Element three: Recruitment, Management and Wellbeing of Vessel Personnel

Key Performance Indicators Best Practice Guidance

3A.3 3A.3.l Seminars are held for Senior Regular shore-based seminars are held for Senior Officers.
Officers that promote,
Attendance is mon itored to ensure that Sen ior Officers attend
emphasise and en hance the
shore-based seminars at approp ri ate intervals.
company's SMS.
The content of t he seminars may incl ude:

Company culture, ethi cs and values.

Environmental management.
New legislation.
• Safety, human element and security issues.
3A.3.2 An enhanced documented The company philosophy related to disciplinary procedure is
disciplinary procedure is in based upon Just Cultu re. The procedures cover emp loyees and
place. cont ractors and may include:

• Defined levels of violation.

Levels of authority.
• Investigation.
Actions to be taken.
• Appea ls.
3A.3.3 Health awa ren ess campaigns Health awareness campaigns may include:
are im plemented .
• Weight loss.
• Stop smoking.
Healthy living.
• Malaria prevention.
Sexua lly transmitted disease education .
• Precautions related to working in extreme temperatures and
humidity.
3A.3.4 Retention rates for all officers The company mon itors and records retention rates for all ranks
over a t wo -yea r period are and is able to demonstrate how the retention rate is ca lculated.
ca lculated.
Retention rates are periodically reviewed, trends are ident ified
and appropriate action taken where required.

31
Tanker Management and Self Assessment 3
Key Performance Indicators
3A.4 3A.4.l Seminars are held for
all officers to promote,
emphasise and enhance the
company's SMS.
3A.4.2 A documented procedure to
conductvesse l health-risk
assessments is in place.
3A.4.3 The company provides career
development opportunities
by arranging shore-based
assignments for vessel
personnel.
32
Best Practice Guidance
In addition to the content mentioned in t he Best Practice
guidance of 3A 3.1 the following may be included:
• Specific shipboard procedures, e.g. the ro le of the Safety
Officer, enc.losed space entry, safe mooring and engine room
waste management.
• Career development.
Risk assessments may include:
Exposure to cargo vapours.
• Noise and vibration levels.
• Hazardous materials.
• Extremes of temperature and humidity.
• Ergonomics.
• Lighting.
• Stressful conditions.
These experience facto rs are considered when commissioning
new builds.
Shore assignments may be used for:
• Career development.
• Assessing su itability for promotion.
Using seafarers ashore as subject matter experts for specific
projects e.g. ballast water management, ECDIS, planned
maintenance systems.
 ement
our
Vessel Reliability and Maintenance including Critical Equipment
 Tanker Management and Self Assessment 3

Element 4 and 4A
Vessel Reliability and Maintenance including Critical Equipment
Main objective
Establish maintenance and repair procedures, so that all vessels in the fleet operate safely,
efficiently and reliably, and develop additional control measures for identified critical
equipment.

Reliability and Maintenance

Maintenance may include periodic inspection, measurement, performance monitoring or
physical overhaul, including timely changing of perishable or consumable parts. Maintenance
may be planned in advance or unplanned e.g. due to an abnormal condition or breakdown.

Equipment reliability depends on factors such as design, construction, initial commissioning,

operating practices and maintenance. For installed equipment, a planned and executed
maintenance strategy is essential if vessels are to operate reliably and avoid unnecessary
downtime or costly incidents.

Critical equipment and systems

To mitigate the risk of a vessel incident causing harm to personnel, the environment or assets,
procedures are established to identify critical equipment and systems which, in the event of
sudden failure, may result in a hazardous situation.

Maintenance procedures
Companies develop procedures and systems to manage on board maintenance. These
procedures:

• Ensure that the structural integrity of all vessels in the fleet is maintained through an
appropriate monitoring programme.
• Ensure that all relevant vessel certification remains valid.
• Define the maintenance philosophy required to ensure the safe operation of onboard
equipment.
• Provide timely support and ensure the availability of fit for purpose spare parts and
materials and other resources necessary to carry out maintenance, giving particular
consideration to the origin of spare parts.
• Ensure that maintenance records and reports are consistently available, both on board and
in the shore-based management office.
• Establish procedures for monitoring Class documentation, which provides an overview of
the status of specific on board equipment.
• Establish a requirement for superintendents to conduct routine vessel inspections and
confirm that planned maintenance has taken place.
• Has a system in place to monitor overdue maintenance.
• Provide a defect-reporting and close-out system that can be monitored both onboard and
ashore. The system specifies a formal process for notifying shore management when critical
equipment is taken out of service and includes methods for recording management's
approval of any mitigating steps introduced while the equipment is out of service.

34
Element four: Vessel Reliability and Maintenance including Critical Equipment

35
Tanker Management and Self Assessment 3
4 Vessel Reliability and Maintenance
Aim - The company effectively manages on board maintenance to ensure reliability of the vessel.
Key Performance Indicators
4.1 4.1.1 Each vessel in the fleet
is covered by a planned
maintenance system and
spare parts inventory which
reflects the company's
ma intenance strategy.
4.1.2 A defect reporting system is
in place for each vessel with in
the fleet.
4.1.3 Company management
regularly reviews the status of
fleet maintenance.
36
Best Practice Guidance
The company identifies all equipment and machinery requi red
to be included in the planned mainten ance system, fo r example:
Navigation equipment.
Engine machinery.
• Deck machinery.
• Cargo handling machinery/equipment.
• Hull structure.
Electronic equipment.
The spare parts inventory may be standa lone or integrated into
the planned maintena nce system.
The planned maintenance system, which may be computer-
based, covers all identified on board equipment and machinery
and includes a schedu le of planned maintenance tasks and a
record of completed pla nned and unplan ned maintenance.
Guidance and t raining is provided to vessel personnel 011 the
planned maintenance system.
The defect reporting system covers all on board equipment and
includes Conditions of Class.
The defect reporting system m ay be linked to the planned
maintenance system and may be computer-based.
Companies strive to correct any Cond it ions of Class without
delay.
The defect reporting system includes:
• Guidance as to the nature of defects that are record ed and
reported.
• Recording of any equ ipment fa ilures or breakdowns including
those identified by third parties, e.g. SIRE, PSC, CDI and barge
inspection schemes.
• Reporting defects to the shore management as appropriate.
• Tracking of defects from failure to repa ir.
The review process includes:
• Status of defects.
• The number and natu re of any outstand ing maintenance
tasks.
• The reason for tasks being outstanding.
The identification of any assistance requi red, such as spare
parts or shore technicians.
Where tasks are outstanding, which ca nnot be completed as
plan ned, procedures are in place for reschedu ling maintenance.
The reschedul ing is by exception and dependent upon:
• Risk assessment includ in g consid eration of manufacturers
recommendations.
• Approva l at an appropriate level.
• Completion w ithin a specified t ime frame.
Element four: Vessel Reliability and Maintenance including Critical Equipment
Key Performance Indicators
4.1 4.1.4 The company monitors
Cont. outstanding planned
maintenance tasks.
4.2 4.2.1 A procedure is in place to
ensure the val idity and
accuracy of statutory and/ or
Classification certificates.
4.2.2 Cargo, void and ballast spaces
are inspected to ensure their
integrity is maintained.
4.2.3 Superintendents verify
maintenance and defect
records during ship visi ts.
4.2.4 The company has a formal
system to develop
dry-dock specifications,
which invo lves co llaboration
between the vessel and shore
management.
Best Practice Guidance
The number of outstanding planned maintenance tasks is
recorded for ind ividual vessels and t he fleet as whole. This
number is also expressed as a percentage of the total number
of monthly planned maintenance tasks. Data may be reco rded
monthly with a runni ng year-to-date figure. This data is reviewed
to identify if shore assistance or other co rrective actions are
required, either on a fleet wide basis o r for individual vessels.
The procedure addresses:
• Class sta tu s reports.
• Planningforsurveys.
• Extensions.
Dispensations and exemptions.
Verification is performed both ashore and onboard.
The frequency of inspections is determined by the applicable
regulations of Class, Flag State and national authorities. In
addition, industry recommendations are taken into account.
Guidance for inspection of compartments is provided,
w hich may include industry/Class publications. Records are
compartment specific and made to a standard format that
may include photographs as evidence of the compartment's
condition .
There is a procedure in place requ iring appropriately qua lified
superintendents to visit and, whenever possible, sail on t he
vessel to confirm. ma intenance standa rds. The procedure m ay
include:
Scope of visit.
• Frequency of visits.
The report fo rmat including photograph ic records.
• Records of visits.
During the visit, superintendents:
• Verify t hat reported ma intenance has been carried out,
through random cross-checks of records and machinery.
• Observe engineering practices, engine room management
standards and machinery space housekeeping.
Verify all defects have been recorded and reported as req uired.
The system may include procedures and guidance for shore and
vessel personnel o n:
• Health and safety responsibilities.
Generic d ry-docking tasks.
• Manufacturer's recommendations.
• Statutory and regula tory requirements.
• Entering the dry dock and refloatin g.
The list may be automatically generated by an o n boa rd
maintenance and defect reporting system. Items may be added
to thi s list by ship or shore-based personnel. Records for
dry-docks repa irs are maintained.
37
Tanker Management and Self Assessment 3
Key Performance Indicators
4.3 4.3.l A common computer-
based mainte nance system
on board each vessel records
all maintenance tasks and
incorporates the defect
reporting system.
4.3.2 The company pol icy is to
mainta in an optimum spa re
parts inventory or system
redundancy for all vessels.
4.3.3 Performance indicators
have been developed to
monitor fleet reliability. The
performance indicators are
measured for individual
vessels and fleet wide.
38
Best Practice Guidance
The maintenance and defect reporting system may include:
Manufacturer's reco m mended ma intenance requ irements.
• Work instructions and associated risk assessments.
• Equipment and machinery history.
• Synchron isation ca pability between ship and shore dat abase.
• Guidance on remote diagnostics w here applicable.
Defect reports are analysed and planned m aintenance tasks are
amended as appropri ate. This may include a review of minimum
spare parts required.
Sufficient spare parts are maintained on boa rd and/or ashore.
The spare parts inventory is developed based on, for exam ple:
Criticality of equ ipment.
Consequence of fail ure.
Risk-based equipment catego risatio n.
• Equipment, machinery and system redund ancy.
• Experience of t he equipment and mach inery.
• Manufacturers' recom mendations.
• Vessel's trade.
• Lead time for spares delivery.
Examples of possible performance ind icat.o rs include:
Breakdowns related to critical equ ipment.
• Number of days lost due to unplanned m aintenance resu lt ing
in a vessel being taken out of servi ce.
• Loss of manoeuvrability occurrences.
• Blackout occurrences.
• Outstand ing mainten ance tasks acco rd ing to criticality. (The
target for outsta nd ing tasks for critical eq uipment is zero.)
Unplanned maintenance as a percentage of total
maintenance.
• Percentage of en gines meeting optima l ru nning cond iti ons as
per the company's defin ed baseline criteria.
• Results of lu b o il and hydraulic oil analyses.
Pe1formance ind icato rs are revi ewed by senior management.
Where areas of w ea kness are identified, plans are put in place to
address and mitigate th e issues.
Element fou r: Vessel Reliability and Maintenance including Critical Equipment
Key Performance Indicators
4.3 4.3.4 The frequency and extent of
Cont. structura l inspections of the
vessel's cargo ballast and void
spaces is determined based
upon risk criteria.
Best Practice Guidance
An assessment is carried out in order to determine the
frequency and extent of structural inspections. It is based upon
documented criteria, which may include:
• Vessel's age and type.
• Shipyard of construction.
• Date of last dry-dock.
Cumulative operational experience.
• Specific hazards according to type of cargo.
The current operating environment.
Industry experience and lessons learnt.
Specific guidance is provided to vessel personnel where
required .
The minimu m freque ncy of inspections should conform to
regulatory requ irements and current industry recommendations.
39
Tanker Management and Self Assessment 3
Key Performance Indicators
4.4 4.4.1 The maintenance and
defect reporting system
integrates the spare pa1ts
inventory m anagement and
procurement systems.
4.4.2 The maintenance and defect
reporting system tracks all
deferred repa ir items for
inclusion in the dry-dock
specification.
4.4.3 The maintenance and defect
reporting systems provide
management with a rea l time
status of fleet maintenance.
4.4.4 The planned mai ntenan ce
system includes the use of
condition-based monitoring
in order to ensure optimal
equipment performance.
40
Best Practice Guidance
The system may:
Automatically update the inventory for usage and
replenishment.
• Identify the need for procurement.
Generate requ isitions.
• Track the procu rement process.
The maintenance and defect reporting system may be integrated
with other systems to generate dry dock or repair specifications.
Status reports for vessels and the fleet may include:
Outstanding maintena nce items includ in g critical ity.
• Outstanding defects.
Outstanding requ isitio ns.
• Inventory status.
Records are available to demonstrate the use of various
mo nitoring systems, fo r example:
• Vibration monitoring.
Oil analysis.
• Infrared monito ring and thermal mapping.
• Performance monitori ng.
Remote diagnostics.
The results of condition-based monitori ng are eva luated,
based on manufacturer's recommendations and fleet tech nical
experience.
Guidance is provided to vessel person nel on th e methodology,
frequency and acceptable parameters for conditions observed.
Element four: Vessel Reliability and Maintenance including Critica l Equipment
Key Performance Indicators
4.4 4.4.5 Comprehensive engineering
Cont. audits are completed by
a suitably qualified and
experienced company
representative. The audit
includes observation of
engineering practices wh ile
on passage.
Best Practice Guidance
The purpose of the audit is to:
• Review and confirm that engineeri ng practices are in
compliance with industry standa rds and company procedures.
• Review and assess the skills and proficiency levels of the
engineeringteam members.
• Review and eva luate the effective functioning of the
engineering team during all sections of a voyage, e.g.
manoeuvring, operations when unma nned, cargo operations.
• Use t he opportu nity to promote robust engineering practices
and good seama nship.
• Identify any additiona l tra ining needs, whether they are
specific to an individual, a vessel, or a fleet wide need e.g.
familiarity with the planned maintenance system .
• Verify adeq uate supervision of Junior Officers and t raining of
cadets du ring critical operations.
• Verify that accurate logs are kept and that adequate reco rd
keeping is being undertaken.
The audit is fo llowed by a debrief to the engineering team.
All fl eet vessels are audited w hile on passage at interva ls not
exceed ing one year.
The audit is followed by a report where identified corrective
actions are assigned, veri fied and closed out in a specified time
period.
41
Tanker Management and Self Assessment 3
4A Vessel Reliability and Maintenance (Critical Equipment)
Aim - To identify and manage the maintenance and repair of critical equipment and systems.
Key Performance Indicators
4A.1 4A.Ll Critica l eq uipment and
systems are identified and
listed wit hin the SMS and t he
vessel's pl anned maintenance
system.
4A.l.2 A procedure is in place
to manage the plan ned
maintenance of critical
equipment and systems.
4A.l.3 A procedu re is in place which
requires shore ma nagement
to be informed when critical
equipment or syste ms
become defective or require
unplanned maintenance.
4A. l.4 Procedures are in place to
record the testing of criti cal
eq ui pment and systems th at
are not in contin uous use.
42
Best Practice Guidance
Eq ui pment and systems, the sudden operational fail ure of wh ich
may resu lt in harm to person nel, t he environ ment or asset s, are
identifi ed. Documented risk assessment or hazard identification
methods are used to ide ntify t hese cri tica l equipment and
systems.
Equipment and systems to be considered m ay include:
• Primary and auxiliary power systems.
• Ma in engine, including control and monitoring systems.
• Steering gear.
• Navigation systems.
• Pri ncipa l life-savi ng and fire-fighti ng eq uipment.
• Alarms and senso rs.
The compa ny is informed when critica l equ ip ment or systems
are taken out of service fo r planned maintenance and when they
are returned to service.
Wh en, under except iona l circumstances, it is not possible
to complete planned ma intena nce on critical equipment or
systems as sched uled , a risk assessment is conducted and
senior ma nagement approval obtained and documented before
deferra l. Th e maintenance is carried out as soon as practicable.
Testing is performed in accorda nce with mandatory
req uirements and manufact urers' recom mendations.
Element fou r: Vessel Reliability and Maintenance including Critical Equipment

Key Performance Indicators Best Practice Guidance

4A.2 4A.2.l Maintenance on critical
equipment and systems
requ iring them to be taken
out of service is subject to risk
assessment and management
approval.
The risk assessment includes:
Personnel requ irements.
• Spare parts and tools required.
Worst case scena rios.
• Recovery and mitigation measures.
• Commissioning and testing proced ures.
Alternati ve back-up equipment/ systems.
• Necessary modification in operatio na l procedures as a result
of equipment being removed from service.
Additiona l safety procedures (emergency).

When planning ma intenance on critical equipment, the

shutdown period is agreed.

In addition to the risks associated wit h t he task itself, the risk

assessment also addresses the haza rds related to taking t he
equipment or systems out of service.

The risk assessment is subject to shore management review and

approval at an appropriate level.

If the agreed shu tdown period for critica l equ ipment or systems
is to be exceeded, any extension or altern ative actions wi ll
require a revised risk assessment, review and approval by shore
management.
4A.2.2 Work instructions are Planned maintenance of critical equ ipment is always ca rried
available in the planned out according to t he work instructions and is verified during
maintenance system for superintendent visit s. Work instructions may include:
critical equipment and
• Spare parts and tools requi red to condu ct the maintenance.
systems.
• How the maintenance is carried out.
• Risk assessment for the job to be underta ken.
• Defined approva l req uirements.
4A.3 4A.3.l Designated personnel The personnel respo nsible fo r performing maintenance and
are responsible for the repairs on critica l eq ui pment and systems have the appropriate
maintenance and repair skills and competencies to perform t he task. This may include
of critical equipment and third party contractors.
systems.
4A.3.2 A procedu re is in place to test Comparisons are made between performa nce data and
and record performance data manufacturer's test data period ically to help determine
for all critica l equipment and equipment health.
systems.
Where manufactu rer's test data is not available, the company
develops base line criteria.
4A.4 4A.4.l The reliability and The company continually improves its ma intenance system by
performance of critical forecasting necessa ry m ai ntenance of critical systems, in orde r
equipment or systems to prevent incidents or equ ipment downtime. Methods may
and associated alarms is include:
monitored and analysed.
• Cond ition -based mo nitoring.
• Trends and histo rical data.
Fleet experience.
• Man ufacturer's reco mmendations.
• Predictive maintenance tools.

43
Tanker Management and Self Assessment 3

44
 ement
•
1ve
Navigational Safety
 Tanker Management and Self Assessment 3

Element 5
Navigational Safety
Main objective
To ensure that company vessels are navigated safely at all times.

Navigational safety
High standards of navigation are fundamental for the safety of vessels, personnel and cargoes
and the protection of the environment.

While the Master is ultimately responsible for the vessel's safe navigation, shore-based
management ensure that:

• The SMS includes comprehensive navigational procedures that cover all stages of a vessel's
voyages from berth-to-berth including:
- Bridge manning levels.
- Calling the Master.
- Handovers.
- Navigation with Pilot aboard.
- Navigating in heavy weather/restricted visibility/ice.
- Management of lengthy periods with increased bridge manning.
- Hazardous navigational transits.
- Use of the BNWAS.
- Use of electronic navigational aids.
- Under keel clearance.
• Appropriate shore-based personnel are identified as having responsibility for navigational
standards.
• The bridge team is appropriately trained, including:
- Team dynamics.
- Bridge resource management.
- Ship-handling.
- Type specific navigational equipment.
• Bridge equipment is maintained operable at all times.
• Charts and publications, including electronic licenses, are maintained up-to-date and are
available as required.
• Compliance with navigational procedures is assured via a comprehensive navigation
assessment and audit programme and subsequent analysis.

46
Element five: Navigational Safety
5 Navigational Safety
Aim - To establish and ensure compliance with safe navigational procedures and practices in line with regulatory and
company requirements.
Key Performance Indicators
5.1 5.1.1 The company designates
appropriate shore-based
personnel responsible for
navigational standards.
5.1.2 Comprehensive procedures
to ensure safe navigation are
in place.
5.1.3 Procedures to ensure effective
bridge resource management
are in place.
5.1.4 The company has
proced ures that ensure all
navigationa l equipment is
maintai ned as operational.
Best Practice Guidance
Responsible person(s):
• Are appropri ately qualified and experienced.
• Have the authority to implement suita ble controls to ensu re
navigational standards.
These proced ures may include:
• Charts and publications management.
Berth-to-berth passage planning.
• Under keel clearance requirements.
• Electronic aids to navigation including ARPA, AIS and ECDIS.
Actions upon equ ipment failure.
• Actions upon encou ntering adverse weather, restricted
visibility or ice.
Supporting checklists.
These procedu res may include:
• Bridge mann ing levels.
• Calling the Master.
• Handovers.
• Navigation with Pilot aboard.
Navigating in heavy weat her/restricted visibility/ ice.
• Ma nagement of lengthy periods with increased bridge
manning.
• Hazardous navigational tra nsits.
Use of BNWAS.
Procedures include:
• Defect reporting.
• Suitably trained personnel to mainta in navigationa l
equ ipment or shore-based maintena nce support.
Provision of spa res as appropriate.
47
Tanker Management and Self Assessment 3
Key Performance Indicators
5.2 5.2.1 A procedure is in place
requiring the Master to
conduct a navigational audit
to ensure compliance with
navigational regulations and
company procedures.
5.2.2 A procedure is in place for
appropriate shore-based
personnel to conduct
navigational verification
assessments.
5.2.3 The person(s) responsible
for navigatio nal standards
ensures that navigational
procedures are regularly
reviewed and updated.
5.2.4 The company has a procedure
to identify recurring defects
in navigational equipment
across the fleet.
48
Best Practice Guidance
The company provides a standard audit format, sets the
frequency for completion and maintains records to mon itor
compliance with their requirements.
• The frequency may depend upon tou r length, but each Master
should complete an audit at intervals not exceeding
12 months.
• Each vessel within the fleet is audited at intervals not
exceeding 12 months.
The assessment, which may be conducted in port, includes
as a minimum a review of passage plans, chart corrections,
navigationa l reco rds, navigational equipment, compliance
with company proced ures and verification ofthe Master's
navigational audit.
All fleet vessels are assessed at intervals not exceeding
12 months.
The navigational verifica tion assessment is fo llowed by a report
where identified corrective actions are assigned, verified and
closed out in a specified time period.
The procedures are updated to reflect new legislation,
technology and updated industry standards.
Examples may include:
New and revised IMO codes e.g. Polar Code.
BNWAS.
• E-navigation.
• ECDIS and VDR includ ing data recovery.
• Learn ing from incidents.
Element five: Navigational Safety
Key Performance Indicators
5.3 5.3.1 Provision of charts,
publications and electron ic
licenses is managed under
contract by a recognised chart
agent.
5.3.2 A formal programme ensures
that Senior Officers receive
appropriate ship-handling
training before promotion
to Master or assignment to a
new vessel type.
5.3.3 Comprehensive navigationa l
audits are conducted while
on passage by a su itably
qualified and experienced
company represen tative.
Best Practice Guidance
The company ensures t hat:
• The vessel always has fully updated charts and publications
for the voyage.
• There is a procedure for the vessel to obtain charts and
publications at short notice.
Chart and publications outfits whether paper or electronic
are monitored on board with discrepancies reported to the
company.
Ship-handling experience is gained by training under supervi sion
on board, as a part of a documented competency development
system, and may be supplemented by:
• Participation in manned models and/or simulator train ing.
• Specialist tra ining e.g. navigation in ice, DP operations.
In addition to a navigationa l verification assessment, the
purpose of the audit is to:
Review and confirm th at bridge practices are in comp liance
with international regulations and compa ny procedures.
• Review and assess the skills and proficiency levels of t he
bridgeteam members.
• Review and evaluate the effective functi oning of the bridge
team during all sections of a voyage.
• Use the opportunity to promote rob ust navigational practices,
chart-work, passage plan ni ng and good seamanship.
Identify any add itional training needs, whether this be specific
to an individual or a vessel, or a fleet wide need.
• Verify adequate supervision of Junior Offi cers and training of
cadets during critical passages.
Verify that accu rate logs are kept and that adequate record
keeping is being undertaken.
The audit is followed by a debrief to the bri dge team.
A report identifies corrective actions that are assigned, verified
and closed out in a specified time peri od .
All fleet vessels are audited while on passage at intervals not
exceeding two years.
49
Tanker Management and Self Assessment 3
Key Performance Indicators
5.4 5.4.1 Comprehensive navigational
audits are conducted while
on passage by a su itably
qualified and experienced
person.
5.4.2 All navigational assessment
and audit reports from the
fleet are analysed, trends
identified and improvement
plans are developed.
5.4.3 Competency assessment
programmes ensure that
Masters and navigation
officers maintain core and
specialist skills.
5.4.4 Navigation officers
undertake periodic
refresher bridge resource
management si mulato r
training at a national or
industry accred ited shore
establishment.
so
Best Practice Guidance
The audit may be:
• A company navigation al audit as per 5.3.3; or
An independent navigat ional aud it by a suitably qualified
specialist contractor.
This fleet audit program me includes a combination of company
and independent audits.
Where it is impractica l for a vessel to be audited with in the
12-month period due to trading pattern t hen an unannou nced
remote audit by an independent contractor, including VDR
downloads may be used.
Al l fleet vessels are audited while on passage at intervals not
exceeding 12 months.
Reports are analysed to identify weak areas in navigational
procedures and practices.
The analysis:
• Correlates audit find ings, includi ng Masters aud its and
navigational incidents/nea r misses.
Compares indust ry trends.
Compares externa l inspections, e.g. SIRE/ PSC.
• Develops improvement plans and set targets.
• Identifies additi ona l tra inin g requ irements.
The company evaluates the effectiveness of the audit
progra mme, wit h a view to continual improvement.
The assessment programme, which may be sim ulator based,
includes an assessment of:
Knowledge and application of COLREGS.
• Bridge team management behaviours.
Response to emergency navigation situations.
• Specialised disciplines as appropriate, e.g. DP operations, ice
navigation .
The interva ls at which these assessments are conducted are
defin ed .
The company operates a programme to provide t his train ing fo r
all navigation officers at a specified frequency.
The training tea m composit ion reflects the nationalities of the
bridge team s in the fleet.
The bridge resource ma nagement trai ni ng programme is used
to enhance the dyna mics within bridge team members and to
increase awareness of cu ltural diversity, co mmunication style
and hierarchy bias among the team.
Whe re it is not practical to have representative nationalit ies
present th en the course has modules and role play to address
the human factors as descri bed above.
 ement
•
SIX
Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and
Anchoring Operations
 Tanker Management and Self Assessment 3

Element 6 and GA
Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring
Operations
Main objective
To establish planning and operational procedures to ensure that cargo, ballast, tank cleaning,
bunkering, mooring and anchoring operations are conducted in a safe and efficient manner.

Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring Operations

High standards of planning and execution for these operations, is fundamental to the safety of
vessels, personnel and for the protection of the environment.

While the Master is ultimately responsible for these operations, shore-based management
ensures that:

For Cargo, Ballast, Tank Cleaning and Bunkering

• Procedures cover both generic and cargo specific requirements (e.g. oil/chemical/ LPG /
LNG) for all fleet vessel types.
• Pre-operational tests and checks are conducted.
• Cargo specific hazards are identified and addressed.
• All cargo, ballast tank cleaning and bunkering operations are thoroughly planned and safely
executed.
• Operations are properly recorded and documented.
• Vessel personnel receive cargo specific familiarisation, training and mentoring.
• Compliance with procedures is assured by a verification and audit plan.

For Mooring and Anchoring Operations

• Procedures cover the full range of mooring and anchoring activities that the company's
fleet may be involved in, including specific operations such as single buoy mooring/STS
transfers.
• Mooring and anchoring equipment including fittings and mooring lines are effectively
inspected, maintained, tested and documented.
• Operations are thoroughly planned and safely executed, especially mooring at terminals
that have not been previously visited.
• Vessel personnel receive familiarisation, training and mentoring.
• Compliance with procedu res is assured by a verification and audit plan.

52
Element six: Cargo, Ballast, Ta nk Cleaning, Bunkering, Mooring and Anchoring Operations
6 Cargo, Ballast, Tank Cleaning and Bunkering Operations
Aim -To establish planning and operational procedures for cargo, ballast, tank cleaning and bunkering operations and
ensure that they are safely and effectively implemented .
Key Performance Indicators
6.1 6.1.1 Procedu res for cargo, ballast,
tank cleaning and bunkering
operations are in place for al l
vessel types within the fleet.
6.1.2 Procedu res fo r pre-
operational tests and checks
of cargo and bunkering
equipment are in place for all
vessel types wit hin th e fleet.
6. 1.3 Ma nagement ensures that
cargo, ballast and bunkering
operations are conducted in
accordance wit h company
procedures.
6.1.4 The compa ny has procedures
that address cargo specific
hazards for all vessel types
withi n t he fleet.
Best Practice Guidance
The procedures in clude:
• Ro les and respo nsibilities.
Planning.
• Cargo and ballast handling.
Maintaining safe tank atmospheres.
• Ta nk cleaning.
• Bunkering.
• Record keeping.
The procedures clea rly identify the designated person (s) in
charge of cargo, bal last and/ or bunkering operations.
Tests and checks of equipment may includ e:
• Line and valve settin g.
ESD system operation.
Cargo/ bu nker line pressure testing.
• Alarms and trips.
• IGS and venting system.
Loading computer or alternative calcu lations.
• Cargo and ballast pump tests.
Gas monitoring eq uipment.
Tank gauging equ ipment.
Prevention of freezing.
Records of the tests and checks are maintained.
Mea ns of veri fi cation may include:
• Observation by visitin g superintendents.
Review of records on board.
• Remote sampling of records by shore management.
• Analysis of third party inspections and term ina l feedback.
Cargoes wit h specific hazards may incl ude:
• Aromat ic hydroca rbons.
Toxic cargoes.
• Incompatible ca rgoes.
High vapour pressure cargoes.
• Ca rgoes contain ing mercaptans and/ or H2S.
53
Tanker Management and Self Assessment 3
Key Performance Indicators
6.2 6.2.1 A comprehensive procedure
for plann ing cargo, ballast
and bunkering operation s
is in place for all types of
vessel within the fleet.
6.2.2 Comprehensive procedures
cover all aspects of cargo
transfer operations for each
type of vessel within the fleet.
6.2.3 Comprehensive procedu res
cover all aspects of ballast
handling operations.
54
Best Practice Guidance
The planning procedure is specific to t he vessel type and cargo
to be carried. This may include:
• Roles and respons ibilities for the operatio ns.
Stability, stress, draught and trim calcu latio ns for key stages of
the operatio n.
Free surface effect restrictions.
• Highlighting limitations on number and location of slack ta nks.
• Cargo stowage, cargo segregation, pipeline and va lve
management, heating requirements and final ullages.
• Ballast and bun kering operations where applica ble.
Tank cleaning including crude oil washing.
Gas and chemical specific operations.
Initial, bulk and fi na l loading/discha rging ra tes.
• Management of ta nk atmosphere.
• Static precautions.
Cold weather precautions.
Cargo data and haza rds of particular cargoes (such as H2S).
• Ship/shore interface and commun ications.
The transfer procedures are specific to the vessel type and cargo
to be carried. These may include:
Pre-a rriva 1checks.
• Cargo hose/arm co nnection includ ing supervision of third
party personnel.
• Ship shore safety checklist including ship/ shore interface and
com mun ications.
Cargo survey and samp ling.
• Pre-operational checks including an independent verification
of line setting prior to the start of operations.
• Gas and chem ical specific operatio na l procedures.
• Starting cargo tran sfer including static preca utions w here
applicable.
• Bulk cargo transfer including:
- Ship/ shore cross checks.
- Monitoring of static tanks.
- Stabi lity trim and stress checks.
- Remote ullage gauge cross checks and verifi cation .
- Tank pressure and atmosphere mo nito ring.
Topping off/ stripping.
• Draining/blowing lines and disconnect ion of hoses.
• Cargo care during t ransit.
The procedures may include:
• Ballasting and deba llastin g operations.
• Free surface effect restrictions.
• Ballast water exchange.
• Bal last water treatment.
• Heavy weather ballasting.
• Ballast operations in sub-zero temperatures.
• Shore line flush ing.
• Ballasting cargo and ballast tanks for inspection and/or
survey.
Element six: Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring Operations
Key Performance Indicators
6.2 6.2.4 Comprehensive procedures
Cont. cover all aspects of tank
cleaning operations for each
vessel type within the fleet.
6.2.5 Comprehensive procedures
cover all aspects of bun kering
operations for each vessel
type with in the fleet.
Best Practice Guidance
Tank cleani ng and preparation may be required for various
reasons including:
• Cargo grade change.
Tank inspection and/or repair.
Dry dock preparation.
Minimum MARPOL requirements.
The procedures may address:
• Planning and approval.
• Tan k atmosphere control and mon itori ng.
• Tank cleaning methods in cluding:
- Fixed and porta ble equipment.
- Crude oi l washing.
- Manual cleani ng, e.g. mopping.
- Steaming.
- Use of chemicals, acids and solvents.
- Hot washing.
• Storage and handling of residues.
• Where applica ble, supervision of th ird party contractors.
Tank inspection and testing for quality, e.g. wall wash tests.
Procedu res address the various methods by which bunkers and
lubricants are delivered in cluding:
• Termin al pipeline.
Bunker barge alongside/at anchor.
Road ta nkers.
• LNG bunkerin g.
• STS offshore bun kering.
• Packaged lubricants.
Operational procedures address:
• Pre-arrival checks.
• Pipeline/hose connection including supervision of third party
personnel.
• Bunker safety checklist including interface and
communications.
• Bunkertankgauging.
• Agreed initial bu lk transfer and topping off rates.
• Draining/ blowing lines and disconnection of hoses.
• Bunker sa mple ana lysis.
• Monitoring of bu nker tank atmospheres for hydrocarbon gas,
benzene and H2S.
Specific guidance is provided for:
Minimum stock levels.
• Co-mingling of bu nker supply with existing stock.
The unavoidable use of new bun kers before receipt of analysis
results.
55
Tanker Management and Self Assessmen t 3
Key Performance Indicators
6.3 6.3.1 Standardised templates
are used fo r planning and
operationa l record keeping.
6.3.2 Procedures fo r each vessel
type within t he-fleet ensure
tank atmosp heres are
mainta ined within defined
limits for each cargo type
being carried t hroughout the
voyage cycl e.
6.3.3 The SMS includes procedures
for non-routine or specia lised
cargo and ba llast operations
undertaken in t he fleet.
6.3.4 The SM S requ ires Junior
Officers/releva nt personnel
to be actively involved in
planning, line setting and
execution of t he cargo,
ballast, tan k cleaning and
bunkering o perations as part
of th ei r continui ng personal
development plan.
56
Best Practice Guidance
Templates are developed for cargo, ba llast , tank clean ing and
bunker operations, to cover different vessel types within the
company fleet and refl ect SMS requ irements. Examples m ay
include cargo plan, pum ping log, ullage reports.
For vessels fitted w ith an IGS:
Proced ures requ ire t hat the IGS is used appropriately at all
stages of the voyage.
• Procedures clearly set out the actio ns to be taken in th e event
of a failure of t he IGS.
• Procedures, based on risk assessm ent, are developed for the
carriage of specific cargoes withou t the use of in ert gas, where
this is requ ired due to ca rgo characteristics.
For vessels not fitted wit h an IGS:
Procedures for ca rrying any flamma ble cargoes are based
upon risk assessment and current industry guidance and may
include padding.
These operations may include:
• STS operati ons.
Bow loading operations.
Co-mingling and/ or blend ing.
• SPM, conventional bu oy mooring and tandem operations
including termin al li ne flushing.
Heavy weather ballast.
• Vapo ur return and vapou r balancing.
Heated, high viscosity and cold cargoes.
• Inhibited cargo es.
• Cargoes requiring pad ding or blan keting.
• Ca rgo dosing (dyes, additives).
The com pa ny promotes an effective team ma nagement
approach to cargo, ba llast, tank cleaning and bunker handling
through on board tra ining and mentoring.
Training records and appraisal reports may be used to mo nitor
progress.
Element six: Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring Operations
Key Performance Indicators
6.4 6.4.l Officers attend shore-based
simulator courses covering
routine and emergency cargo
operations.
6.4.2 Comprehensive audits are
completed by a suitably
qual ified and experienced
company representative. The
audit in cludes observation
of cargo, ballast, tank
cleaning and bunker handling
operations.
Best Practice Guidance
These courses may be used to:
Train Junior Officers.
• Assess suitabil ity for promotion.
• Ensure continued competency of Senior Officers.
Familiarise personnel with new equipment and systems.
Procedures specify th e time frame for in itial and refresher
training.
All fleet vessels are aud ited annua lly. The audit may look at:
• Operational practices and complia nce with industry guidelines
and company procedures.
Skills and proficiency levels of the perso nnel.
• Effectiveness of the tea m d uring all stages of the operations.
The opportunity to promote robust practices.
• Identifying additional training needs, whether ind ividua l,
vessel o r fleet wide.
• Supervision of Junior Officers and trai ni ng of cadets.
• Record keeping.
The audit is followed by a report wh ere ident ified corrective
actions are assigned, verified and closed out in a specified time
period.
57
Tanker Management and Self Assessment 3
6A Mooring and Anchoring Operations
Aim - To establish planning and operational procedures for mooring and anchoring operations and ensure that these
procedures are effectively implemented. Procedures ensure the vessel remains safely moored and the safety of
personnel involved in mooring and anchoring operations.
Key Performance Indicators
6A.1 6A.l.l Procedures for moorin g and
anchori ng operations are
in place for all vessel types
w ithin the fl eet.
6A.l.2 Ma intenance, testing and
routine inspections of
mooring and anchoring
eq uipment is included in the
planned maintenance system.
6A.l.3 The company has procedures
to manage the con dition
of mooring ropes, w ires,
mooring t ails and joining
shackles for all fleet vessels.
6A. l.4 The company has procedures
that address the use of tu gs.
58
Best Practice Guidance
The procedures include:
• Roles and responsibilities.
• Planning includ ing tool box ta lk.
Requi rements fo r risk assessments.
Mooring arran gements and layout.
• Anchoring methods.
Use of m ain engine (and t hrusters if fitted).
Guidance provided ensures protection of personnel and safe
operation of equipment.
The planned maintenance system covers all mooring
equipment.
This equ ipment may include:
• Winches and w indlasses.
• Roller fai rleads, panamas, bow chain stoppers.
Hydraulic, steam, or electrical drive systems.
• Emergency towing systems.
Winch and windlass brake testing is co nducted according to
industry guidelines or loca l regu lation s.
Procedures may inclu de:
• Instructions for ca re and stowage.
Requ ired inspection interva ls and reco rds.
Procedures m ay include:
• The safe handling of ships' lin es or tug lines when m aki ng fast
or letting go.
Identification and use of su itable strong points for making tugs
fast and designated tug push points.
Element six: Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring Operations
Key Performance Indicators
6A.2 6A.2.l Deta iled procedures address
each different type of
mooring operation likely to be
undertaken by fleet vessels.
6A.2.2 Procedures address all
aspects of anchoring
operations likely to be
undertaken by fleet vessels.
6A.2.3 Procedures ensure th at
vessels remain safely moored
at all t imes.
6A.2.4 Procedu res are in place for
t he inspection, maintenance
and replacement of wires,
ropes, tails and ancilla ry
equipment.
• Record keeping.
The records may include:
• Identification and tagging of all equipment.
• Dates of end fo r end ing.
Best Practice Guidance
Procedures have been developed following ris k assessments fo r
each type of mooring operation, wh ich may include:
• Conventional berth s.
Conventiona l buoy mooring, SPMs.
• Tandem mooring to F(P)SO.
Double-banking at berths.
• STS operations (includ ing reverse STS).
• DP operations.
Procedures for anchoring operations have been developed,
following risk assessm ents, which address:
Selection of anchoring position .
• Methods of anchoring.
Equipment design limitations and characteristics.
• Emergency anchoring.
Anchor watches, including actions to be taken when dragging
or at onset of bad weather.
Emergency departure from an anchorage.
The procedures ensure that:
• Sufficient personnel are retained on board in order to tend the
moorings.
• Weather forecasts/warnings are obtained, includi ng those for
ice, tropical revo lving storms, where applicable.
• Changes to environmental conditions, such as tidal variations,
current and wind speed, are monitored.
Passing t raffic is mon itored .
In the event t hat the vessel cannot rema in safely moored,
actions may include:
Deployment of additional moorings.
• Engaging tugs to remain alongside.
• Preparations for emergency departure.
The procedures may include:
Inspect ion methods and frequency.
• Maintenance req uirements.
• Retirement criteria.
• Minim um spa res.
• Stowage requirements.
Date of bringing ropes/wires into service.
Certification for all ropes/ wires/ tails/joinin g shackles.
59
Tanker Management and Self Assessment 3
Key Performance Indicators
6A.3 6A.3.l Procedures identify
requirements for personnel
involved in mooring
operations.
6A.3.2 Measures are taken to
optimise on board mooring
arrangements to ensure the
safety of vessel personnel.
6A.3.3 Procedures address the use
of all ancillary craft used
in mooring and towage
operations.
6A.3.4 A process ensures that all
mooring equipment and
fittings comply with the latest
industry guidance.
60
Best Practice Guidance
The requirements may include:
Designated person in charge at each location.
• Minimum numbers of personnel requ ired at each location.
• Toolbox talk prior to mooring operations.
Minimum training and experience requirements.
• Supervision ofthird pa rty personnel.
Measures may include:
Mooring revi ews to identify hazards, including t hose
associated with mooring lines and potential equipment fa il ure
within the mooring area .
• Use of non-slip coatings in mooring areas.
• Modifications to mooring equipment as a result of mooring
reviews and lessons learnt from incidents/near miss reports.
The procedures for anci llary craft may include:
Harbour tugs.
• Line handling boats.
• STS, SPM and F(P)SO support craft.
Escort tugs.
The process may include:
• New build design reviews and amendments.
• Reviews of existing fleet designs.
Revi ews of potentia l second hand tonnage.
• Supervision, during co nstruction and modifications,
addressing deviations from the design.
Element six: Cargo, Ballast, Tank Cleaning, Bunkering, Mooring and Anchoring Operations
Key Performance Indicators
GA.4 6A.4.l The company act ively
seeks invo lvement of
manufacturers, to en hance
the management of mooring
equi pment includi ng ropes
and wires.
6A.4.2 All ava ilable means are used
to ensure that vessels can
safely moor at terminals being
visited for t he fi rst time.
6A.4.3 Comprehensive audits are
com pleted by a suitably
qualified and experienced
company representative. The
audit uses observat ion of
mooring operations.
6A.4.4 The compa ny actively seeks
out available or innovat ive
technology to en hance safe
mooring operations.
Best Practice Guidance
Man ufacturers' involvement may include:
Guidance on equipment specification, selection and
replacement.
• In-service support including inspections, testing and
maintenance.
Traini ng of company personnel.
• Guidance on pa rameters for record keeping.
Assistance with incident investigations.
The mea ns may include:
Reference to publicly available information such as industry
publications and information from Port Agents.
Industry databases such as OCIMF's Marine Terminal
Information System (MTIS).
• Reference to company information fo r previous fleet vessel
visits.
• Use of mooring analysis software to ensure berth
compatibility.
All fleet vessels are audited annually. The au dit specifically
observes behaviou r and may look at:
Operational practices and compl iance wi th industry guidelines
and company procedures.
• Skills and proficiency levels of the person nel.
• Leadership and effectiveness of the team du ring all stages of
th e operations.
• The opportun ity to promote robust pract ices and good
seamanship.
• Identifying additional t raining needs, wheth er individua l,
vessel or fleet wide.
• Supervision of Ju nior Officers and t raining of cadets.
The audit is followed by a report where identified corrective
act ions are assigned , verified and closed out in a specified tim e
period.
Design improvements are considered in future new-bu ild
specifications and exist ing vessels are upgraded proactively as
required
Design improvements may be based upon feedback from
vessels, discussions wit h equipment manufacturers, industry
best practices and participation in Pilot programmes.
Exam ples may include:
• CCTV of mooring stat ions.
• Tension monitori ng and reco rding equ ipment.
• Meteorological monitori ng equ ipment displays at the ca rgo
cont rol room.
New and emerging technology such as magnetic and vacu um
systems.
61
Tanker Management and Self Assessment 3

62
 ement
seven
Management of Change
 Tanker Management and Self Assessment 3

Element 7
Management of Change
Main objective
To ensure that all consequences and associated risks are identified and mitigated prior to
implementing change.

The company establishes a formal, systematic process to evaluate, approve, communicate

and document both temporary and permanent changes that could impact their operations.

Management of change
Changes to equipment, suppliers, personnel (including third party contractors) operating
conditions or procedures, or changes to the size or composition of the fleet or company
organisation can significantly increase the risk of an incident.

The scope of the management of change process can range from minor change, such as a
software upgrade, to a major organisational change. In any circumstance management of
change procedures ensure that:

• Permanent or temporary changes, both on board or ashore, are subject to the management
of change process and fully documented.
• The impact of any change is risk assessed and mitigation measures identified.
• Personnel affected by change are identified and the reasons for change are understood by
all.
• The required level of authority forthe approval of changes is defined.
• Changes comply with regulation, industry standards and original equipment design
specifications.
• Training requirements resulting from change are identified and documented.
• Relevant documentation is amended following change(s), e.g. plans, manuals and
drawings.
• There is an appropriate procedure for personnel handover and familiarisation, both ashore
and onboard vessels, including third party contractors.
• Changes not carried out w ithin the proposed t imescale are reviewed and revalidated before
they are completed .
• Results of completed changes are reviewed to confirm that objectives have been met.

64
E,lement seven: Management of Change
7 Management of Change
Aim -To establish procedures for evaluating and managing changes to operations, procedures, equipment or personnel
to ensure that all risks are identified and mitigated prior to implementing change.
Key Performance Indicators
7.1 7.1.1 There is a documented
procedure for management of
change.
7.1.2 A procedure is in place to
ensure that the impact of any
proposed change is assessed .
7.1.3 The management of change
procedure cl early defines the
levels of authority requi red for
the approval of any changes.
7.1.4 Proced ures identify emerging
requireme nts.
Best Practice Guidance
The procedure add resses both permanent and temporary
changes on board and ashore. These may include:
• Installation of new equipment and mod ification of existing
equipment.
• Tempora ry isolation and reactivation of alarms for
maintenance purposes.
• Changes and/or upgrades to software.
• Implementation of new legislation.
• Changes in trading area.
• Organisational changes.
• Revisions to procedures.
Taking new tonnage under management.
The assessment may in clude th e following factors:
• Justification for change.
Potential conseq uences including safety, personnel and
environmental implications.
Risk reduction measures.
• Any additiona l reso urces required .
The procedure ensures th at any proposed change is approved
at an appropriate level and not by the person directly involved
in t he change.
Such req uirements may be legislative or industry recomme nded
best practice, perma nent or tempora ry, and cover:
• Safety.
Environmental and energy management.
• Security.
Health.
• Operat ional, including navigation, engineering, maintena nce,
cargo and mooring.
The com pany has identified sources that will provide this
information.
65
Tanker Management and Self Assessment 3
Key Performance Indicators
7.2 7.2.1 The management of change
process ensures all proposed
temporary and permanent
changes to on board
procedures and equipment are
subject to ris k assessment.
7.2.2 Management of change
identifies all personnel that
may be affected by the
change and ensures that they
understand t he extent and
likely impact of any planned
change.
7.2.3 Management of change
procedures ensure that
training needs arising from
any proposed changes are
identified and documented.
7.2.4 Management of change
identifies all documenta tion
and records that may be
affected by the change.
7.2.5 Regular reviews are condu cted
of management of change
plans being implemented.
Any changes not carried out
within the proposed timescale
are reviewed, revalid ated and
approved.
66
Best Practice Guidance
The risk assessment is conducted as a part of the plannin g of
the proposed cha nge.
The risk assessment identifies and addresses the full range of
hazards and consequences of the proposed change.
The management of change procedu res ensure person nel
involved in the proposal, development, implementation,
verification and mo nitoring stages of the change, are kept fully
informed of the process to date.
The procedures identify relevant training and familiarisat ion
requirements and personnel affected by the change are t rained
within a defined period.
Permanent changes, and the review process t hat led to t heir
approval, are docu mented. This mechanism lin ks with and ties
into, the document control system, so t hat im portant cont rolled
documentation rema ins up-to-date.
Examples may inclu de:
Certification.
• Manua ls.
• Plans and drawin gs.
• Operationa l procedu res.
Records checklists and forms.
• Planned maintenance including spare parts inventories.
The plans are sufficiently documented to fac ilitate the review
and ensure that:
• Progress is mon itored against time.
• Objectives are being met and risks managed.
Any deviations are identified and add ressed.
• Any identified improvements to t he plan are recorded.
• Temporary changes do not exceed t he initial authorisation
for scope or time without review and re-approval by the
appropriate level of m anagement.
Element seven: Management of Change
Key Performance Indicators
7.3 7.3.1 A ma nagement of change
procedure is applied when the
company acquires additional
vessels.
7.3.2 There is a periodic review of
the outcome of all changes to
ensure objectives have been
met.
7.3.3 A software management
proced ure covers al l shipboa rd
and shore systems.
Best Practice Guidance
The procedures apply to both new builds and existing tonn age
and may inclu de t he following:
• Supervision of new builds.
• Pre-purchase inspection and su rvey of existing vessels,
including priority maintenance requirements.
• Involvement of appropriate pe rsonnel in th e decision making
process.
• Identifying man ning requ irements both on board and ashore.
• Familiarisation and training requirements both on boa rd and
ashore including a period of sa iling or standby for key vessel
personnel prior to delivery.
• Transfer of operational history for existing tonnage e.g.
planned maintenance history, vessel modifications hi story
and vessels plans.
Where app licable, a period of downti me between delivery
and entering service is considered.
The company reviews the changes imp lemented to verify t hat
they have achieved their objectives.
Where objectives have not been met a procedure ensures that
appropriate action is taken and any issues resolved.
The review period is defined and fu lly docu mented.
The findings may be included in the periodic management
reviews.
The procedure may include:
Assigned responsibilities for software management incl uding
cyber secu rity.
• Records of all software installed including version numbers.
A method to ensure that the appropriate/ latest version is
installed.
• Compatibility checks to ensu re integration with existing
systems.
• Instructions fo r installation of updates.
• Inst ructions for back-up where applicable.
• Performa nce tests following software upgrades.
• Training requi rements.
67
Tanker Management and Self Assessment 3

Key Performance Indicators Best Practice Guidance

7.4 7.4.1 For major changes to the shore Such major changes might includ e:
organisation, management
• Significant increase o r decrease in fleet size.
of change procedures ensure
Introduct ion of a new vessel type to the fleet.
that m anning, competency
and experience levels are • Merger and/or acquisition.
maintained so that th ere is no • Restructuring.
deterioration in supervision
and the management of key
processes.
7.4.2 The company actively seeks Design improvements are consid ered in future new-bu ild
out improvements for new specificatio ns and existi ng vessels are upgraded proactively as
build design specifications. required . Improvements may incl ude:

• Ergonomics including the bridge and control rooms.

• Enhanced environmental perform ance.
Energy efficiency.
• Operational safety and efficiency.
New and im proved techno logy.
• Mooring equipment design and layout.
• Enhanced security features.
• Personnel accom modation and recreat ion al fac ilities.

Design improvements may be based upon feedback from

vessels, discussions wit h eq ui pment manufacturers, industry
best practices and participation in pilot programmes.

68
Incident Reporting, Investigation and Analysis
 Tanker Management and Self Assessment 3

Element 8
Incident Reporting, Investigation and Analysis
Main objective
The company establishes procedures to ensure effective reporting, investigation and analysis
of incidents and near misses to prevent recurrence.

One of the fundamental principles of safety management is that all incidents are preventable.
Therefore, it is important to ensure that where an incident or accident occurs, the subsequent
investigation is thorough, the root causes are identified and that measures are implemented
to prevent a recurrence and communicated effectively to shore-based and vessel personnel.

Incident Reporting, Investigation and Analysis procedures

The procedures:

• Provide for the timely reporting and investigation of an incident or near miss.
• Identify the personnel responsible for reporting an incident, authorising and conducting the
investigation and initiating subsequent corrective actions.
• Include guidance on the classification of all incidents.
• Provide incident investigation training to personnel with this responsibility.
• Ensure that the root causes and factors contributing to an incident are identified and that
steps are taken to prevent recurrence.
• Include provision for determining the actions needed to reduce the risk of related incidents.
• Ensure that incident and accident investigation findings are retained and analysed to
determine where improvements to the SMS, standards, procedures or practices are
required .
• Specify methods for determining whether liaison is needed with industry groups (such as
Classification Societies or equipment manufacturers) to avoid similar incidents on other
vessels.
• Ensure that lessons learnt from an incident or near miss investigation are shared across the
fleet.

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