International safety management

YOUR
NEXT
STEP
FOR
INTERNATIONAL
SAFETY
MANAGEMENT
1
Contents
•
•
•
•
•
•
Introduction
Management Systems
The ISM Code
Implementation of ISM requirements
Synergies with other management disciplines
Certification and enforcement
2
Navigator
Introduction
Louis Vest
3
Why does ISM exist?
Herald of Free Enterprise, 1987
4
Maritime Catastrophes
5
Fire and Collisions
Scandinavian Star
Achille Lauro
Bright
Field
6
Tanker Accidents
Castelle Bellevue
Amoco Cadiz
7
Environmental Disasters
Exxon Valdez
8
Safety
What
is
safety?
9
Safety
Safety is...
... the likelihood
that no accident or damage
occurs.
10
Problems of the maritime industry
•
•
•
•
•
•
•
•
•
Overtonnage
Aggressive competition
Economic pressure
Reduction of crew
Crewing by third party companies (crewing managers)
Decreasing qualification
Jounger officers with less experience
Time pressure by tight schedules/charters
Increasing shipboard administration
11
Causes of accidents
human
machinery
12
Strategy
Improvement
Improvementof
of the
theMaritime
MaritimeSafety
Safety
by
•
•
•
•
•
•
Reduction of human errors
Prevention from human errors
A better organization of operations
More transparency and clearness
Promotion of the safety awareness
Creating appropriate working conditions
13
Solution
Systematic management
off all surrounding conditions
for safe work
Safety Management System
14
Development of management systems
Quality management
•• 2.
2. World
World war:
war: first
first standardized
standardized
management
management for
for US
US defence
defence industry
industry
•• UK
UK developed
developed the
the standard
standard BS
BS 5750
5750
for
for defence
defence industry
industry
•• 1980s:
1980s: supported
supported introduction
introduction in
in
British
British civil
civil industry
industry
•• 1987
1987 conversion
conversion to
to ISO
ISO 9000
9000 ff.
ff.
•• 1988
1988 Group
Group of
of Five
Five interprets
interprets
ISO
ISO 9002
9002 for
for shipping
shipping
companies
companies
•• 1990
1990 Code
Code of
of the
the Group
Group of
of Five
Five
•• 1991
1991 converted
converted to
to ISMA-Code
ISMA-Code
Safety Management
•• 1987:
1987: Herald
Herald of
of Free
Free Enterprise
Enterprise
IMO
IMO developed
developed resolutions
resolutions
•• 1989:
1989: Resolution
Resolution A
A 647
647 (16)
(16)
•• 1991:
1991: Resolution
Resolution A
A 680
680 (17)
(17)
•• 1993:
1993: Resolution
Resolution A
A 741
741 (18)
(18)
ISM-Code
ISM-Code
•• 1994:
1994: SOLAS
SOLAS IX
IX
15
IMO Resolutions
A.647 (16) Guidelines on Management for the Safe
Operation of Ships and for Pollution Prevention
19.10.1989
A.680 (17)
Update 06.11.1991
A.741 (18) International Management Code for the Safe
Operation of Ships and Pollution Prevention
(ISM-Code) 04.11.1993
16
Development of the ISM Code
• Development of an international
regulation by the IMO
• Idea: Improvement of the safety by
a management system
• establishing requirements in the ISM code
• Expansion of SOLAS by the chapter IX
• Ratification by the Flag states
• Conversion to national legislation by the flag States
• Certification by the Flag State
• Verification by the Port States
17
Principles of ISM
•
•
•
•
•
•
Individual arrangement by the shipping company
Support of personal responsibility
Self control and review
Continual improvement
External supervision of the system
Confirmation by certificates
18
Elements of ISM
system
review and amendment
Prevention
Reaction
Continuous
improvement
Safety and Environmental Policy
19
Prevention
Means
Planning
Organisation
Awareness
and Motivation
Knowledge
and Experience
Communication
20
Reaction
reporting of
deficiencies
learning from
mistakes
right
immediate actions
Vigilance
Handling
of
mistakes
emergency
management
21
Continuous Improvement
training
motivating
corrective measures
Incident investigation
amendment service
22
System Review and amendment
Compliance monitoring by the Master
Regular Reporting of the company
Regular monitoring by the Designated person
internal audits on board and ashore
Review by the Master
Review of the entire system
ImplemenImplemenestablishing of corrective measures
tation
tation
Monitoring
Monitoring
Review
Review
23
Navigator
Management
Systems
Louis Vest
24
Managementsystem
A management system is the
conceptual interaction of methods
supporting an orgaization
• to identify, establish and achieve necessary
objectives and targets
• to organize their implemantation
• to monitor their effectiveness
• to control their implementation
• To monitor the achievement of objectives
• to take necessary actions
25
Elements of management systems
Leadership
Organisation
objectives
planning
planning
implemenimplementation
tation
adaption
adaption
monitoring
monitoring
Administration
Resources
26
Navigator
The
ISM Code
Louis Vest
27
The structure of the ISM Code
Preamble
Preamble
Part
Part A
A -- Implementation
Implementation
Part
Part B
B –– Certification
Certification and
and Verification
Verification
28
Part A - Implementation
11 General
General
22 Safety
Safety and
and environmental
environmental protection
protection policy
policy
33 Company
Company responsibilities
responsibilities and
and authority
authority
44 Designated
Designated Person
Person
55 The
The Master
Master
66 Resources
Resources and
and personnel
personnel
77 shipboard
shipboard operations
operations
88 Emergency
Emergency preparedness
preparedness
10
10 Maintenance
Maintenance of
of the
the ship
ship
99 Non-conformities,
Non-conformities, accidents
accidents
11
11 Documentation
Documentation
12
12 Company
Company verification,
verification, review
review and
and evaluation
evaluation
29
Part B – Certification and verification
13
13 Certification
Certification and
and periodical
periodical verification
verification
14
14 Interim
Interim certification
certification
15
15 Verification
Verification
16
16 Forms
Forms of
of certificates
certificates
30
What are the causes
of errors and accidents?
31
Human Factor
• Deficient education
• Deficient experience
• Deficient communication and
vocational problems
• Cultural differences
• Frequent crew change, fluctuation
• Deficient support from shore
• Fatigue and overwork
• Deficient flexibility
• Deficient awareness
• Bad maintenance
• Excessive demands by new technology
• Excessive demands by too many legal requirements
32
How to prevent accidents?
Risk
Vessel
Hazard
33
Barrier
How to prevent accidents?
Risk
Vessel
Hazard
34
Concept of safety barriers (controls)
BARRIERS
Accident
R
A
D
A
R
F
L
O
O
D
L
I
G
H
T
I
C
E
C
H
A
R
T
S
L
O
O
K
O
U
T
S
K
I
L
L
E
D
Ship
C
R
E
W
35
Identification of risks
1.2.2
Safety management objectives of the Company should, inter alia:
.1 provide for safe practices in ship operation and a safe working
environment;
.2 assess all identified risks to its ships, personnel and the environment
and establish appropriate safeguards; and
.3 continuously improve safety management skills of personnel ashore
and aboard ships, including preparing for emergencies related both to
safety and environmental protection.
36
Consequences
Risk Assessment
severe
Moderate
Risk
Substantial
Risk
Intolerable
Risk
medium
Tolerabel
Risk
Moderate
Risk
Substantial
Risk
Trivial
Risk
Tolerabel
Risk
Moderate
Risk
low
low
medium
high
Likelihood
37
Risk Management
1.
2.
3.
4.
5.
Hazard Identification
Risk Determination
Risk Assessment
Evaluation of existing controls
Improvement of controls
Re-Assessment of risk
38
How would you assess the risk?
Which barriers should be provided?
A sixteen year old cadet goes night watch
with the Chief mate. The vessel rolls in
heavy seas and rainy weather.
Suddenly the top navigation light failed.
The officer sends the cadet to the top of
the mast to exchange the bulb.
The cadet grips the bulb between his teeth
and, sandalled with flip flops, climbs aloft.
39
Navigator
Implementation of
ISM Requirements
Louis Vest
40
Preamble
Objectives
international harmonized standard for maritime safety
Safe management and safe shipboard operations
Prevention from marine pollution
Responsibilities of the Master
Resolution A 443 (XI)
Reference to previous Resolutions
Individual application of the Code
Cornerstones of an effective manageement system
Commitment from the top management
Engagement of managers
Knowledge and skills, awareness and motivation
Engagement of people at all levels
41
Preamble
1.1. The
Thepurpose
purposeofofthis
thisCode
Codeisistotoprovide
providean
aninternational
internationalstandard
standardfor
forthe
thesafe
safemanagement
managementand
and
operation
of
ships
and
for
pollution
prevention.
operation of ships and for pollution prevention.
2.2. The
TheAssembly
Assemblyadopted
adoptedresolution
resolutionA.443(XI)
A.443(XI)by
bywhich
whichititinvited
invitedall
allGovernments
Governmentstototake
takethe
the
necessary
steps
to
safeguard
the
shipmaster
in
the
proper
discharge
of
his
responsibilities
necessary steps to safeguard the shipmaster in the proper discharge of his responsibilitieswith
with
regard
to
maritime
safety
and
the
protection
of
the
marine
environment.
regard to maritime safety and the protection of the marine environment.
3.3. The
TheAssembly
Assemblyalso
alsoadopted
adoptedresolution
resolutionA.680(
A.680(17)
17)by
bywhich
whichititfurther
furtherrecognized
recognizedthe
theneed
needfor
for
appropriate
organization
of
management
to
enable
it
to
respond
to
the
need
of
those
on
board
appropriate organization of management to enable it to respond to the need of those on board
ships
shipstotoachieve
achieveand
andmaintain
maintainhigh
highstandards
standardsofofsafety
safetyand
andenvironmental
environmentalprotection.
protection.
4.4. Recognizing
Recognizingthat
thatno
notwo
twoshipping
shippingcompanies
companiesororshipowners
shipownersare
arethe
thesame,
same,and
andthat
thatships
shipsoperate
operate
under
a
wide
range
of
different
conditions,
the
Code
is
based
on
general
principles
and
under a wide range of different conditions, the Code is based on general principles and
objectives.
objectives.
5.5. The
TheCode
Codeisisexpressed
expressedininbroad
broadterms
termsso
sothat
thatititcan
canhave
haveaawidespread
widespreadapplication.
application.Clearly,
Clearly,
different
levels
of
management,
whether
shore-based
or
at
sea,
will
require
varying
levels
different levels of management, whether shore-based or at sea, will require varying levelsofof
knowledge
knowledgeand
andawareness
awarenessofofthe
theitems
itemsoutlined.
outlined.
6.6. The
Thecornerstone
cornerstoneofofgood
goodsafety
safetymanagement
managementisiscommitment
commitmentfrom
fromthe
thetop.
top.InInmatters
mattersofofsafety
safety
and
pollution
prevention
it
is
the
commitment,
competence,
attitudes
and
motivation
of
individuals
and pollution prevention it is the commitment, competence, attitudes and motivation of individuals
atatall
alllevels
levelsthat
thatdetermines
determinesthe
theend
endresult.
result.
42
Chapter 1
General
• Terms and definitions
• Objectives
• Application
• Functional requirements
43
Definitions
1.1
1.1
1.1.1
1.1.1
DEFINITIONS
DEFINITIONS
"lnternational
"lnternationalSafety
SafetyManagement
Management(lSM)
(lSM)Code"
Code"means
meansthe
theInternational
InternationalManagement
ManagementCode
Codefor
for
the
Safe
Operation
of
Ships
and
for
Pollution
Prevention
as
adopted
by
the
Assembly,
as
may
be
the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be
amended
amendedby
bythe
theOrganization.
Organization.
1.1.2
1.1.2
"Company"
"Company" means
means the
the Owner
Owner ofof the
the ship
ship oror any
any other
other organization
organization oror person
person such
such as
as the
the
Manager,
or
the
Bareboat
Charterer,
who
has
assumed
the
responsibility
for
operation
of
the
ship
Manager, or the Bareboat Charterer, who has assumed the responsibility for operation of the ship
from
fromthe
theShipowner
Shipownerand
andwho
whoon
onassuming
assumingsuch
suchresponsibility
responsibilityhas
hasagreed
agreedtototake
takeover
overall
allthe
the
duties
and
responsibility
imposed
by
the
Code.
duties and responsibility imposed by the Code.
1.1.3
1.1.3
"Administration"
"Administration"means
meansthe
theGovernment
Governmentofofthe
theState
Statewhose
whoseflag
flagthe
theship
shipisisentitled
entitledtotofly.
fly.
44
Objectives
1.2
1.2
1.2.1
1.2.1
OBJECTIVES
OBJECTIVES
The
Theobjectives
objectivesofofthe
theCode
Codeare
aretotoensure
ensuresafety
safetyatatsea,
sea,
prevention
preventionofofhuman
humaninjury
injuryor
orloss
lossofoflife,
life,and
and
avoidance
of
damage
to
the
environment,
avoidance of damage to the environment, inin particular,
particular, toto the
the marine
marine
environment,
environment,and
andtotoproperty.
property.
45
Objectives
1.2.2
1.2.2 Safety
Safetymanagement
managementobjectives
objectivesofofthe
theCompany
Companyshould,
should,inter
interalia:
alia:
.1.1 provide
providefor
forsafe
safepractices
practicesininship
shipoperation
operationand
andaasafe
safeworking
workingenvironment;
environment;
.2.2 assess
assess all
all identified
identified risks
risks toto its
its ships,
ships, personnel
personnel and
and the
the environment
environment and
and
establish
establishappropriate
appropriatesafeguards;
safeguards;and
and
.3.3 continuously
continuously improve
improve safety
safety management
management skills
skills ofof personnel
personnel ashore
ashore and
and
aboard
aboardships,
ships,including
includingpreparing
preparingfor
foremergencies
emergenciesrelated
relatedboth
bothtotosafety
safetyand
and
environmental
protection.
environmental protection.
46
Compliance
1.2.3
1.2.3
.1.1
.2.2
The
Thesafety
safetymanagement
managementsystem
systemshould
shouldensure:
ensure:
compliance
compliancewith
withmandatory
mandatoryrules
rulesand
andregulations;
regulations;and
and
that
that applicable
applicable codes,
codes, guidelines
guidelines and
and standards
standards recommended
recommended by
by the
the
Organization,
Administrations,
classification
societies
and
maritime
Organization, Administrations, classification societies and maritime
industry
industryorganizations
organizationsare
aretaken
takeninto
intoaccount.
account.
47
Legal compliance
••
••
••
••
••
••
••
Identification
Identification of
of applicable
applicable rules
rules and
and regulations
regulations
Access
Access to
to current
current versions
versions of
of rules
rules and
and regulations
regulations
Analysis
Analysis of
of application,
application, i.e.
i.e. departments,
departments, processes
processes
Preparation
Preparation of
of instructions
instructions
Monitoring
Monitoring of
of operations
operations
Records
Records as
as objective
objective evidence
evidence of
of compliance
compliance
Evaluation
Evaluation of
of legal
legal compliance
compliance
48
Administration of legal requirements
• List of all applicable rules and
regulations
• Update service
• Regular visit of IMO/ILO websites
• Distribution list
• Electronical access
• Internal amendment service
49
Application
1.3
1.3 APPLICATION
APPLICATION
The
Therequirements
requirementsof
ofthis
thisCode
Codemay
maybe
beapplied
appliedto
toall
allships.
ships.
Louis Vest
50
Functional requirements
1.4
1.4 FUNCTIONAL
FUNCTIONALREQUIREMENTS
REQUIREMENTSFOR
FORAASAFETY
SAFETYMANAGEMENT
MANAGEMENT
SYSTEM
SYSTEM(SMS)
(SMS)
Every
Every Company
Company should
should develop,
develop, implement
implement and
and maintain
maintain aa Safety
Safety
Management
Management System
System (SMS)
(SMS) which
which includes
includes the
the following
following functional
functional
requirements:
requirements:
...
...
51
Functional requirements
.1
.1 aasafety
safetyand
andenvironmental
environmentalprotection
protectionpolicy;
policy;
.2
.2 instructions
instructions and
and procedures
procedures to
to ensure
ensure safe
safe operation
operation of
of ships
ships and
and
protection
protection of
of the
the environment
environment inin compliance
compliance with
with relevant
relevant international
international
and
andflag
flagState
Statelegislation;
legislation;
.3
.3 defined
defined levels
levels of
of authority
authority and
and lines
lines of
of communication
communication between,
between, and
and
amongst,
amongst,shore
shoreand
andshipboard
shipboardpersonnel;
personnel;
.4
.4 procedures
procedures for
for reporting
reporting accidents
accidents and
and non-conformities
non-conformities with
with the
the
provisions
provisionsof
ofthis
thisCode;
Code;
.5
.5 procedures
proceduresto
toprepare
preparefor
forand
andrespond
respondto
toemergency
emergencysituations;
situations;and
and
.6
.6 procedures
proceduresfor
forinternal
internalaudits
auditsand
andmanagement
managementreviews.
reviews.
52
Chapter 2
Policy
• to be established
– Describing how the objectives should be
achieved
• to be implemented and maintained
– On all levels of the organization
– Ashore and on board
53
Policy
22
SAFETY
SAFETYAND
ANDENVIRONMENTAL
ENVIRONMENTALPROTECTION
PROTECTIONPOLICY
POLICY
2.1
2.1 The
The Company
Company should
should establish
establish aa safety
safety and
and environmental
environmental
protection
protection policy
policy which
which describes
describes how
how the
the objectives,
objectives, given
given inin
paragraph
paragraph1.2,
1.2,will
willbe
beachieved.
achieved.
2.2
2.2 The
The Company
Company should
should ensure
ensure that
that the
the policy
policy isis implemented
implemented and
and
maintained
maintained at
at all
all levels
levels of
of the
the organization,
organization, both
both ship-based
ship-based as
as well
well
as
asshore-based.
shore-based.
••
••
••
••
••
Commitment
Commitment of
of the
the top
top management
management
Importance
Importance of
of safety
safety and
and environmental
environmental protection
protection
Unique
Unique orientation
orientation to
to all
all employees
employees and
and crews
crews
Clear
Clear and
and easy
easy to
to understand
understand objectives
objectives
Practicable
Practicable guidance
guidance for
for daily
daily operations
operations
54
Chapter 3
Company responsibilities and authority
• The company
– Establishing and reporting of the
entity responsible for ship operation
• Definition of
– responsibilities
– authority
– interrelation
• Support for the Designated Person
– resources
– shorebased support
55
Clear Responsibility
33
COMPANY
COMPANYRESPONSIBILITIES
RESPONSIBILITIESAND
ANDAUTHORITY
AUTHORITY
3.1
3.1 IfIfthe
theentity
entitywho
whoisisresponsible
responsiblefor
forthe
theoperation
operationof
ofthe
theship
shipisisother
otherthan
thanthe
the
owner,
owner,the
theowner
ownermust
mustreport
reportthe
thefull
fullname
nameand
anddetails
detailsof
ofsuch
suchentity
entityto
tothe
the
Administration.
Administration.
asho
re
on b
oard
••
••
The
The registered
registered shipowner
shipowner is
is responsible
responsible
Reporting
Reporting to
to flag
flag State
State Authorities
Authorities the
the name
name of
of aa third
third party
party
ship
ship manager
manager
56
Organization
3.2
3.2 The
TheCompany
Companyshould
shoulddefine
defineand
anddocument
documentthe
theresponsibility,
responsibility,authority
authorityand
and
interrelation
interrelationofofall
allpersonnel
personnelwho
whomanage,
manage,perform
performand
andverify
verifywork
workrelating
relating
to
toand
andaffecting
affectingsafety
safetyand
andpollution
pollutionprevention.
prevention.
asho
re
on b
oard
••
••
••
••
••
Establishing
Establishing of
of the
the organizational
organizational structure:
structure:
Clear
Clear definition
definition of
of responsibilities
responsibilities
Delegation
Delegation of
of responsibilities
responsibilities
Definition
Definition of
of structures,
structures, interfaces
interfaces between
between functions
functions
Establishing
Establishing of
of authority
authority
57
Organization chart (vessel)
Master
Deck
Chief Mate
2nd Mate
3rd Mate
Bosun
Engine
Chief Eng.
2. Ing
Electrician
Catering
cook
steward
Motor man
ABs
58
Function description
Number:
JD 03
Function:
Cargo officer
Department:
Deck
Responsibilities:
•
•
•
•
•
Authority:
• Instructions to bosun and deck crew
• Instructions to other deck officers for watch
• Instructions to engine department for ballast
operationsn after consultation with chief mate only
Qualification:
• STCW license
• HazMat Certificate
• Knowledge of the trade area (incl. Spanish language)
Planning, supervision, control of cargo operations
Calculation and monitoring of stability, trim, strength
Ballast operations
Planning and supervision of dangerour goods
Administration of cargo documents
59
Resources and support
3.3
3.3 The
TheCompany
Companyisisresponsible
responsiblefor
forensuring
ensuringthat
thatadequate
adequateresources
resources
and
andshore-based
shore-basedsupport
supportare
areprovided
providedto
toenable
enablethe
thedesignated
designated
person
personor
orpersons
personstotocarry
carryout
outtheir
theirfunctions.
functions.
asho
re
on b
oard
•• Providing
Providing the
the necessary
necessary framework
framework for
for safety
safety
––
––
––
finances
finances
infrastructure
infrastructure
personell
personell resources
resources
60
Chapter 4
Designated Person Ashore (DPA)
• Organisation
– One or several persons
– Located ashore
– Direct access to top management
• Responsibilities
– Ensuring of safe ship operations
– Direct link between ships‘ crews and office
– Monitoring of ships‘ safety
• Authority
– Resources and shorebased support
61
Designated Person
44
DESIGNATED
DESIGNATEDPERSON(S)
PERSON(S)
To
To ensure
ensure the
the safe
safe operation
operation of
of each
each ship
ship and
and to
to provide
provide aa link
link between
between the
the
Company
Companyand
andthose
thoseon
onboard,
board,every
everyCompany,
Company,as
asappropriate,
appropriate,should
shoulddesignate
designate
aa person
person or
or persons
persons ashore
ashore having
having direct
direct access
access to
to the
the highest
highest level
level of
of
management.
management.
The
The responsibility
responsibility and
and authority
authority of
of the
the designated
designated person
person or
or persons
persons should
should
include
includemonitoring
monitoringthe
thesafety
safetyand
andpollution
pollutionprevention
preventionaspects
aspectsof
ofthe
theoperation
operationofof
each
eachship
ship and
and to
to ensure
ensure that
that adequate
adequate resources
resources and
and shore-based
shore-based support
support are
are
applied,
applied,as
asrequired.
required.
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62
Chapter 5
The Master
• Responsibilities
–
–
–
–
–
Implementation of the policy
Motivating of the crew
Issuing orders
Monitoring of compliance
Review of the management system
• Authority
– Clear definition of Master‘s autority
– Overriding authority
63
The Master
55 MASTER'S
MASTER'SRESPONSIBILITY
RESPONSIBILITYAND
ANDAUTHORITY
AUTHORITY
5.1
5.1The
The Company
Company should
should clearly
clearly define
define and
and document
document the
the masters
masters
responsibility
responsibilitywith
withregard
regardto:
to:
.1
.1 implementing
implementing the
the safety
safety and
and environmental
environmental protection
protection policy
policy ofof
the
theCompany;
Company;
.2
.2 motivating
motivatingthe
thecrew
crewininthe
theobservation
observationofofthat
thatpolicy;
policy;
.3
.3 issuing
issuingappropriate
appropriateorders
ordersand
andinstructions
instructionsininaaclear
clearand
andsimple
simple
manner;
manner;
.4
.4 verifying
verifyingthat
thatspecified
specifiedrequirements
requirementsare
areobserved
observedand
and
.5
.5 periodically
periodically reviewing
reviewing the
the SMS
SMS and
and reporting
reporting its
its deficiencies
deficiencies toto
the
theshore-based
shore-basedmanagement.
management.
64
Master‘s authority
5.2
5.2 The
TheCompany
Companyshould
shouldensure
ensurethat
thatthe
theSMS
SMSoperating
operatingon
onboard
boardthe
the
ship
shipcontains
containsaaclear
clearstatement
statementemphasizing
emphasizingthe
theMaster
Masterssauthority.
authority.
The
TheCompany
Companyshould
shouldestablish
establishininthe
theSMS
SMSthat
thatthe
theMaster
Masterhas
hasthe
the
overriding
overridingauthority
authorityand
andthe
theresponsibility
responsibilityto
tomake
makedecisions
decisionswith
with
respect
respectto
tosafety
safetyand
andpollution
pollutionprevention
preventionand
andto
torequest
requestthe
the
Company's
Company'sassistance
assistanceas
asmay
maybe
benecessary.
necessary.
•• Documented
Documented authority
authority of
of the
the Master
Master
•• Documented
Documented overriding
overriding Authority
Authority
•• Authority
Authority to
to request
request assistance
assistance as
as necessary
necessary
65
Obligation to act
Requirements
• legislation
• Company instructions
Decisions
• In normal operations
(prevention)
• in emergencies
operational
authority
overriding
authority
66
Chapter 6
Personnel
The Master
Crew and qualification
Familiarization of new crew
Knowledge of legal requirements
Training
System knowledge and languages
Communication
67
The Master
66
6.1
6.1
RESOURCES
RESOURCESAND
ANDPERSONNEL
PERSONNEL
The
TheCompany
Companyshould
shouldensure
ensurethat
thatthe
themaster
masteris:
is:
.1
.1
.2
.2
properly
properlyqualified
qualifiedfor
forcommand;
command;
fully
fullyconversant
conversantwith
withthe
theCompany's
Company'sSMS;
SMS;and
and
.3
.3 given
given the
the necessary
necessary support
support so
so that
that the
the Master's
Master's duties
duties can
can be
be safely
safely
performed.
performed.
68
Requirements for the Master
• Qualified for command
– licenses
– experience
– fitness
• Proper knowledge of the system
– System familiarization
– Visits in the company ashore
• Shorebased support
– Communication
– Reaction on request of assistance
– Avauilablity of resources (e.g. crew, finance)
69
6.2 crew qualification
6.2
6.2 The
TheCompany
Companyshould
shouldensure
ensurethat
thateach
eachship
shipisismanned
mannedwith
withqualified,
qualified,
certificated
certificatedand
andmedically
medicallyfitfitseafarers
seafarersininaccordance
accordancewith
withnational
nationaland
and
international
internationalrequirements.
requirements.
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70
Crew and qualification
• Ensure safe manning and qualification of the crew
–
–
–
–
••
••
••
••
Qualification
Licenses/records
Physical and mental fitness
According to STCW and flag State requirements
Organise
Organise crewing
crewing of
of all
all vessels
vessels
Identification
Identification and
and meeting
meeting STCW
STCW requirements
requirements
Minimum
Minimum safe
safe manning
manning
Verification
Verification of
of licenses
licenses and
and qualifications
qualifications
71
Workflow for qualification check
Ship
Shore
Crewing dept.
crew
list
Signing on
Verification
of validity
Feed-back
Verification of
Completeness
and validity
License,
certificate
License,
certificate
72
Familiarization
6.3
6.3 The
The Company
Company should
should establish
establish procedures
procedures to
to ensure
ensure that
that new
new personnel
personnel
and
and personnel
personnel transferred
transferred to
to new
new assignments
assignments related
related toto safety
safety and
and
protection
protection of
of the
the environment
environment are
are given
given proper
proper familiarization
familiarization with
with their
their
duties.
duties.Instructions
Instructionswhich
whichare
areessential
essentialto
tobe
beprovided
providedprior
priorto
tosailing
sailingshould
should
be
beidentified,
identified,documented
documentedand
andgiven.
given.
•• Develop
Develop familiarization
familiarization checklists
checklists for
for different
different
types
types of
of crew
crew
•• Include
Include local
local arrangements
arrangements on
on board,
board,
procedures,
procedures, particular
particular risks,
risks, safety
safety
equipment
equipment and
and escape
escape routes
routes
•• Conduct
Conduct training
training before
before sailing
sailing
•• Have
Have signed
signed recrds
recrds available
available
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73
Knowledge of legal requirements
6.4
6.4 The
TheCompany
Companyshould
shouldensure
ensurethat
thatall
allpersonnel
personnelinvolved
involvedininthe
theCompany’s
Company’s
SMS
SMShave
havean
anadequate
adequateunderstanding
understandingofofrelevant
relevantrules,
rules,regulations,
regulations,codes
codes
and
andguidelines.
guidelines.
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74
Knowledge of legal requirements
• The company shall ensure
– knowledge of law, regulations and guidelines
– Of all crew and staff envolved in the system
– as appropriate
••
••
••
••
••
Access
Access to
to current
current versions
versions of
of legislation
legislation
Current
Current up-dating
up-dating of
of information
information
Analizing
Analizing of
of changes
changes of
of requirements
requirements
Information
Information and
and training
training of
of staff
staff and
and crew
crew
Have
Have relevant
relevant legislation
legislation available
available on
on board
board
and
and in
in the
the office
office
75
How to provide legal knowledge
• Contents of documented procedures and instructions
• Signs, placards and posted warnings
• Company circulars, posted information
• Meetings
• Safety drills
• Videos and computer based training
• Discussions
• Incident analysis
• etc.
76
Rest hours regulations
• According to STCW and MLC 2006
• Applicable for all seafarers
Minimum rest hours
10 hrs. in any 24 h
10 hrs. rest divided into no more than two periods
One rest period minimum 6 hrs.
Interval between rest periods max. 14 hrs.
77 hrs. In any 7 day period
Table of shipboard working arrangements posted on board
Records of work or rest signed by Master and seafarer
77
6.5 Training
6.5
6.5 The
TheCompany
Companyshould
shouldestablish
establishand
andmaintain
maintainprocedures
proceduresfor
foridentifying
identifyingany
any
training
trainingwhich
whichmay
maybe
berequired
requiredininsupport
supportof
ofthe
theSMS
SMSand
andensure
ensurethat
thatsuch
such
training
trainingisisprovided
providedfor
forall
allpersonnel
personnelconcerned.
concerned.
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78
Training
Objectives of ISM:
Continual improvement of
skills of the crew
The human is in the focus!
Motivation - Awareness - Knowledge
79
Organization of training
Ide
ne ntifi
ed ca
tio
no
f
•Audits
•Monitoring
•Analysis of errors
•Changes
•Reporting
Co
nd
uc
tio
n
•Planning
•Preparation
•Conduction
•Test
•Feed-back
Do
cu
me
nta
tio
n
•Database
•Training report
•Certificates of attendance
•Personnel file
Appraisals
80
Language and communication
6.6
6.6 The
TheCompany
Companyshould
shouldestablish
establishprocedures
proceduresby
bywhich
whichthe
theship's
ship'spersonnel
personnel
receive
receiverelevant
relevantinformation
informationon
onthe
theSMS
SMSininaaworking
workinglanguage
languageor
orlanguages
languages
understood
understoodby
bythem.
them.
6.7
6.7 The
TheCompany
Companyshould
shouldensure
ensurethat
thatthe
theship’s
ship’spersonnel
personnelare
areable
ableto
to
communicate
communicateeffectively
effectivelyininthe
theexecution
executionof
oftheir
theirduties
dutiesrelated
relatedto
tothe
theSMS.
SMS.
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81
Information on the SMS
• Inform about the system and all relevant contents
–
–
–
–
Policy
Own job description
Relevant procedures and instructions
Emergency plans
• in languages understood by the crew and staff
••
••
••
••
••
Language
Language of
of the
the Safety
Safety Management
Management Manual
Manual
Language
Language of
of posted
posted information
information
Language
Language of
of makers
makers manuals
manuals
Language
Language of
of trainings
trainings and
and drills
drills
Language
Language of
of signs
signs and
and plates
plates on
on board
board
82
Vocational problems
How well can
seafarers
communicate with
each other?
83
Working language on board
• Ensure communication
– On board with each other
– Shipboard management with the company
– Shipboard management with externals
••
••
••
••
Errors
Errors often
often occur
occur by
by misunderstanding
misunderstanding
No
No communication
communication problems!
problems!
No
No language
language mix!
mix!
The
The shipboard
shipboard management
management should
should be
be able
able to
to
communicate
communicate with
with every
every seafarer
seafarer directly
directly
84
Language on passenger vessels
SOLAS, Chap. V Regel 13c
•
•
•
•
One working language shall be defined
Every crew member can understand this language
Establish this language in the ship‘s log book
Working language means:
– to understand intructions received
– to reply and give feed-back
– to instruct others as required
STCW 95, A-V/3 Reg. 3
• Service staff on board can
communicate in main languages
of passengers
85
Chapter 7
Shipboard operations
• Preparation of
– Plans
– Instructions
– Checklists
• for key shipboard operations
• considering qualified crew
86
ISM Chapter 7
77 DEVELOPMENT
DEVELOPMENTOF
OFPLANS
PLANSFOR
FORSHIPBOARD
SHIPBOARDOPERATIONS
OPERATIONS
The
TheCompany
Companyshould
shouldestablish
establishprocedures,
procedures,plans
plansand
andinstructions,
instructions,including
including
checklists
checklistsas
asappropriate,
appropriate,for
forkey
keyshipboard
shipboardoperations
operationsconcerning
concerningthe
thesafety
safety
of
of the
the personnel,
personnel, ship
ship and
and protection
protection of
of the
the environment.
environment. The
The various
various tasks
tasks
should
shouldbe
bedefined
definedand
andassigned
assignedto
toqualified
qualifiedpersonnel.
personnel.
••
••
••
••
Identification
Identification of
of processes
processes
Planning
Planning of
of processes
processes
Implementation,
Implementation, training
training
Internal
Internal auditing
auditing of
of processes
processes
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87
What are
key shipboard operations?
critical operations?
other operations?
88
Key shipboard operations
Routine operations
•
•
•
•
•
•
•
•
•
•
•
•
•
Watches (bridge and engine room)
Loading and discharging
Cargo securing
Calculating of draft, trim, stability and stress of hull
ISPS access control
Updating of seacharts and nautical publications
Maintenance
Preparing for sea
Gas freeing
Tank cleaning
Passage planning
Garbage handling
Bunkering
89
Contents of a procedure
•
•
•
•
Collect information
Planning
Preparation
Conducting
– Working steps
– Monitoring and measurement
– Process control
• Follow-up
• Recording
• Reporting
90
Critical operations
Critical operations
Navigating in confined waters or in high traffic density
Handling of dangerous goods
Navigating at reduced visibility
Navigating in heavy weather
Navigating in ice areas
Bunkering and oil transfer at sea
Cargo operations on gas,
chemical and oil tankers
Critical engine maneouvres
91
Work Permit Procedure
Checklists
Procedure
•
•
•
•
•
•
General regulations
Responsibilities
Briefing
Preparation for work
Checks and authorization
Operational steps including
– monitoring
– assistance
•
•
•
After work verification
Clearing up
Debriefing
Hot work
Entry into enclosed spaces
Working in confined spaces
Working overboard
Working aloft
Working on running engines
Working with high voltage
Reconstructing the ship
92
Chapter 8
Emergencies
• Establish emergency plans
• Establish training and drills
• Organize shorebased support
93
What emergencies
may happen?
At sea
Cargo related
Related to persons
94
Emergencies
General:
Fire
Explosion
Oil leakage
Leakage of dangerous cargoes
In port:
Hull damage due to excessive stress
while loading, discharging or ballasting
Breaking of mooring lines
At sea:
Damages due to heavy weather
Water ingress
Collision
Grounding, stranding
Cargo shifting
Loss of deck‘s cargo
Main engine failure
Stearing gear failure
Electricity failure, black out
Rescue of others
Cargo related:
Warming up of liquid gas
Freeing of poisonous or acid substances
Freeing of radio activity
Human related:
Failure of key personnel
Person over board
Severe injury
Recovery of persons from enclosed
spaces
Stow aways
Piracy
95
ISM Element 8
88
EMERGENCY
EMERGENCYPREPAREDNESS
PREPAREDNESS
8.1
8.1 The
The Company
Company should
should identify
identify potential
potential emergency
emergency shipboard
shipboard situations,
situations,
and
andestablish
establishprocedures
proceduresto
torespond
respondto
tothem.
them.
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96
Drills and exercises
8.2
8.2 The
TheCompany
Companyshould
shouldestablish
establishprogrammes
programmesfor
fordrills
drillsand
andexercises
exercisesto
to
prepare
preparefor
foremergency
emergencyactions.
actions.
asho
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••
••
••
••
••
Annual
Annual emergency
emergency drill
drill plan
plan
Train
Train for
for every
every emergency
emergency
Conduct
Conduct training
training according
according to
to emergency
emergency plan
plan
Include
Include shorebased
shorebased company
company
Document
Document the
the drills
drills and
and exercices
exercices
97
Emergency response center ashore
8.3
8.3 The
TheSMS
SMSshould
shouldprovide
providefor
formeasures
measuresensuring
ensuringthat
thatthe
theCompany’s
Company’s
organization
organizationcan
canrespond
respondat
atany
anytime
timeto
tohazards,
hazards,accidents
accidentsand
andemergency
emergency
situations
situationsinvolving
involvingits
itsships.
ships.
asho
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•• Establish
Establish an
an emergency
emergency team
team ashore
ashore
•• Organize
Organize standby
standby cervice
cervice and
and alarm
alarm procedures
procedures
•• Make
Make available
available documentation
documentation and
and data
data of
of vessels,
vessels, cargoes,
cargoes, crews
crews
and
and external
external experts
experts
•• Conduct
Conduct common
common training
training with
with ships
ships at
at least
least annually
annually
98
The purpose of emergency plans
Emergency plans…
• establish measures for emergencies
• assist to control the situation
• organize the communication
• ensure that nothig is forgotten
• prepare ship commands for emergencies
• are basis for a drill
• preserve the experience made
• inform crew and staff about changes
• are basis for further improvement
99
Contents of an emergency plan
•
•
•
•
•
•
•
•
•
•
Different emergency situations
Immediate actions
responsibilities
Measures to regain control
Interfaces
Communication
Request of external assistance
Taking records
Press and externals
Training
100
Chapter 9
Non-conformities and accidents
Non-conformities, accidents, incidents, near misses
•
•
•
•
Reporting to shore based company
Investigation
Analysis of causes
Corrective and preventive measures
101
Chapter 9
99
REPORTS
REPORTS AND
AND ANALYSIS
ANALYSIS OF
OF NON-CONFORMITIES,
NON-CONFORMITIES, ACCIDENTS
ACCIDENTS AND
AND
HAZARDOUS
HAZARDOUSOCCURRENCES
OCCURRENCES
9.1
9.1 The
The SMS
SMS should
should include
include procedures
procedures ensuring
ensuring that
that non-conformities,
non-conformities,
accidents
accidents and
and hazardous
hazardous situations
situations are
are reported
reported to
to the
the Company,
Company,
investigated
investigatedand
andanalysed
analysedwith
withthe
theobjective
objectiveof
ofimproving
improvingsafety
safetyand
andpollution
pollution
prevention.
prevention.
9.2
9.2 The
The Company
Company should
should establish
establish procedures
procedures for
for the
the implementation
implementation ofof
corrective
correctiveaction,
action,including
includingmeasures
measuresintended
intendedto
toprevent
preventrecurrence.
recurrence.
asho
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•• Establish
Establish aa procedure
procedure for
for the
the workflow
workflow and
and communication
communication
•• Provide
Provide tools
tools for
for implementation
implementation (e.g.
(e.g. forms,
forms, software)
software)
102
What incidents are possible?
What near misses are possible?
What non-conformities are
possible?
103
Examples for accidents and incidents
What incidents are possible?
•
•
•
•
•
•
•
•
•
•
•
•
•
Technical failures (propulsion, steering, electricity etc.)
Loss of anchor, rudder, propeller
Occupational accidents
All kind of emergencies
Loss of cargo
Oil or cargo spill
Breaking of mooring line
Drifting from anchorage
Reasons for calling a port of distress
Running out of fuel
Navigational error
Insufficient gas feeing of tanks
etc.
104
Examples for near misses
What near misses are possible?
•
•
•
•
•
Near-collision (last-minute manoeuvre)
Engine emergency operations (emergency stop)
Use of emergency anchor
Occupational near-accident (fall without injury)
Near-grounding
(squat, echosounder alarm)
• Failure of safety equipment
• Expired safety equipment tests
• etc.
105
Examples for non-conformities
What non-conformities are possible?
• Violation of rest hour regulations
• Violation of MARPOL regulations
(e.g. garbage disposal at sea)
• Expired certificates of the vessel
• Missing qualification records of crew
• Expired maintenance interval
• Not performed safety drill
• Deficient vocational abilities, communication problems
• etc.
106
Incident investigation
• Systematic approach
• Planning of the investigation
• Collection of evidences (hard and soft facts), e.g.
– data (VDR, Radar, AIS, VHF...)
– photographs and videos
– surveys
– Reports of people involved and witnesses
• Establishing of events on a time line
• Analysis of conditions of the events
• Identification of main contributing factors
• Assessment of the effectivity of existing barriers
• Conclusion
• Recommendation
Root
Cause
Analysis
107
Time Line
108
Chapter 10
Maintenance
• Planned maintenance
– Identification of equipment to be maintained
– Identification of legal and makers‘ requirements
– Inspection in adequate intervals
– Reporting of non-conformities
– Corrective measures
– Records
• Critical equipment
– Indetification of critical equipment
– Inspection and maintenance by qualified crew and externals
– Adherence of deadlines and intervals
– Use of OEM spare parts or parts receommended by manufacturer
– Regular testing of stand-by equipment
109
ISM Element 10
10
10 MAINTENANCE
MAINTENANCEOF
OFTHE
THESHIP
SHIPAND
ANDEQUIPMENT
EQUIPMENT
10.1
10.1 The
The Company
Company should
should establish
establish procedures
procedures to
to ensure
ensure that
that the
the ship
ship isis
maintained
maintained inin conformity
conformity with
with the
the provisions
provisions of
of the
the relevant
relevant rules
rules and
and
regulations
regulations and
and with
with any
any additional
additional requirements
requirements which
which may
may be
be established
established
by
bythe
theCompany.
Company.
10.2
10.2 In
Inmeeting
meetingthese
theserequirements
requirementsthe
theCompany
Companyshould
shouldensure
ensurethat:
that:
.1
.1 inspections
inspectionsare
areheld
heldatatappropriate
appropriateintervals;
intervals;
.2
.2 any
anynon-conformity
non-conformityisisreported
reportedwith
withits
itspossible
possiblecause,
cause,ififknown;
known;
.3
.3 appropriate
appropriatecorrective
correctiveaction
actionisistaken;
taken;and
and
.4
.4 records
recordsofofthese
theseactivities
activitiesare
aremaintained.
maintained.
••
••
••
••
asho
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oard
Identify
Identify euqipment
euqipment to
to be
be maintained
maintained
Identify
Identify measures
measures and
and intervals
intervals of
of supervision
supervision and
and measures
measures
Establish
Establish procedure
procedure for
for planned
planned maintenance
maintenance
Provide
Provide tools
tools (e.g.
(e.g. forms,
forms, software)
software)
110
Critical equipment
10.3
10.3 The
TheCompany
Companyshould
shouldidentify
identifyequipment
equipmentand
andtechnical
technicalsystems,
systems,the
thesudden
sudden
operational
operational failure
failure of
of which
which may
may result
result inin hazardous
hazardous situations.
situations. The
The SMS
SMS
should
should provide
provide for
for specific
specific measures
measures aimed
aimed at
at promoting
promoting the
the reliability
reliability ofof
such
such equipment
equipment or
or systems.
systems. These
These measures
measures should
should include
include the
the regular
regular
testing
testing of
of stand-by
stand-by arrangements
arrangements and
and equipment
equipment or
or technical
technical systems
systems that
that
are
arenot
notinincontinuous
continuoususe.
use.
10.4
10.4 The
Theinspection
inspectionmentioned
mentionedinin10.2
10.2as
aswell
wellas
asthe
themeasures
measuresreferred
referredto
toinin10.3
10.3
should
shouldbe
beintegrated
integratedininthe
theship's
ship'soperational
operationalmaintenance
maintenanceroutine.
routine.
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111
Examples for critical equipment
Where sudden failure may lead to emergency
• Propulsion system
• Steering system
• Power generation and electrical system
• Navigational equipment
• Mooring equipment
Stand-by equipment
• All redundant systems
• Safety equipment
• Alarm devices and equipment
112
Monitoring of intervals
•
•
•
•
•
•
Use of suitable software
Establish responsibilities
Continuous monitoring of running hours of machinery
Pre-planning of work
Conduction of work
Having spare parts
on stock
113
Conduction of maintenance work
•
•
•
•
•
•
•
•
•
•
Work according to makers’ manuals
Use of appropriate spare parts
Use of suitable tools
Supervision by licensed engineer or officer
Assessment of the condition
Reporting of non-conformities
(
Element 9)
Removing of their causes
Recording work done
Adaption of intervals as required
Crew training
114
Records
Controlled documents...
• Data sheet
•
•
•
•
Checklists
Log books
Work records
Reports
115
Use of computers for maintenance
Application:
• Planning of maintenance
• Monitoring of intervals
• Documenting of measures
• Reporting of non-conformities
• Stock-keeping of spare parts
Advantages:
• Structurized requirements
• Automatical monitoring of deadlines
• Quick access to data
• Automated analysis of measures (KPIs)
116
Reliability promotion of critical equipment
• Identified and marked in maintenance
plan
• Shorter inspection intervals
• Measures conducted by skilled crew
• Monitoring by licensed engineers or
officers
• Work according to makers‘ manuals
• Use of OEM spare parts or parts
recommended by the manufacturer
• Alternating use of redundant equipment
117
Chapter 11
Document control
• Control of documents and data
– Validity of documents
– Availability at relevant workplaces
– Verification and authorization of amendments
( management of change)
– Disposal of obsolte documents
• Safety Management Manual
– in most effective form
– All necessary documents on board
118
Chapter 11
11
11
11.1
11.1
DOCUMENTATION
DOCUMENTATION
The
The Company
Company should
should establish
establish and
and maintain
maintain procedures
procedures to
to control
control all
all
documents
documentsand
anddata
datawhich
whichare
arerelevant
relevanttotothe
theSMS.
SMS.
asho
re
on b
oard
119
Distribution and up-dating of documents
11.2
11.2 The
TheCompany
Companyshould
shouldensure
ensurethat:
that:
.1
.1 valid
validdocuments
documentsare
areavailable
availableat
atall
allrelevant
relevantlocations;
locations;
.2
.2 changes
changes to
to documents
documents are
are reviewed
reviewed and
and approved
approved by
by authorized
authorized
personnel;
personnel;and
and
.3
.3 obsolete
obsoletedocuments
documentsare
arepromptly
promptlyremoved.
removed.
asho
re
on b
oard
120
Safety Management Manual
11.3
11.3 The
Thedocuments
documentsused
usedto
todescribe
describeand
andimplement
implementthe
theSMS
SMSmay
maybe
bereferred
referred
to
toas
asthe
theSafety
SafetyManagement
ManagementManual".
Manual".Documentation
Documentationshould
shouldbe
bekept
keptininaa
form
formthat
thatthe
theCompany
Companyconsiders
considersmost
mosteffective.
effective.Each
Eachship
shipshould
shouldcarry
carryon
on
board
boardall
alldocumentation
documentationrelevant
relevantto
tothat
thatship.
ship.
asho
re
on b
oard
121
Documents
System related documents
• Safety Management Manual
• Procedures and instructions
• Job descriptions
• Checklists, forms
•
•
•
•
•
•
External documents
Ship’s certificats
Manuals, drawings
Software and data
Sea charts, nautical publications
Legislation (e.g. SOLAS, MARPOL, STCW, MLC…)
122
Structure of the documentation
• Safety Management Manual
Cross references
• Procedures
• Emergency Plans
• Work instructions, SOPs
• Master‘s standing orders
• Organizational charts, job
descriptions
• Forms, checklists, data
123
Document control
• Establish distribution list
• Establish responsibility for up-dating
(“process owner”)
• Establish procedure for document amendment
• Record changes
• Inform crew and staff affected
• Mark changed parts of documents
• Remove obsolete documents
• Archive documents
124
How to control a document?
•
•
•
•
•
•
•
•
•
•
Unique title
Document number
Revision number
Date
Signature
Authorization
Page number and number of total pages
Responsible person
Distribution
Validity (if required)
125
Layout for documents
Header
LOGO
Procedure
Navigation at reduced visibility
Date:
16.05.13
Revision: 2
Issued: Peter Miller
Document DP-07-13
page
2 of 4
Authorized:
Footer
126
Control of data
For exampe data…
• in computers
• in networks
• in controllers of machinery
• in GPS equipment
• in GMDSS equipment
• in ECDIS equipment
• in VDR
• in loading and stability computers
• in alarm systems
• in E-Mail systems
• in Planned maintenance system
• in Rest hours software
127
How to control data?
•
•
•
•
•
•
•
Identify data and software
Establish user rights
Establish rights to change data
Define release to be used
Organize data back-up
Have current virus protection
Secure access to computers
and servers (firewall)
• Maintain the network
128
Amendment workflow
Shore
Ship
Identify need for
change,
inform
Designated Person
Identify need for
change, inform ship‘s
command
verification,
Check responsibility
ashore
Co-ordination by
Designated Person
Verification,
Amend document.
Authorize release.
Ship internal
document
Amend document
Authorize release,
Control document,
Distribute document.
Exchange document
Inform crew affected.
Control document.
Distribute document
to all parties concerned.
If amemndment done
By shore company:
Confirm exchange.
Monitor and
register confirmation
129
Change Management
•
•
•
•
•
•
•
•
•
•
Uncontrolled changes may result in accidents
Changes should be managed
Risk assessment
Planning of measures
Provision of resources
Training of personnel involved
Amendment of documentation
Authorization of change
Supervision of change activities
Assessment and review
130
For which changes
a management of change
should be applied?
131
Identification of implications of change
•
•
implications to the existing system
interrelation to other changes
does change
affect
likelihood?
Change
does change
affect
consequences
?
does change
affect existing
barriers?
132
What changes do exist?
Structure
• company merger
• company reorganization
Personnel
• crew change or change of staff ashore
• change of crew manager or origin of crew
Organization
• change of responsibilities and/or authority
• change or modification of processes
Technology
• new vessel or type of vessels in the fleet
• change of technical systems, appliances, tools
• exchange of spare parts
Operations
• change of vessel’s trade or charterer
• change of operational settings
133
Chapter 12
System review
• System evaluation by internal audits
– Independent auditor
– Information on audit result
– Timely corrective actions
• Regular review of the system
134
Internal Audits
12
12
COMPANY
COMPANYVERIFICATION,
VERIFICATION,REVIEW
REVIEWAND
ANDEVALUATION
EVALUATION
12.1
12.1 The
The Company
Company should
should carry
carry out
out internal
internal safety
safety audits
audits on
on board
board and
and
ashore
ashore at
atintervals
intervalsnot
notexceeding
exceeding twelve
twelvemonths
months to
toverify
verifywhether
whethersafety
safety
and
and pollution-prevention
pollution-prevention activities
activities comply
comply with
with the
the safety
safety management
management
system.
system. In
In exceptional
exceptional circumstances,
circumstances, this
this interval
interval may
may be
be exceeded
exceeded by
by
not
notmore
morethan
thanthree
threemonths.
months.
asho
re
on b
oard
• Internal audits
• Verification of compliance
• Frequency < 12 months
135
Audit procedure
12.3
12.3 The
Theaudits
auditsand
andpossible
possiblecorrective
correctiveactions
actionsshould
shouldbe
becarried
carriedout
outinin
accordance
accordancewith
withdocumented
documentedprocedures.
procedures.
asho
re
on b
oard
136
Internal auditors
12.4
12.4 Personnel
Personnelcarrying
carryingout
outaudits
auditsshould
shouldbe
beindependent
independentofofthe
theareas
areasbeing
being
audited
auditedunless
unlessthis
thisisisimpracticable
impracticabledue
duetotothe
thesize
sizeand
andthe
thenature
natureofofthe
the
Company.
Company.
asho
re
on b
oard
••
••
••
••
••
The
The auditor
auditor must
must not
not be
be from
from department
department being
being audited
audited
AA superintendent
superintendent should
should not
not audit
audit „his“
„his“ vessel
vessel
AA Master
Master should
should not
not audit
audit his
his vessel,
vessel, in
in general.
general.
AA Master
Master may
may audit
audit before
before taking
taking over
over command.
command.
Exemptions
Exemptions apply
apply for
for small
small companies
companies only.
only.
137
Information on audit results
12.5
12.5 The
Theresults
resultsof
ofthe
theaudits
auditsand
andreviews
reviewsshould
shouldbe
bebrought
broughtto
tothe
theattention
attentionof
of
all
allpersonnel
personnelhaving
havingresponsibility
responsibilityininthe
thearea
areainvolved.
involved.
asho
re
on b
oard
•• Closing
Closing meeting
meeting with
with Master/department
Master/department head
head
•• Signature
Signature of
of the
the master/department
master/department head
head on
on the
the audit
audit report
report
•• Copy
Copy of
of audit
audit report
report on
on board
board
138
Corrective actions
12.6
12.6 The
Themanagement
managementpersonnel
personnelresponsible
responsiblefor
forthe
thearea
areainvolved
involvedshould
shouldtake
take
timely
timelycorrective
correctiveaction
actionon
ondeficiencies
deficienciesfound.
found.
asho
re
on b
oard
•• Master/department
Master/department head
head is
is responsible
responsible
•• Timely
Timely corrective
corrective action,
action, i.e.
i.e. without
without undue
undue delay
delay
Timely
Timely == before
before an
an accident
accident is
is likely
likely to
to happen
happen again
again
139
Objectives of internal audits
• Assessment of the effectiveness
of the system
• Evaluation of compliance with
legal requirements and company
procedures
• Identification of sources of errors
and risks
• Identification of need for actions
• Indetification of chances for
improvement
• Listening to crew and staff
140
System review
Ship
55 MASTER'S
MASTER'SRESPONSIBILITY
RESPONSIBILITYAND
ANDAUTHORITY
AUTHORITY
5.1
5.1The
The Company
Companyshould
shouldclearly
clearlydefine
defineand
anddocument
document the
the masters
masters
responsibility
responsibilitywith
withregard
regardto:
to: …
…
.5
.5 periodically
periodically reviewing
reviewing the
the SMS
SMS and
and reporting
reporting its
its
deficiencies
deficienciestotothe
theshore-based
shore-basedmanagement.
management.
Shore
••
••
••
••
12.2
12.2 The
TheCompany
Companyshould
shouldperiodically
periodicallyevaluate
evaluatethe
theeffectiveness
effectiveness
of
ofthe
theSMS
SMSininaccordance
accordancewith
withprocedures
proceduresestablished
establishedby
bythe
the
Company.
Company.
Conduct
Conduct reviews
reviews at
at regular
regular intervals
intervals (min.
(min. anually)
anually)
Co-ordinate
Co-ordinate reviews
reviews by
by Masters
Masters and
and by
by Designated
Designated Person
Person
Evaluate
Evaluate effectiveness
effectiveness of
of the
the system
system
Identify
Identify need
need for
for improvement
improvement
141
Navigator
Synergies with
other management
disciplines
Louis Vest
142
Maritime management systems
Standard
Subject
Objectives
ISM Code
Safety,
Environmental
protection
Quality
Accident prevention
ISO 9001
Customer‘s
satisfaction
Reduction of impact
to environment
ISO 14001
Environmental
protection
OHSAS 18001
Occupational safety Accident prevention
and health
ISO 50001
Energy
Improvement of
energy efficiency
Standards for performance monitoring
• TMSA
Tanker Management Self Assessment
• SIRE
Ship Inspection Report Programme
143
Environmental management (ISO 14001)
Environmental
impact
Legal
compliance
Legal requirement (limit)
con
Continual
improvement
tinu
al r
e
duc
t
ion
time
144
Elements of ISO 14001
Env. aspects
controllable
Environmental
Legal and other
Policy
requirements
significant
Objectives +
targets
Env. Program
Implementation
and operation
Monitoring and
measurement
Management
review
145
Current environmental topics
•
•
•
•
•
•
•
•
•
•
Ballast water
Fouling maintenance (USCG)
Energy efficiency
Sulfur content in fuel
NOx emissions
Antifouling paint
Garbage management
Sewage water treatment
Asbestos
Ship recycling
146
Quality management (ISO 9001)
Customer‘s
Customer‘sRequirements
Requirements
Quality
QualityPolicy
Policy
Quality
QualityObjectives
Objectives++Targets
Targets
Quality
QualityPlanning
Planning
Measurement
equipment
Service
ServiceProcesses
Processes
Product
Product
Customer‘s
satisfaction
Supplier
evaluation
Purchasing
Data analysis
Customer
CustomerSatisfaction
Satisfaction
147
Structure of an OH&S System according to OHSAS 18001
Act
Risk
Assessment
Management
Identification of
Legal
Requirements
Review
Plan
Objectives and
Programmes
Incident
Investigation
Check
Performance
Evaluation of
Implementation
Measurement
Compliance
and Operation
Do
148
TMSA
Publisher:
OCIMF
Oil Companies International
Marine Forum
Standard:
TMSA
Tanker Management and
Self Assessment
1st edition: 2004
2nd edition: 2008
Objectives: Evidence of a level of quality, safety
and environmental protection
149
TMSA
1 Management, Leadership and Accountability
2 Recruitment and Management of Shore-Based Personnel
Stage 4
4 Reliability and Maintenance Standards
5 Navigational Safety
Stage 3
6 Cargo, Ballast and Mooring Operations
7 Management of Change
8 Incident Investigation and Analysis
Stage 2
9 Safety Management (Shipboard / Shore-Based)
Excellence
3 Recruitment and Management of Ship Personnel
10 Environmental Management
11 Emergency Preparedness and Contingency Planning
Stage 1
12 Measurement, Analysis and Improvement
150
TMSA procedure
Shipping company conducts self assessment
Shipping company provides report in database to customers
Customers verify results by office and on board audits
Customers accept TMSA stage or require improvement
151
Navigator
Certification and
Enforcement
Louis Vest
152
Certificates according to SOLAS IX
Shore based
organization
Document of
Compliance
Every ship
Safety Management
Certificate
validity:
5 years
validity:
5 years
supervision:
annual
supervision:
every 2½ years
153
Certification Deadlines
each
1. July
1998
1999
• Passenger Ships and High Speed
Passenger Crafts of every size
• Oil and Chemical Tankers
• Gas Carrier
• Bulk Carrier
• High Speed Cargo Vessels
500 GRT
and more
2000
2001
2002
• All other Freight Vessels
• Mobile Drilling Units
500 GRT
and more
154
Interim Certificates
Interim DoC
• New company
• New ship‘s type in the company
Shore based
organization
validity:
12 months
Interim SMC
•
•
•
•
for an individual vessel
Newbuilding
Change of owner
Change of ship manager
Change of flag
validity:
6 months
155
Certification process
Company
Flag State,
Certification body
• Establish and implement SMS
• Decide for certification body
• Apply for certification and submit
documentation
• Documentation review
• Amend documents if required
• Conduct internal audits
• Conduct management review
• Corrective action if required
min.
3
months
• Audit of shorebased
company
• Issue DoC
DoC
• Send copy of DoC on board
• Corrective action if required
• Audit of the vessel
• Issue SMC
SMC
156
Combined ISM-ISO Audits
• Combination of ISO 9001:2008 and/or ISO 14001:2004
with ISM
• Combined audit procedure
• Less audits
• Reduced costs
Fleet up to 12 ships
Fleet with 13 ships and more
All ships of the fleet to be audited
as per ISM scheme,
i.e. every 2.5 years
Sample of the fleet to be audited annually:
Initial audit
√n
Follow-up audit
√n x 0,6
Renewal audit
√n x 0,8
Complete number of audits within three years
157
Monitoring of safety
Flag
Flag State
State
Owner,
Owner,
ship
ship
manager
manager
Customers
Customers
(vetting,
(vetting,
TMSA)
TMSA)
Port
Port State
State
158
Port State Control
Objectives:
• Improvement of safety and environmental protection
• Sub standard ships shall not have any chance
Way:
• Systematic supervision of all ships in the ports
• Supervision of the compliance with all rules and
regulations
• Verification of corrective actions
• Arresting or banning of unsafe vessels
159
ISM - a story of success?
How effective is
the ISM Code?
160
Summary
•
•
•
•
•
•
•
•
Maritime safety is aimed on prevention of accidents
ISM is a risk based management system
It assists companies complying with requirements
Proper planning avoids incidents
Documentation guides crew and staffs
Records demonstrate compliance
Qualification and awareness are important elements
The company learns from errors, incidents, accidents and
improves prevention
161
Navigator
The End
Thank you for attention
Photographs by
Louis Vest, Senor Adventure, Jörg Schwinning
162