Quality assurance in maritime education and training institutions

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World Maritime University Dissertations Dissertations
1995
Quality assurance in maritime education and training institutions

Lin Woon Sim
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WORLD MARITIME UNIVERSITY
Malmo, Sweden
QUALITY ASSURANCE IN MARITIME

EDUCATION AND TRAINING INSTITUTIONS
By
SMUNWOON
Malaysia
A dissertation submitted to the World Maritime University in partial fulfillment

of the requirements for the award of the degree of
MASTER OF SCIENCE
in
MARITIME EDUCATION AND TRAINING

(Nautical)
1995
© Copyright Sim Lin Woon, 1995

DECLARATION
I certify that all the material in this dissertation that is not my own work has been
identified, and that no material is included for which a degree has previously been
conferred on me.
The contents of this dissertation reflect my own personal views, and are not
necessarily endorsed by the University.
( Signature)
(Date)
Supervised by:
Kenji Ishida •'
Associate Professor, Maritime Education and Training Coure^’'-^
Assessed by:
Donald J. Ferguson
Commandant of Midshipmen.
U.S. Merchant Marine Academy
Co- Assessed by:
Danny M. Waters A
Rector.
DECLARATION
I certify that all the material in this dissertation that is not my own work has been
identified, and that no material is included for which a degree has previously been
conferred on me.
The contents of this dissertation reflect my own personal views, and are not
necessarily endorsed by the University.
( Signature)
(Date)
Supervised by;
Kenji Ishida
Associate Professor, MET (E)
Assessed by:
Donald J. Ferguson
Commandant of Midshipmen
U.S. Merchant Marine Academy
Co- Assessed by:
Danny M. Waters
Rector
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Acknowledgements
I would like to thank Professor Kenji Ishida for his guidance in writing this
dissertation. The continuous review of the chapters and interviews that followed,
provided the author with an opportunity to draw from a wider perspective of issues.
His invaluable comments and advice on the chapters helped mould the author’s
methodology in research and writing of this dissertation.
I should also thank Professor Peter Muirhead, who as course professor provided
guidance in preparation and scheduling of research work.
My appreciation to Mr. John Bumes and the WMU library staff for their assistance
in obtaining literature and material for research.
I would also like to express my appreciation to the visiting professors of WMU, and
the various organisations and institutions that I visited during my field trips.
My profound gratitude to the MATES Foundation of Malaysia for providing me with

the scholarship to study at WMU, and the management and staff of the Maritime
Academy of Malaysia (ALAM) for their support and encouragement.
A special thanks to Captain Wan Shukry Wan Karma for his suggestion and guidance
on the selection of this dissertation topic.
Above all, glory to God my saviour and protector, without whom nothing is possible.
iv
ABSTRACT
The dissertation is a research into the existing standards on quality and quality
management systems with particular focus on quality assurance. A study is made of
the different approaches to implementation of quality assurance systems and
adaptation of such approaches in Maritime Education and Training (MET)
institutions.
An examination is made on management theories on quality and quality assurance.

Views of experts on the application of quality assurance systems in the maritime
industry are discussed. Recommendations to the right approaches for implementation
of quality assurance systems in MET institutions are considered.
Existing standards on quality assurance including the bodies that publish them are
identified. Auditing and certification processes are considered and an adaptation is
made of the processes to suit the MET environment
A discussion is made on all the steps necessary for successful implementation of a

quality assurance system in an MET institution. This includes analysis, initiating,
preparing, documenting, training and auditing. The benefits and limitations of some
methods frequently used are discussed and new methods are considered.
The importance of teamwork in MET institutions and its role in the successful
implementation of a quality assurance system in an MET institution is examined-.
Existing and new approaches for appraisal of teaching staff as a method of quality
assurance in MET institutions are considered.
A discussion is made on the impact of international conventions such as the

convention on the Standards of Training, Certification and Watchkeeping (STCW),
on quality assurance in MET institutions.
TABLE OF CONTENTS
Declaration ii
Acknowledgements iv
Abstract v
Table of Contents vi
List of Figures ix
List of Abbreviations x
1 Introduction
1.1 Background 1
1.2 Aim 2
1.3 Approach 3
2 Quality and quality assurance

2.1 Quality 6
2.2 Quality assurance 9
2.3 Standards 13
2.4 Process of standardisation 16
2.5 Certification and Accreditation 20
3 Initiating, setting up and auditing a quality

assurance system in an MET institution
3.1 Analysis, initiating andpreparing 26
3.1.1 Analysis 27
3.1.2 Initiating 27
3.1.3 Preparing 29
3.2 Setting up systems andprocedures in an
MET institution 30
3.2.1 Organisational structure 30
3.2.2 Job specification 31
3.2.3 Procedures 32
3.3 Documentation 35
3.3.1 Language 35
3.3.2 Essential personnel 37
3.3.3 Use of computers 37
vi
3.4 Personnel and training 38
3.4.1 Quality assurance department and
persoimel 39
3.4.2 The training 39
3.5 Auditing 42
3.5.1 Audit process 42
3.5.2 Intern^ audit 43
3.5.3 Auditing and MET institution 44
3.5.4 Followup 45
4 Teamwork for quality assurance

4.1 Teamwork in MET institutions 47
4.2 Organising for teamwork 49
4.3 Functioning for quality 51
4.4 Organising for research 55
5 Staff appraisal as a method of quality assurance

5.1 Appraisal and the need for it 61
5.2 Appraisal of teaching staff in maritime
institutions 63
5.3 Presentation, conduct, commitmentand
involvement 66
5.4 Research and scholarly pursuits 70
5.5 Student feedback 71
5.6 Training needs 73
6 The impact of international conventions

and codes on quality assurance in MET
6.1 STCW Convention and quality standards 75
6.2 Impact on MET institutions 77
6.3 Sharing knowledge and resources 80
7 Conclusions and recommendations 82
vii
Bibliography 85
Appendices 88
Appendix 1 Extracts from the STCW Convention
Appendix 2 Extracts from the ISM Code
Appendix 3 Extracts from the ISMA Code
Appendix 4 Summary of ISO 9000 Series
Appendix 5 Table of comparisons among three types

of appraisal interview
Appendix 6 Appraisal forms
viii
LIST OF FIGURES
Figure 1 Process of standardisation 19
Figure 3 Process of implementation of QA in

an MET institution , 46
Figures 4.1 4.7 Organisational structures 58 60
ix
LIST OF ABBREVIATIONS
AAMETI ASEAN Association of Maritime Education and Training Institutions

ACAS Advisory Conciliation and Arbitration Service
AFNOR Association Francaise de Normalisation
ALAM Akademi Laut Malaysia
ASEAN Association of South East Asian Nations
BS British Standard
BSI British Standards Institution
CASCO ISO Committee on Conformity Assessment (International)
CEN European Committee for Standardisation
DIN Deutsches Institut for Normung e. V
EAC European Accreditation of Certification
EN European Number
EU European Union
lEC International Electrotechnical Commission
IMLA International Maritime Lecturers Association
IMO International Maritime Organisation
ISM International Safety Management Code
ISMA International Ship Managers’ Association
ISO International Organisation for Standardisation
ITU International Telecommunication Union
MATES Malaysian Training and Education for Seamen
MET Maritime Education and Training
MOU Memorandum of Understanding
NACCB National Accreditation Council for Certification Bodies
QA Quality Assurance
SIRIM Standards and Industrial Research Institute of Malaysia
X
SIS Standarddisseringskommissioneni
STCW Standards for Training, Certification and Watchkeeping
WMU World Maritime University
UK United Kingdom
US United States
xi
CHAPTER 1 - INTRODUCTION
• 1.1 Background
In recent years many new management terms were introduced to the public,
one of which is the term ‘quality assurance’. “Introduced” here would mean more
widely mentioned and explained to the degree where a man on the street would
have at least heard about it. In the maritime industry, the man on the street here
would be the common mariner at sea and support personnel on the shore sector of
the industry. Using that as a yardstick, the term would be a relatively new one
although different forms of quality assurance mechanisms were already practiced in
the industry even before the term was raised. It would be safe to say that the
International Safety Management Code (ISM) gave mariners the first inkling of the
quality assurance concept being applied and practiced as a whole. Upper management
personnel in the industry would have been familiar with the term in 1979 when the
International Organisation for Standardisation (ISO) issued a series of standards on
quality management systems. Outside the industry, quality assurance was already
widely practiced in production intensive industries where quality assurance was
applied to ensure that products were of high quality.
1
Introduction
In Maritime Education and Training (MET), quality assurance began to be

widely discussed and mentioned when work formally began on the Revision to the
Standards of Training, Certification and Watchkeeping (STCW) in 1993. One of the
proposals for the revision is that quality assurance should be applied to all the
processes used for training and examination of mariners. This made almost everyone
involved in MET to sort of “stand up and listen” to all that has to be said about
quality assurance. Indeed one of the more common of management concepts is that it
is human nature to only be interested in things that affect oneself. It is in within this
backdrop that the author felt it necessary and relevant to focus on the application of
quality assurance in MET institutions.
• 1.2 Aim
Although the earliest date for the 1995 revision to come into force would be
February 1997, it is unlikely that major MET institutions would wait until that date,
to implement and subscribe to quality assurance. The evolution to finding the most
suitable form of quality assurance for each MET system would already have begun,
and it is the aim of this dissertation to fit into the evolution process. Many questions
would have to be asked, research work would have to be carried out, and it would
take many discussions on procedures and documentation before a system is
implemented. Through this dissertation the author hopes to gain insights and*
understanding of the various quality assurance mechanisms available, and with that,
help accelerate the implementation of a quality assurance system at the institution in
which the author is employed. More importantly, it is hoped that this dissertation
would provide useful reading material to those involved in MET, at least in
familiarisation of existing management theories on quality assurance. To make this
dissertation a worthwhile reading material the author would seek to identify existing
2
Introduction
quality standards and quality assurance systems and procedures. Through the
author’s discussion on the benefits and limitations of quality assurance methods, it is
hoped that at least some of the conclusions drawn from the discussions would be of
benefit to the reader. Additionally it is also the aim of the author to examine the role
and importance of teamwork in MET institutions as this is an integral part of quality
assurance. One of the more important processes for quality assurance in MET
institutions, is that of appraisal of staff. For that reason, new approaches for appraisal
of teaching staff in MET institutions are also considered. Finally, since the ISM Code
and the revision to the STCW Convention are the “main topics” in MET nowadays,
it is only suitable to briefly discuss the impact of the code and the convention on
• 1.3 Approach
When considering how best to research and write this dissertation, the
author was guided by many important factors. Some of these factors were very
obvious and includes the avoidance of plagiarism and trying best to keep the facts as
accurate as possible. Although books on quality assurance are an important source of
reference, they usually do not focus enough on a topic. The maritime industry is
undergoing such a rapid change in technology that books very often fall out of date
and do not always give facts relevant to the present maritime environment. Many of
the documentary sources would then have to come from articles published in
journals, periodicals, conferences and seminars. This also holds true for research on
standards in general where changes occur monthly. The best approach then would be
to write in such a way as to keep the dissertation open for improvement and
updating.
3
Introduction
The approach was to begin by looking at the term quality itself mainly what it
means to management experts and people in the maritime industry. Only with this
better understanding of the term “quality” can a discussion be carried out on its
assurance and how it should be applied in MET. Also before going to the application
part of it, research was also done on the present standardisation bodies and the
standards they produce. Since certification usually accompanies, although not always,
a quality assurance system, some discussion was carried out on it including
accreditation of certification bodies. When identifying and discussing standards in
general, the approach was to look into the history and development of
standardisation bodies to provide a good foundation when researching and writing
further along the chapters.
The author felt it best not to confine the research and writing into just one
style or standard of implementation of quality assurance in MET institutions. Indeed
this view was supported by knowledge gained during the many field trips while
pursuing the Master of Science Course (MSC), at the World Maritime University
(WMU). A wide variety of styles being practiced by MET institutions were
discovered during these field trips. Even in institutions considering how best to
implement quality assurance, there was a wide range of views as to which system is
the best.
Views of visiting professors to the University, who are usually principals of

MET institutions, or heads of relevant departments in their countries’ maritime
administrations, add strength to this dissertation. The author’s personal experiences
as a lecturer in a major MET institution and also, as a personnel superintendent in a
management company ashore, give the work a touch of originality. Just to give a hint
of the amount of data and exposure available for research, the field trips extend all
over Europe and includes a trip to the United States of America to visit the Kings
Point Academy. Most importantly are the conversations, discussions and debate
amongst students at the University who come from every spectrum of the maritime
4
Introduction
industry, and include representations from support personnel to government

ministers. It is hoped that with all the above resources the most suitable approach in
researching and writing was used.
5
CHAPTER! - QUALITY AND QUALITY ASSURANCE
• 2.1 Quality
The word quality has a number of different meanings, but the definition most
Widely used in quality assurance books and papers, is that expressed by Dr. Joseph
Juran who defined quality as ‘fitness for purpose or use’. The word quality has also
been used with many other words to describe a concept or process. Terms like
‘quality assurance’, ‘quality consciousness’, ‘quality management’, ‘quality system’,
‘quality control’, ‘quality awareness’ and ‘quality circles’, have all become common
management jargon. For Maritime Education and Training (MET), to be of high
quality, managers and staff should familiarise themselves with these terms and
understand their application. There have also been many experts on management
whose names have become synonymous with the word quality. Experts like Crosby,
Feigenbaum, Ishikawa, Juran and Demming are widely quoted in quality assurance
books and papers.
6
Quality and quality assurance
The International Organisation for Standardisation in ISO 8402, defines

quality as:
the totality of features and characteristics of a
product or service that bear on its ability to satisfy
stated or implied needs.
Williams and Loder (1990, p. 5) of the Centre for Higher Education Studies at the
University of London, in their paper ‘The Importance of Quality and Quality
Assurance’ wrote:
For teaching to be of high quality it is necessaryfor it

to be both effective (ie the aims and objectives of the
course are met) and efficient (the resources used to
achieve effectiveness are not excessive).
In Maritime Education and Training (MET), quality cannot be defined only in

terms of products, services or courses. This is due to the fact that MET operates as a
function of the shipping industry. Marsh (1991, p.l), who has wide experience in
developing quality management systems, in his paper for The Nautical Institute, ‘An
Introduction to Quality Assurance in Shipping’, describes the shipping industry as:
... one of the most international industries in the

■world It embraces virtually every nationality and
culture,...
The shipping industry also suffers problems not usually experienced by any other
international industry. Most of these problems are as a result of recent changes in
operating practices of companies. Leback (1991, p.5), as Chairperson of The
Nautical Institute Ship Safety Working Group, in his preface to ‘The Management of
Safety in Shipping’ summarised these changes as follows:
♦ A growing separation between financial ownership and

management.
7
♦ A ^widening division between the country of origin of the

company and the country ofregistration.
♦ Increased time between drydocks due to improve coatings.
♦ The increasing average age of the worldfleet.
♦ The majority of seaman and officers from Far Eastern
countries, sailing on ships of many differentflags.
♦ The use of manning agents to employ seaman and officers
who no longer visit the companies head office.
♦ The increased activity in the sale andpurchase market.
♦ The varying demands placed upon ship management
companies to take in new fleets of various character and
to remain viable when otherfleets are withdrawn.
y♦ The higher level of expectations of the traveling public
towards high standards of safety in all modes of transport

including shipping.
The growth awareness of environmental issues and the
realisation that inland seas and now oceans need
protection.
Although not all these changes effect MET directly, it does however, effect the
working environment of ship managers, officers and crews. The maritime industry
also undergoes tremendous and frequent changes depending on politics, commerce,
environment and world resources. How then do all these factors and changes effect
the definition of quality in MET?
The quality of any MET system should not only be defined by the resources
available to the system but also by the ability of the system to keep abreast and adapt
to developments in the shipping industry. In other words a high quality MET system
is one which is practically on line with the shipping industry. Through awareness the
system should use its resources effectively in research, and education and training of
personnel required for the industry.
• 2.2 Quality Assurance
Quality assurance basically means the assurance of quality in a product or

service. As much as there are meanings in the word quality, its assurance methods are
just as varied as well. Within the last decade, to most people, the term quality
assurance is often associated with standards. Whatever the method used to achieve
quality, management concepts and methods, need to be understood and applied
correctly.
Almost all quality management concepts stress the essential need for
commitment to quality, within the whole organisation. Marsh (1991, p.25), when
giving his comments on the role of quality assurance in shipping, reaffirms this need,
by writing:
This is the -wrong approach, and indicates a failure to

grasp the principle of Quality Management -which is
commitment. The old adage that you can lead a horse
to -water, but you cannot make it drink -was never more
appropriate. If management at all levels is not fully
committed to quality management, it is doomed to
failure.
He further adds that:

You simply cannot legislate for commitment, it must
stem from -within and become a culture of the
company.
9
This essential need for commitment is repeated again and again in testimonies of
managers and professionals involved in quality assurance through standards.
Returning to standards, ISO 8402 defines quality assurance as ;
All those planned and systematic actions necessary to

provide adequate confidence that a product or service
■will satisfy given requirementsfor quality.
Through their news bulletins, ISO and the many other standards institutions,
frequently stress that having planned and systematic actions alone does not guarantee
quality and quality improvement. In fact even commitment alone is not enough, as
stated earlier management concepts and methods, have to be understood and applied
correctly. Heseltine (1995, p. 4) as President of the United Kingdom Board of Trade,
best sums up the need for commitment and further application of management
principles, with the following comments:
BS ENISO 9000 is a system standard and registration

to it, valuable though it undoubtedly is, does not in
itself guarantee high product quality. The standard is
a benchmark against •which a company’s commitment
to quality may be measured But the system and the
. commitment alone do not equate to total quality for
one simple reason - quality is a dynamic concept.
Besides standards and commitment, the other important aspect for quality assurance
is teamwork. As mentioned in the introduction to this dissertation the whole of
Chapter Four would be dedicated to teamwork and group dynamics.
Although MET can be considered a service industry the measure of quality

should be gauged not only by the service it provides but also by the its product in the
form of its students. Although exams do provide a means for appraisal of students, it
nevertheless has its limitations in the sense that it is a whole process by itself. This is
10
more so if it is conducted outside the framework of the MET system. The different
degree of performance by mariners from different countries bear testimony to the
limitations of exams as an effective appraisal mechanism for quality assurance. If
exams are not good methods for quality assurance of students why then is it still used?
For one thing, there are really not many other options. Since mariners are employed,
educated and trained to perform at sea, appraisal of quality should be based on their
performance. Reality is that the system of certification and training of mariners is
more based on “certification prior performance”. A mariner can only take over a task
if he is qualified to do so.
There is also the time difference between attendance at courses and actual
performance. Abrahamson (1993, p.49) as Chairperson of the Division of Business
and Economics, University of Wisconsin Superior, in his paper ‘Assessing
Educational Quality, acknowledges this difficulty when he wrote:
How do yve know that we have met our goals? Apart from
the teaching certificate, which students receive upon
meeting all requirements, the achievement of our goals
will be evidenced only some time in the (distant) future. If
a graduate is, indeed, successful sometime down the road
we proudly proclaim we have met our goals. But do we
acknowledge failure if he ends up on ‘skid row’? Most
likely we attribute the latter case to personalfailings. Why
is not the former case equally attributed to personal,
rather than institutional, qualities It seems to me that
herein lies the crux of assessment; there is no long term,
unambiguous criterion for achieving the goals.
In a later paragraph on the assessment process he extends:
‘The overall growth and maturity of the students - student

development- is most commonly assessed by means of
surveys and interviews which are not easy to design,
collect, and analyse. Hence, this aspect ofthe educational
process is as difficult as it is important to assess. ’
11
Another method for quality assurance is the appraisal of teaching staff which
will be discussed in chapter five. There is a need to discuss this method of appraisal
because all too often MET systems fail to recognise that appraisal of teaching staff
should be separate from appraisal of administrative staff. Appraisal techniques should
concentrate on the quality of teaching and take into account other relevant factors
which will be discussed in chapter five.
The management concepts applied and the quality assurance system

implemented in any MET system should stress and allow for quality improvement.
The quality assurance procedures should be so ingrained in the minds of staff that it
becomes a habit. Later chapters will look into the “nitty gritty” of implementation and
the “dos and don’ts” but it is important that the system becomes established in the
daily working lives of staff. The system can only be established if it is understood,
accepted and practiced with the knowledge that it will eventually benefit the
individual.
To some, the word “habit” sounds very ugly and negative, this is so because
bad habits are very often recognised and pointed out, while good habits are ignored.
There are bad and good habits and a good quality assurance system is one that allows
for good habits, and cultures and encourages creativity. For without creativity good
habits eventually become outdated and bad, on the other hand without good habits
creativity becomes unguided and chaotic. There should be a balance between
creativity and habit to achieve quality and quality improvement.
12
• 2.3 Standards
For the purpose of quality assurance, standards are precise technical or

management specifications of criteria necessary to ensure that a product or procedure
is fit for the purpose it is intended. Standards were initially the results of the needs of
industry but have gradually included the needs of commerce and consumers. They
are drawn up by experts fi’om every scope of influence in the reliability and
acceptance of a product or service. So many products and services have been
standardised that it would be accurate to say that standards have already become a
part of industry and commerce. Most of the time acceptance of standards is
voluntary but in some countries legislation have made compliance yvith standards
mandatory. Even if compliance is not mandatory, commercial demands can make
comphance of standards an essential ingredient for financial success in a business.
Standards are produced and regulated by international, regional and national

standardisation bodies. The following are examples of international and regional
standardisation bodies:
ISO The International Organisationfor Standardisation

ITU The International Telecommunications Union
DEC The International Electrotechnical Commission
CEN The European Committee for Standardisation
Following are examples of national standardisation bodies:
BSI British Standards Institution ( United Kingdom)

AFNOR Association francaise de normalisation ( France)
DIN Deutsches Institut fur Normung e. V ( Germany)
13
SIS Standarddisseringskommissioneni Sverige ( Sweden)

SIRIM Standards and Industrial Research Institute of Malaysia
Because of their involvement in the standardisation of quality management, it

is necessary here to briefly introduce BSI and ISO from information provided in their
publications.
BSI
The British Standards Institution was set up in 1901 as an engineering
standards committee for the professional engineering bodies in Britain. When the flrst
world war ended in 1918, it became the British Engineering Standards Association
and thirteen years later in 1931, adopted its present name through Royal Charter. It
prides itself as the first established national standards body in the world and its active
participation in international standards work. Its offices are located at its new
building in Chiswick, England, where it moved to in January 1995.
Its activities includes:
production of standards,
inspection and testing,
certification ofproducts and capability assessment,
participation in international and European standards,
education,
in addition it provides information services, and technical help to exporters,

publications.
ISO
The International Organisation for Standardisation was founded in 1947 as a
private association set up to facilitate international harmonisation of standards. Its
Central Secretariat is located in Geneva, Switzerland, and comprises a set of offices
and support groups. National bodies of more than 100 member countries and 500
14
international organisations work within the framework of ISO to develop

international standards and engage in related activities. The national bodies and
organisations work through more than 180 technical committees and 650
subcommittees. Its General Assembly meets once every year and its Council meets
three times a year.
Its primary objectives are to promote the development of standardization in

the world with a view to facilitate international exchange of goods and services and
to develop cooperation in the sphere of intellectual, scientific, technological and
economic activity. For this reason it is capable of handling 22 different languages
including English and French. It also serves as an international forum for exchange of
views and information mainly to avoid duplication of work. It has produced standards
in areas like, environment, machinery, design, purchasing, manufacturing, packaging,
sales, accounting and commodities.
It is also necessary here to give a brief outline of the ISO 9000 series of
standards on quality management.
ISO 9000
In 1979 BSI issued the series of standards known as BS 5750:1979 Quality
System which provided a standard for quality management systems in design,
installation, production and service. ISO subsequently issued the ISO 9000 series on
quality management systems which is now widely recognised and used. The last
decade has seen tremendous interest in quality management systems and the ISO
9000 series is now widely mentioned although not necessarily understood. The series
has recently undergone revision in 1994 mainly to make the clauses clearer for the
users benefit. Incidentally it is worth mention here that whenever standards undergo
15
revision, products or services registered to the standards must follow the new
requirements of the revision. A brief summary of the revised ISO 9000 series is
attached in the appendix for perusal.
For quality assurance in MET, the ISO 9000 series provides an invaluable
guide for the arrival of an efficient and applicable system. Furthermore, through the
standards, die expertise and experience of thousands of individuals and organisations
is at hand. It must be remembered however that quahty in a process need not
necessarily guarantee quality in the resulting product. This is more so accurate when it
comes to training individuals, who may possess attributes and characters, so ingrained,
that it would be unreasonable to expect change through MET.
• 2.4 Process of Standardisation
Just as quality assurance need not be restricted to the application of standards

alone, standardisation need not be restricted to standardisation bodies. Indeed the
process of standardisation can be carried out by individuals, companies, associations,
countries, regional and world groups. The process of standardisation can be divided
into three stages, the first is the formulation or development of standards, the second,
the issuance and the third, the implementation of standards. For the sake of
standardisatinn on a wider Scale all three of these stages can occur at the company,
national and intemational level. Whatever the stage or level the main guiding goal is to
improve efficiency by bringing consistency to the products, services or processes.
Before any standardisation process can begin, there has to be a recognised

need for it in the organisation. Having recognised that need, the first step is the
process of identification of existing standards, bad and good. Good existing standards
16
Quality and quali^ assurance
are identified as well, to avoid wastage of time and money, because untried and
improved standards need not possibly be of better quality than existing ones.
However good standards must be recognised and documented in order for the
standardisation process to be complete. Having identified existing good and bad
standards it may be that there is only a will to document only the good standards.
In some organisations, resources available may only allow for this to happen. There
is also a remote but obvious chance that an organisation may feel that recognition of
bad standards is bad for publicity. There are also cases whereby companies
recognises clearly that there are defective standards, but do not want to acknowledge
it for fear of legal claims as a result of damage to the environment or injury to
personnel.
These factors aside, the next step in die standardisation process is the search
and development of standards. Searching is necessary to avoid duplication as there
may be already existing standards from other organisations whether company,
national or international. Even if there are no existing standards, formulation and
development need not only be unilateral. Countries often pool together their
resources and work together through regional groupings like the CEN and the ISO.
Similarly companies do the same tiring through commercial orgarrisations and trade
conferences. A good example of this within the shipping community, is the
cooperation between five companies namely Barber International, Columbia
Shipmanagement, Denholm Ship Management, Hanseatic Shipping Company and
Wescol International, also known as the ‘Group of Five’, to produce the ‘Code of
Ship Management Standards’ for the International Ship Managers’ Association
(ISMA).
After the preliminary process of identification of standards, searching for

standards and pooling of resources, the process of standardisation splits into two
parts. The first involves the documentation of existing standards and or adoption of
17
existing standards. The second is the development of new standards through analysis,
testing and inspection. Although there are other factors that determine the quality of
a standard, the formulation of a new standard relies a great deal on the input of
advice from sources internally as well as externally. Internal sources include
personnel involved in the actual production of a product or the management of a
process. External sources includes experts from industry, researchers, retailers,
consumers and unions. The process of analysing, testing, inspecting and consulting
are all planned and carried out systematically to optimise the use of time and
resources. The guiding criteria is the environment for application of the standards to
ensure that the standards are practical.
As . mentioned earlier the standardisation process includes formalisation,

issuance and application. Issuance means the actual printing and publication of
definitions, specifications, criteria, drawings and manuals. For quality management
standards issuance includes the publication of goals and objectives, organisational
charts, directives, procedures and codes of practice. All this information must be
efficiently and effectively published and disseminated for it to be of any use.
Standards only become standards in the practical sense of the word when they are
actually used. That is why the whole process of standardisation includes application.
Standardisation can only be considered successful and complete when the standards
produced are successfully applied to a product or process to advantage. Standards
must also be reviewed periodically to reflect and adapt to new technology,
legislation, commercial trends and working practices. If this is not done a standard
would eventually cease to become a standard by the very definition of the word. The
above mentioned processes are shown in figure 1, which is a flow chart prepared by
the author.
18
Figure 1 Process ofStandardisation
19
• 2.5 Certification and Accreditation
After standards are established there may be a further need for

acknowledgement or recognition of that standard. Acknowledgement can come in
the form of published statements announcing that standards have been established.
Details of standards may also be given to show the degree of quality of the
standards. This acknowledgement can come from within the organisation or from
outside the organisation. As an example, a company may wish to publicise the fact
that their product or service follow quality standards to strengthen customers
confidence in their product and to attract new customers. Since the production and
endorsement of the quality standards was done by the same entity, this kind of
endorsement is termed first party endorsement. First party endorsements have a
limited affect in that any organisation can cheat by stating that they follow standards
where in actual fact they do not. Although it is legally or morally wrong to do this,
reality is that some desperate or irresponsible companies have actually done this
without regard to safety of life or property. The evolution of application of
standards in shipping will invariably record many of these incidents, shipping being
what it is.
Despite the shortcomings of first party endorsement, many respected and

reputable organisation do not see the need for endorsement from any other source
for the simple reason that their customers trust them. This practice is however
falling out of trend in die era of total quality management where it is essential that
suppliers also follow quality standards. This is necessary because it is difficult to
envision a product or service having good quality when the very resources (hat went
into the product is of low quality. Purchasers or customers would therefore find it
beneficial to publicise the fact that their suppliers follow quality standards. They
also may have so much faith in the product or service that they themselves endorse
it, putting the reputation of their organisation on the line. This form of endorsement
is second party endorsement of a product or service, it involves parties who benefit
20
from the sale of the product or service. The term ‘parties who benefit’ here is
important because second party endorsement can come even from non purchasers or
customers. As an example a government may endorse a product or service originating
from their country to benefit from taxes as a result of the sale of the product or
service.
As long as the endorsement comes from a prejudiced party, confidence in that

endorsement is affected for the simple reason that there is a possibility that parties
may cheat to benefit. The need for a third party then arises and an example of this in
shipping is the use of classification societies as a form of third party endorsement of
safety and strength. The expertise, capability and impartiality of the third party
determines the quality of the endorsement itself. Here there is a fine line between
second and third party endorsement when it comes to impartiality, for when the third
party is a profit making organisation its ability to judge becomes compromised. That is
why endorsements from non profit organisations are valuable.
When a third party is satisfied that a design, product, service or installation

conforms to a certain quality standard, it issues its endorsement in the form of a
certificate. The certificate identifies clearly the product or organisation and the
standard for which it was examined. The certificate is usually accompanied by
technical documents showing detail specifications.
Before issuing fire certificate the third party assesses the process or product to
determine if it conforms to a certain standard. The assessment is done by carrying out
tests and inspections on the product or process. To ensure continuous conformity
periodical inspections are carried out and certificates may become voidable if the
criterias are not met. As an example, for certification to ISO 9000 standards, the
process includes the checking of documents and visits to die site by assessors. Before
visiting the site the assessors first assimilate background information of the
V
21
organisation and inspect the quality manual to verify that a quality management
system has indeed been developed. The assessors then visit the site at a convenient
time and first carry out meetings with management to optimise use of resources and
time in the assessment process. The assessors then interview key personnel and
observe work in progress to determine conformance to standard criterias.
Since the assessment process itself is time consuming and requires significant
resources, standardisation bodies may not be able to cope with the demand.
Independent assessment companies more commonly referred to as ‘certification
bodies’ are then established to provide this service. Since ‘certification bodies’ need
not necessarily be non profit making bodies, there is then a need to check and
regulate them to ensure integrity. They must have the required expertise and ability to
provide a fair and balanced assessment. For this purpose accreditation councils,
associations or committees are formed, comprising representatives from the
standardisation body itself and representatives from government, industry and
consumer groups. It is important to point out here that this is not necessarily true for
all countries, because some countries may decide that the certification process
should be exclusive to the standardisation body.
The only practicable solution for international standardisation bodies is to

provide guidelines on the structure and operation of certification bodies. Following
are examples of national, regional and international bodies who are either
accreditation bodies in itself or provide guidelines on the required competence for
certification bodies.:
NACCB The National Accreditation Council for Certification Bodies (UK)

EAC European Accreditation of Certification ( EU)
CASCO ISO Committee on Conformity Assessment (International)
It is necessary to point out here that participating in the production of a standard is

different with assessing whether a product or process qualifies to that standard.
Similarly being a member of a standardisation body does not automatically qualify a
member to be a certifying body. The same holds true in an international
standardisation body like ISO, where member bodies recognise this feet and choose
to share their expertise by mutually recognising each others capabilities. As an
example, a country who is at the forefront of research in a product may be
recognised as the best authority on that product. Its certifying bodies may be the best
equipped to assess whether a product conforms to a particular standard. As an
example, for quality assurance systems, there is a Memorandum of Understanding
(MOU) between BSI and the Standards and Industrial Research Institute of Malaysia
(SIRIM) on the assessment of the quality systems of companies in Malaysia.
It is necessary here to briefly explain some important parts of the

standardisation process within national, regional and international standardisation
organisations, especially with regards to identification of standards and their eventual
application.. At the national level, depending on the country, there are different styles
of naming and numbering of standards. As an example, BSI identifies standards for
systems or products by using the letters BS followed by four numbers. Individual
standards are further categorised into parts like application, specification and guide.
As an example the identity BS 5750 is used for “quality systems” and BS 5750: Part
8 is used for “Guide to quality management and quality systems elements for
service.”
Using the European Standard as an example of identification by a regional

standardisation body, the marks used are EN followed by five numbers. Similarly
each standard is categorised by parts followed by a short documentary. At the
international level, using ISO as an example, the standards are identified by the letters
23
ISO followed by four or five numbers, here again each standard is further
categorised.
It was mentioned earlier that one of the reasons for eventual application of
standards is the inclusion of the standards itself into national legislation. The standard
however need not necessarily be from the national standard body, it can be a regional
or international standard. As an example member countries of EU have an obligation
to adopt some CEN standards into legislation. Although a standard in ISO is only
approved after the consent of at least 75% of its members, there is no formal
obligation imposed on countries of member standardisation bodies. However any ISO
standard can be adopted into legislation when suitable and necessary. In fact many of
ISO standards are customised and adopted by non member countries. There are
instances however where adoption of regional and international standards gave rise to
problems at the national level. This is more so in situations where national, regional
and international standards are all quoted in legislation. As an example, in the UK,
BSI renamed ‘BS 5750’ into “BS EN ISO 9000” because BS 5750, EN 29000 and
ISO 9000, all refer to the same standard.
When a company satisfies all the requirements of the accreditation body and is
recognised as an approved certifying body, it is said to be accredited to that council,
association or committee. As mentioned earlier the process of standardisation is only
complete when standards are applied or used effectively. If for some reason or
another a certificate is wrongly issued to a product or process which do not comply
with the criterias of a standard, the standard may be mistakenly construed to be one
of inferior quality. It is therefore to the advantage of standardisation bodies to ensure
competency in certification bodies. Similarly government, industry and consumers
have little to gain from improper certification of products or services which they
invariably purchase or use. The same applies for regional groupings of governments
where regional standardisation bodies work together with industrial and consumer
groups to form accreditation bodies. In the international arena however the process
24
for accreditation may not be as straightforward and simple. For one thing
governments know that standards can be used as trade barriers and are therefore
cautious and do not want to place themselves in a compromising position when it
comes to acknowledgment of good and bad standards. Taking part in the production
of standards is one thing recognising that they cannot comply with the standards is
another.
25
CHAPTER 3 -INITIATING, SETTING UP AND AUDITING
A QUALITY ASSURANCE SYSTEM IN AN
MET INSTITUTION.
• 3.1 Analysis, Initiating and Preparing
The best approach towards successful implementation of a quality assurance

system in an MET institution, is to carry out the process of implementation through
stages. At the end of this chapter, figure 3 provides a summary of the whole process
of implementation, fi-om analysis to certification.
From the numerous published testimonies of companies who have

implemented quality assurance systems in their organisations, it can be concluded that
in most instances, the success of implementation depends a great deal on the initial
analysis of existing resources and procedures. After all, it is the resources that
determines the uniqueness of each individual process. Until and unless an MET
institution recognises this fact, the whole quality assurance exercise will become a
farce, consuming more time and resources than initially expected. There will be
unnecessary rescheduling, readjusting, replanning and reorganising, all not only
26
Initiating, setting up and auditing a quality
draining resources but reducing the overall benefit of the exercise. Institutions must
recognise that they are unique in order that they do not make the mistake of assuming
that a quality assurance system for another organisation or institution, for that matter,
will work equally well for theirs.
3.1.1 Analysis
Before anything else, the question of whether a quality assurance system is

needed should be asked. If an institution is already running efficiently and smoothly,
implementing a quality assurance system need not necessarily bring any significant
benefit, in fact if the system is badly implemented it can be counterproductive.
Change for the sake of change is not good, and clearly indicates that the whole
concept of quality assurance is not understood. In some instances more important
aspects need to be dealt with first, for example if there is a high turnover of staff,
familiarity of the quality assurance system cannot be established. In feet almost all the
MET institutions that the author was able to be in contact with, confessed that they
suffer severe manpower shortage, at least with teaching staff. With the new STCW
requirements and guidance, MET institutions would be placed under great pressure
to join the quality assurance bandwagon. Quality assurance is not a cure all remedy
for problems, neither can it be used as a cover up to show that something is being
done to improve things. The same problems may directly or indirectly affect
successful implementation of a quality assurance system.
3.1.2 Initiating
Another important aspect is that management must be willing to commit the

resources necessary to accomplish a quality assurance undertaking. They must also
27
realise that quality assurance requires commitment from all levels in an MET
institution, and if personnel do not see the need for a quality assurance system then
there can be no commitment. Since people are the key to making quality systems
work, the success of the system and its implementation can easily be measured by the
way they perceive the implemented system. If they enjoy being a part of the system,
and recognise clearly that they benefit from it, then the system will work for quality.
On the other hand if they feel that it is little more than an administrative burden,
designed only to satisfy external assessors, then the system is doomed to failure
without remedy. Every management of an MET institution should therefore bear this
thought in mind when they approach each task in the exercise.
If it has been decided that a quality assurance system is to be implemented,

the next stage is to decide whether external assistance is needed. Some procedures
may be so original and sophisticated that the institution may choose to involve only
their own personnel. Also the resources available may not be sufficient for the cost of
acquiring external assistance. If that is the case, the best approach would be to send
personnel to quality assurance courses and complement the knowledge with some
practical experience by attachment. There are already numerous courses on quality
management and assurance, conducted by various institutions. The major setback
with this approach is that there is a time lag from decision to implementation. So if
there is a dire need to implement a quality assurance system as soon as possible, this
approach is definitely not appealing. Furthermore there is a possibility that trained
personnel may choose to leave the company at the attachment phase. Another
disadvantage, is that the art of quality assurance is a dynamic process, and experts
hold with them a great deal of knowledge and experience. This knowledge and
experience, despite the cost, invariably benefits any organisation that uses it.
External assistance usually comes in the form of consultants, and there are
already a great many in industry. It is important to realise that there are good and bad
28
Initiating, getting up and auditing a quality
consultants, and it is best to check the consultancy company’s reputation prior

employment.
3.L3 Preparing
The institution should be fully prepared for all stages of the quality assurance
undertaking including the initial assessment, setting up and implementation.
Management should inform all levels in the institution that they intend to implement a
quality assurance system and make clear how they are going to go about it. All
personnel should at least have an idea of what a quality assurance system is and
avenues should be provided for further information if required. The benefits of a
quality assurance system should be pointed out to them and they should realise that
their role affects the overall success of the system. All personnel should realise that
the additional work is for better and smoother operation and can in feet be quite
enjoyable.
There should be frequent meetings and dialogues to obtain views from all
levels and departments in the institution. Examples of other organisations and their
personnel benefiting from a quality assurance system should be shown. Inspite of
everything else the final goal is to make all personnel committed to the whole
undertaking.
If consultants are employed they should be introduced to all personnel in the

institution. Consultants should be given as much information as possible on the
existing set up and procedures of the institution. They should know what resources
are available for their use. Personnel should be instructed to cooperate fully to ensure
that all stages of the undertaking progress smoothly. The institution should not miss
the opportunity to have a few of their own personnel working with the consultants
29
from the initial stages right through to completion. By doing this they not only
facilitate the process for and of implementation, but also train their own personnel in
quality assurance.
If it is decided that own personnel are to be used, they should be given

authority to interview all personnel including their superiors and inspect all facilities,
documents and procedures in the institution. This authority should be made clear to
the whole institution and any difficulties encountered should be dealt with seriously.
The best solution is to place these personnel directly under top management. They
should be comfortable that the management is fully behind them in the undertaking.
• 3.2 Setting Up Systems and Procedures.
3.2.1 Organisational structure
In MET institutions, the quality assurance system should determine clearly the
administrative and academic organisational structure, job specification, procedures,
function of groups and committees, appraisal of. teaching staff and students,
management of student affairs and management of resources.
The organisational structure of the institution should cover not only

departments and personnel in the institution but specify the working structure and
relationship with outside personnel, organisations and agencies. The external working
relationship should be clearly defined to guide personnel and to remove any form of
ambiguity with regards to authority and confidentiality. There are many institutions
having board of governors or directors from various sectors of the industry, both
30
government and private. In these institutions the areas of responsibility and

accountability should be clearly defined because very often the interest of these
parties vary. When determining the organisational structure, the aims and objectives
of the institution should be the guiding factor. Most institutions have an advisory
council of experts and experienced people from the industry, who through their
advise directly affect the quality of personnel employed by the institution and the
courses offered. Here again the role of the council should be clearly defined in the
overall organisational structure of the institution. Twin, branch or sister institutions
and external support agencies should also be clearly indicated on the organisational
structure.
Within the structure of the institution itself, a main area not be overlooked at,
is the position and relationship between administrative and academic departments and
personnel. The position and relationship should be a harmonious and practical one,
and should facilitate personnel in the accomplishment of their task by providing clear
lines of authority, responsibility and accountability. The position and role of groups
and committees should also be indicated, so that the work and progress in them is
maximised for the overall aims and objectives off the institution.
3.2.2 Job specification
The first most important thing in a job specification is the purpose of the job '
itself because jobs are created for purpose. The description of the job should reflect
the purpose and should be realistic and practical. It should describe all the required
task in detail and allow for resourcefulness. Job specifications should specify the
required conduct and attire necessary to carry out the job function satisfactorily. The
time and place where each task is to be performed should also be given. Rest periods
and duration are also important and should be specified in the job specifications.
31
When dividing work into job specifications the division of work should be logical and
well balanced. Although multi skill personnel are desirable, overlapping of tasks in
job specifications is not the answer. In fact it is a wastage of time and resources and
allow for possible conflicts, all not conducive to a productive environment. Multi
skilling is better achieved in job specifications by allowing for interchangeability of
positions after a certain period. In any case, each job specification should show
clearly the line of authority, placing each job function under the control of a single
supervisor.
3.2.3 Procedures
Procedures should be established in consultation with all involved parties to

ensure that it is accepted and practical. It should ensure that the aims and objectives
of the institution are met with the minimum use of resources. When establishing the
procedures, applicable management concepts should be applied to benefit fi’om them.
The procedures should be safe and in accordance with laws and regulations. For
MET institutions, procedures should be established for inter alia:
f administration and allocation of resources
4 design and development of courses
4 selection, induction, development, evaluation, promotion and

termination ofstaff
t registration, evaluation and expulsion ofstudents
There should also be established procedures within groups and committees, and for
interface between them. Similarly there should be procedures for interface with
external personnel, organisations, institutions and agencies.
32
The procedures should be reviewed periodically and modified accordingly to

reflect latest research and development. It should also be reviewed when there are
changes in resources and personnel. For example a certain procedure may no longer
be practical and applicable if there is a shortage of staff. If that happens new
procedures will have to be established to accommodate the shortage.
Since the institution is an entity of its own there should also be procedures
involving the institution as a whole. For example there should be procedures for
publicity and marketing, and procurement of resources.
Procedures are only good if they are maintained and followed for the benefit
of the institution. In fact if procedures are established correctly they remain the main
tool to ensure that things do not go wrong. It is therefore essential that proper
records are kept of instances when things do go wrong. In quality assurance, the
common terminology used to describe these events, is the term ‘nonconformance’.
Just as it is important to establish procedures, events that are considered
‘nonconformances’ should be clearly defined as well. Personnel must not only know
what are correct procedures but also know the signs and indicators of
nonconformance. It is essential therefore to list these events together with established
procedures. When non-conformances occur, they should be recorded immediately
and kept for further analysis. In MET institutions some typical examples of events
that can be considered as nonconformances are inter alia:
f overbooking of courses due to irregularities in registration.
4 no replacementfor absent lecturers.
# canceledfield trips as a result ofshortcomings in administration.
members of groups and committees not showing up for meetings

without notice.
t syllabus not completed or coveredfully by lecturers.
33
The quality assurance system should include contingency actions when things
go wrong, specifying the next best course of action. Procedures should also indicate
what is to be done to correct a nonconformance by specifying ‘corrective actions’ to
prevent recurrence. If immediate corrective action cannot be carried out, reasons
should be given. The events leading to the nonconformance, together with a brief
analysis of the event should also be recorded down. It is important that so far as
possible, personnel involved in the nonconformance event are not mentioned by
name. The system should be realistic and be aware that if names are to be mentioned,
the following may happen:
4 personnel not reporting a non conformance for fear of

disciplinary action.
4 personnel manipulating the system as a means of

reprisal against colleagues.
4 personnelperforming because offear, instead offor quality.
* pointing offingers.
Whatever the system or procedure established, the overlying factor is that the
system and procedures are only as good as the people who use it. If personnel have
no faith in the system or are suspicious of the system, then the system is doomed to
failure.
34
• 3.3 Documentation
The documentation in a quality assurance system includes organisational

charts, job specifications, operation manuals, appraisal reports, nonconformances and
corrective action reports, inspection records, inventories, log books, and survey and
audit reports. Specifically for MET institutions the quality assurance documentation
should include class schedules, attendance records, student evaluation reports, exam
and test results, registration records, records of meetings, course development and
review reports, and group and committee reports.
The documents can be separated into those being part of the daily operations
of the institution and those uniquely for quality assurance. Each part should refer to
another, and should therefore be inter related. For example the operation manual
should mention the nonconformance and corrective report forms when a
nonconformance occurs. Similarly the nonconformance report forms should refer to
the procedures in the operation manual as the standard procedure.
3.3.1 Language
The documents should be printed in an appropriate language, understood by

all, including the external auditors. There is no limit to the number of languages but
translation should be accurate. It is better to print whole sets of documents in
different languages than to have part of the set in different languages. The language
used should be simple, precise and adequate for the purpose. It should contain terms
understood by personnel using them and realistic and practical references. When
mentioning positions protocol should be avoided as it is unnecessary for this purpose.
35
B
When specifying procedures, systems and methods, the language used should
not be vague or ambiguous. Neither should the documents be so detailed that it
resembles a contract or legal document. However, when drafting the documents, the
possibility that documents can be summoned in a court of law should be borne in
mind. This is especially so for labour related cases or cases implying negligence.
Some documents may require a brief introduction and explanation to help and
guide the reader and user. Manuals should include a list of contents, abbreviations,
and even an index if necessary. There should also be ample diagrams and illustrations
to assist personnel using the documents. The letters should not be too small and the
material it is printed on should be appropriate for the frequency of use. Copies of all
documents should be made readily available to ensure that they are there when it is
needed. However an inventory of documents should be kept to keep track of
documents and to ensure that they are reissued or replenished when required.
The format by which the documents are printed should allow for easy
amendment or revision. Manuals in the form of ring files are best suited for this
purpose since they allow for removal, replacement and addition of whole pages. Since
they are subjected to changes all documents should be checked to ensure that they are
updated accordingly. As a means to reduce paperwork the inventory process should
allow for replacement of whole documents. The older set of documents can then be
updated by a dedicated department or personnel, and then used to replace another set
of documents in another department and the process can be continued until all the
documents in the institution is replaced. Records should be kept in a safe place as they
are needed for survey and audit purposes, and can be used to provide statistics in
research.
36
3.3.2 Essential personnel
Since only designations need to be mentioned in the quality manuals, a list of

names of all personnel and their designation should be provided. Contact numbers of
essential personnel should be provided in emergency situations or when clarification
is needed. Quality assurance procedures may also require confirmation or clarification
from certain key personnel. In fact some routine procedures require personnel to be
informed when certain actions are taken. There are three areas, in MET institutions,
where the need for urgent contact of important personnel may arise. The first is
where electronic equipment are being used. Technicians may be needed urgently for
repairs during malfunctions and similarly software engineers may be needed when
simulators are not running well. The second area is where hostel facilities are
provided by the institution. In more outback and remote areas, transport to medical
facilities may only be available in the day or not at all. In these cases, there should
always be transportation on standby. The third area is where institutions have
offshore training facilities like training ships. The ship may break moorings or the
weather may deteriorate to a stage where additional resources may need to be put on
standby.
3.3.3 Use of computers
If the institution is equipped enough with computers, they should be used for
routine recording and reporting. There is no need to print every record or report,
data can be kept in floppy diskettes but duplicated at least once. The floppy diskettes
are to be kept just like documents are kept for surveying, auditing and researching
purposes. If the computers are linked by network, information can be passed directly
between departments but the software should be able to record dates of entry.
Documents should still be available so that they can be used in power or network
37
failures. Institutions with limited computing facilities should not be too ambitious and
require recording and reporting to be done on computers. This should be avoided
because personnel should not wait in line just to use a terminal, especially when they
can do the required recording or reporting on paper.
• 3.4 Personnel and Training
Success in any venture means making the most out of the resources available
and for any quality assurance system, one of those resources is the personnel in the
organisation. The author would like to take this opportunity to stress again that
quality management systems cannot work on their own, people are the key and the
degree of efficiency of the system depends a lot on how personnel perceive the
system. Personnel should not only be trained to familiarise themselves with the
system but the training package should also be used as a tool to motivate them,
make them feel committed and develop a sense of ownership of the part of the system
where they are involved in. They should also be trained to accept quality and be
proud of it knowing that they played a part in attaining that very quality. Without
training any quality assurance system is doomed to difficulties and may lead to total
failure of the system.
The training should be designed into two models, one for the managers in the
institution and the other for nonmanagement personnel. To simplify the approach the
training should be modeled for nonmanagement staff first, and then modified for the
managers. There is no use starting off by designing a course for managers and then
designing the course for nonmanagers to suit it. If that happens the course for non
managers would become a function of the course for managers. Whenever minor
38
modifications are done on the course for managers the other course would need to be
changed drastically.
3.4.1 Quality assurance department and personnel
It is desirable to have at least one personnel in the institution well versed and
trained in the whole concept of quality assurance. This is essential to allow the system
to develop and improve with the hands on feedback of all personnel. Without such a
person there is a tendency to rely on consultants. Not only is this a waste of
resources, but it is also a severe setback for the development of the quality assurance
system, which should be one truly unique for that very institution. Consultants cost
money and may, despite their expert knowledge on quality assurance, not really
understand the problems faced by personnel since they are not exposed to the daily
pressures and responsibilities in the organisation. Even if the institution is small the
need for such a person is still a plus factor if resources allow for his or her training
and development. There are already various courses worldwide on quality assurance
and most of them are listed in ISO’s ‘Directory of Quality Training Bodies.’ Even if
resources do not allow for any personnel to attend any long term training on quality
assurance, management should at least allow dedicated personnel to attend quality
assurance seminars and provide them with books and publications on the topic.
3.4.2 The training
In an MET institution the training should be planned and carried out

systematically, bearing in mind the on-going daily schedule r--and
.................. Ti I- 1.1 manpower needs.
l A
"imiuiiirm
proper record should be kept of the training process to ensure that it is carried out as
required. Since the quality assurance system itself should develop and improve with
39
time, the training should be modified where and when required. Additional ad hoc
training may be needed when personnel leave the organisation or when new personnel
join the organisation. The training should also be modified for changes in physical
resources of the institution. For all personnel the training should include and have the
following sequence;
overview
building commitment and awareness
familiarisation of system and structure
responsibilities
implementation
familiarisation with documents
management and care of documents
evaluation techniques
standardprocedure writing
auditing
management support
Although it may appear as if the training content given above is too extensive, every
one of them is important. This is where the personnel specially trained in quality
assurance systems and concepts mentioned in the previous chapter could play an
important role. They should use the knowledge they gained to develop the training
structure and content to best suit the institution.
For any medium size MET institution the total course duration should be
about one week and be broken up into parts so that the training need not be carried
out at once for all personnel. That is why it is essential that the whole training
process should be planned well in advance. The time for final implementation of the
quality assurance system should coincide with the, completion date of training.
Implementing the quality assurance system when all personnel have not been fully
trained is absolutely foolish and gives the quality assurance system a bad start. There
will be confusion and this may lead personnel to think that the quality , assurance
system is bad and does not work. For MET institutions the term break provides a
good opportunity for the training to be carried out. If there are no term breaks and
40
the schedule is very tight, an alternative is to require personnel to stay back after
working hours or report on weekends to attend the required training. It is important
to stress here again that there would invariably be some air of apprehension for the
quality assurance system as it is inherently human to reject something new. Therefore
personnel should be given a healthy allowance for the extra hours or given extra leave
days for the hours. Whatever it is, management should always be cautious not to sour
the relationship between personnel and the quality assurance system. For indeed the
quality assurance system will always be looked upon as a whole entity and whether
the system is accepted as one working for the good of the organisation, or against it,
depends a lot on how management implement and manage the system. Although
achieving minimum cost for training is good, management should not fret over minor
cost incurred during the training. In fact the environment for training should be one
which is comfortable enough to reflect management’s view that the success of the
system depends on their personnel. This cannot be achieved when management tries
to save on petty things like photostatting papers during the training and requiring
personnel to copy down page after page of procedures. Neither should management
make personnel uncomfortable by conducting the training in an unsuitable location.
After implementation all training material should be made available to

personnel on request. If resources permit, a hands on intrinsically controlled
computer program should be provided so that those persoimel who are familiar with
computers can use the program to learn and strengthen their skill and knowledge on
the quality assurance system. Periodical training should be provided to refresh
personnel and this may coincide with interviews for feedback on the efficiency and
improvement of the system.
41
• 3.5 Auditing
The system implemented should be audited periodically to ensure that it is

truly working for the assurance of quality and its improvement in the organisation?)
Auditing can be done by an external source or from within the organisation. For an
MET institution if accreditation is desirable, a combination of both is best. In fact all
quality assurance bodies require at least some sort of internal quality audit for
certification.
Before going into the various aspects of auditing, the human factor and
reaction to being monitored and scrutinised should be discussed. In fact this area
quality assurance, if not dealt with carefully, may smother any commitment from
personnel, achieved during the implementation process. Like the system itself,
auditing and its benefits should be explained clearly to personnel. An audit is only
successful if all personnel participate with a heart and mind for improvement of the
organisation. They should be driven by the thought that the improvement they bring
about eventually benefits them. However it is human nature to resent being watched
and observed for every mistake being done. This should always be borne in mind
when a suitable auditing system is being planned.
3.5.1 The audit process
The audit process itself can be divided into three stages that of planning,’
organisation, implementation and last but not least the follow up actions. AU stages
are important but without an effective foUow up system the audit process becomes a
futile and fruitless exercise. Auditing should be planned to cover the following
aspects:
resources
personnel and training
timing
42
practicality
coverage
The resources available for auditing should be weighed to ensure that it is optimised
for the audit process. An extensive and detail audit process need not necessarily work
best for the organisation because it may be so costly as to cancel out all the benefits
of the quality assurance system implemented. It is like having several supervisors on
site inspecting the work of a single technician. This of course is an extreme example
but it should always be borne in mind when planning the audit.
A suitable audit system is one which is well timed, practical and covers areas
enough to ensure that the system is functioning well. A doctor does not checkleach
and every part of the body to ensure that it is healthy, he only inspects the vital signs
and organs assured that if there is anything wrong with the body, the signs and
organs will tell. If he suspects anything amiss he carries out a further examination. He
also does not examine a patient every day, scheduling the visits fi-equent enough to
ensure that if anything does go wrong it is detected in time. Further similarities can be
drawn, but it is enough to conclude here that like the doctor’s examination, the audit
should benefit instead of injure the person.
3.5.2 Internal audit
Tot the internal audit, personnel should be trained on all aspects of auditing
including handling and dealing with personnel. They should be aware of simple
personnel management concepts but above all should remember that everyone
including themselves belong to the same team. This is the uniqueness of an internal
audit as it is an inspection from within the organisation and can therefore achieve
many things an external quality audit cannot. However personnel auditing a
procedure should not themselves be part of that procedure. If necessary, and if
43
resources permit, a quality assurance audit department can be formed. This

department should be headed by a person well trained in all the concepts of quality
assurance. It need not be a big department and in fact may only consist of a
department head and a clerical staff. It is unlikely that MET institutions can afford
this luxury and it is best to designate a department for the audit process. A very
important point not to be missed, is that having personnel designated to carry out
quality assurance functions, including auditing, does not in itself release other
personnel from the responsibility to ensure that procedures are followed. There is a
possibility that personnel may form the impression that they need not really bother
about whether procedures are followed since this can be best left to the quality
assurance department. It is important therefore to stress to all personnel that the
quality assurance department is only there to check and assist when required.
Management should also reflect this when handling any nonconformances, focusing
their attention more on the personnel involved in the procedure instead of lambasting
the quality assurance departn^ent for allowing a nonconformance from happening.
3.S.3 Auditing an MET institution
For an MET institution the auditing process involves inspection of facilities,

manuals, procedures, records and supporting documents. On site inspections of the
various administrative functions of the institution should be carried out. Interviews
between auditors and personnel should be conducted to ensure that they, the.
personnel, are aware and up to date on all aspects of a procedure. Here is where the
skill of the audit team is most required, as personnel should feel comfortable with the
audit team. For teaching staff, auditors should attend lectures and inspect all the
appraising mechanisms implemented by the quality assurance process to ensure that
they are followed. All nonconformances should be analysed and studied in detail to
find out the causes and to check whether the corrective actions that followed were
44
suitable and accurate. The more important thing is not whether nonconformances
occur but more the promptness and suitability of the corrective action. The whole
quality audit should be recorded and documented and any of these, together with the
findings of the audit team, should be submitted and brought to the attention of the
management. The audit team should also draw the management’s attention to
particularly good practices.
5.5.4 Followup
As mentioned earlier, the follow up action after the audit is the reason for the
existence of the audit in the first place. If necessary whole new procedures should be
implemented but this however is unlikely and simple modifications to the process may
be more effective. Any misunderstandings regarding the quality assurance system
should be removed through explanations and if necessary through retraining of
personnel. Follow up action need not be carried out at once, as like everything else it
must be planned and if necessary carried out in stages. It is important to note that
counter productive personnel or what is more commonly called ‘counterfeit
personnel’ in management jargon, should be handled more fi'om a personnel
management perspective then from within the quality assurance mechanism.
45
PRE-IMPLEMENTATION
Analysis
Decision and commitment statement
Designation of QA personnel and/or department
Training of QA personnel and/or selection of consultants
Explaining
IMPLEMENTATION
Oiganising and acquiring physical and human resources
System trnplementatlon
Policies, Organisational structure. Job specification. Setting up procedures. Defining

nonconformances
Doaanentatlon
Institutions aims and objectives, Organisational charts. Job specifications. Operation manuals.
Appraisal reports. Nonconformances and corrective action reports. Inspection records.
Record books and inventories. Training manual. Audit reports
Tratnine
Designing an in house QA training program

Design and development of in house QA course • Management, non-management, support
IMPLeJ^eNTATlON > 1 year
Figure 3 Process ofImplementation ofQA in an METInstitution
46
CHAPTER 4 - TEAMWORK FOR QUALITY ASSURANCE
• 4.1 Teamwork in MET institutions
A very important management concept essential to the success of any quality

assurance system is teamwork, and this should equally be as important in MET
institutions. Why is there a need to focus on teamwork and its importance in MET
institutions? Although it would appear that an MET environment is more
homogenous than say a university, the environment is not free from problems.
Personnel in MET institutions can be divided into three main groups, the
administrative, academic and ex-sea going personnel. Anyone who has worked in an
MET institution before can testify that if not managed well, problems may arise at the
interface between these groups whether inter-departmental or between individuals. In
fact within each group there are further divisions, as an example the ex-sea going
staff can be further divided into those with deck and those with engineering
knowledge. The friction between these two groups is, to say the least, legendary and
47
Teamwork for quality assurance
despite all denials exist as a result of the different working environment and
knowledge whilst at sea. If not checked, the same feelings of resentment and
apprehension, as a result of the different working environment, can well be carried on
to MET institutions. Worst still, teaching staff may rub off these feelings to then-
students, imprinting upon them a negative approach to team cooperation, even before
they can step on board their first ship.
Between the academic and ex-seagoing staff, the general problem between the
two groups is that each tend to view the other as either “unacademic” or “without sea
legs.” These two groups, instead of cooperating, usually choose to bicker and outdo
the other. Again within each group there are further sub-groups, the important point
is that if management do not focus enough on the importance of team spirit, an MET
institution cannot function to the best of its resources both human and physical.
An extension of the application of teamwork in management, is that to the

area of cooperation between the MET institution itself and external bodies, whether
maritime, government or private. For quality assurance to work, management should
always have a team approach in all areas. Imagine a quality assurance system
implemented in an MET institution without all the above mentioned problems being
addressed. In this respect, not only is management implementing the quality
assurance system without understanding the correct approach, it clearly is inadequate
when it comes to the basics of quality management for quality assurance and its
improvement. It is essential therefore to discuss certain areas in MET where
teamwork can be applied to the best of the institutions benefit, and with that,
guarantee a conducive working environment for quality assurance and its
improvement.
48
The four main benefits that can be derived from teamwork in an MET
institution are:
better cooperation between personnel and departments,

4 the maximisation of resources both human andphysical,
4 better research andproject implementation,
4 better quality of teaching. '
What has teamwork got to do with quality of teaching? For one thing, students need
not go through or suffer the consequences of existing fi'ays between the groups. As a
result of which they can better concentrate on being educated and trained. The other
point, is that new pre-sea students do not bring with them any preconceived ideas out
to sea, and refresher and upgrading students can be shown that groups can actually
work together for benefit. After all, isn’t that one of the most important aspects of
the sea career?
• 4.2 Organising for teamwork
Having mentioned some of the underlying problems with groups in MET

institutions and emphasizing the importance of teamwork, the next step would be to
provide the formal structures whereby teamwork can work. Although there are some
basic similarities between MET institutions, they do vary in size and resources. The
formal structures where teamwork can best function, vary from institution to
institution. Some of these structures include committees, project groups, task groups,
research groups, problem solving groups, improvement groups and quality circles.
The management when promoting and encouraging the formation of these groups
should consider the resources available to the institution. Going through the various
49
books on management, all sorts of groups are mentioned and discussed. Management
of MET institutions when made aware of such management jargons and concepts,
may feel that their institutions are not “in” enough or “up to standard,” if these
groups are not formed. Forming groups with limited resources and unrealistic goals
may cause moral to fall and reduce the productivity of the institution. As an example
if there is a severe shortage of personnel in the MET institution, members of groups
may just find that they do not have enough time to function effectively in the groups
to make it work. Time, management can stretch the hour but it cannot make a day
have more than twenty four hours.
MET institutions may have, within their organisation, different nationalities,

cultures and ethnic groups. It is important to realise that not all management concepts
can be applied beneficially in every environment. In fact the “gurus” of management
themselves always stress that fact, and more often than not, require that the structure
of these groups be modified to suit an organisation. MET institutions in third world
countries should realise this and not use western management concepts in whole,
without first considering whether they are applicable in their environment.
Returning to teamwork and groups, another important ingredient necessary

for effectiveness is the content of each group. Each member is important, and like a
chain, any group is only as good as its weakest link. Anyone who has ever worked
together in a group can testify to the fact that progress can suffer even if only one
member chooses not to move along with the team. There are many ways to deal with
such a member, but as long, as the member stays, the undeniable fact is that the team
cannot function as effectively.
It is important therefore that personnel should mutually agree to belong to a

group. However, management recognising the knowledge, skill and experience of
each personnel, may choose to request their participation in groups. Although this
50
approach appears logical, isn’t it better to have personnel want to contribute instead?
Again management should not make the mistake of over utilising their personnel,
especially those who are hardworking, gifted and talented. Not only will they be
overworked, but their colleagues will start to feel apprehensive towards them. So,
instead of being rewarded those who participate and contribute suffer. This does not
tally at all with the “reward for performance” concept of management. Rewarding
good performance with more work only encourages personnel to shy away from
being involved. Of course this does not mean that the “good cow” should not be
milked, it simply means that the cow should not be milked until it has swollen nipples.
Groups should be given access to resources and be able to utilise them

without encountering problems. As an example, research groups should be given
special privileges to the institution’s library resources, and task groups should be
given access to the resources they require necessary to carry out the task. In
organising groups management should not only commit the institutions resources but
should also show that they are fully committed to each groups objectives. Each
group should be treated as if they are individuals with desires and feelings. When
meeting with groups this should be borne in mind because it is a big boost for team
spirit when management addresses each group as if they are one entity.
• 4.3 Functioning for Quality
After having organised the groups the next step is to ensure that each group
have the proper internal structure for it to function effectively. Things like group
leader, frequency and venue of meetings, degree of formality required of each group
and reporting procedures, must all be decided upon. Some of them may be decided
before the first meeting and some during the first meeting. Whatever it is.
51
Teamworii for quality assurance
management should plan their approach and ensure that the groups are formalised
systematically. It is not the intention of the author to dwell too much into the
dynamics of committees or group meetings as many management books have already
been written about it, but suffice to say, for the purpose of quality and its assurance
the basic aspects as mentioned above should be discussed.
Generally each group should have a leader preferably chosen by the group
members themselves. This does not mean however that management cannot designate
a certain personnel to be group leader. This can happen if there is clearly an
individual who has wide expertise and experience in the task, or in the case of formal
committees, management may find it desirable to have a more senior ranking
personnel as group leader. Whatever the need or whoever the chosen candidate,
group members should be shown the reason and wisdom for management’s decision.
In some cases less senior personnel with more experience and expertise in a topic
should be chosen as teamleader. If that happens management should explain clearly
to the more senior members of the groups, their purpose and reason for doing so.
However it is clear that there is something wrong if senior personnel choose to place
personal feelings in the way of productivity for the organisation.
For project groups, if none of the group members have overall expertise and
experience on the whole project, the group leader can be changed on each phase of
the project. If it is troublesome, or it is has been decided that the group leader should
not be changed then it is best to have an assistant leader who is suitable during that
phase of the project. As an example, supposing an MET institution decides to install
a training simulator, the assistant leader of the project group can change from
someone familiar with simulators to someone familiar with contracts for purchase and
maintenance and end with someone experienced with installation of electronics
hardware. In fact this is a clear example of teamwork, at its best, working for quality.
52
r
Generally the frequency of meetings should not be fixed, as it is best that

groups meet as often as the groups themselves deem necessary. The frequency of
meetings however is usually a good indicator of how well a group is functioning. As
an extreme example if a group was formed to achieve a defined task within a short
time frame but had so far only met only once, it is clear that something was not right.
Many things could have happened, perhaps something happened during the first
meeting that made members decide to proceed individually; or perhaps the group
leader decided that he can handle the project by himself. Whatever the problem, it is
clear that management should take interest in each group’s progress and remedy any
problems as soon as possible. When groups are not functioning well the problems
within the groups may affect the quality of performance of personnel when carrying
out their daily routines and responsibilities. Not only does quality suffer indirectly,
but the quality of productivity may suffer directly because with each unproductive
meeting manhours are lost. As an example a 3 hour meeting of 8 executives with an
average salary of 20 US dollars an hour would cost 3 x 8 x 20 which equals 480 US
dollars. If at the end of the meeting the members leave with unresolved problems or
even more problems, then there is clearly no quality in the whole setup. It is therefore
to the interest of management that meetings are carried out productively and
members understand that there is a dollar value in manhours.
The venue where groups meet and work, should be comfortable and
conducive to the working environment necessary for maximum productivity and
quality. Again as an example, in MET institutions, rooms near a noisy workshop
should not be used for research work. What about the instances where meetings are
scheduled to take place at a certain room, only to be canceled at the last minute
because another group is using the room? Or a project is suddenly postponed
because the tools and resources are not working or are not available because it was
loaned out to another institution. All of the above examples show clearly that for
groups to function effectively and for groups to produce high quality work, there
53
should be efficient management of the institutions resources. Here again is an

example of the importance of teamwork amongst departments and groups in and
MET institution.
All working groups should function formally as their responsibility to deliver

is no different from those of individuals. However the degree of protocol required
within each group should be discussed and decided upon. Protocol should so far as
possible be minimised, this is particularly more relevant in third world countries rich
in tradition. As an example a group leader decided that there should be an urgent
meeting, but wasted three hours waiting outside a departmental managers office just
because he is required to inform the manager personally by word of mouth. How can
there be rapport and free flow of ideas and thoughts when there is a requirement for
members to address a senior member with the utmost respect and humiliate
themselves with long verses before they can even speak a word. Sometimes a senior
ranking personnel can be so intimidating that no one even dares to speak. Ever
attended a meeting where every head is bowed and group members are apprehensive
about even having eye contact with a senior member of the group? Here is another
good indicator of how well a group is functioning, for if meetings are carried out in a
rigid environments then the work produced will similarly be rigid and devoid of all
creativity and ideas.
• 4.4 Organising for Research
In organising human resources in an MET institution, the institution’s

involvement in research should always be an important deciding factor. It is
necessary, when discussing teamwork for quality in MET institutions, to briefly also
54
discuss the different structures that may be used to create an environment conducive
for good research. When committed to research the success of an MET institution
obviously should lie not only in the quality of education and training but also in the
quality of the research work produced. Basically there are two main areas to be
discussed, namely the degree of involvement of personnel between teaching and
research; and the number of personnel to commit to research in considering the
human resources available to the institution.
There appears to be a wide ranging view on how much teaching personnel

should engage in research, or to some; how much research personnel should engage
in teaching. Whether it should be viewed as teaching staff involved in research or
research staff involved in teaching really depends to a great deal on the aims and
goals of each institution. Whatever it is, both teaching and research are important and
the quality of each to a certain extent depends on the quality of the other. This means
that there should be a little of each in the other.
MET institutions can be divided into three categories, namely institutions

where,
the main bulk of -work done is to educate and train seafarersfor the industry,
t the main bulk of the -work done is to do research for industry,
< resources are devoted equally to education as -well as research.
Although in the first category research is usually viewed from a teaching perspective,
it does not mean that the institution cannot engage in small research programs for the
industry. It is unlikely that the work produced from research turns out to be of no
benefit at all to the on going courses in the institution. It may appear to some that
institutions belonging to the second category appear to be the best equipped in terms
of knowledge and resources to educate and train seafarers. This is not true because
education and training depends on the quality of teaching and if an institution does
55
not have good teachers then the quality of teaching would be low whether it has
good research information or not. Although institutions belonging to the third
category enjoy ‘the best of both worlds’ the quality of education and research really
depends on how best each department can draw from the knowledge of the other.
The conclusion is that the relationship between teaching and research is symbiotic
and the physical and human interface between the two should be managed effectively
for quality in the MET institution. Teamwork between personnel in the two
departments is an important factor not only for the quality of education and training
but also for the good of the institution as a whole.
In looking at the structure for human resources in MET institutions figures

4.1 to 4.7 best illustrate the varying options available to an MET institution.
There are a wide variety of possibilities and numerous figures can be drawn to
represent these possibilities. The important thing is that each institution should
consider which structure best suits them with regards to their aims and goals and
available resources. The following areas should also be considered:
• the recruitment ofpersonnel
• the priority given to each department yvith regards to the utilisation of resources
9 the possibility of periodical rotation of responsibilities between teaching and

research personnel
With regards to the recruitment of personnel the questions to ask is at which level
should recruitment be done? Should personnel be employed with only teaching skills
or should they already possess some form of research experience or qualification?
This is an important question for MET institutions where teaching personnel may be
recruited without any form of shore working experience.
56
Teamworic for quality assurance
There is also a possibility that the research department within an educational

institution may grow so quickly that there is a possibility that the whole department
would break away and operate independently. The same can be said for a research
institution where for some reason or another it is found that the training department
should operate on its own. The reasons could be finance, politics, legislation, union
demands or government policy.
In conclusion, MET institutions should seriously consider the relationship and

interface between education and research in their organisational structures. The role
of research in education, and education in research, should be considered and
discussed at length in order that coordination of resources through teamwork can
provide an environment conducive for quality.
57
In the following diagrams, the triangles represent the distribution of human
resources in an MET institution. The base of the triangle represents junior
personnel members and the peak represents the senior most personnel in the
institution. An organisational structure which is matrix in nature would be
represented by a shorter triangle and an organisation which is hierarchical would
be tall with a shorter baseline. The darker shaded areas represent research
personnel and the lighter shaded areas represent teaching personnel.
An MET institution where there is no

dedicated research department and
where every personnel engages in their
own research activities.
An MET institution where there is a

dedicated department for research with
its own internal organisational structure
led by a head of the department.
An MET institution where research is

only carried out by junior personnel.
58
An MET institution where research is
only carried out by personnel after they
have attained some form of seniority.
An MET institution which engages in a

lot of research which supports the
teaching personnel. The aim of the
institution is still to educate and train
and for that purpose is led by the
teaching personnel.
figure 4.5
An MET institution with aims and goals

for pure research work but which also
has a teaching department to pass on
the knowledge gained from research.
figure 4.6
59
An MET institution where minimal
research is carried out but has good
working relationships with research
institutions which passes on information
to the institution.
figure 4.7
60
CHAPTER 5 - STAFF APPRAISAL AS A METHOD
OF QUALITY ASSURANCE
• 5.1 Appraisal and the need for it
Although there are wide views on what appraisal means, the general
understanding is that it is the method whereby the performance of staff is assessed
and gauged. The need to appraise staff stems from the desire to have staff perform to
expectations, and in many cases it is hoped that with an effective appraisal method,
staff can perform beyond expectations. Putting it in the quality perspective, appraisal
is about assessing the performance of staff so that through the results of the appraisal
mechanism and the actions that follow, the performance of staff can improve
gradually into one which is of quality.. Again here when the word quality is used the
process or product being mentioned should be ‘fit for purpose.’ Since this chapter
focuses on the quality of teaching staff in MET institutions, it is best to stress that
the appraisal of teaching staff should not be restricted to their performance within the
classroom but should also extend towards their activities outside the classroom.
61
Staff appraisal as a method of quality assurance
Montgomery and Hadfield (1989, p.l5) in their book ‘Practical Teacher

Appraisal’ views the meaning and purpose of appraisal as:
... prizing and valuing a teacher’sperformance.
They however add that this view of appraisal is not always shared by those involved
in the process. In enforcing their view they further mention that dictionary definitions
show that the word ‘appraisal’ is derived from the word ‘value’ and is therefore not
necessarily restricted to the more industrial actions of costing and estimating. This is
interesting and important because unless appraisal in teaching is viewed more in
terms of value than in terms of cost, the application of it in MET would slowly fall
under the control of industry.
Stake (1989, page 13), as Director of the Centre for Instructional Research
and Curriculum Evaluation at the University of Illinois in his paper, ‘The Evaluation
of Teaching’, list the purposes for teacher evaluation into the following:
# providing data for the reward of merit and the correction of

shortcomings.
4 aiding the selection of the best qualified teachers in new positions
and retention of the most needed in old
t assisting in continuing professional education for teachers.
< contributing to the understanding of the operation of the school as a

whole.
In analysing his perspective, all of them can be equally and accurately applied in
MET. However in MET there should be an additional fifth underlying need for
teacher appraisal and that is:
62
♦ assuring a high standard of quality and safety in the maritime field

and the professions -within.
In focusing on what the actual appraisal mechanism should be like,

Montgomery and Hadfield (1989, pp.9-10) states that among the agreed principles,
appraisal should not be ‘a series of perfunctory periodic events’, but should instead
be ‘continuous and systematic’. They further quote a document of the ‘Advisory
Conciliation and Arbitration Service’, ACAS, as defining the stages for the appraisal
process into;
4 selfappraisal andpreparation
4 initial review discussion
4 classroom observation
the appraisal interview
4 appeals
# records
Although the above stages can equally be applied in MET it should not limit
the scope of the activities that are being appraised. As an example, the research and
scholarly pursuits of maritime lecturers and instructors are just as important as their
lecturing or training abilities.
• 5.2 Appraisal of Teaching Staff in Maritime Institutions.
It would be too ambitious and unrealistic to cover the whole topic of

appraisal in just this section, as an alternative samples are given in the appendix of
this dissertation. However key elements necessary for the development of an effective
63
appraisal mechanism in MET institutions are discussed here. In section 5.1 of this
chapter the various stages for appraisal were given and it is the intention of this
chapter to proceed further by discussing the areas where a teacher in an MET
institution should be appraised upon and the different methods that can be used.
In maritime institutions the performance of teachers should be gauged very

much from their ability to deliver to students the necessary knowledge, in order that
they, the students, can perform a job or carry out a specific task effectively and
safely. To be more direct, the appraisal should gauge the ability for teachers to
deliver a quality lecture or session. For there to be quality in any lecture a teacher
should take part and be involved in various activities both within and outside the
classroom. The appraisal should cover the following areas:
< delivery skills

use of teaching aids
4 assessment skills
4 research and scholarly pursuits
Although all of the above are important, teachers should be appraised as well on the
way they carry and present themselves. This is especially important for teachers who
are involved in the pre-sea phase of training, where character building forms part of
the curriculum. The commitment they show in the MET profession and their
involvement in activities that benefit MET as a whole, are also key indicators to a
teachers character.
Section 5.1 focused more on reasons for appraisal and the various stages that
could be used in appraising. In this section, the areas where teachers in an MET
institution should be appraised upon was looked at. It is now necessary to focus more
closely on the follow up aspect of the appraisal mechanism. Here lies the most
64
difficult part of the appraisal mechanism because the enviroiunent in an MET

institution is different and as mentioned in chapter two, is unique and suffer many
ills other institutions do not. Because of the sensitivity and importance of staff
retainment in MET institutions the author feels that the best approach thus far is to
adapt the three basic approaches that Maier ( 1976, pp.4-19) showed in his book,
‘The Appraisal Interview : The Three Basic Approaches’. Although the three
approaches are to be used for the appraisal interview, it can equally be applied in
dealings with teachers in MET institutions. The three approaches are the:
f Tell and Sell Method

4 Tell and Listen Method
4 Problem-Solving Method
In adapting and using the “Tell and Sell Method” in MET, the main bulk of
the work lies in convincing teachers that the appraisal method used is accurate. By
“selling” the appraisal methods used it is hoped that the “telling” part will be made
simple. If for example a teacher recognises that the appraisal method used is fair,
accurate and reliable then it would be simple for him to recognise and accept his
weaknesses. For this to happen all teachers should participate in the formulation of
the appraisal mechanism to be used.
In the “Tell and Listen Method” there is less focus on trying to get the teacher
to accept the appraisal mechanism used but more on getting the teacher to discuss the
accuracy of the appraisal. It is human nature to reject criticism of oneself, so all this
method does is to make the criticism more palatable. Simply put, what this method
does is to let the teacher identify his weaknesses through discussion.
The “Problem Solving Method” is perhaps the least practicable in MET, since
it is time consuming and if not monitored may lack direction. This method involves
65
frequent discussions between the teacher and a supervisor to identify a teachers

weaknesses. The main bulk of the appraisal in this method lies in the discussions
themselves. This method may not work very well in an MET environment, where
egos, built up through years of sea experience, become barriers to an individual’s
ability to recognise own weaknesses. The plus point in the second method as opposed
to this method is that a teachers weaknesses are already shown in the appraisal. The
intention is to have the teachers accept their weaknesses more easily by having them
describe their weaknesses in their own perspective.
In choosing which method to use, MET institutions should consider the

resources available and the maritime environment that they are functioning in. For
third world countries there may be local but more easily acceptable methods.
Whatever the methods used, it should be able to identify the weaknesses of each
individual. The method used, should also be effective enough to make individuals
accept their weaknesses and want to correct them. However in as much as it is
important for teachers to improve themselves, the comparison techniques used should
be one based on minimum instead of maximum criterias. This is important, as variety
in the quality of teachers, in itself, provides students with comparisons to what is
good and bad.
• 5.3 Presentation, Conduct, Commitment and Involvement.
In any training institution students always look toward teachers for guidance
and usually identify with certain teachers. The . quality of students produced, would
therefore depend on the standards and example set by lecturers. It is important
therefore that the appraisal mechanism used should deal with the presentation,
conduct, commitment and involvement of teachers.
66
Teachers should present themselves in a neat, tidy manner not only because
they should set good examples but also because the effectiveness of their lectures
depends on their attire. As an example a teacher cannot talk about discipline if he
himself dresses untidily and behaves in a lazy manner. Apart from attire, presentation
also includes personal hygiene. Students notice even small details like finger nails,
dental hygiene and body odour. In fact body odour can be quite overpowering and
may make it very difficult for students to concentrate. In institutions filled with
professionals, nobody likes to discuss things like that and in fact in some countries it
may even be considered taboo. It may not be a problem in countries with cooler
climate but institutions operating in warmer areas should consider this. Although
students do mention things like that on the remarks section of appraisal sheets, the
question is whether supervisors take this kind of remarks seriously.
Every educated individual will know that through their years of education
they would have come across some teachers who have very disgusting habits in class.
These habits include picking their nose, scratching their private parts, spitting and
blowing their nose without a handkerchief. An individual may carry these habits for
years without realising that it is offending. Again here students do indicate that they
find these habits offending and distractive in appraisal sheets. As an effective
measure, management of institutions can require staff to attend very short in house
courses on personal hygiene.
Teachers need not be saints, but should at least conduct themselves in an

appropriate manner when they are in contact with students, whether inside or outside
the classrooms. Frequently swearing obscenities, criticising colleagues, behaving
temperamentally, boasting and making racial comments are all unbecoming of the
profession. Students get distracted very easily by the above mention behaviours and
may resent the teachers. It is very difficult for a student to be receptive when the
67
Stair appraisal as a method of quality assurance
knowledge is coming from a source he hates. Worst still, the resentment may be
demonstrated by prolonged arguments on topics with the teachers, affecting the
whole class and reducing the productivity of the session. It is important therefore that
the appraisal mechanism should deal with this area of behaviour to ensure that there
is quality in lectures.
For effective education and training, total commitment and involvement from
teachers is essential. Most of the teachers in MET institutions have invariably gone
through various systems of education and training whether in their home countries or
through the same system in the institution they are working in. On joining the
institutions they bring with them many of their own preconceived ideas of what
constitutes an effective system of education and training. Because of the typical
higher turnover of staff suffered in MET institutions, students usually experience a
wide variety of teaching methods. One advantage of this is that through the years,
students would have been able to gauge which method of teaching is good and which
is not. The disadvantage however is that having gone through their careers
successfully they might have developed the notion that inferior teaching methods
would not seriously affect the performance of students. On joining MET institutions
as lecturers or trainers, they may not feel that commitment is really necessary, after
all, they still managed to obtain their certificates of competency despite all the poor
teaching methods they went through. It is important therefore that the appraisal
mechanism should stress to them that their commitment to the profession is
absolutely essential for continual improvement of the maritime profession. Some
would think that the more senior a teacher is, the better he would be at teaching. The
truth is that without a high level of commitment, dedication and involvement, a
teacher would not improve on his teaching methods, no matter how long he teaches.
With the right level of commitment to his profession, a teacher can be a ‘third year
teacher’ after three years, but without it, he would not improve through the “first
year teacher’ phase, even after fifteen years in the profession.
68
In section 5.1 it was mentioned that apart from the corrections of

shortcomings one of the many other reasons for appraisal is to provide data for the
reward of merit. McMahon (1989, p.l77), in her paper ‘School Teacher Appraisal
Schemes in England: The Pilot Scheme Experience,’ in discussing the suggestion that
teacher appraisal should be linked to pay mentioned that teacher associations
themselves opposed it. Green (1989, p.200), when discussing the same suggestion in
his paper ‘Teacher Assessment in an Education Authority in Scotland’ agreed with
the associations by writing:
One has to agree that retaining the element -would have

almost certainly frustrated the effective introduction of
appraisal schemes. The removal of the pay element left
the -way free for such schemes to be developed in a
positive rather that in a negative way, not in order to
reward a few compared with the rest, but in order to help
everybody to become a better teacher.
Pratt and Stenning (1989, p.9), in their book “ Managing Staff Appraisal in
Schools” gave a possible solution to associating reward with pay by suggesting:
It appears at present that any ‘reward’ linked to

performance will be initially in the form of incentive
grades as opposed to a cash award as such.
It would not be wrong to say that most MET institutions have limited funds
and if pay was to be associated with teacher appraisal, there would only be enough
funds for a few individuals. With the ‘incentive grade reward’ method suggested by
Pratt and Stenning, a more constant well balanced delivery of cash towards teachers
69
n
can be achieved. The author feels that this would be the right method to offer reward,
since it does not contradict at all with any quality assurance principles. Furthermore
the appraisal mechanism would be able to draw out the correct reason for
performance which is commitment instead of cash.
• 5.4 Research and Scholarly Pursuits
The rapid pace at which technology and legislation changes in the maritime
industry, makes it necessary for teachers to be constantly up to date on
developments. It is beneficial for institutions to not only require teachers to be
knowledgeable on recent changes in technology and legislation but also to have them
involve in the changes.
One of the uniqueness of the maritime industry, is that the influence on

change is always more based on recent events and developments. For example, as a
result of a recent accident involving lost of live, new legislation was introduced to
prevent a recurrence of the incident. Similar examples can be given for changes in the
maritime industry as a result of new technology. Teachers should therefore constantly
keep abreast of developments in the industry in order that they can relay these
changes to students and prepare them for it.
New technology also constantly changes the approach and perception

towards problems in the industry. Having teachers do research not only keeps them
abreast of changes, but also in a way, contribute to the progress and health of the
maritime industry as a whole. One of the consequences of the rapid pace of change in
the industry, is that there are beginning to be less and less experts in the maritime
fleld. A testimony to the above statement is the shortage of books on maritime topics
70
■
in the industry. The existing void of authors in the maritime field is, to say the least, a
serious and worrisome fact. One method of remedying the situation is to try to make
maritime teachers more involved and engaged in research activities. To express their
findings and their thoughts they must also improve on their scholastic skills.
Appraisal of teachers in MET institutions should therefore include their

involvement in research activities and also the steps they take to improve their
scholastic skills. It is interesting to note that in most books on appraisal of teachers,
there is a lot of mention on the need for teachers to engage in research in the teaching
profession itself. Although this is important, in MET, teachers should engage more
on research in the maritime field.
• 5.5 Student feedback
There seems to be a lot of reservation on the effectiveness and accuracy of

feedback from students regarding performance of their teachers. Although teachers
are often interested in what students think of them, it is the weightage they give to
the feedback that varies from teacher to teacher. Since improvement is best when
there is a recognised need for it from the individual itself, whether teachers follow up
on student feedback, depends a great deal on what teachers think of students as
appraisers. Pratt and Stenning (1989 p.97), when commenting on pupil feedback in
their book. Managing Staff Appraisal in Schools, reported :
Whilst many teachers -would encourage informal

feedbackfrom pupils ( and do of course receive this every
day! ) the value of formalising their assessment is
debatable.
71
Nevertheless from the quality assurance perspective, staff appraisal should

indeed be formal. It is how the appraisal is done and the strength and follow up to
each appraisal that is important. For example most MET institutions offer different
levels of education and training from basic short courses, pre-sea preparatory
courses, post sea courses right up to post graduate courses. Having a single form for
appraisal for all these courses is wrong and does not reflect the differences of
experience and maturity of students in these courses. Furthermore the structure and
content of courses themselves demand differences in the appraisal method. As an
example the appraisal method for a ship management course cannot be used
effectively and accurately for a short course consisting of numerous practical
demonstrations. In MET institutions when considering student feedback for appraisal
of teachers the following should be considered:
4 type of students
4 level of course
4 structure of course
♦ curriculum
♦ duration
When using student feedback to evaluate teachers it is essential that the

appraiser realises its limitations. As an example, students may use appraisal forms as
a means to reward or retaliate against teachers. Other factors usually have nothing at
all to do with the teacher’s performance and may include all forms of prejudices
whether general or personal. The appraiser should not only be aware of typical
prejudices like religion and race, but should also be aware of untypical prejudices like
age, height and nationality.
In looking at the MET institution itself, as a whole, the accuracy of student

feedback depends on the following:
4 the degree of importance placed on the feedback itself
72
the commitment and acceptance by teachers on the

appraisal process
4 the amount of explanation given to students prior to
obtaining such feedback
> the effectiveness of the student affairs department in
dealing -with student complaints
4 the follow up actions
♦ the management of documents
Looking at all the above factors it is clear that a badly managed institution
cannot possibly expect accurate and reliable feedback from students.
• 5.6 Training Needs
After having appraised teachers effectively, one of the most important follow
up actions is to have a training programme for teachers which is micro enough to be
able to correct individual teachers weaknesses and macro enough to include all the
latest teaching techniques. Training is also important because in itself it provides an
opportunity for self appraisal. For example when attending a training module on
teaching methods, teachers are given the opportunity to compare techniques.
Training modules for teachers should be designed to provide for the following:
corrective action
< self appraisal

4 awareness
improvement
73
Training also offers teachers the opportunity to become students themselves,

and with that, provide them with a better understanding of student response and
behaviour.
74
c
CHAPTER 6 - THE IMPACT OF INTERNATIONAL
CONVENTIONS AND CODES ON
QUALITY ASSURANCE IN MET
• 6.1 STCW Convention and Quality Standards
As mentioned in Chapter 1, one of the impetus for the author to write on

quality assurance in MET is the revision to the STCW Convention of 1978. Within
the revision is a new regulation and guide for application of quality assurance systems
in MET institutions. It is therefore necessary here to briefly introduce and identify
respectively the STCW Convention and the revisions that would have a bearing on
The STCW Convention was established in 1978 by the International

Convention on Training and Certification of Seafarers. Unlike the other main
maritime conventions; SOLAS, MARPOL, Loadline, COLREG and ILO 147, the
STCW deals directly with manpower in the industry. As expressed in the convention
75
The impact of international conventions
itself, the aims and goals of the convention were to promote safety of life and
property at sea and protect the marine environment by the establishment of
international standards of training certification and watchkeeping for seafarers.
The convention is divided into three parts with the first consisting of
seventeen articles, the second, an annex to the convention and the third, recording
the resolutions of the convention. Since the .1995 revision to the convention, in effect,
would change some parts of the convention it is best to identify here, how the revised
format of the convention would be. The 1995 revision to the convention changes the
annex by giving it a new format and adds a few more resolutions into the third part.
The annex would now consist of a set of regulations and a code which is divided into
two parts, that of:
Part A - Mandatory standards regarding provisions of the annex to

the convention.
and
Part B - Recommended guidance regarding provisions of the ST'CW

convention and its annex.
The parts in the annex that deal with quality assurance are regulation 1/8 and its
corresponding sections of A-1/8 and B-1/8 of the code. Regulation 1/8 is titled
‘Quality Standards’ and section Al/8 titled ‘National Objectives and Quality
Standards’, with B-1/8 titled as ‘Guidance Regarding Quality Standards’.
The other maritime convention that indirectly has some bearing on quality
assurance in MET institutions, is the 1974 convention for the ‘Safety of Life at Sea’
(SOLAS). In Chapter IX of the convention the International Safety Management
(ISM) Code is made mandatory for parties to the convention. The code sets quality
standards for safe manning and operation of ships and in essence requires shipping
companies to adhere to the standards in order that they can be issued with a
76
certificate of compliance. Without the certificate, shipping companies of flag states

who are party to the SOLAS Convention, in effect, would not be able to trade.
• 6.2 Impact on MET Institutions
The mandatory requirements in section A-1/8 states that the field of

application of the quality standards shall cover inter alia all training courses and
programmes and the qualifications and experience of instructors and assessors.
Section B-1/8 guides Administrations of Flag States to ensure that the arrangements
adopted to establish quality standards, encompass the Administrations responsibilities
for approving training and assessment at all levels, from undergraduate-type courses
and updating courses, to short courses of vocational training.
With regulation 1/8 and the above mandatory requirement, all MET
institutions of flag states would have to implement quality assurance systems and
subject the systems to internal and external audit. The whole process of
implementation and audit of the quality assurance systems would have to be
subjected to the scrutiny of their Administrations. The Administrations, on their part,
should submit reports on the quality assurance systems in their MET Institutions to
the Secretary-General of the International Maritime Organisation (IMO).
The regulations given in the convention are explicit in requiring the external
audit to be independent and not be carried out by parties involved in the process that
they are auditing. MET institutions should therefore already begin to consult their
administrations, on the form of the quality assurance system that would be best suited
for the requirements of the convention, and the environment in which they operate in.
Institutions who operate under passive administrations or administrations with limited
resources may well have to initiate the preliminary work totally by themselves. In
considering the form of the quality assurance to implement, MET institutions should
consider the guidance given in Section B-1/8 of the convention. B-1/8 guides
Administration of Flag States to take into account existing national or international
models.
Regulation 1/6 and Section A-1/6 titled ‘Training and Assessment’ requires
instructors to be qualified in the task for which training is being conducted. It also
requires instructors conducting training using a simulator to be themselves trained in
instructional techniques involving the use of simulators. MET institutions should
therefore already start to ensure that they have suitably qualified and trained
personnel for the requirements mentioned above. It is interesting to note that earlier
draft documents required instructors to also hold relevant experience to the task they
are instructing in. Although this requirement was subsequently removed, MET
institutions should take heed and be guided when planning manpower needs. After
all Section B-1/6 does guide administrations to ensure that instructors hold
appropriate experience for the particular types and levels of training that they are
instructing in.
The revision to the STCW Convention, in a way, requires MET institutions to

increase the scope and variety of courses provided in order that they can become
leading institutions in their countries and region. The revision imposes additional
requirements on countries to have their MET institutions emphasize more on
competency base and refresher training. There is also a specified mandatory minimum
safety training requirement for all seafarers. Radar and ARPA training by simulators
would also become mandatory when the convention comes into force. The analysis of
range and quality of courses provided by major MET institutions should take into
account the additional requirements of the revision to the convention. Extracts from
78
relevant sections of the revised STCW Code are included in the appendices for
reference.
The ISM Code additionally provides MET institutions an opportunity to

widen the courses they provide to include all the training requirements of shipping
companies as a result of having to submit to the requirements of the code. It would
definitely be a plus point for MET institutions to have expertise in quality
management and assurance systems. The code definitely supports the argument that
MET institutions should have personnel well trained in the field of quality assurance.
The code directly provides MET institutions to offer courses on the following:
< quality assurance, particularly in the area of safety

reporting and auditing.
4 management training in general
4 maritime language and communications training
4 emergency training
Morriss (1995, p. 17) of the International Ship Managers Association (ISMA),

when commenting on regulations in general, had this to say about the response of
the maritime industry to regulations:
Regrettably, regulations imposedforcibly have tended to be

met by grudging compliance and have never achieved the
universal acceptance which was intended All too often
such regulations have served only as an opaque glass for
some in industry to acquire the appearance of
respectability while implementing the minimum
requirements or whatever can be engineered There may
79
even be some yvho expend more effort in circumventing

regulatory requirements than yvould be required in their
implementation.
MET institutions should therefore view the requirements of the revision to the
STCW Convention as a blessing of opportunities instead of making the typical
mistake of grudging compliance to the revision.
• 6.3 Sharing knowledge and resources
For some MET institutions the requirements of the revision to the STCW
Convention amounts to an immense undertaking of resources and expertise. For
developing countries many of the existing maritime legislation came into force when
they were either still under colonial administrations or had just been freed from such
administrations. Most countries did not even have an independent MET system then,
the reaction to most of the requirements of international legislation would obviously
be, one more of, emulation of their former colonial power. Since developing
countries are now better equipped with infrastructure and are more experienced in
meeting international maritime legislative requirements, they should develop then-
own strategies.
The recent requirements of the ISM Code and the revision to the STCW
Convention also comes at a time when developing countries have at their disposal a
pool of trained maritime professionals. Most of these professionals were trained at
the World Maritime University (WMU), some perhaps, from years of experience in
dealing with maritime affairs and some both. At no time in the history of MET, is
there such an opportunity for developing countries, to draw from such a pool of
80
1
trained manpower. However the best results can only be achieved through
cooperation, and it is here that the ‘Alumni’ of the WMU, can play an important role
in cooperation between developing countries; at least in the fulfillment to the recent
requirements of the ISM Code and the revision to the STCW Convention. Other
MET associations, like IMLA, and especially regional MET associations, like the
Asean Association of Maritime Education and Training Institutions (AAMETI),
provide excellent platforms for forums and debate in obtaining, and arriving at, the
best implementation method.
81
CHAPTER?- CONCLUSIONSAND
RECOMMENDATIONS
• 7.1 Conclusions and recommendations
The year long effort put into research and writing on this topic have brought
the author to conclude that there is a very definitive approach towards the application
of quality assurance in MET institutions. There should also be a high degree of
understanding of the processes towards standardisation amongst the upper
management personnel of the institution. The approach should be formed through
systematic analysis of two areas when implementing quality assurance, the first, is on
the type of standards available, including the certification process and the second, is
the analysis of the institution as a functioning body. Only from detail and worthwhile
analysis can the best be drawn out from these two areas to set the path for eventual
establishment of a quality assurance system in the institution.
82
Conclusions and recommendations
The necessary ingredients for success are:-
4 commitment and support from management throughout the whole

undertaking
4 recognition by personnel that the institution would eventually

benefitfrom the whole exercise
4 sufficient training to ensure that personnel can carry out the task
required by the process
4 sufficient resources
* constant reanalysis and improvement of the system
♦ teamwork
If there is to be a grandfather clause for the application of quality assurance,

then it should be that “ quality assurance is not a cure all solution.” It is unlikely that
the ongoing problems of any institution would not affect either directly or indirectly
the successful implementation of a quality assurance system. This does not mean that
an institution should wait forever until the problems are solved, neither should the
problems be used intentionally as an excuse for not implementing a quality assurance
system. The world is not a perfect place and the author in propagating the need to
iron out as many of these problems as possible, before implementation of a quality
assurance system, is just looking at an ideal scenario for total success. What is
important is whether at the end of the day the institution would benefit from quality
assurance or suffer a complexity of problems arising from untimely or unsuitable
implementation.
One very important area not to be overlooked, is that of the legal implications
of having a quality assurance system. Of late the author have noticed many reports of
legal cases involving accidents as a result of defective products or improper
83
Conclusions and recommendations
procedures, especially in countries with a high degree of consumer awareness. In

many of these cases, quality assurance supervisors have been called upon to testify
that quality assurance procedures were not followed. The irony of it is that once
procedures have been written and accepted as the best and safest by the body itself
then it is unlikely that the procedures would be always followed. The key lies in fast
recognition of nonconformances and immediate and decisive action at least to use the
quality assurance procedures to advantage as proof in showing that the remedy was
carried out immediately. In other words, these legal cases should not be a put off but
instead should guide bodies to design their systems so as to make them useful and be
able to be used as positive evidence.
From research one of the conclusions of the author is that there will be a wide
variety of styles and systems being used by MET institutions worldwide. Perhaps
there will be a revision to the STCW Convention next century to give us more
definitive requirements for quality assurance in MET institutions. Meantime only
through frequent exchange of information between MET institutions can each
institution learn from the experiences of another. There already have been much talk
about making the WMU more active in worldwide education of training and
education standards in the maritime industry. The author would like to recommend
that the “Alumni of the WMU” play a more active role at least as a forum for
exchange of information for institutions in third world countries.
84
BIBLIOGRAPHY
Abrahamson, B J ( 1993). ‘Assessing Educational Quality’. IMLA Newsletter, 'May

1993, pages 43 - 54.
Dale B, Oakland, J and BSI (1991). Quality Improvement Through Standards.

Cheltenham: Stanley Thornes.
Department of Trade and Industry (1987). BS 5750 /ISO 9000 /EN29000: 1987. A
Positive Contribution to Better Business. London: DTI.
Green, M (1989). ‘Teacher Assessment in an Education Authority in Scotland’. In

Assessment for Teacher Development. Edited by J D Wilson, GOB Thomson, R E
Millward, T Keenan. Lewes: The Palmer Press.
Hammer, J (1994). ‘NACCB - your questions answered’. BSI News, May 1994,
pages 8 and 9.
Heseltine, M (1995). ‘Platform’. BSINews, January 1995, pages 4 & 5.
International Maritime Organisation (1994). International Safety Management Code.

London: IMO.
International Maritime Organisation (1995). STCW, 1978 as revised 1995. London:

IMO.
International Ship Managers Association (1990). Code of Ship Management

Standards of the Intenational Ship Managers Association. Cyprus: ISMA.
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Bibliography
Johnson, L P (1993). ISO 9000 - Metting the New International Standards. New
York: McGraw-Hill.
Leback, W G (1991). ‘Preface to Management of Safety in Shipping’. In The

Nautical Institute on the Management of Safety in Shipping. Edited by D J Sanders.
London: The Nautical Institute.
Loder, C (1990). Quality Assurance and Accountability in Higher Education.

London: Kogan Page.
Maier, N R (1976). The Appraisal Interview: The Three Basic Approaches. La Jolla,
California: University Associates.
Marsh, A G ( 1991). An Introduction to Quality Assurance in Shipping. London: the

Nautical Institute.
McMahon, A (1989). ‘School Teacher Appraisal Schemes in England: The Pilot

Scheme Experience’. In AssessmentforTteacher Development. Edited by J D Wilson
et al. Lewes: The Palmer Press.
Montgomerry, D and Hadfield, N (1989). Practical Teacher Appraisal. London:

Kogan Page.
Morriss, R E F ( 1995). ‘High standards of ISMA Code not for everyone’. Asian
Shipping, July 1995, pages 17-18.
Nautical Institute (1991). The Management of Safety in Shipping. London: The

Nautical Institute.
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Bibliography
Pratt, J and Stenning, R (1989). Managing StaffAppraisal in Schools. London: Van

Nostrand Reinhold.
Simons, H and Elliott, J (1989). Rethinking appraisal and assessment. Milton

Keynes: Open University Press.
Stake, R E (1989). ‘The Evaluation of Teaching’. In Rethinking appraisal and

assessment. Edited by H Simons and J Elliott.
Vaucelle B, Federspiel B, Hutchinson G, Moolman L (1994). ‘Standards and the

Consumer: Partners for a Better World’. ISO Bulletin, October 1994, pages 3-15.
Standardiseringskommissionen i Sverige (1992). ISO 9000 International Standards

for Quality Management. Stockholm: SIS.
Williams, G and Loder C ( 1990). ‘The Importance of Quality and Quality

Assurance’. In Quality assurance and accountability in higher education. Edited by
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Wilson J, Thomson G, Millward R, Keenan T (1989). Assessment for Teacher

Development. Lewes: The Palmer Press.
87
APPENDICES
88
I
STCW.6/Circ.l
ANNEX
Page 16
.3 any additional information provided by the Party.
9 In preparing the report to the Maritime Safety Committee required by regulation 1/7, paragraph 2,
the Secretary-General shall;
.1 solicit and take into account the views expressed by competent persons selected from the
list established pursuant to paragraph 5;
.2 seek clarification when necessary from the Party of any matter related to the information
provided under regulation 1/7, paragraph 1; and
.3 identify any area in which the Party may have requested assistance to implement the
Convention.
10 The Party concerned shall be informed of the arrangements for the meetings of competent
persons, and its representatives shall be entitled to be present to clarify any matter related to the
information provided pursuant to regulation 1/7, paragraph 1.
11 If the Secretary-General is not in a position to submit the report called for by paragraph 2 of
regulation 1/7, the Part}' concerned may request the Maritime Safety Committee to take the action
contemplated by paragraph 3 of regulation 1/7, taking into account the information submitted pursuant
to this section and the views expressed in accordance with paragraphs 7 and 8.
Section A-I/8
Quality standards
National objectives and quality standards
1 Each Party shall ensure that the education and training objectives and related standards of
competence to be achieved are clearly defined and identify the levels of knowledge, understanding and
skills appropriate to the examinations and assessments required under the Convention. The objectives
and related quality standards may be specified separately for different courses and training programmes
and shall cover the administration of the certification system.
2 The field of application of the quality standards shall cover the administration of the certification
system, all training courses and programmes, examinations and assessments carried out by or under the
authority of a Party and the qualifications and experience required of instructors and assessors, having
regard to the policies, systems, controls and internal quality assurance reviews established to ensure
achievement of the defined objectives.
3 Each Party shall ensure that an independent evaluation of the knowledge, understanding, skills
and competence acquisition and assessment activities, and of the administration of the certification
system, are conducted at intervals of not more than five years in order to verify that:
.1 all internal management control and monitoring measures and follow-up actions comply
with planned arrangements and documented procedures and are effective in ensuring
achievement of the defined objectives;
I:\CIRC\STCW\06\CIRCl
r’
I
STCW.6/Circ. 1
ANNEX
Page 169
.1 received appropriate guidance in assessment methods and practice ; and
.2 gained practical assessment experience under the supervision and to the satisfaction of
an experienced assessor.
5 Any person responsible for the supervision of the in-service assessment of competence of a
seafarer intended to be used in qualifying for certification under the Convention, should have a full
understanding of the assessment system, assessment methods and practice.*
Section B-I/7
Guidance regarding communication of information
Reports of diiTicuIties encountered
Parties are requested to include in the reports required by regulation 1/7 an indication of any
relevant guidance contained in part B of this Code, the observance of which has been found to be
impracticable.
Section B-IZ8
Guidance regarding quality standards
1 In applying quality standards under the provisions of regulation 1/8 and section A-I/8 to the
administration of its certification system, each Party should take account of existing national or
international models, and incorporate the following key elements;
.1 an expressed policy regarding quality and the means by which such policy is to be
implemented;
.2 a quality system incorporating the organizational structure, responsibilities, procedures,

processes and resources necessary for quality management;
.3 the operational techniques and activities to ensure quality control;
.4 systematic monitoring arrangements including internal quality assurance evaluations, to

ensure that all defined objectives arc being achieved; and
.5 arrangements for periodic external quality evaluations as described in the following

paragraphs.
2 In establishing such quality standards for the administration of their national certification system.
Administrations should seek to ensure that the arrangements adopted:
’IMO Model Course 3.12 - Examination and Certification of Seafarers may be of assistance in
the preparation of courses.
I:\CIRC\STCW\06\CIRC 1
STCW.6/Circ. 1
ANNEX
Page 170
.1 are sufficiently flexible to enable the certification system to take account of the varying
needs of the industry, and that they facilitate and encourage the application of new
technology;
.2 cover all the administrative matters that give effect to the various provisions of the
Convention, in particular regulations 1/2 to 1/15 and other provisions which enable the
Administration to grant certificates of service and dispensations and to withdraw^cancel
and suspend certificates;
.3 encompass the Administration's responsibilities for approving training and assessment

at all levels, from undergraduate-type courses and updating courses for certificates of
competenc)' to short courses of vocational training; and
.4 incorporate arrangements for the internal quality assurance reviews under paragraph 1.4
involving a comprehensive self-study of the administrative procedures, at all levels, in
order to measure achievement of defined objectives and to provide the basis for the
independent external evaluation required under section A-1/8, paragraph 3.
Quality standards model for assessment of knowledge, understanding, skills and competence
3 The quality standards model for assessment of knowledge, understanding, skills and competence
should incorporate the recommendations of this section within the general framework of either:
.1 a national scheme for education and training accreditation or quality standards; or
.2 an alternative quality standards model acceptable to the Organization.
4 The above quality standards model should incorporate:
.1 a quality policy, including a commitment by the training institution or unit to the

achievement of its slated aims and objectives, and to the consequential recognition by the
relevant accrediting or quality standards authority;
.2 those quality management functions that determine and implement the quality policy,
relating to aspects of the work which impinge on the quality of what is provided,
including provisions for determining progression within a course or programme;
.3 quality system coverage, where appropriate, of the academic and administrative

organizational structure, responsibilities, procedures, processes and the resources of staff
and equipment;
.4 the quality control functions to be applied at all levels to the teaching, training,
examination and assessment activities, and to their organization and implementation, in
order to ensure their fitness for their purpose and the achievement of their defined
objectives;
.5 the internal quality assurance processes and reviews which monitor the extent to which
the institution, or training unit, is achieving the objectives of the programmes it delivers,
and is effectively monitoring the quality control procedures which it employs; and
I:\CIRC\STCW\O6\CIRC1
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.6 the arrangements made for periodic external quality evaluations required under
regulation 1/8, paragraph 2 and described in the following paragraphs, for which the
outcome of the quality assurance reviews forms the basis and starting point.
5 In establishing quality standards for education, training and assessment programmes, the
organizations responsible for implementing these programmes should take account of the following:
.1 Where provisions exist for established national accredition, or education quality

standards, such provisions should be utilized for courses incorporating the knowledge
and understanding requirements of the Convention. The quality .standards should be
applied to botii management and operational levels of the activity, and should take
account of how it is managed, organized, undertaken and evaluated, in order to ensure
that the indentified goals are achieved.
.2 Where acquisition of a particular skill or accomplishment of a designated task is the

primary objective, the quality standards should take account of whether real or simulated
equipment is utilized for this purpose, and of the appropriateness of the qualifications and
experience of the assessors, in order to ensure achievement of the set standards.
.3 The internal quality assurance evaluations should involve a comprehensive self-study of

the programme, at all levels, to monitor achievement of defined objectives through the
application of quality standards. These quality assurance reviews should address the
planning, design, presentation and evaluation of programmes as well as the teaching,
learning and communication activities. The outcome provides the basis for the
independent evaluation required under section A-1/8, paragraph 3.
The independent evaluation
6 Each independent evaluation should include a systematic and independent examination of all
quality activities, but should not evaluate the validity of the defined objectives. The evaluation team
should:
.1 carry out the evaluation in accordance with documented procedures;
.2 ensure that the results of each evaluation are documented and brought to the attention of
those responsible for the area evaluated; and
.3 check that timely action is taken to correct any deficiencies.
7 The purpose of the evaluation is to provide an independent assessment of the effectiveness of the
quality standard arrangements at all levels. In tlie case of an education or training establishment a
recognized academic accreditation or quality standards body or Government agency should be used. The
evaluation team should be provided with sufficient advance information to give an overview of the tasks
in hand. In the case of a major training institution or programme, the following items are indicative of
the information to be provided:
.1 the mission statement of the institution;
.2 details of academic and training strategies in use;
I:\CIRC\STCW\06\CIRC 1
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.3 an organization chart and information on the composition of committees and advisory

bodies;
.4 staff and student information;
.5 a description of training facilities and equipment; and
.6 an outline of the policies and procedures on:
.6.1 student admission,
.6.2 the development of new courses and review of existing courses,
.6.3 the examination system, including appeals and resits,
.6.4 staff recruitment, training, development, appraisal and promotion,
.6.5 feedback from students and from industry, and
.6.6 staff involvement in research and development.
The report
8 Before submitting a final report, the evaluation team should fonvard an interim report to the
management seeking their comments on their findings. Upon receiving their comments, the evaluators
should submit their final report, which should:
.1 include brief background information about the institution or training programme;
.2 be full, fair and accurate;
.3 highlight the strengths and weaknesses of the institution;
.4 describe the evaluation procedure followed;
.5 cover the various elements identified in paragraph 4;
.6 indicate the extent of compliance or non-compliance with the requirements of the

Convention and the effectiveness of the quality standards in ensuring achievement of
defined aims and objectives; and
.7 spell out clearly the areas found deficient, offer suggestions for improvement and provide
any other comments the evaluators consider relevant.
I;\CIRC\STCW\06\CIRC 1
1.4 functional requirements lor a
safety-management system
1.1 Definitions
Every Company should develop, implement and maintain a safety-manage
ment system (SMS) which includes the following functional requirements:
1.1.1 International Safety Management (ISM) Code means the Inter
national Management Code for the Safe Operation of Ships and for .1 a safety and environmental-protection policy;
Pollution Prevention as adopted by the Assembly, as may be amended by .2 instructions and procedures to ensure safe operation of ships
the Organization.
and protection of the environment in compliance with relevant
international and flag State legislation;
1.1.2 Company means the owner of the ship or any other organization or
person such as the manager, or the bareboat charterer, who has assumed .3 defined levels of authority and lines of communication
the responsibility for operation of the ship from the shipowner and who, on between, and amongst, shore and shipboard personnel;
assuming such responsibility, has agreed to take over all duties and .4 procedures for reporting accidents and non-conformities with
responsibility imposed by the Code. the provisions of this Code;
1.1.3 Administration means the Government of the State whose flag the .5 procedures to prepare for and respond to emergency situa
tions; and
ship is entitled to fly.
.6 procedures for internal audits and management reviews.
1.2 Objectives
2 SAFETY AND ENVIRONMENTAL-PROTECTION
1.2.1 The objectives of the Code are to ensure safety at sea, prevention of POLICY
human injury or loss of life, and avoidance of damage to the environment,
in particular to the marine environment and to property. 2.1 The Company should establish a safety and environmental-protec
tion policy which describes how the objectives given in paragraph 1.2 will
1.2.2 Safety-management objectives of the Company should, inter alia: be achieved.
.1 provide for safe practices in ship operation and a safe working 2.2 The Company should ensure that the policy is implemented and
environment; maintained at all levels of the organization both, ship-based and shore
.2 establish safeguards against all identified risks; and based.
.3 continuously improve safety-management skills of personnel

ashore and aboard ships, including preparing for emergencies
related both to safety and environmental protection. 3 COMPANY RESPONSIBILITIES AND AUTHORITY
1.2.3 The safety-management system should ensure: 3.1 If the entity who is responsible for the operation of the ship is other
than the owner, the owner must report the full name and details of such
.1 compliance with mandatory rules and regulations; and entity to the Administration.
.2 that applicable codes, guidelines and standards recommended
by the Organization, Administrations, classification societies 3.2 The Company should define and document the responsibility,
and maritime industry organizations are taken into account, authority and interrelation of all personnel who manage, perform and verify
work relating to and affecting safety and pollution prevention.
1.3 Application 3.3 The Company is responsible for ensuring that adequate resources
and shore-based support are provided to enable the designated person or
The requirements of this Code may be applied to all ships. persons to carry out their functions.
CODE OF SHIPMANAGEMENl STANDARDS
OF THE GROUP OF FIVE: ADOPTED BY ISMA
Barber International A/S, Oslo; Columbia Shipmanagement Ltd., Limassol;
Denholm Ship Management, Glasgow; Hanseatic Shipping Company Ltd., Limassol;
Wescol International Marine, London
Det Horske Veritas; Germanischer Lloyd; Lloyd’s Register
Cyprus 19th December 1990
Preamble the efficiency, reliability and standards of th

The Group of Five wish to promote quality ‘shipmanagement companies’ by introducing Q.(
standards in the shipping industry and has systems and having them certified by ai
prepared and adopted this Gode as their basic independent auditing body.
instrument through which quality and safety can
be further enhanced. The Code enumerates the CHAPTER 1
principles, which are to govern the work within
the different sectors concerned with ‘Ship General
Management.’ 1.0 Scope and Field of Application
Ageing fleets, reduction in shipyard capacities and This Code for quality ship management specific,
the shortage of qualified seafarers will continue to requirements for quality assured ship manage
have an impact on the overall situation in ship ment and operation. Compliance with this Code b:
management. At the same time, the international a shipmanagement Company will ensure that i
shipping community and the users of ship operates with quality assured systems.
management services recognize the ever growing This Code specifies those areas where systems and
need for a safe, environmentally conscious and controls are essential to meet this objective. The
efficient ship operation. Shipping authorities, requirements of this Code apply to both shore
classification societies and others are engaged in based and shipboard management.
reviewing rules and regulations, governing The verification of compliance with this Code wil.
quality and safety. be carried out by an independent body.
This Code is based on the experience of people A company requiring certification under this Code
directly involved in the shipping industry and must operate in and comply with all chapters of
intensive discussion and team work within the this Code. Where any individual shipmanagement
Group of Five, assisted by representatives of agreement does not require the company to
leading class societies.
provide all of the services detailed in this Code, the
Although this Code originally was intended for company, having received certification, shall
independent ship management companies, it has apply the relevant requirements of the Code to the
been formulated in a way to enable straight services it provides.
forward adoption by shipowners managing their By this Code the Group of Five intend to establish a
own ships. In the latter case, chapter 17 regarding quality assurance system within its scope and
the Ship Management Contract is likely to be field of application. The Code is not intended to be
superfluous, but a similar type of document must read or construed as a product guarantee/
exist between the investment side of the company warranty.
and its Ship Management division.
Three Classification Societies—namely, Det In this Code items with suffix 'O’ are a description
Norske Veritas, Germanischer Lloyd and Lloyd’s of its underl3ring aims and general expressions of
Register of Shipping—will form an Independent intent which fall outside the scope of audit.
body, which will be responsible for assessing the 1.1 Objectives
quality assured management of the Group of Five The objective is to provide quality assured
Companies (and any other companies wishing to shipmanagement services. This entails, but is not
comply with this Code). This body will audit the limited to:
company’s operations, and at the discretion of the
auditors, spot check shipboard operations. • Operating the ship and transporting cargo
The Code will be updated and revised according to safely and efficiently;
the following procedures: • Avoiding Injuries to personnel and loss of life;
1. The Group of Five together with the three • Conserving and protecting the environment;
classification societies shall convene a meeting • Protecting the owners’ assets that are entrusted
at least once a year to discuss updating and to the shipmanager;
revision of the Code. • Complying with statutory and classification
2. The Group of Five shall appoint one of its rules and requirements; • ''
members to co-ordinate and circulate infor • Applying recognised industry standards when
mation regarding the Code generated by its appropriate;
members Internally and from the three classifi • Providing the owner with sufficient, accurate
cation societies and outsiders. and timely information about the operation and
3. Any revisions/amendments in the Code will be sUtus of the ship;
by unanimous agreement by the Group of Five. • Continuous development of skills, systems and
It is hoped that this (Dode will be welcomed by the understanding of the business;
industry and further strengthen the confidence in • Preparing for emergencies.
30 THE NAUTICAL INSTITUTE
X.g Reference • The company's policy and aim shall be to
1.2.1 Requirements of the following documents provide services in compliance with the
are incorporated in this Code; Code;
• ISO-9002-1987 Quality Systems—Model • The company acknowledges that both it
for Quality Assurance in Production and and the owner are carrying on business
Installation: with a view to profit. The company shall
• IMO—Resolution A-647(16). Guidelines . not accept business for which it does not
on Management for the Safe Operation of have the necessary capability and
Ships and Pollution Prevention. resources;
• The company shall allocate its resources
1.2.8 The requirements of the following docu so as to render equitable and faithful
ments are to be complied with in meeting the performance to each of its owner clients;
requirements of this Code: • Subject to aU relevant provisions of the
• The appropriate national and inter management agreement, the company
national rules and regulations for the shall advise owners of any conflict of
relevant ship; The appropriate classifi interest:
cation society rules and regulations for • The company shall respect the confiden
the relevant ship. tiality of each owner’s business and
activities:
1.5 Definitions • The company’s policy shall emphasise its
1.3.1 The. Code commitment to safety, protection of the
The Code means the Code for Quality Ship* environment and to the safeguarding of
Management. owners’ property;
1.3.2 The company • The company shaU whenever possible
The company is the organisation which advise the owner of any potentially
controls and/or is responsible for the dangerous or other unacceptable situ
management of a ship. The company may be: ations;
— The shipmanager: • The company shall not knowingly
being the organisation to whom the owner participate in activities or practices which
has entrusted the management of his ship it knows to be unsafe or illegal;
by contractual agreement. • The company’s policy shall be to promote
— The division of the owner which manages a healthy working environment including
the ship. but not limited to the provision of safe
The company must consist of seagoing guards against drug and alcohol abuse
personnel to operate, maintain and control aboard ship always in conformity with
the ship (the shipboard management) and internationally accepted standard;
shore-based personnel to establish, im • The company shall not continue or
plement, verify and control policies, systems commit themselves to carry out business
and procedures (the shore-based manage for an owner when the service to be
provided may be used in the furtherance
ment). of illegal activities to the actual knowledge
1.3.3 The owner of the company
The owner is deemed to be the person or • The company shall at all times adhere to
company who has the authority to entrust sound principles with respect to the
the management of a ship to the company. management of funds and cash.
1.3.4 Shipmanagement agreement 2.1 The company shall define and document its
The shipmanagement agreement is the policies and objectives for and general com
legally binding document which defines the mitment to quality. The company shall
terms and conditions under which the ship establish procedures to ensure that this
manager agrees to provide services for the policy is understood, implemented and
management of the owner’s ship in return maintained at all levels in its organisation.
for agreed financial remuneration.
1.3.5 Shipmanagement CHAPTER 3
Shipmanagement means the rendering of
services for ship operation and associated Organisation
services. 3.0 A defined organisational structure for all
1.3.6 Procedures sectors of activity is necessary for the imple
Procedures means documented procedures, mentation of the Code.
which are promulgated by the company to 3.1 The company shall establish and maintain a
cover aspects of management and operation formal organisational structure for the ship
of the ship. The maintenance of procedures board and shore-based management which
requires that the company shall (by means of defines the responsibility, authority and
internal and external audits) verify that inter-relation of personnel who manage,
established procedures are being observed. perform and verify work affecting quality.
3.2 The company shall also identify in the formal
chapter 2 organisational structure the personnel who
are given the organisational freedom and
Business Ethics authority to perform their inspection and
2.0 The company by its board of directors shall verification responsibilities. Such personnel
expressly confirm its adherence to the shall verify compliance with the quality re
requirements of this Code including the quirements and when required, initiate
following points; necessary actions.
MANAGEMENT OF SAFETY 31
• The Identification of verbal communications CHAPTER 18
that require to be recorded and/or con
firmed in writing. Records
16.2 The company shall define lines and methods 18.1 Records shall be maintained to demonstrate
of communication within the ship and the company’s achievements are of the
within the shore-based management, and required quality and give effective operation
between the ship and the shore-based of the quality system.
management, including those for weekends, 18.2 The company shaU esUblish and maintain
holidays and after office hours. procedures for identification, indexing,
16.3 The company shall establish and maintain filing, storage, maintenance and disposition
communication procedures between the of quality records.
company and the owner, which shall ensure 18.3 All quality records shall be retained for a
that owner receives:
prescribed period and be easily available for
• All information that affects the ship such period.
operation or availability;
• Routine reports and documents as agreed 18.4 The records shall reflect the tasks
with the owner. undertaken and the results obtained.
16.4 The company shall establish and maintain 18.5 Storage conditions shall be adequate and
procedures for prompt dispatch of crew mail back-ups for computer records shall be
to each vessel. provided.
18.6 Procedures for disposal of records shall be
CHAPTER 17 defined.
Management agreement CHAPTER 19
17.0 The company shall manage the ship in
accordance with sound management Auditing body
practice.
19.1 External audits to verify compliance with
17.1 The company shall sign with the owner a the requirements of this Code shall be
management agreement accepting the carried out by independent auditors. The
management of a vessel. three classification societies—namely,
17.2 The terms and the language of the agreement Germanischer Lloyd, Det Norske Veritas and
shall be clear, unambiguous and easily Lloyd’s Register of Shipping—have been
understood by the contracting parties. requested to form an auditing body to ensiu-e
17.3 The company’s responsibilities, authorities, consistant application of the requirements
obligations and services shall be clearly for the Code.
defined in the agreement. 19.2 The Code defines the requirements for
17.4 The agreement shall further include quality ship management and includes the
financial aspects, reporting procedures and requirements of ISO 9002,1987. All require
accounting system, suitable clauses for ments of the Code are to be complied with.
termination, proceedings in the event of 19.3 On completion of a satisfactory audit, an
default, arbitration and governing law, appropriate and unique certificate shall be
indemnities, liabilities and force majeure as issued. This certificate shall also coflrm
wen as official communication procedures. compliance with ISO 9002. Partial com
17.5 The owner’s responsibilities and obligations pliance certification documents wlU not be
including remuneration to be paid to the issued.
shipmanager shall be clearly defined in the 19.4 The certificate will be valid for a period of
agreement.
three years subject to annual intermediate
17.8 Nothing in the management agreement shall audits.
be contrary to or in violation of the
applicable laws and regulations.
CHAPTER 20
17.7 The shipmanager shall establish and
maintain procedures for the formal review of Quality system
potential contract or agreement which may 20.1 The company shall establish and maintain a
be established with the owner. documented quality system as a means by
17.8 The company shall establish contract review which stated policies and objectives are
procedures: accomplished.
to ensure that management agreements 20.2 The documented quality system procedures
are satisfactorily explicit and compre and Instructions are to be in accordance with
hensible in their terms; the requirements of this code.
that the owners’ requirements of his 20.3 The company shall demonstrate by the
manager are satisfactorily covered by
the management agreement; provision of objective evidence that the
documented quality system procedures and
any requirements differing from preli instructions are being effectively imple
minary proposal are resolved; mented.
— that the company has the capability to 20.4 The company shall conduct planned periodic
discharge its obligations under the management reviews of the quality system
management agreement. in order to verify or improve the effective
17.9 Records of such reviews are to be ness of the system. Records of management
maintained. reviews are to be maintained.
38 THE NAUTICAL INSTITUTE
20.5 The company shall Identify and plan (all) 21.4 Changes to documents are to be reviewed and
activities and operations which directly approved by the designated personnel before
affect quality and ensure that these are issue. Changes are to be readily identifiable
carried out under controlled conditions. in the documents.
Controlled conditions shall include 21.5 A suitable document control procedure is to
procedures, work instructions, etc., where be established in order to ensure that the
the absence of such would adversely affect revision status of the documents can be
quality. readily identfied and to preclude the use of
20.6 Special operations superseded or obsolete documents. The
These are activities, operations, tasks, etc., documentation control procedure shall also
where substandard performance/errors define the method of distribution and
only become apparent after an accident has prescribed location or holder.
occurred or the quality of the service is
significantly impaired. CHAPZEB 22
Special operations are to be identified and
continuous monitoring and/or compliance Internal quality audits
with existing documented procedures is
required to ensure that intended service 22.1 The company shall carry out internal quality
requirements are met. audits to verify whether quality activities
comply with planned arrangements and to
CHaFISB 21 determine the effectiveness of the quality
system.
Document control 22.2 Audits shall be scheduled on the basis of
21.1 The company shall establish and maintain status and importance of the activity.
procedures to control all documents and data 22.3 The audits and follow-up actions shall be
that relate to the requirements of the Code. carried out in accordance with documented
Documents shall be examined for adequacy procedures.
and approved by designated personnel 22.4 The results of the audits shall be documented
before issue. and brought to the attention of the personnel
21.2 All such documents eire to be controlled in having responsibility in the area audited.
order to ensure that the pertinent issue of The management personnel responsible for
appropriate documents are available at the area shall take timely corrective action
defined locations or to specified personnel. on the deficiencies found by the audit.
21.3 Obsolete documents are to be promptly 22.5 The audits shall be carried out by personnel
removed from these defined locations or independent of those having direct respon
specified personnel. sibility for the work being performed.^
MANAGEMENT OF SAFETY 39
Summary of ISO 9000 Series
ISO 9000, Quality management and quality assurance standards - Guidelines for
selection and use.
Clarifies the distinction and interrelationship among the ISO 9000 quality concepts and
provides guidelines for selection and use.
ISO 9001, Quality systems - Modelfor quality assurance in design/development,

production, installation and servicing.
For use when conformance to specified requirements is to be assured by the suppliers

during several stages which must include design/development, production, installation
and servicing.
ISO 9002, Quality systems - Modelfor quality assurance in production and

installation. ,
For use when conformance to specified requirements is to be assured by the supplier

during production and installation.
ISO 9003, Quality systems - Modelfor quality assurance in final inspection and test.
For use when conformance to specified requirements is to be assured by the supplier

solely at final inspection and test.
ISO 9004, Quality management and quality system elements - Guidelines.
Provides guidance on the technical, administrative and human factors affecting the
quality of products or services, at all stages of the quality loop &om detection of need to
customer satisfaction.
METHOD TELL AND SELL TELL AND LISTEN _________________ PROBLEM-SOLVING___________ to
o
Objectives To communicate evaluation To communicate evaluation To stimulate growth and development in employee
To persuade employee to improve To release defensive feelings
Psychological Employee desires to correct weaknesses if he People will change if defensive Grovrth can occur without correcting faults
Assumptions knows them feelings are removed Discussing job problems leads to improved
Any person can improve if he so chooses performance
A superior is qualified to evaluate a subordinate
Role of
Interviewer Judge Judge Helper
Attitude of People profit from criticism and One can respect the feelings of Discussion develops new ideas and mutual interests
Interviewer appreciate help others if one understands them
The Appraisal Interview

Skills of Salesmanship Listening and reflecting feelings Listening and reflecting feelings
Interviewer Patience Summarizing Reflecting ideas
Using exploratory questions
Summarizing
Reactions of Suppresses defensive behavior Expresses defensive behavior Problem-solving behavior
Employee Attempts to cover hostility Feels accepted
Employee’s Use of positive or negative incentives or both Resistance to change reduced Increased freedom
Motivation for Extrinsic: motivation is added to the job itself Positive incentive Increased responsibility
Change Extrinsic and some intrinsic Intrinsic motivation—interest is inherent in the task
motivation
Possible Success most probable when employee Employee develops favorable Almost assured of improvement in some respect
Cains respects interviewer attitude toward superior, which
increases probability of success
Risks of Loss of loyalty Need for change may not be Employee may lack ideas
Interviewer Inhibition of independent judgment developed Change may be other than what superior had in
Face-saving problems created mind
Probable Perpetuates existing practices and values Permits interviewer to change his Both learn, because experience and views are
Results views in light of employee’s pooled
responses Change is facilitated
Some upward communication
Figure 1. Comparisons Among Three Types of Appraisal Interviews
Source : Maier
• SCALE
1. Excellent
2. Satisfactory
3. Improvement needed
4. No opportunity to
assess
1. Teaching skills 1 2 3 4
a) Knowledge of subject area

b) Preparation/planning/design of teaching plans
c) Motivation of pupils
d) Scope and use of different teaching/learning methods
e) Consideration of different pupils' needs
2. Class atmosphere
a) Relationships with students/pastoral care

b) Display work and classroom appearance
c) Maintenance of discipline necessary for effective
learning
Source
3. Wider school activities
a) Relations with parents and others responsible for
:
pupils
b) Co-operation with colleagues and outside helpers Pratt and Stennin
c) Participation in school activities
4. Professional development
a) Degree of initiative for self development

b) Involvement in extra responsibilities
c) Willingness to innovate and adopt new approaches
Figure 3.4 A rating scale approach to appraisal.

PROFESSIONAL DEVELOPMENT INTERVIEWS
NAME:_________________________ ___ POSITION:_______________
DATE:_______________
1. How do you see your post as

it relates to: the school/
colleagues/the children?
2. What aspects of your work

are you most pleased with? •
Why?
3. Are there any aspects you.

want to improve?
4. Is there anything preventing

you from working as you
would wish? Source : Pratt and Stenning
5. What aspects of school

organization need changing
to help you to be more
effective?
Figure 6.3 A pre-appraisal questionnaire.

6. What are your plans/
objectives for the next 6
months? 12 months? the
future?
7. How does this relate to our

present Individual
Development Plan? How
does it need to be reflected
in future I.D.P.'s?
8. Is there any training which

you feel would be beneficial?
9. What personal professional

development would you like
to take place in the next 12
months?
10. What contribution do you

think you could make to the
Source
development of the school?

:
Pratt and Stenning
11. What would you want me

(the H.T.) to do/change to
enable you to be more
effective (magic wand!)?
Figure 6.3 continued.

STAFF APPRAISAL
Name: Ennp. No Department;

Job Title: Date Appointed to Current Job:
SECTION I - To be completed by Assessor.
Past year’s performance. Standards of performance and objectives have

been met as follows:
Standards Achieved
Description
1. ................................ KEY:
2. ................................ 1= Outstanding
3. ................................ 2= Totally Satisfactory
4. ................................ 3= Adequate
5. ................................ 4= Room for Improve
6. ................................ ment.
7. ................................
8. ................................
Comments:
Future Year - Job Objectives for the next 12 Months.
1.
2
Source
3
4
;
5
Pratt and Stenning
6
7
8
Comments:
SECTION II
Development
Development/Training areas for the next 12 months are;
SECTION III
Assessee's Comments on Section I;
Assessee's Signature Date
Assessor's Signature Date
SECTION IV
Source
Second Assessor’s Comments;
:
Pratt
arse*
Stennin
When Assessment Form has been completed and signed please return the
original to the Personnel & Administration Manager.
Figure 6.2 An ‘open’ appraisal form.

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World Maritime University

The Maritime Commons: Digital Repository of the World Maritime

World Maritime University Dissertations Dissertations

Quality assurance in maritime education and training institutions

Follow this and additional works at: https://commons.wmu.se/all_dissertations

QUALITY ASSURANCE IN MARITIME

A dissertation submitted to the World Maritime University in partial fulfillment

MARITIME EDUCATION AND TRAINING

© Copyright Sim Lin Woon, 1995

Co- Assessed by:

Co- Assessed by:

My profound gratitude to the MATES Foundation of Malaysia for providing me with

An examination is made on management theories on quality and quality assurance.

A discussion is made on all the steps necessary for successful implementation of a

A discussion is made on the impact of international conventions such as the

2 Quality and quality assurance

3 Initiating, setting up and auditing a quality

4 Teamwork for quality assurance

5 Staff appraisal as a method of quality assurance

6 The impact of international conventions

7 Conclusions and recommendations 82

Appendix 1 Extracts from the STCW Convention

Appendix 2 Extracts from the ISM Code

Appendix 3 Extracts from the ISMA Code

Appendix 4 Summary of ISO 9000 Series

Appendix 5 Table of comparisons among three types

Appendix 6 Appraisal forms

Figure 1 Process of standardisation 19

Figure 3 Process of implementation of QA in

Figures 4.1 4.7 Organisational structures 58 60

AAMETI ASEAN Association of Maritime Education and Training Institutions

In Maritime Education and Training (MET), quality assurance began to be

Views of visiting professors to the University, who are usually principals of

industry, and include representations from support personnel to government

The International Organisation for Standardisation in ISO 8402, defines

For teaching to be of high quality it is necessaryfor it

In Maritime Education and Training (MET), quality cannot be defined only in

... one of the most international industries in the

♦ A growing separation between financial ownership and

♦ A ^widening division between the country of origin of the

towards high standards of safety in all modes of transport

• 2.2 Quality Assurance

Quality assurance basically means the assurance of quality in a product or

This is the -wrong approach, and indicates a failure to

He further adds that:

All those planned and systematic actions necessary to

BS ENISO 9000 is a system standard and registration

Although MET can be considered a service industry the measure of quality

In a later paragraph on the assessment process he extends:

‘The overall growth and maturity of the students - student

The management concepts applied and the quality assurance system

For the purpose of quality assurance, standards are precise technical or

Standards are produced and regulated by international, regional and national

ISO The International Organisationfor Standardisation

Following are examples of national standardisation bodies:

BSI British Standards Institution ( United Kingdom)

SIS Standarddisseringskommissioneni Sverige ( Sweden)

Because of their involvement in the standardisation of quality management, it

Its activities includes: