self-assessment efficiency of shipping company safety management system

Self-assessment efficiency of shipping company safety management system

Russian Maritime Register of Shipping 2

Self-assessment is a comprehensive and systematic analysis of the organization activity in comparison with the accepted model of work of the organization being a model, an example for others.

Results of the self-assessment conscientiously carried out by the organization on a regular basis allow it to make reasoned decisions of STRATEGIC CHARACTER aimed at improvement of its activity.


The international practice of the quality management has proved that carrying out of self-assessment gives the organization the following advantages:

1) during the assessment of its activity and the results use of a uniform criteria set, which found a wide application in many countries;2) systematic approach to improvement of the activity;3) obtaining of objective appraisals based on the facts but not on the personal perception of individual employees or leaders;4) coordinated understanding of the measures to be taken by the organization in general, its separate divisions and each employee based on the uniform conceptual basis and, first of all, in the key directions;5) training of the personnel to use the principles of safety management;


6) implementation of various initiatives and progressive methods of safety management in the day-to-day activity;7) identification and review of the processes to be improved;8) determination of extent of changes taken place since the previous self-assessment;9) the possibility of propagation of the advanced experience of the best divisions of the organization or other organizations;10) the possibility of the progress acknowledgement and stimulation of divisions and workers by means of bonuses;11) the possibility of comparison with the best results achieved both in this organization and in other organizations.

Advantages of self-assessment (continued):


Therefore, carrying out of self-assessment of the safety management system (SMS) on a regular basis will allow the shipping company to:

1) make a "snap shot" of the current situation of the company's SMS;2) use the uniform criteria set in the assessment of the SMS efficiency;3) realize systematic approach to the SMS improvement;4) obtain the objective appraisal based on the facts but not the personal perception of leaders and/or employees; 5) better understand what measures shall be taken by the company, its divisions and ships in the key directions for the SMS improvement; 6) determine the extent of changes, which have taken place since the previous self-assessment;7) perform more detailed SMS reviews on board the ships and in the company divisions in compliance with Section 12 of the ISM Code "Company verification, review and evaluation".


In addition to the above mentioned it should be noted that, according to the supervision performed during several years, an average number of the ship detentions for the shipping companies, which carried out the SMS self-assessment, is significantly below an average number of the ship detentions for those shipping companies, which did not carry out the SMS self-assessment.


Experts of the Admiral Makarov State Marine Academy (AMSMA) have performed under the RS initiative the research work, which resulted in a procedure for self-assessment efficiency of the shipping companies’ SMS and a software intended for its realization.

In July 2006 the description of this procedure (refer to ND No. 2-089902-001-E «Recommendations on Self-Assessment of Shipping Companies' Safety Management System Efficiency») together with the program “Expert Judgement: Perfection Level Assessment of Shipping Company SMS” have been placed at the official (public) RS website.

Whereupon the RS Branch Offices sent the shipping companies, which offices were located in the regions of their activity, a letter of the RS Director General in Russian and English, where the shipping company’s management was invited to take advantage of that new RS service.


Moreover the RS employees have been prepared Note MSC 82/15/6 dated 8/29/2006.

The document called “ROLE OF THE HUMAN ELEMENT SMS Self Assessment - A Key To Human Element Management” has been presented at 82 session of the Maritime Safety Committee (MSC) on behalf of the Russian Federation.


Here the title page of ND No. 2-089902-001-E «Recommendations on Self-Assessment of Shipping Companies' Safety Management System Efficiency» is presented, describing the updated procedure and the software, already reviewed with participation of the experts of the RHO ISM Code Department.


The reviewed Recommendations briefly describe:

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


Appendices to the reviewed «Recommendations …», ND No. 2-089902-001-E contain:

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


The SMS Mark of Compliance has 2 graphic forms:

in case when the Company did not request RS for the right of its use in the previous year (here - in 2008);

in case when the Company’s right to use the SMS Mark of Compliance is successively confirmed within several years (here – from 2008 to 2010).


The shipping company may use SMS Mark of Compliance in marking:

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


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

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

Thus, the Company has performed its SMS self-assessment, following the provisions of ND No. 2-089902-001-E, or in a different way, which efficiency will be recognized by RS not lower, and has requested RHO in writing for acquiring the right to use the SMS Mark of Compliance.


The address of the RS Internet-site: http://www.rs-class.org/.

Selection of language(English / Русский (Russian))

Here the image of the RS Internet-site, containing ND No. 2-089902-001-E and also the appropriate software, is presented.


“Recommendations on the Self-Assessment of the Efficiency of Shipping Company Safety Management Systems”, ND No. 2-089902-001-E, as well as the interface of the software product “Expert Judgement: Perfection Level Assessment of Shipping Company SMS” have been translated into English and were located in the appropriate version of the official RS website.

First of all, this presentation is intended for English users, therefore the slides will contain the version of the official RS website in English.


Navigation (continued): Official RS website => English => Services (http://www.rs-class.org/en/index.php)


Path (continued): Official RS website => English => Services => Certification of Safety Management Systems (http://www.rs-class.org/en/services/ism.php)

ND No. 2-089902-001-E

Software product “Expert Judgement: Perfection Level Assessment of Shipping Company SMS”

This presentation


The model of excellence of the company’s SMS developed by the experts of the Admiral Makarov State Maritime Academy is described in ND No. 2-089902-001-E, as well as in Note MSC 82/15/6.


Key area А – Policy and responsibility of the Company (see ISM Code, Sections 1, 2, 3);Key area B – Personnel and resources – (see ISM Code, Sections 4, 5, 6);Key area C – Safety of key operations (see ISM Code, Section 7);Key area D – Emergency preparedness (see ISM Code, Section 8);Key area E – Maintenance (see ISM Code, Sections 9, 10);Key area F – Documentation and the efficiency analysis of the Company’s SMS (see ISM Code, Sections 11, 12, 13)

Herein:


For example, for criterion A factors will be: а1, … аi/ Thus the executive carrying out assessment of the company SMS perfection level shall determine each factor value, from 1 to 10 points. Numerical value of each key area, for example A’, shall be determined as the sum of numerical values of the factors:

iА’ = Σ аj

j=1

Furthermore, in compliance with the model described for each key area an array of numerical values, so-called "factors" – the sub-areas being essential for this key area shall be generated.


Numerical value of the key area, for example A, is calculated from the following formula:

А= А’* К1в

Therefore, the sum of criteria A + B + C + D + E + F defines the numerical value of weighted average coefficient, called the system coefficient Ks

that determines perfection level of the company SMS. On the basis of the ratio of the company system coefficient Кs and the maximum possible numerical value of the system coefficient envisaged in the excellence model the following is : 1) initial SMS level Кs ≤ 60 % of max Кs

2) stable SMS level 60% < Кs ≤ 80 % оf max Кs

3) controlled SMS level Кs > exceeding 80 % of max Кs.In the software product the SMS perfection level (factor Кs) is calculated with the aid of normalizing constant by 10 point scale.


After running of the software product "Expert Judgement: Perfection Level Assessment of Shipping Company SMS" (for example, by activation of the file "ExpertSystem.exe" in the distribution package “downloaded” by the user from the official RS site) the following splash screen shall be displayed on the monitor:

Selection of language of the software product interface, (Русский (Russian) / English)


Upon selection by the user of the English version of the software product, the following shall be displayed on the monitor:

Fields,

where the user enters the numerical values of separate factors

Bookmarks«Calculation» and key areas

"Current" value of system coefficient Кs


It should be noted that the software product located at the RS website, as a matter of fact, only automates the process of the system coefficient Кs calculation and refers it to one of the levels proposed by the model’s authors ("initial", "stable" or "controlled").

In fact, the perfection level of the particular company SMS is assessed by a person, who determines the numerical values of separate factors and enters them into the appropriate fields of the software product interface (see the previous slide).

Therefore, when determining points of the particular factor / key area, as a first step, one may be guided by the following regulations.

First of all, the expert carrying out assessment shall clearly understand the company potential in relation to the factor / key area in question.


The same expert shall be aware of the company progress in the assessed area. The more efficiently the company realizes its potential in relation to the considered factor / key area, the more points it may obtain.

Moreover, various incidents might have taken place on the company ships during the period under review, for example, a year. It might have been, in particular:- accidents, emergency cases and / or incidents;- accidents with passengers and / or crew members;- dangerous occurrences / situations;- ships’ detention by Port State Control or their inspections with detected non-compliances with the specified (statutory) requirements;- ships’ survey by classification societies with the identified requirements / recommendations / non-conformities, etc.


According to para 9.1 of the ISM Code, reports on such non-conformities, emergencies and hazardous situations shall be submitted to the Company’s ashore divisions for investigation and analysis "for thepurpose of safety improvement and environmental protection".

Moreover, experience shows that the information on such incidents, as a rule, is included into the SMS analysis reports drawn up by the shipping companies. And the most "advanced" companies necessarily investigate each case in order to determine and eliminate / prevent the accident cause.

Obviously, assessment of the factor / key area in question cannot be maximum, if the investigation results prove that it is this factor / key area that caused the above accident aboard the ship within the period under review.


On the next slide the bookmarks "Calculation" of the SMS self-assessment software product received by RS from the several shipping companies are displayed.

It is interesting to note, that, according to the RS information, the shipping companies seriously engaged in their SMS choose more "weighted" assessment.

However, the companies which, according to the RS information, had problems with SMS (for example, last year emergency cases / dangerous occurrences and/or detention of ships took place), more often overassess themselves (pay attention to the color image on the next slide).


Images of bookmarks "Calculation" of the SMS self-assessment software product received by RS from the several shipping companies.


Taking into account this fact, RS together with the Admiral Makarov State Maritime Academy has added the software product and distribution package archived at the official RS website.

Recommendations for evaluation of each factor

(in the distribution package these files have Russian and English names and extension ".doc").


In particular, regarding participation of the following persons in carrying out the self-assessment: - the Company’s first person;- financial director / chief accountant; - master(s) of ships, and approval of the self-assessment report by the Company’s top management and careful execution of the developed arrangements for the SMS improvement.

Moreover, when carrying out the SMS self-assessment, the shipping company is recommended to more strictly adhere to the provisions of para 5.2.2, ND No. 2-089902-001-E.


In summary, Russian Maritime Register of Shipping heartily wishes all the shipping companies, which have introduced the SMS self-assessment in their activity, success in its application, and, foremost, good lack in provision of safety of the operated ships and, of course, yearly get the right to use the SMS Mark of Compliance.

self-assessment efficiency of shipping company safety management system

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