Tanker Management and Self Assessment 3 4 1.1 - Introduction The OCIMF Tanker Management and Self Assessment (TMSA) programme consists of a book, a matching online tool for recording the self assessment and a database for sharing reports. In February 2017 TMSA was integrated into the Ship Inspection Report Programme (SIRE). The TMSA programme complements IMO Conventions, Codes and Circulars and is intended to encourage self-regulation and promote continuous improvement to enhance the safety of merchant shipping and achieve incident free operations. Implementation of IMO Conventions, Codes and Circulars is achieved by companies establishing an effective safety management system (SMS) covering both ship and shore management processes. An effective SMS is also required for companies to achieve HSSE excellence. The TMSA encourages companies to assess their own SMS against set key performance indicators (KPIs) and provides a minimum expectation (level 1) and three further levels of increasing best practice guidance, which a company may wish to apply in their SMS to improve ship management safety performance. Through self-assessment, companies are encouraged to use ship management assessment results to develop phased improvement plans that can be applied across their entire fleet and to share their TMSA self assessments with potential charterers using the TMSA database. How the TMSA works The TMSA offers a standard framework for assessment of a company’s SMS. It sets out 13 elements of management practice that are essential for the effective management and operation of vessels. Companies can measure their SMS against the KPIs in each element and decide whether they have achieved a particular level in that element and, therefore, provide a clear, objective picture of performance. Importantly, the levels in the TMSA help the company identify gaps in current performance and areas where performance can be enhanced. 1.2 - Continual improvement Leadership at all levels is an essential part of any improvement process. Effective leadership communicates clear strategies and provides direction for staff to promote continual improvement in its SMS. The TMSA is designed to help companies continually improve their SMS through regular self assessment. Figure 1.1: Key components of a continual improvement cycle The key components of a continual improvement cycle are: Plan Develop plans that include effective strategies to provide clarity in company policies, objectives, processes, roles and responsibilities. Set objectives and targets and align them with planned actions. Section one: The Tanker Management and Self Assessment Programme 5 Act Meet the company’s objectives through consistent and effective implementation of plans. This requires clear communication of a company’s requirements, policies and procedures to all personnel. Record any results for future measurement. Measure Check, evaluate and feedback results from the ‘Act’ stage above. Look for any gaps between the results and the original plan. Improve Define new targets and actions that will lead to improvements. The emphasis is on achieving long-term improvements by aligning actions with targets. Plans should be regularly reviewed and updated. 1.3 - Key performance indicators In the context of the TMSA, KPIs are measures against which a company can track its effectiveness in meeting its aims and objectives. Use of KPIs to measure a management system Companies can use the information contained in this document to assess their management systems and to demonstrate an attainment level, ranked in levels from 1 to 4, for each of the 13 elements. ‘Not Applicable’ KPIs The TMSA is designed to be used worldwide for companies who manage tankers and barges (international, coastal and inland). Not every KPI will be applicable in all cases and this will depend on: • Company size or structure. • Specific trade. • Local regulations, customs or conditions. If a company decides that a KPI is not applicable, they should enter ‘yes’ when completing the assessment online. The company will need to have a reason for considering the KPI as not applicable stated and justified, and backed up with documentary evidence. Entering ‘no’ will lead the TMSA software to record the element as incomplete. Using KPI data Once a self assessment has been completed, the company will have a clear, objective picture of their safety performance. It should allow them to identify gaps and plan for improvements. The company can decide to use KPI data as a stand alone decision making tool, or in conjunction with any management tools they currently use for improving their management systems. Tanker Management and Self Assessment 3 6 1.4 - Self assessment process The TMSA covers 13 elements of management practice. Each element is structured as shown below. Title states the area of management practice covered Main objective defines the goal Supporting paragraphs: outlining the scope of the element. Aim: the high-level statement of what the element is assessing. Key Performance IndicatorsBest Practice Guidance 1 KPIs are grouped into levels from 1 (lowest) to 4 (highest). A KPI in the form of a statement, for example ‘vessel and shore- based management teams promote HSSE excellence’. It provides an objective measurement of the standards currently delivered by the company’s management system. Guidance, based on current industry best practice, to help companies achieve the standard outlined in the KPI. Figure 1.2: How elements are structured Companies should work through the elements and match their SMS to the KPIs within the four levels. The higher the level they match, the closer they are to fully meeting the objective of that element. Users will get the most benefit from the TMSA when personnel directly involved in the subject covered by the element complete that part of the assessment. The assessment of the level of attainment should be as accurate and substantive as possible. Overstating the status of a management system is counter-productive and may lead to inaccuracies in the report. As each level is completed, documentary evidence should be prepared or referenced to support the assessment and facilitate any external verification. Once an initial TMSA has been recorded the company may conduct a review to identify which elements and levels have yet to be attained, enabling a performance improvement programme to be developed. Companies should decide which elements and levels will improve the performance of their fleet operation and are appropriate to focus on. Companies are advised to review and update assessments in the TMSA online tool on an annual basis. Additional updates are recommended whenever they have made improvements/changes to their SMS or believe they have attained a higher level in any element rather than wait for planned improvements to be actioned. Significant changes in management structure, SMS or changes to fleet size and composition may also prompt a review. Section one: The Tanker Management and Self Assessment Programme 7 1.5 - Verification process With a company’s agreement, their TMSA may be subject to a verification review that is conducted by external assessors. The expectation is that the verification review will be confidential between the company being assessed and the assessing company that requested it. Verification should be conducted by qualified personnel. It is recommended that the composition of the review team includes deck and engineering disciplines and experience of the cargo types carried by company vessels. Appropriate qualifications and experience may include: • Lead auditor training, e.g. the ISO/ISM or Classification Society training. • Marine qualification, e.g. senior certificate of competency at management level. • Sea service in a senior rank. • Supervisory/management experience in a similar company. A company may wish to collect data relevant to the KPIs to demonstrate compliance with their SMS. This information can then be used during a verification review to demonstrate how they have attained each KPI/level. On completion of verification, any findings are discussed with the company either by correspondence and/or at a closing meeting. The company may wish to review and update the submitted self assessment as part of their continual improvement process. 1.6 - Submitting reports Companies can complete their assessments online using the TMSA tool. Access to the online database is controlled by secure login via a software licence subscription. Reports should be submitted to: www.ocimf-sire.org. When submitting a TMSA, companies can specify which OCIMF member companies will receive the report. No other company will be able to see the report and OCIMF do not release or publish any of the data. The submitting company is responsible for updating their own self assessment results as they progress through the KPI levels. Element two: Recruitment and Management of Shore-Based Personnel 21 2 Recruitment and Management of Shore-Based Personnel Aim - To ensure that suitably qualified, competent and motivated shore-based personnel are recruited, trained and retained to meet current and future needs of the company. Key Performance IndicatorsBest Practice Guidance 2.12.1.1A pre-recruitment process is in place that ensures candidates for key shore- based positions have the appropriate qualifications, experience and competence. The minimum qualifications and experience required for key positions are identified within the management system. This may include fitness for duty requirements. 2.1.2The company has a documented recruitment process for key personnel. This process may include: • Screening candidates against company requirements. • Verifying qualifications with the issuing authorities. • Background security checks where appropriate. • Verifying experience with former employers. • Identifying training needs. • Verifying candidates’ medical fitness for duty. • Documented interviews to assess competence. 2.1.3A formal familiarisation process is in place for newly recruited key shore-based personnel. The documented process may include familiarisation with: • Roles and responsibilities. • The SMS. • HSSE policies. • Business ethics and cultural awareness. Records of familiarisation are maintained. 2.1.4There is a documented handover procedure for shore-based personnel. The scope and depth of the handover process is determined by the responsibilities of the personnel involved and whether the handover is temporary or permanent. 2.1.5Up-to-date records of qualifications, experience and training courses attended for all key shore-based staff are maintained. 2.22.2.1A formal personnel appraisal system ensures that key personnel undergo a performance assessment at least annually. The appraisal system may include: • Annual target setting. • Performance review. • Training needs. • Career development requirements. Any issues highlighted in appraisal reviews are addressed. 2.2.2Retention rates for key personnel over a two-year period are calculated. The company demonstrates how the retention rate is calculated (a recognised method is shown in the glossary). Retention rates are periodically reviewed and trends identified. Tanker Management and Self Assessment 3 34 Element 4 and 4A Vessel Reliability and Maintenance including Critical Equipment Main objective Establish maintenance and repair procedures, so that all vessels in the fleet operate safely, efficiently and reliably, and develop additional control measures for identified critical equipment. Reliability and Maintenance Maintenance may include periodic inspection, measurement, performance monitoring or physical overhaul, including timely changing of perishable or consumable parts. Maintenance may be planned in advance or unplanned e.g. due to an abnormal condition or breakdown. Equipment reliability depends on factors such as design, construction, initial commissioning, operating practices and maintenance. For installed equipment, a planned and executed maintenance strategy is essential if vessels are to operate reliably and avoid unnecessary downtime or costly incidents. Critical equipment and systems To mitigate the risk of a vessel incident causing harm to personnel, the environment or assets, procedures are established to identify critical equipment and systems which, in the event of sudden failure, may result in a hazardous situation. Maintenance procedures Companies develop procedures and systems to manage onboard maintenance. These procedures: • Ensure that the structural integrity of all vessels in the fleet is maintained through an appropriate monitoring programme. • Ensure that all relevant vessel certification remains valid. • Define the maintenance philosophy required to ensure the safe operation of onboard equipment. • Provide timely support and ensure the availability of fit for purpose spare parts and materials and other resources necessary to carry out maintenance, giving particular consideration to the origin of spare parts. • Ensure that maintenance records and reports are consistently available, both onboard and in the shore-based management office. • Establish procedures for monitoring Class documentation, which provides an overview of the status of specific onboard equipment. • Establish a requirement for superintendents to conduct routine vessel inspections and confirm that planned maintenance has taken place. • Has a system in place to monitor overdue maintenance. • Provide a defect-reporting and close-out system that can be monitored both onboard and ashore. The system specifies a formal process for notifying shore management when critical equipment is taken out of service and includes methods for recording management’s approval of any mitigating steps introduced while the equipment is out of service.