TMSA a best practice guide for vessel operators 2nd

The programme encourages vessel operators to assess their safety management systems against listed key performance indicators and provides best practice guidance.. Shore - based staff re

A BEST-PRACTICE GUIDE FOR VEssel OPERATORS

© Oil Companies International Marine Forum, Bermuda

British Library Cataloguing in Publication Data

Tanker Management and Self Assessment

1 Oil Companies International Marine Forum

ISBN 1 905331 23 1

The Oil Companies International Marine Forum (OCIMF) is a voluntary association of oil companies having an

interest in the shipment and terminalling of crude oil and oil products OCIMF is organised to represent its membership

The Oil Companies International Marine Forum (OCIMF) has been in the forefront of the drive to implement a common vessel inspection process through the introduction of the Ship Inspection Report Exchange (SIRE) system This system promotes a uniformly high standard of common

inspections Member companies can then use the results within their own vetting systems

The management and operation of vessels within a culture of safety and environmental excellence was formalised with the introduction of the International Safety Management (ISM) Code This Code requires vessel operators to implement a safety management system that will help them to achieve incident-free operations However, there is a clear distinction between the standards of those vessel operators that embrace the spirit of the ISM code and those that aim to fulfil only its minimum requirements This variability may result in a charterer with due-diligence concerns having to assess the operational standards of individual vessel operators

OCIMF's Tanker Management and Self Assessment (TMSA) programme was introduced in 2004 as a tool to help vessel operators assess, measure and improve their management systems This second edition of the publication provides an update that builds on operators' experience with TMSA and feedback from the industry Significantly, the scope has been expanded to encompass all tank vessel operators, including those managing coastal vessels and barges

The programme encourages vessel operators to assess their safety management systems against listed key performance indicators and provides best practice guidance Best practice is an effective way to minimise the possibility of problems reoccurring It creates opportunities and optimises performance

in crucial areas such as safety and environmental excellence Companies should aim to transfer best practices across their fleet through the consistent application of improved processes and procedures

It is recognised that non-SOlAS vessels operate outside the ISM code However, operators of such vessels may use this guide as a tool to measure and improve their operations A company that incorporates the guidelines contained in the TMSA into their management system may be considered

as having an active assessment process, even if not being inspected under the SIRE scheme or having ISM as a management system

Vessel operators can conduct, and regularly review, theirTMSA assessments online at

www.ocimf-tmsa.com User names and passwords to access this database-driven website tool are issued by OCiMF for a nominal software licence fee

Vessel operators can use their assessment results to develop a phased improvement plan that

improves safety and environmental performance Although the TMSA programme provides gUidance, responsibility for vessel operations, and distribution ofthis data, lies exclusively with the vessel operator

Oil companies exercise due diligence in selecting well-maintained and well-managed vessels for charter The TMSA programme builds upon the ISM Code and can provide valuable feedback to the charterer on the effectiveness ofthe vessel operator's management system A uniform approach to gathering information will eliminate duplication of effort by operators

This TMSA initiative encourages vessel operators to achieve high standards of vessel management and continuous improvement, and provides guidance on what OCiMF believes to be current industry best practice

Best practice evolves and it is expected that further revised editions of this publication will be issued

in due course

Purpose and scope

Element 2 - Recruitment and management of shore-based personnel 21

Intro du ction

,The Tanker Managem,ent and S'elf Assessment (TMSA) programme offers a standard framework for

-assessmi;nt of a vessel operator's management systems

The programme provides operators with guidelines that contain the elements of a formal

management system, essential for the management and operation of their vessels

To be effective, a management system needs to be much more than just procedures The Company Leadership/Management should define the company's values and aspirations and detail how the company intends to achieve the objectives of their stated policies Management must also provide adequate resources to ensure that the vessels are properly managed, crewed, operated and maintained by well-trained, competent personnel

In an effective system, incidents and near misse's are investigated to determine root causes and corrective actions are implemented to prevent recurrence Hazards and risks are systematically identified and assessed to ensure that risk exposure is effectively managed and considered at appropriate levels of management There is a system to manage change and quantifiable indicators are used to measure the system's effectiveness and facilitate continuous improvement

TMSA contains these elements and provides a structure to help operators assess and modify their management systems to improve overall performance TMSA also provides the industry with useful information presented in a uniform format

Continuous Improvement

Leadership at all levels is an essential part of any improvement process The building blocks

of effective leadership are clarity in describing desired targets and strategic vision, direction,

communication, trust, commitment and reinforcement Leadership provides alignment to strategies, strong direction for staff and continuous improvement in individual and collective results The continuous-improvement cycle aims to deliver improvements through a company's management system

The KPls (Key Performance Indicators) within the elements help operators to drive their continuous­improvement programmes Operators can use the performance information from their own

assessment as a stand-alone lever for improvement, or combine it with the tools they currently use for developing and improving their management systems In either case, the feedback should provide operators with a clear, objective picture of their performance This will help them to identify gaps and will provide a focus for planning closure and future improvements

Th e k ey compon e nt s of th e cont i nuou s-i mprov e ment cy cl e

The following summarises the key stages of the continuous-improvement cycle, namely, plan, act, measure and improve

The TMSA guidelines are designed to help operators apply continuous-improvement tools

and techniques This segment of the continuous-improvement cycle helps staff to align their

actions with company goals and to improve performance

Measure

Check, evaluate and feed back information on results achieved

Safety and environmental excellence require processes to check, evaluate and feed back

information on progress and achievements in order to achieve sustainable improvement This

segment of the continuous-improvement cycle indicates procedural compliance, as well as

implementation and improvement efforts

Improv e

Define targets and focus efforts on areas where maximum benefit and improvement can be

obtained

The operator compares identified processes with its technical and operational needs and

resources so that it can develop a prioritised plan Staff review the plan and agree it with

management Where action is required but resources are unavailable, the issue is referred to

senior managers The emphasis is on achieving long-term improvements rather than quick

fi es This segment of the continuous improvement cycle aligns actions with process targets

and ensures that individual improvement plans are regularly reviewed and updated Targets

are defined and efforts focused on areas where the vessel operator can achieve the greatest

benefits and improvements

The TMSA programme complements industry quality codes and is intended to encourage self­

regulation and promote contin uous improvement It is also designed to provide vessel operators

with a means by which they can demonstrate a strong commitment to safety and environmental

excellence

About the TMSA Guidelines

The TMSA guidelines define 12 principles of management practice They provide a framework for

vessel operators who are aiming to achieve safety and environmental excellence and are structured as

follows:

The title indicates the fundamental area of management practice

the main objective defines the goal to be achieved

the supporting paragraphs within the elements explain how vessel operators can

achieve the main objective These are activities that diligent operators will either have already

included or would wish to include within their management systems

each element defines the Aim and KPls required to meet the main objective, together with

guidance on how this objective should be achieved

individual KPls within the elements provide an objective measurement of the standards

currently delivered by the operator's management system Vessel operators may wish to use

the best-practice guidance to achieve the standards outlined in the KPls

Once adopted, the TMSA guidelines become a framework within the operator's management system

They provide consistent measurement and feedback, generate continuous sustainable improvements

in key management processes, and lead to the long-term delivery of safety and environmental

excellence

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Management System Status

Ve ssel op e rat o rs' measurements

Operators may already have a comprehensive measurement system within their management systems They may find that they already use some of the KPls contained in the elements

Where the KPls are unfamiliar, they can build suitable monitoring processes into their existing

management systems The following is a systematic guide to using the measurement process

Key s tep s for th e measur e m e nt pro c esses

Operators should take time to read about the activity and its related KPI A short glossary (part four of this document) is included to clarify the industry definition of key terms and phrases

The KPls within each sub-element help operators to assess the level of attainmenttheir company has reached

The activities within each element are grouped into four stages Generally, the higher stages build

on the lower stages but this is not always the case The vessel operator may already have addressed some of the higher stage activities without having all the underlying stages in place and should report accordingly The operator may also choose to address activities in a different order than the stages would suggest However, it should be noted that the most benefit is achieved when the stages are completed in order Furthermore, if the lower stages have not been effectively addressed, assumptions made in completing higher stages may be unsound The emphasis should therefore be on completing elements generally in the order presented

With the expansion of the scope ofTMSA to encompass coastal and inland vessels, it is recognised that some of the higher stages may not be immediately attainable due to company size or structure

Furthermore, there are some KPI's which are included specifically for internationally-trading vessels and may not, therefore, be applicable in certain trades There are other KPI's that, in some trades, due to local regulations, customs or conditions, are addressed by agencies beyond the control of the operator To address this concern, these KPls have been specifically identified and operators, as specified in PartTwo, will have a 'Not Applicable' (N/A) option when responding to the KPI, in addition

to the standard 'Yes' and 'No' responses Where a company determines, after careful consideration, that

a KPI is not applicable to them, the reason for that determination must be stated and justified

There is no expectation that all stages will be addressed immediately, but the degree of completion will be a factor in the quality assessment As continuous improvement is also being measured, it is preferable to enter a TMSA showing present status and record improvements with later updates, rather than wait to submit a more complete assessment later

The TMSA should be a true self-assessment Users will learn most and derive the most benefit when the TMSA is completed by personnel directly involved in the activity

As each stage is completed, documentary evidence should be prepared and made available to senior

KEY ELEMENT

SUB-ELEMENT

, '_ - - -

Can you clearly provide evidence that you meet all the performance indicators in Stage 27

Can you clearly provide evidence that you meet all the performance indicators in Stage 37

--- - - -­-' - - - , - - '

Can you clearly provide evidence that you meet all the performance indicators in Stage 47

Submitting Reports

ANY RELEVANT SUB-ELEMENT COMPLETE

Record level achieved in the summary report

Develop an improvement plan to attain the next stage

NEXT KEY ELEMENT

As part of the submission, operators will be invited to identify which OCIMF member companies will

receive the report Only companies identified by the submitting operator will receive the TMSA

It is recommended that operators regularly review and update theirTMSA, at least annually Significant

changes in management structure, management systems and changes to fleet size and composition

should also prompt an updated assessment

The concept of KPls - a typical measurement process

In the context ofTMSA, Key Performance Indicators (KPls) are discrete measures that track a company's

effectiveness in meeting its aims and objectives They are a set of'vital signs'that represent the state

of a company's operational health When used as part of a measurement system, they determine the

quality of the processes and the degree to which the aims and objectives are being achieved

Use of KPls to measure a quality system

Vessel operators can use the information contained in this document to assess their quality systems

and to demonstrate an attainment level for each of the 12 elements

' Not Applicable' KPl's for inland and coastal vessel operators

The KPI's identified as 'Not Applicable' (N/A) are for those operators, in specific trades, where due to

the types of vessels operated, size and structure of the company, ortheir particular area of operation

where local legislation/regulations, preclude operators from being able to answer'Yes'to the

particular KPI, and a 'No' answer would not accurately reflect the company's level of attainment

Operators for which the use of the N/A option may apply, could be considered as those:

Operating in rivers, harbours and waterways where operations referred to in the TMSA are

not conducted/permitted and the monitoring/carriage of spares is unnecessary due to the

ready availability of technicians and spares at short notice

operating unmanned and/or non-self-propelled vessels where the vessel's operations and

type of equipment fitted do not permit attainment of the KPls objectives

where the management structure is such that personnel have a multitude of roles, which

does not provide the degree of separation necessary for meaningful audits/inspections to be

conducted

where the company size is a limiting factor, such as where the owner also operates the vessel

and is responsible for its management

operating in jurisdictions in which emergencies are dealt with by local government agencies,

and hence involvement in the development and improvement of response plans is not

possible

Use of t he mea surem ent data by vessel op er ators

KPI data provide an opportunity for operators to assess the effectiveness of their management

systems and use the results in managing their continuous-improvement programmes

Operators may decide to use KPI data as a stand-alone decision-making tool, or in conjunction with

the management tools they currently use for improving their quality systems In either case, the

feedback should give operators a clear, objective picture of their performance and allow them to

identify gaps and plan future improvements

Use of t he measurem ent data by OCIMF members

Improving the TMSA guidelines

OCIMF is committed to continuously improving the TMSA guidelines The KPls included in the TMSA

guidelines may change with time as the initiative develops As new best practices are identified, these

will be included in updates ofthis document OCIMF members may perform periodic reviews to seek

improvements in the programme

Reference documents

The following documents have been used as reference material in the preparation of the TMSA

guidelines Vessel operators may wish to use the latest editions ofthe non-regulatory documents

mentioned below to improve their existing quality-management systems further

ICS: Guidelines on the Application of the IMO International Safety Management (ISM) Code

ICS: Shipping and the Environment - A Code of Practice

ICS: Bridge Procedures Guide

ICS: STCW-95

Company checklists

ICS/INTERTANKO: Model Ballast Water Management Plan

International Ship Managers' Association (ISMA) Code of Ship Management Standards (the ISMA Code)

OCIMF publications, e.g., ISGOTT, Mooring Equipment Guidelines, etc

American Waterways Operators (AWOl guidelines

Management, Leadership and Accountability

Main objective

Provide direction and clearly define responsibilities and accountabilities at all levels within the organisation

An effective quality management system requires commitment at the highest levels of the

organisation and clear definitions ofthe roles and responsibilities for everyone involved in its administration Element 1 establishes these principles as part of the management system

Safety and environmental excellence

The concepts of safety and environmental excellence should be understood at all levels in the organisation and actively promoted through leadership and the disciplined use of documented management systems

The quality management system

Vessel operators should establish and maintain a documented quality management system that can

accomplish the stated fleet management policies and objectives In addition, all managers should be held accountable for achieving the targets and objectives established for them

Management activities that require instructions and procedures should be systematically identified

Where instructions and procedures are required, they should be suited to the purpose and easy to understand and follow Where appropriate, these instructions should be developed in consultation with those who will be affected by them or who have to apply them

The management system must promote feedback and appropriate responses within vessel operators' companies It must also provide information on incidents, vessel inspections, fleet performance, serious near misses and lessons learnt This information should be made available to those who charter vessels

Roles and responsibilities

Vessel operators should ensure that management roles and individual responsibilities are clearly established, assigned, understood and documented

Communication

Vessel operators should establish and maintain effective communication procedures between shore­

based management and the fleet This should include communication of the quality management system to all areas within the company

1 Management, Leadership and Accountability

A i m Through strong leadership, management promotes safety and environmental excellence at all levels in an

I

organisation

Management commitment is clearly defined in

documentation that includes mission and vision

statements, policies and procedures

Senior management demonstrates a clear commitment

to implementing the safety management system

Safety and environmental excellence are fully

understood and supported by vessel and shore-based

management teams

All company personnel can describe what safety and

environmental excellence means in practice

Management strives to improve performance in the

areas of safety and environmental performance at all

levels throughout the company

Shore management sets company standards and

performs assessments to verify their implementation

The steps required to achieve safety and environmental

excellence are clearly defined by management

Vessel and shore-based management teams promote

safety and environmental excellence

• Safety and environmental targets and objectives are

discussed, at least quarterly, at management meetings

on board and ashore

Safety and environmental performance targets are

monitored against KPls

All vessel and shore personnel demonstrate their

commitment to safety and environmental excellence

Mission and vision statements contain the high-level and long-term goals and aspirations of the company,

such as zero incidents and zero spills The company aims to reach these goals through continuous improvement

Senior managers demonstrate commitment by conducting management reviews, reviewing nonconformance summaries and assessing progress towards the audit plan The company keeps records that indicate the extent of management involvement

in these activities

The company defines what safety and environmental excellences means The company establishes communication links to encourage information sharing Best practices are promoted across the fleet The company records lessons learnt and then communicates this information to the entire fleet

When required, managers track the recommendations

to ensure that all necessary changes have been made

Everyone within the organisation understands the company's concept of safe operations This

is promoted through leadership and sound management practices Managers promote and measure staff understanding through activities such

as vessel visits, informal meetings and seminars

Vessel-to-shore communication links and procedures are used to capture best practices and near-miss lessons learnt

Typical measures (KPls) include, but are not limited to, pollution incidents, number of audit findings resolved, number of near-miss reports and number of best practices identified

Key steps are clearly defined and documented within the management system There is a clear time frame and targets are defined for each stage

Leadership is visibly demonstrated at every level

Strong, effective and visible leadership is needed

to establish and sustain long-term improvements towards safety and environmental excellence

Progress reports are discussed at least quarterly at management meetings on board and ashore Where progress is less than planned, management takes corrective action to realign performance with targets and objectives

The company has formal performance targets placed within its business objectives Staff monitor status at least quarterly using KPls and report their findings to senior management

Managers and supervisors give clear directions and,

by their behaviour, demonstrate commitment to safety and environmental excellence Evidence should

be available of positive reinforcement being applied through the company's established recognition system

Aim Management accepts responsibility for developing and maintaining a dynamic (documented in hard-copy

or electronic format) safety management system to implement policy and deliver safety and environmental excellence

STAGE KEY PERFORMANCE INDICATORS BEST-PRACTICE GUIDANCE

Management ensures that policies cover all the activities

undertaken by the company

Policies should reflect the company's position on, but not limited to, Safety, Security, Health and Environmental matters

Policies are reviewed through processes described in formal

procedures and instructions

The company regularly reviews these policies through onboard safety meetings, management reviews, officer forums and other formal meetings

Procedures and instructions are available at all work

A formal document-control system is in place to ensure that

the current management system documentation is available

for use at all work locations

The company operates a document control system

to ensure that ONLY the current management system

documentation is available The company has a process for coordinating and correlating safety management system manual revisions An appropriate level of management

is involved in the approval process for such revisions

Instructions and procedures are available wherever work

is carried out All staff and contractors have access to these important documents

Instructions and procedures are written in plain language

and contain sufficient detail to ensure that tasks can be

completed correctly and consistently

The company ensures that instructions and procedures are clear and simple to use Actions are arranged in sequential order and in a way that makes it easy to identify each step

Periodic meetings that review or amend current procedures

or propose new ones take place on a regular and timely

basis, and are formally recorded

Formal records include the meeting agenda, minutes, details of procedures and instructions that have been updated as a result of meetings, and any other supporting information The review frequency may vary, depending

on fleet structure, fleet size and vessel type

The safety-management system encourages proactive

feedback

Feedback should be provided on incidents, vessel inspections, fleet performance, serious near misses, lessons learnt, etc

Instructions and procedures covering shore and vessel

operations are developed in consultation with those who

will have to implement them

The workforce is involved in developing instructions and procedures jointly because this involvement delivers effective guidelines that are more readily accepted

Managers are clearly held accountable for achieving the

objectives established for them

Roles, responsibilities and accountabilities are defined within the management system When organisational

changes occur, those responsible for supervising or managing the function(s) undergoing change are also

responsible for clear and explicit reaSSignment of this accountability

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"' - - - - ­

Recruitment and Management of

Shore-Based Personnel

Rec ru itment and Management of Shore-Based Personne l

Main objective

Ensure that the fleet is supported by competent shore-based staff who are committed to a high

Shore-based staff have key roles to play in the effective management of the fleet and in supporting safe operations at sea Element 2 establishes the need for shore-based personnel to have the skills and training that they require to carry out their tasks

Shore - based staff recruitment a nd training

Vessel operators should establish and maintain procedures for the selection, recruitment and training

of shore-based personnel These procedures should

Promote staff continuity, with an emphasis on retaining and developing people in key roles (such as that of superintendent)

ensure that sufficient people are employed to provide full supervision of all vessels in the fleet

verify that the people employed are qualified and competent to carry out their duties determine staff competency in relation to appropriate technical education, training, skills and experience

verify that medical requirements are established and met by staff at the time of their appointment and on an ongoing basis thereafter

include an appraisal system that sets criteria for promotions and requirements for succession planning

ensure that records of all staff qualifications, experience and training are consistently maintained

identify follow-up training requirements and retain records of staff attendance at courses,

seminars and conferences

2 Recruitment and Management of Shore-Based Personnel

Aim Ensure that the fleet is supported by key staff who are competent to carry out the full range of responsibilities

and tasks

STAGE KEY PERFORMANCE INDICATORS BEST-PRACTICE GUIDANCE

The pre-recruitment process should include checks The company ensures that information supplied

that applicants have the appropriate qualifications and by recruits (career summary, resume and interview

experience records) indicates that they have the appropriate

skills to fill the position The company specifies the minimum qualifications and experience required for each shore-based position

The recruitment process includes verification that the This process includes checking certificates with the

qualifications of new recruits are genuine issuing authorities and contacting former employers

to verify experience if referred to by the new employee

There is a formal familiarisation process in place for The company has a written plan for formal entry of

newly recruited shore-based staff new recruits This is documented to show that the

inductee has received the appropriate training and familiarisation necessary to undertake their new responsibilities and accountabilities Familiarisation covers all policies including safety, security, health, environment, quality, business ethics and cultural awareness

A formal staff appraisal system ensures that key staff The company identifies key staff and the appraisal

members undergo a performance assessment at least system includes reviews of staff abilities and identifies

annually any development requirements, including additional

training needs Any issues highlighted in appraisal reviews are given priority and resolved

The recruitment process identifies any training needed This includes permanent company employees and

to ensure that personnel have the required skills and may include third party contractors

capabilities

attended for all key shore-based

Reasons for retention rates of less than 70% should be superintendents) is greater than 70% over a two year

The average job retention rate for key staff (such as

This includes permanent company employees and training, refresher training and participation in industry

Key staff retain core technical skills through new

may include third party contractors

forums, seminars and conferences

Office resource levels are reviewed during an annual implement the safety management system effectively

The company provides adequate resources to

management review meeting

The company encourages and

j

Rotation improves on-board understanding of the assignments

Senior on-board personnel are rotated through office

wider aspects within the shipping business and improves understanding of marine operations for non-mariner shore personnel

I

I Courses include subjects such as team building,

training

The company promotes appropriate interpersonal skills

presentational skills, diversity, brainstorming and negotiating skills

Recruitment and Management of

Vessel Personnel

Recruitment and Managem e nt of V es s e l Pe r sonnel

Vessel operators should establish and maintain procedures for the recruitment and administration of crews These procedures should

Verify that certificates of competency are valid and that pre-employment records are up-to­date

assess the authenticity and adequacy of certificates of competency against the appropriate standards set in the STeW code and, where appropriate, take additional steps to determine the competency of vessel personnel and the accuracy of their pre-employment records verify that medical requirements are established and met by staff at the time of their

appointment and on an ongoing basis thereafter

include an appraisal system that sets criteria for promotions and requirements for succession planning

ensure that follow-up training requirements are identified and recorded, and that records are kept of attendance at courses, seminars and conferences

confirm that the working hours of key personnel are accurately recorded and that

management monitors the records in order to ensure adequate rest periods

promote staff continuity, with an emphasis on retaining senior officers in their substantive roles

provide adequate resources to administer the crews' conditions of employment, including personal needs and requirements

determine and clearly state the common language to be used on board vessels so that all crew members can communicate with each other This is especially important in

emergencies

Manning agents

Vessel operators should ensure that the procedures for selection and recruitment used by their manning agents are of a standard comparable with those established in this element

3 Recruitment and Management of Vessel Personnel

Aim Ensure that all vessels in the fleet have competent crews who fully understand their roles and responsibilities

and who are capable of working as a team

STAGE KEY PERFORMANCE INDICATORS BEST-PRACTICE GUIDANCE

Management has a defined system of selection,

recruitment and promotion procedures

The company checks that certification complies with the issuing authority's standards/requirements The company authenticates certificates and maintains records of these checks Issue dates for certificates and endorsements must correlate to previous experience and vessel type

A process is in place to screen new crew members for

job competence

The company has a process, with rank-specific requirements, which includes qualification checks and a review of experience Where manning agencies are used, the operator is involved in the recruitment process

Medical checks are conducted as a part of the selection

and recruitment process

Company is aware of Flag State medical requirements and ensures these are complied with In the case

of operators who manage chemical vessels, blood accumulations should be checked The frequency of medical checks is clearly defined and complied with across the company to meet local legislation

A formal drug and alcohol policy is implemented and a

system is in place to monitor it on a regular basis

The company complies with Flag State legislation and/or OCIMF guidelines

An appraisal process is in place for all vessel staff Appraisal reports include safety and environmental

awareness, ability and personal effort Appraisals must

be conducted at the end of every employment period

or contract or annually, as appropriate to the trade

of the vessel Vessel personnel are allowed to review appraisal reports and have their comments recorded

The vessel operator verifies that the manning agents

ensure that crew quality requirements are consistently

met

Vessel operators ensure that their procedures are complied with by the manning agency This includes competency and certification checks, appraisal frequency and monitoring any tour of duty overrun

The company has an extended recruitment and

interview process for senior officers

The company aims to fulfil senior officer positions from within the company This process is conducted

by shore management and includes an introduction

to company philosophy and structure, and an outline

of expectations and defined responsibilities Final interviews, before recruitment, are conducted at head office and are fully documented

Selection, recruitment and promotion procedures

ensure appropriate staff placement with documented

The company promotes hygiene awareness within the

safety management system

The company actively promotes high standards

of housekeeping and hygiene, particularly in food storage and preparation

STAGE KEY PERFORMANCE INDICATORS BEST-PRACTICE GUIDANCE

The company operates an enhanced appraisal process

for sen ior officers

Shore management assesses appropriate senior officers during vessel visits or at head office The assessment should include training and development requirements and objectives, and should be fully documented

The company has a documented disciplinary process The company philosophy includes re-education and

development of staff by ongoing training, particularly for those who have been involved in operational incidents It should be noted that some Flag State administrations may dictate the process

Manning agencies used by the company are audited Applicable in cases where manning is managed by

annually to ensure their practices meet the vessel an agent

operator's selection and recruitment procedures

Manning agents are audited at their premises at least annually, where applicable, in line with ISM internal audit requirements An audit checklist is prepared that covers items such as certification and competency checks, operator training requirements, appraisal results and recruitment processes Records of such audits are maintained and include details of findings and/or corrective actions assigned to each manning agent

Vessel operators conduct an annual review of the crew Applicable in cases where manning is managed by

selection and recruitment process to ensure that it the vessel operator

,

complies with their policies and procedures

Documented evidence of this review is available at the vessel operator's head office The review is based around a standard worksheet following the ISM nonconformity reporting system

The company implements health awareness campaigns Practical support for health awareness may include

advice on working under extremes of temperature or humidity or other adverse environmental conditions

Catering and other staff facilities encourage a healthy diet and the taking of adequate exercise

• The company conducts pre-employment assessment

for job competence and training for officers and ratings

Techniques such as simulator training and based or psychometric assessment should be used

computer-to confirm job competence before confirmation of employment

The company has a documented planning process to Staff succession and recruitment planning is

ensure that future manning needs can be met conducted, including profiling of competence,

Aim Ensure that all vessels in the fleet have competent crews with an emphasis on senior officers who are

committed and motivated through encouraging job satisfaction in all ranks

Shore management provides adequate resources to Management ensures that adequate resources are

ensure the well-being of crews available to care for the welfare of the vessel's crew,

whether they are employed directly or through a manning agency Well-being covers diverse aspects of the crew's quality of life including factors such as quality

of food, accommodation, rest and recreation facilities,

hygiene, air conditioning, access to ship and shore medical faCilities, and eligibility for compassionate leave

There are procedures to ensure that the working and rest Management ensures that officers and crew are

hours of all personnel are in line with STCW or relevant complying with the STCW or relevant authority for vessel authority guidelines for the vessel trade and are being trade limitation-of-hours requirements The company

accurately recorded e sures that officers and crew receive adequate periods

of rest The company considers and provides, where required, additional manning, particularly where voyages are short or workloads are high

There are procedures in place to ensure that, where crew All training, whether mandatory or discretionary, is

training is required, it is undertaken within a specific time undertaken within a set time frame for each rank

The company provides initial and refresher training for all The requirements outlined in the STeW or by the

ranks relevant authority for vessel trade are a minimum

standard that the company aims to exceed The company values and encourages refresher training for its staff

Management monitors and records training results and its The outcome of individual training is, where appropriate, effectiveness measured to ensure effectiveness

The company has procedures to identify additional The company monitors personnel to identify training

training requirements needs The type of training required is documented in

the crew appraisal system

Crew training includes the use of audiovisual training aids This training may be carried out either on board, or

and/or computer based training ashore at the company or agency office or training

centre, or in combination

officers and aims to promote senior officers

the company, where possible

Retention rates for differing ranks and nationalities are officers over a two-year period

The company achieves an 80% retention rate for senior

recorded and monitored

The company holds shore-based seminars for senior promote, emphasise and enhance the company's safety

The company organises senior officer seminars to

Training for seafarers exceeds the minimum requirements The company determines additional training that

of the STCW or of the relevant authority for vessel trade is considered necessary to enhance safety and

environmental performance levels

Company policy provides career opportunities for officers Shore assignments are used to determine suitability

by providing shore-based assignments before promotion or to provide an opportunity to

experience working in a meaningful role within the office It is company policy to transfer officers ashore for career development

Management achieves an officer retention rate greater Retention rates for differing ranks and nationalities are

than 80% over a two-year period recorded and monitored

All officers attend shore seminars The agenda covers every two years

All officers attend company-run seminars at least once

changes in legislation applicable to the vessel, management reviews, safety and company philosophy

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<1 D D D D D OPEN for further information

31

Reliability and Maintenance

Standards

Reliability and Maintenan c e Standards

Main objective

Establish maintenance standards so that all vessels in the fleet are capable of operating safely without an incident or detention

Equipment reliability depends on factors such as design, construction, initial commissioning,

operating practices and maintenance For installed equipment, properly planned maintenance procedures are essential if vessels are to operate reliably and avoid unnecessary downtime or costly incidents

Element 4 sets out the requirement for establishing sound maintenance practices It encourages vessel operators to establish formal, consistent maintenance systems that ensure the reliable operation of the vessels in their fleets

lACS Recommendation 74 "A Guide To Managing Maintenance" may be a useful guide for planning and implementing an effective maintenance management system

Critical equipment

Vessel operators should establish and maintain procedures to identify mechanical, electrical and other items of equipment that, in the event of a failure, may result in a hazardous situation This is particularly important in relation to critical equipment, for example, the main propulsion systems, steering gear and cargo-handling equipment

Maintenan c e procedures

Vessel operators should arrange procedures and systems for controlling maintenance These

procedures are intended to

Ensure that the structural integrity of all vessels in the fleet is maintained through an

appropriate monitoring programme

ensure that all relevant vessel certification remains valid

define the steps required to achieve safe operation of all onboard equipment

provide timely support and ensure the availability of approved and/or fit-for-purpose spares, materials and other resources necessary to carry out maintenance procedures, including reconciliation procedures

ensure that maintenance records and reports are consistently available, both on board and in the shore-based management office

establish procedures for monitoring class-condition reports, which provide an overview of the state of specific onboard equipment

establish a requirement for superintendents to conduct routine vessel inspections and

4 Reliability and Maintenance Standards

Aim Each vessel has a formal maintenance and defect reporting system, and an optimum spare parts inventory

Each vessel in the fleet is covered by a planned

maintenance and defect reporting system

The system, which may be computer-based, covers all on­

board equipment including all navigation, deck, engine, cargo handling and electronic equipment and machinery

Company management regularly reviews the vessel and

fleet maintenance activity system

The status of maintenance standards is frequently reported to company management for review Company management monitors vessel status and provides any assistance required

The company ensures that condition-of-class (CoC), or

equivalent, items are monitored and closed out as soon as

possible

Vessel owners and operators should strive to correct any such items without delay and are encouraged to do so before the due date as issued by class or other relevant authority

There is a verification process in place to monitor the

accuracy of all vessel certificates, in addition to the

monitoring system on board the vessel

Cargo, void and ballast spaces are regularly inspected to

ensure their integrity is maintained Records are

tank-specific and made on a standardised format that may

include photographs as evidence of the tank's condition

The company offers supportive information, through industry/class publications providing guidance on inspection frequency and comparative photographs and

a geographic layout of each tank to ensure uniformity of reporting The frequency of inspection should be carried out to class requirements as a minimum

Superintendents/responsible managers follow up on all

required maintenance

Superintendents/responsible managers ensure that all maintenance has been carried and checked by a random physical examination of records and machinery during on board visits

Superintendents/responsible managers visit vessels to

audit maintenance and defect correction plans

Company superintendents/responsible managers visit and, if appropriate, sail on the vessel to confirm that maintenance standards defined in the company plan are being maintained

The maintenance and defect reporting system alerts the

staff responsible for fleet maintenance on board and

ashore when it becomes due

A common, computer-based maintenance system on

board each vessel records all planned maintenance

The maintenance and defect reporting system is held

on computer for a better overview and easier editing

This only includes reference to the manufacturer's job description, not the instructions

There is a formal shipyard repair list maintained on board

The company policy is to maintain an optimum spare parts

inventory or system redundancy for all vessels

J The maintenance and defect reporting system also

monitors the vessel 's spares inventory and highlights any

shortages

Special attention is given to establishing on-board spare parts inventory based on critical equipment evaluation or hazard identification studies

The vessel's maintenance and defect reporting system

tracks all outstanding repair items, including dry-dock

work lists

.There is a company system that tracks ALL fleet-wide

outstanding maintenance and defect items

System-generated reports are kept in a common database to allow management to monitor the performance of all ves sels in the fleet

The maintenance plan includes proactive measures Records are available to demonstrate the use of vibration,

infrared or performance monitoring of main and auxiliary equipment

Aim Testing and planned maintenance of critical systems and equipment are always carried out as per the plan

STAGE KEY PERFORMANCE INDICATORS BEST-PRACTICE GUIDANCE

Critical equipment and systems are defined and

identified within the safety management system

Management provides clear instructions on the identification of on-board critical systems, alarms and equipment Risk-assessment or hazard-identification methods are documented to help the identification of such equipment and systems

Critical equipment and systems are identified in the

vessel's planned maintenance system

Critical equipment lists are available in an easy-to­

understand format All items listed are identified in the planned maintenance system

There are clear reporting requirements when critical

systems, alarms or equipment become defective, or

require planned or unplanned maintenance

Shore management are informed when there is a failure of critical equipment

Maintenance on critical equipment should follow

defined procedures that include a risk assessment

which requires approvals at the appropriate levels of

management before the equipment is shut down

The risk assessment includes

· Personnel, spares and tools

· worst case scenarios

· recovery and mitigation measures

· commissioning and testing procedures

· alternative back-up equipment/systems

· necessary modification in operational

proced u res as a result

· additional safety procedures (emergency)

If the agreed shutdown period for critical equipment or

systems is to be exceeded, any extension or alternative

actions will require review by shore management

A further risk assessment is undertaken if circumstances (such as environmental conditions, crew fatigue or operational parameters) change

The vessel operator gives special attention to recording

test and performance data for all critical equipment and

systems

The vessel operator identifies and documents

competency standards with regard to critical

equipment and systems

Shore management should define minimum competency standards for critical equipment and systems with regard to

· Operation

· maintenance and repair

48 Reliability and Maintenance Standards (Close - Out Performance)

A i m Management tracks the number of outstanding maintenance tasks of non-critical equipment to ensure that

these are resolved quickly and efficiently

The number of outstanding planned maintenance tasks

of non-critical equipment for individual vessels and the

fleet as a whole is expressed as a percentage ofthe total

number of monthly planned maintenance tasks

Year to date - outstanding tasks are less than 10%

Data should be recorded monthly with a running year­

to-date figure also recorded

The number of outstanding planned maintenance tasks

of non-critical equipment for individual vessels and the

fleet as a whole is expressed as a percentage ofthe total

number of monthly planned maintenance tasks

Year to date - outstanding tasks are less than 6%

The number of outstanding planned maintenance tasks

of non-critical equipment for individual vessels and the

fleet as a whole is expressed as a percentage ofthe total

number of monthly planned maintenance tasks

Year to date outstanding tasks are less than 3%

• The number of outstanding planned maintenance tasks

of non-critical equipment for individual vessels and the

fleet as a whole is expressed as a percentage ofthe total

number of monthly planned maintenance tasks

Year to date outstanding tasks are less than 1 %