cegJA25er20jbkJ

PerfbrmanceCriteriafbrtheInternationalSafbtyManagementISMCode

MaxMEJIA

WorldMaritimeUmiversity

P0Box50020124Malm6Swedenmmwmuse

ABSTRACT

ThereisanobviousneedtoconductresearchandtogatherandanalyzedatathatcouldprovideasoundSCientific

andoectiveevaluationoftheISMCodeTbeststeplnOrganizlngSuCharesearchefrbrtistheidentcationof

PerformanCeCriteriaInthisconnectiontheproposedpaperposesandattemptstoanSWerthefbllowlngqueStions

WhatperformanCeCriteriaareappropnateforassessingtheISMCodesefftctivenessHowcanefftctivenessbe

denedandmeasuredThepaperreviewspastandongolngISMresearchIMOdocumentSandrelevantscientinc

literaturetoidentifywhatanalyticaltooIsandindicatorscouldbeappliedinevaluatingtheISMCodeAnargTmentis made thatthe application ofa synthesis approachinthe researchiea COmbined qualitativequantltative

methodologyWOuldprovidethemostcomprehensivepICtureOftheCodesefrtctivenessTbestudyconcludesby

proposingtwo sets ofperformanCe Criteriaunderthe categoriesoutputandoutcomeSuitable fbrthe

assessmentoftheISMCode

1Introduetion

ThenrstthreeyearsofthenrstphaseofISMCodeimplementationhaveelicitedmixedreviewsandconflictingVerdictsSuCCeSSTheISM CodesbeneCialimpactfailureISMthebulbthatfailedtobloomand

SkepticismTheISMCodeisitworkinghavebeenheraldedintheshippingnewsSuchassessments

howeverSeemtObelargelybasedonoraltestimonyandanecdotalevidenceTbereisanobviousneedtoconductresearchandtogatherandanalyzedatathatcouldprovidesoundSCientCandobjectiveevaluationsoftheCode

Oneofthefirststepsinsucharesearcheffbrtisidentifyingappropriateperformancecriteriaieindicatorsthat

providespecificmeasuresofsafttyandrevealhowwelltheCodeanditsdifftrentcomponentsaredoinginmeetingits oectivesOsbome and Gaebler1992Osbome and Gaebler1992givefour good reasons why the

PerfbrmanceofregulatoryreglmeSSuChasthelSMCodeshouldbemeasuredandassessedWhatgetsmeasuredgetsdone

IfyoudontmeasureresultsyOuCanttellsuccessomfhilure

IfyoucantseesuccessyOuCantleamomit

IfyoucantrecognlZefailureyOuCantcorrectit

TheobjectiveofthispaperistoorcriteriathatmightbeappliedinaresearchprqJeCteValuatingtheectivenessOftheISMCodeItwillposeandattempttoanSWerthefollowlngqueStionsHowcantheCodeSsuccessor

efftctivenessbedennedHowcanitbemeasuredWhataresomeofthecriteriaappropriateforassesslngltS

efftctivenessThestudywi11CommencebyreviewingIMOmeetlngdocumentSaSWellaspastandcurrentresearch

OntheISMCodeTepuOSeOfthereviewwouldbetoidentifywhatstandardseXPlicitorimplicithavebeenormaybeappliedinevaluatlngtheCodeThepaperwillalsosurveyliteratureintheneldsofpolicyanalysISand

SafttySCiencetoidentifyanalyticaltooIsandameworksthatcouldberelevantinascientificassessmentoftheISM

CodeWiththereviewedliteratureasreftrencethepaperwi11thendenneefftctivenessandproposeasetofperfbrmanCeCriteria

2CompletedandongoingISMresearcb

AlbeitverysmallthereisabodyofresearchfocusingontheISMCodeOnestudyHalmeeta12000carriedoutbyclassCationsocietyGermanischerLIoydanalyzedsurveyformsnlledoutby382shippingcompamies Tne

forms containedanswersto questions regardingthecompanys organizationalstruCtureandfieldofoperations

SafttyOrganizationsafbtyPOlicyqualificationofpersonnelandexperiencewithimplementationofISMTbedata

gatheredwasnotusedtodirectlyevaluatetheefctivenessoftheCodetwasusedirLSteadtoevaluatetheshipping

industrys attitude towardsISM andits readiness toimplement the CodeTogether withthe survey data

GermanischerLloydusedtheISMcertincationprocessasamechanismtoidentifywhatsafttyproblemsfbundaboardshipposedahindrancetotheattainmentoftheCodesoectivesOneofthestudysceItralfindingswasthe

existenceofwidespreadresistanceamongindushypersonnelagainstimposinglasafttycultureaboardshipand

agalnSttheintroductionofwhatwasperceivedasyetanOtherregulatoryanddocumentaryburdenThedataalso

COnfirmedthattheshipplngSeCtOraSaWholewasnotreadyfbrtheISMCodeNeverthelesstheGemanStudyis

109

relevanttothispaperinthatitidentisfhctorsthathelpdeterminetheattitudesandperceptionsshoreandshipbasedpersonnelhaveofISMandsafttyingeneral

AnotherstudyHemquist2000wasconductedbytheSwedishPClubUsinginsuranceclaimsactivityaSa

CriterionfbrevaluatingtheCodeseffbctivenesstheSwedishstudyindicatedthatHvigorousapplicationoftheISM

CodecanSignificantlyreduceclaimsexposure

OneongOingstudyAnderson2001intendstoconsidertheperceivedconflictbetweentherequirementsunderthe

ISMCodetoproducerePOrtSaSaPartOfitsSMSsafbtymaagementSyStemOntheonehandandOnthe

Otherhandtheconsequentialproductionofpotentiallyselfincrimlnatingevidencewhichcouldbeusedagainstthose

WhoproducedthatevidencetheshipsmasterOrOtherseaerHandtheshipoperatorwhowillstandexposedto

CivilorcriminalliabilitiesAndersonsstudyfocusesonthewi11ingnessofseafarerstosubmitreportsofdeciency

andnonCOmPlianceandhowreadilyshoremanagementactsuponsuchreportsSincethissystemofreportingisa

novelconceptinshippingandisthekeytotheSMSsselfPerftctingmechanismthelevelofactivityinthisarea

WOuldalsorenectupontheefftctiveoperationoftheISMCode

3IMOdocuments

IMOmeetingdocumentswerereviewedftomasearlyasthe54thsession1987oftheMaritimeSafttyCommitteeMSCto determine what concemSinfluencedtheframerS tOgivetheISM Code the struCtureit has taken

Unfbrtunatelythe review revealed alack ofdetai1in documented backgroundinformation ontheformulation

PrOCeSSThiscorroboratesthedimcultiesreftrredtobyStenmark2000WhoheadedanumberofSwedishdelegatlOnStOIMOandwhomentionedinhisstudythatthepreparatoryworkontheCodetookplaceinworking

groupsthatthoughociallyconstitutedemployedunconventiOnalworkmethodsStenmarkaddedthatminutes

WerenOtreCOrdedThemeetlngrePOrtSPrOducedwithinIMOsdifftrentcommitteesandsubcomitteesWhere

theCodewasformulatedareSurrmariesandrenectonlydecisionsandcontainsproposalsanddraftsforwhichever

textmaybeunderreviewatthemomentNeverhelessthereareatleasttwoMOdocumentSthatprovidesome

indicationoftheCodeSamersexpectationsOneisanearlierversionoftheCodetheGuidelmesonManagement

fbrSafbShipOperationandPollutionPreventionIMO1988Whichhadthepurposeofprovidgelementsthat

CanbeusedtogaugesafttymanagementandtodevelopandimplementsafetymanagementAccordingtothe

documenttheobjectivesoftheguidelinesweretoensllreSafetyPreVenthumaniuryorlossoflifdamagetothe

environmentParticularlymarinepollutionanddamagetOPrOpertyTheotherdocumentaSubmissionbythe

Nordic maritime admimistrationsIMO1991COntains recomplendationsfor rVisingthe1988guidelinesAccordingtotheNordiccountriestheoectivesofsafetyandenvlrOnmentalprotectlOnmanagementShouldbethe

promotionofsafepracticesinshipoperationSafworkingconditionsaboardshipandthecapabilitytohandle

Whateveremergencies may stilloccurThey also offbrthefollowlng Criteria to determine whetherthe above

ObjectiveshavebeenmetCOmPliancewithmandatoryrulesandregulationsObservationofapplicablecodes

guidesand standards woed out byIMOadmimistrationsClass societiesandindustry organizationsand

identiticationofrisksnotcoveredbytheaboeSOurCeSandestablishmentofadequatesaftguardsIMO1991ThoughbroadandgeneralthetwodocumentsglVeatleastanindicationoftheCodesfhmersexpectations

ExaminingtheISMCodeitselfgivesusthesamebroadresultsTheCodestatesthatitspurposeistoprovidean

intemationalstandardforthesafbmanagementandoperationofshipsandforpollutionpreventionIMO1993Its

ObiectivesaretoensuresafttyatseaPreVentionofhumaniqjuryorlossoflifeandavoidanceofdamagetothe

environmentinparticulartothemarineenvironmentandtopropertySection1220ftheISMCodealsorequires

theshipplngCOmPanytOPeriOdicallyevaluatetheefnciencyoftheSMSInkeepingwiththegenerallanguageOf

theCodenOdetailedguidelinesorstandardsareprovidedfbrthisperiodicevaluationoftheSMSsemciencyThe

CodeonlymandatesthatthereviewoftheSMSbeconductedinaccordanCeWithproceduresestablishedbythe

ShippingcompanyTnisismadeclearerinResolutionA78819whichcontainsimplementationguidelinestotheISM CodeSection2130fthe guidelines recommends administrationsnot to use criteriaintheformOf

prescrlPtiverequlrementSaSthesemayresultincompaniesimplementingsolutionspreparedbyothersThismay

thenresultindifncultyfor a company to developthe solutions whichbest suitthatparticular companythat

Particular operation orthat specific shipIMO1995In assessinganSMSs compliancewiththe Codes

requlrementSSeCtion2140ftheguidelinesfurtherrecorrmendsthatadministrationsensurethattheseassessments

arebasedondeterminingtheectivenessoftheSMSinmeetingspeciedobiectivesratherthanconfbrmitywith

detailedrequirementsInspecifyingobiectivesCOmPaniesaremeanttOCOnSidertheabilityoftheSMStomeetthe

fbllowinggeneralsafetymanaementObjectivesanimprovedversionoftheNordicsubmission

providefbrsafepractlCeSinshipoperationandasaftworkingenvirorLment

toestablishsafbguardsagalnStallidentedrisks

continuouslyimprovethesafttymanagementSkillsofpersonnelashoreandaboardincludingpreparingfor

emergenciesrelatedbothtosafbtyandenvironmentalprotection

110

ThereisonemoreobjectiveworthaddingtotheabovelistthatisfbundintheintroductoryparagraphsofA788ie

thattheapplicationoftheISMCodeshouldsupporlandencouragethedevelopmentofasafetycultureinshipping

AsfhrasareviewofIMOdocumentSgOtheabovesummarizethemaritimesectorsexpectationsoftheISMCode

HoweverbecausetheCodeisdesignedtobenonPreSCrlPtivethechallengeforthisexerciseistotranslatethese

broadobiectivesinadditiontothosethathavebeenappliedinthebodyofISMresearchintocriteriathatlend

themselvesto analysISandevaluationThere are atleasttwo researchdisciplinesthatcouldprovide us with

analyticaltooIsandconceptsthatcouldhelpusindevelopingthesecriteriapOlicyanalysisandsafttyscienceWe

ShalllooktopolicyanalysisforanalyticalameworkwhilewelookatsafttySCienceliteraturetoseehowsafttyand

Safetypolicyisevaluatedinotherindustries

4Policyanalysis

PolicyanalysISisanapplieddisciplineorneldofpoliticalscienceconcemedwiththeevaluationofpublic

POlicyIthasitsonglnSinthe1960swhenduringtheUSpresidencyofLyndonJohnsonSOCialSCientincpolicy

researchandevaluationwerewidelycelebratedastheproperbasisfordecisionmakinginpublicpolicyFischer

1995Perhapsthebiggestdebateinthedisciplinetodayistherelativepreponderanceofquantitativemethods

SuChasinteraliamicroeconomicseCOnOmetricsdecisionanalysisandstatisticsinpolicyanalysisOneclassic

example ofthe application ofquantitative analysisin saftty policyis Viscusisl979study oftheimpact of

OCCuPationalsafttyandhealthregulationThestudylookedattheimpactoftheearlyyearsoftheimplementationof

theOccupationalSafbtyandHealthActof1970intheUSbyanalyzingpooledtimeseriesandcrosssectiondataon

industryhealthandsafttyinvestmentsandiuryratesforthe19721975periodViscusi1979TheecnOmetric

analysisshowednosigncantefftctofOSHAonworkplacesafttymainlybecausethennancialincentlVeSWerFWeakAfollowuPStudywasconductedin1986usinganeXPandedseriesofdataOm1973to1983Viscusl

1979AlthoughthefbllowuPStudyshowedanimprovedpositiveefftctcomparedwiththeearlieronethedataWaS Stillinconclusive ontheissue ofOSHAs overalleffbctiveness and relevance to worker safttyAnother

quantitativestudyDirectandindirecteffbctsofregulationaneWlookatOSHAsimpactwascompletedby

Barteland Thomas1985by developing andtestingathreeequationmodelofworkplaceiniuriesindustrial

noncompliancewithOSHAsafetystandardsandOSHAenforcementLikeViscusiBartelandThomasdidnot

nndtheiremplricaldataconclusiveNeverthelesstheirstudyconcludedthatOSHAhadcommendableifindirect

efftctsonsafbty

AtthesametimethereseemstobearislngtideagalnStaneXClusivelyemplricalapproachinpolicyanalysisThere

isaSitwererPOrethanmeetsthestatisticaleyeYanow2000seesthedebateasbeingbetweenanalystswhobelievethatitlSnOtOnlynecessarybutalsoactuallypossibletOmakeobjectiveValueeeassessmentsofapolicy

ftomapointextemaltoitthepositivistemPiricalOrquantitativeschoolandthosWhobelievethatitis

impossibletostandoutsideofthepolicylSSuebeingstudiedfreeofitsvaluesandmeanlngSandoftheanalystS

OWn Valuesbeliefand ftelingstheinterpretativenaturalisticOr qualitative schoolFischer emphasizes

howeverthatitisnotaquestionofchoosingoneapproachtotheexclusionoftheotherThequantitativeapproaches

Stillplayanimportantroleinpolicyanalysisbutonlyaslongtheyareappliedwithinthenormativeframeworksthat

giveits empiriCaldatameaningFischer1995in a methodologyJolm1998prefbrs to cal1thesynthesis

approach

BaldwinandCave1999Viscusietal1996WeimerandVining1999offerintroductionstothesubjectofpolicy analysis while Yanow2000Fischer1995andJohn19980r methodologiesthat combine thequalitativeandquantitativeapproaches

5Satyscience

SafttyScienceisamultidisciplinaryfieldofresearchintothescienceandteclm0logyofhumansafetyItextends

omsafttyofpeopleatworktootherspheresSuChastransportleisureandhomeaSWellaseveryotherneldof

ma11shazardous activitiesItcoversinteraliathephysicsandenginecringofsafttyits socialPOlicyand

OrganizationalaspectsthemanagementofriskstheefftctivenessofcontrolteclmiquesforsafStandardizationlegislationinspectioninsuranCeandcostingaspeCtSEIsevierScience2001

Kjellenetal1997StudiedtheeconomicefftctsofimplementingaprecursortotheISMCodeknownasinternalCOntrOlICInforceinNorwaysince1992ICisakeyregulatorystrategydesignedtoensurethatcompanies

COmPlywiththecountryssafttyhealthandenvironmentSHElegislationItoperateswithinNorwegianindustry

inverymuchthesamewayastheISMCodedoesininternationalshippingKjellenetalComparedretroactivedata

COVeringtenyearSatanalminumplantandcalculatedhowmuchoftheexpensesincurredinimplementlngICwasOffietbybenefitsinQSHEqualitySafttyhealthenVironmentThestudyalsodeterminedICSeffbctonQSHE

relatedlossesThereportedLTIratenumberoflosttimeesperlmillionhoursofworkwasusedasthe

111

CentralCriterionforPeaSuringthesafprogramsQSHEeffbctsellinetalfoundthatasigmificantreducdonintheplantsoperat10nalvariableexpenditureswasaccomplishedinparallelwithsigniLicantimprovementsinQ

SHErelatedresults

MitchisonandPapadakis1999CoTlductedastudyonsafttymanagementsystemsundertheEuropeanUnions

SevesoIIDirective9682CwhichistheUnionsequivalentoftheISMCodeforcertainestablishmentsholding

hazardoussubstancesLikeISMthecentralfatureofSevesoIIistheimplementationofasafetymanagement

SyStemOrSMSMitchisonsandPapadakisconclusionsandguidanCeOnSMSassessmentsarerelevanttothis

StudyinthattheyconcludethattheSMSunderSevesoIIisnodirentfromthoseinotherindustriesMostSMS

guidanCeareaSaruleVerygeneralinnatureandgiveemphasistoflexibilityinstruCtureanddetailsMitchisonand

Papadakis1999wamegainsttheadoptionofanindusWidesafttyperfbrmanceratingsystemonthegroundsthaththeresultswillnotlngeneralbecomparableacrossdifftrentestablishmentsandbecausethedesiretoperfbrm

WellintheratingmayprevailovertherealobjectiveWhichistoimproveoverallsafttyWeremainscepticalasto

theusefulnessofratingsystemsbasedonsimpleandunifbrmformulaeM

Thereareanumberofsafttysciencestudiesthatadoptedaparticularsafttycriterioninordertoidentifyasampling

OfindustrialplantSthatcouldbeinvestigatedforattributesthatresultingreateroccupatiOnalsafttyCohenatal1975wasaquestionnairestudyinwhichsafetyprogramPraCticesofmatchedpairsoflowandhighaccidentrate

PlantswerecomparedtodeterminefhctorsthatmightaccountforthedirenceinsafetyperformanCeSmithetal

1977aCOTPanionstudytotheaboveCOnductedonSitesurveysofasampleof7pairsofthequestiormaire

respondentsln Order to expand onthe results ofCohen et alThendings confirmedthe results ofthe

questionnairestudyandidentiedadditionalfactorsinsafetyprogrampracticesthatcouldaccountforplantSafety

performaCeSimondsandShafaiSallrai1977usedworkiqjuryequencyratesastheircriterionforstudying

elevenpalrSOfindustrialnrmsandidentinedtenpositivefhctorsthatcouldberelatedtohighersafttylevelsInhisstudyHurst1997showsthatnndingsomresearchactivitycouldformthebasisfordevelopingpractical

tooIs to assess safetymanagementand safttyattitudesIn particularHurst describes how research work

COmmissionedbytheHealthandSafttyLaboratoryUKwerecruCialtothedevelopmentofSTATASStruCtured

AuditTeclmiquefortheAssessmentofSafbty Management SystemsandPRIMAProcessRiskManagement

AuditanalyticaltooIsthathavebeenemployedfortheassessmentofmanagementarrangementSriskcontroI

SyStemSSafttymanagementPerformanceSafttyattitudesandsafetyCulture

6PerlbrmancecriteriafbrtheISMCode

Afterabroadsweepofsomeoftherelevantliteraturethisstudywillnowconsolidatetheinformationreviewed

withinthecontextoftheISMCodeandtranslatethemintocriteriafbrassessingtheCodesperformanCeBefore

movingonitmightberelevanttoreviewMitchisonsandPapadakisskepticismastotheusefulnessofindustry

WidesaftyperfbrmanceratingsystemsMitchisonandPapadakisactuallyqualinedthisviewpointbyconceding

thatsucharatingsystemmaybeusefu1inevaluatingchangeSThiswasborneoutbytheindustryWidestudiesof

Cohen et alSmithet aland Simondsand ShafaiSahraiThis present study does notintend to propose

Performancecriteriaforanindustryratings systemortoidentifyspecinedobjectivesfortheISM certincation

processRatherthecriteriatobeproposedinthispaperareintendedtobeappliedinevaluatlngtheperformanceof

theISMCodeasaregulatoryframewofkTherateofchangeinaccidentfrequencylnaglVenyearrelativeto

PreViousyearstotakeaneXampleCOuldbeonesuchindicatorhadditionWhiletheMitchisonandPapadakis

Studyis mathematiCalandtheoretiCalthe authorsthemselves arguethat a purely quantitative approachis

inapproprlateinevaluatinganSMSAqualitativesystemsuchastheSMSmustalsobeevaluatedqualitatively61Efctiveness

OneofthequestionsposedintheintroductiontothispaperwasHowisefftctivenessdenedBaldwinand

Cave1999denneefftctiveregulationasonethataddressestheissueofwhetherdesiredresultsareactually

achievedirrespectiveofcostsTheycontrastthiswithemciencywhichtakesintoconsiderationtheratioof

benefittothecosttogovemmentOfimplementationandenforcementofregulations

Viscusi1979OntheotherhanddrawsalinkbetweenefftctivenessandcostnOttOgOVerrLmentbuttotheindustry

beingregulatedAftercomprehensiveeconometriccalculationsheconcludesinhisstudythattheHconceptual

analysISindicatedthatthe efftctiveness ofjobhazardregulationshinges criticallyonthe economicincentives

CreatedAdaptedtotheISMCodeeCtivenesscoulddependonthewillingnessofshipownerStOruntheriskofexpensivedelaysduetoISMrelateddetentionsorotheractivities

AccordingtoSagentheefcdvenessoftheISMCodedoesnothingeuponthecomplianCebyshipplngCOmpanies

WithmandatoryinstrumentSakeyobiectiveoftheCodebecausethisisalreadytakenforgrantedthroughtheissuanCeOfstatutorycertificatesInsteadthetruemeaSureOftheISMCodessuccessishowefftctiveenLbrcement

isbyadministrationsSagen1999

112

ThecoInmOnthreadbetweenthesethreedennitionsisthatefrtctivenessismeasuredbythepositiveresultsresulting

omtheenforcementoftheregulatoryreglmeForpurposesofthisstudyectivenessisglVenthemeanlngfrom

BaldwinandCaveiethestateoftheachievementofthedesiredresultsToaskwhethertheISMCodeiseffbctive

istoaskwhetheritactuallyachievesthedesiredresultsitwasdesignedtoachieveieSafershipsandcleanerSeaS

ThisleadsustothenextquestionHowcantheCodeSefftctivenessbemeasured

2Dichotomy

TofacilitateidenticationofperfbrmancecriteriawithinacombinedqualitativequantitativeframeWOrkitwouldbe

usefultoadoptthepolicyanalysisconceptofoutputandoutcomeInthefieldofpolicyanalysisOutPutSare

alternativelyrefirredtoaspolicieswhileoutcomesmayalsobereftrredtoasgoalsThedichotomybetween

outputandoutcomeisadeviceemployedinpolicyanalysisthatenablestheresearthertonndoutifpolicy

intentionstumintorealityandwhenpoliciesaresuccessesorfailuresTheprocedureallowstheresearchertoask

SOmePertinentquestionsabouttheeffbctivenessofthepolicyprocessJohn1998WeimerandVining1999

offtrthissuccinctdistinctionbetweenthetwoconceptsgoalsarethevaluesweseektopromoteandpoliciesare

thealtemativesandstrategiesforpromotingthemExamplesofoutputspoliciesinthecontextoftheISMCodeare

theregimeofportStatecontrolinspectionsandthesystemofSMCSafttymanagementcertificateandDOC

documentofcompliancecertificationExamplesofoutcomesgoalsarethepromotionofshipsafttyprOteCtionof

themarineenvironmentandthedevelopmentofasafetyCultureinshipping

ThedesignationofanitemaseitheroutputoroutcomeisnotnecessarilysetinstoneineverycaseGoalsPerhaps

rewordedOCCaSionallybecomepoliciesatanotherlevelasnewgoalsaresetInotherwordsthedivisionsarenot

necessarilyalwaysclearCutWeimerandVining1999advisethatoneshouldstarbyfbrmulatinggoalsas

abstractlyaspossibleandpolicyaltemativesasconcretelyaspossibleThedichotomyalsoremindsresearchersof

thecomplementarynatureofthequantitativeCOnCretePOlicyalternativesandqualitativeabstractandnormative

goalsmethodologies

63Proposedcriteria

ThefbllowingoectivesthatwereidentinedinthereviewofIMOdocumentswillbeusedtoformthebasisfor

developlngCriteriafbrevaluatlngtheISMCodesperformanCe

provideforsaftpracticesinshipoperationandasafbworkingenvironment

toestablishsafbguardsagalnStallidentiedrisks

continuouslyimprovethesafetymanagementSkillsofpersonnelashoreandaboardincludingpreparingfor

emergenciesrelatedbothtosafetyandenvironmentalprotection

developmentofasafttycultureinshipping

TbetasknowistoidentifyperfbrmanCeCriteriaundertheheadingsoutputandoutcomeasdefinedabove

6310utput

IfoutputcanbedenedasthesetofaltemativesandstrategiesforpromotingthesafValuesweseektopromotethentheperfbrmancecriteriatobeproposedunderthisheadingwillrelatetoactivitiesthatensurethattheISMCode

isinplaceasasafttyregulatoryframeworkFollowingaretheproposedcriteria

PortStatecontroldetenEionsrelatedtoLMdqPcienciesornonCOTdbrmitiesTheSecretaryGeneralof

IMOhasdirectedthecollectionofinformationonforexampleanySignificantdropOrOtherwiseinthe

numberofdetentionofISMCertificatedshipstogetherwithmyinformationoractiontakenbyportState

COntrOlauthoritiesinrespectofISMCodedencienciesIMO2001

LSMrelatedOtinspectionsrequiringdemonstraEionUndertheISMCodethemaritimeadmimistrationis

expectedtocarryOutCOntrOIstoensurethattheSMSisfunctioningAninspectionthatinvoIvesrequlringShipscrewtodemonstratecompetenceisnormallyaslgnthatthereisreasontobelievethattheSMSmight

notbefunctioningproperlyAhighnumberofspotinspectionscouldbelinkedtoalowerlevelofsafety

ReineCtionsrelaEedtoLWddicienciesornonCOldbrmitiesAhighnumberofreinspectionsreflectson

thenumberofinspectionsthatledtodeticienciesbeingnotedforrectificationThedatacouldbecompared

OVertimetoseeifthereisadownOruPWardtrendparticularlyinvoIvingmOrnOnCOnfomities

RqporEingQfLSMddicienciesandnonrcolIiancebysboardstThemaincriterionemployedinthe

OngOlng StudybyAndersonTbe willingness andactualuse ofthisimportant mechanism glVeS an

indicationthattheCodeisfunctionmgaSitshould

AnnualreviewandirzEerimsurvqysTeSuZLsNonCOmPlianceanddencienciesdetectedbyauditorsduripg

annualreviewsandinterimsurveysParticularlythosecategorizedundermgornonCOmPlianCeCOuldbe

COmParedovertime

Theaboveindicatorsorcriteriacouldbeobservedbycompanngaseriesofdataovertimetonotonlytogather

absolutevaluesbutalsotodetecttherateofchangeateClmiqueusedregularlyinsafetyscienceQuantitativeCriteria arehighly desirablebecausethey facilitate moreprecise ex ante comparisons ofefftctsWeimerand

Vining1999yettheyneedtobetemperedbynormativeanalysis

113

6320utcome

IfgoaloutcomecanbedeedasthesetofsafttyValuesweseektopromotethentheperfbrmancecriteriatobe

proposedunderthisheadingwillrelatetomeasuresthatindicatewhethertheISMCodeisproducingltSintendedresultsFollowlngareSOmePrOpOSedcriteria

AccidentrateandiqiuTyPequenqJCohenetal1975employedaccidentrateasthecriterionintheir

StudywhileSimondsShafaiSahrai1977considerediniuryfrequencyAneffbctiveISMCodeshould

resultinadownWardtrendinaccidentratesandiqjuryequencynotonlyintemSOfpersonaliqiuriesto

SeafarersbutofvesselsinvoIvedinmarinecasualtiesItisworthytonotethataccidentandiqiuryratesare

COmm0nlyemployedinsafttysciencebutdoesnotseemtohavebeenusedinanevaluationoftheISMCode

MortalioJtWeNielsen2000estimatesthat2595SeafarersdieeveryyearwhileservingatseaObserving

thenumberofaccidentaldeathsatseaoveraperiodoftimewillgiveanindicationoftheCodesimpact

CultureAnumberofstudiesprovidemethodologiesandcriteriafbrassessingsafetycultureinthemaritimesectorEkandAkselsson1999evaluatedthesafttycultureonboardapassengervesselinthe

BalticSeaHahneetal2000surveyedtheattitudesandperceptiOnsofshippingpersonnelStenTlark

2000aimedatnndingaworkabledenitionofsafbtyculturewithinafiaOrkofoIganizabonalPSyChologySagen1999discussesthefourcolurrnsofsafCultureinthemarltlmefield

Los11imeiTUuriesTVDenedinsafttyscienceasirtiuryatworkleadingtounfitnessforwofkand

absencebeyondthedayoftheaccidentLTIscouldbecostlytoshippingcompamiesparticularlyincases

WheretheirtiuredseafarerhastobenownOutandreplacementcrewhavetobenownin

selQGlhirehIqyShippingcompaniesincurlossesforeverydaythatavesselisnotengagedinloading

unloadingandtranSPOrtmgCargODelayscouldbecausedbyinteraliaPOrtStatecontroldetentions

acQidentsaCCidentinvestlgationsVeSSelcasualtiesandvesselemergencyrepalrS

ewrqatriatedorsentajhorejbrretrainingAnefftctiveISMCodeshouldresultinadeclineinthe

numberofcrewsentashoreforretralnlngOrrePatriatedforcarrylnglnValidproftssionaldocumentsorfbrotherISMCodenonCOnfomities

JnsurancepremiumsandclaimslevelTheSwedishClubstudyshowedalinkbetweentheISMCodeand

the number ofinsuranCe Claims while Hkkinen1995conmsthelink between safttylevelsand

insurancepremiums

AcEivecommitmentqrmanagementtos0Kjellinetal1997Cohenetal1975andSmithetal1978showedthepositivelinkbetweengreatersafbtyandamanagementteamthatisactivelyinvoIvedin

Safttyissues

TbetwolistsabovedonotclaimtobecompleteandcorehensivesetsofcriteriaforevaluatingtheISMCodes

ectivenessTheprlnCIPalaimofthisstudyistoshowonewayofleamlnglessonsomotherindustriesand

disciplinesthathavehaddecadesofexperienceintheassessmentofregulatoryfhmeworksandsafbtymanagement

SyStemS

WhletheISMCoderequlreSthatshippingcompamiesdevelopanSMSwithabuiltinselflperfbctlngmeChanismthe Codeitselfis notequippedwiththe sametype ofmechanismThisis where research couldbe usefu1in

identifyingsomecriteriaandoverallindushygoalsthatcouldgiveanindicationofthestateoftheISMCodeandPrOvideamorescientificbasisfordraftingamendmentsItmightbedifnculttoattachminimummaXimumOrideal

ValuesWhethernumeriCalornormativetotheperformanCeCriteriauntilaninitialstudyisconductedHowever

SCientinc researchintotheISM Codes perfomanCe COuld eventuallylead tothe development ofpractical

assessmentsystemssimilartothoseavailabletosafetymanagementin0therindustries

7Conclusiom

DuringtheFebruary2001sessionoftheIMOSubComitteeonFlagStateImplementationtheSecretaryTGeneral

OfIMOmadethefbllowingadmonitionWeshouldnotallowtheISMCodetobecomemerelyapaperexercise

ThisisinreactiontofarsexpressedbysomesectorsofthemaritimeindusythatthephysicaltrapplngSOfasaftty

managementsystemwenowseeinvesselsandshipplngCOmPaniesaretestimonytonothingmorethanjustanother

CumbersomeintemationalmaritimedocumentaryexerciseThisiswhyastudiedbasisshouldbemadeforglVlng

anyverdictontheCodesperfbrmanceIfstudiesindicatethattheCodeisindeedachievingitsintendedresultsthen

the ftarisbaselessIfstudiesindicatethattheCodedoesnotseemtomakeasignincantdentintheaccident

StatisticsthentheresearchcouldalsoglVeCluesastohowthesituationmaybeimprovedMitchisonandPapadakis

1999emphasizethatwhilesafttyperfbrmanCemeaSurementisusefulindescribingthepresentstateofasafbtymanagementSyStemitisevenmoreusefu1asabasisfbrimprovlngthesystemsperformanCeiebyidentifying

WeaknessesandtargetlngneCeSSarylnterVentions

114

OntheonehandthenonPreSCrlPtlVenatureOfthatCodeensuresthateachSMSistailornttedtotheparticular

shipplngCOmpanyOntheotheritpresentsachal1engeforassessmentandevaluationThedilerrmafacingthe

analystis how to gather measurableand quantiable data withoutintentionally causlngthe transfbrence of

prescriptlVeValuestoanyISMCodeamendmentexerciseThisisthereasonthispaperadvocatesamixedapproachtoevaluationAfterreviewingISMCoderesearchIMOdocumentsPOlicyanalysisliteratureandsafttyscience

researchthisstudyhasproposedthatacornlinedquantitativequalitativeapproachofresearchbeconductedThe

paperhasalsoofftredthefbllowlngCriteriaundertwobroadheadingsforevaluatlngtheISMCodesperformance

OUTPUT

PortStatecontroldetentionsrelatedtoISMdeficienciesornonCOnformities

ISMrelatedspotinspectionsrequlrlngdemonstration

ReinspectionsrelatedtoISMdencienciesornonCOnfbmitiesReportlngOfISMdencienciesandnonCOmPliancebyshipboardstaffAnnualreviewandinterimsurveySreSultsOUTCOME

Accidentrateandirtjuryequency

Mortalityrate

SafttyCulture

LosttimeirtjuriesLTI

VesselohiredelayCrewrepatriatedorsentashoreforretraiming

InsuranCePremiumsandclaimslevel

Activecomitmentofmanagementtosafty

Criteriacouldbeaddedanddeletedfromtheselistsandacombinationofanynumberofthemcouldbeappliedin

direntstudiesTheabovecriteriaarenaturallysubjecttodebateandarebestassessedjustinedOrrqeCtedbythe

resultscomlngOutOfanysmdythatwouldapplythemInproposingthesecriteriaitwasshownthatthereismuch

thattheeldofmaritimestudiescouldleamftomtheexperienceinpolicyanalysisandsafetymanagementinother

industries

RererenteS

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