393
1 INTRODUCTION
Dynamically implemented mandatory management
systems resulting from legal requirements in
maritime transport since 2006 [1‐3], very often
(especially in the first years of implementing the
requirements) functioned independently by the
optionalproceduralapproach‐ISO[4‐5].Thegenesis
oftheInternationalCodefortheManagementofSafe
Ship Operation and Pollution Prevention and the
revised guidelines for the administration of the ISM
Code by Administrations [6‐7]‐the first formal
mandatory standard for safety management and
preventionofpollution‐goesbacktotheearly1980s.
For communities interested in improving maritime
safety prepared at the IMO and
implemented
Resolutions A.596 (15) forcing the organization to
improveitsfunctioningandmaintenanceofthesafety
operationpassengerferries.ThroughresolutionA.647
(16) implemented in 1989, and later amended
guidelines, adopted by resolutions A.680 (17) to the
present formoftheInternationalManagement Code
fortheSafeOperationoftheShips
andforPollution
Prevention‐InternationalSafetyManagementcode‐
(ISM CODE), It was adopted in 1993 as resolution
A.741(18),supplementedbytheresolutionMSC.104
(73), the MSC. 179 (79), MSC.195 (80), expanded in
December 2008 by resolutions MSC. 273 (85) and
adopted on 1 January 2010. The amendments have
come applicable in the Code of 1 July 2010. The
shipownerʹsandshipʹscertificationprocedureforthe
Safety Management System (SMS) is in line with
Regulation (EC) No 336/2006 [2] of the European
ParliamentandtheCouncilofEuropeof15February
2006 on the implementation of the ISM
Code in the
Community, together with the Commissionʹs
amendmentOfJune16,2008amendingAnnexNo.2
to the EC Regulation (No. 336/2006) on the
implementationoftheISMCodeintheCommunityin
relation to model forms. This regulation takes into
Integration Model of Management Systems in Sea
Transport
K.Chruzik
WSBUniversity,DąbrowaGórnicza,Poland
ABSTRACT:Dynamicallyimplementedmandatorymanagementsystemsresultingfromlegalrequirementsin
maritimetransportsince2006[1‐3],veryoften(especiallyinthefirstyearsofimplementingtherequirements)
functioned independently by the optional procedural approach‐ISO [4‐5]. It is now common practice to
integrate
requirementsinboth‐themandatoryandvoluntaryareas.Legalrequirementsandrecommendations
do not define and recommend a specific form of extending existing management systems. The publication
describes the relationship between the requirements for the management systems currently applicable in
maritime transport resulting from legal requirements (Safety Management System‐SMS)
and voluntary
implementations (Quality Management and Environmental Management System). The common areas
identified for the analysis of system requirements (for obligatory and optional systems) will facilitate the
integrationandbroadeningofthemanagementcultureinmaritimetransportorganizations.
http://www.transnav.eu
the International Journal
on Marine Navigation
and Safety of Sea Transportation
Volume 14
Number 2
June 2020
DOI:10.12716/1001.14.02.16
394
accounttheprovisionsofChapterIX.Managementof
safe operation of ships of the International
ConventionontheSafetyofLifeatSea,1974SOLAS
2009,asamended.Inthepresentform,theprovisions
of the MSC‐MEPC.7/Circ.5 (the operational
guidelines for the introduction of the ISM Code),
MEPC.7/Circ.6(guidelines
onqualifications,training,
professional experience for the designated persons‐
designated persons) and MSC‐MEPC.7 / Circ.7
(Guidance on near‐miss reporting). Documents
related to the Owner and Ship Certification
procedures in the scope of SMS are also the
RegulationoftheMinisterofTransport,Construction
and Maritime Economy of November
13, 2012 on
inspections and audits and certificates of a marine
vessel [8] and useful information on relevant
individual SMS elements and their preparation by
shipowners included in the ICS / ISF guidelines
(International Chamber of Shipping‐ICF and
International Shipping Federation) regarding the
application of the International Code of Safety
Management.
It is now common practice to integrate
requirements in both the mandatory and voluntary
areas. Legal requirements and recommendations do
not define and recommend a specific form of
extending existing management systems. The
publication describes the relationship between the
requirements for the management systems currently
applicableinmaritimetransport
resultingfromlegal
requirements(SafetyManagementSystem‐SMS)and
voluntary implementations (Quality Management
andEnvironmentalManagementSystem).
2 THECRITERIAOFINTEGRATION
Oneof thebasic criteriaforintegrationis,of course,
the similarity in the way of building, implementing
and certifying systems. In Poland, for the optional
andmandatorysystems,
thesystemsupervisionunit
isanorganizationrecognizedbytheadministrationto
issuecompliancedocumentsandsafetymanagement
certificates on its behalf. There is therefore the
possibility of an integrated system certification
process.
The basic requirement of the process approach‐
omitted in the industry requirements and legal
recommendations‐is the
independence of
supervisionoverthesystemintermsofitssubstance,
organizationandfinances.InthecaseofaDesignated
PersonAshore(DPA):
ISO‐should be dependent directly on the
ManagementBoardandindependentinthescope
ofthemainprocess,
SMS‐it should be independent of the area
of
vesseloperation,
Despitethelackoflegalrequirementsintermsof
substantive, organizational and financial
independence,thisshouldbeoneofthebasiccriteria
fortheconstructionandimplementationofsystemsin
thetransportindustry.
Table1.Relations of areasof theintegrated system‐own
elaboration
_______________________________________________
DescriptionRegulationECISO9001 ISO14001
nr336/2006, §§
Annex1,partA
_______________________________________________
BookofIMS All4.44.4
Processmap All4.3,4.4 4.3,6.1.1
Safetyand 25.1,5.2 5.1,5.2
environmental
protectionpolicy
safetyculture 27.37.3
Management 2,5.1.5,12.2 5.1,6,9.1, 5.1,6,
overview9.3,10 9.3,10
JobSafety4,10.36.2,9.1 6.2
Analysis
Operationalrisk 4,10.34.1,6.1,6.3, 4.1,6.1,
management9.19.1
Operationof 3.2,6.3,7 7.1,8.1,8.2, 6.1.4,7.1,
theship8.3,8.5,8.6 8.1
Maintaining 3.3,106.3,7.1 7.1
efficiency
Access,exchange 3.1,6.7,12.5 6.3,7.4 7.4
andmanagement
of
information
Competence 3,4,5,65.3,7.1,7.2, 5.3,7.2
management7.37.3
Suppliers10,6.5,8.49.1.2
evaluation
Supervisionof 3.2,6.3,7, 7.56.1.3,7.5
documentsand 10.2.4,11
records
Inspections10.2.1,10.4 8.6,8.7,9.1,9.1
Implementation 128.6,8.7,9.1, 9.1,9.2
ofaudits9.2
Corrective
and 9,10.2.2,12.6 10.210.2
preventiveactions
andsupervision
ofnonconformities
Monitoring9.14.1,6,9.1, 4.1,6,
10,9.1,10,
Deming’sDeming’s
wheel wheel
Proceedingsafter8‐6.1.2,8.2
theoccurrence
ofathreatoran
event
Preparationof 8‐6.1.2,8.2
emergencyplans
incaseofcrisis
Reviewof‐4.2,5.1.2, 4.2
inquiries,offers,8.2
contractsand
orders
Customer‐4.2,5.1.2, 4.2
orientation8.2
Settlementof‐4.2,5.1.2,8.2 4.2
aservice
Environmental 84.1,6.1,6.3, 4.1,6.1,
monitoringand9.19.1
measurements
_______________________________________________
3 SYSTEMINTEGRATION
System integration involves the combination of
systems so that they can use each otherʹs resources.
Theyarethensubjecttojointcertification.Analysing
the processes required in the Safety Management
System and Quality Management Systems and
EnvironmentalManagementitis hardnot toget the
impression
thatthelackofintegrationmaymakethe
operationofmaritime operatorsdifficult.Experience
395
inthefieldofsystemmanagementnowadaysallows
for efficient integration or extension of system
requirements. Table 1 presents suggestions for
description of processes in the Integrated
ManagementSystem(SMS,9001,14001)inrelationto
thecriteriaofindividualgroupsofrequirementsalso
illustratedontheprocessmap‐Figure1.
Inthecase
of Safety Management Systems, they must be
extendedinthescopeofotherlegalrequirements[4‐
5,9].
Consideringtheconvergenceoftheconstructionof
requirementsresultingfromISOstandards,itisvery
easy to extend this analysis with further
requirements,e.g.resultingfrominformationsecurity
management
[9].
Referring to the areas of the integrated
managementsystem(ISO,SMS)itisneededtotalk
about the elements of one system, not individual
systems,connectedinsomeplaces.Thisisbecausethe
elements of theintegratedsystem interact with each
other.Whenbuildingprocessesanddocumentationof
anintegrated
managementsystem,ananalysisshould
be performed from the perspective of the quality of
servicesandproducts,adaptingprocessesnotonlyto
theexpectationsofcustomersbut,aboveall,tosafety
requirements or the impact of the process on the
environment.
For the needs of the Integrated Management
System,ʺsafetyʺ
is therefore a synonym of quality,
professionalism,highsecurityintheoperationaland
environmental area and continuous improvement of
services in the main process. It means ensuring that
theservicesperformedarecarriedouttothe highest
quality standards, meeting legal requirements and
preventingoperational andenvironmentalrisks. The
implementedIntegrated
ManagementSystemshould
guaranteenotonlyhighqualityofservicesandhighly
qualified staff, but above all an acceptable level of
safetyofservicesperformedbythemaritimeoperator,
asillustratedbytheDeclarationonthedevelopment
of safety culture, Safety Policy and current JSA,
containing criteria included in ISO
9001 standards,
14001 and legal requirements SMS (Safety
ManagementSystem).
The analysisofmandatory criteriaandvoluntary
management systems in maritime transport reveals
the convergence of many requirements. The
implementation of voluntary systems is primarily
related to the given criterion (e.g. quality) in input
dataanalysesandstreamsandminormodifications
to
the description of processes. The already existing,
legally‐derived management systems can be easily
extended by increasing the quality of their services
and,hence,thecompetitivenessoftransportoperators
onthemarket.
The implemented integrated management system
contributesto:
increasingprestige,
increasing the competitiveness and customer
confidence
intheservicesprovided.
Inaddition,itleadsto:
clearly defined division of responsibilities and
competences of individual employees, and thus
facilitatingthemanagementoftheorganization,
facilitating communication between individual
departmentsandemployeesinsidetheenterprise,
continuous and comprehensive improvement of
theprocessescarriedout,
simplifying
documentation describing the system
and,consequently,itssuitability inmanaging the
organization,
reduction of costs related to lack of quality of
services,
reduction of costs related to the use of the
environmentandpossiblepenalties.
Figure1.ModelofprocessesoftheIntegratedManagementSystem‐ ownelaboration
396
4 SUMMARY
Asoftoday,therearevariousmodelsofintegration
ofmanagementsystemsinmaritimetransport.From
full independence of systems resulting from legal
requirements, to full integration with voluntary
systems (e.g. ISO 9001, 14001, 18001 or 27001). In
additiontothecostsassociatedwithintegration,this
processbrings
manybenefitsresultingfromthelack
of duplication of convergent activities,
documentation or the duplication / limitation of
employee involvement. The weakest and most
sensitiveelementofintegrationisthePlenipotentiary
oftheSafetyManagementSystem,whichnowmust
havefullindustryknowledgeinthefieldofthemain
process
inadditiontotheprocessrequirements.
REFERENCES
[1]International Safety Management Code ISM Code and
guidelines on implementation of the ISM Code 2014
Edition,London,IMOLondon2014
[2]Regulation(EC)no336/2006oftheEuropeanParliament
and of the Council of 15 February 2006 on the
implementation of the International Safety
Management Code within the Community and
repealingCouncilRegulation(EC)No3051/95
[3]International Convention for the Safety of Life at Sea,
1974, SOLAS consolidatedtext 2014plus amendments
IMO.2014.
[4]EN ISO 9001:2015 Quality Management Systems‐
Requirements(ISO9001:2015)
[5]ENISO14001:2015Environmentalmanagementsystems
–Requirementswithguidanceforuse(ISO14001:2015)
[6]
Gucma L.: Wytyczne do zarządzania ryzykiem
morskim.WydawnictwoNaukoweAkademiiMorskie,
Szczecin2009,ISBN978‐83‐89901‐42‐2(inPolish)
[7]DudaD.,KrólikowskiA.,WróbelR.,KoszałkowskiW.:
Survey on international standard for the safe
management and operation of ships and for pollution
prevention(ISMCode)based
ontheexampleofmobile
offshore drilling units — (ISM CODE). Górnictwo i
Geoinżynieria. Rok 35, Zeszyt 4/1, 2011, s.99‐108 (in
Polish)
[8]Regulation of the Minister of Transport, Construction
and Maritime Economy of November 13, 2012 on
inspections and audits and certificates of a marine
vessel
[9]
PN‐ENISO/IEC27001:2017‐06‐Informationtechnology
‐ Security techniques‐Information security
management systems‐Requirements (ISO/IEC
27001:2013includingCor1:2014andCor2:2015)
