Kristiansen Svein. Maritime Transportation: Safety Management and Risk Analysis

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shown. This safety programme structure contains elem ents that focus more directly on

how to obtain a working safety plan.

15.2.5 Standardization

One of the key objectives of internationa l maritime safety regulations is to attain an

acceptable level of risk in shipping. As has been discussed earlier in this chapter, traditional

prescriptive rules and requirements have several distinct shortcomings. It is therefore

increasingly argued that, in order to more dynamically achieve improved safety, companies

must integrate the notion of total quality into their business strategy, and in particular see

health, safety and environment (HSE) as a part of the total quality concept. A promising

approach to achieving higher quality in production and service is the introduction

of international quality standar ds. The International Standards Organization (ISO)

Table 15.6. Quality plan e le ments

Quality plan elements Examples

Policy Quality vision

Quality objectives

Outline of quality plan

Auditing principles

Requirements Laws and regulations

Applicable quality standards

Own requirements

Organization Responsibility

Authority

Functions and activities Organization of activities

Personnel management

Information management

Handbooks, procedures

Material management

Follow-up of non-conformities

Quality auditing

Experience feedback

Procedures and checklists Accident reporting HSE

Agents Maintenance

Auditing Marketing

Chartering Modifications

Contracts Operations

Contingency Organization

Document control Planning

Economy Pollution prevention

Experience feedback Project management

General Purchasing

476 CHAPTER 15 SAFETY MANAG EMENT

is playing a prominent role in the development of such standards, and in particular two

TQM-based ISO standard series have had a profound influence on a wide range of different

industries and activities. These standard series are the ISO 9000 series, particularly

addressing quality assurance, and the ISO 14000 series focusing on environmental

management.

Figure 15.5. Asafetyprogrammestructure.

15.2 T O TAL QU ALITY MANA GEMENT (T QM) 477

ISO 9000

The ISO 9000 seri es addresses quality, but in another sense than what is usual in industry

standards. Rather than stating what the quality should be in particular cases, the

standards in the ISO 9000 series state how a specified quality level can be attained. This

way of thinking has much in common with the TQM philosophy and may be termed a

consistency system: ‘Says what it does; does what it says; and proves it. (Zahren and

Duncan, 1994.)’

The ISO 9000 series of standards is also generic in the sense that it is not written for

any specific activity or industry. The five key documents are:

. ISO 9000: Quality management and quality assurance standards: Guidelines for

selection and use.

. ISO 9001: Quality systems: Model for quality assurance in production, installation,

and servicing.

. ISO 9002: Quality systems: Model for quality assurance in production and

installation.

. ISO 9003: Quality systems: Model for quality assurance in final inspection and test.

. ISO 9004: Quality management and quality system elements guidelines.

Zharen and Duncan point out that the standards ISO 9001–9003 have different scopes:

. ISO 9003: Supplier must demonstrate a capability to inspect and test a product.

. ISO 9002: Supplier must, in addition, demonstrate that the relevant manu-

facturing processes are capable of maintaining requirements as per design specifica-

tions.

. ISO 9001: Supplier must demonstrate the mastering of quality in all phases of design,

development and servicing.

As already pointed out, the philosophy behind ISO 9000 has much in common with

current quality management thinking. The fact that the ISO 9000 series of standards was

developed with land-based indu stry in mind means that it is not especially well suited for

maritime transport services. This hurdle may, however, be overcome if one take ISO 9004

as the starting point. This document covers the basic philosophy behind the ISO 9000

series standards and makes it easier to apply and make the necessary adjustments and

modifications to the other standards (i.e. ISO 9001–9003). Part 2 of ISO 9004 gives

guidelines for supply of services and is therefore relevant for shipping and maritime

management services.

Adherence to the whole ISO 9000 series means that the followi ng functions have to be

addressed:

1. Contract review

2. Design control

3. Document control

478 CHAPTER 15 SAFETY MANAGEM ENT

4. Purchasing, including assessment of subcontractors and sup pliers

5. Product identiﬁcation and traceability

6. Process control

7. Inspection and testing

8. Inspection, measuring and test equipment

9. Control of non-conforming product

10. Corrective action

11. Handling, storage, packaging and delivery

12. Quality records

13. Internal quality audits

14. Training

15. Services

16. Statistical techniques

ISO 9000:2000

In order to reflect modern management approaches and to improve organizational

practices, it was found useful and necessary to introduce structural changes to the ISO

9000 standards while maintaining the essential requirements of the current standards. The

following paragraphs are taken from the ISO homepage on the web (ISO, 2000) and

summarize the present status of the revision of ISO 9000.

The current ISO 9000 family contains some 27 standards and documents. This

proliferation of standards has been a particular concern of ISO 9000 users and customers.

To respond to this concern, ISO TC 176 (i.e. Technical Committee 176) has agreed that

from the year 2000 the ISO 9000 family will consist of four primary standards supported

by a considerably reduced number of other documents (i.e. guidance standards, brochures,

technical reports, technical specifications). To the extent possible, the key points in the

current 27 documents will be integrated into the four primary standards, and sector needs

will be addressed while maintaining the generic nature of the standards. The four primary

standards will be:

. ISO 9000: Quality management systems – Fundamentals and vocabulary

. ISO 9001: Quality management systems – Requirements

. ISO 9004: Quality management systems – Guidance for performance improvement

. ISO 19011: Guidelines on quality and environmental auditing

The revised ISO 9001 and ISO 9004 standards are be ing developed as a ‘consistent

pair’ of standards. Whereas the revised ISO 9001 will more clearly address the qua lity

management system requirement s for an organization to demonst rate its capability to

meet customer needs, the revised ISO 9004 is intended to lead beyond ISO 9001 towards

the developm ent of a comprehensive quality management system, designed to address the

needs of all interested parties.

15.2 T O TAL QU ALITY MANA GEMENT (T QM) 479

Both standar ds will use a common vocabulary as defined in ISO 9000:2000, which also

describes the underlying fundamentals. A logical, systematic approach has been adopted

in formulating the definitions used in ISO 9000:2000, with the intention of generating a

more consistent terminology that is ‘user-friendly’.

The current ISO 9001, ISO 9002 and ISO 9003 standards will be consolidated into the

single revised ISO 9001:2000 standard. Clause 1.2 ‘Application’ will permit the exclusion

of some clauses of ISO 9001:2000 where the related processes are not performed by the

organization, and these requirements do not affect the organization’s ability to provide

products that meet customer and applicable statutory or regulatory requirements.

ISO14000

ISO 14000 is a series of voluntary international environmental management standards

(ISO, 1995, 2000). The 14000 series of standards addresses the following aspects of

environmental management:

. Environmental Management Systems (EMS)

. Environmental Auditing and Related Investigations (EA&RI)

. Environmental Labels and Declarations (EL)

. Environmental Performance Evaluation (EPE)

. Life Cycle Assessment (LCA)

. Terms and Definitions (T&D)

The ISO 14000 series of standards effectively addresses the needs of organizations

world-wide by providing a common framework for managing environmental issue s. The

standards promise to have the effect of a broadly based improvement in environmental

management, which in turn can facilitate trade and improve environmental performance

world-wide. The ISO 14000 standards are being developed with the follo wing key

principles in mind:

. They must result in better environmental management.

. They must be applicable in all nations.

. They should promote the broad interests of the public and the users of the standards.

. They should be cost-effective, non-prescriptive and flexible to allow them to meet the

differing needs of organizations of any size world-wide.

. As part of their flexibility, they should be suitable for internal or external verification.

. They should be scientifically based.

. And above all, they should be practical, useful and usable.

The benefits of an Environmental Management System (EMS) have been stated by

ISO as follows:

. Assuring customers of commitment to provable environmental management

. Maintaining good public/community relations

480 CHAPTER 15 SAFETY MANA G EMENT

. Satisfying investor criteria and improving access to capital

. Obtaining insurance at reasonable cost

. Enhancing image and market share

. Meeting vendor certification criteria

. Improving cost control

. Reducing incidents that result in liability

. Demonstrating reasonable care

. Conserving input materials and energy

. Facilitating the attainment of permits and authoriz ations

. Fosterin g development and the sharing of environmental solutions

. Improving industry–government relations

The standards in the ISO 14000 series fall into two major groups: organization-

oriented standar ds and product-oriented standards. The organization-oriented standards

provide comprehensive guidance for establishing, maintaining and evaluating an

Environmental Management System (EM S). They are also conce rned with other

organization-wide environmental systems and functions. The product-oriented standards

are concerned with determining the environmental impacts of products and services over

their life-cycles, and with environmental labels and declarations. These standards will help

an organization gather the information it ne eds in order to support its planning and

decision processes, and to communicate specific environmental information to consumers

and other interested parties.

15.3 THE ISM CODE

15.3.1 Background

The task that should face all shipping companies is to minimize the risk of poor human

and organizational decisions that could have negative effects on operational safety, which

may eventually lead to accidents. Human and organizational factors can have both direct

and indirect effects on safety. One aim should be to ensure that staff are properly informed

and equipped to fulfil their operational responsibilities safely. Decisions taken ashore

can be as important as those taken at sea, and there is a need to ensure that every

action affecting safety, taken at any level within the organization, is based on a sound

understanding of its consequences. The adoption by the International Maritime

Organization (IMO) of the ‘International Code for the Safe Operation of Ships and for

Pollution Prevention’, normally referred to as the International Safety Manageme nt (ISM)

Code, is the reflection of this objective on the part of governments (IMO 1994, 1995). The

ISM Code establishes an international standard for the safe management and operation

of ships by setting requirements for the organization of company management in relation

to safety and pollution prevention, and for the implementation of a safety management

system (SMS). The ISM Code addresses the very important issues relating to human

factors, and some argue that it is one of the most significant documents to be produced

by the IMO.

15.3 T HE I SM CODE 481

The ISM Code is a creation of the so-called ‘culture of self-regulation’ (see earlier

discussion) in which regulations go beyond the setting of externally imposed compliance

criteria, often known as the prescriptive regime. The ISM Code concentrates on internal

management and organization for safety, which means that safety is organized by those

who are directly affected by the implications of failu re.

1 5 .3.2 I m p l ementati o n of the I SM Code

The Assembly of the IMO has adopted a series of resolutions dealing with guidelines on

management procedures to ensure the safest possible operation of ships and the maximum

attainable prevention of marine pollution. These resolutions culminated in the ISM Code,

which was adopted in November 1993 by resolution A.741(18). In May 1994 a SOLAS

(i.e. the International Convention for Safety of Life at Sea) Conference decided on a new

Chapter IX of SOLAS which makes the ISM Code mandatory for ships, regardless of the

date of construction. For most ship types the Code was implemented on 1 July 1998, but

from 1 July 2002 the Code has been mandatory for all ships, including mobile offshore

drilling units. For passenger ships and high-speed passenger craft there is no lower limit in

terms of vessel size, but for all other ship types there is a lower limit of 500 gross register

tons (grt).

15.3.3 The Substance of the Code

The ISM Code is based on a set of general principles and objectives to be achieved.

It comprises 13 sections over 9 pages, and is therefore a fairly short document. The main

purpose of the ISM Code is to demand that individual ship operators create a safety

management system that actually works (ICS and ISF, 1996). The Code does not describe

in detail how the company should undertake this task, but just states that some areas

of measures have to be addressed. The underlying philosophy behind the Code is

commitment from the top, verification of competence, clear placement of responsibility,

and quality control of work.

The IMO has stated the following objectives for the adoption of a safety management

system (SMS):

. To provide for safe practices in ship operatio n and a safe working environment.

. To establish safeguards against all identified risks.

. To continuously improve the safety management skills of personnel ashore and

aboard.

. Preparing for emergencies related both to safety and environmental protection.

These objectives clearly show that the ISM Code has relations to existing or tradi-

tional safet y management approaches such as technical solutions, training, emergency

preparedness and risk analysis. The Code has 13 chapters, which are listed in

Table 15.7.

482 CHAPTER 15 SA FETY MANAGEM ENT

When discussing the effect of ISM on safety, there are two basic aspects: the content of

the Code’s regulations and what is an acceptable compliance with the Code. The content

of the ISM Code is described in detail in Table 15.8. The ISM Code specifies certain

requirements for the safety management system (SMS) of the operating company. In order

for the SMS to work properly, certain distinct elements and functions have to be in place.

The different chapters in the ISM Code cover these elements or functions of the system.

Chapter 11 of ISM Code states that the SMS may be seen as the product of the

establishment of controls that are defined in terms of:

. Responsibility and authority

. Supply of resources and support

. Procedures for the checking of competence and operational readiness, training, ship-

board operations, etc.

. Minimu m standards of the maintenance system

Chapter 11 of the Code also states that the safety management system shall be

adequately documented. Another key feature of the ISM Code is the definition and

introduction of a monitoring function based on audits and the reporting of events.

Auditing shall ensure that errors and shortcoming in the SMS are correcte d and that the

system is updated in view of new requiremen ts and conditions. Auditing and event

reporting shall also address hazards and system errors directly, and this may lead to

corrective actions in terms of modified systems and improved human competence. The

interactions between the different elements of the ISM Code are outlined in Figure 15.6.

Chapter 13 mainly states that the company should have a certificate of approval,

known as a Document of Compliance (DOC), which states that its SMS is in accordance

with the intention and specific requirements of the ISM Code. In addition every

vessel should have a Safety Manageme nt Certificate (SMC). The Code indicates several

Ta b l e 1 5 . 7. The ISM Code: table of contents

1. General

2. Safety and environmental protection policy

3. Company responsibility and authority

4. Designated person(s)

5. Master’s responsibility and authority

6. Resources and personnel

7. Development of plans for shipboard operations

8. Emergency preparedness

9. Reports and analysis of non-conformities, accidents and hazardous occurrences

10. Maintenance of the ship and equipment

11. Documentation

12. Company verification, review and evaluation

13. Certification, verification and control

15.3 T HE I SM CODE 483

Ta b l e 1 5 . 8 . The content of the ISM Code

Chapter Organizational tasks

2. Safety and environmental protection

policy

Establish a policy that is in accordance with the

objectives of the ISM Code. Ensure that

the policy is implemented and maintained at

all levels onboard and ashore.

3. Company responsibilities and

authority

Identification of the company responsible for the

operation. Specify responsibility, authority and

interrelation of key personnel. Ensure adequate

resources and shore-based support.

4. Designated persons Identity/assign person(s) serving as a link between

vessel and company. Monitor safety and secure

resources and support.

5. Master’s responsibility and authority Statement of Master’s authority for the safety

onboard, i.e. superior responsibility for the

implementation of the SMS. The Master’s tasks

include: motivate crew, issue orders, verify

adherence, review SMS and report events.

6. Resources and personnel The company should ensure that: The Master is

qualified and conversant with the SMS. The ship is

manned with qualified, certificated (i.e. STCW)

and medically fit seafarers. Procedures for

familiarization of personnel with new duties exist.

Rules, regulations, codes and guidelines are

understood. Procedures for identification and

provision of training exist. Procedures exist in a

working language for provision of information

about the SMS. The ship’s personnel are able to

communicate effectively.

7. Development of plans for shipboard

operations

Develop procedures for plans and preparation of

instructions for key shipboard operations.

Definition of tasks and assignment of

personnel.

8. Emergency preparedness Develop procedures to identify, describe and

respond to emergencies. Establish programmes

for drills and exercises. Ensure that the

company organization can respond.

9. Reports and analysis of non-

conformities, accidents and

hazardous occurrences

Develop procedures for the reporting of events.

Ensure that procedures exist for the

implementation of corrective actions.

10. Maintenance of the ship and

equipment

Maintenance in accordance with rules and

company-based requirements. Ensure

inspections, non-conformity reporting,

corrective action and record-keeping.

Identify safety-critical systems. Ensure reliable

operation and testing.

(continued )

484 CHAPTER 15 SAFETY MANA G EMENT

supplementary approaches in terms of assessing compliance with the ISM regulations.

These approaches include:

. Document ation on how the ISM Code will be implemented

. External verification and certification by an independent party

. Logging/reporting of the safety management processes

. Internal auditing and verification

Apart from this, the Guidelines on Implementation of the ISM Code by Administrations

(IMO, 1995) are fairly vague on how to verify that a safety management system conforms

with the Code. This document admits that certain criteria for assessment are necessary,

but also warns against prescriptive requirements and solutions prepared by external

consultants. The obvious philosophy behind this attitude is that the SMS should be an

integral part of the management thinking in the company an d hence should be a product

of the company.

It is important to recognize that the ISM Code and its requirements to company safety

management systems must be seen in the context of already existing international safety

regulations. The main safety conventions in this respect are:

. SOLAS: Safety of Life at Sea (1974) and SOLAS Protocol (1978, 1988).

. STCW: Standards for Training, Certification and Watchkeeping for Seafarers.

. MARPOL: The International Convention for the Prevention of Pollution from

Ships (1973), and its 1978 Protocol.

. COLREG: Convention on the International Regulations for Preventing Collisions at

Sea (1972).

. ILLC: The Inter national Convention on Load Lines (1966).

Ta b l e 1 5 . 8 . Continued

Chapter Organizational tasks

11. Documentation Develop procedures for establishing and maintaining

documentation of the SMS. Establish procedures

for the review and approval of changes to

documents. Ensure that the documentation

is available.

12. Company verification, review and

evaluation

Carry out internal safety audits, evaluate efficiency of

SMS (auditing personnel should have an

independent role). Feedback of findings to

involved personnel and responsible management.

13. Certification, verification and

control

The company should have a Document

of Compliance (DOC), and the vessels

a Safety Management Certificate (SMC).

15.3 T HE I SM CODE 485