OCIMF TMSA guideline 2004

TANKER MANAGEMENT AND SELF ASSESSMENT A BEST-PRACTICE GUIDE FOR SHIP OPERATORS FIRST EDITION 2004 The OCIMF mission is to be the foremost authority on the safe and environmentally responsible operation of oil tankers and terminals promoting continuous improvement in standards of design and operation OCIMF Oil Companies International Marine Forum purpose and scope 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 , thereby reducing the number of inspections that each ship undergoes The management and operation of vessels within a culture of safety and environmental excellence were formalised with the introduction of the International Safety Management (ISM) code This code requires ship operators to implement a safetymanagement system that wil help them to achieve incident-free operations However there is a clear distinction between the standards of those ship operators that embrace the spirit of the ISM code and those that aim to fulfil only its minimum requirements This variabilty may result in a charterer with due-diligence concerns having to assess the operational standards of individual ship operators OCIMF' s Tanker Management and Self-Assessment (TMSA) programme is a tool to help ship operators measure and improve their management systems The programme encourages ship operators to assess their safety-management systems against listed key performance indicators and indicates best practice Best practice is the most effective way to solve problems; 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 Ship operators can conduct , and regularly review, their TMSA assessments online at www ocimf- tmsa com User names and passwords to access this database-driven website tool wil be issued by OCIMF for a nominal software licence fee Ship operators can use their assessment results to develop a phased improvement plan that improves safety and environmental performance The TMSA programme provides guidance , but responsibility for ship operations , and distribution of this data lies exclusively with the ship operator Oil companies are taking 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 of the ship operator s ISM system A uniform approach to gathering information will eliminate duplication of effort by operators This TMSA initiative encourages ship operators to achieve high standards of ship management and continuous improvement , and provides guidance on what OCIMF believes to be current industry best practice Best practice evolves and we expect to issue revised editions of this publication There are aspects of ship operations that are not described in this document For example we have decided not to include security in this first edition , as our recommendations would be superseded by the International Ship and Port Security (ISPS) code OCIMF aims to make this guide definitive and comprehensive and would , therefore , welcome comments and additional contributions on what constitutes best practice from ship , i operators and others involved in the industry contents Purpose and scope Part one The quality system initiative (TMSA) and guidelines Part two The 12 elements of the TMSA guidelines Element Management , leadership and accountabilty Element Recruitment and management of shore- based personnel Element Recruitment and management of ships ' personnel Element Reliability and maintenance standards Element Navigational safety Element Cargo , ballast and mooring operations Element Element Management of change Incident investigation and analysis Element Safety management Element 10 Element 12 Environmental management Emergency preparedness and contingency planning Measurement , analysis and improvement Part three Application of the guidelines and implementation Part four Glossary of key terms and phrases Element PART ONE the quality system initiative (TMSA) TANKER MANACEMENT AND SELF ASSESSMENT Introduction and guidelines The elements define the objectives and KPls required to meet the main objective of the element and guidance on how this objective should be achieved The Tanker Management and Self-Assessment (TMSA) programme offers a standard framework for assessment of a ship operator s management systems Individual KPls within the elements provide an objective measurement of the standards currently delivered by the ship operator s management system Ship operators may The programme provides ship operators with guidelines that describe the essential elements of a formal wish to use the best-practice guidance to achieve the standards outlined in the KPIs management system The guidelines also offer examples of key performance indicators (KPI) The TMSA programme is intended to help ship operators to improve their management systems and to help the industry to take well-informed vetting decisions The quality-assessment process is central to the TMSA programme The outer circle combines the ISM code with the requirements of ship operators and industry guidance The inner circle e \SM operator s management requirements of the ISM code , and a continuous- continuous improvement tools they currently use for developing and improving their management systems In either case , the feedback should 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 continuous- continuous improvement in individual and collective results The continuous-improvement cycle aims to deliver improvements through a company s management system "" '5 s.,LJaW\3 \\'\' improvement cycle The key components of the improvement cycle their continuous-improvement programmes Operators can use the performance information from their own assessment as a stand-alone lever for improvement , or combine it with the provide operators with a clear, objective picture of their performance This wil help them to identify gaps and wil provide a focus for planning closure and future improvements cOC/$ represents the ship system , indicating its compliance with the CONTINUOUS IMPROVEMENT The KPls within the elements help ship operators to drive Plan: Ensure effective strategies and provide clarity in company policies , purpose , processes , roles and responsibilties Act: Work to achieve the organisation s objectives by consistent implementation of plans Measure: Check , evaluate and feed back information on results achieved Improve: Define targets and focus efforts on areas where commitment and reinforcement Leadership provides alignment to strategies , strong direction for staff and Plan Effective strategies require clear policies , purposes processes , roles and responsibilities OCIMF provides guidance on these issues , encouraging companies to conduct their business with a focus on safety and environmental excellence The TMSA guidelines give ship operators a clear indication of related processes and targets that wil help them in their planning for achieving this goal maximum benefit and improvement can be obtained The TMSA programme complements the ISM code and is intended to encourage self-regulation and promote continuous improvement It is also designed to provide ship operators with a means by which they can demonstrate a strong commitment to safety and environmental excellence ABOUT THE TMSA CUIDELINES OCIMF consulted a range of documents , including the ISM code , the ISMA code of practice and various ICS publications , before producing the TMSA guidelines The TMSA guidelines define 12 principles or key elements of management practice These elements provide a checklist for ship operators who are aiming to achieve safety and environmental excellence They are structured as follows: Act The next step is to communicate the guidelines , and then to prioritise and target processes for improvement Clear definition of objectives and outcome measurements is crucial Once a development plan has been agreed upon staff can start to put it into action The TMSA guidelines are designed to help ship operators apply continuous- improvement tools and techniques This segment of the continuous- improvement cycle helps staff to align the'i actions with project goals and to improve performance Measure Safety and environmental excellence require processes to the 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 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 ship operators can achieve the main objective These are activities that diligent ship operators wil either have already included or would wish to include within their management systems Improve The level of attainment achieved in meeting KPls must be The ship 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 fixes This segment of the continuous- improvement cycle aligns actions with process targets and as accurate and substantive as possible Overstating the status of a company s management system could result in incorrect or meaningless information being introduced to improvement efforts Ship operators can incorporate results from the measurement- process flowchart (below) into their continuous-improvement process (see part three for further guidance) ensures that individual improvement plans are regularly reviewed and updated Targets are defined and efforts focused on areas where the ship operator can achieve the greatest benefits and improvements Once adopted , the TMSA guidelines become a framework within the ship operator s management system They KEY ELEMENT 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 SUB- ELEMENT Can you clearly provide evidence Revisit your that you meet all the performance SMS and ISM code indicators in Stage 17 Develop an OCIMF CUIDANCE FOR MEASURINC YOUR COMPANY' S MANACEMENT-SYSTEM STATUS improvement plan Ship operators ' measurements Can you clearly provide evidence that you meet all the performance indicators in Stage 27 Ship operators may already have a comprehensive measurement system within their management systems They may find that they already use some of the KPIs contained in the elements Where the indicators 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 steps for the Record level achieved in the Record summary report accurately and retain all available background evidence Develop an Can you clearly provide evidence that you meet all the performance indicators in Stage 37 improvement plan to attain the next stage measurement processes Ship 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 KPIs within each sub-element help ship operators to Can you clearly provide evidence that you meet all the performance indicators in Stage 47 assess the level of attainment their company has reached The activities within each element are grouped into four stages Working through each stage wil provide an assessment of the current management-system status and indicate what , if anything, has to be done to reach the next stage Staff responsible for implementing TMSA guidelines should establish which group or section within their company is responsible for performing each activity and whether there is a defined process or procedure already in place By working with the people who have responsibility for each activity, they should review how the activity is being performed across the fleet , look specifically for consistent implementation , and make sure they have a clear and accurate understanding of the present status As each stage is completed , documentary evidence must be prepared and made available to senior management This confirms that processes and procedures are in place within the safety-management system NEXT KEY ELEMENT PART TWO the 12 elements of the TMSA guidelines ELEMENT Management, leadership and accountabilty Main objective Provide direction and clearly define responsibilties and accountabilties at all levels within the organisation An effective quality-management system requires commitment at the highest levels of the organisation and clear definitions of the roles and responsibilities for everyone involved in its administration Element 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 Ship 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 consult?-tion with those who wil be affected by them or who have to apply them The management system must promote feedback and appropriate responses within ship operators ' companies It must also provide information on incidents , ship inspections , fleet performance , serious near misses and lessons learnt This information should be made available to those who charter vessels Roles and responsibilties Ship operators should ensure that management roles and individual responsibilities are clearly established, assigned understood and documented Communication Ship 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 m:': MANACEMENT, LEADERSHIP AND ACCOUNTABILITY AIM Through strong leadership, management promotes the concepts of safety and environmental excellence at all levels in an organisation Management commitment is clearly defined in documentation that includes mission statements policies and procedures Mission statements contain the high- level and long-term goals and aspirations of the company, such as zero incidents and zero spils to sea The company aims to reach these goals through continuous improvement Senior management demonstrates a clear commitment to implementing the safetymanagement system 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 concepts of safety and environmental excellence are fully understood and supported by ship- based and shore- based management teams The company establishes communication links to encourage information sharing Best practices are promoted across the fleet The company records lessons learnt and then delivers this information to the entire fleet When required , managers track the recommendations to ensure that all necessary changes have been made All company personnel can describe what safety Everyone within the organisation understands the concept of and environmental excellence mean in practice safe operations This concept is promoted through leadership and sound management practices Managers measure staff understanding of the concept through activities such as ship visits , informal meetings and seminars Ship-to-shore communication links and procedures are used to capture best practices and near-miss lessons learnt Management strives to improve performance in the areas of safety and environmental performance at all levels throughout Shore management sets standards and performs assessments Typical measures (KPls) include , but are not limited to , pollution number of audit findings resolved , number of near-miss reports the company and number of best practices identified The steps required to achieve safety and environmental excellence are clearly defined Ship- based and shore-based management teams promote the concepts of safety and environmental 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 , from the most senior manager down to line supervisors Strong, effective and excellence visible leadership is needed to establish and sustain long- term improvements towards safety and environmental excellence Progress towards safety and environmental excellence targets and objectives is discussed , at and ashore Progress reports are discussed at quarterly senior management meetings and on board vessels Where progress is less than planned , staff intervene to realign performance with targets and objectives Performance targets are monitored against KPls The company has formal performance targets placed within its least quarterly, at management meetings on board business objectives Performance targets are discussed at regular meetings involving shore management Staff monitor status regularly using KPls and report their findings to senior management The entire ship and shore workforce understands and openly supports the concepts of safety and environmental excellence 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 rewards system MANACEMENT, LEADERSHIP AND ACCOUNTABILITY 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 A formal document-control system ensures 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 on vessels and in company offces Management ensures that stated policies cover all the activities undertaken by the company The company has a process for coordinating and correlating safety-management-system manual revisions Senior 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 Procedures and instructions are available on board all vessels and at key office locations The company can demonstrate that each of its policies is implemented in practice through the application of formal procedures and instructions Policies are implemented through processes Policies are established to cover health , safety, environment and quality as a minimum These policies cover the scope of all the activities undertaken by the company The company regularly described in formal procedures and instructions reviews these policies through shipboard safety meetings management reviews , officer forums and other formal meetings Instructions and procedures are written in plain The company ensures that instructions and procedures are language and contain suffcient detail to ensure that presented in a clear format Actions are arranged in sequential tasks can be completed correctly and consistently order and in a way that makes it easy to identify each step Periodic meetings that review or amend current Formal records include the meeting minutes , the meeting agenda examples of procedures and instructions that have been updated procedures or propose new ones take place on a regular and timely basis , and are formally recorded as a result of meetings , and any other supporting information The review frequency may vary, depending on fleet structure ship type and fleet size The safety-management system promotes proactive feedback Instructions and procedures covering shore-based and ship-based operations are developed in consultation with those who wil have to implement them Feedback should be provided on incidents , ship inspections fleet performance , serious near misses , lessons learnt , etc The workforce is involved in developing instructions and procedures because this involvement delivers effective guidelines that are more readily accepted Managers are clearly held accountable for Roles , responsibilties and accountabilties are defined within achieving the objectives established for them 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 accountabilty Benchmarking is used to identify further improvements to the safety-management system Measurements are carried out regularly according to a comprehensive verification plan The company benchmarks its safety, environmental and management practices against other organisations and industry information sources Benchmarking is an integral part of the improvement process , and the company aims to match ever-improving best practice The company has a plan , approved by senior management to identify the checks and measures that ensure the safety-management system is working effectively across all areas of the business on an annual basis Progress against the plan , assessed by audit and inspection , should be discussed at quarterly senior management meetings Senior managers have a mechanism in place to verify the effectiveness of key areas of the safetymanagement system Managers are responsible for ensuring safe and correct working conditions on board and in the offces This is a key responsibilty and cannot be delegated to others Managers and superintendents systematically monitor the effectiveness of verification and inspection activities within their groups They also initiate and track necessary improvements to completion (c: ELEMENT Recruitment and management of shore- based personnel Main objective Ensure that the fleet is supported by competent shorebased staff who are committed to a high standard of fleet management Shore- based staff have key roles to play in the effective management of the fleet and in supporting safe operations at sea Element establishes the need for shore-based personnel to have the skils and training that they require to carry out their tasks Shore- based staff recruitment and training Ship 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) suffcient people are employed to provide full supervision of all vessels in the fleet ensure that verify that the people employed are qualified and competent to carry out their duties determine staff competency in relation to appropriate technical education , training, skils 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 requirements and retain records of staff attendance at courses , seminars and conferences identify follow-up training II RECRUITMENT AND MANACEMENT 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 There is a formal induction process in place for The company has a written plan for formal entry of new recruits newly recruited shore-based staff This is documented to show that the inductee has received the appropriate training and familarisation necessary to undertake their new responsibilties and accountabilities Induction covers all policies including safety, health , environment , quality, business ethics and cultural awareness The average job retention rate for key staff (such as superintendents) is greater than 70% over a two- year period The pre-recruitment process should include checks that applicants have the appropriate qualifications and experience The company ensures that information supplied by recruits (career summary, resume and interview records) indicates The recruitment process includes verification that This process includes checking certificates with the issuing authorities and contacting former employers to verify experience the qualifications of new recruits are genuine that they have the appropriate skils to fil the position if referred to by the new employee A formal staff-appraisal system ensures that key staff members undergo an assessment at least annually The company s staff-appraisal system includes reviews of staff abilties and identifies any development requirements , including additional training needs The recruitment process identifies any training needed to ensure that personnel have the required skils and capabilties The company maintains up-to-date records of qualifications , experience and training courses attended for all shore- based staff Key staff retain core technical skils through new training, refresher training and participation in industry forums , seminars and conferences The company provides adequate resources to implement the safety-management system effectively Offce resource levels are reviewed during an annual management review meeting The company encourages and supports personnel taking higher education courses to improve their value to the company and their possibilities for promotion within the organisation Any issues highlighted in appraisal reviews are given priority and resolved Senior on- board personnel are rotated through offce assignments The company promotes appropriate interpersonal skils training Rotation improves on-board understanding of the wider aspects within the shipping business and improves understanding of marine operations for non-mariner shore personnel Courses include subjects such as team building, presentational skils , diversity, brainstorming and negotiating skils 17 INCIDENT INVESTIGATION AND ANALYSIS Comprehensive procedures are prepared and maintained for incident management AIM The ship operator has procedures to ensure the rapid notification of urgent saety-related issues within the fleet The reporting procedure addresses requirements Any investigation report includes reference to possible breaches for breaches of regulations of company and legislative requirements when determining root cause The designated person ashore assesses all reports to determine which authorities should be notified The ship operator has procedures that compel prompt investigation of all incidents or accidents Investigation reports include a proposed timescale for closing out of corrective actions Shore management should review this timescale including high- potential until all issues are resolved The company has access to any publications that assist with conducting an incident investigation near misses The person appointed to lead the investigation is not connected with the incident There are at least two people available on board and two ashore The ship operator has a procedure that defines responsibilties for reporting an incident , conducting the investigation and taking subsequent actions Incident reporting has a specific section within the safetymanagement system This includes any regulatory reporting that who are capable of conducting an incident investigation may be required Company procedures offer guidance and specific reporting forms The ship operator uses the conclusions from the investigation to reduce the risk of any recurrence or related incidents The incident-investigation process ensures that the root causes and factors contributing to an incident A no- blame culture encourages detailed reporting, especially of near misses and incidents or accident are clearly identified The incident-management procedures ensure that the lessons learnt from an incident or near miss are shared across the fleet The company reviews all incidents and near misses in safety bulletins or circular letters to all ships and at senior offcer seminars Periodical (at least annual) statistics are available to the fleet in order to demonstrate improvements The lessons learnt are used to drive improvements in safety and environmental performance The ship operator has procedures to share lessons with industry groups , where appropriate societies , professional institutes and equipment manufacturers The ship operator has procedures to share lessons The ship operator is proactive in reporting incidents and with oil-major vetting departments , where appropriate subsequent investigations to oil-major vetting departments Industry groups who can be contacted include classification INCIDENT INVESTIGATION AND ANALYSIS - TRAINING AIM Ship operators provide training for both ship- based and shore- based management teams in incident- investigation techniques Internal briefings and training are given to shipbased and shore-based management teams on how to conduct an investigation If external training is not provided , then shore-based company seminars should include incident-investigation training For best practice , there should be at least two staff members per vessel and an appropriate number of shore staff , dependent on fleet size External training in incident-investigation techniques , including root-cause analysis , is given to at least one of the shore-based management teams The company uses classification societies/contracting companies There is a documented procedure to ensure that Appraisal records include reference to investigation training investigation training is supported by practical Trained personnel are given opportunities to participate in experience investigations (and practice the relevant skils) before being expected to lead an investigation When new senior staff are recruited , they receive appropriate incident-investigation training This investigation training is part of a comprehensive briefing conducted by the designated person ashore or the fleet safety offcer The ship operator has a documented procedure to ensure that refresher training takes place after an appropriate period The company has a section within its training programme to provide specific courses This information may then be handed over to other relevant shore and ship personnel specifically for such periodical refresher courses The appropriate period , as determined by a ship operator, is documented in personal training programmes ELEMENT Safety management Main objective Shipboard monitoring Develop a proactive approach to safety management, both on board and ashore , that includes identification of hazards (including exposures to substances hazardous to Ship operators should establish and maintain procedures that make provision on the vessel for health) and the implementation of preventive and hazard and exposure mitgation measures appropriate identification and risk assessment training in the use of hazard and exposure identification techniques and risk-assessment tools Effective safety management requires the systematic identification of hazards and measures to eliminate or conducting reduce risks to the lowest practicable level Element sets out the requirements for on- board and shore- based risk- assessment hazard-exposure management It also describes the additional measures that should be taken to promote a significant safety deficiencies or defects that cannot be rectified by the ship s staff no- blame culture and motivate staff to ensure that they understand and embrace the requirements of the safetymanagement system Shore- based safety inspections at scheduled intervals and recording the results of these inspections the immediate reporting to shore- based management of verifying compliance with the specified safety procedures monitoring Ship operators should establish and maintain procedures for shore- based management to a formal risk-assessment programme that is designed to identify potential hazards and exposures , and manage operational risks , including those relating to engage in health and hygiene periodically review and update the validity of risk assessments and their application across the fleet make regular on- board inspections to monitor the safety standards being maintained within the fleet and make recommendations to senior management based on the CAur I TANKWASHING LINESON THISSHIP MAY CONTAIN CRUDE OIL VALVES ON THESE LINESMUSTNOTBE OPENED BY UNAUTHORISED PERSoNNEl findings establish proactive safety nporOXH campaigns (for example , to 01 rPAMMEEOAHEIMATOE lIEEAMENON TOY nAOlbY IEor , nEPIEXOYNAPro nETPEAAIO TA EmrroMIA AYTON TON rPAMMON ANOIroNTAI MONoNAno npOrOniKO ESOYEI0110'lHMENO encourage near-miss reporting) /cJ f:'' II SAFETY MANACEMENT - SHORE- BASED MONITORINC AIM The ship operator has a comprehensive and proactive approach to the identification of potential hazards and the shore-based management of operational risks Shore- based managers arrange regular on-board visits to monitor the safety standards and training across the fleet A formal record of these visits is kept within the office Following ship visits , recommendations for improvement are made to senior management Formal safety meetings are held with offcers and crew during shore-management visits The ship operator has a formal , documented work- permit system in place Visits by marine superintendents or by shore-based managers are made , at least annually, to establish and maintain communication between ship and shore During these visits , every opportunity is taken to promote a strong safety culture across the fleet There is a process to ensure that any feedback obtained from meetings is used to improve the company s safety procedures The system includes permits for the control of any hot work on board the vessel , including requirements for office-management approval of hot work in identified hazardous areas Other permits such as enclosed space entry, are also used - refer to ISGOTf The ship operator has a formal risk-assessment programme to systematically identify potential hazards and manage operational risks fleet-wide This should include health and hygiene Under this programme , shore management ensures that there are procedures requiring a risk assessment to be conducted on any hazards associated with non-routine repairs (following equipment breakdown or arising from the potential for breakdown) or other potentially hazardous operations Records of all risk assessments are maintained ashore and on board Offcial records of all risk assessments and meetings are reviewed by an appropriate company representative (possessing suffcient marine technical knowledge and background to properly evaluate and advise ships ' personnel) ashore and kept on fie The assessment programme also includes provision for assessing new or non-routine tasks that may be carried out in the future Preventive measures and alternative methods of work to permit safe completion of work are identified and documented in the risk-assessment programme All recognised potential hazards or otherwise undesirable operations in the risk-assessment programme are fully documented and used to improve the operating procedures in the safety-management system Achievable targets are set for close out of the preventive measures identified in the risk assessment All efforts are made to introduce identified preventive measures as soon as possible Shore management keeps an active fie investigates any delays and expedites closure Shore-based management regularly reviews the validity The risk-assessment programme is regularly reviewed and of risk assessments and ensures that any common risk modified as required Relevant documents are reissued in part or as a whole , if required , after each review assessments are applied across the fleet The risk-assessment processes should include response elements to limit the impact of any The company formulates contingency plans to facilitate safe recovery of the situation unplanned occurrences Senior management establishes and supports proactive safety campaigns Campaigns encourage a strong safety culture within the company For example , near-miss reporting programmes should be introduced as they help to reduce operational risks Appropriate company representatives make extended visits to all vessels within the fleet to monitor the safety standards and ensure that safety training is being maintained Company representatives (possessing suffcient marine technical knowledge and background to properly evaluate and advise ships ' personnel) should try to make a short voyage on the vessel at least annually, and should observe and advise the company of any required safety improvements and corrective actions Shore-based management collates all on- board risk assessments to check that standards are consistent The company issues periodic (at least quarterly) safety publication(s) The company identifies best practices for common areas of risk assessment and ensures that these are shared across the fleet The company maintains a computerised database of all shipgenerated and shore- generated risk assessments Publications related to safety issues advise all personnel about past incidents/accidents and should include an analysis of all lost-time accidents and all incidents that could potentially have resulted in serious injury, and the preventive actions taken to avoid recurrence It could also include safety tips and an analysis of accidents taken from industry publications On- board personnel are encouraged to participate by submitting articles SAFETY MANAGEMENT AIM SHIPBOARD MONITORINC The company has a comprehensive and proactive approach to the identification of potential hazards and the management of shipboard risks The ship s safety officer conducts safety inspections Records are available for review by office management at scheduled intervals and the results are recorded Significant safety deficiencies that cannot be rectified by ships ' staff are immediately reported to shore-based management The company has written procedures that require a full On-board safety meetings are held at least monthly and as soon as possible after any serious incident Minutes of any formal meetings are recorded assessment of the situation to be undertaken by both shore and ship s management before the operation can continue or accident within the company There is a formalised system on board to identify Industry publications provide all the necessary information hazards (hazard identification) during work planning At monthly safety meetings , the agenda includes safety monitoring and confirmation that all shipbased safety procedures are being complied with The company has a system to ensure that ship and shore management can demonstrate that the ship s crew are complying with company safety procedures Any deviation from agreed routines should be recorded and reported to the company for further action if required The company establishes safety training needs for individual employees during drils and safety exercises and records these on board The company has a list of crew knowledge for the vessel's various safety and safety-related equipment During drils and safety training, individual training needs are established The company provides personalised training in addition to the familarisation programme required by STCW 1978/1995 The ship operator has a formal risk-assessment The company establishes ways to identify and limit a hazard to system on board , and relevant crew members have received training in hazard identification and risk assessment a manageable level using a risk-assessment process The crew The ship s management team promotes a strong, proactive safety culture on board , and all crew members are encouraged to be involved in proactive safety campaigns and work methods receives advice on assessing unsafe acts and conditions reporting findings and taking appropriate corrective action Regardless of any shore- based safety initiatives , the ship s senior management team is actively involved in promoting a strong safety, health and hygiene culture on the vessel Examples are near-miss reporting, hazard identification and use of appropriate personal protective equipment (PPE) Company safety policy ensures that senior offcers Senior officers and visiting shore management set a good always lead by example in safety-related issues example to ships ' crews by wearing the correct PPE and complying with safety practices and procedures The company sends officers and crew on safetytraining courses in excess of statutory requirements Safety best practice identified on individual ships is transferred across the fleet The company ensures there is a system to coordinate safety best practice across the fleet and that individual ships share safety best practice with others There is a system in place for ships ' staff to communicate ideas for improving safety to shore The company actively encourages crew to offer safety-related ideas to the office This communication is promoted using staff management competitions or individual awards The company actively seeks modern safety-training material and courses that can be used for on- board and shore-based training ELEMENT 10 Environmental management Main objective Develop a proactive approach to environmental management that includes identification of sources of marine and atmospheric pollution , and measures for the reduction of potential impacts , both on board and ashore Protection of the environment is a fundamental requirement for ship operators chartering ships to OCIMF members or using their facilities Element 10 discusses the systems and procedures necessary for effective environmental performance Environmental management Ship operators should establish and maintain procedures to limit the impact of their operations on the environment These should include provisions for the systematic identification and assessment of sources of marine and atmospheric pollution minimising adverse environmental impacts and waste generation ensuring the safe and responsible disposal of residual wastes for dealing with potential pollution incidents reporting arrangements for all pollution incidents or nearmiss occurrences that could have resulted in pollution establishing reduction targets to minimise discharge of pollutants establishing requirements for ballast-water exchange contingency plans ENVIRONMENTAL MANACEMENT The company implements a plan for the systematic identification and assessment AIM of all sources of marine and atmospheric pollution The company has systems to identify emerging requirements for environmental protection The company has identified a source that wil provide All effuents discharged are within permitted levels Refer to MARPOL Annex I , II IV, VI , etc , and national/regional limitations , for example , European Union (EU) or US limits All sources of marine and atmospheric pollution have been systematically identified These sources may include funnel emissions (NOx , SOx), garbage , volatile organic compounds (VOC), oil emissions ballast water, sewage and antifouling paints An environmental policy has been developed signed by senior management and distributed this information Company policy includes a zero-spil statement This is conspicuously posted on board ships and in company widely within the company offices ashore Plans for further reduction of pollutants are under development with defined priorites and a timescale A formal record of decisions is compiled that notes the monitoring methods and the actions taken for action The ship operator has a system to identify the actions needed to comply with new regulations Compliance with new regulations is included as a specific agenda item in the periodic meetings held by management both on board ship and in the offce The company has clearly assigned management responsibilty for each environmental issue Responsibilty for environmental performance is assigned to an appropriate person within shore management The ship operator has a system for auditing and Internal audits on the vessels are supplemented by periodic audits from shore management reporting progress on effuent reduction Pollutant reduction targets are set in the company business plan The company has attained ISO 14001 The company sets quantifed improvement targets that cover all sources of pollution accreditation The company has developed and maintains a long-term (a five-year minimum) environmental operations and business plan Environmental performance is benchmarked across the fleet and against the oil/marine industry as a whole This plan is updated on a regular basis with a formal review at least once each year Performance is monitored at least once per quarter within the company and annually across the industry II ENVIRONMENTAL MANACEMENT AIM Comprehensive environmental initiatives and actions are being implemented on board the ships The ship operator has a system to monitor and reduce waste on board all ships in the fleet Senior managers promote the use of equipment and practices that minimise waste generation The company has identified areas of performance that wil improve environmental care and has developed appropriate action plans Formal records are made on board that show proposals for quantifying existing performance and what measures need to be taken to improve performance The ship operator has fleet-wide systems to monitor and ensure compliance with existing company policy Senior managers ensure that this monitoring is included within the internal audit process and any nonconformity is addressed The company has management systems to ensure environmentally critical equipment is reliable and that adequate levels of spares are carried Each ship has a ballast-water management system and is taking steps to reduce the transfer of Refer to the ICSjlNTERTANKO " Model Ballast Water Management Plan unwanted marine organisms The ship operator has a policy to ensure purchase and supply activities continue to be more The company implements waste reduction methods such as purchasing in bulk to reduce packaging volumes , encouraging environmentally protective recycling initiatives and using non- disposable equipment An energy-conservation programme is in place and effectively monitored throughout the fleet Actions that promote energy conservation are formally recorded and reviewed at the periodic meetings held by senior managers Any nonconformity should be identified and corrected The company can demonstrate that it is taking measures to comply with known future legislation These should include voluntary fitting of effuent-treatment Waste management is undertaken throughout the fleet and on all voyages The company has an active and formally recorded programme of waste management as part of the internal audit programme Environmental improvements are being factored into new-build design and shipboard operating practices Senior managers make every effort to ensure that new vessels are designed with low waste levels and highly effcient plant and The company addresses environmentally sound ship recycling contracts equipment to support low-energy operation systems ELEMENT 11 Emergency preparedness and contingency planning Main objective Establish an emergency-preparedness system and regularly test it to ensure an ongoing ability to react effectively to an incident While every effort is made to avoid incidents and accidents it is important to have measures in place to deal with the consequences of any unplanned event Element 11 describes the provisions that ship operators should make to ensure that their management systems include adequate contingency plans for responding to an accident or emergency Contingency plans Ship operators should establish shore- based and shipboard contingency plans and provisions for regularly exercising them , so that shore- based and shipboard organisations can respond effectively at any time to hazards , accidents and emergencies involving the ship The plans should specify the specific timings of drills and exercises for responding to emergencies for recording the results of and lessons learnt from drils and exercises methods Drils and exercises Ship operators should implement regular, realistic emergency drills and exercises that test and improve the capability of crews and shore- based staff to deal with a real incident In addition , consideration should be given to how lessons learnt from drils and exercises will be implemented drils and exercises , taking into account the size of the fleet and training requirements the frequency of Media training Management should be trained to deal with the media in the aftermath of an , incident or accident Management should also provide guidance to vessel masters on dealing with the media in the event of an incident or accident Security management Ship operators should establish and maintain procedures to minimise the effect of a security-related incident Such procedures should include security in port and at sea Events to be considered include dealing with terrorism piracy, armed robbery, activists , navigation in hostile waters refugees , stowaways , and drug abuse and smuggling EMERCENCY PREPAREDNESS AND CONTINCENCY PLANNING AIM To improve and test the ship operators ' ability to respond to and manage an incident Ship- based and shore-based contingency plans clearly identify roles , responsibilities and record- These identified roles include communications and logistics personnel keeping procedures Emergency procedures include effective callng systems and communication links for alerting the The system should ensure there is 24- hour cover that takes account of holidays and work-related travel arrangements emergency-response team There are documented procedures describing shore-based and shipboard contingency plans The fleet safety offcer/designated person ashore regularly The company provides adequate emergency- This is a dedicated incident room with facilities such as fax and phone connections , computer network points , a whiteboard response facilities reviews shipboard oil pollution emergency plans (SOPEP) and other appropriate pollution emergency plans in consultation with ships ' crews satellte or cable television and video Individuals are trained in their designated emergency-response roles Designated , authorised senior personnel receive media training to provide accuracy and control The company has a system to provide a 24- hour damage-stabilty and structural- integrity assessment This is typically provided by an internal body of suitably qualified naval architects , or under contract by a classification society that service has the appropriate capabilties Lessons learnt from exercises and real incidents are taken into account when updating the emergency- The company records lessons learnt , subsequent improvements corrective actions and resolution response plans Stand-ins are included in the planned exercises The company maintains lists of participants and drils Stand-ins are identified and trained for key positons in the response team The person coordinating the emergency response has a list of staff, with their contact details , who can stand in for the appropriate key positions The company has made all the necessary arrangements to use external resources in an emergency Contact details for salvage , towing, media consultants and technical departments of classification societies and flag states Outside or additional resources are used to provide more realistic drils and exercises These could include the use of training simulators and outside are readily available consultants :I II EMERCENCY PREPAREDNESS AND CONTINGENCY PLANNINC AIM To improve and test the ability of ship operators to respond to an incident by holding regular and realistic emergency drils and exercises Incident scenarios for exercises fully test the contingency plans Planning ensures that scenarios are credible and realistic The scenarios have varied content and duration A major exercise is carried out at least annually The scope of an exercise is consistent with the size of the fleet and its trading patterns A matrix showing the annual exercise plan should be available for comparison with the exercises completed The frequency of drils and exercises should be determined by the number of vessels within the fleet Results of exercises and drils are documented and analysed to identify lessons learnt Exercises provide a comprehensive test of all communication and mobilsation systems To test this , some communication and mobilsation exercises are conducted outside normal office hours Exercises allow the participation of a significant Ship staff on leave may be used to play the role of ships ' master number of individuals Drils and exercises test the effectiveness arrangements to call on external consultants and resources during an exercise External resources are mobilsed at least annually Communications links to external resources are checked regularly during the exercises ELEMENT 12 Measurement, analysis and improvement Main objective Continuous improvement Establish and implement appropriate measurement and Ship operators should establish KPIs to measure their quality-management systems ' effectiveness in meeting the organisational goals and regulatory responsibilities feedback processes to focus on and drive continuous improvement To be fully effective , the quality system must be maintained as a living process at the core of the business Element sets out the steps required to achieve this Shipboard inspections Ship operators should ensure that procedures are in place for shore-based management to carry out frequent inspections to monitor vessel conditions Inspections should also be carried out to ensure compliance with rules and regulations among all vessels under fleet management The procedures should include provision for recording the results of all inspections and the close out of all action items Internal audit Ship operators should carry out internal audits to verify that both shore- based and ship- based staff are consistently following the management system Audits should be made of all ships under fleet management and of all onshore support functions Following an audit , steps should be taken to verify and record the implementation and effectiveness of any corrective actions recommended as a result of the audit Management review Ship operators ' senior management should review the quality-management system annually to verify the adequacy of the system or to improve its effectiveness The review should establish improvement opportunities as a result of feedback from customers internal audits and the monitoring of both positive and negative trends analyses of results of inspections , including those by charterers the operator s ability to provide services in compliance with the ISM code the status of corrective and preventive actions follow-up actions taken and closed out following previous revi ews any other changes that could affect the quality-management system , including legislative and regulatory changes The review system should include provision for recording and maintaining the results of each management review They should use the KPIs to set goals for continuously improving the performance of their quality-management include the clear assignment of responsibility for all improvement actions systems All follow-up plans should II MEASUREMENT, ANALYSIS AND IMPROVEMENT Shore- based management has a structured process for conducting vessel inspections to monitor the condition of vessels in the fleet Detailed reports and close-out plans are maintained ashore AIM The process includes identification of trends and provisions for promptly closing out any deficiencies that are identified The company has produced a standardised format or system for performing and recording vessel inspections The company adopts a standard format that is used as a basis for all vessel inspections The format is captured in a checklist and/or procedures are controlled through the company document-control system The company has an inspection plan that covers all vessels in the fleet , with at least two inspections per annum of each vessel The format is of a standard equivalent to the vessel inspection reports issued by industry bodies such as OCIMF or the CD! The inspection system is designed to provide a review of the entire fleet on a regular and specified basis The company adopts an industry-standard format such as OCIMF or CD! as a basis for its vessel inspection system Alternatively, the company reviews its own format against industry formats and incorporates best practice The standard format or system records the level of compliance with company and regulatory requirements The company analyses its inspection results and compares them with data from third- party inspections (such as the SIRE or CD! systems) and makes comparisons between vessels within the fleet , particularly with any vessels built to a similar design and specification The company maintains records that clearly demonstrate the status of the recorded deficiencies through to close out The standard format includes appropriate company and regulatory requirements and the level of compliance Comments are recorded The company regularly compares its own inspection results with those from third parties Where there are consistent anomalies , the company reviews and improves its vessel inspection process The company also compares inspection results within its own fleet and between its vessel inspectors The results of inspections are recorded and deficiencies tracked to demonstrate close out Regular checks are made on the status of open actions (deficiencies or defects not corrected to the satisfaction of management) A summary of the status is provided to senior management on a quarterly basis Nonconformity reports could be used Information from the analyses of these inspections is fed into a continuous-improvement process Senior managers review the results from the analysis to identify potential weaknesses in the company management system Improvements to the management system are fed into the company s continuous- improvement process The results of vessel inspections are analysed to identify trends and common problems The results of vessel inspections are tabulated to facilitate analyses and to identify trends and common problems The company captures , or is considering the capture of , these results within a computer- based database to facilitate analysis II MEASUREMENT, ANALYSIS AND IMPROVEMENT AIM The company has a structured process that allows shore- based management to conduct planned and systematic audits of all shore and shipboard locations The company has established a consistent audit format The audit procedure covers the key steps in the audit process Auditors are trained under ISM guidelines Auditors have undertaken formal training in auditing from a competent body The company maintains a record of individual attendance and records of audits performed by individuals The company has an audit plan that covers shore The audit system provides a review of the entire organisation and and shipboard locations the fleet on a regular and specified basis Audit results are reported as soon as is reasonably The company sets an internal performance standard for the time taken from completing the audit to producing and distributing the report Management conducts spot checks to ensure that this performance standard is being met Where it is not being met practicable managers intervene to improve performance Audits are performed in line with the audit plan Management reviews the number of audits performed against the number of audits planned every three months Where significant slippage has occurred , managers assign appropriate resources to bring performance back into line with the plan The company maintains records to demonstrate The results of audits are recorded as nonconformances and that all actionable items have been closed out as soon as is reasonably practicable tracked through to completion to demonstrate close out of required corrective actions The company regularly checks the status of open actions and provides a summary to senior management on a quarterly basis Actions that have not been resolved after three months should be passed to senior management for resolution Audit results drive continuous improvement of the Management conducts a formal review of analysis results for management system common problems Managers ensure that they identify the true root cause and any potential weaknesses in the company management system Improvements to the management system are fed into the company's continuous- improvement process The company identifies trends by performing a formal analysis of audit results at least annually Results of audits are tabulated to facilitate analysis and the identification of trends and recurring common problems The company should consider capturing audit results within a computer- based database to facilitate their analyses PART THREE application of the guidelines and implementation USE OF THIS CUIDANCE DOCUMENT BY INDUSTRY The concept of KPls process - a typical measurement 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 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 of this document OCIMF members may perform periodic reviews to seek improvements in the initiative Reference documents The following documents have been used as reference material in the preparation of the TMSA guidelines Ship operators may wish to use the latest editions of the non-regulatory documents mentioned below to improve their existing quality-management systems further Ship operators can use the data contained in this document to assess their quality systems and to demonstrate an Regulatory attainment level for each of the 12 elements Standards of Training, Certification and Watchkeeping measurement data by ship operators Use of the KPI data provide an opportunity for operators to 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 for Seafarers (STCW-95) International Safety Management (ISM) Code Non-regulatory International Chamber of Shipping: Assessment and Development of Safety Management Systems International Chamber of Shipping: Guidelines on the Application of the IMO International Safety Management (ISM) Code International Chamber of Shipping: Shipping and the Environment - A Code of Practice International Chamber of Shipping: Bridge Procedures Guide Use of the measurement data by International Chamber of Shipping: STCW- OCIMF members Company checklists Ship operators may wish to collect data for each KPI International Chamber of ShippingjINTERTANKO: Model Ballast Water Management Plan It is important that these data are supported by meaningful activities Ship operators who use KPls in their measurement systems may wish to maintain records that demonstrate how they have reached the attainment level for each KPI This information could be used during a review meeting with the ship operator The results of the KPI scoring and back-up documentation would provide a tangible means of demonstrating performance Self-assessment OCIMF encourages ship operators to complete the assessment from the elements detailed in this publication on (at least) an annual basis or whenever they believe they have , by making improvements to their systems , attained a higher level in any particular element International Ship Managers ' Association (ISMA) Code of Ship Management Standards (the ISMA Code) OCIMF publications , e , ISGOTT, Mooring Equipment Guidelines , etc PART FOUR glossary of key terms and phrases The following terms and phrases wil help to provide correct and consistent implementation of the guidelines The definitions presented here are specific to the industry and have been taken , where possible , from the industry guidance references in this document Where this has not been possible the definitions are based on current industry practice Management review Held annually by senior management to close out follow-up actions and convert into KPls to drive continuous improvement Topics typically on the set agenda include review of internal and external audits analyses of accidents , Benchmarking hazardous occurrences and nonconformities The process of identifying, understanding and adapting outstanding practices from organisations anywhere in the world to help your organisation improve its performance review of audit findings including status of close out recommendations following class and statutory surveys consideration for updating the The Chemical Distribution Institute is an independent non-profit-making organisation created to provide participating chemical companies with risk-assessment systems for shipping and storage of liquids at third- party system as a result of fleet changes , trade and market strategies , new regulations or CDI terminals Company changes in social and environmental attitudes Management system A defined method to ensure that stated objectives are achieved The system is documented and includes these key elements objectives As defined by SOLAS Chapter IX/I , the company is the scope and owner of the ship or any other organisation or person such as the manager , or the bareboat charterer, who has assumed procedures responsibility for operation of the ship from the owner of the ship and who , on assuming such responsibility, has agreed to take over all the duties and responsibilties imposed by the ISM code resources responsible and a verification Any ship-based equipment , operating system or alarm that were it to fail , would result in the crew or the vessel being placed at risk or that could lead to an accident Critical equipment or systems should include as a minimum: fire pumps , cargo pump-temperature monitors , pump-room detection systems , fire-detection systems crankcase oil-mist detectors , steering gear, fire alarms fixed gas- and main-engine shutdown alarms Evaluation and measurement and measurement process to determine whether the desired results are being achieved a feedback Critical equipment and systems accountable for implementation and execution mechanism to provide a basis for further improvement Near miss An event , or sequence of events , that did not result in an injury or incident but which , under slightly different circumstances , could have done so New types of vessel Contemporary vessel designs that differ from current vessels in the fleet , or vessels that have not been operated in the past The process of checking a system to see whether it is No- blame functioning as designed and is achieving its stated aims and objectives Evaluation determines that processes A management structure of encouragement to promote and procedures are functioning and are being executed effectively Measurement determines the quality of the processes and the degree to which the aims and objectives are being achieved Feedback mechanism The process through which the results of evaluation and measurement are used to produce corrective actions and improvements Job competence Job competence indicates that an individual has the necessary qualifications , experience and understanding of the duties required in that rank Job description Details the essential qualifications and key competencies required for a job together with any further relevant experience The job description is understood by the person available to the person and reviewed at least every two years culture open communication throughout the company Proactive safety campaign A promotional event or process that is designed to motivate ships ' crew and office staff Root cause A factor identified as the fundamental reason for a problem This factor, if changed or removed , wil eliminate the problem Safety culture A philosophy promoting safety as the ultimate consideration for all company personnel and applied to all activities undertaken , both ashore and at sea Ship operator See definition under ' company ... THE TMSA CUIDELINES OCIMF consulted a range of documents , including the ISM code , the ISMA code of practice and various ICS publications , before producing the TMSA guidelines The TMSA guidelines... contents Purpose and scope Part one The quality system initiative (TMSA) and guidelines Part two The 12 elements of the TMSA guidelines Element Management , leadership and accountabilty Element... , and regularly review, their TMSA assessments online at www ocimf- tmsa com User names and passwords to access this database-driven website tool wil be issued by OCIMF for a nominal software