MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT

Transcription

1 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT JULY 2002 American Bureau of Shipping Incorporated by the Legilature of the State of New York 1862 Copyright 2002 American Bureau of Shipping ABS Plaza Northchae Drive Houton, TX USA

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3 Foreword The ignificant impact of management practice on the afe operation of hip ha been recognized for ome time. The General Aembly of the International Maritime Organization requeted the Maritime Safety Committee, by reolution A.596(15) to develop, a a matter of urgency, guideline concerning hipboard and hore-baed management, and to include in the work program of both the Maritime Safety Committee and the Environmental Protection Committee an item on hipboard and hore-baed management for the International Safety Management Code (ISM Code). The ISM Code wa developed by the International Maritime Organization to provide the maritime community with an internationally recognized tandard for the afe management and operation of hip and for pollution prevention. Initially adopted a reolution A. 741(18), it later wa incorporated into Chapter IX of the SOLAS convention and became mandatory for oil tanker, chemical tanker, bulk carrier and cargo high peed craft of 500 gro tonnage and upward and for paenger hip including paenger high-peed craft from 1 July Other cargo hip and elf-propelled mobile offhore drilling unit (MODU) of 500 gro tonnage and upward ubject to SOLAS are required to comply by 1 July Other management ytem tandard have been developed, notably ISO 9001 and ISO 14001, nonpecific to the maritime indutry, which addre management practice from the perpective of controlling quality and environmental impact. Thee tandard, though not pecific to the marine indutry, provide ueful guidance that can be employed in marine management and the operation of hip to further enhance management ytem focued on the afe operating practice and prevention of pollution. The general management ytem principle embodied by the ISM Code, ISO 9001 and ISO have been incorporated in thi Guide. Thee principle, where appropriate, have been marinized in order to bring them within the concept of the indutry itelf. The American Bureau of Shipping offer thi Guide to the maritime indutry a a tool for enhancing marine management practice and further upporting afe management in the operation of hip and prevention of pollution. ABS Guide for Marine Safety, Quality and Environmental Management i

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5 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT CONTENTS Section 1 General 1 Scope and Application Certification General Certification Proce Repreentation Termination Limitation of Liability Definition... 4 Section 2 Policy 1 General Safety and Environmental Policy Quality Policy... 8 Section 3 Planning 1 Environmental Apect Legal and Other Requirement Safety and Environmental Objective and Target Quality Planning and Objective Cutomer Focu General Determination of the Requirement Related to Management of Ship (other ervice) Cutomer Communication Cutomer Record ABS Guide for Marine Safety, Quality and Environmental Management iii

6 6 Management Program General Management Commitment Management Sytem Manual Management Sytem Procedure and Documentation Section 4 Implementation and Operation 1 Reource Deignated Peron()/Management Repreentative/Environmental Management Repreentative() Mater' Reponibility and Authority Shipboard Peronnel Mater' Qualification and Support Crew Training, Awarene and Competence General Management Sytem Awarene Training Familiarization Training Communication Document Control Operational Control Purchaing General Evaluation of Supplier Purchaing Information Verification of Purchaed Material or Service Cutomer Property Preervation of Service Traceability Maintenance of the Ship and Equipment General Inpection Critical Equipment and Sytem Emergency Preparedne and Repone General Emergency Plan Drill and Exercie iv ABS Guide For Marine Safety, Quality and Environmental Management

7 15 External Audit Section 5 Checking, Corrective and Preventive Action 1 Monitoring and Meaurement General Legilative and Regulatory Review Monitoring and Meaurement Inpection and Tet Record Control of Monitoring and Meauring Device (MMD) Analyi of Meaurement and Improvement Control of Nonconforming Material, Equipment, or Cargo Space Nonconformance and Corrective and Preventive Action Record Internal Audit Section 6 Management Review Appendix 1 Correpondence Between ISM Code, ISO 9001:2000 & ISO 14001:1996 and ABS SQE Guide Appendix 2 Supplemental Requirement of the ISM Code ABS Guide for Marine Safety, Quality and Environmental Management v

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9 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT 1 GENERAL 1.1 Scope and Application The ABS Guide for Marine Safety, Quality, and Environmental Management ha been developed with the objective of improving afety and environmental performance in the management and operation of hip. The American Bureau of Shipping recognize the poitive impact that ound management practice have upon thee area of concern. Thi Guide provide the maritime indutry with a model for implementation of management ytem concerned with thee iue. Thi Guide i intended for the ue of Companie operating all type of hip. It requirement have been tated in general term in order to have application to a wide variety of hip operation and management tyle. The requirement of thi Guide have been largely derived from the ound management ytem principle reflected in the requirement of the "International Management Code for the Safe Operation of Ship and for Pollution Prevention" (alo known a the "International Safety Management Code", or more commonly a the ISM Code), "Quality Management Sytem Requirement (ISO 9001:2000), and "Environmental management ytem - Specification with guideline for ue" (ISO 14001:1996). Though the requirement of thi Guide have been intended to encompa the requirement of thee three referenced tandard, uer of thi Guide are encouraged to obtain for themelve copie of thee tandard for reference. Thee tandard, and other tandard aociated with them, contain valuable information and guidance ueful in undertanding the fundamental and implementation of viable management ytem. Though thi Guide ha been developed principally a a management ytem model for afe operation, prevention of pollution and preervation of the environment, quality concern are alo addreed. While quality management focue principally upon enhancing Cutomer atifaction and enuring that cutomer requirement for quality are fulfilled, ABS conider that the employment of quality principle will have a ignificant poitive impact on achieving goal and objective in the area of afety and environmental management. The quality ytem requirement of thi Guide provide precription that will enhance a afety and environmental management ytem' effectivene. Note: Thi Guide ha excluded ection 7.3 of the ISO 9001:2000 tandard, Deign and Development. Thi element of the ISO tandard hould not be ABS Guide for Marine Safety, Quality and Environmental Management 1

10 Section 1 General excluded from a Company management ytem if they have any input to the deign of a veel they are building, intend to build or a veel they are modifying to their pecific requirement. Companie applying for certification to thi Guide may not require to have thi element in the cope of their audit. Any other excluion ought by Companie to thi Guide hall be fully jutified in the Management Sytem Manual (ee 3.6.2) only within the following claue: 3.4.1, 3.5.2, 3.5.3, 3.5.4, 4.9, 4.10, 4.11, 4.12 and 5.1.7; and then only if it i a q only requirement. Thi Guide i deigned to facilitate a progreive approach to a fully integrated management ytem of afety, quality and environmental concern. The Guide identifie requirement in three categorie. The categorie are identified to the left of the correponding requirement by an "", "q", or "e" and are explained below. Requirement identified by an "" are afety management requirement. Thee requirement are baed mainly upon the requirement of the ISM Code but alo include additional precriptive requirement that ABS conider will enhance achieving goal and objective within thi area. Safety management requirement provide the baeline requirement of thi Guide and contain a number of requirement alo applicable to quality and environmental management. Thee requirement addre environmental management concern from a regulatory compliance perpective. Requirement identified by a "q" are quality management requirement that mut be implemented together with the "" requirement in order to manage both afety and quality management concern. Quality management requirement in combination with a number of the afety requirement addre iue of concern embodied by ISO 9001:2000. Additionally, precriptive requirement have been included that ABS conider will enhance achieving goal and objective within the combined area of afety and quality management. Requirement identified by an "e" are environmental management requirement that mut be implemented in addition to the "" requirement in order to manage both afety and environmental management concern. Environmental management requirement in combination with a number of the afety management requirement addre iue of concern embodied by ISO 14001:1996. Additionally, precriptive requirement have been included that ABS conider will enhance achieving goal and objective within the area of afety and environmental management. Thee requirement addre environmental concern from the perpective of both regulatory compliance and proactive continual improvement of the management ytem and environmental performance. Companie may chooe to implement the combination of requirement uitable to their organization' goal, objective and concern. ABS encourage all companie to conider implementation of the Guide' requirement in their entirety a the mot comprehenive approach to afety quality and environmental management. 1.2 Certification General Companie may requet certification to the requirement of thi Guide from the American Bureau of Shipping (ABS). Certification i available to the afety requirement; afety and quality requirement; afety and environmental requirement; and afety, quality and environmental requirement. 2 ABS Guide for Marine Safety, Quality and Environmental Management

11 Section 1 General Companie eeking certification to thi Guide mut, a a condition of certification, conform to the requirement of the ISM Code, ISO 9001:2000, and ISO 14001:1996 a relevant to the elected cope of their management ytem. Additionally, certification to the environmental criteria require a pre-aement. Ship certified to the requirement of thi Guide hall, a a prerequiite, be claed by ABS or another IACS member ociety. Certification to thi Guide hall be adminitered in the ame manner a ISM Code certification. Veel hall normally be aeed in accordance with the uual audit frequency precribed for ISM Code certification. Thi Guide i ubject to review and reviion. Update hall include, among other thing, additional requirement, or clarification of exiting requirement. Companie certified to the requirement of thi Guide hall be required to comply with the change within two year after their publication. A Company that i aeed by ABS and found to meet the requirement pecified in thi Guide i entitled to hold a correponding certificate. Veel operating under the Company' management ytem that are aeed by ABS and found to meet the requirement pecified in thi Guide are entitled to hold correponding certificate, and where ABS claed, correponding notation in the ABS Record. All certificate are ubject to periodic and intermediate verification conducted at each certified location. All certification are non-tranferable. Aement are baed upon a ampling proce. The abence of recorded nonconformitie doe not mean that none exit. Nothing contained herein or in any certificate, notation or report iued in connection with a certificate and/or notation i intended to relieve any deigner, builder, owner, manufacturer, eller, upplier, repairer, operator, inurer or other entity of any duty to inpect or any other duty or warranty, expre or implied, nor to create any interet, right, claim or benefit in any inurer or other third party Certification Proce Companie eeking certification to the requirement of thi Guide hall fulfill the following reponibilitie, ome of which are more fully decribed in ubequent ection of the Guide: a. Document, implement and maintain a marine management ytem in accordance with the pertinent requirement of thi Guide. b. Inform ABS in writing of major change to management ytem element (e.g. managerial organizational tructure, location, change in type of veel operated, upgrade/downgrade of proce capability, control or flow) o that the change may be evaluated by ABS and appropriate action taken. c. Provide ABS copie of pertinent management ytem documentation for review. d. Allow ABS acce to all certified location and veel during normal working hour in order to ae the marine management ytem to determine continuing compliance with the pertinent requirement of thi Guide. e. Maintain a record of all complaint received regarding the quality of ervice, environmental pollution, and the reolution thereof. ABS Guide for Marine Safety, Quality and Environmental Management 3

12 Section 1 General f. Notify ABS of port tate detention of veel() certified. g. Inform ABS in writing when a DOC, iued by a Flag Adminitration or a Recognized Organization (other than ABS), i withdrawn or invalidated by the iuing party affecting veel certified to thee requirement Repreentation Certification i a repreentation by ABS that at the time of aement the Company and veel, a pertinent, had etablihed and implemented a management ytem in accordance with the requirement in thi Guide for the pecified certificate and notation. Certification i not a repreentation that the Company alway act in compliance with the management ytem or that the management ytem addree all contingencie. Management performance remain the reponibility of the Company Termination The continuance of certification or any notation i conditional upon the Company and veel continued compliance with the pertinent requirement of thi Guide. ABS reerve the right to reconider, withhold, upend or cancel the certification or notation for noncompliance with the requirement, refuing acce for an aement or verification, or nonpayment of fee which are due on account of certification and other ervice Limitation of Liability The combined liability of American Bureau of Shipping, it officer, director, employee, agent or ubcontractor for any lo, claim, or damage ariing from negligent performance or non-performance of any of it ervice, or from breach of any implied or expre warranty of workmanlike performance in connection with thoe ervice, or from any other reaon, to any peron, corporation, partnerhip, buine entity, overeign, country or nation, will be limited to the greater of a) $100,000, or b) an amount equal to ten time the um actually paid for the ervice alleged to be deficient. The limitation of liability may be increaed up to an amount twenty-five time that um paid for ervice upon receipt of the Company' written requet at or before the time of performance of ervice and upon payment by Company of an additional fee of $10.00 for every $1, increae in the limitation. 1.3 Definition The definition lited below are taken, or adapted from the ISM Code, ISO 9001:2000, and ISO 14001:1996. Adminitration mean the Government of the State whoe flag the hip i entitled to fly. Anniverary Date mean the day and month of each year that correpond to the date of expiry of the relevant document or certificate. 4 ABS Guide for Marine Safety, Quality and Environmental Management

13 Section 1 General Certification the deciion by ABS that the Company management ytem meet the applicable requirement of the ABS Guide. Company the owner of the hip or any other organization or peron uch a the manager, or the bareboat charterer, who ha aumed the reponibility for operation of the hip from the hipowner and who, on auming uch reponibility, ha agreed to take over all dutie and reponibilitie impoed by the ISM Code. Company = Organization [9001:2000] Continual improvement the proce of enhancing the management ytem to achieve improvement in overall performance in line with the Company' tated policie for afety, quality, and pollution prevention a applicable. Thi i a recurring activity. Convention mean the International Convention for Safety of Life at Sea, 1974 a amended. Cutomer organization or peron that receive a product or ervice. A charterer i conidered a Cutomer. Cutomer atifaction perception of the degree to which the Cutomer requirement have been fulfilled. DOC Document of Compliance certificate Environment urrounding in which a Company and it hip operate, including air, water, land, natural reource, flora, fauna, human, and their interaction. Environmental apect - element of a Company' or organization activitie or ervice that can interact with the environment. Environmental impact any change to the environment, whether advere or beneficial, wholly or partially reulting from a Company' activitie, or ervice. Environmental objective overall environmental goal, ariing from the environmental policy, that a Company et itelf to achieve, and which i quantifiable where practicable. Environmental performance meaurable reult of the environmental management ytem, related to a Company' control of it environmental apect, baed on it environmental policy, objective and target. Environmental target detailed performance requirement, quantified where practicable, applicable to the Company or it hip, that arie from the environmental objective and that need to be et and met in order to achieve thoe objective. Infratructure ytem of facilitie, equipment and ervice needed for the operation of the Company. Intereted Partie peron or group having an interet in the ucce of the Company. ABS Guide for Marine Safety, Quality and Environmental Management 5

14 Section 1 General International Safety Management (ISM) Code mean the International Management Code for the Safe Operation of Ship and for Pollution Prevention a adopted by the Aembly, a may be amended by the Organization. Major non-conformity mean the identifiable deviation that poe a eriou threat to the afety of peronnel or the hip or a eriou rik to the environment that require immediate corrective action and include the lack of effective and ytematic implementation of the requirement of the Code. Non-conformity mean an oberved ituation where objective evidence indicate the non-fulfillment of a pecified requirement. Notation notation in the ABS Record upon certification to recognize that the ABS claed veel meet the applicable requirement of the ABS Guide for: Safety Certification (S) or Safety and Environmental Certification (SE) or Safety and Quality Certification (SQ) or Safety, Quality and Environmental Certification (SQE). Objective evidence mean quantitative or qualitative information, record or tatement of fact pertaining to afety or to the exitence and implementation of a afety management ytem element, which i baed on obervation, meaurement or tet which can be verified. Obervation mean a tatement of fact made during a management audit and ubtantiated by objective evidence. Prevention of pollution ue of practice, material or product that avoid, reduce or control pollution, which may include recycling, treatment, proce change, control mechanim, efficient ue of reource and material ubtitution. Requirement a need or expectation generally tated, generally implied or obligatory Safety apect element of a Company or organization activitie or ervice that repreent an actual or potential rik to afety or peronnel, or the hip. SMC Safety Management Certificate. A document iued to a hip which ignifie that the Company and it hipboard management operate in accordance with the approved afety management ytem. Supplier organization or peron that upplie a product or ervice. Sytem et of interrelated or interacting element required to direct and control a Company. Top management: peron() who direct or control a Company Work environment: et of condition under which the work i performed. 6 ABS Guide for Marine Safety, Quality and Environmental Management

15 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT 2 POLICY 2.1 General The Company' top management hall etablih, document, and maintain pertinent policy(ie) for afety, protection of the environment, and quality in accordance with and appropriate with the purpoe() of the management ytem The Company hall enure that the policie are communicated, undertood, implemented and maintained at all level of the hore baed and hipboard organization. 2.2 Safety and Environmental Policy The Company hall etablih a Safety and Environmental protection policy which decribe how enuring afety at ea, prevention of human injury or lo of life, and avoidance of damage to the environment, in particular, the marine environment will be achieved The policy hall define the Company' commitment and continuou improvement to achieve goal and objective to: a. provide for afe practice in hip operation and a afe working environment; b. prevention of pollution; c. etablihing afeguard againt all identified rik; d. continuouly improving afety-management kill of peronnel ahore and onboard hip, including preparing for emergencie related to both afety and environmental protection; e. complying with mandatory rule and regulation and other requirement to which the Company ubcribe. f. continually improving all procee by: ABS Guide for Marine Safety, Quality and Environmental Management 7

16 Section 2 Policy i ii iii reviewing the available information againt tated Policie and Objective, evaluating Audit reult, analyzing available record of Corrective and Preventive Action, and management review; e The policy hall be appropriate to the nature, cale and environmental impact of the Company hore-baed and hipboard activitie. e The environmental policy hall provide a framework for etting and reviewing environmental objective and target. e The environmental policy hall be made available to the public. q 2.3 Quality Policy Top Management hall enure that the Quality policy: a. i appropriate to the purpoe of the organization b. i reviewed for continuing uitability; c. include a commitment to comply with requirement and continually improve the effectivene of the quality management ytem; and d. provide a framework for etablihing and reviewing quality objective; e. i communicated and undertood within the hore and hip baed organization The Company organizational goal and expectation hall be monitored, meaured and analyzed to enure that the procee are implemented effectively. 8 ABS Guide for Marine Safety, Quality and Environmental Management

17 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT 3 PLANNING e 3.1 Environmental Apect The Company hall etablih and maintain procedure() to identify the environmental apect of it hip and hore-baed operation that it can control or, over which it can be expected to have an influence. The Company hall determine which environmental apect have or can have a ignificant impact on the environment. The Company hall keep thi information up-to-date Thee apect hall be conidered when etting environmental objective. 3.2 Legal and Other Requirement The Company hall etablih and maintain a documented procedure to identify and have acce to: a. mandatory rule and regulation applicable to both hip and hore baed operation; and b. applicable code, guideline and tandard recommended by the IMO, Adminitration, claification ocietie and maritime indutry organization. 3.3 Safety and Environmental Objective and Target e The Company hall etablih and maintain documented objective and target for environmental protection at each relevant function and level within the hore baed and hipboard organization. (See 5.4) Reponibility for achieving thee objective and target hall alo be identified and documented When etablihing and reviewing it objective, the Company hall conider: a. compliance with mandatory rule and regulation; b. applicable code, guideline and tandard recommended by the IMO, Flag Adminitration, claification ocietie, and maritime indutry organization; ABS Guide for Marine Safety, Quality and Environmental Management 9

18 Section 3 Planning e e e c. the ignificant environmental apect of it operation; d. the view of intereted partie; e. technological option; and e f. it financial, operational and buine requirement. e The objective and target et by the Company hall be conitent with the afety and environmental policy, including the Company' commitment to afe operation and prevention of pollution. q 3.4 Quality Planning and Objective Top Management hall enure that a. quality objective, including thoe needed to meet the requirement of ervice are etablihed at relevant function and level within the organization. Thee hould be meaurable and conitent with the quality policy, and carried out to meet the management ytem requirement a well a quality objective. b. the integrity of the management ytem i maintained when change are planned and implemented The Company hall plan and develop the procee needed for product or ervice realization. Planning of product or ervice realization hall be conitent with the requirement of the other procee of the management ytem. ( See 3.6) In delivering the ervice the Company hall: a. enure adherence to the requirement and objective of the ervice b. identify the need to etablih or amend procee, procedure and provide reource required by the ervice c. identify the verification, validation, monitoring, inpection and tet activitie pecific to the ervice and the criteria for ervice acceptance; and d. identify the record required to demontrate compliance. (See 5.4) q The output of thi planning hall be in a form uitable for the Company method of operation. Note: The output of thi planning activity could be referred to a a quality plan. 3.5 Cutomer Focu q General Top management hall enure that Cutomer requirement are determined and met with the aim of enhancing Cutomer atifaction. Additionally the Company hall monitor information relating to the Cutomer perception to demontrate fulfilling cutomer or charter party requirement. The method for obtaining and uing thi information hall be determined and may include: 10 ABS Guide for Marine Safety, Quality and Environmental Management

19 Section 3 Planning a. procedure for reviewing pertinent voyage inpection and tet record in order to determine if contractual requirement have been met and if requirement have not been met, corrective action hall be taken; (See Guide 5.4) b. participation in client meeting; c. oliciting of client feedback; d. tracking breakdown, accident, delay and port tate intervention; e. anticipating trend including opportunitie for preventive action; f. tracking upplier performance and cot of purchae; (Re, Guide 5.1.3) Determination of the Requirement Related to Management of Ship (other ervice) q Prior to entering into a hip management agreement, charter party, contract of affreightment, or any other type of contract with a cutomer, the Company hall review thee contract to identify, determine and enure that; a. the requirement, including delivery and pot-delivery of it ervice, are adequately defined and documented. Where the cutomer communicate hi requirement by other mean, thee hall be confirmed prior to acceptance; b. addre thoe requirement additionally determined by the Company and monitor thee requirement throughout the voyage to enure Cutomer requirement are being met; c. any difference between the contract and thoe previouly expreed are reolved; and d. it ha the capability to meet the contractual requirement; e. where known, untated requirement neceary for pecified or intended ue are included Statutory and regulatory requirement during all tage of it proce and delivery will be complied with. q Where product or ervice requirement are changed, the Company hall enure that relevant document are amended and that relevant peronnel are made aware of the changed requirement. q Cutomer Communication The Company hall determine and implement effective arrangement for communicating with cutomer and intereted partie in relation to: a. the ervice or product being delivered; b. inquirie/contract/charter partie/including amendment; and c. cutomer feedback and complaint, including complaint from Cla, Port State Control, Flag State or other entitie ABS Guide for Marine Safety, Quality and Environmental Management 11

20 Section 3 Planning q Cutomer Record Record of the reult of the review of requirement, and any action ariing from the review, mut be maintained. (See 5.4) 3.6 Management Program General The Company hall etablih, implement, and maintain program in upport of pertinent afety, quality and environmental, policie. The program hall be deigned to achieve pertinent objective and target related to afe operation, protection of the environment, and quality, taking into account the unique deign characteritic, and operating requirement of each hip type The Company hall determine the procee needed for an effective management ytem, including the equence and interaction of thee procee a applicable throughout the organization. q The Company hall enure the availability of reource and information neceary to upport the operation and monitoring of thee procee The program hall: e q a. identify criteria, method, reource and information required to effectively monitor, meaure, analyze, control and implement the identified procee. b. define and document reponibility, authority and interrelation of all peronnel who manage, perform and verify work relating to and affecting afety, pollution prevention, and quality; and c. etablih defined level of authority and line of communication between, and amongt, hore and hipboard peronnel; d. define and document the mean and time frame by which the objective and target are to be achieved. e. deignate reponibility for achieving objective and target at each relevant function and level of the Company; qe f. implement action neceary to achieve planned reult and continual improvement of the procee. e The Company hall enure that the environmental management program i uitably amended where relevant in relation to new development and modified activitie aociated with their hore-baed and hipboard operation. q The Company hall identify the control it will exercie over procee it ource externally. Thee control hall be identified in the management ytem. q Management Commitment Top management hall provide evidence of commitment to the development and implementation of the management ytem and continually improving it effectivene by: 12 ABS Guide for Marine Safety, Quality and Environmental Management

21 Section 3 Planning a. communicating the importance of meeting the cutomer a well a the tatutory and regulatory requirement within the organization and enuring thee requirement are undertood; b. etablihing the Quality policy; c. enuring that quality objective are etablihed; d. conducting management review; and e. enuring availability of reource Management Sytem Manual The Company hall decribe the pertinent afety, environmental protection and quality program, within a management ytem manual The management ytem manual hall; q a. define the cope of the ytem including detail and jutification for excluion; (See 1.1) b. include pertinent Company policie for afe operation, prevention of pollution, and quality; c. define the reponibility, authority and interrelation of key management peronnel with reponibility for afe operation, prevention of pollution, and quality a appropriate; d. decribe the core element and outline the tructure of the Company' management ytem and interaction of it element; e. include documented procedure etablihed for the management ytem or provide appropriate reference to management ytem documentation. q f. decribe the interaction between the procee of the management ytem; and qe g. determine the record required by thi Guide to demontrate conformity to requirement and the effective operation of the management ytem. (See 5.4) Management Sytem Procedure and Documentation The Company hall document, implement and maintain procedure for enuring requirement for afety, pollution prevention and quality, conitent with the Company' tated policie, and the requirement of thi Guide are met The complexity of the work and the kill level of peronnel involved in performing the work and the work environment hall govern the degree of control provided within management ytem procedure Management ytem documentation hall be kept in the form that the Company conider mot effective. ABS Guide for Marine Safety, Quality and Environmental Management 13

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23 GUIDE FOR MARINE SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT 4 IMPLEMENTATION AND OPERATION 4.1 Reource The Company management hall provide adequate hip and hore baed reource neceary for the effective implementation, maintenance and control of the management ytem and to enable the management ytem repreentative() (See 4.2) to carry out their function. Reource include uitably qualified and trained peronnel, equipment, technology, financial reource, and work environment. Reource alo include peronnel uitably trained to perform verification activitie including internal management ytem audit. q The Company management hall provide the reource needed to: q Infratructure a. continually improve the ytem effectivene; and b. enhance cutomer atifaction by meeting cutomer requirement. The Company hall determine, provide and maintain the infratructure needed to provide the hip management ervice that hall meet the pecified or implied requirement of the Cutomer and other intereted partie. Infratructure include, but i not limited to: a. building, work pace, veel and aociated utilitie; b. proce equipment (both hardware and oftware); and c. upporting ervice (e.g. tranportation or communication). 4.2 Deignated Peron()/Quality Management Repreentative/ Environmental Management Repreentative() The Company' top management hall deignate member() of management who, irrepective of other reponibilitie, hall have defined reponibilitie and authority to: ABS Guide for Marine Safety, Quality and Environmental Management 15

24 Section 4 Implementation and Operation a. enure the afe operation of each hip; b. provide a link between the Company and thoe aboard; c. laion with external partie on matter concerning etablihment, approval and timely auditing of the management ytem to comply with applicable code, tandard indutry guideline including requirement of thi Guide; (See 4.15) d. monitor the afety and pollution prevention apect of the operation of each hip and enure that adequate hore-baed upport i applied a required; e. enure that the management ytem i etablihed, implemented and maintained; f. report on it performance to top management for review and a a bai for management ytem improvement. q g. provide awarene of the cutomer requirement throughout the Company The deignated peron()/management repreentative/environmental management repreentative() hall have direct acce to the highet level of management The Company hall enure that adequate reource and hore-baed upport are provided to enable the deignated peron or peron to carry out their function. 4.3 Mater' Reponibility and Authority The Company hall clearly define and document the Mater reponibility with regard to: a. implementing the afety, environmental-protection, and quality policy(ie) of the Company; b. motivating the crew in the obervation of the policy; c. iuing appropriate order and intruction in a clear and imple manner; d. verifying that pecified requirement are oberved; and e. reviewing the management ytem and reporting it deficiencie to the horebaed management The Company hall enure that the management ytem operating aboard the hip contain a clear tatement emphaizing the Mater authority. The Company hall etablih in the management ytem that the Mater ha the overriding authority and the reponibility to make deciion with repect to afety and pollution prevention and to requet the Company aitance a may be neceary. 4.4 Shipboard Peronnel Mater' Qualification and Support The Company hall enure that the Mater i: a. properly qualified for command; 16 ABS Guide for Marine, Safety and Quality Environmental Management

25 Section 4 Implementation and Operation Crew b. fully converant with Company management ytem prior to taking command; and c. given the neceary upport o that the Mater dutie can be afely performed The Company hall enure that each hip i manned with qualified, certificated and medically fit eafarer in accordance with national and international requirement The Company hall enure that intruction, which are eential to be provided prior to ailing, are identified, documented and provided to newly aigned peronnel prior to ailing The Company hall etablih, document and maintain procedure by which the hip peronnel receive relevant information on the management ytem in a working language or language undertood by them The Company hall enure that hip peronnel are able to communicate effectively in the execution of their dutie related to the management ytem. 4.5 Training, Awarene and Competence General qe The Company hall enure that peronnel whoe reponibilitie and work activitie can affect afe operation, pollution prevention, and quality hall be competent baed upon appropriate education, training, (both externally and internally provided) kill and/or experience The Company hall q q a. determine the neceary competence for peronnel performing work affecting afety, quality or the environment; b. etablih and maintain documented procedure for identifying any training which may be required in upport of the management ytem and enure that uch training i provided for all peronnel concerned; c. evaluate the effectivene of the action taken; d. enure that peronnel are aware of the relevance and importance of their activitie and how they contribute to the achievement of the quality objective The Company hall enure that all peronnel involved in the management ytem have an adequate undertanding of relevant rule, regulation, code and guideline Appropriate record of education, training, kill and experience hall be maintained. (See 5.4) ABS Guide for Marine Safety, Quality and Environmental Management 17

26 Section 4 Implementation and Operation Management Sytem Awarene Training e The Company hall etablih and maintain documented procedure to enure that peronnel in each relevant function and level within the hore baed and hipboard organization are aware of: a. the importance of conformance with the management ytem policie and procedure and with requirement of the management ytem; b. the ignificant impact, actual or potential, of their work activitie; c. the benefit to improved peronal performance, afe operation, preervation of the environment, and quality of improved peronal performance; d. their role and reponibilitie in achieving conformance with the management ytem policie, procedure and requirement; e. their role and reponibilitie in regard to emergency preparedne and repone requirement; f. the potential conequence of departure from pecified operating procedure and requirement Familiarization Training The Company hall etablih, document and maintain procedure for enuring that new peronnel and peronnel tranferred to new aignment related to afety, protection of the environment, and quality a applicable are given proper familiarization with their dutie. 4.6 Communication qe Top management hall enure that appropriate communication procee are etablihed within the Company and that communication regarding the effectivene of the management ytem take place. e Regarding it environmental apect the Company hall etablih and maintain documented procedure for: a. internal communication between variou level and function within the Company; and b. receiving, documenting and reponding to relevant communication from external intereted partie. e The Company hall conider procee for external communication regarding it ignificant environmental apect and record it deciion. (See 5.4) All communication received from external intereted partie hall be recorded and followed up by the aigned Company peron. 18 ABS Guide for Marine, Safety and Quality Environmental Management

27 Section 4 Implementation and Operation 4.7 Document Control Sytem documentation hall conit of a. etablihed, implemented and maintained documented procedure for: 1. document and data control, including document of external origin; 2. internal audit; and 3. corrective and preventive action; 4. non-conformance, hazardou occurrence and near mie; q 5. control of quality record; (See 5.4) q q q q b. documented quality policy and quality objective c. a quality manual (thi manual may be incorporated into an exiting top tier manual) d. document required for effective planning, operation and control of it procee. e. record required to demontrate compliance with requirement and of effective operation of the management ytem. (See 5.4) Note: The documentation can be in any form or type of medium The Company hall etablih and maintain documented procedure to control all document and data relevant to the management ytem to enure that: a. valid document can be located and are available at relevant location; b. new and revied document and data are reviewed and approved, or updated and re-approved for adequacy by authorized peronnel prior to ue; c. document of external origin are to be identified and ditributed in a controlled manner d. each hip carrie aboard all internal/external documentation relevant to that hip; e. invalid or obolete document are promptly removed from all point of ue; f. any invalid or obolete document retained for any purpoe are uitably identified and prevented from unintended ue; Change and current reviion tatu of document hall be identified in the document. e Documented procedure and reponibility for the creation and modification of the variou type of document hall be aigned. qe Documentation hall remain legible and readily identifiable, maintained in an orderly manner, and indicate the date of reviion. qe Documentation hall be retained for a pecified period. ABS Guide for Marine Safety, Quality and Environmental Management 19

28 Section 4 Implementation and Operation 4.8 Operational Control The Company hall etablih and maintain procedure for the preparation of plan and intruction, including checklit a appropriate, for key hore baed and hipboard operation and activitie concerning the afety of the hip, prevention of pollution, preervation of the environment, and quality in upport of the Company policy() and objective. e Thee operation and activitie hall include, inter alia, thoe aociated with ignificant afety and environmental apect and related objective and target The Company hall etablih, implement and maintain documented intruction and procedure to enure afe operation of hip and protection of the environment in compliance with relevant international and Flag State legilation The Company hall plan thee operation and activitie in order to enure that they are carried out under controlled condition. The output of thi planning hall be in the form uitable for the Company method of operation. Controlled condition include: e a. compliance with mandatory rule, regulation, and code; b. etablihed and maintained documented procedure/ work intruction where their abence could adverely affect afe operation, the protection of the environment, and/or quality; c. properly qualified peronnel to carry out aigned tak; d. the Company permit to work ytem, which hall include meaure to enure that the condition of pace and ytem a afe or not afe for work i readily identifiable. Thee meaure hall alo include afeguard to enure that work doe not proceed unle afe condition exit. The condition of pace or ytem being worked on hall be updated a appropriate through out the coure of the work. e. etablihed and maintained documented procedure where needed to upport the realization of environmental objective and target; e f. etablihed and maintained documented procedure related to the identified ignificant environmental apect of good and ervice ued by the Company and communicating relevant procedure and requirement to ubcontractor; q q g. The availability of information that decribe the characteritic including quality objective and requirement of the ervice; h. the availability of uitable monitoring, meauring device; q i. implementation of monitoring and meaurement; q j. ue of uitable equipment and a uitable working environment; q k. validation of approved procee and equipment, a appropriate and required record; (See 5.4) q l. the implementation of releae, delivery and pot delivery activitie; 20 ABS Guide for Marine, Safety and Quality Environmental Management

29 Section 4 Implementation and Operation q qe m. record needed to provide evidence that procee are fulfilling requirement. (See 5.4) n. defined and documented operating criteria; q 4.9 Purchaing General The Company hall enure that purchaed product or ervice conform to pecified purchae requirement Evaluation of Supplier The Company hall: a. etablih criteria for election, evaluation and re-evaluation; b. evaluate and elect upplier on the bai of their ability to meet the Company requirement; c. maintain record of the reult of evaluation and action ariing thereof. (See 5.4) The Company hall define the type and extent of control to be exercied over upplier. Thee control hall be appropriate for the type of material or ervice purchaed and it actual or potential impact on the Company delivered ervice Purchaing Information Purchaing information hall clearly decribe the material or ervice to be purchaed, including where appropriate: a. the name, type, cla, tyle, grade, model, or other precie identification; b. pertinent iue of pecification, drawing, procee, and inpection requirement, and other technical data; c. requirement for approval or qualification of equipment, material, procedure, or ervice; d. the qualification and certification of peron providing a ervice; e. requirement for conformance with applicable afety, environmental, or quality ytem tandard including title, number and iue The Company hall review and approve purchaing document for adequacy of pecification of material or ervice prior to releae to the upplier Verification of Purchaed Material or Service The Company hall etablih and implement the inpection or other activitie neceary for enuring that purchaed material or ervice meet pecified requirement ABS Guide for Marine Safety, Quality and Environmental Management 21

30 Section 4 Implementation and Operation Where the Company propoe to verify purchaed material or ervice at the upplier premie, the Company hall pecify the verification arrangement and the method of material or ervice releae in the purchaing document Cutomer Property q The Company hall exercie care with cutomer property while it i under the Company control or being ued by it. The Company i reponible for identifying, verifying, protecting and afeguarding cutomer property provided for incorporation or ue in the product or provided ervice. Any uch property that i lot, damaged or otherwie unuitable for ue hall be recorded, hall be reported to the cutomer and record maintained. (See 5.4) Note: Cutomer property can include intellectual property 4.11 Preervation of Service q The Company hall preerve the conformity of the ervice during the proce of management and ervice delivery. Thi preervation hall include identification, handling, packaging, torage and protection a applicable. Preervation hall alo apply to the contituent part of the ervice Traceability q Where appropriate or a required, and in accordance with cutom and practice, the Company hall identify, record and report the progre of the voyage and charter at key point from beginning through completion and through each tage of monitoring and meaurement requirement. (See 5.4) Thi hall include ervice tatu and traceablility information uch a hip' poition, etimated time of arrival, and cargo load port, dicharge port, and location and quantity of cargo aboard hip Maintenance of the Ship and Equipment General The Company hall etablih and maintain documented procedure to enure that the hip i maintained in conformity with the proviion of the relevant rule and regulation and with any additional requirement, which may be etablihed by the Company Inpection In meeting the above requirement, the Company hall enure that: a. inpection are held at appropriate interval; b. any non-conformity i reported, with it poible caue, if known; c. appropriate corrective action i taken; and d. record of thee activitie are maintained. (See 5.4) 22 ABS Guide for Marine, Safety and Quality Environmental Management