Posted: August 14th, 2022

Safety Case Development for the International Safety Management Code

Safety Case Development for the International Safety Management Code
The International Safety Management (ISM) Code is a set of guidelines for the safe management and operation of ships and for pollution prevention, adopted by the International Maritime Organization (IMO) in 1993 and made mandatory in 1998. The ISM Code aims to enhance the safety of life at sea and the protection of the marine environment by focusing on the human and organizational factors that influence the performance of shipboard systems. The ISM Code requires that shipping companies establish safety and pollution prevention objectives and develop, implement and maintain a safety management system (SMS) that covers all aspects of their operations, both ashore and afloat.

A safety case is a structured argument that demonstrates how a system meets its safety requirements and objectives, supported by evidence from various sources, such as design documents, risk assessments, operational data, audits and inspections. A safety case can be used as a tool for managing safety throughout the life cycle of a system, as well as for communicating safety information to stakeholders, such as regulators, customers, operators and crew.

This paper presents a method for developing a safety case for the ISM Code based on the Safety Management Assessment System (SMAS), which is an assessment instrument and protocol that focuses on the human and organizational factors of marine operations. The SMAS provides a framework for evaluating the effectiveness of the SMS in achieving the goals of the ISM Code, identifying strengths and weaknesses, and recommending improvement actions. The SMAS consists of six main elements: policy, organization, planning, implementation, monitoring and review. Each element is further divided into sub-elements that reflect the specific requirements of the ISM Code. For each sub-element, a set of questions are formulated to elicit information about the SMS from various sources, such as documents, interviews, observations and surveys. The answers to these questions are then scored using a five-point scale that ranges from “not implemented” to “fully implemented”. The scores are then aggregated to obtain an overall rating for each element and sub-element. The ratings are then used to identify areas of concern and potential improvement actions.

The method for developing a safety case for the ISM Code using the SMAS is as follows:

1. Define the scope and objectives of the safety case. This includes specifying the system under consideration (e.g., a ship or a fleet), the intended audience and purpose of the safety case (e.g., internal or external review, certification or accreditation), and the level of detail and rigor required (e.g., high-level overview or detailed analysis).
2. Collect data about the SMS using the SMAS questions as a guide. This involves reviewing relevant documents (e.g., safety policy, procedures, manuals, records), conducting interviews with key personnel (e.g., senior management, designated person, master, officers, crew), observing shipboard operations (e.g., drills, inspections, maintenance), and administering surveys to measure safety culture and climate (e.g., attitudes, perceptions, behaviors).
3. Analyze the data using the SMAS scoring scheme to obtain ratings for each element and sub-element of the SMS. This involves applying predefined criteria to evaluate the extent to which each requirement of the ISM Code is met by the SMS. The ratings should reflect both positive and negative aspects of the SMS, as well as any gaps or inconsistencies.
4. Synthesize the results into a coherent argument that demonstrates how the SMS meets or does not meet its safety objectives and requirements. This involves presenting an overview of the SMS structure and functions, highlighting its strengths and weaknesses, comparing its performance with relevant benchmarks or standards (e.g., industry best practices, regulatory expectations), and providing evidence to support each claim or assertion.
5. Recommend improvement actions based on the findings of the analysis. This involves identifying specific areas or issues that need to be addressed or enhanced in order to improve
the effectiveness of the SMS in achieving its goals. The recommendations should be realistic, feasible and prioritized according to their impact on safety.
6. Document and communicate the safety case to the intended audience using an appropriate format and language. This involves writing a clear, concise and persuasive report that summarizes
the main points of the argument, provides sufficient details and references for further information,
and uses visual aids (e.g., tables, charts, graphs) to illustrate key data or concepts.

The following is an example of how a safety case for the ISM Code using the SMAS could be structured:

# Introduction
– Provide background information about the system under consideration (e.g., type, size,
age, ownership, operation)
– State the scope and objectives of the safety case (e.g., who, what, why, how)
– Outline the main sections of the report and their contents

# Safety Management System Overview
– Describe the structure and functions of the SMS, including its main elements and sub-elements
– Explain how the SMS is aligned with the ISM Code requirements and objectives
– Provide examples of how the SMS is implemented and maintained in practice

# Safety Management System Assessment
– Present the results of the SMAS data collection and analysis, including the ratings for each element and sub-element of the SMS
– Assignment help – Discuss the strengths and weaknesses of the SMS, as well as any gaps or inconsistencies
– Compare the SMS performance with relevant benchmarks or standards (e.g., industry best practices, regulatory expectations)
– Provide evidence to support each claim or assertion

# Safety Management System Improvement
– Identify specific areas or issues that need to be addressed or enhanced in order to improve the effectiveness of the SMS in achieving its goals
– Recommend realistic, feasible and prioritized improvement actions for each area or issue
– Explain how the improvement actions will contribute to the safety objectives and requirements

# Conclusion
– Summarize the main points of the argument, highlighting the key findings and recommendations
– Emphasize the benefits of having a robust and effective SMS for the safety of life at sea and the protection of the marine environment
– Acknowledge any limitations or uncertainties of the analysis and suggest areas for future research or development

# References
– List the sources of information used in the report, using Harvard citation format

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