HLB ISM SMM rev2

Hermann Lohmann Schiffsverwaltungs GmbH

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Chapter 5 Resources & Personnel

5.1 Qualification Requirements for Master and Chief Engineers

Master

The Company appoints only Masters with full qualifications for the trade they will sail in as stated in the STCW-95 and Flag State requirements.

If practicable, the appointed and new Master will do one trip for familiarisation together with the Master he is going to relief.

Masters will be recruited from servicing Chief Officers in the fleet to ensure that they are qualified for this job. If no qualified Chief Engineer is able or willing to become a Captain the MD will try to hire an external Master.

The qualification of the Company’s Masters is being checked by:

-control of their certificates

-control of records of former employers

New assigning Masters who are joining the Company have to receive an introduction/update of the existing SMS. After having received this information Master is to sign Form Sheet to evidence that he has received training.

Chief Engineer

The Company appoints Chief Engineers only with full qualifications for the trade and engine they will sail with as stated in the STCW-95 and Flag State requirements.

If practicable, the appointed and new Chief Engineer will do one trip for familiarisation together with the Chief Engineer he is going to relief.

5.2 Qualification Requirements for seagoing personnel

The Company will only recruit seagoing personnel with full qualification for the duties they will have to fulfil on board. Seagoing personnel must have all requirements and certificates stated in the STCW-95 and Flag State requirements.

5.3 Recruitment of seagoing personnel

5.3.1Scope

Defining the controls and activities required to ensure that

-new crewmembers have all their certificates according to STCW-95

-new crewmembers are able to speak and understand English fluently

-new crewmembers are fully qualified for their duties

5.3.2Responsibilities

Responsible for the recruitment of personnel is the Managing Director and he has to ensure that

-only crewmembers with valid certificates according to STCW-95 are recruited

-all crewmembers are qualified for their duties

-recruitment of crewing agents is monitored

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5.3.3Recruitment

A personal record is needed for recruitment together with all components and relevant licenses. The Managing Director respectively his employed Crewing Agency will decide if the applicant is fully qualified or not.

5.3.4Recruitment by a Crewing agency

If crewing is done by a Crewing Agency the monitoring of the recruitment is done by this Crewing Agency.

The Crewing Agency should be audited regularly every two years.

If auditing of the Crewing Agency is impossible the monitoring will be done in checking up the following items:

1.recruitment is done by the Crewing Agency

2.to ensure that only qualified crewmembers will work on ships of the Company the Crewing Agency will send a copy of all relevant certificates and documents of the new crewmember to the Company

3.the Managing Director will check this documents

4.If a non-conformity can be investigated by the Managing Director he will contact the Crewing Agency

5.In case a computer assisted information system can be used to get all available data of the crewmember this system will be implemented to and used in the Company

5.3.5Captain’s verification

To ensure that all information is correct the Captain will check the licenses and documentation of each/the new crewmember.

The Crewing Agency is offering a computer assisted information system, and thus it is not necessary to send a Crew List from Ship to Shore at any time.

5.4 Familiarisation for new Crew

Following rules to a personnel who is new, or is transferred to new assignments, it has been defined when and how proper familiarisation with their duties related to safety and protection of the environment are given. These familiarisation instructions are identified and documented, and are given PRIOR to sailing, such as:

-Providing introduction familiarisation on the ship, its equipment and the SMS upon joining, under the direction of the Safety Officer

-The familiarisation form REP18 has to be used

-Verification of knowledge by Master by means of interviewing in the working language

“English”, checking the Certificates and the validity of health Certificates and that they stay valid throughout the seafarers contract

to ensure that all personnel involved in The Company’s SMS have an adequate understanding of relevant rules, regulations, codes and guidelines.

5.5 Masters and Officers handover notes

The following Handover Notes have to be used:

-Handover Note Master MR 06

-Handover Note Chief Engineer MR 07

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5.6Introduction to applicable Safety Rules & Regulations

Ship’s Personnel

All operational personnel involved in the SMS shall have an adequate understanding of relevant rules, regulations, codes ad guidelines. All the relevant rules and regulations have to be in English language onboard the ship.

The relevant rules and regulations which personnel shall have an adequate understanding of, are (but not limited to):

-International Convention for the Safety of Life at Sea, 1974

-International Convention for the Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978, relating thereto

-Convention of the International Regulations for Preventing Collisions at Sea, 1972

-International Convention on Load Lines, 1966

Shore Personnel

The qualification and certification of shore personnel have been defined on the basis of specialize regarding trade and technical vessel features.

Additional requirements are defined during the Management Review when Training Needs are investigated. Following is considered:

-additionally required skills

-newly required or wanted certificates

-necessity for additional training

5.7Identification of Training Needs

Training Needs will be identified by means of regular Safety Committee Meetings, where all safety relevant matters, non-conformities and near misses depending to the specific ship will be discussed and analysed.

The Captain too should be used to identify relevant Training Needs.

Management Reviews are a fortunate instrument to identify Training Needs, when overviews and analyses of a whole year is discussed. Management Reviews can be used to find tendencies of Training Needs even for the whole Company.

5.8 Language Requirements

The working language aboard is English. Every working and Safety Instruction has to be given in English language. So every Crew Member has to be able to speak fluently and understand the English language.

Information on the SMS to the vessels are given in the working language (English) or any other language (even German) understood by the individual Crew Member.

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5.8.1 Verification

-Requirements in contracts with the Crewing Agency

-Verification: Interview with the MD/Master when joining

5.9Safety Committee Meeting 5.9.1 Scope

Defining the controls and activities required to ensure that:

-Safety Committee Meeting are planned and carried out fortnightly

-All Non-Conformities, Near Misses, Critical Shipboard Operations found out by several crew members are documented

-The SMS is working effectively

-Corrective actions are discussed and implemented

-The Drills are planned and realized in accordance with the Annual Drill plan

with the objective to control activities to Quality, Safety and Pollution Prevention on board and improve activities.

5.9.2 Process

5.9.2.1 Planning and preparing the Safety Committee Meeting

The Master is responsible that at the end of each month a Safety Committee Meeting is held. The Meeting will be prepared by the Safety Officer on board. He has to ensure that all Officers and one applied member of the Crew will attend this Meeting. He will prepare the content of the Meeting.

5.9.2.2 Performing the Meeting

The Safety Officer or his substitute will prepare the content and a schedule for the Meeting. In the meeting the following items should be discussed (but not limited to):

-all relevant Safety Matters

-maintenance

-drills, training needs

- identification of:	- critical shipboard operation
	- critical equipment
	- emergency situations

-Non-Conformities

-Near misses

-Incidents

-Crew related matters

-Corrective actions

All important matters will be documented in Form REP02.

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5.9.2.3 Reporting and Documentation

A routine Safety Committee Meeting (SCM) will be documented in Form MR 01 and signed by both the Safety Officer and the Master. A copy of the SCM shall be sent together with other monthly mail to the Company. The filed of ‘Safety Committee Meetings’ to be filed together with other

ISM-related reports in the folder “ISM Reports”. In case a Non-Conformity-Report has to be opened or other incidents respectively important matters are investigated, the Master will send a report to the office for verification.

5.10Resource Planning

5.10.1Personnel

The Company is making sure that ships and departments of the Company do have enough personnel resources at any time in order to fulfil the requirements of the Quality and Security System and to accomplish the tasks of the Company.

5.10.2 Resources and Infrastructure

The Management is taking care that the Company and the personnel is being furnished with sufficient resources to keep the daily operation of the Company running.

The Infrastructure shall correlate present standards.

5.10.3 Responsibilities

Responsible for resource planning is the Master aboard or the head of a department.

He/The person has to ensure that

-the use of resources is planned effectively

-resources are ordered in an adequate time

-no process ashore and on board the ships has to be stopped in default of resources

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Chapter 6 Emergency Prepardness

6.0 General

Safety of Life is of highest priority.

The Company Organisation maintains a comprehensive EMERGENCY RESPONSE PLAN to control and handle emergencies.

Office Managers and Masters have to ensure that

-regular training exercises and drills are conducted to ensure readiness for emergencies in accordance with the training matrix MR 08 and the Emergency Response Plan

-internal and external channels of communication should be tested and deputies for key personnel to be identified

-also ship/shore-training will be conducted regularly and in line with Flag State requirements.

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Chapter 7 Reports and Analysis of Non-Conformities,

Accidents and hazardous occurrences

7.1 General

Procedures are established

1.) ensuring that Non-Conformities, accidents and hazardous situations are reported to The Company, investigated and analysed with the objective of improving safety and pollution prevention

2.) for the implementation of corrective action.

An incident is an undesired event which could or does result in total loss. Incidents include accidents, Non-Conformities, Near-Misses, recommendations, condition of Class and hazardous occurrences. When despite all precautions an incident occurs there should be an investigation of the circumstances and causes. Reporting, recording and analysis are an important part of the Company’s policy, safety and pollution prevention programme. Investigations of incidents on shore, is the responsibility of the Managing Director, aboard of the Master.

7.2 Scope

Defining the controls and activities required to ensure that

-Non-Conformities, accidents and incidents are reported to the Company

-Appropriate corrective action is carried out, verified and analysed with the objective of improving safety and pollution prevention

7.2.1 Reporting – Recording

Procedures are in place for reporting all Non-Conformities including those involving injury, occupational illness, explosion, fires, loss of containment, near misses property damage, pollution and Non-Conformities.

Incident reports and Non-Conformity Reports are suitable for systematic recording and analysis of causes and trends. The reports shall be completed by the Managing Director / Master respectively his nominated substitute.

The quality of the reporting shall be monitored by the DPA respectively his nominated substitute.

Incident records and Non-Conformity Reports shall be kept in file by the DPA.

7.2.2 Investigation

Those who are given the responsibility for conducting the investigation into the incident shall be competent for this task and be familiar with the operation involved in the accident. These are normally the Officers and Masters on board, because they do have the best knowledge of the immediate circumstances. The degree of thoroughness of the investigation should be determined not only by the significance of the actual loss but also by that potential loss.

As a near miss is much easier to overlook, or even conceal then an accident, staff should be encouraged to report the apparently unimportant near-miss just as conscientiously as serious accident, being assured that no blame or ridicule will follow. If fewer Near Misses than accidents are being reported, the system is clearly failing to capture useful information!

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7.2.3 Cause Analysis

Investigation should always include thorough analysis of the cause. This involves the identification of all immediate causes or symptoms of the incident that are considered to be sub-standard practices or conditions. The investigation should then consider the basic causes that lie behind the immediate causes, and which are related to personal and job factors. Experience shows that accidents are seldom, if ever, the result of a single cause.

7.2.4 Responsibilities

It is the Managing Director for the shore departments and the Master for ship, who are responsible to

-Near Misses that can be analysed directly on board if they are not serious

-ensure that standard Non-Conformity Report forms are being used and properly completed, allowing underlying causes to be identified, statistical information to be collected and potential loss to be evaluated

-perform the first review of both reported cause and recommended actions. At this level reports, which inadequately analysis underlying causes and/or failed to make effective recommendations, shall be returned to the originator for completion

7.3Process

1.Any employee that is involved in or witnesses an accident, hazardous occurrence or Non-

Conformity (further mentioned as ‘incident’) in or involving the ship, or any person on board, shall verbally report this to his/her head department (e. g. Chief Officer, Chief Engineer or Chief Cook). These may also be recognised from the review of Non-Conformity Reports. The relevant head of a department shall use all available information to complete an Master Report (Form MR 13). This form shall be submitted to the Master for onward transmission to the Company. A copy shall be retained aboard.

2.The head of the department shall take whatever action is necessary or possible to correct the situation, at lest in the short term. This action shall be entered into the Incident Report Form.

3.After Review of the Report the DPA shall determine which department is required to discuss corrective actions.

4.As a result of this discussion the DPA shall advise such corrective action. Such corrective action shall be recorded on the Master Report form.

5.The departmental head or the Master concerned shall implement the corrective action. The effectiveness of this corrective action is verified after a suitable period of time by a superintendent who reports to the DPA.

6.If upon receipt of a report or at the office review it is decided that a particular incident may have relevance aboard other ships within the fleet. The DP shall ensure that a copy of the corresponding Incident Report, results of analysis and any other applicable information is forwarded to those ships at the earliest opportunity.

7.A record of which ships have received what information shall be kept.

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7.4 Risk Assessment

7.4.1 Purpose

The company has encountered shipboard operations and procedures, which have the potential to affect the safety of personnel, passengers, ship and the environment if not handled correctly and professionally. These procedures will be reviewed permanently and be changed as necessary in controlled manner.

The purpose of this procedure is to identify risks, perform and demonstrate a systematic examination of identified risks to the ship, her crew and her passengers as well as to the environment with the aim to eliminate or reduce them to an acceptable level.

7.4.2 Reference

ISM Code latest vers., Maritime Labour Convention (MLC 2006).

7.4.3 Responsibilities

The department heads are responsible that risk assessments will be carried out and recorded in their departments.

Service technicians may also perform some kind of risk assessments.

7.4.4 Procedure

7.4.4.1 General

First of all, the potential risk must be identified.

If it has been identified already and is covered by an existing procedure (Bunkering, Voyage Planning, Disease prevention, Working aloft, Entry into enclosed spaces, etc) it is required to include the existing measures in the risk assessment procedure.

As a result, records of already identified risks may take many forms including below mentioned forms/checklists, minutes of meetings, safety meeting/committee reports, observation notes, hazard registers, notes in log books, etc.

Risk assessments shall also be carried out to identify potentially dangerous or hazardous shipboard operations, which are not yet laid down in written form. The detailed description how to conduct a risk assessment can be found in “The Code of Safe Working Practices for Merchant Seamen”, which is available on board.

The Formal Risk Assessment is to be used to record the evaluation process.

7.4.4.2 What should be assessed?

The assessment should cover the risks arising from the work activities of workers on the ship. The assessment is not expected to cover risks, which are not reasonably foreseeable.

Department heads are advised to record the significant findings of their risk assessment. Risks, which are found to be trivial, and where no further precautions are required, need not be recorded.

All other extra-ordinary jobs shall be identified and assessed.

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7.4.4.3Examples

Anchoring (Hazard: Rust, Slipping, …)

Running gear (turning by starting air, turning gear, …)

Drill & Grinding Machine (hit of clothes in rotating parts, ...)

Working in Mast (Falling down, radar radiation, …)

Hot Work (electric burn, thermal burn, ...)

Repair of electrical Equipment under Voltage (electrical shock, …)

Portable Ladders (Fall down, …)

Receive of Provision (Falling down of provision, slip on deck, …)

Work with Chemicals (chemical burn, corrosive, …)

Turning works (hit of clothes in rotating parts, ...)

Greasing of Wires (falling down, radar radiation, ...)

Washing decks (Falling down, electrical shock, slip on deck,…)

Welding Works (hit of eyes, skin burning,…)

Fresh Water Disinfection (chemical burn,…)

7.4.4.4Elements of a Risk Assessment

Identify Risk

	Ensure	Existing Controls?
	effectiveness

Review adequacy

Estimate Risk

Implement

Preventive Tolerability?

Measures

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