Revoked by A.1072(28)
GUIDELINES FOR A STRUCTURE OF AN
INTEGRATED SYSTEM OF CONTINGENCY PLANNING FOR SHIPBOARD EMERGENCIES
(Adopted
on 27 November 1997)
THE ASSEMBLY,
RECALLING
Article 15(j) of the Convention on the International Maritime Organization
concerning the functions of the Assembly in
relation to regulations and guidelines concerning maritime safety and the
prevention and control of marine pollution from ships,
RECALLING
ALSO that the 1994 International Conference of Contracting Governments to the
International Convention for the Safety of Life at Sea (SOLAS), 1974, adopted
amendments to that Convention introducing, inter alia, a new chapter IX on
Management for the Safe Operation of Ships, which makes compliance with the
International Management Code for the Safe Operation of Ships and for Pollution
Prevention (International Safety Management (ISM) Code) mandatory,
BEING AWARE that shipboard emergency plans addressing
different categories of emergencies are required under the provisions of the
1974 SOLAS Convention, as amended, and the International Convention for the
Prevention of Pollution from Ships, 1973, as modified by the Protocol of 1978
relating thereto, as amended,
BEING
CONCERNED that the presence on board ships of different and non-harmonized
emergency plans may be counter-productive in case of an emergency,
RECOGNIZING
that many ships already make use of comprehensive and effective emergency
plans, such as the Shipboard Oil Pollution Emergency Plan (SOPEP),
CONSCIOUS
of the need that human element aspects are borne in mind when rules and
recommendations affecting shipboard operations are considered for adoption,
WISHING
to assist shipowners, ship operators and other parties concerned in, where this
has not yet been done, transposing the provisions regulating emergency plans
into a coherent contingency regime,
HAVING
CONSIDERED the recommendations made by the Maritime Safety Committee at its
sixty-seventh session and by the Marine Environment Protection Committee at its
thirty-ninth session,
1. ADOPTS the Guidelines for a Structure of an
Integrated System of Contingency Planning for Shipboard Emergencies, set out in
the annex to the present resolution;
2.
INVITES Governments, in the interests of uniformity, to accept the
aforementioned structure as being in conformity with the provisions for the
development of the shipboard emergency plans
required by various instruments adopted by the Organization;
3.
INVITES Governments to refer to these Guidelines when preparing appropriate
national legislation;
4.
REQUESTS the Maritime Safety Committee and the Marine Environment Protection
Committee to keep the Guidelines under review and amend them as necessary in
the light of experience gained.
GUIDELINES
FOR A STRUCTURE OF AN INTEGRATED SYSTEM OF CONTINGENCY PLANNING FOR SHIPBOARD
EMERGENCIES
These
Guidelines, prepared by the Maritime Safety Committee (MSC)
of the International Maritime Organization (IMO),
contain guidance to assist in the preparation of an integrated system of
contingency planning for shipboard emergencies. It is intended to be used for
the preparation and use of a module structure of an integrated system of
shipboard emergency plans.
The
high number of non-harmonized shipboard contingency plans justifies the
development of an integrated system and the harmonization
of the structure of contingency plans.
Shipboard
emergency preparedness is required under chapter 8 of the ISM Code referred to
in chapter IX of the SOLAS Convention, as amended, under chapter III,
regulation 24-4 of the SOLAS Convention, as adopted at the SOLAS Conference
November 1995, and under MARPOL 73/78, Annex 1, regulation 26.
To
implement the SOLAS and MARPOL regulations, there must be shipboard procedures
and instructions. These Guidelines provide a framework for formulating
procedures for the effective response to emergency situations identified by the
company and shipboard personnel.
In
this context the main objectives of these Guidelines are:
- to assist companies in translating the requirements of the
regulations into action by making use of the structure of the integrated
system;
- to integrate relevant
shipboard emergency situations into such a system;
- to assist in the development
of harmonized contingency plans which will enhance their acceptance by
shipboard personnel and their proper use in an emergency situation;
- to encourage Governments,
in the interests of uniformity, to accept the structure of the integrated
system as being in conformity with the provisions for development of shipboard
contingency plans as required by various IMO
instruments, and to refer to these Guidelines when preparing appropriate
national legislation.
1.1
The ISM Code establishes an international standard for the safe management and
operation of ships by defining elements which must be taken into account for
the organization of company management in relation to ship safety and pollution
prevention. Since emergencies, as well as cargo spillage, cannot be entirely
controlled either through design or through
normal operational procedures, emergency preparedness and pollution prevention should form part of the
company's ship safety management. For this purpose, every company is required
by the ISM Code to develop, implement and maintain a Safety Management System (SMS).
1.2
Within this SMS, procedures for describing and responding
to potential shipboard emergency situations are required.
1.3
If the preparation of response actions for the many possible varying types of
emergency situations which may occur are formulated on the basis of a complete
and detailed case-by-case consideration, a
great deal of duplication will result.
1.4
To avoid duplication, shipboard contingency plans must differentiate between
"initial actions" and the major response effort involving
"subsequent response", depending on the emergency situation and the
type of ship.
1.5
A two-tier course of action provides the basis for a modular approach, which
can avoid unnecessary duplication.
1.6
It is recommended that a uniform and integrated system of shipboard emergency
plans should be treated as part of the International Safety Management (ISM)
Code, forming a fundamental part of the company's individual Safety Management
System (SMS).
1.7
An illustration of how such a structure of a uniform and integrated system of
shipboard emergency plans with its different modules can be incorporated into
an individual SMS is shown in appendix 1.
2. Integrated system of contingency plans for
shipboard emergencies
2.1.1
The integrated system of shipboard emergency plans (hereinafter referred to as
the "system") should provide a framework for the many individual
contingency plans (hereinafter referred to as the "plans"), tailored
for a variety of potential emergencies, for a uniform and modular designed
structure.
2.1.2 Use of a modular designed structure will
provide a quickly visible and logically sequenced
source of information and priorities, which
can reduce error and oversight during emergency situations.
2.2.1
The structure of the system comprises the following six modules, the titles of
which are:
- Module I Introduction
- Module II Provisions
- Module III Planning,
preparedness and training
- Module IV Response actions
- Module V Reporting
procedures
- Module VI Annex(es).
An
example of the arrangement of these modules is shown in appendix 2.
2.2.2
Each module should contain concise information to provide guidance and to ensure
that all appropriate and relevant factors and aspects, through the various
actions and decisions during an emergency response, are taken into account.
2.3.1
The system is intended as a tool for integrating the many different plans into
a uniform and modular structured frame. The broad spectrum of the many required
plans which may be developed by a company will result in the duplication of
some elements (e.g. reporting) of these plans. Such duplication can be avoided
by using the modular structure of the system referred to in 2.2.1.
2.3.2
Although the initial action taken in any emergency will depend upon the nature
and extent of the incident, there are some immediate actions which should
always be taken - the so-called 'initial actions" (see appendix 4).
Therefore, a distinction within the plans between "initial actions"
and "subsequent response", which depends on variables like the ship's
cargo, type of the ship, etc., will help to assist shipboard personnel in
dealing with unexpected emergencies and will ensure that the necessary actions
are taken in a priority order.
2.3.3
"Subsequent response" is the implementation of the procedures
applicable to the emergency.
3.1.1
As a starting point for the preparation of the system, appendix 3 provides
guidance and a quick overview concerning the kind of information which may be
inserted into the individual system modules.
3.1.2
Above all, the system should be developed in a user-friendly way. This will
enhance its acceptance by shipboard personnel.
3.1.3
For the system as well as the associated plans to be effective it must be
carefully tailored to the individual company and ship. When doing this,
differences in ship type, construction, cargo, equipment, manning and route
have to be taken into account.
3.2
Details of the individual modules
3.2.1.1
The system should contain a module entitled "Introduction".
3.2.1.2
The content of this module should provide guidance and an overview of the
subject-matter.
3.2.1.3
The following is an example of an introductory text:
INTRODUCTION
1. The system is intended to
prepare shipboard personnel for an effective response to
an emergency at sea.
2. The prime objective of the
system is to provide guidance to shipboard
personnel with respect to the steps to be taken when an emergency has occurred or is likely
to occur. Of equal benefit is the experience of those involved in developing
the plan.
3. The purpose of the system
is to integrate contingency plans for shipboard emergency situations and to
avoid the development of different,
non-harmonized and unstructured plans which
would hamper their acceptance by shipboard personnel and their proper use in an
emergency situation. Therefore, the system
and its integrated plans should be structured and formatted in their layout and content in a consistent manner.
4. The aim of the system is
to ensure the most timely and adequate response to emergencies of varied size
and nature, and to remove any threat of serious escalation of the situation.
Additionally the system provides a structure to prevent
critical steps from being overlooked.
5. The system and associated
plans should be seen as dynamic, and should be reviewed after implementation
and improved through the sharing of experience, ideas and feedback.
6. It should be kept in mind
that there could be problems in communication
due to differing language or culture of the shipboard personnel. The system, as well as the integrated plans, will be documents used on board
by the master, officers and relevant crew members of the ship, and they must be
available in the working language of the crew. Any change in these personnel,
which results in a change in the crew's working language, requires plans to be
issued in the new language. The module should provide information to this
effect.
7. The system is to be seen
as a tool for implementing the requirements of chapter 8 of the International
Safety Management (ISM) Code, or similar regulations in other IMO instruments,*
in a practical manner.
_________________________
* Reference is made to SOLAS 74, chapter III, regulation 24-4, and to MARPOL
73/78, Annex I, regulation 26.
3.2.2.1
This module should contain information and explanations on how the system could
be developed on the basis of suggestions for improvement made by the individual
company and shipboard personnel.
3.2.2.2
The primary objective of shipboard emergency prevention, preparedness and
response activities should be to develop and implement an efficient and
effective system which will minimize the risks to human life, the marine
environment and property, with a continuous effort towards improvement.
3.2.2.3
To achieve this objective, there is a need for co-ordination of, and
consistency in, safety procedures between the company and its ships. Therefore,
the module should require that company shore-based and shipboard contingency
planning and response are consistent and appropriately linked.
3.2.2.4
Safety involves "top-down" and "bottom-up" commitment to
active development and application of safety procedures and practices by all
persons both ashore and afloat, including management.
3.2.2.5
Free and open communication when evaluating emergency procedures, taking into
consideration accidents and near misses when using this system, should be
pursued, with the objective of improving accident prevention, preparedness and
response aboard ships. The module should take care of this recommendation by
providing information for the implementation of an error-reduction strategy
with appropriate feedback and procedures for modification of plans.
3.2.2.6
In summary, the module should inform the system user about the most important
requirements with which, at a minimum, the plans should comply. The following
main elements should be addressed in the module:
- procedures to be followed
when reporting an emergency;
- procedures for
identifying, describing and responding to potential emergency shipboard
situations;
- programmes/activities for
the maintenance of the system and associated plans.
3.2.3 Module III: Planning, preparedness and
training
3.2.3.1
This module should provide for emergency training and education of shipboard
personnel with a view to developing general awareness and understanding of
actions to be taken in the event of an emergency.
3.2.3.2
The system and plans will be of little value if the personnel who are to use
them are not made familiar with them. Module III should therefore provide
practical information which enables each key member of the shipboard personnel
to know in advance what their duties and responsibilities are and to whom they
are to report under the plans.
3.2.3.3
Successful management of an emergency or marine crisis situation depends on the
ability of the shipboard personnel, the company, and external emergency
co-ordinating authorities to muster sufficient resources in the right positions
quickly.
3.2.3.4
An important goal of planning, preparedness and training programmes should be
to increase awareness of safety and environmental issues.
3.2.3.5
Training and education should be at regular intervals and, in particular, be
provided to shipboard personnel transferred to new assignments.
3.2.3.6
Records of all emergency drills and exercises conducted ashore and on board
should be maintained and be available for verification. The drills and
exercises should be evaluated as an aid to determining the effectiveness of
documented procedures and identifing system improvements.
3.2.3.7
When developing plans for drills and exercises, a distinction should be made
between full-scale drills involving all of the parties that may be involved in
a major incident and exercises limited to the ship and/or the company.
3.2.3.8
Feedback is essential for refining emergency response plans and emergency
preparedness based on the lessons learned from previous exercises or real
emergencies, and provides an avenue for continuous improvement. Feedback should
ensure that the company, as well as the ship, is prepared to respond to
shipboard emergencies (see summarizing flow diagram in appendix 1).
3.2.3.9
In conclusion, the module should, as a minimum, provide information on the
procedures, programmes or activities developed in order to:
- familiarize shipboard
personnel with the provisions of the system and plans;
- train and educate
shipboard personnel transferred to new assignments about the system and plans;
- schedule regular drills
and exercises to prepare shipboard personnel to deal with potential shipboard
emergency situations;
- co-ordinate the shipboard
personnel and the company's actions effectively, and include and take note of
the aid which could be provided by external emergency co-ordinating
authorities;
- prepare a workable
feedback system.
3.2.4 Module IV: Response actions
This
module should provide guidance for shipboard personnel in an emergency when the
ship is under way, berthed, moored, at anchor, in port or in dry dock.
3.2.4.1
In an emergency, the best course of action to protect the personnel, ship,
marine environment and cargo requires careful consideration and prior planning.
Standards for shipboard procedures to protect personnel, stabilize conditions,
and minimize environmental damage when an incident occurs should therefore be
developed.
3.2.4.2
In this context reference is made to the guidelines already developed by the
Organization,* which contain information to provide a starting point and to
assist personnel in the preparation of plans for individual ships.
__________________________________
* Reference is made to
Guidelines for the development of Shipboard Oil Pollution Emergency Plans (see
resolution MEPC.54(32)). Reference is also made to Guidelines for the development of
Shipboard Marine Pollution Emergency Plans under consideration by the
Organization (see BCH 24/WP.8).
3.2.4.3
The variety of plans to be incorporated into the system should be simple
documents which outline procedures different from those used for daily routine
operations. With normal operational procedures very difficult problems can be
handled, but an emergency situation, whether on the ship at sea or in a port,
can extend those involved beyond their normal capabilities.
3.2.4.4
In order to keep the plans held by ship and shore identical, and to reduce
possible confusion in an emergency as to who is responsible for which action,
plans should make clear whether the action should be taken by shipboard
personnel or shoreside personnel.
3.2.4.5
Taking these particulars into consideration, the module "Response
actions" should comprise main groupings of emergency shipboard situations.
3.2.4.6
Potential emergency situations should be identified in the plans, including,
but not limited to, the following main groups of emergency:
.1 Fire
.2 Damage to the ship
.3 Pollution
.4 Unlawful acts threatening
the safety of the ship and the security of its passengers and crew
.5 Personnel accidents