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GUIDE FOR MARINE HEALTH, SAFETY , QUALITY , ENVIRONMENTAL AND ENERGY MANAGEMENT

GUIDE FOR MARINE HEALTH, SAFETY , QUALITY , ENVIRONMENTAL AND ENERGY MANAGEMENT APRIL 2020 American Bureau of Shipping Incorporated by Act of Legislature of the State of New York 1862 © 2020 American Bureau of Shipping. All rights reserved. 1701 City Plaza Drive Spring, TX 77389 USA Foreword (1 April 2020) The significant impact of management practices on the safe operation of ships has been recognized for some time. The General Assembly of the International Maritime Organization requested the Maritime Safety Committee, by resolution A.596(15), to develop, as a matter of urgency, guidelines concerning shipboard and shore-based management, and to include in the work program of both the Maritime Safety Committee and the Marine Environment Protection Committee an item on shipboard and shore-based management for the International Safety Management Code (ISM Code). The ISM Code was developed by the International Maritime Organization to provide the maritime community with an internationally recognized standard for the safe management and operation of ships and for pollution prevention. Initially adopted as resolution A. 741(18), it later was incorporated into Chapter IX of the SOLAS convention and became mandatory for oil tankers, chemical tankers, bulk carriers and cargo high-speed craft of 500 gross tonnage and upwards, and for passenger ships including passenger high-speed craft from 1 July 1998. Other cargo ships and self-propelled mobile offshore drilling units (MODUs) of 500 gross tonnage and upwards, subject to SOLAS, were required to comply by 1 July 2002. Other management system standards have been developed, notably ISO 9001, ISO 14001, ISO 45001 and ISO 50001, non-specific to the maritime industry, which address management practices from the perspective of controlling quality, environmental impacts, energy performance and occupational health hazards. These standards, though not specific to the marine industry, provide useful guidance that can be employed in marine management and the operation of ships to further enhance management systems focused on the safe operating practices and prevention of pollution. The general management system principles embodied by the ISM Code, ISO 9001, ISO 14001, ISO 45001 and ISO 50001 have been incorporated in this Guide. These principles, where appropriate, have been "marinized" in order to bring them within the concept of the industry itself. This revision of the Guide incorporates changes to the requirements identified in ISO 50001:2018 standard and ISM code 2018 edition. Additionally, requirements of OHSAS 18001 were replaced with the ISO 45001:2018 standard. Proper implementation of these requirements should assist the Company to take a risk-based approach and establish controls as appropriate. ABS offers this Guide to the maritime industry as a tool for enhancing marine management practices and further supporting responsible management in the operation of ships, the prevention of pollution, and improved energy performance. This Guide becomes effective on the first day of the month of publication. Users are advised to check periodically on the ABS website www.eagle.org to verify that this version of this Guide is the most current. We welcome your feedback. Comments or suggestions can be sent electronically by email to rsd@eagle.org. ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT • 2020 ii GUIDE FOR MARINE HEALTH, SAFETY , QUALITY , ENVIRONMENTAL AND ENERGY MANAGEMENT CONTENTS SECTION 1 General..................................................................................................5 1 General...........................................................................................5 1.1 [s] Scope and Application.................................................. 5 1.2 Certification........................................................................7 1.3 [s] Definitions..................................................................... 9 SECTION 2 Context, Leadership and Policy....................................................... 14 2 Context, Leadership and Policy....................................................14 2.1 Context of Company........................................................14 2.2 Leadership and Commitment...........................................15 2.3 Policy............................................................................... 16 SECTION 3 Planning..............................................................................................18 3 Planning........................................................................................18 3.1 General............................................................................18 3.2 Environmental Aspects....................................................19 3.3 Energy Review, Performance Indicators and Baseline....19 3.4 Hazard Identification, Risk Assessment, Actions to address Risk and Opportunities.......................................21 3.5 Compliance Obligations...................................................22 3.6 Objectives and Targets.................................................... 23 3.7 Planning to Achieve Objectives....................................... 24 3.8 Planning for Change........................................................24 3.9 Customer Requirements..................................................25 3.10 Management System.......................................................26 SECTION 4 Implementation and Operation.........................................................28 4 Implementation and Operation..................................................... 28 4.1 Resources, Roles, Responsibility, Accountability, and Authority...........................................................................28 4.2 Infrastructure....................................................................28 4.3 Environment for Operation of Shore Based and Shipboard Services..........................................................29 4.4 Designated Person(s)......................................................29 ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT • 2020 iii 4.5 Master’s Responsibility and Authority..............................29 4.6 Shipboard Personnel....................................................... 30 4.7 Competence, Training, and Awareness...........................30 4.8 Communication, Participation, and Consultation.............31 4.9 Control of Documented Information.................................33 4.10 Operational Control..........................................................34 4.11 Control of Externally Provided Processes, Products and Services....................................................................36 4.12 Property Belonging to Customers or External Providers..........................................................................38 4.13 Preservation of Service....................................................38 4.14 Identification and Traceability.......................................... 38 4.15 Maintenance of the Ship and Equipment.........................38 4.16 Monitoring and Measuring............................................... 38 4.17 Emergency Preparedness and Response.......................39 4.18 [En] Design...................................................................... 40 4.19 Eliminating Hazards and Reducing OH&S Risks.............40 4.20 Management of Change.................................................. 41 SECTION 5 Performance Evaluation ...................................................................42 5 Performance Evaluation .............................................................. 42 5.1 Monitoring, Measurement, Analysis and Evaluation........42 5.2 Control of Incident, Nonconformity and Corrective Action...............................................................................44 5.3 Internal Audit....................................................................45 SECTION 6 Management Review and Improvement...........................................47 6 Management Review and Improvement.......................................47 6.1 Management Review.......................................................47 6.2 Improvement....................................................................48 APPENDIX 1 Cross References.............................................................................. 50 APPENDIX 2 Supplemental Requirements of the ISM Code................................ 53 13 Certification and Periodical Verification (ISM Code Part B) .........53 14 Interim Certification ......................................................................54 15 Verification ................................................................................... 55 16 Forms of Certificates ....................................................................55 APPENDIX 3 Terms and Conditions for the use of “ABS SMS Certified" and “ABS HSQEEn Certified” Logos............................................... 56 ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT • 2020 iv S E C T I O N 1 General 1 General 1.1 [s] Scope and Application (1 April 2020) The ABS Guide for Marine Health, Safety, Quality, Environmental and Energy Management or the ABS Guide for Marine Management Systems in short, has been developed with the objective of assisting shipowners, managers, and operators to improve the safety, environmental and energy performance in the management and operation of ships. ABS recognizes the positive impact that sound management practices may have upon these areas of concern. This Guide provides the maritime industry with a model for implementation of an Integrated Management System covering these key issues. This Guide is intended for the use of Companies operating all types of ships. Its requirements have been stated in general terms in order to have application to a wide variety of ship operations and management styles. (ISM Code 1.3) The requirements of this Guide have been largely derived from the sound management system principles reflected in the requirements of the: ● ISM Code - International Management Code for the Safe Operation of Ships and for Pollution Prevention (also known as the “International Safety Management Code”), ● ISO 9001:2015 - Quality management systems – Requirements, ● ISO 14001:2015 - Environmental management systems – Requirements with guidance for use, ● ISO 50001:2018 - Energy Management Systems – Requirements with guidance for use ● ISO 45001:2018 - Occupational health and safety management systems – Requirements with guidance for use. Though the requirements of this Guide have been intended to encompass the requirements of these referenced standards, users of this Guide are encouraged to obtain for themselves copies of these standards for reference. These standards and others associated with them, contain valuable information and guidance useful in understanding the fundamentals and implementation of viable management systems. Though this Guide has been developed principally as a management system model for occupational health, safe operation, prevention of pollution, preservation of the environment, and improved energy performance, quality concerns are also addressed. While quality management focuses principally upon enhancing customer satisfaction and encouraging fulfillment of customer requirements for quality, ABS considers that the employment of quality principles can have a significant positive impact on achieving goals and objectives in the areas of safety and environmental management. The quality system requirements of this Guide provide prescriptions that are intended to help enhance a health, safety, environmental, and energy management system’s effectiveness. Note: This Guide has excluded section 8.3 of the ISO 9001:2015 standard, Design and Development of products and services. It is recommended that this element of the ISO standard should not be excluded from the Company’s management system if they have any input to the design of a vessel they are building, intend to build or a vessel they are modifying to their specific requirements. Companies applying for certification to this Guide may not be required to have this element in the scope of their audit. No other exclusion to the requirements of this Guide is permitted. ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, ENVIRONMENTAL AND ENERGY MANAGEMENT • 2020 5 This Guide is designed to facilitate a progressive approach to an integrated management system of occupational health, safety, quality, environmental and energy concerns. The Guide identifies requirements in five categories. The categories are identified to the left of the corresponding requirement by an “s”, “q”, “e”, “h” or “En” and are explained below. Requirements identified by an “s” are safety management requirements. These requirements are based mainly upon the requirements of the ISM Code but also include additional prescriptive requirements that ABS considers will enhance the goals and objectives to be achieved within this area. Safety management requirements provide the baseline requirements of this Guide and contain a number of requirements also applicable to quality, environmental, occupational health & safety, energy management. These “s” requirements are the baseline and uploads/Management/ mhqe-guide-apr20.pdf