Operational Excellence through Leadership and Compliance

Maritime Compliance Report

Welcome. Staying in compliance takes dedication, diligence and strong leadership skills to stay on top of all the requirements which seem to keep coming at a rapid pace. With this blog I hope to provide visitors with content that will help them in their daily work of staying in compliance. I hope you find it a resource worthy of your time and I look forward to your feedback, questions, comments and concerns. Thanks for stopping by. To avoid missing critical updates, don’t forget to sign up by clicking the white envelope in the blue toolbar below.

BP Indictments and Subchapter M

 As I read the indictment of two BP officials, Robert Kaluza and Donald Vidrine, on 11 counts of seaman's manslaughter and involuntary manslaughter, I couldn't help but think about Subchapter M and the future of the towing vessel industry. Mr. Vidrine and Kaluza were Well Sight Leaders on the Deepwater Horizon rig the day of the explosion which resulted in the deaths of 11 people. According to the indictment, these Well Sight Leaders were responsible for, among other things, "supervising the implementation of BP's drilling plan." To draw an analogy, under Subchapter M, should a company operate under a Towing Safety Management System (TSMS), the captain will be responsible for "supervising the implementation of the company TSMS."

The indictment explains that Vidrine and Kaluza were grossly negligent in their duties for not doing what they were supposed to do, specifically: failing to call the BP engineers ashore during the negative testing about the multiple readings that the well was not secure, failing to adequately account for those abnormal readings, and for accepting a nonsensical explanation for those readings. They were not following the plan, and an explosion resulted in many deaths.

A few years back the towing industry experienced a number of accidents when tows hit bridges. Bridge transit procedures were added to many safety management systems. The idea is, as with any written safety plan, if you follow it you will minimize the risk of human error. Many captains that I talk to can't explain the bridge transit procedures. Many protest that they don't need some book to tell them how to drive a boat. But what if one day a captain fails to account for wind and leeway on a big tow, and as a result he takes the bridge out and cars drive into the river? I'm sure Mr. Vidrine and Kaluza relied on their experience as well, and did not think that the rig would blow up, but it did. Had they followed the plan, perhaps those people would not have died, and they might not be looking at jail time.

If your towing company chooses a TSMS for Subchapter M, take the opportunity to make sure you have the best possible procedures and that your captains know they must follow them at all times. As a wise man once said, smart people learn from their mistakes, but really smart people learn from other people's mistakes.
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International WorkBoat Show

 The International WorkBoat Show in New Orleans is fast approaching. It is being held in the New Orleans Convention Center from December 5-7. If you are interested in learning the latest about regulations and compliance and you are planning on investing in the conference sessions, I'd like to bring two sessions to your attention:

Wednesday December 5, 2012 from 4:00 – 5:30pm I will be participating in a conference session moderated by retired RADM Whitehead on: "Choosing a Compliance Option for Towing Vessel Regulations: What You Need to Know."

Friday December 7, 2012 from 1:00 – 2:00pm I will be conducting an hour-long session: "Culture of Compliance" where I will go in depth on my comprehensive model for maritime compliance management. 

If you have specific questions, please come by our booth: 2757 and visit with us. We look forward to seeing you all there!
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Maritime Compliance Management Model Explained

On a recent visit to Greece I was invited to speak at the Safety4Sea conference in Athens to an audience of almost 400 attendees. I took the opportunity to introduce my Maritime Compliance Management Model. Click on the picture to watch the short video:


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A Military Approach to Seafaring

 If a company hired a new captain for a new vessel, and shortly thereafter that captain was asked what challenges he faces on his new vessel, what do you think he might say? I can't imagine him saying that the biggest hurdle he faced was that there was not enough established doctrine or written procedures for him to follow! Perhaps if International Safety Management (ISM) systems had been implemented as intended, to minimize human error by following written procedures that represent best practices, he might have said such a thing. But that culture, to my knowledge, has not been established on the civilian side of seafaring. While working with companies to implement ISM and other safety management programs, I often use the example of serving on a number of Coast Guard cutters, where there was a right way to do everything, and it was written down in manuals. There were almost no checklists used either, because everything had to be learned, practiced, memorized and drilled. From this perspective, I believe a real safety culture is one where the word "safety" is never mentioned. I can't remember ever hearing it on any Coast Guard cutter: there was only the right way to do things. In watching Dale DuPont's interview with LCDR Craig Allen, Commanding Officer of the USCGC William Flores, on Workboat.com recently, I was pleased to see that some things never change. Listen to what the Captain says when asked what challenges he faces on his new vessel… (Video interview) That's right; he says that their biggest hurdle is that there is not enough established doctrine or procedures to follow. He explains they will have to make them from scratch based upon lessons learned and best practices. This is an example of what the Coast Guard's "safety culture" looks like. The operational Coast Guard is not an excellent organization by accident. How excellent is your operation?

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Expirations and Renewals

 Time flies. It's hard to believe that many TWICs are reaching their expiration date. Thankfully, there is an alternative process to renew a TWIC for those whose cards are now expiring. As long as you are a U.S. citizen or U.S. national and your TWIC is expiring before December 31, 2014, all you have to do is call 1-866-347-8942 and pay $60, to order a new TWIC which will be good for another three years.  A client recently did this over the phone with all their employees and found it to be a very simple process. Of course, once the TWIC is ready, it will require a trip to a TWIC center to pick it up and activate it.

Another expiration which is coming up is the first batch of Bridging Program Uninspected Towing Vessel (UTV) examination stickers. Some vessel operators are under the impression that they must renew their examination sticker. This is not the case. UTVs are still uninspected until the Final Rule of Subchapter M goes into effect. The UTV examination program had been around for many years before the Bridging Program, a program which is similar to the commercial fishing vessel voluntary examination program. The Coast Guard decided to use the UTV examination program as part of the Bridging Program to ease the transition to inspected towing vessel status. Once a towing vessel has been examined and has received a sticker, it has fulfilled its obligation under the Bridging Program and there is no further requirement to have the sticker renewed.

A vessel operator may request that the Coast Guard re-examine their vessel, which is a prudent course to take. However, operators should consider that the intent of the Bridging Program was to increase vessel compliance while getting Coast Guard examiners familiar with towing vessels and their respective regulations. So, operators should not be surprised when the same vessel now ends up with a number of deficiencies which may not have been identified the first time around. That should only serve as an indication of the success of that program goal, which was to increase the proficiency Coast Guard personnel.
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Safety Management Workbook Available at Baker Lyman

For those of you in New Orleans, I want to let you know that our Safety Management Workbooks are now available at Baker Lyman in addition to our website.  It is a great resource to get crews to learn what is in, as well as how to use, your own safety management system. The next time you are in Baker Lyman, please look for it.

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Resources for Uninspected Towing Vessel Operators

There are still a significant number of towing vessel that have not been examined under the Coast Guard's Bridging Program. As the Coast Guard trains more examiners and becomes more proficient in conducting uninspected towing vessel (UTV) exams, the bar for operators is steadily rising. In their continuing effort to help the industry demonstrate full compliance the Coast Guard has published a new edition of "United States Coast Guard Requirements for Uninspected Towing Vessels." This is the best comprehensive reference for a particular class of vessel that has ever been published by the Coast Guard. In addition to the excellent explanation of the regulations, there are useful appendixes which include frequently asked questions, and a collection of those ever-elusive Policy Letters which contain a wealth of information. Whether your company is still struggling to get their vessels examined, or you consider yourself an expert on the topic, this publication deserves a serious look. There is something for even the most experienced among us to learn.

Additionally, a client of mine recently returned for the UTV examiner course at the Coast Guard Training Center in Yorktown, VA. The week-long course is mainly for Coast Guard personnel, but a number of seats are dedicated for industry personnel. The course was reportedly, very informative and the binder of training material I reviewed contained a great deal of useful information. My client said one of the most important things that he got out of the course was to witness the Coast Guard's approach compliance which was a real eye opener. If you can get into one of these courses it will definitely be worth the trip. 

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Culture of Compliance

 After many years of being involved with compliance issues for the maritime industry, I have developed a comprehensive model on how to manage compliance. If you would like to learn about this methodology which will help you develop confidence and peace of mind regarding compliance, you should make it a point to try to attend one of these conference sessions where I will be presenting the model:

Wednesday October 3, 2012 – Athens, Greece; Safety4Sea Forum; 2:00pm – 3:30pm "Culture of Compliance"

Friday December 7, 2012 – New Orleans, LA; International Workboat Show; 1:00pm – 2:00pm; "Culture of Compliance"

Additionally, if you are in the towboat business, there will be an important panel discussion at the Workboat Show, on whether to choose the Coast Guard option or third party TSMS option for inspection compliance under Subchapter M:

Wednesday December, 5, 2012 – International Workboat Show; New Orleans, LA; 4:00pm -5:30pm; "Choosing a Compliance Option for Towing Vessel Regulations: What You Need to Know"

I will be on this panel which will be moderated by retired RADM Joel Whitehead.

Also, when at the Workboat Show, please stop by our booth 2757 and say hello.

I look forward to seeing you.
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Maritime Compliance Management – “Understanding”

 When I was training to become a Coast Guard marine inspector years ago, I noticed the doorway on a crewboat was 28 inches wide. When I looked up the regulation, I found that the door for a passenger compartment is required to be 32 inches wide. The other inspector breaking me in was reluctant to make the owner enlarge the doorway.  All I could imagine was some very large passengers getting stuck in the capsized boat that we had certified.

Some say that regulations are written in blood. To have an effective compliance program, there must be an understanding of the intent of the regulations. Research is often necessary, but some owner/operators don't have the time, manpower, or desire to figure out if a certain regulation applies, or what the intent of the regulation is. As a result, many companies end up "chasing their tails" by relying solely on others' opinions and interpretations.

Compliance is a complicated business, but not an impossible one. Here are a few insider secrets. When a company becomes aware of a regulation, the first step should be to review the applicability in the regulations and ensure the regulation applies and that there are no exceptions. The next step should be to review the policy guidance on the topic. When dealing with the U.S. Coast Guard, policy guidance comes in a number of forms, such as: the Marine Safety Manual; Navigation and Vessel Inspection Circulars (NVICs); Headquarters policy letters; District policy letters; and local Captain of the Port policies. Additionally, the Federal Register can be reviewed for the date the regulation was published because it is footnoted at the end of each regulatory citation. The Federal Register has explanations for the regulations as well as the public comments and the Coast Guard's responses. This provides excellent insight into the intent of the regulations. These resources are all available online these days, so there is no good excuse for not preparing yourself before problems arise. Stay ahead of the curve and, in the words of my old Chief Quartermaster, who thankfully never answered my questions, "Look it up."
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Maritime Compliance Management – “Acceptance”

 Did you know that vessel owners are required to manage rain run-off? That crewmembers are required to screen their shore-side bosses if they come aboard a vessel? That push-boats are required to have a bell of a certain size in case they anchor or run aground in the fog? This is only the tip of the regulatory iceberg. Some regulations seem so ridiculous that vessel owners have a hard time believing that they could be true, or that they will ever be enforced, or that someone won't come to their senses and make them go away. A common strategy used once a vessel owner becomes aware of a regulation is to call around to some friendly competitors to see what they are doing. They may end up convincing each other to adopt a "wait and see" approach. After all, the Coast Guard always gives 30 days to correct a deficiency, right? Some companies call the Coast Guard to ask about a particular issue, and because the Coast Guard person who answers the phone isn't familiar with the particular requirement, the company may say, "The Coast Guard doesn't even know about this," and use that as an excuse to do little or nothing to comply. This is not good.

Acceptance is the second component to maritime compliance management. This is where the company management "buy-in" discussion has its roots. If the company ignores a regulation, or does something half-way to at least look like it was trying and hope for the best, it will not be perceived as having bought in to the program by its employees.  Captains of vessels are charged with ensuring compliance with the majority of vessel regulations.  From a leadership standpoint, if the captain knows, or perceives, that the company is not taking a regulation or program seriously, why would they?  A basic principle of leadership is, "In order to be a good leader, you must first be a good follower."  That doesn't mean just doing what your boss says.  It applies to following all rules and regulations. If your company is having trouble getting captains to be proactive about compliance issues, examine your own company's attitude toward the regulations. Why would crews put forth an effort if they know the company thinks it's all "crap?" Unless a company accepts a regulation, for better or for worse, it will be plagued with problems over the long term.
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