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Lloyd’s Register Educational Trust
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                                                Page 0                                            Pages 0-5

The International Maritime
Human Element
Issue No. 25 January 2011
ISSN 1747-5015

         R   esponsibilities come before
             skills. Each of the Alert!           It’s all about
         bulletins in this series is about
         defining the responsibilities of a
         particular stakeholder group with
         respect to addressing the Human
         Element. From these we intend
         to develop descriptions of the
         knowledge and skills necessary to
         discharge those responsibilities.        W     hat are the human element
                                                        knowledge and skills required
                                                  to ensure the safe conduct of the ship,
                                                                                              orchestra: The ultimate success of any
                                                                                              orchestra lies with its musicians; each
                                                                                              is highly trained and is part of a smaller
         But, we would not be ‘user-              the safe and timely delivery of its cargo   team (strings, brass, woodwinds,
         centred’ if we did this on our
                                                  and, the health, safety and wellbeing of    percussion etc) within the orchestra.
         own. Contributions from those
                                                  the crew? A look at the Centrespread        As a group they must be able to follow
         who have already benefited from
                                                  feature in this Issue will reveal that      the score to the note. If one member
         the right training and experience
                                                  they are many and varied. It is not just    of the orchestra makes a mistake, it
         will be essential to ensure that we
                                                  about having an understanding of and        will be evident not only to the rest of
         get it right. What we offer in the
         centrespreads will serve as a ‘first     implementing the various rules and          the orchestra but also to the audience.
         draft’, which we will ultimately         regulations, and being aware of human
                                                                                              The conductor needs to understand
         develop through the Alert!               capabilities and the influence of the
                                                                                              the musical score as it is written
         website, with a view to providing        designed environment – although
                                                                                              and then lead a large and diverse
         a comprehensive human element            these are all important – it is also
                                                                                              group of musicians playing different
         skills framework for all the             about good leadership, effective two-
                                                                                              instruments to achieve a harmonious
         various stakeholders by the end          way communication, teamwork and
                                                                                              and sensitive delivery of the music.
         of this series of bulletins.             empowerment from the top down,
                                                                                              He has to deal with the differing
         Feedback, therefore, is essential        both ashore and afloat.
                                                                                              strengths,     needs,   sensitivities
         – and very welcome.
                                                  It is encouraging to note the 2010          and communication styles of the
         Through the Alert! bulletins and         Manila amendments to the STCW               members of his orchestra. He is, of
         the website, we seek to represent        Code which mandates for training            course, supported and directed by a
         the views of all sectors of the          in bridge and engine room resource          management team overseen by the
         maritime industry on human               management and includes the applic-         Board of Directors.
         element issues. Contributions for        ation and use of leadership, managerial
         the Bulletin, letters to the editor                                                  In the ship context, the master is
                                                  and team working skills for deck and
         and articles and papers for the                                                      the conductor; the deck, engineer
                                                  engineering officers. The amendments
         website database are always                                                          and hotel departments represent
                                                  recognise the need for effective
         welcome.                                                                             the strings, the brass and the
                                                  communication onboard and ashore;
                                                                                              percussionists. The operations staff are,
                                                  and the importance of assertiveness
         The Editor                                                                           of course also a part of this team,
                                                  and leadership, including motivation.
                                                                                              whose ultimate aim is to ensure the
         Alert!                                   An analogy for the safe and efficient       safe conduct of the ship and the safe
         The Nautical Institute                   operation of a ship is that of the          and timely arrival of the cargo.
         202 Lambeth Road
         London SE1 7LQ
         United Kingdom

    Crew - the operator’s greatest challenge
2   Dr Michael B Kennedy, Hellespont Steamship Corporation

    ‘Crew’ - Sometimes it is an explanation                  Shipwise it is important to get the top         In summary:
    and sometimes it is almost a swear word.                 officers ‘onboard’. With a good rapport
                                                                                                             (1) Make it automatic that you, the
                                                             one can always find a way to achieve the
    The operator’s greatest challenge is to                                                                      operator, can put yourself in the other
                                                             goal of any task with either the ship’s
    achieve the most possible with those                                                                         man’s shoes. Do that before you make
                                                             present resources or with those that can
    persons who are the ‘face’ of the ship.                                                                      your request. Role-play the situation
                                                             be brought in. If you, as the operator,
    There are other human element chal-                                                                          at least in your mind before you send
                                                             believe that something is wrong onboard
    lenges too: Keeping the charterer satisfied,                                                                 the email.
                                                             just remember that you are many miles
    negotiating with and appointing agents,
                                                             away and that the ship’s crew are there
    buying or coordinating bunkers - these                                                                   (2) Focus on the crew. Others are
                                                             to solve the problem. Its takes time to
    are some of the operator’s jobs. Not                                                                         important but the crew is going to
                                                             mobilize replacements or to send a port
    surprisingly, skills in human relations are                                                                  solve the problem.
                                                             captain or superintendent.
    similar in all these challenges.
                                                             Most problems - people or machines -
    So what are the human skills needed?                                                                     (3) Know the crew organization and
                                                             can only be solved with the help of the
    The fundamental skill is the ability to put                                                                  specific strengths and weaknesses
                                                             crew. Often, by just specifying in detail the
    oneself in the place of the other party.                                                                     of the specific crew. Be attuned to
                                                             forthcoming operations or talking through
    The specifics of each task must be                                                                           whether they are tired or under stress.
                                                             a task ahead of time may be enough.
    explained in detail so that the recipient                                                                    Schedule crew rotations and onshore
    will be able to fulfil what is needed                    Role playing or simulations can give                support individually.
    without any ambiguity. Communications                    insight. One must know the basic ship
    must invite the recipient to respond with                organization and duties and roles in any
                                                                                                             (4) Be more than clear in your request
    comment, clarification or even rejection                 given task. Knowing when they will be
                                                                                                                 either to do a job or to give infor-
    and the reasons why.                                     tired and when they will have conflicting
                                                                                                                 mation. And, always make it possible
                                                             objectives can help in both scheduling and
    There is a need for flexibility to change                                                                    for the recipient to report the true
                                                             in framing a request.
    or replace the task so as to achieve the                                                                     situation, even if it means saying your
    overall objective. Handling stress and                   Everyone is different. Some senior officers         request is ‘bad’ or not possible.
    being able to work many potential                        can manage with weak subordinates and
    solutions at the same time is needed.                    inexperienced ABs or Oilers. Some cannot,       A copy of Michael Kennedy’s recent paper Life-
    The operator needs to be attuned to                      and one must plan their rotation so that        time structural integrity and tanker operations
    nuances but never be afraid to politely                  they either have strong onboard support         can be downloaded from:
    ask for clarification and advice.                        or that there is appropriate shore support.     documents/published/he00955.pdf

    What makes the Ultimate Ship Manager?
    Kuba Szymanski, Secretary General, InterManager

    W     hat is a ship manager? Is he/she
          an accountant who worked in a
    shipping company for many years and
                                                             measures, principles, expectations and
                                                             outcomes. In western ethics, integrity
                                                             is regarded as the quality of having an
                                                                                                             Being one of the team
                                                                                                             It would be really great if the Manager
                                                                                                             had a lot of empathy for his people. This
    got promoted to the ultimate position?                   intuitive sense of honesty and truthfulness     is best acquired by being one of the Team.
    Or maybe a Naval Architect straight from                 in regard to the motivations for one’s          Therefore, experience at sea is usually
    University? Or must it be a junior officer               actions. Integrity can be regarded as the       very difficult to substitute. I, for one, can
    who was fed up with the sea and decided                  opposite of hypocrisy. I cannot see a ‘yes      immediately spot someone who has been
    to transfer ashore. Well I am afraid quite               man’ fitting this picture!                      in the ‘hot seat’ at sea from those who
    a number of us would actually subscribe                                                                  only theoretically know what it means
    to the above definitions purely because of               Good people skills
                                                                                                             to take decisions – to face the music for
    our own bitter experiences.                              We want our Ship Managers to manage.            their own acts. This is what, in my opinion,
                                                             Managing ships means managing the               makes a very good Manager. It teaches
    Let us, through this article examine
                                                             people working on board and also those          respect and provides the empathy needed
    what is really required from the Ultimate
                                                             ashore. This role requires negotiation          in difficult situations.
    Ship Manager and try to set very high
                                                             skills, but also an awareness of cultural
                                                             differences. Surprisingly many of we            Managerial Skills
    Good ship management companies,                          superintendents and managers are lacking        A plethora of other managerial skills make
    both 3rd party managers and in-house                     this skill. This is due to the promotion        life easier, such as good time management,
    owners or managers, set high standards                   process involved. Who is it gets promoted       project management, media awareness,
    for their Ship Managers, also known as                   to the ‘Super’s’ job? Is it the best Master     computer skills, meeting management
    Superintendents (Marine and Technical)                   and best Chief Engineer? Well first of all      and negotiation skills.
    or Ship Directors. So what are the virtues               what is the definition of “Best?" One who
    and skills that a person measuring up to                 has never run aground or pulls the main         I am very much aware that it is difficult to
    these high standards should have?                        engine unit in six hours? Or maybe it is        achieve all the above-mentioned standards,
                                                             someone who has had no off hires? Very          but I believe we should aim high and
    Professional Integrity                                   few companies concentrate on someone            always try to improve our standing!
    We definitely want someone who is                        who knows how to appraise, motivate
    consistent in his actions, values, methods,              and lead.
Grappling with leadership skills
Professor Mike Barnett, Warsash Maritime Academy, Southampton Solent University

A    re leaders born or can they be made?
     What are the characteristics of a good
leader? What aspects of leadership style
                                                          criteria for evaluating these competences
                                                          are the same and are included in the
                                                          relevant tables within Part A of the Code,
                                                                                                           Senior officers will need to actually
                                                                                                           demonstrate effective leadership be-
                                                                                                           haviours. There are computer-based tests
does Horatio Nelson share with Nelson                     for example:                                     available which will assess leadership
Mandela? Are leadership and managerial
skills the same? Can you become a good                    •    Communication is clearly and                potential by placing individuals in a set
                                                                                                           of scenarios with a number of different
                                                               unambiguously given and received
leader by reading a book about it?                                                                         leadership options. Participants can
These are the sort of questions which                     •    Effective leadership behaviours are         analyse and select the most appropriate
                                                               demonstrated                                solutions. Of course, such tests only reveal
students and trainers will be grappling
with as they respond to the new revisions                 •    Decisions are the most effective for        what an individual thinks they might do
                                                                                                           – to have some confidence that a student
to the STCW Code as agreed in Manila                           the situation.
in June 2010. Evidence of a lack of                                                                        is displaying real behaviour, other forms
leadership in some recent casualties has                  So what will seafarers need to learn, and        of assessment might be needed. This can
caused concern within the industry, and                   how will they learn? At the operational          be done through role-playing or other
the revisions are intended to provide a                   level, junior officers need to understand        forms of simulation, as well as through
framework for the development of the set                  the principles of leadership and how             real experiences on board. At this level,
of skills which make up leadership.                       different styles of leadership can be            leaders will need to be able to control
                                                          effective in different situations. They also     their own emotions effectively, but also
Up until now, the STCW Code has tended                    need to understand the principles of good        manage others, sometimes in novel and
to focus on technical skills, but the Manila              communication. Perhaps most importantly          dangerous situations.
Amendments, as they are known, will                       at this level, junior officers need to develop
introduce competence requirements for                     practical strategies for assertiveness           Leadership is a complex mix of personality
leadership and managerial skills at both                  and good team working. There have                and skill, but there is something we can
the operational and management levels,                    been casualties in the past where junior         all learn to become more effective in
ie this is for both junior and senior officers.           officers, for one reason or another, have        our interactions with other personnel.
Competence may be assessed in a number                    been reluctant to point out impending            The new revisions give seafarers an
of ways, including approved training,                     dangers to their seniors. There are practical    opportunity to develop practical
in-service experience or simulator training.              techniques which officers can learn to be        strategies and techniques to achieve
Whichever mode of assessment is used, the                 assertive without being insubordinate.           this goal.

Leadership qualities of the master
Captain Kevin G. Coulombe Master, Maersk Line, Ltd, USA

W     hen Captain ‘M’ got upset, which he
      did with regularity, he would yell
and jump up-and-down, and it appeared
                                                          it but the maturation of officers and crew
                                                          depend on it too. There will always be
                                                          managerial problems both operational and
                                                                                                           exceptional character and ability. They
                                                                                                           adroitly managed ship and crew and did
                                                                                                           so with great relish. Not only were they
as though he were levitating off the deck.                personnel but good management skills             expert seaman and able managers they
On one occasion, as the captain hovered                   should identify or minimize the impacts.         were caring men who demonstrated
above the port bridge wing gesticulating                                                                   interest and concern in the welfare of
                                                          Prior to the introduction of the IMO safety
and yelling, the pilot abandoned him,                                                                      the ship, crew and the environment. Their
                                                          management system, the master had what
came into the bridge, studied the bridge                                                                   moral leadership was infectious and was
                                                          few tools the company operation manual
instruments, looked at my bell book,                                                                       appreciated and reflected by the crew.
                                                          provided to effectively manage his ship
looked forward out the bridge port hole
                                                          or crew. Some masters with proper leader-        I have found fine leadership examples in my
and asked me quietly, “Who is that man?”
                                                          ship training and experience were able to        readings: Captain Roald Amundsen, Master
A US Navy leadership manual states:                       manage adroitly. But without rules to be         of the 1910 MS Fram polar expedition,
‘Leadership is based on personal example,                 guided by and without the confidence of          took a team of men to the South Pole
good management practices and moral                       the managing company, many masters               and back. Captain Ian North, Master, MV
responsibility.’ Captain ‘M’ was an able ship             resorted to abuse and fear to manage             Atlantic Conveyor, took his crew to the
master but a miserable example of a leader.               their ship. The consequences of this kind        South Atlantic during the 1982 Falklands
His leadership model depended on fear,                    of management were always regrettable.           conflict, and was the last man off and
threats and invective. Lacking leadership                 The fallout was usually reflected in the         lost when his ship was struck by anti-ship
skills, self confidence in himself or his                 log book and the claims department.              missiles. And Captain D. Michael Abrashoff,
subordinates he relied on his position and                Today poor management will also reflect          USN, explored and practiced ship and crew
outrageous behavior to coerce results.                    in KPI scores and draw close scrutiny by         management techniques and rewarded
                                                          shore side management. The SMS should            him with the ‘best damn ship in the Navy’.
The master who takes command must
                                                          provide the master with all the tools
balance the needs of ship operation and                                                                    All have been prime examples of
                                                          required to manage the ship and crew
crew management and do so in a sober,                                                                      exceptional leadership and are great role
                                                          effectively, collegially and responsibly.
professional and enjoyable manner. Not                                                                     models that I appreciate, emulate and
only does the ship operation depend on                    I was fortunate to sail for Masters of           communicate as a master.
         Human element knowledge & skills framework – o

    Ship Operators/Master/Senior Officers                                          their tasks and the technical, organisational and physical environment in
                                                                                 a system will operate
    Be fully conversant with and fully understand the                            • establish, clarify and communicate the requirements of the users of a
    need to implement:                                                           system
    • pertinent IMO, ILO, WHO and other regional instruments relevant to         • ensure that the design options for any product system of work take
    maritime safety and protection of the marine environment                     account of the human element
    •  international codes, guidelines and standards in the context of           • ensure that feedback on the evaluation of the aspects of a system
    SOLAS 1974 (as amended), STCW 1978 (as amended), the International           related to its use or users is collected and reported
    Regulations for Preventing Collisions at Sea, 1972 (as amended), IHR
    2005, and MARPOL 74/78 (as amended)
    • the provisions of the ILO Maritime Labour convention 2006 (MLC,            • the importance of safety at sea, prevention of human injury or loss
                                                                                 of life, and avoidance of damage to the environment, in particular
                                                                                 to the marine environment and to property, in accordance with the
    • other regional instruments relevant to maritime safety and protection      requirements of the ISM Code
    of the marine environment
                                                                                 • the Master’s responsibility with regard to: implementing the safety
    • Company regulations relevant to the safe conduct of the ship, the          and environmental-protection policy of the Company; motivating
    safe and timely delivery of its cargo and the health, safety and wellbeing   the crew in the observation of that policy; issuing appropriate orders
    of the crew                                                                  and instructions in a clear and simple manner; verifying that specified
    • measures to prevent/suppress terrorism against ships and to improve        requirements are observed; and reviewing the safety management
    security aboard and ashore, in accordance with the ISPS Code                 system and reporting its deficiencies to the shore-based management
    • IMO Guidelines for Engine-Room Layout, Design and Arrangement              • that the master has the overriding authority and the responsibility to
    (MSC/Circ.834), as appropriate                                               make decisions with respect to safety and pollution prevention and to
                                                                                 request the Company’s assistance as may be necessary
    Ship Operators                                                               Master
    Fully understand the need to:
    • promote and manage human element activities to reflect the needs            Recognise:
    of safe and effective operation, and provide the necessary resources          • the importance of properly addressing the human element for
    • facilitate information feedback, exchange and other communication          safety of life at sea, safety of navigation and protection of the marine
    about human element issues, including the provision of human element         environment and property
    data in standard formats                                                     • the importance of safety at sea, prevention of human injury or loss
    • establish a focus on human element issues (including usability, health     of life, and avoidance of damage to the environment, in particular
    and safety) in those aspects of shipping operations that deal with           to the marine environment and to property, in accordance with the
    the business strategy (current and future), markets, options for future      requirements of the ISM Code
    operations and planning their concept                                        • his/her responsibilities with regard to implementing the SMS;
    • effectively involve and consult crew and support staff on each               motivating the crew in the observation of that policy; issuing
    significant aspect of the ship and its systems in order to improve its        appropriate orders and instructions in a clear and simple manner;
    usability, health and safety, or performance                                 verifying that specified requirements are observed; and reviewing the
                                                                                 safety management system and reporting its deficiencies to shore-
    • include human element issues in decision making, trade-off and risk         based management
    management studies, in order to mitigate the risk to safe and effective
    ship and company operation                                                   • that he/she has the overriding authority and the responsibility to
                                                                                 make decisions with respect to safety and pollution prevention and to
    • take account of the human element in the acquisition, supply and           request the Company’s assistance as may be necessary
    operation of systems and the management of services
    • ensure that human element issues arising from the operation,               Ensure that:
    support and maintenance of the ship and its systems are given sufficient       • his/her ship is manned with qualified, certificated and medically fit
    attention                                                                    seafarers in accordance with national and international requirements
    • ensure that the human element is given sufficient attention                  • new crew members are given proper familiarization with their duties
    throughout the introduction and validation of a new operation                • instructions, which are essential to be provided prior to sailing are
    • ensure that modifications to the ship and its equipment take account        identified, documented and given
    of human element issues identified in service, and that the human             • appropriate training is provided for all crew members
    element is managed during major work originating from the company
                                                                                 • relevant information is provided in (a) language(s) understood by
                                                                                 crew members
    • achieve safe and effective operation in the most timely and cost-           • crew members are able to communicate effectively
    effective manner by provision of the correct number of competent crew
    and support staff                                                             • plans and instructions for key shipboard operations are available;
    • operate an HR strategy based on the company business objectives            tasks involved are defined and assigned to qualified crew members
    that includes a mechanism for recording and implementing lessons             • procedures are in place to identify, describe and respond to potential
    learnt                                                                       emergency shipboard situations
    • identify the changes to existing staffing and personnel resources            • programmes are established for drills and exercises to prepare for
    and skill demands imposed by planned operations and predict staff             emergency actions
    availability over planned future developments                                • the ship can respond at any time to hazards, accidents and
    • deliver individual and collective training solutions reconciled to the     emergency situations
    requirements of safe and effective ship operations                            • non-conformities, accidents and hazardous situations are investigated
    • provide data on ship operations in order to improve staffing provision       and reported to the Company; timely corrective action is taken
    and deployment, ship and system design, and operational deployment           • all documents and data relevant to the SMS are properly controlled
    • check usability of a system, by selecting and applying appropriate         • valid documents are available on board; changes to documents are
    practices that use human element data                                        reviewed and approved by authorized personnel; obsolete documents
    • establish, clarify and communicate the characteristics of the users,       are promptly removed

  •  the SMM is kept in a form that the Company considers most effective;
  all documentation relevant to that ship is carried on board
  • the results of audits and reviews are brought to the attention of crew
  members; timely corrective action is taken on deficiencies
  • crew are effectively involved and consulted on each significant aspect
  of the ship and its systems so as to improve its usability, health and
  safety, or performance
  • communication between the crew and other stakeholders is effective
  • the crew are aware of human element issues, are involved in
  the feedback process and are notified of changes made to design,
  operation, training or manning as a result of their input
  • the crew competencies required to operate and support the ship and
  its systems are identified and continuously reviewed over time
  • ship maintenance and maintainability requirements for support are
  met by the ship and its systems
  • the overall performance of the ships and their systems is consistent
  with required capability
  • he/she works together with operations staff to achieve the objectives
  of the organisation

  Senior officers
  Ensure that:
  • all crew members are fully conversant with the Company’s SMS and it
  is properly implemented
  •  all crew members are aware of the identify and role of the DPA
  •  new crew members are familiar with their duties
  •  all crew members have an adequate understanding of relevant rules,
  regulations, codes and guidelines
  • non-conformities, accidents and hazardous situations are reported in
  accordance with the SMS
  • the ship is maintained in conformity with the provisions of relevant
  rules and regulations and Company instructions
  • the results of audits and reviews are brought to the attention of crew
  members; timely corrective action is taken on deficiencies
  • crew members are involved and consulted on each significant aspect
  of the ship and its systems to improve usability, health and safety or
  performance; crew feedback is widespread and effective
  • crew members are aware of human element issues, and of the
  changes made as a result of their input

  Bridge Team
  Be fully conversant with and fully understand the
  need to implement:
  • the provisions of the International Regulations for Preventing
  Collisions at Sea, 1972 (as amended)
  •  the appropriate provisions of MARPOL 74/78 (as amended)
  •  the principles of Bridge Resource Management, including the
  involvement of the pilot when appropriate
  • procedures for responding to system failures and emergency

  Engineering Team
  Be fully conversant with and fully understand the
  need to implement:
  • the appropriate provisions of MARPOL 74/78 (as amended)
  • the principles of Engineroom Resource Management
  • procedures for responding to system failures and emergency
  •  IMO Guidelines for Engine-Room Layout, Design and Arrangement
  (MSC/Circ.834), as appropriate

                                                                             Photo: Joachim Affeldt
    Crew Resource Management - Learning from Aviation
6   Adam Cowburn, Head of MCRM, Oxford Aviation Academy

    S   ince the introduction of Crew Resource
        Management (CRM) into shipping in
                                                             by some providers. However some factors
                                                             are less apparent; these include:
                                                                                                             Additionally it is perhaps worth mention-
                                                                                                             ing that the effects of regulation - that
    the early nineties there have been many
    developments, and in light of the recent                 •     The initial transition from aviation to
                                                                   shipping did not sufficiently take into
                                                                                                             CRM was and is mandatory in aviation
                                                                                                             was significantly underestimated. The
    Manilla STCW Conference it is perhaps                                                                    mandatory nature of CRM in aviation has
                                                                   account the differences between the
    relevant to review where we stand today                                                                  led to a ‘safety culture’ where desirable
                                                                   domains in particular;
    and what has been positive and what has                                                                  CRM behaviours are second nature.
    been less positive.                                      •     The social environment on board,
                                                                   the fact that people are together for
                                                                                                             But the underlying assumptions and safety
    Possibly the greatest success has been                                                                   benefits that CRM has brought to aviation
                                                                   extended periods and that people live     are applicable to shipping if packaged in
    to get the concepts of human factors
                                                                   where they work certainly changes         a manner which takes into account the
    and human error onto the safety agenda
                                                                   the dynamics of communication             points mentioned earlier. There is no doubt
    in shipping and the recognition that a
                                                                   particularly in regard to speaking up     that better communication, leadership,
    majority of incidents have a ‘human error’
                                                                   and complacency/assumptions.              decision making and speaking up will
    component. Most officers today have
    attended some form of human factors
    training and very great success has been
                                                             •     That shipping did not have an
                                                                   approach to procedures and proced-
                                                                                                             lead to increased safety - but applied in a
                                                                                                             shipping context.
    achieved in terms of ‘personal safety’ and                     ure training as exists in aviation was    So, what we need to do is cherry pick the
    such things as behavioural based safety                        not sufficiently taken into account       best of aviation - the CRM tools, procedural
    have without doubt reduced personal                            and led to perhaps too little focus on    training, standardisation in assessment
    injuries directly.                                             how to do certain things and perhaps      (both in training and reality) and quality
                                                                   too much on why (though that              standards. And not least that aviation CRM
    The record in regard to CRM has however
                                                                   should not be underestimated).            is constantly being updated and evolving.
    been less positive. There are a number of
    factors for this, some which appear to be
    obvious - for example inconsistent delivery
                                                             •     That the safety culture drivers were
                                                                   different in shipping and aviation.
                                                                                                             However, we should never forget that
                                                                                                             shipping is not aviation.

    What Makes a Good Human Element Investigator?
    Leo Donati, Manager Human Factors and Macro Analysis, Transportation Safety Board of Canada

    N     ext week, the TSB is delivering its
          Human Element course to investig-
    ators and industry representatives from
                                                             investigating an occurrence, and in
                                                             particular the HE, is that after the fact,
                                                             you are viewing the world in light of
                                                                                                             examine each one in great detail, and you
                                                                                                             will be able to understand the system. This
                                                                                                             is fine for academic research; however, in
    around the globe. As my staff and I                      information that was not necessarily            the case of HE investigation, it is essential
    prepared for this endeavour, I took a                    available to the participants as the            to examine human behaviour and actions
    few moments to reflect on what the key                   situation unfolded. You see the cues            within the context of the broader system,
    skills and abilities of a Human Element                  that should have been recognized, the           not in isolation. This is the only way to
    (HE) Investigator are. Of all the skills and             opportunities that were missed, and the         understand the perspective of the other.
    abilities that come to mind, the key to                  ultimate outcome of their actions. As a
    a good HE Investigator is the ability to                 result of this hindsight bias affects our       How does a holistic approach that includes
    see an occurrence holistically and from                  view of an occurrence and more full             understanding an accident or incident
    the original perspective of the people                   explanations of people’s behaviour may          from the perspective of those directly
    involved.                                                be overlooked. The HE Investigator              involved apply to the marine industry,
    The Transportation Safety Board of                       needs to be able to distance himself            and the seafarer in particular? As our
    Canada (TSB) is one of the few Accident                  from the knowledge that is known                industry moves further along the path
    Investigation Boards that is fortunate                   after the occurrence and visualize              of Safety Management Systems, one area
    enough to have dedicated HE investig-                    the unfolding situation from the                that is gaining the spotlight is the need for
    ators on staff. The academic qualifications              perspective of the individuals involved         employees from all levels from the seafarer
    of this group of individuals are quite                   while the event was transpiring. The            through to management to report near
    varied. It ranges from specialization in                 question that must be asked repeatedly          misses and risks within their systems.
    the areas of anthropology, psychology,                   is “why did this make sense to those
                                                                                                             In order to be able to assess these reports
    physical ergonomics, sleep physiology,                   involved at that time”. Perhaps the most
                                                                                                             in a manner that can lead to positive
    organizational psychology, task analysis                 critical skill for a HE investigator then,
                                                                                                             workplace and organizational changes,
    and training design, and cognitive                       is the ability to see the world from the
                                                                                                             rather than assigning blame, we need
    engineering. Although these academic                     perspective of the other.
                                                                                                             to ensure that this holistic approach is
    qualifications allow these investigators to
                                                             Further, most HE professionals have been        applied. Because the answer to what
    carry out very detailed HE analyses, on
                                                             trained in a reductionist tradition as          happened, and the key to prevention, can
    their own these credentials do not make a
                                                             there are few university programs that          only be determined when the original
    good HE investigator.
                                                             offer a holistic approach to the HE. Break      circumstances and the perspective of
    One of the major challenges when                         the system up into its component parts,         those involved are fully appreciated.
Nobody is perfect, but a Team can be
The Team - Pacific Basin Shipping Limited, Hong Kong                                                                                                     7

T  here is an old Chinese saying: Nobody is
   perfect, but a Team can be. The essential
part of a successful and safe operation
                                                       based Manager as something to be seen
                                                       as attainable by all? This is done regularly
                                                       within Pacific Basin, where many of the
                                                                                                       other people’s mistakes. Many accidents
                                                                                                       and incidents happen to the best trained
                                                                                                       crews, due to lack of foresight or pro-active
is to ensure perfect synergy between                   key positions in Technical, Crewing and         planning throughout the Team. It takes
shore-based management and shipboard                   Commercial Operations are held by ex-           commitment for the Company to support
management by making every employee                    Pacific Basin seafarers.                        the seafarers by letting the ship incur loss of
take ownership of the success of the                                                                   earnings for 6-48 hours, for familiarisation
                                                       A ship, like every other piece of machinery,    after a crew change or letting the seafarer
Company. Shipping is a people business,
                                                       may develop defects. Wear and tear in           take rest at a safe anchorage after a busy
and good seafarers who are recognized by
                                                       these days of 24 hour cargo operations          period of port operations or after an
the Company for its success, are integral to
                                                       and rapid port rotations takes its toll.        incident with investigations by various
the safe ship operation and the business
                                                       Things go wrong, near misses or accidents       parties.
                                                       happen. There will always be a small
The shore-based Team must provide the                  percentage of seafarers who may be              Incidents, near misses or industry events
best shore-based support and guidance                  complacent with experience, or ignorant         must be analyzed and prompt pro-active
for doing the task on board most efficient-            with lack of experience, both of which          action must be taken throughout the fleet.
ly, rather than making daily decisions for             are human failures and could result in          Pacific Basin has voluntarily implemented
the seafarers for the operation of the vessel.         hazardous situations and undesirable            ISO 9001, ISO 14001 and OHSAS 18001
Masters and Chief Engineers, as the Senior             events. While every near miss, defect and       on board, rather than just complying with
Managers onboard, must be empowered                    accident must be investigated, it has to        the ISM Code. Informal paperless risk
to make decisions and manage the vessel                be done without individual blame; a ‘No         assessment by means of 3W (What can
without requiring approval from the                    Blame Culture’ is fundamental to successful     go wrong? What factors can cause it to go
shore-based Team and without needing to                ship operations, and for encouraging near       wrong? What should be done to prevent
comply with a complicated communication                miss and defect reporting. We promote           it going wrong?) is carried out prior to
protocol and paperwork. With the advent                the ‘22 Crew 22 Owners’ principle; this takes   each and every task on board to prevent
of e-mail communications, it is easy for               the mandatory reporting of accidents and        unplanned results and desirable events.
seafarers to simply inform the Company                 incidents under the ISM Code to a much          Good and open communications plus
and await advice and instructions, and                 higher level, and gives each seafarer a sense   strong round the clock support from
for the Manager to seek information on                 of ownership and belonging to the Company.      the shore-based Team must be available
every little aspect prior to action on board;          With the system of government controlled        without power distance. Senior Managers
this distracts the decision-making and                 manning agencies supplying seafarers            onboard spend time in our head office
management on board and is counter-                    in some countries, the option of directly       prior to joining their ships and attend our
productive to emergency preparedness,                  hiring seafarers as permanent employees         management meetings where all issues
professionalism and self respect. If we trust          of the Company in all the crew resource         on the Company’s fleet are discussed.
the seafarers with a multi-million dollar              pools is not possible. However, the sense       Most of our shore-based Team who do not
investment and its cargo to make the                   of belonging to the Company can be              have a seafaring background, take every
voyage, we must trust in their compet-                 nurtured by: family welfare, holding            opportunity to visit ships in port or make
ence and ability to manage it effectively              frequent shore based training seminars to       a short coastal trip to understand the sea
from the ship. The shore-based Team                    which families are invited, family medical      life and to improve the synergy between
should take a supporting role while the                schemes and strong support for the              shore and ship. Extensive feedback is
shipboard Team takes the lead role in the              seafarer’s family when a seafarer is away       taken prior to implementing new systems
management of the ship.                                at sea; good food, hygiene and fair living      and our focus is to trim and simplify the
                                                       conditions on board monitored closely by        existing systems rather than making the
This requires very strict selection criteria                                                           SMS heavy with reams of paper checklists,
when hiring senior officers, which                     the owner, well designed living quarters
                                                       and policies on fatigue management,             taking out innovation and professionalism
precludes all but the best candidates.                                                                 from the seafarers.
Once selected, they need to be integrated              prompt payment of wages and social
into the Company carefully with as much                benefits, respect and fair treatment             The shortest route between the load and
interaction with the shore-based Team and              of seafarers; and continuous career             discharge ports is not always the best one
an environment to interact freely without              development and training, Company               for the crew or vessel. Severe weather
any power distance. The best candidates                newsletters, communication facilities           conditions, dense traffic, piracy are all
are those officers who have served in the              for phone calls and emails, regional            matters for the Team to evaluate before
Company as Junior Officers and are well-               language news bulletins by email, crew          making a risk based decision to go around,
versed with the Company policies and                   entertainment facilities on board and           or wait several days to join a naval escort
culture. Good retention and a healthy                  adequate funds to buy music, movies,            convoy for example. In this respect the
progression upwards through the ranks                  gymnasium equipments etc.                       concern for the seafarers in the Team, their
within the Company are crucial. This is                                                                safe workplace and their lives - the ‘Human
                                                       Safe crew run safe ships is a slogan used
achieved by recognition of the contribution                                                            Element’ - must be considered together
                                                       regularly in the industry. We train our
made by our seafarers: an expanding and                                                                with operational efficiency.
                                                       seafarers to the highest standards, far
long-term Cadetship program even in                    above those required by STCW. Rather            In our Pacific Basin Team, we believe our
times of recession, a wage structure which             than burdening the busy seafarer with           success as a Shipping Company comes
rewards longevity, structured training and             information overload, we compile relev-         primarily from our well run ships, by our
promotion and long service achievement                 ant information for the ship type and           dedicated seafarers on board.
awards. What else is better to promote                 trade and summarise key information for         This is an edited version of a longer article
this system and to develop a career path,              our seafarers to assist them in efficient       which is downloadable from:
than to promote a Seafarer to Shore-                   management on board and learning from           documents/published/he00970.pdf
8                                                                                                                            Reports
    Drifting and subsequent grounding of products tanker

    T   his investigation into the grounding of
        a 4,393grt products tanker on a delivery
    voyage reveals a number of contributory
                                                                 as such, were not of much use to the
                                                                 crew. Many of the critical systems were not
                                                                 operational and had not been tested. The
                                                                                                                            towards its destination and the master
                                                                                                                            decided to drift while waiting for the ship’s
                                                                                                                            owner to organise the delivery of clean fuel.
    causes, which were not directly connected                    ship did not have a complete inventory of                  However, the owner did not arrange clean
    with the grounding, but which nevertheless                   spare parts and special tools. Despite the                 bunkers or provide any other assistance.
    expose some important human element                          chief engineer highlighting these issues to                The ship was rolling heavily, the air
    issues, not least the need for good leader-                  the ship’s owner, little action was taken to               conditioning was not working and the
    ship and direction from the top down,                        address them.                                              crew’s consumption of fresh water, stocks
    teamwork and effective communication.                        On 21 December, the ship sailed up the                     of which were already at a critical level, had
    In September 2007, the master, two                           Chinese coast to another port, assisted by                 increased in the hot and humid tropical
    engineers, an electrician and a cook joined                  the shipbroker and his staff. None of the                  conditions. The crew were becoming
    the ship in China to prepare it for delivery                 ship’s machinery was tested before the 200                 increasingly angry and frustrated with
    to its new owner in Nigeria.                                 mile voyage, apart from the engine trial on                their lack of progress on the voyage.
    The chief engineer provided the shipbroker                   9 December; the main engine was run on                     After drifting 21 days, the ship made its
    with a list of requirements, which included                  marine diesel oil (MDO), not intermediate                  way to the Cocos (Keeling) Islands and
    an English translation of the ship’s main                    fuel oil (IFO). During the voyage, the                     anchored; deteriorating weather caused
    engine operations and maintenance                            emergency switchboard, which had not                       the ship to drag its anchor and, despite
    manual and several other equipment                           been secured to the deck, fell over.                       attempts by the master to ease the load
    manuals, wiring and piping diagrams. The                     Thirteen days into the crossing of the                     on the anchor cables, the ship’s stern
    chief engineer urged the owner to conduct                    Indian Ocean, the main engine began                        grounded.
    a sea trial on the ship and eventually the                   operating poorly after it was changed over                 The purpose of this summary is to highlight
    shipbroker, accompanied by the master,                       from MDO to IFO because the fuel had                       certain human element issues arising from this
    chief engineer and owner ran the main                        not been effectively heated or purified.                   incident; there are many other issues highlighted
    engine while the ship remained at anchor.                    There was insufficient MDO on board the                    in this very comprehensive accident report.
    The owner then left the ship and no further                  ship for the whole voyage and so the main                  Those who are involved in the management and
                                                                                                                            operation of ships are strongly advised to read
    trials were undertaken.                                      engine needed to run on IFO for most of
                                                                                                                            the whole report which can be downloaded from:
    The ship’s drawings, manuals and                             the voyage.
    documentation were not in English and,                       The ship was making made little progress                   reports/2008/mair/251-mo-2008-003.aspx

    Studies                            &                         Safety and Perceptions of Risk: A
                                                                 Comparison between respondent
                                                                 perceptions and recorded accident data
                                                                 Bailey, N, Ellis, N, Sampson, H

                                                                                                                              The International Maritime
    Emergency Situations v Crisis Situations                     The Lloyd’s Register Educational Trust                       Human Element Bulletin
    Captain Majid Safahani Langroudi                             Research Unit
    The procedures and guidelines for dealing                    Seafarers International Research Centre                      Editor: David Squire, FNI
    with emergencies are part of seafarers’                      This report is the third of a series examin-                 Published by the Nautical Institute, the
    education and training syllabus. Crisis                      ing ‘safety and perceptions of risk’ in the                  world’s leading international professional
    situations are considerably different                        maritime sector. It examines ship level                      body for qualified mariners
    from emergency situations. This paper                        incidents and focuses on factors related to
    discusses the differences between the two                    personal injury.                                   
    situations.                                                  Downloadable from:
                                                                                                                              Membership info:
    Downloadable from:                    rceptions%20of%20risk,%20accident%20data.
    documents/published/he00960.pdf                              pdf
                                                                                                                              The opinions expressed herein are those of the editor
    Leading for Safety: A practical guide for                    The involvement of human factors in                          or contributors and do not necessarily represent the
                                                                                                                              views of The Nautical Institute or Lloyd’s Register.
    leaders in the Maritime Industry                             maritime incidents

    UK Maritime & Coastguard Agency                              Bob Thomson                                                  The Nautical Institute and Lloyd's Register, their
                                                                                                                              affiliates and subsidiaries and their respective officers,
    This guide is intended to help leaders and                   A follow-up to an earlier article (HE00715)                  employees or agents are, individually and collectively,
    senior officers in the maritime industry                     in which the author indicates that                           referred to as 'The Nautical Institute and Lloyd's
                                                                                                                              Register'. The Nautical Institute and Lloyd's Register
    improve their leadership and people                          at present there are no internationally                      assume no responsibility and shall not be liable to
    management skills in order to ensure                         recognised and accepted definitions for                      any person for any loss, damage or expense caused
    safe operations. It contains tips and best                   all of the various human factors that might                  by reliance on the information or advice in this
                                                                                                                              Bulletin or howsoever provided, unless that person
    practices for ten core leadership qualities                  be responsible for any particular incident.                  has signed a contract with an entity from The Nautical
    for effective safety leadership, split into                  Here, he considers the involvement of                        Institute and Lloyd's Register for the provision of
    five categories.                                             human factors in maritime incidents.                         this information or advice and in that case any
                                                                                                                              responsibility or liability is exclusively on the terms
    Downloadable from:                         Downloadable from:                     and conditions set out in that contract.
    documents/published/HE00440.pdf                              documents/published/he00965.pdf
                                                                                                                               Design & artwork production by:
     This bulletin is distributed and promoted with the kind support of:                                                       Jacamar (UK) Ltd +44 (0)23 92410108
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                                                                                                                               Printing by: Indigo Press +44 (0)23 8023 1196
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