Management 2

MANAGEM
PRELIM ENT 2
Lesson 1. Development of ISM Code for the Safe Operation of Ships and for Pollution
Prevention
Lesson 2. Safety Management System (SMS) Functional requirement
Lesson 3. Safety and environmental Protection Policy
Lesson 4. ISM Code to Various Ship Operations
MIDTERM
Lesson 5. STCW Code Section A-VI/6. Mandatory minimum requirements for Security

related training instruction for all seafarers.
Lesson 6. The International Organization for Standardization (ISO)
Lesson 7. Major Revisions and Updates of the STCW 1978 in 1984, 1995, 2010 and
2017
FINAL
Lesson 8. Issue of STCW certificates and Certification Requirement

Lesson 9. Objectives of ISO 14001:2015
Lesson 10. OHSAS 18001 Implement
Lesson 11. Company Policy in relation to IMO mission statement
 Lesson 1: Development of ISM Code for the Safe Operation of

Ships and for Pollution Prevention
ISM is the short form of International Safety Management, initiated by IMO. ISM code
means International Safety management code for safe operation ships & for pollution
prevention. SOLAS Chapter 9 outlined ISM procedures. Majority of accidents and injury
are caused by human error & poor management. ISM is organized mainly to reduce this
error. ISM is meant for standard of safety & operation of ships and for pollution
prevention. Become mandatory for all vessels after 1 JULY 2002
Learning Objectives:
1. Explain the 1994 amendments to SOLAS 1974 which introduced Chapter IX to the
convention which consequently created the ISM Code
2. State the structure of the ISM code
3. State the ISM Code components & objectives
Using a multimedia equipment learners will present and discuss their assigned topics
on:
1. the 1994 amendments to SOLAS 1974 which introduced chapter IX to the

convention which consequently created the ISM Code
2. the structure of the ISM code
3. outline the ISM Code components & objectives
Over the countless years that the maritime domain has been in existence, there have
been several important landmarks carved through. These include the establishment of
important law-making bodies and setting up of necessary rules and regulations.
All these laws and law-implementing authorities have transformed and made the
maritime sector the powerful domain that it is today.
What is ISM Code?
Known as the International Safety Management Code, the ISM Code is one of the
aforementioned required regulations in the marine industry. From the year 1994, it has
been a very vital component of the SOLAS Convention (Safety of Life at Sea). It was in
this year that this code was formally adopted and integrated as a part of the SOLAS
Convention.
In other words, it can be also highlighted that the ISM Code Shipping is an intrinsic part
of the International Maritime Organization (IMO) in its efforts to ensure, maintain and
effectuate safety for the seafarers as well as simultaneously providing a pollution-free
zone for the sector entirely.
It can be said that the code focuses on bringing the aspect of marine safety to a
common platform for vessels of all nationalities. This eliminates any discrepancies that
could arise about the maintenance of a much-needed safety protocol.
According to the stipulations of the Code, it is mandatory that all ships follow this code.
In order to execute its appropriate functionality, the International Safety Management
Code is supported by a Safety Management System.
This system, abbreviated as SMS, details the various requirements that need to be
followed like
– Establishment of a managerial committee to oversee the various proceedings
– Ensure that the managerial officers carry out their outlined duties appropriately
– Corroborate the differences between the outlined responsibilities and the actual
performance to resolve them
– Audit the vessel – both internally and externally so as to eliminate all possibilities of
safety problems
The latter aspect comes under the ambit of the Planned Maintenance System. It is
expected of every shipping corporation that it carries out auditory analyses of its safety
management system and enforces the same, wherever lacking.
While the internal auditing is carried out by the company itself, the external auditing is
carried out, every two to three years, by the officials of the country where the vessel is
registered to.
If the vessel has successfully incorporated all the safety requirements, then the officials
issue it with a Certification of Safety Management or the Safety Management Certificate
which brings the entire chain of a process to a fruitful completion.
The International safety management (ISM) code ensures the safety of life and ship at
sea by implementing various safe practices on board ships.
ISM code works with the motive of satisfying three important goals:
· Safety of people on board
· Safety of ship and cargo
· Safety of the marine environment
For implementing ISM code on ships, all the three – the shipping company, the
governing authority, and the ship’s crew together play an important role.
Every seafarer should know the important aspects of the ISM code in order to create a
safe working environment while at sea.
ISM code is implemented on ships in the following ways:
Plans and checklists form the most integral part of the implementation procedure of the
ISM code on ships. Checklists for safe starting and stopping of shipboard machinery,
along with plans to carry out various work procedures on board ship ensures the safety
of the ship and marine environment.
Plans and checklists also include accurate defining of tasks to be carried out by each
crew member of the ship.
Procedures are formed to tackle emergency situations onboard ships. This emergency
preparedness to respond to emergencies is inculcated in the ship’s staff through drills
and various emergency training programs.
Every activity on a ship is a team effort. Effective team meetings and discussions help in
a great way to take the security of the ship to an all-new level.
In order to ensure the utmost safety of the ship, the ISM code targets the very basics of
the ship’s functioning – ensuring proper maintenance of the ship’s machinery. This
includes
 Inspection of ship machinery at regular intervals of time

 Taking the right actions in case of non-conformity
 Keeping a record of the causes and maintenance activities for future reference
 Regular testing of equipment and systems
 Training ship personnel and keeping them updated with the latest in the industry
A maintenance plan is made in order to carry out ship machinery and repair work. (What
to add in ship’s engine room planned maintenance system?
Every ship has a safety committee, along with a safety officer, to discuss and implement
new safe working practices and update the existing ones. The master of the ship is the
chairman of the committee and ensures proper functioning of the same.
Every detail of the ship is noted down in valid documents, which are available all the
time onboard the ship. These documents are reviewed at regular intervals of time during
audits.
All the changes in the documents are reviewed and approved by the authorized
personnel. Moreover, all the documents necessary for the safety of the ship are
mentioned in the SMS manual.
The shipping company pays an important role to ensure that the ISM code is properly
implemented on the ships. The company also appoints a safety officer, who is required
to carry out his duties properly by providing all the necessary information regularly.
Following strict safety policies implemented under the ISM code not only helps in
ensuring the safety of life and environment but also benefits the shipping company in a
variety of ways.
The type of procedures adopted for a ship under the ISM code depends on the type of
the ship and the shipping company.
The International Safety Management (ISM) Code was entered into force to ensure
safety of people, safety of ship and cargo, and safety of environment. The ISM code
was brought into action to inculcate safety culture at the sea and at all levels of
seafarers working on ships.
In order to understand ISM, it is important to know definitions of a few important terms

which determine the whole structure of IMO’s ISM code. If you are a seafarers working
at the sea, then you must know these six definitions which forms the main structure of
the ISM code.
1. Safety Management System (SMS): The safety management system is a structured

and documented system under the International Safety Management (ISM) code which
enables shipping companies and its ship’s crew to effectively implement all safety
policies regarding ship, crew, and environment while at sea.
2. Document of Compliance: Document of compliance is a certificate issued to a

shipping company which complies with all the requirements of the ISM code.
Document of compliance is one of the most important documents of the ship which are
often checked during port state control survey.
3. Safety Management Certificate (SMC): Safety management certificate (SMC) is a

document provided to a ship signifying that the company and its ship personnel operate
in accordance with the safety management system (SMS).
SMC should be produced by the ship whenever asked by a PSC.
4. Objective Evidence: Objective evidence is any form of information, records, or

statements of facts which indicates implementation of safe management system by the
shipping company and its ships. The objective evidence is based on observations,
measurements, or tests that are made during an audit and which can be verified.
5. Non Conformity and Major Non-Conformity: When objective evidence indicates non
fulfilment of a specific requirement stated by the safety management system, a situation
of non conformity is considered to have occurred.
A major non-conformity is an extremely serious situation which poses serious threat to
the safety of personnel, ship, or the environment. It indicates a major lapse in effective
and systematic implementation of the ISM code. Major non conformity would require
immediate corrective action to be taken by the ship’s management.
6. Anniversary Date: Anniversary date can be defined as the day and month of each
year which marks the expiry of a relevant certificate or document of the ship under the
ISM code.
Interviews on the application of ISM Code onboard:

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Silveo, SJ (2021)
URLs: 4Assignments: 5Quizzes: 3
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 Lesson 2. Safety Management System (SMS) Functional

requirements
Learning Objectives:
1. State the safety and environmental-protection policy
2. State the instructions and procedures to ensure safe operation of ships and
protection of the environment in compliance with relevant international and flag State
legislation
3. Explain the levels of authority and lines of communication between, and amongst,
shore and shipboard personnel
4. State the procedures for reporting accidents and non- conformities with the
provisions of this Code
5. State the procedures to prepare for and respond to emergency situations and
internal audits and management reviews
Learning (student’s activity) Activity:

Using a multimedia equipment will present and discuss their assigned topics on:
1. the 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. the levels of authority and lines of communication between, and amongst, shore
and shipboard personnel
4. the procedures for reporting accidents and non- conformities with the provisions of
this Code
5. the procedures to prepare for and respond to emergency situations and internal
audits and management reviews
Re-enforcement Activity:
Small group peer mentoring and oral quiz.
Lesson Proper:
The purpose of the International Safety Management (ISM) Code is to provide an

international standard for the safe management and operation of ships and for pollution
prevention. The Code establishes safety-management objectives and requires a safety
management system (SMS) to be established by "the Company", which is defined as
the ship-owner or any person, such as the manager or bareboat charterer, who has
assumed responsibility for operating the ship.
The International Safety Management Code (ISM Code 1993)

The Company is then required to establish and implement a policy for achieving these
objectives. This includes providing the necessary resources and shore-based support.
Every company is expected "to designate a person or persons ashore having direct
access to the highest level of management".
The procedures required by the Code should be documented and compiled in a Safety
Management Manual, a copy of which should be kept on board. After completion of this
part you should be able to demonstrate knowledge and understanding about the
background of the ISM Code.
The Safety Management System or known as SMS can be used generally as applying a
quality management method to control safety risks. Safety management system (SMS)
is a comprehensive management system designed to manage safety elements in the
workplace. It includes policy, objectives, plans, procedures, organisation,
responsibilities and other measures. Like other management roles, safety management
requires planning, organizing, communicating and providing direction.
The implementation and development of SMS starts with setting the organizational
safety policy. It outlines the generic principles upon which the SMS is constructed and
activated. This first step sketches the strategy for the attainment of satisfactory levels of
safety within the organization.
Safety planning and the implementation of safety management procedures are the next
key steps in the processes designed to reduce and hold risk in operations. Once these
controls are ready, quality management techniques can be utilized to ensure that they
achieve the projected objectives and, where they fail, to improve them. This is obtained
by deployment of safety assurance and evaluation processes which in turn provide for a
continuous monitoring of operations and for identifying areas of safety improvement.
An effective safety management systems use risk and quality management methods to
achieve their safety objectives. SMS also provides basis in an organization to establish
and foster the development of a positive organization safety culture.
The implementation of an SMS offers the organization’s management a structured set

of tools to meet their responsibilities for safety defined by the regulating body.
The SMS onboard Vessel:
In joining onboard, the company will give a familiarization tour. The purpose pf this tour
is to introduce the various equipment and its functions to comply the SMS. It is then the
reposibility of the new crew/cadet to read the required information in the SMS and to
ask questions for clarifications. It is also required to complete the Computer Based
training Program about he ISM code can serve as a part of the familiarization.
Example of responsibility of chart for shore staff:

This is an example of a responsibility chart for onboard personnel:

The duty-list shall not be understood as being the only document stating all duties and
responsibilities for each crewmember. It is made in order to make it easier for each new
employee to know his main duties. In addtion there are certainty a variety of other duties
and responsibilites onboard the vessel that cannot be exactly specified in print.
However, these duties are to be performed anyway.
The main duty for each crewmember is to minimize all possible sagfety hazards in all
kinds of shipboard activites and always strive to find safer methods of performing the
daily work routine.
The crewmembers and other personnel onboard must familiarize themselves with the
muster list and emergency instructions which are displayed onboard.
This specify the details of the general emergnecy alarm signal and also the action to be
taken by crew and passengers when the alarm is sounded.
This also specify the details of the fire emergency signal and also the also to be taken
by crew and passengers when the alarm is sounded.
And this shows the duties assigned to the different crew.
The following are some examples of drills onboard:
1. Fire fighting drills

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2. Life boat and life saving appliances drills

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3. Personal protection drills

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4. Environmental protection drills

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5. Emergency steering drills

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6. Man over board drills

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7. Medical care drills

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8. Personal safety and social responsibility drills

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9. Garbage handling drills

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Remember: Without proper drills and training, you are not prepared for an emergency
situation.
One of the most common causes of human error is fatigue. Therefore, strict rules
should be implemented regarding working hours.
All watch keepers shall receive no less than 10 hours of rest in each 24 hour period.
The rest periods can be split into no more than two periods, one of which may not be
less than 6 hours long. The 10 hours period may, if required to not less than 6
consecutive hours.
However, the period must not extend more than 2 days and the watch keeper have not
less than 70 hours rest in any 7 day period. The only exception is in the case of an
emergency or drill, or an overriding condition, which was not foreseen before starting
the voyage.
When signing on, you should get the necessary personal protective equipment required
for your job. Depending on your position onboard it can be: safety shoes, boiler suits,
hard hats, ear protection, safety goggles, gloves and the like.
It is the responsibility of the crew to wear the correct PPE and to keep it in good
condition.
Most of the ship owners follow No-Smoking policy onboard their ships, especially on
tankers and those carrying dangerous flammable cargo. No smoking rules should be
strictly followed on board ships to prevent fire accidents. Smoking is only permitted on
board under controlled conditions. Smoking is only allowed in designated smoking
places and all smoking within restricted areas is strictly prohibited. Designated smoking
rooms are the only places where a smoker should smoke. Smoking poses a threath to
the safety of the vessel when done on deck, owing to the flammable nature of the cargo.
Smoking in cabins should also be prohibited for the chances of a mishap due to human
error can be devastating
Smokers should make sure to know where are allowed to smoke before lighting up the
cigarette.
Drug and Alcohol Policy
This policy concerns all employed personnel within the Company

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Safety Committee:
All vessels shall have an active safety committee bound to meet at frequent intervals to
discuss general safety and safety matters that can be improved. The frequency of the
meetings shall not be less than once a month. Whenever any employee so requires or
when incidents have occurred, a new meeting shall take place. Reports from such
meeting shall be filed onboard.
The members of the committee shall normally be as follows:
The Master Mariner
The Chief Engineer
The Chief Officer

The First Engineer
The employee representatives:
One representative each from the deck, engine and galley departments.
If somebody should bring something in a meeting, talk to the representative of the

department.

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Sample of Company's Safety and Protection Policy
Sample of instructions and procedures to ensure safe operation of ships and protection
of the environment in compliance with relevant international and flag State legislation
from UK.
The procedures for reporting accidents
A Master's Guide to Shipboard Accident Response
Marine Accident and Incident Investigation Committee
12 Types of Maritime Accidents
Sample of Incident Reporting Procedures
The procedures for reporting non- conformities with the provisions of this Code
ISM Code: How to handle Non-Conformities
Sample Non Conformity Report
Report of Non-Conformity, Accident or Hazardous Occurrence

The procedures to prepare for and respond to emergency situations and internal
audits and management reviews
Responding to emergencies:

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Audit preparations
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Management Review Preparations

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 Lesson 3. Safety and environmental Protection Policy

Environmental policy, any measure by a government or corporation or other public or
private organization regarding the effects of human activities on the environment,
particularly those measures that are designed to prevent or reduce harmful effects of
human activities on ecosystems.
An environmental policy is a written statement, usually signed by senior management,

which outlines a business' aims and principles in relation to managing
the environmental effects and aspects of its operations. Although putting one in place is
voluntary, an increasing number of businesses are choosing to do so.
Learning Outcomes:
1. Explain the purpose of the safety and environmental protection policy,
2. Explain the responsibility and authority of the Designated person ashore (DPA), and
3. State the principles of minimum safe manning, adopted by the Organization as per
IMO Resolution A.1047 (27).
1. the purpose of the safety and environmental protection policy
2. the responsibility and authority of the Designated person ashore (DPA)
3. the principles of minimum safe manning, adopted by the Organization as per IMO
Resolution A.1047(27)
Small group peer mentoring and oral quiz
Lesson Proper:
The purpose of the safety policy.
The purpose of the environmental protection policy.

The responsibility and authority of the Designated person ashore (DPA)
The International Maritime Organizations’ International Safety Management (ISM) Code,

states the Designated Person Ashore (DPA) exists “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 Designated Person is expected to have a minimum of formal education within a

relevant field of management, engineering or physical science; or STCW equalization
and seagoing experience; or other formal education with at least three years practical
senior level experience in ship management operations.
The Designated Person Ashore (DPA) individual monitors the safety and pollution
prevention aspects of the operation of the vessel andfollows the requirements of a
Safety Management System (SMS) and all mandatoryguidelines.
The DPA is the cornerstone of maintaining a proper safety culture on a maritime vessel.
Companies must designate an individual who will ensure the safe operation of each
vessel. The ISM Code outlines the following primary duties for a DPA:
1. Provide a link between company and vessel personnel.
2. Monitor the safety and pollution prevention aspects of the operation of the vessel.
3. Ensure adequate resources are applied.
What Is the Role of the Designated Person Ashore?
The Designated Person Ashore ensures that the crew operates in the best interest of
safety and efficiency, including compliance with the Company’s Safety Management
System.
Since the DPA is a direct line of communication to upper management within the
company, this person needs to be available for contact at all hours of the day in case
resources are needed to ensure the safety of the crew, vessel, cargo, and environment.
The details to reach the DPA are posted in an easily accessible location for the crew.

How Do You Become a Designated Person Ashore?
Before a person can assume the role of a DPA, it is recommended by the International
Maritime Organization (IMO) that the DPA meets certain qualifications, training and
experience. The training requirements are related to the ISM Code that reinforces the
objectives and guidelines of safety management elements. They also must learn
practical reporting techniques and approaches to applying new measures.
The Evolving Role of the Designated Person Ashore
The Designated Person Ashore (DPA) is the ‘keystone’ to provide the structure and
support for an efficient and effective Safety Management System onboard a vessel.
Required by ISM Code for all commercial vessels over 500gt, the DPA is especially
designated to ensure a reliable connection between the company and the crew and to
supervise the safe operation of the vessel.
In layman’s terms, the DPA’s responsibilities are to (1) ensure the safe operation of
each vessel, (2) monitor the safety and pollution-prevention aspects of the operation of
the vessel and ensuring that adequate resources and shore-based support are applied,
and (3) provide a link between the Managing Company and those on board, with direct
access to the highest level of management. For example, if a crew member is injured
carrying out their usual work routines, the DPA must be contacted as soon as possible
as it is his responsibility is to ensure various organizations are notified i.e. Flag
Administration, Insurance etc. The Safety Management Manual, which is vessel
specific, contains instructions and information for safe and efficient operations of a
specific vessel, and the DPA needs to oversee the operation of the vessel to ensure
that proper provisions are made so that the requirements of the manual are complied
with. The DPA needs to be accessible 24 hours a day, should be known by all crew and
his contact details needs to be posted in an easily accessible and public place available
to all crew, such as the crew notice board.
The principles of minimum safe manning, adopted by the Organization as per IMO
Resolution A.1047(27)
Resolution A.1047 (27) Adopted on 30 November 2011 (Agenda item 9) Principles of

Minimum Safe Manning
Assembly Resolution A.1047(27) Principles of Minimum Safe Manning

A Rough Guide to interpreting the Principles of Safe Manning
Principles of Minimum Safe Manning
SMS Roles of Crew in Vessel Onboard
Deck Department
Master Responsibilities
The Master is the owners’ representative and is responsible directly to the Operations
Manager. He is responsible for the overall efficiency of the ship as an operational and
efficient unit. He shall assume responsibility for the protection of the company’s interest
at all times, and when appropriate those of the Charterer. He reports to the Operations
Manager ashore. In matters related to the quality, safety and pollution prevention
aspects of the operation he may select to report to the DPA (Safety Manager) to ensure
that adequate resources and shore based support are applied. He has full authority over
all those on board and has the right to refuse entry to any unauthorised person. He
should maintain the standards of discipline and behaviour necessary for the proper
conduct of affairs and should promote a spirit of co-operation amongst those on board
and towards all those who come into contact with the ship in the course of their duties.
Master is required to report any noted deficiencies in the SMS. While reviewing SMS,
Master need to:
· review SMS manuals and suggest any edits or corrections. Also if any
requirement mentioned in the SMS manuals is against the industry practice or
requirements.
· Make suggestions to improve the safety management system on board ships
· Review and comment on the shore based support and how this can be improved
· Review and comment on the ship’s performance on safety and pollution
prevention related matters.
Chief Mate
The Chief Officer, also called Chief Mate or First Mate, is the head of the deck
department. He is second-in-command after the ship's master. The Chief Officer's
primary responsibilities are the vessel's cargo operations, stability, and supervising the
deck crew. The Chief Officer is responsible for the safety and security of the ship, as
well as the welfare of the crew on board.
The Chief Officer typically stands the 4-8 hours of a navigation watch. Additional duties
include ensuring good maintenance of the ship's hull, cargo gears, accommodations,
the lifesaving and firefighting appliances. The Chief Officer also trains the crew and
cadets on various aspects like safety, firefighting, search and rescue and various other
contingencies.
It is for this final duty that the chief mate is also bestowed with the title of Cargo Officer.
In this role he must ensure that he takes particular care if the ship is carrying a cargo
that is potentially dangerous or hazardous – an undertaking that is of massive logistical
importance on dry land, but when on the open seas with a ship by its very nature likely
to have significant lateral and linear movement on several axes, it is of even greater
importance that it be done correctly. This can call upon the wit of the chief mate to make
adequate provision for matters such as ballasting in order that the ship’s weight and
balance be correctly calibrated. The Chief Mate is in charge of the following:
· maintenance of ship hospital such as (Medical records, medicines, etc..);
· rendered treatment to those who experiencing illness;
· filling out sickness report form;
· reporting near misses to the master during any operation;
· monitor ships compliance with company health safety policy;
· raise safety awareness to the crew and informing master in terms of crew’s
health condition.
Second Mate
A second mate (2nd Mate) or second officer (2/O) is a licensed member of the deck

department of a merchant ship holding a Second Mates Certificate of Competency,
which is issued by the administration. The second mate is the third in command (or on
some ocean liners fourth) and a watchkeeping officer, customarily the ship's navigator.
Other duties vary, but the second mate is often the medical officer and in charge of
maintaining distress signaling equipment. On oil tankers, the second mate usually
assists the chief mate with the Cargo operations.
The Navigator's role focuses on creating the ship's passage plans. A passage plan is a
comprehensive, step by step description of how the voyage is to proceed from berth to
berth or one port to another. The plan includes undocking, departure, the en route
portion of a voyage, approach, and mooring at the destination.
AS per ISM he is also in charge in performing tests and maintenance, and ensuring the
proper log-keeping on the ship's Global Maritime Distress Safety System equipment.
Safety equipment includes Emergency Position-Indicating Radio Beacons,
a NAVTEX unit, INMARSAT consoles, various radios, Search and Rescue
Transponders, and Digital Selective Calling systems. In addition of his roles are the
following:
- Performs bridge navigation and deck watch during specified periods. Determines
geographical position of the ship, using all available means such as GPS, radar ranges,
visual observations, depth sounders, etc.
- Makes necessary entries in navigation and radio logs.
- Handles the vessel, as directed by the Captain, in docking, anchoring, piloting, en

route, in close quarters and open sea conditions.
- Navigates vessel to ensure avoidance of marine hazards such as reefs, outlying

shoals, shallow waters, etc. using aids to navigation such as lights, lighthouses, and
buoys.
- Participates in on board safety training, meetings and drills, as directed by the Captain,
including fire, abandon ship, man overboard, flooding and medical emergencies.
- Participates in shore side training as required by the company.
- Relieves and/or performs gangway watch as directed by the duty schedule.
- Maintains familiarity with the ISM Code and requirements.
- Maintains familiarity with all duties under the company Safety Management System
including Emergency Response activities.
- Drives inflatable boats as necessary.
- Assists with loading guests, staff, and crew in and out of inflatable boats.
- Maintains navigation bridge supply inventories and requisitions.
- Performs chart and publication corrections and maintain vessel's chart inventory by
utilizing U.S. and Canadian Coast Guard Notice to Mariners.
- Calculates and posts daily sunrise/sunset times and tide and current information.
- Creates Voyage Plan waypoint spreadsheet for Captain’s review and approval. Enters
voyage itinerary waypoints into GPS.
- Creates/maintains New Hire Checklist and ensures each Training Officer is aware of
needed completion dates for each employee’s training.
- Creates Training Completion Certificates for all shipboard training for each employee
and sends to Seattle Office.
- Maintains electronic copies of all external and shipboard training certificates for each
employee onboard.
Third Mate
The Third officer is a qualified OICNW watch-stander, junior to the Second Mate. When
on navigational watch, the Third mate directs the bridge team, maneuvering the vessel,
keeping it safe and on track.
The following are the responsibility of 3 rd officer as per SMS
· Maintain all equipment and logs of weather reports from vessel on regular basis.
· Responsible in all flags, signaling equipment, lights and shapes.
· Responsible in life saving apparatus and firefighting equipment, in direction of the
chief mate.
· Conduct testing for functionality and reliability of the equipment for emergency
purposes.
· Carry out emergency duty.
· Assist chief officer in preparation of reports.
-Performs bridge navigation and deck watch during specified periods as assigned by the
Captain. Determines geographical position of the ship, using all available means such
as GPS, radar ranges, visual observations, depth sounders, etc.
- Makes necessary entries in navigation and radio logs.
- If directed by the Captain may assist in docking, anchoring, piloting, en route, in close
quarters and open sea conditions.

- Navigates vessel to ensure avoidance of marine hazards such as reefs, outlying

shoals, shallow waters, etc. using aids to navigation such as lights, lighthouses, and
buoys.
- Acts as shipboard Waste Management Officer.
- Responsible for Integrated Pest Management Plan as required by CDC.
- Maintains ships inventory of Material Safety Data Sheets.
-Participates in on board safety training, meetings and drills, as directed by the Captain.
Including fire, abandon ship, man overboard, flooding and medical emergencies.
- Fulfills Fire and Emergency Station Billet by acting as fire hose nozzle person donning
full firefighting gear, and serving at the scene of the fire.
- Participates in shore side training as required by the company.
- Performs kayak safety briefings.
- Relieves and/or performs gangway watch as directed by the duty schedule.
- Maintains familiarity with the ISM Code and requirements.
- Maintains familiarity with all duties under the company Safety Management System
including Emergency Response activities.
-Performs and documents all Safety Familiarization tours with crew and staff.
Deck Cadet
The duties of a Deck Cadet will differ depending on the type of vessel they work on,
however, there are several core duties most Deck Cadets perform. A review of current
job listings identified the following primary tasks and responsibilities and to be expected
from them as per ISM Code.
· Prepare for Departure
Deck Cadets are involved in the preparations made prior to departure. This will vary
depending on the kind of ship, but most Deck Cadets will be responsible for inspecting
all lifesaving and safety equipment, supervising the loading and storage of cargo or the
onboarding procedures of passengers and reviewing and getting acquainted with the
routes they will take.
· Assist in Navigation Tasks
Deck Cadets will often undertake navigation responsibilities once at sea. They do so
under the supervision of an officer or captain. They will learn how to maneuver the
vessel under different weather circumstances, how to engage in traffic negotiations with
other ships and how to moor the vessel once in port. These skills are an important step
towards becoming an officer so Deck Cadets can expect to get many hours of practice
in navigation.
· Keep Records
The regular logging of ship information in a logbook or position report often falls to the
Deck Cadet. The recordkeeping of vessels is an important step in the apprenticeship of
the Deck Cadet and they are often tasked with ensuring all the information is accurate
and timely. For those working on commercial ships, getting an education in the business
aspect is also a requirement. Deck Cadets on commercial ships may be expected to
handle paperwork and understand basic legalities of the business to best perform their
duties.
Boatswain
The boatswain is the highest ranking unlicensed (rating) in the deck department. The
boatswain generally carries out the tasks instructed by the chief mate, directing the able
seaman and ordinary seaman. The boatswain generally does not stand a navigational
watch. The regular checking of the works of the AB and OS. Also, checking if there work
has any problem and report any near misses. When there is an emergency bosun is the
one who help the officer in carrying out the said safety management plan.
Able-Bodied Seaman
As a member of the deck crew, an Able-bodied Seaman (AB) has a varied role on board
a ship, which is often physically demanding, and by its nature, all-weather.
The AB’s duties include standing watch, where the AB will steer the ship according to
the Deck Officer’s instructions and generally assist the mate on watch, performing
routine maintenance and docking duties, and any other tasks that Deck Officers
request. ABs may also carry out deck and accommodation patrols, and maintenance on
lifeboats, rescue boats, life-rafts, and emergency and damage control gear.
Senior ABs could take on a further role akin to a foreman, directly supervising
maintenance operations and allocating tasks.
Ordinary seaman
An Ordinary Seaman is the lowest rank of a ship’s deck crew. It is considered an entry-
level position and comprises the main labor force on board a boat. An Ordinary
Seaman is supervised by the Captain and the Engineer, and can be given instructions
by any individuals ranked above him, such as Mates or Able Bodied Seamen.
As per the job decription of ISM, his roles are:
• Upkeep – Painting, cleaning, and polishing of ship brightwork; the collection and
disposal of garbage; maintenance and repair of various types of equipment.
• Cargo – Handling ropes and wires; storing and securing of items; assisting with the
movement of cargo on and off the ship.
• Lookout – Standing watch both in port and at sea.
• Other Duties - Assisting with any aspect of the ship's operation and maintenance that
the superior Seamen or Officers feel is necessary.
Engine Department
Chief Engineer
The chief engineer of the ship is the head of the technical department of the ship. It is
his duty to ensure that the engine room machinery works properly for a smooth voyage.
According to the Safety of life at sea (SOLAS) convention, it is the responsibility of the

chief engineer to look after the safety of maritime professionals working in the engine
room. The duties of the chief engineer are clearly mentioned in STCW 95 section A-
III /2.
SOLAS states that the operation of the ship and its equipment should be properly taken
care of by the chief engineer, satisfying all minimum standards of safety.
Duties of the chief engineer in both general and emergency conditions on the ship are:
· Chief engineer should ensure that all the ship’s machinery and equipment are
working in an efficient manner in order to support safe navigation of the ship.
· He should carry out all his duties while complying with the rules and regulations
laid down by the flag state administration, IMO, and port state authorities.
· Frequent inspections of equipment dealing with ship and personal safety must be
carried out by him at regular intervals of time
· All items used for pollution prevention should be frequently checked and tried out
for proper operating condition
· Chief engineer should lay down a set of standing orders for each crew member
under his command
· The standing orders should be given in accordance with the routine maintenance
schedule as laid down by the Planned Maintenance System (PMS), which is prescribed
by the manufactures
· He should see that details of every operation and activity should be properly
maintained in log and record books, which state the compliance of the system.
· Life-saving and fire preventing equipment should be checked a regular basis for
their operating condition. (Operating mechanism and linkages should be inspected and
lubricated frequently)
· In order to minimize sources of fire, chief engineer must ensure that proper
operation and maintenance of fuel and lubricating oil and purifying equipment is carried
out to minimize leakage. In case there are leakages, they should be rectified at the
earliest.
· He should also make sure that the amount of waste oil that is collected should be
as less as possible. The collected oil should be burnt in an incinerator or given to shore-
based collecting facilities.
· Chief engineer should ensure that the maintenance of incinerator is carried out as
per the rules and regulations laid down by the management.
· It is imperative of him to check that from the effluent mixture, only clean water is
pumped out of the ship only through an oily water separator. (According to few company
rules, only the chief engineer should handle the Oily water separator)
· In order to make sure the maintenance and repair procedures are carried out
properly, necessary machine spare should be made available in the ships store by filing
a proper requisition at the right time.
· It is the duty of the chief engineer to motivate his crew to develop a “safety first”
attitude in his work.
· Chief engineer also makes sure that his crew attends all shipboard emergency
drills and safety meetings.
· Each and every crew member should know how to tackle every kind of situation
on the ship. The chief engineer must provide guidance to his crew during drills so that
they know how to get out of an emergency situation safely in the minimum time
possible.
· While tackling an emergency situation, the Chief Engineer must follow the
company guidelines and procedures for dealing with emergencies.
· At the sight of an emergency, response time matters a lot. Therefore, the chief
engineer must be able to guide his crew in minimum time to attend and rectify the task.
· Chief engineer must have the knowledge of equipment such as fixed fire fighting
installation, the operation of quick closing valve etc. in order to deal with extreme
emergency situations.
· He must also have the knowledge of shipboard emergency equipment response
machinery panel, along with other important emergency machinery
· During an emergency situation, the chief engineer must maintain proper
communication with the master regarding the situation of emergency, as the ship’s
master is in touch with the local authorities and the shipping office.
· He must be co-operative with the master so that both deck and engine
departments function towards bringing the emergency situation under control in the
quickest possible time
· Last but not the least, the chief engineer should maintain a proper conduct with
his crew members and address their queries and requirements to the best of his
abilities.
Second Engineer
The role of the Second Engineer is to assist the Chief Engineer in the safe and efficient
management of the Engine Department. In the event of the Chief Engineer becoming
incapacitated, the Second Engineer is to assume the role of the Chief Engineer.
The primary function of the Second Engineer is to supervise the daily operations and
maintenance of all machinery including the ballast system, plant and fire-fighting
equipment on-board. The Second Engineer’s responsibilities include, but are not limited
to, the execution of the planned maintenance, supervision of repairs and advising Chief
Engineer on ordering of spares and consumables.
The Second Engineer is responsible for the planning and organization of the Engine
room crew.
During their watch, they are responsible for the safety and integrity of the Engine
department and that relevant procedures are followed. They are to ensure that all work
in the engine department is carried out in a safe and efficient manner. Requests from
the Deck Officer on watch to carry out trim changes and routine tank level adjustments
should be considered benevolently and executed if the Deck Officer is occupied with
other important duties. Orders to operate the ballast system and to log movements in
the ballast log shall be given by the Deck Officer on watch and under their responsibility
for the stability of the vessel. The Second Engineer’s responsibilities also include
reporting as required by OOS International’s Integrated Management System.
Safety
1. Safety of Personnel: Second engineer is responsible for risk assessment, briefing

and safety training of the entire engine crew, especially for the junior engineers and
fresh crew.
2. LSA and FFA: He is responsible for operation and maintenance of life saving
appliances and firefighting appliances.
3. Emergency equipment: All the emergency machinery and equipment

under SOLAS are responsibility of second engineer.
4. Rest hours: The rest hour of all the individual working in the engine room has to be
taken care of by the second engineer as per STCW.
Pollution Prevention
1. Pollution Prevention Machineries: He is the person in-charge of Pollution

prevention equipment onboard like OWS, Sewage plant, incinerator etc.
2. Oil transfer: He is responsible for all oil transfer operations carried out onboard
including bunkering.
3. Pollution prevention plan: He is responsible for implementation of SOPEP and

other the equipment’s involved with the same.
4. Sludge and bilge: Second engineer has to keep the engine room bilge clean of oil
and oily water. All tank parameters are to be recorded for sludge and bilge system.
5. Regulations: All the rules and regulation related to MARPOL has to be applied and
implemented by the second engineer.
Engine Room Management
1. Responsibility: He is the in-charge for managing the engine room staff and
carrying out duties of the engine room.
2. Assistance: He directly reports to the chief engineer and also becomes the in-
charge of the engine room on his absence/behalf.
3. Job distribution: He distributes and assigns duties to all the engine crew members
and acts as supervisor to them.
4. Housekeeping: He is also the in-charge of engine room housekeeping and engine

room garbage management.
5. Spares and inventory: Second engineer is responsible for storing all the spares
properly and keeping and maintaining record of the spares’ inventory.
Operation and Maintenance of Machinery
1. Engine room and deck machinery: The second engineer is responsible for the
maintenance of all the engine room and deck machinery.
2. Safe operation: He is responsible to make sure all the machineries and safety
systems are working safely, efficiently and within the provided parameters.
3. PMS and BMS: Planned maintenance system(PMS) is to be implemented by the

second engineer and in case of any breakdown maintenance (BMS), should be
immediately taken care of by him.
Third Engineer
Third Engineers report directly to the Second Engineer and are responsible for watch

keeping duties, and the effective and timely completion of maintenance and repair
activities on deck and in the engine rooms
The following are the responsibilities of 3rd office as per SMS.
- Supervision of engine room machinery while in use.
- Carry out repairs instructed by second officer. It includes the repairs in LFA and
FFA.
- Assist Chief engineer in bunkering
- Assist Second Officer in store and spare parts.
- Compliance with the company’s documented safety and security procedures.
- Assist spill coordinators
- Assist second officer in checking lifeboats during abandonship.
- Report near misses
- Acts as an understudy of the Second Engineer;
- Performs sea and port watchkeeping;
- Maintains the Boiler and performs Cooler Water Test;
- Monitors all pump lines, provision reefer, emergency pump lines and ship’s spare
and stores;
- Reports to the upkeep of the steam boiler and associated auxiliaries, refrigerating
equipment and other machinery assigned by the Chief Engineer. He shall report to the
Chief Engineer any problem observed in the handling of the said equipment;
- Manages fuel consumption;
- Custodian of Engine Log Book and other engineering records;
- Performs such other functions as may be assigned by the Second Engineer;
Fourth Engineer
On all types of ships, irrespective of the shipping company, a 4 th engineer shall report to
the 2nd Engineer, who shall assign the duties to him, both at sea and at port and whose
orders he or she shall consider effective and binding as though emanating from the
Chief Engineer. Moreover, the 4th engineer shall also assist the 2nd engineer when
necessary in carrying out duties of the later.
A 4th engineer, upon joining a vessel, should carry out the following duties,
· Upon joining a vessel, the relieving 4th engineer shall report his presence on
board to the Chief Engineer or in his absence to the 2 nd Engineer.
· The 4th engineer should take a thorough round of the engine department with the
signing off engineer and do a proper taking over of the duties.
· He should check the inventory and location of all purifier and compressor spares.
· He should check Inventory and location of pumps spares and tools.
· He should check running hours and maintenance schedule of his designated
machinery.
· He should check general condition of machinery and special procedure for
operation.
· Condition and layout of bunkering system including valve operation, tanks and
sounding pipe location should be checked.
· Condition and layout of sludge and bilge discharge system including valves and
pump operation should also be checked.
· Thorough sounding of all fuel tanks, bilge and sludge tank should be taken.
· Daily consumption of lube oil, fuel oil, marine diesel or gas oil and cylinder oil for
daily record keeping in sounding log is to be checked.
· Daily production of bilge and sludge on board for record keeping of waste water
sounding log.
After completion of the engine room round together, the 4 th engineer shall report the
details to the 2nd engineer and notify discrepancies observed, if any.
Fitter
These professionals are very important because of the terrific technical and fitting skills
they develop over a period of time
The following are the responsibility of fitters as per SMS:
- Fitters are responsible for daily maintenance and minor repairs of all mechanical
equipment onboard the ship.
- The shipfitters actually carry out the creation and the restoration work of the main
structure of a ship and the role and need to be very alert and vigilant for any sort of
emergency situation on a ship and should be ready to work for hours together in
unfriendly atmospheric conditions.
Motorman or Oiler
Oilers are relatively defined like motorman as job of an Oiler onboard is to

assist ship engineers lubricating bearings and other moving parts of engines and other
mechanical equipment aboard the cruise ship. An oiler is an unlicensed rate of
the engineering department.
The following are the responsibilities of an Oiler as per SMS:
- Help ETO in terms of maintenance
- Maintain engine room and other spaces clean under its charge all times.
- Indenting and safe keeping of all engine stores, spares tool, instruments and
proper records of same.
- Advise master of any occurrence in the engine room
- Aim at achieving maximum economy in consumption of fuel, lubricating oils, and
use of stores/spares together.
- Daily round check of engine room as per engine officer supervision.
Wiper
A wiper on a merchant ship are usually responsible for cleaning the engine room,
machinery, assisting the engine officers as instructed, work as a watch-keeper, work
with ordinary seaman and able seaman and assist them in accomplishing day to day
operations in the engine room.
A wiper on ships is mainly responsible for maintenance of the vessel. A wiper’s job on
ships includes: Cleaning of the engine room. Maintenance of the working area. General
maintenance of the engine department. Assisting other personnel on the ship in various
tasks and work as a part of the watch team.
Electrical Engineer
Electrical engineer is responsible for maintenance of all the electrical equipment on a
ship such as motors, switchboards, fire detectors, navigational lights, batteries etc. He
assists ship's deck officer and engineer in all kind of electrical malfunctions.
Engine Cadet
An engine cadet follows the instructions of the First Engineer and attends
the engine control room usually as part of the First Engineer's watch - Assists in the
maintenance and repair of engine room equipment, as well as other mechanical
equipment throughout the ship.
Following the senior offers, apply most of safe working practices in all your duties,
execute assigned duties safely , work procedure, to best ability, and report any
hazardous condition with delay to duty officer, diligently follow instructions and structure
of onboard training , make sure to complete the task or questions listed on the
training/cadet record book, making sure to keep up to date of their training record book,
and actively seek to learn the duties of the ranks are the basic work of an engine cadet.
Steward department
Chief Steward
A Chief Steward supervises and coordinates activities of pantry, storeroom, and non-
cooking kitchen workers as well as purchases, kitchen supplies, and equipment. He/she
inspects kitchens, workrooms, storerooms and equipment for cleanliness and order. He
is also responsible for coordinating work of non-cooking kitchen and storeroom workers
engaged in activities such as dishwashing, silver cleaning, and storage and distribution
of foodstuffs and supplies.
The Chief Steward confers with Manager or catering department concerning banquet
arrangements for food service, equipment, and extra employees, hires and discharges
employees and posts time and production records. He/she observes and evaluates
employees' performance to devise methods for improving efficiency and guard against
theft and wastage, takes inventories of china, silverware, and glassware and also
reports shortages and requisitions replacement of equipment.
Messman or stewards
In charge in cleaning in all area of the galley. The one who is securing the equipment,
washing dishes, laundry of the Captain.
Also securing the galley by doing round check to spot if there is missed part of
equipment that has not been turned off.
Mess man's duties and responsibilities:
· Cleans all alleyways, Mess and Receiving Room, Senior Officers Cabin, Kitchen
implements and Utensils;
· Assists the Chief Cook in his cooking duties;
· Serves food on all personnel and guests as well;
· Observes proper cleanliness either personnel or in the over-all upkeep of the
Galley and Mess Room;
· Perform such function as may assigned to him by the Chief Cook.
Quizzes: 2
Progress: 0 / 2
 Lesson 4. ISM Code to Various Ship Operations

Lesson Learning Outcome:
Relate the provisions of the ISM Code to various ship operations.
Learning Activity (Students’ Activity).
Using a multimedia equipment, students will present and discuss the provisions of the
ISM Code to various ship operations.
The provisions of the ISM Code to various ship operations:
What is ISM Purpose and implementation of ISM code on board cargo ships
ISM Code Latest Updates

 Lesson 5: STCW Code Section A-VI/6. Mandatory minimum
requirements for Security related training instruction for all
seafarers
Learning Outcomes:
1. Explain the 1994 amendments to SOLAS 1974 which introduced a new chapter IX-2
to the convention: Special measures to enhance maritime security, which includes the
International Ship and Port Facility Security (ISPS) Code.
2. Explain the table of specifications for STCW Code Section A-VI/6 on the mandatory
minimum requirements for security related training and instruction for all seafarers and
its importance
1. 1994 amendments to SOLAS 1974 which introduced a new chapter XI-2 to the
convention: Special measures to enhance maritime security, which includes the
International Ship and Port Facility Security (ISPS) Code.
2. table of specifications for STCW Code Section A-VI/6 On the mandatory minimum
requirements for security related training and instruction for all seafarers and its
importance.
International Convention for the Safety of Life at Sea (SOLAS), 1974
Adoption: 1 November 1974

Entry into force: 25 May 1980
Introduction and history

The SOLAS Convention in its successive forms is generally regarded as the most
important of all international treaties concerning the safety of merchant ships. The first
version was adopted in 1914, in response to the Titanic disaster, the second in 1929,
the third in 1948 and the fourth in 1960.
The 1960 Convention - which was adopted on 17 June 1960 and entered into force on
26 May 1965 - was the first major task for IMO after the Organization's creation and it
represented a considerable step forward in modernizing regulations and in keeping
pace with technical developments in the shipping industry.
The intention was to keep the Convention up to date by periodic amendments but in
practice the amendments procedure incorporated proved to be very slow. It became
clear that it would be impossible to secure the entry into force of amendments within a
reasonable period of time.
As a result, a completely new Convention was adopted in 1974 which included not only
the amendments agreed up until that date but a new amendment procedure - the tacit
acceptance procedure - designed to ensure that changes could be made within a
specified (and acceptably short) period of time.
Instead of requiring that an amendment shall enter into force after being accepted by,
for example, two thirds of the Parties, the tacit acceptance procedure provides that an
amendment shall enter into force on a specified date unless, before that date,
objections to the amendment are received from an agreed number of Parties.
As a result the 1974 Convention has been updated and amended on numerous
occasions. The Convention in force today is sometimes referred to as SOLAS, 1974, as
amended.

Play Video
The 1994 amendments to SOLAS 1974 which introduced a new chapter IX-2 to the
convention: Special measures to enhance maritime security, which includes the
International Ship and Port Facility Security (ISPS) Code
The ISPS Code is a set of measures to enhance the security of ships and port facilities.
It was developed in response of the perceived threats to ships and port facilities after
the 9/11 attacks. The ISPS Code is part of the Safety of Life at Sea Convention
(SOLAS) and compliance is mandatory for the 148 Contracting Parties to
SOLAS.The ISPS Code was adopted by one of the resolutions that was adopted on 12
December 2002 by the Conference of Contracting Governments to the SOLAS, 1974
(London, 9 to 13 December 2002). Another resolution includes the necessary
amendments to chapters V and XI of SOLAS that mandates compliance with the Code
on 1 July 2004. The existing chapter XI of SOLAS was amended and re-identified as
chapter XI-1. A new chapter XI-2 was implemented based on special measures to
enhance maritime security. Part A of the ISPS Code contains the mandatory
requirements regarding the amended provisions of chapter XI-2 of SOLAS , 1974; Part
B provides guidance regarding these amended provisions.
In 1974 a completely new Convention was adopted to allow SOLAS to be amended and
implemented within a reasonable timescale, instead of the previous procedure to
incorporate amendments, which proved to be very slow. Under SOLAS 1960, it could
take several years for amendments to come into force since countries had to give notice
of acceptance to IMO and there was a minimum threshold of countries and tonnage.
Under SOLAS 1974, amendments enter into force via a tacit acceptance procedure –
this allows an amendment to enter into force on a specified date, unless objections to
an amendment are received from an agreed number of parties.
The 1974 SOLAS came into force on 25 May 1980, 12 months after its ratification by at
least 25 countries with at least 50% of gross tonnage. It has been updated and
amended on numerous occasions since then and the Convention in force today is
sometimes referred to as SOLAS, 1974, as amended.
What is the ISPS Code?
ISPS or the International Ship and Port Facility Security Code is an essential maritime
regulation for the safety and security of ships, ports, cargo and crew.
The biggest challenge the world is facing today is fighting terrorism. There have been
many events in the history lately involving terrorist attacks in different parts of the world
in different forms.
But the most gruesome of all – September 11 terrorist attack on the twin towers (World
Trade Centre) proved that the national and international security was on stake.
The maritime security is a prevailing issue and several incidences have taken place
even before the 9/11 attack (for e.g. On 26th February 2000, bombs that were hidden
inside two crowded buses in a Philippians’ ferry – Our lady of Mediatrix, exploded and
killed 45 passengers).
Before the ISPS code, the SOLAS primary focus was the safety of the ship at sea. As
security and safety are entirely different topics, new amendments were made in SOLAS
and the Chapter XI, which contains measures to enhance maritime safety, by renaming
to Chapter XI-1 and a new Chapter XI-2 was added with additional focus on maritime
security.
This new chapter comprises of regulations known as International Code for the Security
of Ships and of Port Facilities with the abbreviated name “International Ship and Port
Facility Security Code or the ISPS Code”.
Since the sea is one of the easiest ways to approach an international

territory, International Maritime Organisation (IMO) under SOLAS convention chapter
XI-2 developed the International Ship and Port Facility Security code – The ISPS
code for the safety of ships, ports, seafarers and government agencies.
The ISPS code was implemented by IMO on July 1st 2004 as a comprehensive set of

measurements for international security by prescribing responsibilities to a government
authority, port authority, shipping companies and seafarers.
It applies to the ships doing international voyages which include passenger

ships & cargo ships of 500 GT and above.
Main Aim of ISPS code In Shipping

The ISPS code mainly looks after the security aspects of the ship, seafarers, ports and
port workers, to ensure preventive measures can be taken if a security threat is
determined. The main aim of the International Code for the Security of Ships and of Port
Facilities (ISPS) is as follows:
 To monitor the activity of people and cargo operation

 To detect the different security threats onboard vessel and in port and
implement the measure as per the situation
 To provide a security level to the ship and derive various duties and
functions at the different security level
 To establish the respective roles and responsibilities of the contracting
governments, agencies, local administrations and the shipping and port
industries
 To build and implement roles and responsibilities for port state officer and
onboard officers to tackle maritime security threat at the international level
 To collect data from all over the maritime industry concerning security
threats and implementing ways to tackle the same
 To ensure the exchange of collected security-related information data with
worldwide port and ship owners network
 To provide a methodology for security assessments so as to have in place
plans and procedures to react to changing security levels
 To find the shortcomings in the ship security and port security plan and
measure to improve them
ISPS Code Requirements
The ISPS code incorporates various functional requirements so that it can achieve
certain objectives to ensure the security of ships and ports. Some of the important
requirements are as follows:
 To gather the security-related information from the contracting government

agencies
 To assess the received information
 To distribute the security-related information to appropriate contracting
government agencies
 Defining the proper communication protocols for ships and port facilities for
hassle-free information exchange
 To prevent any unauthorised entry in port facilities or on a ship and other
related restricted areas, even if the unauthorised entry is not a threat (but
always considered as a potential threat)
 To prevent the passage of unauthorised weapons, incendiary devices or
explosives to ships and port facilities
 To provide different means for raising the alarm if any security incident is
encountered or a potential security threat is assessed
 To implement proper security plan on port and ship-based upon the security
assessment and requirements
 To plan and implement training, drills and exercises for ship and port crew
so that they are familiar with the security plans and there is no delay in
implementing the same in case of a real threat
ISPS Code Meaning for Ships:
The cargo ships are vulnerable to security threats as they hardly carry any weapon of
protection in case of a real attack. Piracy, terrorist attack, stowaways etc. are real-time
threats haunting the ship and its crew. Improved ship security will be required in order to
identify and take preventive measures against such security incidents.
The administration is responsible for reviewing and approving a ship security plan for
the ship, which will also include any amendments of old plans etc.
The company must train its officer for ship security officer certification and the
assessment of the ship security will be carried onboard by these certified officers only.
The timely assessment of the ship security plan (SSP) by a certified officer is essential
for finding shortcomings and enhancing the current SSP.
The ship security assessment shall be documented, reviewed, accepted and retained
by the company. Every ship must carry an approved ship security plan approved by the
Administration.
ISPS Code for Vessels Includes:

Company Security Officer (CSO)
CSO is a company appointed person, who is responsible for the ship security
assessment and for the onboard survey to confirm the development and implementation
of the ship security plan as per ISPS code. If any deficiency occurs, CSO is responsible
to deal with all the non-conformities and to modify SSP as per the deficiency.
Duties of Ship’s Company Security Officer (CSO)
Under the International Ship and Port Facility Security Code (ISPS), every shipping
company is required to appoint a company security officer, who would take care of the
ship’s safety and security.
The company security officer designated by a company would be responsible for one or
more than one ships, depending on the number and types of ships the company
operates. This responsibility is clearly identified.
Every shipping company assigns a set of responsibilities for the company security
officer depending of the type of ships and cargo which the company operates. However,
basic responsibilities of company security officer remain the same.
Responsibilities of company security officer (CSO)
o Ship security plan (SSP) along with ship security assessment

(SSA), play an important role in ensuring the security of the ship. The
company security officer is responsible for carrying out the ship
security plan in an efficient manner.
o Using the data acquired from the ship security assessment (SSA),
the company security officer would advise on various threats which
are likely to be encountered by the ship and would also decide
the ship security level.
o The company security officer (CSO) would arrange for internal audits
and reviews of security activities.
o On the basis of various observations and results from the ship
security assessment, the company security officer would make
developments in the ship’s security plan.
o He would also seek for the approval to the submissions made on the
basis of the results of the assessments
o He would also modify the ship security plan to get rid of deficiencies
in the security measures and to satisfy security requirements of each
ship. Thereafter, he would ensure that the plan is implemented and
maintained in the best possible manner.
o Company security officer would take measures to enhance security
awareness and vigilance in his staff and also among ship personnel
o He would also arrange for the initial and subsequent verifications of
the ship by the administration or the recognized security organization
o He would ensure that adequate training is provided to those
responsible for the security of the ship
o In case deficiencies and non-conformities are found during internal
audits, periodic reviews, security inspections and verification of
compliance, the security officer would address and deal with them to
the earliest
o He would ensure consistency between security requirements and
safety requirements of the ship
o He would see to it that an effective communication and cooperation
between the ship security officer and relevant port facility security
officer is maintained
o In case security plan of a sister ship or fleet security system is used,
he would make sure that the plan for each ship would reflect the ship-
specific information accurately
o Company security officer would also ensure that the an alternative,
equivalent arrangement for safety of each ship is implemented and
maintained
Ship Security Officer (SSO)
SSO is the in-charge of security of the vessel onboard and responsible for the other
entire crew member to carry out duties for ship security as per ISPS code. SSO is
responsible for carrying out frequent drills for ISPS Code as per SSP.
The Duties Of Ship Security Officer (SSO):
A ship security officer (SSO) is an important entity under the International Ship and Port
Facility (ISPS) code. The SSO is a person appointed by the company and the ship’s
master for ensuring the security of the ship.
Ship’s security is one of the greatest concerns for every shipping company whose ships
ply in international waters. Though there are advanced systems such as ship security
alert system (SSAS) and ship security reporting system (SSRS) to enhance maritime
security, contribution of the crew towards ship’s security play a very important role.
The main duties of the ship security officer (SSO) include implementation and
maintenance of a ship security plan, while working closely with the company security
officer (CSO) and the port facility security officer (PFCO).
According to the ISPS code, every ship must have a ship security officer, who has the
full responsibility of the ship’s security.
The main responsibilities of ship security officer (SSO) are:
 Implementing and maintaining the ship security plan (SSP)

 Conducting security inspections at regular intervals of time to ensure that
proper security steps are taken
 Making changes to the ship security plan if need arise
 Propose modifications to the ship security plan by taking various aspects
of the ship into consideration
 Help in ship security assessment (SSA)
 Ensure that the ship’s crew is properly trained
to maintain a high ship
security level
 Enhance security awareness and vigilance on board ship
 Guide ship’s crew by teaching ways to enhance ship’s security
 Report all security incidents to the company and the ship’s master
 Taking view and suggestions of the company security officer and the port
facility security officer into consideration while making amendments to
the ship security plan
 Help company security officer (CSO) in his duties
 Take into account various security measures related to handling of cargo,
engine room operations, ship’s store etc.
 Coordinate with ship board personnel and port authorities to carry out all
ship operations with utmost security
 Ensure that the ship security equipment is properly operated, tested,
calibrated, and maintained
The duties of ship security officer might change, increase, or decrease, depending on
the type of the ship and situation. However, the main duties remain the same as
mentioned above.
The importance of maritime security has substantially increased with the increase in the
number of piracy attacks. This has also lead to a sudden increase in demand
of maritime security jobs. Many comapanies offer special maritime security services to
ensure high level of ship and port security. However, it is to note that most of the ship
security related troubles can be averted by having a sound ship security plan.
Ship Security Plan (SSP)
It is a plan kept onboard vessel mentioning the duty of crew members at different
security levels and the do’s and don’ts at a different type of security threats. SSO is
responsible under CSO to implement ship security plan onboard vessel.
What Is Ship Security Plan (SSP)?
Ship Security Plan (SSP) is a plan that is formulated to ensure that that the measures
laid out in the plan with respect to the security of the ship are applied onboard.
This is in place to protect the personnel, cargo, cargo transport units, stores etc from
any security-related risks.
The plan specifies responsibilities and procedures to counteract any anticipated threat
to the vessel and her cargo.
The ISPS Code makes it mandatory for a vessel to have such a plan in place. The SSP
must lay out the protective measures for each security levelvis-a-vis ship related
activities, access control onboard, monitoring of the restricted areas, cargo handling,
receiving of stores/baggage etc.
The CSO must ensure that the ship is provided with such a plan commensurate with
the ISPS Code. The SSP is a critical document, the information of which is to be
restricted to designate personnel on board and not shared deliberately; the plan must
be protected from unauthorized access or disclosure.
Requirements for Ship Security Plan (SSP)

o
 Developed for each ship, the SSP should take into account the
security level of the port facility
 Measures and equipment to prevent any threat to the ship and to
prevent the carriage of any unauthorized units onboard
 Ship Security Personnel (SSP) must establish measures against
unwanted access to the ship
 As per SSP, a Ship Security Officer (SSO) must be appointed
onboard to execute the SSP
 Depending upon the Code interpreted and followed, the SSP
should be formulated by an approved Organization
 The plan must be developed after a thorough security assessment
of the ship taking into account the guidance laid out in the ISPS
Code
Contents of Ship Security Plan (SSP)
The SSP must address the following aspects:

o
 Preventive measures against weapons, hazardous substances,
devices that may be intended for use against the safety and
security of the ship
 Specific identification of restricted areas and preventive action
against access to any such designated areas
 Action to be taken when the ship is facing a security threat or
breach taking into account the critical operations of the ship
 Complying with instructions of the Contracting Government with
respect to the security level
 Evacuation procedures that might have to be carried out in case of
a breach that cannot be combatted
 Specific duties of the shipboard personnel with responsibilities
when security is in question
 Procedures for auditing security-related activities
 Procedures for training and drills associated with the plan
 Procedures for liaising with the port facility
 Procedures for reporting security-related incidents
 Desinated and identification of the SSO and the CSO with duties
and contact details
 Procedures to maintain, test and calibrate equipment pertaining to
the Code. This shall include details of the frequency of the tests to
be carried out as well
 Locations where the SSAS is provided and the guidance on using
the SSAS. Usage instructions should also include details of testing
of SSAS and information regarding false alerts as well
It is important to remember that the SSP is NOT subject to inspection unless in a case
specifically specified by the Code. Unless there is proper evidence to prove that the
SSP has not been complied with, an inspection may not be allowed.
Even when there is a plausible cause for non-compliance, an inspection may only be
carried out specifically with the aspects that violate the SSP and not an entire check on
the SSP.
This can only be done with consent from the Master of the vessel. The Master always
has the overriding authority to call the shots, especially when the safety and security of
the vessel are in question.
If in the professional judgement (and experience) of the Master, there is a conflict in the
operations of the ship in relation to the SSP, he may use temporary measures to
upkeep the security until the conflict is resolved. Any such temporary measure must be,
so far as practicable, be commensurate with the prevailing security level.
Implementation of Ship Security Plan (SSP)
Unless implemented with diligence, the SSP will be a worthless piece of paper! The
SSO must ensure that the SSP is implemented to the best possible extent to maintain
its effectiveness.
From carrying out training and drills to specifying to personnel about their respective
duties as per the SSP, the SSO is a vital entity in the implementation of the SSP.
Along with briefings and debriefings, an appraisal must also be carried out to check the
level of contribution of the personnel.
With the dynamic nature of shipping, the SSO under the auspices of the Master must
identify any shortcomings in the plan.
Remedial measures and a review of the same must be sent to the CSO as suggestions
to keep the SSP updated as well as to ensure that the security aspect is upheld without
any compromise.
Any such suggestions to bring about a change in the existing plan must be backed up
by a thorough security assessment of the vessel.
Damage to shipping from entities that intending to pose threat is ever-changing. The
security of the vessel is not just for namesake but for the very protection of the ship and
its resources, the most valuable resource being the manpower.
It is therefore imperative to always assign due importance to the SSP and its
implementation.
Ship Security Alert System
The Ship Security Alert System (SSAS) is a safety measure for strengthening ship’s
security and subduing acts of piracy and/or terrorism against shipping. Widely
Acknowledged as a part of the International Ship and Port Facility Security Code (ISPS
code), the Ship Security Alert System (SSAS) complements the International Maritime
Organization (IMO)’s attempts to increase maritime vessel security.
Cospas-Sarsat, with International Maritime Organization’s cooperation, came up with

this project of Ship Security Alert System (SSAS). The basic idea is that in case of an
attempted piracy effort, terrorist act, or any other incident which can be defined as a
threat to the ship under the maritime security, the ship’s SSAS beacon would be
activated, responding to which an appropriate law-enforcement or military forces would
be dispatched for rescue. The Ship Security Alert System (SSAS) beacon and the
Aircraft Transponder Emergency Code 7700 are operated on the fundament of similar
principles.
Different types of security equipment are kept onboard which includes a metal detector
for checking the person entering the vessel. From July 2004, most of the ship has
installed the Ship Security Alert System (SSAS) as per ISPS norms which do not sound
on the ship but alarm the shore authority about the security threat.
The SSAS is a type of silent ship security alarm system which, when activated, does not
issue any audio-visual signal on the ship or to nearby vessels or security forces. The
alert in most cases is first received by the ship’s owner or an SSAS management third
party, then passed to the ship’s flag's state, and these receivers are obliged to inform
the national authorities of the coastal states where the ship is sailing.
The Flag States decide who will be the initial recipient of the security alerts from the
ships. The recipient may be one or more parties designated by the Flag State as
competent authorities, which may include the Company (ship-owner) or
a SSAS management third party.
How SSAS works?
 When the maritime security staff comprehends probable danger from pirates

or terrorists, a Ship Security Alert System (SSAS) alert is triggered
 The beacon transmits a specific security alert, with important details about
the ship and its location, to the administration and to the owner, or
appointed professional SSAS management and monitoring services
 Once receiving the signal, the administration will notify the nearest national
authorities of the area which will dispatch appropriate military or law-
enforcement forces to deal with the terrorist or pirate menace
Legislation on Ship Security Alert System (SSAS)
In December 2002, International Maritime Organization (IMO) adopted some changes

within which Ship Security Alert System (SSAS) was determined in SOLAS Chapter XI-
2, Regulation 6. It also required IMO to produce guidance on the implementation and
instructions on the handling of covert alerts from SSAS instrumentation.
According to the international requirements regarding the security of ships and of port
facilities, following ships must be provided with an SSAS:

o All cargo ships which are constructed on or after 1st July 2004
o All passenger ships and high-speed craft intended to carry passengers
which are constructed before 1 July 2004 not later than at the first survey
of their radio installation after 1st July 2004
o Oil tankers, chemical tankers, gas carriers, bulk carriers and cargo high-
speed craft of 500 GT and above constructed before 1 July 2004 not later
than at the first survey of their radio installation after 1 July 2004
o Other cargo ships of 500 GT and above constructed before 1 July 2004
and mobile offshore drilling units not later than at the first survey of their
radio installation after 1 July 2006.
The SSAS alerts are to be sent by the security staff, necessarily at routine priority, from
the ship to its administration directly or other proper recipient designated by the
Administration (flag state).
These routine priority SSAS alerts might be chosen by Administrations to have from

their flagships addressed to Maritime Rescue Coordination Centers in their own region
or to other targets such as ship owners or managers.
Satellite service of Inmarsat C, mini-C and D+ would help affirm the full accessibility of
processing the messages of Ship Security Alert System (SSAS), while the existing
outdated GMDSS would require an update provided by its manufacturers or agents.
SSAS solutions, which are available on the Inmarsat network, inevitably render more
flexibility in the routing of SSAS alerts.
In accordance with the requirements of the IMO, these alerts could be sent to any
destination, which might be a rescue coordination center, or a national security
organization or the ship-owner or any other third-party organization but necessarily
selected by the flag administration.
The security staff can deliver the Ship Security Alert System (SSAS) to fax, email, telex,
GSM phone, or even to other Inmarsat terminals for the sake of ship security complying
with the legislation specified in Regulation 6.
The SSAS Button/Switch:
As per the regulation, minimum two security alert buttons must be provided on the ship,
one being located on the bridge and the second one should be located in any other
prominent position (for e.g. Accommodation). The location of the switch must be known
to all the ship’s crew.
The switch must be provided with a protective latch cover, to avoid misuse or accidental
operation of the vessel. When the ship is at dry dock and if any work is being carried out
near the SSAS button, proper instruction must be given to the person involved in that
area for not touching/operating the button. In dry dock or layups, the latch can be locked
temporarily, with the key kept at an accessible location and known to Master and the
Ship Security Officer. During normal operation, the safety cover should never be locked.
When the Ship Security Alert System is activated, following details will be sent to the
administration:
40.
1. Name of ship
2. IMO number allotted to the ship
3. The Call Sign of the ship
4. The Global Navigation Satellite System (GNSS) position of the ship in
latitude and longitude
5. Maritime Mobile Service Identity
6. Date and time of the alert according to the GNSS position (as per the
current time the ship is sailing)
Once the SSAS is pressed, the alert should be continuously transmitted to the

administration or designated authority selected by the administration unless it is reset or
deactivated.
The responsibility of the Signal Receiver:


o The SSAS signal is received by the administration (flag state) and either

by the owner or another representative selected by the administration
(professional SSAS management and monitoring services)
o An email or phone number is dedicated to receiving the SSAS alert and
should be continuously monitored by the administration representatives
as missing the alert or acting late on it can cause severe harm to the life
and property
o Once the signal is received, the date and time should not be
misunderstood as the local time of the administration or owner’s location.
The date and time represent the location of the ship which is currently
sailing. (for e.g. the Panama registry office will receive the signal of its
ship sailing near Somalia, hence if the message is received at 11:47
PM Wednesday, in Panama, it is sent 7:47 am Thursday from Somalia)
o Make contact with the vessel about the alert signal to make sure the alert
is legitimate and not a faulty alert
o Once the alert is confirmed legitimate, the administration should alert the
situation to the nearest coastal authority and security agency.
o If the alert is generated due to fault in the SSAS equipment, ensure to
inform the same to coastal and security authorities.
Testing of SSAS:

o The SSAS should be tested for its proper function to ensure it is working
properly as the functionality of the SSAS is crucial in case of a real
emergency
o Also, as per the Maritime Safety Committee circular- 1155, the companies
must ensure to notify the flag stat well ahead of the test so that it should
not be misunderstood as a real emergency
o Most of the flag states (administration) responsible for receiving and
acting on the signal have laid down rules for communicating the test
procedures of SSAS. For e.g. some flag state has the requirement to
notify about the SSAS test not more than 2 days in advance and not less
than 4 hours prior to the test
o The shipmaster is responsible to notify the same by a pre-test notification
email to the email address provided by the flag state dedicated to testing
communications. This helps the flag state and the ship representative in
effectively tracking the alert notifications and ensuring there is no
miscommunication as it may lead to unintended emergency response
actions, which will cost valuable time and money
o The email or message sent to the flag state must contain “TEST” word in
the subject and inside the message to ensure there is no confusion
whatsoever
o Once the test has been performed, the Master of the ship should send
another email/ message to the administration about the conclusion of the
test, as soon as possible. This ensures the administration will be ready to
respond to the emergency in case another alert comes of a real
emergency
o It may happen that the SSAS button and instrument associated with it are
faulty and continuously sending alerts to the administration. In such case,
the company security officer (CSO) must inform the situation to the
administration using the proper channel and ensure the repair is carried
out at the earliest possible situation.
o Once the SSAS equipment has been rectified and restored to the normal
operation, the Ship Security Officer (SSO) must inform the Company
Security Officer (CSO), and then he/she will inform the same to the flag
state.
Annual check of complete SSAS system must be performed (usually done during

annual radio equipment survey) and also during the renewal or intermediate inspection
of ISPS certificate. The checks to be performed as per the Ship Security Plan.
The unit should have the option to test the alarm internally when the flag state
representative is onboard.
Benefits of Testing SSAS
 Fully maritime focused
 Use of the Inmarsat C, mini-C, D+ satellite service
 Upgradation over older GMDSS version.
 Global coverage
 Suitable for asset tracking
 Daily reports at routine priority
 Web-based tracking
 Conforms to IMO standards and full compliance with the requirements of
SOLAS XI-2/6
 Installation, testing, and instruction on usage by professionals.
SSAS Challenges:
The SSAS setup on a ship is still considered as an additional financial burden on ships

and ship owner try to stick to the regulation by providing only two ship security alert
system switches on a ship. It is possible that during the attack, these two locations are
not accessible and if the number of the switch is increased, it will add to the safety of
the ship and its crew
The regulation does not make it mandatory to have an independent source of power to
the ship’s SSAS. In case of failure of main power or fault in the emergency backup
power, the SSAS will not work
As discussed earlier, the switches are provided in two locations which includes bridge
as one location. It is important for the Master to ensure the ship’s crew knows the
location of the switches. The familiarization of the locations in every drill is still not
practised in many ships which may lead to confusion in case of a real emergency
There are many agencies/ third party who are dedicated to monitoring the SSAS alert
from the ship. To save the cost, many owners do not opt for such agencies and prefer to
keep this service in-house (Company security officer). It is naïve to think that CSO will
never miss a call or a message or the phone dedicated to the alert will never run out the
battery

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Implementing ISPS Security Level

It’s the responsibility of SSO to implement the security level onboard complying with the
security level set by the local government authorities. Also, a continuous response is to
be made to Port state when the security level is “level 3”.

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ISPS Code for Port Facilities
Port facilities have to make sure that all the facilities are protected from any kind of
threats which may arise from both land and water. They also need to monitor the ships
which are coming to its shore from an international voyage for any security risk.
It is the port facility which defines the security levels to be implemented on the ships
which are in its territorial waters. The Port managing company is responsible for
preparing the Port Facility Security Plan.
The port facilities security assessment is also an essential and integral part of the
process of developing and updating the port facility security plan.
The assessment is usually assessed and reviewed by the flag state or by the
government organization responsible for shipping and port development for that
country.
ISPS Code for Port Facilities Includes:

Port Facility Security Officer (PFSO)
PFSO is a Government-appointed officer responsible for implementing PFSP and to

derive security levels for port and vessel berthing at their jetty. He is responsible to
conduct a port facility security assessment.
Port Facility Security Plan (PFSP)
It includes the plans and action to be taken at different security levels. Roles and
responsibilities are included in PFSP. Action to be taken at the time of any security
breach is described in PFSP.
The Importance of Port Security

Port security in simple terms refers to the security and law enforcement measures
employed to safeguard a shipping port from terrorism and other unlawful activities and
activists. It also refers to the measures employed to see that the treaties entered into
with other countries are also enforced appropriately. In addition, port security also deals
with maritime security – security of the marine commercial areas, coast lines, and
beaches.
Port security, a part of the maritime security, comes under the purview of
the International Maritime Organization (IMO) and the International Ship and Port
Facility Security Code that was introduced in the year 2002 as a part of the Safety of
Life At Sea (SOLAS) convention. Apart from these two organizations, a lot of port
security measures are incorporated from United Nation’s own marine security
enforcement agenda.
Port security is vital because marine transport is a very thriving and extensively used
form of conveyance, especially for cargo transportation. Since the cargo
containers could be used inappropriately, it becomes important that proper monitoring
and inspection of the transferred cargo is carried out. The importance of maritime
security can be further elaborated as follows:
 Ports are busy areas and are spread over a very large area. This would
mean that certain areas of the ports can be inaccessible all the time as
far as patrolling is concerned and therefore could lead to stealing of
cargo from the cargo containers. It could also involve the smuggling of
weapons and arsenal into a country and issues of stowage and illegal
immigration. Port security helps to solve these problems of
inaccessibility and thereby reduces the cargo pilferage that takes place.
 Since maritime security is also included in port security measures, it will
help to safeguard the interests of ships in dangerous and conflicted
waters. This factor is extremely important when ships enter into water
areas where piracy abounds. Effective maritime security thus accounts
for adequate counter piracy measures
 Oil cargo is carried extensively in the oceanic areas. If attacks from pirates
and terrorists cause oil spill or even worse, light up the entire oil tanker,
it could cause a major disaster with respect to the environment,
resources, and security of countries. Maritime security attempts to block
any such activities that could be carried out.
The Coast Guard along with a number of other government agencies helps to enforce
port security in respective countries. This is because the Coast Guard is responsible
primarily for enforcing marine security. The other government departments that overlook
the aspect of port security include the Transportation Security Agency (TSA), the
Bureau of Customs and Border Protection (CBP) and the Maritime Administration
(MARAD).
The requirement of maritime security has increased in recent times. Since terrorists and
pirates have started using the marine route to cause greater levels of damage to the
society, it becomes necessary that the countries try and incorporate a systematic law
that will help to preserve the security of ports and overall marine areas.
Security Equipment
Minimum security equipment like scanner and metal detector etc. must be available at
all times with the port facility to avoid the breach of security inside the port.
Implementing Security Level
Security levels are implemented by the port authority under the consultation of a local
government authority. The security level adopted for the port facility must be informed to
vessel administration for cooperative measures.
Challenges of ISPS code:
Every regulation comes with its own challenges. The ISPS code is no different and has
the following concerns:
 Human rights are one of the biggest concerns with ISPS code as it directly
affects the seafarers’ wellbeing. Shore leave has always been
considered as an essential stress relief process for the ship’s crew, and
due to the security threats many countries are prohibiting shore leave
for seafarers
 Proper implementation of ISPS code is another concern as not all the
crew are trained at the shore for ship security training.
 It also impacts on the daily activity of crew as it comes with additional
duties of security watch etc.
 Implementing the security level on the ship is also an additional job, which
is time-consuming.
 The port activities are also affected when the security level rises, leading
to slow down of cargo operation
 When the security level is at its highest level, the port stay of the ship will
increase as all the cargoes are checked as compared to lower security
level (1 & 2), wherein only a handful of cargoes are inspected for
security reasons
 Some ports do not allow any cargo operations under security level 3 until
the level is minimized.
Advantages of ISPS Code:
 The ISPS aims to increase the safety and security of the ship hence
minimized the risk
 Better control of cargo flow, personal access
 Better documentation procedure (as it has standard procedures all over)
 Secured working environment making it easier for seafarers and port
workers
Disadvantages of ISPS:
 Additional work for seafarers as more security-related tasks are added to

the work routine
 Slow work progress when the security level rises
 Additional paperwork and certification requirements
 Increase in operating cost of the ship for ISPS implementation and
increase in port costs (more port stay) if the security level is higher
 More administration work
IMO STCW 2010 Regulations - Mandatory Minimum
Requirements for Security-Related Training and
Instruction for All Seafarers
STCW Convention Regulation VI/6 came into effect on January 1, 2014 and this
applies to all persons employed or engaged in any capacity on ships, prior to being
assigned shipboard duties and, seafarer who is designated to perform security duties as
stated in the Ship Security Plan.
Security-related familiarization training is required from July 1, 2015 and only needs
to be given once in the seafarer’s career as there is no requirement for refreshment or
revalidation.
Standard of competence for seafarers with designated security duties applies to

every seafarer who is designated to perform security duties as stated in the Ship
Security Plan and also includes anti-piracy and anti-armed robbery related activities.
These seafarers shall be required to demonstrate competence to undertake the tasks,
duties and responsibilities listed in column 1 of table A-VI/6-2 of the STCW Code.
On completion of the training the seafarer shall have sufficient knowledge to perform on
board designated security duties, including anti-piracy and anti-armed robbery related
activities.
Security training for seafarers with designated security duties is required from July 1,
2015 and only needs to be given once in the seafarer’s career as there is no
requirement for refreshment or revalidation.
Understanding the STCW Convention
and the STCW Code - a lesson for mariners

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STCW Code Section A-VI/6 Chapter VI (STCW 2010 Resolution 2)
MANDATORY MINIMUM REQUIREMENTS FOR SECURITY-RELATED TRAINING

AND INSTRUCTION FOR ALL SEAFARERS
Standard of Competence for Security-Related Familiarization Training
1. Before being assigned to shipboard duties, all persons employed or engaged on a

seagoing ship which is required to comply with the provisions of the ISPS Code, other
than passengers, shall receive approved security-related familiarization training, taking
account of the guidance given in part B, to be able to:
1. report a security incident, including a piracy or armed robbery threat or attack;
2. know the procedures to follow when they recognize a security threat; and
3. take part in security-related emergency and contingency procedures.
2. Seafarers with designated security duties engaged or employed on a seagoing ship
shall, before being assigned such duties, receive security-related familiarization training
in their assigned duties and responsibilities, taking into account the guidance given in
part B.
3. The security-related familiarization training shall be conducted by the ship security

officer or an equally qualified person.
Standard of Competence for Security-Awareness Training
4. Seafarers employed or engaged in any capacity on board a ship which is required to

comply with the provisions of the ISPS Code on the business of that ship as part of the
ship’s complement without designated security duties shall, before being assigned to
any shipboard duties:
1. receive appropriate approved training or instruction in security awareness as set out

in table A-VI/6-1;
2. be required to provide evidence of having achieved the required standard of

competence to undertake the tasks, duties and responsibilities listed in column 1 of
table A-VI/6-1:
1. by demonstration of competence, in accordance with the methods and the criteria for
evaluating competence tabulated in columns 3 and 4 of table A-VI/6-1; and
2. by examination or continuous assessment as part of an approved training programme

in the subjects listed in column 2 of table A-VI/6-1.
5. (Transitional provisions) Until 1 January 2014, seafarers who commenced an

approved seagoing service prior to the date of entry into force of this section shall be
able to establish that they meet the requirements of paragraph 4 by:
1. approved seagoing service as shipboard personnel, for a period of at least six

months in total during the preceding three years; or
2. having performed security functions considered to be equivalent to the seagoing

service required in paragraph 5.1; or
3. passing an approved test; or

4. successfully completing approved training.
Standard of Competence for Seafarers with Designated Security Duties
6. Every seafarer who is designated to perform security duties, including anti-piracy and
anti-armed-robbery-related activities, shall be required to demonstrate competence to
undertake the tasks, duties and responsibilities listed in column 1 of table A-VI/6-2.
7. The level of knowledge of the subjects in column 2 of table A-VI/6-2 shall be sufficient
to enable every candidate to perform on board designated security duties, including
anti-piracy and anti-armed-robbery-related activities.
8. Every candidate for certification shall be required to provide evidence of having

achieved the required standard of competence through:
1. demonstration of competence to undertake the tasks, duties and responsibilities

listed in column 1 of table A-VI/6-2, in accordance with the methods for demonstrating
competence and the criteria for evaluating competence tabulated in columns 3 and 4 of
that table; and
2. examination or continuous assessment as part of an approved training programme

covering the material set out in column 2 of table A-VI/6-2.
9. (Transitional provisions) Until 1 January 2014, seafarers with designated security

duties who commenced an approved seagoing service prior to the date of entry into
force of this section shall be able to demonstrate competence to undertake the tasks,
duties and responsibilities listed in column 1 of table A-VI/6-2 by:
1. approved seagoing service as shipboard personnel with designated security duties,

for a period of at least six months in total during the preceding three years; or
2. having performed security functions considered to be equivalent to the seagoing

service required in paragraph 9.1; or
3. passing an approved test; or
4. successfully completing approved training.
Assignments: 2
Progress: 0 / 2
 Lesson 6: The International Organization for Standardization

(ISO)
Lesson’s Learning Outcome:
1. Explain the revision on its standards for quality management systems from
9001:2008 to ISO 9001:2015 and
2. Explain the integrated management system ashore and on board vessel.
1. the revision on its standards for quality management systems from 9001:2008 to
ISO 9001:2015
2. the integrated management system ashore and on board vessel
Integrated Management System

An Integrated Management System (IMS) is a single smart system that is holistic and
that a company should adopt for running core operations. It is basically a combination of
ISO 9001 (Quality Processes) with ISO 14001 (Environmental Processes) and ISO
45001 (Health & Safety Processes) that studies “non-conformance” within the
organization and conducts audits, and managerial reviews based on these. Such
reviews are meant to bring about corrective action for continual improvement.
Depending on the specifics of the organization many more ISO standards could be
applied.
Integrated Management Systems cut down idle time and reduce costs. Every segment
of an organization impacts another, and IMS optimizes profits – with social and
environmental considerations.
ISO Standard Explained

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Some pillars on which such systems are based are outlined below:
QMS – Quality Management System (ISO 9000 series)

ISO 9000 series focuses on improving the quality of products and services and
consistently meeting customer/client expectations.
While there may not be a statutory or market-driven need to do so; businesses would do
well to conduct internal audits to examine how its quality of product or service actually
is. To do this, organizations may either invite a Management System Consultant to
delve into how they are faring compared to benchmarks; or, alternatively, they may
invite clients for feedback.
A quality management system (QMS) is a set of policies, processes and procedures

required for planning and execution (production, development, service) in the core
business area of an organization, (i.e. areas that can impact the organization’s ability to
meet customer requirements). ISO 9001:2015 is an example of a Quality Management
System.
EMS – Environmental Management System (ISO 14000

series)
Providing a framework for an effective environmental management system may be
applied to any organization, regardless of activity or sector. It is certification to
regulatory authorities as well every stakeholder that the environmental impact of the
organization’s operations is being tracked and kept under control.
An Environmental Management System (EMS) determines and continuously improves

an organization’s environmental position and performance.
SMS – Safety Management System (ISO 45000 series

formerly OHSAS 18001)
An SMS (or OHSMS) determines and continually improves an organization’s Health and
Safety position and performance. It follows an outline and is managed like any other
facet of a business, such as with marketing or engineering functions.
ISO 45001 lays down standards for ensuring acceptable levels of employee safety,
reducing workplace risk, and working conditions for employees.

The Revision on Quality Management Systems from ISO 9001:2008 to ISO

9001:2015
ISO 9001 IN A NUTSHELL how it Works and how it can Work For You
Ships form a vital link between business partners. They carry their valuable products to
their customers. Therefore, more and more charterers of vessels and industry
customers of shipping lines ask for a certificate according to ISO 9001. They want to
receive reliable and error-free transports and wish to see an evidence for systematic
and well organized work. Since more than 20 years, the international standard ISO
9001 provides the framework for effective and efficient quality management systems.
ISO 9001 is defined as the international standard that specifies requirements for
a quality management system (QMS). Organizations use the standard to demonstrate
the ability to consistently provide products and services that meet customer and
regulatory requirements. It is the most popular standard in the ISO 9000 series and the
only standard in the series to which organizations can certify.
ISO 9001 was first published in 1987 by the International Organization for

Standardization (ISO), an international agency composed of the national standards
bodies of more than 160 countries.
The current version of ISO 9001 was released in September 2015.
ISO 9001:2015 applies to any organization, regardless of size or industry. More than

one million organizations from more than 160 countries have applied the ISO 9001
standard requirements to their quality management systems.
Organizations of all types and sizes find that using the ISO 9001 standard helps them:
· Organize processes
· Improve the efficiency of processes
· Continually improve

All organizations that use ISO 9001 are encouraged to transition to ISO 9001:2015 as
soon as possible. This includes not only organizations that are certified to ISO
9001:2008, but also any organizations involved in training or certifying others.
As of September 14, 2018 organizations that are currently registered to ISO

9001:2008 should have transitioned to the 2015 standard.
Organizations certified to the ISO 9001:2008 standard will have a three-year period to
transition to ISO 9001:2015. When the transition period ends in September 2018, ISO
9001:2008 certificates will no longer be valid.
This International Standard specifies requirements for a quality management system

when an organization:
a) needs to demonstrate its ability to consistently provide products and services that
meet customer and applicable statutory and regulatory requirements, and
b) aims to enhance customer satisfaction through the effective application of the

system, including processes for improvement of the system and the assurance of
conformity to customer and applicable statutory and regulatory requirements.
All the requirements of this International Standard are generic and are intended to be
applicable to any organization, regardless of its type or size, or the products and
services it provides.
ISO9001:2015
ISO 90012015 vs. 2008 revision. What has changed?

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Additional Readings:
Transition Planning Guidance for ISO 9001s2015
The Integrated Management System Ashore and on Board Vessel

ISM CODE & ISO 9001 ONBOARD SHIPS
The International Safety Management Code for the Safe Operation of Ships and for
Pollution Prevention (ISM Code) is an international standard for the safe management
and operation of ships focusing towards the protection of the environment and the
safety of the crew as well as equipment. The ISM Code is mandatory for all vessels of
more than 500 gross tonnages including mobile offshore drilling units.
ISO 9001:2008 specifies requirements for a quality management system which ensures
that a company provides products/services that meet customer as well as any
applicable statutory and regulatory requirements. Moreover, ISO 9001 aims to enhance
customer satisfaction.
Both ISO 9001 and the ISM Code specify a systematic approach to management by
those responsible for management of ships. ISM Code with ISO 9001 provides a basis
for ensuring management systems are also driven by customer needs for the continued
success of a shipping company.
Onboard Ship Management
Regarding shipboard management the company is required according to the ISM code
as well as the ISO 9001 standard to have developed a set of company objectives and
policies.
More specifically the ISM code approach requires the company to have developed a
safety and environmental protection policy which describes ISM Code objectives to be
achieved, implemented and maintained.
Such objectives should aim to the direction of ensuring safety at sea as well as the
prevention of human injury or loss of life or damage to property. Another important
objective of the policy should aim on the environmental protection and in particular on
the protection of the marine environment not excluding of course other related
environmental issues such as air-pollution control, recycling etc.
In order to achieve such objectives the company should provide Safe Working Practices
guidelines and procedures (e.g. entry into enclosed space, hot work etc.) relative to the
ship operations as well as equipment which results on maintaining a Safe Working
Environment onboard. The procedures and the guidelines to be implemented/followed
should have been developed in a way that they can also represent safeguards against
possible risks which the company has identified. The company should also have in
place procedures regarding response in case of safety or environmental emergencies
and of course the Safety Management System should be continuously improved (a
requirement which is also stated in a similar way in the ISO 9001 standard)
All the above should always be in compliance with mandatory rules, regulations;
applicable codes, guidelines and standards (e.g. SOLAS, MARPOL, STCW 95,
COLREGS, Regulations on Navigation in Panama Canal Waters etc.) recommended by
the IMO, Flag Administrations, Port State Authorities, Classification Societies and
maritime industry organizations.
On the other hand the ISO 9001 standard requires the company to have developed a
quality policy along with objectives that should be implemented onboard.
Such a quality policy should include a commitment to comply with any requirements
(e.g. customer requirements, regulatory requirements etc.) and to continually improve
the effectiveness of the quality management system which means that a management
review procedure should be established in order to assess and evaluate the
implementation of the management system (a requirement which is also stated in a
similar way in the ISM code). The policy should also be communicated and understood
within the organization, and is reviewed for continuing suitability. Moreover, the
company should also be committed in maintaining the integrity of the quality
management system whenever changes to the quality management system are
planned and implemented.
Quality objectives should be established within relevant procedures of the company and
they should be measurable and consistent with the quality policy. Such objectives may
be:
1. High quality services measured by internal and external audits & non-
conformances,
2. Customer satisfaction which can be measured through customer surveys and
complaint handling procedures,
3. Crew training improvement measured through crew training evaluations,

4. Non Conformities reduction measured through internal/external audits and
monitoring procedures
Both the ISM and ISO 9001 require that any mandatory requirements, laws and
regulations are to be followed and implemented accordingly. The ISM code states
specifically that the company’s developed safety management system should ensure
that compliance with mandatory rules and regulations is achieved throughout shipboard
operations and that any other applicable codes/guidelines etc that are being
recommended by the Flag Administrations, the Classification Societies, the IMO etc are
taken into account.
Both the ISM code and ISO 9001 require defined levels of authority, responsibility and
lines of communication.
According to the ISM code responsibilities, authorities as well as their interaction

between personnel onboard and ashore, whose work is related and also affects safety
and pollution prevention, should be clearly defined and documented. For example the
Master usually has the authority and is responsible for the implementation of the drills
program with the cooperation of the Chief Officer. The Cook is responsible to keep the
galley and the stores in a clean condition and is under the supervision of the Master and
the Chief Officer. The ISM code also requires a clear statement emphasizing the
Master’s overriding authority and the responsibility to make decisions with respect to
safety and pollution prevention. The ISO 9001 standard requirements are similar
although they are quality oriented and related to customer satisfaction.
The ISM code and the ISO 9001 require a person ashore to be assigned with specific
duties and responsibilities relevant to the implementation of their requirements. Thus,
the ISM code requires a Designated Person Ashore (DPA) who ensures and monitors
the safe operation of company ships providing links between the company and the crew
onboard. The DPA is required to have direct access to the highest level of
management. On the other hand the ISO 9001 standard requires the position of a
Quality Management Representative who is to be assigned with the responsibility and
authority to ensure that the quality management system processes are established,
implemented and maintained. He is also responsible to report to the top management
regarding the performance of the quality management system and he is required to
make the company aware of the customer’s requirements.
Regarding human resources the ISM code states that the company should ensure that
each ship is manned with seafarers who have the appropriate qualifications,
certifications according to national and international requirements. Moreover, the ISM
code requires that the seafarers are also medically fit for the job. Another requirement of
the ISM code is that all crew/personnel with duties related to safety and environment
protection should be appropriately familiarized in order to ensure that the duties will be
conducted on a safe and environmental friendly way. Such familiarization is usually
conducted according to company developed forms as well as any training products that
may be required according to company procedures. Needless to say that for all the
above records are to be maintained.
ISO’s 9001 requirements are similar although they are more generalized requiring also
an evaluation on the effectiveness of actions taken and making personnel aware on
how to contribute to quality objectives.
One requirement that is not contained in the ISO 9001 but is mentioned within the ISM
code is Emergency Preparedness. ISM requires that potential shipboard emergency
situations should be identified and described in order to ensure that they are confronted
and efficiently responded. This requirement may take the form of checklists, drills
procedures, posters etc. which should specific and simple instructions on what to do in
case of an emergency. The closest requirement of ISO 9001 to
emergency preparedness is the need for control of non-conforming products.
Bridge Operations Management
In order to navigate safely an effective command, communications, procedures and

controls needs to be established. Passage planning is conducted to assess the safest
and most economical sea route between ports, as well as to identify and recognize any
possible hazards so as to avoid them. Equipment can fail and unexpected situations
may arise, so there is a need for a contingency planning in order to be ready to face the
unexpected. Watch officers at sea need to be able to keep a proper look-out and to
monitor charts and the radar. Bridge notes should be provided in order to explain how to
handle specific equipment and how to conduct maintenance procedures where needed.
All of the above are just a minor fracture of the operations being conducted onboard a
ship’s bridge and they emphasize the need to have well developed plans for shipboard
operations according to the requirements of the ISM code. Planning of operations is
also a requirement of the ISO 9001 standard. Every shipping company should provide
practical guidance concerning safe navigation and its policies should include:
1. a clear statement that safety of life and safety of the ship are the most important
operational factor
2. allocation of bridge duties and responsibilities
3. voyage planning procedures
4. chart and nautical publication correction procedures
5. essential navigation equipment is available and fully operational
6. contingency response plans
7. accident and near miss reporting procedures;

8. recording of voyage events;
9. familiarization training and handover procedures;
10. company contacts, including the designated person under the ISM Code.
Engine Room Operations Management
A well-managed ship requires, apart from a well-organized and with defined procedures
bridge, an effective management in the engine room. The ISM code as well as ISO
9001 standard require specific planning for the ship’s operations and so as in the case
of bridge operations, planning is also required for engine room operations and therefore
procedures for identifying and controlling the operation of main and auxiliary machinery,
steering gear, bunkering, waste management etc. as well as orders and guidance
notes, are required in order to ensure safe operation of all involved equipment as well
as the safety of the crew. Therefore it is essential to have a well-documented system on
Engine department organization, defining duties and responsibilities, Maintenance
procedures stating best practices, reporting methods and safety instructions etc.
Generalization
To sum up the ISM code emphasizes the role of the management in safety and pollution
prevention. The implementation of the ISM code is mandatory in order to be able to be
engaged in the maritime market.
On the other hand the implementation of ISO 9001 standard in the shipping industry can
provide benefits related to the improvement of the service quality provided by the
company as well as enhancing customer satisfaction.
As explained above by implementing the ISM code a company is in a way also

implementing some of the ISO 9001 requirements. Efforts should be made during
implementation of both the ISM code and the ISO 9001 standard in order to avoid high
bureaucracy levels which can make the implementation and the maintenance of an
effective Integrated Management System problematic.
Implementing both ISM and ISO 9001 surely is for the benefit of the company but high
bureaucratic levels should be avoided in order to avoid procedures being more
complicated than it is required.
Additional Readings:
ABS Guide for Marine Management Systems
QHSE– The Essentials of an Integrated Management System
Integrated Management Systems Onboard Ships

Integrated Management Systems Ships Operating Companies
There are many common or interfacing requirements between the ISM code and ISO
9001, ISO 14001, and ISO 45001 or OHSAS 18001, therefore any combination of these
systems leads to a more efficient way of managing safety, quality, environmental
issues, and occupational health safety and Energy Management.
The ISM Code focuses on the safe management and operation of ships and pollution
prevention.
The ISO 9001 series is designed to ensure that customer requirements for quality are
met.
ISO 14001 provides the elements of an effective environmental management system.
ISO 45001 or OHSAS 18001 gives requirements for an occupational health and safety
(OH&S) management system, to enable an organization to control its OH&S risks and
improve its performance.
These standards together with the ISM Code are complementary in nature and may be
integrated in one management system.
ISO Certification Process - ISO 9001 Made Easy

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Assignment: 1URL: 1Quiz: 1
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 Lesson 7: Major Revisions and Updates of the STCW 1978 in

1984, 1995, 2010 and 2017
1. Explain the revised requirements on hours of work and rest and new
requirements for the prevention of drug and alcohol abuse, as well as updated
standards relating to medical fitness standards for seafarers;
2. State the new requirements relating to training in modern technology such as
electronic charts and information systems;
3. State the new requirements for marine environment awareness training and
training in leadership and teamwork;
4. State the updating of competence requirements for personnel serving on board
all types of tankers, including new requirements for personnel serving on liquefied gas
tankers
5. State the new requirements for security training, as well as provisions to ensure
that seafarers are properly trained to cope if their ship comes under attack by pirates
6. State the new training guidance for personnel operating Dynamic Positioning
Systems - New training guidance for personnel serving on board ships operating in
polar water
1. the revised requirements on hours of work and rest and new requirements for the
prevention of drug and alcohol abuse, as well as updated standards relating to medical
fitness standards for seafarers
2. the new requirements relating to training in modern technology such as

electronic charts and information systems
3. the new requirements for marine environment awareness training and training in
leadership and teamwork
4. the updating of competence requirements for personnel serving on board all
types of tankers, including new requirements for personnel serving on liquefied gas
tankers
5. the new requirements for security training, as well as provisions to ensure that
seafarers are properly trained to cope if their ship comes under attack by pirates
6. the new training guidance for personnel operating Dynamic Positioning Systems
- New training guidance for personnel serving on board ships operating in polar waters

Assignment: 1
Progress: 0 / 1
 Lesson 8: Issue of STCW certificates and Certification

Requirements
1. Explain the International Maritime Organization’s Maritime Safety Committee

(MSC) adoption by resolution MSC.416(97), which amends the International Convention
on Standards of Training, Certification and Watchkeeping for Seafarers (STCW), 1978,
along with resolution MSC.417(97), which amends Part A of the STCW Code;
2. State the Qualifications of officers in accordance with chapter V of the STCW
Convention, 1978, as amended, and a table provided specifying the appropriate level of
training required by the Polar Code; and
3. State the requirements set out in Regulation V/4 of the STCW Convention and
detailed in Section A-V/4 of the STCW Code , as amended, to support the functional
requirement for training in Chapter 12 of the Polar Code with new mandatory minimum
requirements for the training and qualifications of Masters and deck officers on ships
operating in polar waters.
1. International Maritime Organization’s Maritime Safety Committee (MSC) adoption

by resolution MSC.416(97), along with resolution MSC.417(97), which amends Part A of
the STCW Code and
2. Regulation V/4 of the STCW Convention and detailed in Section A-V/4 of the
STCW Code , as amended, to support the functional requirement for training in Chapter
12 of the Polar Code with new mandatory minimum requirements for the training and
qualifications of Masters and deck officers on ships operating in polar waters.

The International Convention on Standards of Training, Certification and Watchkeeping
for Seafarers, 1978 (STCW Convention), aims to promote safety of life and property at
sea and protection of the marine environment by establishing international standards of
training, certification and watch keeping for seafarers.
This publication contains the Final Act of the 2010 Conference of Parties to the 1978
STCW Convention, resolutions adopted by that Conference, and a complete,
consolidated text of the STCW Convention, including its original articles, revised annex
and supporting STCW Code.
Copy of STCW 2011 Edition
Upon clicking the picture of the 2011 Edition IMO STCW Convention the monitor will
present the contains of the Final Act of the 2010 Conference of Parties. The publication
together with Annex provide the legal framework for application of the mandatory
technical standards contains in STCW Code Part A. From any point of view, one of the
most important and major marine publications crew must have onboard.
The text of the present regulatory document also includes the so-called Manila
amendments dated 2010. The main body of the paper contains all original articles of the
above mentioned Convention, revised Annex to the Convention, and the STCW Code
that supports it. The articles of the STCW Convention together with the Annex are
supposed to form the legal framework for the mandatory technical standards.
In addition to that, the STCW Code provides required technical guidance to assist
people involved in the training of the seafarers or assessing their competence. Though
not considered mandatory, this guidance was harmonized through numerous
discussions held with IMO.
Role of MSC in IMO according to Singh (2020):
The Maritime Safety Committee (MSC) is the highest technical body of the International
Maritime Organization (IMO). All Member States can sit on this committee.
The functions of the Maritime Safety Committee are to consider any matter within the
IMO's scope that is concerned with:
 aids to navigation
 construction and equipment of vessels
 manning from a safety standpoint
 rules for the prevention of collisions
 handling of dangerous cargoes
 maritime safety procedures and requirements
 hydrographic information
 log-books and navigational records
 marine casualty investigations
 salvage and rescue
 ships and port security
 piracy and any other matters directly affecting maritime safety.
Shaping Maritime Safety and Security

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The International Maritime Organization’s Maritime Safety Committee (MSC) adoption
by resolution MSC.416(97), which amends the International Convention on Standards of
Training, Certification and Watchkeeping for Seafarers (STCW), 1978, along
with resolution MSC.417(97), which amends Part A of the STCW Code.
The requirements set out in Regulation V/4 of the STCW Convention and detailed in
Section A-V/4 of the STCW Code , as amended, to support the functional requirement
for training in Chapter 12 of the Polar Code with new mandatory minimum requirements
for the training and qualifications of Masters and deck officers on ships operating in
polar waters.
Specification of minimum standard of competence in basic trainingfor ships operating in

polar waters:
STCW Code Table A-V/4-1
STCW Code Table A-V/4-2
Related Topics:
Guidelines for Ships Operating in Polar Waters
How the Polar Code protects the environment
Polar Code Ship Safety (infographic)
Polar Code Text as Adopted
Polar Code Table
Assignments: 2
Progress: 0 / 2
 Lesson 9: Objectives of ISO 14001:2015

Explain the different implications of the ISO 14001:2015 for the

management system in place in shipping industry in relation to
environmental management system

Using a multimedia equipment, students will present and discuss

their assigned topics on the topic on the different implications of
the ISO 14001:2015 for the management system in place in
shipping industry in relation to environmental management
system

Sustainability is one of the biggest challenges that shipping companies need to manage
in order to survive in a growing and competitive market. Making Environmental
Management Systems (EMS) an integral part of their operations can help organizations
to face new customer expectations and give response to other pressures, such as legal
obligations. In this article, learn how implementation of ISO 14001 for shipping
companies helps to achieve sustainability objectives.
The importance of environmental regulation in shipping

Some decades ago, poor environmental legislation existed in relation to shipping
activities. Since then, this has changed drastically, and there is a high legislation
pressure over the maritime environment. In this sense, ISO 14001 requires compliance
with environmental protection laws, and in the shipping industry, MARPOL and the
International Management System code contain the most important regulations.
MARPOL is the principal international convention to prevent marine pollution by ships

both from regular operation and accidents. In addition, the International Management
System (ISM) code is utilized to protect the marine environment from the activities
conducted by ships.
Many procedures included in the ISM code involve environmental issues of the fleet and
can be associated with the compliance with the environmental management standard
requirements. Some examples are procedures for spill contingency, procedures for
bunkering, procedures for delivering garbage, etc.
Benefits of implementing an Environmental Management System
Among the quantifiable advantages from implementing ISO 14001, we can find a
reduction in the resource consumption (energy, water, and raw materials) and
minimization in waste generation. Consequently, there is an enhancement of the
company’s effectiveness and efficiency.
Other benefits that aren’t directly quantifiable and which arise from ISO implementation
include:
· Better corporate image and reputation
· Giving response to customers’ environmental needs and expectations
· Improvement of relationships with authorities, local communities, and other

stakeholders, which facilitates obtaining benefits, permits, and licenses
· Compliance with environmental legal regulations and contractual requirements,

ensuring protection from prosecution or fines
· Enhancement of internal processes related to the environmental protection
· Achieving better environmental performance
· Reducing environmental risks
· Raising competitiveness in the marketplace

ISO 14001: An opportunity to face
environmental challenges in the shipping
industry
The ISO 14001 standard guides organizations through the identification of their
environmental aspects within their processes, as well as measurement and control of
their environmental impacts. Adopting an Environmental Management System
transforms shipping companies into proactive organizations in relation to managing
environmental impacts derived from their operations. Therefore, implementing the ISO
14001 requirements allows shipping businesses to decrease environmental impacts and
reduce costs, thereby increasing their productivity.
Discover the new ISO 14001:2015 (Environmental Management System)

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Application of Life Cycle Assessment (LCA) from ISO 14001

in shipping
Shipping companies need to consider a life cycle perspective when determining their
environmental aspects. Although it doesn´t need to be highly detailed, it helps
businesses to know which life cycle stages can be controlled or influenced by the
organization. Life cycle assessment is based on the “cradle to grave” approach, starting
with raw material extraction and culminating with either final disposal or recycled
material.
In shipping, we can break down the life cycle in successive phases, such as designing,
building, exploiting, and scrapping. In the following figure is described each stage of the
shipping life cycle.
Once every phase has been defined, we need to analyze related inputs and outputs.
ISO 14001 Aspects Impacts in a Nutshell

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Understanding environmental aspects and impacts

associated with shipping operation
Global trading is driven by maritime transportation, generating a great number of
environmental impacts associated with activities performed by shipping companies.
Although many regulation efforts have been conducted to mitigate pollution derived from
shipping activities, marine transportation is still causing several impacts on the marine
environment. ISO 14001 is a useful tool that can help shipping companies to reduce
those environmental impacts.
ISO 14001 requires, in the first place, to determine the environmental aspects related to
the processes performed in shipping, and then to evaluate the significance of their
impact in order to carry out the necessary actions.
Catalogue of environmental
aspects
Environmental Aspects are the ways that the processes of a company interact with the
environment around it. Thought should be given to the aspects that can be controlled
directly, as well as those that can only be influenced. Although there is no single correct
approach on how to identify these, Appendix A of ISO 14001 provides some categories
to consider when you are trying to identify the environmental aspects of your activities.
Here are the categories and some examples of aspects to consider:
Emissions to Air
· Smoke stacks that expel exhaust from furnaces
· Vented fume hoods that release chemicals outside of the building
· Exhaust from delivery vehicles
· Exhaust from supplier delivery vehicles (influence by choice of supplier closer to
facilities?)
· Areas with risk of fire that will expel pollutants into the air
Releases to Water
· Waste chemicals that are expelled into the sewage system
· Uncontained spills that may leak to nearby rivers or ponds

· Uncontained spills that can drain into road storm sewer systems
· Rinsing of laboratory glassware (e.g. test tubes, pipettes) in sinks leading to
sewage system
Releases to Land
· Uncontained spills that may contaminate land near facilities
· Waste products that could contaminate landfill sites
· Dumping of waste products on land near facility (such as an area designated for
collection of waste that is unprotected and spills into nearby lands)
Use of Raw Material and Natural Resources
· Usage of chemicals (such as Chlorine gas, alcohol for cleaning or rare helium)
· Usage of water for processing
· Usage of metals for machining
· Usage of cleaning agent (such as detergents or de-greaser products)
Use of Energy
· Electricity usage for machinery, computers & lighting
· Natural Gas usage for heat or furnaces
· Diesel for delivery trucks
Energy Emitted
· Heat energy from facilities that affects the area around the facilities
· Radiation energy that could affect animals and birds flying near the emitter
· Vibration energy that could affect flora or fauna (such as large machines that
shake the ground)
Waste and By-products
· Waste paper from offices
· Waste plastic from packaging
· Hazardous chemical waste (both in chemical form and materials contaminated
with chemicals such as filters from a vent hood)
· Waste metal from machining
· Scrap products and their constituent parts
· Materials produced during production that are not the main deliverable product
· Computers & hardware at the end of its life
· Disposal of cleaning agent (such as detergents or de-greaser products)
Physical Attributes
· Size of facility such as proximity to wildlife
· Shape of facilities (do you have unused space due to your facility shape)
· Color/ Appearance of your building that could affect wildlife (such as large glass
windows that could be hit by birds)
Environmental aspect identification and classification

One of the most confusing parts of the ISO 14001 standard is the concept of
environmental aspects, what they are, and how they should be used by the
organization. This is an important element of the ISO 14001 environmental
management system, as it is the first step outlined in the planning process, so
understanding it is key to a good implementation of the ISO 14001 standard.
What is an environmental aspect?
Simply put, an environmental aspect is any part of your company’s activities that can
interact with the environment, either positively or negatively. This could be chemicals
that are emitted into the air from a vent during one of your processes, or chemicals that
could be expelled in your wastewater. This could also be taking into account the use of
resources that your processes utilize, or the environmental effect of the amount of
waste you dispose of. The important thing is to review each of your processes and
determine what environmental interactions there are.
It is important to look at all factors of the environment when reviewing your processes to
determine the aspects. I like to think of six different categories when I think of the
aspects:
· emissions to air
· pollution of land
· discharge of water
· use of materials / natural resources
· solid waste management
· hazardous waste
A seventh that can be considered is other local environmental / community issues. By

reviewing the process against each of these categories, it becomes much easier to
visualize how the process can affect the environment, and this is what the
environmental aspects are.
The difference between control and influence

The second thing that is specified in the requirements is to determine if you have control
over the aspect, or only influence. Probably the best way to think of this is through an
example. Say you have a manufacturing process that uses a raw material, but makes
5% scrap. You have the control over the process to make improvements to reduce the
amount of scrap, and therefore reduce the amount of raw material that is used in the
process. This is an example of an aspect you have control over.
A second example that I have personal experience of is a process that has scrap metal
for which you need a metal recycle dealer to come and remove the metal. In this case,
you do not have any control over how much fuel is used by the dealer’s trucks. They
could be well maintained, or poorly maintained, and you wouldn’t know. However, you
could choose a metal recycler that is closer to your facility rather than one in a more
distant city, because the closer dealer would, by default, use less fuel to remove your
recyclable metal than one farther away. This is an example of how a decision can
influence the environmental aspects not directly controlled by your company.
What are significant environmental aspects?

The ISO 14001 standard is very open about what is meant by “significant” when it
comes to determining the significance of environmental aspects. The only requirement
is that the company must determine what aspects have, or can have, a significant
impact on the environment. The first place to look for a definition would be any legal
environmental requirements that are placed on your company’s processes. If any are in
place, it is probably safe to say that the process in question can have significant impact
on the environment, and should be noted as such.
A second place to look would be any industry best practices with respect to the
environment. If others in your industry are dealing with environmental interaction, you
may need to consider them as significant as well. An example would be in the chemical
industry, where handling dangerous chemicals requires special training, an indication
that the aspect of a chemical spill should be considered significant. Failing any outside
indications of what could be significant, it is up to the company to determine a definition
and then use it to classify the aspects that the company has identified.
Why determine the environmental aspects

The whole reason for determining the environmental aspects is summarized in the final
requirement of clause 4.3.1 in the ISO 14001 standard; take them into account when
establishing and maintaining the environmental management system. The reason for
the aspects is to provide the data required to decide what processes need to be
monitored and controlled, and which processes are the best targets to provide the best
improvements in the environmental impact of your company. This is also a reason to
keep them up to date, as is required by the standard. If your processes change and you
do not update how the new process affects the environment, then the data you are
using to judge the process for improvement is lacking. This may, in turn, lead to poor
results in your improvement activities. By knowing and controlling the aspects, you are
controlling the environmental risks associated with your activities, thus providing good
risk assessment and management for the areas where your company processes can
impact the environment.
An environmental aspect is an element found in the activities, products, or services of

an organization that can interact with the environment. While an impact, according to
ISO 14001, is a change produced in the environment by an organization as a
consequence of its environmental aspects, this change can be either adverse or
beneficial.
Below, a table is shown containing some of the environmental aspects found during the
operation of a ship, and their related impacts:
In order to reduce those significant environmental impacts found during operation, it will
be required to place operational controls to mitigate and control those environmental
aspects.
Benefits of implementing an Environmental Management System
Among the quantifiable advantages from implementing ISO 14001, we can find a
reduction in the resource consumption (energy, water, and raw materials) and
minimization in waste generation. Consequently, there is an enhancement of the
company’s effectiveness and efficiency.
Other benefits that aren’t directly quantifiable and which arise from ISO implementation
include:
· Better corporate image and reputation
· Giving response to customers’ environmental needs and expectations
· Improvement of relationships with authorities, local communities, and other

stakeholders, which facilitates obtaining benefits, permits, and licenses
· Compliance with environmental legal regulations and contractual requirements,

ensuring protection from prosecution or fines
· Enhancement of internal processes related to the environmental protection
· Achieving better environmental performance
· Reducing environmental risks
· Raising competitiveness in the marketplace
.
ISO 14001: An opportunity to face environmental challenges in the shipping
industry
The ISO 14001 standard guides organizations through the identification of their
environmental aspects within their processes, as well as measurement and control of
their environmental impacts. Adopting an Environmental Management System
transforms shipping companies into proactive organizations in relation to managing
environmental impacts derived from their operations. Therefore, implementing the ISO
14001 requirements allows shipping businesses to decrease environmental impacts and
reduce costs, thereby increasing their productivity.
Good planning gives good results

The whole idea of the ISO 14001 environmental management system is to give your
company a framework for assessing how you affect the environment, and how you work
to reduce your negative impacts and increase your positive impacts. Determining and
maintaining the environmental aspects of your processes is the first step in planning to
make a positive change in your company, your surroundings and the world.
ISO 140012015 Training - Environmental Management

Play Video
ISO 14001:2015 (EMS-Environmental Management System)
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 Lesson 10: OHSAS 18001 Implementation

1. Explain OHSAS 18001 implementation based on the process of recognizing that
a hazard exists (source or situation with the potential to cause harm in terms of human
injury or ill-health)
2. State the process of evaluating the risk arising from the hazard (combination of
the likelihood of a hazardous event or exposure and the severity of injury or ill health
that can be caused by the event of exposure)
3. State the measures relevant to eliminate or reduce risk to an acceptable level
basing on the hierarchy of control measures
4. Explain the compatibility of OHSAS 18001 Occupational Health & Safety
Management System with the ISO 9001 (Quality) and ISO 14001(Environmental)
management systems standards for easier integration of quality, environmental and
occupational health & safety management systems by organizations
5. Explain ISO 14001 on managing the organization's impact on the external
environment, to reduce pollution and comply with regulations.
6. Explain the OHSAS 18001 on managing the organization's internal environment
to ensure a safe and healthy workplace onboard.
Using a multimedia equipment, students will present and discuss their assigned topics
on:
1. the outline OHSAS 18001 implementation based on the process of recognizing
that a hazard exists (source or situation with the potential to cause harm in terms of
human injury or ill-health);
2. the measures relevant to eliminate or reduce risk to an acceptable level basing
on the hierarchy of control measures;
3. the compatibility of OHSAS 18001 Occupational Health & Safety Management
System with the ISO 9001 (Quality) and ISO 14001(Environmental) management
systems standards for easier integration of quality, environmental and occupational
health & safety management systems by organizations;
4. the ISO 14001 on managing the organization's impact on the external
environment, to reduce pollution and comply with regulations; and
5. the OHSAS 18001 on managing the organization's internal environment to

ensure a safe and healthy workplace onboard.

An Occupational Health and Safety Management System (OHSMS) is a fundamental

part of your organization's risk management strategy. The new ISO 45001 Occupational
Health and Safety Management Systems (OHSMS) promotes a safe and healthy
working environment to:
 Reduce occupational health and safety risk

 Prevent work-related incidents
 Improve legislative compliance
OHSAS 18001 implementation in terms of human injury or ill-health.
Guide to implementing a Health & Safety Management System (PDF)
The process of evaluating the risk arising from the hazard
What is a risk assessment?
Risk assessment is a term used to describe the overall process or method where you:
Identify hazards and risk factors that have the potential to cause harm (hazard
identification).
Analyze and evaluate the risk associated with that hazard (risk analysis, and risk
evaluation).
Determine appropriate ways to eliminate the hazard, or control the risk when the hazard
cannot be eliminated (risk control).
A risk assessment is a thorough look at your workplace to identify those things,

situations, processes, etc. that may cause harm, particularly to people. After
identification is made, you analyze and evaluate how likely and severe the risk is. When
this determination is made, you can next, decide what measures should be in place to
effectively eliminate or control the harm from happening.

The CSA Standard Z1002 "Occupational health and safety - Hazard identification and
elimination and risk assessment and control" uses the following terms:
Risk assessment – the overall process of hazard identification, risk analysis, and risk
evaluation.
Hazard identification – the process of finding, listing, and characterizing hazards.
Risk analysis – a process for comprehending the nature of hazards and determining the
level of risk.
Notes:
(1) Risk analysis provides a basis for risk evaluation and decisions about risk control.
(2) Information can include current and historical data, theoretical analysis, informed
opinions, and the concerns of stakeholders.
(3) Risk analysis includes risk estimation.
Risk evaluation – the process of comparing an estimated risk against given risk criteria
to determine the significance of the risk.
Risk control – actions implementing risk evaluation decisions. Note: Risk control can
involve monitoring, re-evaluation, and compliance with decisions.
For definitions and more information about what hazards and risks are, please see the
OSH
Why is risk assessment important?
Risk assessments are very important as they form an integral part of an occupational
health and safety management plan.
They help to:
· Create awareness of hazards and risk.
· Identify who may be at risk (e.g., employees, cleaners, visitors, contractors, the
public, etc.).
· Determine whether a control program is required for a particular hazard.
· Determine if existing control measures are adequate or if more should be done.
· Prevent injuries or illnesses, especially when done at the design or planning
stage.
· Prioritize hazards and control measures.
· Meet legal requirements where applicable.
What is the goal of risk assessment?
The aim of the risk assessment process is to evaluate hazards, then remove that
hazard or minimize the level of its risk by adding control measures, as necessary. By
doing so, you have created a safer and healthier workplace.
The goal is to try to answer the following questions:
a. What can happen and under what circumstances?
b. What are the possible consequences?
c. How likely are the possible consequences to occur?
d. Is the risk controlled effectively, or is further action required?
When should a risk assessment be done?
There may be many reasons a risk assessment is needed, including:
· Before new processes or activities are introduced.
· Before changes are introduced to existing processes or activities, including when
products, machinery, tools, equipment change or new information concerning harm
becomes available.
· When hazards are identified.

How do you plan for a risk assessment?
In general, determine:
· What the scope of your risk assessment will be (e.g., be specific about what you
are assessing such as the lifetime of the product, the physical area where the work
activity takes place, or the types of hazards).
· The resources needed (e.g., train a team of individuals to carry out the
assessment, the types of information sources, etc.).
· What type of risk analysis measures will be used (e.g., how exact the scale or
parameters need to be in order to provide the most relevant evaluation).
· Who are the stakeholders involved (e.g., manager, supervisors, workers, worker
representatives, suppliers, etc.).
· What relevant laws, regulations, codes, or standards may apply in your
jurisdiction, as well as organizational policies and procedures.
How is a risk assessment done?
Assessments should be done by a competent person or team of individuals who have a

good working knowledge of the situation being studied. Include either on the team or as
sources of information, the supervisors and workers who work with the process under
review as these individuals are the most familiar with the operation.
In general, to do an assessment, you should:
· Identify hazards.
· Determine the likelihood of harm, such as an injury or illness occurring, and its
severity.
o Consider normal operational situations as well as non-standard events such as

maintenance, shutdowns, power outages, emergencies, extreme weather, etc.
o Review all available health and safety information about the hazard such as Safety
Data Sheet (SDS), manufacturers literature, information from reputable organizations,
results of testing, workplace inspection reports, records of workplace incidents
(accidents), including information about the type and frequency of the occurrence,
illnesses, injuries, near misses, etc.
o Understand the minimum legislated requirements for your jurisdiction.
· Identify actions necessary to eliminate the hazard, or control the risk using the
hierarchy of risk control methods.
· Evaluate to confirm if the hazard has been eliminated or if the risk is appropriately
controlled.
· Monitor to make sure the control continues to be effective.
· Keep any documents or records that may be necessary. Documentation may
include detailing the process used to assess the risk, outlining any evaluations, or
detailing how conclusions were made.
When doing an assessment, also take into account:
· The methods and procedures used in the processing, use, handling or storage of
the substance, etc.
· The actual and the potential exposure of workers (e.g., how many workers may
be exposed, what that exposure is/will be, and how often they will be exposed).
· The measures and procedures necessary to control such exposure by means of
engineering controls, work practices, and hygiene practices and facilities.
· The duration and frequency of the task (how long and how often a task is done).
· The location where the task is done.
· The machinery, tools, materials, etc. that are used in the operation and how they
are used (e.g., the physical state of a chemical, or lifting heavy loads for a distance).
· Any possible interactions with other activities in the area and if the task could
affect others (e.g., cleaners, visitors, etc.).
· The lifecycle of the product, process or service (e.g., design, construction, uses,
decommissioning).
· The education and training the workers have received.
· How a person would react in a particular situation (e.g., what would be the most
common reaction by a person if the machine failed or malfunctioned).

It is important to remember that the assessment must take into account not only the
current state of the workplace but any potential situations as well.
By determining the level of risk associated with the hazard, the employer, and the health
and safety committee (where appropriate), can decide whether a control program is
required and to what level.
How are the hazards identified?
Overall, the goal is to find and record possible hazards that may be present in your
workplace. It may help to work as a team and include both people familiar with the work
area, as well as people who are not - this way you have both the experienced and fresh
eye to conduct the inspection. In either case, the person or team should be competent
to carry out the assessment and have good knowledge about the hazard being
assessed, any situations that might likely occur, and protective measures appropriate to
that hazard or risk.
To be sure that all hazards are found:
· Look at all aspects of the work.
· Include non-routine activities such as maintenance, repair, or cleaning.
· Look at accident / incident / near-miss records.
· Include people who work off site either at home, on other job sites, drivers,
teleworkers, with clients, etc.
· Look at the way the work is organized or done (include experience of people
doing the work, systems being used, etc.).
· Look at foreseeable unusual conditions (for example: possible impact on hazard
control procedures that may be unavailable in an emergency situation, power outage,
etc.).
· Determine whether a product, machine or equipment can be intentionally or

unintentionally changed (e.g., a safety guard that could be removed).
· Review all of the phases of the lifecycle.
· Examine risks to visitors or the public.
· Consider the groups of people that may have a different level of risk such as
young or inexperienced workers, persons with disabilities, or new or expectant mothers.
It may help to create a chart or table such as the following:
How do you know if the hazard will cause harm (poses a risk)?
· Each hazard should be studied to determine its' level of risk. To research the
hazard, you can look at:
· Product information / manufacturer documentation.
· Past experience (knowledge from workers, etc.).
· Legislated requirements and/or applicable standards.
· Industry codes of practice / best practices.
· Health and safety material about the hazard such as safety data sheets (SDSs),
research studies, or other manufacturer information.
· Information from reputable organizations.
· Results of testing (atmospheric or air sampling of workplace, biological swabs,

etc.).
· The expertise of an occupational health and safety professional.
· Information about previous injuries, illnesses, near misses, incident reports, etc.
· Observation of the process or task.
Remember to include factors that contribute to the level of risk such as:
· The work environment (layout, condition, etc.).

· The systems of work being used.
· The range of foreseeable conditions.
· The way the source may cause harm (e.g., inhalation, ingestion, etc.).
· How often and how much a person will be exposed.
· The interaction, capability, skill, experience of workers who do the work.
How are risks ranked or prioritized?
Ranking or prioritizing hazards is one way to help determine which risk is the most
serious and thus which to control first. Priority is usually established by taking into
account the employee exposure and the potential for incident, injury or illness. By
assigning a priority to the risks, you are creating a ranking or an action list.
There is no one simple or single way to determine the level of risk. Nor will a single
technique apply in all situations. The organization has to determine which technique will
work best for each situation. Ranking hazards requires the knowledge of the workplace
activities, urgency of situations, and most importantly, objective judgement.
For simple or less complex situations, an assessment can literally be a discussion or

brainstorming session based on knowledge and experience. In some cases, checklists
or a probability matrix can be helpful. For more complex situations, a team of
knowledgeable personnel who are familiar with the work is usually necessary.
As an example, consider this simple risk matrix. Table 1 shows the relationship between
probability and severity.
Severity ratings in this example represent:
· High: major fracture, poisoning, significant loss of blood, serious head injury, or
fatal disease
· Medium: sprain, strain, localized burn, dermatitis, asthma, injury requiring days
off work
· Low: an injury that requires first aid only; short-term pain, irritation, or dizziness
Probability ratings in this example represent:
· High: likely to be experienced once or twice a year by an individual
· Medium: may be experienced once every five years by an individual
· Low: may occur once during a working lifetime
The cells in Table 1 correspond to a risk level, as shown in Table 2.

These risk ratings correspond to recommended actions such as:
· Immediately dangerous: stop the process and implement controls
· High risk: investigate the process and implement controls immediately
· Medium risk: keep the process going; however, a control plan must be developed
and should be implemented as soon as possible
· Low risk: keep the process going, but monitor regularly. A control plan should
also be investigated
· Very low risk: keep monitoring the process
Let's use an example: When painting a room, a step stool must be used to reach higher
areas. The individual will not be standing higher than 1 meter (3 feet) at any time. The
assessment team reviewed the situation and agrees that working from a step stool at 1
m is likely to:
· Cause a short-term injury such as a strain or sprain if the individual falls. A severe
sprain may require days off work. This outcome is similar to a medium severity rating.
· Occur once in a working lifetime as painting is an uncommon activity for this
organization. This criterion is similar to a low probability rating.

When compared to the risk matrix chart (Table 1), these values correspond to a low
risk.
The workplace decides to implement risk control measures, including the use of a stool
with a large top that will allow the individual to maintain stability when standing on the
stool. They also determined that while the floor surface is flat, they provided training to
the individual on the importance of making sure the stool's legs always rest on the flat
surface. The training also included steps to avoid excess reaching while painting.
What are methods of hazard control?
Once you have established the priorities, the organization can decide on ways to control
each specific hazard. Hazard control methods are often grouped into the following
categories:
· Elimination (including substitution).
· Engineering controls.
· Administrative controls.
· Personal protective equipment.
Why is it important to review and monitor the assessments?

It is important to know if your risk assessment was complete and accurate. It is also
essential to be sure that any changes in the workplace have not introduced new
hazards or changed hazards that were once ranked as lower priority to a higher priority.
It is good practice to review your assessment on a regular basis to make sure your
control methods are effective.
What documentation should be done for a risk assessment?
Keeping records of your assessment and any control actions taken is very important.
You may be required to store assessments for a specific number of years. Check for
local requirements in your jurisdiction.
· The level of documentation or record keeping will depend on:
· Level of risk involved.
· Legislated requirements.
· Requirements of any management systems that may be in place.
Your records should show that you:
· Conducted a good hazard review.
· Determined the risks of those hazards.
· Implemented control measures suitable for the risk.
· Reviewed and monitored all hazards in the workplace.
5 Best Risk Assessment Control Measures with Examples
Control measures are the things you put in place to reduce risk and prevent harm. A
successful risk assessment must check existing controls, and consider if you need to do
more. In this blog post, we look at the five best risk assessment control measures (with
examples), and in which order you should apply them.
A key question for any risk assessment is, how exactly you are going to control the
risks? After all, a risk assessment isn't just a list of the risks. It's an assessment. You
are assessing the risk and deciding whether or not it is safe enough to proceed. Once
you have spotted the hazards involved and calculated the risks, you now need to get
those risks under control. A successful risk assessment should check the existing
precautions you have in place, and then decide if you need more to prevent harm.
The things you do to reduce the risk are known as control measures. Control measures
are needed in risk assessment, because what good is assessing risk if you don't reduce
it? And what's the point in a risk assessment if it doesn't make the job safe?
What are control measures in risk assessment?
Control measures are the things you put in place to reduce risk and prevent harm.
Control measures may include one or a mixture of:
· Removal
· Rules
· Procedures
· Equipment
· Exclusions
· Training
· Supervision
· Limitations
· Preventions
· Methods
· Arrangements
There are lots of control measures available. If you tell your team to carry out a task
wearing goggles to protect their eyes, that's a control measure. If you send staff on a
training course to understand how to do something safely, that's a control measure. If
you provide an item of equipment that makes the task safer, that's also a control
measure.
Elimination is the best control measure you can use, to eliminate the risk from the task
entirely. Of course, this is the best control measure, because you are removing the risk
entirely. No risk, no danger, no chance of harm!
While in theory, it may be possible to eliminate every risk. In practice, this would mean
you and your team sitting in a padded room, away from any tools or equipment and not
getting any work done. Great for safety, but not so great for your business.
What elimination is actually about, is eliminating those risks that are unnecessary. For
example, working at height creates a high level of risk, so if instead, you can do the
work from ground level (e.g. using extendable poles or raising and lowering equipment)
then you have eliminated the risk of working at height.
The Hierarchy of Risk Control
The hierarchy of risk control is used when undertaking risk assessment activities, to
control hazards and minimize risk. One of the best ways to both assess existing
controls, and identify new control measures, is to consider how effective they are based
on the hierarchy of risk control.
Hazards are present in all work environments. Controlling the risks that these hazards
present is part of creating a safe work environment. But how would you know how best
to control a hazard? There are so many control measures available, pick the wrong one
and you could be at more risk than you need to be. More than is safe. Not all control
measures are equal.
The hierarchy of risk control is used when undertaking risk assessment activities, to
control hazards and minimize risk. Once you have calculated the level of risk, you
should decide on the precautions or controls needed to reduce the risk.
To control risk, you need to do everything ‘reasonably practicable’. This means

balancing the level of risk against the measures needed to control the real risk in terms
of money, time or trouble. Always aim to reduce the risk as low as is reasonably
practicable.
Can you eliminate the risk by getting rid of the hazard completely? If the hazard cannot
be eliminated, then how can the risks be controlled so that harm is unlikely?
You will probably already have some safety measures in place for a task or activity.
Controlling risks means assessing the adequacy of existing controls or introducing new
controls to prevent harm. When controlling risks, there is a hierarchy of risk control
which should be followed:
1. Elimination
2. Substitution
3. Engineering controls
4. Reduced or limited exposure
5. Good housekeeping
6. Safe systems of work
7. Training and information
8. Personal protective equipment (PPE)
9. Welfare
10.Monitoring and supervision
11.Reviews
This is often simplified into a 5 tier system:
1. Elimination
2. Substitution
3. Engineering Controls
4. Administrative Controls
5. PPE
The top control 'elimination' is most effective, and the list follows in order from most
effective to least effective.
Elimination
Elimination is the best and most effective control. If a hazard is serious, and the risk
cannot be reduced to an acceptable level, then it should be eliminated. There may also
be safer ways to do a job that means a hazard can be eliminated. For example, work at
height can be eliminated if the work can be safely carried out using extendable pole.
Substitution
Substitution is a common control measure that should always be considered. With

changes in technology and advances in manufacturing, safer alternatives are always
becoming available. New equipment might have lower noise and vibration levels. A
scaffold can be used for safer access instead of ladders. A different substance might be
less risk, for example, a different cleaning solution.
Engineering Controls
Engineering controls are a good way of controlling hazards at source. Enclosures,

barriers, guards and insulation. Fixed ventilation. Anything that can be designed and
built to make the work environment safer. This type of control usually provides a safer
environment for everyone, rather than an individual. For example, an enclosure
separates a hazard from everyone outside it. Ventilating hazardous fumes or gases at
source means cleaner and safer air for everyone.
Administrative Controls
Sometimes, it's not possible to reduce the risk any further by changing the equipment or
substance. But you can still reduce the time people are exposed, through work patterns,
monitoring and supervision. Safe systems of work like permits to work can be used for
high-risk activities. Training and inductions can be carried out to raise awareness.
Regular, scheduled activities can be used to maintain safety. Like inspections, testing,
good housekeeping and cleaning.
PPE
This is the last line of defense. It might be least effective on the list, but it doesn't mean
it's not important. Where risk remains, PPE can be a good way of protecting individuals.
It can give protection if the correct PPE is selected for the hazard, and it is used and
maintained correctly.

Multiple Controls
Don't make the mistake of thinking you can only pick one type of control. For complete
protection, to reduce risk to a safe level, multiple controls may be required. Control
measures can work well together. For example in a paint spraying activity, you might
substitute an oil-based paint for water-based paint (substitution). But you might still
choose to carry out the work in an enclosure with fixed ventilation (engineering
controls). Put in place work patterns and to reduce time exposure to hazardous
substances and a cleaning schedule (administrative controls). And provide workers with
gloves, overalls and goggles to prevent skin and eye contact (PPE).
A combination of two or more controls from the hierarchy is often needed to adequately
control the risk, particularly high risks, to a level that is 'reasonably practicable'.
Remember, risks should be as low as is reasonable practicable before work goes
ahead.
Even if you have substituted a high hazard for a low one, you still have a legal
responsibility to reduce risk. And, just because PPE is last on the list, doesn't mean it
can't be a good way to control risk, especially when used with other control measures.
Sometimes, PPE can be vital to the safety of users, especially in emergencies or
difficult work environments.
The Management of Health and Safety at Work Regulations contain the principles of
prevention. This fits in with the hierarchy of controls and which you should always
consider with the hierarchy of controls.
HIERARCHY OF RISK CONTROL

The compatibility of OHSAS 18001 Occupational Health & Safety Management System
with the ISO 9001 (Quality) and ISO 14001(Environmental) management systems
standards for easier integration of quality, environmental and occupational health &
safety management systems by organizations:
Integrated Management Systems (IMS) that combined ISO 9001, ISO 14001 and
OHSAS 18001 into a single management system were introduced in the construction
industry in recent years. These strived to improve an organization's quality,
environmental and occupational health and safety aspects. The common platform and
differences between ISO 9001 Quality Management Systems, ISO 14001
Environmental Management Systems and OHSAS 18001 Occupational Health and
Safety Assessment Systems were discussed.
On the surface, ISO 14001 and OHSAS 18001 might appear to be nearly identical
standards. And because these systems are updated continually, determining what's
different in ISO 14001 or OHSAS 18001 in any given publication can be a challenge.
Indeed, they're both structurally quite similar, and many of the requirements for
receiving 14001 and 18001 certifications are the same. Further, both are used either
together or separately by a vast array of industries focused on worker, consumer and
environmental safety.
However, although there are many similarities between ISO 14001 and OHSAS 18001,

there are two areas where the standards are distinctly different.
Type of Analysis — Hazard/Risk vs. Aspect/Impact

A safety management system that conforms to 18001:2007 requires an organization to
conduct a hazard/risk analysis (14001:2004 requires an aspect/impact analysis) and to
determine appropriate controls. Unlike the aspect/impact analysis, the 18001 standard
requires risk reduction considerations according to a 5 step hierarchy:
· Elimination: Elimination is the physical removal of the hazard so that it no longer

poses a danger to employees. For example, if you knew a particular ingredient was
causing health problems in your workers, you should try to stop using that ingredient
altogether in your products and processes. As the top component in the hierarchy, this
option should be the first line of defense when possible.
· Substitution: Substitution is the second most effective method of risk reduction.

In this option, the hazard is replaced by a similar product that does not produce a risk —
such as switching out a dangerous chemical for a healthier one with similar
characteristics.
· Engineering controls: Rather than removing the hazards altogether,
engineering controls isolate people from the risks. For example, rather than counting on
workers to wear protective face gear to keep from breathing in dangerous fumes, you
could install building ventilation systems.
· Signage/warnings and/or administrative controls: Audio or visual warnings —

such as lights, signs and barriers — may be used to keep people away from a particular
risk. However, their effectiveness depends on human understanding, which is prone to
error. Likewise, you can use administrative controls like employee training and
procedural changes to alter the way people work.
· Personal protective equipment (PPE): PPE includes hard hats, masks, gloves,

safety goggles, non-slip footwear and any other equipment an employee might need to
stay safe on the job. This option is the least efficient when it's used on its own since its
effectiveness relies heavily on fitting, training, maintenance and numerous other factors.
Many organizations manage their risk only by requiring their workers to use personal
protective equipment. However, it is important to understand that the intent of OHSAS
18001 is to reduce risks utilizing the highest measure in the hierarchy where possible
and not to simply use PPE in all cases. Perhaps a combination of engineering controls
and PPE would be warranted. In each risk reduction analysis, careful consideration
should be given to the best option available to the organization.
Health and Safety Management System Participation

A second major difference between the ISO 14001 requirements and the OHSAS 18001
requirements is the need for organizations to ensure employee participation in specific
areas of the management system. As part of its goal to protect workers from
occupational hazards, OHSAS 18001 standards mandate worker involvement. This
involvement should include participation in the hazard/risk and determining controls
process, incident investigations, and development and review of policies and objectives.
In addition, employees (workers) must be consulted on any changes that affect

their occupational health and safety (OH&S) as well as representation on OH&S
matters. Additionally, consultation with contractors is required where changes that affect
their OH&S. And finally, it is important to note that the standard points out that the
OH&S belongs to the workers and/or the contractors.
Effective employee participation requires an occupational health and safety

management system (OH&SMS) to be put into place. An OH&SMS comprises
numerous policies, procedures and plans that determine best practices for your
company's OH&S management. Because each business is unique, you should tailor
these plans to your specifications. However, you'll find a general framework and
guidelines within OHSAS 18001 requirements that will help you manage your OH&SMS
and stay compliant.
Overall, you'll notice a difference in focus between 14001 and 18001 standards. The
ISO 14001 concentrates on managing a company's external environment for regulatory
compliance and reduced pollution. In contrast, the OHSAS 18001 strives to ensure
safety internally in the workplace by getting both workers and management involved in
risk reduction. While the intent of each differs slightly, both an internal and external
focus are essential for maintaining a healthy, compliant organization.
Compare ISO 9001 + ISO 14001

+ ISO 45001
ISO 45001 Occupational Health & Safety Management System was intentionally
developed to be compatible with the ISO 9001 (Quality) and ISO 14001 (Environmental)
management systems standards for easier integration of quality, environmental and
occupational health & safety management systems by organizations. ISO 45001
outlines requirements for an occupational health and safety (OH&S) management
system, to enable an organization to control its OH&S risks and improve its
performance. Like ISO 14001, it does NOT state performance criteria or dictate the
design of a management system.
Guide for Marine Health, Safety, Quality and Environmental

Management
ISO 14001 on managing the organization's impact on the external

environment, to reduce pollution and comply with regulations
Files: 2Assignments: 2
Progress: 0 / 4
 Lesson 11: Company Policy in relation to IMO mission statement

1 Discuss the different significance of the Company’s Policy on the safety, security,

health, environment and quality (SSHEQ) to address on board issues on shipboard
operation in conformity with IMO mission statement.

1. Using a multimedia equipment, students will present and discuss their assigned
topics on the different significance of the Company’s Policy on the safety, security,
health, environment and quality (SSHEQ) to address on board issues on shipboard
operation in conformity with IMO mission statement.

Management 2

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MANAGEM

Lesson 5. STCW Code Section A-VI/6. Mandatory minimum requirements for Security

Lesson 8. Issue of STCW certificates and Certification Requirement

 Lesson 1: Development of ISM Code for the Safe Operation of

2. State the structure of the ISM code

3. State the ISM Code components & objectives

1. the 1994 amendments to SOLAS 1974 which introduced chapter IX to the

2. the structure of the ISM code

3. outline the ISM Code components & objectives

What is ISM Code?

– Establishment of a managerial committee to oversee the various proceedings

· Safety of people on board

· Safety of ship and cargo

· Safety of the marine environment

ISM code is implemented on ships in the following ways:

 Inspection of ship machinery at regular intervals of time

In order to understand ISM, it is important to know definitions of a few important terms

1. Safety Management System (SMS): The safety management system is a structured

2. Document of Compliance: Document of compliance is a certificate issued to a

3. Safety Management Certificate (SMC): Safety management certificate (SMC) is a

SMC should be produced by the ship whenever asked by a PSC.

4. Objective Evidence: Objective evidence is any form of information, records, or

Interviews on the application of ISM Code onboard:

URLs: 4Assignments: 5Quizzes: 3

 Lesson 2. Safety Management System (SMS) Functional

1. State the safety and environmental-protection policy

Learning (student’s activity) Activity:

1. the safety and environmental-protection policy

Small group peer mentoring and oral quiz.

The purpose of the International Safety Management (ISM) Code is to provide an

The International Safety Management Code (ISM Code 1993)

The implementation of an SMS offers the organization’s management a structured set

The SMS onboard Vessel:

Example of responsibility of chart for shore staff:

This is an example of a responsibility chart for onboard personnel:

The following are some examples of drills onboard:

1. Fire fighting drills

2. Life boat and life saving appliances drills

3. Personal protection drills

4. Environmental protection drills

5. Emergency steering drills

6. Man over board drills

7. Medical care drills

8. Personal safety and social responsibility drills

9. Garbage handling drills

Drug and Alcohol Policy

This policy concerns all employed personnel within the Company

The members of the committee shall normally be as follows:

The Master Mariner

The Chief Engineer

The Chief Officer

The employee representatives:

If somebody should bring something in a meeting, talk to the representative of the

Sample of Company's Safety and Protection Policy

The procedures for reporting accidents

A Master's Guide to Shipboard Accident Response

Marine Accident and Incident Investigation Committee

12 Types of Maritime Accidents

Sample of Incident Reporting Procedures

ISM Code: How to handle Non-Conformities

Sample Non Conformity Report

Report of Non-Conformity, Accident or Hazardous Occurrence

Management Review Preparations