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MARITIME ACADEMY
Designated Person Ashore (DPA) © DNV GL
SAFER, SMARTER, GREENER
The Participants
Name Company Position / Duty Experience with the Topic Expectations about this Course
Please introduce yourself Designated Person Ashore (DPA)
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Organisation and Safety Matters Course documentation Electronic Handout Activities Documentation
Designated Person Ashore
Practical information
Smoking policy
Mobile phones
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Restrooms
Emergency exits
Time keeping
Course Assessment
Course Certificate
Learning Objectives After this course you should have acquired
Capabilities about appropriate management techniques
Ability to implement and maintain a Safety Management System
DPA
Skills in developing and communicating Safety Culture
Understanding of the ISM Code and legal framework
This course fulfils the IMO MSC-MEPC.7/Circ.6 GUIDANCE ON THE QUALIFICATIONS, TRAINING AND EXPERIENCE NECESSARY FOR UNDERTAKING THE ROLE OF THE DESIGNATED PERSON UNDER THE PROVISIONS OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE Designated Person Ashore (DPA)
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Timetable Day 1 Time
Topic
09:00-09:15
Introduction
09:15-11:00
Module 1: Requirements for the DPA in the 21st century
11:00-11:15
Coffee Break
11:15-11:45
Module 2: Maritime Management Systems
11:45-13:00
Module 3: Principles of modern Management systems
13:00-14:00
Lunch
14:00-15:15
Module 4: The ISM Code from DPA’s point of view
15:15-15:30
Coffee Break
15:30-16:00
Module 4: The ISM Code from DPA’s point of view
15:00-16:45
Module 5: Mandatory regulations, codes, guidelines & standards
16:45-17:00
Closing
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Timetable Day 2 Time
Topic
09:00-09:15
Opening – Recap day 1
09:15-11:00
Module 6: Assessment techniques
11:00-11:15
Coffee Break
11:15-11:45
Module 6: Assessment techniques
11:45-13:00
Module 7: Technical and operational aspects of safety management
13:00-14:00
Lunch
14:00-14:45
Module 8: Understanding operations of a shipping company
14:45-15:15
Module 9: Understanding auditing
15:15-15:30
Coffee Break
15:30-16:00
Module 10: Importance of good communication
16:00-16:30
Examination
16:30-17:00
Closing
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Module 1 – The role of DPA in the 21st century
After this module, you will know & understand… … the role of the DPA … the DPA‘s responsibilities, authority and accountability … the qualification, training and experience requirements … the challenges for the DPA in the 21st century
Learning Objectives Designated Person Ashore (DPA)
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Why Designated Person (DPA) ? 1. Maritime legislation: ISM-Code Element 4
To ensure the safe operation of each ship and to provide a link between the company and those on board, every company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and to ensure that adequate resources and shore-based support are applied, as required.
2. Growing importance of developing and maintaining efficient management systems
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History of the DPA
• Idea introduced by the UK delegation to IMO • Lessons learnt from the “Herald of Free Enterprise” accident (1987) Lack of accountability at various levels of shore management Shore management did not assume responsibility to deal with problems reported by the Master No corrective/preventive actions had been initiated
• Laid down in the UK Merchant Shipping Regulations (1988) • Included in the ISM Code (Chapter 4) as a major requirement
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Designated Person (MSC-MEPC.7/Circ.8)
• Key role in the effective implementation of the SMS • Verification and monitoring of all safety and pollution prevention activities – Communication and implementation of the policy – Evaluation and review of the effectiveness of the SMS – Reporting and analysis non-conformities, observations, accidents – Organizing, monitoring internal audits – Revisions to the SMS – Ensuring that adequate shore base support are provided by the company
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Designated Person (MSC-MEPC.7/Circ.8)
• Company to provide adequate resources and support – Personnel resources – Material resources – Training – Defined and documented responsibility and authority
–
Authority reporting non-conformities and observations to the highest level of management
DPA should have qualifications, training and experience as set out in MSC-MEPC.7/Circ. 6 to effectively verify and monitor the implementation of the SMS Refer to course documentation
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Qualification requirements as per ISM Code
ISM-Code 6.4: The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines ISM-Code 6.5: The Company should identify any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned
The requirements for the DPA are specified by MSC-MEPC/Circ. 6
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MSC-MEPC.7/Circ. 6 – Qualification requirements Minimum of formal education:
• Within a relevant field of management, engineering or physical science (recognized by the Administration or RO), or,
• Seagoing experience as a certified ship officer, or, • Other education combined with not less than three years practical senior level experience in ship management operations
Refer to course documentation
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Photo: P. Werner
MSC-MEPC.7/Circ. 6 – Training requirements Required training related to SMS: Knowledge and understanding of the ISM Code
• Mandatory rules and regulations • Applicable codes, guidelines and standards • Assessment techniques (examining, questioning, evaluating and
Our course Module 4 Module 5 Module 5 Module 6
reporting)
• Technical or operational aspects of safety management • Knowledge of shipping and shipboard operations • Participation in at least one marine-related management system
Module 7 Module 8 Module 9
audit
• Effective communications with shipboard staff and senior management
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Module 10
MSC-MEPC.7/Circ. 6 – Experience requirements Experience in:
• presenting ISM matters to management and gaining sustained support for SMS improvements
• assessing effectiveness of the SMS using principles of internal audit and management review
–
compliance with the requirements of the ISM Code
–
compliance with rules and regulations
• assessing whether the safe practices recommended by maritime industry influencers to promote a safety culture have been taken into account
• gathering and analyzing data and applying lessons learnt Refer to course documentation Designated Person Ashore (DPA)
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MSC-MEPC.7/Circ. 6 – Company requirements The Company should provide training courses covering:
• qualification • training • experience • appropriate procedures connected to compliance with the ISM Code including practical training and continuous updating
Documentary evidence to be provided by the company
Refer to course documentation Designated Person Ashore (DPA)
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FYI: Special Flag State requirements may apply Liberia
• Nominate the Designated Person(s) to the Office of the Deputy Commissioner of Maritime Affairs
• Designated Person must be able to be contacted by the above office at any time
• Independence and authority to report deficiencies Cyprus
• Back-up nominated and available • Familiarity with policy and all safety and environmental protection aspects of Company vessels
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DPA – the link to the Top Management Management Direct access to Company‘s management
Designated Person Several DPA possible to be defined in the SMM !
Monitoring safety and pollution prevention aspects Requesting resources and shorebased support Contact point for all safety and pollution prevention matters
All ship‘s crew must have direct access to the DPA
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DPA – the link to the Top Management
• Position of the DPA to be formally established • Participation in management meetings • Participation in management reviews • Reporting about the safety and environmental
prevention aspects of the operation – deficiencies – risks, restrictions, observations – incidents, accidents, hazardous occurrences, non-conformities
• From the legal point of view top management is always informed and therefore potentially liable – If the CEO hears nothing from his DPA, he is obliged to ask – If the reports state that the operation is smooth, the CEO should ask how that could be
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Position of the DPA Duties and responsibilities of Designated Person ashore:
Designated Person According to ISM-Code
Monitoring & Supervision
Additional task assignment
Possible conflict of interest
Development & Maintenance Usually: Tasks of Marine Superintendent
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Module 1 Activity Describe the duties & responsibilities of the DPA Group A) according to the ISM- Code Monitoring & supervision the SMS Group B) possible practical assignments Development & maintenance of the SMS
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Accountability of the DPA DPA may be personally accountable for his actions
Uncertainties:
• Jurisdiction in the countries regarding pollution claims • Exposure to claims by third parties • Defence of the DPA at the discretion of management • Actions of lawyers, insurers, charterers (oil majors), administrations • Real cases are not available But be always aware: If there are incidents: the DPA is always in the firing line Photo: P. Werner – stranding at Priwall beach Designated Person Ashore (DPA)
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Accountability of the DPA
info
DPA may be personally accountable for his actions UK Law:
• UK Law requires: − compliance with SMS − ensure that proper provision is made for each ship to be manned, equipped and maintained that it is fit to operate in accordance with the SMS and statutory requirements
• DPA could be liable for a fine or imprisonment of up to two years for failing to perform his functions (UK flag ships, ships calling UK ports) − defence is possible (reasonable precautions, due diligence) − so far no case in the UK
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Accountability of the DPA
info
A few examples have arisen in other parts of the world: Case „Frejy Jutlandic“ DPA of a Danish company instructed the ship by telex not to report a leak and the temporary repair to the USCG (a fine was evoked) Possibly the most widely reported was the incident involving the „Frejy Jutlandic“. It appears that criminal prosecutions were commenced by the US federal prosecutors against the owners, operators, master and DP of the vessel. The main allegation against the DP seemed to be that he had instructed the master to conceal from the US Coast Guard some temporary and potentially hazardous hull repairs which had been carried out. It was further alleged that the DP had conspired with the master to falsify log books and to avoid expenses to maintain a safe and seaworthy vessel. The US prosecutor alleged that there had been oily water discharges from the vessel which occurred during a number of calls in the United States. The penalty facing the DP, if convicted, was up to five years imprisonment and a criminal fine up to US$250,000 under each charge. The prosecution appears to have been frustrated for a number of reasons, partly because the owners and operators declared themselves bankrupt in Denmark. However, the principle had been well and truly established in the US that the DP is clearly identifiable and does have specific responsibilities for safety and pollution prevention. The DP is, therefore, exposed to being personally cited in both civil and criminal proceedings. Designated Person Ashore (DPA)
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Accountability of the DPA
P&I insurance may not cover liabilities of the DPA
• DPA may be personally accountable for his actions irrespective of the responsibilities of his employer
• there is a conflict of interest (dispute) between DPA and the Company • the Company might not stand in for the DPA • the Company declares bankruptcy Designated Person Ashore (DPA)
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info
Potential „critical points“ for the DPA: Samples:
No support from the Top Management adequate resources can not ensured
Effective access to Top Management not given in practise
DPA is a Senior Manager
Possible conflict of interest from supervising and maintaining the SMS at the same time
DPA is just „formally“ appointed to comply with the ISM-Code DPA is overloaded with other functions
Communication and information flow between ship & shore „disturbed“ No authority of Designated Person (not taken seriously)
Lack of competencies, training and skills
...and more ! Designated Person Ashore (DPA)
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Desirable personal qualities and skills of a DPA:
• Act as an advisor and supporter, not a policeman • Ability to assess, judge and motivate • Independent • Reliable, precise and thorough • Prepared to take challenges • Remain calm in a crisis • Sensitive to different cultures • Recognize the crew’s limitations • Create a sense of community • Communicate clearly and listen well •… Designated Person Ashore (DPA)
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BRAINSTORMING: Challenges for a DPA today and in future
Increasing complexity New technologies in shipping Digitalization Legislation behind technological developments Gaps between training and performance demands Generation “Z“ Rapid changes in business environments Increasing pressure towards cost reduction ...and much more https://www.dnvgl.com/news/business-leaders-world-wide-agree-and-commit-to-disruptive-technologies-driving-sustainability-84470 Designated Person Ashore (DPA)
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To meet the challenges of the 21st century
• Deep understanding of management systems • Capabilities to manage complex structures and situations • Modern leadership & communication skills • Ability to take an independent and long-term view • Forward thinking & innovative • …and more
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Module 1 – What have we learned?
The role of the DPA
The DPA‘s responsibilities, authority and accountability
The qualification, training and experience requirements
The challenges for the DPA in the 21st century
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COFFEE BREAK Designated Person Ashore (DPA)
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Maritime Management Systems
After this module, you will be familiar with… … applicable management systems in shipping industry … interrelations between the standards … general functioning of company‘s organzation … potential of management system‘s integration
Learning Objectives Designated Person Ashore (DPA)
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Definition from Wikipedia
A management system is the framework of policies, processes procedures used by an organization to ensure that it can fulfill all the tasks required to achieve its objectives
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Every organization has management systems But Management systems are depending on company’s organization:
Hero
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Department
Process
Management systems in shipping Mandatory Standards:
ISM Code International Safety Management ISPS Code International Ship and Port Facility Security MLC 2006 Maritime Labour Convention
Voluntary Standards:
ISO 9001:2015 Quality Management ISO 14001:2015 Environmental Management ISO 50001:2011 Energy Management
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ISO 45001:2018 Occupational Health & Safety Management
info
Management systems in shipping ISM Management System
ISPS
MLC
Codes (but containing elements of Management Systems)
Mandatory
ISO 9001
ISO 14001
ISO 50001
ISO 45001
Management Systems
Voluntary
Safety and Environment al protection
Security Ship & Ports
Labour rights
Quality
Environment
Energy
Occupational Health & Safety
Avoidance of damage to • Human • Environm ent • Property
Protection of the ship, persons, cargo, cargo transport units, ship‘s stores
Protecting seafarers‘ rights • fair terms of employment • decent living and working conditions • health protection, medical care, welfare
Meeting of requirements of interested parties
Legal compliance
Improvement of Energy Performance incl. energy efficiency and consumption
Prevention of work-related injury and ill health to workers
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Customer satisfaction Continual improvement
Reduction of environmenttal impact
Provide safe health and healthy workplaces
info
ISM-Code Objective: improvement of safety and environmental protection by means of a management system Inclusion of a new chapter IX into SOLAS Ratification by Flag states Implementation into Flag state legislation Enforcement / control by Flag state (own vessels) and Port state (all SOLAS vessels calling ports) Applies for Office & Ships Amendments to the ISM Code came into force on 1st July 2010 by Resolution MSC.273 (85) and by MSC.353 (92) on 1st January 2015
Entry into force: 1998/2002 Valid for all SOLAS ships Certificate(s): SMC/DOC Designated Person Ashore (DPA)
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info
ISPS-Code Objective: detect security threats and take preventive measures against security incidents affecting ships or port facilities used in international trade Inclusion of a new chapter V, chapter XI-1 & XI-2 in SOLAS - Amendments to SOLAS came into force by Diplomatic Conference 9 - 13 December 2002 Ratification by Flag states (vessels), Port states (ports) and Coastal states (territorial waters) Implementation into Flag, Port & Coastal state legislation Enforcement / control by Flag state (own vessels) and Port state (all SOLAS vessels calling ports) Entry into force: 2004 Applies for Ships only Valid for all SOLAS ships Certificate(s): ISSC Designated Person Ashore (DPA)
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info
MLC 2006 Objective: to establish decent working and living conditions for all seafarers worldwide Addresses maritime labour issues (people) as well as hardware issues Convention established 2006 but entered into force on 20th of August 2013, one year after registering 30 ratifications of countries representing over 33% of the world gross tonnage of ships Ratification by Flag states Implementation into Flag state legislation Enforcement / control by Flag state (own vessels) and Port state (vessels calling ports) Applies for Ships only
Entry into force: 2013-08-20 Application for all seafarers serving on commercial vessels over 500 GT Certificate(s): DMLC I + II, MLC Certificate
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ISO 9001:2015 – Quality Management
info
Objective: achieving a not decreasing level of customer satisfaction by meeting customer needs and expectations within an organizational environment which is committed to continual improvement Developed & published by the “International Organization for Standardization” (ISO) New revision entered into force: 15th of September 2015 Not product or service standard - can be used by all kinds of product manufacturers and service providers Voluntary implementation by the Company Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 9001:2015 Certificate for entire Company issued by certification body (e.g. class) after verification (audit) Designated Person Ashore (DPA)
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ISO 14001:2015 – Environmental Management Objective: Legal compliance and reduction of environmental impact Developed & published by the ISO New revision entered into force: 15th of September 2015 Voluntary implementation by Company Not product or service standard - can be used by all kinds of product manufacturers and service providers Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 14001:2015 Certificate for entire Company issued by certification body (e.g. class)after verification (audit)
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info
ISO 50001:2011 – Energy Management
info
Objective: to support organizations in all sectors to use energy more efficiently Developed & published by the ISO Last issue 2011 - currently under revision Application for entire Company (office & ships) as management system standard Voluntary implementation by Company Addresses energy use and consumption, including measurement, documentation and reporting, design and procurement practices ISO 50001 is data driven and focuses on energy performance improvement - ISO 14001 provides more qualitative look at all significant environmental impacts ISO 50002:2014 - energy audit in relation to energy performance Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate: ISO 50001:2011 Certificate for entire Company issued by certification body (e.g. class) after verification (audit) Designated Person Ashore (DPA)
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ISO 45001:2018 - Occupational Health and Safety
info
Objective: Prevention of work-related injury and ill health to workers; provide safe health and healthy workplaces Based on British Standard BS OHSAS 18001 (OHSAS = Occupational Health and Safety Assessment Scheme Published by the ISO 12th of March 2018 as OH&S management system (OH&S = Occupational Health and Safety) Voluntary standard - helps organizations to control and improve OH&S risk by implementation of management process Addresses conditions and factors that affect the well-being of all workers related to the organization’s operations - can be used by all kinds of product manufacturers and service providers. Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 45001:2018 Certificate for entire Company issued by certification body (e.g. class)after verification (audit) Designated Person Ashore (DPA)
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Integrated Management System Integrated Management System (IMS) MLC ISO 45001
ISPS
ISO 9001
ISM
ISO 14001 ISO 50001
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How to integrate Management systems ?
Maritime Academy Course: IMPLEMENTING AN INTEGRATED MANAGEMENT SYSTEM TO HANDLE COMPLEXITY IN SHIPPING
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Module 2 – What have we learned? Applicable management systems in shipping industry
Interrelations between the standards
General functioning of company‘s organization
Potential of integrated management system
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Principles of Maritime Management Systems
After this module, you will be familiar with key principles of modern management systems: … PDCA-cycle … Process approach … Risk management … Continual improvement
Learning Objectives Designated Person Ashore (DPA)
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What are the key principles of modern Management Systems ? 7 quality management principles (QMP) according to ISO 9001:2015
Focus Leadership Engagement of people Process approach Continual improvement Evidence-based decision making Relationship management
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Planning “For a ship without a harbour, any course is wrong“ - Seneca
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Planning
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Processes All activities are (part of) a Process Every process has one or more Objectives Every process has Steps Every process has Input and Output For each process one or more Performance Indicators can be identified
Input
System
Processes
Improvement Designated Person Ashore (DPA)
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Processes Process Control (Verification and Evaluation)
Risks & Opportunities
Requirements Specifications
First process step
Services Materials Energy Data
Input
Final process step
Process
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Services Products Energy Data
Output
interface
interface Resources
Objectives (measurable)
Documents (records & data)
Monitoring Measurement
Processes • • •
In each process things may go wrong If this may lead to serious consequences it is deemed “critical” If critical: break down into more detailed (sub-) process steps.
Identify (Sub)Processes Identify Process Steps Process
Identify Critical Steps and Zoom in as appropriate Designated Person Ashore (DPA)
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Process vs. Procedure
A process is: “what we do” A procedure is: “how we do it”
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Processes – sample solution Process Control as part of ISM Element 9 + 12 Crew Complement based on STCW, MLC, SOLAS, ISM,
Risks: Availability of Crew, Performance of Manning Agencies Opportunities: Saving costs by avoiding incidents, good reputation
Crew Performance Evaluation
Recruitment Contract with Manning Agency incl. defined qualification requirements
Input
Interface to contracting Budget, ISM Element 6 Designated Person Ashore (DPA)
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ZERO qualification related deficiencies (external+internal), Crew Performance
Process
Output
Fulfilment contractual and legal requirements, Excellent crew performance
Interface to all shipboard processes
Certificates of Competency/Endorsements SEA Deficiency / NC reports
Number of Incidents raised by PSC, FSC
Module 3 Activity Process description: Please describe the process steps and the process environment (input & output, interfaces, objectives, requirements, resources, documents) for the following processes: -
Maintenance
-
Bridge Operations
-
Cargo Operations
-
Planning of safety drills, training & exercises
-
Developing and updating of SMS documentation
-
…or any process which meets the interest of the participants
Each team should choose one of the above processes Please use the ”Process Chart” Designated Person Ashore (DPA)
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Risk Management Seamanship = Risk Management
Module 6
Risk Management = Balancing Opportunities & Risks Designated Person Ashore (DPA)
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Balancing Cost vs. Benefits
COSTS BENEFITS
Cost-Benefit Analysis is used to assess different options for risk control / reduction
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Benefits •
Reducing risks: – Severity – Likelihood – Both severity & likelihood
•
Increased opportunities
•
One measure can be effective across a number of hazards Typical benefits: Reduced risk (e.g. saved lives, reduced pollution) Reduced accident costs Increased reliability Increased utilisation Contribute to company image
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COSTS BENEFITS
Costs
•
Cost of implementation of measure
•
Investment and / or annual cost
COSTS BENEFITS
Typical costs: Investment in new equipment Annual upgrading Increased maintenance costs Additional training
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Quantification is Often Necessary •
Both costs and benefits should be quantified to find the balance
•
Costs are often easy to estimate COSTS
•
Benefits are more difficult, e.g.:
BENEFITS
– Risk reduction for loss of lives How much is a life worth? – Risk reduction for loss of reputation Long term business impact
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Slide 64
Managing risks is not a company-internal issue anymore Stakeholders - from Few to Many!
Shareholders
Owner / Crew
Crew Owner
Board of Directors Bank
Class
Bank
National rules
1880
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EU, USCG, … Outsourcing & co-operation
Class
Society at large
PSC
Insurance
Charterer
2009
Cargo owners, vetting
Continual improvement Just 50 years container shipping:
Tremendous improvements in ship‘s size ship‘s technology management performance
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http://www.mehrcontainerfuerdeutschland.de/schiff-ahoi/infografik-schiffsgroessen-im-vergleich/?print=print
Continual improvement ...and further improvements will be:
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Continual Improvement
Towards new opportunities in shipping Designated Person Ashore (DPA)
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Continual improvement Electronic certificates
With electronic certificates from DNV GL, • owners and other stake holders can save time and money because of a reduced administrative burden, • paper handling is eliminated (printing, scanning, archiving), • certificates can be easily shared with Stakeholders, • the latest certificates are always made available on My DNV GL • there is no risk of losing a certificate More information: https://www.dnvgl.com/maritime/electronic-certificates/index.html Designated Person Ashore (DPA)
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Continual Improvement Improvement is not just a technical issue:
Human capability
Technology
Management System
Market environment
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Legal and contractual framework
Module 3 – What have we learned?
PDCA-cycle
Process approach
Risk management
Continual improvement
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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The ISM Code from DPA’s point of view
After this module, you will understand… … the background and development of the ISM Code … the requirements of the ISM Code from the DPA‘s point of view … „critical“ points of the SMS to be observed by the DPA …
Learning Objectives Designated Person Ashore (DPA)
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Why ISM ? Amoco Cadiz, 1978
Exxon Valdez, 1989
Herald of Free Enterprise, 1987
Estonia, 1994
Development of Guidelines, Rules and Regulations on the basis of maritime accidents
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Result: Changes to international Rules and Regulations
Reasons for Accidents Human Involvement Poor management standards ~ 20 % Technical reasons
Poor qualifications Communication problems Lack of motivation
~ 80% Human reasons
Fatigue Cultural differences
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ISM Code Requirements to develop and maintain an SMS
Individual Organisations (authorities, communication)
Relevance of procedures
ISM Code
Safety Culture
Structure of company‘s management system
SMS Designated Person Ashore (DPA)
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Implementation by Administrations
•
Administration means the Government of the State whose flag the ship is entitled to fly – refer to ISM-Code 1.1.3
•
Compliance with the Code is enforced and monitored by the Flag states
•
Guidelines on implementation of the ISM Code (Resolution A.1022(26)) –
•
Standards on ISM Code certification arrangements
The company and shipboard SMS must also comply with additional national requirements, if any
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Application by Companies
•
Legislation does not cover all the risks
•
Ships operate under a wide range of different conditions
•
Companies have tendency to comply with the absolute minimum
•
Necessary: Self assessment of operational risks and performance Implementation of ship specific safety measures based on self assessment
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SOLAS Chapter IX Six regulations
•
Definition
•
Application
•
Safety Management Requirements
•
Certification
•
Maintenance of conditions
•
Verification and control – control by flag State – control by port State
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ISM Code
Preamble Part A Implementation Element 1-12 Part B Certification and Verification Element 13-16 MSC-MEPC.7/Circ.8 Guidelines for Implementation
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ISM-Code Content Part: A
Implementation
• Element 1 • Element 2 • Element 3 • Element 4 • Element 5 • Element 6 • Element 7 • Element 8 • Element 9
General Safety and Environmental Protection Policy Company Responsibility and Authority Designated Person(s) Master's Responsibility and Authority Resources and Personnel Development of Plans for Shipboard Operations Emergency Preparedness Reports and Analysis of Non-conformities, Accidents, Hazardous Occurrences Maintenance of the Ship and Equipment Documentation Company Verification, Review and Evaluation
• Element 10 • Element 11 • Element 12
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ISM-Code Content Part B
Certification and Verification
• Element 13 • Element 14 • Element 15 • Element 16
Certification and Periodical Verification Interim Certification Verification Forms of Certificates
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Preamble
•
International standard for the safe management and operation of ships and for pollution prevention
•
System to safeguard the masters
•
Organization of management to respond to the needs of those on board ships
•
General principles and objectives applicable for all shipping companies and operating conditions
•
Widespread application, knowledge and awareness
•
Cornerstone is commitment of management at all levels
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Element 1 - General Definitions – Company (owner, manager, bareboat charterer) – Administration (flag State)
Objectives – Objectives of the Code – Objectives of the Company – SMS to ensure compliance with R&R and all applicable requirements
Application – See SOLAS IX/2 and may be applied to all ships
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Element 2 - Policy Clear commitment of the company to the following objectives
Safe ship operation Protecting human life Avoiding accidents Pollution prevention
Photo: P. Werner
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DPA should assess „critical“ points related to policy Asking the right questions ! Are the statements of the policy realistic ?
Does the management stand behind the policy ?
What does the „real life“ in the company show ?
Is the policy documented in the SMM ?
Does the policy explain by what measures these objectives will be achieved ?
Is the policy understandable to everybody ?
Does the policy indicate the objectives of the company which must comply with the ISM Code (1.2) ?
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Element 3 – Company responsibilities and authority
•
Define responsibilities for the operation of vessel Owners must report the full name and details to the Administration
•
Define and document responsibilities authorities and interrelation of all personnel
•
Provide adequate resources and shore based support to enable the DPA to carry out his function
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DPA should assess „critical“ points related to company‘s responsibility & authority Asking the right questions ! Are lines of hierarchy clearly defined ?
How are the interrelations between between shipowner / charterer and manager ?
Are sufficient resources available ? (human, financial Are there obvious Are there possible fields budgets) or immanent of conflicts related to conflicts between safety management positions ? arising from commercial Are all safety interrelations ? related duties and responsibilities clearly defined ? Do the persons assigned to safety relevant positions have the How the company is managed authority to perform ? and organised ? (Hero / Department / Process )
...and more ! Designated Person Ashore (DPA)
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Discussion: ISM related responsibilities
DISCUSSION Decide who is responsible for the following tasks, DPA ? Superintendent ? Managing Director ?
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Discussion: ISM related responsibilities Task – Responsibility of Communicating the company policy Assuring safe operation of vessels Ordering safety relevant spares Dealing with operational deficiencies Reporting safety issues to Top Management Monitoring safety management performance Monitoring maintenance performance Selecting qualified crew Determining the company policy Dealing with Flag state issues Assessing internal audits Reporting vessel’s performance to Owner Designated Person Ashore (DPA)
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DPA
Superintendent
Managing Director
Element 4 – Designated Person Therefore we are here !
See Module 1
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Element 5 - Master Responsibilities (to be clearly defined & documented) – Implementing and maintaining the Safety & Environmental policy on his ship – Verification and monitoring – Periodically reviewing the SMS – Reporting deficiencies to shore-based management – Issuing orders and instructions – Motivating the crew to observe the policy Authority – Requesting shore assistance whenever required – Overriding authority - IMO Resolution A443(XII)
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Master‘s obligation to act
Requirements Legal requirements Company requirements
Overriding authority
Hazards
Decisions based on Normal ship operations Emergency situations
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Master‘s review – key information for the DPA Overall purpose: • Information to the company on the degree of implementation of the SMS on board
• •
Fundamental reassessment effectiveness and efficiency of the SMS from the Master’s view Reporting of system related deficiencies to shore based management
Documented
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• •
Results of internal and external audits
• • •
Results of Own inspection
• • •
Risk assessments
• • •
Training results
•
Suggestions for improvement
Results of Port state control and Flag state inspection Results of classification reports Accidents, hazardous situations, near misses Deficiencies, weak points Qualification of the crew, experience, language skills, training needs, motivation Condition of ship and equipment Support of and communication with the office
Element 6 – Resources & Personnel Master
– – –
Proper qualification Conversant with the company SMS Given necessary support by ship and shore
Crew
– –
Ship sufficiently manned according to safe manning certificate Qualified, certificated and medically fit
On board familiarization related to
– – – –
Safety and environmental protection Function SMS knowledge Rules, regulations, codes and guidelines
Working language
– –
Information Communication
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DPA should assess „critical“ points related to management of human resources Asking the right questions ! How are the formal interrelations and responsibilities between parties involved in crewing defined ?
Are there any informal interrelations and responsibilities between parties involved in crewing ?
Are certificates of crew members accessible to the company if crew is managed by external party ?
Can all crew members understand and respond to safety related orders in the defined working language ?
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How effective is the Procedure for verifying the crew qualifications by the Company ?
Are there sufficient Standing orders / Work orders issued on board ?
...and more !
Element 7 – Shipboard Operations
•
The shipping company must identify key shipboard operations which are relevant to safety and pollution prevention, based on: –
Mandatory rules and regulations or specific requirements
–
Ship type, cargo, trading area
–
Operational experience
–
Recommendations by IMO, Administrations, Class, Industry
–
Risk Assessments
•
Appropriate to the Company
•
Systematic methods - remember Module 2: Principles of Management systems Planning / PDCA Process approach Risk management
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Element 8 – Emergency preparedness
•
Company needs to identify potential emergency shipboard situations
•
Establish procedures to respond to them
•
Programs for emergency drills - for all defined emergency cases
•
Company’s organization must be able to respond to emergency situations at any time
•
ISM requires exercises for all identified emergency situations
•
Company has to identify training requirements and to establish training programs
•
Contingency Plans
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DPA should assess “critical points” for verifying effectiveness of emergency preparedness Asking the right questions ! Is the crew properly familiarized with the safety duties?
Are safety drills & exercises scheduled as per as per SMS
Are there any indications that the performance of safety drills is not sufficient? Are drills and exercises controlled by the company?
Is the Muster List up-to date?
Do the records reflect the reality ?
Are exercises of all contingency plans performed once per year?
Are records of drills & exercises properly documented?
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Element 9: Reports and Analysis of Non-Conformities, Accidents, Hazardous Occurrences Documentation of: – Accidents – Hazardous occurrences (Near Miss) – Non-Conformities
Procedures / Process for – Reporting – Investigation and analysis of causes – Elimination of deficiencies – Measures to prevent recurrence
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Corrective Action + Preventive Action + Source for continual improvement
What is an Incident / Accident / Near Miss ? An incident is an undesired event
Damage or injury (loss) ? NO
YES ACCIDENT
NEAR MISS
Incidents Designated Person Ashore (DPA)
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Element 9: Reports and Analysis of Non-Conformities Accidents, Hazardous Occurrences The Process / procedure should ensure – reports are reviewed and evaluated Process / Procedure for •
recording,
•
investigating,
•
evaluating,
•
reviewing and analysing
reports, and to take action
– to determine appropriate corrective action – to ensure that recurrences are avoided – that defined measures are monitored and evaluated – that reports are properly communicated
The evaluation of reports may result in – appropriate corrective actions; – amendments to existing processes, procedures and instructions; – development of new processes, procedures and instructions
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Element 10 – Maintenance of the ship and equipment Maintenance procedures/plans – Engine – Hull – Systems, equipment – Critical systems and equipment In compliance with rules and regulations – Inspections in appropriate intervals – Reporting of non-conformities and possible cause – Corrective actions to be taken – Records to be maintained
Identification of critical equipment
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DPA should assess “critical points” to verify effectiveness of maintenance Asking the right questions !
Is the planned maintenance system (PMS) suitable for ship operation ?
Are there adequate resources for technical management (incl. repairs, spare parts) available
Is the PMS followed by shorebased and shipboard staff ?
Are shorebased and shipboard staff familiar with the PMS ? On board organisation of maintenance defined clearly Designated Person Ashore (DPA)
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Is a Work permit system in place and to be followed ?
How effective is the Requisition system working ?
Why the actual appearance of the vessel / its systems is different to the maintenance records
...and more !
Element 11 - Documentation The System Documentation contains: – Safety Management Manual – Functions and job descriptions – Ship documentation and certificates – Handbooks, plans, drawings – Sea charts, rules and regulations – etc. Procedure for document control – Validity of documents – Changes to documents
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General structure for integrated documentation
• system description / overview • visions / missions / policies • process plans • • • •
documented procedures work instructions instructions for checking responsibilities & authorities
• forms, checklists • IT data Designated Person Ashore (DPA)
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Element 12 – Company verification, review & evaluation Internal safety audits
– – – –
Documented procedures Intervals not exceeding 12 months Ship and shore Verify compliance
System review by management
– – –
Master’s review
–
Results of external inspections (e.g. port State)
Results of internal audits Results of non-conformities, accident & incident investigations
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DPA should assess “critical points” to verify effectiveness of measurement tools Asking the right questions ! Are the root causes of Incidents and Non-Conformities clearly identified?
Are there any detention or other external reports stating noncompliance with the SMS ? If yes, what are the root causes ?
Are the Master‘s system reviews assessed by company ?
How it could happen that an Audit reports states that „everything is OK“
What does it mean when no, or just few, deficiencies are recorded ?
Is there an effective follow-up of implemented corrective actions ? Does the Top Managements system review reflect the Masters‘ reviews and results of internal audits ?
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How to assess SMS performance ? Asking the right questions ! Assessing results of internal audits What does an audit report really say ?
Assessing follow-up of internal audits Are corrective measures effective implemented ?
Assessing master‘s reviews Is the review really informative and meaningful ?
Input
Assessing of non-conformities
Reports & Data
Are root causes and preventive actions identified ?
Assessing external safety reports Are there any non-compliances with the SMS ?
Assessing potential risks Are risk control measures effective implemented ?
Assessing accidents and incident Are root causes and preventive actions identified ? Designated Person Ashore (DPA)
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Output DPA‘s Preparation of Management Review
Management review – evaluation of the SMS Overall purpose: • Information to the Top Management on the degree of implementation of the SMS and its effectiveness
•
•
Fundamental reassessment of the structure, effectiveness and efficiency of the SMS from the Top Management’s view Initiating Change management in case of identifies of system deficiencies
Documented
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Assessment of:
•
Results of internal and external audits incl. effectiveness of measures
• •
Master’s reviews
•
Non-conformities and Observations
•
Deficiencies found by external parties, PSC inspection reports, etc.
• •
Potential risks
Incidents (accidents & near misses)
Changing circumstances
Output of Management review
1. Any deficiencies found during the management review should be provided with appropriate corrective action
2. The results of such reviews should be brought to the attention of all personnel involved in a formal way
3. Management review report to be sent to all company ships with the request to comment on it
4. Measures resulting from the review to be implemented in compliance with existing procedures (action plan)
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Photo to be inserted showng Management team
Module 4 Activity
Management Review (see handout)
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Comparison of reviews Management Review
Master‘s Review
Procedures/ Records
yes
yes
Responsibilities
Management / DPA
Master
Frequency
periodically (minimum yearly)
periodically (minimum yearly)
Aim
evaluate the effectiveness & efficiency of the company SMS taking into account experience and changing circumstances
information to the company on the degree of implementation of the SMS on board
Scope
Company’s SMS
ship’s SMS
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How is the effectiveness of SMS monitored?
Master's review
Master
Internal audits
Company
External audits
Flag State (Class)
Management review
CEO
Evaluating SMS implementation and effectiveness
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Element 13: Certification and Periodical Verification
Document of Compliance
Each ship
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Safety Management Certificate
Valid: 5 years
Valid: 5 years
Audit: annually
Audit: Between 2nd and 3rd anniversary
Element 14: Interim Certification
Interim DoC • Company is newly established • Adds new ship types to its existing operation • Has a safety management system that meets 1.2.3 • Plans to fully implement the SMS • Validity not exceeding 12 months
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Interim SMC • Ship is new to the company on delivery • Is newly taken into the existing ship operation of the company • Is changing flag • After verification of the SMS on the ship • Validity not exceeding 6 months with possible extension for 6 months
Element 15: Verification All verifications required by the ISM code
–
carried out according to procedures acceptable to the Administration.
–
Guidelines are available to establish such procedures
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Element 16: Forms of Certificates DoC, SMC, interim DoC and interim SMC
–
Should be designed according to the models
–
A translation in English or French must be included
DoC and interim DoC might be endorsed
–
to specify any operational limitations of the ship types included in the safety management system.
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Module 4 – What have we learned?
The background to the ISM Code
The requirements of the ISM Code from the DPA‘s point of view
„Critical“ points of the SMS to be observed by the DPA
Practical aspects of the DPA’s tasks
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Mandatory regulations, codes, guidelines & standards
After this module, you be introduced in… … the system of maritime legislation … mandatory rules & regulations (R&R) … applicable codes, guidelines and standards … methodologies of identification & implementation
Learning Objectives Designated Person Ashore (DPA)
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The thing about regulations …
• Regulations following an accident are re-active • Regulations provide a certain standard to be complied with • Regulations such as the ISM Code provide a framework for safe ship operations – No two shipping companies or ship owners are the same – Operation under a wide range of different conditions – General principles and objectives applicable for all shipping companies and operating conditions – Expressed in broad terms, widespread application
• Companies tend to fulfil only the minimum requirements
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The “four main pillars” of maritime regulatory regime
UNO
STCW
MARPOL
SOLAS
International Regulatory Regime for Quality Shipping
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MLC
ILO
IMO
Reminder: Structure of IMO Assembly Council
Maritime Safety Committee (MSC)
Marine Environment Protection Com. (MEPC)
Sub-Committees HTW III NCSR PPR SDC SSE CCC Designated Person Ashore (DPA)
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Facilitation Committee (FAL)
IMO Instruments:
Legal Committee (LEG)
• • • • •
Technical Co-operation Committee (TC)
Conventions Protocols Codes Resolutions Circulars
Compliance with applicable Rules & Regulations ISM-Code 1.2.3: SMS to ensure – Compliance with mandatory international and national rules and regulations – Observance of applicable codes, guidelines, recommendations
IBC
SOLAS
OPA 90 LSA
ISGOTT
ODAS
EmS OILPOL MFAG IMDG
CSC
ISM
LLMC COLREG STP FAL CLC STCW IAMSAR LDC
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MARPOL
HSC-Code
Codes as part of Conventions - example SOLAS Chap.
Content
I
General: Inspection & survey, issue of certificates, control
II
Subdivision, stability, fire protection
III
Life-saving appliances
IV
Radio communications
V
Safety of navigation
VI
Carriage of cargoes
VII
Carriage of dangerous goods
VIII
Nuclear ships
IX
Management for the safe operation of ships
ISM Code
X
Safety measures for high speed craft
HSC Code
XI-1
Special measures to enhance maritime safety
XI-2
Special measures to enhance maritime security
XII
Additional safety measures for bulk carriers
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Stability Code
FTP & FSS Code
International Life Saving Appliances Code
International Code for the Safe Carriage of Grain in Bulk IMDG Code
IBC Code
IGC Code
INF Code
ISPS Code
DPA to deal with amendments to R&R Example: Amendments to the International Safety Management (ISM) Code by Resolution MSC.353 (92) in force since 01.01.2015:
The following new paragraph 12.2 is inserted after existing paragraph 12.1 and the existing paragraphs 12.2 to 12.6 are renumbered as 12.3 to 12.7: "12.2 The Company should periodically verify whether all those undertaking delegated ISMrelated tasks are acting in conformity with the Company's responsibilities under the Code."
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Monitoring compliance with mandatory R&R by the DPA: IMO + ILO SOLAS / MARPOL / STCW / MLC IACS
Flag State
+
+
Class
Port State
+
+
Certification bodies
EU directives
Customers / Industry (e.g. TMSA, OVMSA, etc.)
HOW TO MANAGE ? Designated Person Ashore (DPA)
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Flag State – Example Liberia Administration – Liberian International Ship and Corporate Registry (LISCR) Regulations and Interpretations
Website – http://www.liscr.com – http://www.liscr.com/online-libraryofficial-guidance – http://www.liscr.com/recent-updates
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Port State – Example U.S. Coast Guard U.S. Code of Federal Regulations No. 33 (CFR 33) Rules and Regulations for foreign vessels operating in the navigable waters of the United States – Part 155: Oil Pollution Prevention Regulations for Vessels – Part 159: Marine Sanitation Devices – Part 164: Navigation Safety Regulations
Website: http://www.uscg.mil
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EU Directives Directives regarding vessels under EU-flag Directives relevant for vessels sailing in EU-waters EC-Directives (examples) – Directive on Marine Equipment – Directive on safety rules and standards for passenger ships – Regulation on the accelerated phasing-in of double hull or equivalent design requirements for single hull oil tankers – MRV (Monitoring, Reporting, Verification) Websites: – https://ec.europa.eu/commission/index_en – http://eur-lex.europa.eu/homepage.html
Search “maritime” / “MRV”, etc.
– http://ec.europa.eu/environment/marine/eu-coast-and-marine-policy/marine-strategy-frameworkdirective/index_en.htm – https://www.dnvgl.com/maritime/technical-regulatory-news/statutory.html Designated Person Ashore (DPA) 132
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Search “EU”
EU Directives – Example Marine Equipment Directive (MED) Council Directive 96/98/EC as amended Radio
Purpose:
• Free trade within EU • Uniform test standards • Avoid multiple approvals
Navigation
Fire Fighting MARPOL
0801 - 99 Mark of Conformity
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ID of notified body
Year when equipment was marked
LSA
IACS – International Association of Classification Societies Standards shared by classification societies Unified requirements, interpretations, recommendations, common structural rules (CSR) Representation at IMO
Website www.iacs.org.uk News: http://www.iacs.org.uk/news/
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IACS Recommendation – Example IACS Rec. 74 – Guide to Managing Maintenance •
The “Guide to managing maintenance“ laid down in the IACS Rec. 74
•
Most failures in shipboard safety management systems leading to a PSC detention refer to maintenance
•
Useful recommendations for the DPA !
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Class Societies – dual tasks related to R&R
Classification
Statutory
Rules for Classification and Construction
IMO: Conventions, Codes, Resolutions
Recognized technical standards
National Law, additional national requirements Administration is responsible and may authorize Classification Soc.
Internal
External
Application and Interpretation by DNV GL
Application by DNV GL on behalf of Administration, Interpretation by Administration
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Regulations and standards issued by industrial organizations Industrial organizations: ISO
International Organization for Standardization http://www.iso.org/iso/home.htm
ICS
International Chamber of Shipping http://www.ics-shipping.org/
OCIMF
Oil Companies International Marine Forum http://www.ocimf.org/
INTERTANKO
Int. Association of Independent Tanker Owners https://www.intertanko.com/
INTERCARGO
Int. Association of Dry Cargo Shipowners http://www.intercargo.org/
Industry Standards followed by the maritime world have been created by these bodies among others Designated Person Ashore (DPA)
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Industry standards – example OCIMF Oil Companies International Marine Forum (OCIMF) TMSA – Tanker Management and Self Assessment programme – provides companies with a means to improve and measure their own safety management systems OVMSA – Offshore Vessels Management and Self Assessment programme – for oil companies and offshore contractors chartering offshore vessels
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How to implement applicable R&R by the company Step 1
Step 2
Step 3
Step 4
Identification
Collection
Application
Implementation
Identify the requirement • List of mandatory regulations • List of other applicable guidelines & standards
Collect applicable material sources • IMO • Flag State • Port State • EU • Class • Industry
Analyze the application for your operations Study material
Amend: • Process Plans • Procedures • Instructions • Responsibilities
Consult regarding applicability
Initiate amendments and changes
Ensure availability
Ensure availability
Assure applicability
Update SMS Information / Training of crew and staff
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DNV GL – your partner for compliance Website “Technical and Regulatory News“ – https://www.dnvgl.com/maritime/technical-regulatory-news/index.html
MyDNVGL
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More about Maritime Regulations ?
Maritime Academy Course: INTRODUCTION TO THE SYSTEM OF MARITIME REGULATIONS
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Module 5 – What have we learned?
The system of maritime legislation
Mandatory rules & regulations (R&R)
Applicable codes, guidelines and standards
Methodologies of identification & implementation
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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S
Assessment techniques
After this module, you will know and understand… … ISM requirements for risk assessment … risk assessment methodologies … incident investigation methodologies … Marine Systematic Cause Analyse Technique (M-SCAT) model
Learning Objectives Designated Person Ashore (DPA)
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Cost of Managing Safety
14
€€€€€€€€
13 12 10 8 6 4 2 0
TIME Designated Person Ashore (DPA)
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How to assess SMS performance ? Asking the right questions ! Assessing results of internal audits What does an audit report really say ?
Assessing follow-up of internal audits Are corrective measures effective implemented ?
Assessing master‘s reviews Is the review really informative and meaningful ?
Input
Assessing of non-conformities
Reports & Data
Are root causes and preventive actions identified ?
Assessing external safety reports Are there any non-compliances with the SMS ?
Assessing potential risks Are risk control measures effective implemented ?
Module 6
Assessing accidents and incident Are root causes and preventive actions identified ?
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Output DPA‘s Preparation of Management Review
Accident Ratio Study 1
10
30
600
•Fatality or Major Injury
•Minor Injuries
Loss = Accidents
•Property Damages •Incidents without Injury or Damage
No Loss = Near-Miss
There are many more near-misses than accidents The causes and potential are exactly the same Lessons learned from near-misses are free Designated Person Ashore (DPA)
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Same Causes
Methodologies: Risk assessment vs. Incident investigation • Risk Assessment (RA) and Incident Investigation (II) are the two key components of any safety management system. Together RA and II ensure continual improvement of safety through risk management.
PROACTIVE
REACTIVE
Risk Assessment
Incident Investigation
SAFETY MANAGEMENT SYSTEM
•
Risk Assessment is about being proactive, avoiding incidents before they occur through proper planning and preparation of an operation.
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•
Incident Investigation is about being reactive, learning from incidents in order to ensure that they do not happen again in the future.
Assessment techniques Various techniques available, e.g: Failure Mode and Effect Analysis (FMEA) extended: Failure Mode, Effect and Critical Analysis (FMECA) Fault tree analysis Root cause analysis Barrier analysis DNV GL Loss causation model
•
Safety & Environmental protection only
•
Commercial impact may be taken into account
Event & causal charts
...and more
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Detailed training available on Assessment techniques
Maritime Academy Courses: − MARITIME RISK MANAGEMENT & INCIDENT INVESTIGATION − PRACTICAL MARINE RISK MANAGEMENT & CHANGE MANAGEMENT − PRACTICAL INCIDENT INVESTIGATION AND ROOT CAUSE ANALYSIS
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info
Understanding the improvement process Nothing has happened
Task
Potential Incident
Remarks
Prevent occurrence
Proactive Improvement
• Initial Risk
Causation analysis
Preventive actions
Residual Risk
• •
•
Something has happened
Risk is still not acceptable
Reactive Improvement Task
Incident
Loss Potential
Causation analysis
Corrective actions
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Residual Risk
Initial risk without existing preventive actions Loss potential equals initial risk Residual risk equals verification of effectiveness of implemented preventive / corrective actions Causation analysis includes direct, basic causes and correction to remove direct causes
info
Trends in accident causes Based on a study performed by Erik Hollnagel
In terms of reducing the frequency of accident, addressing the human element is the key! You will not dramatically reduce accident frequency by focusing solely on equipment and technology! Designated Person Ashore (DPA)
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Risk assessment as integral part of ISM 1.2.2 Safety Management Objectives: Safe practices of ship operation and safe working environment Assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards Continuously improve safety management skills of personnel ashore …
Development and implementation of a SMS in an exercise in risk assessment (IACS Guidance for Auditors) – Analyse the operation – Look into operations, activities and systems – Identify what could go wrong – What can be done to prevent it Documented procedures are the means by which the controls are applied
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Risk assessment – methodology Risk perception: What are the highest risks for our lives today?
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Risk assesssment - methodology
Consequences:
Risk categories
Damaged ship or cargo
Injuries or fatalities R is k to H u m a n L ife , H e a lth
R is k to P ro p e rty
Cost R is k to E n v iro n m e n t
Consequences: Pollution Designated Person Ashore (DPA)
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Consequences:
Risk assessment – methodology Risk is the likelihood that an undesirable event will occur and lead to severe consequences within a specified timeframe i.e. the combination of the likelihood and the severity of the consequence.
Risk
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=
Likelihood x
Consequence
Risk assessment – methodology Step by step approach 1.
Classify work activities
2.
Identification of hazards
3.
Identification of existing RCMs
4.
Determination of risk
5.
Risk acceptable?
6.
Analysis preparation Acceptance criteria
System definition
Hazard identification
Frequency analysis
Risk control action plan
Consequence analysis
Risk estimation
7.
Review adequacy of action plan
8.
Ensure RCM’s are effective
Risk matrix Risk analysis
and up-to-date
Risk evaluation Risk assessment
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Risk management and risk control
Risk reduction
info
Risk assessment – methodology Risk estimation RISK MATRIX
Analysis preparation Acceptance criteria
System definition
Hazard identification
How likely is the unwanted incident? What are the consequences? Create a matrix to evaluate the risk
Frequency analysis
Consequence analysis
Risk estimation Risk matrix Risk analysis
Risk evaluation Risk assessment
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Risk management and risk control
Risk reduction
Assessment technique: Risk Matrix catastrophic 4
medium
high-medium
high-medium
high
severe 3
medium-low
medium
high-medium
high-medium
significant 2
low
medium-low
medium
high-medium
minor 1
low
low
medium-low
medium
remote
reasonably probable 3
frequent
extremely remote 1
Consequence Severity
2
4
Occurrence Likelihood (frequency)
Risk Level Acceptable
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Risk Level Tolerable (existing risk control measures to be reviewed to ensure ALARP level)
Risk Level is not Tolerable (RCMs to be modified and/or additional risk control measures to be implemented)
info
Risk assessment – methodology Risk evaluation SELECTING HAZARD SCENARIO
Analysis preparation Acceptance criteria
System definition
Hazard identification
Use the risk matrix Evaluate the risk against acceptance criteria
Frequency analysis
How far does risk have to be reduced?
Consequence analysis
Risk estimation Risk matrix
Assess outcome and decide on further actions
Risk analysis
Risk evaluation Risk assessment
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Risk management and risk control
Risk reduction
Risk assessment - methodology ALARP Triangle
Level of risk
Risk Tolerance Bands Risk cannot be justified except in extraordinary circumstances
Unacceptable Risk
Tolerable only if risk reduction is impracticable or if it cost is grossly disproportionate to the improvement gained
Tolerable Risk
ALARP – As Low As Reasonable Practicable
Accepted Risk
Necessary to maintain assurance that risk remains at this level
Negligible Risk Designated Person Ashore (DPA)
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Risk assessment – methodology Risk reduction by RISK CONTROL MEASURES Identify risks to be reduced Define measures to reduce frequency and/or consequence
Analysis preparation Acceptance criteria
System definition
Hazard identification
Not all measures are suitable! Estimate risk reduction (consider dependencies!)
Frequency analysis
Consequence analysis
Risk estimation
Estimate cost effectiveness
Risk matrix
• Risk reduction is limited! • Risk should be ALARP!
Risk analysis
Risk evaluation Risk assessment
Risk Acceptable or ALARP Designated (DPA) [through header & footer] Here comesPerson the titleAshore of the course
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Risk management and risk control
Risk reduction
Risk Control Measures
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Assessment technique: barrier analysis Risk reduction by BARRIERS
Consider: Barriers are like „Swiss cheese“
? Designated Person Ashore (DPA)
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Swiss Cheese Model
Control, Alarm & Shutdown system
THREAD
Inherent Design Plant Layout
Learning from Events Relief and Blowdown System
Operations Procedures
Maintenance & Inspection
Audit & Self Regulation
Work Control
Effective Supervision
Management of Change
Communication
Training & Competency
HAZARD
e.g. mooring line under tension
e.g. working in snapback zone
Facilities
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Processes
People
Module 6 Activity 1
Risk assessment (see handout)
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Remember: Risk assessment vs. Incident investigation
PROACTIVE
REACTIVE
Risk Assessment
Incident Investigation
SAFETY MANAGEMENT SYSTEM
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Three levels of Investigation Extensive thorough investigation by external parties: MAIB, P&I, Underwriters, Safety Board Recommendation to Shipping Industry
To External Parties: Flag, Port State, P&I
Investigation & Analysis
Preventive actions To Company
Investigation Immediate Corrective action
To Master Implementation Report Designated Person Ashore (DPA)
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Report to Class
Investigation Process Objective:
Control the scene
Analyzing causes of incidents & accidents Allocate resources
Identification of corrective actions adequate to prevent recurrences (what, why, how)
Evidence Collection
Systemizing facts
Improvement of the SMS
Analyse causes
Requirements: – No blame culture – Just culture
No
Need for more information? Findings and Report
– Training (methods & awareness) Follow-up Designated Person Ashore (DPA)
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Yes
Incident investigation process - general 1.
Information (system for reporting and informing)
2.
Collection of data (immediately following the incident)
3.
Causal factor charting (organize and analyze information)
4.
Assessment (identify the root cause(s))
5.
Analyze existing barriers (how did they perform?)
6.
Development of Corrective action (eliminate or control the cause)
7.
Implementation of agreed corrective action (in compliance with procedures)
8.
Follow-up (verify effectiveness of corrective action)
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Investigation Process Control the scene
Alarm, Limitation, Rescue, Evacuation, Normalisation, De-briefing, Handling media, Report
Allocate resources
Evaluate loss potential, What is the investigation team? Cooperate with external parties ?
Evidence Collection
Observations on the scene, interviews, reconstruction, documentation, and reporting
Systemizing facts
Establish chain of events, what happened, failures and non-conformities, analysis of barriers, Cause analysis, immediate causes, basic causes, recommendations on management controls,
Analyse causes
Need for more information?
No
Yes
Findings and Report Follow-up
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Document, Implement suggestions, assess effect of measures,
Accident Model
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Collection of data – Fact-finding Fact finding includes the following activities • Analysing reports and statements • Inspection of the location • Gathering or recording physical evidence • Interviewing witnesses • Reviewing documents, procedures and records • Identifying conflicts in evidence • Identifying missing information • Recording additional factors and possible underlying factors
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Incident Investigation Process Control the scene Allocate resources Evidence Collection
First we will look at a method for systemising the facts about the incident: Sequential Time Events Plotting (STEP) Then we will look at a method for analysing the causes of incidents: Loss Causation Model
Systemizing facts
Analyse causes
Need for more information?
No
Findings and Report Follow-up
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Yes
Events & Causal Factors Diagram
1. All events are enclosed in rectangles
2. All conditions are enclosed in ovals
3. All events are connected to the preceding and succeeding event by arrows.
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Events & Causal Factors Diagram (Cont.)
4.
All conditions are connected to other conditions and/or events by dashed arrows
5.
Presumptive events or conditions are shown by dashed rectangles or ovals
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info
info
Events and causal factor charts
Condition Personal factors??? Job factors???
Condition
Condition
Substandard conditions??? Event
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Control actions needs???
Event
Event
Incident
Substandard acts???
Building the STEP diagram
info
• Use “post it notes” to represent the events on a large wall/pin board • Move vertically to the actor • Move horizontally to the correct (relative) point in time • Mark missing blocks/uncertain information with a “post it note” in different colour • If necessary: increase the level of detail (actors or events) • Ensure continuity (look at the role of each actor individually – is it complete?) • Establish connections between the events • Test: Would the end-event have happened without the preceding events?
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Sample: Step diagram of a near-miss grounding Time
Ca.18.00
18.45
Actors:
Sails through narrow waters in dark but nice weather
SHIP
CHIEF OFFICER
Enters ship for the first time
CHIEF OFFICER (signing off)
Meet new chief officer on the gangway
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25-30 meters from shoreline
Occupied with talks with chief officer
MASTER
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Judge the course to be too close to shoreline
Was in charge on his first watch
Alter course to port
Focus on electronic charts
Cleared the marker buoy with small margins Makes a starboard and then a port avoidance manoeuvre
STEP = Sequential Time Events Plotting
Actors: Persons or items that actively contributed to the accident/near miss Event: What an actor does, or how the actor is a part in the chain of events
Analyse Causes Using M-SCAT (Marine Systematic Analysis Technique):
Control the scene Allocate resources
Classify information into five stages:
Evidence Collection
Systemizing facts
Analyse causes
Need for more information?
No
Findings and Report Follow-up
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Yes
•
Losses
•
Incidents
•
Immediate causes
•
Basic causes, and
•
Lack of control areas
Human Failure: at what level?
1.Immediate Causes
2. Basic Causes / Factors 3. System Causes / Control
4. Soil Factors / Environment Designated Person Ashore (DPA)
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The 3 layers Immediate CAUSES – the first thing to identify – sub-standard ACTS/ PRACTICES or CONDITIONS Basic Causes / FACTORS: – PERSONAL factors (e.g. fatigue, knowledge, etc.) – JOB/SYSTEM factors (e.g. procedures not proper formulated / wrong tools) – Root causes (acc. to new concept)
System Control – the formal or informal SYSTEM to manage the factors – Management responsibility ! Designated Person Ashore (DPA)
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DNV GL Loss Causation Model Loss Causation
Basic Causes
Lack of Control
Personal Factors
System
Immediate Causes
Incident
Substandard
Event
Practices
Standards Job / System Factors
Compliance
Conditions
Incident investigation Designated Person Ashore (DPA)
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T h r e s h o l d
Loss
People Property Environment Process
What are possible immediate causes here?
Substandard Acts/Practices: Failure to secure Designated Person Ashore (DPA)
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Substandard Conditions Adverse weather conditions
What are possible basic causes here?
Personal Factor:
Job Factor:
Physical & Emotional Stress
Inadequate Planning/preparation
Lack of knowledge
Excessive wear and tear
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What are possible root causes here?
Root Causes Inadequate material Inadequate training Inadequate leadership Designated Person Ashore (DPA)
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What are possible system failures ?
Lack of Control Assessment of audits Assessment of Master‘s review Assessment of Non-Conformities Ineffective Management review Designated Person Ashore (DPA)
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DPA: Monitoring & Supervision
M-SCAT (example) LACK OF CONTROL
BASIC CAUSES
Inadequate •System •Standards •Compliance
Personal Factors Job Factors
Control Action Needs Administration Leadership training Planned inspection Task analysis Incident investigati. Work performance Emer. preparedness Safety rules Incident analysis Skill training Protective equipm. Occupational health System review Change managem. Communication General promotion Recruitment Purchasing Offthe-job- safety Designated Person Ashore (DPA)
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Basic Causes
IMMEDIATE CAUSES
Acts Conditions
Immediate Causes
Personal factors
Substandard Acts
Physical capability Mental capability Physical Stress Mental Stress Knowledge Skill Motivation Job Factors Leadership Engineering Purchasing Maintenance Tools& Equipment Work standards Wear &Tear Abuse or misuse
Failure to … …follow rules ... use ppe properly … repair instruction … warn … secure Etc. Substandard Conditions Inadequate barriers Defective equipm. Defective ppe Adverse weather Poor housekeeping Etc.
INCIDENT
LOSS
Undesired Event That Could/Does Lead to a Loss
People Property Environment Process
Type of Contact Personnel injury / illness Falls from elevation Falls on same level Struck against Caught in Contact with heat Etc... Property/ Process / Environmental damage Collision Grounding Contact Damage Fire/Explosion Etc.….
Description of accident or incident
Evaluation of loss potential if not controlled
Module 6 Activity 2
Incident investigation by using M-SCAT
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Module 6 – What have we learned?
ISM requirements for risk assessment
Risk assessment methodologies
Incident investigation methodologies
M-SCAT tool
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Course Navigator E
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Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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S
Technical and operational aspects of safety management
After this module, you will understand … the DPAs link to the Top Management … technical aspects of safety management on board … operational aspects of safety management … the organization of shore based support … the process of safety management … monitoring & measurement by the DPA
Learning Objectives Designated Person Ashore (DPA)
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Remember Module 1: DPA – the link to the Top Management Management Direct access to Company management
Designated Person Several DPA possible to be defined in the SMM !
Monitoring safety and pollution prevention aspects Requesting resources and shorebase support Contact point for all safety and pollution prevention matters
All ship‘s crew must have direct access to the DPA
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Aspects of DPA‘s „linking-function“ ISM provides a way to directly connect those on board (Master and crew) with the decisional level ashore not to be used for the normal routine daily operation of the vessel (link is provided by the superintendents) parallel way (by-pass) to be used with care and intelligence DPA (or substitute) can be contacted 24/7 by telephone or email DPA must be capable of solving problems at the operational level For problem which cannot be solved at the operational level DPA has the possibility to contact the Top Management directly
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DPA to request resources / shorebased support from Top Management immediately
Safety management
Technical aspect:
Safety maintenance on board
Organzational aspect:
Safety Management
Safety organization on board
Compliance with all applicable Rules & Regulation (ISM 1.2.3)
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Technical aspect: safety maintenance on board Modular structure of maintenance on board: DECK
Safety Maintenance
Examples
ENGINE
Maintenance Deck Systems
Safety Maintenance Deck Systems
Lifeboats Liferafts
Maintenance MAIN ENGINE
Maintenance Bridge & Communication Equipment
Safety Maintenance Engine Systems
Emerg. Generator Quick Closing Valves UPS
Maintenance AUXILLARIES
Maintenance Health & Hygiene Equipment
Safety Maintenance PORTABLE SYSTEMS
Fire Extinguishers Life Rings BAs
Safety Maintenance FIXED SYSTEMS
CO2-System Sprinkler-System Emergency Lighting
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Maintenance ELECTRICAL SYSTEMS
Maintenance OTHER SYSTEMS
Operational aspect: safety organization on board General structure of safety organization on board: STCW 95 Safety Training Safety Duties – Muster List
Prevention
Emergency Teams Contingency Plans Safety Drills and Exercises
Reaction
Safety Training on board Shoreside Response Designated Person Ashore (DPA)
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Supervision and control by the company !
Organization of shore based response
Response Service Flag State Class Supporting the Master and co-ordinating activities with
Coastal State / Port State Insurance / Underwriter Owner / Charterer Other Party
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Organization of shore based response Levels of shore response:
Emergency control – Immediate shipboard response measures to get the situation under control Emergency response – Shore-based operational and technical company support Emergency management – Divisional or regional response on the impacts of the emergency to the company, support on a higher level (incl. Class) Crisis management – Headquarters response on the impacts of the emergency to the company overall (stock exchange notifications, strategic decisions) Designated Person Ashore (DPA)
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DPA has to manage a permanently changing environment
Human capabilities
Technical specifications and characteristics of vessels
Safety culture
Company‘s infrastructure
DPA
Market conditions Operational conditions of the vessels
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Legal and contractual requirements, R&R
Process model of safety management Management Process:
ISM
Monitoring and Measurement by the DPA
9/12
Safe operations of the vessel
ISM
- Navigation – Engine – Cargo – PAX -
7
Emergency Preparedness & Response
Stakeholder‘s req.mts
Maintenance & Repair
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8 ISM 10
Safety Administration & Documentation
ISM
Support Processes
ISM
Requesting resources and support by DPA
3/6
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Effective SMS + Fulfillment Stakeholder req.mts.
Remember Module 3: Processes Process Control (Verification and Evaluation)
Risks & Opportunities
Requirements Specifications
First process step
Services Materials Energy Data
Input
Final process step
Process
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Services Products Energy Data
Output
interface
interface Resources
Objectives (measurable)
Documents (records & data)
Monitoring Measurement
Monitoring and measurement by the DPA Monitoring of the operations is the responsibility of the Master & Superintendent – Responsibilities of the Master include “to verify that specified requirements are observed " (ISM Code § 5.1.4) compliance with rules and regulations compliance with the Safety Management System
Monitoring of the safety management system in the responsibility of the DPA – visits/inspections/audits on board – assessment and evaluation of reports & data Privileged relations between DPA and Master All company staff (ship and shore) are involved in monitoring safe operations and the DPA is accessible for everyone
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How to asses of the effectiveness of the SMS ? External certification body
ISM Measurement tools
Company
Continual Element 9
Periodical Element 12
Element 13
Master‘s Review Mgmt. Review
External Audits
Reports & Analyses N/C, Accidents, Incidents
Internal Audits
DPA shall assess results ISM measurement tools Designated Person Ashore (DPA)
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Remember: Assessing SMS performance Assessing results of internal audits Assessing follow-up of internal audits Assessing master‘s reviews Output
Input
Assessing of non-conformities
Reports & Data
Assessing external safety reports Assessing potential risks Assessing accidents and incident
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DPA‘s Preparation of Management Review
Measurement by Performance Indicators
Shipping Performance Indexes
SPI Key Performance Indicators
KPI
Aggregated expressions of performance within a particular area with objective to give external stakeholders information about the overall performance of a ship Expressions of performance within a specific area with the objective: • measure for continuous improvement • measure for internal and external benchmarking • measure to set incentives Directly observable and measurable data.
Performance Indicators
PI Designated Person Ashore (DPA)
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The only elements that must be reported manually or by means of implemented ICT solutions
www.shipping-kpi.org
Measurement by Performance Indicators (sample) Navigational Safety Performance Description: Navigational Safety Performance is an expression of safe navigation and absence of navigational deficiencies.SPI004 is measured in ‚%‘. Formula: Dependencies:
Source: www.shipping-kpi.org Designated Person Ashore (DPA)
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Module 7 Activity
Performance Indicators: Please define -
Performance Indicators (PI)
-
Key Performance Indicators (KPI)
-
Shipping Performance Indicators (SPI)
for the Process you described in Module 2. You may use the “Shipping KPI Standard” under www.shipping-kpi.org Designated Person Ashore (DPA)
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Module 7 – What have we learned? Technical aspects of safety management on board
Operational aspects of safety management incl. organization of shore based support
Process approach of safety management
Monitoring & measurement by the DPA
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Course Navigator E
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Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Understanding operations of a shipping company
After this module, you will understand… … organizational structure of shipping companies … ISM relevant interfaces in shipping companies … stakeholders (interested parties) in shipping business … an integral model for understanding organizations
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Shipping company in context of ISM What does „shipping company“ actually mean ? Commercial definition: Legal entity that owns and operates the freight or passenger ships
ISM definition: Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all the duties and responsibility imposed by the Code „Ship Manager“ = DoC Holder Designated Person Ashore (DPA)
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Legend:
yellow = commercial blue = operational
General types of companies
red = ISM relevant
„classical“ integrated shipping company
Ship Owner = Ship Operator
Ship Owner
or
(usually Bareboat Charterer)
Hiring of external management services
Ship Management Department Technical Management
Charterer
Management Contract
Nautical Management
Ship Management Company
Crew Management
Technical Management DoC-Holder
Nautical Management Crew Management Contract External Crew Management Crewing Agent Designated Person Ashore (DPA)
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Crew Management DoC-Holder
ISM relevant interfaces „classical“ integrated shipping company
Ship Owner
and /or
Charterer (usually Bareboat Charterer)
Ship Owner
or
(usually Bareboat Charterer)
Ensuring adequate resources
Ship Management Department Technical Management
Charterer
Management Contract
ISM 3
Nautical Management
Ship Management Company
Crew Management
Technical Management DoC-Holder
Nautical Management
ISM 6 Supervision of crew certification
Crew Management Contract External Crew Management Crewing Agent
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Crew Management DoC-Holder
Supervision of crew certification
ISM 6
Commercial
Stakeholders (interested parties) in shipping Operational
Example:
ISM relevant
Insurance
Others:
Ship Owner
Broker
Mgmt contract
Ship Management Company
• Flag St • Port St • Class
Cargo Vessels:
Charterer
Crewing Manager
Agent
Passenger Vessels:
Tour Operator (Charterer)
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- Master -
Crewing Agent
Commercial
Stakeholders in shipping – potential ISM conflicts Operational ISM relevant
Insurance
Ship Owner
Broker
Mgmt contract Ressources
Ship Management Company
Others:
• Flag St • Port St • Class
Cargo Vessels:
Charterer
Crewing Manager
Agent
Passenger Vessels:
Tour Operator (Charterer)
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Direct influence
MLC 2006
Ship - Master -
Crewing Agent
Typical organization of a Shipping company Example: Management Quality and Safety Management
Human Resources Management
Fleet Management
Nautical Management
Commercial Management
Purchasing Potential conflict of interests
Technical Management
Chartering Freighting
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Financial Management
Risk perception of stakeholders (remember module 6) Port State Control – at risk: ”Safety of the ship and the crew”
Crew – at risk: ” My monthly salary – and no personal accidents”
Banks – at risk: ” Cash flow – want my money back”
Ship owner – at risk: ”Make money, no major accidents, maintain reputation”
Class – at risk: ”No accidents due to class related issues”
Cargo owner– at risk: ”No delays, contaminations or loss of reputation”
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Ship management – at risk: ”No injuries to personnel, delays or asset damages ”
Insurance – at risk: ”No serious accidents whatsoever on ship or environment”
Conflicting goals in shipping Officers and crew see several different goals and objectives, and some of these goals might at times be in conflict with one another… Revenue Goals
“If we stop for maintenance, we will be delayed and lose a good deal”
SMS Goals
“To be in compliance with the rest hour regulation”
Budget Goals
“The budget on spare parts is spent, and it’s only September”
Time Goals
“We are told to be in Rotterdam in 12 hours. Full speed ahead”
Could there possibly be conflicting goals on safety in some circumstances that might result in safety not being the top priority? Designated Person Ashore (DPA)
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Understanding the Organization in its context
Soft factors (human relations) Employee's capabilities Employee‘s motivation Company Values
internal
Team Spirit
Hard factors (data & facts) Vessels technical specifications & conditions Company‘s financial data Technical infrastructure
Customer relations
Legal Framework
Shareholder relations
Market Framework (prices, rates, etc.)
Market culture
external
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Technological Framework Financial Framework (banking , taxes, etc.)
Integral model (module 10)
Role of Human Element – IMO MSC 81/17/1 ISM Code compliance could be made easier through a reduction in the administrative process by: 1. streamlining and reducing the paper work that supports ISM compliance, particularly the SMS; 2. greater use of technology and IT to reduce paperwork; 3. identifying common areas in the ISM Code and for example the ISPS Code and integrating documentary requirements; 4. motivating seafarers to use the reporting and monitoring systems in the improvement of safety management systems; 5. involving the seafarers in the development and continual improvement of ISM manuals; 6. increased integrated training for all concerned; 7. exploring measures to reduce the cost of compliance; 8. improving ISM compliance monitoring and developing performance indicators; Designated Person Ashore (DPA)
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Module 8 – What have we learned?
Organizational structure of shipping companies
ISM relevant interfaces in shipping companies
Stakeholders (interested parties) in shipping
Importance of human element
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Understanding Auditing
After this module, you will understand and know… … reasons for auditing … basic aspects of auditing … differences between audits and inspections … qualification requirements for internal auditors … audit findings as source for improvement
Learning Objectives Designated Person Ashore (DPA)
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Why Auditing ? Definition as per ISO 19011:
A systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria (set of policies, procedures or requirements) are fulfilled
An audit is an effective and reliable tool in support of management policies and controls, providing information on which an organization can act to improve its performance. (ISO 19011:2011 – “Guidelines for auditing management systems”)
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Why Auditing ?
Compliance with regulations
Internal processes / procedures
Verify compliance with regulations Verify effective implementation of processes / procedures Verify suitability of processes / procedures
Contribution to continual improvement of the organization’s performance Input for the management review
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The Audit is both:
Mirror
Magnifying glass
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Remember: Levels of Human Failure (Module 6) 1.Immediate Causes 2. Basic Causes /Factors
An audit is the best opportunity to dig for the roots
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4.Soil Factors /”Environment”
What is an „audit“ ?
The aim of an Audit is to FIND FACTS, NOT FAULTS. An audit is not a Safety Inspection.
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Differences between Inspection & Audit
Inspections
Audit
Physical condition = Output Test = Output (does it work)
Physical condition = Input Test = Input
Immediate repair Corrective actions
Symptoms of a problem? (Root) Causes? Preventive actions Control / Risk Management
The Output of an Inspection is the Input for an Audit Designated Person Ashore (DPA)
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Types of Audits Internal Audits: within own Company by company auditors External Audits: Supplier / Certification audit
First Party Audit: audit conducted within own Company (Internal Audit) Second Party Audit: audit conducted by client in organisation of own supplier or subcontractor (External Audit/ Vetting Audit) Third Party Audit: audit conducted by or on behalf of a regulatory-/ or certifying body (External Audit).
Types of audits according to ISO 19011 Designated Person Ashore (DPA)
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Qualification of Internal Auditors Defined in the ISM Code - chapter 6.4 & 6.5 Clause 6.4 The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines. Clause 6.5 The company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.
Competence of internal auditors may be verified during external audits
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Qualification of Internal Auditors ISO 19011 contains qualification criteria: Professional training Professional experience – Ship operation – Relevant types of ships – Shore organization of a shipping company Auditor training course Practical audit experience Independence of auditor
Further knowledge in: – – – –
Business processes Company Management System Standards and codes: ISM Code, ISPS Code, MLC 2006, STCW, Etc. Rules & Regulations: SOLAS, MARPOL, IBC Code, Etc.
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Auditor training courses ?
Maritime Academy Courses: INTERNAL AUDITOR ISM, ISPS AND MLC 2006 INTERNAL AUDITOR OF AN INTEGRATED MANAGEMENT SYSTEM
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What could be the result of an Internal Audit? Everything is working fine – Audit report – Suggestions for improvement
Findings – Non-compliance report(s) – Observations – Non-Conformity – Audit report – Suggestions for improvement
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What is an Observation ? 1. Something was found, which may lead to a NC in the future
2. General suggestions to avoid system failure or to improve the system Designated Person Ashore (DPA)
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What is an Non-Conformity ? Non-conformity: (definition of a as in the ISM Code 1.1.9) “An observed situation where objective evidence indicates the nonfulfilment of a specified requirement” 1. Specific requirement (SMS, R&R, legal, etc.) 2. Non-fulfilment of the requirement 3. Objective evidence
Major Non-conformity: (definition of a as in the ISM Code 1.1.10) “An identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code” Designated Person Ashore (DPA)
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Objective evidence: Data supporting the existence or verification of something (definition ISO 9000)
Quantitative or qualitative information Factual records or statements pertaining to safety or to the existence and implementation of an SMS element Based on Observation, Measurement or Test and which can be verified. Physical evidence Formal statements of responsible personnel Performance as shown Execution of duties Records and other documentation Facts, not opinions
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Module 9 Activity
Analysing an audit report Non-conformity (See handout)© DNV GL
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A-
Remember module 3: Continual improvement Improvement is not just a technical issue:
Human capability
Technology
Management System
Market environment
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Legal and contractual framework
DNV GL Fit for Purpose
Audits designed for your company – We do not use generic checklists, but tailor the audit to your needs. You get the most out of your SMS – Where traditional audits only focus on conformity with detailed requirements, we look at the overall effectiveness of your SMS and assess whether it is helping you reach your desired results. Combined audits – We will utilize overlapping requirements in ISM, ISPS and MLC to combine audits. Data smart audits provide insight on your competitiveness – We incorporate industry performance data and dashboards into our analysis, to support you in proactively identifying improvement opportunities and managing risk. Designated Person Ashore (DPA)
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DNV GL Fit for Purpose
The benefits: Our audits do not just verify compliance, but also focus on the aspects that are important for you. Our support allows you to leverage the full potential of your SMS and achieve your operational goals. Audits are more time-effective - fewer interruptions and reduced administrative burden. Audit results are richer and more meaningful. https://www.dnvgl.com/maritime/fit-for-purpose/ Designated Person Ashore (DPA)
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Module 9 – What have we learned?
Reasons for auditing and basic aspects
Differences between audits and inspections
Qualification requirements for internal auditors
Audit findings as source for improvement
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Importance of Good Communication as DPA
After this module, you will be able to… … understand the model of human communication and „mental programming“ … use an integral approach for understanding difficulties in communication … be familiar with concepts to avoid communication failures … be familar with communication planning
Learning Objectives Designated Person Ashore (DPA)
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Remember Module 1: Communication lines of the DPA Management Communication with Company‘s management
Designated Person
Communication with ship‘s command & crew
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It‘s all about communication ! Communication is more than talking, reading, writing, procedures Communication is also exchanging ideas, information and knowledge between individuals, and between crew and management ashore Ability to convey information by word of mouth and/or by written communication is important to the safety of ships’ crews, visitors and passengers and to the wellbeing of crews.
But what is good communication ?
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Which is the right view ?
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#1
Which is the right view ?
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#2
Which is the right view ?
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#3
Communication challenge: different thinking of people
Soft factors (non-measurable)
individual
Mind:
Body:
• Psyche • Character • Sum of own
• • • •
experiences
collective
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Hard factors (measurable)
Physical Personal health Gender Outside appearance
Culture (religion):
Social System:
• • • •
• • • • •
Values Rituals Heroes Symbols
Integral model
Nation Working and living conditions Legal System Financial / Tax System Technologies
Based on: Ken Wilber‘s Integral Theory
Trainer info: Integral model: quadrants
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Model of human communication Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Message received
usually different
How to avoid communication failures ?
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Receiver
Avoiding communication failures: Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Feedback
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Message received
Receiver
Avoiding communication failures: Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Message received
Receiver
Establish a Standardised Language / Professional Communication
technical terminology and wording
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atmosphere open and constructive
actively listening and asking
sharing information / transparency
Receiving confirmation
Communication is driven by “mental programming"
Personality Specific to individual / inherited and learned
Culture Specific to group / learned
Human Nature universal / inherited
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Source: Hofstede / Minkov Cultures & Organizations: Software of the mind, 3rd edit.
Reminder: Examples for indices of mental programs: Hofstede / Minkov Cultures & Organizations: Software of the mind, 3rd edit.
Power Distance Index (PDI) Degree of individualism in society – Individualism Index (IDV) Masculinity vs. Feminity – Masculinity Index (MAS) Uncertainity Avoidance Index (UAI) Long Term Orientation Index (LTO) Subjective well-being (SWB)
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Module 10 Activity Intercultural Communication European vs. Asian thinking The underlying belief systems are more difficult to recognize than the visible cultural differences. Try to identify the differences between European and Asian thinking !
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Activity European vs. Asian thinking Pursuit of harmony
Asia
More direct communication
Europe
Individualism
Europe
Relationship orientation
Asia
Issue based dialogue
Europe
Pursue conflict avoidance
Asia
More linear thinking
Europe
Group orientation
Asia
More indirect communication
Asia
Addressing problems
Europe
Conceptualize thinking
Europe
Culture of dispute
Europe
Hierarchical thinking
Asia
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Developing communication skills 2 key areas:
Building relations - listening actively - showing empathy - demonstrating understanding
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Formal reporting - evidence of communication - clarification of open / unclear points - basis of feedback
Developing communication skills Planning communication: 1. Define objectives – What to achieve and what response to create ? 2. Define key messages – What information to convey and what priority ? 3. Information about audience – What the audience already knows and what they need to know ? – What barriers/objections may prevent messages getting through ? – What level of formality ? 4. Selecting channels / media – What is the best way to deliver the message ? 5. Evaluation and feedback – How to find out if communication was effective ? Designated Person Ashore (DPA)
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Module 10 – What have we learned? The model of human communication and „mental programming“
An integral approach for understanding difficulties in communication
Concepts for avoiding communication failures
Communication planning
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Open Book Examination
30 minutes are available
70% correct answers are necessary to pass the test Multiple-choice questions
You may refer to course materials but be aware of the time available
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Course Closing
Any questions? Do you have any further questions? Have we met your expectations?
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Course Closing
Feedback How did you like the course? Please give us your feedback on the assessment forms
Certificates Distribution of course certificates
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Thank you very much for your attention! We hope to welcome you again soon
Maritime Academy Philippines Email: [email protected] Phone: +63 2 836-7731
www.dnvgl.com
SAFER, SMARTER, GREENER Designated Person Ashore (DPA)
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SAFER, SMARTER, GREENER
The Participants
Name Company Position / Duty Experience with the Topic Expectations about this Course
Please introduce yourself Designated Person Ashore (DPA)
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Organisation and Safety Matters Course documentation Electronic Handout Activities Documentation
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Practical information
Smoking policy
Mobile phones
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Restrooms
Emergency exits
Time keeping
Course Assessment
Course Certificate
Learning Objectives After this course you should have acquired
Capabilities about appropriate management techniques
Ability to implement and maintain a Safety Management System
DPA
Skills in developing and communicating Safety Culture
Understanding of the ISM Code and legal framework
This course fulfils the IMO MSC-MEPC.7/Circ.6 GUIDANCE ON THE QUALIFICATIONS, TRAINING AND EXPERIENCE NECESSARY FOR UNDERTAKING THE ROLE OF THE DESIGNATED PERSON UNDER THE PROVISIONS OF THE INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE Designated Person Ashore (DPA)
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Timetable Day 1 Time
Topic
09:00-09:15
Introduction
09:15-11:00
Module 1: Requirements for the DPA in the 21st century
11:00-11:15
Coffee Break
11:15-11:45
Module 2: Maritime Management Systems
11:45-13:00
Module 3: Principles of modern Management systems
13:00-14:00
Lunch
14:00-15:15
Module 4: The ISM Code from DPA’s point of view
15:15-15:30
Coffee Break
15:30-16:00
Module 4: The ISM Code from DPA’s point of view
15:00-16:45
Module 5: Mandatory regulations, codes, guidelines & standards
16:45-17:00
Closing
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Timetable Day 2 Time
Topic
09:00-09:15
Opening – Recap day 1
09:15-11:00
Module 6: Assessment techniques
11:00-11:15
Coffee Break
11:15-11:45
Module 6: Assessment techniques
11:45-13:00
Module 7: Technical and operational aspects of safety management
13:00-14:00
Lunch
14:00-14:45
Module 8: Understanding operations of a shipping company
14:45-15:15
Module 9: Understanding auditing
15:15-15:30
Coffee Break
15:30-16:00
Module 10: Importance of good communication
16:00-16:30
Examination
16:30-17:00
Closing
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Module 1 – The role of DPA in the 21st century
After this module, you will know & understand… … the role of the DPA … the DPA‘s responsibilities, authority and accountability … the qualification, training and experience requirements … the challenges for the DPA in the 21st century
Learning Objectives Designated Person Ashore (DPA)
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Why Designated Person (DPA) ? 1. Maritime legislation: ISM-Code Element 4
To ensure the safe operation of each ship and to provide a link between the company and those on board, every company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and to ensure that adequate resources and shore-based support are applied, as required.
2. Growing importance of developing and maintaining efficient management systems
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History of the DPA
• Idea introduced by the UK delegation to IMO • Lessons learnt from the “Herald of Free Enterprise” accident (1987) Lack of accountability at various levels of shore management Shore management did not assume responsibility to deal with problems reported by the Master No corrective/preventive actions had been initiated
• Laid down in the UK Merchant Shipping Regulations (1988) • Included in the ISM Code (Chapter 4) as a major requirement
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Designated Person (MSC-MEPC.7/Circ.8)
• Key role in the effective implementation of the SMS • Verification and monitoring of all safety and pollution prevention activities – Communication and implementation of the policy – Evaluation and review of the effectiveness of the SMS – Reporting and analysis non-conformities, observations, accidents – Organizing, monitoring internal audits – Revisions to the SMS – Ensuring that adequate shore base support are provided by the company
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Designated Person (MSC-MEPC.7/Circ.8)
• Company to provide adequate resources and support – Personnel resources – Material resources – Training – Defined and documented responsibility and authority
–
Authority reporting non-conformities and observations to the highest level of management
DPA should have qualifications, training and experience as set out in MSC-MEPC.7/Circ. 6 to effectively verify and monitor the implementation of the SMS Refer to course documentation
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Qualification requirements as per ISM Code
ISM-Code 6.4: The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines ISM-Code 6.5: The Company should identify any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned
The requirements for the DPA are specified by MSC-MEPC/Circ. 6
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MSC-MEPC.7/Circ. 6 – Qualification requirements Minimum of formal education:
• Within a relevant field of management, engineering or physical science (recognized by the Administration or RO), or,
• Seagoing experience as a certified ship officer, or, • Other education combined with not less than three years practical senior level experience in ship management operations
Refer to course documentation
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Photo: P. Werner
MSC-MEPC.7/Circ. 6 – Training requirements Required training related to SMS: Knowledge and understanding of the ISM Code
• Mandatory rules and regulations • Applicable codes, guidelines and standards • Assessment techniques (examining, questioning, evaluating and
Our course Module 4 Module 5 Module 5 Module 6
reporting)
• Technical or operational aspects of safety management • Knowledge of shipping and shipboard operations • Participation in at least one marine-related management system
Module 7 Module 8 Module 9
audit
• Effective communications with shipboard staff and senior management
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Module 10
MSC-MEPC.7/Circ. 6 – Experience requirements Experience in:
• presenting ISM matters to management and gaining sustained support for SMS improvements
• assessing effectiveness of the SMS using principles of internal audit and management review
–
compliance with the requirements of the ISM Code
–
compliance with rules and regulations
• assessing whether the safe practices recommended by maritime industry influencers to promote a safety culture have been taken into account
• gathering and analyzing data and applying lessons learnt Refer to course documentation Designated Person Ashore (DPA)
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MSC-MEPC.7/Circ. 6 – Company requirements The Company should provide training courses covering:
• qualification • training • experience • appropriate procedures connected to compliance with the ISM Code including practical training and continuous updating
Documentary evidence to be provided by the company
Refer to course documentation Designated Person Ashore (DPA)
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FYI: Special Flag State requirements may apply Liberia
• Nominate the Designated Person(s) to the Office of the Deputy Commissioner of Maritime Affairs
• Designated Person must be able to be contacted by the above office at any time
• Independence and authority to report deficiencies Cyprus
• Back-up nominated and available • Familiarity with policy and all safety and environmental protection aspects of Company vessels
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DPA – the link to the Top Management Management Direct access to Company‘s management
Designated Person Several DPA possible to be defined in the SMM !
Monitoring safety and pollution prevention aspects Requesting resources and shorebased support Contact point for all safety and pollution prevention matters
All ship‘s crew must have direct access to the DPA
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DPA – the link to the Top Management
• Position of the DPA to be formally established • Participation in management meetings • Participation in management reviews • Reporting about the safety and environmental
prevention aspects of the operation – deficiencies – risks, restrictions, observations – incidents, accidents, hazardous occurrences, non-conformities
• From the legal point of view top management is always informed and therefore potentially liable – If the CEO hears nothing from his DPA, he is obliged to ask – If the reports state that the operation is smooth, the CEO should ask how that could be
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Position of the DPA Duties and responsibilities of Designated Person ashore:
Designated Person According to ISM-Code
Monitoring & Supervision
Additional task assignment
Possible conflict of interest
Development & Maintenance Usually: Tasks of Marine Superintendent
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Module 1 Activity Describe the duties & responsibilities of the DPA Group A) according to the ISM- Code Monitoring & supervision the SMS Group B) possible practical assignments Development & maintenance of the SMS
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Accountability of the DPA DPA may be personally accountable for his actions
Uncertainties:
• Jurisdiction in the countries regarding pollution claims • Exposure to claims by third parties • Defence of the DPA at the discretion of management • Actions of lawyers, insurers, charterers (oil majors), administrations • Real cases are not available But be always aware: If there are incidents: the DPA is always in the firing line Photo: P. Werner – stranding at Priwall beach Designated Person Ashore (DPA)
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Accountability of the DPA
info
DPA may be personally accountable for his actions UK Law:
• UK Law requires: − compliance with SMS − ensure that proper provision is made for each ship to be manned, equipped and maintained that it is fit to operate in accordance with the SMS and statutory requirements
• DPA could be liable for a fine or imprisonment of up to two years for failing to perform his functions (UK flag ships, ships calling UK ports) − defence is possible (reasonable precautions, due diligence) − so far no case in the UK
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Accountability of the DPA
info
A few examples have arisen in other parts of the world: Case „Frejy Jutlandic“ DPA of a Danish company instructed the ship by telex not to report a leak and the temporary repair to the USCG (a fine was evoked) Possibly the most widely reported was the incident involving the „Frejy Jutlandic“. It appears that criminal prosecutions were commenced by the US federal prosecutors against the owners, operators, master and DP of the vessel. The main allegation against the DP seemed to be that he had instructed the master to conceal from the US Coast Guard some temporary and potentially hazardous hull repairs which had been carried out. It was further alleged that the DP had conspired with the master to falsify log books and to avoid expenses to maintain a safe and seaworthy vessel. The US prosecutor alleged that there had been oily water discharges from the vessel which occurred during a number of calls in the United States. The penalty facing the DP, if convicted, was up to five years imprisonment and a criminal fine up to US$250,000 under each charge. The prosecution appears to have been frustrated for a number of reasons, partly because the owners and operators declared themselves bankrupt in Denmark. However, the principle had been well and truly established in the US that the DP is clearly identifiable and does have specific responsibilities for safety and pollution prevention. The DP is, therefore, exposed to being personally cited in both civil and criminal proceedings. Designated Person Ashore (DPA)
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Accountability of the DPA
P&I insurance may not cover liabilities of the DPA
• DPA may be personally accountable for his actions irrespective of the responsibilities of his employer
• there is a conflict of interest (dispute) between DPA and the Company • the Company might not stand in for the DPA • the Company declares bankruptcy Designated Person Ashore (DPA)
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info
Potential „critical points“ for the DPA: Samples:
No support from the Top Management adequate resources can not ensured
Effective access to Top Management not given in practise
DPA is a Senior Manager
Possible conflict of interest from supervising and maintaining the SMS at the same time
DPA is just „formally“ appointed to comply with the ISM-Code DPA is overloaded with other functions
Communication and information flow between ship & shore „disturbed“ No authority of Designated Person (not taken seriously)
Lack of competencies, training and skills
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Desirable personal qualities and skills of a DPA:
• Act as an advisor and supporter, not a policeman • Ability to assess, judge and motivate • Independent • Reliable, precise and thorough • Prepared to take challenges • Remain calm in a crisis • Sensitive to different cultures • Recognize the crew’s limitations • Create a sense of community • Communicate clearly and listen well •… Designated Person Ashore (DPA)
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BRAINSTORMING: Challenges for a DPA today and in future
Increasing complexity New technologies in shipping Digitalization Legislation behind technological developments Gaps between training and performance demands Generation “Z“ Rapid changes in business environments Increasing pressure towards cost reduction ...and much more https://www.dnvgl.com/news/business-leaders-world-wide-agree-and-commit-to-disruptive-technologies-driving-sustainability-84470 Designated Person Ashore (DPA)
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To meet the challenges of the 21st century
• Deep understanding of management systems • Capabilities to manage complex structures and situations • Modern leadership & communication skills • Ability to take an independent and long-term view • Forward thinking & innovative • …and more
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Module 1 – What have we learned?
The role of the DPA
The DPA‘s responsibilities, authority and accountability
The qualification, training and experience requirements
The challenges for the DPA in the 21st century
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W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Maritime Management Systems
After this module, you will be familiar with… … applicable management systems in shipping industry … interrelations between the standards … general functioning of company‘s organzation … potential of management system‘s integration
Learning Objectives Designated Person Ashore (DPA)
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Definition from Wikipedia
A management system is the framework of policies, processes procedures used by an organization to ensure that it can fulfill all the tasks required to achieve its objectives
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Every organization has management systems But Management systems are depending on company’s organization:
Hero
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Department
Process
Management systems in shipping Mandatory Standards:
ISM Code International Safety Management ISPS Code International Ship and Port Facility Security MLC 2006 Maritime Labour Convention
Voluntary Standards:
ISO 9001:2015 Quality Management ISO 14001:2015 Environmental Management ISO 50001:2011 Energy Management
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ISO 45001:2018 Occupational Health & Safety Management
info
Management systems in shipping ISM Management System
ISPS
MLC
Codes (but containing elements of Management Systems)
Mandatory
ISO 9001
ISO 14001
ISO 50001
ISO 45001
Management Systems
Voluntary
Safety and Environment al protection
Security Ship & Ports
Labour rights
Quality
Environment
Energy
Occupational Health & Safety
Avoidance of damage to • Human • Environm ent • Property
Protection of the ship, persons, cargo, cargo transport units, ship‘s stores
Protecting seafarers‘ rights • fair terms of employment • decent living and working conditions • health protection, medical care, welfare
Meeting of requirements of interested parties
Legal compliance
Improvement of Energy Performance incl. energy efficiency and consumption
Prevention of work-related injury and ill health to workers
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Customer satisfaction Continual improvement
Reduction of environmenttal impact
Provide safe health and healthy workplaces
info
ISM-Code Objective: improvement of safety and environmental protection by means of a management system Inclusion of a new chapter IX into SOLAS Ratification by Flag states Implementation into Flag state legislation Enforcement / control by Flag state (own vessels) and Port state (all SOLAS vessels calling ports) Applies for Office & Ships Amendments to the ISM Code came into force on 1st July 2010 by Resolution MSC.273 (85) and by MSC.353 (92) on 1st January 2015
Entry into force: 1998/2002 Valid for all SOLAS ships Certificate(s): SMC/DOC Designated Person Ashore (DPA)
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info
ISPS-Code Objective: detect security threats and take preventive measures against security incidents affecting ships or port facilities used in international trade Inclusion of a new chapter V, chapter XI-1 & XI-2 in SOLAS - Amendments to SOLAS came into force by Diplomatic Conference 9 - 13 December 2002 Ratification by Flag states (vessels), Port states (ports) and Coastal states (territorial waters) Implementation into Flag, Port & Coastal state legislation Enforcement / control by Flag state (own vessels) and Port state (all SOLAS vessels calling ports) Entry into force: 2004 Applies for Ships only Valid for all SOLAS ships Certificate(s): ISSC Designated Person Ashore (DPA)
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info
MLC 2006 Objective: to establish decent working and living conditions for all seafarers worldwide Addresses maritime labour issues (people) as well as hardware issues Convention established 2006 but entered into force on 20th of August 2013, one year after registering 30 ratifications of countries representing over 33% of the world gross tonnage of ships Ratification by Flag states Implementation into Flag state legislation Enforcement / control by Flag state (own vessels) and Port state (vessels calling ports) Applies for Ships only
Entry into force: 2013-08-20 Application for all seafarers serving on commercial vessels over 500 GT Certificate(s): DMLC I + II, MLC Certificate
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ISO 9001:2015 – Quality Management
info
Objective: achieving a not decreasing level of customer satisfaction by meeting customer needs and expectations within an organizational environment which is committed to continual improvement Developed & published by the “International Organization for Standardization” (ISO) New revision entered into force: 15th of September 2015 Not product or service standard - can be used by all kinds of product manufacturers and service providers Voluntary implementation by the Company Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 9001:2015 Certificate for entire Company issued by certification body (e.g. class) after verification (audit) Designated Person Ashore (DPA)
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ISO 14001:2015 – Environmental Management Objective: Legal compliance and reduction of environmental impact Developed & published by the ISO New revision entered into force: 15th of September 2015 Voluntary implementation by Company Not product or service standard - can be used by all kinds of product manufacturers and service providers Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 14001:2015 Certificate for entire Company issued by certification body (e.g. class)after verification (audit)
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info
ISO 50001:2011 – Energy Management
info
Objective: to support organizations in all sectors to use energy more efficiently Developed & published by the ISO Last issue 2011 - currently under revision Application for entire Company (office & ships) as management system standard Voluntary implementation by Company Addresses energy use and consumption, including measurement, documentation and reporting, design and procurement practices ISO 50001 is data driven and focuses on energy performance improvement - ISO 14001 provides more qualitative look at all significant environmental impacts ISO 50002:2014 - energy audit in relation to energy performance Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate: ISO 50001:2011 Certificate for entire Company issued by certification body (e.g. class) after verification (audit) Designated Person Ashore (DPA)
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ISO 45001:2018 - Occupational Health and Safety
info
Objective: Prevention of work-related injury and ill health to workers; provide safe health and healthy workplaces Based on British Standard BS OHSAS 18001 (OHSAS = Occupational Health and Safety Assessment Scheme Published by the ISO 12th of March 2018 as OH&S management system (OH&S = Occupational Health and Safety) Voluntary standard - helps organizations to control and improve OH&S risk by implementation of management process Addresses conditions and factors that affect the well-being of all workers related to the organization’s operations - can be used by all kinds of product manufacturers and service providers. Application for entire Company (office & ships) as management system standard Neither regulation nor legislation – not subject of control by Port state / Flag state Certificate(s): ISO 45001:2018 Certificate for entire Company issued by certification body (e.g. class)after verification (audit) Designated Person Ashore (DPA)
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Integrated Management System Integrated Management System (IMS) MLC ISO 45001
ISPS
ISO 9001
ISM
ISO 14001 ISO 50001
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How to integrate Management systems ?
Maritime Academy Course: IMPLEMENTING AN INTEGRATED MANAGEMENT SYSTEM TO HANDLE COMPLEXITY IN SHIPPING
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Module 2 – What have we learned? Applicable management systems in shipping industry
Interrelations between the standards
General functioning of company‘s organization
Potential of integrated management system
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Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Principles of Maritime Management Systems
After this module, you will be familiar with key principles of modern management systems: … PDCA-cycle … Process approach … Risk management … Continual improvement
Learning Objectives Designated Person Ashore (DPA)
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What are the key principles of modern Management Systems ? 7 quality management principles (QMP) according to ISO 9001:2015
Focus Leadership Engagement of people Process approach Continual improvement Evidence-based decision making Relationship management
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Planning “For a ship without a harbour, any course is wrong“ - Seneca
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Planning
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Processes All activities are (part of) a Process Every process has one or more Objectives Every process has Steps Every process has Input and Output For each process one or more Performance Indicators can be identified
Input
System
Processes
Improvement Designated Person Ashore (DPA)
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Processes Process Control (Verification and Evaluation)
Risks & Opportunities
Requirements Specifications
First process step
Services Materials Energy Data
Input
Final process step
Process
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Services Products Energy Data
Output
interface
interface Resources
Objectives (measurable)
Documents (records & data)
Monitoring Measurement
Processes • • •
In each process things may go wrong If this may lead to serious consequences it is deemed “critical” If critical: break down into more detailed (sub-) process steps.
Identify (Sub)Processes Identify Process Steps Process
Identify Critical Steps and Zoom in as appropriate Designated Person Ashore (DPA)
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Process vs. Procedure
A process is: “what we do” A procedure is: “how we do it”
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Processes – sample solution Process Control as part of ISM Element 9 + 12 Crew Complement based on STCW, MLC, SOLAS, ISM,
Risks: Availability of Crew, Performance of Manning Agencies Opportunities: Saving costs by avoiding incidents, good reputation
Crew Performance Evaluation
Recruitment Contract with Manning Agency incl. defined qualification requirements
Input
Interface to contracting Budget, ISM Element 6 Designated Person Ashore (DPA)
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ZERO qualification related deficiencies (external+internal), Crew Performance
Process
Output
Fulfilment contractual and legal requirements, Excellent crew performance
Interface to all shipboard processes
Certificates of Competency/Endorsements SEA Deficiency / NC reports
Number of Incidents raised by PSC, FSC
Module 3 Activity Process description: Please describe the process steps and the process environment (input & output, interfaces, objectives, requirements, resources, documents) for the following processes: -
Maintenance
-
Bridge Operations
-
Cargo Operations
-
Planning of safety drills, training & exercises
-
Developing and updating of SMS documentation
-
…or any process which meets the interest of the participants
Each team should choose one of the above processes Please use the ”Process Chart” Designated Person Ashore (DPA)
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Risk Management Seamanship = Risk Management
Module 6
Risk Management = Balancing Opportunities & Risks Designated Person Ashore (DPA)
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Balancing Cost vs. Benefits
COSTS BENEFITS
Cost-Benefit Analysis is used to assess different options for risk control / reduction
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Benefits •
Reducing risks: – Severity – Likelihood – Both severity & likelihood
•
Increased opportunities
•
One measure can be effective across a number of hazards Typical benefits: Reduced risk (e.g. saved lives, reduced pollution) Reduced accident costs Increased reliability Increased utilisation Contribute to company image
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COSTS BENEFITS
Costs
•
Cost of implementation of measure
•
Investment and / or annual cost
COSTS BENEFITS
Typical costs: Investment in new equipment Annual upgrading Increased maintenance costs Additional training
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Quantification is Often Necessary •
Both costs and benefits should be quantified to find the balance
•
Costs are often easy to estimate COSTS
•
Benefits are more difficult, e.g.:
BENEFITS
– Risk reduction for loss of lives How much is a life worth? – Risk reduction for loss of reputation Long term business impact
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Slide 64
Managing risks is not a company-internal issue anymore Stakeholders - from Few to Many!
Shareholders
Owner / Crew
Crew Owner
Board of Directors Bank
Class
Bank
National rules
1880
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EU, USCG, … Outsourcing & co-operation
Class
Society at large
PSC
Insurance
Charterer
2009
Cargo owners, vetting
Continual improvement Just 50 years container shipping:
Tremendous improvements in ship‘s size ship‘s technology management performance
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http://www.mehrcontainerfuerdeutschland.de/schiff-ahoi/infografik-schiffsgroessen-im-vergleich/?print=print
Continual improvement ...and further improvements will be:
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Continual Improvement
Towards new opportunities in shipping Designated Person Ashore (DPA)
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Continual improvement Electronic certificates
With electronic certificates from DNV GL, • owners and other stake holders can save time and money because of a reduced administrative burden, • paper handling is eliminated (printing, scanning, archiving), • certificates can be easily shared with Stakeholders, • the latest certificates are always made available on My DNV GL • there is no risk of losing a certificate More information: https://www.dnvgl.com/maritime/electronic-certificates/index.html Designated Person Ashore (DPA)
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Continual Improvement Improvement is not just a technical issue:
Human capability
Technology
Management System
Market environment
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Legal and contractual framework
Module 3 – What have we learned?
PDCA-cycle
Process approach
Risk management
Continual improvement
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LUNCH BREAK Designated Person Ashore (DPA)
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Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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The ISM Code from DPA’s point of view
After this module, you will understand… … the background and development of the ISM Code … the requirements of the ISM Code from the DPA‘s point of view … „critical“ points of the SMS to be observed by the DPA …
Learning Objectives Designated Person Ashore (DPA)
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Why ISM ? Amoco Cadiz, 1978
Exxon Valdez, 1989
Herald of Free Enterprise, 1987
Estonia, 1994
Development of Guidelines, Rules and Regulations on the basis of maritime accidents
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Result: Changes to international Rules and Regulations
Reasons for Accidents Human Involvement Poor management standards ~ 20 % Technical reasons
Poor qualifications Communication problems Lack of motivation
~ 80% Human reasons
Fatigue Cultural differences
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ISM Code Requirements to develop and maintain an SMS
Individual Organisations (authorities, communication)
Relevance of procedures
ISM Code
Safety Culture
Structure of company‘s management system
SMS Designated Person Ashore (DPA)
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Implementation by Administrations
•
Administration means the Government of the State whose flag the ship is entitled to fly – refer to ISM-Code 1.1.3
•
Compliance with the Code is enforced and monitored by the Flag states
•
Guidelines on implementation of the ISM Code (Resolution A.1022(26)) –
•
Standards on ISM Code certification arrangements
The company and shipboard SMS must also comply with additional national requirements, if any
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Application by Companies
•
Legislation does not cover all the risks
•
Ships operate under a wide range of different conditions
•
Companies have tendency to comply with the absolute minimum
•
Necessary: Self assessment of operational risks and performance Implementation of ship specific safety measures based on self assessment
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SOLAS Chapter IX Six regulations
•
Definition
•
Application
•
Safety Management Requirements
•
Certification
•
Maintenance of conditions
•
Verification and control – control by flag State – control by port State
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ISM Code
Preamble Part A Implementation Element 1-12 Part B Certification and Verification Element 13-16 MSC-MEPC.7/Circ.8 Guidelines for Implementation
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ISM-Code Content Part: A
Implementation
• Element 1 • Element 2 • Element 3 • Element 4 • Element 5 • Element 6 • Element 7 • Element 8 • Element 9
General Safety and Environmental Protection Policy Company Responsibility and Authority Designated Person(s) Master's Responsibility and Authority Resources and Personnel Development of Plans for Shipboard Operations Emergency Preparedness Reports and Analysis of Non-conformities, Accidents, Hazardous Occurrences Maintenance of the Ship and Equipment Documentation Company Verification, Review and Evaluation
• Element 10 • Element 11 • Element 12
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ISM-Code Content Part B
Certification and Verification
• Element 13 • Element 14 • Element 15 • Element 16
Certification and Periodical Verification Interim Certification Verification Forms of Certificates
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Preamble
•
International standard for the safe management and operation of ships and for pollution prevention
•
System to safeguard the masters
•
Organization of management to respond to the needs of those on board ships
•
General principles and objectives applicable for all shipping companies and operating conditions
•
Widespread application, knowledge and awareness
•
Cornerstone is commitment of management at all levels
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Element 1 - General Definitions – Company (owner, manager, bareboat charterer) – Administration (flag State)
Objectives – Objectives of the Code – Objectives of the Company – SMS to ensure compliance with R&R and all applicable requirements
Application – See SOLAS IX/2 and may be applied to all ships
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Element 2 - Policy Clear commitment of the company to the following objectives
Safe ship operation Protecting human life Avoiding accidents Pollution prevention
Photo: P. Werner
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DPA should assess „critical“ points related to policy Asking the right questions ! Are the statements of the policy realistic ?
Does the management stand behind the policy ?
What does the „real life“ in the company show ?
Is the policy documented in the SMM ?
Does the policy explain by what measures these objectives will be achieved ?
Is the policy understandable to everybody ?
Does the policy indicate the objectives of the company which must comply with the ISM Code (1.2) ?
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Element 3 – Company responsibilities and authority
•
Define responsibilities for the operation of vessel Owners must report the full name and details to the Administration
•
Define and document responsibilities authorities and interrelation of all personnel
•
Provide adequate resources and shore based support to enable the DPA to carry out his function
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DPA should assess „critical“ points related to company‘s responsibility & authority Asking the right questions ! Are lines of hierarchy clearly defined ?
How are the interrelations between between shipowner / charterer and manager ?
Are sufficient resources available ? (human, financial Are there obvious Are there possible fields budgets) or immanent of conflicts related to conflicts between safety management positions ? arising from commercial Are all safety interrelations ? related duties and responsibilities clearly defined ? Do the persons assigned to safety relevant positions have the How the company is managed authority to perform ? and organised ? (Hero / Department / Process )
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Discussion: ISM related responsibilities
DISCUSSION Decide who is responsible for the following tasks, DPA ? Superintendent ? Managing Director ?
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Discussion: ISM related responsibilities Task – Responsibility of Communicating the company policy Assuring safe operation of vessels Ordering safety relevant spares Dealing with operational deficiencies Reporting safety issues to Top Management Monitoring safety management performance Monitoring maintenance performance Selecting qualified crew Determining the company policy Dealing with Flag state issues Assessing internal audits Reporting vessel’s performance to Owner Designated Person Ashore (DPA)
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DPA
Superintendent
Managing Director
Element 4 – Designated Person Therefore we are here !
See Module 1
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Element 5 - Master Responsibilities (to be clearly defined & documented) – Implementing and maintaining the Safety & Environmental policy on his ship – Verification and monitoring – Periodically reviewing the SMS – Reporting deficiencies to shore-based management – Issuing orders and instructions – Motivating the crew to observe the policy Authority – Requesting shore assistance whenever required – Overriding authority - IMO Resolution A443(XII)
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Master‘s obligation to act
Requirements Legal requirements Company requirements
Overriding authority
Hazards
Decisions based on Normal ship operations Emergency situations
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Master‘s review – key information for the DPA Overall purpose: • Information to the company on the degree of implementation of the SMS on board
• •
Fundamental reassessment effectiveness and efficiency of the SMS from the Master’s view Reporting of system related deficiencies to shore based management
Documented
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• •
Results of internal and external audits
• • •
Results of Own inspection
• • •
Risk assessments
• • •
Training results
•
Suggestions for improvement
Results of Port state control and Flag state inspection Results of classification reports Accidents, hazardous situations, near misses Deficiencies, weak points Qualification of the crew, experience, language skills, training needs, motivation Condition of ship and equipment Support of and communication with the office
Element 6 – Resources & Personnel Master
– – –
Proper qualification Conversant with the company SMS Given necessary support by ship and shore
Crew
– –
Ship sufficiently manned according to safe manning certificate Qualified, certificated and medically fit
On board familiarization related to
– – – –
Safety and environmental protection Function SMS knowledge Rules, regulations, codes and guidelines
Working language
– –
Information Communication
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DPA should assess „critical“ points related to management of human resources Asking the right questions ! How are the formal interrelations and responsibilities between parties involved in crewing defined ?
Are there any informal interrelations and responsibilities between parties involved in crewing ?
Are certificates of crew members accessible to the company if crew is managed by external party ?
Can all crew members understand and respond to safety related orders in the defined working language ?
How effective is the of training procedure ? Designated Person Ashore (DPA)
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How effective is the Procedure for verifying the crew qualifications by the Company ?
Are there sufficient Standing orders / Work orders issued on board ?
...and more !
Element 7 – Shipboard Operations
•
The shipping company must identify key shipboard operations which are relevant to safety and pollution prevention, based on: –
Mandatory rules and regulations or specific requirements
–
Ship type, cargo, trading area
–
Operational experience
–
Recommendations by IMO, Administrations, Class, Industry
–
Risk Assessments
•
Appropriate to the Company
•
Systematic methods - remember Module 2: Principles of Management systems Planning / PDCA Process approach Risk management
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Element 8 – Emergency preparedness
•
Company needs to identify potential emergency shipboard situations
•
Establish procedures to respond to them
•
Programs for emergency drills - for all defined emergency cases
•
Company’s organization must be able to respond to emergency situations at any time
•
ISM requires exercises for all identified emergency situations
•
Company has to identify training requirements and to establish training programs
•
Contingency Plans
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DPA should assess “critical points” for verifying effectiveness of emergency preparedness Asking the right questions ! Is the crew properly familiarized with the safety duties?
Are safety drills & exercises scheduled as per as per SMS
Are there any indications that the performance of safety drills is not sufficient? Are drills and exercises controlled by the company?
Is the Muster List up-to date?
Do the records reflect the reality ?
Are exercises of all contingency plans performed once per year?
Are records of drills & exercises properly documented?
...and more ! Designated Person Ashore (DPA)
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Element 9: Reports and Analysis of Non-Conformities, Accidents, Hazardous Occurrences Documentation of: – Accidents – Hazardous occurrences (Near Miss) – Non-Conformities
Procedures / Process for – Reporting – Investigation and analysis of causes – Elimination of deficiencies – Measures to prevent recurrence
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Corrective Action + Preventive Action + Source for continual improvement
What is an Incident / Accident / Near Miss ? An incident is an undesired event
Damage or injury (loss) ? NO
YES ACCIDENT
NEAR MISS
Incidents Designated Person Ashore (DPA)
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Element 9: Reports and Analysis of Non-Conformities Accidents, Hazardous Occurrences The Process / procedure should ensure – reports are reviewed and evaluated Process / Procedure for •
recording,
•
investigating,
•
evaluating,
•
reviewing and analysing
reports, and to take action
– to determine appropriate corrective action – to ensure that recurrences are avoided – that defined measures are monitored and evaluated – that reports are properly communicated
The evaluation of reports may result in – appropriate corrective actions; – amendments to existing processes, procedures and instructions; – development of new processes, procedures and instructions
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Element 10 – Maintenance of the ship and equipment Maintenance procedures/plans – Engine – Hull – Systems, equipment – Critical systems and equipment In compliance with rules and regulations – Inspections in appropriate intervals – Reporting of non-conformities and possible cause – Corrective actions to be taken – Records to be maintained
Identification of critical equipment
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DPA should assess “critical points” to verify effectiveness of maintenance Asking the right questions !
Is the planned maintenance system (PMS) suitable for ship operation ?
Are there adequate resources for technical management (incl. repairs, spare parts) available
Is the PMS followed by shorebased and shipboard staff ?
Are shorebased and shipboard staff familiar with the PMS ? On board organisation of maintenance defined clearly Designated Person Ashore (DPA)
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Is a Work permit system in place and to be followed ?
How effective is the Requisition system working ?
Why the actual appearance of the vessel / its systems is different to the maintenance records
...and more !
Element 11 - Documentation The System Documentation contains: – Safety Management Manual – Functions and job descriptions – Ship documentation and certificates – Handbooks, plans, drawings – Sea charts, rules and regulations – etc. Procedure for document control – Validity of documents – Changes to documents
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General structure for integrated documentation
• system description / overview • visions / missions / policies • process plans • • • •
documented procedures work instructions instructions for checking responsibilities & authorities
• forms, checklists • IT data Designated Person Ashore (DPA)
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Element 12 – Company verification, review & evaluation Internal safety audits
– – – –
Documented procedures Intervals not exceeding 12 months Ship and shore Verify compliance
System review by management
– – –
Master’s review
–
Results of external inspections (e.g. port State)
Results of internal audits Results of non-conformities, accident & incident investigations
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DPA should assess “critical points” to verify effectiveness of measurement tools Asking the right questions ! Are the root causes of Incidents and Non-Conformities clearly identified?
Are there any detention or other external reports stating noncompliance with the SMS ? If yes, what are the root causes ?
Are the Master‘s system reviews assessed by company ?
How it could happen that an Audit reports states that „everything is OK“
What does it mean when no, or just few, deficiencies are recorded ?
Is there an effective follow-up of implemented corrective actions ? Does the Top Managements system review reflect the Masters‘ reviews and results of internal audits ?
...and more ! Designated Person Ashore (DPA)
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How to assess SMS performance ? Asking the right questions ! Assessing results of internal audits What does an audit report really say ?
Assessing follow-up of internal audits Are corrective measures effective implemented ?
Assessing master‘s reviews Is the review really informative and meaningful ?
Input
Assessing of non-conformities
Reports & Data
Are root causes and preventive actions identified ?
Assessing external safety reports Are there any non-compliances with the SMS ?
Assessing potential risks Are risk control measures effective implemented ?
Assessing accidents and incident Are root causes and preventive actions identified ? Designated Person Ashore (DPA)
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Output DPA‘s Preparation of Management Review
Management review – evaluation of the SMS Overall purpose: • Information to the Top Management on the degree of implementation of the SMS and its effectiveness
•
•
Fundamental reassessment of the structure, effectiveness and efficiency of the SMS from the Top Management’s view Initiating Change management in case of identifies of system deficiencies
Documented
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Assessment of:
•
Results of internal and external audits incl. effectiveness of measures
• •
Master’s reviews
•
Non-conformities and Observations
•
Deficiencies found by external parties, PSC inspection reports, etc.
• •
Potential risks
Incidents (accidents & near misses)
Changing circumstances
Output of Management review
1. Any deficiencies found during the management review should be provided with appropriate corrective action
2. The results of such reviews should be brought to the attention of all personnel involved in a formal way
3. Management review report to be sent to all company ships with the request to comment on it
4. Measures resulting from the review to be implemented in compliance with existing procedures (action plan)
5. Follow up required at the next management review Designated Person Ashore (DPA)
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Photo to be inserted showng Management team
Module 4 Activity
Management Review (see handout)
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Comparison of reviews Management Review
Master‘s Review
Procedures/ Records
yes
yes
Responsibilities
Management / DPA
Master
Frequency
periodically (minimum yearly)
periodically (minimum yearly)
Aim
evaluate the effectiveness & efficiency of the company SMS taking into account experience and changing circumstances
information to the company on the degree of implementation of the SMS on board
Scope
Company’s SMS
ship’s SMS
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How is the effectiveness of SMS monitored?
Master's review
Master
Internal audits
Company
External audits
Flag State (Class)
Management review
CEO
Evaluating SMS implementation and effectiveness
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Element 13: Certification and Periodical Verification
Document of Compliance
Each ship
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Safety Management Certificate
Valid: 5 years
Valid: 5 years
Audit: annually
Audit: Between 2nd and 3rd anniversary
Element 14: Interim Certification
Interim DoC • Company is newly established • Adds new ship types to its existing operation • Has a safety management system that meets 1.2.3 • Plans to fully implement the SMS • Validity not exceeding 12 months
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Interim SMC • Ship is new to the company on delivery • Is newly taken into the existing ship operation of the company • Is changing flag • After verification of the SMS on the ship • Validity not exceeding 6 months with possible extension for 6 months
Element 15: Verification All verifications required by the ISM code
–
carried out according to procedures acceptable to the Administration.
–
Guidelines are available to establish such procedures
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Element 16: Forms of Certificates DoC, SMC, interim DoC and interim SMC
–
Should be designed according to the models
–
A translation in English or French must be included
DoC and interim DoC might be endorsed
–
to specify any operational limitations of the ship types included in the safety management system.
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Module 4 – What have we learned?
The background to the ISM Code
The requirements of the ISM Code from the DPA‘s point of view
„Critical“ points of the SMS to be observed by the DPA
Practical aspects of the DPA’s tasks
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Mandatory regulations, codes, guidelines & standards
After this module, you be introduced in… … the system of maritime legislation … mandatory rules & regulations (R&R) … applicable codes, guidelines and standards … methodologies of identification & implementation
Learning Objectives Designated Person Ashore (DPA)
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The thing about regulations …
• Regulations following an accident are re-active • Regulations provide a certain standard to be complied with • Regulations such as the ISM Code provide a framework for safe ship operations – No two shipping companies or ship owners are the same – Operation under a wide range of different conditions – General principles and objectives applicable for all shipping companies and operating conditions – Expressed in broad terms, widespread application
• Companies tend to fulfil only the minimum requirements
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The “four main pillars” of maritime regulatory regime
UNO
STCW
MARPOL
SOLAS
International Regulatory Regime for Quality Shipping
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MLC
ILO
IMO
Reminder: Structure of IMO Assembly Council
Maritime Safety Committee (MSC)
Marine Environment Protection Com. (MEPC)
Sub-Committees HTW III NCSR PPR SDC SSE CCC Designated Person Ashore (DPA)
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Facilitation Committee (FAL)
IMO Instruments:
Legal Committee (LEG)
• • • • •
Technical Co-operation Committee (TC)
Conventions Protocols Codes Resolutions Circulars
Compliance with applicable Rules & Regulations ISM-Code 1.2.3: SMS to ensure – Compliance with mandatory international and national rules and regulations – Observance of applicable codes, guidelines, recommendations
IBC
SOLAS
OPA 90 LSA
ISGOTT
ODAS
EmS OILPOL MFAG IMDG
CSC
ISM
LLMC COLREG STP FAL CLC STCW IAMSAR LDC
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MARPOL
HSC-Code
Codes as part of Conventions - example SOLAS Chap.
Content
I
General: Inspection & survey, issue of certificates, control
II
Subdivision, stability, fire protection
III
Life-saving appliances
IV
Radio communications
V
Safety of navigation
VI
Carriage of cargoes
VII
Carriage of dangerous goods
VIII
Nuclear ships
IX
Management for the safe operation of ships
ISM Code
X
Safety measures for high speed craft
HSC Code
XI-1
Special measures to enhance maritime safety
XI-2
Special measures to enhance maritime security
XII
Additional safety measures for bulk carriers
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Stability Code
FTP & FSS Code
International Life Saving Appliances Code
International Code for the Safe Carriage of Grain in Bulk IMDG Code
IBC Code
IGC Code
INF Code
ISPS Code
DPA to deal with amendments to R&R Example: Amendments to the International Safety Management (ISM) Code by Resolution MSC.353 (92) in force since 01.01.2015:
The following new paragraph 12.2 is inserted after existing paragraph 12.1 and the existing paragraphs 12.2 to 12.6 are renumbered as 12.3 to 12.7: "12.2 The Company should periodically verify whether all those undertaking delegated ISMrelated tasks are acting in conformity with the Company's responsibilities under the Code."
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Monitoring compliance with mandatory R&R by the DPA: IMO + ILO SOLAS / MARPOL / STCW / MLC IACS
Flag State
+
+
Class
Port State
+
+
Certification bodies
EU directives
Customers / Industry (e.g. TMSA, OVMSA, etc.)
HOW TO MANAGE ? Designated Person Ashore (DPA)
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Flag State – Example Liberia Administration – Liberian International Ship and Corporate Registry (LISCR) Regulations and Interpretations
Website – http://www.liscr.com – http://www.liscr.com/online-libraryofficial-guidance – http://www.liscr.com/recent-updates
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Port State – Example U.S. Coast Guard U.S. Code of Federal Regulations No. 33 (CFR 33) Rules and Regulations for foreign vessels operating in the navigable waters of the United States – Part 155: Oil Pollution Prevention Regulations for Vessels – Part 159: Marine Sanitation Devices – Part 164: Navigation Safety Regulations
Website: http://www.uscg.mil
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EU Directives Directives regarding vessels under EU-flag Directives relevant for vessels sailing in EU-waters EC-Directives (examples) – Directive on Marine Equipment – Directive on safety rules and standards for passenger ships – Regulation on the accelerated phasing-in of double hull or equivalent design requirements for single hull oil tankers – MRV (Monitoring, Reporting, Verification) Websites: – https://ec.europa.eu/commission/index_en – http://eur-lex.europa.eu/homepage.html
Search “maritime” / “MRV”, etc.
– http://ec.europa.eu/environment/marine/eu-coast-and-marine-policy/marine-strategy-frameworkdirective/index_en.htm – https://www.dnvgl.com/maritime/technical-regulatory-news/statutory.html Designated Person Ashore (DPA) 132
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Search “EU”
EU Directives – Example Marine Equipment Directive (MED) Council Directive 96/98/EC as amended Radio
Purpose:
• Free trade within EU • Uniform test standards • Avoid multiple approvals
Navigation
Fire Fighting MARPOL
0801 - 99 Mark of Conformity
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ID of notified body
Year when equipment was marked
LSA
IACS – International Association of Classification Societies Standards shared by classification societies Unified requirements, interpretations, recommendations, common structural rules (CSR) Representation at IMO
Website www.iacs.org.uk News: http://www.iacs.org.uk/news/
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IACS Recommendation – Example IACS Rec. 74 – Guide to Managing Maintenance •
The “Guide to managing maintenance“ laid down in the IACS Rec. 74
•
Most failures in shipboard safety management systems leading to a PSC detention refer to maintenance
•
Useful recommendations for the DPA !
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Class Societies – dual tasks related to R&R
Classification
Statutory
Rules for Classification and Construction
IMO: Conventions, Codes, Resolutions
Recognized technical standards
National Law, additional national requirements Administration is responsible and may authorize Classification Soc.
Internal
External
Application and Interpretation by DNV GL
Application by DNV GL on behalf of Administration, Interpretation by Administration
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Regulations and standards issued by industrial organizations Industrial organizations: ISO
International Organization for Standardization http://www.iso.org/iso/home.htm
ICS
International Chamber of Shipping http://www.ics-shipping.org/
OCIMF
Oil Companies International Marine Forum http://www.ocimf.org/
INTERTANKO
Int. Association of Independent Tanker Owners https://www.intertanko.com/
INTERCARGO
Int. Association of Dry Cargo Shipowners http://www.intercargo.org/
Industry Standards followed by the maritime world have been created by these bodies among others Designated Person Ashore (DPA)
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Industry standards – example OCIMF Oil Companies International Marine Forum (OCIMF) TMSA – Tanker Management and Self Assessment programme – provides companies with a means to improve and measure their own safety management systems OVMSA – Offshore Vessels Management and Self Assessment programme – for oil companies and offshore contractors chartering offshore vessels
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How to implement applicable R&R by the company Step 1
Step 2
Step 3
Step 4
Identification
Collection
Application
Implementation
Identify the requirement • List of mandatory regulations • List of other applicable guidelines & standards
Collect applicable material sources • IMO • Flag State • Port State • EU • Class • Industry
Analyze the application for your operations Study material
Amend: • Process Plans • Procedures • Instructions • Responsibilities
Consult regarding applicability
Initiate amendments and changes
Ensure availability
Ensure availability
Assure applicability
Update SMS Information / Training of crew and staff
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DNV GL – your partner for compliance Website “Technical and Regulatory News“ – https://www.dnvgl.com/maritime/technical-regulatory-news/index.html
MyDNVGL
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140
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More about Maritime Regulations ?
Maritime Academy Course: INTRODUCTION TO THE SYSTEM OF MARITIME REGULATIONS
Designated Person Ashore (DPA)
141
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Module 5 – What have we learned?
The system of maritime legislation
Mandatory rules & regulations (R&R)
Applicable codes, guidelines and standards
Methodologies of identification & implementation
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N
Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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S
Assessment techniques
After this module, you will know and understand… … ISM requirements for risk assessment … risk assessment methodologies … incident investigation methodologies … Marine Systematic Cause Analyse Technique (M-SCAT) model
Learning Objectives Designated Person Ashore (DPA)
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Cost of Managing Safety
14
€€€€€€€€
13 12 10 8 6 4 2 0
TIME Designated Person Ashore (DPA)
145
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How to assess SMS performance ? Asking the right questions ! Assessing results of internal audits What does an audit report really say ?
Assessing follow-up of internal audits Are corrective measures effective implemented ?
Assessing master‘s reviews Is the review really informative and meaningful ?
Input
Assessing of non-conformities
Reports & Data
Are root causes and preventive actions identified ?
Assessing external safety reports Are there any non-compliances with the SMS ?
Assessing potential risks Are risk control measures effective implemented ?
Module 6
Assessing accidents and incident Are root causes and preventive actions identified ?
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Output DPA‘s Preparation of Management Review
Accident Ratio Study 1
10
30
600
•Fatality or Major Injury
•Minor Injuries
Loss = Accidents
•Property Damages •Incidents without Injury or Damage
No Loss = Near-Miss
There are many more near-misses than accidents The causes and potential are exactly the same Lessons learned from near-misses are free Designated Person Ashore (DPA)
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Same Causes
Methodologies: Risk assessment vs. Incident investigation • Risk Assessment (RA) and Incident Investigation (II) are the two key components of any safety management system. Together RA and II ensure continual improvement of safety through risk management.
PROACTIVE
REACTIVE
Risk Assessment
Incident Investigation
SAFETY MANAGEMENT SYSTEM
•
Risk Assessment is about being proactive, avoiding incidents before they occur through proper planning and preparation of an operation.
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•
Incident Investigation is about being reactive, learning from incidents in order to ensure that they do not happen again in the future.
Assessment techniques Various techniques available, e.g: Failure Mode and Effect Analysis (FMEA) extended: Failure Mode, Effect and Critical Analysis (FMECA) Fault tree analysis Root cause analysis Barrier analysis DNV GL Loss causation model
•
Safety & Environmental protection only
•
Commercial impact may be taken into account
Event & causal charts
...and more
What technique should be applied by a DPA ? Designated Person Ashore (DPA)
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Detailed training available on Assessment techniques
Maritime Academy Courses: − MARITIME RISK MANAGEMENT & INCIDENT INVESTIGATION − PRACTICAL MARINE RISK MANAGEMENT & CHANGE MANAGEMENT − PRACTICAL INCIDENT INVESTIGATION AND ROOT CAUSE ANALYSIS
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info
Understanding the improvement process Nothing has happened
Task
Potential Incident
Remarks
Prevent occurrence
Proactive Improvement
• Initial Risk
Causation analysis
Preventive actions
Residual Risk
• •
•
Something has happened
Risk is still not acceptable
Reactive Improvement Task
Incident
Loss Potential
Causation analysis
Corrective actions
Prevent recurrence Designated Person Ashore (DPA)
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Residual Risk
Initial risk without existing preventive actions Loss potential equals initial risk Residual risk equals verification of effectiveness of implemented preventive / corrective actions Causation analysis includes direct, basic causes and correction to remove direct causes
info
Trends in accident causes Based on a study performed by Erik Hollnagel
In terms of reducing the frequency of accident, addressing the human element is the key! You will not dramatically reduce accident frequency by focusing solely on equipment and technology! Designated Person Ashore (DPA)
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Risk assessment as integral part of ISM 1.2.2 Safety Management Objectives: Safe practices of ship operation and safe working environment Assess all identified risks to its ships, personnel and the environment and establish appropriate safeguards Continuously improve safety management skills of personnel ashore …
Development and implementation of a SMS in an exercise in risk assessment (IACS Guidance for Auditors) – Analyse the operation – Look into operations, activities and systems – Identify what could go wrong – What can be done to prevent it Documented procedures are the means by which the controls are applied
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Risk assessment – methodology Risk perception: What are the highest risks for our lives today?
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Risk assesssment - methodology
Consequences:
Risk categories
Damaged ship or cargo
Injuries or fatalities R is k to H u m a n L ife , H e a lth
R is k to P ro p e rty
Cost R is k to E n v iro n m e n t
Consequences: Pollution Designated Person Ashore (DPA)
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Consequences:
Risk assessment – methodology Risk is the likelihood that an undesirable event will occur and lead to severe consequences within a specified timeframe i.e. the combination of the likelihood and the severity of the consequence.
Risk
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=
Likelihood x
Consequence
Risk assessment – methodology Step by step approach 1.
Classify work activities
2.
Identification of hazards
3.
Identification of existing RCMs
4.
Determination of risk
5.
Risk acceptable?
6.
Analysis preparation Acceptance criteria
System definition
Hazard identification
Frequency analysis
Risk control action plan
Consequence analysis
Risk estimation
7.
Review adequacy of action plan
8.
Ensure RCM’s are effective
Risk matrix Risk analysis
and up-to-date
Risk evaluation Risk assessment
Risk Acceptable or ALARP Designated Person Ashore (DPA)
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Risk management and risk control
Risk reduction
info
Risk assessment – methodology Risk estimation RISK MATRIX
Analysis preparation Acceptance criteria
System definition
Hazard identification
How likely is the unwanted incident? What are the consequences? Create a matrix to evaluate the risk
Frequency analysis
Consequence analysis
Risk estimation Risk matrix Risk analysis
Risk evaluation Risk assessment
Risk Acceptable or ALARP Designated Person Ashore (DPA)
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Risk management and risk control
Risk reduction
Assessment technique: Risk Matrix catastrophic 4
medium
high-medium
high-medium
high
severe 3
medium-low
medium
high-medium
high-medium
significant 2
low
medium-low
medium
high-medium
minor 1
low
low
medium-low
medium
remote
reasonably probable 3
frequent
extremely remote 1
Consequence Severity
2
4
Occurrence Likelihood (frequency)
Risk Level Acceptable
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Risk Level Tolerable (existing risk control measures to be reviewed to ensure ALARP level)
Risk Level is not Tolerable (RCMs to be modified and/or additional risk control measures to be implemented)
info
Risk assessment – methodology Risk evaluation SELECTING HAZARD SCENARIO
Analysis preparation Acceptance criteria
System definition
Hazard identification
Use the risk matrix Evaluate the risk against acceptance criteria
Frequency analysis
How far does risk have to be reduced?
Consequence analysis
Risk estimation Risk matrix
Assess outcome and decide on further actions
Risk analysis
Risk evaluation Risk assessment
Risk Acceptable or ALARP Designated Person Ashore (DPA)
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Risk management and risk control
Risk reduction
Risk assessment - methodology ALARP Triangle
Level of risk
Risk Tolerance Bands Risk cannot be justified except in extraordinary circumstances
Unacceptable Risk
Tolerable only if risk reduction is impracticable or if it cost is grossly disproportionate to the improvement gained
Tolerable Risk
ALARP – As Low As Reasonable Practicable
Accepted Risk
Necessary to maintain assurance that risk remains at this level
Negligible Risk Designated Person Ashore (DPA)
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Risk assessment – methodology Risk reduction by RISK CONTROL MEASURES Identify risks to be reduced Define measures to reduce frequency and/or consequence
Analysis preparation Acceptance criteria
System definition
Hazard identification
Not all measures are suitable! Estimate risk reduction (consider dependencies!)
Frequency analysis
Consequence analysis
Risk estimation
Estimate cost effectiveness
Risk matrix
• Risk reduction is limited! • Risk should be ALARP!
Risk analysis
Risk evaluation Risk assessment
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Risk management and risk control
Risk reduction
Risk Control Measures
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Assessment technique: barrier analysis Risk reduction by BARRIERS
Consider: Barriers are like „Swiss cheese“
? Designated Person Ashore (DPA)
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Swiss Cheese Model
Control, Alarm & Shutdown system
THREAD
Inherent Design Plant Layout
Learning from Events Relief and Blowdown System
Operations Procedures
Maintenance & Inspection
Audit & Self Regulation
Work Control
Effective Supervision
Management of Change
Communication
Training & Competency
HAZARD
e.g. mooring line under tension
e.g. working in snapback zone
Facilities
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Processes
People
Module 6 Activity 1
Risk assessment (see handout)
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Remember: Risk assessment vs. Incident investigation
PROACTIVE
REACTIVE
Risk Assessment
Incident Investigation
SAFETY MANAGEMENT SYSTEM
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Three levels of Investigation Extensive thorough investigation by external parties: MAIB, P&I, Underwriters, Safety Board Recommendation to Shipping Industry
To External Parties: Flag, Port State, P&I
Investigation & Analysis
Preventive actions To Company
Investigation Immediate Corrective action
To Master Implementation Report Designated Person Ashore (DPA)
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Report to Class
Investigation Process Objective:
Control the scene
Analyzing causes of incidents & accidents Allocate resources
Identification of corrective actions adequate to prevent recurrences (what, why, how)
Evidence Collection
Systemizing facts
Improvement of the SMS
Analyse causes
Requirements: – No blame culture – Just culture
No
Need for more information? Findings and Report
– Training (methods & awareness) Follow-up Designated Person Ashore (DPA)
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Incident investigation process - general 1.
Information (system for reporting and informing)
2.
Collection of data (immediately following the incident)
3.
Causal factor charting (organize and analyze information)
4.
Assessment (identify the root cause(s))
5.
Analyze existing barriers (how did they perform?)
6.
Development of Corrective action (eliminate or control the cause)
7.
Implementation of agreed corrective action (in compliance with procedures)
8.
Follow-up (verify effectiveness of corrective action)
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Investigation Process Control the scene
Alarm, Limitation, Rescue, Evacuation, Normalisation, De-briefing, Handling media, Report
Allocate resources
Evaluate loss potential, What is the investigation team? Cooperate with external parties ?
Evidence Collection
Observations on the scene, interviews, reconstruction, documentation, and reporting
Systemizing facts
Establish chain of events, what happened, failures and non-conformities, analysis of barriers, Cause analysis, immediate causes, basic causes, recommendations on management controls,
Analyse causes
Need for more information?
No
Yes
Findings and Report Follow-up
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Document, Implement suggestions, assess effect of measures,
Accident Model
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Collection of data – Fact-finding Fact finding includes the following activities • Analysing reports and statements • Inspection of the location • Gathering or recording physical evidence • Interviewing witnesses • Reviewing documents, procedures and records • Identifying conflicts in evidence • Identifying missing information • Recording additional factors and possible underlying factors
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Incident Investigation Process Control the scene Allocate resources Evidence Collection
First we will look at a method for systemising the facts about the incident: Sequential Time Events Plotting (STEP) Then we will look at a method for analysing the causes of incidents: Loss Causation Model
Systemizing facts
Analyse causes
Need for more information?
No
Findings and Report Follow-up
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Events & Causal Factors Diagram
1. All events are enclosed in rectangles
2. All conditions are enclosed in ovals
3. All events are connected to the preceding and succeeding event by arrows.
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Events & Causal Factors Diagram (Cont.)
4.
All conditions are connected to other conditions and/or events by dashed arrows
5.
Presumptive events or conditions are shown by dashed rectangles or ovals
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info
info
Events and causal factor charts
Condition Personal factors??? Job factors???
Condition
Condition
Substandard conditions??? Event
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Control actions needs???
Event
Event
Incident
Substandard acts???
Building the STEP diagram
info
• Use “post it notes” to represent the events on a large wall/pin board • Move vertically to the actor • Move horizontally to the correct (relative) point in time • Mark missing blocks/uncertain information with a “post it note” in different colour • If necessary: increase the level of detail (actors or events) • Ensure continuity (look at the role of each actor individually – is it complete?) • Establish connections between the events • Test: Would the end-event have happened without the preceding events?
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Sample: Step diagram of a near-miss grounding Time
Ca.18.00
18.45
Actors:
Sails through narrow waters in dark but nice weather
SHIP
CHIEF OFFICER
Enters ship for the first time
CHIEF OFFICER (signing off)
Meet new chief officer on the gangway
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25-30 meters from shoreline
Occupied with talks with chief officer
MASTER
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Judge the course to be too close to shoreline
Was in charge on his first watch
Alter course to port
Focus on electronic charts
Cleared the marker buoy with small margins Makes a starboard and then a port avoidance manoeuvre
STEP = Sequential Time Events Plotting
Actors: Persons or items that actively contributed to the accident/near miss Event: What an actor does, or how the actor is a part in the chain of events
Analyse Causes Using M-SCAT (Marine Systematic Analysis Technique):
Control the scene Allocate resources
Classify information into five stages:
Evidence Collection
Systemizing facts
Analyse causes
Need for more information?
No
Findings and Report Follow-up
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•
Losses
•
Incidents
•
Immediate causes
•
Basic causes, and
•
Lack of control areas
Human Failure: at what level?
1.Immediate Causes
2. Basic Causes / Factors 3. System Causes / Control
4. Soil Factors / Environment Designated Person Ashore (DPA)
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The 3 layers Immediate CAUSES – the first thing to identify – sub-standard ACTS/ PRACTICES or CONDITIONS Basic Causes / FACTORS: – PERSONAL factors (e.g. fatigue, knowledge, etc.) – JOB/SYSTEM factors (e.g. procedures not proper formulated / wrong tools) – Root causes (acc. to new concept)
System Control – the formal or informal SYSTEM to manage the factors – Management responsibility ! Designated Person Ashore (DPA)
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DNV GL Loss Causation Model Loss Causation
Basic Causes
Lack of Control
Personal Factors
System
Immediate Causes
Incident
Substandard
Event
Practices
Standards Job / System Factors
Compliance
Conditions
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T h r e s h o l d
Loss
People Property Environment Process
What are possible immediate causes here?
Substandard Acts/Practices: Failure to secure Designated Person Ashore (DPA)
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Substandard Conditions Adverse weather conditions
What are possible basic causes here?
Personal Factor:
Job Factor:
Physical & Emotional Stress
Inadequate Planning/preparation
Lack of knowledge
Excessive wear and tear
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What are possible root causes here?
Root Causes Inadequate material Inadequate training Inadequate leadership Designated Person Ashore (DPA)
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What are possible system failures ?
Lack of Control Assessment of audits Assessment of Master‘s review Assessment of Non-Conformities Ineffective Management review Designated Person Ashore (DPA)
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DPA: Monitoring & Supervision
M-SCAT (example) LACK OF CONTROL
BASIC CAUSES
Inadequate •System •Standards •Compliance
Personal Factors Job Factors
Control Action Needs Administration Leadership training Planned inspection Task analysis Incident investigati. Work performance Emer. preparedness Safety rules Incident analysis Skill training Protective equipm. Occupational health System review Change managem. Communication General promotion Recruitment Purchasing Offthe-job- safety Designated Person Ashore (DPA)
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Basic Causes
IMMEDIATE CAUSES
Acts Conditions
Immediate Causes
Personal factors
Substandard Acts
Physical capability Mental capability Physical Stress Mental Stress Knowledge Skill Motivation Job Factors Leadership Engineering Purchasing Maintenance Tools& Equipment Work standards Wear &Tear Abuse or misuse
Failure to … …follow rules ... use ppe properly … repair instruction … warn … secure Etc. Substandard Conditions Inadequate barriers Defective equipm. Defective ppe Adverse weather Poor housekeeping Etc.
INCIDENT
LOSS
Undesired Event That Could/Does Lead to a Loss
People Property Environment Process
Type of Contact Personnel injury / illness Falls from elevation Falls on same level Struck against Caught in Contact with heat Etc... Property/ Process / Environmental damage Collision Grounding Contact Damage Fire/Explosion Etc.….
Description of accident or incident
Evaluation of loss potential if not controlled
Module 6 Activity 2
Incident investigation by using M-SCAT
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Module 6 – What have we learned?
ISM requirements for risk assessment
Risk assessment methodologies
Incident investigation methodologies
M-SCAT tool
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Course Navigator E
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Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Technical and operational aspects of safety management
After this module, you will understand … the DPAs link to the Top Management … technical aspects of safety management on board … operational aspects of safety management … the organization of shore based support … the process of safety management … monitoring & measurement by the DPA
Learning Objectives Designated Person Ashore (DPA)
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Remember Module 1: DPA – the link to the Top Management Management Direct access to Company management
Designated Person Several DPA possible to be defined in the SMM !
Monitoring safety and pollution prevention aspects Requesting resources and shorebase support Contact point for all safety and pollution prevention matters
All ship‘s crew must have direct access to the DPA
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Aspects of DPA‘s „linking-function“ ISM provides a way to directly connect those on board (Master and crew) with the decisional level ashore not to be used for the normal routine daily operation of the vessel (link is provided by the superintendents) parallel way (by-pass) to be used with care and intelligence DPA (or substitute) can be contacted 24/7 by telephone or email DPA must be capable of solving problems at the operational level For problem which cannot be solved at the operational level DPA has the possibility to contact the Top Management directly
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DPA to request resources / shorebased support from Top Management immediately
Safety management
Technical aspect:
Safety maintenance on board
Organzational aspect:
Safety Management
Safety organization on board
Compliance with all applicable Rules & Regulation (ISM 1.2.3)
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Technical aspect: safety maintenance on board Modular structure of maintenance on board: DECK
Safety Maintenance
Examples
ENGINE
Maintenance Deck Systems
Safety Maintenance Deck Systems
Lifeboats Liferafts
Maintenance MAIN ENGINE
Maintenance Bridge & Communication Equipment
Safety Maintenance Engine Systems
Emerg. Generator Quick Closing Valves UPS
Maintenance AUXILLARIES
Maintenance Health & Hygiene Equipment
Safety Maintenance PORTABLE SYSTEMS
Fire Extinguishers Life Rings BAs
Safety Maintenance FIXED SYSTEMS
CO2-System Sprinkler-System Emergency Lighting
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Maintenance ELECTRICAL SYSTEMS
Maintenance OTHER SYSTEMS
Operational aspect: safety organization on board General structure of safety organization on board: STCW 95 Safety Training Safety Duties – Muster List
Prevention
Emergency Teams Contingency Plans Safety Drills and Exercises
Reaction
Safety Training on board Shoreside Response Designated Person Ashore (DPA)
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Supervision and control by the company !
Organization of shore based response
Response Service Flag State Class Supporting the Master and co-ordinating activities with
Coastal State / Port State Insurance / Underwriter Owner / Charterer Other Party
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Organization of shore based response Levels of shore response:
Emergency control – Immediate shipboard response measures to get the situation under control Emergency response – Shore-based operational and technical company support Emergency management – Divisional or regional response on the impacts of the emergency to the company, support on a higher level (incl. Class) Crisis management – Headquarters response on the impacts of the emergency to the company overall (stock exchange notifications, strategic decisions) Designated Person Ashore (DPA)
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DPA has to manage a permanently changing environment
Human capabilities
Technical specifications and characteristics of vessels
Safety culture
Company‘s infrastructure
DPA
Market conditions Operational conditions of the vessels
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Legal and contractual requirements, R&R
Process model of safety management Management Process:
ISM
Monitoring and Measurement by the DPA
9/12
Safe operations of the vessel
ISM
- Navigation – Engine – Cargo – PAX -
7
Emergency Preparedness & Response
Stakeholder‘s req.mts
Maintenance & Repair
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Safety Administration & Documentation
ISM
Support Processes
ISM
Requesting resources and support by DPA
3/6
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Effective SMS + Fulfillment Stakeholder req.mts.
Remember Module 3: Processes Process Control (Verification and Evaluation)
Risks & Opportunities
Requirements Specifications
First process step
Services Materials Energy Data
Input
Final process step
Process
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Services Products Energy Data
Output
interface
interface Resources
Objectives (measurable)
Documents (records & data)
Monitoring Measurement
Monitoring and measurement by the DPA Monitoring of the operations is the responsibility of the Master & Superintendent – Responsibilities of the Master include “to verify that specified requirements are observed " (ISM Code § 5.1.4) compliance with rules and regulations compliance with the Safety Management System
Monitoring of the safety management system in the responsibility of the DPA – visits/inspections/audits on board – assessment and evaluation of reports & data Privileged relations between DPA and Master All company staff (ship and shore) are involved in monitoring safe operations and the DPA is accessible for everyone
How to measure the system performance ? Designated Person Ashore (DPA)
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How to asses of the effectiveness of the SMS ? External certification body
ISM Measurement tools
Company
Continual Element 9
Periodical Element 12
Element 13
Master‘s Review Mgmt. Review
External Audits
Reports & Analyses N/C, Accidents, Incidents
Internal Audits
DPA shall assess results ISM measurement tools Designated Person Ashore (DPA)
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Remember: Assessing SMS performance Assessing results of internal audits Assessing follow-up of internal audits Assessing master‘s reviews Output
Input
Assessing of non-conformities
Reports & Data
Assessing external safety reports Assessing potential risks Assessing accidents and incident
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DPA‘s Preparation of Management Review
Measurement by Performance Indicators
Shipping Performance Indexes
SPI Key Performance Indicators
KPI
Aggregated expressions of performance within a particular area with objective to give external stakeholders information about the overall performance of a ship Expressions of performance within a specific area with the objective: • measure for continuous improvement • measure for internal and external benchmarking • measure to set incentives Directly observable and measurable data.
Performance Indicators
PI Designated Person Ashore (DPA)
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The only elements that must be reported manually or by means of implemented ICT solutions
www.shipping-kpi.org
Measurement by Performance Indicators (sample) Navigational Safety Performance Description: Navigational Safety Performance is an expression of safe navigation and absence of navigational deficiencies.SPI004 is measured in ‚%‘. Formula: Dependencies:
Source: www.shipping-kpi.org Designated Person Ashore (DPA)
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Module 7 Activity
Performance Indicators: Please define -
Performance Indicators (PI)
-
Key Performance Indicators (KPI)
-
Shipping Performance Indicators (SPI)
for the Process you described in Module 2. You may use the “Shipping KPI Standard” under www.shipping-kpi.org Designated Person Ashore (DPA)
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Module 7 – What have we learned? Technical aspects of safety management on board
Operational aspects of safety management incl. organization of shore based support
Process approach of safety management
Monitoring & measurement by the DPA
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Understanding operations of a shipping company
After this module, you will understand… … organizational structure of shipping companies … ISM relevant interfaces in shipping companies … stakeholders (interested parties) in shipping business … an integral model for understanding organizations
Learning Objectives Designated Person Ashore (DPA)
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Shipping company in context of ISM What does „shipping company“ actually mean ? Commercial definition: Legal entity that owns and operates the freight or passenger ships
ISM definition: Company means the owner of the ship or any other organization or person such as the manager, or the bareboat charterer, who has assumed the responsibility for operation of the ship from the shipowner and who, on assuming such responsibility, has agreed to take over all the duties and responsibility imposed by the Code „Ship Manager“ = DoC Holder Designated Person Ashore (DPA)
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Legend:
yellow = commercial blue = operational
General types of companies
red = ISM relevant
„classical“ integrated shipping company
Ship Owner = Ship Operator
Ship Owner
or
(usually Bareboat Charterer)
Hiring of external management services
Ship Management Department Technical Management
Charterer
Management Contract
Nautical Management
Ship Management Company
Crew Management
Technical Management DoC-Holder
Nautical Management Crew Management Contract External Crew Management Crewing Agent Designated Person Ashore (DPA)
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Crew Management DoC-Holder
ISM relevant interfaces „classical“ integrated shipping company
Ship Owner
and /or
Charterer (usually Bareboat Charterer)
Ship Owner
or
(usually Bareboat Charterer)
Ensuring adequate resources
Ship Management Department Technical Management
Charterer
Management Contract
ISM 3
Nautical Management
Ship Management Company
Crew Management
Technical Management DoC-Holder
Nautical Management
ISM 6 Supervision of crew certification
Crew Management Contract External Crew Management Crewing Agent
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Crew Management DoC-Holder
Supervision of crew certification
ISM 6
Commercial
Stakeholders (interested parties) in shipping Operational
Example:
ISM relevant
Insurance
Others:
Ship Owner
Broker
Mgmt contract
Ship Management Company
• Flag St • Port St • Class
Cargo Vessels:
Charterer
Crewing Manager
Agent
Passenger Vessels:
Tour Operator (Charterer)
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- Master -
Crewing Agent
Commercial
Stakeholders in shipping – potential ISM conflicts Operational ISM relevant
Insurance
Ship Owner
Broker
Mgmt contract Ressources
Ship Management Company
Others:
• Flag St • Port St • Class
Cargo Vessels:
Charterer
Crewing Manager
Agent
Passenger Vessels:
Tour Operator (Charterer)
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Direct influence
MLC 2006
Ship - Master -
Crewing Agent
Typical organization of a Shipping company Example: Management Quality and Safety Management
Human Resources Management
Fleet Management
Nautical Management
Commercial Management
Purchasing Potential conflict of interests
Technical Management
Chartering Freighting
Fleet Designated Person Ashore (DPA)
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Financial Management
Risk perception of stakeholders (remember module 6) Port State Control – at risk: ”Safety of the ship and the crew”
Crew – at risk: ” My monthly salary – and no personal accidents”
Banks – at risk: ” Cash flow – want my money back”
Ship owner – at risk: ”Make money, no major accidents, maintain reputation”
Class – at risk: ”No accidents due to class related issues”
Cargo owner– at risk: ”No delays, contaminations or loss of reputation”
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Ship management – at risk: ”No injuries to personnel, delays or asset damages ”
Insurance – at risk: ”No serious accidents whatsoever on ship or environment”
Conflicting goals in shipping Officers and crew see several different goals and objectives, and some of these goals might at times be in conflict with one another… Revenue Goals
“If we stop for maintenance, we will be delayed and lose a good deal”
SMS Goals
“To be in compliance with the rest hour regulation”
Budget Goals
“The budget on spare parts is spent, and it’s only September”
Time Goals
“We are told to be in Rotterdam in 12 hours. Full speed ahead”
Could there possibly be conflicting goals on safety in some circumstances that might result in safety not being the top priority? Designated Person Ashore (DPA)
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Understanding the Organization in its context
Soft factors (human relations) Employee's capabilities Employee‘s motivation Company Values
internal
Team Spirit
Hard factors (data & facts) Vessels technical specifications & conditions Company‘s financial data Technical infrastructure
Customer relations
Legal Framework
Shareholder relations
Market Framework (prices, rates, etc.)
Market culture
external
Business culture Relation with society Designated Person Ashore (DPA)
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Technological Framework Financial Framework (banking , taxes, etc.)
Integral model (module 10)
Role of Human Element – IMO MSC 81/17/1 ISM Code compliance could be made easier through a reduction in the administrative process by: 1. streamlining and reducing the paper work that supports ISM compliance, particularly the SMS; 2. greater use of technology and IT to reduce paperwork; 3. identifying common areas in the ISM Code and for example the ISPS Code and integrating documentary requirements; 4. motivating seafarers to use the reporting and monitoring systems in the improvement of safety management systems; 5. involving the seafarers in the development and continual improvement of ISM manuals; 6. increased integrated training for all concerned; 7. exploring measures to reduce the cost of compliance; 8. improving ISM compliance monitoring and developing performance indicators; Designated Person Ashore (DPA)
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Module 8 – What have we learned?
Organizational structure of shipping companies
ISM relevant interfaces in shipping companies
Stakeholders (interested parties) in shipping
Importance of human element
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Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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Understanding Auditing
After this module, you will understand and know… … reasons for auditing … basic aspects of auditing … differences between audits and inspections … qualification requirements for internal auditors … audit findings as source for improvement
Learning Objectives Designated Person Ashore (DPA)
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Why Auditing ? Definition as per ISO 19011:
A systematic, independent and documented process for obtaining audit evidence and evaluating it objectively to determine the extent to which the audit criteria (set of policies, procedures or requirements) are fulfilled
An audit is an effective and reliable tool in support of management policies and controls, providing information on which an organization can act to improve its performance. (ISO 19011:2011 – “Guidelines for auditing management systems”)
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Why Auditing ?
Compliance with regulations
Internal processes / procedures
Verify compliance with regulations Verify effective implementation of processes / procedures Verify suitability of processes / procedures
Contribution to continual improvement of the organization’s performance Input for the management review
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The Audit is both:
Mirror
Magnifying glass
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Remember: Levels of Human Failure (Module 6) 1.Immediate Causes 2. Basic Causes /Factors
An audit is the best opportunity to dig for the roots
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4.Soil Factors /”Environment”
What is an „audit“ ?
The aim of an Audit is to FIND FACTS, NOT FAULTS. An audit is not a Safety Inspection.
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Differences between Inspection & Audit
Inspections
Audit
Physical condition = Output Test = Output (does it work)
Physical condition = Input Test = Input
Immediate repair Corrective actions
Symptoms of a problem? (Root) Causes? Preventive actions Control / Risk Management
The Output of an Inspection is the Input for an Audit Designated Person Ashore (DPA)
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Types of Audits Internal Audits: within own Company by company auditors External Audits: Supplier / Certification audit
First Party Audit: audit conducted within own Company (Internal Audit) Second Party Audit: audit conducted by client in organisation of own supplier or subcontractor (External Audit/ Vetting Audit) Third Party Audit: audit conducted by or on behalf of a regulatory-/ or certifying body (External Audit).
Types of audits according to ISO 19011 Designated Person Ashore (DPA)
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Qualification of Internal Auditors Defined in the ISM Code - chapter 6.4 & 6.5 Clause 6.4 The Company should ensure that all personnel involved in the Company's SMS have an adequate understanding of relevant rules, regulations, codes and guidelines. Clause 6.5 The company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.
Competence of internal auditors may be verified during external audits
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Qualification of Internal Auditors ISO 19011 contains qualification criteria: Professional training Professional experience – Ship operation – Relevant types of ships – Shore organization of a shipping company Auditor training course Practical audit experience Independence of auditor
Further knowledge in: – – – –
Business processes Company Management System Standards and codes: ISM Code, ISPS Code, MLC 2006, STCW, Etc. Rules & Regulations: SOLAS, MARPOL, IBC Code, Etc.
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Auditor training courses ?
Maritime Academy Courses: INTERNAL AUDITOR ISM, ISPS AND MLC 2006 INTERNAL AUDITOR OF AN INTEGRATED MANAGEMENT SYSTEM
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What could be the result of an Internal Audit? Everything is working fine – Audit report – Suggestions for improvement
Findings – Non-compliance report(s) – Observations – Non-Conformity – Audit report – Suggestions for improvement
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What is an Observation ? 1. Something was found, which may lead to a NC in the future
2. General suggestions to avoid system failure or to improve the system Designated Person Ashore (DPA)
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What is an Non-Conformity ? Non-conformity: (definition of a as in the ISM Code 1.1.9) “An observed situation where objective evidence indicates the nonfulfilment of a specified requirement” 1. Specific requirement (SMS, R&R, legal, etc.) 2. Non-fulfilment of the requirement 3. Objective evidence
Major Non-conformity: (definition of a as in the ISM Code 1.1.10) “An identifiable deviation that poses a serious threat to the safety of personnel or the ship or a serious risk to the environment that requires immediate corrective action or the lack of effective and systematic implementation of a requirement of this Code” Designated Person Ashore (DPA)
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Objective evidence: Data supporting the existence or verification of something (definition ISO 9000)
Quantitative or qualitative information Factual records or statements pertaining to safety or to the existence and implementation of an SMS element Based on Observation, Measurement or Test and which can be verified. Physical evidence Formal statements of responsible personnel Performance as shown Execution of duties Records and other documentation Facts, not opinions
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Module 9 Activity
Analysing an audit report Non-conformity (See handout)© DNV GL
Course – Rev. 2017/09 Module 6 – Activity 2 Designated Person Ashore (DPA)
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A-
Remember module 3: Continual improvement Improvement is not just a technical issue:
Human capability
Technology
Management System
Market environment
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Legal and contractual framework
DNV GL Fit for Purpose
Audits designed for your company – We do not use generic checklists, but tailor the audit to your needs. You get the most out of your SMS – Where traditional audits only focus on conformity with detailed requirements, we look at the overall effectiveness of your SMS and assess whether it is helping you reach your desired results. Combined audits – We will utilize overlapping requirements in ISM, ISPS and MLC to combine audits. Data smart audits provide insight on your competitiveness – We incorporate industry performance data and dashboards into our analysis, to support you in proactively identifying improvement opportunities and managing risk. Designated Person Ashore (DPA)
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DNV GL Fit for Purpose
The benefits: Our audits do not just verify compliance, but also focus on the aspects that are important for you. Our support allows you to leverage the full potential of your SMS and achieve your operational goals. Audits are more time-effective - fewer interruptions and reduced administrative burden. Audit results are richer and more meaningful. https://www.dnvgl.com/maritime/fit-for-purpose/ Designated Person Ashore (DPA)
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Module 9 – What have we learned?
Reasons for auditing and basic aspects
Differences between audits and inspections
Qualification requirements for internal auditors
Audit findings as source for improvement
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N
Course Navigator E
W Module
Topic
Module 1
Requirements for the DPA in the 21st century
Module 2
Maritime Management Systems
Module 3
Principles of modern Management Systems
Module 4
The ISM Code from DPA’s point of view
Module 5
Mandatory regulations, codes, guidelines & standards
Module 6
Assessment techniques
Module 7
Technical and operational aspects of safety management
Module 8
Understanding operations of a shipping company
Module 9
Understanding Auditing
Module 10
Importance of good communication
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S
Importance of Good Communication as DPA
After this module, you will be able to… … understand the model of human communication and „mental programming“ … use an integral approach for understanding difficulties in communication … be familiar with concepts to avoid communication failures … be familar with communication planning
Learning Objectives Designated Person Ashore (DPA)
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Remember Module 1: Communication lines of the DPA Management Communication with Company‘s management
Designated Person
Communication with ship‘s command & crew
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It‘s all about communication ! Communication is more than talking, reading, writing, procedures Communication is also exchanging ideas, information and knowledge between individuals, and between crew and management ashore Ability to convey information by word of mouth and/or by written communication is important to the safety of ships’ crews, visitors and passengers and to the wellbeing of crews.
But what is good communication ?
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Which is the right view ?
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#1
Which is the right view ?
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#2
Which is the right view ?
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#3
Communication challenge: different thinking of people
Soft factors (non-measurable)
individual
Mind:
Body:
• Psyche • Character • Sum of own
• • • •
experiences
collective
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Hard factors (measurable)
Physical Personal health Gender Outside appearance
Culture (religion):
Social System:
• • • •
• • • • •
Values Rituals Heroes Symbols
Integral model
Nation Working and living conditions Legal System Financial / Tax System Technologies
Based on: Ken Wilber‘s Integral Theory
Trainer info: Integral model: quadrants
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Model of human communication Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Message received
usually different
How to avoid communication failures ?
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Receiver
Avoiding communication failures: Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Feedback
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Message received
Receiver
Avoiding communication failures: Mind
Body
Mind
Body
Culture
Soc. Sys.
Culture
Soc. Sys.
Sender
Message transmitted
Message received
Receiver
Establish a Standardised Language / Professional Communication
technical terminology and wording
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atmosphere open and constructive
actively listening and asking
sharing information / transparency
Receiving confirmation
Communication is driven by “mental programming"
Personality Specific to individual / inherited and learned
Culture Specific to group / learned
Human Nature universal / inherited
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Source: Hofstede / Minkov Cultures & Organizations: Software of the mind, 3rd edit.
Reminder: Examples for indices of mental programs: Hofstede / Minkov Cultures & Organizations: Software of the mind, 3rd edit.
Power Distance Index (PDI) Degree of individualism in society – Individualism Index (IDV) Masculinity vs. Feminity – Masculinity Index (MAS) Uncertainity Avoidance Index (UAI) Long Term Orientation Index (LTO) Subjective well-being (SWB)
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Module 10 Activity Intercultural Communication European vs. Asian thinking The underlying belief systems are more difficult to recognize than the visible cultural differences. Try to identify the differences between European and Asian thinking !
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Activity European vs. Asian thinking Pursuit of harmony
Asia
More direct communication
Europe
Individualism
Europe
Relationship orientation
Asia
Issue based dialogue
Europe
Pursue conflict avoidance
Asia
More linear thinking
Europe
Group orientation
Asia
More indirect communication
Asia
Addressing problems
Europe
Conceptualize thinking
Europe
Culture of dispute
Europe
Hierarchical thinking
Asia
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Developing communication skills 2 key areas:
Building relations - listening actively - showing empathy - demonstrating understanding
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Formal reporting - evidence of communication - clarification of open / unclear points - basis of feedback
Developing communication skills Planning communication: 1. Define objectives – What to achieve and what response to create ? 2. Define key messages – What information to convey and what priority ? 3. Information about audience – What the audience already knows and what they need to know ? – What barriers/objections may prevent messages getting through ? – What level of formality ? 4. Selecting channels / media – What is the best way to deliver the message ? 5. Evaluation and feedback – How to find out if communication was effective ? Designated Person Ashore (DPA)
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Module 10 – What have we learned? The model of human communication and „mental programming“
An integral approach for understanding difficulties in communication
Concepts for avoiding communication failures
Communication planning
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Open Book Examination
30 minutes are available
70% correct answers are necessary to pass the test Multiple-choice questions
You may refer to course materials but be aware of the time available
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Course Closing
Any questions? Do you have any further questions? Have we met your expectations?
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Course Closing
Feedback How did you like the course? Please give us your feedback on the assessment forms
Certificates Distribution of course certificates
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Thank you very much for your attention! We hope to welcome you again soon
Maritime Academy Philippines Email: [email protected] Phone: +63 2 836-7731
www.dnvgl.com
SAFER, SMARTER, GREENER Designated Person Ashore (DPA)
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