Merged Superintendent

MARITIME ACADEMY Day 1
Superintendent Workshop
Managing day to day operations
© DNV GL SAFER, SMARTER, GREENER

The Participants
Name
Company
Position / Duty
Experience with the Topic
Expectations about this Course
Please introduce
yourself
2 © DNV GL Rev. 1.0

Organisation and Safety Matters
Course documentation
Activities
Tools
Documentation
Superintendent Workshop –
Managing Day to Day Ops
Practical information
Smoking Mobile Emergency Time Course Course

Restrooms
policy phones exits keeping Assessment Certificate

Complete Course Schedule – Days 1-5
DAY SECTION MORNING AFTERNOON
Module 1 - From Ship to Shore 0830-1300 1400-1800

Module 2 - Company Organisation
1 Module 3 - Industry Stakeholders
Module 4 - Registration & Change of Flag
Module 5 - Bringing a Ship into Management 0830-1300 1400-1800

2 Module 6 - System of Maritime Regulations
Module 7 - Surveys & Certificates
Module 8 - Vessel Support 0830-1300 1400-1800

Module 9 - Management Systems
3 Module 10 - Verification Methods
Module 11 - Risk Assessment and Management
Module 12 - Superintendents Duties & Responsibilities 0830-1300 1400-1800

4 Module 13 - Insurance, Casualties & Accidents
Module 14 - Drydocking and Major Repairs/Upgrades
Module 15 - Dealing with Todays Issues 0830-1300 1400-1800

Module 16 - Environmental Awareness
Module 17 - Communication, Leadership and Relationships
5 Module 18 - Crewing & Managing Crews
Module 19 - Closing Summary - Monday‘s To Do List & Questions
Module 20 - Examination

Learning Objectives
To understand …
• What it means to be a Superintendent
• Responsibilities of a Superintendent
• Different Roles of a Superintendent
• Teamwork
• Inter Linking with other Company Departments
• Inter Linking with other Marine Parties

Introduction and course theme
During the next five days we will show you what is involved with being a
superintendent responsible for the technical operation of the following vessels:-
Mv Fernie 3500TEU Container
Mv Malwa Handymax Bulker
Mt Talamba 100,000dwt Tanker
LPGC Gazana 5500m3 Semi Pressurised Gas Carrier

Day to Day Operations
The daily work required to keep your

vessels running safely and efficiently,
which can include the following:
• 1
• 2
• 3
• …….

The Day‘s Routine
It is 0830hrs and you are at your desk with notes made after a telephone call
from the Chief Engineer of the Mt Talamba at 0315hrs earlier that morning…….
There seems to be over 50 new emails on the screen since you logged off
yesterday evening ……….
And the telephone is already ringing……….
…….and you have not managed to get a cup of tea yet!!!

Ship Support
This is what the superintendent provides and can mean anything from…..
– Advising on why an engine will not start
– A compressor fails to reach the required pressure
– The ME #4 cylinder compression pressure is low
– The 10cm Radar will not change scales
To …………
– Arranging Radio Technician for Radio Survey at the next port
– Arranging for technical advice from the manufacturer for a problem to a
vessel at sea
– Ordering spares and stores
– Arranging Flag, Class, Vetting inspections
– Dealing with PSC and a detained vessel

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• Module 1 - From Ship to Shore
• Module 2 - Company Organisation
• Module 3 - Industry Stakeholders
• Module 4 - Registration / Change of Flag S
• Module 5 - Bringing a Ship into Management
• Module 6 - System of Maritime Regulations
• Module 7 - Surveys & Certificates
• Module 8 - Vessel Support
• Module 9 - Management Systems
• Module 10 - Verification Methods
• Module 11 - Risk Assessment and Management
• Module 12 - Superintendent Duties & Responsibilities
• Module 13 - Insurance, Casualties & Accidents
• Module 14 - Drydocking and Major Repairs/Upgrades
• Module 15 - Dealing with Today’s Issues
• Module 16 - Environmental Awareness
• Module 17 - Communication, Leadership and Relationships
• Module 18 - Crewing and Managing Crews
• Module 19 - Closing Summary, Mondays ‘To-do’ List & Questions
• Module 20 - Examination

Module 1 - From Ship to Shore
Goals - Module 1
Understand the changes that happen when you

move from being a Ships Officer to Superintendent
Understand the different Responsibilities & Priorities
as a Superintendent
Learning
Summarise the Roles of the Superintendent
Objectives

The Shipping Industry
Four main categories:
• The Users of ships cargo brokers/owners/buyers
• The Ship Owner/Manager the people who own and run the ships
• The Regulators IMO, National Governments,

PSC and Classification Societies
• Service Providers Banks, Brokers, Ship Builders Agents,

Chandlers, Marine Consultants, Average
Adjusters, P&I, H+M, etc

Ships
Ships are mechanical structures independent of land and physical

support, exposed to the rigours of Mother Nature.
All Ship voyages rely on the following:
– Machinery/Technology
– Humans
– Nature

Ship Support
We have an independent mechanical structure manned by human beings

subject to the whims of Mother Nature……………a recipe for disaster??
………….. NO, not with the correct support!
Part of the Superintendents job is to ensure adequate support for the vessel
(ISM Code 6.0)

Ship Support
Owner/
Manager
Technical Marine SQES Purchasing Accounts Crewing Chartering

Dept Dept Dept Dept Dept Dept Dept
Ships

So what is a Superintendent?
From the English Dictionary:
“(1) a person who directs and manages an organisation, office, etc, or
(2) (UK) senior police officer, …….. or
(5) relating to supervision.”

So You Want to be a Superintendent ?

A Different Job
At sea you are responsible for just one vessel and one operation at a time
Ashore you can be responsible for a number of ships spread out all over the world
…….some in port,
…….some at sea,
…….maybe one in drydock

Types of Superintendent
Technical
Marine/Safety
Crewing

Superintendents Qualifications
Traditionally:
Sea experience as an Ex Captain / Chief Engineer
Experience as a ship Surveyor
Also can Qualify:

Marine Equipment Manufacturer Background
Undergraduate in Marine Subjects
– Plus training and experience in the marine industry either at sea or a junior
shore job.

The Great Leap
A Superintendent’s role is very different to that of a Master or Chief Engineer.
Skills learnt at sea do not always translate to an office environment.
Management structure is different
– Onboard vessel – structured and definite command levels. A “closed” world.

Orders are issued (and obeyed?)
– Office - much “softer” and “open” – a management structure is different to
a command structure , you deal with accountants and customer service
staff. You need to apply your “soft Skills”

Office Skills
Influencing
Communication
Team management
Delegating
Appraising
Presenting
Motivation

Working with the Ship’s Crew
Teamwork
– A Superintendent is NOT there to run the vessels, he is there to

“help the Crew run the vessel”
– It is important to discuss and work together with the ship’s Crew to get the
most economical operation of getting a ship from A to B
– The ship’s crew are like your tools, and tools only work well when used
properly and looked after.

A Flock of Geese 1/2
• These facts about geese were distributed to staff members of ‘Outward Bound’ all
over the U.S. We have taken the liberty of paraphrasing them for you:
– FACT: As geese flap their wings, they create an ‘uplift’ for the birds that
follow.
By flying in a ‘V’ formation, the whole flock adds 71 percent
greater flying range than if each bird flew alone.
– LESSON: People who share a common direction and sense of community
get where they are going quicker and easier when they lift each
other up along the way.
– FACT: If a goose falls out of formation, it feels the drag and resistance
of flying alone.
So it quickly moves back into formation to take advantage of the
lifting powers of the bird immediately in front of it.
– LESSON: If we have as much sense as a goose, we sill stay in formation
with those headed where we want to go.

A Flock of Geese 2/2
– FACT: When the head goose tires, it rotates back into the formation and
another goose flies to the point position.
– LESSON: It pays to share the leadership and take turns doing the hard
work.
– FACT: Geese flying in formation honk to encourage those up front to
keep up the pace.
– LESSON: It is important that our honking be encouraging. Otherwise it’s
just – well honking.
– FACT: When a goose gets sick, wounded or shot down, two geese drop
out of formation to follow it down to help and protect it. They
stay with it until it dies or is able to fly again.
– LESSON: When one of us is down, it’s up to the others to stand by us in
time of trouble.
Harry G Kennon
Asbury United Methodist Church, Chesterfield, VA

Support & Back up
• Advice to the ships crew re technical matters

• Monitoring the vessels performance
• Monitoring by regular inspection the vessel condition
• Arranging Service Engineers when crew cannot carry out repairs
• Safety & Nautical advice particularly with new legislation
• Arranging Surveys and keeping certification up to date
• Dealing with 3rd Party inspection deficiencies
• Answering 3rd party claims for cargo contamination, bunker claims
“Never Forget that once YOU were at Sea and

may have needed some support”

Stores & Spares Supply
Arrange supply of:

– Machinery spares
– Tools
– Consumables
– Lub Oils
– Water
– Provisions
Can be delegated to the Purchasing Dept but still the Superintendents

responsibility to ensure it arrives onboard
– Need to co-ordinate deliveries for particular ports

Monitoring Crew Performance
Motivation
– A Superintendent must be able to work with
his officers & crew
Need to monitor their performance
– Assess if capable of doing the job
– What extra training maybe needed
– Discipline in co-operation of Personnel Dept
“The Crew are a Superintendent’s Tools”

Look after them !!

Control of the Vessels Budget
Only ONE person can control the Budget
− All expenditure on day to day running has to go through the Superintendent

− Some exceptions, who may have their own budgets :
− Insurance
− Quality Assurance
− Crewing Costs

Vessel Certification
The Superintendent must ensure that all the vessels certificates are
ALWAYS valid.
− This includes ensuring that all safety equipment services /surveys are
maintained
− Masters responsibility to advise Supt of imminent surveys that are due
− Arrange surveys in time – is a surveyor available at the next port?
− Can we combine surveys to save another visit
Delegation of a task to another Department or Junior Staff does NOT alleviate the
responsibility of the Superintendent to ensure the task is carried out.

Arrange Emergency Repairs
If Emergency repairs due to machinery failure or structural problems

occur the following may be required:
– Riding Squad Repair Technicians

– Arrange repairs at the next port of call
– Arrange a lay-by berth if repairs can not be done during cargo operations
– Arrange shipyard berth if repairs extensive
– If a structural problem involving grounding/contact/collision then Tugs and
Towing to drydock maybe required

Drydocking
Before you reach drydock………….
– Plan the docking date

– Prepare the repair specification
– Tender to ship repair yards
– Prepare orders for spare parts, paint, anodes etc etc
– Confirm the shipyard
– Order Agents, service technicians if necessary
– Advise your colleagues in the office at least 3-4 weeks before arrival
– Ensure the vessel is prepared
– Ensure the Insurance Brokers are advised the vessel will be in drydock.

Liaising with other Company Dept’s
Marine/Nautical Dept
Quality & DPA
Crewing Dept
Insurance Dept
Accounts
Management
Why ? ...........................TEAMWORK

Liaising with other Marine Stakeholders
Flag State
Classification Societies
Port State Control (PSC)
Vetting Inspectors
Insurance & Salvage Surveyors
Charterers

Responsibility & Liability
ISM 3.2 states

The Company should define and document the responsibility, authority and
interrelation of all personnel who manage, perform and verify work relating to and
affecting safety and pollution prevention.
The Superintendent has a responsibility not only to his management but also to
all those involved with running his vessels.
Job Descriptions dictate your responsibilities as a Superintendent
The Company Management Tree dictates routes of authority
“Not my job” - is NOT an option!!

Masters Overall Authority
– ISM 5.2 ……..The Company should establish in the safety management

system that the master has the overriding authority and the responsibility to
make decisions with respect to safety and pollution prevention and to
request the Company’s assistance as may be necessary.

Company Liability
– Since the “Herald of Free Enterprise” incident, courts will prosecute
Owners/Managers and their individual personnel
– As Superintendent you will be the first in the ‘firing-line’ after the Master
– The Superintendent must ensure that he has, or requests, sufficient
resources to operate the ships safely - ISM 3.3
Conflict of Duties
– When you know there is insufficient funds in the budget to replace the
damaged safety equipment
– Help ?? from your Superior/Manager/DPA
You are there to SAVE the Owners backside, not kiss it!!

Activity 1
From Ship to Shore

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Goals - Module 2
To understand:
ISM Code & how it affects the Superintendent
The Effect of ISM/ISPS
DPA’s position
Learning
Typical Company Structure Objectives
The need to work together
The need for Job Descriptions
Communicating within the Company

ISM Requirements
ISM 3.2 Company Responsibility and Authority
– The company should define and document the responsibility, authority and
interrelation of all personnel who manage, perform and verify work relating
to and affecting safety and pollution prevention.

Responsibilities
How far is the superintendent involved in the implementation and maintenance of

the SMS?
Task Yes No
Ordering safety relevant spares
Supporting the ship in the safe operation

Dealing with operational deficiencies
Reporting safety issues to top management
Monitoring performance of maintenance
Implementing the company policy
Planning internal audits

Managing
Director
Company Organisation
DPA CSO
Auditor ASSIST Finance Alternate

Fleet
Director CSO
Director
ACCTS
Technical Insurances Marine Chartering Purchasing Crewing

Manager Mananger Manager Manager Manager Manager
Tech Tech Tech Tech Marine Marine Personnel Personnel

Supt Purchase Purchase
Supt Supt Supt Supt Supt Officer Officer
ASSIST ASSIST ASSIST ASSIST ASSIST
SHIP
Company Structure
This can be sub divided:
− Small fleets with 2-4 Tech Supts - 4-5 ships each

− Technical Assist,
− Marine Superintendent
− Purchaser
− + sometimes
− Crew Superintendent
− Accounting Officer
− Larger fleet under a Technical Manager and/or Senior Superintendent

Job Descriptions
A job description is a list of tasks or functions and responsibilities for a position

or job within a company. As well as the tasks it can include to whom the position
reports to and for whom the position is responsible and in turn reports to them.
A job usually includes several different roles.

Job Descriptions
Job Descriptions = Responsibilities = Duties

Superintendents job descriptions tend to be “all encompassing”
‘Not my Job’ - is NOT an Option

Superintendent‘s Responsibility
• Some of these tasks and duties may well be shared or delegated to colleagues,
− Supply of stores and spares to the Purchasing Dept
− Confirming PMS is updated to Assistants
• Delegation of tasks will depend upon the experience and qualification of your
colleagues and assistants.
− But the responsibility of ensuring the task is completed is still with
the Superintendent

Why ISM?

Why ISM?
Objective: improvement of safety and environmental protection by means of a

management system
Development of international rules by IMO
Establishing requirements in the ISM-Code
Inclusion of a chapter IX into SOLAS (Management of Safe Operation of Ships)
Ratification by Contracting Governments
Implementation into national legislation of Contracting Governments

ISM Code and its effect upon the Superintendent
Herald of Free Enterprise
“….a full investigation into the circumstances of the disaster leads inexorably to the
conclusion that the underlying or cardinal faults lay higher up in the Company. The
Board of Directors did not appreciate their responsibility for the safe management
of their ships. They did not apply their minds to the question: What orders should
be given for the safety or our ships?
(Extract from the official report on the incident)

Herald of Free Enterprise
“… as this investigation progressed, it became clear that shore management took

very little notice of what they were told by their Masters. The Masters met only
intermittently. There was one period of two and a half years during which there was
no formal meeting between Management and Senior Masters. Latterly there was an
improvement. But the real complaint, which appears to the Court to be fully
justified, was that the “Marine Department” did not listen to the Complaints or
suggestions or wishes of their Masters. The Court heard of four specific areas in
which the voice of the Masters fell on deaf ears ashore.”
(Extract from the official report on the incident)

ISM Code Structure
– Preamble
– Part A – Implementation
– Elements 1 – 12
– Part B – Certification and verification

– Elements 13 - 16

ISM Code Preamble

– International standard for the safe management and operation of ships
and for pollution prevention
– System to safeguard the Masters
– Organization of management to support the operation of vessels
– General principles and objectives
– Vast scope of application, knowledge and awareness
– Commitment of management at all levels

What are the objectives of the ISM Code?
What are the safety management objectives of the Company?
What should the safety management system ensure?
What are the functional requirements for a safety management system?

Activity 2
ISM Code and its relevance to the Superintendent's

function

Making a Profit
All companies are in business to make a profit
But Health & Safety are now the priority
H&S must NOT be compromised for the sake of a profit
Compromise
There is NO compromise on H&S
A Superintendents most difficult decisions are always concerning H&S issues
when there is no money left in the budget!!
You have to find a way – but there is NO compromise on Safety

The Superintendent and the DPA
ISM Code 4.0 Designated Person

To ensure the safe operation of each ship and to provide a link between the
Company and those onboard …………. Having direct access to the highest level of
management.
……………….. and ensuring that adequate resources and shore-based support are
applied, as required.
Everybody is involved in Safety

and by default operation of the vessel

Interrelation between DPA and Superintendents
Designated Person Superintendent

– ensure implementation of the company – practical implementation of the
policy and SMS in the office and company policy and SMS in the own
throughout the fleet department and throughout the fleet
– ensure the safe operation of each ship – taking care of all operational aspects
– monitor and verify the safety and of ships including safety and pollution
pollution prevention activities of each prevention
ship – providing daily support and advice to
– ensure shore based support the ship command
– ensure that adequate resources are – providing adequate resources (crew,
provided as required training, equipment, material,
services)
– analyzing safety relevant reports
– ensure compliance with requirements
– cooperation with superintendents in all (rules, SMS, charterer, company)
safety and pollution prevention matters
– reporting to the DPA incidents,
– organize and evaluate audits and system accidents, hazardous occurrences,
reviews non-conformities, its causes and
– organize and evaluate ship-shore corrective measures
exercises

Link between Management and those on Board
Management
Designated Person
Charter Personnel Inspection Accounting
Nautical Inspection Technical Inspection
Ship 1 Ship 2 Ship 3 Ship 4

Teamwork
“None of us is as smart as all of us together”

DPA leadership - Desirable Qualities
Instill respect and command authority

Lead the ship-shore team by example
Draw on knowledge and experience
Remain calm in a crisis
Practice “tough empathy”
Be sensitive to different cultures
Recognize the crew’s limitations
Motivate and create a sense of community
Communicate and listen clearly

Activity 3
Superintendent vs. Designated Person

Ship Owner or Ship Manager
Ship Owner
− May operate and run his own vessels
Ship Manager
− A Ship Manager will not generally own any vessels
− Will run vessels on behalf of an Owner/Bank/ etc
− Will manage vessels from several different Owners

Ship Owner
− Can be a more relaxed atmosphere
− Smaller, possibly family owned company
− Only answerable to one Boss

Ship Manager
− Several Owners (Clients) to deal with and answer to
− Owner may want to ‘cut-corners’ which is against Shipmanagers/ISM policy
− Better buying power due to larger number of vessels
− More redundancy and better back up for office staff
− Much more ‘high pressure’ job
− Shipmanagers are part of the “Service Industry” and the Owner is always
just a ‘client’ who, if he does not get a good service, can transfer his vessels
to another Shipmanager.
− Ships come and go into the company which does not help continuity or run a
safe & efficient vessel.

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Module 3: Industry Stakeholders
Goals Module 3
Who are the other stakeholders

Understand their reason for being involved
What their involvement means to the Superintendent Learning
Objectives

Flag State Administration
National State Fleets

Flag of Convenience
There are some 130 Flag States and they all have the same job to do:
− Identify Nationality of the Vessel
− Vessel Registration
− Regulate through National Government & IMO legislation
− Monitoring the Safety

Regulate and Monitor Construction

Monitor and Survey vessels after Construction
Carry out Surveys on behalf of the Flag State
They produce their own Rules & Regulations for Construction and Survey
They serve the Ship Owners, Shipyards, Flag States and Maritime Supply Industry

Insurance
P & I (Protection & Indemnity)

– 3rd Party and Crew
H+M (Hull & Machinery)
– Hull and all fixed equipment
Cargo
– Also involves:
− Average Adjusters
− Brokers
− Salvage Association

Charterers
A person or company engaging a ship with whom the Shipowner enters into a
contract for the carriage of goods from a loading to discharge port.
Types of Charters
– Single Voyage
– Time Charter
– Bareboat Charter

Port State Control
Is the inspection of ships in national ports to verify that the condition of the ship
and its equipment comply with the requirements of international regulations and
that the ship is manned and operated in compliance of these rules.
Regionalised by a series of MoU’s (Memorandum of Understanding)

PSC - MoU Regions
Black East coast

Sea Russia
PARIS
Westcoast MOU with
MOU
Canada TOKYO
with MOU
TOKYO US COAST
MOU GUARD
Mediterr.
MOU
TOKYO
Carrib. MOU MOU
Indian
Ocean
Abuja MOU MOU
Vina del
Mar MOU
South Africa
member of Indian
Ocean and Abuja
MOU
Distribution of PSC MOUs worldwide

Other Interested Parties 1/2
Ship Agent Look after the interests of ship in port, arrange, Tugs,
Cargo and sign Bill of Lading
Crewing Agent Supplies ships crew and arrange and ensure the crew
are correctly certified
BIMCO Independent shipping association to promote higher
standards within the industry and produce various
contracts.
IACS Int Association of Class Societies.
Salvage Association Previously independent survey company associated with
Lloyds of London Insurance Market. Est 1856 and
incorporated by Royal Charter in 1867. Taken over
by independent consultants in 2002

Other Interested Parties 2/2
OCIMF Oil Majors association who developed the SIRE

program
ITF Seafarers trade union
Intercargo Dry Bulk Cargo association for Owners, Operators and
Managers
Intertanko Independent (non State owned) Tanker Owners
association
ITOPF Tanker Owners Fund for Pollution clean up and education
but largely taken over by CoFR (Certificate of Financial
Responsibility)

Activity 4
Dealing with Damage

Overview Interested Parties
politicians authorities population class RO/RSO
owner employees
charterer shipping company media
shipper
journalists
receiver friends next of kin relatives

insurances

What does this all mean to the Superintendent ?
More paperwork ?
Reports to read ?
More Filing ?
Ignore ?

Ship Inspections
A Ship Inspector produces a report

It may or may not contain a list of deficiencies
Each report with deficiencies has to be replied to
The Superintendent has to reply to each deficiency
This involves both the Master & Vessel.

Report deficiencies
Example:
Passage Plan is only Pilot to Pilot, must be berth to berth

2nd Officer was not sure of Emergency Call procedures for GMDSS
EPIRB battery has expired
No heading indicator at local steering station
No Safety Data information at Engine Room Chemical Store
Several lights out in the Machinery Spaces
Hatchcover sealing tape not used as standard for sensitive cargoes

Reply Tone
Courteous
Direct
Clear and Concise
Remember:
– Not all reported deficiencies are correct, but you must tell the inspector
politely that they may have made a mistake.
– Explain clearly and refer to what ever necessary documentation to indicate
why you feel they have made a mistake.

Activity 5
Ship Inspections

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Module 4 - Registration / Change of Flag
Goals – Module 4
To enhance the knowledge and understanding about

registration of ships and change of flag
Learning
Objectives

Which international instruments cover the flag states
responsibilities?
Hyperlink
to
UNCLOS
UNCLOS
– Definition of flag states and flag state responsibilities
– Nationality of ships (UNCLOS Art 91)
– Duties of the flag states (UNCLOS Art. 94)
– Enforcement by flag States (UNCLOS Art. 217)
SOLAS
– Duties of flag states

Activity 6
Obligations of the Flag State

Legal Background
National Laws
IMO adopts legislation
Flag state implements legislation
Merchant Shipping Act (MSA)
• Preliminary (I);
• Administration and implementation (II);
• Registration of ships – Mortgage – Maritime Liens (III);
• Masters, officers, seamen and cadets (IV);
• Safety of navigation (V);
• Wreck and salvage (VI);
• Shipping casualties, inquiries, courts and legal proceedings (VII);
• Pollution of the sea by oil (VIII);
• Passenger ships (IX);
• Carriage of goods by sea (X);
• Limitation and division of liability (XI).

Consequences– Ship Registers
Traditional ship register e.g.: Germany, UK, Japan
e.g.: Gibraltar, Bermuda, Cayman

Dependent ship register
Islands
Open ship register e.g.: Liberia, Panama, Malta
International (“Second“) Open: e.g.: Norway (NIS)

register Closed: e.g.: Germany (ISR)

Application of international and national Regulations
The international requirements set the minimum standards

Each flag state is free to set additional requirements
+ National
requirements
International requirements
(SOLAS, MARPOL, …)

Basics – Closing date
Decision for change of flag
Information to all relevant

authorities and departments
Agree about closing date
Start necessary actions
Closing date
Surveys
New certificates (etc.) are available

Basics - Closing date
Application for certificate of registry (incl. call sign)

Inform former flag State and fulfil relevant requirements for leaving the register
Application of new certificates and documents in time at the new flag State
Crew has to comply with national legislation of the new flag State
Decision about the Port where the change of flag should take part

Consequences - international
General:
All „statutory certificates“ become invalid with a

change of flag
New certificates will be issued after completion of all

surveys and inspections

General
Company
Ship: Change of flag
New flag state
responsible for:
Former flag state - Registration
Cancel the registration - Certificates
- National law
Surveys
might be delegated (depends on flag
state)
DNV GL

internal external
94
Consequences - Overview
© DNV GL
Decision
Crewing
Rev. 1.0
New Flag State

Information & preparation Authorities
Finance
DNV GL
Inspection
Former Flag State

Authorities
Legal Affairs
Closing
Date
Registration
New Certificates
Consequences – Crewing
Residence permit (if applicable)
Endorsement of STCW certificates Closing Enrolment

Date
Medical Fitness & Seaman’s Book

Social insurance
Minimum Safe Manning certificate

Consequences – Surveys
Arrangement of surveys Surveys
Interim
Closing
certificates
Date
New certificates

Consequences – Registration
Application of cancellation
deletion
Bill of sale – change of owner

Transfer =
Closing
Date
New Call-Sign Documents of

No. of ship’s register register registration

Consequences – Communication at the Closing Date
Company
Former Flag State

New Flag State
Deletion from
Register

Consequences – Communication at the Closing Date
Company
Bank / Lawyer New Flag State
Transfer of
mortgage Registration of the
ship

Consequences – Communication at the closing date
Company
New Flag State
Embassy
If port of
change of flag is
outside flag state
country
100 © DNV GL Rev. 1.0

Consequences – Communication at the closing date
Residence
Surveys
permit / Visa
Enrolment
Certificates New Flag State
Embassy
If port of
change of flag is
outside flag state
country
101 © DNV GL Rev. 1.0

Closing
Any questions?
Do you have any further questions?
Summary of Day 1
102 © DNV GL Rev. 1.0

Thank you for your attention!
See you tomorrow!
103 © DNV GL Rev. 1.0

MARITIME ORGANISATIONS AND REGULATIONS

Course Schedule






Navigator

• Module 4 - Registration / Change of Flag

Module 5: Bringing a Ship into Management
Goals Module 5
To understand requirements when changing Owners,

Managers, Flag and Class
Learning
Objectives

Bringing a Ship into Managemnt
MV Malwa - will join the fleet as a 2nd hand vessel and will be changing Flag
and Class before loading in Newcastle, Australia.
What has to be done??

Change of Ownership/Managers
Geographic distance between buyer, seller, brokers, lawyers, managers and the
ship, coupled with time zone difference make this a complex operation.
Meticulous planning is required to ensure all paperwork is completed at the same

time and allow change of registration, class etc to proceed without delaying the
vessel any longer than necessary.
The transfer of money and title deeds of the vessel will involve Buyers/Sellers
lawyers and bankers
Physical handover will involve the Buyers/Sellers technical, operations and

crewing departments.

Sale & Purchase
Generally a Superintendents involvement is only after the deal is agreed

and then you have to handle the transfer of ownership.
New ships coming into management have different requirements to those leaving
New build vessels have a different set of priorities to 2nd Hand vessels

New Vessels joining the Fleet
Flag & Class will already have been arranged before the handover from the
shipyard, the ship will be manned and stored ready to sail to its first load port.
But the following still needs to be organised:
– Ensure the ships staff take extra note and care for the first few months of
service, full watch keeping.
Send full instructions for initial operation
– Set up the Guarantee Claims system with the yard
– Set up and commence Planned Maintenance System
– Set up Spares & Stores inventory
– ISM/ISPS audits to arrange
– Ensure that ships manuals are delivered in good time, catalogued and filed
both onboard and in the office
– Divers underwater survey

Taking over 2nd Hand Tonnage
Your company is taking over a 2nd hand vessel to the fleet.

The Flag of the vessel is being changed
The Class Society of the vessel is being changed
What has to be taken into consideration by the Superintendent in

charge of the operation?
Hyperlink to
checklist

Activity 1
New ship into management

Selling and Handing Over to new Owners
What’s the difference between ‘taking over’ a ship

and ‘handing over’ a ship?

N
Navigator
W E

Module 6: System of Maritime Regulations
Goals Module 6
Understand the reasons for regulation

Rule-making Organisations
Important Regulations
Amendments of Conventions
Learning
Objectives

Overview – Maritime Regulations
ORGANIZATIONS EXAMPLES INSTRUMENTS EXAMPLES CONTENT

I
SOLAS, STCW, MARPOL, Requirements concerning

Conventions+ Codes
International Maritime Organisation IMO MLC, ISM, ISPS Survey and Certification
International International Labour Organisation ILO
Classification Rules Resolutions+ Circulars A.1047(27) Safe Manning
Equipment Directive List of Approved Equipment

European Union EU Directives
Regional European Maritime Safety Agency EMSA Reports+Studies LNG as Fuel Bunkering LNG
DNV GL Section I-Part 0

Classification Classification Rules GL Rules/ DNV Rules Classification and Surveys
International Association of Classification
Societies Societies IACS
Blue Books Unified Requirements Z 20 Planned Maintenance
National Law A+B: Merchant Shipping Act Implementation MLC

Flag Port MET
Administrations States States States
Circulars and Advisory Notes
Germany::Schiffsbesetzungsver
Safe Manning Certificate
ordnung
OCIMF ICS TMSA

Industrial Oil Companies International Guidelines Tanker Management and Self Casualty Investigation
International Marine Chamber of Assessment
Forum Shipping

The need for International Maritime Organisation (IMO)
Purpose
Safer Ships and Cleaner Oceans
Providing for a liability and compensation

framework
Facilitation of International Maritime Traffic
Achieved by
Development of international treaties
Keeping legislation up to date and raising

ratification rates
Ensuring implementation of existing

instruments

IMO Convention
Adopted Geneva 1948 under the

name of IMCO
Entered into force 1958
First IMCO meeting 1959
Name changed to IMO in 1982
Currently 172 Member States
+ 3 Associate Members (Macau
China, Hong Kong China, Faroe
Islands, Denmark)
Source Data from www.IMO.org – 12/2016

IMO
Working Principles
– Setting uniform, international standards on a consensus basis
– IMO adopts legislation,
governments implement it
– Speeding up ratification by “tacit acceptance”

Committees and Sub-committees of IMO
Ship Design and Equipment

(SDC)
Maritime Safety
Committee (MSC)
Ship Systems and Equipment
(SSE)
Assembly (A) Marine Environment
Protection Committee Navigation, Communications,
(MEPC) Search and Rescue (NCSR)
Legal Committee Human Element, Training and

Council (C) Watchkeeping (HTW)
(LEG)
Implementation of IMO
Technical Co- Instruments (III)
operation Committee
(TCC)
Carriage of Cargoes and
Containers (CCC)
Facilitation Committee
(FAL) Pollution Prevention and
Response (PPR)
18 © DNV GL
IMO – Structure
SOLAS
IV, V SOLAS STCW SOLAS SOLAS
SOLAS SOLAS COLREG V, VI, VII, VI,
II-2,III II-1 COLREG XII VII,XII
Navigation Human
Ship Ship Design Communic Carriage of Pollution
Implmnt. of Element,
Systems & & ations, Cargoes & Prevention
IMO Training &
Equipment Construction Search & Containers & Response
Instruments Watchk.
(SSE) (SDC) Rescue (CCC) (PPR)
(III) (HTW)
(NCSR)
SAFCON SAFEQ , Safe Certificates Certificates

SAFCON Certificates
SAFEQ SAFRAD Manning of of
SAFEQ general
LL Certificate Certificate Fitness Fitness
Certificate
Certificate
Updated
2017 preliminary IMO Meeting programme
(PROG/125)
20 © DNV GL
ILO - International Labour Organization
Founded 1919 in Paris

Body of the United Nations
187 member states
Mission: Creation of international labour standards,
e. g. Working hours, food and catering
Maritime Labour Convention, 2006 – came into force in August 2013.
Established for the first time minimum working and living standards for seafarers
http://www.ilo.org/global/standards/maritime-labour-convention/lang--
en/index.htm

Regional Organisations
European Union: EMSA - Tasks
“Safer and Cleaner Shipping in the European Union”
provide technical and scientific assistance to the European

Commission and Member States in the proper development and
implementation of EU legislation on maritime safety, pollution by
ships and security on board ships
http://www.emsa.europa.eu/

Flag States
Tasks
• Development of national law on shipping

• Implementation of international Conventions into its
own national law
• Ensure compliance of ships flying its flag with its own
national law (often delegated to Recognized Organisations
(RO) such as Classification Societies)

Flag States - Tasks
Duty Yes No
Flag State Control
Port State Control
Implementation of International Regulations
Supervision of Newbuilding and Equipment
Supplying Provision
Issuance of Certificates
Supervision of Safe Manning

Port State Control’s objective is to ensure safe and
environmentally sound operation of vessels
Mission Eliminate the operation of sub-standard ships
Verify implementation and enforcement of international

Purpose conventions by shipowner/operator, classification society and
flag state
Inspect foreign ships in national ports to ensure compliance of

Certification of crew
Pollution- and environmental issues
Working- and living conditions
Scope
Safety
Maritime security
Operational issues
Management

PSC Databases
Internet Search Data Bases provided by

PARIS MoU (www.parismou.org)
TOKYO MoU (www.tokyo-mou.org)
USCG
(www.uscg.mil/hq/gm/pscweb/index.htm)
Source: Wikipedia
Indian Ocean MoU (www.iomou.org)

Paris MoU Indian Ocean MoU
Black Sea MoU (www.bsmou.org)
Tokyo MoU Abuja MoU
Caribbean MoU Black Sea MoU
Equasis Mediterranean MoU Riyadh MoU
shows summarized PSC data from PARIS Acuerdo Latino
(Viña del Mar MoU)
MoU, TOKYO MoU, USCG
Search per ship or company
Hyperlink to survey dates
26 © DNV GL
Rev. 1.0
Black East coast
Sea Russia
PARIS
Westcoast MOU with
MOU
Canada TOKYO
with MOU
TOKYO US COAST
MOU GUARD
Mediterr.
MOU
TOKYO
Carrib. MOU MOU
Indian
Ocean
Abuja MOU MOU
Vina del
Mar MOU
South Africa
member of Indian
Ocean and Abuja
MOU
Distribution of PSC MOUs worldwide

How do PSC regimes work? – example New Inspection Regime
Established to concentrate efforts on high-risk ships (potential sub-standard

ships)
Will reward quality shipping with a reduced inspection burden (ships with fewer
detentions than the MoU average)
This is done by calculating the dynamic Ship Risk Profiles (SRP) for each ship
based on
Generic Factors Historical Factors
• Type of Ship (36 month)
• Age of Ship • Each deficiencies
• Flag • Each detentions
• RO
• Company A change in one of
the factors may
HRS – High Risk Ship change the risk
profile of the ship
SRS – Standard Risk Ship
LRS – Low Risk Ships

PSC - New Inspection Regime (NIR): PSC inspection depends on
Ship Risk Profile & time difference since last PSC inspection
PSC Inspection windows are defined depending on SRP and last inspection in a
MoU
Ship Risk Profiles categories

HRS High Risk Ship: shortest time window between two PSC inspections
SRS Standard Risk Ship: medium time window between two PSC inspections
LRS Low Risk Ships: longest time window between two PSC inspections
Inspection window might be changed by overriding & unexpected factors

SRP MATRIX: Paris MoU - Tokyo MoU – Black Sea MoU

Ship Risk Profile: Paris MoU - Tokyo MoU – Black Sea MoU

NIR: Inspection Window due to Ship Risk Factor
= Eligible for = Mandatory for

inspection inspection
6th month
HRS 5th
PII
PI
12th month
10th
SRS
PII PI
36th month
24th
LRS
PII PI
Last inspection in this MOU

Ships get PSC inspections outside the time window due to these
factors
Overriding factors – Unexpected factors –

ships are treated as Priority I Ships are treated as Priority II
collision ships which did not comply with the

reporting obligations
illegal discharge
outstanding deficiencies
unsafe maneuvering
previously detained ships (after 3
suspended or withdrawn class months)
not in database complaint
cargo problems
recommended pilotage scheme not
followed in entrance to Baltic Sea

PSC inspection windows – only inspections in the same MoU count
Time since last PSC inspection in the same MoU
Outside PII window: PI window:

MoU window: No Might be Must be
PSC inspection inspected inspected
Paris MoU 0 - 4 month 5 - 6 month + 7 month
High Risk Ship Tokyo/ Black
0 - 2 month 3 - 4 month + 5 month
Sea MoU
Paris MoU 0 – 9 month 10 – 12 month + 13 month
Standard Risk
Ship Tokyo/ Black
0 – 5 month 6 – 8 month + 9 month
Sea MoU
Paris MoU 0 – 23 month 24 – 36 month + 37 month
Low Risk Ship Tokyo/ Black
0 – 9 month 10 – 18 month + 19 month
Sea MoU
Unexpected Factors
Overriding Factors

Web Page: PSC Support
https://www.dnvgl.com/services/port-state-control-psc-support-1548

History of Classification
– 2nd half of 18th century: London

merchants, shipowners, and captains often
gathered at Edward Lloyds’ coffee house
– needed a way of assessing the quality of the
ships that they were being asked to insure
– attempt was made to 'classify' the condition
of each ship on an annual basis

What are the tasks of a

classification society?

Dual Tasks: Class - Statutory
Classification Statutory
IMO: Conventions, Codes,

Rules for Classification and Resolutions
Construction
National Law, additional national
requirements
Recognized technical standards Administration: responsible,

may authorize classification soc.
Internal External
Application and Application by DNV GL on behalf of

Interpretation by DNV GL Administration, Interpretation by
Administration

Authorization by Flag States
https://www.dnvgl.com/maritime/flagstate-coastal-state-services.html

IACS – Tasks
Standards among Classification

Societies
Publications (www.iacs.org.uk)
– unified requirements
– interpretations
– recommendations
– common structural rules
Representation at IMO

IACS - Members
Members of IACS Year of Foundation
BV Bureau Veritas 1828

LR Lloyd’s Register of Shipping 1832
RINA Registro Italiano Navale 1861
ABS American Bureau of Shipping 1862
DNV Det Norske Veritas 1864
DNV GL since 2013
GL Germanischer Lloyd 1867
NK Nippon Kaiji Kyokai 1899
RS Russian Maritime Register of Shipping 1913
PRS Polish Register of Shipping 1936
CRS Croatian Register of Shipping 1949
CCS China Classification Society 1956
KR Korean Register of Shipping 1960
IRS Indian Register of Shipping 1975

Industrial Organizations
ISO International Standard Organization

ICS International Chamber of Shipping
OCIMF Oil Companies International Marine Forum
INTERTANKO Int. Association of Independent Tanker Owners
INTERCARGO Int. Association of Dry Cargo Shipowners
These bodies create or dictate Industry Standards

Question: Application of Regulations
Scenario:
Owner orders tanker newbuilding
• Tanker
- 25.000 GT
- keel laying 2009-08
• Flag: Panama
• Class: DNV GL
• Trading area:
South-East Asia - USA

Which Rules and Regulations apply?
Regulation Yes No
SOLAS
SOLAS /74
MARPOL X
US Coast Guard Regulations X
Intercargo
INTERTANKOGuides
Guides X
EU Equipment Directive X
National Regulations Panama X
Class Rules X
IACS Requirements X

Background
Accident driven development

– Titanic SOLAS 1914
– Argo Merchant MARPOL, SOLAS Protocol 78
– Herald of Free Enterprise ISM Code
– Scandinavian Star SOLAS 74/ II-1
– Prestige MARPOL Oil Tanker Double Hull
– WTC 9/11 ISPS Code
– Costa Concordia SOLAS 74/ Passenger Ships
Measures

IMO Instruments
Conventions
Protocols
Codes
Resolutions
Circulars

Quiz: Who knows it ???
Mixed up letters
Re-arrange the following letters and figures to form the official titles of the most
important conventions
ALSOS 4917 S…………….

LORAMP 37/87 M…………..
MCL 0062 M….
WTCS 7891 S…….

Major Conventions
– SOLAS
– MARPOL
– STCW
– MLC
– LOADLINE
– COLREG
– TONNAGE
– SAR
– AFS
– Recycling
– BWM

Important Abbreviations used in IMO Documents
Abbreviation Explanation Example
A. Assembly- A.1047(27) Safe Manning

Meeting Resolution
MSC Maritime Safety Committee MSC.318(89): Amendments to the

Resolution IMSBC Code
MEPC Marine Environment Protection MEPC.164(56): included text for

Committee Resolution MARPOL I, related to discharge of
oily mixtures
MSC/Circ. Maritime Safety Committee Circular MSC1./Circ.1402: Safety of Pilot

Transfer Arrangements
MEPC/Circ. Marine Environment Protection MSC-MEPC4./Circ.2: Code of good

Committee Circular practice to assist PSCO

Question: Abbreviations used
Abbreviation Explanation
A.948(23) Resolution 948(23) > HSSC
MSC/Circ.956 MSC Circular 956 > interpretations SOLAS II-2
MSC.201(81) Resolution MSC.201(81) > Safety Equipment
LL.3/Circ.162 Circular LL.3/162 > Load Line interpretations

Status of Conventions

Approval Procedures for IMO Conventions
Acceptance by ratification
A certain number of Administrations,
representing a certain percentage
of world gross tonnage have
ratified the Regulation (for implementation)
e.g. BWM Convention: The Convention
comes into force 12 month after
30 countries representing over 35% of world
tonnage have ratified the Convention
Tacit acceptance
Automatic entry into force unless any
objection has been raised

Four year cycle for SOLAS amendments
MSC adopted at its 93rd session Guidance on entry into force of amendments to the
1974 SOLAS Convention and related mandatory instruments resulting in a four-
year cycle for the entry into force of amendments to the 1974 SOLAS Convention
and related mandatory instruments
The first four-year cycle commence on 1 January 2016 with a corresponding
entry-into-force date of 1 January 2020
Amendments after 1 July 2018 would normally enter into force not earlier than
1 January 2024
Any amendment adopted in 2014 or 2015 enters into force on a date as may be
agreed by MSC
Amendments outside a four-year entry-into-force interval should only be allowed
under exceptional circumstances. The four-year cycle of entry into force does not
apply to instruments which have an already agreed set cycle of amendment (e.g.
ESP, IMDG and IMSBC Codes).
2016 2017 2018 2019 2020 2021 2022 2023 2024 2025
53 DNV GL © 2014
SOLAS - Application
Vessel with keel laying date ≥ ratification date
Ratification by Flag State
Vessels engaged in international voyage
Not applicable for:

• Ships of war and troopships
• Cargo ships ≤ 500 GT
• Ships not propelled by mechanical means
• Wooden ships of primitive build
• Pleasure yachts not engaged in trade
• Fishing vessels

New
Adoption of amendments to Reviews, new/amended
mandatory instruments guidelines and decisions
Major IMO decisions – Safety
2017 2018 2019
Requirements for onboard lifting Additional performance and test

SOLAS II-1 and III: Adoption of package appliances and winches Review SOLAS II-2 and other codes on
on subdivision and stability standards for communication equipment
fire safety on ro-ro spaces and special
and LSA equipment to comply with the
category spaces of ropax vessels
Polar Code
LSA Code: Develop new requirements for
Alignment of IGF Code with IGC Code wrt ventilation of survival crafts
A-0 fire-rated wheelhouse windows
SOLAS II-2/3.56: clarify that only "pure car

Revised SOLAS II-1/3-8 and guidelines for
and truck carriers" should comply with safe mooring operations for all ships MSC 101
SOLAS regulation II-2/20-1
Amendments to the FSS Code for CO2

Adopt amendments to the 1994 and pipelines in under-deck passageways
MSC 98HSC Codes
2000
Revised Guidance for watertight doors on Guidelines for use of Fibre Reinforced 2020->
passenger ships which may be opened Plastics (FRP) within ship structures
during navigation
Mandatory instrument and/or provisions
addressing safety standards for the
SOLAS II-2/9.4.1.3: clarify the carriage of more than 12 industrial
Performance Standards for ship-borne GMDSS
requirements for fire integrity of windows personnel on board vessels engaged on
equipment to accommodate additional providers
on passenger ships carrying not more than international voyages
of GMDSS satellite services
36 passengers
OSV Chemical Code (Assembly 30)
MSC 98 MSC 99 MSC 100
55 © DNV GL
Quiz: Who knows it?
SOLAS Structure
Note for this template:

the picture should be changed and
correspond to the case study.

Tool: SOLAS Safety Equipment

Tool: SOLAS Drills and Training
Required Frequency of Shipboard Drills and Training
Alternatives/ SOLAS
Subject Application Record Freqency / Interval
Remarks Reg.
All Passenger Ships

Short int. Voyage
Internat. Voyage
Log Book Entry
Within 2 weeks
Before Voyage
Cargo Ships
within 1 week
Within 24hrs
All Ships
2 months
3 months
4 months
6 months
Monthly
3 years
5 years
6 years
Weekly
1 year
Drills:
a) Fire & abandon ship:
If more than 25% of crew have not III/19.3.2
participated in drills on that ship in the X X X
previous month
Normal routine III/19.3.2 X X X
III/30.2 X X X
b) Emergency steering: V/19-2.d X X X
c) Launching: X
Lifeboats (non-freefall type) III/19.3.3.3 X X X
Low ering every 3 months III/19.3.3.5 X X X
Freefall - lifeboat
In addition: Low ering and
Launching m ay be substituted by III/19.3.3.4 X X X
manoeuvring in the w ater
sim ulated launching ( MSC.1/Circ. 1207)
every 3 months
X X X
Rescue boats (as far as practical monthly) III/19.3.3.6
Rotational deployment of MES III/20.8.2 X X X
d) Security
Regular drill X X X
If due to crew change more than 25% of the ISPS
crew have not participated in drills on that B/13.6 X X X
ship before
Exercise, testing coounication, coordination, max. 18 months betw een
resourceavailability and response exercises ISPS X X X
B/13.7
Training:
Use of LSA incl. survival craft- and
fire-fighting equipment to crew X X X
members III/19.4.1
In the use of davit-launched liferafts III/19.4.3 X X X
On deployment of MES for party
X X X
members III/19.3.3.8
Muster of passengers, on board for
X X X
more than 24 hrs III/19.2.2
Safety briefing for new passengers III/19.2.3 X X X
Training of crew member with
X X X
emergency duties III/19.2.1

Activity 2
SOLAS equipment and drills

Important to know: Current Publications
SOLAS and MARPOL

CONSOLIDATED EDITIONS

MARPOL 73/78 - Structure
Annex Content
I Regulations for the prevention of pollution by oil
II Noxious liquid substances in bulk
III Harmful substances carried in packaged form
IV Sewage
V Garbage
VI Air pollution
Duty to report on incidents involving harmful substances

MARPOL 73/78
Annex I - Oil
Entry into force: 2nd October 1983
Application: Ships > 400 GT / Tanker > 150 GT
Certificate: IOPP
Documents: e.g. SOPEP, Oil Record Book
Annex I – Special Areas
Division: Special Areas / Particularly Sensitive Areas
No discharge of oil or discharge under specific conditions

MARPOL 73/78
Annex II – Noxious Liquid Substances in Bulk
Entry into force: 6th April 1987
Application: Ships carrying noxiuos liquid substances in bulk
Certificate: International Pollution Prevention Cert. for the

Carriage of NLS /
International Certificate of Fitness for the
Carriage of Dangerous Chemicals in Bulk
Documents: e.g. Procedures and Arrangements Manual

(P&A Manual), SMPEP

MARPOL 73/78
Annex III – Prevention of Pollution by Packaged

Harmful Substances carried by Sea in Packaged Form
Entry into force: 1st July 1992
Application: Ships carrying harmful substances in packaged

form
Certificate: ---
Documents: ---

MARPOL 73/78
Annex IV – Sewage
Entry into force: 27th September 2003
Application: Ships ≥ 400 GT or > 15 Persons
Certificate: International Sewage Pollution Prevention

Certificate
Documents: ---
Provision of a treatment plant or holding tanks is required

MARPOL 73/78
Annex V – Garbage
Entry into force: 31st December 1998
Application: all ships
Certificate: ---
Documents: Garbage Management Plan,

Garbage Record Book

MARPOL 73/78
Annex VI – Air Pollution
Entry into force: 19th May 2005
Application: all ships
Certificate: Ship’s Document

• IAPP (International Air Pollution Prevention)
Certificate required for any ship of 400 gross
tonnage or above
Engine Document
• EIAPP (Engine International Air Pollution
Prevention)
Certificate required for any engine built or
modified on or after 01.01.2000

Marine Environment: BWM Convention
Finland signed up to the convention in Sept 2016 triggering the

mechanism to ratify the BWM Convention
BWM Convention will be in force from 8th Sept 2017
www.dnvgl.com/services/ballast-water-management-bwm-and-
biofouling-3416

Turn-by-Turn Navigation for Ballast Water Management
03 Your
implementation
schedule
05 Technology
assessment
Step
01 Step
Understand the
BWM Convention
Step
02 04 06
Immediate Actions Involve Make it happen!
required DNV GL
Step
Step
Step
Understanding the convention
Important elements
Ballast Water Management Plan

Provides standard operational guidance for the planning and management of vessels'
BWMP
ballast water and sediments and describes safe procedures to be followed.
Ballast Water Exchange Standard – Exchange method with efficiency of 95 per cent
volumetric exchange of ballast water. Can either be exchange by sequential, flow through
D-1 or dilution methods
Ballast Water Performance Standard (Treatment) – Ships shall discharge less than
10 viable organisms per cubic metre greater than or equal to 50 micrometres in minimum
D-2 dimension and less than 10 viable organisms per millilitre less than 50 micrometres in
minimum dimension and greater than or equal to 10 micrometres in minimum dimension;
and discharge of the indicator microbes shall not exceed the specified concentrations.
Ballast Water Record Book

Ballast Water Exchange and/or Treatment should be recorded in the Ballast Water
Record Book, which may be an electronic record system or be integrated into another
record book or system.
The Ballast Water Record Book entries shall be maintained on board the vessel for a
minimum period of two years after the last entry has been made.
70
Ungraded
70 DNV GL © 2017
Rev. 1.0
“IMO Convention for the Safe and Environmentally Sound
Recycling of Ships“ (now “Hong Kong Convention”)
Structure:
Convention (21 Articles & 25 Regulations)
Annex Chapter 1: General provisions

Chapter 2: Requirements for ships
A. Design, construction, operation, maintenance
B. Preparation for ship recycling
C. Surveys and certifications
Chapter 3: Requirements for ship recycling facilities
Chapter 4: Reporting requirements
Appendix Guidelines (6 + options)

COLREG 72
Convention on the
International Regulations for Preventing
Collisions at Sea
Entry into force: 15.07.1977

Application: All ships upon the high seas

LOAD LINE - Application
TF
F T
S
W
WNA
Vessels engaged in international voyages
length ≥ 24 m
existing ships ≥ 150 GT
Not applicable for:

• Warships
• Yachts
• Fishing vessels

Class appears on freeboard mark
Tropical Fresh Water

Fresh water
Summer
Winter
Winter North Atlantic
Samuel Plimsoll

TONNAGE - Application
Vessels engaged in international voyage
length ≥ 24 m
Not applicable for:

• Warships

STCW - Application
The International Convention on Standards for Training,

Certification and Watchkeeping for Seafarers
Crews of merchant vessels (not fishing vessels)
Responsibilities
Shipping Companies
Flag States
Seafarers

ILO Maritime Labour Convention 2006
MLC Target: 30 states with 33% world

gross tonnage of ships
Achieved: 20 August 2012
Into effect: 20 August 2013

Purpose of the MLC 2006
Enforced seafarers‘ rights
Conditions of fair competition for shipowners
One comprehensive set of global standards

• Also referred to as the CONSOLIDATED Maritime Labour Convention, 2006
• Almost all of the existing maritime labour instruments were included into the
new MLC 2006
• Updates to the requirements, where applicable
The MLC 2006 is intended to be

• Globally applicable
• Easily understandable
• Readily updateable
• Uniformly enforced

IMO development ?
Incident
Proposal to MSC/MEPC
Committee
Idea,
development
Discussion, refer
to Sub-Committee,
Working Group
Development of draft
Regulation, circular,
Code or resolution
Ratification by
Adoption of Governments /
new regulation Entry into Force

Why implementation?
Introduction Quality Management Systems

High number of amendments
– International and national regulations
Port State Control/ Flag State Inspections
Customer requirements
– Building contracts

Example: ISM Code / ISO
ISM Code “1.2.3 The safety management system should ensure:

.1 compliance with mandatory rules and regulations; and
.2 that applicable codes, guidelines and standards
recommended by the Organization, Administrations,
classification societies and maritime industry
organizations are taken into account.“
Task of the owners
– comply with mandatory regulations
– taking into account other applicable guidelines and
standards
Check by external and internal audits
ISO 9001:2008 “4.2.3 Control of documents- review and update [...]

d) to ensure that relevant versions of applicable documents
are available at points of use“

Implementation by the owner / yard
Identification of
– mandatory requirements
– other applicable guidelines,
standards etc.
Collection of amendments
Analyse the application
Implementation

Navigator


Module 7 - Surveys and Certificates
Goals – Module 7
to enhance knowledge and understanding about the

system of surveys and certificates
Learning
Objectives

Reasons for and Aims of Surveys
Question:
What are possible reasons for surveys ?

Overview
Surveys
Classification Statutory Others
Depends on Depends on
Depends on
Laws and Contracts and
Classification Rules
Regulations Agreements
Statutory
Class Certificate Reports
Certificates

Class – Surveys
Periodical Surveys
– Annual Survey
– Intermediate Survey
– Class Renewal Survey
– Bottom Survey
– Boiler Survey
– Tailshaft Survey
Non periodical Surveys
– Damage and Repair Survey
– Voyage Repairs and Maintenance
– Conversion Surveys
– Extraordinary Surveys
Special cases
– Change of Class
– Condition Assessment Program

Certificates
Certificate of Class

Statutory - Survey Types and Intervals
Intervals of Surveys – HSSC

Harmonized System of Surveys and Certificates
Aims of HSSC
Harmonization of Flag State and
Class survey intervals
Survey periods + validity for Certificates
concerned by
– SOLAS 74/78 1988 SOLAS Protocol
– Load Line 66 Load Line Protocol
– MARPOL 73/78 MEPC Resolution 39(29)

Statutory - Survey Types and Intervals
Years 0 1 2 3 4 5
Initial
Annual -3 +3 -3 +3 -3 +3 -3 +3
Intermediate -3 +3 -3 +3
Periodical -3 +3 -3 +3
Renewal -3
Bottom +/- +/-

Statutory Surveys and Certificates - Survey Types and Intervals
(HSSC)
Years 0 1 2 3 4 5
Initial
Annual -3 +3 -3 +3 -3 +3 -3 +3
Intermediate /
Periodical
-3 +3 or -3 +3
Renewal -3

Tool : Statutory Survey Intervals

Certificates (Selection)
Class is relevant for SAFCON
SOLAS 74 / 78
CoF – DC
SAFCON (I/12)
SAFRAD (I/12)
SAFEQ (I/12)
(VII/8)
CoF – LG
(VII/11)
High Speed Minimum
Craft Safety DoC – DG Safe
Certificate (II-2/19.4) Manning
Cargo Ship (X/3) (V/14.2)
Safety cert.
(I/12) CoF – INF
(VII/16)
Passenger SSC
(I/12) Grain (VI/9)

Tool: List of Certificates and Documents required on board
Complete list of all Certificates

and Documents which are
required to be onboard according
to international Conventions and
mandatory Codes

Activity 3
Certificates

Systems for monitoring of surveys and certificates – My DNV GL
MY DNV GL
For Ship Owners & Management Companies

• Complete survey status of their DNV GL classed fleet can be checked
− Ranges & Due Dates
− Conditions / Deficiencies (Follow up)
− Survey Statements
− Certificates
• Survey Order Tool via Request & Jobs
• Contact Tool via DATE

My DNV GL – Fleet in Service
All information about the vessel can be found

My DNV GL – Fleet in Service
Survey can be ordered and followed up

My DNV GL – D.A.T.E
Direct Access to Technical Expert

DNV GL Maritime mobile app
Easy, quick and as convenient as possible

from wherever you are around the globe
the right training course in your location
register via mobile phone
Apple store
Google Play
100 © DNV GL Rev. 1.0

Closing
Any questions?
Summary of Day 2
101 © DNV GL Rev. 1.0

See you tomorrow!
102 © DNV GL Rev. 1.0

Management Systems - Risk Assessment – Verifications

Course Schedule






Navigator


Module 8: Vessel Support
Goals Module 8 Vessel Support
To understand how the Superintendent supports

the ships crew
The need to ‘Prioritise’ your workload
Learning
Objectives

Vessel Status
4 x vessel status, position and trading pattern etc etc
Mv Fernie 3500TEU Container Freeport-Ponce-Caracas

Manaus
Mv Malwa Handymax Bulker Newcastle (Aus)- to Bangkok

via Singapore for bunkers
Mt Talamba 100,000dwt Tanker Maracaibo to US Gulf & Eastern

Seaboard Drydock in 6 wks
LPGC Gazana 5500m3 Semi Press Tramping in NW Europe &

Mediterranean

Day to Day Operations
The daily work involved with keeping your

vessels running can include ??

The Days Routine
It is 0830hrs and you are at your desk with notes made after a telephone call
from the Chief Engineer of the Mt Talamba at 0315hrs earlier that morning…….
There looks to be over 50 emails on the screen since you logged of yesterday
evening ……….
And the telephone is already ringing……….
…….and you have not managed to get a cup of tea yet!!!

Organise & Prioritise
First of all you need to prioritise what is most urgent

– First & foremost quickly read through all your emails/messages
– Unless it is a one word answer or extremely urgent do not reply or deal
with at this time – there maybe other emails concerning the same problem.
– Decide which is the most important, what can be left until later today?
– Also take into account the time zone and which ships will not answer you
for several hours.
Do you have to travel to a vessel in the near future?

– How does this effect your schedule and what you have to do
today/tomorrow?
– What jobs have been left over from yesterday or even longer?

Organise & Prioritise
You have to organise or schedule your day

– Is there any pre-planned meetings to attend?
– Is there any sea staff in for briefings?
– Do I have any reports to finish?
– Have I got a Drydock Repair Specification to complete?
– Is there anybody who can help me?
– ……………………..

So how do we organise our day??
The most important items will be anything that may delay or stop a vessel from
sailing or completing cargo operations.
What was the phone call about during the night, do you have to make
arrangements for Technicians, repairs or spares??
What meetings/briefings are already planned for today? Do we need to cancel &
re-arrange or find somebody else to brief the new Chief Engineer?

Ship Support
This can mean anything from ………….

– Advising on why an engine will not start
– A compressor fails to reach the required pressure
– The ME #4 cylinder compression pressure is low
– The 10cm Radar will not change scales
To …………
– Arranging Radio Technician for Radio Survey at the next port
– Arranging for technical advice from the manufacturer for a problem o a
vessel at sea
– Ordering spares and stores
– Arranging Flag, Class, Vetting inspections
– Dealing with a PSC detention

Ship Support
The list of emails awaiting you this morning breaks down to something like the
following:
– 5 x with technical problems
– 8 x with orders for spares & stores
– 4 x noon positions
– 1 x port arrival
– 2 x departure notices
– 1 x Repair company enquiring why his invoice has not been paid
– 2 x messages from Agents re port status of vessels
– 6 x advisory notices – ie, safety warnings from P+I etc
– 1 x vetting report from the Master
– 9 x messages relating to crewing matters
– 1 x Flag State Inspection report
– 2 x GL
– The rest is junk

Emails
This is now the preferred method of communication but it has its

weaknesses:
– To many emails – important & urgent messages can be missed
– To many junk emails - but still have to be checked
– A lot of emails that concern you but no action required
– Emails that need to be forwarded to the correct person
– Can be difficult to finds a copy of an old message
– Need of a good filing system

Message Acknowledgement
It is imperative today (ISM) that ALL messages are either answered or

acknowledged unless they have been sent for information only.
Even if no time to reply in full or other matters are more urgent just send a “one
liner” stating your message is received and you will reply in full within ….. or after
consultation with …..
It sometimes help with Vetting/PSC/Flag inspectors if the Master can show proof
that a matter is being dealt with or he has at least reported and the report
acknowledged by the office even though the problem has not be closed out.

The Day’s Schedule
• In addition to the aforementioned emails we still have the following jobs

outstanding:
Drydock specification to prepare
Malwa handover issues
Inspection report to complete
Container insurance claim to follow up
Bunker claim to reply to

Case Study 1: Prioritising

Operational Support
What to do about it:

• Re-read the message from the vessel
• Is there enough information there to advise?
• Do you recognise the problem from another vessel
• Is the information clear, do you need to clarify?
• Has the ship advised what attempts it has already made to solve the
problem?
• Get the manual out
• Ask advice from Colleagues or Managers
• Ask manufacturers advice

Operational Support
Is it a problem you have experienced when at sea or from another

vessel recently??
What else does this bring into the situation??

Operational Support
Technical Problems
• Can it be solved with a simple answer??
• Is it best to call the Chief Engineer and discuss the problem??
• Expensive
• Quality of telephone line
• C/E ability in working language
• Possibility of confusion
• Reply with more questions to clarify the situation
• Ask detailed questions re fault/performance
• What have they done already to try & solve the problem
• Request running data for component details
Keep emails simple – we are not all using our native language

Technical Support
Possible scenarios:
• A straight reply with advice
• More questioning to clarify and then solve
• Ask manufacturers for assistance
• Can be done via email, i.e., question & answer = solution
• …. or after above can be solved by supplying spares
• …. or the problem needs a Technician to visit the vessel
• If no solution or the problem is to be big to solve via crew/ manufacturers
than it may possibly need ship repair yard or layby berth for unscheduled
repairs
• Or if vessel can operate safely with the problem until the next Drydock the
job is entered in the Repair Specification

Case Study 2:
Damage Report

Damage Reports
• LPGC Gazana reports damage to the aft

centre Fairlead caused by Tugs during
departure from the last port.
• What has to be taken into
consideration????

Shoreside Technicians
The Master of the Mv Fernie calls and requests a Technician to attend at the next
port to carry out Auto Pilot repairs
– Is there a local Technician available at the next port or do we have to fly
somebody in?
– Do we have a full description of the fault from the Master?
– Do we have the vessel port schedule for the next 3-4 ports?
– Have we advised the Agent of the Technicians boarding for Security
purposes?
– Have the agents details and berthing times/location been sent to the Repair
Company?
– Does the Repair Company have the Masters report so they can assess the
problem and take the necessary equipment and possible spares with them?

Navigator


Module 9: Management Systems
Goals of Module 9
General knowledge regarding management systems
General knowledge regarding PDCA cycle
Management systems applied in shipping
The role of the Superintendent in the implementation
and maintenance process Learning
The effect of management systems for the daily work
of the superintendent Objectives

Management Systems
Do not leave your business to coincidence!


Value of documentation
Everybody knows who, what, where, when,

how, and why
Efficient use of time, money and other

resources through continual improvement
process

TO DO DONE

PDCA-Cycle
Strategy, policy,
processes, roles
Review plans
and responsibilities
and targets,
improve and
align
processes
ACT PLAN
Continuous Improvement
CHECK DO Implementation of
plans and work
Measure accordingly to
achievement, achieve the targets
evaluate and
feedback

Integrated Management System
Quality (ISO 9001)
Safety
Security Generic (ISM)
(ISPS) Management Health
(OHSAS)
Environment
(ISO 14001)

Principles of Management Systems
System-
monitoring and adjustment
Prevention Reaction Continual

improvement
POLICY AS FOUNDATION FOR

SAFETY, QUALITY AND ENVIRONMENTAL PROTECTION

Safety Management

Maritime Security – Amendments to SOLAS
Since
1st July 2004

IMO Instruments on Maritime Security
Chapter V Chapter XI-1 Chapter XI-2

Safety of Enhance Enhance
SOLAS Requirements
Navigation Safety Security
AIS IMO Number Application Master‘s

of Code discretion
Obligations
CSR of Requirements
LRIT Contr. for Ports
Govern.
Requir. for
C&ROIN Comp. & Control
Ships
Ship Security Alternative

Alert System Agreements
Threats to Equivalent
Ships Arrangements
AIS
Communication

IMO Instruments on Maritime Security
Part A
Mandatory Requirements
– Ships / Companies
– Port Facilities
– Administration
Part B
Guidance
– Background
– Compliance
– Assistance

Responsibilities
Responsibilities of Contracting Governments

– Flag State
– Port State
– Coastal State
– Recognized Security Organization (RSO)
Responsibilities of Companies
– Company Security Officer (CSO), Superintendents
– Master, Ship Security Officer (SSO), Shipboard Personnel
Responsibilities of Port Facilities

– Captain of the Port (CoP), Port Facility Security Officer (PFSO)

Maritime Security and Shipyards
According to MSC/Circ.1111 the Designated Authorities of the Contracting

Governments, within whose territory the shipyard is located, may designate a
shipyard as port facility.

Case Study 3: Security on
Ships under Construction, Repair
and on Sea Trials

Health, Safety & Environment Management Systems
Leadership and
Commitment
Policies and Objectives
Organization,
Responsibilities,
Resources, Standards,
Guidelines
Hazards and Effects

Management
Corrective
Action
Targets, Plans,
Procedures and
Practices
Implementation Monitoring
Audit Corrective Action,

Improvements
Management Review Corrective Action,

Improvements

Why Occupational Health & Safety?
The Objectives are :

Reduce the number of incidents
Improve the health of employees
Protect and promote health at the workplace

Different international standards
BS OHSAS 18001
OHSA
SCC Safety Contractor Certificate
OHRIS Occupational Health and Risk Management System
ILO-OSH 2001 International Labour Organization (ILO) Guidelines on occupational
safety and health management systems
National Guidelines

Principles of Health, Safety & Environment Programs
Compliance with regulations

Manage the risks
Mitigation methods
Continuous improvement

Operating principle - PDCA Cycle
Plan – establish objectives and make

plans to achieve them
Do – implement plans
Act
Check – measure the results Plan
OH&S
policy
Act – correct and improve the plans
Check
Do

Purpose and benefits
Minimise
risks
Legal
compliance
Reduced
insurance
costs
Work
safety
Communication Your
proposal
?

ISO 9001 Quality Management System
Structure
Foreword Introduction
1 Scope
2 Normative Reference
3 Terms and Definitions
4 Quality Management Systems

5 Management Responsibility
6 Resource Management
7 Product Realization
8 Measurement, Analysis, Improvement

Principles of Quality Management
according to ISO 9001
Customer focus (customer satisfaction)

Leadership
Involvement of people
Process approach
Targeted management system
Continual improvement
Factual approach to decision making
Mutually beneficial supplier relationship

MANAGEMENT
RESPONSIBILITY
C C
U RESOURCE MEASUREMENT,
U
S MANAGEMENT ANALYSIS AND
IMPROVEMENT
S
T T
O O
M INPUT OUTPUT M
PODUCT Product/
E REALIZATION Service E
R R
S S

Process Flow
Quality Policy
Quality Objectives
Quality Planning
Realization Process
Product/Service
Customer Satisfaction

Minimum-Documentation
Documentation of the Quality Management System (QMS)
Quality Quality Quality Documented Process

Policy Objectives Manual Procedures Planning
• appropriate control of documents

• commitment to comply • measurable and • scope of the QM- • quality objectives and
with requirements consistent with Systems requirements for the
• commitment to continual quality policy • details and justification product
improvement • for relevant for exclusions (see control of records • processes and
• framework to establish functions and levels 1.2), documents required
and review quality • documented • resources
objectives procedures or • verification, validation,
• communicated and reference to them internal audits monitoring, inspection,
understood • interaction between test
• regular review for the processes • criteria for acceptance
suitability • records
control of non-conf.
product
corrective action
requirements for the

preventive action realization process

Navigator


Module 10: Verification methods
Goals of Module 10
To know and understand

Purpose and procedure for internal audits
Treatment of non-conformities Learning
Master reviews inputs and treatment
Management reviews input and output
Objectives
External audits
Ship vetting

What is an Audit?
A process carried out as follows:

– systematic
– independent
– documented
To obtain objective evidence to which grade the requirements of the QMS are met
– Compliance with planned arrangements
– Grade of system implementation and maintenance
– Suitability and effectiveness

Purpose of Internal Audits
Verification of the Management System

– System effectiveness
– Compliance with instructions
– Process interfaces and interactions
– Compliance with rules and regulations
Identification of
– potential risks and failures
– possible improvements
Motivation, communication, training

Internal and External Audits
Internal Audit First Party Audit

Purpose: Verification of own company management system
Basis: Own system documentation
Auditor: Own personnel
Auditing the supplier Second Party Audit

Purpose: Verification of the supplier's performance, compliance with contract
Basis: Contracts, offers
Auditor: Own personnel
Certification Audit Third Party Audit

Purpose: Verification of compliance with standard and system requirements
Basis: Norm (e.g. ISO 9001, ISM), regulations, own system documentation
Auditor: Independent auditor from certifying body

Comparison of Standards
ISO 14001 ISO 9001 ISM ISPS
Application of voluntary voluntary mandatory mandatory

the Standard
Audit scope Compliance with Compliance with Compliance Compliance

environmental quality with SMS and with SSP and
protection management rules and the ISPS Code
requirements system regulations Regular review
Reduction of requirements Continuous and updating
waste Continuous improvement
improvement
Audit-interval Audit program Audit program Periodical Periodical
regular intervals regular intervals verification verification ship
(12 month) (12 month) office and ship (12 month)
(12 month)
Documented yes yes yes yes
procedures
Auditor independent independent independent independent

System integration ISM - EM
Policy and objectives

Documentation, processes, forms etc.
Training and awareness
Common use of recourses
Implementation in daily routine
Taking records
Corrective and preventive actions, improvement
Internal auditing
Principle:
Nothing should be done twice!

Modular scheme of Combined Certification
ISO 9001 ISO 14001

Delta Delta
ISM Audit

Audit Phases
Planning and Preparation
Audit Performance
Audit Reporting
Follow-up

Handling of Non-conformities identified during Internal Audits
Safety System Security System
– to be recorded and reported to the – to be recorded and reported to

Designated Person the Company Security Officer
– to be evaluated and analyzed (root – to be evaluated and analyzed
cause) (root cause)
– to be corrected (corrective measures to – to be corrected immediately
be established and implemented within a – equivalent security measures to
defined timeframe) be put in place, if applicable
– to be followed up (effectiveness of
corrective measures to be verified)

Case Study 4:
Non-conformity and Corrective Action

Master's Review
Fundamental reassessment of the structure and effectiveness of the SMS from the
Master’s view
Reporting of deficiencies and recommendations to shore based management
Overall purpose:
– Information to the Company (DPA) on the degree of implementation of the
safety management system
and its effectiveness
Documentation of the results

Input to Master’s Review
What are the important factors for the

review??

Management Review
The management review should be performed on a periodical

basis or when needed
Reliable statistical data must be obtained for this task
DPA to involve staff to gather data about hazardous occurrences,

near misses, risks, deficiencies, weaknesses etc.
(motivation, no blame culture)
Root cause analysis to be performed DPA prepares the

management
review on the
basis of available
data

Input to the Management Review
The results of the internal audits
Any non-conformities reported by the personnel
The Master’s reviews, review of the SSA and SSP
Analysis of non-conformities, accidents and hazardous occurrences

and any other evidence of possible failure of the SMS
Non-conformities by external parties, PSC inspection reports, etc.
Changing circumstances

Output of Management Review
What are the possible results of the

review?

Comparison of Reviews
Management Review of the Master‘s Review of the
Review SSA Review SSP
Procedures/ yes yes yes yes
Records
Responsibilities Management/DPA CSO Master CSO
Frequency periodically periodically periodically periodically
(minimum yearly) (minimum (minimum (minimum
yearly) yearly) yearly)
Aim evaluate the security risk Information to adequacy,
efficiency of the assessment of the company suitability and
company SMS the operation of on the degree effectiveness of
taking into all company of the ship’s SSP
account ships taking implementatio and its
experience and into account n of the safety procedures and
changing experience and management instructions
circumstances changing system
circumstances
Scope company SMS security risks of ship’s SMS the SSP, may
the operation of reflect to all
all company company SSPs
ships

Monitoring the Harmonized Management System (HMS)
Combined internal safety/security audits Company
Combined external audits/verifications Flag State/RO/RSO
Master's review Master
Review of SSA CSO
Review of SSP CSO/Master/SSO
Management review CEO/DPA
Checking continuous effectiveness of the HMS


Certification Audit
Performed by flag State or Recognized Organization (RO)

Based on sampling method (like internal audits)
Includes verification of ISM and additional flag State requirements
Combination of audits is possible (ISM; ISPS; ISO)

Alignment of ISM/ISPS Audits
Initial/Renewal Audit
Major NC NC Observation
Immediate CA
Downgrade to NC
NO ISSC to be issued NO ISSC to be issued ISSC to be issued
CA accepted CA accepted
Difference
Additional Audit Additional Audit to
(full scope) (limited scope) ISM

Alignment of ISM/ISPS Audits
Intermediate Audit
Major NC NC Observation
Immediate CA
Downgrade to NC
Cert to be endorsed Cert to be endorsed Cert to be endorsed
CA accepted CA accepted
Additional Audit
(full scope)
within 3 months

Navigator


Module 11: Risk Assessment and Management
Goals of Module 11
To know and understand

ISM requirements for risk assessment
ISM and TMSA
The method of risk assessment and management
Learning
Application of risk control measures
Objectives

ISM and Risk Assessment
1.2.2 Safety Management Objectives:

– Safe practices of ship operation and safe working environment
– Assess all risks to its ships, personnel and the environment and establish
appropriate safeguards
– Continuous improvement of safety management

Developing and implementing of a documented SMS is an exercise

in risk management
– Existing measures may already provide a high level of safety
(i.e. well-established procedures, safety inspections, control measures,
such as “permit-to-work”)
Explicit requirement to adopt a risk assessment approach
All activities need to be seen from a risk assessment standpoint

Which elements of the ISM Code

imply the application of risk assessment
methods??

TMSA Background
Oil Companies International Marine Forum

(OCIMF)
TMSA:
– Standard framework for the assessment of
ship operators management system
– Guidelines describing a formal safety
management system
– Aim: high standard of ship management
and operation

TMSA Background
12 principles of key
elements of
ISM is not enough
management
practice
A bit misleading in name, the TMSA guide is in fact a total safety management
system standard. Some companies are
To this end, operating tankers only in accordance withonly applying
an ISM ISM safety
Code-defined
management system is no longer sufficient. minimum
requirements
TMSA is a tool to help ship operators measure and improve their management
systems
Elements provide a
The TMSA takes the approach of the ISO 9001:2000
checklist for ship Quality Management
Systems Requirements and heavily promotes continual improvement of processes
through a variant of the operators
Plan – Act – Measure -- Improve

The Process of Risk Assessment and Risk Management
Analysis
preparation
Acceptance
criteria System
definition
Hazard
identification
Frequency Consequence Risk

analysis analysis reduction
Risk estimation
Risk
matrix
Risk analysis
Risk
evaluation
Risk assessment
Risk Acceptable
or ALARP
Risk management and risk control

Basic Definitions - Risk
Risk is the likelihood that an undesirable event will occur and lead to severe
consequences within a specified timeframe i.e. the combination of the likelihood
and the severity of the consequence.
Risk = Likelihood x Consequence

Step by step approach
System definition Analysis

preparation
Identification of hazards Acceptance
criteria System
Identification of existing RCMs definition
Determination of risk Hazard

identification
Risk acceptable?
Risk control action plan
Review adequacy of action plan
Risk estimation
Ensure RCM’s are effective
Risk
and up-to-date matrix
Risk analysis
Risk
evaluation
Risk assessment
Risk Acceptable
or ALARP

Case study: Task analysis
Additional
Key process Task Subtasks
comments

Identification of hazards
A risk analysis should be pro-active

Analysis
preparation
Resulting questions Acceptance

criteria System
definition
– What is a hazard?
– How to identify hazards? HazardHazard
identification
identification

Risk estimation
Risk
matrix
Risk analysis
Risk
evaluation
Risk assessment
Risk Acceptable
or ALARP

For any practical approach, the
identification of hazards
is the first and most important step

in risk estimation.

Hazard identification
What are the hazards related to ship

operation??

Case study: Identification of hazards
Possible failure mode, its likelihood and the consequences
Key process:
What can go
Task Subtask Likelihood Consequences
wrong?

From Hazard to Consequence (Risk)
Scenario:
• A causal chain
Hazard
• Important to evaluate the
consequence
Failure / Incident
Accident
Consequences

Hazard – Failure – Accident
Hazard:
Operations in
restricted waters
Failure:
Incorrect interpretation
of navigational
intentions of another ship
Accident:
Collision
Consequence:
Damage to the ship
and crew and cargo

Failure Modes and Effects Analysis (FMEA)

– Fundamental hazard identification and frequency analysis technique which
analyses all the fault modes within systems and procedures
Fault Tree Analysis (FTA)

– Hazard identification technique which starts with the undesired event and
determines all the ways in which it could occur
Event Tree Analysis

– Hazard identification and frequency technique which starts with the negative
event and determines the possible consequences

Inductive and Deductive
Inductive
(Relationship, System) Forward search
Deductive
Effect System (high)
(backward
search)
Subsystem
Unit
Cause Cause
Assembly
Component (low)
Cause Cause

FT and ET = Risk Contribution Tree
Fire

Risk estimation: Frequency and consequences
How likely is the “unwanted” incidence? Analysis

preparation
Acceptance
criteria System
definition
Hazard
identification
Likelihood Frequency Consequence

analysis analysis
Risk estimation
What are the impacts? Risk estimation
Risk
matrix
Risk analysis
Risk
evaluation
Risk assessment
Consequences
Risk Acceptable
or ALARP

Risk Matrix
Risk Matrix
catastrophic
medium high-medium high-medium high
4
severe
medium-low medium high-medium high-medium
3
significant
low medium-low medium high-medium
2
minor
low low medium-low medium
1
extremely reasonably
Consequence remote frequent
remote probable
Severity 2 4
1 3
Occurrence Likelihood (frequency)
Risk Level is not Tolerable

Risk Level Tolerable
(RCMs to be modified and/or
Risk Level Acceptable (existing risk control measures to
additional risk control measures to be
be reviewed to ensure ALARP level)
implemented)

Concept of Risk Control Measure

Risk Management: Assessment and Reduction
How far does risk have

to be reduced?
Not all measures are
suitable!
Risk reduction is limited!
Risk should be ALARP!

ALARP – Triangle
Risk cannot be justified unless there are

Unacceptable region
acceptable reasons
Increasing level of risk
Tolerable only if risk reduction is

impracticable or if cost is grossly
disproportionate to the improvement
gained
Tolerable region
Tolerable if cost of reduction would

exceed the improvement
Broadly acceptable region Necessary to maintain assurance that

risk remains at this level

Case study: Risk acceptance
Calculation of the Risk Priority Number
Key process:
Failure
Task Subtask Likelihood Consequences Risk
Mode

Risk Reduction
Risk control measures (RCM): A means of controlling a single element or risk;

typically, risk control is achieved by reducing either the consequences or the
frequencies; sometimes it could be a combination of the two.
– ISM: Emergency preparedness (red. consequences)
Risk control options (RCO): An appropriate combination of risk control measures

Concept of risk control measure
B Safety
A Critical
Danger / R
Hazard Operation /
R System
I
E
R

Case study: Safety barriers
Key process:
Possible safety
What can go Possible safety
Task Subtask barrier
wrong? barrier
category

Hazard:
Operations in
restricted waters
Failure:
Incorrect interpretation
of navigational
intentions of another ship
VTS, Pilots?
Lookout? Accident:
Collision
Consequence:
Damage to the ship
Double hull and crew and cargo
100 © DNV GL Rev. 2.0

Case study: Re-assessing barriers
Mitigation of the risk
Key process:
New New Con- New level of

Suggested barrier
Likelihood sequences Risk
101 © DNV GL Rev. 2.0

Always Find a Balance
Benefit
Cost
102 © DNV GL Rev. 2.0

Case Study 5:
Risk Assessment
103 © DNV GL Rev. 2.0

Closing
Any questions?
Summary of Day 3
104 © DNV GL Rev. 2.0

See you tomorrow!
105 © DNV GL Rev. 2.0


Course Schedule






N
Navigator
W E

Module 12: Superintendent’s Duties & Responsibilities
Goals Module 12 Superintendent’s Duties &

Responsibilities
To understand the daily duties and responsibilities

of the Superintendent and how they link to other
departments and stakeholders. Learning
Understand the need to prioritise your work,
delegate and organise and when necessary seek Objectives
assistance.

Prioritising work - cont’d
Main issues from yesterday’s Case Study #1:

#3 Alternator Excitation
Fernie ME LO P/p #1 Starter
#1 Auxy Eng Governor
Malwa Boiler Problems

Air Drier
Handover stores/spares to finalise
Talamba Aircon Failure
Gazana Fairlead Repair

Main Engine Cylinder Water leaks
+ Drydock Specification, Container Claim, Inspection report, .............


Prioritising work
27th April
Fernie Shaft Alternator - Fwd reply from the ship to Elect Supt
ME LO P/p #1 Starter - follow up – Repairs/Spare Supply
#1 Auxy Engine Governor failure - Purchasing dealing with
Auto Pilot Vessel reports it is OK – follow up??
Malwa
Boiler Failure - waiting reply from Manufacturers – chase up?
Handover follow up stores etc being arranged by Purchasing
Talamba Aircon Failure - Tech assistant dealing with service company
Gazana Main Engine Cylinder Water leaks – spares on order, Technicians

to finalise, work specification for crew & technicians.
Fairlead Damage – in hand

Prioritising work
What is the most important job to get on with??
What can wait ??
Can you delegate some of this work??
What other work do you have on your desk that should have been dealt
with days/weeks ago??

LPGC Gazana - Fairlead Repairs
During unberthing in Bremerhaven, the aft centre fairlead was damaged by a Tug
pulling to hard. The Master reports the deck is cracked and the Steering Gear has
been breached.
Due at Antwerp tomorrow - 18hrs discharge - move to layby berth
Fairlead Repairs – are we ready?

– Confirm repair company arrangements have been made ?
– What safety procedures should be followed ?
– Has everyone been informed ?
– Is Class surveyor confirmed
– Is Chemist confirmed
– PO numbers & confirmation issued
– Who will attend the vessel ?
– What can you delegate ?

Spares & Stores
Superintendent controls the Budget
Supt is therefore responsible for the operational costs and needs to monitor and
approve the supply of stores & spares
The Supt’s advice and recommendations to the purchaser are many and
important
– Local or international purchase – save transport costs
– Time required to get supplies to the vessel – port rotation
– What is or isn’t urgent – do we need to airfreight?

Spares & Stores
Other considerations
Genuine or non-genuine spares

– Spares built under license?
Budget considerations
– Genuine or non genuine – cost difference
– Split the order over several months
Compromise on quality, delivery and cost ??

– Is it essential we get a spare part to the vessel no
– matter what the quality to keep the vessel going and
– then change the component again later?

Invoices
The Superintendent will generally have to approve the invoices either manually
with a paper copy and sign, or electronically via a secure log-on to a dedicated
accounts program.
It is imperative that invoices are dealt with promptly, delayed payments to

suppliers and service companies can induce poor working relationships and
require that products/services are paid for BEFORE you receive them causing
untold delivery delays and extra work for Purchasers, Accountants &
Superintendents

Late Payments
If you receive a message from a Supplier or Service Company that an invoice

has not been paid on time ALWAYS acknowledge receipt.
Find out asap why the invoice has not been paid and try to solve the problem.
ALWAYS advise the complainant of your progress.
You never know when you may need them to urgently supply spares
or a service by telephone.

Delayed Invoices
If you have a query with an invoice do not just put it to one side
Advise the Supplier/Service Company WHY you think the invoice is wrong
or should not be paid.
Ignoring the invoice could put your company on a ‘bad payers’ list and/or affect
the companies credit rating; worse still it could jeopardize other company clients
vessels supplies

Case Study 1:
Dealing with Breakdown

Bunkering + Fuel Analysis
Bunkering
– With todays Hi-Tech engines and air pollution controls it is ever more
important that we bunker the correct and good quality fuel.
– There is still a big question mark over the quality of bunkers supplied today
so it is essential as far as possible that all new bunkers are taken in empty
tanks and not used until the results of the analysis are supplied.
Fuel Analysis
– Care to be taken to ensure the samples are landed to Agent and despatched
to the Laboratory immediately.
– Supt receives the analysis simultaneously with the vessel but must study
and advise the vessel of any problems and how to deal with them.

Bunker Problems
High Catalytic Fines

– Will cause high wear in the engine components
– Discharge fuel and clean the tanks
High water content

– Water can be drained and treated
– Cost issue, you are paying bunker price for water!
Abrasive Solids
– Can be treated but full analysis needed to see if any lub oils (with additives)
or other waste products have been included
– Needs to be discharged and tanks cleaned

Lub Oil Analysis
Regular analysis of all lub oil systems is an essential part of preventative

maintenance.
From the results oil deterioration trends can be seen
Can effect future maintenance and even drydock work where Stern Tube
Oil is concerned.
Supt to follow up the analysis report advise to the Chief Engineer

Scavenge Drain Analysis
Another tool used to help predict when preventative maintenance is needed.
It can analyse what is going on during the combustion process.
Also indicates wear on major components
Shows up excessive Cyl Lub Oil consumption
Use as a trend tool over a period of time

Case Study 2:
Bunker Problems

Planned Maintenance
Maintenance can be based on manufacturers recommendations, vibration

analysis and fluid analysis.
Many computer based systems in use today.
It is important that historical data is entered in the PMS database
Supt must regularly check PMS data base to ensure that maintenance
is being recorded correctly.
Class, Vetting Inspectors, Flag State will all audit the PMS

Cost Control
The Technical Superintendent is usually responsible for the operational budget of

the vessel with the exception of the following:
– Crewing + Provisions
– Insurance
– Class Fees – can be Block Fee or special fleet agreements
– Bunkers – although always responsible for the efficient consumption
Other Departments may be involved, i.e., QA, Vetting, Safety.

– They can arrange vetting inspections, audits etc all of which come out of the
ships budget
– Class, Flag, PSC (re-inspections) are all paid from the Budget
The years budget can be divided up to show a day rate for the vessel

Budgets
Establish costs categories for budgeting and break down the costs for:
A. Maintenance and Repairs.
B. Safety

Allocating Costs
All companies will have their own method and rules for allocating costs, i.e., is the
re-winding of the ME Auxiliary Blower El-Motor a ME cost or Electrical?
Best practice is NOT to ‘hide’ costs in another category when running out of
funds, because if hidden when you come to prepare next years budget you will
not know where the higher costs were incurred and consequently where the
budget needs increasing for the next year.

Agents
Agents roles and duties are many and varied but can be defined by:
– Person who looks after the interests of the ship while she is in port. Their
duties include arranging pilotage, towage and a berth, signing Bill of Lading
and the collection of the freight.
– They will also arrange crew arriving/departing or visits to the Doctor
– Supply of local technicians and stores/spares etc

Agents
Agents owe their allegiance to the party that appoints them - so beware as there
are two types.
In certain circumstances both can be appointed at a port.
Charterers Agents
– Appointed by the charterers to primarily deal with the ships
arrival/departure and cargo work.
– Crew and ship husbandry is secondary.
Owners Agents
– These agents are employed by the Owner to look after the ships interests
first and foremost.

Agents & Disbursement Accounts
A vessel can have many expenses during a port stay, most of which generally
involve crew, personnel and Surveyors attending vessels.
Other costs can include small emergency supplies of consumable stores, small
repairs or agents assistance with service technicians.
Most of which will come from the vessels budget and each costs must be checked
to see which account code it has to be allocated against.

Ship Inspections
Inspection of the vessels you are responsible for are a regular part of your job.
This will probably incur travel and being away from your desk for a period of time.
Visit Preparations
– When is the optimum time to visit a vessel?
– Can you visit more than one vessel?
– Are there any repairs or technical problems to deal with?
– Is there any commercial problems or specialised cargo operations in hand?
– Check with Quality, Safety, Crewing Superintendents if they have any issues
to be dealt with while onboard.

Ship Inspections
Visit preparations cont’d

– Take an up to date Class status print out
– Check the Drydock Job File for any new jobs
– Are there any other inspections (Flag, Vetting etc) planned – will it be better
to delay the visit?
Handover Notes
– While you are away a colleague will have to look after your vessels
– Handover notes should be as comprehensive as possible and include any
repairs, problems, store deliveries, etc, etc, that need to be taken care of.
– Hyperlink to an example Hyperlinks\4-28 Handover Notes .docx

3rd Party Ship Inspections
This may be from Tanker Vetting, P+I, Flag State, Class, Charterers, Terminal, etc
Supt should ensure that:

– Ship is aware of who and why the inspector is attending – none of the above
“should” ever make unannounced visits.
– The ship is prepared to receive the Inspector and that he should be treated
cordially and with respect.
– Remember he has a job to do but not such that it will interfere with
shipboard operations unless a major safety issue is discovered.
– The ship has carried out a pre-inspection check if your SMS requires it.
– Any deficiencies raised by the inspector/surveyor MUST be closed out

Ship Vetting
Information on ship quality is gathered from many sources including
– Vessel inspections on behalf of Charterer

– Owner/operators assessments (TMSA)
– Industry reports
– Terminal and operational feedback
– Market intelligence
– Casualty data
– Reputation and questionnaires

Ship Vetting
Ships are assessed in relation to international conventions and industry

recommendations such as
– Inert Gas System (IGS)

– Safety of Life at Sea (SOLAS)
– International Convention for the Prevention of Pollution from Ships
(MARPOL)
– Guidance detailed in the International Safety Guide for Oil Tankers and
Terminals (ISGOTT) is pertinent to all tanker types
– The Society of International Gas Tankers Terminal Operators (SIGTTO) to
gas carriers
– Additional requirements may be imposed by charterers

Ship Vetting
Oil Companies’ International Marine Forum (OCIMF) Ship Inspection Report

Exchange (SIRE) format is the main ship inspection tool
Both positive and negative aspects of a ship’s operation is reported
Inspectors to report all vessel or operational deficiencies in their report
Serious deficiencies are assessed as ‘High Risk’ and identified on an Observations
List left with the ship’s Master at the end of each inspection
The use of such vessels is precluded until such time as all observations have been
closed out satisfactorily
Close out of an inspection report by a vetting superintendent, the ship owner will
be advised of a period in which a further operational inspection will not normally
be required.
Vessels may be screened on each occasion they are tendering

N
Navigator
W E

Module 13: Insurance, Casualties & Accidents
Goals Module 13 Insurance, Casualties &

Accidents
To understand the daily duties and responsibilities of

the Superintendent and how they link to other
Objectives

Accidents & Incidents
Collision or Contact Damage
– Incidents are many and varied, from grounding, collision and sinking to
contact with the Jetty, Pollution and Fires onboard.
– Company Emergency Team will probably be handling the incident but you,
as the vessels Supt, will be heavily involved and part of the Team.
– P+I and H&M will be heavily involved
– Salvage companies and local authorities may take the lead in removing
vessel from the scene of incident

Accidents & Incidents
• There will be investigations into the cause of the incident,

– Insurance
– Local Authority/Government
– Flag/Class
– In-house
• Arranging repairs
– Temporary to get to get to a port of refuge
– Major repairs requiring time to plan and arrange
– Vessel to be Constructive Total Loss – arrange for it to be scrapped.
• Costs to be recorded
– Not part of ships budget so will have a separate account code
– If an Insurance claim then everything concerned with the incident even
down to Supts’s & Office Personnel time spent on the incident/ repairs can
be claimed.

Case Study 3:
Emergency Repair

Marine Insurance
Damages and liabilities

– Brief overview of Marine insurance
– Presentation
Claims Handling and Processing
– Example
– Case Study

Ship Insurance
Hull & Machinery Loss of Hire

(H&M)
Protection and
Indemnity (P&I) Strike
Freight, Demurrage
War Risk
and Defence (FD&D)

H&M Scope of Cover / Perils Insured
Basic perils
Partial Damage / Loss
Total Loss (incl. missing of vessel)
Collision Liability
General Average Contributions (of vessel)
Salvage
Loss or Damage resulting from state intervention as a consequence of Pollution
Prevention
Guarantees and Security
Force Majeure, Act of God, Perils of the Sea

Importance of P&I
Liability Exposure of Shipowners and Charterers yesterday and today

Protection of Ships and Company Assets
Indemnity (“Pay-to-be-paid” Rule) and Protection Cover
(i. a. Arrest Guarantees)
Flexibility in Cover Response
“Fall Back” Character
Obligatory (approval necessary!!) in USA and Japan (other countries will follow)

Exclusions and Restrictions in P&I
War, Strikes and Terrorism Risks

Atomic / Nuclear / Radiation Risks
Cyber / Magnetic Shock
Political Risks
Consequences of Delay
Subsidiary to other (specialist) covers

Scope of Cover of FD&D
Dispute Handling and its legal costs i.r.o.
Charter Hire, Freight, Dead-Freight and Passage Money

General and Particular Average
Demurrage and Despatch
Loss of or Damage to an Insured Ship
Detention
Breach of Charter Party, Bill of Lading, etc.
Improper Loading etc. of Cargo

Scope of Cover of FD&D (contd.)
Supply of Inferior Bunker

Overcharges in Accounts
Insurance Disputes (not always covered)
Salvage and Towage Disputes
Passenger /Crew Disputes
Repair Disputes
Customs Disputes
Investigations and Inquiries
Legal Advice

Special Ship Operation Insurance Covers
Special Equipment Insurance

Crew Covers
Oil Pollution Insurance (USA)
War Insurance (Hull and P&I)
Strike Insurance
• Terrorism and Piracy Cover
• Lay-up, Repair and Conversion Risks
• Financial Risks of Investors and Banks
• Special Business Interruption Covers

The case: M/V ”Oily Hold“
Claim notification & parties involved

The joint survey
Investigations by the owner’s P&I insurer
The survey report
Further examinations
The involved costs, settlement and recoveries

The case: M/V “Oily Hold”
Container Feeder Vessel (GT 5.250, 700 TEU, 3 holds)

En-route from Hamburg to Helsinki: Bilge alarm in hold no. 3
Tank top in hold no. 3 covered with approx. 30 cm HFO
Subsequent to valve and safety checks the voyage is continued
In Helsinki cargo operations are rejected due to the oil pollution
The vessel returns to Hamburg for discharging, cleaning and surveys

Claim notification & parties involved
The Master immediately contacts the designated Person Ashore

The DPA forwards the information to the owner’s P&I and H&M insurance (either
directly or via the insurance broker)
Involved insurers and their interests:
– P&I, H&M, LoH (Ship Owner)

– Charterer’s P&I (Charterer)
– Cargo Ins. (Forwarders, Shippers etc.)
– Container Ins. (Container owners & lessees)

The joint survey
The involved parties appoint their surveyors

The joint survey onboard is attended by the following persons:
– Owner’s superintendent
– Owner’s P&I surveyor
– Hull surveyor
– Charterer’s P&I surveyor
– Cargo insurance surveyor (Container and/or Cargo survey only)
– Insurance broker
– Vessel’s Master & Chief Engineer

The joint survey (contd.)
Damage revealed by the survey:

– Cooling units of 10
Reefer Containers broken
– Rubber packings of 14 TEU
and 11 FEU soaked with HFO
– Cargo in Reefer Containers
defrosted and destroyed
– Vessel’s cargo hold
heavily polluted with HFO

The joint survey (contd.)
Cause considerations:
– During the survey a crack i.w.o.
a container socket above a HFO DB tank
is found
– Stevedore damage?
– DB tank must have been under pressure,
thus a considerable HFO inflow from a
gravity fuel tank is presumable

Investigations of the owner’s P&I Insurer
Interview of the Master, Chief and further crew members (Statements!)

Survey of the hold, bunker station, ECR and valve system
Documents to be collected:
– Deck & Engine Logbooks, Oil Record Book, Tank Journals

– Crew List, DoC, SMC, ISSC, Cert. of Class etc.
– Disturbance Printer copies, Tank Plans, G.A. Plan
– Possible valid class recommendations and former survey reports
Intention: To protect the owner against 3rd party claims !

Investigations of the owner’s P&I Insurer (contd.)
In order to protect the owner in the best possible manner, the superintendent and
the master should closely co-operate with their P&I Insurer and its surveyor
respectively
No documents to any 3rd party
without the consent of the P&I insurer !
No answers from the crew to questions asked by any 3rd party !

The survey report
Surveyor’s appointment/mandate
Vessel’s name, particulars, crew, trade, charter etc.
Copies of all relevant certificates and documents
Detailed description of the ship’s and cargo’s damage
Investigation results (evaluation of statements and docs, on-site visit)
Cause consideration
Conclusion

Further examinations
Intention: To protect the owner against 3rd party claims !

It is essential to know when the tank top damage was caused by the stevedores
(who are appointed by the charterer) and when the tank had been completely
filled the last time
Thus the owner’s and charterer’s P&I insurers jointly instructed a metallurgical
institute to examine the crack with regard to their age
The examination result has a considerable impact with regard to liability questions

The Loss Adjustment
Cleaning of the vessels hold (H&M insurance)

Container cleaning (Owner’s and/or charterer’s P&I)
HFO disposal (Owner’s and/or charterer’s P&I)
Disposal of the
polluted containers (Owner’s and/or charterer’s P&I)
Cargo losses (Cargo insurers)
Final settlement remains to be made

Thereafter recoveries will very probably follow

Incident Investigation
ISM Code requirements for incident investigation

Investigation methods
– Time line method

– Event and causal factor charting
– Barrier analysis
– Case Study

Reports and Analysis of Non-Conformities Accidents, Hazardous
Occurrences
Incident investigation is initiated by reporting of:

– Accidents
– Hazardous occurrences
– Non-Conformities
– near misses
CORRECTIVE
Procedures ACTION
– Reporting
– Investigation and analysis of causes
– Elimination of deficiencies

Incident Reporting Charterers
P&I Club
Ship Operator
DPA
Charterer
P&I Club Agent
Cargo Owner
Local P&I
Rep.
Cargo Insurer

Objective
No Blame Root Cause Culture
Leadership, Management Support and
Responsibilities
Reporting causes of occurrences (basic factors) Policy, Procedures, Reporting and Information
System, Training
Identification of corrective actions adequate Incident,
to prevent recurrences (what, why, how) Accident
Improvement of the safety and health of the collect data, analyse and
interpret evidence
people, avoidance of damage to property establish a timeline

organizing the available data
and protection of the environment
perform the investigation based on
Requirement: the timeline collect additional data

verification, evaluation, interview,
review Audits,
Reviews,
A no blame culture within the organization organise and analyse the
Inspections,
Verifications,
information
Monitoring
events, conditions, causal factors
Training (methods, awareness)
analyse existing barriers,
how did they perform?
development of corrective action

recommnedations, discussions,
feedback, risks, sideeffect, costs,
training, resources, targets
implementation of corrective action

responsibilities, timeframe
Follow-up
verification of effectiveness

Root Cause Analysis Step by Step
1. Information (system for reporting and informing)

2. Collection of data (immediately following the incident)
3. Causal factor chartering (organize and analyse information)
4. Assessment (identify the root cause(s))
5. Analyse existing barriers (how did they perform)
6. Development of Corrective action (eliminate or control the cause)
7. Implementation of agreed corrective action (in compliance with procedures)
8. Follow-up (verify effectiveness of corrective action)

Step by Step Approach - Developing a Timeline
Responsibilities
Policy, Procedures, Reporting and Information
System, Training
Incident,
Accident
collect data, analyse and

interpret evidence
establish a timeline

the timeline collect additional data
review Audits,
Reviews,
Inspections,
organise and analyse the
Verifications,
information
Monitoring



Follow-up

Example of a Timeline
04:00 06:00 06:14 06:15
Visible flames
Non critical engine room Several fire alarm Smoke spreading
on engine room
alarm on the bridge signals around in the ship
closed-circuit TV
Master
Master Master Master C/O, C/E, 1st engineer
Chief Officer Master main engine pitch
on the bridge to checked fire alarm asked watchkeeping 2nd mate, 3rd mate
on watch noticed alarm control to ‘0’ ,
relieve C/O for shower panel IR for investigation to the bridge
general alarm
2nd engineer
2nd engineer
noticed alarm and
arrived in the
left for the engine
engine room
room

Creating a Time Line
Courtesy by NTSB

Step by Step Approach - Identifying Causes
Responsibilities
Sequence of events is not enough Policy, Procedures, Reporting and Information
System, Training
Starting point
Incident,
Accident
Further investigation into the
preconditions for significant events collect data, analyse and
interpret evidence
leading to the accident


review Audits,
Reviews,
Inspections,
organise and analyse the
Verifications,
information
Monitoring



Follow-up

Events and Causal Factor Charts

Case Study 4:
Event and Causal Factor

Analysis of Causes
Various factors have to be considered:
– Human
– Method
– Resources
– Machinery

Complex issue - HUMAN FACTORS
Cause
(couvert)
Action / Event
Investigation / Consequences
Interpretation (observable failure)
Process (ouvert)

Improving Safety
Accident Causation
Contributing
Causes and Factors
Consequences
Personal Factors
Direct Causes Accident Personal injury
(e.g. Lack of skills,
Root Cause knowledge, stress)
Unsafe Acts Occupational Damage to the ship
(e.g. Working accident and property
Lack of planning, Organizational
without
standards, Factors
authority, using Fire, explosion Environmental
procedures, (e.g. Inadequate
defective damage
enforcement, supervision,
equipment, Grounding
compliance maintenance)
improper use of Financial damage
equipment) Collision
… Other Unsafe
Commercial
Conditions
… … damage
(e.g. Workspace
restrictions …)
…
…

Step by Step Approach - Barrier Analysis
Responsibilities
Policy, Procedures, Reporting and Information
System, Training
Incident,
Accident
collect data, analyse and

interpret evidence
B
A Safety perform the investigation based on
Danger / R Critical verification, evaluation, interview,
review Audits,
Hazard R Operation / organise and analyse the

Reviews,
Inspections,
I System information
Verifications,
Monitoring
E
R how did they perform?


Follow-up

Barrier Analysis
Hazard: Target:
•What were the •How did each •Why did the •How did the
barriers? barrier perform? barrier fail? barrier affect the
accident?

Case Study 5:
Barrier Analysis

N
Navigator
W E

Goals Module 14 Drydocking & Major

Repairs/Upgrades
To understand the daily duties and responsibilities of

the Superintendent and how they link to other
Objectives

Drydocking & Repairs
Planning major repairs and drydockings is one of the biggest and most
expensive jobs you will have to undertake.
Unscheduled Repairs
– Generally done in a hurry – need to be careful that something is not
missed
Major Refits
– Usually done under a different budget and probably have a separate
team organising it.
Drydocking
– Well scheduled but still needs good advance planning

Drydocking & Repairs
The essence of a good docking, repairs or major project all starts with the
same aspect……….
GOOD PLANNING & PREPARATION

Drydock Planning
Must be started several months in advance

– Time to order and supply spares & materials.
When is the next docking due?
Is it a Special or Intermediate?
Can the Intermediate be an in-water survey?

– Does the vessel have a 5-yr underwater coating scheme?
What area of the world is the vessel likely to be in when the docking is due
– If in an area where docking facilities are poor or expensive can we bring it
forward or delay it until I reaches are more suitable area?

Docking Repair Specification
The Repair Specification (RS) starts the day the vessel leaves the last drydock
repair yard.
A running file should be set up for the Ship or Supt to enter jobs that can only be
done in drydock
The file and jobs to be regularly checked during the interval between dockings
and at ship visits.
The RS should be clear and concise but with full details of the repair to be carried
out.
Always remember to send copies to the vessel well in advance of the docking
The RS needs to be continually updated with any new jobs in from the vessel and
copies sent to the designated shipyard for costing BEFORE the vessel arrives in
the yard.

The RS should include the following

Terms & Conditions
Vessel Particulars
List of enclosed ships drawings, but not limited to:-
– General arrangement (GA)
– Shell Expansion
– Docking Plan
Job details
– Organise in groups
– Include full details and drawings/photos as necessary
– Special requirements for painting and steel repairs

Job Description
Sect 1 Services
– One of the most important sections of the RS as shipyards often use this to
inflate the invoice.
– Always ask for unit prices even for services that may or may not be
required, particularly staging, tank cleaning and waste disposal -
differentiate between fuel, bilge, ballast, cargo etc
– Ensure all docking/undocking, layby berth and linesmen charges are include.
– Tugs & Pilots fees can be from the yard or agent
– Safety support services are increasing all the time, local Port Authority and
Yard rules often require extra services

Job Description - General

Each job needs to be as detailed as possible and should include as much
information as possible.
– Access works – removing handrails, pipes etc to get to the job
– Size & number of pipe flange nuts & bolts
– Quantity and type of material to be supplied for steel and pipe repairs
– The quantity of steel/pipes/material to be supplied by the yard
– Are new bolts/joints, materials and equipment etc to be supplied by the yard
or ship
– Include all necessary drawings for each job

Job Description – General cont’d

Is it a heavy lift (anything that can not be carried by hand)
Does the yard need to supply ventilation and lighting ??
Include an estimate of staging required
Will cleaning and extra fire precautions be needed for the job?
Don’t forget cleaning and waste disposal of damaged/used materials and debris
from the repairs
State if a job has to be approved by Class, i.e., welding jobs
Is there a conflict between jobs that may or may not cause a delay.
Will an outside Specialist be attending to oversee the repairs

The RS should also request the following:

– Number of ‘Running’ days required for the repair
– If this includes any local holidays
– What are the shift hours in the yard
Penalty Clause
– This is important to ensure the yard finishes on time, days delay means
days off hire and consequently costs for the docking.
– Usually based on the current charter day rate but the yard will also impose a
limit and require 1-2 days ‘grace’
– This is the main reason why the RS needs to be as precise as possible as the
shipyard will always be looking for excuses to extend the time and get out of
the penalty clause.

Tendering
Location
– Which shipyards you tender will depend a lot on the expected trading area
of the
vessel at the time of the docking, any ‘block’ agreements the company may
have
with a particular shipyard and even the complexity of the work to be done.
Deviation
– The greater the deviation from your normal trading route the greater will
be your costs.
– Time, bunkers and charter rates have to be considered in the final cost
comparison.

Tendering
Currency
– The final analysis must be in a common currency
– Allowances and/or statement made to show the exchange rate at the time
of the analysis.
Discounts
– Discounts are offered by most yards on a negotiable basis.
– Once the tender analysis is complete you can go back and ask for a
discount, most yards will give a discount to make them competitive

Tendering
Payment Terms
Also important as this allows the Owner to defer payments
There will always be a payment BEFORE departure which can be anything
from 20-50%
Terms can be spread over 2 or 3 payments, i.e.,
– 40%-30%-30% over 30 & 60 days
– 40%-60% over 30 days
It also gives the Owner some leverage if there are problems resulting from the
docking

Tendering
Tender Analysis to include:

Tenders to be entered into a spreadsheet on a job by job basis so equal
comparison can be made.
If no tender price for a job use the highest cost among the other yards.
Currency conversions can either be entered on a job by job basis or convert the
total
Any discounts to be included
Deviation costs for the various shipyards under consideration
Check with local agents at each port for tug/pilot/linesman costs

Which Shipyard?
This is can be decision of the Owners or Supt or as a result of discussions

between the two.
Many factors influence the decision
– Costs
– Reputation
– Recent experiences by Supt and/or colleagues
– Expertise of the shipyard
– Local support services
– Local Taxes, Customs for import of spares etc
– Accessibility

Confirming the Shipyard
Once the shipyard to be used is confirmed the following is also required:

Appoint Agents and up date costs
Confirm date and location for any specialist technicians who will attend
Check and confirm all necessary spares will be delivered on time
Arrange delivery of spares to the yard
Arrange hotel accommodation
If a tanker, than slop discharge to be considered and arranged
Confirm docking draft at the yard

Arrival Preparations
2-3 weeks prior to arrival the following to be confirmed:

All necessary spares delivery on schedule
Update ETA and advise the shipyard, agent and all specialist technicians etc
Check current exchange rates and see if it effects the estimated docking costs
from the Tender rates.
Send docking instructions to the ship
– Enough locks to keep all stores locked
– All tools cleared from workshops and stores in lockable store
– Protective surface laid in all work accessible accommodation alleyways
– Advise arrival draft at the yard and also docking draft
– Crew work lists for the docking to be prepared

Docking
Always arrive in the shipyard at least one day prior to vessels arrival so you can:
– Have a meeting with the shipyard managers
– Meet the ship repair manager and the person responsible for producing
the invoice
– Confirm all necessary safety procedures
– Confirm yard schedule & docking date – always to be on arrival if
possible
– Confirm all necessary yard supply materials on hand
– If spares have been delivered to yard check all present
– Confirm shift pattern and completion date
– Check to see what Sub-Contractors are being used – check their
facilities if work is being done outside the yard

Docking
– Do a tour of the yard so you know where all the relevant workshops are.
– If all shipboard Black & Grey water facilities are being stopped during the
repairs, ensure adequate shore facilities are available close to the vessel
– Check what office facilities are being provided for the Supt.
– Check the yards drydocking procedures and how that will interfere with the
repairs schedule
– Ensure the yard supplies a repair schedule for the whole period and it is
updated if extra work is required

Docking
The days schedule for a Superintendent can be varied but should include the
following:
First thing on the morning a walk around all the jobs to see for yourself the status
Morning meeting – as early as possible – with the Ship Repair Manager (SRM),
Yard Safety Officer, Senior Officers plus any other relevant people such as Class,
Painting Supervisors etc
Keep track of costs and any extra works over an above the RS must be entered
into your costs spreadsheet and any increases advised to the office
An hour or so BEFORE the SRM leaves the shipyard do another inspection of all
works so any problems or changes etc that may cause delays and/or extra costs
can be discussed BEFORE he leaves and time is not wasted on the night shifts.

Docking
Daily Meetings
These are essential to prevent misunderstandings and delays. Always take
notes/minutes of the meetings
The first meeting should include all relevant yard personnel, Ships Officers,
Bosun, Specialist Technicians etc so everybody knows who is who and Safety
Procedures can be discussed.
Discuss the days schedule therefore should be held as early as possible
Ensure everybody always attends unless a good excuse – it will save time in the
long run
Co-ordinate various works, e.g., propeller and main engine works can not be done
at the same time if engine needs to be turned.
Ensure any Specialist Technicians onboard understand the normal docking routine
and safety procedures

Docking
Invoicing
Update your cost spreadsheet at least every 2-3 days.
Ensure all ‘Extra’ costs for new jobs or increased works etc are received from the
yard on time (max 24hrs) and entered.
Get a draft invoice from the yard several days before the end of docking and
check against your expected final total.
Always get final costs agreed BEFORE the vessel leaves the yard so any major
disputes can be discussed with the ship still in the yard and checks can be made.
Once the vessel leaves it is Your word against the Shipyards and there will be a
lot more of them and with paper to back up their arguments!

Docking Repairs - Safety
Repair jobs are many and varied but a few points to note:
Always ensure sufficient ships staff onboard to deal with a fire.
Always ensure Officers are aware of what ships fire fighting systems are disabled
and what back up can be relied upon from the yard.
Always ensure a ships Officer & Crewman are on watch during shipyard working
times
An AB & ER Oiler to be on watch even during non yard working periods as a fire
watch with a Deck & ER Officer on call.

Docking Repairs – Security
Generally left to the shipyard but Master should review what security
procedures are in place and if he feels it is necessary than he should impose his
own security procedures.
Some shipyards have a security

tag system in place and each ship has
its own security and only those
authorised are allowed on board.

Docking Repairs – Ships Crew
Delegate Officers for certain jobs, i.e., 2nd Officer to keep check of what
paint is used and where to ensure it is not wasted or stolen.
Chief Engineer to oversee the ER repairs and Chief Officer the Deck Repairs.
The Master is not unemployed during the docking!! be used as an administration

assistant for the Supt dealing with any local suppliers etc

Docking Repairs - Technical
Vessel to be drydocked as early as possible, if not on arrival, this gives time to

repair any unknown underwater damages without delaying final departure from
the yard.
Bottom Plugs – make sure a deck Officer is responsible to witnessing the removal,
re-fitting and safe keeping of all plugs
Ensure that the C.Engineer is in the Engine Room during flooding of the dock and
that flooding is stopped for checks BEFORE the vessel lifts of the blocks.
All shipside Valves and Strainers to be checked for leaks.
Dockwater to be checked for stern tube oil leaks
All tanks/holds to be inspected for cleanliness by C.Officer on completion of works
and just BEFORE closing.
100 © DNV GL Rev. 1.0

Docking Repairs - Technical
All pipe systems which have been dismantled to be leak tested by the C.Engineer
asap after job completion.
Switchboard blackout, cleaning & testing to be carefully planned to cause least
disruption
Where ever waste disposal is required ALWAYS confirm and check quantities
BEFORE it leaves the vessel or drydock
Dock basin trials are getting ever more expensive and difficult to arrange.
– They need careful planning with the shipyard
– Extra mooring ropes to be laid out
– Bridge & mooring stations fully manned
– Shipyard to be fully advised and participate in arrangements
101 © DNV GL Rev. 1.0

Drydock Report
One of the most important parts of any drydocking is the final reporting.
Also the starting point for the next docking.
All work carried out must be recorded

– Calibrations for all mechanical repairs & overhauls
– Location Drawings for all steel repairs
– Class Reports
– Sub-contractor Reports
– Final Cost Analysis and Invoice
102 © DNV GL Rev. 1.0

Drydock Report
All work carried out must be recorded (cont’d)

– List of people attending the vessel
– Vessel movements
– Ships Crew Work
– Spares used
– Work left or scheduled for the next docking
– Appendices with copies of all relevant documents and photo’s
Always ensure the vessel gets a copy of the report
103 © DNV GL Rev. 1.0

Closing
Any questions?
Summary of Day 4
104 © DNV GL Rev. 1.0

See you tomorrow!
105 © DNV GL Rev. 1.0


Course Schedule






N
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Module 15: Dealing with Today’s Issues
Goals Module 15 Dealing with Today’s Issues
To understand how to deal with different issues and

ensure that all your duties are fulfilled
Learning
Objectives

Prioritising work
Yesterdays state of affairs:

Fernie Shaft Alternator - follow up
ME LO P/p #1 Starter - in hand
#1 Auxy Engine Governor failure - all arranged.
Auto Pilot - awaiting reply from Master, plus will arrange
technician attendance to check/service at Freeport
Malwa Boiler Failure - follow up from Aalborg passed to C/E

Handover follow up - spares & stores ordered and ready to ship
Talamba Aircon Failure - waiting reply from service company –

attendance confirmed
Gazana Main Engine Cylinder Water leaks all confirmed including spares
Fairlead Damage all confirmed ready for layby berth

Prioritising work
Today’s 28th - status and additional problems:
Fernie Shaft Alternator - follow up ongoing – diodes sent to agent

ME LO P/p #1 Starter - C/E fixed (!) but new spares on the
way to Manaus/Freeport
#1 Auxy Engine Governor - recon unit on its way to Freeport
Malwa Boiler Failure - Manufacturer supplying new PCB

Handover follow up - Purchasing arranging supplies
Talamba Aircon Failure - Technician will attend on arrival

Master reported as drunk on duty by Pilot
Gazana Main Engine Cylinder Water leaks repairs in hand

Fairlead Damage - repairs in hand

N
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Module 16: Environmental Awareness
Goals Module 16 Environmental Awareness
To understand why we need to be aware of the

sensitivity of the environment and how we protect it
Learning
Objectives

Tanker catastrophes
Sensitization of the public

and legislation
Amoco Cadiz
Castelle Bellevue

Exxon Valdez
Putting emphasis on prevention of oil accidents
Exxon Valdez

Global aim
NAVIGARE NECESSE EST

VIVERE NON
+ shipping is necessary for international trade 0the environment is suffering from shipping
+ shipping is an enrichment for our life 0shipping creates risks for the environment
aim:
operate in accordance with legal requirements
avoid accidents
reduce impact to environment

Development of Maritime Environmental Protection
Ann VI
MARPOL Ann. IV
ISM
MARPOL Ann. V
SOPEP
MARPOL Annex II, IBC Code
MARPOL Annex I
IMDG Code
1965 1973 1987 1990 1993 1997 1998 2003 2005 2010
Torrey Amoco Exxon Braer Erika
Prestige
Canyon Cadiz Valdez

Management Systems
ISM Code:
International Safety Management
ISPS Code:
International Ship and Port Facility Security
ISO 14001:
Environmental Management
ILO MLC 2006:

Health/Social Management
BS OHSAS 18001:
Occupational Health & Safety Management

Comparison of the standards
ISO 14001 ISO 9001 ISM ISPS
Application voluntary voluntary mandatory mandatory
Aim Legal compliance Customer Safety at sea Security of

satisfaction vessels and
Reduction of Avoidance of port facilities
environmental Meeting of damage to
impact requirements • human Prevention
Continuous • environment of security
improvement • property incidents

Comparison of ISO 14001:2015 with ISO 9001:2015 and ISM

Synergies
Corresponds with ISM

Corresponds with ISO 9001
Environmental
Protection
Safety

Basic principles of ISO 14001
Legal compliance
• Identification of legal and other requirements
• Availability of legal requirements
• Evaluation of legal requirements
Reduction of environmental impact
• Identification of environmental aspects
• Determination of significant environmental aspects
• Establishing of environmental objectives and targets
• Implementation of environmental programmes

Structure of an EMS according to ISO 14001
Continual
improvement
Act
Environmental
policy Plan
Management
review
Planning
Checking
Implementation
and
Check operation
Do

Terms and definitions
3.2.4 environmental impact

change to the environment, whether adverse or beneficial, wholly or partially
resulting from an organization's environmental aspects
aspect impact
Sailing/ Oil consumption (resources)

propulsion Emissions of CO2, NOx, SOx etc.
Ballast Water Transfer of alien species
Antifouling Emission of TBT into water and sediment
Cause Effect
19
Significant aspects
3.2.2 Note 2:
Significant environmental aspects are determined by the organization applying one or more criteria.
What criteria can be used to determine significance?

Severe damage to the environment
Risk for human life or health
Long lasting effect
High likelihood or risk
Big quantities compared to small quantities
The company has to document all aspects, the criteria

used and the significant aspects
20
3 Terms and definitions
3.4.10 performance
measurable result
Note: Performance can relate either to quantitative or qualitative findings.
3.4.11 environmental performance

Performance related to the management of environmental aspects.
Note: For an environmental management system, results can be measured against
the organization’s environmental policy, environmental objectives or other criteria,
using indicators.
aspect measurement of environmental performance
Sailing Fuel oil consumed

Quantities of CO2, NOx, SOx etc. emitted
Cleaning of cargo hold Quantities of garbage disposed of

Quantities of cleaning substances used
21
Environmental aspects
environmental aspect:
element of an organization‘s activities or products or services that
can interact with the environment
all
aspects
aspects which
Can be controlled
aspects with
significant impacts on the
environment
objectives
and targets

Environmental Impacts
Analysis of emissions and discharges
air
sea

Environmental aspects in shipping
aspect impact
Sailing of the vessel • Consumption of fuel

• Emissions of CO2, Nox, SOx
Conservation of the hull • TBT emissions rubbed of from

antifouling
• Thinner vapors
Pumping out of ballast water • Disposal of alien organisms
Cleaning decks and • Emissions of cleaning substances
superstructure
cause effect

Case Study 1:
Environmental Aspects and Impacts

6.1.3 Compliance obligations
Compliance obligations
Legal Requirements Other Requirements

• International Rules and Regulations • Contractual Requirements
• Flag State Legislation
• Standards of Organizations
• Port State Legislation
• Identification of requirements
• Access to current requirements
• Identification how they apply to the company and
the environmental aspects
EMS
26 © DNVGL
© DNV GL Rev. 1.0
Environmental rules and regulations
legislation published by date distribution
MARPOL Annex I: Prevention of pollution by oil IMO 15.10.2004 superintendent
MARPOL Annex II: Control of pollution by noxious liquid IMO 15.10.2004 superintendent
substances
MARPOL Annex III: Prevention of pollution by harmful IMO superintendent

substances in packaged form
MARPOL Annex IV: Prevention of pollution by sewage from IMO 1988 superintendent
ships
MARPOL Annex V: Prevention of pollution by garbage from IMO 31.12.1988 superintendent

ships
MARPOL Annex VI: Prevention of air pollution from ships IMO 19.05.2005 superintendent
NOx-Code IMO 26.09.1997 superintendent
ISM Code IMO DP
ISPS Code IMO CSO
International Convention on the Control of Harmful Anti-fouling IMO 05.10.2001 superintendent
Systems on Ships
Protocol on Preparedness, Response and Co-operation to IMO 15.03.2000 superintendent
pollution Incidents by Hazardous and Noxious Substances,
2000 (HNS Protocol)
OPRC: International Convention on Oil Pollution Preparedness, IMO 30.11.1990 superintendent
Response and Co-operation, 1990
International Convention for the Control and Management of IMO 13.02.2004 superintendent
Ships' Ballast Water and Sediments

6.2 Environmental objectives and planning to achieve them
Objectives
• Consistent with the policy (e.g.
DOCUMENTED
continual improvement)
• Measurable
• Monitored
• Communicated
• Updated as appropriate
• For relevant functions and levels
Actions
• Measures
• Responsibilities
• Time frame
• Resources required
• Evaluation of results (methods)

Example: Objectives, Targets and Programme(s)
MARPOL requires the sulfur content of marine fuel to be below 3.5%

(except in SECAs).
Objective 1: The company to supply the vessels with fuel below this legal limit.
Objective 2: Reduction of average sulfur content of fuels.
Target: To reduce sulfur content from today‘s average of 3.2% to an average of

2.8% within 12 months.
Programme:
• Establishing of responsibilities and authority for functions and levels of the
company being relevant for reducing the sulfur content in fuels (purchasing
department, chartering department, superintendent etc.)
• Providing resources for better fuels (e.g. financial resources).
• Process plans for fuel purchasing, bunkering, measurement of sulfur content
• Records: bunker stem, bunker delivery note, lab analysis, sulfur statistics

Environmental Aspects and Impacts
It is not a decision of the company what is an

aspect and what not
The EMS has to identify the aspects included
Aspects concern shipboard and ashore activities
Aspects cover pollutants to air, sea, land, and

damage to human health
Aspects include reasonably forseeable abnormal

situations, i.e. incidents and emergencies
Aspects can be considered as direct and indirect

activities, e.g. decisions and planning

Planning
Legal Significant Business strategy Context and

Environmental Risks and Continual
obligations Aspects Opportunities Policy Interested parties improvement
6.1.4 Planning Action Environmental Objectives

static
6.2.2 Planning Actions to

Environmental Management System
achieve env. objectives
Processes dynamic
Business Processes

Operation
8.1 Operational planning and control
- Controls and operating criteria
- Management of change
- Outsourced processes
- Life cycle perspective
8.2 Emergency preparedness and response

Case Study 2:
Objectives and Targets

N
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Module 17: Communications, Leadership & Relationships
Goals Module 17
To discuss and understand.............

Clarity of Communication
Shore/Ship Communications
Interpersonal Relationships
Different Cultures
Briefing & Interviewing Staff
Leadership

Game playing
The project flying balls

To understand teamwork

Communicating
Whenever we work with others a whole series of messages pass between us and
our colleagues. Written, Spoken or Unspoken are all part and parcel of
communicating
In the process of Management almost everything requires communication, either
verbal written
Wrong or Poor communication can cause delays, possibly endanger lives & ships
plus cost money.

Listen as well as Talk
As Superintendents we spend a lot of time sending messages to ships with

questions, instructions or guidelines
It is also essential we spend time to read our incoming messages properly and
more importantly listen to what our colleagues are telling us.
Do not communicate your message until your own thoughts are clear or you will
only communicate your own muddled thoughts.

Think before you reply!
Ensure your reply to a message is correct and relevant

– Re-read the incoming message to ensure you have understood its meaning
– if not clear get it clarified
– Remember either or both of you may be communicating in a foreign
language
– Re-read your reply, have you answered the message and will the recipient of
your message understand your reply.

Formality
Formal or Informal ?
– Familiarity Breeds Contempt ?
– There are times to be formal and times to be informal
Can you discipline or order someone to do something if he appears to be your
best friend ?
There is a very ‘fine line’ between respect and familiarity
Be Professional

Why are we communicating?
What is the purpose of the message

– What is to be achieved ?
– What is the justification ?
– Who is the message addressed to ?
Use Title/Subjects
Use Sub headers
Keep it as short as possible

What is Good Communication?
The sender must be able to:-

– Give messages in a way that will get the intended results
– Do so in such a way that others can understand and take the necessary
action
– Communicate using the best and most reliable means that will suit the
situation

Clarity
What is the purpose of your message?

Do not try to communicate anything until the ideas are clear in your own mind
Ensure what was said is what is written – No words with double meanings
When dealing with more than one topic ensure one subject does not run into
another - Give them one point at a time
Keep the message “SIMPLE” – avoid clichés (“see to it”)
Remember, both the sender and receiver may not be using their native language.

Abbreviations can be dangerous!
To use or not to use ??

Today we are very much multi-cultural onboard vessels and in the office, turn
over of sea staff and some office staff leads to a lack of continuity.
Unless a well established set of abbreviations are used they can lead to confusion
and the wrong message is sent.
When we used Morse code, letters & words were money and time, a standard set
of abbreviations was in use daily and well understood by all parties.
Today we have Email/Fax and all messages are typed, probably safer to write in
full.

Ship to Shore Communications
Email
– Always put relevant subject title
– Set up simple filing system on your computer
Fax
– Always attach a copy of the send confirmation
record
– Ensure the original is filed
Telephone
– Always make notes of all calls
– Note date & time
– Follow up with written message to confirm
discussions

Lines of Communications
Memo
If it is a paper memo or an email, make sure you keep it filed
Circulars
Generally instructions or guidelines regarding operational procedures that
have to be complied with.

Lines of Communications
Meetings
Informal or Formal
A good way to provoke discussion
Keep them short and to the point – stick to your time frame.
Always have an Agenda for formal meetings
Take notes and distribute them afterwards (Minutes of the meeting) to the
participants

Professional Respect
– Respect - an attitude of deference, admiration, or esteem.
– Respect is a two way attitude both for our juniors and seniors colleagues
– We are a TEAM from the Managing Director & Captain down to the Office
Junior and Galley Boy.
– Professional respect regardless of our colleague’s position in the hierarchy

Interpersonal relationships also apply to:-

– Inter-Departmental working relationships
– Working with Class and Flag State
– Insurance
– Charterers & Brokers
– Local Authorities
Another term for “Teamwork”

Different Cultures
Multicultural Crews
Multicultural Office Staff
– Different backgrounds
– Different languages
– Different religions
– Different training
– Different habits
– But the same qualifications / knowledge / capability
Respect each others lifestyle and do not impose !

Interviewing Staff
Interview staff for………..

– Job
– Appraisal
– Investigation/Briefing/Disciplinary
Get the interviewee to relax
– Relaxed atmosphere
– Allow to speak and listen to interviewee
– Prepare questions/agenda
– Make notes

Interviewing Witnesses:
Cognitive interviewing (CI) – described as a systematic approach to interviewing

cooperative witnesses
Scientific experimental data has shown that 30-70% more information is elicited
than with conventional interviews
Most effective with cooperative witnesses

Relation Platform of an Interview
Content
(The information)
Self-revelation Appeal
(Information about the (what does the
sender) sender want from
the receiver)
Relation
(Relation between sender and receiver)

Non-verbal Communication
Facial expression Gesture

Body language Motion
Eye contact Body contact
Appearance Behavior
No. 54







Role Play: Communication

Briefing Sea Staff
Different situation to an interview but….

– Still need to have a relaxed and friendly atmosphere
– Be prepared always have an agenda
– Have documents & reports at hand to discuss
– If several members of staff are briefing the Sea Staff ensure they are on
time.
– Prepare a schedule for the visit of the member of Sea Staff and ensure he is
cared for during the entire visit.

Being a Manager
Leadership does NOT = Management

– Leadership is an aspect of Management
Managers undertake:-
– Organisation
– Planning
– Staffing
– Directing
– Controlling
The Leader is Followed - The Manager Rules

Being a Manager
Leadership without Management

– Sets a direction or vision that others follow, without considering to much on
how the new direction will be achieved.
– Nelson Mandela “led” the Apartheid Resistance Movement from a Prison
Cell but could not actually do anything.
Management without Leadership
– Controls resources to maintain the status quo or ensure the system works to
an already established plan.
– The Referee “manages” the sports game

Being a Superintendent
A Superintendent is a Manager
He/She:-
– Organises
– Spares & Stores
– Plans
– Repairs and Drydockings
– Directs
– Crew
– Controls
– Budget

Teamwork under Extreme Conditions
Group Discussion

Case Study 3:
Briefing

N
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Module 18 - Crewing & Managing Crews
Goals – Module 18
Know and understand

STCW Convention and how to ensure compliance
ILO Maritime Labour Convention relevant for
Superintendents Learning
Objectives

STCW Convention
STCW
International Convention on Standards of Training, Certification
and Watchkeeping for Seafarers, 1978
Article 1 to 17
Attachment 1 – Resolution 1
The Manila Amendments to the annex to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers, 1978
Chapter 1 to 8
Attachment 3 – Resolution 3 to 19
Attachment 2 – Resolution 2
STCW Code
Seafarers’ Training, Certification and Watchkeeping (STCW) Code
Annex - Part A Annex - Part B
Mandatory standards regarding provisions of Recommended guidance regarding provisions
the annex to the STCW Convention of the STCW Convention and its annex
Chapter A-1 to A-8 Chapter B-1 to B-8

Core features of STCW
Setting worldwide uniform

Standards of Competence
Definition of Functions
with accordant Certification
Definition of Levels of Responsibility
Consistent Numbering of Convention and STCW Code

Functions
Certification according to Functions
– Navigation
– Cargo handling and stowage
– Controlling the operation of the ship and care
for person onboard
– Marine engineering
– Electrical, electronic and control engineering
– Maintenance and repair
– Radio communication

Levels of Responsibility
Management level Serving as master, chief mate, chief engineer officer or second
engineer officer on board a seagoing ship
STCW Code A-I/1.2
Operational level Serving as officer in charge of a navigational or engineering watch or

as designated duty engineer for periodically unmanned machinery
STCW Code A-I/1.3
spaces or as electro- technical officer or as radio operator
Support level Performing assigned tasks, duties or responsibilities on board under

the direction of member of operational / management level
STCW Code A-I/1.4

Specification of minimum standard of competence (Example)

Responsibilities of Companies

Certificates and Documentary Evidence
Term “appropriate certificate” deleted

Under new Convention three types of certificates will be issued:
CoC CoP Documentary

Evidence
(II/1, II/2, II/3, III/1, (II/4, III/4, VII/2, II/5,
III/2, III/3, III/6, IV/2, III/5, V/1-1, V/1-2, (V/2, VI/1)
VII/2) VI/2)

Certificates and Endorsements
Parties issuing CoC

Companies / ship owners
after checking
authenticity and
validity of
documentary evidence
Administrations
recognizing CoC/CoP
after checking Administrations
authenticity and
Flag State
validity of national
certificate

Prevention of Fatigue – Rest Periods
Amended regulation on establishment and enforcement of rest periods:
– Minimum 77 hours in any 7-day period
– Minimum 10 hours rest per 24-hour period

Alcohol Limits
For the purpose to prevent alcohol abuse each Administration shall establish limits
as follows:
BAC limit < 0.05% or 0.25 mg/l alcohol in breath
or quantity of alcohol leading to such concentration
All masters, officers and other seafarers

While performing designated safety, security and
marine environmental duties

Case Study 4:
Responsibilities and Duties of the
Crewing Department

House of Conventions
UNO
IMO ILO
MARPOL
SOLAS
STCW
MLC
International
Regulatory Regime for
Quality Shipping

Maritime Labour Convention 2006
MLC Target: 30 states with 33% world gross

tonnage of ships
Achieved: 20 August 2012
Into effect: 20 August 2013

Purpose of the MLC 2006
Enforced seafarers‘ rights

Conditions of fair competition for shipowners
One comprehensive set of global standards

– Also referred to as the CONSOLIDATED Maritime Labour Convention, 2006
– Almost all of the existing maritime labour instruments were included into the
new MLC 2006
– Updates to the requirements, where applicable
The MLC 2006 is intended to be

– Globally applicable
– Easily understandable
– Readily updateable
– Uniformly enforced

Application of the Convention: All Ships
Article II, para 1 (i):

ship means a ship other than one which
- navigates exclusively in inland waters or
- waters within, or closely adjacent to, sheltered waters or
- areas where port regulations apply
Article II, para 4:

Except as expressly provided otherwise, this Convention applies to all ships,
- publicly or privately owned
- ordinarily engaged in commercial activities
other than
- ships engaged in fishing
- ships of traditional build such as dhows and junks,
- warships or naval auxiliaries

Application of the Convention: All Ships
What about ships flying the Flag of a State that has not ratified the
MLC 2006?
No more favourable treatment
Concept also found in IMO Conventions

No disadvantage for ships flying the flag of a country that has ratified the MLC 2006
Port State Control: ships of all countries will be subject to inspection (and
detentions if applicable minimum standards are not fulfilled)

Application of the Convention: All Seafarers
Article II, para 1 (f):

seafarer means any person who is employed or engaged or works in any capacity
on board a ship to which this Convention applies
All crew members covered by STCW

All additional persons working on board
– Artists/musicians, photographers, hair dressers, therapist, animators
etc. on board of cruise ships
– Scientists, laboratory technicians etc. on board of research vessels
– Supercargoes, service technicians, animal-keeper etc. (live-stock)

Application of the Convention: All Shipowners
Article II, para 1 (j):

Shipowner means the owner of the ship or another organization or
person, such as the manager, agent or bareboat charterer, who
has assumed the responsibility for the operation of the ship from
the owner and who, on assuming such responsibility, has agreed to
take over the duties and responsibilities imposed on shipowners in
accordance with this Convention, regardless of whether any other
organization or persons fulfil certain of the duties or responsibilities on
behalf of the shipowner

Application of the Convention: Seafarers‘ Recruitment and
Placement Service
Article II, para 1 (h):

seafarer recruitment and placement service means any person,
company, institution, agency or other organization, in the public or the
private sector, which is engaged in recruiting seafarers on behalf of
shipowners or placing seafarers with shipowners

Structure of the MLC 2006
The ILO MLC 2006 comprises three different but related parts:
– Articles
– Regulations
– Code
The Articles and Regulations set out the core rights and principles and the basic
obligations of Members ratifying the Convention.
firm set of rights and principles
The Code contains details for the implementation of the Regulations:

– Part A: mandatory Standards
– Part B: non-mandatory Guidelines
The Regulations and the Code are organized into general areas under Titles
Title: group of provisions relating to a particular right/principle

Title 1
• Regulations
Title 2 • Code
Part A (mandatory)
Title 3 Part B (guideline)
Title 4
Title 5

The Titles
Title 1: Minimum Requirements for Seafarers to Work on a Ship
Title 2: Conditions of Employment
Title 3: Accommodation, Recreational Facilities, Food and Catering
Title 4: Health Protection, Medical Care, Welfare and Social

Security Protection
Title 5: Compliance and Enforcement

Articles
1: General obligations
2: Definitions and scope of application
3: Fundamental rights and principles
4: Seafarers‘ employment and social rights
5: Implementation and enforcement responsibilities
6: Regulations and part A and B of the Code
7: Consultation with shipowners’ and seafarers’ organizations
8: Entry into force

Articles
9: Denunciation
10: Effect of entry into force
11: Depositary functions
12: Depositary functions
13: Special Tripartite Committee
14: Amendment of this Convention
15: Amendments of the Code
16: Authoritative languages

TITLE 1. MINIMUM REQUIREMENTS FOR SEAFARERS TO WORK ON A SHIP

Regulation 1.1 – Minimum age
Purpose: To ensure that no under-age persons work on a ship
1. No person below the minimum age shall be employed or engaged or work on a ship.
2. The minimum age at the time of the initial entry into force of this Convention is 16 years.
3. A higher minimum age shall be required in the circumstances set out in the Code.
Standard A1.1 – Minimum age
1. The employment, engagement or work on board a ship of any person under the age of 16 shall be prohibited.
2. Night work of seafarers under the age of 18 shall be prohibited. For the purposes of this Standard, “night” shall be defined in
accordance with national law and practice. It shall cover a period of at least nine hours starting no later than midnight and
ending no earlier than 5 a.m.
3. An exception to strict compliance with the night work restriction may be made by the competent authority when:
(a) the effective training of the seafarers concerned, in accordance with established programmes and schedules, would be
impaired; or
(b) the specific nature of the duty or a recognized training programme requires that the seafarers covered by the exception
perform duties at night and the authority determines, after consultation with the shipowners’ and seafarers’ organizations
concerned, that the work will not be detrimental to their health or well-being.
4. The employment, engagement or work of seafarers under the age of 18 shall be prohibited where the work is likely to
jeopardize their health or safety. The types of such work shall be determined by national laws or regulations or by the
competent authority, after consultation with the shipowners’ and seafarers’ organizations concerned, in accordance with
relevant international standards.
Guideline B1.1 – Minimum age
1. When regulating working and living conditions, Members should give special
attention to the needs of young persons under the age of 18.
Regulation 1.2 – Medical certificate

…

Effectiveness of the Convention
Maritime Labour Convention
Flag State legislation Port State legislation Labour-Supplying

legislation
Owner, ship Port Recruitment, training,

seafarer

Certification as per MLC 2006
Regulation 5.1.3:
Maritime Labour Certificate and
Declaration of Maritime Labour Compliance
Applies to ships of:

– 500 GT or over, engaged in international voyages
(international voyage = voyage from a country to a port outside such
a country)
– 500 GT or over, flying the flag of a Member and operating from a port,
or between ports, in another country
Maritime Labour Certificate accompanied by the Declaration of Maritime Labour

Compliance (Part I + II) to be carried on the ship
English-language translation where the original certificates are not in English
Copy to be posted on board where it is available to all seafarers

Declaration of Maritime Labour Compliance (DMLC)
Attached to the Maritime Labour Certificate

Part I:
– Drawn up by the competent authority
– Identifies the list of matters to be inspected (agreed-upon list of 14 items)
– Identifies the national requirements implementing the MLC 2006
– Ship-type specific national requirements
– Substantially equivalent provisions adopted by the Member
– Any exemptions granted by the competent authority (Title 3)
Part II:
– Drawn up by the shipowner
– Contains the measures adopted to ensure ongoing compliance with the
national requirements implementing the MLC 2006
– “The competent authority or recognized organization duly authorized for this
purpose shall certify Part II and shall issue the declaration of maritime
labour compliance.”

Reg. Inspection Certification Subject
1.1 Minimum age
1.2 Medical certification
1.3 Qualifications of seafarers
1.4 Use of any licensed or certified or regulated
private recruitment and placement service
2.1 Seafarers’ employment agreements
2.2 Payment of wages
2.3 Hours of work or rest
2.4 Entitlement to leave
2.5 Repatriation
2.7 Manning levels for the ship
3.1 Accommodation
3.1 On-board recreational facilities
3.2 Food and catering
4.3 Health and safety and accident prevention
4.1 On-board medical care
4.2 Shipowner's liability
4.5 Social Security
A.5.1.1 Copy of MLC 2006 on board
5.1.5 On-board complaint procedures

Part 1: 1. Minimum age (Regulation 1.1)

Shipping Law, No. 123 of 1905, as amended, Chapter X; Shipping
Regulations, 2006, Rules 1111-1222.
Minimum ages are those referred to in the Convention.
“Night” means 9 p.m. to 6 a.m. unless the Ministry of Maritime Transport
approves a different period.
Examples of hazardous work restricted to 18-year-olds or over are listed in
Schedule A hereto. In the case of cargo ships, no one under 18 may work in
the areas marked on the ship’s plan (to be attached to this Declaration) as
“hazardous area”.
Part 2: 1. Minimum age (Regulation 1.1)

Date of birth of each seafarer is noted against his/her name on the crew list.
The list is checked at the beginning of each voyage by the master or officer
acting on his or her behalf (“competent officer”), who records the date of
such verification.
Each seafarer under 18 receives, at the time of engagement, a note
prohibiting him/her from performing night work or the work specifically listed
as hazardous (see Part I, section 1, above) and any other hazardous work,
and requiring him/her to consult the competent officer in case of doubt. A
copy of the note, with the seafarer’s signature under “received and read”, and
the date of signature, is kept by the competent officer.
100 © DNV GL Rev. 1.0

Maritime Labour Certificate
Certifies that the working and living conditions were inspected and verified to
meet the national laws and regulations implementing the MLC 2006
Issued by the competent authority or a recognized organization
Validity: max. 5 years
Validity subject to one intermediate inspection

– Between the 2nd and 3rd anniversary date
– Scope and depth of intermediate inspection equal to an renewal
inspection
– Endorsement of the Maritime Labour Certificate
Renewal inspection completed within 3 months before the expiry of the existing
certificate: „old“ validity + 5 years
101 © DNV GL Rev. 1.0

Maritime Labour Certificate
Interim certification possible for

– New ships on delivery
– Change of flag
– Change of management
Validity of Interim Maritime Labour Certificate: max. 6 months
Issued provided that:
– Ship is inspected as far as reasonable and practicable
– Shipowner demonstrates that the ship has adequate procedures to comply
with the MLC 2006
– Master is familiar with the requirements of the MLC 2006
– Relevant information has been submitted for the production of the
Declaration of Maritime Labour Compliance (Part II)
No Declaration of Maritime Labour Compliance required for

Interim Maritime Labour Certificate
102 © DNV GL Rev. 1.0

Inspections for Certification
On board only
– No ship-owner (company) office inspection
By Authority of Flag State or Recognized Organization (RO)

– Periodical inspections
– Upon receiving complaints that ship does not comply
Role of the Inspector

– To verify if conditions on board are compliant with the Convention
– Find objective evidence from interviews, examinations, tests and inquiries.
– Require corrective action for identified deficiencies (non conformances)
– In case of breaches causing serious risks to seafarers’ safety, rights, health
or security penalties can be imposed
– May give advise and recommendation where there is no serious breach
103 © DNV GL Rev. 1.0

N
Navigator
W E
104 © DNV GL Rev. 1.0

Do you still want to be a Superintendent??
Any questions?
Have we met your expectations?
105 © DNV GL Rev. 1.0

N
Navigator
W E
106 © DNV GL Rev. 1.0

Examination
60 minutes are available
70% correct answers are necessary to pass the test
Multiple choice procedure
107 © DNV GL Rev. 1.0

Closing
Feedback
How did you like the course?
Please give us your feedback on the assessment

forms
Certificates
Distribution of course certificates
108 © DNV GL Rev. 1.0

Thank you very much for your attention!
We hope to welcome you again soon
Maritime Academy Philippines

academy.philippines@dnvgl.com
+63 2 836-7731
www.dnvgl.com
SAFER, SMARTER, GREENER
109 © DNV GL Rev. 1.0

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MARITIME ACADEMY Day 1

© DNV GL SAFER, SMARTER, GREENER

2 © DNV GL Rev. 1.0

Smoking Mobile Emergency Time Course Course

3 © DNV GL Rev. 1.0

DAY SECTION MORNING AFTERNOON

Module 1 - From Ship to Shore 0830-1300 1400-1800

Module 5 - Bringing a Ship into Management 0830-1300 1400-1800

Module 8 - Vessel Support 0830-1300 1400-1800

Module 12 - Superintendents Duties & Responsibilities 0830-1300 1400-1800

Module 15 - Dealing with Todays Issues 0830-1300 1400-1800

4 © DNV GL Rev. 1.0

• What it means to be a Superintendent

• Different Roles of a Superintendent

• Inter Linking with other Company Departments

• Inter Linking with other Marine Parties

5 © DNV GL Rev. 1.0

Mv Fernie 3500TEU Container

Mv Malwa Handymax Bulker

Mt Talamba 100,000dwt Tanker

LPGC Gazana 5500m3 Semi Pressurised Gas Carrier

6 © DNV GL Rev. 1.0

The daily work required to keep your

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And the telephone is already ringing……….

…….and you have not managed to get a cup of tea yet!!!

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Understand the changes that happen when you

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Four main categories:

• The Users of ships cargo brokers/owners/buyers

• The Regulators IMO, National Governments,

• Service Providers Banks, Brokers, Ship Builders Agents,

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Ships are mechanical structures independent of land and physical

All Ship voyages rely on the following:

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We have an independent mechanical structure manned by human beings

………….. NO, not with the correct support!

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Technical Marine SQES Purchasing Accounts Crewing Chartering

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From the English Dictionary:

“(1) a person who directs and manages an organisation, office, etc, or

(2) (UK) senior police officer, …….. or

(5) relating to supervision.”

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Also can Qualify:

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A Superintendent’s role is very different to that of a Master or Chief Engineer.

Skills learnt at sea do not always translate to an office environment.

Management structure is different

– Onboard vessel – structured and definite command levels. A “closed” world.

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– A Superintendent is NOT there to run the vessels, he is there to

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