Self-assessment efficiency of shipping company safety management system

1
Self-assessment efficiency of shipping company
safety management system
2
Self-assessment is a comprehensive and systematic
analysis of the organization activity in
comparison with the accepted model of work of the
organization being a model, an example for
others.
Results of the self-assessment conscientiously
carried out by the organization on a regular
basis allow it to make reasoned decisions of
STRATEGIC CHARACTER aimed at improvement of its
activity.
3
The international practice of the quality
management has proved that carrying out of
self-assessment gives the organization the
following advantages
1) during the assessment of its activity and the
results use of a uniform criteria set, which
found a wide application in many countries 2)
systematic approach to improvement of the
activity 3) obtaining of objective appraisals
based on the facts but not on the personal
perception of individual employees or leaders 4)
coordinated understanding of the measures to be
taken by the organization in general, its
separate divisions and each employee based on the
uniform conceptual basis and, first of all, in
the key directions 5) training of the personnel
to use the principles of safety management
4
Advantages of self-assessment (continued)
6) implementation of various initiatives and
progressive methods of safety management in the
day-to-day activity 7) identification and review
of the processes to be improved 8) determination
of extent of changes taken place since the
previous self-assessment 9) the possibility of
propagation of the advanced experience of the
best divisions of the organization or other
organizations 10) the possibility of the
progress acknowledgement and stimulation of
divisions and workers by means of bonuses 11)
the possibility of comparison with the best
results achieved both in this organization and in
other organizations.
5
Therefore, carrying out of self-assessment of the
safety management system (SMS) on a regular basis
will allow the shipping company to
1) make a "snap shot" of the current situation of
the company's SMS 2) use the uniform criteria
set in the assessment of the SMS efficiency 3)
realize systematic approach to the SMS
improvement 4) obtain the objective appraisal
based on the facts but not the personal
perception of leaders and/or employees 5)
better understand what measures shall be taken by
the company, its divisions and ships in the key
directions for the SMS improvement 6) determine
the extent of changes, which have taken place
since the previous self-assessment 7) perform
more detailed SMS reviews on board the ships and
in the company divisions in compliance with
Section 12 of the ISM Code "Company verification,
review and evaluation".
6
In addition to the above mentioned it should be
noted that, according to the supervision
performed during several years, an average number
of the ship detentions for the shipping
companies, which carried out the SMS
self-assessment, is significantly below an
average number of the ship detentions for those
shipping companies, which did not carry out the
SMS self-assessment.
7
Experts of the Admiral Makarov State Marine
Academy (AMSMA) have performed under the RS
initiative the research work, which resulted in a
procedure for self-assessment efficiency of the
shipping companies SMS and a software intended
for its realization.
In July 2006 the description of this procedure
(refer to ND No. 2-089902-001-E Recommendations
on Self-Assessment of Shipping Companies' Safety
Management System Efficiency) together with the
program Expert Judgement Perfection Level
Assessment of Shipping Company SMS have been
placed at the official (public) RS website.
Whereupon the RS Branch Offices sent the shipping
companies, which offices were located in the
regions of their activity, a letter of the RS
Director General in Russian and English, where
the shipping companys management was invited to
take advantage of that new RS service.
8
Moreover the RS employees have been prepared Note
MSC 82/15/6 dated 8/29/2006.
The document called ROLE OF THE HUMAN ELEMENT
SMS Self Assessment - A Key To Human Element
Management has been presented at 82 session of
the Maritime Safety Committee (MSC) on behalf of
the Russian Federation.
9
Here the title page of ND No. 2-089902-001-E
Recommendations on Self-Assessment of Shipping
Companies' Safety Management System Efficiency
is presented, describing the updated procedure
and the software, already reviewed with
participation of the experts of the RHO ISM Code
Department.
10
The reviewed Recommendations briefly describe

• criteria for the Quality Award of the Government
  of the Russian Federation (para 4.2, ND No.
  2-089902-001-E)
• procedure for the self-assessment process (para
  4.3, ND No. 2-089902-001-E)
• planning of improvement of the organization
  activity on the self-assessment basis (para 4.4,
  ND No. 2-089902-001-E)
• model of excellence of the companys SMS (para
  5.1 , ND No. 2-089902-001-E)
• evaluation of the factors forming the key areas
  (para 5.2, ND No. 2-089902-001-E)
• order of performance of self-assessment
  efficiency of the companys SMS (para 5.5, ND No.
  2-089902-001-E).

11
Appendices to the reviewed Recommendations ,
ND No. 2-089902-001-E contain

• User Instruction on the software Assessment of
  Shipping Company's SMS Excellence Level
• description of key area factors and
  recommendations on their evaluation
• Regulation on the SMS Mark of Compliance.

12
The SMS Mark of Compliance has 2 graphic forms
in case when the Company did not request RS for
the right of its use in the previous year (here -
in 2008)
in case when the Companys right to use the SMS
Mark of Compliance is successively confirmed
within several years (here from 2008 to 2010).
13
The shipping company may use SMS Mark of
Compliance in marking

• advertising and information materials, printed
  publications, signs, display units at
  exhibitions, seminars, conferences, fairs, etc.
• accompanying technical documentation and
  official forms
• business cards of the Companys employees.

14
The right of using the SMS Mark of Compliance is
transferred to a shipping company, if within 12
months, preceding the Companys request to RS, in
relation to the Company ships did not occur

• any casualties and/or accidents, as well as
  cases of death of people and/or injury cases
• any detentions or
• its number did not exceed 6 per cent of the total
  number of ships (fleet) of the Company in this
  case no reiterated detentions of the same ship
  took place.

Thus, the Company has performed its SMS
self-assessment, following the provisions of ND
No. 2-089902-001-E, or in a different way, which
efficiency will be recognized by RS not lower,
and has requested RHO in writing for acquiring
the right to use the SMS Mark of Compliance.
15
The address of the RS Internet-site
http//www.rs-class.org/.
Here the image of the RS Internet-site,
containing ND No. 2-089902-001-E and also the
appropriate software, is presented.
Selection of language(English / ???????
(Russian))
16
Recommendations on the Self-Assessment of the
Efficiency of Shipping Company Safety Management
Systems, ND No. 2-089902-001-E, as well as the
interface of the software product Expert
Judgement Perfection Level Assessment of
Shipping Company SMS have been translated into
English and were located in the appropriate
version of the official RS website.
First of all, this presentation is intended for
English users, therefore the slides will contain
the version of the official RS website in English.
17
Navigation (continued) Official RS website gt
English gt Services (http//www.rs-class.org/en/in
dex.php)
18
Path (continued) Official RS website gt English
gt Services gt Certification of Safety Management
Systems (http//www.rs-class.org/en/services/ism.p
hp)
ND No. 2-089902-001-E
Software product Expert Judgement Perfection
Level Assessment of Shipping Company SMS
This presentation
19
The model of excellence of the companys SMS
developed by the experts of the Admiral Makarov
State Maritime Academy is described in ND No.
2-089902-001-E, as well as in Note MSC 82/15/6.
20
Herein
Key area ? Policy and responsibility of the
Company (see ISM Code, Sections 1, 2, 3) Key
area B Personnel and resources (see ISM Code,
Sections 4, 5, 6) Key area C Safety of key
operations (see ISM Code, Section 7) Key area D
Emergency preparedness (see ISM Code, Section
8) Key area E Maintenance (see ISM Code,
Sections 9, 10) Key area F Documentation and
the efficiency analysis of the Companys SMS (see
ISM Code, Sections 11, 12, 13)
21
Furthermore, in compliance with the model
described for each key area an array of
numerical values, so-called "factors" the
sub-areas being essential for this key area shall
be generated.
For example, for criterion A factors will be ?1,
?i/ Thus the executive carrying out assessment
of the company SMS perfection level shall
determine each factor value, from 1 to 10 points.
Numerical value of each key area, for example
A, shall be determined as the sum of numerical
values of the factors i ? S ?j j1
22
Numerical value of the key area, for example A,
is calculated from the following formula ? ?
?1?
Therefore, the sum of criteria A B C D E
F defines the numerical value of weighted
average coefficient, called the system
coefficient Ks that determines perfection level
of the company SMS. On the basis of the ratio of
the company system coefficient ?s and the maximum
possible numerical value of the system
coefficient envisaged in the excellence model the
following is 1) initial SMS level ?s
60 of max ?s 2) stable SMS level 60 lt
?s 80 ?f max ?s 3) controlled SMS
level ?s gt exceeding 80 of max ?s. In the
software product the SMS perfection level (factor
?s) is calculated with the aid of normalizing
constant by 10 point scale.
23
After running of the software product "Expert
Judgement Perfection Level Assessment of
Shipping Company SMS" (for example, by activation
of the file "ExpertSystem.exe" in the
distribution package downloaded by the user
from the official RS site) the following splash
screen shall be displayed on the monitor
Selection of language of the software product
interface, (??????? (Russian) / English)
24
Upon selection by the user of the English version
of the software product, the following shall be
displayed on the monitor
BookmarksCalculation and key areas
Fields, where the user enters the numerical
values of separate factors
"Current" value of system coefficient ?s
25
It should be noted that the software product
located at the RS website, as a matter of fact,
only automates the process of the system
coefficient ?s calculation and refers it to one
of the levels proposed by the models authors
("initial", "stable" or "controlled").
In fact, the perfection level of the particular
company SMS is assessed by a person, who
determines the numerical values of separate
factors and enters them into the appropriate
fields of the software product interface (see the
previous slide).
Therefore, when determining points of the
particular factor / key area, as a first step,
one may be guided by the following regulations.
First of all, the expert carrying out assessment
shall clearly understand the company potential in
relation to the factor / key area in question.
26
The same expert shall be aware of the company
progress in the assessed area. The more
efficiently the company realizes its potential in
relation to the considered factor / key area, the
more points it may obtain.
Moreover, various incidents might have taken
place on the company ships during the period
under review, for example, a year. It might have
been, in particular - accidents, emergency cases
and / or incidents - accidents with passengers
and / or crew members - dangerous occurrences /
situations - ships detention by Port State
Control or their inspections with detected
non-compliances with the specified (statutory)
requirements - ships survey by classification
societies with the identified requirements /
recommendations / non-conformities, etc.
27
According to para 9.1 of the ISM Code, reports on
such non-conformities, emergencies and hazardous
situations shall be submitted to the Companys
ashore divisions for investigation and analysis
"for the purpose of safety improvement and
environmental protection".
Moreover, experience shows that the information
on such incidents, as a rule, is included into
the SMS analysis reports drawn up by the shipping
companies. And the most "advanced" companies
necessarily investigate each case in order to
determine and eliminate / prevent the accident
cause.
Obviously, assessment of the factor / key area in
question cannot be maximum, if the investigation
results prove that it is this factor / key area
that caused the above accident aboard the ship
within the period under review.
28
On the next slide the bookmarks "Calculation" of
the SMS self-assessment software product received
by RS from the several shipping companies are
displayed.
It is interesting to note, that, according to the
RS information, the shipping companies seriously
engaged in their SMS choose more "weighted"
assessment.
However, the companies which, according to the RS
information, had problems with SMS (for example,
last year emergency cases / dangerous occurrences
and/or detention of ships took place), more often
overassess themselves (pay attention to the color
image on the next slide).
29
Images of bookmarks "Calculation" of the SMS
self-assessment software product received by RS
from the several shipping companies.
30
Taking into account this fact, RS together with
the Admiral Makarov State Maritime Academy has
added the software product and distribution
package archived at the official RS website.
Recommendations for evaluation of each factor
(in the distribution package these files have
Russian and English names and extension ".doc").
31
Moreover, when carrying out the SMS
self-assessment, the shipping company is
recommended to more strictly adhere to the
provisions of para 5.2.2, ND No. 2-089902-001-E.
In particular, regarding participation of the
following persons in carrying out the
self-assessment - the Companys first person-
financial director / chief accountant -
master(s) of ships, and approval of the
self-assessment report by the Companys top
management and careful execution of the developed
arrangements for the SMS improvement.
32
In summary, Russian Maritime Register of Shipping
heartily wishes all the shipping companies, which
have introduced the SMS self-assessment in their
activity, success in its application, and,
foremost, good lack in provision of safety of the
operated ships and, of course, yearly get the
right to use the SMS Mark of Compliance.