiency measures
from the areas of relative advantage, technical context and information context. In addition,
J. Mar. Sci. Eng. 2021, 9, 1113 4 of 25
there are different types of methods for empirical studies, e.g., Thollander and Palm [38]
classified and described different barriers that may not fully explain the existence of the
“energy efficiency gap” as follows: distortions in energy prices, different perspectives on
energy, government fiscal and regulatory policies, constraints in the supply infrastructure,
codes and standards, and structure.
The energy efficiency gap arises mainly from market failures. Market failure means
that the market does not have the characteristics of the perfect market [13,39]. According
to Adam Smith’s theory, cited in [40], the four types of market failures are imperfect mar-
kets, imperfect competition, imperfect information and asymmetric information. Market
failures are the main barriers preventing the introduction of energy efficient technologies
and related investments [41] and may lead to public intervention [12,42–44]. However,
Backlund et al. [45] distinguish between market failure and barriers, as they consider mar-
ket failure to be any deviation from the characteristics of the perfect market, while barriers
are broader and include economic, organizational and behavioral barriers.
Implementation and Result (MCIR) framework was proposed by Chai and Yeo [46] to
overcome barriers to energy efficiency through a systems approach. Cagno et al. [47] con-
sidered external and internal barriers and the actors affected by the barriers. They aimed
to overcome and determine the overlap between barriers, the impact of barriers on firms’
decision-making, implicit responses and the relationship between barriers. Prashar, [113]
by implementing a PDCA (Plan, Do Check, Act) cycle, encouraged a continuous investi-
gation of energy saving opportunities and associated energy saving activities (ESAs) to
promote energy optimization, and by developing a management energy efficiency ma-
turity (EEM) framework, promoted a systematic and continuous integration of energy
efficiency practices.
3. Methodology
There is a lack of studies that address a systematic approach to removing barriers
to improving energy efficiency in the maritime cluster. In disciplines where established
methodologies and research are lacking, the development of frameworks and conceptual
designs are more useful, efficient and effective than robust and rigorous models [114,115].
The validity of the proposed conceptual framework can be supported by mathematical
methods.
Figure 1 shows the research design and sequences of the study. First, a systematic
literature review was conducted from journals, conference proceedings, industry and
company reports in different sectors and the maritime business cycle. Barriers to energy
efficiency improvement from different industries and sectors were listed. In the second
phase, various energy barriers from the list (the list created in the previous phase) were
analyzed and the barriers related to energy efficiency improvement in the shipbuilding
industry were identified. In order to overcome the energy barriers, it is important to take
into account the surrounding characteristics of the energy sector. Therefore, in the third
phase of the study, the authors conducted an extensive literature review and identified and
classified the most important and crucial disciplines for solving the energy efficiency prob-
lems in shipbuilding into five main disciplines, namely, operations, policy and legislation,
technology and innovation, human factors (consisting of behavioral and organizational
systems) and economics. The barriers (from the list in phase two) were categorized under
these five disciplines (see Figure 2).
In order to reduce the energy gap, overcome the problem and prioritize the barriers
within the five disciplines, four2 criteria were selected: how severe the barriers are, how
easy it is to remove the barriers and how much impact they have on energy efficiency
and economic performance. However, it is important to note that the barriers within the
categorized framework are interlinked, interrelated and interact with each other. In the last
step, the interactions between the barriers from different disciplines have been clarified
using two3 multi-criteria decision making (MCDM)4 methods, namely, fuzzy analytical
hierarchy process (FAHP) and fuzzy multiple attribute group decision making technique
(FMAGDM)5 . The framework helps managers in a fuzzy atmosphere to identify and rank
the barriers according to their preferences through a transdisciplinary approach and to
make rational investment decisions to improve the energy efficiency of their portfolio.
3.1.
3.2.Systematic
The SystematicLiterature Review
and Transdisciplinary Approach to Solve the Problem
As part of step one of this
Systematic and the transdisciplinaryresearch, a total of 1142 have
approaches worksbeenwereusedcollected that con-
to develop the
cerned
proposed theframework.
energy sector Theand related barriers
systematic approachtoisenergy
helpfulefficiency in different
in addressing clusters.and
large, complex A
title screening excluded 369 duplicated and unrelated studies. Furthermore,
transdisciplinary issues, and it promotes a shift from linear to circular thinking [116]. A the abstracts
and conclusions
systematic of theinvolves
approach articles were
lookingreviewed and 583
at problems academic
from differentarticles that did[117]
perspectives not dis-
and
cuss the topic of the review and those with a weak context were
defining a boundary for the system to identify its components [118,119]. In addition, excluded. The filtered
the
academic
relationshipsarticles,
and i.e., 190, werebetween
interactions carefully read
the and,components
system after excluding articles
should with repeated
be emphasized.
findings,
Theretheare
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the fiveanddisciplines became
solve related the corners
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is important “diamond”,
synthesize as a new
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and holistic
through an form of barriers toapproach
interdisciplinary energy efficiency in construction
in a life cycle perspective phase of ships
to explore (see Figure
the relationship
2).
and interaction between the barriers and different stakeholders [18,19]. Energy system
is a socio-technical system. This means that in order to solve energy problems, not only
3.2.
theThe Systematic
technical and Transdisciplinary
solution and technology Approach to Solvebut
are important, thealso
Problem
the environment, e.g., the
human factor, social
Systematic and the aspects, activities, policies
transdisciplinary approaches and have
legislation, economic
been used and financial
to develop the pro-
factors must be considered, and, instead of one-dimensional thinking,
posed framework. The systematic approach is helpful in addressing large, complex and the interdisciplinary
approach must be
transdisciplinary takenand
issues, intoitaccount
promotes [106]. Multidisciplinary
a shift and transdisciplinary
from linear to circular thinking [116].are A
two levels of interdisciplinarity [120–122]. While interdisciplinary
systematic approach involves looking at problems from different perspectives researchers cling to their
[117] and
languages,
defining conceptsfor
a boundary andthemythologies, transdisciplinary
system to identify its components researchers
[118,119].integrate methods,
In addition, the
approaches, concepts
relationships and languages
and interactions betweenand the create
systema components
new language, method
should and concept to
be emphasized.
solve the problem
There are various[123,124]. A transdisciplinary
methods, perspectives and approach
theories allows
that are theused
researcher to break
to analyze the
through silos and cross the boundaries between disciplines [125,126].
energy system and solve related problems, but it is important to synthesize the technology
through an interdisciplinary approach in a life cycle perspective to explore the relation-
ship and interaction between the barriers and different stakeholders [18,19]. Energy sys-
tem is a socio-technical system. This means that in order to solve energy problems, not
factors must be considered, and, instead of one-dimensional thinking, the interdiscipli-
nary approach must be taken into account [106]. Multidisciplinary and transdisciplinary
are two levels of interdisciplinarity [120–122]. While interdisciplinary researchers cling to
their languages, concepts and mythologies, transdisciplinary researchers integrate meth-
J. Mar. Sci. Eng. 2021, 9, 1113 ods, approaches, concepts and languages and create a new language, method and concept 9 of 25
to solve the problem [123,124]. A transdisciplinary approach allows the researcher to
break through silos and cross the boundaries between disciplines [125,126].
Figure
Figure2.2.Categorization
Categorizationof
ofkey
keybarriers
barriersin
inthe
theshipbuilding
shipbuildingindustry.
industry. Resource;
Resource; [12,22,32,33,38,44,69,71,74,106,127–132].
[12,22,32,33,38,44,69,71,74,106,127–132].
Figure 3.
Figure 3. Transdisciplinary
Transdisciplinary approach
approach to
to design
design and
and develop
developthe
theframework.
framework.
3.3.1.The
Fuzzy Analyticalstarts
framework Hierarchy Process
with “goal (FAHP) At this stage, based on the priorities
formation”.
and interests of the
As discussed indecision
Section 3makers in terms
and shown of energy
in Figure 3, theefficiency
FAHP methodmeasures, the barriers
was used to de-
are classified
termine into five
the weight of disciplines. However,
main disciplines depending
and criteria. on stakeholders’
Triangular interests,
fuzzy number (TFN)the
disciplines
demonstrates may three numbers of A = (𝑎, 𝑏, 𝑐); as a, b and c are lowest potential value,
bychange.
higherIn potential
the second step,and
value “system analysis”,
the highest the importance
potential number of of the number
fuzzy disciplines will be deter-
ñ respectively.
A is a triangular fuzzy number, where 𝑎 ≤ 𝑏 ≤ 𝑐, has the following function [134];
mined using the FAHP method on the basis of the priorities of the DMs.
J. Mar. Sci. Eng. 2021, 9, 1113 11 of 25
“Scenario construction” is the third step in the creation of the framework, where
DMs, using the FAHP, determine the importance of the criteria based on their preferences.
Here, the question is whether the four criteria have the same importance across the five
disciplines. If the criteria have different importance in each discipline, the DMs can create
a matrix of comparison weights for each criterion in each discipline.
The fourth step is the “MCDM assessment”. In this step, by referring to the results of
steps two and three and using fuzzy multiple attribute group decision making (FMAGDM),
the DMs can rank the barriers with respect to criteria in each discipline.
“Strategy building” is the final step in the framework. Based on the results of the
previous step, managers have a better understanding of the types of barriers and their
importance from different perspectives. There is no silver bullet for overcoming energy
efficiency [133]. The results of the framework help administrations to make rational
decisions on the selection and adoption of energy efficiency measures and to trade-off
between different solutions, as well as to select and design appropriate energy efficiency
policies. The framework is supported by the PDCA cycle to make the framework dynamic
so that it can be updated with new technologies and DMs’ priorities.
J. Mar. Sci. Eng. 2021, 9, 1113 12 of 26
3.3.1. Fuzzy Analytical Hierarchy Process (FAHP)
J. Mar. Sci. Eng. 2021, 9, 1113 12 of 26
As discussed in Section 3 and shown in Figure 3, the FAHP method was used to
determine
sdisciplinary approach to design and develop the framework.the weight of main disciplines and criteria. Triangular fuzzy number (TFN)
demonstrates by three numbers of A 0 = (a, b, c); as a, b and𝑋c<are 𝑎 lowest potential value,
⎧𝑋 − 𝑎
zzy Analytical Hierarchy Process (FAHP) higher potential value and the highest ⎪ potential number𝑎of≤fuzzy 𝑋 ≤ number 𝑏 ñ respectively. A
is a
J. Mar. Sci. Eng. 2021, 9, 1113
triangular fuzzy number, where0 ⎪a𝑏≤ − 𝑎
b ≤ c, has the 𝑋 following
<𝑎 function [134];
𝜇ñ⎧9,(𝑋used
discussed in Section 3 and shownJ.in Figure 3, the FAHP method was ( )
Mar. J.Sci.
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Eng. 9,
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) =
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the weight of main disciplines and criteria. Triangular fuzzy number ⎪
⎪ 𝑏 − 𝑎 ⎨(TFN) 𝑎 ≤ 𝑋 𝑏≤≤𝑏𝑋 ≤ 𝑐
𝑐0− 𝑏 X<a
rates by three numbers of A = (𝑎, 𝑏, 𝑐); as a, b and c are lowest ( ) potential
𝜇ñ( ) = 𝑐 − 𝑋 ⎪
⎪ X0−a
value, 𝑋>𝑐
otential value and the highest potential number of fuzzy numberµ ñ⎨ 𝑏 ≤≤𝑋X≤ ≤
a 𝑐 b
( X )
⎩
respectively.
𝑐 =− 𝑏
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⎪
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b≤X≤ c 0 𝑋<𝑎
angular fuzzy number, where 𝑎 ≤ 𝑏 ≤ 𝑐, hasThe thegeometric
followingmean function ⎪ 0
[134];
technique [135] was used𝑋to>calculate
c−b
𝑐 the0⎧fuzzy𝑋 − 𝑎weights in<this
⎩ 𝑚𝑒𝑎𝑛 𝑜𝑓 0 X>c 0 ⎪ 0 𝑋 𝑎 𝑋
𝑎≤ 𝑋< 𝑎 ≤
study. While Ƒ𝑖 = 𝑔𝑒𝑜𝑚𝑒𝑡𝑟𝑖𝑐 𝑡ℎ𝑒 𝑖 th row, and Ꞷi ⎧𝑋 =−⎧ 𝑎 𝑋
fuzzy ⎪ 𝑏𝑎weight
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Ƒ𝑖 = Ƒ= 𝑔𝑒𝑜𝑚𝑒𝑡𝑟𝑖𝑐 𝑚𝑒𝑎𝑛 𝑜𝑓 𝑡ℎ𝑒 𝑖 Ꞷi( ) = fuzzy ( ) 𝑖 𝑏≤𝑋≤ 𝑐
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==((𝑎 i, 1X𝑎a i,2
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technique
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2 X…c[135] mean 𝑚𝑒𝑎𝑛[135]
was X𝑜𝑓
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Ƒ𝑖 = 𝑚𝑒𝑎𝑛
𝑜𝑓
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th 𝑚𝑒𝑎𝑛
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row, th 𝑜𝑓
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and 𝑡ℎ𝑒
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and 𝑖 =
th Ꞷi
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we
an
event;event; Ꞷi = event; Ƒ=i (ñi,1 ⊗ ñi,2 ⊗ ... ñi,n) 1/n
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Ƒ= 1⊕
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. ((𝑎
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. . .⊗⊗. i,1X
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𝑎i,1X
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J. Mar. Sci. Eng. 2021, 9, 1113
study. While Ƒ𝑖 = 𝑔𝑒𝑜𝑚𝑒𝑡𝑟𝑖𝑐 The Ƒ=
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J. Mar. Sci. Eng. 2021, 9, 1113 13 of 25
J. Mar. Sci. Eng. 2021, 9, 1113 14 of 26
Figure 4. The
Figure 4. The hierarchical
hierarchical prioritizing of the
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4.
4. Results
Results and
and Discussions
Discussions
4.1. Case Study
To prove
prove that
that thethe framework
framework works,
works, interviews were conducted with five senior
managers (DMs) at an Iranian ship repair
(DMs) at an Iranian ship repair yard andand
yard an offshore infrastructure
an offshore builder
infrastructure (ISY).
builder
The interviewees had five main responsibilities for energy aspects in the shipyard.
(ISY). The interviewees had five main responsibilities for energy aspects in the shipyard. ISY
is anisactive
ISY shipship
an active repair yardyard
repair in Iran and builds
in Iran many
and builds offshore
many and subsea
offshore infrastructures.
and subsea infrastruc-
Figure Figure
tures. 3 shows3 the implementation
shows of the framework
the implementation for ISY. Allfor
of the framework steps and
ISY. Allsequences
steps andhave
se-
been summarized
quences have beenand the resultsand
summarized are the
presented
results in
areTables 1–4. in Tables 1–4.
presented
Table 1. Ranking
Table 1. Ranking of
of disciplines.
disciplines.
Table 2. Ranking
Table 2. Ranking of
of criteria.
criteria.
Barriers
T1 T2 T3 E1 E2 E3 E4 E5 E6 E7 E8 E9 E10 E11 O1 O2 O3 O4 O5 H1 H2 H3 H4 H5 H6 H7 H8 H9 H10 H11 H12 H13 P1 P2 P3 P4
ISY
Ranking 2 1 3 4 10 2 7 8 1 5 3 6 6 9 1 2 5 4 3 6 7 8 9 11 10 5 2 5 4 1 7 3 4 2 1 3
Barriers
T1 T2 T3 E1 E2 E3 E4 E5 E6 E7 E8 E9 E10 E11 O1 O2 O3 O4 O5 H1 H2 H3 H4 H5 H6 H7 H8 H9 H10 H11 H12 H13 P1 P2 P3 P4
ISY
Ranking 6 2 11 4 12 3 9 10 1 7 5 8 8 13 14 19 22 21 20 28 29 30 31 33 32 27 24 27 26 23 29 25 18 16 15 17
J. Mar. Sci. Eng. 2021, 9, 1113 15 of 25
modern winches were not suitable for the shipyard due to the extremely high temperature
in the region, which caused them to stop working during operation.
The technical risk (the second main barrier), was directly related to the third main
barrier, which was the “immaturity of the technology”. Investment risk can lead to a
widening of the energy efficiency gap [13,44]. The “immaturity of technology” barrier is
due to the innovative nature of the technologies and measures [24]. A new technology
is subject to future performance and evaluation to confirm its maturity. The company
DMs claimed that some technologies on the market are not proven or do not have the
effectiveness stated in their information, and company managers do not want to invest in
high risk technologies whose effectiveness are subject to further evaluation.
Economics
“Lack of funding”, “limited access to capital costs” and the “cost of identifying op-
portunities” were the main barriers to the yard’s financial discipline. Energy efficient
technologies, especially in shipbuilding, are very expensive and limited access to capital
was the main challenge for ISY [33], which may improve during the economic reces-
sion [111]. According to the respondents, these barriers have increased mainly due to the
international sanctions against Iran. The limited access to capital leads to poor budgeting,
which makes energy efficiency less important for the yard [36].
“Costs of production interruptions” are an important barrier in energy-intensive in-
dustries and are categorized as hidden costs in the classical categorization [44]. The barrier
is placed as the highest priority in the case yard. In addition, the “increase in perceived
costs of energy saving measures” (fifth highest priority barrier) and “cost-effectiveness
analysis and tendering” (sixth highest priority barrier) were categorized as hidden costs.
Hidden costs are categorized as barriers that are not market-based and may hinder energy
efficiency investments [44]. The hidden cost may be due to the cost of collecting and
analyzing information [66], and it is more common in small industries [129].
“Split incentives” were ranked as the sixth highest priority. The common example
of the shipyard was a typical case in industry, where shipyard managers, who have a
short tenure, were reluctant and hesitant to invest in projects, measures and technologies
with a long payback period [59]. The last four barriers were “capital market barriers”,
“lack of investment capacity”, “lack of information on the profitability of energy saving
measures” and “competition from other projects”. The “capital market barriers” and “lack
of investment capacity” were related to problems in accessing capital and were classified
as behavioral barriers [33]. According to the interviewees, this problem is becoming
more serious, especially after the international sanctions against Iran. Finally, the “lack
of information on the profitability of energy saving measures” and “competition from
other projects” are considered as insufficient information. Lack of information can lead to a
widening of the energy efficiency gap [35,46].
Operation
“Disruption” was the main barrier in the discipline. The cost of any disruption is
categorized as a hidden cost [67]. Shipyard managers were concerned that ship production
would be disrupted due to energy efficiency measures. This concern led to an increased
lack of energy efficiency within the shipyard. “Not using information”, “wrong form of in-
formation”, “wrong information” and “not maintaining information” were ranked second,
third, fourth and fifth, respectively. “Form of information”, “incorrect form of information”
and “incorrect information” are crucial to improving energy efficiency. The information
provided to users must be specific, vivid, simple and personalized (SVSP) [13,36]. As an
example, the form of the information provided on winches (see the section on technology
and innovation) at the shipyard was not specific, leading to an increased investment risk.
The relevant staff in the shipyards must be well trained to use information on technology
and maintain it in order to remove the barriers around information [111].
Human element
An “inappropriate organizational structure” was the main barrier in the discipline.
The barrier is categorized under the main theory of organizational barriers [36]. The
J. Mar. Sci. Eng. 2021, 9, 1113 17 of 25
shipyard did not have an independent and classical energy department, and only one junior
engineer was responsible for managing the energy sector within the shipyard. The “low
position of the energy manager” and the “lack of influence of the energy manager” (fourth
highest barrier) in the shipyard made energy efficiency a low priority for managers (sixth
highest priority) [13], and other issues a higher priority for capital investment (seventh
highest priority) [52]. In addition, an “inappropriate organizational structure” (first barrier)
affects the organizational culture. By developing a culture of environmental values, the
yard can promote energy efficiency [82]. Improving the organization’s culture towards
environmental protection can overcome the eleventh most important barrier, namely, the
“lack of management support” for energy efficiency investments.
“Lack of technical skills” and “lack of trained staff” were considered to be the second
and fifth biggest barriers in the shipyard respectively. Managers considered the “lack of
technical skills of staff” as a barrier to energy efficiency [106]. This may increase the energy
gap if it exists among top managers, as they may not realize the importance of investing in
energy efficiency measures. The interviewees highlighted that staff need further training
on energy efficiency meters and the possibilities to improve energy efficiency in the yard.
“Limited rationality” (the third largest barrier) is a type of behavioral barrier [78].
“Limited rationality” can increase the gap in energy efficiency. Instead of making the
optimal decision, DMs, due to a lack of information tend to make decisions based on
the rule of thumb and strive to make a satisfactory decision instead of optimizing their
decision [13]. The DMs in the shipyard highlighted many constraints, such as “lack of
time” (eighth of the main barriers), that cause them to replace the imprecise decisions and
rules of thumb with the optimized decisions [89]. Shipyard managers also highlighted that,
due to a lack of access to the required budget, there are conflicting interests and goals of
individuals and departments within the shipyard. This conflict presents a complicated
situation for the shipyard managers in terms of optimizing their decisions to obtain the
lowest price for the energy efficiency measures, but at the same time achieving the most
efficient effects [90,91].
“Inertia” was the seventh biggest barrier for the shipyard. Interviewees highlighted
that there is resistance among individuals to invest in energy efficiency measures. This is
related to the habits and routines formed by individuals and organizational behavior [85,86]
and it is usually difficult to change behavior in the short term because individuals strive to
prevent changes in the environment [87].
Policy and regulation
ISY meets the requirements of ISO 14,001 (Environmental Management System). How-
ever, there were questions about how it would be implemented and how environmental
issues would be prioritized in relation to business objectives. The “lack of an environmental
policy from the government” was considered by the yard manager as the main barrier.
They considered that there are not sufficient and appropriate policies for environmental
protection, and if there are any, they are weak and not sufficiently enforced (fourth highest
priority) and monitored by the government [111]. They also complained that they do not
receive any support in the form of incentives or subsidies from the government to improve
energy efficiency within their portfolio. Shipyards need more of this kind of support during
the economic recession and international sanctions [129].
barrier in the shipyard, and DMs can make rational decisions and also optimize their
decisions in improving the energy efficiency within their portfolio, overcoming the barriers.
resolved. In addition, if there is a well-trained and strong energy manager (team) with
sufficient power and independence, the process can be accelerated and the risks can be
minimized.
Human element
The human element was the least important discipline among the others. Since the
importance of the different disciplines has a significant impact on the final ranking of the
barriers, the human factor barriers were ranked 22–33. By overcoming barriers, such as
inappropriate organizational structure (23rd biggest barrier), other barriers from other
disciplines, such as disruption (14th biggest barrier), can also be overcome. To resolve
the barrier of organizational structure, the value of the organization should be changed to
environmental protection [44]. To achieve this goal, individuals—especially top managers—
must have the ambition to increase energy efficiency within the shipyard [36]. This can be
accelerated by increasing staff awareness through training [106] and by conducting various
workshops. It is suggested that the yard’s top managers pay more attention to human
discipline and the related barriers. In addition, the problem of time constraints can be
overcome by recruiting well-trained and skilled staff [111].
Policy and regulations
Energy efficiency plays an important role in promoting the energy security of states
and in tackling climate change [2]. It is a top priority in the policy decisions of nations
responding to the Paris Agreement [3]. As a major stakeholder, the government can jus-
tify energy efficiency measures in industry. In the case of the shipyard, the international
sanctions against Iran present a major problem for the shipyard in accessing capital. The
sanctions affect the ability of Iranian industries to invest in energy efficiency measures.
Due to the lack of access to capital, the yard’s priorities for energy efficiency measures
have changed and they have been placed at a lower level of priorities. However, by imple-
menting projects, such as Voluntary Agreements (VAs) and Long Term Agreements (LTAs),
the government—like some other countries, such as the Netherlands and Japan—can help
industries to improve energy efficiency in their context [97]. Training of energy managers
in the shipbuilding industry, raising awareness, funding research and development (R&D)
and establishing codes and protocols are other measures that can help the government to
improve energy efficiency in the shipbuilding industry.
5. Conclusions
It is important to consider a holistic, systematic and transdisciplinary approach to
overcoming barriers to improving energy efficiency. In this study a framework for over-
coming the barriers to energy efficiency within shipyards is proposed. The framework
is holistic, systematic and transdisciplinary, and takes into account the interrelationship
and interaction between different barriers. It consists of five main disciplines, namely,
the human element, technology and innovation, operation, policy and regulations, and
economics. The focused group of the study includes the top managers of shipyards, who
have the highest weight in the final decision for investment in energy efficiency measures.
Implementing the framework overcomes the bounded rationality barrier and helps DMs to
make rational and optimal decisions in a vague environment regarding improving energy
efficiency. Additionally, following the PDCA cycle and considering the changeable DMs
priorities contributes a dynamic feature to the framework. Due to the framework’s generic
characteristics, it may be applied to other industries, and policy makers and researchers in
those industries can also employ the framework to overcome barriers to improving energy
efficiency.
The following steps was taken to design and develop the framework:
• Systematic literature review on barriers of energy efficiency from various sectors and
industries;
• Analysis and categorizing different barriers in the shipbuilding industry;
• Design and develop the framework by categorizing the identified barriers in to five
main disciplines;
J. Mar. Sci. Eng. 2021, 9, 1113 20 of 25
• Using two MCDM methods (FAHP and FMAGDM) to understand the interaction
between the barriers.
To validate the proposed framework, a case study was conducted for an Iranian
shipyard. Interviews were conducted with five senior managers of the shipyard, and their
priorities of the categorized barriers in each discipline were determined. Four criteria
were presented to them for prioritizing the barriers, namely, how severe the barriers are,
how easy it is to remove the barriers, how much impact the removal of the barriers can
have on energy efficiency, and how much impact the removal of the barriers can have on
economic performance. By applying FAHP and FMAGDM, the priorities of the barriers
were identified in each discipline and in general aspects. The results show that:
• There is a significant imbalance between the importance of the different disciplines.
Economic barriers are the most important and are considered to be 18 times more
important than the least important discipline, i.e., barriers due to the human factor.
• In the criteria side, the most important thing for DMs is the impact of “barriers removal
to economic performance”. “Improvement of energy efficiency after barriers removal”,
“simplicity of barriers removal”, and “severity of barriers” are ranked in order of
importance”.
• The weights assigned to the disciplines have significant impact on the final ranking of
the barriers.
• Due to international sanctions, the yard has problems with financing and limited
access to capital. In addition, costs caused by disruptions of production is another
major barrier to implementing energy efficiency measures at the yard.
• In terms of technological discipline, the main barriers for the yard are “lack of appro-
priate technology at the yard”, “technical investment risk” and “immaturity of the
technology”.
• “Lack of environmental policy from the government”, “lack of government incentives”
and “lack of environmental policy from the company” are considered to be the highest
priority for the yard in terms of policy and regulations.
• The least important barriers are related to the human factor. The main barriers in this
discipline are “inappropriate organizational structure”, “lack of technical competence”,
and “bounded rationality”.
In order to overcome the barriers, the integration of the barriers must be taken into
account. Imbalances between the importance of the disciplines can lead to a loss of
potential for improving energy efficiency. Appropriate budgeting and consideration of
the bottom-up approach can help the yard to overcome the lack of budgeting and ensure
that different departments have access to the necessary budget for investments in energy
efficiency measures. There is significant potential for improving energy efficiency (20–30%)
by implementing (low hanging fruit) measures that are cheap and affordable for the yard.
In addition, addressing the organizational structure of the yard can play a major role in
overcoming other barriers. It is important to shift the value of the yard to environmental
protection. The role of top management and its commitment in this respect is extremely
important. This approach can be accelerated by raising staff awareness through training
and conducting various workshops. Governments as key stakeholders can motivate
energy efficiency measures and regulations in the shipbuilding industry. By providing
incentives, subsidies and implementing projects, such as voluntary agreements and long-
term contracts, training shipbuilding energy managers, raising awareness, funding research
and development and establishing codes and protocols, the shipbuilding industry can
overcome the barriers to improving energy efficiency.
Author Contributions: Conceptualization: S.V.V. and A.I.Ö.; methodology: S.V.V., A.I.Ö. and A.S.;
validation: S.V.V., A.I.Ö. and A.S.; formal analysis: S.V.V.; investigation: S.V.V.; resources: S.V.V.;
data curation: S.V.V.; writing—original draft preparation: S.V.V.; writing—review and editing: S.V.V.,
A.I.Ö. and A.S.; visualization: S.V.V.; supervision: A.I.Ö. and A.S. All authors have read and agreed
to the published version of the manuscript.
J. Mar. Sci. Eng. 2021, 9, 1113 21 of 25
Notes
1 SEEMP is mandatory for all vessels of 400 GT or more and must be carried on board. However, it does not contain any explicit
and mandatory content and implementation requirements. On the other hand, the ESEEMP is an improved SEEMP including
mandatory content, such as an implementation plan on how to achieve the Carbon Intensity Indicator (CII) targets, and should
be subject to approval.
2 Depending on the DMs’ preference, different criteria may be considered.
3 Depending on the type of data (explicit or linguistic) and the number of DMs, exceptional MCDM techniques can be used. The
number of respondents may also vary depending on many factors, such as ownership and the organisational form of the yard.
There are usually no more than three decision makers when it comes to making strategic choices regarding the strengths of a
yard.
4 In an unclear environment of lack of information and inconsistency, managers generally fail to make rational decisions and set
their priorities. MCDM methods can help managers to identify problems and make the best decision among different options in
an ambiguous environment.
5 The Fuzzy TOPSIS (FTOPSIS) method was used to handle FMAGDM.
6 Equations (5)–(10) were used to rank the alternatives, please see Section 3.3.2.
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