DPA Training Rev02 2010 4 29

Designated Person Ashore
(DPA) Training Course

Introduction the Trainer
Eng.ASHRAF EL SHERBINY
M.Sc. Naval Architect & Marine Engineering
Senior Surveyor to Germanischer Lloyd
Country Manager, UAE
CWI, NDT-Level III
Lead Auditor: ISO, ISM, ISMA, MarSec
Maritime Labour Inspector
GL Academy Dubai
Phone: + 971 4 3328842 / + 97150 6524038

Email: ashraf.el-sherbiny@gl-group.com
Designated Person Training No. 2

The Participants
Please introduce yourself
Name
Company
Position / Duty
Experience as
Designated Person
or in ISM matters
Expectations

Organisation
Course Documentation General information
Handout Smoking Policy

Case Studies Mobile Phones
Tools
Emergency Exits
Documentation
GL Academy Time Keeping
Designated Person Training Course
The role of the Designated Person under the

Other Material
Provision of the ISM Code
Examination
Certificates
Seminar Assessment

Course Schedule Day 1
09:00 09:30 Introduction, workshop objectives

09:30 10:30 Company responsibilities, authority and obligations - CS 1
10:00 10:30 Key elements for the effective implementation and maintenance
10:30 10:50 Coffee
10:50 12:00 ISM requirements for internal audits and reviews - CS 2
12:00 13:00 The role and function of a Designated Person
13:00 14:00 Lunch
14:00 15:00 Responsibility, authority, accountability of the DPA CS 3
15:00 - 15:30 The philosophy and principles of the ISM Code
15:30 15:50 Coffee
15:50 17:00 The maritime regulatory system - CS 4

Course Schedule Day 2
09:00 09:15 Summary of Day 1
09:15 10:00 Introduction to risk assessment
10:00 10:30 Risk assessment and management CS 5
10:30 10:50 Coffee
10:50 12:00 Incident investigation, event and causal factor Charting - CS 6
12:00 13:00 Barrier analysis CS 7
13:00 14:00 Lunch
14:00 15:00 Technical and operational aspects
15:00 15:30 Knowledge of shipping and shipboard operations
15:30 15:50 Coffee
15:50 16:30 Internal audits, effective communication CS 8
16:30 17:00 Examination, summary, feedback, closing

Course Navigator
Module 1: Introduction / Objectives
Module 2: Requirements for Companies
Module 3: Implementation and Maintenance of the SMS
Module 4: The Role of the Designated Person
Module 5: Knowledge and Understanding of the ISM Code
Module 6: Mandatory Regulations, Codes, Guidelines, Standards
Module 7: Assessment Techniques
Module 8: Technical and Operational Aspects of Safety Mangmt.
Module 9: Stakeholders in Shipboard Operations
Module 10: Management System Audits
Module 11: Effective Communication
Module 12: Summary, Examination and Closing

Peter Checker, Designated
Person in the Shipping
Company Container Brothers
receives an incident report
from Bob Smith, Master of
container ship MV Express I.

What to do with the
incident report???
How to start???

Workshop Objectives
Analysis
preparation To train the participants to
Acceptance
criteria System
definition have the Knowledge,
Hazard
identification
Understanding and
Frequency
analysis
Consequence
analysis
Risk
reduction
Proficiencies (KUPs)
required to undertake
Risk estimation
Risk
matrix
Risk analysis
the tasks, duties and
Risk
evaluation
Risk assessment
responsibilities as
Risk Acceptable
Risk management and risk control

or ALARP
Designated Person Ashore

Key elements for the
Implementation and Maintenance of
the SMS
The DPA occupies the key stone position and has a

pivotal role to play in ensuring the effective
implementation of the SMS
Such effective implementation of the SMS will result in
reduced accidents and claims
Dr. Phil Anderson Managing Director ConsultISM Ltd.

Key elements for the Implementation
and Maintenance of the SMS
Safety culture (commitment, values and beliefs)
Self assessment against identified safety objectives (KPI)
Using best practices to achieve the objectives (guidelines,
recommendations issued by the IMO and industry)
Measure system effectiveness against quantifiable indicators and
improve the operation (monitoring and inspection, internal
verification and review)
Adequate resources (shore- and ships staff, operation,
maintenance, training)
Investigation of incidents and near misses (root cause)
Continuous improvement, corrective and preventive measures
Hazard identification, risk assessment and risk management

Preliminary Considerations
The Designated Person Ashore (DPA) has a key role
DPA needs to be properly trained
Guidance has to be taken into account
Guidance to shipping companies has been developed,
agreed and issued (MSC-MEPC.7/Circ.6)
Guidance for the operational implementation of the
ISM Code (MSC-MEPC.7/Circ.5)
key role of the DPA with his functions

Course Navigator

Module 2: Management Systems
and
Requirements for Companies
Goals
To know and be aware of

management systems applied in shipping
companys responsibilities, authority and obligations

Management Systems
ISM ISPS ISO 9001 ISO 14001

Application mandatory mandatory voluntary voluntary
Safety at sea Security at Customer Legal
sea satisfaction compliance
Avoidance of Protection of Meeting of Reduction of

Aim,
damages to the ship, requirements environmental
Objective human persons, impact
Continuous
environment cargo, cargo
improvement
property transport units
ships stores

Principles of Quality Management
according to ISO 9001
Customer focus (customer satisfaction)
Leadership
Involvement of people
Process approach
Targeted management system
Continual improvement
Factual approach to decision making
Mutually beneficial supplier relationship
Scheme of ISO 9001:2008
MANAGEMENT
RESPONSIBILITY
C C
U U
RESOURCE MEASUREMENT,
S MANAGEMENT ANALYSIS AND S
IMPROVEMENT
T T
O O
M M
INPUT OUTPUT
E PRODUCT Product/ E
REALIZATION Service
R R
S S

Principles of Environmental Management
Systems according to ISO 14001
Legal compliance
Identification of legal and other requirements
Application of legal requirement
Evaluation of legal requirements
Reduction of environmental impact
Identification of environmental aspects
Determination of significant environmental aspects
Establishing of environmental objectives and
targets
Implementation of environmental programmes

Structure of an EMS according to ISO 14001
Continual
improvement
Act
Environmental
policy Plan
Management
review
Planning
Checking
Implementation
and
Check operation
Do

Health, Safety & Environment
Management Systems Leadership and
Commitment
Policies and Objectives
Organization,
Responsibilities,
Resources, Standards,
Guidelines
Hazards and Effects

Management
Corrective
Action
Targets, Plans,
Procedures and
Practices
Implementation Monitoring
Audit Corrective Action,

Improvements
Management Review Corrective Action,

Improvements

HSE Management Systems
Leadership at all levels

Visible management leadership
through personal involvement
Communication of HSE importance
Promoting a culture for reducing risks
Health and safety of people has first priority
Every employee has responsibility for safety

Principles of Health, Safety &
Environment Programs
Compliance with
regulations
Manage the risks
Mitigation methods
Continuous
improvement

Responsibilities
Responsible Persons
Ship Owner
Shipmanager
Superintendents
Designated Person
Company Security Officer
Quality Manager

Company Responsibilities and
Authority
Define responsibilities for the operation of vessel (3.1)
Owner must report the full name
and details to the Administration
Define and document

responsibilities authorities and
interrelation of all personnel (3.2)
Provide adequate resources and
shore based support to enable
the DPA to carry out his function (3.3)
Monitor performance of subcontractors

Management Responsibilities
Management has to ensure that the SMS

is understood; Management
delegates this
is implemented; responsibility to
the DPA
is being maintained; and
is complying with the ISM Code
requirements

Responsibilities
Responsible Departments
Management
Designated Person
Charter Personnel Inspection Accounting
Nautical Inspection Technical Inspection

Responsibilities
What are the tasks of a Designated Person?
Task Yes No
Ordering safety relevant spares
Ensuring the safe operation
Dealing with operational deficiencies
Reporting safety issues to top management
Monitoring pollution prevention
Providing qualified crew
Planning internal audits

Responsibilities
How far is the superintendent involved in the
implementation and maintenance of the SMS?
Task Yes No
Ordering safety relevant spares
Supporting the ship in the safe operation
Dealing with operational deficiencies
Reporting safety issues to top management
Monitoring performance of maintenance
Implementing the company policy
Planning internal audits

The Master
To be clearly
Responsibilities defined and
Implementing and maintaining documented
the Safety Policy on his ship
Verification and monitoring
Periodically reviewing the SMS
Reporting deficiencies to shore-based management
Issuing orders and instructions
Motivating the crew to observe the policy
Authority
Requesting shore assistance whenever required
Overriding authority

Obligation of Ships Staff
Technical / nautical officers
Implementing and maintaining the policy
Supervising and training of crew members
Supervising compliance with the system
Ensuring traceability measures
Reporting hazardous situations and accidents
Reporting training requirement to the master
Obligation of the entire crew
Observance of the policy in their functional areas
Compliance with established procedures
Reporting of accidents and hazardous situations
Reporting of training requirement

Masters Obligation to Act
Requirements
legal requirements
company requirements
Authority
Hazards overriding
authority
Decisions
normal ship operations
emergency situations

Case Study 1
ISM Obligations
of the company

Course Navigator

Module 3: Implementation and
Maintenance of the Safety Management
System
Goals
To know and understand

the objectives and functional requirements of the
safety management system
internal verification and review processes
Master review
management review
internal audit

Safety Management Objectives
Objectives of the Code are to ensure

Safety at sea
Prevention of human injury or loss of life
Avoidance of damage to the marine environment
Avoidance of damage to property
Objectives of the Company are to ensure
Safe practices in ship operation
Safe working environment
Assess all risks and establish safeguards
Continuously improvement of skills of personnel
Preparing for emergencies

Functional requirements of the SMS
Implementation of a policy
Instructions and procedures to ensure compliance with
regulations (international and flag State)
Defined levels of authority
Defined communication lines
Reporting procedures for accidents and non-conformities
Emergency preparedness and response
Procedures for internal audits and management reviews

Requirements for ISM Reviews
The SMS should include procedures for internal audits

and management reviews (1.4.6)
The Company should periodically evaluate the
effectiveness of the safety management system..(12.2)
Masters responsibility to periodically review the SMS
and to report its deficiencies to the shore-based
management (5.1.5)

Master's Review
Fundamental reassessment of the structure and
effectiveness of the SMS from the Masters view
Reporting of deficiencies and recommendations to
shore based management
Overall purpose:
Information to the Company (DPA) on the degree of
implementation of the safety management system
and its effectiveness
Documentation of the results

Input for Masters Review
Results of internal and external safety audits
Port state control and flag State inspection
Own inspection and classification reports
Accidents, hazardous situations, operational risks, near misses
Deficiencies, weak points
Qualification of the crew, experience, language skills, training
needs, motivation
Training results
Condition of ship and equipment
Support of and communication with the office
Suggestions for improvement

Masters Review Follow up
Masters review is an official statement

Requirement for an official reply by the DPA
DPA in cooperation with the department heads to
decide on follow up measures
DPA to evaluate the information of all reviews
Result of evaluation to be used as input for the
management review

Management Review
The management review should be performed on a

periodical basis or when needed
DPA prepares
Reliable statistical data must the management
be obtained for this task review on the
basis of available
DPA to involve staff to gather data data
about hazardous occurrences,
near misses, risks, deficiencies, weaknesses etc.
(motivation, no blame culture)
Root cause analysis to be performed

Input to the Management Review
The results of the internal audits
Any non-conformities reported by the personnel
The Masters reviews, review of the SSA and SSP
Analysis of non-conformities, accidents and hazardous
occurrences and any other evidence of possible failure
of the SMS
Non-conformities by external parties, PSC inspection
reports, etc.
Changing circumstances

Output of the Management Review
Any deficiencies found during the management review

should be provided with appropriate corrective action
The results of such reviews should be brought to the
attention of all personnel involved in a formal way
Management review report to be sent to all company
ships with the request to comment on it
Measures resulting from the review to be implemented
in compliance with existing procedures (action plan)
Follow up required at the next management review

Comparison of Reviews
Management Review Masters Review

Procedures/Records yes yes
Responsibilities Management/DPA Master
Frequency periodically periodically
(minimum yearly) (minimum yearly)
Aim evaluate the efficiency of Information to the company
the company SMS taking on the degree of
into account experience and implementation of the safety
changing circumstances management system
Scope company SMS ships SMS

Internal Audit
DPA plans the
A documented process which is audits and
Systematic follows up the
Independent audit results
To obtain objective audit evidence
To determine the extend to which audit criteria are
fulfilled
Compliance with the Standard (e.g. ISM Code),
rules and regulations and own requirements
Compliance with planned arrangements
System implementation and maintenance
Suitability and effectiveness

How is the implementation and maintenance of
the SMS monitored?
Flag State
Internal Audits Company
Master's Review Master
Management Review CEO
Checking SMS implementation and effectiveness

Implementation Problems
Ineffectiveness of the DPA

DPA has no support from top management
DPA has not the required authority
DPA is not competent
DPA is only appointed to comply with the ISM Code
DPA has not been trained and familiarized
DPA is overloaded with other functions
DPA is a very senior Manager
DPA is not taken seriously

Case Study 2
Management
Review

Course Navigator

Module 4: The Role of the Designated
Person (Ashore)
Goals

the role and function of a Designated Person
his responsibility and authority and accountability
qualification, training and experience requirements

History of the Designated Person
Idea introduced by the UK delegation to IMO

Lessons learnt from the Herald of Free Enterprise (1987)
Lack of accountability at various levels of shore
management
Shore management did not assume responsibility to
deal with problems reported by the Master
No corrective/preventive actions have been initiated

History of the Designated Person
Laid down in the UK Merchant Shipping Regulations

(1988)
Applicable to all UK passenger ships on short sea trade
to carry an Operations Book containing instructions and
information for the safe and efficient operation
owners to nominate a person to oversee the operation of their
ships
the person (known as Designated Person) to ensure that proper
provisions were made in order to comply with the operations book
A requirement specified in the ISM Code (Chapter 4)

Designated Person (ashore)
Ensure the safe operation of each ship
Link between those on board and office
contact person for safety matters
contact person for the Master and crew
Direct access to the highest
level of management
independent
easy to reach
Responsibility and authority
monitoring safety and pollution prevention aspects
ensuring availability of resources and shore support

Designated Person (MSC-MEPC.7/Circ.5)
Key role in the effective implementation of the SMS

Sufficient responsibility and authority to establish and
implement a safety culture in the company
Verification and monitoring of all safety and pollution
prevention activities
Communication and implementation of the policy
Evaluation and review of the effectiveness of the SMS
Reporting and analysis non-conformities, observations, accidents
Organizing, monitoring internal audits
Revisions to the SMS

Designated Person
Company to provide adequate resources and support

Personnel resources
Material resources
Training
Defined and documented
responsibility and authority
Authority reporting non-conformities and observations
to the highest level of management

Designated Person
DPA as the person responsible for ensuring that
processes are in place and operating as required
a role that is more likely to be effective when separated from the
practical implementation
DPA combined with other functions such as Technical
Superintendent or Operations Manager
conflicts of interest may arise (budget)
DP (Ashore) to be a shore-based position
DPA in single ship, Owner-Master operations
Owner = Master
outside contractor

Interrelation between DPA and
Superintendents
Designated Person Superintendent
ensure implementation of the company practical implementation of the company
policy and SMS in the office and policy and SMS in the own department
throughout the fleet and throughout the fleet
ensure the safe operation of each ship taking care of all operational aspects of
monitor and verify the safety and pollution ships including safety and pollution
prevention activities of each ship prevention
ensure shore based support providing daily support and advice to the
ensure that adequate resources are ship command
provided as required providing adequate resources (crew,
analyzing safety relevant reports training, equipment, material, services)
cooperation with superintendents in all ensure compliance with requirements
safety and pollution prevention matters (rules, SMS, charterer, company)
organize and evaluate audits and system reporting to the DPA incidents, accidents,
reviews hazardous occurrences, non-
conformities, its causes and corrective
organize and evaluate ship-shore measures
exercises

Link between Management and
those on Board
Management
Designated Person
Charter Personnel Inspection Accounting
Nautical Inspection Technical Inspection
Ship 1 Ship 2 Ship 3 Ship 4

The Link between Operation and
Top Management
Established in organigrams, function diagrams, job
descriptions, letter of appointment, procedures
Participation in routine or ad hoc meetings,
management meetings and resulting actions
Participation in management reviews
Reporting about the safety and environmental
prevention aspects of the operation
deficiencies
risks, restrictions, observations
incidents, accidents, hazardous occurrences, non-conformities

The Link between Operation and
Top Management
From the legal point of view top management is
always informed and therefore potentially liable
If the CEO hears nothing from his DPA, he is obliged
to ask for reports
If the reports are stating that the operation is smooth,
he should ask how that could be
Management systems are dynamic as the whole
shipping industry and we are not living in a perfect
world
Catch 22 situation

Accountability of the DPA
DPA may be personally accountable for his actions
Under UK Law the DPA could be liable for a fine or
imprisonment of up to two years for failing to perform
his functions (UK flag ships, ships calling UK ports)
compliance with SMS
ensure that proper provision is made for each ship to be
manned, equipped and maintained that it is fit to operate in
accordance with the SMS and statutory requirements
defense is possible (reasonable precautions, due diligence)
So far no case in the UK

The DPA of a Danish company instructed the ship by
telex not to report a leak and the temporary repair to
the USCG (a fine was evoked)
If there are incidents the DPA is always in the fire line
P&I insurance may not cover liabilities of the DPA
DPA may be personally accountable for his actions irrespective
of the responsibilities of his employer
there is a conflict of interest (dispute) between DPA and the
Company
the Company might not stand in for the DPA
the Company declares bankruptcy

Further uncertainties:
Jurisdiction in the countries regarding pollution
claims
Exposure to claims by third parties
Defense of the DPA at the discretion of management
Actions of lawyers, insurers, charterers (oil majors),
administrations
Non availability of actual cases

Requirements to undertake the role
of the DPA (MSC-MEPC.7/Circ.6)
Company to
provide
Qualification: documentary
Within a relevant field of management, evidence
engineering or physical science
(recognized by the Administration or RO), or,
Seagoing experience as a certified ship officer, or,
Other education combined with not less than three
years practical senior level experience in ship
management operations

DPA - Training Requirements
MS
Knowledge and understanding of C-M
EP
C.7
the ISM Code /C
ir c.6
mandatory rules and regulations
applicable codes, guidelines and standards
assessment techniques of examining, Company to
questioning, evaluating and reporting provide
technical or operational aspects of SM documentary
evidence
shipping and shipboard operations
participation in at least one marine-related management system audit
effective communications with shipboard staff and senior management.

DPA Experience Requirements
present ISM matters to management Company to
provide
gain sustained support for SMS improvements documentary
evidence
assess effectiveness of the SMS using
principles of internal audit and management review
compliance with the requirements of the ISM CodeM
SC
compliance with rules and regulations -M
E PC
.7 /
C ir
assess whether the safe practices recommended c.6
by maritime industry influencers to promote a safety
culture had been taken into account
gather and analyze data and apply the lessons learnt

MS
C-M
DPA Training Courses EP
C.7
/C
ir c.6
The Company should provide training courses covering

qualification, Company to
provide
training and documentary
experience evidence
appropriate procedures connected to compliance with the

ISM Code including
practical training and continuous updating

Qualification,Training and
Experience
ISM Code - paragraph 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
Such information may be communicated by:
written instructions
description of job responsibilities
formal discussions with Company representatives

Qualification,Training and
Experience
ISM Code - paragraph 6.5
The Company should identify any training which may be
required in support of the SMS and ensure that such training is
provided for all personnel concerned.
Identify the individual(s), ashore and onboard taking into
account:
previous training and experience,
required proficiency in operation of equipment,
familiarity with new equipment,
familiarity with equipment when transferred to different type vessel,
drills for emergencies,
results of internal auditing

Special Flag State Requirements
Designated Person
Nominate the Designated Person(s) to the Office
of the Deputy Commissioner of Maritime Affairs
Designated Person must be able to be contacted
by the above office at any time
Independency and authority to report deficiencies
Back-up nominated and available
Familiarity with policy and all safety and
environmental protection aspects of
Company vessels

The Personality of the DPA
Trusted representative of the Company
Qualified and experienced
An advisor and supporter, not a policeman
Ability to assess, judge and motivate
Independent
Dependable , precise and thorough
Communication skills
Prepared to take challenges
Able to take a long term view

DPA leadership - Desirable Qualities
Instill respect and command authority
Lead the ship-shore team by example
Draw on knowledge and experience
Remain calm in a crisis
Practice tough empathy
Be sensitive to different cultures
Recognize the crews limitations
Motivate and create a sense of community
Communicate and listen clearly
Case Study 3
Job description for

the Designated
Person

Course Navigator

Module 5: Knowledge and
Understanding of the ISM Code
Goals

the philosophy and principles of the ISM Code
the requirements of the ISM Code

Background
Accident driven development

Titanic SOLAS 1914
Argo Merchant MARPOL, SOLAS Protocol 78
Herald of Free Enterprise SOLAS 74/ II-1
Scandinavian Star ISM Code
Prestige MARPOL Oil Tanker Double Hull
WTC 9/11 ISPS Code
Al Salam Bocaccio 98 ?
Result: Change of international Rules and Regulations

General Remarks
Regulations following an accident are re-active
Regulations provide a certain standard to be
complied with
Regulations such as the ISM Code provide a
framework for safe ship operations
No two shipping companies or shipowners are the same
Operation under a wide range of different conditions
General principles and objectives applicable for all shipping
companies and operating conditions
Expressed in broad terms, widespread application
Companies tend to fulfil only the minimum
requirements

Strategy
Reducing human error

Precautions against human inadequacies
Better organization in the office
Increased transparency and clarity
Promotion of safety awareness
Setting appropriate conditions

Development of the ISM Code
Objective: improvement of safety and
environmental protection by means of a
management system
Development of international rules by IMO
Establishing requirements in the ISM-Code
Inclusion of a new chapter IX into SOLAS
Ratification by Contracting Governments
Implementation into national legislation of
Contracting Governments

Management for the safe operation
of ships
Six regulations (SOLAS Chapter IX)
Definition
Application
Safety management requirements
Certification
Maintenance of conditions
Verification and control
control by flag State
control by port State

Implementation by Administrations
Compliance with the Code is enforced and monitored

by the flag States
Uniform implementation by administrations
Guidelines on implementation of the ISM Code by
Administrations (Resolution A.1022(26))
Standards on ISM Code certification arrangements
The Company and shipboard SMS must also comply
with additional national requirements, if any

PDCA-Cycle
Strategy, policy,
Review plans processes, roles and
and targets, responsibilities
improve and
align processes
ACT PLAN
Continuous Improvement
CHECK DO Implementation of
plans and work
Measure accordingly to
achievement, achieve the targets
evaluate and
feedback

The International Safety
Management (ISM) Code
Structure
Preamble
Part A Implementation
Elements 1 - 12
Part B Certification and verification
Elements 13 - 16

ISM Code Content
Part: A Implementation
Element 1 General
Element 2 Safety and Environmental Protection Policy
Element 3 Company Responsibility and Authority
Element 4 Designated Person(s)
Element 5 Master's Responsibility and Authority
Element 6 Resources and Personnel
Element 7 Development of Plans for Shipboard Operations
Element 8 Emergency Preparedness
Element 9 Reports and Analysis of Non-conformities, Accidents,
Hazardous Occurrences
Element 10 Maintenance of the Ship and Equipment
Element 11 Documentation
Element 12 Company Verification, Review and Evaluation

ISM Code Content
Part B Certification and Verification
Element 13 Certification and Periodical

Verification
Element 14 Interim Certification
Element 15 Verification
Element 16 Forms of Certificates

The Policy
Clear commitment of the Policy

company to the following
Policy
objectives:
Company commitment,
Safe ship operation values and beliefs,
Protecting human life cannot be enforced
Avoiding accidents through the regulatory
Pollution prevention process.

Principles of ISM
Individual tailoring of the system to the Companys

operational parameters
Promoting the individuals responsibility
Self-monitoring and adjustment as necessary
Risk assessment approach
Self assessment and continuous improvement
External verification of the system
Confirmation of compliance by certification

Course Navigator

Module 6: Mandatory Regulations,
Codes, Guidelines, Standards
Goals

the maritime regulatory system
identification and application of rules and regulations

IMO Structure
Assembly
Council
Marine Technical
Maritime Safety Facilitation Legal
Environment Co-operation
Committee Committee Committee
Protection Com. Committee
(MSC) (FAL) (LEG)
(MEPC) (TC)
Sub-
Committees
BLG, DSC, FP, COMSAR, NAV, DE, SLF, STW, FSI

IMO Instruments
Conventions
Protocols
Codes
Resolutions
Circulars

ISM Code Paragraph 1.2.3
SMS to ensure
ISPS
Compliance with mandatory international and national rules and
regulations
IBCMARPOL OPA 90
Observance of applicable codes, guidelines, recommendations
LSA
UVVSOLAS
ISGOTT
ODAS
CSC
OILPOL IMDG EmS
MFAG ISM
FAL
COLREG STP
CLC 95
ILLC
MLC
MERSAR
LDC STCW
HSC-Code

Implementation by the Company /
Yard
Identification of
mandatory requirements
other applicable guidelines,
standards etc.
Collection of
amendments
Analyse the application
Implementation

Implementation by the Company
Mandatory regulations and amendments

Requirement Implementation Material Sources
List of mandatory Procedure IMO News- Results of MEPC/ MSC
regulations
Responsibilities Classification Society Publications
List of external
Alteration Service GLs IMO Pilot and Rule Pilot
documents
Shipowners or Shipyards` Associations
Publications
Flag State Publications
Availability of documents Procedure
Familiarization with Training Literature
contents
In-house training
External courses (e.g. Classification Society)

Question:
The Company is operating product and chemical

tankers. As a DPA what do you feel are the critical
elements of the Companys operation that you
should monitor on a regular basis? How would you
go about monitoring them?

Monitoring Compliance with
Mandatory Regulations
Compliance is monitored by:

Flag and Port States
Classification Society
Customers
Certification bodies

Example SOLAS
Chap. Content
I General: Inspection & survey, issue of certificates, control
II Subdivision, stability, fire protection Stability Code FTP & FSS Code
III Life-saving appliances International Life Saving Appliances Code
IV Radio communications
V Safety of navigation
VI Carriage of cargoes International Code for the Safe Carriage of Grain in Bulk
VII Carriage of dangerous goods IMDG Code IBC Code IGC Code INF Code
VIII Nuclear ships
IX Management for the safe operation of ships ISM Code
X Safety measures for high speed craft HSC Code
XI-1 Special measures to enhance maritime safety
XI-2 Special measures to enhance maritime security ISPS Code
XII Additional safety measures for bulk carriers

European Union Directives
Directives regarding vessels under
EU-flag
Directives relevant for vessels sailing
in EU-waters
EC-Directives (examples)
Directive on Marine Equipment
Directive on safety rules and
standards for passenger ships
Regulation on the accelerated
phasing-in of double hull or
equivalent design requirements for
single hull oil tankers

Marine Equipment Directive (MED)
Council Directive 96/98/EC as amended Navigation
Fire Fighting
Purpose: Radio
Free trade within EU
Uniform test standards
MARPOL
Avoid multiple approvals
0801 - 99 LSA
Mark of Conformity ID of notified body Year when equipment was marked

Flag States Example Liberia
Administration
Liberian International
Ship and Corporate
Registry (LISCR)
Regulations and
Interpretations

Port State - U.S. Coast Guard
Regulations
U.S. Code of Federal Regulations No. 33
(CFR 33)
Rules and Regulations for foreign vessels operating in
the navigable waters of the United States
Part 155: Oil Pollution Prevention Regulations for Vessels
Part 159: Marine Sanitation Devices
Part 164: Navigation Safety Regulations
http://www.uscg.mil

Question: Application of Regulations
Scenario:
Owner orders tanker newbuilding
Tanker
- 25.000 GT
- keel laying 2009-10
Flag: Panama
Class: GL
Trading area:
South-East Asia - USA

Which Rules and Regulations apply?
Regulation Yes No
SOLAS /74MARPOL X
US Coast Guard Regulations X
Intercargo
INTERTANKO Guides
Guides X
EU Equipment Directive X
National Regulations Panama X
Germanischer Lloyd Rules X
IACS Requirements X

Case Study 4
Drills and
Exercises

Course Navigator

Goals

ISM requirements for risk assessment
the method of risk assessment and management
application of risk control measures

ISM and Risk Assessment
The development and implementation of a SMS in an

exercise in risk assessment (IACS Guidance for Auditors)
Analyse the operation
Look into operations, activities and systems
Identify what could go wrong
What can be done to prevent it
Documented procedures are the means by which the
controls are applied

ISM and Risk Assessment
1.2.2 Safety Management Objectives:

Safe practices of ship operation and safe working environment
Assess all risks to its ships, personnel and the environment and
establish appropriate safeguards
Continuous improvement of safety management

Question to Auditory
Which elements of the ISM Code imply the application of

risk assessment or control methods?

Basic Definitions - Risk
Risk is the likelihood that an undesirable event will

occur and lead to severe consequences within a
specified timeframe i.e. the combination of the
likelihood and the severity of the consequence.
Risk = Likelihood x Consequence

Step by step approach
1. Classify work activities Analysis
preparation
Acceptance
2. Identification of hazards criteria System

definition
3. Identification of existing RCMs Hazard

identification
4. Determination of risk
Frequency Consequence Risk
analysis analysis reduction
5. Risk acceptable? Risk estimation
6. Risk control action plan Risk analysis

Risk
matrix
7. Review adequacy of action plan Risk

evaluation
Risk assessment
8. Ensure RCMs are effective Risk Acceptable

and up-to-date or ALARP
Risk management and risk control

Question to Auditory
Examples of hazards?

From Hazard to Consequence (Risk)
Scenario:
Hazard
A causal chain
Failure / Incident Important to
evaluate the
Accident consequence
Consequences

Risk Categories
Risk
to Human Life, Risk
Health to Property
Cost
Risk
to Environment

Risk Matrix
Risk Matrix
catastrophic
medium high-medium high-medium high
4
severe
medium-low medium high-medium high-medium
3
significant
low medium-low medium high-medium
2
minor
low low medium-low medium
1
Consequence
Severity reasonably
extremely remote remote frequent
probable
1 2 4
3
Occurrence Likelihood (frequency)
Risk Level Tolerable Risk Level is not Tolerable

Risk Level Acceptable (existing risk control measures to be (RCMs to be modified and/or additional risk
reviewed to ensure ALARP level) control measures to be implemented)

ALARP Triangle
Risk cannot be justified unless there are

Unacceptable region
acceptable reasons
Increasing level of risk
Tolerable only if risk reduction is

impracticable or if cost is grossly
disproportionate to the improvement
gained
Tolerable region
Tolerable if cost of reduction would

exceed the improvement
Broadly acceptable region Necessary to maintain assurance that

risk remains at this level

Risk management: Risk Control
Measures
Analysis
Identify risks to be Acceptance
preparation
reduced criteria System

definition
Define measures to Hazard

identification
reduce frequency and/or

Frequency Consequence Risk
consequence analysis analysis reduction
Risk estimation
Estimate risk reduction Risk analysis

Risk
matrix
(consider dependencies!) Risk

evaluation
Risk assessment
Estimate cost Risk Acceptable
effectiveness Risk management and risk control

or ALARP

Concept of Risk Control Measure

Risk Management: Assessment and
Reduction
How far does risk have to
be reduced?
Not all measures are
suitable!
Risk reduction is limited!
Risk should be ALARP!

Case Study 5
Risk Assessment

Module 7: Introduction to Incident
Investigation and Root Cause Analysis
Goals

ISM Code requirements for incident investigation
Time line method
Event and causal factor charting
Barrier analysis

Reports and Analysis of Non-Conformities
Accidents, Hazardous Occurrences
Incident investigation is initiated by reporting of:

Accidents
CORRECTIVE
Hazardous occurrences ACTION TO
Non-conformities PREVENT
Near misses RECURRENCE
Procedures
Reporting
Investigation and analysis of causes
Elimination of deficiencies

Charterers
Incident Reporting P&I Club
Ship Operator
DPA
Charterer
P&I Club Agent
Cargo Owner
Local P&I
Rep.
Cargo Insurer

Reports and Analysis of Non-
Conformities, Accidents and Hazardous
Occurrences
System for recording, investigating, evaluating,
reviewing and analysing reports, and to take action
The system should ensure
reports are reviewed and evaluated
to determine appropriate corrective action and
to ensure that recurrences are avoided
The evaluation of reports may result in

appropriate corrective actions;
amendments to existing procedures and instructions; and
development of new procedures and instructions.

Occurrences
Responsible person to monitor the follow-up and
closing-out of the measures taken.
The receipt of reports should be acknowledged to
those persons who have raised the reports,
including the status of the report and any decisions
made

Occurrences
The Company should encourage the reporting of
near-misses to maintain and improve safety
awareness. (see MSC/Circ.1015)
The reporting and analysis of such incidents are
essential for an effective risk assessment by the
Company

Question:
As a DPA what practices would you establish that

will assist you in making a trend analysis, so as to
pick up problem areas well before they loom up as
an emergency situation?

Occurrences
Methods
Formal risk assessments
Failure Mode and Effect Analysis (FMEA)
Failure Mode, Effect and Criticality Analysis (FMECA)
Fault Tree Analysis
Root Cause Analysis.
Safety and environmental protection only
Commercial impact may be taken into account

No Blame Root Cause Culture
Leadership, Management Support and
Responsibilities
Policy, Procedures, Reporting and Information
Objective System, Training
Incident,
Accident
Reporting causes of occurrences (basic collect data, analyse and

interpret evidence
factors) establish a timeline

organizing the available data
Identification of corrective actions adequate perform the investigation based on
to prevent recurrences (what, why, how) the timeline collect additional data
verification, evaluation, interview,
review Audits,
Reviews,
Inspections,
Improvement of the safety and health of the organise and analyse the
information
events, conditions, causal factors
Verifications,
Monitoring
people, avoidance of damage to property and analyse existing barriers,
protection of the environment how did they perform?
development of corrective action

recommnedations, discussions,
Requirement: feedback, risks, sideeffect, costs,
training, resources, targets
A no blame culture within the organization implementation of corrective action

responsibilities, timeframe
Training (methods, awareness) Follow-up

verification of effectiveness

Root Cause Analysis Step by Step
1. Information (system for reporting and informing)

2. Collection of data (immediately following the incident)
3. Causal factor chartering (organize and analyse information)
4. Assessment (identify the root cause(s))
5. Analyse existing barriers (how did they perform)
6. Development of Corrective action (eliminate or control the cause)
7. Implementation of agreed corrective action (in compliance with
procedures)
8. Follow-up (verify effectiveness of corrective action)

Accidents Involve
A sequence of EVENTS
The Sequence has a beginning and an end
Events are affected by CONDITIONS that exist at the
time
The EVENTS and CONDITIONS result in unintentional
harm
Courtesy by NTSB

Step by Step Approach Responsibilities

System, Training
Developing a Timeline Incident,

Accident
collect data, analyse and

interpret evidence
establish a timeline
perform the investigation based on

the timeline collect additional data
review Audits,
Reviews,
Inspections,
organise and analyse the
Verifications,
information
Monitoring
analyse existing barriers,

how did they perform?

feedback, risks, sideeffect, costs,
implementation of corrective action

Follow-up

Example of a Timeline
04:00 06:00 06:14 06:15
Visible flames
Non critical engine room Several fire alarm Smoke spreading
on engine room
alarm on the bridge signals around in the ship
closed-circuit TV
Master
Master Master Master C/O, C/E, 1st engineer
Chief Officer Master main engine pitch
on the bridge to checked fire alarm asked watchkeeping 2nd mate, 3rd mate
on watch noticed alarm control to 0 ,
relieve C/O for shower panel IR for investigation to the bridge
general alarm
2nd engineer
2nd engineer
noticed alarm and
arrived in the
left for the engine
engine room
room

Courtesy by NTSB

Step by Step Approach

Responsibilities
System, Training
Identifying Causes Incident,

Accident

interpret evidence
Sequence of events is not establish a timeline

enough perform the investigation based on

the timeline collect additional data
Starting point review

Audits,
Reviews,
Inspections,
Verifications,
information
Monitoring
Further investigation into the events, conditions, causal factors
analyse existing barriers,
preconditions for significant how did they perform?
events leading to the accident recommnedations, discussions,


Follow-up

How Can a Timeline be Used to
Identify Causes?
Organize the accident data
Guide the investigation
Validate and confirm the true accident sequence
Identify and validate factual findings, probable causes
and contributing factors
Simplify the organization of the investigation report
Illustrate the accident sequence in the investigation
report

Event No.1 Event No.2 Event No.3 Condition
Start-up Tank Tank

Switch Compressor Pressure at
Activates Runs Increases 300 psi
Courtesy by NTSB

Understanding Conditions
Conditions express a state of being

Conditions result from events
Conditions are a shortcut in E&CF charting
Note: Events leading to them may not be depicted.
Start-up Tank Tank

Compressor at
Switch Pressure
Runs 300 psi
Activates Increases
Courtesy by NTSB

Events and Causal Factor Charts

Case Study 6
Event and Causal

Factor Chart

Analysis of Causes
Various factors have to

be considered:
Human
Method
Resources
Machinery

Complex issue HUMAN FACTORS
Cause
(couvert)
Action / Event
Investigation / Consequences
Interpretation (observable failure)
(ouvert)
Process

Complex issue ORGANIZATIONAL
FACTORS
Reasons
model of
production

Step by Step Approach

Responsibilities
System, Training
Barrier Analysis Incident,

Accident

interpret evidence
establish a timeline
perform the investigation based on

B the timeline collect additional data
review
A Safety
Audits,
Reviews,
Inspections,
Danger / R Critical
information
Verifications,
Monitoring
Hazard R Operation /
I System analyse existing barriers,

how did they perform?
E
R development of corrective action

Follow-up

Barrier Analysis
Hazard: Target:
What were the How did each Why did the How did the
barriers? barrier perform? barrier fail? barrier affect the
accident?

Case Study 7
Barrier Analysis

Course Navigator

Module 8: Technical & Operational
Aspects of Safety Management
Goals
the link between those on board and top management
the need for provision of human resources
support of shipboard operations
shore emergency response
control of documents, data, records

Link between the Company and
those on Board
To ensure a reliable connection between the highest
management level and the persons on board each ship
Traditionally existing between the Master and the top management
Officers have frequent connections with the persons in charge ashore
Crew members have means of communication with the Marine
Superintendent or the Management ashore via their heads of department
The traditional way is not always reliable (example HOFE)

Information is kept back, by-passed or biased
The full story may not arrive at the decisional level
DPA as a person ashore having the authority to directly access
the decisional level to compensate any communication
dysfunctions

Link between the Company and
those on Board
ISM provides a way to directly connect those on board (Master
and crew) with the decisional level
Not to be used for the normal routine daily operation of the vessel
(link is provided by the superintendents)
A parallel way (by-pass) to be used with care and intelligence
DPA must be capable to solve problems at the operational level
DPA has the possibility to contact the CEO for a safety problem
which can not be solved at the operational level
DPA (or substitute) can be contacted 24/7 by telephone or E mail

Monitoring the Safety and Pollution
Prevention Aspects
Monitoring of the operations is the responsibility of the Master &
Superintendent
The responsibilities of the Master include to verify that specified
requirements are observed " (ISM Code 5.1.4)
compliance with rules and regulations
compliance with the Safety Management System
Monitoring of the daily routine operations is the duty of the Superintendent
Monitoring possibilities of the DPA are
visits/inspections on board
the follow-up of shipboard recordings (drills, familiarization, maintenance, tests, safety-
training meetings, repair orders, Master reviews, internal audits)
Master is representing the DPA on board
Privileged relations between DPA and Master, nevertheless
All company staff (ship and shore) are involved in monitoring safe operations
and the DPA is accessible for everyone

Application of Resources and Shore-
based Support
DPA to monitor provision of adequate resources and shore
support
Master and the conditions initiate such requests for resources
and support
DPA must be on the circuit of the ships requests
in normal conditions (crew, safety relevant stores and equipment or demand
of repairs or services, information)
in emergency (to support the Master to manage the situation)
DPA has several possibilities to monitor provision of adequate
resources i.e.
work carried out (or not carried out) during repairs or technical refits
ship's requests refused by another for budget reasons

DPA's Key Concerns
Clear safety policy and strategy
Reliable method to measure the effectiveness of the system
Effective accident / incident reporting systems
Appreciation of cultural differences onboard ships
Building of crew loyalty
Support for structured career progression
Competence of crew
Adequate planning for restructuring
Profit focus of ship owner
Some Key Performance Indicators
PSC detentions
Reporting of ISM related deficiencies and non-compliance
reporting by shipboard staff including near miss reporting
Accident rate and injury frequency
Lost time due to injuries (LTI)
Vessel off-hire/delay
Crew repatriated or sent ashore for re-training
Insurance premiums and claims levels
Question:
What kind of support is needed by the master?

Resources and Personnel
Ensure qualification and competence of Company staff
Qualification of Master and Crew
Certification
Familiarization and training
Transfer of command
Crewing agents
Language

Plans for Shipboard Operations
Procedures, plans and
instructions should have
safety of personnel, ship and
protection of the environment
as a primary objective
and should ensure
Safeguards to control risks
(1.2.2.2) and
compliance with relevant
international and flag State
regulations (1.4.2)

Plans for Shipboard Operations
Identification methods of key shipboard operations
Company experience on those operations which may
create hazardous situations
Feedback provided from the SMS elements such as
the Masters review of the SMS
Internal audits, reports and analysis of non-
conformities, accidents and hazardous occurrences
Formalized systematic method for hazard
identification, risk assessment and management

Emergency Preparedness
ISM Code Element 8.1

The company should identify
potential emergency shipboard
situations
Establish procedures to respond
to them
Company shall identify all possible situations
where shipboard contingency planning would be
required, considering the ships type, equipment
and trade.

Review and Improvement
Establish procedures for testing, monitoring and

improving Contingency Plans
Perform realistic exercises ship, shore and ship-shore
Record, report and evaluate exercise results in a
systematic manner
Review plans and take corrective actions as required

Training of Emergency Response
Identify additional training requirements

Establish training programs, plans and procedures, as
necessary
Investigate existence and availability of training
facilities, seminars, workshops, practical training
Conduct training and evaluate result

Levels of Shore Response
Emergency control
Immediate shipboard response measures to get the situation
under control
Emergency response
Shore-based operational and technical company support
Emergency management
Divisional or regional response on the impacts of the emergency
to the company, support on a higher level
Crisis management
Headquarters response on the impacts of the emergency to the
company overall (stock exchange notifications, strategic
decisions)

Roles of the shore-based Emergency
Response Team
Emergency Co-ordinator
Coordinates all activities
Technical and operational
Available to support the master
with advise to the actual problem
Logistics
Co-ordinates transport, equipment,
movements
External communication
Takes over communication with external authorities

Maintenance of the Ship and Equipment
Maintenance procedures/plans
Engine
Hull
Systems, equipment
Critical systems and equipment
In compliance with rules and regulations
Inspections in appropriate intervals
Reporting of Non-Conformities and possible cause
Corrective Actions to be taken
Records to be maintained

Documentation
User friendly documentation

Safety Management Manual
Functions and job descriptions
Ship documentation and Certificates
Handbooks, plans, drawings
Sea charts, Rules and Regulations etc.
Format most effective
Procedure for document control
Validity of documents
Changes to documents

Course Navigator

Module 9: Stakeholders in Shipboard
Operations
Goals

the role of the stakeholders and influencers
certification of seafarers

Flag States
Tasks
Development of national law on shipping

Implementation of international Conventions into its
own national law
Ensure compliance of ships flying its flag with its own
national law (often delegated to Recognized
Organisations (RO) = Classification Societies)

Flag States - Tasks
What are the duties of a Flag State administration?
Duty Yes No
Flag State Control
Port State Control
Implementation of International Regulations
Supervision of Newbuilding and Equipment
Supplying Provision
Issuance of Certificates
Supervision of Safe Manning

Port State Administrations
Tasks
Port State controls (PSCs) of foreign ships within its
ports for compliance with international standards
Alliance in regional associations
e.g. Paris MOU for Europe, Tokyo MOU for Pacific Area
PSC legalized by all important IMO conventions

Black East coast
Sea Russia
PARIS
Westcoast MOU with
MOU
Canada TOKYO
with MOU
TOKYO US COAST
MOU GUARD
Mediterr.
MOU
TOKYO
Carrib. MOU MOU
Indian
Ocean
Abuja MOU MOU
Vina del
Mar MOU
South Africa
member of Indian
Ocean and Abuja
MOU
Distribution of PSC MOUs worldwide

GL Tools: Brochure Top Ten PSC
Findings and Maintenance Checklists
www.gl-group.com >
Download Center

Classification Societies
What are the tasks of a

classification society?

Tasks
Development of class rules, i.e. standards for ships
design, construction and operational maintenance
Research programs in ship technology
Survey and Classification of ships
Publication of a register book
Statutory surveys and certification as delegated by
Administrations

Dual Tasks: Class - Statutory
Classification Statutory
IMO: Conventions, Codes, Resolutions
Rules for Classification and
Construction National Law, additional national
requirements
Recognized technical standards Administration: responsible,

may authorize classification soc.
Internal External
Application and Interpretation Application by GL

by GL on behalf of Administration,
Interpretation by Administration

Delegation of Authority
Authorization of Recognized Organizations (RO)

Minimum standards (Appendix 1 of Res.A739(18))
Formal written agreement
Instructions if a ship has been found unfit to proceed
Provision of RO with national law and interpretations
RO to assist in the interpretation of regulations
Surveys, audits and issue of certificates
Program for monitoring and communication

GL Tool: Authorization List
Published in GL Directory, Internet and IMO Pilot (Booklet)

IACS Tasks
Standards among
Publications
(www.iacs.org.uk)
unified requirements
interpretations
recommendations
common structural rules
Representation at IMO

IACS Recommendation 74 - A Guide
to managing maintenance
The Guide to managing
maintenance laid down in
the IACS Rec. 74
Most failures in shipboard

safety management systems
led to a PSC detention
referred to maintenance
A new revision will be
released soon !

Industrial Organizations
ISO International Standard Organization
ICS International Chamber of Shipping
OCIMF Oil Companies International Marine
Forum
INTERTANKO Int. Association of Independent Tanker
Owners
INTERCARGO Int. Association of Dry Cargo
Shipowners
Create Industry Standards

TMSA Background
Oil Companies International
Marine Forum (OCIMF)
TMSA:
Standard framework for the
assessment of ship operators
management system
Guidelines describing a formal
safety management system
Aim: high standard of ship
management and operation

Charterer
Time Charter
hire of a ship including crew
for a specified period
operator of the ship is responsible for compliance with ISM
Bareboat Charter
subject of contract is the ship only (bareboat) excluding
crew and equipment
charterer is responsible for crewing and equipment
charterer or management company assumes responsibility
for compliance with ISM

Crewing
IMO Administrations
Flag State
Port State
MET State
Companies / ship owners
Crew

Maritime Education and Training
Education of seafarers according to STCW 95

Quality standard
Control through IMO
Control of compliance by flag States
Approval of training courses
Issuance of endorsements
Port State control

Ship Insurance
Hull & Machinery Loss of Hire

(H&M)
Protection and
Indemnity (P&I) Strike
Freight, Demurrage
War Risk
and Defense (FD&D)

Ship Insurance Scope of Cover
Hull and Machinery (H&M) examples
Force Majeure, Act of God, Perils of the Sea
Partial Damage / Loss
Total Loss (incl. missing of vessel)
Collision Liability
General Average Contributions (of vessel)
Salvage
Loss or Damage as a consequence of Pollution Prevention
Protection and Indemnity (P&I) examples
Liability Exposure of Shipowners and Charterers
Protection of Ships and Company Assets Fall Back Character
Indemnity and Protection Cover i.e. Arrest Guarantees)
Obligatory (approval necessary!!) in USA and Japan
Freight, Demurrage and Defense (FD&D)
Dispute Handling and its legal costs

Course Navigator

Goals

the purpose and method of internal audits
the certification process
the vetting procedure

Purpose of Internal Audits
Verification of documented evidence that the normal

daily operations (shore-based and shipboard) are in
accordance with the documented procedures
Proper functioning of SMS
Safety related procedures
Environment protection measures
Degree of Documentation
Evaluation of effectiveness of SMS

Qualification of internal Auditors
Defined in the ISM Code chapter 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
Competence of internal auditors may be verified
during external audits

Independency of internal Auditors
(IACS Recommendation 12.4)
Independent means not auditing areas or activities for
which you are responsible (conflict of interest)
Designated Person (himself or his department)
Ships crew should not audit themselves onboard.
Master should not be auditing the Engine Department
nor the Chief Engineer auditing the deck Department
Superintendent should not be allowed to audit the
vessel he is responsible for

Independency of internal Auditors
(IACS Recommendation)
Objective evidence should be available in the office
and onboard which may include
procedures detailing audit process and the assignment
of independent auditors
If independency of the internal auditor is not ensured
an "Observation" has to be issued by the external
auditor

Five Audit Phases
1. Planning
2. Preparation
3. Conduct
4. Reporting
5. Follow-Up

Procedure for Internal Verifications
Consider at least the following elements:
Responsibilities
Competence and selection of auditors
Audit scheduling
Preparing and planning the audit
Executing the audit
Audit report
Corrective action follow-up

Phase 1: Audit planning
Annual audit plan

At least once a year (IACS Guideline, MSC-MEPC.7/Circ.5)
Usually set up by Designated Person
Every department and ship has to be audited
also: Top Management and Designated Person
May include subcontractors
May include dates for external audits
Harmonization with other internal audits (SMS/ISPS/QMS/EMS)
Planning with regard to Certification Audit

Phase 2: Preparation of Audit
Type and extent of audit
Information needed
Problems occurred (non-conformities, accidents,
hazardous occurrences, deficiencies)
Changes in legal requirements
Availability of additional auditors
Combination of internal audits SMS/ISPS/QMS/EMS
Audit Checklist
Time schedule, announcement

Phase 3: Conduct of Internal Audit
How to obtain objective evidence of compliance?

Interview
Observation
Inspection
Combination of methods

Phase 4: Audit Reporting
Non-Conformity Report
definition of non-conformity
definition of objective evidence for the non-conformity
corrective Action to comply with SMS
The Summary Audit Report
summary of the audit findings
statements
observations, recommendations

Phase 5: Follow-Up
Implementation of corrective actions

To be completed within time frame
Notification of Designated Person
Follow-up audit (if required)
Close out at the next internal audit

Case Study 8
Non-Conformity
and
Corrective Action

Types of Audits - Overview
Extraordinary /
External audit External audit 3.
Internal audit follow up /
2. party party
verification audit
Company /
Flag state /
Performance Flag state /
Company Company recognised
by recognised
organisation
organisation
Contractors to
company, e.g.
Company
Company office(s) crewing Company office(s)
Auditee office(s) and
and vessels company; and vessels
vessels
spare parts
supplier

Certification Audit
Performed by flag State or Recognized

Organization (RO)
Based on sampling method (like internal audits)
Includes verification of ISM and additional flag
State requirements
Combination of audits is possible (ISM; ISPS; ISO)

ISM Certification
Document of Valid: Audit:

Compliance 5 years annually
Audit:
Each ship Safety Management Valid: Between 2nd and 3rd
Certificate 5 years anniversary

Interim Certificate
newly established company
new ship type
Office Existing SMS to meet 1.2.3 of the code

Plan to implement SMS fully
valid:
12 month
new building or purchase

change of ship manager
change of owner
change of flag
valid:
for an individual vessel 6 month
Possible extension for another 6 month

Handling of Observations
No corrective action needs to be proposed

If company wants to document corrective action for
observation
Company decides by which means
Auditor is not obliged to accept any proposal for the corrective
action for an observation
Purely within the companys responsibility
Consideration of observations verified at next regular
shipboard audit

Handling of a Non-Conformity
Corrective action to be proposed by Company / Master
To be accepted by auditor
during the shipboard audit or
within 15 days after completion of audit
Implementation of corrective action
To be completed within max. 3 months
To be verified at next shipboard audit

Handling of a Major Non-
Conformity
Immediate corrective action (CA) necessary before
completion of audit
Immediate CA accepted by auditor
downgrading of Major NC to NC
Implementation of (long term) corrective action is to
be verified at additional audit
Within 3 months after completion of the audit
In case Major NC can not be downgraded
no endorsement
invalid certificate

Handling of a Non-Conformity
Verification of Implementation of CA and Upgrading

In case CA are not implemented at next audit
old NCN will be closed out
new Major NCN will be issued
Observations do not require CA
If observation not found duly considered
old observation note will be closed out
new NCN will be issued

Ship Vetting
Information on ship quality is gathered from many

sources including
Vessel inspections on behalf of Charterer
Owner/operators assessments (TMSA)
Industry reports
Terminal and operational feedback
Market intelligence
Casualty data
Reputation and questionnaires

Ship Vetting
Ships are assessed in relation to international conventions

and industry recommendations such as
Inert Gas System (IGS)
Safety of Life at Sea (SOLAS)
International Convention for the Prevention of Pollution from
Ships (MARPOL)
Guidance detailed in the International Safety Guide for Oil
Tankers and Terminals (ISGOTT) is pertinent to all tanker types
The Society of International Gas Tankers Terminal Operators
(SIGTTO) to gas carriers
Additional requirements may be imposed by charterers

Ship Vetting
Oil Companies International Marine Forum (OCIMF) Ship Inspection
Report Exchange (SIRE) format is the main ship inspection tool
Both positive and negative aspects of a ships operation is reported
Inspectors to report all vessel or operational deficiencies in their report
Serious deficiencies are assessed as High Risk and identified on an
Observations List left with the ships Master at the end of each
inspection
The use of such vessels is precluded until such time as all
observations have been closed out satisfactorily
Close out of an inspection report by a vetting superintendent, the ship
owner will be advised of a period in which a further operational
inspection will not normally be required.
Vessels may be screened on each occasion they are tendering

Course Navigator

Goals

methods of communication
communication problems shore-ship

Importance of Communication
Communication is more than talking, reading, writing,

procedures
Communication is also exchanging ideas, information
and knowledge between individuals, and between
crew and management ashore
Ability to convey information by word of mouth and/or
by written communication is important to the safety of
ships crews, visitors and passengers and to the
wellbeing of crews.

Methods of Communication
Communication is the main tool for the effective
implementation of the company policy, no blame
culture and the procedures of the SMS
The DPA must establish a reliable communication
system
Worst case is that information is withhold or that
people feel that their contribution is not important
Challenge for the DPA is to create an environment of
openness and trust

Set a good example of leadership

be open and honest
say what you do and do what you say that you do
provide feedback (prove that you have done what you say that
you do)
be a source of information (two way communication)
be quick and professional
be able to work in a team
be able to motivate
be available
be a good communicator (listener) and facilitator

Ship to shore communication
communication is effective if it leads to the intended result for
both sides
communication means listening, providing advice and taking
charge of the problem
Meetings, visits, internal audits, interviews
Involve staff in the assessment of critical operations
identification of hazards and risks
assessment of the effectiveness of existing risk control
measures
additional measures to reduce the risk

The Ten Commandments of
Interviewing
1. Stop talking 6. Be patient
listen allow time do not interrupt
2. Put the witness at ease 7. Hold your temper
free talking stay calm
3. Show that you listen 8. Avoid arguments and
look and act interested criticism
defensive reaction
4. Remove distractions
don't doodle 9. Take into account persons
priorities
5. Empathize try to put listen and understand, not
yourself in the other to break continuity
persons place
10. Again: Stop talking listen

Question:
What are the main communication problems?

Case Study 9
Shore
Support

Course Navigator

Module 12: Summary, Examination and
Closing
Goals
discussion
performance of examination
completion of assessment sheets
distribution of certificates

Examination
30 minutes are available

70% correct answers
are necessary to pass the test
multiple choice procedure

Seminar Closing
Do you have any further questions?

Have we met your expectations?

Tools Provided by GL
Guideline step by step approach to risk

management in shipping
Model procedure Risk Assessment
Checklist for casualty investigation

Seminar Closing
How did you like the seminar?

Please tell us your opinion on the
seminar assessment forms
Distributing course certificates

Contact
GL Academy Dubai
Germanischer Lloyd AG
P.O.Box 8015
Dubai.UAE
Phone: +971 4 332 8842
Fax.: +971 4 332 5855
gl-academy-dubai@gl-group.com
http://www.gl-group.com/glacademy

Hope to welcome you again !
Designated Person
Operational implementation
Training of the ISM Code No. 229
Thank you for your attention !

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Designated Person Ashore

(DPA) Training Course

Phone: + 971 4 3328842 / + 97150 6524038

Designated Person Training No. 2

Designated Person Training No. 3

Course Documentation General information

Handout Smoking Policy

The role of the Designated Person under the

Designated Person Training No. 4

09:00 09:30 Introduction, workshop objectives

Designated Person Training No. 5

Designated Person Training No. 6

Designated Person Training No. 7

Designated Person Training No. 8

Designated Person Training No. 9

Risk management and risk control

Designated Person Training No. 10

The DPA occupies the key stone position and has a

Designated Person Training No. 11

Designated Person Training No. 12

Designated Person Training No. 13

Designated Person Training No. 14

To know and be aware of

Designated Person Training No. 15

ISM ISPS ISO 9001 ISO 14001

Avoidance of Protection of Meeting of Reduction of

Designated Person Training No. 16

Designated Person Training No. 18

Designated Person Training No. 19

Designated Person Training No. 20

Policies and Objectives

Hazards and Effects

Audit Corrective Action,

Management Review Corrective Action,

Designated Person Training No. 21

Leadership at all levels

Designated Person Training No. 22

Designated Person Training No. 23

Designated Person Training No. 24

Define and document

Designated Person Training No. 25

Management has to ensure that the SMS

Designated Person Training No. 26

Charter Personnel Inspection Accounting

Nautical Inspection Technical Inspection

Designated Person Training No. 27

Designated Person Training No. 28

Designated Person Training No. 29

Designated Person Training No. 30

Designated Person Training No. 31

Designated Person Training No. 32

Designated Person Training No. 33

Designated Person Training No. 34

To know and understand

Designated Person Training No. 35

Objectives of the Code are to ensure

Designated Person Training No. 36

Designated Person Training No. 37

The SMS should include procedures for internal audits

Designated Person Training No. 38

Documentation of the results

Designated Person Training No. 39