SafetyManagementinSailTraining:Guidelinesforvesselsunder200gt

ContentsWhatisaSafetyManagementSystem........................................................................................1Wheredoesitcomefrom?..........................................................................................................2Whydoweneedtodoit?............................................................................................................3

Overviewoftheproposedsystem ...............................................................................................3Centralisingdocumentation ......................................................................................................3Saywhatyoudoanddowhatyousay .............................................................................3Recordit ........................................................................................................................................4

Definingthecommunicationstructure.................................................................................4Monitoringthesuccessofthesystem ...................................................................................5

FurtherReading...................................................................................................................................6Annex1:PolicyandProcedureTriggerList............................................................................7Annex2:SampleOrganisationChart....................................................................................... 10AssociationofSailTrainingOrganisations,Unit10,NorthMeadow,RoyalClarenceYard,Gosport,Hampshire.PO121BPTel:02392503222

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WhatisaSafetyManagementSystemASafetyManagementSystem(SMS) isanorganisationwideprocess thatensurespoliciesandproceduresareappropriateandfollowed.Contrarytopopularbelief,itis not another file to put on the shelf, but more of a system to encourage andimprovesafetycultureacrossthewholeorganisation.Itrequirescommitmentfromthe Chairman at the top of the organisation through to the newest traineeBoatswain’sMate.CREATINGASMSISNOTAPAPERWORKEXERCISE instigatedby the ‘office’. Itcannotbedenied thatdocumentedpolicies andprocedures are central to a SMS.However, organisationswill havemost of these documents already in place. TheSMSmerelyidentifieswhichofthepoliciesarecentraltothesafemanagementofvesselsandputstheminoneplace.Seastaffshouldnotneedtoreadthroughtheprocedure for claimingexpensesorwearing corporate shirtswhen trying to findtheseacocklocationplan.AnMCAreportintosafetyculture1identifiedthetopthreebarrierstosafetyas:

1. Underminingtheauthorityoftheskipperbymicromanagementfromashore

2. Financialconstraintsresultinginlackofcriticalresources3. Increasedpaperwork

AneffectiveSMSshouldinvolvepeoplefromallsectionsoftheorganisation;seniormanagement, office staff, sea staff and volunteers are all essential to ensure thesystem’s usefulness, and to encourage buy‐in from the whole organisation. Thebarriersidentifiedaboveshouldbeavoidedinyoursystemby(1)definingwhohaswhat responsibility and authority, clearly showing the lines of communication toensure operational staff have sufficient leverage for (2) addressing lack of safetycriticalresources,and(3)shouldnotputpriorityoncompletingpaperworksayingyouhavedonesomethingaboveactuallydoingsomething.Itshouldalsoprovidecomfort to those with a legal responsibility that management of safety is beingcarriedout.

Wheredoesitcomefrom?The ISM2 Code was introduced in 1998 and is compulsory for all vessels over500GT.TheLargeYachtCodeincorporatesguidelinesfortheimplementationofasafety management code for vessels between 200GT and 500GT. Domesticpassengerships(e.g. theGosportFerry)havetheirownsafetymanagementcode,but at present there is noprovision for a SMS in the Small Commercial Codes ofPractice,althoughitislikelytheywillbeincluded,insomeform,infutureeditions.ItshouldbenotedthatitisnotbeingsuggestedthatfullISM,oranythinglikeit,beimplementedonanySailTrainingvesselsthatdonotalreadydoso.ISMisalargeandcomplexsystemdesignedforlargevessels,andwouldbefartoodifficult,andunnecessary, for most organisations to implement. There is a reason that onlyvesselsover500GThavetocomply!

1http://www.mcga.gov.uk/c4mca/mcga‐research_report_521.pdf2InternationalSafetyManagement

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Whydoweneedtodoit?ThelackofaSMSinSCVs3isatoddswiththenormswithintherestofthemaritimeworld. A recent MAIB investigation4 focused on this fact, resulting in a workinggroup being set up, consisting ASTO and MCA representatives, to draft a bestpracticedocumentwithregard tosafetymanagement inSailTraining.This is thedocumentyouarecurrentlyreading.ASTO members are invited to trial the system and suggest changes andimprovements. This is an opportunity to shape a system that is appropriate andworkableintheSailTrainingindustry.OverviewoftheproposedsystemTherearethreemainareastotheproposedsystem:

1. Centralisingdocumentationalreadyinexistence,(updatingandaddingtoitasnecessary)intooneSafetyManagementSystem

2. Definingthecommunicationstructurewithintheorganisationtofacilitatelearninganddisseminationofinformation

3. Definingthemethodsofmonitoringthesuccessofthesystem,withamechanismforimprovementasrequired.

CentralisingDocumentationThebasicprincipleofSMSis:Saywhatyoudo,dowhatyousay,recordit.

SaywhatyoudoanddowhatyousayAnnex 1 provides a trigger list of policies and procedures that youmay need inyourorganisation.Itisnotexhaustiveordefinitive,butisgroupedunderthebroadheadingsoftheDomesticPassengerVesselSafetyManagementCode(see“FurtherReading”).Ifyoudonothaveoneoftheitemsonthistriggerlist,considerwhetheryouneedtoaddit.Ifyoudecidenotto,thenitshouldbeaninformeddecisionthatyou can defend. It is recommended that a working group made up of a cross‐sectionof staff andmanagementundertake this review toensure itmatches reallife.Donotbe fixatedwithcreatingnewpolicy–youroldoneshaveservedyou well so far. It is possible that in some instances what you currently havewrittendown is notwhat really happens, so you either changewhat happens orchangewhatiswritten.Theremayalsobecommonpractices(procedures)whicheverybodyknowsaboutbutwhicharenotdocumentedanywhere.Theseshouldbeadded.Attheendofthisreviewyoushouldhavea listofcurrentdocumentsthatwill formpartofyourSMS,anda listof things toadd.Donotget too focusedonaddingalldeficienciesovernight.At the end of the initial review you will be able to recognise the policies anddocuments,whichmakeupthe ‘paper’sideofyourSMS.E.g.OurSMSconsistsofour Child Protection Policy, Health and Safety policy, Standard OperatingProcedures,StandingOrdersandtheStaffTrainingHandbookAssessmentAnnex.

3SmallCommercialVessels4SeeTSRoyalistreportonwww.maib.gov.uk

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RecorditAs part of themonitoring of the system there should be a record that tasks arecarriedout–hencerecordingactions.Akeywordhereis‘appropriate’,asthelastthingwe need to do is createmore forms and paperwork that aren’t necessary(rememberbarriernumberthreeatthebeginning?).Inmanycasesrecordingwillalready take place E.g. Fuel and water level checks recorded in a notebook, adefectsbook,orcrewlistsupdatedwhennewcrewarrive,buttherewillbeothersthatarenot.Inmostcasesasimpleentryinthelogbookwouldsuffice–‘MOBdrillcarriedout’,‘changesofwatch’,‘navigationallightsswitchedon’,‘sailchanges’.Theimportanceofthelogbookasalegaldocumentshouldnotbeforgotten.Checklistsdeserveabriefmentionnow.Mostofyouwillusechecklistswithinyourorganisation–e.g.dailycleaningroutineonalaminatedlist,butachecklistcanalsobeusedtogreatlyreducetheneedforformfilling,andactasausefulaidememoir.Perhapsmostobviousisthepre‐voyagesafetybrief–haveitonachecklist(NBjustalaminatedtriggerlisttoremindyou,notnecessarilyaformtofillinandfile)andoncecompleteaquicknotemadeinthelogbook‐Pre‐voyagesafetybriefcompleteaccompaniedbyasignature.THECREATIONOFNEWRECORDINGBOOKSORLOGSMAYBEREQUIRED,butitshouldnotbethedefaultposition.

DefiningtheCommunicationStructureAclearorganisationalchartshouldexistsothateverybodyknowswhoanswerstowhom,wherelinesofcommunicationexistandhoweverybodyfitstogether.Annex2 gives a very simple example. The contact details and preferred methods ofcommunicationshouldbeclear.Anexampleofimportantcommunicationisthatbetweenskippersfromonevoyageto the next. The skipper, as a commercially qualified seafarer, takes on a hugeamountof responsibility. It is important that skippersknowthematerial stateofthe vessel and any information of importance during their time in command.Skipper handovers may not always be face to face, but the method ofcommunicationused,andthecontenttobetransferredshouldbeclear.Itcouldbebasedonanelectronicdocumentheldonthevessel’scomputer,itcouldbeapaperpro‐forma to fill in and leave onboard, or it could be a phone call covering therequired information as detailed in a checklist. There isn’t onebestway, but themethodshouldbeclear,andthefactthatthehandoveroccursshouldberecorded–all a phone call would require is a note in the logbook to say, ‘handover briefreceived’. Insummary,yourSMSshould identifywhatneedstobecommunicatedand how it is communicated, and then have a simple way of recording it hashappened.The dissemination of information, particularly policy information or how tooperatenewequipment,becomesmuchharderwhenvolunteersoroccasionalstaffareused.Thefollowingtwoelementsareconsideredtobeimportantinachievingthis:• It is strongly recommended that annual updates take place. Meetings or

trainingdaysaretheidealway,althoughmuchinformationcanbeprovidedvianewslettersand/orwebsites

• Methods of dissemination of updates to procedure, policies or of lessonslearnt from incidents must be carefully considered. Email, website andnewsletters should all be considered as methods of disseminatinginformation.

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Assuming you are able to pull together the various documents into onerecognisableSMSfile,thenitwillbepossibletomakeanannualeditionavailabletoeachvolunteerand/oroccasionalstaffmember.Thiscouldbeverycosteffectivelyproduced inanelectronic formatavailable fromyourwebsite.Thiswouldenablethemtorefreshthemselvesofthepoliciesandproceduresbeforejoiningthevessel.Theprimarycopyonboardcouldincludealogatthebeginningforeachmemberofstafftosigntosaytheyhavereadthisyear’sedition.Theonly element to consider is updates or lessons learnt through the year, postpublicationoftheannualedition.The recommended approach is that the updates are not only entered into theprimary copy onboard, but a duplicate of the changed text be filed onboard in aseparatefolder,filedindateorder.Fromthisstaffneedonlyreadtheentriesintheupdates folder from the their last date onboard to be up to speed. It is worthbearinginmindthatupdatesarenotlikelytobearrivingonaweeklyormonthlybasissothisshouldnotinvolvelargeamountsofwork.

MonitoringtheSuccessoftheSystemAnauditisasnapshotofhowwellthesystemworks,andthiscanbeasimpletooltogetageneralfeelofhowavesselisrun.Itisworthemphasisingthatanauditisofthesystem,notofthepeopleusingthesystem.One element of an audit is ensuring the relevant paper orientated actions havetakenplace:Correctuseof logbook,passageplanning,handovers, accurate crew‐listinformationetc.Theauditneednotbecarriedoutinfullinone‘sitting’,variouselementsofthesystemmaybecheckedperiodicallythroughouttheyear.Thiscanbe carried out in maintenance periods or change over days and need not beintrusive.Ofmoreimportanceistheappraisalofthesysteminpracticei.e.goingtoseaandensuringwhatreallyhappens,iswhatissupposedtohappen(Saywhatyoudo,dowhatyousay).Whereverpossible,eachvesselshouldbeauditedannually,whichmaybecarriedoutbyaninternalmemberofstaff,avolunteerwithappropriateseagoingexpertiseorbyanexternalthirdparty.Inmanywaysanexternalthirdpartyispreferable,astheywillnotonlyassesstheactionsagainstthepolicy/procedure,but they will be viewing the policy/procedure with a fresh eye. This is not theseniorstaffcheckingthe juniorstaff–anybodywhocaninterprettheprocedurescanjudgeiftheyarebeingfollowed,andifnoteverybodyshouldhaveaninputintowhy not – it is just possible that it is a stupid procedure and that it should bechanged.Inadditiontotheseaudits,theappropriatenessofthesystemshouldbereviewedperiodically. Assuming the audits and lines of communication are working,unworkable or irrelevant procedures should be identified,modified, removed orupdated on an ongoing basis. Regardless of this, a review should occur at leasteverythreeyears.

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FurtherReadingSMSforDomesticPassengerShips:‘MSN1754’and‘MGN158(M)’availablefromhttp://www.mcga.gov.uk/c4mca/msn1754.pdfandhttp://www.mcga.gov.uk/c4mca/mgn158.pdfSMSintheLargeYachtCode:‘MSN1792(M)Edition2Annex2’availablefromhttp://www.mcga.gov.uk/c4mca/msn_1792_edition_2.pdf

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Annex1:PolicyandProcedureTriggerListPolicies• HealthandSafety• ChildProtection• ViolentorAbusiveBehaviour• DrugandAlcohol

Listwhichpoliciesneedtobecompliedwith–SmallCommercialVesselCodeorMGN280,MGN410(WorkingatHeights)MSN1802Manning,SolasV,COSWPetcResponsibilitiesandAuthority• Company

OrganisationChart Trustees’/directors’responsibilities Clearlydefined(andapplied)assessmentcriteriaforappointingstaffandvolunteers Delegationofspecificresponsibilitiestocommittees,sub‐groupsorindividuals

• MastersAuthority• OtherPersonnel(BothPaidandUnpaid)

Shipboard Shore‐based Volunteers TrainingandAssessment

• Recordsofstatutoryqualsandexpirydatesofcertificatesforallpersonnel

OperatingProceduresShipboard–ensureallstaffreadandsigntheirunderstandingregularly• Handovertooncomingstaff(particularlytheskipper)–ideallyinpersonbut

ifnotacontinuous‘handoverlog’isrecommended• Pre‐voyagesafetybriefings–tobeloggedwhencompleted• Manning

o Anyspecialrequirementsinpilotageorcongestedwaters?• Passageplanningpolicy(writtendowneitherinlogorseparatenotebook)–thepassageplanshouldbeapprovedbytheMaster.

• WatchKeepingo Minimummanningandqualificationlevelso Restrictedvisibilityo Watchsystemso StandingOrders

• WorkingHours• Sailhandlingandworkingaloft

o Keypositionsforstaffduringsailhoists,drops,tacking,gybing&trimming

o Supervisionoftrainees• UseofEngines• Deckworkmanningandsupervisionwhencomingalongside/departing• Pilotage• RegularEmergencydrills‐tobelogged• Riskassessmentsforactivitiesincludinguseoftender,swimmingoffthe

vessel,goingaloftetc

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Shore­based• Supplychain• Reporting

o Routineo Incident/accidents

• CrewlistandemergencycontactdetailsofallonboardMaintenanceandInspectionRecordofexpirydates• Flares• Batteries

o Lifejacketlightso EPIRBo SARTo Jonbuoylight

• HRUso Liferaftstowageo Lifejackets

• EPIRB• FireExtinguishers• FireAlarmSystems• CodeInspection/survey

PlannedMaintenance(checklist/notebookoronboardcomputer)• Periodforeachcheck–toberecordedwiththedate

o Daily,weekly,monthly,annualorotherperiod• Precautionswhencarryingoutmaintenance/checks

Isolatingmachinery Marking/protectingopenhatchways,removedladdersetc COSHH

• Engineandmachinerychecksandmaintenance• Riggingchecksandmaintenance• VHF(fixedandhand‐held),MF,HF,DSC• AIS• Inmarsatsystems• TestingofSafetyEquipment

EPIRB SART Lifejacketinflatetest Lifejacketlights Lifebeltlights

Emergencyprocedures• Stowageandemergencyequipmentplans• Grounding/Stranding• EngineFailure• SteeringFailure• MOB• Rescuealoft

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• Fire• Collision• Flood• Knockdown• LossofRig• AbandonShip• Frequencyofdrills• Accidentreporting‐bothinternallyandexternally(MAIB)–keepsomeforms

onboardAppendices• Checklistsforrepetitivetasks• ChecklistforEmergencyProcedures• MAIBreportingrequirements

• ContactdetailsofKeyStaff• RiskAssessments• JobDescriptions• Shipboardassessmentforms(forstaffpromotion)

WatchLeaderWatchOfficerBoatswainMatesSkipper

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Annex2:SampleOrganisationChart