MARINE GUIDANCE NOTE
MGN 40 (M) International Safety Management (ISM) Code Notice to Shipowners, Ship Operators, Charterers and Managers; Ship’s Masters, Ship’s Officers and Seamen. This Note supersedes M1353, M1424 and M1616.
Summary This note informs ship operators and crews about the ISM Code. Key Points: • • • • •
Introduc Intro ductio tion n of of new new Me Merch rchant ant Shi Shippi pping ng Reg Regula ulatio tions. ns. Brie Br ieff int intro rodu duct ctio ion n to to the the IS ISM M Cod Code. e. Ships Shi ps to whi which ch the Cod Codee appl applies ies and the app applic licabl ablee date dates. s. Volu Vo lunt ntar ary y Cer Certi tifi fica cati tion on sc sche heme me.. Advi Ad vice ce an and d us usef eful ul re refe fere renc nces es..
Management (ISM) Code) Regulations 1998 which are due to come into force on 1 July 1998. A copy of the annex to IMO Resolution A.741(18), which constitutes the ISM Code, is reproduced as Annex 1 to this Note.
INTRODUCTION
1.
2.
The pur The purpo pose se of th this is Ma Mari rine ne Gu Guid idan ance ce No Note te is to introduce the proposed Merchant Shipping Regulations, give a brief introduction to the ISM Code, explain to which vessels it will apply and the date by which, according to vessel type, the Code becomes mandatory. This note also sets out the Maritime and Coastguard Agency’s voluntary certification scheme and gives advice and some useful references on good ship management practice. Thee Inte Th Intern rnat atio iona nall Mana Manage geme ment nt Cod Codee for for the the Safe Operation of Ships and for Pollution Prevention (ISM Code) was made mandatory in 1994 by the adoption of 1 Chapter IX to SOLAS ’74, which will be implemented in UK law by the proposed Merchant Shipping (International Safety
1
SOLAS: International Convention for the Safety of Life at Sea, 1974. 1
3.
Merchant Merch ant shi shippi pping ng ope operat ration ionss are inh inhere erentl ntly y complex and governed by national and international rules and conventions largely addressing technical aspects. This technical control can achieve only part of the objectives of safe and pollution free ship operations. The Master is clearly responsible for the safety of the ship and its crew but the overall responsibility for the administration and safe operation rests with the company or person(s) owning or managing the ship.
4.
It is wid widel ely y acc accep epte ted d tha thatt the the vas vastt majo majorit rity y of shipping accidents are attributable to human error and it is generally agreed that the human element plays some part in virtually all accidents. Therefore the task facing all ship operating companies is to
minimise the scope for poor or incorrect decisions which contribute directly, or indirectly, to a casualty or pollution incident. Every action affecting safety or pollution prevention at any level in a company must be based on sound organisational practices. 5.
6.
7.
and has been applicable to sea going passenger roll-on/roll-off ferries operating a regular service to or from a port of a Member State of the European Community, regardless of the vessel’s flag, since 1 July 1996. 9.2 By way of derogat derogation, ion, compan companies ies operating ro-ro ferries on a regular service exclusively in sheltered waters between ports in the same Member State were permitted to defer compliance until 1 July 1997.
The The ISM ISM Code Code set setss an int inter erna nati tion onal al ssta tand ndar ard d for the safe management and operation of ships and requires companies to document and implement clear procedures, standards and instructions for safety management ashore and afloat. Guidance on developing a Safety Management System, including some useful references, to meet the requirements of the Code is given in Annex 2 to this Note.
10. International Requirements: The new Chapter IX to SOLAS ‘74, Management for the Safe Operation of Ships, which is to be implemented in UK law by Merchant Shipping (International Safety Management (ISM) Code) Regulations (due to come into force on 1 July 1998), makes provision for the mandatory enforcement of the ISM Code on ships engaged on international voyages and is applicable as follows:
The Designated Person: The MCA considers the designated person’s role to be highly important and expects companies to regard it in the same light and to consequently provide the necessary responsibility, authority and resources. The regulations do not state who it should be or what qualifications they must have, but they should be well experienced in the operation of ships both at sea and in port. It is essential that the person must have direct access to the highest level of management in the company.
.1
Pass Passen enge gerr ship ships, s, inc inclu ludi ding ng pas passe seng nger er high speed craft, (although some, as detailed under paragraph 9 above, will already comply) are required to comply not later than 1 July 1998.
.2
O il il t an an ke ke rs rs , ch ch em em ic ic aall t an an ke ke rs rs , ga ga s carriers, bulk carriers and cargo high speed craft all of 500 GT and over, are also required to comply not later than 1 July 1998.
.3
Othe Otherr car cargo go ship shipss and and mo mobi bile le offs offsho hore re drilling units all of 500 GT and over, are required to comply not later than 1 July 2002.
T h e I S M C o d e d o e s NO T replace the requirement for compliance with existing regulations.
MANDATORY IMPLEMENTATION IMPLEMENTATION
8.
T he he Co Co d dee is i s be b e iin n g i nt nt ro ro d du u ce ce d o n a mandatory basis in four stages, dependent on vessel type but regardless of the date of construction.
9.
European Requirements
11. The propose proposed d Merch Merchant ant Shipping Shipping (International Safety Management (ISM) Code) Regulations will revoke the Merchant Shipping (Operations Book) Regulations 1988 which applied to Class II and II(A) vessels. The new regulations will also be applicable to vessels of Class II(A) in addition to those vessels engaged on international voyages required by the SOLAS Convention.
9.1 9.1 The Mercha Merchant nt Shipp Shipping ing (ISM (ISM Code Code)) (Ro-Ro Passenger Ferries) Regulations 1997 implement in UK law the 2 European Council Regulation on the Safety Management of Ro-Ro Passenger Vessels. The EC Regulation entered into force on 1 January 1996
12. The MCA will be respo responsibl nsiblee ffor or verif verifying ying compliance with the ISM Code both ashore and afloat, will issue ISM Convention Certificates and will carry out periodic
2
Council Regulation (EC) No. 3051/95 of 8 December 1995. 2
verification and certificate renewal. The use of independent organisations to guide and assist in the setting up of Safety Management Systems is encouraged but the choice of such organisations is a company decision.
The DOC will be specific to ship type(s) at the time of the audit, valid for a maximum of five years and subject to annual verificatio verification n (± 3 months months of the anniversary date). 15.2 An interim interim DOC DOC (valid (valid for a maximu maximum m of 12 months) may be issued to facilitate initial implementation of the ISM Code where a company is newly established or where new ship types are added to an existing DOC. The interim DOC will only be issued following a demonstration from the Company that it has a SMS that meets the objectives of 1.2.3 of the ISM Code. The Company must demonstrate plans to implement a SMS meeting the full requirements of the Code.
VOLUNTARY IMPLEMENTATION IMPLEMENTATION
13. Chapte Chapterr IX of of SOLAS SOLAS ‘74, ‘74, which which makes makes the the ISM Code mandatory, applies to cargo ships of 500 GT and over and thus excludes a significant number of ships of less than 500 GT from the application of that chapter. It is recognised that there is a need for the proper organisation of management to achieve and maintain high standards of safety and environmental protection by all those involved in the operation of ships, even if less than 500 GT. Therefore, the UK strongly urges companies operating ships of between 150 GT and 500 GT to comply with the requirements of the ISM Code and to apply for certification voluntarily.
16. The Safety Management Certificate (SMC) 16.1 The SMC will will be issued to each individual ship after an on board audit of the SMS. Objective evidence will be required to demonstrate that the SMS has been in operation on board the ship 3 for a minimum of three months before the audit. The company must be in possession of a valid DOC, a certified true copy of which must be on board the ships. The SMC will be valid for a maximum of five years and will be subject to one intermediate verification between the second and third anniversaries, with the proviso that more frequent audits, if deemed necessary by the MCA, may be carried out. This is considered more likely in the early days of ISM Code implementation.
CERTIFICATION
14. The applic applicati ation on o off the the Code Code will will llead ead to to the issue of two statutory certificates which will be subject to Port State Control inspections under regulation XI/4 of SOLAS ‘74. Vessels without the required certificates are liable to be detained and at least within Europe (Paris MOU region) may be banned from reentry until compliance has been adequately demonstrated. The two certificates, which for the purposes of port state control are treated as certificates issued under regulation I/12 or I/13 of SOLAS, are the Document of Compliance (DOC) and the Safety Management Certificate (SMC). 15. The Document of Compliance (DOC)
16.2 16.2 An interim interim SMC, SMC, valid for not more than six months, may be issued to new ships on delivery and when a company takes on the responsibility for the management of a ship which is new to the company.
15.1 The DOC will be issued to the company following a successful audit of the shore side aspects of the Safety Management System. The audit will require objective evidence to demonstrate that the system has been in operation for a minimum of three 3 months in addition to similar evidence of operation on at least one ship of each type in the company fleet.
3
APPLICATION
17. The The MCA will will,, in gener general, al, deal deal with with reques requests ts for verification in order of application. 18. For thos thosee ships ships not not legally legally require required d to comply with the Code, voluntary certification is strongly urged, but priority
The qualifying periods can be concurrent. 3
will be given to those companies where compliance is mandatory.
.2
19. Appli Applicat cation ionss receiv received ed late late may may not not be dealt dealt with in time for the relevant Certificates to be issued. Applications received well in advance of the required dates (e.g. an application for compliance not required before 2002) will not be refused but priority may need to be given to those with the more urgent need.
For the SMC - for audit of individual ships to the relevant Marine Office of the MCA.
21. The audit and inspection will be conducted in accordance with MCA Instructions to Surveyors which are under development at the present time and in cognisance of IMO Guidelines. In certain instances, where for example a vessel rarely calls at a UK port, the MCA may appoint a Surveyor to act on its behalf. Such arrangements will be conducted in accordance with current practice.
20. AUDIT - APPLICATION AND CONDUCT Applications may be made as follows: .1
22. Multi-Flag Fleets: For UK flagged ships operated by companies whose DOC has been issued by or on behalf of another flag Administration, companies are requested to follow the Guidance given in the Annex to IMO MSC/Circular 762, attached at Annex 3 to this Note. Paragraph 5 is particularly worthy of note as it states companies should approach the relevant flag Administrations, proposing a plan of action and requesting agreement by all parties.
For the DOC - by letter to the MCA at the following address:
The Audit Section, MSAS(D) Maritime and Coastguard Agency Spring Place 105 Commercial Road SOUTHAMPTON SO15 1EG Tel: 01703 329202
FEES
The Audit Section will respond and request a Document review either on site or by despatch of Documents to the MCA Where the Document review is carried out is generally a company choice. An audit plan and timetable will be agreed. The company will then be audited and, dependent on the result, a Document of Compliance issued.
23. 23.
The fees fees charge charged d for for audit audit against against the ISM Code will be based on the time taken by surveyors to complete all aspects of the work at the hourly fee rate current at the time.
MSAS(D) Maritime and Coastguard Agency Spring Place 105 Commercial Road Southampton SO15 1 EG Tel: 01703 329202 Fax: 01703 329379 April 1998 MS 166/2/5 An executive agency of the Department of the Enviroment, Transport and the Regions
© Crown Copyright 1998
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ANNEX 1: ISM CODE
Annex to IMO Resolution A.741(18) Adopted on 4 November 1993 INTERNATIONAL INTERNATIONAL MANAGEMENT CODE FOR THE SAFE OPERATION OF SHIPS AND FOR POLLUTION PREVENTION (INTERNATIONAL (INTERNATIONAL SAFETY MANAGEMENT (ISM) CODE) SAFETY AND POLLUTION PREVENTION MANAGEMENT REQUIREMENTS CONTENTS
Preamble 1
General 1.1
Definitions
1.2
Objectives
1.3
Application
1.4
Function Functional al require requiremen ments ts ffor or a safety safety manag manageme ement nt ssystem ystem (SMS) (SMS)
2
Safe Safety ty and and env envir iron onme ment ntal al prot protec ecti tion on poli policy cy
3
Comp Co mpan any y resp respon onsi sibi bili liti ties es and and auth author orit ity y
4
Designated pe person(s)
5
Mast Master er’s ’s res respo pons nsib ibil ilit ity y and and auth author orit ity y
6
Resou sources an and personnel
7
Deve Develo lopm pmen entt of of pla plans ns for for ship shipbo boar ard d ope opera rati tion onss
8
Emergency pr preparedness
9
Report Reportss and analy analysis sis of nonnon-con confor formit mities ies,, acciden accidents ts and haza hazardo rdous us occur occurren rences ces
10
Mainte Maintenan nance ce of the shi ship p and and equipm equipmen entt
11
Documentation
12
Compan Company y verif verifica icatio tion, n, revi review ew and and evalua evaluatio tion n
13
Certif Certifica icatio tion, n, verifi verificat cation ion and contro controll
5
PREAMBLE 1
The purpose of this Code is to provide an international standard for the safe management and operation of ships and for pollution prevention.
2
The Assembly adopted resolution A.443(XI) by which it invited all Governments to take the necessary steps to safeguard the shipmaster in the proper discharge of his responsibilities responsibilities with regard to maritime safety and the protection of the marine environment.
3
4
5
6
1
1.1.2 “Company” means the Owner of the ship or any other organisation or person such as the Manager, or the Bareboat Charterer, who has assumed the responsibility for operation of the ship from the Shipowner and who on assuming such responsibility has agreed to take over all the duties and responsibility imposed by the Code. 1.1.3 “Administration” means the Government of the State whose flag the ship is entitled to fly.
The Assembly also adopted resolution A.680(17) by which it further recognised the need for appropriate organisation of management to enable it to respond to the need of those on board ships to achieve and maintain high standards of safety and environmental environmental protection.
1.2 Objec jective ives 1.2.1 The objectives of the Code are to ensure safety at sea, prevention of human injury or loss of life, and avoidance of damage to the environment, environment, in particular, to the marine environment, and to property.
Recognising that no two shipping companies or shipowners are the same, and that ships operate under a wide range of different conditions, the Code is based on general principles and objectives.
1.2.2 Safety management objectives of the Company should, inter alia:
The Code is expressed in broad terms so that it can have a widespread application. Clearly, different levels of management, whether shore-based or at sea, will require varying levels of knowledge and awareness of the items outlined. The cornerstone of good safety management is commitment from the top. In matters of safety and pollution prevention it is the commitment, commitment, competence, attitudes and motivation of individuals at all levels that determines the end result. GENERAL 1.1 Definitions
.1
provide for safe practices in ship operation and a safe working environment;
.2
establish safeguards against all identified risks; and
.3
continuously improve safety management skills of personnel ashore and aboard ships, including preparation for emergencies emergencies related both to safety and environmental environmental protection.
1.2.3 The safety management system should ensure:
1.1.1 “International Safety Management (ISM) Code” means the International Management Code for the Safe Operation of Ships and for Pollution Prevention as adopted by the Assembly, as may be amended by the Organisation.
6
.1
compliance with mandatory rules and regulations; and
.2
that applicable codes, guidelines and standards recommended by the Organisation, Administrations, classification societies and maritime industry organisations are taken into account.
1.3 Application
owner, the owner must report the full name and details of such entity to the Administration.
The requirements of this Code may be applied to all ships.
3.2 The Company should define and document the responsibility, authority and interrelation of all personnel who manage, perform and verify work relating to and affecting safety and pollution prevention.
1.4 1.4 Functi Functiona onall requir requireme ements nts for a Safet Safety y Management System (SMS)
Every Company should develop, implement and maintain a Safety Management System (SMS) which includes the following functional requirements: .1
a safety and environmental protection policy;
.2
instructions and procedures to ensure safe operation of ships and protection of the environment in compliance with relevant international and flag state legislation;
.3
defined levels of authority and lines of communication between, and amongst, shore and shipboard personnel;
.4
procedures for reporting accidents and non-conformities with the provisions of this Code;
.5
.6 2
3.3 The Company is responsible for ensuring that adequate resources and shore based support are provided to enable the designated person or persons to carry out their functions. 4
To ensure the safe operation of each ship and to provide a link between the Company and those on board, every Company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution prevention aspects of the operation of each ship and ensuring that adequate resources and shore based support are applied, as required. 5
procedures to prepare for and respond to emergency emergency situations; and
M AS AS TE TE R’ R’ S R ES ES PO PO N SI SI BI BI LI LI TY TY A ND ND AUTHORITY 5.1 The Company should clearly define and document the master’s responsibility with regard to:
procedures for internal audits and management reviews.
.1
implementing the safety and environmental-protection policy of the Company;
.2
motivating the crew in the observation of that policy;
.3
issuing appropriate orders and instructions in a clear and simple manner;
.4
verifying that specified requirements are observed; and
.5
C OM OM PA PA NY NY R ES ES PO PO NS NS IB IB IL IL IT IT IE IE S A ND ND AUTHORITY
reviewing the SMS and reporting its deficiencies to the shore based management.
3.1 If the entity who is responsible for the operation of the ship is other than the
5.2 The Company should ensure that the SMS operating on board the ship contains a clear
S A FE FE T Y AN AN D EN EN V IR IR ON ON M EN EN T A L PROTECTION POLICY 2.1 The Company should establish a safety and environmental protection policy which describes how the objectives, given in paragraph 1.2, will be achieved. 2.2 The Company should ensure that the policy is implemented and maintained at all levels of the organisation both ship based and shore based.
3
DESIGNATED PERSON(S)
7
statement emphasising the master’s authority. The Company should establish in the SMS that the master has the overriding authority and the responsibility to make decisions with respect to safety and pollution and to request the Company’s assistance as may be necessary. 6
ship’s personnel are able to communicate effectively in the execution of their duties related to the SMS. 7
6.1 The Company should ensure that the master is:
properly qualified for command;
.2
fully conversant with Company’s SMS; and
.3
F OR OR
The Company should establish procedures for the preparation of plans and instructions for key shipboard operations concerning the safety of the ship and the prevention of pollution. The various tasks involved should be defined and assigned to qualified personnel.
RESOURCES AN AND PE PERSONNEL
.1
D E V E L O P M EN EN T O F P L A NS NS SHIPBOARD OPERATIONS
the
8
EMERGENCY PR PREPAREDNESS 8.1 The Company should establish procedures to identify, describe and respond to potential emergency shipboard situations.
given the necessary support so that the master’s duties can be safely performed.
6.2 The Company should ensure that each ship is manned with qualified, certificated and medically fit seafarers in accordance with national and international requirements.
8.2 The Company should establish programmes for drills and exercises to prepare for emergency actions. 8.3 The SMS should provide for measures ensuring that the Company’s organisation can respond at any time to hazards, accidents and emergency situations involving its ships.
6.3 The Company should establish procedures to ensure that new personnel and personnel transferred to new assignments related to safety and protection of the environment are given proper familiarisation with their duties. Instructions which are essential to be provided prior to sailing should be identified, documented and given.
9
R EP EP O RT RT S A ND ND A NA NA LY LY SI SI S OF OF NO NO N CONFORMITIES, ACCIDENTS AND HAZARDOUS OCCURRENCES 9.1 The SMS should include procedures ensuring that non-conformities, accidents and hazardous situations are reported to the Company, investigated and analysed with the objective of improving safety and pollution prevention.
6.4 The Company should ensure that all personnel involved in the Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines. 6.5 The Company should establish and maintain procedures for identifying any training which may be required in support of the SMS and ensure that such training is provided for all personnel concerned.
9.2 The Company should establish procedures for the implementation of corrective action. 10
6.6 The Company should establish procedures by which the ship’s personnel receive relevant information on the SMS in a working language or languages understood by them.
M AI AI NT NT EN EN AN AN CE CE OF O F T HE HE SH S H IP IP A ND ND EQUIPMENT 10.1 The Company should establish procedures to ensure that the ship is maintained in conformity with the provisions of the relevant rules and regulations and with any additional requirements which may be established by the Company.
6.7 The Company should ensure that the
8
10.2 In meeting these requirements the Company should ensure that: .1
inspections are held appropriate intervals;
form that the Company considers most effective. Each ship should carry on board all documentation relevant to that ship.
at 12
.2
any non-conformity is reported, with its possible cause, if known;
.3
appropriate corrective action is taken; and
.4
records of these activities are maintained.
12.1 The Company should carry out internal safety audits to verify whether safety and pollution-prevention activities comply with the SMS. 12.2 The Company should periodically evaluate the efficiency of and, when needed, review the SMS in accordance with procedures established by the Company.
10.3 The Company should establish procedures in its SMS to identify equipment and technical systems the sudden operational failure of which may result in hazardous situations. The SMS should provide for specific measures aimed at promoting the reliability of such equipment or systems. These measures should include the regular testing of stand-by arrangements and equipment or technical systems that are not in continuous use.
12.3 The audits and possible corrective actions should be carried out in accordance with documented procedures. 12.4 Personnel carrying out audits should be independent of the areas being audited unless this is impracticable due to the size and the nature of the Company.
10.4 The inspections mentioned in 10.2 as well as the measures referred to in 10.3 should be integrated into the ship’s operational maintenance routine. 11
C OM OM PA PA NY NY V E RI RI FI FI CA CA TI TI ON ON , RE RE VI VI EW EW AND EVALUATION
12.5 The results of the audits and reviews should be brought to the attention of all personnel having responsibility in the area involved.
DOCUMENTATION 12.6 The management personnel responsible for the area involved should take timely corrective action on deficiencies found.
11.1 The Company should establish and maintain procedures to control all documents and data which are relevant to the SMS. 13 11.2 The Company should ensure that: .1
valid documents are available at all relevant locations;
.2
changes to documents are reviewed and approved by authorised personnel; and
.3
CERT CERTIF IFIC ICAT ATIO ION, N, VER VERIF IFIC ICAT ATIO ION N AND AND CONTROL 13.1 The ship should be operated by a Company which is issued a document of compliance relevant to that ship. 13.2 A document of compliance should be issued for every Company complying with the requirements of the ISM Code by the Administration, by an organisation recognised by the Administration or by the Government of the country, acting on behalf of the Administration in which the Company has chosen to conduct its business. This document should be accepted as
obsolete documents are promptly removed.
11.3 The documents used to describe and implement the SMS may be referred to as the Safety Management Manual. Documentation should be kept in a
9
evidence that the Company is capable of complying with the requirements of the Code.
or organisation recognised by the Administration. The Administration should, when issuing the certificate, verify that the Company and its shipboard management operate in accordance with the approved SMS.
13.3 A copy of such a document should be placed on board in order that the master, if so asked, may produce it for the verification of the Administration or organisations recognised by it.
13.5 The Administration or an organisation recognised by the Administration should periodically verify the proper functioning of the ship’s SMS as approved.
13.4 A certificate, called a Safety Management Certificate, should be issued to a ship by the Administration
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ANNEX 2: GUIDANCE ON DEVELOPING A SAFETY MANAGEMENT SYSTEM 1.
Introduction
It has already been stated that the human element plays some part in virtually all accidents. While the operational responsibility lies with the master, the overall responsibility for the safe operation of the ship rests with the company. Casualty investigations, including Formal Investigations, have shown that good management management practice is not always followed. These notes are not a substitute for reading the Code and other useful reference material but are intended to guide and suggest good practice on the development of a Safety Management System which meets the requirements of the Code. It is recognised that not all companies are the same and significant differences will exist between the operation of vessels of different types. Therefore these notes should not be considered as exhaustive. 2.
A Saf Safet ety y Man Manag agem emen entt Sys Syste tem m (SM (SMS) S)
Meeting the requirements of the ISM Code requires a company to: • • • • • • • • • • • •
Esta Establ blis ish h a saf safet ety y and and envi enviro ronm nmen enta tall poli policy cy,, Prov Provid idee for for saf safe pra pract ctic icees, Iden Identi tify fy ris risks ks and and est estab ablis lish h suit suitab able le safe safegu guar ards ds,, Docu Docume ment nt its its ma mana nage geme ment nt proc proced edur ures es,, Ensure Ensure complian compliance ce with with relevan relevantt rules, rules, regulatio regulations ns and and take take account account of of relevant relevant guideline guideliness etc., etc., Define Define clear clear line liness of respo responsi nsibil bility ity and commun communica icatio tion, n, Designate Designate a person person ashore ashore responsibl responsiblee for monitori monitoring ng the the safety safety and and pollutio pollution n prevent prevention ion aspect aspectss of the operation of each ship, Provide Provide adequ adequate ate resources resources,, includi including ng suitably suitably qualif qualified ied and medically medically fit personne personnel, l, Provid Providee instru instructi ctions ons for for shipb shipboar oard d operat operation ionss and emerg emergen ency cy situat situation ion,, Main Mainta tain in the the shi ship p and and equi equipm pmen ent, t, Prov Provid idee rele releva vant nt and and curr curren entt docu docume ment ntat atio ion, n, Carr Carry y out out int inter erna nall audi audits ts and and revi review ew the the SMS. SMS.
3.
The The Desig esigna nate ted d Pers erson
As already mentioned the Designated Person’s (DP) role should not be undervalued. The DP must actively ensure that the ships are properly and responsibly operated and to this end should maintain close contact with Masters and Officers. They should visit the ships at regularly intervals. They should monitor internal audits, corrective actions, safety, accident and casualty reports and the general efficiency of the Safety Management System. 4.
Ship Shipbo boar ard d Ins Instr truc ucti tion onss and and Proc Proced edur ures es 4.1 In developing instructions for shipboard operations a suggested outline of the contents which should be included is given below. It is acknowledged that every company and ship is different and the actual contents will vary and change with time. Every ship should carry shipboard instructions, which should contain the following statement:
“Nothing in these instructions removes from the master his authority to take any steps and issue any orders, whether or not they are in accordance with the instructions, which he considers are necessary for the preservation of life, the safety of the ship or the prevention of pollution”. 4.1.1 General .1
Docume Documente nted d Compan Company y Safety Safety and and Enviro Environme nmenta ntall Policy Policy and and the import importanc ancee of safety and its relationship to efficient commercial operation. operation.
11
.2
Company Company Struct Structure ure (org (organog anogram) ram) which which illustra illustrates tes the the lines lines of commun communicat ication ion and the responsibilities within the company and onboard the ship. Identification of the Designated Person and showing his direct access to the highest level of management.
.3
Written Written statem statements ents of author authority ity and and responsi responsibilit bility y and in particul particular ar for for the master master giving him overriding authority to make decisions with respect to safety and pollution prevention and to request the company’s assistance as may be necessary.
.4
Respons Responsibili ibilities ties of of senior senior officer officers, s, duties duties of other other office officers, rs, safety safety office officers, rs, safety safety representatives, petty officers and ratings. Master’s and Senior Officers’ Standing Orders.
.5
Fitnes Fitnesss for for duty duty:: Fatig Fatigue, ue, drug drug and and alcoh alcohol ol poli policy. cy.
.6
Action Action to to take take if a key key crew crew member member,, includi including ng the the master master,, dies dies or become becomess incapacitated.
.7
Reporting Reporting procedures procedures,, includin including g intern internal al onboard onboard,, from from the the ship ship to the company company and to others, such as for reporting casualties, accidents and dangerous incidents. (e.g. MCA, MAIB, classification society, insurance company etc.).
.8
Trainin Training: g: Means Means of identi identifyi fying ng traini training ng needs, needs, onboa onboard rd trainin training g includin including g drills drills and external training courses ashore.
.9
Discipline: Discipline: Application Application of Code of Condu Conduct ct for for the the Merchant Merchant Navy, Navy, Co Company mpany policy and grievance procedures.
.10 Procedures Procedures for Document Document Control: Control: How How to keep keep the the documents documents up to date and ways of suggesting improvements and amendments. The system should not be considered as static but continually developing and improving. improving. .11 Welfare Welfare of those those onboard: onboard: Health, Health, hygiene hygiene and safety safety (e.g. (e.g. making refere reference nce to the Code of Safe Working Practice). .12 Medical Medical arrangem arrangements ents:: Designation Designation of respon responsible sible officers officers,, location location and custody custody of medical equipment including First-Aid kits and Ship Captain’s Medical Guide. Action in cases beyond the scope of ship-board treatment. 4.1.2 Notes .1
Referenc Referencee should should be made made in approp appropriate riate places places to legislatio legislation, n, Merch Merchant ant Shippi Shipping ng Notices, Marine Guidance Notes, Marine Information Notes and Code of Safe Working Practice and other relevant Codes and documents.
.2
The infor informati mation on given given is is for guidance guidance but but ultimate ultimately ly it is the responsibi responsibility lity of of the company to develop a system which best suits its needs and those of the Code.
.3
It is recog recognise nised d that that frequen frequentt crew changes changes can can influe influence nce shipship-board board organisatio organisation. n. Where ships have multiple crews, all masters must be fully conversant with one standard Safety Management System.
.4
The relev relevant ant Safet Safety y Manage Managemen mentt Documen Documents ts should should be availa available ble and and accessib accessible le for all persons who may need to use them. e.g. a set on the bridge, in the engine room and in the hotel department.
.5
Check-lis Check-lists ts can can be useful useful to assist routine routine check checks, s, e.g. e.g. prior prior to to sai sailing, ling, maintena maintenance nce etc. 12
4.2 Shipboard Operation: General
.1
Mast Master er’s ’s and and Seni Senior or Offi Office cers rs’’ Stan Standi ding ng Orde Orders rs..
.2
Watch Watch-k -kee eepin ping g at sea sea and in in port, port, inc includ ludin ing g ancho anchorr watch watches. es. (Re (Refe ferr to STCW STCW as applicable).
.3
Harb Harbou ourr sta stati tion ons: s: Moor Moorin ing g and and Anch Anchor orin ing. g.
.4
Fire Fire and and sec secur urit ity y pat patro rols ls and and sur surve veil illa lanc nce. e.
.5
ShipShip-boa board rd maint mainten enanc ance: e: sched schedule uled d mainten maintenan ance ce of equip equipme ment, nt, cons conside iderat ration ion being being given to “critical systems”. On-board repairs, requesting shore assistance for repairs. Defect reporting: procedures for reporting, dealing with and ensuring that defects are rectified. Checks and maintenance of fire-fighting, life saving equipment and emergency lockers.
.6
Mainta Maintaini ining ng recor records: ds: The The locat location ion and and pers person onss respon responsib sible le for for keepin keeping g relev relevant ant records, including e.g. deck, engine, official log books, charts and nautical publications, Merchant Shipping Notices, Marine Guidance Notes, Marine Information Notes, Notices to Mariners and other official publications. Lists of approved berths, technical records and reports, instruction manuals for on-board equipment; stability book, draught records, compass error book, manoeuvring data, shipboard oil pollution and emergency plan, oil record book, statutory and classification certificates etc.
.7
Passeng Passenger er Cont Control rol:: Embar Embarkat kation ion and disemb disembark arkatio ation n arran arrangem gement entss in inclu cludin ding g the the boarding card procedures. Disembarkation information, including information relating to emergency situations, vandalism, alcohol abuse, restraint of passengers in extreme cases, exclusion of unauthorised persons from vehicle decks, ensuring emergency exists, passageways, escapes, fire doors, access to emergency equipment are kept clear at all times.
.8
Inspec Ins pectio tions ns by by mast master er and and senior senior office officers. rs. Routin Routinee testi testing ng of equipm equipment ent..
.9
Arrang Arrangeme ements nts and and cond conditi itions ons rela relatin ting g to Statu Statutor tory y and Clas Classif sifica icatio tion n Certif Certifica icates tes..
.10
Prevention Prevention of pollut pollution: ion: Referenc Referencee to the shipboard shipboard oil pollut pollution ion emerg emergency ency plan. plan.
.11 .11
Use of pilo pilots ts and and tug tugs.
.12 .12
Requ Requir irem emen ents ts rela relati ting ng to to wate watert rtig ight ht doo doors rs..
.13
Requireme Requirements nts relati relating ng to to bow, bow, stern stern and and other other openings openings in the the ship’s ship’s hull hull structu structure. re.
.14
Safety Safety Com Commit mittee tee meet meeting ings: s: Minut Minuted ed and and circul circulate ated/p d/post osted ed up. up.
.15
Onboard Onboard interna internall audits: audits: At At specifie specified d interval intervals, s, identify identify any non-conf non-conformit ormities, ies, take appropriate timely corrective actions.
.16
Onboard Onboard review: review: At specif specified ied inter intervals, vals, evalua evaluate te the the efficien efficiency cy of the SMS and and bring bring to the attention of relevant personnel.
4.3 Shipbo Shipboard ard Opera Operation tions: s: In Port Port
.1
Embark Embarkati ation on and and disemb disembark arkati ation on arran arrangem gemen ents, ts, board boarding ing card card syste systems, ms, traff traffic ic contro control. l.
13
.2
Responsi Responsibilit bility y for for acceptan acceptance ce of cargo. cargo. Checkin Checking g the the suitabili suitability ty of vehicle vehicless for for shipment, securing cargo, dangerous goods, liaison with shore, stowage plans. Continuous monitoring of ship’s stability and trim. Operation of loading ramps, moveable decks and other cargo gear. Operation of fork-lift and loading/unloading tractor vehicles. Weight limitations and permissible deck loadings. Precautions against pilferage. Ventilation of vehicle decks and other cargo spaces.
.3
Harbour Harbour watches watches and security security patrols. patrols. InIn-port port mainten maintenance ance includin including g procedur procedures es to follow when the ship is temporarily immobilised. Liaison with Port Authority and observance of Harbour Byelaws.
.4
Bunkering and storing.
.5
Cargo Cargo Oper Operati ations ons:: prepar preparati ations ons,, proced procedure uress for for loadin loading g and and discha discharge rge of tank tankers ers (including inert gas systems), gas carriers, bulk carriers and other special ship types as well as general cargo vessels. (refer to the relevant Codes and Port Authority requirements).
.6
Spec Specia iall arra arrang ngem emen ents ts dur durin ing g lay lay-u -up p or or refi refitt per perio iods ds..
.7
Gass fre Ga freei eing ng of tank tankss and and encl enclos osed ed spac spaces es..
.8
Hot Hot wor work k and and othe otherr spec specia iall haza hazard rdou ouss wor work k pro proce cedu dure res. s.
4.4 Preparing For Sea
Note: It is strongly recommended that check-lists are drawn up, appropriate to the ship and service, for each officer responsible for various aspects of this section: Completion of these should be recorded in the appropriate log books for each and every voyage. .1
Veri Verifi ficcatio ation no off pas passe sen nger nu number bers.
.2
Read Readin ing g and and reco record rdin ing g draug raugh hts. ts.
.3
Assess Assessme ment nt o off Stabi Stabilit lity. y. What What to do do when when calc calcula ulated ted and observ observed ed figu figures res diffe differ. r.
.4
Chec Checki king ng the the ssec ecur urin ing g of of veh vehic icle less and and othe otherr car cargo go..
.5
Chec Checki king ng for for lea leaka kage gess from from car cargo go pip pipel elin ines es and and man manif ifol olds ds..
.6
Secu Securi ring ng hatc hatche hess and and othe otherr ope openi ning ngss in in the the hull. hull.
.7
Closing of of w waatertight do doors.
.8
Testin Testing g of main main engin engines, es, stee steerin ring g gear, gear, navig navigati ation on and and commun communica icatio tions ns equip equipme ment. nt.
.9
Inst Instru ruct ctio ions ns on Brid Bridge ge/E /Eng ngin inee room room cont contro rols ls..
.10
Assessmen Assessmentt of actual actual and expected expected weather weather and sea state, state, using both official official forecasts forecasts and own observations.
.11 .11
Plan Plan of pass passag agee mad madee and and chec checke ked. d.
.12 .12
Crew Crew on boar board, d, at sta stati tion onss and and fit fit for for dut duty. y.
.13 .13
Repo Report rt to Mas Maste terr by eac each h resp respon onsi sibl blee offi office cer. r.
14
.14 .14
Assessme Assessment nt by Maste Masterr of readin readiness ess to sail. To To ensure ensure all all statutor statutory y and compan company y requirements are complied with. Master to evaluate any reported deficiencies and either satisfy himself that they are acceptable or require them to be rectified before departure.
.15 .15
Docu Docume ment ntat atio ion no off sai saili ling ng cond condit itio ion. n.
.16
Clearance.
.17 .17
Safe Safety ty Bro Broad adca cast stss to pas passe seng nger ers. s.
.18
Round Roundss of passen passenger ger,, vehicl vehiclee and othe otherr decks decks on clea clearin ring g the bert berth. h.
4.5 4.5 Ship Shipbo boar ard d Oper Operati ation ons: s: At Sea Sea
.1
Watch Watchkee keepin ping g requir requirem emen ents ts in gene general ral;; Bridge Bridge,, Engine Engine Room Room and Radi Radio. o. Mast Masters ers and and Chief Engineers standing orders.
.2
Naviga Navigatio tion: n: Posit Position ion mon monito itorin ring. g. Use Use of navi naviga gatio tiona nall and visu visual al obser observat vation ions. s. Maintaining dead reckoning. Checks of radio navigation aids and compass by visual observation.
.3
Look-o Look-out: ut: Master Masterss Stand Standing ing Orders Orders and compan company y requi requirem rement ents. s. Obse Observa rvance nce of the Collision Regulations and other requirements. Reference to STCW requirements, rest periods etc. Special requirements in fog or bad weather.
.4
Monit Monitori oring ng of of machi machine nery ry and and other other equi equipm pmen ent. t. Keepi Keeping ng reco records rds and and logs logs Clea Cleanli nlines nesss of machinery spaces. Special requirements when watertight doors are shut. Monitoring the condition of cargo and inert gas systems.
.5
Radi Radio o com commu muni nica cati tion onss inc inclu ludi ding ng use use of of VHF VHF..
.6
Fire Fire and and ssaf afet ety y pat patro rols ls and and ssur urve veil illa lanc nce. e.
.7
Upke Upkeep ep of of deck deck,, engi engine ne and and rad radio io log logs. s. Mov Movem emen entt reco record rdin ing. g.
.8
Mainta Maintaini ining ng office officers’ rs’ famili familiari arity ty with with m mano anoeuv euvrin ring g and and other other data. data.
.9
Pass Passen eng ger inf inform ormatio ation n bro broadca adcast sts. s.
.10
Intern Internal al commun communica icatio tion n system systemss and and proced procedure ures. s.
4.6 Emerge Emergenc ncies ies And Contin Contingen gencie ciess
Contingency planning, planning, drills and musters should cover at least: .1
Genera Generall Emerge Emergency ncy Proced Procedure ures, s, Signal Signalss and Orga Organis nisati ation on with with cros cross-r s-ref efere erenci ncing ng to training manuals.
.2
Fire: Fire: Preven Preventio tion, n, alarms alarms,, firs first-a t-aid id firefire-fig fight hting ing.. Fire Fire partie parties. s.
.3
Coll Co llis isio ion; n; Grou Ground ndin ing; g; Dama Damage ge Co Cont ntro rol. l.
.4
Man Overboard.
.5
Action Action in in the even eventt of the the failur failuree of essen essentia tiall equipm equipment ent.. (e.g. (e.g. main main or auxi auxilia liary ry engin engines, es, steering).
15
.6
Obtain Obtaining ing ass assist istanc ancee and and assist assisting ing other other vess vessels els or or perso persons. ns. (e.g (e.g.. towag towagee etc.) etc.)..
.7
Passen Passenge gerr con contro troll in in emerge emergency ncy and extrem extremee weath weather er situat situation ions. s.
.8
Commun Communica icatio tions; ns; within within the shi ship, p, shi ship p to to ship ship and shi ship p to to shor shore. e.
.9
Pollut Pollution ion:: Large Large and sma small ll oil oil spills spills,, loss loss of danger dangerous ous goods goods and other other carg cargo. o.
References:
The ISM Code embraces aspects of most current conventions and regulations. The following list of documents, which is not exhaustive, gives references which will be of assistance in developing a SMS: •
Inte Intern rnat atio iona nall Safe Safety ty Man Manag agem emen entt Code Code (IS (ISM M Cod Code) e) IMOIMO-18 186E 6E
•
Ship Ship Safe Safety ty and and Pol Pollu luti tion on Prev Preven enti tion on IMOIMO-59 594E 4E
•
Latest Latest con consol solida idated ted editio edition n of The The Int Intern ernati ationa onall Conven Conventio tion n for for the Safety Safety of Life Life at Sea, Sea, 1974 (SOLAS ‘74) (and any additional amendments) amendments)
•
Latest Latest consol consolida idated ted editio edition n of the Intern Internati ationa onall Conve Conventi ntion on for for the the Preven Preventio tion n of of Pollution from Ships, 1973 and the Protocol of 1978 (MARPOL 73/78) (and any additional amendments) amendments)
•
STCW 78 (as amended by STCW 95)
•
Conven Conventio tion n on the the Inte Interna rnatio tional nal Reg Regula ulatio tions ns for for Preve Prevent nting ing Coll Collisi isions ons at at Sea, Sea, 1972 1972 (as (as amended)
•
Relevant St Statutory In Instruments
•
Mercha Merchant nt Shippin Shipping g Notic Notices, es, Marine Marine Guidanc Guidancee Note Notess aand nd Marine Marine Inf Inform ormatio ation n Notes, Notes, particularly those dealing with: Codes of Practice Training Operational aspects Pollution prevention Health and Safety issues
•
MCA MCA Instr Instruct uction ionss for for the the guida guidanc ncee of surv survey eyors ors (inc (includ luding ing those those for for the the ISM ISM Code Code,, when published).
•
Codes Codes of of Pract Practice ice (e.g. (e.g. Code Code of Safe Safe Worki Working ng Prac Practic tices es for for Merc Merchan hantt Seame Seamen, n, Cod Codes es of of Practice related to stowage of Cargo, International Safety Guide for Oil Tankers and Terminals (ISGOTT) etc.).
•
ICS/IS ICS/ISF F Guide Guidelin lines es on the the appli applica catio tion n of the the IMO IMO Inte Interna rnatio tiona nall Safet Safety y Manag Managem emen entt Code.
•
ICS ICS Shi Shipp ppin ing g and and the the Env Envir iron onme ment nt A Cod Codee of of Pra Pract ctic ice. e.
16
ANNEX 3: ANNEX TO IMO CIRCULAR (MSC/CIRC. 762) (11 JULY 1996)
MSC/Circ.762 MEPC/Circ.312 ANNEX GUIDANCE TO COMPANIES OPERATING MULTI-FLAGGED FLEETS AND SUPPLEMENTARY GUIDELINES TO ADMINISTRATIONS Purpose
1.
To give give guidance guidance to compani companies es operatin operating g multi-fla multi-flagged gged fleets fleets and to give give supplem supplementary entary guidelines to Administrations. To ensure that all Administrations concerned can be satisfied and have faith that the DOC has been issued fully in accordance with resolution A.788(19).
2.
The Assembl Assembly, y, at its ninetee nineteenth nth session, session, adopted adopted resolution resolution A.788(19 A.788(19)) - “Guidelines “Guidelines for Administrations on the implementation of the ISM Code”. These guidelines are generally accepted as being a good basis on which Administrations can build as experience is gained in implementing the Code. The same resolution requests Administrations to review the Guidelines in the light of such experience.
3.
Experience Experience to date date has has highlighte highlighted d that that the Guidelines Guidelines referre referred d to in paragraph paragraph 2 provide provide no no guidance as to how companies operating multi-flagged multi-flagged fleets are to be treated. The absence of such guidance is leading to confusion amongst all sectors of the industry which under certain circumstances may lead to unnecessary duplication of work if not properly addressed, will diminish the impact of the ISM Code on the shipping industry.
4.
The Maritim Maritimee Safety Safety Committ Committee ee and the Marine Marine Enviro Environmen nmentt Protectiv Protectivee Committe Committee, e, conside considering ring the matter at their sixty-sixth and thirty-eighth sessions respectively, agreed on the following supplementary guidance to be followed by companies and Administrations, as appropriate.
Guidance for companies operating multi-flagged fleets
5.
To facilitate facilitate the auditing auditing and certific certification ation process companies companies should should approach approach the the relevant relevant flag flag Administrations, proposing a plan of action and requesting agreement by all parties. This plan should clearly state which entity (see paragraph 8) is to conduct which part of the process.
6.
This appro approach ach by companies companies should should be taken at least least 12 month monthss prior prior to the the mandat mandatory ory applica application tion date for the particular ship type or types involved.
Supplementary Guidelines to Administrations on auditing and certification of companies operating multi-flagged fleets
7.
Administ Administratio rations ns approac approached hed by a compa company ny operat operating ing a multimulti-flag flagged ged fleet fleet should should enter enter into into a positive dialogue with other involved Administrations in order to facilitate the auditing and certification process and to avoid unnecessary duplication of work. Relevant agreements may be reached with other involved Administrations for this purpose.
8.
In this this respect respect Admin Administrat istrations ions shoul should d bear bear in mind mind that that the provision provision of SOLAS SOLAS regulat regulation ion IX/4.1 IX/4.1 allows for the following entities to issue DOCs: • • •
9.
the the Adm Admin inis istr trat atio ion n its itseelf; lf; a recog recognis nised ed orga organis nisati ation on aauth uthori orised sed by the the Adm Admini inistr strati ation on;; or at the requ request est of the the Admin Administ istrat ration ion,, by anothe anotherr Contra Contracti cting ng Gover Governm nmen ent. t.
The need need for for establishi establishing ng a clear clear link betwe between en the the shore-ba shore-based sed part part of the the Safety Safety Managem Management ent System of the company and the shipboard parts should be clearly recognised. 17
18
19
20
Original Article for Maritime Risk International By Dr Phil Anderson
The ISM Designated Person - Keystone or Scapegoat? Although we are now well over seven years since the deadline for Phase One ISM th implementation and rapidly moving towards the 10 anniversary of the mandatory compliance for RO-RO Passenger ferries in EU waters – there remains many grey areas when it comes to considering the role and responsibilities of the Designated Person. I have visited some ship operating Companies where the Designated Person (D.P.), or Designated Person Ashore (DPA) as they have often become known, sits at the right hand of the Shipowner – holding a very senior position in the Company, with many years sea service as well as shore management experience, and the Shipowner consults the DPA before making any major decision. I have visited other Companies where the DPA is a young graduate who has never been to sea and who occupies a small room at the back of the office and who is wheeled out once a year when the R/O appears on behalf of the Flag State Administration to conduct an annual verification / review to maintain the Document of Compliance (DOC). I have visited other Companies where the DPA is also the Operations Manager or the Technical Manager – as well as being the Safety Manger, Security Manager and wearing a number of other hats. I have even visited Companies where the DPA is sub-contracted and totally external to the day-to-day operations of the Company – sometimes residing in a different city. How, we might ask, can there be such a diversity of responses across the industry to not only the appointment but also the status of the DPA within a Company? The idea of the Designated Person was actually something of an ‘after thought’ with regard to the ISM Code. In the original drafts there was no mention of such an entity – the idea was apparently introduced by the UK delegation to IMO who were concerned to learn the lessons from the Herald of Free Enterprise tragedy in March 1987. What appears to have been behind the development of subsequent UK Regulations and the proposal to the IMO was the apparent lack of accountability at various levels of shore management of the Herald of Free Enterprise, even though concerns had been raised by the ferry Masters of the dangers of sailing with the bow doors open. It became apparent during the formal inquiry which followed that the individuals within the management did not assume any responsibility to deal with the problem or to see to it that remedial steps were taken. Following the Formal Inquiry, the Merchant Shipping (Operations Book) Regulations 1988 were laid before Parliament and came into force in December that year. The Regulations were applicable to all UK passenger ships on short sea trade (Class II and IIA) and were developed around the two central tenets: •
All such ships should carry an ‘operations book’ containing instructions and information for safe and efficient operations, and
•
Owners were required to nominate a person (known as the Designated Person) to oversee the operation of their ships and to ensure that proper provisions were made so that the requirements of the operations book were complied with.
There is certainly some clear guidance there as to what the DP was intended to th th achieve. However, by the time of the 18 session of the IMO Assembly on 4 November 1993, when the draft of the ISM Code – by way of Resolution A.741(18) was approved, a certain amount of restructuring and embellishment had taken place. The role of the Designated Person, in the ISM Code is set out in Section 4: 4 DESIGNATED PERSON(S) To ensure the safe operation of each ship and to provide a link between the Company and those on board, every Company, as appropriate, should designate a person or persons ashore having direct access to the highest level of management. The responsibility and authority of the designated person or persons should include monitoring the safety and pollution-prevention aspects of the operation of each ship and ensuring that adequate resources and shore-based support are applied, as required. This would clearly go far beyond what was envisaged by the UK Regulations – but exactly what was intended is far from clear. Indeed many practicing lawyers and academics spent much time debating the implications - even from those very early days of the development of the Code. As we approach the end of 2006 those debates are still with us and still without an agreed solution or conclusion. Before I revisit the debate, or indeed any legal debate involving the ISM Code, I think it is crucial that we state loud and clear that the ISM Code was never intended to create new inter-party liabilities in the context of claims and disputes – it was formulated with the clear purpose of improving and extending standards of maritime safety and the protection of the environment. If we break down Section 4 of the Code we can identify three distinct but related functions: • • •
To provide a link between the ship and the office ashore; To have access to the highest levels of management; To monitor the operation of the SMS and to ensure it is adequately resourced.
Linked to these express requirements there are many more ‘implied’ requirements. The problems which arise include what is actually intended by the ‘express’ requirements and the recognition that there is no uniform agreement across the industry as to what the implied requirements r equirements might be. I was amazed to visit one ship operating company where the DPA had not actually been on board any of their 20 or so ships and had met barely a hand full of Masters and senior offices and had not met any junior officers or other crew members. He received communications from the ships, stamped them upon receipt, copied them, sent a copy back to the ship confirming receipt and filed the original. I have seen
other DPA’s who are doubling up as Operations Managers or Technical Managers and who know the ships and the people intimately. What must have been intended by the original draftsmen of the Code was surely a conduit – a focal point for the communication flow on matters of safety to freely pass in both directions. Traditionally, the Marine Superintendent would often perform such a useful function. However, to facilitate such a communication flow I do believe that the DPA must be well known, trusted and respected by those on board the ship and in the office ashore. They must be seen to be effective, to deal with issues, to provide leadership and support and ensure that feedback loops are always closed. It is one thing to have access to the highest levels of management management – the question arises though as to exactly what use the DPA should make of that access? I think t hink few would disagree that it must be implied that the DPA will use that access to advise the highest levels of management of how the SMS is running and particularly to bring to their attention any problems. So far so good! What is far from clear is just how much detail should be passed up to the highest levels of management and how frequently? To some extent the answer might depend upon the size of the Company. In a very small Company the Shipowner is probably personally aware of almost everything going on aboard each of his / her ships. In a large ship management company the CEO would be totally swamped and surely could not function if every near miss or hazardous occurrence was brought to his / her desk – the Company would grind to a halt. However, consider the situation of a an incident occurring which has led to loss of life – it turns out that a numbers of similar incidents had occurred, without without serious injuries on those occasions, or near miss reports had been received but no action had been taken by the Company and the CEO, perhaps genuinely, declares that he / she had not been made aware of these other incidents. Is that lack of of knowledge going going to help them if they are facing a manslaughter or Corporate Killing charge? Lord Donaldson addressed a very similar scenario in 1998 when he described it as ‘the errant shipowners’ Achilles heel’. He explained the problem in the following terms: “…The ‘blind eye’ shipowner is faced with a ‘catch 22’ situation. If he hears nothing from the designated person, he will be bound to call for reports, for it is inconceivable there will be nothing to report. If the report is to the effect that all is well in a perfect world, the shipowners would be bound to enquire how that could be, as the safety management system is clearly intended to be a dynamic system which is subject to continuous change in the light not only of the experience of the individual ship and of the Company as a whole, but also of the experience of others in the industry…” (Lord Donaldson - The ISM Code: the road to discovery, [1998] LMCLQ 526)
There had been many predictions in the lead up to the ISM implementation deadlines of Designated Persons – and indeed Shipowners and Chief Executives of ship operating Companies being prosecuted or called to task for failing to monitor the efficient running of their SMS. A belief developed that the DPA was going to be used as a ‘scapegoat’ if things went wrong. However, with the exception of one or two incidents in the United States there has been a noticeable absence of any cases proceeding through the Courts or otherwise reaching the public attention. There are at least three possible conclusions we could reach based upon this silence:
1. All the Safety Management Systems of all the ship operating Companies are working fairly close to perfection i.e. it never materialised as a problem; 2. The problems did arise, and continue to arise, but have not been identified by any of the parties or the parties have chosen not to pursue the matter; 3. The problems did arise, and continue to arise, but the cases have not yet reached the Courts – i.e. they have been settled / dealt with out of court or in private Arbitration / mediation. However much I would like number 1 to be correct – unfortunately it is not. The answer is both number 2 and number 3. I think many people, including lawyers, claims handlers, insurers, recovery agents and the like, have still to wake up to the potential consequences flowing from the role of the DPA. It may be that they do not know what to look for or where to look. Having said that, I am very aware that there are lawyers and others, both as claimants and defendants, who have discovered the potential – indeed I am instructed as a consultant and expert witness in many cases both in civil and criminal actions where the focus of attention comes on how the Company managed safety and whether any failure in the management of safety contributed to the incident. Often, in these cases, the role of the DPA is being examined very closely and what I am seeing, on a number of occasions, is a DPA who is ineffective and often not really knowing or understanding their actual role or what is expected of them as DPA. I have seen Safety Management Systems which are ineffective – mainly because of a reluctance by the DPA to recognise and accept that it is ineffective – usually because the SMS was the DPA’s own creation. I have seen too many examples of instances where the DPA is actually acting as a barrier to the efficient working of the SMS. Unfortunately, it is only when an incident happens that these barriers are being exposed and the understanding of the potential consequences starts to sink in. The DPA, in my view, occupies a ‘keystone’ position within any Safety Management System but has often received little or no training or familiarisation in what is actually required to adequately and effectively perform the job of a DPA. This may partly arise from the fact that the role is so poorly defined in the first f irst place. In the UK a little more detail is provided in ‘SI 1998 No. 1561 The Merchant Shipping (International Safety Management (ISM) Code) Regulations 1998’ which states, at Section 8: Designated Person 8. (1) The company shall designate a person who shall be responsible for monitoring the safe and efficient operation of each ship with particular regard to the safety and pollution prevention aspects. (2) In particular, the designated person shall(a) take such steps as are necessary to ensure compliance with the company safety management system on the basis of which the Document of Compliance was issued; and (b) ensure that proper provision is made for each ship to be so manned, equipped and maintained that it is fit to operate in accordance with the safety management system and with statutory requirements. (3) The company shall ensure that the designated person(a) is provided with sufficient authority and resources; and
(b) has appropriate knowledge and sufficient experience of the operation of ships at sea and in port, to enable him to comply with paragraphs (1) and (2) above.
I understand that the IMO Maritime Safety Committee is about to undertake a review of the ISM Code in the near future. There are a number of issues I feel should be included in their deliberations and I believe that a clearer explanation of the role and responsibilities, as well as the appropriate qualifications and experience of DPA’s should be high on the list. Such an opportunity to amend and improve the Code will not arise very often. I would urge everyone in the industry to give careful thought to this and consider submitting ideas and suggestions for possible amendment to your flag state Administration or an NGO with which you may be associated – e.g. International Chamber of Shipping, BIMCO, IACS, IFSMA etc. or write directly to the IMO. At this time I have seen little evidence to suggest that DPA’s are being, or have been used as scapegoats – although they are, potentially, very exposed. I do see them as ‘keystones’ to provide the structure and support for an efficient and effective SMS – but, all too often I fear they are not adequately performing their intended role. It should also be recognised though that there are Companies out there where the DPA’s have been adequately trained and are functioning extremely well. These Companies and DPA’s should be identified and persuaded to share with the rest of the industry what they have done and how they have done it – so that we all may learn for the general benefit of our industry and our planet.
