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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