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Guide for Marine Health, Safety, Quality and Environmental Management GUIDE FOR

Guide for Marine Health, Safety, Quality and Environmental Management GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT AUGUST 2009 (Updated November 2010 – see next page) American Bureau of Shipping Incorporated by the Legislature of the State of New York 1862 Copyright © 2009 American Bureau of Shipping ABS Plaza 16855 Northchase Drive Houston, TX 77060 USA Updates November 2010 consolidation includes: • July 2010 version plus Corrigenda/Editorials July 2010 consolidation includes: • March 2010 version plus Notice No. 2 and Corrigenda/Editorials March 2010 consolidation includes: • August 2009 version plus Notice No. 1 GUIDE FOR MARINE HEALTH, SAFETY, QUALITY AND ENVIRONMENTAL MANAGEMENT AUGUST 2009 Guide to Color Coding Used in Online Version of the Guide The following summarizes the colors corresponding to Rule Changes, Corrigenda items and editorial changes in the Guide files which are available for download. Rule Changes: Changes effective August 2009 NOTICE NO. 1 – March 2010 (effective 1 July 2010) NOTICE NO. 2 – July 2010 (effective 1 July 2010) Corrigenda: CORRIGENDA/EDITORIALS – 1 July 2010 CORRIGENDA/EDITORIALS – 1 November 2010 Editorials: Editorial Changes ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 iii Foreword Foreword 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 and OHSAS 18001, non-specific to the maritime industry, which address management practices from the perspective of controlling quality, occupational health hazards and environmental impact. 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 and OHSAS 18001 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. In this revision of the Guide, changes to the Standard for Quality Management Systems – Requirements (ISO 9001:2008) have been taken into account. The 2008 edition of the ISO 9001 Standard is focused on clarification of the ISO 9001:2000 Standard. The standard was amended to clarify points within the text and to enhance compatibility with ISO 14001:2004. Also amendments to the ISM Code contained in IMO Res. MSC.273(85) have been incorporated. 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 and prevention of pollution. This page intentionally left blank ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 v Table of Contents GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT CONTENTS SECTION 1 General..............................................................................1 1.1 Scope and Application .......................................................1 1.2 Certification ........................................................................3 1.2.1 General .............................................................................3 1.2.2 Certification Process .........................................................4 1.2.3 Representations ................................................................4 1.2.4 Termination .......................................................................5 1.2.5 Audit Guidelines ................................................................5 1.3 Definitions...........................................................................5 SECTION 2 Policy.................................................................................9 2.1 General Requirements.......................................................9 2.2 Occupational Health, Safety, and Environmental Policy..................................................................................9 2.3 Quality Policy ...................................................................10 SECTION 3 Planning..........................................................................11 3.1 Environmental Aspects ....................................................11 3.2 Hazard Identification, Risk Assessment, and Risk Control..............................................................................11 3.3 Legal and Other Requirements........................................12 3.4 Health, Safety, and Environmental Objectives and Targets .............................................................................13 3.5 Quality Planning and Objectives ......................................14 3.6 Customer Focus...............................................................14 3.6.1 General ...........................................................................14 3.6.2 Determination of the Requirements Related to Management of Ships (other services)............................15 3.6.3 Customer Communication...............................................15 3.6.4 Customer’s Records........................................................15 3.7 Management Programs....................................................15 3.7.1 General ...........................................................................15 3.7.2 Management Commitment..............................................16 3.7.3 Management System Documentation .............................16 vi ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 SECTION 4 Implementation and Operation ..................................... 19 4.1 Resources, Roles, Responsibility, Accountability, and Authority........................................................................... 19 4.2 Designated Person(s)/Quality Management Representative/Environmental Management Representative(s)/OH&S Management Representative ................................................................ 20 4.3 Master’s Responsibility and Authority.............................. 20 4.4 Shipboard Personnel ....................................................... 21 4.4.1 Master’s Qualification and Support................................. 21 4.4.2 Crew............................................................................... 21 4.5 Competence, Training, and Awareness ......................... 21 4.5.1 General........................................................................... 21 4.5.2 Management System Awareness Training..................... 22 4.5.3 Familiarization Training .................................................. 22 4.6 Communication, Participation, and Consultation............. 23 4.7 Control of Documents...................................................... 23 4.8 Operational Control.......................................................... 24 4.9 Purchasing....................................................................... 26 4.9.1 General........................................................................... 26 4.9.2 Evaluation of Suppliers................................................... 26 4.9.3 Purchasing Information .................................................. 26 4.9.4 Verification of Purchased Materials or Service............... 27 4.10 Customer’s Property........................................................ 27 4.11 Preservation of Service ................................................... 27 4.12 Traceability ...................................................................... 27 4.13 Maintenance of the Ship and Equipment ........................ 27 4.13.1 General........................................................................... 27 4.13.2 Inspections ..................................................................... 37 4.13.3 Critical Equipment and Systems..................................... 28 4.14 Emergency Preparedness and Response....................... 28 4.14.1 General........................................................................... 28 4.14.2 Emergency Plans ........................................................... 28 4.14.3 Drills and Exercises........................................................ 28 SECTION 5 Measurement, Analysis, and Improvement ................. 29 5.1 Monitoring and Measurement.......................................... 29 5.1.1 General........................................................................... 29 5.1.2 Monitoring and Measurement......................................... 30 5.1.3 Inspection and Test Records.......................................... 30 5.1.4 Control of Monitoring and Measuring Equipment (MMEs)........................................................................... 30 5.1.5 Analysis of Measurements and Improvement................. 31 5.2 Control of Nonconforming Materials, Equipment, or Cargo Spaces.................................................................. 32 5.3 Nonconformity, Incident Investigation, Corrective and Preventive Action...................................................... 32 5.4 Control of Records........................................................... 34 5.5 Internal Audit ................................................................... 34 ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 vii SECTION 6 Management Review......................................................37 APPENDIX 1 Correspondence Between ISM Code, ISO 9001:2008 & ISO 14001:2004, OHSAS 18001:2007, and ABS HSQE Guide....................................................................39 APPENDIX 2 Supplemental Requirements of the ISM Code ............43 APPENDIX 3 Terms and Conditions for the Use of “ABS SMS Certified” and “ABS HSQE Certified” Logos...............47 This page intentionally left blank ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 1 Section 1: General GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT s 1 GENERAL 1.1 Scope and Application The ABS Guide for Marine Health, Safety, Quality and Environmental Management has been developed with the objective of assisting shipowners, managers, and operators to improve the safety and environmental performance in the management and operation of ships. ABS recognizes the positive impact that sound management practices have upon these areas of concern. This Guide provides the maritime industry with a model for implementation of management systems concerned with these 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. The requirements of this Guide have been largely derived from the sound management system principles reflected in the requirements of the “International Management Code for the Safe Operation of Ships and for Pollution Prevention” (also known as the “International Safety Management Code”, or more commonly as the “ISM Code”), “Quality management systems – Requirements” (ISO 9001:2008), “Environmental management systems – Requirements with guidelines for use” (ISO 14001:2004), and “Occupational health and safety management systems – Requirements” (OHSAS 18001:2007). 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 and preservation of the environment, 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, and environmental management system’s effectiveness. Section 1 General 2 ABS GUIDE FOR MARINE HEALTH, SAFETY, QUALITY, AND ENVIRONMENTAL MANAGEMENT . 2009 Note: This Guide has excluded section 7.3 of the ISO 9001:2008 standard, Design and Development. 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 uploads/Management/ pub92-mhsqe-guide.pdf