ISM Code A Practical Guide to the Legal and Insurance Implications
Page 399
Index
Index
- ABS see American Bureau of Shipping
- accident pyramid 313–14
- accidents: and human error 5–7, 150;
- active failures 341–2, 344
- actual fault or privity 132–4, 136–8, 263, 280, 281, 294–5;
- see also privity
- Administrations see flag Administrations
- Advisory Committee on the Safety of Nuclear Installations (ACSNI) 60
- ‘agony of the moment’ 139
- alcohol abuse 243–4, 248
- Allianz 19–20
- allisions 268
- alter ego 134–5, 138, 300
- American Bureau of Shipping (ABS) 100–3
- appraisals 257–8
- arbitration 110
- attribution 131, 135
- auditable systems 45–7
- audits: DOC verification 164–7, 179–82;
- audit trail 308–9
- Bahamian Merchant Shipping Act 1976 100
- ballasting operations 286
- Baltic and International Maritime Council (BIMCO) 2, 55, 56, 106, 295;
- bareboat charterers 51, 105, 162, 349, 354, 371
- bills of lading 277, 279, 289
- BIMCO see Baltic and International Maritime Council
- blind-eye knowledge 135–7
- Bourbon Dolphin 267
- breakdown policy 298
- bridge management 268–76
- Bridge Procedures Guide 204, 205, 206
- Bridge Team Management – A practical guide 204
- bulk carriers 10, 24, 42, 149, 15
- burden of proof 134, 280, 281, 294
- cargo 39, 51–2;
- cargo ships 10, 23, 42, 164, 165
- cargo underwriters 111, 149
- carriage of goods 110, 268, 276–93;
- due diligence 278
- Carriage of Goods by Sea Act 1936 (US) 279
- Carriage of Goods by Sea Act 1971 (UK) 279
- Carver Report 6
- casualties 6
- casualty investigations 317–20
- Certificate of Competency (COC) 107, 218, 224, 225, 229, 238–9, 273–4;
- fraudulent 240
- certificates: medical 242–3;
- registers of 241
-
certification 162–87, 237–40;Page 400
- charterers 146–9
- charter hire 147
- charterparties 99, 278, 279, 295–6
- charts 111, 261, 282, 305, 315
- chemical tankers 10, 24, 149, 165
- CICs see concentrated inspection campaigns
- civil actions 275
- Class Certificates 158
- Classification Societies 93–105
- Coast Guard and Maritime Transportation Act 2004 42
- COC see Certificate of Competency
- Code of Good Management Practice in Safe Ship Operations 4, 5, 116
- Code of Safe Working Practices for Merchant Seamen (COSWP) 189, 191, 203
- collisions 268, 275;
- and human error 6
- COLREG see Convention on the International Regulations for Preventing Collisions at Sea 1972
- commercial management 106
- Companies 105–20;
- accident prevention 311–17;
- ‘alter ego’ of 134–5;
- auditable systems 45–7;
- commitment to safety 39;
- Company Security Officers (CSOs) 129;
- compliance with the ISM Code 40–1, 44–5;
- culture 59, 64, 208–9;
- defined 51, 105;
- DOCs 162–71;
- DPAs 123, 125, 129–30, 206–7;
- Drug and Alcohol Policy 243;
- emergency preparedness 31, 296–8;
- external audits 47;
- implementation of corrective action 32;
- internal safety audits 32–3, 47, 142, 143, 145, 306–9;
- maintenance of the ship and equipment 31–2;
- obligations and responsibilities 51, 105–6, 114–19, 118, 219–24, 229, 253;
- one-ship 50–1;
- plans for shipboard operations 30–1;
- requirements placed upon 113, 311–17;
- role as enforcer 145–6;
- Safety and Environmental-Protection Policy 113, 141;
- safety culture 63–6, 339;
- safety management objectives 41, 215, 265;
- Safety Management Systems 48–50, 113, 117–19, 193, 207;
- support for Masters 236–7;
- threefold mantra 44–5;
- verification, review and evaluation 33, 35–6, 306–9
- Company Security Officers (CSOs) 120
- compliance culture 50, 145–6
- concentrated inspection campaigns (CICs) 22–4
- condition surveys 150
- confidentiality 320
- container ships 24
- contract of carriage 52, 96, 275, 279, 295
- contractual disputes 275
- Convention on Limitation of Liability for Maritime Claims 1976 (LLMC) 133, 139, 281
- Convention on the International Regulations for Preventing Collisions at Sea 1972 (COLREG) 72, 214, 271
- Cosco Busan 12
- Costa Concordia 345
- COSWP see Code of Safe Working Practices for Merchant Seamen
- crew: liability for actions of 112;
- criminal prosecutions 275
- critical systems 301
- CSC see International Convention for Safe Containers 1972
- CSOs see Company Security Officers
- culture 57–66;
- Deepwater Horizon 13
- default 132, 133, 280–1, 293;
- wilful 112
- defences-in-depth 340–1
-
deficiencies: detainable 155;Page 401
- demise charters 146
- Designated Person Ashore (DPA) 36, 122, 115;
- see also Designated Persons (DPs)
- Designated Persons (DPs) 121–39;
- detention rates 22–4
- DOCs see Documents of Compliance
- Documents of Compliance (DOCs) 50–1, 161–71;
- and PSCOs 155–6;
- and SMSs 180–1;
- Company requirements and records 129–30, 206–7;
- forms of certificate 187;
- interim 178–82, 187;
- interim verification 179–82;
- issuing 59, 76, 90, 112, 163;
- on-board copies 171;
- requirements 81;
- safety and pollution-prevention 131–2;
- safety management audits 165–7;
- validity 164–5;
- withdrawal 55, 112, 167–9
- domestic voyages 42
- Dona Paz 344–5
- DPA see Designated Person Ashore
- drug abuse 243–4, 248
- Drug and Alcohol Policy 243
- due diligence: and duty of care 291;
- electro-technical officers 262
- emergency equipment 301
- emergency preparedness 31, 296–8
- employment, continuity of 50, 53–4, 209, 273
- EMSA see European Maritime Safety Agency
- engineering officers 262
- environment, protection of 52–3, 139–44;
- see also marine pollution; pollution prevention; Safety and Environmental Protection Policy
- equipment 298–304
- Erika 103–4, 147
- Estonia 10
- Eurasian Dream 13, 235–6, 267–8
- European Maritime Safety Agency (EMSA) 3, 81
- evaluation, Company 33, 35–6, 306–9
- experience 26, 256;
- explosions 6
- familiarisation 252–4
- fatigue 247–52
- fault see actual fault or privity
- feedback 236, 302, 303
- ferries: Ro-Ro passenger 5, 9, 10, 222;
- fire 6, 113, 281
- fire-fighting 91, 150, 178, 266, 277
- fitness for duty 248
- flag Administrations 76–85;
- accident prevention 317–22;
- certification and verification 34, 76, 80;
- compliance with the requirements of the Code 15, 49;
- definition 76;
- detention rates 22–4;
- DOCs 163–4, 168, 181;
- external audits 47;
- Guidelines for 14–15, 26, 80, 113, 116;
- major shipping flags 77;
- role as enforcer 146;
- Safety Management Certificates 34, 171–4, 184–5;
- Safety Management Systems 197–9;
- see also Recognised Organisations (ROs)
- flags of convenience (FOCs) 7, 77, 80
- flexible culture 63
- FOCs see flags of convenience
- fraudulent certificates 240–2
- freight 147
- gas carriers 10, 23, 42, 165
- GIE see Group of Independent Experts
- GMDSS radio operators 261
- good faith 101, 138
- goods: definition 289;
- government-operated ships 42
- Grainville 4
- gross negligence 112
- groundings 268, 275;
- and human error 6
-
Group of Independent Experts (GIE) 17, 25, 26, 56, 117, 124Page 402
- Guidelines on the Application of the IMO International Safety Management (ISM) Code 116, 194, 299
- H&M insurance 6, 7, 149, 150
- Hague Rules 279, 292
- Hague–Visby Rules 226, 274, 277–83, 289
- Hamburg Rules 278, 279
- hazardous occurrences 32, 119, 144, 311–13
- hazards 28, 29, 188–9
- Health and Safety Executive (HSE) 43, 64
- health and safety protection 191
- Herald of Free Enterprise 3–5, 8, 121, 344, 345
- high-speed craft 10, 42, 164
- hours of rest 247–52
- hours of work 247–52
- Human Element in Shipping Casualties, The 6
- human error: and accidents/incidents 5–8, 150;
- IACS see International Association of Classification Societies
- ICS see International Chamber of Shipping
- ILO see International Labour Organization
- ILS see International Labour Standards
- IMDG Code 277
- IMO see International Maritime Organization
- imprisonment 199
- IMSBC Code 277
- incidents: and human error 6;
- incompetency 227–8
- inefficiency 227, 228
- informed culture 61
- inspections: by insurers 150;
- Instructions for the Guidance of Surveyors 180, 194
- insurers 149–51
- INTERCARGO see International Association of Dry Cargo Shipowners
- Inter-Governmental Maritime Consultative Organization (IMCO) 70
- interim certification 34, 177–86;
- INTERMANAGER see International Association of Shipmanagers
- International Association of Classification Societies (IACS) 2;
- International Association of Dry Cargo Shipowners (INTERCARGO) 2, 56
- International Association of Independent Tank Owners (INTERTANKO) 2, 56
- International Association of Shipmanagers (INTERMANAGER) 2
- International Chamber of Shipping (ICS) 2, 4, 56, 116
- International Convention for Safe Containers (CSC) 1972 277
- International Convention for the Prevention of Pollution from Ships 73/78 (MARPOL) 2, 85, 151–2, 318
- International Convention for the Safety of Life at Sea 1974 (SOLAS) 2, 9, 41–2, 85, 151, 260, 318–19
- International Convention on Standards of Training, Certification and Watchkeeping for Seafarers 1978 (STCW) 2, 214;
- International Labour Organization (ILO) 25, 56, 73–5;
-
International Labour Standards (ILS) 25, 74Page 403
- International Maritime Organization (IMO) 70–3;
- audit scheme 73;
- Conventions and Protocols 71–2, 197–8;
- development of ISM Code 8–15;
- Facilitation Committee 71;
- ‘Go to Sea!’ campaign 53–4;
- historical reasons 3–8;
- Legal Committee 71;
- Marine Environment Protection Committee (MEPC) 71;
- Maritime Safety Committee (MSC) 5, 71;
- Member States 76;
- Recognised Organisations 85–6;
- safety culture 64–5;
- sub-committees 71;
- Technical Co-operation Committee 71
- International Safety Guide for Oil Tankers and Terminals (ISGOTT) 204
- International Safety Management Code (ISM Code): amendments to 11, 15, 25–37, 124;
- application 41–3;
- background 1–37;
- compliance requirements 40–1, 44, 49–50, 162–347;
- developments at IMO 8–15;
- effectiveness of implementation 1 5–24;
- enforcers 145–58;
- facilitators 69–75;
- Guidance on the Qualifications, Training and Experience 26;
- Guidelines for Administration 14–15, 26, 80, 113, 116;
- Guidelines for the Operational Implementation 26;
- key players 69–159;
- legislators/regulators 75–105;
- mandatory compliance with 9–10;
- non-compliance with 12, 41, 151;
- personalised system 40;
- preamble to 37–40, 49, 52, 120–1, 140;
- purpose and key objectives 37–41, 214;
- research into implementation 16–19;
- underlying principles 37–66
- International Ship and Port Facility Security Code (ISPS Code) 2
- International Shipping Federation (ISF) 2, 4, 55, 56, 65, 116
- international standard 37–9
- International Transport Workers Federation 56
- International Union of Marine Insurance (IUMI) 19–21
- international voyage 42
- INTERTANKO see International Association of Independent Tank Owners
- ISF see International Shipping Federation
- ISGOTT see International Safety Guide for Oil Tankers and Terminals
- ISM Code see International Safety Management Code
- ISM consultants 52, 59
- ISPS Code see International Ship and Port Facility Security Code
- IUMI see International Union of Marine Insurance
- language 107, 258–63;
- common 259
- latent conditions 341–4
- leadership 39, 52
- learning culture 63
- liability: Classification Societies acting as ROs 93–105;
- Liberia 77
- Limitation Convention 1957 133, 139, 281
- live animals 289
- LLMC see Convention on Limitation of Liability for Maritime Claims 1976
- Loadline Certificates 97
- loss or damage 110: and fire 133;
- MAIB see Marine Accident Investigation Branch
- maintenance: adequate system 302–4;
- major non-conformities (MNCs) 22, 27–8, 36, 45, 47, 55, 157–8, 168–70, 174–5, 190
- management: commitment to safety 39, 52–3, 56, 66;
- Managing the Risks of Organisational Accidents 61
- manning: and seaworthiness 287;
- manning agents 109, 209;
- Marchioness disaster 188
- Marine Accident Investigation Branch (MAIB) 321, 322
- Marine and Coastguard Agency (MCA) 321–2
- Marine Guidance Notes (MGNs) 202
- Marine Insurance Act 1906 136, 137, 278
- marine pollution 70–1
- Maritime and Coastguard Agency (MCA) 42, 180, 194
- maritime labour certificate 75, 213
- Maritime Labour Convention 2006 (MLC) 2, 25, 41, 74, 191;
- MARPOL see International Convention for the Prevention of Pollution from Ships 73/78
- Masters: and Safety Management Systems 29–30, 119, 141–4, 229–36, 186;
- MCA see Maritime and Coastguard Agency
- medical certificates 107, 242–3
- medical examination 242–3
- mental health 287
- Merchant Shipping Act 1906 136
- Merchant Shipping and Fishing Vessels (Health and Safety at Work) Regulations 1997 191
- Merchant Shipping (ISM Code) Regulations 1998 5, 199
- Merchant Shipping (ISM Code) (Ro-Ro Passenger Ferries) Regulations 1997 5
- Merchant Shipping (Operations Book) Regulations 1988 5, 9, 121, 122
- MGNs see Marine Guidance Notes
- Minimum Safe Manning Document 246
- MLC see Maritime Labour Convention 2006
- MNCs see major non-conformities
- mobile offshore drilling units (MODUs) 10, 42, 165
- moral dilemmas 344–5
- multi-national crew 259, 260
- Muncaster Castle 290, 291
- Nancy 12
- Nautical Institute 204
- navigation 268–76
- NCN see Non Conformity Note
- near-misses 312–13;
- negative culture 58
- negligence 112, 136, 228
- Nicholas H 93–100
- NKK 94, 96
- NLS tankers 24
- no-blame culture 62
- non-conformities 11, 22, 45–7, 119, 302;
- Non Conformity Note (NCN) 157
- non-governmental organizations (NGOs) 56
- observations 45, 119, 131, 313
- OCIMF see Oil Companies International Marine Forum
- Oil Companies International Marine Forum (OCIMF) 2, 148
-
oil-majors 148, 149Page 405
- oil tankers 10, 24, 42, 149, 165;
- pollution from 70
- one-ship companies 50–1
- open registers (ORs) 7, 77, 80
- operational risks 189–91;
- see also risks
- ORs see open registers
- overriding conditions 249
- package limitation 281
- Panama 77
- Passenger Safety Certificates 97
- passenger ships 10, 42, 122, 164
- Patraikos II 274
- personal act or omission 133–4, 139
- P&I Clubs 6;
- P&I insurance 6, 7, 150
- pollution prevention 32–3, 52, 121, 131–2;
- see also marine pollution
- Port State Control (PSC) 2;
- Port State Control Officers (PSCOs) 154–8
- positive culture 58
- Principles of Minimum Safe Manning 35
- privity, concept of 136;
- see also actual fault or privity
- property 27
- property damage 38–9
- Protection/Protecting and Indemnity Association (P&I Clubs) 2, 21
- PSC see Port State Control
- PSCOs see Port State Control Officers
- Rabaul Queen 345
- Reason, James 59, 61, 63, 339–40
- recklessness 112, 139, 281, 300
- Recognised Organisations (ROs) 85–105;
- repairs 91–2, 94, 108, 246, 302
- reporting: accidents 32;
- reporting culture 62
- resources and personnel: adequate understanding 254–5;
- cost cutting 8;
- drug and alcohol abuse 243–4, 248;
- employment and social rights 215;
- familiarisation 252–4;
- hours of work/rest 247–52;
- language 258–63;
- medical examinations 242–3;
- MLC 210–16;
- multi-national crew 259, 260;
- recruitment and placement 229;
- safe manning requirements 35, 54, 236;
- Safety Management Systems 208–64;
- SOLAS 260;
- STCW 1978 216–24, 253, 260–2;
- training 216, 219, 255–8;
- working standards 211–12
- reward schemes 145
- RINA 103–4
- risk assessment 27–9, 187–92, 232–3, 247;
- tankers 148
- risk-based approach 28
- risk management 27, 29, 41, 187–92
- risks 28–9, 188–9;
- Ro-Ro passenger ferries 5, 9, 10, 222
- ROs see Recognised Organisations
- Rotterdam Rules 278, 279
- safe practices 40–1
- Safety and Environmental Protection Policy 52–3, 113, 141, 230
- Safety Aspects of Ship Design and Technology 6
- safety culture 39, 58–66, 116, 142, 144–5, 208
- safety equipment 301
-
Safety Management Certificate (SMC) 51, 171–7;Page 406
- Safety Management Manuals 49–50, 54, 192;
- Safety Management Systems (SMSs) 3, 192–309;
- and competency of staff 54–6;
- and interim DOCs 178–9;
- and Masters 141–4, 229–36;
- and safety culture 65, 142;
- auditable systems 45–7;
- auditing and monitoring 47;
- buy-in by Company personnel 56–7, 66;
- certification and periodical verification 33–4, 162–87;
- commitment from the top 52–4, 121;
- compliance with the ISM code 18, 22–3, 49–50;
- deficiencies in 157;
- documented system 194;
- evaluation 33;
- guidelines 117–20, 201–3;
- inspections of 156;
- instructions and procedures 197;
- national requirements 199–201;
- objectives 194–6;
- Plan, Do, Check, Act model 43, 192, 326–39;
- ready-made 50, 193;
- requirements 47–8, 194, 196–7, 199–201, 207–8;
- review of 29–30, 119–20;
- risk assessment 29, 190;
- safety and anti-pollution activities 32;
- structure of 192–208;
- tailor-made 48–50
- salvage 111, 275
- San Francisco Bay 12
- Scandinavian Star 9, 259
- SDRs see Special Drawing Rights
- seafarers: buy-in into SMS 56–7;
- Seafarers International Research Centre (SIRC) 241
- seaworthiness 13, 226;
- self-assessment 148
- self-enforcement 145
- self-incrimination 310, 320
- self-monitoring 145
- self-regulation 38, 40, 59, 116, 142, 145;
- of safety 116
- serious incidents 21
- ship management agreements 106
- ship managers 105–9;
- shipboard operations 30–1, 264–96;
- shipping companies see Companies
- Shipman ’98 106–11
- shipowners 105–7;
- Ship Security Officers (SSOs) 129
- shore management 120–2
- short-sea trade 122
- SIRC see Seafarers International Research Centre
- SIRE Programme 148
- skill 227
- SMC see Safety Management Certificate
- SMS documentation 304–5
- SMS Procedure Manuals 149;
- see also Safety Management Manuals
- SMSs see Safety Management Systems
- SOLAS see International Convention for the Safety of Life at Sea 1974
- sovereign immunity 84, 90, 93
- Special Drawing Rights (SDRs) 281
- SSOs see Ship Security Officers
- standing orders 144, 270
- Star Sea 137, 139
-
Statutory Certificates 84, 90–3, 158;Page 407
- see also Documents of Compliance (DOCs);
- statutory investigations 275
- STCW see International Convention on Standards of Training, Certification and Watchkeeping for Seafarers 1978
- STCW Code 218–23, 237–8, 250–1, 271
- stowage 287–8
- strandings 268
- Sundancer 100–1
- Surveyor General’s Organisation 6
- surveys 2, 53, 85, 86, 90–1, 150
- Swiss cheese model 57, 61, 340–1, 343
- tacit acceptance 9
- Tanker Management Self-Assessment (TMSA) 2
- tanker risk assessment 148
- technical management 106, 108–9
- THETIS database 81
- threefold mantra 44–5, 322, 326
- TMSA see Tanker Management Self-Assessment
- TMSA Programme 148–9
- Torrey Canyon 71
- training 26, 118–19, 125, 128, 130, 216, 219, 255–8
- transparency 50–2
- understanding 254–5
- United Kingdom Mutual Steamship Assurance Association (Bermuda) Limited 6
- United Nations: maritime-related agencies 70;
- see also International Labour Organization (ILO); International Maritime Organization (IMO)
- United Nations Convention on the Law of the Sea (UNCLOS) 69, 318
- United States 199–200